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CANDIDE

Voltaire

1759

© 1998, Electronic Scholarly Publishing Project

htt p://www.esp.org

This electronic edition is made freely available for scholarly or educational purposes, provided that this copyright notice is

included. The manuscript may not be reprinted or redistributed for commercial purposes without permission.

iii

TABLE OF CONTENTS

CHAPTER 1 .....................................................................................1

How Candide Was Brought Up in a Magnificent Castle and How He Was Driven Thence

CHAPTER 2 .....................................................................................3

What Befell Candide among the Bulgarians

CHAPTER 3 .....................................................................................6

How Candide Escaped from the Bulgarians and What Befell Him Afterward

CHAPTER 4 .....................................................................................8

How Candide Found His Old Master Pangloss Again and What

CHAPTER 5 ................................................................................... 11

A Tempest, a Shipwreck, an Earthquake, and What Else Befell Dr. Pangloss, Candide, and James, the Anabaptist

CHAPTER 6 ................................................................................... 14

How the Portuguese Made a Superb Auto-De-Fe to Prevent Any Future Earthquakes, and How Candide Underwent Public Flagellation

CHAPTER 7 ................................................................................... 16

How the Old Woman Took Care Of Candide, and How He Found the Object of His Love

CHAPTER 8 ................................................................................... 18

Cunegund’s Story

CHAPTER 9 ................................................................................... 21

What Happened to Cunegund, Candide, the Grand Inquisitor, and the Jew

CHAPTER 10 ................................................................................. 23

In What Distress Candide, Cunegund, and the Old Woman Arrive at Cadiz, and Of Their Embarkation

CHAPTER 11 ................................................................................. 25

The History of the Old Woman

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CHAPTER 12 ................................................................................. 28

The Adventures of the Old Woman Continued

CHAPTER 13 ................................................................................. 32

How Candide Was Obliged to Leave the Fair Cunegund and the Old Woman

CHAPTER 14 ................................................................................. 35

The Reception Candide and Cacambo Met with among the Jesuits in Paraguay

CHAPTER 15 ................................................................................. 38

How Candide Killed the Brother of His Dear Cunegund

CHAPTER 16 ................................................................................. 40

What Happened to Our Two Travelers with Two Girls, Two Monkeys, and the Savages, Called Oreillons

CHAPTER 17 ................................................................................. 44

Candide and His Valet Arrive in the Country of El Dorado-What They Saw There

CHAPTER 18 ................................................................................. 48

What They Saw in the Country of El Dorado

CHAPTER 19 ................................................................................. 53

What Happened to Them at Surinam, and How Candide Became Acquainted with Martin

CHAPTER 20 ................................................................................. 58

What Befell Candide and Martin on Their Passage

CHAPTER 21 ................................................................................. 61

Candide and Martin, While Thus Reasoning with Each Other, Draw Near to the Coast of France

CHAPTER 22 ................................................................................. 63

What Happened to Candide and Martin in France

CHAPTER 23 ................................................................................. 72

Candide and Martin Touch upon the English Coast-What They See There

v

CHAPTER 24 ................................................................................. 74

Of Pacquette and Friar Giroflee

CHAPTER 25 ................................................................................. 78

Candide and Martin Pay a Visit to Seignor Pococurante, a Noble Venetian

CHAPTER 26 ................................................................................. 83

Candide and Martin Sup with Six Sharpers-Who They Were

CHAPTER 27 ................................................................................. 86

Candide’s Voyage to Constantinople

CHAPTER 28 ................................................................................. 90

What Befell Candide, Cunegund, Pangloss, Martin, etc.

CHAPTER 29 IN ............................................................................92

What Manner Candide Found Miss Cunegund and the Old Woman Again

CHAPTER 30 ................................................................................. 94

Conclusion

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1

C H A P T E R 1

How Candide Was Brought Up in a Magnificent Castle and How He Was Driven Thence

In the country of Westphalia, in the castle of the most noble Baron of Thunder–ten–tronckh, lived a youth whom Nature had endowed with a most sweet disposition. His face was the true index of his mind. He had a solid judgment joined to the most unaffected simplicity; and hence, I presume, he had his name of Candide. The old servants of the house suspected him to have been the son of the Baron’s sister, by a very good sort of a gentleman of the neighborhood, whom that young lady refused to marry, because he could produce no more than threescore and eleven quarterings in his arms; the rest of the genealogical tree belonging to the family having been lost through the injuries of time.

The Baron was one of the most powerful lords in Westphalia, for his castle had not only a gate, but even windows, and his great hall was hung with tapestry. He used to hunt with his mastiffs and spaniels instead of greyhounds; his groom served him for huntsman; and the parson of the parish officiated as his grand almoner. He was called “My Lord” by all his people, and he never told a story but everyone laughed at it.

My Lady Baroness, who weighed three hundred and fifty pounds, consequently was a person of no small consideration; and then she did the honors of the house with a dignity that commanded universal respect. Her daughter was about seventeen years of age, fresh–colored, comely, plump, and desirable. The Baron’s son seemed to be a youth in every respect worthy of the father he sprung from. Pangloss, the preceptor, was the oracle of the family, and little Candide listened to his instructions with all the simplicity natural to his age and disposition.

Master Pangloss taught the metaphysico–theologo–cosmolonig- ology.He could prove to admiration that there is no effect without a cause; and, that in this best of all possible worlds, the Baron’s castle was the most magnificent of all castles, and My Lady the best of all possible baronesses.

“It is demonstrable,” said he, “that things cannot be otherwise than as they are; for as all things have been created for some end, they must

2 VOLTAIRE

necessarily be created for the best end. Observe, for instance, the nose is formed for spectacles, therefore we wear spectacles. The legs are visibly designed for stockings, accordingly we wear stockings. Stones were made to be hewn and to construct castles, therefore My Lord has a magnificent castle; for the greatest baron in the province ought to be the best lodged. Swine were intended to be eaten, therefore we eat pork all the year round: and they, who assert that everything is right, do not express themselves correctly; they should say that everything is best.”

Candide listened attentively and believed implicitly, for he thought Miss Cunegund excessively handsome, though he never had the courage to tell her so. He concluded that next to the happiness of being Baron of Thunder–ten–tronckh, the next was that of being Miss Cunegund, the next that of seeing her every day, and the last that of hearing the doctrine of Master Pangloss, the greatest philosopher of the whole province, and consequently of the whole world.

One day when Miss Cunegund went to take a walk in a little neighboring wood which was called a park, she saw, through the bushes, the sage Doctor Pangloss giving a lecture in experimental philosophy to her mother’s chambermaid, a little brown wench, very pretty, and very tractable. As Miss Cunegund had a great disposition for the sciences, she observed with the utmost attention the experiments which were repeated before her eyes; she perfectly well understood the force of the doctor’s reasoning upon causes and effects. She retired greatly flurried, quite pensive and filled with the desire of knowledge, imagining that she might be a sufficing reason for young Candide, and he for her.

On her way back she happened to meet the young man; she blushed, he blushed also; she wished him a good morning in a flattering tone, he returned the salute, without knowing what he said. The next day, as they were rising from dinner, Cunegund and Candide slipped behind the screen. The miss dropped her handkerchief, the young man picked it up. She innocently took hold of his hand, and he as innocently kissed hers with a warmth, a sensibility, a grace–all very particular; their lips met; their eyes sparkled; their knees trembled; their hands strayed. The Baron chanced to come by; he beheld the cause and effect, and, without hesitation, saluted Candide with some notable kicks on the breech and drove him out of doors. The lovely Miss Cunegund fainted away, and, as soon as she came to herself, the Baroness boxed her ears. Thus a general consternation was spread over this most magnificent and most agreeable of all possible castles.

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C H A P T E R 2

What Befell Candide among the Bulgarians

Candide, thus driven out of this terrestrial paradise, rambled a long time without knowing where he went; sometimes he raised his eyes, all bedewed with tears, towards heaven, and sometimes he cast a melancholy look towards the magnificent castle, where dwelt the fairest of young baronesses. He laid himself down to sleep in a furrow, heartbroken, and supperless. The snow fell in great flakes, and, in the morning when he awoke, he was almost frozen to death; however, he made shift to crawl to the next town, which was called Wald–berghoff- trarbkdikdorff, without a penny in his pocket, and half dead with hunger and fatigue. He took up his stand at the door of an inn. He had not been long there before two men dressed in blue fixed their eyes steadfastly upon him.

“Faith, comrade,” said one of them to the other, “yonder is a well made young fellow and of the right size.” Upon which they made up to Candide and with the greatest civility and politeness invited him to dine with them.

“Gentlemen,” replied Candide, with a most engaging modesty, you do me much honor, but upon my word I have no money.”

“Money, sir!” said one of the blues to him, “young persons of your appearance and merit never pay anything; why, are not you five feet five inches high?”

“Yes, gentlemen, that is really my size,” replied he, with a low bow.

“Come then, sir, sit down along with us; we will not only pay your reckoning, but will never suffer such a clever young fellow as you to want money. Men were born to assist one another.”

“You are perfectly right, gentlemen,” said Candide, “this is precisely the doctrine of Master Pangloss; and I am convinced that everything is for the best.”

His generous companions next entreated him to accept of a few crowns, which he readily complied with, at the same time offering them his note for the payment, which they refused, and sat down to table.

“Have you not a great affection for –” “O yes! I have a great affection for the lovely Miss Cunegund.”

4 VOLTAIRE

“Maybe so,” replied one of the blues, “but that is not the question!We ask you whether you have not a great affection for the King of the Bulgarians?”

“For the King of the Bulgarians?” said Candide. “Oh, Lord! not at all, why I never saw him in my life.”

“Is it possible? Oh, he is a most charming king! Come, we must drink his health.”

“With all my heart, gentlemen,” said Candide, and off he tossed his glass.

“Bravo!” cried the blues; “you are now the support, the defender, the hero of the Bulgarians; your fortune is made; you are in the high road to glory.”

So saying, they handcuffed him, and carried him away to the regiment. There he was made to wheel about to the right, to the left, to draw his rammer, to return his rammer, to present, to fire, to march, and they gave him thirty blows with a cane; the next day he performed his exercise a little better, and they gave him but twenty; the day following he came off with ten, and was looked upon as a young fellow of surprising genius by all his comrades.

Candide was struck with amazement, and could not for the soul of him conceive how he came to be a hero. One fine spring morning, he took it into his head to take a walk, and he marched straight forward, conceiving it to be a privilege of the human species, as well as of the brute creation, to make use of their legs how and when they pleased. He had not gone above two leagues when he was overtaken by four other heroes, six feet high, who bound him neck and heels, and carried him to a dungeon. A courtmartial sat upon him, and he was asked which he liked better, to run the gauntlet six and thirty times through the whole regiment, or to have his brains blown out with a dozen musket–balls?

In vain did he remonstrate to them that the human will is free, and that he chose neither; they obliged him to make a choice, and he determined, in virtue of that divine gift called free will, to run the gauntlet six and thirty times.

He had gone through his discipline twice, and the regiment being composed of 2,000 men, they composed for him exactly 4,000 strokes, which laid bare all his muscles and nerves from the nape of his neck to his stern. As they were preparing to make him set out the third time our young hero, unable to support it any longer, begged as a favor that they would be so obliging as to shoot him through the head; the favor being granted, a bandage was tied over his eyes, and he was made to kneel down.

At that very instant, His Bulgarian Majesty happening to pass by made a stop, and inquired into the delinquent’s crime, and being a

Candide 5

prince of great penetration, he found, from what he heard of Candide, that he was a young metaphysician, entirely ignorant of the world; and therefore, out of his great clemency, he condescended to pardon him, for which his name will be celebrated in every journal, and in every age. A skillful surgeon made a cure of the flagellated Candide in three weeks by means of emollient unguents prescribed by Dioscorides. His sores were now skimmed over and he was able to march, when the King of the Bulgarians gave battle to the King of the Abares.

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C H A P T E R 3

How Candide Escaped from the Bulgarians and What Befell Him Afterward

Never was anything so gallant, so well accoutred, so brilliant, and so finely disposed as the two armies. The trumpets, fifes, hautboys, drums, and cannon made such harmony as never was heard in Hell itself. The entertainment began by a discharge of cannon, which, in the twinkling of an eye, laid flat about 6,000 men on each side. The musket bullets swept away, out of the best of all possible worlds, nine or ten thousand scoundrels that infested its surface. The bayonet was next the sufficient reason of the deaths of several thousands. The whole might amount to thirty thousand souls. Candide trembled like a philosopher, and concealed himself as well as he could during this heroic butchery.

At length, while the two kings were causing Te Deums to be sung in their camps, Candide took a resolution to go and reason somewhere else upon causes and effects. After passing over heaps of dead or dying men, the first place he came to was a neighboring village, in the Abarian territories, which had been burned to the ground by the Bulgarians, agreeably to the laws of war. Here lay a number of old men covered with wounds, who beheld their wives dying with their throats cut, and hugging their children to their breasts, all stained with blood. There several young virgins, whose bodies had been ripped open, after they had satisfied the natural necessities of the Bulgarian heroes, breathed their last; while others, half–burned in the flames, begged to be dispatched out of the world. The ground about them was covered with the brains, arms, and legs of dead men.

Candide made all the haste he could to another village, which belonged to the Bulgarians, and there he found the heroic Abares had enacted the same tragedy. Thence continuing to walk over palpitating limbs, or through ruined buildings, at length he arrived beyond the theater of war, with a little provision in his budget, and Miss Cunegund’s image in his heart. When he arrived in Holland his provision failed him; but having heard that the inhabitants of that country were all rich and Christians, he made himself sure of being treated by them in the same manner as the Baron’s castle, before he had been driven thence through the power of Miss Cunegund’s bright eyes.

Candide 7

He asked charity of several grave–looking people, who one and all answered him, that if he continued to follow this trade they would have him sent to the house of correction, where he should be taught to get his bread.

He next addressed himself to a person who had just come from haranguing a numerous assembly for a whole hour on the subject of charity. The orator, squinting at him under his broadbrimmed hat, asked him sternly, what brought him thither and whether he was for the good old cause?

“Sir,” said Candide, in a submissive manner, “I conceive there can be no effect without a cause; everything is necessarily concatenated and arranged for the best. It was necessary that I should be banished from the presence of Miss Cunegund; that I should afterwards run the gauntlet; and it is necessary I should beg my bread, till I am able to get it. All this could not have been otherwise.”

“Hark ye, friend,” said the orator, “do you hold the Pope to be Antichrist?”

“Truly, I never heard anything about it,” said Candide, “but whether he is or not, I am in want of something to eat.”

“Thou deservest not to eat or to drink,” replied the orator, “wretch, monster, that thou art! hence! avoid my sight, nor ever come near me again while thou livest.”

The orator’s wife happened to put her head out of the window at that instant, when, seeing a man who doubted whether the Pope was Antichrist, she discharged upon his head a utensil full of water. Good heavens, to what excess does religious zeal transport womankind!

A man who had never been christened, an honest Anabaptist named James, was witness to the cruel and ignominious treatment showed to one of his brethren, to a rational, two–footed, unfledged being. Moved with pity he carried him to his own house, caused him to be cleaned, gave him meat and drink, and made him a present of two florins, at the same time proposing to instruct him in his own trade of weaving Persian silks, which are fabricated in Holland.

Candide, penetrated with so much goodness, threw himself at his feet, crying, “Now I am convinced that my Master Pangloss told me truth when he said that everything was for the best in this world; for I am infinitely more affected with your extraordinary generosity than with the inhumanity of that gentleman in the black cloak and his wife.”

8

C H A P T E R 4

How Candide Found His Old Master Pangloss Again and What Happened to Him

The next day, as Candide was walking out, he met a beggar all covered with scabs, his eyes sunk in his head, the end of his nose eaten off, his mouth drawn on one side, his teeth as black as a cloak, snuffling and coughing most violently, and every time he attempted to spit out dropped a tooth.

Candide, divided between compassion and horror, but giving way to the former, bestowed on this shocking figure the two florins which the honest Anabaptist, James, had just before given to him. The specter looked at him very earnestly, shed tears and threw his arms about his neck. Candide started back aghast.

“Alas!” said the one wretch to the other, “don’t you know dear Pangloss?”

“What do I hear? Is it you, my dear master! you I behold in this piteous plight? What dreadful misfortune has befallen you? What has made you leave the most magnificent and delightful of all castles?What has become of Miss Cunegund, the mirror of young ladies, and Nature’s masterpiece?”

“Oh, Lord!” cried Pangloss, “I am so weak I cannot stand,” upon which Candide instantly led him to the Anabaptist’s stable, and procured him something to eat.

As soon as Pangloss had a little refreshed himself, Candide began to repeat his inquiries concerning Miss Cunegund.

“She is dead,” replied the other. “Dead!” cried Candide, and immediately fainted away; his friend

restored him by the help of a little bad vinegar, which he found by chance in the stable.

Candide opened his eyes, and again repeated: “Dead! is Miss Cunegund dead? Ah, where is the best of worlds now? But of what illness did she die? Was it of grief on seeing her father kick me out of his magnificent castle?”

“No,” replied Pangloss, “her body was ripped open by the Bulgarian soldiers, after they had subjected her to as much cruelty as a damsel could survive; they knocked the Baron, her father, on the head

Candide 9

for attempting to defend her; My Lady, her mother, was cut in pieces; my poor pupil was served just in the same manner as his sister; and as for the castle, they have not left one stone upon another; they have destroyed all the ducks, and sheep, the barns, and the trees; but we have had our revenge, for the Abares have done the very same thing in a neighboring barony, which belonged to a Bulgarian lord.”

At hearing this, Candide fainted away a second time, but, not withstanding, having come to himself again, he said all that it became him to say; he inquired into the cause and effect, as well as into the sufficing reason that had reduced Pangloss to so miserable a condition.

“Alas,” replied the preceptor, “it was love; love, the comfort of the human species; love, the preserver of the universe; the soul of all sensible beings; love! tender love!”

“Alas,” cried Candide, “I have had some knowledge of love myself, this sovereign of hearts, this soul of souls; yet it never cost me more than a kiss and twenty kicks on the backside. But how could this beautiful cause produce in you so hideous an effect?”

Pangloss made answer in these terms: “O my dear Candide, you must remember Pacquette, that pretty

wench, who waited on our noble Baroness; in her arms I tasted the pleasures of Paradise, which produced these Hell torments with which you see me devoured. She was infected with an ailment, and perhaps has since died of it; she received this present of a learned Franciscan, who derived it from the fountainhead; he was indebted for it to an old countess, who had it of a captain of horse, who had it of a marchioness, who had it of a page, the page had it of a Jesuit, who, during his novitiate, had it in a direct line from one of the fellow adventurers of Christopher Columbus; for my part I shall give it to nobody, I am a dying man.”

“O sage Pangloss,” cried Candide, “what a strange genealogy is this!Is not the devil the root of it?”

“Not at all,” replied the great man, “it was a thing unavoidable, a necessary ingredient in the best of worlds; for if Columbus had not caught in an island in America this disease, which contaminates the source of generation, and frequently impedes propagation itself, and is evidently opposed to the great end of nature, we should have had neither chocolate nor cochineal. It is also to be observed, that, even to the present time, in this continent of ours, this malady, like our religious controversies, is peculiar to ourselves.The Turks, the Indians, the Persians, the Chinese, the Siamese, and the Japanese are entirely unacquainted with it; but there is a sufficing reason for them to know it in a few centuries. In the meantime, it is making prodigious havoc among us, especially in those armies composed of well disciplined

10 VOLTAIRE

hirelings, who determine the fate of nations; for we may safely affirm, that, when an army of thirty thousand men engages another equal in size, there are about twenty thousand infected with syphilis on each side.”

“Very surprising, indeed,” said Candide, “but you must get cured.” “Lord help me, how can I?” said Pangloss. “My dear friend, I have

not a penny in the world; and you know one cannot be bled or have an enema without money.”

This last speech had its effect on Candide; he flew to the charitable Anabaptist, James; he flung himself at his feet, and gave him so striking a picture of the miserable condition of his friend that the good man without any further hesitation agreed to take Dr.Pangloss into his house, and to pay for his cure. The cure was effected with only the loss of one eye and an ear. As be wrote a good hand, and understood accounts tolerably well, the Anabaptist made him his bookkeeper. At the expiration of two months, being obliged by some mercantile affairs to go to Lisbon he took the two philosophers with him in the same ship; Pangloss, during the course of the voyage, explained to him how everything was so constituted that it could not be better. James did not quite agree with him on this point.

“Men,” said he “must, in some things, have deviated from their original innocence; for they were not born wolves, and yet they worry one another like those beasts of prey. God never gave them twenty– four pounders nor bayonets, and yet they have made cannon and bayonets to destroy one another. To this account I might add not only bankruptcies, but the law which seizes on the effects of bankrupts, only to cheat the creditors.”

“All this was indispensably necessary,” replied the one–eyed doctor, “for private misfortunes are public benefits; so that the more private misfortunes there are, the greater is the general good.”

While he was arguing in this manner, the sky was overcast, the winds blew from the four quarters of the compass, and the ship was assailed by a most terrible tempest, within sight of the port of Lisbon.

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C H A P T E R 5

A Tempest, a Shipwreck, an Earthquake, and What Else Befell Dr. Pangloss, Candide, and James, the Anabaptist

One half of the passengers, weakened and half–dead with the inconceivable anxiety and sickness which the rolling of a vessel at sea occasions through the whole human frame, were lost to all sense of the danger that surrounded them. The others made loud outcries, or betook themselves to their prayers; the sails were blown into shreds, and the masts were brought by the board. The vessel was a total wreck. Everyone was busily employed, but nobody could be either heard or obeyed. The Anabaptist, being upon deck, lent a helping hand as well as the rest, when a brutish sailor gave him a blow and laid him speechless; but, not withstanding, with the violence of the blow the tar himself tumbled headforemost overboard, and fell upon a piece of the broken mast, which he immediately grasped.

Honest James, forgetting the injury he had so lately received from him, flew to his assistance, and, with great difficulty, hauled him in again, but, not withstanding, in the attempt, was, by a sudden jerk of the ship, thrown overboard himself, in sight of the very fellow whom he had risked his life to save and who took not the least notice of him in this distress. Candide, who beheld all that passed and saw his benefactor one moment rising above water, and the next swallowed up by the merciless waves, was preparing to jump after him, but was prevented by the philosopher Pangloss, who demonstrated to him that the roadstead of Lisbon had been made on purpose for the Anabaptist to be drowned there. While he was proving his argument a priori, the ship foundered, and the whole crew perished, except Pangloss, Candide, and the sailor who had been the means of drowning the good Anabaptist.The villain swam ashore; but Pangloss and Candide reached the land upon a plank.

As soon as they had recovered from their surprise and fatigue they walked towards Lisbon; with what little money they had left they thought to save themselves from starving after having escaped drowning.

Scarcely had they ceased to lament the loss of their benefactor and set foot in the city, when they perceived that the earth trembled under

12 VOLTAIRE

their feet, and the sea, swelling and foaming in the harbor, was dashing in pieces the vessels that were riding at anchor. Large sheets of flames and cinders covered the streets and public places; the houses tottered, and were tumbled topsy–turvy even to their foundations, which were themselves destroyed, and thirty thousand inhabitants of both sexes, young and old, were buried beneath the ruins.

The sailor, whistling and swearing, cried, “Damn it, there’s something to be got here.”

“What can be the sufficing reason of this phenomenon?” said Pangloss.

“It is certainly the day of judgment,” said Candide. The sailor, defying death in the pursuit of plunder, rushed into the

midst of the ruin, where he found some money, with which he got drunk, and, after he had slept himself sober he purchased the favors of the first good–natured wench that came in his way, amidst the ruins of demolished houses and the groans of half–buried and expiring persons.

Pangloss pulled him by the sleeve. “Friend,” said he, “this is not right, you trespass against the universal reason, and have mistaken your time.”

“Death and zounds!” answered the other, “I am a sailor and was born at Batavia, and have trampled four times upon the crucifix in as many voyages to Japan; you have come to a good hand with your universal reason.”

In the meantime, Candide, who had been wounded by some pieces of stone that fell from the houses, lay stretched in the street, almost covered with rubbish.

“For God’s sake,” said he to Pangloss, “get me a little wine and oil! I am dying.”

“This concussion of the earth is no new thing,” said Pangloss, “the city of Lima in South America experienced the same last year; the same cause, the same effects; there is certainly a train of sulphur all the way underground from Lima to Lisbon.”

“Nothing is more probable,” said Candide; “but for the love of God a little oil and wine.”

“Probable!” replied the philosopher, “I maintain that the thing is demonstrable.”

Candide fainted away, and Pangloss fetched him some water from a neighboring spring. The next day, in searching among the ruins, they found some eatables with which they repaired their exhausted strength.After this they assisted the inhabitants in relieving the distressed and wounded. Some, whom they had humanely assisted, gave them as good a dinner as could be expected under such terrible circumstances. The repast, indeed, was mournful, and the company

Candide 13

moistened their bread with their tears; but Pangloss endeavored to comfort them under this affliction by affirming that things could not be otherwise that they were.

“For,” said he, “all this is for the very best end, for if there is a volcano at Lisbon it could be in no other spot; and it is impossible but things should be as they are, for everything is for the best.”

By the side of the preceptor sat a little man dressed in black, who was one of the familiars of the Inquisition. This person, taking him up with great complaisance, said, “Possibly, my good sir, you do not believe in original sin; for, if everything is best, there could have been no such thing as the fall or punishment of man.”

Your Excellency will pardon me,” answered Pangloss, still more politely; “for the fall of man and the curse consequent thereupon necessarily entered into the system of the best of worlds.”

“That is as much as to say, sir,” rejoined the familiar, “you do not believe in free will.”

“Your Excellency will be so good as to excuse me,” said Pangloss, “free will is consistent with absolute necessity; for it was necessary we should be free, for in that the will –”

Pangloss was in the midst of his proposition, when the familiar beckoned to his attendant to help him to a glass of port wine.

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C H A P T E R 6

How the Portuguese Made a Superb Auto–De–Fe to Prevent Any Future Earthquakes, and How Candide

Underwent Public Flagellation

After the earthquake, which had destroyed three–fourths of the city of Lisbon, the sages of that country could think of no means more effectual to preserve the kingdom from utter ruin than to entertain the people with an auto–da–fe, it having been decided by the University of Coimbra, that the burning of a few people alive by a slow fire, and with great ceremony, is an infallible preventive of earthquakes.

In consequence thereof they had seized on a Biscayan for marrying his godmother, and on two Portuguese for taking out the bacon of a larded pullet they were eating; after dinner they came and secured Dr.Pangloss, and his pupil Candide, the one for speaking his mind, and the other for seeming to approve what he had said. They were conducted to separate apartments, extremely cool, where they were never incommoded with the sun. Eight days afterwards they were each dressed in a sanbenito, and their heads were adorned with paper mitres. The mitre and sanbenito worn by Candide were painted with flames reversed and with devils that had neither tails nor claws; but Dr. Pangloss’s devils had both tails and claws, and his flames were upright. In these habits they marched in procession, and heard a very pathetic sermon, which was followed by an anthem, accompanied by bagpipes. Candide was flogged to some tune, while the anthem was being sung; the Biscayan and the two men who would not eat bacon were burned, and Pangloss was hanged, which is not a common custom at these solemnities. The same day there was another earthquake, which made most dreadful havoc.

Candide, amazed, terrified, confounded, astonished, all bloody, and trembling from head to foot, said to himself, “If this is the best of all possible worlds, what are the others? If I had only been whipped, I could have put up with it, as I did among the Bulgarians; but, not withstanding, oh my dear Pangloss! my beloved master! thou greatest of philosophers! that ever I should live to see thee hanged, without knowing for what! O my dear Anabaptist, thou best of men, that it should be thy fate to be drowned in the very harbor! O Miss Cunegund,

Candide 15

you mirror of young ladies! that it should be your fate to have your body ripped open!”

He was making the best of his way from the place where he had been preached to, whipped, absolved and blessed, when he was accosted by an old woman, who said to him, “Take courage, child, and follow me.”

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C H A P T E R 7

How the Old Woman Took Care Of Candide, and How He Found the Object of His Love

Candide followed the old woman, though without taking courage, to a decayed house, where she gave him a pot of pomatum to anoint his sores, showed him a very neat bed, with a suit of clothes hanging by it; and set victuals and drink before him.

“There,” said she, “eat, drink, and sleep, and may Our Lady of Atocha, and the great St. Anthony of Padua, and the illustrious St.James of Compostella, take you under their protection. I shall be back tomorrow.”

Candide, struck with amazement at what he had seen, at what he had suffered, and still more with the charity of the old woman, would have shown his acknowledgment by kissing her hand.

“It is not my hand you ought to kiss,” said the old woman. “I shall be back tomorrow. Anoint your back, eat, and take your rest.”

Candide, notwithstanding so many disasters, ate and slept. The next morning, the old woman brought him his breakfast; examined his back, and rubbed it herself with another ointment. She returned at the proper time, and brought him his dinner; and at night, she visited him again with his supper. The next day she observed the same ceremonies.

“Who are you?” said Candide to her. “Who has inspired you with so much goodness? What return can I make you for this charitable assistance?”

The good old beldame kept a profound silence. In the evening she returned, but without his supper.

“Come along with me,” said she, “but do not speak a word.” She took him by the arm, and walked with him about a quarter of a

mile into the country, till they came to a lonely house surrounded with moats and gardens. The old conductress knocked at a little door, which was immediately opened, and she showed him up a pair of back stairs, into a small, but richly furnished apartment. There she made him sit down on a brocaded sofa, shut the door upon him, and left him. Candide thought himself in a trance; he looked upon his whole life, hitherto, as a frightful dream, and the present moment as a very agreeable one.

Candide 17

The old woman soon returned, supporting, with great difficulty, a young lady, who appeared scarce able to stand. She was of a majestic mien and stature, her dress was rich, and glittering with diamonds, and her face was covered with a veil.

“Take off that veil,” said the old woman to Candide. The young man approached, and, with a trembling hand, took off

her veil. What a happy moment! What surprise! He thought he beheld Miss Cunegund; he did behold her – it was she herself. His strength failed him, he could not utter a word, he fell at her feet. Cunegund fainted upon the sofa. The old woman bedewed them with spirits; they recovered – they began to speak. At first they could express themselves only in broken accents; their questions and answers were alternately interrupted with sighs, tears, and exclamations. The old woman desired them to make less noise, and after this prudent admonition left them together.

“Good heavens!” cried Candide, “is it you? Is it Miss Cunegund I behold, and alive? Do I find you again in Portugal? then you have not been ravished? they did not rip open your body, as the philosopher Pangloss informed me?”

“Indeed but they did,” replied Miss Cunegund; “but these two accidents do not always prove mortal.”

“But were your father and mother killed?” “Alas!” answered she, “it is but too true!” and she wept. “And your brother?” “And my brother also.” “And how came you into Portugal? And how did you know of my

being here? And by what strange adventure did you contrive to have me brought into this house? And how –”

“I will tell you all,” replied the lady, “but first you must acquaint me with all that has befallen you since the innocent kiss you gave me, and the rude kicking you received in consequence of it.”

Candide, with the greatest submission, prepared to obey the commands of his fair mistress; and though he was still filled with amazement, though his voice was low and tremulous, though his back pained him, yet he gave her a most ingenuous account of everything that had befallen him, since the moment of their separation. Cunegund, with her eyes uplifted to heaven, shed tears when he related the death of the good Anabaptist, James, and of Pangloss; after which she thus related her adventures to Candide, who lost not one syllable she uttered, and seemed to devour her with his eyes all the time she was speaking.

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C H A P T E R 8

Cunegund’s Story

I was in bed, and fast asleep, when it pleased Heaven to send the Bulgarians to our delightful castle of Thunder–ten–tronckh, where they murdered my father and brother, and cut my mother in pieces. A tall Bulgarian soldier, six feet high, perceiving that I had fainted away at this sight, attempted to ravish me; the operation brought me to my senses. I cried, I struggled, I bit, I scratched, I would have torn the tall Bulgarian’s eyes out, not knowing that what had happened at my father’s castle was a customary thing. The brutal soldier, enraged at my resistance, gave me a wound in my left leg with his hanger, the mark of which I still carry.”

“Methinks I long to see it,” said Candide, with all imaginable simplicity.

“You shall,” said Cunegund, “but let me proceed.” “Pray do,” replied Candide. She continued. “A Bulgarian captain came in, and saw me

weltering in my blood, and the soldier still as busy as if no one had been present.The officer, enraged at the fellow’s want of respect to him, killed him with one stroke of his sabre as he lay upon me. This captain took care of me, had me cured, and carried me as a prisoner of war to his quarters. I washed what little linen he possessed, and cooked his victuals: he was very fond of me, that was certain; neither can I deny that he was well made, and had a soft, white skin, but he was very stupid, and knew nothing of philosophy: it might plainly be perceived that he had not been educated under Dr. Pangloss. In three months, having gambled away all his money, and having grown tired of me, he sold me to a Jew, named Don Issachar, who traded in Holland and Portugal, and was passionately fond of women. This Jew showed me great kindness, in hopes of gaining my favors; but he never could prevail on me to yield. A modest woman may be once ravished; but her virtue is greatly strengthened thereby. In order to make sure of me, he brought me to this country house you now see. I had hitherto believed that nothing could equal the beauty of the castle of Thunder–ten– tronckh; but I found I was mistaken.

Candide 19

“The Grand Inquisitor saw me one day at Mass, ogled me all the time of service, and when it was over, sent to let me know he wanted to speak with me about some private business. I was conducted to his palace, where I told him all my story; he represented to me how much it was beneath a person of my birth to belong to a circumcised Israelite. He caused a proposal to be made to Don Issachar, that he should resign me to His Lordship. Don Issachar, being the court banker and a man of credit, was not easy to be prevailed upon. His Lordship threatened him with an auto–da–fe; in short, my Jew was frightened into a compromise, and it was agreed between them, that the house and myself should belong to both in common; that the Jew should have Monday, Wednesday, and the Sabbath to himself; and the Inquisitor the other four days of the week. This agreement has subsisted almost six months; but not without several contests, whether the space from Saturday night to Sunday morning belonged to the old or the new law.For my part, I have hitherto withstood them both, and truly I believe this is the very reason why they are both so fond of me.

“At length to turn aside the scourge of earthquakes, and to intimidate Don Issachar, My Lord Inquisitor was pleased to celebrate an auto–da–fe. He did me the honor to invite me to the ceremony. I had a very good seat; and refreshments of all kinds were offered the ladies between Mass and the execution. I was dreadfully shocked at the burning of the two Jews, and the honest Biscayan who married his godmother; but how great was my surprise, my consternation, and concern, when I beheld a figure so like Pangloss, dressed in a sanbenito and mitre! I rubbed my eyes, I looked at him attentively.I saw him hanged, and I fainted away: scarce had I recovered my senses, when I saw you stripped of clothing; this was the height of horror, grief, and despair. I must confess to you for a truth, that your skin is whiter and more blooming than that of the Bulgarian captain. This spectacle worked me up to a pitch of distraction. I screamed out, and would have said, ‘Hold, barbarians!’ but my voice failed me; and indeed my cries would have signified nothing. After you had been severely whipped, I said to myself, ‘How is it possible that the lovely Candide and the sage Pangloss should be at Lisbon, the one to receive a hundred lashes, and the other to be hanged by order of My Lord Inquisitor, of whom I am so great a favorite? Pangloss deceived me most cruelly, in saying that everything is for the best.’

“Thus agitated and perplexed, now distracted and lost, now half dead with grief, I revolved in my mind the murder of my father, mother, and brother, committed before my eyes; the insolence of the rascally Bulgarian soldier; the wound he gave me in the groin; my servitude; my being a cook–wench to my Bulgarian captain; my

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subjection to the hateful Jew, and my cruel Inquisitor; the hanging of Doctor Pangloss; the Miserere sung while you were being whipped; and particularly the kiss I gave you behind the screen, the last day I ever beheld you. I returned thanks to God for having brought you to the place where I was, after so many trials. I charged the old woman who attends me to bring you hither as soon as was convenient. She has punctually executed my orders, and I now enjoy the inexpressible satisfaction of seeing you, hearing you, and speaking to you. But you must certainly be half–dead with hunger; I myself have a great inclination to eat, and so let us sit down to supper.”

Upon this the two lovers immediately placed themselves at table, and, after having supped, they returned to seat themselves again on the magnificent sofa already mentioned, where they were in amorous dalliance, when Senor Don Issachar, one of the masters of the house, entered unexpectedly; it was the Sabbath day, and he came to enjoy his privilege, and sigh forth his passion at the feet of the fair Cunegund.

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C H A P T E R 9

What Happened to Cunegund, Candide, the Grand Inquisitor, and the Jew

This same Issachar was the most choleric little Hebrew that had ever been in Israel since the captivity of Babylon.

“What,” said he, “thou Galilean slut? The Inquisitor was not enough for thee, but this rascal must come in for a share with me?”

In uttering these words, he drew out a long poniard, which he always carried about him, and never dreaming that his adversary had any arms, he attacked him most furiously; but our honest Westphalian had received from the old woman a handsome sword with the suit of clothes.Candide drew his rapier, and though he was very gentle and sweet–tempered, he laid the Israelite dead on the floor at the fair Cunegund’s feet.

“Holy Virgin!” cried she, “what will become of us? A man killed in my apartment! If the peace–officers come, we are undone.”

“Had not Pangloss been hanged,” replied Candide, “he would have given us most excellent advice, in this emergency; for he was a profound philosopher. But, since he is not here, let us consult the old woman.”

She was very sensible, and was beginning to give her advice, when another door opened on a sudden. It was now one o’clock in the morning, and of course the beginning of Sunday, which, by agreement, fell to the lot of My Lord Inquisitor. Entering he discovered the flagellated Candide with his drawn sword in his hand, a dead body stretched on the floor, Cunegund frightened out of her wits, and the old woman giving advice.

At that very moment, a sudden thought came into Candide’s head.”If this holy man,” thought he, “should call assistance, I shall most undoubtedly be consigned to the flames, and Miss Cunegund may perhaps meet with no better treatment: besides, he was the cause of my being so cruelly whipped; he is my rival; and as I have now begun to dip my hands in blood, I will kill away, for there is no time to hesitate.”

This whole train of reasoning was clear and instantaneous; so that, without giving time to the Inquisitor to recover from his surprise, he ran him through the body, and laid him by the side of the Jew.

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“Here’s another fine piece of work!” cried Cunegund. “Now there can be no mercy for us, we are excommunicated; our last hour is come. But how could you, who are of so mild a temper, despatch a Jew and an Inquisitor in two minutes’ time?”

“Beautiful maiden,” answered Candide, “when a man is in love, is jealous, and has been flogged by the Inquisition, he becomes lost to all reflection.”

The old woman then put in her word: “There are three Andalusian horses in the stable, with as many

bridles and saddles; let the brave Candide get them ready. Madam has a parcel of moidores and jewels, let us mount immediately, though I have lost one buttock; let us set out for Cadiz; it is the finest weather in the world, and there is great pleasure in traveling in the cool of the night.”

Candide, without any further hesitation, saddled the three horses; and Miss Cunegund, the old woman, and he, set out, and traveled thirty miles without once halting. While they were making the best of their way, the Holy Brotherhood entered the house. My Lord, the Inquisitor, was interred in a magnificent manner, and Master Issachar’s body was thrown upon a dunghill.

Candide, Cunegund, and the old woman, had by this time reached the little town of Avacena, in the midst of the mountains of Sierra Morena, and were engaged in the following conversation in an inn, where they had taken up their quarters.

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C H A P T E R 1 0

In What Distress Candide, Cunegund, and the Old Woman Arrive at Cadiz, and Of Their Embarkation

Who could it be that has robbed me of my moidores and jewels?” exclaimed Miss Cunegund, all bathed in tears. “How shall we live? What shall we do? Where shall I find Inquisitors and Jews who can give me more?”

“Alas!” said the old woman, “I have a shrewd suspicion of a reverend Franciscan father, who lay last night in the same inn with us at Badajoz. God forbid I should condemn any one wrongfully, but he came into our room twice, and he set off in the morning long before us.”

“Alas!” said Candide, “Pangloss has often demonstrated to me that the goods of this world are common to all men, and that everyone has an equal right to the enjoyment of them; but, not withstanding, according to these principles, the Franciscan ought to have left us enough to carry us to the end of our journey. Have you nothing at all left, my dear Miss Cunegund?”

“Not a maravedi,” replied she. “What is to be done then?” said Candide. “Sell one of the horses,” replied the old woman. “I will get up

behind Miss Cunegund, though I have only one buttock to ride on, and we shall reach Cadiz.”

In the same inn there was a Benedictine friar, who bought the horse very cheap. Candide, Cunegund, and the old woman, after passing through Lucina, Chellas, and Letrixa, arrived at length at Cadiz. A fleet was then getting ready, and troops were assembling in order to induce the reverend fathers, Jesuits of Paraguay, who were accused of having excited one of the Indian tribes in the neighborhood of the town of the Holy Sacrament, to revolt against the Kings of Spain and Portugal.

Candide, having been in the Bulgarian service, performed the military exercise of that nation before the general of this little army with so intrepid an air, and with such agility and expedition, that he received the command of a company of foot. Being now made a captain, he embarked with Miss Cunegund, the old woman, two valets,

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and the two Andalusian horses, which had belonged to the Grand Inquisitor of Portugal.

During their voyage they amused themselves with many profound reasonings on poor Pangloss’s philosophy.

“We are now going into another world, and surely it must be there that everything is for the best; for I must confess that we have had some little reason to complain of what passes in ours, both as to the physical and moral part. Though I have a sincere love for you,” said Miss Cunegund, “yet I still shudder at the reflection of what I have seen and experienced.”

“All will be well,” replied Candide, “the sea of this new world is already better than our European seas: it is smoother, and the winds blow more regularly.”

“God grant it,” said Cunegund, “but I have met with such terrible treatment in this world that I have almost lost all hopes of a better one.”

“What murmuring and complaining is here indeed!” cried the old woman. “If you had suffered half what I have, there might be some reason for it.”

Miss Cunegund could scarce refrain from laughing at the good old woman, and thought it droll enough to pretend to a greater share of misfortunes than her own.

“Alas! my good dame,” said she, “unless you had been ravished by two Bulgarians, had received two deep wounds in your belly, had seen two of your own castles demolished, had lost two fathers, and two mothers, and seen both of them barbarously murdered before your eyes, and to sum up all, had two lovers whipped at an auto–da–fe, I cannot see how you could be more unfortunate than I. Add to this, though born a baroness, and bearing seventy–two quarterings, I have been reduced to the station of a cook–wench.”

“Miss,” replied the old woman, “you do not know my family as yet; but if I were to show you my posteriors, you would not talk in this manner, but suspend your judgment.” This speech raised a high curiosity in Candide and Cunegund; and the old woman continued as follows.

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C H A P T E R 1 1

The History of the Old Woman

I have not always been blear–eyed. My nose did not always touch my chin; nor was I always a servant. You must know that I am the daughter of Pope Urban X, and of the Princess of Palestrina. To the age of fourteen I was brought up in a castle, compared with which all the castles of the German barons would not have been fit for stabling, and one of my robes would have bought half the province of Westphalia. I grew up, and improved in beauty, wit, and every graceful accomplishment; and in the midst of pleasures, homage, and the highest expectations. I already began to inspire the men with love. My breast began to take its right form, and such a breast! white, firm, and formed like that of the Venus de’ Medici; my eyebrows were as black as jet, and as for my eyes, they darted flames and eclipsed the luster of the stars, as I was told by the poets of our part of the world. My maids, when they dressed and undressed me, used to fall into an ecstasy in viewing me before and behind; and all the men longed to be in their places.

“I was contracted in marriage to a sovereign prince of Massa Carrara. Such a prince! as handsome as myself, sweet–tempered, agreeable, witty, and in love with me over head and ears. I loved him, too, as our sex generally do for the first time, with rapture, transport, and idolatry. The nuptials were prepared with surprising pomp and magnificence; the ceremony was attended with feasts, carousals, and burlesques: all Italy composed sonnets in my praise, though not one of them was tolerable.

“I was on the point of reaching the summit of bliss, when an old marchioness, who had been mistress to the Prince, my husband, invited him to drink chocolate. In less than two hours after he returned from the visit, he died of most terrible convulsions.

“But this is a mere trifle. My mother, distracted to the highest degree, and yet less afflicted than I, determined to absent herself for some time from so fatal a place. As she had a very fine estate in the neighborhood of Gaeta, we embarked on board a galley, which was gilded like the high altar of St. Peter’s, at Rome. In our passage we were boarded by a Sallee rover. Our men defended themselves like true

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Pope’s soldiers; they flung themselves upon their knees, laid down their arms, and begged the corsair to give them absolution in articulo mortis.

“The Moors presently stripped us as bare as ever we were born. My mother, my maids of honor, and myself, were served all in the same manner. It is amazing how quick these gentry are at undressing people.But what surprised me most was, that they made a rude sort of surgical examination of parts of the body which are sacred to the functions of nature. I thought it a very strange kind of ceremony; for thus we are generally apt to judge of things when we have not seen the world. I afterwards learned that it was to discover if we had any diamonds concealed. This practice had been established since time immemorial among those civilized nations that scour the seas. I was informed that the religious Knights of Malta never fail to make this search whenever any Moors of either sex fall into their hands. It is a part of the law of nations, from which they never deviate.

“I need not tell you how great a hardship it was for a young princess and her mother to be made slaves and carried to Morocco.You may easily imagine what we must have suffered on board a corsair. My mother was still extremely handsome, our maids of honor, and even our common waiting–women, had more charms than were to be found in all Africa.

“As to myself, I was enchanting; I was beauty itself, and then I had my virginity. But, alas! I did not retain it long; this precious flower, which had been reserved for the lovely Prince of Massa Carrara, was cropped by the captain of the Moorish vessel, who was a hideous Negro, and thought he did me infinite honor. Indeed, both the Princess of Palestrina and myself must have had very strong constitutions to undergo all the hardships and violences we suffered before our arrival at Morocco. But I will not detain you any longer with such common things; they are hardly worth mentioning.

“Upon our arrival at Morocco we found that kingdom deluged with blood. Fifty sons of the Emperor Muley Ishmael were each at the head of a party. This produced fifty civil wars of blacks against blacks, of tawnies against tawnies, and of mulattoes against mulattoes. In short, the whole empire was one continued scene of carnage.

“No sooner were we landed than a party of blacks, of a contrary faction to that of my captain, came to rob him of his booty. Next to the money and jewels, we were the most valuable things he had. I witnessed on this occasion such a battle as you never beheld in your cold European climates. The northern nations have not that fermentation in their blood, nor that raging lust for women that is so common in Africa. The natives of Europe seem to have their veins

Candide 27

filled with milk only; but fire and vitriol circulate in those of the inhabitants of Mount Atlas and the neighboring provinces. They fought with the fury of the lions, tigers, and serpents of their country, to decide who should have us. A Moor seized my mother by the right arm, while my captain’s lieutenant held her by the left; another Moor laid hold of her by the right leg, and one of our corsairs held her by the other. In this manner almost all of our women were dragged by four soldiers.

“My captain kept me concealed behind him, and with his drawn scimitar cut down everyone who opposed him; at length I saw all our Italian women and my mother mangled and torn in pieces by the monsters who contended for them. The captives, my companions, the Moors who took us, the soldiers, the sailors, the blacks, the whites, the mulattoes, and lastly, my captain himself, were all slain, and I remained alone expiring upon a heap of dead bodies. Similar barbarous scenes were transacted every day over the whole country, which is of three hundred leagues in extent, and yet they never missed the five stated times of prayer enjoined by their prophet Mahomet.

“I disengaged myself with great difficulty from such a heap of corpses, and made a shift to crawl to a large orange tree that stood on the bank of a neighboring rivulet, where I fell down exhausted with fatigue, and overwhelmed with horror, despair, and hunger. My senses being overpowered, I fell asleep, or rather seemed to be in a trance. Thus I lay in a state of weakness and insensibility between life and death, when I felt myself pressed by something that moved up and down upon my body. This brought me to myself. I opened my eyes, and saw a pretty fair–faced man, who sighed and muttered these words between his teeth, ‘O che sciagura d’essere senza coglioni!”’

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C H A P T E R 1 2

The Adventures of the Old Woman Continued

Astonished and delighted to hear my native language, and no less surprised at the young man’s words, I told him that there were far greater misfortunes in the world than what he complained of. And to convince him of it, I gave him a short history of the horrible disasters that had befallen me; and as soon as I had finished, fell into a swoon again.

“He carried me in his arms to a neighboring cottage, where he had me put to bed, procured me something to eat, waited on me with the greatest attention, comforted me, caressed me, told me that he had never seen anything so perfectly beautiful as myself, and that he had never so much regretted the loss of what no one could restore to him.

“‘I was born at Naples,’ said he, ‘where they make eunuchs of thousands of children every year; some die of the operation; some acquire voices far beyond the most tuneful of your ladies; and others are sent to govern states and empires. I underwent this operation very successfully, and was one of the singers in the Princess of Palestrina’s chapel.’

“‘How,’ cried I, ‘in my mother’s chapel!’ “‘The Princess of Palestrina, your mother!’ cried he, bursting into a

flood of tears. ‘Is it possible you should be the beautiful young princess whom I had the care of bringing up till she was six years old, and who at that tender age promised to be as fair as I now behold you?’

“‘I am the same,’ I replied. ‘My mother lies about a hundred yards from here cut in pieces and buried under a heap of dead bodies.’

“I then related to him all that had befallen me, and he in return acquainted me with all his adventures, and how he had been sent to the court of the King of Morocco by a Christian prince to conclude a treaty with that monarch; in consequence of which he was to be furnished with military stores, and ships to destroy the commerce of other Christian governments.

“‘I have executed my commission,’ said the eunuch; ‘I am going to take ship at Ceuta, and I’ll take you along with me to Italy. Ma che sciagura d’essere senza coglioni!’

Candide 29

“I thanked him with tears of joy, but, not withstanding, instead of taking me with him to Italy, he carried me to Algiers, and sold me to the Dey of that province. I had not been long a slave when the plague, which had made the tour of Africa, Asia, and Europe, broke out at Algiers with redoubled fury. You have seen an earthquake; but tell me, miss, have you ever had the plague?”

“Never,” answered the young Baroness. “If you had ever had it,” continued the old woman, “you would

own an earthquake was a trifle to it. It is very common in Africa; I was seized with it. Figure to yourself the distressed condition of the daughter of a Pope, only fifteen years old, and who in less than three months had felt the miseries of poverty and slavery; had been debauched almost every day; had beheld her mother cut into four quarters; had experienced the scourges of famine and war; and was now dying of the plague at Algiers. I did not, however, die of it; but my eunuch, and the Dey, and almost the whole seraglio of Algiers, were swept off.

“As soon as the first fury of this dreadful pestilence was over, a sale was made of the Dey’s slaves. I was purchased by a merchant who carried me to Tunis. This man sold me to another merchant, who sold me again to another at Tripoli; from Tripoli I was sold to Alexandria, from Alexandria to Smyrna, and from Smyrna to Constantinople. After many changes, I at length became the property of an Aga of the Janissaries, who, soon after I came into his possession, was ordered away to the defense of Azoff, then besieged by the Russians.

“The Aga, being very fond of women, took his whole seraglio with him, and lodged us in a small fort, with two black eunuchs and twenty soldiers for our guard. Our army made a great slaughter among the Russians; but they soon returned us the compliment. Azoff was taken by storm, and the enemy spared neither age, sex, nor condition, but put all to the sword, and laid the city in ashes. Our little fort alone held out; they resolved to reduce us by famine.The twenty janissaries, who were left to defend it, had bound themselves by an oath never to surrender the place. Being reduced to the extremity of famine, they found themselves obliged to kill our two eunuchs, and eat them rather than violate their oath. But this horrible repast soon failing them, they next determined to devour the women.

“We had a very pious and humane man, who gave them a most excellent sermon on this occasion, exhorting them not to kill us all at once. ‘Cut off only one of the buttocks of each of those ladies,’ said he, ‘and you will fare extremely well; if you are under the necessity of having recourse to the same expedient again, you will find the like

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supply a few days hence. Heaven will approve of so charitable an action, and work your deliverance.’

“By the force of this eloquence he easily persuaded them, and all of us underwent the operation. The man applied the same balsam as they do to children after circumcision. We were all ready to give up the ghost.

“The Janissaries had scarcely time to finish the repast with which we had supplied them, when the Russians attacked the place by means of flat–bottomed boats, and not a single janissary escaped. The Russians paid no regard to the condition we were in; but there are French surgeons in all parts of the world, and one of them took us under his care, and cured us. I shall never forget, while I live, that as soon as my wounds were perfectly healed he made me certain proposals. In general, he desired us all to be of a good cheer, assuring us that the like had happened in many sieges; and that it was perfectly agreeable to the laws of war.

“As soon as my companions were in a condition to walk, they were sent to Moscow. As for me, I fell to the lot of a Boyard, who put me to work in his garden, and gave me twenty lashes a day. But this nobleman having about two years afterwards been broken alive upon the wheel, with about thirty others, for some court intrigues, I took advantage of the event, and made my escape. I traveled over a great part of Russia. I was a long time an innkeeper’s servant at Riga, then at Rostock, Wismar, Leipsic, Cassel, Utrecht, Leyden, The Hague, and Rotterdam. I have grown old in misery and disgrace, living with only one buttock, and having in perpetual remembrance that I am a Pope’s daughter. I have been a hundred times upon the point of killing myself, but still I was fond of life. This ridiculous weakness is, perhaps, one of the dangerous principles implanted in our nature. For what can be more absurd than to persist in carrying a burden of which we wish to be eased? to detest, and yet to strive to preserve our existence? In a word, to caress the serpent that devours us, and hug him close to our bosoms till he has gnawed into our hearts?

“In the different countries which it has been my fate to traverse, and at the many inns where I have been a servant, I have observed a prodigious number of people who held their existence in abhorrence, and yet I never knew more than twelve who voluntarily put an end to their misery; namely, three Negroes, four Englishmen, as many Genevese, and a German professor named Robek. My last place was with the Jew, Don Issachar, who placed me near your person, my fair lady; to whose fortunes I have attached myself, and have been more concerned with your adventures than with my own. I should never have even mentioned the latter to you, had you not a little piqued me on the

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head of sufferings; and if it were not customary to tell stories on board a ship in order to pass away the time.

“In short, my dear miss, I have a great deal of knowledge and experience in the world, therefore take my advice: divert yourself, and prevail upon each passenger to tell his story, and if there is one of them all that has not cursed his existence many times, and said to himself over and over again that he was the most wretched of mortals, I give you leave to throw me headfirst into the sea.”

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C H A P T E R 1 3

How Candide Was Obliged to Leave the Fair Cunegund and the Old Woman

The fair Cunegund, being thus made acquainted with the history of the old woman’s life and adventures, paid her all the respect and civility due to a person of her rank and merit. She very readily acceded to her proposal of engaging the passengers to relate their adventures in their turns, and was at length, as well as Candide, compelled to acknowledge that the old woman was in the right.

“It is a thousand pities,” said Candide, “that the sage Pangloss should have been hanged contrary to the custom of an auto–da–fe, for he would have given us a most admirable lecture on the moral and physical evil which overspreads the earth and sea; and I think I should have courage enough to presume to offer (with all due respect) some few objections.”

While everyone was reciting his adventures, the ship continued on her way, and at length arrived at Buenos Ayres, where Cunegund, Captain Candide, and the old woman, landed and went to wait upon the governor, Don Fernando d’Ibaraa y Figueora y Mascarenes y Lampourdos y Souza. This nobleman carried himself with a haughtiness suitable to a person who bore so many names. He spoke with the most noble disdain to everyone, carried his nose so high, strained his voice to such a pitch, assumed so imperious an air, and stalked with so much loftiness and pride, that everyone who had the honor of conversing with him was violently tempted to bastinade His Excellency. He was immoderately fond of women, and Miss Cunegund appeared in his eyes a paragon of beauty. The first thing he did was to ask her if she was not the captain’s wife. The air with which he made this demand alarmed Candide, who did not dare to say he was married to her, because indeed he was not; neither did he venture to say she was his sister, because she was not; and though a lie of this nature proved of great service to one of the ancients, and might possibly be useful to some of the moderns, yet the purity of his heart would not permit him to violate the truth.

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“Miss Cunegund,” replied he, “is to do me the honor to marry me, and we humbly beseech Your Excellency to condescend to grace the ceremony with your presence.”

Don Fernando d’Ibaraa y Figueora y Mascarenes y Lampourdos y Souza, twirling his mustachio, and putting on a sarcastic smile, ordered Captain Candide to go and review his company. The gentle Candide obeyed, and the Governor was left with Miss Cunegund. He made her a strong declaration of love, protesting that he was ready to give her his hand in the face of the Church, or otherwise, as should appear most agreeable to a young lady of her prodigious beauty.Cunegund desired leave to retire a quarter of an hour to consult the old woman, and determine how she should proceed.

The old woman gave her the following counsel: “Miss, you have seventy–two quarterings in your arms, it is true,

but you have not a penny to bless yourself with. It is your own fault if you do not become the wife of one of the greatest noblemen in South America, with an exceeding fine mustachio. What business have you to pride yourself upon an unshaken constancy? You have been outraged by a Bulgarian soldier; a Jew and an Inquisitor have both tasted of your favors. People take advantage of misfortunes. I must confess, were I in your place, I should, without the least scruple, give my hand to the Governor, and thereby make the fortune of the brave Captain Candide.”

While the old woman was thus haranguing, with all the prudence that old age and experience furnish, a small bark entered the harbor, in which was an alcayde and his alguazils. Matters had fallen out as follows.

The old woman rightly guessed that the Franciscan with the long sleeves, was the person who had taken Miss Cunegund’s money and jewels, while they and Candide were at Badajoz, in their flight from Lisbon. This same friar attempted to sell some of the diamonds to a jeweler, who presently knew them to have belonged to the Grand Inquisitor, and stopped them. The Franciscan, before he was hanged, acknowledged that he had stolen them and described the persons, and the road they had taken. The flight of Cunegund and Candide was already the towntalk. They sent in pursuit of them to Cadiz; and the vessel which had been sent to make the greater dispatch, had now reached the port of Buenos Ayres. A report was spread that an alcayde was going to land, and that he was in pursuit of the murderers of My Lord, the Inquisitor. The sage old woman immediately saw what was to be done.

“You cannot run away,” said she to Cunegund, “but you have nothing to fear; it was not you who killed My Lord Inquisitor: besides,

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as the Governor is in love with you, he will not suffer you to be ill– treated; therefore stand your ground.”

Then hurrying away to Candide, she said, “Be gone hence this instant, or you will be burned alive.”

Candide found there was no time to be lost; but how could he part from Cunegund, and whither must he fly for shelter?

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C H A P T E R 1 4

The Reception Candide and Cacambo Met with among the Jesuits in Paraguay

Candide had brought with him from Cadiz such a footman as one often meets with on the coasts of Spain and in the colonies. He was the fourth part of a Spaniard, of a mongrel breed, and born in Tucuman. He had successively gone through the profession of a singing boy, sexton, sailor, monk, peddler, soldier, and lackey. His name was Cacambo; he had a great affection for his master, because his master was a very good man. He immediately saddled the two Andalusian horses.

“Come, my good master, let us follow the old woman’s advice, and make all the haste we can from this place without staying to look behind us.”

Candide burst into a flood of tears, “O my dear Cunegund, must I then be compelled to quit you just as the Governor was going to honor us with his presence at our wedding! Cunegund, so long lost and found again, what will now become of you?”

“Lord!” said Cacambo, ‘she must do as well as she can; women are never at a loss. God takes care of them, and so let us make the best of our way.”

“But whither wilt thou carry me? where can we go? what can we do without Cunegund?” cried the disconsolate Candide.

“By St. James of Compostella,” said Cacambo, “you were going to fight against the Jesuits of Paraguay; now let us go and fight for them; I know the road perfectly well; I’ll conduct you to their kingdom; they will be delighted with a captain that understands the Bulgarian drill; you will certainly make a prodigious fortune. If we cannot succeed in this world we may in another. It is a great pleasure to see new objects and perform new exploits.”

“Then you have been in Paraguay?” asked Candide. “Ay, marry, I have,” replied Cacambo. “I was a scout in the

College of the Assumption, and am as well acquainted with the new government of the Los Padres as I am with the streets of Cadiz. Oh, it is an admirable government, that is most certain! The kingdom is at present upwards of three hundred leagues in diameter, and divided into thirty provinces; the fathers there are masters of everything, and the

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people have no money at all; this you must allow is the masterpiece of justice and reason. For my part, I see nothing so divine as the good fathers, who wage war in this part of the world against the troops of Spain and Portugal, at the same time that they hear the confessions of those very princes in Europe; who kill Spaniards in America and send them to Heaven at Madrid. This pleases me exceedingly, but let us push forward; you are going to see the happiest and most fortunate of all mortals. How charmed will those fathers be to hear that a captain who understands the Bulgarian military drill is coming to them.”

As soon as they reached the first barrier, Cacambo called to the advance guard, and told them that a captain wanted to speak to My Lord, the General. Notice was given to the main guard, and immediately a Paraguayan officer ran to throw himself at the feet of the Commandant to impart this news to him. Candide and Cacambo were immediately disarmed, and their two Andalusian horses were seized. The two strangers were conducted between two files of musketeers, the Commandant was at the further end with a three–cornered cap on his head, his gown tucked up, a sword by his side, and a half–pike in his hand; he made a sign, and instantly four and twenty soldiers drew up round the newcomers. A sergeant told them that they must wait, the Commandant could not speak to them; and that the Reverend Father Provincial did not suffer any Spaniard to open his mouth but in his presence, or to stay above three hours in the province.

“And where is the Reverend Father Provincial?” said Cacambo. “He has just come from Mass and is at the parade,” replied the

sergeant, “and in about three hours’ time you may possibly have the honor to kiss his spurs.”

“But,” said Cacambo, “the Captain, who, as well as myself, is perishing of hunger, is no Spaniard, but a German; therefore, pray, might we not be permitted to break our fast till we can be introduced to His Reverence?”

The sergeant immediately went and acquainted the Commandant with what he heard.

“God be praised,” said the Reverend Commandant, “since he is a German I will hear what he has to say; let him be brought to my arbor.”

Immediately they conducted Candide to a beautiful pavilion adomed with a colonnade of green marble, spotted with yellow, and with an intertexture of vines, which served as a kind of cage for parrots, humming birds, guinea hens, and all other curious kinds of birds. An excellent breakfast was provided in vessels of gold; and while the Paraguayans were eating coarse Indian corn out of wooden dishes in the open air, and exposed to the burning heat of the sun, the Reverend Father Commandant retired to his cool arbor.

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He was a very handsome young man, round–faced, fair, and fresh– colored, his eyebrows were finely arched, he had a piercing eye, the tips of his ears were red, his lips vermilion, and he had a bold and commanding air; but such a boldness as neither resembled that of a Spaniard nor of a Jesuit. He ordered Candide and Cacambo to have their arms restored to them, together with their two Andalusian horses.Cacambo gave the poor beasts some oats to eat close by the arbor, keeping a strict eye upon them all the while for fear of surprise.

Candide having kissed the hem of the Commandant’s robe, they sat down to table.

“It seems you are a German,” said the Jesuit to him in that language.

“Yes, Reverend Father,” answered Candide. As they pronounced these words they looked at each other with

great amazement and with an emotion that neither could conceal. “From what part of Germany do you come?” said the Jesuit. “From the dirty province of Westphalia,” answered Candide. “I was born in the castle of Thunder–ten–tronckh.” “Oh heavens! is it possible?” said the Commandant. “What a miracle!” cried Candide. “Can it be you?” said the Commandant. On this they both drew a few steps backwards, then running into

each other’s arms, embraced, and wept profusely. “Is it you then, Reverend Father? You are the brother of the fair

Miss Cunegund? You that was slain by the Bulgarians! You the Baron’s son! You a Jesuit in Paraguay! I must confess this is a strange world we live in. O Pangloss! what joy would this have given you if you had not been hanged.”

The Commandant dismissed the Negro slaves, and the Paraguayans who presented them with liquor in crystal goblets. He returned thanks to God and St. Ignatius a thousand times; he clasped Candide in his arms, and both their faces were bathed in tears.

“You will be more surprised, more affected, more transported,” said Candide, “when I tell you that Miss Cunegund, your sister, whose belly was supposed to have been ripped open, is in perfect health.”

“In your neighborhood, with the Governor of Buenos Ayres; and I myself was going to fight against you.”

Every word they uttered during this long conversation was productive of some new matter of astonishment. Their souls fluttered on their tongues, listened in their ears, and sparkled in their eyes. Like true Germans, they continued a long while at table, waiting for the Reverend Father; and the Commandant spoke to his dear Candide as follows.

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C H A P T E R 1 5

How Candide Killed the Brother of His Dear Cunegund

Never while I live shall I lose the remembrance of that horrible day on which I saw my father and mother barbarously butchered before my eyes, and my sister ravished. When the Bulgarians retired we searched in vain for my dear sister. She was nowhere to be found; but the bodies of my father, mother, and myself, with two servant maids and three little boys, all of whom had been murdered by the remorseless enemy, were thrown into a cart to be buried in a chapel belonging to the Jesuits, within two leagues of our family seat. A Jesuit sprinkled us with some holy water, which was confounded salty, and a few drops of it went into my eyes; the father perceived that my eyelids stirred a little; he put his hand upon my breast and felt my heartbeat; upon which he gave me proper assistance, and at the end of three weeks I was perfectly recovered. You know, my dear Candide, I was very handsome; I became still more so, and the Reverend Father Croust, superior of that house, took a great fancy to me; he gave me the habit of the order, and some years afterwards I was sent to Rome. Our General stood in need of new recruits of young German Jesuits. The sovereigns of Paraguay admit of as few Spanish Jesuits as possible; they prefer those of other nations, as being more obedient to command. The Reverend Father General looked upon me as a proper person to work in that vineyard. I set out in company with a Polander and a Tyrolese. Upon my arrival I was honored with a subdeaconship and a lieutenancy. Now I am colonel and priest. We shall give a warm reception to the King of Spain’s troops; I can assure you they will be well excommunicated and beaten. Providence has sent you hither to assist us. But is it true that my dear sister Cunegund is in the neighborhood with the Governor of Buenos Ayres?”

Candide swore that nothing could be more true; and the tears began again to trickle down their cheeks. The Baron knew no end of embracing Candide, be called him his brother, his deliverer.

“Perhaps,” said he, “my dear Candide, we shall be fortunate enough to enter the town, sword in hand, and recover my sister Cunegund.”

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“Ah! that would crown my wishes,” replied Candide; “for I intended to marry her; and I hope I shall still be able to effect it.”

“Insolent fellow!” cried the Baron. “You! you have the impudence to marry my sister, who bears seventy–two quarterings! Really, I think you have an insufferable degree of assurance to dare so much as to mention such an audacious design to me.”

Candide, thunderstruck at the oddness of this speech, answered: “Reverend Father, all the quarterings in the world are of no

signification. I have delivered your sister from a Jew and an Inquisitor; she is under many obligations to me, and she is resolved to give me her hand. My master, Pangloss, always told me that mankind are by nature equal. Therefore, you may depend upon it that I will marry your sister.”

“We shall see to that, villain!” said the Jesuit, Baron of Thunder– ten–tronckh, and struck him across the face with the flat side of his sword. Candide in an instant drew his rapier and plunged it up to the hilt in the Jesuit’s body; but in pulling it out reeking hot, he burst into tears.

“Good God!” cried he, “I have killed my old master, my friend, my brother–in–law. I am the best man in the world, and yet I have already killed three men, and of these three, two were priests.”

Cacambo, who was standing sentry near the door of the arbor, instantly ran up.

“Nothing remains,” said his master, “but to sell our lives as dearly as possible; they will undoubtedly look into the arbor; we must die sword in hand.”

Cacambo, who had seen many of this kind of adventures, was not discouraged. He stripped the Baron of his Jesuit’s habit and put it upon Candide, then gave him the dead man’s three–cornered cap and made him mount on horseback. All this was done as quick as thought.

“Gallop, master,” cried Cacambo; “everybody will take you for a Jesuit going to give orders; and we shall have passed the frontiers before they will be able to overtake us.”

He flew as he spoke these words, crying out aloud in Spanish, “Make way; make way for the Reverend Father Colonel.”

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C H A P T E R 1 6

What Happened to Our Two Travelers with Two Girls, Two Monkeys, and the Savages, Called Oreillons

Candide and his valet had already passed the frontiers before it was known that the German Jesuit was dead. The wary Cacambo had taken care to fill his wallet with bread, chocolate, some ham, some fruit, and a few bottles of wine. They penetrated with their Andalusian horses into a strange country, where they could discover no beaten path. At length a beautiful meadow, intersected with purling rills, opened to their view. Cacambo proposed to his master to take some nourishment, and he set him an example.

“How can you desire me to feast upon ham, when I have killed the Baron’s son and am doomed never more to see the beautiful Cunegund?What will it avail me to prolong a wretched life that must be spent far from her in remorse and despair? And then what will the journal of Trevoux say?” was Candide’s reply.

While he was making these reflections he still continued eating. The sun was now on the point of setting when the ears of our two wanderers were assailed with cries which seemed to be uttered by a female voice.They could not tell whether these were cries of grief or of joy; however, they instantly started up, full of that inquietude and apprehension which a strange place naturally inspires. The cries proceeded from two young women who were tripping disrobed along the mead, while two monkeys followed close at their heels biting at their limbs. Candide was touched with compassion; he had learned to shoot while he was among the Bulgarians, and he could hit a filbert in a hedge without touching a leaf. Accordingly he took up his double– barrelled Spanish gun, pulled the trigger, and laid the two monkeys lifeless on the ground.

“God be praised, my dear Cacambo, I have rescued two poor girls from a most perilous situation; if I have committed a sin in killing an Inquisitor and a Jesuit, I have made ample amends by saving the lives of these two distressed damsels. Who knows but they may be young ladies of a good family, and that the assistance I have been so happy to give them may procure us great advantage in this country?”

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He was about to continue when he felt himself struck speechless at seeing the two girls embracing the dead bodies of the monkeys in the tenderest manner, bathing their wounds with their tears, and rending the air with the most doleful lamentations.

“Really,” said he to Cacambo, “I should not have expected to see such a prodigious share of good nature.”

“Master,” replied the knowing valet, “you have made a precious piece of work of it; do you know that you have killed the lovers of these two ladies?”

“Their lovers! Cacambo, you are jesting! It cannot be! I can never believe it.”

“Dear sir,” replied Cacambo, “you are surprised at everything. Why should you think it so strange that there should be a country where monkeys insinuate themselves into the good graces of the ladies?They are the fourth part of a man as I am the fourth part of a Spaniard.”

“Alas!” replied Candide, “I remember to have heard my master Pangloss say that such accidents as these frequently came to pass in former times, and that these commixtures are productive of centaurs, fauns, and satyrs; and that many of the ancients had seen such monsters; but I looked upon the whole as fabulous.”

“Now you are convinced,” said Cacambo, “that it is very true, and you see what use is made of those creatures by persons who have not had a proper education; all I am afraid of is that these same ladies may play us some ugly trick.”

These judicious reflections operated so far on Candide as to make him quit the meadow and strike into a thicket. There he and Cacambo supped, and after heartily cursing the Grand Inquisitor, the Governor of Buenos Ayres, and the Baron, they fell asleep on the ground. When they awoke they were surprised to find that they could not move; the reason was that the Oreillons who inhabit that country, and to whom the ladies had given information of these two strangers, had bound them with cords made of the bark of trees. They saw themselves surrounded by fifty naked Oreillons armed with bows and arrows, clubs, and hatchets of flint; some were making a fire under a large cauldron; and others were preparing spits, crying out one and all, “A Jesuit! a Jesuit! we shall be revenged; we shall have excellent cheer; let us eat this Jesuit; let us eat him up.”

“I told you, master,” cried Cacambo, mournfully, “that these two wenches would play us some scurvy trick.”

Candide, seeing the cauldron and the spits, cried out, “I suppose they are going either to boil or roast us. Ah! what would Pangloss say if he were to see how pure nature is formed? Everything is right; it may

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be so; but I must confess it is something hard to be bereft of dear Miss Cunegund, and to be spitted like a rabbit by these barbarous Oreillons.”

Cacambo, who never lost his presence of mind in distress, said to the disconsolate Candide, “Do not despair; I understand a little of the jargon of these people; I will speak to them.”

“Ay, pray do,” said Candide, “and be sure you make them sensible of the horrid barbarity of boiling and roasting human creatures, and how little of Christianity there is in such practices.”

“Gentlemen,” said Cacambo, “you think perhaps you are going to feast upon a Jesuit; if so, it is mighty well; nothing can be more agreeable to justice than thus to treat your enemies. Indeed the law of nature teaches us to kill our neighbor, and accordingly we find this practiced all over the world; and if we do not indulge ourselves in eating human flesh, it is because we have much better fare; but for your parts, who have not such resources as we, it is certainly much better judged to feast upon your enemies than to throw their bodies to the fowls of the air; and thus lose all the fruits of your victory.

“But surely, gentlemen, you would not choose to eat your friends.You imagine you are going to roast a Jesuit, whereas my master is your friend, your defender, and you are going to spit the very man who has been destroying your enemies; as to myself, I am your countryman; this gentleman is my master, and so far from being a Jesuit, give me leave to tell you he has very lately killed one of that order, whose spoils he now wears, and which have probably occasioned your mistake. To convince you of the truth of what I say, take the habit he has on and carry it to the first barrier of the Jesuits’ kingdom, and inquire whether my master did not kill one of their officers. There will be little or no time lost by this, and you may still reserve our bodies in your power to feast on if you should find what we have told you to be false. But, on the contrary, if you find it to be true, I am persuaded you are too well acquainted with the principles of the laws of society, humanity, and justice, not to use us courteously, and suffer us to depart unhurt.”

This speech appeared very reasonable to the Oreillons; they deputed two of their people with all expedition to inquire into the truth of this affair, who acquitted themselves of their commission like men of sense, and soon returned with good tidings for our distressed adventurers. Upon this they were loosed, and those who were so lately going to roast and boil them now showed them all sorts of civilities, offered them girls, gave them refreshments, and reconducted them to the confines of their country, crying before them all the way, in token of joy, “He is no Jesuit! he is no Jesuit!”

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Candide could not help admiring the cause of his deliverance.”What men! what manners!” cried he. “If I had not fortunately run my sword up to the hilt in the body of Miss Cunegund’s brother, I should have certainly been eaten alive. But, after all, pure nature is an excellent thing; since these people, instead of eating me, showed me a thousand civilities as soon as they knew was not a Jesuit.”

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C H A P T E R 1 7

Candide and His Valet Arrive in the Country of El Dorado – What They Saw There

When to the frontiers of the Oreillons, said Cacambo to Candide, “You see, this hemisphere is not better than the other; now take my advice and let us return to Europe by the shortest way possible.”

“But how can we get back?” said Candide; “and whither shall we go?To my own country? The Bulgarians and the Abares are laying that waste with fire and sword. Or shall we go to Portugal? There I shall be burned; and if we abide here we are every moment in danger of being spitted. But how can I bring myself to quit that part of the world where my dear Miss Cunegund has her residence?”

“Let us return towards Cayenne,” said Cacambo. “There we shall meet with some Frenchmen, for you know those gentry ramble all over the world. Perhaps they will assist us, and God will look with pity on our distress.”

It was not so easy to get to Cayenne. They knew pretty nearly whereabouts it lay; but the mountains, rivers, precipices, robbers, savages, were dreadful obstacles in the way. Their horses died with fatigue and their provisions were at an end. They subsisted a whole month on wild fruit, till at length they came to a little river bordered with cocoa trees; the sight of which at once revived their drooping spirits and furnished nourishment for their enfeebled bodies.

Cacambo, who was always giving as good advice as the old woman herself, said to Candide, “You see there is no holding out any longer; we have traveled enough on foot. I spy an empty canoe near the river side; let us fill it with cocoanuts, get into it, and go down with the stream; a river always leads to some inhabited place. If we do not meet with agreeable things, we shall at least meet with something new.”

“Agreed,” replied Candide; “let us recommend ourselves to Providence.”

They rowed a few leagues down the river, the banks of which were in some places covered with flowers; in others barren; in some parts smooth and level, and in others steep and rugged. The stream widened as they went further on, till at length it passed under one of the frightful rocks, whose summits seemed to reach the clouds. Here our two

Candide 45

travelers had the courage to commit themselves to the stream, which, contracting in this part, hurried them along with a dreadful noise and rapidity.

At the end of four and twenty hours they saw daylight again; but their canoe was dashed to pieces against the rocks. They were obliged to creep along, from rock to rock, for the space of a league, till at length a spacious plain presented itself to their sight. This place was bounded by a chain of inaccessible mountains.The country appeared cultivated equally for pleasure and to produce the necessaries of life. The useful and agreeable were here equally blended. The roads were covered, or rather adorned, with carriages formed of glittering materials, in which were men and women of a surprising beauty, drawn with great rapidity by red sheep of a very large size; which far surpassed the finest coursers of Andalusian Tetuan, or Mecquinez.

“Here is a country, however,” said Candide, “preferable to Westphalia.”

He and Cacambo landed near the first village they saw, at the entrance of which they perceived some children covered with tattered garments of the richest brocade, playing at quoits. Our two inhabitants of the other hemisphere amused themselves greatly with what they saw. The quoits were large, round pieces, yellow, red, and green, which cast a most glorious luster. Our travelers picked some of them up, and they proved to be gold, emeralds, rubies, and diamonds; the least of which would have been the greatest ornament to the superb throne of the Great Mogul.

“Without doubt,” said Cacambo, “those children must be the King’s sons that are playing at quoits.”

As he was uttering these words the schoolmaster of the village appeared, who came to call the children to school.

“There,” said Candide, “is the preceptor of the royal family.” The little ragamuffins immediately quitted their diversion, leaving

the quoits on the ground with all their other playthings.Candide gathered them up, ran to the schoolmaster, and, with a most respectful bow, presented them to him, giving him to understand by signs that their Royal Highnesses had forgot their gold and precious stones. The schoolmaster, with a smile, flung them upon the ground, then examining Candide from head to foot with an air of admiration, he turned his back and went on his way.

Our travelers took care, however, to gather up the gold, the rubies, and the emeralds.

“Where are we?” cried Candide. “The King’s children in this country must have an excellent education, since they are taught to show such a contempt for gold and precious stones.”

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Cacambo was as much surprised as his master. They then drew near the first house in the village, which was built after the manner of a European palace. There was a crowd of people about the door, and a still greater number in the house. The sound of the most delightful instruments of music was heard, and the most agreeable smell came from the kitchen. Cacambo went up to the door and heard those within talking in the Peruvian language, which was his mother tongue; for everyone knows that Cacambo was born in a village of Tucuman, where no other language is spoken.

“I will be your interpreter here,” said he to Candide. “Let us go in; this is an eating house.”

Immediately two waiters and two servant–girls, dressed in cloth of gold, and their hair braided with ribbons of tissue, accosted the strangers and invited them to sit down to the ordinary. Their dinner consisted of four dishes of different soups, each garnished with two young paroquets, a large dish of bouille that weighed two hundred weight, two roasted monkeys of a delicious flavor, three hundred hummingbirds in one dish, and six hundred flybirds in another; some excellent ragouts, delicate tarts, and the whole served up in dishes of rock–crystal. Several sorts of liquors, extracted from the sugarcane, were handed about by the servants who attended.

Most of the company were chapmen and wagoners, all extremely polite; they asked Cacambo a few questions with the utmost discretion and circumspection; and replied to his in a most obliging and satisfactory manner.

As soon as dinner was over, both Candide and Cacambo thought they should pay very handsomely for their entertainment by laying down two of those large gold pieces which they had picked off the ground; but the landlord and landlady burst into a fit of laughing and held their sides for some time.

When the fit was over, the landlord said, “Gentlemen, I plainly perceive you are strangers, and such we are not accustomed to charge; pardon us, therefore, for laughing when you offered us the common pebbles of our highways for payment of your reckoning. To be sure, you have none of the coin of this kingdom; but there is no necessity of having any money at all to dine in this house. All the inns, which are established for the convenience of those who carry on the trade of this nation, are maintained by the government. You have found but very indifferent entertainment here, because this is only a poor village; but in almost every other of these public houses you will meet with a reception worthy of persons of your merit.”

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Cacambo explained the whole of this speech of the landlord to Candide, who listened to it with the same astonishment with which his friend communicated it.

“What sort of a country is this,” said the one to the other, “that is unknown to all the world; and in which Nature has everywhere so different an appearance to what she has in ours? Possibly this is that part of the globe where everywhere is right, for there must certainly be some such place. And, for all that Master Pangloss could say, I often perceived that things went very ill in Westphalia.”

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What They Saw in the Country of El Dorado

Cacambo vented all his curiosity upon his landlord by a thousand different questions; the honest man answered him thus, “I am very ignorant, sir, but I am contented with my ignorance; however, we have in this neighborhood an old man retired from court, who is the most learned and communicative person in the whole kingdom.”

He then conducted Cacambo to the old man; Candide acted now only a second character, and attended his valet. They entered a very plain house, for the door was nothing but silver, and the ceiling was only of beaten gold, but wrought in such elegant taste as to vie with the richest. The antechamber, indeed, was only incrusted with rubies and emeralds; but the order in which everything was disposed made amends for this great simplicity.

The old man received the strangers on his sofa, which was stuffed with hummingbirds’ feathers; and ordered his servants to present them with liquors in golden goblets, after which he satisfied their curiosity in the following terms.

“I am now one hundred and seventy–two years old, and I learned of my late father, who was equerry to the King, the amazing revolutions of Peru, to which he had been an eyewitness. This kingdom is the ancient patrimony of the Incas, who very imprudently quitted it to conquer another part of the world, and were at length conquered and destroyed themselves by the Spaniards.

“Those princes of their family who remained in their native country acted more wisely. They ordained, with the consent of their whole nation, that none of the inhabitants of our little kingdom should ever quit it; and to this wise ordinance we owe the preservation of our innocence and happiness. The Spaniards had some confused notion of this country, to which they gave the name of El Dorado; and Sir Walter Raleigh, an Englishman, actually came very near it about three hundred years ago; but the inaccessible rocks and precipices with which our country is surrounded on all sides, has hitherto secured us from the rapacious fury of the people of Europe, who have an unaccountable fondness for the pebbles and dirt of our land, for the sake of which they would murder us all to the very last man.”

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The conversation lasted some time and turned chiefly on the form of government, their manners, their women, their public diversions, and the arts. At length, Candide, who had always had a taste for metaphysics, asked whether the people of that country had any religion.

The old man reddened a little at this question. “Can you doubt it?” said he; “do you take us for wretches lost to

all sense of gratitude?” Cacambo asked in a respectful manner what was the established

religion of El Dorado. The old man blushed again and said, “Can there be two religions, then? Ours, I apprehend, is the religion of the whole world; we worship God from morning till night.”

“Do you worship but one God?” said Cacambo, who still acted as the interpreter of Candide’s doubts.

“Certainly,” said the old man; “there are not two, nor three, nor four Gods. I must confess the people of your world ask very extraordinary questions.”

However, Candide could not refrain from making many more inquiries of the old man; he wanted to know in what manner they prayed to God in El Dorado.

“We do not pray to Him at all,” said the reverend sage; “we have nothing to ask of Him, He has given us all we want, and we give Him thanks incessantly.”

Candide had a curiosity to see some of their priests, and desired Cacambo to ask the old man where they were. At which he smiling said, “My friends, we are all of us priests; the King and all the heads of families sing solemn hymns of thanksgiving every morning, accompanied by five or six thousand musicians.”

“What!” said Cacambo, “have you no monks among you to dispute, to govern, to intrigue, and to burn people who are not of the same opinion with themselves?”

“Do you take us for fools?” said the old man. “Here we are all of one opinion, and know not what you mean by your monks.”

During the whole of this discourse Candide was in raptures, and he said to himself, “What a prodigious difference is there between this place and Westphalia; and this house and the Baron’s castle. Ah, Master Pangloss! had you ever seen El Dorado, you would no longer have maintained that the castle of Thunder–ten–tronckh was the finest of all possible edifices; there is nothing like seeing the world, that’s certain.”

This long conversation being ended, the old man ordered six sheep to be harnessed and put to the coach, and sent twelve of his servants to escort the travelers to court.

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“Excuse me,” said he, “for not waiting on you in person, my age deprives me of that honor. The King will receive you in such a manner that you will have no reason to complain; and doubtless you will make a proper allowance for the customs of the country if they should not happen altogether to please you.”

Candide and Cacambo got into the coach, the six sheep flew, and, in less than a quarter of an hour, they arrived at the King’s palace, which was situated at the further end of the capital. At the entrance was a portal two hundred and twenty feet high and one hundred wide; but it is impossible for words to express the materials of which it was built. The reader, however, will readily conceive that they must have a prodigious superiority over the pebbles and sand, which we call gold and precious stones.

Twenty beautiful young virgins in waiting received Candide and Cacambo on their alighting from the coach, conducted them to the bath and clad them in robes woven of the down of hummingbirds; after which they were introduced by the great officers of the crown of both sexes to the King’s apartment, between two files of musicians, each file consisting of a thousand, agreeable to the custom of the country.

When they drew near to the presence–chamber, Cacambo asked one of the officers in what manner they were to pay their obeisance to His Majesty; whether it was the custom to fall upon their knees, or to prostrate themselves upon the ground; whether they were to put their hands upon their heads, or behind their backs; whether they were to lick the dust off the floor; in short, what was the ceremony usual on such occasions.

“The custom,” said the great officer, “is to embrace the King and kiss him on each cheek.”

Candide and Cacambo accordingly threw their arms round His Majesty’s neck, who received them in the most gracious manner imaginable, and very politely asked them to sup with him.

While supper was preparing, orders were given to show them the city, where they saw public structures that reared their lofty heads to the clouds; the marketplaces decorated with a thousand columns; fountains of spring water, besides others of rose water, and of liquors drawn from the sugarcane, incessantly flowing in the great squares, which were paved with a kind of precious stones that emitted an odor like that of cloves and cinnamon.

Candide asked to see the High Court of justice, the Parliament; but was answered that they had none in that country, being utter strangers to lawsuits. He then inquired if they had any prisons; they replied none. But what gave him at once the greatest surprise and pleasure was the Palace of Sciences, where he saw a gallery two thousand feet long,

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filled with the various apparatus in mathematics and natural philosophy.

After having spent the whole afternoon in seeing only about the thousandth part of the city, they were brought back to the King’s palace. Candide sat down at the table with His Majesty, his valet Cacambo, and several ladies of the court. Never was entertainment more elegant, nor could any one possibly show more wit than His Majesty displayed while they were at supper. Cacambo explained all the King’s bons mots to Candide, and, although they were translated, they still appeared to be bons mots. Of all the things that surprised Candide, this was not the least.

They spent a whole month in this hospitable place, during which time Candide was continually saying to Cacambo, “I own, my friend, once more, that the castle where I was born is a mere nothing in comparison to the place where we now are; but still Miss Cunegund is not here, and you yourself have doubtless some fair one in Europe for whom you sigh. If we remain here we shall only be as others are; whereas if we return to our own world with only a dozen of El Dorado sheep, loaded with the pebbles of this country, we shall be richer than all the kings in Europe; we shall no longer need to stand in awe of the Inquisitors; and we may easily recover Miss Cunegund.”

This speech was perfectly agreeable to Cacambo. A fondness for roving, for making a figure in their own country, and for boasting of what they had seen in their travels, was so powerful in our two wanderers that they resolved to be no longer happy; and demanded permission of the King to quit the country.

“You are about to do a rash and silly action,” said the King. “I am sensible my kingdom is an inconsiderable spot; but when people are tolerably at their ease in any place, I should think it would be to their interest to remain there. Most assuredly, I have no right to detain you, or any strangers, against your wills; this is an act of tyranny to which our manners and our laws are equally repugnant. All men are by nature free; you have therefore an undoubted liberty to depart whenever you please, but you will have many and great difficulties to encounter in passing the frontiers. It is impossible to ascend that rapid river which runs under high and vaulted rocks, and by which you were conveyed hither by a kind of miracle. The mountains by which my kingdom are hemmed in on all sides, are ten thousand feet high, and perfectly perpendicular; they are above ten leagues across, and the descent from them is one continued precipice.

“However, since you are determined to leave us, I will immediately give orders to the superintendent of my carriages to cause one to be made that will convey you very safely. When they have

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conducted you to the back of the mountains, nobody can attend you farther; for my subjects have made a vow never to quit the kingdom, and they are too prudent to break it. Ask me whatever else you please.”

“All we shall ask of Your Majesty,” said Cacambo, “is only a few sheep laden with provisions, pebbles, and the clay of your country.”

The King smiled at the request and said, “I cannot imagine what pleasure you Europeans find in our yellow clay; but take away as much of it as you will, and much good may it do you.”

He immediately gave orders to his engineers to make a machine to hoist these two extraordinary men out of the kingdom. Three thousand good machinists went to work and finished it in about fifteen days, and it did not cost more than twenty millions sterling of that country’s money. Candide and Cacambo were placed on this machine, and they took with them two large red sheep, bridled and saddled, to ride upon, when they got on the other side of the mountains; twenty others to serve as sumpters for carrying provisions; thirty laden with presents of whatever was most curious in the country, and fifty with gold, diamonds, and other precious stones. The King, at parting with our two adventurers, embraced them with the greatest cordiality.

It was a curious sight to behold the manner of their setting off, and the ingenious method by which they and their sheep were hoisted to the top of the mountains. The machinists and engineers took leave of them as soon as they had conveyed them to a place of safety, and Candide was wholly occupied with the thoughts of presenting his sheep to Miss Cunegund.

“Now,” cried he, “thanks to Heaven, we have more than sufficient to pay the Governor of Buenos Ayres for Miss Cunegund, if she is redeemable. Let us make the best of our way to Cayenne, where we will take shipping and then we may at leisure think of what kingdom we shall purchase with our riches.”

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What Happened to Them at Surinam, and How Candide Became Acquainted with Martin

Our travelers’ first day’s journey was very pleasant; they were elated with the prospect of possessing more riches than were to be found in Europe, Asia, and Africa together. Candide, in amorous transports, cut the name of Miss Cunegund on almost every tree he came to. The second day two of their sheep sunk in a morass, and were swallowed up with their Jading; two more died of fatigue; some few days afterwards seven or eight perished with hunger in a desert, and others, at different times, tumbled down precipices, or were otherwise lost, so that, after traveling about a hundred days they had only two sheep left of the hundred and two they brought with them from El Dorado.

Said Candide to Cacambo, “You see, my dear friend, how perishable the riches of this world are; there is nothing solid but virtue.”

“Very true,” said Cacambo, “but we have still two sheep remaining, with more treasure than ever the King of Spain will be possessed of; and I espy a town at a distance, which I take to be Surinam, a town belonging to the Dutch. We are now at the end of our troubles, and at the beginning of happiness.”

As they drew near the town they saw a Negro stretched on the ground with only one half of his habit, which was a kind of linen frock; for the poor man had lost his left leg and his right hand.

“Good God,” said Candide in Dutch, “what dost thou here, friend, in this deplorable condition?”

“I am waiting for my master, Mynheer Vanderdendur, the famous trader,” answered the Negro.

“Was it Mynheer Vanderdendur that used you in this cruel manner?”

“Yes, sir,” said the Negro; “it is the custom here. They give a linen garment twice a year, and that is all our covering. When we labor in the sugar works, and the mill happens to snatch hold of a finger, they instantly chop off our hand; and when we attempt to run away, they cut off a leg. Both these cases have happened to me, and it is at this expense that you eat sugar in Europe; and yet when my mother sold me

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for ten patacoons on the coast of Guinea, she said to me, ‘My dear child, bless our fetishes; adore them forever; they will make thee live happy; thou hast the honor to be a slave to our lords the whites, by which thou wilt make the fortune of us thy parents.’

“Alas! I know not whether I have made their fortunes; but they have not made mine; dogs, monkeys, and parrots are a thousand times less wretched than I. The Dutch fetishes who converted me tell me every Sunday that the blacks and whites are all children of one father, whom they call Adam. As for me, I do not understand anything of genealogies; but if what these preachers say is true, we are all second cousins; and you must allow that it is impossible to be worse treated by our relations than we are.”

“O Pangloss!” cried out Candide, “such horrid doings never entered thy imagination. Here is an end of the matter. I find myself, after all, obliged to renounce thy Optimism.”

“Optimism,” said Cacambo, “what is that?” “Alas!” replied Candide, “it is the obstinacy of maintaining that

everything is best when it is worst.” And so saying he turned his eyes towards the poor Negro, and shed

a flood of tears; and in this weeping mood he entered the town of Surinam.

Immediately upon their arrival our travelers inquired if there was any vessel in the harbor which they might send to Buenos Ayres. The person they addressed themselves to happened to be the master of a Spanish bark, who offered to agree with them on moderate terms, and appointed them a meeting at a public house. Thither Candide and his faithful Cacambo went to wait for him, taking with them their two sheep.

Candide, who was all frankness and sincerity, made an ingenuous recital of his adventures to the Spaniard, declaring to him at the same time his resolution of carrying off Miss Cunegund from the Governor of Buenos Ayres.

“Oh, ho!” said the shipmaster, “if that is the case, get whom you please to carry you to Buenos Ayres; for my part, I wash my hands of the affair. It would prove a hanging matter to us all. The fair Cunegund is the Governor’s favorite mistress.”

These words were like a clap of thunder to Candide; he wept bitterly for a long time, and, taking Cacambo aside, he said to him, “I’ll tell you, my dear friend, what you must do. We have each of us in our pockets to the value of five or six millions in diamonds; you are cleverer at these matters than I; you must go to Buenos Ayres and bring off Miss Cunegund. If the Governor makes any difficulty give him a million; if he holds out, give him two; as you have not killed an

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Inquisitor, they will have no suspicion of you. I’ll fit out another ship and go to Venice, where I will wait for you. Venice is a free country, where we shall have nothing to fear from Bulgarians, Abares, Jews or Inquisitors.”

Cacambo greatly applauded this wise resolution. He was inconsolable at the thoughts of parting with so good a master, who treated him more like an intimate friend than a servant; but the pleasure of being able to do him a service soon got the better of his sorrow. They embraced each other with a flood of tears. Candide charged him not to forget the old woman. Cacambo set out the same day.This Cacambo was a very honest fellow.

Candide continued some days longer at Surinam, waiting for any captain to carry him and his two remaining sheep to Italy. He hired domestics, and purchased many things necessary for a long voyage; at length Mynheer Vanderdendur, skipper of a large Dutch vessel, came and offered his service.

“What will you have,” said Candide, “to carry me, my servants, my baggage, and these two sheep you see here, directly to Venice?”

The skipper asked ten thousand piastres, and Candide agreed to his demand without hestitation.

“Ho, ho!” said the cunning Vanderdendur to himself, “this stranger must be very rich; he agrees to give me ten thousand piastres without hesitation.”

Returning a little while after, he told Candide that upon second consideration he could not undertake the voyage for less than twenty thousand.

“Very well; you shall have them,” said Candide. “Zounds!” said the skipper to himself, “this man agrees to pay

twenty thousand piastres with as much ease as ten.” Accordingly he went back again, and told him roundly that he

would not carry him to Venice for less than thirty thousand piastres. “Then you shall have thirty thousand,” said Candide. “Odso!” said the Dutchman once more to himself, “thirty thousand

piastres seem a trifle to this man. Those sheep must certainly be laden with an immense treasure. I’ll e’en stop here and ask no more; but make him pay down the thirty thousand piastres, and then we may see what is to be done farther.”

Candide sold two small diamonds, the least of which was worth more than all the skipper asked. He paid him beforehand, the two sheep were put on board, and Candide followed in a small boat to join the vessel in the road. The skipper took advantage of his opportunity, hoisted sail, and put out to sea with a favorable wind. Candide, confounded and amazed, soon lost sight of the ship.

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“Alas!” said he, “this is a trick like those in our old world!” He returned back to the shore overwhelmed with grief; and,

indeed, he had lost what would have made the fortune of twenty monarchs.

Straightway upon his landing he applied to the Dutch magistrate; being transported with passion he thundered at the door, which being opened, he went in, told his case, and talked a little louder than was necessary. The magistrate began with fining him ten thousand piastres for his petulance, and then listened very patiently to what he had to say, promised to examine into the affair on the skipper’s return, and ordered him to pay ten thousand piastres more for the fees of the court.

This treatment put Candide out of all patience; it is true, he had suffered misfortunes a thousand times more grievous, but the cool insolence of the judge, and the villainy of the skipper raised his choler and threw him into a deep melancholy. The villainy of mankind presented itself to his mind in all its deformity, and his soul was a prey to the most gloomy ideas. After some time, hearing that the captain of a French ship was ready to set sail for Bordeaux, as he had no more sheep loaded with diamonds to put on board, he hired the cabin at the usual price; and made it known in the town that he would pay the passage and board of any honest man who would give him his company during the voyage; besides making him a present of ten thousand piastres, on condition that such person was the most dissatisfied with his condition, and the most unfortunate in the whole province.

Upon this there appeared such a crowd of candidates that a large fleet could not have contained them. Candide, willing to choose from among those who appeared most likely to answer his intention, selected twenty, who seemed to him the most sociable, and who all pretended to merit the preference. He invited them to his inn, and promised to treat them with a supper, on condition that every man should bind himself by an oath to relate his own history; declaring at the same time, that he would make choice of that person who should appear to him the most deserving of compassion, and the most justly dissatisfied with his condition in life; and that he would make a present to the rest.

This extraordinary assembly continued sitting till four in the morning. Candide, while he was listening to their adventures, called to mind what the old woman had said to him in their voyage to Buenos Ayres, and the wager she had laid that there was not a person on board the ship but had met with great misfortunes. Every story he heard put him in mind of Pangloss.

“My old master,” said he, “would be confoundedly put to it to demonstrate his favorite system. Would he were here! Certainly if

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everything is for the best, it is in El Dorado, and not in the other parts of the world.”

At length he determined in favor of a poor scholar, who had labored ten years for the booksellers at Amsterdam: being of opinion that no employment could be more detestable.

This scholar, who was in fact a very honest man, had been robbed by his wife, beaten by his son, and forsaken by his daughter, who had run away with a Portuguese. He had been likewise deprived of a small employment on which he subsisted, and he was persecuted by the clergy of Surinam, who took him for a Socinian. It must be acknowledged that the other competitors were, at least, as wretched as he; but Candide was in hopes that the company of a man of letters would relieve the tediousness of the voyage. All the other candidates complained that Candide had done them great injustice, but he stopped their mouths by a present of a hundred piastres to each.

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What Befell Candide and Martin on Their Passage

The old philosopher, whose name was Martin, took shipping with Candide for Bordeaux. Both had seen and suffered a great deal, and had the ship been going from Surinam to Japan round the Cape of Good Hope, they could have found sufficient entertainment for each other during the whole voyage, in discoursing upon moral and natural evil.

Candide, however, had one advantage over Martin: he lived in the pleasing hopes of seeing Miss Cunegund once more; whereas, the poor philosopher had nothing to hope for. Besides, Candide had money and jewels, and, not withstanding he had lost a hundred red sheep laden with the greatest treasure outside of El Dorado, and though he still smarted from the reflection of the Dutch skipper’s knavery, yet when he considered what he had still left, and repeated the name of Cunegund, especially after meal times, he inclined to Pangloss’s doctrine.

“And pray,” said he to Martin, “what is your opinion of the whole of this system? What notion have you of moral and natural evil?”

“Sir,” replied Martin, “our priest accused me of being a Socinian; but the real truth is, I am a Manichaean.”

“Nay, now you are jesting,” said Candide; “there are no Manichaeans existing at present in the world.”

“And yet I am one,” said Martin; “but I cannot help it. I cannot for the soul of me think otherwise.”

“Surely the Devil must be in you,” said Candide. “He concerns himself so much,” replied Martin, “in the affairs of

this world that it is very probable he may be in me as well as everywhere else; but I must confess, when I cast my eye on this globe, or rather globule, I cannot help thinking that God has abandoned it to some malignant being. I always except El Dorado. I scarce ever knew a city that did not wish the destruction of its neighboring city; nor a family that did not desire to exterminate some other family. The poor in all parts of the world bear an inveterate hatred to the rich, even while they creep and cringe to them; and the rich treat the poor like sheep, whose wool and flesh they barter for money; a million of regimented assassins traverse Europe from one end to the other, to get their bread

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by regular depredation and murder, because it is the most gentlemanlike profession. Even in those cities which seem to enjoy the blessings of peace, and where the arts flourish, the inhabitants are devoured with envy, care, and inquietudes, which are greater plagues than any experienced in a town besieged. Private chagrins are still more dreadful than public calamities. In a word,” concluded the philosopher, “I have seen and suffered so much that I am a Manichaean.”

“And yet there is some good in the world,” replied Candide. “Maybe so,” said Martin, “but it has escaped my knowledge.” While they were deeply engaged in this dispute they heard the

report of cannon, which redoubled every moment. Each took out his glass, and they spied two ships warmly engaged at the distance of about three miles. The wind brought them both so near the French ship that those on board her had the pleasure of seeing the fight with great ease.After several smart broadsides the one gave the other a shot between wind and water which sunk her outright. Then could Candide and Martin plainly perceive a hundred men on the deck of the vessel which was sinking, who, with hands uplifted to Heaven, sent forth piercing cries, and were in a moment swallowed up by the waves.

“Well,” said Martin, “you now see in what manner mankind treat one another.”

“It is certain,” said Candide, “that there is something diabolical in this affair.” As he was speaking thus he spied something of a shining red hue, which swam close to the vessel. The boat was hoisted out to see what it might be, when it proved to be one of his sheep. Candide felt more joy at the recovery of this one animal than he did grief when he lost the other hundred, though laden with the large diamonds of El Dorado.

The French captain quickly perceived that the victorious ship belonged to the crown of Spain; that the other was a Dutch pirate, and the very same captain who had robbed Candide. The immense riches which this villain had amassed, were buried with him in the deep, and only this one sheep saved out of the whole.

“You see,” said Candide to Martin, “that vice is sometimes punished.This villain, the Dutch skipper, has met with the fate he deserved.”

“Very true,” said Martin, “but why should the passengers be doomed also to destruction? God has punished the knave, and the Devil has drowned the rest.”

The French and Spanish ships continued their cruise, and Candide and Martin their conversation. They disputed fourteen days successively, at the end of which they were just as far advanced as the first moment they began. However, they had the satisfaction of

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disputing, of communicating their ideas, and of mutually comforting each other.Candide embraced his sheep with transport.

“Since I have found thee again,” said he, “I may possibly find my Cunegund once more.”

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Candide and Martin, While Thus Reasoning with Each Other, Draw Near to the Coast of France

At length they descried the coast of France, when Candide said to Martin, “Pray Monsieur Martin, were you ever in France?”

“Yes, sir,” said Martin, “I have been in several provinces of that kingdom. In some, one half of the people are fools and madmen; in some, they are too artful; in others, again, they are, in general, either very good–natured or very brutal; while in others, they affect to be witty, and in all, their ruling passion is love, the next is slander, and the last is to talk nonsense.”

“But, pray, Monsieur Martin, were you ever in Paris?” “Yes, sir, I have been in that city, and it is a place that contains the

several species just described; it is a chaos, a confused multitude, where everyone seeks for pleasure without being able to find it; at least, as far as I have observed during my short stay in that city. At my arrival I was robbed of all I had in the world by pickpockets and sharpers, at the fair of Saint–Germain. I was taken up myself for a robber, and confined in prison a whole week; after which I hired myself as corrector to a press in order to get a little money towards defraying my expenses back to Holland on foot.I knew the whole tribe of scribblers, malcontents, and fanatics. It is said the people of that city are very polite; I believe they may be.”

“For my part, I have no curiosity to see France,” said Candide. “You may easily conceive, my friend, that after spending a month in El Dorado, I can desire to behold nothing upon earth but Miss Cunegund. I am going to wait for her at Venice. I intend to pass through France, on my way to Italy. Will you not bear me company?”

“With all my heart,” said Martin. “They say Venice is agreeable to none but noble Venetians, but that, nevertheless, strangers are well received there when they have plenty of money; now I have none, but you have, therefore I will attend you wherever you please.”

“Now we are upon this subject,” said Candide, “do you think that the earth was originally sea, as we read in that great book which belongs to the captain of the ship?”

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“I believe nothing of it,” replied Martin, “any more than I do of the many other chimeras which have been related to us for some time past.”

“But then, to what end,” said Candide, “was the world formed?” “To make us mad,” said Martin. “Are you not surprised,” continued Candide, “at the love which the

two girls in the country of the Oreillons had for those two monkeys? – You know I have told you the story.”

“Surprised?” replied Martin, “not in the least. I see nothing strange in this passion. I have seen so many extraordinary things that there is nothing extraordinary to me now.”

“Do you think,” said Candide, “that mankind always massacred one another as they do now? Were they always guilty of lies, fraud, treachery, ingratitude, inconstancy, envy, ambition, and cruelty? Were they always thieves, fools, cowards, gluttons, drunkards, misers, calumniators, debauchees, fanatics, and hypocrites?”

“Do you believe,” said Martin, “that hawks have always been accustomed to eat pigeons when they came in their way?”

“Doubtless,” said Candide. “Well then,” replied Martin, “if hawks have always had the same

nature, why should you pretend that mankind change theirs?” “Oh,” said Candide, “there is a great deal of difference; for free

will –” and reasoning thus they arrived at Bordeaux.

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C H A P T E R 2 2

What Happened to Candide and Martin in France

Candide stayed no longer at Bordeaux than was necessary to dispose of a few of the pebbles he had brought from El Dorado, and to provide himself with a post–chaise for two persons, for he could no longer stir a step without his philosopher Martin. The only thing that give him concern was being obliged to leave his sheep behind him, which he intrusted to the care of the Academy of Sciences at Bordeaux, who proposed, as a prize subject for the year, to prove why the wool of this sheep was red; and the prize was adjudged to a northern sage, who demonstrated by A plus B, minus C, divided by Z, that the sheep must necessarily be red, and die of the mange.

In the meantime, all travelers whom Candide met with in the inns, or on the road, told him to a man, that they were going to Paris. This general eagerness gave him likewise a great desire to see this capital; and it was not much out of his way to Venice.

He entered the city by the suburbs of Saint–Marceau, and thought himself in one of the vilest hamlets in all Westphalia.

Candide had not been long at his inn, before he was seized with a slight disorder, owing to the fatigue he had undergone. As he wore a diamond of an enormous size on his finger and had among the rest of his equipage a strong box that seemed very weighty, he soon found himself between two physicians, whom he had not sent for, a number of intimate friends whom he had never seen, and who would not quit his bedside, and two women devotees, who were very careful in providing him hot broths.

“I remember,” said Martin to him, “that the first time I came to Paris I was likewise taken ill. I was very poor, and accordingly I had neither friends, nurses, nor physicians, and yet I did very well.”

However, by dint of purging and bleeding, Candide’s disorder became very serious. The priest of the parish came with all imaginable politeness to desire a note of him, payable to the bearer in the other world. Candide refused to comply with his request; but the two devotees assured him that it was a new fashion. Candide replied, that he was not one that followed the fashion. Martin was for throwing the priest out of the window. The clerk swore Candide should not have

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Christian burial. Martin swore in his turn that he would bury the clerk alive if he continued to plague them any longer. The dispute grew warm; Martin took him by the shoulders and turned him out of the room, which gave great scandal, and occasioned a proces–verbal.

Candide recovered, and till he was in a condition to go abroad had a great deal of good company to pass the evenings with him in his chamber. They played deep. Candide was surprised to find he could never turn a trick; and Martin was not at all surprised at the matter.

Among those who did him the honors of the place was a little spruce abbe of Perigord, one of those insinuating, busy, fawning, impudent, necessary fellows, that lay wait for strangers on their arrival, tell them all the scandal of the town, and offer to minister to their pleasures at various prices. This man conducted Candide and Martin to the playhouse; they were acting a new tragedy.Candide found himself placed near a cluster of wits: this, however, did not prevent him from shedding tears at some parts of the piece which were most affecting, and best acted.

One of these talkers said to him between acts, “You are greatly to blame to shed tears; that actress plays horribly, and the man that plays with her still worse, and the piece itself is still more execrable than the representation. The author does not understand a word of Arabic, and yet he has laid his scene in Arabia, and what is more, he is a fellow who does not believe in innate ideas. Tomorrow I will bring you a score of pamphlets that have been written against him.”

“Pray, sir,” said Candide to the abbe, “how many theatrical pieces have you in France?”

“Five or six thousand,” replied the abbe. “Indeed! that is a great number,” said Candide, “but how many

good ones may there be?” “About fifteen or sixteen.” “Oh! that is a great number,” said Martin. Candide was greatly taken with an actress, who performed the part

of Queen Elizabeth in a dull kind of tragedy that is played sometimes. “That actress,” said he to Martin, “pleases me greatly; she has

some sort of resemblance to Miss Cunegund. I should be very glad to pay my respects to her.”

The abbe of Perigord offered his service to introduce him to her at her own house. Candide, who was brought up in Germany, desired to know what might be the ceremonial used on those occasions, and how a queen of England was treated in France.

“There is a necessary distinction to be observed in these matters,” said the abbe. “In a country town we take them to a tavern; here in Paris, they are treated with great respect during their lifetime, provided

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they are handsome, and when they die we throw their bodies upon a dunghill.”

“How?” said Candide, “throw a queen’s body upon a dunghill!” “The gentleman is quite right,” said Martin, “he tells you nothing

but the truth. I happened to be at Paris when Miss Monimia made her exit, as one may say, out of this world into another. She was refused what they call here the rites of sepulture; that is to say, she was denied the privilege of rotting in a churchyard by the side of all the beggars in the parish. They buried her at the corner of Burgundy Street, which must certainly have shocked her extremely, as she had very exalted notions of things.”

“This is acting very impolitely,” said Candide. “Lord!” said Martin, “what can be said to it? It is the way of these

people. Figure to yourself all the contradictions, all the inconsistencies possible, and you may meet with them in the government, the courts of justice, the churches, and the public spectacles of this odd nation.”

“Is it true,” said Candide, “that the people of Paris are always laughing?”

“Yes,” replied the abbe, “but it is with anger in their hearts; they express all their complaints by loud bursts of laughter, and commit the most detestable crimes with a smile on their faces.”

“Who was that great overgrown beast,” said Candide, “who spoke so ill to me of the piece with which I was so much affected, and of the players who gave me so much pleasure?”

“A very good–for–nothing sort of a man I assure you,” answered the abbe, “one who gets his livelihood by abusing every new book and play that is written or performed; he dislikes much to see anyone meet with success, like eunuchs, who detest everyone that possesses those powers they are deprived of; he is one of those vipers in literature who nourish themselves with their own venom; a pamphlet–monger.”

“A pamphlet–monger!” said Candide, “what is that?” “Why, a pamphlet–monger,” replied the abbe, “is a writer of

pamphlets – a fool.” Candide, Martin, and the abbe of Perigord argued thus on the

staircase, while they stood to see the people go out of the playhouse. “Though I am very anxious to see Miss Cunegund again,” said

Candide, “yet I have a great inclination to sup with Miss Clairon, for I am really much taken with her.”

The abbe was not a person to show his face at this lady’s house, which was frequented by none but the best company.

“She is engaged this evening,” said he, “but I will do myself the honor to introduce you to a lady of quality of my acquaintance, at

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whose house you will see as much of the manners of Paris as if you had lived here for forty years.”

Candide, who was naturally curious, suffered himself to be conducted to this lady’s house, which was in the suburbs of Saint– Honore. The company was engaged at basser; twelve melancholy punters held each in his hand a small pack of cards, the corners of which were doubled down, and were so many registers of their ill fortune. A profound silence reigned throughout the assembly, a pallid dread had taken possession of the countenances of the punters, and restless inquietude stretched every muscle of the face of him who kept the bank; and the lady of the house, who was seated next to him, observed with lynx’s eyes every play made, and noted those who tallied, and made them undouble their cards with a severe exactness, though mixed with a politeness, which she thought necessary not to frighten away her customers. This lady assumed the title of Marchioness of Parolignac.Her daughter, a girl of about fifteen years of age, was one of the punters, and took care to give her mamma a hint, by signs, when any one of the players attempted to repair the rigor of their ill fortune by a little innocent deception. The company were thus occupied when Candide, Martin, and the abbe made their entrance; not a creature rose to salute them, or indeed took the least notice of them, being wholly intent upon the business at hand.

“Ah!” said Candide, “My Lady Baroness of Thunder–ten–tronckh would have behaved more civilly.”

However, the abbe whispered in the ear of the Marchioness, who half raising herself from her seat, honored Candide with a gracious smile, and gave Martin a nod of her head, with an air of inexpressible dignity. She then ordered a seat for Candide, and desired him to make one of their party at play; he did so, and in a few deals lost near a thousand pieces; after which they supped very elegantly, and everyone was surprised at seeing Candide lose so much money without appearing to be the least disturbed at it. The servants in waiting said to each other, “This is certainly some English lord.”

The supper was like most others of its kind in Paris. At first everyone was silent; then followed a few confused murmurs, and afterwards several insipid jokes passed and repassed, with false reports, false reasonings, a little politics, and a great deal of scandal. The conversation then turned upon the new productions in literature.

“Pray,” said the abbe, “good folks, have you seen the romance written by a certain Gauchat, Doctor of Divinity?”

“Yes,” answered one of the company, “but I had not patience to go through it. The town is pestered with a swarm of impertinent productions, but this of Dr. Gauchat’s outdoes them all. In short, I was

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so cursedly tired of reading this vile stuff that I even resolved to come here, and make a party at basset.”

“But what say you to the archdeacon T–’s miscellaneous collection,” said the abbe.

“Oh my God!” cried the Marchioness of Parolignac, “never mention the tedious creature! Only think what pains he is at to tell one things that all the world knows; and how he labors an argument that is hardly worth the slightest consideration! how absurdly he makes use of other people’s wit! how miserably he mangles what he has pilfered from them! The man makes me quite sick! A few pages of the good archdeacon are enough in conscience to satisfy anyone.”

There was at the table a person of learning and taste, who supported what the Marchioness had advanced. They next began to talk of tragedies. The lady desired to know how it came about that there were several tragedies, which still continued to be played, though they would not bear reading? The man of taste explained very clearly how a piece may be in some manner interesting without having a grain of merit. He showed, in a few words, that it is not sufficient to throw together a few incidents that are to be met with in every romance, and that to dazzle the spectator the thoughts should be new, without being farfetched; frequently sublime, but always natural; the author should have a thorough knowledge of the human heart and make it speak properly; he should be a complete poet, without showing an affectation of it in any of the characters of his piece; he should be a perfect master of his language, speak it with all its purity, and with the utmost harmony, and yet so as not to make the sense a slave to the rhyme.

“Whoever,” added he, “neglects any one of these rules, though he may write two or three tragedies with tolerable success, will never be reckoned in the number of good authors. There are very few good tragedies; some are idylls, in very well–written and harmonious dialogue; and others a chain of political reasonings that set one asleep, or else pompous and high–flown amplification, that disgust rather than please. Others again are the ravings of a madman, in an uncouth style, unmeaning flights, or long apostrophes to the deities, for want of knowing how to address mankind; in a word a collection of false maxims and dull commonplace.”

Candide listened to this discourse with great attention, and conceived a high opinion of the person who delivered it; and as the Marchioness had taken care to place him near her side, he took the liberty to whisper her softly in the ear and ask who this person was that spoke so well.

“He is a man of letters,” replied Her Ladyship, “who never plays, and whom the abbe brings with him to my house sometimes to spend

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an evening. He is a great judge of writing, especially in tragedy; he has composed one himself, which was damned, and has written a book that was never seen out of his bookseller’s shop, excepting only one copy, which he sent me with a dedication, to which he had prefixed my name.”

“Oh the great man,” cried Candide, “he is a second Pangloss.” Then turning towards him, “Sir,” said he, “you are doubtless of

opinion that everything is for the best in the physical and moral world, and that nothing could be otherwise than it is?”

“I, sir!” replied the man of letters, “I think no such thing, I assure you; I find that all in this world is set the wrong end uppermost. No one knows what is his rank, his office, nor what he does, nor what he should do. With the exception of our evenings, which we generally pass tolerably merrily, the rest of our time is spent in idle disputes and quarrels, Jansenists against Molinists, the Parliament against the Church, and one armed body of men against another; courtier against courtier, husband against wife, and relations against relations. In short, this world is nothing but one continued scene of civil war.”

“Yes,” said Candide, “and I have seen worse than all that; and yet a learned man, who had the misfortune to be hanged, taught me that everything was marvelously well, and that these evils you are speaking of were only so many shades in a beautiful picture.”

“Your hempen sage,” said Martin, “laughed at you; these shades, as you call them, are most horrible blemishes.”

“The men make these blemishes,” rejoined Candide, “and they cannot do otherwise.”

“Then it is not their fault,” added Martin. The greatest part of the gamesters, who did not understand a

syllable of this discourse, amused themselves with drinking, while Martin reasoned with the learned gentleman and Candide entertained the lady of the house with a part of his adventures.

After supper the Marchioness conducted Candide into her dressingroom, and made him sit down under a canopy.

“Well,” said she, “are you still so violently fond of Miss Cunegund of Thunder–ten–tronckh?”

“Yes, madam,” replied Candide. The Marchioness said to him with a tender smile, “You answer me

like a young man born in Westphalia; a Frenchman would have said, ‘It is true, madam, I had a great passion for Miss Cunegund; but since I have seen you, I fear I can no longer love her as I did.’“

“Alas! madam,” replied Candide, “I will make you what answer you please.”

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“You fell in love with her, I find, in stooping to pick up her handkerchief which she had dropped; you shall pick up my garter.”

“With all my heart, madam,” said Candide, and he picked it up. “But you must tie it on again,” said the lady. Candide tied it on again. “Look ye, young man,” said the Marchioness, “you are a stranger;

I make some of my lovers here in Paris languish for me a whole fortnight; but I surrender to you at first sight, because I am willing to do the honors of my country to a young Westphalian.”

The fair one having cast her eye on two very large diamonds that were upon the young stranger’s finger, praised them in so earnest a manner that they were in an instant transferred from his finger to hers.

As Candide was going home with the abbe he felt some qualms of conscience for having been guilty of infidelity to Miss Cunegund.The abbe took part with him in his uneasiness; he had but an inconsiderable share in the thousand pieces Candide had lost at play, and the two diamonds which had been in a manner extorted from him; and therefore very prudently designed to make the most he could of his new acquaintance, which chance had thrown in his way. He talked much of Miss Cunegund, and Candide assured him that he would heartily ask pardon of that fair one for his infidelity to her, when he saw her at Venice.

The abbe redoubled his civilities and seemed to interest himself warmly in everything that Candide said, did, or seemed inclined to do.

“And so, sir, you have an engagement at Venice?” “Yes, Monsieur l’Abbe,” answered Candide, “I must absolutely

wait upon Miss Cunegund,” and then the pleasure he took in talking about the object he loved, led him insensibly to relate, according to custom, part of his adventures with that illustrious Westphalian beauty.

“I fancy,” said the abbe, “Miss Cunegund has a great deal of wit, and that her letters must be very entertaining.”

“I never received any from her,” said Candide; “for you are to consider that, being expelled from the castle upon her account, I could not write to her, especially as soon after my departure I heard she was dead; but thank God I found afterwards she was living. I left her again after this, and now I have sent a messenger to her near two thousand leagues from here, and wait here for his return with an answer from her.”

The artful abbe let not a word of all this escape him, though he seemed to be musing upon something else. He soon took his leave of the two adventurers, after having embraced them with the greatest cordiality.

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The next morning, almost as soon as his eyes were open, Candide received the following billet:

“My Dearest Lover – I have been ill in this city these eight days.I have heard of your arrival, and should fly to your arms were I able to stir. I was informed of your being on the way hither at Bordeaux, where I left the faithful Cacambo, and the old woman, who will soon follow me. The Governor of Buenos Ayres has taken everything from me but your heart, which I still retain. Come to me immediately on the receipt of this. Your presence will either give me new life, or kill me with the pleasure.”

At the receipt of this charming, this unexpected letter, Candide felt the utmost transports of joy; though, on the other hand, the indisposition of his beloved Miss Cunegund overwhelmed him with grief.Distracted between these two passions he took his gold and his diamonds, and procured a person to conduct him and Martin to the house where Miss Cunegund lodged. Upon entering the room he felt his limbs tremble, his heart flutter, his tongue falter; he attempted to undraw the curtain, and called for a light to the bedside.

“Lord sir,” cried a maidservant, who was waiting in the room, “take care what you do, Miss cannot bear the least light,” and so saying she pulled the curtain close again.

“Cunegund! my dear cried Candide, bathed in tears, “how do you do?If you cannot bear the light, speak to me at least.”

“Alas! she cannot speak,” said the maid. The sick lady then put a plump hand out of the bed and Candide

first bathed it with tears, then filled it with diamonds, leaving a purse of gold upon the easy chair.

In the midst of his transports came an officer into the room, followed by the abbe, and a file of musketeers.

“There,” said he, “are the two suspected foreigners.” At the same time he ordered them to be seized and carried to prison.

“Travelers are not treated in this manner in the country of El Dorado,” said Candide.

“I am more of a Manichaean now than ever,” said Martin. “But pray, good sir, where are you going to carry us?” said

Candide. “To a dungeon, my dear sir,” replied the officer. When Martin had a little recovered himself, so as to form a cool

judgment of what had passed, he plainly perceived that the person who had acted the part of Miss Cunegund was a cheat; that the abbe of Perigord was a sharper who had imposed upon the honest simplicity of Candide, and that the officer was a knave, whom they might easily get rid of.

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Candide following the advice of his friend Martin, and burning with impatience to see the real Miss Cunegund, rather than be obliged to appear at a court of justice, proposed to the officer to make him a present of three small diamonds, each of them worth three thousand pistoles.

“Ah, sir,” said the understrapper of justice, “had you commited ever so much villainy, this would render you the honestest man living, in my eyes. Three diamonds worth three thousand pistoles! Why, my dear sir, so far from carrying you to jail, I would lose my life to serve you. There are orders for stopping all strangers; but leave it to me, I have a brother at Dieppe, in Normandy. I myself will conduct you thither, and if you have a diamond left to give him he will take as much care of you as I myself should.”

“But why,” said Candide, “do they stop all strangers?” The abbe of Perigord made answer that it was because a poor devil

of the country of Atrebata heard somebody tell foolish stories, and this induced him to commit a parricide; not such a one as that in the month of May, 1610, but such as that in the month of December in the year 1594, and such as many that have been perpetrated in other months and years, by other poor devils who had heard foolish stories.

The officer then explained to them what the abbe meant. “Horrid monsters,” exclaimed Candide, “is it possible that such

scenes should pass among a people who are perpetually singing and dancing? Is there no flying this abominable country immediately, this execrable kingdom where monkeys provoke tigers? I have seen bears in my country, but men I have beheld nowhere but in El Dorado. In the name of God, sir,” said he to the officer, “do me the kindness to conduct me to Venice, where I am to wait for Miss Cunegund.”

“Really, sir,” replied the officer, “I cannot possibly wait on you farther than Lower Normandy.”

So saying, he ordered Candide’s irons to be struck off, acknowledged himself mistaken, and sent his followers about their business, after which he conducted Candide and Martin to Dieppe, and left them to the care of his brother.

There happened just then to be a small Dutch ship in the harbor. The Norman, whom the other three diamonds had converted into the most obliging, serviceable being that ever breathed, took care to see Candide and his attendants safe on board this vessel, that was just ready to sail for Portsmouth in England. This was not the nearest way to Venice, indeed, but Candide thought himself escaped out of Hell, and did not, in the least, doubt but he should quickly find an opportunity of resuming his voyage to Venice.

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Candide and Martin Touch upon the English Coast – What They See There

Ah Pangloss! Pangloss! ah Martin! ah my dear Miss Cunegund! What sort of a world is this?” Thus exclaimed Candide as soon as he got on board the Dutch ship.

“Why something very foolish, and very abominable,” said Martin. “You are acquainted with England,” said Candide; “are they as

great fools in that country as in France?” “Yes, but in a different manner,” answered Martin. “You know

that these two nations are at war about a few acres of barren land in the neighborhood of Canada, and that they have expended much greater sums in the contest than all Canada is worth. To say exactly whether there are a greater number fit to be inhabitants of a madhouse in the one country than the other, exceeds the limits of my imperfect capacity; I know in general that the people we are going to visit are of a very dark and gloomy disposition.”

As they were chatting thus together they arrived at Portsmouth.The shore on each side the harbor was lined with a multitude of people, whose eyes were steadfastly fixed on a lusty man who was kneeling down on the deck of one of the men–of–war, with something tied before his eyes. Opposite to this personage stood four soldiers, each of whom shot three bullets into his skull, with all the composure imaginable; and when it was done, the whole company went away perfectly well satisfied.

“What the devil is all this for?” said Candide, “and what demon, or foe of mankind, lords it thus tyrannically over the world?”

He then asked who was that lusty man who had been sent out of the world with so much ceremony. When he received for answer, that it was an admiral.

“And pray why do you put your admiral to death?” “Because he did not put a sufficient number of his fellow creatures

to death. You must know, he had an engagement with a French admiral, and it has been proved against him that he was not near enough to his antagonist.”

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“But,” replied Candide, “the French admiral must have been as far from him.”

“There is no doubt of that; but in this country it is found requisite, now and then, to put an admiral to death, in order to encourage the others to fight.”

Candide was so shocked at what he saw and heard, that he would not set foot on shore, but made a bargain with the Dutch skipper (were he even to rob him like the captain of Surinam) to carry him directly to Venice.

The skipper was ready in two days. They sailed along the coast of France, and passed within sight of Lisbon, at which Candide trembled. From thence they proceeded to the Straits, entered the Mediterranean, and at length arrived at Venice.

“God be praised,” said Candide, embracing Martin, “this is the place where I am to behold my beloved Cunegund once again. I can confide in Cacambo, like another self. All is well, all is very well, all is well as possible.”

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C H A P T E R 2 4

Of Pacquette and Friar Giroflee

Upon their arrival at Venice Candide went in search of Cacambo at every inn and coffee–house, and among all the ladies of pleasure, but could hear nothing of him. He sent every day to inquire what ships were in, still no news of Cacambo.

“It is strange,” said he to Martin, “very strange that I should have time to sail from Surinam to Bordeaux; to travel thence to Paris, to Dieppe, to Portsmouth; to sail along the coast of Portugal and Spain, and up the Mediterranean to spend some months at Venice; and that my lovely Cunegund should not have arrived. Instead of her, I only met with a Parisian impostor, and a rascally abbe of Perigord.Cunegund is actually dead, and I have nothing to do but follow her.Alas! how much better would it have been for me to have remained in the paradise of El Dorado than to have returned to this cursed Europe!You are in the right, my dear Martin; you are certainly in the right; all is misery and deceit.”

He fell into a deep melancholy, and neither went to the opera then in vogue, nor partook of any of the diversions of the Carnival; nay, he even slighted the fair sex.

Martin said to him, “Upon my word, I think you are very simple to imagine that a rascally valet, with five or six millions in his pocket, would go in search of your mistress to the further of the world, and bring her to Venice to meet you. If he finds her he will take her for himself; if he does not, he will take another. Let me advise you to forget your valet Cacambo, and your mistress Cunegund.”

Martin’s speech was not the most consolatory to the dejected Candide. His melancholy increased, and Martin never ceased trying to prove to him that there is very little virtue or happiness in this world; except, perhaps, in El Dorado, where hardly anybody can gain admittance.

While they were disputing on this important subject, and still expecting Miss Cunegund, Candide perceived a young Theatin friar in the Piazza San Marco, with a girl under his arm. The Theatin looked fresh–colored, plump, and vigorous; his eyes sparkled; his air and gait

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were bold and lofty. The girl was pretty, and was singing a song; and every now and then gave her Theatin an amorous ogle and wantonly pinched his ruddy cheeks.

“You will at least allow,” said Candide to Martin, “that these two are happy. Hitherto I have met with none but unfortunate people in the whole habitable globe, except in El Dorado; but as to this couple, I would venture to lay a wager they are happy.”

“Done!” said Martin, “they are not what you imagine.” “Well, we have only to ask them to dine with us,” said Candide,

“and you will see whether I am mistaken or not.” Thereupon he accosted them, and with great politeness invited

them to his inn to eat some macaroni, with Lombard partridges and caviar, and to drink a bottle of Montepulciano, Lacryma Christi, Cyprus, and Samos wine. The girl blushed; the Theatin accepted the invitation and she followed him, eyeing Candide every now and then with a mixture of surprise and confusion, while the tears stole down her cheeks. No sooner did she enter his apartment than she cried out, “How, Monsieur Candide, have you quite forgot your Pacquette? do you not know her again?”

Candide had not regarded her with any degree of attention before, being wholly occupied with the thoughts of his dear Cunegund.

“Ah! is it you, child? was it you that reduced Dr. Pangloss to that fine condition I saw him in?”

“Alas! sir,” answered Pacquette, “it was I, indeed. I find you are acquainted with everything; and I have been informed of all the misfortunes that happened to the whole family of My Lady Baroness and the fair Cunegund. But I can safely swear to you that my lot was no less deplorable; I was innocence itself when you saw me last. A Franciscan, who was my confessor, easily seduced me; the consequences proved terrible. I was obliged to leave the castle some time after the Baron kicked you out by the backside from there; and if a famous surgeon had not taken compassion on me, I had been a dead woman. Gratitude obliged me to live with him some time as his mistress; his wife, who was a very devil for jealousy, beat me unmercifully every day. Oh! she was a perfect fury. The doctor himself was the most ugly of all mortals, and I the most wretched creature existing, to be continually beaten for a man whom I did not love.You are sensible, sir, how dangerous it was for an ill–natured woman to be married to a physician. Incensed at the behavior of his wife, he one day gave her so affectionate a remedy for a slight cold she had caught that she died in less than two hours in most dreadful convulsions. Her relations prosecuted the husband, who was obliged to fly, and I was sent to prison. My innocence would not have saved me, if I had not

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been tolerably handsome. The judge gave me my liberty on condition he should succeed the doctor. However, I was soon supplanted by a rival, turned off without a farthing, and obliged to continue the abominable trade which you men think so pleasing, but which to us unhappy creatures is the most dreadful of all sufferings. At length I came to follow the business at Venice. Ah!sir, did you but know what it is to be obliged to receive every visitor; old tradesmen, counselors, monks, watermen, and abbes; to be exposed to all their insolence and abuse; to be often necessitated to borrow a petticoat, only that it may be taken up by some disagreeable wretch; to be robbed by one gallant of what we get from another; to be subject to the extortions of civil magistrates; and to have forever before one’s eyes the prospect of old age, a hospital, or a dunghill, you would conclude that I am one of the most unhappy wretches breathing.”

Thus did Pacquette unbosom herself to honest Candide in his closet, in the presence of Martin, who took occasion to say to him, “You see I have half won the wager already.”

Friar Giroflee was all this time in the parlor refreshing himself with a glass or two of wine till dinner was ready.

“But,” said Candide to Pacquette, “you looked so gay and contented, when I met you, you sang and caressed the Theatin with so much fondness, that I absolutely thought you as happy as you say you are now miserable.”

“Ah! dear sir,” said Pacquette, “this is one of the miseries of the trade; yesterday I was stripped and beaten by an officer; yet today I must appear good humored and gay to please a friar.”

Candide was convinced and acknowledged that Martin was in the right.They sat down to table with Pacquette and the Theatin; the entertainment was agreeable, and towards the end they began to converse together with some freedom.

“Father,” said Candide to the friar, “you seem to me to enjoy a state of happiness that even kings might envy; joy and health are painted in your countenance. You have a pretty wench to divert you; and you seem to be perfectly well contented with your condition as a Theatin.”

“Faith, sir,” said Friar Giroflee, “I wish with all my soul the Theatins were every one of them at the bottom of the sea. I have been tempted a thousand times to set fire to the monastery and go and turn Turk. My parents obliged me, at the age of fifteen, to put on this detestable habit only to increase the fortune of an elder brother of mine, whom God confound! jealousy, discord, and fury, reside in our monastery. It is true I have preached often paltry sermons, by which I have got a little money, part of which the prior robs me of, and the

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remainder helps to pay my girls; but, not withstanding, at night, when I go hence to my monastery, I am ready to dash my brains against the walls of the dormitory; and this is the case with all the rest of our fraternity.”

Martin, turning towards Candide, with his usual indifference, said, “Well, what think you now? have I won the wager entirely?”

Candide gave two thousand piastres to Pacquette, and a thousand to Friar Giroflee, saying, “I will answer that this will make them happy.”

“I am not of your opinion,” said Martin, “perhaps this money will only make them wretched.”

“Be that as it may,” said Candide, “one thing comforts me; I see that one often meets with those whom one never expected to see again; so that, perhaps, as I have found my red sheep and Pacquette, I may be lucky enough to find Miss Cunegund also.”

“I wish,” said Martin, “she one day may make you happy; but I doubt it much.”

“You lack faith,” said Candide. “It is because,” said Martin, “I have seen the world.” “Observe those gondoliers,” said Candide, “are they not

perpetually singing?” “You do not see them,” answered Martin, “at home with their

wives and brats. The doge has his chagrin, gondoliers theirs.Nevertheless, in the main, I look upon the gondolier’s life as preferable to that of the doge; but the difference is so trifling that it is not worth the trouble of examining into.”

“I have heard great talk,” said Candide, “of the Senator Pococurante, who lives in that fine house at the Brenta, where, they say, he entertains foreigners in the most polite manner.”

“They pretend this man is a perfect stranger to uneasiness. I should be glad to see so extraordinary a being,” said Martin.

Candide thereupon sent a messenger to Seignor Pococurante, desiring permission to wait on him the next day.

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C H A P T E R 2 5

Candide and Martin Pay a Visit to Seignor Pococurante, a Noble Venetian

Candide and his friend Martin went in a gondola on the Brenta, and arrived at the palace of the noble Pococurante. The gardens were laid out in elegant taste, and adorned with fine marble statues; his palace was built after the most approved rules of architecture. The master of the house, who was a man of affairs, and very rich, received our two travelers with great politeness, but without much ceremony, which somewhat disconcerted Candide, but was not at all displeasing to Martin.

As soon as they were seated, two very pretty girls, neatly dressed, brought in chocolate, which was extremely well prepared.Candide could not help praising their beauty and graceful carriage.

“The creatures are all right,” said the senator; “I amuse myself with them sometimes, for I am heartily tired of the women of the town, their coquetry, their jealousy, their quarrels, their humors, their meannesses, their pride, and their folly; I am weary of making sonnets, or of paying for sonnets to be made on them; but after all, these two girls begin to grow very indifferent to me.”

After having refreshed himself, Candide walked into a large gallery, where he was struck with the sight of a fine collection of paintings.

“Pray,” said Candide, “by what master are the two first of these?” “They are by Raphael,” answered the senator. “I gave a great deal

of money for them seven years ago, purely out of curiosity, as they were said to be the finest pieces in Italy; but I cannot say they please me: the coloring is dark and heavy; the figures do not swell nor come out enough; and the drapery is bad. In short, notwithstanding the encomiums lavished upon them, they are not, in my opinion, a true representation of nature. I approve of no paintings save those wherein I think I behold nature itself; and there are few, if any, of that kind to be met with. I have what is called a fine collection, but I take no manner of delight in it.”

While dinner was being prepared Pococurante ordered a concert.Candide praised the music to the skies.

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“This noise,” said the noble Venetian, “may amuse one for a little time, but if it were to last above half an hour, it would grow tiresome to everybody, though perhaps no one would care to own it.Music has become the art of executing what is difficult; now, whatever is difficult cannot be long pleasing.

“I believe I might take more pleasure in an opera, if they had not made such a monster of that species of dramatic entertainment as perfectly shocks me; and I am amazed how people can bear to see wretched tragedies set to music; where the scenes are contrived for no other purpose than to lug in, as it were by the ears, three or four ridiculous songs, to give a favorite actress an opportunity of exhibiting her pipe. Let who will die away in raptures at the trills of a eunuch quavering the majestic part of Caesar or Cato, and strutting in a foolish manner upon the stage, but for my part I have long ago renounced these paltry entertainments, which constitute the glory of modern Italy, and are so dearly purchased by crowned heads.”

Candide opposed these sentiments; but he did it in a discreet manner; as for Martin, he was entirely of the old senator’s opinion.

Dinner being served they sat down to table, and, after a hearty repast, returned to the library. Candide, observing Homer richly bound, commended the noble Venetian’s taste.

“This,” said he, “is a book that was once the delight of the great Pangloss, the best philosopher in Germany.”

“Homer is no favorite of mine,” answered Pococurante, coolly, “I was made to believe once that I took a pleasure in reading him; but his continual repetitions of battles have all such a resemblance with each other; his gods that are forever in haste and bustle, without ever doing anything; his Helen, who is the cause of the war, and yet hardly acts in the whole performance; his Troy, that holds out so long, without being taken: in short, all these things together make the poem very insipid to me. I have asked some learned men, whether they are not in reality as much tired as myself with reading this poet: those who spoke ingenuously, assured me that he had made them fall asleep, and yet that they could not well avoid giving him a place in their libraries; but that it was merely as they would do an antique, or those rusty medals which are kept only for curiosity, and are of no manner of use in commerce.”

“But your excellency does not surely form the same opinion of Virgil?” said Candide.

“Why, I grant,” replied Pococurante, “that the second, third, fourth, and sixth books of his Aeneid, are excellent; but as for his pious Aeneas, his strong Cloanthus, his friendly Achates, his boy Ascanius, his silly king Latinus, his ill–bred Amata, his insipid Lavinia, and some other characters much in the same strain, I think there cannot in nature

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be anything more flat and disagreeable. I must confess I prefer Tasso far beyond him; nay, even that sleepy taleteller Ariosto.”

“May I take the liberty to ask if you do not experience great pleasure from reading Horace?” said Candide.

“There are maxims in this writer,” replied Pococurante, “whence a man of the world may reap some benefit; and the short measure of the verse makes them more easily to be retained in the memory. But I see nothing extraordinary in his journey to Brundusium, and his account of his had dinner; nor in his dirty, low quarrel between one Rupillius, whose words, as he expresses it, were full of poisonous filth; and another, whose language was dipped in vinegar. His indelicate verses against old women and witches have frequently given me great offense: nor can I discover the great merit of his telling his friend Maecenas, that if he will but rank him in the class of lyric poets, his lofty head shall touch the stars. Ignorant readers are apt to judge a writer by his reputation. For my part, I read only to please myself. I like nothing but what makes for my purpose.”

Candide, who had been brought up with a notion of never making use of his own judgment, was astonished at what he heard; but Martin found there was a good deal of reason in the senator’s remarks.

“Oh! here is a Tully,” said Candide; “this great man I fancy you are never tired of reading?”

“Indeed I never read him at all,” replied Pococurante. “What is it to me whether he pleads for Rabirius or Cluentius? I try causes enough myself. I had once some liking for his philosophical works; but when I found he doubted everything, I thought I knew as much as himself, and had no need of a guide to learn ignorance.”

“Ha!” cried Martin, “here are fourscore volumes of the memoirs of the Academy of Sciences; perhaps there may be something curious and valuable in this collection.”

“Yes,” answered Pococurante, “so there might if any one of these compilers of this rubbish had only invented the art of pin–making; but all these volumes are filled with mere chimerical systems, without one single article conductive to real utility.”

“I see a prodigious number of plays,” said Candide, “in Italian, Spanish, and French.”

“Yes,” replied the Venetian, “there are I think three thousand, and not three dozen of them good for anything. As to those huge volumes of divinity, and those enormous collections of sermons, they are not all together worth one single page in Seneca; and I fancy you will readily believe that neither myself, nor anyone else, ever looks into them.”

Martin, perceiving some shelves filled with English books, said to the senator, “I fancy that a republican must be highly delighted with

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those books, which are most of them written with a noble spirit of freedom.”

“It is noble to write as we think,” said Pococurante; “it is the privilege of humanity. Throughout Italy we write only what we do not think; and the present inhabitants of the country of the Caesars and Antonines dare not acquire a single idea without the permission of a Dominican father. I should be enamored of the spirit of the English nation, did it not utterly frustrate the good effects it would produce by passion and the spirit of party.”

Candide, seeing a Milton, asked the senator if he did not think that author a great man.

“Who?” said Pococurante sharply; “that barbarian who writes a tedious commentary in ten books of rumbling verse, on the first chapter of Genesis? that slovenly imitator of the Greeks, who disfigures the creation, by making the Messiah take a pair of compasses from Heaven’s armory to plan the world; whereas Moses represented the Diety as producing the whole universe by his fiat? Can I think you have any esteem for a writer who has spoiled Tasso’s Hell and the Devil; who transforms Lucifer sometimes into a toad, and at others into a pygmy; who makes him say the same thing over again a hundred times; who metamorphoses him into a school–divine; and who, by an absurdly serious imitation of Ariosto’s comic invention of firearms, represents the devils and angels cannonading each other in Heaven? Neither I nor any other Italian can possibly take pleasure in such melancholy reveries; but the marriage of Sin and Death, and snakes issuing from the womb of the former, are enough to make any person sick that is not lost to all sense of delicacy. This obscene, whimsical, and disagreeable poem met with the neglect it deserved at its first publication; and I only treat the author now as he was treated in his own country by his contemporaries.”

Candide was sensibly grieved at this speech, as he had a great respect for Homer, and was fond of Milton.

“Alas!” said he softly to Martin, “I am afraid this man holds our German poets in great contempt.”

“There would be no such great harm in that,” said Martin. “O what a surprising man!” said Candide, still to himself; “what a

prodigious genius is this Pococurante! nothing can please him.” After finishing their survey of the library, they went down into the

garden, when Candide commended the several beauties that offered themselves to his view.

“I know nothing upon earth laid out in such had taste,” said Pococurante; “everything about it is childish and trifling; but I shall have another laid out tomorrow upon a nobler plan.”

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As soon as our two travelers had taken leave of His Excellency, Candide said to Martin, “Well, I hope you will own that this man is the happiest of all mortals, for he is above everything he possesses.”

“But do not you see,” answered Martin, “that he likewise dislikes everything he possesses? It was an observation of Plato, long since, that those are not the best stomachs that reject, without distinction, all sorts of aliments.”

“True,” said Candide, “but still there must certainly be a pleasure in criticising everything, and in perceiving faults where others think they see beauties.”

“That is,” replied Martin, “there is a pleasure in having no pleasure.”

“Well, well,” said Candide, “I find that I shall be the only happy man at last, when I am blessed with the sight of my dear Cunegund.”

“It is good to hope,” said Martin. In the meanwhile, days and weeks passed away, and no news of

Cacambo. Candide was so overwhelmed with grief, that he did not reflect on the behavior of Pacquette and Friar Giroflee, who never stayed to return him thanks for the presents he had so generously made them.

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C H A P T E R 2 6

Candide and Martin Sup with Six Sharpers – Who They Were

One evening as Candide, with his attendant Martin, was going to sit down to supper with some foreigners who lodged in the same inn where they had taken up their quarters, a man with a face the color of soot came behind him, and taking him by the arm, said, “Hold yourself in readiness to go along with us; be sure you do not fail.”

Upon this, turning about to see from whom these words came, he beheld Cacambo. Nothing but the sight of Miss Cunegund could have given him greater joy and surprise. He was almost beside himself, and embraced this dear friend.

“Cunegund!” said he, “Cunegund is come with you doubtless! Where, where is she? Carry me to her this instant, that I may die with joy in her presence.”

“Cunegund is not here,” answered Cacambo; “she is in Constantinople.”

“Good heavens! in Constantinople! but no matter if she were in China, I would fly thither. Quick, quick, dear Cacambo, let us be gone.”

“Soft and fair,” said Cacambo, “stay till you have supped. I cannot at present stay to say anything more to you; I am a slave, and my master waits for me; I must go and attend him at table: but mum! say not a word, only get your supper, and hold yourself in readiness.”

Candide, divided between joy and grief, charmed to have thus met with his faithful agent again, and surprised to hear he was a slave, his heart palpitating, his senses confused, but full of the hopes of recovering his dear Cunegund, sat down to table with Martin, who beheld all these scenes with great unconcern, and with six strangers, who had come to spend the Carnival at Venice.

Cacambo waited at table upon one of those strangers. When supper was nearly over, he drew near to his master, and whispered in his ear:

“Sire, Your Majesty may go when you please; the ship is ready”; and so saying he left the room.

The guests, surprised at what they had heard, looked at each other without speaking a word; when another servant drawing near to his

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master, in like manner said, “Sire, Your Majesty’s post–chaise is at Padua, and the bark is ready.” The master made him a sign, and he instantly withdrew.

The company all stared at each other again, and the general astonishment was increased. A third servant then approached another of the strangers, and said, “Sire, if Your Majesty will be advised by me, you will not make any longer stay in this place; I will go and get everything ready”; and instantly disappeared.

Candide and Martin then took it for granted that this was some of the diversions of the Carnival, and that these were characters in masquerade. Then a fourth domestic said to the fourth stranger, “Your Majesty may set off when you please”; saying which, he went away like the rest. A fifth valet said the same to a fifth master. But the sixth domestic spoke in a different style to the person on whom he waited, and who sat near to Candide.

“Troth, sir,” said he, “they will trust Your Majesty no longer, nor myself neither; and we may both of us chance to be sent to jail this very night; and therefore I shall take care of myself, and so adieu.”

The servants being all gone, the six strangers, with Candide and Martin, remained in a profound silence. At length Candide broke it by saying:

“Gentlemen, this is a very singular joke upon my word; how came you all to be kings? For my part I own frankly, that neither my friend Martin here, nor myself, have any claim to royalty.”

Cacambo’s master then began, with great gravity, to deliver himself thus in Italian:

“I am not joking in the least, my name is Achmet III. I was Grand Sultan for many years; I dethroned my brother, my nephew dethroned me, my viziers lost their heads, and I am condemned to end my days in the old seraglio. My nephew, the Grand Sultan Mahomet, gives me permission to travel sometimes for my health, and I am come to spend the Carnival at Venice.”

A young man who sat by Achmet, spoke next, and said: “My name is Ivan. I was once Emperor of all the Russians, but was

dethroned in my cradle. My parents were confined, and I was brought up in a prison, yet I am sometimes allowed to travel, though always with persons to keep a guard over me, and I come to spend the Carnival at Venice.”

The third said: “I am Charles Edward, King of England; my father has renounced

his right to the throne in my favor. I have fought in defense of my rights, and near a thousand of my friends have had their hearts taken out of their bodies alive and thrown in their faces. I have myself been

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confined in a prison. I am going to Rome to visit the King, my father, who was dethroned as well as myself; and my grandfather and I have come to spend the Carnival at Venice.”

The fourth spoke thus: “I am the King of Poland; the fortune of war has stripped me of my

hereditary dominions. My father experienced the same vicissitudes of fate. I resign myself to the will of Providence, in the same manner as Sultan Achmet, the Emperor Ivan, and King Charles Edward, whom God long preserve; and I have come to spend the Carnival at Venice.”

The fifth said: “I am King of Poland also. I have twice lost my kingdom; but

Providence has given me other dominions, where I have done more good than all the Sarmatian kings put together were ever able to do on the banks of the Vistula; I resign myself likewise to Providence; and have come to spend the Carnival at Venice.”

It now came to the sixth monarch’s turn to speak. “Gentlemen,” said he, “I am not so great a prince as the rest of you, it is true, but I am, however, a crowned head. I am Theodore, elected King of Corsica. I have had the title of Majesty, and am now hardly treated with common civility. I have coined money, and am not now worth a single ducat. I have had two secretaries, and am now without a valet. I was once seated on a throne, and since that have lain upon a truss of straw, in a common jail in London, and I very much fear I shall meet with the same fate here in Venice, where I came, like Your Majesties, to divert myself at the Carnival.”

The other five Kings listened to this speech with great attention; it excited their compassion; each of them made the unhappy Theodore a present of twenty sequins, and Candide gave him a diamond, worth just a hundred times that sum.

“Who can this private person be,” said the five Kings to one another, “who is able to give, and has actually given, a hundred times as much as any of us?”

Just as they rose from table, in came four Serene Highnesses, who had also been stripped of their territories by the fortune of war, and had come to spend the remainder of the Carnival at Venice. Candide took no manner of notice of them; for his thoughts were wholly employed on his voyage to Constantinople, where he intended to go in search of his lovely Miss Cunegund.

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C H A P T E R 2 7

Candide’s Voyage to Constantinople

The trusty Cacambo had already engaged the captain of the Turkish ship that was to carry Sultan Achmet back to Constantinople to take Candide and Martin on board. Accordingly they both embarked, after paying their obeisance to his miserable Highness. As they were going on board, Candide said to Martin:

“You see we supped in company with six dethroned Kings, and to one of them I gave charity. Perhaps there may be a great many other princes still more unfortunate. For my part I have lost only a hundred sheep, and am now going to fly to the arms of my charming Miss Cunegund. My dear Martin, I must insist on it, that Pangloss was in the right. All is for the best.”

“I wish it may be,” said Martin. “But this was an odd adventure we met with at Venice. I do not

think there ever was an instance before of six dethroned monarchs supping together at a public inn.”

“This is not more extraordinary,” said Martin, “than most of what has happened to us. It is a very common thing for kings to be dethroned; and as for our having the honor to sup with six of them, it is a mere accident, not deserving our attention.”

As soon as Candide set his foot on board the vessel, he flew to his old friend and valet Cacambo and, throwing his arms about his neck, embraced him with transports of joy.

“Well,” said he, “what news of Miss Cunegund? Does she still continue the paragon of beauty? Does she love me still? How does she do? You have, doubtless, purchased a superb palace for her at Constantinople.”

“My dear master,” replied Cacambo, “Miss Cunegund washes dishes on the banks of the Propontis, in the house of a prince who has very few to wash. She is at present a slave in the family of an ancient sovereign named Ragotsky, whom the Grand Turk allows three crowns a day to maintain him in his exile; but the most melancholy circumstance of all is, that she is turned horribly ugly.”

“Ugly or handsome,” said Candide, “I am a man of honor and, as such, am obliged to love her still. But how could she possibly have

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been reduced to so abject a condition, when I sent five or six millions to her by you?”

“Lord bless me,” said Cacambo, “was not I obliged to give two millions to Seignor Don Fernando d’Ibaraa y Figueora y Mascarenes y Lampourdos y Souza, the Governor of Buenos Ayres, for liberty to take Miss Cunegund away with me? And then did not a brave fellow of a pirate gallantly strip us of all the rest? And then did not this same pirate carry us with him to Cape Matapan, to Milo, to Nicaria, to Samos, to Petra, to the Dardanelles, to Marmora, to Scutari? Miss Cunegund and the old woman are now servants to the prince I have told you of; and I myself am slave to the dethroned Sultan.”

“What a chain of shocking accidents!” exclaimed Candide. “But after all, I have still some diamonds left, with which I can easily procure Miss Cunegund’s liberty. It is a pity though she is grown so ugly.”

Then turning to Martin, “What think you, friend,” said he, “whose condition is most to be pitied, the Emperor Achmet’s, the Emperor Ivan’s, King Charles Edward’s, or mine?”

“Faith, I cannot resolve your question,” said Martin, “unless I had been in the breasts of you all.”

“Ah!” cried Candide, “was Pangloss here now, he would have known, and satisfied me at once.”

“I know not,” said Martin, “in what balance your Pangloss could have weighed the misfortunes of mankind, and have set a just estimation on their sufferings. All that I pretend to know of the matter is that there are millions of men on the earth, whose conditions are a hundred times more pitiable than those of King Charles Edward, the Emperor Ivan, or Sultan Achmet.”

“Why, that may be,” answered Candide. In a few days they reached the Bosphorus; and the first thing

Candide did was to pay a high ransom for Cacambo; then, without losing time, he and his companions went on board a galley, in order to search for his Cunegund on the banks of the Propontis, notwithstanding she was grown so ugly.

There were two slaves among the crew of the galley, who rowed very ill, and to whose bare backs the master of the vessel frequently applied a lash. Candide, from natural sympathy, looked at these two slaves more attentively than at any of the rest, and drew near them with an eye of pity. Their features, though greatly disfigured, appeared to him to bear a strong resemblance with those of Pangloss and the unhappy Baron Jesuit, Miss Cunegund’s brother. This idea affected him with grief and compassion: he examined them more attentively than before.

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“In troth,” said he, turning to Martin, “if I had not seen my master Pangloss fairly hanged, and had not myself been unlucky enough to run the Baron through the body, I should absolutely think those two rowers were the men.”

No sooner had Candide uttered the names of the Baron and Pangloss, than the two slaves gave a great cry, ceased rowing, and let fall their oars out of their hands. The master of the vessel, seeing this, ran up to them, and redoubled the discipline of the lash.

“Hold, hold,” cried Candide, “I will give you what money you shall ask for these two persons.”

“Good heavens! it is Candide,” said one of the men. “Candide!” cried the other. “Do I dream,” said Candide, “or am I awake? Am I actually on

board this galley? Is this My Lord the Baron, whom I killed? and that my master Pangloss, whom I saw hanged before my face?”

“It is I! it is I!” cried they both together. “What! is this your great philosopher?” said Martin. “My dear sir,” said Candide to the master of the galley, “how much

do you ask for the ransom of the Baron of Thunder–ten–tronckh, who is one of the first barons of the empire, and of Monsieur Pangloss, the most profound metaphysician in Germany?”

“Why, then, Christian cur,” replied the Turkish captain, “since these two dogs of Christian slaves are barons and metaphysicians, who no doubt are of high rank in their own country, thou shalt give me fifty thousand sequins.”

“You shall have them, sir; carry me back as quick as thought to Constantinople, and you shall receive the money immediately – No!carry me first to Miss Cunegund.”

The captain, upon Candide’s first proposal, had already tacked about, and he made the crew ply their oars so effectually, that the vessel flew through the water, quicker than a bird cleaves the air.

Candide bestowed a thousand embraces on the Baron and Pangloss. “And so then, my dear Baron, I did not kill you? and you, my dear Pangloss, are come to life again after your hanging? But how came you slaves on board a Turkish galley?”

“And is it true that my dear sister is in this country?” said the Baron.

“Yes,” said Cacambo. “And do I once again behold my dear Candide?” said Pangloss. Candide presented Martin and Cacambo to them; they embraced

each other, and all spoke together. The galley flew like lightning, and soon they were got back to port. Candide instantly sent for a Jew, to whom he sold for fifty thousand sequins a diamond richly worth one

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hundred thousand, though the fellow swore to him all the time by Father Abraham that he gave him the most he could possibly afford.He no sooner got the money into his hands, than he paid it down for the ransom of the Baron and Pangloss. The latter flung himself at the feet of his deliverer, and bathed him with his tears; the former thanked him with a gracious nod, and promised to return him the money the first opportunity.

“But is it possible,” said he, “that my sister should be in Turkey?” “Nothing is more possible,” answered Cacambo, “for she scours

the dishes in the house of a Transylvanian prince.” Candide sent directly for two Jews, and sold more diamonds to

them; and then he set out with his companions in another galley, to deliver Miss Cunegund from slavery.

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C H A P T E R 2 8

What Befell Candide, Cunegund, Pangloss, Martin, etc.

Pardon,” said Candide to the Baron; “once more let me entreat your pardon, Reverend Father, for running you through the body.”

“Say no more about it,” replied the Baron. “I was a little too hasty I must own; but as you seem to be desirous to know by what accident I came to be a slave on board the galley where you saw me, I will inform you. After I had been cured of the wound you gave me, by the College apothecary, I was attacked and carried off by a party of Spanish troops, who clapped me in prison in Buenos Ayres, at the very time my sister was setting out from there. I asked leave to return to Rome, to the general of my Order, who appointed me chaplain to the French Ambassador at Constantinople. I had not been a week in my new office, when I happened to meet one evening a young Icoglan, extremely handsome and well–made. The weather was very hot; the young man had an inclination to bathe. I took the opportunity to bathe likewise. I did not know it was a crime for a Christian to be found naked in company with a young Turk. A cadi ordered me to receive a hundred blows on the soles of my feet, and sent me to the galleys. I do not believe that there was ever an act of more flagrant injustice. But I would fain know how my sister came to be a scullion to a Transylvanian prince, who has taken refuge among the Turks?”

“But how happens it that I behold you again, my dear Pangloss?” said Candide.

“It is true,” answered Pangloss, “you saw me hanged, though I ought properly to have been burned; but you may remember, that it rained extremely hard when they were going to roast me. The storm was so violent that they found it impossible to light the fire; so they hanged me because they could do no better. A surgeon purchased my body, carried it home, and prepared to dissect me. He began by making a crucial incision from my navel to the clavicle. It is impossible for anyone to have been more lamely hanged than I had been.The executioner was a subdeacon, and knew how to burn people very well, but as for hanging, he was a novice at it, being quite out of practice; the cord being wet, and not slipping properly, the noose did not join. In short, I still continued to breathe; the crucial incision made me scream

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to such a degree, that my surgeon fell flat upon his back; and imagining it was the Devil he was dissecting, ran away, and in his fright tumbled down stairs. His wife hearing the noise, flew from the next room, and seeing me stretched upon the table with my crucial incision, was still more terrified than her husband, and fell upon him. When they had a little recovered themselves, I heard her say to her husband, ‘My dear, how could you think of dissecting a heretic? Don’t you know that the Devil is always in them? I’ll run directly to a priest to come and drive the evil spirit out.’ I trembled from head to foot at hearing her talk in this manner, and exerted what little strength I had left to cry out, ‘Have mercy on me!’ At length the Portuguese barber took courage, sewed up my wound, and his wife nursed me; and I was upon my legs in a fortnight’s time. The barber got me a place to be lackey to a Knight of Malta, who was going to Venice; but finding my master had no money to pay me my wages, I entered into the service of a Venetian merchant and went with him to Constantinople.

“One day I happened to enter a mosque, where I saw no one but an old man and a very pretty young female devotee, who was telling her beads; her neck was quite bare, and in her bosom she had a beautiful nosegay of tulips, roses, anemones, ranunculuses, hyacinths, and auriculas; she let fall her nosegay. I ran immediately to take it up, and presented it to her with a most respectful bow. I was so long in delivering it that the man began to be angry; and, perceiving I was a Christian, he cried out for help; they carried me before the cadi, who ordered me to receive one hundred bastinadoes, and sent me to the galleys. I was chained in the very galley and to the very same bench with the Baron. On board this galley there were four young men belonging to Marseilles, five Neapolitan priests, and two monks of Corfu, who told us that the like adventures happened every day. The Baron pretended that he had been worse used than myself; and I insisted that there was far less harm in taking up a nosegay, and putting it into a woman’s bosom, than to be found stark naked with a young Icoglan. We were continually whipped, and received twenty lashes a day with a heavy thong, when the concatenation of sublunary events brought you on board our galley to ransom us from slavery.”

“Well, my dear Pangloss,” said Candide to him, “when You were hanged, dissected, whipped, and tugging at the oar, did you continue to think that everything in this world happens for the best?”

“I have always abided by my first opinion,” answered Pangloss; “for, after all, I am a philosopher, and it would not become me to retract my sentiments; especially as Leibnitz could not be in the wrong: and that preestablished harmony is the finest thing in the world, as well as a plenum and the materia subtilis.”

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C H A P T E R 2 9

In What Manner Candide Found Miss Cunegund and the Old Woman Again

While Candide, the Baron, Pangloss, Martin, and Cacambo, were relating their several adventures, and reasoning on the contingent or noncontingent events of this world; on causes and effects; on moral and physical evil; on free will and necessity; and on the consolation that may be felt by a person when a slave and chained to an oar in a Turkish galley, they arrived at the house of the Transylvanian prince on the shores of the Propontis. The first objects they beheld there, were Miss Cunegund and the old woman, who were hanging some tablecloths on a line to dry.

The Baron turned pale at the sight. Even the tender Candide, that affectionate lover, upon seeing his fair Cunegund all sunburned, with bleary eyes, a withered neck, wrinkled face and arms, all covered with a red scurf, started back with horror; but, not withstanding, recovering himself, he advanced towards her out of good manners. She embraced Candide and her brother; they embraced the old woman, and Candide ransomed them both.

There was a small farm in the neighborhood which the old woman proposed to Candide to make shift with till the company should meet with a more favorable destiny. Cunegund, not knowing that she was grown ugly, as no one had informed her of it, reminded Candide of his promise in so peremptory a manner, that the simple lad did not dare to refuse her; he then acquainted the Baron that he was going to marry his sister.

“I will never suffer,” said the Baron, “my sister to be guilty of an action so derogatory to her birth and family; nor will I bear this insolence on your part. No, I never will be reproached that my nephews are not qualified for the first ecclesiastical dignities in Germany; nor shall a sister of mine ever be the wife of any person below the rank of Baron of the Empire.”

Cunegund flung herself at her brother’s feet, and bedewed them with her tears; but he still continued inflexible.

“Thou foolish fellow, said Candide, “have I not delivered thee from the galleys, paid thy ransom, and thy sister’s, too, who was a

Candide 93

scullion, and is very ugly, and yet condescend to marry her? and shalt thou pretend to oppose the match! If I were to listen only to the dictates of my anger, I should kill thee again.”

“Thou mayest kill me again,” said the Baron; “but thou shalt not marry my sister while I am living.”

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C H A P T E R 3 0

Conclusion

Candide had, in truth, no great inclination to marry Miss Cunegund; but the extreme impertinence of the Baron determined him to conclude the match; and Cunegund pressed him so warmly, that he could not recant. He consulted Pangloss, Martin, and the faithful Cacambo. Pangloss composed a fine memorial, by which he proved that the Baron had no right over his sister; and that she might, according to all the laws of the Empire, marry Candide with the left hand. Martin concluded to throw the Baron into the sea; Cacambo decided that he must be delivered to the Turkish captain and sent to the galleys; after which he should be conveyed by the first ship to the Father General at Rome. This advice was found to be good; the old woman approved of it, and not a syllable was said to his sister; the business was executed for a little money; and they had the pleasure of tricking a Jesuit, and punishing the pride of a German baron.

It was altogether natural to imagine, that after undergoing so many disasters, Candide, married to his mistress and living with the philosopher Pangloss, the philosopher Martin, the prudent Cacambo, and the old woman, having besides brought home so many diamonds from the country of the ancient Incas, would lead the most agreeable life in the world. But he had been so robbed by the Jews, that he had nothing left but his little farm; his wife, every day growing more and more ugly, became headstrong and insupportable; the old woman was infirm, and more ill–natured yet than Cunegund. Cacambo, who worked in the garden, and carried the produce of it to sell in Constantinople, was above his labor, and cursed his fate. Pangloss despaired of making a figure in any of the German universities. And as to Martin, he was firmly persuaded that a person is equally ill–situated everywhere.He took things with patience.

Candide, Martin, and Pangloss disputed sometimes about metaphysics and morality. Boats were often seen passing under the windows of the farm laden with effendis, bashaws, and cadis, that were going into banishment to Lemnos, Mytilene and Erzerum. And other cadis, bashaws, and effendis were seen coming back to succeed the place of the exiles, and were driven out in their turns. They saw several

Candide 95

heads curiously stuck upon poles, and carried as presents to the Sublime Porte. Such sights gave occasion to frequent dissertations; and when no disputes were in progress, the irksomeness was so excessive that the old woman ventured one day to tell them:

“I would be glad to know which is worst, to be ravished a hundred times by Negro pirates, to have one buttock cut off, to run the gauntlet among the Bulgarians, to be whipped and hanged at an auto–da–fe, to be dissected, to be chained to an oar in a galley; and, in short, to experience all the miseries through which every one of us hath passed, or to remain here doing nothing?”

“This,” said Candide, “is a grand question.” This discourse gave birth to new reflections, and Martin especially

concluded that man was born to live in the convulsions of disquiet, or in the lethargy of idleness. Though Candide did not absolutely agree to this, yet he did not determine anything on that head. Pangloss avowed that he had undergone dreadful sufferings; but having once maintained that everything went on as well as possible, he still maintained it, and at the same time believed nothing of it.

There was one thing which more than ever confirmed Martin in his detestable principles, made Candide hesitate, and embarrassed Pangloss, which was the arrival of Pacquette and Brother Giroflee one day at their farm. This couple had been in the utmost distress; they had very speedily made away with their three thousand piastres; they had parted, been reconciled; quarreled again, been thrown into prison; had made their escape, and at last Brother Giroflee had turned Turk. Pacquette still continued to follow her trade; but she got little or nothing by it.

“I foresaw very well,” said Martin to Candide “that your presents would soon be squandered, and only make them more miserable. You and Cacambo have spent millions of piastres, and yet you are not more happy than Brother Giroflee and Pacquette.”

“Ah!” said Pangloss to Pacquette, “it is Heaven that has brought you here among us, my poor child! Do you know that you have cost me the tip of my nose, one eye, and one ear? What a handsome shape is here!and what is this world!”

This new adventure engaged them more deeply than ever in philosophical disputations.

In the neighborhood lived a famous dervish who passed for the best philosopher in Turkey; they went to consult him: Pangloss, who was their spokesman, addressed him thus:

“Master, we come to entreat you to tell us why so strange an animal as man has been formed?”

96 VOLTAIRE

“Why do you trouble your head about it?” said the dervish; “is it any business of yours?”

“But, Reverend Father,” said Candide, “there is a horrible deal of evil on the earth.”

“What signifies it,” said the dervish, “whether there is evil or good? When His Highness sends a ship to Egypt does he trouble his head whether the rats in the vessel are at their ease or not?”

“What must then be done?” said Pangloss. “Be silent,” answered the dervish. “I flattered myself,” replied Pangloss, “to have reasoned a little

with you on the causes and effects, on the best of possible worlds, the origin of evil, the nature of the soul, and a pre–established harmony.”

At these words the dervish shut the door in their faces. During this conversation, news was spread abroad that two viziers

of the bench and the mufti had just been strangled at Constantinople, and several of their friends impaled. This catastrophe made a great noise for some hours. Pangloss, Candide, and Martin, as they were returning to the little farm, met with a good–looking old man, who was taking the air at his door, under an alcove formed of the boughs of orange trees. Pangloss, who was as inquisitive as he was disputative, asked him what was the name of the mufti who was lately strangled.

“I cannot tell,” answered the good old man; “I never knew the name of any mufti, or vizier breathing. I am entirely ignorant of the event you speak of; I presume that in general such as are concerned in public affairs sometimes come to a miserable end; and that they deserve it: but I never inquire what is doing at Constantinople; I am contented with sending thither the produce of my garden, which I cultivate with my own hands.”

After saying these words, he invited the strangers to come into his house. His two daughters and two sons presented them with divers sorts of sherbet of their own making; besides caymac, heightened with the peels of candied citrons, oranges, lemons, pineapples, pistachio nuts, and Mocha coffee unadulterated with the bad coffee of Batavia or the American islands. After which the two daughters of this good Mussulman perfumed the beards of Candide, Pangloss, and Martin.

“You must certainly have a vast estate,” said Candide to the Turk. “I have no more than twenty acres of ground,” he replied, “the

whole of which I cultivate myself with the help of my children; and our labor keeps off from us three great evils – idleness, vice, and want.”

Candide, as he was returning home, made profound reflections on the Turk’s discourse.

Candide 97

“This good old man,” said he to Pangloss and Martin, “appears to me to have chosen for himself a lot much preferable to that of the six Kings with whom we had the honor to sup.”

“Human grandeur,” said Pangloss, “is very dangerous, if we believe the testimonies of almost all philosophers; for we find Eglon, King of Moab, was assassinated by Aod; Absalom was hanged by the hair of his head, and run through with three darts; King Nadab, son of Jeroboam, was slain by Baaza; King Ela by Zimri; Okosias by Jehu; Athaliah by Jehoiada; the Kings Jehooiakim, Jeconiah, and Zedekiah, were led into captivity: I need not tell you what was the fate of Croesus, Astyages, Darius, Dionysius of Syracuse, Pyrrhus, Perseus, Hannibal, Jugurtha, Ariovistus, Caesar, Pompey, Nero, Otho, Vitellius, Domitian, Richard II of England, Edward II, Henry VI, Richard Ill, Mary Stuart, Charles I, the three Henrys of France, and the Emperor Henry IV.”

“Neither need you tell me,” said Candide, “that we must take care of our garden.”

“You are in the right,” said Pangloss; “for when man was put into the garden of Eden, it was with an intent to dress it; and this proves that man was not born to be idle.”

“Work then without disputing,” said Martin; “it is the only way to render life supportable.”

The little society, one and all, entered into this laudable design and set themselves to exert their different talents. The little piece of ground yielded them a plentiful crop. Cunegund indeed was very ugly, but she became an excellent hand at pastrywork: Pacquette embroidered; the old woman had the care of the linen. There was none, down to Brother Giroflee, but did some service; he was a very good carpenter, and became an honest man. Pangloss used now and then to say to Candide:

“There is a concatenation of all events in the best of possible worlds; for, in short, had you not been kicked out of a fine castle for the love of Miss Cunegund; had you not been put into the Inquisition; had you not traveled over America on foot; had you not run the Baron through the body; and had you not lost all your sheep, which you brought from the good country of El Dorado, you would not have been here to eat preserved citrons and pistachio nuts.”

“Excellently observed,” answered Candide; “but let us cultivate our garden.”

–– THE END ––

98

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N A T I O N S W H Y S O M E A R E S O R I C H

A N D S O M E S O P O O R

D A V I D S . L A N D E S

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European Exceptionalism: A Different Path

Europe was lucky, but luck is only a beginning. Anyone who looked at the world, say a thousand years a g o , would never have predicted great things for this protrusion at the western end o f the Eurasian landmass that we call the continent o f E u r o p e . In terms p o p ­ ular among today's new economic historians, the probability at that point o f European global dominance was somewhere around zero. Five hundred years later, it was getting close to one.

In the tenth century, Europe was just coming out o f a long torment o f invasion, plunder, and rapine, by enemies from all sides. F r o m what we now know as Scandinavia, the Norsemen or Vikings, marine ban­ dits whose light boats could handle the roughest seas and yet sail up shallow rivers to raid and pillage far inland, struck along the Atlantic coasts and into the Mediterranean as far as Italy and Sicily. Others went east into Slavic lands, establishing themselves as a new ruling class (the Rus, who gave their name to Russia and ruled that somber land for some seven hundred years), and eventually penetrating almost to the walls o f Constantinople.

S o terrifying were these marauders, so ruthless their tactics (taking pleasure in tossing babes in the air and catching them on their lances, or smashing their heads against the wall), that the very rumor o f their

30 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

arrival loosened the limbs and loins o f the population and sent their leaders, including their spiritual guides, in headlong flight, carrying their movable wealth with them. The clerics did leave their parish­ ioners some newly composed prayers for protection by the Almighty, but the altar was not a g o o d refuge, for the Vikings knew where the plunder lay and headed straight for churches and casdes.

Also coming from the sea, across the Mediterranean, were Saracens ( M o o r s ) , who set up mountain bases in the Alps and on the Côte d'Azur, and went o u t from these to raid the trade routes between northern and southern Europe. These fastnesses, hard o f access and yet linked to Muslim lands by the sea, were inexpugnable, and folk legend has it that to this day some villagers in the high Alps carry the color and appearance o f their Maghrébin origins.

Finally, from the east overland, but highly mobile for all that, rode the Magyars or Hungarians, one more wave o f invaders from Asia, pa­ gans speaking a Ural-Altaic language (a distant cousin o f Turkish), sweeping in year after year, choosing their targets by news o f European dissensions and dynastic troubles, swift enough to move in a single campaign from their Danubian bases into eastern France or the foot of Italy. Unlike the Norsemen, who were ready to settle into base camps for a period o f years, the better to hunt and find, or who even estab­ lished themselves quasi-permanently as rulers in part o f England, in N o r m a n d y (which took their n a m e ) , and in Sicily, the Hungarians went out and back, hauling their booty and slaves along with them in wagons or on pack animals.

N o one will submit to that kind o f abuse indefinitely. The Europeans learned to counter these thrusts, with or without the help o f their lead­ ers, who were only t o o quick to make their own deals with the invaders on the backs o f their peasants. Instead o f trying to keep the Norsemen out, the villagers let them in, trapped them, fell on them from all sides.* The Hungarians, t o o swift to deal with when they came in, were slow g o i n g out; a few ambushes o f the overproud, overloaded trains convinced them that there must be better ways to make a living. As for the Saracens, the solution lay, as in Muslim lands, in military es­ corts for mule and wagon trains (caravans). In short, the Europeans raised the price o f aggression. In all these instances, ironically, the Eu­ ropeans were assisted by enemy headquarters. Over the years, the northern tribes and the Hungarian invaders settled down and became

* T h i s is t h e t h e m e of, t h o u g h n o t t h e i n s p i r a t i o n for, t h e film The Magnificent Seven. C o m p a r a b l e s i t u a t i o n s l e a d t o c o m p a r a b l e t a c t i c s .

E U R O P E A N E X C E P T I O N A L I S M : A D I F F E R E N T P A T H 31

domesticated. Kingdoms replaced nomadic war camps, and their rulers looked with disfavor on these swaggering "captains," with their private armies and tales o f derring-do, returning from their raids with booty and brags, and threatening the peace. Kings d o not need career trou­ blemakers. A mix o f threat and reward succeeded in persuading rogues and pirates that more was to be gained by being landlords and shear­ ing sheep at home than by being warlords and killing sheep abroad.

It has been suggested that this end to danger from without launched Europe on the path o f growth and development. This is the classical economists' view: increase is natural and will occur wherever opportu­ nity and security exist. Remove the obstacles, and growth will take care o f itself. Others would argue that freedom from aggression is a necessary but not sufficient condition. Growth and development call for enterprise, and enterprise is not to be taken for granted. Besides, medieval Europe did not lack for impediments to such initiatives.

T o get an idea o f the larger character o f this process, one has to see the Middle Ages as the bridge between an ancient world set in the Mediterranean—Greece and then Rome—and a modern Europe north o f the Alps and Pyrenees. In those middle years a new society was born, very different from what had gone before, and took a path that set it decisively apart from other civilizations.

T o be sure, Europe had always thought o f itself as different from the societies to the east. The great battles between Greeks and Persians— Salamis, Thermopylae—have come down in folk memory and in the classes o f yesteryear as symbolic o f the combat between West and East, between the free city (the polis, which gives us our word "politics") and aristocratic empires, 1 between popular sovereignty (at least for free men) and oriental despotism (servitude for all). In those days one was taught that the Greeks invented democracy, the word and the idea. This is still the conventional wisdom, though substantially modified by an awareness o f Greek slavery and o f their exclusion o f women from the political process (though not from public space).

Linked to the opposition between Greek democracy and oriental despotism was that between private property and ruler-owns-all. In­ deed, that was the salient characteristic o f despotism, that the ruler, who was viewed as a g o d or as partaking o f the divine, thus different from and far above his subjects, could d o as he pleased with their lives and things, which they held at his pleasure. And what was true for the ruler was true for his henchmen. The martial aristocracy typically had a monopoly o f weapons, and ordinary folk were careful not to offend

32 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

them, arouse their cupidity, or even attract their attention; to look them in the eye was an act o f impudence that invited severest punish- ment.

Today, o f course, we recognize that such contingency o f ownership stifles enterprise and stunts development; for why should anyone invest capital or labor in the creation or acquisition o f wealth that he may not be allowed to keep? In the words o f E d m u n d Burke, "a law against property is a law against industry." 2 In Asian despotisms, however, such arrangements were seen as the very raison d'être o f human soci- ety: what did ordinary people exist for, except to enhance the pleasure o f their rulers?

Certainly not to indulge a will o f their own. The experience o f the people o f Balkh (central Asia) is emblematic. It so happened their ruler was away making war on the Indians, and a nomadic people nearby took advantage o f his absence to seize the city. T h e inhabitants put up a g o o d fight, defending not only their own houses and families but those o f the absent ruler; but they lost. When the ruler returned, he re- took the city; and when he learned o f his subjects' valor, he scolded them. War, he lectured, was not their affair; their duty was to pay and obey whoever ruled them. The leaders o f the c o m m o n folk duly apol- ogized and promised not to repeat their lèse-majesté}

In these circumstances, the very notion o f economic development was a Western invention. Aristocratic (despotic) empires were charac- teristically squeeze operations: when the elites wanted more, they did not think in terms o f gains in productivity. Where would these have come from? They simply pressed (and oppressed) harder, and usually found some hidden juice. Sometimes they miscalculated and squeezed t o o hard, and that could mean flight, riot, and opportunities for re- bellion. These autocracies, though defined as divine, were not immor- tal. Meanwhile only societies with r o o m for multiple initiatives, from below more than from above, could think in terms o f a growing pie.

The ancient Greeks distinguished between free and unfree, not so much in terms o f material benefits (they were not particularly keen on economic enterprise, which they associated with metics and other crass p e o p l e ) , or even in terms o f the advantages o f their own system, as o f the wrongness o f the other, which they saw as tyranny. And yet the Greeks succumbed to despotism, most spectacularly in the empire cre- ated by Alexander and ruled by his Asian and Egyptian successors; and later the Romans went the same way, sliding all too easily into tyran- nical autocracy. In final form, the classical Mediterranean world came to resemble politically the civilizations to the east—a powerful and

E U R O P E A N E X C E P T I O N A L I S M : A D I F F E R E N T P A T H 33

small elite surrounded by clients, servants, and slaves, and headed by an autocrat. B u t only resembled. Dissenters knew this was wrong, spoke up and wrote, and suffered for their presumption. The republi­ can ideal died hard.

Meanwhile property rights had to be rediscovered and reasserted after the fall o f R o m e . This world, which we know as medieval—the time between—was a transitional society, an amalgam o f classical legacy, Germanic tribal laws and customs, and what we now call the Judaic-Christian tradition. All o f these provided support for institutions o f private property. The Germanic custom was that o f a nomadic com­ munity, with each warrior master o f his m o d e s t possessions—kept modest by constant movement. Nothing was so special and valuable as to give rise to issues o f ownership or to the ambitions o f power. *

Which is not to say that there were not other incentives to power; or that the condition o f these nomadic peoples was immutable. In the course o f their wanderings and conquests, such issues did arise. Every French grammar school student used to learn the story o f the vase o f Soissons, a beautiful object robbed from a church by the Franks in war against the Gauls. The chief Clovis wanted to return it, by way o f giving pleasure to a Christian woman who had won his fancy, but the soldier who had taken it (or had been awarded it in the division o f the booty) refused. It was his by right, and he broke it in front o f Clovis to make his point. In effect, he told his chief, what's yours is yours and what's mine is mine. The next time the troops were drawn up in array, Clovis stopped before the vase-breaker and asked him what was wrong with his sandal; and when the man bent down to look, Clovis shattered his skull with a battle-ax. In effect, what's yours is yours, but you are mine.t

Tensions and ambiguities, then. B u t what mattered in the long run were the constraints imposed by political fragmentation and general in­ security. In the centuries that followed the end o f empire, the arm o f authority was short. Power derived in principle from the freely con-

* " T h e a c q u i s i t i o n o f v a l u a b l e a n d e x t e n s i v e p r o p e r t y , t h e r e f o r e , n e c e s s a r i l y r e q u i r e s t h e e s t a b l i s h m e n t o f civil g o v e r n m e n t . W h e r e t h e r e is n o p r o p e r t y , o r a t l e a s t n o n e t h a t e x c e e d s t h e v a l u e o f t w o o r t h r e e d a y s l a b o u r , civil g o v e r n m e n t is n o t s o n e c e s s a r y . " — A d a m S m i t h , Wealth of Nations, B o o k 5 , c h . 1 , P a r t 2 . S m i t h w a s t h i n k i n g h e r e o f t h e p r o t e c t i o n o f p r i v a t e p r o p e r t y ; b u t t h e s e c o n s i d e r a t i o n s a l s o a p p l y t o t h e u s e s o f p o w e r , t A f t e r y e a r s o f t e l l i n g o f t h i s a p o c r y p h a l e x c h a n g e ( v e r s i o n s v a r y , b u t t h a t ' s f o l k l o r e ) , F r e n c h t e a c h e r s w e r e a f r a i d t o a s k t h e i r s t u d e n t s w h o b r o k e t h e v a s e o f S o i s s o n s , b e ­ c a u s e t h e r e w o u l d a l w a y s b e o n e w i s e a c r e i n t h e c l a s s t o d e n y it. C f . B o n h e u r , Qui a cassé, p. 77.

34 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

sented allegiance o f the group or an elite within it and was corre­ spondingly limited. T o be sure, the tradition o f election gave way to hereditary rule (the Germans were much influenced by Roman exam­ ple, or rather principle). B u t old customs and appearances died hard: the ruler, even when designated by birth, was nominally elected. S o he was earthly, human rather than divine, and his power the same.

S o m e did seek to restore the empire that had been. The dream of R o m e reborn never d i e d . 4 H a d they succeeded, one might have ex­ pected a revival o f arbitrary despotism. B u t such efforts broke down in the face o f p o o r communication, inadequate transport, challenges to legitimacy, the contrary power o f local rulers, the triumph o f reality over fantasy. In this context, private property was what could be held and defended. Sometimes it was seized by force, just as today someone might be m u g g e d and robbed. But the principle never died: property was a right, and confiscation, no more than plunder, could not change that.

T h e concept o f property rights went back to biblical times and was transmitted and transformed by Christian teaching. The Hebrew hos­ tility to autocracy, even their own, was formed in Egypt and the desert: was there ever a more stiff-necked people? Let me cite two examples, where the response to popular initiative is directly linked to the sanc­ tity o f possessions. When the priest Korach leads a revolt against Moses in the desert, M o s e s defends himself against charges o f usurpation by saying, " I have not taken one ass from them, nor have I wronged any one o f them" (Numbers 1 6 : 1 5 ) . Similarly, when the Israelites, now es­ tablished in the L a n d , call for a king, the prophet Samuel grants their wish but warns them o f the consequences: a king, he tells them, will not be like him. "Whose ox have I taken, or whose ass have I taken?" (I Samuel 1 2 : 3 ) .

This tradition, which set the Israelites apart from any o f the king­ d o m s around and surely did much to earn them the hostility o f nearby rulers—who needs such troublemakers?—tended to get lost in Chris­ tianity when that community o f faith became a church, especially once that Church became the official, privileged religion o f an autocratic empire. One cannot well bite the hand that funds. Besides, the word was not getting out, for the Church early decided that only qualified people, certain clerics for example, should know the Bible. The G o o d B o o k , with its egalitarian laws and morals, its prophetic rebukes o f power and exaltation o f the humble, invited indiscipline among the faithful and misunderstanding with the secular authorities. Only after censorship and edulcoration could it be communicated to the laity. S o

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that it was not until the appearance o f such heretical sects as the Waldensians (Waldo, c. 1 1 7 5 ) , the Lollards (Wiclif, c. 1 3 7 6 ) , Luther­ ans ( 1 5 1 9 o n ) , and Calvinists (mid-sixteenth), with their emphasis on personal religion and the translation o f the Bible into the vernacular, that this Judaic-Christian tradition entered explicitiy into the European political consciousness, by way o f reminding rulers that they held their wealth and power o f G o d , and then on condition o f g o o d behavior. An inconvenient doctrine.

Yet Western medieval Christianity did come to condemn the pre­ tensions o f earthly rulers—lesser monarchs, to be sure, than the em­ perors o f R o m e . (The Eastern Church never talked back to the Caesars o f Byzantium.)* It thereby implicitly gave protection to private prop­ erty. As the Church's own claims to power increased, it could not but emphasize the older Judaic principle that the real owner o f everything was the L o r d above, and the newer Christian principle that the p o p e was his vicar here below. Earthly rulers were not free to d o as they pleased, and even the Church, G o d ' s surrogate on earth, could not flout rights and take at will. The elaborate paperwork that accompanied the transfer o f gifts o f the faithful bore witness to this duty o f g o o d practice and proper procedure.

All o f this made Europe very different from civilizations around. In China, even when the state did not take, it oversaw, regulated,

and repressed. Authority should not have to depend on goodwill, the right attitude, personal virtue. Three hundred years before the C o m ­ mon Era, a Chinese moralist was telling a prince how to rule, not by winning the affection o f his subjects but by ensuring their obedience. A prince cannot see and hear everything, so he must turn the entire empire into his eyes and ears. " T h o u g h he may live in the deepest re­ treat o f his palace, at the end o f tortuous corridors, nothing escapes him, nothing is hidden from him, nothing can escape his vigilant watch." 5 Such a system depends on the honesty and capacity o f the liv­ ing eyes and ears. The ruler is at the mercy o f ambitious subordinates, whose capacity for deception and hypocrisy is unbounded. The weak­ ness o f autocracy is in the human raw material. Fortunately.

One scholar, impervious to euphemisms, terms the system "totali­ tarian":

* T h i s s p l i t b e t w e e n w e s t e r n a n d e a s t e r n E u r o p e is o n l y o n e a s p e c t o f a p r o f o u n d c h a s m t h a t still e x i s t s . A n d m o s t p e o p l e i n e a s t e r n E u r o p e k n o w w h i c h s i d e o f t h e l i n e t h e y w a n t t o b e o n . H e n c e t h e e x p a n s i o n o f " c e n t r a l " E u r o p e t o i n c l u d e e v e r y o n e o u t ­ s i d e R u s s i a . A l s o t h e i n c l u s i o n a r y p l a n s o f t h e E u r o p e a n U n i o n a n d N A T O .

36 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

N o private undertaking nor any aspect o f public life could escape official regulation. In the first place there was a whole series o f state monopolies. . . . B u t the tentacles o f the M o l o c h state, the omnipotence o f the bureau­ cracy, extended far beyond that. . . . This welfare state superintended, to the minutest detail, every step its subjects took from the cradle to the grave. 6

Despotisms abounded in E u r o p e , t o o , but they were mitigated by law, by territorial partition, and within states, by the division o f power between the center (the crown) and local seigneurial authority.7 Frag­ mentation gave rise to competition, and competition favored g o o d care o f g o o d subjects. Treat them badly, and they might g o elsewhere.

Ecumenical empires did not fear flight, especially when, like China, they defined themselves as the center o f the universe, the hearth and home o f civilization, and everything outside as barbarian darkness. There was no other place to g o , so that symbolic boundaries were enough, like the "willow palisade," a low wall that ran from the Great Wall to the sea and separated China from the Mongol-Tartar lands to the north. In a p o e m on the subject, the Qian L o n g emperor makes this point: "In our erection o f boundaries and regulation o f people, an­ cient ways are preserved, / As it is enough simply to tie a rope to in­ dicate prohibition. . . . Building it is the same as not having built it: / Insofar as the idea exists and the framework is there, there is no need to elaborate." 8

The contest for power in European societies (note the plural) also gave rise to the specifically European phenomenon o f the semi-autonomous city, organized and known as commune. Cities o f course were to be found around the world—wherever agriculture produced sufficient surplus to sustain a population o f rulers, soldiers, craftsmen, and other nonfood producers. Many o f these urban nodes came to acquire great importance as markets, to say nothing o f their role as administrative centers. But nothing like the commune appeared outside western Eu­ r o p e . 9

T h e essence o f the c o m m u n e lay, first, in its economic function: these units were "governments o f the merchants, by the merchants, and for the merchants"; 1 0 and second, in its exceptional civil power: its ability to confer social status and political rights on its residents—rights crucial to the conduct o f business and to freedom from outside inter­ ference. This meant everything in a hierarchical, agrarian society that held most o f the population in thrall, either by personal dependence on local lords or ties to place. It made the cities gateways to freedom,

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holes in the tissue o f bondage that covered the countryside. Stadtluft machtfrei ran the medieval dictum—city air makes one free. Literally: when the count o f Flanders tried to reclaim a runaway serf whom he ran across in the market o f Bruges, the bourgeois simply drove him and his bully boys out o f the city.

The consequences were felt throughout the society. Under this spe­ cial dispensation, cities became poles o f attraction, places o f refuge, nodes o f exchange with the countryside. Migration to cities improved the income and status not only o f the migrants but o f those left behind. (But not their health. The cities were dirty, crowded, and lent them­ selves to easy contagion, so that it was only in-migration that sustained their numbers and enabled them to grow. ) Serf emancipation in west­ ern Europe was directly linked to the rash o f franchised villages and urban communes, and to the density and proximity o f these gateways. Where cities and towns were few and unfree, as in eastern E u r o p e , serfdom persisted and worsened.

Why did rulers grant such rights to rustics and townsmen, in effect abandoning (transferring) some o f their own powers? T w o reasons above all. First, new land, new crops, trade, and markets brought rev­ enue, and revenue brought power. 1 1 (Also pleasure.) S e c o n d , para­ doxically, rulers wanted to enhance their power within their own kingdom: free farmers (note that I d o not say "peasants") and towns­ men (bourgeois) were the natural enemies o f the landed aristocracy and would support the crown and other great lords in their struggles with local seigneurs.

Note further that European rulers and enterprising lords who sought to grow revenues in this manner had to attract participants by the grant o f franchises, freedoms, and privileges—in short, by making deals. They had to persuade them to c o m e . 1 2 (That was not the way in China, where rulers moved thousands and tens o f thousands o f human cattle and planted them on the soil, the better to grow things.) These exemptions from material burdens and grants o f economic privilege, moreover, often led to political concessions and self-government. Here the initiative came from below, and this too was an essentially European pattern. Implicit in it was a sense o f rights and contract—the right to negotiate as well as petition—with gains to the freedom and security o f economic activity.

Ironically, then, Europe's great g o o d fortune lay in the fall o f R o m e and the weakness and division that ensued. ( S o much for the lamenta­ tions o f generations o f classicists and Latin teachers.) T h e R o m a n dream o f unity, authority, and order (the pax Romana) remained, in-

38 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

deed has persisted to the present. After all, one has usually seen frag­ mentation as a great misfortune, as a recipe for conflict; it is no acci­ dent that European union is seen today as the cure for the wars of yesterday. And yet, in those middle years between ancient and modern, fragmentation was the strongest brake on wilful, oppressive behavior. Political rivalry and the right o f exit made all the difference. 1 3

One other fissure helped: the split between secular and religious. Un­ like Islamic societies, where religion was in principle supreme and the ideal government that o f the holy men, Christianity, craving imperial tolerance, early made the distinction between G o d and Caesar. T o each his own. This did not preclude misunderstandings and conflicts: noth­ ing is so unstable as a dual supremacy; something's got to give. In the end, it was the Church, and this meant yielding to Caesar what was Caesar's and then a g o o d part o f what was G o d ' s . A m o n g the things that gave, homogeneous orthodoxy: where authority is divided, dissent flourishes. This may be bad for certainty and conformity, but it is surely g o o d for the spirit and popular initiatives.

H e r e , t o o , fragmentation made all the difference. The Church suc­ ceeded in asserting itself politically in some countries, notably those o f southern E u r o p e , not in others; so that there developed within Europe areas o f potentially free thought. This freedom found expression later on in the Protestant Reformation, but even before, Europe was spared the thought control that proved a curse in Islam.

As for China, which had no established faith and where indeed an ex­ traordinary religious tolerance prevailed, the mandarinate and imper­ ial court served as custodians o f a higher, perfected lay morality and in that capacity defined doctrine, j u d g e d thought and behavior, and sti­ fled dissent and innovation, even technological innovation. This was a culturally and intellectually homeostatic society: that is, it could live with a little change (indeed, could not possibly stifle all change); but as soon as this change threatened the status q u o , the state would step in and restore order. It was precisely the wholeness and maturity o f this inherited canon and ethic, the sense o f completeness and superiority, that made China so hostile to outside knowledge and ways, even where useful.

One final advantage o f fragmentation: by decentralizing authority, it made Europe safe from single-stroke conquest. The history o f empire is dotted with such coups—one or two defeats and the whole ecu­ menical autocracy comes tumbling down. Thus Persia after Issus ( 3 3 3 B . C . E . ) and Gaugamela ( 3 3 1 B . C . E . ) ; R o m e after the sack by Alaric

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( 4 1 0 ) ; and the Sassanian empire after Qadisiya ( 6 3 7 ) and Nehawand ( 6 4 2 ) . Also Aztec Mexico and Inca Peru.

Europe, in contrast, did not have all its e g g s in one basket.* In the thirteenth century the M o n g o l invaders from the Asian steppe made short work o f the Slavic and Khazar kingdoms o f what is now Russia and Ukraine, but they still had to cut their way through an array o f cen­ tral European states, including the new kingdoms o f their predecessors in invasion—the Poles, Lithuanians, Germans, Hungarians, and Bul­ gare—before they could even begin to confront the successor states o f the Roman empire. This they might well have done had they not been distracted by troubles back home; but they would have paid dearly for further gains, especially in forested areas. Shortly thereafter the Turks, who had established themselves in Anatolia, began to expand into E u ­ rope, conquering the Balkans, then the lower D a n u b e Valley, and get­ ting twice to the walls o f Vienna, capital o f Germany's eastern march. In the course o f these advances, they subdued the Serbs, the Bulgars, the Croats, the Slovenes, the Albanians, the Hungarians, and sundry other peoples o f that confused and quarrelsome palimpsest. B u t that was it; by the time they g o t to Vienna, they had reached the limit o f their resources. 1

Part o f the brittleness o f these empires, o f course, derived from their exploitative, surplus-sucking character and the indifference o f subjects to the identity o f their rulers: one despot was the same as the next; one foreign clan as arrogant and predatory as another. Why should the in­ habitants o f Persia care what happened to Darius at the hands o f Alexander? Or what happened nine hundred years later to the Sassan­ ian monarchy at the hands o f the Arabs? Why should the tired, op­ pressed Roman "citizens" o f the last days o f empire care whether R o m e fell? Or the subject tribes o f Mexico, for that matter, care what hap­ pened to Moctezuma? The classical Greeks ( - 5 t h century), who saw

* A l r e a d y i n l a t e R o m a n t i m e s , G e r m a n i c t r i b e s f o u g h t a s a l l i e s a l o n g s i d e i m p e r i a l f o r c e s t o r e p e l l a t e r i n v a d e r s : t h u s S a l i a n F r a n k s , V i s i g o t h s , a n d o t h e r s , w i t h t h e R o m a n g e n e r a l A e t i u s a g a i n s t A t t i l a ' s H u n s a t t h e s o - c a l l e d B a t t l e o f C h a l o n s ( s o m e w h e r e n e a r T r o y e s ) in 4 5 1 . A t t i l a a n d h i s H u n s h a v e c o m e d o w n i n E u r o p e a n t r a d i t i o n a s q u i n ­ t e s s e n t i a l s y m b o l s o f b a r b a r i s m a n d s a v a g e r y . B u t t o d a y ' s T u r k s d o n o t feel t h a t w a y : A t t i l a is o n e o f t h e i r f a v o r i t e n a m e s . t W h e n t h e y g o t t o V i e n n a t h e s e c o n d t i m e , in 1 6 8 3 , t h e T u r k s f o u n d t h e m s e l v e s f a c ­ i n g n o t o n l y G e r m a n s b u t t h e P o l e s o f S o b i e s k i . E u r o p e a n s c o u l d w o r k t o g e t h e r w h e n t h e y t h o u g h t t h e y f a c e d a c o m m o n e n e m y . T h a t t h i s w a s a l a s t g a s p is s h o w n b y t h e r a p i d O t t o m a n r e t r e a t t h e r e a f t e r . I n a s h o r t s i x t e e n y e a r s , t h e y left H u n g a r y a n d p u l l e d b a c k t o B o s n i a a n d S e r b i a , t h u s g i v i n g u p t h e m i d d l e D a n u b e V a l l e y t o C h r i s t i a n s e t - d e m e n t ( T r e a t y o f K a r l o w i t z ) .

40 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

themselves as the defenders o f freedom against Asian tyranny, per­ ceived this indifference as their secret weapon:

Where there are kings, there must be the greatest cowards. For men's souls are enslaved and refuse to run risks readily and recklessly to increase the power o f s o m e b o d y else. But independent people, taking risks on their own behalf and not on behalf o f others, are willing and eager to g o into danger, for they themselves enjoy the prize o f victory. 1 4

Once the Europeans found themselves reasonably secure from out­ side aggression (eleventh century o n ) , they were able, as never before and as nowhere else, to pursue their own advantage. N o t that internal violence ceased from the land. The tenth and eleventh centuries were filled with baronial brigandage, eventually mitigated by popular, Church-supported revulsion and outrage that found expression in mass " p e a c e " assemblies; and, from the top down, subdued by stronger cen­ tral government allied with urban interests. 1 5 Time and money were on the side o f order. S o was the diversion o f brawlers to external frontiers (cf. the Crusades). T h e economist would say that once the exogenous shocks ended, the system could take care o f its endogenous trouble­ makers.

There ensued a l o n g period o f population increase and economic growth, up to the middle o f the fourteenth century, when Europeans were smitten by the plague (the "Black D e a t h " ) in its bubonic and pneumonic forms and a third or more o f the people died; a half when you count the losses inflicted by sequellae. That was a jolt, but not a full stop. The one hundred fifty years that followed were a period o f re­ building, further technological advance, and continued development. In particular, these centuries saw the further expansion o f a civilization that now found itself stronger than its neighbors, and the beginnings o f exploration and conquest overseas.

This long multicentennial maturation ( 1 0 0 0 - 1 5 0 0 ) rested on an economic revolution, a transformation o f the entire process o f making, getting, and spending such as the world had not seen since the so- called Neolithic revolution. That one (c. - 8 0 0 0 to - 3 0 0 0 ) had taken thousands o f years to work itself out. Its focus had been the invention o f agriculture and the domestication o f livestock, both o f which had enormously augmented the energy available for work. (All economic [industrial] revolutions have at their core an enhancement o f the sup­ ply o f energy, because this feeds and changes all aspects o f human ac-

E U R O P E A N E X C E P T I O N A L I S M : A D I F F E R E N T P A T H 41

tivity. ) This shift away from hunting and gathering, bringing a leap in the supply o f nourishment, permitted a substantial growth o f popula­ tion and a new pattern o f concentrated settlement. It was the Neolithic revolution that made possible towns and cities, with all that they yielded in cultural and technical exchange and enrichmentment.

The medieval economic revolution also built on gains in the pro­ duction and application o f energy and concomitant increases in work. First, food supply: this was a period o f innovation in the techniques o f cultivation. I say innovation rather than invention because these new techniques went back earlier. T h u s the wheeled plow, with deep- cutting iron share, had come in with the German invaders; but it had seen limited use in a world o f limited animal power and low population density. N o w it spread across Europe north o f the Loire, opened up the rich river valleys, turned land reclaimed from forest and sea into fertile fields, in short did wonders wherever the heavy, clayey soil resisted the older Roman wooden scratch plow, which had worked well enough on the gravelly soils o f the Mediterranean basin.

The wheeled plow turning heavy soil called for animals to match. We have already had occasion to speak o f these big, stall-fed oxen such as were found nowhere else, and these large dray horses, more powerful if not stronger than the ox. These living, mobile engines offered a great advantage in a land-rich, labor-scarce economy. For time t o o was scarce: agricultural work has peaks o f activity at sowing and harvest when one must seize g o o d weather and get the seed in or crops out. Especially was this true o f European communal agriculture, where scattered and intermingled holdings and open fields made for much to- and-fro and one peasant's haste was the haste o f all his neighbors. Strong, quick animals could make all the difference, and cultivators pooled resources to get the right livestock.

Along with these superior techniques went, as both cause and effect, a more intensive cultivation, in particular, a shift from a two-field (one half left fallow every year) to a three-field system o f crop rotation (win­ ter grain, spring grain, and one third fallow). This yielded a gain o f one third in land productivity (one sixth o f total cultivable land, but one third o f the half previously under cultivation), which further con­ tributed to the ability to support livestock, which increased the supply o f fertilizer, which nourished yields, and so on in ascending cycle. Given the character o f land distribution and the collective use o f draft animals, this critical change called for strong communal leadership and cooperation, made easier by example and results.

H o w much o f this was response to population pressure and how

42 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

much a stimulus to increase is hard to say. N o d o u b t both. But it would seem that over time, population began to outstrip the means o f sustenance, because these centuries also saw a great effort to increase arable, whether by forest clearing (assarts) or reclamation o f land from water, by diking, drainage, and pumping. All these call for enormous energy and capital, and their success testifies not only to private and collective initiative but to the ingenuity o f a society that was learning to substitute machines for animal and human power. In particular, the windmill, tireless and faithful, was the key to the successful pumping of fens and polders. It was the windmill that made Holland.

Historians rightly emphasize gains in land productivity and output in a society overwhelmingly rural because compelled to devote most of its resources to feeding itself. Yet these advances were essentially per­ missive. It was the urban minority that held most o f the seeds and se­ crets o f transformation—technical, intellectual, political. T o be sure, the towns and cities were themselves shaped by the countryside: im­ migrants from the fields brought with them values, habits, and atti­ tudes that m a d e m o r e sense on the land and then set them as a straitjacket on urban activity. Thus the organization o f tradesmen and craftsmen in corporate guilds assumed a zero-sum game—one man's increase was another's diminution—like pieces in a bounded field. Be­ sides, the urban setting itself made it necessary to ration space and time, again with an eye to discouraging self-aggrandizement. S o , no stealing a march and selling before a certain hour or after another; no price competition; no trade-off o f quality and solidity for cheapness; no buying low ("jewing d o w n , " in popular parlance—bad habits always belong to someone else) to sell high; in short, no market competition. Everyone who did his j o b was entitled to a living. Laudable but static. T h e aim was an egalitarian social justice, but it entailed serious con­ straint on enterprise and growth—a safety net at the expense o f in­ come.

That was the principle. One should always assume that rules, then as now, were made to be broken. Business, like love, laughs at locksmiths. S o in medieval E u r o p e , where the move toward guild controls was as much a response to free dealing as the expression o f an older morality. Cities and towns sprang up thick and ambitious; in France, the Low Countries, the Rhineland, rulers encouraged them by generous grants o f privilege. But attempts to sustain local monopoly were thwarted by the growth o f suburbs (faubourgs), where urban rules did not apply. There outsiders and Jews settied in, and journeymen worked for mas­ ters who had outgrown their shop. There market restrictions did not

E U R O P E A N E X C E P T I O N A L I S M : A D I F F E R E N T P A T H 43

hold. Hence pairings like Hamburg-Altona and Niirnberg-Furth: old wealth, new wealth; decorum, disorder; tight access, free entry.

One inevitable consequence o f active trade was selection by merit. This ran against the parity principle (equality o f results), but it was not possible to impose uniformity o f performance. S o m e craftsmen simply did better work and attracted buyers beyond their capacity. At the same time, the very effort to restrain competition by limiting access to mas­ tership meant talent unemployed. It did not take much to bring to­ gether such masters and journeymen. Since the journeymen were often not permitted to work in the master's city shop (limits on size), they worked en chambre or in the suburbs. H e r e was the beginning o f putting-out and division o f labor, with substantial gains in productiv­ ity.

Urban closure was also thwarted by the spread o f industrial pro­ duction to the countryside. Agriculture, with its seasonal and irregu­ lar pattern o f activity, offered a pool o f untapped labor, the greater because outside the cities constraints on the use o f female and child workers no longer applied. Women and children, grossly underpaid, gave more product for the penny. Early on (thirteenth century), then, merchants began to hire cottage workers to perform some o f the more tedious, less skilled tasks. In the most important branch, the textile manufacture, peasant women did the spinning on a putting-out basis: merchants gave out (put out) the raw material—the raw wool and flax, and, later, cotton—and collected the finished yarn.

This shift to outsourcing initially encountered little resistance from urban workers; but when merchants started putting-out yarn to cot­ tage weavers, they were attacking one o f the most powerful vested in­ terests o f the day, the guild weavers o f the towns. Then the fat was in the fire. In Italy, the autonomous cities, which held political control over the surrounding countryside, managed to destroy much o f this "unfair" competition. In the L o w Countries, the other great medieval center o f cloth manufacture, urban weavers marched into the villages to break cottage looms; and although the country weavers fought back, the putting-out system was held in check for centuries. T h e one coun­ try where putting-out had a free field was England, where local polit­ ical autonomies made it hard for the monarchy to sustain corporate (guild) claims to monopoly and where guilds were quickly reduced to ceremonial fraternities. By the fifteenth century, more than half the na­ tion's woolen cloth was being made in rural cottages. This recourse to cheap labor lowered costs over competitors abroad, so that by the six­ teenth century a country that had once been largely an exporter o f pri-

44 T H E W E A L T H A N D P O V E R T Y O F N A T I O N S

mary products, including raw wool, was well on its way to becoming the premier manufacturing nation o f E u r o p e .

T h e economic expansion o f medieval Europe was thus promoted by a succession o f organizational innovations and adaptations, most o f them initiated from below and diffused by example. The rulers, even local seigneurs, scrambled to keep pace, to show themselves hospitable, to make labor available, to attract enterprise and the revenues it gen­ erated. At the same time, the business community invented new forms o f association, contract, and exchange designed to secure investment and facilitate payment. In these centuries a whole new array o f com­ mercial instruments came into use; commercial codes were elaborated and enforced; and partnership arrangements were devised to encour­ age alliances between lenders and doers, between the men who sup­ plied the funds and merchandise and those who went to distant lands to sell and to buy. Almost all o f this "commercial revolution" came from the mercantile community, bypassing where necessary the rules o f this or that city or state, inventing and improvising new venues for encounter and exchange (ports and outports, faubourgs, local markets, international fairs), creating in short a world o f its own like an overlay on the convoluted, inconvenient mosaic o f political units.

They g o t thereby substantially enhanced security, a sharp reduction in the cost o f doing business (what the economist calls "transaction c o s t s " ) , a widening o f the market that promoted specialization and di­ vision o f labor. It was the world o f Adam Smith, already taking shape five hundred years before his time.

  • Cover
  • Copyright page
  • Contents
  • List of Maps
    • Ocean Currents Around the World
    • Prevailing Winds Around the World, January Pattern
    • Prevailing Winds, June Pattern
    • The Age of Discovery: Routes of Major Voyages
    • The Caribbean and Its Continental Borders
    • Trade Routes in the Eastern Seas
    • South East Asia and the Indonesian Archipelago
    • Britain on the Way to Industrial Revolution
    • Industrializing Europe, c. 1850
    • South America After Independence
    • Late Ming and Early Q'ing China, Sixteenth and Seventeenth Centuries.
    • Japan and Korea, c. 1850—The End of Tokugawa and Beginning of Meiji
  • List of Tables
    • Table 1.1: Scope and Incidence of Tropical Diseases, 1990
    • Table 16.1: Estimates of Real GNP per Capita for Selected Countries
    • Table 16.2: Estimates of Real GNP per Capita in Groups of European Countries, 1830–1913
    • Table 20.1: Product per Head and Population of Selected Frontier Countries, 1820–1989
    • Table 26.1: Annual Percentile Rates of Growth by Country, 1950–87
  • Preface and Acknowledgments
  • Introduction
  • 1 Nature's Inequalities
    • Table 1.1: Scope and Incidence of Tropical Diseases, 1990
    • "I Have Always Felt Reinforced and Stimulated by the Temperate Climate"
  • 2 Answers to Geography: Europe and China
  • 3 European Exceptionalism: A Different Path
  • 4 The Invention of Invention
  • 5 The Great Opening
    • Black Gold
    • The Importance of Being Covered
    • History and Legend
  • 6 Eastward Ho!
    • Ocean Currents Around the World
    • Prevailing Winds Around the World, January Pattern
    • Prevailing Winds, June Pattern
    • The Age of Discovery: Routes of Major Voyages
  • 7 From Discoveries to Empire
    • The Caribbean and Its Continental Borders
    • "He Who Sees All": The Incas before Pizarro
  • 8 Bittersweet Isles
    • The Sugar Plantation as Hacienda
  • 9 Empire in the East
    • Trade Routes in the Eastern Seas
    • The Spice of Life
    • "Os Cafres da Europa"—The "Kaffirs of Europe"
  • 10 For Love of Gain
    • South East Asia and the Indonesian Archipelago
  • 11 Golconda
    • How Do We Know? The Nature of the Evidence
    • Food, Income, and Standard of Living
    • And What Happened to Omichund?
  • 12 Winners and Losers: The Balance Sheet of Empire
    • The Condemnation of Galileo
    • The Tenacity of Intolerance and Prejudice
  • 13 The Nature of Industrial Revolution
    • When Is a Revolution Not a Revolution?
    • The Advantage of Going Round and Round
  • 14 Why Europe? Why Then?
    • The Primacy of Observation: What You See Is What There Is
    • Masters of Precision
  • 15 Britain and the Others
    • Britain on the Way to Industrial Revolution
    • Some Good Deeds Go Rewarded
    • The Value of Time
    • Why Not India?
  • 16 Pursuit of Albion
    • Table 16.1: Estimates of Real GNP per Capita for Selected Countries
    • The Status of the Peasantry
    • The Organization of Manufacture
    • Boundaries and Barriers
    • Table 16.2: Estimates of Real GNP per Capita in Groups of European Countries, 1830–1913
    • "The Bayonet Is a Fine Lad"
  • 17 You Need Money to Make Money
    • Industrializing Europe, c. 1850
    • Le Creusot: The Tales That Business History Can Tell
    • Making a Virtue of Lateness
  • 18 The Wealth of Knowledge
    • The Secrets of Industrial Cuisine
    • Genius Is Not Enough
  • 19 Frontiers
    • On the Shortcomings of Economic Logic
  • 20 The South American Way
    • South America After Independence
    • Table 20.1: Product per Head and Population of Selected Frontier Countries, 1820–1989
    • The Portuguese-Brazilian Way
    • "Muero con Mi Patria!"—I Die with My Country!
  • 21 Celestial Empire: Stasis and Retreat
    • Late Ming and Early Q'ing China, Sixteenth and Seventeenth Centuries.
    • "Modern Universal Science, Yes; Western Science, No!"
  • 22 Japan: And the Last Shall Be First
    • Japan and Korea, c. 1850—The End of Tokugawa and Beginning of Meiji
    • Han, Inc.
  • 23 The Meiji Restoration
  • 24 History Gone Wrong?
    • Orientalists and Essentialists
    • Japanese Women Are Talking Tenor
  • 25 Empire and After
    • It's Easy to Remember, and So Hard to Forget
  • 26 Loss of Leadership
    • Table 26.1: Annual Percentile Rates of Growth by Country, 1950–87
    • The Rise and Fall of the British Auto Industry
  • 27 Winners and...
    • "They Can Have Any Color They Want": The American and Japanese Automobile Industries
  • 28 Losers
    • Country Interrupted: Algeria
    • From Leftist Scholar to President of Brazil: The Advantages of Realism
  • 29 How Did We Get Here? Where Are We Going?
  • Notes
    • Introduction
    • 1 Nature's Inequalities
    • 2 Answers to Geography: Europe and China
    • 3 European Exceptionalism: A Different Path
    • 4 The Invention of Invention
    • 5 The Great Opening
    • 6 Eastward Ho!
    • 7 From Discoveries to Empire
    • 8 Bittersweet Isles
    • 9 Empire in the East
    • 10 For Love of Gain
    • 11 Golconda
    • 12 Winners and Losers: The Balance Sheet of Empire
    • 13 The Nature of Industrial Revolution
    • 14 Why Europe? Why Then?
    • 15 Britain and the Others
    • 16 Pursuit of Albion
    • 17 You Need Money to Make Money
    • 18 The Wealth of Knowledge
    • 19 Frontiers
    • 20 The South American Way
    • 21 Celestial Empire: Stasis and Retreat
    • 22 Japan: And the Last Shall Be First
    • 23 The Meiji Restoration
    • 24 History Gone Wrong?
    • 25 Empire and After
    • 26 Loss of Leadership
    • 27 Winners and...
    • 28 Losers
    • 29 How Did We Get Here? Where Are We Going?
  • Bibliography
    • A
    • B
    • C
    • D
    • E
    • F
    • G
    • H
    • I
    • J
    • K
    • L
    • M
    • N
    • O
    • P
    • Q
    • R
    • S
    • T
    • U
    • V
    • W
    • Y
    • Z
  • Index
    • A
    • B
    • C
    • D
    • E
    • F
    • G
    • H
    • I
    • J
    • K
    • L
    • M
    • N
    • O
    • P
    • Q
    • R
    • S
    • T
    • U
    • V
    • W
    • Y
    • Z

Pomeranz - Intro to The Great Divergence.pdf

COPYRIGHT  2000 BY PRINCETON UNIVERSITY PRESS

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POMERANZ, KENNETH

THE GREAT DIVERGENCE : CHINA, EUROPE, AND THE MAKING

OF THE MODERN WORLD ECONOMY / KENNETH POMERANZ.

P. CM. — (THE PRINCETON ECONOMIC HISTORY OF

THE WESTERN WORLD)

INCLUDES BIBLIOGRAPHICAL REFERENCES AND INDEX.

ISBN 0-691-00543-5 (CL : ALK. PAPER)

1. EUROPE—ECONOMIC CONDITIONS—18TH CENTURY.

2. EUROPE—ECONOMIC CONDITIONS—19TH CENTURY. 3. CHINA—

ECONOMIC CONDITIONS—1644–1912. 4. ECONOMIC

DEVELOPMENT—HISTORY. 5. COMPARATIVE ECONOMICS.

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3 5 7 9 10 8 6 4 2

INTRODUCTION

COMPARISONS, CONNECTIONS, AND

NARRATIVES OF EUROPEAN ECONOMIC DEVELOPMENT

MUCH OF modern social science originated in efforts by late nine-teenth- and twentieth-century Europeans to understand what madethe economic development path of western Europe1 unique; yet those efforts have yielded no consensus. Most of the literature has focused on Europe, seeking to explain its early development of large-scale mechanized industry. Comparisons with other parts of the world have been used to show that “Europe”—or in some formulations, western Europe, Protestant Europe, or even just England—had within its borders some unique homegrown ingre- dient of industrial success or was uniquely free of some impediment.

Other explanations have highlighted relations between Europe and other parts of the world—particularly various forms of colonial extraction—but they have found less favor with the majority of Western scholars.2 It has not helped matters that these arguments have emphasized what Marx called the “primitive accumulation” of capital through the forcible dispossession of Amerindians and enslaved Africans (and many members of Europe’s own lower classes). While that phrase accurately highlights the brutality of these processes, it also implies that this accumulation was “primitive” in the sense of being the begin- ning step in large-scale capital accumulation. This position has become un- tenable as scholarship has shown the slow but definite growth of an investible surplus above subsistence through the retained earnings of Europe’s own farms, workshops, and countinghouses.

This book will also emphasize the exploitation of non-Europeans—and access to overseas resources more generally—but not as the sole motor of European development. Instead it acknowledges the vital role of internally driven European growth but emphasizes how similar those processes were to

1 It should be noted here that “western Europe,” for most authors, is a social, economic, and political construct, not an actual geographic entity: Ireland, southern Italy, and most of Iberia, for instance, did not have much of the economic development usually held to be characteristically European or western European. I will generally use the term in a geographical sense, while point- ing out that the areas often taken to stand for “Europe” in these comparisons (e.g., the southern Netherlands, or northern England), might be better compared, in both size and economic character- istics, with such units as China’s Jiangsu province, rather than with entire subcontinents such as China or India.

2 Note, for instance, the generally negative current mainstream verdicts on the arguments of Eric Williams (1944), Andre Gunder Frank (1969), Samir Amin (1974), etc. A good general critique of the overseas extraction thesis is DeVries 1976: 139–46, 213–14.

I N T R O D U C T I O N4

processes at work elsewhere, especially in east Asia, until almost 1800. Some differences that mattered did exist, but I will argue that they could only create the great transformation of the nineteenth century in a context also shaped by Europe’s privileged access to overseas resources. For instance, western Europe may well have had more effective institutions for mobilizing large sums of capital willing to wait a relatively long time for returns—but until the nine- teenth century, the corporate form found few uses other than for armed long- distance trade and colonization, and long-term syndicated debt was primarily used within Europe to finance wars. More important, western Europe had by the eighteenth century moved ahead of the rest of the world in the use of various labor-saving technologies. However, because it continued to lag be- hind in various land-saving technologies, rapid population growth and re- source demands might, in the absence of overseas resources, have forced it back onto a path of much more labor-intensive growth. In that case it would have diverged far less from China and Japan. The book thus calls upon the fruits of overseas coercion to help explain the difference between European development and what we see in certain other parts of Eurasia (primarily China and Japan)—not the whole of that development or the differences between Europe and all other parts of the Old World. A few other factors that do not fit firmly into either category, such as the location of coal supplies, also play a role. Thus the book combines comparative analysis, some purely local contin- gency, and an integrative or global approach.

Moreover, the comparative and integrative approaches modify each other. If the same factors that differentiate western Europe from, say, India or eastern Europe (e.g., certain kinds of labor markets) are shared with China, then com- parisons cannot simply be the search for a European difference; nor can pat- terns shared at both ends of Eurasia be explained as unique products of Euro- pean culture or history. (Nor, of course, can they be explained as outgrowths of universal tendencies, since they distinguish some societies from others.) The resemblances between western Europe and other areas that force us to turn from a purely comparative approach—one that assumes essentially separate worlds as units of comparison—to one that also looks at global conjunctures3

have another significance as well. They imply that we cannot understand pre- 1800 global conjunctures in terms of a Europe-centered world system; we have, instead, a polycentric world with no dominant center. Global conjunc- tures often worked to western Europe’s advantage, but not necessarily because Europeans created or imposed them. For instance, the remonetization of China with silver from the fifteenth century on—a process that predated the European arrival in the Americas and the export of its silver—played a crucial part in making Spain’s far-flung New World empire financially sustainable; and hor-

3 For a discussion of comparisons between entities that are assumed to be systemically inter- related rather than truly separate (which he calls the “encompassing comparison”), see Tilly 1984.

I N T R O D U C T I O N 5

rific, unanticipated epidemics were crucial to creating that empire in the first place. Only after nineteenth-century industrialization was well advanced does it make sense to see a single, hegemonic European “core.”

Most of the existing literature, however, has remained set in an either/or framework—with either a Europe-centered world system carrying out essen- tial primitive accumulation overseas4 or endogenous European growth called upon to explain almost everything. Given those choices, most scholars have leaned toward the latter. Indeed, recent scholarship in European economic history has generally reinforced this exclusively internal focus in at least three ways.

First, recent research has found well-developed markets and other “capital- ist” institutions further and further back in time, even during the “feudal” pe- riod often thought to be the antithesis of capitalism.5 (A similar sort of revision has occurred in analyses of medieval science and technology, where what was once disparaged as the “Dark Ages” has now come to be seen as quite crea- tive.) This has tended to reinforce the notion that western Europe was launched on a uniquely promising path well before it began overseas expansion. In some recent treatments, industrialization itself disappears as a turning point, sub- sumed into centuries of undifferentiated “growth.”

To put matters slightly differently, older literatures—from the late nine- teenth-century classics of social theory to the modernization theory of the 1950s and 1960s—stressed a fundamental opposition between the modern West and its past, and between the modern West and the non-West. As more recent literature has tended to narrow the first gap, it suggests that the second gap—European exceptionalism—goes back even further than we thought. But it is a central contention of this book that one can just as easily find grounds to narrow the gap between the eighteenth-century West and at least some other parts of Eurasia.

Second, the more market dynamics appear even amid supposedly hostile medieval culture and institutions, the more tempting it has been to make market-driven growth the entire story of European development, ignoring the messy details and mixed effects of numerous government policies and local customs.6 And if legislative fiat at home added only small detours or

4 E.g., Blaut 1993: 186–206. 5 For a good recent example, see Britnell 1993. 6 For a good example of the tendency to minimize the importance of both legislative changes

and popular custom, see the large literature reinterpreting the decline of English open fields. These fields were once thought to represent a collective ethic hostile to nascent capitalism and to have been destroyed by legislation as more individualist, less paternalist ideas became dominant in Parliament. It is now common to argue that open fields in fact represented a rational strategy for individuals in a world of fluctuating harvests and no insurance and disappeared largely because gradually declining interest rates made another form of harvest insurance—namely grain storage—cheaper and more effective than keeping one’s land in many scattered plots likely to have slightly different soils and micro-climates (e.g., McCloskey 1975a, 1975b, 1989). A further

I N T R O D U C T I O N6

occasional slight shortcuts to European development paths, why should coer- cion overseas—in places far from the main action of the story—be worth much attention? Meanwhile, an increasingly exclusive focus on private initiatives has not only provided an enviably clear story line, but a story line compatible with currently predominant neoliberal ideas.

Third, since this ongoing process of commercialization touched much of preindustrial western Europe, much recent literature treats whatever is left of the Industrial Revolution as a European phenomenon, rather than, as used to be common, as a British phenomenon spreading later to the rest of Europe.7

Such a move is challenged, not only by a mass of older scholarship, but also by more recent work suggesting that England had already diverged from the continent in crucial respects centuries before the Industrial Revolution.8 But the shift from a British to a European focus has been facilitated by the afore- mentioned tendencies to deemphasize politics and to minimize the conflict between “traditional” practices and rationally self-interested individuals, mak- ing it easier to minimize variation within western Europe.

Positing a “European miracle” rather than a British one has important con- sequences. For one thing, it again makes extra-European connections seem less important. Most of western Europe was far less involved in extracontinen- tal trade than Britain was: so if it was “Europe” rather than “Britain” whose commercial growth led smoothly to industrial growth, then domestic markets, resources, and so forth must have been adequate for that transition. Moreover, if growth was largely achieved through the gradual perfection of competitive markets, then it seems implausible that colonies beset by mercantilist restric- tions and unfree labor, to name just two problems, could possibly have been dynamic enough to significantly effect their mother countries. Thus Patrick O’Brien, a leading exponent of a “European” view, concedes that British in- dustrialization, in which cotton played such a crucial role, is hard to envision without colonies and slavery, but then continues:9

Only a simplistic growth model with cotton as a leading sector and with British innovation as the engine of Western European growth could support an argument that the Lancashire cotton industry was vital for the industrialization of the core. That process proceeded on too broad a front to be checked by the defeat of an advanced column whose supply lines stretched across the oceans to Asia and the Americas.

consequence of this view, discussed (and disputed) on pp. 76–80 below, is the claim that the ab- sence of any comparably successful government assault on traditional open fields in France was not as important an impediment to French development as earlier historians had generally held.

7 For two classic, though very different, statements of the British-centered view, see Landes (1969) and Hobsbawm (1975). One of the most explicit and trenchant critiques of this view is O’Brien and Keydar 1978.

8 See, e.g., Snookes 1994a, Wrigley 1990: 101–2. 9 O’Brien 1982: 12.

I N T R O D U C T I O N 7

He then concludes that “for the economic growth of the core, the periphery was peripheral.”10

Such arguments make Europe’s overseas expansion a minor matter in a story dominated by emerging economic superiority. Empire might be ex- plained by that superiority or might be independent of it, but had little to do with creating it. The resulting narratives are largely self-contained in two cru- cial senses: they rarely require going either beyond Europe or beyond the model of free, competing buyers and sellers at the heart of mainstream eco- nomics. For those scholars who also explain the increased speed of technolog- ical change largely in terms of a patent system granting more secure property in creativity, this closure becomes almost complete.

The emphasis on “European” industrialization has also tended to shape the units used in our comparisons, often in unhelpful ways. In some cases, we get comparative units based simply on contemporary nation-states, so that Britain is compared to India or China. But India and China are each more comparable in size, population, and internal diversity to Europe as a whole than to individ- ual European countries; and a region within either subcontinent that by itself might be comparable to Britain or the Netherlands is lost in averages including Asian equivalents of the Balkans, southern Italy, Poland, and so on. Unless state policy is the center of the story being told, the nation is not a unit that travels very well.

A second durable approach has been to first search for things that made “Europe” as a whole distinct (though the particulars chosen often really de- scribe only part of the continent) and then, once the rest of the world has been dropped from the picture, to look within Europe for something that made Brit- ain distinct. These continental or “civilizational” units have so powerfully shaped our thinking that it is hard to shake them; they will appear here, too. But for many purposes, it seems more useful to try a different approach, antic- ipated in important ways by my colleague R. Bin Wong.11

Let us grant the following: few essential characteristics unite, say, Holland and the Ukraine, or Gansu and the Yangzi Delta; a region like the Yangzi Delta (population 31,000,000–37,000,000 circa 1750, depending on the precise defi- nition) is certainly big enough to be compared to eighteenth-century European countries; and various core regions scattered around the Old World—the Yangzi Delta, the KantÉ plain, Britain and the Netherlands, Gujarat—shared

10 Ibid. In his work with Keydar on Britain and France, O’Brien makes the much more convinc- ing but rather different point that European industrialization was not simply the diffusion of British innovations to the rest of the continent. France, for instance, concentrated on different industries, which often involved finishing British semi-finished goods. But the very complementarity between Britain and France that shows the possibility of different routes to industrialization also suggests that we cannot simply remove British industrialization from the story and say that had that not happened, the continent would have industrialized anyway. And the British story, as we shall see, is unimaginable without two crucial discontinuities—one created by coal and one by colonies.

11 Wong 1997.

I N T R O D U C T I O N8

some crucial features with each other, which they did not share with the rest of the continent or subcontinent around them (e.g., relatively free markets, exten- sive handicraft industries, highly commercialized agriculture). In that case, why not compare these areas directly, before introducing largely arbitrary con- tinental units that had little relevance to either daily life or the grand patterns of trade, technological diffusion, and so on?12 Moreover, if these scattered cores really had much in common—and if we are willing to allow some role for contingencies and conjunctures—it makes sense to make our comparisons between them truly reciprocal: that is, to look for absences, accidents, and obstacles that diverted England from a path that might have made it more like the Yangzi Delta or Gujarat, along with the more usual exercise of looking for blockages that kept non-European areas from reproducing implicitly normal- ized European paths.

Here, too, I am following a procedure outlined in Wong’s recent China Transformed. As Wong points out, much of classic nineteenth-century social theory has been rightly faulted for its Eurocentrism. But the alternative favored by some current “postmodern” scholars—abandoning cross-cultural compar- ison altogether and focusing almost exclusively on exposing the contingency, particularity, and perhaps unknowability of historical moments—makes it im- possible even to approach many of the most important questions in history (and in contemporary life). It seems much preferable instead to confront biased comparisons by trying to produce better ones. This can be done in part by viewing both sides of the comparison as “deviations” when seen through the expectations of the other, rather than leaving one as always the norm. It will be my procedure in much of this book, though my concrete application of this reciprocal comparative method has some significant differences from Wong’s, and I carry the approach onto rather different terrain.13

This relatively untried approach at least generates some new questions that put various parts of the world in a different light. For instance—and here again I largely agree with Wong—I will argue that a series of balanced comparisons show several surprising similarities in agricultural, commercial, and proto- industrial (i.e., handicraft manufacturing for the market rather than home use) development among various parts of Eurasia as late as 1750. Thus the explo- sion of further growth in western Europe alone during the nineteenth century again becomes a rupture to be explained. By contrast, some recent literature, by limiting itself to intertemporal European comparisons and finding similari- ties there (which are real enough), tends to obscure this rupture. Thus, such

12 On the limited utility of “civilizations” as a unit, see Fletcher (1995: 3–7); Hodgson (1993: 17). On continents, see Wigen and Lewis (1997).

13 For example, I place greater stress than Wong does on global conjunctures and reciprocal influences and bring more places besides Europe and China into the discussion; I also say little about some of his topics, such as state formation, and much more about some he does not treat extensively, such as environmental change.

I N T R O D U C T I O N 9

literature also often barely passes over important contributions to industrializa- tion—especially conjunctural ones—which may appear as taken-for-granted “background” in a comparison limited to different periods in Europe.

A strategy of two-way comparisons also justifies linking what may at first seem two separate issues. The point at which western Europe became the rich- est economy need not be the same as the point at which it broke out of a Malthusian world into one of sustained per capita growth. Indeed, most of what I have called the “Europe-centered” approaches argue that western Eu- rope had become uniquely rich long before its industrial breakthrough. And if our only question were whether China (or India, or Japan) could have made its own breakthrough to such a world—i.e., if we normalize the European experi- ence and make it the pattern one would expect in the absence of “blockages” or “failures”—it would no longer be very important to ask when Europe actu- ally escaped a Malthusian world: it would matter far more that it had been for a long time on a path bound to lead to that breakthrough eventually. Mean- while, the dates by which it had definitively surpassed other places would tell us little about other possibilities for Europe and only about when those other places had taken their detours into stagnation.

But if we make reciprocal comparisons and entertain the possibility that Europe could have been a China—that no place was bound to achieve dramatic and sustained per capita growth—the link between the two becomes closer. If we further argue—as I will in subsequent chapters—that some other parts of the eighteenth-century world were roughly as close as Europe was to maximiz- ing the economic possibilities available to them without a dramatic easing of their resource constraints (like that made possible for Europe by fossil fuels and the New World), then the link between the two issues becomes closer still.

The two questions are still separable: differences in climate, soil, etc., might have given different areas different preindustrial possibilities. But it seems unlikely that Europe enjoyed a substantial edge in those possibilities over all other densely settled regions, particularly since the evidence presented later in this book suggests that it did not in fact become much better-off than east Asia until industrialization was well under way. Or it might turn out that although Europe did not pull ahead of east Asia until the eve of industrialization, certain institutions were in place by a much earlier date that did make industrialization bound to happen after all; that even without the Americas and favorably lo- cated fossil fuels, technological inventiveness was already sufficient to sustain growth in the face of any particular local resource shortages, and without re- sorting to the extremely labor intensive solutions which sustained aggregate, but not per capita, growth elsewhere. But the strong assumptions that such an assertion of inevitability would require begin to look shaky once we actually hold Europe up against the standard of some other preindustrial economies— especially since the last few centuries of European economic history before industrialization do not show consistent and robust per capita growth. Thus,

I N T R O D U C T I O N10

two-way comparisons both raise new questions and reconfigure the relation- ships among old ones.

Thus, this book will emphasize reciprocal comparisons between parts of Europe and parts of China, India, and so on that seem to me to have been similarly positioned within their continental worlds. We will return to conti- nental units and to still larger units, such as the Atlantic world, when our questions—such as those about the relationships of cores to their hinterlands— require it. And in some cases we will need to take the entire world as our unit, requiring a somewhat different kind of comparison—what Charles Tilly calls the “encompassing comparison,” in which rather than comparing two separate things (as classical social theory did) we look at two parts of a larger whole and see how the position and function of each part in the system shape their na- ture.14 At this level, which I emphasize more than Wong does, comparison and the analysis of connections become indistinguishable. The importance of keeping the analysis reciprocal, however, remains. Our perception of an inter- acting system from which one part benefited more than others does not in itself justify calling that part the “center” and assuming that it is the unshaped shaper of everything else. We will see, instead, vectors of influence moving in various directions.

Variations on the Europe-Centered Story: Demography, Ecology, and Accumulation

The arguments positing that western Europe’s economy was uniquely capable of generating an industrial transformation generally fall into two clusters. The first, typified by the work of E. L. Jones, argues that beneath a surface of “pre- industrial” similarity, sixteenth- through eighteenth-century Europe had al- ready moved far ahead of the rest of its world in the accumulation of both physical and human capital.15 A central tenet of this view is that various cus- tomary checks on fertility (late marriage, a celibate clergy, etc.) allowed Eu- rope to escape from the otherwise universal condition of a “pre-modern fertil- ity regime” and thus from a similarly universal condition in which population growth absorbed almost all of any increase in production. Consequently, Eu- rope was uniquely able to adjust its fertility to hard times and to increase its per capita (not just total) capital stock over the long haul.

Thus, in this view, differences in the demographic and economic behavior of ordinary farmers, artisans, and traders created a Europe that could support more non-farmers; equip its people with better tools (including more live- stock); make them better nourished, healthier, and more productive; and create a larger market for goods above and beyond the bare necessities. The central

14 Tilly 1984. 15 Jones 1981, 1988.

I N T R O D U C T I O N 11

arguments underlying this position were laid out over thirty years ago by John Hajnal:16 they have been elaborated since then, but not radically altered. How- ever, as we shall see in chapter 1, recent work on birthrates, life expectancy, and other demographic variables in China, Japan, and (more speculatively) Southeast Asia has made what Hajnal thought were unique European achieve- ments look more and more ordinary.

The significance of these findings has not yet been fully appreciated, but they have been partially acknowledged in the one important recent addition to the demographically driven story line: the recognition that there were eco- nomic booms and rising living standards in preindustrial settings outside Eu- rope. However, these are always treated as temporary flowerings that either proved vulnerable to political shifts or played themselves out as productivity- enhancing innovations proved unable to stay ahead of the population increases that prosperity encouraged.17

Such stories are an important advance over much earlier literature, which argued either implicitly or explicitly that the whole world was poor and accu- mulation minimal until the early modern European breakthrough; among other things, it has forced scholars to look at “the fall of Asia”18 as well as the “rise of Europe.” However, these versions of the story are often anachronistic in at least two crucial ways.

First, they tend to read too much of the nineteenth- and twentieth-century ecological disasters that have afflicted much of Asia (and the underlying prob- lem of dense population) back into earlier periods and present eighteenth- century Asian societies as having exhausted all the possibilities available to them. Some versions attribute this condition to all of an artificial unit called “Asia” circa 1800; but, as we shall see, India, Southeast Asia, and even parts of China still had a good deal of room to accommodate more people without either a major technological breakthrough or a decline in the standard of living. Probably only a few parts of China and Japan faced such a situation.

Second, such stories often “internalize” the extraordinary ecological bounty that Europeans gained from the New World. Some do so by assimilating over- seas expansion to the pattern of “normal” frontier expansion within Europe (e.g., the clearing and settlement of the Hungarian plain or the Ukraine, or of German forests). This ignores the exceptional scale of the New World wind- fall, the exceptionally coercive aspects of colonization and the organization of production there, and the role of global dynamics in ensuring the success of European expansion in the Americas.19 The clearing of new agricultural lands in Hungary and the Ukraine had parallels in Sichuan, Bengal, and many other Old World locales; what happened in the New World was very different from anything in either Europe or Asia. Moreover, because nineteenth-century

16 Hajnal 1965, 1982. 17 Jones 1988; Elvin 1973; Powelson 1994. 19 See, e.g., Jones 1981: 70–74.18 Abu-Lughod 1989; Frank 1998.

I N T R O D U C T I O N12

Europe found enormous ecological relief beyond its borders—both acquiring resources and exporting settlers20—such accounts rarely consider whether some densely populated core regions in sixteenth- through eighteenth-century Europe faced ecological pressures and options not radically different from those of core regions in Asia.

Thus, the literature that incorporates the “fall of Asia” tends to do so with the aid of an oversimplified contrast between an ecologically played-out China, Japan, and/or India, and a Europe with plenty of room left to grow—a Europe that, in one formulation, had the “advantages of backwardness”21 be- cause it had not yet developed enough to make full use of its internal resources.

In an attempt to move beyond such impressionistic claims, chapter 5 offers a systematic comparison of ecological constraints in selected key areas of China and Europe. This inquiry shows that although some parts of eighteenth- century Europe had some ecological advantages over their east Asian counter- parts, the overall pattern is quite mixed. Indeed, key Chinese regions seem to have been better-off than their European counterparts in some surprising ways, such as available fuel supply per capita. Moreover, Britain, where industrial- ization in fact began, had few of the underutilized resources that remained in various other parts of Europe. Indeed, it seems to have been no better-off than its rough counterpart in China—the Lower Yangzi Delta—in timber supply, soil depletion, and other crucial ecological measures. Thus, if we accept the idea that population growth and its ecological effects made China “fall,” then we would have to say that Europe’s internal processes had brought it very close to the same precipice—rather than to the verge of “take-off”—when it was rescued by a combination of overseas resources and England’s break- through (partly conditioned by geographic good luck) in the use of subterra- nean stores of energy. If, on the other hand, Europe was not yet in crisis, then in all likelihood China was not either.

In making this argument this book parallels some of the arguments in work on global development by Sugihara Kaoru—work I discovered too late in my writing to deal with in great detail.22 Sugihara emphasizes, as I do, that the high population growth in east Asia between 1500 and 1800 should not be seen as a pathology that blocked “development.” On the contrary, he argues, this was an “East Asian miracle” of supporting people, creating skills, and so on, which is fully comparable as an economic achievement to the “European miracle” of industrialization. Sugihara also emphasizes, as I do, the high standard of living in eighteenth-century Japan and (to a lesser extent in his view) China, as well as the sophistication of institutions that produced many of the beneficial ef- fects of markets without the same state guarantees for property and contract

20 Crosby 1986: 2–5, 294–308. 21 Frank 1998: 283, playing on Gerschenkron. 22 Sugihara 1996.

I N T R O D U C T I O N 13

that many Westerners believe is the precondition of markets.23 He also ar- gues—a point consistent with my argument though beyond the scope of this book—that in the long run it has been a combination of western European and east Asian types of growth, allowing Western technology to be used in socie- ties with vastly more people, which has made the largest contribution to world GDP, not a simple diffusion of Western achievements.

Sugihara does, however, suggest that a basic difference between these two “miracles” is that as far back as 1500, western Europe was on a capital-inten- sive path and east Asia on a labor-intensive path. By contrast, I argue—in keeping with the finding of surprising similarities as late as 1750 and with my determination to take the question “Why wasn’t England the Yangzi Delta?” as seriously as “Why wasn’t the Yangzi Delta England?”—that Europe, too, could have wound up on an “east Asian,” labor-intensive path. That it did not was the result of important and sharp discontinuities, based on both fossil fuels and access to New World resources, which, taken together, obviated the need to manage land intensively. Indeed, there are many signs that substantial re- gions in Europe were headed down a more labor-intensive path until dramatic late eighteenth- and nineteenth-century developments reversed that path. We will find such evidence in aspects of agriculture and proto-industry throughout Europe (including England) and in almost everything about Denmark.24 The East-West difference that developed around labor-intensity was not essential but highly contingent; the distribution of population growth (as opposed to its aggregate size) turns out to be one crucial variable, which in turn has much to do with market distortions in sixteenth- through eighteenth-century Europe and with migration to the New World in the nineteenth century.

In both China and Japan population growth after 1750 was heavily concen- trated in less-developed regions, which then had smaller surpluses of grain, timber, raw cotton, and other land-intensive products to “vent” through trade with resource-hungry cores; and since part of the increased population of these peripheral areas went into proto-industry, they also had less need to trade with core regions. In Europe, on the other hand, it was largely areas that were al- ready relatively advanced and densely populated that had large population increases between 1750 and 1850. Most of eastern Europe, for instance, only began to experience rapid population growth after 1800, and southern Europe (especially southeastern Europe) began to catch up even later. Chapters 5 and 6 will have much more to say about the political-economic and ecological bases of these differences and their significance for industrialization. Mean- while, it is worth emphasizing that they are not differences that reflect a greater

23 It is worth noting, however, that in recent years many Western economic historians have also become interested in describing institutional arrangements that made contracts easily enforceable, and thus permitted efficient markets, even in the absence of much state involvement in guarantee- ing property rights. For a helpful summary, see Greif 1998: 597–633.

24 See for instance Ambrosoli 1997; Levine 1977; Kjaergaard 1994.

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overall strain on resources in east (much less south) Asia as compared to Eu- rope. Let us move, then, from arguments about quantities of resources avail- able—either those already accumulated or those left untapped—to arguments claiming that European institutions allocated resources in ways more condu- cive to long-term self-sustaining growth.

Other Europe-Centered Stories: Markets, Firms, and Institutions

A second group of arguments—evident in somewhat different ways in the work of Fernand Braudel, Immanuel Wallerstein, and K. N. Chaudhuri, and in a very different way in that of Douglass North—pays less attention to levels of wealth. Instead, these arguments emphasize the emergence of institutions in early modern Europe (or some part of it) said to be more conducive to eco- nomic development than those existing elsewhere. The focus of these argu- ments is generally on the emergence of efficient markets and property-rights regimes that rewarded those who found more productive ways to employ land, labor, and capital. A common, though not universal, companion to these argu- ments is the claim that economic development was stifled elsewhere (espe- cially in China and India) by a state that was either too strong and hostile to private property or too weak to protect rationalizing entrepreneurs when the latter clashed with local customs, clergy, or strongmen.25

Potentially consistent with these arguments—though quite distinct from them—is the work of Robert Brenner, who explains divergent development paths within Europe as the result of class struggles that altered property-rights regimes. In Brenner’s interpretation, western European peasants won the first round of a struggle with their lords in the century or so after the Plague, estab- lishing their freedom from forced labor; eastern European peasants lost, and the ruling class lived for centuries thereafter by squeezing peasants harder, without ever modernizing agriculture or introducing labor-saving innovations. Within western Europe, Brenner continues, a second round of struggle ensued, with lords who now owned only the land seeking the freedom to manage it so as to maximize profits, often by removing unproductive or “excess” tenants. French elites lost this battle, according to Brenner, and France was stuck there- after with an agricultural system based on millions of smallholders neither able nor very interested in innovations that would make some of them unnecessary. But in England the lords won, invested in innovations that made it possible to cut labor costs, and expelled huge numbers of unneeded workers from the land. At least some of these dispossessed farmers eventually became En-

25 Wittfogel 1957; Jones 1981: 66–67, 118, 125; Jones 1988: 130–46; Mokyr 1990: 233–34, 256–60; Powelson 1994.

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gland’s industrial workforce, buying food from the agrarian surplus created by their expulsion and marketed by their former lords.

In Brenner’s argument, class struggle, rather than either Malthusian pres- sures or the “natural” emergence of more perfect markets, supplies the motor of the story; the destination, however, is similar. How much a society winds up resembling neoclassical models determines how productive it will be there- after; in particular, England, the country where land and labor wound up most sharply separated (and most completely commodified) is presumed to have therefore developed the most dynamic economy. In this, Brenner winds up rather oddly aligned with Douglass North, who—while rejecting class struggle as the explanation of property-rights regimes—also argues that econ- omies became increasingly capable of development as they evolved increas- ingly competitive markets for commodified land, labor, capital, and intellec- tual property.

Both North’s and Brenner’s arguments focus on the institutional settings in which the great majority of people operated: markets for day labor, tenancy contracts, and for products that ordinary people both produced and consumed. In this they resemble the arguments discussed above, which argue that prein- dustrial Europeans were already uniquely prosperous and productive, and tend to merge with those arguments.

However, the other major set of institutionalist arguments—those of Brau- del and his school—focuses more on the profits accumulated by a few very wealthy people; the institutions that facilitated this kind of accumulation often involved special privileges that interfered with neoclassical markets. Conse- quently, these scholars have paid more attention to profits based on the use of coercion and collusion. And because many of the great merchants they focus on were involved in long-distance trade, these scholars have paid more atten- tion to international politics and Europe’s relations with other areas. Waller- stein, in particular, treats the growth of trade between “feudal” eastern Europe and “capitalist” western Europe as the real beginning of a world economy, and he emphasizes that continued accumulation of profits in the free-labor “core” of that economy has required the continued existence of poor, generally unfree “peripheries.”

But nonetheless, the motor of Wallerstein’s story is western Europe’s unique combination of relatively free labor, large and productive urban popu- lations, and merchants and governments that facilitated long-distance trade and the reinvestment of profits. The international division of labor that emerged from this trade increased the difference in wealth between western Europe and everyone else, since peripheries increasingly specialized in those goods for which cheap, often coerced, labor was more important than the tools and institutions needed for high productivity—but it was based on preexisting socioeconomic differences that enabled western Europe to impose on others in the first place.

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Problems with the Europe-Centered Stories

This work borrows from these arguments—mostly those of the various “insti- tutionalists”—but ultimately argues for different propositions. First, no matter how far back we may push for the origins of capitalism, industrial capitalism, in which the large-scale use of inanimate energy sources allowed an escape from the common constraints of the preindustrial world, emerges only in the 1800s. There is little to suggest that western Europe’s economy had decisive advantages before then, either in its capital stock or economic institutions, that made industrialization highly probable there and unlikely elsewhere. The mar- ket-driven growth of core areas in western Europe during the preceding cen- turies was real enough and was undoubtedly one crucial precursor of industri- alization—but it was probably no more conducive to industrial transformation than the very similar processes of commercialization and “proto-industrial” growth occurring in various core areas in Asia.26 The patterns of scientific and technical development that were taking shape in early modern Europe were more unusual, but we shall see that they still did not, by themselves, guarantee that western Europe would wind up on a fundamentally different economic path from, for instance, east Asia.

Second, European industrialization was still quite limited outside of Britain until at least 1860. Thus, positing a “European miracle” based on features common to western Europe is risky, all the more so since much of what was widely shared across western Europe was at least equally present elsewhere in Eurasia.

Part 1 of this book calls into doubt various contentions that Europe had an internally generated economic edge before 1800. It substitutes a picture of broad similarities among the most densely populated and commercialized parts of the Old World. Chapter 1 draws on evidence from numerous places to show that Europe had not accumulated a crucial advantage in physical capital prior to 1800 and was not freer of Malthusian pressures (and thus more able to invest) than many other large economies. People in various other areas seem to have lived as long and as well as Europeans and to have been at least equally willing and able to limit fertility in the interest of household-level accumula- tion. The second half of the chapter then examines the possibility that Europe had a crucial technological edge even before the Industrial Revolution. Here we do find some differences that mattered—but which would have had smaller, later, and probably qualitatively different effects without both the for- tunate geographic accidents essential to the energy revolution and Europe’s

26 Sugihara and Hayami (1989) see the “industrial” and “industrious” revolutions diverging already in the seventeenth century, Arrighi in the eighteenth century. Although there are indeed signs of such a divergence that far back, I will argue that it was not sealed until the turn of the nineteenth century, when the New World plus coal made it clear that such a land-using, resource- intensive path would remain sustainable for a prolonged period.

I N T R O D U C T I O N 17

privileged access to overseas resources. Technological inventiveness was necessary for the Industrial Revolution, but it was not sufficient, or uniquely European. It is unclear whether whatever differences existed in the degree of technological inventiveness were crucial to exiting a Malthusian world (tech- nological breakthroughs could have been spread over a slightly longer period), but it is clear that the differences in global context that helped ease European resource constraints—and so made innovation along particular (land-using, energy-using, and labor-saving) paths a fruitful, even self-reinforcing, pro- cess—were significant.

Chapter 2 turns to markets and related institutions. It focuses primarily on a comparison between western Europe and China. It shows that western Euro- pean land, labor, and product markets, even as late as 1789, were on the whole probably further from perfect competition—that is, less likely to be composed of multiple buyers and sellers with opportunities to choose freely among many trading partners—than those in most of China and thus less suited to the growth process envisioned by Adam Smith. I begin by comparing laws and customs governing the ownership and use of land and the extent to which agricultural producers could choose to whom to sell their output. The next section concerns labor: the extent of compulsory labor, restrictions on (or en- couragement of) migration, restrictions on changing occupations, and so on.

The last and most complex section of chapter 2 treats the relationships be- tween households as units of consumption and as institutions that allocated labor—particularly that of women and children. Some scholars have argued that Chinese families were more prone than western European ones to keep women and children working beyond the point at which their marginal output sank below the value of a subsistence wage, thus producing an “involuted economy”; I will show that there is little reason to believe this.27 Rather, labor deployment in Chinese families seems to closely resemble the reorientation of labor, leisure, and consumption toward the market that Jan DeVries has called Europe’s “industrious revolution.”28 In sum, core regions in China and Japan circa 1750 seem to resemble the most advanced parts of western Europe, com- bining sophisticated agriculture, commerce, and nonmechanized industry in similar, arguably even more fully realized, ways. Thus we must look outside these cores to explain their subsequent divergence.

Building a More Inclusive Story

Part 2 (chapters 3 and 4) begins by moving away from survival-oriented activ- ities to examine new kinds of consumer demand, the cultural and institutional changes that accompanied them, and the possibility that differences in demand

27 P. Huang 1990: 11–17; for a related argument see also Goldstone 1996. 28 DeVries 1994b.

I N T R O D U C T I O N18

had important effects on production (chapter 3). Here we find differences that may well have differentiated China, Japan, and western Europe from other places, but not very much from each other. The differences in both quantities of goods available and “consumerist” attitudes among these societies seem small and of uncertain direction. (For instance, mid-eighteenth-century Chi- nese almost certainly consumed more sugar than Europeans, and people in the Lower Yangzi core may have produced as much cloth per capita in 1750 as Britons did in 1800.) And institutions in all these societies (though not neces- sarily elsewhere) seem to have been such that increased production routinely created demand, while it is much less clear that increased demand could create supply. Finally, those differences in consumer behavior that did favor Europe seem to have been heavily influenced by extra-European elements—for exam- ple, the extraction of New World silver and the demand for it in Asia, which sucked other “exotic” goods into Europe, and the system of production shaped by New World plantations and slavery.

Chapter 4 then follows the merchants and manufacturers who brought the new “luxuries” of chapter 3—whether imported, imitated (e.g., Wedgewood “china”), or purely homegrown—to market. In doing so, it moves away from the “typical” household and the sorts of markets for land, labor, and consumer goods in which they participated. Instead it looks at actors who operated on a larger scale, examining markets in the last factor of production—capital—and arguments about a distinctive European capitalism. It thus moves away from institutional arguments focused entirely on the growth of allegedly more per- fect markets within western Europe to those that pay more attention to external connections, find advantages for certain crucial actors in imperfect competi- tion, and so also pay more heed to extraeconomic coercion.

Chapter 4 begins by rejecting various arguments that either the general structure of society or the specific rules surrounding commercial property gave European merchants a crucial advantage in amassing capital, preserving it from the state, or deploying it rationally. Although some financial assets may have been better defined and more secure in Europe (or at least in England, Holland, and the Italian city-states), such differences are too small to bear the explanatory weight assigned to them by scholars as diverse as Fernand Braudel, K. N. Chaudhuri, and Douglass North—and even harder to link to the early Industrial Revolution, which was not very capital intensive. Certainly some of the larger Chinese firms, for instance, regularly assembled sums of capital adequate to implementing the major technical innovations of the pre- railroad era.

Western European interest rates were probably lower than Indian, Japanese, or Chinese ones; but it turns out to be very hard to show that this made an important difference to relative rates of agricultural, commercial, or proto- industrial expansion, and even harder to show much impact on the early rise of mechanized industry. And it is significant that where eighteenth-century

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Europeans’ supposedly superior commercial organizations had to compete with merchants from other Old World regions without using force, their record was mediocre. Only in overseas colonization and armed trading did Europe’s financial institutions—nurtured by a system of competing, debt-financed states—give it a crucial edge.

Even more important, as Braudel himself emphasizes, is the point that capi- tal was not a particularly scarce factor of production in the eighteenth cen- tury.29 Constraints connected to energy, and ultimately to quantities of land (particularly the shrinking forests of core areas throughout Eurasia), were a far more important looming impediment to further growth. The essence of devel- opment was that both labor and capital became more plentiful relative to land, but producing any of Malthus’s four necessities of life—food, fiber (clothing), fuel, and building materials—still required land.

To some extent, capital and labor could create more land (reclamation) or make land yield more food and fiber through irrigation, fertilization, or extra- careful weeding, but this was quite limited compared to what late nineteenth- century chemical industries would make possible. And when it came to pro- ducing fuel and building materials before the massive use of fossil fuels, the ability of labor and capital to substitute for land was very limited indeed. Thus, even if Europe had an edge in assembling investment capital, this would not by itself have solved the ecological bottlenecks faced by all the most “devel- oped” proto-industrial regions. Certainly there are enough examples of capital- rich but late industrializing areas even within Europe to make any link be- tween greater capital accumulation and a transition to industrialism dubious. Northern Italy and Holland are obvious examples, despite their highly sophis- ticated commercial economies, and so, in a different way, is Spain, where a huge flood of silver into a less-developed economy may well have retarded growth.30

Braudel did not systematically explore how his own insight about the rela- tive abundance of capital before 1800 might affect explanations of European distinctiveness; instead he turned back to unverified claims that European for- tunes were more secure.31 However, the Braudelian family of arguments does direct our attention toward long-distance trade and toward phenomena—the state, colonial ventures, and nonmarket extraction—which I think played a greater role in the European breakthrough than is visible in most recent studies. In particular, I will argue that while neither the new forms of property created in early modern Europe (e.g., corporations and various securitized claims on future income streams) nor the domestic policies of Europe’s competing and revenue-hungry states made pre-1800 Europe itself a significantly better envi- ronment for productive activity, the projection of interstate rivalries overseas

29 Braudel 1977: 60; DeVries 1976: 210–14. 30 Flynn 1984; Hamilton 1934. 31 Braudel 1977: 60–75.

I N T R O D U C T I O N20

did matter. Similarly, joint-stock companies and licensed monopolies turned out to have unique advantages for the pursuit of armed long-distance trade and the creation of export-oriented colonies—activities that required what were for the time exceptional amounts of capital willing to wait a relatively long time for returns. When we combine this notion of European capitalism, in which links to the state and the right to use force and preempt certain markets loom large, with the idea that advanced market economies everywhere faced grow- ing ecological problems, a new picture emerges of what Europe’s most signif- icant differences were.

Part 3 (chapters 5 and 6) then sketches a new framework for thinking about the relationships between internal and external factors in Europe’s develop- ment path. Chapter 5 begins by arguing for serious ecological obstacles to further growth in all of the most densely populated, market-driven, and com- mercially sophisticated areas of Eurasia. These were not so acute as to cause major food crises, but they made themselves felt in shortages of fuel and build- ing materials, to some extent in shortages of fiber, and in threats to the con- tinued fertility of some areas’ soils. After examining these constraints, the last part of chapter 5 examines the attempts made by all these core areas to address these shortages through long-distance trade with less densely populated Old World areas; it argues that such trade could not provide a fully adequate solu- tion. The high cost of transport before the age of steam was one reason, but others are rooted in the political economies of many of the “peripheral” re- gions, the relatively low levels of demand there, and the resulting difficulties of sustaining an exchange of core manufactured goods for raw materials with- out either a colonial system to enforce it or the much larger interregional dif- ferences in manufacturing productivity (often based on relatively immobile factors such as capital equipment embodying new technology) that emerged from the late nineteenth century onward.

Chapter 6 then considers the dramatic easing of Europe’s land constraint during industrialization. It looks briefly at the shift from wood to coal—an important story, but one well covered elsewhere—and then turns to the ecolog- ical relief provided by Europe’s relations with the New World. This relief was predicated not merely on the natural bounty of the New World, but also on ways in which the slave trade and other features of European colonial systems created a new kind of periphery, which enabled Europe to exchange an ever- growing volume of manufactured exports for an ever-growing volume of land- intensive products.

A crucial part of this complementarity, up through the early industrial era, was the result of slavery. Slaves were purchased from abroad by New World plantations, and their subsistence production was often limited. Thus, slave regions imported much more than, say, eastern Europe and southeast Asia, where the producers of export crops were born locally, met most of their own basic needs, and had little cash with which to buy anything else.

I N T R O D U C T I O N 21

The plantation zone also differed in critical ways from free labor peripheries such as the Chinese interior. Exporters of rice, timber, and raw cotton in east Asia had more purchasing power than did peasants in regions of coerced cash- cropping and had greater flexibility and incentives to respond to external de- mand. But the same system of more or less free labor that produced these dynamic peripheries also allowed people to shift away from activities with diminishing returns. With time, these areas tended to undergo significant pop- ulation growth (partly due to rising incomes) and proto-industrialization of their own; this decreased both their need to import manufactures and the sur- plus of primary products that they could export.

By contrast, the circum-Caribbean plantation zone showed much less ten- dency to diversify its production or to cease needing imported slaves and pro- visions. And since Europe acquired most of the slaves it shipped to the New World in return for manufactures (especially cloth), while much of the grain and timber sent to the Caribbean came from British North America, enabling those colonies to buy European manufactures, all of the New World’s import needs—even those for grain and humans—helped Europe use labor and capital to solve its land shortage. Finally, we will also see in chapter 6 that dynamics set in motion during the colonial period created the framework for a flow of resources to Europe from both slave and free areas that accelerated throughout the nineteenth century, despite independence and emancipation.

In the process, chapter 6 also shows how differing long-term core-periphery relations could shift the significance of a feature common to various core re- gions in Eurasia. That feature is “proto-industrialization”: the massive expan- sion of nonmechanized industries, mostly composed of rural laborers produc- ing for (often distant) markets through the mediation of merchants. Historians of Europe, who created the concept, have been divided about the relationship between proto-industrialization and industrialization proper. Some have ar- gued that proto-industrialization contributed to the accumulation of profits and/or the development of market-oriented activity, specialization, and tastes for products hard to make at home. And Joel Mokyr has shown—in an argu- ment I would claim is as applicable to parts of Asia circa 1750 as for his own European cases—that the development of a large pool of “pseudo-surplus labor” in proto-industrial occupations could make a crucial contribution to industrialization, without many of the complications that arise if we look for industrial workers to emerge from “surplus labor” in agriculture.32

But Mokyr’s model of proto-industrialization assumes that proto-industrial areas will be able to keep expanding their handicraft exports and agricultural imports without affecting relative prices in whatever “world” they are a part of. Considering the limits of this assumption brings into focus another side of proto-industrialization.

32 Mokyr 1976: 132–64; compare Lewis 1954: 139–91.

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Proto-industrial growth has generally been associated with significant popu- lation increases (though the exact nature of the connection is hotly disputed); and in many cases, rapid population growth in proto-industrial areas has been associated with a vicious cycle of very low piece rates, increasing output from workers struggling to buy enough food and often without much access to land, and still lower piece rates. Any shift in relative prices—whether created by an increased proto-industrial population glutting the export market while needing to import more food, or by diminishing external supplies and markets—will intensify this pattern of immiseration. And more generally speaking, popula- tion growth—whatever its relationship to proto-industrialization—could place serious pressure on the land needed for raising fuel, fiber, and other necessities of industrial development. Unless these goods can be acquired by trade, the only way to keep increasing output is by working the land more intensely, which with the technologies then available meant higher farm-product prices, lower per capita productivity, and a drag on industrial growth.

Signs of both serious ecological bottlenecks and spiraling poverty among too-numerous proto-industrial workers and underemployed farm laborers are as evident in many regions of mid-eighteenth-century Europe as in comparable parts of China or Japan—indeed, perhaps more so. But then, I will argue, Europe and east Asia changed places.

China’s Lower Yangzi, for instance, had increasing trouble selling enough cloth and importing enough food and timber to sustain either proto-industrial growth or the relatively high living standard of its workers. This was not be- cause of any internal “flaw” in the region but because the areas it had traded with were undergoing their own population and proto-industrial booms and so were becoming less complementary to it. To some extent, the Yangzi Delta compensated as a leading area should—moving up the value-added ladder by specializing in higher-quality cloth—but this was not enough. In short, mar- kets worked well within China’s eight or nine macro-regions (each larger than most European states), encouraging people in much of the interior to devote more time to making cloth and the like as they filled up the land, felled the trees nearest the rivers, and so on. But these smoothly functioning regional markets and interdependencies conflicted with the growth of empire-wide markets, especially after about 1780; this made it harder for one or two leading regions to keep growing and to avoid having to adopt even more labor-inten- sive strategies for conserving land and land-intensive products. Thus, freedom and growth in the peripheries without dramatic technological change led the country as a whole toward an economic cul de sac.

By contrast, northwestern Europe became able, in the century after 1750, to specialize in manufactures (both proto-industrial and industrial) to an unprece- dented degree and to make its spectacular population growth during this period an asset. A big part of this transformation was, of course, a series of impressive technological advances in manufacturing (which made huge amounts of rela-

I N T R O D U C T I O N 23

tively cheap goods available to exchange for land-intensive products) and in transportation, which greatly facilitated specialization. But these relatively well-known developments are not the whole story. Western Europe could also increase its population, specialization in manufacturing, and per capita con- sumption levels—when even eighteenth-century levels had seemed to many people near the limits of ecological possibility—because the limits imposed by its finite supply of land suddenly became both more flexible and less impor- tant. This was partly because its own institutional blockages had left signifi- cant unexploited agricultural resources that could be tapped after the French Revolution and post-Napoleonic reforms in Germany; partly because far more extreme institutional blockages (above all serfdom) in eastern Europe (the counterpart to, say, China’s Upper Yangzi or southwest) had left lots of slack there; and partly because new land management techniques were brought home from the empire in the early nineteenth century. In all these ways, one might argue, Europe was catching up with China and Japan in both best and average practices in agro-forestry, rather than blazing new trails. Even so, Eu- rope’s transformation also required the peculiar paths by which depopulation, the slave trade, Asian demand for silver, and colonial legislation and mercan- tilist capitalism shaped the New World into an almost inexhaustible source of land-intensive products and outlet for western Europe’s relatively abundant capital and labor. Thus, a combination of inventiveness, markets, coercion, and fortunate global conjunctures produced a breakthrough in the Atlantic world, while the much earlier spread of what were quite likely better-function- ing markets in east Asia had instead led to an ecological impasse.

Thus, chapter 6 locates the significance of the Atlantic trade not in terms of financial profits and capital accumulation, nor in terms of demand for manufactures—which Europe could have probably generated enough of at home33—but in terms of how much they relieved the strain on Europe’s supply of what was truly scarce: land and energy. And because it helped ease these fundamental, physical constraints, Europe’s overseas extraction deserves to be compared with England’s turn to coal as crucial factors leading out of a world of Malthusian constraints, rather than with developments in textiles, brewing, or other industries, which, whatever their contributions to the accumulation of financial capital or development of wage labor, tended to intensify, rather than ease, land and energy squeezes in the core areas of western Europe. And, indeed, a preliminary attempt to measure the importance of this ecological windfall suggests that until well into the nineteenth century, the fruits of over- seas exploitation were probably roughly as important to at least Britain’s eco- nomic transformation as its epochal turn to fossil fuels.

33 On capital accumulation within Europe versus “exotic sources” see DeVries 1976: 139–46, 213–14. On demand, see ibid., 176–92; Mokyr 1985b: 21–23; and Mokyr 1985a, which questions the significance of demand factors in the Industrial Revolution more generally.

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Comparisons, Connections, and the Structure of the Argument

Thus part 1, which is essentially comparative, argues that although a combina- tion of relatively high levels of accumulation, demographic patterns, and the existence of certain kinds of markets may separate out a few places—western Europe, China, Japan, and perhaps others—as the most likely settings for a dramatic shift in economic possibilities, they cannot explain why that shift in fact occurred first in western Europe, or why it happened anywhere. Nor can technological differences explain very much before the nineteenth century (when Europe closed the gap in land management and took a wide lead in many other areas)—and even then, only when Europe’s complex and often violent relations with other parts of the globe are added to the story.

In part 2, intercontinental comparisons continue, but in a context in which intercontinental connections also begin to be important. It argues that as we move toward kinds of economic activity less directly tied to physical neces- sity—and involving a smaller share of the population—some possibly impor- tant western European differences in culture and institutions do appear, even vis à vis other “core” regions. However, these differences are ones of degree rather than of kind, quite limited in strength and scope. They certainly do not justify any claim that western Europe, and western Europe alone, had either a “capitalist mode of production” or a “consumer society,” and they cannot themselves explain the dramatic divergences that would emerge in the nine- teenth century. Moreover, it is striking that where significant differences are discernible, they are consistently related to deviations from simple Smithian market dynamics—especially to state-licensed monopolies and privileges, and to the fruits of armed trade and colonization.

Part 3 begins with comparison again, showing that whatever advantages Europe had—whether from a more developed “capitalism” and “consumer- ism,” the slack left by institutional barriers to more intensive land use, or even technological innovations—were nowhere near to pointing a way out of a fun- damental set of ecological constraints shared by various “core” areas of the Old World. Moreover, purely consensual trade with less densely populated parts of the Old World—a strategy being pursued by all the core areas of Eurasia, often on a far larger scale than pre-1800 western Europe could man- age—had limited potential for relieving these resource bottlenecks. But the New World had greater possibilities, in large part due to the effects of global cojunctures. First, epidemics seriously weakened resistance to European ap- propriation of these lands. Second, the transatlantic relations that followed conquest and depopulation—mercantilism and especially the African slave trade—made the flow of needed resources to Europe self-catalyzing in ways that consensual trade between Old World regions was not: it anticipated, even

I N T R O D U C T I O N 25

before industrialization, the self-perpetuating division of labor between pri- mary products exporters and manufacturing regions in the modern world. Thus the world’s first “modern” core and its first “modern” periphery were created in tandem—and this global conjuncture was important in allowing western Europe to build something that was truly unique upon the base of an advanced market economy whose main features were not unique. We end, then, with connections and interactions explaining what comparison alone cannot.

A Note on Geographic Coverage

Having sketched the book’s main ideas, a brief warning is in order about its geographic coverage. While joining the burgeoning field of “world history,” this book treats the world’s regions very unevenly. China (principally east and southeast China) and western Europe are treated at some length; Japan, south Asia, and the Chinese interior much less so; eastern Europe, southeast Asia, and the Americas still less; Africa even less, except through the slave trade; and the Middle East, central Asia, and Oceania are barely mentioned. More- over, China, Japan, south Asia, and western Europe are treated in terms of both comparisons and connections. In other words, they are treated both as places that were plausible enough sites for fundamental economic transformations that their experiences illuminate the places where such a transformation did occur, and in terms of the reciprocal influences between themselves and other regions.

Eastern Europe, southeast Asia, the Americas, and Africa, on the other hand, are treated largely through their interactions with other regions. This does not imply that they were only acted upon—on the contrary, the argument sketched insists that what was possible in the areas we think of as “cores” was condi- tioned by the development paths and internal dynamics of “their” peripheries. Nor should it imply that the regions I treat comparatively were the only ones where important changes could happen. Industrial growth is just one part, al- beit a vital one, of what we call “modernity”: others may have other geo- graphic origins. Nor, for that matter, can we afford to understand only those areas that were the seedbeds of what we now take to be the dominant character- istics of our age; to do so would greatly increase the risk of taking those fea- tures to be inevitable. In short, adding a few Chinese and Japanese foils to a European story does not make it “world history.”

But there are reasons besides my finite energies for focusing as I do here. Some have to do with the stories I want to question and some with the story I want to tell.

First of all, it is China, more than any other place, that has served as the “other” for the modern West’s stories about itself, from Smith and Malthus to Marx and Weber. Thus, two crucial aims of this book are to see how different

I N T R O D U C T I O N26

Chinese development looks once we free it from its role as the presumed oppo- site of Europe and to see how different European history looks once we see the similarities between its economy and one with which it has most often been contrasted.

Second, the processes emphasized in my own argument direct us to densely populated parts of the world and their trading partners. On the one hand, on- going specialization is fueled by high population density; one cannot generally support oneself doing certain tasks that each person needs done only occasion- ally unless there are many people within one’s market area.34 Population den- sity is not the sole determinant of Smith’s “extent of the market,” nor is it impossible for even sparsely populated areas to have elaborate arrays of spe- cialists who subdivide certain tasks that the culture deems important. But for elaborate specialization to be developed in many areas of economic activity— food production, clothing production, building, transport, and exchange it- self—there is ultimately no substitute for having many people within an af- fordable physical and cultural distance. (This is also true for specializing in the investigation of the natural world and the quest for new ways to manipulate it—the Smithian component of the much less predictable, but obviously cru- cial, process of generating technological change.)

Meanwhile, the ecological pressures that are also central to my argument are even more closely linked to demography.35 Of course, areas that are sparsely populated in an absolute sense may also come under heavy ecological pressure if they are simply not capable of supporting very many people, or if people use their environment in certain ways. Thus in part 3 I make a distinction between densely populated areas and what I call “fully populated” ones—areas that have little room left for extensive growth without significant land-saving tech- nological change, institutional improvements, or increased access to land- intensive commodities through external trade, even though they may have fewer people per acre than some other area. (Thus eighteenth-century Britain, for instance, could be more “fully populated” than Bengal, even at a lower population density, given its far lower per-acre yields and higher standard of living.) But this criterion, too, leads to a focus on western Europe, China,

34 It should be noted in this connection that “specialization” is not the same as “division of labor,” much less “complexity.” One could imagine, for instance, a society with extremely com- plex rules of exchange determining who baked the bread each week, but in which no one person was a full-time baker. Such a society could certainly be as complex as any, and its people each master of a very complicated set of skills, but precisely for that reason, it would not have the same economic dynamics as one in which people are continually driven to focus on just a few tasks for which they in particular can find a market.

35 I call these dynamics quasi-Malthusian because I do not argue that population densities were necessarily about to lead to a decline in the standard of living in any of the core areas I discuss, but only that worsening land/labor ratios were a serious obstacle to large amounts of further growth given the technologies of the preindustrial revolution, and that while early industrial technologies alleviated this constraint, they were not by themselves sufficient.

I N T R O D U C T I O N 27

Japan, and, to a lesser extent, India. Further arguments might be made about dense populations, the pooling of information, and the likelihood of certain kinds of technological and institutional changes, though these are less straight- forward.

A final, though less intellectually defensible, point is that my own train- ing has equipped me better to write about China, Europe, and Japan than about other places and to access the relatively large piles of existing research on them. What James Blaut refers to as “uniformitarianism”—the idea that at a certain point (in his analysis, 1492), many interconnected parts of Afro- Eurasia had roughly similar potential for “dynamism” in general, and thus for “modernity”36—is a useful point of departure, but has limits we must discover empirically. It would be a remarkable coincidence if it turned out to be applica- ble everywhere, and there is much evidence that it is not. My own guess, as made above, is that population density will turn out to be extremely important, and thus that it is more likely that, say, north India will turn out to belong with China, Japan, and western Europe than, say, central Asia or even the Ottoman Empire.37 (It is worth remembering in this connection that anyone attempting to write a book like this ten years ago would have had a much harder time finding literature to support the case I make for China than I have; twenty-five years ago it would have been hard even for Japan.) But with the literature available now—both based on my own limits and the limits of our knowl- edge—the geographic emphases in this book seem adequate to at least put new questions on our agendas. The places I look at relatively closely are not the world, nor does the rest of the world only matter as it interacts with them, or when it serves as a negative example, illuminating, for instance, how eastern Europe shows what China and western Europe share by being much more different from both China and western Europe than China and western Europe are from each other. But this is, I think, a reasonable distribution for rethinking where our current industrialized era came from.

36 Blaut 1993: 42, 124, 152. 37 On Ottoman population, which seems to have been both relatively sparse in most of the

empire and declining for most of the eighteenth century, see McGowan 1994: 646–57.

1170 Marx - Manifesto of the Communist Party (chapter 1).pdf

Manifesto of the Communist Party

Chapter 1 A spectre is haunting Europe — the spectre of

communism. All the powers of old Europe have entered into a holy alliance to exorcise this spectre: Pope and Tsar, Metternich and Guizot, French Radicals and German police-spies.

Where is the party in opposition that has not been decried as communistic by its opponents in power? Where is the opposition that has not hurled back the branding reproach of communism, against the more advanced opposition parties, as well as against its reactionary adversaries?

Two things result from this fact:

I. Communism is already acknowledged by all European powers to be itself a power.

II. It is high time that Communists should openly, in the face of the whole world, publish their views, their aims, their tendencies, and meet this nursery tale of the Spectre of Communism with a manifesto of the party itself.

To this end, Communists of various nationalities have assembled in London and sketched the following manifesto, to be published in the

English, French, German, Italian, Flemish and Danish languages.

Chapter I. Bourgeois and Proletarians(1)

[German Original]

The history of all hitherto existing society(2) is the history of class struggles.

Freeman and slave, patrician and plebeian, lord and serf, guild-master(3) and journeyman, in a word, oppressor and oppressed, stood in constant opposition to one another, carried on an uninterrupted, now hidden, now open fight, a fight that each time ended, either in a revolutionary reconstitution of society at large, or in the common ruin of the contending classes.

In the earlier epochs of history, we find almost everywhere a complicated arrangement of society into various orders, a manifold gradation of social rank. In ancient Rome we have patricians, knights, plebeians, slaves; in the Middle Ages, feudal lords, vassals, guild-masters, journeymen, apprentices, serfs; in almost all of these classes, again, subordinate gradations.

The modern bourgeois society that has sprouted from the ruins of feudal society has not done away with class antagonisms. It has but established new

classes, new conditions of oppression, new forms of struggle in place of the old ones.

Our epoch, the epoch of the bourgeoisie, possesses, however, this distinct feature: it has simplified class antagonisms. Society as a whole is more and more splitting up into two great hostile camps, into two great classes directly facing each other — Bourgeoisie and Proletariat.

From the serfs of the Middle Ages sprang the chartered burghers of the earliest towns. From these burgesses the first elements of the bourgeoisie were developed.

The discovery of America, the rounding of the Cape, opened up fresh ground for the rising bourgeoisie. The East-Indian and Chinese markets, the colonisation of America, trade with the colonies, the increase in the means of exchange and in commodities generally, gave to commerce, to navigation, to industry, an impulse never before known, and thereby, to the revolutionary element in the tottering feudal society, a rapid development.

The feudal system of industry, in which industrial production was monopolised by closed guilds, now no longer sufficed for the growing wants of the new markets. The manufacturing system took its place. The guild-masters were pushed on one side by the manufacturing middle class; division of labour between the different corporate guilds vanished in the face of division of labour in each single workshop.

Meantime the markets kept ever growing, the demand ever rising. Even manufacturer no longer

sufficed. Thereupon, steam and machinery revolutionised industrial production. The place of manufacture was taken by the giant, Modern Industry; the place of the industrial middle class by industrial millionaires, the leaders of the whole industrial armies, the modern bourgeois.

Modern industry has established the world market, for which the discovery of America paved the way. This market has given an immense development to commerce, to navigation, to communication by land. This development has, in its turn, reacted on the extension of industry; and in proportion as industry, commerce, navigation, railways extended, in the same proportion the bourgeoisie developed, increased its capital, and pushed into the background every class handed down from the Middle Ages.

We see, therefore, how the modern bourgeoisie is itself the product of a long course of development, of a series of revolutions in the modes of production and of exchange.

Each step in the development of the bourgeoisie was accompanied by a corresponding political advance of that class. An oppressed class under the sway of the feudal nobility, an armed and self- governing association in the medieval commune(4): here independent urban republic (as in Italy and Germany); there taxable “third estate” of the monarchy (as in France); afterwards, in the period of manufacturing proper, serving either the semi- feudal or the absolute monarchy as a counterpoise against the nobility, and, in fact, cornerstone of the great monarchies in general, the bourgeoisie has at

last, since the establishment of Modern Industry and of the world market, conquered for itself, in the modern representative State, exclusive political sway. The executive of the modern state is but a committee for managing the common affairs of the whole bourgeoisie.

The bourgeoisie, historically, has played a most revolutionary part.

The bourgeoisie, wherever it has got the upper hand, has put an end to all feudal, patriarchal, idyllic relations. It has pitilessly torn asunder the motley feudal ties that bound man to his “natural superiors”, and has left remaining no other nexus between man and man than naked self-interest, than callous “cash payment”. It has drowned the most heavenly ecstasies of religious fervour, of chivalrous enthusiasm, of philistine sentimentalism, in the icy water of egotistical calculation. It has resolved personal worth into exchange value, and in place of the numberless indefeasible chartered freedoms, has set up that single, unconscionable freedom — Free Trade. In one word, for exploitation, veiled by religious and political illusions, it has substituted naked, shameless, direct, brutal exploitation.

The bourgeoisie has stripped of its halo every occupation hitherto honoured and looked up to with reverent awe. It has converted the physician, the lawyer, the priest, the poet, the man of science, into its paid wage labourers.

The bourgeoisie has torn away from the family its sentimental veil, and has reduced the family relation to a mere money relation.

The bourgeoisie has disclosed how it came to pass that the brutal display of vigour in the Middle Ages, which reactionaries so much admire, found its fitting complement in the most slothful indolence. It has been the first to show what man’s activity can bring about. It has accomplished wonders far surpassing Egyptian pyramids, Roman aqueducts, and Gothic cathedrals; it has conducted expeditions that put in the shade all former Exoduses of nations and crusades.

The bourgeoisie cannot exist without constantly revolutionising the instruments of production, and thereby the relations of production, and with them the whole relations of society. Conservation of the old modes of production in unaltered form, was, on the contrary, the first condition of existence for all earlier industrial classes. Constant revolutionising of production, uninterrupted disturbance of all social conditions, everlasting uncertainty and agitation distinguish the bourgeois epoch from all earlier ones. All fixed, fast-frozen relations, with their train of ancient and venerable prejudices and opinions, are swept away, all new-formed ones become antiquated before they can ossify. All that is solid melts into air, all that is holy is profaned, and man is at last compelled to face with sober senses his real conditions of life, and his relations with his kind.

The need of a constantly expanding market for its products chases the bourgeoisie over the entire

surface of the globe. It must nestle everywhere, settle everywhere, establish connexions everywhere.

The bourgeoisie has through its exploitation of the world market given a cosmopolitan character to production and consumption in every country. To the great chagrin of Reactionists, it has drawn from under the feet of industry the national ground on which it stood. All old-established national industries have been destroyed or are daily being destroyed. They are dislodged by new industries, whose introduction becomes a life and death question for all civilised nations, by industries that no longer work up indigenous raw material, but raw material drawn from the remotest zones; industries whose products are consumed, not only at home, but in every quarter of the globe. In place of the old wants, satisfied by the production of the country, we find new wants, requiring for their satisfaction the products of distant lands and climes. In place of the old local and national seclusion and self-sufficiency, we have intercourse in every direction, universal inter-dependence of nations. And as in material, so also in intellectual production. The intellectual creations of individual nations become common property. National one- sidedness and narrow-mindedness become more and more impossible, and from the numerous national and local literatures, there arises a world literature.

The bourgeoisie, by the rapid improvement of all instruments of production, by the immensely facilitated means of communication, draws all, even the most barbarian, nations into civilisation.

The cheap prices of commodities are the heavy artillery with which it batters down all Chinese walls, with which it forces the barbarians’ intensely obstinate hatred of foreigners to capitulate. It compels all nations, on pain of extinction, to adopt the bourgeois mode of production; it compels them to introduce what it calls civilisation into their midst, i.e., to become bourgeois themselves. In one word, it creates a world after its own image.

The bourgeoisie has subjected the country to the rule of the towns. It has created enormous cities, has greatly increased the urban population as compared with the rural, and has thus rescued a considerable part of the population from the idiocy of rural life. Just as it has made the country dependent on the towns, so it has made barbarian and semi-barbarian countries dependent on the civilised ones, nations of peasants on nations of bourgeois, the East on the West.

The bourgeoisie keeps more and more doing away with the scattered state of the population, of the means of production, and of property. It has agglomerated population, centralised the means of production, and has concentrated property in a few hands. The necessary consequence of this was political centralisation. Independent, or but loosely connected provinces, with separate interests, laws, governments, and systems of taxation, became lumped together into one nation, with one government, one code of laws, one national class- interest, one frontier, and one customs-tariff.

The bourgeoisie, during its rule of scarce one hundred years, has created more massive and more

colossal productive forces than have all preceding generations together. Subjection of Nature’s forces to man, machinery, application of chemistry to industry and agriculture, steam-navigation, railways, electric telegraphs, clearing of whole continents for cultivation, canalisation of rivers, whole populations conjured out of the ground — what earlier century had even a presentiment that such productive forces slumbered in the lap of social labour?

We see then: the means of production and of exchange, on whose foundation the bourgeoisie built itself up, were generated in feudal society. At a certain stage in the development of these means of production and of exchange, the conditions under which feudal society produced and exchanged, the feudal organisation of agriculture and manufacturing industry, in one word, the feudal relations of property became no longer compatible with the already developed productive forces; they became so many fetters. They had to be burst asunder; they were burst asunder.

Into their place stepped free competition, accompanied by a social and political constitution adapted in it, and the economic and political sway of the bourgeois class.

A similar movement is going on before our own eyes. Modern bourgeois society, with its relations of production, of exchange and of property, a society that has conjured up such gigantic means of production and of exchange, is like the sorcerer who is no longer able to control the powers of the nether world whom he has called up by his spells.

For many a decade past the history of industry and commerce is but the history of the revolt of modern productive forces against modern conditions of production, against the property relations that are the conditions for the existence of the bourgeois and of its rule. It is enough to mention the commercial crises that by their periodical return put the existence of the entire bourgeois society on its trial, each time more threateningly. In these crises, a great part not only of the existing products, but also of the previously created productive forces, are periodically destroyed. In these crises, there breaks out an epidemic that, in all earlier epochs, would have seemed an absurdity — the epidemic of over-production. Society suddenly finds itself put back into a state of momentary barbarism; it appears as if a famine, a universal war of devastation, had cut off the supply of every means of subsistence; industry and commerce seem to be destroyed; and why? Because there is too much civilisation, too much means of subsistence, too much industry, too much commerce. The productive forces at the disposal of society no longer tend to further the development of the conditions of bourgeois property; on the contrary, they have become too powerful for these conditions, by which they are fettered, and so soon as they overcome these fetters, they bring disorder into the whole of bourgeois society, endanger the existence of bourgeois property. The conditions of bourgeois society are too narrow to comprise the wealth created by them. And how does the bourgeoisie get over these crises? On the one hand by enforced destruction of a mass of productive forces; on the other, by the conquest of new markets, and by the more thorough exploitation of

the old ones. That is to say, by paving the way for more extensive and more destructive crises, and by diminishing the means whereby crises are prevented.

The weapons with which the bourgeoisie felled feudalism to the ground are now turned against the bourgeoisie itself.

But not only has the bourgeoisie forged the weapons that bring death to itself; it has also called into existence the men who are to wield those weapons — the modern working class — the proletarians.

In proportion as the bourgeoisie, i.e., capital, is developed, in the same proportion is the proletariat, the modern working class, developed — a class of labourers, who live only so long as they find work, and who find work only so long as their labour increases capital. These labourers, who must sell themselves piecemeal, are a commodity, like every other article of commerce, and are consequently exposed to all the vicissitudes of competition, to all the fluctuations of the market.

Owing to the extensive use of machinery, and to the division of labour, the work of the proletarians has lost all individual character, and, consequently, all charm for the workman. He becomes an appendage of the machine, and it is only the most simple, most monotonous, and most easily acquired knack, that is required of him. Hence, the cost of production of a workman is restricted, almost entirely, to the means of subsistence that he requires for maintenance, and for the propagation

of his race. But the price of a commodity, and therefore also of labour, is equal to its cost of production. In proportion, therefore, as the repulsiveness of the work increases, the wage decreases. Nay more, in proportion as the use of machinery and division of labour increases, in the same proportion the burden of toil also increases, whether by prolongation of the working hours, by the increase of the work exacted in a given time or by increased speed of machinery, etc.

Modern Industry has converted the little workshop of the patriarchal master into the great factory of the industrial capitalist. Masses of labourers, crowded into the factory, are organised like soldiers. As privates of the industrial army they are placed under the command of a perfect hierarchy of officers and sergeants. Not only are they slaves of the bourgeois class, and of the bourgeois State; they are daily and hourly enslaved by the machine, by the overlooker, and, above all, by the individual bourgeois manufacturer himself. The more openly this despotism proclaims gain to be its end and aim, the more petty, the more hateful and the more embittering it is.

The less the skill and exertion of strength implied in manual labour, in other words, the more modern industry becomes developed, the more is the labour of men superseded by that of women. Differences of age and sex have no longer any distinctive social validity for the working class. All are instruments of labour, more or less expensive to use, according to their age and sex.

No sooner is the exploitation of the labourer by the manufacturer, so far, at an end, that he receives his wages in cash, than he is set upon by the other portions of the bourgeoisie, the landlord, the shopkeeper, the pawnbroker, etc.

The lower strata of the middle class — the small tradespeople, shopkeepers, and retired tradesmen generally, the handicraftsmen and peasants — all these sink gradually into the proletariat, partly because their diminutive capital does not suffice for the scale on which Modern Industry is carried on, and is swamped in the competition with the large capitalists, partly because their specialised skill is rendered worthless by new methods of production. Thus the proletariat is recruited from all classes of the population.

The proletariat goes through various stages of development. With its birth begins its struggle with the bourgeoisie. At first the contest is carried on by individual labourers, then by the workpeople of a factory, then by the operative of one trade, in one locality, against the individual bourgeois who directly exploits them. They direct their attacks not against the bourgeois conditions of production, but against the instruments of production themselves; they destroy imported wares that compete with their labour, they smash to pieces machinery, they set factories ablaze, they seek to restore by force the vanished status of the workman of the Middle Ages.

At this stage, the labourers still form an incoherent mass scattered over the whole country, and broken up by their mutual competition. If

anywhere they unite to form more compact bodies, this is not yet the consequence of their own active union, but of the union of the bourgeoisie, which class, in order to attain its own political ends, is compelled to set the whole proletariat in motion, and is moreover yet, for a time, able to do so. At this stage, therefore, the proletarians do not fight their enemies, but the enemies of their enemies, the remnants of absolute monarchy, the landowners, the non-industrial bourgeois, the petty bourgeois. Thus, the whole historical movement is concentrated in the hands of the bourgeoisie; every victory so obtained is a victory for the bourgeoisie.

But with the development of industry, the proletariat not only increases in number; it becomes concentrated in greater masses, its strength grows, and it feels that strength more. The various interests and conditions of life within the ranks of the proletariat are more and more equalised, in proportion as machinery obliterates all distinctions of labour, and nearly everywhere reduces wages to the same low level. The growing competition among the bourgeois, and the resulting commercial crises, make the wages of the workers ever more fluctuating. The increasing improvement of machinery, ever more rapidly developing, makes their livelihood more and more precarious; the collisions between individual workmen and individual bourgeois take more and more the character of collisions between two classes. Thereupon, the workers begin to form combinations (Trades’ Unions) against the bourgeois; they club together in order to keep up the rate of wages; they found permanent associations in order to make provision beforehand

for these occasional revolts. Here and there, the contest breaks out into riots.

Now and then the workers are victorious, but only for a time. The real fruit of their battles lies, not in the immediate result, but in the ever expanding union of the workers. This union is helped on by the improved means of communication that are created by modern industry, and that place the workers of different localities in contact with one another. It was just this contact that was needed to centralise the numerous local struggles, all of the same character, into one national struggle between classes. But every class struggle is a political struggle. And that union, to attain which the burghers of the Middle Ages, with their miserable highways, required centuries, the modern proletarian, thanks to railways, achieve in a few years.

This organisation of the proletarians into a class, and, consequently into a political party, is continually being upset again by the competition between the workers themselves. But it ever rises up again, stronger, firmer, mightier. It compels legislative recognition of particular interests of the workers, by taking advantage of the divisions among the bourgeoisie itself. Thus, the ten-hours’ bill in England was carried.

Altogether collisions between the classes of the old society further, in many ways, the course of development of the proletariat. The bourgeoisie finds itself involved in a constant battle. At first with the aristocracy; later on, with those portions of the bourgeoisie itself, whose interests have

become antagonistic to the progress of industry; at all time with the bourgeoisie of foreign countries. In all these battles, it sees itself compelled to appeal to the proletariat, to ask for help, and thus, to drag it into the political arena. The bourgeoisie itself, therefore, supplies the proletariat with its own elements of political and general education, in other words, it furnishes the proletariat with weapons for fighting the bourgeoisie.

Further, as we have already seen, entire sections of the ruling class are, by the advance of industry, precipitated into the proletariat, or are at least threatened in their conditions of existence. These also supply the proletariat with fresh elements of enlightenment and progress.

Finally, in times when the class struggle nears the decisive hour, the progress of dissolution going on within the ruling class, in fact within the whole range of old society, assumes such a violent, glaring character, that a small section of the ruling class cuts itself adrift, and joins the revolutionary class, the class that holds the future in its hands. Just as, therefore, at an earlier period, a section of the nobility went over to the bourgeoisie, so now a portion of the bourgeoisie goes over to the proletariat, and in particular, a portion of the bourgeois ideologists, who have raised themselves to the level of comprehending theoretically the historical movement as a whole.

Of all the classes that stand face to face with the bourgeoisie today, the proletariat alone is a really revolutionary class. The other classes decay and

finally disappear in the face of Modern Industry; the proletariat is its special and essential product.

The lower middle class, the small manufacturer, the shopkeeper, the artisan, the peasant, all these fight against the bourgeoisie, to save from extinction their existence as fractions of the middle class. They are therefore not revolutionary, but conservative. Nay more, they are reactionary, for they try to roll back the wheel of history. If by chance, they are revolutionary, they are only so in view of their impending transfer into the proletariat; they thus defend not their present, but their future interests, they desert their own standpoint to place themselves at that of the proletariat.

The “dangerous class”, [lumpenproletariat] the social scum, that passively rotting mass thrown off by the lowest layers of the old society, may, here and there, be swept into the movement by a proletarian revolution; its conditions of life, however, prepare it far more for the part of a bribed tool of reactionary intrigue.

In the condition of the proletariat, those of old society at large are already virtually swamped. The proletarian is without property; his relation to his wife and children has no longer anything in common with the bourgeois family relations; modern industry labour, modern subjection to capital, the same in England as in France, in America as in Germany, has stripped him of every trace of national character. Law, morality, religion, are to him so many bourgeois prejudices, behind

which lurk in ambush just as many bourgeois interests.

All the preceding classes that got the upper hand sought to fortify their already acquired status by subjecting society at large to their conditions of appropriation. The proletarians cannot become masters of the productive forces of society, except by abolishing their own previous mode of appropriation, and thereby also every other previous mode of appropriation. They have nothing of their own to secure and to fortify; their mission is to destroy all previous securities for, and insurances of, individual property.

All previous historical movements were movements of minorities, or in the interest of minorities. The proletarian movement is the self- conscious, independent movement of the immense majority, in the interest of the immense majority. The proletariat, the lowest stratum of our present society, cannot stir, cannot raise itself up, without the whole superincumbent strata of official society being sprung into the air.

Though not in substance, yet in form, the struggle of the proletariat with the bourgeoisie is at first a national struggle. The proletariat of each country must, of course, first of all settle matters with its own bourgeoisie.

In depicting the most general phases of the development of the proletariat, we traced the more or less veiled civil war, raging within existing society, up to the point where that war breaks out into open revolution, and where the violent

overthrow of the bourgeoisie lays the foundation for the sway of the proletariat.

Hitherto, every form of society has been based, as we have already seen, on the antagonism of oppressing and oppressed classes. But in order to oppress a class, certain conditions must be assured to it under which it can, at least, continue its slavish existence. The serf, in the period of serfdom, raised himself to membership in the commune, just as the petty bourgeois, under the yoke of the feudal absolutism, managed to develop into a bourgeois. The modern labourer, on the contrary, instead of rising with the process of industry, sinks deeper and deeper below the conditions of existence of his own class. He becomes a pauper, and pauperism develops more rapidly than population and wealth. And here it becomes evident, that the bourgeoisie is unfit any longer to be the ruling class in society, and to impose its conditions of existence upon society as an over-riding law. It is unfit to rule because it is incompetent to assure an existence to its slave within his slavery, because it cannot help letting him sink into such a state, that it has to feed him, instead of being fed by him. Society can no longer live under this bourgeoisie, in other words, its existence is no longer compatible with society.

The essential conditions for the existence and for the sway of the bourgeois class is the formation and augmentation of capital; the condition for capital is wage-labour. Wage-labour rests exclusively on competition between the labourers. The advance of industry, whose involuntary promoter is the bourgeoisie, replaces the isolation

of the labourers, due to competition, by the revolutionary combination, due to association. The development of Modern Industry, therefore, cuts from under its feet the very foundation on which the bourgeoisie produces and appropriates products. What the bourgeoisie therefore produces, above all, are its own grave-diggers. Its fall and the victory of the proletariat are equally inevitable.

Chapter 2: Proletarians and Communists

1. By bourgeoisie is meant the class of modern capitalists, owners of the means of social production and employers of wage labour.

By proletariat, the class of modern wage labourers who, having no means of production of their own, are reduced to selling their labour power in order to live. [Engels, 1888 English edition]

2. That is, all written history. In 1847, the pre-history of society, the social organisation existing previous to recorded history, all but unknown. Since then, August von Haxthausen (1792-1866) discovered common ownership of land in Russia, Georg Ludwig von Maurer proved it to be the social foundation from which all Teutonic races started in history, and, by and by, village communities were found to be, or to have been, the primitive form of society everywhere from India to Ireland. The inner organisation of this primitive communistic society was laid bare, in its typical form, by

Lewis Henry Morgan's (1818-1861) crowning discovery of the true nature of the gens and its relation to the tribe. With the dissolution of the primeval communities, society begins to be differentiated into separate and finally antagonistic classes. I have attempted to retrace this dissolution in The Origin of the Family, Private Property, and the State, second edition, Stuttgart, 1886. [Engels, 1888 English Edition and 1890 German Edition (with the last sentence omitted)]

3. Guild-master, that is, a full member of a guild, a master within, not a head of a guild. [Engels, 1888 English Edition]

4. This was the name given their urban communities by the townsmen of Italy and France, after they had purchased or conquered their initial rights of self- government from their feudal lords. [Engels, 1890 German edition]

“Commune” was the name taken in France by the nascent towns even before they had conquered from their feudal lords and masters local self-government and political rights as the “Third Estate.” Generally speaking, for the economical development of the bourgeoisie, England is here taken as the typical country, for its political development, France. [Engels, 1888 English Edition]

Table of Contents: Manifesto of the Communist Party | Marx-Engels Archive

1170 Gramsci - Hegemony, Relations of Force, Historical Bloc.pdf

VI HEGEMONY, RELATIONS OF FORCE, HISTORICAL BLOC

Introduction

The reality in which Gramsci found himself after 1926 was one in which socialist revolutions had either been defeated or had failed to take place in the West, where capitalism had managed to survive the post-war economic crisis and stabilize itself, where parliamentary regimes had stood firm or had been replaced with authoritarian ones. These conditions were very different from those of the phase of revolutionary offensive between 1917 and 1921. They demanded .a new analysis of the political and ideological resources of capitalist societies, the sources of their extraordinary resilience. They also demanded a new strategy, one which would be different from that which had worked in Russia in 1917.

It is the basis of such an analysis and strategy that Gramsci sought to develop in the prison notebooks. One important strand of this work was theoretical. The Marxist tradition in which he had matured as a political militant was strong on general predictions about the course of capitalist development and about connections between economic crises and political transformation. But it was weak on detailed analyses of the forms of political power, the concrete relations between social classes and political represen- tation and the cultural and ideological forms in which social antagonisms are fought out or regulated and dissipated. There was no adequate Marxist theory of the state or of what Gramsci called the 'sphere of the complex superstructures': political, legal, cultural. In order to conduct his analysis, therefore, Gramsci needed to make a theoretical critique of mechanistic forms of historical materialism, most notably 'economism' (see Glossary of Key Terms). He then needed to expand the space occupied by politics in the Marxist tradition.

To do this he went back not to the Marx of Capital or the Engels of Anti-Diihring but to the Theses on Feuerbach and to Marx and Engels's historical texts (The Eighteenth Brumaire of Louis

189

190 A Gramsci Reader Bonaparte, The Civil War in France, Revolution and Counter- Revolution in Germany). He also drew on a non-Marxist source the Italian idealist philosopher Benedetto Croce - for the latter's insights into the 'ethico-political' sphere, that is to say the ideological, moral and cultural cements which bond a society together. Significantly, too, he went back to the passage on structure (base) and superstructure in Marx's 1859 Preface to A Contribution to the Critique of Political Economy and read it in a strongly anti-economistic way. What the passage says, for Gramsci. is that changing socio-economic circumstances do not of themselves 'produce' political changes. They only set the conditions in which such changes become possible. What is crucial, in bringing about these changes, are the 'relations of force' obtaining at the political level, the degree of political organization and combativity of the opposing forces, the strength of the political alliances which they manage to bind together and their level of political consciousness, of preparation of the struggle on the ideological terrain. It is in the context of this discussion that two central concepts develop: 'hegemony' and 'historical bloc'.

1 Structure and Superstructure [il

Economy and ideology. The claim (presented as an essential postulate of historical materialism) that every fluctuation of politics and ideology can be presented and expounded as an immediate expression of the structure, must be contested in theory as primitive infantilism, and combated in practice with the authentic testimony of Marx, the author of concrete political and historical works. Particularly important from this point of view are The Eighteenth Brumaire and the writings on the Eastern Question, but also other writings (Revolution and Counter- Revolution in Germany, The Civil War in France and lesser works). An analysis of these works allows one to establish better the Marxist historical methodology, integrating, illuminating and interpreting the theoretical affirmations scattered throughout his works.

One will be able to see from this the real precautions introduced

VI Hegemony, Relations of Force, Historical Bloc 191 by Marx into his concrete researches, precautions which could have no place in his general works. [ ... ] Among these precautions the following examples can be enumerated:

1. The difficulty of identifying at any given time, statically (like an instantaneous photographic image) the structure. Politics in fact is at any given time the reflection of the tendencies of development in the structure, but it is not necessarily the case that these tendencies must be realized. A structural phase can be concretely studied and analysed only after it has gone through its whole process of development, and not during the process itself, except hypothetically and with the explicit proviso that one is dealing with hypotheses.

2. From this it can be deduced that a particular political act may have been an error of calculation on the part of the leaders of the dominant classes, an error which historical development, through the parliamentary and governmental 'crises' of the ruling classes, then corrects and goes beyond. Mechanical historical materialism does not allow for the possibility of error, but assumes that every political act is determined, immediately, by the structure, and therefore as a real and permanent (in the sense of achieved) modification of the structure. The principle of 'error' is a complex one: one may be dealing with an individual impulse based on mistaken calculations or equally it may be a manifestation of the attempts of specific groups or sects to take over hegemony within the directive grouping, attempts which may well be unsuccessful.

3. It is not sufficiently borne in mind that many political acts are due to internal necessities of an organizational character, that is they are tied to the need to give coherence to a party, a group, a society. This is made clear for example in the history of the Catholic Church. If, for every ideological struggle within the Church one wanted to find an immediate primary explanation in the structure one would really be caught napping: all sorts of politico-economic romances have been written for this reason. It is evident on the contrary that the majority of these discussions are connected with sectarian and organizational necessities. In the discussion between Rome and Byzantium on the Procession of the Holy Spirit, 1 it would be ridiculous to look in the structure of the European East for the claim that it proceeds only from the Father, and in that of the West for the claim that it proceeds from the Father and the Son. The two Churches,' whose existence and

192 A Gramsci Reader

whose conflict is dependent on the structure and on the whole of history, posed questions which are principles of distinction and internal cohesion for each side, but it could have happened that either of the Churches could have argued what in fact was argued by the other. The principle of distinction and conflict would have been upheld all the same, and it is this problem of distinction and conflict that constitutes the historical problem, not the banner that happened to be hoisted by one side or the \Jther. [ ... ]

SPN, 407-9 (Q7§24)

2 [Structure and Superstructure ii]

The proposition contained in the Preface to A Contribution to the Critique of Political Economy to the effect that men acquire consciousness of structural conflicts on the level of ideologies should be considered as an affirmation of epistemological and not simply psychological and moral value. 2 From this, it follows that the theoretical-practical principle of hegemony has also episte- mological significance, and it is here that Ilyich [Lenin]'s greatest theoretical contribution to the philosophy of praxis should be sought. In these terms one could say that Ilyich advanced philosophy as philosophy in so far as he advanced political doctrine and practice. The realization of a hegemonic apparatus, in so far as it creates a new ideological terrain, determines a reform of consciousness and of methods of knowledge: it is a fact of knowledge, a philosophical fact. In Croce an terms: when one succeeds in introducing a new morality in conformity with a new conception of the world, one finishes by introducing the conception as well; in other words, one determines a reform of the whole of philosophy.

SPN, 365-6 (Q10,1I§12)

3 Structure and Superstructures [iii]

Structures and superstructures form a 'historical bloc'. That is to say the complex, contradictory and discordant ensemble of the superstructures is the reflection of the ensemble of the social relations of production. From this, one can conclude: that only a

VI Hegemony, Relations of Force, Historical Bloc 193

totalitarian system of ideologies gives a rational reflection of the contradiction of the structure and represents the existence of the objective conditions for the revolutionizing of praxis. 3 If a social group is formed which is one hundred per cent homogeneous on the level of ideology, this means that the premisses exist one hundred per cent for this revolutionizing: that is that the 'rational' is actively and actually real. This reasoning is based on the necessary recipro- city between structure and superstructures, a reciprocity which is nothing other than the real dialectical process.

SPN, 366 (Q8§182)

4 [The Concept of 'Historical Bloc']

[...] Croce's assertion that the philosophy of praxis 'detaches' the structure from the superstructures, thereby reviving theological dualism and positing a 'structure as hidden god', is not correct and it is not even a particularly profound invention. The accusation of theological dualism and of a breaking up of the process of reality is vacuous and superficial. It is strange that such an accusation should have come from Croce, who introduced the concept of the dialectic of distincts and for this is always being accused by the followers of Gentile of having himself broken up the process of reality.4 But, leaving this aside, it is not true that the philosophy of praxis 'detaches' the structure from the superstructures when, rather, it conceives their development as intimately connected and necessarily interrelated and reciprocal. Nor can the structure be likened to a 'hidden god', even metaphorically. It is conceived in an ultra-realistic way, such that it can be studied with the methods of the natural and exact sciences. Indeed, it is precisely because of this objectively verifiable 'consistency' of the structure that the conception of history has been considered 'scientific'. Is it perhaps that the structure is thought of as something immobile and absolute and not rather as reality itself in movement? And does not the statement in the Theses on Feuerbach about the 'educator who must be educated' posit a necessary relation of active reaction by man upon the structure, affirming the unity of the process of reality? The concept of 'historical bloc' constructed by Sorel

194 A Gramsci Reader

grasped precisely in full this unity upheld by the philosophy of praxis.s [ ... ]

* (QlO,II§4U)

5 [Ethico-Political History]

Definition of the concept of ethico-politicfil history. Note that ethico-political history is an arbitrary and mechanical hypostasis of the moment of hegemony, of political leadership, of consent in the life and activities of the state and civil society. [ ... ]

The most important problem to discuss in this paragraph is this: whether the philosophy of praxis excludes ethico-political history, whether it fails to recognize the reality of a moment of hegemony, treats moral and cultural leadership as unimportant and really judges superstructural facts as 'appearances'. One can say that not only does the philosophy of praxis not exclude ethico-political history but that, indeed, in its most recent stage of development, it consists precisely in asserting the moment of hegemony as essential to its conception of the state and to the 'accrediting' of the cultural fact, of cultural activity, of a cultural front as necessary alongside the merely economic and political ones. Croce commits the serious error of not applying to his criticism of the philosophy of praxis the methodological criteria that he applies to his study of much less important and significant philosophical currents. If he were to employ these criteria, he would be able to discover that the judgement contained in his attribution of the term 'appearance' to superstructures is none other than a judgement of their 'historicity' expressed in opposition to popular dogmatic conceptions and therefore couched in a 'metaphorical' language adapted to the public to whom it is destined. The philosophy of praxis thus judges the reduction of history to ethico-political history alone as improper and arbitrary, but does not exclude the latter. The opposition between Crocism and the philosophy of praxis is to be sought in the speculative character of Crocism.

SCW, 104-7 (QlO,I§7)

VI Hegemony, Relations of Force, Historical Bloc 195

6 [Ethico-Political History and Hegemony]

From everything that has been said previously it emerges that Croce's historiographical conception of history as ethico-political history must not be judged as futile, as something to be rejected out of hand. On the contrary, it needs to be forcefully established that Croce's historical thought, even in its most recent phase, must be studied and reflected upon with the greatest attention. Essentially it represents a reaction against 'economism' and fatalistic mechanicism, even though it is put forward as the destructive supersession of the philosophy of praxis. The criterion that a philosophical current must be criticized and evaluated not for what it professes to be but for what it really is and shows itself to be in concrete historical works applies to Croce's thought too. For the philosophy of praxis the speculative method itself is not futile, but has generated 'instrumental' values of thought in the development of culture, instrumental values which the philosophy of praxis has incorporated (the dialectic, for example). Credit must therefore, at the very least, be given to Croce's thought as an instrumental value, and in this respect it may be said that it has forcefully drawn attention to the importance of facts of culture and thought in the development of history, to the function of great intellectuals in the organic life of civil society and the state, to the moment of hegemony and consent as the necessary form of the concrete historical bloc. That this is not futile is demonstrated by the fact that, in the same period as Croce, the greatest modern theorist of the philosophy of praxis [Lenin] has - on the terrain of political struggle and organization, and with political terminology - in opposition to the various tendencies of 'economism', revalued the front of cultural struggle and constructed the doctrine of hegemony as a complement to the theory of the state-as-force and as a contemporary form of the 1848 doctrine of 'permanent revolution'. 6 For the philosophy of praxis the conception of ethico-political history, in that it is independent of any realist conception, may be adopted as an 'empirical tool' of historical research, one which needs constantly to be borne in mind in examining and understanding historical development, if the aim is that of· producing integral history and not partial and extrinsic history (history of economic forces as such etc.).

* (QlO,I§12)

1170 Darwin - Origin of Species.pdf

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Excerpts from The Origin of Species (First Edition, 1859) by Charles Darwin (accessed from http://pages.britishlibrary.net/charles.darwin/texts/origin1859/origin01.html) Introduction When on board H.M.S. Beagle, as naturalist, I was much struck with certain facts in the distribution of the inhabitants of South America, and in the geological relations of the present to the past inhabitants of that continent. These facts seemed to me to throw some light on the origin of species -- that mystery of mysteries, as it has been called by one of our greatest philosophers. On my return home, it occurred to me, in 1837, that something might perhaps be made out on this question by patiently accumulating and reflecting on all sorts of facts which could possibly have any bearing on it. After five years' work I allowed myself to speculate on the subject, and drew up some short notes; these I enlarged in 1844 into a sketch of the conclusions, which then seemed to me probable: from that period to the present day I have steadily pursued the same object. I hope that I may be excused for entering on these personal details, as I give them to show that I have not been hasty in coming to a decision. My work is now nearly finished; but as it will take me two or three more years to complete it, and as my health is far from strong, I have been urged to publish this Abstract. I have more especially been induced to do this, as Mr Wallace, who is now studying the natural history of the Malay archipelago, has arrived at almost exactly the same general conclusions that I have on the origin of species. Last year he sent to me a memoir on this subject, with a request that I would forward it to Sir Charles Lyell, who sent it to the Linnean Society, and it is published in the third volume of the journal of that Society. Sir C. Lyell and Dr Hooker, who both knew of my work -- the latter having read my sketch of 1844 -- honoured me by thinking it advisable to publish, with Mr Wallace's excellent memoir, some brief extracts from my manuscripts. This Abstract, which I now publish, must necessarily be imperfect. I cannot here give references and authorities for my several statements; and I must trust to the reader reposing some confidence in my accuracy. No doubt errors will have crept in, though I hope I have always been cautious in trusting to good authorities alone. I can here give only the general conclusions at which I have arrived, with a few facts in illustration, but which, I hope, in most cases will suffice. No one can feel more sensible than I do of the necessity of hereafter publishing in detail all the facts, with references, on which my conclusions have been grounded; and I hope in a future work to do this. For I am well aware that scarcely a single point is discussed in this volume on which facts cannot be adduced, often apparently leading to conclusions directly opposite to those at which I have arrived. A fair result can be obtained only by fully stating and balancing the facts and arguments on both sides of each question; and this cannot possibly be here done. I much regret that want of space prevents my having the satisfaction of acknowledging the generous assistance which I have received from very many naturalists, some of them personally unknown to me. I cannot, however, let this opportunity pass without expressing my deep obligations to Dr Hooker, who for the last fifteen years has aided me in every possible way by his large stores of knowledge and his excellent judgement. In considering the Origin of Species, it is quite conceivable that a naturalist, reflecting on the mutual affinities of organic beings, on their embryological relations, their geographical distribution, geological succession, and other such facts, might come to the conclusion that each species had not been independently created, but had descended, like varieties, from other species. Nevertheless, such a conclusion, even if well founded, would be unsatisfactory, until it could be shown how the innumerable species inhabiting this world have been modified so as to acquire that perfection of structure and co- adaptation which most justly excites our admiration. Naturalists continually refer to external conditions,

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such as climate, food, &c., as the only possible cause of variation. In one very limited sense, as we shall hereafter see, this may be true; but it is preposterous to attribute to mere external conditions, the structure, for instance, of the woodpecker, with its feet, tail, beak, and tongue, so admirably adapted to catch insects under the bark of trees. In the case of the misseltoe, which draws its nourishment from certain trees, which has seeds that must be transported by certain birds, and which has flowers with separate sexes absolutely requiring the agency of certain insects to bring pollen from one flower to the other, it is equally preposterous to account for the structure of this parasite, with its relations to several distinct organic beings, by the effects of external conditions, or of habit, or of the volition of the plant itself. The author of the 'Vestiges of Creation' would, I presume, say that, after a certain unknown number of generations, some bird had given birth to a woodpecker, and some plant to the misseltoe, and that these had been produced perfect as we now see them; but this assumption seems to me to be no explanation, for it leaves the case of the coadaptations of organic beings to each other and to their physical conditions of life, untouched and unexplained. It is, therefore, of the highest importance to gain a clear insight into the means of modification and coadaptation. At the commencement of my observations it seemed to me probable that a careful study of domesticated animals and of cultivated plants would offer the best chance of making out this obscure problem. Nor have I been disappointed; in this and in all other perplexing cases I have invariably found that our knowledge, imperfect though it be, of variation under domestication, afforded the best and safest clue. I may venture to express my conviction of the high value of such studies, although they have been very commonly neglected by naturalists. From these considerations, I shall devote the first chapter of this Abstract to Variation under Domestication. We shall thus see that a large amount of hereditary modification is at least possible, and, what is equally or more important, we shall see how great is the power of man in accumulating by his Selection successive slight variations. I will then pass on to the variability of species in a state of nature; but I shall, unfortunately, be compelled to treat this subject far too briefly, as it can be treated properly only by giving long catalogues of facts. We shall, however, be enabled to discuss what circumstances are most favourable to variation. In the next chapter the Struggle for Existence amongst all organic beings throughout the world, which inevitably follows from their high geometrical powers of increase, will be treated of. This is the doctrine of Malthus, applied to the whole animal and vegetable kingdoms. As many more individuals of each species are born than can possibly survive; and as, consequently, there is a frequently recurring struggle for existence, it follows that any being, if it vary however slightly in any manner profitable to itself, under the complex and sometimes varying conditions of life, will have a better chance of surviving, and thus be naturally selected. From the strong principle of inheritance, any selected variety will tend to propagate its new and modified form. This fundamental subject of Natural Selection will be treated at some length in the fourth chapter; and we shall then see how Natural Selection almost inevitably causes much Extinction of the less improved forms of life and induces what I have called Divergence of Character. In the next chapter I shall discuss the complex and little known laws of variation and of correlation of growth. In the four succeeding chapters, the most apparent and gravest difficulties on the theory will be given: namely, first, the difficulties of transitions, or understanding how a simple being or a simple organ can be changed and perfected into a highly developed being or elaborately constructed organ; secondly the subject of Instinct, or the mental powers of animals, thirdly, Hybridism, or the infertility of species and the fertility of varieties when intercrossed; and fourthly, the imperfection of the Geological Record. In the next chapter I shall consider the geological succession of organic beings throughout time; in the eleventh and twelfth, their geographical distribution throughout space; in the thirteenth, their classification or mutual affinities, both when mature and in an embryonic condition. In the last chapter I shall give a brief recapitulation of the whole work, and a few concluding remarks.)

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No one ought to feel surprise at much remaining as yet unexplained in regard to the origin of species and varieties, if he makes due allowance for our profound ignorance in regard to the mutual relations of all the beings which live around us. Who can explain why one species ranges widely and is very numerous, and why another allied species has a narrow range and is rare? Yet these relations are of the highest importance, for they determine the present welfare, and, as I believe, the future success and modification of every inhabitant of this world. Still less do we know of the mutual relations of the innumerable inhabitants of the world during the many past geological epochs in its history. Although much remains obscure, and will long remain obscure, I can entertain no doubt, after the most deliberate study and dispassionate judgement of which I am capable, that the view which most naturalists entertain, and which I formerly entertained -- namely, that each species has been independently created -- is erroneous. I am fully convinced that species are not immutable; but that those belonging to what are called the same genera are lineal descendants of some other and generally extinct species, in the same manner as the acknowledged varieties of any one species are the descendants of that species. Furthermore, I am convinced that Natural Selection has been the main but not exclusive means of modification. Chapter 3 -- Struggle for existence I should premise that I use the term Struggle for Existence in a large and metaphorical sense, including dependence of one being on another, and including (which is more important) not only the life of the individual, but success in leaving progeny. Two canine animals in a time of dearth, may be truly said to struggle with each other which shall get food and live. But a plant on the edge of a desert is said to struggle for life against the drought, though more properly it should be said to be dependent on the moisture. A plant which annually produces a thousand seeds, of which on an average only one comes to maturity, may be more truly said to struggle with the plants of the same and other kinds which already clothe the ground. The missletoe is dependent on the apple and a few other trees, but can only in a far- fetched sense be said to struggle with these trees, for if too many of these parasites grow on the same tree, it will languish and die. But several seedling missletoes, growing close together on the same branch, may more truly be said to struggle with each other. As the missletoe is disseminated by birds, its existence depends on birds; and it may metaphorically be said to struggle with other fruit-bearing plants, in order to tempt birds to devour and thus disseminate its seeds rather than those of other plants. In these several senses, which pass into each other, I use for convenience sake the general term of struggle for existence. A struggle for existence inevitably follows from the high rate at which all organic beings tend to increase. Every being, which during its natural lifetime produces several eggs or seeds, must suffer destruction during some period of its life, and during some season or occasional year, otherwise, on the principle of geometrical increase, its numbers would quickly become so inordinately great that no country could support the product. Hence, as more individuals are produced than can possibly survive, there must in every case be a struggle for existence, either one individual with another of the same species, or with the individuals of distinct species, or with the physical conditions of life. It is the doctrine of Malthus applied with manifold force to the whole animal and vegetable kingdoms; for in this case there can be no artificial increase of food, and no prudential restraint from marriage. Although some species may be now increasing, more or less rapidly, in numbers, all cannot do so, for the world would not hold them. [break] It is good thus to try in our imagination to give any form some advantage over another. Probably in no single instance should we know what to do, so as to succeed. It will convince us of our ignorance on the mutual relations of all organic beings; a conviction as necessary, as it seems to be difficult to acquire. All that we can do, is to keep steadily in mind that each organic being is striving to increase at a geometrical ratio; that each at some period of its life, during some season of the year, during each generation or at intervals, has to struggle for life, and to suffer great destruction. When we reflect on this struggle, we may

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console ourselves with the full belief, that the war of nature is not incessant, that no fear is felt, that death is generally prompt, and that the vigorous, the healthy, and the happy survive and multiply. Chapt. 4 -- Natural Selection How will the struggle for existence, discussed too briefly in the last chapter, act in regard to variation? Can the principle of selection, which we have seen is so potent in the hands of man, apply in nature? I think we shall see that it can act most effectually. Let it be borne in mind in what an endless number of strange peculiarities our domestic productions, and, in a lesser degree, those under nature, vary; and how strong the hereditary tendency is. Under domestication, it may be truly said that the, whole organisation becomes in some degree plastic. Let it be borne in mind how infinitely complex and close-fitting are the mutual relations of all organic beings to each other and to their physical conditions of life. Can it, then, be thought improbable, seeing that variations useful to man have undoubtedly occurred, that other variations useful in some way to each being in the great and complex battle of life, should sometimes occur in the course of thousands of generations? If such do occur, can we doubt (remembering that many more individuals are born than can possibly survive) that individuals having any advantage, however slight, over others, would have the best chance of surviving and of procreating their kind? On the other hand, we may feel sure that any variation in the least degree injurious would be rigidly destroyed. This preservation of favourable variations and the rejection of injurious variations, I call Natural Selection. Variations neither useful nor injurious would not be affected by natural selection, and would be left a fluctuating element, as perhaps we see in the species called polymorphic. [break] As man can produce and certainly has produced a great result by his methodical and unconscious means of selection, what may not nature effect? Man can act only on external and visible characters: nature cares nothing for appearances, except in so far as they may be useful to any being. She can act on every internal organ, on every shade of constitutional difference, on the whole machinery of life. Man selects only for his own good; Nature only for that of the being which she tends. Every selected character is fully exercised by her; and the being is placed under well-suited conditions of life. Man keeps the natives of many climates in the same country; he seldom exercises each selected character in some peculiar and fitting manner; he feeds a long and a short beaked pigeon on the same food; he does not exercise a long- backed or long-legged quadruped in any peculiar manner; he exposes sheep with long and short wool to the same climate. He does not allow the most vigorous males to struggle for the females. He does not rigidly destroy all inferior animals, but protects during each varying season, as far as lies in his power, all his productions. He often begins his selection by some half-monstrous form; or at least by some modification prominent enough to catch his eye, or to be plainly useful to him. Under nature, the slightest difference of structure or constitution may well turn the nicely-balanced scale in the struggle for life, and so be preserved. How fleeting are the wishes and efforts of man! how short his time! and consequently how poor will his products be, compared with those accumulated by nature during whole geological periods. Can we wonder, then, that nature's productions should be far 'truer' in character than man's productions; that they should be infinitely better adapted to the most complex conditions of life, and should plainly bear the stamp of far higher workmanship? It may be said that natural selection is daily and hourly scrutinising, throughout the world, every variation, even the slightest; rejecting that which is bad, preserving and adding up all that is good; silently and insensibly working, whenever and wherever opportunity offers, at the improvement of each organic being in relation to its organic and inorganic conditions of life. We see nothing of these slow changes in progress, until the hand of time has marked the long lapses of ages, and then so imperfect is our view into long past geological ages, that we only see that the forms of life are now different from what they formerly were.

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[break] Summary of Chapter If during the long course of ages and under varying conditions of life, organic beings vary at all in the several parts of their organisation, and I think this cannot be disputed; if there be, owing to the high geometrical powers of increase of each species, at some age, season, or year, a severe struggle for life, and this certainly cannot be disputed; then, considering the infinite complexity of the relations of all organic beings to each other and to their conditions of existence, causing an infinite diversity in structure, constitution, and habits, to be advantageous to them, I think it would be a most extraordinary fact if no variation ever had occurred useful to each being's own welfare, in the same way as so many variations have occurred useful to man. But if variations useful to any organic being do occur, assuredly individuals thus characterised will have the best chance of being preserved in the struggle for life; and from the strong principle of inheritance they will tend to produce offspring similarly characterised. This principle of preservation, I have called, for the sake of brevity, Natural Selection. Natural selection, on the principle of qualities being inherited at corresponding ages, can modify the egg, seed, or young, as easily as the adult. Amongst many animals, sexual selection will give its aid to ordinary selection, by assuring to the most vigorous and best adapted males the greatest number of offspring. Sexual selection will also give characters useful to the males alone, in their struggles with other males. Chapter 7 – Instinct The subject of instinct might have been worked into the previous chapters; but I have thought that it would be more convenient to treat the subject separately, especially as so wonderful an instinct as that of the hive-bee making its cells will probably have occurred to many readers, as a difficulty sufficient to overthrow my whole theory. I must premise, that I have nothing to do with the origin of the primary mental powers, any more than I have with that of life itself. We are concerned only with the diversities of instinct and of the other mental qualities of animals within the same class. I will not attempt any definition of instinct. It would be easy to show that several distinct mental actions are commonly embraced by this term; but every one understands what is meant, when it is said that instinct impels the cuckoo to migrate and to lay her eggs in other birds' nests. An action, which we ourselves should require experience to enable us to perform, when performed by an animal, more especially by a very young one, without any experience, and when performed by many individuals in the same way, without their knowing for what purpose it is performed, is usually said to be instinctive. But I could show that none of these characters of instinct are universal. A little dose, as Pierre Huber expresses it, of judgment or reason, often comes into play, even in animals very low in the scale of nature. Frederick Cuvier and several of the older metaphysicians have compared instinct with habit. This comparison gives, I think, a remarkably accurate notion of the frame of mind under which an instinctive action is performed, but not of its origin. How unconsciously many habitual actions are performed, indeed not rarely in direct opposition to our conscious will! yet they may be modified by the will or reason. Habits easily become associated with other habits, and with certain periods of time and states of the body. When once acquired, they often remain constant throughout life. Several other points of resemblance between instincts and habits could be pointed out. As in repeating a well-known song, so in instincts, one action follows another by a sort of rhythm; if a person be interrupted in a song, or in repeating anything by rote, he is generally forced to go back to recover the habitual train of thought: so P. Huber found it was with a caterpillar, which makes a very complicated hammock; for if he took a caterpillar which had completed its hammock up to, say, the sixth stage of construction, and put it into a hammock completed up only to the third stage, the caterpillar simply re-performed the fourth, fifth, and sixth stages of

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construction. If, however, a caterpillar were taken out of a hammock made up, for instance, to the third stage, and were put into one finished up to the sixth stage, so that much of its work was already done for it, far from feeling the benefit of this, it was much embarrassed, and, in order to complete its hammock, seemed forced to start from the third stage, where it had left off, and thus tried to complete the already finished work. If we suppose any habitual action to become inherited and I think it can be shown that this does sometimes happen then the resemblance between what originally was a habit and an instinct becomes so close as not to be distinguished. If Mozart, instead of playing the pianoforte at three years old with wonderfully little practice, had played a tune with no practice at all, be might truly be said to have done so instinctively. But it would be the most serious error to suppose that the greater number of instincts have been acquired by habit in one generation, and then transmitted by inheritance to succeeding generations. It can be clearly shown that the most wonderful instincts with which we are acquainted, namely, those of the hive-bee and of many ants, could not possibly have been thus acquired. It will be universally admitted that instincts are as important as corporeal structure for the welfare of each species, under its present conditions of life. Under changed conditions of life, it is at least possible that slight modifications of instinct might be profitable to a species; and if it can be shown that instincts do vary ever so little, then I can see no difficulty in natural selection preserving and continually accumulating variations of instinct to any extent that may be profitable. It is thus, as I believe, that all the most complex and wonderful instincts have originated. As modifications of corporeal structure arise from, and are increased by, use or habit, and are diminished or lost by disuse, so I do not doubt it has been with instincts. But I believe that the effects of habit are of quite subordinate importance to the effects of the natural selection of what may be called accidental variations of instincts; that is of variations produced by the same unknown causes which produce slight deviations of bodily structure. No complex instinct can possibly be produced through natural selection, except by the slow and gradual accumulation of numerous, slight, yet profitable, variations. Hence, as in the case of corporeal structures, we ought to find in nature, not the actual transitional gradations by which each complex instinct has been acquired for these could be found only in the lineal ancestors of each species but we ought to find in the collateral lines of descent some evidence of such gradations; or we ought at least to be able to show that gradations of some kind are possible; and this we certainly can do. I have been surprised to find, making allowance for the instincts of animals having been but little observed except in Europe and North America, and for no instinct being known amongst extinct species, how very generally gradations, leading to the most complex instincts, can be discovered. The canon of 'Natura non facit saltum' applies with almost equal force to instincts as to bodily organs. Changes of instinct may sometimes be facilitated by the same species having different instincts at different periods of life, or at different seasons of the year, or when placed under different circumstances, &c.; in which case either one or the other instinct might be preserved by natural selection. And such instances of diversity of instinct in the same species can be shown to occur in nature. Again as in the case of corporeal structure, and conformably with my theory, the instinct of each species is good for itself, but has never, as far as we can judge, been produced for the exclusive good of others. One of the strongest instances of an animal apparently performing an action for the sole good of another, with which I am acquainted, is that of aphides voluntarily yielding their sweet excretion to ants: that they do so voluntarily, the following facts show. I removed all the ants from a group of about a dozen aphides on a dock-plant, and prevented their attendance during several hours. After this interval, I felt sure that the aphides would want to excrete. I watched them for some time through a lens, but not one excreted; I then tickled and stroked them with a hair in the same manner, as well as I could, as the ants do with their antennae; but not one excreted. Afterwards I allowed an ant to visit them, and it immediately seemed, by its eager way of running about, to be well aware what a rich flock it had discovered; it then began to play

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with its antennae on the abdomen first of one aphis and then of another; and each aphis, as soon as it felt the antennae, immediately lifted up its abdomen and excreted a limpid drop of sweet juice, which was eagerly devoured by the ant. Even the quite young aphides behaved in this manner, showing that the action was instinctive, and not the result of experience. But as the excretion is extremely viscid, it is probably a convenience to the aphides to have it removed; and therefore probably the aphides do not instinctively excrete for the sole good of the ants. Although I do not believe that any animal in the world performs an action for the exclusive good of another of a distinct species, yet each species tries to take advantage of the instincts of others, as each takes advantage of the weaker bodily structure of others. So again, in some few cases, certain instincts cannot be considered as absolutely perfect; but as details on this and other such points are not indispensable, they may be here passed over. As some degree of variation in instincts under a state of nature, and the inheritance of such variations, are indispensable for the action of natural selection, as many instances as possible ought to have been here given; but want of space prevents me. I can only assert, that instincts certainly do vary for instance, the migratory instinct, both in extent and direction, and in its total loss. So it is with the nests of birds, which vary partly in dependence on the situations chosen, and on the nature and temperature of the country inhabited, but often from causes wholly unknown to us: Audubon has given several remarkable cases of differences in nests of the same species in the northern and southern United States. Fear of any particular enemy is certainly an instinctive quality, as may be seen in nestling birds, though it is strengthened by experience, and by the sight of fear of the same enemy in other animals. But fear of man is slowly acquired, as I have elsewhere shown, by various animals inhabiting desert islands; and we may see an instance of this, even in England, in the greater wildness of all our large birds than of our small birds; for the large birds have been most persecuted by man. We may safely attribute the greater wildness of our large birds to this cause; for in uninhabited islands large birds are not more fearful than small; and the magpie, so wary in England, is tame in Norway, as is the hooded crow in Egypt. Chapter 14 -- Recapitulation and Conclusion That many and grave objections may be advanced against the theory of descent with modification through natural selection, I do not deny. I have endeavoured to give to them their full force. Nothing at first can appear more difficult to believe than that the more complex organs and instincts should have been perfected not by means superior to, though analogous with, human reason, but by the accumulation of innumerable slight variations, each good for the individual possessor. Nevertheless, this difficulty, though appearing to our imagination insuperably great, cannot be considered real if we admit the following propositions, namely, -- that gradations in the perfection of any organ or instinct, which we may consider, either do now exist or could have existed, each good of its kind, -- that all organs and instincts are, in ever so slight a degree, variable, -- and, lastly, that there is a struggle for existence leading to the preservation of each profitable deviation of structure or instinct. The truth of these propositions cannot, I think, be disputed. [break] Glancing at instincts, marvellous as some are, they offer no greater difficulty than does corporeal structure on the theory of the natural selection of successive, slight, but profitable modifications. We can thus understand why nature moves by graduated steps in endowing different animals of the same class with their several instincts. I have attempted to show how much light the principle of gradation throws on the admirable architectural powers of the hive-bee. Habit no doubt sometimes comes into play in modifying instincts; but it certainly is not indispensable, as we see, in the case of neuter insects, which leave no progeny to inherit the effects of long-continued habit. On the view of all the species of the same genus having descended from a common parent, and having inherited much in common, we can understand how it is that allied species, when placed under considerably different conditions of life, yet

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should follow nearly the same instincts; why the thrush of South America, for instance, lines her nest with mud like our British species. On the view of instincts having been slowly acquired through natural selection we need not marvel at some instincts being apparently not perfect and liable to mistakes, and at many instincts causing other animals to suffer. [break] The fact, as we have seen, that all past and present organic beings constitute one grand natural system, with group subordinate to group, and with extinct groups often falling in between recent groups, is intelligible on the theory of natural selection with its contingencies of extinction and divergence of character. On these same principles we see how it is, that the mutual affinities of the species and genera within each class are so complex and circuitous. We see why certain characters are far more serviceable than others for classification; -- why adaptive characters, though of paramount importance to the being, are of hardly any importance in classification; why characters derived from rudimentary parts, though of no service to the being, are often of high classificatory value; and why embryological characters are the most valuable of all. The real affinities of all organic beings are due to inheritance or community of descent. The natural system is a genealogical arrangement, in which we have to discover the lines of descent by the most permanent characters, however slight their vital importance may be. The framework of bones being the same in the hand of a man, wing of a bat, fin of the porpoise, and leg of the horse, -- the same number of vertebrae forming the neck of the giraffe and of the elephant, -- and innumerable other such facts, at once explain themselves on the theory of descent with slow and slight successive modifications. The similarity of pattern in the wing and leg of a bat, though used for such different purposes, -- in the jaws and legs of a crab, -- in the petals, stamens, and pistils of a flower, is likewise intelligible on the view of the gradual modification of parts or organs, which were alike in the early progenitor of each class. On the principle of successive variations not always supervening at an early age, and being inherited at a corresponding not early period of life, we can clearly see why the embryos of mammals, birds, reptiles, and fishes should be so closely alike, and should be so unlike the adult forms. We may cease marvelling at the embryo of an air-breathing mammal or bird having branchial slits and arteries running in loops, like those in a fish which has to breathe the air dissolved in water, by the aid of well-developed branchiae. Disuse, aided sometimes by natural selection, will often tend to reduce an organ, when it has become useless by changed habits or under changed conditions of life; and we can clearly understand on this view the meaning of rudimentary organs. But disuse and selection will generally act on each creature, when it has come to maturity and has to play its full part in the struggle for existence, and will thus have little power of acting on an organ during early life; hence the organ will not be much reduced or rendered rudimentary at this early age. The calf, for instance, has inherited teeth, which never cut through the gums of the upper jaw, from an early progenitor having well-developed teeth; and we may believe, that the teeth in the mature animal were reduced, during successive generations, by disuse or by the tongue and palate having been fitted by natural selection to browse without their aid; whereas in the calf, the teeth have been left untouched by selection or disuse, and on the principle of inheritance at corresponding ages have been inherited from a remote period to the present day. On the view of each organic being and each separate organ having been specially created, how utterly inexplicable it is that parts, like the teeth in the embryonic calf or like the shrivelled wings under the soldered wing-covers of some beetles, should thus so frequently bear the plain stamp of inutility! Nature may be said to have taken pains to reveal, by rudimentary organs and by homologous structures, her scheme of modification, which it seems that we wilfully will not understand. I have now recapitulated the chief facts and considerations which have thoroughly convinced me that species have changed, and are still slowly changing by the preservation and accumulation of successive

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slight favourable variations. Why, it may be asked, have all the most eminent living naturalists and geologists rejected this view of the mutability of species? It cannot be asserted that organic beings in a state of nature are subject to no variation; it cannot be proved that the amount of variation in the course of long ages is a limited quantity; no clear distinction has been, or can be, drawn between species and well- marked varieties. It cannot be maintained that species when intercrossed are invariably sterile, and varieties invariably fertile; or that sterility is a special endowment and sign of creation. The belief that species were immutable productions was almost unavoidable as long as the history of the world was thought to be of short duration; and now that we have acquired some idea of the lapse of time, we are too apt to assume, without proof, that the geological record is so perfect that it would have afforded us plain evidence of the mutation of species, if they had undergone mutation. But the chief cause of our natural unwillingness to admit that one species has given birth to other and distinct species, is that we are always slow in admitting any great change of which we do not see the intermediate steps. The difficulty is the same as that felt by so many geologists, when Lyell first insisted that long lines of inland cliffs had been formed, and great valleys excavated, by the slow action of the coast-waves. The mind cannot possibly grasp the full meaning of the term of a hundred million years; it cannot add up and perceive the full effects of many slight variations, accumulated during an almost infinite number of generations. [break] In the distant future I see open fields for far more important researches. Psychology will be based on a new foundation, that of the necessary acquirement of each mental power and capacity by gradation. Light will be thrown on the origin of man and his history. Authors of the highest eminence seem to be fully satisfied with the view that each species has been independently created. To my mind it accords better with what we know of the laws impressed on matter by the Creator, that the production and extinction of the past and present inhabitants of the world should have been due to secondary causes, like those determining the birth and death of the individual. When I view all beings not as special creations, but as the lineal descendants of some few beings which lived long before the first bed of the Silurian system was deposited, they seem to me to become ennobled. Judging from the past, we may safely infer that not one living species will transmit its unaltered likeness to a distant futurity. And of the species now living very few will transmit progeny of any kind to a far distant futurity; for the manner in which all organic beings are grouped, shows that the greater number of species of each genus, and all the species of many genera, have left no descendants, but have become utterly extinct. We can so far take a prophetic glance into futurity as to foretel that it will be the common and widely-spread species, belonging to the larger and dominant groups, which will ultimately prevail and procreate new and dominant species. As all the living forms of life are the lineal descendants of those which lived long before the Silurian epoch, we may feel certain that the ordinary succession by generation has never once been broken, and that no cataclysm has desolated the whole world. Hence we may look with some confidence to a secure future of equally inappreciable length. And as natural selection works solely by and for the good of each being, all corporeal and mental endowments will tend to progress towards perfection. It is interesting to contemplate an entangled bank, clothed with many plants of many kinds, with birds singing on the bushes, with various insects flitting about, and with worms crawling through the damp earth, and to reflect that these elaborately constructed forms, so different from each other, and dependent on each other in so complex a manner, have all been produced by laws acting around us. These laws, taken in the largest sense, being Growth with Reproduction; inheritance which is almost implied by reproduction; Variability from the indirect and direct action of the external conditions of life, and from use and disuse; a Ratio of Increase so high as to lead to a Struggle for Life, and as a consequence to

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Natural Selection, entailing Divergence of Character and the Extinction of less-improved forms. Thus, from the war of nature, from famine and death, the most exalted object which we are capable of conceiving, namely, the production of the higher animals, directly follows. There is grandeur in this view of life, with its several powers, having been originally breathed into a few forms or into one; and that, whilst this planet has gone cycling on according to the fixed law of gravity, from so simple a beginning endless forms most beautiful and most wonderful have been, and are being, evolved.

1170 Darwin - The Descent of Man.pdf

Darwin, C. 1871. The Descent of Man, and Selection in Relation to Sex. J. Murray. London.

Chapter 5. …

[page] 167 Natural Selection as affecting Civili sed Nations.—In the last and present chapters I have consid- ered the advancement of man from a former semi-human conditi on to his present state as a bar- barian. But some remarks on the agency of natural selection on civili sed nations may be here worth adding. This subject has been ably discussed by Mr. W. R. Greg,10 and previously

[page] 168 by Mr. Wall ace and Mr. Galton.11 Most of my remarks are taken from these three authors. With savages, the weak in body or mind are soon eli minated; and those that survive commonly exhibit a vigorous state of health. We civili sed men, on the other hand, do our utmost to check the proc- ess of eli mination; we buil d asylums for the imbecil e, the maimed, and the sick; we institute poor-laws; and our medical men exert their utmost skill t o save the li fe of every one to the last moment. There is reason to beli eve that vaccination has preserved thousands, who from a weak constitution would formerly have succumbed to small -pox. Thus the weak members of civili sed societies propagate their kind. No one who has attended to the breeding of domestic animals will doubt that this must be highly injurious to the race of man. It is surprising how soon a want of care, or care wrongly directed, leads to the degeneration of a domestic race; but excepting in the case of man himself, hardly any one is so ignorant as to all ow his worst animals to breed.

The aid which we feel i mpell ed to give to the helpless is mainly an incidental result of the instinct of sympathy, which was originall y acquired as part of the social i nstincts, but subsequently ren- dered, in the manner previously indicated, more tender and more widely diffused. Nor could we check our sympathy, if so urged by hard reason, without deterioration in the

[page] 169 noblest part of our nature. The surgeon may harden himself whil st performing an operation, for he knows that he is acting for the good of his patient; but if we were intentionally to neglect the weak and helpless, it could only be for a contingent benefit, with a certain and great present evil . Hence we must bear without complaining the undoubtedly bad effects of the weak surviving and propagating their kind; but there appears to be at least one check in steady action, namely the weaker and inferior members of society not marrying so freely as the sound; and this check

10 'Fraser's Magazine,' Sept. 1868, p. 353. This article seems to have struck many persons, and has given rise to two remarkable essays and a rejoinder in the 'Spectator,' Oct. 3rd and 17th 1868. It has also been discussed in the 'Q. Journal of Science,' 1869, p. 152, and by Mr. Lawson Tait in the 'Dublin Q. Journal of Medical Science,' Feb. 1869, and by Mr. E. Ray Lankester in his 'Comparative Longevity,' 1870, p. 128. Simil ar views appeared previously in the 'Australasian,' July 13, 1867. I have borrowed ideas from several of these writers.

11 For Mr. Wall ace, see 'Anthropolog. Review,' as before cited. Mr. Galton in 'Macmill an's Magazine,' Aug. 1865, p. 318; also his great work, 'Hereditary Genius,' 1870.

might be indefinitely increased, though this is more to be hoped for than expected, by the weak in body or mind refraining from marriage.

In all civili sed countries man accumulates property and bequeaths it to his chil dren. So that the chil dren in the same country do not by any means start fair in the race for success. But this is far from an unmixed evil ; for without the accumulation of capital the arts could not progress; and it is chiefly through their power that the civili sed races have extended, and are now everywhere extending, their r ange, so as to take the place of the lower r aces. Nor does the moderate accu- mulation of wealth interfere with the process of selection. When a poor man becomes rich, his chil dren enter trades or professions in which there is struggle enough, so that the able in body and mind succeed best. The presence of a body of well -instructed men, who have not to labour for their daily bread, is important to a degree which cannot be over-estimated; as all high intel- lectual work is carried on by them, and on such work material progress of all kinds mainly de- pends, not to mention other and higher advantages. No doubt wealth when very great tends to convert men into useless drones, but their number is never large; and some degree of elimi -

[page] 170 nation here occurs, as we daily see rich men, who happen to be fools or profligate, squandering away all t heir wealth.

Primogeniture with entail ed estates is a more direct evil , though it may formerly have been a great advantage by the creation of a dominant class, and any government is better than anarchy. The eldest sons, though they may be weak in body or mind, generally marry, whil st the younger sons, however superior in these respects, do not so generally marry. Nor can worthless eldest sons with entail ed estates squander their wealth. But here, as elsewhere, the relations of civili sed lif e are so complex that some compensatory checks intervene. The men who are rich through primogeniture are able to select generation after generation the more beautiful and charming women; and these must generall y be healthy in body and active in mind. The evil consequences, such as they may be, of the continued preservation of the same li ne of descent, without any se- lection, are checked by men of rank always wishing to increase their wealth and power; and this they effect by marrying heiresses. But the daughters of parents who have produced single chil - dren, are themselves, as Mr. Galton has shewn,12 apt to be steril e; and thus noble famili es are continually cut off in the direct li ne, and their wealth flows into some side channel; but unfortu- nately this channel i s not determined by superiority of any kind.

Although civili sation thus checks in many ways the action of natural selection, it apparently fa- vours, by means of improved food and the freedom from occasional hardships, the better devel- opment of the body. This may be inferred from civili sed men having been

[page] 171 found, wherever compared, to be physically stronger than savages. They appear also to have equal powers of endurance, as has been proved in many adventurous expediti ons. Even the great

12 'Hereditary Genius,' 1870, p. 132-140.

luxury of the rich can be but littl e detrimental; for the expectation of li fe of our aristocracy, at all ages and of both sexes, is very littl e inferior to that of healthy Engli sh li ves in the lower classes.13

We will now look to the intell ectual faculti es alone. If in each grade of society the members were divided into two equal bodies, the one including the intell ectually superior and the other the infe- rior, there can be littl e doubt that the former would succeed best in all occupations and rear a greater number of chil dren. Even in the lowest walks of lif e, skill and abilit y must be of some ad- vantage, though in many occupations, owing to the great division of labour, a very small one. Hence in civili sed nations there will be some tendency to an increase both in the number and in the standard of the intell ectuall y able. But I do not wish to assert that this tendency may not be more than counterbalanced in other ways, as by the multi pli cation of the reckless and improvi- dent; but even to such as these, abilit y must be some advantage.

It has often been objected to views li ke the foregoing, that the most eminent men who have ever li ved have left no offspring to inherit their great intell ect. Mr. Galton says,14 "I regret I am unable to solve the simple question whether, and how far, men and women who are prodigies of genius are infertil e. I have, however, shewn that men of eminence are by no means so."

[page] 172 Great lawgivers, the founders of beneficent religions, great phil osophers and discoverers in sci- ence, aid the progress of mankind in a far higher degree by their works than by leaving a numer- ous progeny. In the case of corporeal structures, it i s the selection of the slightly better-endowed and the elimi nation of the sli ghtly less well -endowed individuals, and not the preservation of strongly-marked and rare anomali es, that leads to the advancement of a species.1515 So it will be with the intell ectual faculti es, namely from the somewhat more able men in each grade of society succeeding rather better than the less able, and consequently increasing in number, if not other- wise prevented. When in any nation the standard of intell ect and the number of intell ectual men have increased, we may expect from the law of the deviation from an average, as shewn by Mr. Galton, that prodigies of genius will appear somewhat more frequently than before.

In regard to the moral qualiti es, some elimi nation of the worst dispositi ons is always in progress even in the most civili sed nations. Malefactors are executed, or imprisoned for long periods, so that they cannot freely transmit their bad qualiti es. Melancholi c and insane persons are confined, or commit suicide. Violent and quarrelsome men often come to a bloody end. Restless men who will not foll ow any steady occupation—and this reli c of barbarism is a great check to civili sa- tion16—emigrate to newly-settled countries, where they prove useful pioneers. Intemperance is so highly destructive, that the expectation of li fe of the intemperate, at the age, for instance, of thirty, is only 13·8 years; whil st for the rural labourers of England at the same age it i s

13 See the fifth and sixth columns, compiled from good authoriti es, in the table given in Mr. E. R. Lankester's 'Com- parative Longevity,' 1870, p. 115. 14 'Hereditary Genius,' 1870, p. 330.

15 'Origin of Species' (fifth editi on, 1869), p. 104.

16 'Hereditary Genius,' 1870, p. 347.

[page] 173

40·59 years.17 Profli gate women bear few chil dren, and profli gate men rarely marr y; both suffer from disease. In the breeding of domestic animals, the eli mination of those individuals, though few in number, which are in any marked manner inferior, is by no means an unimportant element towards success. This especially holds good with injurious characters which tend to reappear through reversion, such as blackness in sheep; and with mankind some of the worst dispositi ons, which occasionally without any assignable cause make their appearance in famili es, may perhaps be reversions to a savage state, from which we are not removed by very many generations. This view seems indeed recognised in the common expression that such men are the black sheep of the famil y.

With civil ised nations, as far as an advanced standard of morali ty, and an increased number of fairly well -endowed men are concerned, natural selection apparently effects but littl e; though the fundamental social i nstincts were originally thus gained. But I have already said enough, whil st treating of the lower races, on the causes which lead to the advance of morali ty, namely, the ap- probation of our fell ow-men—the strengthening of our sympathies by habit—example and imi- tation—reason—experience and even self-interest—instruction during youth, and reli gious feel- ings.

A most important obstacle in civili sed countries to an increase in the number of men of a supe- rior class has been strongly urged by Mr. Greg and Mr. Galton,18

[page] 174 namely, the fact that the very poor and reckless, who are often degraded by vice, almost invaria- bly marr y early, whil st the careful and frugal, who are generall y otherwise virtuous, marr y late in lif e, so that they may be able to support themselves and their chil dren in comfort. Those who marry early produce within a given period not only a greater number of generations, but, as shewn by Dr. Duncan,19 they produce many more chil dren. The chil dren, moreover, that are born by mothers during the prime of li fe are heavier and larger, and therefore probably more vigorous, than those born at other periods. Thus the reckless, degraded, and often vicious members of soci- ety, tend to increase at a quicker rate than the provident and generally virtuous members. Or as Mr. Greg puts the case: "The careless, squali d, unaspiring Irishman multi pli es li ke rabbits: the

17 E. Ray Lankester, 'Comparative Longevity,' 1870, p. 115. The table of the intemperate is from Neison's 'Vital Sta- tistics.' In regard to profli gacy, see Dr. Farr, "Influence of Marriage on Mortali ty," 'Nat. Assoc. for the Promotion of Social Science,' 1858.

18 'Fraser's Magazine,' Sept. 1868, p. 353. 'Macmill an's Magazine,' Aug. 1865, p. 318. The Rev. F. W. Farrar ('Fraser's Mag.,' Aug. 1870, p. 264) takes a diff erent view.

19 "On the Laws of the Fertili ty of Women," in 'Transact. Royal Soc.' Edinburgh, vol. xxiv. p. 287. See, also, Mr. Galton, 'Hereditary Genius,' p. 352-357, for observations to the above effect.

frugal, foreseeing, self-respecting, ambiti ous Scot, stern in his moralit y, spiritual i n his faith, sa- gacious and discipli ned in his intelli gence, passes his best years in struggle and in celi bacy, marr ies late, and leaves few behind him. Given a land originally peopled by a thousand Saxons and a thousand Celts—and in a dozen generations five-sixths of the population would be Celts, but five-sixths of the property, of the power, of the intell ect, would belong to the one-sixth of Saxons that remained. In the eternal 'struggle for existence,' it would be the inferior and less fa- voured race that had prevail ed—and prevail ed by virtue not of its good qualities but of its faults."

There are, however, some checks to this downward tendency. We have seen that the intemperate suff er

[page] 175 from a high rate of mortali ty, and the extremely profligate leave few off spring. The poorest classes crowd into towns, and it has been proved by Dr. Stark from the statistics of ten years in Scotland,20 that at all ages the death-rate is higher in towns than in rural districts, "and during the first five years of li fe the town death-rate is almost exactly double that of the rural districts." As these returns include both the rich and the poor, no doubt more than double the number of births would be requisite to keep up the number of the very poor inhabitants in the towns, rela- tively to those in the country. With women, marr iage at too early an age is highly injurious; for it has been found in France that, "twice as many wives under twenty die in the year, as died out of the same number of the unmarr ied." The mortali ty, also, of husbands under twenty is "exces- sively high,” 21 but what the cause of this may be seems doubtful. Lastly, if the men who pru- dently delay marr ying until t hey can bring up their famili es in comfort, were to select, as they often do, women in the prime of lif e, the rate of increase in the better class would be only sli ghtly lessened.

It was establi shed from an enormous body of statistics, taken during 1853, that the unmarried men throughout France, between the ages of twenty and eighty, die in a much larger proportion than the married: for instance, out of every 1000 unmarried men, between the ages of twenty and thirty, 11·3 annually died, whil st of the married only 6·5 died.22 A similar law was proved to

[page] 176 hold good, during the years 1863 and 1864, with the entire population above the age of twenty in Scotland: for instance, out of every 1000 unmarried men, between the ages of twenty and thirty, 14·97 annually died, whil st of the married only 7·24 died, that is less than half.23 Dr. Stark re- 20 'Tenth Annual Report of Births, Deaths, & c., in Scotland,' 1867, p. xxix.

21 These quotations are taken from our highest authority on such questions, namely, Dr. Farr, in his paper "On the Influence of Marriage on the Mortali ty of the French People," read before the Nat. Assoc. for the Promotion of So- cial Science, 1858.

22 Dr. Farr, ibid. The quotations given below are extracted from the same striking paper.

23 I have taken the mean of the quinquennial means, given in 'The Tenth Annual Report of Births, Deaths, & c., in Scotland,' 1867. The quotation from Dr. Stark is copied from an article in the 'Daily News,' Oct. 17th, 1868, which Dr. Farr considers very carefully written.

marks on this, "Bachelorhood is more destructive to li fe than the most unwholesome trades, or than residence in an unwholesome house or district where there has never been the most distant attempt at sanitary improvement." He considers that the lessened mortali ty is the direct result of "marriage, and the more regular domestic habits which attend that state." He admits, however, that the intemperate, profli gate, and criminal classes, whose duration of li fe is low, do not com- monly marry; and it must li kewise be admitted that men with a weak constitution, ill health, or any great infirmity in body or mind, will often not wish to marry, or will be rejected. Dr. Stark seems to have come to the conclusion that marriage in itself is a main cause of prolonged li fe, from finding that aged married men still have a considerable advantage in this respect over the unmarried of the same advanced age; but every one must have known instances of men, who with weak health during youth did not marry, and yet have survived to old age, though remaining weak and therefore always with a lessened chance of li fe. There is another remarkable circum- stance which seems to support Dr. Stark's conclusion, namely, that widows and widowers in France suffer in comparison with the married a very heavy rate of mortali ty; but Dr. Farr attrib- utes this to the poverty and

[page] 177 evil habits consequent on the disruption of the family, and to grief. On the whole we may con- clude with Dr. Farr that the lesser mortali ty of married than of unmarried men, which seems to be a general l aw, "is mainly due to the constant elimi nation of imperfect types, and to the skil ful selection of the finest individuals out of each successive generation;" the selection relating only to the marriage state, and acting on all corporeal, intell ectual, and moral qualiti es. We may, therefore, infer that sound and good men who out of prudence remain for a time unmarried do not suff er a high rate of mortali ty.

If the various checks specifi ed in the two last paragraphs, and perhaps others as yet unknown, do not prevent the reckless, the vicious and otherwise inferior members of society from increasing at a quicker r ate than the better class of men, the nation will retrograde, as has occurr ed too of- ten in the history of the world. We must remember that progress is no invariable rule. It is most diff icult to say why one civili sed nation rises, becomes more powerful, and spreads more widely, than another; or why the same nation progresses more at one time than at another. We can only say that it depends on an increase in the actual number of the population, on the number of the men endowed with high intell ectual and moral faculti es, as well as on their standard of excel- lence. Corporeal structure, except so far as vigour of body leads to vigour of mind, appears to have littl e influence.

It has been urged by several writers that as high intell ectual powers are advantageous to a nation, the old Greeks, who stood some grades higher in intell ect than any race that has ever existed,24

ought to have

[page] 178 risen, if the power of natural selection were real, still highter [sic] in the scale, increased in num- ber, and stocked the whole of Europe. Here we have the tacit assumption, so often made with respect to corporeal structures, that there is some innate tendency towards continued develop- ment in mind and body. But development of all kinds depends on many concurrent favourable 24 See the ingenious and original argument on this subject by Mr. Galton, 'Hereditary Genius,' p. 340-342.

circumstances. Natural selection acts only in a tentative manner. Individuals and races may have acquired certain indisputable advantages, and yet have perished from faili ng in other characters. The Greeks may have retrograded from a want of coherence between the many small states, from the small size of their whole country, from the practice of slavery, or from extreme sensuali ty; for they did not succumb until "they were enervated and corrupt to the very core."25 The western nations of Europe, who now so immeasurably surpass their former savage progenitors and stand at the summit of civili sation, owe littl e or none of their superiority to direct inheritance from the old Greeks; though they owe much to the written works of this wonderful people.

Who can positi vely say why the Spanish nation, so dominant at one time, has been distanced in the race. The awakening of the nations of Europe from the dark ages is a still m ore perplexing problem. At this early period, as Mr. Galton26 has remarked, almost all t he men of a gentle na- ture, those given to meditation or culture of the mind, had no refuge except in the bosom of the Church which demanded celi bacy;

[page] 179 and this could hardly fail t o have had a deteriorating influence on each successive generation. During this same period the Holy Inquisiti on selected with extreme care the freest and boldest men in order to burn or imprison them. In Spain alone some of the best men—those who doubted and questioned, and without doubting there can be no progress—were elimi nated during three centuries at the rate of a thousand a year. The evil which the Catholi c Church has thus effected, though no doubt counterbalanced to a certain, perhaps large extent in other ways, is incalculable; nevertheless, Europe has progressed at an unparall eled rate.

The remarkable success of the Engli sh as colonists over other European nations, which is well ill ustrated by comparing the progress of the Canadians of Engli sh and French extraction, has been ascribed to their "daring and persistent energy;" but who can say how the Engli sh gained their energy. There is apparently much truth in the beli ef that the wonderful progress of the United States, as well as the character of the people, are the results of natural selection; the more energetic, restless, and courageous men from all parts of Europe having emigrated during the last ten or twelve generations to that great country, and having there succeeded best.27 Looking to the distant future, I do not think that the Rev. Mr. Zincke takes an exaggerated view when he says:28

"All other series of events—as that which resulted in the culture of mind in Greece, and that which resulted in the empire of Rome—only appear to have purpose and value when viewed in connection with, or r ather as subsidiary to .… the great stream of Anglo-Saxon emigration to the west."

25 Mr. Greg, 'Fraser's Magazine,' Sept. 1868, p. 357.

26 'Hereditary Genius,' 1870, p. 357-359. The Rev. F. H. Farrar ('Fraser's Mag.', Aug. 1870, p. 257) advances argu- ments on the other side. Sir C. Lyell had already ('Principles of Geology,' vol. ii . 1868, p. 489) call ed attention, in a striking passage, to the evil influence of the Holy Inquisition in having lowered, through selection, the general stan- dard of intelli gence in Europe.

27 Mr. Galton, 'Macmill an's Magazine,' August, 1865, p. 325. See, also, 'Nature,' "On Darwinism and National Life," Dec. 1869, p. 184.

28 'Last Winter in the United States,' 1868, p. 29.

[page] 180

Obscure as is the problem of the advance of civili sation, we can at least see that a nation which produced during a lengthened period the greatest number of highly intell ectual, energetic, brave, patriotic, and benevolent men, would generally prevail over less favoured nations.

Natural selection foll ows from the struggle for existence; and this from a rapid rate of increase. It is impossible not bitterly to regret, but whether wisely is another question, the rate at which man tends to increase; for this leads in barbarous tribes to infanticide and many other evil s, and in civili sed nations to abject poverty, celi bacy, and to the late marriages of the prudent. But as man suff ers from the same physical evil s with the lower animals, he has no right to expect an immu- nity from the evil s consequent on the struggle for existence. Had he not been subjected to natural selection, assuredly he would never have attained to the rank of manhood. When we see in many parts of the world enormous areas of the most fertil e land peopled by a few wandering savages, but which are capable of supporting numerous happy homes, it might be argued that the struggle for existence had not been sufficiently severe to force man upwards to his highest standard. Judging from all t hat we know of man and the lower animals, there has always been sufficient variabilit y in the intell ectual and moral faculti es, for their steady advancement through natural selection. No doubt such advancement demands many favourable concurrent circumstances; but it may well be doubted whether the most favourable would have suff iced, had not the rate of in- crease been rapid, and the consequent struggle for existence severe to an extreme degree.

On the evidence that all civili sed nations were once barbarous.—As we have had to consider the steps by which

[page] 181 some semi-human creature has been gradually raised to the rank of man in his most perfect state, the present subject cannot be quite passed over. But it has been treated in so full and admirable a manner by Sir J. Lubbock,29 Mr. Tylor, Mr. M'Lennan, and others, that I need here give only the briefest summary of their results. The arguments recently advanced by the Duke of Argyll30 and formerly by Archbishop Whately, in favour of the beli ef that man came into the world as a civi- li sed being and that all savages have since undergone degradation, seem to me weak in compari- son with those advanced on the other side. Many nations, no doubt, have fall en away in civili sa- tion, and some may have lapsed into utter barbarism, though on this latter head I have not met with any evidence. The Fuegians were probably compell ed by other conquering hordes to settle in their inhospitable country, and they may have become in consequence somewhat more de- graded; but it would be diff icult to prove that they have fall en much below the Botocudos who inhabit the finest parts of Brazil .

The evidence that all civili sed nations are the descendants of barbarians, consists, on the one side, of clear traces of their former low conditi on in still -existing customs, beli efs, language, & c.;

29 'On the Origin of Civili sation,' 'Proc. Ethnological Soc.' Nov. 26, 1867.

30 'Primeval Man,' 1869.

and on the other side, of proofs that savages are independently able to raise themselves a few steps in the scale of civili sation, and have actually thus risen. The evidence on the first head is extremely curious, but cannot be here given: I refer to such cases as that, for instance, of the art of enumeration, which, as Mr. Tylor clearly shews by the words still used in some places, origi- nated in counting

[page] 182 the fingers, first of one hand and then of the other, and lastly of the toes. We have traces of this in our own decimal system, and in the Roman numerals, which after reaching to the number V., change into VI., & c., when the other hand no doubt was used. So again, "when we speak of three-score and ten, we are counting by the vigesimal system, each score thus ideally made, standing for 20—for 'one man' as a Mexican or Carib would put it."31 According to a large and increasing school of phil ologists, every language bears the marks of its slow and gradual evolu- tion. So it is with the art of writi ng, as letters are rudiments of pictorial representations. It is hardly possible to read Mr. M'Lennan's work32 and not admit that almost all civili sed nations still retain some traces of such rude habits as the forcible capture of wives. What ancient nation, as the same author asks, can be named that was originally monogamous? The primiti ve idea of jus- tice, as shewn by the law of battle and other customs of which traces still remain, was li kewise most rude. Many existing superstiti ons are the remnants of former false reli gious beli efs. The highest form of religion — the grand idea of God hating sin and loving righteousness—was un- known during primeval times.

Turning to the other kind of evidence: Sir J. Lubbock has shewn that some savages have recently improved a littl e in some of their simpler arts. From the

[page] 183 extremely curious account which he gives of the weapons, tools, and arts, used or practised by savages in various parts of the world, it cannot be doubted that these have nearly all been inde- pendent discoveries, excepting perhaps the art of making fire.33 The Australi an boomerang is a good instance of one such independent discovery. The Tahiti ans when first visited had advanced in many respects beyond the inhabitants of most of the other Polynesian islands. There are no just grounds for the beli ef that the high culture of the native Peruvians and Mexicans was derived from any foreign source;34 many native plants were there culti vated, and a few native animals domesticated. We should bear in mind that a wandering crew from some semi-civili sed land, if washed to the shores of America, would not, judging from the small i nfluence of most mission- aries, have produced any marked eff ect on the natives, unless they had already become some-

31 'Royal Institution of Great Britain,' March 15, 1867. Also, 'Researches into the Early History of Mankind,' 1865.

32 'Primitive Marriage,' 1865. See, li kewise, an excell ent article, evidently by the same author, in the 'North Briti sh Review,' July, 1869. Also, Mr. L. H. Morgan, "A Conjectural Solution of the Origin of the Class. System of Rela- tionship," in 'Proc. American Acad. of Sciences,' vol. vii . Feb. 1868. Prof. Schaaffhausen ('Anthropolog-Review,' Oct. 1869, p. 373) remarks on "the vestiges of human sacrifi ces found both in Homer and the Old Testament."

33 Sir J. Lubbock, 'Prehistoric Times,' 2nd edit. 1869, chap. xv. and xvi. et passim.

34 Dr. F. Müll er has made some good remarks to this eff ect in the 'Reise der Novara: Anthropolog. Theil ,' Abtheil . iii . 1868, s. 127.

what advanced. Looking to a very remote period in the history of the world, we find, to use Sir J. Lubbock's well -known terms, a paleolit hic and neolit hic period; and no one will pretend that the art of grinding rough fli nt tools was a borrowed one. In all parts of Europe, as far east as Greece, in Palestine, India, Japan, New Zealand, and Africa, including Egypt, fli nt tools have been dis- covered in abundance; and of their use the existing inhabitants retain no traditi on. There is also indirect evidence of their former use by the Chinese and ancient Jews. Hence there can hardly be a doubt that the inhabitants of these many countries, which include nearly the whole civili sed world, were once in a barbarous conditi on. To beli eve that man was abori-

[page] 184 ginall y civili sed and then suffered utter degradation in so many regions, is to take a piti ably low view of human nature. It is apparently a truer and more cheerful view that progress has been much more general than retrogression; that man has risen, though by slow and interrupted steps, from a lowly conditi on to the highest standard as yet attained by him in knowledge, morals, and reli gion. [Emphasis added by WMS]

1170 Freud - Encyclopedia of Human Behaviour.pdf

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Id, Ego, and Superego

Daniel K. Lapsley and Paul C. Stey University of Notre Dame

To appear in V.S. Ramachandran (Ed.), Encyclopedia of Human Behavior, 2nd Ed.

Elsevier. Publication date: 2011

Glossary Eros One of the two classes of instincts that motivate behavior. It is described as “life” instinct, the “preserver of all things,” incorporating the elements of sexuality and self-preservation. This is in contrast to the opposing tendency to reduce life to an inanimate state, or the “death instinct,” which is revealed by aggression and sadism. Erotogenic zones The zones of the body (oral, anal, phallic) that are sequentially invested with sexualized energy (libido), and are hence the source of autoerotic pleasure. The sexual instinct is thus a composite instinct, only to become organized in the service of reproductive, genital sexuality upon maturity. Libido The name reserved for the sexual instincts. Oedipus complex The libidinal cathexis of phallic erotogenic zone leads to a desire for union and contact with the opposite-sex parent, and a concomitant desire to displace the same-sex rival parent. The competition for the opposite- sex parent engenders anxiety, insofar as the retaliation of the rival is feared (“castration complex”). This is resolved by repressing incestuous desires, and identifying with the same-sex parent, which is the foundation of superego formation. Freud once suggested that the course of Oedipal development between boys and girls was exactly analogous, but later formulations postponed the resolution of the Oedipal conflict for girls until marriage and childbirth. Pleasure principle The motivating principle of behavior is the pursuit of tension reduction, which is experienced as pleasure. Primary process The workings of unconscious (id) processes. Instinctual energy is freely mobile, and capable of displacement and condensation. In contrast, secondary process, attributed to ego functioning, attempts to postpone, revise, or otherwise deflect instinctual motivations. Transference In the therapeutic situation, the (unconscious) incorporation of the analyst in the internal conflicts of the patient.

Sigmund Freud divided mental life into three agencies or

“provinces,” id, ego, superego. The id is the oldest and most primitive psychic agency, representing the biological foundations of personality. It is the reservoir of basic instinctual drives, particularly sexual (libidinal) drives, which motivate the organism to seek pleasure. The ego is a modification of the id that emerges as a result of the direct influence of the external world. It is the “executive” of the personality in the sense that it regulates libidinal drive energies so that satisfaction accords with the demands of reality. It is the center of reason, reality-testing, and commonsense, and has at its command a range of defensive stratagems that can deflect, repress, or transform the expression of unrealistic or forbidden drive energies. The superego is a further differentiation within the ego which represents its “ideal.” The superego emerges as a consequence of the Oedipal drama, whereby the child takes on the authority and magnificence of parental figures through introjection or identification. Whereas the id operates in pursuit of pleasure, and whereas the ego is governed by the reality principle, the superego bids the psychic apparatus to pursue idealistic goals and perfection. It is the source of moral censorship and of conscience.

(I.) Freud in Context

Psychoanalysis is one of those rare intellectual achievements that had

the effect of radically transforming human self-understanding. Indeed, Freudian notions have so thoroughly permeated human culture that the jargon (if not the substance) of psychoanalysis is accessible to even the most untutored observers of human behavior, so much so that the poet W. H. Auden could write that for us Freud is not so much a person but rather “a whole climate of opinion under whom we conduct our different lives.” By Freud’s own estimation psychoanalysis effectively completed the intellectual revolution begun by Copernicus, and advanced by Darwin, a revolution that undermined human conceit regarding its putatively special and privileged position in the cosmos and in nature. Whereas Copernicus displaced mankind’s planet from the center of the heavens, and whereas Darwin showed that no comfort can be taken in the idea that we are nonetheless above the forces of nature, Freud completed the assault on human pretence by showing that even human reason is not what it has been supposed, that human psychology is, in fact, besieged and driven by irrational, unconscious motivations. Indeed, Freud’s discovery of a hidden psychic reality that is beyond the pale of sensible consciousness was thought (by Freud) to be an application of the same Newtonian dualism that accepted the distinction between human sensory abilities (percepts) and a

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hidden physical reality that could only be apprehended by mathematics and the armamentum of physical science. The Newtonian scheme was invoked by psychoanalysis to advance an understanding of psychic life, an application that hinges on the distinction between conscious and unconscious mental life. Just as physics develops scientific techniques to apprehend a physical universe that is beyond immediate human sensibility, so too does psychoanalysis attempt to pierce hidden unconscious realities with its special clinical techniques. Psychoanalysis, then, according to Freud, is to be counted among the natural sciences; it is a specialized branch of medicine (with the caveat that medical training gives no necessary expertise in psychical affairs), with mental life the object of inquiry.

Although psychoanalysis shocked Victorian sensibilities, particularly with its claims regarding unconscious mental dynamics and infantile sexuality, it was grounded nonetheless in themes common to 19th century science. The Freudian theory of instincts seemed at home in a culture that was getting used to the ideas of Darwinian biology. Freud’s use of spatial models to locate psychic structures was in keeping with efforts in neurology to localize brain functions. And the mechanistic Freudian image of the psychological architecture as an apparatus for channeling instinctual drive energies was not out of step with the energy mechanics of 19th century physics. Yet, for all the trappings of scientific positivism that Freud was wont to claim for psychoanalysis, the Freudian project was met with considerable resistance, and the history of the psychoanalytic movement is a history of a struggle for academic, clinical, and popular respectability, a respectability that is still not completely won. Freud himself was at pains to recount this struggle in a number of histories, outlines, and encyclopedia articles. Although one aim was to popularize the new science of mental life,

Freud was also keen to demarcate psychoanalysis from rival depth psychologies (e.g., Jung, Adler), and to show that controversial psychoanalytic claims were the result of careful scientific investigation of the positivist, natural science kind. He would claim, for example, that the hypothetical entities and forces of psychoanalysis were not different in kind from the hypothetical entities and forces claimed in the ostensibly harder, more respectable sciences. It will be of interest for our purposes to recount the early development of psychoanalysis in order to set the proper context for considering Freud’s account of the tripartite personality. The structural notions of id, ego, and superego were rather late theoretical developments that can be understood properly only in the context of prior theoretical revisions — revisions that Freud would claim were forced upon psychoanalysis by the evidential warrant.

II. The Cornerstone of Psychoanalysis

Freud was drawn initially to the dynamics of depth psychology by the inability of the neurological community to come to grips with the problem of hysteria. Hysterics appeared to suffer a host of somatic and physical maladies (e.g., motor paralysis, glove anesthesia) that had no apparent neurological basis. One promising treatment was the use of hypnosis. Josef Breuer, a medical colleague of Freud, claimed to have relieved the hysterical symptoms of a female patient (“Anna O.”) by such means. In Studies on Hysteria (1895) Breuer and Freud presented a series of case studies and theoretical articles on the etiology of hysteria and the role of hypnosis in treating it. The authors claimed that hysterical symptoms have a symbolic meaning of which the patient had no conscious knowledge. Symptoms are substitutes for mental acts that are diverted from normal discharge because the affect associated with the mental processes becomes “strangulated” (as a result of trauma) and channeled into physical symptoms (“conversion”). That is, a strong affect is prevented from being consciously worked out in consciousness, and is diverted instead into “the wrong path,” taking the form of somatic symptoms. Under hypnosis this strangulated affect can be set free or purged (“abreacted”), allowed normal discharge into consciousness, thereby leading to a removal of symptoms. This treatment was called the cathartic method.

Moreover, patients, under hypnosis tended to recall “psychic traumas” from a remote past, extending to early childhood, so that Breuer and Freud could claim that hysterics “suffer from reminiscences.” When these traumas are allowed expression in the hypnotic state, strangulated affect is released and directed into normal consciousness. One sees in these studies, and in the papers that followed the preliminary delineation of some of the foundational notions of psychoanalysis. To observe that traumatic “reminiscences” could be recalled only under hypnosis suggests that their conscious expression is met with certain resistances (defensive repression). These reminiscences, though resisted, continue to exert pathogenic effects (as symptoms), which are suggestive of unconscious mental processes. [See HYPNOSIS.]

Freud was soon to abandon the hypnotic technique for the good reason that not all of his patients were amenable to hypnotic induction. In addition, Freud observed that the amelioration of symptoms seemed to depend more on the nature of the patient–analyst relationship. If this relationship was disturbed, symptoms reappeared. This clinical insight was later reformalized as transference love. Transference describes a phenomenon

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that emerges during the course of psychoanalytic treatment whereby the patient comes to involve the analyst as a substitute for a past interpersonal relationship, a finding that some consider being one of Freud’s great discoveries.

The hypnotic technique was replaced by the method of free association, a method that requires that patient to read off the content of conscious experiences and memories without judgment or embarrassment. The choice of this technique depends on the assumption of strict determinism which holds that associated ideas and memories are not randomly yoked but are instead determined by a dominant (and often pathogenically repressed) trend of thought which is unconscious (but is causally active nonetheless). Given the assumption that symptoms have sense and meaning, and are substitutes for actions that are omitted or repressed, the task of the analyst was to interpret the free associations in a way that successfully deciphered their meaning, a meaning that was otherwise obscured by censorship. To distinguish this technique from the cathartic method, Freud called this treatment “psychoanalysis.” Freud claimed that the transition from catharsis to psychoanalysis yielded two important novelties: the extension of psychoanalytic insights to phenomena associated with normality, and the discovery of the significance of infantile sexuality for understanding the etiology of neuroses. In The Interpretation of Dreams (1900) and in The Psychopathology of Everyday Life (1901) Freud extended this notion of mental determinism to include not just the symbolic character of neurotic free associations which of necessity require analytic interpretation, but also the various parapraxes of normal life (“Freudian slips,” accidental self-injury, and other putatively “haphazard” acts) and dreams. These too are like neurotic symptoms in that they express a meaning that can be deciphered by analytic interpretation. The difference between normality and neurosis was not as great as had been supposed. Indeed, the interpretation of dreams was to provide important clues to the nature of the unconscious and the process of symptom formation. Freud distinguished between the manifest and latent content of dreams. The manifest content was simply the recollected dream, often bizarre and strange. The latent content is provided by analytic interpretation. Latent dream thoughts are distorted and condensed “residues” of the previous day. They are arranged so as to allow pictorial representation and, through “secondary revision,” are given a sense of coherence. The motivation for dream formation is a repressed unconscious wish that seeks satisfaction (“wish

fulfillment”) in the form of the latent material of the dream. Dreams represent, then, a disguised attempt at fulfillment of an unconscious wish that was denied satisfaction. The attempt is disguised, that is, the manifest content is strange and bizarre, because of the efforts of a restrictive, disapproving agency in the mind (e.g., the ego). Dream censorship, according to Freud, points to the same mental process that kept the wish repressed during the day. So, on the one hand, there is an unfulfilled, repressed wish that is striving for expression. On the other, there is a disapproving, censoring ego that is striving to repress it. The result is a compromise formation that takes the form of dreams, in normality, and of symptoms, in the case of neurosis. Dream formation and symptom formation, then, are expressions of identical mental dynamics. Both are compromise formations that reflect the conflict between unconscious impulses (wishes) and the censoring ego. [See DREAMING.] The second novelty revealed by the psychoanalytic method was that the search for pathogenically significant traumatic experiences typically took one back to early childhood. And these experiences were invariably a reflection of a disturbance of infantile sexual life. This remains one of the most controversial aspects of Freud’s theory. Infantile sexuality refers to the sensations of pleasure that accompany holding, maternal caressing, and oral and anal satisfactions. Freud’s use of the term sexuality is thus much broader and more general than common use of the term. Freud claimed that the development of human sexuality was diphasic. There is, first of all, an infantile period where the sexual instincts are sequentially invested in different zones of the body (“erotogenic zones”), and then a more adult period when the component sexual instincts (oral, anal, phallic) are organized in the service of genital, reproductive sexuality. Intervening between the infantile period and adult period is a latency period of childhood where the sexual motivations are diverted to other purposes (e.g., skill building, school work).

The sexual instinct is thus an organization of component instincts that takes the adult form only at puberty, and it is decisive for understanding the etiology of neuroses. This is particularly true when libido becomes invested in the phallic region, which gives rise to the Oedipus complex (ages 2–5). The Oedipus complex is foundational for the emergence of the superego and more will be said about it below. Suffice it to say here that this emotionally charged complex of family relationships is the source of the neuroses. As Freud noted, normal individuals survive and master their Oedipal feelings; neurotics continue to be mastered by them.

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To this point we have reviewed what Freud called the “cornerstones” of psychoanalytic theory: the discovery of unconscious mental processes, the theory of repression and of transference, and the importance of infantile sexuality and the Oedipus complex for understanding neuroses. No one could be called a psychoanalyst unless one accepted these tenets. Yet we are still far from articulating the structural features of the personality (id, ego, superego). This is best done by further recounting the evolution of his thinking on these important constructs. (III.) Evolution of Theory and the Emergence of the Tripartite Personality

The division of mental life into that which is conscious and unconscious suggests a topographical hypothesis, viz., that mental life can be demarcated into psychic portions or regions. Unconsciousness is at once a quality that can be attributed to a repressed idea or impulse, and also a region or “province” (the “system Ucs”) to where the idea is banished. Consciousness and its precursor (“preconsciousness”) too, was formulated as a psychic province (“system Cs, Pcs”), and attributed to the workings of the ego. Psychic conflict, then, was a matter of unconscious ideas, emanating from the system Ucs, struggling against the repressive forces of the conscious ego. Furthermore, unconscious and conscious processes are seen to follow different laws. The Ucs consists of “instinctual representatives” or impulses that seek discharge. These impulses are illogical (not subject to contradiction) and timeless (not ordered temporally) and not oriented to reality. They are driven by the pleasure principle. They are also characterized as primary process. This means that wishful instinctual impulses are undirected and freely mobile, and therefore could be displaced or connected to various objects. This is in contrast to the Cs (Pcs), where secondary process is dominant. Secondary process is a later developmental achievement associated with the ego. As a reality oriented process it revises, censors or binds the discharge of instinctual impulses.

Although Freud never abandoned the notion of primary and secondary process, he did come to revise the provisional topographical model of the psychic architecture as one involving “systems,” and also the dynamic hypothesis that the unconscious was in conflict with the conscious ego. These notions were revised in light of Freud’s clinical observation that his patients were often unaware of the fact that they were employing certain resistances. If the ego is responsible for repression but is also the seat of consciousness, then it was inexplicable how one could not be conscious of one’s own resistances

and one’s own act of repression. Freud concluded that much of the ego, too, must be unconscious. In other words, the unconscious does not consist entirely of that which is repressed (although all that is repressed is unconscious), a fact that makes the division of the psychic architecture into systems Ucs and Cs (Pcs) less compelling. The ego concept was further clarified as a result of revisions to the instinct theory. Instincts arise from internal sources, and exert a constant force or pressure demanding satisfaction. The relentless pressure of instinctual drive energies makes it possible for the nervous system to remain in an unstimulated condition (“principle of constancy”), and hence motivates psychic adaptations so as to effect the satisfaction of internal needs. The pressure of an instinct is a “motor” factor, that is, a demand for psychic work. The aim of an instinct is gratification through tension reduction. The object of an instinct is anything through which satisfaction can be achieved. The source of an instinct is a somatic process experienced as a kind of “hunger” or “need.” Indeed, Freud often described instincts as the “psychic representatives” of somatic processes. In The Three Essays on Sexuality (1905) Freud identified the sexual instincts as “libido.” Libido is both a quantitative and qualitative variable— quantitative in the sense that it serves as a measure of the forces of sexual excitation, qualitative in the sense that it can be distinguished from other kinds of psychic energy. Psychoneurotic conflict could then be described as a clash between sexuality and the various functions of the ego (e.g., reality-testing, resistance, repression). However, in addition to libidinal (sexual) instincts, Freud later identified a second group of primal instincts, called ego instincts. Ego instincts subsumed the functions of self-preservation, repression, and all other impulses that could be distinguished from sexual (libidinal) instincts. By identifying a second group of primal instincts Freud could now characterize psychoneurotic conflict as a clash between libidinal (sexual) and the self- preservative (ego) instincts. Matters are further complicated, however, by the pivotal paper On Narcissism (1914). Here Freud argues that the sexual instincts are attached originally to self-preservation, which is an ego instinct. The sexual instincts detach from self-preservation only later when libido seeks external objects (e.g., mother). Libido that cathects with external objects was called object libido. Yet Freud observed that libidinal attachment towards objects (such as mother) could be derailed. Instead of seeking an external object it was possible to libidinally cathect one self. That is, rather than choose mother as a love object, one chooses oneself. Libido could be apportioned, then, depending on

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the kind of object choice one made. Libido apportioned to oneself was called “narcissistic” (or ego) libido, to distinguish it from the libidinal cathexis of external objects (object libido). In Freud’s view the narcissistic libidinal cathexis of the ego is the original state of things, and therefore the initial phase of libidinal development was one of primary narcissism. It is from the stance of primary narcissism that one seeks out interpersonal relations. By 1920, however, in Beyond the Pleasure Principle Freud rejected the dualism between libidinal instincts and ego instincts. In his view this distinction is no longer tenable because narcissistic self-preservative instincts were also libidinal. It would thus seem that all of instinctual mental life could be reduced to the sexual instincts after all, a conclusion that would either justify Jung’s monistic use of “libido” as a term denoting a generalized psychic drive or vindicate those critics who accused Freud of pan-sexualism.

One solution to this theoretical problem was to group the libidinal instincts as Eros, or the life instincts, the “preserver of all things,” and to contrapose to the life instincts (Eros) a contrary instinctual impulse that seeks to restore organic life to an inanimate state, which Freud called the death instincts. Freud was led to postulate the existence of death instincts by his observation that those who suffer from traumatic neuroses tend to repeat traumatic dreams. The dreams of war neurotics, for example, seemed contrary to the general case that dreams represent symbolic wish fulfillment. The compulsion to repeat traumatic experiences appeared, then, to operate “beyond the pleasure principle,” and to point toward an instinctual tendency at odds with libidinal self-preservation.

The struggle of Eros and the death instincts can be observed at every level of biology, in every particle of substance, even in molecular organisms. Eros attempts to preserve life through combinations, and this to neutralize the instinctual striving toward death. The two instincts can also fuse together which results, at the psychic level, in sexual sadism. De-fusion can result in the discharge of death instincts toward objects, which then takes the form of aggression, destructiveness, or sadism. Masochistic tendencies result if the ego is the object of discharge. Indeed, if it is possible for erotic libido to cathect the ego and to result in a phase of primary narcissism, it must correspondingly be possible for the death instinct to cathect the ego and result in a phase of primary masochism, a possibility that Freud did not reject outright. Freud’s account of the two classes of instincts, Eros (sexuality and self-preservation) and death (aggression), allowed him to preserve a dualistic

classification of the instincts. The question now loomed as to how these twin instincts interacted with topographical features of the mind, now that the notions of “consciousness” and unconsciousness” no longer had any straightforward implications for a structural depiction of mental life. This issue would be taken up in Freud’s seminal work, The Ego and the Id (1923). In this work Freud amends the structural theory to include three psychic provinces, id, ego, and superego. He also describes how instinctual drive energies can be transmuted economically among these structures, and how certain neurotic conditions can be explained as a result of this hydraulic model of the mind. (IV.) Id, Ego, and Superego

The mature structural theory largely replaces the ill-defined notions of unconsciousness and the system Ucs with the “id.” The id becomes a psychical province that incorporates instinctual drive energies, and everything else that is part of our phylogenetic inheritance. The id operates unconsciously, accords with primary process, and impels the organism to engage in need- satisfying, tension-reducing activities, which are experienced as pleasure.

Within the id are undifferentiated elements that would later emerge as the “ego.” Freud’s conceptualization of the ego and its functions show clear lines of theoretical development. In early formulations it was identified with the system Cs (Pcs), and known largely in terms of its repressive and self- preservative functions, and for its putative opposition to things unconscious. As noted above a clear change became evident in the paper On Narcissism, where Freud argued not only that ego instincts were libidinal, but also that ego functions were largely unconscious. Two further developments are evident in this paper. First, the ego begins to be described not only as an impersonal “apparatus” whose function is to de-tension the biological strivings of the organism, or as a “device” for mastering excitations, but rather as a personal self. A second development is Freud’s tentative hypothesis that ego development entails the renunciation of narcissistic self-love in favour of the idealization or aggrandizement of cultural and ethical ideals, which is represented to the child by the influence of parents. This “ego ideal” becomes a substitute for lost infantile narcissism at which time the child was his or her own ideal. Freud goes on to suggest that perhaps a special psychical agency emerges to observe the ego and to measure it by its ideal. This self-observing agency, and the ego ideal, will later take the form of a third psychical province, the superego.

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What is the nature, then, of ego and superego formation, as outlined in The Ego and the Id? At the outset the psychic system is described as an undifferentiated id-ego matrix. Topographically, a portion of the id lies in proximity to the boundaries of preconsciousness and external perceptual systems (system Pcpt), which brings the influence of the external world upon it. The resulting modification results in the formation of the ego. Hence, the ego is that part of the id that is modified as result of the perceptual system and by its proximity and access to consciousness, although the ego itself, like the id, is unconscious.

The ego takes on a a number functions. It commands voluntary movement. It has the task of self-preservation, and must therefore master both internal (id) and external stimuli. The ego masters external stimuli by becoming “aware,” by storing up memories, by avoidance through flight, and by active adaptation. Regarding internal drive stimuli, it attempts to control the demands of the instincts by judiciously deciding the mode of satisfaction, or if satisfaction is to be had at all. Indeed, the ego attempts to harness instinctual libidinal drives so that they submit to the reality principle. If the id is a cauldron of passions, the ego is the agent of reason, commonsense, and defense. Yet the ego is never sharply differentiated from the id. Freud argues that the “lower portion” of the ego extends throughout the id, and it is by means of the id that repressed material communicates with (presses “up” against the resistances of) the ego.

The nature of ego functioning is further clarified, and complicated, by superego formation. One clue to understanding superego formation was provided by Freud’s analysis of melancholia. He suggested that when a personal (or “object”) relationship is “lost,” the lost object can be regained nonetheless by “identification,” that is, the lost object is “set up again inside the ego.” When the sexual object is given up, the ego is altered, insofar as the abandoned libidinal object is now set up inside the ego. The ego incorporates the object within itself (as an introjection), “identifies” with it, and thereby builds up its structure or “character.” In this way an object cathexis is substituted by an introjection. Freud suggests that perhaps the id can give up its objects only by identifications of this sort, and that the ego can consequently be considered a precipitate of abandoned object cathexes. It was from this analysis of how the ego can be built up and altered by identification that Freud found the theoretical foundation of superego formation. He argued that the first identifications in early childhood would be those that would have lasting and momentous significance in the sense that

here would be found the origins of the “ego ideal.” Moreover, the necessity for making these identifications would be found in the triangular character of the Oedipus complex. For illustrative purposes consider the simple oedipal situation for boys. The boy develops a libidinal attachment to mother while identifying with father. Eventually, the erotic investment in mother intensifies and father now comes to be seen as an obstacle or as a jealous rival. The boy desires to possess mother but also to displace his rival, who is now viewed with some ambivalence. Yet this engenders considerable anxiety insofar as the powerful rival is capable of significant retaliation through the threat of castration. Hence, the oedipal situation is untenable for the boy given the surge of castration anxiety. The libidinal cathexis must be given up. Although many complications are possible, some with pathological consequences, the standard maneuver is for the boy to repress his oedipal desires for mother.

Yet the infantile ego is still too feeble to carry this out effectively. Since the expression of oedipal desires is met with an obstacle in the person of the boy’s father, one way of repressing these desires suggests itself: set up the obstacle within oneself by intensifying one’s identification with father. In this way the boy musters the wherewithal to carry out the required act of repression, insofar as this identification is a way of borrowing the strength of the powerful father. But, as we have seen, identification typically results in an alteration of the ego. Indeed, the incorporation of father as a solution to the Oedipus complex is so momentous that a new psychical agency emerges from within the ego, the superego, which will thereafter retain the character of the father. Furthermore, every act of identification results in a sublimation of libido. Libido is “desexualized.” But this sublimation also means that the aggressive (death) instincts are no longer bound to erotic libido—it is now “defused,” set free, and no longer neutralized. Freud suggested that herein lies the source of the cruel harshness of the dictatorial injunctions (“Thou shalt”) of the superego—it lies in the pool of aggressive energies set free by the act of identification and libidinal diffusion.

The superego is thus a precipitate of family life. It is an agency that seeks to enforce the striving for perfection, as it holds out to the ego ideal standards and moralistic goals. As a consequence the superego is the “conscience” of the personality, and it can retaliate against the imperfections of the ego by inducing guilt. Insofar as the superego is derived from the id’s first object cathexis (in the oedipal situation), the superego remains close to the id “and can act as its representative” (in contrast to the ego, which represents

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reality). And because the origin of conscience is tied to the Oedipus complex, which is unconscious, the corresponding sense of guilt, too, must be unconscious. Indeed, Freud asserts that the superego reaches down into the id, and is consequently “farther from consciousness than the ego is.” This leads to an interesting paradox that was noted by Freud. Because one is unconscious of having irrational libidinal and aggressive desires, one is far more “immoral” than one believes. But because the superego (and the guilt that it imposes as punishment) is also unconscious, one is also more moral than one knows. Superego formation, then and the ideals that it represents, allows one to master the Oedipus complex. And because it emerged at a time when the ego was still vulnerable, it retains a dominant position with respect to the ego. Freud was keen to point out that the superego is that part of his theory that expresses the “higher nature” of man. He argued that as children we knew these higher natures in the person of our parents, “we admired and feared them; and later we took them into ourselves” as introjections. And if religion, morality, and sociality are held to be what is higher in mankind, these too find their psychological origin in the workings of the superego. The religious longing for a protective and nurturing God finds its origin in the fact that the superego is a precipitate of our infantile longing for father. Our religious humility in the face of a judgmental God is a projection of the self-criticism of an ego that has fallen short of the ideals held out by the superego. With development the injunctions of the father (which are introjected as the superego) are supplemented by other moral authorities, which then fortifies the workings of conscience and thereby intensifies the feelings of moral guilt. And social feelings of all kinds are rooted in the kind of object identification of which superego formation is the model. In addition to representing that which is higher in human nature, the superego is also implicated in a variety of pathological conditions. It is implicated in a “resistance to therapeutic recovery,” since the prolongation of neurotic suffering is a kind of punishment for failing to meet the exacting demands of the superego. Melancholia results when the superego appropriates the violence of aggressive instincts and directs them against the ego. Certain kinds of obsessional neuroses (“tormenting” the object, as opposed to the self), too, can be linked to the harsh reproaches of the superego. It should be clear that the ego is besieged from two directions. It must cope with the libidinal and aggressive drives of the id, from “below,” and also the harsh moralistic and perfectionistic demands of the superego, from “above.” The ego must further reconcile these contrary tendencies with the

demands of external reality. “Whenever possible,” Freud writes, “it [the ego] clothes the id’s Ucs. commands with Pcs. rationalizations; it pretends that the id is showing obedience to the admonitions of reality, even when in fact it is remaining obstinate and unyielding; it disguises the id’s conflicts with reality and, if possible, its conflicts with the superego, too.” Freud also likened the ego to a man who struggles to check the superior power of a horse, to a constitutional monarch who is ultimately powerless to frustrate the will of parliament, and to a politician who too often “yields to the temptation to become sycophantic, opportunist and lying.” One has recourse to psychoanalysis when such a struggle batters the personality into neurosis. V. Summary

One way to summarize Freud’s account of the tripartite personality is

to make explicit the metapsychological assumptions that have until now remained only implicit. Freud’s topographical perspective is that the critical determinants of human behavior are unconscious; emanating from a biological province which he calls the “id.” The dynamic point of view is that these critical determinants are instinctual drives, of which two classes can be identified: Eros (sex, self-preservation) and the death instinct (aggression, sadism). The economic point of view is that the “hydraulic” dispositions of these drive energies among the psychic regions is a regulator of behavior.

VI. Selected Post-Freudian Developments

Although there are still many adherents of Freud’s classical theory, a

palpable development since Freud has been the proliferation of competing psychoanalytic theories, all of which claim some support or other from the many searching insight to be found in the vast Freudian corpus. The most important post-Freudian development is a collection of related theories that is denoted as the “object relational” school. Although these theories can be cleanly distinguished on both obvious and subtle theoretical points, it is fair to say that they share in common distaste for Freud’s emphasis on energy dynamics as the foundation of human personality, and for his division of personality into tripartite, evolutionary layers. They deny, for example, that the human organism is at first asocial, convulsed by bestial instinctual passions, embedded in primary narcissism, and only later to become social and socialized. To picture the human person as one driven by libidinal and aggressive energies is to liken it to a “centaur”—the mythological creature with a human head affixed to the body of a beast.

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One objection to the “Centaur model” is that it is yoked to an implausible notion of “instincts.” Freud suggested that human motivation can be explained with reference to two instincts, sex and aggression. But sex is not an instinctual impulse that exerts constant pressure but is rather like an “appetite” that shows a measure of periodicity. Aggression is not even an appetite, but is rather an ego reaction to a threat to the personality. And both sex and aggression are aspects of personhood that are ineradicable from interpersonal relationships. Furthermore, Freud’s notion that human psychology is driven by the energies afforded by the struggle between life and death instincts has been dismissed by some critics as mere “biological mysticism.” [See AGGRESSION.]

A related criticism concerns Freud’s account of the ego. In Freud’s

theory the rational ego emerges from a portion of the irrational id, but only as an impersonal apparatus or device for channeling drive energies and for securing the de-tensioning of the organism. What Freud described is a control system and not a personal self who is involved in motivated relationships from the very beginning. When Freud describes the tripartite personality as consisting of “provinces” that are “extended in space” he is describing a material reality that is based on a biological model of localization, and not the psychodynamic reality that whole human selves are formed in meaningful relationships that begin at birth. Hence, object relations theory rejects the Centaur model, rejects the instinct theory, rejects primary narcissism (and masochism), and rejects the impersonal ego.

Yet the object relations approach is often thought of as a movement

that develops Freud’s own best object relational insights. The notion of transference, for example, and the Oedipus complex of family relations, and the account of the ego as an “agency” (as opposed to a “province”) would be ready examples of object relational insights that counter Freud’s own preoccupation with impersonal, biological energy mechanics. It is ironic that the oedipal theory, which is generally considered to be that which is most unpalatable about Freud’s theory, is actually the foundation of the keen object relational insight—that personality is grounded in the nexus of family relationships. Of all the psychic structures the superego is the only one to emerge as consequence of interpersonal relationships. It comes to represent the influence of family and societal institutions on the formation of personality. Transference enshrines the view that the history of our experience of interpersonal relationships provides us with a template by which we attempt to manage our current relationships. Hence, the object relations approach tends to focus on the agentic whole self (the “person ego”) whose personality

develops within the dynamics of complicated, meaningful relationships—and the warrant for this conceptualization, too, is often to be found in Freud’s own writings.

We noted at the outset that psychoanalysis has revolutionized human

self-understanding in this century. Yet, for all that, the theory is still very much a product of 19th century conceptions of science. While one has cause to question Freud’s reliance on outdated biological and physical science metaphors, his mechanistic conception of energy dynamics and his preoccupation with brain physiology and with localization, what will survive are the psychodynamic features of his theory, and the clinical insights about human personality that have given everyone a new vocabulary. Defense mechanisms, ego, insight therapy, unconscious processes, the symbolic nature of symptoms, dreams, parapraxes, and transference—these are notions that are not far from even lay discourse. Indeed, some core Freudian notions such as unconsciousness, and the localization of “psychic provinces” in the brain, are being rehabilitated by recent developments in cognitive and social neuroscience. Contemporary attachment theory has strong object relational elements that bear resemblance to Freud’s theory.

Although it is not easy to divorce the clinical facts attributed to Freud

from the theories developed to explain them, especially when the probative and epistemic status of the theory is at stake, it is fair to say that the contemporary study of psychopathology and personality, the conduct of clinical practice, and the way ordinary people confront themselves and others would be very different were it not for Freud’s monumental, pioneering work. When one adds to this the whole domain of “applied psychoanalysis”—the extension of psychoanalytic insights for understanding the artistic process, group psychology, esthetics, religious experience, and other cultural products, then the justice of W.H. Auden’s elegy is apparent. Freud lurks wherever one considers the human condition: a “whole climate of opinion under whom we conduct our different lives.”

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Bibliography Edelson, M. (1988). Psychoanalysis: a theory in crisis. Chicago: University of

Chicago Press. Gay, P. (1989). Freud: A life for our times. New York: Anchor/Doubleday. Greenberg, J. R., & Mitchell, S. A. (Eds.) (1983). Object relations in psychoanalytic

theory. Cambridge, MA: Harvard University Press. Grunbaum, A. (1984). The foundations of psychoanalysis: A philosophical critique.

Berkeley, CA: University of California Press. Hassin, R. R., Uleman, J. S., & Bargh, J. A. (Eds.) (2005). The new unconscious.

New York, NY: Oxford University Press. Kurzweil, E., & Phillips, W. (Eds.) (1983). Literature and psychoanalysis. New

York, NY: Columbia University Press. Reppen, J. (Ed.) (1985). Beyond Freud: A study of modern psychoanalytic theorists.

Hillsdale, NJ: Erlbaum.

Freud - The Uncanny.pdf

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The “Uncanny”1 (1919)

SIGMUND FREUD

I

It is only rarely that a psychoanalyst feels impelled to in- vestigate the subject of aesthetics even when aesthetics is understood to mean not merely the theory of beauty, but the theory of the qualities of feeling. He works in other planes of mental life and has little to do with those sub- dued emotional activities which, inhibited in their aims and dependent upon a multitude of concurrent factors, usually furnish the material for the study of aesthetics. But it does occasionally happen that he has to interest himself in some particular province of that subject; and then it usu- ally proves to be a rather remote region of it and one that has been neglected in standard works. The subject of the “uncanny” is a province of this kind. It undoubtedly belongs to all that is terrible—to all that arouses dread and creeping horror; it is equally certain, too, that the word is not always used in a clearly definable sense, so that it tends to coincide with whatever excites dread. Yet we may expect that it implies some intrinsic quality which justifies the use of a special name. One is curious to know what this peculiar quality is which allows us to distinguish as “uncanny” certain things within the boundaries of what is “fearful.” As good as nothing is to be found upon this subject in elaborate treatises on aesthetics, which in general prefer to concern themselves with what is beautiful, attractive and sublime, that is with feelings of a positive nature, with the

1 First published in Imago, Bd. V., 1919; reprinted in Sammlung, Fünfte Folge. [Translated by Alix Strachey.]

circumstances and the objects that call them forth, rather than with the opposite feelings of unpleasantness and re- pulsion. I know of only one attempt in medico- psychological literature, a fertile but not exhaustive paper by E. Jentsch.2 But I must confess that I have not made a very thorough examination of the bibliography, especially the foreign literature, relating to this present modest con- tribution of mine, for reasons which must be obvious at this time;3 so that my paper is presented to the reader with- out any claim of priority. In his study of the “uncanny,” Jentsch quite rightly lays stress on the obstacle presented by the fact that people vary so very greatly in their sensitivity to this quality of feeling. The writer of the present contribution, indeed, must him- self plead guilty to a special obtuseness in the matter, where extreme delicacy of perception would be more in place. It is long since he has experienced or heard of any- thing which has given him an uncanny impression, and he will be obliged to translate himself into that state of feel- ing, and to awaken in himself the possibility of it before he begins. Still, difficulties of this kind make themselves felt powerfully in many other branches of aesthetics; we need not on this account despair of finding instances in which the quality in question will be recognized without hesita- tion by most people. Two courses are open to us at the start. Either we can find out what meaning has come to be attached to the word “uncanny” in the course of its history; or we can collect all those properties of persons, things, sensations, experiences and situations which arouse in us the feeling of uncanni- ness, and then infer the unknown nature of the uncanny from what they all have in common. I will say at once that both courses lead to the same result: the “uncanny” is that class of the terrifying which leads back to something long 2 “Zur Psychologie des Unheimlichen.” 3 [An allusion to the European War only just concluded.—Trans.]

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known to us, once very familiar. How this is possible, in what circumstances the familiar can become uncanny and frightening, I shall show in what follows. Let me also add that my investigation was actually begun by collecting a number of individual cases, and only later received con- firmation after I had examined what language could tell us. In this discussion, however, I shall follow the opposite course. The German word unheimlich4 is obviously the opposite of heimlich, heimisch, meaning “familiar,” “native,” “be- longing to the home”; and we are tempted to conclude that what is “uncanny” is frightening precisely because it is not known and familiar. Naturally not everything which is new and unfamiliar is frightening, however; the relation cannot be inverted. We can only say that what is novel can easily become frightening and uncanny; some new things are frightening but not by any means all. Something has to be added to what is novel and unfamiliar to make it uncanny. On the whole, Jentsch did not get beyond this relation of the uncanny to the novel and unfamiliar. He ascribes the essential factor in the production of the feeling of uncanni- ness to intellectual uncertainty; so that the uncanny would always be that in which one does not know where one is, as it were. The better orientated in his environment a per- son is, the less readily will he get the impression of some- thing uncanny in regard to the objects and events in it. It is not difficult to see that this definition is incomplete, and we will therefore try to proceed beyond the equation of unheimlich with unfamiliar. We will first turn to other languages. But foreign dictionaries tell us nothing new, perhaps only because we speak a different language. In- deed, we get the impression that many languages are with- out a word for this particular variety of what is fearful.

4 [Throughout this paper “uncanny” is used as the English translation of “unheimlich,” literally “unhomely” —Trans.]

I wish to express my indebtedness to Dr. Th. Reik for the following excerpts: LATIN: (K. E. Gorges, Deutschlateinisches Wörterbuch, 1898). Ein unheimlicher Ort [an uncanny place]—locus suspectus; in unheimlicher Nachtzeit [in the dismal night hours]—intempesta nocte. GREEK: (Rost’s and Schenki’s Lexikons). Xenos strange, foreign. ENGLISH: (from dictionaries by Lucas, Bellow, Flügel, Muret-Sanders). Uncomfortable, uneasy, gloomy, dismal, uncanny, ghastly; (of a house) haunted; (of a man) a repul- sive fellow. FRENCH: (Sachs-Villatte). Inquiétant, sinistre, lugubre, mal à son aise. SPANISH: (Tollhausen, 1889). Sospechoso, de mal aguëro, lugubre, siniestro. The Italian and the Portuguese seem to content them- selves with words which we should describe as circumlo- cutions. In Arabic and Hebrew “uncanny” means the same as “daemonic,” “gruesome.” Let us therefore return to the German language. In Dan- iel Sanders’ Wörterbuch der deutschen Sprache (1860), the following remarksi [abstracted in translation] are found upon the word heimlich; I have laid stress on certain pas- sages by italicizing them. Heimlich, adj.: I. Also heimelich, heinielig, belonging to the house, not strange, familiar, tame, intimate, comfort- able, homely, etc. (a) (Obsolete) belonging to the house or the family, or regarded as so belonging (cf. Latin familiaris): Die Heim- lichen, the members of the household; Der heimliche Rat [him to whom secrets are revealed] Gen. xli. 45; 2 Sam. xxiii. 23; now more usually Geheimer Rat [Privy Council- lor], cf. Heimlicher. (b) Of animals: tame, companionable to man. As op- posed to wild, e.g. “Wild animals . . . that are trained to be

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heimlich and accustomed to men.” “If these young crea- tures are brought up from early days among men they be- come quite heimlich, friendly,” etc. (c) Friendly, intimate, homelike; the enjoyment of quiet content, etc., arousing a sense of peaceful pleasure and se- curity as in one within the four walls of his house. “Is it still heimlich to you in your country where strangers are felling your woods?” “She did not feel all too heimlich with him.” “To destroy the Heimlichkeit of the home.” “I could not readily find another spot so intimate and heim- lich as this.” “In quiet Heinzlichkeit, surrounded by close walls.” “A careful housewife, who knows how to make a pleasing Heimlichkeit (Häuslichkeit)5 out of the smallest means.” “The protestant rulers do not feel . . . heimlich among their catholic subjects.” “When it grows heimlich and still, and the evening quiet alone watches over your cell.” “Quiet, lovely and heimlich, no place more fitted for her rest.” “The in and out flowing waves of the currents dreamy and heimlich as a cradle-song.” Cf. in especial Unheimlich. Among Swabian and Swiss authors in espe- cial, often as trisyllable: “How heimelich it seemed again of an evening, back at home.” “The warm room and the heimelig afternoon.” “Little by little they grew at ease and heimelig among themselves.” “That which comes from afar . . . assuredly does not live quite heimelig (heimatlich [at home], freundnachbarlich [in a neighborly way]) among the people.” “The sentinel’s horn sounds so heime- lig from the tower, and his voice invites so hospitably.” This form of the word ought to become general in order to protect the word from becoming obsolete in its good sense through an easy confusion with II. [see below]. ‘“The Zecks [a family name] are all “heimlich.”’ ‘“Heimlich”? What do you understand by “heimlich”?’ ‘Well, . . . they are like a buried spring or a dried-up pond. One cannot

5 [From Haus = house; Häuslichkeit = domestic life. —Trans.]

walk over it without always having the feeling that water might come up there again.’ ‘Oh, we call it “unheimlich”; you call it “heimlich.” Well, what makes you think that there is something secret and untrustworthy about this family?”’ Gutzkow. II. Concealed, kept from sight, so that others do not get to know about it, withheld from others, cf. Geheim [se- cret]; so also Heimlichkeit for Geheimnis [secret]. To do something heimlich, i.e. behind someone’s back; to steal away heimlich; heimlich meetings and appointments; to look on with heimlich pleasure at someone’s discomfiture; to sigh or weep heimlich; to behave heimlich, as though there was something to conceal; heimlich love, love-affair, sin; heimlich places (which good manners oblige us to conceal). 1 Sam, v. 6; “The heimlich chamber” [privy]. 2 Kings x. 27 etc.; “To throw into pits or Heimlichkeit.” Led the steeds heimlich before Laomedon.” “As secretive, heimlich, deceitful and malicious towards cruel masters . . . as frank, open, sympathetic and helpful towards a friend in misfortune.” “The heimlich art” (magic). “Where public ventilation has to stop, there heimlich machinations be- gin.” “Freedom is the whispered watchword of heimlich conspirators and the loud battle-cry of professed revolu- tionaries.” “A holy, heimlich effect.” “I have roots that are most heimlich, I am grown in the deep earth.” “My heim- lich pranks.” (Cf. Heimtücke [mischief]). To discover, dis- close, betray someone’s Heimlichkeiten; “to concoct Heimlichkeiten behind my back.” Cf. Geheimnis. Compounds and especially also the opposite follow meaning I. (above): Unheimlich, uneasy, eerie, bloodcur- dling; “Seeming almost unheimlich and ‘ghostly’ to him.” “I had already long since felt an unheimlich, even grue- some feeling.” “Feels an unheimlich horror.” “Unheimlich and motionless like a stone-image.” “The unheimlich mist called hill-fog.” “These pale youths are unheimlich and are brewing heaven knows what mischief.” “‘Unheimlich’ is

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the name for everything that ought to have remained . . . hidden and secret and has become visible,” Schelling. “To veil the divine, to surround it with a certain Unheim- lichkeit.”—Unheimlich is not often used as opposite to meaning II. (above). What interests us most in this long extract is to find that among its different shades of meaning the word heimlich exhibits one which is identical with its opposite, unheim- lich. What is heimlich thus comes to be unheimlich. (Cf. the quotation from Gutzkow: “We call it unheimlich; you call it heimlich.”) In general we are reminded that the word heimlich is not unambiguous, but belongs to two sets of ideas, which without being contradictory are yet very different: on the one hand, it means that which is familiar and congenial, and on the other, that which is concealed and kept out of sight. The word unheimlich is only used customarily, we are told, as the contrary of the first signi- fication, and not of the second. Sanders tells us nothing concerning a possible genetic connection between these two sorts of meanings. On the other hand, we notice that Schelling says something which throws quite a new light on the concept of the “uncanny,” one which we had cer- tainly not awaited. According to him everything is un- canny that ought to have remained hidden and secret, and yet comes to light. Some of the doubts that have thus arisen are removed if we consult Grimm’s dictionary.ii We read: Heimlich; adj. and adv. vernaculus, occultus; MHG. heîmelich, heîmlich. P. 874. In a slightly different sense: “I feel heimlich, well, free from fear. . . . (b) Heimlich, also in the sense of a place free from ghostly in- fluences . . . familiar, friendly, intimate. 4. From the idea of “homelike,” “belonging to the house,” the further idea is developed of something withdrawn from the eyes

of others, something concealed, secret, and this idea is expanded in many ways. . . . P. 876. “On the left bank of the lake there lies a meadow heim- lich in the wood.” Schiller, Tell. . . . Poetic licence, rarely so used in modern speech . . . In conjunction with a verb expressing the act of concealing: “In the secret of his tabernacle he shall hide me (heimlich).” Ps. xxvii. 5 . . . Heimlich places in the hu- man body, pudenda. . . “the men that died not were smitten” (on their heimlich parts). 1 Samuel v. 12. (c) Officials who give important advice which has to be kept secret in matters of state are called heimlich councillors; the ad- jective, according to modern usage, having been replaced by ge- heim [secret] . . . ‘Pharaoh called Joseph’s name “him to whom secrets are revealed”’ (heimlich councillor). Gen. xli. 45. P. 878. 6. Heimlich, as used of knowledge, mystic, allegorical: a heimlich meaning, mysticus, divinus, occultus, figuratus. P. 878. Heimlich in a different sense, as withdrawn from knowledge, unconscious: . . . Heimlich also has the meaning of that which is obscure, inaccessible to knowledge. . . . “Do you not see? They do not trust me; they fear the heimlich face of the Duke of Friedland.” Wallensteins Lager, Act. 2. 9. The notion of something hidden and dangerous, which is expressed in the last paragraph, is still further developed, so that “heimlich” comes to have the meaning usually ascribed to “unheimlich.” Thus: “At times I feel like a man who walks in the night and believes in ghosts; every corner is heimlich and full of terrors for him.” Klinger.

Thus heimlich is a word the meaning of which develops towards an ambivalence, until it finally coincides with its opposite, unheimlich. Unheimlich is in some way or other a sub-species of heimlich. Let us retain this discovery, which we do not yet properly understand, alongside of Schelling’s definition of the “uncanny.” Then if we exam- ine individual instances of uncanniness, these indications will become comprehensible to us.

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II In proceeding to review those things, persons, impres- sions, events and situations which are able to arouse in us a feeling of the uncanny in a very forcible and definite form, the first requirement is obviously to select a suitable ex- ample to start upon. Jentsch has taken as a very good in- stance “doubts whether an apparently animate being is really alive; or conversely, whether a lifeless object might not be in fact animate”; and he refers in this connection to the impression made by wax-work figures, artificial dolls and automatons. He adds to this class the uncanny effect of epileptic seizures and the manifestations of insanity, be- cause these excite in the spectator the feeling that auto- matic, mechanical processes are at work, concealed be- neath the ordinary appearance of animation. Without en- tirely accepting the author’s view, we will take it as a start- ing-point for our investigation because it leads us on to consider a writer who has succeeded better than anyone else in producing uncanny effects. Jentsch says: “In telling a story, one of the most success- ful devices for easily creating uncanny effects is to leave the reader in uncertainty whether a particular figure in the story is a human being or an automaton; and to do it in such a way that his attention is not directly focused upon his uncertainty, so that he may not be urged to go into the matter and clear it up immediately, since that, as we have said, would quickly dissipate the peculiar emotional effect of the thing. Hoffmann has repeatedly employed this psy- chological artifice with success in his fantastic narratives.” This observation, undoubtedly a correct one, refers pri- marily to the story of “The Sand-Man” in Hoffmann’s Nachtstücken,6 which contains the original of Olympia, the doll in the first act of Offenbach’s opera, Tales of

6 [From Haus = house; Häuslichkeit = domestic life. —Trans.]

Hoffmann. But I cannot think—and I hope that most read- ers of the story will agree with me—that the theme of the doll, Olympia, who is to all appearances a living being, is by any means the only element to be held responsible for the quite unparalleled atmosphere of uncanniness which the story evokes; or, indeed, that it is the most important among them. Nor is this effect of the story heightened by the fact that the author himself treats the episode of Olym- pia with a faint touch of satire and uses it to make fun of the young man’s idealization of his mistress. The main theme of the story is, on the contrary, something different, something which gives its name to the story, and which is always re-introduced at the critical moment: it is the theme of the “Sand-Man” who tears out children’s eyes. This fantastic tale begins with the childhood- recollections of the student Nathaniel: in spite of his pre- sent happiness, he cannot banish the memories associated with the mysterious and terrifying death of the father he loved. On certain evenings his mother used to send the children to bed early, warning them that “the Sand-Man was coming”; and sure enough Nathaniel would not fail to hear the heavy tread of a visitor with whom his father would then be occupied that evening. When questioned about the Sand-Man, his mother, it is true, denied that such a person existed except as a form of speech; but his nurse could give him more definite information: “He is a wicked man who comes when children won’t go to bed, and throws handfuls of sand in their eyes so that they jump out of their heads all bleeding. Then he puts the eyes in a sack and carries them off to the moon to feed his children. They sit up there in their nest, and their beaks are hooked like owls’ beaks, and they use them to peck up naughty boys’ and girls’ eyes with.” Although little Nathaniel was sensible and old enough not to believe in such gruesome attributes to the figure of the Sand-Man, yet the dread of him became fixed in his

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breast. He determined to find out what the Sand-Man looked like; and one evening, when the Sand-Man was again expected, he hid himself in his father’s study. He recognized the visitor as the lawyer Coppelius, a repulsive person of whom the children were frightened when he oc- casionally came to a meal; and he now identified this Cop- pelius with the dreaded Sand-Man. Concerning the rest of the scene, Hoffmann already leaves us in doubt whether we are witnessing the first delirium of the panic-stricken boy, or a succession of events which are to be regarded in the story as being real. His father and the guest begin to busy themselves at a hearth with glowing flames. The little eavesdropper hears Coppelius call out, “Here with your eyes!” and betrays himself by screaming aloud; Coppelius seizes him and is about to drop grains of red-hot coal out of the fire into his eyes, so as to cast them out on the hearth. His father begs him off and saves his eyes. After this the boy falls into a deep swoon; and a long illness fol- lowed upon his experience. Those who lean towards a ra- tionalistic interpretation of the Sand-Man will not fail to recognize in the child’s phantasy the continued influence of his nurse’s story. The grains of sand that are to be thrown into the child’s eyes turn into red-hot grains of coal out of the flames; and in both cases they are meant to make his eyes jump out. In the course of another visit of the Sand-Man’s, a year later, his father was killed in his study by an explosion. The lawyer Coppelius vanished from the place without leaving a trace behind. Nathaniel, now a student, believes that he has recognized this childhood’s phantom of horror in an itinerant optician, an Italian called Giuseppe Coppola. This man had offered him barometers for sale in his university town and when Nathaniel refused had added: “Eh, not barometers, not ba- rometers—also got fine eyes, beautiful eyes.” The stu- dent’s terror was allayed on finding that the proffered eyes were only harmless spectacles, and he bought a pocket-

telescope from Coppola. With its aid he looks across into Professor Spalanzani’s house opposite and there spies Spalanzani’s beautiful, but strangely silent and motionless daughter, Olympia. He soon falls in love with her so vio- lently that he quite forgets his clever and sensible be- trothed on her account. But Olympia was an automaton whose works Spalanzani had made, and whose eyes Cop- pola, the Sand-Man, had put in. The student surprises the two men quarrelling over their handiwork. The optician carries off the wooden eyeless doll; and the mechanician, Spalanzani, takes up Olympia’s bleeding eye-balls from the ground and throws them at Nathaniel’s breast, saying that Coppola had stolen them from him (Nathaniel). Na- thaniel succumbs to a fresh attack of madness, and in his delirium his recollection of his father’s death is mingled with this new experience. He cries, “Faster—faster— faster—rings of fire—rings of fire! Whirl about, rings of fire—round and round! Wooden doll, ho! lovely wooden doll, whirl about——,” then falls upon the professor, Olympia’s so-called father, and tries to strangle him. Rallying from a long and serious illness, Nathaniel seemed at last to have recovered. He was going to marry his betrothed with whom he was reconciled. One day he was walking through the town and marketplace, where the high tower of the Town-Hall threw its huge shadow. On the girl’s suggestion they mounted the tower, leaving her brother, who was walking with them, down below. Up there, Clara’s attention is drawn to a curious object coming along the street. Nathaniel looks at this thing through Cop- pola’s spyglass, which he finds in his pocket, and falls into a new fit of madness. Shouting out, “Whirl about, my wooden doll!” he tries to fling the girl into the depths be- low. Her brother, brought to her side by her cries, rescues her and hastens down to safety with her. Up above, the raving man rushes round, shrieking “Rings of fire, whirl about!”—words whose origin we know. Among the people

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who begin to gather below there comes forward the figure of the lawyer Coppelius, suddenly returned. We may sup- pose it was his approach, seen through the telescope, that threw Nathaniel into his madness. People want to go up and overpower the madman, but Coppelius7 laughs and says, “Wait a bit; he’ll come down of himself.” Nathaniel suddenly stands still, catches sight of Coppelius, and with a wild shriek “Yes! ‘Fine eyes-beautiful eyes,’” flings himself down over the parapet. No sooner does he lie on the paving-stones with a shattered skull than the Sand-Man vanishes in the throng. This short summary leaves, I think, no doubt that the feeling of something uncanny is directly attached to the figure of the Sand-Man, that is, to the idea of being robbed of one’s eyes; and that Jentsch’s point of an intellectual uncertainty has nothing to do with this effect. Uncertainty whether an object is living or inanimate, which we must admit in regard to the doll Olympia, is quite irrelevant in connection with this other, more striking instance of un- canniness. It is true that the writer creates a kind of uncer- tainty in us in the beginning by not letting us know, no doubt purposely, whether he is taking us into the real world or into a purely fantastic one of his own creation. He has admitted the right to do either; and if he chooses to stage his action in a world peopled with spirits, demons and ghosts, as Shakespeare does in Hamlet, in Macbeth and, in a different sense, in The Tempest and A Midsum- mer-Night’s Dream, we must bow to his decision and treat his setting as though it were real for as long as we put our- selves into his hands. But this uncertainty disappears in the course of Hoffmann’s story, and we perceive that he means to make us, too, look through the fell Coppola’s glasses—perhaps, indeed, that he himself once gazed 7 Frau Dr. Rank has pointed out the association of the name with “Cop- pella” = crucible, connecting it with the chemical operations that caused the father’s death; and also with “coppo” = eye-socket.

through such an instrument. For the conclusion of the story makes it quite clear that Coppola the optician really is the lawyer Coppelius and thus also the Sand-Man. There is no question, therefore, of any “intellectual un- certainty”; we know now that we are not supposed to be looking on at the products of a madman’s imagination be- hind which we, with the superiority of rational minds, are able to detect the sober truth; and yet this knowledge does not lessen the impression of uncanniness in the least de- gree. The theory of “intellectual uncertainty” is thus inca- pable of explaining that impression. We know from psychoanalytic experience, however, that this fear of damaging or losing one’s eyes is a terrible fear of childhood. Many adults still retain their apprehensive- ness in this respect, and no bodily injury is so much dreaded by them as an injury to the eye. We are accus- tomed to say, too, that we will treasure a thing as the apple of our eye. A study of dreams, phantasies and myths has taught us that a morbid anxiety connected with the eyes and with going blind is often enough a substitute for the dread of castration. In blinding himself, Oedipus, that mythical law-breaker, was simply carrying out a mitigated form of the punishment of castration—the only punish- ment that according to the lex talionis was fitted for him. We may try to reject the derivation of fears about the eye from the fear of castration on rationalistic grounds, and say that it is very natural that so precious an organ as the eye should be guarded by a proportionate dread; indeed, we might go further and say that the fear of castration itself contains no other significance and no deeper secret than a justifiable dread of this kind. But this view does not ac- count adequately for the substitutive relation between the eye and the male member which is seen to exist in dreams and myths and phantasies; nor can it dispel the impression one gains that it is the threat of being castrated in especial which excites a peculiarly violent and obscure emotion,

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and that this emotion is what first gives the idea of losing other organs its intense colouring. All further doubts are removed when we get the details of their “castration- complex” from the analyses of neurotic patients, and real- ize its immense importance in their mental life. Moreover, I would not recommend any opponent of the psychoanalytic view to select precisely the story of the Sand-Man upon which to build his case that morbid anxi- ety about the eyes has nothing to do with the castration- complex. For why does Hoffmann bring the anxiety about eyes into such intimate connection with the father’s death? And why does the Sand-Man appear each time in order to interfere with love? He divides the unfortunate Nathaniel from his betrothed and from her brother, his best friend; he destroys his second object of love, Olympia, the lovely doll; and he drives him into suicide at the moment when he has won back his Clara and is about to be happily united to her. Things like these and many more seem arbitrary and meaningless in the story so long as we deny all connection between fears about the eye and castration; but they be- come intelligible as soon as we replace the Sand-Man by the dreaded father at whose hands castration is awaited.8

8 In fact, Hoffmann’s imaginative treatment of his material has not played such havoc with its elements that we cannot reconstruct their original arrangement. In the story from Nathaniel’s childhood, the fig- ures of his father and Coppelius represent the two opposites into which the father-imago is split by the ambivalence of the child’s feeling; whereas the one threatens to blind him, that is, to castrate him, the other, the loving father, intercedes for his sight. That part of the com- plex which is most strongly repressed, the death-wish against the father, finds expression in the death of the good father, and Coppelius is made answerable for it. Later, in his student days, Professor Spalanzani and Coppola the optician reproduce this double representation of the father- imago, the Professor as a member of the father-series, Coppola openly identified with the lawyer Coppelius. Just as before they used to work together over the fire, so now they have jointly created the doll Olym- pia; the Professor is even called the father of Olympia. This second oc- currence of work in common shows that the optician and the mechani-

We shall venture, therefore, to refer the uncanny effect of the Sand-Man to the child’s dread in relation to its cas- tration-complex. But having gained the idea that we can take this infantile factor to account for feelings of uncan- niness, we are drawn to examine whether we can apply it to other instances of uncanny things. We find in the story of the Sand-Man the other theme upon which Jentsch lays stress, of a doll that appears to be alive. Jentsch believes that a particularly favourable condition for awakening un- canny sensations is created when there is intellectual un- certainty whether an object is alive or not, and when an in- cian are also components of the father-imago, that is, both are Nathan- iel’s father as well as Olympia’s. I ought to have added that in the terri- fying scene in childhood, Coppelius, after sparing Nathaniel’s eyes, had screwed off his arms and legs as an experiment; that is, he had experi- mented on him as a mechanician would on a doll. This singular feature, which seems quite out of perspective in the picture of the Sand-Man, in- troduces a new castration-equivalent; but it also emphasizes the identity of Coppelius and his later counterpart, Spalanzani the mechanician, and helps us to understand who Olympia is. She, the automatic doll, can be nothing else than a personification of Nathaniel’s feminine attitude to- wards his father in his infancy. The father of both, Spalanzani and Cop- pola, are, as we know, new editions, reincarnations of Nathaniel’s “two” fathers. Now Spalaazani’s otherwise incomprehensible statement that the optician has stolen Nathaniel’s eyes so as to set them in the doll be- comes significant and supplies fresh evidence for the identity of Olym- pia and Nathaniel. Olympia is, as it were, a dissociated complex of Na- thaniel’s which confronts him as a person, and Nathaniel’s enslavement to this complex is expressed in his senseless obsessive love for Olym- pia. We may with justice call such love narcissistic, and can understand why he who has fallen victim to it should relinquish his real, external object of love. The psychological truth of the situation in which the young man, fixated upon his father by his castration-complex, is inca- pable of loving a woman, is amply proved by numerous analyses of pa- tients whose story, though less fantastic, is hardly less tragic than that of the student Nathaniel. Hoffmann was the child of an unhappy marriage. When he was three years old, his father left his small family, never to be united to them again. According to Grisebach, in his biographical introduction to Hoffmann’s works, the writer’s relation to his father was always a most sensitive subject with him.

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animate object becomes too much like an animate one. Now, dolls happen to be rather closely connected with in- fantile life. We remember that in their early games chil- dren do not distinguish at all sharply between living and lifeless objects, and that they are especially fond of treat- ing their dolls like live people. In fact I have occasionally heard a woman patient declare that even at the age of eight she had still been convinced that her dolls would be certain to come to life if she were to look at them in a particular way, with as concentrated a gaze as possible. So that here, too, it is not difficult to discover a factor from childhood; but curiously enough, while the Sand-Man story deals with the excitation of an early childhood fear, the idea of a “liv- ing doll” excites no fear at all; the child had no fear of its doll coming to life, it may even have desired it. The source of the feeling of an uncanny thing would not, therefore, be an infantile fear in this case, but rather an infantile wish or even only an infantile belief. There seems to be a contra- diction here; but perhaps it is only a complication, which may be helpful to us later on. Hoffmann is in literature the unrivalled master of conjur- ing up the uncanny. His Elixire des Teufels [The Devil’s Elixir] contains a mass of themes to which one is tempted to ascribe the uncanny effect of the narrative; but it is too obscure and intricate a story to venture to summarize. To- wards the end of the book the reader is told the facts, //// has hitherto concealed from him, from which the action springs; with the result, not that he is at last enlightened, but that he falls into a state of complete bewilderment The author has piled up too much of a kind; one’s comprehen- sion of the whole suffers as a result, though not the im- pression it makes. We must content ourselves with select- ing those themes of uncanniness which are most promi- nent, and seeing whether we can fairly trace then also back to infantile sources. These themes are all concerned with the idea of a “double” in every shape and degree, with per-

sons, therefore, who are to be considered identical by rea- son of looking alike; Hoffmann accentuates this relation by transferring mental processes from the one person to the other—what we should call telepathy—so that the one possesses knowledge, feeling and experience in common with the other, identifies himself with another person, so that his self becomes confounded, or the foreign self is substituted for his own—in other words, by doubling, di- viding and interchanging the self. And finally there is the constant recurrence of similar situations, a same face, or character-trait, or twist of fortune, or a same crime, or even a same name recurring throughout several consecutive generations. The theme of the “double” has been very thoroughly treated by Otto Rank.9 He has gone into the connections the “double” has with reflections in mirrors, with shadows, guardian spirits, with the belief in the soul and the fear of death; but he also lets in a flood of light on the astonishing evolution of this idea. For the “double” was originally an insurance against destruction to the ego, an “energetic de- nial of the power of death,” as Rank says; and probably the “immortal” soul was the first “double” of the body. This invention of doubling as a preservation against extinction has its counterpart in the language of dreams, which is fond of representing castration by a doubling or multiplica- tion of the genital symbol; the same desire spurred on the ancient Egyptians to the art of making images of the dead in some lasting material. Such ideas, however, have sprung from the soil of unbounded self-love, from the primary narcissism which holds sway in the mind of the child as in that of primitive man; and when this stage has been left behind the double takes on a different aspect. From having been an assurance of immortality, he becomes the ghastly harbinger of death.

9 “Der Doppelgänger.”

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The idea of the “double” does not necessarily disappear with the passing of the primary narcissism, for it can re- ceive fresh meaning from the later stages of development of the ego. A special faculty is slowly formed there, able to oppose the rest of the ego, with the function of observing and criticizing the self and exercising a censorship within the mind, and this we become aware of as our “con- science.” In the pathological case of delusions of being watched this mental institution becomes isolated, dissoci- ated from the ego, and discernible to a physician’s eye. The fact that a faculty of this kind exists, which is able to treat the rest of the ego like an object—the fact, that is, that man is capable of self-observation—renders it possible to invest the old idea of a “double” with a new meaning and to ascribe many things to it, above all, those things which seem to the new faculty of self-criticism to belong to the old surmounted narcissism of the earliest period of all.10 But it is not only this narcissism, offensive to the ego- criticizing faculty, which may be incorporated in the idea of a double. There are also all those unfulfilled but possi- ble futures to which we still like to cling in phantasy, all those strivings of the ego which adverse external circum- stances have crushed, and all our suppressed acts of voli- tion which nourish in us the illusion of Free Will.11

10 I cannot help thinking that when poets complain that two souls dwell within the human breast, and when popular psychologists talk of the splitting of the ego in an individual, they have some notion of this divi- sion (which relates to the sphere of ego-psychology) between the criti- cal faculty and the rest of the ego, and not of the antithesis discovered by psychoanalysis between the ego and what is unconscious and re- pressed. It is true that the distinction is to some extent effaced by the circumstance that derivatives of what is repressed are foremost among the things reprehended by the ego-criticizing faculty. 11 In Ewers’ Der Student von Prag, which furnishes the starting-point of Rank’s study on the “double,” the hero has promised his beloved not to kill his antagonist in a duel. But on his way to the duelling-ground he meets his “double,” who has already killed his rival.

But, after having thus considered the manifest motiva- tion of the figure of a “double,” we have to admit that none of it helps us to understand the extraordinarily strong feel- ing of something uncanny that pervades the conception; and our knowledge of pathological mental processes en- ables us to add that nothing in the content arrived at could account for that impulse towards self-protection which has caused the ego to project such a content outward as some- thing foreign to itself. The quality of uncanniness can only come from the circumstance of the “double” being a crea- tion dating back to a very early mental stage, long since left behind, and one, no doubt, in which it wore a more friendly aspect. The “double” has become a vision of ter- ror, just as after the fall of their religion the gods took on daemonic shapes.12 It is not difficult to judge, on the same lines as his theme of the “double,” the other forms of disturbance in the ego made use of by Hoffmann. They are a harking-back to par- ticular phases in the evolution of the self-regarding feeling, a regression to a time when the ego was not yet sharply differentiated from the external world and from other per- sons. I believe that these factors are partly responsible for the impression of the uncanny, although it is not easy to isolate and determine exactly their share of it. That factor which consists in a recurrence of the same situations, things and events, will perhaps not appeal to everyone as a source of uncanny feeling. From what I have observed, this phenomenon does undoubtedly, subject to certain conditions and combined with certain circum- stances, awaken an uncanny feeling, which recalls that sense of helplessness sometimes experienced in dreams. Once, as I was walking through the deserted streets of a provincial town in Italy which was strange to me, on a hot summer afternoon, I found myself in a quarter the charac-

12 Heine, Die Götter im Exil.

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ter of which could not long remain in doubt. Nothing but painted women were to be seen at the windows of the small houses, and I hastened to leave the narrow street at the next turning. But after having wandered about for a while without being directed, I suddenly found myself back in the same street, where my presence was now be- ginning to excite attention. I hurried away once more, but only to arrive yet a third time by devious paths in the same place. Now, however, a feeling overcame me which I can only describe as uncanny, and I was glad enough to aban- don my exploratory walk and get straight back to the pi- azza I had left a short while before. Other situations having in common with my adventure an involuntary return to the same situation, but which differ radically from it in other respects, also result in the same feeling of helplessness and of something uncanny. As, for instance, when one is lost in a forest in high altitudes, caught, we will suppose, by the mountain mist, and when every endeavor to find the marked or familiar path ends again and again in a return to one and the same spot, recognizable by some particular landmark. Or when one wanders about in a dark, strange room, looking for the door or the electric switch, and col- lides for the hundredth time with the same piece of furni- ture—a situation which, indeed, has been made irresistibly comic by Mark Twain, through the wild extravagance of his narration. Taking another class of things, it is easy to see that here, too, it is only this factor of involuntary repetition which surrounds with an uncanny atmosphere what would other- wise be innocent enough, and forces upon us the idea of something fateful and unescapable where otherwise we should have spoken of “chance” only. For instance, we of course attach no importance to the event when we give up a coat and get a cloakroom ticket with the number, say, 62; or when we find that our cabin on board ship is numbered 62. But the impression is altered if two such events, each

in itself indifferent, happen close together, if we come across the number 62 several times in a single day, or if we begin to notice that everything which has a number— addresses, hotel-rooms, compartments in railway-trains— always has the same one, or one which at least contains the same figures. We do feel this to be “uncanny,” and unless a man is utterly hardened and proof against the lure of su- perstition he will be tempted to ascribe a secret meaning to this obstinate recurrence of a number, taking it, perhaps, as an indication of the span of life allotted to him. Or take the case that one is engaged at the time in reading the works of Hering, the famous physiologist, and then receives within the space of a few days two letters from two different countries, each from a person called Hering; whereas one has never before had any dealings with anyone of that name. Not long ago an ingenious scientist attempted to re- duce coincidences of this kind to certain laws, and so de- prive them of their uncanny effect.13 I will not venture to decide whether he has succeeded or not. How exactly we can trace back the uncanny effect of such recurrent similarities to infantile psychology is a question I can only lightly touch upon in these pages; and I must refer the reader instead to another pamphlet,14 now ready for publication, in which this has been gone into in detail, but in a different connection. It must be explained that we are able to postulate the principle of a repetition- compulsion in the unconscious mind, based upon instinc- tual activity and probably inherent in the very nature of the instincts—a principle powerful enough to overrule the pleasure-principle, lending to certain aspects of the mind their daemonic character, and still very clearly expressed in the tendencies of small children; a principle, too, which is responsible for a part of the course taken by the analyses of neurotic patients. Taken in all, the foregoing prepares us 13 P. Kammerer, Das Gesetz der Serie (Vienna, 1919). 14 [Beyond the Pleasure-Principle.—Trans.]

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for the discovery that whatever reminds us of this inner repetition-compulsion is perceived as uncanny. Now, however, it is time to turn from these aspects of the matter, which are in any case difficult to decide upon, and look for undeniable instances of the uncanny, in the hope that analysis of them will settle whether our hypothe- sis is a valid one. In the story of “The Ring of Polycrates,” the guest turns away from his friend with horror because he sees that his every wish is at once fulfilled, his every care immediately removed by kindly fate. His host has become “uncanny” to him. His own explanation, that the too fortunate man has to fear the envy of the gods, seems still rather obscure to us; its meaning is veiled in mythological language. We will therefore turn to another example in a less grandiose setting. In the case history of an obsessional neurotic,15 I have described how the patient once stayed in a hy- dropathic establishment and benefited greatly by it. He had the good sense, however, to attribute his improvement not to the therapeutic properties of the water, but to the situa- tion of his room, which immediately adjoined that of very amiable nurse. So on his second visit to the establishment he asked for the same room but was told that it was already occupied by an old gentleman, whereupon he gave vent to his annoyance in the words “Well, I hope he’ll have a stroke and die.” A fortnight later the old gentleman really did have a stroke. My patient thought this an “uncanny” experience. And that impression of uncanniness would have been stronger still if less time had elapsed between his exclamation and the untoward event, or if he had been able to produce innumerable similar coincidences. As a matter of fact, he had no difficulty in producing coinci- dences of this sort, but then not only he but all obsessional neurotics I have observed are able to relate analogous ex- 15 Freud, “Notes upon a Case of Obessional Neurosis,” Three Case His- tories, Collier Books edition BS 191V.

periences. They are never surprised when they invariably run up against the person they have just been thinking of, perhaps for the first time for many months. If they say one day “I haven’t had news of so-and-so for a long time,” they will be sure to get a letter from him the next morning. And an accident or a death will rarely take place without having cast its shadow before on their minds. They are in the habit of mentioning this state of affairs in the most modest manner, saying that they have “presentiments” which “usually” come true. One of the most uncanny and wide-spread forms of su- perstition is the dread of the evil eye.16 There never seems to have been any doubt about the source of this dread. Whoever possesses something at once valuable and fragile is afraid of the envy of others, in that he projects on to them the envy he would have felt in their place. A feeling like this betrays itself in a look even though it is not put into words; and when a man attracts the attention of others by noticeable, and particularly by unattractive, attributes, they are ready to believe that his envy is rising to more than usual heights and that this intensity in it will convert it into effective action. What is feared is thus a secret in- tention of harming someone, and certain signs are taken to mean that such an intention is capable of becoming an act. These last examples of the uncanny are to be referred to that principle in the mind which I have called “omnipo- tence of thoughts,” taking the name from an expression used by one of my patients. And now we find ourselves on well-known ground. Our analysis of instances of the un- canny has led us back to the old, animistic conception of the universe, which was characterized by the idea that the world was peopled with the spirits of human beings, and by the narcissistic overestimation of subjective mental processes (such as the belief in the omnipotence of 16 Seligmann, the Hamburg ophthalmologist, has made a thorough study of this superstition in his Der böse Blick und Verwandtes (Berlin, 1910).

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thoughts, the magical practices based upon this belief, the carefully proportioned distribution of magical powers or “mana” among various outside persons and things), as well as by all those other figments of the imagination with which man, in the unrestricted narcissism of that stage of development, strove to withstand the inexorable laws of reality. It would seem as though each one of us has been through a phase of individual development corresponding to that animistic stage in primitive men, that none of us has traversed it without preserving certain traces of it which can be re-activated, and that everything which now strikes us as “uncanny” fulfils the condition of stirring those ves- tiges of animistic mental activity within us and bringing them to expression.17 This is the place now to put forward two considerations which, I think, contain the gist of this short study. In the first place, if psychoanalytic theory is correct in maintain- ing that every emotional affect, whatever its quality, is transformed by repression into morbid anxiety, then among such cases of anxiety there must be a class in which the anxiety can be shown to come from something re- pressed which recurs. This class of morbid anxiety would then be no other than what is uncanny, irrespective of whether it originally aroused dread or some other affect. In the second place, if this is indeed the secret nature of the uncanny, we can understand why the usage of speech has extended das Heimliche into its opposite das Unheimli- che;18 for this uncanny is in reality nothing new or foreign, but something familiar and old—established in the mind

17 Cf. my book Totem und Tabu, part iii., “Animismus, Magie und All- macht der Gedanken”; also the footnote on p. 7 of the same book: “It would appear that we invest with a feeling of uncanniness those impres- sions which lend support to a belief in the omnipotence of thoughts, and to the animistic attitude of mind, at a time when our judgment has al- ready rejected these same beliefs.” 18 Cf. abstract on p. 23.

that has been estranged only by the process of repression. This reference to the factor of repression enables us, fur- thermore, to understand Schelling’s definition of the un- canny as something which ought to have been kept con- cealed but which has nevertheless come to light. It only remains for us to test our new hypothesis on one or two more examples of the uncanny. Many people experience the feeling in the highest degree in relation to death and dead bodies, to the return of the dead, and to spirits and ghosts. As we have seen, many languages in use today can only render the German ex- pression “an unheimliches house” by “a haunted house.” We might indeed have begun our investigation with this example, perhaps the most striking of all, of something uncanny, but we refrained from doing so because the un- canny in it is too much mingled with and in part covered by what is purely gruesome. There is scarcely any other matter, however, upon which our thoughts and feelings have changed so little since the very earliest times, and in which discarded forms have been so completely preserved under a thin disguise, as that of our relation to death. Two things account for our conservatism: the strength of our original emotional reaction to it, and the insufficiency of our scientific knowledge about it. Biology has not yet been able to decide whether death is the inevitable fate of every living being or whether it is only a regular but yet perhaps avoidable event in life. It is true that the proposition “All men are mortal” is paraded in text-books of logic as an ex- ample of a generalization, but no human being really grasps it, and our unconscious has as little use now as ever for the idea of its own mortality. Religions continue to dis- pute the undeniable fact of the death of each one of us and to postulate a life after death; civil governments still be- lieve that they cannot maintain moral order among the liv- ing if they do not uphold this prospect of a better life after death as a recompense for earthly existence. In our great

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cities, placards announce lectures which will tell us how to get into touch with the souls of the departed; and it cannot be denied that many of the most able and penetrating minds among our scientific men have come to the conclu- sion, especially towards the close of their lives, that a con- tact of this kind is not utterly impossible. Since practically all of us still think as savages do on this topic, it is no mat- ter for surprise that the primitive fear of the dead is still so strong within us and always ready to come to the surface at any opportunity. Most likely our fear still contains the old belief that the deceased becomes the enemy of his survivor and wants to carry him off to share his new life with him. Considering our unchanged attitude towards death, we might rather inquire what has become of the repression, that necessary condition for enabling a primitive feeling to recur in the shape of an uncanny effect. But repression is there, too. All so-called educated people have ceased to believe, officially at any rate, that the dead can become visible as spirits, and have hedged round any such appear- ances with improbable and remote circumstances; their emotional attitude towards their dead, moreover, once a highly dubious and ambivalent one, has been toned down in the higher strata of the mind into a simple feeling of reverence.19 We have now only a few more remarks to add, for ani- mism, magic and witchcraft, the omnipotence of thoughts, man’s attitude to death, involuntary repetition and the cas- tration-complex comprise practically all the factors which turn something fearful into an uncanny thing. We also call a living person uncanny, usually when we ascribe evil motives to him. But that is not all; we must not only credit him with bad intentions but must attribute to these intentions capacity to achieve their aim in virtue of certain special powers. A good instance of this is the “Get-

19 Cf. Totem und Tabu: “Das Tabu und die Ambivalenz.”

tatore,” that uncanny figure of Roman superstition which Schaeffer, with intuitive poetic feeling and profound psy- choanalytic knowledge, has transformed into a sympa- thetic figure in his Josef Montfort. But the question of these secret powers brings us back again to the realm of animism. It is her intuition that he possesses secret power of this kind that makes Mephistopheles so uncanny to the pious Gretchen. “She divines that I am certainly a spirit, even the devil himself perchance.”20 The uncanny effect of epilepsy and of madness has the same origin. The ordinary person sees in them the work- ings of forces hitherto unsuspected in his fellow-man but which at the same time he is dimly aware of in a remote corner of his own being. The Middle Ages quite consis- tently ascribed all such maladies to daemonic influences, and in this their psychology was not so far out. Indeed, I should not be surprised to hear that psychoanalysis, which concerned with laying bare these hidden forces, has itself become uncanny to many people for that very reason. In one case, after I had succeeded—though none too rap- idly—in effecting a cure which had lasted many years in a girl who had been an invalid, the patient’s own mother confessed to this attitude long after the girl’s recovery. Dismembered limbs, a severed head, a hand cut off at the wrist,21 feet which dance by themselves22—all these have something peculiarly uncanny about them, especially when, as in the last instance, they prove able to move of themselves in addition. As we already know, this kind of uncanniness springs from its association with the castra- tion-complex. To many people the idea of being buried alive while appearing to be dead is the most uncanny thing of all. And yet psychoanalysis has taught us that this terri-

20 “Sie ahnt, dass ich ganz sicher em Genie, Vielleicht sogar der Teufel bin.” 21 Cf. a fairy-tale of Hauff’s. 22 As in Schaeffer’s book mentioned above.

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fying phantasy is only a transformation of another phan- tasy which had originally nothing terrifying about it at all, but was filled with a certain lustful pleasure—the phan- tasy, I mean, of intra-uterine existence.

* * * * *

There is one more point of general application I should like to add, though, strictly speaking, it has been included in our statements about animism and mechanisms in the mind that have been surmounted; for I think it deserves special mention. This is that an uncanny effect is often and easily produced by effacing the distinction between imagi- nation and reality, such as when something that we have hitherto regarded as imaginary appears before us in reality, or when a symbol takes over the full functions and signifi- cance of the thing it symbolizes, and so on. It is this ele- ment which contributes not a little to the uncanny effect at- taching to magical practices. The infantile element in this, which also holds sway in the minds of neurotics, is the over-accentuation of psychical reality in comparison with physical reality—a feature closely allied to the belief in the omnipotence of thoughts. In the midst of the isolation of war-time a number of the English Strand Magazine fell into my hands; and, amongst other not very interesting matter, I read a story about a young married couple, who move into a furnished flat in which there is a curiously shaped table with carvings of crocodiles on it. Towards evening they begin to smell an intolerable and very typical odour that pervades the whole flat; things begin to get in their way and trip them up in the darkness; they seem to see a vague form gliding up the stairs—in short, we are given to understand that the presence of the table causes ghostly crocodiles to haunt the place, or that the wooden monsters come to life in the dark, or something of that sort. It was a thoroughly silly story, but the uncanny feel- ing it produced was quite remarkable.

To conclude this collection of examples, which is cer- tainly not complete, I will relate an instance taken from psychoanalytical experience; if it does not rest upon mere coincidence, it furnishes a beautiful confirmation of our theory of the uncanny. It often happens that male patients declare that they feel there is something uncanny about the female genital organs. This unheimlich place, however, is the entrance to the former heim [home] of all human be- ings, to the place where everyone dwelt once upon a time and in the beginning. There is a humorous saying: “Love is home-sickness”; and whenever a man dreams of a place or a country and says to himself, still in the dream, “this place is familiar to me, I have been there before,” we may inter- pret the place as being his mother’s genitals or her body. In this case, too, the unheimlich is what was once heimisch, homelike, familiar; the prefix ‘‘un’’ is the token of repres- sion.

III Having followed the discussion as far as this the reader will have felt certain doubts arising in his mind about much that has been said; and he must now have an oppor- tunity of collecting them and bringing them forward. It may be true that the uncanny is nothing else than a hidden, familiar thing that has undergone repression and then emerged from it, and that everything that is uncanny fulfils this condition. But these factors do not solve the problem of the uncanny. For our proposition is clearly not convertible. Not everything that fulfils this condition—not everything that is connected with repressed desires and ar- chaic forms of thought belonging to the past of the indi- vidual and of the race—is therefore uncanny. Nor would we, moreover, conceal the fact that for al- most every example adduced in support of our hypothesis some other analogous one may be found which rebuts it.

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The story of the severed hand in Hauff’s fairy-tale cer- tainly has an uncanny effect, and we have derived that ef- fect from the castration-complex. But in the story in Hero- dotus of the treasure of Rhampsenitus, where the master- thief leaves his brother’s severed hand behind him in that of the princess who wants to hold him fast, most readers will agree with me that the episode has no trace of uncan- niness. Again, the instant fulfillment of the king’s wishes in “The Ring of Polycrates” undoubtedly does affect us in the same uncanny way as it did the king of Egypt. Yet our own fairy-tales are crammed with instantaneous wish- fulfillments which produce no uncanny effect whatever. In the story of “The Three Wishes,” the woman is tempted by the savoury smell of a sausage to wish that she might have one too, and immediately it lies on a plate before her. In his annoyance at her forwardness her husband wishes it may hang on her nose. And there it is, dangling from her nose. All this, is very vivid but not in the least uncanny. Fairy-tales quite frankly adopt the animistic standpoint of the omnipotence of thoughts and wishes, and yet I cannot think of any genuine fairy-story which has anything un- canny about it. We have heard that it is in the highest de- gree uncanny when inanimate objects—a picture or a doll—come to life; nevertheless in Hans Andersen’s sto- ries the household utensils, furniture and tin soldiers are alive and nothing could perhaps be more remote from the uncanny. And we should hardly call it uncanny when Pygmalion’s beautiful statue comes to life. Catalepsy and the re-animation of the dead have been represented as most uncanny themes. But things of this sort again are very common in fairy-stories. Who would be so bold as to call it an uncanny moment, for instance, when Snow-White opens her eyes once more? And the re- suscitation of the dead in miracles, as in the New Testa- ment, elicits feelings quite unrelated to the uncanny. Then the theme that achieves such an indubitably uncanny ef-

fect, the involuntary recurrence of the like, serves, too, other and quite different purposes in another class of cases. One case we have already heard about in which it is em- ployed to call forth a feeling of the comic; and we could multiply instances of this kind. Or again, it works as a means of emphasis, and so on. Another consideration is this: whence come the uncanny influences of silence, darkness and solitude? Do not these factors point to the part played by danger in the aetiology of what is uncanny, notwithstanding that they are also the most frequent ac- companiment of the expression of fear in infancy? And are we in truth justified in entirely ignoring intellectual uncer- tainty as a factor, seeing that we have admitted its impor- tance in relation to death? It is evident that we must be prepared to admit that there are other elements besides those set down here determin- ing the production of uncanny feelings. We might say that these preliminary results have satisfied psychoanalytic in- terest in the problem of the uncanny, and that what re- mains probably calls for an aesthetic valuation. But that would be to open the door to doubts about the exact value of our general contention that the uncanny proceeds from something familiar which has been repressed. One thing we may observe which may help us to resolve these uncertainties: nearly all the instances which contra- dict our hypothesis are taken from the realm of fiction and literary productions. This may suggest a possible differen- tiation between the uncanny that is actually experienced, and the uncanny as we merely picture it or read about it. Something uncanny in real experience is conditioned much more simply, but is limited to much fewer occasions. We shall find, I think, that it fits in perfectly with our at- tempt at solution, and can be traced back without excep- tion to something familiar that has been repressed. But here, too, we must make a certain important and psycho-

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logically significant differentiation in our material, best il- lustrated by turning to suitable examples. Let us take the uncanny in connection with the omnipo- tence of thoughts, instantaneous wish-fulfillments, secret power to do harm and the return of the dead. The condition under which the feeling of uncanniness arises here is un- mistakable. We—or our primitive forefathers—once be- lieved in the possibility of these things and were convinced that they really happened. Nowadays we no longer believe in them, we have surmounted such ways of thought; but we do not feel quite sure of our new set of beliefs, and the old ones still exist within us ready to seize upon any con- firmation. As soon as something actually happens in our lives which seems to support the old, discarded beliefs, we get a feeling of the uncanny; and it is as though we were making a judgment something like this: “So, after all, it is true that one can kill a person by merely desiring his death!” or, “Then the dead do continue to live and appear before our eyes on the scene of their former activities!”, and so on. And conversely, he who has completely and fi- nally dispelled animistic beliefs in himself, will be insen- sible to this type of the uncanny. The most remarkable co- incidences of desire and fulfillment, the most mysterious recurrence of similar experiences in a particular place or on a particular date, the most deceptive sights and suspi- cious noises—none of these things will take him in or raise that kind of fear which can be described as “a fear of something uncanny.” For the whole matter is one of “test- ing reality,” pure and simple, a question of the material re- ality of the phenomena.23 23 Since the uncanny effect of a “double” also belongs to this class, it is interesting to observe what the effect is of suddenly and unexpectedly meeting one’s own image. E. Mach has related two such observations in his Analyse der Em findungen (1900, p. 3). On the first occasion he started violently as soon as he realized that the face before him was his own. The second time he formed a very unfavorable opinion about the supposed stranger who got into the omnibus, and thought “What a

The state of affairs is somewhat different when the un- canny proceeds from repressed infantile complexes, from the castration-complex, womb-phantasies, etc.; but experi- ences which arouse this kind of uncanny feeling are not of very frequent occurrence in real life. Actual occurrences of the uncanny belong for the most part to the first group; nevertheless the distinction between the two is theoreti- cally very important. Where the uncanny comes from in- fantile complexes the question of external reality is quite irrelevant; its place is taken by psychical reality. What is concerned is an actual repression of some definite material and a return of this repressed material, not a removal of the belief in its objective reality. We might say that in the one case what had been repressed was a particular ideational content and in the other the belief in its physical existence. But this last way of putting it no doubt strains the term “repression” beyond its legitimate meaning. It would be more correct to respect a perceptible psychological differ- ence here, and to say that the animistic beliefs of civilized people have been surmounted—more or less. Our conclu- sion could then be stated thus: An uncanny experience oc- curs either when repressed infantile complexes have been revived by some impression, or when the primitive beliefs we have surmounted seem once more to be confirmed. Fi- shabby-looking school-master that is getting in now.”—I can supply a similar experience. I was sitting alone in my wagon-lit compartment when a more than usually violent jerk of the train swung back the door of the adjoining washing-cabinet, and an elderly gentleman in a dress- ing-gown and a traveling cap came in. I assumed that he had been about to leave the washing-cabinet which divides the two compartments, and had taken the wrong direction and come into my compartment by mis- take. Jumping up with the intention of putting him right, I at once real- ized to my dismay that the intruder was nothing but my own reflection in the looking-glass of the open door. I can still recollect that I thor- oughly disliked his appearance. Instead, therefore, of being terrified by our doubles, both Mach and I simply failed to recognize them as such. Is it not possible, though, that our dislike of them was a vestigial trace of that older reaction which feels the double to be something uncanny?

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nally, we must not let our predilection for smooth solution and lucid exposition blind us to the fact that these two classes of uncanny experience are not always sharply dis- tinguishable. When we consider that primitive beliefs are most intimately connected with infantile complexes, and are, in fact, based upon them, we shall not be greatly as- tonished to find the distinction often rather a hazy one. The uncanny as it is depicted in literature, in stories and imaginative productions, merits in truth a separate discus- sion. To begin with, it is a much more fertile province than the uncanny in real life, for it contains the whole of the lat- ter and something more besides, something that cannot be found in real life. The distinction between what has been repressed and what has been surmounted cannot be trans- posed on to the uncanny in fiction without profound modi- fication; for the realm of phantasy depends for its very ex- istence on the fact that its content is not submitted to the reality-testing faculty. The somewhat paradoxical result is that in the first place a great deal that is not uncanny in fiction would be so if it happened in real life; and in the second place that there are many more means of creating uncanny effects in fiction than there are in real life. The story-teller has this license among many others, that he can select his world of representation so that it either coincides with the realities we are familiar with or departs from them in what particulars he pleases. We accept his ruling in every case. In fairy-tales, for instance, the world of reality is left behind from the very start, and the animis- tic system of beliefs is frankly adopted. Wish-fulfillments, secret powers, omnipotence of thoughts, animation of life- less objects, all the elements so common in fairy-stories, can exert no uncanny influence here; for, as we have learnt, that feeling cannot arise unless there is a conflict of judgement whether things which have been “surmounted” and are regarded as incredible are not, after all, possible; and this problem is excluded from the beginning by the

setting of the story. And thus we see that such stories as have furnished us with most of the contradictions to our hypothesis of the uncanny confirm the first part of our proposition—that in the realm of fiction many things are not uncanny which would be so if they happened in real life. In the case of the fairy-story there are other contribu- tory factors, which we shall briefly touch upon later. The story-teller can also choose a setting which, though less imaginary than the world of fairy tales, does yet differ from the real world by admitting superior spiritual entities such as daemonic influences or departed spirits. So long as they remain within their setting of poetic reality their usual attribute of uncanniness fails to attach to such beings. The souls in Dante’s Inferno, or the ghostly apparitions in Hamlet, Macbeth or Julius Caesar, may be gloomy and terrible enough, but they are no more really uncanny than is Homer’s jovial world of gods. We order our judgement to the imaginary reality imposed on us by the writer, and regard souls, spirits and spectres as though their existence had the same validity in their world as our own has in the external world. And then in this case too we are spared all trace of the uncanny. The situation is altered as soon as the writer pretends to move in the world of common reality. In this case he ac- cepts all the conditions operating to produce uncanny feel- ings in real life; and everything that would have an un- canny effect in reality has it in his story. But in this case, too, he can increase his effect and multiply it far beyond what could happen in reality, by bringing about events which never or very rarely happen in fact. He takes advan- tage, as it were, of our supposedly surmounted supersti- tiousness; he deceives us into thinking that he is giving us the sober truth, and then after all oversteps the bounds of possibility. We react to his inventions as we should have reacted to real experiences; by the time we have seen through his trick it is already too late and the author has

19

achieved his object; but it must be added that his success is not unalloyed. We retain a feeling of dissatisfaction, a kind of grudge against the attempted deceit; I have noticed this particularly after reading Schnitzler’s Die Weissagung and similar stories which flirt with the supernatural. The writer has then one more means he can use to escape our rising vexation and at the same time to improve his chances of success. It is this, that he should keep us in the dark for a long time about the precise nature of the conditions he has selected for the world he writes about, or that he should cunningly and ingeniously avoid any definite information on the point at all throughout the book. Speaking gener- ally, however, we find a confirmation of the second part of our proposition—that fiction presents more opportunities for creating uncanny sensations than are possible in real life. Strictly speaking, all these complications relate only to that class of the uncanny which proceeds from forms of thought that have been surmounted. The class which pro- ceeds from repressed complexes is more irrefragable and remains as powerful in fiction as in real experience, except in one point. The uncanny belonging to the first class— that proceeding from forms of thought that have been sur- mounted—retains this quality in fiction as in experience so long as the setting is one of physical reality; but as soon as it is given an arbitrary and unrealistic setting in fiction, it is apt to lose its quality of the uncanny. It is clear that we have not exhausted the possibilities of poetic license and the privileges enjoyed by storywriters in evoking or in excluding an uncanny feeling. In the main we adopt an unvarying passive attitude towards experience and are acted upon by our physical environment. But the story-teller has a peculiarly directive influence over us; by means of the states of mind into which he can put us and the expectations he can rouse in us, he is able to guide the current of our emotions, dam it up in one direction and

make it flow in another, and he often obtains a great vari- ety of effects from the same material. All this is nothing new, and has doubtless long since been fully taken into ac- count by professors of aesthetics. We have drifted into this field of research half involuntarily, through the temptation to explain certain instances which contradicted our theory of the causes of the uncanny. And accordingly we will now return to the examination of a few instances. We have already asked why it is that the severed hand in the story of the treasure of Rhainpsenitus has no uncanny effect in the way that Hauff’s story of the severed hand has. The question seems to us to have gained in impor- tance now that we have recognized that class of the un- canny which proceeds from repressed complexes to be the more durable of the two. The answer is easy. In the Hero- dotus story our thoughts are concentrated much more on the superior cunning of the master-thief than on the feel- ings of the princess. The princess may well have had an uncanny feeling, indeed she very probably fell into a swoon; but we have no such sensations, for we put our- selves in the thief’s place, not in hers. In Nestroy’s farce, Der Zerrissene, another means is used to avoid any im- pression of the uncanny in the scene in which the fleeing man, convinced that he is a murderer, lifts up one trapdoor after another and each time sees what he takes to be the ghost of his victim rising up out of it. He calls out in de- spair, “But I’ve only killed one man. Why this horrid mul- tiplication?” We know the truth and do not share the error of the Zerrissener, so what must be uncanny to him has an irresistibly comic effect on us. Even a “real” ghost, as in Oscar Wilde’s Canterville Ghost, loses all power of arous- ing at any rate an uncanny horror in us as soon as the author begins to amuse himself at its expense and allows liberties to be taken with it. Thus we see how independent emotional effects can be of the actual subject matter in the world of fiction. In fairy-stories feelings of fear—

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including uncanny sensations—are ruled out altogether. We understand this, and that is why we ignore the oppor- tunities we find for any development of a feeling of this kind. Concerning the factors of silence, solitude and darkness, we can only say that they are actually elements in the pro- duction of that infantile morbid anxiety from which the majority of human beings have never become quite free. This problem has been discussed from a psychoanalytical point of view in another place.

i Vol. i. p. 729. Heimlich, a. (-keit, f. -en): 1. auch Heimelich, heimelig, zum Hause gehörig, nicht fremd, vertraut zahm, traut und traulich, an- heimeind etc. (a) (veralt.) zum Haus, zur Familie gehörig, oder: wie dazu gehörig betrachtet, vgl. lat. familiaris, vertraut: Die Heimlichen, die Hausgenossen; Der heimliche Rat. 1. Mos. 41, 45; 2. Sam. 23, 23. I Chr. 12, 25. Weish. 8, 4., wofür jetzt: Geheimer (s. d 1.) Rat üblich ist, s. Heimlicher—(b) von Tieren zahm, sich den Menschen traulich anschließend. Ggstz. wild, z. B. Tier, die weder wild noch heimlich sind, etc. Eppendorf. 88; Wilde Thier . . . so man sie h. und gewohnsam um die Leute aufzeucht. 92. So diese Thierle von Jugend bei den Men- schen erzogen, werden sie ganz h., freundlich etc., Stumpf 608a etc.— So noch: So h. ist’s (das Lamm) und frißt aus meiner Hand. Hölty; Ein schöner, heimelicher (s. c) Vogel bleibt der Storch immerhin. Linck, Schl. 146. s. Häuslich. 1 etc.—(c) traut, traulich anheimelnd; das Wohl- gefühl stiller Befriedigung etc., behaglicher Ruhe u. sichern Schutzes, wie das umschlossne wohnliche Haus erregend (vgl. Geheuer): 1st dir’s h. noch im Lande, wo die Fremden deine Wälder roden? Alexis H. 1, 1, 289; Es war ihr nicht allzu h. bei ihm. Brentano Wehm. 92; Auf einem hohen h—en Schattenpfade . . ., längs dem rieselnden rauschenden und plätschernden Waldbach. Forster B. 1, 417. Die H—keit der Heimath zerstören. Gervinus Lit. 5, 375. So vertraulich und heimlich habe ich nicht leicht ein Plätzchen gefunden. G. 14, 14; Wir dachten es uns so bequem, so artig, so gemütlich und h. 15, 9; In stiller H—keit, umzielt von engen Schranken. Haller: Einer sorglichen Hausfrau, die mit dem Wenigsten eine vergnügliche H—keit (Häuslichkeit) zu schaffen ver- steht. Hartmann Unst. 1, 188; Desto h—er kam ihm jetzt der ihm erst kurz noch so fremde Mann vor. Kerner 540; Die protestantischen Besit- zer fühlen sich . . . nicht h. unter ihren katholischen Unterthanen. Kohl.

Irl. 1, 172; Wenns h. wird und leise/die Abendstille nur an deiner Zelle lauscht. Tiedge 2, 39; Still und lieb und h., als sie sich/zum Ruhen einen Platz nur wünschen möchten. W. 11, 144; Es war ihm garnicht h. dabei 27. 170, etc.—Auch: Der Platz war so still, so einsam, so schatten-h. Scherr Pilug. 1, 170; Die ab- und zuströmenden Fluthwellen, träumend und wiegenlied-h. Körner, Sch. 3, 320, etc.—Vgl. namentl. Un-h.— Namentl. bei schwäb., schwzr. Schriftst. oft dreisilbig: Wie “heimelich” war es dann Ivo Abends wieder, als er zu Hause lag. Auerbach, D. 1, 249; In dem Haus ist mir’s so heimelig gewesen. 4. 307; Die warme Stube, der heimelige Nachmittag. Gotthelf, Sch. 127, 148; Das ist das wahre Heimelig, wenn der Mensch so von Herzen fühlt, wie wenig er ist, wie groß der Herr ist. 147; Wurde man nach und nach recht gemütlich und heimelig mit einander. U. 1, 297; Die trauliche Heime- ligkeit. 380, 2, 86; Heimelicher wird es mir wohl nirgends werden als hier. 327; Pestalozzi 4, 240; Was von ferne herkommt . . . lebt gw. nicht ganz heimelig (heimatlich, freundnachbarlich) mit den Leuten. 325; Die Hütte, wo/er sonst so heimelig, so froh/. . . im Kreis der Seinen oft ge- sessen. Reithard 20; Da klingt das Horn des Wächters so heimelig vom Thurm/da ladet seine Stimme so gastlich. 49; Es schläft sich da so lind und warm/so wunderheim’lig ein. 23, etc.—Diese Weiseverdiente ail- gemein zu werden, um das gute Wort vor dem Veralten wegen nahe liegender Verwechslung mit 2 zu bewahren. vgl.: “Die Zecks sind aile h. (2)” H . . . ? Was verstehen sie unter h . . . ?—“Nun . . . es kommt mir mit ihnen vor, wie mit einem zugegrabenen Brunnen oder einem ausget- rockneten Teich. Man kann nicht darüber gehen, ohne daß es Einem immer ist, als könnte da wieder einmal Wasser zum Vorschein kom- men.” Wir nennen das un—h.; Sic nennen’s h. Worin finden Sie denn, daß diese Familie etwas Verstecktes und Unzuverlässiges hat? etc. Gutzkow R. 2, 61*).—(d) (s. c) namentl. schles.: fröhlich, heiter, auch vom Wetter, s. Adelung und Weinhold.—2. versteckt, verborgen gehal- ten, so daßs man Andre nicht davon oder darum wissen lassen, es ihnen verbergen will, vgl. Geheim (2), von welchem erst nhd. Ew. es doch zumal in der älteren Sprache, z. B. in der Bibel, wie Hiob 11, 6; 15, 8, Weish. 2, 22; 1. Kor. 2, 7 etc., und so auch H—keit statt Geheimnis. Math. 13, 35 etc., nicht immer genau geschieden wird: H. (hinter Je- mandes Rücken) etwas thun, treiben: Sich h. davon schleichen; H—e Zusammnenkünfte, Verabredungen; Mit h—er Schadenfreude zusehen; H. seufzen, weinen; H. thun, als ob man etwas zu verbergen hätte; H—e Liebe, Liebschaft, Sünde; H—e Orte (die der Wohlstand zu verhüllen gebietet), 1. Sam. 5, 6; Das h—e Gemach (Abtritt) 2. Kön. 10, 27; W. 5, 256 etc., auch: Der h—e Stuhl. Zinkgräf 1, 249; In Graben, in H— keiten werfen. 3, 75; Rollenhagen Fr. 83 etc.—Führte h. vor Laome- don/die Stuten vor. B. 161 b etc.—Ebenso versteckt, h., hinterlistig und

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boshaft gegen grausame Herren . . . wie offen, frei, theilnehmend und dienstwillig gegen den leidenden Freund. Burmeister g B 2, 157; Du sollst mein h. Heiligstes noch wissen. Chamisso 4, 56; Die h—e Kunst (der Zauberei). 3, 224; Wo die öffentliche Ventilation aufhören muß, fängt die h—e Machination an. Forster, Br. 2, 135; Freiheit ist die leise Parole h. Verschworener, das laute Feldgeschrei der öffentlich Umwäl- zenden. G. 4, 222; Ein heilig, h. Wirken. 15; Ich habe Wurzeln/die sind gaf h.,/im tiefen Boden/bin ich gegründet. 2, 109; Meine h—e Tücke (vgl. Heimtücke). 30, 344; Empfängt er es nicht offenbar und gewissen- haft, so mag er es h. und gewissenlos ergreifen. 39, 22; Ließ h. und ge- heimnisvoll archromatische Fernröhre zusammensetzen. 375; Von nun an, will ich, sei nichts H—es mehr unter uns. Sch. 369 b.—Jemandes H—keiten entdecken, offenbaren, verrathen; H—keiten hinter meinem Rücken zu brauen. Alexis. H. 2, 3, 168; Zu meiner Zeit/befliß man sich der H—keit. Hagedorn 3, 92; Die H—keit und das Gepuschele unter der Hand. Immermann, M. 3, 289; Der H—keit (des verborgnen Golds) unmächtigen Bann/kann nur die Hand der Einsicht lösen. Novalis. 1, 69; /Sag an, wo du sie verbirgst . . . in weiches Ortes verschwiegener H. Schr. 495 b; Ihr Bienen, die ihr knetet/der H—keiten Schloß (Wachs zum Siegeln). Tieck, Cymb. 3, 2; Erfahren in seltnen H—keiten (Zauberkünsten). Schlegel Sh. 6, 102 etc. vgl. Geheimnis L. 10: 291 ff. Zsstzg. s. 1 c, so auch nam. der Ggstz.: Un-: unbehagliches, banges Grauen erregend: Der schier ihm un-h., gespenstisch erschien. Chamisso 3, 238; Der Nacht un-h. bange Stunden. 4, 148; Mir war schon lang’ un-h., ja graulich zu Mute. 242; Nun fängts mir an, un-h. zu werden. Gutzkow R. 2, 82; Empfindet ein u—es Grauen. Verm. 1, 51: Un-h. und starr wie ein Steinbild. Reis, 1, 10; Den u—en Nebel, Haar- rauch geheißen. Immermann M., 3, 299; Diese blassen Jungen sind un- h. und brauen Gott weiß was Schlimmes. Laube, Band 1, 119; Un-h. nennt man Alles, was im Geheimnis, im Verborgnen . . . bleiben sollte und hervorgetreten ist. Schelling, 2, 2, 649 etc. —Das Göttliche zu verhüllen, mit einer gewissen U—keit zu umgeben 658, etc. —Unüblich aIs Ggstz. von (2), wie es Campe ohne Beleg anführt. ii Grimm, Jakob und Wilhelm, Deutsches Wörterbuch, Leipzig, 1877, IV./2, p. 874 et seq. “Heinthch; adj. und adv. vernaculus, occultus; mhd. heimelîch, heîm- lich. S. 874: In etwas anderem sinne: es ist mir heimlîch, wohl, frei von furcht. . . . (b) heimlich ist auch der von gespensterhaften freie ort . . . S. 875: (ß) vertraut; freundlich, zutraulich.

4. aus dem heimatlichen, häuslichen entwickelt sich weiter der be- griff des fremden augen entzogenen, verborgenen, geheimen, eben auch in mehrfacher beziehung ausgebildet . . . S. 876: “links am see liegt eine matte heimlich lin gehölz.” Schiller, Tell I., 4. . . . frei und für den modernen Sprachgebrauch ungewöhnlich . . . heim- lich ist zu einem verbum des verbergens gestellt: er verbirgt mich heim- lich in seinem gezelt. ps. 27, 5. (. . . heimliche orte am menschlichen Körper, pudenda . . . welche leute nicht stürben, die wurden geschlagen an heimlichen örten. 1 Samuel 5, 12 . . . (c) Beamtete, die wichtige und geheim zu haltende ratschläge in staatssachen ertheilen, heißen heimliche räthe, das adjektiv nach heuti- gem sprachgebrauch durch geheim (s.d.) ersetzt: . . . (Pharao) nennet ihn (Joseph) den heimlichen rath. 1. Mos. 41, 45; S. 878. 6. Heimlich für die erkenntnis, mystisch, allegorisch: heimli- che bedeutung, mysticus, divinus, occultus, figuratus. S. 878. Anders ist heimlich im folgenden, der erkenntnis entzogen, unbewuszt: . . . Dann aber ist heimlich auch verschlossen, undurchdringlich in bezug auf erforschung: . . . “Merkst du wohl? sie trauen mir nicht, fürchten des Friedländers heimlich gesicht.” Wallensteins lager, 2. aufz. 9. die bedeutung des versteckten, gefährlichen, die in der vorigen nummer hervortritt, entwickelt sich noch weiter, so daß heimlich den sinn empfängt, den sonst unheimlich (gebildet nach heimlich, 3b sp. 874) hat: “mir ist zu zeiten vie dem menschen der in nacht wandelt und an gespenster glaubt, jeder winkel ist ihm heimlich und schauerhaft.” Klinger, theater, 3, 298.

Wheeler - Einstein Bioraphical Memoir.pdf

n a t i o n a l a c a d e m y o f s c i e n c e s

Any opinions expressed in this memoir are those of the author(s) and do not necessarily reflect the views of the

National Academy of Sciences.

a l B e r t e i n s t e i n

1879—1955

A Biographical Memoir by

J o h n a r c h i B a l d W h e e l e r

Biographical Memoir

Copyright 1980 national aCademy of sCienCes

washington d.C.

ALBERT EINSTEIN March 14, 1879—April 18, 1955

BY JOHN ARCHIBALD WHEELER*

ALBERT EINSTEIN was born in Ulm, Germany on March -**- 14, 1879. After education in Germany, Italy, and Swit- zerland, and professorships in Bern, Zurich, and Prague, he was appointed Director of Kaiser Wilhelm Institute for Phy- sics in Berlin in 1914. He became a professor in the School of Mathematics at the Institute for Advanced Study in Princeton beginning the fall of 1933, became an American citizen in the summer of 1936, and died in Princeton, New Jersey on April 18, 1955. In the Berlin where in 1900 Max Planck discovered the quantum, Einstein fifteen years later explained to us that gravitation is not something foreign and mysterious acting through space, but a manifestation of space geometry itself. He came to understand that the universe does not go on from everlasting to everlasting, but begins with a big bang. Of all the questions with which the great thinkers have occupied themselves in all lands and all centuries, none has ever claimed greater primacy than the origin of the universe, and no contributions to this issue ever made by any man anytime have proved themselves richer in illuminating power than those that Einstein made.

Einstein's 1915 geometrical and still standard theory of

•©February 15, 1979.

97

98 BIOGRAPHICAL MEMOIRS

gravity provides a prototype unsurpassed even today for what a physical theory should be and do, but for him it was only an outlying ridge in the arduous climb to a greater goal that he never achieved. Scale the greatest Everest that there is or ever can be, uncover the secret of existence—that was what Einstein struggled for with all the force of his life.

How the mountain peak magnetized his attention he told us over and over. "Out yonder," he wrote, "lies this huge world, which exists independently of us human beings and which stands before us like a great, eternal riddle. . . ."* And again, "The most incomprehensible thing about the world is that it is comprehensible."t And yet again, "All of these en- deavors are based on the belief that existence should have a completely harmonious structure. Today we have less ground than ever before for allowing ourselves to be forced away from this wonderful belief." t

When the climber laboring toward the Everest peak comes to the summit of an intermediate ridge, he stops at the new panorama of beauty for a new fix on the goal of his life and a new charting of the road ahead; but he knows that he is at the beginning, not at the end of his travail. What Einstein did in spacetime physics, in statistical mechanics, and in quantum physics, he viewed as such intermediate ridges, such way stations, such panoramic points for planning further advance, not as achievements in themselves. Those way sta- tions were not his goals. They were not even preplanned means to his goal. They were catch-as-catch-can means to his goal.

Those who know physicists and mountaineers know the traits they have in common: a "dream-and-drive" spirit, a

*A. Einstein, "Autobiographical Notes," in Einstein: Philosopher-Scientist, ed. P. A. Schilpp (Evanston, 111.: Library of Living Philosophers, 1949), p. 4.

t B . Hoffmann, Albert Einstein: Creator and Rebel (New York: Viking, 1972), p. 18. t A. Einstein, Essays in Science (New York: Philosophical Library, 1934), p. 114.

ALBERT EINSTEIN 99

bulldog tenacity of purpose, and an openness to try any route to the summit. Who does not know Einstein's definition of a scientist as "an unscrupulous opportunist;"* or his words on another occasion, "But the years of anxious searching in the dark, with their intense longing, their alternations of confi- dence and exhaustion, and the final emergence into the light—only those who have experienced it can understand that." f For such a man there are not goals. There is only the goal, that distant peak.

Who was this climber? How did he come to be bewitched by the mountain? Where did he learn to climb so well? Who were his companions? What were some of his adventures? And how far did he get?

I first saw and heard Einstein in the fall of 1933, shortly after he had come to Princeton to take up his long-term residence there. It was a small, quiet, unpublicized seminar. Unified field theory was to be the topic, it became clear, when Einstein entered the room and began to speak. His English, though a little accented, was beautifully clear and slow. His delivery was spontaneous and serious, with every now and then a touch of humor. I was not familiar with his subject at that time, but I could sense that he had his doubts about the particular version of unified field theory he was then discus- sing. It was clear on this first encounter that Einstein was following very much his own line, independent of the interest in nuclear physics then at high tide in the United States.

There was one extraordinary feature of Einstein the man I glimpsed that day, and came to see ever more clearly each time I visited his house, climbed to his upstairs study, and we explained to each other what we did not understand. Over

*A. Einstein, "Reply to Criticisms," in Einstein: Philosopher-Scientist, ed. P. A. Schilpp (Evanston, 111.: Library of Living Philosophers, 1949), p. 648.

t M. J. Klein, Einstein, The Life and Times, R. W. Clark, book review, Science, 174: 1315.

100 BIOGRAPHICAL MEMOIRS

and above his warmth and considerateness, over and above his deep thoughtfulness, I came to see, he had a unique sense of the world of man and nature as one harmonious and someday understandable whole, with all of us feeling our way forward through the darkness together.

Our last time together came twenty-one years later, on April 14, 1954, when Einstein kindly accepted an invitation to speak at my relativity seminar. It was the last talk he ever gave, almost exactly a year before his death. He not only reviewed how he looked at general relativity and how he had come to general relativity, he also spoke as strongly as ever of his discomfort with the probabilistic features that the quantum had brought into the description of nature. "When a person such as a mouse observes the universe," he asked feelingly, "does that change the state of the universe?"* He also commented in the course of the seminar that the laws of physics should be simple. One of us asked, "But what if they are not simple?" "Then I would not be interested in them," t he replied.

How Einstein the boy became Einstein the man is a story told in more than one biography, but nowhere better than in Einstein's own sketch of his life, so well known as to preclude repetition here. Who does not remember him in difficulty in secondary school, antagonized by his teacher's determination to stuff knowledge down his throat, and in turn antagonizing the teacher? Who that takes the fast train from Bern to Zurich does not feel a lift of the heart as he flashes through the little town of Aarau? There, we recall, Einstein was sent to a special school because he could not get along in the ordinary school. There, guided by a wise and kind teacher,

*J. A. Wheeler, "Mercer Street and Other Memories," in Albert Einstein, His Influence on Physics, Philosophy, and Politics, ed. P. C. Aichelburg and R. U. Sexl (Braunscheig: Vieweg, 1979), p. 202.

tlbid., p. 204.

ALBERT EINSTEIN 101

he could work with mechanical devices and magnets as well as books and paper. Einstein was fascinated. He grew. He succeeded in entering the Zuricher Polytechnikum. One who was a rector there not long ago told me that during his period of rectorship he had taken the record book from Einstein's year off the shelf. He discovered that Einstein had not been the bottom student, but next to the bottom student. And how had he done in the laboratory? Always behind. He still did not hit it off with his teachers, excellent teachers as he himself said. His professor, Minkowski, later to be one of the warmest defenders of Einstein's ideas, was nevertheless turned off by Einstein the student. Einstein frankly said he disliked lectures and examinations. He liked to read. If one thinks of him as lonesome, one makes a great mistake. He had close col- leagues. He talked and walked and walked and talked.

To Einstein's development, his few close student col- leagues meant much; but even more important were the older colleagues he met in books. Among them were Leibniz and Newton, Hume and Kant, Faraday and Helmholtz, Hertz and Maxwell, Kirchhoff and Mach, Boltzmann and Planck. Through their influence, he turned from mathe- matics to physics, from a subject where there are dismayingly multitudinous directions for dizzy man to choose between, to a subject where this one and only physical world directs our endeavors.

Of all heroes, Spinoza was Einstein's greatest. No one expressed more strongly than he a belief in the harmony, the beauty, and—most of all—the ultimate comprehensibility of nature. In a letter to his old and close friend, Maurice Solo- vine, Einstein wrote, "I can understand your aversion to the use of the term 'religion' to describe an emotional and psy- chological attitude which shows itself most clearly in Spinoza. [But] I have not found a better expression than 'religious' for the trust in the rational nature of reality that is, at least to a

102 BIOGRAPHICAL MEMOIRS

certain extent, accessible to human reason."* In later years, Einstein was asked to do a life on Spinoza. He excused him- self from writing the biography itself on the ground that it required "exceptional purity, imagination and modesty," t but he did write the introduction. If it is true, as Thomas Mann tells us, that each one of us models his or her life consciously or unconsciously on someone who has gone be- fore, then who was closer to being role-creator for Einstein than Spinoza?

Search out the simple central principles of this physical world—that was becoming Einstein's goal. But how? Many a man in the street thinks of Einstein as a man who could only make headway in his work by dint of pages of complicated mathematics; the truth is the direct opposite. As Hilbert put it, "Every boy in the streets of our mathematical Gottingen understands more about four-dimensional geometry than Einstein. Yet, despite that, Einstein did the work and not the mathematicians." $ Time and again, in the photoelectric effect, in relativity, in gravitation, the amateur grasped the simple point that had eluded the expert. Where did Einstein acquire this ability to sift the essential from the non-essential?

The management consultant firm of Booz, Allen & Hamilton, which does so much today to select leaders of great enterprises, has a word of advice: What a young man does and who he works with in his first job has more effect on his future than anything else one can easily analyze. What was Einstein's first job? In the view of many, the position of clerk in the Swiss patent office was no proper job at all, but it was the best job available to anyone with his unpromising univer- sity record. He served in the Bern office for seven years, from

*A. Einstein, Lettres a Maurice Solovine (Paris: Gauthier-Villars, 1956), p. 102 (January 1, 1956).

t B . Hoffmann, Albert Einstein: Creator and Rebel (New York: Viking, 1972), p. 95. % P. Frank, Einstein, Sein Leben und seine Zeit (Miinchen: Paul List Verlag, 1949),

p. 335.

ALBERT EINSTEIN 103

June 23, 1902 to July 6, 1909. Every morning he faced his quota of patent applications. Those were the days when a patent application had to be accompanied by a working model. Over and above the applications and the models was the boss, a kind man, a strict man, and a wise man. He gave strict instructions: explain very briefly, if possible in a single sentence, why the device will work or why it won't; why the application should be granted or why it should be denied. Day after day Einstein had to distill the central lesson out of objects of the greatest variety that man has power to invent. Who knows a more marvelous way to acquire a sense of what physics is and how it works? It is no wonder that Einstein always delighted in the machinery of the physical world—from the action of a compass needle to the meander- ing of a river, and from the perversities of a gyroscope to the drive of Flettner's rotor ship.

Whoever asks how Einstein won his unsurpassed power of expression, let him turn back to the days in the" patent office and the boss who, "More severe than my father . . . taught me to express myself correctly." * The writings of Galileo are studied in secondary schools in Italy today, not for their physics, but for their clarity and power of expression. Let the secondary school student of our day take up the writings of Einstein if he would see how to make in the pithiest way a telling point.

From Bern, fate took Einstein to Zurich, to Prague, and then to the Berlin where his genius flowered. Colleagueship never meant more in his life than it did during his 19 years there, and never did he have greater colleagues: Max Planck, James Franck, Walter Nernst, Max von Laue, and others. Colleagueship did not mean chat; it meant serious consulta-

* "Errinerungen an Albert Einstein, 1902-1909," Bureau Federal de la Propriete Intellectuelle (Berne, Switzerland), as quoted in: R. W. Clark, Einstein, The Life and Times (New York: The World Publishing Co., 1971), p. 75.

104 BIOGRAPHICAL MEMOIRS

tion on troubling issues. No tool of colleagueship was more useful than the seminar. James Franck explained to me the democracy of this trial by jury. The professor, he empha- sized, stood on no pinnacle, beyond question by any student. On the contrary, the student had both the right and the obligation to question and to speak up.

If the writing of letters is a test of colleagueship, let no one question Einstein's power to give and to receive. Consider his enormous correspondence. Look at the postcards he sent over the years to the closest in spirit of all his colleagues, Paul Ehrenfest in Leyden. They deal with the issues nearest to his heart at the moment, whether the direction of time in statis- tical mechanics, or quantum fluctuations in radiation, or a problem of general relativity. Or examine his correspon- dence with Max Born, or Maurice Solovine, or with everyday people. To a schoolgirl who mentioned among many other things her problems with mathematics, he replied, "Do not worry about your difficulties in mathematics; I can assure you that mine are greater." * Why did Einstein correspond so much with people that you and I would call outsiders? Did he not feel that the amateur brings a freshness of outlook un- matched by the specialist with his narrow view?

The benefits of colleagueship with Einstein I experienced more than once, but never with greater immediate benefit than in statistical mechanics. In a discussion of radiation damping, he referred me to a published dialogue of 1909 between himself and Walter Ritz. The two men agreed to disagree and stated their opposing positions in this single clear sentence: "Ritz treats the limitations to retarded poten- tials as one of the foundations of the second law of thermody- namics, while Einstein believes that the irreversibility of radi- ation depends exclusively on considerations of probability." t

* H. Dukas and B. Hoffmann, eds., Albert Einstein; The Human Side: New Glimpses from His Archives (Princeton, N.J.: Princeton Univ. Press, 1979), p. 8.

t A . Einstein and W. Ritz, Physikalisches Zeitschrift, 10 (1909): 323-34.

ALBERT EINSTEIN 105

In accord with the position of Einstein, Richard Feynman and I found that the one-sidedness in time of radiation reac- tion can be understood as originating in the one-sidedness in time of the conditions imposed on the far-away absorber particles, and not at all in the elementary law of interaction between particle and particle. I joined the ranks of what I can only call "the worriers"—those like Boltzman, Ehrenfest, and Einstein himself, and many, many others—who ask, why initial conditions? Why not final conditions? Or why not some mixture of the two? And most of all, why thus and such initial conditions and no other? No one who knows of Einstein's lifelong concern with such issues can fail to have a new sense of appreciation on reading his great early papers on statistical mechanics, and not least among them the famous 1905 paper on the theory of the Brownian motion. Surely the perspective he won from these worries will someday help show us the way to Everest. "

Best known of Einstein's great trio of 1905 papers, however, is that on special relativity. "Henceforth," as Minkowski put the lesson of Einstein, "space by itself and time by itself, are doomed to fade away into mere shadows, and only a kind of union of the two will preserve an indepen- dent reality."* Historians of science can tell us that if Einstein had not come to this version of spacetime it would have been achieved by Lorentz, or Poincare, or another, who would also have come eventually to that famous equation E = me2, with all its consequences. But it still comes to us as a miracle that the patent office clerk was the one to deduce this greatest of lessons about spacetime from clues on the surface so innocent as those afforded by electricity and magnetism. Miracle? Would it not have been a greater miracle if anyone but a patent office clerk had discovered relativity? Who else could have distilled this simple central point from all the clutter of

*C. Reid, Hilbert (Berlin: Springer, 1970), p. 12.

106 BIOGRAPHICAL MEMOIRS

electromagnetism than someone whose job it was over and over each day to extract simplicity out of complexity?

If others could have given us special relativity, who else but Einstein, sixty-four years ago, could have given us gen- eral relativity? Who else knew out of the welter of facts to fasten on that which is absolutely central? Did the central point come to him, as legend has it, from talking to a house- painter who had fallen off a roof and reported feeling weightless during the fall? We all know that he called that 1908 insight the "happiest thought of my life"*—the idea that there is no such thing as gravitation, only free-fall. By thus giving up gravitation, Einstein won back gravitation as a manifestation of a warp in the geometry of space. His 1915 and still standard geometric theory of gravitation can be sum- marized, we know today, in a single, simple sentence: "Space tells matter how to move and matter tells space how to curve." t Through his insight that there is no such thing as gravity, he had had the creative imagination to bring together two great currents of thought out of the past. Riemann had stressed that geometry is not a God-given perfection, but a part of physics; and Mach had argued that acceleration makes no sense except with respect to frame determined by the other masses in the universe.

It is unnecessary to recall the three famous early tests of Einstein's geometric theory of gravitation: the bending of light by the sun, the red-shift of light from the sun, and the precession of the orbit of the planet Mercury going around the sun. Neither is it necessary to expound the important insights that have come and continue to come out of general relativity. Einstein showed that the law for the motion of a mass in space and time does not have to be made a separate

* A. Einstein, "The Fundamental Idea of General Relativity in Its Original Form," unpublished essay, 1919 (excerpts, New York Times, 28 March 1972), p. L.32.

f j . A. Wheeler, University of Texas, lecture of 2 March 1979.

ALBERT EINSTEIN 107

item in the conceptual structure of physics. Instead, it comes straight out of geometric law as applied to the space immedi- ately surrounding the mass in question. Moreover, the geom- etry that he had freed from slavery to Euclid, and that he had assigned to carry gravitation force, could throw off its chains, become a free agent, and, under the name of "gravitational radiation," carry energy from place to place over and above any energy carried by electromagnetic waves—an effect for which Joseph H. Taylor, L. A. Fowler, P. M. McCulloch, and their Arecibo Observatory colleagues in December 1978 an- nounced impressive evidence.*

One does not need to go into the theory of gravitationally collapsed objects or the evidence we have today, some im- pressive, some less convincing, for black holes: one of some ten solar masses in the constellation Cygnus; others in the range of a hundred or a thousand solar masses at the centers of five of the star clusters in our galaxy; one about four million times as massive as the sun at the center of the Milky Way; and one with a mass of about five billion suns in the center of the galaxy M87.

The collapse at the center of a black hole marks a third "gate of time," f additional to the big bang and the big crunch. Einstein tried to escape all three. Two years after general relativity, Einstein was already applying it to cosmology. He gave reasons to regard the universe as closed and qualita- tively similar to a three sphere, the three-dimensional gen- eralization of the surface of a rubber balloon. To his surprise, he found that the universe is dynamic and not static.

Einstein could not accept this result. First, he found fault

*L. A. Fowler, P. M. McCulloch, and J. H. Taylor, "Measurement of General Relativistic Effects in the Binary Pulsar PSR 1913 + 16," Nature, 277 (8 February 1979)437-40.

t j . A. Wheeler, "Genesis and Observership," mFoundational Problems in the Special Sciences, ed. R. E. Butts and K. J. Hintikka (Reidel: Dordrecht, 1977), p. 11.

108 BIOGRAPHICAL MEMOIRS

with Alexander Friedmann's mathematics. Then he retracted this criticism, and looked for the fault in his own theory of gravitation. It turned out there was no natural way to change that theory. The arguments of simplicity and correspon- dence in the appropriate limit with the Newtonian theory of gravitation left no alternative. There being no natural way to change the theory, he looked for the least unnatural way he could find to alter it. He introduced a so-called "cosmological term" with the sole point and purpose to hold the universe static. A decade later, Edwin Hubble, working at Mount Wil- son Observatory, gave convincing evidence that the universe is actually expanding. Thereafter, Einstein remarked that the cosmological term "was the biggest blunder of my life."* Today, looking back, we can forgive him his blunder and give him the credit for the theory of gravitation that predicted the expansion. Of all the great predictions that science has ever made over the centuries, each of us has his own list of spectac- ulars, but among them all was there ever one greater than this, to predict, and predict correctly, and predict against all expectation, a phenomenon so fantastic as the expansion of the universe? When did nature ever grant man greater en- couragement to believe he will someday understand the mys- tery of existence?

Why did Einstein in the beginning reject his own greatest discovery? Why did he feel that the universe should go on from everlasting to everlasting, when to all brought up in the Judeo-Christian tradition an original creation is the natural concept? I am indebted to Professor Hans Kiing for suggest- ing an important influence on Einstein from his hero Spi- noza. Why was twenty-four-year-old Spinoza excommuni- cated in 1656 from the synagogue in Amsterdam? Because he denied the doctrine of an original creation. What was the

*G. Gamow, My World Line (New York: Viking, 1970), p. 44.

ALBERT EINSTEIN 109

difficulty with that doctrine? In all that nothingness before creation where could that clock sit that should tell the uni- verse when to come into being!

Today we have a little less difficulty with this point. We do not escape by saying that the universe goes through cycle after cycle of big bang and collapse, world without end. There is not the slightest warrant in general relativity for such a way of speaking. On the contrary, it provides no place whatsoever for a before before the big bang or an after after the big crunch. Quantum theory goes further. It tells us that however permissible it is to speak about space, it is not per- missible to speak in other than approximate terms of space- time. To do so would violate the uncertainty principle—as that principle applies to the dynamics of geometry. No, when it comes to small distances either in the here and the now or in the most extreme stages of gravitational collapse, space- time loses all meaning, and time itself is not an ultimate category in the description of nature. No one who wrestles with the three gates of time, our greatest heritage of paradox—and of promise—from general relativity can escape the all-pervasive influence of the quantum.

Spinoza's influence on his thinking about cosmology Ein- stein could shake off—but not Spinoza's deterministic out- look. Proposition XXIX in The Ethics of Spinoza states: "Nothing in the universe is contingent, but all things are conditioned to exist and operate in a particular manner by the necessity of divine nature."* Einstein accepted deter- minism in his mind, his heart, his very bones.

Who then was first clearly to recognize that the real world, and the world of the quantum, is a world of chance and unpredictability? Einstein himself!

Why did Einstein, who in the beginning with Max Planck

* B. Spinoza, Die Ethik, Part One, Proposition XXIX (Hamburg: F. Meiner, 1955).

110 BIOGRAPHICAL MEMOIRS

and Niels Bohr had done so much to give quantum physics to the world, in the end stand out so strongly and so lonesomely against the central point? What other explanation is there than this "set" he had received from Spinoza?

The early quantum work of Bohr and Einstein is almost a duet. Einstein, 1905: The energy of light is carried from place to place as quanta of energy, accidental in time and space in their arrival. Bohr, 1913: The atom is characterized by stationary states, and the difference in energy between one and another is given off in a light quantum. Einstein, 1916: The processes of light emission and light absorption are gov- erned by the laws of chance, but satisfy the principle of detailed balance. Bohr, 1927: Complementarity prevents a detailed description in space and time of what goes on in the act of emission. Here Bohr and Einstein parted company. Einstein spoke against Einstein. The Einstein who in 1915 said there was no escape from the laws of chance was insisting by 1916, as he did all the rest of his life, against the evidence and against the views of his greatest colleagues, that "God does not [play] dice." *

If an army is being defeated it can still, by a sufficiently skillful rear-guard action, have an important influence on the outcome. No one who in all the great history of the quantum contested with Niels Bohr did more to sharpen and strengthen Bohr's position than Einstein. Never in recent centuries was there a dialogue between two greater men over a longer period on a deeper issue at a higher level of col- leagueship, nor a nobler theme for playwright, poet, or artist. From their earliest encounter, Einstein liked Bohr, writing him on May 2, 1920, "I am studying your great works—and when I get stuck anywhere—now have the pleasure of seeing your friendly young face before me smiling and explain-

*A. Einstein, Albert Einstein und Max Born, Bnefwechsel, 1916-1955, Kommentiert von Max Born (Munchen: Nymphenburg, 1969), pp. 129-30.

ALBERT EINSTEIN 111

ing."* Bohr viewed Einstein with admiration and warm re- gard. Let him who will read Bohr's account of the famous dialogue, even today unsurpassed for its comprehensive ar- ticulation of the central issues. Who knows what the quantum means who does not know the friendly but deadly serious battles fought and won on the double-slit experiment, on the possibilities for weighing a photon, on the Einstein-Podolsky- Rosen experiment, and on the danger associated with unguarded use of the word "reality"? To help to clarify the issues brought up in the later years of the great dialogue, Bohr found himself forced to introduce the word "phenom- enon" f to describe an elementary quantum process "brought to a close by an irreversible act of amplification." $ Thanks to that word, brought in to withstand the criticism of Einstein, we have learned in our own time to state the central lesson of the quantum in a single simple sentence, "No elementary phenomenon is a phenomenon until it is an observed phe- nomenon." §

How could the correctness of quantum theory be by now so widely accepted, and its decisive point so well perceived, if there had been no great figure, no Einstein, to draw the embers of unease together in a single flame and thereby drive Bohr to that fuller formulation of the central lesson which he at last achieved?

If the quantum and the gates of time are the strongest features of this strange universe, and if they shall prove in time to come the doorways to that deeper view for which

* Letter to N. Bohr, 2 May 1920. t N. Bohr, "Discussion with Einstein on Epistemological Problems in Atomic Phys-

ics," in Einstein: Philosopher-Scientist, ed. P. A. Schilpp (Evanston, 111.: Library of Living Philosophers, 1949), p. 238.

t N. Bohr, Atomic Physics and Human Knowledge (New York: Wiley, 1958), p. 73, 88. §J. A. Wheeler, "Frontiers of Time," in Rendicotti delta Scuola Internazionale di

Fisica "Enrico Fermi," LXXII Corso, Problems in the Foundations of Physics, ed. N. Toraldo di Francia and Bas van Fraassen (Amsterdam: North-Holland, 1979), pp. 395^197.

112 BIOGRAPHICAL MEMOIRS

Einstein searched, mankind will forever remember with gratitude his absolutely decisive involvement with both.

No one who is a professor and receives his support from the larger community can rightly be unmindful of his obliga- tions to it. He must speak to the higher values of all insofar as he is qualified and able to do so. Burden though it was for Einstein to take on this extra duty, he did it to the best of his ability. What he defended were no whims, no lightly held fancies, but goals he held and deeply desired for the world. If in this undertaking he had some of the character of an Old Testament prophet, he also had all of the eloquence. State- ments from Einstein created an audience, and the audience created the pressure for more statements. What is long, Ein- stein felt, is lost. Pith and pungency were the points of his pronouncements. Who does not know the causes for which he stood! Whoever admires greatness, let him read Einstein's words about the goals and the greatness of recently departed colleagues, as well as heroes out of the deeper past. For social justice and social responsibility, Einstein spoke up time and again: "A hundred times every day I remind myself that my inner and outer life are based on the labors of other men, living and dead, and that I must exert myself in order to give in the same measure as I have received and am still receiv- ing."* He stressed the necessity of a political system that does not rely on coercion if people are to contribute all that lies in them to achieve.

He expressed admiration for the system of social care, going back to Bismarck, that makes provision for the indi- vidual in case of illness or need. Living through the tragedy of two world wars, he protested many times about the waste- fulness of war: lives lost, hatred engendered, and values per-

* A. Einstein, Mein Weltbild, trans. A. Harris, in The World As I See It (New York: Philosophical Library, 1949), p. 90.

ALBERT EINSTEIN 113

verted; but when it came to a choice between war or freedom and justice, he spoke for freedom and justice. He refused the invitation to become the first president of Israel, but he worked after that declination as effectively as before for the welfare of a unique community, remarking, "The pursuit of knowledge for its own sake, an almost fanatical love of justice and the desire for personal independence—these are the features of the Jewish tradition which make me thank my stars that I belong to it."*

Things did not go in the world as Einstein had hoped. Things did not go in physics as he had desired. Determinism stood in ruins. His search for a unified geometric theory of all the forces of nature came to nothing—though today, with a new and wider concept of what geometry is, in the sense of a so-called "gauge theory," marvelous new progress is now being made toward his dream of unification. He left us in general relativity with an ideal for a physical theory that has never been surpassed. He showed a unique talent for finding the central point in every subject to which his philosophical antecedents gave right of entry. He did as much as any man who ever lived to make us face up to the central mysteries of this strange world.

Einstein worked with all his force to the very end. In his last days he had a tired face. Everything that he had to give he had given for his causes, and among them that greatest of causes, the goal toward which he had climbed so high, that snowy peak whose light today shines brighter than ever: "A completely harmonious account of existence." t

As we look up at the distant intervening craggy slope, we are amazed suddenly to make out the faint sound of a high far-off violin. Then out of the valley behind and below us

*Ibid., p. 1.

tA. Einstein, Essays in Science (New York: Philosophical Library, 1934), p. 114.

114 BIOGRAPHICAL MEMOIRS

comes an answering burst of song, young voices all. They chorus of the loftiness of the peak, the danger of the climb, and the greatness of the climber, the man of peace with the white hair. He no longer belongs to any one country, any one group, any one age, we hear them singing, but to all friends of the future. Least of all, they tell us, does Einstein anymore belong to Einstein. He belongs to the world.

ALBERT EINSTEIN 115

BIBLIOGRAPHY

A Bibliographical Checklist and Index, compiled by Nell Bonie, Mo- nique Russ, and Dan H. Lawrence. New York: Readex Micro- print Corp., 1960. 34 pp.

This bibliography has been emended and updated by Helen Dukas as part of the not yet published work of the ongoing Einstein papers project at the Institute for Advanced Study, Princeton, New Jersey, 08540. The 34-page length of diis bibliography and its availability in leading libraries makes it appropriate, in the case of Einstein, to replace the bibliography customarily at the end of the usual memorial by a list of some of the more important writings about him. Princeton University Press, on February 22, 1971, signed an agreement with the Estate of Albert Einstein, Otto Nathan and Helen Dukas, trustees, for the preparation of an authorized annotated scholarly edition of die papers of Albert Einstein, the preparation of which is, however, expected to require some years. In the meantime, reference can be made to the unauthorized Russian four-volume series, Sobranie Nauchnykh Trudov.

Einstein, The Life and Times, by Ronald W. Clarke. New York: T h e World Publishing Co., 1971. xv + 719, with index.

This is a convenient reference for one seeking a year-to-year chronology of the events, great and small, in Einstein's life.

Albert Einstein; the Human Side: New Glimpses from his Archives, trans- lated and edited by Banesh Hoffmann and Helen Dukas. Princeton Univ. Press, 1979. 167 pp.

Contains many hitherto unpublished letters that Einstein, in reply to every- day people, wrote with no thought of publication in mind. They illuminate the wider outlooks and concerns of Einstein, the man.

Albert Einstein, Creator and Rebel, by Banesh Hoffmann with the collaboration of Helen Dukas. New York: Viking, 1972. xv+ 272, with index.

This is a brief biography by one who worked with him as an assistant in 1936 and 1937, who understands and describes Einstein's achievements in clear, simple terms.

116 BIOGRAPHICAL MEMOIRS

Einstein, His Life and Times, by Philipp Frank, translated from a German manuscript by George Rosen, edited and revised by Shuichi Kusaka. New York: Alfred Knopf, 1947. xxiii + 298, with index.

This is written by one who knew Einstein well, in 1912 became Einstein's successor as professor of theoretical physics at the University of Prague, and kept contact after he became professor of physics at Harvard Univer- sity in 1940.

Albert Einstein: Philosopher-Scientist, edited by Paul A r t h u r Schilpp. Evanston, 111.: Library of Living Philosophers, 1949. xvi + 781, with index, subsequently made available in a paperback edition by Schilpp.

This book begins with "Autobiographical Notes" by Einstein himself in facing pages of English and German. It tells much about the motivations of childhood and youth, as well as later years. It contains commentaries on Einstein's work by such colleagues as Arnold Sommerfeld, Louis de Brog- lie, H. P. Robertson, Wolfgang Pauli, Max Born, Max von Laue and Kurt Godel. Niels Bohr's contribution, "Discussion with Einstein on Epistemo- logical Problems in Atomic Physics," is a so far unrivaled account not only of the great dialogue, but also of the role of measurement in quantum mechanics. More on the dialogue will be found in The Philosophy of Quantum Mechanics by Max Jammer (John Wiley, New York, 1974, xii + 536), espe- cially chapter 5, "The Bohr-Einstein Debate."

Einstein, by Jeremy Bernstein, edited by Frank Kermode. New York: Viking, 1973. xii + 241. Appeared originally in the pages of The New Yorker.

Albert Einstein, by Carl Seelig. Miinchen, Germany: Europa Verlag, 1960. 446 p p .

Described by Thomas Mann, Einstein's Princeton neighbor during World War II, as "an important contribution to the biography of a world genius on whose shadowy [tastende] beginning he throws new light,"

Einstein—Letters a Maurice Solovine. Paris: Gauthier-Villars, 1956. 140 p p .

Maurice Solovine was a close friend of Einstein in his early scientific life.

ALBERT EINSTEIN 1 17

Letters on Wave Mechanics: Schrbdinger, Planck, Einstein, Lorentz, edited by K. Przibram, translation and introduction by Martin J. Klein. New York: Philosophical Library, 1967. xv + 75.

Contains, on pages 23^10, the Einstein-Schrodinger correspondence deal- ing with the issues raised by quantum mechanics about the nature of "reality."

Einstein to Ehrenfest Postcards, sent over the years 1915 to 1933 to Einstein's closest scientific colleague, and given by Mrs. Ehren- fest to John Archibald Wheeler, September, 1956, and depos- ited by him in the Einstein Archives like many other Einstein writings, to wait for the definitive publication of his works to see the light of day.

Albert Einstein—Arnold Sommerjeld Brief wechsel, von Arrnin H e r m a n n herausgegeben und kommentiert. Basel, Germany: Schwabe, 1978. 126 pp.

Correspondence (1912 to 1949) between two outstanding, but very different physicists, beginning with relativity, but then turning to quantum theory and mirroring the physics of the times.

Albert Einstein—Hedwig und Max Born, Briefwechsel, 1916-1955, kommentiert von Max Born, Geleitwort von Bertrand Russell, Vorwort von Werner Heisenberg. Munchen: Nymphenburger Verlagshandlung, 1969, 330 pages; translated by Irene Born as The Born-Einstein Letters: the Correspondence Between Albert Einstein and Max and Hedwig Born, 1916-1955, (New York: Walker, 1971, xi + 2 4 0 ) .

Deals with issues human as well as scientific. C. P. Snow remarked of this book in the Financial Times of London, "nothing I have said ought to prevent anyone, however illiterate scientifically, from getting hold of these Born-Einstein letters . . . . there is nothing quite like this correspondence of theirs."

1170 Conrad - Heart of Darkness.pdf

HEART OF DARKNESS

By

JOSEPH CONRAD Author of “ The Children of the Sea,”

“Lord Jim,” “ Typhoon,”

&c., &c.

GARDEN CITY, NEW YORK

DOUBLEDAY, PAGE & COMPANY

1916

HEART OF DARKNESS

I

THE Nellie, a cruising yawl, swung to her anchor without a flutter of the sails, and was at rest. The flood had made, the wind

was nearly calm, and being bound down the river, the only thing

for it was to come to and wait for the turn of the tide.

The sea-reach of the Thames stretched before us like the

beginning of an interminable, waterway. In the offing the sea and

the sky were welded together without a joint, and in the luminous

space the tanned sails of the barges drifting up with the tide

seemed to stand still in red clusters of canvas sharply peaked, with

gleams of varnished sprits. A haze rested on the low shores that

ran out to sea in vanishing flatness. The air was dark above

Gravesend, and farther back still seemed condensed into a

mournful gloom, brooding motionless over the biggest, and the

greatest, town on earth.

The Director of Companies was our captain and our host. We

four affectionately watched his back as he stood in the bows

looking to seaward. On the whole river there was nothing that

looked half so nautical. He resembled a pilot, which to a seaman

is trustworthiness personified. It was difficult to realize his work

was not out there in the luminous estuary, but behind him, within

the brooding gloom.

Between us there was, as I have already said somewhere, the

bond of the sea. Besides holding our hearts together through long

periods of separation, it had the effect of making us tolerant of

each other’s yarns—and even convictions. The Lawyer—the best of

old fellows—had, because of his many years and many virtues, the

only cushion on deck, and was lying on the only rug. The

Accountant had brought out already a box of dominoes, and was

toying architecturally with the bones. Marlow sat cross-legged right

aft, leaning against the mizzen-mast. He had sunken cheeks, a

yellow complexion, a straight back, an ascetic aspect, and, with his

arms dropped, the palms of hands outwards, resembled an idol.

The Director, satisfied the anchor had good hold, made his way

aft and sat down amongst us. We exchanged a few words lazily.

Afterwards there was silence on board the yacht. For some reason

or other we did not begin that game of dominoes. We felt medi-

tative, and fit for nothing but placid staring. The day

was ending in

a serenity of still and exquisite brilliance. The water shone

pacifically; the sky, without a speck, was a benign immensity of

unstained light; the very mist on the Essex marshes was like a

gauzy and radiant fabric, hung from the wooded rises inland, and

draping the low shores in diaphanous folds. Only the gloom to the

west, brooding over the upper reaches, became more somber

every minute, as if angered by the approach of the sun.

And at last, in its curved and imperceptible fall, the sun sank

low, and from glowing white changed to a dull red without rays

and without heat, as if about to go out suddenly, stricken to death

by the touch of that gloom brooding over a crowd of men.

Forthwith a change came over the waters, and the serenity

became less brilliant but more profound. The old river in its

broad reach rested unruffled at the decline of day, after ages of

good service done to the race that peopled its banks, spread out in

the tranquil dignity of a waterway leading to the uttermost ends of

the earth. We looked at the venerable stream not in the vivid flush

of a short day that comes and departs for ever, but in the august

light of abiding memories. And indeed nothing is easier for a man

who has, as the phrase goes, “followed the sea” with reverence and

affection, than to evoke the great spirit of the past upon the lower

reaches of the Thames. The tidal current runs to and fro in its

unceasing service, crowded with memories of men and ships it

had borne to the rest of home or to the battles of the sea. It had

known and served all the men of whom the nation is proud, from

Sir Francis Drake to Sir John Franklin, knights all, titled and un-

titled—the great knights-errant of the sea. It had borne all the ships

whose names are like jewels flashing in the night of time, from the

Golden Hind returning with her round flanks full of treasure, to

be visited by the Queen’s Highness and thus pass out of the

gigantic tale, to the Erebus and Terror, bound on other conquests—and that never returned. It had known the ships and

the men. They had sailed from Deptford, from Greenwich, from

Erith—the adventurers and the settlers; kings’ ships and the ships

of men on ’Change; captains, admirals, the dark “interlopers” of

the Eastern trade, and the commissioned “generals” of East India

fleets. Hunters for gold or pursuers of fame, they all had gone out

on that stream, bearing the sword, and often the torch, messengers

of the might within the land, bearers of a spark from the sacred

fire. What greatness had not floated on the ebb of that river into

the mystery of an unknown earth! . . . The dreams of men, the

seed of commonwealths, the germs of empires.

The sun set; the dusk fell on the stream, and lights began to

appear along the shore. The Chapman lighthouse, a three-legged

thing erect on a mud-flat, shone strongly. Lights of ships moved in

the fairway—a great stir of lights going up and going down. And

farther west on the upper reaches the place of the monstrous town

was still marked ominously on the sky, a brooding gloom in

sunshine, a lurid glare under the stars.

“And this also,” said Marlow suddenly, “has been one of the

dark places of the earth.”

He was the only man of us who still “followed the sea.” The

worst that could be said of him was that he did not represent his

class. He was a seaman, but he was a wanderer too, while most

seamen lead, if one may so express it, a sedentary life. Their

minds are of the stay-at-home order, and their home is always with

them—the ship; and so is their country—the sea. One ship is very

much like another, and the sea is always the same. In the

immutability of their surroundings the foreign shores, the foreign

faces, the changing immensity of life, glide past, veiled not by a

sense of mystery but by a slightly disdainful ignorance; for there is

nothing mysterious to a seaman unless it be the sea itself, which is

the mistress of his existence and as inscrutable as Destiny. For the

rest, after his hours of work, a casual stroll or a casual spree on

shore suffices to unfold for him the secret of a whole continent,

and generally he finds the secret not worth knowing. The yarns of

seamen have a direct simplicity, the whole meaning of which lies

within the shell of a cracked nut. But Marlow was not typical (if his

propensity to spin yarns be excepted), and to him the meaning of

an episode was not inside like a kernel but outside, enveloping the

tale which brought it out only as a glow brings out a haze, in the

likeness of one of these misty halos that sometimes are made

visible by the spectral illumination of moonshine.

His remark did not seem at all surprising. It was just like

Marlow. It was accepted in silence. No one took the trouble to

grunt even; and presently he said, very slow—

“I was thinking of very old times, when the Romans first came

here, nineteen hundred years ago—the other day. . . . Light came

out of this river since—you say Knights? Yes; but it is like a

running blaze on a plain, like a flash of lightning in the clouds. We

live in the flicker—may it last as long as the old earth keeps rolling!

But darkness was here yesterday. Imagine the feelings of a

commander of a fine—what d’ye call ’em?—trireme in the

Mediterranean, ordered suddenly to the north; run overland

across the Gauls in a hurry; put in charge of one of these craft the

legionaries,—a wonderful lot of handy men they must have been

too—used to build, apparently by the hundred, in a month or two,

if we may believe what we read. Imagine him here—the very end of

the world, a sea the color of lead, a sky the color of smoke, a kind

of ship about as rigid as a concertina— and going up this river with

stores, or orders, or what you like. Sandbanks, marshes, forests,

savages,—precious little to eat fit for a civilized man, nothing but

Thames water to drink. No Falernian wine here, no going ashore.

Here and there a military camp lost in a wilderness, like a needle

in a bundle of hay—cold, fog, tempests, disease, exile, and death,—

death skulking in the air, in the water, in the bush. They must

have been dying like flies here. Oh yes—he did it. Did it very well,

too, no doubt, and without thinking much about it either, except

afterwards to brag of what he had gone through in his time,

perhaps. They were men enough to face the darkness. And

perhaps he was cheered by keeping his eye on a chance of

promotion to the fleet at Ravenna by-and-by, if he had good

friends in Rome and survived the awful climate. Or think of a

decent young citizen in a toga—perhaps too much dice, you

know—coming out here in the train of some prefect, or tax-

gatherer, or trader even, to mend his fortunes. Land in a swamp,

march through the woods, and in some inland post feel the

savagery, the utter savagery, had closed round him,—all that

mysterious life of the wilderness that stirs in the forest, in the

jungles, in the hearts of wild men. There’s no initiation either into

such mysteries. He has to live in the midst of the

incomprehensible, which is also detestable. And it has a

fascination, too, that goes to work upon him. The fascination of

the abomination—you know. Imagine the growing regrets, the

longing to escape, the powerless disgust, the surrender, the hate.”

He paused.

“Mind,” he began again, lifting one arm from the elbow, the

palm of the hand outwards, so that, with his legs folded before

him, he had the pose of a Buddha preaching in European clothes

and without a lotus-flower—“Mind, none of us would feel exactly

like this. What saves us is efficiency—the devotion to efficiency.

But these chaps were not much account, really. They were no

colonists; their administration was merely a squeeze, and nothing

more, I suspect. They were conquerors, and for that you want

only brute force—nothing to boast of, when you have it, since your

strength is just an accident arising from the weakness of others.

They grabbed what they could get for the sake of what was to be

got. It was just robbery with violence, aggravated murder on great

scale, and men going at it blind—as is very proper for those who

tackle a darkness. The conquest of the earth, which mostly means

the taking it away from those who have a different complexion or

slightly flater noses than ourselves, is not a pretty thing when you

look into it too much. What redeems it is the idea only. An idea at

the back of it; not a sentimental pretense but an idea; and an

unselfish belief in the idea—something you can set up, and bow

down before, and offer a sacrifice to. . . .”

He broke off. Flames glided in the river, small green flames,

red flames, white flames, pursuing, overtaking, joining, crossing

each other—then separating slowly or hastily. The traffic of the

great city went on in the deepening night upon the sleepless river.

We looked on, waiting patiently—there was nothing else to do till

the end of the flood; but it was only after a long silence, when he

said, in a hesitating voice, “I suppose you fellows remember I did

once turn fresh-water sailor for a bit,” that we knew we were fated,

before the ebb began to run, to hear about one of Marlow’s

inconclusive experiences.

“I don’t want to bother you much with what happened to me

personally,” he began, showing in this remark the weakness of

many tellers of tales who seem so often unaware of what their

audience would best like to hear; “yet to understand the effect of it

on me you ought to know how I got out there, what I saw, how I

went up that river to the place where I first met the poor chap. It

was the farthest point of navigation and the culminating point of

my experience. It seemed somehow to throw a kind of light on

everything about me—and into my thoughts. It was somber enough

too—and pitiful—not extraordinary in any way—not very clear

either. No, not very clear. And yet it seemed to throw a kind of

light.

“I had then, as you remember, just returned to London after a

lot of Indian Ocean, Pacific, China Seas—a regular dose of the

East—six years or so, and I was loafing about, hindering you

fellows in your work and invading your homes, just as though I

had got a heavenly mission to civilize you. It was very fine for a

time, but after a bit I did get tired of resting. Then I began to look

for a ship—I should think the hardest work on earth. But the ships

wouldn’t even look at me. And I got tired of that game too.

“Now when I was a little chap I had a passion for maps. I

would look for hours at South America, or Africa, or Australia,

and lose myself in all the glories of exploration. At that time there

were many blank spaces on the earth, and when I saw one that

looked particularly inviting on a map (but they all look that) I

would put my finger on it and say, When I grow up I will go there.

The North Pole was one of these places, I remember. Well, I

haven’t been there yet, and shall not try now. The glamour’s off.

Other places were scattered about the Equator, and in every sort

of latitude all over the two hemispheres. I have been in some of

them, and . . . well, we won’t talk about that. But there was one

yet—the biggest, the most blank, so to speak—that I had a

hankering after.

“True, by this time it was not a blank space any more. It had

got filled since my boyhood with rivers and lakes and names. It

had ceased to be a blank space of delightful mystery—a white patch

for a boy to dream gloriously over. It had become a place of

darkness. But there was in it one river especially, a mighty big

river, that you could see on the map, resembling an immense

snake uncoiled, with its head in the sea, its body at rest curving

afar over a vast country, and its tail lost in the depths of the land.

And as I looked at the map of it in a shop-window, it fascinated

me as a snake would a bird—a silly little bird. Then I remembered

there was a big concern, a Company for trade on that river. Dash

it all! I thought to myself, they can’t trade without using some kind

of craft on that lot of fresh water—steamboats! Why shouldn’t I try

to get charge of one. I went on along Fleet Street, but could not

shake off the idea. The snake had charmed me.

“You understand it was a Continental concern, that Trading

society; but I have a lot of relations living on the Continent,

because it’s cheap and not so nasty as it looks, they say.

“I am sorry to own I began to worry them. This was already a

fresh departure for me. I was not used to get things that way, you

know. I always went my own road and on my own legs where I

had a mind to go. I wouldn’t have believed it of myself; but, then—

you see—I felt somehow I must get there by hook or by crook. So

I worried them. The men said ‘My dear fellow,’ and did nothing.

Then—would you believe it?—I tried the women. I, Charlie

Marlow, set the women to work—to get a job. Heavens! Well, you

see, the notion drove me. I had an aunt, a dear enthusiastic soul.

She wrote: ‘It will be delightful. I am ready to do anything, any-

thing for you. It is a glorious idea. I know the wife of a very high

personage in the Administration, and also a man who has lots of

influence with,’ &c., &c. She was determined to make no end of

fuss to get me appointed skipper of a river steamboat, if such was

my fancy.

“I got my appointment—of course; and I got it very quick. It

appears the Company had received news that one of their captains

had been killed in a scuffle with the natives. This was my chance,

and it made me the more anxious to go. It was only months and

months afterwards, when I made the attempt to recover what was

left of the body, that I heard the original quarrel arose from a

misunderstanding about some hens. Yes, two black hens.

Fresleven—that was the fellow’s name, a Dane—thought himself

wronged somehow in the bargain, so he went ashore and started to

hammer the chief of the village with a stick. Oh, it didn’t surprise

me in the least to hear this, and at the same time to be told that

Fresleven was the gentlest, quietest creature that ever walked on

two legs. No doubt he was; but he had been a couple of years

already out there engaged in the noble cause, you know, and he

probably felt the need at last of asserting his self-respect in some

way. Therefore he whacked the old nigger mercilessly, while a big

crowd of his people watched him, thunderstruck, till some man,—I

was told the chief’s son,—in desperation at hearing the old chap

yell, made a tentative jab with a spear at the white man—and of

course it went quite easy between the shoulder-blades. Then the

whole population cleared into the forest, expecting all kinds of

calamities to happen, while, on the other hand, the steamer

Fresleven commanded left also in a bad panic, in charge of the

engineer, I believe. Afterwards nobody seemed to trouble much

about Fresleven’s remains, till I got out and stepped into his shoes.

I couldn’t let it rest, though; but when an opportunity offered at

last to meet my predecessor, the grass growing through his ribs was

tall enough to hide his bones. They were all there. The

supernatural being had not been touched after he fell. And the

village was deserted, the huts gaped black, rotting, all askew within

the fallen enclosures. A calamity had come to it, sure enough. The

people had vanished. Mad terror had scattered them, men,

women, and children, through the bush, and they had never

returned. What became of the hens I don’t know either. I should

think the cause of progress got them, anyhow. However, through

this glorious affair I got my appointment, before I had fairly begun

to hope for it.

“I flew around like mad to get ready, and before forty-eight

hours I was crossing the Channel to show myself to my employers,

and sign the contract. In a very few hours I arrived in a city that

always makes me think of a whited sepulcher. Prejudice no doubt.

I had no difficulty in finding the Company’s offices. It was the

biggest thing in the town, and everybody I met was full of it. They

were going to run an over-sea empire, and make no end of coin by

trade.

“A narrow and deserted street in deep shadow, high houses,

innumerable windows with Venetian blinds, a dead silence, grass

sprouting between the stones, imposing carriage archways right

and left, immense double doors standing ponderously ajar. I

slipped through one of these cracks, went up a swept and

ungarnished staircase, as arid as a desert, and opened the first

door I came to. Two women, one fat and the other slim, sat on

straw-bottomed chairs, knitting black wool. The slim one got up

and walked straight at me—still knitting with downcast eyes—and

only just as I began to think of getting out of her way, as you would

for a somnambulist, stood still, and looked up. Her dress was as

plain as an umbrella-cover, and she turned round without a word

and preceded me into a waiting-room. I gave my name, and

looked about. Deal table in the middle, plain chairs all round the

walls, on one end a large shining map, marked with all the colors

of a rainbow. There was a vast amount of red—good to see at any

time, because one knows that some real work is done in there, a

deuce of a lot of blue, a little green, smears of orange, and, on the

East Coast, a purple patch, to show where the jolly pioneers of

progress drink the jolly lager-beer. However, I wasn’t going into

any of these. I was going into the yellow. Dead in the center. And

the river was there—fascinating—deadly-—like a snake. Ough! A

door opened, a white-haired secretarial head, but wearing a

compassionate expression, appeared, and a skinny forefinger

beckoned me into the sanctuary. Its light was dim, and a heavy

writing-desk squatted in the middle. From behind that structure

came out an impression of pale plumpness in a frock-coat. The

great man himself. He was five feet six, I should judge, and had his

grip on the handle-end of ever so many millions. He shook hands,

I fancy, murmured vaguely, was satisfied with my French. Bon

voyage. “In about forty-five seconds I found myself again in the

waiting-room with the compassionate secretary, who, full of

desolation and sympathy, made me sign some document. I believe

I undertook amongst other things not to disclose any trade secrets.

Well, I am not going to.

“I began to feel slightly uneasy. You know I am not used to

such ceremonies, and there was something ominous in the

atmosphere. It was just as though I had been let into some

conspiracy—I don’t know—something not quite right; and I was

glad to get out. In the outer room the two women knitted black

wool feverishly. People were arriving, and the younger one was

walking back and forth introducing them. The old one sat on her

chair. Her flat cloth slippers were propped up on a foot-warmer,

and a cat reposed on her lap. She wore a starched white affair on

her head, had a wart on one cheek, and silver-rimmed spectacles

hung on the tip of her nose. She glanced at me above the glasses.

The swift and indifferent placidity of that look troubled me. Two

youths with foolish and cheery countenances were being piloted

over, and she threw at them the same quick glance of

unconcerned wisdom. She seemed to know all about them and

about me too. An eerie feeling came over me. She seemed

uncanny and fateful. Often far away there I thought of these two,

guarding the door of Darkness, knitting black wool as for a warm

pall, one introducing, introducing continuously to the unknown,

the other scrutinizing the cheery and foolish faces with

unconcerned old eyes. Ave! Old knitter of black wool. Morituri te salutant. Not many of those she looked at ever saw her again—not half, by a long way.

“There was yet a visit to the doctor. ‘A simple formality,’

assured me the secretary, with an air of taking an immense part in

all my sorrows. Accordingly a young chap wearing his hat over the

left eyebrow, some clerk I suppose,—there must have been clerks

in the business, though the house was as still as a house in a city of

the dead,—came from somewhere up-stairs, and led me forth. He

was shabby and careless, with ink-stains on the sleeves of his

jacket, and his cravat was large and billowy, under a chin shaped

like the toe of an old boot. It was a little too early for the doctor,

so I proposed a drink, and thereupon he developed a vein of

joviality. As we sat over our vermouths he glorified the Company’s

business, and by-and-by I expressed casually my surprise at him

not going out there. He became very cool and collected all at

once. ‘I am not such a fool as I look, quoth Plato to his disciples,’

he said sententiously, emptied his glass with great resolution, and

we rose.

“The old doctor felt my pulse, evidently thinking of something

else the while. ‘Good, good for there,’ he mumbled, and then with

a certain eagerness asked me whether I would let him measure my

head. Rather surprised, I said Yes, when he produced a thing like

calipers and got the dimensions back and front and every way,

taking notes carefully. He was an unshaven little man in a

threadbare coat like a gaberdine, with his feet in slippers, and I

thought him a harmless fool. ‘I always ask leave, in the interests of

science, to measure the crania of those going out there,’ he said.

‘And when, they come back too?’ I asked. ‘Oh, I never see them,’

he remarked; ‘and, moreover, the changes take place inside, you

know.’ He smiled, as if at some quiet joke. ‘So you are going out

there. Famous. Interesting too.’ He gave me a searching glance,

and made another note. ‘Ever any madness in your family?’ he

asked, in a matter-of-fact tone. I felt very annoyed. ‘Is that

question in the interests of science too?’ ‘It would be,’ he said,

without taking notice of my irritation, ‘interesting for science to

watch the mental changes of individuals, on the spot, but . . .’ ‘Are

you an alienist?’ I interrupted. ‘Every doctor should be—a little,’

answered that original, imperturbably. ‘I have a little theory which

you Messieurs who go out there must help me to prove. This is

my share in the advantages my country shall reap from the

possession of such a magnificent dependency. The mere wealth I

leave to others. Pardon my questions, but you are the first

Englishman coming under my observation. . . .’ I hastened to

assure him I was not in the least typical. ‘If I were,’ said I, ‘I

wouldn’t be talking like this with you.’ ‘What you say is rather

profound, and probably erroneous,’ he said, with a laugh. ‘Avoid

irritation more than exposure to the sun. Adieu. How do you

English say, eh? Good-by. Ah! Good-by. Adieu. In the tropics one

must before everything keep calm.’ . . . He lifted a warning

forefinger. . . . ‘Du calme, du calme. Adieu.’ “One thing more remained to do—say good-by to my excellent

aunt. I found her triumphant. I had a cup of tea—the last decent

cup of tea for many days—and in a room that most soothingly

looked just as you would expect a lady’s drawing-room to look, we

had a long quiet chat by the fireside. In the course of these

confidences it became quite plain to me I had been represented to

the wife of the high dignitary, and goodness knows to how many

more people besides, as an exceptional and gifted creature—a

piece of good fortune for the Company—a man you don’t get hold

of every day. Good heavens! and I was going to take charge of a

two-penny-halfpenny river-steamboat with a penny whistle

attached! It appeared, however, I was also one of the Workers,

with a capital—you know. Something like an emissary of light,

something like a lower sort of apostle. There had been a lot of

such rot let loose in print and talk just about that time, and the

excellent woman, living right in the rush of all that humbug, got

carried off her feet. She talked about ‘weaning those ignorant

millions from their horrid ways,’ till, upon my word, she made me

quite uncomfortable. I ventured to hint that the Company was run

for profit.

“‘You forget, dear Charlie, that the laborer is worthy of his

hire,’ she said, brightly. It’s queer how out of touch with truth

women are. They live in a world of their own, and there had never

been anything like it, and never can be. It is too beautiful

altogether, and if they were to set it up it would go to pieces before

the first sunset. Some confounded fact we men have been living

contentedly with ever since the day of creation would start up and

knock the whole thing over.

“After this I got embraced, told to wear flannel, be sure to

write often, and so on—and I left. In the street—I don’t know why—

a queer feeling came to me that I was an impostor. Odd thing that

I, who used to clear out for any part of the world at twenty-four

hours’ notice, with less thought than most men give to the crossing

of a street, had a moment—I won’t say of hesitation, but of startled

pause, before this commonplace affair. The best way I can explain

it to you is by saying that, for a second or two, I felt as though,

instead of going to the center of a continent, I were about to set off

for the center of the earth.

“I left in a French steamer, and she called in every blamed

port they have out there, for, as far as I could see, the sole

purpose of landing soldiers and customhouse officers. I watched

the coast. Watching a coast as it slips by the ship is like thinking

about an enigma. There it is before you—smiling, frowning,

inviting, grand, mean, insipid, or savage, and always mute with an

air of whispering, Come and find out. This one was almost

featureless, as if still in the making, with an aspect of monotonous

grimness. The edge of a colossal jungle, so dark-green as to be

almost black, fringed With white surf, ran straight, like a ruled

line, far, far away along a blue sea whose glitter was blurred by a

creeping mist. The sun was fierce, the land seemed to glisten and

drip with steam. Here and there grayish-whitish specks showed up,

clustered inside the white surf, with a flag flying above them

perhaps. Settlements some centuries old, and still no bigger than

pin-heads on the untouched expanse of their background. We

pounded along, stopped, landed soldiers; went on, landed custom-

house clerks to levy toll in what looked like a God-forsaken

wilderness, with a tin shed and a flag-pole lost in it; landed more

soldiers—to take care of the customhouse clerks, presumably.

Some, I heard, got drowned in the surf; but whether they did or

not, nobody seemed particularly to care. They were just flung out

there, and on we went. Every day the coast looked the same, as

though we had not moved; but we passed various places—trading

places—with names like Gran’ Bassam Little Popo, names that

seemed to belong to some sordid farce acted in front of a sinister

backcloth. The idleness of a passenger, my isolation amongst all

these men with whom I had no point of contact, the oily and lan-

guid sea, the uniform, somberness of the coast, seemed to keep

me away from the truth of things, within the toil of a mournful and

senseless delusion. The voice of the surf heard now and then was

a positive pleasure, like the speech of a brother. It was something

natural, that had its reason, that had a meaning. Now and then a

boat from the shore gave one a momentary contact with reality. It

was paddled by black fellows. You could see from afar the white

of their eyeballs glistening. They shouted, sang; their bodies

streamed with perspiration; they had faces like grotesque masks—

these chaps; but they had bone, muscle, a wild vitality, an intense

energy of movement, that was as natural and true as the surf along

their coast. They wanted no excuse for being there. They were a

great comfort to look at. For a time I would feel I belonged still to

a world of straightforward facts; but the feeling would not last long.

Something would turn up to scare it away. Once, I remember, we

came upon a man-of-war anchored off the coast. There wasn’t

even a shed there, and she was shelling the bush. It appears the

French had one of their wars going on thereabouts. Her ensign

dropped limp like a rag; the muzzles of the long eight-inch guns

stuck out all over the low hull; the greasy, slimy swell swung her up

lazily and let her down, swaying her thin masts. In the empty

immensity of earth, sky, and water, there she was,

incomprehensible, firing into a continent. Pop, would go one of

the eight-inch guns; a small flame would dart and vanish, a little

white smoke would disappear, a tiny projectile would give a feeble

screech—and nothing happened. Nothing could happen. There

was a touch of insanity in the proceeding, a sense of lugubrious

drollery in the sight; and it was not dissipated by somebody on

board assuring me earnestly there was a camp of natives—he called

them enemies!—hidden out of sight somewhere.

“We gave her her letters (I heard the men in that lonely ship

were dying of fever at the rate of three a day) and went on. We

called at some more places with farcical names, where the merry

dance of death and trade goes on in a still and earthy atmosphere

as of an overheated catacomb; all along the formless coast bor-

dered by dangerous surf, as if Nature herself had tried to ward off

intruders; in and out of rivers, streams of death in life, whose

banks were rotting into mud, whose waters, thickened into slime,

invaded the contorted mangroves, that seemed to writhe at us in

the extremity of an impotent despair. Nowhere did we stop long

enough to get a particularized impression, but the general sense of

vague and oppressive wonder grew upon me. It was like a weary

pilgrimage amongst hints for nightmares.

“It was upward of thirty days before I saw the mouth of the big

river. We anchored off the seat of the government. But my work

would not begin till some two hundred miles farther on. So as

soon as I could I made a start for a place thirty miles higher up.

“I had my passage on a little sea-going steamer. Her captain

was a Swede, and knowing me for a seaman, invited me on the

bridge. He was a young man, lean, fair, and morose, with lanky

hair and a shuffling gait. As we left the miserable little wharf, he

tossed his head contemptuously at the shore. ‘Been living there?’

he asked. I said, ‘Yes.’ ‘Fine lot these government chaps—are they

not?’ he went on, speaking English with, great precision and

considerable bitterness. ‘It is funny what some people will do for a

few francs a month. I wonder what becomes of that kind when it

goes up country?’ I said to him I expected to see that soon. ‘So-o-

o!’ he exclaimed. He shuffled athwart, keeping one eye ahead

vigilantly. ‘Don’t be too sure,’ he continued. ‘The other day I took

up a man who hanged himself on the road. He was a Swede, too.’

‘Hanged himself! Why, in God’s name?’ I cried. He kept on

looking out watchfully. ‘Who knows? The sun too much for him,

or the country perhaps.’

“At last we opened a reach. A rocky cliff appeared, mounds of

turned-up earth by the shore, houses on a hill, others, with iron

roofs, amongst a waste of excavations, or hanging to the declivity.

A continuous noise of the rapids above hovered over this scene of

inhabited devastation. A lot of people, mostly black and naked,

moved about like ants. A jetty projected into the river. A blinding

sunlight drowned all this at times in a sudden recrudescence of

glare. ‘There’s your Company’s station,’ said the

Swede, pointing

to three wooden barracklike structures on the rocky slope. ‘I will

send your things up. Four boxes did you say? So. Farewell.’

“I came upon a boiler wallowing in the grass, then found a

path leading up the hill. It turned aside for the bowlders, and also

for an undersized railway-truck lying there on its back with its

wheels in the air. One was off. The thing looked as dead as the

carcass of some animal. I came upon more pieces of decaying ma-

chinery, a stack of rusty rails. To the left a clump of trees made a

shady spot, where dark things seemed to stir feebly. I blinked, the

path was steep. A horn tooted to the right, and I saw the black

people run. A heavy and dull detonation shook the ground, a puff

of smoke came out of the cliff, and that was all. No change ap-

peared on the face of the rock. They were building a railway. The

cliff was not in the way or anything; but this objectless blasting was

all the work going on.

“A slight clinking behind me made me turn my head. Six

black men advanced in a file, toiling up the path. They walked

erect and slow, balancing small baskets full of earth on their heads,

and the clink kept time with their footsteps. Black rags were

wound round their loins, and the short ends behind wagged to and

fro like tails. I could see every rib, the joints of their limbs were

like knots in a rope; each had an iron collar on his neck, and all

were connected together with a chain whose bights swung between

them, rhythmically clinking. Another report from the cliff made

me think suddenly of that ship of war I had seen firing into a

continent. It was the same kind of ominous voice; but these men

could by no stretch of imagination be called enemies. They were

called criminals, and the outraged law, like the bursting shells, had

come to them, an insoluble mystery from over the sea. All their

meager breasts panted together, the violently dilated nostrils

quivered, the eyes stared stonily uphill. They passed me within six

inches, without a glance, with that complete, deathlike indifference

of unhappy savages. Behind this raw matter one of the reclaimed,

the product of the new forces at work, strolled despondently,

carrying a rifle by its middle. He had a uniform jacket with one

button off, and seeing a white man on the path, hoisted his

weapon to his shoulder with alacrity. This was simple prudence,

white men being so much alike at a distance that he could not tell

who I might be. He was speedily reassured, and with a large,

white, rascally grin, and a glance at his charge, seemed to take me

into partnership in his exalted trust. After all, I also was a part of

the great cause of these high and just proceedings.

“Instead of going up, I turned and descended to the left. My

idea was to let that chain-gang get out of sight before I climbed the

hill. You know I am not particularly tender; I’ve had to strike and

to fend off. I’ve had to resist and to attack sometimes—that’s only

one way of resisting—without counting the exact cost, according to

the demands of such sort of life as I had blundered into. I’ve seen

the devil of violence, and the devil of greed, and the devil of hot

desire; but, by all the stars! these were strong, lusty, red-eyed

devils, that swayed and drove men—men, I tell you. But as I stood

on this hillside, I foresaw that in the blinding sunshine of that land

I would become acquainted with a flabby, pretending, weak-eyed

devil of a rapacious and pitiless folly. How insidious he could be,

too, I was only to find out several months later and a thousand

miles farther. For a moment I stood appalled, as though by a

warning. Finally I descended the hill, obliquely, towards the trees I

had seen.

“I avoided a vast artificial hole somebody had been digging on

the slope, the purpose of which I found it impossible to divine. It

wasn’t a quarry or a sandpit, anyhow. It was just a hole. It might

have been connected with the philanthropic desire of giving the

criminals something to do. I don’t know. Then I nearly fell into a

very narrow ravine, almost no more than a scar in the hillside. I

discovered that a lot of imported drainage-pipes for the settlement

had been tumbled in there. There wasn’t one that was not broken.

It was a wanton smash-up. At last I got under the trees. My

purpose was to stroll into the shade for a moment; but no sooner

within than it seemed to me I had stepped into a gloomy circle of

some Inferno. The rapids were near, and an uninterrupted,

uniform, headlong, rushing noise filled the mournful stillness of

the grove, where not a breath stirred, not a leaf moved, with a

mysterious sound—as though the tearing pace of the launched

earth had suddenly become audible.

“Black shapes crouched, lay, sat between the trees, leaning

against the trunks, clinging to the earth, half coming out, half

effaced within the dim light, in all the attitudes of pain,

abandonment, and despair. Another mine on the cliff went off,

followed by a slight shudder of the soil under my feet. The work

was going on. The work! And this was the place where some of

the helpers had withdrawn to die.

“They were dying slowly—it was very clear. They were not

enemies, they were not criminals, they were nothing earthly now,—

nothing but black shadows of disease and starvation, lying

confusedly in the greenish gloom. Brought from all the recesses of

the coast in all the legality of time contracts, lost in uncongenial

surroundings, fed on unfamiliar food, they sickened, became

inefficient, and were then allowed to crawl away and rest. These

moribund shapes were free as air—and nearly as thin. I began to

distinguish the gleam of eyes under the trees. Then, glancing

down, I saw a face near my hand. The black bones reclined at full

length with one shoulder against the tree, and slowly the eyelids

rose and the sunken eyes looked up at me, enormous and vacant,

a kind of blind, white flicker in the depths of the orbs, which died

out slowly. The man seemed young—almost a boy—but you know

with them it’s hard to tell. I found nothing else to do but to offer

him one of my good Swede’s ship’s biscuits I had in my pocket.

The fingers closed slowly on it and held—there was no other

movement and no other glance. He had tied a bit of white worsted

round his neck—Why? Where did he get it? Was it a badge—an

ornament—a charm—a propitiatory act? Was there any idea at all

connected with it? It looked startling round his black neck, this bit

of white thread from beyond the seas.

“Near the same tree two more bundles of acute angles sat with

their legs drawn up. One, with his chin propped on his knees,

stared at nothing, in an intolerable and appalling manner: his

brother phantom rested its forehead, as if overcome with a great

weariness; and all about others were scattered in every pose of

contorted collapse, as in some picture of a massacre or a

pestilence. While I stood horror-struck, one of these creatures

rose to his hands and knees, and went off on all-fours towards the

river to drink. He lapped out of his hand, then sat up in the

sunlight, crossing his shins in front of him, and after a time let his

woolly head fall on his breastbone.

“I didn’t want any more loitering in the shade, and I made

haste towards the station. When near the buildings I met a white

man, in such an unexpected elegance of get-up that in the first

moment I took him for a sort of vision. I saw a high starched

collar, white cuffs, a light alpaca jacket, snowy trousers, a clear

necktie, and varnished boots. No hat. Hair parted, brushed, oiled,

under a green-lined parasol held in a big white hand. He was

amazing, and had a penholder behind his ear.

“I shook hands with this miracle, and I learned he was the

Company’s chief accountant, and that all the bookkeeping was

done at this station. He had come out for a moment, he said, ‘to

get a breath of fresh air.’ The expression sounded wonderfully

odd, with its suggestion of sedentary desk-life. I wouldn’t have

mentioned the fellow to you at all, only it was from his lips that I

first heard the name of the man who is so indissolubly connected

with the memories of that time. Moreover, I respected the fellow.

Yes; I respected his collars, his vast cuffs, his brushed hair. His

appearance was certainly that of a hairdresser’s dummy; but in the

great demoralization of the land he kept up his appearance. That’s

backbone. His starched collars and got-up shirt- fronts were

achievements of character. He had been out nearly three years;

and, later on, I could not help asking him how he managed to

sport such linen. He had just the faintest blush, and said modestly,

‘I’ve been teaching one of the native women about the station. It

was difficult. She had a distaste for the work.’ This man had verily

accomplished somet!ung. And he was devoted to his books, which

were in apple-pie order.

“Everything else in the station was in a muddle,—heads, things,

buildings. Strings of dusty niggers with splay feet arrived and

departed; a stream of manufactured goods, rubbishy cottons,

beads, and brasswire set into the depths of darkness, and in return

came a precious trickle of ivory.

“I had to wait in the station for ten days—an eternity. I lived in

a hut in the yard, but to be out of the chaos I would sometimes get

into the accountant’s office. It was built of horizontal planks, and

so badly put together that, as he bent over his high desk, he was

barred from neck to heels with narrow strips of sunlight. There

was no need to open the big shutter to see. It was hot there too;

big flies buzzed fiendishly, and did not sting, but stabbed. I sat

generally on the floor, while, of faultless appearance (and even

slightly scented), perching on a high stool, he wrote, he wrote.

Sometimes he stood up for exercise. When a truckle-bed with a

sick man (some invalided agent from up-country) was put in there,

he exhibited a gentle annoyance. ‘The groans of this sick person,’

he said, ‘distract my attention. And without that it is extremely

difficult to guard against clerical errors in this climate.’

“One day he remarked, without lifting his head, ‘In the

interior you will no doubt meet Mr. Kurtz.’ On my asking who

Mr. Kurtz was, he said he was a first-class agent; and seeing my

disappointment at this information, he added slowly, laying down

his pen, ‘He is a very remarkable person.’ Further questions

elicited from him that Mr. Kurtz was at present in charge of a

trading post, a very important one, in the true ivory-country, at ‘the

very bottom of there. Sends in as much ivory as all the others put

together. . . .’ He began to write again. The sick man was too ill to

groan. The flies buzzed in a great peace.

“Suddenly there was a growing murmur of voices and a great

tramping of feet. A caravan had come in. A violent babble of

uncouth sounds burst out on the other side of the planks. All the

carriers were speaking together, and in the midst of the uproar the

lamentable voice of the chief agent was heard ‘giving it up’ tearfully

for the twentieth time that day. . . . He rose slowly. ‘What a

frightful row,’ he said. He crossed the room gently to look at the

sick man, and returning, said to me, ‘He does not hear.’ ‘What!

Dead?’ I asked, startled. ‘No, not yet,’ he answered, with great

composure. Then, alluding with a toss of the head to the tumult in

the station-yard, ‘When one has got to make correct entries, one

comes to hate those savages—hate them to the death.’ He

remained thoughtful for a moment. ‘When you see Mr. Kurtz,’ he

went on, ‘tell him from me that everything here’—he glanced at the

desk—‘is very satisfactory. I don’t like to write to him—with those

messengers of ours you never know who may get hold of your

letter—at that Central Station. He stared at me for a moment with

his mild, bulging eyes. ‘Oh, he will go far, very far,’ he began

again. ‘He will be a somebody in the Administration before long.

They, above—the Council in Europe, you know—mean him to be.’

“He turned to his work. The noise outside had ceased, and

presently in going out I stopped at the door. In the steady buzz of

flies the homeward-bound agent was lying flushed and insensible;

the other, bent over his books, was making correct entries of

perfectly correct transactions; and fifty feet below the doorstep I

could see the still tree-tops of the grove of death.

“Next day I left that station at last, with a caravan of sixty men,

for a two-hundred-mile tramp.

“No use telling you much about that. Paths, paths, everywhere;

a stamped-in network of paths spreading over the empty land,

through long grass, through burnt grass, through thickets, down

and up chilly ravines, up and down stony hills ablaze with heat;

and a solitude, a solitude, nobody, not a hut. The population had

cleared out a long time ago. Well, if a lot of mysterious niggers

armed with all kinds of fearful weapons suddenly took to traveling

on the road between Deal and Gravesend, catching the yokels

right and left to carry heavy loads for them, I fancy every farm and

cottage thereabouts would get empty very soon. Only here the

dwellings were gone too. Still I passed through several abandoned

villages. There’s something pathetically childish in the ruins of

grass walls. Day after day, with the stamp and shuffle of sixty pair

of bare feet behind me, each pair under a 60-lb. load. Camp,

cook, sleep, strike camp, march. Now and then a carrier dead in

harness, at rest in the long grass near the path, with an empty

water-gourd and his long staff lying by his side. A great silence

around and above. Perhaps on some quiet night the tremor of far-

off drums, sinking, swelling, a tremor vast, faint; a sound weird,

appealing, suggestive, and wild—and perhaps with as profound a

meaning as the sound of bells in a Christian country. Once a white

man in an unbuttoned uniform, camping on the path with an

armed escort of lank Zanzibaris, very hospitable and festive—not

to say drunk. Was looking after the upkeep of the road, he

declared. Can’t say I saw any road or any upkeep, unless the body

of a middle-aged negro, with a bullet-hole in the forehead, upon

which I absolutely stumbled three miles farther on,

may be

considered as a permanent improvement. I had a white

companion too, not a bad chap, but rather too fleshy and with the

exasperating habit of fainting on the hot hillsides, miles away from

the least bit of shade and water. Annoying, you know, to hold your

own coat like a parasol over a man’s head while he is coming-to. I

couldn’t help asking him once what he meant by coming there at

all. ‘To make money, of course. What do you think?’ he said,

scornfully. Then he got fever, and had to be carried in a hammock

slung under a pole. As he weighed sixteen stone I had no end of

rows with the carriers. They jibbed, ran away, sneaked off with

their loads in the night—quite a mutiny. So, one evening, I made a

speech in English with gestures, not one of which was lost to the

sixty pairs of eyes before me, and the next morning I started the

hammock off in front all right. An hour afterwards I came upon

the whole concern wrecked in a bush—man, hammock, groans,

blankets, horrors. The heavy pole had skinned his poor nose. He

was very anxious for me to kill somebody, but there wasn’t the

shadow of a carrier near. I remembered the old doctor,—‘It would

be interesting for science to watch the mental changes of

individuals, on the spot.’ I felt I was becoming scientifically

interesting. However, all that is to no purpose. On the fifteenth

day I came in sight of the big river again, and hobbled into the

Central Station. It was on a back water surrounded by scrub and

forest, with a pretty border of smelly mud on one side, and on the

three others inclosed by a crazy fence of rushes. A neglected gap

was all the gate it had, and the first glance at the place was enough

to let you see the flabby devil was running that show. White men

with long staves in their hands appeared languidly from amongst

the buildings, strolling up to take a look at me, and then retired

out of sight somewhere. One of them, a stout, excitable chap with

black mustaches, informed me with great volubility and many

digressions, as soon as I told him who I was, that my steamer was

at the bottom of the river. I was thunderstruck. What, how, why?

Oh, it was ‘all right.’ The ‘manager himself’ was there. All quite

correct. ‘Everybody had behaved splendidly! splendidly!’—‘you

must,’ he said in agitation, ‘go and see the general manager at

once. He is waiting!’

“I did not see the real significance of that wreck at once. I

fancy I see it now, but I am not sure—not at all. Certainly the affair

was too stupid—when I think of it—to be altogether natural. Still. . .

But at the moment it presented itself simply as a confounded nui-

sance. The steamer was sunk. They had started two days before in

a sudden hurry up the river with the manager on board, in charge

of some volunteer skipper, and before they had been out three

hours they tore the bottom out of her on stones, and she sank

near the south bank. I asked myself what I was to do there, now

my boat was lost. As a matter of fact, I had plenty to do in fishing

my command out of the river. I had to set about it the very next

day. That, and the repairs when I brought the pieces to the station,

took some months.

“My first interview with the manager was curious. He did not

ask me to sit down after my twenty-mile walk that morning. He

was commonplace in complexion, in feature, in manners, and in

voice. He was of middle size and of ordinary build. His eyes, of

the usual blue, were perhaps remarkably cold, and he certainly

could make his glance fall on one as trenchant and heavy as an ax.

But even at these times the rest of his person seemed to disclaim

the intention. Otherwise there was only an indefinable, faint

expression of his lips, something stealthy—a smile—not a smile—I

remember it, but I can’t explain. It was unconscious, this smile

was, though just after he had said something it got intensified for

an instant. It came at the end of his speeches like a seal applied on

the words to make the meaning of the commonest phrase appear

absolutely inscrutable. He was a common trader, from his youth

up employed in these parts—nothing more. He was obeyed, yet he

inspired neither love nor fear, nor even respect. He inspired

uneasiness. That was it! Uneasiness. Not a definite mistrust—just

uneasiness—nothing more. You have no idea how effective such a .

. . a . . . faculty can be. He had no genius for organizing, for

initiative, or for order even. That was evident in such things as the

deplorable state of the station. He had no learning, and no

intelligence. His position had come to him—why? Perhaps

because he was never ill . . . He had served three terms of three

years out there. . . . Because triumphant health in the general rout

of constitutions is a kind of power in itself. When he went home

on leave he rioted on a large scale—pompously. Jack ashore—with

a difference—in externals only. This one could gather from his

casual talk. He originated nothing, he could keep the routine

going—that’s all. But he was great. He was great by this little thing

that it was impossible to tell what could control such a man. He

never gave that secret away. Perhaps there was nothing within him.

Such a suspicion made one pause—for out there there were no

external checks. Once when various tropical diseases had laid low

almost every ‘agent’ in the station, he was heard to say, ‘Men who

come out here should have no entrails.’ He sealed the utterance

with that smile of his, as though it had been a door opening into a

darkness he had in his keeping. You fancied you had seen things—

but the seal was on. When annoyed at meal-times by the constant

quarrels of the white men about precedence, he ordered an im-

mense round table to be made, for which a special house had to

be built. This was the station’s mess-room. Where he sat was the

first place—the rest were nowhere. One felt this to be his

unalterable conviction. He was neither civil nor uncivil. He was

quiet. He allowed his ‘boy’—an overfed young negro from the

coast—to treat the white men, under his very eyes, with provoking

insolence.

“He began to speak as soon as he saw me. I had been very

long on the road. He could not wait. Had to start without me. The

up-river stations had to be relieved. There had been so many

delays already that he did not know who was dead and who was

alive, and how they got on—and so on, and so on. He paid no

attention to my explanations, and, playing with a stick of sealing-

wax, repeated several times that the situation was ‘very grave, very

grave.’ There were rumors that a very important station was in

jeopardy, and its chief, Mr. Kurtz, was ill. Hoped it was not true.

Mr. Kurtz was. . . I felt weary and irritable. Hang Kurtz, I thought.

I interrupted him by saying I had heard of Mr. Kurtz on the coast.

‘Ah! So they talk of him down there,’ he murmured to himself.

Then he began again, assuring me Mr. Kurtz was the best agent he

had, an exceptional man, of the greatest importance to the

Company; therefore I could understand his anxiety. He was, he

said, ‘very, very uneasy.’ Certainly he fidgeted on his chair a good

deal, exclaimed, ‘Ah, Mr. Kurtz!’ broke the stick of sealing-wax

and seemed dumbfounded by the accident. Next thing he wanted

to know ‘how long it would take to’. . . I interrupted him again.

Being hungry, you know, and kept on my feet too, I was getting

savage. ‘How could I tell,’ I said. ‘I hadn’t even seen the wreck

yet—some months, no doubt.’ All this talk seemed to me so futile.

‘Some months,’ he said. ‘Well, let us say three months before we

can make a start. Yes. That ought to do the affair.’ I flung out of

his hut (he lived all alone in a clay hut with a sort of veranda)

muttering to myself my opinion of him. He was a chattering idiot.

Afterwards I took it back when it was borne in upon me startlingly

with what extreme nicety he had estimated the time requisite for

the ‘affair.’

“I went to work the next day, turning, so to speak, my back on

that station. In that way only it seemed to me I could keep my

hold on the redeeming facts of life. Still, one must look about

sometimes; and then I saw this station, these men strolling

aimlessly about in the sunshine of the yard. I asked myself

sometimes what it all meant. They wandered here and there with

their absurd long staves in their hands, like a lot of faithless

pilgrims bewitched inside a rotten fence. The word ‘ivory’ rang in

the air, was whispered, was sighed. You would think they were

praying to it. A taint of imbecile rapacity blew through it all, like a

whiff from some corpse. By Jove! I’ve never seen anything so

unreal in my life. And outside, the silent wilderness surrounding

this cleared speck on the earth struck me as something great and

invincible, like evil or truth, waiting patiently for the passing away

of this fantastic invasion.

“Oh, these months! Well, never mind. Various things

happened. One evening a grass shed full of calico, cotton prints,

beads, and I don’t know what else, burst into a blaze so suddenly

that you would have thought the earth had opened to let an

avenging fire consume all that trash. I was smoking my pipe

quietly by my dismantled steamer, and saw them all cutting capers

in the light, with their arms lifted high, when the stout man with

mustaches came tearing down to the river, a tin pail in his hand,

assured me that everybody was ‘behaving splendidly, splendidly,’

dipped about a quart of water and tore back again. I noticed there

was a hole in the bottom of his pail.

“I strolled up. There was no hurry. You see the thing had

gone off like a box of matches. It had been hopeless from the very

first. The flame had leaped high, driven everybody back, lighted

up everything—and collapsed. The shed was already a heap of

embers glowing fiercely. A nigger was being beaten near by. They

said he had caused the fire in some way; be that as it may, he was

screeching most horribly. I saw him, later on, for several days,

sitting in a bit of shade looking very sick and trying to recover

himself: afterwards he arose and went out—and the wilderness

without a sound took him into its bosom again. As I approached

the glow from the dark I found myself at the back of two men,

talking. I heard the name of Kurtz pronounced, then the words,

‘take advantage of this unfortunate accident.’ One of the men was

the manager. I wished him a good evening. ‘Did you ever see

anything like it—eh? it is incredible,’ he said, and walked off. The

other man remained. He was a first-class agent, young,

gentlemanly, a bit reserved, with a forked little beard and a

hooked nose. He was stand-offish with the other agents, and they

on their side said he was the manager’s spy upon them. As to me,

I had hardly ever spoken to him before. We got into talk, and by-

and-by we strolled away from the hissing ruins. Then he asked me

to his room, which was in the main building of the station. He

struck a match, and I perceived that this young aristocrat had not

only a silver-mounted dressing-case but also a whole candle all to

himself. Just at that time the manager was the only man supposed

to have any right to candles. Native mats covered the clay walls; a

collection of spears, assegais, shields, knives was hung up in

trophies. The business intrusted to this fellow was the making of

bricks—so I had been informed; but there wasn’t a fragment of a

brick anywhere in the station, and he had been there more than a

year—waiting. It seems he could not make bricks without

something, I don’t know what—straw maybe. Anyways, it could not

be found there, and as it was not likely to be sent from Europe, it

did not appear clear to me what he was waiting for. An act of

special creation perhaps. However, they were all waiting—all the

sixteen or twenty pilgrims of them—for something; and upon my

word it did not seem an uncongenial occupation, from the way

they took it, though the only thing that ever came to them was

disease—as far as I could see. They beguiled the time by

backbiting and intriguing against each other in a foolish kind of

way. There was an air of plotting about that station, but nothing

came of it, of course. It was as unreal as everything else—as the

philanthropic pretense of the whole concern, as their talk, as their

government, as their show of work. The only real feeling was a

desire to get appointed to a trading-post where ivory was to be

had, so that they could earn percentages. They intrigued and

slandered and hated each other only on that account,—but as to

effectually lifting a little finger—oh, no. By heavens! there is

something after all in the world allowing one man to steal a horse

while another must not look at a halter. Steal a horse straight out.

Very well. He has done it. Perhaps he can ride. But there is a way

of looking at a halter that would provoke the most charitable of

saints into a kick.

“I had no idea why he wanted to be sociable, but as we chatted

in there it suddenly occurred to me the fellow was trying to get at

something—in fact, pumping me. He alluded constantly to Europe,

to the people I was supposed to know there—putting leading

questions as to my acquaintances in the sepulchral city, and so on.

His little eyes glittered like mica discs—with curiosity,—though he

tried to keep up a bit of superciliousness. At first I was astonished,

but very soon I became awfully curious to see what he would find

out from me. I couldn’t possibly imagine what I had in me to

make it worth his while. It was very pretty to see how he baffled

himself, for in truth my body was full of chills, and my head had

nothing in it but that wretched steamboat business. It was evident

he took me for a perfectly shameless prevaricator. At last he got

angry, and, to conceal a movement of furious annoyance, he

yawned. I rose. Then I noticed a small sketch in oils, on a panel,

representing a woman, draped and blindfolded, carrying a lighted

torch. The background was somber—almost black. The movement

of the woman was stately, and the effect of the torchlight on the

face was sinister.

“It arrested me, and he stood by civilly, holding a half-pint

champagne bottle (medical comforts) with the candle stuck in it.

To my question he said Mr. Kurtz had painted this—in this very

station more than a year ago—while waiting for means to go to his

trading-post. ‘Tell me, pray,’ said I, ‘who is this Mr. Kurtz?’

“‘The chief of the Inner Station,’ he answered in a short tone,

looking away. ‘Much obliged,’ I said, laughing. ‘And you are the

brickmaker of the Central Station. Everyone knows that.’ He was

silent for a while. ‘He is a prodigy,’ he said at last. ‘He is an

emissary of pity, and science, and progress, and devil knows what

else. We want,’ he began to declaim suddenly, ‘for the guidance of

the cause intrusted to us by Europe, so to speak, higher

intelligence, wide sympathies, a singleness of purpose.’ ‘Who says

that?’ I asked. ‘Lots of them,’ he replied. ‘Some even write that;

and so he comes here, a special being, as you ought to know.’

‘Why ought I to know?’ I interrupted, really surprised. He paid

no attention. ‘Yes. To-day he is chief of the best station, next year

he will be assistant-manager, two years more and. . . but I dare say

you know what he will be in two years’ time. You are of the new

gang—the gang of virtue. The same people who sent him specially

also recommended you. Oh, don’t say no. I’ve my own eyes to

trust.’ Light dawned upon me. My dear aunt’s influential

acquaintances were producing an unexpected effect upon that

young man. I nearly burst into a laugh. ‘Do you read the

Company’s confidential correspondence?’ I asked. He hadn’t a

word to say. It was great fun. ‘When Mr. Kurtz,’ I continued

severely, ‘is General Manager, you won’t have the opportunity.’

“He blew the candle out suddenly, and we went outside.

The moon had risen. Black figures strolled about listlessly,

pouring water on the glow, whence proceeded a sound of hissing;

steam ascended in the moonlight, the beaten nigger groaned

somewhere. ‘What a row the brute makes!’ said the indefatigable

man with the mustaches, appearing near us. ‘Serve him right.

Transgression—punishment—bang! Pitiless, pitiless. That’s the only

way. This will prevent all conflagrations for the future. I was just

telling the manager. . . .’ He noticed my companion, and became

crestfallen all at once. ‘Not in bed yet,’ he said, with a kind of

servile heartiness; ‘it’s so natural. Ha! Danger-agitation.’ He

vanished. I went on to the river-side, and the other followed me. I

heard a scathing murmur at my ear, ‘Heap of muffs—go to.’ The

pilgrims could be seen in knots gesticulating, discussing. Several

had still their staves in their hands. I verily believe they took these

sticks to bed with them. Beyond the fence the forest stood up

spectrally in the moonlight, and through the dim stir, through the

faint sounds of that lamentable courtyard, the silence of the land

went home to one’s very heart,—its mystery, its greatness, the

amazing reality of its concealed life. The hurt nigger moaned

feebly somewhere near by, and then fetched a deep sigh that made

me mend my pace away from there. I felt a hand introducing itself

under my arm. ‘My dear sir,’ said the fellow, ‘I don’t want to be

misunderstood, and especially by you, who will see Mr. Kurtz long

before I can have that pleasure. I wouldn’t like him to get a false

idea of my disposition. . . .’

“I let him run on, this papier-mache Mephistopheles, and it

seemed to me that if I tried I could poke my forefinger through

him, and would find nothing inside but a little loose dirt, maybe.

He, don’t you see, had been planning to be assistant-manager by-

and-by under the present man, and I could see that the coming of

that Kurtz had upset them both not a little. He talked precipitately,

and I did not try to stop him. I had my shoulders against the

wreck of my steamer, hauled up on the slope like a carcass of

some big river animal. The smell of mud, of primeval mud, by

Jove! was in my nostrils, the high stillness of primeval forest was

before my eyes; there were shiny patches on the black creek. The

moon had spread over everything a thin layer of silver—over the

rank grass, over the mud, upon the wall of matted vegetation

standing higher than the wall of a temple, over the great river I

could see through a somber gap glittering, glittering, as it flowed

broadly by without a murmur. All this was great, expectant, mute,

while the man jabbered about himself. I wondered whether the

stillness on the face of the immensity looking at us two were meant

as an appeal or as a menace. What were we who had strayed in

here? Could we handle that dumb thing, or would it handle us? I

felt how big, how confoundedly big, was that thing that couldn’t

talk, and perhaps was deaf as well. What was in there? I could see

a little ivory coming out from there, and I had heard Mr. Kurtz

was in there. I had heard enough about it too—God knows! Yet

somehow it didn’t bring any image with it—no more than if I had

been told an angel or a fiend was in there. I believed it in the same

way one of you might believe there are inhabitants in the planet

Mars. I knew once a Scotch sailmaker who was certain, dead sure,

there were people in Mars. If you asked him for some idea how

they looked and behaved, he would get shy and mutter something

about ‘walking on all-fours.’ If you as much as smiled, he would—

though a man of sixty—offer to fight you. I would not have gone so

far as to fight for Kurtz, but I went for him near enough to a lie.

You know I hate, detest, and can’t bear a lie, not because I am

straighter than the rest of us, but simply because it appalls me.

There is a taint of death, a flavor of mortality in lies,—which is

exactly what I hate and detest in the world—what I want to forget.

It makes me miserable and sick, like biting something rotten

would do. Temperament, I suppose. Well, I went near enough to

it by letting the young fool there believe anything he liked to

imagine as to my influence in Europe. I became in an instant as

much of a pretense as the rest of the bewitched pilgrims. This

simply because I had a notion it somehow would be of help to that

Kurtz whom at the time I did not see—you understand. He was

just a word for me. I did not see the man in the name any more

than you do. Do you see him? Do you see the story? Do you see

anything? It seems to me I am trying to tell you a dream—making a

vain attempt, because no relation of a dream can convey the

dream-sensation, that commingling of absurdity, surprise, and

bewilderment in a tremor of struggling revolt, that notion of being

captured by the incredible which is of the very essence of dreams.

. . .”

He was silent for a while.

“. . . No, it is impossible; it is impossible to convey the life-

sensation of any given epoch of one’s existence,—that which makes

its truth, its meaning—its subtle and penetrating essence. It is

impossible. We live, as we dream—alone. . . .”

He paused again as if reflecting, then added—

“Of course in this you fellows see more than I could then. You

see me, whom you know. . . .”

It had become so pitch dark that we listeners could hardly see

one another. For a long time already he, sitting apart, had been no

more to us than a voice. There was not a word from anybody. The

others might have been asleep, but I was awake. I listened, I

listened on the watch for the sentence, for the word, that would

give me the clew to the faint uneasiness inspired by this narrative

that seemed to shape itself without human lips in the heavy night-

air of the river.

“. . . Yes—I let him run on,” Marlow began again, “and think

what he pleased about the powers that were behind me. I did!

And there was nothing behind me! There was nothing but that

wretched, old, mangled steamboat I was leaning against, while he

talked fluently about ‘the necessity for every man to get on.’ ‘And

when one comes out here, you conceive, it is not to gaze at the

moon.’ Mr. Kurtz was a ‘universal genius,’ but even a genius

would find it easier to work with ‘adequate tools—intelligent men.’

He did not make bricks—why, there was a physical impossibility in

the way—as I was well aware; and if he did secretarial work for the

manager, it was because ‘no sensible man rejects wantonly the

confidence of his superiors.’ Did I see it? I saw it. What more did

I want? What I really wanted was rivets, by heaven! Rivets. To get

on with the work—to stop the hole. Rivets I wanted. There were

cases of them down at the coast—cases—piled up—burst—split! You

kicked a loose rivet at every second step in that station yard on the

hillside. Rivets had rolled into the grove of death. You could fill

your pockets with rivets for the trouble of stooping down—and

there wasn’t one rivet to be found where it was wanted. We had

plates that would do, but nothing to fasten them with. And every

week the messenger, a lone negro, letter-bag on shoulder and staff

in hand, left our station for the coast. And several times a week a

coast caravan came in with trade goods,—ghastly glazed calico that

made you shudder only to look at it, glass beads value about a

penny a quart, confounded spotted cotton handkerchiefs. And no

rivets. Three carriers could have brought all that was wanted to set

that steamboat afloat.

“He was becoming confidential now, but I fancy my

unresponsive attitude must have exasperated him at last, for he

judged it necessary to inform me he feared neither God nor devil,

let alone any mere man. I said I could see that very well, but what

I wanted was a certain quantity of rivets—and rivets were what

really Mr. Kurtz wanted, if he had only known it. Now letters went

to the coast every week. . . . ‘My dear sir,’ he cried, ‘I write from

dictation.’ I demanded rivets. There was a way—for an intelligent

man. He changed his manner; became very cold, and suddenly

began to talk about a hippopotamus; wondered whether sleeping

on board the steamer (I stuck to my salvage night and day) I wasn’t

disturbed. There was an old hippo that had the bad habit of

getting out on the bank and roaming at night over the station

grounds. The pilgrims used to turn out in a body and empty every

rifle they could lay hands on at him. Some even had sat up o’

nights for him. All this energy was wasted, though. ‘That animal

has a charmed life,’ he said; ‘but you can say this only of brutes in

this country. No man—you apprehend me?—no man here bears a

charmed life.’ He stood there for a moment in the moonlight with

his delicate hooked nose set a little askew, and his mica eyes

glittering without a wink, then, with a curt Good night, he strode

off. I could see he was disturbed and considerably puzzled, which

made me feel more hopeful than I had been for days. It was a

great comfort to turn from that chap to my influential friend, the

battered, twisted, ruined, tin-pot steamboat. I clambered on

board. She rang under my feet like an empty Huntley & Palmer

biscuit-tin kicked along a gutter; she was nothing so solid in make,

and rather less pretty in shape, but I had expended enough hard

work on her to make me love her. No influential friend would

have served me better. She had given me a chance to come out a

bit—to find out what I could do. No, I don’t like work. I had rather

laze about and think of all the fine things that can be done. I don’t

like work—no man does—but I like what is in the work,—the

chance to find yourself. Your own reality—for yourself, not for

others—what no other man can ever know. They can only see the

mere show, and never can tell what it really means.

“I was not surprised to see somebody sitting aft, on the deck,

with his legs dangling over the mud. You see I rather chummed

with the few mechanics there were in that station, whom the other

pilgrims naturally despised—on account of their imperfect

manners, I suppose. This was the foreman—a boiler-maker by

trade—a good worker. He was a lank, bony, yellow-faced man, with

big intense eyes. His aspect was worried, and his head was as bald

as the palm of my hand; but his hair in falling seemed to have

stuck to his chin, and had prospered in the new locality, for his

beard hung down to his waist. He was a widower with six young

children (he had left them in charge of a sister of his to come out

there), and the passion of his life was pigeon-flying. He was an

enthusiast and a connoisseur. He would rave about pigeons. After

work hours he used sometimes to come over from his hut for a

talk about his children and his pigeons; at work, when he had to

crawl in the mud under the bottom of the steamboat, he would tie

up that beard of his in a kind of white serviette he brought for the

purpose. It had loops to go over his ears. In the evening he could

be seen squatted on the bank rinsing that wrapper in the creek

with great care, then spreading it solemnly on a bush to dry.

“I slapped him on the back and shouted ‘We shall have

rivets!’ He scrambled to his feet exclaiming ‘No! Rivets!’ as though

he couldn’t believe his ears. Then in a low voice, ‘You . . . eh?’ I

don’t know why we behaved like lunatics. I put my finger to the

side of my nose and nodded mysteriously. ‘Good for you!’ he

cried, snapped his fingers above his head, lifting one foot. I tried a

jig. We capered on the iron deck. A frightful clatter came out of

that hulk, and the virgin forest on the other bank of the creek sent

it back in a thundering roll upon the sleeping station. It must have

made some of the pilgrims sit up in their hovels. A dark figure

obscured the lighted doorway of the manager’s hut, vanished,

then, a second or so after, the doorway itself vanished too. We

stopped, and the silence driven away by the stamping of our feet

flowed back again from the recesses of the land. The great wall of

vegetation, an exuberant and entangled mass of trunks, branches,

leaves, boughs, festoons, motionless in the moonlight, was like a

rioting invasion of soundless life, a rolling wave of plants, piled up,

crested, ready to topple over the creek, to sweep every little man

of us out of his little existence. And it moved not. A deadened

burst of mighty splashes and snorts reached us from afar, as

though an ichthyosaurus had been taking a bath of glitter in the

great river. ‘After all,’ said the boiler-maker in a reasonable tone,

‘why shouldn’t we get the rivets?’ Why not, indeed! I did not

know of any reason why we shouldn’t. ‘They’ll come in three

weeks,’ I said, confidently.

“But they didn’t. Instead of rivets there came an invasion, an

infliction, a visitation. It came in sections during the next three

weeks, each section headed by a donkey carrying a white man in

new clothes and tan shoes, bowing from that elevation right and

left to the impressed pilgrims. A quarrelsome band of footsore

sulky niggers trod on the heels of the donkeys; a lot of tents, camp-

stools, tin boxes, white cases, brown bales would be shot down in

the courtyard, and the air of mystery would deepen a little over the

muddle of the station. Five such installments came, with their

absurd air of disorderly flight with the loot of innumerable outfit

shops and provision stores, that, one would think, they were

lugging, after a raid, into the wilderness for equitable division. It

was an inextricable mess of things decent in themselves but that

human folly made look like the spoils of thieving.

“This devoted band called itself the Eldorado Exploring

Expedition, and I believe they were sworn to secrecy. Their talk,

however, was the talk of sordid buccaneers: it was reckless without

hardihood, greedy without audacity, and cruel without courage;

there was not an atom of foresight or of serious intention in the

whole batch of them, and they did not seem aware these things are

wanted for the work of the world. To tear treasure out of the

bowels of the land was their desire, with no more moral purpose

at the back of it than there is in burglars breaking into a safe. Who

paid the expenses of the noble enterprise I don’t know; but the

uncle of our manager was leader of that lot.

“In exterior he resembled a butcher in a poor neighborhood,

and his eyes had a look of sleepy cunning. He carried his fat

paunch with ostentation on his short legs, and during the time his

gang infested the station spoke to no one but his nephew. You

could see these two roaming about all day long with their heads

close together in an everlasting confab.

“I had given up worrying myself about the rivets. One’s

capacity for that kind of folly is more limited than you would

suppose. I said Hang!—and let things slide. I had plenty of time for

meditation, and now and then I would give some thought to Kurtz.

I wasn’t very interested in him. No. Still, I was curious to see

whether this man, who had come out equipped with moral ideas

of some sort, would climb to the top after all, and how he would

set about his work when there.”

II

“One evening as I was lying flat on the deck of my steamboat,

I heard voices approaching—and there were the nephew and the

uncle strolling along the bank. I laid my head on my arm again,

and had nearly lost myself in a doze, when somebody said in my

ear, as it were: ‘I am as harmless as a little child, but I don’t like to

be dictated to. Am I the manager—or am I not? I was ordered to

send him there. It’s incredible.’ . . . I became aware that the two

were standing on the shore alongside the forepart of the

steamboat, just below my head. I did not move; it did not occur to

me to move: I was sleepy. ‘It is unpleasant,’ grunted the uncle. ‘He

has asked the Administration to be sent there,’ said the other,

‘with the idea of showing what he could do; and I was instructed

accordingly. Look at the influence that man must have. Is it not

frightful?’ They both agreed it was frightful, then made several

bizarre remarks: ‘Make rain and fine weather—one man—the

Council—by the nose’—bits of absurd sentences that got the better

of my drowsiness, so that I had pretty near the whole of my wits

about me when the uncle said, ‘The climate may do away with this

difficulty for you. Is he alone there?’ ‘Yes,’ answered the manager;

‘he sent his assistant down the river with a note to me in these

terms: “Clear this poor devil out of the country, and don’t bother

sending more of that sort. I had rather be alone than have the

kind of men you can dispose of with me.” It was more than a year

ago. Can you imagine such impudence!’ ‘Anything since then?’

asked the other, hoarsely. ‘Ivory,’ jerked the nephew; ‘lots of it—

prime sort—lots—most annoying, from him.’ ‘And with that?’

questioned the heavy rumble. ‘Invoice,’ was the reply fired out, so

to speak. Then silence. They had been talking about Kurtz.

“I was broad awake by this time, but, lying perfectly at ease,

remained still, having no inducement to change my position. ‘How

did that ivory come all this way?’ growled the elder man, who

seemed very vexed. The other explained that it had come with a

fleet of canoes in charge of an English half-caste clerk Kurtz had

with him; that Kurtz had apparently intended to return himself,

the station being by that time bare of goods and stores, but after

coming three hundred miles, had suddenly decided to go back,

which he started to do alone in a small dug-out with four paddlers,

leaving the half-caste to continue down the river with the ivory.

The two fellows there seemed astounded at anybody attempting

such a thing. They were at a loss for an adequate motive. As to

me, I seemed to see Kurtz for the first time. It was a distinct

glimpse: the dug-out, four paddling savages, and the lone white

man turning his back suddenly on the headquarters, on relief, on

thoughts of home—perhaps; setting his face towards the depths of

the wilderness, towards his empty and desolate station. I did not

know the motive. Perhaps he was just simply a fine fellow who

stuck to his work for its own sake. His name, you understand, had

not been pronounced once. He was ‘that man.’ The half-caste,

who, as far as I could see, had conducted a difficult trip with great

prudence and pluck, was invariably alluded to as ‘that scoundrel.’

The ‘scoundrel’ had reported that the ‘man’ had been very ill—had

recovered imperfectly. . . . The two below me moved away then a

few paces, and strolled back and forth at some little distance. I

heard: ‘Military post-—doctor—two hundred miles—quite alone

now—unavoidable delays—nine months—no news—strange rumors.’

They approached again, just as the manager was saying, ‘No one,

as far as I know, unless a species of wandering trader—a

pestilential fellow, snapping ivory from the natives.’ Who was it

they were talking about now? I gathered in snatches that this was

some man supposed to be in Kurtz’s district, and of whom the

manager did not approve. ‘We will not be free from unfair

competition till one of these fellows is hanged for an example,’ he

said. ‘Certainly,’ grunted the other; ‘get him hanged! Why not?

Anything—anything can be done in this country. That’s what I say;

nobody here, you understand, here, can endanger your position. And why? You stand the climate—you outlast them all. The

danger is in Europe; but there before I left I took care to—’ They

moved off and whispered, then their voices rose again. ‘The

extraordinary series of delays is not my fault. I did my possible.’

The fat man sighed, ‘Very sad.’ ‘And the pestiferous absurdity of

his talk,’ continued the other; ‘he bothered me enough when he

was here. “Each station should be like a beacon on the road

towards better things, a center for trade of course, but also for

humanizing, improving, instructing.” Conceive you—that ass! And

he wants to be manager! No, it’s—’ Here he got choked by

excessive indignation, and I lifted my head the least bit. I was

surprised to see how near they were—right under me. I could have

spat upon their hats. They were looking on the ground, absorbed

in thought. The manager was switching his leg with a slender twig:

his sagacious relative lifted his head. ‘You have been well since

you came out this time?’ he asked. The other gave a start. ‘Who?

I? Oh! Like a charm—like a charm. But the rest—oh, my

goodness! All sick. They die so quick, too, that I haven’t the time

to send them out of the country—it’s incredible!’ ‘H’m. Just so,’

grunted the uncle. ‘Ah! my boy, trust to this—I say, trust to this.’ I

saw him extend his short flipper of an arm for a gesture that took

in the forest, the creek, the mud, the river,—seemed to beckon

with a dishonoring flourish before the sunlit face of the land a

treacherous appeal to the lurking death, to the hidden evil, to the

profound darkness of its heart. It was so startling that I leaped to

my feet and looked back at the edge of the forest, as though I had

expected an answer of some sort to that black display of

confidence. You know the foolish notions that come to one some-

times. The high stillness confronted these two figures with its

ominous patience, waiting for the passing away of a fantastic

invasion.

“They swore aloud together—out of sheer fright, I believe—

then pretending not to know anything of my existence, turned

back to the station. The sun was low; and leaning forward side by

side, they seemed to be tugging painfully uphill their two

ridiculous shadows of unequal length, that trailed behind them

slowly over the tall grass without bending a single blade.

“In a few days the Eldorado Expedition went into the patient

wilderness, that closed upon it as the sea closes over a diver. Long

afterwards the news came that all the donkeys were dead. I know

nothing as to the fate of the less valuable animals. They, no doubt,

like the rest of us, found what they deserved. I did not inquire. I

was then rather excited at the prospect of meeting Kurtz very

soon. When I say very soon I mean it comparatively. It was just

two months from the day we left the creek when we came to the

bank below Kurtz’s station.

“Going up that river was like traveling back to the earliest

beginnings of the world, when vegetation rioted on the earth and

the big trees were kings. An empty stream, a great silence, an

impenetrable forest. The air was warm, thick, heavy, sluggish.

There was no joy in the brilliance of sunshine. The long stretches

of the waterway ran on, deserted, into the gloom of overshadowed

distances. On silvery sandbanks hippos and alligators sunned

themselves side by side. The broadening waters flowed through a

mob of wooded islands; you lost your way on that river as you

would in a desert, and butted all day long against shoals, trying to

find the channel, till you thought yourself bewitched and cut off

for ever from everything you had known once—somewhere—far

away—in another existence perhaps. There were moments when

one’s past came back to one, as it will sometimes when you have

not a moment to spare to yourself; but it came in the shape of an

unrestful and noisy dream, remembered with wonder amongst the

overwhelming realities of this strange world of plants, and water,

and silence. And this stillness of life did not in the least resemble a

peace. It was the stillness of an implacable force brooding over an

inscrutable intention. It looked at you with a vengeful aspect. I got

used to it afterwards; I did not see it any more; I had no time. I

had to keep guessing at the channel; I had to discern, mostly by

inspiration, the signs of hidden banks; I watched for sunken

stones; I was learning to clap my teeth smartly before my heart

flew out, when I shaved by a fluke some infernal sly old snag that

would have ripped the life out of the tin-pot steamboat and

drowned all the pilgrims; I had to keep a look-out for the signs of

dead wood we could cut up in the night for next day’s steaming.

When you have to attend to things of that sort, to the mere

incidents of the surface, the reality—the reality, I tell you—fades.

The inner truth is hidden—luckily, luckily. But I felt it all the same;

I felt often its mysterious stillness watching me at my monkey

tricks, just as it watches you fellows performing on your respective

tight-ropes for—what is it? half-a-crown a tumble—”

“Try to be civil, Marlow,” growled a voice, and I knew there

was at least one listener awake besides myself.

“I beg your pardon. I forgot the heartache which makes up the

rest of the price. And indeed what does the price matter, if the

trick be well done? You do your tricks very well. And I didn’t do

badly either, since I managed not to sink that steamboat on my

first trip. It’s a wonder to me yet. Imagine a blindfolded man set to

drive a van over a bad road. I sweated and shivered over that

business considerably, I can tell you. After all, for a seaman, to

scrape the bottom of the thing that’s supposed to float all the time

under his care is the unpardonable sin. No one may know of it,

but you never forget the thump—eh? A blow on the very heart.

You remember it, you dream of it, you wake up at night and think

of it—years after—and go hot and cold all over. I don’t pretend to

say that steamboat floated all the time. More than once she had to

wade for a bit, with twenty cannibals splashing around and

pushing.

We had enlisted some of these chaps on the way for a crew.

Fine fellows—cannibals—in their place. They were men one could

work with, and I am grateful to them. And, after all, they did not

eat each other before my face: they had brought along a provision

of hippo-meat which went rotten, and made the mystery of the

wilderness stink in my nostrils. Phoo! I can sniff it now. I had the

manager on board and three or four pilgrims with their staves—all

complete. Sometimes we came upon a station close by the bank,

clinging to the skirts of the unknown, and the white men rushing

out of a tumble-down hovel, with great gestures of joy and surprise

and welcome, seemed very strange,—had the appearance of being

held there captive by a spell. The word ivory would ring in the air

for a while—and on we went again into the silence, along empty

reaches, round the still bends, between the high walls of our

winding way, reverberating in hollow claps the ponderous beat of

the stern-wheel. Trees, trees, millions of trees, massive, immense,

running up high; and at their foot, hugging the bank against the

stream, crept the little begrimed steamboat, like a sluggish beetle

crawling on the floor of a lofty portico. It made you feel very

small, very lost, and yet it was not altogether depressing that feel-

ing. After all, if you were small, the grimy beetle crawled on—

which was just what you wanted it to do. Where the pilgrims

imagined it crawled to I don’t know. To some place where they

expected to get something, I bet! For me it crawled toward Kurtz—

exclusively; but when the steam-pipes started leaking we crawled

very slow. The reaches opened before us and closed behind, as if

the forest had stepped leisurely across the water to bar the way for

our return. We penetrated deeper and deeper into the heart of

darkness. It was very quiet there. At night sometimes the roll of

drums behind the curtain of trees would run up the river and

remain sustained faintly, as if hovering in the air high over our

heads, till the first break of day. Whether it meant war, peace, or

prayer we could not tell. The dawns were heralded by the descent

of a chill stillness; the woodcutters slept, their fires burned low; the

snapping of a twig would make you start. We were wanderers on a

prehistoric earth, on an earth that wore the aspect of an unknown

planet. We could have fancied ourselves the first of men taking

possession of an accursed inheritance, to be subdued at the cost of

profound anguish and of excessive toil. But suddenly, as we

struggled round a bend, there would be a glimpse of rush walls, of

peaked grass-roofs, a burst of yells, a whirl of black limbs, a mass

of hands clapping, of feet stamping, of bodies swaying, of eyes

rolling, under the droop of heavy and motionless foliage. The

steamer toiled along slowly on the edge of a black and

incomprehensible frenzy. The prehistoric man was cursing us,

praying to us, welcoming us—who could tell? We were cut off

from the comprehension of our surroundings; we glided past like

phantoms, wondering and secretly appalled, as sane men would be

before an enthusiastic outbreak in a madhouse. We could not

understand, because we were too far and could not remember,

because we were traveling in the night of first ages, of those ages

that are gone, leaving hardly a sign—and no memories.

“The earth seemed unearthly. We are accustomed to look

upon the shackled form of a conquered monster, but there—there

you could look at a thing monstrous and free. It was unearthly,

and the men were—No, they were not inhuman. Well, you know,

that was the worst of it—this suspicion of their not being inhuman.

It would come slowly to one. They howled, and leaped, and spun,

and made horrid faces; but what thrilled you was just the thought

of their humanity—like yours—the thought of your remote kinship

with this wild and passionate uproar. Ugly. Yes, it was ugly

enough; but if you were man enough you would admit to yourself

that there was in you just the faintest trace of a response to the

terrible frankness of that noise, a dim suspicion of there being a

meaning in it which you—you so remote from the night of first

ages—could comprehend. And why not? The mind of man is

capable of anything—because everything is in it, all the past as well

as all the future. What was there after all? Joy, fear, sorrow,

devotion, valor, rage—who can tell?—but truth—truth stripped of its

cloak of time. Let the fool gape and shudder—the man knows, and

can look on without a wink. But he must at least be as much of a

man as these on the shore. He must meet that truth with his own

true stuff—with his own inborn strength. Principles? Principles

won’t do. Acquisitions, clothes, pretty rags—rags that would fly off

at the first good shake. No; you want a deliberate belief. An appeal

to me in this fiendish row—is there? Very well; I hear; I admit, but

I have a voice too, and for good or evil mine is the speech that

cannot be silenced. Of course, a fool, what with sheer fright and

fine sentiments, is always safe. Who’s that grunting? You wonder I

didn’t go ashore for a howl and a dance? Well, no—I didn’t. Fine

sentiments, you say? Fine sentiments, be hanged! I had no time. I

had to mess about with white-lead and strips of woolen blanket

helping to put bandages on those leaky steam-pipes—I tell you. I

had to watch the steering, and circumvent those snags, and get the

tin-pot along by hook or by crook. There was surface-truth enough

in these things to save a wiser man. And between whiles I had to

look after the savage who was fireman. He was an improved

specimen; he could fire up a vertical boiler. He was there below

me, and, upon my word, to look at him was as edifying as seeing a

dog in a parody of breeches and a feather hat, walking on his hind-

legs. A few months of training had done for that really fine chap.

He squinted at the steam-gauge and at the water-gauge with an

evident effort of intrepidity—and he had filed teeth too, the poor

devil, and the wool of his pate shaved into queer patterns, and

three ornamental scars on each of his cheeks. He ought to have

been clapping his hands and stamping his feet on the bank,

instead of which he was hard at work, a thrall to strange witchcraft,

full of improving knowledge. He was useful because he had been

instructed; and what he knew was this—that should the water in

that transparent thing disappear, the evil spirit inside the boiler

would get angry through the greatness of his thirst, and take a

terrible vengeance. So he sweated and fired up and watched the

glass fearfully (with an impromptu charm, made of rags, tied to his

arm, and a piece of polished bone, as big as a watch, stuck flatways

through his lower lip), while the wooded banks slipped past us

slowly, the short noise was left behind, the interminable miles of

silence—and we crept on, towards Kurtz. But the snags were thick,

the water was treacherous and shallow, the boiler seemed indeed

to have a sulky devil in it, and thus neither that fireman nor I had

any time to peer into our creepy thoughts.

“Some fifty miles below the Inner Station we came upon a hut

of reeds, an inclined and melancholy pole, with the

unrecognizable tatters of what had been a flag of some sort flying

from it, and a neatly stacked woodpile. This was unexpected. We

came to the bank, and on the stack of firewood found a flat piece

of board with some faded pencil-writing on it. When deciphered it

said: ‘Wood for you. Hurry up. Approach cautiously.’ There was

a signature, but it was illegible—-not Kurtz—a much longer word.

Hurry up. Where? Up the river? ‘Approach cautiously.’ We had

not done so. But the warning could not have been meant for the

place where it could be only found after approach. Something was

wrong above. But what—and how much? That was the question.

We commented adversely upon the imbecility of that telegraphic

style. The bush around said nothing, and would not let us look

very far, either. A torn curtain of red twill hung in the doorway of

the hut, and flapped sadly in our faces. The dwelling was

dismantled; but we could see a white man had lived there not very

long ago. There remained a rude table—a plank on two posts; a

heap of rubbish reposed in a dark corner, and by the door I

picked up a book. It had lost its covers, and the pages had been

thumbed into a state of extremely dirty softness; but the back had

been lovingly stitched afresh with white cotton thread, which

looked clean yet. It was an extraordinary find. Its title was, ‘An

Inquiry into some Points of Seamanship,’ by a man Tower,

Towson—some such name—Master in his Majesty’s Navy. The

matter looked dreary reading enough, with illustrative diagrams

and repulsive tables of figures, and the copy was sixty years old. I

handled this amazing antiquity with the greatest possible

tenderness, lest it should dissolve in my hands. Within, Towson

or Towser was inquiring earnestly into the breaking strain of ships’

chains and tackle, and other such matters. Not a very enthralling

book; but at the first glance you could see there a singleness of

intention, an honest concern for the right way of going to work,

which made these humble pages, thought out so many years ago,

luminous with another than a professional light. The simple old

sailor, with his talk of chains and purchases, made me forget the

jungle and the pilgrims in a delicious sensation of having come

upon something unmistakably real. Such a book being there was

wonderful enough; but still more astounding were the notes

penciled in the margin, and plainly referring to the text. I couldn’t

believe my eyes! They were in cipher! Yes, it looked like cipher.

Fancy a man lugging with him a book of that description into this

nowhere and studying it—and making notes—in cipher at that! It

was an extravagant mystery.

“I had been dimly aware for some time of a worrying noise,

and when I lifted my eyes I saw the wood-pile was gone, and the

manager, aided by all the pilgrims, was shouting at me from the

river-side. I slipped the book into my pocket. I assure you to leave

off reading was like tearing myself away from the shelter of an old

and solid friendship.

“I started the lame engine ahead. ‘It must be this miserable

trader—this intruder,’ exclaimed the manager, looking back

malevolently at the place we had left. ‘He must be English,’ I said.

‘It will not save him from getting into trouble if he is not careful,’

muttered the manager darkly. I observed with assumed innocence

that no man was safe from trouble in this world.

“The current was more rapid now, the steamer seemed at her

last gasp, the stern-wheel flopped languidly, and I caught myself

listening on tiptoe for the next beat of the float, for in sober truth I

expected the wretched thing to give up every moment. It was like

watching the last flickers of a life. But still we crawled. Sometimes

I would pick out a tree a little way ahead to measure our progress

towards Kurtz by, but I lost it invariably before we got abreast. To

keep the eyes so long on one thing was too much for human

patience. The manager displayed a beautiful resignation. I fretted

and fumed and took to arguing with myself whether or no I would

talk openly with Kurtz; but before I could come to any conclusion

it occurred to me that my speech or my silence, indeed any action

of mine, would be a mere futility. What did it matter what anyone

knew or ignored? What did it matter who was manager? One gets

sometimes such a flash of insight. The essentials of this affair lay

deep under the surface, beyond my reach, and, beyond my power

of meddling.

“Towards the evening of the second day we judged ourselves

about eight miles from Kurtz’s station. I wanted to push on; but

the manager looked grave, and told me the navigation up there

was so dangerous that it would be advisable, the sun being very

low already, to wait where we were till next morning. Moreover, he

pointed out that if the warning to approach cautiously were to be

followed, we must approach in daylight—not at dusk, or in the

dark. This was sensible enough. Eight miles meant nearly three

hours’ steaming for us, and I could also see suspicious ripples at

the upper end of the reach. Nevertheless, I was annoyed beyond

expression at the delay, and most unreasonably too, since one

night more could not matter much after so many months. As we

had plenty of wood, and caution was the word, I brought up in the

middle of the stream. The reach was narrow, straight, with high

sides like a railway cutting. The dusk came gliding into it long

before the sun had set. The current ran smooth and swift, but a

dumb immobility sat on the banks. The living trees, lashed

together by the creepers and every living bush of the undergrowth,

might have been changed into stone, even to the slenderest twig, to

the lightest leaf. It was not sleep—it seemed unnatural, like a state

of trance. Not the faintest sound of any kind could be heard. You

looked on amazed, and began to suspect yourself of being deaf—

then the night came suddenly, and struck you blind as well. About

three in the morning some large fish leaped, and the loud splash

made me jump as though a gun had been fired. When the sun

rose there was a white fog, very warm and clammy, and more

blinding than the night. It did not shift or drive; it was just there,

standing all round you like something solid. At eight or nine,

perhaps, it lifted as a shutter lifts. We had a glimpse of the tower-

ing multitude of trees, of the immense matted jungle, with the

blazing little ball of the sun hanging over it—all perfectly still—and

then the white shutter came down again, smoothly, as if sliding in

greased grooves. I ordered the chain, which we had begun to

heave in, to be paid out again. Before it stopped running with a

muffled rattle, a cry, a very loud cry, as of infinite desolation,

soared slowly in the opaque air. It ceased. A complaining clamor,

modulated in savage discords, filled our ears. The sheer

unexpectedness of it made my hair stir under my cap. I don’t

know how it struck the others: to me it seemed as though the mist

itself had screamed, so suddenly, and apparently from all sides at

once, did this tumultuous and mournful uproar arise. It

culminated in a hurried outbreak of almost intolerably excessive

shrieking, which stopped short, leaving us stiffened in a variety of

silly attitudes, and obstinately listening to the nearly as appalling

and excessive silence. ‘Good God! What is the meaning—?’

stammered at my elbow one of the pilgrims,—a little fat man, with

sandy hair and red whiskers, who wore side-spring boots, and pink

pyjamas tucked into his socks. Two others remained open-

mouthed a whole minute, then dashed into the little cabin, to rush

out incontinently and stand darting scared glances, with Win-

chesters at ‘ready’ in their hands. What we could see was just the

steamer we were on, her outlines blurred as though she had been

on the point of dissolving, and a misty strip of water, perhaps two

feet broad, around her—and that was all. The rest of the world was

nowhere, as far as our eyes and ears were concerned. Just

nowhere. Gone, disappeared; swept off without leaving a whisper

or a shadow behind.

“I went forward, and ordered the chain to be hauled in short,

so as to be ready to trip the anchor and move the steamboat at

once if necessary. ‘Will they attack?’ whispered an awed voice.

‘We will be all butchered in this fog,’ murmured another. The

faces twitched with the strain, the hands trembled slightly, the eyes

forgot to wink. It was very curious to see the contrast of ex-

pressions of the white men and of the black fellows of our crew,

who were as much strangers to that part of the river as we, though

their homes were only eight hundred miles away. The whites, of

course greatly discomposed, had besides a curious look of being

painfully shocked by such an outrageous row. The others had an

alert, naturally interested expression; but their faces were es-

sentially quiet, even those of the one or two who grinned as they

hauled at the chain. Several exchanged short, grunting phrases,

which seemed to settle the matter to their satisfaction. Their

headman, a young, broad-chested black, severely draped in dark-

blue fringed cloths, with fierce nostrils and his hair all done up art-

fully in oily ringlets, stood near me. ‘Aha!’ I said, just for good

fellowship’s sake. ‘Catch ’im,’ he snapped, with a bloodshot

widening of his eyes and a flash of sharp teeth—‘catch ’im. Give

’im to us.’ ‘To you, eh?’ I asked; ‘what would you do with them?’

‘Eat ’im!’ he said curtly, and, leaning his elbow on the rail, looked

out into the fog in a dignified and profoundly pensive attitude. I

would no doubt have been properly horrified, had it not occurred

to me that he and his chaps must be very hungry: that they must

have been growing increasingly hungry for at least this month past.

They had been engaged for six months (I don’t think a single one

of them had any clear idea of time, as we at the end of countless

ages have. They still belonged to the beginnings of time—had no

inherited experience to teach them as it were), and of course, as

long as there was a piece of paper written over in accordance with

some farcical law or other made down the river, it didn’t enter

anybody’s head to trouble how they would live. Certainly they had

brought with them some rotten hippo-meat, which couldn’t have

lasted very long, anyway, even if the pilgrims hadn’t, in the midst

of a shocking hullabaloo, thrown a considerable quantity of it

overboard. It looked like a high-handed proceeding; but it was

really a case of legitimate self-defense. You can’t breathe dead

hippo waking, sleeping, and eating, and at the same time keep

your precarious grip on existence. Besides that, they had given

them every week three pieces of brass wire, each about nine

inches long; and the theory was they were to buy their provisions

with that currency in river-side villages. You can see how that worked. There were either no villages, or the people were hostile,

or the director, who like the rest of us fed out of tins, with an

occasional old he-goat thrown in, didn’t want to stop the steamer

for some more or less recondite reason. So, unless they swallowed

the wire itself, or made loops of it to snare the fishes with, I don’t

see what good their extravagant salary could be to them. I must say

it was paid with a regularity worthy of a large and honorable

trading company. For the rest, the only thing to eat—though it

didn’t look eatable in the least—I saw in their possession was a few

lumps of some stuff like half-cooked dough, of a dirty lavender

color, they kept wrapped in leaves, and now and then swallowed a

piece of, but so small that it seemed done more for the looks of

the thing than for any serious purpose of sustenance. Why in the

name of all the gnawing devils of hunger they didn’t go for us—

they were thirty to five—and have a good tuck in for once, amazes

me now when I think of it. They were big powerful men, with not

much capacity to weigh the consequences, with courage, with

strength, even yet, though their skins were no longer glossy and

their muscles no longer hard. And I saw that something

restraining, one of those human secrets that baffle probability, had

come into play there. I looked at them with a swift quickening of

interest—not because it occurred to me I might be eaten by them

before very long, though I own to you that just then I perceived—in

a new light, as it were—how unwholesome the pilgrims looked, and

I hoped, yes, I positively hoped, that my aspect was not so—what

shall I say?—so—unappetizing: a touch of fantastic vanity which

fitted well with the dream-sensation that pervaded all my days at

that time. Perhaps I had a little fever too. One can’t live with one’s

finger everlastingly on one’s pulse. I had often ‘a little fever,’ or a

little touch of other things—the playful paw-strokes of the wilder-

ness, the preliminary trifling before the more serious onslaught

which came in due course. Yes; I looked at them as you would on

any human being, with a curiosity of their impulses, motives,

capacities, weaknesses, when brought to the test of an inexorable

physical necessity. Restraint! What possible restraint? Was it

superstition, disgust, patience, fear—or some kind of primitive

honor? No fear can stand up to hunger, no patience can wear it

out, disgust simply does not exist where hunger is; and as to

superstition, beliefs, and what you may call principles, they are less

than chaff in a breeze. Don’t you know the devilry of lingering

starvation, its exasperating torment, its black thoughts, its somber

and brooding ferocity? Well, I do. It takes a man all his inborn

strength to fight hunger properly. It’s really easier to face

bereavement, dishonor, and the perdition of one’s soul—than this

kind of prolonged hunger. Sad, but true. And these chaps too had

no earthly reason for any kind of scruple. Restraint! I would just as

soon have expected restraint from a hyena prowling amongst the

corpses of a battlefield. But there was the fact facing me—the fact

dazzling, to be seen, like the foam on the depths of the sea, like a

ripple on an unfathomable enigma, a mystery greater—when I

thought of it—than the curious, inexplicable note of desperate grief

in this savage clamor that had swept by us on the river-bank,

behind the blind whiteness of the fog.

“Two pilgrims were quarreling in hurried whispers as to which

bank. ‘Left.’ ‘No, no; how can you? Right, right, of course.’ ‘It is

very serious,’ said the manager’s voice behind me; ‘I would be

desolated if anything should happen to Mr. Kurtz before we came

up.’ I looked at him, and had not the slightest doubt he was

sincere. He was just the kind of man who would wish to preserve

appearances. That was his restraint. But when he muttered

something about going on at once, I did not even take the trouble

to answer him. I knew, and he knew, that it was impossible. Were

we to let go our hold of the bottom, we would be absolutely in the

air—in space. We wouldn’t be able to tell where we were going to—

whether up or down stream, or across—till we fetched against one

bank or the other,—and then we wouldn’t know at first which it

was. Of course I made no move. I had no mind for a smash-up.

You couldn’t imagine a more deadly place for a shipwreck.

Whether drowned at once or not, we were sure to perish speedily

in one way or another. ‘I authorize you to take all the risks,’ he

said, after a short silence. ‘I refuse to take any,’ I said shortly;

which was just the answer he expected, though its tone might have

surprised him. ‘Well, I must defer to your judgment. You are cap-

tain,’ he said, with marked civility. I turned my shoulder to him in

sign of my appreciation, and looked into the fog. How long would

it last? It was the most hopeless look-out. The approach to this

Kurtz grubbing for ivory in the wretched bush was beset by as

many dangers as though he had been an enchanted princess

sleeping in a fabulous castle. ‘Will they attack, do you think?’

asked the manager, in a confidential tone.

“I did not think they would attack, for several obvious reasons.

The thick fog was one. If they left the bank in their canoes they

would get lost in it, as we would be if we attempted to move. Still, I

had also judged the jungle of both banks quite impenetrable—and

yet eyes were in it, eyes that had seen us. The river-side bushes

were certainly very thick; but the undergrowth behind was

evidently penetrable. However, during the short lift I had seen no

canoes anywhere in the reach—certainly not abreast of the steamer.

But what made the idea of attack inconceivable to me was the

nature of the noise—of the cries we had heard. They had not the

fierce character boding of immediate hostile intention.

Unexpected, wild, and violent as they had been, they had given

me an irresistible impression of sorrow. The glimpse of the

steamboat had for some reason filled those savages with

unrestrained grief. The danger, if any, I expounded, was from our

proximity to a great human passion let loose. Even extreme grief

may ultimately vent itself in violence—but more generally takes the

form of apathy. . . .

“You should have seen the pilgrims stare! They had no heart

to grin, or even to revile me; but I believe they thought me gone

mad—with fright, maybe. I delivered a regular lecture. My dear

boys, it was no good bothering. Keep a look-out? Well, you may

guess I watched the fog for the signs of lifting as a cat watches a

mouse; but for anything else our eyes were of no more use to us

than if we had been buried miles deep in a heap of cotton-wool. It

felt like it too—choking, warm, stifling. Besides, all I said, though it

sounded extravagant, was absolutely true to fact. What we

afterwards alluded to as an attack was really an attempt at repulse.

The action was very far from being aggressive—it was not even

defensive, in the usual sense: it was undertaken under the stress of

desperation, and in its essence was purely protective.

“It developed itself, I should say, two hours after the fog lifted,

and its commencement was at a spot, roughly speaking, about a

mile and a half below Kurtz’s station. We had just floundered and

flopped round a bend, when I saw an islet, a mere grassy

hummock of bright green, in the middle of the stream. It was the

only thing of the kind; but as we opened the reach more, I

perceived it was the head of a long sandbank, or rather of a chain

of shallow patches stretching down the middle of the river. They

were discolored, just awash, and the whole lot was seen just under

the water, exactly as a man’s backbone is seen running down the

middle of his back under the skin. Now, as far as I did see, I could

go to the right or to the left of this. I didn’t know either channel, of

course. The banks looked pretty well alike, the depth appeared

the same; but as I had been informed the station was on the west

side, I naturally headed for the western passage.

“No sooner had we fairly entered it than I became aware it was

much narrower than I had supposed. To the left of us there was

the long uninterrupted shoal, and to the right a high, steep bank

heavily overgrown with bushes. Above the bush the trees stood in

serried ranks. The twigs overhung the current thickly, and from

distance to distance a large limb of some tree projected rigidly

over the stream. It was then well on in the afternoon, the face of

the forest was gloomy, and a broad strip of shadow had already

fallen on the water. In this shadow we steamed up—very slowly, as

you may imagine. I sheered her well inshore—the water being

deepest near the bank, as the sounding-pole informed me.

“One of my hungry and forbearing friends was sounding in the

bows just below me. This steamboat was exactly like a decked

scow. On the deck there were two little teak-wood houses, with

doors and windows. The boiler was in the fore-end, and the

machinery right astern. Over the whole there was a light roof,

supported on stanchions. The funnel projected through that roof,

and in front of the funnel a small cabin built of light planks served

for a pilot-house. It contained a couch, two camp-stools, a loaded

Martini-Henry leaning in one corner, a tiny table, and the steering-

wheel. It had a wide door in front and a broad shutter at each side.

All these were always thrown open, of course. I spent my days

perched up there on the extreme fore-end of that roof, before the

door. At night I slept, or tried to, on the couch. An athletic black

belonging to some coast tribe, and educated by my poor

predecessor, was the helmsman. He sported a pair of brass

earrings, wore a blue cloth wrapper from the waist to the ankles,

and thought all the world of himself. He was the most unstable

kind of fool I had ever seen. He steered with no end of a swagger

while you were by; but if he lost sight of you, he became instantly

the prey of an abject funk, and would let that cripple of a

steamboat get the upper hand of him in a minute.

“I was looking down at the sounding-pole, and feeling much

annoyed to see at each try a little more of it stick out of that river,

when I saw my poleman give up the business suddenly, and

stretch himself flat on the deck, without even taking the trouble to

haul his pole in. He kept hold on it though, and it trailed in the

water. At the same time the fireman, whom I could also see below

me, sat down abruptly before his furnace and ducked his head. I

was amazed. Then I had to look at the river mighty quick, because

there was a snag in the fairway. Sticks, little sticks, were flying

about—thick: they were whizzing before my nose, dropping below

me, striking behind me against my pilot-house. All this time the

river, the shore, the woods, were very quiet—perfectly quiet. I

could only hear the heavy splashing thump of the stern-wheel and

the patter of these things. We cleared the snag clumsily. Arrows,

by Jove! We were being shot at! I stepped in quickly to close the

shutter on the land side. That fool-helmsman, his hands on the

spokes, was lifting his knees high, stamping his feet, champing his

mouth, like a reined-in horse. Confound him! And we were

staggering within ten feet of the bank. I had to lean right out to

swing the heavy shutter, and I saw a face amongst the leaves on the

level with my own, looking at me very fierce and steady; and then

suddenly, as though a veil had been removed from my eyes, I

made out, deep in the tangled gloom, naked breasts, arms, legs,

glaring eyes,—the bush was swarming with human limbs in

movement, glistening, of bronze color. The twigs shook, swayed,

and rustled, the arrows flew out of them, and then the shutter

came to. ‘Steer her straight,’ I said to the helmsman. He held his

head rigid, face forward; but his eyes rolled, he kept on lifting and

setting down his feet gently, his mouth foamed a little. ‘Keep

quiet!’ I said in a fury. I might just as well have ordered a tree not

to sway in the wind. I darted out. Below me there was a great

scuffle of feet on the iron deck; confused exclamations; a voice

screamed, ‘Can you turn back?’ I caught shape of a V-shaped

ripple on the water ahead. What? Another snag! A fusillade burst

out under my feet. The pilgrims had opened with their

Winchesters, and were simply squirting lead into that bush. A

deuce of a lot of smoke came up and drove slowly forward. I

swore at it. Now I couldn’t see the ripple or the snag either. I

stood in the doorway, peering, and the arrows came in swarms.

They might have been poisoned, but they looked as though they

wouldn’t kill a cat. The bush began to howl. Our wood-cutters

raised a warlike whoop; the report of a rifle just at my back

deafened me. I glanced over my shoulder, and the pilot-house was

yet full of noise and smoke when I made a dash at the wheel. The

fool-nigger had dropped everything, to throw the shutter open and

let off that Martini-Henry. He stood before the wide opening,

glaring, and I yelled at him to come back, while I straightened the

sudden twist out of that steamboat. There was no room to turn

even if I had wanted to, the snag was somewhere very near ahead

in that confounded smoke, there was no time to lose, so I just

crowded her into the bank—right into the bank, where I knew the

water was deep.

“We tore slowly along the overhanging bushes in a whirl of

broken twigs and flying leaves. The fusillade below stopped short,

as I had foreseen it would when the squirts got empty. I threw my

head back to a glinting whizz that traversed the pilot-house, in at

one shutter-hole and out at the other. Looking past that mad

helmsman, who was shaking the empty rifle and yelling at the

shore, I saw vague forms of men running bent double, leaping,

gliding, distinct, incomplete, evanescent . Something big appeared

in the air before the shutter, the rifle went overboard, and the man

stepped back swiftly, looked at me over his shoulder in an

extraordinary, profound, familiar manner, and fell upon my feet.

The side of his head hit the wheel twice, and the end of what

appeared a long cane clattered round and knocked over a little

camp-stool. It looked as though after wrenching that thing from

somebody ashore he had lost his balance in the effort. The thin

smoke had blown away, we were clear of the snag, and looking

ahead I could see that in another hundred yards or so I would be

free to sheer off, away from the bank; but my feet felt so very

warm and wet that I had to look down. The man had rolled on his

back and stared straight up at me; both his hands clutched that

cane. It was the shaft of a spear that, either thrown or lunged

through the opening, had caught him in the side just below the

ribs; the blade had gone in out of sight, after making a frightful

gash; my shoes were full; a pool of blood lay very still, gleaming

dark-red under the wheel; his eyes shone with an amazing luster.

The fusillade burst out again. He looked at me anxiously, gripping

the spear like something precious, with an air of being afraid I

would try to take it away from him. I had to make an effort to free

my eyes from his gaze and attend to the steering. With one hand I

felt above my head for the line of the steam-whistle, and jerked

out screech after screech hurriedly. The tumult of angry and

warlike yells was checked instantly, and then from the depths of

the woods went out such a tremulous and prolonged wail of

mournful fear and utter despair as may be imagined to follow the

flight of the last hope from the earth. There was a great

commotion in the bush; the shower of arrows stopped, a few

dropping shots rang out sharply—then silence, in which the languid

beat of the stern-wheel came plainly to my ears. I put the helm

hard a-starboard at the moment when the pilgrim in pink pyjamas,

very hot and agitated, appeared in the doorway. ‘The manager

sends me—’ he began in an official tone, and stopped short. ‘Good

God!’ he said, glaring at the wounded man.

“We two whites stood over him, and his lustrous and inquiring

glance enveloped us both. I declare it looked as though he would

presently put to us some question in an understandable language;

but he died without uttering a sound, without moving a limb,

without twitching a muscle. Only in the very last moment, as

though in response to some sign we could not see, to some

whisper we could not hear, he frowned heavily, and that frown

gave to his black death-mask an inconceivably somber, brooding,

and menacing expression. The luster of inquiring glance faded

swiftly into vacant glassiness. ‘Can you steer?’ I asked the agent

eagerly. He looked very dubious; but I made a grab at his arm,

and he understood at once I meant him to steer whether or no.

To tell you the truth, I was morbidly anxious to change my shoes

and socks. ‘He is dead,’ murmured the fellow, immensely

impressed. ‘No doubt about it,’ said I, tugging like mad at the

shoe-laces. ‘And, by the way, I suppose Mr. Kurtz is dead as well

by this time.’

“For the moment that was the dominant thought. There was a

sense of extreme disappointment, as though I had found out I had

been striving after something altogether without a substance. I

couldn’t have been more disgusted if I had traveled all this way for

the sole purpose of talking with Mr. Kurtz. Talking with. . . . I

flung one shoe overboard, and became aware that that was exactly

what I had been looking forward to—a talk with Kurtz. I made the

strange discovery that I had never imagined him as doing, you

know, but as discoursing. I didn’t say to myself, ‘Now I will never

see him,’ or ‘Now I will never shake him by the hand,’ but, ‘Now I

will never hear him.’ The man presented himself as a voice. Not

of course that I did not connect him with some sort of action.

Hadn’t I been told in all the tones of jealousy and admiration that

he had collected, bartered, swindled, or stolen more ivory than all

the other agents together. That was not the point. The point was in

his being a gifted creature, and that of all his gifts the one that

stood out preeminently, that carried with it a sense of real

presence, was his ability to talk, his words—the gift of expression,

the bewildering, the illuminating, the most exalted and the most

contemptible, the pulsating stream of light, or the deceitful flow

from the heart of an impenetrable darkness.

“The other shoe went flying unto the devil-god of that river. I

thought, By Jove! it’s all over. We are too late; he has vanished—

the gift has vanished, by means of some spear, arrow, or club. I

will never hear that chap speak after all,—and my sorrow had a

startling extravagance of emotion, even such as I had noticed in

the howling sorrow of these savages in the bush. I couldn’t have

felt more of lonely desolation somehow, had I been robbed of a

belief or had missed my destiny in life. . . . Why do you sigh in

this beastly way, somebody? Absurd? Well, absurd. Good Lord!

mustn’t a man ever— Here, give me some tobacco.” . . .

There was a pause of profound stillness, then a match flared,

and Marlow’s lean face appeared, worn, hollow, with downward

folds and dropped eyelids, with an aspect of concentrated

attention; and as he took vigorous draws at his pipe, it seemed to

retreat and advance out of the night in the regular flicker of the

tiny flame. The match went out.

“Absurd!” he cried. “This is the worst of trying to tell. . . .

Here you all are, each moored with two good addresses, like a

hulk with two anchors, a butcher round one corner, a policeman

round another, excellent appetites, and temperature normal—you

hear—normal from year’s end to year’s end. And you say, Absurd!

Absurd be—exploded! Absurd! My dear boys, what can you expect

from a man who out of sheer nervousness had just flung

overboard a pair of new shoes. Now I think of it, it is amazing I

did not shed tears. I am, upon the whole, proud of my fortitude. I

was cut to the quick at the idea of having lost the inestimable

privilege of listening to the gifted Kurtz. Of course I was wrong.

The privilege was waiting for me. Oh yes, I heard more than

enough. And I was right, too. A voice. He was very little more

than a voice. And I heard—him—it—this voice—other voices—all of

them were so little more than voices—and the memory of that time

itself lingers around me, impalpable, like a dying vibration of one

immense jabber, silly, atrocious, sordid, savage, or simply mean,

without any kind of sense. Voices, voices—even the girl herself—

now—”

He was silent for a long time.

“I laid the ghost of his gifts at last with a lie,” he began

suddenly. “Girl! What? Did I mention a girl? Oh, she is out of it—

completely. They—the women I mean—are out of it—should be out

of it. We must help them to stay in that beautiful world of their

own, lest ours gets worse. Oh, she had to be out of it. You should

have heard the disinterred body of Mr. Kurtz saying, ‘My

Intended.’ You would have perceived directly then how

completely she was out of it. And the lofty frontal bone of Mr.

Kurtz! They say the hair goes on growing sometimes, but this—ah—

specimen, was impressively bald. The wilderness had patted him

on the head, and, behold, it was like a ball—an ivory ball; it had

caressed him, and—lo!—he had withered; it had taken him, loved

him, embraced him, got into his veins, consumed his flesh, and

sealed his soul to its own by the inconceivable ceremonies of some

devilish initiation. He was its spoiled and pampered favorite.

Ivory? I should think so. Heaps of it, stacks of it. The old mud

shanty was bursting with it. You would think there was not a single

tusk left either above or below the ground in the whole country.

‘Mostly fossil,’ the manager had remarked disparagingly. It was no

more fossil than I am; but they call it fossil when it is dug up. It

appears these niggers do bury the tusks sometimes—but evidently

they couldn’t bury this parcel deep enough to save the gifted Mr.

Kurtz from his fate. We filled the steamboat with it, and had to

pile a lot on the deck. Thus he could see and enjoy as long as he

could see, because the appreciation of this favor had remained

with him to the last. You should have heard him say, ‘My ivory.’

Oh yes, I heard him. ‘My Intended, my ivory, my station, my

river, my—’ Everything belonged to him. it made me hold my

breath in expectation of hearing the wilderness burst into a

prodigious peal of laughter that would shake the fixed stars in their

places. Everything belonged to him—but that was a trifle. The thing

was to know what he belonged to, how many powers of darkness

claimed him for their own. That was the reflection that made you

creepy all over. It was impossible—it was not good for one either—

trying to imagine. He had taken a high seat amongst the devils of

the land—I mean literally. You can’t understand. How could

you?—with solid pavement under your feet, surrounded by kind

neighbors ready to cheer you or to fall on you, stepping delicately

between the butcher and the policeman, in the holy terror of

scandal and gallows and lunatic asylums—how can you imagine

what particular region of the first ages a man’s untrammeled feet

may take him into by the way of solitude—utter solitude without a

policeman—by the way of silence—utter silence, where no warning

voice of a kind neighbor can be heard whispering of public

opinion? These little things make all the great difference. When

they are gone you must fall back upon your own innate strength,

upon your own capacity for faithfulness. Of course you may be

too much of a fool to go wrong—too dull even to know you are

being assaulted by the powers of darkness. I take it, no fool ever

made a bargain for his soul with the devil: the fool is too much of

a fool, or the devil too much of a devil—I don’t know which. Or

you may be such a thunderingly exalted creature as to be

altogether deaf and blind to anything but heavenly sights and

sounds. Then the earth for you is only a standing place—and

whether to be like this is your loss or your gain I won’t pretend to

say. But most of us are neither one nor the other. The earth for us

is a place to live in, where we must put up with sights, with sounds,

with smells too, by Jove—breathe dead hippo, so to speak, and not

be contaminated. And there, don’t you see? your strength comes

in, the faith in your ability for the digging of unostentatious holes

to bury the stuff in—your power of devotion, not to yourself, but to

an obscure, back-breaking business. And that’s difficult enough.

Mind, I am not trying to excuse or even explain—I am trying to

account to myself for—for—Mr. Kurtz—for the shade of Mr. Kurtz.

This initiated wraith from the back of Nowhere honored me with

its amazing confidence before it vanished altogether. This was

because it could speak English to me. The original Kurtz had

been educated partly in England, and—as he was good enough to

say himself—his sympathies were in the right place. His mother

was half-English, his father was half-French. All Europe

contributed to the making of Kurtz; and by-and-by I learned that,

most appropriately, the International Society for the Suppression

of Savage Customs had intrusted him with the making of a report,

for its future guidance. And he had written it too. I’ve seen it. I’ve

read it. It was eloquent, vibrating with eloquence, but too high-

strung, I think. Seventeen pages of close writing he had found time

for! But this must have been before his—let us say—nerves, went

wrong, and caused him to preside at certain midnight dances

ending with unspeakable rites, which—as far as I reluctantly

gathered from what I heard at various times—were offered up to

him—do you understand?—to Mr. Kurtz himself. But it was a

beautiful piece of writing. The opening paragraph, however, in the

light of later information, strikes me now as ominous. He began

with the argument that we whites, from the point of development

we had arrived at, ‘must necessarily appear to them [savages] in

the nature of supernatural beings—we approach them with the

might as of a deity,’ and so on, and-so on. ‘By the simple exercise

of our will we can exert a power for good practically unbounded,’

&c., &c. From that point he soared and took me with him. The

peroration was magnificent, though difficult to remember, you

know. It gave me the notion of an exotic Immensity ruled by an

august Benevolence. It made me tingle with enthusiasm. This was

the unbounded power of eloquence—of words—of burning noble

words. There were no practical hints to interrupt the magic

current of phrases, unless a kind of note at the foot of the last

page, scrawled evidently much later, in an unsteady hand, may be

regarded as the exposition of a method. It was very simple, and at

the end of that moving appeal to every altruistic sentiment it

blazed at you, luminous and terrifying, like a flash of lightning in a

serene sky: ‘Exterminate all the brutes!’ The curious part was that

he had apparently forgotten all about that valuable postscriptum,

because, later on, when he in a sense came to himself, he

repeatedly entreated me to take good care of ‘my pamphlet’ (he

called it), as it was sure to have in the future a good influence upon

his career. I had full information about all these things, and,

besides, as it turned out, I was to have the care of his memory. I’ve

done enough for it to give me the indisputable right to lay it, if I

choose, for an everlasting rest in the dust-bin of progress, amongst

all the sweepings and, figuratively speaking, all the dead cats of

civilization. But then, you see, I can’t choose. He won’t be

forgotten. Whatever he was, he was not common. He had the

power to charm or frighten rudimentary souls into an aggravated

witch-dance in his honor; he could also fill the small souls of the

pilgrims with bitter misgivings: he had one devoted friend at least,

and he had conquered one soul in the world that was neither

rudimentary nor tainted with self-seeking. No; I can’t forget him,

though I am not prepared to affirm the fellow was exactly worth

the life we lost in getting to him. I missed my late helmsman

awfully,—I missed him even while his body was still lying in the

pilot-house. Perhaps you will think it passing strange this regret for

a savage who was no more account than a grain of sand in a black

Sahara. Well, don’t you see, he had done something, he had

steered; for months I had him at my back—a help—an instrument.

It was a kind of partnership. He steered for me—I had to look

after him, I worried about his deficiencies, and thus a subtle bond

had been created, of which I only became aware when it was

suddenly broken. And the intimate profundity of that look he gave

me when he received his hurt remains to this day in my memory—

like a claim of distant kinship affirmed in a supreme moment

“Poor fool! If he had only left that shutter alone. He had

no restraint, no restraint—just like Kurtz—a tree swayed by the

wind; As soon as I had put on a dry pair of slippers, I dragged him

out, after first jerking the spear out of his side, which operation I

confess I performed with my eyes shut tight. His heels leaped

together over the little door-step; his shoulders were pressed to my

breast; I hugged him from behind desperately. Oh! he was heavy,

heavy; heavier than any man on earth, I should imagine. Then

without more ado I tipped him overboard. The current snatched

him as though he had been a wisp of grass, and I saw the body roll

over twice before I lost sight of it for ever. All the pilgrims and the

manager were then congregated on the awning-deck about the

pilot-house, chattering at each other like a flock of excited

magpies, and there was a scandalized murmur at my heartless

promptitude. What they wanted to keep that body hanging about

for I can’t guess. Embalm it, maybe. But I had also heard another,

and a very ominous, murmur on the deck below. My friends the

wood-cutters were likewise scandalized, and with a better show of

reason—though I admit that the reason itself was quite

inadmissible. Oh, quite! I had made up my mind that if my late

helmsman was to be eaten, the fishes alone should have him. He

had been a very second-rate helmsman while alive, but now he was

dead he might have become a first-class temptation, and possibly

cause some startling trouble. Besides, I was anxious to take the

wheel, the man in pink pyjamas showing himself a hopeless duffer

at the business.

“This I did directly the simple funeral was over. We were

going half-speed, keeping right in the middle of the stream, and I

listened to the talk about me. They had given up Kurtz, they had

given up the station; Kurtz was dead, and the station had been

burnt—and so on—and so on. The red-haired pilgrim was beside

himself with the thought that at least this poor Kurtz had been

properly revenged. ‘Say! We must have made a glorious slaughter

of them in the bush. Eh? What do you think? Say?’ He positively

danced, the bloodthirsty little gingery beggar. And he had nearly

fainted when he saw the wounded man! I could not help saying,

‘You made a glorious lot of smoke, anyhow.’ I had seen, from the

way the tops of the bushes rustled and flew, that almost all the

shots had gone too high. You can’t hit anything unless you take

aim and fire from the shoulder; but these chaps fired from the hip

with their eyes shut. The retreat, I maintained—and I was right—

was caused by the screeching of the steam-whistle. Upon this they

forgot Kurtz, and began to howl at me with indignant protests.

“The manager stood by the wheel murmuring confidentially

about the necessity of getting well away down the river before dark

at all events, when I saw in the distance a clearing on the river-side

and the outlines of some sort of building. ‘What’s this?’ I asked.

He clapped his hands in wonder. ‘The station!’ he cried. I edged

in at once, still going half-speed.

“Through my glasses I saw the slope of a hill interspersed with

rare trees and perfectly free from undergrowth. A long decaying

building on the summit was half buried in the high grass; the large

holes in the peaked roof gaped black from afar; the jungle and the

woods made a background. There was no inclosure or fence of

any kind; but there had been one apparently, for near the house

half-a-dozen slim posts remained in a row, roughly trimmed, and

with their upper ends ornamented with round carved balls. The

rails, or whatever there had been between, had disappeared. Of

course the forest surrounded all that. The river-bank was clear,

and on the water-side I saw a white man under a hat like a cart-

wheel beckoning persistently with his whole arm. Examining the

edge of the forest above and below, I was almost certain I could

see movements—human forms gliding here and there. I steamed

past prudently, then stopped the engines and let her drift down.

The man on the shore began to shout, urging us to land. ‘We have

been attacked,’ screamed the manager. ‘I know—I know. It’s all

right,’ yelled back the other, as cheerful as you please. ‘Come

along. It’s all right. I am glad.’

“His aspect reminded me of something I had seen—something

funny I had seen somewhere. As I maneuvered to get alongside, I

was asking myself, ‘What does this fellow look like?’ Suddenly I

got it. He looked like a harlequin. His clothes had been made of

some stuff that was brown holland probably, but it was covered

with patches all over, with bright patches, blue, red, and yellow,—

patches on the back, patches on front, patches on elbows, on

knees; colored binding round his jacket, scarlet edging at the

bottom of his trousers; and the sunshine made him look

extremely gay and wonderfully neat withal, because you could see

how beautifully all this patching had been done. A beardless,

boyish face, very fair, no features to speak of, nose peeling, little

blue eyes, smiles and frowns chasing each other over that open

countenance like sunshine and shadow on a windswept plain.

‘Look out, captain!’ he cried; ‘there’s a snag lodged in here last

night.’ What! Another snag? I confess I swore shamefully. I had

nearly holed my cripple, to finish off that charming trip. The

harlequin on the bank turned his little pug nose up to me. ‘You

English?’ he asked, all smiles. ‘Are you?’ I shouted from the

wheel. The smiles vanished, and he shook his head as if sorry for

my disappointment. Then he brightened up. ‘Never mind!’ he

cried encouragingly. ‘Are we in time?’ I asked. ‘He is up there,’ he

replied, with a toss of the head up the hill, and becoming gloomy

all of a sudden. His face was like the autumn sky, overcast one

moment and bright the next.

“When the manager, escorted by the pilgrims, all of them

armed to the teeth, had gone to the house, this chap came on

board. ‘I say, I don’t like this. These natives are in the bush,’ I

said. He assured me earnestly it was all right. ‘They are simple

people,’ he added; ‘well, I am glad you came. It took me all my

time to keep them off.’ ‘But you said it was all right,’ I cried. ‘Oh,

they meant no harm,’ he said; and as I stared he corrected

himself, ‘Not exactly.’ Then vivaciously, ‘My faith, your pilot-

house wants a clean up!’ In the next breath he advised me to keep

enough steam on the boiler to blow the whistle in case of any

trouble. ‘One good screech will do more for you than all your

rifles. They are simple people,’ he repeated. He rattled away at

such a rate he quite overwhelmed me. He seemed to be trying to

make up for lots of silence, and actually hinted, laughing, that such

was the case. ‘Don’t you talk with Mr. Kurtz?’ I said. ‘You don’t

talk with that man—you listen to him,’ he exclaimed with severe

exaltation. ‘But now—’ He waved his arm, and in the twinkling of

an eye was in the uttermost depths of despondency. In a moment

he came up again with a jump, possessed himself of both my

hands, shook them continuously, while he gabbled: ‘Brother sailor

. . . honor . . . pleasure . . . delight . . . introduce myself . . .

Russian . . . son of an arch-priest . . . Government of Tambov . . .

What? Tobacco! English tobacco; the excellent English tobacco!

Now, that’s brotherly. Smoke? Where’s a sailor that does not

smoke?’

“The pipe soothed him, and gradually I made out he had run

away from school, had gone to sea in a Russian ship; ran away

again; served some time in English ships; was now reconciled with

the arch-priest. He made a point of that. ‘But when one is young

one must see things, gather experience, ideas; enlarge the mind.’

‘Here!’ I interrupted. ‘You can never tell! Here I have met Mr.

Kurtz,’ he said, youthfully solemn and reproachful. I held my

tongue after that. It appears he had persuaded a Dutch trading-

house on the coast to fit him out with stores and goods, and had

started for the interior with a light heart, and no more idea of what

would happen to him than a baby. He had been wandering about

that river for nearly two years alone, cut off from everybody and

everything. ‘I am not so young as I look. I am twenty-five,’ he said.

‘At first old Van Shuyten would tell me to go to the devil,’ he

narrated with keen enjoyment; ‘but I stuck to him, and talked and

talked, till at last he got afraid I would talk the hind-leg off his

favorite dog, so he gave me some cheap things and a few guns, and

told me he hoped he would never see my face again. Good old

Dutchman, Van Shuyten. I’ve sent him one small lot of ivory a

year ago, so that he can’t call me a little thief when I get back. I

hope he got it. And for the rest I don’t care. I had some wood

stacked for you. That was my old house. Did you see?’

“I gave him Towson’s book. He made as though he would kiss

me, but restrained himself. ‘The only book I had left, and I

thought I had lost it,’ he said, looking at it ecstatically. ‘So many

accidents happen to a man going about alone, you know. Canoes

get upset sometimes—and sometimes you’ve got to clear out so

quick when the people get angry.’ He thumbed the pages. ‘You

made notes in Russian?’ I asked. He nodded. ‘I thought they were

written in cipher,’ I said. He laughed, then became serious. ‘I had

lots of trouble to keep these people off,’ he said. ‘Did they want to

kill you?’ I asked. ‘Oh no!’ he cried, and checked himself. ‘Why

did they attack us?’ I pursued. He hesitated, then said

shamefacedly, ‘They don’t want him to go.’ ‘Don’t they?’ I said,

curiously. He nodded a nod full of mystery and wisdom. ‘I tell

you,’ he cried, ‘this man has enlarged my mind.’ He opened his

arms wide, staring at me with his little blue eyes that were perfectly

round.”

III

“I looked at him, lost in astonishment. There he was before

me, in motley, as though he had absconded from a troupe of

mimes, enthusiastic, fabulous. His very existence was improbable,

inexplicable, and altogether bewildering. He was an insoluble

problem. It was inconceivable how he had existed, how he had

succeeded in getting so far, how he had managed to remain why

he did not instantly disappear. ‘I went a little farther,’ he said,

‘then still a little farther—till I had gone so far that I don’t know

how I’ll ever get back. Never mind. Plenty time. I can manage.

You take Kurtz away quick—quick—I tell you.’ The glamour of

youth enveloped his particolored rags, his destitution, his

loneliness, the essential desolation of his futile wanderings. For

months—for years—his life hadn’t been worth a day’s purchase;

and there he was gallantly, thoughtlessly alive, to all appearance

indestructible solely by the virtue of his few years and of his

unreflecting audacity. I was seduced into something like

admiration—like envy. Glamour urged him on, glamour kept him

unscathed. He surely wanted nothing from the wilderness but

space to breathe in and to push on through. His need was to exist,

and to move onwards at the greatest possible risk, and with a

maximum of privation. If the absolutely pure, uncalculating,

unpractical spirit of adventure had ever ruled a human being, it

ruled this be-patched youth. I almost envied him the possession of

this modest and clear flame.

It seemed to have consumed all

thought of self so completely, that, even while he was talking to

you, you forgot that it was he—the man before your eyes—who had

gone through these things. I did not envy him his devotion to

Kurtz, though. He had not meditated over it. It came to him, and

he accepted it with a sort of eager fatalism. I must say that to me it

appeared about the most dangerous thing in every way he had

come upon so far.

“They had come together unavoidably, like two ships

becalmed near each other, and lay rubbing sides at last. I suppose

Kurtz wanted an audience, because on a certain occasion, when

encamped in the forest, they had talked all night, or more

probably Kurtz had talked. ‘We talked of everything,’ he said,

quite transported at the recollection. ‘I forgot there was such a

thing as sleep. The night did not seem to last an hour. Everything!

Everything! . . .Of love too.’ ‘Ah, he talked to you of love!’ I said,

much amused. ‘It isn’t what you think,’ he cried, almost

passionately. ‘It was in general. He made me see things—things.’

“He threw his arms up. We were on deck at the time, and the

headman of my wood-cutters, lounging near by, turned upon him

his heavy and glittering eyes. I looked around, and I don’t know

why, but I assure you that never, never before, did this land, this

river, this jungle, the very arch of this blazing sky, appear to me so

hopeless and so dark, so impenetrable to human thought, so

pitiless to human weakness. ‘And, ever since, you have been with

him, of course?’ I said.

“On the contrary. It appears their intercourse had been very

much broken by various causes. He had, as he informed me

proudly, managed to nurse Kurtz through two illnesses (he alluded

to it as you would to some risky feat), but as a rule Kurtz

wandered alone, far in the depths of the forest. ‘Very often coming

to this station, I had to wait days and days before he would turn

up,’ he said. ‘Ah, it was worth waiting for!—sometimes.’ ‘What was

he doing? exploring or what?’ I asked. ‘Oh yes, of course;’ he had

discovered lots of villages, a lake too—he did not know exactly in

what direction; it was dangerous to inquire too much—but mostly

his expeditions had been for ivory. ‘But he had no goods to trade

with by that time,’ I objected. ‘There’s a good lot of cartridges left

even yet,’ he answered, looking away. ‘To speak plainly, he raided

the country,’ I said. He nodded. ‘Not alone, surely!’ He muttered

something about the villages round that lake. ‘Kurtz got the tribe

to follow him, did he?’ I suggested. He fidgeted a little. ‘They

adored him,’ he said. The tone of these words was so

extraordinary that I looked at him searchingly. It was curious to

see his mingled eagerness and reluctance to speak of Kurtz. The

man filled bis life, occupied his thoughts, swayed his emotions.

‘What can you expect?’ he burst out; ‘he came to them with

thunder and lightning, you know—and they had never seen

anything like it—and very terrible. He could be very terrible. You

can’t judge Mr. Kurtz as you would an ordinary man. No, no, no!

Now—just to give you an idea—I don’t mind telling you, he wanted

to shoot me too one day—but I don’t judge him.’ ‘Shoot you!’ I

cried. ‘What for?’ ‘Well, I had a small lot of ivory the chief of that

village near my house gave me. You see I used to shoot game for

them. Well, he wanted it, and wouldn’t hear reason. He declared

he would shoot me unless I gave him the ivory and then cleared

out of the country, because he could do so, and had a fancy for it,

and there was nothing on earth to prevent him killing whom he

jolly well pleased. And it was true too. I gave him the ivory. What

did I care! But I didn’t clear out. No, no. I couldn’t leave him. I

had to be careful, of course, till we got friendly again for a time.

He had his second illness then. Afterwards I had to keep out of

the way; but I didn’t mind. He was living for the most part in those

villages on the lake. When he came down to the river, sometimes

he would take to me, and sometimes it was better for me to be

careful. This man suffered too much. He hated all this, and

somehow he couldn’t get away. When I had a chance I begged

him to try and leave while there was time; I offered to go back with

him. And he would say yes, and then he would remain; go off on

another ivory hunt; disappear for weeks; forget himself amongst

these people—forget himself—you know.’ ‘Why! he’s mad,’ I said.

He protested indignantly. Mr. Kurtz couldn’t be mad. If I had

heard him talk, only two days ago, I wouldn’t dare hint at such a

thing. . . . I had taken up my binoculars while we talked and was

looking at the shore, sweeping the limit of the forest at each side

and at the back of the house. The consciousness of there being

people in that bush, so silent, so quiet—as silent and quiet as the

ruined house on the hill—made me uneasy. There was no sign on

the face of nature of this amazing tale that was not so much told as

suggested to me in desolate exclamations, completed by shrugs, in

interrupted phrases, in hints ending in deep sighs. The woods

were unmoved, like a mask—heavy, like the closed door of a

prison—they looked with their air of hidden knowledge, of patient

expectation, of unapproachable silence. The Russian was

explaining to me that it was only lately that Mr. Kurtz had come

down to the river, bringing along with him all the fighting men of

that lake tribe. He had been absent for several months—getting

himself adored, I suppose—and had come down unexpectedly,

with the intention to all appearance of making a raid either across

the river or down stream. Evidently the appetite for more ivory

had got the better of the—what shall I say?—less material

aspirations. However he had got much worse suddenly. ‘I heard

he was lying helpless, and so I came up—took my chance,’ said the

Russian. ‘Oh, he is bad, very bad.’ I directed my glass to the

house. There were no signs of life, but there was the ruined roof,

the long mud wall peeping above the grass, with three little square

window-holes, no two of the same size; all this brought within

reach of my hand, as it were. And then I made a brusque

movement, and one of the remaining posts of that vanished fence

leaped up in the field of my glass. You remember I told you I had

been struck at the distance by certain attempts at ornamentation,

rather remarkable in the ruinous aspect of the place. Now I had

suddenly a nearer view, and its first result was to make me throw

my head back as if before a blow. Then I went carefully from post

to post with my glass, and I saw my mistake. These round knobs

were not ornamental but symbolic; they were expressive and

puzzling, striking and disturbing—food for thought and also for the

vultures if there had been any looking down from the sky; but at

all events for such ants as were industrious enough to ascend the

pole. They would have been even more impressive, those heads

on the stakes, if their faces had not been turned to the house. Only

one, the first I had made out, was facing my way. I was not so

shocked as you may think. The start back I had given was really

nothing but a movement of surprise. I had expected to see a knob

of wood there, you know. I returned deliberately to the first I had

seen—and there it was, black, dried, sunken, with closed eyelids,—a

head that seemed to sleep at the top of that pole, and, with the

shrunken dry lips showing a narrow white line of the teeth, was

smiling too, smiling continuously at some endless and jocose

dream of that eternal slumber.

“I am not disclosing any trade secrets. In fact the manager said

afterwards that Mr. Kurtz’s methods had ruined the district. I have

no opinion on that point, but I want you clearly to understand that

there was nothing exactly profitable in these heads being there.

They only showed that Mr. Kurtz lacked restraint in the

gratification of his various lusts, that there was something wanting

in him—some small matter which, when the pressing need arose,

could not be found under his magnificent eloquence. Whether he

knew of this deficiency himself I can’t say. I think the knowledge

came to him at last—only at the very last. But the wilderness had

found him out early, and had taken on him a terrible vengeance

for the fantastic invasion. I think it had whispered to him things

about himself which he did not know, things of which he had no

conception till he took counsel with this great solitude—and the

whisper had proved irresistibly fascinating. It echoed loudly within

him because he was hollow at the core. . . . I put down the glass,

and the head that had appeared near enough to be spoken to

seemed at once to have leaped away from me into inaccessible

distance.

“The admirer of Mr. Kurtz was a bit crestfallen. In a hurried,

indistinct voice he began to assure me he had not dared to take

these—say, symbols—down. He was not afraid of the natives; they

would not stir till Mr. Kurtz gave the word. His ascendency was

extraordinary. The camps of these people surrounded the place,

and the chiefs came every day to see him. They would crawl. . . . ‘I

don’t want to know anything of the ceremonies used when

approaching Mr. Kurtz,’ I shouted. Curious, this feeling that came

over me that such details would be more intolerable than those

heads drying on the stakes under Mr. Kurtz’s windows. After all,

that was only a savage sight, while I seemed at one bound to have

been transported into some lightless region of subtle horrors,

where pure, uncomplicated savagery was a positive relief, being

something that had a right to exist—obviously—in the sunshine.

The young man looked at me with surprise. I suppose it did not

occur to him Mr. Kurtz was no idol of mine. He forgot I hadn’t

heard any of these splendid monologues on, what was it? on love,

justice, conduct of life—or what not. If it had come to crawling

before Mr. Kurtz, he crawled as much as the veriest savage of

them all. I had no idea of the conditions, he said: these heads

were the heads of rebels. I shocked him excessively by laughing.

Rebels! What would be the next definition I was to hear? There

had been enemies, criminals, workers—and these were rebels.

Those rebellious heads looked very subdued to me on their sticks.

‘You don’t know how such a life tries a man like Kurtz,’ cried

Kurtz’s last disciple. ‘Well, and you?’ I said. ‘I! I! I am a simple

man. I have no great thoughts. I want nothing from anybody. How

can you compare me to . . . ?’ His feelings were too much for

speech, and suddenly he broke down. ‘I don’t understand,’ he

groaned. ‘I’ve been doing my best to keep him alive, and that’s

enough. I had no hand in all this. I have no abilities. There hasn’t

been a drop of medicine or a mouthful of invalid food for months

here. He was shamefully abandoned. A man like this, with such

ideas. Shamefully! Shamefully! I—I—haven’t slept for the last ten

nights. . . .’

“His voice lost itself in the calm of the evening. The long

shadows of the forest had slipped down hill while we talked, had

gone far beyond the ruined hovel, beyond the symbolic row of

stakes. All this was in the gloom, while we down there were yet in

the sunshine, and the stretch of the river abreast of the clearing

glittered in a still and dazzling splendor, with a murky and over-

shadowed bend above and below. Not a living soul was seen on

the shore. The bushes did not rustle.

“Suddenly round the corner of the house a group of men

appeared, as though they had come up from the ground. They

waded waist-deep in the grass, in a compact body, bearing an

improvised stretcher in their midst. Instantly, in the emptiness of

the landscape, a cry arose whose shrillness pierced the still air like

a sharp arrow flying straight to the very heart of the land; and, as if

by enchantment, streams of human beings—of naked human

beings—with spears in their hands, with bows, with shields, with

wild glances and savage movements, were poured into the clearing

by the dark-faced and pensive forest. The bushes shook, the grass

swayed for a time, and then everything stood still in attentive

immobility.

“‘Now, if he does not say the right thing to them we are all

done for,’ said the Russian at my elbow. The knot of men with the

stretcher had stopped too, half-way to the steamer, as if petrified. I

saw the man on the stretcher sit up, lank and with an uplifted arm,

above the shoulders of the bearers. ‘Let us hope that the man who

can talk so well of love in general will find some particular reason

to spare us this time,’ I said. I resented bitterly the absurd danger

of our situation, as if to be at the mercy of that atrocious phantom

had been a dishonoring necessity. I could not hear a sound, but

through my glasses I saw the thin arm extended commandingly,

the lower jaw moving, the eyes of that apparition shining darkly far

in its bony head that nodded with grotesque jerks. Kurtz—Kurtz—

that means short in German—don’t it? Well, the name was as true

as everything else in his life—and death. He looked at least seven

feet long. His covering had fallen off, and his body emerged from

it pitiful and appalling as from a winding-sheet. I could see the

cage of his ribs all astir, the bones of his arm waving. It was as

though an animated image of death carved out of old ivory had

been shaking its hand with menaces at a motionless crowd of men

made of dark and glittering bronze. I saw him open his mouth

wide—it gave him a weirdly voracious aspect, as though he had

wanted to swallow all the air, all the earth, all the men before him.

A deep voice reached me faintly. He must have been shouting. He

fell back suddenly. The stretcher shook as the bearers staggered

forward again, and almost at the same time I noticed that the

crowd of savages was vanishing without any perceptible movement

of retreat, as if the forest that had ejected these beings so suddenly

had drawn them in again as the breath is drawn in a long

aspiration.

“Some of the pilgrims behind the stretcher carried his arms—

two shot-guns, a heavy rifle, and a light revolver-carbine—the

thunderbolts of that pitiful Jupiter. The manager bent over him

murmuring as he walked beside his head. They laid him down in

one of the little cabins—just a room for a bed-place and a camp-

stool or two, you know. We had brought his belated

correspondence, and a lot of torn envelopes and open letters

littered his bed. His hand roamed feebly amongst these papers. I

was struck by the fire of his eyes and the composed languor of his

expression. It was not so much the exhaustion of disease. He did

not seem in pain. This shadow looked satiated and calm, as

though for the moment it had had its fill of all the emotions.

“He rustled one of the letters, and looking straight in my face

said, ‘I am glad.’ Somebody had been writing to him about me.

These special recommendations were turning up again. The

volume of tone he emitted without effort, almost without the

trouble of moving his lips, amazed me. A voice! a voice! It was

grave, profound, vibrating, while the man did not seem capable of

a whisper. However, he had enough strength in him—factitious no

doubt—to very nearly make an end of us, as you shall hear directly.

“The manager appeared silently in the doorway; I stepped out

at once and he drew the curtain after me. The Russian, eyed

curiously by the pilgrims, was staring at the shore. I followed the

direction of his glance.

“Dark human shapes could be made out in the distance,

flitting indistinctly against the gloomy border of the forest, and

near the river two bronze figures, leaning on tall spears, stood in

the sunlight under fantastic headdresses of spotted skins, warlike

and still in statuesque repose. And from right to left along the

lighted shore moved a wild and gorgeous apparition of a woman.

“She walked with measured steps, draped in striped and

fringed cloths, treading the earth proudly, with a slight jingle and

flash of barbarous ornaments. She carried her head high; her hair

was done in the shape of a helmet; she had brass leggings to the

knee, brass wire gauntlets to the elbow, a crimson spot on her

tawny cheek, innumerable necklaces of glass beads on her neck;

bizarre things, charms, gifts of witch-men, that hung about her,

glittered and trembled at every step. She must have had the value

of several elephant tusks upon her. She was savage and superb,

wild-eyed and magnificent; there was something ominous and

stately in her deliberate progress. And in the hush that had fallen

suddenly upon the whole sorrowful land, the immense wilderness,

the colossal body of the fecund and mysterious life seemed to

look at her, pensive, as though it had been looking at the image of

its own tenebrous and passionate soul.

“She came abreast of the steamer, stood still, and faced us.

Her long shadow fell to the water’s edge. Her face had a tragic and

fierce aspect of wild sorrow and of dumb pain mingled with the

fear of some struggling, half-shaped resolve. She stood looking at

us without a stir and like the wilderness itself, with an air of brood-

ing over an inscrutable purpose. A whole minute passed, and then

she made a step forward. There was a low jingle, a glint of yellow

metal, a sway of fringed draperies, and she stopped as if her heart

had failed her. The young fellow by my side growled. The pilgrims

murmured at my back. She looked at us all as if her life had

depended upon the unswerving steadiness of her glance. Suddenly

she opened her bared arms and threw them up rigid above her

head, as though in an uncontrollable desire to touch the sky, and

at the same time the swift shadows darted out on the earth, swept

around on the river, gathering the steamer into a shadowy em-

brace. A formidable silence hung over the scene.

“She turned away slowly, walked on, following the bank, and

passed into the bushes to the left. Once only her eyes gleamed

back at us in the dusk of the thickets before she disappeared.

“‘If she had offered to come aboard I really think I Would

have tried to shoot her,’ said the man of patches, nervously. ‘I had

been risking my life every day for the last fortnight to keep her out

of the house. She got in one day and kicked up a row about those

miserable rags I picked up in the storeroom to mend my clothes

with. I wasn’t decent. At least it must have been that, for she talked

like a fury to Kurtz for an hour, pointing at me now and then. I

don’t understand the dialect of this tribe. Luckily for me, I fancy

Kurtz felt too ill that day to care, or there would have been mis-

chief. I don’t understand. . . . No—it’s too much for me. Ah, well,

it’s all over now.’

“At this moment I heard Kurtz’s deep voice behind the

curtain, ‘Save me!—save the ivory, you mean. Don’t tell me. Save

me! Why, I’ve had to save you. You are interrupting my plans

now. Sick! Sick! Not so sick as you would like to believe. Never

mind. I’ll carry my ideas out yet—I will return. I’ll show you what

can be done. You with your little peddling notions—you are

interfering with me. I will return. I. . . .’

“The manager came out. He did me the honor to take me

under the arm and lead me aside. ‘He is very low, very low,’ he

said. He considered it necessary to sigh, but neglected to be

consistently sorrowful. ‘We have done all we could for him—

haven’t we? But there is no disguising the fact, Mr. Kurtz has done

more harm than good to the Company. He did not see the time

was not ripe for vigorous action. Cautiously, cautiously—that’s my

principle. We must be cautious yet. The district is closed to us for

a time. Deplorable! Upon the whole, the trade will suffer. I don’t

deny there is a remarkable quantity of ivory—mostly fossil. We

must save it, at all events—but look how precarious the position is—

and why? Because the method is unsound.’ ‘Do you,’ said I,

looking at the shore, ‘call it “unsound method”?’ ‘Without doubt,’

he exclaimed, hotly. ‘Don’t you?’ . . . ‘No method at all,’ I

murmured after a while. ‘Exactly’ he exulted. ‘I anticipated this.

Shows a complete want of judgment. It is my duty to point it out in

the proper quarter.’ ‘Oh,’ said I, ‘that fellow—what’s his name?—

the brickmaker, will make a readable report for you.’ He

appeared confounded for a moment. It seemed to me I had never

breathed an atmosphere so vile, and I turned mentally to Kurtz

for relief—positively for relief. ‘Nevertheless I think Mr. Kurtz is a

remarkable man,’ I said with emphasis. He started, dropped on

me a cold heavy glance, said very quietly, ‘He was,’and turned his back on me. My hour of favor was over; I found myself lumped

along with Kurtz as a partisan of methods for which the time was

not ripe: I was unsound! Ah! but it was something to have at least a

choice of nightmares.

“I had turned to the wilderness really, not to Mr. Kurtz, who, I

was ready to admit, was as good as buried. And for a moment it

seemed to me as if I also were buried in a vast grave full of

unspeakable secrets. I felt an intolerable weight oppressing my

breast, the smell of the damp earth, the unseen presence of

victorious corruption, the darkness of an impenetrable night. . . .

The Russian tapped me on the shoulder. I heard him mumbling

and stammering something about ‘brother seaman—couldn’t

conceal—knowledge of matters that would affect Mr. Kurtz’s

reputation.’ I waited. For him evidently Mr. Kurtz was not in his

grave; I suspect that for him Mr. Kurtz was one of the immortals.

‘Well!’ said I at last, ‘speak out. As it happens, I am Mr. Kurtz’s

friend—in a way.’

“He stated with a good deal of formality that had we not been

‘of the same profession,’ he would have kept the matter to himself

without regard to consequences. ‘He suspected there was an active

ill-will towards him on the part of these white men that—’ ‘You are

right,’ I said, remembering a certain conversation I had overheard.

‘The manager thinks you ought to be hanged.’ He showed a

concern at this intelligence which amused me at first. ‘I had better

get out of the way quietly,’ he said, earnestly. ‘I can do no more

for Kurtz now, and they would soon find some excuse. What’s to

stop them? There’s a military post three hundred miles from

here.’ ‘Well, upon my word,’ said I, ‘perhaps you had better go if

you have any friends amongst the savages near by.’ ‘Plenty,’ he

said. ‘They are simple people—and I want nothing, you know.’ He

stood biting his lip, then: ‘I don’t want any harm to happen to

these whites here, but of course I was thinking of Mr. Kurtz’s

reputation—but you are a brother seaman and—’ ‘All right,’ said I,

after a time. ‘Mr. Kurtz’s reputation is safe with me.’ I did not

know how truly I spoke.

“He informed me, lowering his voice, that it was Kurtz who

had ordered the attack to be made on the steamer. ‘He hated

sometimes the idea of being taken away—and then again. . . . But I

don’t understand these matters. I am a simple man. He thought it

would scare you away—that you would give it up, thinking him

dead. I could not stop him. Oh, I had an awful time of it this last

month.’ ‘Very well,’ I said. ‘He is all right now.’ ‘Ye-e-es,’ he

muttered, not very convinced apparently. ‘Thanks,’ said I; ‘I shall

keep my eyes open.’ ‘But quiet—eh?’ he urged, anxiously. ‘It

would be awful for his reputation if anybody here—’ I promised a

complete discretion with great gravity. ‘I have a canoe and three

black fellows waiting not very far. I am off. Could you give me a

few Martini-Henry cartridges?’ I could, and did, with proper

secrecy. He helped himself, with a wink at me, to a handful of my

tobacco. ‘Between sailors—you know—good English tobacco.’ At

the door of the pilot-house he turned round—‘I say, haven’t you a

pair of shoes you could spare?’ He raised one leg. ‘Look.’ The

soles were tied with knotted strings sandal-wise under his bare feet.

I rooted out an old pair, at which he looked with admiration be-

fore tucking it under his left arm. One of his pockets (bright red)

was bulging with cartridges, from the other (dark blue) peeped

‘Towson’s Inquiry,’ &c., &c. He seemed to think himself

excellently well equipped for a renewed encounter with the

wilderness. ‘Ah! I’ll never, never meet such a man again. You

ought to have heard him recite poetry—his own too it was, he told

me. Poetry!’ He rolled his eyes at the recollection of these

delights. ‘Oh, he enlarged my mind!’ ‘Good-by,’ said I. He shook

hands and vanished in the night. Sometimes I ask myself whether

I had ever really seen him—whether it was possible to meet such a

phenomenon! . . .

“When I woke up shortly after midnight his warning came to

my mind with its hint of danger that seemed, in the starred

darkness, real enough to make me get up for the purpose of

having a look round. On the hill a big fire burned, illuminating

fitfully a crooked corner of the station-house. One of the agents

with a picket of a few of our blacks, armed for the purpose, was

keeping guard over the ivory; but deep within the forest, red

gleams that wavered, that seemed to sink and rise from the ground

amongst confused columnar shapes of intense blackness, showed

the exact position of the camp where Mr. Kurtz’s adorers were

keeping their uneasy vigil. The monotonous beating of a big drum

filled the air with muffled shocks and a lingering vibration. A

steady droning sound of many men chanting each to himself some

weird incantation came out from the black, flat wall of the woods

as the humming of bees comes out of a hive, and had a strange

narcotic effect upon my half-awake senses. I believe I dozed off

leaning over the rail, till an abrupt burst of yells, an overwhelming

outbreak of a pent-up and mysterious frenzy, woke me up in a

bewildered wonder. It was cut short all at once, and the low

droning went on with an effect of audible and soothing silence. I

glanced casually into the little cabin. A light was burning within,

but Mr. Kurtz was not there.

“I think I would have raised an outcry if I had believed my

eyes. But I didn’t believe them at first—the thing seemed so

impossible. The fact is I was completely unnerved by a sheer

blank fright, pure abstract terror, unconnected with any distinct

shape of physical danger. What made this emotion so

overpowering was—how shall I define it?—the moral shock I

received, as if something altogether monstrous, intolerable to

thought and odious to the soul, had been thrust upon me

unexpectedly. This lasted of course the merest fraction of a

second, and then the usual sense of commonplace, deadly danger,

the possibility of a sudden onslaught and massacre, or something

of the kind, which I saw impending, was positively welcome and

composing. It pacified me, in fact, so much, that I did not raise an

alarm.

“There was an agent buttoned up inside an ulster and sleeping

on a chair on deck within three feet of me. The yells had not

awakened him; he snored very slightly; I left him to his slumbers

and leaped ashore. I did not betray Mr. Kurtz—it was ordered I

should never betray him—it was written I should be loyal to the

nightmare of my choice. I was anxious to deal with this shadow by

myself alone,—and to this day I don’t know why I was so jealous of

sharing with anyone the peculiar blackness of that experience.

“As soon as I got on the bank I saw a trail—a broad trail

through the grass. I remember the exultation with which I said to

myself, ‘He can’t walk—he is crawling on all-fours—I’ve got him.’

The grass was wet with dew. I strode rapidly with clenched fists. I

fancy I had some vague notion of falling upon him and giving him

a drubbing. I don’t know. I had some imbecile thoughts. The

knitting old woman with the cat obtruded herself upon my

memory as a most improper person to be sitting at the other end

of such an affair. I saw a row of pilgrims squirting lead in the air

out of Winchesters held to the hip. I thought I would never get

back to the steamer, and imagined myself living alone and

unarmed in the woods to an advanced age. Such silly things—you

know. And I remember I confounded the beat of the drum with

the beating of my heart, and was pleased at its calm regularity.

“I kept to the track though—then stopped to listen. The night

was very clear: a dark blue space, sparkling with dew and starlight,

in which black things stood very still. I thought I could see a kind

of motion ahead of me. I was strangely cocksure of everything that

night. I actually left the track and ran in a wide semicircle (I verily

believe chuckling to myself) so as to get in front of that stir, of that

motion I had seen—if indeed I had seen anything. I was

circumventing Kurtz as though it had been a boyish game.

“I came upon him, and, if he had not heard me coming, I

would have fallen over him too, but he got up in time. He rose,

unsteady, long, pale, indistinct, like a vapor exhaled by the earth,

and swayed slightly, misty and silent before me; while at my back

the fires loomed between the trees, and the murmur of many

voices issued from the forest. I had cut him off cleverly; but when

actually confronting him I seemed to come to my senses, I saw the

danger in its right proportion. It was by no means over yet.

Suppose he began to shout? Though he could hardly stand, there

was still plenty of vigor in his voice. ‘Go away—hide yourself,’ he

said, in that profound tone. It was very awful. I glanced back. We

were within thirty yards from the nearest fire. A black figure stood

up, strode on long black legs, waving long black arms, across the

glow. It had horns—antelope horns, I think—on its head. Some

sorcerer, some witch-man, no doubt: it looked fiend-like enough.

‘Do you know what you are doing?’ I whispered. ‘Perfectly,’ he

answered, raising his voice for that single word: it sounded to me

far off and yet loud, like a hail through a speaking-trumpet. If he

makes a row we are lost, I thought to myself. This clearly was not a

case for fisticuffs, even apart from the very natural aversion I had

to beat that Shadow—this wandering and tormented thing. ‘You

will be lost,’ I said—‘utterly lost.’ One gets sometimes such a flash

of inspiration, you know. I did say the right thing, though indeed

he could not have been more irretrievably lost than he was at this

very moment, when the foundations of our intimacy were being

laid—to endure—to endure—even to the end—even beyond.

“‘I had immense plans,’ he muttered irresolutely. ‘Yes,’ said I;

‘but if you try to shout I’ll smash your head with—’ there was not a

stick or a stone near. ‘I will throttle you for good,’ I corrected

myself. ‘I was on the threshold of great things,’ he pleaded, in a

voice of longing, with a wistfulness of tone that made my blood

run cold. ‘And now for this stupid scoundrel—’ ‘Your success in

Europe is assured in any case,’ I affirmed, steadily. I did not want

to have the throttling of him, you understand—and indeed it would

have been very little use for any practical purpose. I tried to break

the spell—the heavy, mute spell of the wilderness—that seemed to

draw him to its pitiless breast by the awakening of forgotten and

brutal instincts, by the memory of gratified and monstrous

passions. This alone, I was convinced, had driven him out to the

edge of the forest, to the bush, towards the gleam of fires, the

throb of drums, the drone of weird incantations; this alone had

beguiled his unlawful soul beyond the bounds of permitted

aspirations. And, don’t you see, the terror of the position was not

in being knocked on the head—though I had a very lively sense of

that danger too—but in this, that I had to deal with a being to

whom I could not appeal in the name of anything high or low. I

had, even like the niggers, to invoke him—himself—his own exalted

and incredible degradation. There was nothing either above or

below him, and I knew it. He had kicked himself loose of the

earth. Confound the man! he had kicked the very earth to pieces.

He was alone, and I before him did not know whether I stood on

the ground or floated in the air. I’ve been telling you what we

said—repeating the phrases we pronounced,—but what’s the good?

They were common everyday words,—the familiar, vague sounds

exchanged on every waking day of life. But what of that? They had

behind them, to my mind, the terrific suggestiveness of words

heard in dreams, of phrases spoken in nightmares. Soul! If

anybody had ever struggled with a soul, I am the man. And I

wasn’t arguing with a lunatic either. Believe me or not, his

intelligence was perfectly clear—concentrated, it is true, upon

himself with horrible intensity, yet clear; and therein was my only

chance—barring, of course, the killing him there and then, which

wasn’t so good, on account of unavoidable noise. But his soul was

mad. Being alone in the wilderness, it had looked within itself,

and, by heavens! I tell; you, it had gone mad. I had—for my sins, I

suppose—to go through the ordeal of looking into it myself. No

eloquence could have been so withering to one’s belief in

mankind as his final burst of sincerity. He struggled with himself,

too. I saw it,—I heard it. I saw the inconceivable mystery of a soul

that knew no restraint, no faith, and no fear, yet struggling blindly

with itself. I kept my head pretty well; but when I had him at last

stretched on the couch, I wiped my forehead, while my legs shook

under me as though I had carried half a ton on my back down that

hill. And yet I had only supported him, his bony arm clasped

round my neck—and he was not much heavier than a child.

“When next day we left at noon, the crowd, of whose presence

behind the curtain of trees I had been acutely conscious all the

time, flowed out of the woods again, filled the clearing, covered

the slope with a mass of naked, breathing, quivering, bronze

bodies. I steamed up a bit, then swung down-stream, and two

thousand eyes followed the evolutions of the splashing, thumping,

fierce river-demon beating the water with its terrible tail and

breathing black smoke into the air. In front of the first rank, along

the river, three men, plastered with bright red earth from head to

foot, strutted to and fro restlessly. When we came abreast again,

they faced the river, stamped their feet, nodded their horned

heads, swayed their scarlet bodies; they shook towards the fierce

river-demon a bunch of black feathers, a mangy skin with a

pendent tail—something that looked like a dried gourd; they

shouted periodically together strings of amazing words that

resembled no sounds of human language; and the deep murmurs

of the crowd, interrupted suddenly, were like the response of

some satanic litany.

“We had carried Kurtz into the pilot-house: there was more

air there. Lying on the couch, he stared through the open shutter.

There was an eddy in the mass of human bodies, and the woman

with helmeted head and tawny cheeks rushed out to the very brink

of the stream. She put out her hands, shouted something, and all

that wild mob took up the shout in a roaring chorus of articulated,

rapid, breathless utterance.

“‘Do you understand this?’ I asked.

“He kept on looking out past me with fiery, longing eyes, with

a mingled expression of wistfulness and hate. He made no answer,

but I saw a smile, a smile of indefinable meaning, appear on his

colorless lips that a moment after twitched convulsively. ‘Do I

not?’ he said slowly, gasping, as if the words had been torn out of

him by a supernatural power.

“I pulled the string of the whistle, and I did this because I saw

the pilgrims on deck getting out their rifles with an air of

anticipating a jolly lark. At the sudden screech there was a

movement of abject terror through that wedged mass of bodies.

‘Don’t! don’t! you frighten them away,’ cried someone on deck

disconsolately. I pulled the string time after time. They broke and

ran, they leaped, they crouched, they swerved, they dodged the

flying terror of the sound. The three red chaps had fallen flat, face

down on the shore, as though they had been shot dead. Only the

barbarous and superb woman did not so much as flinch, and

stretched tragically her bare arms after us over the somber and

glittering river.

“And then that imbecile crowd down on the deck started their

little fun, and I could see nothing more for smoke.

“The brown current ran swiftly out of the heart of darkness,

bearing us down towards the sea with twice the speed of our

upward progress; and Kurtz’s life was running swiftly too, ebbing,

ebbing out of his heart into the sea of inexorable time. The

manager was very placid, he had no vital anxieties now, he took us

both in with a comprehensive and satisfied glance: the ‘affair’ had

come off as well as could be wished. I saw the time approaching

when I would be left alone of the party of ‘unsound method.’ The

pilgrims looked upon me with disfavor. I was, so to speak,

numbered with the dead. It is strange how I accepted this

unforeseen partnership, this choice of nightmares forced upon me

in the tenebrous land invaded by these mean and greedy phan-

toms.

“Kurtz discoursed. A voice! a voice! It rang deep to the very

last. It survived his strength to hide in the magnificent folds of

eloquence the barren darkness of his heart. Oh, he struggled! he

struggled! The wastes of his weary brain were haunted by shadowy

images now—images of wealth and fame revolving obsequiously

round his unextinguishable gift of noble and lofty expression. My

Intended, my station, my career, my ideas—these were the subjects

for the occasional utterances of elevated sentiments. The shade of

the original Kurtz frequented the bedside of the hollow sham,

whose fate it was to be buried presently in the mold of primeval

earth. But both the diabolic love and the unearthly hate of the

mysteries it had penetrated fought for the possession of that soul

satiated with primitive emotions, avid of lying fame, of sham dis-

tinction, of all the appearances of success and power.

“Sometimes he was contemptibly childish. He desired to have

kings meet him at railway-stations on his return from some ghastly

Nowhere, where he intended to accomplish great things. ‘You

show them you have in you something that is really profitable, and

then there will be no limits to the recognition of your ability,’ he

would say. ‘Of course you must take care of the motives—right

motives—always.’ The long reaches that were like one and the

same reach, monotonous bends that were exactly alike, slipped

past the steamer with their multitude of secular trees looking

patiently after this grimy fragment of another world, the

forerunner of change, of conquest, of trade, of massacres, of

blessings. I looked ahead—piloting. ‘Close the shutter,’ said Kurtz

suddenly one day; ‘I can’t bear to look at this.’ I did so. There was

a silence. ‘Oh, but I will wring your heart yet!’ he cried at the

invisible wilderness.

“We broke down—as I had expected—and had to lie up for

repairs at the head of an island. This delay was the first thing that

shook Kurtz’s confidence. One morning he gave me a packet of

papers and a photograph,—the lot tied together with a shoe-string.

‘Keep this for me,’ he said. ‘This noxious fool’ (meaning the

manager) ‘is capable of prying into my boxes when I am not

looking.’ In the afternoon I saw him. He was lying on his back

with closed eyes, and I withdrew quietly, but I heard him mutter,

‘Live rightly, die, die . . . .’ I listened. There was nothing more.

Was he rehearsing some speech in his sleep, or was it a fragment

of a phrase from some newspaper article? He had been writing for

the papers and meant to do so again, ‘for the furthering of my

ideas. It’s a duty.’

“His was an impenetrable darkness. I looked at him as you

peer down at a man who is lying at the bottom of a precipice

where the sun never shines. But I had not much time to give him,

because I was helping the engine-driver to take to pieces the leaky

cylinders, to straighten a bent connecting-rod, and in other such

matters. I lived in an infernal mess of rust, filings, nuts, bolts,

spanners, hammers, ratchet-drills—things I abominate, because I

don’t get on with them. I tended the little forge we fortunately had

aboard; I toiled wearily in a wretched scrap-heap—unless I had the

shakes too bad to stand.

“One evening coming in with a candle I was startled to hear

him say a little tremulously, ‘I am lying here in the dark waiting for

death.’ The light was within a foot of his eyes. I forced myself to

murmur, ‘Oh, nonsense!’ and stood over him as if transfixed.

“Anything approaching the change that came over his features

I have never seen before, and hope never to see again. Oh, I

wasn’t touched. I was fascinated. It was as though a veil had been

rent. I saw on that ivory face the expression of somber pride, of

ruthless power, of craven terror—of an intense and hopeless

despair. Did he live his life again in every detail of desire,

temptation, and surrender during that supreme moment of

complete knowledge? He cried in a whisper at some image, at

some vision,—he cried out twice, a cry that was no more than a

breath—

“‘The horror! The horror!’

“I blew the candle out and left the cabin. The pilgrims were

dining in the mess-room, and I took my place opposite the

manager, who lifted his eyes to give me a questioning glance,

which I successfully ignored. He leaned back, serene, with that

peculiar smile of his sealing the unexpressed depths of his

meanness. A continuous shower of small flies streamed upon the

lamp, upon the cloth, upon our hands and faces. Suddenly the

manager’s boy put his insolent black head in the doorway, and

said in a tone of scathing contempt—

“‘Mistah Kurtz—he dead.’

“All the pilgrims rushed out to see. I remained, and went on

with my dinner. I believe I was considered brutally callous.

However, I did not eat much. There was a lamp in there—light,

don’t you know—and outside it was so beastly, beastly dark. I went

no more near the remarkable man who had pronounced a

judgment upon the adventures of his soul on this earth. The voice

was gone. What else had been there? But I am of course aware

that next day the pilgrims buried something in a muddy hole.

“And then they very nearly buried me.

“However, as you see, I did not go to join Kurtz there and

then. I did not. I remained to dream the nightmare out to the end,

and to show my loyalty to Kurtz once more. Destiny. My destiny!

Droll thing life is—that mysterious arrangement of merciless logic

for a futile purpose. The most you can hope from it is some

knowledge of yourself—that comes too late—a crop of

unextinguishable regrets. I have wrestled with death. It is the most

unexciting contest you can imagine. It takes place in an impalpable

grayness, with nothing underfoot, with nothing around, without

spectators, without clamor, without glory, without the great desire

of victory, without the great fear of defeat, in a sickly atmosphere

of tepid skepticism, without much belief in your own right, and

still less in that of your adversary. If such is the form of ultimate

wisdom, then life is a greater riddle than some of us think it to be.

I was within a hair’s-breadth of the last opportunity for pro-

nouncement, and I found with humiliation that probably I would

have nothing to say. This is the reason why I affirm that Kurtz was

a remarkable man. He had something to say. He said it. Since I

had peeped over the edge myself, I understand better the meaning

of his stare, that could not see the flame of the candle, but was

wide enough to embrace the whole universe, piercing enough to

penetrate all the hearts that beat in the darkness. He had summed

up—he had judged. ‘The horror!’ He was a remarkable man. After

all, this was the expression of some sort of belief; it had candor, it

had conviction, it had a vibrating note of revolt in its whisper, it

had the appalling face of a glimpsed truth—the strange

commingling of desire and hate. And it is not my own extremity I

remember best—a vision of grayness without form filled with

physical pain, and a careless contempt for the evanescence of all

things—even of this pain itself. No! It is his extremity that I seem to

have lived through. True, he had made that last stride, he had

stepped over the edge, while I had been permitted to draw back

my hesitating foot. And perhaps in this is the whole difference;

perhaps all the wisdom, and all truth, and all sincerity, are just

compressed into that inappreciable moment of time in which we

step over the threshold of the invisible. Perhaps! I like to think my

summing-up would not have been a word of careless contempt.

Better his cry—much better. It was an affirmation, a moral victory

paid for by innumerable defeats, by abominable terrors, by

abominable satisfactions. But it was a victory! That is why I have

remained loyal to Kurtz to the last, and even beyond, when a long

time after I heard once more, not his own voice, but the echo of

his magnificent eloquence thrown to me from a soul as

translucently pure as a cliff of crystal.

“No, they did not bury me, though there is a period of time

which I remember mistily, with a shuddering wonder, like a

passage through some inconceivable world that had no hope in it

and no desire. I found myself back in the sepulchral city resenting

the sight of people hurrying through the streets to filch a little

money from each other, to devour their infamous cookery, to gulp

their unwholesome beer, to dream their insignificant and silly

dreams. They trespassed upon my thoughts. They were intruders

whose knowledge of life was to me an irritating pretense, because I

felt so sure they could not possibly know the things I knew. Their

bearing, which was simply the bearing of commonplace

individuals going about their business in the assurance of perfect

safety, was offensive to me like the outrageous flauntings of folly in

the face of a danger it is unable to comprehend. I had no

particular desire to enlighten them, but I had some difficulty in

restraining myself from laughing in their faces, so full of stupid

importance. I dare say I was not very well at that time. I tottered

about the streets—there were various affairs to settle—grinning

bitterly at perfectly respectable persons I admit my behavior was

inexcusable, but then my temperature was seldom normal in these

days. My dear aunt’s endeavors to ‘nurse up my strength’ seemed

altogether beside the mark. It was not my strength that wanted

nursing, it was my imagination that wanted soothing. I kept the

bundle of papers given me by Kurtz, not knowing exactly what to

do with it. His mother had died lately, watched over, as I was told,

by his Intended. A clean-shaved man, with an official manner and

wearing gold-rimmed spectacles, called on me one day and made

inquiries, at first circuitous, afterwards suavely pressing, about what

he was pleased to denominate certain ‘documents.’ I was not

surprised, because I had had two rows with the manager on the

subject out there. I had refused to give up the smallest scrap out of

that package, and I took the same attitude with the spectacled

man. He became darkly menacing at last, and with much heat

argued that the Company had the right to every bit of information

about its ‘territories.’ And, said he, ‘Mr. Kurtz’s knowledge of

unexplored regions must have been necessarily extensive and

peculiar—owing to his great abilities and to the deplorable

circumstances in which he had been placed: therefore—’ I assured

him Mr. Kurtz’s knowledge, however extensive, did not bear upon

the problems of commerce or administration. He invoked then

the name of science. ‘It would be an incalculable loss if,’ &c., &c. I

offered him the report on the ‘Suppression of Savage Customs,’

with the postscriptum torn off. He took it up eagerly, but ended by

sniffing at it with an air of contempt. ‘This is not what we had a

right to expect,’ he remarked. ‘Expect nothing else,’ I said. ‘There

are only private letters.’ He withdrew upon some threat of legal

proceedings, and I saw him no more; but another fellow, calling

himself Kurtz’s cousin, appeared two days later, and was anxious

to hear all the details about his dear relative’s last moments.

Incidentally he gave me to understand that Kurtz had been

essentially a great musician. ‘There was the making of an immense

success,’ said the man, who was an organist, I believe, with lank

gray hair flowing over a greasy coat-collar. I had no reason to

doubt his statement; and to this day I am unable to say what was

Kurtz’s profession, whether he ever had any—which was the

greatest of his talents. I had taken him for a painter who wrote for

the papers, or else for a journalist who could paint—but even the

cousin (who took snuff during the interview) could not tell me

what he had been exactly. He was a universal genius—on that

point I agreed with the old chap, who thereupon blew his nose

noisily into a large cotton handkerchief and withdrew in senile

agitation, bearing off some family letters and memoranda without

importance. Ultimately a journalist anxious to know something of

the fate of his ‘dear colleague’ turned up. This visitor informed me

Kurtz’s proper sphere ought to have been politics ‘on the popular

side.’ He had furry straight eyebrows, bristly hair cropped short,

an eye-glass on a broad ribbon, and, becoming expansive,

confessed his opinion that Kurtz really couldn’t write a bit—‘but

heavens! how that man could talk! He electrified large meetings.

He had faith—don’t you see?—he had the faith. He could get

himself to believe anything—anything. He would have been a

splendid leader of an extreme party.’ ‘What party?’ I asked. ‘Any

party,’ answered the other. ‘He was an—an—extremist.’ Did I not

think so? I assented. Did I know, he asked, with a sudden flash of

curiosity, ‘what it was that had induced him to go out there?’ ‘Yes,’

said I, and forthwith handed him the famous Report for

publication, if he thought fit. He glanced through it hurriedly,

mumbling all the time, judged ‘it would do,’ and took himself off

with this plunder.

“Thus I was left at last with a slim packet of letters and the

girl’s portrait. She struck me as beautiful—I mean she had a

beautiful expression. I know that the sunlight can be made to lie

too, yet one felt that no manipulation of light and pose could have

conveyed the delicate shade of truthfulness upon those features.

She seemed ready to listen without mental reservation, without

suspicion, without a thought for herself. I concluded I would go

and give her back her portrait and those letters myself. Curiosity?

Yes; and also some other feeling perhaps. All that had been

Kurtz’s had passed out of my hands: his soul, his body, his station,

his plans, his ivory, his career. There remained only his memory

and his Intended—and I wanted to give that up too to the past, in a

way,—to surrender personally all that remained of him with me to

that oblivion which is the last word of our common fate. I don’t

defend myself. I had no clear perception of what it was I really

wanted. Perhaps it was an impulse of unconscious loyalty, or the

fulfillment of one of these ironic necessities that lurk in the facts of

human existence. I don’t know. I can’t tell. But I went.

“I thought his memory was like the other memories of the

dead that accumulate in every man’s life,—a vague impress on the

brain of shadows that had fallen on it in their swift and final

passage; but before the high and ponderous door, between the tall

houses of a street as still and decorous as a well-kept alley in a

cemetery, I had a vision of him on the stretcher, opening his

mouth voraciously, as if to devour all the earth with all its

mankind. He lived then before me; he lived as much as he had

ever lived—a shadow insatiable of splendid appearances, of

frightful realities; a shadow darker than the shadow of the night,

and draped nobly in the folds of a gorgeous eloquence. The vision

seemed to enter the house with me—the stretcher, the phantom-

bearers, the wild crowd of obedient worshipers, the gloom of the

forests, the glitter of the reach between the murky bends the beat

of the drum, regular and muffled like the beating of a heart—the

heart of a conquering darkness. It was a moment of triumph for

the wilderness, an invading and vengeful rush which, it seemed to

me, I would have to keep back alone for the salvation of another

soul. And the memory of what I had heard him say afar there,

with the horned shapes stirring at my back, in the glow of fires,

within the patient woods, those broken phrases came back to me,

were heard again in their ominous and terrifying simplicity. I

remembered his abject pleading, his abject threats, the colossal

scale of his vile desires, the meanness, the torment, the tem-

pestuous anguish of his soul. And later on I seemed to see his

collected languid manner, when he said one day,

‘This lot of ivory now is really mine. The Company did not

pay for it. I collected it myself at a very great personal risk. I am

afraid they will try to claim it as theirs though. H’m. It is a difficult

case. What do you think I ought to do—resist? Eh? I want no

more than justice.’ . . . He wanted no more than justice—no more

than justice. I rang the bell before a mahogany door on the first

floor, and while I waited he seemed to stare at me out of the glassy

panel—stare with that wide and immense stare embracing,

condemning, loathing all the universe. I seemed to hear the

whispered cry, ‘The horror! The horror!’

“The dusk was falling. I had to wait in a lofty drawing-room

with three long windows from floor to ceiling that were like three

luminous and bedraped columns. The bent gilt legs and backs of

the furniture shone in indistinct curves. The tall marble fireplace

had a cold and monumental whiteness. A grand piano stood mas-

sively in a corner, with dark gleams on the flat surfaces like a

somber and polished sarcophagus. A high door opened—closed. I

rose.

“She came forward, all in black, with a pale head, floating

towards me in the dusk. She was in mourning. It was more than a

year since his death, more than a year since the news came; she

seemed as though she would remember and mourn for ever. She

took both my hands in hers and murmured, ‘I had heard you

were coming.’ I noticed she was not very young—I mean not

girlish. She had a mature capacity for fidelity, for belief, for

suffering. The room seemed to have grown darker, as if all the sad

light of the cloudy evening had taken refuge on her forehead. This

fair hair, this pale visage, this pure brow, seemed surrounded by

an ashy halo from which the dark eyes looked out at me. Their

glance was guileless, profound, confident, and trustful. She carried

her sorrowful head as though she were proud of that sorrow, as

though she would say, I—I alone know how to mourn for him as

he deserves. But while we were still shaking hands, such a look of

awful desolation came upon her face that I perceived she was one

of those creatures that are not the playthings of Time. For her he

had died only yesterday. And, by Jove! the impression was so

powerful that for me too he seemed to have died only yesterday—

nay, this very minute. I saw her and him in the same instant of

time—his death and her sorrow—I saw her sorrow in the very

moment of his death. Do you understand? I saw them together—I

heard them together. She had said, with a deep catch of the

breath, ‘I have survived;’ while my strained ears seemed to hear

distinctly, mingled with her tone of despairing regret, the

summing-up whisper of his eternal condemnation. I asked myself

what I was doing there, with a sensation of panic in my heart as

though I had blundered into a place of cruel and absurd mysteries

not fit for a human being to behold. She motioned me to a chair.

We sat down. I laid the packet gently on the little table, and she

put her hand over it. . . . ‘You knew him well,’ she murmured,

after a moment of mourning silence.

“‘Intimacy grows quick out there,’ I said. ‘I knew him as well

as it is possible for one man to know another.’

“‘And you admired him,’ she said. ‘It was impossible to know

him and not to admire him. Was it?’

“‘He was a remarkable man,’ I said, unsteadily. Then before

the appealing fixity of her gaze, that seemed to watch for more

words on my lips, I went on, ‘It was impossible not to—’

“‘Love him,’ she finished eagerly, silencing me into an

appalled dumbness. ‘How true! how true! But when you think that

no one knew him so well as I! I had all his noble confidence. I

knew him best.’

“‘You knew him best,’ I repeated. And perhaps she did. But

with every word spoken the room was growing darker, and only

her forehead, smooth and white, remained illumined by the

unextinguishable light of belief and love.

“‘You were his friend,’ she went on. ‘His friend,’ she repeated,

a little louder. ‘You must have been, if he had given you this, and

sent you to me. I feel I can speak to you—and oh! I must speak. I

want you—you who have heard his last words—to know I have

been worthy of him. . . . It is not pride. . . . Yes! I am proud to

know I understood him better than anyone on earth—he told me

so himself. And since his mother died I have had no one—no

one—to—to—’

“I listened. The darkness deepened. I was not even sure

whether he had given me the right bundle. I rather suspect he

wanted me to take care of another batch of his papers which, after

his death, I saw the manager examining under the lamp. And the

girl talked, easing her pain in the certitude of my sympathy; she

talked as thirsty men drink. I had heard that her engagement with

Kurtz had been disapproved by her people. He wasn’t rich

enough or something. And indeed I don’t know whether he had

not been a pauper all his life. He had given me some reason to

infer that it was his impatience of comparative poverty that drove

him out there.

“‘. . . Who was not his friend who had heard him speak once?’

she was saying. ‘He drew men towards him by what was best in

them.’ She looked at me with intensity. ‘It is the gift of the great,’

she went on, and the sound of her low voice seemed to have the

accompaniment of all the other sounds, full of mystery,

desolation, and sorrow, I had ever heard—the ripple of the river,

the soughing of the trees swayed by the wind, the murmurs of wild

crowds, the faint ring of incomprehensible words cried from afar,

the whisper of a voice speaking from beyond the threshold of an

eternal darkness. ‘But you have heard him! You know!’ she cried.

“‘Yes, I know,’ I said with something like despair in my heart,

but bowing my head before the faith that was in her, before that

great and saving illusion that shone with an unearthly glow in the

darkness, in the triumphant darkness from which I could not have

defended her—from which I could not even defend myself.

“‘What a loss to me—to us!’—she corrected herself with

beautiful generosity; then added in a murmur, ‘To the world.’ By

the last gleams of twilight I could see the glitter of her eyes, full of

tears—of tears that would not fall.

“‘I have been very happy—very fortunate—very proud,’ she

went on. ‘Too fortunate. Too happy for a little while. And now I

am unhappy for—for life.’

“She stood up; her fair hair seemed to catch all the remaining

light in a glimmer of gold. I rose too.

“‘And of all this,’ she went on, mournfully, ‘of all his promise,

and of all his greatness, of his generous mind, of his noble heart,

nothing remains—nothing but a memory. You and I—’

“‘We shall always remember him,’ I said, hastily.

“‘No!’ she cried. ‘It is impossible that all this should be lost—

that such a life should be sacrificed to leave nothing—but sorrow.

You know what vast plans he had. I knew of them too—I could not

perhaps understand,—but others knew of them. Something must

remain. His words, at least, have not died.’

“ ‘His words will remain,’ I said.

“‘And his example,’ she whispered to herself. ‘Men looked up

to him,—his goodness shone in every act. His example—’

“‘True,’ I said; ‘his example too. Yes, his example. I forgot

that.’

“‘But I do not. I cannot—I cannot believe—not yet. I cannot

believe that I shall never see him again, that nobody will see him

again, never, never, never.’

“She put out her arms as if after a retreating figure, stretching

them black and with clasped pale hands across the fading and

narrow sheen of the window. Never see him! I saw him clearly

enough then. I shall see this eloquent phantom as long as I live,

and I shall see her too, a tragic and familiar Shade, resembling in

this gesture another one, tragic also, and bedecked with powerless

charms, stretching bare brown arms over the glitter of the infernal

stream, the stream of darkness. She said suddenly very low, ‘He

died as he lived.’

“‘His end,’ said I, with dull anger stirring in me, ‘was in every

way worthy of his life.’

“‘And I was not with him,’ she murmured. My anger subsided

before a feeling of infinite pity.

“‘Everything that could be done—’ I mumbled.

“‘Ah, but I believed in him more than anyone on earth—more

than his own mother, more than—himself. He needed me! Me! I

would have treasured every sigh, every word, every sign, every

glance.’

“I felt like a chill grip on my chest. ‘Don’t,’ I said, in a muffled

voice.

“‘Forgive me. I—I—have mourned so long in silence—in

silence. . . . You were with him—to the last? I think of his lone-

liness. Nobody near to understand him as I would have

understood. Perhaps no one to hear. . . .’

“‘To the very end,’ I said, shakily. ‘I heard his very last words.

. . .’ I stopped in a fright.

“‘Repeat them,’ she said in a heart-broken tone. ‘I want—I

want—something—something—to—to live with.’

“I was on the point of crying at her, ‘Don’t you hear them?’

The dusk was repeating them in a persistent whisper all around us,

in a whisper that seemed to swell menacingly like the first, whisper

of a rising wind. ‘The horror! the horror!’

“‘His last word—to live with,’ she murmured. ‘Don’t you

understand I loved him—I loved him—I loved him!’

“I pulled myself together and spoke slowly.

“‘The last word he pronounced was—your name.’

“I heard a light sigh, and then my heart stood still, stopped

dead short by an exulting and terrible cry, by the cry of

inconceivable triumph and of unspeakable pain. ‘I knew it—I was

sure!’ . . . She knew. She was sure. I heard her weeping; she had

hidden her face in her hands. It seemed to me that the house

would collapse before I could escape, that the heavens would fall

upon my head. But nothing happened. The heavens do not fall

for such a trifle. Would they have fallen, I wonder, if I had

rendered Kurtz that justice which was his due? Hadn’t he said he

wanted only justice? But I couldn’t. I could not tell her. It would

have been too dark—too dark altogether. . . .”

Marlow ceased, and sat apart, indistinct and silent, in the pose

of a meditating Buddha. Nobody moved for a time. “We have lost

the first of the ebb,” said the Director, suddenly. I raised my head.

The offing was barred by a black bank of clouds, and the tranquil

waterway leading to the uttermost ends of the earth flowed somber

under an overcast sky—seemed to lead into the heart of an

immense darkness.

Biology for the Middle School.pdf

Background: This is a chapter from a 5th grade biology textbook for girls, published in the

midst of the war. The first part of the book discusses genetics, spring, summer, fall, and

winter in the forest, and the human body. The book then goes on to apply these principles to

human beings. Given what we know was going on in 1942, when this book was printed, it is

clear that textbooks, too, were a part of propaganda.

The source: Marie Harm and Hermann Wiehle, Lebenskunde für Mittelschulen. Fünfter Teil.

Klasse 5 für Mädchen (Halle: Hermann Schroedel Verlag, 1942), pp. 168-173.

Biology for the Middle School

For 5th Grade Girls

The Laws of Nature and Humanity

I.

We have established that all creatures, plants as well as animals, are in a constant battle for

survival. Plants crowd into the area they need to grow. Every plant that fails to secure enough

room and light must necessarily die. Every animal that does not secure sufficient territory and

guard it against other predators, or lacks the necessary strength and speed or caution and

cleverness will fall prey to its enemies. The army of plant eaters threatens the plant kingdom.

Plant eaters are prey for carnivores. The battle for existence is hard and unforgiving, but is

the only way to maintain life. This struggle eliminates everything that is unfit for life, and

selects everything that is able to survive.

We have seen that the laws of nature are built on a

struggle for survival. The slow-moving herbivores (e.g.,

cows) have weapons, the speedier ones (e.g., horses or

rabbits) use that speed to escape predators. The rabbit

instinctively conceals the traces that lead to his den. As

a prey, his eyes are to the sides of his head, while a

carnivore’s are to the front. The hedgehog has his

needles, toads and salamanders have poisonous skins.

Predators have keen senses, a powerful spring, sharp

teeth, and claws. If we further consider protective

coloring, camouflage, and other coloring (above all

with young animals), and that each animal has different

gifts in seeing and smelling that are appropriate for its

needs, we can see everywhere that living creatures are

well prepared for the battle for survival. (Compare

offensive and defensive characteristics of the various

animals!) Animals at our latitude have many

characteristics that enable them to survive winter:

storing food, hibernation, migration, winter pelts... The

same is true for plants. Poisons of various types,

irritants, thorns, and needles protect them from herbivores. (Remember the earlier examples!)

Seeds that can survive the winter, roots, storage ability (Examples!), enable plants to survive

the cold months. By ground leaves, growing high, pyramidal structure, leaf mosaics,

climbing, winding, spreading (the dog rose), plants seek the necessary light for their leaves.

All the various habitats are heavily populated; every creature has to fight for its survival and

wants to be a winner in this battle. This is summarized in the principle: Each individual wants

to maintain its existence in the struggle for survival (self preservation instinct, fighting will,

individuality).

Mankind, too, is subject to these natural laws, and has won its dominant position through

struggle. This is obvious when we consider the prehistoric hunting age. People then had both

to secure their own prey, and protect themselves against the larger carnivores. This old form

of the struggle for existence does not, of course, exist in civilized nations any longer. Early

man lived in hordes, we live in an ethnic state. The state takes responsibility for territory and

much, much more. Nonetheless, each must win his place in his community. As Moltke said,

“In the long run, only the hardworking are lucky.” True, the larger carnivores are lacking, but

bacteria and other tiny carriers of disease are no small danger. Consider the enormous

scientific efforts (the struggle for survival!) men have made, and continue to make, to master

these enemies, to defeat diseases! Each of us must keep his body strong through exercise and

healthy living habits in order to develop his capacities and use them to serve his people.

Those who do not do so are unsuitable for the more refined, yet just as relentless, nature of

our struggle for life and will perish. Our Führer tells us:

He who wants to live must fight, and he who does not want to fight in this world of

perpetual struggle does not deserve to live!” (Mein Kampf, p. 317)

II.

All living creatures that succeed in the struggle for survival are not satisfied merely with

existence, but seek to preserve their species as well. Here, too, is a drive that corresponds to

natural law. Without this drive, species would long since have vanished.

The fox builds a den for its helpless young and cares for them. The deer cares for its fawns,

and the bat even carries its young with it through the air. Each spring we watch with

fascination as the birds cleverly build their nests, hatch their eggs, and untiringly feed their

young. Insects place their larvae in certain areas where food is available. Mosquitoes and

dragon flies, for example, put them in water, the cabbage moth in cabbages, stag beetles at

the base of old oaks. We find the care of the young characteristic of all branches of the

animal kingdom (Name all forms of care for offspring with which you are familiar!)

[Here follows a paragraph on insect reproduction]

Maintaining the species also is a struggle. The deer ruts in the fall and offers battle to other

deer in competition for females. The stronger and cleverer deer passes on his inheritance. The

rooster defends his status and his hens courageously. The battle for females selects the fittest.

Later, we will discuss the laws of inheritance.

[There follows two paragraphs on methods of plant reproduction.]

The drive for maintaining the species is stronger than the instinct for self preservation. Plants

sacrifice themselves for their seeds. Most insects die when they have reproduced. The female

rabbit defends her young against hawks, often at the cost of her own life. A fox risks its life

to secure food for its young. The life of the individual can be sacrificed to assure the

continuation of the species. (The law of the species is stronger than that of the individual!)

Among all living creatures, we can see a further natural law: the production of numerous

offspring. Nowhere on earth do we find a form of life that produces only one or two offspring

(corresponding to the number of the parents). That would inevitably lead to extinction. The

elephant has the longest period of procreation, from its 30th to 90th year. It brings about six

offspring into the world. A scientist has calculated that even with this slow rate of

reproduction, in the absence of the struggle for survival elephants would take over the entire

world in a few hundred years. A single pair would produce 19 million descendants in 750

years. The struggle for survival leads most to perish. The blue titmouse has two broods of 10-

13 a year, but their number is not increasing. The more threatened a creature is in the struggle

for survival, the more offspring it must produce. The greater number of offspring is a

necessary means of responding to the hard struggle for survival. Each habitat can disappear

from one day to the next (arrival of a new predator, disappearance of a food source).

A large number of offspring are an important means in the struggle for survival of the

species. The house mouse can resist the field mouse simply through its larger number of

young. In such instances, one can speak of a battle of births.

The second law to which all life is subordinate is: “Each life form strives to ensure the

survival of its species. The number of offspring must be greater than the number of the

parents if the species is to survive (law of the larger number of offspring). Each species

strives to conquer new territory. The species goes before the individual.

History provides us with enough examples to prove that mankind, too, is under this law. In

the midst of their prosperity, the Romans lost the desire to have children. They sinned against

the law of maintaining the species. Their state was undermined and overcome by foreign

peoples in a short time. The ethnic traits of the Romans thus vanished. Our nation, too, once

hung in the balance. National Socialism restored to the German people the will to have

children, and preserved our people from certain decline, which would have been inevitable

under the law of species and the law of the greater number of offspring.

Here, too, we can recall the Führer’s words:

Marriage, too, cannot be an end in itself, but rather it must have the larger goal of

increasing and maintaining the species and the race. That only is its meaning and its

task. (Mein Kampf, p. 275)

The goal of female education must be to prepare them for motherhood. ( Mein Kampf, p.

460)

III.

As we have already noted, people do not live as individuals like animals and plants, but as

peoples, which largely have come together as ethnic states. We know something similar only

with insects. Bees and ants are not only the sum of individuals; each individual shares a

united drive in service of the entire group. They do not have an individual will any longer,

but rather their actions have only the goal of serving the welfare of the whole, the welfare of

the community. The state-building drive in insects has created a higher order from the drives

of the individuals. Their species has become a higher order, one will in many parts. The

individual member of a beehive does a single task: One may be a worker that carries nectar,

another cleans the hive, the third builds on to it, a fourth feeds the larva, a fifth watches the

hive’s entrance. Each individual activity serves the whole. It is the same with ants. Certain

ant species even have a warrior caste that fights in the front lines for the rest; the battle

against the enemies of the state here, too, involves the whole group.

The instinctual state of the ants corresponds to the leadership state among mankind; however,

the principles of a perfect insect state give people cause to think. They have preserved bees

and ants in the struggle for survival and thereby proved their validity. We earlier noted the

following truths about ants:

1. The work of the individual has only one purpose: to serve the whole group. 2. Major accomplishments are possible only by the division of labor. 3. Each bee risks its life without hesitation for the whole. 4. Individuals who are not useful or are harmful to the whole are eliminated. 5. The species is maintained by producing a large number of offspring.

It is not difficult for us to see the application of these principles to mankind: We also can

accomplish great things only by a division of labor. Our whole economy demonstrates this

principle. The ethnic state must demand of each individual citizen that he does everything for

the good of the whole, each in his place and with his abilities (Principle 1).

He who loves his people proves it only by the sacrifices he is prepared to make for it. (Mein Kampf, p. 474).

If a person acts against the general interest, he is an enemy of the people and will be punished

by the law (Principle 4). A look at our history proves that we as a people must defend our

territory to preserve our existence.

The world does not exist for cowardly nations. (Mein Kampf, p. 105)

Military service is the highest form of education for the Fatherland (Principle 3).

The task of the army in the ethnic state is not to train the individual in marching, but to

serve as the highest school for education in service of the Fatherland. (Mein Kampf, p.

459).

The fifth principle has already been discussed.

Each citizen of the nation must be ready to do all for the good of the whole, for the will of the

Führer, even at the cost sacrificing his own life (the national law). The good of the nation

goes before the good of the individual.

These natural laws are incontrovertible; living creatures demonstrate them by their very

survival. They are unforgiving. Those who resist them will be wiped out. Biology not only

tells us about animals and plants, but also shows us the laws we must follow in our lives, and

steels our wills to live and fight according to these laws. The meaning of all life is struggle.

Woe to him who sins against this law:

The person who attempts to fight the iron logic of nature thereby fights the principles

he must thank for his life as a human being. To fight against nature is to bring about

one’s own destruction. (Mein Kampf, p. 314).

Hitler - Race and Nation .pdf

Mein Kampf

Adolf Hitler

Translated into English by James Murphy

Chapter 11

Race And Nation

THERE ARE certain truths which stand out so openly on the roadsides of life, as it were, that every passer-by may see them. Yet, because of their very obviousness, the general run of people disregard such truths or at least they do not make them the object of any conscious knowledge. People are so blind to some of the simplest facts in every- day life that they are highly surprised when somebody calls attention to what everybody ought to know. Examples of The Columbus Egg lie around us in hundreds of thousands; but observers like Columbus are rare.

Walking about in the garden of Nature, most men have the self-conceit to think that they know everything; yet almost all are blind to one of the outstanding principles that Nature employs in her work. This principle may be called the inner isolation which characterizes each and every living species on this earth.

Even a superficial glance is sufficient to show that all the innumerable forms in which the life-urge of Nature manifests itself are subject to a fundamental law--one may call it an iron law of Nature--which compels the various species to keep within the definite limits of their own life-forms when propagating and multiplying their kind. Each animal mates only with one of its own species. The titmouse cohabits only with the titmouse, the finch with the finch, the stork with the stork, the field-mouse with the field-mouse, the house-mouse with the house-mouse, the wolf with the she-wolf, etc.

Deviations from this law take place only in exceptional circumstances. This happens especially under the compulsion of captivity, or when some other obstacle makes procreative intercourse impossible between individuals of the same species. But then Nature abhors such intercourse with all her might; and her protest is most clearly demonstrated by the fact that the hybrid is either sterile or the fecundity of its descendants is limited. In most cases hybrids and their progeny are denied the ordinary powers of resistance to disease or the natural means of defence against outer attack.

Such a dispensation of Nature is quite logical. Every crossing between two breeds which are not quite equal results in a product which holds an intermediate place between the levels of the two parents. This means that the offspring will indeed be superior to the parent which stands in the biologically lower order of being, but not so

high as the higher parent. For this reason it must eventually succumb in any struggle against the higher species. Such mating contradicts the will of Nature towards the selective improvements of life in general. The favourable preliminary to this improvement is not to mate individuals of higher and lower orders of being but rather to allow the complete triumph of the higher order. The stronger must dominate and not mate with the weaker, which would signify the sacrifice of its own higher nature. Only the born weakling can look upon this principle as cruel, and if he does so it is merely because he is of a feebler nature and narrower mind; for if such a law did not direct the process of evolution then the higher development of organic life would not be conceivable at all.

This urge for the maintenance of the unmixed breed, which is a phenomenon that prevails throughout the whole of the natural world, results not only in the sharply defined outward distinction between one species and another but also in the internal similarity of characteristic qualities which are peculiar to each breed or species. The fox remains always a fox, the goose remains a goose, and the tiger will retain the character of a tiger. The only difference that can exist within the species must be in the various degrees of structural strength and active power, in the intelligence, efficiency, endurance, etc., with which the individual specimens are endowed. It would be impossible to find a fox which has a kindly and protective disposition towards geese, just as no cat exists which has a friendly disposition towards mice.

That is why the struggle between the various species does not arise from a feeling of mutual antipathy but rather from hunger and love. In both cases Nature looks on calmly and is even pleased with what happens. The struggle for the daily livelihood leaves behind in the ruck everything that is weak or diseased or wavering; while the fight of the male to possess the female gives to the strongest the right, or at least, the possibility to propagate its kind. And this struggle is a means of furthering the health and powers of resistance in the species. Thus it is one of the causes underlying the process of development towards a higher quality of being.

If the case were different the progressive process would cease, and even retrogression might set in. Since the inferior always outnumber the superior, the former would always increase more rapidly if they possessed the same capacities for survival and for the procreation of their kind; and the final consequence would be that the best in quality would be forced to recede into the background. Therefore a corrective measure in favour of the better quality must intervene. Nature supplies this by establishing rigorous conditions of life to which the weaker will have to submit and will thereby be numerically restricted; but even that portion which survives cannot indiscriminately multiply, for here a new and rigorous selection takes place, according to strength and health.

If Nature does not wish that weaker individuals should mate with the stronger, she wishes even less that a superior race should intermingle with an inferior one; because in such a case all her efforts, throughout hundreds of thousands of years, to establish an evolutionary higher stage of being, may thus be rendered futile.

History furnishes us with innumerable instances that prove this law. It shows, with a startling clarity, that whenever Aryans have mingled their blood with that of an inferior race the result has been the downfall of the people who were the standard-bearers of a higher culture. In North America, where the population is prevalently Teutonic, and where those elements intermingled with the inferior race only to a very small degree, we have a quality of mankind and a civilization which are different from those of Central and South America. In these latter countries the immigrants--who mainly belonged to the Latin races--mated with the aborigines, sometimes to a very large extent indeed. In this case we have a clear and decisive example of the effect produced by the mixture of races. But in North America the Teutonic element, which has kept its racial stock pure and did not mix it with any other racial stock, has come to dominate the American Continent and will remain master of it as long as that element does not fall a victim to the habit of adulterating its blood.

In short, the results of miscegenation are always the following:

(a) The level of the superior race becomes lowered;

(b) physical and mental degeneration sets in, thus leading slowly but steadily towards a progressive drying up of the vital sap.

The act which brings about such a development is a sin against the will of the Eternal Creator. And as a sin this act will be avenged.

Man's effort to build up something that contradicts the iron logic of Nature brings him into conflict with those principles to which he himself exclusively owes his own existence. By acting against the laws of Nature he prepares the way that leads to his ruin.

Here we meet the insolent objection, which is Jewish in its inspiration and is typical of the modern pacifist. It says: "Man can control even Nature."

There are millions who repeat by rote that piece of Jewish babble and end up by imagining that somehow they themselves are the conquerors of Nature. And yet their only weapon is just a mere idea, and a very preposterous idea into the bargain; because if one accepted it, then it would be impossible even to imagine the existence of the world.

The real truth is that, not only has man failed to overcome Nature in any sphere whatsoever but that at best he has merely succeeded in getting hold of and lifting a tiny corner of the enormous veil which she has spread over her eternal mysteries and secret. He never creates anything. All he can do is to discover something. He does not master Nature but has only come to be the master of those living beings who have not gained the knowledge he has arrived at by penetrating into some of Nature's laws and mysteries. Apart from all this, an idea can never subject to its own sway those conditions which are necessary for the existence and development of mankind; for the idea itself has come only from man. Without man there would be no human idea in this world. The idea as such is therefore always dependent on the existence of man and consequently is dependent on those laws which furnish the conditions of his existence.

And not only that. Certain ideas are even confined to certain people. This holds true with regard to those ideas in particular which have not their roots in objective scientific truth but in the world of feeling. In other words, to use a phrase which is current to-day and which well and clearly expresses this truth: THEY REFLECT AN INNER EXPERIENCE. All such ideas, which have nothing to do with cold logic as such but represent mere manifestations of feeling, such as ethical and moral conceptions, etc., are inextricably bound up with man's existence. It is to the creative powers of man's imagination that such ideas owe their existence.

Now, then, a necessary condition for the maintenance of such ideas is the existence of certain races and certain types of men. For example, anyone who sincerely wishes that the pacifist idea should prevail in this world ought to do all he is capable of doing to help the Germans conquer the world; for in case the reverse should happen it may easily be that the last pacifist would disappear with the last German. I say this because, unfortunately, only our people, and no other people in the world, fell a prey to this idea. Whether you like it or not, you would have to make up your mind to forget wars if you would achieve the pacifist ideal. Nothing less than this was the plan of the American world-redeemer, Woodrow Wilson. Anyhow that was what our visionaries believed, and they thought that through his plans their ideals would be attained.

The pacifist-humanitarian idea may indeed become an excellent one when the most superior type of manhood will have succeeded in subjugating the world to such an extent that this type is then sole master of the earth. This idea could have an injurious effect only in the measure according to which its application would become difficult and finally impossible. So, first of all, the fight and then pacifism. If the case were different it would mean that mankind has already passed the zenith of its development, and accordingly the end would not be the supremacy of some moral ideal but degeneration into barbarism and consequent chaos. People may laugh at this statement; but our planet has been moving through the spaces of ether for millions and millions of years, uninhabited by men, and at some future date may easily begin to do so again--if men should forget that wherever they have reached a superior level of existence, it was

not the result of following the ideas of crazy visionaries but by acknowledging and rigorously observing the iron laws of Nature.

All that we admire in the world to-day, its science, its art, its technical developments and discoveries, are the products of the creative activities of a few peoples, and it may be true that their first beginnings must be attributed to one race. The maintenance of civilization is wholly dependent on such peoples. Should they perish, all that makes this earth beautiful will descend with them into the grave.

However great, for example, be the influence which the soil exerts on men, this influence will always vary according to the race in which it produces its effect. Dearth of soil may stimulate one race to the most strenuous efforts and highest achievement; while, for another race, the poverty of the soil may be the cause of misery and finally of undernourishment, with all its consequences. The internal characteristics of a people are always the causes which determine the nature of the effect that outer circumstances have on them. What reduces one race to starvation trains another race to harder work.

All the great civilizations of the past became decadent because the originally creative race died out, as a result of contamination of the blood.

The most profound cause of such a decline is to be found in the fact that the people ignored the principle that all culture depends on men, and not the reverse. In other words, in order to preserve a certain culture, the type of manhood that creates such a culture must be preserved. But such a preservation goes hand-in-hand with the inexorable law that it is the strongest and the best who must triumph and that they have the right to endure.

He who would live must fight. He who does not wish to fight in this world, where permanent struggle is the law of life, has not the right to exist.

Such a saying may sound hard; but, after all, that is how the matter really stands. Yet far harder is the lot of him who believes that he can overcome Nature and thus in reality insults her. Distress, misery, and disease are her rejoinders.

Whoever ignores or despises the laws of race really deprives himself of the happiness to which he believes he can attain. For he places an obstacle in the victorious path of the superior race and, by so doing, he interferes with a prerequisite condition of all human progress. Loaded with the burden of humanitarian sentiment, he falls back to the level of those who are unable to raise themselves in the scale of being.

It would be futile to attempt to discuss the question as to what race or races were the original standard-bearers of human culture and were thereby the real founders of all that we understand by the word humanity. It is much simpler to deal with this question

in so far as it relates to the present time. Here the answer is simple and clear. Every manifestation of human culture, every product of art, science and technical skill, which we see before our eyes to-day, is almost exclusively the product of the Aryan creative power. This very fact fully justifies the conclusion that it was the Aryan alone who founded a superior type of humanity; therefore he represents the architype of what we understand by the term: MAN. He is the Prometheus of mankind, from whose shining brow the divine spark of genius has at all times flashed forth, always kindling anew that fire which, in the form of knowledge, illuminated the dark night by drawing aside the veil of mystery and thus showing man how to rise and become master over all the other beings on the earth. Should he be forced to disappear, a profound darkness will descend on the earth; within a few thousand years human culture will vanish and the world will become a desert.

If we divide mankind into three categories--founders of culture, bearers of culture, and destroyers of culture--the Aryan alone can be considered as representing the first category. It was he who laid the groundwork and erected the walls of every great structure in human culture. Only the shape and colour of such structures are to be attributed to the individual characteristics of the various nations. It is the Aryan who has furnished the great building-stones and plans for the edifices of all human progress; only the way in which these plans have been executed is to be attributed to the qualities of each individual race. Within a few decades the whole of Eastern Asia, for instance, appropriated a culture and called such a culture its own, whereas the basis of that culture was the Greek mind and Teutonic skill as we know it. Only the external form--at least to a certain degree--shows the traits of an Asiatic inspiration. It is not true, as some believe, that Japan adds European technique to a culture of her own. The truth rather is that European science and technics are just decked out with the peculiar characteristics of Japanese civilization. The foundations of actual life in Japan to-day are not those of the native Japanese culture, although this characterizes the external features of the country, which features strike the eye of European observers on account of their fundamental difference from us; but the real foundations of contemporary Japanese life are the enormous scientific and technical achievements of Europe and America, that is to say, of Aryan peoples. Only by adopting these achievements as the foundations of their own progress can the various nations of the Orient take a place in contemporary world progress. The scientific and technical achievements of Europe and America provide the basis on which the struggle for daily livelihood is carried on in the Orient. They provide the necessary arms and instruments for this struggle, and only the outer forms of these instruments have become gradually adapted to Japanese ways of life.

If, from to-day onwards, the Aryan influence on Japan would cease--and if we suppose that Europe and America would collapse--then the present progress of Japan in science and technique might still last for a short duration; but within a few decades the inspiration would dry up, and native Japanese character would triumph, while the present civilization would become fossilized and fall back into the sleep from which it

was aroused about seventy years ago by the impact of Aryan culture. We may therefore draw the conclusion that, just as the present Japanese development has been due to Aryan influence, so in the immemorial past an outside influence and an outside culture brought into existence the Japanese culture of that day. This opinion is very strongly supported by the fact that the ancient civilization of Japan actually became fossilizied and petrified. Such a process of senility can happen only if a people loses the racial cell which originally had been creative or if the outside influence should be withdrawn after having awakened and maintained the first cultural developments in that region. If it be shown that a people owes the fundamental elements of its culture to foreign races, assimilating and elaborating such elements, and if subsequently that culture becomes fossilized whenever the external influence ceases, then such a race may be called the depository but never the creator of a culture.

If we subject the different peoples to a strict test from this standpoint we shall find that scarcely any one of them has originally created a culture, but almost all have been merely the recipients of a culture created elsewhere.

This development may be depicted as always happening somewhat in the following way:

Aryan tribes, often almost ridiculously small in number, subjugated foreign peoples and, stimulated by the conditions of life which their new country offered them (fertility, the nature of the climate, etc.), and profiting also by the abundance of manual labour furnished them by the inferior race, they developed intellectual and organizing faculties which had hitherto been dormant in these conquering tribes. Within the course of a few thousand years, or even centuries, they gave life to cultures whose primitive traits completely corresponded to the character of the founders, though modified by adaptation to the peculiarities of the soil and the characteristics of the subjugated people. But finally the conquering race offended against the principles which they first had observed, namely, the maintenance of their racial stock unmixed, and they began to intermingle with the subjugated people. Thus they put an end to their own separate existence; for the original sin committed in Paradise has always been followed by the expulsion of the guilty parties.

After a thousand years or more the last visible traces of those former masters may then be found in a lighter tint of the skin which the Aryan blood had bequeathed to the subjugated race, and in a fossilized culture of which those Aryans had been the original creators. For just as the blood. of the conqueror, who was a conqueror not only in body but also in spirit, got submerged in the blood of the subject race, so the substance disappeared out of which the torch of human culture and progress was kindled. In so far as the blood of the former ruling race has left a light nuance of colour in the blood of its descendants, as a token and a memory, the night of cultural life is rendered less dim and dark by a mild light radiated from the products of those who were the bearers of

the original fire. Their radiance shines across the barbarism to which the subjected race has reverted and might often lead the superficial observer to believe that he sees before him an image of the present race when he is really looking into a mirror wherein only the past is reflected.

It may happen that in the course of its history such a people will come into contact a second time, and even oftener, with the original founders of their culture and may not even remember that distant association. Instinctively the remnants of blood left from that old ruling race will be drawn towards this new phenomenon and what had formerly been possible only under compulsion can now be successfully achieved in a voluntary way. A new cultural wave flows in and lasts until the blood of its standard- bearers becomes once again adulterated by intermixture with the originally conquered race.

It will be the task of those who set themselves to the study of a universal history of civilization to investigate history from this point of view instead of allowing themselves to be smothered under the mass of external data, as is only too often the case with our present historical science.

This short sketch of the changes that take place among those races that are only the depositories of a culture also furnishes a picture of the development and the activity and the disappearance of those who are the true founders of culture on this earth, namely the Aryans themselves.

Just as in our daily life the so-called man of genius needs a particular occasion, and sometimes indeed a special stimulus, to bring his genius to light, so too in the life of the peoples the race that has genius in it needs the occasion and stimulus to bring that genius to expression. In the monotony and routine of everyday life even persons of significance seem just like the others and do not rise beyond the average level of their fellow-men. But as soon as such men find themselves in a special situation which disconcerts and unbalances the others, the humble person of apparently common qualities reveals traits of genius, often to the amazement of those who have hitherto known him in the small things of everyday life. That is the reason why a prophet only seldom counts for something in his own country. War offers an excellent occasion for observing this phenomenon. In times of distress, when the others despair, apparently harmless boys suddenly spring up and become heroes, full of determination, undaunted in the presence of Death and manifesting wonderful powers of calm reflection under such circumstances. If such an hour of trial did not come nobody would have thought that the soul of a hero lurked in the body of that beardless youth. A special impulse is almost always necessary to bring a man of genius into the foreground. The sledge-hammer of Fate which strikes down the one so easily suddenly finds the counter-impact of steel when it strikes at the other. And, after the common shell of everyday life is broken, the core that lay hidden in it is displayed to the eyes of

an astonished world. This surrounding world then grows obstinate and will not believe that what had seemed so like itself is really of that different quality so suddenly displayed. This is a process which is repeated probably every time a man of outstanding significance appears.

Though an inventor, for example, does not establish his fame until the very day that he carries through his invention, it would be a mistake to believe that the creative genius did not become alive in him until that moment. From the very hour of his birth the spark of genius is living within the man who has been endowed with the real creative faculty. True genius is an innate quality. It can never be the result of education or training.

As I have stated already, this holds good not merely of the individual but also of the race. Those peoples who manifest creative abilities in certain periods of their history have always been fundamentally creative. It belongs to their very nature, even though this fact may escape the eyes of the superficial observer. Here also recognition from outside is only the consequence of practical achievement. Since the rest of the world is incapable of recognizing genius as such, it can only see the visible manifestations of genius in the form of inventions, discoveries, buildings, painting, etc.; but even here a long time passes before recognition is given. Just as the individual person who has been endowed with the gift of genius, or at least talent of a very high order, cannot bring that endowment to realization until he comes under the urge of special circumstances, so in the life of the nations the creative capacities and powers frequently have to wait until certain conditions stimulate them to action.

The most obvious example of this truth is furnished by that race which has been, and still is, the standard-bearer of human progress: I mean the Aryan race. As soon as Fate brings them face to face with special circumstances their powers begin to develop progressively and to be manifested in tangible form. The characteristic cultures which they create under such circumstances are almost always conditioned by the soil, the climate and the people they subjugate. The last factor--that of the character of the people--is the most decisive one. The more primitive the technical conditions under which the civilizing activity takes place, the more necessary is the existence of manual labour which can be organized and employed so as to take the place of mechanical power. Had it not been possible for them to employ members of the inferior race which they conquered, the Aryans would never have been in a position to take the first steps on the road which led them to a later type of culture; just as, without the help of certain suitable animals which they were able to tame, they would never have come to the invention of mechanical power which has subsequently enabled them to do without these beasts. The phrase, 'The Moor has accomplished his function, so let him now depart', has, unfortunately, a profound application. For thousands of years the horse has been the faithful servant of man and has helped him to lay the foundations of human progress, but now motor power has dispensed with the use of the horse. In a

few years to come the use of the horse will cease entirely; and yet without its collaboration man could scarcely have come to the stage of development which he has now created.

For the establishment of superior types of civilization the members of inferior races formed one of the most essential pre-requisites. They alone could supply the lack of mechanical means without which no progress is possible. It is certain that the first stages of human civilization were not based so much on the use of tame animals as on the employment of human beings who were members of an inferior race.

Only after subjugated races were employed as slaves was a similar fate allotted to animals, and not vice versa, as some people would have us believe. At first it was the conquered enemy who had to draw the plough and only afterwards did the ox and horse take his place. Nobody else but puling pacifists can consider this fact as a sign of human degradation. Such people fail to recognize that this evolution had to take place in order that man might reach that degree of civilization which these apostles now exploit in an attempt to make the world pay attention to their rigmarole.

The progress of mankind may be compared to the process of ascending an infinite ladder. One does not reach the higher level without first having climbed the lower rungs. The Aryan therefore had to take that road which his sense of reality pointed out to him and not that which the modern pacifist dreams of. The path of reality is, however, difficult and hard to tread; yet it is the only one which finally leads to the goal where the others envisage mankind in their dreams. But the real truth is that those dreamers help only to lead man away from his goal rather than towards it.

It was not by mere chance that the first forms of civilization arose there where the Aryan came into contact with inferior races, subjugated them and forced them to obey his command. The members of the inferior race became the first mechanical tools in the service of a growing civilization.

Thereby the way was clearly indicated which the Aryan had to follow. As a conqueror, he subjugated inferior races and turned their physical powers into organized channels under his own leadership, forcing them to follow his will and purpose. By imposing on them a useful, though hard, manner of employing their powers he not only spared the lives of those whom he had conquered but probably made their lives easier than these had been in the former state of so-called 'freedom'. While he ruthlessly maintained his position as their master, he not only remained master but he also maintained and advanced civilization. For this depended exclusively on his inborn abilities and, therefore, on the preservation of the Aryan race as such. As soon, however, as his subject began to rise and approach the level of their conqueror, a phase of which ascension was probably the use of his language, the barriers that had distinguished master from servant broke down. The Aryan neglected to maintain his own racial stock

unmixed and therewith lost the right to live in the paradise which he himself had created. He became submerged in the racial mixture and gradually lost his cultural creativeness, until he finally grew, not only mentally but also physically, more like the aborigines whom he had subjected rather than his own ancestors. For some time he could continue to live on the capital of that culture which still remained; but a condition of fossilization soon set in and he sank into oblivion.

That is how cultures and empires decline and yield their places to new formations.

The adulteration of the blood and racial deterioration conditioned thereby are the only causes that account for the decline of ancient civilizations; for it is never by war that nations are ruined, but by the loss of their powers of resistance, which are exclusively a characteristic of pure racial blood. In this world everything that is not of sound racial stock is like chaff. Every historical event in the world is nothing more nor less than a manifestation of the instinct of racial self-preservation, whether for weal or woe.

The question as to the ground reasons for the predominant importance of Aryanism can be answered by pointing out that it is not so much that the Aryans are endowed with a stronger instinct for self-preservation, but rather that this manifests itself in a way which is peculiar to themselves. Considered from the subjective standpoint, the will-to- live is of course equally strong all round and only the forms in which it is expressed are different. Among the most primitive organisms the instinct for self-preservation does not extend beyond the care of the individual ego. Egotism, as we call this passion, is so predominant that it includes even the time element; which means that the present moment is deemed the most important and that nothing is left to the future. The animal lives only for itself, searching for food only when it feels hunger and fighting only for the preservation of its own life. As long as the instinct for self-preservation manifests itself exclusively in such a way, there is no basis for the establishment of a community; not even the most primitive form of all, that is to say the family. The society formed by the male with the female, where it goes beyond the mere conditions of mating, calls for the extension of the instinct of self-preservation, since the readiness to fight for one's own ego has to be extended also to the mate. The male sometimes provides food for the female, but in most cases both parents provide food for the offspring. Almost always they are ready to protect and defend each other; so that here we find the first, though infinitely simple, manifestation of the spirit of sacrifice. As soon as this spirit extends beyond the narrow limits of the family, we have the conditions under which larger associations and finally even States can be formed.

The lowest species of human beings give evidence of this quality only to a very small degree, so that often they do not go beyond the formation of the family society. With an increasing readiness to place their immediate personal interests in the background, the capacity for organizing more extensive communities develops.

The readiness to sacrifice one's personal work and, if necessary, even one's life for others shows its most highly developed form in the Aryan race. The greatness of the Aryan is not based on his intellectual powers, but rather on his willingness to devote all his faculties to the service of the community. Here the instinct for self-preservation has reached its noblest form; for the Aryan willingly subordinates his own ego to the common weal and when necessity calls he will even sacrifice his own life for the community.

The constructive powers of the Aryan and that peculiar ability he has for the building up of a culture are not grounded in his intellectual gifts alone. If that were so they might only be destructive and could never have the ability to organize; for the latter essentially depends on the readiness of the individual to renounce his own personal opinions and interests and to lay both at the service of the human group. By serving the common weal he receives his reward in return. For example, he does not work directly for himself but makes his productive work a part of the activity of the group to which he belongs, not only for his own benefit but for the general. The spirit underlying this attitude is expressed by the word: WORK, which to him does not at all signify a means of earning one's daily livelihood but rather a productive activity which cannot clash with the interests of the community. Whenever human activity is directed exclusively to the service of the instinct for self-preservation it is called theft or usury, robbery or burglary, etc.

This mental attitude, which forces self-interest to recede into the background in favour of the common weal, is the first prerequisite for any kind of really human civilization. It is out of this spirit alone that great human achievements have sprung for which the original doers have scarcely ever received any recompense but which turns out to be the source of abundant benefit for their descendants. It is this spirit alone which can explain why it so often happens that people can endure a harsh but honest existence which offers them no returns for their toil except a poor and modest livelihood. But such a livelihood helps to consolidate the foundations on which the community exists. Every worker and every peasant, every inventor, state official, etc., who works without ever achieving fortune or prosperity for himself, is a representative of this sublime idea, even though he may never become conscious of the profound meaning of his own activity.

Everything that may be said of that kind of work which is the fundamental condition of providing food and the basic means of human progress is true even in a higher sense of work that is done for the protection of man and his civilization. The renunciation of one's own life for the sake of the community is the crowning significance of the idea of all sacrifice. In this way only is it possible to protect what has been built up by man and to assure that this will not be destroyed by the hand of man or of nature.

In the German language we have a word which admirably expresses this underlying spirit of all work: It is Pflichterfüllung, which means the service of the common weal

before the consideration of one's own interests. The fundamental spirit out of which this kind of activity springs is the contradistinction of 'Egotism' and we call it 'Idealism'. By this we mean to signify the willingness of the individual to make sacrifices for the community and his fellow-men.

It is of the utmost importance to insist again and again that idealism is not merely a superfluous manifestation of sentiment but rather something which has been, is and always will be, a necessary precondition of human civilization; it is even out of this that the very idea of the word 'Human' arises. To this kind of mentality the Aryan owes his position in the world. And the world is indebted to the Aryan mind for having developed the concept of 'mankind'; for it is out of this spirit alone that the creative force has come which in a unique way combined robust muscular power with a first- class intellect and thus created the monuments of human civilization.

Were it not for idealism all the faculties of the intellect, even the most brilliant, would be nothing but intellect itself, a mere external phenomenon without inner value and never a creative force.

Since true idealism, however, is essentially the subordination of the interests and life of the individual to the interests and life of the community, and since the community on its part represents the pre-requisite condition of every form of organization, this idealism accords in its innermost essence with the final purpose of Nature. This feeling alone makes men voluntarily acknowledge that strength and power are entitled to take the lead and thus makes them a constituent particle in that order out of which the whole universe is shaped and formed.

Without being conscious of it, the purest idealism is always associated with the most profound knowledge. How true this is and how little genuine idealism has to do with fantastic self-dramatization will become clear the moment we ask an unspoilt child, a healthy boy for example, to give his opinion. The very same boy who listens to the rantings of an 'idealistic' pacifist without understanding them, and even rejects them, would readily sacrifice his young life for the ideal of his people.

Unconsciously his instinct will submit to the knowledge that the preservation of the species, even at the cost of the individual life, is a primal necessity and he will protest against the fantasies of pacifist ranters, who in reality are nothing better than cowardly egoists, even though camouflaged, who contradict the laws of human development. For it is a necessity of human evolution that the individual should be imbued with the spirit of sacrifice in favour of the common weal, and that he should not be influenced by the morbid notions of those knaves who pretend to know better than Nature and who have the impudencc to criticize her decrees.

It is just at those junctures when the idealistic attitude threatens to disappear that we notice a weakening of this force which is a necessary constituent in the founding and maintenance of the community and is thereby a necessary condition of civilization. As soon as the spirit of egotism begins to prevail among a people then the bonds of the social order break and man, by seeking his own personal happiness, veritably tumbles out of heaven and falls into hell.

Posterity will not remember those who pursued only their own individual interests, but it will praise those heroes who renounced their own happiness.

The Jew offers the most striking contrast to the Aryan. There is probably no other people in the world who have so developed the instinct of self-preservation as the so- called 'chosen' people. The best proof of this statement is found in the simple fact that this race still exists. Where can another people be found that in the course of the last two thousand years has undergone so few changes in mental outlook and character as the Jewish people? And yet what other people has taken such a constant part in the great revolutions? But even after having passed through the most gigantic catastrophes that have overwhelmed mankind, the Jews remain the same as ever. What an infinitely tenacious will-to-live, to preserve one's kind, is demonstrated by that fact!

The intellectual faculties of the Jew have been trained through thousands of years. To- day the Jew is looked upon as specially 'cunning'; and in a certain sense he has been so throughout the ages. His intellectual powers, however, are not the result of an inner evolution but rather have been shaped by the object-lessons which the Jew has received from others. The human spirit cannot climb upwards without taking successive steps. For every step upwards it needs the foundation of what has been constructed before-- the past--which in, the comprehensive sense here employed, can have been laid only in a general civilization. All thinking originates only to a very small degree in personal experience. The largest part is based on the accumulated experiences of the past. The general level of civilization provides the individual, who in most cases is not consciously aware of the fact, with such an abundance of preliminary knowledge that with this equipment he can more easily take further steps on the road of progress. The boy of to-day, for example, grows up among such an overwhelming mass of technical achievement which has accumulated during the last century that he takes as granted many things which a hundred years ago were still mysteries even to the greatest minds of those times. Yet these things that are not so much a matter of course are of enormous importance to those who would understand the progress we have made in these matters and would carry on that progress a step farther. If a man of genius belonging to the 'twenties of the last century were to arise from his grave to-day he would find it more difficult to understand our present age than the contemporary boy of fifteen years of age who may even have only an average intelligence. The man of genius, thus come back from the past, would need to provide himself with an extraordinary amount of preliminary information which our contemporary youth receive automatically, so to

speak, during the time they are growing up among the products of our modern civilization.

Since the Jew--for reasons that I shall deal with immediately--never had a civilization of his own, he has always been furnished by others with a basis for his intellectual work. His intellect has always developed by the use of those cultural achievements which he has found ready-to-hand around him.

The process has never been the reverse.

For, though among the Jews the instinct of self-preservation has not been weaker but has been much stronger than among other peoples, and though the impression may easily be created that the intellectual powers of the Jew are at least equal to those of other races, the Jews completely lack the most essential pre-requisite of a cultural people, namely the idealistic spirit. With the Jewish people the readiness for sacrifice does not extend beyond the simple instinct of individual preservation. In their case the feeling of racial solidarity which they apparently manifest is nothing but a very primitive gregarious instinct, similar to that which may be found among other organisms in this world. It is a remarkable fact that this herd instinct brings individuals together for mutual protection only as long as there is a common danger which makes mutual assistance expedient or inevitable. The same pack of wolves which a moment ago joined together in a common attack on their victim will dissolve into individual wolves as soon as their hunger has been satisfied. This is also sure of horses, which unite to defend themselves against any aggressor but separate the moment the danger is over.

It is much the same with the Jew. His spirit of sacrifice is only apparent. It manifests itself only so long as the existence of the individual makes this a matter of absolute necessity. But as soon as the common foe is conquered and the danger which threatened the individual Jews is overcome and the prey secured, then the apparent harmony disappears and the original conditions set in again. Jews act in concord only when a common danger threatens them or a common prey attracts them. Where these two motives no longer exist then the most brutal egotism appears and these people who before had lived together in unity will turn into a swarm of rats that bitterly fight against each other.

If the Jews were the only people in the world they would be wallowing in filth and mire and would exploit one another and try to exterminate one another in a bitter struggle, except in so far as their utter lack of the ideal of sacrifice, which shows itself in their cowardly spirit, would prevent this struggle from developing.

Therefore it would be a complete mistake to interpret the mutual help which the Jews render one another when they have to fight--or, to put it more accurately, to exploit-- their fellow being, as the expression of a certain idealistic spirit of sacrifice.

Here again the Jew merely follows the call of his individual egotism. That is why the Jewish State, which ought to be a vital organization to serve the purpose of preserving or increasing the race, has absolutely no territorial boundaries. For the territorial delimitation of a State always demands a certain idealism of spirit on the part of the race which forms that State and especially a proper acceptance of the idea of work. A State which is territorially delimited cannot be established or maintained unless the general attitude towards work be a positive one. If this attitude be lacking, then the necessary basis of a civilization is also lacking.

That is why the Jewish people, despite the intellectual powers with which they are apparently endowed, have not a culture--certainly not a culture of their own. The culture which the Jew enjoys to-day is the product of the work of others and this product is debased in the hands of the Jew.

In order to form a correct judgment of the place which the Jew holds in relation to the whole problem of human civilization, we must bear in mind the essential fact that there never has been any Jewish art and consequently that nothing of this kind exists to-day. We must realize that especially in those two royal domains of art, namely architecture and music, the Jew has done no original creative work. When the Jew comes to producing something in the field of art he merely bowdler-izes something already in existence or simply steals the intellectual word, of others. The Jew essentially lacks those qualities which are characteristic of those creative races that are the founders of civilization.

To what extent the Jew appropriates the civilization built up by others--or rather corrupts it, to speak more accurately--is indicated by the fact that he cultivates chiefly the art which calls for the smallest amount of original invention, namely the dramatic art. And even here he is nothing better than a kind of juggler or, perhaps more correctly speaking, a kind of monkey imitator; for in this domain also he lacks the creative elan which is necessary for the production of all really great work. Even here, therefore, he is not a creative genius but rather a superficial imitator who, in spite of all his retouching and tricks, cannot disguise the fact that there is no inner vitality in the shape he gives his products. At this juncture the Jewish Press comes in and renders friendly assistance by shouting hosannas over the head of even the most ordinary bungler of a Jew, until the rest of the world is stampeded into thinking that the object of so much praise must really be an artist, whereas in reality he may be nothing more than a low-class mimic.

No; the Jews have not the creative abilities which are necessary to the founding of a civilization; for in them there is not, and never has been, that spirit of idealism which is

an absolutely necessary element in the higher development of mankind. Therefore the Jewish intellect will never be constructive but always destructive. At best it may serve as a stimulus in rare cases but only within the meaning of the poet's lines: 'THE POWER WHICH ALWAYS WILLS THE BAD, AND ALWAYS WORKS THE GOOD' (KRAFT, DIE STETS DAS BÖSE WILL UND STETS DAS GUTE SCHAFFT). (Note 15) It is not through his help but in spite of his help that mankind makes any progress.

Since the Jew has never had a State which was based on territorial delimitations, and therefore never a civilization of his own, the idea arose that here we were dealing with a people who had to be considered as Nomads. That is a great and mischievous mistake. The true nomad does actually possess a definite delimited territory where he lives. It is merely that he does not cultivate it, as the settled farmer does, but that he lives on the products of his herds, with which he wanders over his domain. The natural reason for this mode of existence is to be found in the fact that the soil is not fertile and that it does not give the steady produce which makes a fixed abode possible. Outside of this natural cause, however, there is a more profound cause: namely, that no mechanical civilization is at hand to make up for the natural poverty of the region in question. There are territories where the Aryan can establish fixed settlements by means of the technical skill which he has developed in the course of more than a thousand years, even though these territories would otherwise have to be abandoned, unless the Aryan were willing to wander about them in nomadic fashion; but his technical tradition and his age-long experience of the use of technical means would probably make the nomadic life unbearable for him. We ought to remember that during the first period of American colonization numerous Aryans earned their daily livelihood as trappers and hunters, etc., frequently wandering about in large groups with their women and children, their mode of existence very much resembling that of ordinary nomads. The moment, however, that they grew more numerous and were able to accumulate larger resources, they cleared the land and drove out the aborigines, at the same time establishing settlements which rapidly increased all over the country.

The Aryan himself was probably at first a nomad and became a settler in the course of ages. But yet he was never of the Jewish kind. The Jew is not a nomad; for the nomad has already a definite attitude towards the concept of 'work', and this attitude served as the basis of a later cultural development, when the necessary intellectual conditions were at hand. There is a certain amount of idealism in the general attitude of the nomad, even though it be rather primitive. His whole character may, therefore, be foreign to Aryan feeling but it will never be repulsive. But not even the slightest trace of idealism exists in the Jewish character. The Jew has never been a nomad, but always a parasite, battening on the substance of others. If he occasionally abandoned regions where he had hitherto lived he did not do it voluntarily. He did it because from time to time he was driven out by people who were tired of having their hospitality abused by such guests. Jewish self-expansion is a parasitic phenomenon--since the Jew is always looking for new pastures for his race.

But this has nothing to do with nomadic life as such; because the Jew does not ever think of leaving a territory which he has once occupied. He sticks where he is with such tenacity that he can hardly be driven out even by superior physical force. He expands into new territories only when certain conditions for his existence are provided therein; but even then--unlike the nomad--he will not change his former abode. He is and remains a parasite, a sponger who, like a pernicious bacillus, spreads over wider and wider areas according as some favourable area attracts him. The effect produced by his presence is also like that of the vampire; for wherever he establishes himself the people who grant him hospitality are bound to be bled to death sooner or later. Thus the Jew has at all times lived in States that have belonged to other races and within the organization of those States he had formed a State of his own, which is, however, hidden behind the mask of a 'religious community', as long as external circumstances do not make it advisable for this community to declare its true nature. As soon as the Jew feels himself sufficiently established in his position to be able to hold it without a disguise, he lifts the mask and suddenly appears in the character which so many did not formerly believe or wish to see: namely that of the Jew.

The life which the Jew lives as a parasite thriving on the substance of other nations and States has resulted in developing that specific character which Schopenhauer once described when he spoke of the Jew as 'The Great Master of Lies'. The kind of existence which he leads forces the Jew to the systematic use of falsehood, just as naturally as the inhabitants of northern climates are forced to wear warm clothes.

He can live among other nations and States only as long as he succeeds in persuading them that the Jews are not a distinct people but the representatives of a religious faith who thus constitute a 'religious community', though this be of a peculiar character.

As a matter of fact, however, this is the first of his great falsehoods.

He is obliged to conceal his own particular character and mode of life that he may be allowed to continue his existence as a parasite among the nations. The greater the intelligence of the individual Jew, the better will he succeed in deceiving others. His success in this line may even go so far that the people who grant him hospitality may be led to believe that the Jew among them is a genuine Frenchman, for instance, or Englishman or German or Italian, who just happens to belong to a religious denomination which is different from that prevailing in these countries. Especially in circles concerned with the executive administration of the State, where the officials generally have only a minimum of historical sense, the Jew is able to impose his infamous deception with comparative ease. In these circles independent thinking is considered a sin against the sacred rules according to which official promotion takes place. It is therefore not surprising that even to-day in the Bavarian government offices, for example, there is not the slightest suspicion that the Jews form a distinct nation

themselves and are not merely the adherents of a 'Confession', though one glance at the Press which belongs to the Jews ought to furnish sufficient evidence to the contrary even for those who possess only the smallest degree of intelligence. The JEWISH ECHO, however, is not an official gazette and therefore not authoritative in the eyes of those government potentates.

Jewry has always been a nation of a definite racial character and never differentiated merely by the fact of belonging to a certain religion. At a very early date, urged on by the desire to make their way in the world, the Jews began to cast about for a means whereby they might distract such attention as might prove inconvenient for them. What could be more effective and at the same time more above suspicion than to borrow and utilize the idea of the religious community? Here also everything is copied, or rather stolen; for the Jew could not possess any religious institution which had developed out of his own consciousness, seeing that he lacks every kind of idealism; which means that belief in a life beyond this terrestrial existence is foreign to him. In the Aryan mind no religion can ever be imagined unless it embodies the conviction that life in some form or other will continue after death. As a matter of fact, the Talmud is not a book that lays down principles according to which the individual should prepare for the life to come. It only furnishes rules for a practical and convenient life in this world.

The religious teaching of the Jews is principally a collection of instructions for maintaining the Jewish blood pure and for regulating intercourse between Jews and the rest of the world: that is to say, their relation with non-Jews. But the Jewish religious teaching is not concerned with moral problems. It is rather concerned with economic problems, and very petty ones at that. In regard to the moral value of the religious teaching of the Jews there exist and always have existed quite exhaustive studies (not from the Jewish side; for whatever the Jews have written on this question has naturally always been of a tendentious character) which show up the kind of religion that the Jews have in a light that makes it look very uncanny to the Aryan mind. The Jew himself is the best example of the kind of product which this religious training evolves. His life is of this world only and his mentality is as foreign to the true spirit of Christianity as his character was foreign to the great Founder of this new creed two thousand years ago. And the Founder of Christianity made no secret indeed of His estimation of the Jewish people. When He found it necessary He drove those enemies of the human race out of the Temple of God; because then, as always, they used religion as a means of advancing their commercial interests. But at that time Christ was nailed to the Cross for his attitude towards the Jews; whereas our modern Christians enter into party politics and when elections are being held they debase themselves to beg for Jewish votes. They even enter into political intrigues with the atheistic Jewish parties against the interests of their own Christian nation.

On this first and fundamental lie, the purpose of which is to make people believe that Jewry is not a nation but a religion, other lies are subsequently based. One of those

further lies, for example, is in connection with the language spoken by the Jew. For him language is not an instrument for the expression of his inner thoughts but rather a means of cloaking them. When talking French his thoughts are Jewish and when writing German rhymes he only gives expression to the character of his own race.

As long as the Jew has not succeeded in mastering other peoples he is forced to speak their language whether he likes it or not. But the moment that the world would become the slave of the Jew it would have to learn some other language (Esperanto, for example) so that by this means the Jew could dominate all the more easily.

How much the whole existence of this people is based on a permanent falsehood is proved in a unique way by 'The Protocols of the Elders of Zion', which are so violently repudiated by the Jews. With groans and moans, the FRANKFURTER ZEITUNG repeats again and again that these are forgeries. This alone is evidence in favour of their authenticity. What many Jews unconsciously wish to do is here clearly set forth. It is not necessary to ask out of what Jewish brain these revelations sprang; but what is of vital interest is that they disclose, with an almost terrifying precision, the mentality and methods of action characteristic of the Jewish people and these writings expound in all their various directions the final aims towards which the Jews are striving. The study of real happenings, however, is the best way of judging the authenticity of those documents. If the historical developments which have taken place within the last few centuries be studied in the light of this book we shall understand why the Jewish Press incessantly repudiates and denounces it. For the Jewish peril will be stamped out the moment the general public come into possession of that book and understand it.

In order to get to know the Jew properly it is necessary to study the road which he has been following among the other peoples during the last few centuries. One example will suffice to give a clear insight here. Since his career has been the same at all epochs-- just as the people at whose expense he has lived have remained the same--for the purposes of making the requisite analysis it will be best to mark his progress by stages. For the sake of simplicity we shall indicate these stages by letters of the alphabet.

The first Jews came into what was then called Germania during the period of the Roman invasion; and, as usual, they came as merchants. During the turmoil caused by the great migrations of the German tribes the Jews seem to have disappeared. We may therefore consider the period when the Germans formed the first political communities as the beginning of that process whereby Central and Northern Europe was again, and this time permanently, Judaized. A development began which has always been the same or similar wherever and whenever Jews came into contact with Aryan peoples.

(a) As soon as the first permanent settlements had been established the Jew was suddenly 'there'. He arrived as a merchant and in the beginning did not trouble to disguise his nationality. He still remained openly a Jew, partly it may be because he

knew too little of the language. It may also be that people of other races refused to mix with him, so that he could not very well adopt any other appearance than that of a foreign merchant. Because of his subtlety and cunning and the lack of experience on the part of the people whose guest he became, it was not to his disadvantage openly to retain his Jewish character. This may even have been advantageous to him; for the foreigner was received kindly.

(b) Slowly but steadily he began to take part in the economic life around him; not as a producer, however, but only as a middleman. His commercial cunning, acquired through thousands of years of negotiation as an intermediary, made him superior in this field to the Aryans, who were still quite ingenuous and indeed clumsy and whose honesty was unlimited; so that after a short while commerce seemed destined to become a Jewish monopoly. The Jew began by lending out money at usurious interest, which is a permanent trade of his. It was he who first introduced the payment of interest on borrowed money. The danger which this innovation involved was not at first recognized; indeed the innovation was welcomed, because it offered momentary advantages.

(c) At this stage the Jew had become firmly settled down; that is to say, he inhabited special sections of the cities and towns and had his own quarter in the market-places. Thus he gradually came to form a State within a State. He came to look upon the commercial domain and all money transactions as a privilege belonging exclusively to himself and he exploited it ruthlessly.

(d) At this stage finance and trade had become his complete monopoly. Finally, his usurious rate of interest aroused opposition and the increasing impudence which the Jew began to manifest all round stirred up popular indignation, while his display of wealth gave rise to popular envy. The cup of his iniquity became full to the brim when he included landed property among his commercial wares and degraded the soil to the level of a market commodity. Since he himself never cultivated the soil but considered it as an object to be exploited, on which the peasant may still remain but only on condition that he submits to the most heartless exactions of his new master, public antipathy against the Jew steadily increased and finally turned into open animosity. His extortionate tyranny became so unbearable that people rebelled against his control and used physical violence against him. They began to scrutinize this foreigner somewhat more closely, and then began to discover the repulsive traits and characteristics inherent in him, until finally an abyss opened between the Jews and their hosts, across which abyss there could be no further contact.

In times of distress a wave of public anger has usually arisen against the Jew; the masses have taken the law into their own hands; they have seized Jewish property and ruined the Jew in their urge to protect themselves against what they consider to be a scourge of God. Having come to know the Jew intimately through the course of

centuries, in times of distress they looked upon his presence among them as a public danger comparable only to the plague.

(e) But then the Jew began to reveal his true character. He paid court to governments, with servile flattery, used his money to ingratiate himself further and thus regularly secured for himself once again the privilege of exploiting his victim. Although public wrath flared up against this eternal profiteer and drove him out, after a few years he reappeared in those same places and carried on as before. No persecution could force him to give up his trade of exploiting other people and no amount of harrying succeeded in driving him out permanently. He always returned after a short time and it was always the old story with him.

In an effort to save at least the worst from happening, legislation was passed which debarred the Jew from obtaining possession of the land.

(f) In proportion as the powers of kings and princes increased, the Jew sidled up to them. He begged for 'charters' and 'privileges' which those gentlemen, who were generally in financial straits, gladly granted if they received adequate payment in return. However high the price he has to pay, the Jew will succeed in getting it back within a few years from operating the privilege he has acquired, even with interest and compound interest. He is a real leech who clings to the body of his unfortunate victims and cannot be removed; so that when the princes found themselves in need once again they took the blood from his swollen veins with their own hands.

This game was repeated unendingly. In the case of those who were called 'German Princes', the part they played was quite as contemptible as that played by the Jew. They were a real scourge for their people. Their compeers may be found in some of the government ministers of our time.

It was due to the German princes that the German nation could not succeed in definitely freeing itself from the Jewish peril. Unfortunately the situation did not change at a later period. The princes finally received the reward which they had a thousand- fold deserved for all the crimes committed by them against their own people. They had allied themselves with Satan and later on they discovered that they were in Satan's embrace.

(g) By permitting themselves to be entangled in the toils of the Jew, the princes prepared their own downfall. The position which they held among their people was slowly but steadily undermined not only by their continued failure to guard the interests of their subjects but by the positive exploitation of them. The Jew calculated exactly the time when the downfall of the princes was approaching and did his best to hasten it. He intensified their financial difficulties by hindering them in the exercise of their duty towards their people, by inveigling them through the most servile flatteries

into further personal display, whereby he made himself more and more indispensable to them. His astuteness, or rather his utter unscrupulousness, in money affairs enabled him to exact new income from the princes, to squeeze the money out of them and then have it spent as quickly as possible. Every Court had its 'Court Jews', as this plague was called, who tortured the innocent victims until they were driven to despair; while at the same time this Jew provided the means which the princes squandered on their own pleasures. It is not to be wondered at that these ornaments of the human race became the recipients of official honours and even were admitted into the ranks of the hereditary nobility, thus contributing not only to expose that social institution to ridicule but also to contaminate it from the inside.

Naturally the Jew could now exploit the position to which he had attained and push himself forward even more rapidly than before. Finally he became baptized and thus entitled to all the rights and privileges which belonged to the children of the nation on which he preyed. This was a high-class stroke of business for him, and he often availed himself of it, to the great joy of the Church, which was proud of having gained a new child in the Faith, and also to the joy of Israel, which was happy at seeing the trick pulled off successfully.

(h) At this stage a transformation began to take place in the world of Jewry. Up to now they had been Jews--that is to say, they did not hitherto set any great value on pretending to be something else; and anyhow the distinctive characteristics which separated them from other races could not be easily overcome. Even as late as the time of Frederick the Great nobody looked upon the Jews as other than a 'foreign' people, and Goethe rose up in revolt against the failure legally to prohibit marriage between Christians and Jews. Goethe was certainly no reactionary and no time-server. What he said came from the voice of the blood and the voice of reason. Notwithstanding the disgraceful happenings taking place in Court circles, the people recognized instinctively that the Jew was the foreign body in their own flesh and their attitude towards him was directed by recognition of that fact.

But a change was now destined to take place. In the course of more than a thousand years the Jew had learned to master the language of his hosts so thoroughly that he considered he might now lay stress on his Jewish character and emphasize the 'Germanism' a bit more. Though it must have appeared ridiculous and absurd at first sight, he was impudent enough to call himself a 'Teuton', which in this case meant a German. In that way began one of the most infamous impositions that can be imagined. The Jew did not possess the slightest traces of the German character. He had only acquired the art of twisting the German language to his own uses, and that in a disgusting way, without having assimilated any other feature of the German character. Therefore his command of the language was the sole ground on which he could pretend to be a German. It is not however by the tie of language, but exclusively by the tie of blood that the members of a race are bound together. And the Jew himself knows this

better than any other, seeing that he attaches so little importance to the preservation of his own language while at the same time he strives his utmost to maintain his blood free from intermixture with that of other races. A man may acquire and use a new language without much trouble; but it is only his old ideas that he expresses through the new language. His inner nature is not modified thereby. The best proof of this is furnished by the Jew himself. He may speak a thousand tongues and yet his Jewish nature will remain always one and the same. His distinguishing characteristics were the same when he spoke the Latin language at Ostia two thousand years ago as a merchant in grain, as they are to-day when he tries to sell adulterated flour with the aid of his German gibberish. He is always the same Jew. That so obvious a fact is not recognized by the average head-clerk in a German government department, or by an officer in the police administration, is also a self-evident and natural fact; since it would be difficult to find another class of people who are so lacking in instinct and intelligence as the civil servants employed by our modern German State authorities.

The reason why, at the stage I am dealing with, the Jew so suddenly decided to transform himself into a German is not difficult to discover. He felt the power of the princes slowly crumbling and therefore looked about to find a new social plank on which he might stand. Furthermore, his financial domination over all the spheres of economic life had become so powerful that he felt he could no longer sustain that enormous structure or add to it unless he were admitted to the full enjoyment of the 'rights of citizenship.' He aimed at both, preservation and expansion; for the higher he could climb the more alluring became the prospect of reaching the old goal, which was promised to him in ancient times, namely world-rulership, and which he now looked forward to with feverish eyes, as he thought he saw it visibly approaching. Therefore all his efforts were now directed to becoming a fully-fledged citizen, endowed with all civil and political rights.

That was the reason for his emancipation from the Ghetto.

(i) And thus the Court Jew slowly developed into the national Jew. But naturally he still remained associated with persons in higher quarters and he even attempted to push his way further into the inner circles of the ruling set. But at the same time some other representatives of his race were currying favour with the people. If we remember the crimes the Jew had committed against the masses of the people in the course of so many centuries, how repeatedly and ruthlessly he exploited them and how he sucked out even the very marrow of their substance, and when we further remember how they gradually came to hate him and finally considered him as a public scourge--then we may well understand how difficult the Jew must have found this final transformation. Yes, indeed, it must tax all their powers to be able to present themselves as 'friends of humanity' to the poor victims whom they have skinned raw.

Therefore the Jew began by making public amends for the crimes which he had committed against the people in the past. He started his metamorphosis by first appearing as the 'benefactor' of humanity. Since his new philanthropic policy had a very concrete aim in view, he could not very well apply to himself the biblical counsel, not to allow the left hand to know what the right hand is giving. He felt obliged to let as many people as possible know how deeply the sufferings of the masses grieved him and to what excesses of personal sacrifice he was ready to go in order to help them. With this manifestation of innate modesty, so typical of the Jew, he trumpeted his virtues before the world until finally the world actually began to believe him. Those who refused to share this belief were considered to be doing him an injustice. Thus after a little while he began to twist things around, so as to make it appear that it was he who had always been wronged, and vice versa. There were really some particularly foolish people who could not help pitying this poor unfortunate creature of a Jew.

Attention may be called to the fact that, in spite of his proclaimed readiness to make personal sacrifices, the Jew never becomes poor thereby. He has a happy knack of always making both ends meet. Occasionally his benevolence might be compared to the manure which is not spread over the field merely for the purpose of getting rid of it, but rather with a view to future produce. Anyhow, after a comparatively short period of time, the world was given to know that the Jew had become a general benefactor and philanthropist. What a transformation!

What is looked upon as more or less natural when done by other people here became an object of astonishment, and even sometimes of admiration, because it was considered so unusual in a Jew. That is why he has received more credit for his acts of benevolence than ordinary mortals.

And something more: The Jew became liberal all of a sudden and began to talk enthusiastically of how human progress must be encouraged. Gradually he assumed the air of being the herald of a new age.

Yet at the same time he continued to undermine the ground-work of that part of the economic system in which the people have the most practical interest. He bought up stock in the various national undertakings and thus pushed his influence into the circuit of national production, making this latter an object of buying and selling on the stock exchange, or rather what might be called the pawn in a financial game of chess, and thus ruining the basis on which personal proprietorship alone is possible. Only with the entrance of the Jew did that feeling of estrangement, between employers and employees begin which led at a later date to the political class-struggle.

Finally the Jew gained an increasing influence in all economic undertakings by means of his predominance in the stock-exchange. If not the ownership, at least he secured control of the working power of the nation.

In order to strengthen his political position, he directed his efforts towards removing the barrier of racial and civic discrimination which had hitherto hindered his advance at every turn. With characteristic tenacity he championed the cause of religious tolerance for this purpose; and in the freemason organization, which had fallen completely into his hands, he found a magnificent weapon which helped him to achieve his ends. Government circles, as well as the higher sections of the political and commercial bourgeoisie, fell a prey to his plans through his manipulation of the masonic net, though they themselves did not even suspect what was happening.

Only the people as such, or rather the masses which were just becoming conscious of their own power and were beginning to use it in the fight for their rights and liberties, had hitherto escaped the grip of the Jew. At least his influence had not yet penetrated to the deeper and wider sections of the people. This was unsatisfactory to him. The most important phase of his policy was therefore to secure control over the people. The Jew realized that in his efforts to reach the position of public despot he would need a 'peace- maker.' And he thought he could find a peace-maker if he could whip-in sufficient extensive sections of the bourgeois. But the freemasons failed to catch the glove- manufacturers and the linen-weavers in the frail meshes of their net. And so it became necessary to find a grosser and withal a more effective means. Thus another weapon beside that of freemasonry would have to be secured. This was the Press. The Jew exercised all his skill and tenacity in getting hold of it. By means of the Press he began gradually to control public life in its entirety. He began to drive it along the road which he had chosen to reach his own ends; for he was now in a position to create and direct that force which, under the name of 'public opinion' is better known to-day than it was some decades ago.

Simultaneously the Jew gave himself the air of thirsting after knowledge. He lauded every phase of progress, particularly those phases which led to the ruin of others; for he judges all progress and development from the standpoint of the advantages which these bring to his own people. When it brings him no such advantages he is the deadly enemy of enlightenment and hates all culture which is real culture as such. All the knowledge which he acquires in the schools of others is exploited by him exclusively in the service of his own race.

Even more watchfully than ever before, he now stood guard over his Jewish nationality. Though bubbling over with 'enlightenment', 'progress', 'liberty', 'humanity', etc., his first care was to preserve the racial integrity of his own people. He occasionally bestowed one of his female members on an influential Christian; but the racial stock of his male descendants was always preserved unmixed fundamentally. He poisons the blood of others but preserves his own blood unadulterated. The Jew scarcely ever marries a Christian girl, but the Christian takes a Jewess to wife. The mongrels that are a result of this latter union always declare themselves on the Jewish side. Thus a part of the higher

nobility in particular became completely degenerate. The Jew was well aware of this fact and systematically used this means of disarming the intellectual leaders of the opposite race. To mask his tactics and fool his victims, he talks of the equality of all men, no matter what their race or colour may be. And the simpletons begin to believe him.

Since his whole nature still retains too foreign an odour for the broad masses of the people to allow themselves to be caught in his snare, he uses the Press to put before the public a picture of himself which is entirely untrue to life but well designed to serve his purpose. In the comic papers special efforts are made to represent the Jews as an inoffensive little race which, like all others, has its peculiarities. In spite of their manners, which may seem a bit strange, the comic papers present the Jews as fundamentally good-hearted and honourable. Attempts are generally made to make them appear insignificant rather than dangerous.

During this phase of his progress the chief goal of the Jew was the victory of democracy, or rather the supreme hegemony of the parliamentary system, which embodies his concept of democracy. This institution harmonises best with his purposes; for thus the personal element is eliminated and in its place we have the dunder-headed majority, inefficiency and, last but by no means least, knavery.

The final result must necessarily have been the overthrow of the monarchy, which had to happen sooner or later.

(j) A tremendous economic development transformed the social structure of the nation. The small artisan class slowly disappeared and the factory worker, who took its place, had scarcely any chance of establishing an independent existence of his own but sank more and more to the level of a proletariat. An essential characteristic of the factory worker is that he is scarcely ever able to provide for an independent source of livelihood which will support him in later life. In the true sense of the word, he is 'disinherited'. His old age is a misery to him and can hardly be called life at all.

In earlier times a similar situation had been created, which had imperatively demanded a solution and for which a solution was found. Side by side with the peasant and the artisan, a new class was gradually developed, namely that of officials and employees, especially those employed in the various services of the State. They also were a 'disinherited' class, in the true sense of the word. But the State found a remedy for this unhealthy situation by taking upon itself the duty of providing for the State official who could establish nothing that would be an independent means of livelihood for himself in his old age. Thus the system of pensions and retiring allowances was introduced. Private enterprises slowly followed this example in increasing numbers; so that to-day every permanent non-manual worker receives a pension in his later years, if the firm which he has served is one that has reached or gone beyond a certain size. It was only

by virtue of the assurance given of State officials, that they would be cared for in their old age. that such a high degree of unselfish devotion to duty was developed, which in pre-war times was one of the distinguising characteristics of German officials.

Thus a whole class which had no personal property was saved from destitution by an intelligent system of provision, and found a place in the social structure of the national community.

The problem is now put before the State and nation, but this time in a much larger form. When the new industries sprang up and developed, millions of people left the countryside and the villages to take up employment in the big factories. The conditions under which this new class found itself forced to live were worse than miserable. The more or less mechanical transformation of the methods of work hitherto in vogue among the artisans and peasants did not fit in well with the habits or mentality of this new working-class. The way in which the peasants and artisans had formerly worked had nothing comparable to the intensive labour of the new factory worker. In the old trades time did not play a highly important role, but it became an essential element in the new industrial system. The formal taking over of the old working hours into the mammoth industrial enterprises had fatal results. The actual amount of work hitherto accomplished within a certain time was comparatively small, because the modern methods of intensive production were then unknown. Therefore, though in the older system a working day of fourteen or even fifteen hours was not unendurable, now it was beyond the possibilities of human endurance because in the new system every minute was utilized to the extreme. This absurd transference of the old working hours to the new industrial system proved fatal in two directions. First, it ruined the health of the workers; secondly, it destroyed their faith in a superior law of justice. Finally, on the one hand a miserable wage was received and, on the other, the employer held a much more lucrative position than before. Hence a striking difference between the ways of life on the one side and on the other.

In the open country there could be no social problem, because the master and the farm- hand were doing the same kind of work and doing it together. They ate their food in common, and sometimes even out of the same dish. But in this sphere also the new system introduced an entirely different set of conditions between masters and men.

The division created between employer and employees seems not to have extended to all branches of life. How far this Judaizing process has been allowed to take effect among our people is illustrated by the fact that manual labour not only receives practically no recognition but is even considered degrading. That is not a natural German attitude. It is due to the introduction of a foreign element into our lives, and that foreign element is the Jewish spirit, one of the effects of which has been to transform the high esteem in which our handicrafts once were held into a definite feeling that all physical labour is something base and unworthy.

Thus a new social class has grown up which stands in low esteem; and the day must come when we shall have to face the question of whether the nation will be able to make this class an integral part of the social community or whether the difference of status now existing will become a permanent gulf separating this class from the others.

One thing, however, is certain: This class does not include the worst elements of the community in its ranks. Rather the contrary is the truth: it includes the most energetic parts of the nation. The sophistication which is the result of a so-called civilization has not yet exercised its disintegrating and degenerating influence on this class. The broad masses of this new lower class, constituted by the manual labourers, have not yet fallen a prey to the morbid weakness of pacifism. These are still robust and, if necessary, they can be brutal.

While our bourgeoisie middle class paid no attention at all to this momentous problem and indifferently allowed events to take their course, the Jew seized upon the manifold possibilities which the situation offered him for the future. While on the one hand he organized capitalistic methods of exploitation to their ultimate degree of efficiency, he curried favour with the victims of his policy and his power and in a short while became the leader of their struggle against himself. 'Against himself' is here only a figurative way of speaking; for this 'Great Master of Lies' knows how to appear in the guise of the innocent and throw the guilt on others. Since he had the impudence to take a personal lead among the masses, they never for a moment suspected that they were falling a prey to one of the most infamous deceits ever practised. And yet that is what it actually was.

The moment this new class had arisen out of the general economic situation and taken shape as a definite body in the social order, the Jew saw clearly where he would find the necessary pacemaker for his own progressive march. At first he had used the bourgeois class as a battering-ram against the feudal order; and now he used the worker against the bourgeois world. Just as he succeeded in obtaining civic rights by intrigues carried on under the protection of the bourgeois class, he now hoped that by joining in the struggle which the workers were waging for their own existence he would be able to obtain full control over them.

When that moment arrives, then the only objective the workers will have to fight for will be the future of the Jewish people. Without knowing it, the worker is placing himself at the service of the very power against which he believes he is fighting. Apparently he is made to fight against capital and thus he is all the more easily brought to fight for capitalist interests. Outcries are systematically raised against international capital but in reality it is against the structure of national economics that these slogans are directed. The idea is to demolish this structure and on its ruins triumphantly erect the structure of the International Stock Exchange.

In this line of action the procedure of the Jew was as follows:

He kowtowed to the worker, hypocritically pretended to feel pity for him and his lot, and even to be indignant at the misery and poverty which the worker had to endure. That is the way in which the Jew endeavoured to gain the confidence of the working class. He showed himself eager to study their various hardships, whether real or imaginary, and strove to awaken a yearning on the part of the workers to change the conditions under which they lived. The Jew artfully enkindled that innate yearning for social justice which is a typical Aryan characteristic. Once that yearning became alive it was transformed into hatred against those in more fortunate circumstances of life. The next stage was to give a precise philosophical aspect to the struggle for the elimination of social wrongs. And thus the Marxist doctrine was invented.

By presenting his doctrine as part and parcel of a just revindication of social rights, the Jew propagated the doctrine all the more effectively. But at the same time he provoked the opposition of decent people who refused to admit these demands which, because of the form and pseudo-philosophical trimmings in which they are presented, seemed fundamentally unjust and impossible for realization. For, under the cloak of purely social concepts there are hidden aims which are of a Satanic character. These aims are even expounded in the open with the clarity of unlimited impudence. This Marxist doctrine is an individual mixture of human reason and human absurdity; but the combination is arranged in such a way that only the absurd part of it could ever be put into practice, but never the reasonable part of it. By categorically repudiating the personal worth of the individual and also the nation and its racial constituent, this doctrine destroys the fundamental basis of all civilization; for civilization essentially depends on these very factors. Such is the true essence of the Marxist WELTANSCHAUUNG, so far as the word WELTANSCHAUUNG can be applied at all to this phantom arising from a criminal brain. The destruction of the concept of personality and of race removes the chief obstacle which barred the way to domination of the social body by its inferior elements, which are the Jews.

The very absurdity of the economic and political theories of Marxism gives the doctrine its peculiar significance. Because of its pseudo-logic, intelligent people refuse to support it, while all those who are less accustomed to use their intellectual faculties, or who have only a rudimentary notion of economic principles, join the Marxist cause with flying banners. The intelligence behind the movement--for even this movement needs intelligence if it is to subsist--is supplied by the Jews themselves, naturally of course as a gratuitous service which is at the same time a sacrifice on their part.

Thus arose a movement which was composed exclusively of manual workers under the leadership of Jews. To all external appearances, this movement strives to ameliorate the

conditions under which the workers live; but in reality its aim is to enslave and thereby annihilate the non-Jewish races.

The propaganda which the freemasons had carried on among the so-called intelligentsia, whereby their pacifist teaching paralysed the instinct for national self- preservation, was now extended to the broad masses of the workers and bourgeoisie by means of the Press, which was almost everywhere in Jewish hands. To those two instruments of disintegration a third and still more ruthless one was added, namely, the organization of brute physical force among the masses. As massed columns of attacks, the Marxist troops stormed those parts of the social order which had been left standing after the two former undermining operations had done their work.

The combined activity of all these forces has been marvellously managed. And it will not be surprising if it turns out that those institutions which have always appeared as the organs of the more or less traditional authority of the State should now fall before the Marxist attack. Among our higher and highest State officials, with very few exceptions, the Jew has found the cost complacent backers in his work of destruction. An attitude of sneaking servility towards 'superiors' and supercilious arrogance towards 'inferiors' are the characteristics of this class of people, as well as a grade of stupidity which is really frightening and at the same time a towering self-conceit, which has been so consistently developed to make it amusing.

But these qualities are of the greatest utility to the Jew in his dealings with our authorities. Therefore they are qualities which he appreciates most in the officials.

If I were to sketch roughly the actual struggle which is now beginning I should describe it somewhat thus:

Not satisfied with the economic conquest of the world, but also demanding that it must come under his political control, the Jew subdivides the organized Marxist power into two parts, which correspond to the ultimate objectives that are to be fought for in this struggle which is carried on under the direction of the Jew. To outward appearance, these seem to be two independent movements, but in reality they constitute an indivisible unity. The two divisions are: The political movement and the trades union movement.

The trades union movement has to gather in the recruits. It offers assistance and protection to the workers in the hard struggle which they have to wage for the bare means of existence, a struggle which has been occasioned by the greediness and narrow-mindedness of many of the industrialists. Unless the workers be ready to surrender all claims to an existence which the dignity of human nature itself demands, and unless they are ready to submit their fate to the will of employers who in many cases have no sense of human responsibilities and are utterly callous to human wants,

then the worker must necessarily take matters into his own hands, seeing that the organized social community--that is to say, the State--pays no attention to his needs.

The so-called national-minded bourgeoisie, blinded by its own material interests, opposes this life-or-death struggle of the workers and places the most difficult obstacles in their way. Not only does this bourgeoisie hinder all efforts to enact legislation which would shorten the inhumanly long hours of work, prohibit child-labour, grant security and protection to women and improve the hygienic conditions of the workshops and the dwellings of the working-class, but while the bourgeoisie hinders all this the shrewd Jew takes the cause of the oppressed into his own hands. He gradually becomes the leader of the trades union movements, which is an easy task for him, because he does not genuinely intend to find remedies for the social wrong: he pursues only one objective, namely, to gather and consolidate a body of followers who will act under his commands as an armed weapon in the economic war for the destruction of national economic independence. For, while a sound social policy has to move between the two poles of securing a decent level of public health and welfare on the one hand and, on the other, that of safeguarding the independence of the economic life of the nation, the Jew does not take these poles into account at all. The destruction of both is one of his main objects. He would ruin, rather than safeguard, the independence of the national economic system. Therefore, as the leader of the trades union movement, he has no scruples about putting forward demands which not only go beyond the declared purpose of the movement but could not be carried into effect without ruining the national economic structure. On the other hand, he has no interest in seeing a healthy and sturdy population develop; he would be more content to see the people degenerate into an unthinking herd which could be reduced to total subjection. Because these are his final objectives, he can afford to put forward the most absurd claims. He knows very well that these claims can never be realized and that therefore nothing in the actual state of affairs could be altered by them, but that the most they can do is to arouse the spirit of unrest among the masses. That is exactly the purpose which he wishes such propaganda to serve and not a real and honest improvement of the social conditions.

The Jews will therefore remain the unquestioned leaders of the trades union movement so long as a campaign is not undertaken, which must be carried out on gigantic lines, for the enlightenment of the masses; so that they will be enabled better to understand the causes of their misery. Or the same end might be achieved if the government authorities would get rid of the Jew and his work. For as long as the masses remain so ill-informed as they actually are to-day, and as long as the State remains as indifferent to their lot as it now is, the masses will follow whatever leader makes them the most extravagant promises in regard to economic matters. The Jew is a past master at this art and his activities are not hampered by moral considerations of any kind.

Naturally it takes him only a short time to defeat all his competitors in this field and drive them from the scene of action. In accordance with the general brutality and

rapacity of his nature, he turns the trades union movement into an organization for the exercise of physical violence. The resistance of those whose common sense has hitherto saved them from surrendering to the Jewish dictatorship is now broken down by terrorization. The success of that kind of activity is enormous.

Parallel with this, the political organization advances. It operates hand-in-hand with the trades union movement, inasmuch as the latter prepares the masses for the political organization and even forces them into it. This is also the source that provides the money which the political organization needs to keep its enormous apparatus in action. The trades union organization is the organ of control for the political activity of its members and whips in the masses for all great political demonstrations. In the end it ceases to struggle for economic interests but places its chief weapon, the refusal to continue work--which takes the form of a general strike--at the disposal of the political movement.

By means of a Press whose contents are adapted to the level of the most ignorant readers, the political and trades union organizations are provided with an instrument which prepares the lowest stratum of the nation for a campaign of ruthless destruction. It is not considered part of the purpose of this Press to inspire its readers with ideals which might help them to lift their minds above the sordid conditions of their daily lives; but, on the contrary, it panders to their lowest instincts. Among the lazy-minded and self-seeking sections of the masses this kind of speculation turns out lucrative.

It is this Press above all which carries on a fanatical campaign of calumny, strives to tear down everything that might be considered as a mainstay of national independence and to sabotage all cultural values as well as to destroy the autonomy of the national economic system.

It aims its attack especially against all men of character who refuse to fall into line with the Jewish efforts to obtain control over the State or who appear dangerous to the Jews merely because of their superior intelligence. For in order to incur the enmity of the Jew it is not necessary to show any open hostility towards him. It is quite sufficient if one be considered capable of opposing the Jew some time in the future or using his abilities and character to enhance the power and position of a nation which the Jew finds hostile to himself.

The Jewish instinct, which never fails where these problems have to be dealt with, readily discerns the true mentality of those whom the Jew meets in everyday life; and those who are not of a kindred spirit with him may be sure of being listed among his enemies. Since the Jew is not the object of aggression but the aggressor himself, he considers as his enemies not only those who attack him but also those who may be capable of resisting him. The means which he employs to break people of this kind, who

may show themselves decent and upright, are not the open means generally used in honourable conflict, but falsehood and calumny.

He will stop at nothing. His utterly low-down conduct is so appalling that one really cannot be surprised if in the imagination of our people the Jew is pictured as the incarnation of Satan and the symbol of evil.

The ignorance of the broad masses as regards the inner character of the Jew, and the lack of instinct and insight that our upper classes display, are some of the reasons which explain how it is that so many people fall an easy prey to the systematic campaign of falsehood which the Jew carries on.

While the upper classes, with their innate cowardliness, turn away from anyone whom the Jew thus attacks with lies and calumny, the common people are credulous of everything, whether because of their ignorance or their simple-mindedness. Government authorities wrap themselves up in a robe of silence, but more frequently they persecute the victims of Jewish attacks in order to stop the campaign in the Jewish Press. To the fatuous mind of the government official such a line of conduct appears to belong to the policy of upholding the authority of the State and preserving public order. Gradually the Marxist weapon in the hands of the Jew becomes a constant bogy to decent people. Sometimes the fear of it sticks in the brain or weighs upon them as a kind of nightmare. People begin to quail before this fearful foe and therewith become his victims.

(k) The Jewish domination in the State seems now so fully assured that not only can he now afford to call himself a Jew once again, but he even acknowledges freely and openly what his ideas are on racial and political questions. A section of the Jews avows itself quite openly as an alien people, but even here there is another falsehood. When the Zionists try to make the rest of the world believe that the new national consciousness of the Jews will be satisfied by the establishment of a Jewish State in Palestine, the Jews thereby adopt another means to dupe the simple-minded Gentile. They have not the slightest intention of building up a Jewish State in Palestine so as to live in it. What they really are aiming at is to establish a central organization for their international swindling and cheating. As a sovereign State, this cannot be controlled by any of the other States. Therefore it can serve as a refuge for swindlers who have been found out and at the same time a high-school for the training of other swindlers.

As a sign of their growing presumption and sense of security, a certain section of them openly and impudently proclaim their Jewish nationality while another section hypocritically pretend that they are German, French or English as the case may be. Their blatant behaviour in their relations with other people shows how clearly they envisage their day of triumph in the near future.

The black-haired Jewish youth lies in wait for hours on end, satanically glaring at and spying on the unsuspicious girl whom he plans to seduce, adulterating her blood and removing her from the bosom of her own people. The Jew uses every possible means to undermine the racial foundations of a subjugated people. In his systematic efforts to ruin girls and women he strives to break down the last barriers of discrimination between him and other peoples. The Jews were responsible for bringing negroes into the Rhineland, with the ultimate idea of bastardizing the white race which they hate and thus lowering its cultural and political level so that the Jew might dominate. For as long as a people remain racially pure and are conscious of the treasure of their blood, they can never be overcome by the Jew. Never in this world can the Jew become master of any people except a bastardized people.

That is why the Jew systematically endeavours to lower the racial quality of a people by permanently adulterating the blood of the individuals who make up that people.

In the field of politics he now begins to replace the idea of democracy by introducing the dictatorship of the proletariat. In the masses organized under the Marxist banners he has found a weapon which makes it possible for him to discard democracy, so as to subjugate and rule in a dictatorial fashion by the aid of brute force. He is systematically working in two ways to bring about this revolution. These ways are the economic and the political respectively.

Aided by international influences, he forms a ring of enemies around those nations which have proved themselves too sturdy for him in withstanding attacks from within. He would like to force them into war and then, if it should be necessary to his plans, he will unfurl the banners of revolt even while the troops are actually fighting at the front.

Economically he brings about the destruction of the State by a systematic method of sabotaging social enterprises until these become so costly that they are taken out of the hands of the State and then submitted to the control of Jewish finance. Politically he works to withdraw from the State its means of susbsistence, inasmuch as he undermines the foundations of national resistance and defence, destroys the confidence which the people have in their Government, reviles the past and its history and drags everything national down into the gutter.

Culturally his activity consists in bowdlerizing art, literature and the theatre, holding the expressions of national sentiment up to scorn, overturning all concepts of the sublime and beautiful, the worthy and the good, finally dragging the people to the level of his own low mentality.

Of religion he makes a mockery. Morality and decency are described as antiquated prejudices and thus a systematic attack is made to undermine those last foundations on

which the national being must rest if the nation is to struggle for its existence in this world.

(l) Now begins the great and final revolution. As soon as the Jew is in possession of political power he drops the last few veils which have hitherto helped to conceal his features. Out of the democratic Jew, the Jew of the People, arises the 'Jew of the Blood', the tyrant of the peoples. In the course of a few years he endeavours to exterminate all those who represent the national intelligence. And by thus depriving the peoples of their natural intellectual leaders he fits them for their fate as slaves under a lasting despotism.

Russia furnishes the most terrible example of such a slavery. In that country the Jew killed or starved thirty millions of the people, in a bout of savage fanaticism and partly by the employment of inhuman torture. And he did this so that a gang of Jewish literati and financial bandits should dominate over a great people.

But the final consequence is not merely that the people lose all their freedom under the domination of the Jews, but that in the end these parasites themselves disappear. The death of the victim is followed sooner or later by that of the vampire.

If we review all the causes which contributed to bring about the downfall of the German people we shall find that the most profound and decisive cause must be attributed to the lack of insight into the racial problem and especially in the failure to recognize the Jewish danger.

It would have been easy enough to endure the defeats suffered on the battlefields in August 1918. They were nothing when compared with the military victories which our nation had achieved. Our downfall was not the result of those defeats; but we were overthrown by that force which had prepared those defeats by systematically operating for several decades to destroy those political instincts and that moral stamina which alone enable a people to struggle for its existence and therewith secure the right to exist.

By neglecting the problem of preserving the racial foundations of our national life, the old Empire abrogated the sole right which entitles a people to live on this planet. Nations that make mongrels of their people, or allow their people to be turned into mongrels, sin against the Will of Eternal Providence. And thus their overthrow at the hands of a stronger opponent cannot be looked upon as a wrong but, on the contrary, as a restoration of justice. If a people refuses to guard and uphold the qualities with which it has been endowed by Nature and which have their roots in the racial blood, then such a people has no right to complain over the loss of its earthly existence.

Everything on this earth can be made into something better. Every defeat may be made the foundation of a future victory. Every lost war may be the cause of a later resurgence.

Every visitation of distress can give a new impetus to human energy. And out of every oppression those forces can develop which bring about a new re-birth of the national soul--provided always that the racial blood is kept pure.

But the loss of racial purity will wreck inner happiness for ever. It degrades men for all time to come. And the physical and moral consequences can never be wiped out.

If this unique problem be studied and compared with the other problems of life we shall easily recognize how small is their importance in comparison with this. They are all limited to time; but the problem of the maintenance or loss of the purity of the racial blood will last as long as man himself lasts.

All the symptoms of decline which manifested themselves already in pre-war times can be traced back to the racial problem.

Whether one is dealing with questions of general law, or monstrous excrescences in economic life, of phenomena which point to a cultural decline or political degeneration, whether it be a question of defects in the school-system or of the evil influence which the Press exerts over the adult population--always and everywhere these phenomena are at bottom caused by a lack of consideration for the interests of the race to which one's own nation belongs, or by the failure to recognize the danger that comes from allowing a foreign race to exist within the national body.

That is why all attempts at reform, all institutions for social relief, all political striving, all economic progress and all apparent increase in the general stock of knowledge, were doomed to be unproductive of any significant results. The nation, as well as the organization which enables it to exist--namely, the State--were not developing in inner strength and stability, but, on the contrary, were visibly losing their vitality. The false brilliance of the Second Empire could not disguise the inner weakness. And every attempt to invigorate it anew failed because the main and most important problem was left out of consideration.

It would be a mistake to think that the followers of the various political parties which tried to doctor the condition of the German people, or even all their leaders, were bad in themselves or meant wrong. Their activity even at best was doomed to fail, merely because of the fact that they saw nothing but the symptoms of our general malady and they tried to doctor the symptoms while they overlooked the real cause of the disease. If one makes a methodical study of the lines along which the old Empire developed one cannot help seeing, after a careful political analysis, that a process of inner degeneration had already set in even at the time when the united Empire was formed and the German nation began to make rapid external progress. The general situation was declining, in spite of the apparent political success and in spite of the increasing economic wealth. At the elections to the Reichstag the growing number of Marxist votes

indicated that the internal breakdown and the political collapse were then rapidly approaching. All the victories of the so-called bourgeois parties were fruitless, not only because they could not prevent the numerical increase in the growing mass of Marxist votes, even when the bourgeois parties triumphed at the polls, but mainly because they themselves were already infected with the germs of decay. Though quite unaware of it, the bourgeois world was infected from within with the deadly virus of Marxist ideas. The fact that they sometimes openly resisted was to be explained by the competitive strife among ambitious political leaders, rather than by attributing it to any opposition in principle between adversaries who were determined to fight one another to the bitter end. During all those years only one protagonist was fighting with steadfast perseverance. This was the Jew. The Star of David steadily ascended as the will to national self-preservation declined.

Therefore it was not a solid national phalanx that, of itself and out of its own feeling of solidarity, rushed to the battlefields in August 1914. But it was rather the manifestation of the last flicker from the instinct of national self-preservation against the progress of the paralysis with which the pacifist and Marxist doctrine threatened our people. Even in those days when the destinies of the nation were in the balance the internal enemy was not recognized; therefore all efforts to resist the external enemy were bound to be in vain. Providence did not grant the reward to the victorious sword, but followed the eternal law of retributive justice. A profound recognition of all this was the source of those principles and tendencies which inspire our new movement. We were convinced that only by recognizing such truths could we stop the national decline in Germany and lay a granite foundation on which the State could again be built up, a State which would not be a piece of mechanism alien to our people, constituted for economic purposes and interests, but an organism created from the soul of the people themselves.

A GERMAN STATE IN A GERMAN NATION

Notes

[Note 15. When Mephistopheles first appears to Faust, in the latter's study, Faust inquires: "What is thy name?" To which Mephistopheles replies: "A part ofthe Power which always wills the Bad and always works the Good." And when Faust asks him what is meant by this riddle and why he should call himself'a part,' the gist of Mephistopheles' reply is that he is the Spirit of Negation and exists through opposition to the positive Truth and Order and Beauty which proceed from the never-ending creative energy of the Deity. In the Prologue to Faust the Lord declares that man's active nature would grow sluggishin working the good and that therefore he has to be aroused by the Spirit of Opposition. This Spirit wills the Bad, but of itself it can do nothing positive, and by its opposition always works the opposite of what it wills.]

Fascist Platform 1919-21.pdf

John McRae - Biography and In Flanders Fields.pdf

Biography of John McCrae Flanders Fields Author

Canadian physician, soldier, teacher and poet John McCrae was born in Guelph Ontario on November 30, 1872, the second son of Scottish immigrants Lieutenant Colonel David McCrae and Janet Simpson Eckford McCrae.

John McCrae had a remarkable affinity for people and animals. His many friends and colleagues described him as warm and compassionate with very high principles.

Soldier - Boer War After graduating with honors from Medical School in Toronto in 1898, John McCrae served in the artillery during the second Boer War in South Africa (1899 – 1901). McCrae was shocked by the poor treatment of the sick and injured soldiers.

John McCrae MD - Physician/Teacher Upon his return McCrae completed his studies in Pathology at McGill University in Montreal. He then became an associate of medicine at Royal Victoria Hospital in 1904 while serving as Resident House Officer at Toronto General Hospital. He went on build a busy private practice, taught at McGill University and was appointed professor of pathology at the University of Vermont, a position he held until 1911.

John McCrae Poet & Author As an author, John McCrae wrote numerous articles for medical journals, co- authored “A Text-Book of Pathology for Students of Medicine” with J.G. Adami and published a number of poems, letters, articles and short stories in national magazines including Saturday Night and Godey’s plus the University of Toronto student newspaper, the Varsity. John McCrae was also a contributing writer to Osler’s Book of Modern Medicine, a 10-volume textbook by William Osler.

Expedition Doctor In the summer of 1910 John McCrae accompanied Governor General Earl Grey as expedition doctor on a month-long canoe trip from Lake Winnipeg to Hudson’s Bay.

John McCrae WWI In 1914 at the start of the First World War, McCrae followed his sense of duty to God, his country and his fellow man and enlisted. In a letter to his mother John McCrae wrote, “I am really rather afraid, but more afraid to stay at home with my conscience.” At 42 years of age, McCrae was older than most WWI volunteers when he enlisted. In 1915 he was given the rank of Major and appointed brigade-surgeon to the First Brigade of the Canadian Forces Artillery stationed at Ypres, Belgium.

Bonfire & Bonneau When McCrae went to Europe he took with him his horse Bonfire, a gift given to him by his friend John L. Todd. McCrae was very fond of animals and often wrote home to his niece and nephew as if the letters were from Bonfire and signed with Bonfire’s hoof print. While at Ypres, John McCrae also befriended a dog he named Bonneau which accompanied McCrae on his rounds through the medical wards.

Ypres, Belgium The second major battle at Ypres, Belgium began on April 22, 1915. The Germans used poisonous Chlorine gas in the attacks and during “17 days of Hades” as McCrae described it, he and his medical staff treated nearly 4600 wounded men.

In Flanders Fields While still at the battlefront during the second battle of Ypres, John McCrae performed a burial service for his good friend and former student Alexis Helmer. The next day on May 3, 1915 McCrae reportedly sat on the step of an ambulance wagon and composed what is now considered to be the world’s most famous and recognized war memorial poem, IN FLANDERS FIELDS.

Photo © Steven Douglas

John McCrae’s Flanders Fields poem was first published anonymously in the December 8th 1915 issue of the British PUNCH magazine and is credited with the inspiration for adopting the “poppy” as Canada’s official Flower of Remembrance, which is also recognized in Canada, the U.S., France, Britain and other Commonwealth countries including Australia and New Zealand.

Shortly after its publication, McCrae’s In Flanders Fields poem became the most popular English poem of the First World War. It was translated into many languages and used in countless fund-raising campaigns for the war effort. Each year the poem is recited at Remembrance Day ceremonies and memorial services around the world.

Lieutenant Colonel John McCrae On April 17th, 1915 John McCrae earned the rank of Lieutenant Colonel. On June 1st, 1915 McCrae left the battlefront and transferred to Number 3 General Hospital at Boulogne where he treated wounded soldiers from the battles of Somme, Vimy Ridge, Arras, and Passchendaele. On January 5, 1918 McCrae became the first Canadian ever to be appointed as Consultant Physician to the British Armies in the Field. Unfortunately, McCrae died before he could he could

take up his new position.

John McCrae Death McCrae suffered from asthma since childhood and by December of 1917 his health had dramatically declined. John McCrae succumbed to pneumonia and meningitis on January 28th, 1918 at Number 14 British General

Hospital for Officers in Boulogne, France. His funeral procession was led by his horse Bonfire and in the tradition of mounted officers; McCrae’s boots were placed backwards in the stirrups.

Wimereux Cemetery Lieutenant Colonel John McCrae MD was buried with full military honors in the cemetery in Wimereux, France (plot 4, row H, grave 3). John McCrae’s funeral was one of the best attended funerals of the entire war. In attendance were his many friends, military dignitaries, nursing sisters and colleagues.

John McCrae House - Museum 2008 marked the 40 anniversary of opening of McCrae House in Guelph Ontario, the stone cottage birthplace of John McCrae. Built in 1857 McCrae House remained a private residence for over a century until it was threatened with

demolition in the mid-1960’s. Local residents (including Cyril Allinson, the young soldier who witnessed John McCrae writing the poem in 1915) formed the John McCrae Birthplace Society, purchased the home and opened John McCrae House as a museum in 1968. McCrae House also includes John McCrae’s war medals plus a Garden of Remembrance with a memorial cenotaph.

IN FLANDERS FIELDS POEM The W orld’s M ost Fam ous W AR M EM OR I AL P OEM B y Lieutenant Colonel John M cCrae

In Flanders fields the poppies blow Between the crosses, row on row, That mark our place: and in the sky The larks still bravely singing fly Scarce heard amid the guns below.

We are the dead: Short days ago, We lived, felt dawn, saw sunset glow, Loved and were loved: and now we lie In Flanders fields!

Take up our quarrel with the foe To you, from failing hands, we throw The torch: be yours to hold it high If ye break faith with us who die, We shall not sleep, though poppies grow In Flanders fields Composed at the battlefront on May 3, 1915 during the second battle of Ypres, Belgium

On May 2, 1915, John McCrae’s close friend and former student Alexis Helmer was killed by a German shell. That evening, in the absence of a Chaplain, John McCrae recited from memory a few passages from the Church of England’s “Order of the Burial of the Dead”. For security reasons Helmer’s burial in Essex Farm Cemetery was performed in complete darkness.

The next day, May 3, 1915, Sergeant-Major Cyril Allinson was delivering mail. McCrae was sitting at the back of an ambulance parked near the dressing station beside the YserCanal, just a few hundred yards north of Ypres, Belgium.

As John McCrae was writing his In Flanders Fields poem, Allinson silently watched and later recalled, “His face was very tired but calm as he wrote. He looked around from time to time, his eyes straying to Helmer's grave."

Within moments, John McCrae had completed the “In Flanders Fields” poem and when he was done, without a word, McCrae took his mail and handed the poem to Allinson.

Allinson was deeply moved:

“The (Flanders Fields) poem was an exact description of the scene in front of us both. He used the word blow in that line because the poppies actually were being blown that morning by a gentle east wind. It never occurred to me at that time that it would ever be published. It seemed to me just an exact description of the scene."

http://www.flandersfieldsmusic.com/thepoem.html

  • Biography of John McCrae Flanders Fields Author
    • Soldier - Boer War
    • John McCrae MD - Physician/Teacher
    • John McCrae Poet & Author
    • Expedition Doctor
    • John McCrae WWI
    • Lieutenant Colonel John McCrae
    • John McCrae Death
    • Wimereux Cemetery
    • John McCrae House - Museum
  • IN FLANDERS FIELDS POEM The World’s Most Famous WAR MEMORIAL POEM By Lieutenant Colonel John McCrae

WWI Britannica Encyclopedia Overview.pdf

A British soldier inside a trench on the Western

Front during World War I, 1914–18.

Hulton Archive/Getty Images

TABLE OF CONTENTS

Introduction

The outbreak of war Forces and resources of the combatant nations in 1914

Technology of war in 1914

The initial stages of the war Initial strategies The Schlieffen Plan

Eastern Front strategy, 1914

The strategy of the Western Allies, 1914

The war in the west, 1914 The German invasion

The First Battle of the Marne

The Eastern and other fronts, 1914 The war in the east, 1914

The Serbian campaign, 1914

The Turkish entry

The war at sea, 1914–15

The loss of the German colonies

The years of stalemate Rival strategies and the Dardanelles campaign, 1915–16

The Western and Eastern fronts, 1915 The Western Front, 1915

The Eastern Front, 1915

Other fronts, 1915–16 The Caucasus, 1914–16

Mesopotamia, 1914–April 1916

The Egyptian frontiers, 1915–July 1917

Italy and the Italian front, 1915–16

Serbia and the Salonika expedition, 1915–17

Major developments in 1916

A collection of significant facts about World

War I.

Encyclopædia Britannica, Inc.

World War I World War I, also called First World War or Great War , an international

conflict that in 1914–18

embroiled most of the nations

of Europe along with

Russia , the United States , the

Middle East , and other regions. The war pitted the

Central Powers —mainly

Germany , Austria-Hungary ,

and Turkey —against the

Allies—mainly France ,

Great Britain , Russia, Italy, Japan , and, from 1917, the United States. It ended with the defeat of the Central Powers. The war was virtually

unprecedented in the slaughter, carnage, and destruction it caused.

World War I was one of the

great watersheds of 20th-

century geopolitical history. It

led to the fall of four great

imperial dynasties (in Germany, Russia, Austria-

Hungary, and Turkey),

resulted in the Bolshevik

Revolution in Russia, and, in

its destabilization of

European society, laid the

groundwork for World War

II.

THE OUTBREAK OF WAR

With Serbia already much

aggrandized by the two

Balkan Wars (1912–13, 1913), Serbian nationalists

turned their attention back to the idea of “liberating” the South Slavs of

Austrian archduke Franz Ferdinand and his wife,

Sophie, riding in an open carriage at Sarajevo …

Henry Guttmann—Hulton Archive/Getty

Images

The Western Front, 1916

The Battle of Jutland

The Eastern Front, 1916

German strategy and the submarine war, 1916–January 1917

Peace moves and U.S. policy to February 1917

Developments in 1917 The Western Front, January–May 1917

The U.S. entry into the war

The Russian revolutions and the Eastern Front, March 1917–March 1918

Greek affairs

Caporetto

Mesopotamia, summer 1916–winter 1917

Palestine, autumn 1917

The Western Front, June–December 1917

The Far East

Naval operations, 1917–18

Air warfare

Peace moves, March 1917–September 1918

The last offensives and the Allies’ victory The Western Front, March–September 1918

Other developments in 1918 Czechs, Yugoslavs, and Poles

Eastern Europe and the Russian periphery, March–November 1918

The Balkan front, 1918

The Turkish fronts, 1918

Vittorio Veneto

The collapse of Austria-Hungary

The final offensive on the Western Front The end of the German war

The Armistice

Killed, wounded, and missing

Austria-Hungary . Colonel Dragutin Dimitrijević, head of Serbia’s military intelligence, was also, under the alias “Apis,” head of the secret society

Union or Death , pledged to the pursuit of this pan-Serbian ambition. Believing that the Serbs’ cause would be served by the death of the

Austrian archduke Franz Ferdinand , heir presumptive to the Austrian

emperor Franz Joseph , and learning that the Archduke was about to visit Bosnia on a tour of military inspection, Apis plotted his assassination.

Nikola Pašić, the Serbian prime minister and an enemy of Apis, heard of the plot and warned the Austrian government of it, but his message was

too cautiously worded to be understood.

At 11:15 AM on June 28, 1914,

in the Bosnian capital,

Sarajevo , Franz Ferdinand and his morganatic wife,

Sophie, duchess of

Hohenberg, were shot dead

by a Bosnian Serb, Gavrilo

Princip. The chief of the Austro-Hungarian general

staff, Franz, Graf (count)

Conrad von Hötzendorf, and

the foreign minister, Leopold, Graf von Berchtold, saw the crime as the

occasion for measures to humiliate Serbia and so to enhance Austria-

Hungary’s prestige in the Balkans. Conrad had already (October 1913)

been assured by William II of Germany ’s support if Austria-Hungary

should start a preventive war against Serbia. This assurance was confirmed in the week following the assassination, before William, on July

6, set off upon his annual cruise to the North Cape , off Norway .

The Austrians decided to present an unacceptable ultimatum to Serbia and

then to declare war, relying on Germany to deter Russia from intervention. Though the terms of the ultimatum were finally approved on

July 19, its delivery was postponed to the evening of July 23, since by that

time the French president, Raymond Poincaré , and his premier, René Viviani, who had set off on a state visit to Russia on July 15, would be on

their way home and therefore unable to concert an immediate reaction with

their Russian allies. When the delivery was announced, on July 24, Russia

declared that Austria-Hungary must not be allowed to crush Serbia.

Serbia replied to the ultimatum on July 25, accepting most of its demands

but protesting against two of them—namely, that Serbian officials

(unnamed) should be dismissed at Austria-Hungary’s behest and that Austro-Hungarian officials should take part, on Serbian

soil, in proceedings against organizations hostile to Austria-Hungary. Though Serbia offered to submit the issue to international

arbitration, Austria-Hungary promptly severed diplomatic relations and ordered partial mobilization.

Home from his cruise on July 27, William learned on July 28 how Serbia had replied to the ultimatum. At once he instructed the

German Foreign Office to tell Austria-Hungary that there was no longer any justification for war and that it should content itself

with a temporary occupation of Belgrade. But, meanwhile, the German Foreign Office had been giving such encouragement to

Berchtold that already on July 27 he had persuaded Franz Joseph to authorize war against Serbia. War was in fact declared on

July 28, and Austro-Hungarian artillery began to bombard Belgrade the next day. Russia then ordered partial mobilization

against Austria-Hungary, and on July 30, when Austria-Hungary was riposting conventionally with an order of mobilization on

its Russian frontier, Russia ordered general mobilization. Germany, which since July 28 had still been hoping, in disregard of

earlier warning hints from Great Britain, that Austria-Hungary’s war against Serbia could be “localized” to the Balkans, was

now disillusioned insofar as eastern Europe was concerned. On July 31 Germany sent a 24-hour ultimatum requiring Russia to

halt its mobilization and an 18-hour ultimatum requiring France to promise neutrality in the event of war between Russia and Germany.

Both Russia and France predictably ignored these demands. On August 1 Germany ordered general mobilization and declared

war against Russia, and France likewise ordered general mobilization. The next day Germany sent troops into Luxembourg and

demanded from Belgium free passage for German troops across its neutral territory. On August 3 Germany declared war against France.

In the night of August 3–4 German forces invaded Belgium. Thereupon, Great Britain , which had no concern with Serbia and no express obligation to fight either for Russia or for France but was expressly committed to defend Belgium, on August 4

declared war against Germany.

Austria-Hungary declared war against Russia on August 5; Serbia against Germany on August 6; Montenegro against Austria- Hungary on August 7 and against Germany on August 12; France and Great Britain against Austria-Hungary on August 10 and

on August 12, respectively; Japan against Germany on August 23; Austria-Hungary against Japan on August 25 and against Belgium on August 28.

Romania had renewed its secret anti-Russian alliance of 1883 with the Central Powers on February 26, 1914, but now chose to

remain neutral. Italy had confirmed the Triple Alliance on December 7, 1912, but could now propound formal arguments for disregarding it: first, Italy was not obliged to support its allies in a war of aggression; second, the original treaty of 1882 had

stated expressly that the alliance was not against England .

On September 5, 1914, Russia, France, and Great Britain concluded the Treaty of London, each promising not to make a

separate peace with the Central Powers. Thenceforth, they could be called the Allied, or Entente, powers, or simply the Allies.

The outbreak of war in August 1914 was generally greeted with confidence and jubilation by the peoples of Europe, among

whom it inspired a wave of patriotic feeling and celebration. Few people imagined how long or how disastrous a war between

the great nations of Europe could be, and most believed that their country’s side would be victorious within a matter of months.

The war was welcomed either patriotically, as a defensive one imposed by national necessity, or idealistically, as one for

upholding right against might, the sanctity of treaties, and international morality .

FORCES AND RESOURCES OF THE COMBATANT NATIONS IN 1914

When war broke out, the Allied powers possessed greater overall demographic , industrial, and military resources than the Central Powers and enjoyed easier access to the oceans for trade with neutral countries, particularly with the United States.

Table 1 shows the population, steel production, and armed strengths of the two rival coalitions in 1914.

Strength of the belligerents, Aug. 4, 1914

resources Central Powers Allied Powers

population (in millions) 115.2 265.5

steel production (in millions of metric tons) 17.0 15.3

army divisions available for mobilization in August 1914 146 212

modern battleships 20 39

All the initial belligerents in World War I were self-sufficient in food except Great Britain and Germany. Great Britain’s industrial establishment was slightly superior to Germany’s (17 percent of world trade in 1913 as compared with 12 percent for

Germany), but Germany’s diversified chemical industry facilitated the production of ersatz , or substitute, materials, which

compensated for the worst shortages ensuing from the British wartime blockade . The German chemist Fritz Haber was already

developing a process for the fixation of nitrogen from air; this process made Germany self-sufficient in explosives and thus no

longer dependent on imports of nitrates from Chile .

Of all the initial belligerent nations, only Great Britain had a volunteer army, and this was quite small at the start of the war. The other nations had much larger conscript armies that required three to four years of service from able-bodied males of

military age, to be followed by several years in reserve formations. Military strength on land was counted in terms of divisions

composed of 12,000–20,000 officers and men. Two or more divisions made up an army corps, and two or more corps made up

an army. An army could thus comprise anywhere from 50,000 to 250,000 men.

The land forces of the belligerent nations at the outbreak of war in August 1914 are shown in Table 2.

Land forces of the belligerents, Aug. 4, 1914

country regular divisions (with number of field armies) other land forces total manpower

Central Powers

Germany 98 (8) 27 Landwehr brigades 1,900,000

Austria-Hungary 48 (6) 450,000

Allied Powers

Russia 102 (6) 1,400,000

France 72 (5) 1,290,000

Serbia 11 (3) 190,000

Belgium 7 (1) 69,000 fortress troops 186,000

Great Britain 6 (1) 14 territorial divisions* 120,000

*Restricted in 1914 to service at home.

The higher state of discipline , training, leadership, and armament of the German army reduced the importance of the initial numerical inferiority of the armies of the Central Powers. Because of the comparative slowness of mobilization, poor higher

leadership, and lower scale of armament of the Russian armies, there was an approximate balance of forces between the Central

Powers and the Allies in August 1914 that prevented either side from gaining a quick victory.

Germany and Austria also enjoyed the advantage of “interior lines of communication,” which enabled them to send their forces

to critical points on the battlefronts by the shortest route. According to one estimate, Germany’s railway network made it

possible to move eight divisions simultaneously from the Western Front to the Eastern Front in four and a half days.

Even greater in importance was the advantage that Germany derived from its strong military traditions and its cadre of highly

efficient and disciplined regular officers. Skilled in directing a war of movement and quick to exploit the advantages of flank attacks, German senior officers were to prove generally more capable than their Allied counterparts at directing the operations

of large troop formations.

Sea power was largely reckoned in terms of capital ships, or dreadnought battleships and battle cruisers having extremely large

guns. Despite intensive competition from the Germans, the British had maintained their superiority in numbers, with the result

that, in capital ships, the Allies had an almost two-to-one advantage over the Central Powers.

The strength of the two principal rivals at sea, Great Britain and Germany, is compared in Table 3.

British and German naval strength, August 1914

type British German

dreadnought battleships 20 14

German infantrymen operating a Maxim

machine gun during World War I.

Imperial War Museum

French soldiers operating a Saint-Étienne

machine gun at the Somme, World War I.

Encyclopædia Britannica, Inc.

battle cruisers 9 4

pre-dreadnought battleships 39 22

armoured cruisers 34 9

cruisers 64 41

destroyers 301* 144

submarines 65 28

*Including Canadian, Australian, and New Zealand destroyers of all classes.

The numerical superiority of the British navy , however, was offset by the technological lead of the German navy in many categories, such as range-finding equipment, magazine protection, searchlights, torpedoes, and mines. Great Britain relied on

the Royal Navy not only to ensure necessary imports of food and other supplies in wartime but also to sever the Central Powers’ access to the markets of the world. With superior numbers of warships, Great Britain could impose a blockade that gradually

weakened Germany by preventing imports from overseas.

TECHNOLOGY OF WAR IN 1914

The planning and conduct of war in 1914 were crucially influenced by the

invention of new weapons and the improvement of existing types since the Franco-

German War of 1870–71. The chief developments of the intervening period had

been the machine gun and the rapid-fire field artillery gun . The modern machine gun, which had been developed in the 1880s and ’90s, was a reliable belt-fed gun

capable of sustained rates of extremely rapid fire; it could fire 600 bullets per

minute with a range of more than 1,000 yards (900 metres). In the realm of field

artillery, the period leading up to the war saw the introduction of improved breech-

loading mechanisms and brakes . Without a brake or recoil mechanism, a gun lurched out of position during firing and had to be re-aimed after each round. The

new improvements were epitomized in the French 75-millimetre field gun; it

remained motionless during firing, and it was not necessary to readjust the aim in

order to bring sustained fire on a target.

Machine guns and rapid-firing artillery, when used in combination with trenches

and barbed-wire emplacements, gave a decided advantage to the defense, since

these weapons’ rapid and sustained firepower could decimate a frontal assault by

either infantry or cavalry .

There was a considerable disparity in 1914 between the deadly effectiveness of

modern armaments and the doctrinal teachings of some armies. The South African

The French 75-mm cannon, the archetypal rapid-

firing gun from its introduction in 1897 through

Ian V. Hogg

War and the Russo-Japanese War had revealed the futility of frontal infantry or cavalry attacks on prepared positions when unaccompanied by surprise, but few

military leaders foresaw that the machine gun and the rapid-firing field gun would

force armies into trenches in order to survive. Instead, war was looked upon by

many leaders in 1914 as a contest of national wills, spirit, and courage. A prime

example of this attitude was the French army, which was dominated by the

doctrine of the offensive. French military doctrine called for headlong bayonet

charges of French infantrymen against the German rifles, machine guns, and

artillery. German military thinking, under the influence of Alfred, Graf von

Schlieffen, sought, unlike the French, to avoid frontal assaults but rather to achieve

an early decision by deep flanking attacks; and at the same time to make use of

reserve divisions alongside regular formations from the outset of war. The

Germans paid greater attention to training their officers in defensive tactics using machine guns, barbed wire , and fortifications.

THE INITIAL STAGES OF THE WAR

INITIAL STRATEGIES

THE SCHLIEFFEN PLAN

Years before 1914, successive chiefs of the German general staff had been foreseeing Germany’s having to fight a war on two

fronts at the same time, against Russia in the east and France in the west, whose combined strength was numerically superior to

the Central Powers’. The elder Helmuth von Moltke , chief of the German general staff from 1858 to 1888, decided that Germany should stay at first on the defensive in the west and deal a crippling blow to Russia’s advanced forces before turning

to counterattack the French advance. His immediate successor, Alfred von Waldersee, also believed in staying on the defensive

in the west. Alfred, Graf von Schlieffen, who served as chief of the German general staff from 1891 to 1905, took a contrary view, and it was the plan he developed that was to guide Germany’s initial wartime strategy. Schlieffen realized that on the

outbreak of war Russia would need six full weeks to mobilize and assemble its vast armies, given the immense Russian

countryside and population, the sparsity of the rail network, and the inefficiency of the government bureaucracy . Taking advantage of this fact, Schlieffen planned to initially adopt a purely defensive posture on the Eastern Front with a minimal

number of troops facing Russia’s slowly gathering armies. Germany would instead concentrate almost all of its troops in the

west against France and would seek to bypass France’s frontier fortifications by an offensive through neutral Belgium to the

north. This offensive would sweep westward and then southward through the heart of northern France, capturing the capital and

knocking that country out of the war within a few weeks. Having gained security in the west, Germany would then shift its

troops to the east and destroy the Russian menace with a similar concentration of forces.

By the time of his retirement in 1905, Schlieffen had elaborated a plan for a great wheeling movement of the right (northern)

wing of the German armies not only through central Belgium but also, in order to bypass the Belgian fortresses of Liège and

Namur in the Meuse valley, through the southernmost part of the Netherlands . With their right wing entering France near Lille, the Germans would continue to wheel westward until they were near the English Channel; they would then turn

southward so as to sever the French armies’ line of retreat from France’s eastern frontier to the south; and the outermost arc of

the wheel would sweep southward west of Paris , in order to avoid exposing the German right flank to a counterstroke launched

from the city’s outskirts. If the Schlieffen Plan succeeded, Germany’s armies would simultaneously encircle the French army

from the north, overrun all of northeastern France, and capture Paris , thus forcing France into a humiliating surrender. The

large wheeling movement that the plan envisaged required correspondingly large forces for its execution, in view of the need to keep up the numerical strength of the long-stretched marching line and the need to leave adequate detachments on guard over

the Belgian fortresses that had been bypassed. Accordingly, Schlieffen allocated nearly seven-eighths of Germany’s available troop strength to the execution of the wheeling movement by the right and centre wings, leaving only one-eighth to face a

possible French offensive on Germany’s western frontier. Thus, the maximum of strength was allocated to the wheel’s edge—

that is, to the right. Schlieffen’s plan was observed by the younger Helmuth von Moltke, who became chief of the general staff

in 1906. Moltke was still in office when war broke out in 1914.

EASTERN FRONT STRATEGY, 1914

Russian Poland , the westernmost part of the Russian Empire, was a thick tongue of land enclosed to the north by East Prussia ,

to the west by German Poland (Poznania) and by Silesia, and to the south by Austrian Poland (Galicia ). It was thus obviously exposed to a two-pronged invasion by the Central Powers, but the Germans, apart from their grand strategy of crushing France

before attempting anything against Russia, took note of the poverty of Russian Poland’s transportation network and so were

disinclined to overrun that vulnerable area prematurely. Austria-Hungary, however, whose frontier with Russia lay much farther east than Germany’s and who was moreover afraid of disaffection among the Slav minorities, urged some immediate

action to forestall a Russian offensive. Moltke therefore agreed to the Austrian general staff’s suggestion for a northeastward

thrust by the Austrian army into Russian Poland—the more readily because it would occupy the Russians during the crisis in

France.

The Russians, for their part, would have preferred to concentrate their immediately available forces against Austria and to leave

Germany undisturbed until their mobilization should have been completed. The French were anxious to relieve the German

pressure against themselves, however, and so they persuaded the Russians to undertake an offensive involving two armies

against the Germans in East Prussia simultaneously with one involving four armies against the Austrians in Galicia. The Russian army, whose proverbial slowness and unwieldy organization dictated a cautious strategy, thus undertook an extra

offensive against East Prussia that only an army of high mobility and tight organization could have hoped to execute

successfully.

THE STRATEGY OF THE WESTERN ALLIES, 1914

For some 30 years after 1870, considering the likelihood of another German war, the French high command had subscribed to

the strategy of an initial defensive to be followed by a counterstroke against the expected invasion: a great system of fortresses

was created on the frontier, but gaps were left in order to “canalize” the German attack. France’s alliance with Russia and its

entente with Great Britain, however, encouraged a reversal of plan, and after the turn of the century a new school of military thinkers began to argue for an offensive strategy. The advocates of the offensive à l’outrance (“to the utmost”) gained control

German sailors marching through the streets of

Brussels, 1914.

Encyclopædia Britannica, Inc.

of the French military machine, and in 1911 a spokesman of this school, General J.-J.-C. Joffre , was designated chief of the

general staff. He sponsored the notorious Plan XVII, with which France went to war in 1914.

Plan XVII gravely underestimated the strength that the Germans would deploy against France. Accepting the possibility that the Germans might employ their reserve troops along with regular troops at the outset, Plan XVII estimated the strength of the

German army in the west at a possible maximum of 68 infantry divisions. The Germans actually deployed the equivalent of 83

/ divisions, counting Landwehr (reserve troops) and Ersatz (low-grade substitute troops) divisions, but French military

opinion ignored or doubted this possibility; during the war’s crucial opening days, when the rival armies were concentrating and

moving forward, the French Intelligence counted only Germany’s regular divisions in its estimates of the enemy strength. This

was a serious miscalculation. Plan XVII also miscalculated the direction and scope of the coming onslaught: though it foresaw

an invasion through Belgium, it assumed that the Germans would take the route through the Ardennes, thereby exposing their

communications to attack. Basing itself on the idea of an immediate and general offensive, Plan XVII called for a French thrust

toward the Saar into Lorraine by the 1st and 2nd armies, while on the French left (the north) the 3rd and 5th armies, facing Metz and the Ardennes, respectively, stood ready either to launch an offensive between Metz and Thionville or to strike from

the north at the flank of any German drive through the Ardennes. When war broke out, it was taken for granted that the small

British Expeditionary Force (BEF) under Sir John French should be used as an adjunct to France’s forces, more or less as the French might see fit. It is clearly evident that the French were oblivious to the gigantic German offensive that was being aimed

at their left (northern) wing.

THE WAR IN THE WEST, 1914

THE GERMAN INVASION

For the smooth working of their plan for the invasion of France, the Germans had

preliminarily to reduce the ring fortress of Liège, which commanded the route

prescribed for their 1st and 2nd armies and which was the foremost stronghold of

the Belgian defenses. German troops crossed the frontier into Belgium on the

morning of August 4. Thanks to the resolution of a middle-aged staff officer, Erich

Ludendorff, a German brigade occupied the town of Liège itself in the night of August 5–6 and the citadel on August 7, but the surrounding forts held out

stubbornly until the Germans brought their heavy howitzers into action against

them on August 12. These 420-millimetre siege guns proved too formidable for

the forts, which one by one succumbed . The vanguard of the German invasion

was already pressing the Belgian field army between the Gete River and Brussels , when the last of the Liège forts fell on August 16. The Belgians then withdrew

northward to the entrenched camp of Antwerp . On August 20 the German 1st Army entered Brussels while the 2nd Army appeared before Namur, the one remaining fortress barring the Meuse route into France.

The initial clashes between the French and German armies along the Franco-German and Franco-Belgian frontiers are

collectively known as the Battle of the Frontiers . This group of engagements, which lasted from August 14 until the beginning

1

2

of the First Battle of the Marne on September 6, was to be the largest battle of the war and was perhaps the largest battle in

human history up to that time, given the fact that a total of more than two million troops were involved.

The planned French thrust into Lorraine , totaling 19 divisions, started on August 14 but was shattered by the German 6th and

7th armies in the Battle of Morhange-Sarrebourg (August 20–22). Yet this abortive French offensive had an indirect effect on the German plan. For when the French attack in Lorraine developed, Moltke was tempted momentarily to postpone the right-

wing sweep and instead to seek a victory in Lorraine. This fleeting impulse led him to divert to Lorraine the six newly formed

Ersatz divisions that had been intended to increase the weight of his right wing. This was the first of several impromptu

decisions by Moltke that were to fatally impair the execution of the Schlieffen Plan .

Meanwhile, the German imperial princes who commanded armies on the Germans’ left (southern) wing in Lorraine were

proving unwilling to forfeit their opportunity for personal glory. Crown Prince Rupert of Bavaria on August 20 ordered his 6th

Army to counterattack instead of continuing to fall back before the French advance as planned, and Crown Prince William of Germany ordered his 5th Army to do the same. The strategic result of these unplanned German offensives was merely to throw

the French back onto a fortified barrier that both restored and augmented their power of resistance. Thus, the French were soon

afterward enabled to dispatch troops to reinforce their left flank—a redistribution of strength that was to have far-reaching

results in the decisive Battle of the Marne.

While this seesaw campaign in Lorraine was taking place, more decisive events were occurring to the northwest. The German

attack on Liège had awakened Joffre to the reality of a German advance through Belgium, but not to its strength or to the

wideness of its sweep. In preparing a counterattack against the German advance through Belgium, Joffre envisaged a pincer

movement, with the French 3rd and 4th armies on the right and the 5th, supported by the BEF, on the left, to trap the Germans

in the Meuse–Ardennes area south of Liège. The fundamental flaw in this new French plan was that the Germans had deployed

about 50 percent more troops than the French had estimated, and for a vaster enveloping movement. Consequently, while the

right-hand claw of the French pincer (23 divisions) collided with the German 5th and 4th armies (20 divisions) in the Ardennes

and was thrown back, the left-hand claw (13 French and four British divisions) found itself nearly trapped between the German

1st and 2nd armies, with a total of 30 divisions, on the one hand, and the 3rd, on the other. As the French 5th Army, under

General Charles Lanrezac , was checked in its offensive south of the Sambre River by a German attack on August 21, the British, who reached Mons on August 22, at first agreed to stand there to cover Lanrezac’s left; but on August 23 news of the

fall of Namur and of the German 3rd Army’s presence near Dinant induced Lanrezac to wisely order a general retreat; and on

August 24 the British began their retreat from Mons, just in time to escape envelopment by the German 1st Army’s westward

march around their unprotected left flank.

At last Joffre realized the truth and the utter collapse of Plan XVII. Resolution was his greatest asset, and with imperturbable

coolness he formed a new plan out of the wreckage. Joffre decided to swing the Allied centre and left back southwestward from

the Belgian frontier to a line pivoted on the French fortress of Verdun and at the same time to withdraw some strength from the

right wing so as to be able to station a newly created 6th Army on the extreme left, north of Paris. This plan might, in turn, have

collapsed if the Germans had not themselves departed from Schlieffen’s original plan due to a combination of Moltke’s

indecisiveness, poor communications between his headquarters and the field army commanders of the German right wing, and

Moltke’s resulting confusion about the developing tactical situation. In the first place, the German right wing was weakened by

the subtraction of 11 divisions; four were detached to watch Antwerp and to invest French fortresses near the Belgian frontier,

instead of using reserve and Ersatz troops for this as earlier intended, and seven more regular divisions were transferred to

check the Russian advance into East Prussia (see below). In the second place, Alexander von Kluck , in command of the 1st Army, did in fact wheel inward north of Paris rather than southwest of the city.

Kluck’s change of direction meant the inevitable abandonment of the original wide sweep around the far (western) side of Paris.

Now the flank of this wheeling German line would pass the near side of Paris and across the face of the Paris defenses into the

valley of the Marne River . The premature inward wheel of Kluck’s 1st Army before Paris had been reached thus exposed the German extreme right wing to a flank attack and a possible counter-envelopment. On September 4 Moltke decided to abandon

the original Schlieffen Plan and substituted a new one: the German 4th and 5th armies should drive southeastward from the

Ardennes into French Lorraine west of Verdun and then converge with the southwestward advance of the 6th and 7th armies

from Alsace against the Toul–Épinal line of fortifications, so as to envelop the whole French right wing; the 1st and 2nd armies,

in the Marne valley, should stand guard, meanwhile, against any French countermove from the vicinity of Paris. But such an

Allied countermove had already begun before the new German plan could be put into effect.

THE FIRST BATTLE OF THE MARNE

Already on September 3, General J.-S. Gallieni , the military governor of Paris, had guessed the significance of the German 1st

Army’s swing inward to the Marne east of Paris. On September 4 Joffre, convinced by Gallieni’s arguments, decisively ordered his whole left wing to turn about from their retreat and to begin a general offensive against the Germans’ exposed right flank on

September 6. The French 6th Army, under M.-J. Maunoury , forewarned by Gallieni, had actually begun attacking on September 5, and its pressure caused Kluck finally to engage the whole 1st Army in support of his right flank when he was still no farther

up the Marne valley than Meaux, with nothing but a cavalry screen stretched across the 30 miles between him and Karl von

Bülow’s 2nd Army (at Montmirail). While the French 5th Army was turning to attack Bülow, the BEF (between the 5th and the

6th armies) was still continuing its retreat for another day, but on September 9 Bülow learned that the British too had turned and

were advancing into the gap between him and Kluck. He therefore ordered the 2nd Army to retreat, thus obliging Kluck to do

likewise with the 1st. The counterattack of the French 5th and 6th armies and the BEF developed into a general counterattack by

the entire left and centre of the French army. This counterattack is known as the First Battle of the Marne. By September 11 the

German retreat extended to all the German armies.

There were several reasons for this extraordinary turn of events. Chief among them was the utter exhaustion of the German

soldiery of the right wing, some of whom had marched more than 150 miles (240 kilometres) under conditions of frequent

battle. Their fatigue was ultimately a by-product of the Schlieffen Plan itself, for while the retreating French had been able to

move troops by rail to various points within the circle formed by the front, the German troops had found their advance

hampered by demolished bridges and destroyed rail lines. Their food and ammunition supply was consequently restricted, and

the troops also had to make their advance by foot. Moreover, the Germans had underestimated the resilient spirit of the French troops, who had maintained their courage and morale and their confidence in their commanders. This fact was strikingly

evidenced by the comparatively small number of prisoners taken by the Germans in the course of what was undeniably a

precipitous French retreat.

Meanwhile, the assault by the German 6th and 7th armies on the defenses of the French eastern frontier had already proved a

predictably expensive failure, and the German attempt at a partial envelopment pivoted on Verdun was abandoned. The German

right wing withdrew northward from the Marne and made a firm stand along the Lower Aisne River and the Chemin des Dames

ridge. Along the Aisne the preponderant power of the defense over the offense was reemphasized as the Germans repelled

successive Allied attacks from the shelter of trenches. The First Battle of the Aisne marked the real beginning of trench warfare on the Western Front. Both sides were in the process of discovering that, in lieu of frontal assaults for which neither had the

manpower readily available, the only alternative was to try to overlap and envelop the other’s flank, in this case the one on the side pointing toward the North Sea and the English Channel. Thus began the “Race to the Sea,” in which the developing trench

networks of both sides were quickly extended northwestward until they reached the Atlantic at a point just inside coastal

Belgium, west of Ostend.

The First Battle of the Marne succeeded in pushing the Germans back for a distance of 40 to 50 miles and thus saved the capital

city of Paris from capture. In this respect it was a great strategic victory, since it enabled the French to renew their confidence

and to continue the war. But the great German offensive, though unsuccessful in its object of knocking France out of the war,

had enabled the Germans to capture a large portion of northeastern France. The loss of this heavily industrialized region, which

contained much of the country’s coal, iron, and steel production, was a serious blow to the continuation of the French war effort.

The Belgian army, meanwhile, had fallen back to the fortress city of Antwerp , which ended up behind the German lines. The Germans began a heavy bombardment of Antwerp on September 28, and Antwerp surrendered to the Germans on October 10.

After the failure of his first two attempts to turn the Germans’ western flank (one on the Somme, the other near Arras), Joffre

obstinately decided to try again yet farther north with the BEF—which in any case was being moved northward from the Aisne.

The BEF, accordingly, was deployed between La Bassée and Ypres, while on the left the Belgians—who had wisely declined to

participate in the projected attack—continued the front along the Yser down to the Channel. Erich von Falkenhayn , however, who on September 14 had succeeded Moltke as chief of the German general staff, had foreseen what was coming and had

prepared a counterplan: one of his armies, transferred from Lorraine , was to check the expected offensive, while another was to

sweep down the coast and crush the attackers’ left flank. The British attack was launched from Ypres on October 19, the

German thrust the next day. Though the Belgians of the Yser had been under increasing pressure for two days already, both Sir

John French and Ferdinand Foch , Joffre’s deputy in the north, were slow to appreciate what was happening to their “offensive,” but in the night of October 29–30 the Belgians had to open the sluices on the Yser River to save themselves by flooding the

Germans’ path down the coast. The Battle of Ypres had its worst crises on October 31 and November 11 and did not die down

into trench warfare until November 22.

By the end of 1914 the casualties the French had so far sustained in the war totaled about 380,000 killed and 600,000 wounded;

the Germans had lost a slightly smaller number. With the repulse of the German attempt to break through at the Battle of Ypres, the strained and exhausted armies of both sides settled down into trench warfare. The trench barrier was consolidated from the

Swiss frontier to the Atlantic; the power of modern defense had triumphed over the attack, and stalemate ensued. The military

history of the Western Front during the next three years was to be a story of the Allies’ attempts to break this deadlock.

THE EASTERN AND OTHER FRONTS, 1914

THE WAR IN THE EAST, 1914

On the Eastern Front , greater distances and quite considerable differences between the equipment and quality of the opposing armies ensured a fluidity of the front that was lacking in the west. Trench lines might form, but to break them was not difficult,

particularly for the German army, and then mobile operations of the old style could be undertaken.

Urged by the French to take offensive action against the Germans, the Russian commander in chief, Grand Duke Nicholas , took it loyally but prematurely, before the cumbrous Russian war machine was ready, by launching a pincer movement against East

Prussia. Under the higher control of General Ya.G. Zhilinsky , two armies, the 1st, or Vilna, Army under P.K. Rennenkampf and

the 2nd, or Warsaw, Army under A.V. Samsonov, were to converge, with a two-to-one superiority in numbers, on the German 8th Army in East Prussia from the east and the south, respectively. Rennenkampf’s left flank would be separated by 50 miles

from Samsonov’s right flank.

Max von Prittwitz und Gaffron , commander of the 8th Army, with his headquarters at Neidenburg (Nidzica), had seven

divisions and one cavalry division on his eastern front but only the three divisions of Friedrich von Scholtz ’s XX Corps on his

southern. He was therefore dismayed to learn, on August 20, when the bulk of his forces had been repulsed at Gumbinnen (August 19–20) by Rennenkampf’s attack from the east, that Samsonov’s 13 divisions had crossed the southern frontier of East

Prussia and were thus threatening his rear. He initially considered a general retreat, but when his staff objected to this, he

approved their counterproposal of an attack on Samsonov’s left flank, for which purpose three divisions were to be switched in

haste by rail from the Gumbinnen front to reinforce Scholtz (the rest of the Gumbinnen troops could make their retreat by road).

The principal exponent of this counterproposal was Lieutenant Colonel Max Hoffmann . Prittwitz, having moved his

headquarters northward to Mühlhausen (Młynary), was surprised on August 22 by a telegram announcing that General Paul von

Hindenburg, with Ludendorff as his chief of staff, was coming to supersede him in command. Arriving the next day, Ludendorff

readily confirmed Hoffmann’s dispositions for the blow at Samsonov’s left.

Meanwhile, Zhilinsky was not only giving Rennenkampf time to reorganize after Gumbinnen but even instructing him to invest

Königsberg instead of pressing on to the west. When the Germans on August 25 learned from an intercepted Russian wireless

message (the Russians habitually transmitted combat directives “in clear,” not in code) that Rennenkampf was in no hurry to

advance, Ludendorff saw a new opportunity. Developing the plan put forward by Hoffmann, Ludendorff concentrated about six

divisions against Samsonov’s left wing. This force, inferior in strength, could not have been decisive, but Ludendorff then took

the calculated risk of withdrawing the rest of the German troops, except for a cavalry screen, from their confrontation with

Rennenkampf and rushing them southwestward against Samsonov’s right wing. Thus, August von Mackensen ’s XVII Corps was taken from near Gumbinnen and moved southward to duplicate the planned German attack on Samsonov’s left with an

attack on his right, thus completely enveloping the Russian 2nd Army. This daring move was made possible by the notable

absence of communication between the two Russian field commanders, whom Hoffmann knew to personally dislike each other.

Under the Germans’ converging blows Samsonov’s flanks were crushed and his centre surrounded during August 26–31. The

outcome of this military masterpiece, called the Battle of Tannenberg , was the destruction or capture of almost the whole of

Samsonov’s army. The history of imperial Russia’s unfortunate participation in World War I is epitomized in the ignominious

outcome of the Battle of Tannenberg.

The progress of the battle was as follows. Samsonov, his forces spread out along a front 60 miles long, was gradually pushing

Scholtz back toward the Allenstein–Osterode (Olsztyn–Ostróda) line when, on August 26, Ludendorff ordered General

Hermann von François , with the I Corps on Scholtz’s right, to attack Samsonov’s left wing near Usdau (Uzdowo). There, on August 27, German artillery bombardments threw the hungry and weary Russians into precipitate flight. François started to

pursue them toward Neidenburg, in the rear of the Russian centre, and then made a momentary diversion southward, to check a

Russian counterattack from Soldau (Działdowo). Two of the Russian 2nd Army’s six army corps managed to escape

southeastward at this point, and François then resumed his pursuit to the east. By nightfall on August 29 his troops were in

control of the road leading from Neidenburg eastward to Willenberg (Wielbark). The Russian centre, amounting to three army

corps, was now caught in the maze of forest between Allenstein and the frontier of Russian Poland. It had no line of retreat, was

surrounded by the Germans, and soon dissolved into mobs of hungry and exhausted men who beat feebly against the encircling

German ring and then allowed themselves to be taken prisoner by the thousands. Samsonov shot himself in despair on August

29. By the end of August the Germans had taken 92,000 prisoners and annihilated half of the Russian 2nd Army. Ludendorff’s bold recall of the last German forces facing Rennenkampf’s army was wholly justified in the event, since Rennenkampf

remained utterly passive while Samsonov’s army was surrounded.

Having received two fresh army corps (seven divisions) from the Western Front, the Germans now turned on the slowly

advancing 1st Army under Rennenkampf. The latter was attacked on a line extending from east of Königsberg to the southern

end of the chain of the Masurian Lakes during September 1–15 and was driven from East Prussia. As a result of these East

Prussian battles Russia had lost about 250,000 men and, what could be afforded still less, much war matériel. But the invasion

of East Prussia had at least helped to make possible the French comeback on the Marne by causing the dispatch of two German

army corps from the Western Front.

Having ended the Russian threat to East Prussia, the Germans could afford to switch the bulk of their forces from that area to

the Częstochowa–Kraków front in southwestern Poland, where the Austrian offensive, launched on August 20, had been rolled

back by Russian counterattacks. A new plan for simultaneous thrusts by the Germans toward Warsaw and by the Austrians

toward Przemyśl was brought to nothing by the end of October, as the Russians could now mount counterattacks in

overwhelming strength, their mobilization being at last nearly completed. The Russians then mounted a powerful effort to

invade Prussian Silesia with a huge phalanx of seven armies. Allied hopes rose high as the much-heralded “Russian steamroller” (as the huge Russian army was called) began its ponderous advance. The Russian armies were advancing toward

Silesia when Hindenburg and Ludendorff, in November, exploited the superiority of the German railway network: when the

retreating German forces had crossed the frontier back into Prussian Silesia, they were promptly moved northward into Prussian

Poland and thence sent southeastward to drive a wedge between the two armies of the Russian right flank. The massive Russian

operation against Silesia was disorganized, and within a week four new German army corps had arrived from the Western Front.

Ludendorff was able to use them to press the Russians back by mid-December to the Bzura–Rawka (rivers) line in front of

Warsaw, and the depletion of their munition supplies compelled the Russians to also fall back in Galicia to trench lines along

the Nida and Dunajec rivers.

THE SERBIAN CAMPAIGN, 1914

The first Austrian invasion of Serbia was launched with numerical inferiority (part of one of the armies originally destined for

the Balkan front having been diverted to the Eastern Front on August 18), and the able Serbian commander, Radomir Putnik , brought the invasion to an early end by his victories on the Cer Mountain (August 15–20) and at Šabac (August 21–24). In early

September, however, Putnik’s subsequent northward offensive on the Sava River , in the north, had to be broken off when the Austrians began a second offensive, against the Serbs’ western front on the Drina River. After some weeks of deadlock, the

Austrians began a third offensive, which had some success in the Battle of the Kolubara , and forced the Serbs to evacuate

Belgrade on November 30, but by December 15 a Serbian counterattack had retaken Belgrade and forced the Austrians to

retreat. Mud and exhaustion kept the Serbs from turning the Austrian retreat into a rout, but the victory sufficed to allow Serbia a long spell of freedom from further Austrian advances.

THE TURKISH ENTRY

The entry of Turkey (or the Ottoman Empire , as it was then called) into the war as a German ally was the one great success of

German wartime diplomacy. Since 1909 Turkey had been under the control of the Young Turks , over whom Germany had

skillfully gained a dominating influence. German military instructors permeated the Turkish army, and Enver Paşa, the leader of the Young Turks, saw alliance with Germany as the best way of serving Turkey’s interests, in particular for protection against

the Russian threat to the straits. He therefore persuaded the grand vizier, Said Halim Paşa, to make a secret treaty (negotiated late in July, signed on August 2) pledging Turkey to the German side if Germany should have to take Austria-Hungary’s side

against Russia. The unforeseen entry of Great Britain into the war against Germany alarmed the Turks, but the timely arrival of

two German warships, the Goeben and the Breslau, in the Dardanelles on August 10 turned the scales in favour of Enver’s

policy. The ships were ostensibly sold to Turkey, but they retained their German crews. The Turks began detaining British

ships, and more anti-British provocations followed, both in the straits and on the Egyptian frontier. Finally the Goeben led the

Turkish fleet across the Black Sea to bombard Odessa and other Russian ports (October 29–30). Russia declared war against

Turkey on November 1; and the western Allies, after an ineffective bombardment of the outer forts of the Dardanelles on

November 3, declared war likewise on November 5. A British force from India occupied Basra, on the Persian Gulf, on

November 21. In the winter of 1914–15 Turkish offensives in the Caucasus and in the Sinai Desert , albeit abortive, served

German strategy well by tying Russian and British forces down in those peripheral areas.

THE WAR AT SEA, 1914–15

In August 1914 Great Britain, with 29 capital ships ready and 13 under construction, and Germany, with 18 and nine, were the

two great rival sea powers. Neither of them at first wanted a direct confrontation: the British were chiefly concerned with the

protection of their trade routes; the Germans hoped that mines and submarine attacks would gradually destroy Great Britain’s

numerical superiority, so that confrontation could eventually take place on equal terms.

The first significant encounter between the two navies was that of the Helgoland Bight, on August 28, 1914, when a British

force under Admiral Sir David Beatty , having entered German home waters, sank or damaged several German light cruisers and killed or captured 1,000 men at a cost of one British ship damaged and 35 deaths. For the following months the Germans in

European or British waters confined themselves to submarine warfare—not without some notable successes: on September 22

a single German submarine, or U-boat , sank three British cruisers within an hour; on October 7 a U-boat made its way into the

anchorage of Loch Ewe, on the west coast of Scotland; on October 15 the British cruiser Hawke was torpedoed; and on October 27 the British battleship Audacious was sunk by a mine.

On December 15 battle cruisers of the German High Seas Fleet set off on a sortie across the North Sea , under the command of

Admiral Franz von Hipper : they bombarded several British towns and then made their way home safely. Hipper’s next sortie,

however, was intercepted on its way out: on January 24, 1915, in the Battle of the Dogger Bank, the German cruiser Blücher was sunk and two other cruisers damaged before the Germans could make their escape.

Abroad on the high seas, the Germans’ most powerful surface force was the East Asiatic squadron of fast cruisers, including the

Scharnhorst, the Gneisenau, and the Nürnberg, under Admiral Graf Maximilian von Spee . For four months this fleet ranged

almost unhindered over the Pacific Ocean , while the Emden, having joined the squadron in August 1914, was detached for

service in the Indian Ocean . The Germans could thus threaten not only merchant shipping on the British trade routes but also

troopships on their way to Europe or the Middle East from India, New Zealand, or Australia . The Emden sank merchant ships

in the Bay of Bengal, bombarded Madras (September 22; now Chennai, India), haunted the approaches to Ceylon (Sri Lanka ),

and had destroyed 15 Allied ships in all before it was caught and sunk off the Cocos Islands on November 9 by the Australian cruiser Sydney.

Meanwhile, Admiral von Spee’s main squadron since August had been threading a devious course in the Pacific from the

Caroline Islands toward the Chilean coast and had been joined by two more cruisers, the Leipzig and the Dresden. On

November 1, in the Battle of Coronel , it inflicted a sensational defeat on a British force, under Sir Christopher Cradock, which had sailed from the Atlantic to hunt it down: without losing a single ship, it sank Cradock’s two major cruisers, Cradock himself

being killed. But the fortunes of the war on the high seas were reversed when, on December 8, the German squadron attacked

the Falkland (Malvinas) Islands in the South Atlantic, probably unaware of the naval strength that the British, since Coronel,

had been concentrating there under Admiral Sir Doveton Sturdee : two battle cruisers (the Invincible and Inflexible, each equipped with eight 12-inch guns) and six other cruisers. The German ships were suffering from wear and tear after their long

cruise in the Pacific and were no match for the newer, faster British ships, which soon overtook them. The Scharnhorst, with

Admiral von Spee aboard, was the first ship to be sunk, then the Gneisenau, followed by the Nürnberg and the Leipzig. The

British ships, which had fought at long range so as to render useless the smaller guns of the Germans, sustained only 25

casualties in this engagement. When the German light cruiser Dresden was caught and sunk off the Juan Fernández Islands on March 14, 1915, commerce raiding by German surface ships on the high seas was at an end. It was just beginning by German

submarines, however.

The belligerent navies were employed as much in interfering with commerce as in fighting each other. Immediately after the

outbreak of war, the British had instituted an economic blockade of Germany, with the aim of preventing all supplies reaching

that country from the outside world. The two routes by which supplies could reach German ports were: (1) through the English

Channel and the Strait of Dover and (2) around the north of Scotland . A minefield laid in the Strait of Dover with a narrow free lane made it fairly easy to intercept and search ships using the Channel. To the north of Scotland, however, there was an area of

more than 200,000 square miles (520,000 square kilometres) to be patrolled, and the task was assigned to a squadron of armed

merchant cruisers. During the early months of the war, only absolute contraband such as guns and ammunition was restricted,

but the list was gradually extended to include almost all material that might be of use to the enemy.

The prevention of the free passage of trading ships led to considerable difficulties among the neutral nations, particularly with

the United States, whose trading interests were hampered by British policy. Nevertheless, the British blockade was extremely

effective, and during 1915 the British patrols stopped and inspected more than 3,000 vessels, of which 743 were sent into port

for examination. Outward-bound trade from Germany was brought to a complete standstill.

The Germans similarly sought to attack Great Britain’s economy with a campaign against its supply lines of merchant shipping.

In 1915, however, with their surface commerce raiders eliminated from the conflict, they were forced to rely entirely on the

submarine .

The Germans began their submarine campaign against commerce by sinking a British merchant steamship (Glitra), after

evacuating the crew, on October 20, 1914. A number of other sinkings followed, and the Germans soon became convinced that

the submarine would be able to bring the British to an early peace where the commerce raiders on the high seas had failed. On

January 30, 1915, Germany carried the campaign a stage further by torpedoing three British steamers (Tokomaru, Ikaria, and

Oriole) without warning. They next announced, on February 4, that from February 18 they would treat the waters around the

British Isles as a war zone in which all Allied merchant ships were to be destroyed, and in which no ship, whether enemy or not,

would be immune.

Yet, whereas the Allied blockade was preventing almost all trade for Germany from reaching that nation’s ports, the German

submarine campaign yielded less satisfactory results. During the first week of the campaign seven Allied or Allied-bound ships

were sunk out of 11 attacked, but 1,370 others sailed without being harassed by the German submarines. In the whole of March

1915, during which 6,000 sailings were recorded, only 21 ships were sunk, and in April only 23 ships from a similar number.

Apart from its lack of positive success, the U-boat arm was continuously harried by Great Britain’s extensive antisubmarine

measures, which included nets, specially armed merchant ships, hydrophones for locating the noise of a submarine’s engines,

and depth bombs for destroying it underwater.

For the Germans, a worse result than any of the British countermeasures imposed on them was the long-term growth of hostility

on the part of the neutral countries. Certainly the neutrals were far from happy with the British blockade, but the German

declaration of the war zone and subsequent events turned them progressively away from their attitude of sympathy for

Germany. The hardening of their outlook began in February 1915, when the Norwegian steamship Belridge, carrying oil from

New Orleans to Amsterdam, was torpedoed and sunk in the English Channel. The Germans continued to sink neutral ships occasionally, and undecided countries soon began to adopt a hostile outlook toward this activity when the safety of their own

shipping was threatened.

Much more serious was an action that confirmed the inability of the German

command to perceive that a minor tactical success could constitute a strategic blunder of the most extreme magnitude. This was the sinking by a German

submarine on May 7, 1915, of the British liner Lusitania, which was on its way

The New York Herald reporting the sinking of

the Lusitania, a …

Hulton Archive/Getty Images

from New York to Liverpool : though the ship was in fact carrying 173 tons of

ammunition , it had nearly 2,000 civilian passengers, and the 1,198 people who were drowned included 128 U.S. citizens. The loss of the liner and so many of its

passengers, including the Americans, aroused a wave of indignation in the United

States, and it was fully expected that a declaration of war might follow. But the

U.S. government clung to its policy of neutrality and contented itself with sending

several notes of protest to Germany. Despite this, the Germans persisted in their

intention and, on August 17, sank the Arabic, which also had U.S. and other

neutral passengers. Following a new U.S. protest, the Germans undertook to ensure

the safety of passengers before sinking liners henceforth; but only after the

torpedoing of yet another liner, the Hesperia, did Germany, on September 18,

decide to suspend its submarine campaign in the English Channel and west of the

British Isles , for fear of provoking the United States further. The German civilian statesmen had temporarily prevailed over the naval high command, which

advocated “unrestricted” submarine warfare.

THE LOSS OF THE GERMAN COLONIES

Germany’s overseas colonies, virtually without hope of reinforcement from Europe, defended themselves with varying degrees

of success against Allied attack.

Togoland was conquered by British forces from the Gold Coast (now Ghana) and by French forces from Dahomey (now

Benin) in the first month of the war. In the Cameroons (German: Kamerun), invaded by Allied forces from the south, the east, and the northwest in August 1914 and attacked from the sea in the west, the Germans put up a more effective resistance, and the

last German stronghold there, Mora, held out until February 18, 1916.

Operations by South African forces in huge numerical superiority were launched against German South West Africa (Namibia ) in September 1914 but were held up by the pro-German rebellion of certain South African officers who had fought against the

British in the South African War of 1899–1902. The rebellion died out in February 1915, but the Germans in South West Africa

nevertheless did not capitulate until July 9.

In Jiaozhou (Kiaochow) Bay a small German enclave on the Chinese coast, the port of Qingdao (Tsingtao) was the object of

Japanese attack from September 1914. With some help from British troops and from Allied warships, the Japanese captured it

on November 7. In October, meanwhile, the Japanese had occupied the Marianas, the Caroline Islands , and the Marshalls in the

North Pacific, these islands being defenseless since the departure of Admiral von Spee’s naval squadron.

In the South Pacific, Western Samoa (now Samoa) fell without blood at the end of August 1914 to a New Zealand force

supported by Australian, British, and French warships. In September an Australian invasion of Neu-Pommern (New Britain )

won the surrender of the whole colony of German New Guinea within a few weeks.

The story of German East Africa (comprising present-day Rwanda , Burundi , and continental Tanzania ) was very different, thanks to the quality of the local askaris (European-trained African troops) and to the military genius of the German commander

Paul von Lettow-Vorbeck . A landing of troops from India was repelled with ignominy by the Germans in November 1914. A

massive invasion from the north, comprising British and colonial troops under the South African J.C. Smuts , was launched in February 1916, to be coordinated with a Belgian invasion from the west and with an independent British one from Nyasaland in

the south, but, though Dar es Salaam fell to Smuts and Tabora to the Belgians in September, Lettow-Vorbeck maintained his

small force in being. In November 1917 he began to move southward across Portuguese East Africa (Germany had declared war

on Portugal in March 1916), and, after crossing back into German East Africa in September 1918, he turned southwestward to

invade Northern Rhodesia in October. Having taken Kasama on November 9 (two days before the German armistice in Europe), he finally surrendered on November 25. With some 12,000 men at the outset, he eventually tied down 130,000 or more

Allied troops.

THE YEARS OF STALEMATE

RIVAL STRATEGIES AND THE DARDANELLES CAMPAIGN, 1915–16

By late 1914 the state of deadlock on the Western Front had become clear to the governments of the warring countries and even

to many members of their general staffs. Each side sought a solution to this deadlock, and the solutions varied in form and

manner.

Erich von Falkenhayn had succeeded the dispirited Moltke as chief of the German general staff in September 1914. By the end

of 1914 Falkenhayn seems to have concluded that although the final decision would be reached in the West, Germany had no immediate prospect of success there, and that the only practicable theatre of operations in the near future was the Eastern Front,

however inconclusive those operations might be. Falkenhayn was convinced of the strength of the Allied trench barrier in

France , so he took the momentous decision to stand on the defensive in the West.

Falkenhayn saw that a long war was now inevitable and set to work to develop Germany’s resources for such a warfare of

attrition . Thus, the technique of field entrenchment was carried to a higher pitch by the Germans than by any other country; Germany’s military railways were expanded for the lateral movement of reserves; and the problem of the supply of munitions

and of the raw materials for their manufacture was tackled so energetically and comprehensively that an ample flow was

ensured from the spring of 1915 onward—a time when the British were only awakening to the problem. Here were laid the

foundations of that economic organization and utilization of resources that was to be the secret of Germany’s power to resist the

pressure of the British blockade.

British Mark I tank with anti-bomb roof and

“tail,” 1916.

Courtesy of the Imperial War Museum,

London; photograph, Camera Press/Globe

Photos

Allied troops lining the shore at "ANZAC Cove"

on the Gallipoli Peninsula. The cove was named

after …

Hulton Archive/Getty Images

The western Allies were divided into two camps about strategy. Joffre and most of the French general staff, backed by the

British field marshal Sir John French , argued for continuing assaults on the Germans’ entrenched line in France, despite the continued attrition of French forces that this strategy entailed. Apart from this, the French high command was singularly lacking

in ideas to break the deadlock of trench warfare. While desire to hold on to territorial gains governed the German strategy, the

desire to recover lost territory dominated the French.

British-inspired solutions to the deadlock crystallized into two main groups, one

tactical, the other strategical. The first was to unlock the trench barrier by inventing

a machine that would be invulnerable to machine guns and capable of crossing

trenches and would thus restore the tactical balance upset by the new

preponderance of defensive over offensive power. The idea of such a machine was

conceived by Colonel Ernest Swinton in October 1914, was nourished and tended

in infancy by Winston Churchill , then first lord of the Admiralty, and ultimately, after months of experiment hampered by official opposition, came to maturity in

1916 in the weapon known as the tank . Some of the British strategists, on the other hand, argued that instead of seeking a breakthrough on the Germans’ impregnable

Western Front, the Allies should turn the whole position of the Central Powers either by an offensive through the Balkans or even by a landing on Germany’s

Baltic coast. Joffre and his supporters won the argument, and the Balkan projects

were relinquished in favour of a concentration of effort on the Western Front. But misgivings were not silenced, and a situation

arose that revived the Middle Eastern scheme in a new if attenuated form.

Early in January 1915 the Russians, threatened by the Turks in the Caucasus ,

appealed to the British for some relieving action against Turkey . The British, after

acrimonious argument among themselves, decided in favour of “a naval expedition in February to bombard and take the Gallipoli Peninsula (the western

shore of the Dardanelles), with Constantinople as its objective.” Though

subsequently it was agreed that army troops might be provided to hold the shores if

the fleet forced the Straits, the naval attack began on February 19 without army

support. When at last Sir Ian Hamilton’s troops from Egypt began to land on the Turkish shores, on April 25, the Turks and their German commander, Otto Liman

von Sanders, had had ample time to prepare adequate fortifications, and the

defending armies were now six times as large as when the campaign opened.

Against resolute opposition from the local Turkish commander (Mustafa Kemal, the future Atatürk), Australian and New

Zealand troops won a bridgehead at “Anzac Cove,” north of Kaba Tepe, on the Aegean side of the peninsula, with some 20,000

men landing in the first two days. The British, meanwhile, tried to land at five points around Cape Helles but established footholds only at three of them and then asked for reinforcements. Thereafter little progress was made, and the Turks took

advantage of the British halt to bring into the peninsula as many troops as possible. The standstill of the enterprise led to a

political crisis in London between Churchill, the Liberal government’s first lord of the Admiralty, who, after earlier doubts, had

British army officers in a trench at “Anzac Cove”

during the Gallipoli Campaign of …

© Mary Evans Picture Library Ltd/age

fotostock

made himself the foremost spokesman of the Dardanelles operation, and John, Lord Fisher , the first sea lord, who had always expressed doubts about it. Fisher demanded on May 14 that the operation be discontinued and, when he was overruled, resigned

the next day. The Liberal government was replaced by a coalition, but Churchill, though relieved of his former post, remained in

the War Council of the Cabinet.

In July the British began sending five more divisions to the peninsula, and a new

plan was hatched. In the hope of cutting the Turks’ north–south communications

down the peninsula by seizing the Sari Bair heights, which commanded the Straits

from the west, the British reinforced the bridgehead at “Anzac Cove” and, in the

night of August 6–7, landed more troops at Suvla Bay (Anafarta Limanı), farther to

the north. Within a few days, both the offensive from “Anzac” and the new landing

had proved ineffectual. More argument ensued in the War Council, and only late in

the year was it acknowledged that the initially promising but ill-conducted

enterprise should be given up. The evacuation of the troops was carried out from

Suvla Bay and from “Anzac Cove” under cover of darkness in December 1915,

and from the Cape Helles beaches in January 1916. The Dardanelles campaign thus

came to a frustrating end. Had it succeeded it might well have ended Turkey’s

participation in the war. In failing, it had cost about 214,000 casualties and

achieved nothing.

THE WESTERN AND EASTERN FRONTS, 1915

THE WESTERN FRONT, 1915

Repeated French attacks in February–March 1915 on the Germans’ trench barrier in Champagne won only 500 yards (460

metres) of ground at a cost of 50,000 men. For the British, Sir Douglas Haig’s 1st Army, between Armentières and Lens, tried a

new experiment at Neuve-Chapelle on March 10, when its artillery opened an intense bombardment on a 2,000-yard front and then, after 35 minutes, lengthened its range, so that the attacking British infantry, behind the second screen of shells, could

overrun the trenches ravaged by the first. But the experiment’s immediate result was merely loss of life, both because shortage

of munitions made the second barrage inadequate and because there was a five-hour delay in launching the infantry assault, against which the Germans, having overcome their initial surprise, had time to rally their resistance. It was clear to the Allies

that this small-scale tactical experiment had missed success only by a narrow margin and that there was scope for its

development. But the Allied commands missed the true lesson, which was that a surprise attack could be successfully made

immediately following a short bombardment that compensated for its brevity by its intensity. Instead, they drew the superficial deduction that mere volume of shellfire was the key to reducing a trench line prior to an assault. Not until 1917 did they revert

to the Neuve-Chapelle method. It was left to the Germans to profit from the experiment. In the meantime, a French offensive in

April against the Germans’ Saint-Mihiel salient , southeast of Verdun, sacrificed 64,000 men to no effect.

The Germans, in accordance with Falkenhayn’s strategy, remained generally on the defensive in the West. They did, however,

launch an attack on the Allies’ Ypres salient (where the French had in November 1914 taken the place of the British). There, on

Russian troops in the trenches at the East

Prussian frontier.

Encyclopædia Britannica, Inc.

April 22, 1915, they used chlorine gas for the first time on the Western Front, but they made the mistake of discharging it from cylinders (which were dependent on a favourable wind) rather than lobbing it onto the enemy trenches in artillery shells. The

gas did throw the agonized defenders into chaotic flight; but the German high command, having been disappointed by the new

weapon’s performance under adverse conditions in Poland earlier in the year, had failed to provide adequate reserves to exploit

its unforeseen success. By the end of a month-long battle, the Allies’ front was only slightly retracted.

On May 9, meanwhile, the Allies had launched yet another premature offensive, combining a major French onslaught between

Lens and Arras with two thrusts by Haig’s 1st Army, from Festubert and from Fromelles, against the Aubers Ridge north of

Lens. The French prolonged their effort until June 18, losing 102,000 men without securing any gain; the British, still short of

shells against the Germans’ mass of machine guns, had suspended their attacks three weeks earlier.

An even worse military failure was the joint offensive launched by the Allies on Sept. 25, 1915. While 27 French divisions with

850 heavy guns attacked on a front 18 miles long in Champagne , north and east of Reims, simultaneous blows were delivered in distant Artois by 14 French divisions with 420 heavy guns on a 12-mile front south of Lens and by six British divisions with

only 117 guns at Loos north of Lens. All of these attacks were disappointing failures, partly because they were preceded by

prolonged bombardments that gave away any chance of surprise and allowed time for German reserves to be sent forward to

close up the gaps that had been opened in the trench defenders’ ranks by the artillery bombardment. At Loos the British use of

chlorine gas was less effective than Haig had hoped, and his engagement of all his own available forces for his first assault came

to nothing when his commander in chief, Sir John French, was too slow in sending up reserves; the French on both their fronts

likewise lost, through lack of timely support, most of what they had won by their first attacks. In all, for a little ground, the

Allies paid 242,000 men, against the defenders’ loss of 141,000.

Having subsequently complained bitterly about Sir John French’s management of operations, Haig was appointed British

commander in chief in his place in December.

THE EASTERN FRONT, 1915

The Russians’ plans for 1915 prescribed the strengthening of their flanks in the

north and in Galicia before driving westward again toward Silesia. Their

preparations for a blow at East Prussia ’s southern frontier were forestalled, as Ludendorff, striking suddenly eastward from East Prussia, enveloped four Russian

divisions in the Augustów forests, east of the Masurian Lakes, in the second week

of February; but in Galicia the winter’s fighting culminated, on March 22, in the

fall of Przemyśl to the Russians.

For the Central Powers, the Austrian spokesman, Conrad, primarily required some

action to relieve the pressure on his Galician front, and Falkenhayn was willing to

help him for that purpose without departing from his own general strategy of attrition—which was already coming into conflict

with Ludendorff’s desire for a sustained effort toward decisive victory over Russia. The plan finally adopted, with the aim of

smashing the Russian centre in the Dunajec River sector of Galicia by an attack on the 18-mile front from Gorlice to Tuchów (south of Tarnów), was conceived with tactical originality: in order to maintain the momentum of advance, no daily objectives

were to be set for individual corps or divisions; instead, each should make all possible progress before the Russians could bring

their reserves up, on the assumption that the rapid advance of some attacking units would contagiously promote the subsequent

advance of others that had at first met more resistance. Late in April, 14 divisions, with 1,500 guns, were quietly concentrated

for the stroke against the six Russian divisions present. Mackensen was in command, with Hans von Seeckt , sponsor of the new tactic of infiltration, as his chief of staff.

The Gorlice attack was launched on May 2 and achieved success beyond all expectation. Routed on the Dunajec, the Russians

tried to stand on the Wisłoka, then fell back again. By May 14, Mackensen’s forces were on the San, 80 miles from their starting

point, and at Jarosław they even forced a crossing of that river. Strengthened with more German troops from France, Mackensen

then struck again, taking Przemyśl on June 3 and Lemberg (Lvov) on June 22. The Russian front was now bisected, but

Falkenhayn and Conrad had foreseen no such result and had made no preparations to exploit it promptly. Their consequent

delays enabled the Russian armies to retreat without breaking up entirely.

Falkenhayn then decided to pursue a new offensive. Mackensen was instructed to veer northward, so as to catch the Russian

armies in the Warsaw salient between his forces and Hindenburg’s, which were to drive southeastward from East Prussia.

Ludendorff disliked the plan as being too much of a frontal assault: the Russians might be squeezed by the closing-in of the two

wings, but their retreat to the east would not be cut off. He once more urged his spring scheme for a wide enveloping maneuver

through Kovno (Kaunas) on Vilna (Vilnius) and Minsk, in the north. Falkenhayn opposed this plan, fearing that it would mean more troops and a deeper commitment, and on July 2 the German emperor decided in favour of Falkenhayn’s plan.

The results justified Ludendorff’s reservations. The Russians held Mackensen at Brest-Litovsk and Hindenburg on the Narew

River long enough to enable the main body of their troops to escape through the unclosed gap to the east. Though by the end of August all of Poland had been occupied and 750,000 Russians had been taken prisoner in four months of fighting, the Central

Powers had missed their opportunity to break Russia’s ability to carry on the war.

Too late, Falkenhayn in September allowed Ludendorff to try what he had been urging much earlier, a wider enveloping

movement to the north on the Kovno–Dvinsk–Vilna triangle. The German cavalry, in fact, approached the Minsk railway, far

beyond Vilna; but the Russians’ power of resistance was too great for Ludendorff’s slender forces, whose supplies moreover

began to run out, and by the end of the month his operations were suspended. The crux of this situation was that the Russian

armies had been allowed to draw back almost out of the net before the long-delayed Vilna maneuver was attempted. Meanwhile,

an Austrian attack eastward from Lutsk (Luck), begun later in September and continued into October, incurred heavy losses for

no advantage at all. By October 1915 the Russian retreat, after a nerve-wracking series of escapes from the salients the

Germans had systematically created and then sought to cut off, had come to a definite halt along a line running from the Baltic

Sea just west of Riga southward to Czernowitz (Chernovtsy) on the Romanian border.

OTHER FRONTS, 1915–16

THE CAUCASUS, 1914–16

The Caucasian front between Russia and Turkey comprised two battlegrounds: Armenia in the west, Azerbaijan in the east.

While the ultimate strategic objectives for the Turks were to capture the Baku oilfields in Azerbaijan and to penetrate Central

Asia and Afghanistan in order to threaten British India, they needed first to capture the Armenian fortress of Kars, which, together with that of Ardahan, had been a Russian possession since 1878.

A Russian advance from Sarıkamış (Sarykamysh, south of Kars) toward Erzurum in Turkish Armenia in November 1914 was

countered in December when the Turkish 3rd Army, under Enver himself, launched a three-pronged offensive against the Kars–

Ardahan position. This offensive was catastrophically defeated in battles at Sarıkamış and at Ardahan in January 1915; but the

Turks, ill-clad and ill-supplied in the Caucasian winter, lost many more men through exposure and exhaustion than in fighting

(their 3rd Army was reduced in one month from 190,000 to 12,400 men, the battle casualties being 30,000). Turkish forces,

which had meanwhile invaded neutral Persia ’s part of Azerbaijan and taken Tabriz on January 14, were expelled by a Russian counterinvasion in March.

During this campaign the Armenians had created disturbances behind the Turkish lines in support of the Russians and had

threatened the already arduous Turkish communications. The Turkish government on June 11, 1915, decided to deport the

Armenians. In the process of deportation, the Turkish authorities committed atrocities on a vast scale : most estimates of Armenian deaths have ranged from 600,000 to 1,500,000 for this period.

Grand Duke Nicholas , who had hitherto been commander in chief of all Russia’s armies, was superseded by Emperor Nicholas

himself in September 1915; the Grand Duke was then sent to command in the Caucasus. He and General N.N. Yudenich , the victor of Sarıkamış, started a major assault on Turkish Armenia in January 1916; Erzurum was taken on February 16, Trabzon

on April 18, Erzıncan on August 2; and a long-delayed Turkish counterattack was held at Oğnut. Stabilized to Russia’s great

advantage in the autumn, the new front in Armenia was thereafter affected less by Russo-Turkish warfare than by the

consequences of revolution in Russia.

MESOPOTAMIA, 1914–APRIL 1916

The British occupation of Basra, Turkey’s port at the head of the Persian Gulf, in November 1914 had been justifiable

strategically because of the need to protect the oil wells of southern Persia and the Abadan refinery. The British advance of 46

miles northward from Basra to al-Qurnah in December and the further advance of 90 miles up the Tigris to al-ʿAmārah in May–

June 1915 ought to have been reckoned enough for all practical purposes, but the advance was continued in the direction of the

fatally magnetic Baghdad, ancient capital of the Arab caliphs of Islām. Al-Kūt was occupied in September 1915, and the

advance was pushed on until the British, under Major General Charles Townshend, were 500 miles away from their base at

Basra. They fought a profitless battle at Ctesiphon, only 18 miles from Baghdad, on November 22 but then had to retreat to al-

Kūt. There, from December 7, Townshend’s 10,000 men were besieged by the Turks; and there, on April 29, 1916, they

surrendered themselves into captivity.

THE EGYPTIAN FRONTIERS, 1915–JULY 1917

Even after the evacuation from Gallipoli, the British maintained 250,000 troops in Egypt. A major source of worry to the British

was the danger of a Turkish threat from Palestine across the Sinai Desert to the Suez Canal . That danger waned, however, when

the initially unpromising rebellion of the Hāshimite amir Ḥusayn ibn ʿAlī against the Turks in the Hejaz was developed by the

personal enterprise of an unprofessional soldier of genius, T.E. Lawrence , into a revolt infecting the whole Arabian hinterland

of Palestine and Syria and threatening to sever the Turks’ vital Hejaz Railway (Damascus–Amman–Maʿān–Medina). Sir

Archibald Murray’s British troops at last started a massive advance in December 1916 and captured some Turkish outposts on

the northeastern edge of the Sinai Desert but made a pusillanimous withdrawal from Gaza in March 1917 at the very moment when the Turks were about to surrender the place to them; the attempt the next month to retrieve the mistake was repulsed with

heavy losses. In June the command was transferred from Murray to Sir Edmund Allenby. In striking contrast to Murray’s

performance was Lawrence’s capture of Aqaba (al-ʿAqabah) on July 6, 1917: his handful of Arabs got the better of 1,200 Turks

there.

ITALY AND THE ITALIAN FRONT, 1915–16

Great Britain , France , and Russia concluded on April 26, 1915, the secret Treaty of London with Italy, inducing the latter to discard the obligations of the Triple Alliance and to enter the war on the side of the Allies by the promise of territorial

aggrandizement at Austria-Hungary’s expense. Italy was offered not only the Italian-populated Trentino and Trieste but also

South Tirol (to consolidate the Alpine frontier), Gorizia, Istria, and northern Dalmatia. On May 23, 1915, Italy accordingly

declared war on Austria-Hungary.

The Italian commander, General Luigi Cadorna , decided to concentrate his effort on an offensive eastward from the province of Venetia across the comparatively low ground between the head of the Adriatic and the foothills of the Julian Alps; that is to say,

across the lower valley of the Isonzo (Soc̆a) River. Against the risk of an Austrian descent on his rear from the Trentino (which

bordered Venetia to the northwest) or on his left flank from the Carnic Alps (to the north), he thought that limited advances

would be precaution enough.

The Italians’ initial advance eastward, begun late in May 1915, was soon halted, largely because of the flooding of the Isonzo,

and trench warfare set in. Cadorna, however, was determined to make progress and so embarked on a series of persistent

renewals of the offensive, known as the Battles of the Isonzo . The first four of these (June 23–July 7; July 18–August 3; October 18–November 4; and November 10–December 2) achieved nothing worth the cost of 280,000 men; and the fifth

(March 1916) was equally fruitless. The Austrians had shown on this front a fierce resolution that was often lacking when they

faced the Russians. In mid-May 1916 Cadorna’s program was interrupted by an Austrian offensive from the Trentino into the

Asiago region of western Venetia. Though the danger of an Austrian breakthrough from the mountainous borderland into the

Venetian plain in the rear of the Italians’ Isonzo front was averted, the Italian counteroffensive in mid-June recovered only one-

third of the territory overrun by the Austrians north and southwest of Asiago. The Sixth Battle of the Isonzo (August 6–17),

however, did win Gorizia for the Italians. On August 28 Italy declared war on Germany. The next three months saw three more

Italian offensives on the Isonzo, none of them really profitable. In the course of 1916 the Italians had sustained 500,000

casualties, twice as many as the Austrians, and were still on the Isonzo.

Maurice Sarrail, World War I.

Encyclopædia Britannica, Inc.

SERBIA AND THE SALONIKA EXPEDITION, 1915–17

Austria’s three attempted invasions of Serbia in 1914 had been brusquely repulsed by Serbian counterattacks. By the summer of

1915 the Central Powers were doubly concerned to close the account with Serbia, both for reasons of prestige and for the sake

of establishing secure rail communications with Turkey across the Balkans. In August, Germany sent reinforcements to

Austria’s southern front; and, on Sept. 6, 1915, the Central Powers concluded a treaty with Bulgaria , whom they drew to their side by the offer of territory to be taken from Serbia. The Austro-German forces attacked southward from the Danube on

October 6; and the Bulgars, undeterred by a Russian ultimatum, struck at eastern Serbia on October 11 and at Serbian

Macedonia on October 14.

The western Allies, surprised in September by the prospect of a Bulgarian attack

on Serbia, hastily decided to send help through neutral Greece ’s Macedonian port

of Salonika , relying on the collusion of Greece’s pro-Entente prime minister,

Eleuthérios Venizélos. Troops from Gallipoli, under the French general Maurice

Sarrail, reached Salonika on October 5, but on that day Venizélos fell from power. The Allies advanced northward up the Vardar into Serbian Macedonia but found

themselves prevented from junction with the Serbs by the westward thrust of the

Bulgars. Driven back over the Greek frontier, the Allies were merely occupying the

Salonika region by mid-December. The Serbian Army, meanwhile, to avoid double

envelopment, had begun an arduous winter retreat westward over the Albanian

mountains to refuge on the island of Corfu.

In the spring of 1916 the Allies at Salonika were reinforced by the revived Serbs from Corfu as well as by French, British, and

some Russian troops, and the bridgehead was expanded westward to Vodena (Edessa) and eastward to Kilkis; but the Bulgars,

who in May obtained Fort Rupel (Klidhi, on the Struma) from the Greeks, in mid-August not only overran Greek Macedonia

east of the Struma but also, from Monastir (Bitola), invaded the Florina region of Greek Macedonia, to the west of the Allies’ Vodena wing. The Allied counteroffensive took Monastir from the Bulgars in November 1916, but more ambitious operations,

from March to May 1917, proved abortive. The Salonika front was tying down some 500,000 Allied troops without troubling

the Central Powers in any significant way.

MAJOR DEVELOPMENTS IN 1916

THE WESTERN FRONT, 1916

In 1914 the centre of gravity of World War I had been on the Western Front, in 1915 it shifted to the Eastern, and in 1916 it

once more moved back to France. Though the western Allies had dissipated some of their strength in the Dardanelles, Salonika,

and Mesopotamia, the rising tide of Britain’s new armies and of its increased munition supplies promised the means for an

offensive far larger in scale than any before to break the trench deadlock. Britain’s armies in France had grown to 36 divisions

French troops passing though the ruins of

Verdun, France, 1916.

Hulton Archive/Getty Images

by the end of 1915. By that time voluntary enlistments, though massive, had nevertheless proved to be inadequate to meet

Britain’s needs, so in January 1916, by the Military Service Act, voluntary service was replaced by conscription .

In December 1915 a conference of the leaders of the French, British, Belgian, and Italian armies, with representatives present

from the Russian and Japanese armies, was held at Joffre’s headquarters. They adopted the principle of a simultaneous general

offensive in 1916 by France, Great Britain, Russia, and Italy. But military action by Germany was to dislocate this scheme, and

only the British offensive came fully into operation.

By the winter of 1915–16, Falkenhayn regarded Russia as paralyzed and Italy as inconsiderable. He considered the time at last

ripe for positive action against France, after whose collapse Great Britain would have no effective military ally on the European

continent and would be brought to terms rather by submarine warfare than by land operations. For his offensive in the West,

however, Falkenhayn clung always to his method of attrition. He believed that a mass breakthrough was unnecessary and that

instead the Germans should aim to bleed France of its manpower by choosing a point of attack “for the retention of which the

French Command would be compelled to throw in every man they have.” The town of Verdun and its surrounding complex of forts was chosen, because it was a menace to the main German lines of communications, because it was within a French salient

and thus cramped the defenders, and because of the certainty that the French would sacrifice any number of men to defend

Verdun for reasons of patriotism associated with the town itself.

The keynote of Falkenhayn’s tactical plan was to place a dense semicircle of German heavy and medium artillery to the north

and east of Verdun and its outlying fortresses and then to stage a continuous series of limited infantry advances upon the forts.

These advances would draw the French infantry into defending or trying to retake the forts, in the process of which they would

be pulverized by German artillery fire. In addition, each German infantry advance would have its way smoothed by a brief but

extremely intense artillery bombardment that would clear the targeted ground of defenders.

Although French Intelligence had given early warnings of the Germans’ offensive

preparations, the French high command was so preoccupied with its own projected

offensive scheme that the warning fell on deaf ears. At 7:15 AM on Feb. 21, 1916,

the heaviest German artillery bombardment yet seen in the war began on a front of

eight miles around Verdun, and the French trenches and barbed wire fields there

were flattened out or upheaved in a chaos of tumbled earth. At 4:45 PM the German infantry advanced—although for the first day only on a front of two and a

half miles. From then until February 24 the French defenders’ lines east of the

Meuse River crumbled away. Fort-Douaumont, one of the most important fortresses, was occupied by the Germans on February 25. By March 6, when the

Germans began to attack on the west bank of the Meuse as well as on the east bank, the French had come to see that something more than a feint was intended. To relieve the pressure on France, the Russians

made a sacrificial attack on the Eastern Front at Lake Naroch (see below The Eastern Front, 1916 ); the Italians began their fifth

offensive on the Isonzo (see above Italy and the Italian front, 1915–16); and the British took over the Arras sector of the Western Front, thus becoming responsible for the whole line from the Yser southward to the Somme. Meanwhile, General

Philippe Pétain was entrusted with commanding the defense of Verdun. He organized repeated counterattacks that slowed the

German advance, and, more importantly, he worked to keep open the one road leading into Verdun that had not been closed by

German shelling. This was the Bar-le-Duc road, which became known as La Voie Sacrée (the “Sacred Way”) because vital

supplies and reinforcements continued to be sent to the Verdun front along it despite constant harassment from the German

artillery.

Slowly but steadily the Germans moved forward on Verdun: they took Fort-Vaux, southeast of Fort-Douaumont, on June 7 and

almost reached the Belleville heights, the last stronghold before Verdun itself, on June 23. Pétain was preparing to evacuate the

east bank of the Meuse when the Allies’ offensive on the Somme River was at last launched. Thereafter, the Germans assigned no more divisions to the Verdun attack.

Preceded by a week’s bombardment, which gave ample warning of its advent, the Somme offensive was begun on July 1, 1916,

by the 11 British divisions of Rawlinson’s new 4th Army on a 15-mile front between Serre, north of the Ancre, and Curlu, north

of the Somme, while five French divisions attacked at the same time on an eight-mile front mainly south of the Somme,

between Curlu and Péronne. With incredibly misplaced optimism, Haig had convinced himself that the British infantry would

be able to walk forward irresistibly over ground cleared of defenders by the artillery. But the unconcealed preparations for the

assault and the long preliminary bombardment had given away any chance of surprise, and the German defenders were well

prepared for what was to come. In the event, the 60,000 attacking British infantrymen moving forward in symmetrical

alignment at a snail’s pace enforced by each man’s 66 pounds (30 kilograms) of cumbrous equipment were mowed down in

masses by the German machine guns, and the day’s casualties were the heaviest ever sustained by a British army. The French

participants in the attack had twice as many guns as the British and did better against a weaker system of defenses, but almost

nothing could be done to exploit this comparative success.

Resigning himself now to limited advances, Haig concentrated his next effort on the southern sector of his Somme front. The

Germans’ second position there (Longueval, Bazentin, and Ovillers) fell on July 14, but again the opportunity of exploitation

was missed. Thenceforward, at great cost in lives, a methodical advance was continued, gaining little ground but straining the

German resistance. The first tanks to be used in the war, though in numbers far too small to be effective, were thrown into the

battle by the British on September 15. In mid-November early rains halted operations. The four-month Battle of the Somme was

a miserable failure except that it diverted German resources from the attack on Verdun. It cost the British 420,000 casualties, the

French 195,000, and the Germans 650,000.

At Verdun, the summer slackening of German pressure enabled the French to organize counterattacks. Surprise attacks directed

by General Robert-Georges Nivelle and launched by General Charles Mangin’s army corps recovered Fort-Douaumont on

October 24, Fort-Vaux on November 2, and places north of Douaumont in mid-December. Pétain’s adroit defense of Verdun and these counterattacks had deprived Falkenhayn’s offensive of its strategic fulfillment; but France had been so much

weakened in the first half of 1916 that it could scarcely satisfy the Allies’ expectations in the second. Verdun was one of the

longest, bloodiest, and most ferocious battles of the war; French casualties amounted to about 400,000, German ones to about

350,000.

THE BATTLE OF JUTLAND

The summer of 1916 saw the long-deferred confrontation of Germany’s High Seas Fleet and Great Britain’s Grand Fleet in the

Battle of Jutland —history’s biggest naval battle, which both sides claimed as a victory.

Admiral Reinhard Scheer , who became commander in chief of the High Seas Fleet in January 1916, planned to contrive an encounter on the open sea between his fleet and some part of the British fleet in separation from the whole, so that the Germans

could exploit their momentary superiority in numbers to achieve victory. Scheer’s plan was to ensnare Admiral Beatty’s

squadron of battle cruisers at Rosyth, midway up Britain’s eastern coast, by stratagem and destroy it before any reinforcements

from the Grand Fleet’s main base at Scapa Flow could reach it.

To set the trap, five battle cruisers of the German High Seas Fleet, together with four light cruisers, were to sail northward,

under Hipper’s command, from Wilhelmshaven , Ger., to a point off the southwestern coast of Norway. Scheer himself, with the battle squadrons of the High Seas Fleet, was to follow, 50 miles behind, to catch Beatty’s forces in the gap once they had

been lured eastward across the North Sea in pursuit of Hipper. But the signal for the German operation to begin, made in the

afternoon of May 30, was intercepted and partially decoded by the British; and before midnight the whole British Grand Fleet

was on its way to a rendezvous off Norway’s southwestern coast and roughly across the planned route of the German fleet.

At 2:20 PM on May 31, when Admiral John Jellicoe ’s Grand Fleet squadrons from Scapa Flow were still 65 miles away to the north, Beatty’s advance guard of light cruisers—five miles ahead of his heavier ships—and Hipper’s scouting group learned

quite accidentally of one another’s proximity. An hour later the two lines were drawn up for battle, and in the next 50 minutes

the British suffered severely, and the Indefatigable was sunk. When Beatty’s battle cruisers came up, however, the German

cruisers, in their turn, sustained such damage that Hipper sent a protective screen of German destroyers in to launch a torpedo

attack. The British had lost another battle cruiser, the Queen Mary, before the German High Seas Fleet was sighted by a British

patrol to the south, at 4:35 PM. On this report Beatty ordered his ships northward, to lure the Germans toward the Grand Fleet

under Jellicoe’s command.

Not until 6:14 PM, after Jellicoe’s squadrons and Beatty’s had been within sight of one another for nearly a quarter of an hour,

was the German fleet precisely located—only just in time for Jellicoe to deploy his ships to the best advantage. Jellicoe arrayed

the Grand Fleet end-to-end in a line so that their combined broadsides could be brought to bear on the approaching German

ships, who could in turn reply only with the forward guns of their leading ships. The British ships in effect formed the

horizontal stroke and the German ships the vertical stroke of the letter “T,” with the British having deployed into line at a right

angle to the German ships’ forward progress. This maneuver was in fact known as “crossing the enemy’s T” and was the ideal

situation dreamed of by the tacticians of both navies, since by “crossing the T” one’s forces temporarily gained an

overwhelming superiority of firepower.

For the Germans this was a moment of unparalleled risk. Three factors helped prevent the destruction of the German ships in

this trap: their own excellent construction, the steadiness and discipline of their crews, and the poor quality of the British shells.

The Lützow, the Derfflinger, and the battleship König led the line and were under broadside fire from some 10 British

battleships, yet their main guns remained undamaged and they fought back to such effect that one of their salvoes fell full on the

Invincible and blew it up. This success, however, did little to relieve the intense bombardment from the other British ships, and

the German fleet was still pressing forward into the steel trap of the Grand Fleet.

Relying on the magnificent seamanship of the German crews, Scheer extricated his fleet from the appalling danger into which it

had run by a simple but, in practice, extremely difficult maneuver. At 6:30 PM he ordered a turn of 180° for all his ships at once;

it was executed without collision; and the German battleships reversed course in unison and steamed out of the jaws of the trap,

while German destroyers spread a smoke screen across their rear. The smoke and worsening visibility left Jellicoe in doubt

about what had happened, and the British had lost contact with the Germans by 6:45 PM.

Yet the British Grand Fleet had maneuvered in such a way that it ended up between the German High Seas Fleet and the

German ports, and this was the situation Scheer most dreaded, so at 6:55 PM Scheer ordered another reverse turn, perhaps hoping

to pass around the rear of the British fleet. But the result for him was a worse position than that from which he had just escaped:

his battle line had become compressed, and his leading ships found themselves again under intense bombardment from the

broadside array of the British ships. Jellicoe had succeeded in crossing the Germans’ “T” again. The Lützow now received

irreparable damage, and many other German ships were damaged at this point. At 7:15 PM, therefore, to cause a diversion and

win time, Scheer ordered his battle cruisers and destroyers ahead to virtually immolate themselves in a massed charge against

the British ships.

This was the crisis of the Battle of Jutland. As the German battle cruisers and destroyers steamed forward, the German

battleships astern became confused and disorganized in trying to execute their reverse turn. Had Jellicoe ordered the Grand Fleet

forward through the screen of charging German battle cruisers at that moment, the fate of the German High Seas Fleet would

likely have been sealed. As it was, fearing and overestimating the danger of torpedo attacks from the approaching destroyers, he

ordered his fleet to turn away, and the two lines of battleships steamed apart at a speed of more than 20 knots. They did not meet

again, and when darkness fell, Jellicoe could not be sure of the route of the German retreat. By 3:00 AM on June 1 the Germans

had safely eluded their pursuers.

The British had sustained greater losses than the Germans in both ships and men. In all, the British lost three battle cruisers,

three cruisers, eight destroyers, and 6,274 officers and men in the Battle of Jutland. The Germans lost one battleship, one battle

cruiser, four light cruisers, five destroyers, and 2,545 officers and men. The losses inflicted on the British, however, were not

enough to affect the numerical superiority of their fleet over the German in the North Sea , where their domination remained practically unchallengeable during the course of the war. Henceforth, the German High Seas Fleet chose not to venture out from

the safety of its home ports.

THE EASTERN FRONT, 1916

In the hope of diverting German strength from the attack at Verdun on the Western Front, the Russians gallantly but

prematurely opened an offensive north and south of Lake Naroch (Narocz, east of Vilna) on March 18, 1916, and continued it

until March 27, though they won very little ground at great cost and only for a short time. They then reverted to preparations for

a major offensive in July. The main blow, it was planned, should be delivered by A.E. Evert ’s central group of armies, assisted

by an inward movement of A.N. Kuropatkin ’s army in the northern sector of the front. But at the same time, A.A. Brusilov ’s southwestern army group was authorized to make a supposedly diversionary attack in its own sectors. In the event, Brusilov’s

attack became by far the more important operation of the offensive.

Surprised by the Austrians’ Asiago offensive in May, Italy promptly appealed to the Russians for action to draw the enemy’s

reserves away from the Italian fronts, and the Russians responded by advancing their timetable again. Brusilov undertook to

start his attack on June 4, on the understanding that Evert’s should be launched 10 days later.

Thus began an offensive on the Eastern Front that was to be imperial Russia’s last really effective military effort. Popularly

known as Brusilov’s offensive, it had such an astonishing initial success as to revive Allied dreams about the irresistible Russian

“steamroller.” Instead, its ultimate achievement was to sound the death knell of the Russian monarchy. Brusilov’s four armies

were distributed along a very wide front, with Lutsk at the northern end, Tarnopol and Buchach (Buczacz) in the central sector,

and Czernowitz at the southern end. Having struck first in the Tarnopol and Czernowitz sectors on June 4, Brusilov on June 5

took the Austrians wholly by surprise when he launched A.M. Kaledin’s army toward Lutsk: the defenses crumbled at once, and

the attackers pushed their way between two Austrian armies. As the offensive was developed, the Russians were equally

successful in the Buchach sector and in their thrust into Bukovina, which culminated in the capture of Czernowitz. By June 20,

Brusilov’s forces had captured 200,000 prisoners.

Evert and Kuropatkin, however, instead of striking in accordance with the agreed plan, found excuses for procrastination. The

Russian chief of general staff, M.V. Alekseyev , therefore tried to transfer this inert couple’s reserves to Brusilov, but the Russians’ lateral communications were so poor that the Germans had time to reinforce the Austrians before Brusilov was strong

enough to make the most of his victory. Though his forces in Bukovina advanced as far as the Carpathian Mountains , a counterstroke by Alexander von Linsingen’s Germans in the Lutsk sector checked Russian progress at the decisive point.

Further Russian drives from the centre of Brusilov’s front were launched in July; but by early September the opportunity of

exploiting the summer’s victory was lost. Brusilov had driven the Austrians from Bukovina and from much of eastern Galicia

and had inflicted huge losses of men and equipment on them, but he had depleted Russia’s armies by about 1,000,000 men in

doing so. (A large portion of this number consisted of deserters or prisoners.) This loss seriously undermined both the morale

and the material strength of Russia. Brusilov’s offensive also had indirect results of great consequence. First, it had compelled

the Germans to withdraw at least seven divisions from the Western Front, where they could ill be spared from the Verdun and

Somme battles. Second, it hastened Romania ’s unfortunate entry into the war.

Disregarding Romania’s military backwardness, the Romanian government of Ionel Brătianu declared war against Austria- Hungary on Aug. 27, 1916. In entering the war, Romania succumbed to the Allies’ offers of Austro-Hungarian territory and to

the belief that the Central Powers would be too much preoccupied with other fronts to mount any serious riposte against a

Romanian offensive. Some 12 of Romania’s 23 divisions, in three columns, thus began on August 28 a slow westward advance

across Transylvania , where at first there were only five Austro-Hungarian divisions to oppose them.

The riposte of the Central Powers was swifter than the progress of the invasion: Germany, Turkey, and Bulgaria declared war against Romania on August 28, August 30, and September 1, respectively; and Falkenhayn had plans already prepared. Though

the miscarriage of his overall program for the year led to his being replaced by Hindenburg as chief of the German general staff

on August 29, Falkenhayn’s recommendation that Mackensen should direct a Bulgarian attack on southern Romania was

Romanian dead on the road near Kronstadt

(Braşov), in 1916, during World War I.

Library of Congress, Washington, D.C.

(reproduction no. LC-USZ62-31836)

approved; and Falkenhayn himself went to command on the Transylvanian front, for which five German as well as two more

Austrian divisions were found available as reinforcements.

Mackensen’s forces from Bulgaria stormed the Turtucaia (Tutrakan) bridgehead on

the Danube southeast of Bucharest on September 5. His subsequent advance

eastward into the Dobruja caused the Romanians to switch their reserves to that

quarter instead of reinforcing their Transylvanian enterprise, which thereupon

came to a halt. Falkenhayn soon attacked: first at the southern end of the 200-mile

front, where he threw one of the Romanian columns back into the Roter Turm

(Turnu Roşu) Pass, then in the centre, where by October 9 he had defeated another

at Kronstadt (Braşov). For a month, however, the Romanians withstood

Falkenhayn’s attempts to drive them out of the Vulcan and Szurduk (Surduc)

passes into Walachia. But just before winter snows blocked the way, the Germans

took the two passes and advanced southward to Tîrgu Jiu, where they won another

victory. Then Mackensen, having turned westward from the Dobruja, crossed the

Danube near Bucharest, on which his and Falkenhayn’s armies converged.

Bucharest fell on December 6, and the Romanian Army, a crippled force, could only fall back northeastward into Moldavia,

where it had the belated support of Russian troops. The Central Powers had access to Romania’s wheat fields and oil wells, and

the Russians had 300 more miles of front to defend.

GERMAN STRATEGY AND THE SUBMARINE WAR, 1916–JANUARY 1917

Both Admiral Scheer and General Falkenhayn doubted whether the German submarines could do any decisive damage to Great

Britain so long as their warfare was restricted in deference to the protests of the United States; and, after a tentative reopening of

the submarine campaign on Feb. 4, 1916, the German naval authorities in March gave the U-boats permission to sink without warning all ships except passenger vessels. The German civilian statesmen, however, who paid due attention to their diplomats’

warnings about U.S. opinion, were soon able to prevail over the generals and the admirals: on May 4 the scope of the

submarine campaign was again severely restricted.

The controversy between the statesmen and the advocates of unrestricted warfare was not dead yet. Hindenburg, chief of the

general staff from August 29, had Ludendorff as his quartermaster general, and Ludendorff was quickly won over to supporting

the chief of the Admiralty staff, Henning von Holtzendorff , in his arguments against the German chancellor, Theobald von

Bethmann Hollweg, and the foreign minister, Gottlieb von Jagow . Whereas Bethmann and some other statesmen were hoping for a negotiated peace (see below), Hindenburg and Ludendorff were committed to a military victory. The British naval

blockade, however, threatened to starve Germany into collapse before a military victory could be achieved, and soon

Hindenburg and Ludendorff got their way: it was decided that, from Feb. 1, 1917, submarine warfare should be unrestricted and

overtly so.

PEACE MOVES AND U.S. POLICY TO FEBRUARY 1917

There were few efforts by any of the Central or Allied Powers to achieve a negotiated peace in the first two years of the war. By

1916 the most promising signs for peace seemed to exist only in the intentions of two statesmen in power—the German

chancellor Bethmann and the U.S. president Woodrow Wilson . Wilson, having proclaimed the neutrality of the United States in

August 1914, strove for the next two years to maintain it. (See the video .) Early in 1916 he sent his confidant, Colonel Edward

M. House, to sound London and Paris about the possibility of U.S. mediation between the belligerents. House’s conversations

with the British foreign secretary, Sir Edward Grey, resulted in the House–Grey Memorandum (Feb. 22, 1916), declaring that the United States might enter the war if Germany rejected Wilson’s mediation but that Great Britain reserved the right to initiate

U.S. mediatory action. By mid-1916, the imminent approach of the presidential election in the United States caused Wilson to suspend his moves for peace.

In Germany, meanwhile, Bethmann had succeeded, with difficulty, in postponing the declaration of unrestricted submarine

warfare. Wilson, though he was reelected president on Nov. 7, 1916, let another month pass without doing anything for peace,

and during that period the German victory over Romania was taking place. Thus, while Bethmann lost patience with waiting for

Wilson to act, the German military leaders came momentarily to think that Germany, from a position of strength, might now

propose a peace acceptable to themselves. Having been constrained to agree with the militarists that, if his proposals were

rejected by the Allies, unrestricted submarine warfare should be resumed, Bethmann was allowed to announce, on December

12, the terms of a German offer of peace—terms, however, that were militarily so far-reaching as to preclude the Allies’

acceptance of them. The main stumbling block was Germany’s insistence upon its annexation of Belgium and of the occupied

portion of northeastern France.

On Dec. 18, 1916, Wilson invited both belligerent camps to state their “war aims.” The Allies were secretly encouraged by the

U.S. secretary of state to offer terms too sweeping for German acceptance; and the Germans, suspecting collusion between Wilson and the Allies, agreed in principle to the opening of negotiations but left their statement of December 12 practically

unchanged and privately decided that Wilson should not actually take part in any negotiation that he might bring about. By mid-

January 1917 the December overtures had ended.

Strangely enough, Wilson’s next appeal, a speech of Jan. 22, 1917, preaching international conciliation and a “peace without

victory,” elicited a confidential response from the British expressing readiness to accept his mediation. In the opposite camp, Austria-Hungary would likewise have listened readily to peace proposals, but Germany had already decided, on January 9, to

declare unrestricted submarine warfare. Bethmann’s message restating Germany’s peace terms and inviting Wilson to persevere

in his efforts was delivered on January 31 but was paradoxically accompanied by the announcement that unrestricted submarine

warfare would begin the next day.

Wilson severed diplomatic relations between the United States and Germany on Feb. 3, 1917, and asked Congress, on February

26, for power to arm merchantmen and to take all other measures to protect U.S. commerce. But American opinion was still not

ready for war, and the Germans wisely abstained from attacks on U.S. shipping. What changed the tenor of public feeling was

the publication of the Zimmermann Telegram .

Arthur Zimmermann had succeeded Jagow as Germany’s secretary of state for foreign affairs in November 1916; and in that

same month the Mexican president, Venustiano Carranza , whose country’s relations with the United States had been critical since March, had virtually offered bases on the Mexican coast to the Germans for their submarines. Zimmermann on Jan. 16,

1917, sent a coded telegram to his ambassador in Mexico instructing him to propose to the Mexican government that, if the

United States should enter the war against Germany, Mexico should become Germany’s ally with a view to recovering Texas ,

New Mexico , and Arizona from the United States. Intercepted and decoded by the British Admiralty Intelligence, this message was communicated to Wilson on February 24. It was published in the U.S. press on March 1, and it immediately set off a

nationwide demand for war against Germany.

DEVELOPMENTS IN 1917

THE WESTERN FRONT, JANUARY–MAY 1917

The western Allies had good reason to be profoundly dissatisfied with the poor results of their enterprises of 1916, and this

dissatisfaction was signalized by two major changes made at the end of the year. In Great Britain, the government of H.H.

Asquith, already turned into a coalition in May 1915, was replaced in December 1916 by a coalition under David Lloyd George ; and that same month in France the post of commander in chief of the army was transferred from Joffre to General R.-G. Nivelle.

As for the military situation, the fighting strength of the British Army on the Western Front had grown to about 1,200,000 men

and was still growing. That of the French Army had been increased by the incorporation of colonial troops to some 2,600,000,

so that, including the Belgians, the Allies disposed an estimated 3,900,000 men against 2,500,000 Germans. To the Allies, these

figures suggested an offensive on their part.

Nivelle, who owed his appointment to the contrast between the brilliant success of his recent counterattacks at Verdun and the meagre results of Joffre’s strategy of attrition, was deeply imbued with the optimism of which experience was by now curing

Joffre. He also had ideas of national glory and, accordingly, modified plans made by Joffre in such a way as to assign to the

French Army the determinant role in the offensive that, it was calculated, must decide the issue on the Western Front in 1917.

Nivelle’s plan in its final stage was that the British should make preparatory attacks not only north of the wilderness of the old

Somme battlefields but also south of them (in the sector previously held by French troops); that these preparatory attacks should

attract the German reserves; and, finally, that the French should launch the major offensive in Champagne (their forces in that sector having been strengthened both by new troops from the overseas colonies and by those transferred from the Somme). The

tactics Nivelle planned to use were based on those he had employed so successfully at Verdun. But he placed an optimistic

overreliance on his theory of combining “great violence with great mass,” which basically consisted of intense artillery

bombardments followed by massive frontal attacks.

Meanwhile, Ludendorff had foreseen a renewal of the Allied offensive on the Somme, and he used his time to frustrate

Nivelle’s plans and to strengthen the German front in two different ways. First, the hitherto rather shallow defenses in

Champagne were by mid-February reinforced with a third line, out of range of the French artillery. Second, Ludendorff decided

to anticipate the attack by falling back to a new and immensely strong line of defense. This new line, called the

Siegfriedstellung, or “Hindenburg Line,” was rapidly constructed across the base of the great salient formed by the German lines between Arras and Reims. From the German position east of Arras, the line ran southeastward and southward, passing

west of Cambrai and Saint-Quentin to rejoin the old German line at Anizy (between Soissons and Laon). After a preliminary

step backward on February 23, a massive withdrawal of all German troops from the westernmost bulges of the great salient to

the new and shorter line was smoothly and quickly made on March 16. The major towns within the areas evacuated by the

Germans (i.e., Bapaume, Péronne, Roye, Noyon, Chauny, and Coucy) were abandoned to the Allies, but the area was left as a

desert, with roads mined, trees cut down, wells fouled, and houses demolished, the ruins being strewn with explosive booby

traps.

This baffling and unexpected German withdrawal dislocated Nivelle’s plan, but, unperturbed by warnings from all quarters

about the changed situation, Nivelle insisted on carrying it out. The Battle of Arras , with which the British started the offensive on April 9, 1917, began well enough for the attackers, thanks to much-improved artillery methods and to a new poison gas shell

that paralyzed the hostile artillery. Vimy Ridge, at the northern end of the 15-mile battlefront, fell to the Canadian Corps, but the

exploitation of this success was frustrated by the congestion of traffic in the British rear, and though the attack was continued

until May 5, stiffer German resistance prevented exploitation of the advances made in the first five days.

Nivelle’s own offensive in Champagne, launched on April 16 on the Aisne front from Vailly eastward toward Craonne and

Reims, proved to be a fiasco. The attacking troops were trapped in a web of machine-gun fire, and by nightfall the French had

advanced about 600 yards instead of the six miles anticipated in Nivelle’s program. Only on the wings was any appreciable

progress achieved. The results compared favourably with Joffre’s offensives, as some 28,000 German prisoners were taken at a

cost to the French of just under 120,000 casualties. But the effect on French morale was worse, because Nivelle’s fantastic

predictions of the offensive’s success were more widely known than Joffre’s had ever been. With the collapse of Nivelle’s plan,

his fortunes were buried in the ruins, and after some face-saving delay he was superseded as commander in chief by Pétain on

May 15, 1917.

This change was made too late to avert a more harmful sequel, for in late April a mutiny broke out among the French infantry

and spread until 16 French army corps were affected. The authorities chose to ascribe it to seditious propaganda , but the mutinous outbreaks always occurred when exhausted troops were ordered back into the line, and they signaled their grievances

by such significant cries as: “We’ll defend the trenches, but we won’t attack.” Pétain restored tranquillity by meeting the just

grievances of the troops; his reputation for sober judgment restored the troops’ confidence in their leaders, and he made it clear

that he would avoid future reckless attacks on the German lines. But the military strength of France could never be fully

restored during the war.

Pétain insisted that the only rational strategy was to keep to the defensive until new factors had changed the conditions

sufficiently to justify taking the offensive with a reasonable hope of success. His constant advice was: “We must wait for the

Americans and the tanks.” Tanks were now being belatedly built in large numbers, and this emphasis on them showed a

dawning recognition that machine warfare had superseded mass infantry warfare.

THE U.S. ENTRY INTO THE WAR

After the rupture of diplomatic relations with Germany on Feb. 3, 1917, events

Poster advertising an antiwar dance (1918)

sponsored by the Dill Pickle Club in Chicago.

The Newberry Library, Dill Pickle Club

Records (A Britannica Publishing Partner)

Army recruiting poster featuring “Uncle Sam,”

designed by James Montgomery Flagg, 1917.

James Montgomery Flagg— Leslie-Judge

Co., N.Y./Library of Congress, Washington,

D.C. (LC-USZC4-3859)

pushed the United States inexorably along the road to war. Using his authority as

commander in chief, Wilson on March 9 ordered the arming of American merchant

ships so that they could defend themselves against U-boat attacks. German

submarines sank three U.S. merchant ships during March 16–18 with heavy loss of

life. Supported by his Cabinet, by most newspapers, and by a large segment of

public opinion, Wilson made the decision on March 20 for the United States to

declare war on Germany, and on March 21 he called Congress to meet in special

session on April 2. He delivered a ringing war message to that body, and the war

resolution was approved by the Senate on April 3 and by the House of

Representatives on April 6. The presidential declaration of war followed

immediately.

The entry of the United States was the turning point of the war, because it made the

eventual defeat of Germany possible. It had been foreseen in 1916 that if the

United States went to war, the Allies’ military effort against Germany would be

upheld by U.S. supplies and by enormous extensions of credit. These expectations

were amply and decisively fulfilled. The United States’ production of armaments

was to meet not only its own needs but also France’s and Great Britain’s. In this

sense, the American economic contribution alone was decisive. By April 1, 1917,

the Allies had exhausted their means of paying for essential supplies from the

United States, and it is difficult to see how they could have maintained the war

effort if the United States had remained neutral. American loans to the Allies worth

$7,000,000,000 between 1917 and the end of the war maintained the flow of U.S.

arms and food across the Atlantic.

The American military contribution was as important as the economic one. A

system of conscription was introduced by the Selective Service Act of May 18,

1917, but many months were required for the raising, training, and dispatch to

Europe of an expeditionary force. There were still only 85,000 U.S. troops in

France when the Germans launched their last great offensive in March 1918; but

there were 1,200,000 there by the following September. The U.S. commander in

Europe was General John J. Pershing.

The U.S. Navy was the second largest in the world when America entered the war

in 1917. The Navy soon abandoned its plans for the construction of battleships and

instead concentrated on building the destroyers and submarine chasers so

desperately needed to protect Allied shipping from the U-boats. By July 1917 there

were already 35 U.S. destroyers stationed at Queenstown (Cobh) on the coast of

Ireland—enough to supplement British destroyers for a really effective

Demonstrators gathering in front of the Winter

Palace in Petrograd, just prior to the Russian …

Hulton Archive/Getty Images

U.S. Army recruits at Camp Pike, Arkansas, in

1918, following the United States’ entry into

World …

Library of Congress, Washington, D.C.

Woman working in an American airplane factory

during World War I, 1917.

Encyclopædia Britannica, Inc.

transatlantic convoy system. By the end of the war there were more than 380 U.S.

craft stationed overseas.

The U.S. declaration of war also set an example to other states in the Western

Hemisphere. Cuba , Panama , Haiti, Brazil, Guatemala , Nicaragua , Costa Rica ,

and Honduras were all at war with Germany by the end of July 1918, while the

Dominican Republic, Peru , Uruguay , and Ecuador contented themselves with the severance of relations.

THE RUSSIAN REVOLUTIONS AND THE EASTERN FRONT, MARCH 1917–MARCH 1918

The Russian Revolution of March (February, old style) 1917 put an end to the autocratic monarchy of imperial Russia and replaced it with a provisional

government. But the latter’s authority was at once contested by soviets, or

“councils of workers’ and soldiers’ deputies,” who claimed to represent the masses

of the people and so to be the rightful conductors of the revolution. The March

Revolution was an event of tremendous magnitude. Militarily it appeared to the western Allies as a disaster and to the Central Powers as a golden opportunity. The

Russian Army remained in the field against the Central Powers, but its spirit was

broken, and the Russian people were utterly tired of a war that the imperial regime

for its own reasons had undertaken without being morally or materially prepared

for it. The Russian Army had been poorly armed, poorly supplied, poorly trained,

and poorly commanded and had suffered a long series of defeats. The soviets’

propaganda—including the notorious Order No. 1 of the Petrograd Soviet (March 14, 1917), which called for committees of soldiers and sailors to take control of

their units’ arms and to ignore any opposition from their officers—served to

subvert the remnants of discipline in troops who were already deeply demoralized.

But the leaders of the provisional government foresaw that a German victory in the

war would bode ill for Russia in the future, and they were also conscious of their

nation’s obligations toward the western Allies. A.F. Kerensky , minister of war from May 1917, thought that a victorious offensive would enhance the new government’s authority, besides relieving pressure on the Western Front. The offensive,

however, which General L.G. Kornilov launched against the Austrians in eastern Galicia on July 1, 1917, was brought to a sudden halt by German reinforcements after 10 days of spectacular advances, and it turned into a catastrophic rout in the next

three weeks. By October the advancing Germans had won control of most of Latvia and of the approaches to the Gulf of

Finland.

Meanwhile, anarchy was spreading over Russia . The numerous non-Russian peoples of the former empire were one after

another claiming autonomy or independence from Russia—whether spontaneously or at the prompting of the Germans in

occupation of their countries. Finns , Estonians , Latvians, Lithuanians , and Poles were, by the end of 1917, all in various stages of the dissidence from which the independent states of the postwar period were to emerge; and, at the same time,

Ukrainians, Georgians, Armenians, and Azerbaijanis were no less active in their own nationalist movements.

The provisional government’s authority and influence were rapidly fading away in Russia proper during the late summer and

autumn of 1917. The Bolshevik Revolution of November (October, O.S.) 1917 overthrew the provisional government and

brought to power the Marxist Bolsheviks under the leadership of Vladimir I. Lenin . The Bolshevik Revolution spelled the end

of Russia’s participation in the war. Lenin’s decree on land, of November 8, undermined the Eastern Front by provoking a homeward rush of soldiers anxious to profit from the expropriation of their former landlords. On November 8, likewise, Lenin

issued his decree on peace, which offered negotiations to all belligerents but precluded annexations and indemnities and

stipulated a right of self-determination for all peoples concerned. Finally, on November 26, the new Bolshevik government unilaterally ordered a cessation of hostilities both against the Central Powers and against the Turks.

An armistice between Lenin’s Russia and the Central Powers was signed at Brest-Litovsk on Dec. 15, 1917. The ensuing peace negotiations were complicated: on the one hand, Germany wanted peace in the east in order to be free to transfer troops thence

to the Western Front, but Germany was at the same time concerned to exploit the principle of national self-determination in

order to transfer as much territory as possible into its own safe orbit from that of revolutionary Russia. On the other hand, the

Bolsheviks wanted peace in order to be free to consolidate their regime in the east with a view to being able to extend it

westward as soon as the time should be ripe. When the Germans, despite the armistice, invaded the Ukraine to cooperate with

the Ukrainian nationalists against the Bolsheviks there and furthermore resumed their advance in the Baltic countries and in

Belorussia, Lenin rejected his colleague Leon Trotsky’s stopgap policy (“neither peace nor war”) and accepted Germany’s terms in order to save the Bolshevik Revolution. By the Treaty of Brest-Litovsk (March 3, 1918), Soviet Russia recognized

Finland and the Ukraine as independent; renounced control over Estonia, Latvia, Lithuania , Poland, and most of Belorussia; and ceded Kars, Ardahan, and Batumi to Turkey.

GREEK AFFAIRS

Greece’s attitude toward the war was long uncertain: whereas King Constantine I and the general staff stood for neutrality,

Eleuthérios Venizélos , leader of the Liberal Party , favoured the Allied cause. As prime minister from 1910, Venizélos wanted

Greece to participate in the Allies’ Dardanelles enterprise against Turkey in 1915, but his arguments were overruled by the general staff. The Allies occupied Lemnos and Lesbos regardless of Greece’s neutrality. Constantine dismissed Venizélos from

office twice in 1915, but Venizélos still commanded a majority in Parliament. The Bulgarians’ occupation of Greek Macedonia

in summer 1916 provoked another political crisis. Venizélos left Athens for Crete late in September, set up a government of his own there, and transferred it early in October to Salonika. On November 27 it declared war on Germany and Bulgaria. Finally,

the Allies, on June 11, 1917, deposed King Constantine. Venizélos then returned to Athens to head a reunified Greek

government, which on June 27 declared war on the Central Powers.

CAPORETTO

On the Italian front, Cadorna ’s 10th Battle of the Isonzo in May–June 1917 won very little ground; but his 11th, from August

17 to September 12, during which General Luigi Capello ’s 2nd Army captured much of the Bainsizza Plateau (Banjška Planota), north of Gorizia, strained Austrian resistance very severely. To avert an Austrian collapse, Ludendorff decided that the

Austrians must take the offensive against Italy and that he could, with difficulty, lend them six German divisions for that

purpose.

The offensive was boldly planned, very ably organized, and well executed. While two Austrian armies, under General Svetozar

Borojević von Bojna, attacked the eastern end of the Italians’ Venetian salient on the Bainsizza Plateau and on the low ground

near the Adriatic shore, the German 14th Army, comprising the six German divisions and nine Austrian ones under Otto von

Below, with Konrad Krafft von Dellmensingen as his chief of staff, on Oct. 24, 1917, began to force its way over the barrier of the Julian Alps at the northeastern corner of the Venetian salient, with Caporetto approximately opposite the middle point of the

line. The Italians, completely surprised by this thrust, which threatened their forces both to the north and to the south, fell back

in confusion: Below’s van reached Udine, the former site of the Italian general headquarters, by October 28 and was on the

Tagliamento River by October 31. Below’s success had far exceeded the hopes of the planners of the offensive, and the

Germans could not exploit their speedy advance as effectively as they wished. Cadorna, with his centre shattered, managed by

precipitate retreat to save the wings of his army and was able, by November 9, to rally his remaining 300,000 troops behind the

Piave River, north of Venice. The Italians had sustained about 500,000 casualties, and 250,000 more had been taken prisoner.

General Armando Diaz was then appointed commander in chief in Cadorna’s place. The Italians managed to hold the Piave

front against direct assaults and against attempts to turn its left flank by an advance from the Trentino. The Italians’ defense was

helped by British and French reinforcements that had been rushed to Italy when the collapse began. A conference of the military

and political leaders of the Allies was held at Rapallo in November, and out of this conference there sprang the joint Supreme

War Council at Versailles, and ultimately a unified military command.

MESOPOTAMIA, SUMMER 1916–WINTER 1917

The British forces in Mesopotamia , neglected hitherto and discouraged by the disaster at al-Kūt (see above Mesopotamia,

1914–April 1916), received better attention from London in the second half of 1916; and Sir Frederick Stanley Maude , who became commander in chief in August, did so much to restore their morale that by December he was ready to undertake the

recapture of al-Kūt as a first step toward capturing Baghdad.

By a series of outflanking movements, the British made their way gradually and methodically up the Tigris, compelling the

Turks to extend their defenses upstream. When the final blow at al-Kūt was delivered by a frontal attack on Feb. 22, 1917,

British forces were already crossing the river from the west bank behind the town; but though al-Kūt fell two days later most of

the Turkish garrison extricated itself from the threatened encirclement. Unable to hold a new line on the Diyālā River, the

Turkish commander, Kâzim Karabekir, evacuated Baghdad , which the British entered on March 11. In September the British position in Baghdad was definitively secured by the capture of ar-Ramādī, on the Euphrates about 60 miles to the west; and

early in November the main Turkish force in Mesopotamia was driven from Tikrīt, on the Tigris midway between Baghdad and

Mosul.

Maude, having within a year changed the Mesopotamian scene from one of despair to one of victory, died of cholera on Nov.

18, 1917. His successor in command was Sir William Marshall.

PALESTINE, AUTUMN 1917

Having assumed command in Egypt (see above The Egyptian frontiers, 1915–July 1917), Allenby transferred his headquarters from Cairo to the Palestinian front and devoted the summer of 1917 to preparing a serious offensive against the Turks. On the

Turkish side, Falkenhayn, now in command at Aleppo, was at this time himself planning a drive into the Sinai Peninsula for the

autumn, but the British were able to strike first.

The Turkish front in southern Palestine extended from Gaza , on the coast, southeastward to Abu Hureira (Tel Haror) and thence to the stronghold of Beersheba. To disguise his real intention of achieving a breakthrough at Abu Hureira, for which,

however, the capture of Beersheba was obviously prerequisite, Allenby began his operation with a heavy bombardment of Gaza

from October 20 onward. When Beersheba had been seized by converging movements on October 31, a feint attack on Gaza

was launched next day to draw the Turkish reserves thither. Then, the main attack, delivered on November 6, broke through the

weakened defenses at Abu Hureira and into the plain of Philistia. Falkenhayn had attempted a counterstroke at Beersheba, but

the collapse of the Turkish centre necessitated a general retreat. By November 14 the Turkish forces were split in two divergent

groups, the port of Jaffa was taken, and Allenby wheeled his main force to the right for an advance inland on Jerusalem. On

December 9 the British occupied Jerusalem.

THE WESTERN FRONT, JUNE–DECEMBER 1917

Pétain’s decision to remain temporarily on the defensive after Nivelle’s failure gave Haig the opportunity to fulfill his desire for

a British offensive in Flanders . He took the first step on June 7, 1917, with a long-prepared attack on the Messines Ridge, north

of Armentières, on the southern flank of his Ypres salient. This attack by General Sir Herbert Plumer’s 2nd Army proved an almost complete success; it owed much to the surprise effect of 19 huge mines simultaneously fired after having been placed at

the end of long tunnels under the German front lines. The capture of the ridge inflated Haig’s confidence; and, though General

Sir Hubert Gough , in command of the 5th Army, advocated a step-by-step method for the offensive, Haig committed himself to Plumer’s view that they “go all out” for an early breakthrough. Haig disregarded the well-founded forecast that, from the

beginning of August, rain would be turning the Flanders countryside into an almost impassable swamp. The Germans,

meanwhile, were well aware that an offensive was coming from the Ypres salient: the flatness of the plain prevented any

concealment of Haig’s preparations, and a fortnight’s intensive bombardment (4,500,000 shells from 3,000 guns) served to

underline the obvious—without, however, destroying the German machine gunners’ concrete pillboxes.

Thus, when the Third Battle of Ypres was begun, on July 31, only the left wing’s objectives were achieved: on the crucial right wing the attack was a failure. Four days later, the ground was already swampy. When the attack was resumed on August 16,

very little more was won, but Haig was still determined to persist in his offensive. Between September 20 and October 4, thanks

to an improvement in the weather, the infantry was able to advance into positions cleared by bombardment, but no farther. Haig

launched another futile attack on October 12, followed by three more attacks, scarcely more successful, in the last 10 days of

October. At last, on November 6, when his troops advanced a very short distance and occupied the ruins of Passchendaele

(Passendale), barely five miles beyond the starting point of his offensive, Haig felt that enough had been done. Having

prophesied a decisive success without “heavy losses,” he had lost 325,000 men and inflicted no comparable damage on the

Germans.

Pétain, less pretentious and merely testing what might be done with his rehabilitated French Army, had at least as much to show

for himself as Haig. In August the French 2nd Army under General M.-L.-A. Guillaumat fought the last battle of Verdun,

winning back all the remainder of what had been lost to the Germans in 1916. In October General P.-A.-M. Maistre ’s 10th

Army, in the Battle of Malmaison , took the ridge of the Chemin des Dames, north of the Aisne to the east of Soissons, where the front in Champagne joined the front in Picardy south of the Somme.

The British, at least, closed the year’s campaign with an operation of some significance for the future. When the offensive from

Ypres died out in the Flanders mud, they looked again at their tanks, of which they now had a considerable force but which they

could hardly use profitably in the swamps. A Tank Corps officer, Colonel J.F.C. Fuller , had already suggested a large-scale raid

on the front southwest of Cambrai , where a swarm of tanks, unannounced by any preparatory bombardment, could be released across the rolling downland against the German trenches. This comparatively modest scheme might have been wholly

successful if left unchanged, but the British command transformed it: Sir Julian Byng’s 3rd Army was to actually try to capture

Cambrai and to push on toward Valenciennes. On November 20, therefore, the attack was launched, with 324 tanks leading

Byng’s six divisions. The first massed assault of tanks in history took the Germans wholly by surprise, and the British achieved

a far deeper penetration and at less cost than in any of their past offensives. Unfortunately, however, all of Byng’s troops and

tanks had been thrown into the first blow, and, as he was not reinforced in time, the advance came to a halt several miles short

of Cambrai. A German counterstroke, on November 30, broke through on the southern flank of the new British salient and

threatened Byng’s whole army with disaster before being checked by a further British counterattack. In the end, three-quarters

of the ground that the British had won was reoccupied by the Germans. Even so, the Battle of Cambrai had proved that surprise

and the tank in combination could unlock the trench barrier.

THE FAR EAST

China ’s entry into the war in 1917 on the side of the Allies was motivated not by any grievance against the Central Powers but

by the Peking government’s fear lest Japan , a belligerent since 1914, should monopolize the sympathies of the Allies and of the United States when Far Eastern affairs came up for settlement after the war. Accordingly, in March 1917 the Peking

government severed its relations with Germany; and on August 14 China declared war not only on Germany but also on the

western Allies’ other enemy, Austria-Hungary . China’s contribution to the Allied war effort was to prove negligible in practical effects, however.

NAVAL OPERATIONS, 1917–18

Since Germany’s previous restrictions of its submarine warfare had been motivated by fear of provoking the United States into

war, the U.S. declaration of war in April 1917 removed any reason for the Germans to retreat from their already declared policy

of unrestricted warfare. Consequently, the U-boats, having sunk 181 ships in January, 259 in February, and 325 in March, sank

430 in April. The April sinkings represented 852,000 gross tons, to be compared both with the 600,000 postulated by the

German strategists as their monthly target and with the 700,000 that the British in March had pessimistically foretold for June.

The Germans had calculated that if the world’s merchant shipping could be sunk at the monthly rate of 600,000 tons, the Allies,

being unable to build new merchant ships fast enough to replace those lost, could not carry on the war for more than five

months. At the same time, the Germans, who had 111 U-boats operational when the unrestricted campaign began, had embarked

on an extensive building program that, when weighed against their current losses of one or two U-boats per month, promised a substantial net increase in the U-boats’ numbers. During April, one in every four of the merchant ships that sailed from British

ports was destined to be sunk, and by the end of May the quantity of shipping available to carry the vital foodstuffs and

munitions to Great Britain had been reduced to only 6,000,000 tons.

The April total, however, proved to be a peak figure—primarily because the Allies at last adopted the convoy system for the protection of merchant ships. Previously, a ship bound for one of the Allies’ ports had set sail by itself as soon as it was loaded.

The sea was thus dotted with single and unprotected merchant ships, and a scouting U-boat could rely on several targets coming

into its range in the course of a cruise. The convoy system remedied this by having groups of merchant ships sail within a

protective ring of destroyers and other naval escorts. It was logistically possible and economically worthwhile to provide this

kind of escort for a group of ships. Furthermore, the combination of convoy and escort would force the U-boat to risk the

possibility of a counterattack in order to sink the merchant ships, thus giving the Allies a prospect of reducing the U-boats’

numbers. Despite the manifest and seemingly overwhelming benefits of the convoy system, the idea was novel and, like any untried system, met with powerful opposition from within the military. It was only in the face of extreme necessity and under

great pressure from Lloyd George that the system was tried, more or less as a last resort.

The first convoy sailed from Gibraltar to Great Britain on May 10, 1917; the first from the United States sailed later in May;

ships using the South Atlantic sailed in convoy from July 22. During the later months of 1917 the use of convoys caused an

abrupt fall in the sinkings by U-boats: 500,500 tons in May, 300,200 in September, and only about 200,600 in November. The

convoy system was so quickly vindicated that in August it was extended to shipping outward-bound from Great Britain. The Germans themselves soon observed that the British had grasped the principles of antisubmarine warfare, and that sailing ships in

convoys considerably reduced the opportunities for attack.

Apart from the convoys, the Allies improved their antisubmarine technology (hydrophones, depth charges, etc.) and extended

their minefields. In 1918, moreover, Admiral Sir Roger Keyes , in command at Dover, set up a system whereby the English

Channel was patrolled by surface craft with searchlights, so that U-boats passing through it had to submerge themselves to depths at which they were liable to strike the mines that had been laid for them. Subsequently, most of the U-boats renounced

the Channel as a way into the Atlantic and instead took the passage north of Great Britain, thus losing precious fuel and time before reaching the heavily traveled sea lanes of the western approaches to Great Britain. In the summer of 1918, U.S.

minelayers laid more than 60,000 mines (13,000 of them British) in a wide belt across 180 miles of the North Sea between Scotland and Norway, so as to obstruct the U-boats’ only access from Germany to the Atlantic other than the closely guarded

Channel.

The cumulative effect of all these measures was the gradual containment and ultimately the defeat of the U-boat campaign, which never again achieved the success of April 1917. While sinkings by submarines, after that month, steadily fell, the losses

of U-boats showed a slow but steady rise, and more than 40 were destroyed in the first six months of 1918. At the same time the

replacement of merchant vessels in the building program improved steadily, until it eventually far outstripped losses. In October

1918, for example, 511,000 tons of new Allied merchant ships were launched, while only 118,559 tons were lost.

AIR WARFARE

At the start of the war the land and sea forces used the aircraft put at their disposal primarily for reconnaissance, and air fighting began as the exchange of shots from small arms between enemy airmen meeting one another in the course of reconnoitering.

Fighter aircraft armed with machine guns, however, made their appearance in 1915. Tactical bombing and the bombing of enemy air bases were also gradually introduced at this time. Contact patrolling, with aircraft giving immediate support to

infantry, was developed in 1916.

Strategic bombing , on the other hand, was initiated early enough: British aircraft from Dunkirk bombed Cologne, Düsseldorf,

and Friedrichshafen in the autumn of 1914, their main objective being the sheds of the German dirigible airships, or Zeppelins ; and raids by German airplanes or seaplanes on English towns in December 1914 heralded a great Zeppelin offensive sustained

with increasing intensity from January 1915 to September 1916 (London was first bombed in the night of May 31–June 1,

1915). In October 1916 the British, in turn, began a more systematic offensive, from eastern France, against industrial targets in

southwestern Germany.

While the British directed much of their new bombing strength to attacks on the bases of the U-boats, the Germans used theirs

largely to continue the offensive against the towns of southeastern England. On June 13, 1917, in daylight, 14 German bombers

dropped 118 high explosive bombs on London and returned home safely. This lesson and that of subsequent raids by the

German Gotha bombers made the British think more seriously about strategic bombing and about the need for an air force

independent of the other fighting services. The Royal Air Force (RAF), the world’s first separate air service, was brought into active existence by a series of measures taken between October 1917 and June 1918.

PEACE MOVES, MARCH 1917–SEPTEMBER 1918

Until the end of 1916, the pursuit of peace was confined to individuals and to small groups. In the following months it began to

acquire a broad popular backing. Semi-starvation in towns, mutinies in the armies, and casualty lists that seemed to have no end

made more and more people question the need and the wisdom of continuing the war.

Francis Joseph, Austria’s venerable old emperor, died on Nov. 21, 1916. The new emperor, Charles I , and his foreign minister,

Graf Ottokar Czernin , initiated peace moves in the spring of 1917 but unfortunately did not concert their diplomatic efforts, and the channels of negotiation they opened between Austria-Hungary and the Allies had dried up by that summer.

In Germany, Matthias Erzberger , a Roman Catholic member of the Reichstag, had, on July 6, 1917, proposed that territorial

annexations be renounced in order to facilitate a negotiated peace. During the ensuing debates Bethmann Hollweg resigned the

office of chancellor, and the emperor William II appointed the next chancellor, Ludendorff’s nominee Georg Michaelis , without

consulting the Reichstag. The Reichstag , offended, proceeded to pass its Friedensresolution, or “peace resolution,” of July 19

by 212 votes. The peace resolution was a string of innocuous phrases expressing Germany’s desire for peace but without a clear renunciation of annexations or indemnities. The Allies took almost no notice of it.

Erzberger’s proposal of July 6 had been intended to pave the way for Pope Benedict XV’s forthcoming note to the belligerents of both camps. Dated Aug. 1, 1917, this note advocated a German withdrawal from Belgium and from France, the Allies’

withdrawal from the German colonies, and the restoration not only of Serbia, Montenegro, and Romania but also of Poland to

independence. France and Great Britain declined to give an express reply pending Germany’s statement of its attitude about

Belgium, on which Germany avoided committing itself.

An unofficial peace move was made in London: on Nov. 29, 1917, the Daily Telegraph published a letter from Lord

Lansdowne suggesting negotiations on the basis of the status quo antebellum . Lloyd George rejected Lansdowne’s theses on December 14.

The U.S. president Woodrow Wilson made himself the chief formulator and spokesman of the war aims of the Allies and the

United States. The first nine months of 1918 saw Wilson’s famous series of pronouncements on his war aims: the Fourteen

Points (January 8), the “ Four Principles ” (February 11), the “ Four Ends ” (July 4), and the “Five Particulars ” (September 27). Most important, not least because of Germany’s deluded reliance on them in its eventual suing for peace, were the Fourteen

Points: (1) open covenants of peace and the renunciation of secret diplomacy, (2) freedom of navigation on the high seas in wartime as well as peace, (3) the maximum possible freedom of trade, (4) a guaranteed reduction of armaments, (5) an impartial

colonial settlement accommodating not only the colonialist powers but also the peoples of the colonies, (6) the evacuation of all

Russian territory and respect for Russia’s right of self-determination, (7) the complete restoration of Belgium , (8) a complete

German withdrawal from France and satisfaction for France about Alsace-Lorraine, (9) a readjustment of Italy’s frontiers on an

ethnic basis, (10) an open prospect of autonomy for the peoples of Austria-Hungary , (11) the restoration of Romania , Serbia ,

and Montenegro , with free access to the sea for Serbia and international guarantees of the Balkan states ’ independence and

integrity , (12) the prospect of autonomy for non-Turkish peoples of the Ottoman Empire and the unrestricted opening of the

Straits, but secure sovereignty for the Turks in their own areas, (13) an independent Poland with access to the sea and under international guarantee, and (14) “a general association of nations,” to guarantee the independence and integrity of all states,

great and small. The three subsequent groups of pronouncements mainly consisted of idealistic expansions of themes implicit in the Fourteen Points, with increasing emphasis on the wishes of subject populations; but the first of the “Four Ends” was that

every arbitrary power capable by itself of disturbing world peace should be rendered innocuous.

Wilson’s peace campaign was a significant factor in the collapse of the will to fight

of the German people and the decision of the German government to sue for peace

in October 1918. Indeed, the Germans conducted their preliminary peace talks

exclusively with Wilson. And the Armistice , when it came on Nov. 11, 1918, was formally based upon the Fourteen Points and additional Wilsonian

pronouncements, with two reservations by the British and French relating to

Crowds on Wall Street celebrating the end of

World War I, New York City, 1918.

Library of Congress, Washington, D.C.

(digital file no. 09634)

freedom of the seas and reparations.

THE LAST OFFENSIVES AND THE ALLIES’ VICTORY

THE WESTERN FRONT, MARCH–SEPTEMBER 1918

As the German strength on the Western Front was being steadily increased by the

transfer of divisions from the Eastern Front (where they were no longer needed

since Russia had withdrawn from the war), the Allies’ main problem was how to

withstand an imminent German offensive pending the arrival of massive

reinforcements from the United States. Eventually Pétain persuaded the reluctant

Haig that the British with 60 divisions should extend their sector of the front from 100 to 125 miles as compared with the 325

miles to be held by the French with approximately 100 divisions. Haig thus devoted 46 of his divisions to the front from the

Channel to Gouzeaucourt (southwest of German-held Cambrai) and 14 to the remaining third of the front from Gouzeaucourt

past German-held Saint-Quentin to the Oise River.

On the German side, between Nov. 1, 1917, and March 21, 1918, the German divisions on the Western Front were increased

from 146 to 192, the troops being drawn from Russia, Galicia, and Italy. By these means the German armies in the west were

reinforced by a total of about 570,000 men. Ludendorff’s interest was to strike from his temporary position of strength—before

the arrival of the major U.S. contingents—and at the same time to ensure that his German offensive should not fail for the same

reasons as the Allies’ offensives of the past three years. Accordingly he formed an offensive strategy based on taking the tactical

line of least resistance. The main German attacks would begin with brief but extremely intense artillery bombardments using a

high proportion of poison gas and smoke shells. These would incapacitate the Allies’ forward trenches and machine-gun

emplacements and would obscure their observation posts. Then a second and lighter artillery barrage would begin to creep

forward over the Allied trenches at a walking pace (in order to keep the enemy under fire), with the masses of German assault

infantry advancing as closely as possible behind it. The key to the new tactics was that the assault infantry would bypass

machine-gun nests and other points of strong resistance instead of waiting, as had been the previous practice on both sides, for

reinforcements to mop up the obstructions before continuing the advance. The Germans would instead continue to advance in

the direction of the least enemy resistance. The mobility of the German advance would thus be assured, and its deep infiltration

would result in large amounts of territory being taken.

Such tactics demanded exceptionally fit and disciplined troops and a high level of training. Ludendorff accordingly drew the

best troops from all the Western Front forces at his disposal and formed them into elite shock divisions. The troops were

systematically trained in the new tactics, and every effort was also made to conceal the actual areas at which the German main

attacks would be made.

Ludendorff’s main attack was to be on the weakest sector of the Allies’ front, the 47 miles between Arras and La Fère (on the

Oise). Two German armies, the 17th and the 2nd, were to break through the front between Arras and Saint-Quentin, north of the

Somme, and then wheel right so as to force most of the British back toward the Channel, while the 18th Army, between the

Somme and the Oise, protected the left flank of the advance against counterattack from the south. Code-named “Michael ,” this offensive was to be supplemented by three other attacks: “St. George I” against the British on the Lys River south of

Armentières; “St. George II” against the British again between Armentières and Ypres; and “Blücher” against the French in

Champagne . It was finally decided to use 62 divisions in the main attack, “Michael.”

Preceded by an artillery bombardment using 6,000 guns, “Michael” was launched on March 21, 1918, and was helped by an

early morning fog that hid the German advance from the Allied observation posts. The attack, which is known as the Second

Battle of the Somme or the Battle of Saint-Quentin, took the British altogether by surprise, but it did not develop as Ludendorff had foreseen. While the 18th Army under von Hutier achieved a complete breakthrough south of the Somme, the major attack to

the north was held up, mainly by the British concentration of strength at Arras. For a whole week Ludendorff, in violation of his

new tactical emphasis, vainly persisted in trying to carry out his original plan instead of exploiting the unexpected success of the

18th Army, though the latter had advanced more than 40 miles westward and had reached Montdidier by March 27. At last,

however, the main effort of the Germans was converted into a drive toward Amiens, which began in force on March 30. By that

time the Allies had recovered from their initial dismay, and French reserves were coming up to the British line. The German

drive was halted east of Amiens and so too was a renewed attack on April 4. Ludendorff then suspended his Somme offensive.

This offensive had yielded the largest territorial gains of any operation on the Western Front since the First Battle of the Marne

in September 1914.

The Allies’ cause at least derived one overdue benefit from the collapse of one-third of the British front: at Haig’s own

suggestion, Foch was on March 26 appointed to coordinate the Allies’ military operations; and on April 14 he was named

commander in chief of the Allied armies. Previously, Haig had resisted the idea of a generalissimo.

On April 9 the Germans began “ St. George I ” with an attack on the extreme northern front between Armentières and the canal of La Bassée, their aim being to advance across the Lys River toward Hazebrouck. Such was the initial success of this attack

that “St. George II ” was launched the next day, with the capture of Kemmel Hill (Kemmelberg), southwest of Ypres , as its first

objective. Armentières fell, and Ludendorff came to think for a time that this Battle of the Lys might be turned into a major effort. The British, however, after being driven back 10 miles, halted the Germans short of Hazebrouck. French reinforcements

began to come up; and, when the Germans had taken Kemmel Hill (April 25), Ludendorff decided to suspend exploitation of the

advance, for fear of a counterstroke against his front’s new bulge.

Thus far Ludendorff had fallen short of strategic results, but he could claim huge tactical successes—the British casualties alone

amounted to more than 300,000. Ten British divisions had to be broken up temporarily, while the German strength mounted to

208 divisions, of which 80 were still in reserve. A restoration of the balance, however, was now in sight. A dozen U.S. divisions

had arrived in France, and great efforts were being made to swell the stream. Furthermore, Pershing , the U.S. commander, had

placed his troops at Foch’s disposal for use wherever required. See the video .

Engineers of the U.S. 3rd Infantry Division

preparing to cross the Marne River near Mézy,

Encyclopædia Britannica, Inc.

Ludendorff finally launched “ Blücher ” on May 27, on a front extending from Coucy, north of Soissons, eastward toward Reims. The Germans, with 15 divisions, suddenly attacked the seven French and British divisions opposing them, swarmed over

the ridge of the Chemin des Dames and across the Aisne River, and, by May 30, were on the Marne, between Château-Thierry

and Dormans. Once again the attack’s initial success went far beyond Ludendorff’s expectation or intention; and, when the

Germans tried to push westward against the right flank of the Allies’ Compiègne salient, which was sandwiched between the

Germans’ Amiens and Champagne bulges, they were checked by counterattacks, which included one sustained for a fortnight

from June 6 by U.S. divisions at Belleau Wood (Bois de Belleau). An attack from Noyon, against the left flank of the

Compiègne salient, came too late (June 9).

Overtaken by the inordinate fruition of his own offensives, Ludendorff paused for a month’s recuperation. The tactical success

of his own blows had been his undoing; yielding to their influence, he had pressed each too far and too long, using up his own

reserves and causing an undue interval between blows. He had driven three great wedges into the Allied lines, but none had

penetrated far enough to sever a vital rail artery, and this strategic failure left the Germans with a front whose several bulges

invited flanking counterstrokes. Moreover, Ludendorff had used up many of his shock troops in the attacks, and the remaining

troops, though strong in numbers, were relatively lower in quality. The Germans were to end up sustaining a total of 800,000

casualties in their great 1918 offensives. Meanwhile, the Allies were now receiving U.S. troops at the rate of 300,000 men per

month.

The next German offensive, which opened the Second Battle of the Marne , was launched in Champagne on July 15. It came to nothing: a German thrust from the

front east of Reims toward Châlons-sur-Marne was frustrated by the “elastic

defense” that Pétain had recently been prescribing but that the local commanders had failed to practice against the offensive of May 27. A drive from Dormans, on

the left flank of the Germans’ huge Soissons–Reims bulge, across the Marne

toward Épernay simply made the Germans’ situation more precarious when Foch’s

long-prepared counterstroke was launched on July 18. In this great counterstroke

one of Foch’s armies assailed the Germans’ Champagne bulge from the west,

another from the southwest, one more from the south, and a fourth from the

vicinity of Reims . Masses of light tanks—a weapon on which Ludendorff had placed little reliance, preferring gas instead in his plans for the year—played a vital

part in forcing the Germans into a hasty retreat. By August 2 the French had pushed the Champagne front back to a line

following the Vesle River from Reims and then along the Aisne to a point west of Soissons .

Having recovered the initiative, the Allies were determined not to lose it, and for their next blow they chose again the front north and south of the Somme. The British 4th Army, including Australian and Canadian forces, with 450 tanks, struck the

Germans with maximum surprise on Aug. 8, 1918. Overwhelming the German forward divisions, who had failed to entrench

themselves adequately since their recent occupation of the “Michael” bulge, the 4th Army advanced steadily for four days,

taking 21,000 prisoners and inflicting as many or more casualties at the cost of only about 20,000 casualties to itself, and halting

only when it reached the desolation of the old battlefields of 1916. Several German divisions simply collapsed in the face of the

offensive, their troops either fleeing or surrendering. The Battle of Amiens was thus a striking material and moral success for the Allies. Ludendorff put it differently: “August 8 was the black day of the German Army in the history of the war . . . It put

the decline of our fighting power beyond all doubt . . . The war must be ended.” He informed Emperor William II and Germany’s political chiefs that peace negotiations should be opened before the situation became worse, as it must. The

conclusions reached at a German Crown Council held at Spa were that “We can no longer hope to break the war-will of our

enemies by military operations,” and “the objects of our strategy must be to paralyse the enemy’s war-will gradually by a

strategic defensive.” In other words, the German high command had abandoned hope of victory or even of holding their gains

and hoped only to avoid surrender.

Meanwhile, the French had retaken Montdidier and were thrusting toward Lassigny (between Roye and Noyon ); and on August 17 they began a new drive from the Compiègne salient south of Noyon. Then, in the fourth week of August, two more British

armies went into action on the Arras–Albert sector of the front, the one advancing directly eastward on Bapaume, the other

operating farther to the north. From then on Foch delivered a series of hammer blows along the length of the German front,

launching a series of rapid attacks at different points, each broken off as soon as its initial impetus waned, and all close enough in time to attract German reserves, which consequently were unavailable to defend against the next Allied attack along a

different part of the front. By the early days of September the Germans were back where they had been before March 1918—

behind the Hindenburg Line .

The Allies’ recovery was consummated by the first feat executed by Pershing’s U.S. forces as an independent army (hitherto the U.S. divisions in France had fought only in support of the major French or British units): the U.S. 1st Army on September

12 erased the triangular Saint-Mihiel salient that the Germans had been occupying since 1914 (between Verdun and Nancy ).

The clear evidence of the Germans’ decline decided Foch to seek victory in the coming autumn of 1918 instead of postponing the attempt until 1919. All the Allied armies in the west were to combine in a simultaneous offensive.

OTHER DEVELOPMENTS IN 1918

CZECHS, YUGOSLAVS, AND POLES

Something must now be said about the growth of the national movements, which, under the eventual protection of the Allies,

were to result in the foundation of new states or the resurrection of long-defunct ones at the end of the war. There were three

such movements: that of the Czechs, with the more backward Slovaks in tow; that of the South Slavs, or Yugoslavs (Serbs,

Croats, and Slovenes); and that of the Poles. The Czech country, namely Bohemia and Moravia, belonged in 1914 to the

Austrian half of the Habsburg monarchy, the Slovak to the Hungarian half. The Yugoslavs had already been represented in 1914

by two independent kingdoms, Serbia and Montenegro, but they were also predominantly numerous in territories still under

Habsburg rule: Serbs in Bosnia and Hercegovina (an Austro-Hungarian condominium) and in Dalmatia (an Austrian

possession); Croats in Croatia (Hungarian), in Istria (Austrian), and in Dalmatia ; Slovenes in Istria and in Illyria (Austrian

likewise). Poland was divided into three parts: Germany had the north and the west as provinces of the Kingdom of Prussia ;

Austria had Galicia (including an ethnically Ukrainian extension to the east); Russia had the rest.

Delegates at negotiations for the treaties of

Brest-Litovsk, 1918.

George Grantham Bain Collection/Library of

Congress, Washington, D.C. (digital file no.

26094)

The Czechs had long been restless under the Austrian regime, and one of their leading intellectual spokesmen, Tomáš Masaryk (in fact a Slovak), had already envisaged the carving of Czechoslovak and Yugoslav states out of Austria-Hungary in December

1914. In 1916 he and a fellow émigré, Edvard Beneš , based respectively in London and in Paris, organized a Czechoslovak

National Council. The western Allies committed themselves to the Czechoslovak idea from 1917 onward, when Russia’s imminent defection from the war made them ready to exploit any means at hand for the disabling of Austria-Hungary; and

Wilson ’s sympathy was implicit in his successive peace pronouncements of 1918.

For the South Slavs of Austria-Hungary the Yugoslav Committee , with representatives in Paris and in London, was founded in

April 1915. On July 20, 1917, this committee and the Serbian government in exile made the joint Corfu Declaration forecasting a South Slav state to comprise Serbs, Croats, and Slovenes.

The Polish nationalist leaders in the first years of the war were uncertain whether to rely on the Central Powers or on the Allies

for a restoration of Poland’s independence. So long as the western Allies hesitated to encourage Polish nationalism for fear of

offending imperial Russia, the Central Powers seemed to be the most likely sponsors; and Austria at least allowed Józef

Piłsudski, from 1914, to organize his volunteer Polish legions to serve with Austrian forces against the Russians. Austria’s

benevolence , however, was not reflected by Germany; and when the Two Emperors’ Manifesto of Nov. 5, 1916, provided for the constitution of an independent Polish kingdom, it was clear that this kingdom would consist only of Polish territory

conquered from Russia, not of any German or Austrian territory. When, after the March Revolution of 1917, the Russian

provisional government had recognized Poland’s right to independence, Roman Dmowski ’s Polish National Committee , which from 1914 had been functioning in a limited way under Russian protection, could at last count seriously on the sympathy of the

western Allies. While Piłsudski declined to raise a Polish army to fight on against the new Russia, a Polish army was formed in

France, as well as two army corps in Belorussia and in the Ukraine , to fight against the Central Powers. The Bolshevik

Revolution and Wilson’s Fourteen Points together consummated the alignment of the Poles on the side of the western powers.

EASTERN EUROPE AND THE RUSSIAN PERIPHERY, MARCH–NOVEMBER 1918

The Treaty of Brest-Litovsk (March 3, 1918) gave Germany a free hand to do what it liked with Russia’s former possessions in eastern Europe. While they pursued

their plan of 1916 for a kingdom of Poland , the Germans took new measures for the other countries. Lithuania, recognized as independent, was to be a kingdom

under some German prince. Latvia and Estonia were to be merged into a grand duchy of the Baltikum under the hereditary rule of Prussia. An expeditionary force

of 12,000 men, under General Graf Rüdiger von der Goltz , was sent to Finland to

uphold the Finnish general C.G.E. Mannerheim ’s nationalist forces against the Red

Guards, whom the Bolsheviks, despite their recognition of Finland’s independence, were now promoting there. And finally, the Ukrainian nationalist government,

which had already been challenged by a Communist one before its separate peace

with the Central Powers (Brest-Litovsk, February 9), was promptly displaced by a new regime after the advance of German and

Austro-Hungarian troops into its territory.

The Romanian armistice of December 1917 was converted into the Treaty of Bucharest on May 7, 1918. Under this treaty’s

terms, southern Dobruja was ceded to Bulgaria; northern Dobruja was put under the joint administration of the Central Powers;

and the latter obtained virtual control of Romania ’s oil fields and communications. Romania, on the other hand, had some

consolation from Bessarabia , whose nationalists, after receiving Romanian assistance against the Bolsheviks, had voted in March 1918 for their country’s conditional union with Romania.

Even Transcaucasia began to slide into the German camp. The short-lived federal republic was dissolved by its three

members’ individual declarations of independence—Georgia’s on May 26, Armenia ’s and Azerbaijan ’s on May 28. Treaties of

friendship were promptly signed between Georgia and Germany and between Armenia and Turkey, and Turkish troops

advanced into Azerbaijan, where they occupied Baku on September 15. The western Allies, meanwhile, were hoping that some new semblance of an Eastern Front could be conjured up if they supported the various and growing forces in Russia that were

opposed to the peacemaking Bolsheviks. Since the Black Sea and the Baltic were closed to them, the Allies could land troops only on Russia’s Arctic and Pacific shores. Thus, the Allied “intervention” in Russia on the side of the anti-Bolshevik (“White”)

forces, long to be execrated by Soviet historians, began with an Anglo-French landing at Murmansk , in the far north, on March 9, 1918. The subsequent reinforcement of Murmansk made possible the occupation of the Murmansk railway as far south as

Soroka (now Belomorsk); and a further landing at Arkhangelsk in the summer raised the total Allied strength in northern Russia to some 48,000 (including 20,000 Russian “Whites”). By this time, moreover, there were some 85,000 interventionist

troops in Siberia , where a strong Japanese landing at Vladivostok in April had been followed by British, French, Italian, and

U.S. contingents . A “White” provisional government of Russia was set up at Omsk , with Admiral A.V. Kolchak as its dominant personality. The “White” resistance in the south of European Russia, which had been growing since November 1917,

was put under the supreme command of General A.I. Denikin in April 1918.

THE BALKAN FRONT, 1918

At Salonika the Allies’ politically ambitious but militarily ineffective commander in chief, General Sarrail, was replaced at the

end of 1917 by General Guillaumat , who was in turn succeeded in July 1918 by General L.-F.-F. Franchet d’Esperey , who launched a major offensive in September with six Serbian and two French divisions against a seven-mile front held by only one

Bulgarian division.

The initial assault, preceded by heavy bombardment at night, began in the morning of Sept. 15, 1918, and a five-mile

penetration was achieved by nightfall on September 16. The next day the Serbs advanced 20 miles forward, while French and

Greek forces on their flanks widened the breach to 25 miles. A British attack, launched on September 18 on the front between

the Vardar and Lake Doiran, prevented the Bulgars from transferring troops westward against the right flank of the penetration; and by September 19 the Serbian cavalry had reached Kavadarci, at the apex of the Crna–Vardar triangle. Two days later the

whole Bulgarian front west of the Vardar had collapsed.

While Italian forces in the extreme west advanced on Prilep , the elated Serbs, with the French beside them, pressed on up the Vardar Valley. The British in the east now made such headway as to take Strumica, across the old Bulgarian frontier, on

September 26. The Bulgars then sued for an armistice; and on September 29, when a bold French cavalry thrust up the Vardar

from Veles (Titov Veles) took Skopje , key to the whole system of communications for the Balkan front, Bulgarian delegates

signed the Armistice of Salonika , accepting the Allies’ terms unreservedly.

THE TURKISH FRONTS, 1918

The British–Turkish front in Palestine in the summer of 1918 ran from the Jordan River westward north of Jericho and Lydda to the Mediterranean just north of Jaffa. North of this front there were three Turkish “armies” (in fact, barely stronger than

divisions): one to the east of the Jordan, two to the west. These armies depended for their supplies on the Hejaz Railway , the

main line of which ran from Damascus southward, east of the Jordan, and which was joined at Déraa (Darʿā) by a branch line serving Palestine.

Liman von Sanders , Falkenhayn’s successor as commander of the Turkish forces in Syria–Palestine, was convinced that the British would make their main effort east of the Jordan. Allenby, however, was really interested in taking a straight northerly

direction, reckoning that the Palestine branch rail line at ʿAfula and Beisān, some 60 miles behind the Turkish front, could be reached by a strategic “bound” of his cavalry and that their fall would isolate the two Turkish armies in the west.

Having by ruse and diversion induced the Turks to reduce their strength in the west, Allenby struck there on Sept. 19, 1918,

with a numerical superiority of 10 to one. In this Battle of Megiddo , a British infantry attack swept the astonished defenders aside and opened the way for the cavalry, which rode 30 miles north up the coastal corridor before swinging inland to cut the

Turks’ northward lines of retreat. ʿAfula, Beisān, and even Nazareth , farther north, were in British hands the next day.

When the Turks east of the Jordan River began to retreat on September 22, the Arabs had already severed the railway line and

were lying in wait for them; and a British cavalry division from Beisān was also about to push eastward to intercept their

withdrawal. Simultaneously, two more British divisions and another force of Arabs were racing on toward Damascus, which fell

on October 1. The campaign ended with the capture of Aleppo and the junction of the Baghdad Railway . In 38 days Allenby’s forces had advanced 350 miles and taken 75,000 prisoners at a cost of less than 5,000 casualties.

In Mesopotamia, meanwhile, the British had taken Kifrī, north of the Diyālā left-bank tributary of the Tigris, in January 1918, and Khān al-Baghdāẖī, up the Euphrates, in March. Pressing northward from Kifrī, they took Kirkūk in May but soon evacuated

it.

The British centre in Mesopotamia, advancing up the Tigris in October, was about to capture Mosul when the hostilities were suspended. The Ottoman government, seeing eastern Turkey defenseless and fearing an Allied advance against Istanbul from

the west now that Bulgaria had collapsed, decided to capitulate. On October 30 the Armistice of Mudros was signed, on a

British cruiser off Lemnos . The Turks, by its terms, were to open the Straits to the Allies; demobilize their forces; allow the Allies to occupy any strategic point that they might require and to use all Turkey’s ports and railways; and order the surrender

of their remaining garrisons in Arabia, Syria, and Mesopotamia. The centuries-old Ottoman Empire had come to an end.

VITTORIO VENETO

After the stabilization of the Italian front on the Piave River at the end of 1917, the Austrians made no further move until the

following June. They then tried not only to force the Tonale Pass and enter northeastern Lombardy but also to make two

converging thrusts into central Venetia , the one southeastward from the Trentino , the other southwestward across the lower Piave. The whole offensive came to worse than nothing, the attackers losing 100,000 men.

Diaz , the Italian commander in chief, was meanwhile deliberately abstaining from positive action until Italy should be ready to strike with success assured. In the offensive he planned, three of the five armies lining the front from the Monte Grappa sector

to the Adriatic end of the Piave were to drive across the river toward Vittorio Veneto, so as to cut communications between the

two Austrian armies opposing them.

When Germany, in October 1918, was at last asking for an armistice (see below The end of the German war), Italy’s time had obviously come. On October 24, the anniversary of Caporetto, the offensive opened. An attack in the Monte Grappa sector was

repulsed with heavy loss, though it served to attract the Austrian reserves, and the flooding of the Piave prevented two of the

three central armies from advancing simultaneously with the third; but the latter, comprising one Italian and one British corps,

having under cover of darkness and fog occupied Papadopoli Island farther downstream, won a foothold on the left bank of the

river on October 27. The Italian reserves were then brought up to exploit this bridgehead.

Mutiny was already breaking out in the Austrian forces, and on October 28 the Austrian high command ordered a general

retreat. Vittorio Veneto was occupied the next day by the Italians, who were also pushing on already toward the Tagliamento.

On November 3 the Austrians obtained an armistice (see below).

THE COLLAPSE OF AUSTRIA-HUNGARY

The duality of the Habsburg monarchy had been underlined from the very beginning of the war. Whereas the Austrian

parliament, or Reichsrat , had been suspended in March 1914 and was not reconvened for three years, the Hungarian parliament

in Budapest continued its sessions, and the Hungarian government proved itself constantly less amenable to dictation from the military than had the Austrian. The Slav minorities, however, showed little sign of anti-Habsburg feeling before Russia’s March

Revolution of 1917. In May 1917, however, the Reichsrat was reconvened, and just before the opening session the Czech

intelligentsia sent a manifesto to its deputies calling for “a democratic Europe . . . of autonomous states.” The Bolshevik

Revolution of November 1917 and the Wilsonian peace pronouncements from January 1918 onward encouraged socialism , on

the one hand, and nationalism , on the other, or alternatively a combination of both tendencies, among all peoples of the Habsburg monarchy.

Early in September 1918 the Austro-Hungarian government proposed in a circular note to the other powers that a conference be

held on neutral territory for a general peace. This proposal was quashed by the United States on the ground that the U.S.

position had already been enunciated by the Wilsonian pronouncements (the Fourteen Points, etc.). But when Austria-Hungary,

after the collapse of Bulgaria, appealed on October 4 for an armistice based on those very pronouncements, the answer on

October 18 was that the U.S. government was now committed to the Czechoslovaks and to the Yugoslavs, who might not be

satisfied with the “autonomy” postulated heretofore. The emperor Charles had, in fact, granted autonomy to the peoples of the

Austrian Empire (as distinct from the Hungarian Kingdom) on October 16, but this concession was ignored internationally and

served only to facilitate the process of disruption within the monarchy: Czechoslovaks in Prague and South Slavs in Zagreb had already set up organs ready to take power.

The last scenes of Austria-Hungary’s dissolution were performed very rapidly. On October 24 (when the Italians launched their

very timely offensive), a Hungarian National Council prescribing peace and severance from Austria was set up in Budapest. On

October 27 a note accepting the U.S. note of October 18 was sent from Vienna to Washington—to remain unacknowledged. On October 28 the Czechoslovak committee in Prague passed a “law” for an independent state, while a similar Polish committee

was formed in Kraków for the incorporation of Galicia and Austrian Silesia into a unified Poland. On October 29, while the

Austrian high command was asking the Italians for an armistice, the Croats in Zagreb declared Slavonia, Croatia, and Dalmatia

to be independent, pending the formation of a national state of Slovenes, Croats, and Serbs. On October 30 the German

members of the Reichsrat in Vienna proclaimed an independent state of German Austria.

The solicited armistice between the Allies and Austria-Hungary was signed at the Villa Giusti, near Padua , on Nov. 3, 1918, to become effective on November 4. Under its provisions, Austria-Hungary’s forces were required to evacuate not only all

territory occupied since August 1914 but also South Tirol, Tarvisio, the Isonzo Valley, Gorizia , Trieste , Istria , western

Carniola , and Dalmatia . All German forces should be expelled from Austria-Hungary within 15 days or interned, and the Allies were to have free use of Austria-Hungary’s internal communications and to take possession of most of its warships.

Count Mihály Károlyi, chairman of the Budapest National Council, had been appointed prime minister of Hungary by his king,

the Austrian emperor Charles , on October 31 but had promptly started to dissociate his country from Austria—partly in the

vain hope of obtaining a separate Hungarian armistice. Charles, the last Habsburg to rule in Austria-Hungary , renounced the right to participate in Austrian affairs of government on November 11, in Hungarian affairs on November 13.

THE FINAL OFFENSIVE ON THE WESTERN FRONT

It was eventually agreed among the Allied commanders that Pershing ’s American troops should advance across the difficult

terrain of the Argonne Forest, so that the combined Allied offensive would consist of converging attacks against the whole

German position west of a line drawn from Ypres to Verdun. Thus, the Americans from the front northwest of Verdun and the

French from eastern Champagne , the former on the west bank of the Meuse, the latter west of the Argonne Forest, were to

launch attacks on September 26, with Mézières as their objective, in order to threaten not only the Germans’ supply line along the Mézières–Sedan–Montmédy railway and the natural line of retreat across Lorraine but also the hinge of the Antwerp–Meuse

defensive line that the Germans were now preparing. The British were to attack the Hindenburg Line between Cambrai and

Saint-Quentin on September 27 and to try to reach the key rail junction of Maubeuge, so as to threaten the Germans’ line of

retreat through the Liège gap. The Belgians, with Allied support, were to begin a drive from Ypres toward Ghent on September 28.

The Americans took Vauquois and Montfaucon in the first two days of their

offensive but were soon slowed down, and on October 14, when their attack was

British troops passing through the ruins of Ypres,

West Flanders, Belgium, September 29, 1918.

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British soldiers of the North Lancashire

Regiment passing through liberated Cambrai,

France, …

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suspended, they had only reached Grandpré, less than halfway to Mézières. The

French advance meanwhile was halted on the Aisne. The British, though they had

broken through the German defenses by October 5 and thenceforward had open

country in front of them, could not pursue the Germans fast enough to endanger

their withdrawal. Nevertheless, the piercing of the Hindenburg Line unnerved the

German supreme command. The Belgians were in possession of all the heights

around Ypres by September 30.

THE END OF THE GERMAN WAR

Georg von Hertling , who had taken the place of Michaelis as Germany’s

chancellor in November 1917 but had proved no more capable than he of restraining Ludendorff and Hindenburg, tendered his resignation on Sept. 29, 1918,

the day of the Bulgarian armistice and of the major development of the British attack on the Western Front. Pending the appointment of a new chancellor,

Ludendorff and Hindenburg obtained the Emperor’s consent to an immediate peace

move. On October 1 they even disclosed their despondency to a meeting of the

leaders of all the national political parties, thus undermining the German home

front by a sudden revelation of facts long hidden from the public and its civilian

leaders. This new and bleak honesty about Germany’s deteriorating military

situation gave an immense impetus to the native German forces of pacifism and

internal discord . On October 3 the new chancellor was appointed: he was Prince

Maximilian of Baden, internationally known for his moderation and honorability. Though Max demanded a few days’ interval lest Germany’s overture for peace should appear too obviously an admission of imminent collapse, the military leaders insisted

on an immediate move. A German note to Wilson , requesting an armistice and negotiations on the basis of Wilson’s own pronouncements, was sent off in the night of October 3–4.

The U.S. answer of October 8 required Germany’s preliminary assent (1) to negotiations on the sole question of the means of

putting Wilson’s principles into practice and (2) to the withdrawal of German forces from Allied soil. The German

government’s note of October 12 accepted these requirements and suggested a mixed commission to arrange the postulated

evacuation. On October 14, however, the U.S. government sent a second note, which coupled allusions to Germany’s “illegal and inhuman” methods of warfare with demands that the conditions of the armistice and of the evacuation be determined

unilaterally by its own and the Allies’ military advisers and that the “arbitrary power” of the German regime be removed in

order that the forthcoming negotiations could be conducted with a government representative of the German people.

By this time the German supreme command had become more cheerful, even optimistic, as it saw that the piercing of the

Hindenburg Line had not been followed by an actual Allied breakthrough. More encouragement came from reports of a slackening in the force of the Allies’ attacks, largely because they had advanced too far ahead of their supply lines. Ludendorff

still wanted an armistice, but only to give his troops a rest as a prelude to further resistance and to ensure a secure withdrawal to

a shortened defensive line on the frontier. By October 17 he even felt that his troops could do without a rest. It was less that the

situation had changed than that his impression of it had been revised; it had never been quite so bad as he had pictured it on

September 29. But his dismal first impression had now spread throughout German political circles and the public. Though they

had endured increasing privations and were half-starved due to the Allied blockade by mid-1918, the German people had retained their morale surprisingly well as long as they believed Germany had a prospect of achieving victory on the Western

Front. When this hope collapsed in October 1918, many, and perhaps even most, Germans wished only that the war would end,

though it might mean their nation would have to accept unfavourable peace terms. German public opinion, having been more

suddenly disillusioned, was now far more radically defeatist than the supreme command.

A third German note to the United States, sent on October 20, agreed to the unilateral settlement of conditions for the armistice

and for the evacuation, in the express belief that Wilson would allow no affront to Germany’s honour. The answering U.S. note

of October 23 conceded Wilson’s readiness to propose an armistice to the Allies but added that the terms must be such as to

make Germany incapable of renewing hostilities. Ludendorff saw this, militarily, as a demand for unconditional surrender and

would therefore have continued resistance. But the situation had passed beyond his control, and on October 26 he was made to

resign by the Emperor, on Prince Max’s advice. On October 27 Germany acknowledged the U.S. note.

Wilson now began to persuade the Allies to agree to an armistice and negotiations according to the U.S.–German

correspondence. They agreed, with two reservations: they would not subscribe to the second of the Fourteen Points (on the

freedom of the seas); and they wanted “compensation…for damage done to the civilian population…and their property by the

aggression of Germany.” Wilson’s note of November 5 apprised the Germans of these reservations and stated that Foch would

communicate armistice terms to Germany’s accredited representatives. On November 8 a German delegation, led by Matthias

Erzberger, arrived at Rethondes, in the Forest of Compiègne, where the Germans met face to face with Foch and his party and were informed of the Allies’ peace terms.

Meanwhile, revolution was shaking Germany. It began with a sailors’ mutiny at Kiel on October 29 in reaction to the naval

command’s order for the High Seas Fleet to go out into the North Sea for a conclusive battle. Though the U-boat crews remained loyal, the mutiny of the surface-ship crews spread to other units of the fleet, developed into armed insurrection on

November 3, and progressed to open revolution the next day. There were disturbances in Hamburg and in Bremen ; “councils of soldiers and workers,” like the Russian soviets, were formed in inland industrial centres; and in the night of November 7–8 a

“democratic and socialist Republic of Bavaria” was proclaimed. The Social Democrats of the Reichstag withdrew their support

from Prince Max’s government in order to be free to contend against the Communists for the leadership of the revolution. While

William II, at Spa , was still wondering whether he could abdicate his imperial German title but remain king of Prussia, Prince

Max, in Berlin on November 9, on his own initiative, announced William’s abdication of both titles. The Hohenzollern monarchy thus came to an end, joining those of the Habsburgs and the Romanovs. Prince Max handed his powers as chancellor

over to Friedrich Ebert , a Majority Social Democrat, who formed a provisional government. A member of this government,

Philipp Scheidemann , hastily proclaimed a republic. On November 10 William II took refuge in the neutral Netherlands ,

where on November 28 he signed his own abdication of his sovereign rights.

Briefcase in hand, French Marshal Ferdinand

Foch, commander in chief of all Allied armies in

World …

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The British battleship Queen Elizabeth leading the surrendering German fleet, …

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THE ARMISTICE

The Allies’ armistice terms presented in the railway carriage at Rethondes were

stiff. Germany was required to evacuate not only Belgium, France, and Alsace-

Lorraine but also all the rest of the left (west) bank of the Rhine, and it had to

neutralize that river’s right bank between the Netherlands and Switzerland . The

German troops in East Africa were to surrender; the German armies in eastern Europe were to withdraw to the prewar German frontier; the treaties of Brest-

Litovsk and Bucharest were to be annulled; and the Germans were to repatriate all prisoners of war and hand over to the Allies a large quantity of war materials,

including 5,000 pieces of artillery, 25,000 machine guns, 1,700 aircraft, 5,000

locomotives, and 150,000 railroad cars. And meanwhile, the Allies’ blockade of

Germany was to continue.

Pleading the danger of Bolshevism in a nation on the verge of collapse, the German

delegation obtained some mitigation of these terms: a suggestion that the blockade might be relaxed, a reduction in the quantity of armaments to be handed over, and

permission for the German forces in eastern Europe to stay put for the time being.

The Germans might have held out longer for further concessions if the fact of revolution on their home front had not been coupled with the imminence of a new

blow from the west.

Though the Allied advance was continuing and seemed in some sectors even to be

accelerating, the main German forces had managed to retreat ahead of it. The

Germans’ destruction of roads and railways along the routes of their evacuation

made it impossible for supplies to keep pace with the advancing Allied troops; a

pause in the advance would occur while Allied communications were being

repaired, and that would give the Germans a breathing space in which to rally their

resistance. By November 11 the Allied advance on the northern sectors of the front

had come more or less to a standstill on a line running from Pont-à-Mousson

through Sedan, Mézières, and Mons to Ghent. Foch, however, now had a

Franco -U.S. force of 28 divisions and 600 tanks in the south ready to strike through Metz into northeastern Lorraine. Since Foch’s general offensive had absorbed the Germans’ reserves, this new offensive would fall on their bared left flank and held

the promise of outflanking their whole new line of defense (from Antwerp to the line of the Meuse) and of intercepting any

German retreat. By this time the number of U.S. divisions in France had risen to 42. In addition, the British were about to bomb Berlin on a scale hitherto unattempted in air warfare.

Whether the Allies’ projected final offensive, intended for November 14, would have achieved a breakthrough can never be

known. At 5:00 AM on Nov. 11, 1918, the Armistice document was signed in Foch ’s railway carriage at Rethondes. At 11:00 AM on the same day, World War I came to an end.

The fact that Matthias Erzberger, who was a civilian politician rather than a soldier, headed the German armistice delegation

became an integral part of the legend of the “stab in the back” (Dolchstoss im Rücken). This legend’s theme was that the German Army was “undefeated in the field” (unbesiegt im Felde) and had been “stabbed in the back”—i.e., had been denied

support at the crucial moment by a weary and defeatist civilian population and their leaders. This theme was adopted soon after

the war’s end by Ludendorff himself and by other German generals who were unwilling to admit the hopelessness of

Germany’s military situation in November 1918 and who wanted to vindicate the honour of German arms. The “stab in the

back” legend soon found its way into German historiography and was picked up by German right-wing political agitators who claimed that Allied propaganda in Germany in the last stages of the war had undermined civilian morale and that traitors among

the politicians had been at hand ready to do the Allies’ bidding by signing the Armistice. Adolf Hitler eventually became the foremost of these political agitators, branding Erzberger and the leaders of the Social Democrats as the “November criminals”

and advocating militaristic and expansionist policies by which Germany could redeem its defeat in the war, gain vengeance upon its enemies, and become the preeminent power in Europe.

KILLED, WOUNDED, AND MISSING

The casualties suffered by the participants in World War I dwarfed those of previous wars: some 8,500,000 soldiers died as a

result of wounds and/or disease. The greatest number of casualties and wounds were inflicted by artillery, followed by small

arms, and then by poison gas. The bayonet , which was relied on by the prewar French Army as the decisive weapon, actually produced few casualties. War was increasingly mechanized from 1914 and produced casualties even when nothing important

was happening. On even a quiet day on the Western Front, many hundreds of Allied and German soldiers died. The heaviest

loss of life for a single day occurred on July 1, 1916, during the Battle of the Somme , when the British Army suffered 57,470 casualties.

Sir Winston Churchill once described the battles of the Somme and Verdun, which were typical of trench warfare in their futile

and indiscriminate slaughter, as being waged between double or triple walls of cannons fed by mountains of shells. In an open space surrounded by masses of these guns large numbers of infantry divisions collided. They fought in this dangerous position

until battered into a state of uselessness. Then they were replaced by other divisions. So many men were lost in the process and

shattered beyond recognition that there is a French monument at Verdun to the 150,000 unlocated dead who are assumed to be

buried in the vicinity.

This kind of war made it difficult to prepare accurate casualty lists. There were revolutions in four of the warring countries in

1918, and the attention of the new governments was shifted away from the grim problem of war losses. A completely accurate

table of losses may never be compiled. The best available estimates of World War I military casualties are assembled in Table 4.

Armed forces mobilized and casualties in World War I*

country total mobilized forces

killed and died

wounded prisoners and missing

total casualties

percentage of mobilized forces in casualties

Allied and Associated Powers

Russia 12,000,000 1,700,000 4,950,000 2,500,000 9,150,000 76.3

British Empire

8,904,467 908,371 2,090,212 191,652 3,190,235 35.8

France 8,410,000 1,357,800 4,266,000 537,000 6,160,800 73.3

Italy 5,615,000 650,000 947,000 600,000 2,197,000 39.1

United States

4,355,000 116,516 204,002 4,500 323,018 8.1

Japan 800,000 300 907 3 1,210 0.2

Romania 750,000 335,706 120,000 80,000 535,706 71.4

Serbia 707,343 45,000 133,148 152,958 331,106 46.8

Belgium 267,000 13,716 44,686 34,659 93,061 34.9

Greece 230,000 5,000 21,000 1,000 27,000 11.7

Portugal 100,000 7,222 13,751 12,318 33,291 33.3

Montenegro 50,000 3,000 10,000 7,000 20,000 40.0

total 42,188,810 5,142,631 12,800,706 4,121,090 22,064,427 52.3

Central Powers

Germany 11,000,000 1,773,700 4,216,058 1,152,800 7,142,558 64.9

Austria- Hungary

7,800,000 1,200,000 3,620,000 2,200,000 7,020,000 90.0

Turkey 2,850,000 325,000 400,000 250,000 975,000 34.2

Bulgaria 1,200,000 87,500 152,390 27,029 266,919 22.2

total 22,850,000 3,386,200 8,388,448 3,629,829 15,404,477 67.4

Grand total 65,038,810 8,528,831 21,189,154 7,750,919 37,468,904 57.5

*As reported by the U.S. War Department in February 1924. U.S. casualties as amended by the Statistical Services Center, Office of the Secretary of Defense, Nov. 7, 1957.

Similar uncertainties exist about the number of civilian deaths attributable to the war. There were no agencies established to

keep records of these fatalities, but it is clear that the displacement of peoples through the movement of the war in Europe and

in Asia Minor, accompanied as it was in 1918 by the most destructive outbreak of influenza in history, led to the deaths of large numbers. It has been estimated that the number of civilian deaths attributable to the war was higher than the military casualties,

or around 13,000,000. These civilian deaths were largely caused by starvation , exposure, disease, military encounters, and massacres.

John Graham Royde-Smith

The Editors of Encyclopædia Britannica

"World War I". Encyclopædia Britannica. Encyclopædia Britannica Online.

Encyclopædia Britannica Inc., 2017. Web. 04 Jan. 2017

<https://www.britannica.com/event/World-War-I>.

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Owen - Dulce et Decorum Est.pdf

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‘Dulce et Decorum est’ & intertextuality in Wilfred Owen

By Peter Olive & Xavier Murray-Pollock

Topics at a glance • War poems • Classical literature • Literary heritage poems • Comparing texts • Allusion

Horace: background & context Quintus Horatius Flaccus (Horace) was a Roman poet writing about 2,000 years ago. Horace was born in Italy, around 65 BC, and was educated at prestigious academies in Rome and Athens.

Most importantly – at least from a historian’s perspective – Horace’s life bears witness to considerable political upheaval. This included the civil war which started after the assassination of Julius Caesar; the battle at Actium (31 BC) where Mark Anthony was defeated; and the rise and consolidation of power by Caesar Augustus (formally known as Octavian). This period of transition between the Roman republic and Augustus’ rule heavily influenced his poetry as Horace was one of a number of poets commissioned by the Emperor Augustus to write favourably about his rule and its positive effects on Rome.

Horace’s ode is part of a collection of six poems focused on patriotic themes (known as the Roman Odes). For the most part, Horace claims that the young man can achieve virtue in battle and war, a sentiment his readership would have accepted quite readily. Since death comes even to those who turn tail and flee, is it not better to die in the pursuit of victory for one’s homeland?

Left: Wilfred Owen, from Poems (1920)

Overview This resource uses Wilfred Owen’s ‘Dulce et Decorum est’ as a springboard for discussion about the role and implications of allusion in poetry, an aspect of literature often overlooked with younger groups.

Dulce et decorum est pro patria mori – or the “old Lie”, as Owen describes it – is a quotation from the Odes of the Roman poet Horace, in which it is claimed that “it is sweet and fitting to die for one’s country”. Circulate both Horace and Owen’s poems (reprinted below) to your pupils, asking them to read first the Horace and then the Owen.

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While the poem exudes jingoistic, pro-war rhetoric against Rome’s age-old enemies the Parthians, note that there are moments in the poem after line 13 which convey war in a less favourable way. Indeed, one of the issues to always consider when reading Horace is whether he means what he says. Horace had first-hand experience of warfare, having served in the Roman army in his youth. It is no doubt significant that in another of Horace’s poems (Odes II.7.10) he admits that when he fought at the Battle of Philippi, he dropped his shield and fled.

Different contexts, differing attitudes Horace wrote in an age of revolution. In his youth, he had lived through the atrocity of a bloody civil war and fought in some of its battles. This war had begun with the assassination of the dictator, Julius Caesar, but ended with victory for Caesar’s nephew Octavian, who defeated his opponent, Mark Anthony, in the Battle of Actium (31BC).

Octavian then began a systematic campaign to put Rome back on her feet – under his own monarchical rule, rather than that of the aristocracy (the senate). To legitimize this controversial move, he renamed himself ‘Augustus’ (a name suggestive of religious reverence) and began a publicity campaign to emphasise his role in bringing peace to Rome. Horace’s poems were all part of this publicity, which projected an image of a Rome newly returned to peace and prosperity, and presented Augustus as a saviour.

Owen’s poem was written in 1917 during the First World War – a year before Owen’s death in action. Conscripted in 1915 till his death in 1918, Owen’s experience of war was quite different from the hand to hand fighting experienced by Horace. The horrors of chemical warfare loom large in ‘Dulce et Decorum est’. Owen had experienced the atrocities of war personally: he was hospitalised with concussion and later suffered shellshock. Owen never lived to see the conclusion of World War I.

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Allusion Owen’s quotation of Horace is called an allusion. An allusion is more than simply copying from another work: it is a conscious reference that invites critical engagement with another work that the reader is assumed to have read.

Right: Quintus Horatius Flaccus (Horace) as imagined by the German artist Anton von Werner, 1905.

Consider the difference in emphasis between these two poems. What can we deduce about how attitudes to war might have changed between

ancient Roman times and the First World War? What might account for these differences?

• Allusions to Latin poetry as used by Owen might be thought to lend gravity to a piece of literature by signalling or evoking a bygone age or literary tradition. If this is true, what are the implications of using a quotation about war from an age in which attitudes were so different from our own?

• Why do you think Owen chose to keep the phrase Dulce et decorum est pro patria mori in the original Latin? As an “old Lie”, is the phrase retained in Latin to indicate that this notion is old fashioned, or that it is never sufficiently challenged? What poetic merits might there be to keeping the phrase in Latin?

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• In his Ode Horace claims that the poor man can win honour in battle, yet the phrase in Owen’s poem, which he complains is designed to goad young men into battle, is only understood by the rich and educated Latin-speakers of the twentieth century. Horace was frequently taught at private schools, and most WWI officers, compared to the working class privates, were privately educated. What do you think this says about Owen’s choice?

• Horace’s poems are thought to have been part of a propaganda campaign. Does that affect how we think of them? Do we trust what he says?

• Do you think it is ever “sweet and fitting to die for one’s country”?

A scene from the altar of peace in Rome, built during Augustus’s rule (17 BC). This tranquil image displays a fertility goddess with two babies at her breast; various flora and fauna give the impression of a plentiful harvest. It suggests the welcome return of peace and prosperity after years of bloody war. Photo: Manfred Heyde. bit.ly/1Xjqatx

Discussion points

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Further discussion: Roman poetry in other contexts A quotation from The Aeneid, a poem by Horace’s contemporary Virgil, was used in the memorial at the World Trade Centre site in New York.

Why do you think a quotation from a 2,000 year old Latin poem was chosen to memorialise the victims of the Twin Towers attacks? Does invoking the classical past add a sense of timelessness to such a memorial? Is a quotation from 2,000 years ago and in a different language somehow to be taken more seriously?

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The National September 11 Memorial & Museum. Photo: Edward Stojakovic bit.ly/1RZMDue

Notes on Horace’s Odes 3.2 (see below) Parthians: The Parthian Empire, also known as the Arsacid Empire, was based across the Middle East and was an enemy of Rome.

Ceres: Roman goddess of agriculture. The men who followed her ‘secret rites’ were members of a distinct cult who worshipped her.

Jupiter: The king of the Roman gods, and also god of the sky and of thunder.

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Odes, 3.2 By Quintus Horatius Flaccus, c.23BC Let the boy, toughened by military service, learn how to make bitterest hardship his friend, and as a horseman, with fearful lance, go to vex the insolent Parthians, spending his life in the open, in the heart 5 of dangerous action. And seeing him, from the enemy’s walls, let the warring tyrant’s wife, and her grown-up daughter, sigh: ‘Ah, don’t let the inexperienced lover provoke the lion that’s dangerous to touch, 10 whom a desire for blood sends raging so swiftly through the core of destruction.’ It’s sweet and fitting to die for one’s country. Yet death chases after the soldier who runs, and it won’t spare the cowardly back 15 or the limbs, of peace-loving young men. Virtue, that’s ignorant of sordid defeat, shines out with its honour unstained, and never takes up the axes or puts them down at the request of a changeable mob. 20 Virtue, that opens the heavens for those who did not deserve to die, takes a road denied to others, and scorns the vulgar crowd and the bloodied earth, on ascending wings. And there’s a true reward for loyal silence: 25 I forbid the man who divulged those secret rites of Ceres, to exist beneath the same roof as I, or untie with me the fragile boat: often careless Jupiter included the innocent with the guilty, 30 but lame-footed Punishment rarely forgets the wicked man, despite his start.

Translation: A.S.Kline, 2003.

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Dulce et Decorum Est By Wilfred Owen, 1917 Bent double, like old beggars under sacks, Knock-kneed, coughing like hags, we cursed through sludge, Till on the haunting flares we turned our backs And towards our distant rest began to trudge. Men marched asleep. Many had lost their boots 5 But limped on, blood-shod. All went lame; all blind; Drunk with fatigue; deaf even to the hoots Of tired, outstripped Five-Nines that dropped behind.

Gas! Gas! Quick, boys! – An ecstasy of fumbling, Fitting the clumsy helmets just in time; 10 But someone still was yelling out and stumbling And flound’ring like a man in fire or lime. – Dim, through the misty panes and thick green light, As under a green sea, I saw him drowning.

In all my dreams, before my helpless sight, 15 He plunges at me, guttering, choking, drowning.

If in some smothering dreams you too could pace Behind the wagon that we flung him in, And watch the white eyes writhing in his face, His hanging face, like a devil’s sick of sin; 20 If you could hear, at every jolt, the blood Come gargling from the froth-corrupted lungs, Obscene as cancer, bitter as the cud Of vile, incurable sores on innocent tongues, – My friend, you would not tell with such high zest 25 To children ardent for some desperate glory, The old Lie: Dulce et decorum est Pro patria mori.

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King - Letter from Birmingham Jail.pdf

Letter From Birmingham Jail 1

A U G U S T 1 9 6 3

Letter from Birmingham Jail by Martin Luther King, Jr. From the Birmingham jail, where he was imprisoned as a participant in nonviolent demonstrations against segregation, Dr. Martin Luther King, Jr., wrote in longhand the letter which follows. It was his response to a public statement of concern and caution issued by eight white religious leaders of the South. Dr. King, who was born in 1929, did his undergraduate work at Morehouse College; attended the integrated Crozer Theological Seminary in Chester, Pennsylvania, one of six black pupils among a hundred students, and the president of his class; and won a fellowship to Boston University for his Ph.D.

WHILE confined here in the Birmingham city jail, I came across your recent statement calling our present activities "unwise and untimely." Seldom, if ever, do I pause to answer criticism of my work and ideas. If I sought to answer all of the criticisms that cross my desk, my secretaries would be engaged in little else in the course of the day, and I would have no time for constructive work. But since I feel that you are men of genuine good will and your criticisms are sincerely set forth, I would like to answer your statement in what I hope will be patient and reasonable terms. I think I should give the reason for my being in Birmingham, since you have been influenced by the argument of "outsiders coming in." I have the honor of serving as president of the Southern Christian Leadership Conference, an organization operating in every Southern state, with headquarters in Atlanta, Georgia. We have some eighty-five affiliate organizations all across the South, one being the Alabama Christian Movement for Human Rights. Whenever necessary and possible, we share staff, educational and financial resources with our affiliates. Several months ago our local affiliate here in Birmingham invited us to be on call to engage in a nonviolent direct-action program if such were deemed necessary. We readily consented, and when the hour came we lived up to our promises. So I am here, along with several members of my staff, because we were invited here. I am here because I have basic organizational ties here. Beyond this, I am in Birmingham because injustice is here. Just as the eighth-century prophets left their little villages and carried their "thus saith the Lord" far beyond the boundaries of their hometowns; and just as the Apostle Paul left his little village of Tarsus and carried the gospel of Jesus Christ to practically every hamlet and city of the Greco-Roman world, I too am compelled to carry the gospel of freedom beyond my particular hometown. Like Paul, I must constantly respond to the Macedonian call for aid. Moreover, I am cognizant of the interrelatedness of all communities and states. I cannot sit idly by in Atlanta and not be concerned about what happens in Birmingham. Injustice anywhere is a threat to justice everywhere. We are caught in an inescapable network of mutuality, tied in a single garment of destiny. Whatever affects one directly affects all indirectly. Never again can we afford to live with the narrow, provincial "outside agitator" idea. Anyone who lives inside the United States can never be considered an outsider. You deplore the demonstrations that are presently taking place in Birmingham. But I am sorry that your statement did not express a similar concern for the conditions that brought the demonstrations into being. I am sure that each of you would want to go beyond the superficial social analyst who looks merely at effects and does not grapple with underlying causes. I would not hesitate to say that it is unfortunate that so-called demonstrations are taking place in Birmingham at this time, but I would say in more emphatic terms that it is even more unfortunate that the white power structure of this city left the Negro community with no other alternative.

IN ANY nonviolent campaign there are four basic steps: collection of the facts to determine whether injustices are alive, negotiation, self-purification, and direct action. We have gone through all of these steps in Birmingham. There can be no gainsaying of the fact that racial injustice engulfs this community. Birmingham is probably the most thoroughly segregated city in the United States. Its ugly record of police brutality is known in every section of this country. Its unjust treatment of Negroes in the courts is a notorious reality. There have been more unsolved bombings of Negro homes and churches in Birmingham than in any other city in this nation. These are the hard, brutal, and unbelievable facts. On the basis of them, Negro leaders sought to negotiate with the city fathers. But the political leaders consistently refused to engage in good-faith negotiation. Then came the opportunity last September to talk with some of the leaders of the economic community. In these negotiating sessions certain promises were made by the merchants, such as the promise to remove the humiliating racial signs from the stores. On the basis of these promises, Reverend Shuttlesworth and the leaders of the Alabama Christian Movement for Human Rights agreed to call a moratorium on any type of demonstration. As the weeks and months unfolded, we realized that we were the victims of a broken promise. The signs remained. As in so many experiences of the past, we were confronted with blasted hopes, and the dark shadow of a deep disappointment settled upon us. So we had no alternative except that of preparing for direct action, whereby we would present our very bodies as a means of laying our case before the conscience of the local and national community. We were not unmindful of the difficulties involved. So we decided to go through a process of self-purification. We

Letter From Birmingham Jail 2

started having workshops on nonviolence and repeatedly asked ourselves the questions, "Are you able to accept blows without retaliating?" and "Are you able to endure the ordeals of jail?" We decided to set our direct-action program around the Easter season, realizing that, with exception of Christmas, this was the largest shopping period of the year. Knowing that a strong economic withdrawal program would be the by-product of direct action, we felt that this was the best time to bring pressure on the merchants for the needed changes. Then it occurred to us that the March election was ahead, and so we speedily decided to postpone action until after election day. When we discovered that Mr. Conner was in the runoff, we decided again to postpone action so that the demonstration could not be used to cloud the issues. At this time we agreed to begin our nonviolent witness the day after the runoff. This reveals that we did not move irresponsibly into direct action. We, too, wanted to see Mr. Conner defeated, so we went through postponement after postponement to aid in this community need. After this we felt that direct action could be delayed no longer. You may well ask, "Why direct action, why sit-ins, marches, and so forth? Isn't negotiation a better path?" You are exactly right in your call for negotiation. Indeed, this is the purpose of direct action. Nonviolent direct action seeks to create such a crisis and establish such creative tension that a community that has consistently refused to negotiate is forced to confront the issue. It seeks so to dramatize the issue that it can no longer be ignored. I just referred to the creation of tension as a part of the work of the nonviolent resister. This may sound rather shocking. But I must confess that I am not afraid of the word "tension." I have earnestly worked and preached against violent tension, but there is a type of constructive nonviolent tension that is necessary for growth. Just as Socrates felt that it was necessary to create a tension in the mind so that individuals could rise from the bondage of myths and half-truths to the unfettered realm of creative analysis and objective appraisal, we must see the need of having nonviolent gadflies to create the kind of tension in society that will help men to rise from the dark depths of prejudice and racism to the majestic heights of understanding and brotherhood. So, the purpose of direct action is to create a situation so crisis-packed that it will inevitably open the door to negotiation. We therefore concur with you in your call for negotiation. Too long has our beloved Southland been bogged down in the tragic attempt to live in monologue rather than dialogue. One of the basic points in your statement is that our acts are untimely. Some have asked, "Why didn't you give the new administration time to act?" The only answer that I can give to this inquiry is that the new administration must be prodded about as much as the outgoing one before it acts. We will be sadly mistaken if we feel that the election of Mr. Boutwell will bring the millennium to Birmingham. While Mr. Boutwell is much more articulate and gentle than Mr. Conner, they are both segregationists, dedicated to the task of maintaining the status quo. The hope I see in Mr. Boutwell is that he will be reasonable enough to see the futility of massive resistance to desegregation. But he will not see this without pressure from the devotees of civil rights. My friends, I must say to you that we have not made a single gain in civil rights without determined legal and nonviolent pressure. History is the long and tragic story of the fact that privileged groups seldom give up their privileges voluntarily. Individuals may see the moral light and voluntarily give up their unjust posture; but, as Reinhold Niebuhr has reminded us, groups are more immoral than individuals. We know through painful experience that freedom is never voluntarily given by the oppressor; it must be demanded by the oppressed. Frankly, I have never yet engaged in a direct-action movement that was "well timed" according to the timetable of those who have not suffered unduly from the disease of segregation. For years now I have heard the word "wait." It rings in the ear of every Negro with a piercing familiarity. This "wait" has almost always meant "never." It has been a tranquilizing thalidomide, relieving the emotional stress for a moment, only to give birth to an ill-formed infant of frustration. We must come to see with the distinguished jurist of yesterday that "justice too long delayed is justice denied." We have waited for more than three hundred and forty years for our God-given and constitutional rights. The nations of Asia and Africa are moving with jetlike speed toward the goal of political independence, and we still creep at horse-and-buggy pace toward the gaining of a cup of coffee at a lunch counter. I guess it is easy for those who have never felt the stinging darts of segregation to say "wait." But when you have seen vicious mobs lynch your mothers and fathers at will and drown your sisters and brothers at whim; when you have seen hate-filled policemen curse, kick, brutalize, and even kill your black brothers and sisters with impunity; when you see the vast majority of your twenty million Negro brothers smothering in an airtight cage of poverty in the midst of an affluent society; when you suddenly find your tongue twisted and your speech stammering as you seek to explain to your six-year-old daughter why she cannot go to the public amusement park that has just been advertised on television, and see tears welling up in her little eyes when she is told that Funtown is closed to colored children, and see the depressing clouds of inferiority begin to form in her little mental sky, and see her begin to distort her little personality by unconsciously developing a bitterness toward white people; when you have to concoct an answer for a five-year-old son asking in agonizing pathos, "Daddy, why do white people treat colored people so mean?"; when you take a cross-country drive and find it necessary to sleep night after night in the uncomfortable corners of your automobile because no motel will accept you; when you are humiliated day in and day out by nagging signs reading "white" and "colored"; when your first name becomes "nigger" and your middle name becomes "boy" (however old you are) and your last name becomes "John," and when your wife and mother are never given the respected title "Mrs."; when you are harried by day and haunted by night by the fact that you are a Negro, living constantly at tiptoe stance, never knowing what to expect next, and plagued with inner fears and outer resentments; when you are forever fighting a degenerating sense of "nobodyness" -- then you will understand why we find it difficult to wait. There comes a time when the cup of endurance runs over and men are no longer willing to be plunged into an abyss of injustice where they experience the bleakness of corroding despair. I hope, sirs, you can understand our legitimate and unavoidable impatience.

Letter From Birmingham Jail 3

YOU express a great deal of anxiety over our willingness to break laws. This is certainly a legitimate concern. Since we so diligently urge people to obey the Supreme Court's decision of 1954 outlawing segregation in the public schools, it is rather strange and paradoxical to find us consciously breaking laws. One may well ask, "How can you advocate breaking some laws and obeying others?" The answer is found in the fact that there are two types of laws: there are just laws, and there are unjust laws. I would agree with St. Augustine that "An unjust law is no law at all." Now, what is the difference between the two? How does one determine when a law is just or unjust? A just law is a man-made code that squares with the moral law, or the law of God. An unjust law is a code that is out of harmony with the moral law. To put it in the terms of St. Thomas Aquinas, an unjust law is a human law that is not rooted in eternal and natural law. Any law that uplifts human personality is just. Any law that degrades human personality is unjust. All segregation statutes are unjust because segregation distorts the soul and damages the personality. It gives the segregator a false sense of superiority and the segregated a false sense of inferiority. To use the words of Martin Buber, the great Jewish philosopher, segregation substitutes an "I - it" relationship for the "I - thou" relationship and ends up relegating persons to the status of things. So segregation is not only politically, economically, and sociologically unsound, but it is morally wrong and sinful. Paul Tillich has said that sin is separation. Isn't segregation an existential expression of man's tragic separation, an expression of his awful estrangement, his terrible sinfulness? So I can urge men to obey the 1954 decision of the Supreme Court because it is morally right, and I can urge them to disobey segregation ordinances because they are morally wrong. Let us turn to a more concrete example of just and unjust laws. An unjust law is a code that a majority inflicts on a minority that is not binding on itself. This is difference made legal. On the other hand, a just law is a code that a majority compels a minority to follow, and that it is willing to follow itself. This is sameness made legal. Let me give another explanation. An unjust law is a code inflicted upon a minority which that minority had no part in enacting or creating because it did not have the unhampered right to vote. Who can say that the legislature of Alabama which set up the segregation laws was democratically elected? Throughout the state of Alabama all types of conniving methods are used to prevent Negroes from becoming registered voters, and there are some counties without a single Negro registered to vote, despite the fact that the Negroes constitute a majority of the population. Can any law set up in such a state be considered democratically structured? These are just a few examples of unjust and just laws. There are some instances when a law is just on its face and unjust in its application. For instance, I was arrested Friday on a charge of parading without a permit. Now, there is nothing wrong with an ordinance which requires a permit for a parade, but when the ordinance is used to preserve segregation and to deny citizens the First Amendment privilege of peaceful assembly and peaceful protest, then it becomes unjust. Of course, there is nothing new about this kind of civil disobedience. It was seen sublimely in the refusal of Shadrach, Meshach, and Abednego to obey the laws of Nebuchadnezzar because a higher moral law was involved. It was practiced superbly by the early Christians, who were willing to face hungry lions and the excruciating pain of chopping blocks before submitting to certain unjust laws of the Roman Empire. To a degree, academic freedom is a reality today because Socrates practiced civil disobedience. We can never forget that everything Hitler did in Germany was "legal" and everything the Hungarian freedom fighters did in Hungary was "illegal." It was "illegal" to aid and comfort a Jew in Hitler's Germany. But I am sure that if I had lived in Germany during that time, I would have aided and comforted my Jewish brothers even though it was illegal. If I lived in a Communist country today where certain principles dear to the Christian faith are suppressed, I believe I would openly advocate disobeying these anti-religious laws.

I MUST make two honest confessions to you, my Christian and Jewish brothers. First, I must confess that over the last few years I have been gravely disappointed with the white moderate. I have almost reached the regrettable conclusion that the Negro's great stumbling block in the stride toward freedom is not the White Citizens Councillor or the Ku Klux Klanner but the white moderate who is more devoted to order than to justice; who prefers a negative peace which is the absence of tension to a positive peace which is the presence of justice; who constantly says, "I agree with you in the goal you seek, but I can't agree with your methods of direct action"; who paternalistically feels that he can set the timetable for another man's freedom; who lives by the myth of time; and who constantly advises the Negro to wait until a "more convenient season." Shallow understanding from people of good will is more frustrating than absolute misunderstanding from people of ill will. Lukewarm acceptance is much more bewildering than outright rejection. In your statement you asserted that our actions, even though peaceful, must be condemned because they precipitate violence. But can this assertion be logically made? Isn't this like condemning the robbed man because his possession of money precipitated the evil act of robbery? Isn't this like condemning Socrates because his unswerving commitment to truth and his philosophical delvings precipitated the misguided popular mind to make him drink the hemlock? Isn't this like condemning Jesus because His unique God-consciousness and never-ceasing devotion to His will precipitated the evil act of crucifixion? We must come to see, as federal courts have consistently affirmed, that it is immoral to urge an individual to withdraw his efforts to gain his basic constitutional rights because the quest precipitates violence. Society must protect the robbed and punish the robber.

Letter From Birmingham Jail 4

I had also hoped that the white moderate would reject the myth of time. I received a letter this morning from a white brother in Texas which said, "All Christians know that the colored people will receive equal rights eventually, but is it possible that you are in too great of a religious hurry? It has taken Christianity almost 2000 years to accomplish what it has. The teachings of Christ take time to come to earth." All that is said here grows out of a tragic misconception of time. It is the strangely irrational notion that there is something in the very flow of time that will inevitably cure all ills. Actually, time is neutral. It can be used either destructively or constructively. I am coming to feel that the people of ill will have used time much more effectively than the people of good will. We will have to repent in this generation not merely for the vitriolic words and actions of the bad people but for the appalling silence of the good people. We must come to see that human progress never rolls in on wheels of inevitability. It comes through the tireless efforts and persistent work of men willing to be coworkers with God, and without this hard work time itself becomes an ally of the forces of social stagnation.

YOU spoke of our activity in Birmingham as extreme. At first I was rather disappointed that fellow clergymen would see my nonviolent efforts as those of an extremist. I started thinking about the fact that I stand in the middle of two opposing forces in the Negro community. One is a force of complacency made up of Negroes who, as a result of long years of oppression, have been so completely drained of self-respect and a sense of "somebodyness" that they have adjusted to segregation, and, on the other hand, of a few Negroes in the middle class who, because of a degree of academic and economic security and because at points they profit by segregation, have unconsciously become insensitive to the problems of the masses. The other force is one of bitterness and hatred and comes perilously close to advocating violence. It is expressed in the various black nationalist groups that are springing up over the nation, the largest and best known being Elijah Muhammad's Muslim movement. This movement is nourished by the contemporary frustration over the continued existence of racial discrimination. It is made up of people who have lost faith in America, who have absolutely repudiated Christianity, and who have concluded that the white man is an incurable devil. I have tried to stand between these two forces, saying that we need not follow the do-nothingism of the complacent or the hatred and despair of the black nationalist. There is a more excellent way, of love and nonviolent protest. I'm grateful to God that, through the Negro church, the dimension of nonviolence entered our struggle. If this philosophy had not emerged, I am convinced that by now many streets of the South would be flowing with floods of blood. And I am further convinced that if our white brothers dismiss as "rabble-rousers" and "outside agitators" those of us who are working through the channels of nonviolent direct action and refuse to support our nonviolent efforts, millions of Negroes, out of frustration and despair, will seek solace and security in black nationalist ideologies, a development that will lead inevitably to a frightening racial nightmare. Oppressed people cannot remain oppressed forever. The urge for freedom will eventually come. This is what has happened to the American Negro. Something within has reminded him of his birthright of freedom; something without has reminded him that he can gain it. Consciously and unconsciously, he has been swept in by what the Germans call the Zeitgeist, and with his black brothers of Africa and his brown and yellow brothers of Asia, South America, and the Caribbean, he is moving with a sense of cosmic urgency toward the promised land of racial justice. Recognizing this vital urge that has engulfed the Negro community, one should readily understand public demonstrations. The Negro has many pent-up resentments and latent frustrations. He has to get them out. So let him march sometime; let him have his prayer pilgrimages to the city hall; understand why he must have sit- ins and freedom rides. If his repressed emotions do not come out in these nonviolent ways, they will come out in ominous expressions of violence. This is not a threat; it is a fact of history. So I have not said to my people, "Get rid of your discontent." But I have tried to say that this normal and healthy discontent can be channeled through the creative outlet of nonviolent direct action. Now this approach is being dismissed as extremist. I must admit that I was initially disappointed in being so categorized. But as I continued to think about the matter, I gradually gained a bit of satisfaction from being considered an extremist. Was not Jesus an extremist in love? -- "Love your enemies, bless them that curse you, pray for them that despitefully use you." Was not Amos an extremist for justice? -- "Let justice roll down like waters and righteousness like a mighty stream." Was not Paul an extremist for the gospel of Jesus Christ? -- "I bear in my body the marks of the Lord Jesus." Was not Martin Luther an extremist? -- "Here I stand; I can do no other so help me God." Was not John Bunyan an extremist? -- "I will stay in jail to the end of my days before I make a mockery of my conscience." Was not Abraham Lincoln an extremist? -- "This nation cannot survive half slave and half free." Was not Thomas Jefferson an extremist? -- "We hold these truths to be self-evident, that all men are created equal." So the question is not whether we will be extremist, but what kind of extremists we will be. Will we be extremists for hate, or will we be extremists for love? Will we be extremists for the preservation of injustice, or will we be extremists for the cause of justice? I had hoped that the white moderate would see this. Maybe I was too optimistic. Maybe I expected too much. I guess I should have realized that few members of a race that has oppressed another race can understand or appreciate the deep groans and passionate yearnings of those that have been oppressed, and still fewer have the vision to see that injustice must be rooted out by strong, persistent, and determined action. I am thankful, however, that some of our white brothers have grasped the meaning of this social revolution and committed themselves to it. They are still all too small in quantity, but they are big in quality. Some, like Ralph McGill, Lillian Smith, Harry Golden, and James Dabbs, have written about our struggle in eloquent, prophetic, and understanding terms. Others have marched with us down nameless streets of the South. They sat in with us at lunch counters and rode in with us on the freedom rides. They have languished in filthy roach-infested jails, suffering the abuse and brutality of angry policemen who see them as "dirty nigger lovers." They, unlike many of their moderate brothers, have recognized the urgency of the moment and sensed the need for powerful "action" antidotes to combat the disease of segregation.

Letter From Birmingham Jail 5

LET me rush on to mention my other disappointment. I have been disappointed with the white church and its leadership. Of course, there are some notable exceptions. I am not unmindful of the fact that each of you has taken some significant stands on this issue. I commend you, Reverend Stallings, for your Christian stand this past Sunday in welcoming Negroes to your Baptist Church worship service on a nonsegregated basis. I commend the Catholic leaders of this state for integrating Springhill College several years ago. But despite these notable exceptions, I must honestly reiterate that I have been disappointed with the church. I do not say that as one of those negative critics who can always find something wrong with the church. I say it as a minister of the gospel who loves the church, who was nurtured in its bosom, who has been sustained by its Spiritual blessings, and who will remain true to it as long as the cord of life shall lengthen. I had the strange feeling when I was suddenly catapulted into the leadership of the bus protest in Montgomery several years ago that we would have the support of the white church. I felt that the white ministers, priests, and rabbis of the South would be some of our strongest allies. Instead, some few have been outright opponents, refusing to understand the freedom movement and misrepresenting its leaders; all too many others have been more cautious than courageous and have remained silent behind the anesthetizing security of stained-glass windows. In spite of my shattered dreams of the past, I came to Birmingham with the hope that the white religious leadership of this community would see the justice of our cause and with deep moral concern serve as the channel through which our just grievances could get to the power structure. I had hoped that each of you would understand. But again I have been disappointed. I have heard numerous religious leaders of the South call upon their worshipers to comply with a desegregation decision because it is the law, but I have longed to hear white ministers say, follow this decree because integration is morally right and the Negro is your brother. In the midst of blatant injustices inflicted upon the Negro, I have watched white churches stand on the sidelines and merely mouth pious irrelevancies and sanctimonious trivialities. In the midst of a mighty struggle to rid our nation of racial and economic injustice, I have heard so many ministers say, "Those are social issues which the gospel has nothing to do with," and I have watched so many churches commit themselves to a completely otherworldly religion which made a strange distinction between bodies and souls, the sacred and the secular. There was a time when the church was very powerful. It was during that period that the early Christians rejoiced when they were deemed worthy to suffer for what they believed. In those days the church was not merely a thermometer that recorded the ideas and principles of popular opinion; it was the thermostat that transformed the mores of society. Wherever the early Christians entered a town the power structure got disturbed and immediately sought to convict them for being "disturbers of the peace" and "outside agitators." But they went on with the conviction that they were "a colony of heaven" and had to obey God rather than man. They were small in number but big in commitment. They were too God-intoxicated to be "astronomically intimidated." They brought an end to such ancient evils as infanticide and gladiatorial contest. Things are different now. The contemporary church is so often a weak, ineffectual voice with an uncertain sound. It is so often the arch supporter of the status quo. Far from being disturbed by the presence of the church, the power structure of the average community is consoled by the church's often vocal sanction of things as they are. But the judgment of God is upon the church as never before. If the church of today does not recapture the sacrificial spirit of the early church, it will lose its authentic ring, forfeit the loyalty of millions, and be dismissed as an irrelevant social club with no meaning for the twentieth century. I meet young people every day whose disappointment with the church has risen to outright disgust. I hope the church as a whole will meet the challenge of this decisive hour. But even if the church does not come to the aid of justice, I have no despair about the future. I have no fear about the outcome of our struggle in Birmingham, even if our motives are presently misunderstood. We will reach the goal of freedom in Birmingham and all over the nation, because the goal of America is freedom. Abused and scorned though we may be, our destiny is tied up with the destiny of America. Before the Pilgrims landed at Plymouth, we were here. Before the pen of Jefferson scratched across the pages of history the majestic word of the Declaration of Independence, we were here. For more than two centuries our foreparents labored here without wages; they made cotton king; and they built the homes of their masters in the midst of brutal injustice and shameful humiliation -- and yet out of a bottomless vitality our people continue to thrive and develop. If the inexpressible cruelties of slavery could not stop us, the opposition we now face will surely fail. We will win our freedom because the sacred heritage of our nation and the eternal will of God are embodied in our echoing demands. I must close now. But before closing I am impelled to mention one other point in your statement that troubled me profoundly. You warmly commended the Birmingham police force for keeping "order" and "preventing violence." I don't believe you would have so warmly commended the police force if you had seen its angry violent dogs literally biting six unarmed, nonviolent Negroes. I don't believe you would so quickly commend the policemen if you would observe their ugly and inhuman treatment of Negroes here in the city jail; if you would watch them push and curse old Negro women and young Negro girls; if you would see them slap and kick old Negro men and young boys, if you would observe them, as they did on two occasions, refusing to give us food because we wanted to sing our grace together. I'm sorry that I can't join you in your praise for the police department.

Letter From Birmingham Jail 6

It is true that they have been rather disciplined in their public handling of the demonstrators. In this sense they have been publicly "nonviolent." But for what purpose? To preserve the evil system of segregation. Over the last few years I have consistently preached that nonviolence demands that the means we use must be as pure as the ends we seek. So I have tried to make it clear that it is wrong to use immoral means to attain moral ends. But now I must affirm that it is just as wrong, or even more, to use moral means to preserve immoral ends. I wish you had commended the Negro demonstrators of Birmingham for their sublime courage, their willingness to suffer, and their amazing discipline in the midst of the most inhuman provocation. One day the South will recognize its real heroes. They will be the James Merediths, courageously and with a majestic sense of purpose facing jeering and hostile mobs and the agonizing loneliness that characterizes the life of the pioneer. They will be old, oppressed, battered Negro women, symbolized in a seventy-two-year-old woman of Montgomery, Alabama, who rose up with a sense of dignity and with her people decided not to ride the segregated buses, and responded to one who inquired about her tiredness with ungrammatical profundity, "My feets is tired, but my soul is rested." They will be young high school and college students, young ministers of the gospel and a host of their elders courageously and nonviolently sitting in at lunch counters and willingly going to jail for conscience's sake. One day the South will know that when these disinherited children of God sat down at lunch counters they were in reality standing up for the best in the American dream and the most sacred values in our Judeo-Christian heritage. Never before have I written a letter this long -- or should I say a book? I'm afraid that it is much too long to take your precious time. I can assure you that it would have been much shorter if I had been writing from a comfortable desk, but what else is there to do when you are alone for days in the dull monotony of a narrow jail cell other than write long letters, think strange thoughts, and pray long prayers? If I have said anything in this letter that is an understatement of the truth and is indicative of an unreasonable impatience, I beg you to forgive me. If I have said anything in this letter that is an overstatement of the truth and is indicative of my having a patience that makes me patient with anything less than brotherhood, I beg God to forgive me. Yours for the cause of Peace and Brotherhood, MARTIN LUTHER KING, JR. ------------------------------------------------------------------------ Copyright © 1963, Martin Luther King, Jr. All rights reserved.

The Atlantic Monthly; August 1963; The Negro Is Your Brother; Volume 212, No. 2; pages 78 - 88.

WWII.pdf

British Prime Minister Winston Churchill, U.S. Pres. Harry S. Truman, and Soviet

Premier Joseph …

Encyclopædia Britannica, Inc.

TABLE OF CONTENTS

Introduction

Axis initiative and Allied reaction The outbreak of war

Forces and resources of the European combatants, 1939

Technology of war, 1918–39

The war in Europe, 1939–41 The campaign in Poland, 1939

The Baltic states and the Russo-Finnish War, 1939–40

The war in the west, September 1939–June 1940

The Battle of Britain

Central Europe and the Balkans, 1940–41

Other fronts, 1940–41 Egypt and Cyrenaica, 1940–summer 1941

East Africa

Iraq and Syria, 1940–41

The beginning of lend-lease

The Atlantic and the Mediterranean, 1940–41

German strategy, 1939–42

Invasion of the Soviet Union, 1941

The war in the Pacific, 1938–41 The war in China, 1937–41

Japanese policy, 1939–41

Pearl Harbor and the Japanese expansion, to July 1942

The fall of Singapore

The Chinese front and Burma, 1941–42

Developments from autumn 1941 to spring 1942 Allied strategy and controversies, 1940–42

Libya and Egypt, autumn 1941–summer 1942

A gigantic mushroom cloud rising above Hiroshima, Japan, on August 6, 1945, after

a U.S. aircraft …

U.S. Air Force photograph

World War II World War II, also called Second World War, conflict that involved virtually every part of the world during the years 1939–45. The principal

belligerents were the Axis powers—Germany , Italy, and Japan —and the

Allies—France , Great Britain , the United States , the Soviet Union , and, to a

lesser extent, China . The war was in many respects a continuation, after an

uneasy 20-year hiatus , of the disputes left unsettled by World War I. The 40,000,000–50,000,000 deaths incurred in World War II make it the

bloodiest conflict, as well as the largest war, in history.

Along with World War I,

World War II was one of the

great watersheds of 20th-

century geopolitical history. It

resulted in the extension of the

Soviet Union’s power to

nations of eastern Europe , enabled a communist

movement to eventually

achieve power in China, and

marked the decisive shift of

power in the world away from

the states of western Europe

and toward the United States

and the Soviet Union.

AXIS INITIATIVE AND ALLIED REACTION

THE OUTBREAK OF WAR

By the early part of 1939 the

German dictator Adolf Hitler had become determined to

invade and occupy Poland . Poland, for its part, had

guarantees of French and British military support should it be attacked by

Adolf Hitler reviewing troops on the Eastern

The Germans’ summer offensive in southern Russia, 1942

The Allies’ first decisive successes The Solomons, Papua, Madagascar, the Aleutians, and Burma, July 1942–May 1943

Burma, autumn 1942–summer 1943

Montgomery’s Battle of el-Alamein and Rommel’s retreat, 1942–43

Stalingrad and the German retreat, summer 1942–February 1943

The invasion of northwest Africa, November– December 1942

Tunisia, November 1942–May 1943

The Atlantic, the Mediterranean, and the North Sea, 1942–45

Air warfare, 1942–43

German-occupied Europe

Casablanca and Trident, January–May 1943

The Eastern Front, February–September 1943

The Southwest and South Pacific, June– October 1943

The Allied landings in Europe and the defeat of the Axis powers Developments from autumn 1943 to summer 1944 Sicily and the fall of Mussolini, July–August 1943

The Quadrant Conference (Quebec I)

The Allies’ invasion of Italy and the Italian volte-face, 1943

The western Allies and Stalin: Cairo and Tehrān, 1943

German strategy, from 1943

The Eastern Front, October 1943–April 1944

The war in the Pacific, October 1943–August 1944

The Burmese frontier and China, November 1943–summer 1944

The Italian front, 1944

Developments from summer 1944 to autumn 1945

Germany. Hitler intended to invade Poland anyway, but first he had to

neutralize the possibility that the Soviet Union would resist the invasion of

its western neighbour. Secret negotiations led on August 23–24 to the

signing of the German-Soviet Nonaggression Pact in Moscow . In a secret

protocol of this pact, the Germans and the Soviets agreed that Poland should be divided between them, with the western third of the country going to

Germany and the eastern two-thirds being taken over by the U.S.S.R.

Having achieved this cynical agreement, the other provisions of which stupefied Europe even without divulgence of the secret protocol, Hitler

thought that Germany could attack Poland with no danger of Soviet or

British intervention and gave orders for the invasion to start on August 26.

News of the signing, on August 25, of a formal treaty of mutual assistance

between Great Britain and Poland (to supersede a previous though

temporary agreement) caused him to postpone the start of hostilities for a

few days. He was still determined, however, to ignore the diplomatic efforts

of the western powers to restrain him. Finally, at 12:40 PM on August 31,

1939, Hitler ordered hostilities against Poland to start at 4:45 the next

morning. The invasion began as ordered. In response, Great Britain and

France declared war on Germany on September 3, at 11:00 AM and at 5:00

PM, respectively. World War II had begun.

FORCES AND RESOURCES OF THE EUROPEAN COMBATANTS, 1939

In September 1939 the Allies, namely Great Britain, France,

and Poland, were together

superior in industrial resources,

population, and military

manpower, but the German

Army, or Wehrmacht , because of its armament, training,

doctrine , discipline , and fighting spirit, was the most

efficient and effective fighting

force for its size in the world.

The index of military strength

in September 1939 was the

number of divisions that each

nation could mobilize. Against

Front, 1939.

Heinrich Hoffmann, Munich

German Pz. IV (foreground) and Pz. III (background) tanks, 1942.

U.S. Army photograph

German Junkers Ju 87 “Stuka” dive-bomber.

UPI/Bettmann Archive

The Allied invasions of western Europe, June–November 1944

The Eastern Front, June–December 1944

Air warfare, 1944

Allied policy and strategy: Octagon (Quebec II) and Moscow, 1944

The Philippines and Borneo, from September 1944

Burma and China, October 1944–May 1945

The German offensive in the west, winter 1944–45

The Soviet advance to the Oder, January– February 1945

Yalta

The German collapse, spring 1945

Potsdam

The end of the Japanese war, February– September 1945

Costs of the war Killed, wounded, prisoners, or missing

Human and material cost

Germany’s 100 infantry

divisions and six armoured

divisions, France had 90

infantry divisions in metropolitan France, Great Britain had 10 infantry

divisions, and Poland had 30 infantry divisions, 12 cavalry brigades , and one armoured brigade (Poland had also 30 reserve infantry divisions, but

these could not be mobilized quickly). A division contained from 12,000 to

25,000 men.

It was the qualitative superiority of the German infantry divisions and the

number of their armoured divisions that made the difference in 1939. The

firepower of a German infantry division far exceeded that of a French,

British, or Polish division; the standard German division included 442

machine guns , 135 mortars, 72 antitank guns, and 24 howitzers. Allied divisions had a firepower only slightly greater than that of World War I.

Germany had six armoured divisions in September 1939; the Allies, though

they had a large number of tanks, had no armoured divisions at that time.

The six armoured, or panzer , divisions of the Wehrmacht

comprised some 2,400 tanks. And though Germany would

subsequently expand its tank forces during the first years of the war, it was not the number of tanks that Germany

had (the Allies had almost as many in September 1939) but the fact of their being

organized into divisions and operated as such that was to prove decisive. In

accordance with the doctrines of General Heinz Guderian , the German tanks were used in massed formations in conjunction with motorized artillery to punch holes in

the enemy line and to isolate segments of the enemy, which were then surrounded

and captured by motorized German infantry divisions while the tanks ranged forward

to repeat the process: deep drives into enemy territory by panzer divisions were thus followed by mechanized infantry and foot soldiers. These tactics were supported by

dive bombers that attacked and disrupted the enemy’s supply and communications lines and spread panic and confusion in its rear, thus further paralyzing its defensive

capabilities. Mechanization was the key to the German blitzkrieg , or “lightning war,” so named because of the unprecedented speed and mobility that were its

salient characteristics. Tested and well-trained in maneuvers, the German panzer

divisions constituted a force with no equal in Europe.

The German Air Force , or Luftwaffe, was also the best force of its kind in 1939. It was a ground-cooperation force designed to support the Army, but its planes were superior to nearly all Allied types. In the

rearmament period from 1935 to 1939 the production of German combat aircraft steadily mounted.

German aircraft production by years

year combat types

other types

1933 0 368

1934 840 1,128

1935 1,823 1,360

1936 2,530 2,582

1937 2,651 2,955

1938 3,350 1,885

1939 4,733 3,562

The standardization of engines and airframes gave the Luftwaffe an advantage over its opponents. Germany had an operational force of 1,000 fighters and 1,050 bombers in September 1939. The Allies actually had more planes in 1939 than Germany did, but

their strength was made up of many different types, some of them obsolescent.

Allied air strength, September 1939

aircraft British French Polish

bombers 536 463 200

fighters 608 634 300

reconnaissance 96 444 —

coastal command 216 — —

fleet air arm 204 194 —

Great Britain, which was held back by delays in the rearmament program, was producing one modern fighter in 1939, the

Hurricane . A higher-performance fighter, the Spitfire , was just coming into production and did not enter the air war in numbers until 1940.

The value of the French Air Force in 1939 was reduced by the number of obsolescent planes in its order of battle: 131 of the 634

fighters and nearly all of the 463 bombers. France was desperately trying to buy high-performance aircraft in the United States in

1939.

At sea the odds against Germany were much greater in September 1939 than in

Main entrance to the Schoenenbourg Fort on the Maginot Line, Bas-Rhin department,

Alsace region, …

John C. Watkins V

The Bismarck shortly after commissioning in 1940.

Courtesy of the Marineschule Murwik,

Flensburg, Ger.

August 1914, since the Allies in 1939 had many more large surface warships than

Germany had. At sea, however, there was to be no clash between the Allied and the

German massed fleets but only the individual operation of German pocket battleships

and commerce raiders.

TECHNOLOGY OF WAR, 1918–39

When World War I ended, the experience of it seemed to vindicate the power of the defensive over the offensive. It was widely believed that a superiority in numbers of

at least three to one was required for a successful offensive. Defensive concepts

underlay the construction of the Maginot Line between France and Germany and of

its lesser counterpart, the Siegfried Line , in the interwar years. Yet by 1918 both of the requirements for the supremacy of the offensive were at hand: tanks and planes.

The battles of Cambrai (1917) and Amiens (1918) had proved that when tanks were used in masses, with surprise, and on firm and open terrain, it was possible to break

through any trench system.

The Germans learned this crucial, though subtle, lesson from World War I. The

Allies on the other hand felt that their victory confirmed their methods, weapons, and

leadership, and in the interwar period the French and British armies were slow to

introduce new weapons, methods, and doctrines. Consequently, in 1939 the British

Army did not have a single armoured division, and the French tanks were distributed in small packets throughout the infantry divisions. The Germans, by contrast, began to develop large tank formations on an effective basis after their rearmament program

began in 1935.

In the air the technology of war had also changed radically between 1918 and 1939. Military aircraft had increased in size, speed,

and range, and for operations at sea, aircraft carriers were developed that were capable of accompanying the fastest surface ships.

Among the new types of planes developed was the dive bomber , a plane designed for accurate low-altitude bombing of enemy

strong points as part of the tank-plane-infantry combination. Fast low-wing monoplane fighters were developed in all countries; these aircraft were essentially flying platforms for eight to 12 machine guns installed in the wings. Light and medium bombers

were also developed that could be used for the strategic bombardment of cities and military strongpoints. The threat of bomber

attacks on both military and civilian targets led directly to the development of radar in England. Radar made it possible to determine the location, the distance, and the height and speed of a distant aircraft no matter what the weather was. By December

1938 there were five radar stations established on the coast of England, and 15 additional stations were begun. So, when war

came in September 1939, Great Britain had a warning chain of radar stations that could tell when hostile planes were

approaching.

THE WAR IN EUROPE, 1939–41

THE CAMPAIGN IN POLAND, 1939

The German conquest of Poland in September 1939 was the first demonstration in war of the new theory of high-speed armoured

warfare that had been adopted by the Germans when their rearmament began. Poland was a country all too well suited for such a

demonstration. Its frontiers were immensely long—about 3,500 miles in all; and the stretch of 1,250 miles adjoining German

territory had recently been extended to 1,750 miles in all by the German occupation of Bohemia-Moravia and of Slovakia, so that

Poland’s southern flank became exposed to invasion—as the northern flank, facing East Prussia, already was. Western Poland had

become a huge salient that lay between Germany’s jaws.

It would have been wiser for the Polish Army to assemble farther back, behind the natural defense line formed by the Vistula and

San rivers, but that would have entailed the abandonment of some of the most valuable western parts of the country, including the

Silesian coalfields and most of the main industrial zone, which lay west of the river barrier. The economic argument for delaying

the German approach to the main industrial zone was heavily reinforced by Polish national pride and military overconfidence.

When war broke out the Polish Army was able to mobilize about 1,000,000 men, a fairly large number. The Polish Army was

woefully outmoded, however, and was almost completely lacking in tanks, armoured personnel carriers, and antitank and

antiaircraft guns. Yet many of the Polish military leaders clung to the double belief that their preponderance of horsed cavalry was

an important asset and that they could take the offensive against the German mechanized forces. They also tended to discount the

effect of Germany’s vastly superior air force, which was nearly 10 times as powerful as their own.

The unrealism of such an attitude was repeated in the Polish Army’s dispositions . Approximately one-third of Poland’s forces

were concentrated in or near the Polish Corridor (in northeastern Poland), where they were perilously exposed to a double envelopment—from East Prussia and the west combined. In the south, facing the main avenues of a German advance, the Polish

forces were thinly spread. At the same time, nearly another one-third of Poland’s forces were massed in reserve in the north-

central part of the country, between Łódź and Warsaw, under the commander in chief, Marshal Edward Rydz-Śmigły. The Poles’ forward concentration in general forfeited their chance of fighting a series of delaying actions, since their foot-marching army was

unable to retreat to their defensive positions in the rear or to man them before being overrun by the invader’s mechanized

columns.

The 40-odd infantry divisions employed by the Germans in the invasion counted for much less than their 14 mechanized or

partially mechanized divisions: these consisted of six armoured divisions; four light divisions, consisting of motorized infantry

(infantry wholly transported by trucks and personnel carriers) with two armoured units; and four motorized divisions. The

Germans attacked with about 1,500,000 troops in all. It was the deep and rapid thrusts of these mechanized forces that decided the

issue, in conjunction with the overhead pressure of the Luftwaffe, which wrecked the Polish railway system and destroyed most

of the Polish Air Force before it could come into action. The Luftwaffe’s terror-bombing of Polish cities, bridges, roads, rail lines,

and power stations completed the disorganization of the Polish defenses.

On September 1, 1939, the German attack began. Against northern Poland , General

Fedor von Bock commanded an army group comprising General Georg von Küchler’s 3rd Army, which struck southward from East Prussia, and General

German soldiers breaking down a barricade at the Polish border at the outbreak of World

War II, …

Library of Congress, Washington, D.C.

Günther von Kluge’s 4th Army, which struck eastward across the base of the Corridor. Much stronger in troops and in tanks, however, was the army group in the

south under General Gerd von Rundstedt, attacking from Silesia and from the

Moravian and Slovakian border: General Johannes Blaskowitz’s 8th Army, on the

left, was to drive eastward against Łódź; General Wilhelm List ’s 14th Army, on the right, was to push on toward Kraków and to turn the Poles’ Carpathian flank; and

General Walther von Reichenau ’s 10th Army, in the centre, with the bulk of the group’s armour, was to deliver the decisive blow with a northwestward thrust into

the heart of Poland. By September 3, when Kluge in the north had reached the

Vistula and Küchler was approaching the Narew River, Reichenau’s armour was already beyond the Warta; two days later his left wing was well to the rear of Łódź and his right wing at Kielce; and by September 8 one of his armoured corps was in the outskirts

of Warsaw, having advanced 140 miles in the first week of war. Light divisions on Reichenau’s right were on the Vistula between

Warsaw and Sandomierz by September 9, while List, in the south, was on the San above and below Przemyśl. At the same time,

the 3rd Army tanks, led by Guderian, were across the Narew attacking the line of the Bug River, behind Warsaw. All the German

armies had made progress in fulfilling their parts in the great enveloping maneuver planned by General Franz Halder , chief of the

general staff, and directed by General Walther von Brauchitsch , the commander in chief. The Polish armies were splitting up into uncoordinated fragments, some of which were retreating while others were delivering disjointed attacks on the nearest German

columns.

On September 10 the Polish commander in chief, Marshal Edward Rydz-Śmigły, ordered a general retreat to the southeast. The

Germans, however, were by that time not only tightening their net around the Polish forces west of the Vistula (in the Łódź area and, still farther west, around Poznań) but also penetrating deeply into eastern Poland. The Polish defense was already reduced to

random efforts by isolated bodies of troops when another blow fell: on September 17, 1939, Soviet forces entered Poland from the

east. The next day, the Polish government and high command crossed the Romanian frontier on their way into exile. The Warsaw

garrison held out against the Germans until September 28, undergoing terror-bombings and artillery barrages that reduced parts of the city to rubble, with no regard for the civilian population. The last considerable fragment of the Polish Army resisted until

October 5; and some guerrilla fighting went on into the winter. The Germans took a total of 700,000 prisoners, and about 80,000

Polish soldiers escaped over neutral frontiers. Approximately 70,000 Polish soldiers were killed and more than 130,000 wounded

during the battle, whereas the Germans sustained about 45,000 total casualties. Poland was conquered for partition between

Germany and the U.S.S.R., the forces of which met and greeted each other on Polish soil. On September 28 another secret

German–Soviet protocol modified the arrangements of August: all Lithuania was to be a Soviet sphere of influence, not a

German one; but the dividing line in Poland was changed in Germany’s favour, being moved eastward to the Bug River .

THE BALTIC STATES AND THE RUSSO-FINNISH WAR, 1939–40

Profiting quickly from its understanding with Germany, the U.S.S.R. on October 10, 1939, constrained Estonia , Latvia , and

Lithuania to admit Soviet garrisons onto their territories. Approached with similar demands, Finland refused to comply, even though the U.S.S.R. offered territorial compensation elsewhere for the cessions that it was requiring for its own strategic reasons.

Finland’s armed forces amounted to about 200,000 troops in 10 divisions. The Soviets eventually brought about 70 divisions

(about 1,000,000 men) to bear in their attack on Finland, along with about 1,000 tanks. Soviet troops attacked Finland on

November 30, 1939.

The invaders succeeded in isolating the little Arctic port of Petsamo in the far north but were ignominiously repulsed on all of the

fronts chosen for their advance. On the Karelian Isthmus , the massive reinforced-concrete fortifications of Finland’s Mannerheim

Line blocked the Soviet forces’ direct land route from Leningrad into Finland. The Soviet planners had grossly underestimated the Finns’ national will to resist and the natural obstacles constituted by the terrain’s numerous lakes and forests.

The western powers exulted overtly over the humiliation of the Soviet Union. One important effect of Finland’s early successes

was to reinforce the tendency of both Hitler and the western democracies to underestimate the Soviet military capabilities. But in the meantime, the Soviet strategists digested their hard-learned military lessons.

On February 1, 1940, the Red Army launched 14 divisions into a major assault on the Mannerheim Line. The offensive’s weight was concentrated along a 10-mile sector of the line near Summa, which was pounded by a tremendous artillery bombardment. As

the fortifications were pulverized, tanks and sledge-carried infantry advanced to occupy the ground while the Soviet Air Force

broke up attempted Finnish counterattacks. After little more than a fortnight of this methodical process, a breach was made through the whole depth of the Mannerheim Line. Once the Soviets had forced a passage on the Karelian Isthmus, Finland’s

eventual collapse was certain. On March 6 Finland sued for peace, and a week later the Soviet terms were accepted: the Finns had

to cede the entire Karelian Isthmus, Viipuri, and their part of the Rybachy Peninsula to the Soviets. The Finns had suffered about 70,000 casualties in the campaign, the Soviets more than 200,000.

THE WAR IN THE WEST, SEPTEMBER 1939–JUNE 1940

During their campaign in Poland, the Germans kept only 23 divisions in the west to guard their frontier against the French, who

had nearly five times as many divisions mobilized. The French commander in chief, General Maurice-Gustave Gamelin , proposed

an advance against Germany through neutral Belgium and the Netherlands in order to have room to exercise his ponderous military machine. He was overruled, however, and French assaults on the 100-mile stretch of available front along the Franco-

German frontier had barely dented the German defenses when the collapse of Poland prompted the recall of Gamelin’s advanced

divisions to defensive positions in the Maginot Line . From October 1939 to March 1940, successive plans were developed for counteraction in the event of a German offensive through Belgium—all of them based on the assumption that the Germans would

come across the plain north of Namur , not across the hilly and wooded Ardennes . The Germans would indeed have taken the route foreseen by the French if Hitler’s desire for an offensive in November 1939 had not been frustrated, on the one hand, by bad

weather and, on the other, by the hesitations of his generals; but in March 1940 the bold suggestion of General Erich von

Manstein that an offensive through the Ardennes should, in fact, be practicable for tank forces was adopted by Hitler, despite orthodox military opinion.

Meanwhile, Hitler’s immediate outlook had been changed by considerations about Scandinavia. Originally he had intended to

respect Norway’s neutrality. Then rumours leaked out, prematurely, of British designs on Norway —as, in fact, Winston

Churchill, first lord of the Admiralty, was arguing that mines should be laid in Norwegian waters to stop the export of Swedish

iron ore from Gällivare to Germany through Norway’s rail terminus and port of Narvik. The British Cabinet, in response to Churchill, authorized at least the preparation of a plan for a landing at Narvik; and in mid-December 1939 a Norwegian politician,

Vidkun Quisling , leader of a pro- Nazi party , was introduced to Hitler. On January 27, 1940, Hitler ordered plans for an invasion of Norway, for use if he could no longer respect Norway’s neutrality.

After France’s failure to interrupt the German conquest of Poland, the western powers and the Germans were so inactive with

regard to land operations that journalists began to speak derisively, over the next six months, of the “phony war .” At sea,

however, the period was somewhat more eventful. German U-boats sank the British aircraft carrier Courageous (September 17) and the battleship Royal Oak (October 14). The U-boats’ main warfare, however, was against merchant shipping: they sank more

than 110 vessels in the first four months of the war. Both the Germans and the British, meanwhile, were engaged in extensive

mine laying.

In surface warfare at sea, the British were on the whole more fortunate than the Germans. A German pocket battleship in the

Atlantic, the Admiral Graf Spee sank nine ships before coming to a tragic end: having sustained and inflicted damage in an

engagement with three British cruisers off the Río de la Plata on Dec. 13, 1939, she made off to Montevideo and obtained leave to spend four days there for repairs; the British mustered reinforcements for the two cruisers still capable of action after the

engagement, namely the Ajax and the Achilles, and brought the Cumberland to the scene in time; but, on December 17, when

the Graf Spee put to sea again, her crew scuttled her a little way out of the harbour before the fight could be resumed.

THE INVASION OF NORWAY

British plans for landings on the Norwegian coast in the third week of March 1940 were temporarily postponed. Prime Minister

Neville Chamberlain , however, was by that time convinced that some aggressive action ought to be taken; and Paul Reynaud,

who succeeded Édouard Daladier as France’s premier on March 21, was of the same opinion. (Reynaud had come into office on the surge of the French public’s demand for a more aggressive military policy and quicker offensive action against Germany.) It

was agreed that mines should be laid in Norwegian waters and that the mining should be followed by the landing of troops at four

Norwegian ports, Narvik, Trondheim , Bergen , and Stavanger .

Because of Anglo-French arguments, the date of the mining was postponed from April 5 to April 8. The postponement was

catastrophic. Hitler had on April 1 ordered the German invasion of Norway to begin on April 9; so, when on April 8 the

Norwegian government was preoccupied with earnest protest about the British mine laying, the German expeditions were well on

their way.

On April 9, 1940, the major Norwegian ports from Oslo northward to Narvik (1,200 miles away from Germany’s naval bases)

were occupied by advance detachments of German troops. At the same time, a single parachute battalion (the first ever employed in warfare) took the Oslo and Stavanger airfields, and 800 operational aircraft overawed the Norwegian population. Norwegian

resistance at Narvik, at Trondheim (the strategic key to Norway), at Bergen, at Stavanger, and at Kristiansand had been

overcome very quickly; and Oslo ’s effective resistance to the seaborne forces was nullified when German troops from the airfield entered the city.

Simultaneously, along with their Norwegian enterprise, the Germans on April 9 occupied Denmark , sending troopships, covered

by aircraft, into Copenhagen harbour and marching over the land frontier into Jutland . This occupation was obviously necessary for the safety of their communications with Norway.

Allied troops began to land at Narvik on April 14. Shortly afterward, British troops were landed also at Namsos and at Åndalsnes,

to attack Trondheim from the north and from the south, respectively. The Germans, however, landed fresh troops in the rear of the

British at Namsos and advanced up the Gudbrandsdal from Oslo against the force at Åndalsnes. By this time the Germans had

about 25,000 troops in Norway. By May 2, both Namsos and Åndalsnes were evacuated by the British. The Germans at Narvik

held out against five times as many British and French troops until May 27. By that time the German offensive in France had

progressed to such an extent that the British could no longer afford any commitment in Norway, and the 25,000 Allied troops

were evacuated from Narvik 10 days after their victory. The Norwegian king Haakon VII and his government left Norway for

Britain at the same time. Hitler garrisoned Norway with about 300,000 troops for the rest of the war. By occupying Norway, Hitler had ensured the protection of Germany’s supply of iron ore from Sweden and had obtained naval and air bases with which

to strike at Britain if necessary.

What was to happen in Norway became a less important question for the western powers when, on May 10, 1940, they were

surprised by Hitler’s long-debated stroke against them through the Low Countries.

THE INVASION OF THE LOW COUNTRIES AND FRANCE

France’s 800,000-man standing army was thought at the time to be the most powerful in Europe. But the French had not

progressed beyond the defensive mentality inherited from World War I, and they relied primarily on their Maginot Line for protection against a German offensive. The Maginot Line was an extremely well-developed chain of fortifications running from

the Swiss frontier opposite Basel northward along the left bank of the Rhine and then northwestward no farther than Montmédy, near the Belgian frontier south of the Ardennes Forest. The line consisted of a series of giant pillboxes and other defensive

installations constructed in depth, equipped with underground supply and communications facilities, and connected by rail lines,

with all its heavy guns pointed east at the German frontier. Depending heavily on the line as a defense against German attack, the

French had 41 divisions manning it or backing it, whereas only 39 divisions were watching the long stretch of frontier north of it,

from Montmédy through the Ardennes and across Flanders to the English Channel.

In their plan for the invasion of France and the Low Countries , the Germans kept General Wilhelm von Leeb’s Army Group C facing the Maginot Line so as to deter the French from diverting forces from it, while launching Bock’s Army Group B into the

basin of the Lower Maas River north of Liège and Rundstedt’s Army Group A into the Ardennes. Army Group B comprised

Küchler’s 18th Army, with one armoured division and airborne support, to attack the Netherlands , and Reichenau’s 6th, with two armoured divisions, to advance over the Belgian plain. These two armies would have to deal not only with the Dutch and Belgian

armies but also with the forces that the Allies, according to their plan, would send into the Low Countries, namely two French

armies and nine British divisions. Rundstedt’s Army Group A, however, was much stronger, comprising as it did Kluge’s 4th

Army, List’s 12th, and General Ernst Busch’s 16th, with General Maximilian von Weichs’s 2nd in reserve, besides a large

armoured group under Paul Ludwig von Kleist and a smaller one under General Hermann Hoth, and amounting in all to 44 divisions, seven of them armoured, with 27 divisions in reserve. Army Group A thus amounted to more than 1,500,000 men and

more than 1,500 tanks, and it would strike at the weak hinge of the Allies’ wheel into Belgium —that is to say, at two French

armies, General Charles Huntziger’s 2nd and General André Corap’s 9th, which together mustered only 12 infantry and four

horsed cavalry divisions and stood, respectively, east and west of Sedan on the least-fortified stretch of the French frontier. Against this weak centre of the Allied line were thus massed nearly two-thirds of Germany’s forces in the west and nearly three-

quarters of its tank forces.

The Dutch Army comprised 10 divisions and the equivalent of 10 more in smaller formations, and thus totaled more than 400,000

men. It apparently had a good chance of withstanding the German invasion, since the attacking German army comprised only

seven divisions, apart from the airborne forces it would use. The Dutch, however, had a wide front, a very sensitive and loosely

settled rear, very few tanks, and no experience of modern warfare. On May 10, the German attack on the Netherlands began with

the capture by parachutists of the bridges at Moerdijk, at Dordrecht, and at Rotterdam and with landings on the airfields around The Hague. On the same day, the weakly held Peel Line, south of the westward-turning arc of the Maas, was penetrated by the

German land forces; and on May 11 the Dutch defenders fell back westward past Tilburg to Breda, with the consequence that the

French 7th Army, under General Henri Giraud , whose leading forces had sped forward across Belgium over the 140 miles to Tilburg, fell back to Breda likewise. The German tanks thus had a clear road to Moerdijk, and by noon on May 12 they were in

the outskirts of Rotterdam. North of the Maas, meanwhile, where the bulk of the Dutch defense was concentrated, the Germans

achieved a narrow breach of the Geld Valley line on May 12, whereupon the Dutch, unable to counterattack, retreated to the

“Fortress of Holland” Line protecting Utrecht and Amsterdam. Queen Wilhelmina and her government left the country for

England on May 13; and the next day the Dutch commander in chief, General Henri Gerard Winkelman , surrendered to the Germans, who had threatened to bomb Rotterdam and Utrecht, as places in the front line of the fighting, if resistance continued.

In fact, Rotterdam was bombed, after the capitulation, by 30 planes through a mistake in the Germans’ signal communications.

The news of the German onslaught in the Low Countries, dismaying as it was to the Allies, had one effect that was to be of

momentous importance to their fortunes: Chamberlain , whose halfhearted conduct of the war had been bitterly criticized in the

House of Commons during the debate of May 7–8 on the campaign in Norway, resigned office in the evening of May 10 and was succeeded as prime minister by Churchill, who formed a coalition government.

For the first phase of the invasion of the Belgian plain north of Liège, Reichenau had four army corps, one armoured corps, and

only 500 airborne troops; but he also had massive cooperation from the German Luftwaffe, whose dive bombers and fighters

played a major role in breaking down the Belgian defenses. West of the Maastricht “appendix” of indefensible Dutch territory

separating Belgium from Germany, the fortress of Eben Emael , immediately opposite Maastricht, and the line of the Albert Canal constituted the Belgians’ foremost defensive position. On May 10 German airborne troops landed in gliders on the top of the

fortress and on bridges over the canal. On May 11 the Belgian front was broken, the German tanks running on westward and

some of the infantry turning southward to take Liège from the rear, while the Belgians made a general retreat to the Antwerp–

Namur, or Dyle, Line. French and British divisions had just arrived on this Dyle Line, and General René Prioux’s two tank

divisions went out from it to challenge the German advance. After a big battle on May 14, however, Prioux’s tanks had to retire to

the consolidated Dyle Line; and on May 15, notwithstanding a successful defense against a German attack, Gamelin ordered the

abandonment of the position, because events farther to the south had made it strategically untenable .

The chances for success of the German offensive against France hinged on a German advance through the hilly and dense

Ardennes Forest, which the French considered to be impassable to tanks. But the Germans did succeed in moving their tank

columns through that difficult belt of country by means of an amazing feat of staff work. While the armoured divisions used such

roads through the forest as were available, infantry divisions started alongside them by using field and woodland paths and

marched so fast across country that the leading ones reached the Meuse River only a day after the armoured divisions had.

The decisive operations in France were those of Rundstedt’s Army Group A. Kleist’s tanks on May 10 took only three hours to

cover the 30 miles from the eastern border of independent Luxembourg to the southeastern border of Belgium; and on May 11 the French cavalry divisions that had ridden forward into the Ardennes to oppose them were thrown back over the Semois River.

By the evening of May 12 the Germans were across the Franco-Belgian frontier and overlooking the Meuse River . The defenses

of this sector were rudimentary , and it was the least-fortified stretch of the whole French front. Worse still, the defending French

2nd and 9th armies had hardly any antitank guns or antiaircraft artillery with which to slow down the German armoured columns and shoot down their dive bombers. Such was the folly of the French belief that a German armoured thrust through the Ardennes

was unlikely.

On May 13 Kleist’s forces achieved a threefold crossing of the Meuse River. At Sedan wave after wave of German dive bombers

swooped on the French defenders of the south bank . The latter could not stand the nerve-racking strain, and the German troops were able to push across the river in rubber boats and on rafts. The tremendous air bombardment was the decisive factor in the

crossings. A thousand aircraft supported Kleist’s forces, while only a few French aircraft intervened in a gallant but hopeless

effort to aid their troops on the ground. Next day, after the tanks had been brought across, Guderian widened the Sedan

bridgehead and beat off French counterattacks. On May 15 he broke through the French defenses into open country, turning

westward in the direction of the English Channel. On May 16 his forces swept on west for nearly 50 miles. His superiors tried to

put on the brake, feeling that such rapid progress was hazardous, but the pace of the German drive upset the French far more, and

their collapse spread as Reinhardt’s corps joined in the pressure. When more German tanks crossed the Meuse between Givet and

Namur, the breach of the French front was 60 miles wide.

Driving westward down the empty corridor between the Sambre and the Aisne rivers, Guderian’s tanks crossed the Oise River on

May 17 and reached Amiens two days later. Giraud, who on May 15 had superseded Corap in command of the French 9th Army, was thus frustrated in his desperate plan of checking the Germans on the Oise; and Kleist, meanwhile, by lining the Aisne

progressively with tanks until the infantry came up to relieve them, was protecting the southwestern flank of the advance against

the danger of a counteroffensive from the south. Indeed, when the Germans, on May 15, were reported to be crossing the Aisne

River between Rethel and Laon, Gamelin told Reynaud that he had no reserves in that sector and that Paris might fall within two

days’ time. Thereupon Reynaud, though he postponed his immediate decision to move the government to Tours, summoned

General Maxime Weygand from Syria to take Gamelin’s place as commander in chief; but Weygand did not arrive until May 19.

Guderian’s tanks were at Abbeville on May 20, and on May 22 he turned northward to threaten Calais and Dunkirk, while

Reinhardt, swinging south of the British rear at Arras, headed for the same objectives, the remaining ports by which the British

Expeditionary Force (BEF) could be evacuated.

THE EVACUATION FROM DUNKIRK

For the Allies, all communication between their northern and southern forces was severed by the arc of the westward German

advance from the Ardennes to the Somme . The Allied armies in the north, having fallen back from the Dyle Line to the Escaut (Schelde), were being encircled, and already on May 19 the British commander, Viscount Gort, was considering the withdrawal

of the BEF by sea. On May 21, however, to satisfy orders from London for more positive action, he launched an attack from Arras southward against the right flank of the Germans’ corridor; but, though it momentarily alarmed the German high command,

this small counterstroke lacked the armoured strength necessary for success. Meanwhile, Guderian’s tanks had swept up past

Boulogne and Calais and were crossing the canal defense line close to Dunkirk when, on May 24, an inexplicable order from Hitler not only stopped their advance but actually called them back to the canal line just as Guderian was expecting to drive into

Dunkirk.

Dunkirk was now the only port left available for the withdrawal of the mass of the BEF from Europe, and the British Cabinet at

last decided to save what could be saved. The British Admiralty had been collecting every kind of small craft it could find to help

in removing the troops, and the British retreat to the coast now became a race to evacuate the troops before the Germans could

occupy Dunkirk. Evacuation began on May 26 and became still more urgent the next day, when the Belgians, their right wing and

their centre broken by Reichenau’s advance, sued for an armistice. On May 27, likewise, bombing by the Luftwaffe put the

harbour of Dunkirk out of use, so that many of the thousands of men thronging the 10-mile stretch of beaches had to be ferried out

to sea by petty craft pressed into service by the Royal Navy and manned largely by amateur seamen, though the harbour’s

damaged breakwater still offered a practicable exit for the majority. By June 4, when the operation came to an end, 198,000

British and 140,000 French and Belgian troops had been saved; but virtually all of their heavy equipment had to be abandoned,

and, of the 41 destroyers participating, six were sunk and 19 others damaged. The men who were saved represented a

considerable part of the experienced troops possessed by Great Britain and were an inestimable gain to the Allies. The success of

the near-miraculous evacuation from Dunkirk was due, on the one hand, to fighter cover by the Royal Air Force from the English coast and on the other to Hitler’s fatal order of May 24 halting Guderian. That order had been made for several reasons, chiefly:

Hermann Göring , head of the Luftwaffe, had mistakenly assured Hitler that his aircraft alone could destroy the Allied troops trapped on the beaches at Dunkirk; and Hitler himself seems to have believed that Great Britain might accept peace terms more

readily if its armies were not constrained into humiliating surrender. Three days passed before Walther von Brauchitsch, the

German Army commander in chief, was able to persuade Hitler to withdraw his orders and allow the German armoured forces to

advance on Dunkirk. But they met stronger opposition from the British, who had had time to solidify their defenses, and almost

immediately Hitler stopped the German armoured forces again, ordering them instead to move south and prepare for the attack on

the Somme–Aisne line.

The campaign in northern France was wound up by Küchler’s forces, after both Guderian and Reichenau had been ordered

southward. Altogether, the Germans had taken more than 1,000,000 prisoners in three weeks, at a cost of 60,000 casualties. Some

220,000 Allied troops, however, were rescued by British ships from France’s northwestern ports (Cherbourg , Saint-Malo , Brest ,

and Saint-Nazaire ), thus bringing the total of Allied troops evacuated to about 558,000.

There remained the French armies south of the Germans’ Somme–Aisne front. The French had lost 30 divisions in the campaign so far. Weygand still managed to muster 49 divisions, apart from the 17 left to hold the Maginot Line, but against him the

Germans had 130 infantry divisions as well as their 10 divisions of tanks. The Germans, after redisposing their units, began a new

offensive on June 5 from their positions on the Somme. The French resisted stiffly for two days, but on June 7 the German tanks

in the westernmost sector, led by Major General Erwin Rommel , broke through toward Rouen, and on June 9 they were over the

Seine. On June 9 the Germans attacked on the Aisne: the infantry forced the crossings, and then Guderian ’s armour drove

through the breach toward Châlons-sur-Marne before turning eastward for the Swiss frontier, thus isolating all the French forces

still holding the Maginot Line.

ITALY’S ENTRY INTO THE WAR AND THE FRENCH ARMISTICE

Italy had been unprepared for war when Hitler attacked Poland, but if the Italian leader, Benito Mussolini , was to reap any positive advantages from partnership with Hitler it seemed that Italy would have to abandon its nonbelligerent stance before the

western democracies had been defeated by Germany singlehanded. The obvious collapse of France convinced Mussolini that the

time to implement his Pact of Steel with Hitler had come, and on June 10, 1940, Italy declared war against France and Great Britain. With about 30 divisions available on their Alpine frontier, the Italians delayed their actual attack on southeastern France

until June 20, but it achieved little against the local defense. In any case, the issue in France had already been virtually settled by

the victory of Italy’s German ally.

Meanwhile, Reynaud had left Paris for Cangé, near Tours; and Weygand, after speaking frankly and despondently to Churchill at

the Allied military headquarters at Briare on June 11, told Reynaud and the other ministers at Cangé on June 12 that the battle for France was lost and that a cessation of hostilities was compulsory. There was little doubt that he was correct in this estimate of the

military situation: the French armies were now splitting up into fragments. Reynaud’s government was divided between the

advocates of capitulation and those who, with Reynaud, wanted to continue the war from French North Africa. The only decision

that it could make was to move itself from Tours to Bordeaux.

The Germans entered Paris on June 14, 1940, and were driving still deeper southward along both the western and eastern edges of

France. Two days later they were in the Rhône valley. Meanwhile, Weygand was still pressing for an armistice, backed by all the

principal commanders. Reynaud resigned office on June 16, whereupon a new government was formed by Marshal Philippe

Pétain, the revered and aged hero of the Battle of Verdun in World War I. In the night of June 16 the French request for an armistice was transmitted to Hitler. While discussion of the terms went on, the German advance went on too. Finally, on June 22,

1940, at Rethondes, the scene of the signing of the Armistice of 1918, the new Franco-German Armistice was signed. The Franco-Italian Armistice was signed on June 24. Both armistices came into effect early on June 25.

The Armistice of June 22 divided France into two zones: one to be under German military occupation and one to be left to the

French in full sovereignty . The occupied zone comprised all northern France from the northwestern frontier of Switzerland to the

Channel and from the Belgian and German frontiers to the Atlantic, together with a strip extending from the lower Loire southward along the Atlantic coast to the western end of the Pyrenees; the unoccupied zone comprised only two-fifths of France’s

territory, the southeast. The French Navy and Air Force were to be neutralized, but it was not required that they be handed over to

the Germans. The Italians granted very generous terms to the French: the only French territory that they claimed to occupy was

the small frontier tract that their forces had succeeded in overrunning since June 20. Meanwhile, from June 18, General Charles

de Gaulle, whom Reynaud had sent on a military mission to London on June 5, was broadcasting appeals for the continuance of France’s war.

The collapse of France in June 1940 posed a severe naval problem to the British, because the powerful French Navy still existed:

Supermarine Spitfire, Britain’s premier fighter plane from 1938 through World War

II.

Quadrant/Flight

strategically, it was of immense importance to the British that these French ships not fall into German hands, since they would

have tilted the balance of sea power decidedly in favour of the Axis—the Italian Navy being now also at war with Britain.

Mistrustful of promises that the French ships would be used only for “supervision and minesweeping ,” the British decided to

immobilize them. Thus, on July 3, 1940, the British seized all French ships in British-controlled ports, encountering only nominal

resistance. But when British ships appeared off Mers el-Kébir , near Oran on the Algerian coast, and demanded that the ships of the important French naval force there either join the Allies or sail out to sea, the French refused to submit, and the British

eventually opened fire, damaging the battleship Dunkerque, destroying the Bretagne, and disabling several other vessels.

Thereupon, Pétain’s government, which on July 1 had installed itself at Vichy, on July 4 severed diplomatic relations with the

British. In the eight following days, the constitution of France’s Third Republic was abolished and a new French state created,

under the supreme authority of Pétain himself. The few French colonies that rallied to General de Gaulle’s Free French movement were strategically unimportant.

THE BATTLE OF BRITAIN

With France conquered, Hitler could now turn his forces on Germany’s sole remaining enemy: Great Britain, which was protected

from the formidable German Army by the waters of the English Channel . On July 16, 1940, Hitler issued a directive ordering the preparation and, if necessary, the execution of a plan for the invasion of Great Britain. But an amphibious invasion of Britain

would only be possible, given Britain’s large navy, if Germany could establish control of the air in the battle zone. To this end,

the Luftwaffe chief, Göring , on August 2 issued the “ Eagle Day” directive, laying down a plan of attack in which a few massive

blows from the air were to destroy British air power and so open the way for the amphibious invasion, termed Operation “Sea

Lion.” Victory in the air battle for the Luftwaffe would indeed have exposed Great Britain to invasion and occupation. The

victory by the Royal Air Force (RAF) Fighter Command blocked this possibility and, in fact, created the conditions for Great Britain’s survival, for the extension of the war, and for the eventual defeat of Nazi Germany.

The forces engaged in the battle were relatively small. The British disposed some

600 frontline fighters to defend the country. The Germans made available about

1,300 bombers and dive bombers, and about 900 single-engined and 300 twin-

engined fighters. These were based in an arc around England from Norway to the

Cherbourg Peninsula in northern coastal France. The preliminaries of the Battle of

Britain occupied June and July 1940, the climax August and September, and the

aftermath—the so-called Blitz—the winter of 1940–41. In the campaign, the Luftwaffe had no systematic or consistent plan of action: sometimes it tried to

establish a blockade by the destruction of British shipping and ports; sometimes, to

destroy Britain’s Fighter Command by combat and by the bombing of ground

installations; and sometimes, to seek direct strategic results by attacks on London

and other populous centres of industrial or political significance. The British, on the

other hand, had prepared themselves for the kind of battle that in fact took place. Their radar early warning, the most advanced

and the most operationally adapted system in the world, gave Fighter Command adequate notice of where and when to direct their

fighter forces to repel German bombing raids. The Spitfire , moreover, though still in short supply, was unsurpassed as an interceptor by any fighter in any other air force.

Firemen battle the flames of a German bombing attack on London, 1941.

AP

The British fought not only with the advantage—unusual for them—of superior equipment and undivided aim but also against an

enemy divided in object and condemned by circumstance and by lack of forethought to fight at a tactical disadvantage. The

German bombers lacked the bomb-load capacity to strike permanently devastating blows and also proved, in daylight, to be easily

vulnerable to the Spitfires and Hurricanes . Britain’s radar, moreover, largely prevented them from exploiting the element of surprise. The German dive bombers were even more vulnerable to being shot down by British fighters, and long-range fighter

cover was only partially available from German fighter aircraft , since the latter were operating at the limit of their flying range.

The German air attacks began on ports and airfields along the English Channel,

where convoys were bombed and the air battle was joined. In June and July 1940, as

the Germans gradually redeployed their forces, the air battle moved inland over the

interior of Britain. On August 8 the intensive phase began, when the Germans

launched bombing raids involving up to nearly 1,500 aircraft a day and directed them

against the British fighter airfields and radar stations. In four actions, on August 8,

11, 12, and 13, the Germans lost 145 aircraft as against the British loss of 88. By late

August the Germans had lost more than 600 aircraft, the RAF only 260, but the RAF

was losing badly needed fighters and experienced pilots at too great a rate, and its

effectiveness was further hampered by bombing damage done to the radar stations.

At the beginning of September the British retaliated by unexpectedly launching a

bombing raid on Berlin, which so infuriated Hitler that he ordered the Luftwaffe to

shift its attacks from Fighter Command installations to London and other cities. These assaults on London, Coventry , Liverpool ,

and other cities went on unabated for several months. But already, by September 15, on which day the British believed, albeit incorrectly, that they had scored their greatest success by destroying 185 German aircraft, Fighter Command had demonstrated to

the Luftwaffe that it could not gain air ascendancy over Britain. This was because British fighters were simply shooting down

German bombers faster than German industry could produce them. The Battle of Britain was thus won, and the invasion of

England was postponed indefinitely by Hitler. The British had lost more than 900 fighters but had shot down about 1,700 German

aircraft.

During the following winter, the Luftwaffe maintained a bombing offensive, carrying out night-bombing attacks on Britain’s

larger cities. By February 1941 the offensive had declined, but in March and April there was a revival, and nearly 10,000 sorties

were flown, with heavy attacks made on London. Thereafter German strategic air operations over England withered.

CENTRAL EUROPE AND THE BALKANS, 1940–41

The continued resistance of the British caused Hitler once more to change his timetable. His great design for a campaign against

the U.S.S.R. had originally been scheduled to begin about 1943—by which time he should have secured the German position on

the rest of the European continent by a series of “localized” campaigns and have reached some sort of compromise with Great

Britain. But in July 1940, seeing Great Britain still undefeated and the United States increasingly inimical to Germany , he decided that the conquest of the European part of the Soviet Union must be undertaken in May 1941 in order both to demonstrate

Germany’s invincibility to Great Britain and to deter the United States from intervention in Europe (because the elimination of the

U.S.S.R. would strengthen the Japanese position in the Far East and in the Pacific). Events in the interval, however, were to make

him change his plan once again.

While the invasion of the U.S.S.R. was being prepared, Hitler was much concerned to extend German influence across Slovakia

and Hungary into Romania , the oil fields of which he was anxious to secure against Soviet attack and the military manpower of which might be joined to the forces of the German coalition. In May 1940 he obtained an oil and arms pact from Romania; but,

when Romania, after being constrained by a Soviet ultimatum in June to cede Bessarabia and northern Bukovina to the U.S.S.R., requested a German military mission and a German guarantee of its remaining frontiers, Hitler refused to comply until

the claims of other states against Romania had been met. Romania was compelled to cede southern Dobruja to Bulgaria on

August 21 (an act that was formalized in the Treaty of Craiova on September 7); but its negotiations with Hungary about

Transylvania were broken off on August 23. Since, if war had broken out between Romania and Hungary, the U.S.S.R. might

have intervened and won control over the oil wells, Hitler decided to arbitrate immediately: by the Vienna Award of August 30, Germany and Italy assigned northern Transylvania, including the Szekler district, to Hungary, and Germany then guaranteed what

was left of Romania. In the face of the Romanian nationalists’ outcry against these proceedings, the king, Carol II , transferred his

dictatorial powers to General Ion Antonescu on Sept. 4, 1940, and abdicated his crown in favour of his young son Michael two

days later. Antonescu had already repeated the request for a German military mission, which arrived in Bucharest on October 12.

Though Hitler had apprised the Italian foreign minister, Galeazzo Ciano , of his intention to send a military mission to Romania,

Ciano had not apprised Mussolini . So, since the latter’s Balkan ambitions had been continually restrained by Hitler, particularly

with regard to Yugoslavia , the sudden news of the mission annoyed him. On Oct. 28, 1940, therefore, having given Hitler only

the barest hints of his project, Mussolini launched seven Italian divisions (155,000 men) from Albania into a separate war of his

own against Greece .

The result was exasperating for Hitler. His ally’s forces were not only halted by the Greeks, a few miles over the border, on

Nov. 8, 1940, but were also driven back by General Alexandros Papagos ’ counteroffensive of November 14, which was to put the

Greeks in possession of one-third of Albania by mid-December. Moreover, British troops landed in Crete , and some British aircraft were sent to bases near Athens, whence they might have attacked the Romanian oil fields. Lastly, the success of the

Greeks caused Yugoslavia and Bulgaria , who had hitherto been attentive to overtures from the Axis powers, to revert to a strictly neutral policy.

Anticipating Mussolini’s appeal for German help in his “separate” or “parallel” war, Hitler in November 1940 drew Hungary,

Romania, and Slovakia successively into the Axis, or Tripartite , Pact that Germany, Italy, and Japan had concluded on

September 27 (see below Japanese policy, 1939–41 ); and he also obtained Romania’s assent to the assembling of German troops

in the south of Romania for an attack on Greece through Bulgaria. Hungary consented to the transit of these troops through its territory lest Romania take Hungary’s place in Germany’s favour and so be secured in possession of the Transylvanian lands left

to it by the Vienna Award. Bulgaria, however, for fear of Soviet reaction, on the one hand, and of Turkish, on the other (Turkey

had massed 28 divisions in Thrace when Italy attacked Greece), delayed its adhesion to the Axis until March 1, 1941. Only thereafter, on March 18, did the Yugoslav regent, Prince Paul, and his ministers Dragiša Cvetković and Aleksandar Cincar-

Marković agree to Yugoslavia’s adhesion to the Axis.

Meanwhile, the German 12th Army had crossed the Danube from Romania into Bulgaria on March 2, 1941. Consequently, in

accordance with a Greco-British agreement of February 21, a British expeditionary force of 58,000 men from Egypt landed in Greece on March 7, to occupy the Olympus–Vermion line. Then, on March 27, 1941, two days after the Yugoslav government’s

signature, in Vienna, of its adhesion to the Axis Pact, a group of Yugoslav Army officers, led by General Dušan Simović,

executed a coup d’état in Belgrade , overthrowing the regency in favour of the 17-year-old king Peter II and reversing the former government’s policy.

Almost simultaneously with the Belgrade coup d’état, the decisive Battle of Cape Matapan took place between the British and

Italian fleets in the Mediterranean, off the Peloponnesian mainland northwest of Crete . Hitherto, Italo-British naval hostilities in the Mediterranean area since June 1940 had comprised only one noteworthy action: the sinking in November at the Italian naval

base of Taranto of three battleships by aircraft from the British carrier Illustrious. In March 1941, however, some Italian naval

forces, including the battleship Vittorio Veneto, with several cruisers and destroyers, set out to threaten British convoys to

Greece; and British forces, including the battleships Warspite, Valiant, and Barham and the aircraft carrier Formidable, likewise with cruisers and destroyers, were sent to intercept them. When the forces met in the morning of March 28, off Cape

Matapan, the Vittorio Veneto opened fire on the lighter British ships but was soon trying to escape from the engagement, for fear

of the torpedo aircraft from the Formidable. The battle then became a pursuit, which lasted long into the night. Finally, though

the severely damaged Vittorio Veneto made good her escape, the British sank three Italian cruisers and two destroyers. The

Italian Navy made no more surface ventures into the eastern Mediterranean.

The German attack on Greece, scheduled for April 1, 1941, was postponed for a few days when Hitler, because of the Belgrade coup d’état, decided that Yugoslavia was to be destroyed at the same time. While Great Britain’s efforts to draw Yugoslavia into

the Greco-British defensive system were fruitless, Germany began canvasing allies for its planned invasion of Yugoslavia and

Greece. Italy agreed to collaborate in the attack, and Hungary and Bulgaria agreed to send troops to occupy the territories that they coveted as soon as the Germans should have destroyed the Yugoslav state.

On April 6, 1941, the Germans, with 24 divisions and 1,200 tanks, invaded both Yugoslavia (which had 32 divisions) and Greece

(which had 15 divisions). The operations were conducted in the same way as Germany’s previous blitzkrieg campaigns. While

massive air raids struck Belgrade, List’s 12th Army drove westward and southward from the Bulgarian frontiers, Kleist’s armoured group northwestward from Sofia, and Weichs’s 2nd Army southward from Austria and from western Hungary. The

12th Army’s advance through Skopje to the Albanian border cut communications between Yugoslavia and Greece in two days;

Niš fell to Kleist on April 9, Zagreb to Weichs on April 10; and on April 11 the Italian 2nd Army (comprising 15 divisions)

advanced from Istria into Dalmatia . After the fall of Belgrade to the German forces from bases in Romania (April 12), the remnant of the Yugoslav Army—whose only offensive, in northern Albania, had collapsed—was encircled in Bosnia. Its

capitulation was signed, in Belgrade, on April17.

In Greece, meanwhile, the Germans took Salonika ( Thessaloníki ) on April 9, 1941, and then initiated a drive toward Ioánnina (Yannina), thus severing communication between the bulk of the Greek Army (which was on the Albanian frontier) and its rear.

The isolated main body capitulated on April 20, the Greek Army as a whole on April 22. Two days later the pass of

Thermopylae , defended by a British rear guard, was taken by the Germans, who entered Athens on April 27. All mainland

Greece and all the Greek Aegean islands except Crete were under German occupation by May 11, the Ionian islands under Italian. The remainder of Britain’s 50,000-man force in Greece was hastily evacuated with great difficulty after leaving all of their

tanks and other heavy equipment behind.

The campaign against Yugoslavia brought 340,000 soldiers of the Yugoslav Army into captivity as German prisoners of war. In

the campaign against Greece the Germans took 220,000 Greek and 20,000 British or Commonwealth prisoners of war. The combined German losses in the Balkan campaigns were about 2,500 dead, 6,000 wounded, and 3,000 missing.

German airborne troops began to land in Crete on May 20, 1941, at Máleme, in the Canea-Suda area, at Réthimnon, and at

Iráklion. Fighting, on land and on the sea, with heavy losses on both sides, went on for a week before the Allied commander in

chief, General Bernard Cyril Freyberg of the New Zealand Expeditionary Force, was authorized to evacuate the island. The last defenders were overwhelmed at Réthimnon on May 31. The prisoners of war taken by the Germans in Crete numbered more than

15,000 British or Commonwealth troops, besides the Greeks taken. In battles around the island, German air attacks sank three

light cruisers and six destroyers of the British Mediterranean fleet and damaged three battleships, one aircraft carrier, six light

cruisers, and five destroyers.

Both the Yugoslav and the Greek royal governments went into exile on their armies’ collapse. The Axis powers were left to

dispose as they would of their conquests. Yugoslavia was completely dissolved: Croatia , the independence of which had been proclaimed on April 10, 1941, was expanded to form Great Croatia, which included Srem (Syrmia, the zone between the Sava and

the Danube south of the Drava confluence) and Bosnia and Hercegovina; most of Dalmatia was annexed to Italy; Montenegro was

restored to independence; Yugoslav Macedonia was partitioned between Bulgaria and Albania; Slovenia was partitioned between Italy and Germany; the Baranya triangle and the Bačka went to Hungary; the Banat and Serbia were put under German military

administration. Of the independent states, Great Croatia, ruled by Ante Pavelić’s nationalist Ustaše (“Insurgents”), and Montenegro were Italian spheres of influence, although German troops still occupied the eastern part of Great Croatia. A puppet

government of Serbia was set up by the Germans in August 1941.

While Bulgarian troops occupied eastern Macedonia and most of western Thrace , the rest of mainland Greece, theoretically subject to a puppet government in Athens, was militarily occupied by the Italians except for three zones, namely the Athens

district, the Salonika district, and the Dimotika strip of Thrace, which the German conquerors reserved for themselves. The

Germans also remained in occupation of Lesbos , Chios , Samos , Melos , and Crete .

OTHER FRONTS, 1940–41

EGYPT AND CYRENAICA, 1940–SUMMER 1941

The contemporary course of events in the Balkans , described above, nullified the first great victory won by British land forces in

World War II, which took place in North Africa. When Italy declared war against Great Britain in June 1940, it had nearly

300,000 men under Marshal Rodolfo Graziani in Cyrenaica (present-day Libya), to confront the 36,000 troops whom the British

commander in chief in the Middle East , General Sir Archibald Wavell , had in Egypt to protect the North African approaches to

the Suez Canal . Between these forces lay the Western Desert , in which the westernmost position actually held by the British was

Mersa Matruh (Marsā Maṭİūḥ), 120 miles east of the Cyrenaican frontier. The Italians in September 1940 occupied Sīdī Barrānī, 170 miles west of Mersa Matruh; but, after settling six divisions into a chain of widely separated camps, they did nothing more

for weeks, and during that time Wavell received some reinforcements.

Wavell, whose command included not only Egypt but also the East African fronts against the Italians, decided to strike first in

North Africa . On December 7, 1940, some 30,000 men, under Major General Richard Nugent O’Connor , advanced westward, from Mersa Matruh, against 80,000 Italians; but, whereas the Italians at Sīdī Barrānī had only 120 tanks, O’Connor had 275.

Having passed by night through a gap in the chain of forts, O’Connor’s forces stormed three of the Italian camps, while the 7th

Armoured Division was already cutting the Italians’ road of retreat along the coast to the west. On December 10 most of the

positions closer to Sīdī Barrānī were overrun; and on December 11 the reserve tanks made a further enveloping bound to the coast

beyond Buqbuq, intercepting a large column of retreating Italians. In three days the British had taken nearly 40,000 prisoners.

Falling back across the frontier into Cyrenaica , the remnant of the Italian forces from Sīdī Barrānī shut itself up in the fortress of Bardia (Bardīyah), which O’Connor’s tanks speedily isolated. On January 3, 1941, the British assault on Bardia began, and three

days later the whole garrison of Bardia surrendered—45,000 men. The next fortress to the west, Tobruk (Ṭubruq), was assaulted

on January 23 and captured the next day (30,000 more prisoners).

To complete their conquest of Cyrenaica, it remained for the British to take the port of Benghazi. On February 3, 1941, however,

O’Connor learned that the Italians were about to abandon Benghazi and to retreat westward down the coast road to Agheila

(al-ʿUqaylah). Thereupon he boldly ordered the 7th Armoured Division to cross the desert hinterland and intercept the Italian

retreat by cutting the coast road well to the east of Agheila. On February 5, after an advance of 170 miles in 33 hours, the British

were blocking the Italians’ line of retreat south of Beda Fomm (Bayḍāʾ Fumm); and in the morning of February 6, as the main

Italian columns appeared, a day of battle began. Though the Italians had, altogether, nearly four times as many cruiser tanks as the

British, by the following morning 60 Italian tanks had been crippled, 40 more abandoned, and the rest of Graziani’s army was

surrendering in crowds. The British, only 3,000 strong and having lost only three of their 29 tanks, took 20,000 prisoners , 120 tanks, and 216 guns.

The British, having occupied Benghazi on February 6 and Agheila on February 8, could now have pushed on without hindrance to

Tripoli, but the chance was foregone: the Greek government had accepted Churchill’s reiterated offer of British troops to be sent to Greece from Egypt, which meant a serious reduction of British strength in North Africa.

The reduction was to have serious consequences, because on February 6, the very day of Beda Fomm, a young general, Erwin

Rommel, had been appointed by Hitler to command two German mechanized divisions that were to be sent as soon as possible to help the Italians. Arriving in Tripolitania, Rommel decided to try an offensive with what forces he had. Against the depleted

British strength, he was rapidly and brilliantly successful. After occupying Agheila with ease on March 24 and Mersa Bréga (Qasr

al-Burayqah) on March 31, he resumed his advance on April 2—despite orders to stand still for two months—with 50 tanks

backed by two new Italian divisions. The British evacuated Benghazi the next day and began a precipitate retreat into Egypt,

losing great numbers of their tanks on the way (a large force of armour, surrounded at Mechili, had to surrender on April 7). By

April 11 all Cyrenaica except Tobruk had been reconquered by Rommel’s audacious initiative.

Tobruk, garrisoned mainly by the 9th Australian Division, held out against siege; and Rommel, though he defeated two British

attempts to relieve the place (May and June 1941), was obliged to suspend his offensive on the Egyptian frontier, since he had

overstretched his supply lines.

EAST AFRICA

Wavell, the success of whose North African strategy had been sacrificed to Churchill’s recurrent fantasy of creating a Balkan

front against Germany (Greece in 1941 was scarcely less disastrous for the British than the Dardanelles in 1915), nevertheless

enjoyed one definitive triumph before Churchill, doubly chagrined at having lost Cyrenaica for Greece’s sake and Greece for no

advantage at all, removed him, in the summer of 1941, from his command in the Middle East . That triumph was the destruction of

Italian East Africa and the elimination, thereby, of any threat to the Suez Canal from the south or to Kenya from the north.

In August 1940 Italian forces mounted a full-scale offensive and overran British Somaliland . Wavell, however, was already

assured of the collaboration of the former Ethiopian emperor Haile Selassie in raising the Ethiopians in patriotic revolt against the Italians; and, whereas in June he had disposed only of meagre resources against the 200,000 men and 325 aircraft under the

Duca d’Aosta, Amedeo di Savoia, his troops in the Sudan were reinforced by two Indian divisions before the end of the year.

After Haile Selassie and a British major, Orde Wingate , with two battalions of Ethiopian exiles, had crossed the Sudanese frontier directly into Ethiopia, General William Platt and the Indian divisions invaded Eritrea on January 19, 1941 (the Italians had

already abandoned Kassala); and, almost simultaneously, British troops from Kenya, under General Alan Cunningham , advanced

into Italian Somaliland .

Platt’s drive eastward into Eritrea was checked on February 5, at Keren, where the best Italian troops, under General Nicolangelo

Carnimeo, put up a stiff defense facilitated by a barrier of cliffs. But when Keren fell on March 26, Platt’s way to Asmara

(Asmera), to Massawa (Mitsiwa), and then from Eritrea southward into Ethiopia was comparatively easy. Meanwhile,

Cunningham’s troops were advancing northward into Ethiopia; and on April 6 they entered the Ethiopian capital, Addis Ababa. Finally, the Duca d’Aosta was caught between Platt’s column and Cunningham’s; and at Amba Alaji, on May 20, he and the main

body of his forces surrendered.

IRAQ AND SYRIA, 1940–41

In 1940 Prince ʿAbd al-Ilāh, regent of Iraq for King Fayṣal, had a government divided within itself about the war; he himself and

his foreign minister, Nuri as-Said , were pro-British, but his prime minister, Rashid Ali al-Gailani , had pro-German leanings.

Having resigned office in January 1941, Rashid Ali on April 3 seized power in Baghdad with help from some army officers and

announced that the temporarily absent regent was deposed. The British, ostensibly exercising their right under the Anglo-Iraqi

Treaty of 1930 to move troops across Iraqi territory, landed troops at Basra on April 19 and rejected Iraqi demands that these

troops be sent on into Palestine before any further landings. Iraqi troops were then concentrated around the British air base at

Ḥabbānīyah, west of Baghdad; and on May 2 the British commander there opened hostilities, lest the Iraqis should attack first.

Having won the upper hand at Ḥabbānīyah and been reinforced from Palestine , the British troops from the air base marched on Baghdad; and on May 30 Rashid Ali and his friends took refuge in Iran. ʿAbd al-Ilāh was reinstated as regent; Nuri became prime

minister; and the British military presence remained to uphold them.

German military supplies for Rashid Ali were dispatched too late to be useful to him; but they reached Iraq via Syria, whose high

commissioner, General H.-F. Dentz, was a nominee of the Vichy government of France. Lest Syria and Lebanon should fall

altogether under Axis control, the British decided to intervene there. Consequently, Free French forces, under General Georges

Catroux, with British, Australian, and Indian support, were sent into both countries from Palestine on June 8, 1941; and a week

later British forces invaded Syria from Iraq. Dentz’s forces put up an unexpectedly stiff resistance, particularly against the Free French, but were finally obliged to capitulate: an armistice was signed at Acre on July 14. By an arrangement of July 25 the Free

French retained territorial command in Syria and Lebanon subject to strategic control by the British.

THE BEGINNING OF LEND-LEASE

On June 10, 1940, when Italy entered the war on the German side and when the fall of France was imminent , U.S. president

Franklin D. Roosevelt declared that the United States would “extend to the opponents of force the material resources of this nation.” After France fell, he pursued this policy by aiding the British in their struggle against Germany. Roosevelt arranged for

the transfer of surplus American war matériel to the British under various arrangements, including the exchange of 50 old

American destroyers for certain British-held Atlantic bases, and he facilitated the placing of British orders for munitions in the

United States. The British decided to rely on the United States unreservedly and without regard to their ability to pay. By

December 1940 they had already placed orders for war materials that were far more than they could possibly muster the dollar

exchange to finance.

Churchill suggested the concept of lend-lease to Roosevelt in December 1940, proposing that the United States provide war materials, foodstuffs, and clothing to the democracies (and particularly to Great Britain). Roosevelt assented, and a bill to achieve

this purpose was passed by the Congress in early 1941. The Lend-Lease Act not only empowered the president to transfer defense materials, services, and information to any foreign government whose defense he deemed vital to that of the United States, but

also left to his discretion what he should ask in return. An enormous grant of power, it gave Roosevelt virtually a free hand to

pursue his policy of material aid to the “opponents of force.” Congress appropriated funds generously, amounting to almost

$13,000,000,000 by November 1941. Other countries besides Britain began receiving lend-lease aid by this time, including China and the Soviet Union. From the time of the German invasion of the U.S.S.R., Roosevelt had been clearly determined to aid the

Soviet Union, but the American public’s suspicions of Communism delayed his declaring that country eligible for lend-lease until November 1941. American deliveries of aircraft, tanks, and other supplies to the U.S.S.R. began shortly thereafter.

THE ATLANTIC AND THE MEDITERRANEAN, 1940–41

At the outbreak of World War II, the primary concerns of the British Navy were to defend Great Britain from invasion and to retain command of the ocean trading routes, both in order to protect the passage of essential supplies of food and raw materials for

Britain and to deny the trading routes to the Axis powers, thus drawing tight once again the blockade that had proved so

successful during World War I . Britain had adequate forces of battleships , aircraft carriers , cruisers , and other ships to fulfill these tasks.

The German Navy’s role was to protect Germany’s coasts, to defend its sea

communications and to attack those of the Allies’, and to support land and air

operations. These modest goals were in keeping with Germany ’s position as the dominant land-based power in continental Europe. Germany’s main naval weapon

during the war was to be the submarine , or U-boat , with which it attacked Allied

Launching of U-218 at Kiel, Germany, in 1941.

From J.P. Mallmann Showell, U-Boats under

the Swastika (1987)

shipping much as it had in World War I .

German control of the Biscay ports after the fall of France in June 1940 provided the U-boats with bases from which they could infest the Atlantic without having to pass

either through the Channel or around the north of the British Isles at the end of every sortie. Thenceforward, so long as naval escorts for outgoing convoys from the

British Isles could go only 200 or 300 miles out to sea before having to turn back to

escort incoming convoys , the U-boats had a very wide field for free-ranging activity: sinkings rose sharply from 55,580 tons in May 1940 to 352,407 tons in October, achieved mainly by solitary attacks by single U-boats at night. But the beginning of lend-

lease and the freeing of British warships after the German invasion threat waned enabled the British to escort their convoys for

400 miles by October 1940 and halfway across the Atlantic by April 1941. Since air cover for shipping could also be provided

from the British Isles, from Canada , and from Iceland, the Atlantic space left open to the U-boats was reduced by May 1941 to a width of only 300 miles. Moreover, British surface vessels had the ASDIC (Anti-Submarine Detection Investigation Committee)

device to detect submerged U-boats. By the spring of 1941, under the guidance of Admiral Karl Dönitz , the U-boat commanders

were changing their tactic of individual operation to one of wolf-pack attacks: groups of U-boats, disposed in long lines, would rally when one of them by radio signaled a sighting and overwhelm the convoy by weight of numbers. Between July and

December 1941 the German U-boat strength was raised from 65 to more than 230.

Furthermore, the German surface fleet became more active against Allied seaborne trade. Six armed German raiders disguised as

merchantmen, with orders to leave convoys alone and to confine their attacks to unescorted ships, roamed the oceans with

practical impunity from the spring of 1940 and had sunk 366,644 tons of shipping by the end of the year. German battleships— the Admiral Scheer, the Admiral Hipper, the Scharnhorst, and the Gneisenau—one after another began similar raiding

operations, with considerable success, from October 1940; and in May 1941 a really modern battleship, the Bismarck, and a new

cruiser, the Prinz Eugen, put out to sea from Germany. The Bismarck and the Prinz Eugen, however, were located by British

reconnaissance in the North Sea near Bergen, and an intensive hunt for them was immediately set in motion. Tracked from a point northwest of Iceland by two British cruisers, the two German ships were engaged on May 24 by the battle cruiser Hood and by

the new battleship Prince of Wales; and, though the Hood was sunk, the Bismarck ’s fuel supply was put out of action, so that

its commander, Admiral Günther Lütjens, decided to make for the French coast. Separating from the Prinz Eugen (which

escaped), the Bismarck threw off her pursuers early on May 25 but was sighted again the next day some 660 miles west of Brest.

Paralyzed by torpedo aircraft from the Ark Royal, it was bombarded by the King George V, the Rodney, and the Dorsetshire on May 27 and sank.

In the Mediterranean the year 1941 ended with some naval triumphs for the Axis: U-boats torpedoed the Ark Royal on November

13 and the Barham 12 days later; Italian frogmen, entering the harbour of Alexandria, on December 19 crippled the battleships

Queen Elizabeth and Valiant; and two British cruisers and a destroyer were also sunk in Mediterranean waters in December.

GERMAN STRATEGY, 1939–42

German strategy in World War II is wholly intelligible only if Hitler’s far-reaching system of power politics and his racist

ideology are borne in mind. Since the 1920s his program had been first to win power in Germany proper, next to consolidate Germany’s domination over Central Europe, and then to raise Germany to the status of a world power by two stages: (1) the

building up of a continental empire embracing all Europe, including the European portion of the Soviet Union, and (2) the

attainment for Germany of equal rank with the British Empire , Japan , and the United States—the only world powers to be left after the elimination of France and the U.S.S.R.—through the acquisition of colonies in Africa and the construction of a strong

fleet with bases on the Atlantic. In the succeeding generation Hitler foresaw a decisive conflict between Germany and the United

States, during which he hoped that Great Britain would be Germany’s ally.

The conquest of the European part of the Soviet Union, which in Hitler’s calendar was dated approximately for 1943–45, was to

be preceded, he thought, by short localized campaigns elsewhere in Europe to provide a strategic shield and to secure Germany’s

rear for the great expedition of conquest in the East, which was also bound up with the extermination of the Jews . The most important of the localized campaigns would be that against France. While this European program remained unfulfilled, it was

imperative to avoid any world war, since only after the German Reich had come to dominate the whole European continent would it have the economic base and the territorial extent that were prerequisite for success in a great war, especially against

maritime world powers.

Hitler had always contemplated the overthrow of the Soviet regime, and though he had congratulated himself on the German- Soviet Nonaggression Pact of 1939 as a matter of expediency, anti-Bolshevism had remained his most profound emotional

conviction . His feelings had been stirred up afresh by the Soviet occupation of the Baltic states and of Bessarabia and northern Bukovina in June 1940 and by the consequent proximity of Soviet forces to the Romanian oil fields on which Germany depended.

Hitler became acutely suspicious of the intentions of the Soviet leader, Joseph Stalin , and he began to feel that he could not afford to wait to complete the subjugation of western Europe before dealing with the Soviet Union. Hitler and his generals had originally

scheduled the invasion of the U.S.S.R. for mid-May 1941, but the unforeseen necessity of invading Yugoslavia and Greece in

April of that year had forced them to postpone the Soviet campaign to late June. The swiftness of Hitler’s Balkan victories

enabled him to keep to this revised timetable, but the five weeks’ delay shortened the time for carrying out the invasion of the

U.S.S.R. and was to prove the more serious because in 1941 the Russian winter would arrive earlier than usual. Nevertheless,

Hitler and the heads of the Oberkommando des Heeres (OKH, or German Army High Command), namely the army commander

in chief Walther von Brauchitsch and the army general staff chief Franz Halder , were convinced that the Red Army could be defeated in two or three months, and that, by the end of October, the Germans would have conquered the whole European part of

Russia and the Ukraine west of a line stretching from Archangel to Astrakhan. The invasion of the Soviet Union was given the

code name “Operation Barbarossa .”

INVASION OF THE SOVIET UNION, 1941

For the campaign against the Soviet Union, the Germans allotted almost 150 divisions containing a total of about 3,000,000 men.

Among these were 19 panzer divisions , and in total the “Barbarossa” force had about 3,000 tanks, 7,000 artillery pieces, and

2,500 aircraft. It was in effect the largest and most powerful invasion force in human history. The Germans’ strength was further

increased by more than 30 divisions of Finnish and Romanian troops.

The Soviet Union had twice or perhaps three times the number of both tanks and aircraft as the Germans had, but their aircraft

were mostly obsolete. The Soviet tanks were about equal to those of the Germans, however. A greater hindrance to Hitler’s

chances of victory was that the German intelligence service underestimated the troop reserves that Stalin could bring up from the

depths of the U.S.S.R. The Germans correctly estimated that there were about 150 divisions in the western parts of the U.S.S.R.

and reckoned that 50 more might be produced. But the Soviets actually brought up more than 200 fresh divisions by the middle of

August, making a total of 360. The consequence was that, though the Germans succeeded in shattering the original Soviet armies

by superior technique, they then found their path blocked by fresh ones. The effects of the miscalculations were increased because

much of August was wasted while Hitler and his advisers were having long arguments as to what course they should follow after

their initial victories. Another factor in the Germans’ calculations was purely political, though no less mistaken; they believed that

within three to six months of their invasion, the Soviet regime would collapse from lack of domestic support.

The German attack on the Soviet Union was to have an immediate and highly salutary effect on Great Britain’s situation. Until

then Britain’s prospects had appeared hopeless in the eyes of most people except the British themselves; and the government’s

decision to continue the struggle after the fall of France and to reject Hitler’s peace offers could spell only slow suicide unless

relief came from either the United States or the U.S.S.R. Hitler brought Great Britain relief by turning eastward and invading the

Soviet Union just as the strain on Britain was becoming severe.

On June 22, 1941, the German offensive was launched by three army groups under the same commanders as in the invasion of

France in 1940: on the left (north), an army group under Leeb struck from East Prussia into the Baltic states toward Leningrad ;

on the right (south), another army group, under Rundstedt, with an armoured group under Kleist, advanced from southern Poland

into the Ukraine against Kiev, whence it was to wheel southeastward to the coasts of the Black Sea and the Sea of Azov; and in

the centre, north of the Pripet Marshes , the main blow was delivered by Bock ’s army group, with one armoured group under

Guderian and another under Hoth, thrusting northeastward at Smolensk and Moscow .

The invasion along a 1,800-mile front took the Soviet leadership completely by surprise and caught the Red Army in an unprepared and partially demobilized state. Piercing the northern border, Guderian’s tanks raced 50 miles beyond the frontier on

the first day of the invasion and were at Minsk, 200 miles beyond it, on June 27. At Minsk they converged with Hoth’s tanks,

which had pierced the opposite flank, but Bock’s infantry could not follow up quickly enough to complete the encirclement of the

Soviet troops in the area; though 300,000 prisoners were taken in the salient, a large part of the Soviet forces was able to escape to

the east. The Soviet armies were clumsily handled and frittered their tank strength away in piecemeal action like that of the

French in 1940. But the isolated Soviet troops fought with a stubbornness that the French had not shown, and their resistance

imposed a brake by continuing to block road centres long after the German tide had swept past them. The result was similar when

Guderian’s tanks, having crossed the Dnieper River on July 10, entered Smolensk six days later and converged with Hoth’s thrust through Vitebsk: 200,000 Soviet prisoners were taken; but some Soviet forces were withdrawn from the trap to the line of the

Desna , and a large pocket of resistance lay behind the German armour. By mid-July, moreover, a series of rainstorms were turning the sandy Russian roads into clogging mud, over which the wheeled vehicles of the German transport behind the tanks

could make only very slow progress. The Germans also began to be hampered by the scorched earth policy adopted by the retreating Soviets. The Soviet troops burned crops, destroyed bridges, and evacuated factories in the face of the German advance.

Entire steel and munitions plants in the westernmost portions of the U.S.S.R. were dismantled and shipped by rail to the east,

where they were put back into production. The Soviets also destroyed or evacuated most of their rolling stock (railroad cars), thus

depriving the Germans of the use of the Soviet rail system, since Soviet railroad track was of a different gauge than German track

and German rolling stock was consequently useless on it.

Nevertheless, by mid-July the Germans had advanced more than 400 miles and were only 200 miles from Moscow. They still had

ample time to make decisive gains before the onset of winter, but they lost the opportunity, primarily because of arguments

throughout August between Hitler and the OKH about the destination of the next thrusts thence: whereas the OKH proposed

Moscow as the main objective, Hitler wanted the major effort to be directed southeastward, through the Ukraine and the Donets

Basin into the Caucasus, with a minor swing northwestward against Leningrad (to converge with Leeb’s army group).

In the Ukraine, meanwhile, Rundstedt and Kleist had made short work of the foremost Soviet defenses, stronger though the latter had been. A new Soviet front south of Kiev was broken by the end of July; and in the next fortnight the Germans swept down to

the Black Sea mouths of the Bug and Dnieper rivers—to converge with Romania’s simultaneous offensive. Kleist was then

ordered to wheel northward from the Ukraine, Guderian southward from Smolensk, for a pincer movement around the Soviet

forces behind Kiev; and by the end of September the claws of the encircling movement had caught 520,000 men. These gigantic

encirclements were partly the fault of inept Soviet high commanders and partly the fault of Stalin, who as commander in chief

stubbornly overrode the advice of his generals and ordered his armies to stand and fight instead of allowing them to retreat

eastward and regroup in preparation for a counteroffensive.

Winter was approaching, and Hitler stopped Leeb’s northward drive on the outskirts of Leningrad. He ordered Rundstedt and

Kleist, however, to press on from the Dnieper toward the Don and the Caucasus; and Bock was to resume the advance on

Moscow.

Bock’s renewed advance on Moscow began on October 2, 1941. Its prospects looked bright when Bock’s armies brought off a

great encirclement around Vyazma , where 600,000 more Soviet troops were captured. That left the Germans momentarily with an almost clear path to Moscow. But the Vyazma battle had not been completed until late October; the German troops were tired,

the country became a morass as the weather got worse, and fresh Soviet forces appeared in the path as they plodded slowly

forward. Some of the German generals wanted to break off the offensive and to take up a suitable winter line. But Bock wanted to

press on, believing that the Soviets were on the verge of collapse, while Brauchitsch and Halder tended to agree with his view. As

that also accorded with Hitler’s desire, he made no objection. The temptation of Moscow, now so close in front of their eyes, was

too great for any of the topmost leaders to resist. On December 2 a further effort was launched, and some German detachments

penetrated into the suburbs of Moscow; but the advance as a whole was held up in the forests covering the capital. The stemming

of this last phase of the great German offensive was partly due to the effects of the Russian winter, whose subzero temperatures

were the most severe in several decades. In October and November a wave of frostbite cases had decimated the ill-clad German

troops, for whom provisions of winter clothing had not been made, while the icy cold paralyzed the Germans’ mechanized

transport, tanks, artillery, and aircraft. The Soviets, by contrast, were well clad and tended to fight more effectively in winter than

did the Germans. By this time German casualties had mounted to levels that were unheard of in the campaigns against France and

the Balkans; by November the Germans had suffered about 730,000 casualties.

In the south, Kleist had already reached Rostov-on-Don , gateway to the Caucasus, on November 22, but had exhausted his tanks’ fuel in doing so. Rundstedt, seeing the place to be untenable, wanted to evacuate it but was overruled by Hitler. A Soviet

counteroffensive recaptured Rostov on November 28, and Rundstedt was relieved of his command four days later. The Germans,

however, managed to establish a front on the Mius River—as Rundstedt had recommended.

As the German drive against Moscow slackened, the Soviet commander on the Moscow front, General Georgy Konstantinovich

Zhukov, on December 6 inaugurated the first great counteroffensive with strokes against Bock’s right in the Elets (Yelets) and Tula sectors south of Moscow and against his centre in the Klin and Kalinin sectors to the northwest. Levies of Siberian troops,

who were extremely effective fighters in cold weather, were used for these offensives. There followed a blow at the German left,

in the Velikie Luki sector; and the counteroffensive, which was sustained throughout the winter of 1941–42, soon took the form of a triple convergence toward Smolensk.

These Soviet counteroffensives tumbled back the exhausted Germans, lapped around their flanks, and produced a critical

situation. From generals downward, the invaders were filled with ghastly thoughts of Napoleon’s retreat from Moscow. In that

emergency Hitler forbade any retreat beyond the shortest possible local withdrawals. His decision exposed his troops to awful

sufferings in their advanced positions facing Moscow, for they had neither the clothing nor the equipment for a Russian winter

campaign; but if they had once started a general retreat it might easily have degenerated into a panic-stricken rout.

The Red Army’s winter counteroffensive continued for more than three months after its December launching, though with

diminishing progress. By March 1942 it had advanced more than 150 miles in some sectors. But the Germans maintained their

hold on the main bastions of their winter front—such towns as Schlüsselburg, Novgorod, Rzhev, Vyazma, Bryansk, Orël (Oryol), Kursk, Kharkov, and Taganrog—despite the fact that the Soviets had often advanced many miles beyond these bastions,

which were in effect cut off. In retrospect, it became clear that Hitler’s veto on any extensive withdrawal worked out in such a

way as to restore the confidence of the German troops and probably saved them from a widespread collapse. Nevertheless, they

paid a heavy price indirectly for that rigid defense. One immediate handicap was that the strength of the Luftwaffe was drained in

the prolonged effort to maintain supplies by air, under winter conditions, to the garrisons of these more or less isolated bastion towns. The tremendous strain of that winter campaign, on armies which had not been prepared for it, had other serious effects.

Before the winter ended, many German divisions were reduced to barely a third of their original strength, and they were never

fully built up again.

The German plan of campaign had begun to miscarry in August 1941, and its failure was patent when the Soviet counteroffensive

started. Nevertheless, having dismissed Brauchitsch and appointed himself army commander in chief in December, Hitler

persisted in overruling the tentative opposition of the general staff to his strategy.

The first three months of the German–Soviet conflict produced cautious rapprochements between the U.S.S.R. and Great Britain

and between the U.S.S.R. and the United States . The Anglo-Soviet agreement of July 12, 1941, pledged the signatory powers to assist one another and to abstain from making any separate peace with Germany. On August 25, 1941, British and Soviet forces

jointly invaded Iran , to forestall the establishment of a German base there and to divide the country into spheres of occupation for the duration of the war; and late in September—at a conference in Moscow—Soviet, British, and U.S. representatives formulated

the monthly quantities of supplies, including aircraft, tanks, and raw materials, that Great Britain and the United States should try

Japanese expansion in the late 19th and 20th centuries.

Encyclopædia Britannica, Inc.

to furnish to the Soviet Union.

The critical situation on the Eastern Front did not deter Hitler from declaring Germany to be at war with the United States on

December 11, 1941, after the Japanese attack on the U.S., British, and Dutch positions in the Pacific and in the Far East (see

below Japanese policy, 1939–41 ), since this extension of hostilities did not immediately commit the German land forces to any new theatre but at the same time had the merit of entitling the German Navy to intensify the war at sea.

THE WAR IN THE PACIFIC, 1938–41

THE WAR IN CHINA, 1937–41

In 1931–32 the Japanese had invaded Manchuria (Northeast China) and, after overcoming ineffective Chinese resistance there, had created the Japanese-controlled

puppet state of Manchukuo. In the following years the Nationalist government of

China, headed by Chiang Kai-shek , temporized in the face of Japanese military and

diplomatic pressures and instead waged an internal war against the Chinese

Communists, led by Mao Zedong , who were based in Shensi Province in north- central China. Meanwhile, the Japanese began a military buildup in North China

proper, which in turn stimulated the formation of a unified resistance by the

Nationalists and the Communists.

Overt hostilities between Japan and China began after the Marco Polo Bridge

incident of July 7, 1937, when shots were exchanged between Chinese and Japanese troops on the outskirts of Peking. Open fighting broke out in that area, and in late

July the Japanese captured the Peking-Tientsin area. Thereupon full-scale hostilities

began between the two nations. The Japanese landed near Shanghai , at the mouth of

the Yangtze River , and took Shanghai in November and the Chinese capital,

Nanking , in December 1937. Chiang Kai-shek moved his government to Han-k’ou (one of the Wu-han cities), which lay 435 miles west of Shanghai along the Yangtze. The Japanese also pushed southward and westward from the Peking area into Hopeh

and Shansi provinces. In 1938 the Japanese launched several ambitious military campaigns that brought them deep into the heart

of central China. They advanced to the northeast and west from Nanking, taking Suchow and occupying the Wu-han cities. The

Nationalists were forced to move their government to Chungking in Szechwan Province, about 500 miles west of the Wu-han cities. The Japanese also occupied Canton and several other coastal cities in South China in 1938.

Nationalist Chinese resistance to these Japanese advances was ineffective, primarily because the Nationalist leadership was still

more interested in holding their forces in reserve for a future struggle with the Communists than in repelling the Japanese. By

contrast, the Communists, from their base in north-central China, began an increasingly effective guerrilla war against the

Japanese troops in Manchuria and North China. The Japanese needed large numbers of troops to maintain their hold on the immense Chinese territories and populations they controlled. Of the 51 infantry divisions making up the Japanese Army in 1941,

38 of them, comprising about 750,000 men, were stationed in China (including Manchuria).

JAPANESE POLICY, 1939–41

When war broke out in Europe in September 1939, the Japanese, despite a series of victorious battles, had still not brought their

war in China to an end: on the one hand, the Japanese strategists had made no plans to cope with the guerrilla warfare pursued by the Chinese; on the other, the Japanese commanders in the field often disregarded the orders of the supreme command at the

Imperial headquarters and occupied more Chinese territory than they had been ordered to take. Half of the Japanese Army was

thus still tied down in China when the commitment of Great Britain and France to war against Germany opened up the prospect of

wider conquests for Japan in Southeast Asia and in the Pacific. Japan’s military ventures in China proper were consequently restricted rather more severely henceforth.

The German victories over the Netherlands and France in the summer of 1940 further encouraged the Japanese premier, Prince

Konoe , to look southward at those defeated powers’ colonies and also, of course, at the British and U.S. positions in the Far East.

The island archipelago of the Dutch East Indies (now Indonesia) along with French Indochina and British-held Malaya contained raw materials (tin, rubber, petroleum) that were essential to Japan’s industrial economy, and if Japan could seize these regions and

incorporate them into the empire, it could make itself virtually self-sufficient economically and thus become the dominant power

in the Pacific Ocean . Since Great Britain, single-handedly, was confronting the might of the Axis in Europe, the Japanese strategists had to reckon, primarily, with the opposition of the United States to their plans for territorial aggrandizement. When

Japanese troops entered northern Indochina in September 1940 (in pursuance of an agreement extorted in August from the Vichy government of France), the United States uttered a protest. Germany and Italy, by contrast, recognized Japan as the leading power

in the Far East by concluding with it the Tripartite , or Axis, Pact of September 27, 1940: negotiated by Japanese foreign minister

Matsuoka Yosuke , the pact pledged its signatories to come to one another’s help in the event of an attack “by a power not already engaged in war.” Japan also concluded a neutrality pact with the U.S.S.R. on April 13, 1941.

On July 2, 1941, the Imperial Conference decided to press the Japanese advance southward even at the risk of war with Great

Britain and the United States; and this policy was pursued even when Matsuoka was relieved of office a fortnight later. On July

26, in pursuance of a new agreement with Vichy France , Japanese forces began to occupy bases in southern Indochina.

This time the United States reacted vigorously, not only freezing Japanese assets under U.S. control but also imposing an

embargo on supplies of oil to Japan. Dismay at the embargo drove the Japanese naval command, which had hitherto been more

moderate than the army, into collusion with the army’s extremism. When negotiations with the Dutch of Indonesia for an

alternative supply of oil produced no satisfaction, the Imperial Conference on September 6, at the high command’s insistence, decided that war must be undertaken against the United States and Great Britain unless an understanding with the United States

could be reached in a few weeks’ time.

General Tōjō Hideki, who succeeded Konoe as premier in mid-October 1941, continued the already desperate talks. The United States, however, persisted in making demands that Japan could not concede: renunciation of the Tripartite Pact (which would

have left Japan diplomatically isolated); the withdrawal of Japanese troops from China and from Southeast Asia (a humiliating

retreat from an overt commitment of four years’ standing); and an open-door regime for trade in China. When Cordell Hull , the U.S. secretary of state, on November 26, 1941, sent an abrupt note to the Japanese bluntly requiring them to evacuate China and

Indochina and to recognize no Chinese regime other than that of Chiang Kai-shek, the Japanese could see no point in continuing

the talks. (See Sidebar: Pearl Harbor and the “Back Door to War” Theory.)

Since peace with the United States seemed impossible, Japan set in motion its plans for war, which would now necessarily be

waged not only against the United States but also against Great Britain (the existing war effort of which depended on U.S. support

and the Far Eastern colonies of which lay within the orbit of the projected Japanese expansion) and against the Dutch East Indies

(the oil of which was essential to Japanese enterprises, even apart from geopolitical considerations).

The evolving Japanese military strategy was based on the peculiar geography of the Pacific Ocean and on the relative weakness

and unpreparedness of the Allied military presence in that ocean. The western half of the Pacific is dotted with many islands,

large and small, while the eastern half of the ocean is, with the exception of the Hawaiian Islands, almost devoid of landmasses

(and hence of usable bases). The British, French, American, and Dutch military forces in the entire Pacific region west of Hawaii

amounted to only about 350,000 troops, most of them lacking combat experience and being of disparate nationalities. Allied air power in the Pacific was weak and consisted mostly of obsolete planes. If the Japanese, with their large, well-equipped armies

that had been battle-hardened in China, could quickly launch coordinated attacks from their existing bases on certain Japanese-

mandated Pacific islands, on Formosa (Taiwan ), and from Japan itself, they could overwhelm the Allied forces, overrun the entire western Pacific Ocean as well as Southeast Asia, and then develop those areas’ resources to their own military-industrial

advantage. If successful in their campaigns, the Japanese planned to establish a strongly fortified defensive perimeter extending

from Burma in the west to the southern rim of the Dutch East Indies and northern New Guinea in the south and sweeping around

to the Gilbert and Marshall islands in the southeast and east. The Japanese believed that any American and British counteroffensives against this perimeter could be repelled, after which those nations would eventually seek a negotiated peace

that would allow Japan to keep her newly won empire.

Until the end of 1940 the Japanese strategists had assumed that any new war to be waged would be against a single enemy. When

it became clear, in 1941, that the British and the Dutch as well as the Americans must be attacked, a new and daring war plan was

successfully sponsored by the commander in chief of the Combined Fleet, Admiral Yamamoto Isoroku .

Yamamoto’s plan prescribed two operations, together involving the whole strength of his navy, which was composed of the

following ships: 10 battleships, six regular aircraft carriers, four auxiliary carriers, 18 heavy cruisers, 20 light cruisers, 112 destroyers, 65 submarines, and 2,274 combat planes. The first operation, to which all six regular aircraft carriers, two battleships,

three cruisers, and 11 destroyers were allocated , was to be a surprise attack, scheduled for December 7 (December 8 by Japanese

time), on the main U.S. Pacific Fleet in its base at Pearl Harbor in the Hawaiian Islands . The rest of the Japanese Navy was to support the army in the “Southern Operation”: 11 infantry divisions and seven tank regiments, assisted by 795 combat planes,

were to undertake two drives, one from Formosa through the Philippines, the other from French Indochina and Hainan Island through Malaya, so as to converge on the Dutch East Indies, with a view to the capture of Java as the culmination of a campaign

of 150 days—during which, moreover, Wake Island , Guam , the Gilbert Islands , and Burma should also have been secured as

outer bastions, besides Hong Kong .

PEARL HARBOR AND THE JAPANESE EXPANSION, TO JULY 1942

In accordance with Yamamoto’s plan, the aircraft carrier strike force commanded by

Ford Island in Pearl Harbor, Hawaii, as seen from a Japanese aircraft during the attack

on the U.S. …

National Archives, Washington, D.C.

Admiral Nagumo Chuichi sailed eastward undetected by any U.S. reconnaissance

until it had reached a point 275 miles north of Hawaii. From there, on Sunday,

December 7, 1941, a total of about 360 aircraft, composed of dive-bombers, torpedo

bombers, and a few fighters, was launched in two waves in the early morning at the

giant U.S. naval base at Pearl Harbor. The base at that time was accommodating 70

U.S. fighting ships, 24 auxiliaries , and some 300 planes. The Americans were taken completely by surprise, and all eight battleships in the harbour were hit (though six

were eventually repaired and returned to service); three cruisers, three destroyers , a minelayer, and other vessels were damaged; more than 180 aircraft were destroyed

and others damaged (most while parked at airfields); and more than 2,330 troops

were killed and over 1,140 wounded. Japanese losses were comparatively small. The Japanese attack failed in one crucial respect,

however; the Pacific Fleet’s three aircraft carriers were at sea at the time of the attack and escaped harm, and these were to

become the nucleus of the United States’ incipient naval defense in the Pacific. Pearl Harbor’s shore installations and oil-storage

facilities also escaped damage. The Pearl Harbor attack, unannounced beforehand by the Japanese as it was, unified the American

public and swept away any remaining support for American neutrality in the war. On December 8 the U.S. Congress declared war

on Japan with only one dissenting vote.

On the day of the attack, December 8 by local time, Formosa-based Japanese bombers struck Clark and Iba airfields in the

Philippines , destroying more than 50 percent of the U.S. Army’s Far East aircraft; and, two days later, further raids destroyed not only more U.S. fighters but also Cavite Naval Yard, likewise in the Philippines. Part of the U.S. Asiatic Fleet, however, had

already gone south in November; and the surviving major ships and bomber aircraft, which were vulnerable for lack of fighter

protection, were withdrawn in the next fortnight to safety in bases in Java and Australia.

Japanese forces began to land on the island of Luzon in the Philippines on December 10. The main assault, consisting of the bulk

of one division, was made at Lingayen Gulf, 100 miles north-northwest of Manila , on December 22, and a second large landing took place south of Manila two days later. Manila itself fell unopposed to the Japanese on January 2, 1942, but by that time the

U.S. and Filipino forces under General Douglas MacArthur were ready to hold Bataan Peninsula (across the bay from Manila)

and Corregidor Island (in the bay). The Japanese attack on Bataan was halted initially, but it was reinforced in the following eight

weeks. MacArthur was ordered to Australia on March 11, leaving Bataan’s defense to Lieutenant General Jonathan M.

Wainwright. The latter and his men surrendered on April 9; Corregidor fell in the night of May 5–6; and the southern Philippines capitulated three days later.

Japanese bombers had already destroyed British air power at Hong Kong on December 8, 1941, and the British and Canadian

defenders surrendered to the ground attack from the Kowloon Peninsula (the nearest mainland) on December 25. To secure their flank while pushing southward into Malaya, the Japanese also occupied Bangkok on December 9 and Victoria Point in

southernmost Burma on December 16. The Japanese landings in Malaya, from December 8 onward, accompanied as they were by

air strikes, overwhelmed the small Australian and Indian forces; and the British battleship Prince of Wales and the battle cruiser

Repulse, sailing from Singapore to cut Japanese communications, were sunk by Japanese aircraft on December 10. By the end of January 1942, two Japanese divisions, with air and armoured support, had occupied all Malaya except Singapore Island. In

Burma, meanwhile, other Japanese troops had taken Moulmein and were approaching Rangoon and Mandalay .

On the eastern perimeter of the war zone, the Japanese had bombed Wake Island on December 8, attempted to capture it on December 11, and achieved a landing on December 23, quickly subduing the garrison. Guam had already fallen on December 10.

Having also occupied Makin and Tarawa in the Gilbert Islands in the first days of the war, the Japanese successfully attacked

Rabaul, the strategic base on New Britain (now part of Papua New Guinea), on January 23, 1942.

A unified American–British–Dutch–Australian Command, ABDACOM, under Wavell, responsible for holding Malaya, Sumatra, Java, and the approaches to Australia, became operative on January 15, 1942; but the Japanese had already begun their advance

on the oil-rich Dutch East Indies. They occupied Kuching (December 17), Brunei Bay (January 6), and Jesselton (January 11), on

the northern coast of Borneo , as well as Tarakan Island (off northeastern Borneo) and points on Celebes . Balikpapan (on

Borneo’s east coast) and Kendari (in southeastern Celebes) fell to the Japanese on January 24, 1942, Amboina on February 4,

Makasar City (in southwestern Celebes) on February 8, and Bandjarmasin (in southern Borneo) on February 16. Bali was invaded on February 18, and by February 24 the Japanese were also in possession of Timor.

THE FALL OF SINGAPORE

Meanwhile, on February 8 and 9, three Japanese divisions had landed on Singapore Island; and on February 15 they forced the

90,000-strong British, Australian, and Indian garrison there, under Lieutenant General A.E. Percival, to surrender. Singapore was the major British base in the Pacific and had been regarded as unassailable due to its strong seaward defenses. The Japanese

took it with comparative ease by advancing down the Malay Peninsula and then assaulting the base’s landward side, which the

British had left inadequately defended. On February 13, moreover, Japanese paratroopers had landed at Palembang in Sumatra , which fell to an amphibious assault three days later.

When ABDACOM was dissolved on February 25, 1942, only Java remained to complete the Japanese program of conquest. The

Allies’ desperate attempt to intercept the Japanese invasion fleet was defeated in the seven-hour Battle of the Java Sea on February 27, in which five Allied warships were lost and only one Japanese destroyer damaged. The Japanese landed at three

points on Java on February 28 and rapidly expanded their beachheads. On March 9 the 20,000 Allied troops in Java surrendered.

In the Indian Ocean , the Japanese captured the Andaman Islands on March 23, and began a series of attacks on British shipping. After the failure of ABDACOM, the U.S.–British Combined Chiefs of Staff placed the Pacific under the U.S. Joint Chiefs’

strategic direction. MacArthur became supreme commander of the Southwest Pacific Area, which comprised the Dutch East

Indies (less Sumatra), the Philippines, Australia , the Bismarck Archipelago, and the Solomons; and Admiral Chester W. Nimitz became commander in chief of the Pacific Ocean Areas, which comprised virtually every area not under MacArthur. Their

missions were to hold the U.S.–Australia line of communications, to contain the Japanese within the Pacific, to support the

defense of North America , and to prepare for major amphibious counteroffensives.

Japan’s initial war plans were realized with the capture of Java. But despite their military triumphs, the Japanese saw no

indication that the Allies were ready for a negotiated peace. On the contrary, it seemed evident that an Allied counterstroke was in

the making. The U.S. Pacific Fleet bombed the Marshall Islands on February 1, 1942, Wake Island on February 23, and Marcus

Island (between Wake and Japan) on March 1. These moves, together with the bombing of Rabaul on February 23 and the establishment of bases in Australia and a line of communications across the South Pacific, made the Japanese decide to expand so

as to cut the Allied line of communications to Australia . They planned to occupy New Caledonia , the Fiji Islands , and Samoa and also to seize eastern New Guinea, whence they would threaten Australia from an air base to be established at Port Moresby.

They planned also to capture Midway Island in the North Pacific and to establish air bases in the Aleutians . In pursuance of this

new program, Japanese troops occupied Lae and Salamaua in New Guinea and Buka in the Solomon Islands in March 1942 and

Bougainville in the Solomons and the Admiralty Islands (north of New Guinea) early in April.

Something to raise the Allies’ morale was achieved on April 18, 1942, when 16 U.S. bombers raided Tokyo —though they did

little real damage except to the Japanese government’s prestige . Far more important were the consequences of the U.S.

intelligence services’ detection of Japanese plans to seize Port Moresby and Tulagi (in the southern Solomons). Had these two

places fallen, Japanese aircraft could have dominated the Coral Sea . In the event, after U.S. aircraft on May 3, 1942, had

interfered with the Japanese landing on Tulagi, U.S. naval units, with aircraft, challenged the Japanese ships on their circuitous

detour from Rabaul to Port Moresby. On May 5 and 6 the opposing carrier groups sought each other out, and the four-day Battle

of the Coral Sea ensued. On May 7 planes from the Japanese carriers sank a U.S. destroyer and an oil tanker, but U.S. planes sank the Japanese light carrier Shoho and a cruiser; and the next day, though Japanese aircraft sank the U.S. carrier Lexington and

damaged the carrier Yorktown, the large Japanese carrier Shokaku had to retire crippled. Finally, the Japanese lost so many

planes in the battle that their enterprise against Port Moresby had to be abandoned.

Despite the mixed results of the Battle of the Coral Sea, the Japanese continued with their plan to seize Midway Island . Seeking a naval showdown with the remaining ships of the U.S. Pacific Fleet and counting on their own numerical superiority to secure a

victory, the Japanese mustered four heavy and three light aircraft carriers, two seaplane carriers, 11 battleships, 15 cruisers, 44

destroyers, 15 submarines , and miscellaneous small vessels. The U.S. Pacific Fleet had only three heavy carriers, eight cruisers, 18 destroyers, and 19 submarines, though there were some 115 aircraft in support of it. The Americans, however, had the

incomparable advantage of knowing the intentions of the Japanese in advance, thanks to the U.S. intelligence services’ having

broken the Japanese Navy’s code and deciphered key radio transmissions. In the ensuing Battle of Midway , the Japanese ships destined to take Midway Island were attacked while still 500 miles from their target by U.S. bombers on June 3. The Japanese

carriers were still able to launch their aircraft against Midway early on June 4, but in the ensuing battle, waves of carrier- and

Midway-based U.S. bombers sank all four of the Japanese heavy carriers and one heavy cruiser. Appalled by this disaster, the

Japanese began to retreat in the night of June 4–5. Though the U.S. carrier Yorktown was sunk by torpedo on June 6, Midway

was saved from invasion. In the Aleutians, the Japanese bombed Dutch Harbor effectively and on June 7 occupied Attu and

Kiska.

The Battle of Midway was probably the turning point of the war in the Pacific, for Japan lost its first-line carrier strength and

most of its navy’s best trained pilots. Henceforth, the naval strengths of the Japanese and of the Allies were virtually equal.

Having lost the strategic initiative, Japan canceled its plans to invade New Caledonia , Fiji, and Samoa.

THE CHINESE FRONT AND BURMA, 1941–42

Japan’s entry into war against the western Allies had its repercussions in China.

Chiang Kai-shek’s government on December 9, 1941, formally declared war not only against Japan (a formality long overdue) but also, with political rather than

Chinese line the streets of K’un-ming as the first supply convoy reaches the city over the

military intent, against Germany and Italy. Three Chinese armies were rushed to the

Burmese frontier, since the Burma Road was the only land route whereby the western Allies could send supplies to the Nationalist Chinese government. On

January 3, 1942, Chiang was recognized as supreme Allied commander for the China

theatre of war; and a U.S. general, Joseph W. Stilwell , was sent to him to be his chief

of staff. In the first eight weeks after Pearl Harbor , however, the major achievement of the Chinese was the definitive repulse, on January 15, 1942, of a long-sustained

Japanese drive against Ch’ang-sha, on the Canton–Han-k’ou railway.

Thereafter, Chiang and Stilwell were largely preoccupied by efforts to check the

Japanese advance into Burma. By mid-March 1942 two Chinese armies, under

Stilwell’s command, had crossed the Burmese frontier; but before the end of the

month the Chinese force defending Toungoo, in central Burma between Rangoon

and Mandalay, was nearly annihilated by the more soldierly Japanese. British and Indian units in Burma fared scarcely better, being driven into retreat by the enemy’s numerical superiority both in the air and on the ground. On April 29 the Japanese took

Lashio, the Burma Road ’s southern terminus, thus cutting the supply line to China and turning the Allies’ northern flank. Under continued pressure, the British and Indian forces in the following month fell back through Kalewa to Imphāl (across the Indian

border), while most of the Chinese retreated across the Salween River into China. By the end of 1942 all of Burma was in

Japanese hands, China was effectively isolated (except by air), and India was exposed to the danger of a Japanese invasion through Burma.

Since the U.S. bombers that raided Tokyo on April 18 flew on to Chinese airfields, particularly to those in Chekiang (the coastal

province south of Shanghai), the Japanese reacted by launching a powerful offensive to seize those airfields. By the end of July

they had generally achieved their objectives.

DEVELOPMENTS FROM AUTUMN 1941 TO SPRING 1942

ALLIED STRATEGY AND CONTROVERSIES, 1940–42

In the year following the collapse of France in June 1940, British strategists, relying as they could on supplies from the

nonbelligerent United States, were concerned first with home defense, second with the security of the British positions in the

Middle East, and third with the development of a war of attrition against the Axis powers, pending the buildup of adequate forces for an invasion of the European continent. For the United States, President Roosevelt’s advisers, from November 1940, based

their strategic plans on the “Europe first” principle; that is to say, if the United States became engaged in war simultaneously

against Germany, Italy, and Japan, merely defensive operations should be conducted in the Pacific (to protect at least the Alaska–

Hawaii–Panama triangle) while an offensive was being mounted in Europe.

Atlantic Charter Conference, August 1941.

U.S. Naval Historical Center

Japan’s entry into the war terminated the nonbelligerency of the United States. The

three weeks’ conference, named Arcadia , that Roosevelt, Churchill, and their

advisers opened in Washington, D.C. , on December 22, 1941, reassured the British about U.S. maintenance of the “Europe first” principle and also produced two plans:

a tentative one, code-named “Sledgehammer ,” for the buildup of an offensive force in Great Britain, in case it should be decided to invade France; and another, code-

named “Super-Gymnast,” for combining a British landing behind the German forces

in Libya (already planned under the code name “Gymnast”) with a U.S. landing near

Casablanca on the Atlantic coast of Morocco. The same conference furthermore

created the machinery of the Combined Chiefs of Staff , where the British Chiefs of Staff Committee was to be linked continuously, through delegates in Washington,

D.C., with the newly established U.S. Joint Chiefs of Staff Organization, so that all aspects of the war could be studied in concert.

It was on January 1, 1942, during the Arcadia Conference, that the Declaration of the United Nations was signed in Washington,

D.C., as a collective statement of the Allies’ war aims in sequel to the Atlantic Charter .

Meanwhile, Churchill became anxious to do something to help the embattled Soviets—who were clamouring for the United

States and Britain to invade continental Europe so as to take some of the German pressure off the Eastern Front. Roosevelt was no

less conscious than Churchill of the fact that the Soviet Union was bearing by far the greatest burden of the war against Germany;

and this consideration inclined him to listen to the arguments of his Joint Chiefs of Staff Organization for a change of plan. After

some hesitation, he sent his confidant Harry Hopkins and his army chief of staff General George C. Marshall to London in April

1942 to suggest the scrapping of “Super-Gymnast” in favour of “Bolero ,” namely the concentration of forces in Great Britain for

a landing in Europe (perhaps at Brest or at Cherbourg) in the autumn; then “Roundup ,” an invasion of France by 30 U.S. and 18 British divisions, could follow in April 1943. The British agreed but soon began to doubt the practicability of mounting an

amphibious invasion of France at such an early date.

Attempts to conclude an Anglo-Soviet political agreement were renewed without result, but a 20-year Anglo-Soviet alliance was

signed on May 26, 1942; and, though Churchill warned the Soviet foreign minister, Vyacheslav Mikhaylovich Molotov , not to expect an early second front in Europe, Molotov seemed gratified by what he was told about Anglo-U.S. plans.

Visiting Roosevelt again in the latter part of June 1942, Churchill at Hyde Park , New York, and in Washington, D.C., pressed for a revised and enlarged joint operation in North Africa before the end of the year, instead of a buildup for the invasion of France;

but the U.S. Joint Chiefs resolutely upheld the latter plan. After further debate and disagreement, in July the U.S. Joint Chiefs

yielded at last to British obstinacy in favour of a North African enterprise: it was decided that “Torch ,” as this combined Anglo- U.S. operation came to be called, should begin the following autumn.

Already, on July 17, 1942, Churchill had had to notify Stalin that convoys of Allied supplies to northern Russia must be

suspended because of German submarine activity on the Arctic sea route (on June 2 a convoy from Iceland had lost 23 out of 34 vessels). Consequently, it was the more awkward to inform Stalin that there would be no second front in Europe before 1943. In

mid-August 1942, when Churchill went to Moscow to break the news, Stalin raged against the retreat from the plan for a second

front in Europe but had to admit the military logic of “Torch.”

LIBYA AND EGYPT, AUTUMN 1941–SUMMER 1942

In the Western Desert, a major offensive against Rommel ’s front was undertaken on November 18, 1941, by the British 8th

Army, commanded by Cunningham under the command in chief of Wavell’s successor in the Middle East, General Sir Claude

Auchinleck. The offensive was routed. General Neil Methuen Ritchie took Cunningham’s place on November 25, still more tanks

were brought up, and a fortnight’s resumed pressure constrained Rommel to evacuate Cyrenaica and to retreat to Agedabia. There, however, Rommel was at last, albeit meagrely, reinforced; and, after repulsing a British attack on December 26, he

prepared a counteroffensive. When the British still imagined his forces to be hopelessly crippled, he attacked on January 21, 1942,

and, by a series of strokes, drove the 8th Army back to the Gazala–Bir Hakeim line, just west of Tobruk .

Both sides were subsequently further reinforced. Then, on the night of May 26–27, Rommel passed around Ritchie’s southern

flank with his three German divisions and two Italian ones, leaving only four Italian divisions to face the Gazala line. Though at

first Rommel did some damage to the British tanks as they came into action piecemeal from a weak position, he failed to break

through to the coast behind Gazala. In a single day one-third of Rommel’s tank force was lost; and, after another unsuccessful

effort to reach the coast, he decided, on May 29, to take up a defensive position.

The new German position, aptly known as the Cauldron, seemed indeed to be perilously exposed; and throughout the first days of

June the British attacked it continually from the air and from the ground, imagining that Rommel’s armour was caught at last. The

British tanks, however, persisted in making direct assaults in small groups against the Cauldron and were beaten off with very

heavy losses; and Rommel, meanwhile, secured his rear and his line of supply by overwhelming several isolated British positions

to the south.

Whereas in May 1942 the British had had 700 tanks, with 200 more in reserve, against Rommel’s 525, by June 10 their present

armoured strength was reduced, through their wasteful tactics against the Cauldron, to 170, and most of the reserve was

exhausted. Suddenly then, on June 11, Rommel struck eastward, to catch most of the remaining British armour in the converging

fire of two panzer divisions. By nightfall on June 13 the British had barely 70 tanks left, and Rommel, with some 150 still fit for

action, was master of the battlefield.

The British on June 14 began a precipitate retreat from the Gazala line toward the Egyptian frontier. A garrison of 33,000 men,

however, with an immense quantity of material, was left behind in Tobruk—on the retention of which Churchill characteristically

and most unfortunately insisted in successive telegrams from London . Rommel’s prompt reduction of Tobruk, achieved on June 21, 1942, was felt by Great Britain as a national disaster second only to the loss of Singapore; and 80 percent of the transport with

which Rommel chased the remnant of the 8th Army eastward consisted of captured British vehicles.

At this point Auchinleck relieved Ritchie of his command and in a realistic and soldierly way ordered a general British retreat

back to the Alamein area. By June 30 the German tanks were pressing against the British positions between el-Alamein

(al-ʿAlamayn) and the Qattara Depression , some 60 miles west of Alexandria, after an advance of more than 350 miles from Gazala. Hitler and Mussolini could expect that within a matter of days Rommel would be the master of Egypt.

Field Marshal Erwin Rommel (right), commander of the Afrika Korps, with Field

Marshal Albert …

AP/Wide World Photos

The ensuing First Battle of el-Alamein , which lasted throughout July 1942, marked the end of the German hopes of a rapid victory. Rommel’s troops, having come so far and so fast, were exhausted; their first assaults failed to break the defense rallied by

Auchinleck; and they were also subjected to disconcerting counterstrokes. At this point, the respite that Rommel had to grant to

his men gave Auchinleck time to bring up reinforcements. By the end of July Rommel knew that it was he rather than Auchinleck

who was now on the defensive.

Auchinleck had saved Egypt by halting Rommel’s invasion, but his counterattacks had not driven it back. Early in August, when

Churchill arrived in Cairo to review the situation, Auchinleck insisted on postponing the resumption of the offensive until September, so that his new forces could be properly acclimatized and trained for desert warfare. Impatient of this delay, Churchill

removed Auchinleck from the command in chief in the Middle East and gave the post to General Sir Harold Alexander, while the

command of the 8th Army was transferred eventually (after the sudden death of Churchill’s first nominee) to General Bernard

Law Montgomery. Paradoxically, Montgomery postponed the resumption of the offensive even longer than Auchinleck had desired.

While the British in the course of August raised their strength in armour at the front

to some 700 tanks, Rommel received only meagre reinforcement in the shape of

infantry. He had, however, about 200 gun-armed German tanks and also 240 Italian

tanks (of an obsolete model). With this armament, in the night of August 30–31,

1942, he launched a fresh attack, intending to capture by surprise the minefields on

the southern sector of the British front and then to drive eastward with his armour for

some 30 miles before wheeling north into the 8th Army’s supply area on the coast. In

the event, the minefields proved unexpectedly deep, and by daybreak Rommel’s

spearhead was only eight miles beyond them. Delayed on their eastward drive and

already under attack from the air, the two German panzer divisions of the Afrika

Korps had to make their wheel to the north at a much shorter distance from the

breach than Rommel had planned. Their assault thus ran mainly into the position

held by the British 22nd Armoured Brigade, to the southwest of the ridge ʿAlam al-

Halfaʾ. Shortage of fuel on the German side and reinforced defense on the British,

together with intensification of the British bombing, spelled the defeat of the

offensive, and Rommel on September 2 decided to make a gradual withdrawal.

THE GERMANS’ SUMMER OFFENSIVE IN SOUTHERN RUSSIA, 1942

The German plan to launch another great summer offensive crystallized in the early months of 1942. Hitler’s decision was influenced by his economists, who mistakenly told him that Germany could not continue the war unless it obtained petroleum

supplies from the Caucasus. Hitler was the more responsive to such arguments because they coincided with his belief that another

German offensive would so drain the Soviet Union’s manpower that the U.S.S.R. would be unable to continue the war. His

thinking was shared by his generals, who had been awed by the prodigality with which the Soviets squandered their troops in the

fighting of 1941 and the spring of 1942. By this time at least 4,000,000 Soviet troops had been killed, wounded, or captured,

while German casualties totaled only 1,150,000.

In the early summer of 1942 the German southern line ran from Orël southward east of Kursk , through Belgorod, and east of

Kharkov down to the loop of the Soviet salient opposite Izyum , beyond which it veered southeastward to Taganrog , on the

northern coast of the Sea of Azov . Before the Germans were ready for their principal offensive, the Red Army in May started a drive against Kharkov; but this premature effort actually served the Germans’ purposes, since it not only preempted the Soviet

reserves but also provoked an immediate counterstroke against its southern flank, where the Germans broke into the salient and

reached the Donets River near Izyum. The Germans captured 240,000 Soviet prisoners in the encirclement that followed. In May also the Germans drove the Soviet defenders of the Kerch Peninsula out of Crimea; and on June 3 the Germans began an assault

against Sevastopol, which, however, held out for a month.

The Germans’ crossing of the Donets near Izyum on June 10, 1942, was the prelude to their summer offensive, which was

launched at last on June 28: Field Marshal Maximilian von Weichs’s Army Group B, from the Kursk–Belgorod sector of the

front, struck toward the middle Don River opposite Voronezh , whence General Friedrich Paulus’ 6th Army was to wheel

southeastward against Stalingrad (Volgograd ); and List’s Army Group A, from the front south of Kharkov, with Kleist’s 1st

Panzer Army, struck toward the lower Don to take Rostov and to thrust thence northeastward against Stalingrad as well as

southward into the vast oil fields of Caucasia . Army Group B swept rapidly across a 100-mile stretch of plain to the Don and captured Voronezh on July 6. The 1st Panzer Army drove 250 miles from its starting line and captured Rostov on July 23. Once

his forces had reached Rostov, Hitler decided to split his troops so that they could both invade the rest of the Caucasus and take

the important industrial city of Stalingrad on the Volga River , 220 miles northeast of Rostov. This decision was to have fatal consequences for the Germans, since they lacked the resources to successfully take and hold both of these objectives.

Maikop (Maykup), the great oil centre 200 miles south of Rostov, fell to Kleist’s right-hand column on August 9, and Pyatigorsk,

150 miles east of Maikop, fell to his centre on the same day, while the projected thrust against Stalingrad, in the opposite direction

from Rostov, was being developed. Shortage of fuel, however, slowed the pace of Kleist’s subsequent southeastward progress

through the Caucasian mountains; and, after forcing a passage over the Terek River near Mozdok early in September, he was halted definitively just south of that river. From the end of October 1942 the Caucasian front was stabilized; but the titanic

struggle for Stalingrad, draining manpower that might have won victory for the Germans in Caucasia, was to rage on, fatefully,

for three more months (see below Stalingrad and the German retreat, summer 1942–February 1943). Already, however, it was evident that Hitler’s new offensive had fallen short of its objectives, and the scapegoat this time was Halder, who was superseded

by Kurt Zeitzler as chief of the army general staff.

THE ALLIES’ FIRST DECISIVE SUCCESSES

THE SOLOMONS, PAPUA, MADAGASCAR, THE ALEUTIANS, AND BURMA, JULY 1942–MAY 1943

On July 2, 1942, the U.S. Joint Chiefs of Staff ordered limited offensives in three stages to recapture the New Britain–New

Ireland–Solomons–eastern New Guinea area: first, the seizure of Tulagi and of the Santa Cruz Islands , with adjacent positions; second, the occupation of the central and northern Solomons and of the northeast coast of New Guinea; third, the seizure of

U.S. Marines landing on Guadalcanal, August 1942.

UPI/Bettmann Archive

Rabaul and of other points in the Bismarck Archipelago.

On July 6 the Japanese landed troops on Guadalcanal , one of the southern Solomons, and began to construct an air base. The Allied high command, fearing

further Japanese advances southeastward, sped into the area to dislodge the enemy

and to obtain a base for later advances toward Japan’s main base in the theatre,

Rabaul. The U.S. 1st Marine Division poured ashore on August 7 and secured

Guadalcanal’s airfield, Tulagi’s harbour, and neighbouring islands by dusk on

August 8—the Pacific war’s first major Allied offensive. During the night of August

8–9, Japanese cruisers and destroyers, attempting to hold Guadalcanal, sank four

U.S. cruisers, themselves sustaining one cruiser sunk and one damaged and later

sunk. On August 23–25, in the Battle of the Eastern Solomons, the Japanese lost a light carrier, a destroyer, and a submarine and sustained damage to a cruiser and to a

seaplane carrier but sank an Allied destroyer and crippled a cruiser. On August 31

another U.S. carrier was disabled, and on September 15 Japanese submarines sank the carrier Wasp and damaged a battleship.

Meanwhile, more than 6,000 Japanese reinforced their Guadalcanal garrison, attacking the Marines’ beachhead on August 20–21

and on September 12–14. On September 18 some U.S. reinforcements arrived, and mid-October saw about 22,000 Japanese

ranged against 23,000 U.S. troops. The sea battles of Cape Esperance and of the Santa Cruz Islands—in which two Japanese cruisers and two destroyers were sunk and three carriers and two destroyers damaged in return for the loss of one U.S. carrier and

two destroyers, besides damage to six other Allied ships—thwarted an attempt to reinforce further the Japanese ground troops,

whose attack proved a failure (October 20–29).

After October, Allied strength was built up. Another Japanese attempt at counter-reinforcement led to the naval Battle of

Guadalcanal, fought on November 13–15: it cost Japan two battleships, three destroyers, one cruiser, two submarines, and 11

transports and the Allies (now under Admiral William F. Halsey ) two cruisers and seven destroyers sunk and one battleship and one cruiser damaged. Only 4,000 Japanese troops out of 12,500 managed to reach land, without equipment; and on November 30

eight Japanese destroyers, attempting to land more troops, were beaten off in the Battle of Tassafaronga , losing one destroyer sunk and one crippled, at an Allied cost of one cruiser sunk and three damaged.

By Jan. 5, 1943, Guadalcanal’s Allied garrison totaled 44,000, against 22,500 Japanese. The Japanese decided to evacuate the

position, carrying away 12,000 men in early February in daring destroyer runs. In ground warfare Japanese losses were more than

24,000 for the Guadalcanal campaign, Allied losses about 1,600 killed and 4,250 wounded (figures that ignore the higher number

of casualties from disease). On February 21, U.S. infantry began occupying the Russell Islands, to support advances on Rabaul.

Earlier, before Allied plans to secure eastern New Guinea had been implemented , the Japanese had landed near Gona on the

north coast of Papua (the southeastern extremity of the great island) on July 24, 1942, in an attempt to reach Port Moresby overland, via the Kokoda Trail. Advanced Japanese units from the north, despite Australian opposition, had reached a ridge 32

miles from Port Moresby by mid-September. Then, however, they had to withdraw exhausted to Gona and to nearby Buna, where

there were some 7,500 Japanese assembled by November 18. The next day U.S. infantry attacked them there. Each side was

subsequently reinforced; but the Australians took Gona on December 9 and the Americans Buna village on December 14. Buna

government station fell to the Allies on Jan. 2, 1943, Sanananda on January 18, and all Japanese resistance in Papua ceased on

January 22.

The retaking of Guadalcanal and Papua ended the Japanese drive south, and communications with Australia and New Zealand

were now secure. Altogether, Papua cost Japan nearly 12,000 killed and 350 captured. Allied losses were 3,300 killed and 5,500 wounded. Allied air forces had played a particularly important role, interdicting Japanese supply lines and transporting Allied

supplies and reinforcements.

Japan, having lost Guadalcanal, fought henceforth defensively, with worsening prospects. Its final effort to reinforce the Lae–

Salamaua position in New Guinea from the stronghold of Rabaul was a disaster: in the Battle of the Bismarck Sea , on March 2–4, 1943, the Japanese lost four destroyers and eight transports, and only 1,000 of the 7,000 troops reached their destination. On

March 25 the Japanese Army and Navy high commands agreed on a policy of strengthening the defense of strategic points and of

counterattacking wherever possible, priority being given to the defense of the remaining Japanese positions in New Guinea, with

secondary emphasis on the Solomon Islands. In the following three weeks, however, the Allies improved their own position in

New Guinea, and Japanese intervention was confined to air attacks. Before the end of April, moreover, the Japanese Navy

sustained a disaster: the guiding genius of the Japanese war effort, Yamamoto , was sent late in March to command the forces

based on Rabaul but was killed in an American air ambush on a flight to Bougainville .

Developments of the Allies’ war against Japan also took place outside the southwest Pacific area. British forces in the summer of

1942 invaded Vichy French-held Madagascar . A renewed British offensive in September 1942 overran the island; hostilities ceased on November 5, and a Free French administration of Madagascar took office on Jan. 8, 1943. In the North Pacific,

meanwhile, the United States had decided to expel the Japanese from the Aleutians . Having landed forces on Adak in August

1942, they began air attacks against Kiska and Attu from Adak the next month and from Amchitka also in the following January,

while a naval blockade prevented the Japanese from reinforcing their garrisons. Finally, U.S. troops, bypassing Kiska, invaded Attu on May 11, 1943—to kill most of the island’s 2,300 defenders in three weeks of fighting. The Japanese then evacuated

Kiska. Bases in the Aleutians thenceforth facilitated the Allies’ bombing of the Kuril Islands .

BURMA, AUTUMN 1942–SUMMER 1943

On the Burmese front the Allies found they could do little to dislodge the Japanese from their occupation of that country, and

what little the Allies did attempt proved abortive. Brigadier General Orde Wingate ’s “Chindits ,” which were long-range

penetration groups depending on supplies from the air, crossed the Chindwin River in February 1943 and were initially successful

in severing Japanese communications on the railroad between Mandalay and Myitkyina. But the Chindits soon found themselves

in unfavourable terrain and in grave danger of encirclement, and so they made their way back to India .

In May 1943, however, the Allies reorganized their system of command for Southeast Asia. Vice Admiral Lord Louis

Mountbatten was appointed supreme commander of the South East Asia Command (SEAC), and Stilwell was appointed deputy to Mountbatten. Stilwell at the same time was chief of staff to Chiang Kai-shek. The British–Indian forces destined for Burma

meanwhile constituted the 14th Army, under Lieutenant General William Slim, whose operational control Stilwell agreed to accept. Shortly afterward, Auchinleck succeeded Wavell as commander in chief in India.

MONTGOMERY’S BATTLE OF EL-ALAMEIN AND ROMMEL’S RETREAT, 1942–43

While Churchill was still chafing in London about his generals’ delay in resuming the offensive in Egypt , Montgomery waited for seven weeks after ʿAlam al-Halfaʾ in order to be sure of success. He finally chose to begin his attack in the night of Oct. 23–

24, 1942, when there would be moonlight for the clearing of gaps in the German minefields.

By mid-October the British 8th Army had 230,000 men and 1,230 gun-armed tanks ready for action, while the German–Italian

forces numbered only 80,000 men, with only 210 tanks of comparable quality ready; and in air support the British enjoyed a

superiority of 1,500 to 350. Allied air and submarine attacks on the Axis supply lines across the Mediterranean, moreover, had prevented Rommel’s army from receiving adequate replenishments of fuel, ammunition, and food; and Rommel himself, who had

been ill before ʿAlam al-Halfaʾ, was convalescing in Austria .

The British launched their infantry attack at el-Alamein at 10:00 PM on Oct. 23, 1942, but found the German minefields harder to

clear than they had foreseen. Two days later, however, some of those tanks were deploying six miles beyond the original front.

When Rommel, ordered back to Africa by Hitler, reached the front in the evening of October 25, half of the Germans’ available

armour was already destroyed. Nevertheless, the impetus of the British onslaught was stopped the next day, when German antitank guns took a heavy toll of armour trying to deepen the westward penetration. In the night of October 28 Montgomery

turned the offensive northward from the wedge, but this drive likewise miscarried. In the first week of their offensive the British

lost four times as many tanks as the Germans but still had 800 available against the latter’s remaining 90.

When Montgomery switched the British line of attack back to its original direction, early on Nov. 2, 1942, Rommel was no longer

strong enough to withstand him. After expensive resistance throughout the daytime, he ordered a retreat to Fūka (Fūkah); but in

the afternoon of November 3 the retreat was fatally countermanded by Hitler, who insisted that the Alamein position be held. The

36 hours wasted in obeying this long-distance instruction cost Rommel his chance of making a stand at Fūka: when he resumed

his retreat, he had to race much farther back to escape successive British attempts to intercept him on the coast road by scythelike

sweeps from the south. A fortnight after resuming his withdrawal from el-Alamein, Rommel was 700 miles to the west, at the

traditional backstop of Agheila. As the British took their time to mount their attacks, he fell back farther by stages: after three

weeks, 200 miles to Buerat (al-Buʾayrāt); after three more weeks, in mid-January 1943, the whole distance of 350 miles past

Tripoli to the Mareth Line within the frontiers of Tunisia . By that time the Axis position in Tunisia was being battered from the west, through the execution of “Torch.”

STALINGRAD AND THE GERMAN RETREAT, SUMMER 1942–FEBRUARY 1943

The German 4th Panzer Army, after being diverted to the south to help Kleist’s attack on Rostov late in July 1942 (see above

The Germans’ summer offensive in southern Russia, 1942), was redirected toward Stalingrad a fortnight later. Stalingrad was a large industrial city producing armaments and tractors; it stretched for 30 miles along the banks of the Volga River. By the end of

August the 4th Army’s northeastward advance against the city was converging with the eastward advance of the 6th Army, under

General Friedrich Paulus , with 330,000 of the German Army’s finest troops. The Red Army, however, put up the most determined resistance, yielding ground only very slowly and at a high cost as the 6th Army approached Stalingrad. On August 23

a German spearhead penetrated the city’s northern suburbs, and the Luftwaffe rained incendiary bombs that destroyed most of

the city’s wooden housing. The Soviet 62nd Army was pushed back into Stalingrad proper, where, under the command of General

Vasily I. Chuikov , it made a determined stand. Meanwhile, the Germans’ concentration on Stalingrad was increasingly draining reserves from their flank cover, which was already strained by having to stretch so far—400 miles on the left (north), as far as

Voronezh, 400 again on the right (south), as far as the Terek River. By mid-September the Germans had pushed the Soviet forces

in Stalingrad back until the latter occupied only a nine-mile-long strip of the city along the Volga, and this strip was only two or

three miles wide. The Soviets had to supply their troops by barge and boat across the Volga from the other bank. At this point

Stalingrad became the scene of some of the fiercest and most concentrated fighting of the war; streets, blocks, and individual

buildings were fought over by many small units of troops and often changed hands again and again. The city’s remaining

buildings were pounded into rubble by the unrelenting close combat. The most critical moment came on October 14, when the

Soviet defenders had their backs so close to the Volga that the few remaining supply crossings of the river came under German

machine-gun fire. The Germans, however, were growing dispirited by heavy losses, by fatigue, and by the approach of winter.

A huge Soviet counteroffensive, planned by generals G.K. Zhukov , A.M. Vasilevsky, and Nikolay Nikolayevich Voronov, was launched on Nov. 19–20, 1942, in two spearheads, north and south of the German salient whose tip was at Stalingrad. The twin

pincers of this counteroffensive struck the flanks of the German salient at points about 50 miles north and 50 miles south of

Stalingrad and were designed to isolate the 250,000 remaining men of the German 6th and 4th armies in the city. The attacks

quickly penetrated deep into the flanks, and by November 23 the two prongs of the attack had linked up about 60 miles west of

Stalingrad; the encirclement of the two German armies in Stalingrad was complete. The German high command urged Hitler to

allow Paulus and his forces to break out of the encirclement and rejoin the main German forces west of the city, but Hitler would

not contemplate a retreat from the Volga River and ordered Paulus to “stand and fight.” With winter setting in and food and

medical supplies dwindling, Paulus’ forces grew weaker. In mid-December Hitler allowed one of the most talented German

commanders, Field Marshal Erich von Manstein, to form a special army corps to rescue Paulus’ forces by fighting its way eastward, but Hitler refused to let Paulus fight his way westward at the same time in order to link up with Manstein. This fatal

decision doomed Paulus’ forces, since the main German forces now simply lacked the reserves needed to break through the

Soviet encirclement singlehandedly. Hitler exhorted the trapped German forces to fight to the death, but on Jan. 31, 1943, Paulus

surrendered; 91,000 frozen, starving men (all that was left of the 6th and 4th armies) and 24 generals surrendered with him.

Besides being the greatest battle of the war, Stalingrad proved to be the turning point of the military struggle between Germany

and the Soviet Union. The battle used up precious German reserves, destroyed two entire armies, and humiliated the prestigious German war machine. It also marked the increasing skill and professionalism of a group of younger Soviet generals who had

emerged as capable commanders, chief among whom was Zhukov.

Meanwhile, early in January 1943, only just in time, Hitler acknowledged that the encirclement of the Germans in Stalingrad

would lead to an even worse disaster unless he extricated his forces from the Caucasus. Kleist was therefore ordered to retreat, while his northern flank of 600 miles was still protected by the desperate resistance of the encircled Paulus. Kleist’s forces were

making their way back across the Don at Rostov when Paulus at last surrendered. Had Paulus surrendered three weeks earlier

(after seven weeks of isolation), Kleist’s escape would have been impossible.

Even west of Rostov there were threats to Kleist’s line of retreat. In January, two Soviet armies, the one under General Nikolay

Fyodorovich Vatutin, the other under General Filipp Ivanovich Golikov, had crossed the Don upstream from Serafimovich and were thrusting southwestward to the Donets between Kamensk and Kharkov: Vatutin’s forces, having crossed the Donets at

Izyum, took Lozovaya Junction on February 11, Golikov’s took Kharkov five days later. Farther to the north, a third Soviet army,

under General Ivan Danilovich Chernyakhovsky, had initiated a drive westward from Voronezh on February 2 and had retaken Kursk on February 8. Thus, the Germans had to retreat from all the territory they had taken in their great summer offensive in

1942. The Caucasus returned to Soviet hands.

A sudden thaw supervened to hamper the Red Army ’s transport of supplies and reinforcements across the swollen courses of the great rivers. With the momentum of the Soviet counteroffensive thus slowed, the Germans made good their retreat to the Dnepr

along the easier routes of the Black Sea littoral and were able, before the end of February 1943, to mount a counteroffensive of

their own.

THE INVASION OF NORTHWEST AFRICA, NOVEMBER–DECEMBER 1942

When the U.S. and British strategists had decided on “ Torch ” (Allied landings on the western coast of North Africa) late in July 1942, it remained to settle the practical details of the operation. The purpose of “Torch” was to hem Rommel’s forces in between

U.S. troops on the west and British troops to the east. After considerable discussion, it was finally agreed that landings, under the

supreme command of Major General Dwight D. Eisenhower , should be made on November 8 at three places in the vicinity of

Casablanca on the Atlantic coast of Morocco and on beaches near Oran and near Algiers itself on the Mediterranean coast of

Algeria . The amphibious landings would involve a total of about 110,000 troops, most of them Americans.

The conciliation of the French on whose colonial territory the landings would be made was a more delicate matter. All of French

North Africa was still loyal to the Vichy government of Marshal Pétain, with which the United States, unlike Great Britain , was

still formally maintaining diplomatic relations. Thus, the French commander in chief in Algeria, General Alphonse Juin , and his counterpart in Morocco, General Charles-Auguste Noguès, were subordinate to the supreme commander of all Vichy’s forces,

namely Admiral Jean-François Darlan . American diplomats and generals tried to gain these officers’ collaboration with the Allies in the landings, for it was vital to try to avoid a situation in which Vichy French troops put up armed resistance to the landings at

the beaches.

The U.S.-British landings at Algiers began on November 8 and were met by little French resistance. The simultaneous landings

near Oran met stiffer resistance, and on November 9 the whole U.S. plan of operations was dislocated by a French counterattack

on the Arzew beachhead. Around Casablanca the U.S. landings were accomplished without difficulty, but resistance developed

when the invaders tried to expand their beachheads. On November 10, however, the fighting was called off; and next day the

French authorities in Morocco concluded an armistice with the Americans.

The landing in Algiers, meanwhile, was complicated by the fact that Darlan himself was in the city at the time. The situation was

muddled, with some French troops loyal to Pétain while others backed de Gaulle and the anti-Vichy French general whom the

Allies were sponsoring in North Africa, Henri Giraud .

On Nov. 11, 1942, in reaction to the Allied landings, German and Italian forces overran southern France , the metropolitan territory hitherto under Pétain’s immediate authority. This event helped induce Noguès and the other French commanders in

Algeria to assent to Darlan’s proposals for a working agreement with the Allies, including recognition of Giraud as military

commander in chief of the French forces. Concluded on November 13, the agreement was promptly endorsed by Eisenhower.

French West Africa , including Senegal, with the port of Dakar, likewise followed Darlan’s lead. The Germans, however, by mining the exit from the harbour of Toulon, forestalled plans for the escape of the main French fleet from metropolitan France to

North Africa: on November 27, the French crews scuttled their ships to avoid capture. On Dec. 24, 1942, Darlan was assassinated;

both Royalist and Gaullist circles in North Africa had steadfastly objected to him on political grounds. Giraud thereupon took his

place, for a time, as French high commissioner in North Africa.

TUNISIA, NOVEMBER 1942–MAY 1943

Axis troops had begun to arrive in Tunisia as early as Nov. 9, 1942, and were reinforced in the following fortnight until they

numbered about 20,000 combat troops (which were subsequently heavily reinforced by air). Thus, when the British general

Kenneth Anderson, designated to command the invasion of Tunisia from the west with the Allied 1st Army, started his offensive

on November 25, the defense was unexpectedly strong. By December 5 the 1st Army’s advance was checked a dozen miles from

Tunis and from Bizerte. Further reinforcements enabled Colonel General Jürgen von Arnim , who assumed the command in chief of the Axis defense in Tunisia on December 9, to expand his two bridgeheads in Tunisia until they were merged into one.

Germany and Italy had won the race for Tunis but were henceforth to succumb to the lure of retaining their prize regardless of the greater need of conserving their strength for the defense of Europe.

After Rommel had fallen back from Libya to the Mareth Line in mid-January 1943 ( see above Montgomery’s Battle of el-

Alamein and Rommel’s retreat, 1942–43), two German armies, Arnim’s and Rommel’s, were holding the north and the south of the eastern littoral both against Anderson’s 1st Army attacking from the west and against Montgomery’s 8th from the southeast.

Rommel judged that a counterstroke should be delivered first against the Allies in the west. Accordingly, on February 14 the Axis

forces delivered a major attack against U.S. forces between the Fāʾiḍ Pass in the north and Gafsa in the south. West of Fāʾiḍ, the

21st Panzer Division, under General Heinz Ziegler, destroyed 100 U.S. tanks and drove the Americans back 50 miles. In the

Kasserine Pass, however, the Allies put up some stiffer opposition.

When on February 19 Rommel received authority to continue his attack, he was ordered to advance not against Tébessa but

northward from Kasserine against Thala—where, in fact, Alexander was expecting him. Having overcome the stubborn U.S.

resistance in the Kasserine Pass on February 20, the Germans entered Thala the next day, only to be expelled a few hours later by

Alexander’s reserve troops. His chance having been forfeited, Rommel began a gradual withdrawal on February 22.

The delays ensuing from the frustration of Rommel’s stroke against the 1st Army reduced the effectiveness of his stroke against

the 8th. Whereas on Feb. 26, 1943, Montgomery had had only one division facing the Mareth Line, he quadrupled his strength in

the following week, massing 400 tanks and 500 antitank guns. Rommel ’s attack, on March 6, was brought to an early halt, and 50 German tanks were lost. A sick man and a disappointed soldier, Rommel relinquished his command.

The Allied 1st Army resumed the offensive on March 17, with attacks by the U.S. II Corps, under General George Patton , on the

roads through the mountains, with the aim of cutting the Afrika Korps ’ line of retreat up the coast to Tunis; but these attacks were checked by the Germans in the passes. In the night of March 20–21, however, the British 8th Army launched a frontal assault on

the Mareth Line, combined with an outflanking movement by the New Zealand Corps toward el-Hamma (al-Ḥāmmah) in the

Germans’ rear; and a few days later, seeing the frontal assault to have failed, Montgomery switched the main weight of his attack

to the flank. Threatened with encirclement, the Germans decided to abandon the Mareth Line, which the 8th Army occupied on

March 28; but the German defenses at el-Hamma held out long enough to enable the rest of the Afrika Korps to retreat without

much loss to a new line on the Wādī al-ʿAkārīt, north of Gabès. The new line, however, was breached by the 8th Army on April 6; and, meanwhile, the Americans were also advancing on the Axis troops’ rear from Gafsa. By the following morning the Afrika

Korps was retreating rapidly northward along the littoral toward Tunis, and by April 11 it had joined hands with Arnim’s forces

for the defense of a 100-mile perimeter stretching around Tunis and Bizerte (Banzart).

Thanks to the rapidity of the Afrika Korps’ retreat from Wādī al-ʿAkārīt, the German high command had an opportunity to

withdraw its forces from the rump of Tunisia to Sicily, but it chose instead to defend the indefensible rump. The defenders indeed

withstood the converging assaults that the 8th and 1st armies delivered against the perimeter from April 20 to April 23; but on

May 6 a concentrated attack by Allied artillery, aircraft, infantry, and tanks was launched on the two-mile front of the Medjerda

(Majardah) Valley leading to Tunis; and on May 7 the city fell to the leading British armoured forces, while the Americans and

the French almost simultaneously captured Bizerte. At the same time, the Germans’ line of retreat into the Cap Bon Peninsula was

severed by an armoured division’s swift turn southeastward from Tunis. A general collapse of the German resistance followed,

the Allies taking more than 250,000 prisoners, including 125,000 German troops and Arnim himself. North Africa had been

cleared of Axis forces and was now completely in Allied hands. Its capture insured the safety of Allied shipping and naval

movements throughout the Mediterranean, and North Africa would serve as a base for future Allied operations against Italy itself.

THE ATLANTIC, THE MEDITERRANEAN, AND THE NORTH SEA, 1942–45

The year 1942 was, on the whole, a favourable one for the German U-boats . First, the U.S. entry into the war entitled them to infest the U.S. coast of the North Atlantic; and it was not until the middle of the year that the Allies’ introduction of the convoy

system from the Caribbean northward constrained the raiders to go so far afield as the waters between Brazil and West Africa . Second, U-tankers were developed; i.e., large converted U-boats equipped to provide fuel, torpedoes, and other supplies to U-

boats operating in remote waters. In the course of 1942, the U-boats sank more than 6,266,000 tons of shipping; and, since in the

same period their operational strength rose from 91 to 212, it seemed conceivable that they might soon score their desired target

of 800,000 tons of sinkings per month.

March 1943 saw the climax of the U-boats’ good fortune: their strength rose to 240; they sank in that single month 627,377 tons

of shipping; and, in the greatest convoy battle of the war, when 20 of them attacked two convoys merged into one, they sank 21 ships (141,000 tons) out of 77 with the loss of only one of their own number. The anticlimax followed, thanks to five

developments of the Allies’ counteraction: “support groups” were reintroduced; aircraft carriers became progressively available

for escorts; more and more long-range Liberator aircraft began to cover the convoys offshore; ships were equipped with a radar

set of very short wavelength, the probing of which was undetectable to the U-boats; and a regular offensive against U-boats on

their transit routes was launched from the air (56 were destroyed in April–May 1943). The U-boats sank 327,943 tons in April,

264,852 in May, only 95,753 in June 1943; and for the rest of the war monthly totals were less than 100,000 tons except in July

and September 1943 and in March 1944.

Late in 1944 the U-boats were equipped with the snorkel breathing tube, which provided them with the necessary oxygen to recharge their batteries under water and so converted them from submersible torpedo boats into almost complete submarines

B-17 (Flying Fortress) bombers attacking a German U-boat base in Lorient, France,

March 1944.

AP

Danzig harbour in flames after an attack by Allied bombers in World War II.

Library of Congress, Washington, D.C.

virtually undetectable to radar. About the same time a new model of U-boat, with greater underwater speed and endurance, came

into operation. These improvements came too late, however, because the Allies’ surface and air resources for the protection of the

convoys were already overwhelming.

AIR WARFARE, 1942–43

Early in 1942 the RAF bomber command, headed by Sir Arthur Harris , began an

intensification of the Allies’ growing strategic air offensive against Germany. These attacks, which were aimed against factories, rail depots, dockyards, bridges, and

dams and against cities and towns themselves, were intended to both destroy

Germany’s war industries and to deprive its civilian population of their housing, thus

sapping their will to continue the war. The characteristic feature of the new program

was its emphasis on area bombing , in which the centres of towns would be the points of aim for nocturnal raids.

Already in March 1942 an exceptionally destructive bombing raid, using the

Germans’ own incendiary method, had been made on Lübeck; and intensive attacks

were also made on Essen (site of the Krupp munitions works) and other Ruhr towns.

In the night of May 30–31 more than 1,000 bombers were dispatched against

Cologne, where they did heavy damage to one-third of that city’s built-up area. Such

operations, however, became highly expensive to the bomber command, particularly

because of the defense put up by the German night fighter force. Interrupted for two

months during which the bombers concentrated their attention on U-boat bases on

the Bay of Biscay, the air offensive against Germany was resumed in March 1943. In

the following 12 months, moreover, its resources were to be increased formidably, so

that by March 1944 the bomber command’s average daily operational strength had

risen to 974 from about 500 in 1942. These numbers helped the RAF to concentrate

effectively against major industrial targets, such as those in the Ruhr . The phases of the resumed offensive were: (1) the Battle of the Ruhr, from March to July 1943,

comprising 18,506 sorties and costing 872 aircraft shot down and 2,126 damaged, its

most memorable operation being that of the night of May 16–17, when the Möhne

Dam in the Ruhr Basin and the Eder Dam in the Weser Basin were breached, (2) the

Battle of Hamburg , from July to November 1943, comprising 17,021 sorties and costing 695 bombers lost and 1,123 damaged but, nevertheless, thanks in part to the

new Window antiradar and “H S” radar devices, achieving an unprecedented measure of devastation, since four out of its 33

major actions, with a little help from minor attacks, killed about 40,000 people and drove nearly 1,000,000 from their homes, and

(3) the Battle of Berlin, from November 1943 to March 1944, comprising 20,224 sorties but costing 1,047 bombers lost and 1,682

returned damaged and achieving, on the whole, less devastation than the Battle of Hamburg.

The U.S. 8th Air Force, based in Great Britain, also took part in the strategic offensive against Germany from January 1943. Its

2

bombers, Flying Fortresses (B-17s ) and Liberators (B-24s ), attacked industrial targets in daylight. They proved, however, to be very vulnerable to German fighter attack whenever they went beyond the range of their own escort of fighters—that is to say,

farther than the distance from Norfolk to Aachen : the raid against the important ball-bearing factory at Schweinfurt, for instance, on Oct. 14, 1943, lost 60 out of the 291 bombers participating, and 138 of those that returned were damaged. Not until December

1943 was the P-51B (Mustang III) brought into operation with the 8th Air Force—a long-range fighter that portended a change in the balance of air power. The Germans, meanwhile, continued to increase their production of aircraft and, in particular, of their

highly successful fighters.

GERMAN-OCCUPIED EUROPE

Hitler’s racist ideology and his brutal conception of power politics caused him to pursue certain aims in those European countries conquered by the Germans in the period 1939–42. Hitler intended that those western and northern European areas in

which civil administrations were installed—the Netherlands and Norway —would at some later date become part of the German Reich, or nation. Those countries left by Germany under military administration (which originally had been imposed everywhere),

such as France and Serbia , would eventually be included more loosely in a German-dominated European bloc. Poland and the

Soviet Union , on the other hand, were to be a colonial area for German settlement and economic exploitation.

Without regard to these distinctions, the SS , the elite corps of the Nazi Party , possessed exceptional powers throughout German-

dominated Europe and in the course of time came to perform more and more executive functions, even in those countries under

military administration. Similarly, the powers that Hitler gave to his chief labour commissioner, Fritz Sauckel , for the compulsory enrollment of foreign workers into the German armaments industry were soon applied to the whole of German-dominated Europe

and ultimately turned 7,500,000 people into forced or slave labourers. Above all, however, there was the Final Solution of the

“Jewish question” as ordered by Hitler, which meant the physical extermination of the Jewish people throughout Europe wherever German rule was in force or where German influence was decisive.

The Final Solution—that is to say the step beyond half-measures such as the concentration of Poland’s Jews into overcrowded

ghettoes—was introduced concurrently with Germany’s preparations for the military campaign against the Soviet Union, since

Hitler believed that the annihilation of the Communists entailed not only the extermination of the Soviet ruling class but also

what he believed to be its “biological basis”—the millions of Jews in western Russia and the Ukraine. Accordingly, with the start of the invasion of the Soviet Union in 1941, special mobile killing squads began systematically shooting the Jewish

population on conquered Soviet territory in the rear of the advancing German armies; in a few months, up to the end of 1941, they

had killed about 1,400,000 people. Meanwhile, plans were made in 1941 to similarly exterminate the Jews of central and western

Europe. At the Wannsee Conference of Nazi and SS chiefs in January 1942, it was agreed that those Jews would be deported and sent to camps in eastern Poland where they would be killed en masse or made to work as slave labourers until they perished. In

the period from May 1942 to September 1944 more than 4,200,000 Jews were killed in such death camps as Auschwitz

(Oświęcim), Treblinka , Belzec , Chełmno, Majdanek , and Sobibor . About 5,700,000 Jews died in the course of the Final Solution.

While Hitler destined the Jews in his empire to physical extermination, he regarded

the Slavs, principally the Poles and the Russians, as “subhumans” who were to be

subjected to continual decimation and used as a pool of cheap labour, that is to say,

German troops execute a small group of Poles.

Dokumentationsarchiv des

Oesterreichischen Widerstandes, courtesy

of USHMM Photo Archives

reduced to slavery. Poland became the training ground for this purpose. Upon the

German conquest of Poland in 1939, Hitler ordered the SS to kill a large proportion

of the Polish intelligentsia. A reign of terror against the nationalistic-minded Polish ruling classes began, and by the war’s end a total of 3,000,000 Poles (in addition to

3,000,000 Polish Jews) had been killed. Hitler further willed that the whole mass of

Slavs and Balts in the occupied portions of the Soviet Union should be

indiscriminately subjected to German domination and should be economically

exploited without hindrance or compassion. In the event, the Ukraine was the major area subject to economic exploitation and also became the main source of slave

labour. When the German armies first entered the Ukraine in July 1941, many Ukrainians had welcomed the Germans as their

liberators from Stalinist terror and collectivization. But this goodwill soon turned to resentment as the Germans requisitioned

large quantities of grain from the farms, forcibly deported several million Ukrainians for work in Germany, and engaged in brutal

reprisals against civilians for acts of resistance or sabotage.

These inhumane occupation policies were practiced to a greater or lesser extent in all the countries occupied by the Germans, and

the result was the beginning in 1940–41 of armed, underground resistance movements in those countries. Underground resistance

was especially effective in the Soviet Union because it functioned behind fronts on which the German armies were still engaged

in battle with the Red Army. The Soviet Partisans, as they were called, could thus covertly receive arms, equipment, and direction

from the Soviet forces at the front itself. Soviet Partisans, like the members of other nations’ Resistance movements, harassed and

disrupted German military and economic activities by blowing up ammunition dumps and communications and transport

facilities, sabotaging factories, ambushing small German units, and gathering military intelligence for use by the Allied armies.

By 1944 the Resistance organizations in the Soviet Union, Poland, Yugoslavia , France, and Greece had grown quite large and were holding down many German divisions that were badly needed at the battlefront. In eastern Europe and Yugoslavia, the

Resistance came to control large tracts of land in more inaccessible areas such as forests, mountain ranges, and swamplands.

Some Resistance organizations, such as the Partisans in Yugoslavia and the National Liberation Movement in Greece, were

Communist ones, while others, such as the Maquis in France and the Home Army in Poland, comprised people of many different

political persuasions, though they were invariably anti-Fascists.

The German occupation authorities’ attempts to eradicate the Resistance in most cases merely fanned the flames, due to the

Germans’ use of indiscriminate reprisals against civilians. It is generally agreed that by 1944 the Germans had earned the

overwhelming antipathy of most of the people in the occupied nations of Europe. It should be noted, however, that the German occupation was in general far harsher in eastern Europe and the Balkans than in western Europe. In the Soviet Union, Poland,

Yugoslavia, and Greece, a process of Resistance guerrilla warfare and Nazi reprisals began in 1941 and rose to a crescendo in

1943–44 as the fury of Nazi racism resulted in a war of annihilation upon the Slavic peoples.

CASABLANCA AND TRIDENT, JANUARY–MAY 1943

To decide what should be done after victory in North Africa, Roosevelt and

Allied leaders (from left) French General Henri Giraud, U.S. President Franklin D.

Roosevelt, …

U.S. Army Photo

Churchill , with their advisers, met at Casablanca in mid-January 1943. After long

argument, it was eventually agreed that Sicily should be the next Axis area to be taken, in July. For the war against Japan, it was decided that two offensive operations

should be undertaken: MacArthur should move toward the Japanese base at Rabaul,

on the island of New Britain; and convergent movements on Burma should be made

by the British from the mainland of India and by the Americans from the sea. Politically, the Casablanca Conference owes its importance to the fact that, at its end,

Roosevelt publicly announced a demand for the unconditional surrender of Germany,

Italy, and Japan.

Only four months after Casablanca it became necessary to hold another Anglo-U.S. conference. In mid-May 1943, Roosevelt,

Churchill, and their advisers met, in Washington, D.C. , for the conference code-named Trident . There the Sicilian project was effectively confirmed, and the date May 1, 1944, was prescribed—definitively in the U.S view, provisionally in the British—for

the landing of 29 divisions in France; but the question whether the conquest of Sicily should be followed, as the British proposed,

by an invasion of Italy was left unsettled.

THE EASTERN FRONT, FEBRUARY–SEPTEMBER 1943

The German counteroffensive of February 1943 threw back the Soviet forces that had been advancing toward the Dnepr River on

the Izyum sector of the front, and by mid-March the Germans had retaken Kharkov and Belgorod and reestablished a front on the

Donets River . Hitler also authorized the German forces to fall back, in March, from their advanced positions facing Moscow to a

straighter line in front of Smolensk and Orël. Finally, there was the existence of the large Soviet bulge, or salient, around Kursk, between Orël and Belgorod, which extended for about 150 miles from north to south and protruded 100 miles into the German

lines. This salient irresistibly tempted Hitler and Zeitzler into undertaking a new and extremely ambitious offensive instead of

remaining content to hold their newly shortened front.

Hitler concentrated all efforts on this offensive without regard to the risk that an unsuccessful attack would leave him without

reserves to maintain any subsequent defense of his long front. The Germans’ increasing difficulty in building up their forces with

fresh drafts of men and equipment was reflected in the increased delay that year in opening the summer offensive. Three months’

pause followed the close of the winter campaign.

By contrast, the Red Army had improved much since 1942, both in quality and in quantity. The flow of new equipment had

greatly increased, as had the number of new divisions, and its numerical superiority over the Germans was now about 4 to 1.

Better still, its leadership had improved with experience: generals and junior commanders alike had become more skilled

tacticians. That could already be discerned in the summer of 1943, when the Soviets waited to let the Germans lead off and

commit themselves deeply to an offensive, and so stood well-poised to exploit the Germans’ loss of balance in lunging.

The German offensive against the Kursk salient was launched on July 5, 1943, and into it Hitler threw 20 infantry divisions and 17 armoured divisions having a total of about 3,000 tanks. But the German tank columns got entangled in the deep minefields that

the Soviets had laid, forewarned by the long preparation of the offensive. The Germans advanced only 10–30 miles, and no large

bag of Soviet prisoners was taken, since the Red Army had withdrawn their main forces from the salient before the German attack

began. After a week of effort the German armoured divisions were seriously reduced by the well-prepared Soviet antitank

defenses in the salient. On July 12, as the Germans began to pull out, the Soviets launched a counteroffensive upon the German

positions in the salient and met with great success, taking Orël on August 5. By this time the Germans had lost 2,900 tanks and

70,000 men in the Battle of Kursk, which was the largest tank battle in history. The Soviets continued to advance steadily, taking Belgorod and then Kharkov. In September the Soviet advance was accelerated, and by the end of the month the Germans in the

Ukraine had been driven back to the Dnepr.

THE SOUTHWEST AND SOUTH PACIFIC, JUNE–OCTOBER 1943

A Pacific military conference held in Washington, D.C., in March 1943 produced a new schedule of operations calling for the

development of some counterattacks against the Japanese. The reduction of the threat from the large Japanese naval base at

Rabaul, by encirclement if not by the capture of that stronghold, was a primary objective for MacArthur.

Between June 22 and June 30, 1943, two U.S. regiments invaded Woodlark and Kiriwina islands (northeast of the tip of Papua),

whence aircraft could range over not only the Coral Sea but also the approaches to Rabaul and to the Solomons . At the same

time, U.S. and Australian units advanced from Buna along the coast of New Guinea toward Lae and Salamaua, while other

Australian forces simultaneously advanced from Wau in the hinterland ; and in the night of June 29–30, U.S. forces secured Nassau Bay as a base for further advances against the same positions.

U.S. landings on New Georgia and on Rendova in the Solomons, however, also made in the night of June 29–30, provoked the

Japanese into strong counteraction: between July 5 and July 16, in the battles of Kula Gulf and of Kolombangara , the Allies lost one cruiser and two destroyers and had three more cruisers crippled; and the Japanese, though they lost a cruiser and two

destroyers, were able to land considerable reinforcements (from New Britain ). Only substantial counter-reinforcement secured the New Georgia group of islands for the Allies, who, moreover, began on August 15 to extend their operation to the island of Vella

Lavella also. In the last two months of the struggle, which ended with the Japanese evacuation of Vella Lavella on October 7, the

Japanese sank an Allied destroyer and crippled two more but lost a further six of their own; and their attempt to defend the

Solomon Islands cost them 10,000 lives, as against the Americans’ 1,150 killed and 4,100 wounded.

Meanwhile, U.S. planes on August 17–18 had attacked Japanese bases at Wewak (on the New Guinea coast far to the west of

Lae) and destroyed more than 200 aircraft there. On September 4 an Australian division landed near Lae, and the next day U.S.

paratroops dropped at Nadzab, above Lae on the Markham River , where they were soon joined by an Australian airborne division.

Salamaua fell to the Allies on September 12, Lae on September 16, and Finschhafen , on the Huon Peninsula behind Lae, on October 2. On Sept. 30, 1943, the Japanese made a new policy decision: a last defense line was to be established from western

New Guinea and the Carolines to the Marianas by spring 1944, to be held at all costs, and also to be used as a base for

counterattacks.

THE ALLIED LANDINGS IN EUROPE AND THE DEFEAT OF THE AXIS POWERS

DEVELOPMENTS FROM AUTUMN 1943 TO SUMMER 1944

SICILY AND THE FALL OF MUSSOLINI, JULY–AUGUST 1943

Hitler’s greatest strategic disadvantage in opposing the Allies’ imminent reentry into Europe lay in the immense stretch of

Germany ’s conquests, from the west coast of France to the east coast of Greece . It was difficult for him to gauge where the Allies would strike next. The Allies’ greatest strategic advantage lay in the wide choice of alternative objectives and in the powers

of distraction they enjoyed through their superior sea power. Hitler, while always having to guard against a cross-Channel

invasion from England ’s shores, had cause to fear that the Anglo-American armies in North Africa might land anywhere on his

southern front between Spain and Greece.

Having failed to save its forces in Tunisia , the Axis had only 10 Italian divisions of various sorts and two German panzer units

stationed on the island of Sicily at midsummer 1943. The Allies, meanwhile, were preparing to throw some 478,000 men into the island—150,000 of them in the first three days of the invasion. Under the supreme command of Alexander, Montgomery’s British

8th Army and Patton’s U.S. 7th Army were to be landed on two stretches of beach 40 miles long, 20 miles distant from one

another, the British in the southeast of the island, the Americans in the south. The Allies’ air superiority in the Mediterranean

theatre was so great by this time—more than 4,000 aircraft against some 1,500 German and Italian ones—that the Axis bombers

had been withdrawn from Sicily in June to bases in north-central Italy.

On July 10 Allied seaborne troops landed on Sicily. The coastal defenses, manned largely by Sicilians unwilling to turn their homeland into a battlefield for the Germans’ sake, collapsed rapidly enough. The British forces had cleared the whole

southeastern part of the island in the first three days of the invasion. The Allies’ drive toward Messina then took the form of a

circuitous movement by the British around Mount Etna in combination with an eastward drive by the Americans, who took Palermo, on the western half of the northern coast, on July 22. Meanwhile, the German armoured strength in Sicily had been

reinforced.

After the successive disasters sustained by the Axis in Africa, many of the Italian leaders were desperately anxious to make peace

with the Allies. The invasion of Sicily, representing an immediate threat to the Italian mainland, prompted them to action. On the

night of July 24–25, 1943, when Mussolini revealed to the Fascist Grand Council that the Germans were thinking of evacuating

the southern half of Italy, the majority of the council voted for a resolution against him, and he resigned his powers. On July 25

the king, Victor Emmanuel III , ordered the arrest of Mussolini and entrusted Marshal Pietro Badoglio with the formation of a new government. The new government entered into secret negotiations with the Allies, despite the presence of sizable German forces

in Italy.

A few days after the fall of Mussolini, Field Marshal Albert Kesselring , the German commander in chief in Italy, decided that the Axis troops in Sicily must be evacuated; the local Italian commander thought so too. While rearguard actions held up the Allies at

Adrano (on the western face of Mount Etna) and at Randazzo (to the north), 40,000 Germans and 60,000 Italian troops were

safely withdrawn across the Strait of Messina to the mainland, mostly in the week ending on August 16, 1943—the day before the Allies’ entry into Messina.

(From left, seated) Canadian Prime Minister W.L. Mackenzie King, U.S. President

Franklin D. …

Encyclopædia Britannica, Inc.

The Allies sustained about 22,800 casualties in their conquest of Sicily. The Axis powers suffered about 165,000 casualties, of

whom 30,000 were Germans.

THE QUADRANT CONFERENCE (QUEBEC I)

The success of the Sicilian operation and the fall of Mussolini converted the

American military and political leadership into supporters of a campaign in Italy.

Furthermore, Lieutenant General Sir Frederick Morgan, who after Casablanca had been designated chief of staff to the Supreme Allied Commander (COSSAC),

produced a detailed and realistic plan for the long-envisaged invasion of France from

Great Britain, thus enabling the U.S. strategists to calculate more precisely how

much of the Allies’ resources were needed for that purpose and how much could be

spared for operations in the Mediterranean and for the Pacific. With regard to the

Pacific, plans sponsored by Admiral Nimitz for operations against the Gilbert and

Marshall islands apart from the enterprise against Rabaul were approved early in

August 1943.

The new turn of strategical thought necessitated a new Anglo-U.S. conference, which took place in Quebec in mid-August 1943 and was code-named “Quadrant.” After vigorous debate, the question of the timing of “Overlord” was eventually left open, but it

was agreed that the strength of the assault force should exceed the original estimate by 25 percent, that the cross-Channel landing

should be supported by a landing in southern France , and that a U.S. officer should be in command of “Overlord.” It was also decided that a new Southeast Asia theatre of war should be organized, under British command.

THE ALLIES’ INVASION OF ITALY AND THE ITALIAN VOLTE-FACE, 1943

From Sicily, the Allies had a wide choice of directions for their next offensive. Calabria , the “toe” of Italy, was the nearest and most obvious possible destination, and the “shin” was also vulnerable; and the “heel” was also very attractive. The two army

corps of Montgomery’s 8th Army crossed the Strait of Messina and landed on the “toe” of Italy on September 3, 1943; but,

though the initial resistance was practically negligible, they made only very slow progress, as the terrain, with only two good

roads running up the coasts of the great Calabrian “toe” prevented the deployment of large forces. On the day of the landing,

however, the Italian government at last agreed to the Allies’ secret terms for a capitulation. It was understood that Italy would be

treated with leniency in direct proportion to the part that it would take, as soon as possible, in the war against Germany. The

capitulation was announced on September 8.

The landing on the “shin” of Italy, at Salerno , just south of Naples , was begun on September 9, by the mixed U.S.–British 5th

Army, under U.S. General Mark Clark . Transported by 700 ships, 55,000 men made the initial assault, and 115,000 more followed up. At first they were faced only by the German 16th Panzer Division; but Kesselring, though he had only eight weak

divisions to defend all southern and central Italy, had had time to plan since the fall of Mussolini and had been expecting a blow

at the “shin.” His counterstroke made the success of the Salerno landing precarious for six days, and it was not until October 1

that the 5th Army entered Naples.

The ruins of Ortona, Italy, after liberation from the German army by Canadian forces,

December 1943.

Encyclopædia Britannica, Inc.

By contrast, the much smaller landing on the “heel” of Italy, which had been made on September 2 (the day preceding the

invasion of the “toe”), took the Germans by surprise. Notwithstanding the paucity of its strength in men and in equipment, the

expedition captured two good ports, Taranto and Brindisi, in a very short time; but it lacked the resources to advance promptly.

Nearly a fortnight passed before another small force was landed at Bari, the next considerable port north of Brindisi, to push

thence unopposed into Foggia .

It was the threat to their rear from the “heel” of Italy and from Foggia that had

induced the Germans to fall back from their positions defending Naples against the

5th Army. When the Italian government, in pursuance of a Badoglio–Eisenhower

agreement of September 29, declared war against Germany on October 13, 1943,

Kesselring was already receiving reinforcements and consolidating the German hold

on central and northern Italy. The 5th Army was checked temporarily on the

Volturno River , only 20 miles north of Naples, then more lastingly on the Garigliano River, while the 8th Army, having made its way from Calabria up the Adriatic coast,

was likewise held on the Sangro River. Autumn and midwinter passed without the

Allies’ making any notable impression on the Germans’ Gustav Line , which ran for 100 miles from the mouth of the Garigliano through Cassino and over the Apennines

to the mouth of the Sangro.

THE WESTERN ALLIES AND STALIN: CAIRO AND TEHRĀN, 1943

Relations between the western Allies and the U.S.S.R. were still delicate. Besides their inability to satisfy Soviet demands for

convoys of supplies and for an early invasion of France, the Americans and the British were embarrassed by the discrepancy

between their political war aims and Stalin’s.

The longest-standing difference was about Poland. While Poles were still fighting on the Allies’ side and acknowledging the

authority of General Władysław Sikorski’s London-based Polish government in exile, Stalin was trying to get the Allies to consent to the U.S.S.R.’s retention, after the war, of all the territory taken from Poland by virtue of the German–Soviet pacts of

1939. On January 16, 1943, the Soviet government announced that Poles from the border territories in dispute were being treated

as Soviet citizens and drafted into the Red Army. On April 25, the Soviet government severed relations with the London Poles,

and Moscow subsequently began to build up its own puppet government for postwar Poland.

Besides the quarrel over Poland, the western Allies and the U.S.S.R. were also at variance with regard to the postwar fate of other

European states still under German domination; but the Americans and the British were really more interested in maintaining the

Soviet war effort against Germany than in insisting, at the risk of offense to Stalin, on the detailed application of their own loudly

but vaguely enunciated war aims.

Sextant , the conference of November 22–27, 1943, for which Churchill, Roosevelt, and Chiang Kai-shek met in Cairo , was, on Roosevelt’s insistence, devoted mainly to discussing plans for a British–U.S.–Chinese operation in northern Burma. Little was

(Left to right) Soviet leader Joseph Stalin, U.S. President Franklin D. Roosevelt, and

British …

Encyclopædia Britannica, Inc.

produced by Sextant except the Cairo Declaration , published on December 1, a further statement of war aims. It prescribed inter

alia that Japan was to surrender all Pacific islands acquired since 1914, to retrocede Manchuria , Formosa , and the Pescadores

to China , and to give up all other territory “taken by violence and greed”; and, in addition, it was stipulated that Korea was in due course to become independent.

From Cairo, Roosevelt and Churchill went to Tehrān, to meet Stalin at the Eureka conference of November 28–December 1. Stalin renewed the Soviet promise of

military intervention against Japan, but he primarily wanted an assurance that

“Overlord ” (the invasion of France) would indeed take place in 1944. Reassured

about this by Roosevelt, he declared that the Red Army would attack simultaneously on the Eastern Front. On the political plane, Stalin now demanded the Baltic coast of

East Prussia for the U.S.S.R. as well as the territories annexed in 1939–40. The main communique of the conference was accompanied by a joint declaration guaranteeing

the postwar restoration of Iran. Returning to Cairo, Roosevelt and Churchill spent six

more days, December 2–7, in staff talks to compose their differences on strategy.

They finally agreed that “Overlord” (with Eisenhower in command) should have first

claim on resources.

GERMAN STRATEGY, FROM 1943

From late 1942 German strategy, every feature of which was determined by Hitler, was solely aimed at protecting the still very

large area under German control—most of Europe and part of North Africa—against a future Soviet onslaught on the Eastern

Front and against future Anglo-U.S. offensives on the southern and western fronts. The Germans’ vague hopes that the Allies

would shrink from such costly tasks or that the “unnatural” coalition of Western capitalism and Soviet Communism would break

up before achieving victory were disappointed, so Hitler, in accordance with his dictum that “Germany shall either be a world

power or not be at all,” consciously resolved to preside over the downfall of the German nation. He gave inflexible orders

whereby whole armies were made to stand their ground in tactically hopeless positions and were forbidden to surrender under any

circumstances. The initial success of this strategy in preventing a German rout during the Soviet winter counteroffensive of 1941–

42 had blinded Hitler to its impracticability in the very different military circumstances on the Eastern Front by 1943, by which

time the Germans simply lacked sufficient numbers of troops to defend an extremely long front against much more numerous

Soviet forces. (By December 1943 the 3,000,000 German troops there were opposed by about 5,500,000 Soviet troops.)

The strategy of keeping his armies stationary was made easier for Hitler by the complete ascendancy he had achieved over his

generals, who disputed with Hitler only at the risk of losing their commands or worse. Frequent changes were made in the

command of the various army groups and armies, with the result that during 1943–44 most of the talented commanders who had

been associated with Germany’s past successes were removed, and everyone who was suspected of a critical attitude at

headquarters was silenced.

From late 1943 on, Hitler’s strategy, which from a political standpoint remains inexplicable to most Western historians, was to

strengthen the German forces in western Europe at the expense of those on the Eastern Front. In view of the danger of the great

Anglo-U.S. invasion of western Europe that seemed imminent by early 1944, the loss of some part of his eastern conquests

evidently seemed to Hitler to be less serious. Hitler continued to insist on the primacy of the war in the west after the start of the

Allied invasion of northern France in June 1944, and while his armies made strenuous efforts to contain the Allied bridgehead in

Normandy for the next two months, Hitler accepted the annihilation of the German Army Group Centre on the Eastern Front by

the Soviet summer offensive (from June 1944), which brought the Red Army in a few weeks’ time to the Vistula River and the borders of East Prussia. But the Western Front likewise crumbled in a few weeks, whereupon the Allies advanced to Germany’s

western borders. Then, still adhering to his guiding principle, Hitler assembled on the Western Front all that was left of his forces

there and tried to drive the British and Americans back in what became known as the Battle of the Bulge. This campaign had some successes but meant that Germany’s last battleworthy units were used on the Western Front while the Red Army, heavily

outnumbering the remaining German troops in the east, resumed its drive on the eastern frontiers of Germany and reached the

Oder River by the end of January 1945.

THE EASTERN FRONT, OCTOBER 1943–APRIL 1944

By the end of the first week of October 1943, the Red Army had established several bridgeheads on the right bank of the Dnieper

River. Then, while General N.F. Vatutin’s drive against Kiev was engaging the Germans’ attention, General Ivan Stepanovich

Konev suddenly pushed so far forward from the Kremenchug bridgehead (more than halfway downstream between Kiev and

Dnepropetrovsk) that the German forces within the great bend of the Dnieper to the south would have been isolated if Manstein had not stemmed the Soviet advance just in time to extricate them. By early November the Red Army had reached the mouth of

the Dnieper also, and the Germans in Crimea were isolated. Kiev, too, fell to Vatutin on November 6, and Zhitomir, 80 miles to the west, and Korosten, north of Zhitomir, fell in the next 12 days. Farther north, however, the Germans, who had already fallen

back from Smolensk to a line covering the upper Dnieper, repelled with little difficulty five rather predictable Soviet thrusts

toward Minsk in the last quarter of 1943.

Vatutin’s forces from the Zhitomir–Korosten sector advanced westward across the prewar Polish frontier on January 4, 1944, and,

though another German flank attack, by troops drawn from adjacent fronts, slowed them down, they had reached Lutsk, 100 miles

farther west, a month later. Vatutin’s left wing, meanwhile, wheeled southward to converge with Konev’s right, so that 10

German divisions were encircled near Korsun, on the Dnieper line south of Kiev. Vainly trying to save those 10 divisions, the

Germans had to abandon Nikopol, in the Dnieper bend far to the south, with its valuable manganese mines.

March 1944 saw a triple thrust by the Red Army: Zhukov , succeeding to Vatutin’s command, drove southwest toward Tarnopol,

to outflank the Germans on the upper stretches of the southern Bug River. General Rodion Yakovlevich Malinovsky , in the south, advanced across the mouth of the latter river from that of the Dnieper; and between them Konev, striking over the central stretch

of the Bug, reached the Dniester, 70 miles ahead, and succeeded in crossing it. When Zhukov had crossed the upper Prut River

and Konev was threatening Iaşi on the Moldavian stretch of the river, the Carpathian Mountains were the only natural barrier

remaining between the Red Army and the Hungarian Plain. German troops occupied Hungary on March 20, since Hitler

suspected that the Hungarian regent, Admiral Miklós Horthy , might not resist the Red Army to the utmost.

A German counterstroke from the Lwów area of southern Poland against Zhukov’s extended flank early in April not only put an

end to the latter’s overhasty pressure on the Tatar (Yablonitsky) Pass through the Carpathians but also made possible the

withdrawal of some of the German forces endangered by the Red Army’s March operation. Konev, too, was halted in front of

Iaşi; but his left swung southward down the Dniester to converge with Malinovsky’s drive on Odessa. That great port fell to the

Red Army on April 10. On May 9 the Germans in Crimea abandoned Sevastopol, caught as they were between Soviet pincers

from the mainland north of the isthmus and from the east across the Strait of Kerch.

At the northern end of the Eastern Front, a Soviet offensive in January 1944 had been followed by an orderly German retreat from

the fringes of the long-besieged Leningrad area to a shorter line exploiting the great lakes farther to the south. The retreat was

beneficial to the Germans but sacrificed their land link with the Finns , who now found themselves no better off than they had been in 1939–40. Finland in February 1944 sought an armistice from the U.S.S.R., but the latter’s terms proved unacceptable.

THE WAR IN THE PACIFIC, OCTOBER 1943–AUGUST 1944

Considering that it might be necessary for them to invade Japan proper, the Allies drew up new plans in mid-1943. The main

offensive, it was decided, should be from the south and from the southeast, through the Philippines and through Micronesia (rather than from the Aleutians in the North Pacific or from the Asian mainland). While occupation of the Philippines would

disrupt Japanese communications with the East Indian isles west of New Guinea and with Malaya, the conquest of Micronesia, from the Gilberts by way of the Marshalls and Carolines to the Marianas, would not only offer the possibility of drawing the

Japanese into a naval showdown but also win bases for heavy air raids on the Japanese mainland prior to invasion.

For the approach to the Philippines, it was prerequisite, on the one hand, to complete the encirclement of Rabaul , thereby

nullifying the threat from the Japanese positions in the Solomon Islands and in the Bismarck Archipelago (New Britain , New

Ireland, etc.) and, on the other, to reduce the Japanese hold on western New Guinea. Great emphasis, however, was put on the advance across the central Pacific through Micronesia, to be begun via the Gilberts.

THE ENCIRCLEMENT OF RABAUL

Allied moves to isolate the large Japanese garrison on Rabaul proceeded by land and air. The encirclement of Rabaul by land

began during October and November 1943 with the capture by New Zealand troops of the Treasury Islands in the Solomons and

was accompanied on November 1 by a U.S. landing at Empress Augusta Bay on the west of Bougainville . U.S. reinforcements subsequently repulsed Japanese counterattacks in December, when they sank two destroyers, and in March 1944, when they killed

almost 6,000 men. What remained of the Japanese garrison on Bougainville was no longer capable of fighting, though it did not

surrender until the end of the war.

Continuing the approach to Rabaul, U.S. troops landed on December 15 at Arawe on

the southwestern coast of New Britain, thereby distracting Japanese attention from

Cape Gloucester, on the northwestern coast, where a major landing was made on

December 26. By January 16, 1944, the airstrip at Cape Gloucester had been

captured and defense lines set up. Talasea, halfway to Rabaul, fell in March 1944.

The conquest of western New Britain secured Allied control of the Vitiaz and

Dampier straits between that island and New Guinea.

U.S. Marines shelling Japanese positions on Cape Gloucester, New Britain Island, New

Guinea, during …

U.S. Department of Defense

U.S. troops advancing on Tarawa, Gilbert Islands, in 1943, during World War II.

U.S. Marines moving supplies and weapons during the battle for Cape Gloucester, New

Britain Island, …

U.S. Department of Defense

By constructing air bases on each island that they captured, the Allies systematically

blocked any westward movement that the Japanese might have made: New Zealand troops took the Green Islands southeast of New Guinea on February 15; and U.S.

forces invaded Los Negros in the Admiralty Islands on February 29 and captured

Manus on March 9.

With the fall of the Emirau Islands on March 20, the Allies’ stranglehold on Rabaul

and Kavieng was practically complete, so that they could thenceforth disregard the

100,000 Japanese immobilized there.

WESTERN NEW GUINEA

Before they could push northward to the Philippines, the Allies had to subdue

Japanese-held western New Guinea. U.S. troops took Saidor, on the Huon Peninsula,

on January 2, 1944, and established an air base there; and the Australians took Sio, to

the east of Saidor, on January 16. Then reinforcements were landed at Mindiri, west

of Saidor, on March 5, and Australian infantry began to move westward up the coast, to take Bogadjim, Madang, and

Alexishafen.

Bypassing Hansa Bay (which was eventually captured on June 15) and Wewak , whither the Japanese had retreated, the Allies, on

April 22, 1944, made two simultaneous landings at Hollandia : having in the past weeks already destroyed 300 Japanese planes, they captured the airfields there in four days’ time. In the following months Hollandia was converted into a major base and

command post for the Southwest Pacific area. The Allies also took Aitape, on the coast east of Hollandia, and held it against

counterattacks by more than 200,000 Wewak-based Japanese during July and August. Biak, the isle guarding the entrance to Geelvink Bay, west of Hollandia, was invaded by U.S. troops on May 27, 1944; but the Japanese defense of it was maintained

until early August. Though westernmost New Guinea fell likewise to the Allies in August 1944, the Japanese garrison at Wewak

held out until May 10, 1945.

THE CENTRAL PACIFIC

Though the U.S. Joint Chiefs of Staff envisaged no major offensive westward across the Pacific toward Formosa until mid-1944, they nevertheless decided to

launch a limited offensive in the central Pacific in 1943, hoping thereby both to

speed the pace of the war and to draw the Japanese away from other areas.

Accordingly, Nimitz’ central Pacific forces invaded the Gilberts on November 23,

1943. Makin fell easily, but well-fortified Japanese defenses on Tarawa cost the U.S. Marines 1,000 killed and 2,300 wounded. Japanese losses in the Gilberts totaled

about 8,500 men.

U.S. Dept. of Defense

Aftermath of the bloody invasion of Tarawa by U.S. Marines, November 1943.

U.S. Department of Defense

U.S. Marines on the beach of Namur Islet, Kwajalein Atoll, the first of the Marshall

Islands to be …

Encyclopædia Britannica, Inc.

U.S. Marines taking a Japanese prisoner in the Marshall Islands.

U.S. Department of Defense

U.S. Marines coming ashore under Japanese fire on Saipan, Mariana Islands,

Having been forced to cede the Gilberts, the Japanese elected next to defend the

Marshalls , in order both to absorb Allied forces and to strain the latters’ extended

lines of supply. Nimitz subjected Kwajalein Atoll , which he chose first to attack, to so heavy a preliminary bombardment that the U.S. infantry could land on it on

January 31, 1944; and U.S. forces moved on to Enewetak on February 17.

In support of the landings on the Marshalls, the U.S. fleet on February 17, 1944,

started a series of day and night attacks against the Japanese base at Truk in the

Caroline Islands , where they destroyed some 300 aircraft and 200,000 tons of merchant shipping. Henceforth, the Allies could confidently ignore Truk and bypass

it.

The Allies’ next objective, for which they required more than 500 ships and 125,000

troops, was to reduce the Mariana Islands , lying 1,000 miles from Enewetak and 3,500 miles from Pearl Harbor. Against this threat, after the destruction at Truk, the

Japanese hastily drew up a new defense plan, “Operation A,” relying on their

remaining 1,055 land-based aircraft in the Marianas, in the Carolines, and in western

New Guinea and on timely and decisive intervention by a sea force, which should

include nine aircraft carriers with 450 aircraft. But in the spring of 1944 the Japanese

air strength was still further depleted, and, moreover, on March 31 the sponsor of the

plan, Admiral Koga Mineichi (Yamamoto’s successor), and his staff were killed in

an air disaster. When, on June 15, two U.S. Marine divisions went ashore on Saipan Island in the Marianas, the 30,000 Japanese defenders put up so fierce a resistance

that an army division was needed to reinforce the Marines. Using the same defensive

tactics as on other small islands, the Japanese had fortified themselves in

underground caves and bunkers that afforded protection from American artillery and

naval bombardment. Notwithstanding this, the Japanese defenders were gradually

compressed into smaller and smaller pockets, and they themselves ended most

organized resistance with a suicidal counterattack on July 7, the largest of its kind

during the war.

The loss of Saipan was such a disaster for Japan that when the news was announced

in Tokyo the prime minister, Tōjō Hideki, and his entire Cabinet resigned. To realists in the Japanese high command, the loss of the Marianas spelled the ultimate loss of

the war, but no one dared say so. Tōjō’s Cabinet was succeeded by that of General

Koiso Kuniaki , which was pledged to carrying on the fight with renewed vigour.

Air power enthusiasts have called the conquest of Saipan “the turning point of the

war in the Pacific,” for it enabled the United States to establish air bases there for the

big B-29 bombers, which had been developed for the specific purpose of bombing Japan. The first flight of 100 B-29s took off from Saipan on November 24, 1944, and

1944.

U.S. Department of Defense

U.S. Marines advancing against Japanese positions on Saipan, Mariana Islands, 1944.

U.S. Department of Defense

bombed Tokyo, the first bombing raid on the Japanese capital since 1942.

While the Japanese were still resisting on Saipan, the Japanese Combined Fleet,

under Admiral Ozawa Jisaburō, was approaching from Philippine and East Indian anchorages, in accordance with “Operation A,” to challenge the U.S. 5th Fleet, under

Admiral Raymond Spruance . Ozawa, with only nine aircraft carriers against 15 for the United States, was obviously inferior in naval power, but he counted heavily on

help from land-based aircraft on Guam, Rota, and Yap. The encounter, which took

place west of the Marianas and is known as the Battle of the Philippine Sea , has been called the greatest carrier battle of the war. It began on June 19 when Ozawa sent

430 planes in four waves against Spruance’s ships. The result was a disaster for the

Japanese. U.S. airmen shot down more than 300 planes and sank two carriers, and as

the Japanese fleet retreated northward toward Okinawa it lost another carrier and

almost 100 more planes. The United States lost about 130 planes. The hasty and

incomplete training of the Japanese pilots and the inadequate armour plating of their

planes were decisive factors in the numerous aerial combats of this battle, which was ultimately of more strategic importance than

the fall of Saipan. Nimitz’ forces could thereafter occupy other major islands in the Marianas: Guam on July 21 and Tinian on

July 24. The Marianas cost the Japanese 46,000 killed or captured, the Americans only 4,750 killed.

THE BURMESE FRONTIER AND CHINA, NOVEMBER 1943–SUMMER 1944

For the dry season of 1943–44 both the Japanese and the Allies were resolved on offensives in Southeast Asia. On the Japanese

side, Lieutenant General Kawabe Masakazu planned a major Japanese advance across the Chindwin River, on the central front, in

order to occupy the plain of Imphāl and to establish a firm defensive line in eastern Assam. The Allies, for their part, planned a

number of thrusts into Burma: Stilwell’s NCAC forces, including his three Chinese divisions and “Merrill’s Marauders” (U.S.

troops trained by Wingate on Chindit lines), were to advance against Mogaung and Myitkyina; while Slim’s 14th Army was to launch its XV Corps southeastward into Arakan and its IV Corps eastward to the Chindwin. Because the Japanese had habitually

got the better of advanced British forces by outflanking them, Slim formulated a new tactic to ensure that his units would stand

against attack in the forthcoming campaign, even if they should be isolated: they were to know that, when ordered to stand, they

could certainly count both on supplies from the air and on his use of reserve troops to turn the situation against the Japanese

attackers.

On the southern wing of the Burmese front, the XV Corps’s Arakan operation, launched in November 1943, had achieved most of

its objectives by the end of January 1944. When the Japanese counterattack surrounded one Indian division and part of another,

Slim’s new tactic was brought into play, and the Japanese found themselves crushed between the encircled Indians and the

relieving forces.

The Japanese crossing of the Chindwin into Assam, on the central Burmese front, when the fighting in Arakan was dying down,

played into Slim’s hands, since he could now profit from the Allies’ superiority in aircraft and in tanks. The Japanese were able to

approach Imphāl and to surround Kohīma, but the British forces protecting these towns were reinforced with several Indian

German and Allied movements in Europe from the end of 1942 to 1945, and (inset) the

Normandy …

From Grosser Historischer Weltatlas, vol. 3,

Neuzeit, 2nd ed. (1967); Bayerischer

Schulbuch-Verlag, Munich

divisions that were taken from the now-secure Arakan front. With air support, Slim’s reinforced forces now defended Imphāl

against multiple Japanese thrusts and outflanking movements until, in mid-May 1944, he was able to launch two of his divisions

into an offensive eastward, while still containing the last bold effort of the Japanese to capture Imphāl. By June 22 the 14th Army

had averted the Japanese menace to Assam and won the initiative for its own advance into Burma. The Battle of Imphāl–Kohīma

cost the British and Indian forces 17,587 casualties (12,600 of them sustained at Imphāl), the Japanese forces 30,500 dead

(including 8,400 from disease) and 30,000 wounded.

On the northern Burmese front, Stilwell’s forces were already approaching Mogaung and Myitkyina before the southern crisis of

Imphāl–Kohīma; and the subsidiary Chindit operation against Indaw was going well ahead when, on March 24, 1944, Wingate

himself was killed in an air crash. Meanwhile, Chiang Kai-shek was constrained by U.S. threats of a suspension of lend-lease to

finally authorize some action by the 12 divisions of his Yunnan Army, which on May 12, 1944, with air support, began to cross

the Salween River westward in the direction of Myitkyina, Bhamo, and Lashio. Myitkyina airfield was taken by Stilwell’s forces,

with “Merrill’s Marauders,” on May 17, Mogaung was taken by the Chindits on June 26, and finally Myitkyina itself was taken

by Stilwell’s Chinese divisions on August 3. All of northwest and much of northern Burma was now in Allied hands.

In China proper, a Japanese attack toward Ch’ang-sha, begun on May 27, won control not only of a further stretch of the north–

south axis of the Peking–Han-K’ou railroad but also of several of the airfields from which the Americans had been bombing the

Japanese in China and were intending to bomb them in Japan.

THE ITALIAN FRONT, 1944

The Allies’ northward advance up the Italian peninsula to Rome was still blocked by

Kesselring ’s Gustav Line , which was hinged on Monte Cassino . To bypass that line,

the Allies landed some 50,000 seaborne troops, with 5,000 vehicles, at Anzio, only 33 miles south of Rome, on January 22, 1944. The landing surprised the Germans

and met, at first, with very little opposition; but, instead of driving on over the Alban

Hills to Rome at once, the force at Anzio spent so much time consolidating its position there that Kesselring was able, with his reserves, to develop a powerful

counteroffensive against it on February 3. The beachhead was thereby reduced to a

very shallow dimension, while the defenses at Monte Cassino held out unimpaired

against a new assault by Clark’s 5th Army.

For a final effort against the Gustav Line, Alexander decided to shift most of the 8th

Army, now commanded by Major General Sir Oliver Leese , from the Adriatic flank of the peninsula to the west, where it was to strengthen the 5th Army’s pressure

around Monte Cassino and on the approaches to the valley of the Liri (headstream of

the Garigliano). The combined attack, which was started in the night of May 11–12,

1944, succeeded in breaching the German defenses at a number of points between Cassino and the coast. Thanks to this victory, the Americans could push forward up the coast, while the British entered the valley and outflanked Monte Cassino, which fell to a

Polish corps of the 8th Army on May 18. Five days later, the Allies’ force at Anzio struck out against the investing Germans

U.S. soldiers, members of a Nisei unit attached to the U.S. Fifth Army, passing

through liberated …

Encyclopædia Britannica, Inc.

Encyclopædia Britannica, Inc.

(whose strength had been diminished in order to reinforce the Gustav Line); and by May 26 it had achieved a breakthrough. When

the 8th Army’s Canadian Corps penetrated the last German defenses in the Liri Valley, the whole Gustav Line began to collapse.

Concentrating all available strength on his left wing, Alexander pressed up from the

south to effect a junction with the troops thrusting northward from Anzio. The

Germans in the Alban Hills could not withstand the massive attack. On June 5, 1944,

the Allies entered Rome. The propaganda value of their occupying the Eternal City, Mussolini’s former capital, was offset, however, by an unforeseen strategical reality:

Kesselring’s forces retreated not in the expected rout but gradually, to the line of the

Arno River; Florence, 160 miles north of Rome, did not fall to the Allies until

August 13; and by that time the Germans had made ready yet another chain of

defenses, the Gothic Line, running from the Tyrrhenian coast midway between Pisa

and La Spezia , over the Apennines in a reversed S curve, to the Adriatic coast between Pesaro and Rimini.

Alexander might have made more headway against Kesselring’s new front if some of

his forces had not been subtracted, in August 1944, for the American-sponsored but eventually unnecessary invasion of southern

France (“Operation Anvil,” finally renamed “Dragoon” [see below]). As it was, the 8th Army, switched back from the west to the

Adriatic coast, achieved only an indecisive breakthrough toward Rimini. After this September offensive, the autumn rains set in,

to make even more difficult Alexander’s indirect movements, against Kesselring’s resolute opposition, toward the mouth of the

Po River .

DEVELOPMENTS FROM SUMMER 1944 TO AUTUMN 1945

THE ALLIED INVASIONS OF WESTERN EUROPE, JUNE–NOVEMBER 1944

The German Army high command had long been expecting an Allied invasion of

northern France but had no means of knowing where precisely the stroke would

come: while Rundstedt, commander in chief in the west, thought that the landings

would be made between Calais and Dieppe (at the narrowest width of the Channel

between England and France), Hitler prophetically indicated the central and more

westerly stretches of the coast of Normandy as the site of the attack; and Rommel,

who was in charge of the forces on France’s Channel coast, finally came around to

Hitler’s opinion. The fortifications of those stretches were consequently improved,

but Rundstedt and Rommel still took different views about the way in which the

invasion should be met: while Rundstedt recommended a massive counterattack on

the invaders after their landing, Rommel, fearing that Allied air supremacy might

interfere fatally with the adequate massing of the German forces for such a

counterattack, advocated instead immediate action on the beaches against any

attempted landing. The Germans had 59 divisions spread over western Europe from

Erwin Rommel inspecting western German defenses, early 1944.

Library of Congress, Washington, D.C.

Sherman tanks coming ashore at Juno Beach in Normandy, France, on D-Day,

June 6, 1944.

Encyclopædia Britannica, Inc.

the Low Countries to the Atlantic and Mediterranean coasts of France; but

approximately half of this number was static, and the remainder included only 10

armoured or motorized divisions.

Postponed from May, the western Allies’ “Operation Overlord,” their long-debated

invasion of northern France, took place on June 6, 1944—the war’s most celebrated D-Day—when 156,000 men were landed on

the beaches of Normandy between the Orne estuary and the southeastern end of the Cotentin Peninsula: 83,000 British and

Canadian troops on the eastern beaches, 73,000 Americans on the western. Under Eisenhower’s supreme direction and

Montgomery’s immediate command, the invading forces initially comprised the Canadian 1st Army (Lieutenant General Henry

Duncan Graham Crerar); the British 2nd Army (Lieutenant General Sir Miles Dempsey); and the British 1st and 6th airborne

divisions, the U.S. 1st Army, and the U.S. 82nd and 101st airborne divisions (all under Lieutenant General Omar N. Bradley).

By 9:00 AM on D-Day the coastal defenses were generally breached, but Caen, which

had been scheduled to fall on D-Day and was the hinge of an Allied advance, held

out until July 9, the one panzer division already available there on June 6 having

been joined the next day by a second. Though the heavy fighting at Caen attracted

most of the German reserves, the U.S. forces in the westernmost sector of the front

likewise met a very stubborn resistance. But when they had taken the port of

Cherbourg on June 26 and proceeded to clear the rest of the Cotentin, they could turn

southward to take Saint-Lô on July 18.

The Allies could not have made such rapid progress in northern France if their air

forces had not been able to interfere decisively with the movement of the German

reserves. Allied aircraft destroyed most of the bridges over the Seine River to the east and over the Loire to the south. The German reserves thus had to make long

detours in order to reach the Normandy battle zone and were so constantly harassed on the march by Allied strafing that they

suffered endless delays and only arrived in driblets. And even where reserves could have been brought up, their movement was

sometimes inhibited by hesitation and dissension on the Germans’ own side. Hitler, though he had rightly predicted the zone of the Allies’ landings, came to mistakenly believe, after D-Day, that a second and larger invasion was to be attempted east of the

Seine and so was reluctant to allow reserves to be moved westward over that river. He also forbade the German forces already

engaged in Normandy to retreat in time to make an orderly withdrawal to new defenses.

Rundstedt, meanwhile, was slow in obtaining Hitler’s authority for the movement of the general reserve’s SS panzer corps from

its position north of Paris to the front; and Rommel, though he made prompt use of the forces at hand, had been absent from his headquarters on D-Day itself, when a forecast of rough weather had seemed to make a cross-Channel invasion unlikely.

The Führer, Adolf Hitler, nursing a sore arm after an attempt on his life on July 20, 1944.

© Bettmann/Corbis

U.S. infantrymen getting a lift from Sherman tanks during the breakout from Normandy,

August 1944.

AP

Subsequently, Rundstedt ’s urgent plea for permission to retreat provoked Hitler, on July 3, to appoint Günther von Kluge as commander in chief in the west in Rundstedt’s place; and Rommel was badly hurt on July 17, when his car crashed under attack

from Allied planes.

There was something else, besides the progress of the Allies, to demoralize the

German commanders—the failure and the aftermath of a conspiracy against Hitler . Alarmed at the calamitous course of events and disgusted by the crimes of the Nazi

regime, certain conservative but anti-Nazi civilian dignitaries and military officers

had formed themselves into a secret opposition, with Karl Friedrich Goerdeler (a

former chief mayor of Leipzig) and Colonel General Ludwig Beck (a former chief of the army general staff) among its leaders. From 1943 this opposition canvased the

indispensable support of the active military authorities with some notable success:

General Friedrich Olbricht (chief of the General Army Office) and several of the serving commanders, including Rommel and Kluge, became implicated to various

extents. Apart from General Henning von Tresckow , however, the group’s most

dynamic member was Colonel Graf Claus von Stauffenberg , who as chief of staff to the chief of the army reserve from July 1, 1944, had access to Hitler. Finally, it was decided to kill Hitler and to use the army

reserve for a coup d’état in Berlin, where a new regime under Beck and Goerdeler should be set up. On July 20, therefore,

Stauffenberg left a bomb concealed in a briefcase in the room where Hitler was conferring at his headquarters in East Prussia. The

bomb duly exploded; but Hitler survived, and the coup in Berlin miscarried. The Nazi reaction was savage: besides 200

immediately implicated conspirators, 5,000 people who were more remotely linked with the plot or were altogether unconnected

with it were put to death. Kluge committed suicide on August 17, Rommel on October 14. Fear permeated and paralyzed the

German high command in the weeks that followed.

On July 31, 1944, the Americans on the Allies’ right, newly supported by the landing

of the U.S. 3rd Army under Patton, broke through the German defenses at

Avranches, the gateway from Normandy into Brittany. On August 7 a desperate

counterattack by four panzer divisions from Mortain, east of Avranches, failed to

seal the breach, and American tanks poured southward through the gap and flooded

the open country beyond. Though some of the U.S. forces were then swung

southwestward in the hope of seizing the Breton ports in pursuance of the original

prescription of “Overlord” and though some went on in more southerly directions

toward the crossings of the Loire, others were wheeled eastward—to trap, in the

Falaise “pocket,” a large part of the German forces retreating southward from the

pressure of the Allies’ left at Caen. The Americans’ wide eastward flanking

maneuver after the breakout speedily produced a general collapse of the German

position in northern France.

Meanwhile, more and more Allied troops were being landed in Normandy. On August 1, two army groups were constituted: the

21st (comprising the British and Canadian armies) under Montgomery; and the 12th (for the Americans) under Bradley. By the

middle of August an eastward wheel wider than that which had cut off the Falaise pocket had brought the Americans to Argentan,

U.S. paratroopers landing in southern France, 1944.

U.S. Air Force photograph

A U.S. light tank passing through Strasbourg, France, after the city’s liberation

in November 1944.

Encyclopædia Britannica, Inc.

southeast of Falaise and level with the British and Canadian advance on the left (north) of the Allies’ front, so that a concerted

drive eastward could now be launched; and on August 19 a U.S. division successfully crossed the Seine at Mantes-Gassicourt.

Already on August 17 the Americans on the Loire had taken Orléans. The clandestine French Resistance in Paris rose against the

Germans on August 19; and a French division under General Jacques Leclerc , pressing forward from Normandy, received the surrender of the German forces there and liberated the city on August 25.

The German forces would have had ample time to pull back to the Seine River and to form a strong defensive barrier line there

had it not been for Hitler’s stubbornly stupid orders that there should be no withdrawal. It was his folly that enabled the Allies to

liberate France so quickly. The bulk of the German armoured forces and many infantry divisions were thrown into the Normandy

battle and kept there by Hitler’s “no withdrawal” orders until they collapsed and a large part of them were trapped. The fragments

were incapable of further resistance, and their retreat (which was largely on foot) was soon outstripped by the British and

American mechanized columns. More than 200,000 German troops were taken prisoner in France, and 1,200 German tanks had

been destroyed in the fighting. When the Allies approached the German border at the beginning of September, after a sweeping

drive from Normandy, there was no organized resistance to stop them from driving on into the heart of Germany.

Meanwhile, “ Operation Dragoon ” (formerly “Anvil”) was launched on August 15, 1944, when the U.S. 7th Army and the French 1st Army landed on the French

Riviera, where there were only four German divisions to oppose them. While the

Americans drove first into the Alps to take Grenoble, the French took Marseille on

August 23 and then advanced eastward through France up the Rhône Valley, to be

rejoined by the Americans north of Lyon early in September. Both armies then

moved swiftly northeastward into Alsace.

In the north, however, some discord had arisen among the Allied commanders after the crossing of the Seine. Whereas Montgomery wanted to concentrate on a single

thrust northeastward through Belgium into the heavily industrialized Ruhr Valley (an

area vital to Germany’s war effort), the U.S. generals argued for continuing to

advance eastward through France on a broad front, in accordance with the pre-

invasion plan. Eisenhower, by way of compromise, decided on August 23 that

Montgomery’s drive into Belgium should have the prior claim on resources until

Antwerp should have been captured but that thereafter the pre-invasion plan should be resumed.

Consequently, Montgomery’s 2nd Army began its advance on August 29, entered

Brussels on September 3, took Antwerp, with its docks intact, on September 4, and

went on, three days later, to force its way across the Albert Canal. The U.S. 1st

Army, meanwhile, supporting Montgomery on the right, had taken Namur on the day

of the capture of Antwerp and was nearing Aachen. Far to the south, however,

Patton’s U.S. 3rd Army, having raced forward to take Verdun on August 31, was

already beginning to cross the Moselle River near Metz on September 5, with the obvious possibility of achieving a breakthrough into Germany’s economically important Saarland. Eisenhower, therefore, could no longer devote a preponderance of supplies to

German and Allied movements in Europe from the end of 1942 to 1945, and (inset) the

Normandy …

From Grosser Historischer Weltatlas, vol. 3,

Neuzeit, 2nd ed. (1967); Bayerischer

Schulbuch-Verlag, Munich

Montgomery at Patton’s expense.

Montgomery nevertheless attempted a thrust to cross the Rhine River at Arnhem, the British 1st Airborne Division being dropped

ahead there to clear the way for the 2nd Army; but the Germans were just able to check the thrust, thus isolating the parachutists,

many of whom were taken prisoner. By this time, indeed, the German defense was rapidly stiffening as the Allies approached the

German frontiers: the U.S. 1st Army spent a month grinding down the defenses of Aachen , which fell at last on October 20 (the first city of prewar Germany to be captured by the western Allies); and the 1st Canadian Army, on the left of the British 2nd, did

not clear the Schelde estuary west of Antwerp, including Walcheren Island, until early November. Likewise, Patton’s 3rd Army

was held up before Metz.

The Allies’ amazing advance of 350 miles in a few weeks was thus brought to a halt. In early September the U.S. and British

forces had had a combined superiority of 20 to 1 in tanks and 25 to 1 in aircraft over the Germans, but by November 1944 the

Germans still held both the Ruhr Valley and the Saarland, after having been so near collapse in the west in early September that

one or the other of those prizes could have easily been taken by the Allies. The root of the Allied armies’ sluggishness in

September was that none of their top planners had foreseen such a complete collapse of the Germans as occurred in August 1944.

They were therefore not prepared, mentally or materially, to exploit it by a rapid offensive into Germany itself. The Germans thus

obtained time to build up their defending forces in the west, with serious consequences both for occupied Europe and the postwar

political situation of the Continent.

THE EASTERN FRONT, JUNE–DECEMBER 1944

After a successful offensive against the Finns on the Karelian Isthmus had

culminated in the capture of Viipuri (Vyborg) on June 20, 1944, the Red Army on

June 23 began a major onslaught on the Germans’ front in Belorussia. The attackers’

right wing took the bastion town of Vitebsk (Vitebskaya) and then wheeled

southward across the highway from Orsha to Minsk; their left wing, under General

Konstantin Konstantinovich Rokossovsky, broke through just north of the Pripet Marshes and then drove forward for 150 miles in a week, severing the highway

farther to the west, between Minsk and Warsaw. Minsk itself fell to the Red Army on

July 3; and, though the Germans extricated a large part of their forces from the

Soviet enveloping movement, the Soviet tanks raced ahead, bypassing any attempts

to block their path, and were deep into Lithuania and northeastern Poland by mid-

July. Then the Soviet forces south of the Pripet Marshes struck too, capturing Lwów

and pushing across the San River. This increase of pressure on the Germans enabled

Rokossovsky’s mobile columns to thrust still farther westward: they reached the

Vistula River, and one of them, on July 31, even penetrated the suburbs of Warsaw . The Polish underground in Warsaw thereupon rose in revolt against the Germans and

briefly gained control of the city. But three SS armoured divisions arrived to suppress the revolt in Warsaw, and the Soviet Red

Army stood idly by across the Vistula while the Germans crushed the insurrection. Although the Soviet halt outside Warsaw was

a purposeful move, it is true that the unprecedented length and speed of the Red Army’s advance—450 miles in five weeks—had

overstrained the Soviet communications. The halt on the Vistula was to last six months.

On August 20, however, two Soviet thrusts were launched in another direction—against the German salient in Bessarabia . A

new government came to power in Romania on August 23 and not only suspended hostilities against the U.S.S.R. but also, on August 25, declared war against Germany. This long-premeditated volte-face opened the way for three great wheeling movements

by the Red Army’s left wing through the vast spaces of southeastern and central Europe: southwestward across Bulgaria, where

they met no opposition; westward up the Danube Valley and over the Yugoslav frontier; and northwestward through the

Carpathians into Transylvania . The Germans could only try to hold the threatened centres of communication long enough for the

withdrawal of their forces from Greece and from southern Yugoslavia. Belgrade fell to a concerted action by the Red Army and

Tito’s Partisan forces on October 20, 1944; and a rapid drive from the Transylvanian sector into the Hungarian Plain brought

Soviet forces up to the suburbs of Budapest on November 4. Budapest, however, was stubbornly defended: by the end of the year, it was enveloped but still holding out.

At the northern end of the Eastern Front, Finland had capitulated early in September, and the following weeks saw a series of

scythelike strokes by the Red Army against the German forces remaining in Estonia, Latvia , and Lithuania . By mid-October the remnants of those forces were cornered in Courland, but the subsequent Soviet attempt to break through from Lithuania into East

Prussia was repelled.

AIR WARFARE, 1944

The Allies’ strategic air offensive against Germany began to attain its maximum effectiveness in the opening months of 1944.

Both the U.S. air forces concerned, namely, the 8th in England and the 15th in Italy, were increased in numbers and improved in

technical proficiency. By the end of 1943 the 8th Bomber Command alone could mount attacks of 700 planes, and early in 1944

regular 1,000-bomber attacks became possible. Even more important was the arrival in Europe of effective long-range fighters,

chief of which, the P-51 Mustang, was capable of operating at maximum bomber range. The U.S. fighters could now get the better of the Luftwaffe in the air over Germany, so that whereas 9.1 percent of bombers going out had been lost and 45.6 percent

damaged in October 1943, the corresponding figures were only 3.5 percent and 29.9 percent in February 1944, though in that very

month a massive and very difficult attack at extreme range had been made on the German aircraft industry. Carl Spaatz , commanding general of the U.S. Strategic Air Forces in Europe, in May 1944 initiated an offensive against Germany’s synthetic-

oil production—an offensive that was to become more and more harmful to the German war effort after the loss of Romania’s oil

fields to the Soviet Union. Meanwhile, the Luftwaffe’s resistance dwindled almost to nothing as its fighter plane production

dropped and most of its remaining trained pilots died in aerial combat.

The RAF Bomber Command launched nearly 10,000 sorties in March 1944 and dropped some 27,500 tons of bombs, about 70 percent of this effort being concentrated on Germany; but in the following months its offensive was largely diverted to the

intensive preparation and, later, to the support of the Allied landings in France. Nevertheless, it joined usefully in the U.S.

offensive against German oil production, continued to play its part in the Battle of the Atlantic , and also assumed the task of bombing the launching ramps of the Germans’ “V” missiles. By early 1945, the unending Allied bombing and strafing raids on

bridges, roads, rail facilities, locomotives, and supply columns had paralyzed the German transportation system.

The “V” missiles, flying bombs and long-range rockets, were the new weapons on which Hitler had vainly been counting to

reduce Great Britain to readiness for peace. His faith in them had indeed been a major motive for his insistence on holding the

sites, in northernmost France, from which they were initially to be aimed at London. The V-1 missiles were first launched on June

13, 1944, mostly from sites in the Pas-de-Calais; the V-2 missiles were launched a few months later, on September 8, from sites in the Netherlands (after the Allies’ occupation of the Pas-de-Calais on their way to Belgium). The V-2 offensive was maintained

until March 1945.

ALLIED POLICY AND STRATEGY: OCTAGON (QUEBEC II) AND MOSCOW, 1944

The progress of the Soviet armies toward central and southeastern Europe made it all the more urgent for the western Allies to

come to terms with Stalin about the fate of the “liberated” countries of eastern Europe. London had already proposed to Moscow

in May 1944 that Romania and Bulgaria should be zones for Soviet military operation, Yugoslavia and Greece—whose royalist

governments in exile were under British protection—for British; and Roosevelt had approved this proposition in June.

The Soviet Union had in February 1944 sent a military mission to Josip Tito’s Communist Partisans in Yugoslavia (the Partisans

had become the sole Yugoslavian recipients, since the Tehrān Conference, of western aid, though their royalist rivals, the

Chetniks, were not publicly disavowed by Churchill until May 25). Along with this, a would-be government of Greece had been

set up in March by the EAM (National Liberation Front), which was a Communist movement controlling a military organization,

the ELAS (National Popular Liberation Army), in opposition to the EDES (Greek Democratic National Army), which was loyal to the British-backed government in exile. The Polish question, moreover, was still unresolved, and in July the Soviets

established, at Lublin, a Committee of National Liberation independent of the London Poles. In Romania, despite the

government’s change of side in August, the Soviets proceeded to disband the Romanian Army; and early in September they

declared war on Bulgaria, invaded that country, and sponsored a Communist revolution there.

With this background, Churchill and Roosevelt met again for their second Quebec Conference, code-named “Octagon ,” which lasted from September 11 to 16. The most important decision made at the conference was that Roosevelt and Churchill together

approved the European Advisory Commission’s scheme for the division of defeated Germany into U.S., British, and Soviet zones

of occupation (the southwest, the northwest, and the east, respectively) and also the radical plan elaborated by the U.S. secretary

of the treasury, Henry Morgenthau, Jr., for turning Germany “into a country primarily agricultural and pastoral” without “war- making industries.” The Morgenthau Plan, however, was subsequently revoked.

The next conference of the Allies was held in Moscow October 9–20, 1944, between Churchill and Stalin, with U.S. ambassador

W. Averell Harriman also present at most of their talks. Disagreement persisted over Poland. Stalin, however, consented readily to Churchill’s provisional suggestion for zones of influence in southeastern Europe: the U.S.S.R. should be preponderant in

Romania and in Bulgaria, the western powers in Greece, and western and Soviet influences should counterbalance one another

evenly in Yugoslavia and in Hungary. The timing of the next western and Soviet offensives against Germany was also agreed,

and some accord was reached about the scale of the eventual Soviet participation in the war against Japan.

THE PHILIPPINES AND BORNEO, FROM SEPTEMBER 1944

On July 27–28, 1944, Roosevelt had approved MacArthur’s argument that the next objective in the Pacific theatre of the war

should be the Philippine Archipelago (which was comparatively near to the already conquered New Guinea). The initial steps toward the Philippines were taken almost simultaneously, in mid-September 1944: MacArthur’s forces from New Guinea seized

Morotai, the northeasternmost isle of the Moluccas, which was on the direct route to Mindanao, southernmost landmass of the

Philippines; and Nimitz’ fleet from the east landed troops in the Palau Islands.

Already by mid-September the Americans had discovered that the Japanese forces were unexpectedly weak not only on Mindanao

but also on Leyte , the smaller island north of the Surigao Strait. With this knowledge they decided to bypass Mindanao and to

begin their invasion of the Philippines on Leyte. On October 17–18, 1944, American forces seized offshore islets in Leyte Gulf , and on October 20 they landed four divisions on the east coast of Leyte.

The threat to Leyte was the signal for the Japanese to put into effect their recently formulated plan “Sho-Go ” (“Operation Victory”), whereby the Allies’ next attempts at invasion were to be countered by concerted air attacks. Though in the case of

Leyte the Japanese Army and Navy air forces in the immediate theatre numbered only 212 planes, it was hoped that the dispatch

of four carriers under Vice Admiral Ozawa, with 106 planes, southward from Japanese waters would lure the U.S. aircraft carriers

away from Leyte Gulf and that the suicidal “kamikaze” tactics of the Japanese airmen would save the situation. (Kamikaze pilots deliberately crashed their bomb-armed planes into enemy ships.) At the same time, however, a Japanese naval force from

Singapore was to sail to Brunei Bay and there split itself into two groups that would converge on Leyte Gulf from the north and

from the southwest: the stronger group, under Vice Admiral Kurita Takeo, would enter the Pacific through the San Bernardino Strait between the Philippine islands of Samar and Luzon; the other, under Vice Admiral Nishimura Teiji, would pass through the

Surigao Strait.

Kurita’s fleet (five battleships, 12 cruisers, 15 destroyers) lost two of its heavy cruisers to U.S. submarine attack on October 23,

when it was off Palawan; and one of the mightiest of Japan’s battleships, the Musashi, was sunk by aerial attack the next day. On

October 25, however, Kurita made his way unopposed through the San Bernardino Strait, since the commander of the U.S. 3rd

Fleet, Admiral Halsey , had diverted his main strength toward the bait dangled by Ozawa farther to the north. Three groups of U.S. escort carriers, met by Kurita on his way toward Leyte Gulf, suffered heavy damage; but, meanwhile, Nishimura’s fleet (two

battleships, one heavy cruiser, four destroyers) had been detected on its way to the Surigao Strait and, on its entry into Leyte Gulf

in the early hours of October 25, had been practically annihilated by the U.S. 7th Fleet. Kurita consequently turned back from his

rendezvous in Leyte Gulf; and the Japanese defeat in the war’s greatest naval confrontation was sealed by Ozawa’s losses to

Halsey: all of his four carriers, together with a light cruiser and two destroyers. The Japanese Navy’s “Sho-Go” as it transpired in

the Battle of Leyte Gulf had not only failed to inflict serious damage on the Americans but had resulted in serious losses for the

Japanese. These losses amounted to three battleships, one large aircraft carrier, three light carriers, six heavy cruisers, four light

cruisers, and 11 destroyers, while the United States lost only one light carrier, two escort carriers, and three destroyers. The battle

reduced the Japanese Navy to vestigial strength and cleared the way for the U.S. occupation of the Philippines.

Defeat in the gulf, however, did not prevent the Japanese from landing reinforcements on the west coast of Leyte. They put up so

stubborn a resistance that the Americans themselves had to be reinforced before Ormoc fell on December 10, 1944; it was not

before December 25 that the Americans could claim control of all Leyte—though there was still some mopping up to be done.

Altogether, the defense of Leyte cost the Japanese some 75,000 combatants killed or taken prisoner.

Barrage rockets during the invasion of Mindoro, Philippines, in December 1944.

Launched in salvoes …

UPI/Bettmann Newsphotos

Manila, Philippines, in the aftermath of its recapture by Allied forces in early 1945.

U.S. Navy

From Leyte the Americans proceeded first, on December 15, to the invasion of

Mindoro, the largest of the islands immediately south of Luzon . Kamikaze counterattacks made this conquest more costly; and they were to be continued after

the Americans had surprised the Japanese by landing, on January 9, 1945, at

Lingayen Gulf on the west coast of Luzon itself, the most important island of the

Philippines. The local Japanese commander, Lieutenant General Yamashita

Tomoyuki, with no hope of reinforcement, opted for tying the enemy forces down as long as possible by a static defense in three mountainous sectors—west, northwest,

and east of the Central Plains behind Manila .

Manila itself was also strongly defended by the Japanese. One U.S. corps, however,

was approaching it from Lingayen over the Central Plains; a second corps was

landed at Subic Bay , at the northern end of the Bataan Peninsula, on January 29, 1945, to make contact with the former corps at Dinalupihan a week later; and troops

made an amphibious landing at Nasugbu, south of Manila Bay, on January 31. Manila was then invested, and during the siege the bay was cleared by the

occupation of the southern tip of Bataan Peninsula on February 15 and by the

reduction of Corregidor Island in the following fortnight. On March 3 Manila fell at

last to the Americans.

The Japanese resistance on Luzon continued in the mountains, and east of Manila it

went on until mid-June 1945. Mindanao, meanwhile, was likewise being reduced. A

U.S. division landed at Zamboanga, on the southwestern peninsula, on March 10, 1945, and a corps began the occupation of the

core of the island on April 17.

The last phase of the U.S. campaign in the Philippines coincided with the opening of the reconquest of Borneo from the Japanese, chiefly by Australian forces. Tarakan Island, off the northeast coast, was invaded on May 1; Brunei on the northwest

coast was invaded on June 10; and Balikpapan, on the east coast far to the south of Tarakan, was attacked on July 1. The

subsequent collapse of the Japanese defenses around Balikpapan deprived Japan of the oil supplies of southern Borneo.

BURMA AND CHINA, OCTOBER 1944–MAY 1945

Chiang Kai-shek’s demand for the recall of the talented but abrasive Stilwell was satisfied in October 1944, and some

reorganization of the Allies’ commands in Southeast Asia followed. While Lieutenant General Daniel Sultan took Stilwell’s

place, Major General A.C. Wedemeyer became commander of U.S. forces in the China theatre and Sir Oliver Leese commander of the land forces under Mountbatten.

On the northern wing of the Burma front, a three-pronged drive by NCAC forces southward from Myitkyina to the Irrawaddy

River had been planned by Stilwell. Launched under Sultan, the triple drive was at first only partially successful: the right took

Indaw and Katha early in December and effected a junction with Slim’s British 14th Army, and the centre reached Shwegu,

German and Allied movements in Europe from the end of 1942 to 1945, and (inset) the

Normandy …

From Grosser Historischer Weltatlas, vol. 3,

Neuzeit, 2nd ed. (1967); Bayerischer

Schulbuch-Verlag, Munich

across the river; but the left, though it took Bhamo, was checked 60 miles west of Wan-t’ing. Sultan thereupon decided to push

farther southward, both on the right against Kyaukme, on the Burma Road northeast of Mandalay , and on the left against Wan- t’ing. Threatened with envelopment, the Japanese fell back from Wan-t’ing, which Sultan’s troops promptly occupied. Convoys

up the Burma Road from Wan-t’ing to K’un-ming were resumed on January 18, 1945.

For central Burma, meanwhile, Slim had thought, after his victory at Imphāl, that he must immediately seize the crossings of the

Chindwin River at Sittaung and at Kalewa and then advance southward against Mandalay itself. He did indeed effect the

Chindwin crossings, but in mid-December 1944 he saw that the Japanese were in any case going to withdraw altogether to the left

bank of the Irrawaddy. Thereupon, he changed his plan: his objective should rather be Meiktila, which lay east of the Irrawaddy

and was a vital centre of Japanese communications between Mandalay and Rangoon to the south. To conceal his new intention,

he allowed one of the corps already directed against Mandalay to continue its eastward advance, but the other corps was

surreptitiously moved over a circuitous route of 300 miles southward to Pakokku , which lay south of the Chindwin–Irrawaddy

confluence and northwest of Meiktila. While the crossing of the Irrawaddy by the former corps on both sides of Mandalay distracted the attention of the Japanese, the latter corps took Meiktila on March 3, 1945, and held it against fierce counterattacks.

Mandalay fell 10 days later, and the whole area was under the 14th Army’s control by the end of the month. When the action was

over, two Japanese armies had lost one-third of their fighting strength.

It remained for Slim to capture the Burmese capital, Rangoon . Allied ground forces advanced on Rangoon along two routes from the north: one corps, having moved down the Sittang Valley east of the Irrawaddy, took Pegu; the other, moving down the river,

took Prome (Pye). The monsoon, however, was imminent, and to forestall it a small combined operation was undertaken:

parachute troops were dropped at Elephant Point, on the coast south of Rangoon, on May 1, 1945; and an Indian division, landing

at Rangoon itself the next day, took the city without opposition, just when the monsoon rains were beginning to fall. The

recapture of Burma was essentially complete with the taking of Rangoon.

THE GERMAN OFFENSIVE IN THE WEST, WINTER 1944–45

Hitler still hoped to drive the Allies back and still adhered to his principle of

concentrating on the war in the west. Late in 1944, therefore, he assembled on the

Western Front all the manpower that had become available as a consequence of his

second “total mobilization”: a decree of October 18 had raised a Volkssturm, or

“home guard,” for the defense of the Third Reich , conscripting all able-bodied men between the ages of 16 and 60 years.

In mid-November all six Allied armies on the Western Front had launched a general

offensive; but, though the French 1st Army and the U.S. 7th had reached the Rhine

River in Alsace, there were only small gains on other sectors of the front.

Meanwhile, the German defense was being continuously strengthened with hastily

shifted reserves and with freshly raised forces, besides the troops that had managed

to make their way back from France. The German buildup along the front was by

now progressing faster than that of the Allies, despite Germany’s great inferiority of

material resources. In mid-December 1944 the Germans gave the Allied armies a

German and Allied movements in Europe from the end of 1942 to 1945, and (inset) the

Normandy …

From Grosser Historischer Weltatlas, vol. 3,

shock by launching a sizable counteroffensive. The Germans amassed 24 divisions

for the attack. Under the overall command of the reinstated Rundstedt, this attack was to be delivered through the wooded hill

country of the Ardennes against the weakest sector of the U.S.-manned front, between Monschau (southwest of Aachen) and

Echternach (northwest of Trier). While the 5th Panzer Army on the left, under the talented commander General Hasso von

Manteuffel, with its own left flank covered by the German 7th Army, was to wheel northwestward after the breakthrough and to

cross the Meuse River of Namur in a drive on Brussels, the 6th Panzer Army on the right, under SS General Sepp Dietrich , was to wheel more sharply northward against the Allies’ important supply port of Antwerp. Thus, it was hoped, the British and Canadian

forces at the northern end of the front could be cut off from their supplies and crushed, while the U.S. forces to the south were

held off by the German left.

The offensive was prepared with skill and secrecy and was launched on December 16, 1944, at a time when mist and rain would

minimize the effectiveness of counteraction from the air. The leading wedge of the attack by eight German armoured divisions

along a 75-mile front took the Allies by surprise; and the 5th Panzer Army, which achieved the deeper penetration, reached points

within 20 miles of the crossings of the Meuse River at Givet and at Dinant. U.S. detachments, however, stood firm, albeit

outflanked, at Bastogne and at other bottlenecks in the Ardennes; and there followed what is popularly remembered as the Battle

of the Bulge. By December 24 the German drive had narrowed but deepened, having penetrated about 65 miles into the Allied lines along a 20-mile front. But by this time the Allies had begun to respond. Montgomery, who had taken charge of the situation

in the north, swung his reserves southward to forestall the Germans on the Meuse. Bradley, commanding the Allied forces south

of the German wedge, sent his 3rd Army under Patton to the relief of Bastogne, which was accomplished on December 26. The

weather cleared, and as many as 5,000 Allied aircraft began to bomb and strafe the German forces and their supply system.

During January 8–16, 1945, the German attackers were compelled to withdraw, lest the salient that they had driven into the Allied

front be cut off in its turn. Though their abortive offensive inflicted much damage and upset the Allies’ plans, the Germans spent

too much of their strength on it and thereby forfeited whatever chance they had had of maintaining prolonged resistance later. The

Germans sustained 120,000 casualties and the Americans sustained about 75,000 in the Battle of the Bulge.

THE SOVIET ADVANCE TO THE ODER, JANUARY–FEBRUARY 1945

At the end of 1944 the Germans still held the western half of Poland, and their front

was still 200 miles east of where it had been at the start of the war in 1939. The

Germans had checked the Soviets’ summer offensive and had established a firm line

along the Narew and Vistula rivers southward to the Carpathians, and in October

they repelled the Red Army’s attempted thrust into East Prussia. Meanwhile,

however, the Soviet left, moving up from the eastern Balkans, had been gradually

pushing around through Hungary and Yugoslavia in a vast flanking movement; and

the absorption of German forces in opposing this side-door approach detracted

considerably from the Germans’ capacity to maintain their main Eastern and Western

fronts.

The Soviet high command was now ready to exploit the fundamental weaknesses of

the German situation. Abundant supplies for their armies had been accumulated at

the railheads. The mounting stream of American-supplied trucks had by this time

Neuzeit, 2nd ed. (1967); Bayerischer

Schulbuch-Verlag, Munich enabled the Soviets to motorize a much larger proportion of their infantry brigades

and thus, with the increasing production of their own tanks, to multiply the number

of armoured and mobile corps for a successful breakthrough.

Before the end of December ominous reports were received by Guderian —who, in this desperately late period of the war, had been made chief of the German general staff. German Army intelligence reported that 225 Soviet infantry divisions and 22

armoured corps had been identified on the front between the Baltic and the Carpathians, assembled to attack. But when Guderian

presented the report of these massive Soviet offensive preparations, Hitler refused to believe it, exclaiming: “It’s the biggest

imposture since Genghis Khan ! Who is responsible for producing all this rubbish?”

If Hitler had been willing to stop the Ardennes counteroffensive in the west, troops could have been transferred to the Eastern

Front; but he refused to do so. At the same time he refused Guderian’s renewed request that the 30 German divisions now isolated

in Courland (on the Baltic seacoast in Lithuania) should be evacuated by sea and brought back to reinforce the gateways into

Germany. As a consequence, Guderian was left with a mobile reserve of only 12 armoured divisions to back up the 50 weak

infantry divisions stretched out over the 700 miles of the main front.

The Soviet offensive opened on January 12, 1945, when Konev’s armies were launched against the German front in southern

Poland, starting from their bridgehead over the Vistula River near Sandomierz. After it had pierced the German defense and

produced a flanking menace to the central sector, Zhukov’s armies in the centre of the front bounded forward from their

bridgeheads nearer Warsaw. That same day, January 14, Rokossovsky’s armies also joined in the offensive, striking from the

Narew River north of Warsaw and breaking through the defenses covering this flank approach to East Prussia. The breach in the

German front was now 200 miles wide.

On January 17, 1945, Warsaw was captured by Zhukov, after it had been surrounded; and on January 19 his armoured spearheads

drove into Łódź. That same day Konev’s spearheads reached the Silesian frontier of prewar Germany. Thus, at the end of the first

week the offensive had been carried 100 miles deep and was 400 miles wide—far too wide to be filled by such scanty

reinforcements as were belatedly provided.

The crisis made Hitler renounce any idea of pursuing his offensive in the west; but, despite Guderian’s advice, he switched the 6th

Panzer Army not to Poland but to Hungary in an attempt to relieve Budapest. The Soviets could thus continue their advance

through Poland for two more weeks. While Konev’s spearheads crossed the Oder River in the vicinity of Breslau (Wrocław) and

thus cut Silesia’s important mineral resources off from Germany, Zhukov made a sweeping advance in the centre by driving

forward from Warsaw, past Poznań, Bydgoszcz, and Toruń, to the frontiers of Brandenburg and of Pomerania . At the same time

Rokossovsky pushed on, through Allenstein (Olsztyn), to the Gulf of Danzig , thus cutting off the 25 German divisions in East

Prussia. To defend the yawning gap in the centre of the front, Hitler created a new army group and put Heinrich Himmler in command of it with a staff of favoured SS officers. Their fumbling helped to clear the path for Zhukov, whose mechanized forces

by January 31, 1945, were at Küstrin, on the lower Oder, only 40 miles from Berlin.

Zhukov’s advance now came to a halt. Konev, however, could still make a northwesterly sweep down the left bank of the middle

Churchill, Roosevelt, and Stalin pose with leading Allied officers at the Yalta

Conference, 1945.

U.S. Army Photo

Oder, reaching Sommerfeld, 80 miles from Berlin, on February 13, and the Neisse River two days later. The Germans’ defense benefited from being driven back to the straight and shortened line formed by the Oder and Neisse rivers. This front, extending

from the Baltic coast to the Bohemian frontier, was less than 200 miles long. The menace of the Soviets’ imminent approach to

Berlin led Hitler to decide that most of his fresh drafts of troops must be sent to reinforce the Oder; the way was thus eased for the

crossing of the Rhine River by the American and British armies.

On February 13, 1945, the Soviets took Budapest, the defense of which had entailed the Germans’ loss of Silesia.

YALTA

Roosevelt’s last meeting with Stalin and Churchill took place at Yalta , in Crimea , February 4–11, 1945. The conference is chiefly remembered for its treatment of the

Polish problem: the western Allied leaders, abandoning their support of the Polish

government in London , agreed that the Lublin committee—already recognized as

the provisional government of Poland by the Soviet masters of the country—should be the nucleus of a provisional government of national unity, pending free elections.

But while they also agreed that Poland should be compensated in the west for the

eastern territories that the U.S.S.R. had seized in 1939, they declined to approve the

Oder–Neisse line as a frontier between Poland and Germany, considering that it would put too many Germans under Polish rule. For the rest of “liberated Europe”

the western Allied leaders obtained nothing more substantial from Stalin than a

declaration prescribing support for “democratic elements” and “free elections” to

produce “governments responsive to the will of the people.”

For Germany the conference affirmed the project for dividing the country into occupation zones, with the difference that the U.S.

zone was to be reduced in order to provide a fourth zone, for the French to occupy. Roosevelt and Churchill, however, had

already discarded the Morgenthau Plan for the postwar treatment of Germany; and Yalta found no comprehensive formula to replace it. The three leaders simply pledged themselves to furnish the defeated Germans with the necessities for survival; to

“eliminate or control” all German industry that could be used for armaments; to bring major war criminals to trial; and to set up a

commission in Moscow for the purpose of determining what reparation Germany should pay.

THE GERMAN COLLAPSE, SPRING 1945

Before their ground forces were ready for the final assault on Germany, the western

Allies intensified their aerial bombardment. This offensive culminated in a series of

five attacks on Dresden , launched by the RAF with 800 aircraft in the night of February 13–14, 1945, and continued by the U.S. 8th Air Force with 400 aircraft in

daylight on February 14, with 200 on February 15, with 400 again on March 2, and,

finally, with 572 on April 17. The motive of these raids was allegedly to promote the

Soviet advance by destroying a centre of communications important to the German

defense of the Eastern Front; but, in fact, the raids achieved nothing to help the Red

German and Allied movements in Europe from the end of 1942 to 1945, and (inset) the

Normandy …

From Grosser Historischer Weltatlas, vol. 3,

Neuzeit, 2nd ed. (1967); Bayerischer

Schulbuch-Verlag, Munich

A U.S. soldier inspecting a damaged German Mark V Panther tank, Kelberg,

Germany, 1945.

U.S. Army Photograph

U.S. tanks entering bomb-damaged Nürnberg, Germany, April 1945.

U.S. Army Photo

Army militarily and succeeded in obliterating the greater part of one of the most

beautiful cities of Europe and in killing up to 25,000 people.

The main strength of the ground forces being built up meanwhile for the crossing of

the Rhine was allotted to Montgomery’s armies on the northern sector of the front.

Meanwhile, some of the U.S. generals sought to demonstrate the abilities of their

own less generously supplied forces. Thus, Patton’s 3rd Army reached the Rhine at

Coblenz (Koblenz) early in March, and, farther downstream, General Courtney H.

Hodges’ 1st Army seized the bridge over the Rhine at Remagen south of Bonn and actually crossed the river, while, still farther downstream, Lieutenant General

William H. Simpson’s 9th Army reached the Rhine near Düsseldorf. All three armies were ordered to mark time until Montgomery’s grand assault was ready; but,

meanwhile, they cleared the west bank of the river, and eventually, in the night of March 22–23, the 3rd Army crossed the Rhine at Oppenheim, between Mainz and

Mannheim, almost unopposed.

At last, in the night of March 23–24, Montgomery’s attack by 25 divisions was

launched across a stretch—30 miles long—of the Rhine near Wesel after a

stupendous bombardment by more than 3,000 guns and waves of attacks by

bombers. Resistance was generally slight; but Montgomery would not sanction a

further advance until his bridgeheads were consolidated into a salient 20 miles deep.

Then the Canadian 1st Army, on the left, drove ahead through the Netherlands, the

British 2nd went northeastward to Lübeck and to Wismar on the Baltic, and the U.S.

armies swept forward across Germany, fanning out to reach an arc that stretched

from Magdeburg (9th Army) through Leipzig (1st) to the borders of

Czechoslovakia (3rd) and of Austria (7th and French 1st).

Guderian had tried to shift Germany’s forces eastward to hold the Red Army off; but

Hitler, despite his anxiety for Berlin, still wished to commit the 11th and 12th armies

—formed from his last reserves—to driving the western Allies back over the Rhine

and, on March 28, replaced Guderian with General Hans Krebs as chief of the general staff.

Ecstatic crowds in London celebrating the end of the European phase of World War II,

May 8, 1945.

The dominant desire of the Germans now, both troops and civilians, was to see the British and American armies sweep eastward

as rapidly as possible to reach Berlin and occupy as much of the country as possible before the Soviets overcame the Oder line.

Few of them were inclined to assist Hitler’s purpose of obstruction by self-destruction. On March 19 (the eve of the Rhine

crossing), Hitler had issued an order declaring that “the battle should be conducted without consideration for our own

population.” His regional commissioners were instructed to destroy “all industrial plants, all the main electricity works,

waterworks, gas works” together with “all food and clothing stores” in order to create “a desert” in the Allies’ path. When his

minister of war production, Albert Speer , protested against this drastic order, Hitler retorted: “If the war is lost, the German nation will also perish. So there is no need to consider what the people require for continued existence.” Appalled at such callousness,

Speer was shaken out of his loyalty to Hitler: he went behind Hitler’s back to the army and industrial chiefs and persuaded them,

without much difficulty, to evade executing Hitler’s decree. The Americans and the British, driving eastward from the Rhine, met

little opposition and reached the Elbe River 60 miles from Berlin, on April 11. There they halted.

On the Eastern Front, Zhukov enlarged his bridgehead across the Oder early in March. On their far left the Soviets reached

Vienna on April 6; and on the right they took Königsberg on April 9. Then, on April 16, Zhukov resumed the offensive in

conjunction with Konev, who forced the crossings of the Neisse; this time the Soviets burst out of their bridgeheads, and within a

week they were driving into the suburbs of Berlin. Hitler chose to stay in his threatened capital, counting on some miracle to bring

salvation and clutching at such straws as the news of the death of Roosevelt on April 12. By April 25 the armies of Zhukov and Konev had completely encircled Berlin, and on the same day they linked up with the Americans on the Elbe River.

Isolated and reduced to despair, Hitler married his mistress, Eva Braun , during the night of April 28–29, and on April 30 he committed suicide with her in the ruins of the Chancellery, as the advancing Soviet troops were less than a half mile from his

bunker complex; their bodies were hurriedly cremated in the garden. The “strategy” of Hitler’s successor, Dönitz , was one of

capitulation and of saving as many as possible of the westward-fleeing civilians and of his German troops from Soviet hands. During the interval of surrender, 1,800,000 German troops (55 percent of the Army of the East) were transferred into the British–

U.S. area of control.

On the Italian front, the Allied armies had long been frustrated by the depletion of their forces for the sake of other enterprises;

but early in 1945 four German divisions were transferred from Kesselring’s command to the Western Front , and in April the thin German defenses in Italy were broken by an Allied attack. A surrender document that had been signed on April 29 (while Hitler

was still alive) finally brought the fighting to a conclusion on May 2.

The surrender of the German forces in northwestern Europe was signed at

Montgomery ’s headquarters on Lüneburg Heath on May 4; and a further document,

covering all the German forces, was signed with more ceremony at Eisenhower’s

headquarters at Reims , in the presence of Soviet as well as U.S. , British, and French delegations. At midnight on May 8, 1945, the war in Europe was officially

over.

POTSDAM

British Prime Minister Winston Churchill, U.S. Pres. Harry S. Truman, and Soviet

Premier Joseph …

Encyclopædia Britannica, Inc.

Picture Post/Hulton Archive/Getty Images

The last inter-Allied conference of World War II, code-named “Terminal,” was held

at the suburb of Potsdam, outside ruined Berlin, from July 17 to August 2, 1945. It

was attended by the Soviet, U.S., and British heads of government and foreign

ministers: respectively, Stalin and Molotov; President Harry S. Truman (Roosevelt’s

successor) and James F. Byrnes ; and Churchill and Anthony Eden , the last-named

pair being replaced by Clement Attlee and Ernest Bevin after Great Britain’s change of government following a general election.

Operations against Japan were discussed, and the successful testing of an atomic

bomb in the United States was divulged to Stalin. Pending the Soviet entry into the war against Japan, a declaration was issued on July 26 calling on Japan to surrender

unconditionally and forecasting the territorial spoliation of the empire and the

military occupation of Japan proper as well as the prosecution of war criminals, yet still promising that the Japanese people would not be enslaved or the nation

destroyed.

Time was spent discussing the peace settlement and its procedure. Stalin induced Truman and Attlee to consent provisionally to

the Soviet Union’s demands that it should take one-third of Germany’s naval and merchant fleet; have the right to exact

reparations from its occupied zones of Germany and of Austria and also from Finland, Hungary, Romania, and even Bulgaria; and should furthermore receive a percentage of reparation from the western-occupied zones. The total amounts of all these

exactions were, however, to be determined at a later date.

There was a profound disagreement at the conference about the Balkan areas occupied by the Red Army in which representatives

of the western powers were allowed little say, and about the area east of the Oder–Neisse line, all of which the Soviets had

arbitrarily put under Polish administration. The western statesmen protested at these lone-handed arrangements but perforce

accepted them.

THE END OF THE JAPANESE WAR, FEBRUARY–SEPTEMBER 1945

While the campaign for the Philippines was still in progress, U.S. forces were making great steps in the direct advance toward

their final objective, the Japanese homeland. Aerial bombardment was, of course, the prerequisite of the projected invasion of

Japan—which was to begin, it was imagined, with landings on Kyushu , the southernmost of the major Japanese islands.

IWO JIMA AND THE BOMBING OF TOKYO

With U.S. forces firmly established in the Mariana Islands, the steady long-range

bombing of Japan by B-29 s under the command of General Curtis E. LeMay continued throughout the closing months of 1944 and into 1945. But it was still

1,500 miles from Saipan to Tokyo , a long flight even for the B-29s. Strategic

planners therefore fixed their attention on the little volcanic island of Iwo Jima in the

U.S. Coast Guard and Navy vessels landing supplies on the Marine beachhead at Iwo

Jima, February …

Library of Congress, Washington, D.C.

Injured U.S. Marines being treated at an aid station on Iwo Jima, 1945.

U.S. Department of Defense

U.S. Marines raising the American flag over Mount Suribachi, Iwo Jima, in February

1945.

Joe Rosenthal/AP

Bonin Islands, which lay about halfway between the Marianas and Japan. If Iwo Jima could be eliminated as a Japanese base, the island could then be immensely

valuable as a base for U.S. fighter planes defending the big bombers.

The Japanese were determined to hold Iwo Jima. As they had done on other Pacific

islands, they had created underground defenses there, making the best possible use of

natural caves and the rough, rocky terrain. The number of Japanese defenders on the

island, under command of Lieutenant General Kuribayashi Tadamichi, was more

than 20,000.

Day after day before the actual landing the island was subjected to intense

bombardment by naval guns, by rockets, and by air strikes using napalm bombs. But the results fell far short of expectations. The Japanese were so well protected that no

amount of conventional bombing or shelling could knock them out. U.S. Marines

landed on Iwo Jima on February 19, 1945, and encountered an obstinate resistance.

Meanwhile, kamikaze counterattacks from the air sank the light carrier Bismarck

Sea and damaged other ships; and, though the U.S. flag was planted on Mount

Suribachi on February 23, the isle was not finally secured until March 16. Iwo Jima

had cost the lives of 6,000 Marines, as well as the lives of nearly all the Japanese

defenders; but in the next five months more than 2,000 B-29 bombers were able to

land on it.

Meanwhile, a new tactic had been found for the bombing of Japan from bases in the Marianas. Instead of high-altitude strikes in daylight, which had failed to do much

damage to the industrial centres attacked, low-level strikes at night, using napalm

firebombs , were tried, with startling success. The first, in the night of March 9–10,

1945, against Tokyo , destroyed about 25 percent of the city’s buildings (most of them flimsily built of wood and plaster), killed more than 80,000 people, and made

1,000,000 homeless. This result indicated that Japan might be defeated without a

massive invasion by ground troops, and so similar bombing raids on such major

cities as Nagoya, Ōsaka, Kōbe, Yokohama, and Toyama followed. Japan literally was being bombed out of the war.

OKINAWA

Plans for invasion, however, were not immediately discarded. Okinawa, largest of the Ryukyu Islands strung out northeastward

U.S. Marines battling for control of a ridge near Naha, Okinawa, May 1945.

U.S. Department of Defense

Japanese soldier flushed from a cave by a smoke grenade surrendering to U.S.

Marines on Okinawa, …

U.S. Department of Defense

from Taiwan, had been regarded as the last stepping-stone to be taken toward Kyushu, which was only 350 miles away from it. It

had therefore been subjected to a series of air raids from October 1944, culminating in March 1945 in an attack that destroyed

hundreds of Japanese planes; but there were still at least 75,000 Japanese troops on the island, commanded by Lieutenant General

Ushijima Mitsuru. The invasion of Okinawa was, in fact, to be the largest amphibious operation mounted by the Americans in the

Pacific war.

Under the overall command of Nimitz, with Admiral Raymond Spruance in charge

of the actual landings and with Lieutenant General Simon Bolivar Buckner, Jr. , commanding the ground forces, the operation began with the occupation of the

Kerama Islets, 15 miles west of Okinawa, on March 26, 1945. Five days later a

landing was made on Keise-Jima, whence artillery fire could be brought to bear on

Okinawa itself. Then, on April 1, some 60,000 U.S. troops landed on the central

stretch of Okinawa’s west coast, seizing two nearby airfields and advancing to cut

the island’s narrow waist. Koiso’s government in Tokyo resigned on April 5, and the

U.S.S.R. on the same day refused to renew its treaty of nonaggression with Japan.

The first major counterattack on Okinawa by the Japanese, begun on April 6,

involved not only 355 kamikaze air raids but also the Yamato, the greatest battleship

in the world (72,000 tons, with nine 18.1-inch [460-millimetre] guns), which was sent out on a suicidal mission with only enough

fuel for the single outward voyage and without sufficient air cover. The Japanese hoped the Yamato might finish off the Allied

fleet after the latter had been weakened by kamikaze attacks. In the event, the Yamato was hit repeatedly by bombs and

torpedoes and was sunk on April 7. Equally suicidal was a new Japanese weapon, baka, which claimed its first victim, the U.S.

destroyer Abele, off Okinawa on April 12. Baka was a rocket-powered glider crammed with explosives which was towed into

range by a bomber and was then released to be guided by its solitary pilot into the chosen target for their mutual destruction.

The U.S. ground forces invading Okinawa met little opposition on the beaches

because Ushijima had decided to offer his main resistance inland, out of range of the

enemy’s naval guns. In the southern half of the island this resistance was bitterest: it

lasted until June 21, and Ushijima killed himself the next day. The campaign for

Okinawa was ended officially on July 2. For U.S. troops it had been the longest and

bloodiest Pacific campaign since Guadalcanal in 1942. Taking the island had cost the

Americans 12,000 dead and 36,000 wounded, with 34 ships sunk and 368 damaged,

and the Japanese losses exceeded 100,000 dead.

On April 3, 1945, two days after the first landing on Okinawa, the U.S. command in

the Pacific was reorganized: MacArthur was henceforth to be in command of all

army units and also in operational control of the U.S. Marines for the invasion of

Japan; Nimitz was placed in command of all navy units.

HIROSHIMA AND NAGASAKI

Total destruction of Hiroshima, Japan, following the dropping of the first atomic

bomb, on August …

U.S. Air Force photo

Throughout July 1945 the Japanese mainlands, from the latitude of Tokyo on Honshu northward to the coast of Hokkaido , were

bombed just as if an invasion was about to be launched. In fact, something far more sinister was in hand, as the Americans were

telling Stalin at Potsdam .

In 1939 physicists in the United States had learned of experiments in Germany

demonstrating the possibility of nuclear fission and had understood that the potential energy might be released in an explosive weapon of unprecedented power. On

August 2, 1939, Albert Einstein had warned Roosevelt of the danger of Nazi Germany’s forestalling other states in the development of an atomic bomb.

Eventually, the U.S. Office of Scientific Research and Development was created in

June 1941 and given joint responsibility with the war department in the Manhattan

Project to develop an atomic bomb . After four years of intensive and ever-mounting research and development efforts, an atomic device was set off on July 16, 1945, in a

desert area near Alamogordo, New Mexico , generating an explosive power equivalent to that of more than 15,000 tons of TNT. Thus the atomic bomb was born.

Truman, the new U.S. president, calculated that this monstrous weapon might be

used to defeat Japan in a way less costly of U.S. lives than a conventional invasion of

the Japanese homeland. Japan’s unsatisfactory response to the Allies’ Potsdam Declaration decided the matter. (See Sidebar: The

decision to use the atomic bomb.) On August 6, 1945, an atomic bomb carried from Tinian Island in the Marianas in a specially

equipped B-29 was dropped on Hiroshima , at the southern end of Honshu : the combined heat and blast pulverized everything in the explosion’s immediate vicinity, generated fires that burned almost 4.4 square miles completely out, and immediately killed

some 70,000 people (the death toll passed 100,000 by the end of the year). A second bomb, dropped on Nagasaki on August 9, killed between 35,000 and 40,000 people, injured a like number, and devastated 1.8 square miles.

THE JAPANESE SURRENDER

News of Hiroshima’s destruction was only slowly understood in Tokyo. Many members of the Japanese government did not

appreciate the power of the new Allied weapon until after the Nagasaki attack. Meanwhile, on August 8, the U.S.S.R. had

declared war against Japan. The combination of these developments tipped the scales within the government in favour of a group

that had, since the spring, been advocating a negotiated peace. On August 10 the Japanese government issued a statement

agreeing to accept the surrender terms of the Potsdam Declaration on the understanding that the emperor’s position as a

sovereign ruler would not be prejudiced . In their reply the Allies granted Japan’s request that the emperor’s sovereign status be maintained, subject only to their supreme commander’s directives. Japan accepted this proviso on August 14, and the emperor

Hirohito urged his people to accept the decision to surrender. It was a bitter pill to swallow, though, and every effort was made to persuade the Japanese to accept the defeat that they had come to regard as unthinkable. Even princes of the Japanese Imperial

house were dispatched to deliver the Emperor’s message in person to distant Japanese Army forces in China and in Korea,

hoping thus to mitigate the shock. A clique of diehards nevertheless attempted to assassinate the new prime minister, Admiral

Suzuki Kantarō; but by September 2, when the formal surrender ceremonies took place, the way had been smoothed.

Truman designated MacArthur as the Allied powers’ supreme commander to accept Japan’s formal surrender, which was

solemnized aboard the U.S. flagship Missouri in Tokyo Bay: the Japanese foreign minister, Shigemitsu Mamoru , signed the document first, on behalf of the Emperor and his government. He was followed by General Umezu Yoshijiro on behalf of the

Imperial General Headquarters. The document was then signed by MacArthur , Nimitz, and representatives of the other Allied

powers. Japan concluded a separate surrender ceremony with China in Nanking on September 9, 1945. With this last formal

surrender, World War II came to an end.

COSTS OF THE WAR

KILLED, WOUNDED, PRISONERS, OR MISSING

The statistics on World War II casualties are inexact. Only for the United States and the British Commonwealth can official

figures showing killed, wounded, prisoners or missing for the armed forces be cited with any degree of assurance. For most other

nations, only estimates of varying reliability exist. Statistical accounting broke down in both Allied and Axis nations when whole

armies were surrendered or dispersed. Guerrilla warfare, changes in international boundaries, and mass shifts in population vastly

complicated postwar efforts to arrive at accurate figures even for the total dead from all causes.

Civilian deaths from land battles, aerial bombardment, political and racial executions, war-induced disease and famine, and the

sinking of ships probably exceeded battle casualties. These civilian deaths are even more difficult to determine, yet they must be

counted in any comparative evaluation of national losses. There are no reliable figures for the casualties of the Soviet Union and

China, the two countries in which casualties were undoubtedly greatest. Mainly for this reason, estimates of total dead in World

War II vary anywhere from 35,000,000 to 60,000,000—a statistical difference of no small import. Few have ventured even to try

to calculate the total number of persons who were wounded or permanently disabled.

However inexact many of the figures, their main import is clear. The heaviest proportionate human losses occurred in eastern

Europe where Poland lost perhaps 20 percent of its prewar population, Yugoslavia and the Soviet Union around 10 percent.

German losses, of which the greater proportion occurred on the Eastern Front, were only slightly less severe. The nations of

western Europe, however great their suffering from occupation, escaped with manpower losses that were hardly comparable with

those of World War I . In East Asia, the victims of famine and pestilence in China are to be numbered in the millions, in addition to other millions of both soldiers and civilians who perished in battle and bombardment.

World War II casualties

military

country killed, died of wounds, or in prison

wounded prisoners or missing

civilian deaths due to war

estimated total deaths

Allied Powers

Belgium 12,000 — — 76,000 88,000

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Brazil 943 4,222 — — 1,000

British Commonwealth

373,372 475,047 251,724 92,673 466,000

Australia 23,365 39,803 32,393 — 24,000

Canada 37,476 53,174 10,888 — 38,000

India 24,338 64,354 91,243 — —

New Zealand 10,033 19,314 10,582 — 10,000

South Africa 6,840 14,363 16,430 — 7,000

United Kingdom 264,443 277,077 213,919 92,673 357,000

Colonies 6,877 6,972 22,323 — 7,000

China 1,310,224 1,752,951 115,248 — —

Czechoslovakia 10,000 — — 215,000 225,000

Denmark 1,800 — — 2,000 4,000

France 213,324 400,000 — 350,000 563,000

Greece 88,300 — — 325,000 413,000

Netherlands 7,900 2,860 — 200,000 208,000

Norway 3,000 — — 7,000 10,000

Poland 123,178 236,606 420,760 5,675,000 5,800,000

Philippines 27,000 — — 91,000 118,000

United States 292,131 671,801 139,709 6,000 298,000

U.S.S.R. 11,000,000 — — 7,000,000 18,000,000

Yugoslavia 305,000 425,000 — 1,200,000 1,505,000

Axis Powers

Bulgaria 10,000 — — 10,000 20,000

Finland 82,000 50,000 — 2,000 84,000

Germany 3,500,000 5,000,000 3,400,000 780,000 4,200,000

Hungary 200,000 — 170,000 290,000 490,000

Italy 242,232 66,000 350,000 152,941 395,000

Japan 1,300,000 4,000,000 810,000 672,000 1,972,000

Romania 300,000 — 100,000 200,000 500,000

Figures for deaths, insofar as possible, exclude those who died of natural causes or were suicides. As far as possible the figures in this column exclude those who died

in captivity. Figures for all Commonwealth nations include those still missing in 1946, some of whom may be presumed dead. This figure comprises 60,595 killed in

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aerial bombardment, 30,248 in the merchant marine service, 624 in women’s auxiliary services, and 1,206 in the Home Guard. The figures for China comprise casualties

of the Chinese Nationalist forces during 1937–45, as reported in 1946, and do not include figures for local armies and communists. Estimates of 2,200,000 military dead and 22,000,000 civilian deaths appear in some compilations but are of doubtful accuracy. Czech military figures include only those who fought on the Allied side, not Sudeten

Germans and others who served in the German army. Includes merchant marine personnel who served with Allies. French military casualties include those dead from

all causes in the campaign of 1939–40, those of Free French, of rearmed French units that fought with Allies during 1942–45, and of French units that fought with Axis forces in Syria and North Africa during 1941–42 (1,200 dead). These figures released in 1946 are possibly too high. Merchant seamen are included with military dead.

Military figures drawn from statement released by Polish government in 1946 and include casualties in the campaign of 1939, those of the underground, of Polish forces

serving with British and Soviet armies, and those incurred in the Warsaw Uprising. Civilian casualty figures, which include 3,200,000 Jews, are based on this statement as modified by the calculations of population experts. Military figures include those of Army Ground and Air Forces and those of the Navy, Marines, and Coast Guard.

There were an additional 115,187 deaths of U.S. servicemen from non-battle causes. Civilians listed in 1946 as dead or missing include 5,638 of the merchant marine service. Available estimates of Soviet casualties vary widely. A Soviet officer who served with the high command in Berlin and left the Soviet service in 1949 placed total

military losses at 13,600,000—8,500,000 dead or missing in battle; 2,600,000 dead in prison camps; 2,500,000 died of wounds—and estimated civilian casualties at 7,000,000. These figures have been widely accepted in Germany, but most U.S. compilations, based on Soviet announcements, list 6,000,000 to 7,500,000 battle deaths. Calculations made on the basis of population distribution by age and sex in the 1959 U.S.S.R. census give some credence to the higher figures, for they seem to indicate losses of from 15,000,000 to 20,000,000 males of military age in World War II. The figures used here are a compromise estimate, not intended to obscure the fact that Soviet casualties are, in reality, unknown in the West. Estimates based on fragmentary data. Military estimates include men from outside Germany who served with

the German armed forces and are based on the assumption that about 1,000,000 of the 1,250,000 men still listed as missing in Soviet territory in 1955 were dead. In addition, perhaps 250,000 military personnel died of natural causes, committed suicide, or were executed. Civilian figures are for Germany and Austria only, and they do not include an estimated 2,384,000 German deaths during 1944–46 resulting from Soviet invasion and forced transfers of population in the eastern provinces given to Poland after the war. Figures for dead include those listed as still missing in compilation made by the Italian government in 1952 (131,419 military personnel and 3,651

civilians), but not 49,144 military deaths from natural causes or suicide. Known dead from enemy action amounted to 110,823, making a total of 159,957 military deaths from all causes if the missing are not included. Of this number, 92,767 occurred before the 1943 Armistice, 67,190 afterward. Based on an estimate of 1,600,000 total

military deaths on the assumption that about half of those listed as missing in Soviet territory in 1949 were dead. About 300,000 of these probably resulted from causes not related to battle.

HUMAN AND MATERIAL COST

There can be no real statistical measurement of the human and material cost of World War II. The money cost to governments

involved has been estimated at more than $1,000,000,000,000 but this figure cannot represent the human misery, deprivation, and

suffering, the dislocation of peoples and of economic life, or the sheer physical destruction of property that the war involved.

EUROPE

The Nazi overlords of occupied Europe drained their conquered territories of resources to feed the German war machine. Industry

and agriculture in France , Belgium , the Netherlands , Denmark , and Norway were forced to produce to meet German needs

with a resulting deprivation of their own peoples. Italy, though at first a German ally, fared no better. The resources of the occupied territories in eastern Europe were even more ruthlessly exploited. Millions of able-bodied men and women were drained

away to perform forced labour in German factories and on German farms. The whole system of German economic exploitation

was enforced by cruel and brutal methods, and the guerrilla resistance it aroused was destructive in itself and provoked German

reprisals that were even more destructive, particularly in Poland, Yugoslavia, and the occupied portions of the Soviet Union.

Great Britain, which escaped the ravages of occupation, suffered heavily from the German aerial blitz of 1940–41 and later from

V-bombs and rockets. On the other side, German cities were leveled by Allied bombers, and in the final invasion of Germany

from both east and west there was much retaliatory devastation, destruction, and pillage.

The destruction of physical plant was immense and far exceeded that of World War I, when it was largely confined to battle areas.

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France estimated the total cost at an amount equivalent to three times the total French annual national income. Belgium and the

Netherlands suffered damage roughly in similar proportions to their resources. In Great Britain about 30 percent of the homes were destroyed or damaged; in France, Belgium, and the Netherlands about 20 percent. Agriculture in all the occupied countries

suffered heavily from the destruction of facilities and farm animals, the lack of machinery and fertilizers, and the drain on

manpower. Internal transport systems were completely disrupted by the destruction or confiscation of railcars, locomotives, and

barges, and the bombing of bridges and key rail centres. By 1945 the economies of the continental nations of western Europe

were in a state of virtually complete paralysis.

In eastern Europe the devastation was even worse. Poland reported 30 percent of its buildings destroyed, as well as 60 percent of its schools, scientific institutions, and public administration facilities, 30–35 percent of its agricultural property, and 32 percent of

its mines, electrical power, and industries. Yugoslavia reported 20.7 percent of its dwellings destroyed. In the battlegrounds of

the western portion of the Soviet Union, the destruction was even more complete. In Germany itself, the U.S. Strategic Bombing Survey found that in 49 of the largest cities, 39 percent of the dwelling units were destroyed or seriously damaged. Central

business districts had generally been reduced to rubble, leaving only suburban rings standing around a destroyed core.

Millions throughout Europe were rendered homeless. There were an estimated 21,000,000 refugees, more than half of them

“displaced persons” who had been deported from their homelands to perform forced labour. Other millions who had remained at

home were physically exhausted by five years of strain, suffering, and undernourishment. The roads of Europe were swamped by

refugees all through 1945 and into 1946 as more than 5,000,000 Soviet prisoners of war and forced labourers returned eastward to

their homeland and more than 8,000,000 Germans fled or were evacuated westward out of the Soviet-occupied portions of

Germany. Millions of other persons of almost every European nationality also returned to their own countries or emigrated to new

homes in other lands.

THE FAR EAST

The devastation of World War II in China was inflicted on a country that was already suffering from the economic ills of

overpopulation, underdevelopment, and a half-century of war, political disunity, and unrest. The territory occupied by Japanese

forces was roughly equivalent to that occupied by the Axis in Europe and the period of occupation was longer. That area of China

unoccupied by the Japanese was virtually cut off from the outside world after the Japanese conquest of Burma in early 1942, and

its economy continually tottered on the brink of collapse. In both areas, famines, epidemics , and civil unrest were recurrent, much farmland was flooded, and millions of refugees fled their homes, some several times. Cities, towns, and villages were laid

waste by aerial bombardment and marching armies. The transportation system, poor to begin with, was thoroughly disrupted.

Most of the limited number of hospitals and health institutions in China were destroyed or lost.

In India famine was recurrent, and the Indian economy was severely strained to support the burden the Allied military authorities

placed upon it. The Philippines suffered from three years of Japanese occupation and exploitation and from the destruction

wrought in the reconquest of the islands by the Americans in 1944–45. The harbour at Manila was wrecked by the retreating

Japanese, and many portions of the city were demolished by bombardment.

In Japan the U.S. Strategic Bombing Survey found the damage to urban centres comparable to that in Germany. In the

aggregate , 40 percent of the built-up areas of 66 Japanese cities was destroyed, and approximately 30 percent of the entire urban population of Japan lost their homes and many of their possessions. Hiroshima and Nagasaki suffered the peculiar and lasting

damage done by atomic explosion and radiation.

John Graham Royde-Smith

The Editors of Encyclopædia Britannica

"World War II". Encyclopædia Britannica. Encyclopædia Britannica Online.

Encyclopædia Britannica Inc., 2017. Web. 04 Jan. 2017

<https://www.britannica.com/event/World-War-II>.

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