19.2: The Age of Discovery

19.2.1: Europe’s Early Trade Links

Learning Objective

Understand the exploration of Eurasia in the Middle Ages by Marco Polo, and why it was a prelude to the advent of the Age of Discovery in the 15th Century

Key Points

• European medieval knowledge about Asia beyond the reach of Byzantine Empire was sourced in partial reports, often obscured by legends.
• In 1154, Arab geographer Muhammad al-Idrisi
  created what would be known as the Tabula Rogeriana—

  a description
  of the world and world map. It contains
  maps showing the Eurasian continent in its entirety, but only the northern part
  of the African continent. It remained the most accurate world map for the next
  three centuries.

• Indian Ocean trade routes were sailed by Arab
  traders. Between 1405 and 1421, the Yongle Emperor of Ming China sponsored a
  series of long range tributary missions. The fleets visited Arabia, East Africa,
  India, Maritime Southeast Asia, and Thailand. 
• A series
  of European expeditions crossing Eurasia by land in the late Middle Ages marked a prelude to the Age of Discovery.
  Although the Mongols had threatened Europe with pillage and destruction, Mongol
  states also unified much of Eurasia and, from 1206 on, the Pax
  Mongolica allowed safe trade routes and communication lines stretching
  from the Middle East to China. 
• Christian
  embassies were sent as far as Karakorum during the Mongol invasions of Syria. The first of these
  travelers was Giovanni da Pian del Carpine, who journeyed to Mongolia and back
  from 1241 to 1247. Others traveled to various regions of Asia between 13th and the third quarter of the 15th centuries; these travelers included Russian Yaroslav of Vladimir
  and his sons Alexander Nevsky and Andrey II of Vladimir, French André
  de Longjumeau and Flemish William of Rubruck, Moroccan
  Ibn Battuta, and Italian Niccolò de’ Conti.  
• Marco Polo, a Venetian merchant, dictated an
  account of journeys throughout Asia from 1271 to 1295. Although he was not the first European to
  reach China, he was the first to leave a detailed chronicle of his
  experience. The book inspired Christopher Columbus and many other travelers in the following Age of Discovery.

Key Terms

Pax Mongolica

A historiographical term, modeled after the original phrase Pax Romana, which describes the stabilizing effects of the conquests of the Mongol Empire on the social, cultural, and economic life of the inhabitants of the vast Eurasian territory that the Mongols conquered in the 13th and 14th centuries. The term is used to describe the eased communication and commerce that the unified administration helped to create, and the period of relative peace that followed the Mongols’ vast conquests.

Tabula Rogeriana

A book containing a description of the world and world map created by the Arab geographer, Muhammad al-Idrisi, in 1154. Written in Arabic, it is divided into seven climate zones and contains maps showing the Eurasian continent in its entirety, but only the northern part of the African continent. The map is oriented with the North at the bottom. It remained the most accurate world map for the next three centuries.

Maritime republics

City-states that flourished in Italy and across the Mediterranean. From the 10th to the 13th centuries, they built fleets of ships both for their own protection and to support extensive trade networks across the Mediterranean, giving them an essential role in the Crusades.

Background

European medieval knowledge about Asia beyond the reach of Byzantine Empire was sourced in partial reports, often obscured by legends, dating back from the time of the conquests of Alexander the Great and his successors. In 1154, Arab geographer Muhammad al-Idrisi created what would be known as the Tabula Rogeriana at the court of King Roger II of Sicily. The book, written in Arabic, is a description of the world and world map. It is divided into seven climate zones and contains maps showing the Eurasian continent in its entirety, but only the northern part of the African continent. It remained the most accurate world map for the next three centuries, but it also demonstrated that Africa was only partially known to either Christians, Genoese and Venetians, or the Arab seamen, and its southern extent was unknown. Knowledge about the Atlantic African coast was fragmented, and derived mainly from old Greek and Roman maps based on Carthaginian knowledge, including the time of Roman exploration of Mauritania. The Red Sea was barely known and only trade links with the Maritime republics, the Republic of Venice especially, fostered collection of accurate maritime knowledge.

Indian Ocean trade routes were sailed by Arab traders. Between 1405 and 1421, the Yongle Emperor of Ming China sponsored a series of long-range tributary missions. The fleets visited Arabia, East Africa, India, Maritime Southeast Asia, and Thailand. But the journeys, reported by Ma Huan, a Muslim voyager and translator, were halted abruptly after the emperor’s death, and were not followed up, as the Chinese Ming Dynasty retreated in the haijin, a policy of isolationism, having limited maritime trade.

Prelude to the Age of Discovery

A series of European expeditions crossing Eurasia by land in the late Middle Ages marked a prelude to the Age of Discovery. Although the Mongols had threatened Europe with pillage and destruction, Mongol states also unified much of Eurasia and, from 1206 on, the Pax Mongolica allowed safe trade routes and communication lines stretching from the Middle East to China. A series of Europeans took advantage of these in order to explore eastward. Most were Italians, as trade between Europe and the Middle East was controlled mainly by the Maritime republics.

Christian embassies were sent as far as Karakorum during the Mongol invasions of Syria, from which they gained a greater understanding of the world. The first of these travelers was Giovanni da Pian del Carpine, who journeyed to Mongolia and back from 1241 to 1247. About the same time, Russian prince Yaroslav of Vladimir, and subsequently his sons, Alexander Nevsky and Andrey II of Vladimir, traveled to the Mongolian capital. Though having strong political implications, their journeys left no detailed accounts. Other travelers followed, like French André de Longjumeau and Flemish William of Rubruck, who reached China through Central Asia. From 1325 to 1354, a Moroccan scholar from Tangier, Ibn Battuta, journeyed through North Africa, the Sahara desert, West Africa, Southern Europe, Eastern Europe, the Horn of Africa, the Middle East and Asia, having reached China. In 1439, Niccolò de’ Conti published an account of his travels as a Muslim merchant to India and Southeast Asia and, later in 1466-1472, Russian merchant Afanasy Nikitin of Tver travelled to India.

Marco Polo, a Venetian merchant, dictated an account of journeys throughout Asia from 1271 to 1295. His travels are recorded in Book of the Marvels of the World, (also known as The Travels of Marco Polo, c. 1300),

a book which did much to introduce Europeans to Central Asia and China. Marco Polo was not the first European to reach China, but he was the first to leave a detailed chronicle of his experience. The book inspired Christopher Columbus and many other travelers.

The Travels of Marco Polo

Marco Polo traveling, miniature from the book The Travels of Marco Polo (Il milione), originally published during Polo’s lifetime (c. 1254-January 8, 1324), but frequently reprinted and translated.

The painting shows a ship on a river or inlet anchored near a castle wall. The ship is filled with animals, including one elephant and three camels. One of the men from the ship, presumably Marco Polo, speaks men at the gate.

The Age of Discovery

The geographical exploration of the late Middle Ages eventually led to what today is known as the Age of Discovery: a loosely defined European historical period, from the 15th century to the 18th century, that witnessed extensive overseas exploration emerge as a powerful factor in European culture and globalization. Many lands previously unknown to Europeans were discovered during this period, though most were already inhabited, and, from the perspective of non-Europeans, the period was not one of discovery, but one of invasion and the arrival of settlers from a previously unknown continent. Global exploration started with the successful Portuguese travels to the Atlantic archipelagos of Madeira and the Azores, the coast of Africa, and the sea route to India in 1498; and, on behalf of the Crown of Castile (Spain), the trans-Atlantic Voyages of Christopher Columbus between 1492 and 1502, as well as the first circumnavigation of the globe in 1519-1522. These discoveries led to numerous naval expeditions across the Atlantic, Indian and Pacific oceans, and land expeditions in the Americas, Asia, Africa, and Australia that continued into the late 19th century, and ended with the exploration of the polar regions in the 20th century.

19.2.2: Portuguese Explorers

Learning Objective

Compare the Portuguese Atlantic explorations from 1415-1488 with the Indian Exploration, led by Vasco da Gama from 1497-1542

Key Points

• Portuguese sailors were at
  the vanguard of European overseas exploration, discovering and mapping the
  coasts of Africa, Asia, and Brazil. As early as 1317, King Denis made an
  agreement with Genoese merchant sailor Manuel Pessanha, laying the basis for the Portuguese Navy and the establishment
  of a powerful Genoese merchant community in Portugal. 
• In 1415, the city of Ceuta
  was occupied by the Portuguese in an effort to control
  navigation of the African coast. Henry the Navigator, aware of profit possibilities in the Saharan trade routes, invested
  in sponsoring voyages that, within two decades of exploration, allowed Portuguese ships to bypass the Sahara.
• The
  Portuguese goal of finding a sea route to Asia was finally
  achieved in a ground-breaking voyage commanded by Vasco da Gama, who reached Calicut in western India in 1498, becoming the first European to reach India.
• The
  second voyage to India was dispatched in 1500 under Pedro Álvares Cabral. While
  following the same south-westerly route as Gama across the Atlantic Ocean,
  Cabral made landfall on the Brazilian coast—

  the territory that he recommended Portugal settle. 

• Portugal’s purpose in the Indian Ocean was to ensure the monopoly of the spice
  trade. Taking advantage of the rivalries that pitted Hindus against Muslims,
  the Portuguese established several forts and trading posts between 1500 and
  1510.
• Portugal established
  trading ports at far-flung locations like Goa, Ormuz, Malacca, Kochi, the
  Maluku Islands, Macau, and Nagasaki. Guarding its trade from both European and
  Asian competitors, it dominated not only the trade between Asia and Europe, but
  also much of the trade between different regions of Asia, such as India, Indonesia,
  China, and Japan.

Key Terms

Cape of Good Hope

A rocky headland on the Atlantic coast of the Cape Peninsula, South Africa, named because of the great optimism engendered by the opening of a sea route to India and the East.

Vasco da Gama

A Portuguese explorer and one of the most famous and celebrated explorers from the Age of Discovery; the first European to reach India by sea.

Introduction

Portuguese sailors were at the vanguard of European overseas exploration, discovering and mapping the coasts of Africa, Asia, and Brazil. As early as 1317, King Denis made an agreement with Genoese merchant sailor Manuel Pessanha (Pesagno), appointing him first Admiral with trade privileges with his homeland, in return for twenty war ships and crews, with the goal of defending the country against Muslim pirate raids. This created the basis for the Portuguese Navy and the establishment of a Genoese merchant community in Portugal. 

In the second half of the 14th century, outbreaks of bubonic plague led to severe depopulation; the economy was extremely localized in a few towns, unemployment rose, and migration led to agricultural land abandonment. Only the sea offered alternatives, with most people settling in fishing and trading in coastal areas. Between 1325-1357, Afonso IV of Portugal granted public funding to raise a proper commercial fleet, and ordered the first maritime explorations, with the help of Genoese, under command of admiral Pessanha. In 1341, the Canary Islands, already known to Genoese, were officially explored under the patronage of the Portuguese king, but in 1344, Castile disputed them, further propelling the Portuguese navy efforts.

Atlantic Exploration  

In 1415, the city of Ceuta (north coast of Africa)
was occupied by the Portuguese aiming to control navigation of the African coast. Young Prince Henry the Navigator was there and became aware of profit possibilities in the Saharan trade routes. He invested in sponsoring voyages down the coast of Mauritania, gathering a group of merchants, shipowners, stakeholders, and participants interested in the sea lanes.

Henry the Navigator took the lead role in encouraging Portuguese maritime exploration, until his death in 1460. At the time, Europeans did not know what lay beyond Cape Bojador on the African coast.
In 1419, two of Henry’s captains, João Gonçalves Zarco and Tristão Vaz Teixeira, were driven by a storm to Madeira, an uninhabited island off the coast of Africa, which had probably been known to Europeans since the 14th century. In 1420, Zarco and Teixeira returned with Bartolomeu Perestrelo and began Portuguese settlement of the islands.
A Portuguese attempt to capture Grand Canary, one of the nearby Canary Islands, which had been partially settled by Spaniards in 1402, was unsuccessful and met with protests from Castile. Around the same time, the Portuguese began to explore the North African coast.
Diogo Silves reached the Azores island of Santa Maria in 1427, and in the following years, Portuguese discovered and settled the rest of the Azores. Within two decades of exploration, Portuguese ships bypassed the Sahara.

In 1443, Prince Pedro, Henry’s brother, granted him the monopoly of navigation, war, and trade in the lands south of Cape Bojador. Later, this monopoly would be enforced by two Papal bulls (1452 and 1455), giving Portugal the trade monopoly for the newly appropriated territories, laying the foundations for the Portuguese empire.

India and Brazil

The long-standing Portuguese goal of finding a sea route to Asia was finally achieved in a ground-breaking voyage commanded by Vasco da Gama. His squadron left Portugal in 1497, rounded the Cape and continued along the coast of East Africa, where a local pilot was brought on board who guided them across the Indian Ocean, reaching Calicut in western India in May 1498. Reaching the legendary Indian spice routes unopposed helped the Portuguese improve their economy that, until Gama, was mainly based on trades along Northern and coastal West Africa. These spices were at first mostly pepper and cinnamon, but soon included other products, all new to Europe. This led to a commercial monopoly for several decades.

The second voyage to India was dispatched in 1500 under Pedro Álvares Cabral. While following the same south-westerly route as Gama across the Atlantic Ocean, Cabral made landfall on the Brazilian coast. This was probably an accident but it has been speculated that the Portuguese knew of Brazil’s existence. Cabral recommended to the Portuguese king that the land be settled, and two follow-up voyages were sent in 1501 and 1503. The land was found to be abundant in pau-brasil, or brazilwood, from which it later inherited its name, but the failure to find gold or silver meant that for the time being Portuguese efforts were concentrated on India.

Gama’s voyage was significant and paved the way for the Portuguese to establish a long-lasting colonial empire in Asia. The route meant that the Portuguese would not need to cross the highly disputed Mediterranean, or the dangerous Arabian Peninsula, and that the entire voyage would be made by sea.

First Voyage of Vasco da Gama

The route followed in Vasco da Gama’s first voyage (1497-1499). Gama’s  squadron left Portugal in 1497, rounded the Cape and continued along the coast of East Africa. They reached Calicut in western India in May 1498.

The map shows that Vasco de Gama rounded the Cape of Good Hope, stopping at St. Helena Bay, Mossel Bay, and Natal. His expedition then traveled north along the east coast of Africa, making four stops, including stopping in Mombasa and Malindi. The expedition then crossed the Arabian Sea to India, where they stopped in Calicut and then Goa.

Indian Ocean and Southeast Asia Explorations

The aim of Portugal in the Indian Ocean was to ensure the monopoly of the spice trade. Taking advantage of the rivalries that pitted Hindus against Muslims, the Portuguese established several forts and trading posts between 1500 and 1510. After the victorious sea Battle of Diu, Turks and Egyptians withdrew their navies from India, setting the Portuguese trade dominance for almost a century, and greatly contributing to the growth of the Portuguese Empire. It also marked the beginning of the European colonial dominance in Asia. A second Battle of Diu in 1538 ended Ottoman ambitions in India, and confirmed Portuguese hegemony in the Indian Ocean.

In 1511, Albuquerque sailed to Malacca in Malaysia, the most important eastern point in the trade network, where Malay met Gujarati, Chinese, Japanese, Javan, Bengali, Persian, and Arabic traders. The port of Malacca became the strategic base for Portuguese trade expansion with China and Southeast Asia. Eventually, the Portuguese Empire expanded into the Persian Gulf as Portugal contested control of the spice trade with the Ottoman Empire. In a shifting series of alliances, the Portuguese dominated much of the southern Persian Gulf for the next hundred years. 

A Portuguese explorer funded by the Spanish Crown, Ferdinand Magellan, organized the Castilian (Spanish) expedition to the East Indies from 1519 to 1522. Selected by King Charles I of Spain to search for a westward route to the Maluku Islands (the “Spice Islands,” today’s Indonesia), he headed south through the Atlantic Ocean to Patagonia, passing through the Strait of Magellan into a body of water he named the “peaceful sea” (the modern Pacific Ocean). Despite a series of storms and mutinies, the expedition reached the Spice Islands in 1521, and returned home via the Indian Ocean to complete the first circuit of the globe. 

In 1525, after Magellan’s expedition, Spain, under Charles V, sent an expedition to colonize the Maluku islands. García Jofre de Loaísa reached the islands and the conflict with the Portuguese was inevitable, starting nearly a decade of skirmishes. An agreement was reached only with the Treaty of Zaragoza (1529), attributing the Maluku to Portugal, and the Philippines to Spain.

Portugal established trading ports at far-flung locations like Goa, Ormuz, Malacca, Kochi, the Maluku Islands, Macau, and Nagasaki. Guarding its trade from both European and Asian competitors, it dominated not only the trade between Asia and Europe, but also much of the trade between different regions of Asia, such as India, Indonesia, China, and Japan. Jesuit missionaries followed the Portuguese to spread Roman Catholic Christianity to Asia, with mixed success.

19.2.3: Spanish Exploration

Learning Objective

Outline the successes and failures of Christopher Columbus during his four voyages to the Americas

Key Points

• Only late in the 15th century
  did an emerging modern Spain become fully committed to the search for new trade
  routes overseas. In 1492, Christopher Columbus’s expedition was funded in the hope of bypassing
  Portugal’s monopoly on west African sea routes, to reach “the Indies.”
• On the evening of August 3, 1492, Columbus
  departed from Palos de la Frontera with three ships. Land was sighted on October 12, 1492 and Columbus called the island (now
  The Bahamas) San Salvador, in what he thought to be the “West
  Indies.”  Following
  the first American voyage, Columbus made three more. 
• A division of
  influence became necessary to avoid conflict between the Spanish and
  Portuguese. An agreement was reached in 1494, with the Treaty of Tordesillas
  dividing the world between the two powers. 
• After
  Columbus, the Spanish colonization of the Americas was led by a series of
  soldier-explorers, called conquistadors. The Spanish forces, in addition to
  significant armament and equestrian advantages, exploited the rivalries between
  competing indigenous peoples, tribes, and nations.
• One
  of the most accomplished conquistadors was Hernán Cortés, who achieved the Spanish conquest of the
  Aztec Empire. Of equal
  importance was the Spanish conquest of the Inca Empire under
  Francisco Pizarro.
• In
  1565, the first permanent Spanish settlement in the Philippines was founded, which added a critical Asian post to the empire. The
  Manilla Galleons shipped goods from all over Asia, across the Pacific to
  Acapulco on the coast of Mexico.

Key Terms

Christopher Columbus

An Italian explorer, navigator, and colonizer who completed four voyages across the Atlantic Ocean under the monarchy of Spain, which led to general European awareness of the American continents.

Treaty of Tordesillas

A 1494 treaty that divided the newly discovered lands outside Europe between Portugal and the Crown of Castile, along a meridian 370 leagues west of the Cape Verde islands, off the west coast of Africa. This line of demarcation was about halfway between the Cape Verde islands (already Portuguese) and the islands entered by Christopher Columbus on his first voyage (claimed for Castile and León).

Treaty of Zaragoza

A 1529 peace treaty between the Spanish Crown and Portugal that defined the areas of Castilian (Spanish) and Portuguese influence in Asia to resolve the “Moluccas issue,” when both kingdoms claimed the Moluccas islands for themselves, considering it within their exploration area established by the Treaty of Tordesillas in 1494. The conflict sprang in 1520, when the expeditions of both kingdoms reached the Pacific Ocean, since there was not a set limit to the east.

reconquista

A period in the history of the Iberian Peninsula, spanning approximately 770 years, between the initial Umayyad conquest of Hispania in the 710s, and the fall of the Emirate of Granada, the last Islamic state on the peninsula, to expanding Christian kingdoms in 1492.

Introduction

While Portugal led European explorations of non-European territories, its neighboring fellow Iberian rival, Castile, embarked upon its own mission to create an overseas empire. It began to establish its rule over the Canary Islands, located off the West African coast, in 1402, but then became distracted by internal Iberian politics and the repelling of Islamic invasion attempts and raids through most of the 15th century. Only late in the century, following the unification of the crowns of Castile and Aragon and the completion of the reconquista, did an emerging modern Spain become fully committed to the search for new trade routes overseas. In 1492, the joint rulers conquered the Moorish kingdom of Granada, which had been providing Castile with African goods through tribute, and decided to fund Christopher Columbus’s expedition in the hope of bypassing Portugal’s monopoly on west African sea routes, to reach “the Indies” (east and south Asia) by traveling west. Twice before, in 1485 and 1488, Columbus had presented the project to king John II of Portugal, who rejected it.

Columbus’s Voyages

On the evening of August 3, 1492, Columbus departed from Palos de la Frontera with three ships: Santa María, Pinta (the Painted) and Santa Clara. Columbus first sailed to the Canary Islands, where he restocked for what turned out to be a five-week voyage across the ocean, crossing a section of the Atlantic that became known as the Sargasso Sea. Land was sighted on October 12, 1492, and Columbus called the island (now The Bahamas) San Salvador, in what he thought to be the “West Indies.” He also explored the northeast coast of Cuba and the northern coast of Hispaniola. Columbus left 39 men behind and founded the settlement of La Navidad in what is present-day Haiti. 

Following the first American voyage, Columbus made three more. During the second, 1493, voyage, he enslaved 560 native Americans, in spite of the Queen’s explicit opposition to the idea. Their transfer to Spain resulted in the death and disease of hundreds of the captives. The object of the third voyage was to verify the existence of a continent that King John II of Portugal claimed was located to the southwest of the Cape Verde Islands. In 1498, Columbus left port with a fleet of six ships. He explored the Gulf of Paria, which separates Trinidad from mainland Venezuela, and then the mainland of South America. Columbus described these new lands as belonging to a previously unknown new continent, but he pictured them hanging from China. Finally, the fourth voyage, nominally in search of a westward passage to the Indian Ocean, left Spain in 1502. Columbus spent two months exploring the coasts of Honduras, Nicaragua, and Costa Rica, before arriving in Almirante Bay, Panama. After his ships sustained serious damage in a storm off the coast of Cuba, Columbus and his men remained stranded on Jamaica for a year. Help finally arrived and Columbus and his men arrived in Castile in November 1504.

The Treaty of Tordesillas

Shortly after Columbus’s arrival from the “West Indies,” a division of influence became necessary to avoid conflict between the Spanish and Portuguese. An agreement was reached in 1494 with the Treaty of Tordesillas, which divided the world between the two powers. In the treaty, the Portuguese received everything outside Europe east of a line that ran 370 leagues west of the Cape Verde islands (already Portuguese), and the islands reached by Christopher Columbus on his first voyage (claimed for Spain—Cuba, and Hispaniola). This gave them control over Africa, Asia, and eastern South America (Brazil). The Spanish (Castile) received everything west of this line, territory that was still almost completely unknown, and proved to be mostly the western part of the Americas, plus the Pacific Ocean islands.

“The First Voyage”, chromolithograph by L. Prang & Co., published by The Prang Educational Co., Boston, 1893

A scene of Christopher Columbus bidding farewell to the Queen of Spain on his departure for the New World, August 3, 1492.

Further Explorations of the Americas

After Columbus, the Spanish colonization of the Americas was led by a series of soldier-explorers, called conquistadors. The Spanish forces, in addition to significant armament and equestrian advantages, exploited the rivalries between competing indigenous peoples, tribes, and nations, some of which were willing to form alliances with the Spanish in order to defeat their more powerful enemies, such as the Aztecs or Incas—a tactic that would be extensively used by later European colonial powers. The Spanish conquest was also facilitated by the spread of diseases (e.g., smallpox), common in Europe but never present in the New World, which reduced the indigenous populations in the Americas. This caused labor shortages for plantations and public works, and so the colonists initiated the Atlantic slave trade. 

One of the most accomplished conquistadors was Hernán Cortés, who led a relatively small Spanish force, but with local translators and the crucial support of thousands of native allies, achieved the Spanish conquest of the Aztec Empire in the campaigns of 1519-1521 (present day Mexico). Of equal importance was the Spanish conquest of the Inca Empire. After years of preliminary exploration and military skirmishes, 168 Spanish soldiers under Francisco Pizarro, and their native allies, captured the Sapa Inca Atahualpa in the 1532 Battle of Cajamarca. It was the first step in a long campaign that took decades of fighting, but ended in Spanish victory in 1572 and colonization of the region as the Viceroyalty of Peru. The conquest of the Inca Empire led to spin-off campaigns into present-day Chile and Colombia, as well as expeditions towards the Amazon Basin.

Further Spanish settlements were progressively established in the New World: New Granada in the 1530s (later in the Viceroyalty of New Granada in 1717 and present day Colombia), Lima in 1535 as the capital of the Viceroyalty of Peru, Buenos Aires in 1536 (later in the Viceroyalty of the Río de la Plata in 1776), and Santiago in 1541. Florida was colonized in 1565 by Pedro Menéndez de Avilés. 

The Portuguese Ferdinand Magellan died while in the Philippines commanding a Castilian expedition in 1522, which was the first to circumnavigate the globe. The Basque commander, Juan Sebastián Elcano, would lead the expedition to success. Therefore, Spain sought to enforce their rights in the Moluccan islands, which led a conflict with the Portuguese, but the issue was resolved with the Treaty of Zaragoza (1525). In 1565, the first permanent Spanish settlement in the Philippines was founded by Miguel López de Legazpi, and the service of Manila Galleons was inaugurated. The Manilla Galleons shipped goods from all over Asia across the Pacific to Acapulco on the coast of Mexico. From there, the goods were transshipped across Mexico to the Spanish treasure fleets, for shipment to Spain. The Spanish trading post of Manila was established to facilitate this trade in 1572. 

19.2.4: England and the High Seas

Learning Objective

Explain why England was interested in establishing a maritime empire

Key Points

• In 1496, King Henry VII of England, following
  the successes of Spain and Portugal in overseas exploration, commissioned John
  Cabot to lead a voyage to discover a route
  to Asia via the North Atlantic. Cabot sailed in 1497 and he successfully made
  landfall on the coast of Newfoundland but did not establish a colony. 
• In 1562, the English Crown encouraged the
  privateers John Hawkins and Francis Drake to engage in slave-raiding attacks
  against Spanish and Portuguese ships off the coast of West Africa, with the aim
  of breaking into the Atlantic trade system. Drake carried out the second
  circumnavigation of the world in a single expedition, from 1577 to 1580.
• In
  1578, Elizabeth I granted a patent to Humphrey Gilbert for discovery and
  overseas exploration. In 1583, he
  claimed the harbor of Newfoundland
  for England, but no settlers were left
  behind. Gilbert did not survive the return journey to England, and was
  succeeded by his half-brother, Walter Raleigh, who founded the colony of Roanoke, the first but failed British settlement.
• In the first decade of the 17th century, English attention shifted from preying on other
  nations’ colonial infrastructures to the business of establishing its own
  overseas colonies. The Caribbean initially provided England’s most important
  and lucrative colonies.
• The
  introduction of the 1951 Navigation Acts led to war with the Dutch Republic, which was the first war
  fought largely, on the English side, by purpose-built, state-owned warships.
  After the English monarchy was restored in 1660, Charles II re-established the
  Navy, but as a national institution known, since then, as “The Royal Navy.”
• Throughout the 17th century, the British established numerous successful American colonies, all based largely on slave labor. The colonization of the Americas and the participation in the Atlantic slave trade allowed the British to gradually build the most powerful European empire. 

Key Terms

First Anglo-Dutch War

A 1652-1654 conflict fought entirely at sea between the navies of the Commonwealth of England and the United Provinces of the Netherlands. Caused by disputes over trade, the war began with English attacks on Dutch merchant shipping, but expanded to vast fleet actions. Ultimately, it resulted in the English Navy gaining control of the seas around England, and forced the Dutch to accept an English monopoly on trade with England and her colonies.

Navigation Acts

A series of English laws that restricted the use of foreign ships for trade between every country except England. They were first enacted in 1651, and were repealed nearly 200 years later in 1849. They reflected the policy of mercantilism, which sought to keep all the benefits of trade inside the empire, and minimize the loss of gold and silver to foreigners.

Roanoke

Also known as the Lost Colony; a late 16th-century attempt by Queen Elizabeth I to establish a permanent English settlement in the Americas. The colony was founded by Sir Walter Raleigh. The colonists disappeared during the Anglo-Spanish War, three years after the last shipment of supplies from England.

Plymouth

An English colonial venture in North America from 1620 to 1691, first surveyed and named by Captain John Smith. The settlement served as the capital of the colony and at its height, it occupied most of the southeastern portion of the modern state of Massachusetts.

Jamestown

The first permanent English settlement in the Americas, established by the Virginia Company of London as “James Fort” on May 4, 1607, and considered permanent after brief abandonment in 1610. It followed several earlier failed attempts, including the Lost Colony of Roanoke.

Introduction

The foundations of the British Empire were laid when England and Scotland were separate kingdoms. In 1496, King Henry VII of England, following the successes of Spain and Portugal in overseas exploration, commissioned John Cabot (Venetian born as
Giovanni Caboto) to lead a voyage to discover a route to Asia via the North Atlantic.
Spain put limited efforts into exploring the northern part of the Americas, as its resources were concentrated in Central and South America where more wealth had been found.
Cabot sailed in 1497, five years after Europeans reached America, and although he successfully made landfall on the coast of Newfoundland (mistakenly believing, like Christopher Columbus, that he had reached Asia), there was no attempt to found a colony. Cabot led another voyage to the Americas the following year, but nothing was heard of his ships again.

The Early Empire

No further attempts to establish English colonies in the Americas were made until well into the reign of Queen Elizabeth I, during the last decades of the 16th century. In the meantime, the Protestant Reformation had turned England and Catholic Spain into implacable enemies. In 1562, the English Crown encouraged the privateers John Hawkins and Francis Drake to engage in slave-raiding attacks against Spanish and Portuguese ships off the coast of West Africa, with the aim of breaking into the Atlantic trade system. Drake carried out the second circumnavigation of the world in a single expedition, from 1577 to 1580, and was the first to complete the voyage as captain while leading the expedition throughout the entire circumnavigation. With his incursion into the Pacific, he inaugurated an era of privateering and piracy in the western coast of the Americas—an area that had previously been free of piracy.

In 1578, Elizabeth I granted a patent to Humphrey Gilbert for discovery and overseas exploration. That year, Gilbert sailed for the West Indies with the intention of engaging in piracy and establishing a colony in North America, but the expedition was aborted before it had crossed the Atlantic. In 1583, he embarked on a second attempt, on this occasion to the island of Newfoundland whose harbor he formally claimed for England, although no settlers were left behind. Gilbert did not survive the return journey to England, and was succeeded by his half-brother, Walter Raleigh, who was granted his own patent by Elizabeth in 1584. Later that year, Raleigh founded the colony of Roanoke on the coast of present-day North Carolina, but lack of supplies caused the colony to fail.

Empire in the Americas

In 1603, James VI, King of Scots, ascended (as James I) to the English throne, and in 1604 negotiated the Treaty of London, ending hostilities with Spain. Now at peace with its main rival, English attention shifted from preying on other nations’ colonial infrastructures, to the business of establishing its own overseas colonies. The Caribbean initially provided England’s most important and lucrative colonies. Colonies in Guiana, St Lucia, and Grenada failed but settlements were successfully established in St. Kitts (1624), Barbados (1627), and Nevis (1628). The colonies soon adopted the system of sugar plantations, successfully used by the Portuguese in Brazil, which depended on slave labor, and—at first—Dutch ships, to sell the slaves and buy the sugar. To ensure that the increasingly healthy profits of this trade remained in English hands, Parliament decreed in the 1651 Navigation Acts that only English ships would be able to ply their trade in English colonies.
In 1655, England annexed the island of Jamaica from the Spanish, and in 1666 succeeded in colonizing the Bahamas.

African slaves working in 17th-century Virginia (tobacco cultivation), by an unknown artist, 1670

In 1672, the Royal African Company was inaugurated, receiving from King Charles a monopoly of the trade to supply slaves to the British colonies of the Caribbean. From the outset, slavery was the basis of the British Empire in the West Indies and later in North America. Until the abolition of the slave trade in 1807, Britain was responsible for the transportation of 3.5 million African slaves to the Americas, a third of all slaves transported across the Atlantic.

The introduction of the Navigation Acts led to war with the Dutch Republic. In the early stages of this First Anglo-Dutch War (1652-1654), the superiority of the large, heavily armed English ships was offset by superior Dutch tactical organization. English tactical improvements resulted in a series of crushing victories in 1653, bringing peace on favorable terms. This was the first war fought largely, on the English side, by purpose-built, state-owned warships. After the English monarchy was restored in 1660, Charles II re-established the navy, but from this point on, it ceased to be the personal possession of the reigning monarch, and instead became a national institution, with the title of “The Royal Navy.”

England’s first permanent settlement in the Americas was founded in 1607 in Jamestown, led by Captain John Smith and managed by the Virginia Company. Bermuda was settled and claimed by England as a result of the 1609 shipwreck there of the Virginia Company’s flagship. The Virginia Company’s charter was revoked in 1624 and direct control of Virginia was assumed by the crown, thereby founding the Colony of Virginia. In 1620, Plymouth was founded as a haven for puritan religious separatists, later known as the Pilgrims. Fleeing from religious persecution would become the motive of many English would-be colonists to risk the arduous trans-Atlantic voyage; Maryland was founded as a haven for Roman Catholics (1634), Rhode Island (1636) as a colony tolerant of all religions, and Connecticut (1639) for Congregationalists. The Province of Carolina was founded in 1663. With the surrender of Fort Amsterdam in 1664, England gained control of the Dutch colony of New Netherland, renaming it New York. In 1681, the colony of Pennsylvania was founded by William Penn. The American colonies were less financially successful than those of the Caribbean, but had large areas of good agricultural land and attracted far larger numbers of English emigrants who preferred their temperate climates.

From the outset, slavery was the basis of the British Empire in the West Indies. Until the abolition of the slave trade in 1807, Britain was responsible for the transportation of 3.5 million African slaves to the Americas, a third of all slaves transported across the Atlantic. In the British Caribbean, the percentage of the population of African descent rose from 25% in 1650 to around 80% in 1780, and in the 13 Colonies from 10% to 40% over the same period (the majority in the southern colonies). For the slave traders, the trade was extremely profitable, and became a major economic mainstay.

Map of the British colonies in North America, 1763 to 1775. First published in: Shepherd, William Robert (1911) “The British Colonies in North America, 1763–1765” in Historical Atlas, New York, United States: Henry Holt and Company, p. 194.

Although Britain was relatively late in its efforts to explore and colonize the New World, lagging behind Spain and Portugal, it eventually gained significant territories in North America and the Caribbean.  

The map shows British holdings in North America, including the thirteen original colonies of the United States and a portion of present-day Canada controlled by the Hudson Bay Company.

19.2.5: French Explorers

Learning Objective

Describe some of the discoveries made by French explorers

Key Points

• Competing with Spain, Portugal, the Dutch Republic, and later Britain, France began to establish
  colonies in North America, the Caribbean, and India in the 17th century.
  Major French exploration of North America began under
  the rule of Francis I of France. In 1524, he sent Italian-born Giovanni da
  Verrazzano to explore the region between Florida and
  Newfoundland for a route to the Pacific Ocean. 
• In 1534, Francis sent Jacques Cartier on
  the first of three voyages to explore the coast of Newfoundland and the St.
  Lawrence River. Cartier founded New France and was the first European to travel inland in North America.
• Cartier attempted to create the first permanent
  European settlement in North America at Cap-Rouge (Quebec City) in 1541,  but the settlement was abandoned the next year. A number of
  other failed attempts to establish French settlements in North America followed
  throughout the rest of the 16th century. 
• Prior to the establishment of the 1663 Sovereign
  Council, the territories of New France were developed as mercantile colonies.
  It was only after 1665 that France gave its American colonies the proper means
  to develop population colonies comparable to that of the British. By the first
  decades of the 18th century, the French created and controlled a number of settlement colonies in North America. 
• As the French empire in North America grew, the
  French also began to build a smaller but more profitable empire in the West
  Indies. 
• While the French quite rapidly lost nearly all of its colonial gains in the Americas, their colonial expansion also covered territories in Africa and Asia where France grew to be a major colonial power in the 19th century.

Key Terms

New France

The area colonized by France in North America during a period beginning with the exploration of the Saint Lawrence River by Jacques Cartier in 1534, and ending with the cession of New France to Spain and Great Britain in 1763. At its peak in 1712, the territory extended from Newfoundland to the Rocky Mountains, and from Hudson Bay to the Gulf of Mexico, including all the Great Lakes of North America.

Sovereign Council

A governing body in New France. It acted as both Supreme Court for the colony of New France and as a policy making body, although, its policy role diminished over time. Though officially established in 1663 by King Louis XIV, it was not created whole cloth, but rather evolved from earlier governing bodies.

mercantile colonies

Colonies that sought to derive the maximum material benefit from the colony, for the homeland, with a minimum of imperial investment in the colony itself. The mercantilist ideology at its foundations was embodied in New France through the establishment under Royal Charter of a number of corporate trading monopolies.

Carib Expulsion

The French-led ethnic cleansing that terminated most of the Carib population in 1660 from present-day Martinique. This followed the French invasion in 1635 and its conquest of the people on the Caribbean island, which made it part of the French colonial empire.

The French in the New World: New France

Competing with Spain, Portugal, the United Provinces (the Dutch Republic), and later Britain, France began to establish colonies in North America, the Caribbean, and India in the 17th century.
The French first came to the New World as explorers, seeking a route to the Pacific Ocean and wealth. Major French exploration of North America began under the rule of Francis I of France. In 1524, Francis sent Italian-born Giovanni da Verrazzano to explore the region between Florida and Newfoundland for a route to the Pacific Ocean. Verrazzano gave the names Francesca and Nova Gallia to the land between New Spain and English Newfoundland, thus promoting French interests.

In 1534, Francis sent Jacques Cartier on the first of three voyages to explore the coast of Newfoundland and the St. Lawrence River. Cartier founded New France by planting a cross on the shore of the Gaspé Peninsula. He is believed to have accompanied Verrazzano to Nova Scotia and Brazil, and was the first European to travel inland in North America, describing the Gulf of Saint Lawrence, which he named “The Country of Canadas” after Iroquois names, and claiming what is now Canada for France.

He attempted to create the first permanent European settlement in North America at Cap-Rouge (Quebec City) in 1541 with 400 settlers, but the settlement was abandoned the next year. A number of other failed attempts to establish French settlement in North America followed throughout the rest of the 16th century. 

Portrait of Jacques Cartier by Théophile Hamel (1844), Library and Archives Canada (there are no known paintings of Cartier that were created during his lifetime)

In 1534, Jacques Cartier planted a cross in the Gaspé Peninsula and claimed the land in the name of King Francis I. It was the first province of New France. However, initial French attempts at settling the region met with failure.

Although, through alliances with various Native American tribes, the French were able to exert a loose control over much of the North American continent, areas of French settlement were generally limited to the St. Lawrence River Valley. Prior to the establishment of the 1663 Sovereign Council, the territories of New France were developed as mercantile colonies. It was only after 1665 that France gave its American colonies the proper means to develop population colonies comparable to that of the British.
By the first decades of the 18th century, the French created and controlled such colonies as Quebec, La Baye des Puants (present-day Green Bay), Ville-Marie (Montreal), Fort Pontchartrain du Détroit (modern-day Detroit), or La Nouvelle Orléans (New Orleans) and Baton Rouge. However, there was relatively little interest in colonialism in France, which concentrated on dominance within Europe, and for most of its history, New France was far behind the British North American colonies in both population and economic development. Acadia itself was lost to the British in 1713.

In 1699, French territorial claims in North America expanded still further, with the foundation of Louisiana in the basin of the Mississippi River. The extensive trading network throughout the region connected to Canada through the Great Lakes, was maintained through a vast system of fortifications, many of them centered in the Illinois Country and in present-day Arkansas. 

Map of North America (1750): France (blue), Britain (pink), and Spain (orange)

New France was the area colonized by France in North America during a period beginning with the exploration of the Saint Lawrence River by Jacques Cartier in 1534, and ending with the cession of New France to Spain and Great Britain in 1763. At its peak in 1712, the territory of New France extended from Newfoundland to the Rocky Mountains, and from Hudson Bay to the Gulf of Mexico, including all the Great Lakes of North America.

The map shows that the entirety of present-day New Brunswick, Prince Edward Island, Ohio, Michigan, Indiana, Mississippi, Wisconsin, Illinois, Missouri, Arkansas, and Louisiana were controlled by France. It also shows that portions of present-day Newfoundland and Labrador, Quebec, Ontario, Manitoba, Saskatchewan, Maine, Vermont, New York, Pennsylvania, West Virginia, Kentucky, Tennessee, Alabama, Texas, Oklahoma, Kansas, Iowa, Minnesota, South Dakota, and North Dakota were controlled by France. It shows that the entirety of present-day New Hampshire, Massachusetts, Rhode Island, Connecticut, New Jersey, Maryland, and Delaware were controlled by the British. It also shows that portions of present-day Vermont, New York, Pennsylvania, West Virginia, Virginia, Kentucky, North Carolina, South Carolina, and Georgia were controlled by the British. It shows that present-day Nova Scotia and portions of Newfoundland, Quebec, Ontario, and Manitoba were ceded by France to Great Britain by the Treaty of Utrecht in 1713. Finally, it shows that portions of present-day Florida, Georgia, Alabama, Texas, Oklahoma, New Mexico, Colorado, Utah, Arizona, and Mexico were controlled by Spain.

The West Indies

As the French empire in North America grew, the French also began to build a smaller but more profitable empire in the West Indies. Settlement along the South American coast in what is today French Guiana began in 1624, and a colony was founded on Saint Kitts in 1625. Colonies in Guadeloupe and Martinique were founded in 1635 and on Saint Lucia in 1650. The food-producing plantations of these colonies were built and sustained through slavery, with the supply of slaves dependent on the African slave trade. Local resistance by the indigenous peoples resulted in the Carib Expulsion of 1660.

France’s most important Caribbean colonial possession was established in 1664, when the colony of Saint-Domingue (today’s Haiti) was founded on the western half of the Spanish island of Hispaniola. In the 18th century, Saint-Domingue grew to be the richest sugar colony in the Caribbean. The eastern half of Hispaniola (today’s Dominican Republic) also came under French rule for a short period, after being given to France by Spain in 1795.

In the middle of the 18th century, a series of colonial conflicts began between France and Britain, which ultimately resulted in the destruction of most of the first French colonial empire and the near complete expulsion of France from the Americas.

Africa and Asia

French colonial expansion wasn’t limited to the New World. In Senegal in West Africa, the French began to establish trading posts along the coast in 1624. In 1664, the French East India Company was established to compete for trade in the east. With the decay of the Ottoman Empire, in 1830 the French seized Algiers, thus beginning the colonization of French North Africa. Colonies were also established in India in Chandernagore (1673) and Pondichéry in the south east (1674), and later at Yanam (1723), Mahe (1725), and Karikal (1739). Finally, colonies were founded in the Indian Ocean, on the Île de Bourbon (Réunion, 1664), Isle de France (Mauritius, 1718), and the Seychelles (1756).

While the French never rebuilt its American gains, their influence in Africa and Asia expanded significantly over the course of the 19th century. 

19.3: The Scientific Revolution

19.3.1: Roots of the Scientific Revolution

The scientific revolution, which emphasized systematic experimentation as the most valid research method,
resulted in developments in mathematics, physics, astronomy, biology, and chemistry. These developments transformed the views of society about nature.

Learning Objective

Outline the changes that occurred during the Scientific Revolution that resulted in developments towards a new means for experimentation 

Key Points

• The scientific revolution was the emergence
  of modern science during the early modern period, when developments in
  mathematics, physics, astronomy, biology (including human anatomy), and
  chemistry transformed societal views about nature. 
• The change to the medieval idea of science occurred for four reasons: collaboration, the derivation of new experimental methods, the ability to build on the legacy of existing scientific philosophy, and institutions that enabled academic publishing.
• Under the scientific method, which was defined and
  applied in the 17th century, natural and artificial circumstances were
  abandoned and a research tradition of systematic experimentation was slowly
  accepted throughout the scientific community. 
• During the scientific revolution, changing
  perceptions about the role of the scientist in respect to nature, and the value of
  experimental or observed evidence, led to a scientific methodology in
  which empiricism played a large, but not absolute, role. 
• As the scientific revolution was not marked by
  any single change, many new ideas contributed. Some of them were revolutions in their own fields.
• Science
  came to play a leading role in Enlightenment discourse and thought. Many
  Enlightenment writers and thinkers had backgrounds in the sciences, and
  associated scientific advancement with the overthrow of religion and
  traditional authority in favor of the development of free speech and thought. 

Key Terms

scientific method

A body of techniques for investigating phenomena, acquiring new knowledge, or correcting and integrating previous knowledge, through the application of empirical or measurable evidence subject to specific principles of reasoning. It has characterized natural science since the 17th century, consisting in systematic observation, measurement, and experiment, and the formulation, testing, and modification of hypotheses.

Baconian method

The investigative method developed by Sir Francis Bacon. It was put forward in Bacon’s book Novum Organum (1620), (or New Method), and was supposed to replace the methods put forward in Aristotle’s Organon. This method was influential upon the development of the scientific method in modern science, but also more generally in the early modern rejection of medieval Aristotelianism.

Galileo

An Italian thinker (1564-1642) and key figure in the scientific revolution who improved the telescope, made astronomical observations, and put forward the basic principle of relativity in physics.

empiricism

A theory stating that knowledge comes only, or primarily, from sensory experience. It emphasizes evidence, especially the kind of evidence gathered through experimentation and by use of the scientific method.

British Royal Society

A British learned society for science; possibly the oldest such society still in existence, having been founded in November 1660.

The Scientific Revolution

The scientific revolution was the emergence of modern science during the early modern period, when developments in mathematics, physics, astronomy, biology (including human anatomy), and chemistry transformed societal views about nature. The scientific revolution began in Europe toward the end of the Renaissance period, and continued through the late 18th century, influencing the intellectual social movement known as the Enlightenment. While its dates are disputed, the publication in 1543 of Nicolaus Copernicus’s De revolutionibus orbium coelestium (On the Revolutions of the Heavenly Spheres) is often cited as marking the beginning of the scientific revolution.

The scientific revolution was built upon the foundation of ancient Greek learning and science in the Middle Ages, as it had been elaborated and further developed by Roman/Byzantine science and medieval Islamic science. The Aristotelian tradition was still an important intellectual framework in the 17th century, although by that time natural philosophers had moved away from much of it. Key scientific ideas dating back to classical antiquity had changed drastically over the years, and in many cases been discredited. The ideas that remained (for example, Aristotle’s cosmology, which placed the Earth at the center of a spherical hierarchic cosmos, or the Ptolemaic model of planetary motion) were transformed fundamentally during the scientific revolution.

The change to the medieval idea of science occurred for four reasons:

1. Seventeenth century scientists and philosophers were able to collaborate with members of the mathematical and astronomical communities to effect advances in all fields.
2. Scientists realized the inadequacy of medieval experimental methods for their work and so felt the need to devise new methods (some of which we use today).
3. Academics had access to a legacy of European, Greek, and Middle Eastern scientific philosophy that they could use as a starting point (either by disproving or building on the theorems).
4. Institutions (for example, the British Royal Society) helped validate science as a field by providing an outlet for the publication of scientists’ work.

New Methods

Under the scientific method that was defined and applied in the 17th century, natural and artificial circumstances were abandoned, and a research tradition of systematic experimentation was slowly accepted throughout the scientific community. The philosophy of using an inductive approach to nature (to abandon assumption and to attempt to simply observe with an open mind) was in strict contrast with the earlier, Aristotelian approach of deduction, by which analysis of known facts produced further understanding. In practice, many scientists and philosophers believed that a healthy mix of both was needed—the willingness to both question assumptions, and to interpret observations assumed to have some degree of validity.

During the scientific revolution, changing perceptions about the role of the scientist in respect to nature, the value of evidence, experimental or observed, led towards a scientific methodology in which empiricism played a large, but not absolute, role. The term British empiricism came into use to describe philosophical differences perceived between two of its founders—Francis Bacon, described as empiricist, and René Descartes, who was described as a rationalist.
Bacon’s works established and popularized inductive methodologies for scientific inquiry, often called the Baconian method, or sometimes simply the scientific method. His demand for a planned procedure of investigating all things natural marked a new turn in the rhetorical and theoretical framework for science, much of which still surrounds conceptions of proper methodology today. Correspondingly,
Descartes distinguished between the knowledge that
could be attained by reason alone (rationalist approach), as, for example, in mathematics, and the knowledge that required experience of the world, as in physics. 

Thomas Hobbes, George Berkeley, and David Hume were the primary exponents of empiricism, and developed a sophisticated empirical tradition as the basis of human knowledge. The recognized founder of the approach was John Locke, who proposed in An Essay Concerning Human Understanding (1689) that the only true knowledge that could be accessible to the human mind was that which was based on experience. 

New Ideas

Many new ideas contributed to what is called the scientific revolution. Some of them were revolutions in their own fields. These include: 

• The heliocentric model that involved the radical displacement of the earth to an orbit around the sun (as opposed to being seen as the center of the universe). Copernicus’ 1543 work on the heliocentric model of the solar system tried to demonstrate that the sun was the center of the universe.
  The discoveries of Johannes Kepler and Galileo gave the theory credibility and the work culminated in Isaac Newton’s Principia, which formulated the laws of motion and universal gravitation that dominated scientists’ view of the physical universe for the next three centuries.
• Studying human anatomy based upon the dissection of human corpses, rather than the animal dissections, as practiced for centuries.
• Discovering and studying magnetism and electricity, and thus, electric properties of various materials. 
• Modernization of disciplines (making them more as what they are today), including dentistry, physiology, chemistry, or optics.
• Invention of tools that deepened the understating of sciences, including mechanical calculator,
  steam digester (the forerunner of the steam engine), refracting and reflecting telescopes, vacuum pump, or mercury barometer. 

The Shannon Portrait of the Hon. Robert Boyle F. R. S. (1627-1691)

Robert Boyle (1627-1691), an Irish-born English scientist, was an early supporter of the scientific method and founder of modern chemistry. Boyle is known for his pioneering experiments on the physical properties of gases, his authorship of the Sceptical Chymist, his role in creating the Royal Society of London, and his philanthropy in the American colonies.

The Scientific Revolution and the Enlightenment

The scientific revolution laid the foundations for the Age of Enlightenment, which centered on reason as the primary source of authority and legitimacy, and emphasized the importance of the scientific method. By the 18th century, when the Enlightenment flourished, scientific authority began to displace religious authority, and disciplines until then seen as legitimately scientific (e.g.,  alchemy and astrology) lost scientific credibility.

Science came to play a leading role in Enlightenment discourse and thought. Many Enlightenment writers and thinkers had backgrounds in the sciences, and associated scientific advancement with the overthrow of religion and traditional authority in favor of the development of free speech and thought. Broadly speaking, Enlightenment science greatly valued empiricism and rational thought, and was embedded with the Enlightenment ideal of advancement and progress. At the time, science was dominated by scientific societies and academies, which had largely replaced universities as centers of scientific research and development. Societies and academies were also the backbone of the maturation of the scientific profession. Another important development was the popularization of science among an increasingly literate population. The century saw significant advancements in the practice of medicine, mathematics, and physics; the development of biological taxonomy; a new understanding of magnetism and electricity; and the maturation of chemistry as a discipline, which established the foundations of modern chemistry.

Isaac Newton’s Principia, developed the first set of unified scientific laws

Newton’s Principia formulated the laws of motion and universal gravitation, which dominated scientists’ view of the physical universe for the next three centuries. By deriving Kepler’s laws of planetary motion from his mathematical description of gravity, and then using the same principles to account for the trajectories of comets, the tides, the precession of the equinoxes, and other phenomena, Newton removed the last doubts about the validity of the heliocentric model of the cosmos. This work also demonstrated that the motion of objects on Earth and of celestial bodies could be described by the same principles. His laws of motion were to be the solid foundation of mechanics.

19.3.2: Physics and Mathematics

In the 16th and 17th centuries, European scientists began increasingly applying quantitative measurements to the measurement of physical phenomena on the earth, which translated into the rapid development of mathematics and physics. 

Learning Objective

Distinguish between the different key figures of the scientific revolution and their achievements in mathematics and physics

Key Points

• The philosophy of using an
  inductive approach to nature was in strict contrast with the earlier,
  Aristotelian approach of deduction, by which analysis of known facts produced
  further understanding. In practice, scientists believed
  that a healthy mix of both was needed—the willingness to question
  assumptions, yet also to interpret observations assumed to have some degree of
  validity. That principle was particularly true for mathematics and physics.
• In
  the 16th and 17th centuries, European scientists began increasingly applying
  quantitative measurements to the measurement of physical phenomena on the earth. 
• The Copernican Revolution, or the paradigm shift from the Ptolemaic model of the heavens to the heliocentric model with the sun at the center of the solar system, began with the publication of Copernicus’s De revolutionibus orbium coelestium, and ended with Newton’s work over a century later.
• Galileo showed a remarkably modern appreciation
  for the proper relationship between mathematics, theoretical physics, and
  experimental physics.
  His contributions to observational astronomy include the telescopic confirmation of the phases of Venus, the discovery of the four largest satellites of Jupiter, and the observation and analysis of sunspots.
• Newton’s Principia formulated the laws of motion and universal gravitation, which dominated scientists’ view of the physical universe for the next three centuries. He removed the last doubts about the validity of the heliocentric model of the solar system.
• The electrical science
  developed rapidly  following the first discoveries of William Gilbert.

Key Terms

scientific revolution

The emergence of modern science during the early modern period, when developments in mathematics, physics, astronomy, biology (including human anatomy), and chemistry transformed societal views about nature. It began in Europe towards the end of the Renaissance period, and continued through the late 18th century, influencing the intellectual social movement known as the Enlightenment.

scientific method

A body of techniques for investigating phenomena,
acquiring new knowledge, or correcting and integrating previous knowledge that
apply empirical or measurable evidence subject to specific principles
of reasoning. It has characterized natural science since the 17th
century, consisting in systematic observation, measurement, and experiment, and
the formulation, testing, and modification of hypotheses.

Copernican Revolution

The paradigm shift from the Ptolemaic model of the heavens, which described the cosmos as having Earth stationary at the center of the universe, to the heliocentric model with the sun at the center of the solar system. Beginning with the publication of Nicolaus Copernicus’s De revolutionibus orbium coelestium, contributions to the “revolution” continued, until finally ending with Isaac Newton’s work over a century later.

Introduction

Under the scientific method that was defined and applied in the 17th century, natural and artificial circumstances were abandoned, and a research tradition of systematic experimentation was slowly accepted throughout the scientific community. The philosophy of using an inductive approach to nature—to abandon assumption and to attempt to simply observe with an open mind—was in strict contrast with the earlier, Aristotelian approach of deduction, by which analysis of known facts produced further understanding. In practice, many scientists (and philosophers) believed that a healthy mix of both was needed—the willingness to question assumptions, yet also to interpret observations assumed to have some degree of validity. That principle was particularly true for mathematics and physics.
René

Descartes, whose thought emphasized the power of reasoning but also helped establish the scientific method, distinguished
between the knowledge that could be attained by reason alone (rationalist
approach), which he thought was mathematics, and the knowledge that required
experience of the world, which he thought was physics. 

Mathematization 

To the extent that medieval natural philosophers used mathematical problems, they limited social studies to theoretical analyses of local speed and other aspects of life. The actual measurement of a physical quantity, and the comparison of that measurement to a value computed on the basis of theory, was largely limited to the mathematical disciplines of astronomy and optics in Europe. In the 16th and 17th centuries, European scientists began increasingly applying quantitative measurements to the measurement of physical phenomena on Earth. 

The Copernican Revolution

While the dates of the scientific revolution are disputed, the publication in 1543 of Nicolaus Copernicus’s De revolutionibus orbium coelestium (On the Revolutions of the Heavenly Spheres) is often cited as marking the beginning of the scientific revolution.
The book proposed a heliocentric system contrary to the widely accepted geocentric system of that time. Tycho Brahe accepted Copernicus’s model but reasserted geocentricity. However, Tycho challenged the Aristotelian model when he observed a comet that went through the region of the planets. This region was said to only have uniform circular motion on solid spheres, which meant that it would be impossible for a comet to enter into the area. Johannes Kepler followed Tycho and developed the three laws of planetary motion. Kepler would not have been able to produce his laws without the observations of Tycho, because they allowed Kepler to prove that planets traveled in ellipses, and that the sun does not sit directly in the center of an orbit, but at a focus. Galileo Galilei came after Kepler and developed his own telescope with enough magnification to allow him to study Venus and discover that it has phases like a moon. The discovery of the phases of Venus was one of the more influential reasons for the transition from geocentrism to heliocentrism. Isaac Newton’s Philosophiæ Naturalis Principia Mathematica concluded the Copernican Revolution. The development of his laws of planetary motion and universal gravitation explained the presumed motion related to the heavens by asserting a gravitational force of attraction between two objects.

Other Advancements in Physics and Mathematics

Galileo was one of the first modern thinkers to clearly state that the laws of nature are mathematical. In broader terms, his work marked another step towards the eventual separation of science from both philosophy and religion, a major development in human thought. Galileo showed a remarkably modern appreciation for the proper relationship between mathematics, theoretical physics, and experimental physics. He understood the parabola, both in terms of conic sections and in terms of the ordinate (y) varying as the square of the abscissa (x). He further asserted that the parabola was the theoretically ideal trajectory of a uniformly accelerated projectile in the absence of friction and other disturbances. 

Newton’s Principia formulated the laws of motion and universal gravitation, which dominated scientists’ view of the physical universe for the next three centuries. By deriving Kepler’s laws of planetary motion from his mathematical description of gravity, and then using the same principles to account for the trajectories of comets, the tides, the precession of the equinoxes, and other phenomena, Newton removed the last doubts about the validity of the heliocentric model of the cosmos. This work also demonstrated that the motion of objects on Earth, and of celestial bodies, could be described by the same principles. His prediction that Earth should be shaped as an oblate spheroid was later vindicated by other scientists. His laws of motion were to be the solid foundation of mechanics; his law of universal gravitation combined terrestrial and celestial mechanics into one great system that seemed to be able to describe the whole world in mathematical formulae. Newton also developed the theory of gravitation. After the exchanges with Robert Hooke,
English natural philosopher, architect and polymath, he worked out proof that the elliptical form of planetary orbits would result from a centripetal force inversely proportional to the square of the radius vector.

The scientific revolution also witnessed the development of modern optics. Kepler published Astronomiae Pars Optica (The Optical Part of Astronomy) in 1604. In it, he described the inverse-square law governing the intensity of light, reflection by flat and curved mirrors, and principles of pinhole cameras, as well as the astronomical implications of optics, such asparallax and the apparent sizes of heavenly bodies. Willebrord Snellius found the mathematical law of refraction, now known as Snell’s law, in 1621. Subsequently, Descartes showed, by using geometric construction and the law of refraction (also known as Descartes’ law), that the angular radius of a rainbow is 42°. He also independently discovered the law of reflection. Finally, Newton investigated the refraction of light, demonstrating that a prism could decompose white light into a spectrum of colors, and that a lens and a second prism could recompose the multicolored spectrum into white light. He also showed that the colored light does not change its properties by separating out a colored beam and shining it on various objects. 

Portrait of Galileo Galilei
by Giusto Sustermans, 1636

Galileo Galilei (1564-1642) improved the telescope, with which he made several important astronomical discoveries, including the four largest moons of Jupiter, the phases of Venus, and the rings of Saturn, and made detailed observations of sunspots. He developed the laws for falling bodies based on pioneering quantitative experiments, which he analyzed mathematically.

Dr. William Gilbert, in De Magnete, invented the New Latin word electricus from ἤλεκτρον (elektron), the Greek word for “amber.” Gilbert undertook a number of careful electrical experiments, in the course of which he discovered that many substances were capable of manifesting electrical properties. He also discovered that a heated body lost its electricity, and that moisture prevented the electrification of all bodies, due to the now well-known fact that moisture impaired the insulation of such bodies. He also noticed that electrified substances attracted all other substances indiscriminately, whereas a magnet only attracted iron. The many discoveries of this nature earned for Gilbert the title of “founder of the electrical science.” 

Robert Boyle also worked frequently at the new science of electricity, and added several substances to Gilbert’s list of electrics. In 1675, he stated that electric attraction and repulsion can act across a vacuum. One of his important discoveries was that electrified bodies in a vacuum would attract light substances, this indicating that the electrical effect did not depend upon the air as a medium. He also added resin to the then known list of electrics. By the end of the 17th Century, researchers had developed practical means of generating electricity by friction with an anelectrostatic generator, but the development of electrostatic machines did not begin in earnest until the 18th century, when they became fundamental instruments in the studies about the new science of electricity. The first usage of the word electricity is ascribed to Thomas Browne in 1646 work. In 1729, Stephen Gray demonstrated that electricity could be “transmitted” through metal filaments.

19.3.3: Astronomy

Though astronomy is the oldest of the natural sciences, its development during the scientific revolution entirely transformed societal views about nature by moving from geocentrism to heliocentrism. 

Learning Objective

Assess the work of both Copernicus and Kepler and their revolutionary ideas

Key Points

• The development of astronomy during the period
  of the scientific revolution entirely transformed societal views about
  nature. The publication of Nicolaus
  Copernicus’ De revolutionibus in 1543 is often
  seen as marking the beginning of the time when scientific disciplines gradually transformed into the modern sciences as we know them today.
• Copernican heliocentrism is the name given
  to the astronomical model developed by Copernicus that positioned the sun near the center of the universe,
  motionless, with Earth and the other planets rotating around it in circular
  paths, modified by epicycles and at uniform speeds. 
• For over a century, few astronomers were
  convinced by the Copernican system. Tycho Brahe went so far as to construct
  a cosmology precisely equivalent to that of Copernicus, but with the earth held
  fixed in the center of the celestial sphere, instead of the sun. However, Tycho’s idea also contributed to the defense of the heliocentric model.  
• In 1596, Johannes Kepler published his first book,
  which was the first to openly endorse
  Copernican cosmology by an astronomer since the 1540s. Kepler’s work on Mars and planetary motion further confirmed the heliocentric theory. 
• Galileo Galilei designed his own telescope, with which he made a number
  of critical astronomical observations. His observations and discoveries were among the most influential in the transition from geocentrism to heliocentrism.
• Isaac
  Newton developed further ties between physics and astronomy through his law of
  universal gravitation, and irreversibly confirmed and further developed heliocentrism.  

Key Terms

Copernican heliocentrism

The name given to the astronomical model developed by Nicolaus Copernicus and published in 1543. It positioned the sun near the center of the universe, motionless, with Earth and the other planets rotating around it in circular paths, modified by epicycles and at uniform speeds. It departed from the Ptolemaic system that prevailed in western culture for centuries, placing Earth at the center of the universe.

Copernicus

A Renaissance mathematician and astronomer (1473-1543), who formulated a heliocentric model of the universe which placed the sun, rather than the earth, at the center.

epicycles

The geometric model used to explain the variations in speed and direction of the apparent motion of the moon, sun, and planets in the Ptolemaic system of astronomy.

The Emergence of Modern Astronomy

While astronomy is the oldest of the natural sciences, dating back to antiquity, its development during the period of the scientific revolution entirely
transformed the views of society about nature. The publication of the seminal work in the field of astronomy, Nicolaus Copernicus’ De revolutionibus orbium coelestium (On the Revolutions of the Heavenly Spheres) published in 1543, is, in fact, often seen as marking the beginning of the time when scientific disciplines, including astronomy, began to apply modern empirical research methods, and gradually transformed into the modern sciences as we know them today.

The Copernican Heliocentrism

Copernican heliocentrism is the name given to the astronomical model developed by Nicolaus Copernicus and published in 1543. It positioned the sun near the center of the universe, motionless, with Earth and the other planets rotating around it in circular paths, modified by epicycles and at uniform speeds. The Copernican model departed from the Ptolemaic system that prevailed in western culture for centuries, placing Earth at the center of the universe. Copernicus’ De revolutionibus marks the beginning of the shift away from a geocentric (and anthropocentric) universe with Earth at its center. Copernicus held that Earth is another planet revolving around the fixed sun once a year, and turning on its axis once a day. But while he put the sun at the center of the celestial spheres, he did not put it at the exact center of the universe, but near it. His system used only uniform circular motions, correcting what was seen by many as the chief inelegance in Ptolemy’s system.

The Copernican Revolution

From 1543 until about 1700, few astronomers were convinced by the Copernican system. Forty-five years after the publication of De Revolutionibus, the astronomer Tycho Brahe went so far as to construct a cosmology precisely equivalent to that of Copernicus, but with Earth held fixed in the center of the celestial sphere instead of the sun. However, Tycho challenged the Aristotelian model when he observed a comet that went through the region of the planets. This region was said to only have uniform circular motion on solid spheres, which meant that it would be impossible for a comet to enter into the area. Following Copernicus and Tycho, Johannes Kepler and Galileo Galilei, both working in the first decades of the 17th century, influentially defended, expanded and modified the heliocentric theory.

Johannes Kepler

Johannes Kepler was a German scientist who initially worked as Tycho’s assistant. In 1596, he published his first book, the Mysterium cosmographicum, which was the first to openly endorse Copernican cosmology by an astronomer since the 1540s. The book described his model that used Pythagorean mathematics and the five Platonic solids to explain the number of planets, their proportions, and their order. In 1600, Kepler set to work on the orbit of Mars, the second most eccentric of the six planets known at that time. This work was the basis of his next book, the Astronomia nova (1609). The book argued heliocentrism and ellipses for planetary orbits, instead of circles modified by epicycles. It contains the first two of his eponymous three laws of planetary motion (in 1619, the third law was published). The laws state the following: 

• All planets move in elliptical orbits, with the sun at one focus.
• A line that connects a planet to the sun sweeps out equal areas in equal times.
• The time required for a planet to orbit the sun, called its period, is proportional to long axis of the ellipse raised to the 3/2 power. The constant of proportionality is the same for all the planets.

Galileo Galilei

Galileo Galilei was an Italian scientist who is sometimes referred to as the “father of modern observational astronomy.” Based on the designs of Hans Lippershey, he designed his own telescope, which he had improved to 30x magnification. Using this new instrument, Galileo made a number of astronomical observations, which he published in the Sidereus Nuncius in 1610.
In this book, he described the surface of the moon as rough, uneven, and imperfect. His observations challenged Aristotle’s claim that the moon was a perfect sphere, and the larger idea that the heavens were perfect and unchanging. While observing Jupiter over the course of several days, Galileo noticed four stars close to Jupiter whose positions were changing in a way that would be impossible if they were fixed stars. After much observation, he concluded these four stars were orbiting the planet Jupiter and were in fact moons, not stars. This was a radical discovery because, according to Aristotelian cosmology, all heavenly bodies revolve around Earth, and a planet with moons obviously contradicted that popular belief. While contradicting Aristotelian belief, it supported Copernican cosmology, which stated that Earth is a planet like all others.

In 1610, Galileo also observed that Venus had a full set of phases, similar to the phases of the moon, that we can observe from Earth. This was explainable by the Copernican system, which said that all phases of Venus would be visible due to the nature of its orbit around the sun, unlike the Ptolemaic system, which stated only some of Venus’s phases would be visible. Due to Galileo’s observations of Venus, Ptolemy’s system became highly suspect and the majority of leading astronomers subsequently converted to various heliocentric models, making his discovery one of the most influential in the transition from geocentrism to heliocentrism.

Heliocentric model of the solar system,

Nicolas Copernicus,
De revolutionibus, p. 9, from an original edition, currently at
the Jagiellonian University in Cracow, Poland

Copernicus was a polyglot and polymath who obtained a doctorate in canon law and also practiced as a physician, classics scholar, translator, governor, diplomat, and economist. In 1517 he derived a quantity theory of money–a key concept in economics–and in 1519, he formulated a version of what later became known as Gresham’s law (also in economics).

Uniting Astronomy and Physics: Isaac Newton

Although the motions of celestial bodies had been qualitatively explained in physical terms since Aristotle introduced celestial movers in his Metaphysics and a fifth element in his On the Heavens, Johannes Kepler was the first to attempt to derive mathematical predictions of celestial motions from assumed physical causes. This led to the discovery of the three laws of planetary motion that carry his name. 

Isaac Newton developed further ties between physics and astronomy through his law of universal gravitation. Realizing that the same force that attracted objects to the surface of Earth held the moon in orbit around the Earth, Newton was able to explain, in one theoretical framework, all known gravitational phenomena.
Newton’s Principia (1687) formulated the laws of motion and universal gravitation, which dominated scientists’ view of the physical universe for the next three centuries. By deriving Kepler’s laws of planetary motion from his mathematical description of gravity, and then using the same principles to account for the trajectories of comets, the tides, the precession of the equinoxes, and other phenomena, Newton removed the last doubts about the validity of the heliocentric model of the cosmos. This work also demonstrated that the motion of objects on Earth and of celestial bodies could be described by the same principles. His laws of motion were to be the solid foundation of mechanics; his law of universal gravitation combined terrestrial and celestial mechanics into one great system that seemed to be able to describe the whole world in mathematical formulae.

 

Jan Matejko, Astronomer Copernicus, or Conversations with God, 1873

Oil painting by the Polish artist Jan Matejko depicting Nicolaus Copernicus observing the heavens from a balcony by a tower near the cathedral in Frombork.
Currently, the painting is in the collection of the Jagiellonian University of Cracow, which purchased it from a private owner with money donated by the Polish public.

19.3.4: The Medical Renaissance

The Renaissance period witnessed groundbreaking developments in medical sciences, including advancements in human anatomy, physiology, surgery, dentistry, and microbiology.   

Learning Objective

List the discoveries and progress made by leading medical professionals during the Early Modern era

Key Points

• During
  the Renaissance, experimental investigation, particularly in the field of dissection
  and body examination, advanced the knowledge of human anatomy and modernized medical
  research.
• De humani corporis
  fabrica by Andreas Vesalius emphasized the priority of dissection and what has
  come to be called the “anatomical” view of the body. It laid the foundations for the modern study of human anatomy. 
• Further groundbreaking work was carried out by
  William Harvey, who published De Motu Cordis in 1628. Harvey
  made a detailed analysis of the overall structure of the heart and blood circulation. 
• French
  surgeon Ambroise Paré (c. 1510-1590) is considered one of the fathers of
  surgery and modern forensic pathology, and a pioneer in surgical techniques and
  battlefield medicine, especially in the treatment of wounds. 
• Herman
  Boerhaave (1668-1738) is regarded as the founder
  of clinical teaching, and of the modern academic hospital. He is sometimes
  referred to as “the father of physiology.”
• French
  physician Pierre Fauchard started dentistry science as we know it today,
  and he has been named “the father of modern dentistry.” 

Key Terms

William Harvey

An English physician (1578-1657), and the first to describe completely and in detail the systemic circulation and properties of blood being pumped to the brain and body by the heart.

Ambroise Paré

A French surgeon (1510-1590) who is considered one of the fathers of surgery and modern forensic pathology, and a pioneer in surgical techniques and battlefield medicine, especially in the treatment of wounds.

Galen

A prominent Greek physician (129 CE-c. 216 CE), surgeon, and philosopher in the Roman Empire.
Arguably the most accomplished of all medical researchers of antiquity, he influenced the development of various scientific disciplines, including anatomy, physiology, pathology, pharmacology, and neurology, as well as philosophy and logic.

Andreas Vesalius

A Belgian anatomist (1514-1564), physician, and author of one of the most influential books on human anatomy, De humani corporis fabrica (On the Fabric of the Human Body).

humorism

A system of medicine detailing the makeup and workings of the human body, adopted by the Indian Ayurveda system of medicine, and Ancient Greek and Roman physicians and philosophers. It posits that an excess or deficiency of any of four distinct bodily fluids in a person—known as humors or humours—directly influences their temperament and health.

The Renaissance and Medical Sciences 

The Renaissance brought an intense focus on varied scholarship to Christian Europe. A major effort to translate the Arabic and Greek scientific works into Latin emerged, and Europeans gradually became experts not only in the ancient writings of the Romans and Greeks, but also in the contemporary writings of Islamic scientists. During the later centuries of the Renaissance, which overlapped with the scientific revolution, experimental investigation, particularly in the field of dissection and body examination, advanced the knowledge of human anatomy. Other developments of the period also contributed to the modernization of medical research, including printed books that allowed for a wider distribution of medical ideas and anatomical diagrams, more open attitudes of Renaissance humanism, and the Church’s diminishing impact on the teachings of the medical profession and universities. In addition, the invention and popularization of microscope in the 17th century greatly advanced medical research.

Human Anatomy 

The writings of ancient Greek physician Galen had dominated European thinking in medicine.
Galen’s understanding of anatomy and medicine was principally influenced by the then-current theory of humorism (also known as the four humors: black bile, yellow bile, blood, and phlegm), as advanced by ancient Greek physicians, such as Hippocrates. His theories dominated and influenced western medical science for more than 1,300 years. His anatomical reports, based mainly on dissection of monkeys and pigs, remained uncontested until 1543, when printed descriptions and illustrations of human dissections were published in the seminal work De humani corporis fabrica by Andreas Vesalius, who first demonstrated the mistakes in the Galenic model. His anatomical teachings were based upon the dissection of human corpses, rather than the animal dissections that Galen had used as a guide. Vesalius’ work emphasized the priority of dissection and what has come to be called the “anatomical” view of the body, seeing human internal functioning as an essentially corporeal structure filled with organs arranged in three-dimensional space. This was in stark contrast to many of the anatomical models used previously.

Further groundbreaking work was carried out by William Harvey, who published De Motu Cordis in 1628. Harvey made a detailed analysis of the overall structure of the heart, going on to an analysis of the arteries, showing how their pulsation depends upon the contraction of the left ventricle, while the contraction of the right ventricle propels its charge of blood into the pulmonary artery. He noticed that the two ventricles move together almost simultaneously and not independently like had been thought previously by his predecessors. Harvey also estimated the capacity of the heart, how much blood is expelled through each pump of the heart, and the number of times the heart beats in a half an hour. From these estimations, he went on to prove how the blood circulated in a circle.

Andreas Vesalius, De humani corporis fabrica, 1543, p. 174

In 1543, Vesalius asked Johannes Oporinus to publish the seven-volume De humani corporis fabrica (On the fabric of the human body), a groundbreaking work of human anatomy. It emphasized the priority of dissection and what has come to be called the “anatomical view” of the human body.

An illustration of the human body from De humani corporis fabrica.

Other Medical Advances

Various other advances in medical understanding and practice were made. French surgeon Ambroise Paré (c. 1510-1590) is considered one of the fathers of surgery and modern forensic pathology, and a pioneer in surgical techniques and battlefield medicine, especially in the treatment of wounds. He was also an anatomist and invented several surgical instruments, and was part of the Parisian Barber Surgeon guild. Paré was also an important figure in the progress of obstetrics in the middle of the 16th century.

Herman Boerhaave (1668-1738), a Dutch botanist, chemist, Christian humanist and physician of European fame, is regarded as the founder of clinical teaching and of the modern academic hospital. He is sometimes referred to as “the father of physiology,” along with the Venetian physician Santorio Santorio (1561-1636), who introduced the quantitative approach into medicine, and with his pupil Albrecht von Haller (1708-1777). He is best known for demonstrating the relation of symptoms to lesions and, in addition, he was the first to isolate the chemical urea from urine. He was the first physician that put thermometer measurements to clinical practice.

Bacteria and protists were first observed with a microscope by Antonie van Leeuwenhoek in 1676, initiating the scientific field of microbiology.

French physician Pierre Fauchard started dentistry science as we know it today, and he has been named “the father of modern dentistry.”
He is widely known for writing the first complete scientific description of dentistry, Le Chirurgien Dentiste (“The Surgeon Dentist”), published in 1728. The book described basic oral anatomy and function, signs and symptoms of oral pathology, operative methods for removing decay and restoring teeth, periodontal disease (pyorrhea), orthodontics, replacement of missing teeth, and tooth transplantation.

Andreas Vesalius, De corporis humani fabrica libri septem,
illustration attributed to Jan van Calcar (circa 1499–1546/1550)

The front cover illustration of De Humani Corporis Fabrica (On the Fabric of the Human Body, 1543), showing a public dissection being carried out by Vesalius himself. The book advanced the modern study of human anatomy. 

19.4: Enlightenment Thinkers

19.4.1: Thomas Hobbes

Thomas Hobbes,
an English philosopher and scientist, was one of the key figures in the political debates of the Enlightenment period. He introduced a social contract theory based on the relation between the absolute sovereign and the civil society. 

Learning Objective

Describe Thomas Hobbes’ beliefs on the relationship between government and the people

Key Points

• Thomas
  Hobbes, an English philosopher and scientist, was one of the key figures in the
  political debates of the Enlightenment period. Despite advocating the idea of absolutism of
  the sovereign, he developed some of the fundamentals of European liberal
  thought.
• Hobbes was the first modern philosopher to
  articulate a detailed social contract theory that appeared in his 1651 work Leviathan.
  In it, Hobbes set out his doctrine of the foundation of states and legitimate
  governments and creating an objective science of morality. 
• Hobbes argued that in order to avoid chaos, which he associated with the state of nature, people accede to a
  social contract and establish a civil society. 
• One of the most influential tensions in Hobbes’ argument is a relation between the absolute sovereign and the society. According to Hobbes, society is
  a population beneath a sovereign authority, to whom all individuals in that
  society cede some rights for the sake of protection. Any power exercised by
  this authority cannot be resisted because the protector’s sovereign power
  derives from individuals’ surrendering their own sovereign power for
  protection. 

• Hobbes
  also included a discussion of natural rights in his moral and political
  philosophy. While he recognized the inalienable rights of the human,  he argued that if humans wished to live peacefully, they had to give up most of their natural rights and create moral obligations, in order to
  establish political and civil society.

Key Terms

Leviathan

A book written by Thomas Hobbes (1588-1679) and published in 1651. The work concerns the structure of society and legitimate government, and is regarded as one of the earliest and most influential examples of social contract theory. It argues for a social contract and rule by an absolute sovereign.

social contract theory

A theory or a model that typically posits that individuals have consented, either explicitly or tacitly, to surrender some of their freedoms and submit to the authority of the ruler or magistrate (or to the decision of a majority), in exchange for protection of their remaining rights.

natural rights

The rights that are not dependent on the laws, customs, or beliefs of any particular culture or government, and are therefore universal and inalienable (i.e., rights that cannot be repealed or restrained by human laws).

English Civil War

A series of armed conflicts and political machinations between Parliamentarians (“Roundheads”) and Royalists (“Cavaliers”) over, principally, the manner of England’s government. The first (1642-1646) and second (1648-1649) conflicts pitted the supporters of King Charles I against the supporters of the Long Parliament, while the third (1649-1651) saw fighting between supporters of King Charles II and supporters of the Rump Parliament.

Background: The Age of Enlightenment

The Enlightenment was a philosophical movement that dominated the world of ideas in Europe in the 18th century. It included a range of ideas centered on reason as the primary source of authority and legitimacy, and came to advance ideals, such as liberty, progress, tolerance, fraternity, constitutional government, and separation of church and state.
The Enlightenment has also been hailed as the foundation of modern western political and intellectual culture. It brought political modernization to the west by introducing democratic values and institutions and the creation of modern, liberal democracies. Thomas Hobbes, an English philosopher and scientist, was one of the key figures in the political debates of the period. Despite advocating the idea of absolutism of the sovereign, Hobbes developed some of the fundamentals of European liberal thought: the right of the individual; the natural equality of all men; the artificial character of the political order (which led to the later distinction between civil society and the state); the view that all legitimate political power must be “representative” and based on the consent of the people; and a liberal interpretation of law that leaves people free to do whatever the law does not explicitly forbid.

Leviathan: Social Contract

Hobbes was the first modern philosopher to articulate a detailed social contract theory that appeared in his 1651 work Leviathan.
In it, Hobbes set out his doctrine of the foundation of states and legitimate governments and creating an objective science of morality. As Leviathan was written during the English Civil War, much of the book is occupied with demonstrating the necessity of a strong central authority to avoid the evil of discord and civil war.

Beginning from a mechanistic understanding of human beings and the passions, Hobbes postulates what life would be like without government, a condition which he calls the state of nature. In that state, each person would have a right, or license, to everything in the world. This, Hobbes argues, would lead to a “war of all against all.” In such a state, people fear death and lack both the things necessary to commodious living and the hope of being able to toil to obtain them. So, in order to avoid it, people accede to a social contract and establish a civil society. According to Hobbes, society is a population beneath a sovereign authority, to whom all individuals in that society cede some rights for the sake of protection. Any power exercised by this authority cannot be resisted because the protector’s sovereign power derives from individuals’ surrendering their own sovereign power for protection. The individuals are thereby the authors of all decisions made by the sovereign. There is no doctrine of separation of powers in Hobbes’s discussion. According to Hobbes, the sovereign must control civil, military, judicial, and ecclesiastical powers.

Thomas Hobbes by John Michael Wright,
circa 1669-1670,  National Portrait Gallery, London

Hobbes was one of the founders of modern political philosophy and political science. He also contributed to a diverse array of other fields, including history, geometry, the physics of gases, theology, ethics, and general philosophy.

Natural Rights

Hobbes also included a discussion of natural rights in his moral and political philosophy. His’ conception of natural rights extended from his conception of man in a “state of nature.” He argued that the essential natural (human) right was “to use his own power, as he will himself, for the preservation of his own Nature; that is to say, of his own Life (…).” Hobbes sharply distinguished this natural “liberty” from natural “laws.” In his natural state, man’s life consisted entirely of liberties and not at all of laws, which leads to the world of chaos created by unlimited rights. Consequently, if humans wish to live peacefully, they must give up most of their natural rights and create moral obligations in order to establish political and civil society.

Hobbes objected to the attempt to derive rights from “natural law,” arguing that law (“lex”) and right (“jus”) though often confused, signify opposites, with law referring to obligations, while rights refer to the absence of obligations. Since by our (human) nature, we seek to maximize our well being, rights are prior to law, natural or institutional, and people will not follow the laws of nature without first being subjected to a sovereign power, without which all ideas of right and wrong are meaningless. This marked an important departure from medieval natural law theories which gave precedence to obligations over rights.

 

19.4.2: John Locke

John Locke, an English philosopher and
physician, is regarded as one of the most influential Enlightenment
thinkers, whose work greatly contributed to the development of the notions of social contract and natural rights. 

Learning Objective

Explain Locke’s conception of the social contract

Key Points

• John Locke was an English philosopher and
  physician, widely regarded as one of the most influential of Enlightenment
  thinkers, and commonly known as the “Father of
  Liberalism.” His writings were immensely influential for the development of social contract theory. 
• Two Treatises of Government,
  Locke’s most important work on political theory, is divided into the First Treatise and
  the Second Treatise. The First Treatise is focused
  on the refutation of Sir Robert Filmer, in particular his Patriarcha,
  which argued that civil society was founded on a divinely sanctioned
  patriarchalism. The Second
  Treatise outlines a theory of civil society. 
• Locke’s political theory was founded on social
  contract theory. He believed that human nature is
  characterized by reason and tolerance, but he assumed that the
  sole right to defend in the state of nature was not enough, so people
  established a civil society to resolve conflicts in a civil way with help from
  government in a state of society. 
• Locke’s conception of natural rights is captured
  in his best known statement that individuals have a right to  protect
  their “life, health, liberty, or possessions” and in his belief that
  the natural right to property is derived from labor. 
• The debate continues among scholars over the disparities between
  Locke’s philosophical arguments and his personal involvement in the slave trade
  and slavery in North American colonies, and over whether his writings provide,
  in fact, justification of slavery.

Key Terms

social contract theory

A theory or a model that
typically posits that individuals have consented, either explicitly or tacitly,
to surrender some of their freedoms and submit to the authority of the ruler or
magistrate (or to the decision of a majority), in exchange for protection of
their remaining rights.

Two Treatises of Government

A work of political philosophy published anonymously in 1689 by John Locke. The first section attacks patriarchalism in the form of sentence-by-sentence refutation of Robert Filmer’s Patriarcha, while the second outlines Locke’s ideas for a more civilized society based on natural rights and contract theory.

empiricism

A theory that states that knowledge comes only or primarily from sensory experience. It is a fundamental part of the scientific method that all hypotheses and theories must be tested against observations of the natural world, rather than resting solely on a priori reasoning, intuition, or revelation.

natural rights

The rights that are not
dependent on the laws, customs, or beliefs of any particular culture or
government, and are therefore universal and inalienable (i.e., rights that
cannot be repealed or restrained by human laws).

Rye House Plot

A 1683 plan to assassinate King Charles II of England and his brother (and heir to the throne) James, Duke of York. Historians vary in their assessment of the degree to which details of the conspiracy were finalized.

John Locke: Introduction

John Locke was an English philosopher and physician, widely regarded as one of the most influential of Enlightenment thinkers and commonly known as the “Father of Liberalism.” Considered one of the first of the British empiricists, he is equally important to social contract theory. His work greatly affected the development of epistemology and political philosophy. His writings influenced Voltaire and Rousseau, many Scottish Enlightenment thinkers, as well as the American revolutionaries. His contributions to classical republicanism and liberal theory are reflected in the United States Declaration of Independence.

Locke was born in 1632 in Wrington, Somerset, about 12 miles from Bristol, and grew up in the nearby town of Pensford. In 1647, he was sent to the prestigious Westminster School in London, and after completing studies there, he was admitted to Christ Church, Oxford in 1652. Although a capable student, Locke was irritated by the undergraduate curriculum of the time. He found the works of modern philosophers, such as René Descartes, more interesting than the classical material taught at the university. Through a friend, Locke was introduced to medicine and the experimental philosophy being pursued at other universities and in the Royal Society, of which he eventually became a member. In 1667, he moved to London to serve as a personal physician, and to resume his medical studies. He also served as Secretary of the Board of Trade and Plantations and Secretary to the Lords Proprietor of Carolina, which helped to shape his ideas on international trade and economics.
Locke fled to the Netherlands in 1683, under strong suspicion of involvement in the Rye House Plot, although there is little evidence to suggest that he was directly involved in the scheme.
In the Netherlands, he had time to return to his writing, although the bulk of Locke’s publishing took place upon his return from exile in 1688. He died in 1704. Locke never married nor had children.

Portrait of John Locke, by Sir Godfrey Kneller,1697, State Hermitage Museum, St. Petersburg, Russia

Locke’s theory of mind has been as influential as his political theory, and is often cited as the origin of modern conceptions of identity and the self. Locke was the first to define the self through a continuity of consciousness. He postulated that, at birth, the mind was a blank slate or tabula rasa. Contrary to Cartesian philosophy based on pre-existing concepts, he maintained that we are born without innate ideas, and that knowledge is instead determined only by experience derived from sense perceptions.

Two Treatises of Government

Two Treatises of Government, Locke’s most important and influential work on political theory, was first published anonymously in 1689. It is divided into the First Treatise and the Second Treatise. The First Treatise is focused on the refutation of Sir Robert Filmer, in particular his Patriarcha, which argued that civil society was founded on a divinely sanctioned patriarchalism. Locke proceeds through Filmer’s arguments, contesting his proofs from Scripture and ridiculing them as senseless, until concluding that no government can be justified by an appeal to the divine right of kings. The Second Treatise outlines a theory of civil society. Locke begins by describing the state of nature, a picture much more stable than Thomas Hobbes’ state of “war of every man against every man,” and argues that all men are created equal in the state of nature by God. He goes on to explain the hypothetical rise of property and civilization, in the process explaining that the only legitimate governments are those that have the consent of the people. Therefore, any government that rules without the consent of the people can, in theory, be overthrown.

Locke’s political theory was founded on social contract theory. Unlike Hobbes, Locke believed that human nature is characterized by reason and tolerance. Similarly to Hobbes, he assumed that the sole right to defend in the state of nature was not enough, so people established a civil society to resolve conflicts in a civil way with help from government in a state of society. However, Locke never refers to Hobbes by name and may instead have been responding to other writers of the day. He also advocated governmental separation of powers, and believed that revolution is not only a right but an obligation in some circumstances. These ideas would come to have profound influence on the Declaration of Independence and the Constitution of the United States. However,
Locke did not demand a republic. Rather, he believed a legitimate contract could easily exist between citizens and a monarchy, an oligarchy, or in some mixed form.

Natural Rights

Locke’s conception of natural rights is captured in his best known statement that individuals have a right to  protect their “life, health, liberty, or possessions” and in his belief that the natural right to property is derived from labor. He defines the state of nature as a condition, in which humans are rational and follow natural law, and in which all men are born equal with the right to life, liberty and property. However, when one citizen breaks the Law of Nature, both the transgressor and the victim enter into a state of war, from which it is virtually impossible to break free. Therefore, Locke argued that individuals enter into civil society to protect their natural rights via an “unbiased judge” or common authority, such as courts. 

Constitution of Carolina and Views on Slavery

Locke’s writings have often been tied to liberalism, democracy, and the foundation of the United States as the first modern democratic republic. However, historians also note that Locke was a major investor in the English slave-trade through the Royal African Company. In addition, he participated in drafting the Fundamental Constitutions of Carolina, which established a feudal aristocracy and gave a master absolute power over his slaves. Because of his opposition to aristocracy and slavery in his major writings, some historians accuse Locke of hypocrisy and racism, and point out that his idea of liberty is reserved to Europeans or even the European capitalist class only. The debate continues among scholars over the disparities between Locke’s philosophical arguments and his personal involvement in the slave trade and slavery in North American colonies, and over whether his writings provide, in fact, justification of slavery. 

19.4.3: Baron de Montesquieu

Montesquieu was a French political philosopher of the Enlightenment period, whose articulation of the theory of separation of powers is implemented in many constitutions throughout the world.

Learning Objective

Describe Montesquieu’s solution for keeping power from falling into the hands of any one individual

Key Points

• Montesquieu was a French lawyer, man of
  letters, and one of the most influential political philosophers of the Age of
  Enlightenment. His political theory work, particularly the idea of separation of powers, shaped the modern democratic government. 
• The Spirit of the Laws is a treatise on
  political theory that was first published anonymously by Montesquieu in 1748. Montesquieu covered many
  topics, including the law, social life, and the study of anthropology, and provided more than 3,000 commendations. 
• In this political treatise, Montesquieu pleaded
  in favor of a constitutional system of government and the separation of powers,
  the ending of slavery, the preservation of civil liberties and the law, and the
  idea that political institutions should reflect the social and geographical
  aspects of each community.
• Montesquieu defines three main political
  systems: republican, monarchical, and despotic. As he defines them, republican
  political systems vary depending on how broadly they extend citizenship rights.
• Another major theme in The Spirit of
  Laws concerns political liberty and the best means of preserving it. Establishing political liberty requires two
  things: the separation of the powers of government, and the appropriate framing
  of civil and criminal laws so as to ensure personal security.
• Montesquieu argues that the executive,
  legislative, and judicial functions of government (the so-called tripartite
  system) should be assigned to different bodies, so that attempts by one
  branch of government to infringe on political liberty might be restrained by
  the other branches (checks and balances). He also argues
  against slavery and for the freedom of thought, speech,
  and assembly.

Key Terms

The Spirit of the Laws

A treatise on political theory first published anonymously by Montesquieu in 1748. In it, Montesquieu pleaded in favor of a constitutional system of government and the separation of powers, the ending of slavery, the preservation of civil liberties and the law, and the idea that political institutions ought to reflect the social and geographical aspects of each community.

separation of powers

A model for the governance of a state (or who controls the state), first proposed in ancient Greece and developed and modernized by the French political philosopher Montesquieu. Under this model, the state is divided into branches, each with separate and independent powers and areas of responsibility so that the powers of one branch are not in conflict with the powers associated with the other branches. The typical division of branches is legislature, executive, and judiciary.

Glorious Revolution

The overthrow of King James II of England (James VII of Scotland and James II of Ireland) by a union of English Parliamentarians with the Dutch stadtholder William III of Orange-Nassau (William of Orange). William’s successful invasion of England with a Dutch fleet and army led to his ascending of the English throne as William III of England jointly with his wife Mary II of England, in conjunction with the documentation of the Bill of Rights 1689.

Index Librorum Prohibitorum

A list of publications deemed heretical, anti-clerical, or lascivious, and therefore banned by the Catholic Church.

Introduction: Montesquieu 

Baron de Montesquieu, usually referred to as simply Montesquieu, was a French lawyer, man of letters, and one of the most influential political philosophers of the Age of Enlightenment. He was born in France in 1689. After losing both parents at an early age, he became a ward of his uncle, the Baron de Montesquieu. He became a counselor of the Bordeaux Parliament in 1714. A year later, he married Jeanne de Lartigue, a Protestant, who bore him three children. Montesquieu’s early life occurred at a time of significant governmental change. England had declared itself a constitutional monarchy in the wake of its Glorious Revolution (1688-89), and had joined with Scotland in the Union of 1707 to form the Kingdom of Great Britain. In France, the long-reigning Louis XIV died in 1715, and was succeeded by five year-old Louis XV. These national transformations had a great impact on Montesquieu, who would refer to them repeatedly in his work. Montesquieu withdrew from the practice of law to devote himself to study and writing.

Besides writing works on society and politics, Montesquieu traveled for a number of years through Europe, including Austria and Hungary, spending a year in Italy and 18 months in England, where he became a freemason before resettling in France. He was troubled by poor eyesight and was completely blind by the time he died from a high fever in 1755. 

Montesquieu, portrait by an unknown artist, c. 1727

Montesquieu is famous for his articulation of the theory of separation of powers, which is implemented in many constitutions throughout the world. He is also known for doing more than any other author to secure the place of the word “despotism” in the political lexicon.

The Spirit of Laws

The Spirit of the Laws is a treatise on political theory first published anonymously by Montesquieu in 1748. The book was originally published anonymously partly because Montesquieu’s works were subject to censorship, but its influence outside France grew with rapid translation into other languages. In 1750, Thomas Nugent published the first English translation. In 1751, the Catholic Church added it to its Index Librorum Prohibitorum (list of prohibited books). Yet Montesquieu’s political treatise had an enormous influence on the work of many others, most notably the founding fathers of the United States Constitution, and Alexis de Tocqueville, who applied Montesquieu’s methods to a study of American society in Democracy in America. 

Montesquieu spent around 21 years researching and writing The Spirit of the Laws, covering many things, including the law, social life, and the study of anthropology, and providing more than 3,000 commendations. In this political treatise, Montesquieu pleaded in favor of a constitutional system of government and the separation of powers, the ending of slavery, the preservation of civil liberties and the law, and the idea that political institutions should reflect the social and geographical aspects of each community.

Montesquieu defines three main political systems: republican, monarchical, and despotic. As he defines them, republican political systems vary depending on how broadly they extend citizenship rights—those that extend citizenship relatively broadly are termed democratic republics, while those that restrict citizenship more narrowly are termed aristocratic republics. The distinction between monarchy and despotism hinges on whether or not a fixed set of laws exists that can restrain the authority of the ruler. If so, the regime counts as a monarchy. If not, it counts as despotism.

A second major theme in The Spirit of Laws concerns political liberty and the best means of preserving it.
Montesquieu’s political liberty is what we might call today personal security, especially insofar as this is provided for through a system of dependable and moderate laws. He distinguishes this view of liberty from two other, misleading views of political liberty. The first is the view that liberty consists in collective self-government (i.e., that liberty and democracy are the same). The second is the view that liberty consists of being able to do whatever one wants without constraint. Political liberty is not possible in a despotic political system, but it is possible, though not guaranteed, in republics and monarchies. Generally speaking, establishing political liberty requires two things: the separation of the powers of government, and
the appropriate framing of civil and criminal laws so as to ensure personal security.

Separation of Powers and Appropriate Laws 

Building on and revising a discussion in John Locke’s Second Treatise of Government, Montesquieu argues that the executive, legislative, and judicial functions of government
(the so-called
tripartite system) should be assigned to different bodies, so that attempts by one branch of government to infringe on political liberty might be restrained by the other branches (checks and balances).
Montesquieu based this model on the Constitution of the Roman Republic and the British constitutional system. He took the view that the Roman Republic had powers separated so that no one could usurp complete power. In the British constitutional system, Montesquieu discerned a separation of powers among the monarch, Parliament, and the courts of law.

He also notes that liberty cannot be secure where there is no separation of powers, even in a republic. Montesquieu also intends what modern legal scholars might call the rights to “robust procedural due process,” including the right to a fair trial, the presumption of innocence, and the proportionality in the severity of punishment. Pursuant to this requirement to frame civil and criminal laws appropriately to ensure political liberty, Montesquieu also argues against slavery and for the freedom of thought, speech, and assembly.

19.4.4: Voltaire

Voltaire was a French Enlightenment writer, historian, and philosopher, who attacked the Catholic Church and advocated freedom of religion, freedom of expression, and separation of church and state.

Learning Objective

Discuss Voltaire’s thoughts on the masses and government

Key Points

• Voltaire was a French
  Enlightenment writer, historian, and philosopher famous for his wit,
  his attacks on the established Catholic Church, and his advocacy of freedom of
  religion, freedom of expression, and separation of church and state. 
• Voltaire’s political and philosophical views can
  be found in nearly all of his prose writings. Most of his prose was written as polemics, with the goal of conveying radical
  political and philosophical messages. 
• Voltaire’s works
  frequently contain the word “l’infâme” and the
  expression “écrasez l’infâme,” or “crush the
  infamous.” The phrase refers to abuses of the people by royalty and the
  clergy,  and the superstition and intolerance that
  the clergy bred within the people. His two most famous works elaborating the concept are
  The Treatise on Tolerance and The Philosophical Dictionary.
• Voltaire had an enormous influence on the
  development of historiography through his demonstration of fresh new ways to
  look at the past. His best-known works are The Age of Louis
  XIV and The Essay on the Customs and the Spirit of the
  Nations.
• In his criticism of the French society and
  existing social structures, Voltaire hardly spared anyone. He perceived the
  French bourgeoisie to be too small and ineffective, the aristocracy to be
  parasitic and corrupt, the commoners as ignorant and superstitious, and the church as a static and oppressive force.
• Voltaire distrusted democracy, which he saw as propagating
  the idiocy of the masses. He long thought only an enlightened monarch could
  bring about change, and that it was in the king’s rational interest to
  improve the education and welfare of his subjects. 

Key Terms

Ancien Régime

The monarchic-aristocratic, social, and political system established in the Kingdom of France from approximately the 15th century until the latter part of the 18th century (“early modern France”), under the late Valois and Bourbon Dynasties. The term is occasionally used to refer to the similar feudal social and political order of the time elsewhere in Europe.

The Philosophical Dictionary

An encyclopedic dictionary published by Voltaire in 1764. The alphabetically arranged articles often criticize the Roman Catholic Church and other institutions. It represents the culmination of Voltaire’s views on Christianity, God, morality, and other subjects.

The Treatise on Tolerance

A work by French philosopher Voltaire, published in 1763, in which he calls for tolerance between religions, and targets religious fanaticism, especially that of the Jesuits (under whom Voltaire received his early education), indicting all superstitions surrounding religions.

deism

A theological/philosophical position that combines the rejection of revelation and authority as a source of religious knowledge, with the conclusion that reason and observation of the natural world are sufficient to determine the existence of a single creator of the universe.

Introduction: Voltaire

François-Marie Arouet, known by his literary pseudonym Voltaire, was a French Enlightenment writer, historian, and philosopher famous for his wit, his attacks on the established Catholic Church, and his advocacy of freedom of religion, freedom of expression, and separation of church and state. 

He was born in Paris in 1694 and educated by the Jesuits at the Collège Louis-le-Grand (1704-1711). By the time he left school, Voltaire had decided he wanted to be a writer, against the wishes of his father, who wanted him to become a lawyer. Under his father’s pressure, he studied law but he continued to write, producing essays and historical studies. In 1713, his father obtained a job for him as a secretary to a French ambassador in the Netherlands, but Voltaire was forced to return to France after a scandalous affair. From early on, he had trouble with the authorities over his critiques of the government. These activities were to result in two imprisonments and a temporary exile to England. One satirical verse, in which Voltaire accused Philippe II, Duke of Orléans,

of incest with his own daughter, led to an eleven-month imprisonment in the Bastille (after which he adopted the name Voltaire). He mainly argued for religious tolerance and freedom of thought. He campaigned to eradicate priestly and aristocratic-monarchical authority, and supported a constitutional monarchy that protects people’s rights.

Voltaire,
portrait by Nicolas de Largillière, c. 1724

Voltaire was a versatile writer, producing works in almost every literary form, including plays, poems, novels, essays, and historical and scientific works. He wrote more than 20,000 letters and more than 2,000 books and pamphlets. He was an outspoken advocate of several liberties, despite the risk this placed him in under the strict censorship laws of the time. As a satirical polemicist, he frequently made use of his works to criticize intolerance, religious dogma, and the French institutions of his day.

Political and Philosophical Views

Voltaire’s political and philosophical views can be found in nearly all of his prose writings, even in what would be typically categorized as fiction. Most of his prose, including such genres as romance, drama, or satire, was written as polemics with the goal of conveying radical political and philosophical messages.
His works, especially private letters, frequently contain the word “l’infâme” and the expression “écrasez l’infâme,” or “crush the infamous.” The phrase refers to abuses of the people by royalty and the clergy that Voltaire saw around him, and the superstition and intolerance that the clergy bred within the people.
Voltaire’s first major philosophical work in his battle against “l’infâme” was The Treatise on Tolerance (1763), in which he calls for tolerance between religions and targets religious fanaticism, especially that of the Jesuits, indicting all superstitions surrounding religions. The book was quickly banned. Only a year later, he published The Philosophical Dictionary—

an encyclopedic dictionary with alphabetically arranged articles that criticize the Roman Catholic Church and other institutions. In it, Voltaire is concerned with the injustices of the Catholic Church, which he sees as intolerant and fanatical. At the same time, he espouses deism, tolerance, and freedom of the press. The Dictionary was Voltaire’s lifelong project, modified and expanded with each edition. It represents the culmination of his views on Christianity, God, morality, and other subjects.

Voltaire as Historian 

Voltaire had an enormous influence on the development of historiography through his demonstration of fresh new ways to look at the past. His best-known historiography works are The Age of Louis XIV (1751) and The Essay on the Customs and the Spirit of the Nations (1756). Voltaire broke from the tradition of narrating diplomatic and military events, and emphasized customs, social history, and achievements in the arts and sciences. The Essay traced the progress of world civilization in a universal context, thereby rejecting both nationalism and the traditional Christian frame of reference. Voltaire was also the first scholar to make a serious attempt to write the history of the world, eliminating theological frameworks and emphasizing economics, culture, and political history. He treated Europe as a whole, rather than a collection of nations. He was the first to emphasize the debt of medieval culture to Middle Eastern civilization, and consistently exposed the intolerance and frauds of the church over the ages. 

Views on the Society

In his criticism of the French society and existing social structures, Voltaire hardly spared anyone. He perceived the French bourgeoisie to be too small and ineffective, the aristocracy to be parasitic and corrupt, the commoners as ignorant and superstitious, and the church as a static and oppressive force useful only on occasion as a counterbalance to the rapacity of kings, although all too often, even more rapacious itself. Voltaire distrusted democracy, which he saw as propagating the idiocy of the masses. He long thought only an enlightened monarch could bring about change, given the social structures of the time and the extremely high rates of illiteracy, and that it was in the king’s rational interest to improve the education and welfare of his subjects. But his disappointments and disillusions with Frederick the Great changed his philosophy and soon gave birth to one of his most enduring works, his novella Candide, or Optimism (1759), which ends with a new conclusion: “It is up to us to cultivate our garden.” 

He is remembered and honored in France as a courageous polemicist who indefatigably fought for civil rights (as the right to a fair trial and freedom of religion), and who denounced the hypocrisies and injustices of the Ancien Régime. The Ancien Régime involved an unfair balance of power and taxes between the three Estates: clergy and nobles on one side, the commoners and middle class, who were burdened with most of the taxes, on the other. 

  

19.4.5: Jean-Jacques Rousseau

Jean-Jacques Rousseau was a Francophone Genevan philosopher and writer, whose conceptualization of social contract, the theory of natural human, and works on education greatly influenced the political, philosophical, and social western tradition. 

Learning Objective

Identify the components of Rousseau’s philosophy, particularly the idea of the General Will

Key Points

• Jean-Jacques
  Rousseau was a Francophone Genevan philosopher, writer, and composer. His
  political philosophy influenced the Enlightenment in France and
  across Europe. It was also important to the French Revolution and the
  overall development of modern political and educational thought. 
• In common with other philosophers of the day,
  Rousseau looked to a hypothetical state of nature as a normative guide.
  In The
  Discourse on the Origins of Inequality Among Men, he maintained that the stage of human development
  associated with what he called “savages” was the best or optimal in
  human development.
• In his Discourse on the Moral
  Effects of the Arts and Sciences, Rousseau argued, in opposition
  to the dominant stand of Enlightenment thinkers, that the arts and sciences
  corrupt human morality. 
• The Social Contract outlines
  the basis for a legitimate political order within a framework of classical
  republicanism. Published in 1762, it became one of the most influential works
  of political philosophy in the western tradition. 
• Rousseau’s philosophy of education concerns itself
  with developing the students’ character and moral sense, so that they may learn
  to practice self-mastery and remain virtuous even in the unnatural and
  imperfect society in which they will have to live. 
• Rousseau was a believer in the moral superiority
  of the patriarchal family on the antique Roman model. To him, ideal woman is
  educated to be governed by
  her husband, while ideal man is educated to be
  self-governing. 

Key Terms

general will

A philosophical and political concept, developed and popularized in the 18th century, that denoted  the will of the people as a whole. It served to designate the common interest embodied in legal tradition, as distinct from, and transcending, people’s private and particular interests at any particular time.

The Social Contract

A 1762 treatise by Jean-Jacques Rousseau, in which he theorized the best way to establish a political community in the face of the problems of commercial society. The work helped inspire political reforms and revolutions in Europe. It argued against the idea that monarchs were divinely empowered to legislate. Rousseau asserts that only the people, who are sovereign, have that all-powerful right.

Discourse on the Moral Effects of the Arts and Sciences

A 1750 treatise by  Jean-Jacques Rousseau, which argued that the arts and sciences corrupt human morality. It was Rousseau’s first expression of his influential views about nature vs. society, to which he would dedicate most of his intellectual life.

state of nature

A concept used in moral and political philosophy, religion, social contract theories, and international law to denote the hypothetical conditions of what the lives of people might have been like before societies came into existence. In some versions of social contract theory, there are no rights in the state of nature, only freedoms, and it is the contract that creates rights and obligations. In other versions the opposite occurs—

the contract imposes restrictions upon individuals that curtail their natural rights.

The Discourse on the Origins of Inequality Among Men

A work by philosopher Jean-Jacques Rousseau that first exposes his conception of a human state of nature and of human perfectibility, an early idea of progress. In it, Rousseau explains how, according to him, people may have established civil society, which leads him to present private property as the original source and basis of all inequality.

“noble savage”

A literary stock character who embodies the concept of an idealized indigene, outsider, or “other” who has not been “corrupted” by civilization, and therefore symbolizes humanity’s innate goodness. In English, the phrase first appeared in the 17th century in John Dryden’s heroic play The Conquest of Granada (1672).

Introduction: Jean-Jacques Rousseau

Jean-Jacques Rousseau was a Francophone Genevan philosopher, writer, and composer. His political philosophy influenced the Enlightenment in France and across Europe. It was also important to the French Revolution and the overall development of modern political and educational thought. 

Rousseau was born in 1712 in Geneva, which was at the time a city-state and a Protestant associate of the Swiss Confederacy. His mother died several days after he was born, and
after his father remarried a few years later, Jean-Jacques was left with his maternal uncle, who packed him away, along with his own son, to board for two years with a Calvinist minister in a hamlet outside Geneva. Here, the boys picked up the elements of mathematics and drawing.
After his father and uncle had more or less disowned him, the teenage Rousseau supported himself for a time as a servant, secretary, and tutor, wandering in Italy and France. He had been an indifferent student, but during his 20s, which were marked by long bouts of hypochondria, he applied himself to the study of philosophy, mathematics, and music. Rousseau spent his adulthood holding numerous administrative positions and moving across Europe, often to escape a controversy caused by his radical writings. His relationships with various women had important impacts on his life choices (e.g., temporary conversion to Catholicism) and inspired many of his writings. His decision to place his five children (born from a long-term domestic partnership with
Thérèse Levasseur) in a shelter for abandoned children was widely criticized by his contemporaries and generations to come, particularly in light of his progressive works on education. Rousseau died in 1778.

Jean-Jacques Rousseau, portrait by Maurice Quentin de La Tour, c. 1753

During the period of the French Revolution, Rousseau was the most popular of the philosophers among members of the Jacobin Club. Rousseau was interred as a national hero in the Panthéon in Paris, in 1794, 16 years after his death.

The Theory of Natural Human 

In common with other philosophers of the day, Rousseau looked to a hypothetical state of nature as a normative guide. Contrary to Thomas Hobbes’ views, Rousseau holds that “uncorrupted morals” prevail in the “state of nature.”
In The Discourse on the Origins of Inequality Among Men (1754), Rousseau maintained that man in a state of nature had been a solitary, ape-like creature, who was not méchant (bad), as Hobbes had maintained, but (like some other animals) had an “innate repugnance to see others of his kind suffer.”

He asserted that the stage of human development associated with what he called “savages” was the best or optimal in human development, between the less-than-optimal extreme of brute animals on the one hand, and the extreme of decadent civilization on the other. Espousing the belief that all degenerates in men’s hands, Rousseau taught that men would be free, wise, and good in the state of nature, and that instinct and emotion, when not distorted by the unnatural limitations of civilization, are nature’s voices and instructions to the good life. Rousseau’s “noble savage” stands in direct opposition to the man of culture (however, while Rousseau discusses the concept, he never uses the phrase that appears in other authors’ writings of the period). In his Discourse on the Moral Effects of the Arts and Sciences (1750), Rousseau argued, in opposition to the dominant stand of Enlightenment thinkers, that the arts and sciences corrupt human morality. 

The Social Contract

The Social Contract outlines the basis for a legitimate political order within a framework of classical republicanism. Published in 1762, it became one of the most influential works of political philosophy in the western tradition. Rousseau claimed that the state of nature was a primitive condition without law or morality, which human beings left for the benefits and necessity of cooperation. As society developed, division of labor and private property required the human race to adopt institutions of law. According to Rousseau, by joining together into civil society through the social contract, and abandoning their claims of natural right, individuals can both preserve themselves and remain free. This is because submission to the authority of the general will of the people as a whole guarantees individuals against being subordinated to the wills of others, and also ensures that they obey themselves because they are, collectively, the authors of the law.
The idea of general will denoted  the will of the people as a whole. It served to designate the common interest embodied in legal tradition, as distinct from, and transcending, people’s private and particular interests at any particular time.

Although Rousseau argues that sovereignty (or the power to make the laws) should be in the hands of the people, he also makes a sharp distinction between the sovereign and the government.
He posits that the political aspects of a society should be divided into two parts. First, there must be a sovereign consisting of the whole population, women included, that represents the general will and is the legislative power within the state. The second division is that of the government, being distinct from the sovereign. This division is necessary because the sovereign cannot deal with particular matters like applications of the law. Doing so would undermine its generality, and therefore damage its legitimacy. Thus, government must remain a separate institution from the sovereign body. When the government exceeds the boundaries set in place by the people, it is the mission of the people to abolish such government, and begin anew.

Education Theory

Rousseau’s philosophy of education, elaborated
in his 1762 treatise Emile, or On Education, concerns itself with developing the students’ character and moral sense, so that they may learn to practice self-mastery and remain virtuous even in the unnatural and imperfect society in which they will have to live. The hypothetical boy, Émile, is to be raised in the countryside, which, Rousseau believes, is a more natural and healthy environment than the city, under the guardianship of a tutor, who will guide him through various learning experiences arranged by the tutor. Rousseau felt that children learn right and wrong through experiencing the consequences of their acts, rather than through physical punishment. The tutor will make sure that no harm results to Émile through his learning experiences. Rousseau became an early advocate of developmentally appropriate education.

Although many of Rousseau’s ideas foreshadowed modern ones in many ways, in one way they do not; Rousseau was a believer in the moral superiority of the patriarchal family on the antique Roman model. Sophie, the young woman Émile is destined to marry, as a representative of ideal womanhood, is educated to be governed by her husband, while Émile, as representative of the ideal man, is educated to be self-governing. This is an essential feature of Rousseau’s educational and political philosophy, and particularly important to the distinction between private, personal relations and the public world of political relations. The private sphere as Rousseau imagines it depends on the subordination of women, in order for both it and the public political sphere (upon which it depends) to function as Rousseau imagines it could and should. Rousseau anticipated the modern idea of the bourgeois nuclear family, with the mother at home taking responsibility for the household, childcare, and early education.

19.4.6: Marquis de Condorcet

Although Marquis de Condorcet’s ideas are
considered to embody the ideals of the Age of Enlightenment, his support of liberal economy, free and equal public instruction, constitutionalism, and equal rights for women and people of all races distinguish him from most of his contemporaries.

Learning Objective

Compare and contrast the Marquis de Condorcet’s thoughts on popular rule with the other Enlightenment thinkers

Key Points

• Marquis de Condorcet, was a French philosopher,
  mathematician, and early political scientist. Unlike many of his
  contemporaries, he advocated a liberal economy, free and equal public
  instruction, constitutionalism, and equal rights for women and people of
  all races. 
• He launched a career as a mathematician, soon reaching international fame. However, his political ideas,
  particularly that of radical democracy and opposition to slavery, were criticized heavily in the
  English-speaking world.
• Condorcet took a leading role when the French
  Revolution swept France in 1789. He hoped for a rationalist reconstruction of
  society, and championed many liberal causes, including women’s suffrage. 
• Condorcet’s Sketch for a Historical
  Picture of the Progress of the Human Spirit is perhaps the
  most influential formulation of the Idea of Progress ever written. It narrates
  the history of civilization as one of progress in the sciences, and shows the
  intimate connection between scientific progress and the development of human
  rights and justice.
• According to Condorcet, for republicanism to
  exist the nation needed enlightened citizens, and education needed democracy to
  become truly public. In order to educate citizens, he proposed a system of free public education. 

Key Terms

Idea of Progress

In intellectual history, the idea that advances in technology, science, and social organization can produce an improvement in the human condition. That is, people can become better, in terms of quality of life (social progress), through economic development (modernization), and the application of science and technology (scientific progress). The assumption is that the process will happen once people apply their reason and skills, for it is not divinely foreordained.

rationalism

In epistemology, the view that regards reason as the chief source and test of knowledge, or any view appealing to reason as a source of knowledge or justification. More formally, it is defined as a methodology, or a theory, in which the criterion of the truth is not a result of experience but of intellect and deduction.

Marquis de Condorcet: The Radical of the Enlightenment

Nicolas de Condorcet, known also as Marquis de Condorcet, was a French philosopher, mathematician, and early political scientist. Unlike many of his contemporaries, he advocated a liberal economy, free and equal public instruction, constitutionalism, and equal rights for women and people of all races. Although his ideas and writings are considered to embody the ideals of the Age of Enlightenment and rationalism, they were much more radical that those of most of his contemporaries, even those who were also seen as radicals.

Condorcet was born in 1743 and raised by a devoutly religious mother. He was educated at the Jesuit College in Reims and at the Collège de Navarre in Paris, where he quickly showed his intellectual ability and gained his first public distinctions in mathematics. From 1765 to 1774, he focused on science. In 1765, he published his first work on mathematics, launching his career as a mathematician. In 1769, he was elected to the French Royal Academy of Sciences. Condorcet worked with Leonhard Euler and Benjamin Franklin. He soon became an honorary member of many foreign academies and philosophic societies, but his political ideas, particularly that of radical democracy, were criticized heavily in the English-speaking world, most notably by John Adams.
In 1781, Condorcet wrote a pamphlet, Reflections on Negro Slavery, in which he denounced slavery.

Portrait of Marquis de Condorcet (1743-1794) by Jean-Baptiste Greuze, date unknown 

Condorcet’s political views, including suffrage of women, opposition of slavery, equal rights regardless of race, or free public education, were unique even in the context of many radical ideas proposed during the Enlightenment period, He was also one of the first to systematically apply mathematics in the social sciences.

Role in the French Revolution

Condorcet took a leading role when the French Revolution swept France in 1789. He hoped for a rationalist reconstruction of society, and championed many liberal causes. In 1792, he presented a project for the reformation of the education system, aiming to create a hierarchical structure, under the authority of experts who would work as the guardians of the Enlightenment and who, independent of power, would be the guarantors of public liberties. The project was judged to be contrary to the republican and egalitarian virtues. Condorcet also advocated women’s suffrage for the new government, publishing “For the Admission to the Rights of Citizenship For Women” in 1790. This view went much further than the views of other major Enlightenment thinkers, including the champions of women’s rights. Even Mary Wollstonecraft, a British writer and philosopher
who attacked gender oppression, pressed for equal educational opportunities, and demanded “justice” and “rights to humanity” for all, did not go as far as to demand equal political rights for women.  

At the time of the Trial of Louis XVI, Condorcet, who opposed the death penalty but still supported the trial itself, spoke out against the execution of the King during the public vote at the Convention. He proposed to send the king to the galleys. Changing forces and shifts in power among different revolutionary groups eventually positioned largely independent Condorcet in the role of the critic of predominant ideas. His political opponents branded him a traitor, and in 1793, a warrant was issued for Condorcet’s arrest. After a period of hiding, he was captured and in 1794 he mysteriously died in prison. 

The Idea of Progress

Condorcet’s Sketch for a Historical Picture of the Progress of the Human Spirit (1795) was perhaps the most influential formulation of the Idea of Progress ever written. It
narrates the history of civilization as one of progress in the sciences, shows the intimate connection between scientific progress and the development of human rights and justice, and outlines the features of a future rational society entirely shaped by scientific knowledge. It also made the notion of progress a central concern of Enlightenment thought. Condorcet argued that expanding knowledge in the natural and social sciences would lead to an ever more just world of individual freedom, material affluence, and moral compassion. He believed that through the use of our senses and communication with others, knowledge could be compared and contrasted as a way of analyzing our systems of belief and understanding. None of Condorcet’s writings refer to a belief in a religion or a god who intervenes in human affairs. Instead, he frequently wrote of his faith in humanity itself and its ability to progress with the help of philosophers. He envisioned man as continually progressing toward a perfectly utopian society. However, he stressed that for this to be a possibility, man must unify regardless of race, religion, culture, or gender.

Education and Rights

According to Condorcet, for republicanism to exist the nation needed enlightened citizens, and education needed democracy to become truly public. Democracy implied free citizens and ignorance was the source of servitude. Citizens had to be provided with the necessary knowledge to exercise their freedom and understand the rights and laws that guaranteed their enjoyment. Although education could not eliminate disparities in talent, all citizens, including women, had the right to free education. In opposition to those who relied on revolutionary enthusiasm to form the new citizens, Condorcet maintained that revolution was not made to last, and that revolutionary institutions were not intended to prolong the revolutionary experience but to establish political rules and legal mechanisms that would insure future changes without revolution. In a democratic city there would be no Bastille to be seized. Public education would form free and responsible citizens, not revolutionaries.

19.4.7: Mary Wollstonecraft

Mary Wollstonecraft was an English writer, philosopher, and advocate of women’s rights, whose focus on women’s rights, and particularly women’s access to education, distinguished her from most of male Enlightenment thinkers. 

Learning Objective

Summarize the ways in which Wollstonecraft’s philosophy differed from the other Enlightenment thinkers

Key Points

• Mary Wollstonecraft (1759-1797) was an English writer,
  philosopher, and advocate of women’s rights. She was the major female voice of
  the Enlightenment. Until the late 20th century, however, Wollstonecraft’s life,
  received more attention than her writing. 

• The majority of Wollstonecraft’s early works focus on education.
  She advocates educating children into the emerging middle-class ethos:
  self-discipline, honesty, frugality, and social contentment. She also
  advocates the education of women, a controversial topic at the time and one
  which she would return to throughout her career. 

• In response to Edmund Burke’s Reflections on the
  Revolution in France (1790), which was a defense of constitutional
  monarchy, aristocracy, and the Church of England, Wollstonecraft’s A
  Vindication of the Rights of Men (1790) attacks aristocracy and
  advocates republicanism. 

• A Vindication of the Rights of Woman (1792)
  is one of the earliest works of feminist philosophy. In it, Wollstonecraft
  argues that women ought to have an education commensurate with their position in
  society, and claims that women are essential to the nation because they
  educate its children and because they could be “companions” to their
  husbands, rather than just wives.

• Scholars of feminism still debate to what extent Wollstonecraft
  was, indeed, a feminist; while she does call for equality between the
  sexes in particular areas of life, such as morality, she does not explicitly
  state that men and women are equal.

• Wollstonecraft addresses her writings to the middle class, and
  represents a class bias by her condescending treatment of the poor.

Key Terms

A Vindication of the Rights of Woman

A 1792 work by the 18th-century British feminist Mary Wollstonecraft that is one of the earliest works of feminist philosophy. In it, Wollstonecraft argues that women should have an education commensurate with their position in society, claiming that women are essential to the nation because they educate its children and because they could be “companions” to their husbands, rather than just wives.

Reflections on the Revolution in France

A political pamphlet written by the Irish statesman Edmund Burke and published in 1790. One of the best-known intellectual attacks against the French Revolution, it is a defining tract of modern conservatism as well as an important contribution to international theory.

A Vindication of the Rights of Men

A 1790 political pamphlet written by the 18th-century British feminist Mary Wollstonecraft, which attacks aristocracy and advocates republicanism. It was the first response in a pamphlet war sparked by the publication of Edmund Burke’s Reflections on the Revolution in France (1790), a defense of constitutional monarchy, aristocracy, and the Church of England.

Woman’s Voice at the Age of Enlightenment 

Mary Wollstonecraft
(1759-1797) was an English writer, philosopher, and advocate of women’s
rights. During her brief career, she wrote novels, treatises, a travel
narrative, a history of the French Revolution, a conduct book, and a children’s
book. Until the late 20th century, Wollstonecraft’s life, which encompassed an illegitimate child, passionate love affairs, and suicide attempts, received
more attention than her writing. After two ill-fated affairs, with Henry Fuseli
and Gilbert Imlay (by whom she had a daughter, Fanny Imlay), Wollstonecraft
married the philosopher William Godwin, one of the forefathers of the anarchist
movement. She died at the age of 38, eleven days after giving birth to her
second daughter, leaving behind several unfinished manuscripts. The second
daughter, Mary Wollstonecraft Godwin, became an accomplished writer herself as
Mary Shelley, the author of Frankenstein.

After Wollstonecraft’s death,
her widower published a memoir (1798)
of her life, revealing her unorthodox lifestyle, which inadvertently destroyed
her reputation for almost a century. However, with the emergence of the
feminist movement at the turn of the twentieth century, Wollstonecraft’s
advocacy of women’s equality and critiques of conventional femininity became
increasingly important. Today, Wollstonecraft is regarded as one of the founding
feminist philosophers, and feminists often cite both her life and work as
important influences.

Mary Wollstonecraft by John Opie (c. 1797), National Portrait Gallery, London

Despite the controversial topic, the Rights of Woman received favorable reviews and was a great success. It was almost immediately released in a second edition in 1792, several American editions appeared, and it was translated into French. It was only the later revelations of her personal life that
resulted in negative views towards Wollstonecraft, which persisted for over a century.

Education Theory

The majority of
Wollstonecraft’s early works focus on education. She assembled an anthology of
literary extracts “for the improvement of young women” entitled The
Female Reader. In both her
conduct book Thoughts
on the Education of Daughters (1787) and
her children’s book Original
Stories from Real Life (1788),
Wollstonecraft advocates educating children into the emerging middle-class
ethos of self-discipline, honesty, frugality, and social contentment. Both
books also emphasize the importance of teaching children to reason, revealing
Wollstonecraft’s intellectual debt to the important 17th-century
educational philosopher John Locke. Both texts also advocate the education of
women, a controversial topic at the time, and one which she would return to
throughout her career. Wollstonecraft argues that well-educated women will be
good wives and mothers, and ultimately contribute positively to the nation.

A Vindication of the Rights of Man

Published in response to Edmund
Burke’s Reflections
on the Revolution in France (1790),
which was a defense of constitutional monarchy, aristocracy, and the Church of
England, and an attack on Wollstonecraft’s friend, Richard Price,
Wollstonecraft’s A
Vindication of the Rights of Man (1790)
attacks aristocracy and advocates republicanism. Wollstonecraft attacked not
only monarchy and hereditary privilege, but also the gendered language that
Burke used to defend and elevate it. Burke associated the beautiful with
weakness and femininity, and the sublime with strength and masculinity.
Wollstonecraft turns these definitions against him, arguing that his theatrical
approach turn Burke’s readers—the citizens—into weak women who are swayed by
show. In her first unabashedly feminist critique, Wollstonecraft indicts
Burke’s defense of an unequal society founded on the passivity of women.

In her arguments for
republican virtue, Wollstonecraft invokes an emerging middle-class ethos in
opposition to what she views as the vice-ridden aristocratic code of manners.
Influenced by Enlightenment thinkers, she believed in progress, and derides
Burke for relying on tradition and custom. She argues for rationality, pointing
out that Burke’s system would lead to the continuation of slavery, simply
because it had been an ancestral tradition.

A Vindication of the Rights of Woman

A Vindication of the Rights of Woman (1792) is one of the
earliest works of feminist philosophy. In it, Wollstonecraft argues that women
ought to have an education commensurate with their position in society, and then
proceeds to redefine that position, claiming that women are essential to the
nation because they educate its children and because they could be
“companions” to their husbands rather than just wives. Instead of
viewing women as ornaments to society or property to be traded in marriage,
Wollstonecraft maintains that they are human beings deserving of the same
fundamental rights as men. Large sections of the Rights
of Woman respond
vitriolically to the writers, who wanted to deny women an education. 

While Wollstonecraft does
call for equality between the sexes in particular areas of life, such as
morality, she does not explicitly state that men and women are equal. She
claims that men and women are equal in the eyes of God. However, such
statements of equality stand in contrast to her statements respecting the
superiority of masculine strength and valor. Her ambiguous position regarding
the equality of the sexes have since made it difficult to classify
Wollstonecraft as a modern feminist. Her focus on the rights of women does
distinguish Wollstonecraft from most of her male Enlightenment counterparts.
However, some of them, most notably Marquis de Condorcet, expressed a much more
explicit position on the equality of men and women. Already in 1790, Condorcet
advocated women’s suffrage. 

Wollstonecraft addresses her
text to the middle class, which she describes as the “most natural
state,” and in many ways the Rights
of Woman is
inflected by a bourgeois view of the world. It encourages modesty and industry
in its readers and attacks the uselessness of the aristocracy. But
Wollstonecraft is not necessarily a friend to the poor. For example, in her
national plan for education, she suggests that, after the age of nine, the
poor, except for those who are brilliant, should be separated from the rich and
taught in another school.

18.2: Spain and Catholicism

18.2.1: The Reconquista

Learning Objective

Explain how the Reconquista led to Spain’s increasing commitment to Catholicism

Key Points

• The Reconquista is a period in the history of the Iberian Peninsula, spanning approximately 770 years, between the initial Umayyad conquest of Hispania in the 710s and the fall of the Emirate of Granada, the last Islamic state on the peninsula, to expanding Christian kingdoms in 1492.
• By 718 the Muslims were in control of nearly the whole Iberian Peninsula. The advance into Western Europe was only stopped in what is now north-central France by the West Germanic Franks at the Battle of Tours in 732.
• The Kingdom of Asturias became the main base for Christian resistance to Islamic rule in the Iberian Peninsula for several centuries. Medieval Spain was the scene of almost constant warfare between Muslims and Christians.
• By 1250, nearly all of Iberia was back under Christian rule, with the exception of the Muslim kingdom of Granada—the only independent Muslim realm in Spain that would last until 1492.
• Around 1480, Catholic Monarchs Ferdinand II of Aragon and Isabella I of Castile (known as the Catholic Monarchs) established what would be known as the Spanish Inquisition. It was intended to maintain Catholic orthodoxy in their kingdoms.
• In the aftermath of the Reconquista and the Inquisition, Catholicism dominated the politics, social relations, and culture of Spain, shaping Spain as a state and the Spanish as a nation.

Key Terms

Alhambra Decree

An edict issued on March 31, 1492, by the joint Catholic Monarchs of Spain (Isabella I of Castile and Ferdinand II of Aragon) ordering the expulsion of practicing Jews from the Kingdoms of Castile and Aragon and its territories and possessions by July 31 of that year. 

Battle of Covadonga

The first victory by a Christian military force in Iberia following the Islamic conquest of Visigothic Hispania in 711–718. It was fought most likely in 722. The battle was followed by the creation of an independent Christian principality in the mountains of Asturias that became a bastion of Christian resistance to the expansion of Muslim rule. It was from there that the return of Christian rule to the entire Iberian peninsula began.

Visigothic Kingdom

A kingdom that occupied what is now southwestern France and the Iberian Peninsula from the 5th century to the 8th century. One of the Germanic successor states to the Western Roman Empire, the kingdom maintained independence from the Eastern Roman, or Byzantine, Empire. During its existence, Catholicism coalesced in Spain.

Kingdom of Asturias

A kingdom in the Iberian Peninsula founded in 718 by the nobleman Pelagius of Asturias. In 718 or 722, Pelagius defeated an Umayyad patrol at the Battle of Covadonga, in what is usually regarded as the beginning of the Reconquista. It transitioned to the Kingdom of León in 924 and
became the main base for Christian resistance to Islamic rule in the Iberian Peninsula for several centuries.

the Catholic Monarchs

The joint title used in history for Queen Isabella I of Castile and King Ferdinand II of Aragon. They were both from the House of Trastámara and were second cousins, both descended from John I of Castile; on marriage they were given a papal dispensation to deal with consanguinity by Sixtus IV. They established the Spanish Inquisition around 1480.

Arianism

A Christian belief that asserts that Jesus Christ is the Son of God who was created by God the Father at a point in time, is distinct from the Father, and is therefore subordinate to the Father. Arian teachings were first attributed to Arius (c. 250–336 CE), a Christian presbyter in Alexandria, Egypt. They gained popularity in the Iberian Peninsula before Catholicism became the predominant religion of the region.

Background

The Reconquista (“reconquest”) is a period in the history of the Iberian Peninsula, spanning approximately 770 years, between the initial Umayyad conquest of Hispania in the 710s and the fall of the Emirate of Granada, the last Islamic state on the peninsula, to expanding Christian kingdoms in 1492. Historians traditionally mark the beginning of the Reconquista with the Battle of Covadonga (most likely in 722), and its end is associated with Portuguese and Spanish colonization of the Americas. 

The Arab Islamic conquest had dominated most of North Africa by 710 CE. In 711 an Islamic Berber raiding party, led by Tariq ibn Ziyad, was sent to Iberia to intervene in a civil war in the Visigothic Kingdom. Tariq’s army crossed the Strait of Gibraltar and won a decisive victory in the summer of 711 when the Visigothic King Roderic was defeated and killed at the Battle of Guadalete. Tariq’s commander, Musa, quickly crossed with Arab reinforcements, and by 718 the Muslims were in control of nearly the whole Iberian Peninsula. The advance into Western Europe was only stopped in what is now north-central France by the West Germanic Franks at the Battle of Tours in 732.

A decisive victory for the Christians took place at Covadonga, in the north of the Iberian Peninsula, in the summer of 722. In a minor battle known as the Battle of Covadonga, a Muslim force sent to put down the Christian rebels in the northern mountains was defeated by Pelagius of Asturias, who established the monarchy of the Christian Kingdom of Asturias. In 739, a rebellion in Galicia, assisted by the Asturians, drove out Muslim forces, and it joined the Asturian kingdom. The Kingdom of Asturias became the main base for Christian resistance to Islamic rule in the Iberian Peninsula for several centuries.

Warfare between Muslims and Christians

Muslim interest in the peninsula returned in force around when Al-Mansur sacked Barcelona in 985. Under his son, other Christian cities were subjected to numerous raids. After his son’s death, the caliphate plunged into a civil war and splintered into the so-called “Taifa Kingdoms.” Medieval Spain was the scene of almost constant warfare between Muslims and Christians. The Almohads, who had taken control of the Almoravids’ Maghribi and al-Andalus territories by 1147, surpassed the Almoravides in fundamentalist Islamic outlook, and they treated the non-believer dhimmis harshly. Faced with the choice of death, conversion, or emigration, many Jews and Christians left.

The Taifa kingdoms lost ground to the Christian realms in the north. After the loss of Toledo in 1085, the Muslim rulers reluctantly invited the Almoravides, who invaded Al-Andalus from North Africa and established an empire. In the 12th century the Almoravid empire broke up again, only to be taken over by the invasion of the Almohads, who were defeated by an alliance of the Christian kingdoms in the decisive battle of Las Navas de Tolosa in 1212. By 1250, nearly all of Iberia was back under Christian rule, with the exception of the Muslim kingdom of Granada—the only independent Muslim realm in Spain that would last until 1492.

Francisco Pradilla Ortiz,
The Capitulation of Granada (1882)

The Capitulation of Granada shows Muhammad XII confronting Ferdinand and Isabella.

Despite the decline in Muslim-controlled kingdoms, it is important to note the lasting effects exerted on the peninsula by Muslims in technology, culture, and society.

Spanish Inquisition

Around 1480, Ferdinand II of Aragon and Isabella I of Castile, known as
the Catholic Monarchs, established what would be known as the Spanish Inquisition. It was intended to maintain Catholic orthodoxy in their kingdoms and to replace the Medieval Inquisition, which was under Papal control. It covered Spain and all the Spanish colonies and territories, which included the Canary Islands, the Spanish Netherlands, the Kingdom of Naples, and all Spanish possessions in North, Central, and South America.

People who converted to Catholicism were not subject to expulsion, but between 1480 and 1492 hundreds of those who had converted (conversos and moriscos) were accused of secretly practicing their original religion (crypto-Judaism or crypto-Islam) and arrested, imprisoned, interrogated under torture, and in some cases burned to death, in both Castile and Aragon. In 1492 Ferdinand and Isabella ordered segregation of communities to create closed quarters that became what were later called “ghettos.” They also furthered economic pressures upon Jews and other non-Christians by increasing taxes and social restrictions. In 1492 the monarchs issued a decree of expulsion of Jews, known formally as the Alhambra Decree, which gave Jews in Spain four months to either convert to Catholicism or leave Spain. Tens of thousands of Jews emigrated to other lands such as Portugal, North Africa, the Low Countries, Italy, and the Ottoman Empire. Later in 1492, Ferdinand issued a letter addressed to the Jews who had left Castile and Aragon, inviting them back to Spain if they had become Christians. The Inquisition was not definitively abolished until 1834, during the reign of Isabella II, after a period of declining influence in the preceding century.

Most of the descendants of the Muslims who submitted to conversion to Christianity rather than exile during the early periods of the Spanish and Portuguese Inquisition, the Moriscos, were later expelled from Spain after serious social upheaval, when the Inquisition was at its height. The expulsions were carried out more severely in eastern Spain (Valencia and Aragon) due to local animosity towards Muslims and Moriscos perceived as economic rivals; local workers saw them as cheap labor undermining their bargaining position with the landlords. Those that the Spanish Inquisition found to be secretly practicing Islam or Judaism were executed, imprisoned, or expelled. Nevertheless, all those deemed to be “New Christians” were perpetually suspected of various crimes against the Spanish state, including continued practice of Islam or Judaism.

The Inquisition Tribunal as illustrated by Francisco de Goya (1808/1812)

Catholicism

Although the period of rule by the Visigothic Kingdom (c. 5th–8th centuries) saw the brief spread of Arianism, Catholic religion coalesced in Spain at the time. The Councils of Toledo debated creed and liturgy in orthodox Catholicism, and the Council of Lerida in 546 constrained the clergy and extended the power of law over them under the blessings of Rome. In 587, the Visigothic king at Toledo, Reccared, converted to Catholicism and launched a movement in Spain to unify the various religious doctrines that existed in the land. This put an end to dissension on the question of Arianism. The period of Reconquista and the Spanish Inquisition that followed turned Catholicism into the dominant religion of Spain, which has shaped the development of the Spanish state and national identity.  

18.2.2: The Spanish Habsburgs

Learning Objective

Explain why the Spanish Habsburgs grew increasingly feeble as a family

Key Points

• Spain was ruled by the major branch of the Habsburg dynasty over the 16th and 17th centuries. In this period, it dominated Europe politically and militarily, but experienced a gradual decline of influence in the second half of the 17th century under the later Habsburg kings. 
• When Spain’s first Habsburg ruler, Charles I, became king of Spain in 1516, Spain became central to the dynastic struggles of Europe. Under Charles I, Spain colonized big parts of the Americas and established itself as the first modern global empire.
• Under Philip II, the Spanish empire included territories on every continent then known to Europeans. During his reign, Spain reached the height of its influence and power.
• Under Philip III, a ten-year truce with the Dutch was overshadowed in 1618 by Spain’s involvement in the European-wide Thirty Years’ War. Additionally, paying for the budget deficits by the mass minting of currency caused an enormous economic crisis.
• Under Philip IV, much of the policy was conducted by the minister Gaspar de Guzmán. Portugal was lost to the crown for good; in Italy and most of Catalonia, French forces were expelled and Catalonia’s independence was suppressed. 
• Charles’ II

  mental and physical disabilities, caused most likely by the generations of inbreeding among the Spanish Habsburgs, enabled power games on the court and meant that Spain was essentially left leaderless and gradually reduced to a second-rank power.

Key Terms

Spanish Armada

A Spanish fleet of 130 ships that sailed from A Coruña in August 1588 with the purpose of escorting an army from Flanders to invade England. The strategic aim was to overthrow Queen Elizabeth I of England and the Tudor establishment of Protestantism in England.

consanguinity

The property of being from the same kinship as another person. In that aspect, consanguinity is the quality of being descended from the same ancestor as another person. The laws of many jurisdictions set out degrees of consanguinity in relation to prohibited sexual relations and marriage parties.

Spanish Golden Age

A period of flourishing in arts and literature in Spain, coinciding with the political rise and decline of the Spanish Habsburg dynasty. It does not imply precise dates and is usually considered to have lasted longer than an actual century.

Spain under the Habsburgs

Spain
was ruled by the major branch of the Habsburg dynasty over the 16th and 17th
centuries. In this period, “Spain” or “the Spains”
covered the entire peninsula, politically a confederacy comprising several
nominally independent kingdoms in personal union: Aragon, Castile, León,
Navarre and, from 1580, Portugal. At the time, the term “Monarchia
Catholica” (Catholic Monarchy) remained in use for the monarchy under
the Spanish Habsburgs. However, Spain as a unified state came into being by right only after the death of Charles II in 1700, the last ruler of
Spain of the Habsburg dynasty.

Under
the Habsburgs, Spain dominated Europe politically and militarily, but
experienced a gradual decline of influence in the second half of the
17th century under the later Habsburg kings. The Habsburg years were
also a Spanish Golden Age of cultural efflorescence. 

The Global Power

When
Spain’s first Habsburg ruler, Charles I, became king of Spain in 1516, Spain
became central to the dynastic struggles of Europe. After becoming king of
Spain, Charles also became Charles V, Holy Roman Emperor, and because of his
widely scattered domains was not often in Spain. As he approached the end of
his life he made provision for the division of the Habsburg inheritance into
two parts. On the one hand was Spain, its possessions in Europe, North Africa,
the Americas, and the Netherlands. On the other hand there was the Holy Roman
Empire. This was to create enormous difficulties for his son Philip II of
Spain.

The
Aztec and Inca Empires were conquered during Charles’s reign, from
1519 to 1521 and 1540 to 1558, respectively. Spanish settlements were
established in the New World: Mexico City, the most important colonial city
established in 1524 to be the primary center of administration in the New
World; Florida, colonized in the 1560s; Buenos Aires, established in 1536; and
New Granada (modern Colombia), colonized in the 1530s. The Spanish
Empire abroad became the source of Spanish wealth and power in Europe. But
as precious metal shipments rapidly expanded late in the century this contributed
to the general inflation that was affecting the whole of Europe. Instead
of fueling the Spanish economy, American silver made the country increasingly
dependent on foreign sources of raw materials and manufactured goods. 

Philip
II became king on Charles I’s abdication in 1556. During his reign, there were
several separate state bankruptcies, which were partly the cause for the
declaration of independence that created the Dutch Republic in 1581. A devout
Catholic, Philip organized a huge naval expedition against
Protestant England in 1588, known usually as the Spanish Armada, which was
unsuccessful, mostly due to storms and grave logistical problems. Despite these
problems, the growing inflow of New World silver from the mid-16th century, the
justified military reputation of the Spanish infantry, and even the quick recovery of the navy from its Armada disaster made Spain the leading European power, a
novel situation of which its citizens were only just becoming aware. The
Iberian Union with Portugal in 1580 not only unified the peninsula, but added
that country’s worldwide resources to the Spanish crown.

Europa Regina, associated with a Habsburg-dominated Europe under Holy Roman Emperor Charles V of Habsburg (Charles I of Spain)

Map of Europe as a queen, printed by Sebastian Munster in Basel in 1570.
Europe is shown standing upright with the Iberian Peninsula forming her crowned head.

The Gradual Decline

However,
economic and administrative problems multiplied in Castile, and the weakness of
the native economy became evident in the following century. Rising inflation,
financially draining wars in Europe, the ongoing aftermath of the expulsion of
the Jews and Moors from Spain, and Spain’s growing dependency on the gold and silver
imports combined to cause several bankruptcies that caused an economic crisis in
the country, especially in heavily burdened Castile.

Faced
with wars against England, France, and the Netherlands, the Spanish government
found that neither the New World silver nor steadily increasing taxes were
enough to cover their expenses, and went bankrupt again in 1596. Furthermore,
the great plague of 1596–1602 killed 600,000 to 700,000 people, or about 10% of
the population. Altogether more than 1,250,000 deaths resulted from the extreme
incidence of plague in 17th century Spain. Economically, the plague destroyed
the labor force, and created a psychological blow to an already
problematic Spain.

Philip
II died in 1598, and was succeeded by his son Philip III. In his reign
(1598–1621) a ten-year truce with the Dutch was overshadowed in 1618 by Spain’s
involvement in the European-wide Thirty Years’ War. Philip III had no interest in
politics or government, preferring to engage in lavish court festivities,
religious indulgences, and the theater. His government resorted to a
tactic that had been resolutely resisted by Philip II, paying for the budget
deficits by the mass minting of increasingly worthless vellones (the currency),
causing inflation. In 1607, the government faced another bankruptcy.

Philip
III was succeeded in 1621 by his son Philip IV of Spain (reigned 1621–1665). Much
of the policy was conducted by the minister Gaspar de Guzmán, Count-Duke of
Olivares. In 1640, with the war in Central Europe having no clear winner except
the French, both Portugal and Catalonia rebelled. Portugal was lost to the
crown for good; in Italy and most of Catalonia, French forces were expelled and
Catalonia’s independence was suppressed. 

Charles
II (1665–1700), the last of the Habsburgs in Spain, was three years old when
his father, Philip IV, died in 1665. The Council of Castile appointed
Philip’s second wife and Charles’s mother, Mariana of Austria, regent for
the minor king. As regent, Mariana managed the country’s affairs through a series
of favorites (“validos”), whose merits usually amounted
to no more than meeting her fancy. Spain was essentially left leaderless and
was gradually being reduced to a second-rank power.

Inbreeding 

The
Spanish branch of the Habsburg royal family was noted for extreme
consanguinity. Well aware that they owed their power to fortunate marriages,
they married between themselves to protect their gains. Charles’s father and his
mother, Mariana, were actually uncle and niece. Charles was physically and mentally
disabled and infertile, possibly in consequence of this massive inbreeding. Due to the
deaths of his half brothers, he was the last member of the male Spanish
Habsburg line. He did not learn to speak until the age of four nor to walk
until the age of eight, and was treated as virtually an infant until he was ten years old.
His jaw was so badly deformed (an extreme example of the so-called Habsburg
jaw) that he could barely speak or chew. Fearing the frail child would be
overtaxed, his caretakers did not force Charles to attend school.  

The
Habsburg dynasty became extinct in Spain with Charles II’s death in 1700, and
the War of the Spanish Succession ensued, in which the other European powers
tried to assume power over the Spanish monarchy. The control of Spain was
allowed to pass to the Bourbon dynasty. 

18.2.3: Philip II and the Spanish Armada

Learning Objective

Describe Philip II’s convictions and how he attempted to carry them out

Key Points

• During the reign of Philip II, Spain reached the height of its influence and power, and remained firmly Roman Catholic. Philip saw himself as a champion of Catholicism, both against the Muslim Ottoman Empire and the Protestants.
• As
  the Spanish Empire was not a single monarchy with one legal system but a federation of separate realms, Philip often found his authority overruled by local assemblies, and his word less effective than that of local lords.
• When Philip’s health began failing, he worked from his quarters in the Palace-Monastery-Pantheon of El Escorial, which he built with Juan Batista de Toledo and which was another expression of Philip’s commitments to protect Catholics against the raising influence of Protestantism across Europe.
• Philip’s foreign policies were determined by a combination of Catholic fervor and dynastic objectives. He considered himself the chief defender of Catholic Europe, both against the Ottoman Turks and against the forces of the Protestant Reformation.
• Wars with Dutch Provinces, England, France, and the Ottoman Empire all had the undermining religious aspects of protecting Catholicism in increasingly Protestant Europe or protecting Christianity against Islam.  
• Because Philip II was the most powerful European monarch in an era of war and religious conflict, evaluating both his reign and the man himself has become a controversial historical subject.

Key Terms

Morisco

A term used to refer to former Muslims who converted, or were coerced into converting, to Christianity after Spain outlawed the open practice of Islam by its Mudejar population in the early 16th century. The group was subject to systematic expulsions from Spain’s various kingdoms between 1609 and 1614, the most severe of which occurred in the eastern Kingdom of Valencia.

Eighty Years’ War

A revolt, known also as the Dutch
War of Independence (1568–1648), of the Seventeen Provinces against
the political and religious hegemony of Philip II of Spain, the sovereign of
the Habsburg Netherlands.

Spanish Armada

A Spanish fleet of 130 ships
that sailed from A Coruña in August 1588 with the purpose of escorting an
army from Flanders to invade England. The strategic aim was to overthrow Queen
Elizabeth I of England and the Tudor establishment of Protestantism in
England.

Catholic League

A major participant in the French Wars of Religion, formed by Henry I, Duke of Guise, in 1576. It intended the eradication of Protestants—also known as Calvinists or Huguenots—out of Catholic France during the Protestant Reformation, as well as the replacement of King Henry III. Pope Sixtus V, Philip II of Spain, and the Jesuits were all supporters of this Catholic party.

jure uxoris

A Latin term that means “by right of (his) wife.” It is most commonly used to refer to a title of nobility held by a man because his wife holds it suo jure (“in her own right”). Similarly, the husband of an heiress could become the legal possessor of her lands jure uxoris, “by right of [his] wife.” Jure uxoris monarchs are not to be confused with kings consort, who were merely consorts of their wives, not co-rulers.

Philip II of Spain

The son of Charles V of the Holy Roman Empire and his wife, Infanta Isabella of Portugal, Philip II of Spain was born in 1527. Known in Spain as “Philip the Prudent,” his empire included territories on every continent then known to Europeans, including his namesake the Philippine Islands. During his reign, Spain reached the height of its influence and power, and remained firmly Roman Catholic. Philip saw himself as a champion of Catholicism, both against the Muslim Ottoman Empire and the Protestants. He was the king of Spain from
1556 to 1598.

Philip was married four times and had children with three of his wives. All the marriages had important political implications, as they connected Philip, and thus Spain, with powerful European courts. Philip’s first wife was his first cousin Maria Manuela, Princess of Portugal. She was a daughter of Philip’s maternal uncle, John III of Portugal, and paternal aunt, Catherine of Austria. Philip’s second wife was his first cousin once removed Queen Mary I of England. By this marriage, Philip became jure uxoris king of England and Ireland, although the couple was apart more than together as they ruled their respective countries. The marriage produced no children and Mary died in 1558, ending Philip’s reign in England and Ireland. Philip’s third wife was Elisabeth of Valois, the eldest daughter of Henry II of France and Catherine de’ Medici. Philip’s fourth and final wife was his niece Anna of Austria. 

Domestic Affairs

The Spanish Empire was not a single monarchy with one legal system but a federation of separate realms, each jealously guarding its own rights against those of the House of Habsburg. In practice, Philip often found his authority overruled by local assemblies and his word less effective than that of local lords. He also grappled with the problem of the large Morisco population in Spain, who were forcibly converted to Christianity by his predecessors. In 1569, the Morisco Revolt broke out in the southern province of Granada in defiance of attempts to suppress Moorish customs, and Philip ordered the expulsion of the Moriscos from Granada and their dispersal to other provinces.

Despite its immense dominions, Spain was a country with a sparse population that yielded a limited income to the crown (in contrast to France, for example, which was much more heavily populated). Philip faced major difficulties in raising taxes, the collection of which was largely farmed out to local lords. He was able to finance his military campaigns only by taxing and exploiting the local resources of his empire. The flow of income from the New World proved vital to his militant foreign policy, but nonetheless his exchequer faced bankruptcy several times.
During Philip’s reign there were five separate state bankruptcies. 

Whereas his father had been forced to an itinerant rule as a medieval king, Philip ruled at a critical turning point toward modernity in European history. He mainly directed state affairs, even when not at court. Indeed, when his health began failing he worked from his quarters in the Palace-Monastery-Pantheon of El Escorial he had built. El Escariol was another expression of Philip’s commitment to protect Catholics against the raising influence of Protestantism across Europe. He engaged the Spanish architect Juan Bautista de Toledo to be his collaborator. Together they designed El Escorial as a monument to Spain’s role as a center of the Christian world.

Turismo Madrid Consorcio Turístico, Madrid, Spain

A distant view of the Royal Seat of San Lorenzo de El Escorial. In 1984, UNESCO declared The Royal Seat of San Lorenzo of El Escorial a World Heritage Site. It is a popular tourist attraction—more than 500,000 visitors come to El Escorial every year.

Foreign Affairs

Philip’s foreign policies were determined by a combination of Catholic fervor and dynastic objectives. He considered himself the chief defender of Catholic Europe, both against the Ottoman Turks and against the forces of the Protestant Reformation. He never relented from his fight against what he saw as heresy, defending the Catholic faith and limiting freedom of worship within his territories. These territories included his patrimony in the Netherlands, where Protestantism had taken deep root. Following the Revolt of the Netherlands in 1568, Philip waged a campaign against Dutch secession.
The plans to consolidate control of the Netherlands led to unrest, which gradually led to the Calvinist leadership of the revolt and the Eighty Years’ War. This conflict consumed much Spanish expenditure during the later 16th century. 

Philip’s commitment to restoring Catholicism in the Protestant regions of Europe resulted also in the Anglo-Spanish War (1585–1604). This was an intermittent conflict between the kingdoms of Spain and England that was never formally declared. The war was punctuated by widely separated battles.
In 1588, the English defeated Philip’s Spanish Armada, thwarting his planned invasion of the country to reinstate Catholicism. But the war continued for the next sixteen years, in a complex series of struggles that included France, Ireland, and the main battle zone, the Low Countries.
Two further Spanish armadas were sent in 1596 and 1597, but were frustrated in their objectives mainly because of adverse weather and poor planning. The war would not end until all the leading protagonists, including Philip, had died. 

Philip financed the Catholic League during the French Wars of Religion (primarily fought between French Catholics and French Protestants, known as Huguenots). He directly intervened in the final phases of the wars (1589–1598). His interventions in the fighting—sending the Duke of Parma to end Henry IV’s siege of Paris in 1590—and the siege of Rouen in 1592 contributed to saving the French Catholic Leagues’s cause against a Protestant monarchy. In 1593, Henry agreed to convert to Catholicism. Weary of war, most French Catholics switched to his side against the hardline core of the Catholic League, who were portrayed by Henry’s propagandists as puppets of a foreign monarch, Philip. By the end of 1594 certain league members were still working against Henry across the country, but all relied on the support of Spain. In 1595, therefore, Henry officially declared war on Spain, to show Catholics that Philip was using religion as a cover for an attack on the French state and Protestants that he had not become a puppet of Spain through his conversion, while hoping to take the war to Spain and make territorial gain.

The war was only drawn to an official close with the Peace of Vervins in May 1598; Spanish forces and subsidies were withdrawn. Meanwhile, Henry issued the Edict of Nantes, which offered a high degree of religious toleration for French Protestants. The military interventions in France thus ended in an ironic fashion for Philip: they had failed to oust Henry from the throne or suppress Protestantism in France and yet they had played a decisive part in helping the French Catholic cause gain the conversion of Henry, ensuring that Catholicism would remain France’s official and majority faith—matters of paramount importance for the devoutly Catholic Spanish king.

Earlier, after several setbacks in his reign and especially that of his father, Philip had achieved a decisive victory against the Turks at the Lepanto in 1571, with the allied fleet of the Holy League, which he had put under the command of his illegitimate brother, John of Austria. He also successfully secured his succession to the throne of Portugal.

Portrait of King Philip II of Spain, in Gold-Embroidered Costume with Order of the Golden Fleece, by Titian (around 1554)

Philip was described by the Venetian ambassador Paolo Fagolo in 1563 as “slight of stature and round-faced, with pale blue eyes, somewhat prominent lip, and pink skin, but his overall appearance is very attractive.”

Legacy

Because Philip II was the most powerful European monarch in an era of war and religious conflict, evaluating both his reign and the man himself has become a controversial historical subject. Even in countries that remained Catholic, primarily France and the Italian states, fear and envy of Spanish success and domination created a wide receptiveness for the worst possible descriptions of Philip II. Although some efforts have been made to separate legend from reality, that task has been proven extremely difficult, since many prejudices are rooted in the cultural heritage of European countries. Spanish-speaking historians tend to assess his political and military achievements, sometimes deliberately avoiding issues such as the king’s lukewarm attitude (or even support) toward Catholic fanaticism. English-speaking historians tend to show Philip II as a fanatical, despotic, criminal, imperialist monster, minimizing his military victories.

18.2.4: The Siglo de Oro

Learning Objective

Identify some works of art from the Spanish Siglo de Oro

Key Points

• The Spanish Golden Age (Spanish: Siglo de Oro, “Golden Century”) was a period of flourishing in arts and literature in Spain, coinciding with the political rise and decline of the Spanish Habsburg dynasty. El Siglo de Oro does not imply precise dates and is usually considered to have lasted longer than an actual century.
• Spanish art of the era contained a strong mark of mysticism and religion that was encouraged by the counter-reformation and the patronage of Spain’s strongly Catholic monarchs and aristocracy. Spanish rule of Naples was important for making connections between Italian and Spanish art.
• The most influential Spanish painters of the era include
  El Greco, Diego Velázquez, Francisco de Zurbarán, and Bartolomé Esteban Murillo.
• The same period produced some of the most important works of Spanish architecture. These include the Palace of Charles V, El Escorial, the Plaza Mayor in Madrid, Granada Cathedral, and the Cathedral of Valladolid.
• Spanish literature of the period flourished, producing the first European novel, Don Quixote, and revolutionizing Spanish drama and thus theater. 
• Music of the era revolved largely around religious forms and themes.  

Key Terms

The Spanish Golden Age

(Spanish: Siglo de Oro, “Golden Century”) A period of flourishing in arts and literature in Spain, coinciding with the political rise and decline of the Spanish Habsburg dynasty. It does not imply precise dates and is usually considered to have lasted longer than an actual century.

Herrerian

An architectural style developed in Spain during the last third of the 16th century, under the reign of Philip II (1556–1598), and continued in force in the 17th century, but transformed by the Baroque current of the time. It corresponds to the third and final stage of Spanish Renaissance architecture.

Mannerism

A style in European art that emerged in the later years of the Italian High Renaissance, around 1520, lasting until about 1580 in Italy, when the Baroque style began to replace it. Northern Mannerism continued into the early 17th century. Where High Renaissance art emphasized proportion, balance, and ideal beauty, it exaggerated such qualities, often resulting in compositions that are asymmetrical or unnaturally elegant.

Siglo de Oro

The Spanish Golden Age (Spanish: Siglo de Oro, “Golden Century”) was a period of flourishing in arts and literature in Spain, coinciding with the political rise and decline of the Spanish Habsburg dynasty. El Siglo de Oro does not imply precise dates and is usually considered to have lasted longer than an actual century. It began no earlier than 1492, with the end of the Reconquista, the sea voyages of Christopher Columbus to the New World, and the publication of Antonio de Nebrija’s Grammar of the Castilian Language. Politically, it ended no later than 1659, with the Treaty of the Pyrenees, ratified between France and Habsburg Spain. The last great writer of the period, Pedro Calderón de la Barca, died in 1681, and his death is usually considered the end of El Siglo de Oro in the arts and literature.

Painting

The Italian holdings and relationships made by Queen Isabella’s husband, and later Spain’s sole monarch, Ferdinand of Aragon, launched a steady traffic of intellectuals across the Mediterranean between Valencia, Seville, and Florence. Luis de Morales, one of the leading exponents of Spanish mannerist painting, retained a distinctly Spanish style in his work, reminiscent of medieval art. Spanish art, particularly that of Morales, contained a strong mark of mysticism and religion that was encouraged by the counter-reformation and the patronage of Spain’s strongly Catholic monarchs and aristocracy. Spanish rule of Naples was important for making connections between Italian and Spanish art, with many Spanish administrators bringing Italian works back to Spain. 

Some of the greatest artists of the era:

• Known for his great impact in bringing the Italian Renaissance to Spain, El Greco (“The Greek”) was influential in creating a style based on impressions and emotion, featuring elongated fingers and vibrant color and brushwork. His paintings of the city of Toledo became models for a new European tradition in landscapes, and influenced the work of later Dutch masters. 
• Diego Velázquez is widely regarded as one of Spain’s most important and influential artists. His portraits of the king and other prominent figures demonstrated a belief in artistic realism and a style comparable to many of the Dutch masters. Velázquez’s most famous painting is the celebrated Las Meninas, in which the artist included himself as one of the subjects.
• The religious element in Spanish art grew in importance with the counter-reformation. The austere, ascetic, and severe work of Francisco de Zurbarán exemplified this thread. The mysticism of Zurbarán’s work—influenced by Saint Theresa of Avila—became a hallmark of Spanish art in later generations. 
• Bartolomé Esteban Murillo’s works were influenced by realism. His more important works evolved towards the polished style that suited the bourgeois and aristocratic tastes of the time, demonstrated especially in his Roman Catholic religious works. 

Las Meninas by Diego Velázquez (1656), Galería online, Museo del Prado.

The painting’s
complex and enigmatic composition raises questions about reality and illusion and creates an uncertain relationship between the viewer and the figures depicted. Because of these complexities, Las Meninas has been one of the most widely analyzed works in Western painting.

Architecture

The same period produced some of the most important works of Spanish architecture. These include: 

• The Palace of Charles V located on the top of the hill of the Assabica, inside the Nasrid fortification of the Alhambra. The project was given to Pedro Machuca, who built a palace corresponding stylistically to Mannerism, a mode still in its infancy in Italy. 
• El Escorial: a historical residence of the king of Spain. It is one of the Spanish royal sites and functions as a monastery, royal palace, museum, and school. Located in the town of San Lorenzo de El Escorial, it comprises two architectural complexes of great historical and cultural significance: El Real Monasterio de El Escorial itself and La Granjilla de La Fresneda, a royal hunting lodge and monastic retreat. During the 16th and 17th centuries, they were places in which the temporal power of the Spanish monarchy and the ecclesiastical predominance of the Roman Catholic religion in Spain found a common architectural manifestation. Philip II engaged the Spanish architect Juan Bautista de Toledo to be his collaborator in the design of El Escorial. 
• The Plaza Mayor in Madrid: A central plaza in Madrid, Spain. Juan de Herrera was the architect who designed the first project in 1581 to remodel the old Plaza del Arrabal, but construction didn’t start until 1617, during Philip III’s reign. Nevertheless, the Plaza Mayor as we know it today is the work of the architect Juan de Villanueva, who was entrusted with its reconstruction in 1790 after a spate of big fires.
• Granada Cathedral: Foundations for the church were laid by the architect Egas starting from 1518 to 1523 atop the site of the city’s main mosque. By 1529, Egas was replaced by Diego de Siloé, who labored for nearly four decades on the structure.  
• The Cathedral of Valladolid: Like all the buildings of the late Spanish Renaissance built by Herrera and his followers, it is known for its purist and sober decoration, its style being the typical Spanish clasicismo, also called “Herrerian.” 

Literature

The Spanish Golden Age was also a time of great flourishing in poetry, prose, and drama. Regarded by many as one of the finest literary works in any language, Don Quixote by Miguel de Cervantes was the first novel published in Europe. It gave Cervantes a stature in the Spanish-speaking world comparable to his contemporary William Shakespeare in English. Don Quixote resembled both the medieval, chivalric romances of an earlier time and the novels of the early modern world. It has endured to the present day as a landmark in world literary history, and it was an immediate international hit in its own time.

Cervantes’s Don Quixote (1605), original title page

Don Quixote, the first European novel, has endured to the present day as a landmark in world literary history, and it was an immediate international hit in its own time.

A contemporary of Cervantes, Lope de Vega consolidated the essential genres and structures that would characterize the Spanish commercial drama, also known as the “Comedia,” throughout the 17th century. While Lope de Vega wrote prose and poetry as well, he is best remembered for his plays, particularly those grounded in Spanish history. In bringing morality, comedy, drama, and popular wit together, Lope de Vega is also often compared to his English contemporary Shakespeare. Some have argued that as a social critic, Lope de Vega, like Cervantes, attacked many of the ancient institutions of his country—aristocracy, chivalry, and rigid morality, among others.
The other great dramatist of the 17th century was Pedro Calderón de la Barca (1600–1681). His most famous work is Life Is a Dream (1635). Born when the Spanish Golden Age theater was being defined by Lope de Vega, Pedro Calderón de la Barca developed it further, and his work is regarded as the culmination of the Spanish Baroque theater. As such, he remains one of Spain’s foremost dramatists and one of the finest playwrights of world literature. Other well-known playwrights of the period include Tirso de Molina, Agustín Moreto, Juan Pérez de Montalbán, Juan Ruiz de Alarcón, Guillén de Castro, and Antonio Mira de Amescua.

This period also produced some of the most important Spanish works of poetry. The introduction and influence of Italian Renaissance verse is apparent perhaps most vividly in the works of Garcilaso de la Vega, and illustrate a profound influence on later poets. Mystical literature in Spanish reached its summit with the works of San Juan de la Cruz and Teresa of Ávila. Baroque poetry was dominated by the contrasting styles of Francisco de Quevedo and Luis de Góngora; both had a lasting influence on subsequent writers, and even on the Spanish language itself.

Music

Tomás Luis de Victoria, a Spanish composer of the 16th century, mainly of choral music, is widely regarded as one of the greatest Spanish classical composers. Like Zurbarán, Victoria mixed the technical qualities of Italian art with the religion and culture of his native Spain. Francisco Guerrero’s music was both sacred and secular, unlike that of de Victoria and Morales, the two other Spanish 16th-century composers of the first rank. He wrote numerous secular songs and instrumental pieces, in addition to masses, motets, and Passions. De Victoria’s work was also complemented by Alonso Lobo, whose work stressed the austere, minimalist nature of religious music. 

18.3: England and Parliamentary Monarchy

18.3.1: Elizabeth I and English Patriotism

The reign of Elizabeth I was marked by the restoration of the Protestant Church of England and competition with a powerful Spain, both of which fueled a sense of modern English national identity.  

Learning Objective

Identify some of the highlights from Queen Elizabeth I’s reign

Key Points

• Elizabeth
  I (1533–1603) was Queen of England and Ireland from 1558 until her
  death in 1603. She succeeded her Roman Catholic half-sister, Mary to the throne. Elizabeth never married nor had
  children and thus was the last monarch of the Tudor dynasty. 
• Mary’s marriage to Philip II of Spain contributed to the complex relations between England and Spain that after Mary’s death dominated Elizabeth’s reign in the realm of international relations. 
• Elizabeth’s efforts led to the Religious Settlement, a legal process by which the Protestant Church of England was restored and the queen took the title of Supreme Governor of the Church of
  England.
• Elizabeth’s foreign policy was largely
  defensive. While she managed to establish diplomatic relations with some of the most powerful contemporary empires and supported Protestant struggles across Europe, her greatest foreign policy challenge was Catholic Spain and its Armada, over which England eventually triumphed.   
• Establishing the Roanoke Colony and chartering the East India Company during Elizabeth’s reign was an onset of what would turn into the powerful British Empire.
• The
  Elizabethan age inspired national pride through classical
  ideals, international expansion, and naval triumph over the Spanish. 

Key Terms

Spanish Armada

A Spanish fleet of 130
ships that sailed from A Coruña in August 1588 with the purpose of
escorting an army from Flanders to invade England. The strategic aim was to
overthrow Queen Elizabeth I of England and the Tudor establishment of
Protestantism in England.

Religious Settlement

A legal process by which the Protestant Church of England was restored. It was made during the reign of Elizabeth I in response to the religious divisions in England. Described as “The Revolution of 1559,” it was set out in two acts of the Parliament of England. The Act of Supremacy of 1558 re-established the Church of England’s independence from Rome, while the Act of Uniformity of 1559 outlined what form the English Church should take.

French Catholic League

A major participant in the
French Wars of Religion, formed by Henry I, Duke of Guise, in 1576. It intended
the eradication of Protestants—also known as Calvinists or Huguenots—out of
Catholic France during the Protestant Reformation, as well as the replacement
of King Henry III. Pope Sixtus V, Philip II of Spain, and the Jesuits were all
supporters of this Catholic party.

Anglo-Spanish War

An intermittent conflict (1585–1604) between the kingdoms of Spain and England that was never formally declared. The war was punctuated by widely separated battles, and began with England’s military expedition in 1585 to the Netherlands in support of the resistance of the States General to Spanish Habsburg rule.

Roanoke Colony

A colony established on Roanoke Island, in what is today’s Dare County, North Carolina, United States. It was a late 16th-century attempt by Queen Elizabeth I to establish a permanent English settlement. The colony was founded by Sir Walter Raleigh. The colonists disappeared during the Anglo-Spanish War, three years after the last shipment of supplies from England.

Elizabeth I of England

Elizabeth I (1533–1603) was Queen of England and Ireland from 1558 until her death in 1603. She was the daughter of Henry VIII and Anne Boleyn, his second wife, who was executed two and a half years after Elizabeth’s birth. Anne’s marriage to Henry VIII was annulled and Elizabeth was declared illegitimate. In 1558, Elizabeth succeeded her Roman Catholic half-sister, Mary. She never married nor had children and thus was the last monarch of the Tudor dynasty. 

The “Darnley Portrait” of Elizabeth I of England, National Portrait Gallery (c. 1575)

The portrait was named after a previous owner. Probably painted from life, it is the source of the face pattern called “The Mask of Youth,” which would be used for authorized portraits of Elizabeth for decades to come. Recent research has shown the colors have faded. The oranges and browns would have been crimson red in Elizabeth’s time.

Mary I and Philip II of Spain

In 1554, Queen Mary of England married Philip, who only two years later began to rule Spain as Philip II. Under the terms of the Act for the Marriage, Philip was to enjoy Mary I’s titles and honors for as long as their marriage should last, and was to co-reign with his wife. Although Elizabeth initially demonstrated solidarity with her sister, the two were sharply divided along religious lines. Mary, a devout Catholic, was determined to crush the Protestant faith, in which Elizabeth had been educated. After Mary married Philip, who saw the protection of Catholicism in Europe as his life’s mission, Mary’s popularity ebbed away,  and many looked to Elizabeth as a focus for their opposition to Mary’s religious policies. In 1555, Elizabeth was recalled to court to attend the final stages of Mary’s apparent pregnancy. When it became clear that Mary was not pregnant, no one believed any longer that she could have a child. Elizabeth’s succession seemed assured.

King Philip acknowledged the new political reality and cultivated his sister-in-law. She was a better ally than the chief alternative, Mary, Queen of Scots, who had grown up in France and was betrothed to the Dauphin of France. When his wife fell ill in 1558, Philip consulted with Elizabeth. By October 1558, Elizabeth was making plans for her government. On November 6, Mary recognized Elizabeth as her heir. On November 17, Mary died and Elizabeth succeeded to the throne.

Religious Settlement

In terms of religious matters, Elizabeth was pragmatic. She and her advisers recognized the threat of a Catholic crusade against England. Elizabeth therefore sought a Protestant solution that would not offend Catholics too greatly while addressing the desires of English Protestants, but she would not tolerate the more radical Puritans, who were pushing for far-reaching reforms. As a result, the parliament of 1559 started to legislate for a church based on the Protestant settlement of Edward VI, with the monarch as its head, but with many Catholic elements. Eventually, Elizabeth was forced to accept the title of Supreme Governor of the Church of England rather than the more contentious title of Supreme Head, which many thought unacceptable for a woman to bear. The new Act of Supremacy became law in 1559. All public officials were to swear an oath of loyalty to the monarch as the supreme governor or risk disqualification from office. The heresy laws were repealed to avoid a repeat of the persecution of dissenters practiced by Mary. At the same time, a new Act of Uniformity was passed, which made attendance at church and the use of an adapted version of the 1552 Book of Common Prayer compulsory, though penalties for those who failed to conform were not extreme.

Foreign Policy

Elizabeth’s foreign policy was largely defensive. The exception was the English occupation of Le Havre from October 1562 to June 1563, which ended in failure when Elizabeth’s Huguenot (Protestant) allies joined with the Catholics to retake the port. After the occupation and loss of Le Havre, Elizabeth avoided military expeditions on the continent until 1585, when she sent an English army to aid the Protestant Dutch rebels against Philip II. In December 1584, an alliance between Philip II and the French Catholic League undermined the ability of Henry III of France to counter Spanish domination of the Netherlands. It also extended Spanish influence along the channel coast of France, where the Catholic League was strong, and exposed England to invasion. The siege of Antwerp in the summer of 1585 by the Duke of Parma necessitated some reaction on the part of the English and the Dutch. The outcome was the Treaty of Nonsuch of August 1585, in which Elizabeth promised military support to the Dutch. The treaty marked the beginning of the Anglo-Spanish War, which lasted until the Treaty of London in 1604.

After
Mary’s death, Philip II of Spain had no wish to sever his ties with England, and sent a proposal of marriage to Elizabeth, but was denied. For many
years, Philip maintained peace with England and even defended Elizabeth from
the pope’s threat of excommunication. This was a measure taken to preserve a
European balance of power. Ultimately, Elizabeth allied England with the
Protestant rebels in the Netherlands (which at the time fought for independence
from Spain). Further, English ships began a policy of piracy against Spanish
trade and threatened to plunder the great Spanish treasure ships coming from
the new world. However, the execution of Mary, Queen of Scots, in 1587 ended
Philip’s hopes of placing a Catholic on the English throne. He turned instead
to more direct plans to invade England, with vague plans to return the country
to Catholicism. In 1588 he sent a fleet, the Spanish Armada, across the English
Channel. The Spanish were forced into a retreat, and the overwhelming majority
of the Armada was destroyed by the harsh weather.

Elizabeth also continued to maintain the diplomatic relations with the Tsardom of Russia originally established by her deceased brother. During her rule, trade and diplomatic relations developed between England and the Barbary states as well. England established a trading relationship with Morocco in opposition to Spain, selling armor, ammunition, timber, and metal in exchange for Moroccan sugar, in spite of a papal ban. Diplomatic relations were also established with the Ottoman Empire with the chartering of the Levant Company and the dispatch of the first English ambassador to the Porte, William Harborne, in 1578.

The Onset of the British Empire

After the travels of Christopher Columbus electrified all of western Europe, England joined in the colonization of the New World. In 1562, Elizabeth sent privateers Hawkins and Drake to seize booty from Spanish and Portuguese ships off the coast of West Africa. Spain was well established in the Americas, while Portugal, in union with Spain from 1580, had an ambitious global empire in Africa, Asia, and South America; France was exploring North America. England was stimulated to create its own colonies, with an emphasis on the West Indies rather than in North America. From 1577 to 1580, Sir Francis Drake circumnavigated the globe. Combined with his daring raids against the Spanish and his great victory over them at Cadiz in 1587, he became a famous hero, but England did not follow up on his claims. In 1583, Humphrey Gilbert sailed to Newfoundland, taking possession of the harbor of St. John’s together with all land within two hundred leagues to the north and south of it. In 1584, the queen granted Sir Walter Raleigh a charter for the colonization of Virginia; it was named in her honor. Raleigh sent others to found the Roanoke Colony (it remains a mystery why the settlers there all disappeared). In 1600, the queen chartered the East India Company. It established trading posts that in later centuries evolved into British India, on the coasts of what is now India and Bangladesh. Larger-scale colonization began shortly after Elizabeth’s death.

Nationalism

Elizabeth established an English church that helped shape a national identity and remains in place today. Though she followed a largely defensive foreign policy, her reign raised England’s status abroad. Under Elizabeth, the nation gained a new self-confidence and sense of sovereignty, as Christendom fragmented. She was the first Tudor to recognize that a monarch ruled by popular consent. She therefore always worked with parliament and advisers she could trust to tell her the truth—a style of government that her Stuart successors failed to follow.

The symbol of Britannia was first used in 1572, and often thereafter, to mark the Elizabethan age as a renaissance that inspired national pride through classical ideals, international expansion, and naval triumph over the Spanish.

Britannia depicted on a half penny of 1936

Britannia was the Greek and Roman term for the geographical region of Great Britain that was inhabited by the Britons and is the name given to the female personification of the island. It was during the reign of Elizabeth I that “Britannia” came to be viewed as a personification of Britain.

18.3.2: The First Stuarts and Catholicism

Believing that their power was God-given right,
James I and his son and successor, Charles I of England, reigned England in the atmosphere of repeated escalating conflicts with the English Parliament.

 

Learning Objective

Describe the tensions between the Stuart kings and Parliament over religion

Key Points

• James I and his son and
  successor, Charles I of England, reigned England in the atmosphere of
  repeated escalating conflicts with the English Parliament.  
• James I believed that he
  owed his superior authority to God-given right, while Parliament believed the
  king ruled by contract (an unwritten one, yet fully binding) and that its own rights were equal to those of the king. 
• A failed assassination attempt in 1605 against King James I of England and VI of Scotland by a group of provincial English Catholics led by Robert Catesby fueled anti-Catholic sentiments in England.
  By
  the 1620s, events on the continent had stirred up anti-Catholic feeling to a
  new pitch, and James was forced to declare war on Catholic Spain. 
• Charles I, married to a Catholic and reluctant to collaborate with or listen to Parliament, reigned in the atmosphere of constant, escalating conflicts with a consistently anti-Catholic Parliament.   
• After an eleven-year period of ruling without Parliament, the Long Parliament
  assembled in 1640 and quickly
  began proceedings to impeach the king’s leading counselors for high treason. 
• The
  escalating conflict between the king and the Parliament resulted in what is
  known as the English Civil War (1642–1651). A series of armed conflicts
  and political machinations between Parliamentarians (“Roundheads”)
  and Royalists (“Cavaliers”) ended in, among other things, the prosecution of Charles I. 

Key Terms

Thirty Years’ War

A series of wars in Central Europe
between 1618 and 1648. Initially a war between various Protestant and Catholic
states in the fragmented Holy Roman Empire, it gradually developed into a more
general conflict involving most of the great powers.

Gunpowder Plot

A failed assassination attempt in 1605 against King James I of England and VI of Scotland by a group of provincial English Catholics led by Robert Catesby. The plan was to blow up the House of Lords during the State Opening of England’s Parliament on November 5, 1605, as the prelude to a popular revolt in the Midlands during which James’s nine-year-old daughter, Princess Elizabeth, was to be installed as the Catholic head of state.

eleven years’ tyranny

The period from 1629 to 1640, when King Charles I of England, Scotland, and Ireland ruled without recourse to Parliament. The king was entitled to do this under the Royal Prerogative. His actions caused discontent among the ruling classes, but the effects were more popular with the common people.

English Civil War

A series of armed conflicts and political machinations between English Parliamentarians (“Roundheads”) and Royalists (“Cavaliers”) over, principally, the manner of its government. The first (1642–1646) and second (1648–1649) wars pitted the supporters of Charles I against the supporters of the Long Parliament, while the third (1649–1651) saw fighting between supporters of King Charles II and supporters of the Rump Parliament.

Long Parliament

An English Parliament that lasted from 1640 until 1660. It followed the fiasco of the Short Parliament, which had been held for three weeks during the spring of 1640, and which in its turn had followed a parliamentary absence of eleven years.

Background: Reformation in England in Scotland

The separation of the Church of England (or Anglican Church) from Rome under Henry VIII brought England alongside a broad Reformation movement, but the English Reformation differed from its European counterparts. Based on Henry VIII’s desire for an annulment of his marriage, it was at the outset more of a political affair than a theological dispute. The break with Rome was effected by a series of acts of Parliament, but Catholic Mary I restored papal jurisdiction in 1553. However, Mary’s successor, Elizabeth I, restored the Church of England and reasserted the royal supremacy in 1559. After she died without an heir,
James VI, her cousin and King of Scots, succeeded to the throne of England as James I in 1603, thus uniting Scotland and England under one monarch (the Union of the Crowns).  He was the first of the Stuart dynasty to rule Scotland and England. He and his son and successor, Charles I of England, reigned England in the atmosphere of repeated escalating conflicts with the English Parliament.  

James I and the English Parliament

James developed his political philosophy of the relationship between monarch and parliament in Scotland, and never reconciled himself to the independent stance of the English Parliament and its unwillingness to bow readily to his policies.
The crucial source of concern was that the king and Parliament adhered to two mutually exclusive views about the nature of their relationship. James I believed that he owed his superior authority to God-given right, while Parliament believed the king ruled by contract (an unwritten one, yet fully binding) and that its own rights were equal to those of the king. 

On the eve of the state opening of the parliamentary session on November 5, 1605, a soldier called Guy Fawkes was discovered in the cellars of the parliament buildings guarding about twenty barrels of gunpowder with which he intended to blow up Parliament House the following day. A Catholic conspiracy led by a disaffected gentleman called Robert Catesby, the Gunpowder Plot, as it quickly became known, had in fact been discovered in advance of Fawkes’s arrest and deliberately allowed to mature in order to catch the culprits red-handed and the plotters unawares.

By the 1620s, events on the continent had stirred up anti-Catholic feeling to a new pitch. A conflict had broken out between the Catholic Holy Roman Empire and the Protestant Bohemians, who had deposed the emperor as their king and elected James’s son-in-law, Frederick V, Elector Palatine, in his place, triggering the Thirty Years’ War. James reluctantly summoned Parliament as the only means to raise the funds necessary to assist his daughter Elizabeth and Frederick, who had been ousted from Prague by Emperor Ferdinand II in 1620. The Commons on the one hand granted subsidies inadequate to finance serious military operations in aid of Frederick, and on the other called for a war directly against Spain. In November 1621, led by Sir Edward Coke, they framed a petition asking not only for a war with Spain but also for Prince Charles to marry a Protestant, and for enforcement of the anti-Catholic laws. James flatly told them not to interfere in matters of royal prerogative and dissolved Parliament.

The failed attempt to marry Prince Charles with the Catholic Spanish Infanta Maria (known as the Spanish match), which both the Parliament and the public strongly opposed, was followed by even stronger anti-Catholic sentiment in the Commons that was finally echoed in court. The outcome of the Parliament of 1624 was ambiguous; James still refused to declare war, but Charles believed the Commons had committed themselves to financing a war against Spain, a stance which was to contribute to his problems with Parliament in his own reign. 

James I of England, Portrait attributed to John de Critz, c. 1605

King of Scotland as James VI from 1567 and King of England and Ireland as James I from the union of the Scottish and English crowns in 1603 until his death.

Charles I and the English Parliament

With the failure of the Spanish match, Charles married French princess Henrietta Maria. Many members of the Commons were opposed to the king’s marriage to a Roman Catholic. Although he told Parliament that he would not relax religious restrictions, Charles promised to do exactly that in a secret marriage treaty with Louis XIII of France. Moreover, the treaty placed under French command an English naval force that would be used to suppress the Protestant Huguenots at La Rochelle. Charles was crowned in 1626 at Westminster Abbey without his wife at his side because she refused to participate in a Protestant religious ceremony.

Domestic quarrels between Charles and Henrietta Maria were souring the early years of their marriage. Despite Charles’s agreement to provide the French with English ships, in 1627 he launched an attack on the French coast to defend the Huguenots at La Rochelle. The action, led by Buckingham (James and Charles’ close collaborator; hated by Parliament), was ultimately unsuccessful. After
Buckingham was assassinated in 1628, Charles’s relationship with his Catholic wife dramatically improved. 

Although the death of Buckingham effectively ended the war with Spain and eliminated his leadership as an issue, it did not end the conflicts between Charles and Parliament.
In January 1629, Charles opened the second session of the English Parliament. Members of the House of Commons began to voice opposition to Charles’s policies. Many MPs viewed the imposition of taxes as a breach of the Petition of Right. When Charles ordered a parliamentary adjournment on March 2, members held the Speaker down in his chair so that the ending of the session could be delayed long enough for various resolutions, including Anti-Catholic and tax-regulating laws.  The provocation was too much for Charles, who dissolved Parliament. Shortly after the prorogation, without the means in the foreseeable future to raise funds from Parliament for a European war, Charles made peace with France and Spain. The following eleven years, during which Charles ruled England without a Parliament, are referred to as the “personal rule” or the “eleven years’ tyranny.”

The Long Parliament, which assembled in the aftermath of the personal rule, started in 1640 and quickly began proceedings to impeach the king’s leading counselors for high treason. To prevent the king from dissolving it at will, Parliament passed the Triennial Act, which required Parliament to be summoned at least once every three years, and permitted the Lord Keeper of the Great Seal and twelve peers to summon Parliament if the king failed to do so.

Charles I of England, portrait from the studio of Anthony van Dyck, 1636.  Studio version of much copied original in the Royal Collection, Windsor Castle.

After his succession, Charles quarreled with the Parliament of England, which sought to curb his royal prerogative. Charles believed in the divine right of kings and thought he could govern according to his own conscience. Many of his subjects opposed his policies, in particular the levying of taxes without parliamentary consent, and perceived his actions as those of a tyrannical absolute monarch.

The English Civil War

The escalating conflict between the king and Parliament resulted in what is known as the English Civil War (1642–1651). It was a series of armed conflicts and political machinations between Parliamentarians (“Roundheads”) and Royalists (“Cavaliers”) over, principally, the manner of its government. The first (1642–1646) and second (1648–1649) wars pitted the supporters of Charles against the supporters of the Long Parliament, while the third (1649–1651) saw fighting between supporters of King Charles II and supporters of the Rump Parliament. The war ended with the Parliamentarian victory at the Battle of Worcester on September 3, 1651.

The overall outcome of the war was threefold: the trial and execution of Charles I; the exile of his son, Charles II; and the replacement of English monarchy with, at first, the Commonwealth of England (1649–1653), and then the Protectorate (1653–1659) under Oliver Cromwell’s personal rule. The monopoly of the Church of England on Christian worship in England ended with the victors consolidating the established Protestant Ascendancy in Ireland. Constitutionally, the wars established the precedent that an English monarch cannot govern without Parliament’s consent, although the idea of Parliament as the ruling power of England was legally established as part of the Glorious Revolution in 1688.

 

18.3.3: Charles I and the Power to Tax

Charles I’s attempt to impose taxes not authorized by Parliament contributed to the ongoing conflict between the king and Parliament and eventually resulted in the passing of the 1628 Petition of Right. 

Learning Objective

Analyze why the power to determine taxation was so important

Key Points

• Charles I of England continued his father’s policy and decided to support

  Christian IV of Denmark and Frederick V, Elector
  Palatine, during the Thirty Years’ War, which caused major tensions with a Parliament that refused to finance the war.

• After the Commons continued to refuse to provide
  money and began investigating the Duke of Buckingham, Charles I dissolved Parliament. By 1627, with England still at war, Charles
  decided to raise “forced loans,” or taxes not authorized by
  Parliament. 
• To cope with the ongoing war situation, Charles
  had introduced martial law, which, as then understood, was not a form of substantive
  law, but instead a suspension of the rule of law. 
• Charles decided that the only way to
  prosecute the war was to again ask Parliament for money, and Parliament
  assembled in 1628. As a result, a series of parliamentary declarations establishing a series of personal liberties known as
  the Resolutions were prepared after tense debates. 
• In the end, a suggestion to pass the Resolutions as a
  petition of right won. A committee
  produced a petition covering discretionary imprisonment, non-Parliamentary taxation, martial law, and forced billeting. 
• The 1628 Petition of Right marks the founding of the
  United Kingdom’s modern constitutional monarchy. 

Key Terms

Petition of Right

A major English constitutional document that sets out specific liberties of the subjects that the king is prohibited from infringing. Passed in 1628, it contains restrictions on non-Parliamentary taxation, forced billeting of soldiers, imprisonment without cause, and the use of martial law.

habeas corpus

In medieval Latin it means literally “You may have the body,” a recourse in law whereby a person can report an unlawful detention or imprisonment before a court, usually through a prison official.

Thirty Years’ War

A series of wars in Central Europe
between 1618 and 1648. Initially a war between various Protestant and Catholic
states in the fragmented Holy Roman Empire, it gradually developed into a more
general conflict involving most of the great powers.

Tonnage and Poundage

Certain duties and taxes first levied in Edward II’s reign on every tun (cask) of imported wine, which came mostly from Spain and Portugal, and on every pound weight of merchandise exported or imported. Traditionally it was granted by Parliament to the king for life until the reign of Charles I.

Charles I of England and the English Parliament

In 1625, King James I of England died and was succeeded by his son, who became Charles I. Along with the throne, Charles inherited the Thirty Years’ War, in which Christian IV of Denmark and Frederick V, Elector Palatine, who was married to Charles’s sister Elizabeth, were attempting to take back their hereditary lands and titles from the Habsburg Monarchy. James had caused significant financial problems with his attempts to support Christian and Frederick, and it was expected that Charles would be more amenable to prosecuting the war responsibly. After he summoned a new Parliament to meet in April 1625, it became clear that he was not. He demanded over £700,000 to assist in prosecuting the war. The House of Commons refused and instead passed two bills granting him only £112,000. In addition, rather than renewing the customs due from Tonnage and Poundage for the entire life of the monarch, which was traditional, the Commons only voted them in for one year. Because of this, the House of Lords rejected the bill, leaving Charles without any money to provide to the war effort.

After the Commons continued to refuse to provide money and began investigating the Duke of Buckingham, Charles’s favorite, Charles dissolved Parliament. By 1627, with England still at war, Charles decided to raise “forced loans,” or taxes not authorized by Parliament. Anyone who refused to pay would be imprisoned without trial, and if they resisted, would be sent before the Privy Council. Although the judiciary initially refused to endorse these loans, they succumbed to pressure. While Charles continued to demand the loans, more and more wealthy landowners refused to pay, reducing the income from the loans and necessitating a new Parliament being called in 1627. 

Martial Law

To cope with the ongoing war situation, Charles had introduced martial law to large swathes of the country, and in 1627 to the entire nation. Crucially, martial law as then understood was not a form of substantive law, but instead a suspension of the rule of law. It was the replacement of normal statutes with a law based on the whims of the local military commander. However, Charles decided that the only way to prosecute the war was to again ask Parliament for money, and Parliament assembled in 1628. As a result, a series of Parliamentary declarations known as the Resolutions were prepared after tense debates. They held that imprisonment was illegal, except under law; habeas corpus should be granted to anyone, whether they are imprisoned by the king or the Privy Council; defendants could not be remanded in custody until the crime they were charged with was shown; and non-Parliamentary taxation such as the forced loans was illegal (the first three later became the foundations of the Habeas Corpus Act 1679). The Resolutions were unanimously accepted by the Commons in April, but they met a mixed reception at the House of Lords, and Charles refused to accept them.

The Petition of Right

The conflict between the king and Parliament escalated. A number of possible alternatives to the Resolutions were debated, but finally Sir Edward Coke made a speech suggesting that the Commons join with the House of Lords and pass their four resolutions as a petition of right (although he was not the first to do so). The idea of a petition of right was an established element of Parliamentary procedure, and in addition, had not been expressly prohibited by Charles. A committee produced a petition containing the same elements as the Resolutions, covering discretionary imprisonment, non-Parliamentary taxation, martial law, and forced billeting. 

The Commons accepted the recommendations on May 8, and after a long debate that attempted to accommodate the hostile king, the House of Lords unanimously voted to join with the Commons on the Petition of Right, while passing their own resolution,  assuring the king of their loyalty.
Following the acceptance of the Petition by the House of Lords, Charles sent a message to the Commons “forbidding them to meddle with affairs of state,” which produced a furious debate. On June 7, Charles capitulated and accepted the Petition.  After setting out a list of individual grievances and statutes that had been broken, the 1628 Petition of Right declares that Englishmen have various “rights and liberties,” and provides that no person should be forced to provide a gift, loan, or tax without an Act of Parliament, that no free individual should be imprisoned or detained unless a cause has been shown, and that soldiers or members of the Royal Navy should not be billeted in private houses without the free consent of the owner. It also restricts the use of martial law except in war or direct rebellion and prohibited the formation of commissions. 

The Petition of Right, 1628,
Parliament of England

The Petition of Right, a major English constitutional document that sets out specific liberties of the subject that the king is prohibited from infringing. Drafted by a committee headed by Sir Edward Coke, it was passed and ratified in 1628.

Significance

Some historians have argued that the passage of the Petition of Right marks the founding of the United Kingdom’s modern constitutional monarchy.
The Petition of Right also marked a substantial cooperative work between individual parliamentarians and between the Commons and Lords, something that had previously been lacking and that in the end led to the formation of political parties.
Within what is now the Commonwealth of Nations, the Petition was also heavily influential. It remains in force in both New Zealand and Australia, as well as the United Kingdom itself. The Petition also profoundly influenced the rights contained by the Constitution of the United States. 

 

18.3.4: Cromwell and the Roundheads

The escalating conflict between Charles I of England and the English Parliament resulted in the English Civil War, in the aftermath of which monarchy disappeared for over a decade and Oliver Cromwell ruled  as Lord Protector of the Commonwealth of England, Scotland, and Ireland.

Learning Objective

Explain how Cromwell rose to power.

Key Points

• Charles I’s belief, inherited from his father, that
  the power of the crown is God-given and that the king does not have to respect
  the position of the English Parliament, shaped his reign and led to a
  political crisis that in the end would cost him his own life.
• After the 1628 Parliament drew up the Petition of Right, Charles I
  avoided calling a Parliament for the next decade, a period known as the
  “personal rule” or the “eleven years’ tyranny.” During this
  period, Charles’s lack of money determined policies. 
• Charles finally bowed to pressure and summoned
  another English Parliament in November 1640. Known as the Long Parliament, it
  passed laws that strengthened the position of and protected Parliament.  
• Charles
  and his supporters continued to resent Parliament’s demands, while Parliamentarians
  continued to suspect Charles of wanting to impose episcopalianism and
  unfettered royal rule by military force. After Ireland first descended into chaos, cities and towns declared their sympathies for one faction or the
  other.
• The English Civil War (1642–1651) pitted the supporters of King Charles I and later his son and successor, Charles II, against the supporters of Parliament. Its outcome was threefold: the trial and execution of Charles I,
  the exile of Charles II, and the replacement of English monarchy with, at
  first, the Commonwealth of England (1649–53), and then the Protectorate
  (1653–59) under Oliver Cromwell’s personal rule. 
• In 1653, Cromwell was invited by his fellow leaders to
  rule as Lord Protector of England (which included Wales at the time), Scotland,
  and Ireland. As a ruler, he executed an aggressive and
  effective foreign policy.

Key Terms

New Model Army

An army formed in 1645 by the Parliamentarians in the English Civil War and disbanded in 1660 after the Restoration. It differed from other armies in the series of civil wars referred to as the Wars of the Three Kingdoms in that it was intended as an army liable for service anywhere in the country (including in Scotland and Ireland) rather than being tied to a single area or garrison. Its soldiers became full-time professionals rather than part-time militia.

Roundheads

The name given to the supporters of the Parliament of England during the English Civil War. Also known as Parliamentarians, they fought against Charles I of England and his supporters, the Cavaliers or Royalists, who claimed rule by absolute monarchy and the divine right of kings. Their goal was to give the Parliament supreme control over executive administration.

Long Parliament

An English Parliament that lasted from 1640 until 1660. It
followed the fiasco of the Short Parliament, which had been held for three
weeks during the spring of 1640, and which in its turn had followed eleven years of parliamentary absence.

eleven years’ tyranny

The period from 1629 to 1640, when King Charles I of England,
Scotland, and Ireland ruled without recourse to Parliament. The King
was entitled to do this under the Royal Prerogative. His actions caused
discontent among the ruling classes, but the effects were more popular with the
common people.

Cavaliers

A name first used by Roundheads as a term of abuse for the wealthier male Royalist supporters of King Charles I and his son Charles II of England during the English Civil War, the Interregnum, and the Restoration (1642–c. 1679). It was later adopted by the Royalists themselves.

Rump Parliament

The English Parliament after Colonel Thomas Pride purged the Long Parliament on December 6, 1648, of those members hostile to the Grandees’ intention to try King Charles I for high treason.

Thirty Years’ War

A series of wars in Central
Europe between 1618 and 1648. Initially a war between various Protestant and
Catholic states in the fragmented Holy Roman Empire, it gradually developed
into a more general conflict involving most of the great powers.

tonnage and poundage

Certain duties and taxes
first levied in Edward II’s reign on every tun (cask) of imported wine, which
came mostly from Spain and Portugal, and on every pound weight of
merchandise exported or imported. Traditionally it was granted by
Parliament to the king for life until the reign of Charles I.

Petition of Right

A major English
constitutional document that sets out specific liberties of the subjects that
the king is prohibited from infringing. Passed in 1628, it contains
restrictions on non-Parliamentary taxation, forced billeting of soldiers,
imprisonment without cause, and the use of martial law.

Background: The Stuarts and the English Parliament

Elizabeth I’s death in 1603 resulted in the accession of her first cousin twice-removed King James VI of Scotland to the English throne as James I of England, creating the first personal union of the Scottish and English kingdoms. As King of Scots, James had become accustomed to Scotland’s weak parliamentary tradition, and the new King of England was genuinely affronted by the constraints the English Parliament attempted to place on him. Despite tensions between the King and Parliament, James’s  peaceful disposition contributed to relative peace in both England and Scotland. However, his son and successor, Charles I of England, did not share his father’s personality, and engaged in even more tense conflicts with Parliament. Charles’s belief, inherited from his father, that the power of the crown is God-given and that the king does not have to respect the position of the English Parliament, shaped his reign and led to a political crisis that in the end would cost him his own life.

Having dissolved Parliament in 1627 after it did not meet the king’s requirements and threatened his political allies, but unable to raise money without it, Charles assembled a new one in 1628. The new Parliament drew up the Petition of Right, and Charles accepted it as a concession in order to obtain his subsidy. The Petition did not grant him the right of tonnage and poundage, which Charles had been collecting without parliamentary authorization since 1625. Charles I avoided calling a Parliament for the next decade, a period known as the “personal rule” or the “eleven years’ tyranny.” During this period, Charles’s lack of money determined policies. First and foremost, to avoid Parliament, the king needed to avoid war. Charles made peace with France and Spain, effectively ending England’s involvement in the Thirty Years’ War. 

Charles finally bowed to pressure and summoned another English Parliament in November 1640. Known as the Long Parliament, it proved even more hostile to Charles than its predecessor, and passed a law that stated that a new Parliament should convene at least once every three years—without the king’s summons, if necessary. Other laws passed by the Parliament made it illegal for the king to impose taxes without parliamentary consent and later gave Parliament control over the king’s ministers. Finally, the Parliament passed a law forbidding the king to dissolve it without its consent, even if the three years were up. 

Charles and his supporters continued to resent Parliament’s demands, while Parliamentarians continued to suspect Charles of wanting to impose episcopalianism and unfettered royal rule by military force. Within months, the Irish Catholics, fearing a resurgence of Protestant power, struck first, and all of Ireland soon descended into chaos. In early January 1642, accompanied by 400 soldiers, Charles attempted to arrest five members of the House of Commons on a charge of treason, but failed to do so.
A few days after this failure, fearing for the safety of his family and retinue, Charles left the London area for the north of the country. Further negotiations by frequent correspondence between the king and the Long Parliament proved fruitless. As the summer progressed, cities and towns declared their sympathies for one faction or the other.

The English Civil War

What followed is know as the English Civil War (1642–1651), which developed into a series of armed conflicts and political machinations between Parliamentarians (“Roundheads”) and Royalists (“Cavaliers”). The first (1642–1646) and second (1648–1649) wars pitted the supporters of King Charles I against the supporters of the Long Parliament, while the third (1649–1651) saw fighting between supporters of King Charles II (Charles I’s son) and supporters of the Rump Parliament. The war ended with the Parliamentarian victory at the Battle of Worcester on September 3, 1651.

The overall outcome of the war was threefold: the trial and execution of Charles I, the exile of Charles II, and the replacement of English monarchy with, at first, the Commonwealth of England (1649–1653), and then the Protectorate (1653–1659) under Oliver Cromwell’s personal rule. The monopoly of the Church of England on Christian worship in England ended with the victors consolidating the established Protestant Ascendancy in Ireland. Constitutionally, the wars established the precedent that an English monarch cannot govern without Parliament’s consent, although the idea of Parliament as the ruling power of England was legally established as part of the Glorious Revolution in 1688.

Battle of Naseby, artist unknown

The victory of the Parliamentarian New Model Army over the Royalist Army at the Battle of Naseby on June 14, 1645, marked the decisive turning point in the English Civil War.

Oliver Cromwell’s Rise

Oliver Cromwell 
was relatively obscure for the first forty years of his life. He was an intensely religious man (an Independent Puritan) who entered the English Civil War on the side of the “Roundheads,” or Parliamentarians. Nicknamed “Old Ironsides,” he was quickly promoted from leading a single cavalry troop to being one of the principal commanders of the New Model Army, playing an important role in the defeat of the royalist forces. Cromwell was one of the signatories of King Charles I’s death warrant in 1649, and he dominated the short-lived Commonwealth of England as a member of the Rump Parliament (1649–1653). He was selected to take command of the English campaign in Ireland in 1649–1650. His forces defeated the Confederate and Royalist coalition in Ireland and occupied the country, bringing an end to the Irish Confederate Wars. During this period, a series of Penal Laws were passed against Roman Catholics (a significant minority in England and Scotland but the vast majority in Ireland), and a substantial amount of their land was confiscated. Cromwell also led a campaign against the Scottish army between 1650 and 1651.

In April 1653, he dismissed the Rump Parliament by force, setting up a short-lived nominated assembly known as Barebone’s Parliament, before being invited by his fellow leaders to rule as Lord Protector of England (which included Wales at the time), Scotland, and Ireland from December 1653. As a ruler, he executed an aggressive and effective foreign policy. He died from natural causes in 1658 and the Royalists returned to power in 1660, and they had his corpse dug up, hung in chains, and beheaded.

Oliver Cromwell by Samuel Cooper (died 1672), the National Portrait Gallery, London

Cromwell is one of the most controversial figures in the history of the British Isles, considered a regicidal dictator, a military dictator, and a hero of liberty. However, his measures against Catholics in Scotland and Ireland have been characterized as genocidal or near-genocidal, and in Ireland his record is harshly criticized.

18.3.5: The English Protectorate

Despite the revolutionary nature of the government during the Protectorate, Cromwell’s regime was marked by an aggressive foreign policy, no drastic reforms at home, and difficult relations with Parliament, which in the end made it increasingly similar to monarchy. 

Learning Objective

Describe the English Protectorate, along with its successes and failures

Key Points

• In 1653 Oliver Cromwell was declared Lord Protector of a united
  Commonwealth of England, Scotland, and Ireland under the terms of the Instrument
  of Government, inaugurating the period now usually known as the Protectorate.
• Cromwell had two key objectives as Lord
  Protector: “healing and settling” the nation after the
  chaos of the civil wars and the regicide, and spiritual and moral reform. While his domestic policies presumed no radical reforms and many focused on protecting public morality through religion, Cromwell followed an aggressive foreign policy. 
• Cromwell’s over-reliance on the military

  reopened
  the wounds of the 1640s and deepened antipathies to the regime.

• Being aware of the
  contribution the Jewish community made to the economic success of Holland, then England’s leading commercial rival, Cromwell encouraged Jews to return
  to England, 350 years after their banishment by Edward I.  
• After Cromwell’s death in 1658, his son Richard succeeded as Lord Protector but was unable to manage the Parliament and control the army. In 1660, monarchy was restored.  
• Cromwell is one of the most controversial
  figures in the history of the British Isles, considered a
  regicidal dictator or a military dictator by some and a hero of
  liberty by others. His measures against Catholics in Scotland and Ireland, however, have
  been characterized as genocidal or near-genocidal.

Key Terms

Rump Parliament

The English
Parliament after Colonel Thomas Pride purged the Long
Parliament on December 6, 1648, of those members hostile to the
Grandees’ intention to try King Charles I for high treason.

Interregnum

The period between the execution of Charles I on January 30, 1649, and the arrival of his son Charles II in London on May 29, 1660, which marked the start of the Restoration. During the Interregnum England was under various forms of republican government as the Commonwealth of England.

Barebone’s Parliament

Also known as the Little Parliament, the Nominated Assembly, and the Parliament of Saints, was the last attempt of the English Commonwealth (1653) to find a stable political form before the installation of Oliver Cromwell as Lord Protector. It was an assembly nominated entirely by Oliver Cromwell and the Army’s Council of Officers.

Third English Civil War

The last of the English Civil Wars (1649–1651), which were a series of armed conflicts and political machinations between Parliamentarians and Royalists.
As the Royal army was mostly Scottish, and as the invasion was not accompanied by any major rising or support in England, the war can also be viewed as primarily an Anglo-Scottish War rather than a continuation of the English Civil War.

Instrument of Government

A constitution of the Commonwealth of England, Scotland, and Ireland. Drafted by Major-General John Lambert in 1653, it was the first sovereign codified and written constitution in England.

The Commonwealth of England

The Commonwealth was the period when England, later along with Ireland and Scotland, was ruled as a republic following the end of the Second English Civil War and the trial and execution of Charles I (1649). The republic’s existence was declared by the Rump Parliament on May 19, 1649. Power in the early Commonwealth was vested primarily in the Parliament and a Council of State. During this period, fighting continued, particularly in Ireland and Scotland, between the parliamentary forces and those opposed to them, as part of what is now referred to as the Third English Civil War.

In 1653, after the forcible dissolution of the Rump Parliament, Oliver Cromwell was declared Lord Protector of a united Commonwealth of England, Scotland, and Ireland under the terms of the Instrument of Government, inaugurating the period now usually known as the Protectorate. The term “Commonwealth” is sometimes used for the whole of 1649 to 1660—a period referred to by monarchists as the Interregnum—although for other historians, the use of the term is limited to the years prior to Cromwell’s formal assumption of power in 1653.

Coat of arms of the Commonwealth of England from 1653 to 1659 during the Protectorate of Oliver Cromwell

The Protectorate

The Protectorate was the period during the Commonwealth when England (which at that time included Wales), Ireland, and Scotland were governed by a Lord Protector. The Protectorate began in 1653 when, following the dissolution of the Rump Parliament and then Barebone’s Parliament, Oliver Cromwell was appointed Lord Protector of the Commonwealth under the terms of the Instrument of Government.

Cromwell had two key objectives as Lord Protector. The first was “healing and settling” the nation after the chaos of the civil wars and the regicide. The social priorities did not, despite the revolutionary nature of the government, include any meaningful attempt to reform the social order. He was also careful in the way he approached overseas colonies. England’s American colonies in this period consisted of the New England Confederation, the Providence Plantation, the Virginia Colony, and the Maryland Colony. Cromwell soon secured the submission of these, but largely left them to their own affairs. His second objective was spiritual and moral reform. As a very religious man (Independent Puritan), he aimed to restore liberty of conscience and promote both outward and inward godliness throughout England. The latter translated into rigid religious laws (e.g., compulsory church attendance).

The first Protectorate parliament met in September 1654, and after some initial gestures approving appointments previously made by Cromwell, began to work on a moderate program of constitutional reform. Rather than opposing Parliament’s bill, Cromwell dissolved them in January 1655. After a royalist uprising led by Sir John Penruddock, Cromwell divided England into military districts ruled by Army Major-Generals who answered only to him. The fifteen major generals and deputy major generals—called “godly governors”—were central not only to national security, but also to Cromwell’s moral crusade. However, the major-generals lasted less than a year. Cromwell’s failure to support his men, by sacrificing them to his opponents, caused their demise. Their activities between November 1655 and September 1656 had, nonetheless, reopened the wounds of the 1640s and deepened antipathies to the regime.

During this period Cromwell also faced challenges in foreign policy. The First Anglo-Dutch War, which had broken out in 1652, against the Dutch Republic, was eventually won in 1654. Having negotiated peace with the Dutch, Cromwell proceeded to engage the Spanish in warfare. This involved secret preparations for an attack on the Spanish colonies in the Caribbean and resulted in the invasion of Jamaica, which then became an English colony. The Lord Protector also became aware of the contribution the Jewish community made to the economic success of Holland, then England’s leading commercial rival. This led to his encouraging Jews to return to England, 350 years after their banishment by Edward I, in the hope that they would help speed up the recovery of the country after the disruption of the English Civil War.

In 1657, Oliver Cromwell rejected the offer of the Crown presented to him by Parliament and was ceremonially re-installed as Lord Protector, this time with greater powers than had previously been granted him under this title. Most notably, however, the office of Lord Protector was still not to become hereditary, though Cromwell was now able to nominate his own successor. Cromwell’s new rights and powers were laid out in the Humble Petition and Advice, a legislative instrument that replaced the Instrument of Government. Despite failing to restore the Crown, this new constitution did set up many of the vestiges of the ancient constitution, including a house of life peers (in place of the House of Lords). In the Humble Petition it was called the “Other House,” as the Commons could not agree on a suitable name. Furthermore, Oliver Cromwell increasingly took on more of the trappings of monarchy. 

Cromwell’s signature

Cromwell’s signature before becoming Lord Protector in 1653, and afterwards. “Oliver P,” stands for Oliver Protector, similar in style to English monarchs who signed their names as, for example, “Elizabeth R,” standing for Elizabeth Regina.

After Cromwell’s Death

Cromwell died of natural causes in 1658, and his son Richard succeeded as Lord Protector. Richard sought to expand the basis for the Protectorate beyond the army to civilians. He summoned a Parliament in 1659. However, the republicans assessed his father’s rule as “a period of tyranny and economic depression” and attacked the increasingly monarchy-like character of the Protectorate. Richard was unable to manage the Parliament and control the army. In May, a Committee of Safety was formed on the authority of the Rump Parliament, displacing the Protector’s Council of State, and was in turn replaced by a new Council of State. A year later monarchy was restored.  

Cromwell is one of the most controversial figures in the history of the British Isles, considered a regicidal dictator or a military dictator by some and a hero of liberty by others. His measures against Catholics in Scotland and Ireland have been characterized as genocidal or near-genocidal, and in Ireland his record is harshly criticized.
Following the Irish Rebellion of 1641, most of Ireland came under the control of the Irish Catholic Confederation. In early 1649, the Confederates allied with the English Royalists, who had been defeated by the Parliamentarians in the English Civil War. By May 1652, Cromwell’s Parliamentarian army had defeated the Confederate and Royalist coalition in Ireland and occupied the country—bringing an end to the Irish Confederate Wars (or Eleven Years’ War). However, guerrilla warfare continued for another year. Cromwell passed a series of Penal Laws against Roman Catholics (the vast majority of the population) and confiscated large amounts of their land. The extent to which Cromwell, who was in direct command for the first year of the campaign, was responsible for brutal atrocities in Ireland is debated to this day.

18.3.6: Restoration of the Stuarts

Over a decade after Charles I’s 1649 execution and Charles II’s 1651 escape to mainland Europe, the Stuarts were restored to the English throne by Royalists in the aftermath of the slow fall of the Protectorate.   

Learning Objective

Evaluate why the Stuarts were brought back and restored to the English throne

Key Points

• Richard Cromwell was Lord
  Protector of England, Scotland, and Ireland after Oliver Cromwell’s death in
  1658, but he lacked his father’s authority. He
  proved unable to manage the
  Parliament and control the army and was removed from his office after several months. 
• In the aftermath of Richard’s removal, power struggles ensued, with George Monck emerging as a key figure in the restoration of monarchy and bringing Charles II back to England. 
• On April 4, 1660, Charles II issued the
  Declaration of Breda, in which he made several promises in relation to the
  reclamation of the crown of England. Charles entered London on May
  29 and was crowned in 1661.

• The
  Cavalier Parliament convened for the first time in May 1661, and it would endure
  for over seventeen years. Like its predecessor, it was overwhelmingly Royalist. It is
  also known as the Pensionary Parliament for the many pensions it granted to
  adherents of the king.
• Many Royalist exiles returned and were rewarded.
  The Indemnity and Oblivion Act, which became law in August 1660, pardoned all
  past treason against the Crown, but specifically excluded those involved in the
  trial and execution of Charles I. 

Key Terms

Pride’s Purge of 1648

An event that took place in December 1648, during the Second English Civil War, when troops of the New Model Army under the command of Colonel Thomas Pride forcibly removed from the Long Parliament all those who were not supporters of the Grandees in the New Model Army and the Independents. It is arguably the only military coup d’état in English history.

Convention Parliament

A parliament in English history which, owing to an abeyance of the Crown, assembled without formal summons by the sovereign.
Its 1660 assembly followed the Long Parliament that had finally voted for its own dissolution in March of that year. Elected as a “free parliament,” i.e., with no oath of allegiance to the Commonwealth or to the monarchy, it was predominantly Royalist in its membership.

Indemnity and Oblivion Act

A 1660 act of the Parliament of England that was a general pardon for everyone who had committed crimes during the English Civil War and Interregnum, with the exception of certain crimes such as murder, piracy, buggery, rape, and witchcraft, and people named in the act, such as those involved in the regicide of Charles I.

Declaration of Breda

A proclamation by Charles II of England in which he promised a general pardon for crimes committed during the English Civil War and the Interregnum for all those who recognized Charles as the lawful king; the retention by the current owners of property purchased during the same period; religious toleration; and the payment of pay arrears to members of the army and the recommission of the army into service under the crown. The first three pledges were all subject to amendment by acts of parliament.

Rump Parliament

The English
Parliament after Colonel Thomas Pride purged the Long
Parliament on December 6, 1648, of those members hostile to the
Grandees’ intention to try King Charles I for high treason.

Long Parliament

An English
Parliament that lasted from 1640 until 1660. It followed the fiasco of
the Short Parliament, which had been held for three weeks during the spring
of 1640, and which in its turn had followed an eleven-year parliamentary absence.

Committee of Safety

A committee established by the Parliamentarians in July 1642. It was the first of a number of successive committees set up to oversee the English Civil War against King Charles I and the Interregnum.
Its last installment was set up in 1659, just before the Restoration, in response to the Rump Parliament, which the day before tried to place the commander of the army Charles Fleetwood as chief of a military council under the authority of the speaker.

Richard Cromwell and the Protectorate

Richard Cromwell (1626–1712) was Lord Protector of England, Scotland, and Ireland after Oliver Cromwell’s death in 1658. Richard lacked his father’s authority. He attempted to mediate between the army and civil society and allowed a Parliament that contained a large number of disaffected Presbyterians and Royalists. His main weakness was that he did not have the confidence of the army. He summoned a Parliament in 1659, but the republicans assessed Oliver’s rule to be “a period of tyranny and economic depression” and attacked the increasingly monarchy-like nature of the Protectorate. Richard proved unable to manage the Parliament and control the army. On May 7, a Committee of Safety was formed on the authority of the Rump Parliament, displacing the Protector’s Council of State, and was in turn replaced by a new Council of State on May 19. 

Proclamation announcing the death of Oliver Cromwell and the succession of Richard Cromwell as Lord Protector. Printed in Scotland, 1658. Courtesy of the General Collection, Beinecke Rare Book and Manuscript Library, Yale University, New Haven, Connecticut.

In 1660, Richard Cromwell left for France and later traveled around Europe, visiting various European courts.
In 1680 or 1681, he returned to England and lodged with the merchant Thomas Pengelly in Cheshunt, Hertfordshire, living off the income from his estate in Hursley. He died in 1712 at the age of 85.

Power Struggles

Charles Fleetwood was appointed a member of the Committee of Safety and of the Council of State, and one of the seven commissioners for the army. On June 9, 1659, he was nominated lord-general (commander-in-chief) of the army. However, his leadership was undermined in Parliament. A royalist uprising was planned for August 1, 1659, and although it never happened, Sir George Booth gained control of Cheshire. Booth held Cheshire until the end of August, when he was defeated by General John Lambert. On October 26, a Committee of Safety was appointed, of which Fleetwood and Lambert were members. Lambert was appointed major-general of all the forces in England and Scotland, with Fleetwood being general. The Committee of Safety sent Lambert with a large force to meet George Monck, who was in command of the English forces in Scotland, and either negotiate with him or force him to come to terms.

It was into this atmosphere that Monck, the governor of Scotland under the Cromwells, marched south with his army from Scotland. Lambert’s army began to desert him, and he returned to London almost alone, though he marched unopposed. The Presbyterian members, excluded in Pride’s Purge of 1648, were recalled, and on December 24 the army restored the Long Parliament. Fleetwood was deprived of his command and ordered to appear before Parliament to answer for his conduct. In March 1660, Lambert was sent to the Tower of London, from which he escaped a month later. He tried to rekindle the civil war in favor of the Commonwealth, but he was recaptured by Colonel Richard Ingoldsby, a participant in the regicide of Charles I, who hoped to win a pardon by handing Lambert over to the new regime. Lambert was incarcerated and died in custody in 1684; Ingoldsby was, indeed, pardoned.

Restoration of Charles II

On April 4, 1660, Charles II issued the Declaration of Breda, in which he made several promises in relation to the reclamation of the crown of England. Monck organized the Convention Parliament; on May 8, it proclaimed that King Charles II had been the lawful monarch since the execution of Charles I on January 30, 1649. Charles entered London on May 29, his birthday. To celebrate his Majesty’s Return to his Parliament, May 29 was made a public holiday, popularly known as Oak Apple Day. He was crowned at Westminster Abbey on April 23, 1661. The Cavalier Parliament convened for the first time in May 1661, and it would endure for over seventeen years. Like its predecessor, it was overwhelmingly Royalist. It is also known as the Pensionary Parliament for the many pensions it granted to adherents of the king.

Many Royalist exiles returned and were rewarded.
The Indemnity and Oblivion Act, which became law in August 1660, pardoned all past treason against the crown, but specifically excluded those involved in the trial and execution of Charles I. Thirty-one of the fifty-nine commissioners (judges) who had signed the death warrant in 1649 were living. In the ensuing trials, twelve were condemned to death. In October 1660, ten were publicly hanged, drawn, and quartered. Oliver Cromwell, Henry Ireton, Judge Thomas Pride, and Judge John Bradshaw were posthumously attained for high treason. In January 1661, the corpses of Cromwell, Ireton, and Bradshaw were exhumed and hanged in chains at Tyburn.

Charles II of England by
Peter Lely, 1675, Collection of Euston Hall, Suffolk 

King Charles II, the first monarch to rule after the English Restoration.

 

18.3.7: The Glorious Revolution

The Glorious Revolution was the overthrow of King James II of England by a union of English Parliamentarians with the Dutch stadtholder William of Orange and his wife Mary that resulted in the eventual regulation of the respective powers of
Parliament and the Crown in England.

Learning Objective

Analyze the significant changes the Glorious Revolution made to English government

Key Points

• James II ascended the throne upon the death of
  his brother, Charles II, in 1685. During his short reign, he became directly
  involved in the political battles between Catholicism and Protestantism and
  between the Divine Right of Kings and the political rights of the Parliament of
  England. 
• James’s greatest political problem was his Catholicism, which left him
  alienated from both parties in England. Amidst continuous tensions between the king and Parliament,
  matters came to a head in June 1688, when James had a son, James. Until then, the throne would have passed to his
  daughter Mary, a Protestant. 
• Mary
  and her husband, William Henry of Orange, both Protestants, appeared as potential rulers who could lead an anti-James revolution and replace the Catholic king. It is still a matter
  of controversy whether the initiative for the conspiracy to take over the throne was taken by the
  English or by William and his wife. 
• On June 30, 1688, a group of seven Protestant
  nobles invited the Prince of Orange to come to England with an army. By
  September, it became clear that William would invade England. William arrived
  on November 5. 
• In
  December, James fled the
  country, and in 1689 William and Mary were appointed monarchs. 
• In order to regulate the relationship between the monarch and Parliament, the Bill of Rights was passed in 1689. It lays down limits on the
  powers of the monarch and sets out the rights of Parliament, including the
  requirement for regular parliaments, free elections, and freedom of speech in
  Parliament. 

Key Terms

Divine Right of Kings

A political and religious doctrine of royal and political legitimacy. It asserts that a monarch is subject to no earthly authority, and derives the right to rule directly from the will of God. The king is thus not subject to the will of his people, the aristocracy, or any other estate of the realm, including the Catholic Church.

Penal Laws

A specific series of laws that sought to uphold the establishment of the Church of England against Protestant Nonconformists and Catholicism by imposing various forfeitures, civil penalties, and civil disabilities upon these dissenters. They were repealed in the 19th century during the process of Catholic Emancipation.

Test Act

A series of English penal laws that served as a religious test for public office and imposed various civil disabilities on Roman Catholics and Nonconformists. The principle was that none but people taking communion in the established Church of England were eligible for public employment.

Declaration of Indulgence

A pair of proclamations made by James II of England and VII of Scotland in 1687. It granted broad religious freedom in England by suspending penal laws enforcing conformity to the Church of England and allowing persons to worship in their homes or chapels as they saw fit, and it ended the requirement of affirming religious oaths before gaining employment in government office.

stadtholder

In the Low Countries, a medieval function that during the 16th, 17th, and 18th centuries developed into a rare type of de facto hereditary head of state of the thus crowned republic of the Netherlands. Additionally, this position was tasked with maintaining peace and provincial order in the early Dutch Republic.

James II of England

James II of England (VII of Scotland) was the second surviving son of Charles I; he ascended the throne upon the death of his brother, Charles II, in 1685.
During his short reign, James became directly involved in the political battles between Catholicism and Protestantism and between the Divine Right of Kings and the political rights of the Parliament of England. James’s greatest political problem was his Catholicism, which left him alienated from both parties in England. However, the facts that he had no son and his daughters were Protestants were a “saving grace.” James’s attempt to relax the Penal Laws alienated Tories, his natural supporters, because they viewed this as tantamount to disestablishment o

17.2: Italy During the Renaissance

17.2.1: Italian Trade Cities

Learning Objective

Show how Northern Italy and the wealthy city-states within it became such huge European powers

Key Points

• While Northern Italy was not richer in resources than many other parts of Europe, the level of development, stimulated by trade, allowed it to prosper. In particular, Florence became one of the wealthiest cities in Northern Italy.
• Florence became the center of this financial industry, and the gold florin became the main currency of international trade.
• Luxury goods bought in the Levant, such as spices, dyes, and silks, were imported to Italy and then resold throughout Europe.
• The Italian trade routes that covered the Mediterranean and beyond were also major conduits of culture and knowledge.

Key Terms

Levant

The countries bordering the eastern Mediterranean Sea.

Tacitus

A senator and a historian of the Roman Empire (c. 56–after 117 CE).

Hanseatic League

A commercial and defensive confederation of merchant guilds and their market towns that dominated trade along the coast of Northern Europe.

Vitruvius

A Roman author, architect, and civil engineer (born c. 80–70 BC, died after c. 15 BCE), perhaps best known for his multi-volume work entitled De Architectura.

city-state

A political phenomenon of small independent states mostly in the central and northern Italian peninsula between the 9th and 15th centuries.

Prosperous City-States

During the late Middle Ages, Northern and Central Italy became far more prosperous than the south of Italy, with the city-states, such as Venice and Genoa, among the wealthiest in Europe. The Crusades had built lasting trade links to the Levant, and the Fourth Crusade had done much to destroy the Byzantine Roman Empire as a commercial rival to the Venetians and Genoese.

The main trade routes from the east passed through the Byzantine Empire or the Arab lands and onwards to the ports of Genoa, Pisa, and Venice. Luxury goods bought in the Levant, such as spices, dyes, and silks, were imported to Italy and then resold throughout Europe. Moreover, the inland city-states profited from the rich agricultural land of the Po valley.

From France, Germany, and the Low Countries, through the medium of the Champagne fairs, land and river trade routes brought goods such as wool, wheat, and precious metals into the region. The extensive trade that stretched from Egypt to the Baltic generated substantial surpluses that allowed significant investment in mining and agriculture.

Thus, while Northern Italy was not richer in resources than many other parts of Europe, the level of development, stimulated by trade, allowed it to prosper. In particular, Florence became one of the wealthiest cities in Northern Italy, due mainly to its woolen textile production, developed under the supervision of its dominant trade guild, the Arte della Lana. Wool was imported from Northern Europe (and in the 16th century from Spain), and together with dyes from the east was used to make high quality textiles.

Revitalizing Trade Routes

In the 13th century, much of Europe experienced strong economic growth. The trade routes of the Italian states linked with those of established Mediterranean ports, and eventually the Hanseatic League of the Baltic and northern regions of Europe, to create a network economy in Europe for the first time since the 4th century. The city-states of Italy expanded greatly during this period, and grew in power to become de facto fully independent of the Holy Roman Empire; apart from the Kingdom of Naples, outside powers kept their armies out of Italy. During this period, the modern commercial infrastructure developed, with double-entry bookkeeping, joint stock companies, an international banking system, a systematized foreign exchange market, insurance, and government debt. Florence became the center of this financial industry, and the gold florin became the main currency of international trade.

While Roman urban republican sensibilities persisted, there were many movements and changes afoot. Italy first felt the changes in Europe from the 11th to the 13th centuries. Typically there was:

• A rise in population―the population doubled in this period (the demographic explosion)
• An emergence of huge cities (Venice, Florence, and Milan had over 100,000 inhabitants by the 13th century, and many others, such as Genoa, Bologna, and Verona, had over 50,000)
• Rebuilding of the great cathedrals
• Substantial migration from country to city (in Italy the rate of urbanization reached 20%, making it the most urbanized society in the world at that time)
• An agrarian revolution
• Development of commerce

The decline of feudalism and the rise of cities influenced each other; for example, the demand for luxury goods led to an increase in trade, which led to greater numbers of tradesmen becoming wealthy, who, in turn, demanded more luxury goods.

Palazzo della Signoria e Uffizzi, Florence

Florence was one of the most important city-states in Italy.

The Transfer of Culture and Knowledge

The Italian trade routes that covered the Mediterranean and beyond were also major conduits of culture and knowledge. The recovery of lost Greek texts, which had been preserved by Arab scholars, following the Crusader conquest of the Byzantine heartlands revitalized medieval philosophy in the Renaissance of the 12th century. Additionally, Byzantine scholars migrated to Italy during and following the Ottoman conquest of the Byzantines between the 12th and 15th centuries, and were important in sparking the new linguistic studies of the Renaissance, in newly created academies in Florence and Venice. Humanist scholars searched monastic libraries for ancient manuscripts and recovered Tacitus and other Latin authors. The rediscovery of Vitruvius meant that the architectural principles of Antiquity could be observed once more, and Renaissance artists were encouraged, in the atmosphere of humanist optimism, to excel the achievements of the Ancients, like Apelles, of whom they read.

17.2.2: Italian Politics

Learning Objective

Describe the intricacies of Italian politics during this time

Key Points

• Northern and Central Italy became prosperous in the late Middle Ages through the growth of international trade and the rise of the merchant class, who eventually gained almost complete control of the governments of the Italian city-states.
• A popular explanation for the Italian Renaissance is the thesis that the primary impetus of the early Renaissance was the long-running series of wars between Florence and Milan, whereby the leading figures of Florence rallied the people by presenting the war as one between the free republic and a despotic monarchy.
• The House of Medici was an Italian banking family, political dynasty, and later royal house in Florence who were the major sponsors of art and architecture in the early and High Renaissance.

Key Terms

House of Medici

An Italian banking family, political dynasty, and later royal house in the Republic of Florence during the first half of the 15th century that had a major impact on the rise of the Italian Renaissance.

Hundred Years’ War

A series of conflicts waged from 1337 to 1453 by the House of Plantagenet, rulers of the Kingdom of England, against the House of Valois, rulers of the Kingdom of France, for control of the Kingdom of France.

Italy in the Late Middle Ages

By the Late Middle Ages (circa 1300 onward), Latium, the former heartland of the Roman Empire, and southern Italy were generally poorer than the north. Rome was a city of ancient ruins, and the Papal States were loosely administered and vulnerable to external interference such as that of France, and later Spain. The papacy was affronted when the Avignon Papacy was created in southern France as a consequence of pressure from King Philip the Fair of France. In the south, Sicily had for some time been under foreign domination, by the Arabs and then the Normans. Sicily had prospered for 150 years during the Emirate of Sicily, and later for two centuries during the Norman Kingdom and the Hohenstaufen Kingdom, but had declined by the late Middle Ages.

The Rise of the Merchant Class

In contrast, Northern and Central Italy had become far more prosperous, and it has been calculated that the region was among the richest in Europe. The new mercantile governing class, who gained their position through financial skill, adapted to their purposes the feudal aristocratic model that had dominated Europe in the Middle Ages. A feature of the High Middle Ages in Northern Italy was the rise of the urban communes, which had broken from the control of bishops and local counts. In much of the region, the landed nobility was poorer than the urban patriarchs in the high medieval money economy, whose inflationary rise left land-holding aristocrats impoverished. The increase in trade during the early Renaissance enhanced these characteristics.

This change also gave the merchants almost complete control of the governments of the Italian city-states, again enhancing trade. One of the most important effects of this political control was security. Those that grew extremely wealthy in a feudal state ran constant risk of running afoul of the monarchy and having their lands confiscated, as famously occurred to Jacques Coeur in France. The northern states also kept many medieval laws that severely hampered commerce, such as those against usury and prohibitions on trading with non-Christians. In the city-states of Italy, these laws were repealed or rewritten.

The 14th century saw a series of catastrophes that caused the European economy to go into recession, including the Hundred Years’ War, the Black Death, and numerous famines. It was during this period of instability that the Renaissance authors such as Dante and Petrarch lived, and the first stirrings of Renaissance art were to be seen, notably in the realism of Giotto. Paradoxically, some of these disasters would help establish the Renaissance. The Black Death wiped out a third of Europe’s population. The resulting labor shortage increased wages, and the reduced population was therefore much wealthier and better fed, and, significantly, had more surplus money to spend on luxury goods. As incidences of the plague began to decline in the early 15th century, Europe’s devastated population once again began to grow. The new demand for products and services also helped create a growing class of bankers, merchants, and skilled artisans.

Warring Italians

Northern Italy and upper Central Italy were divided into a number of warring city-states, the most powerful being Milan, Florence, Pisa, Siena, Genoa, Ferrara, Mantua, Verona, and Venice. High medieval Northern Italy was further divided by the long-running battle for supremacy between the forces of the papacy and of the Holy Roman Empire; each city aligned itself with one faction or the other, yet was divided internally between the two warring parties, Guelfs and Ghibellines. Warfare between the states was common, but invasion from outside Italy was confined to intermittent sorties of Holy Roman emperors. Renaissance politics developed from this background. Since the 13th century, as armies became primarily composed of mercenaries, prosperous city-states could field considerable forces, despite their low populations. In the course of the 15th century, the most powerful city-states annexed their smaller neighbors. Florence took Pisa in 1406, Venice captured Padua and Verona, and the Duchy of Milan annexed a number of nearby areas, including Pavia and Parma.

A popular explanation for the Italian Renaissance is the thesis, first advanced by historian Hans Baron, that the primary impetus of the early Renaissance was the long-running series of wars between Florence and Milan. By the late 14th century, Milan had become a centralized monarchy under the control of the Visconti family. Giangaleazzo Visconti, who ruled the city from 1378 to 1402, was renowned both for his cruelty and for his abilities, and set about building an empire in Northern Italy. He launched a long series of wars, with Milan steadily conquering neighboring states and defeating the various coalitions led by Florence that sought in vain to halt the advance. This culminated in the 1402 siege of Florence, when it looked as though the city was doomed to fall, before Giangaleazzo suddenly died and his empire collapsed.

Baron’s thesis suggests that during these long wars, the leading figures of Florence rallied the people by presenting the war as one between the free republic and a despotic monarchy, between the ideals of the Greek and Roman Republics and those of the Roman Empire and medieval kingdoms. For Baron, the most important figure in crafting this ideology was Leonardo Bruni. This time of crisis in Florence was the period when the most influential figures of the early Renaissance were coming of age, such as Ghiberti, Donatello, Masolino, and Brunelleschi. Inculcated with this republican ideology, they later went on to advocate republican ideas that were to have an enormous impact on the Renaissance.

The Medici Family

The House of Medici was an Italian banking family, political dynasty, and later royal house that first began to gather prominence under Cosimo de’ Medici in the Republic of Florence during the first half of the 15th century. The family originated in the Mugello region of the Tuscan countryside, gradually rising until they were able to fund the Medici Bank. The bank was the largest in Europe during the 15th century, which helped the Medici gain political power in Florence—though officially they remained citizens rather than monarchs. The biggest accomplishments of the Medici were in the sponsorship of art and architecture, mainly early and High Renaissance art and architecture. The Medici were responsible for the majority of Florentine art during their reign.

Their wealth and influence initially derived from the textile trade guided by the guild of the Arte della Lana. Like other signore families, they dominated their city’s government, they were able to bring Florence under their family’s power, and they created an environment where art and Humanism could flourish. They, along with other families of Italy, such as the Visconti and Sforza of Milan, the Este of Ferrara, and the Gonzaga of Mantua, fostered and inspired the birth of the Italian Renaissance. The Medici family was connected to most other elite families of the time through marriages of convenience, partnerships, or employment, so the family had a central position in the social network. Several families had systematic access to the rest of the elite families only through the Medici, perhaps similar to banking relationships.

The Medici Bank was one of the most prosperous and most respected institutions in Europe. There are some estimates that the Medici family were the wealthiest family in Europe for a time. From this base, they acquired political power initially in Florence and later in wider Italy and Europe. A notable contribution to the profession of accounting was the improvement of the general ledger system through the development of the double-entry bookkeeping system for tracking credits and debits. The Medici family were among the earliest businesses to use the system.

Cosimo di Giovanni de’ Medici was the first of the Medici political dynasty, and had tremendous political power in Florence. Despite his influence, his power was not absolute; Florence’s legislative councils at times resisted his proposals, something that would not have been tolerated by the Visconti of Milan, for instance. Throughout his life he was always primus inter pares, or first among equals. His power over Florence stemmed from his wealth, which he used to control votes. As Florence was proud of its “democracy,” Medici pretended to have little political ambition, and did not often hold public office. Aeneas Sylvius, Bishop of Siena and later Pope Pius II, said of him, “Political questions are settled in [Cosimo’s] house. The man he chooses holds office… He it is who decides peace and war… He is king in all but name.”

Cosimo di Giovanni de’ Medici

Portrait of Cosimo de’ Medici, the found of the House of Medici, by Jacopo Pontormo; the laurel branch (il Broncone) was a symbol used also by his heirs.

A painting of Cosimo Medici, clothed in red, to his left is a laurel branch and leaves.

17.2.3: The Church During the Italian Renaissance

Learning Objective

Analyze the church’s role in Italy at the time of the Renaissance

Key Points

• The Renaissance began in times of religious turmoil, especially surrounding the papacy, which culminated in the Western Schism, in which three men simultaneously claimed to be the true pope. 
• The new engagement with Greek Christian works during the Renaissance, and particularly the return to the original Greek of the New Testament promoted by Humanists Lorenzo Valla and Erasmus, helped pave the way for the Protestant Reformation.
• In addition to being the head of the church, the pope became one of Italy’s most important secular rulers, and pontiffs such as Julius II often waged campaigns to protect and expand their temporal domains.
• The Counter-Reformation was a period of Catholic resurgence initiated in response to the Protestant Reformation.

Key Terms

Western Schism

A split within the Roman Catholic Church that lasted from 1378 to 1417, when three men simultaneously claimed to be the true pope.

neo-Platonism

A tradition of philosophy that arose in the 3rd century CE, based on the philosophy of Plato, which involved describing the derivation of the whole of reality from a single principle, “the One.” Plotinus is traditionally identified as the founder of this school.

Counter-Reformation

A period of Catholic resurgence initiated in response to the Protestant Reformation.

The Church in the Late Middle Ages

The Renaissance began in times of religious turmoil. The late Middle Ages was a period of political intrigue surrounding the papacy, culminating in the Western Schism, in which three men simultaneously claimed to be the true pope. While the schism was resolved by the Council of Constance (1414), a resulting reform movement known as Conciliarism sought to limit the power of the pope. Although the papacy eventually emerged supreme in ecclesiastical matters by the Fifth Council of the Lateran (1511), it was dogged by continued accusations of corruption, most famously in the person of Pope Alexander VI, who was accused variously of simony, nepotism, and fathering four children.

Pope Alexander VI

Alexander VI, a Borgia pope infamous for his corruption.

A painting of a pope in adorned robes kneeling at an open casket in an open field.

Churchmen such as Erasmus and Luther proposed reform to the church, often based on Humanist textual criticism of the New Testament. In October 1517 Luther published the Ninety-five Theses, challenging papal authority and criticizing its perceived corruption, particularly with regard to instances of sold indulgences. The Ninety-five Theses led to the Reformation, a break with the Roman Catholic Church that previously claimed hegemony in Western Europe. Humanism and the Renaissance therefore played a direct role in sparking the Reformation, as well as in many other contemporaneous religious debates and conflicts.

Pope Paul III came to the papal throne (1534–1549) after the sack of Rome in 1527, with uncertainties prevalent in the Catholic Church following the Protestant Reformation. Nicolaus Copernicus dedicated De revolutionibus orbium coelestium (On the Revolutions of the Celestial Spheres) to Paul III, who became the grandfather of Alessandro Farnese (cardinal), who had paintings by Titian, Michelangelo, and Raphael, as well as an important collection of drawings, and who commissioned the masterpiece of Giulio Clovio, arguably the last major illuminated manuscript, the Farnese Hours.

The Church and the Renaissance

The city of Rome, the papacy, and the Papal States were all affected by the Renaissance. On the one hand, it was a time of great artistic patronage and architectural magnificence, when the church pardoned and even sponsored such artists as Michelangelo, Brunelleschi, Bramante, Raphael, Fra Angelico, Donatello, and da Vinci. On the other hand, wealthy Italian families often secured episcopal offices, including the papacy, for their own members, some of whom were known for immorality.

In the revival of neo-Platonism and other ancient philosophies, Renaissance Humanists did not reject Christianity; quite to the contrary, many of the Renaissance’s greatest works were devoted to it, and the church patronized many works of Renaissance art. The new ideals of Humanism, although more secular in some aspects, developed against a Christian backdrop, especially in the Northern Renaissance. In turn, the Renaissance had a profound effect on contemporary theology, particularly in the way people perceived the relationship between man and God.

Michelangelo’s Pietà in St. Peter’s Basilica, Vatican City

Michelangelo’s Pietà exemplifies the character of Renaissance art, combining the classical aesthetic of Greek art with religious imagery, in this case Mother Mary holding the body of Jesus after the crucifixion.

A photo of Michelangelo’s Pieta, a statue depicting Mary holding the dead body of Jesus.

In addition to being the head of the church, the pope became one of Italy’s most important secular rulers, and pontiffs such as Julius II often waged campaigns to protect and expand their temporal domains. Furthermore, the popes, in a spirit of refined competition with other Italian lords, spent lavishly both on private luxuries and public works, repairing or building churches, bridges, and a magnificent system of aqueducts in Rome that still function today.

From 1505 to 1626, St. Peter’s Basilica, perhaps the most recognized Christian church, was built on the site of the old Constantinian basilica in Rome. This was a time of increased contact with Greek culture, opening up new avenues of learning, especially in the fields of philosophy, poetry, classics, rhetoric, and political science, fostering a spirit of Humanism–all of which would influence the church.

Counter-Reformation

The Counter-Reformation, also called the Catholic Reformation or the Catholic Revival, was the period of Catholic resurgence initiated in response to the Protestant Reformation, beginning with the Council of Trent (1545–1563) and ending at the close of the Thirty Years’ War (1648). The Counter-Reformation was a comprehensive effort composed of four major elements—ecclesiastical or structural reconfigurations, new religious orders (such as the Jesuits), spiritual movements, and political reform.

Such reforms included the foundation of seminaries for the proper training of priests in the spiritual life and the theological traditions of the church, the reform of religious life by returning orders to their spiritual foundations, and new spiritual movements focusing on the devotional life and a personal relationship with Christ, including the Spanish mystics and the French school of spirituality. It also involved political activities that included the Roman Inquisition. One primary emphasis of the Counter-Reformation was a mission to reach parts of the world that had been colonized as predominantly Catholic, and also try to reconvert areas, such as Sweden and England, that were at one time Catholic but had been Protestantized during the Reformation.

17.3: Humanist Thought

17.3.1: Petrarch

Petrarch is often called the “Father of Humanism,” both for his discovery of important classical texts and his personal commitment to the way of life found in ancient literature and philosophy.

Learning Objective

Explain Petrarch’s contributions to the Renaissance

Key Points

• Petrarch is traditionally called the “Father of Humanism,” both for his influential philosophical attitudes, found in his numerous personal letters, and his discovery and compilation of classical texts. 
• Petrarch was born in the Tuscan city of Arezzo in 1304, and spent his early childhood near Florence, but his family moved to Avignon to follow Pope Clement V, who moved there in 1309 to begin the Avignon Papacy.
• He traveled widely in Europe and, during his travels, collected crumbling Latin manuscripts, whose discovery, especially Cicero’s letters, helped spark the Renaissance.
• A highly introspective man, he shaped the nascent Humanist movement a great deal because many of the internal conflicts and musings expressed in his writings were seized upon by Renaissance Humanist philosophers and argued continually for the next 200 years.

Key Terms

Humanism

The study of classical antiquity, at first in Italy and then spreading across Western Europe in the 14th, 15th, and 16th centuries.

Dark Ages

An imprecise term of historical periodization that was once used to refer to the Middle Ages but is latterly most commonly used in relation to the early medieval period, i.e., the centuries following the collapse of the Western Roman Empire; the term was coined by Petrarch.

Avignon Papacy

The period from 1309 to 1377, during which seven successive popes resided in Avignon, France.

Overview

Francesco Petrarca (July 20, 1304–July 19, 1374), commonly anglicized as Petrarch, was an Italian scholar and poet in Renaissance Italy, and one of the earliest Humanists. Petrarch’s rediscovery of Cicero’s letters is often credited for initiating the 14th-century Renaissance. Petrarch is often considered the founder of Humanism. Petrarch’s sonnets were admired and imitated throughout Europe during the Renaissance and became a model for lyrical poetry. In the 16th century, Pietro Bembo created the model for the modern Italian language based on Petrarch’s works.

Petrarch was born in the Tuscan city of Arezzo in 1304. Petrarch spent his early childhood in the village of Incisa, near Florence. He spent much of his early life at Avignon and nearby Carpentras, where his family moved to follow Pope Clement V, who moved there in 1309 to begin the Avignon Papacy. Petrarch studied law at the University of Montpellier (1316–1320) and the University of Bologna (1320–23); because his father was in the profession of law he insisted that Petrarch and his brother study law also. Petrarch, however, was primarily interested in writing and Latin literature, and considered these seven years wasted.

He traveled widely in Europe, served as an ambassador, and has been called “the first tourist” because he traveled just for pleasure. During his travels, he collected crumbling Latin manuscripts and was a prime mover in the recovery of knowledge from writers of Rome and Greece. He encouraged and advised Leontius Pilatus’s translation of Homer from a manuscript purchased by Boccaccio, although he was severely critical of the result. In 1345 he personally discovered a collection of Cicero’s letters not previously known to have existed, the collection ad Atticum.

Disdaining what he believed to be the ignorance of the centuries preceding the era in which he lived, Petrarch is credited or charged with creating the concept of a historical “Dark Ages.”

Francesco Petrarca

Statue of Petrarch on the Uffizi Palace, in Florence.

A photo of a full-body statue of Petrarch.

Father of Humanism

Petrarch is traditionally called the “Father of Humanism,” and considered by many to more generally be the “Father of the Renaissance.” This honorific is so given both for his influential philosophical attitudes, found in his numerous personal letters, and his discovery and compilation of classical texts.

In his work Secretum meum he points out that secular achievements did not necessarily preclude an authentic relationship with God. Petrarch argued instead that God had given humans their vast intellectual and creative potential to be used to their fullest. He inspired Humanist philosophy, which led to the intellectual flowering of the Renaissance. He believed in the immense moral and practical value of the study of ancient history and literature—that is, the study of human thought and action. Petrarch was a devout Catholic and did not see a conflict between realizing humanity’s potential and having religious faith.

A highly introspective man, he shaped the nascent Humanist movement a great deal, because many of the internal conflicts and musings expressed in his writings were seized upon by Renaissance Humanist philosophers and argued continually for the next 200 years. For example, Petrarch struggled with the proper relation between the active and contemplative life, and tended to emphasize the importance of solitude and study. In a clear disagreement with Dante, in 1346 Petrarch argued in his De vita solitaria that Pope Celestine V’s refusal of the papacy in 1294 was a virtuous example of solitary life. Later, the politician and thinker Leonardo Bruni argued for the active life, or “civic humanism.” As a result, a number of political, military, and religious leaders during the Renaissance were inculcated with the notion that their pursuit of personal fulfillment should be grounded in classical example and philosophical contemplation.

17.3.2: Humanism

Humanism was an intellectual movement embraced by scholars, writers, and civic leaders in 14th century Italy.

Learning Objective

Assess how Humanism gave rise to the art of the Renasissance

Key Points

• Humanists reacted against the utilitarian approach to education, seeking to create a citizenry who were able to speak and write with eloquence and thus able to engage the civic life of their communities.
• The movement was largely founded on the ideals of Italian scholar and poet Francesco Petrarca, which were often centered around humanity’s potential for achievement.
• While Humanism initially began as a predominantly literary movement, its influence quickly pervaded the general culture of the time, reintroducing classical Greek and Roman art forms and leading to the Renaissance.
• Donatello became renowned as the greatest sculptor of the Early Renaissance, known especially for his Humanist, and unusually erotic, statue of David.
• While medieval society viewed artists as servants and craftspeople, Renaissance artists were trained intellectuals, and their art reflected this newfound point of view.
• In humanist painting, the treatment of the elements of perspective and depiction of light became of particular concern.

Key Term

High Renaissance

The period in art history denoting the apogee of the visual arts in the Italian Renaissance. The High Renaissance period is traditionally thought to have begun in the 1490s—with Leonardo’s fresco of The Last Supper in Milan and the death of Lorenzo de’ Medici in Florence—and to have ended in 1527, with the Sack of Rome by the troops of Charles V.

Overview

Humanism, also known as Renaissance Humanism, was an intellectual movement embraced by scholars, writers, and civic leaders in 14th- and early-15th-century Italy. The movement developed in response to the medieval scholastic conventions in education at the time, which emphasized practical, pre-professional, and scientific studies engaged in solely for job preparation, and typically by men alone. Humanists reacted against this utilitarian approach, seeking to create a citizenry who were able to speak and write with eloquence and thus able to engage the civic life of their communities. This was to be accomplished through the study of the “studia humanitatis,” known today as the humanities: grammar, rhetoric, history, poetry, and moral philosophy. Humanism introduced a program to revive the cultural—and particularly the literary—legacy and moral philosophy of classical antiquity. The movement was largely founded on the ideals of Italian scholar and poet Francesco Petrarca, which were often centered around humanity’s potential for achievement.

While Humanism initially began as a predominantly literary movement, its influence quickly pervaded the general culture of the time, re-introducing classical Greek and Roman art forms and contributing to the development of the Renaissance. Humanists considered the ancient world to be the pinnacle of human achievement, and thought its accomplishments should serve as the model for contemporary Europe. There were important centers of Humanism in Florence, Naples, Rome, Venice, Genoa, Mantua, Ferrara, and Urbino.

Humanism was an optimistic philosophy that saw man as a rational and sentient being, with the ability to decide and think for himself. It saw man as inherently good by nature, which was in tension with the Christian view of man as the original sinner needing redemption. It provoked fresh insight into the nature of reality, questioning beyond God and spirituality, and provided knowledge about history beyond Christian history.

Humanist Art

Renaissance Humanists saw no conflict between their study of the Ancients and Christianity. The lack of perceived conflict allowed Early Renaissance artists to combine classical forms, classical themes, and Christian theology freely. Early Renaissance sculpture is a great vehicle to explore the emerging Renaissance style. The leading artists of this medium were Donatello, Filippo Brunelleschi, and Lorenzo Ghiberti. Donatello became renowned as the greatest sculptor of the Early Renaissance, known especially for his classical, and unusually erotic, statue of David, which became one of the icons of the Florentine republic.

Donatello’s David

Donatello’s David is regarded as an iconic Humanist work of art.

Humanism affected the artistic community and how artists were perceived. While medieval society viewed artists as servants and craftspeople, Renaissance artists were trained intellectuals, and their art reflected this newfound point of view. Patronage of the arts became an important activity, and commissions included secular subject matter as well as religious. Important patrons, such as Cosimo de’ Medici, emerged and contributed largely to the expanding artistic production of the time.

In painting, the treatment of the elements of perspective and light became of particular concern. Paolo Uccello, for example, who is best known for “The Battle of San Romano,” was obsessed by his interest in perspective, and would stay up all night in his study trying to grasp the exact vanishing point. He used perspective in order to create a feeling of depth in his paintings. In addition, the use of oil paint had its beginnings in the early part of the 16th century, and its use continued to be explored extensively throughout the High Renaissance.

“The Battle of San Romano” by Paolo Uccello

Italian Humanist paintings were largely concerned with the depiction of perspective and light.

Origins

Some of the first Humanists were great collectors of antique manuscripts, including Petrarch, Giovanni Boccaccio, Coluccio Salutati, and Poggio Bracciolini. Of the three, Petrarch was dubbed the “Father of Humanism” because of his devotion to Greek and Roman scrolls. Many worked for the organized church and were in holy orders (like Petrarch), while others were lawyers and chancellors of Italian cities (such as Petrarch’s disciple Salutati, the Chancellor of Florence) and thus had access to book-copying workshops.

In Italy, the Humanist educational program won rapid acceptance and, by the mid-15th century, many of the upper classes had received Humanist educations, possibly in addition to traditional scholastic ones. Some of the highest officials of the church were Humanists with the resources to amass important libraries. Such was Cardinal Basilios Bessarion, a convert to the Latin church from Greek Orthodoxy, who was considered for the papacy and was one of the most learned scholars of his time.

Following the Crusader sacking of Constantinople and the end of the Byzantine Empire in 1453, the migration of Byzantine Greek scholars and émigrés, who had greater familiarity with ancient languages and works, furthered the revival of Greek and Roman literature and science.

17.3.3: Education and Humanism

Humanism played a major role in education during the Renaissance, with the goal of cultivating the moral and intellectual character of citizens.

Learning Objective

Define Humanism and its goals as a movement in education

Key Points

• The Humanists of the Renaissance created schools to teach their ideas and wrote books all about education.
• One of the most profound and important schools was established and created by Vittorino da Feltre in 1423 in Mantua to provide the children of the ruler of Mantua with a Humanist education.
• Humanists sought to create a citizenry able to speak and write with eloquence and clarity, thus capable of engaging in the civic life of their communities and persuading others to virtuous and prudent actions.
• Humanist schools combined Christianity and classical texts to produce a model of education for all of Europe.

Key Terms

Humanism

A cultural and intellectual movement in 14th–16th century Europe characterized by attention to Classical culture and a promotion of vernacular texts, notably during the Renaissance.

Vittorino da Feltre

An Italian humanist and teacher who started an important humanist school in Mantua.

Liberal arts

Those areas of learning that require and cultivate general intellectual ability rather than technical skills; the humanities.

Cicero

A Roman philosopher, politician, lawyer, orator, political theorist, consul, and constitutionalist who lived from 106–43 BCE.

Overview

During the Renaissance, Humanism played a major role in education. Humanists —proponents or practitioners of Humanism during the Renaissance—believed that human beings could be dramatically changed by education. The Humanists of the Renaissance created schools to teach their ideas and wrote books all about education. Humanists sought to create a citizenry able to speak and write with eloquence and clarity, thus capable of engaging in the civic life of their communities and persuading others to virtuous and prudent actions. This was to be accomplished through the study of the humanities: grammar, rhetoric, history, poetry, and moral philosophy.

The Humanists believed that it was important to transcend to the afterlife with a perfect mind and body, which could be attained with education. The purpose of Humanism was to create a universal man whose person combined intellectual and physical excellence and who was capable of functioning honorably in virtually any situation. This ideology was referred to as the uomo universale, an ancient Greco-Roman ideal. Education during the Renaissance was mainly composed of ancient literature and history, as it was thought that the classics provided moral instruction and an intensive understanding of human behavior.

The educational curriculum of Humanism spread throughout Europe during the 16th century and became the educational foundation for the schooling of European elites, the functionaries of political administration, the clergy of the various legally recognized churches, and the learned professionals of law and medicine.

Philosophia et septem artes liberales

A painting symbolizing the liberal arts, depicting individuals representing the seven areas of liberal arts study, all circling around Plato and Socrates.

A painting symbolizing the liberal arts, depicting seven individuals representing the seven areas of liberal arts study, all circling around Plato and Aristotle.

Humanist Schools

One of the most important Humanist schools was established by Vittorino da Feltre in 1423. The school was in Mantua, which is a small Italian state. The ruler of Mantua had always wanted to provide a Humanist education for his children, and the school was a way to help him.

Most of Feltre’s ideas were based on those of previous classical authors, such as Cicero and Quintilian. The main foundation of the school was liberal studies. Liberal arts were viewed as the key to freedom, which allowed humans to achieve their goals and reach their full potential. Liberal studies included philosophy, history, rhetoric, letters, mathematics, poetry, music, and astronomy. Based on the Greek idea of a “sound mind,” the school in Mantua offered physical education as well. This included archery, dance, hunting, and swimming.

The children that attended the schools were generally from upper-class families, though some seats were reserved for poor but talented students. Females were not usually allowed to attend, but were encouraged to know history, learn dance, and appreciate poetry. Some important females that were educated during the Renaissance were Isotta Nogarola, Cassandra Fedele of Venice, and Laura Cereta.

Overall, Humanist education was thought at the time to be an important factor in the preparation of life. Its main goal was to improve the lives of citizens and help their communities. Humanist schools combined Christianity and the classics to produce a model of education for all of Europe.

Laura Cereta

Laura Cereta (1469–1499) was a Renaissance Humanist and feminist. Most of her writing was in the form of letters to other intellectuals.

Portrait of Laura Cereta

17.4: Art in the Renaissance

17.4.1: The Italian Renaissance

The art of the Italian Renaissance was influential throughout Europe for centuries.

Learning Objective

Describe the art and periodization of the Italian Renaissance

Key Points

• The Florence school of painting became the dominant style during the Renaissance. Renaissance artworks depicted more secular subject matter than previous artistic movements.
• Michelangelo, da Vinci, and Rafael are among the best known painters of the High Renaissance.
• The High Renaissance was followed by the Mannerist movement, known for elongated figures.

Key Terms

Mannerism

A style of art developed at the end of the High Renaissance, characterized by the deliberate distortion and exaggeration of perspective, especially the elongation of figures.

fresco

A type of wall painting in which color pigments are mixed with water and applied to wet plaster. As the plaster and pigments dry, they fuse together and the painting becomes a part of the wall itself.

The Renaissance began during the 14th century and remained the dominate style in Italy, and in much of Europe, until the 16th century. The term “renaissance” was developed during the 19th century in order to describe this period of time and its accompanying artistic style. However, people who were living during the Renaissance did see themselves as different from their Medieval predecessors. Through a variety of texts that survive, we know that people living during the Renaissance saw themselves as different largely because they were deliberately trying to imitate the Ancients in art and architecture.  

Florence and the Renaissance 

When you hear the term “Renaissance” and picture a style of art, you are probably picturing the Renaissance style that was developed in Florence, which became the dominate style of art during the Renaissance. During the Middle Ages and the Renaissance, Italy was divided into a number of different city states. Each city state had its own government, culture, economy, and artistic style. There were many different styles of art and architecture that were developed in Italy during the Renaissance. Siena, which was a political ally of France, for example, retained a Gothic element to its art for much of the Renaissance.

Certain conditions aided the development of the Renaissance style in Florence during this time period. In the 15th century, Florence became a major mercantile center. The production of cloth drove their economy and a merchant class emerged. Humanism, which had developed during the 14th century, remained an important intellectual movement that impacted art production as well. 

Early Renaissance 

During the Early Renaissance, artists began to reject the Byzantine style of religious painting and strove to create realism in their depiction of the human form and space. This aim toward realism began with Cimabue and Giotto, and reached its peak in the art of the “Perfect” artists, such as Andrea Mantegna and Paolo Uccello, who created works that employed one point perspective and played with perspective for their educated, art knowledgeable viewer. 

During the Early Renaissance we also see important developments in subject matter, in addition to style. While religion was an important element in the daily life of people living during the Renaissance, and remained a driving factor behind artistic production, we also see a new avenue open to panting—mythological subject matter. Many scholars point to Botticelli’s Birth of Venus as the very first panel painting of a mythological scene. While the tradition itself likely arose from cassone painting, which typically featured scenes from mythology and romantic texts, the development of mythological panel painting would open a world for artistic patronage, production, and themes.

Birth of Venus

Botticelli’s Birth of Venus was among the most important works of the early Renaissance.

The goddess Venus is depicted as a naked woman standing on a shell. On the left are two figures blowing on her, and on the right is a woman reaching out to her.

High Renaissance 

The period known as the High Renaissance represents the culmination of the goals of the Early Renaissance, namely the realistic representation of figures in space rendered with credible motion and in an appropriately decorous style. The most well known artists from this phase are Leonardo da Vinci, Raphael, Titian, and Michelangelo. Their paintings and frescoes are among the most widely known works of art in the world. Da Vinci’s Last Supper, Raphael’s The School of Athens and Michelangelo’s Sistine Chapel Ceiling paintings are the masterpieces of this period and embody the elements of the High Renaissance. 

Marriage of the Virgin, by Raphael

The painting depicts a marriage ceremony between Mary and Joseph.

Mannerism

High Renaissance painting evolved into Mannerism in Florence. Mannerist artists, who consciously rebelled against the principles of High Renaissance, tended to represent elongated figures in illogical spaces. Modern scholarship has recognized the capacity of Mannerist art to convey strong, often religious, emotion where the High Renaissance failed to do so. Some of the main artists of this period are Pontormo, Bronzino, Rosso Fiorentino, Parmigianino and Raphael’s pupil, Giulio Romano.

17.4.2: Art and Patronage

The Medici family used their vast fortune to control the Florentine political system and sponsor a series of artistic accomplishments.

Learning Objective

Discuss the relationship between art, patronage, and politics during the Renaissance

Key Points

• Although the Renaissance was underway before the Medici family came to power in Florence, their patronage and political support of the arts helped catalyze the Renaissance into a fully fledged cultural movement.
• The Medici wealth and influence initially derived from the textile trade guided by the guild of the Arte della Lana; through financial superiority, the Medici dominated their city’s government.
• Medici patronage was responsible for the majority of Florentine art during their reign, as artists generally only made their works when they received commissions in advance.
• Although none of the Medici themselves were scientists, the family is well known to have been the patrons of the famous Galileo Galilei, who tutored multiple generations of Medici children.

Key Terms

patronage

The support, encouragement, privilege, or financial aid that an organization or individual bestows on another, especially in the arts.

Lorenzo de’ Medici

An Italian statesman and de facto ruler of the Florentine Republic, who was one of the most powerful and enthusiastic patrons of the Renaissance.

Overview

It has long been a matter of debate why the Renaissance began in Florence, and not elsewhere in Italy. Scholars have noted several features unique to Florentine cultural life that may have caused such a cultural movement. Many have emphasized the role played by the Medici, a banking family and later ducal ruling house, in patronizing and stimulating the arts. Lorenzo de’ Medici (1449–1492) was the catalyst for an enormous amount of arts patronage, encouraging his countrymen to commission works from the leading artists of Florence, including Leonardo da Vinci, Sandro Botticelli, and Michelangelo Buonarroti. Works by Neri di Bicci, Botticelli, da Vinci, and Filippino Lippi had been commissioned additionally by the convent di San Donato agli Scopeti of the Augustinians order in Florence.

The Medici House Patronage

The House of Medici was an Italian banking family, political dynasty, and later royal house that first began to gather prominence under Cosimo de’ Medici in the Republic of Florence during the first half of the 15th century. Their wealth and influence initially derived from the textile trade guided by the guild of the Arte della Lana. Like other signore families, they dominated their city’s government, they were able to bring Florence under their family’s power, and they created an environment where art and Humanism could flourish. They, along with other families of Italy, such as the Visconti and Sforza of Milan, the Este of Ferrara, and the Gonzaga of Mantua, fostered and inspired the birth of the Italian Renaissance.

The biggest accomplishments of the Medici were in the sponsorship of art and architecture, mainly early and High Renaissance art and architecture. The Medici were responsible for the majority of Florentine art during their reign. Their money was significant because during this period, artists generally only made their works when they received commissions in advance. Giovanni di Bicci de’ Medici, the first patron of the arts in the family, aided Masaccio and commissioned Brunelleschi for the reconstruction of the Basilica of San Lorenzo, Florence, in 1419. Cosimo the Elder’s notable artistic associates were Donatello and Fra Angelico. The most significant addition to the list over the years was Michelangelo Buonarroti (1475–1564), who produced work for a number of Medici, beginning with Lorenzo the Magnificent, who was said to be extremely fond of the young Michelangelo, inviting him to study the family collection of antique sculpture. Lorenzo also served as patron of Leonardo da Vinci (1452–1519) for seven years. Indeed, Lorenzo was an artist in his own right, and an author of poetry and song; his support of the arts and letters is seen as a high point in Medici patronage.

The Medici House

Medici family members placed allegorically in the entourage of a king from the Three Wise Men in the Tuscan countryside in a Benozzo Gozzoli fresco, c. 1459.

A painting showing an entourage of people in the foreground, a rocky countryside with people and animals in the middle ground, and a castle in the background.

In architecture, the Medici are responsible for some notable features of Florence, including the Uffizi Gallery, the Boboli Gardens, the Belvedere, the Medici Chapel, and the Palazzo Medici. Later, in Rome, the Medici Popes continued in the family tradition by patronizing artists in Rome. Pope Leo X would chiefly commission works from Raphael. Pope Clement VII commissioned Michelangelo to paint the altar wall of the Sistine Chapel just before the pontiff’s death in 1534. Eleanor of Toledo, princess of Spain and wife of Cosimo I the Great, purchased the Pitti Palace from Buonaccorso Pitti in 1550. Cosimo in turn patronized Vasari, who erected the Uffizi Gallery in 1560 and founded the Accademia delle Arti del Disegno (“Academy of the Arts of Drawing”) in 1563. Marie de’ Medici, widow of Henry IV of France and mother of Louis XIII, is the subject of a commissioned cycle of paintings known as the Marie de’ Medici cycle, painted for the Luxembourg Palace by court painter Peter Paul Rubens in 1622–1623.

Although none of the Medici themselves were scientists, the family is well known to have been the patrons of the famous Galileo Galilei, who tutored multiple generations of Medici children and was an important figurehead for his patron’s quest for power. Galileo’s patronage was eventually abandoned by Ferdinando II when the Inquisition accused Galileo of heresy. However, the Medici family did afford the scientist a safe haven for many years. Galileo named the four largest moons of Jupiter after four Medici children he tutored, although the names Galileo used are not the names currently used.

17.4.3: Leonardo da Vinci

While Leonardo da Vinci is admired as a scientist, an academic, and an inventor, he is most famous for his achievements as the painter of several Renaissance masterpieces.

Learning Objective

Describe the works of Leonardo da Vinci that demonstrate his most innovative techniques as an artist

Key Points

• Among the qualities that make da Vinci’s work unique are the innovative techniques that he used in laying on the paint, his detailed knowledge of anatomy, his innovative use of the human form in figurative composition, and his use of sfumato.
• Among the most famous works created by da Vinci is the small portrait titled the Mona Lisa, known for the elusive smile on the woman’s face, brought about by the fact that da Vinci subtly shadowed the corners of the mouth and eyes so that the exact nature of the smile cannot be determined.
• Despite his famous paintings, da Vinci was not a prolific painter; he was a prolific draftsman, keeping journals full of small sketches and detailed drawings recording all manner of things that interested him.

Key Term

sfumato

In painting, the application of subtle layers of translucent paint so that there is no visible transition between colors, tones, and often objects.

While Leonardo da Vinci is greatly admired as a scientist, an academic, and an inventor, he is most famous for his achievements as the painter of several Renaissance masterpieces. His paintings were groundbreaking for a variety of reasons and his works have been imitated by students and discussed at great length by connoisseurs and critics.

Among the qualities that make da Vinci’s work unique are the innovative techniques that he used in laying on the paint, his detailed knowledge of anatomy, his use of the human form in figurative composition, and his use of sfumato. All of these qualities are present in his most celebrated works, the Mona Lisa, The Last Supper, and the Virgin of the Rocks.

The Virgin of the Rocks, Leonardo da Vinci, 1483–1486

This painting shows the Madonna and Child Jesus with the infant John the Baptist and an angel, in a rocky setting.

The Last Supper

Da Vinci’s most celebrated painting of the 1490s is The Last Supper, which was painted for the refectory of the Convent of Santa Maria della Grazie in Milan. The painting depicts the last meal shared by Jesus and the 12 Apostles where he announces that one of the them will betray him. When finished, the painting was acclaimed as a masterpiece of design. This work demonstrates something that da Vinci did very well: taking a very traditional subject matter, such as the Last Supper, and completely re-inventing it.

Prior to this moment in art history, every representation of the Last Supper followed the same visual tradition: Jesus and the Apostles seated at a table. Judas is placed on the opposite side of the table of everyone else and is effortlessly identified by the viewer. When da Vinci painted The Last Supper he placed Judas on the same side of the table as Christ and the Apostles, who are shown reacting to Jesus as he announces that one of them will betray him. They are depicted as alarmed, upset, and trying to determine who will commit the act. The viewer also has to determine which figure is Judas, who will betray Christ. By depicting the scene in this manner, da Vinci has infused psychology into the work.

Unfortunately, this masterpiece of the Renaissance began to deteriorate immediately after da Vinci finished painting, due largely to the painting technique that he had chosen. Instead of using the technique of fresco, da Vinci had used tempera over a ground that was mainly gesso in an attempt to bring the subtle effects of oil paint to fresco. His new technique was not successful, and resulted in a surface that was subject to mold and flaking. 

The Last Supper

Leonardo da Vinci’s Last Supper, although much deteriorated, demonstrates the painter’s mastery of the human form in figurative composition.

Mona Lisa

Among the works created by da Vinci in the 16th century is the small portrait known as the Mona Lisa, or La Gioconda, “the laughing one.” In the present era it is arguably the most famous painting in the world. Its fame rests, in particular, on the elusive smile on the woman’s face—its mysterious quality brought about perhaps by the fact that the artist has subtly shadowed the corners of the mouth and eyes so that the exact nature of the smile cannot be determined.

The shadowy quality for which the work is renowned came to be called sfumato, the application of subtle layers of translucent paint so that there is no visible transition between colors, tones, and often objects. Other characteristics found in this work are the unadorned dress, in which the eyes and hands have no competition from other details; the dramatic landscape background, in which the world seems to be in a state of flux; the subdued coloring; and the extremely smooth nature of the painterly technique, employing oils, but applied much like tempera and blended on the surface so that the brushstrokes are indistinguishable. And again, da Vinci is innovating upon a type of painting here. Portraits were very common in the Renaissance. However, portraits of women were always in profile, which was seen as proper and modest. Here, da Vinci present a portrait of a woman who not only faces the viewer but follows them with her eyes. 

Mona Lisa

In the Mona Lisa, da Vinci incorporates his sfumato technique to create a shadowy quality.

Virgin and Child with St. Anne

In the painting Virgin and Child with St. Anne, da Vinci’s composition again picks up the theme of figures in a landscape. What makes this painting unusual is that there are two obliquely set figures superimposed. Mary is seated on the knee of her mother, St. Anne. She leans forward to restrain the Christ Child as he plays roughly with a lamb, the sign of his own impending sacrifice. This painting influenced many contemporaries, including Michelangelo, Raphael, and Andrea del Sarto. The trends in its composition were adopted in particular by the Venetian painters Tintoretto and Veronese.

Virgin and Child with Saint Anne

Virgin and Child with St. Anne (c. 1510) by Leonardo da Vinci, Louvre Museum.

17.4.4: Michelangelo

Michelangelo was a 16th century Florentine artist renowned for his masterpieces in sculpture, painting, and architectural design.

Learning Objective

Discuss Michelangelo’s achievements in sculpture, painting, and architecture

Key Points

• Michelangelo created his colossal marble statue, the David, out of a single block of marble, which established his prominence as a sculptor of extraordinary technical skill and strength of symbolic imagination.
• In painting, Michelangelo is renowned for the ceiling and The Last Judgement of the Sistine Chapel, where he depicted a complex scheme representing Creation, the Downfall of Man, the Salvation of Man, and the Genealogy of Christ.
• Michelangelo’s chief contribution to Saint Peter’s Basilica was the use of a Greek Cross form and an external masonry of massive proportions, with every corner filled in by a stairwell or small vestry. The effect is a continuous wall-surface that appears fractured or folded at different angles.

Key Terms

contrapposto

The standing position of a human figure where most of the weight is placed on one foot, and the other leg is relaxed.  The effect of contrapposto in art makes figures look very naturalistic. 

Sistine Chapel

The best-known chapel in the Apostolic Palace.

Michelangelo was a 16th century Florentine artist renowned for his masterpieces in sculpture, painting, and architectural design. His most well known works are the David, the Last Judgment, and the Basilica of Saint Peter’s in the Vatican.

Sculpture: David

In 1504, Michelangelo was commissioned to create a colossal marble statue portraying David as a symbol of Florentine freedom. The subsequent masterpiece, David, established the artist’s prominence as a sculptor of extraordinary technical skill and strength of symbolic imagination. David was created out of a single marble block, and stands larger than life, as it was originally intended to adorn the Florence Cathedral. The work differs from previous representations in that the Biblical hero is not depicted with the head of the slain Goliath, as he is in Donatello’s and Verrocchio’s statues; both had represented the hero standing victorious over the head of Goliath. No earlier Florentine artist had omitted the giant altogether. Instead of appearing victorious over a foe, David’s face looks tense and ready for combat. The tendons in his neck stand out tautly, his brow is furrowed, and his eyes seem to focus intently on something in the distance. Veins bulge out of his lowered right hand, but his body is in a relaxed contrapposto pose, and he carries his sling casually thrown over his left shoulder. In the Renaissance, contrapposto poses were thought of as a distinctive feature of antique sculpture.

The David by Michelangelo, 1504

Michelangelo’s David stands in contrapposto pose.

The sculpture was intended to be placed on the exterior of the Duomo, and has become one of the most recognized works of Renaissance sculpture.

Painting: The Last Judgement

In painting, Michelangelo is renowned for his work in the Sistine Chapel. He was originally commissioned to paint tromp-l’oeil coffers after the original ceiling developed a crack. Michelangelo lobbied for a different and more complex scheme, representing Creation, the Downfall of Man, the Promise of Salvation through the prophets, and the Genealogy of Christ. The work is part of a larger scheme of decoration within the chapel that represents much of the doctrine of the Catholic Church.

The composition eventually contained over 300 figures, and had at its center nine episodes from the Book of Genesis, divided into three groups: God’s Creation of the Earth, God’s Creation of Humankind, and their fall from God’s grace, and lastly, the state of Humanity as represented by Noah and his family. Twelve men and women who prophesied the coming of the Jesus are painted on the pendentives supporting the ceiling. Among the most famous paintings on the ceiling are The Creation of Adam, Adam and Eve in the Garden of Eden, the Great Flood, the Prophet Isaiah and the Cumaean Sibyl. The ancestors of Christ  are painted around the windows.

The fresco of The Last Judgment on the altar wall of the Sistine Chapel was commissioned by Pope Clement VII, and Michelangelo labored on the project from 1536–1541. The work is located on the altar wall of the Sistine Chapel, which is not a traditional placement for the subject. Typically, last judgement scenes were placed on the exit wall of churches as a way to remind the viewer of eternal punishments as they left worship. The Last Judgment is a depiction of the second coming of Christ and the apocalypse; where the souls of humanity rise and are assigned to their various fates, as judged by Christ, surrounded by the Saints. In contrast to the earlier figures Michelangelo painted on the ceiling, the figures in The Last Judgement are heavily muscled and are in much more artificial poses, demonstrating how this work is in the Mannerist style.

In this work Michelangelo has rejected the orderly depiction of the last judgement as established by Medieval tradition in favor of a swirling scene of chaos as each soul is judged. When the painting was revealed it was heavily criticized for its inclusion of classical imagery as well as for the amount of nude figures in somewhat suggestive poses. The ill reception that the work received may be tied to the Counter Reformation and the Council of Trent, which lead to a preference for more conservative religious art devoid of classical references. Although a number of figures were made more modest with the addition of drapery, the changes were not made until after the death of Michelangelo, demonstrating the respect and admiration that was afforded to him during his lifetime.

The Last Judgement

The fresco of The Last Judgment on the altar wall of the Sistine Chapel was commissioned by Pope Clement VII. Michelangelo worked on the project from 1534–1541.

Architecture: St. Peter’s Basilica

Finally, although other architects were involved, Michelangelo is given credit for designing St. Peter’s Basilica. Michelangelo’s chief contribution was the use of a symmetrical plan of a Greek Cross form and an external masonry of massive proportions, with every corner filled in by a stairwell or small vestry. The effect is of a continuous wall surface that is folded or fractured at different angles, lacking the right angles that usually define change of direction at the corners of a building. This exterior is surrounded by a giant order of Corinthian pilasters all set at slightly different angles to each other, in keeping with the ever-changing angles of the wall’s surface. Above them the huge cornice ripples in a continuous band, giving the appearance of keeping the whole building in a state of compression.

St. Peter’s Basillica

Michelangelo designed the dome of St. Peter’s Basilica on or before 1564, although it was unfinished when he died.

17.4.5: Mannerism

Mannerist artists began to reject the harmony and ideal proportions of the Renaissance in favor of irrational settings, artificial colors, unclear subject matters, and elongated forms.

Learning Objective

Describe the Mannerist style, how it differs from the Renaissance, and reasons why it emerged.

Key Points

• Mannerism came after the High Renaissance and before the Baroque.
• The artists who came a generation after Raphael and Michelangelo had a dilemma. They could not surpass the great works that had already been created by Leonardo da Vinci, Raphael, and Michelangelo. This is when we start to see Mannerism emerge.
• Jacopo da Pontormo (1494–1557) represents the shift from the Renaissance to the Mannerist style.

Key Term

Mannerism

Style of art in Europe from c. 1520–1600. Mannerism came after the High Renaissance and before the Baroque. Not every artist painting during this period is considered a Mannerist artist. 

Mannerism is the name given to a style of art in Europe from c. 1520–1600. Mannerism came after the High Renaissance and before the Baroque. Not every artist painting during this period is considered a Mannerist artist, however, and there is much debate among scholars over whether Mannerism should be considered a separate movement from the High Renaissance, or a stylistic phase of the High Renaissance. Mannerism will be treated as a separate art movement here as there are many differences between the High Renaissance and the Mannerist styles. 

Style

What makes a work of art Mannerist? First we must understand the ideals and goals of the Renaissance. During the Renaissance artists were engaging with classical antiquity in a new way. In addition, they developed theories on perspective, and in all ways strived to create works of art that were perfect, harmonious, and showed ideal depictions of the natural world. Leonardo da Vinci, Raphael, and Michelangelo are considered the artists who reached the greatest achievements in art during the Renaissance. 

The Renaissance stressed harmony and beauty and no one could create more beautiful works than the great three artists listed above. The artists who came a generation after had a dilemma; they could not surpass the great works that had already been created by da Vinci, Raphael, and Michelangelo. This is when we start to see Mannerism emerge. Younger artists trying to do something new and different began to reject harmony and ideal proportions in favor of irrational settings, artificial colors, unclear subject matters, and elongated forms. 

Jacopo da Pontormo

Jacopo da Pontormo (1494–1557) represents the shift from the Renaissance to the Mannerist style. Take for example his Deposition from the Cross, an altarpiece that was painted for a chapel in the Church of Santa Felicita, Florence. The figures of Mary and Jesus appear to be a direct reference to Michelangelo’s Pieta. Although the work is called a “Deposition,” there is no cross. Scholars also refer to this work as the “Entombment” but there is no tomb. This lack of clarity on subject matter is a hallmark of Mannerist painting. In addition, the setting is irrational, almost as if it is not in this world, and the colors are far from naturalistic. This work could not have been produced by a Renaissance artist. The Mannerist movement stresses different goals and this work of art by Pontormo demonstrates this new, and different style. 

Pontormo, Deposition from the Cross, 1525-1528, Church of Santa Felicita, Florence

This work of art by Pontormo demonstrates the hallmarks of the Mannerist style: unclear subject matter, irrational setting, and artificial colors.

17.5: Literature in the Renaissance

17.5.1: The Rise of the Vernacular

Renaissance literature refers to European literature that was influenced by the intellectual and cultural tendencies of the Renaissance.

Learning Objective

Evaluate the influence of the different people, styles, and ideas that influenced Renaissance literature

Key Points

• In the 13th century, Italian authors began writing in their native vernacular language rather than in Latin, French, or Provençal. The earliest Renaissance literature appeared in 14th century Italy; Dante, Petrarch, and Machiavelli are notable examples of Italian Renaissance writers.
• From Italy the influence of the Renaissance spread across Europe; the scholarly writings of Erasmus and the plays of Shakespeare can be considered Renaissance in character.
• Renaissance literature is characterized by the adoption of a Humanist philosophy and the recovery of the classical literature of Antiquity, and benefited from the spread of printing in the latter part of the 15th century.

Key Terms

Spenserian stanza

Fixed verse form invented by Edmund Spenser for his epic poem “The Faerie Queene.” Each stanza contains nine lines in total; the rhyme scheme of these lines is “ababbcbcc. “

anthropocentric

Believing human beings to be the central or most significant species on the planet, or the assessing reality through an exclusively human perspective.

vernacular

The native language or native dialect of a specific population, especially as distinguished from a literary, national, or standard variety of the language.

Overview

The 13th century Italian literary revolution helped set the stage for the Renaissance. Prior to the Renaissance, the Italian language was not the literary language in Italy. It was only in the 13th century that Italian authors began writing in their native vernacular language rather than in Latin, French, or Provençal. The 1250s saw a major change in Italian poetry as the Dolce Stil Novo (Sweet New Style, which emphasized Platonic rather than courtly love) came into its own, pioneered by poets like Guittone d’Arezzo and Guido Guinizelli. Especially in poetry, major changes in Italian literature had been taking place decades before the Renaissance truly began.

With the printing of books initiated in Venice by Aldus Manutius, an increasing number of works began to be published in the Italian language, in addition to the flood of Latin and Greek texts that constituted the mainstream of the Italian Renaissance. The source for these works expanded beyond works of theology and towards the pre-Christian eras of Imperial Rome and Ancient Greece. This is not to say that no religious works were published in this period; Dante Alighieri’s The Divine Comedy reflects a distinctly medieval world view. Christianity remained a major influence for artists and authors, with the classics coming into their own as a second primary influence.

At Florence the most celebrated Humanists wrote also in the vulgar tongue, and commented on Dante and Petrarch and defended them from their enemies. Leone Battista Alberti, the learned Greek and Latin scholar, wrote in the vernacular, and Vespasiano da Bisticci, while he was constantly absorbed in Greek and Latin manuscripts, wrote the Vite di uomini illustri, valuable for their historical contents and rivaling the best works of the 14th century in their candor and simplicity.

Renaissance Literature

The earliest Renaissance literature appeared in 14th century Italy; Dante, Petrarch, and Machiavelli are notable examples of Italian Renaissance writers. From Italy the influence of the Renaissance spread at different rates to other countries, and continued to spread throughout Europe through the 17th century. The English Renaissance and the Renaissance in Scotland date from the late 15th century to the early 17th century. In northern Europe the scholarly writings of Erasmus, the plays of Shakespeare, the poems of Edmund Spenser, and the writings of Sir Philip Sidney may be considered Renaissance in character.

The literature of the Renaissance was written within the general movement of the Renaissance that arose in 13th century Italy and continued until the 16th century while being diffused into the western world. It is characterized by the adoption of a Humanist philosophy and the recovery of the classical literature of Antiquity and benefited from the spread of printing in the latter part of the 15th century. For the writers of the Renaissance, Greco-Roman inspiration was shown both in the themes of their writing and in the literary forms they used. The world was considered from an anthropocentric perspective. Platonic ideas were revived and put to the service of Christianity. The search for pleasures of the senses and a critical and rational spirit completed the ideological panorama of the period. New literary genres such as the essay and new metrical forms such as the sonnet and Spenserian stanza made their appearance.

The creation of the printing press (using movable type) by Johannes Gutenberg in the 1450s encouraged authors to write in their local vernacular rather than in Greek or Latin classical languages, widening the reading audience and promoting the spread of Renaissance ideas.

The impact of the Renaissance varied across the continent; countries that were predominantly Catholic or predominantly Protestant experienced the Renaissance differently. Areas where the Orthodox Church was culturally dominant, as well as those areas of Europe under Islamic rule, were more or less outside its influence. The period focused on self-actualization and one’s ability to accept what is going on in one’s life.

17.5.2: Renaissance Writers

The 13th and 14th century Italian literary revolution helped set the stage for the Renaissance.

Learning Objective

Identify the key contributions made by Dante, Boccaccio, and Bruni

Key Points

• The ideas characterizing the Renaissance had their origin in late 13th century Florence, in particular in the writings of Dante Alighieri (1265–1321) and Petrarch (1304–1374).
• The literature and poetry of the Renaissance was largely influenced by the developing science and philosophy.
• The Humanist Francesco Petrarch, a key figure in the renewed sense of scholarship, was also an accomplished poet, publishing several important works of poetry in Italian as well as Latin.
• Petrarch’s disciple, Giovanni Boccaccio, became a major author in his own right, whose major work, The Decameron, was a source of inspiration and plots for many English authors in the Renaissance.
• A generation before Petrarch and Boccaccio, Dante Alighieri set the stage for Renaissance literature with his Divine Comedy, widely considered the greatest literary work composed in the Italian language and a masterpiece of world literature.
• Leonardo Bruni was an Italian humanist, historian, and statesman, often recognized as the first modern historian.

Key Terms

humanist

One who studies classical antiquity and the intellectual adoption of its philosophies, centered on the important role of humans in the universe.

metaphysics

A branch of philosophy concerned with explaining the fundamental nature of being and the world that encompasses it.

Overview

Many argue that the ideas characterizing the Renaissance had their origin in late 13th century Florence, in particular in the writings of Dante Alighieri (1265–1321) and Petrarch (1304–1374). Italian prose of the 13th century was as abundant and varied as its poetry. In the year 1282 a period of new literature began. With the school of Lapo Gianni, Guido Cavalcanti, Cino da Pistoia, and Dante Alighieri, lyric poetry became exclusively Tuscan. The whole novelty and poetic power of this school consisted in, according to Dante, Quando Amore spira, noto, ed a quel niodo Ch’ei detta dentro, vo significando—that is, in a power of expressing the feelings of the soul in the way in which love inspires them, in an appropriate and graceful manner, fitting form to matter, and by art fusing one with the other. Love is a divine gift that redeems man in the eyes of God, and the poet’s mistress is the angel sent from heaven to show the way to salvation.

The literature and poetry of the Renaissance was largely influenced by the developing science and philosophy. The Humanist Francesco Petrarch, a key figure in the renewed sense of scholarship, was also an accomplished poet, publishing several important works of poetry. He wrote poetry in Latin, notably the Punic War epic Africa, but is today remembered for his works in the Italian vernacular, especially the Canzoniere, a collection of love sonnets dedicated to his unrequited love, Laura. He was the foremost writer of sonnets in Italian, and translations of his work into English by Thomas Wyatt established the sonnet form in England, where it was employed by William Shakespeare and countless other poets.

Giovanni Boccaccio

Petrarch’s disciple, Giovanni Boccaccio, became a major author in his own right. His major work was The Decameron, a collection of 100 stories told by ten storytellers who have fled to the outskirts of Florence to escape the black plague over ten nights. The Decameron in particular and Boccaccio’s work in general were a major source of inspiration and plots for many English authors in the Renaissance, including Geoffrey Chaucer and William Shakespeare. The various tales of love in The Decameron range from the erotic to the tragic. Tales of wit, practical jokes, and life lessons contribute to the mosaic. In addition to its literary value and widespread influence, it provides a document of life at the time. Written in the vernacular of the Florentine language, it is considered a masterpiece of classical early Italian prose.

Boccaccio wrote his imaginative literature mostly in the Italian vernacular, as well as other works in Latin, and is particularly noted for his realistic dialogue that differed from that of his contemporaries, medieval writers who usually followed formulaic models for character and plot. 

Discussions between Boccaccio and Petrarch were instrumental in Boccaccio writing the Genealogia deorum gentilium; the first edition was completed in 1360 and it remained one of the key reference works on classical mythology for over 400 years. It served as an extended defense for the studies of ancient literature and thought. Despite the Pagan beliefs at the core of the Genealogia deorum gentilium, Boccaccio believed that much could be learned from antiquity. Thus, he challenged the arguments of clerical intellectuals who wanted to limit access to classical sources to prevent any moral harm to Christian readers. The revival of classical antiquity became a foundation of the Renaissance, and his defense of the importance of ancient literature was an essential requirement for its development.

The Decameron

A depiction of Giovanni Boccaccio and Florentines who have fled from the plague, the frame story for The Decameron.

A painting of an Italian countryside with men and women in the foreground conversing.

Dante Alighieri

A generation before Petrarch and Boccaccio, Dante Alighieri set the stage for Renaissance literature. His Divine Comedy, originally called Comedìa and later christened Divina by Boccaccio, is widely considered the greatest literary work composed in the Italian language and a masterpiece of world literature.

In the late Middle Ages, the overwhelming majority of poetry was written in Latin, and therefore was accessible only to affluent and educated audiences. In De vulgari eloquentia (On Eloquence in the Vernacular), however, Dante defended use of the vernacular in literature. He himself would even write in the Tuscan dialect for works such as The New Life (1295) and the aforementioned Divine Comedy; this choice, though highly unorthodox, set a hugely important precedent that later Italian writers such as Petrarch and Boccaccio would follow. As a result, Dante played an instrumental role in establishing the national language of Italy. Dante’s significance also extends past his home country; his depictions of Hell, Purgatory, and Heaven have provided inspiration for a large body of Western art, and are cited as an influence on the works of John Milton, Geoffrey Chaucer, and Lord Alfred Tennyson, among many others.

Dante, like most Florentines of his day, was embroiled in the Guelph-Ghibelline conflict. He fought in the Battle of Campaldino (June 11, 1289) with the Florentine Guelphs against the Arezzo Ghibellines. After defeating the Ghibellines, the Guelphs divided into two factions: the White Guelphs—Dante’s party, led by Vieri dei Cerchi—and the Black Guelphs, led by Corso Donati. Although the split was along family lines at first, ideological differences arose based on opposing views of the papal role in Florentine affairs, with the Blacks supporting the pope and the Whites wanting more freedom from Rome. Dante was accused of corruption and financial wrongdoing by the Black Guelphs for the time that he was serving as city prior (Florence’s highest position) for two months in 1300. He was condemned to perpetual exile; if he returned to Florence without paying a fine, he could be burned at the stake.

At some point during his exile he conceived of the Divine Comedy, but the date is uncertain. The work is much more assured and on a larger scale than anything he had produced in Florence; it is likely he would have undertaken such a work only after he realized his political ambitions, which had been central to him up to his banishment, had been halted for some time, possibly forever. Mixing religion and private concerns in his writings, he invoked the worst anger of God against his city and suggested several particular targets that were also his personal enemies.

Portrait of Dante

Dante Alighieri was a major Italian poet of the Late Middle Ages who influenced and set the precedent for Renaissance literature.

Head-and-chest side portrait of Dante in red and white coat and cowl.

Leonardo Bruni

Leonardo Bruni (c. 1370–March 9, 1444) was an Italian Humanist, historian, and statesman, often recognized as the most important Humanist historian of the early Renaissance. He has been called the first modern historian. He was the earliest person to write using the three-period view of history: Antiquity, Middle Ages, and Modern. The dates Bruni used to define the periods are not exactly what modern historians use today, but he laid the conceptual groundwork for a tripartite division of history.

Bruni’s most notable work is Historiarum Florentini populi libri XII (History of the Florentine People, 12 Books), which has been called the first modern history book. While it probably was not Bruni’s intention to secularize history, the three period view of history is unquestionably secular, and for that Bruni has been called the first modern historian. The foundation of Bruni’s conception can be found with Petrarch, who distinguished the classical period from later cultural decline, or tenebrae (literally “darkness”). Bruni argued that Italy had revived in recent centuries and could therefore be described as entering a new age.

One of Bruni’s most famous works is New Cicero, a biography of the Roman statesman Cicero. He was also the author of biographies in Italian of Dante and Petrarch. It was Bruni who used the phrase “studia humanitatis,” meaning the study of human endeavors, as distinct from those of theology and metaphysics, which is where the term “humanists” comes from.

As a Humanist Bruni was essential in translating into Latin many works of Greek philosophy and history, such as those by Aristotle and Procopius. Bruni’s translations of Aristotle’s Politics and Nicomachean Ethics, as well as the pseudo-Aristotelean Economics, were widely distributed in manuscript and in print.

17.5.3: Christine de Pizan

Christine de Pizan was an Italian-French late medieval author who wrote about the positive contributions of women to European history and court life.

Learning Objective

Discuss the significance of Christine de Pizan’s work

Key Points

• Christine de Pizan was an Italian-French late medieval author, primarily a court writer, who wrote commissioned works for aristocratic families and addressed literary debates of the era.
• Her work is characterized by a prominent and positive depiction of women who encouraged ethical and judicious conduct in courtly life.
• Much of the impetus for her writing came from her need to earn a living to support her mother, a niece, and her two surviving children after being widowed at the age of 25.
• Christine’s participation in a literary debate about Jean de Meun’s Romance of the Rose allowed her to move beyond the courtly circles, and ultimately to establish her status as a writer concerned with the position of women in society.

Key Terms

feminism

A range of political movements, ideologies, and social movements that share a common goal: to define, establish, and achieve political, economic, personal, and social rights for women that are equal to those of men.

alchemist

A person who practices the philosophical and proto-scientific tradition aimed to purify, mature, and perfect certain objects, such as the transmutation of “base metals” (e.g., lead) into “noble” ones (particularly gold) and the creation of an elixir of immortality.

chivalry

A code of conduct associated with the medieval institution of knighthood, which later developed into social and moral virtues more generally.

Overview

Christine de Pizan (1364–1430) was an Italian-French late medieval author. She served as a court writer for several dukes (Louis of Orleans, Philip the Bold of Burgundy, and John the Fearless of Burgundy) and the French royal court during the reign of Charles VI. She wrote both poetry and prose works such as biographies and books containing practical advice for women. She completed forty-one works during her thirty-year career from 1399 to 1429. She married in 1380 at the age of fifteen, and was widowed ten years later. Much of the impetus for her writing came from her need to earn a living to support her mother, a niece, and her two surviving children. She spent most of her childhood and all of her adult life in Paris and then the abbey at Poissy, and wrote entirely in her adopted language, Middle French.

In recent decades, Christine de Pizan’s work has been returned to prominence by the efforts of scholars such as Charity Cannon Willard, Earl Jeffrey Richards, and Simone de Beauvoir. Certain scholars have argued that she should be seen as an early feminist who efficiently used language to convey that women could play an important role within society.

Christine de Pizan

A painting of Christine de Pizan, considered by some scholars to be a proto-feminist, lecturing four men.

A painting of Christine de Pizan seated before an open book lecturing four men below her.

Life

Christine de Pizan was born in 1364 in Venice, Italy. Following her birth, her father, Thomas de Pizan, accepted an appointment to the court of Charles V of France, as the king’s astrologer, alchemist, and physician. In this atmosphere, Christine was able to pursue her intellectual interests. She successfully educated herself by immersing herself in languages, in the rediscovered classics and Humanism of the early Renaissance, and in Charles V’s royal archive, which housed a vast number of manuscripts. But she did not assert her intellectual abilities, or establish her authority as a writer, until she was widowed at the age of 25.

In order to support herself and her family, Christine turned to writing. By 1393, she was writing love ballads, which caught the attention of wealthy patrons within the court. These patrons were intrigued by the novelty of a female writer and had her compose texts about their romantic exploits. Her output during this period was prolific. Between 1393 and 1412 she composed over 300 ballads, and many more shorter poems.

Christine’s participation in a literary debate, in 1401–1402, allowed her to move beyond the courtly circles, and ultimately to establish her status as a writer concerned with the position of women in society. During these years, she involved herself in a renowned literary controversy, the “Querelle du Roman de la Rose.” She helped to instigate this debate by beginning to question the literary merits of Jean de Meun’s The The Romance of the Rose. Written in the 13th century, The Romance of the Rose satirizes the conventions of courtly love while critically depicting women as nothing more than seducers. Christine specifically objected to the use of vulgar terms in Jean de Meun’s allegorical poem. She argued that these terms denigrated the proper and natural function of sexuality, and that such language was inappropriate for female characters such as Madam Reason. According to her, noble women did not use such language. Her critique primarily stemmed from her belief that Jean de Meun was purposely slandering women through the debated text.

The debate itself was extensive, and at its end the principal issue was no longer Jean de Meun’s literary capabilities; it had shifted to the unjust slander of women within literary texts. This dispute helped to establish Christine’s reputation as a female intellectual who could assert herself effectively and defend her claims in the male-dominated literary realm. She continued to counter abusive literary treatments of women.

Writing

Christine produced a large amount of vernacular works in both prose and verse. Her works include political treatises, mirrors for princes, epistles, and poetry.

Her early courtly poetry is marked by her knowledge of aristocratic custom and fashion of the day, particularly involving women and the practice of chivalry. Her early and later allegorical and didactic treatises reflect both autobiographical information about her life and views and also her own individualized and Humanist approach to the scholastic learned tradition of mythology, legend, and history she inherited from clerical scholars, and to the genres and courtly or scholastic subjects of contemporary French and Italian poets she admired. Supported and encouraged by important royal French and English patrons, she influenced 15th century English poetry.

By 1405, Christine had completed her most famous literary works, The Book of the City of Ladies and The Treasure of the City of Ladies. The first of these shows the importance of women’s past contributions to society, and the second strives to teach women of all estates how to cultivate useful qualities. In The Treasure of the City of Ladies, she highlights the persuasive effect of women’s speech and actions in everyday life. In this particular text, Christine argues that women must recognize and promote their ability to make peace between people. This ability will allow women to mediate between husband and subjects. She also argues that slanderous speech erodes one’s honor and threatens the sisterly bond among women. Christine then argues that “skill in discourse should be a part of every woman’s moral repertoire.” She believed that a woman’s influence is realized when her speech accords value to chastity, virtue, and restraint. She argued that rhetoric is a powerful tool that women could employ to settle differences and to assert themselves. Additionally, The Treasure of the City of Ladies provides glimpses into women’s lives in 1400, from the great lady in the castle down to the merchant’s wife, the servant, and the peasant. She offers advice to governesses, widows, and even prostitutes.

Picture from The Book of the City of Ladies

The Treasure of the City of Ladies is a manual of education by medieval Italian-French author Christine de Pizan.

A painting depicting, on the right, two women building a wall and, on the left, four women playing music from a book.

17.5.4: Machiavelli

Renaissance philosopher Niccolò Machiavelli sought to describe political life as it really was rather than its philosophical ideal, as infamously portrayed in his text The Prince.

Learning Objective

Analyze Machiavelli’s impact during his own lifetime and in the modern day

Key Points

• Niccolò Machiavelli was an Italian Renaissance historian, politician, diplomat, philosopher, Humanist, and writer, often called the founder of modern political science.
• His writings were innovative because of his emphasis on practical and pragmatic strategies over philosophical ideals, exemplified by such phrases as “He who neglects what is done for what ought to be done, sooner effects his ruin than his preservation.”
• His most famous text, The Prince, has been profoundly influential, from the time of his life up to the present day, both on politicians and philosophers.
• The Prince describes strategies to be an effective statesman and infamously includes justifications for treachery and violence to retain power.

Key Terms

Machiavellian

Cunning and scheming in statecraft or in general conduct.

republicanism

An ideology of being a citizen in a state in which power resides in elected individuals representing the citizen body.

realpolitik

Politics or diplomacy based primarily on considerations of given circumstances and factors, rather than explicit ideological notions or moral and ethical premises.

Overview

Niccolò Machiavelli (May 3, 1469–June 21, 1527) was an Italian Renaissance historian, politician, diplomat, philosopher, Humanist, and writer. He has often been called the founder of modern political science. He was for many years a senior official in the Florentine Republic, with responsibilities in diplomatic and military affairs. He also wrote comedies, carnival songs, and poetry. His personal correspondence is renowned in the Italian language. He was secretary to the Second Chancery of the Republic of Florence from 1498 to 1512, when the Medici were out of power. He wrote his most renowned work, The Prince (Il Principe) in 1513.

“Machiavellianism” is a widely used negative term to characterize unscrupulous politicians of the sort Machiavelli described most famously in The Prince. Machiavelli described immoral behavior, such as dishonesty and killing innocents, as being normal and effective in politics. He even seemed to endorse it in some situations. The book itself gained notoriety when some readers claimed that the author was teaching evil, and providing “evil recommendations to tyrants to help them maintain their power.” The term “Machiavellian” is often associated with political deceit, deviousness, and realpolitik. On the other hand, many commentators, such as Baruch Spinoza, Jean-Jacques Rousseau, and Denis Diderot, have argued that Machiavelli was actually a republican, even when writing The Prince, and his writings were an inspiration to Enlightenment proponents of modern democratic political philosophy.

Portrait of Niccolò Machiavelli

Machiavelli is a political philosopher infamous for his justification of violence in his treatise The Prince.

Portrait of Machiavelli showing his holding a book in his right hand and leather gloves in his left.

The Prince

Machiavelli’s best-known book, The Prince, contains several maxims concerning politics. Instead of the more traditional target audience of a hereditary prince, it concentrates on the possibility of a “new prince.” To retain power, the hereditary prince must carefully balance the interests of a variety of institutions to which the people are accustomed. By contrast, a new prince has the more difficult task in ruling: he must first stabilize his newfound power in order to build an enduring political structure. Machiavelli suggests that the social benefits of stability and security can be achieved in the face of moral corruption. Machiavelli believed that a leader had to understand public and private morality as two different things in order to rule well. As a result, a ruler must be concerned not only with reputation, but also must be positively willing to act immorally at the right times. 

As a political theorist, Machiavelli emphasized the occasional need for the methodical exercise of brute force or deceit, including extermination of entire noble families to head off any chance of a challenge to the prince’s authority. He asserted that violence may be necessary for the successful stabilization of power and introduction of new legal institutions. Further, he believed that force may be used to eliminate political rivals, to coerce resistant populations, and to purge the community of other men of strong enough character to rule, who will inevitably attempt to replace the ruler. Machiavelli has become infamous for such political advice, ensuring that he would be remembered in history through the adjective “Machiavellian.”

The Prince is sometimes claimed to be one of the first works of modern philosophy, especially modern political philosophy, in which the effective truth is taken to be more important than any abstract ideal. It was also in direct conflict with the dominant Catholic and scholastic doctrines of the time concerning politics and ethics. In contrast to Plato and Aristotle, Machiavelli insisted that an imaginary ideal society is not a model by which a prince should orient himself.

Influence

Machiavelli’s ideas had a profound impact on political leaders throughout the modern west, helped by the new technology of the printing press. During the first generations after Machiavelli, his main influence was in non-Republican governments. One historian noted that The Prince was spoken of highly by Thomas Cromwell in England and had influenced Henry VIII in his turn towards Protestantism and in his tactics, for example during the Pilgrimage of Grace. A copy was also possessed by the Catholic king and emperor Charles V. In France, after an initially mixed reaction, Machiavelli came to be associated with Catherine de’ Medici and the St. Bartholomew’s Day massacre. As one historian reports, in the 16th century, Catholic writers “associated Machiavelli with the Protestants, whereas Protestant authors saw him as Italian and Catholic.” In fact, he was apparently influencing both Catholic and Protestant kings.

Modern materialist philosophy developed in the 16th, 17th, and 18th centuries, starting in the generations after Machiavelli. This philosophy tended to be republican, more in the original spirit of Machiavellianism, but as with the Catholic authors, Machiavelli’s realism and encouragement of using innovation to try to control one’s own fortune were more accepted than his emphasis upon war and politics. Not only were innovative economics and politics results, but also modern science, leading some commentators to say that the 18th century Enlightenment involved a “humanitarian” moderating of Machiavellianism.

Although Jean-Jacques Rousseau is associated with very different political ideas, it is important to view Machiavelli’s work from different points of view rather than just the traditional notion. For example, Rousseau viewed Machiavelli’s work as a satirical piece in which Machiavelli exposes the faults of one-man rule rather than exalting amorality.

Scholars have argued that Machiavelli was a major indirect and direct influence upon the political thinking of the Founding Fathers of the United States due to his overwhelming favoritism of republicanism and the republic type of government. Benjamin Franklin, James Madison, and Thomas Jefferson followed Machiavelli’s republicanism when they opposed what they saw as the emerging aristocracy that they feared Alexander Hamilton was creating with the Federalist Party. Hamilton learned from Machiavelli about the importance of foreign policy for domestic policy, but may have broken from him regarding how rapacious a republic needed to be in order to survive.

17.6: The Northern Renaissance

17.6.1: Erasmus

Erasmus of Rotterdam was a renowned Humanist scholar and theologian who wrote several important texts criticizing the superstition and formalism of the church while upholding its core spiritual values.

Learning Objective

Describe Erasmus and his connection to the Renaissance

Key Points

• Erasmus was a Dutch Renaissance Humanist, Catholic priest, social critic, teacher, and theologian known as the “Prince of the Humanists” for his influential scholarship and writings.
• Erasmus lived against the backdrop of the growing European religious Reformation, but while he was critical of the abuses within the Catholic church and called for reform, he kept his distance from Luther and continued to recognize the authority of the pope.
• In The Handbook of the Christian Soldier, Erasmus outlines the views of the normal Christian life and critiques formalism—going through the motions of tradition without understanding their basis in the teachings of Christ.
• One of Erasmus’s best-known works is In Praise of Folly, a satirical attack on superstitions and other traditions of European society in general and the western church in particular.

Key Terms

satirical

Characteristic of a genre of literature in which vices, follies, abuses, and shortcomings are held up to ridicule, ideally with the intent of shaming individuals, groups, or society itself into improvement.

ecclesiastic

The theological study of the Christian church.

Overview

Erasmus of Rotterdam, or simply Erasmus, was a Dutch Renaissance Humanist, Catholic priest, social critic, teacher, and theologian.

Erasmus was a classical scholar and wrote in a pure Latin style. Among Humanists he enjoyed the name “Prince of the Humanists,” and has been called “the crowning glory of the Christian Humanists.” Using Humanist techniques for working on texts, he prepared important new Latin and Greek editions of the New Testament, which raised questions that would be influential in the Protestant Reformation and Catholic Counter-Reformation. He also wrote On Free Will, The Praise of Folly, Handbook of a Christian Knight, On Civility in Children, Copia: Foundations of the Abundant Style, Julius Exclusus, and many other works.

Erasmus lived against the backdrop of the growing European religious Reformation, but while he was critical of the abuses within the Catholic church and called for reform, he kept his distance from Luther and Melanchthon and continued to recognize the authority of the pope, emphasizing a middle path with a deep respect for traditional faith, piety, and grace, rejecting Luther’s emphasis on faith alone. Erasmus remained a member of the Roman Catholic church all his life, staying committed to reforming the church and its clerics’ abuses from within. He also held to the Catholic doctrine of free will, which some Reformers rejected in favor of the doctrine of predestination. His middle road (“Via Media“) approach disappointed and even angered scholars in both camps.

Approach to Scholarship

Erasmus preferred to live the life of an independent scholar and made a conscious effort to avoid any actions or formal ties that might inhibit his freedom of intellect and literary expression. Throughout his life, he was offered many positions of honor and profit throughout the academic world but declined them all, preferring the uncertain but sufficient rewards of independent literary activity.

His residence at Leuven, where he lectured at the university, exposed Erasmus to much criticism from those ascetics, academics, and clerics hostile to the principles of literary and religious reform and the loose norms of the Renaissance adherents to which he was devoting his life.

He tried to free the methods of scholarship from the rigidity and formalism of medieval traditions, but he was not satisfied with this. His revolt against certain forms of Christian monasticism and scholasticism was not based on doubts about the truth of doctrine, nor from hostility to the organization of the church itself, nor from rejection of celibacy or monastic lifestyles. He saw himself as a preacher of righteousness by an appeal to reason, applied frankly and without fear of the magisterium. He always intended to remain faithful to Catholic doctrine, and therefore was convinced he could frankly criticize virtually everyone and everything. Aloof from entangling obligations, Erasmus was the center of the literary movement of his time, corresponding with more than 500 men in the worlds of politics and thought.

Writings

Erasmus wrote both on ecclesiastic subjects and those of general human interest. By the 1530s, the writings of Erasmus accounted for ten to twenty percent of all book sales in Europe. 

His serious writings begin early, with the Enchiridion militis Christiani—the Handbook of the Christian Soldier (1503). In this short work, Erasmus outlines the views of the normal Christian life, which he was to spend the rest of his days elaborating. The chief evil of the day, he says, is formalism—going through the motions of tradition without understanding their basis in the teachings of Christ. Forms can teach the soul how to worship God, or they may hide or quench the spirit. In his examination of the dangers of formalism, Erasmus discusses monasticism, saint worship, war, the spirit of class, and the foibles of “society.”

One of Erasmus’s best-known works is In Praise of Folly, a satirical attack on superstitions and other traditions of European society in general and the western church in particular, written in 1509. In Praise of Folly starts off with Folly praising herself, after the manner of the Greek satirist Lucian, whose work Erasmus and Sir Thomas More had recently translated into Latin, a piece of virtuoso foolery; it then takes a darker tone in a series of orations, as Folly praises self-deception and madness and moves to a satirical examination of pious but superstitious abuses of Catholic doctrine and corrupt practices in parts of the Roman Catholic church—to which Erasmus was ever faithful—and the folly of pedants. Erasmus had recently returned disappointed from Rome, where he had turned down offers of advancement in the curia, and Folly increasingly takes on Erasmus’s own chastising voice. The essay ends with a straightforward statement of Christian ideals.

Erasmus

Erasmus in 1523 as depicted by Hans Holbein the Younger. The Greek and Latin words on the book translate to “The Herculean Labours of Erasmus of Rotterdam.”

A portrait of Erasmus indoors, placing his hands on a red book.

17.6.2: The Printing Revolution

The invention of the printing press by Gutenberg led to the spread of mass communication across Europe in only a few decades.

Learning Objective

Synthesize the impacts of the printing press on distribution of ideas and mass communication

Key Points

• In 1436 Johannes Gutenberg began work on the invention of a new printing press that allowed precise molding of new type blocks from a uniform template and allowed for the creation of high-quality printed books.
• Gutenberg is also credited with the introduction of an oil-based ink that was more durable than the previously used water-based inks. He tested colored inks in his Gutenberg Bible.
• The printing press was a factor in the establishment of a community of scientists who could easily communicate their discoveries through widely disseminated scholarly journals, helping to bring on the scientific revolution.
• Because the printing process ensured that the same information fell on the same pages, page numbering, tables of contents, and indices became common.
• The arrival of mechanical movable type printing introduced the era of mass communication, which permanently altered the structure of society. The relatively unrestricted circulation of information and revolutionary ideas transcended borders.

Key Terms

Gutenberg Bible

The first major book printed in the West using movable type. It marked the start of the age of the printed book in the West and is widely praised for its high aesthetic and artistic qualities.

Johannes Gutenberg

(c. 1395–1468) A German blacksmith, goldsmith, printer, and publisher who introduced printing to Europe. His invention of mechanical movable type printing started the Printing Revolution and is widely regarded as the most important event of the modern period.

Overview

The printing press was invented in the Holy Roman Empire by the German Johannes Gutenberg around 1440, based on existing screw presses. Gutenberg, a goldsmith by profession, developed a complete printing system that perfected the printing process through all of its stages by adapting existing technologies to printing purposes, as well as making groundbreaking inventions of his own. His newly devised hand mould made possible for the first time the precise and rapid creation of metal movable type in large quantities, a key element in the profitability of the whole printing enterprise.

The printing press spread within several decades to over 200 cities in a dozen European countries. By 1500, printing presses in operation throughout Western Europe had already produced more than 20 million volumes. In the 16th century, with presses spreading further afield, their output rose tenfold to an estimated 150 to 200 million copies. The operation of a press became so synonymous with the enterprise of printing that it lent its name to an entire new branch of media, the press.

Johannes Gutenberg

Johannes Gutenberg’s work on the printing press began in approximately 1436 when he partnered with Andreas Dritzehn—a man he had previously instructed in gem-cutting—and Andreas Heilmann, owner of a paper mill. However, it was not until a 1439 lawsuit against Gutenberg that an official record exists; witnesses’ testimony discussed Gutenberg’s types, an inventory of metals (including lead), and his type molds.

Early wooden printing press, depicted in 1568

Such presses could produce up to 240 impressions per hour. At the left in the foreground, a “puller” removes a printed sheet from the press. The “beater” to his right is inking the form. In the background, compositors are setting type.

Having previously worked as a professional goldsmith, Gutenberg made skillful use of the knowledge of metals he had learned as a craftsman. He was the first to make type from an alloy of lead, tin, and antimony, which was critical for yielding durable type that produced high-quality printed books and proved to be much better-suited for printing than all other known materials. To create these lead types, Gutenberg used what is considered one of his most ingenious inventions, a special matrix enabling the quick and precise molding of new type blocks from a uniform template. His type case is estimated to have contained around 290 separate letter boxes, most of which were required for special characters, ligatures, punctuation marks, etc.

Mass Communication

In Renaissance Europe, the arrival of mechanical movable type printing introduced the era of mass communication, which permanently altered the structure of society. The relatively unrestricted circulation of information and (revolutionary) ideas transcended borders, captured the masses in the Reformation, and threatened the power of political and religious authorities; the sharp increase in literacy broke the monopoly of the literate elite on education and learning and bolstered the emerging middle class. Across Europe, the increasing cultural self-awareness of its peoples led to the rise of proto-nationalism, accelerated by the flowering of the European vernacular languages to the detriment of Latin’s status as lingua franca.

As early as 1480 there were printers active in 110 different places in Germany, Italy, France, Spain, the Netherlands, Belgium, Switzerland, England, Bohemia, and Poland. From that time on, it is assumed that “the printed book was in universal use in Europe.” By 1500, the printing presses in operation throughout Western Europe had already produced more than 20 million copies. In the following century, their output rose tenfold to an estimated 150 to 200 million copies.

The vast printing capacities meant that individual authors could now become true bestsellers; at least 750,000 copies of Erasmus’s works were sold during his lifetime alone (1469–1536). In the period from 1518 to 1524, the publication of books in Germany alone skyrocketed sevenfold; between 1518 and 1520, Luther’s tracts were distributed in 300,000 printed copies.

Spread of printing in the 15th century from Mainz, Germany

Printing places showing the spread of incunabula printing in the 15th century. Two hundred seventy-one locations are known; the largest of them are designated by name. The term “incunabula” referred to printed materials and came to denote the printed books themselves in the late 17th century.

Effect on Scholarship and Literacy

The printing press was also a factor in the establishment of a community of scientists who could easily communicate their discoveries through widely disseminated scholarly journals, helping to bring on the scientific revolution. Because of the printing press, authorship became more meaningful and profitable. It was suddenly important who had said or written what, and what the precise formulation and time of composition was. This allowed the exact citing of references, producing the rule, “one author, one work (title), one piece of information.” Before, the author was less important, since a copy of Aristotle made in Paris would not be exactly identical to one made in Bologna. For many works prior to the printing press, the name of the author has been entirely lost.

Because the printing process ensured that the same information fell on the same pages, page numbering, tables of contents, and indices became common, though they previously had not been unknown. The process of reading also changed, gradually moving over several centuries from oral readings to silent, private reading. The wider availability of printed materials also led to a drastic rise in the adult literacy rate throughout Europe.

17.6.3: Flemish Painting in the Northern Renaissance

The Flemish School refers to artists who were active in Flanders during the 15th and 16th centuries.

Learning Objective

Compare the artistic advances seen in the works of Robern Campin, Jan van Eyck, and Rogier van der Weyden

Key Points

• The three most prominent painters during this period, Jan van Eyck, Robert Campin, and Rogier van der Weyden, were known for making significant advances in illusionism, or the realistic and precise representation of people, space, and objects.
• The preferred subject matter of the Flemish School was typically religious in nature, and the majority of the work was presented as panels, usually in the form of diptychs or polyptychs.
• While the Italian Renaissance was based on rediscoveries of classical Greece and Rome, the Flemish school drew influence from the region’s Gothic past.
• Van Eyck is known for signing and dating his work “ALS IK KAN” (“AS I CAN”).
• Robert Campin has been identified with the signature “Master of Flemalle.”
• Because the Flemish masters used a workshop system, they were able to mass produce high-end panels for sale and export throughout Europe.

Key Terms

illusionism

The realistic and precise representation of people, space, and objects.

tempera

A type of painting where color pigments are mixed with a binder, usually egg. Tempera can also refers to the finished work of art itself. 

triptych

A picture or series of pictures painted on three tablets connected by hinges.

polyptych

A work consisting of multiple painted or carved panels joined together, often with hinges.

The Flemish School

The Flemish School, which has also been called the Northern Renaissance, the Flemish Primitive School, and Early Netherlandish, refers to artists who were active in Flanders during the 15th and 16th centuries, especially in the cities of Bruges and Ghent. The three most prominent painters during this period—Jan van Eyck, Robert Campin, and Rogier van der Weyden—were known for making significant advances in illusionism, or the realistic and precise representation of people, space, and objects. The preferred subject matter of the Flemish School was typically religious in nature, but small portraits were common as well. The majority of this work was presented as either panels, single altarpieces, or more complex altarpieces, which were usually in the form of diptychs or polyptychs.

During the 15th and 16th centuries, the Low Countries became a political and artistic center focused around the cities of Bruges and Ghent. Because Flemish masters employed a workshop system, wherein craftsmen helped to complete their art, they were able to mass produce high-end panels for sale throughout Europe. The Flemish School emerged almost concurrently with the Italian Renaissance. However, while the Italian Renaissance was based on the rediscoveries of classical Greek and Roman culture, the Flemish school drew influence from the area’s Gothic past. These artists also experimented with oil paint earlier than their Italian Renaissance peers. 

Robert Campin

Robert Campin, considered the first master of the Flemish School, has been identified with the signature “Master of Flemalle,” which appears on numerous works of art. Campin is known for producing highly realistic works, for making great use of perspective and shading, and for being one of the first artists to work with oil paint instead of tempera. One of his best known works, the Merode Altarpiece, is a triptych that depicts an Annunciation Scene. The Archangel Gabriel approaches Mary as she is reading in a room that is recognized as a typical middle class Flanders home. The work is highly realistic, and the objects throughout the painting conveyed recognizable, religious meaning to viewers at the time. 

The Merode Altarpiece attributed to Robert Campin

The Merode Altarpiece is a triptych that features the Archangel Gabriel approaching Mary, who is reading in a well-decorated, typical middle class Flanders home.

Jan Van Eyck

Jan van Eyck, a contemporary of Campin, is widely considered to be one of the most significant Northern European painters of the 15th century. He is known for signing and dating his work “ALS IK KAN” (“AS I CAN”). Signatures were not particularly customary during this time, but helped to secure his lasting reputation. Active in Bruges, and very popular within his own lifetime, van Eyck’s work was highly innovative and technical. It exhibited a masterful manipulation of oil paint and a high degree of realism. While van Eyck completed many famous paintings, perhaps his most famous is the Ghent Altarpiece, a commissioned polyptych from around 1432.

The Ghent Altarpiece by Jan van Eyck

The Ghent Altarpiece, a commissioned polyptych from around 1432, is perhaps van Eyck’s most famous work.

Rogier van der Weyden

Rogier van der Weyden is the last of the three most renowned Early Flemish painters. An apprentice under Robert Campin, van der Weyden exhibited many stylistic similarities, including the use of realism. Highly successful in his lifetime, his surviving works are mainly religious triptychs, altarpieces, and commissioned portraits. By the end of the 15th century, van der Weyden surpassed even van Eyck in popularity. Van der Weyden’s most well-known painting is The Descent From the Cross, circa 1435.

The Descent from the Cross by Rogier van der Weyden

Van der Weyden’s most well-known painting is The Descent From the Cross, circa 1435.

16.2: The Inca

16.2.1: The Inca People

Learning Objective

Explain Inca agriculture, clothing, commodities, and architecture, and how these elements shaped their complex society.

Key Points

• Centered in Cusco, the Inca Empire extended from modern-day Chile to modern-day Colombia.
• Inca society was sophisticated, and boasted around seventy different crops across the empire’s various climates.
• The Inca considered finely woven textiles to be an essential commodity, and  spun various grades of cloth from llama and vicuña wool.

Key Terms

quinoa

This grain crop produces edible seeds that are high in protein and played an essential role in the Inca diet.

Machu Picchu

This Inca citadel was probably built for the emperor Pachacutec around 1450 CE in the Andes at a height of around 8,000 feet above sea level using dry stone masonry.

awaska

A lower-grade textile woven from llama wool and used for everyday household chores and cleaning.

The Inca Empire, or Inka Empire, was the largest empire in pre-Columbian America. The civilization emerged in the 13th century and lasted until it was conquered by the Spanish in 1572. The administrative, political, and military center of the empire was located in Cusco (also spelled Cuzco) in modern-day Peru. From 1438 to 1533, the Incas used a variety of methods, from conquest to peaceful assimilation, to incorporate a large portion of western South America. Beginning with the rule of Pachacuti-Cusi Yupanqui, the Inca expanded their borders to include large parts of modern Ecuador, Peru, western and south-central Bolivia, northwest Argentina, north and north-central Chile, and southern Colombia. This vast territory was known in Quechua (the language of the Inca Empire) as Tawantin Suyu, or the Four Regions, which met in the capital of Cusco.

Inca Empire

From 1438 to 1533, the Inca Empire expanded significantly.

Architecture and Masonry

Architecture illustrates the sophistication and technical skill typical of the Inca Empire. The main example of this resilient art form was the capital city of Cusco, which drew together the Four Regions. The Inca used a mortarless construction technique, called dry stone wall, that fit stones together so well that a knife could not be fitted through the stonework. This was a process first used on a large scale by the Pucara (c. 300 BCE–300 CE) peoples to the south in Lake Titicaca, and later in the great city of Tiwanaku (c. 400–1100 CE) in present-day Bolivia. The rocks used in construction were sculpted to fit together exactly by repeatedly lowering one rock onto another and carving away any sections on the lower rock where there was compression or the pieces did not fit exactly. The tight fit and the concavity on the lower rocks made them extraordinarily stable.

Machu Picchu was built around 1450, at the height of the Inca Empire. It is a rare example of this architectural building technique and remains in remarkable condition after many centuries. The construction of Machu Picchu appears to date from the period of the two great Inca emperors, Pachacutec Inca Yupanqui (1438–1471) and Tupac Inca Yupanqui (1472–1493), and was probably built as a temple for the emperor Pachacutec. Machu Picchu was abandoned just over 100 years later, in 1572, as a belated result of the Spanish Conquest, possibly related to smallpox.

Machu Picchu

This impressive mountain-top temple was built around 1450 CE using dry stone wall.

Textiles, Ceramics, and Metalwork

Textiles were one of the most precious commodities of the Inca culture and denoted a person’s social status, and often their profession. The brightly colored patterns on a wool tunic represented various positions and achievements. For example, a black-and-white checkerboard pattern topped with a pink triangle denoted a soldier. Because textiles were so specific to a person’s class and employment, citizens could not change their wardrobe without the express permission of the government. Textiles were also manufactured that could only be used for certain tasks or social arenas. A rougher textile, spun from llama wool and called awaska, was used for everyday household chores. On the other hand, a fine-spun, very soft cloth made from vicuña wool could only be used in religious ceremonies.

Inca tunic

The complex patterns woven into most Inca textiles and made into tunics, like this one, denoted a person’s position in society. 

Although textiles were considered the most precious commodity in Inca culture, Incas also considered ceramics and metalwork essential commodities of the economy and class system. Incan pottery was distinctive and normally had a spherical body with a cone-shaped base. The pottery would also include curved handles and often featured animal heads, such as jaguars or birds. These ceramics were painted in bright colors, such as orange, red, black, and yellow.

The Inca also required every province to mine for precious metals like tin, silver, gold, and copper. The intricate metalwork of the Inca was heavily influenced by the Chimú culture, which was conquered and absorbed into the Inca culture around 1470. This metalwork included detailed friezes and patterns inlaid into the metal. Fine silver and gold were made into intricate decorative pieces for the emperors and elites based on these Chimú metallurgy traditions, and often included animal motifs with butterflies, jaguars, and llamas etched into the metal. Skilled metallurgists also transformed bronze and copper into farming implements, blades, axes, and pins for everyday activities.

Agriculture and Diet

The Inca culture boasted a wide variety of crops, numbering around seventy different strains in total, making it one of the most diverse crop cultures in the world. Some of these flavorful vegetables and grains included:

• Potatoes
• Sweet potatoes
• Maize
• Chili peppers
• Cotton
• Tomatoes
• Peanuts 
• Oca
• Quinoa
• Amaranth 

Terraced farmland in Peru

Terraces allowed Inca farmers to utilize the mountainous terrain and grow around seventy different crops.

These crops were grown in the high-altitude Andes by building terraced farms that allowed farmers to utilize the mineral-rich mountain soil. The quick change in altitude on these mountain farms also utilized the micro-climates of each terrace to grow a wider range of crops. The Inca also produced bounties in the Amazon rainforest and along the more arid coastline of modern-day Peru.

Alongside vegetables, the Inca supplemented their diet with fish, guinea pigs, camelid meat, and wild fowl. They also fermented maize, or corn, to create the alcoholic beverage chicha. 

16.2.2: Administration of the Inca Empire

Learning Objective

Understand the importance of the governing bodies, road system, recording tools, and social hierarchy of the Inca Empire

Key Points

• The Inca Empire utilized a complex road system with about 25,000 miles of roads that relayed messages and goods throughout the society.
• Inca administrators used brightly colored knotted strings called quipus to keep precise records of labor, taxes, and goods.
• The Inca had no written legal code, but relied on magistrates and inspectors to keep people in line with established social customs.

Key Terms

quipus

Brightly colored knotted strings that recorded numerical information, such as taxes, goods, and labor, using the base number of 10 to record data in knots.

suyus

Distinct districts of the Inca Empire that all reported back to the capital of Cusco. There were four major districts during the height of the empire.

ayllu

A clan-like family unit based upon a common ancestor.

Hierarchy

The
Inca Empire was a hierarchical system with the emperor, or Inca Sapa,
ruling over the rest of society. A number of religious officials and magistrates oversaw the
administration of the empire directly below the emperor. Kurakas were magistrates that served as the head of an ayllu, or clan-like family unit based on a common ancestor.
These leaders mitigated between the spiritual and physical worlds.
They also collected taxes, oversaw the day-to-day administration of
the empire in their regions, and even chose brides for men in their
communities. Some of the privileges kurakas enjoyed included exemption from taxation, the right to ride in a litter, and the
freedom to practice polygamy.

Society
was broken into two distinct parts. One segment was comprised of the common people, including those
cultures that had been subsumed by the Inca Empire. The second group was made up of the elite of
the empire, including the emperor and the kurakas, along with various
other dignitaries and blood relations. Education was vocationally based for commoners, while
the elite received a formal spiritual education.

There
was no codified legal system for people that broke with the
cultural and social norms. Local inspectors called okoyrikoq, or
“he who sees all,” reported back to the capital and the emperor
and made immediate decisions regarding punishment in cases where customs were not honored. Many
times these local inspectors were blood relatives of the emperor.

Road System

The Inca civilization was able to keep populations in line,
collect taxes efficiently, and move goods, messages, and military
resources across such a varied landscape because of the complex road
system. Measuring about 24,800 miles long, this road system connected
the the regions of the empire and was the most complex
and lengthy road system in South America at the time. Two main routes
connected the north and the south of the empire, with many smaller
branches extending to outposts to the east and west. The roads varied
in width and style because often the Inca leaders utilized roads that
already existed to create this powerful network. Common people
could not use these official roads unless they were given permission
by the government.

These
roads were used for relaying messages by way of chasqui, or human runners, who could run up to 150 miles a day with messages for
officials. Llamas and alpacas were also used to
distribute goods throughout the empire and ease trade relations.
The roads also had a ritual purpose because they allowed the highest leaders of the Inca Empire to
ascend into the Andes to perform religious rituals in sacred spaces,
such as Machu Picchu.

Chasqui carrying a quipu on official state business

Chasquis were highly agile long-distance runners who used the complex road systems to relay messages and goods between cities.

Record Keeping

The
Inca utilized a complex recording system to keep track of the administration of the empire. Quipus (also spelled khipus) were colorful bunches of knotted strings that recorded census data, taxes,
calendrical information, military organization, and accounting
information. These “talking knots” could contain anything from a
few threads to around 2,000, and used the base number of 10 to record
information in complex variations of knots and spaces.

Inca quipu

These complex recording devices allowed officials to keep track of taxes, labor, and goods in a precise fashion.

The
Spanish burned the vast majority of existing quipus when they arrived
in South America. However, there is some evidence to suggest that
these tools were also used to record stories and language for
posterity, and were not only numerical recording devices.

Trade
and Economics

Trade
and the movement of goods fed into what is called the vertical
archipelago. This system meant that all goods produced within the
empire were immediately property of the ruling elites. These elites,
such as the emperor and governors, then redistributed resources
across the empire as they saw fit.

Taxes
and goods were collected from four distinct suyus, or
districts, and sent directly to the ruling emperor in Cusco. This highly organized system was most likely
perfected under the emperor Pachacuti around 1460.

The Four suyus of the Inca Empire

The economic system linked together four large suyus, or districts, that all reported back to the capital of Cusco. 

This
system also required a minimum quota of manual labor from the general
population. This form of labor taxation was called mita. The
populations of each district were expected to contribute to the
wealth of the empire by mining, farming, or doing other manual labor
that would benefit the entire empire. Precious metals, textiles, and
crops were collected and redistributed using the the road system that
snaked across the land, from the ocean to the Andes.

16.2.3: Religion in the Inca Empire

Learning Objective

Learn about the forms of worship of the Sun god Inti, the religious hierarchy, and the cultural assimilation of outlying clans in the Inca Empire

Key Points

• The Inca rulers worshipped the Sun god Inti and built the central temple, Qurikancha, in Cusco.
• The Inca elite incorporated the varied populations into the empire by allowing the worship of other deities.
• Various festivals celebrated the different aspects of the Sun. The most important of these festivals was Inti Raymi, which focused on abundance.

Key Terms

Pachamama

The Earth goddess worshipped by many clans in outlying areas of the Inca Empire. Inca rulers enforced a religious system that favored Inti, but they incorporated the Earth goddess as a lesser deity.

Inti

The central Sun god the Inca worshipped. He represented abundance, harvests, and fertility, and was considered more important than any other deity worshipped in the region.

Inti Raymi

The most important religious festival of the Inca year. It means “Sun Festival” and occurred close to the winter solstice, which happens in June in South America.

The Inca religious system utilized oral traditions to pass down the mythology of their Sun god, Inti. This benevolent male deity was often represented as a gold disk with large rays and a human face. Golden disks were commonly displayed at temples across the Inca Empire and were also associated with the ruling emperor, who was supposed to be a direct descendent of Inti, and divinely powerful. Inti was also associated with the growth of crops and material abundance, especially in the high Andes, where the Inca centered their power.

Some myths state that this benevolent entity, along with Mama Killa, the Moon goddess, had children. Inti ordered these children, named Manco Cápac and Mama Ocllo, to descend from the sky and onto Earth with a divine golden wedge. This wedge penetrated the earth, and they built the capital of Cusco and civilization on that very spot. 

Inti Worship

Royalty were considered to be direct descendants of Inti and, therefore, able to
act as intermediaries between the physical and spiritual realms. The
high priest of Inti was called the Willaq
Umu.
He was often the brother or a direct blood relation of the Sapa Inca,
or emperor, and was the second most powerful person in the empire.
The royal family oversaw the collection of goods, spiritual
festivals, and the worship of Inti. Power consolidated around the
cult of the Sun, and scholars suggest that the emperor Pachacuti
expanded this Sun cult to garner greater power in the 15th
century.

An illustrated representation of the Sun god Inti

This image of Inti appears at the center of Argentina’s modern-day flag.

Conquered provinces
were expected to dedicate a third of their resources, such as herds and crops, directly to the
worship of Inti. Each province also had a temple with male and
female priests worshipping the Inti cult. Becoming a priest was
considered one of the most honorable positions in society. Female
priests were called mamakuna,
or “the chosen women,” and they wove special cloth and brewed
chicha for religious festivals.

The main temple in the
Inca Empire, called Qurikancha, was built in Cusco. The temple housed
the bodies of deceased emperors and also contained a vast array of
physical representations of Inti, many of which were removed or destroyed when the Spanish arrived. Qurikancha was also the main site
of the religious festival Inti Raymi, which means “Sun Festival.”
It was considered the most important festival of the year, and is
still celebrated on the winter solstice in Cusco. It represents
the mythical origin of the Inca and the hope for good crops in the
coming year as the winter sun returns from darkness.

The festival of Inti Raymi

This festival is celebrated in late June in the capital of Cusco every year. Thousands of visitors arrive to see the procession and rituals.

Religious Expansion

Religious life was
centered in the Andes near Cusco, but as the Inca Empire expanded
its sphere of influence, they had to incorporate a wide array of
religious customs and traditions to avoid outright revolt. Ayllus, or family clans, often
worshipped very localized entities and gods. The ruling Inca often
incorporated these deities into the Inti cosmos. For example,
Pachamama, the Earth goddess, was a long-worshipped deity before the
Inca Empire. She was incorporated into Inca culture as a lower divine entity.
Similarly, the Chimú along the northern coast of Peru worshipped the Moon, rather than the Sun, probably due to the hot, arid climate and
their proximity to the ocean. The Inca also incorporated the Moon
into their religious myths and practices in the form of Mama Killa. 

Sacrifice and the
Afterlife

The
Inca believed in reincarnation. Death was a passage to the next world that was full of difficulties. The spirit of the
dead, camaquen, would
need to follow a long dark road. The trip required the assistance of a
black dog that was able to see in the dark. Most Incas
imagined the after world to be very similar to the Euro-American
notion of heaven, with flower-covered fields and snow-capped
mountains. It was important for the Inca to ensure they did not die
as a result of burning or that the body of the deceased did not
become incinerated. This is because of the underlying belief that a
vital force would disappear and this would threaten their passage to the after
world. Those who obeyed the Inca moral code (do not steal, do not
lie, do not be lazy) went to live in the “Sun’s warmth”
while others spent their eternal days “in the cold earth.”

Skull showing signs of artificial cranial deformation

Although this skull predates the Inca Empire, and is from the Nazca culture, Inca elites would reshape infants’ skulls in a similar manner to illustrate a higher class status.

Human
sacrifice has been exaggerated by myth, but it did play a role in Inca religious practices. As many as 4,000 servants, court officials,
favorites, and concubines were killed upon the death of the Inca
Huayna Capac in 1527, for example. The Incas also performed child
sacrifices during or after important events, such as the death of the
Sapa Inca or during a famine. These sacrifices were known
as capacocha.

The Inca also
practiced cranial deformation. They achieved this by wrapping tight
cloth straps around the heads of newborns in order to alter the shape
of their soft skulls into a more conical form; this cranial
deformation distinguished social classes of the
communities, with only the nobility having it.

16.2.4: The Spanish Conquest

Learning Objective

Learn about the contributing factors that allowed the Spanish explorers to overpower the Inca Empire and establish control of the region

Key Points

• The Inca War of Succession began after the emperor Huayna Capac died around 1528 and his two sons both wanted to seize power.
• Internal instability allowed Francisco Pizarro and his men to find allies within the Inca Empire.
• Spanish forces ousted the last Inca holdout of Vilcabamba in 1572 and enforced a harsh rule of law on the local population.

Key Terms

mita

A form of labor tax that required one person from each family to work in the mines. The Spanish enforced this heavy labor tax once they gained control of the region.

Viceroyalty of Peru

The Spanish forces gave the newly seized Inca region this title and started to collect taxes and labor from the local people.

Inca Civil War

This internal dispute started around 1528 between two sons of the deceased emperor who both wanted control, causing instability in the Inca Empire.

Spanish Arrival

The Spanish explorer Francisco Pizarro,
along with a small military retinue, landed on
South American soil around 1526. The Spanish recognized the wealth and
abundance that could be had in this territory; at this point the Inca Empire
was at its largest, measuring around 690,000 square miles. In 1528 Pizarro went back to Spain to ask for the official blessing of the Spanish
crown to the conquer the area and become governor. He returned with
his blessings around 1529 and began the official takeover of the
region.

Inca Civil War

Although Pizarro had a small force
behind him, many problems within the Inca Empire worked to his
advantage between 1528 and 1533. Foremost
among these was the Inca Civil War, which is also known as the War
of Succession or the War of Two Brothers. It began to brew just
one year after Pizarro first landed in the region. Around 1528, the
ruling Inca emperor, Huayna
Capac, and his designated heir, Ninan Cuyochic, died of disease. It
was most likely smallpox, which had quickly traveled down to South
America after the arrival of Spanish explorers in Central America.
Brothers Huascar and Atahualpa, two sons of the emperor Huayna Capac, both wanted to rule after their father’s death.

Inca Emperor Atahualpa

Although Atahualpa successfully won the Inca Civil War and ruled as emperor, he was soon captured by the Spanish and killed in 1533.

Initially, Huascar captured the throne
in Cusco, claiming legitimacy. However, Atahualpa had a keen military
mind and close relations with the military generals at the time, and
proved to be the deadlier force. Between 1529 and 1532 the two
brothers’ armies waged warfare, with one or the other gaining a
stronger foothold for a time. Atahualpa initially garnered favor with
northern allies and built a new capital for his forces in Quito. By
1532, Atahualpa had overpowered his brother’s forces via intrigue
and merciless violence, scaring many local populations away from standing up to his
power. This civil war left the population in a precarious position by
the time it ended.

Spanish Colonization

Around the same time that Atahualpa seized
the throne in 1532, Pizarro returned to Peru with blessings from the
Spanish crown. The Spanish forces went to meet with Atahualpa and
demanded he take up the “true faith” (Catholicism) and the yoke of
Charles I of Spain. Because of the language barrier, the Inca rulers probably did not understand much
of these demands, and the meeting quickly escalated to the Battle of
Cajamarca. This clash left thousands of native people dead. The Spanish also captured Atahualpa and kept him hostage,
demanding ransoms of silver and gold. They also insisted that
Atahualpa agree to be baptized. Although the Inca ruler was mostly
cooperative in captivity, and was finally baptized, the Spanish killed him on August 29, 1533,
essentially ending the potential for larger Inca attacks on Spanish
forces.

An engraved representation of the Battle of Cajamarca 

This battle began in 1532, leaving thousands of native people dead and ending with the capture of Atahualpa.

Even though the Inca Civl War made
it easier for the Spanish armies to gain control initially, many
other contributing factors brought about the demise of Inca rule and
the crumbling of local populations. As scholar Jared Diamond points
out, the Inca Empire was already facing threats:

• Local unrest in the provinces after
  years of paying tribute to the Inca elite created immediate allies
  for the Spanish against the Inca rulers.

• Demanding terrain throughout the empire
  made it even more difficult to keep a handle on populations and goods
  as the empire expanded.

• Diseases that the population had
  never been exposed to, such as smallpox, diphtheria, typhus, measles,
  and influenza, devastated large swaths of the population within fifty years.

• Superior Spanish military gear, including
  armor, horses, and weapons, overpowered the siege warfare more common
  in the Inca Empire.

The Last Incas

After Atahualpa died and the
Spanish seized control, they placed Atahualpa’s brother Manco Inca
Yupanqui in charge of Cusco as a puppet ruler while they tried to
reign in the north. After a failed attempt to recapture the city from
greater Spanish rule during this time, Manco retreated to Vilcabamba
and built the last stronghold of the Inca. The Inca continued to
revolt against totalitarian Spanish rule until the year 1572. In that
year the Spanish conquered Vilcabamba and killed the last Inca
emperor, Tupac Amaru, after a summary trial.

An image of the Spanish executing Tupac Amaru

The last Inca ruler, Tupac Amaru, was killed by Spanish forces in 1572, effectively ending any potential for an Inca uprising. 

Spanish Rule

The Spanish named this vast region the
Viceroyalty of Peru and set up a Spanish system of rule, which
effectively suppressed any type of uprising from local communities.

The Spanish system destroyed many of
the Inca traditions and ways of life in a matter of years. Their
finely honed agricultural system, which utilized tiered fields in the
mountains, was completely disbanded. The Spanish also enforced heavy
manual labor taxes, called mita, on the local populations. In
general, this meant that every family had to offer up one person to
work in the highly dangerous gold and silver mines. If that family
member died, which was common, the family had to replace the fallen
laborer. The Spanish also enforced heavy taxes on agriculture, metals, and
other fine goods. The population continued to suffer heavy
losses due to disease as Spanish rule settled into place.

16.3: Early Civilizations of Mexico and Mesoamerica

16.3.1: The Olmec

The Olmec were the first major civilization in Mexico, lasting from approximately 1500—400 BCE.

Learning Objective

Give an account of the society, trade, art, and religion of the Olmec

Key Points

• The Olmec lived in south-central Mexico, with their center in La Venta in Tabasco.
• Little is known about Olmec religion, though scholars believe there were eight main deities.
• People lived in small agricultural villages outside of urban centers, which were mainly for ceremonial use.
• The decline of the Olmec population from 400—350 BCE may have been due to environmental changes.

Key Terms

La Venta

The main city of the Olmec civilization.

Mesoamerican ballgame

An ancient ritual sport that involved keeping a rubber ball in play in designated courts. It most likely originated in the Olmec culture.

Olmec colossal heads

Basalt sculptures of human faces wearing large helmeted headdresses that stand up to 3.4 meters high. These sculptures most likely represent important rulers.

The Olmec were the first major civilization in Mexico. They lived in the tropical lowlands of south-central Mexico, in the present-day states of Veracruz and Tabasco, and had their center in the city of La Venta.

The Olmec flourished during Mesoamerica’s formative period, dating roughly from as early as 1500 BCE to about 400 BCE. Pre-Olmec cultures had flourished in the area since about 2500 BCE, but by 1600–1500 BCE, Early Olmec culture had emerged. They were the first Mesoamerican civilization and laid many of the foundations for the civilizations that followed, such as the Maya. Judging from the available archeological evidence it is likely that they originated the Mesoamerican ballgame and possible that they practiced ritual bloodletting. 

The Gulf of Mexico’s lowlands are generally considered the birthplace of the Olmec culture, and remained the heartland of this civilization during its existence. This area is characterized by swampy lowlands punctuated by low hills, ridges, and volcanoes. The Tuxtlas Mountains rise sharply in the north, along the Gulf of Mexico’s Bay of Campeche. Here the Olmec constructed permanent city-temple complexes at San Lorenzo Tenochtitlán, La Venta, Tres Zapotes, and Laguna de los Cerros. San Lorenzo remained the Olmec capital up until about 900 BCE, when the central city became La Venta, which remained functional until the demise of the Olmec around 400 BCE. Possible river or weather changes caused this movement to occur.

Trade and Village Life

There are no written records of Olmec commerce, beliefs, or customs, but from the archeological evidence it appears they were not economically confined. In fact, Olmec artifacts have been found across Mesoamerica, indicating that there were extensive interregional trade routes. The Olmec period saw a significant increase in the length of trade routes, the variety of goods, and the sources of traded items.

Trading helped the Olmec build their urban centers of San Lorenzo and La Venta. However, these cities were used predominantly for ceremonial purposes and elite activity; most people lived in small villages. Individual homes had a lean-to and a storage pit nearby. They also likely had gardens, in which the Olmec would grow medicinal herbs and small crops, like sunflowers.

The Great Pyramid in La Venta, Tabasco

Remains of the last capital of the Olmec society, La Venta, include this religious site where elites most likely performed rituals.

Most agriculture took place outside of the villages in fields cleared using slash-and-burn techniques. The Olmec likely grew crops such as:

• Maize 
• Beans 
• Squash 
• Manioc 
• Sweet potatoes 
• Cotton

Religion

Unfortunately, there is no surviving direct account of Olmec beliefs, but their notable artwork provide clues about their life and religion.

Olmec king

Surviving art, like this relief of a king or chief found in La Venta, help provide clues about how Olmec society functioned.

There were eight different androgynous Olmec deities, each with its own distinct characteristics. For example, the Bird Monster was depicted as a harpy eagle associated with rulership. The Olmec Dragon was shown with flame eyebrows, a bulbous nose, and bifurcated tongue. These gods were believed to provide the rulers a mandate to lead. Deities often represented a natural element and included:

• The Maize deity
• The Rain Spirit or Were-Jaguar
• The Fish or Shark Monster

Religious activities regarding these deities probably included the elite rulers, shamans, and possibly a priest class making offerings at religious sites in La Venta and San Lorenzo.

Art

The Olmec culture was defined and unified by a specific art style, and this continues to be the hallmark of the culture. Wrought in a large number of media—jade, clay, basalt, and greenstone, among others—much Olmec art, such as The Wrestler, is surprisingly naturalistic. Other art expresses fantastic anthropomorphic creatures, often highly stylized, using an iconography reflective of a religious meaning. Common motifs include downturned mouths and a cleft head, both of which are seen in representations of were-jaguars and the rain deity.

Olmec hollow baby figurine

Realistic ceramic objects, such as this portrayal of an infant, illustrate the highly skilled artistic style of the Olmec culture.

Olmec Colossal Heads

The most striking art left behind by this culture are the Olmec colossal heads. Seventeen monumental stone representations of human heads sculpted from large basalt boulders have been unearthed in the region to date. The heads date from at least before 900 BCE and are a distinctive feature of the Olmec civilization. All portray mature men with fleshy cheeks, flat noses, and slightly crossed eyes. However, none of the heads are alike, and each boasts a unique headdress, which suggests they represent specific individuals.

The boulders were brought from the Sierra de los Tuxtlas mountains of Veracruz. Given that the extremely large slabs of stone used in their production were transported over large distances, requiring a great deal of human effort and resources, it is thought that the monuments represent portraits of powerful individual Olmec rulers. The heads were variously arranged in lines or groups at major Olmec centers, but the method and logistics used to transport the stone to these sites remain uncertain. 

The discovery of a colossal head at Tres Zapotes in the 19th century spurred the first archaeological investigations of Olmec culture by Matthew Stirling in 1938. Most colossal heads were sculpted from spherical boulders, but two from San Lorenzo Tenochtitlán were re-carved from massive stone thrones. An additional monument, at Takalik Abaj in Guatemala, is a throne that may have been carved from a colossal head. This is the only known example from outside the Olmec heartland.

Olmec head

This sculpture is typical of the colossal heads of the Olmec.

The End of the Olmecs

The Olmec population declined sharply between 400 and 350 BCE, though it is unclear why. Archaeologists speculate that the depopulation was caused by environmental changes, specifically riverine environment changes. These changes may have been triggered by the silting up of rivers due to agricultural practices.

Another theory for the considerable population drop relates to tectonic upheavals or subsidence, as suggested by Santley and colleagues who propose relocation of settlements due to volcanism, instead of extinction. Volcanic eruptions during the Early, Late, and Terminal Formative periods would have blanketed the lands and forced the Olmec to move their settlements.

16.3.2: The Mixtec

The Mixtec are a group who lived in modern-day Mexico before the Spanish conquest. People still identify as Mixtec today.

Learning Objective

Distinguish between the Mixtec people and the Mixtec language and identify when they were most prominent

Key Points

• The Mixtec survive today, but reached peak prominence in the 11th century CE.
• The Mixtec language is a set of up to fifty languages, and is not to be confused with the Mixtec people.
• The Mixtec are well known in the anthropological world for their codices, or phonetic pictures in which they wrote their history and genealogies.

Key Terms

Mixtec

Indigenous Mesoamerican peoples inhabiting the region known as La Mixteca, which covers parts of the Mexican states of Oaxaca, Guerrero, and Puebla.

Codices

Phonetic pictures painted on deerskin and folded into books, which recorded Mixtec history and genealogy.

Tututepec

A prominent city center during the height of the Mixtec state, situated along the coast of modern-day Oaxaca.

The Mixtec are indigenous Mesoamerican peoples inhabiting the region known as La Mixteca, which covers parts of the Mexican states of Oaxaca, Guerrero, and Puebla. Though the Mixtec remain today, they were most prominent in the 11th century and the following years, until they were conquered by the Spanish and their allies in the 16th century.

Before the arrival of Spanish hostility, a number of Mixtecan city-states competed with each other and with the Zapotec kingdoms. The major Mixtec polity was Tututepec, which rose to prominence in the 11th century under the leadership of Eight Deer Jaguar Claw. This prominent leader was the only Mixtec king to ever unite the highland and lowland polities into a single Mixtec state. During this era there were approximately 1.5 million Mixtecs populating this varied region. 

Modern Mixtec People

Today there are approximately 800,000 Mixtec people in Mexico, and there are also large populations in the United States. In recent years a large exodus of indigenous peoples from Oaxaca, such as the Zapotec and Triqui, have emerged as one of the most numerous groups of Amerindians in the United States. As of 2011, an estimated 150,000 Mixtec people were living in California, and 25,000 to 30,000 were living in New York City. Large Mixtec communities exist in the border cities of Tijuana; Baja California; San Diego, California; and Tucson, Arizona. Mixtec communities are generally described as trans-national or trans-border because of their ability to maintain and reaffirm social ties between their native homelands and diasporic communities.

Mixtec Language

The word “Mixtec” is often used to refer not to the group of people of Mixtec ancestry, but to the family of languages that have developed alongside the group. There is no longer one single Mixtec language; some estimate that there are fifty distinct languages in the Mixtec family, including Cuicatec and Triqui.

Mixtec’s area

The historical geographic area inhabited by the Mixtec, including the important polities, such as Tututepec.

Mixtec History

Important ancient centers of the Mixtec include the ancient capital of Tilantongo, as well as the sites of Achiutla, Cuilapan, and Yucuñudahui. The Mixtec also erected major constructions at the ancient city of Monte Albán, which had originated as a Zapotec city before the Mixtec gained control of it.

The west side platform at Monte Albán

This ancient city remained a religious site for centuries, and was more sparsely populated during the rise of smaller Mixtec polities. However, religious sites were often reused by Mixtec elites.

At the height of the Aztec Empire (between 1428 and 1521 CE) many Mixtec polities were forced to pay tribute. However, many Mixtec polities remained completely independent of the threatening empire, even as it expanded outward. The smaller Mixtec polities also put up resistance to Spanish forces led by Pedro de Alvarado until the invaders gained control of the region and destroyed any attempt at a revolt in 1521. Disease, weaponry, and local political fractures likely aided the Spanish takeover of the area. 

Mixtex Art

The work of Mixtec artisans who produced work in stone, wood, and metal were well regarded throughout ancient Mesoamerica. Mixtec artists were known for their exceptional mastery of jewelry, in which gold and turquoise figured prominently. The intricate metalwork of Mixtec goldsmiths formed an important part of the tribute the Mixtecs had to pay to the Aztecs during parts of their history.

Mixtec funerary mask

Mixtec art included the use of turquoise, gold, and carved stones, and exemplified artistry before the arrival of the Spanish.

Codices

The Mixtec are well known in the anthropological world for their codices, or phonetic pictures, in which they wrote their history and genealogies in deerskin in the “fold-book” form. The best-known story of the Mixtec codices is that of Lord Eight Deer, named after the day on which he was born, whose personal name was Jaguar Claw, and whose epic history is related in several codices. He successfully conquered and united most of the Mixteca region.

A page from the Codex Bodley

This codex tells the story of the Tilantongo and Tiaxiaco dynasties.

Codices can be read from right to left and often measure many feet long. The Codex Bodley measures twenty-two feet long and contains complex explanations of important family lineages and creation stories, such as the War of Heaven, that directly refer back to elite dynasties. The preservation of these extremely rare Codices paints a distinct picture of Mesoamerica right before the arrival of Spanish forces.

 

16.3.3: Teotihuacan

Teotihuacan was a city founded outside of modern Mexico City in 100 BCE and was known for its pyramids.

Learning Objective

Discuss the diversity and notable archeological features of Teotihuacan

Key Points

• Teotihuacan was founded around 100 BCE and reached its peak population around 450 CE.
• Teotihuacan was a multi-ethnic city, with distinct quarters occupied by Otomi, Zapotec, Mixtec, Maya and Nahua peoples.
• The geographical layout of Teotihuacan is a good example of the Mesoamerican tradition of planning cities, settlements, and buildings as a reflections of their view of the Universe.

Key Terms

Pyramid of the Sun

The largest building in Teotihuacan, which measures 246 feet high and 736 feet wide.

Teotihuacan

A large precolumbian Mesoamerican city known for its archeological significance.

The Great Goddess

This deity was one of the central icons of Teotihuacano religious culture. She appears in painted murals with images associated with the underworld, birth, death, and creation.

Just 30 miles from modern day Mexico City lies the precolumbian Mesoamerican city of Teotihuacan. It is famous for its pyramids and series of accompanying residential compounds, but was once much more than an archaeological and tourist site.

Archaeological evidence suggests that Teotihuacan was a multi-ethnic city, with distinct quarters occupied by Otomi, Totonac, Zapotec, Mixtec, Maya, and Nahua peoples. In 2001, Terrence Kaufman presented linguistic evidence suggesting that an important ethnic group in Teotihuacan was of Totonacan or Mixe–Zoquean linguistic affiliation. Other scholars maintain that the largest population group must have been of Otomi ethnicity, because the Otomi language is known to have been spoken in the area around Teotihuacan both before and after the classic period and not during the middle period.

Although it is a subject of debate whether Teotihuacan was the center of a state empire, its influence throughout Mesoamerica is well documented; evidence of Teotihuacano presence can be seen at numerous sites in Veracruz and the Maya region. Many Maya murals represent Teotihucuan and the leaders of the city during its zenith. The Aztecs were also heavily influenced by the architecture, culture, and lore of this ancient city, claiming common ancestry with the Teotihuacanos and adopting some of their artistic and architectural styles.

Founding of the City

The city and culture, which can be referred to as Teotihuacan or Teotihuacano, is thought to have been established around 100 BCE, with major monuments continuously under construction until about 250 CE. It began as a new religious center in the Mexican Highland and a large population was drawn to the city over a few centuries. It may have lasted until sometime between the 7th and 8th centuries CE, but its major monuments were sacked and systematically burned around 550 CE. At its zenith, around the first half of the first millennium CE, Teotihuacan was the largest city in the pre-Columbian Americas, with a population estimated at 125,000 or more. It’s varied population made it, at minimum, the sixth largest city in the world during its epoch. The city eventually included multi-floor apartment compounds built to accommodate this large population. 

Mysterious Founders and Religion

The founders of this religious and populous city remain a mystery to scholars of the area. Some have speculated that the Xitle volcano, which is located southwest of modern-day Mexico City, may have prompted a mass emigration out of the central valley and into the Teotihuacan valley. These displaced settlers may have founded, or at least helped grow, the city.

An alternate explanation is that the Totonac people, who still remain today, founded Teotihuacan. There is also evidence that at least some of the people living in Teotihuacan immigrated from those areas influenced by the Teotihuacano civilization, including the Zapotec, Mixtec, and Maya peoples.

Mural of the Great Goddess of Teotihuacan

This powerful goddess was associated with darkness, mystery, death, and creation. She was often depicted with owls, jaguars, and spiders, all creatures of the earth, darkness and the underworld. This mural is from the Tetitla compound at Teotihuacan.

As a religious center, Teotihuacan displayed its most prominent gods and goddesses in murals and architecture. The Great Goddess of Teotihuacan appears to be the most prominent of these deities, and she likely represented the underworld, war, creation, water, and the earth. Evidence of human sacrifices to honor the completion of buildings or special times of year has also been uncovered by archeologists. Captives from wars were decapitated, had their hearts removed, were bludgeoned, or were buried alive to commemorate these momentous occasions.

Pyramid of the Sun

This giant pyramid dwarfs the smaller platforms surrounding it and was the largest building at Teotihuacan.

Layout

The city’s broad central avenue, called “Avenue of the Dead” (a translation from its Nahuatl name Miccoatli), is flanked by impressive ceremonial architecture, including the immense Pyramid of the Sun (third largest in the World after the Great Pyramid of Cholula and the Great Pyramid of Giza) and the Pyramid of the Moon. Along the Avenue of the Dead are many smaller talud-tablero platforms. The Aztecs believed they were tombs, inspiring the Nahuatl name of the avenue. 

Pyramid of the Moon 

This pyramid is the second largest in Teotihuacan.

Further down the Avenue of the Dead is the area known as the Citadel, containing the ruined Temple of the Feathered Serpent. This area was a large plaza surrounded by temples that formed the religious and political center of the city. Most of the common people lived in large apartment buildings spread across the city. Many of the buildings contained workshops where artisans produced pottery and other goods.

Teotihuacan City Plan

The layout of Teotihuacan exemplifies Mesoamerican urban planning

The geographical layout of Teotihuacan is a good example of the Mesoamerican tradition of planning cities, settlements, and buildings as a reflection of the Universe. Its urban grid is aligned to precisely 15.5º east of North. One theory says this is due to the fact that the sun rose at that same angle during the same summer day each year. Settlers used the alignment to calibrate their sense of time or as a marker for planting crops or performing certain rituals. Another theory is that there are numerous ancient sites in Mesoamerica that seem to be oriented with the tallest mountain in their given area. This appears to be the case at Teotihuacan, although the mountain to which it is oriented is not visible from within the Teotihuacan complex due to a closer mountain ridge. Pecked-cross circles throughout the city and in the surrounding regions indicate how the people managed to maintain the urban grid over long distances. It also enabled them to orient the Pyramids to the distant mountain that was out of sight.

Fall of Teotihuacan

There is an ongoing debate about why Teotihuacan collapsed and the population abandoned this city center. Evidence of climate changes, which caused severe droughts around 535 CE, suggest there was a general population decline in the region. In fact, archeological digs have revealed juvenile skeletons with signs of malnutrition, which probably forced populations to move and caused internal social strife. Further archeological evidence reveals that only the buildings associated with the elites along the Avenue of the Dead were sacked and burned. This type of activity suggests there might have been internal unrest and possibly a revolt against the elite power structure, which caused the collapse of the city.

16.3.4: The Zapotec

The Zapotec civilization developed in modern-day Mexico and lasted from approximately the 6th century BCE to the 16th century CE.

Learning Objective

Explain the culture, religion, expansion, and demise of the Zapotec civilization

Key Points

• The Zapotec civilization originated in the three Central Valleys of Oaxaca in the late 6th Century BCE.
• There are five distinct Zapotec periods, denoted Monte Albán 1–5 (after the place of origin).
• The Zapotec were polytheists who developed a calendar and logosyllabic writing system.

Key Terms

Monte Alban

The place of origin for the Zapotec civilization.

Cocijo

The lightning and rain god of the Zapotec civilization. He was the most important of the religious figures and was believed to have created the universe with his breath.

Mitla

The main religious city of the Zapotec culture. Elaborate buildings and artwork display the richness of religious life for the Zapotec elite.

The Zapotec civilization originated in the three Central Valleys of Oaxaca in the late 6th Century BCE. The valleys were divided between three different-sized societies, separated by no-man’s-land in the middle, today occupied by the city of Oaxaca. Archaeological evidence from the period, such as burned temples and sacrificed captives, suggests that although the three societies shared linguistic, cultural, and religious traditions, they also competed against one another.

Panorama from Monte Albán

The view from the site of origin of the Zapotec rulers that expanded power beyond the Central Valleys of Oaxaca.

Five Phases

The Zapotec state formed at Monte Albán. This consolidation of power began outward political expansion during the late Monte Albán 1 phase (400–100 BCE) and throughout the Monte Albán 2 phase (100 BCE–200 CE). Zapotec rulers from Monte Albán seized control of provinces outside the valley of Oaxaca with their superior military and political clout, which quickly overtook less-developed local entities. By 200 CE, the end of the Monte Albán 2 phase, the Zapotecs had extended their influence, from Quiotepec in the North to Ocelotepec and Chiltepec in the South. The religious and cultural city of Monte Albán had become the largest city in what are today the southern Mexican highlands. This powerful city retained this status until approximately 700 CE.

Monte Albán phases

Historical Monte Albán phases and the duration of each phase.

Expansion and Decline

Between Monte Albán phases 1 and 2 there was a considerable expansion of the population of the Valley of Oaxaca. As the population grew, so did the degree of social differentiation, the centralization of political power, and ceremonial activity. Another effect of this population boom and the political expansion of the military during Monte Albán 1–2 was the development of fragmented, independent states. These areas developed regional centers of power with distinct leaders and linguistic dialects. However, the Zapotec rulers retained control over vast swaths of the region. Some archeologists argue that the building centered on the main plaza of Monte Albán contains depictions of elaborate heads, which represent the rulers of conquered provinces.

Jade warrior mask from Monte Albán

This jade replica illustrates the fierce military presence that initially expanded the Zapotec holdings during Monte Albán phase 2.

The Zapotecs were ultimately destroyed by Spanish invaders. Having lost militarily to the Aztecs in battles from 1497–1502, the Zapotecs tried to avoid confrontation with the Spaniards, and hopefully the tragic fate of the Aztecs. The Spaniards took advantage of this pacifist stance and ultimately defeated the Zapotecs after five years of campaigns ending in 1527. The arrival of new diseases and steel weapons also weakened any attempts at a revolt from the Zapotec population. There were some subsequent uprisings against the new rulers, but for all intents and purposes, the Zapotecs were conquered. However, the seven Zapotec languages, and hundreds of Zapotec dialects, still survive with populations that have spread throughout Mexico and also Los Angeles, California.

Zapotec Writing and Religion

The Zapotecs developed a calendar and a logosyllabic system of writing that used a separate glyph to represent each of the syllables of the language. This writing system is thought to be one of the first writing systems of Mesoamerica and a predecessor of those developed by the Maya, Mixtec, and Aztec civilizations.

Like most Mesoamerican religious systems, the Zapotec religion was polytheistic. Two principal deities included Cocijo, the rain god (similar to the Aztec god Tlaloc), and Coquihani, the god of light. These deities, along with many others, centered around concepts of fertility and agriculture. It is likely that the Zapotec practiced human sacrifices to these gods of fertility, and also played elaborate and ritualistic ball games in the court at Monte Albán. They also practiced dedication rituals, which cleansed a new space. Fine pieces of rare jade, pearl, and obsidian were found in a cache in Oaxaca, and were probably used to cleanse religious sites or temples upon the completion of construction.

The ball court at Monte Albán

A religious ball game utilizing a rubber ball was practiced throughout Mesoamerica by young men playing for sacred, and often sacrificial, purposes.

According to historic, as well as contemporary, Zapotec legends, their ancestors emerged from the earth or from caves, or turned into people from trees or jaguars. Their governing elite apparently believed that they descended from supernatural beings that lived among the clouds, and that upon death they would return to the same status. In fact, the name by which Zapotecs are known today results from this belief. The Zapotecs of the Central Valleys call themselves “Be’ena’ Za’a”—the Cloud People.

A funerary urn in the shape of a “bat god” or a jaguar

c. 300–650 CE. Height: 9.5 in (23 cm).

Mitla

Evidence of the central role of religion in the Zapotec cultural hierarchy is pronounced at the religious city of Mitla. It is the second most important archeological site in the state of Oaxaca, and the most important of the Zapotec culture. The site is located 44 kilometers from the city of Oaxaca. While Monte Albán was most important as the political center, Mitla was the main religious center, as evidenced by the elaborate buildings and artwork throughout the city. The name “Mitla” is derived from the Nahuatl name “Mictlán,” which was the place of the dead or underworld. Its Zapotec name is Lyobaa, which means “place of rest.” The name “Mictlán” was Hispanicized to “Mitla” by the Spanish. 

Fretwork on a building in the religious capital of Mitla

This complex fretwork illustrates the religious importance of this ancient city in the Zapotec culture.

What makes Mitla unique among Mesoamerican sites is the elaborate and intricate mosaic fretwork and geometric designs that cover tombs, panels, friezes, and even entire walls. These mosaics are made with small, finely cut and polished stone pieces, which have been fitted together without the use of mortar. No other site in Mexico has this.

16.4: The Maya

16.4.1: The Preclassic Period of the Maya

The Preclassic period lasted from 2000 BCE to 250 CE and saw the emergence of many distinctive elements of Mayan civilization.

Learning Objective

Describe life in the Preclassic period

Key Points

• The Preclassic period itself is further divided into four periods: Early Preclassic, Middle Preclassic, Late Preclassic, and Terminal Preclassic.
• The Early Preclassic period (2000–1000 BCE) was when the Maya transitioned into an agrarian society.
• In the Middle Preclassic period (1000–400 BCE), the Mayans built more established cities and expanded through war.
• Two powerful states emerged in the Late Preclassic period (400 BCE–100 CE).
• The Mayan civilization collapsed and left the major Preclassic capitals behind at the end of the Terminal Preclassic period (100–250 CE) for unknown reasons.

Key Terms

kakaw

An Olmec word for the cacao plant. This word was borrowed and incorporated into the Mayan language, illustrating the relationship between these two cultures.

Southern Maya Area

The geographic region in which Mayan civilization first emerged.

Kaminaljuyu

The ruling city-state of the Middle Preclassic era. Evidence of stone monuments and complex canals illustrate the power this early capital retained for centuries.

The Preclassic period is the first of three periods in Mayan history, coming before the Classic and Postclassic periods. It extended from the emergence of the first settlements sometime between 2000 and 1500 BCE until 250 CE. The Preclassic period saw the rise of large-scale ceremonial architecture, writing, cities, and states. Many of the distinctive elements of Mesoamerican civilization can be traced back to this period, including the dominance of corn, the building of pyramids, human sacrifice, jaguar worship, the complex calendar, and many of the gods.

Mayan language speakers most likely originated in the Chiapas-Guatamalan Highlands and dispersed from there. By around 2500–2000 BCE researchers can begin to trace the arc of Mayan-language settlements and culture in what is now southeastern Mexico, Guatemala, and Belize. The Preclassic period itself is divided into four periods: Early Preclassic, Middle Preclassic, Late Preclassic, and Terminal Preclassic

Agricultural Shift – Early Preclassic (2000 BCE–1000 BCE) 

Though the exact starting date of Mayan civilization is unclear, there were Mayan language speakers in the Southern Maya Area by 2000 BCE. It appears that around this time the Maya people began to transition from a hunter-gatherer lifestyle to a culture based around agricultural villages. The process appears to have been a gradual one. Analysis of bones from early Maya grave sites indicates that, although maize had already become a major component of the diet by this time, fish, meat from game animals, and other hunted or gathered foods still made up a major component of the diet. Along with the gradual development of agriculture, basic forms of pottery began to appear, with simple designs and some slipped vessels.

Around this time, the Olmec culture began to emerge in nearby Tabasco, granting the early Maya an important trading partner and beginning a period of prolonged contact that would have profound effects on Maya society and artistic production.

Southern Maya Area

By 2000 BCE, there were speakers of Mayan languages in the Southern Maya Area.

The map shows the Olmec heartland and the Southern Maya Area of the Preclassic era. The Olmec heartland was located on the southern portion of Mexico’s Gulf Coast region between the Tuxtla mountains and the Olmec archaeological site of La Venta, extending roughly 80 km (50 mi) inland from the Gulf of Mexico coastline at its deepest. From west to east, it included the cities of Tres Zapotes, San Lorenzo, and La Venta. The Southern Maya Area was located within a broad arc or cantilevered rectangle from Chiapa de Corzo, in the Isthmus of Tehuantepec, in the northwest due south to Izapa and Paso de la Amada, from Chiapa de Corzo southeast to Copán, Honduras, and from Copán south to Chalchuapa, El Salvadolo. From west to east, it included the cities of Pijijiiapan, Pajón, Chiapa de Corzo, Paso de la Amada, Izapa, TAkalik Abaj, El Baúl, Kaminaljuyu, Chalchuapa, Copán, and Quiriguá.

Complex Cities – Middle Preclassic (1000 BCE–400 BCE)

By around the year 1000 BCE, centuries of agricultural village life had begun to form the beginnings of a complex society, with an elite class, entrenched religious practices, and a military presence. Other developments of this era include the following: 

• Prestige goods, such as obsidian mirrors and jade mosaics, began to appear, increasing the demand for more extensive trade with other language groups, including the Olmecs. 
• Canals and irrigation schemes demanding coordinated human effort began to appear with increasing complexity and scale. 
• Villages began to include central plazas and earthen mounds, occasionally enhanced by masonry. For instance, the site of La Blanca featured a central mound more than seventy-five feet tall. It contained a masonry fragment strongly resembling a head in the distinctive Olmec style. These plazas also suggest a developing religious and hierarchical social structure.
• Carved stone stele also began to appear during this period, adorned with portraits of rulers but still devoid of writing. 
• Warfare appears to have intensified during this period, as evidenced by advanced weaponry, rulers beginning to be portrayed as warriors, and the appearance of mass graves and decapitated skeletons.

Beginning around 900 BCE, the Pacific coastal region fell under the dominance of the La Blanca statelet, which collapsed around 600 BCE, to be replaced by a polity centered around the El Ujuxte site. Another early statelet was probably based at the site of Chalchuapa, a town with extensive earthen mounds arranged around several plazas. However, it was likely ruled by the first true Mayan city-state, Kaminaljuyu. 

Excavation site at Kaminaljuyu

Complex temples, stairways, and friezes illustrate the acme of this Preclassic city’s power and influence.

Lying within modern-day Guatemala City on the shores of Lake Miraflores, Kaminaljuyu developed a powerful government structure that organized massive irrigation campaigns and built numerous intricately carved stone monuments to its rulers. These monuments clearly depict war captives and often show the rulers holding weapons. These images indicate the Kaminaljuyu polity engaged in active warfare and dominated the Guatemalan highlands for centuries.

Nakbe Palace

The ruins of a Middle Preclassic palace at Nakbe.

During this period, the Olmec culture reached its zenith, centered around the capital of La Venta in modern-day Tabasco near the early Maya centers. Speakers of a Mixe–Zoquean language, the Olmec are generally recognized as the first true civilization in the Americas. Their capital city of La Venta contains extensive earthworks and stone monuments, including several of the distinctive Olmec stone heads. The Olmec share several features with later Maya culture, including extensive jaguar worship, a diet dominated by maize, and the use of the cacao plant. Several words entered Mayan from a Mixe–Zoquean language, presumably due to Olmec influence. These words include the words “ajaw,” meaning “lord,” and “kakaw,” which has become the English words “cacao” and “chocolate. ” Most of these borrowings relate to prestige concepts and high culture, indicating that the Middle Preclassic Maya were deeply impressed and influenced by their northwestern neighbors.

Art and Language – Late Preclassic (400 BCE–100 CE)

Some of the earliest remaining examples of the complex writing system of the Maya appear from the 3rd century BCE. The glyph-based system represents complex concepts and often reflects the religious beliefs of the Maya, including jaguar worship, elites practicing blood letting rituals, and offerings to deities. The Maya also developed the concept of the number zero during this era. The appearance of an explicit number zero in their written records might be the first example of it worldwide. The appearance of this number also helped Mayan architects and priests make exact calculations of the stars and buildings for religious and social purposes. 

The Late Preclassic also saw the rise of two powerful states that rival later Classic Mayan city-states for scale and monumental architecture—Kaminaljuyu in the highlands and El Mirador in the lowlands. Both cities display the continued refinement in stonework, artistic friezes, and architecture during this era.

City Collapse – Terminal Preclassic (100 CE–250 CE)

The Late or Terminal Preclassic murals found in San Bartolo reflect the profound relationship between the Olmec and Maya civilizations over hundreds of years, due to the striking artistic similarities. These murals also provide a window into the Terminal Preclassic sacrificial and inauguration rituals, such as bloodletting, that were practiced around 100 BCE. Elites were expected to perform these painful rituals in reverence to powerful deities.

Painted mural at San Bartolo from around 100 BCE

This colorful mural depicts a king practicing bloodletting, probably for an inauguration or other sacrificial purpose.

The collapse of the Preclassic Maya civilization remains a mystery, and little is known as to why the major cities were abandoned around 250 CE. However, there were actually two collapses, one at the end of the Preclassic and a more famous one at the end of the Classic. The Preclassic collapse refers to the systematic decline and abandoning of the major Preclassic cities, such as Kaminaljuyu and El Mirador around 100 CE. In fact, the Maya remained an essential part of the region. A number of theories have been proposed, but there is as little consensus as there is for the causes of the more famous collapse between the Classic and Postclassic periods.

16.4.2: The Classic Period of the Maya

The Classic period lasted from 250 to 900 CE and was the peak of the Maya civilization.

Learning Objective

Describe life, religion, and architecture in the Classic period

Key Points

• The Maya developed an agriculturally intensive, city-centered civilization consisting of numerous independent city-states of varying power and influence.
• The Maya civilization participated in long-distance trade with many other Mesoamerican cultures and established trade routes between city-states.
• The Maya used complex calendars to calculate religious, solar, and lunar cycles.
• The cause of the collapse of the Maya civilization is unknown.

Key Terms

Copán

An important city that boasted some of the most complex architecture from the Classic period of Maya history.

Tzolkin

This 365-day solar calendar utilized the movement of Earth around the Sun to calculate the year.

stelae

Carved stones depicting rulers with heirogliphic texts describing their accomplishments.

The Classic period lasted from 250 to 900 CE. It saw a peak in large-scale construction and urbanism, the recording of monumental inscriptions, and significant intellectual and artistic development, particularly in the southern lowland regions. During this period the Maya population numbered in the millions, with many cities containing 50,000 to 120,00o people. The Maya developed an agriculturally intensive, city-centered civilization consisting of numerous independent city-states of varying power and influence. They created a multitude of kingdoms and small empires, built monumental palaces and temples, engaged in highly developed ceremonies, and developed an elaborate hieroglyphic writing system.

The political, economic, and culturally dominant “core” Maya units of the Classic Maya world system were located in the central lowlands, while the corresponding peripheral Maya units were found along the margins of the southern highland and northern lowland areas. The semi-peripheral (mediational) units generally took the form of trade and commercial centers. But as in all world systems, the Maya core centers shifted through time, starting out during Preclassic times in the southern highlands, moving to the central lowlands during the Classic period, and finally shifting to the northern peninsula during the Postclassic period.

Monuments

The most notable monuments are the stepped pyramids the Maya built in their religious centers and the accompanying palaces of their rulers. The palace at Cancuén is the largest in the Maya area, but the site has no pyramids. On the other hand, cities like Tikal and Copán illustrate the wealth of architectural accomplishments during these prolific centuries. Copán came to its full power between the 6th and 8th centuries, and included massive temples and carvings that illustrate the full power of its ruling, and often merciless, emperors.

Tikal Temple

Classic period temple from Tikal, Guatemala.

The cities of Palenque and Yaxchilan were also cultural and religious centers in the southeastern Maya region, and included large temples, ball courts, and even a uniquely vaulted ceiling in the hallway of the Palenque Palace. 

The Palenque Palace and aqueduct

Cities like Palenque boasted some of the most refined architectural works in the Classic period of Maya culture.

Other important archaeological remains include the carved stone slabs usually called stelae (the Maya called them tetun, or “tree-stones”), which depict rulers along with hieroglyphic texts describing their genealogy, military victories, and other accomplishments.

Maya mask

Stucco frieze from Placeres, Campeche. Early Classic period (c. 250–600 CE).

Trade

The political relationship between Classic Maya city-states has been likened to the relationships between city-states in Classical Greece and Renaissance Italy. Some cities were linked to each other by straight limestone causeways, known as sacbeob. Whether the exact function of these roads was commercial, political, or religious has not been determined.

The Maya civilization participated in long distance trade with many other Mesoamerican cultures, including Teotihuacan, the Zapotec, and other groups in central and gulf-coast Mexico. In addition, they traded with more distant, non-Mesoamerican groups, such as the Taínos of the Caribbean islands. Archeologists have also found gold from Panama in the Sacred Cenote of Chichen Itza. Important trade goods included:

• Cacao
• Salt 
• Seashells 
• Jade 
• Obsidian

Calendars and Religion

The Maya utilized complex mathematical and astronomical calculations to build their monuments and conceptualize the cosmography of their religion. Each of the four directions represented specific deities, colors, and elements. The underworld, the cosmos, and the great tree of life at the center of the world all played their part in how buildings were built and when feasts or sacrifices were practiced. Ancestors and deities helped weave the various levels of existence together through ritual, sacrifice, and measured solar years.

The Maya developed a mathematical system that is strikingly similar to the Olmec traditions. The Maya also linked this complex system to the deity Itzamna. This deity was believed to have brought much of Maya culture to Earth. A 260-day calendar (Tzolkin) was combined with the 365-day solar calendar (Haab’) to create a calendar round. This calendar round would take fifty-two solar years to return to the original first date. The Tzolkin calendar was used to calculate exact religious festival days. It utilized twenty named days that repeated thirteen times in that calendar year. The solar calendar (Haab’) is very similar to the modern solar calendar year that uses Earth’s orbit around the Sun to measure time. The Maya believed there were five chaotic days at the end of the solar year that allowed the portals between worlds to open up, known as Wayeb’. 

A Classic period Maya calendar

Each symbol represents a specific day within the calendar. When the Tzolkin and Haab’ calendar’s are combined they create a fifty-two-year solar calendar.

These calendars were recorded utilizing specific symbols for each day in the two central cycles. Calendrical stones were employed to carefully follow the movement of the solar and religious years. Although less commonly used, the Maya also employed a long count calendar that calculated dates hundreds of years in the future. They also inscribed a lengthier 819-day calendar on many religious temples throughout the region that most likely coincided with important religious days.

Decline

The Classic Maya Collapse refers to the decline of the Maya Classic Period and abandonment of the Classic Period Maya cities of the southern Maya lowlands of Mesoamerica between the 8th and 9th centuries. This should not be confused with the collapse of the Preclassic Maya in the 2nd century CE. The Classic Period of Mesoamerican chronology is generally defined as the period from 300 to 900 CE, the last 100 years of which, from 800 to 900 CE, are frequently referred to as the Terminal Classic.

It has been hypothesized that the decline of the Maya is related to the collapse of their intricate trade systems, especially those connected to the central Mexican city of Teotihuacán. Before there was a greater knowledge of the chronology of Mesoamerica, Teotihuacan was believed to have fallen during 700–750 CE, forcing the “restructuring of economic relations throughout highland Mesoamerica and the Gulf Coast.” This remaking of relationships between civilizations would have then given the collapse of the Classic Maya a slightly later date. However, it is now believed that the strongest Teotihuacan influence was during the 4th and 5th centuries. In addition, the civilization of Teotihuacan started to lose its power, and maybe even abandoned the city, during 600–650 CE. The Maya civilizations are now thought to have lived on, and also prospered, perhaps for another century after the fall of Teotihuacano influence.

The Classic Maya Collapse is one of the biggest mysteries in archaeology. The classic Maya urban centers of the southern lowlands, among them Palenque, Copán, Tikal, Calakmul, and many others, went into decline during the 8th and 9th centuries and were abandoned shortly thereafter. Some 88 different theories, or variations of theories, attempting to explain the Classic Maya Collapse have been identified. From climate change, to deforestation, to lack of action by Maya kings, there is no universally accepted collapse theory, although drought is gaining momentum as the leading explanation.

16.4.3: The Decline of the Maya

The period after the second collapse of the Maya Empire (900 CE–1600 CE) is called the Postclassic period.

Learning Objective

Explain what happened to the structure of the Maya Empire in the Postclassic period

Key Points

• The Maya cities of the northern lowlands in Yucatán continued to flourish.
• The center of power shifted to the northern peninsula.
• The Postclassic period was a time of technological advancement in areas of architecture, engineering, and weaponry.
• The Spanish conquest of the Maya began in the 16th century, but lasted close to 150 years.
• Mayan languages, agricultural practices, and familial cultures still exist in parts of Chiapas and Guatemala.

Key Terms

Yucatán

A geographic area in the south of modern day Mexico near Belize.

Codex

A book containing religious and cultural information written in the Mayan script. Only three of these books remain in the world. 

Mayapan

The cultural capital of the Maya culture during the Postclassic period. It was at its height between 1220 and 1440 CE.

The period after the second collapse of the Maya Empire (900 CE–1600 CE) is called the Postclassic period. The center of power shifted from the central lowlands to the northern peninsula as populations most likely searched for reliable water resources, along with greater social stability.

The Maya cities of the northern lowlands in Yucatán continued to flourish; some of the important sites in this era were Chichén Itzá, Uxmal, Edzná, and Coba. A typical Classic Maya polity was a small hierarchical state (called an ajawil, ajawlel, or ajawlil) headed by a hereditary ruler known as an ajaw (later k’uhul ajaw). However, the Postclassic period generally saw the widespread abandonment of once-thriving sites as populations gathered closer to water sources. Warfare most likely caused populations in long-inhabited religious cities, like Kuminaljuyu, to be abandoned in favor of smaller, hilltop settlements that had a better advantage against warring factions.

El Castillo (pyramid of Kukulcán) in Chichén Itzá

Built by the pre-Columbian Maya civilization sometime between the 9th and 12th centuries CE, El Castillo served as a temple to the god Kukulkan, the Yucatec Maya Feathered Serpent deity closely related to the god Quetzalcoatl known to the Aztecs and other central Mexican cultures of the Postclassic period.

Postclassic Cities

Maya cities during this era were dispersed settlements, often centered around the temples or palaces of a ruling dynasty or elite in that particular area. Cities remained the locales of administrative duties and royal religious practices, and the sites where luxury items were created and consumed. City centers also provided the sacred space for privileged nobles to approach the holy ruler and the places where aesthetic values of the high culture were formulated and disseminated and where aesthetic items were consumed. These more established cities were the self-proclaimed centers of social, moral, and cosmic order. 

If a royal court fell out of favor with the people, as in the well-documented cases of Piedras Negras or Copan, this fall from power would cause the inevitable “death” and abandonment of the associated settlement. After the decline of the ruling dynasties of Chichén Itzá and Uxmal, Mayapan became the most important cultural site until about 1450 CE. This city’s name may be the source of the word “Maya,” which had a more geographically restricted meaning in Yucatec and colonial Spanish. The name only grew to its current meaning in the 19th and 20th centuries. The area degenerated into competing city-states until the Spanish arrived in the Yucatán and shifted the power dynamics.

Certain smaller Maya groups, such as the Itza Maya, Ko’woj, and Yalain of Central Peten, survived the collapse in the Postclassic period in small numbers. By around 1250 CE these groups had reconstituted themselves to form competing city-states. The Itza maintained their capital at Tayasal (also known as Noh Petén), an archaeological site thought to underlay the modern city of Flores, Guatemala, on Lake Petén Itzá. The Ko’woj had their capital at Zacpeten. Though less visible during this era, Postclassic Maya states also continued to survive in the southern highlands.

Artistry, Architecture, and Religion

The Postclassic period is often viewed as a period of cultural decline. However, it was a time of technological advancement in areas of architecture, engineering, and weaponry. Metallurgy came into use for jewelry and the development of some tools utilizing new metal alloys and metalworking techniques that developed within a few centuries. And although some of the classic cities had been abandoned after 900 CE, architecture continued to develop and thrive in newly flourishing city-states, such as Mayapan. Religious and royal architecture retained themes of death, rebirth, natural resources, and the afterlife in their motifs and designs. Ballcourts, walkways, waterways, pyramids, and temples from the Classic period continued to play essential roles in the hierarchical world of Maya city-states.

A religious building at Mayapan along the northern Yucatán Peninsula

Curved walls, complex carvings, and layered platforms illustrate the continued prevalence of architecture in Maya culture and religion during the Postclassic period.

Maya religion continued to be centered around the worship of male ancestors. These patrilineal intermediaries could vouch for mortals in the physical world from their position in the afterlife. Archeological evidence shows that deceased relatives were buried under the floor of family homes. Royal dynasties built pyramids in order to bury their ancestors. This patrilineal form of worship was used by some royal dynasties in order to justify their right to rule. The afterlife was complex, and included thirteen levels in heaven and nine levels in the underworld, which had to be navigated by an initiated priesthood, ancestors, and powerful deities.

Precise food preparation, offerings, and astronomical predictions were all required for religious practices. Powerful deities that often represented natural elements, such as jaguars, rain, and hummingbirds, needed to be placated with offerings and prayers regularly. Many of the motifs on large pyramids and temples of the royal dynasties reflect the worship of both deities and patrilineal ancestors and provide a window into the daily practices of this culture before the arrival of Spanish forces. 

The Colonial Period

Shortly after their first expeditions to the region in the 16th century, the Spanish attempted to subjugate the Maya polities several times. The Maya leaders and people were understandably hostile towards the Spanish crown, and utilized bows and arrows, spears, and padded armor in defense of their city-states. The Spanish campaign, sometimes termed “The Spanish Conquest of Yucatán,” would prove to be a lengthy and dangerous exercise for the invaders from the outset, and it would take some 170 years and tens of thousands of Indian auxiliaries before the Spanish established substantive control over all Maya lands. 

Pages from the Paris Codex

One of three surviving examples of Mayan writing, the Paris Codex offers keen insights into religious and patrilineal traditions before the Spanish invasion.

Unlike the Aztec and Inca Empires, there was no single Maya political center during the Postclassic period that, once overthrown, would hasten the end of collective resistance from the indigenous peoples. Instead, Spanish forces needed to subdue the numerous independent Maya polities almost one by one, many of which kept up a fierce resistance. Myths of gold and precious metals motivated many Spanish forces to capture and dominate the Maya lands. However, the Yucatán does not offer rich mining opportunities, and some areas were difficult to navigate because of the dense jungle environment.

As the battle over control of the region waged on, the Spanish church and government officials destroyed the vast majority of Maya texts and, with them, a large swath of knowledge about Maya writing and language. Fortunately, three of the pre-Columbian books dated to the Postclassic period survived the Spanish invasion and destruction of Maya culture. These are known as the Madrid Codex, the Dresden Codex, and the Paris Codex. The last Maya states (and the last indigenous holdouts from Spanish control in the Americas)—the Itza polity of Tayasal and the Ko’woj city of Zacpeten—remained independent of the Spanish until late in the 17th century. They were finally subdued by the Spanish in 1697 after many casualties.

Maya Today

Although Spanish weaponry, administration, and practices became much more dominant throughout Mesoamerica by the 17th century and onward, the Maya people persisted, along with many of their essential traditions. Today, in remote parts of Guatemala and Chiapas, similar familial configurations, uses of the 260-day Maya calendar, and agricultural practices continue to shape families of descendants. Millions of Mayan-language speakers inhabit their ancestral lands and keep these languages and traditions alive.

16.5: The Toltecs and the Aztecs

16.5.1: The Toltecs

The Toltecs were a Mesoamerican people who preceded the Aztecs and existed between 800 and 1000 CE.

Learning Objective

Identify the Toltecs

Key Points

• Much of what is known about the Toltecs is based on what has been learned about the Aztecs.
• Historicists believe that Aztec accounts of the Toltecs can be trusted as historical sources.
• Others believe that Aztec accounts are too shrouded in myth to be trusted as sources of truth.
• Certain Mayan sites, such as Chichén Itzá, share distinctive archeological traits with religious monuments and buildings in Tula.

Key Terms

Quetzalcoatl

The feathered serpent deity that appears in carvings at Tula and also in much later buildings and mythology in the Aztec Empire.

Historicist

A scholar that utilizes Aztec accounts of Toltec culture to piece together the history of the Toltec people.

Atlantean figures

Gigantic stone statues of Toltec warriors that only appear at the sites of Tula, Chichén Itzá, and Potrero Nuevo.

The Toltec culture is an archaeological Mesoamerican culture that dominated a state centered in Tula in the early Postclassic period of Mesoamerican chronology (c. 800–1000 CE). Much of what is known about the Toltecs is based on what has been learned about the Aztecs, another Mesoamerican culture that postdated the Toltecs and admired the Toltecs as predecessors. Since so much of what remains on record about the Toltecs may have been tainted by Aztec glorification and mythology in the 14th through 16th centuries, it is difficult to parse out the true history.

The later Aztec culture saw the Toltecs as their intellectual and cultural predecessors, and described Toltec culture emanating from Tōllān [ˈtoːlːaːn] (Nahuatl for Tula) as the epitome of civilization. Indeed, in the Nahuatl language the word “Tōltēcatl” [toːlˈteːkat͡] (singular) or “Tōltēcah” [toːlˈteːkaʔ] (plural) came to take on the meaning “artisan.” The Aztec oral and pictographic tradition also described the history of the Toltec Empire, giving lists of rulers and their exploits. 

Among modern scholars it is a matter of debate whether the Aztec narratives of Toltec history should be given credence as descriptions of actual historical events. While all scholars acknowledge that there is a large mythological part of the narrative, some maintain that by using a critical comparative method some level of historicity can be salvaged from the sources. Others maintain that continued analysis of the narratives as sources of actual history is futile and hinders access to actual knowledge of the culture. 

Another controversy relating to the Toltecs remains how best to understand the reasons behind the perceived similarities in architecture and iconography between the archaeological site of Tula and the Mayan site of Chichén Itzá. No consensus has yet emerged about the degree or direction of influence between these two sites.

Toltec pyramid at Tula, Hidalgo

Similarities to the pyramid at Chichén Itzá can be seen, including the sloped shape and external steps.

Historicists

The historicists believe that there is truth within the stories told by the Aztecs. Theories abound about the role the Toltecs actually played in Mesoamerica, from the central Mexican valleys all the way down to certain Maya city-states.

• Désiré Charnay, the first archaeologist to work at Tula, Hidalgo, defended the historicist views based on his impression of the Toltec capital. He was the first to note similarities in architectural styles between Tula and Chichén Itzá, a famous Maya archeological site. This led him to posit the theory that Chichén Itzá had been violently taken over by a Toltec military force under the leadership of Kukulcan. 
• Following Charnay, the term “Toltec” has since been associated with the influx of certain Central Mexican cultural traits into the Maya sphere of dominance during the late Classic and early Postclassic periods. The Postclassic Maya civilizations of Chichén Itzá, Mayapán, and the Guatemalan highlands have been referred to as “Toltecized” or “Mexicanized” Mayas. 
• Some 20th-century historicist scholars, such as David Carrasco, Miguel León Portilla, Nigel Davies and H. B. Nicholson, argued that the Toltecs were a distinct ethnic group. This school of thought connected the “Toltecs” to the archaeological site of Tula, which was taken to be the Tollan of Aztec myth.
• Historicists supportive of the ethnic group theory also argue that much of central Mexico was possibly dominated by a “Toltec empire” between the 10th and 12th centuries CE. One possible clue they point to is that the Aztecs referred to several Mexican city-states as Tollan, “Place of Reeds,” such as “Tollan Cholollan.” 
• Archaeologist Laurette Sejourné, followed by the historian Enrique Florescano, argued that the “original” Tollan was probably Teotihuacán.

Anti-Historicist

On the other side of the argument lie those who believe that the Aztec stories are clouded by myth and cannot be taken as accurate accounts of the Toltec civilization. Multiple theories place the Toltec and the site of Tula within a more general framework:

• Some scholars argue that the Toltec era is best considered the fourth of the five Aztec mythical “suns” or ages. This fourth sun immediately precedes the fifth sun of the Aztec people, which was prophesied to be presided over by Quetzalcoatl. 
• Some researchers argue that the only historically reliable data in the Aztec chronicles are the names of some rulers and possibly some of the conquests ascribed to them. 
• Skeptics argue that the ancient city of Teotihuacán and the Aztec city of Tenochtitlan were much more influential sites for Mesoamerican culture than Tula. However, this skeptical school of thought acknowledges that Tula still contributed to central Mexican cultural heritage in unique ways. 
• Recent scholarship does not frame Tula, Hidalgo, as the capital of the Toltecs as described in the Aztec accounts. Rather, it takes “Toltec” to mean simply an inhabitant of Tula during its apogee. Separating the term “Toltec” from those of the Aztec accounts, it attempts to find archaeological clues to the ethnicity, history, and social organization of the inhabitants of the site of Tula.

Archeology and Clues

While the residents of the site of Tula, Hidalgo, remain a mysterious group, and their ethnic and social dynamics are obscure, they left behind substantial archeological records that modern scholars have attempted to parse through.

Stone carving of Quetzalcoatl

This powerful feathered serpent deity has deep mythological roots in Aztec stories. He also appears regularly in carvings at Tula.

The city of Tula boasts 15-foot-tall warrior statues carved from stone. These same Atlantean figures, as they are called, also appear at the Mayan sites of Chichén Itzá and Potrero Nuevo.

Toltec warrior statues at Tula

These stone statues highlight the artistic style of the city of Tula. They also connect this city with other cultural sites in Mesoamerica.

Tula also boasts intricate carvings of eagles, jaguars, hummingbirds, and butterflies, all of which the Aztec Empire used prolifically. Furthermore, the site of Tula includes two ball courts for the religious rubber ball game that appears in many Mesoamerican civilizations. Along with these distinct relics, the Toltecs also built distinctive pyramids that mirror other sites, such as Chichén Itzá. 

Many questions still remain about the inhabitants of this site, including questions about their origin and their demise. This site also raises questions about the flow of influence between multiple Mesoamerican cultures before the rise of the Aztec Empire.

16.5.2: The Aztec People

The Aztecs were a pre-Columbian Mesoamerican people of Central Mexico during the 14th, 15th, and 16th centuries.

Learning Objective

Describe distinguishing factors of Aztec life

Key Points

• The Aztec “empire” was more of a collection of city-states than an empire.
• Mexico City today is built on the ruins of Tenochtitlan, which was the capital of the Aztec empire.
• Agriculture played a key role in the Aztec civilization. Irrigation and floating garden beds allowed people to grow several crops a year.

Key Terms

altepetl

Small, mostly independent city-states that often paid tribute to the Aztec capital of Tenochtitlan.

Nahuatl

The language spoken by the Mexica people who made up the Aztec Triple Alliance, as well as many city-states throughout the region. 

flower wars

The form of ritual war where warriors from the Triple Alliance fought with enemy Nahua city-states.

The Aztecs were a pre-Columbian Mesoamerican people of Central Mexico in the 14th, 15th, and 16th centuries. They called themselves Mexica. The Republic of Mexico and its capital, Mexico City, derive their names from the word “Mexica.” The capital of the Aztec empire was Tenochtitlan, built on a raised island in Lake Texcoco. Modern Mexico City is built on the ruins of Tenochtitlan.

From the 13th century, the Valley of Mexico was the heart of Aztec civilization; here the capital of the Aztec Triple Alliance, the city of Tenochtitlan, was built upon raised islets in Lake Texcoco. The Triple Alliance was comprised of Tenochtitlan along with their main allies of Acolhuas of Texcoco and Tepanecs of Tlacopan. They formed a tributary empire expanding its political hegemony far beyond the Valley of Mexico, conquering other city-states throughout Mesoamerica. At its pinnacle, Aztec culture had rich and complex mythological and religious traditions, and reached remarkable architectural and artistic accomplishments. In 1521 Hernán Cortés, along with a large number of Nahuatl-speaking indigenous allies, conquered Tenochtitlan and defeated the Aztec Triple Alliance under the leadership of Hueyi Tlatoani Moctezuma II. Subsequently the Spanish founded the new settlement of Mexico City on the site of the ruined Aztec capital, from where they proceeded to colonize Central America.

Basin in the Valley of Mexico

Circa 1519, at the time of the arrival of the Spanish.

The map shows the capital of Mexico-Tenochtitlan located on an island in Lake Texcoco. It also shows three causeways, one from Mexico-Tenochtitlan to Tepeyacac; another from Mexico-Tenochtitlan to Tlacopan; and another from Mexico-Tenochtitlan to Coyoacan and Mexicaltzingo.

Politics

The Aztec empire was an example of an empire that ruled by indirect means. Like most European empires, it was ethnically very diverse, but unlike most European empires, it was more of a system of tribute than a single system of government. Although the form of government is often referred to as an empire, in fact most areas within the empire were organized as city-states, known as “altepetl” in Nahuatl. These were small polities ruled by a king (tlatoani) from a legitimate dynasty.

Two of the primary architects of the Aztec empire were the half-brothers Tlacaelel and Montezuma I, nephews of Itzcoatl. Moctezuma I succeeded Itzcoatl as Hueyi Tlatoani (or king) in 1440. Although he was also offered the opportunity to be tlatoani, Tlacaelel preferred to operate as the power behind the throne. Tlacaelel focused on reforming the Aztec state and religious practices. According to some sources, he ordered the burning of most of the extant Aztec books, claiming that they contained lies. He thereupon rewrote the history of the Aztec people, thus creating a common awareness of history for the Aztecs. This rewriting led directly to the curriculum taught to scholars, and promoted the belief that the Aztecs were always a powerful and mythic nation—forgetting forever a possible true history of modest origins. One component of this reform was the institution of ritual war (the flower wars) as a way to have trained warriors, and the necessity of constant sacrifices to keep the Sun moving.

Economics

The Aztec economy can be divided into a political sector, under the control of nobles and kings, and a commercial sector that operated independently of the political sector. The political sector of the economy centered on the control of land and labor by kings and nobles. Nobles owned all land, and commoners got access to farmland and other fields through a variety of arrangements, from rental through sharecropping to serf-like labor and slavery. These payments from commoners to nobles supported both the lavish lifestyles of the high nobility and the finances of city-states. Many luxury goods were produced for consumption by nobles. The producers of featherwork, sculptures, jewelry, and other luxury items were full-time commoner specialists who worked for noble patrons.

Several forms of money were in circulation, most notably the cacao bean. These beans could be used to buy food, staples, and cloth. Around thirty beans would purchase a rabbit, while one father was recorded as selling his daughter for around 200 cacao beans. The Aztec rulers also maintained complex road systems with regular stops to rest and eat every ten miles or so. Couriers walked these roads regularly to ensure they were in good working order and to bring news back to Tenochtitlan.

Aztec headdress

The feathers most likely came from a tropical rainforest far away, and the headdress was probably owned by an elite or noble.

Trade also formed a central part of Aztec life. While local commoners regularly paid tribute to the nobles a few times a year, there was also extensive trade with other regions in Mesoamerica. Archeological evidence shows that jade, obsidian, feathers, and shells reached the capital through established trade routes. Rulers and nobles enjoyed wearing these more exotic goods and having them fashioned into expressive headdresses and jewelry.

Architecture and Agriculture

The capital of Tenochtitlan was divided into four even sections called campans. All of these sections were interlaced together with a series of canals that allowed for easy transportation throughout the islets of Lake Texcoco. Commoner housing was usually built of reeds or wood, while noble houses and religious sites were constructed from stone.

Agriculture played a large part in the economy and society of the Aztecs. They used dams to implement irrigation techniques in the valleys. They also implemented a raised bed gardening technique by layering mud and plant vegetation in the lake in order to create moist gardens. These raised beds were called chinampas. These extremely fertile beds could harvest seven different crops each year. Some of the most essential crops in Aztec agriculture included:

• Avocados
• Beans
• Squash
• Sweet Potatoes
• Maize
• Tomatoes
• Amarinth
• Chilies
• Cotton
• Cacao beans 

Most farming occurred outside of the busy heart of Tenochtitlan. However, each family generally had a garden where they could grow maize, fruits, herbs, and medicinal plants on a smaller scale.

16.5.3: Aztec Religion

The Aztec religion focused on death, rebirth, and the renewal of the sun. The Aztecs practiced ritual sacrifice, ball games, and bloodletting in order to renew the sun each day.

Learning Objective

Outline the key points of Aztec religious practices and beliefs

Key Points

• The Aztec religion incorporated deities from multiple cultures into its pantheon.
• Ritual sacrifice played an essential role in the religious practice of the Aztecs, and they believed it ensured the sun would rise again and crops would grow.
• The Aztecs utilized a 365-day calendar split into eighteen months based on agricultural traditions and different deities.

Key Terms

Huitzilopochtli

The left-handed hummingbird god that mythically founded Tenochtitlan and represented war and the sun.

Toxcatl

A month in the Aztec sun calendar that represented drought and ritual renewal. 

Mesoamerican ballgame

This ritual practice involved a rubber ball that the players hit with their elbows, knees, and hips, and tried to get through a small hoop in a special court.

The Aztecs had at least two
manifestations of the supernatural: tētl and tēixiptla. Tētl,
which the Spaniards and European scholars routinely mistranslated as
“god” or “demon,” referred rather to an
impersonal, mysterious force that permeated the world. Tēixiptla, by
contrast, denoted the physical representations (“idols,”
statues, and figurines) of the tētl as well as the human cultic
activity surrounding this physical representation.

The Aztec religious cosmology included
the physical earth plane, where humans lived, the
underworld (or land of the dead), and the realm of the sky. Due to
the flexible imperial political structure, a large pantheon of gods was incorporated into the larger cultural religious traditions. The
Aztecs also worshipped deities that were central to older
Mesoamerican cultures, such as the Olmecs. Some of the most central
deities that the Aztecs paid homage to included:

• Huitzilopochtli – The “left-handed
  hummingbird” god was the god of war and the sun and also the
  founder of Tenochtitlan.
• Quetzalcoatl – The feathered serpent
  god that represented the morning star, wind, and life.
• Tlaloc – The rain and storm god.
• Mixcoatl – The “cloud serpent”
  god that was incorporated into Aztec belief and represented war.
• Xipe Totec – The flayed god that was
  associated with fertility. This deity was also incorporated from
  cultures under the Aztec Triple Alliance umbrella.

Huitzilopochtli as depicted in the Codex Telleriano-Remensis

This depiction of the war and sun god shows him in all of his warrior and ritual garb.

Founding Myth of Tenochtitlan

Veneration of Huitzilopochtli, the
personification of the sun and of war, was central to the religious,
social, and political practices of the Mexica people. Huitzilopochtli
attained this central position after the founding of Tenochtitlan and
the formation of the Mexica city-state society in the 14th century.
According to myth, Huitzilopochtli directed the wanderers to found a
city on the site where they would see an eagle devouring a snake
perched on a fruit-bearing nopal cactus. (It was said that
Huitzilopochtli killed his nephew, Cópil, and threw his heart on the
lake. Huitzilopochtli honoured Cópil by causing a cactus to grow
over Cópil’s heart.) This legendary vision is pictured on the coat
of arms of Mexico.

Ritual and Sacrifice

Like all other Mesoamerican cultures, the
Aztecs played a variant of the Mesoamerican ballgame, named “tlachtli” or “ollamaliztli” in Nahuatl. The game was played with a ball of solid
rubber, called an olli. The players hit the ball with their hips,
knees, and elbows, and had to pass the ball through a stone ring to
automatically win. The practice of the ballgame carried religious and
mythological meanings and also served as sport. Many times players of
the game were captured during the famous Aztec flower wars with
neighboring rivals. Losers of the game were often ritually sacrificed
as an homage to the gods.

A depiction of human sacrifice in the Codex Magliabechiano

This Spanish rendering of human sacrifices reflects the outsider’s view of these ritual traditions.

While human sacrifice was practiced
throughout Mesoamerica, the Aztecs, if their own accounts are to be
believed, brought this practice to an unprecedented level. For
example, for the reconsecration of the Great Pyramid of Tenochtitlan
in 1487, the Aztecs reported that they sacrificed 80,400 prisoners
over the course of four days, reportedly by Ahuitzotl, the Great
Speaker himself. This number, however, is not universally accepted.
Accounts by the Tlaxcaltecas, the primary enemy of the Aztecs at the
time of the Spanish Conquest, show that at least some of them
considered it an honor to be sacrificed. In one legend, the warrior
Tlahuicole was freed by the Aztecs but eventually returned of his own
volition to die in ritual sacrifice. Tlaxcala also practiced the
human sacrifice of captured Aztec citizens.

Everyone was affected by human
sacrifice, and it should be considered in the context of the religious
cosmology of the Aztec people. It was considered necessary in order
for the world to continue and be reborn each new day. Death and
ritual blood sacrifice ensured the sun would rise again and crops
would continue to grow. Not only were captives and warriors
sacrificed, but nobles would often practice ritual bloodletting
during certain sacred days of the year. Every level of Aztec society
was affected by the belief in the human responsibility to pay homage
to the gods, and anyone could serve as a sacrificial offering.

Priests and Religious Architecture

A noble priest class played an integral
role in the religious worship and sacrifices of Aztec society. They
were responsible for collecting tributes and ensuring there were
enough goods for sacrificial ceremonies. They also trained young men to impersonate various deities for an entire year before being sacrificed on a specific day.  These priests were respected
by all of society and were also responsible for practicing ritual
bloodletting on themselves at regular intervals. Priests could
come from the noble or common classes, but they would receive their
training at different schools and perform different functions.

Aztec pyramid of St. Cecilia Acatitlan

This pyramid is typical of Aztec religious architecture. Priests would have stood on the platform at the top to perform religious duties and sacrifices.

Priests performed rituals from
special temples and religious houses. The temples were generally huge
pyramidal structures that were covered over with a new surface every fifty-two years, meaning some pyramids were gigantic in scale. These feats
of architectural display were the sites of large sacrificial
offerings and festivals, where Spanish reports said blood would run
down the steps of the pyramids. The priests often performed smaller daily rituals in
small, dark temple houses where incense and images of important gods
were displayed.

Aztec Calendar

Aztec sun calendar

This calendar shows the eighteen months circling around a representation of the sun.

The Aztecs based their calendar on the
sun and utilized a 365-day religious calendar. It was split into eighteen twenty-day months, and each month had its own religious, and often
agricultural, theme. For example, the late winter month Altcahualo
fell between February 14 and March 5 and represented a time of sowing
crops and fertility. The month Toxcatl occurred in May and was a time
of drought in the central valley. The Aztecs saw this month as a time
of renewal, and it involved a large festival where a young man that had been impersonating the god Tezcatlipoca for a full year would be sacrificed.

16.5.4: The Aztec in the Colonial Period

The Aztec empire was defeated by an alliance between the Spanish and the Confederacy of Tlaxcala.

Learning Objective

Describe the role of the Confederacy of Tlaxcala in the fall of the Aztec empire

Key Points

• The arrival of Hernándo Cortés in 1519 marked the beginning of the end for the Aztec empire.
• Cortés and the Confederacy of Tlaxcala allied to militarily defeat the Aztecs, who were further weakened by a smallpox epidemic in 1520–1521 and subsequent outbreaks.
• Aztec hegemonic structure was re-appropriated to serve the Spanish colonialists.
• Some aspects of Aztec culture, such as the language, survive.

Key Terms

Tlaxcalan

The people of a pre-Columbian city and state in Central Mexico, who helped Cortés conquer the Aztec empire.

Bartolomé de las Casas

(Seville, c. 1484– Madrid, July 18, 1566) Sixteenth-century Spanish historian, social reformer, and Dominican friar. Arriving as one of the first European settlers in the Americas, he participated in the atrocities committed against the Native Americans by the Spanish colonists. In 1515, he reformed his views and advocated before King Charles V, Holy Roman Emperor, on behalf of rights for the natives.

Overview

The Spanish conquest of the Aztec empire was one of the most significant events in the Spanish colonization of the Americas. The Spanish campaign began in February 1519, and was declared victorious on August 13, 1521, when a coalition army of Spanish forces and native Tlaxcalan warriors led by Hernándo Cortés and Xicotencatl the Younger captured the emperor Cuauhtemoc and Tenochtitlan, the capital of the Aztec empire. The fall of the Aztec empire was the key event in the formation of the Spanish overseas empire, with New Spain, which later became Mexico, a major component.

Hernándo Cortés

Conquest of the Aztecs

During the campaign, Cortés was given support from a number of tributaries and rivals of the Aztecs, including the Totonacs and the Tlaxcaltecas, Texcocans, and other city-states particularly bordering Lake Texcoco. In their advance, the allies were tricked and ambushed several times by the people they encountered. After eight months of battles and negotiations, which overcame the diplomatic resistance of the Aztec emperor Moctezuma II to his visit, Cortés arrived in Tenochtitlan on November 8, 1519, where he was welcomed by Moctezuma and took up residence. When news reached Cortés of the death of several of his men during the Aztec attack on the Totonacs in Veracruz, he took the opportunity to take Moctezuma captive; Moctezuma allowed himself to be captured as a diplomatic gesture. Capturing the indigenous ruler was standard operating procedure for Spaniards in their expansion in the Caribbean, so capturing Moctezuma had considerable precedent.

When Cortés left Tenochtitlan to return to the coast and deal with the expedition of Pánfilo de Narváez, Pedro de Alvarado was left in charge. Alvarado allowed a significant Aztec feast to be celebrated in Tenochtitlan, and in the pattern of the earlier massacre in Cholula closed off the square and massacred the celebrating Aztec noblemen. The biography of Cortés by Francisco López de Gómara contains a description of the massacre. The Alvarado massacre at the Main Temple of Tenochtitlan precipitated rebellion by the population of the city. When the captured emperor Moctezuma II, now seen as a mere puppet of the invading Spaniards, attempted to calm the outraged populace, he was killed by a projectile. Cortés, who by then had returned to Tenochtitlan, and his men fled the capital city during the Noche Triste in June 1520. The Spanish, Tlaxcalans, and reinforcements returned a year later, on August 13, 1521, to a civilization that had been wiped out by famine and smallpox. This made it easier to conquer the remaining Aztecs.

Aftermath

To reward Spaniards who participated in the conquest of what is now contemporary Mexico, the Spanish crown authorized grants of native labor in particular indigenous communities via the encomienda. The indigenous were not slaves, chattel bought and sold or removed from their home community, but the system was one of forced labor. The indigenous of Central Mexico had practices rendering labor and tribute products to their polity’s elites, and those elites to the Mexica overlords in Tenochtitlan, so the Spanish system of encomienda was built on pre-existing patterns. The Spanish conquerors in Mexico during the early colonial era lived off the labor of the indigenous. Due to some horrifying instances of abuse against the indigenous peoples, Bishop Bartolomé de las Casas suggested importing black slaves to replace them (he later repented when he saw the even worse treatment given to the black slaves).

Nevertheless, Aztec culture survives today. Modern-day Mexico City is built on the site of the Aztec capital, Tenochtitlan. There are still 1.5 million people who speak the Aztec language of Nahuatl, and part of the Mexica migration story appears on the Mexican flag.

16.6: Native American Cultures in North America

16.6.1: Great Basin Culture

The peoples of the Great Basin area required ease of mobility to follow bison herds and gather seasonally available food supplies.

Learning Objective

Describe the culture of the Great Basin civilizations

Key Points

• Between 10,500 BCE and 9,500 BCE (11,500 – 12,500 years ago), the broad-spectrum, big game hunters of the Great Plains began to focus on a single animal species: the bison.
• Paleo-Indians were not numerous, and population densities were quite low during this time.
• These bison-oriented indigenous peoples inhabited a portion of the North American continent known as the Great Basin.
• The climate in the Great Basin was very arid, which affected the lifestyles and cultures of its inhabitants.

Key Terms

cultural region

A cultural region is inhabited by a culture that does not limit their geographic coverage to the borders of a nation state, or to smaller subdivisions of a state.

metates

A morter and grind stone tool used for processing grain and seeds.

Numic languages

A branch of the Uto-Aztecan language family. Includes seven languages spoken by American Indian peoples traditionally living in the Great Basin, Colorado River Basin, and southern Great Plains.

Between 10,500 BCE and 9,500 BCE (11,500 – 12,500 years ago), the broad-spectrum, big game hunters of the Great Plains began to focus on a single animal species: the bison, an early cousin of the American Bison. The earliest of these bison-oriented hunting traditions is known as the Folsom tradition. Folsom peoples traveled in small family groups for most of the year, returning yearly to the same springs while others favored locations on higher grounds. There they would camp for a few days, moving on after erecting a temporary shelter, making and/or repairing stone tools, or processing meat. Paleo-Indians were not numerous, and population densities were quite low during this time.

These bison-oriented indigenous peoples mostly inhabited a portion of the North American continent known as the “cultural region” of the Great Basin. The Great Basin is the region between the Rocky Mountains and the Sierra Nevada, in what is now modern-day Nevada, Utah, California, Idaho, Wyoming, and parts of Oregon. The original inhabitants of the region are believed to have arrived as early as 10,000 BCE. The climate in the Great Basin was and is very arid; this affected the lifestyles and cultures of its inhabitants.

Map showing the Great Basin

The Great Basin is a multi-state endorheic area surrounded by the Pacific Watershed of North America, home to the pre-Columbian indigenous peoples of the Great Basin.

Language

While anthropologists can point to many distinct peoples throughout the region, most peoples of the Great Basin shared certain common cultural elements that distinguished them from other surrounding cultures. Except for the Washoe, most of the groups spoke Numic languages. Some groups may have not have spoken Numic languages, but no relics of their linguistic patterns remain today. There was considerable intermingling among the groups, who lived peacefully and often shared common territories. These groups were all predominantly hunters and gatherers. As a result of these similarities, anthropologists use the terms “Desert Archaic” or more simply “The Desert Culture” to refer collectively to the Great Basin tribes.

Lifeways

Desert Archaic peoples required great mobility to follow seasonally available food supplies. The use of pottery was rare because of its weight, but intricate baskets were woven that could be used to hold water, cook food, and winnow grass seeds. Baskets were also used for storage, including the storage of pine nuts. Heavy items such as metates were cached rather than carried between foraging areas. Agriculture was not practiced within the Great Basin itself, although it was practiced in adjacent areas. The area was too dry, and even modern agriculture in the Great Basin requires either large mountain reservoirs or deep artesian wells. Likewise, the Great Basin tribes had no permanent settlements, although winter villages might be revisited winter after winter by the same groups of families. In the summer groups would split; the largest social grouping was usually the nuclear family, an efficient response to the low density of food supplies.

Religion

Because Great Basin peoples did not come into contact with
European-Americans or African Americans until comparatively later in North
American history, many groups were able to maintain their traditional tribal
religions. These peoples were leading proponents of cultural and religious renewals during
the 19th century. Two Paiute prophets, Wodziwob and Wovoka,
introduced the Ghost Dance as a means to commune with departed loved ones and
bring renewals of buffalo herds and precontact lifeways. The Ute Bear Dance
also emerged in the Great Basin, as did the Sun Dance.

Peyote religion
flourished in the Great Basin as well, particularly among the Ute who used
peyote obtained through trade and other potent ceremonial plants. Ute religious beliefs borrowed heavily from Plains Indians after the
arrival of the horse. Northern and Uncompahgre Ute were among the only group of
indigenous peoples known to create ceremonial pipes out of salmon alabaster and
rare black pipestone found in creeks that border the southeastern slops of the
Uinta Mountains in Utah and Colorado. The Uncompahgre Ute are also among the
first documented peoples to utilize the effect of mechanoluminescene with quartz crystals to generate light in ceremonies used to call
spirits. Special ceremonial rattles were made from buffalo rawhide and
filled with clear quartz crystals collected from the mountains of Colorado and
Utah. These ceremonial rattles were considered extremely powerful religious
objects.

16.6.2: Pacific Coast Culture

The mild climate and abundant natural resources along the Pacific Coast of North America allowed a complex aboriginal culture to flourish.

Learning Objective

Examine how natural resources shaped the cultures of the Pacific Coast

Key Points

• Due to the prosperity made possible by the abundant natural resources in this region, the indigenous peoples of the Pacific Northwest developed complex religious and social ceremonies as well as many fine arts and crafts.
• Music was created to honor the Earth, the creator, ancestors, and all other aspects of the supernatural world.
• Many works of art served practical purposes, such as clothing, tools, weapons of war and hunting, transportation, and shelter; but others were purely aesthetic.
• The Pacific Coast was at one time the most densely populated area of North America in terms of indigenous peoples.

Key Terms

animism

The worldview that non-human entities—such as animals, plants, and inanimate
objects—possess a spiritual essence.

potlatch

A ceremony amongst certain American Indian peoples of the Pacific Coast in which gifts are bestowed upon guests and personal property is destroyed in a show of wealth and generosity.

permaculture

Any system of sustainable agriculture that renews natural resources and enriches local ecosystems.

The indigenous peoples of the Pacific Northwest Coast were
composed of many nations and tribal affiliations, each with distinctive
cultural and political identities; but they shared certain beliefs, traditions, and practices, such as the centrality of salmon as a resource and spiritual
symbol.
These nations had time and energy to devote to
the establishment of fine arts and crafts and to religious and social
ceremonies.

The term “Northwest Coast”, or “North West Coast”, is used to
refer to the groups of indigenous people residing along the coasts of British
Columbia, Washington State, parts of Alaska, Oregon, and northern California.

The Pacific Northwest Coast at one time had the most densely
populated areas of indigenous people. The
mild climate and abundant natural resources,
such as cedar and salmon, made possible the rise of a complex
aboriginal culture.
The indigenous people in this region practiced
various forms of forest gardening and fire-stick farming in the forests,
grasslands, mixed woodlands, and wetlands, ensuring that desired food and
medicine plats continued to be available through the use of advanced farming
techniques. Those involved in agricultural development would create
low-intensity fires in order to prevent larger, catastrophic fires and sustain
low-density agriculture in a loose rotation. This is what is known as
permaculture, or any system of sustainable agriculture that renews natural
resources and enriches local ecosystems. 

Arts and Crafts

One of
the major cultural elements that began to flourish on the Pacific Northwest Coast
was the use of music and other forms of arts and crafts. Although music
varied in function and expression among indigenous tribes, there were cultural similarities. For
example, some tribes used hand drums made of animal hides as their instrument
of choice, while others used plank or log drums, along with whistlers, wood
clappers, and rattles. However, regardless of the type of instrument used,
music and song were created to accompany ceremonies, dancing, and festivities.

The
principal function of music in this region was to invoke spirituality. Music
was created to honor the Earth, the creator, ancestors, and all other aspects of
the supernatural world. Songs were also used to convey stories and
sometimes were owned by families like property that could be inherited, sold, or given
as a gift to a prestigious guest at a feast. Professional musicians existed in
some communities, and in some nations, those who made musical errors were
punished, usually through shaming. Vocal rhythmic patterns were often complex
and ran counter to rigid percussion beats.

As with music, the creation of art also served as a means of transmitting stories, history, wisdom, and property from generation to generation. Due to the abundance of natural
resources and the affluence of most Northwest tribes, there was plenty of
leisure time to create art. Many works of art served practical purposes, such
as clothing, tools, weapons of war and hunting, transportation, cooking, and
shelter. Others were purely aesthetic.
Art provided indigenous people with a tie to the land
and was a constant reminder of their birth places, lineages, and
nations. One example of this is the use of symbols on totem poles and plank houses of the Pacific Northwest coast.

Pacific Coast Art

Tribal art included plank houses and totem poles that served as constant reminders of indigenous peoples’ birth places, lineages, and nations.

Religious and Social
Ceremonies

Other cultural elements that became
established were the religious and social ceremonies of the Pacific Northwest
nations. Although various tribes might
have had their own different mythologies and rituals, “animism” is
said to describe the most common, foundational thread of indigenous peoples’
spiritual or supernatural perspectives in this region. Spiritualism, the supernatural, and the
importance of the environment played such integral roles in day-to-day life.
Therefore, it was not unusual for worldly goods to be adorned with symbols,
crests, and totems that represented some important figure(s) from both the seen
and unseen worlds.

Many of these religious or spiritual symbols would be
present during social ceremonies as well.
The potlatch, a gift-giving feast, was perhaps one of the most significant
social experiences that occurred within Pacific Northwest groups. It was a highly complex event where
people gathered in order to commemorate a specific event such as the raising
of a totem pole or the appointment/election of a new chief. In the potlatch ceremony, the chief would give
highly elaborate gifts to visiting peoples in order to establish his power and
prestige, and by accepting these gifts, the visitors conveyed their approval of
the chief. There were also great feasts and displays of conspicuous
consumption. Groups of dancers put on elaborate dances and ceremonies. Watching
these performances was considered an honor. Potlatches were held for several
reasons: the confirmation of a new chief, coming of age, tattooing or piercing
ceremonies, initiation into a secret society, marriages, the funeral of a
chief, or a battle victory.

16.6.3: Eastern Woodland Culture

Eastern Woodland Culture refers to the way of life of indigenous peoples in the eastern part of North America between 1,000 BCE and 1,000 CE.

Learning Objective

Analyze how agricultural practices shaped the Eastern Woodland Culture

Key Points

• This time period is widely regarded as a developmental period for the people of this region as they steadily advanced in their means of cultivation, tools and textile manufacture, and use of pottery.
• While the increasing use of agriculture meant the nomadic nature of many groups was supplanted by permanent villages, intensive agriculture did not become the norm for most cultures until the succeeding Mississippian period.
• The Early Woodland period differed from the Archaic period in the following ways: the appearance of permanent settlements, elaborate burial practices, intensive collection and horticulture of starchy seed plants, differentiation in social organization, and specialized activities.
• Due to the similarity of earthworks and burial goods, researchers assume a common body of religious practice and cultural interaction existed throughout the entire region, referred to as the “Hopewellian Interaction Sphere.”

Key Terms

maize

A grain, domesticated by indigenous peoples in Mesoamerica in prehistoric times, known in many English-speaking countries as corn.

atlatl

A wooden stick with a thong or perpendicularly protruding hook on the rear end that grips a grove or socket on the butt of its accompanying spear.

The Eastern Woodland cultural region extended from what is now southeastern Canada, through the eastern United States, down to the Gulf of Mexico. The time in which the peoples of this region flourished is referred to as the Woodland Period. This period is known for its continuous development in stone and bone tools, leather crafting, textile manufacture, cultivation, and shelter construction. Many Woodland hunters used spears and atlatls until the end of the period when those were replaced by bows and arrows. The Southeastern Woodland hunters however, also used blowguns. The major technological and cultural advancements during this period included the widespread use of pottery and the increasing sophistication of its forms and decoration. The growing use of agriculture and the development of the Eastern Agricultural Complex also meant that the nomadic nature of many of the groups was supplanted by permanently occupied villages.

Early Woodland Period (1000–1 BCE)

The
archaeological record suggests that humans in the Eastern Woodlands of North
America were collecting plants from the wild by 6,000 BCE and gradually
modifying them by selective collection and cultivation. In fact, the eastern
United States is one of 10 regions in the world to become an “independent
center of agricultural origin.” Research also indicates that the first appearance of ceramics occurred around 2,500 BCE in parts of Florida and Georgia. What differentiates the Early Woodland period from the Archaic period is the appearance of permanent settlements, elaborate burial practices, intensive collection and horticulture of starchy seed plants, and differentiation in social organization. Most of these were evident in the southeastern United States by 1,000 BCE with the Adena culture, which is the best-known example of an early Woodland culture.

The Adena culture was
centered around what is present-day Ohio and surrounding states and was most
likely a number of related American Indian societies that shared burial
complexes and ceremonial systems. Adena mounds generally ranged in size from 2o
to 300 feet in diameter and served as burial structures, ceremonial sites,
historical markers, and possibly even gathering places. The mounds provided a
fixed geographical reference point for the scattered populations of people
dispersed in small settlements of one to two structures. A typical Adena house
was built in a circular form, 15 to 45 feet in diameter. Walls were made of
paired posts tilted outward that were then joined to other pieces of wood to
form a cone-shaped roof. The roof was covered with bark, and the walls were bark and/or wickerwork.

While the burial mounds created
by Woodland culture peoples were beautiful artistic achievements, Adena artists
were also prolific in creating smaller, more personal pieces of art using
copper and shells. Art motifs that became important to many later American
Indians began with the Adena. Examples of these motifs include the weeping eye
and the cross and circle design. Many works of art revolved around shamanic
practices and the transformation of humans into animals, especially birds,
wolves, bears, and deer, indicating a belief that objects depicting certain
animals could impart those animals’ qualities to the wearer or holder.

Middle Woodland Period (1–500 CE)

The beginning of this period saw a shift of settlement to the interior. As the Woodland period progressed, local and inter-regional trade of exotic materials greatly increased to the point where a trade network covered most of the eastern United States. Throughout the Southeast and north of the Ohio River, burial mounds of important people were very elaborate and contained a variety of mortuary gifts, many of which were not local. The most archaeologically certifiable sites of burial during this time were in Illinois and Ohio. These have come to be known as the Hopewell tradition.

Hopewell mounds

The Eastern Woodland cultures built burial mounds for important people such as these of the Hopewell tradition in Ohio.

The
Hopewellian peoples had leaders, but they were not powerful rulers who could
command armies of soldiers or slaves. It has been posited that these cultures
accorded certain families with special privileges and that these societies were
marked by the emergence of “big-men,” or leaders who were able to acquire
positions of power through their ability to persuade others to agree with them
on matters of trade and religion. It is also likely these rulers gained
influence through the creation of reciprocal obligations with other important
community members. Regardless of their path to power, the emergence of big-men
marked another step toward the development of the highly structured and
stratified sociopolitical organization called the chiefdom, which would
characterize later American Indian tribes. Due to the similarity of earthworks and burial goods, researchers assume a common body of religious practice and cultural interaction existed throughout the entire region (referred to as the “Hopewellian Interaction Sphere”). Such similarities could also be the result of reciprocal trade, obligations, or both between local clans that controlled specific territories. Clan heads were buried along with goods received from their trading partners to symbolize the relationships they had established. Although many of the Middle Woodland cultures are called Hopewellian, and groups shared ceremonial practices, archaeologists have identified the development of distinctly separate cultures during the Middle Woodland period. Examples include the Armstrong culture, Copena culture, Crab Orchard culture, Fourche Maline culture, the Goodall Focus, the Havana Hopewell culture, the Kansas City Hopewell, the Marksville culture, and the Swift Creek culture.

Hopewell Interaction Area and local expressions of the Hopewell tradition

Throughout the Southeast and north of the Ohio River, burial mounds of important people were very elaborate and contained a variety of mortuary gifts, many of which were not local. The most archaeologically certifiable sites of burial during this time were in Illinois and Ohio. These sites were constructed within the Hopewell tradition of Eastern Woodland cultures.

The map shows the Hopewell exchange system, which at its greatest extent ran from the Southeastern United States as far south as the Crystal River Indian Mounds into the southeastern Canadian shores of Lake Ontario up north.

Ceramics during this time were thinner, of better quality, and more decorated than in earlier times. This ceramic phase saw a trend towards round-bodied pottery and lines of decoration with cross-etching on the rims.

Late Woodland Period (500–1000 CE)

The late Woodland period was a time of apparent population dispersal. In most areas, construction of burial mounds decreased drastically, as did long distance trade in exotic materials. Bow and arrow technology gradually overtook the use of the spear and atlatl, and agricultural production of the “three sisters” (maize, beans, and squash) was introduced. While full scale intensive agriculture did not begin until the following Mississippian period, the beginning of serious cultivation greatly supplemented the gathering of plants.

Late Woodland settlements became more numerous, but the size of each one was generally smaller than their Middle Woodland counterparts. It has been theorized that populations increased so much that trade alone could no longer support the communities and some clans resorted to raiding others for resources. Alternatively, the efficiency of bows and arrows in hunting may have decimated the large game animals, forcing tribes to break apart into smaller clans to better use local resources, thus limiting the trade potential of each group. A third possibility is that a colder climate may have affected food yields, also limiting trade possibilities. Lastly, it may be that agricultural technology became sophisticated enough that crop variation between clans lessened, thereby decreasing the need for trade.

In practice, many regions of the Eastern Woodlands adopted the full Mississippian culture much later than 1,000 CE. Some groups in the North and Northeast of the United States, such as the Iroquois, retained a way of life that was technologically identical to the Late Woodland until the arrival of the Europeans. Furthermore, despite the widespread adoption of the bow and arrow, indigenous peoples in areas near the mouth of the Mississippi River, for example, appear never to have made the change.

16.6.4: Southwestern Culture

Environmental changes allowed for many cultural traditions to
flourish and develop similar social structures and religious beliefs.

Learning Objective

Describe the cultural traditions of the Southwest

Key Points

• Three of the major cultural traditions that
  impacted the region include the Paleo-Indian tradition, the Southwestern
  Archaic tradition, and the Post-Archaic cultures tradition. 
• As Southwestern cultural traditions evolved,
  tribes transitioned from a hunting-gathering, nomadic experience to more permanent
  agricultural settlements.

• As various cultures developed over time, many
  shared similarities in family structure and religious
  beliefs. 

• Extensive irrigation systems were developed and were among the largest of the ancient world.

• Elaborate adobe and sandstone buildings were constructed, and highly ornamental and artistic pottery was created.

Key Terms

irrigation

The act or process of irrigating, or the state of being irrigated; especially, the operation of causing water to flow over lands for the purpose of nourishing plants.

shamanism

A practice that involves a practitioner reaching altered states of
consciousness in order to perceive and interact with a spirit world and channel
transcendental energies into this world.

animism

The worldview that non-human entities—such as animals, plants, and inanimate
objects—possess a spiritual essence.

sandstone

A sedimentary rock produced by the consolidation and compaction of sand, cemented with clay.

Overview

The greater Southwest has long been occupied by
hunter-gatherers and agricultural settlements. This area, comprised of modern-day Colorado, Arizona, New Mexico, Utah, and Nevada, and the
states of Sonora and Chihuahua in northern Mexico, has seen successive
prehistoric cultural traditions since approximately 12,000 years ago. Three of
the major cultural traditions that impacted the region include the
Paleo-Indian tradition, the Southwestern Archaic tradition, and the Post-Archaic
cultures tradition. As various cultures developed over time, many of them shared similarities in family structure and religious beliefs.  

Southwestern
Agriculture

Southwestern
farmers probably began experimenting with agriculture by facilitating the
growth of wild grains such as amaranth and chenopods as well as gourds for
their edible seeds and shells. The earliest maize known to have been grown in
the Southwest was a popcorn varietal measuring one to two inches long. It was
not a very productive crop. More productive varieties were developed later by Southwestern
farmers or introduced via Mesoamerica, though the drought-resistant tepary bean
was native to the region. Cotton has been found at archaeological sites dating
to about 1,200 BCE in the Tucson basin and was most likely cultivated by
indigenous peoples in the region. Evidence of tobacco use and possibly the
cultivation of tobacco, dates back to approximately the same time period.

Agave,
especially agave murpheyi, was a major food source of the Hohokam and grown on
dry hillsides where other crops would not grow. Early farmers also possibly cultivated cactus fruit, mesquite bean, and species of wild grasses
for their edible seeds.

Paleolithic peoples utilized
habitats near water sources like rivers, swamps, and marshes, which had an
abundance of fish and attracted birds and game animals. They hunted big game—bison, mammoths, and
ground sloths—who were also attracted to these water sources. A period of relatively wet conditions saw
many cultures in the American Southwest flourish. Extensive irrigation systems
were developed and were among the largest of the ancient world. Elaborate adobe
and sandstone buildings were constructed, and highly ornamental and artistic
pottery was created. The unusual weather conditions could not continue forever,
however, and gave way in time, to the more common arid conditions of the area.
These dry conditions necessitated a more minimal way of life and, eventually,
the elaborate accomplishments of these cultures were abandoned.

During this time, the people of the Southwest
developed a variety of subsistence strategies, all using their own specific
techniques. The nutritive value of weed and grass seeds was discovered and flat
rocks were used to grind flour to produce gruels and breads. The use of
grinding slabs originated around 7,500 BCE and marks the beginning of the Archaic tradition.
Small bands of people traveled throughout the area gathering plants such as cactus
fruits, mesquite beans, acorns, and pine nuts. Archaic people established camps
at collection points, and returned to these places year after year.

The American Indian Archaic culture eventually evolved into
two major prehistoric archaeological culture areas in the American Southwest
and northern Mexico. These cultures, sometimes referred to as Oasisamerica, are
characterized by dependence on agriculture, formal social stratification,
population clusters, and major architecture. One of the major cultures that
developed during this time was the Pueblo peoples, formerly referred to as the
Anasazi. Their distinctive pottery and
dwelling construction styles emerged in the area around 750 CE. Ancestral
Pueblo peoples are renowned for the construction of and cultural achievement
present at Pueblo Bonito and other sites in Chaco Canyon, as well as Mesa
Verde, Aztec Ruins, and Salmon Ruins. Other cultural traditions that developed during this time include the Hohokam
and Mogollon traditions.

Hohokam House

Photo of the Great House at the Casa Grande Ruins National Monument.

Family and Religion

Paleolithic
peoples in the Southwest initially structured their families and communities
into highly mobile traveling groups of approximately 20 to 50 members, moving
place to place as resources were depleted and additional supplies were needed.

As cultural traditions began to evolve throughout the
Southwest between 7,500 BCE to 1,550 CE, many cultures developed similar
social and religious traditions. For the Pueblos and other Southwest American Indian communities, the transition from a hunting-gathering, nomadic experience to more
permanent agricultural settlements meant more firmly established families and
communities. Climate
change that occurred about 3,500 years ago during the Archaic period, however,
changed patterns in water sources, dramatically decreasing the population of
indigenous peoples. Many family-based groups took shelter in caves and rock
overhangs within canyon walls, many of which faced south to capitalize on
warmth from the sun during the winter. Occasionally, these peoples lived in
small, semi-sedentary hamlets in open areas.

Many Southwest tribes during
the Post-Archaic period lived in a range of structures that included small
family pit houses, larger structures to house clans, grand pueblos,
and cliff-sited dwellings for defense.
These communities developed complex networks that stretched across the Colorado
Plateau, linking hundreds of neighborhoods and population centers. 

While southwestern tribes developed more permanent family
structures and established complex communities, they also developed and shared a
similar understanding of the spiritual and natural world. Many of the tribes
that made up the Southwest Culture practiced animism and shamanism. Shamanism encompasses the premise that
shamans are intermediaries or messengers between the human world and the spirit
worlds. At the same time, animism encompasses the beliefs that there is no separation
between the spiritual and physical (or material) world, and that souls or spirits exist
not only in humans, but also in some other animals, plants, rocks, and geographic
features such as mountains or rivers, or other entities of the natural
environment, including thunder, wind, and shadows. 

Conclusion

Although at present there are a variety of contemporary cultural traditions that exist in the greater
Southwest, many of these traditions still incorporate similar religious aspects
that are found in animism and shamanism. Some of these cultural traditions include
the Yuman-speaking peoples inhabiting the Colorado River valley, the uplands,
and Baja California; O’odham peoples of southern Arizona and northern Sonora; and the Pueblo peoples of Arizona and New Mexico. 

16.6.5: Mississippian Culture

Mississippian cultures lived in the modern-day United States in the Mississippi valley from 800 to 1540.

Learning Objective

Describe the economies of Mississippian cultures

Key Points

• Mississippian cultures lived in the Mississippi valley, Ohio, Oklahoma, and surrounding areas.
• The “three sisters”- corn, squash, and beans- were the three most important crops.
• Spanish explorer Hernando de Soto brought diseases and cultural changes that eventually contributed to the decline of many Mississippian cultures.

Key Terms

three sisters

Corn, squash, and beans. The three most important crops for Mississippian cultures.

mounds

Formations made of earth that were used as foundations for Mississippian culture structures.

The Mississippian Period lasted from approximately 800 to 1540 CE. It’s called “Mississippian” because it began in the middle Mississippi River valley, between St. Louis and Vicksburg. However, there were other Mississippians as the culture spread across modern-day US. There were large Mississippian centers in Missouri, Ohio, and Oklahoma.

A number of cultural traits are recognized as being characteristic of the Mississippians. Although not all Mississippian peoples practiced all of the following activities, they were distinct from their ancestors in adoption of some or all of the following traits:

• The construction of large, truncated earthwork pyramid mounds, or platform mounds. Such mounds were usually square, rectangular, or occasionally circular. Structures (domestic houses, temples, burial buildings, or other) were usually constructed atop such mounds.
• Maize-based agriculture. In most places, the development of Mississippian culture coincided with adoption of comparatively large-scale, intensive maize agriculture, which supported larger populations and craft specialization.
• The adoption and use of riverine (or more rarely marine) shells as tempering agents in their shell tempered pottery.
• Widespread trade networks extending as far west as the Rockies, north to the Great Lakes, south to the Gulf of Mexico, and east to the Atlantic Ocean.
• The development of the chiefdom or complex chiefdom level of social complexity.
• A centralization of control of combined political and religious power in the hands of few or one.
• The beginnings of a settlement hierarchy, in which one major center (with mounds) has clear influence or control over a number of lesser communities, which may or may not possess a smaller number of mounds.
• The adoption of the paraphernalia of the Southeastern Ceremonial Complex (SECC), also called the Southern Cult. This is the belief system of the Mississippians as we know it. SECC items are found in Mississippian-culture sites from Wisconsin to the Gulf Coast, and from Florida to Arkansas and Oklahoma. The SECC was frequently tied in to ritual game-playing.

Mississippian Cultures

There were a number of Mississippian cultures, with most spreading from the Middle Mississippian area.

Although hunting and gathering plants for food was still important, the Mississippians were mainly farmers. They grew corn, beans, and squash, called the “three sisters” by historic Southeastern Indians. The “sisters” provided a stable and balanced diet, making a larger population possible. Thousands of people lived in some larger towns and cities.

A typical Mississipian town was built near a river or creek. It covered about ten acres of ground, and was surrounded by a palisade, a fence made of wooden poles placed upright in the ground. A typical Mississippian house was rectangular, about 12 feet long and 10 feet wide. The walls of a house were built by placing wooden poles upright in a trench in the ground. The poles were then covered with a woven cane matting. The cane matting was then covered with plaster made from mud. This plastered cane matting is called “wattle and daub”. The roof of the house was made from a steep “A” shaped framework of wooden poles covered with grass woven into a tight thatch.

Platform Mounds

Mississippian cultures often built structures on top of their mounds such as homes and burial buildings.

Mississippian cultures, like many before them, built mounds. Though other cultures may have used mounds for different purposes, Mississippian cultures typically built structures on top of them. The type of structures constructed ran the gamut: temples, houses, and burial buildings.

Mississippian artists produced unique art works. They engraved shell pendants with animal and human figures, and carved ceremonial objects out of flint. They sculpted human figures and other objects in stone. Potters molded their clay into many shapes, sometimes decorating them with painted designs.

Mississippian Underwater Panther

The Nashville area was a major population center during this period. Thousands of Mississippian-era graves have been found in the city, and thousands more may exist in the surrounding area. There were once many temple and burial mounds in Nashville, especially along the Cumberland River.

Decline of the Mississippians

Hernando de Soto was a Spanish explorer who, from 1539-43, lived with and spoke to many Mississippian cultures. After his contact, their cultures were relatively unaffected directly by Europeans, though they were indirectly. Since the natives lacked immunity to new infectious diseases, such as measles and smallpox, epidemics caused so many fatalities that they undermined the social order of many chiefdoms. Some groups adopted European horses and changed to nomadism. Political structures collapsed in many places.By the time more documentary accounts were being written, the Mississippian way of life had changed irrevocably. Some groups maintained an oral tradition link to their mound-building past, such as the late 19th-century Cherokee. Other Native American groups, having migrated many hundreds of miles and lost their elders to diseases, did not know their ancestors had built the mounds dotting the landscape. This contributed to the myth of the Mound Builders as a people distinct from Native Americans.

Hernando de Soto

Engraving by Lambert A. Wilmer (1858)

Mississippian peoples were almost certainly ancestral to the majority of the American Indian nations living in this region in the historic era. The historic and modern day American Indian nations believed to have descended from the overarching Mississippian Culture include: the Alabama, Apalachee, Caddo, Cherokee, Chickasaw, Choctaw, Muscogee Creek, Guale, Hitchiti, Houma, Kansa, Missouria, Mobilian, Natchez, Osage, Quapaw, Seminole, Tunica-Biloxi, Yamasee, and Yuchi.

15.2: Northern Africa

15.2.1: Post-Byzantine Egypt

Learning Objective

Discuss the effects of the Islamic conquest on Egypt

Key Points

• At
  the onset of the Muslim conquest of North Africa, Egypt was part of the
  Byzantine/Eastern Roman Empire, with the capital in Constantinople. The
  province held strategic importance for its grain production and naval yards, and as
  a base for further conquests in Africa. 
• In 639, Rashidun
  troops led by Amr ibn al-As were sent to conquer Egypt. The Rashidun army crossed into Egypt from Palestine and
  advanced rapidly into the Nile Delta. The
  Muslim forces eventually defeated a Byzantine army at the 640 Battle of Heliopolis. Alexandria and the Thebaid surrendered shortly after that.
• Following
  the first surrender of Alexandria, Amr chose a new site to settle his men, near
  the location of the Byzantine fortress of Babylon. The new settlement was called Fustat, and quickly became the focal point of Islamic Egypt.
• The
  main pillar of the early Muslim rule and control in the country was the
  military force, or jund, provided by
  the Arab settlers. These were initially the men who had followed Amr and
  participated in the conquest. 
• The
  Fatimid Caliphate conquered Egypt in 969, founding a new capital in Cairo, which was intended as a royal enclosure for the Fatimid caliph and his army. Under Fatimid rule, Egypt became the center of the caliphate. 
• Under Fatimid rule, Egypt flourished economically and and culturally, attracting scholars and thinkers from across the world and becoming the center of intellectual debates and freedom of expression.

Key Terms

The Fatimid Caliphate

An Ismaili Shia Islamic caliphate that spanned a large area of North Africa, from the Red Sea in the east to the Atlantic Ocean in the west. The dynasty ruled across the Mediterranean coast of Africa, and it was under its rule that Egypt became the center of the caliphate. At its height the caliphate included, in addition to Egypt, varying areas of the Maghreb, Sudan, Sicily, the Levant, and Hijaz.

Byzantine/Eastern Roman Empire

The continuation of the Roman Empire in the East during Late Antiquity and the Middle Ages, when its capital city was Constantinople (modern-day Istanbul, originally founded as Byzantium). It survived the fragmentation and fall of the Western Roman Empire in the 5th century CE and continued to exist for an additional thousand years until it fell to the Ottoman Turks in 1453.

mamluk

An Arabic designation for slaves.
While they were purchased, their status was above ordinary slaves, who were not allowed to carry weapons or perform certain tasks. They eventually formed a powerful military caste. 

Copts

An ethno-religious group situated in North Africa and the Middle East, mainly in the area of modern Egypt, where they are the largest Christian denomination. They are also the largest Christian denomination in Sudan and Libya. Historically they spoke the Coptic language, a direct descendant of the Demotic Egyptian spoken in the Roman era, but it has been near-extinct and mostly limited to liturgical use since the 18th century. They now speak Arabic.

The Rashidun Caliphat

The Islamic caliphate in the earliest period of Islam, comprising the first four caliphs—the “Rightly Guided” caliphs. It was founded after Muhammad’s death in 632 (year 11 AH in the Islamic calendar). At its height, the caliphate controlled an empire from the Arabian Peninsula and the Levant to the Caucasus in the north, North Africa from Egypt to present-day Tunisia in the west, and the Iranian plateau to Central Asia in the east.

caliphate

An area containing an Islamic steward known as a caliph—a person considered a religious successor to the Islamic prophet Muhammad and a leader of the entire Muslim community. During the history of Islam after the Rashidun period, many Muslim states, almost all of them hereditary monarchies, have claimed the right to be defined as such.

Egypt in the Byzantine Empire

At the onset of the Muslim conquest of North Africa, Egypt was part of the Byzantine/Eastern Roman Empire, with the capital in Constantinople.
The province held strategic importance for its grain production and naval yards, and as a base for further conquests in Africa. Shortly before the Muslim conquest, Egypt had been conquered by the Persian Empire (619–629). However, Emperor Heraclius re-captured it after a series of campaigns against the Sassanid Persians, only to lose it to the Muslim Rashidun army ten years later. Before the Muslim conquest of Egypt began, the Byzantines had already lost the Levant and their Arab ally, the Ghassanid Kingdom, to the Muslims. All of this left the Byzantine Empire dangerously exposed and vulnerable.

Rashidun Conquest

The Rashidun Caliphate was the Islamic caliphate in the earliest period of Islam, comprising the first four caliphs. It was founded after Muhammad’s death in 632 (year 11 AH in the Islamic calendar). At its height, the caliphate controlled an empire from the Arabian Peninsula and the Levant to the Caucasus in the north, North Africa from Egypt to present-day Tunisia in the west, and the Iranian plateau to Central Asia in the east. Caliph Umar conquered more than 2,200,000 km² area in less than ten years and is known as the most powerful caliph in the history of Islam.

In 639, some 4,000 Rashidun troops led by Amr ibn al-As were sent by Umar to conquer the land of the ancient pharaohs. The Rashidun army crossed into Egypt from Palestine and advanced rapidly into the Nile Delta. The imperial garrisons retreated into the walled towns, where they successfully held out for a year or more. But the Muslims sent for reinforcements and the invading army, joined by another 12,000 men in 640, defeated a Byzantine army at the Battle of Heliopolis. Amr next proceeded in the direction of Alexandria, which was surrendered to him by a treaty signed in November 641. The Thebaid seems to have surrendered with scarcely any opposition.

Empire of the Rashidun Caliphate at its peak

The Rashidun Caliphate expanded gradually. Within the span of twenty-four years of conquest, a vast territory was conquered comprising Mesopotamia, the Levant, parts of Anatolia, and most of the Sasanian Empire. Unlike the Sasanian Persians, the Byzantines, after losing Syria, retreated back to Anatolia. As a result, they also lost Egypt to the invading Rashidun army.

Today, the Rashidun Calipate is part of 30 countries: Afghanistan, Armenia, Azerbaijan, Bahrain, Cyprus, Egypt, Georgia, Iran, Iraq, Israel, Italy, Jordan, Kuwait, Lebanon, Libya, Oman, Pakistan, Palestine, Qatar, Russia, Saudi Arabia, Sudan, Syria, Tajikistan, Tunisia, Turkey, Turkmenistan, United Arab Emirates, Uzbekistan, and Yemen.

Early Islamic Egypt

Following the first surrender of Alexandria, Amr chose a new site to settle his men, near the location of the Byzantine fortress of Babylon. The new settlement was called Fustat. Fustat quickly became the focal point of Islamic Egypt and—with the exception of the brief relocation to Hulwan during a plague in 689, and the period of 750–763, when the seat of the governor moved to Askar—the capital and residence of the administration. After the conquest, the country was initially divided in two provinces, Upper Egypt and Lower Egypt with the Nile Delta. In 643/4, however, Caliph Uthman appointed a single governor, resident at Fustat, with jurisdiction over all of Egypt. The governor would in turn nominate deputies for Upper and Lower Egypt. Alexandria remained a distinct district, reflecting both its role as the country’s shield against Byzantine attacks and as the major naval base. 

The main pillar of the early Muslim rule and control in the country was the military force, or jund, provided by the Arab settlers. These were initially the men who had followed Amr and participated in the conquest. The followers of Amr were mostly drawn from the Yamani. Although limited in number, they held many privileges and a protected status of prestige. 

In return for a tribute of money and food for the occupying troops, the Christian inhabitants of Egypt were excused from military service and left free in the observance of their religion and the administration of their affairs. Conversions of Copts to Islam were at first rare, and the old system of taxation was maintained for the greater part of the first Islamic century. 

Egypt under the Fatimid Caliphate 

The Fatimid Caliphate was an Ismaili Shia Islamic caliphate that spanned a large area of North Africa, from the Red Sea in the east to the Atlantic Ocean in the west. The dynasty ruled across the Mediterranean coast of Africa and it was under its rule that Egypt became the center of the caliphate. At its height the caliphate included, in addition to Egypt, varying areas of the Maghreb, Sudan, Sicily, the Levant, and Hijaz.

The Fatimid general Jawhar conquered Egypt in 969 and built a new palace city there, near Fusṭat, founding a new capital in Cairo in 969. Cairo was intended as a royal enclosure for the Fatimid caliph and his army, though the actual administrative and economic capital of Egypt was in Fustat until 1169. Egypt flourished and the Fatimids developed an extensive trade network in both the Mediterranean and the Indian Ocean. Their trade and diplomatic ties extended all the way to China and its Song dynasty, which eventually determined the economic course of Egypt during the High Middle Ages. The Fatimid focus on long-distance trade was accompanied by a lack of interest in agriculture and a neglect of the Nile irrigation system.

Unlike western European governments in the era, advancement in Fatimid state offices was based more on merit than on heredity. Members of other branches of Islam, like the Sunnis, were just as likely to be appointed to government posts as Shiites. Tolerance was extended to non-Muslims such as Christians and Jews, who occupied high levels in government based on ability. Religious tolerance was set into place also to ensure the flow of money from all those who were non-Muslims in order to finance the caliphs’ large army of mamluks (an Arabic designation for slaves)

brought in from Circassia by Genoese merchants.
Over time, mamluks became a powerful military knightly caste, not only in Egypt. In some cases, they attained the rank of sultan, while in others they held regional power.

An Egyptian Mamluk warrior in full armor and armed with lance, shield, sabre, and pistols; Georg Moritz Ebers (1837-1898), Picturesque Egypt, Vol. II (1878).

In the Middle Ages, soon after the mamluks took up the practice of chivalry, or furusiyya in Arabic, they came to be known as knights (or faris in Arabic), though un-free until after their service. The faris were trained in the use of various weapons and in wrestling. Their martial art skills were to be honed first on foot and then perfected when mounted. They were popularly used as heavy knightly cavalry by a number of different Islamic kingdoms and empires.

Intellectual life in Egypt during the Fatimid period advanced greatly, with many scholars living in or visiting Egypt and having easy access to sophisticated libraries. Fatimid caliphs gave prominent positions to scholars in their courts, encouraged scholarship, and established libraries in their palaces. Perhaps the most significant feature of Fatimid rule was the freedom of thought, provided that no one infringed on the rights of others. The Fatimids reserved separate pulpits for different Islamic sects, where the scholars expressed their various ideas. They offered patronage to scholars and invited them from all over the world, even when their beliefs conflicted with their own. From the perspective of these developments, the history of the Fatimids is the history of knowledge, literature, and philosophy.
The period is also known for producing exquisite art and architecture.

During the late 11th century and the twelfth century, the Fatimid Caliphate declined rapidly, and in 1171 Saladin invaded their territory. He founded the Ayyubid dynasty and incorporated the Fatimid state into the Abbasid Caliphate.

15.2.2: Islamic Conquest of the Maghreb

Learning Objective

Discuss the effects the Islamic conquest of the Maghreb had on the area

Key Points

• The
  Muslim conquest of North Africa continued the century of rapid Arab Muslim
  military expansion following the death of Muhammad in 632. The conquest of the
  Maghreb region (more or less west of Egypt) took place largely under the
  Umayyad Caliphate (661–750).
• The Umayyad regime was founded by Muawiya ibn
  Abi Sufyan in 661. Syria was the Umayyads’ main power base,  and Damascus was their capital. The Umayyads continued the
  Muslim conquests, creating one of the vastest empires in human history. 
• The Arabs reached the Maghreb in early Umayyad
  times.
  Departing from Damascus, Arab forces marched into
  North Africa, and in 670 the city of Kairouan (south of modern Tunis) was
  established as a refuge and base for further operations. 
• By 698, the Arabs had taken most of North Africa
  from the Byzantines. The area was divided into three provinces: Egypt with its
  governor at al-Fustat, Ifriqiya with its governor at Kairouan, and the Maghreb
  (modern Morocco) with its governor at Tangiers. Arab forces were able to
  capture Carthage in 698 and Tangiers by 708. 
• Arab expansion and the spread of Islam into the
  Maghreb pushed the development of trans-Saharan trade. Though restricted due to
  the cost and dangers, the trade was highly profitable. 
• The conventional historical view that the
  conquest of North Africa by the Umayyad Caliphate effectively ended
  Christianity in Africa for several centuries has been recently questioned by historians who found evidence that Christianity persisted in the region for centuries after the completion of
  the Arab conquest.

Key Terms

Berbers

An ethnic group indigenous to North Africa. They are distributed in an area stretching from the Atlantic Ocean to the Siwa Oasis in Egypt, and from the Mediterranean Sea to the Niger River. Historically, they spoke Berber languages, which together form the Berber branch of the Afro-Asiatic family. Since the Muslim conquest of North Africa in the 7th century, a large number of them inhabiting the Maghreb have acquired different degrees of knowledge of varieties of the languages of North Africa.

caliphate

An area containing an Islamic steward known as a caliph—a person considered a religious successor to the Islamic prophet Muhammad and a leader of the entire Muslim community. During the history of Islam after the Rashidun period, many Muslim states, almost all of them hereditary monarchies, have claimed the right to be defined as such. 

The Maghreb

Much or most of the region of western North Africa or Northwest Africa, west of Egypt. The traditional definition as the region including the Atlas Mountains and the coastal plains of Morocco, Algeria, Tunisia, and Libya was later superseded by the inclusion of Mauritania and the disputed territory of Western Sahara (mostly controlled by Morocco).

the Umayyad Caliphate

The second of the four major Arab caliphates established after the death of Muhammad. This caliphate was centered on the Umayyad dynasty, hailing from Mecca. The Umayyad family had first come to power under the third caliph, Uthman ibn Affan (r. 644–656), but the Umayyad regime was founded by Muawiya ibn Abi Sufyan, long-time governor of Syria, after the end of the First Muslim Civil War in 661 CE/41 AH. Syria remained the Umayyads’ main power base thereafter, and Damascus was their capital.

The Maghreb and Islam

The Maghreb is usually defined as much or most of the region of western North Africa or Northwest Africa, west of today’s Egypt. It is important to keep in mind, however, that because of the constantly changing borders of the first caliphates in the region, the history of the Muslim conquest of the Maghreb is intertwined with the history of the territories east of the border of the region that is today defined as the Maghreb. Consequently, the history of the Muslim conquest of the Maghreb and the history of the Muslim conquest of a greater North African region (reaching far into the Middle East) cannot be sharply distinguished.

The Muslim conquest of North Africa continued the century of rapid Arab Muslim military expansion following the death of Muhammad in 632 CE. By 642, the Arabs controlled Mesopotamia, Egypt, and Syria, had invaded Armenia, and were concluding their conquest of the Persian Empire. It was at this point that Arab military expeditions into North African regions west of Egypt were first launched, continuing for years and furthering the spread of Islam. The conquest of the Maghreb region (more or less west of Egypt) took place largely under
the Umayyad Caliphate (661–750), which was the second of the four major Arab caliphates established after the death of Muhammad. 

The Umayyad Caliphate

The Umayyad family had first come to power under the third caliph, Uthman ibn Affan (644–656), but the Umayyad regime was founded by Muawiya ibn Abi Sufyan, long-time governor of Syria, after the end of the First Muslim Civil War in 661 CE/41 AH. Syria remained the Umayyads’ main power base thereafter, and Damascus was their capital. The Umayyads continued the Muslim conquests, incorporating the Caucasus, Transoxiana, Sindh, the Maghreb, and the Iberian Peninsula (Al-Andalus) into the Muslim world. At its greatest extent, the Umayyad Caliphate covered 15 million square kilometers (5.79 million square miles) and 62 million people (29% of the world’s population), making it the fifth largest empire in history in both area and proportion of the world’s population.

The Conquest

The Arabs reached the Maghreb in early Umayyad times.
The years 665–689 saw another Arab invasion of North Africa. It began with an army of more than 40,000 Muslims advancing through the desert to Barca and marching to the neighborhood of Carthage (today’s Tunisia). Next came a force of 10,000 led by the Arab general Uqba ibn Nafi and enlarged by thousands of others. Departing from Damascus, the army marched into North Africa and in 670 the city of Kairouan (south of modern Tunis) was established as a refuge and base for further operations. This would become the capital of the Islamic province of Ifriqiya, which would cover the coastal regions of today’s western Libya, Tunisia, and eastern Algeria. After this, Uqba ibn Nafi moved forward until reaching the Atlantic coast. In his conquest of the Maghreb, he besieged the coastal city of Bugia as well as Tingi or Tangier, overwhelming what had once been the traditional Roman province of Mauretania Tingitana. However, he was stopped and partially repulsed here. Unable to occupy Tangier, he was recalled from the coast. On his return, a Berber-Byzantine coalition ambushed and crushed his forces near Biskra, killing Uqba and wiping out his troops.

Meanwhile, a new civil war among rivals for the monarchy raged in Arabia and Syria. It resulted in a series of four caliphs between the death of Muawiya in 680 and the accession of Abd al-Malik ibn Marwan (Abdalmalek) in 685. Strife ended only in 692, which brought about a return of domestic order that allowed the caliph to resume the Islamic conquest of North Africa. It began with the renewed invasion of Ifriqiya, but the Byzantine Empire responded with troops from Constantinople, joined by soldiers and ships from Sicily and a powerful contingent of Visigoths from Hispania. This forced the invading Arab army to run back to Kairouan (today’s Tunisia). The following spring, however, the Arabs launched a new assault by sea and land, forcing the Byzantines and their allies to evacuate Carthage. The Arabs slaughtered the civilians, totally destroyed the city, and burned it to the ground, leaving the area desolate for the next two centuries. After the departure of the main force of the Byzantines and their allies, another battle was fought near Utica and the Arabs were again victorious, forcing the Byzantines to leave that part of North Africa for good.

By 698, the Arabs had taken most of North Africa from the Byzantines. The area was divided into three provinces: Egypt with its governor at al-Fustat, Ifriqiya with its governor at Kairouan, and the Maghreb (modern Morocco) with its governor at Tangiers.
Arab forces were able to capture Carthage in 698 and Tangiers by 708. After the fall of Tangiers, many Berbers joined the Muslim army. In 740, Umayyad rule in the region was shaken by a major Berber revolt. After a series of defeats, the caliphate was finally able to crush the rebellion in 742, although local Berber dynasties continued to drift away from imperial control from that time on.

Age of the Caliphs: [dark purple] Expansion under the Prophet Mohammad, 622-632; [dark pink] Expansion during the Patriarchal Caliphate, 632-661; [dark orange] Expansion during the Umayyad Caliphate, 661-750. 

The map shows that under Muhammad, the caliphate expanded to cover most of the Arabian Peninsula from 622-632. Under the Rashidun Caliphate, the caliphate expanded west to Libya, north to Russia, and east to Afghanistan from 632-661. Under the Umayyad Caliphate, the caliphate expanded west to Morocco and east to India from 661-750.

Effects of the Arab Conquest on the Maghreb 

Arab expansion and the spread of Islam into the Maghreb pushed the development of trans-Saharan trade. Though restricted due to the cost and dangers, the trade was highly profitable. Commodities traded included such goods as salt, gold, and ivory. Slaves were also transferred. Arab control over the Maghreb was quite weak. Various Islamic variations, such as the Ibadis and the Shia, were adopted by some Berbers, often leading to scorning of caliph control in favor of other interpretations of Islam. The Arabic language became widespread only later.

The conventional historical view is that the conquest of North Africa by the Umayyad Caliphate effectively ended Christianity in Africa for several centuries. The prevailing view is that the church at that time lacked the backbone of a monastic tradition and was still suffering from the aftermath of heresies, and that this contributed to the early obliteration of the church in the present day Maghreb. However, new scholarship has appeared that disputes these claims. There are reports that Christianity persisted in the region from Tripolitania (present-day western Libya) to present-day Morocco for several centuries after the completion of the Arab conquest by 700.

15.2.3: Nubia

Learning Objective

Explain some of the sources of wealth that the Kingdom of Kush had access to

Key Points

• Nubia is a region along the Nile river located
  in what is today northern Sudan and southern Egypt. It was one of the earliest
  civilizations of ancient Northeastern Africa, with a history that can be traced
  from at least 2000 BCE, and was home to one of the African empires. 
• Before the 4th century, and throughout
  classical antiquity, Nubia was known as Kush, or, in Classical Greek usage,
  included under the name Ethiopia (Aithiopia). With the disintegration of the New
  Kingdom around 1070 BCE, Kush became an independent kingdom centered at Napata
  in modern central Sudan.
• Alara,
  a King of Kush who is the first recorded prince of Nubia, founded the
  Napatan, or Twenty-fifth, Kushite dynasty at Napata in Nubia, now the Sudan. Alara’s
  successor, Kashta, extended Kushite control north to Elephantine and Thebesin
  Upper Egypt. Kashta’s successor, Piye, seized control of Lower Egypt around
  727 BCE, creating the Twenty-fifth dynasty of Egypt. 
• The
  power of the Twenty-fifth dynasty reached a climax under Taharqa. The Nile
  valley empire was as large as it had been since the New Kingdom. New prosperity
  revived Egyptian culture. Religion, the arts, and architecture were restored to
  their glorious Old, Middle, and New Kingdom forms. It was during the Twenty-fifth dynasty that the Nile
  valley saw the first widespread construction of pyramids (many in modern Sudan)
  since the Middle Kingdom. 
• After brief military successes, Taharqa’s
  successor, Tantamani, was chased back
  to Nubia, and never threatened the Assyrian Empire again. A native Egyptian
  ruler, Psammetichus I, was placed on the throne as a vassal of Ashurbanipal.
• Aspelta moved the capital to Meroë,
  considerably farther south than Napata, possibly in 591 BCE.

  In about 300 BCE the move to
  Meroë was made more complete when the monarchs began to be buried there,
  instead of at Napata.
  Kush
  began to fade as a power by the 1st or 2nd century CE.

Key Terms

Nubia

A region along the Nile river located in what is today northern Sudan and southern Egypt. It was one of the earliest civilizations of ancient Northeastern Africa, with a history that can be traced from at least 2000 BCE, and was home to one of the African empires. Before the 4th century, and throughout classical antiquity, it was known as Kush, or, in Classical Greek usage, included under the name Ethiopia (Aithiopia).

the Middle Kingdom

The period in the history of ancient Egypt between about 2000 BCE and 1700 BCE, stretching from the establishment of the Eleventh dynasty to the end of the Twelfth dynasty, although some writers include the Thirteenth and Fourteenth dynasties in the Second Intermediate Period.

the Twenty-fifth dynasty

The last dynasty of the Third Intermediate Period of Ancient Egypt. It was a line of rulers originating in the Nubian Kingdom of Kush—in present-day northern Sudan and southern Egypt—and most saw Napata as their spiritual homeland. They reigned in part or all of Ancient Egypt from 760 BCE to 656 BCE. Their reunification of Lower Egypt, Upper Egypt, and Kush (Nubia) created the largest Egyptian empire since the New Kingdom. They assimilated into society by reaffirming Ancient Egyptian religious traditions, temples, and artistic forms, while introducing some unique aspects of Kushite culture.

the Old Kingdom

The name given to the period in the 3rd millennium BCE when Egypt attained its first continuous peak of civilization—the first of three so-called “Kingdom” periods that mark the high points of civilization in the lower Nile Valley (the others being the Middle Kingdom and the New Kingdom).

Kush

An ancient Nubian kingdom situated on the confluences of the Blue Nile, White Nile, and River Atbara in what is now the Republic of Sudan. It was centered at Napata in its early phase. After its King Kashta invaded Egypt in the 8th century BCE, its emperors ruled as pharaohs of the Twenty-fifth dynasty of Egypt for a century, until they were expelled by the Assyrians under the rule of Esarhaddon.

the New Kingdom

The period in ancient Egyptian history between the 16th century BCE and the 11th century BCE, covering the Eighteenth, Nineteenth, and Twentieth dynasties of Egypt. It followed the Second Intermediate Period and was succeeded by the Third Intermediate Period. It was Egypt’s most prosperous time and marked the peak of its power.

Nubia: Introduction

Nubia is a region along the Nile river located in what is today northern Sudan and southern Egypt. It was one of the earliest civilizations of ancient Northeastern Africa, with a history that can be traced from at least 2000 BCE, and home to one of the African empires. There were a number of large Nubian kingdoms throughout the Postclassical Era, the last of which collapsed in 1504 CE, when Nubia became divided between Egypt and the Sennar sultanate, resulting in the Arabization of much of the Nubian population. Nubia was again united within Ottoman Egypt in the 19th century, and within the Kingdom of Egypt from 1899 to 1956.

Kush

Before the 4th century, and throughout classical antiquity, Nubia was known as Kush, or, in Classical Greek usage, included under the name Ethiopia (Aithiopia). Mentuhotep II (21st century BCE founder of the Middle Kingdom) is recorded to have undertaken campaigns against Kush in the 29th and 31st years of his reign. This is the earliest Egyptian reference to Kush. The Nubian region had gone by other names in the Old Kingdom. During the New Kingdom of Egypt, Nubia (Kush) was an Egyptian colony, from the 16th century BCE. With the disintegration of the New Kingdom around 1070 BCE, Kush became an independent kingdom centered at Napata in modern central Sudan.

Control of Egypt

Alara, a King of Kush who is the first recorded prince of Nubia, founded the Napatan, or Twenty-fifth, Kushite dynasty at Napata in Nubia, now the Sudan. Alara’s successor Kashta extended Kushite control north to Elephantine and Thebesin Upper Egypt. Kashta’s successor, Piye, seized control of Lower Egypt around 727 BCE, creating the Twenty-fifth dynasty of Egypt. 

Piye was defeated by the Assyrian king Shalmaneser V and then his successor Sargon II in the 720s BCE.
The power of the Twenty-fifth dynasty reached a climax under

Piye’s son, Taharqa. The Nile valley empire was as large as it had been since the New Kingdom. New prosperity revived Egyptian culture. Religion, the arts, and architecture were restored to their glorious Old, Middle, and New Kingdom forms. The Nubian pharaohs built or restored temples and monuments throughout the Nile valley, including Memphis, Karnak, Kawa, and Jebel Barkal. It was during the 25th dynasty that the Nile valley saw the first widespread construction of pyramids (many in modern Sudan) since the Middle Kingdom. Writing was introduced to Kush in the form of the Egyptian-influenced Meroitic script circa 700–600 BCE, although it appears to have been wholly confined to the royal court and major temples.

The Kushite Empire

A map showing the full extent of the Kushite Empire in 700 BCE.

At its peak, the Kushite Empire extended from modern-day Lebanon, southwest to the Nile river delta, and south to modern-day Sudan

Between 674 and 671 BCE the Assyrians began their invasion of Egypt under King Esarhaddon. Assyrian armies had been the best in the world since the 14th century BCE, and they conquered this vast territory with surprising speed. Taharqa was driven from power by Esarhaddon and fled to his Nubian homeland. However, the native Egyptian vassal rulers installed by Esarhaddon as puppets were unable to effectively retain full control for long without Assyrian aid. Two years later, Taharqa returned from Nubia and seized control of a section of southern Egypt as far north as Memphis from Esarhaddon’s local vassals. Esarhaddon’s successor, Ashurbanipal, sent a Turtanu (general) with a small but well-trained army that once more defeated Taharqa and ejected him from Egypt, and he was forced to flee back to his homeland in Nubia, where he died two years later.

Taharqa’s successor, Tanutamun, attempted to regain Egypt. He successfully defeated Necho, the subject ruler installed by Ashurbanipal, taking Thebes in the process. The Assyrians, who had a military presence in the north, then sent a large army southwards. Tantamani was routed, and the Assyrian army sacked Thebes to such an extent that it never truly recovered. Tantamani was chased back to Nubia, and never threatened the Assyrian Empire again. A native Egyptian ruler, Psammetichus I, was placed on the throne as a vassal of Ashurbanipal.

Move to Meroë

Aspelta,
a ruler of the kingdom of Kush from c. 600 to c. 580 BCE, moved the capital to Meroë, considerably farther south than Napata, possibly in 591 BCE. It is also possible that Meroë had always been the Kushite capital. Historians believe that the Kushite rulers may have chosen Meroë as their home because, unlike Napata, the region around Meroë had enough woodlands to provide fuel for iron working. In addition, Kush was no longer dependent on the Nile to trade with the outside world. They could instead transport goods from Meroë to the Red Sea coast, where Greek merchants were now traveling extensively.

In about 300 BCE the move to Meroë was made more complete when the monarchs began to be buried there, instead of at Napata. One theory is that this represents the monarchs breaking away from the power of the priests at Napata. Kushite civilization continued for several centuries. In the Napatan period, Egyptian hieroglyphs were used; at this time writing seems to have been restricted to the court and temples. From the 2nd century BCE there was a separate Meroitic writing system. This was an alphabetic script with twenty-three signs used in a hieroglyphic form (mainly on monumental art) and in a cursive form. The latter was widely used. So far, some 1278 texts using this version are known. The script was deciphered, but the language behind it is still a problem, with only a few words understood by modern scholars.

Kush began to fade as a power by the 1st or 2nd century CE, sapped by the war with the Roman province of Egypt and the decline of its traditional industries. Christianity began to gain over the old pharaonic religion, and by the mid-6th century CE the Kingdom of Kush was dissolved.

The eventual influx of Arabs and Nubians to Egypt and Sudan had contributed to the suppression of the Nubian identity following the collapse of the last Nubian kingdom around 1504. A major part of the modern Nubian population became totally Arabized, and some claimed to be Arabs. A vast majority of the Nubian population is currently Muslim, and the Arabic language is their main medium of communication in addition to their indigenous old Nubian language.

On account of the Kingdom of Kush’s proximity to Ancient Egypt—the first cataract at Elephantine usually being considered the traditional border between the two polities—and because the Twenty-fifth dynasty ruled over both states in the 8th century BCE, from the Rift Valley to the Taurus mountains, historians have closely associated the study of Kush with Egyptology. This is in keeping with the general assumption that the complex sociopolitical development of Egypt’s neighbors can be understood in terms of Egyptian models. As a result, the political structure and organization of Kush as an independent ancient state has not received as thorough attention from scholars, and there remains much ambiguity, especially surrounding the earliest periods of the state.

The Nubian region today

With the end of colonialism and the establishment of the Republic of Egypt (1953) and the secession of the Republic of Sudan from unity with Egypt (1956), Nubia was divided between Egypt and Sudan. During the early-1970s, many Egyptian Nubians were forcibly resettled to make room for Lake Nasser after the construction of the dams at Aswan. Nubian villages can now be found north of Aswan on the west bank of the Nile and on Elephantine Island, and many Nubians now live in large cities, such as Cairo.

15.3: Central African Empires

15.3.1: Bornu Empire

The Kanem-Bornu Empire was an empire that existed in modern Chad and Nigeria from the 14th to 19th centuries.

Learning Objective

Locate the Bornu Empire

Key Points

• The Kanem Empire (c. 700–1376) at its height encompassed an area covering much of Chad, parts of southern
  Libya (Fezzan) and eastern Niger, northeastern Nigeria, and northern
  Cameroon. 
• The empire of Kanem formed
  under the nomadic Tebu-speaking Kanembu, who eventually abandoned their
  nomadic lifestyle and founded a capital around 700 CE under the first
  documented Kanembu king (mai), known as Sef of Saif. The capital of Njimi grew
  in power and influence under the Duguwa dynaty.
• The major factor that later influenced the
  history of the state of Kanem was the early penetration of Islam that came with
  North African traders, Berbers, and Arabs.
• By
  the end of the 14th century, internal struggles and external attacks had torn
  Kanem apart. Around 1380, the Bulala forced Mai Umar
  Idrismi to abandon Njimi and move the Kanembu people to Bornu on the western
  edge of Lake Chad. Around 1460,
  a fortified capital at Ngazargamu, to the west of Lake Chad (in
  present-day Niger), was built, but in the early 16th century Mai
  Idris Katakarmabe retook Njimi,
  the former capital. 
• With
  control over both capitals, the Sayfawa dynasty became more powerful than ever.
  The two states were merged, but political authority still rested in Bornu.
  Kanem-Bornu peaked during the reign of the statesman Mai Idris Alwma.
• During the 17th century, the empire began to decline, and finally dissolved at the end of the 19th century.

Key Terms

jihad

An Islamic term referring to the religious duty of Muslims to maintain and spread the religion. Muslims and scholars do not all agree on its definition. Many observers—both Muslim and non-Muslim—as well as the Dictionary of Islam, talk of the term as having two meanings: an inner spiritual struggle and an outer physical struggle against the enemies of Islam, which may take a violent or non-violent form.

Duguwa dynasty

The line of kings (mai) of the Kanem Empire prior to the rise of the Islamic Seyfawa dynasty in 1068. According to the Girgam, they were the kings of Kanem; their dynastic name is derived from Duku, the third king of the Duguwa.

The Kanem Empire

An empire (c. 700–1376) that at its height encompassed an area covering much of Chad, parts of southern Libya (Fezzan) and eastern Niger, northeastern Nigeria, and northern Cameroon. Its history is mainly known from the Royal Chronicle, or Girgam, discovered in 1851 by the German traveler Heinrich Barth.

the Sefuwa dynasty

The name of the kings (or mai, as they called themselves) of the Kanem-Bornu Empire, centered first in Kanem in western Chad, and then, after 1380, in Borno (today’s northeastern Nigeria).

mai

A term that in the history of the Kanem-Bornu Empire was used to roughly refer to a king.

The Kanem Empire

The Kanem Empire (c. 700–1376) at its height encompassed an area covering Chad, parts of southern Libya (Fezzan) and eastern Niger, northeastern Nigeria, and northern Cameroon. The history of the empire is mainly known from the Royal Chronicle, or Girgam, discovered in 1851 by the German traveller Heinrich Barth.

The empire of Kanem began forming around CE 300 under the nomadic Tebu-speaking Kanembu. The Kanembu eventually abandoned their nomadic lifestyle and founded a capital around 700 CE under the first documented Kanembu king (mai), known as Sef of Saif. The capital of Njimi grew in power and influence under Sef’s son, Dugu. This transition marked the beginning of the Duguwa dynasty. The mais of the Duguwa were regarded as divine kings and belonged to the ruling establishment known as the magumi. Despite changes in dynastic power, the magumi and the title of mai would persevere for over a thousand years.

The major factor that later influenced the history of the state of Kanem was the early penetration of Islam that came with North African traders, Berbers, and Arabs. In 1085, a Muslim noble by the name of Hummay removed the last Duguwa king, Selma, from power and thus established the new dynasty of the Sefuwa. The introduction of the Sefuwa dynasty meant radical changes for the Kanem Empire. First, it meant the Islamization of the court and state policies. Second, the identification of founders had to be revised. Islam offered the Sayfawa rulers the advantage of new ideas from Arabia and the Mediterranean world, as well as literacy in administration. But many people resisted the new religion, favoring traditional beliefs and practices. 

Kanem’s expansion peaked during the long and energetic reign of Mai Dunama Dabbalemi (ca. 1221–1259), also of the Sayfawa dynasty. Dabbalemi initiated diplomatic exchanges with sultans in North Africa and apparently arranged for the establishment of a special hostel in Cairo to facilitate pilgrimages to Mecca. During his reign, he declared jihad against the surrounding tribes and initiated an extended period of conquest. However, he also destroyed the national Mune cult and thus precipitated widespread revolt culminating in the uprise of the Tubu and the Bulala. The former was quenched, but the latter continued to linger on, leading finally to the retreat of the Sayfuwa from Kanem to Bornu c. 1380.

The Bornu Empire

By the end of the 14th century, internal struggles and external attacks had torn Kanem apart. Between 1359 and 1383, seven mais reigned, but Bulala invaders (from the area around Lake Fitri to the east) killed five of them. This proliferation of mais resulted in numerous claimants to the throne and a series of destructive wars. Finally, around 1380, the Bulala forced Mai Umar Idrismi to abandon Njimi and move the Kanembu people to Bornu on the western edge of Lake Chad. Over time, the intermarriage of the Kanembu and Bornu peoples created a new people and language, the Kanuri.

But even in Bornu, the Sayfawa dynasty’s troubles persisted. During the first three-quarters of the 15th century, for example, fifteen mais occupied the throne. Around 1460, Mai Ali Dunamami defeated his rivals and began the consolidation of Bornu. He built a fortified capital at Ngazargamu, to the west of Lake Chad (in present-day Niger), the first permanent home a Sayfawa mai had enjoyed in a century. The Sayfawa rejuvenation was so successful that by the early 16th century, Mai Idris Katakarmabe (1487–1509) was able to defeat the Bulala and retake Njimi, the former capital. The empire’s leaders, however, remained at Ngazargamu because its lands were more agriculturally productive and better suited to the raising of cattle.

The Kanem-Bornu Period

With control over both capitals, the Sayfawa dynasty became more powerful than ever. The two states were merged, but political authority still rested in Bornu. Kanem-Bornu peaked during the reign of the statesman Mai Idris Alwma (also spelled Alooma or Alawma; the last decades  of the 16th/the beginning of the 17th century). Alwma introduced a number of legal and administrative reforms based on his religious beliefs and Islamic law (sharia). He sponsored the construction of numerous mosques and made a pilgrimage to Mecca, where he arranged for the establishment of a hostel to be used by pilgrims from his empire. Alwma’s reformist goals led him to seek loyal and competent advisers and allies, and he frequently relied on slaves who had been educated in noble homes. He required major political figures to live at the court, and he reinforced political alliances through appropriate marriages. 

Kanem-Bornu under Alwma was strong and wealthy. Government revenue came from tribute (or booty, if the recalcitrant people had to be conquered), sales of slaves, and duties on and participation in trans-Saharan trade. Unlike West Africa, the Chadian region did not have gold. Still, it was central to one of the most convenient trans-Saharan routes. Between Lake Chad and Fezzan lay a sequence of well-spaced wells and oases, and from Fezzan there were easy connections to North Africa and the Mediterranean Sea. Many products were sent north, including natron (sodium carbonate), cotton, kola nuts, ivory, ostrich feathers, perfume, wax, and hides. However, the most significant export of all were slaves. Imports included salt, horses, silks, glass, muskets, and copper.

Decline

The administrative reforms and military brilliance of Alwma sustained the empire until the mid-17th century, when its power began to fade. By the late 18th century, Bornu rule extended only westward, into the land of the Hausa. Around that time, Fulani people, invading from the west, were able to make major inroads into Bornu. By the early 19th century, Kanem-Bornu was clearly an empire in decline, and in 1808 Fulani warriors conquered Ngazargamu. Usman dan Fodio led the Fulani thrust and proclaimed a jihad (holy war) on the irreligious Muslims of the area. His campaign eventually affected Kanem-Bornu and inspired a trend toward Islamic orthodoxy. But Muhammad al-Kanem contested the Fulani advance. Kanem was a Muslim scholar and non-Sayfawa warlord who had put together an alliance of Shuwa Arabs, Kanembu, and other semi-nomadic peoples. He eventually built a capital at Kukawa (in present-day Nigeria) in 1814. Sayfawa mais remained titular monarchs until 1846. In that year, the last mai, in league with Ouaddai tribesmen, precipitated a civil war. It was at that point that Kanem’s son, Umar, became king, thus ending one of the longest dynastic reigns in regional history.

Bornu in the 18th century

The extent of the Bornu Empire in 1750.

The Bornu empire spanned an area surrounding Lake Chad in central Africa including portions of modern-day Cameroon, Nigeria, Niger, and Chad.

Although the dynasty ended, the kingdom of Kanem-Bornu survived. Umar could not match his father’s vitality ,and gradually allowed the kingdom to be ruled by advisers. Bornu began a further decline as a result of administrative disorganization, regional particularism, and attacks by the militant Ouaddai Empire to the east. The decline continued under Umar’s sons. In 1893, Rabih az-Zubayr led an invading army from eastern Sudan and conquered Bornu. Following his expulsion shortly thereafter, the state was absorbed by the British-ruled entity that eventually became known as Nigeria. From that point on, a remnant of the old kingdom was (and still is) allowed to continue to exist in subjection to the various governments of the country as the Borno Emirate.

15.4: West African Empires

15.4.1: The Ghana Empire

The Ghana Empire was
located in what is now southeastern Mauritania, western Mali, and eastern Senegal, and derived its power from the control of trans-Saharan trade, particularly gold trade.

Learning Objective

Describe the Ghana Empire and the source of its wealth

Key Points

• The Ghana Empire, called the Wagadou (or Wagadu)
  Empire by its rulers, was located in what is now southeastern Mauritania,
  western Mali, and eastern Senegal. There is no consensus on when
  precisely it originated. Different traditions identify its beginnings between as early as 100 CE and the 9th century, with most scholars accepting the 8th or 9th century.  
• Ghana’s economic development and eventual wealth was linked to the growth of
  regular and intensified trans-Saharan trade in gold, salt, and ivory, which
  allowed
  for the development of larger urban centers and encouraged territorial
  expansion to gain control over different trade routes.
• The empire’s capital is believed to have been at
  Koumbi Saleh on the rim of the Sahara desert. According to the description of
  the town left by Al-Bakri in 1067/1068, the capital was actually two cities, but
  “between these two towns are continuous habitations,” so they might
  have merged into one. 
• The
  Ghana Empire lay in the Sahel region to the north of the West African gold
  fields, and was able to profit by controlling the trans-Saharan gold trade, which turned Ghana into an empire of legendary wealth. 
• Ghana appears to have had a central core region and was surrounded by vassal states. One of the earliest sources notes that “under the king’s authority are a number of kings.” These “kings” were presumably the
  rulers of the territorial units often called kafu in Mandinka.
• Although scholars debate how and when Ghana declined and collapsed, it is clear that it was incorporated into the Mali
  Empire around 1240.

Key Terms

Koumbi Saleh

The site of a ruined medieval town in southeast Mauritania that may have been the capital of the Ghana Empire.

the Soninke people

A Mandé people who descend from the Bafour and are closely related to the Imraguen of Mauritania. They were the founders of the ancient empire of Ghana c. 750–1240 CE. Subgroups include the Maraka and Wangara.

the Almoravids

A Berber imperial dynasty of Morocco that formed an empire in the 11th century that stretched over the western Maghreb and Al-Andalus. Founded by Abdallah ibn Yasin, their capital was Marrakesh, a city they founded in 1062. The dynasty originated among the Lamtuna and the Gudala, nomadic Berber tribes of the Sahara, traversing the territory between the Draa, the Niger, and the Senegal rivers.

Disputed Origins of the Ghana Empire

The Ghana Empire, called the Wagadou (or Wagadu) Empire by its rulers,  was located in what is now southeastern Mauritania, western Mali, and eastern Senegal. There is no consensus on when precisely it originated, but its development is linked to the changes in trade that emerged throughout the centuries after the introduction of the camel to the western Sahara (3rd century). By the time of the Muslim conquest of North Africa in the 7th century, the camel had changed the earlier, more irregular trade routes into a trade network running from Morocco to the Niger River. This regular and intensified trans-Saharan trade in gold, salt, and ivory allowed for the development of larger urban centers and encouraged territorial expansion to gain control over different trade routes.

The Ghana ruling dynasty was first mentioned in written records in 830, and thus the 9th century is sometimes identified as the empire’s beginning.
In the medieval Arabic sources the word “Ghana” can refer to a royal title, the name of a capital city, or a kingdom. The earliest reference to Ghana as a town is by al-Khuwarizmi, who died around 846. Research on the site of
Koumbi Saleh (or Kumbi Saleh), a ruined medieval town in southeast Mauritania that may have been the capital of the Ghana Empire, suggests earlier beginnings.
The earliest author to mention Ghana is the Persian astronomer Ibrahim al-Fazari, who, writing at the end of the eighth century, refers to “the territory of Ghana, the land of gold.”

From the 9th century, Arab authors mention the Ghana Empire in connection with the trans-Saharan gold trade. Al-Bakri, who wrote in the 11th century, described the capital of Ghana as consisting of two towns six miles apart, one inhabited by Muslim merchants and the other by the king of Ghana. According to the tradition of the Soninke people, they migrated to southeastern Mauritania in the 1st century, and as early as around 100 CE created a settlement that would eventually develop into the Ghana Empire. Other sources identify the beginnings of the empire some time between the 4th century and the mid-8th century. 

The Ghana Empire at its greatest extent

When the Gold Coast in 1957 became the first country in sub-Saharan Africa to regain its independence from colonial rule, it was renamed in honor of the long-gone empire from which the ancestors to the Akan people of modern-day Ghana are thought to have migrated.

At its peak, the Ghana Empire spanned portions of modern-day southeastern Mauritania, western Mali, and eastern Senegal.

The Capital City: Koumbi Saleh

The empire’s capital is believed to have been at Koumbi Saleh on the rim of the Sahara desert. According to the description of the town left by Al-Bakri in 1067/1068, the capital was actually two cities, but “between these two towns are continuous habitations,” so they might have merged into one. According to al-Bakri, the major part of the city was called El-Ghaba, and was the residence of the king. It was protected by a stone wall and functioned as the royal and spiritual capital of the empire. It contained a sacred grove of trees used for Soninke religious rites in which priests lived. It also contained the king’s palace, the grandest structure in the city. There was also one mosque for visiting Muslim officials. The name of the other section of the city is not recorded. It was surrounded by wells with fresh water, where vegetables were grown. It had twelve mosques, one of which was designated for Friday prayers, and had a full group of scholars, scribes, and Islamic jurists. Because the majority of these Muslims were merchants, this part of the city was probably its primary business district.

Economy and Government

Most of our information about the economy of Ghana comes from al-Bakri. He noted that merchants had to pay a one gold dinar tax on imports of salt and two on exports of salt. Al-Bakri mentioned also copper and “other goods.” Imports probably included products such as textiles and ornaments. Many of the hand-crafted leather goods found in old Morocco also had their origins in the Ghana Empire. Tribute was also received from various tributary states and chiefdoms at the empire’s periphery. The Ghana Empire lay in the Sahel region to the north of the West African gold fields, and was able to profit from controlling the trans-Saharan gold trade. The early history of Ghana is unknown, but there is evidence that North Africa had begun importing gold from West Africa before the Arab conquest in the middle of the 7th century.

Much testimony on ancient Ghana comes from the recorded visits of foreign travelers, who, by definition, could provide only a fragmentary picture. Islamic writers often commented on the social-political stability of the Empire based on the seemingly just actions and grandeur of the king. Al-Bakri questioned merchants who visited the empire in the 11th century and wrote of the king hearing grievances against officials and being surrounded by great wealth. Ghana appears to have had a central core region and was surrounded by vassal states. One of the earliest sources, al-Ya’qubi, writing in 889/890 (276 AH), noted that “under the king’s authority are a number of kings.” These “kings” were presumably the rulers of the territorial units often called kafu in Mandinka. In al-Bakri’s time, the rulers of Ghana had begun to incorporate more Muslims into government, including the treasurer, his interpreter, and “the majority of his officials.”

Decline

Given scarce Arabic sources and the ambiguity of the existing archaeological record, it is difficult to determine when and how Ghana declined and fell. According to Arab tradition, Ghana fell when it was sacked by the Almoravid movement in 1076–1077, but this interpretation has been questioned. Conrad and Fisher (1982) argued that the notion of any Almoravid military conquest is merely perpetuated folklore, derived from a misinterpretation of or limited reliance on Arabic sources. Dierke Lange agreed with the original military incursion theory but argued that this does not preclude Almoravid political agitation, claiming that Ghana’s demise owed much to the latter. Sheryl L. Burkhalter
argued that while the idea of the conquest was unclear, the influence and success of the Almoravid movement in securing West African gold and circulating it widely necessitated a high degree of political control. Furthermore, the archaeology of ancient Ghana does not show signs of the rapid change and destruction that would be associated with any Almoravid-era military conquests.

It is assumed that the ensuing war pushed Ghana over the edge, ending the kingdom’s position as a commercial and military power by 1100. It collapsed into tribal groups and chieftaincies, some of which later assimilated into the Almoravids, while others founded the Mali Empire. Despite ambiguous evidence, it is clear that Ghana was incorporated into the Mali Empire around 1240. 

15.4.2: Mali

The Mali Empire was an empire in West Africa that lasted from 1230 to 1600 and profoundly influenced the culture of the region through the spread of its language, laws, and customs along lands adjacent to the Niger River, as well as other areas consisting of numerous vassal kingdoms and provinces.

Learning Objective

Evaluate each period in the history of the Mali Empire

Key Points

• The Mali Empire, also
  historically referred to as the Manden Kurufaba, was an empire in West
  Africa that lasted from c. 1230 to 1600. It was the largest
  empire in West Africa and profoundly influenced the culture of the region
  through the spread of its language, laws, and customs along lands adjacent to
  the Niger River, as well as other areas consisting of numerous vassal kingdoms
  and provinces.
• Modern oral traditions
  recorded that the Mandinka kingdoms of Mali or Manden had already existed
  several centuries before unification. This area was composed of mountains, savanna, and
  forest providing ideal protection and resources for the population of hunters.
  Those not living in the mountains formed small city-states.
• The
  combined forces of northern and southern Manden defeated the Sosso army at the
  Battle of Kirina in
  approximately 1235. This victory resulted in the fall of the Kaniaga kingdom
  and the rise of the Mali Empire. 
• The
  Mali Empire covered a larger area for a longer period of time than any other
  West African state before or since. What made this possible was the
  decentralized nature of administration throughout the state. Its power came, above all, from trade.
• The Mali Empire reached its largest size and flourished as a trade and intellectual center under the Laye Keita mansas (1312–1389). The
  empire’s total area included nearly all the land between the Sahara Desert and the coastal forests. 
• The 1599 battle of Djenné
  marked the effective end of the great Mali Empire and set the stage for
  a plethora of smaller West African states to emerge. 

Key Terms

mansa

A Mandinka word meaning “sultan” (king) or “emperor.” It is particularly associated with the Keita dynasty of the Mali Empire, which dominated West Africa from the 13th century to the 15th century.

muezzin

The person appointed at a mosque to lead and recite the call to prayer for every event of prayer and worship. The muezzin’s post is an important one, and the community depends on him for an accurate prayer schedule.

Introduction

The Mali Empire,
also historically referred to as the Manden Kurufaba, was an empire in West Africa that lasted from c. 1230 to 1600. The empire was founded by Sundiata Keita and became renowned for the wealth of its rulers. It was the largest empire in West Africa and profoundly influenced the culture of the region through the spread of its language, laws, and customs along lands adjacent to the Niger River, as well as other areas consisting of numerous vassal kingdoms and provinces.

Pre-Imperial Mali

Modern oral traditions recorded that the Mandinka kingdoms of Mali or Manden had already existed several centuries before unification by Sundiata, a Malian mansa also known as Mari Djata I, as a small state just to the south of the Soninké empire of Wagadou (the Ghana Empire). This area was composed of mountains, savanna, and forest providing ideal protection and resources for the population of hunters. Those not living in the mountains formed small city-states such as Toron, Ka-Ba, and Niani.

In approximately 1140, the Sosso kingdom of Kaniaga, a former vassal of Wagadou, began conquering the lands of its old masters. By 1180, it had even subjugated Wagadou, forcing the Soninké to pay tribute. In 1203, the Sosso king Soumaoro of the Kanté clan came to power and reportedly terrorized much of Manden, stealing women and goods from both Dodougou and Kri.

After many years in exile, first at the court of Wagadou and then at Mema, Sundiata,
a prince who eventually became founder of the Mali Empire, was sought out by a Niani delegation and begged to combat the Sosso and free the kingdoms of Manden. Returning with the combined armies of Mema, Wagadou, and all the rebellious Mandinka city-states, Maghan Sundiata, or Sumanguru, led a revolt against the Kaniaga Kingdom around 1234. The combined forces of northern and southern Manden defeated the Sosso army at the Battle of Kirina (then known as Krina) in approximately 1235. This victory resulted in the fall of the Kaniaga kingdom and the rise of the Mali Empire. After the victory, King Soumaoro disappeared and the Mandinka stormed the last of the Sosso cities. Maghan Sundiata was declared “faama of faamas” and received the title “mansa,” which translates roughly to emperor. At the age of eighteen, he gained authority over all the twelve kingdoms in an alliance known as the Manden Kurufaba. He was crowned under the throne name Sunidata Keita, becoming the first Mandinka emperor. And so the name Keita became a clan/family and began its reign.

Imperial Mali (1250–1559)

The Mali Empire covered a larger area for a longer period of time than any other West African state before or since. What made this possible was the decentralized nature of administration throughout the state; yet the mansa managed to keep tax money and nominal control over the area without agitating his subjects into revolt. Officials at the village, town, city, and county levels were elected locally, and only at the state or provincial level was there any palpable interference from the central authority in Niani. Provinces picked their own governors via their own custom (election, inheritance, etc.), but governors had to be approved by the mansa and were subject to his oversight.

The Mali Empire flourished because of trade above all else. It contained three immense gold mines within its borders, and the empire taxed every ounce of gold or salt that entered its borders. By the beginning of the 14th century, Mali was the source of almost half the Old World’s gold, exported from mines in Bambuk, Boure, and Galam. There was no standard currency throughout the realm, but several forms were prominent by region. The Sahelian and Saharan towns of the Mali Empire were organized as both staging posts in the long-distance caravan trade and trading centers for the various West African products (e.g., salt, copper). Ibn Battuta,
a Medieval Moroccan Muslim traveler and scholar, observed the employment of slave labor. During most of his journey, Ibn Battuta traveled with a retinue that included slaves, most of whom carried goods for trade but would also be traded themselves. On the return from Takedda to Morocco, his caravan transported 600 female slaves, which suggests that slavery was a substantial part of the commercial activity of the empire.

The number and frequency of conquests in the late 13th century and throughout the 14th century indicate that the Kolonkan mansas (who ruled at the time) inherited and/or developed a capable military. However, it went through radical changes before reaching the legendary proportions proclaimed by its subjects. Thanks to steady tax revenue and a stable government beginning in the last quarter of the 13th century, the Mali Empire was able to project its power throughout its own extensive domain and beyond. The empire maintained a semi-professional full-time army in order to defend its borders. The entire nation was mobilized, with each clan obligated to provide a quota of fighting-age men. Historians who lived during the height and decline of the Mali Empire consistently recorded its army at 100,000, with 10,000 of that number being made up of cavalry.

The Mali Empire reached its largest size under the Laye Keita mansas (1312–1389). The empire’s total area included nearly all the land between the Sahara Desert and the coastal forests. It spanned modern-day Senegal, southern Mauritania, Mali, northern Burkina Faso, western Niger, the Gambia, Guinea-Bissau, Guinea, the Ivory Coast, and northern Ghana.
The first ruler from the Laye lineage was Kankan Musa Keita (or Moussa), also known as Mansa Musa. He embarked on a large building program, raising mosques and madrasas in Timbuktu and Gao.
He also transformed Sankore from an informal madrasah into an Islamic university.
By the end of Mansa Musa’s reign, the Sankoré University had been converted into a fully staffed university, with the largest collections of books in Africa since the Library of Alexandria. During this period, there was an advanced level of urban living in the major centers of the Mali. Sergio Domian, an Italian art and architecture scholar, wrote the following about this period: “Thus was laid the foundation of an urban civilization. At the height of its power, Mali had at least 400 cities, and the interior of the Niger Delta was very densely populated.”

Extent of the Mali Empire (c. 1350)

The Mali Empire was the largest in West Africa, and profoundly influenced the culture of the region through the spread of its language, laws, and customs along lands adjacent to the Niger River, as well as other areas consisting of numerous vassal kingdoms and provinces.

The map shows that the Mali Empire covered portions of modern-day Senegal, Gambia, Mauritania, Guinea, Mali, Burkina Faso, and Niger.

Collapse

Mansa Mahmud Keita IV was the last emperor of Manden, according to the Tarikh al-Sudan. He launched an attack on the city of Djenné in 1599 with Fulani allies, hoping to take advantage of Songhai’s defeat. Eventually, the army inside Djenné intervened, forcing Mansa Mahmud Keita IV and his army to retreat to Kangaba. The battle marked the effective end of the great Mali Empire and set the stage for a plethora of smaller West African states to emerge. Around 1610, Mahmud Keita IV died. Oral tradition states that he had three sons who fought over Manden’s remains. No single Keita ever ruled Manden after Mahmud Keita IV’s death, thus the end of the Mali Empire.

The old core of the empire was divided into three spheres of influence. Kangaba, the de facto capital of Manden since the time of the last emperor, became the capital of the northern sphere. The Joma area, governed from Siguiri, controlled the central region, which encompassed Niani. Hamana (or Amana), southwest of Joma, became the southern sphere, with its capital at Kouroussa in modern Guinea. Each ruler used the title of mansa, but their authority only extended as far as their own sphere of influence. Despite this disunity in the realm, the realm remained under Mandinka control into the mid-17th century. The three states warred on each other as much if not more than they did against outsiders, but rivalries generally stopped when faced with invasion. This trend would continue into colonial times against Tukulor enemies from the west.

Timbuktu manuscripts, c. 14th century

Timbuktu became a permanent settlement early in the 12th century. After a shift in trading routes, Timbuktu flourished from the trade in salt, gold, ivory, and slaves. It became part of the Mali Empire early in the 14th century.
In its Golden Age, the town’s numerous Islamic scholars and extensive trading network made possible an important book trade. Together with the campuses of the Sankore Madrasah, an Islamic university, this established Timbuktu as a scholarly center in Africa.

15.4.3: Songhai

The Songhai Empire dominated the western Sahel in the 15th and 16th centuries; at its peak, it was one of the largest states in Africa.

Learning Objective

Explain the importance of Timbuktu after locating the Songhai Empire

Key Points

• The Songhai Empire was a state that dominated the western Sahel in the 15th and 16th centuries. At its peak, it was one of the largest states in African history. Initially, the empire was ruled by the Sonni dynasty (c. 1464–1493), but it was later replaced by the Askiya dynasty (1493–1591).
• In the second half of the 14th century, disputes over succession weakened the Mali Empire and in the 1430s Songhai, previously a Mali dependency, gained independence under the Sonni Dynasty. 
• Sonni Ali reigned from 1464 to 1492. In the late 1460s, he conquered many of the Songhai’s neighboring states, including what remained of the Mali Empire. He was arguably the empire’s most formidable military strategist and conqueror. Under his rule, Songhai reached a size of over 1,400,000 square kilometers.
• The internal political chaos and multiple civil wars within the empire allowed Morocco to invade Songhai. The main reason for the Moroccan invasion was to seize control of and revive the trans-Saharan trade in salt and gold. The empire fell to the Moroccans and their firearms in 1591.
• The empire’s power was linked to economic trade; their government system granted authority to local chiefs as long as they did not undermine Songhai policy and tightly controlled labor division system.

Key Terms

Timbuktu

A historical and still-inhabited city in the West African nation of Mali, situated 20 km (12 mi) north of the River Niger on the southern edge of the Sahara Desert. In its Golden Age, the town’s numerous Islamic scholars and extensive trading network enabled an important book trade. Together with the campuses of the Sankore Madrasah, an Islamic university, this established the city as a scholarly center in Africa.

Sahel

The ecoclimatic and biogeographic zone of transition in Africa between the Sahara to the north and the Sudanian Savanna to the south. Having a semi-arid climate, it stretches across the south-central latitudes of Northern Africa between the Atlantic Ocean and the Red Sea.

Sonni dynasty

A dynasty of rulers of the Songhai Empire of medieval West Africa. The first ruler of the dynasty, Sunni Ali Kulun, probably reigned at the end of the fourteenth century. The last ruler, Sonni Baru, ruled until 1493 when the throne was usurped by the Askiya Muhammad I (known also as Askia the Great), the founder of the Askiya Dynasty.

Gao

A city in Mali located on the River Niger that for much of its history was an important commercial center involved in the trans-Saharan trade. Towards the end of the 13th century, it became part of the Mali Empire, but in the first half of the 15th century the town regained its independence and with the conquests of Sonni Ali (ruled 1464–1492) it became the capital of the Songhai Empire.

Introduction

The Songhai Empire (also transliterated as Songhay) was a state that dominated the western Sahel in the 15th and 16th centuries. At its peak, it was one of the largest states in African history. The state is known by its historiographical name, derived from its leading ethnic group and ruling elite, the Songhai. Sonni Ali established Gao as the capital of the empire, although a Songhai state had existed in and around Gao since the 11th century. Other important cities in the empire were Timbuktu and Djenné, conquered in 1468 and 1475 respectively, where urban-centered trade flourished. Initially, the empire was ruled by the Sonni dynasty (c. 1464–1493), but it was later replaced by the Askiya dynasty (1493–1591).

During the second half of the 13th century, Gao and the surrounding region had grown into an important trading center and attracted the interest of the expanding Mali Empire. Mali conquered Gao towards the end of the 13th century and the town would remain under Malian hegemony until the late 14th century. But as the Mali Empire started to disintegrate, the Songhai reasserted control of Gao. Songhai rulers subsequently took advantage of the weakened Mali Empire to expand Songhai rule.

Imperial Songhai

In the second half of the 14th century, disputes over succession weakened the Mali Empire and in the 1430s, Songhai, previously a Mali dependency, gained independence under the Sonni Dynasty. Around thirty years later, Sonni Sulayman Dama attacked Mema, the Mali province west of Timbuktu, paving the way for his successor, Sonni Ali, to turn his country into one of the greatest empires sub-Saharan Africa has ever seen.

Sonni Ali reigned from 1464 to 1492. Like Songhai kings before him, he was a Muslim. In the late 1460s, he conquered many of the Songhai’s neighboring states, including what remained of the Mali Empire. He was arguably the empire’s most formidable military strategist and conqueror. Under his rule, Songhai reached a size of over 1,400,000 square kilometers. During his campaigns for expansion, Ali conquered many lands, repelling attacks from the Mossi to the south and overcoming the Dogon people to the north. He annexed Timbuktu in 1468, after Islamic leaders of the town requested his assistance in overthrowing marauding Tuaregs (Berber people with a traditionally nomadic pastoralist lifestyle) who had taken the city following the decline of Mali. However, Ali met stark resistance after setting his sights on the wealthy and renowned trading town of Djenné (also known as Jenne). After a persistent seven-year siege, he was able to forcefully incorporate it into his vast empire in 1473, but only after having starved its citizens into surrender

Oral traditions present a conflicted image of Sonni Ali. On the one hand, the invasion of Timbuktu destroyed the city; Ali was described as an intolerant tyrant who conducted a repressive policy against the scholars of Timbuktu, especially those of the Sankore region who were associated with the Tuareg. On the other hand, his control of critical trade routes and cities brought great wealth. He is thus often presented as a powerful politician and great military commander and under his reign, Djenné and Timbuktu became great centers of learning.

Songhai Empire in 1500

Songhai rulers took advantage of the weakened Mali Empire to expanded Songhai rule. Under the rule of Sonni Ali, the Songhai surpassed the Malian Empire in area, wealth, and power, absorbing vast areas of the Mali Empire and reaching its greatest extent.

The map shows that the Songhai Empire covered portions of modern-day Gambia, Senegal, Guinea, Mauritania, Mali, Burkina Faso, Niger, Benin, and Nigeria.

Following Ali’s reign, Askia the Great strengthened the Songhai Empire and made it the largest empire in West Africa’s history. At its peak under his reign, the Songhai Empire encompassed the Hausa states as far as Kano (in present-day Nigeria) and much of the territory that had belonged to the Songhai empire in the west. His policies resulted in a rapid expansion of trade with Europe and Asia, the creation of many schools, and the establishment of Islam as an integral part of the empire. Askia opened religious schools, constructed mosques, and opened up his court to scholars and poets from throughout the Muslim world, but he was also tolerant of other religions and did not force Islam on his people. Among his great accomplishments was an interest in astronomical knowledge, which led to the development of astronomy and observatories in the capital. 

Not only was he a patron of Islam but he was also gifted in administration and encouraging trade. He centralized the administration of the empire and established an efficient bureaucracy that was responsible for, among other things, tax collection and the administration of justice. He also demanded that canals be built in order to enhance agriculture, which would eventually increase trade. More importantly than anything he did for trade was the introduction of weights and measures and the appointment of an inspector for each of Songhai’s important trading centers. During his reign Islam became more widely entrenched, trans-Saharan trade flourished, and the Saharan salt mines of Taghaza were brought within the boundaries of the empire.

However, as Askia the Great grew older, his power declined. In 1528, his sons revolted against him and declared Musa, one of Askia’s many sons, as king. Following Musa’s overthrow in 1531, Songhai’s empire went into decline. Multiple attempts at governing the empire by Askia’s sons and grandsons failed and between the political chaos and multiple civil wars within the empire, Morocco invaded Songhai. The main reason for the Moroccan invasion of Songhai was to seize control and revive the trans-Saharan trade in salt and gold. The Songhai military, during Askia’s reign, consisted of full-time soliders, but the king never modernized his army. The Empire fell to the Moroccans and their firearms in 1591.

The Organization of Songhai

At its peak, the Songhai city of Timbuktu became a thriving cultural and commercial center where Arab, Italian, and Jewish merchants all gathered for trade. Economic trade existed throughout the empire due to the standing army stationed in the provinces. Central to the regional economy were independent gold fields. The Julla (merchants) would form partnerships, and the state would protect these merchants and the port cities of the Niger. 

The Songhai economy was based on a clan system. The clan a person belonged to ultimately decided one’s occupation. The most common were metalworkers, fishermen, and carpenters. Lower caste participants consisted of mostly non-farm working immigrants, who at times were provided special privileges and held high positions in society. At the top were noblemen and direct descendants of the original Songhai people, followed by freemen and traders. At the bottom were war captives and European slaves obligated to labor, especially in farming.  Historian James Olson describes the labor system as resembling modern day unions, with the empire possessing craft guilds that consisted of various mechanics and artisans

Criminal justice in Songhai was based mainly, if not entirely, on Islamic principles, especially during the rule of Askia the Great. Upper classes in society converted to Islam while lower classes often continued to follow traditional religions. Sermons emphasized obedience to the king. Sonni Ali established a system of government under the royal court, later to be expanded by Askia, which appointed governors and mayors to preside over local tributary states situated around the Niger valley. Local chiefs were still granted authority over their respective domains as long as they did not undermine Songhai policy.

Tax was imposed onto peripheral chiefdoms and provinces to ensure the dominance of Songhai, and in return these provinces were given almost complete autonomy. Songhai rulers only intervened in the affairs of these neighboring states when a situation became volatile, usually an isolated incident. Each town was represented by government officials, holding positions and responsibilities similar to today’s central bureaucrats.

15.4.4: The Yoruba States

While Ile-Ife is considered to be the spiritual homeland of the Yoruba people, numerous Yoruba states were eventually centralized within the modern Oyo Empire, which grew to become one of the largest African states. 

Learning Objective

Discuss the Yoruba states and their progression towards centralized government

Key Points

• Yorubaland is the cultural region of
  the Yoruba people in West Africa. It spans the modern-day countries of
  Nigeria, Togo, and Benin. Its pre-modern history is based largely on oral
  traditions and legends. According to Yoruba religion, Oduduwa became the ancestor of the first divine king of the Yoruba.
• By the 8th century, Ile-Ife was already a
  powerful Yoruba kingdom, one of the earliest in Africa south of the
  Sahara-Sahel. Almost every Yoruba settlement traces its origin to princes of
  Ile-Ife. As such, Ife can be regarded as the cultural and spiritual homeland of
  the Yoruba nation. 
• Ile-Ife was a settlement of substantial size
  between the 12th and 14th centuries, with houses featuring potsherd pavements.
  It is known worldwide for its ancient and naturalistic bronze as well as
  stone and terracotta sculptures, which reached their peak of artistic
  expression between 1200 and 1400.
• The
  mythical origins of the Oyo Empire lie with Oranyan, who made Oyo his new kingdom and became the first
  oba  with the title of Alaafin of Oyo. The oral tradition holds that he left all his treasures in Ife and
  allowed another king named Adimu to rule there.
• Oyo had grown into a formidable inland power by
  the end of the 14th century, but it suffered military defeats at the hands of
  the Nupe led by Tsoede.
  During
  the 17th century, Oyo began a long stretch of growth, becoming a major empire.
  It never encompassed all Yoruba-speaking people, but it was the most populous
  kingdom in Yoruba history.
  The key to Yoruba rebuilding Oyo was a
  stronger military and a more centralized government. 
• In
  the second half of the 18th century, dynastic intrigues, palace coups, and
  failed military campaigns began to weaken the Oyo Empire. It became a protectorate of Great Britain in 1888 before
  further fragmenting into warring factions. The Oyo state ceased to exist as any
  sort of power in 1896.

Key Terms

Yorubaland

The cultural region of the Yoruba people in West Africa. It spans the modern-day countries of Nigeria, Togo, and Benin, and covers a total land area of 142,114 square kilometers. The geocultural space contains an estimated 55 million people, the overwhelming majority of whom are ethnic Yorubas.

Oranyan

A Yoruba king from the kingdom of Ile-Ife; although last born, he was heir to Oduduwa. According to Yoruba history, he founded Oyo as its first Alaafin at around the year 1300 and one of his children, Eweka I, went on to become the first Oba of the Benin Empire.

Oduduwa

The King of Ile-Ife, whose name is generally ascribed to the ancestral dynasties of Yorubaland because he is held by the Yoruba to have been the ancestor of their numerous crowned kings. Following his posthumous deification, he was admitted to the Yoruba pantheon as an aspect of a primordial divinity of the same name.

Ile-Ife

An ancient Yoruba city in southwestern Nigeria (located in the present-day Osun State) that turned into the first powerful Yoruba kingdom, one of the earliest in Africa south of the Sahara-Sahel.
It is regarded as the cultural and spiritual homeland of the Yoruba nation.

Yorubaland: Introduction

Yorubaland is the cultural region of the Yoruba people in West Africa. It spans the modern-day countries of Nigeria, Togo, and Benin. Its pre-modern history is based largely on oral traditions and legends. According to Yoruba religion, Olodumare, the Supreme God, ordered Obatala to create the earth, but on Obatala’s way he found palm wine, which he drank and became intoxicated. Therefore, his younger brother, Oduduwa, took the three items of creation from him, climbed down from the heavens on a chain, and threw a handful of earth on the primordial ocean, then put a cockerel on it so that it would scatter the earth, thus creating the land on which Ile-Ife would be built. On account of his creation of the world, Oduduwa became the ancestor of the first divine king of the Yoruba, while Obatala is believed to have created the first Yoruba people out of clay. The meaning of the word “ife” in Yoruba is “expansion.” “Ile-Ife” is therefore in reference to the myth of origin, “The Land of Expansion.”

Ile-Ife

Evidence suggests that as of the 7th century BCE, the African peoples who lived in Yorubaland were not initially known as the Yoruba, though they shared a common ethnicity and language group. By the 8th century CE, Ile-Ife was already a powerful Yoruba kingdom, one of the earliest in Africa south of the Sahara-Sahel. Almost every Yoruba settlement traces its origin to princes of Ile-Ife. As such, Ife can be regarded as the cultural and spiritual homeland of the Yoruba nation. Archaeologically, the settlement at Ife can be dated to the 4th century BC, with urban structures appearing in the 12th century CE.

Until today, the Oòni (or king) of Ife claims direct descent from Oduduwa.

The city was a settlement of substantial size between the 12th and 14th centuries, with houses featuring potsherd pavements. Ile-Ife is known worldwide for its ancient and naturalistic bronze as well as stone and terracotta sculptures, which reached their peak of artistic expression between 1200 and 1400. In the period around 1300 the artists at Ife developed a refined and naturalistic sculptural tradition in terracotta, stone, and copper alloy—copper, brass, and bronze—many of which appear to have been created under the patronage of King Obalufon II, the man who today is identified as the Yoruba patron deity of brass casting, weaving, and regalia. After this period, production declined as political and economic power shifted to the nearby kingdom of Benin, which, like the Yoruba kingdom of Oyo, developed into a major empire.

Bronze head from Ife, probably a king, dated around 1300

Ile-Ife is known worldwide for its ancient and naturalistic bronze, stone, and terracotta sculptures, which reached their peak of artistic expression between 1200 and 1400.

The Rise of the Oyo Empire

The mythical origins of the Oyo Empire lie with Oranyan (also known as Oranmiyan), the second prince of Ile-Ife, who made Oyo his new kingdom and became the first oba  with the title of Alaafin of Oyo (Alaafin means “owner of the palace” in Yoruba). The oral tradition holds that he left all his treasures in Ife and allowed another king, named Adimu, to rule there.

Oranyan was succeeded by Oba Ajaka, but he was deposed because he allowed his sub-chiefs too much independence. Leadership was then conferred upon Ajaka’s brother, Shango, who was later deified as the deity of thunder and lightning. Ajaka was restored after Shango’s death. His successor, Kori, managed to conquer the rest of what later historians would refer to as metropolitan Oyo. The heart of metropolitan Oyo was its capital at Oyo-Ile.  

Oyo had grown into a formidable inland power by the end of the 14th century, but it suffered military defeats at the hands of the Nupe led by Tsoede. Sometime around 1535, the Nupe occupied Oyo and forced its ruling dynasty to take refuge in the kingdom of Borgu.
The Yoruba of Oyo went through an interregnum of eighty years as an exiled dynasty. However, they re-established Oyo to be more centralized and expansive than ever. During the 17th century, Oyo began a long stretch of growth, becoming a major empire. It never encompassed all Yoruba-speaking people, but it was the most populous kingdom in Yoruba history.

Oyo Empire and surrounding states c. 1700

The Oyo Empire
rose through the outstanding organizational skills of the Yoruba, gaining wealth from trade and its powerful cavalry. It was the most politically important state in the region from the mid-17th century to the late 18th century, holding sway not only over most of the other kingdoms in Yorubaland, but also over nearby African states, notably the Fon Kingdom of Dahomey in the modern Republic of Benin to the west.

The maps shows Oyo Empire was a Yoruba empire of what is today Western and North central Nigeria, and Eastern Benin.

The Power Of Oyo

The key to Yoruba rebuilding Oyo was a stronger military and a more centralized government. Oba Ofinran succeeded in regaining Oyo’s original territory from the Nupe. A new capital, Oyo-Igboho, was constructed, and the original became known as Old Oyo. The next oba, Eguguojo, conquered nearly all of Yorubaland. Despite a failed attempt to conquer the Benin Empire sometime between 1578 and 1608, Oyo continued to expand. The Yoruba allowed autonomy to the southeast of metropolitan Oyo, where the non-Yoruba areas could act as a buffer between Oyo and Imperial Benin. By the end of the 16th century, the Ewe and Aja states of modern Benin were paying tribute to Oyo.

The reinvigorated Oyo Empire began raiding southward as early as 1682. By the end of its military expansion, its borders would reach to the coast some 200 miles southwest of its capital. At the beginning, the people were concentrated in metropolitan Oyo. With imperial expansion, Oyo reorganized to better manage its vast holdings within and outside Yorubaland. It was divided into four layers defined by relation to the core of the empire. These layers were Metropolitan Oyo, southern Yorubaland, the Egbado Corridor, and Ajaland.

The Oyo Empire developed a highly sophisticated political structure to govern its territorial domains. Scholars have not determined how much of this structure existed prior to the Nupe invasion. Some of Oyo’s institutions are clearly derivative of early accomplishments in Ife.
The Oyo Empire was not a hereditary monarchy, nor an absolute one.
While the Alaafin of Oyo was supreme overlord of the people, he was not without checks on his power. The Oyo Mesi (seven councilors of the states) and the Yoruba Earth cult known as Ogboni kept the Oba’s power in check. The Oyo Mesi spoke for the politicians while the Ogboni spoke for the people, backed by the power of religion. The power of the Alaafin of Oyo in relation to the Oyo Mesi and Ogboni depended on his personal character and political shrewdness.

Oyo became the southern emporium of the trans-Saharan trade. Exchanges were made in salt, leather, horses, kola nuts, ivory, cloth, and slaves. The Yoruba of metropolitan Oyo were also highly skilled in craft making and iron work. Aside from taxes on trade products coming in and out of the empire, Oyo also became wealthy off the taxes imposed on its tributaries. Oyo’s imperial success made Yoruba a lingua franca almost to the shores of the Volta. Toward the end of the 18th century, the empire acted as a go-between for both the trans-Saharan and trans-Atlantic slave trade. By 1680, the Oyo Empire spanned over 150,000 square kilometers. 

Decline

In the second half of the 18th century, dynastic intrigues, palace coups, and failed military campaigns began to weaken the Oyo Empire. Recurrent power struggles and resulting periods of interregnum created a vacuum, in which the power of regional commanders rose.
As Oyo tore itself apart via political intrigue, its vassals began taking advantage of the situation to press for independence. Some of them succeeded, and Oyo never regained its prominence in the region. It became a protectorate of Great Britain in 1888 before further fragmenting into warring factions. The Oyo state ceased to exist as any sort of power in 1896.

15.5: East African Empires

15.5.1: Kingdom of Aksum

The Kingdom of Aksum was a trading nation in the area of northern Ethiopia and Eritrea that existed from approximately 100 to 940 CE.

Learning Objective

Discuss the characteristics of the Kingdom of Aksum

Key Points

• The Kingdom of Aksum (or Axum; also known as the
  Aksumite Empire) was a trading nation in the area of northern Ethiopia and
  Eritrea that existed from approximately 100 to 940 CE.
• The Aksumite Empire at its height extended across most of present-day Eritrea,
  northern Ethiopia, western Yemen, southern Saudi Arabia, and Sudan. The capital
  city of the empire was Aksum, now in northern Ethiopia. 
• By 350, Aksum conquered the
  Kingdom of Kush. Around 520, King Kaleb sent an expedition to Yemen against
  the Jewish Himyarite King Dhu Nuwas, who was persecuting the Christian/Aksumite
  community in his kingdom. These wars may have been
  Aksum’s swan-song as a great power, but it is also possible that
  Ethiopia was affected by the Plague of Justinian.
• Covering
  parts of what is now northern Ethiopia and Eritrea, Aksum was deeply involved
  in the trade network between India and the Mediterranean (Rome, later
  Byzantium).
  Aksum’s
  access to both the Red Sea and the Upper Nile enabled its strong navy to profit
  in trade between various African (Nubia), Arabian (Yemen), and Indian states. 
• The Kingdom of Aksum is
  notable for a number of achievements, such as its own alphabet, the Ge’ez
  alphabet. Under Emperor Ezana, Aksum
  adopted Christianity, which gave rise to the present-day Ethiopian Orthodox
  Tewahedo Church and Eritrean Orthodox Tewahdo Church.
• There
  exist different hypotheses as to why the empire collapsed, but historians agree
  that climate changes must have greatly contributed to the end of Aksum.

Key Terms

Sabaeans

An ancient people speaking an Old South Arabian language who lived in what is today Yemen, in the southwest of the Arabian Peninsula. For some time, they were believed to have established the Kingdom of Aksum, but historians today reject this claim. 

Agaw

An ethnic group inhabiting Ethiopia and neighboring Eritrea. They speak Agaw languages, which belong to the Cushitic branch of the Afro-Asiatic family. They are credited with establishing first settlements in the territory that later became the Kingdom of Aksum.

Ge’ez

A script used as an abugida (syllable alphabet) for several languages of Ethiopia and Eritrea. It originated as anabjad (consonant-only alphabet) and was first used to write the liturgical language of the Ethiopian Orthodox Tewahedo Church and the Eritrean Orthodox Tewahedo Church.

Miaphysitism

A Christological formula of the Oriental Orthodox churches. It holds that in the one person of Jesus Christ, Divinity and Humanity are united in one nature, without separation, without confusion, and without alteration.

Plague of Justinian

A pandemic that afflicted the Eastern Roman (Byzantine) Empire, especially its capital, Constantinople, the Sassanid Empire, and port cities around the entire Mediterranean Sea (541–542). One of the greatest plagues in history, this devastating pandemic resulted in the deaths of an estimated 25 to 50 million people.
It is generally regarded as the first recorded instance of bubonic plague.

Aksum

The capital of the Kingdom of Aksum.

Introduction

The Kingdom of Aksum (or Axum; also known as the Aksumite Empire) was a trading nation in the area of northern Ethiopia and Eritrea that existed from  approximately 100 to 940 CE.
It grew from the proto-Aksumite Iron Age period around the 4th century BCE to achieve prominence by the 1st century CE, and was a major agent in the commercial route between the Roman Empire and Ancient India. The Aksumite rulers facilitated trade by minting their own Aksumite currency. The state established its hegemony over the declining Kingdom of Kush and regularly entered the politics of the kingdoms on the Arabian Peninsula, eventually extending its rule over the region with the conquest of the Himyarite Kingdom. The Persian Prophet Mani regarded Axum as the third of the four greatest powers of his time after Rome and Persia, with China being the fourth.

Origins

Aksum was previously thought to have been founded by Sabaeans,
an ancient people speaking an Old South Arabian language who lived in what is today Yemen, in the southwest of the Arabian Peninsula. However, most scholars now agree that prior to the arrival of Sabaeans, an African settlement by the Agaw people and other Ethiopian groups had already existed in the territory.
Sabaean influence is now thought to have been minor, limited to a few localities, and disappearing after a few decades or a century, perhaps representing a trading or military colony. 

Empire

The Aksumite Empire at its height extended across most of present-day Eritrea, northern Ethiopia, western Yemen, southern Saudi Arabia, and Sudan. The capital city of the empire was Aksum, now in northern Ethiopia.
Today a smaller community, the city of Aksum was once a bustling metropolis and cultural and economic center.
By the reign of Endubis in the late 3rd century, the empire had begun minting its own currency. It converted to Christianity in 325 or 328 under King Ezana, and was the first state ever to use the image of the cross on its coins. The kingdom used the name “Ethiopia” as early as the 4th century. 

By 350, Aksum conquered the Kingdom of Kush. Around 520, King Kaleb sent an expedition to Yemen against the Jewish Himyarite King Dhu Nuwas, who was persecuting the Christian/Aksumite community in his kingdom. After several years of military and political struggles, Yemen fell under the rule of Aksumite general Abreha, who continued to promote the Christian faith until his death, not long after which Yemen was conquered by the Persians. According to Munro-Hay these wars may have been Aksum’s swan-song as a great power, with an overall weakening of Aksumite authority and over-expenditure in money and manpower. It is also possible that Ethiopia was affected by the Plague of Justinian around this time, a disease thought to be the first recorded instance of bubonic plague.

Trading and Culture

Covering parts of what is now northern Ethiopia and Eritrea, Aksum was deeply involved in the trade network between India and the Mediterranean (Rome, later Byzantium), exporting ivory, tortoise shell, gold, and emeralds, and importing silk and spices. Aksum’s access to both the Red Sea and the Upper Nile enabled its strong navy to profit in trade between various African (Nubia), Arabian (Yemen), and Indian states.
The empire traded with Roman traders as well as with Egyptian and Persian merchants.

Extent of Silk Route/Silk Road

The economically important northern Silk Road and southern Spice (Eastern) trade routes. The sea routes around the horn of Arabia and the Indian sub-continent were Aksum’s specialty for nearly a millennium.

The land route covered portions of Egypt, Arabia, Persia, India, and China. The sea/water route covered the Mediterranean Sea and the Indian Ocean.

The main exports of Aksum were agricultural products. The land was fertile during the time of the Aksumites, and the principal crops were grains such as wheat and barley. The people of Aksum also raised cattle, sheep, and camels. Wild animals were hunted for ivory and rhinoceros horns.
The empire was rich with gold and iron deposits, and salt was an abundant and widely traded mineral. 

Aksum benefited from a major transformation of the maritime trading system that linked the Roman Empire and India. Starting around 100 BCE, a route from Egypt to India was established, making use of the Red Sea and using monsoon winds to cross the Arabian Sea directly to southern India. Aksum was ideally located to take advantage of the new trading situation. Adulis soon became the main port for the export of African goods, such as ivory, incense, gold, and exotic animals. Slaves were also traded along the same routes. During the 2nd and 3rd centuries, the Kingdom of Aksum continued to expand their control of the southern Red Sea basin. A caravan route to Egypt, which bypassed the Nile corridor entirely, was established. Aksum succeeded in becoming the principal supplier of African goods to the Roman Empire.

A gold coin of the Aksumite king Ousas, specifically a one third solidus, diameter 17 mm, weight 1.50 gm.

The Aksumite Empire was one of the first African polities economically and politically ambitious enough to issue its own coins, which bore legends in Ge’ez and Greek.

The Aksumite Empire is notable for a number of achievements, such as its own alphabet, the Ge’ez alphabet, which was eventually modified to include vowels. Furthermore, in the early times of the empire, giant obelisks to mark emperors’ (and nobles’) tombs (underground grave chambers) were constructed, the most famous of which is the Obelisk of Aksum.

Under Emperor Ezana, Aksum adopted Christianity in place of its former polytheistic and Judaic religions. This gave rise to the present day Ethiopian Orthodox Tewahedo Church (only granted autonomy from the Coptic Church in 1953), and Eritrean Orthodox Tewahdo Church (granted autonomy from the Ethiopian Orthodox church in 1993). Since the schism with orthodoxy following the Council of Chalcedon (451), it has been an important Miaphysite church, and its scriptures and liturgy continue to be in Ge’ez.

The Rome Stele (known also as the Aksum Obelisk) in Aksum (Tigray Region, Ethiopia)

The Stelae (hawilt/hawilti in local languages) are perhaps the most identifiable part of the Aksumite legacy. These stone towers served to mark graves and represent a magnificent multi-storied palace. They are decorated with false doors and windows in typical Aksumite design. The Stelae have most of their mass out of the ground, but are stabilized by massive underground counter-weights. The stone was often engraved with a pattern or emblem denoting the king’s or the noble’s rank.

Decline

Eventually, the Islamic Empire took control of the Red Sea and most of the Nile, forcing Aksum into economic isolation. Northwest of Aksum, in modern-day Sudan, the Christian states of Makuria and Alodia lasted until the 13th century before becoming Islamic. Aksum, isolated, nonetheless still remained Christian.

After a second golden age in the early 6th century, the empire began to decline, eventually ceasing its production of coins in the early 7th century. Around the same time, the Aksumite population was forced to go farther inland to the highlands for protection, abandoning Aksum as the capital. Arab writers of the time continued to describe Ethiopia (no longer referred to as Aksum) as an extensive and powerful state, although it had lost control of most of the coast and its tributaries. While land was lost in the north, it was gained in the south, and Ethiopia still attracted Arab merchants. The capital was moved to a new location, currently unknown, though it may have been called Ku’bar or Jarmi.

There exist different hypotheses as to why the empire collapsed, but historians agree that climate changes must have greatly contributed to the end of Aksum. As international profits from the exchange network declined, Aksum lost its ability to control its own raw material sources, and that network collapsed. The already persistent environmental pressure of a large population to maintain a high level of regional food production had to be intensified. The result was a wave of soil erosion that began on a local scale circa 650 and attained catastrophic proportions after 700. Presumably, complex socio-economic inputs compounded the problem. These are traditionally reflected in declining maintenance, deterioration and partial abandonment of marginal crop land, shifts to destructive pastoral exploitation, and eventual wholesale and irreversible land degradation. This syndrome was possibly accelerated by an apparent decline in rainfall reliability beginning in 730–760, with the presumed result that an abbreviated modern growing season was reestablished during the 9th century.

 

15.5.2: The Sultanates of Somalia

From the Middle Ages until when Europeans colonized the territory of today’s Somalia, the region was never dominated by a centralized empire, and instead witnessed the development and decline of several powerful trading sultanates whose cultures were deeply rooted in Islam.

Learning Objective

Explain the impact the arrival of Islam had on Somalia

Key Points

• During the Middle Ages, Somalia’s territory
  witnessed the emergence and decline of several powerful sultanates that
  dominated the regional trade. At no point was the region centralized as one
  state, and the development of all the sultanates was linked to the central
  role that Islam played in the area since the 7th century. 
• The Sultanate of Mogadishu was an important
  trading empire that lasted from the 10th century to the 16th century. It maintained a vast trading network, dominated the regional
  gold trade, minted its own Mogadishu currency, and left an extensive
  architectural legacy in present-day southern Somalia. 
• The Ajuran Sultanate ruled over large parts of
  the Horn of Africa between the 13th and late 17th centuries. Through a strong
  centralized administration and an aggressive military stance towards invaders,
  it successfully resisted an Oromo invasion from the west and a Portuguese incursion from the east.
  It left an extensive architectural and engineering legacy.
• The Warsangali Sultanate was a kingdom
  centered in northeastern and in some parts of southeastern Somalia. It was one
  of the largest sultanates ever established in the territory.
• The Sultanate of Ifat was a medieval Muslim
  Sultanate in the Horn of Africa. Led by the Walashma dynasty, it was
  centered in the ancient cities of Zeila and Shewa. The Kingdom ruled over parts
  of what are now eastern Ethiopia, Djibouti, and northern Somalia. Ifat
  first emerged in the 13th century, when Sultan Umar Walashma conquered the Sultanate of Showa in 1285. The Adal Sultanate or Kingdom of
  Adal was founded after the fall of the Sultanate of Ifat. It flourished
  from around 1415 to 1577. 
• Following the Middle Ages and Early Modern
  period, Arab sultanates continued to dominate the region until it fell under
  the colonial control of Europeans in the 19th century. 

Key Terms

Berbers

An ethnic group indigenous to North Africa. They are distributed in an area stretching from the Atlantic Ocean to the Siwa Oasis in Egypt, and from the Mediterranean Sea to the Niger River. Since the Muslim conquest of North Africa in the 7th century, a large number inhabiting the Maghreb have acquired different degrees of knowledge of the various languages of North Africa.

Zeila

A port city in northwestern Somali. It evolved into an early Islamic center with the arrival of Muslims shortly after the hijra. By the 9th century it was the capital of the Ifat Sultanate and a major port for its successor state the Adal Sultanate. It would attain its height of prosperity a few centuries later, in the 16th century. The city subsequently came under Ottoman and British protection in the 18th century.

hijra

The migration or journey of the Islamic prophet Muhammad and his followers from Mecca to Yathrib, later renamed Medina, in 622 CE. In May 622 CE, after being warned of a plot to assassinate him, Muhammad secretly left his home in Mecca to emigrate to Yathrib, 320 kilometers (200 miles) north of Mecca, along with his companion, Abu Bakr.

Somali Sultanates and Islam

During the Middle Ages, Somalia’s territory witnessed the emergence and decline of several powerful sultanates that dominated the regional trade. At no point was the region centralized as one state, and the development of all the sultanates was linked to the central role that Islam played in the area since the 7th century. Islam was introduced to the northern Somali coast from the Arabian Peninsula early on, shortly after the hijra (also hegira), or the journey of the Islamic prophet Muhammad and his followers from Mecca to Yathrib, later renamed Medina, in 622 CE. 

The oldest mosque in the city of Zeila, a major port/trading center, dates to the 7th century. In the late 9th century, Muslims were living along the northern Somali seaboard, and evidence suggests that Zeila was already the headquarters of a Muslim sultanate in the 9th or 10th century. According to I.M. Lewis, the polity was governed by local dynasties consisting of Somalized Arabs or Arabized Somalis, who also ruled over the Sultanate of Mogadishu in the Benadir region to the south. 

Mogadishu

The Sultanate of Mogadishu was an important trading empire that lasted from the 10th century to the 16th century. It rose as one of the pre-eminent powers in the Horn of Africa over the course of the 12th to 14th centuries, before becoming part of the expanding Ajuran Empire. The Mogadishu Sultanate maintained a vast trading network, dominated the regional gold trade, minted its own Mogadishu currency, and left an extensive architectural legacy in present-day southern Somalia. Its first dynasty was established by Sultan Fakr ad-Din. This ruling house was succeeded by the Muzaffar dynasty, and the kingdom subsequently became closely linked with the Ajuran Sultanate. For many years, Mogadishu stood as the pre-eminent city in what is known as the Land of the Berbers, which was the medieval Arab term for the Somali coast. Contemporary historians suggest that the Berbers were ancestors of the modern Somalis.

Location of Mogadishu Sultanate according to 15th-century Italian cartographer Fra Mauro

During his travels, Ibn Sa’id al-Maghribi (1213–1286) noted that the city had already become the leading Islamic center in the region. By the time of the Moroccan traveler Ibn Battuta’s appearance on the Somali coast in 1331, the city was at the zenith of its prosperity. He described Mogadishu as “an exceedingly large city” with many rich merchants that was famous for its high quality fabric that it exported to Egypt, among other places.

Fra Mauro’s map of East Africa

Ajuran

The Ajuran Sultanate ruled over large parts of the Horn of Africa between the 13th and late 17th centuries. Through a strong centralized administration and an aggressive military stance toward invaders, it successfully resisted an Oromo invasion (a series of expansions in the 16th and 17th centuries by the Oromo people from parts of Kenya and Somalia to Ethiopia)

from the west and a Portuguese incursion from the east during the Gaal Madow and the Ajuran-Portuguese wars. Trading routes dating from the ancient and early medieval periods of Somali maritime enterprise were strengthened or re-established, and foreign trade and commerce in the coastal provinces flourished, with ships sailing to and coming from many kingdoms and empires in East Asia, South Asia, Europe, the Near East, North Africa, and East Africa.

The Ajuran Sultanate left an extensive architectural legacy, being one of the major medieval Somali powers engaged in castle and fortress building. Many of the ruined fortifications dotting the landscapes of southern Somalia today are attributed to the Ajuran Sultanate’s engineers. During the Ajuran period, many regions and people in the southern part of the Horn of Africa converted to Islam because of the theocratic nature of the government. The royal family, the House of Garen, expanded its territories and established its hegemonic rule through a skillful combination of warfare, trade linkages, and alliances.

As a hydraulic empire, the Ajuran monopolized the water resources of the Shebelle and Jubba rivers. It also constructed many of the limestone wells and cisterns of the state that are still in use today. The rulers developed new systems for agriculture and taxation, which continued to be used in parts of the Horn of Africa as late as the 19th century. The tyrannical rule of the later Ajuran rulers caused multiple rebellions to break out in the sultanate, and at the end of the 17th century the Ajuran state disintegrated into several successor kingdoms and states, the most prominent being the Geledi Sultanate.

Warsangali

The Warsangali Sultanate was a kingdom centered in northeastern and in some parts of southeastern Somalia. It was one of the largest sultanates ever established in the territory, and, at the height of its power, included the Sanaag region and parts of the northeastern Bari region of the country, an area historically known as Maakhir or the Maakhir Coast. The Sultanate was founded in the late 13th century in northern Somalia by a group of Somalis from the Warsangali branch of the Darod clan. It survived until the British colonization of the region in the 19th century.

The Ajuuraan, Adal, and Warsangali Sultanates in the 15th century 

Already in the classical (ancient) period, the Somali city-states of Mosylon, Opone, Malao, Sarapion, Mundus, Essina, and Tabae developed a lucrative trade network connecting with merchants from Phoenicia, Ptolemic Egypt, Greece, Parthian Persia, Sheba, Nabataea, and the Roman Empire. They used the ancient Somali maritime vessel known as the beden to transport their cargo.

The map shows the Horn of Africa. The Adal Sultanate was located on the Gulf of Tadjoura in modern-day Djibouti, the Warsangali Sultanate was located to the east in modern-day northeastern Somalia, the Ajuuraan Empire was located to the south on the Benadir Coast of modern-day Somalia, and the Portuguese Empire was located south of that near Pate, on the modern-day northeast coast of Kenya.

Ifat

The Sultanate of Ifat was a medieval Muslim Sultanate in the Horn of Africa. Led by the Walashma dynasty, it was centered in the ancient cities of Zeila and Shewa. The sultanate ruled over parts of what are now eastern Ethiopia, Djibouti, and northern Somalia.
Ifat first emerged in the 13th century, when Sultan Umar Walashma (or his son Ali, according to another source) is recorded as having conquered the Sultanate of Showa in 1285. Historian Taddesse Tamrat explains Sultan Umar’s military acts as an effort to consolidate the Muslim territories in the Horn of Africa in much the same way as Emperor Yekuno Amlak was attempting to consolidate the Christian territories in the highlands during the same period. These two states inevitably came into conflict over Shewa and territories further south. A lengthy war ensued, but the Muslim sultanates of the time were not strongly unified. Ifat was finally defeated by Emperor Amda Seyon I of Ethiopia in 1332.

Despite this setback, the Muslim rulers of Ifat continued their campaign. The Ethiopian emperor branded the Muslims of the surrounding area “enemies of the Lord” and invaded Ifat in the early 15th century. After much struggle, Ifat’s troops were defeated. Ifat eventually disappeared as a distinct polity following the Conquest of Abyssinia led by Ahmad ibn Ibrahim al-Ghazi and the subsequent Oromo migrations into the area. Its name is preserved in the modern-day Ethiopian district of Yifat, situated in Shewa.

Adal

The Adal Sultanate or Kingdom of Adal was founded after the fall of the Sultanate of Ifat. It flourished from around 1415 to 1577. The sultanate was established predominately by local Somali tribes, as well as Afars, Arabs, and Hararis. At its height, the polity controlled large parts of Somalia, Ethiopia, Djibouti, and Eritrea.
During its existence, Adal had relations and engaged in trade with other polities in northeast Africa, the Near East, Europe, and South Asia. Many of the historic cities in the Horn of Africa, such as Abasa and Berbera, flourished under its reign, with courtyard houses, mosques, shrines, walled enclosures, and cisterns. Adal attained its peak in the 14th century, trading in slaves, ivory, and other commodities with Abyssinia and kingdoms in Arabia through its chief port of Zeila. 

Modern Sultanates

Following the Middle Ages and Early Modern period, Arab sultanates continued to dominate the region, until it fell under the colonial control of Europeans in the 19th century. The Sultanate of the Geledi ruled parts of the Horn of Africa during the late 17th century and 19th century. The Sultanate was governed by the Gobroon Dynasty. It was eventually incorporated into Italian Somaliland in 1908, and ended with the death of Osman Ahmed in 1910. 

The Majeerteen Sultanate was a Somali Sultanate centered in the Horn of Africa. Ruled by Boqor Osman Mahamuud during its golden age, it controlled much of northern and central Somalia in the 19th and early 20th centuries. The polity had all of the organs of an integrated modern state and maintained a robust trading network. It also entered into treaties with foreign powers and exerted strong centralized authority on the domestic front.
In late 1889, Boqor Osman entered into a treaty with Italy, making his kingdom a protectorate known as Italian Somaliland. 

Finally,
the Sultanate of Hobyo, in present-day northeastern and central Somalia and eastern Ethiopia, was established in the 1870s by Yusuf Ali Kenadid, cousin of Boqor Osman Mahamuud.
As with the Majeerteen Sultanate, the Sultanate of Hobyo exerted a strong centralized authority during its existence, and possessed all of the organs and trappings of an integrated modern state: a functioning bureaucracy, a hereditary nobility, titled aristocrats, a state flag, and a professional army.
In late 1888, Sultan Kenadid entered into a treaty with the Italians, making his realm an Italian protectorate, but the sultanate eventually dissolved in 1926. 

15.5.3: Ethiopia and Eritrea

Following the ancient kingdom of D’mt and the medieval empire of Aksum, some of current Ethiopia’s territory was dominated by the Christian Ethiopian Empire established by the Zagwe dynasty in the 12th century, and later ruled by the Solomonic dynasty until the 20th century. 

Learning Objective

Compare and contrast Ethiopia with other East African empires

Key Points

• The
  first kingdom thought to have existed in today’s Ethiopia was the kingdom of
  D’mt, with its capital at Yeha, where a Sabaean-style temple was built around
  700 BCE. It rose to power around the 10th century BCE, but little is certain about
  its development and decline. Aksum
  is the first verifiable kingdom of great power to rise in the region. It was a
  trading empire in the area of northern Ethiopia and Eritrea, and existed
  approximately from 100 to 940 CE.
• An
  Agaw lord named Mara Takla Haymanot founded the Zagwe dynasty in 1137. The new dynasty established its capital at Roha and controlled a smaller area than the Aksumites, with its core in the
  Lasta region. The Zagwe seem to have ruled over a mostly peaceful state with a
  flourishing urban culture. 
• Around
  1270, a new dynasty was established in the Abyssinian highlands under Yekuno
  Amlak. A 14th century legend was created to legitimize the Solomonic
  dynasty, under which the chief provinces became Tigray (northern), what is now
  Amhara (central), and Shewa (southern). 
• Towards
  the close of the 15th century, the Portuguese missions into Ethiopia began, and Pêro da
  Covilhã arrived in Ethiopia in 1490. In 1507, an Armenian named Matthew was sent by the emperor to the king of
  Portugal to request his aid against the Muslims. In 1520, a Portuguese fleet,
  with Matthew on board, entered the Red Sea in compliance with this request.
• Between 1528 and 1543, wars with Somali sultanates dominated the Ethiopian Empire. With the support of the Portuguese, Ethiopia emerged victorious from the conflict. 
• In
  the 18th century, the so-called Zemene Mesafint (Era of the Princes) began.
  It was a period in Ethiopian history when the country was divided into
  several regions with no effective central authority. It ended in the mid-19th century, and Ethiopia was one of few territories not colonized by Europeans. 

Key Terms

Hatata

A 1667 ethical philosophical treatise by Ethiopian philosopher Zera Yacob. The philosophy is theistic in nature and came during a period when African philosophical literature was significantly oral in character. It has often been compared by scholars to Descartes’ Discours de la methode (1637). Yacob wrote his treatise as an investigation of the light of reason. Yacob is most noted for this philosophy surrounding the principle of harmony.

Aksum

A trading nation in Eritrea and Northern Ethiopia Tigray that existed approximately from 100 to 940 CE. It grew from the proto-Aksumite Iron Age period c. the 4th century BCE to achieve prominence by the 1st century CE, and was a major agent in the commercial route between the Roman Empire and Ancient India.

the Zagwe dynasty

A historical kingdom in present-day northern Ethiopia. Centered at Lalibela, it ruled large parts of the territory from approximately 900 to 1270, when the last Zagwe King Za-Ilmaknun was killed in battle by the forces of Yekuno Amlak.

the Solomonic dynasty

The former ruling imperial house of the Ethiopian Empire. Its members claim patrilineal descent from King Solomon of Israel and the Queen of Sheba.
Yekuno Amlak claimed direct male-line descent from the old Aksumite royal house that the Zagwes had replaced on the throne. It continued to rule Ethiopia with few interruptions until 1974, when the last emperor, Haile Selassie I, was deposed.

Fasil Ghebbi

A fortress-city within Gondar, Ethiopia. It was founded in the 17th and 18th centuries by Emperor Fasilides (Fasil) and was the home of Ethiopia’s emperors. Its unique architecture shows diverse influences, including Nubian styles.

Zemene Mesafint

Known also as Era of the Princes, was a period (18th century to mid-19th century) in Ethiopian history when the country was divided into several regions with no effective central authority. It was a period in which the emperors were reduced to figureheads confined to the capital city of Gondar.

Ancient and Medieval Ethiopia

The first kingdom thought to have existed in today’s Ethiopia was the kingdom of D’mt, with its capital at Yeha, where a Sabaean-style temple was built around 700 BCE. It rose to power around the 10th century BCE, but little is certain about its development and decline. It is not known
whether D’mt ended as a civilization before Aksum’s (its one possible successor) early stages, evolved into the Aksumite state, or was one of the smaller states united in the Aksumite kingdom possibly around the beginning of the 1st century.
Aksum is the first verifiable kingdom of great power to rise in the region. It was a trading empire in the area of northern Ethiopia and
Eritrea that existed approximately from 100 to 940 CE, and was a major agent in the commercial route between the
Roman Empire and Ancient India.
About 1000 (presumably c. 960, though the date is uncertain), a non-Christian female ruler conquered the area. Little is known about this episode, but the later Solomonic Dynasty used the legend of a princess named Yodit to legitimize its rule.

At one point during the next century, the last of Yodit’s successors were overthrown by an Agaw lord named Mara Takla Haymanot, who founded the Zagwe dynasty in 1137—the year that marks the beginning of the Ethiopian Empire, known also as Abyssinia. The new Zagwe dynasty established its capital at Roha (also called Lalibela), where they built a series of monolithic churches. The architecture of the Zagwe shows a continuation of earlier Aksumite traditions. The Zagwe dynasty controlled a smaller area than the Aksumites, with its core in the Lasta region. The Zagwe seem to have ruled over a mostly peaceful state with a flourishing urban culture.
Unlike the Aksumites, they were very isolated from the other Christian nations, although they did maintain a degree of contact through Jerusalem and Cairo. Later, as the Crusades were dying out in the early 14th century, the Ethiopian King Wedem Ar’ad dispatched a thirty-man mission to Europe, where they traveled to Rome to meet the Pope and then, since the Medieval Papacy was in schism, they traveled to Avignon to meet the Antipope. During this trip, the Ethiopian mission also traveled to France, Spain, and Portugal in the hopes of building an alliance against the Muslim states that threatened Ethiopia’s existence. 

The Solomonic Dynasty 

Around 1270, a new dynasty was established in the Abyssinian highlands under Yekuno Amlak, who deposed the last of the Zagwe kings and married one of his daughters. According to legends, the new dynasty were male-line descendants of Aksumite monarchs. The 14th century legend was created to legitimize the Solomonic dynasty, under which the chief provinces became Tigray (northern), what is now Amhara (central), and Shewa (southern). The seat of government, or rather of overlordship, was usually in Amhara or Shewa, and the ruler exacted tribute, when he could, from the other provinces. At the time, Ethiopia engaged in military reforms and imperial expansion that left it dominating the Horn of Africa, especially under the rule of Amda Seyon I (1314–44). Artistic and literary advancement of the period came together with a decline in urbanization, as the Solomonic emperors did not have a fixed capital but rather moved around the empire in mobile camps.

Towards the close of the 15th century, the Portuguese missions into Ethiopia began. A belief had long prevailed in Europe of the existence of a Christian kingdom in the far east whose monarch was known as Prester John, and various expeditions had been sent to find it. Among others engaged in this search was Pêro da Covilhã, who arrived in Ethiopia in 1490. Da Covilhã remained in the country, but in 1507 an Armenian named Matthew was sent by the emperor to the king of Portugal to request his aid against the Muslims. In 1520, a Portuguese fleet, with Matthew on board, entered the Red Sea in compliance with this request, and an embassy from the fleet visited the emperor, Lebna Dengel, and remained in Ethiopia for about six years. One of this embassy was Father Francisco Álvares, who wrote one of the earliest accounts of the country.

Lebna Dengel, nəgusä nägäst (emperor) of Ethiopia and a member of the Solomonic dynasty. Portrait by Cristofano dell’Altissimo, c. 1552-1568, Uffizi, Florence.

The Solomonic dynasty was a bastion of Judaism and later of Ethiopian Orthodox Christianity. It is considered to have ruled Ethiopia in the 10th century BCE. Records of the dynasty’s history were reported to have been maintained by the Ethiopian Orthodox monasteries to near antiquity. However, if such records existed, most were lost as a result of the destruction of Orthodox monasteries. The Dynasty re-established itself in 1270 CE, when when Yekuno Amlak overthrew the last ruler of the Zagwe dynasty.

Wars with Somali Sultanates 

Between 1528 and 1540, armies of Muslims, under the Imam Ahmad ibn Ibrihim al-Ghazi, entered Ethiopia from the low country to the southeast and overran the Abyssinian Kingdom, obliging the Emperor to take refuge in the mountains. The ruler turned to the Portuguese again. João Bermudes, a subordinate member of the mission of 1520, was sent to Lisbon, although it is not know what his specific role was. In response to Bermudes’s message, a Portuguese fleet under the command of Estêvão da Gama was sent from India and arrived at Massawa in 1541. Under the command of Cristóvão da Gama, younger brother of the admiral, the Portuguese and local troops were initially successful against the enemy. However, they were subsequently defeated at the Battle of Wofla (1542), and their commander was captured and executed. Nonetheless, in 1543, Al-Ghazi was shot and killed in the Battle of Wayna Daga, and his forces were totally routed. Following the victory, quarrels arose between the emperor and Bermudes, who now urged the emperor to publicly profess his obedience to Rome. The emperor refused, and Bermudes was obliged to leave. 

Gondar and Zemene Mesafint 

Upon the death of Emperor Susenyos and the accession of his son Fasilides in 1633, the Jesuits,
who had accompanied or followed the Gama expedition, were expelled and the native religion restored to official status. Fasilides made Gondar his capital in 1636 and built a castle there, which would grow into the castle complex known as the Fasil Ghebbi, or Royal Enclosure. During this time, Ethiopian philosophy flourished, with philosophers Zera Yacob and Walda Heywat leading the way. Yaqob is known for his treatise on religion, morality, and reason, known as Hatata.

The Royal Enclosure (Fasil Ghebbi) and Gondar

Emperor Fasilides made Gondar his capital and built a castle there, which would grow into the castle complex known as the Fasil Ghebbi, or Royal Enclosure. Fasilides also constructed several churches in Gondar, many bridges across the country, and expanded the Church of Our Lady Mary of Zion in Aksum.

In the 18th century, the so-called Zemene Mesafint (Era of the Princes) began. It was a period in Ethiopian history when the country was divided into several regions with no effective central authority. The emperors were reduced to little more than figureheads confined to the capital city of Gondar. Historians debate what triggered Zemene Mesafint, pointing to various events ranging from 1706 to 1769 as the beginning of the era. A religious conflict between settling Muslims and traditional Christians, between nationalities they represented, and between feudal lords dominated the region at the time. The power lay ever more openly in the hands of the great nobles and military commanders. 

Bitter religious conflicts contributed to hostility toward foreign Christians and Europeans; they persisted into the 20th century and were a factor in Ethiopia’s isolation until the mid-19th century, when the first British mission was sent in 1805 to conclude an alliance with Ethiopia and obtain a port on the Red Sea in case France conquered Egypt. This isolation was pierced by very few European travelers. 

The first years of the 19th century were disturbed by fierce campaigns between Ras Gugsa of Begemder and Ras Wolde Selassie of Tigray, who fought over control of the figurehead emperor Egwale Seyon. Wolde Selassie was eventually the victor and practically ruled the whole country until his death in 1816 at the age of eighty. Dejazmach Sabagadis of Agame succeeded Wolde Selassie in 1817, through force of arms, to become warlord of Tigre.
Under the emperors Tewodros II (1855–1868), Yohannes IV (1872–1889), and Menelek II (1889–1913), the empire began to emerge from its isolation. Under Emperor Tewodros II, Zemene Mesafint was brought to an end.

Ethiopia was never colonized by a European power, but was occupied by Italians in 1936. However, several colonial powers had interests in and designs on Ethiopia in the context of the 19th century colonization of Africa.

15.6: Southern African States

15.6.1: Namibia

Today’s Namibia did not witness the emergence of ancient or medieval kingdoms and empires that would largely dominate its territory, but evidence suggests that a number of diverse peoples settled there as a result of ancient, medieval, and modern migrations.

Learning Objective

Describe the tribal makeup of Namibia

Key Points

• Not much is known about pre-colonial Namibia, but evidence suggests
  that a number of diverse peoples settled there as a result of ancient,
  medieval, and modern migrations.
• The San (also called Bushmen) are generally
  assumed to have been the earliest inhabitants of the region comprising today’s
  Namibia, Botswana, and South Africa. Until
  about 2,000 years ago, they were the only inhabitants in Namibia, but around that time the Nama (also known
  as Namaqua), the Khoikhoi, and the Hottentots settled around the Orange River
  in the south, on the border between Namibia and South Africa, where they kept
  herds of sheep and goats. 
• In the 9th century, the Damara entered Namibia.
  The Damara do not relate to the other Khoisan peoples, although they share a
  similar language. It is believed that they separated themselves early on from
  their Bantu brothers of Southern and Central Africa and moved to Southwest
  Africa. 
• The Ovambo, and the smaller and closely related
  group Kavango, lived in northern Namibia and southern Angola. The Kavango also lived in western Zambia. They migrated south from the upper regions of
  Zambezi around the 14th century. Their economy was based on
  farming, cattle, and fishing, but they also produced metal goods. 
• During the 17th century, the Herero, a pastoral,
  nomadic people keeping cattle, moved into Namibia. They came from the east
  African lakes and entered Namibia from the northwest.  
• In the 19th century white farmers, mostly Boers,
  moved farther north, pushing the indigenous Khoisan peoples, who put up a
  fierce resistance, across the Orange River. Known as Oorlams, these Khoisan
  adopted Boer customs and spoke a language similar to Afrikaans. 
• Europeans first arrived in Namibia in the 15th century, and the territory became one of the first European (German) colonies on the continent. 

Key Terms

the Herero and Namaqua genocide

A campaign of racial extermination and collective punishment that the German Empire undertook in German South-West Africa (modern-day Namibia) against the Herero and Nama people. It is considered one of the first genocides of the 20th century. It took place between 1904 and 1907 during the Herero Wars.

Herero Wars

A series of colonial wars between the German Empire and the Herero people of German South-West Africa (present-day Namibia, c. 1903–1908).

Khoisan peoples

A unifying name for two groups of peoples of Southern Africa who share physical and putative linguistic characteristics distinct from the Bantu majority of the region. Culturally, they are divided into the foraging San, or Bushmen, and the pastoral Khoi, or more specifically Khoikhoi, previously known as Hottentots.

Zambezi

The fourth-longest river in Africa, the longest east flowing river in Africa, and the largest river flowing into the Indian Ocean from Africa. The 2,574-kilometer-long river (1,599 miles) rises in Zambia and flows through eastern Angola, along the eastern border of Namibia and the northern border of Botswana, then along the border between Zambia and Zimbabwe to Mozambique, where it crosses the country to empty into the Indian Ocean.

The Peoples Of Pre-Colonial Namibia

Unlike in other territories in Africa, no powerful ancient or medieval kingdoms and empires served as predecessors of the Namibian state today. Not much is known about pre-colonial Namibia, but evidence suggests that a number of diverse peoples settled there as a result of ancient, medieval, and modern migrations. The San (also called Bushmen) are generally assumed to have been the earliest inhabitants of the region comprising today’s Namibia, Botswana, and South Africa. The San were hunters and gatherers with a nomadic lifestyle. The most important part of their diet consisted of fruits, nuts, and roots, but they also hunted different kinds of antelopes.
Until about 2,000 years ago, the original hunters and gatherers of the San people were the only inhabitants in Namibia, but around that time, the Nama (also known as Namaqua), the Khoikhoi, and the Hottentots settled around the Orange River in the south, on the border between Namibia and South Africa, where they kept herds of sheep and goats. Both the San and the Nama were Khoisan peoples, and spoke languages from the Khoisan language group.

In the 9th century, the Damara entered Namibia. The Damara do not relate to the other Khoisan peoples, although they share a similar language. It is believed that they separated themselves early on from their Bantu brothers of Southern and Central Africa and moved to Southwest Africa. It is unclear where they came from, but they settled in the grasslands in central Namibia, known as Damaraland.

The Ovambo, and the smaller and closely related group Kavango, lived in northern Namibia and southern Angola. The Kavango also lived in western Zambia.
They migrated south from the upper regions of Zambezi around the 14th century.
Their economy was based on farming, cattle, and fishing, but they also produced metal goods. Both groups belonged to the Bantu nation. They rarely ventured south to the central parts of the country, where the conditions did not suit their farming way of life. However, they extensively traded their knives and agricultural implements.
The Ovambo constitute the largest ethnic group and a majority of the population in today’s Namibia. 

During the 17th century, the Herero, a pastoral, nomadic people keeping cattle, moved into Namibia. They came from the east African lakes and entered Namibia from the northwest. First they resided in Kaokoland, but in the middle of the 19th century some tribes moved farther south and into Damaraland. A number of tribes remained in Kaokoland. During German occupation of this region, about one third of the population was wiped out in a genocide that continues to provoke historical and political debates. Known as the Herero and Namaqua genocide, it was a campaign of racial extermination and collective punishment. It is considered one of the first genocides of the 20th century, taking place between 1904 and 1907 during the Herero Wars.

Herero, c. 1910

During the 17th century the Herero, a pastoral, nomadic people keeping cattle, moved into Namibia. They came from the east African lakes and entered Namibia from the northwest.

Photograph of seven members of a Herero family

In the 19th century white farmers, mostly Boers, moved farther north, pushing the indigenous Khoisan peoples, who put up a fierce resistance, across the Orange River. Known as Oorlams, these Khoisans adopted Boer customs and spoke a language similar to Afrikaans. Armed with guns, the Oorlams caused instability as more and more came to settle in Namaqualand, and eventually conflict arose between them and the Nama. Under the leadership of Jonker Afrikaner, the Oorlams used their superior weapons to take control of the best grazing land. In the 1830s, Jonker Afrikaner concluded an agreement with the Nama chief Oaseb whereby the Oorlams would protect the central grasslands of Namibia from the Herero who were then pushing south. Eventually, warfare over land control between the Herero and the Oorlams, as well as between the two of them and the Damara, who were the original inhabitants of the area, broke out. The Damara were displaced by the fighting and many were killed.

Europeans in Namibia

The first European to set foot on Namibian soil was the Portuguese Diogo Cão, in 1485 during an exploratory mission along the west coast of Africa. The next European to visit Namibia was also a Portuguese, Bartholomeu Dias, who stopped there on his way to round the Cape of Good Hope. However, as the inhospitable Namib Desert constituted a formidable barrier, neither of the Portuguese explorers went far inland.

In 1793, the Dutch authority in the Cape decided to take control of Walvis Bay, since it was the only good deep-water harbor along the Skeleton Coast. When the United Kingdom took control of the Cape Colony in 1797, they also took over Walvis Bay. But white settlement in the area was limited, and neither the Dutch nor the British penetrated far into the country. One of the first European groups to show interest in Namibia were the missionaries. In 1805 the London Missionary Society began working in Namibia, moving north from the Cape Colony. In 1811 they founded the town Bethanie in southern Namibia, where they built a church, which today is Namibia’s oldest building.

In the 1840s the German Rhenish Mission Society started working in Namibia and cooperating with the London Missionary Society. It was not until the 19th century, when European powers sought to carve up the African continent between them in the so-called Scramble for Africa, that Europeans—predominately Germany and Great Britain— became interested in Namibia. The first territorial claim on a part of Namibia came when Britain occupied Walvis Bay, confirming the settlement of 1797, and permitted the Cape Colony to annex it in 1878. The annexation was an attempt to forestall German ambitions in the area, and it also guaranteed control of the good deep water harbor on the way to the Cape Colony and other British colonies on Africa’s east coast. Believing that Britain was soon about to declare the whole area a protectorate, the German chancellor, Otto von Bismarck claimed it in 1884, thereby establishing German South-West Africa as a colony.

15.6.2: Great Zimbabwe

Great Zimbabwe was the capital of the Kingdom of
Zimbabwe (13th–15th c.); it flourished as an international gold and ivory trade center and its architecturally unique ruins
remain among the oldest and largest structures in
Southern Africa.

Learning Objective

Explain the social structure, unique aspects, and decline of Great Zimbabwe

Key Points

• Great Zimbabwe is a ruined city in the
  southeastern hills of today’s Zimbabwe. It was the capital of the Kingdom of
  Zimbabwe during the country’s Late Iron Age. Construction on the monument began
  in the 11th century and continued until the 15th century. 
• David Beach believes that the city and its
  state, the Kingdom of Zimbabwe, flourished from 1200 to 1500, although a
  somewhat earlier date for its demise is implied by a description transmitted in
  the early 1500s to João de Barros. Its growth has been linked to the
  decline of Mapungubwe from around 1300, due to climatic change or the
  greater availability of gold in the hinterland of Great Zimbabwe.
• Archaeological evidence suggests that Great
  Zimbabwe became a center for trading, with a trade network linked to Kilwa Kisiwani and extending as far as China. This international trade was
  mainly in gold and ivory.
  The
  rulers of Zimbabwe brought artistic and stone masonry traditions from
  Mapungubwe. The construction of elaborate stone buildings and walls reached its
  apex in the kingdom. 
• Causes suggested for the decline and ultimate abandonment of the city of Great Zimbabwe have included a decline in trade compared to sites further north,
  the exhaustion of the gold mines, political instability, and famine and water
  shortages induced by climatic change. 

• In the early 11th century, people from the Kingdom of Mapungubwe in
  Southern Africa are believed to have settled on the Zimbabwe plateau. There,
  they would establish the Kingdom of Zimbabwe around 1220.

• Nyatsimba Mutota from Great Zimbabwe established his dynasty at Chitakochangonya Hill, and the land he
  conquered would become the Kingdom of Mutapa. Within a generation, Mutapa
  eclipsed Great Zimbabwe. By
  1450, the capital and most of the kingdom had been abandoned.

Key Terms

Kingdom of Zimbabwe

A medieval (c. 1220–1450) kingdom located in modern-day Zimbabwe. Its capital, Great Zimbabwe, is the largest stone structure in precolonial Southern Africa.

Great Zimbabwe

A ruined city in the southeastern hills of Zimbabwe near Lake Mutirikwe and the town of Masvingo. It was the capital of the Kingdom of Zimbabwe during the country’s Late Iron Age. Construction on the monument began in the 11th century and continued until the 15th century. It is believed to have served as a royal palace for the local monarch. As such, it would have been used as the seat of political power.

Shona

A group of Bantu people in Zimbabwe and some neighboring countries. The main part of them is divided into five major clans and adjacent to some people of very similar culture and languages. They
created empires and states on the Zimbabwe plateau. These states include the Kingdom of Zimbabwe (12th–16th century), the Torwa State, and the Munhumutapa states.

Mapungubwe

A pre-colonial state in Southern Africa located at the confluence of the Shashe and Limpopo rivers, south of Great Zimbabwe. It was the first stage in a development that would culminate in the creation of the Kingdom of Zimbabwe in the 13th century and with gold trading links to Rhapta and Kilwa Kisiwani on the African east coast. It lasted about 80 years, and at its height its population was about 5,000 people.

Introduction

Great Zimbabwe is a ruined city in the southeastern hills of today’s Zimbabwe. It was the capital of the Kingdom of Zimbabwe during the country’s Late Iron Age. Construction on the monument began in the 11th century and continued until the 15th century. The exact identity of the Great Zimbabwe builders is at present unknown. Local traditions recorded in the 18th and 19th centuries assert that the stoneworks were constructed by the early Lemba. However, the most popular modern archaeological theory is that the edifices were erected by the ancestral Shona.

Origins and Growth

Construction of the stone buildings started in the 11th century and continued for over 300 years. The ruins at Great Zimbabwe are some of the oldest and largest structures in Southern Africa; they are the second oldest after nearby Mapungubwe in South Africa. The most formidable edifice, commonly referred to as the Great Enclosure, makes it the largest ancient structure south of the Sahara Desert. David Beach believes that the city and its state, the Kingdom of Zimbabwe, flourished from 1200 to 1500, although a somewhat earlier date for its demise is implied by a description transmitted in the early 1500s to João de Barros. Its growth has been linked to the decline of Mapungubwe from around 1300, due to climatic change or the greater availability of gold in the hinterland of Great Zimbabwe. At its peak, estimates are that Great Zimbabwe had as many as 18,000 inhabitants. The ruins that survive are built entirely of stone, and they span 730 ha (1,800 acres).

Economy

Archaeological evidence suggests that Great Zimbabwe became a center for trading, with a trade network linked to Kilwa Kisiwani (the historic center of
the Kilwa Sultanate; off the southern coast of present-day Tanzania in eastern Africa)

and extending as far as China. This international trade was mainly in gold and ivory. Some estimates indicate that more than 20 million ounces of gold were extracted from the ground. That international commerce was in addition to the local agricultural trade, in which cattle were especially important. The large cattle herd that supplied the city moved seasonally and was managed by the court. Archaeological evidence also suggests a high degree of social stratification, with poorer residents living outside of the city. Chinese pottery shards, coins from Arabia, glass beads, and other non-local items have been excavated. Despite these strong international trade links, there is no evidence to suggest exchange of architectural concepts between Great Zimbabwe and other centers such as Kilwa Kisiwani.

A tower of Great Zimbabwe 

Great Zimbabwe is notable for its advanced masonry techniques.
The ruins form three distinct architectural groups. They are known as the Hill Complex, the Valley Complex and the Great Enclosure. The Hill Complex is the oldest, and was occupied from the 9th to 13th centuries. The Great Enclosure was occupied from the 13th to 15th centuries, and the Valley Complex from the 14th to 16th centuries.

Kingdom of Zimbabwe

The Kingdom of Zimbabwe, of which Great Zimbabwe was the capital, existed between circa 1220 and 1450 in modern-day Zimbabwe.
Although it was formally established during the medieval period, archaeological excavations suggest that state formation here was considerably more ancient.
In the early 11th century, people from the Kingdom of Mapungubwe in Southern Africa are believed to have settled on the Zimbabwe plateau. There, they would establish the Kingdom of Zimbabwe around 1220. Sixteenth-century records left by the explorer João de Barros indicate that Great Zimbabwe appears to have still been inhabited as recently as the early 1500s.

The rulers of Zimbabwe brought artistic and stone masonry traditions from Mapungubwe. The construction of elaborate stone buildings and walls reached its apex in the kingdom. The kingdom taxed other rulers throughout the region. It was composed of over 150 tributaries headquartered in their own minor zimbabwes (stone structures). The Kingdom controlled the ivory and gold trade from the interior to the southeastern coast of Africa. Asian and Arabic goods could be found in abundance. The Great Zimbabwe people mined minerals like gold, copper, and iron. They also kept livestock.

Decline of the State and the City

Causes suggested for the decline and ultimate abandonment of the city of Great Zimbabwe have included a decline in trade compared to sites further north, the exhaustion of the gold mines, political instability, and famine and water shortages induced by climatic change.

Around 1430, prince Nyatsimba Mutota from Great Zimbabwe

traveled north in search of salt among the Shona-Tavara.
He defeated the Tonga and Tavara with his army and established his dynasty at Chitakochangonya Hill. The land he conquered would become the Kingdom of Mutapa. Within a generation, Mutapa eclipsed Great Zimbabwe as the economic and political power in Zimbabwe. By 1450, the capital and most of the kingdom had been abandoned.

The end of the kingdom resulted in a fragmentation of proto-Shona power. Two bases emerged along a north-south axis. In the north, the Kingdom of Mutapa carried on and even improved upon Zimbabwe’s administrative structure. It did not carry on the stone masonry tradition to the extent of its predecessor. In the south, the Kingdom of Butua was established as a smaller but nearly identical version of Zimbabwe. Both states were eventually absorbed into the largest and most powerful of the Kalanga states, the Rozwi Empire.

15.6.3: The Swahili Culture

Swahili culture originated on the Swahili Coast from the mixture of Perso-Arab and Bantu cultures that is credited for creating Swahili as a distinctive East African culture and language.

Learning Objective

Explain how the Bantu migration impacted the Swahili culture

Key Points

• Swahili culture is the culture of
  the Swahili people inhabiting the Swahili Coast. They
  speak Swahili as their native language, which belongs to the Niger-Congo
  family. Swahili culture is the product of the history of the coastal part of
  the African Great Lakes region. 
• As
  with the Swahili language, Swahili culture has a Bantu core and has
  also borrowed from foreign influences. Around 3,000 years ago, speakers of
  the proto-Bantu language group began a millennia-long series of migrations; the Swahili
  people originate from Bantu inhabitants of the coast of Southeast Africa,
  in Kenya, Tanzania, and Mozambique. They are mainly united under the mother
  tongue of Kiswahili, a Bantu language. 
• Around
  the 8th century, the Swahili people engaged in the Indian
  Ocean trade. As a consequence, they were influenced by Arabic, Persian, Indian, and Chinese
  cultures. During the 10th century, several city-states flourished along the
  Swahili Coast and adjacent island. They were Muslim, cosmopolitan, and politically independent
  of one another.

• The Kilwa Sultanate was a medieval sultanate, centered at Kilwa,
  whose authority, at its height, stretched over the entire length of the Swahili
  Coast. It was founded in the 10th century, and the last native dynasty was overthrown by a Portuguese invasion in 1505. By 1513, the sultanate was already
  fragmented into smaller states.

• Despite its origin as a Persian colony,
  extensive inter-marriage and conversion of local Bantu inhabitants and later
  Arab immigration turned the Kilwa Sultanate into a very diverse state. It is the mixture of Perso-Arab and Bantu
  cultures in Kilwa that is credited for creating Swahili as a distinctive East
  African culture and language. 

• The
  diverse history of the Swahili Coast has also resulted in multicultural
  influences on Swahili arts, including furniture and architecture. 

Key Terms

Bantu expansion

A postulated millennia-long series of migrations of speakers of the original proto-Bantu language group. Attempts to trace the exact route of the migrations, to correlate it with archaeological evidence and genetic evidence, have not been conclusive. The Bantu traveled in two waves, and it is likely that the migration of the Bantu-speaking people from their core region in West Africa began around 1000 BCE.

Kilwa Sultanate

A Medieval sultanate, centered at Kilwa (an island off modern-day Tanzania), whose authority, at its height, stretched over the entire length of the Swahili Coast. It was founded in the 10th century by Ali ibn al-Hassan Shirazi, a Persian prince of Shiraz. His family ruled the Sultanate until 1277, when it was replaced by the Arab family of Abu Moaheb. The latter was overthrown by a Portuguese invasion in 1505.

Bantu and Swahili Culture

Swahili culture is the culture of the Swahili people inhabiting the Swahili Coast, encompassing today’s Tanzania, Kenya, Uganda, and Mozambique, as well as the adjacent islands of Zanzibar and Comoros and some parts of the Democratic Republic of the Congo and Malawi. They speak Swahili as their native language, which belongs to the Niger-Congo family. Swahili culture is the product of the history of the coastal part of the African Great Lakes region. 

As with the Swahili language, Swahili culture has a Bantu core and has also borrowed from foreign influences. Around 3,000 years ago, speakers of the proto-Bantu language group began a millennia-long series of migrations eastward from their homeland between West Africa and Central Africa, at the border of eastern Nigeria and Cameroon. This Bantu expansion first introduced Bantu peoples to central, southern, and southeastern Africa, regions they had previously been absent from. The Swahili people are mainly united under the mother tongue of Kiswahili, a Bantu language. This also extends to Arab, Persian, and other migrants who reached the coast around the 7th and 8th centuries, providing considerable cultural infusion and numerous loan words from Arabic and Persian. However, archaeologist Felix Chami notes the presence of Bantu settlements straddling the Southeast African coast as early as the beginning of the 1st millennium. They evolved gradually from the 6th century onward to accommodate for an increase in trade (mainly with Arab merchants), population growth, and further centralized urbanization, developing into what would later become known as the Swahili city-states.

Swahili Arabic script on a carved wooden door (open) at Lamu in Kenya

British archaeologists assumed during the colonial period that Arab or Persian colonizers brought stone architecture and urban civilization to the Swahili Coast. Today we know that it was local populations that developed the Swahili coast. Swahili architecture exhibits a range of influences and innovations, and diverse forms and histories interlock and overlap to create densely layered structures that cannot be broken down into distinct stylistic parts.

Swahili City-States

Around the 8th century, the Swahili people began trading with the Arab, Persian, Indian, Chinese, and Southeast Asian peoples—a process known as the Indian Ocean trade.
As a consequence of long-distance trading routes crossing the Indian Ocean, the Swahili were influenced by Arabic, Persian, Indian, and Chinese cultures. During the 10th century, several city-states flourished along the Swahili Coast and adjacent islands, including Kilwa, Malindi, Gedi, Pate, Comoros, and Zanzibar. These early Swahili city-states were Muslim, cosmopolitan, and politically independent of one another.
They grew in wealth as the Bantu Swahili people served as intermediaries and facilitators to local, Arab, Persian, Indonesian, Malaysian, Indian, and Chinese merchants. They all competed against one another for the best of the Great Lakes region’s trade business, and their chief exports were salt, ebony, gold, ivory, and sandalwood. They were also involved in the slave trade. These city-states began to decline towards the 16th century, mainly as a consequence of the Portuguese advent. Eventually, Swahili trading centers went out of business, and commerce between Africa and Asia on the Indian Ocean collapsed.

Kilwa Sultanate

The Kilwa Sultanate was a medieval sultanate, centered at Kilwa (an island off modern-day Tanzania), whose authority, at its height, stretched over the entire length of the Swahili Coast. It was founded in the 10th century by Ali ibn al-Hassan Shirazi, a Persian prince of Shiraz. His family ruled the Sultanate until 1277, when it was replaced by the Arab family of Abu Moaheb. The latter was overthrown by a Portuguese invasion in 1505. By 1513, the sultanate was already fragmented into smaller states, many of which became protectorates of the Sultanate of Oman.

Despite its origin as a Persian colony, extensive inter-marriage and conversion of local Bantu inhabitants and later Arab immigration turned the Kilwa Sultanate into a diverse state not ethnically differentiable from the mainland. It is the mixture of Perso-Arab and Bantu cultures in Kilwa that is credited for creating Swahili as a distinctive East African culture and language. Nonetheless, the Muslims of Kilwa (whatever their ethnicity) would often refer to themselves generally as Shirazi or Arabs, and to the unconverted Bantu peoples of the mainland as Zanj or Khaffirs (infidels).

The Kilwa Sultanate was almost wholly dependent on external commerce. Effectively, it was a confederation of urban settlements, and there was little or no agriculture carried on in within the boundaries of the sultanate. Grains (principally millet and rice), meats (cattle and poultry), and other supplies necessary to feed the large city populations had to be purchased from the Bantu peoples of the interior. Kilwan traders from the coast encouraged the development of market towns in the Bantu-dominated highlands of what are now Kenya, Tanzania, Mozambique, and Zimbabwe. The Kilwan mode of living was as middlemen traders, importing manufactured goods (cloth, etc.) from Arabia and India, which were then swapped in the highland market towns for Bantu-produced agricultural commodities (grain, meats, etc.) for their own subsistence, and precious raw materials (gold, ivory, etc.) that they would export back to Asia. The exception was the coconut palm tree.

Arts

The diverse history of the Swahili Coast has also resulted in multicultural influences on Swahili arts, including furniture and architecture. The Swahili do not often use designs with images of living beings due to their Muslim heritage. Instead, Swahili designs are primarily geometric. The most typical musical genre of Swahili culture is taarab (or tarabu), sung in the Swahili language. Its melodies and orchestration have Arab and Indian influences, although Western instruments, such as guitars, are sometimes used.
Swahili architecture, a term used to designate a whole range of diverse building traditions practiced or once practiced along the eastern and southeastern coasts of Africa, is in many ways an extension of mainland African traditions, although structural elements, such as domes and barrel vaulting, clearly connect to Persian Gulf area and South Asian building traditions as well. Exotic ornament and design elements also connected the architecture of the Swahili coast to other Islamic port cities. In fact, many of the classic mansions and palaces of the Swahili Coast belonged to wealthy merchants and landowners, who played a key role in the mercantile economy of the region.

 

15.6.4: The Kingdoms of Madagascar

Among many fragmented communities that populated Madagascar, the Sakalava, Merina, and Betsimisaraka seized the opportunity to unite disparate groups and establish powerful kingdoms under their rule.

Learning Objective

Identify some of the kingdoms that ruled on Madagascar before the arrival of Europeans

Key Points

• Over the past 2,000 years, Madagascar has
  received waves of settlers of diverse origins, including Austronesian, Bantu,
  Arab, South Asian, Chinese, and European populations. Centuries of
  intermarriages created the Malagasy people that
  form nearly the entire population of Madagascar today.
• By the European Middle Ages, over a dozen
  predominant ethnic identities had emerged on the island, typified by rule under
  a local chieftain. Leaders of some communities, such as the Sakalava, Merina, and
  Betsimisaraka, seized the opportunity to unite these disparate groups
  and establish powerful kingdoms under their rule. 
• According
  to local tradition, the founders of the Sakalava kingdom quickly subdued the neighboring princes,
  starting with the southern ones, in the Mahafaly area. The true founder of
  Sakalava dominance was Andriamisara. In the 17th century, the empire started to
  split, resulting in a southern kingdom (Menabe) and a northern kingdom (Boina).
  Further splits followed.
• A northern Betsimisaraka zana-malata named Ratsimilaho successfully united his compatriots, and around 1712 was elected king of all the
  Betsimisaraka. He established alliances with the
  southern Betsimisaraka and the neighboring Bezanozano, extending his authority
  over these areas by allowing local chiefs to maintain their power while
  offering tributes of rice, cattle, and slaves. By 1730, he was one of the most
  powerful kings of Madagascar. Around a century later,
  the fractured Betsimisaraka kingdom was easily
  colonized by Radama I, king of Merina. 
• The
  Merina emerged as the politically dominant group in the course of the 17th and
  18th centuries, and the
  Merina kingdom reached the peak of its power in the early 19th century. Its economy was heavily based on slave labor. The
  absolute dominance of the Merina kingdom over all of Madagascar came to an end
  with the first Franco-Hova War of 1883 to 1885.
• In 1896, the French Parliament voted to annex Madagascar, forming the colony of
  French Madagascar in 1897.

Key Terms

Sakalava

An ethnic group of Madagascar that occupies the western edge of the island from Toliara in the south to Sambirano in the north. The term denominates a number of smaller ethnic groups that once comprised an empire, rather than an ethnic group in its own right. During the Middle Ages, their influence extended across the area that is now the provinces of Antsiranana, Mahajanga, and Toliara. However, with the domination of the Indian Ocean by the British fleet and the end of the Arab slave trade, they lost their power to the emerging Merina threat.

Merina

The dominant “highlander” Malagasy ethnic group in Madagascar, and one of the country’s eighteen official ethnic groups. Their core territory corresponds to the former Antananarivo Province in the center of the island. Beginning in the late 18th century, their sovereigns extended political domination over the rest of the island, ultimately uniting it under their rule.

Betsimisaraka

A group that makes up approximately 15% of the Malagasy people and is the second largest ethnic group in Madagascar after the Merina. They occupy a large stretch of the eastern seaboard of Madagascar, from Mananjary in the south to Antalaha in the north. They have a long history of extensive interaction with European seafarers and traders that produced a significant subset with mixed European-Malagasy origins, termed the zana-malata.

Malagasy people

The ethnic group that forms nearly the entire population of Madagascar. They are divided into two subgroups: the “Highlander” Merina, Sihanaka, and Betsileo of the central plateau around Antananarivo, Alaotra, and Fianarantsoa, and the “coastal dwellers” elsewhere in the country. This division has its roots in historical patterns of settlement.

Diverse Populations and the Rise of Great Kingdoms

Over the past 2,000 years, Madagascar has received waves of settlers of diverse origins, including Austronesian, Bantu, Arab, South Asian, Chinese, and European populations. Centuries of intermarriages created the Malagasy people, who primarily speak Malagasy, an Austronesian language with Bantu, Malay, Arabic, French, and English influences. Most of the genetic makeup of the average Malagasy, however, reflects an almost equal blend of Austronesian and Bantu influences, especially in coastal regions. Other populations often intermixed with the existent population to a more limited degree or have sought to preserve a separate community from the majority Malagasy.

By the European Middle Ages, over a dozen predominant ethnic identities had emerged on the island, typified by rule under a local chieftain. Leaders of some communities, such as the Sakalava, Merina, and Betsimisaraka, seized the opportunity to unite these disparate groups and establish powerful kingdoms under their rule. The kingdoms increased their wealth and power through exchanges with European, Arab, and other seafaring traders, whether they were legitimate vessels or pirates. 

Sakalava

The island’s west clan chiefs began to extend their power through trade with their Indian Ocean neighbors, first with Arab, Persian, and Somali traders who connected Madagascar with East Africa, the Middle East, and India, and later with European slave traders. The wealth created in Madagascar through trade produced a state system ruled by powerful regional monarchs known as the Maroserana. These monarchs adopted the cultural traditions of subjects in their territories and expanded their kingdoms. They took on divine status, and new nobility and artisan classes were created. Madagascar functioned as a contact port for the other Swahili seaport city-states, such as Sofala, Kilwa, Mombasa, and Zanzibar. By the Middle Ages, large chiefdoms began to dominate considerable areas of the island. Among these were the Betsimisaraka alliance of the eastern coast and the Sakalava chiefdoms of the Menabe (centered in what is now the town of Morondava) and of Boina (centered in what is now the provincial capital of Mahajanga). The influence of the Sakalava extended across the area that is now the provinces of Antsiranana, Mahajanga, and Toliara.

According to local tradition, the founders of the Sakalava kingdom were Maroseraña (or Maroseranana, “those who owned many ports”) princes from the Fiherenana (now Toliara). They quickly subdued the neighboring princes, starting with the southern ones, in the Mahafaly area. The true founder of Sakalava dominance was Andriamisara. His son Andriandahifotsy (c. 1610–1658) extended his authority northwards, past the Mangoky River. His two sons, Andriamanetiarivo and Andriamandisoarivo, extended gains further up to the Tsongay region (now Mahajanga). At about that time, the empire started to split, resulting in a southern kingdom (Menabe) and a northern kingdom (Boina). Further splits followed, despite continued extension of the Boina princes’ reach into the extreme north, in Antankarana country.

Betsmiraka

Like the Sakalava to the west, today’s Betsimisaraka are composed of numerous ethnic sub-groups that formed a confederation in the early 18th century.

Through the late 17th century, the various clans of the eastern seaboard were governed by chieftains who typically ruled over one or two villages. Around 1700, the Tsikoa clans began uniting around a series of powerful leaders. Ramanano, the chief of Vatomandry, was elected in 1710 as the leader of the Tsikoa (“those who are steadfast”) and initiated invasions of the northern ports. A northern Betsimisaraka zana-malata (a person of mixed native and European origin) named Ratsimilaho led a resistance to these invasions and successfully united his compatriots around this cause. In 1712, he forced the Tsikoa to flee, and was elected king of all the Betsimisaraka and given a new name, Ramaromanompo (“Lord Served by Many”) at his capital at Foulpointe. He established alliances with the southern Betsimisaraka and the neighboring Bezanozano, extending his authority over these areas by allowing local chiefs to maintain their power while offering tributes of rice, cattle, and slaves. By 1730, he was one of the most powerful kings of Madagascar. By the time of his death in 1754, his moderate and stabilizing rule had provided nearly forty years of unity among the diverse clans within the Betsimisaraka political union. He also allied the Betsimisaraka with the other most powerful kingdom of the time, the Sakalava of the west coast, through marriage with Matave, the only daughter of Iboina king Andrianbaba.

Ratsimilaho’s successors gradually weakened the union, leaving it vulnerable to the growing influence and presence of European and particularly French settlers, slave traders, missionaries, and merchants. The fractured Betsimisaraka kingdom was easily colonized in 1817 by Radama I, king of Merina. The subjugation of the Betsimisaraka in the 19th century left the population relatively impoverished. Under colonization by the French (1896–1960), a focused effort was made to increase access to education and paid employment on French plantations.

Map of Madagascar and surrounding areas, c. 1702–1707

Over the 19th century, a series of Merina monarchs engaged in the process of modernization through close diplomatic ties to Britain that led to the establishment of European-style schools, government institutions, and infrastructure. Christianity, introduced by members of the London Missionary Society, was made the state religion under Queen Ranavalona II and her prime minister, highly influential statesman Rainilaiarivony.

Merina

The Merina emerged as the politically dominant group in the course of the 17th and 18th centuries. Oral history traces the emergence of a united kingdom in the central highlands of Madagascar—a region called Imerina—back to early 16th century king Andriamanelo. By 1824, sovereigns in his line had conquered nearly all of Madagascar, particularly through the military strategy and ambitious political policies of Andrianampoinimerina (c. 1785–1810) and his son Radama I (1792–1828). The kingdom’s contact with British and later French powers led local leaders to build schools and a modern army based on European models.

The Merina oral histories mention several attacks by Sakalava raiders against their villages as early as the 17th century and during the entire 18th century. However, it seems that the term was used generically to design all the nomadic peoples in the sparsely settled territories between the Merina country and the western coast of the island. The Merina king Radama I’s wars with the western coast of the island ended in a fragile peace sealed through his marriage with the daughter of a king of Menabe. Though the Merina were never to annex the two last Sakalava strongholds of Menabe and Boina (Mahajanga), the Sakalava never again posed a threat to the central plateau, which remained under Merina control until the French colonization of the island in 1896.

The Merina kingdom reached the peak of its power in the early 19th century. In a number of military expeditions, large numbers of non-Merina were captured and used for slave labor. By the 1850s, these slaves were replaced by imported slaves from East Africa, mostly of Makoa ethnicity. Until the 1820s, the imported slave labor benefited all classes of Merina society, but in the period of 1825 to 1861, a general impoverishment of small farmers led to the concentration of slave ownership in the hands of the ruling elite. The slave-based economy led to a constant danger of a slave revolt, and for a period in the 1820s all non-Merina males captured in military expeditions were killed rather than enslaved for fear of an armed uprising. There was a brief period of increased prosperity in the late 1870s, as slave import began to pick up again, but it was cut short with the abolishment of slavery under French administration in 1896.
Due to the influence of British missionaries, the Merina upper classes converted entirely to Protestantism in the mid-19th century, following the example of their queen, Ranavalona II. 

The absolute dominance of the Merina kingdom over all of Madagascar came to an end with the first Franco-Hova War of 1883 to 1885, when a French flying column marched to the capital, Antananarivo, taking the city’s defenders by surprise. In 1896, the French Parliament voted to annex Madagascar, forming the colony of French Madagascar in 1897.