You are on page 1of 293

Dedicated to the Memory of My Parents

Hermann Elias, cl. Breslau 1940 Norbert Elias


Sophie Elias, cl. Auschwitz 1941(?)

THE CIVILIZING PROCESS


Sociogenetic and Psychogenetic
Investigations

Translated by Edmund ]ephcott


with some notes and corrections by the a11thor

Revised Edition

edited by
Eric Dunning, Johan Go11dsblom and Stephen Menne!!

Blackwell
Publishing
1 ] li.1;1<1 I CJYJ. i l)(1S b) :\urhcn Elia>
Fngli'h tramlari"n < 1'r8 br B:i>il Black\,dl l.td

( Jriginalh publi>hcd "'


Cri!i::,i;/c,11. 19.'\9. 1%9. lr(; bY :\orbcrr Lli:1>
tran>l:ninn ( 1982 b1 lh>il Black\\'cll I.rd
:b E\\<1 :'cp:iratc \'(iiumc> in 19.19 b; Hau>
Contents
zum htlkcn. Ba>d

HL\t :K\\T:J.L l'l.Bl.l:'llI;.;<;


_;511 .\bin Srrcct. \laldcn. \f.\ 1121-ll'-511211. L'S:\
<)()!Hf Rnad. ( hford ( ):\:.f l'I(
550 Swan'.:'ton Sirn:t, Carlrun, \ iGnria _1053, :\uqralia

. \11 ri:hb rc:'cn t:d ":\(l pan nf t!fr.; publicari(ln m;1y he n.:pr(lduccd . .sturt:d in a rt:trie\ a!:->: :->tt:m,
or tr:rn'.:'1nim..:d, in an; form orb;. any n1e:u:.s. ck:ctronic. mi..:clunicaL phowcop:ing. recording
( >r odh.:rwi:'t.:, cxccpr a> pLn11ined b;. thc Ck Copyright. Dc>ign.s. and Patent'.:' :\er 19.SH,
with( mt thL pri< lr pcrrni:'>ion of thl'. publi,Sher

Thi,S cditi(ln tir>t publi::-hi..:d 1(_)<J..f


Re\ i>u.i cditi<1n publi,Shnl .2Ut HJ

Preface IX
Llia'.:'. :\< )rherr
!Lbcr den Pn dcr /.i\ ili:'mi( )n f ,n1..di>h]
Acknowledgements co the English Translation X\'l

Th-.: ci\ pnfct.::-;:': :'uci<l:...:.enctic and irnt:>rigatitlfb :\"<irbert Edicors' NQ[e co the Revised Translation XVII
Fli;b: rran:-;lar-.:.d b: Ldmund )ephcorr some n<itc-> and bY rht: author
and edir:..:d b: Eric Dunning.Johan Goud::-blom. and Srepht:n ,\ft:nnd!.-Rl'.\' t:d
p. cm VOLUME I: CHANGES IN THE BEHAVIOUR OF
Include:'
!SB:\ rs.11.c,_, alk p:1pcr;: !SB:\ <r8-11-6.11-221(i1-(i r,alk paper
THE SECULAR UPPER CLASSES IN THE \VEST 1
l Ci\ilizati()n-Phih1:-;oph: I. Dunnin. Eric
II. (;ow..bhl(ln1. !<1lun Ill. \IcnndL Stephen I\. Tide, PART ONE
Ul8.i lALo 2111111 -
0 ii<J-dc21
ON THE SOCIOGENESIS OF THE CONCEPTS OF
"CIVILIZATION" AND "CUI:rURE"

Sociogenesis of the Antithesis benveen Kultur and Zfrili.wtio11


in 1o (ll1 12 pt Garamond m German Usage 5
b: PlHit<>prinr. T<lfLJU;l\
Introduction 5
Printcd and bnund in Singapnrc
H() Prinrin Singapurc Pre Lrd II The Development of the Antithesis between K11lt!!r and Zil'ilisatio11 9
III Examples of Courtly Attitudes in Germany 11
ThL i> w u>e paper fron1 n1ilb that oper:He a susminablc IV The Middle Class and the Court l\obility in Germany 15
polic:. and \\hich ha::- bct:n manufactured from pulp procc::->cd u::-ing acid-frl'.c and demcntal}
chlorinc-freL practice::- lunhernH>re, the publi,Sher LI1Stires that the tt:xt paper and co\ Lr board V Literary Examples of the Relationship of the German
u::-t:d ha\c nkt acceptable en\ in ltll11t:ntal accreditation Middle-Class Intelligentsia co the Court 20
VI The Recession of the Social Element and the Advance of the
hir further inforn1arion on
Black\\ dl Publishing, \i::-it our wcb:'ite: National Element in the Antithesis between Ku!t111' and
\'."\\.\\ hlack\\ ll11 Ziz'ili.wtio11 26
VI The Ciz i/i:i11g Prneess Co11tt11ts Vll

2 Sociogenesis of the Concept of Ciz.iliwtion in France 31 IX Changes in Attitudes rowards the Relations between Men and
I Introduction 31 \XIomen 1-1.:2
II Sociogenesis of Physiocrarism and the French Reform Movement 35 x On Changes in Aggressiveness 161
XI Scenes from rhe Life of a Knight !72

PART TWO
CIVILIZATION AS A SPECIFIC TRANSFORMATION
OF HUMAN BEHAVIOUR 45 VOLUME Il: STATE FORMATION AND
CIVILIZATION 183
The Hisrory of the Concept of Ciz,i!ite 47
II On Medieval Manners 52
III The Problem of the Change in Behaviour during the Renaissance 60 PART THREE
IV On Behaviour at Table 72 FEUDALIZATION AND STATE FORMATION 185
Examples 72
(a) Representing upper-class behaviour in fairly pure form 72 Introduction 187
(b) From books addressed ro wider bourgeois srrarn 80 Survey of Courtly Society 187
Comments on the Quotations on Table Manners 85 II A Prospective Glance ar the Sociogenesis of Absolmism 191
Group l: An Overview of the Societies ro which the Texts
Dynamics of Feudalization 195
were Addressed 85
Imroduction 195
Excursus on the Rise and Decline of the Concepts
II Centralizing and Decentralizing Forces in the Medieval
of Co!!rtoisie and Cfri!ite 87
Power Figuration 197
A Review of the Curve Marking the "Civilizing"
III The Increase in Population after rhe Great Migration 208
of Earing Habits 89
IV Some Observations on the Sociogenesis of the Crusades 21-i
Excursus on rhe Modelling of Speech at Court 92
V The Internal Expansion of Society: The Formation of New
Reasons Given by People for Distinguishing
Social Organs and Instruments 220
between ''Good" and "Bad" Behaviour 97
VI Some New Elements in the Structure of Medieval Society
Group 2: On the Earing of Meat 99
as Compared with Antiquity
Use of the Knife at Table 103
VII On the Sociogenesis of Feudalism
On the Use of the Fork at Table l07
VIII On the Sociogenesis of i\Ii111ma11g and Courtly Forms of
V Changes in Attitudes rowards the Natural Functions 109
Conduct
Examples 109
Some Remarks on the Examples and on these Changes in 2 On the Sociogenesis of the State 257
General 114 I The First Stage of the Rising Monarchy: Competition and
VI On Blowing One's Nose 121 Monopolization within a Terrirorial Framework 257
Examples 121 II Excursus on Some Differences in rhe Paths of Development
Comments on the Quorations on Nose-Blowing 126 of England, France and Germany 261
VII On Spitting 129 III On rhe Monopoly Mechanism 268
Examples 129 IV Early Struggles within the Framework of the Kingdom 277
Comments on the Quotations on Spitting 132 V The Resurgence of Cenrrifugal Tendencies: The Figuration
VIII On Behaviour in the Bedroom 136 of the Competing Princes 289
Examples 136 VI The Last Stages of the Free Competitive Struggle and
Comments on the Examples 138 Esrablishmem of the Final Monopoly of the Vicror 303
Vil! The Cizi/i::;ing Pr11c.:ss

VII The Power Balance wichin che Unic of Rule: Its


Significance for che Cencral Auchoricy-che
Formation of the .. Royal MechaDism ..
VIII On che Sociogc:nesis of che Monopoly of Taxacion

PART FOUR
Preface
SYNOPSIS: TO\VARDS A THEORY OF
CIVILIZING PROCESSES

The Social Conscrainc cowards Self-Conscrainc .165


II Spread of the Pressure for Foresight and Self-Conscrainc 3 79
III Diminishing Comrascs, Increasing Variecies 382
IV The Courcizacion of che \X!arriors 387
V The .l\fming of Drives: Psychologizacion and Rationalization 397
VI Shame and Repugnance c[ 14
VII Increasing Conscraincs on che Upper Class: Increasing Pressure
from Btlow 421
VIII Conclusion 436

POSTSCRIPT ( 1968) Cencral co chis study are modes of behaviour considered typical of people who
are civilized in a \X!escern way. The problem chey pose is simple enough . \X!esrern
people have not always behaved in the manner we are accuscomed co regard as
APPENDICES 485
typical or as che hallmark of '"civilized .. people. If members of present-day
\X!escern civilized society were co find themselves suddenly transported into a
Foreign Language Originals of the Exemplary Extracts and Verses 487
past epoch of their own society, such as the medieval-feudal period, they would
II Places from Das i\Iicct!alcerliche Hausbuch 511
find there much chat they esteem .. uncivilized .. in ocher societies roday.. Their
reaccion would scarcely differ from chat produced in chem at presem by the
NOTES 517 behaviour of people in fr:udal societies oucside che \\lescern world . They would.
depending on their situation and inclinations, be either accracred by rhe wilder,
INDEX 555 more unrestrained and advencurous life of the upper classes in chis society, or
repulsed by rhe '"barbaric .. cuscoms, che squalor and coarseness chat he encoun-
tered there . And whatever they understand by their own '"civilization ... they
would at any race feel quite unequivocally that society in chis past period of
\\!escern hiscory was not .. civilized .. in the same sense and co che same degree as
\X!escern society coday.
This scare of affairs may seem obvious co many people, and ic might appear
unnecessary co refer co it here. But ic necessarily gives rise co questions which
cannot with equal justice be said co be clearly presem in che consciousness of
living generations, although these questions are nor wichom importance for an
understanding of ourselves. How did chis change, chis '"civilizing .. of the \'Vest,
actually happeni Of what did it consist' And what were its "causes .. or "motive
XI
x The Cil'ilizi11g Pmcw

forcts"; Ir is ro che solucion of thest main questions chac this srndy anempcs ro moves; and che question of sociogenic fears d1L!s emerges as one of che cemral
comribme. problems of che civilizing process .
To facilirnce understanding of this book, and elms as ao imroduccion ro che Very closely relaced ro chis is a furcher range of questions. The distance in
questions chemselves, it seems necessary ro examine the differem meanings and ditir and whole psychical scruccure becween children and adults
ernluations assigned ro the concepc of "civilization" in Germany and France. This increases in che course of che civilizing process. Here, for example, lies che key
enquiry makes up Pare One. Ir may help che reader ro see the concepts of K11!t11r ro che question of why some peoples or groups of peoples appear ro us as
and (irili.wtir!/I as somewhat less rigidly and self-eviclemly opposed. And ic may "vounger" or "more childlike", ochers as "older" or "more grown-up" \i(!hac we
also make a small comribmion rowards improving che German hisrorical ro express in chis way are differences in che kind and srnge of a
undtrsrnncling of the beha,iour of Frenchmen and Englishmen, and che French civilizing process chac chese sociecies have anained; bm chac is a separate
and English underscanding of che behaviour of Germans. Bue in che encl ic will quescion which cannot be included wichin che framework of chis smdy.. The
also serve ro clarify cercain cypical fearnres of che civilizing process series of examples and che imerprecacions of chem in Pare Two show one thing
To gain access ro che main quescions, ic is necessary first ro obtain a clearer very clearly: che specific psychological process of "growing up" in \i(!estern
picrnre of how che behaviour and affeccive life of \i(!escern peoples slowly sociecies, which frequently occupies the minds of psychologists and pedagogues
changed afrer che Middle Ages. To show chis is che cask of the second chapter. Ir coday, is noching ocher chan che individual civilizing process ro which each
anempcs as simply and clearly as possible ro open che way ro an underswnding young person, as a resulc of che social civilizing process over many cemuries, is
of che psychical process of civilizacion It may bt chac the idea of a psychical auromacicallv subjected from earliesc childhood, to a greacer or lesser degree and
process excending over many generncions appears hazardous and dubious ro wich greace; or lesser success The psychogenesis of che adulc make-up in
present-day hisrorical chinking. Bm ic is noc possible ro decide in a purely civilized sociecv cannoc, therefore, be undersrood if considered independently of
cheorecical, speculative way whecher che changes in psychical habirns chac are che sociogenesi,s of our "civilizacion". By a kind of "sociogenetic ground rule"*
observable in the course of \i(!estem hisrory rook place in a parcicular order and individuals, in cheir shore hisrory, pass once more chrough some of che processes
direccion. Only a scrminy of documents of hisrorical experience can show whac chac their sociecy has craversecl in ics long history
is correcc <rnd whac is incorrecc in such theories. That is why ic is noc possible Ic is che purpose of Part Three ro make certain processes in this long hisrory
here, \vhen knowledge of chis documemary macerial cannot be presupposed, ro of sociecy more accessible ro understanding. Ic anempcs, wichin a number of
give a brief preliminary skecch of che scrucmre and cemral ideas of che whole precisely defined areas, ro clarify how and why in che course of ics hiscory the
book. They chemselves cake on a firmer form only gradually, in a continuous scrucrnre of \i(!escern sociecy cominuously changes, and poims ac che same cime
observacion of hisrorical faces and a consram checking and revision of whac has ro an answer ro che quescion of why, in che same areas, che scandard of behaviour
betn seen previously chrough whac emered later inro che field of observacion. and che psychical habims of \i(!escern peoples change
And elms che individual pans of chis smdy, ics scrucrure and mechod, will \\it see, for example, che social landscape of che early Middle Ages. There is
probably be complecely intelligible only when chey are perceived in cheir a multimde of greater and smaller castles; even che rown secclemems of earlier
emirecy. Ic muse suffice here ro facilirnce the reader's underscanding by picking
om a few problems. '''This expression should nor bt undtrsrood ro mean that all rht indiviJual phases of a society s
Pare Two comains a number of stries of txamples. They strve ro show history art reproduced in rht history of the civilized individual. Nothing would be more absurd than
rn look for an ";.u.::n1rian feudal age or a .. Renaissance or a "courdy-absolurisr period in die lift of
developmem in an acceleraced fashion . In a few pages we see how in che course
individuals. All of this kind refer w rht structure of whole social groups
of centuries the scandard of human behaviour on che same occasion very
\\/hat must be pointed out here is rht simple fact that even in civilized socitty no human beings
gradually shifrs in a specific direccion. \i(!e see people ac cable, we see chem going come into rhe world civilized, and chat the individual civilizing process char they compulsor!ly
ro bed or in hoscile clashes . In chese and ocher elememary accivicies che manner un<lergo is a function of rhe social civilizing process Therefore. the srrucrure of a child's affecrs and
in which individuals behave and feel slowly changes. This change is in che consciousness no <loubr bears a certain resemblance rn that of "uncivilized' peoples, anJ rhe same

direccion of a gradual "civilizacion", bm only hisrorical experience makes clearer applies rn rhe psychological stratum in grown-ups which. with the advance of civilization is
subjecrtd rn more or less heavy censorship and consequendy finds an oudet in dreams, for example.
whac chis word acmally means. Ic shows, for example, che decisive role played in
But since in our society every human being is exposed from the first moment of life to rhe influence
chis civilizing process by a very specific change in che feelings of shame and and rhe moulding inrervenrion of civilized grown-ups. rhey muse indeed pass through a civilizing
delicacy. The srnndarcl of what is socially demanded and prohibited changes; in process in order reach the swndard arrninecl by rheir socitty in the course of irs history. bur not
conjunccion wich chis, che chreshold of socially inscilled displeasure and fear through the individual phases of rhe social civilizing process
xii
xi11

rimes have become feudalizecL Their ctntres roo are formed by rhe castles and Thar is whar is arrempred here The sociogeneric and psychogeneric invesrigation
ts rares of lords from rhe \\ arrior class. The quesrion is: \Vhar art tbt secs of social sers om co reveal rhe order under! ying hiscorical rheir mechanics and rheir
relationships char press roward rhe development of whar we call the "feudal concrete mechanisms: and ir seems thar in rhis way a large number of quesrions
sysrem";, The anempr is made ro demonsuart some of rhese "mechanisms of char appear complicared or even beyond undersrnnding today can be given fairly
feudalizarion" \Ve set further how, from rhe casrle landscape, rogerhtr wirh a simple and precise answers.
number of free urban crafr and commercial serdements, a number of larger and For this reason, chis smdy also enquires inco rhe sociogenesis of rhe srnre.
richer feudal esrares slowly emerge . \Virhin rhe warrior class irself a kind of
There is. co rake one aspecr of rhe hiscory of rhe srnre's formarion and srrucrnre,
upper suamm forms more and more disrincdy; rheir dwelling-places are rhe real
the problem of the "monopoly of force". Max \Veber poinred om. mainly for rhe
cemres of minnesong and rhe lyrics of the rroubadours, on the one hand, and of
sake of definirion, char one of rhe consrimrive insrirnrions required by rhe social
c11i!rrois forms of beha\iour on rhe ocher If earlier in rhe book the CO!!rtois standard
organization we call a scare is a monopoly in the exercise of physical force. Here
of conduce is placed ar rhe scarring-point of a number of sequences of examples
an arcempr is made w reveal somerhing of rhe concrere hisrnrical processes
giving a picrnre of rhe subsequent change of psychical make-up, here we gain
which-from rhe rime when rhe exercise of force was rhe privilege of a host of
access ro rhe sociogenesis of rhese 1w1rtois forms of behaviour themselves.
rival warriors-gradually impelled society coward rhis cenrralizacion and mono-
Or we see, for example, how rhe early form of whar we call a 'scare" develops.
polizarion of rhe use of physical violence and its insrruments. It can be shown
In rhe age of absolurism, under rhe warchword of cil'i!iti, behaviour moves very
char rhe rendencv co form such monopolies in chis pasr epoch of our hiscory is
ptrcepribly rowards rht srnndard char we denote rodar by a derivative of rbe
neirher easier more difficulr w understand rhan, for example, rhe srrnng
word t"iri!itt as "civilized" behaviour. Ir therefore seems necessary, in elucidating
rendencv cowards monopolization in our own epoch And ir is rhen nor difficulr
this civilizing process. to obrnin a clearer picture of whar gave rise co rhe
absolmisr regimes and therefore co rhe absolurisr srnre. Ir is nor only rhe ro rhar, wirh chis monopolizarion of physical violence as rhe poinr of
observarion of rhe pasr rbar poims in chis direcrion: a wealrh of contemporary intersection of a mulrirnde of social inrerconnecrions, rhe whole appararns which
observations suggesrs srrongly char rhe suucrure of civilized behaviour is closely shapes individuals, rhe mode of operarion of rhe social demands and prohibirions
interrelated wirh rht organizarion of \Vesrern socieries in rhe form of scares. The which mould rheir social habirns, and above all rhe kinds of fear rhar play a pare
quesrion. in ocher words, is: How did rhe exrremely decenrralized society of rhe in rheir lives art decisively changed.
early Middle Ages, in which numerous grearer and smaller warriors were rhe real Finallv, Parr Four, "Towards a Theory of Civilizing Processes", underlines once
rulers of \Vesrern rerricory, become one of the internally more or less pacified bm more connecrions berween changes in rhe srrucrnre of sociery and changes in
ourwardly embarded societies rhar we call scares:. \Vhich dynamics of human rhe srrucrnre of people's behaviour and psychical habirns. Much of whar could
interdependencies push rowards rhe inregrarion of ever larger areas under a onlv be hinred ar earlier, in depicring concrere hisrnrical prncesses, is now scared
relarivel y srnble and centralized gcm:rnmenr appararns' ex;licidy \\le find here. for example, as a kind of rheorerical summing-up of
Ir may perhaps seem ar first sighr an unnecessary complicarion co invesrigare whar previously became evidem from rhe srudy of hiscorical documents, a short
rhe genesis of each hisrorical formarion. Bm since every hisrnrical phenomenon, sketch of rhe srrucrnre of rhe fears experienced as shame and delicacy: we find an
human arcirncles as much as social insri(Lltions, did ac(Llally once "develop", how explanarion of precisely why fears of chis kind play an especially imporrnnt role
can modes of rhoughr prnve eirher simple or adequare in explaining chest in rhe adYance of rhe ci\ilizing process; and at rhe same rime, some lighr is shed
phenomena if. by a kind of arrificial absrracrion, rhey isolare rhe phenomena on rhe formarion of rhe "super-ego" and on rhe relation of rhe conscious and
from their na(Llral, hiscorical flow, deprive chem of their character as movement unconscious impulses in rhe psyche of civilized people. Here an answer is giYen
and process, and try w understand rhem as srnric formations wirhout regard ro co rhe quesrion of hiscorical processes; rhe question of how all these processes,
rhe way in which they have come inco being and change:. Ir is nor theorerical consisring of norhing but the actions of individual people, neverrheless give nse
prejudice bm experience irself which urges us to seek inrellecrual ways and co insri(Llrions and formarions which were neirher inrended nor planned by any
means of steering a course berween rhe Scylla of chis "sraricism", which rends co single individual in the form rhey acrnally rake. And finally, in a broad survey.
express all hiscorical movement as something morionless and withom evolution, rhese insighrs from rhe pasr are combined inco a single picrnre wirh experiences
and rhe Charybdis of rhe "hiscorical relativism" which sees in hisrnry only from rhe present.
consrnnr rransformarion. wirhom penerraring co the order underlying chis This srndy rherefore poses and develops a very wide-ranging problem; ir does
rransformarion and co rhe laws governing rhe formation of hiscorical srrucrnres. nor prerend ro solve ir.
XIV Tht: Cfrilizing Process xv

Ic marks om a field of observation that has hitherto received relatively little hisrorical processes, of what might be called the "developmental mechanics of
attention, and undertakes the first steps toward an explanation. Others must hisrory", has become clearer to me, as has their relation ro psychical processes.
follow. Terms such as socio- and psychogenesis, affective life and drive-moulding,
Many guestions and aspects which presented themselves in the course of rhis c:xrernal and internal constraints, embarrassment threshold, social power, monop-
study I deliberately did not pursue. It was not so much my purpose to build a oly mechanism, and a number of others give expression ro this. Bm the least
general theory of civilization in rhe air, and then afterwards ro find om whether possible concession has been made to rhe necessirr of expressing ne\V things rhar
it agreed with experience; rather, it seemed the primary rask ro begin by have become visible through new words.
regaining within a limited area rhe lost perception of rhe process in question, rhe So much for the subject of this book
peculiar transformation of human behaviour, then ro seek a certain under- For rhe prc:sc:nt srudy and for a number of necessary preliminary investiga-
srancling of its causes and, finally, ro garher rogether such rheorerical insights as tions, I have received advice and support from many sides. Ir is my wish here ro
have been encountered on the way If I have succeeded in providing a rolerably rhank expressly all rhe people and insrirmions that have helped me.
secure foundation for further reflection and research in this direction, rhis study The enlargement of my Hahilitt1ti1111ssch1iji and an extended study of nobility,
has achieved everything it set our w achieve. Ir will need the thought of many royalty, and courtly society in France which is rhe basis of this book, was made
people and the co-operation of different branches of scholarship, which are often possible by rhe support of the Sreun-Fonds of Amsterdam. My thanks are due ro
divided by artificial barriers roday, gradually ro answer the questions that have rhis foundation, and ro Professor Frijda of Amsterdam and Professor Bougie of
arisen in the course of this study.. They concern psychology, philology, ethnology Paris for the great kindness and interest they showed mt during my work 111
and anthropology no less than sociology or the different special branches of Paris
hisrorical research For the period of my work in London I received rhe generous support of
However, rhe issues raised by the book have their origin less in scholarly \'Voburn House, London . To ir and above all ro Professor Ginsberg of London,
tradition, in the narrower sense of the word, than in the experiences in whose Professor A Loewe of Cambridge, and A. Makower, MA, of London I owe very
shadow we all live, experiences of the crisis and transformation of \'Vesrern great thanks. \'Virhom their help my work would not have come to fruition.
civilization as it had existed hirherro, and the simple need ro understand what Professor K. J\fannheim of London I thank for rhe help and advice he gave me.
this civilization .. really amounts m Bur I have nor been guided in this srudr br And I am nor least indebted to my friends Gisele Freund, D Phil., Paris;
the idea that our civilized mode of behaviour is rhe advanced of ail M.. Braun, D.Phil., Ph.D, Cambridge; A. Gli.icksmann, DMecl , Cambridge;
humanly possible modes of behaviour, nor by the opinion rhar "civilization" is H. Rosenhaupr, D.PhiL, Chicago; and R. Bonwir, London, for their help and
rhe worst form of life and one that is doomed. All rhar can be seen roclay is that for the discussions in which many things were made clear to me, and I thank
with gradual civilization, a number of specific civilizational difficulties ;rise Bu; them
it cannot be said rhar we alrtadv understand whv we acruallv rormtnt ourselves
in such ways . \'Ve feel rhar have got ourse,lves, rhtoug.h civilization, into September 19 _:;6 Norbert Elias
certain entanglements unknown ro less civilized peoples; bur we also know rhar
these less civilized peoples are for their part often plagued by difficulties and
fears from which we no longer suffer, or at least nor ro rhe same degree Perhaps
all this can be seen somewhat more clearly if it is unclersroocl how such civilizinu
processes actually rake place . Ar any rare: that was one of rhe wishes with
I set to work on this book. Ir may be that, through clearer unclersrancling, we
shall one clay succeed in making accessible ro more conscious control these
processes which roday rake place in and around us nor verv differendr from
natural events, and which we confront as medieval people forces
of nature.
I myself was obliged in the course of this srudv' ro revise mv, rhinkin"
b
on a
large number of points, and I cannot spare rhe reader from becoming acquainted
with a number of unfamiliar aspects and expressions. Above all, the nature of
Acknowledgements to the Editors' Note on the
English Translation* Revised Translation

This rranslarion could nor hano been produced wirhom rhe aid of mv friends. Reprinting rhe 199-i one-volume edirion of The Ci1i!isi11g Pm,"tSS afforded an
In parricular. Professor Johan Goudsblom has spenr a grear deal of and opporruniry w make some revisions rn the rext, and they prnved ro be rarher
efforr in comparing rhe English and German rexrs w ensure rhar rhe exacr more exrensive rhan we originally intended. Translarion is an imperfect arr, and
meaning has been imerprereJ. Eric Dunning has also rhroughom made a number rranslarini..; Norberr Elias's German imo English poses peculiar problems. They
of very useful suggesrions . The exercise of checking rhe rranslarion was in irself arise mai;ly from his arrempr always w write in a j>ron:SSfla! way, minimising rhe
a mosr useful one for me as ir enabled mt ro revise rhe rexr in minor. bm use of srntic conceprs, and also ro avoid referring ro 'rhe individual' in rhe
imporrnm, ways and ro add nores which ser rhe work in rhe comexr of mv larer sini..;ular and as somerhing separate from orher people-whar Elias was later w
rhinking . None of chis should be rnken as any reflecrion on rhe rran,slaror. call rhe homo c!1111s11s image, prevalent in \Vestern rhoughr. Edmund Jephcort's
Edmund Jephcon. ro \1hom I 0\1e rhe greatesr debt. My rhanks are also clue w fine translation of T /;, Ciri!izing Pn1ccss, publishtd in 19-8 and 1982. was one of
Johan and Maria Gouclsblom for reading the proofs and compiling rhe index. rhe earliesr of Elias's German writings ro appear in English, and since then there
Italics in the quotarions indicate the amhor's emphasis have been manr discussions among Elias scholars about the best ways of
rendering his id.eas \Ve have also had rhe advantage of being able ro consulr
Heike Hammer's definitive scholarly edirion of Ohu d.:11 P1ozeji der Zil'ilis{!fio11,
published by Suhrkamp in 1997.
Apart from correcring some major errors that had crept in, nornbly unscram-
bling the rexts of the excerprs from medieval manners books on behaviour ar
table. we have made a number of changes which we hope will clarify rhe text. For
instance, wririni..; in German in the 1930s, Elias frequently used rhe term
Hahiws, which tn rhe l 970s and early l 980s was quire unfamiliar in English,
and was therefore generally translared by expressions such as "personaliry
makeup ... Since rhen, particularly rhrough the \Hirings of Pierre Bourdieu, rhe
'i' This note of acknowledgt:mt:nt appeared in tht tirsr English translation of rht St,w1J Yolumt: of Tht more precise term "habirns .. has re-entered rhe vocabulary of anglophone social
Ci: ili:in,r.:. publisht:d in l
1.1, under thL rirlt Suh fr1m.'.!!ir1n ,mJ Ciz i!i::.1tilill (or. in the scienrists, and rherefore we have resrnred ir in the present rexr. Anorher example
Amt:rican edition . . as Pr1u .m) Ciz iii:_; J
is the word rittuifrh. which we render literally as "knightly .. rather rhan
XV Ill Th, Cil'i/i:;ing Pmass

"chirnlrous". since H most fundamenrally connotes a rather violenr way of life.


And we have in places reswrecl Elias's use of Freudian terminology, ro bring our
more clearly rhe influence of Freud which Elias always acknowledgc;cl ro have
been strong. In rhis revised translation. rhe word Trieu is rranslared as "drive". not
as "instinct"; Elias was one of rhe most important contriburors ro what are now
called "rhe sociology of emotions" and "the sociology of the body". and nothing VOLUME I
could be more misleading than ro convey rhe impression that his theory rests on
essentialist assumptions of rhe kind usually associated wirh rhe concept of
insrincrs. \\le have also wken rhe opportunity to make corrections ro rhe rexr of
Parts One and Two corresponding ro those which rhe aurhor, in consulrarion
CHANGES IN
wirh Johan Goudsblom, made in the English translation of Parts Three and Four
Towards rhe encl of his life, Elias also came to feel strongly that exclusively
THE BEHAVIOUR
masrnline expressions should be avoided where females as well as males are being
referred ro; we have made appropriate amendments. On rhe other hand, Elias in
OF THE SECULAR
rhe 19_'\0s used a number of concepts such as "mechanism'', "cause" and "law" of
which he became critical in the 1960s In these cases, we have generally left the UPPER CLASSES
original text unchanged, largely because Elias did not concern himself at length
with this issue in the 1968 Postscripr.
\\le have made extensi\e changes ro the tenses used in the text. In Uber dw
IN THE WEST
Pru::Lji d1:r Ziri!isatir1n, Elias wrote mL;ch of the time in the historic present which
is (or was) more acceptable in German than in English. where good style requires
rhat ir be used only sparingly for rhetorical effect For ex<1mple, Elias's historical
narrative of French hisrory in Parr Three has now been changed mostly into rhe
past tense; this should m<1ke ir easier for the reader to distinguish between when
Elias is providing narrative as empirical evidence (pasr rense) and when he is
drawing general theoretical conclusions from the evidence (present tense).
Hitherto, ir has been common for the two original volumes of the English
rranslarion to be misperceived as rwo separate or only loosely-connected books.
The sequence of contents in this revised one-volume edition has now been
amended to make clear rhar rhis is a single book, and ro bring ir inro line wirh
the German edition. The long introduction which Elias wrote in 1968, when
Ubc1 de11 Pm:;ej! i!t:r was first reprinted, appears here however as a
Posrscri pr-for rhar is what it is, the author's thoughts thirty years after he
wrote rhe book For most readers ir will perhaps make better sense ct/tff they have
read rhe book itself; bm readers who are looking for a general srarement of Elias's
intellectual position (subsequently developed in the many other books he wrote
in rhe 1970s and 1980s) should mm first to rhe Postscript.

Eric D1111ning
Johan Go11dsb!om
Stephen Mw11e!!
Amsterdam, Leicester and Dublin, July 1999
PART ONE
On the Sociogenesis
of the Concepts of
"Civilization" and
"Culture"
1
Sociogenesis of the Antithesis
Betiueen Kultur
and
Zivilisation zn Gerrnan Usage

Introduction
l. The concepr of "civilizarion" refers ro a wide variery of faces: ro rhe leYel of
rechnology, ro rhe rype of manners, ro rhe developmem of sciemific knowledge,
ro religious ideas and cusroms . Ir can refer to rhe rype of dwelling or the manner
in which men and women live rogether, to rhe form of judicial punishmem, or
to rhe way in which food is prepared. Stricdy speaking, rhere is almosr norhing
which cannot be done in a "civilized" or an "uncivilized" way; hence, ir always
seems somewhar difficulr to summarize in a few words everything char can he
described as civilizarion.
Bm when one examines whar the general funcrion of rhe concepr of civilizarion
really is, and whar common quality leads all rhese various human arritudes and
acrivities ro be described as civilized, one scares wirh a very simple discovery: this
concepr expresses the self-consciousness of the \'Vest . One could even say: the
national consciousness. It sums up everything in which \'Vesrem society of the
last two or three centuries believes itself superior ro earlier societies or "more
primitive comemporary ones. By this term \'Vestem society seeks ro describe
what constitutes its special character and whar ir is proud of: rhe level of its
rechnology, rhe nature of its manners, rhe developmem of its sciemific knowledge
or view of rhe world. and much more.
6 Tht Ciz'ili:illg prr;(t;JS 7

' Bur "ci\ilizarion" doc:s nor mean rht same rhing ro different \Vesrtrn German concept of K!!lt11r, in current usage. has a differem rtlarion to morion . Ir
narions. Above alL rhere is a grtar difference berween tht English and French use refers to human produces which are rhtre like "flowers of rhe field", i ro works of
of rhe word. on rht one hand, and rhe German use of ir. on rhe orher. For rhe arr, books, religious or philosophical systems. in which rhe individuality of a
former, rhe concepr sums up in a single rerm rheir pride in rhe significance of people expresses itself. The concept of K!!lt!!r delimits.
rheir own narions for rhe progress of the \Vesr and of humankind. Bllt in To a ce:rrnin exrem, rhe concept of civilization plays down the national
German usage. Zirilis<1tio11 means somerhing which is indeed useful, bllt difforencts berwten peoples; ir emphasizes what is common to all human beings
neverrheless only a value of rhe second rank, comprising only rhe ollter or-in rhe view of irs bearers-should be:. Ir expresses rhe self-assurance of
appearance of human beings, the surface of human exisrence. The word rhrough peoples whose national boundaries and national idemiry have for centuries been
which Germans interpret rhemselves. which more rhan any orher expresses rheir so fully established char thty have ceased to be rhe subject of any parricular
pride in their own achievemems and rheir own being, is K!!ltm discussion, peoples which have long expanded omside rheir borders and colonized
3 A peculiar phenomenon: \vords like the English and French "civilization" or beyond rhem.
the German K!ilt!ir appear completely clear in rhe inrernal usage of the society ro In comrasr, rhe German concept of K!!lt11r places special suess on narional
which they belong. Bllt rhe way in which a piece of the world is bound up in differences and rhe particular identity of groups; primarily by virtue of chis, ir
them, the manner in which they include certain areas and exclude orhers as a has acquired in such fields as ethnological and amhropological research a
matter of course, rhe hidden evaluations which they implicitly bring with them, significance far beyond rhe German linguistic area and rhe situation in which rhe
all rhis makes them difficult ro define for any outsider concept originated. But char situation is rhe situation of a people which, by
The French and English concept of civilization can refer ro political or \X/esrern standards. arrived ar political unification and consolidation only very
economic, religious or technical. moral or social facts. The German concept of !art. and from whose boundaries, for cemuries and even down ro rhe presem,
K!!lt11r refers essemially ro intellectual. arrisric and religious facrs. and has a rerrirories have again and again crumbled away or rhrearened to crumble away.
rendency ro draw a sharp dividing line berween facrs of this sort, on the one side, \Vhereas rht concept of civilization has rhe function of giving expression ro rhe
and political. economic and social facrs. on the other. The French and English cominuously expansionist tendency of colonizing groups, rhe concept of K11!t11r
concept of civilization can refer to accomplishments, but it refers equally to the mirrors rhe self-consciousness of a nation which had consrnntly ro seek out and
atritudes or "behaviour" of people, irrespeeti\e of whether or nor they have consriture irs boundaries anew, in a political as well as a spiritual sense, and
accomplished anything In rhe German concept of K11!1Jir, by comrasr, rhe again and again had ro ask irself: "\Vhar really is our identiryY The orienrarion
reference ro "behaviour", to the value which a person has by virtue of his or her of rhe German concept of culture, wirh its tendency rowards demarcation and rhe
mere existence and conduct, without any accomplishment at all. is very minor. emphasis on and derailing of differences between groups, corresponds ro chis
The specifically German sense of rhe concept of K!!lt11r finds its clearest hisrorical process Tht questions "\Vhar is really French, \Vhar is really
expression in its deri\arive, the adjective l?l!!tur,/I. which dtscribesthe value and English, .. han'. long since ceased ro be a marrtr of much discussion for rhe
character of particular human products rather than rht imrinsic value of a person. French and English. But for cemuries rhe question "\X!liar is really German)" has
But chis word, the concept embodied rn lwlt!!rell, cannot be exactly rranslared nor been laid to resc One answer ro chis question--one among ochers-lies in a
inro French and English parricular aspect of rhe concept of K11!t1!I'
The word k!!ltiric1l (culrivartd) is very dost to rhe \Vesrern concept of 5 Thus rhe national self-images represemed by concepts such as K!!lmr and
civilization. To some exttm, ir reprtstms rhe highest form of being civilized. "civilization" rakt wry different forms. Bur however cliffe:renr rhe self-image of
Even people and families who have accomplished nothing k1tltmell can be rhe Germans, who speak wirh pride of their K11lt!!r, and char of rhe French and
lat!til'iert. Like rht term "civilized", k!!ltil'iert refers primarily to rhe form of English, who chink wirh pride of rheir "civilization", rhey all regard ir as
people's conduce or be:haviour. Ir describes a social quality of people:, rheir completely self-evidem char theirs is rhe way in which rhe world of humans in
housing, thtir manners, rheir speech, rheir clothing, unlike kitlt!!rell, which does general wants to be viewed and judged. The Germans can perhaps try ro explain
nor refer dire:ctly ro people themselves, but exclusively to particular human rn rhe French and English what rhey mean by rhe concept of Ku!t11r. But rhey can
accomplishments. communicate hardly anything of rhe specific national background and rhe self-
-4 Another difference between rhe rwo concepts is very closely bound up with evidenr emotional values which e:nvelop rhe word for chem.
chis . "Civilization" describes a proce:ss or ar lease rhe result of a process. Ir refers The French or English person can perhaps cell rhe German what elemems
ro something which is constantly in morion. consranrly moving "forward". The make rhe concept of civilization rhe sum of rheir national self-image. But
8 T/Je Cil'ilizi11g Pmass Changes in the Beh,tl'io11r of the Secular Uj>j1er Classt.r in the \\lest 9

however reasonable and rarional chis concepr may appear ro chem, ir roo grows funcrions and experiences in rhe acrnal life of society cease ro be bound up wiEh
OL!( of a specific sec of hisrorical simarions, ir too is surrounded by an emorional chem. Ar rimes, roo, rhey only sleep, or sleep in certain respecrs, and acquire a
and rradirional aura which is hard to define bl!( which neverrheless represents an new exisrenrial value from a new social sirnarion. They are recalled rhen because
integral pan of irs meaning. And rhe discussion really becomes fl!(ile when a somerhing in the presem stare of society finds expression in rhe crysrnllization of
German rries to show rhe French and English person why rhe concepr of rhe past embodied in rhe words.
Zil'ilisatio11 does indeed represem a value for him, bl!( onlv one of rhe second
rank.
II
6. Conceprs like rhese rwo have somerhing of rhe characrer of chose words
which from rime to rime make rheir appearance in some narrower group, such as
a family or a seer, a school class or an associarion, and which say much ro rhe
The Development of the Antithesis of
iniriare and lirde to rhe OL!(sider. rnke shape on rhe basis of common Kultur and Zivilisation 2
experiences . They grow and change wirh rhe group whose expression rhey are.
The simarion and hisrory of the group are mirrored in them. And they remain 7. Ir is clear char rhe function of rhe German concepr of K1t!t11r took on new
colourless, they never become fully alive for chose who do not share these life in rhe year 1919, and in the preceding years, partly because a war was waged
experiences, who do nor speak from the same tradition and the same simation. against Germany in rhe name of "civilization" and because rhe self-image of the
The conceprs of J\.1t!t11r and "civilizarion", to be sure, bear rhe srnmp not of Germans had to be defined anew in rhe sitllation creared by the peace rreaty
seers or families bl!( of whole peoples, or perhaps only of cerrnin classes of these Bm ir is jusr as clear, and can be proved, char ro a cerrain extent rhe historical
peoples. BL!( in many respecrs whar is rrue of rhe specific words of smaller groups sitllarion of Germany after rhe war only gave a new impulse ro an antirhesis
is also rrue of rhem: they are primarily used by and for people who share a which had long found expression through these rwo concepts, even as far back as
parricular rradirion and a parricular sirnarion. the eighreenth cenrnry.
Mathematical conceprs can be separared from the group which uses rhem. Ir seems to have been Kam who first expressed a specific experience and
Triangles may be explicable withol!( reference ro hisrorical situations. Concepts anrirhesis of his sociery in relared concepts. In 1784 he wrore in his Ideas 011 a
such as "ci\ilization" and Kl!ft11r are not. It may be rhat parricular individuals Unfrma! History ji"0111 the Point of V/1:11 of a Citizen of the \Vor!d: "Culrivared to a
formed them from rhe exisring linguisric material of their group, or at least gave high degree by arr and science, we are civilized to rhe poim where we are
rhem new meaning. BL!( rhey took roor. They became esrablished. Others picked overburdened wirh all sores of social propriery and decency
rhem up in rheir new meaning and form, developing and polishing them in "The idea of moraliry," he added, "is a parr of culrnre. Bm the application of
speech or wriring. They were tossed back and forrh until rhey became efficient chis idea, which resulrs only in the similirnde of moraliry in the love of honour
instrumems for expressing whar people had joindy experienced and wanted ro and in ourward decency, amoums only ro civilizing."
communicare. They became fashionable words, concepts current in rhe everyday Relared as this formularion of the amirhesis already seems, in rhe momem of
speech of a parricular society. This shows thar rhey met nor merely individual its genesis, ro our formularion, irs concrere poim of deparrnre in the experiences
bl!( shared needs for expression. The shared hisrory has crystallized in them and and situarion in rhe lace eighteemh century, rhough nor wirhour an hisrorical
resonares in rhem. Individuals find rhis crysrallizarion already in rheir possibil- connecrion to rhe experiences on which i rs presem-day use rests, is neverrheless
iries of use. They do nor know very precisely why rhis meaning and rhis significantly different. The comraposirion here, where rhe spokesmen of the
delimitarion are bound up wirh rhe words, why exacdy rhis nuance and rhar new developing German bourgeoisie, rhe middle-class German intelligemsia, 5 srill
possibiliry can be drawn from rhem. They make use of rhem because ir seems to spoke in large parr "from rhe point of view of a cirizen of the world", relared only
him a marter of course, because from childhood rhey learn to see rhe world vaguely and at besr secondarily ro a narional comrasr. Irs primary aspect was an
rhrough rhe lens of these conceprs. The social process of rheir genesis mav be imernal contrast wirhin the sociery, a social comrasr which nevertheless bore
long forgorren. One generarion hands them on ro another being wirhin irself in a significam way the germ of rhe narional conrraposirion: rhe
of rhe process as a whole, and the concepts live as long as rhis crystallizarion of comrasr between the courtly nobiliry, predominantly French-speaking and
pasr experiences and simarions retains an exisrential value, a function in the "civilized" on the French model, and a German-speaking, middle-class srrarnm
acrnal being of society-that is, as long as succeeding, generarions can hear their of intelligentsia recruired chiefly from the bourgeois "servers of princes" or
own experiences in rhe meaning of the words . The terms gradually die when rhe officials in rhe broadest sense, and occasionally also from rhe landed nobility.
10 The Cirili:::ing Pmcess Chd11ges ill the Beh,ll'io1ir of the Semlar Upper Classer ill the l l

This latter was a stratum far remon:d from political acriviry, scarcely thinking in passing, with a sigh of resignation After the middle of the century the rnne
in political terms and only tentatively in national ones, whose legitimation gradually changes . The self-legitimation of the middle classes by virtue and
consisted primarily in its imellectuaL scientific or artistic {mw11j1/ishmmts. accomplishment becomes more precise and emphatic, and the polemic against the
Coumerposed w it is an upper class which "accomplished" norhing in rhe sense external and superficial manners to be found in the courts becomes more explicic.
in which the ochers do, but for which rhe shaping of its distinguished and
disrincrive beharioi!r was central w irs self-image and self-justification . And this III
is the class which Kam has in mind when he spoke of being "civilized w rhe
point where we are overburdened", of mere "social propriety and decency", of Examples of Courtly Attitudes rn Germany
"the similitude of morality in the love of honour". It is in the polemic of the
9 Ir is not easy w speak of Germany in general, since at this time there were
stratum of the German middle-class intelligentsia against the etiquette of rhe
special characteristics in each of the many stares . But only a fow were eventually
ruling courtly upper class that the conceptual comraposition of Kllit11r and
decisive for the development of the country as a whole; the rest followed. And
Zirilisatio11 originated in Germany. But this polemic is older and broader than its
certain general characteristics were more or less clearly apparent everywhere.
crystallization in these rwo concepts
To begin with, there is the depopulation and the dreadful economic
8. It can be traced long before the middle of the eighteenth century, even if
devastation of the country after the Thirty Years \\Yar. In the seventeenth
only as an undertone in thought much more muted than after the middle of the
cemury, and even still in the eighteenth, Germany and in particular the German
century. A good idea of this can be obrainecl from the articles on Hof Hoflichkeit,
bourgeoisie were poor by French and English standards. Trade, and especially rhe
and Hofman!! (Court. Courtesy, Courtier), too long to be reproduced here in foll, foreign trade which was highly developed in parts of Germany in the sixteenth
in the Zecl/1:r Unin:nal L1:xico11 of 1736.' cenwry, was in ruins. The huge wealth of the great mercantile houses had been
destroyed, partly by the shift in trade romes due ro the overseas cliscowries, and
Courtesy undoubtedly gets its name from the court and court lift . The courts of great partly as a direct consequence of the long chaos of the war. \\/hat w<lS left was a
lords are a theatre where e\eryone wants to make his fortune This can only be done by small-town bourgeoisie with narrow horizons, living essentially by supplying
,,inning the favour of the prince and the most important people of his court One local needs
therefore rakes all concei,able pains to make oneself agreeable w them . Nothing does There was not much money available for luxuries such as literature and arc In
this better than making the other believe that we are ready to serve him to the utmost rhe courts, wherever there was enough money to do so, people inadequately
of our capacity under all conditions. Nevertheless, we are not always in a position to imitated the conduct of the court of Louis XIV and spoke French. German, the
do this, and may not want rn, often for good reasons. Courtesy serves as a substirnte for language of the lower and middle classes, was unwieldy and awkward. Leibniz,
all this By it \\'t gin: rhe other so much reassurance, through our outward show, that Germany's only courtly philosopher, the only great German of this rime whose
he has a favourable anticipation of our readiness to serve him. This wins us the other's name won acclaim in wider courtly circles, wrote and spoke French or Larin,
rrusr, from which an affecrion for us develops imperceptibly, as a result of which he seldom German . And the language problem, the problem of what could be clone
becomes eager to do good to us. This is so common with courtesy that it gives a special with chis awkward German language, occupied him as it occupied many
advanrnge w him who it. To be sure, it should really be ability and virtue
or hers.
which earn us people's esteem But ho,, tf=w are the correct judges of these two! And
French spread from the courts to the upper layer of the bourgeoisie. All
how many fewer hold them ,,orthy of honour' People. all too concerned with exrernals,
ho1metes gew (decent people), all people of "consequence" spoke ir. To speak
are for more moved by what reaches their senses externally, especially \\hen the
French was the status symbol of all the upper classes.
accompanying circumstances are such as particularly affect their will. This works out
In 1730, Gottschecl's bride wrore ro her betrothed: "Nothing is more plebeian
exactly in the case of a courtier.
than to write lerrers in German."j
If one spoke German, it was considered good form w introduce as many
Simply, without philosophical interprerarion and in clear relarion w specific French words as possible. In 17.:\0, E de Mauvillon wrore in his Let/ri:s Fnmruises
social configurations, rhe same antithesis was here expressed which eventuated in d G1:r111a11iq11es: "It is only a few years since one did nor say four words of German
Kam, refined and deepened, in the antithesis of culture and civilization: without two of French." That was ft be! 11.f{Jge (good usage). 1' And he had more ro
deceptive external "courtesy" and true "virtue" But the author only spoke of chis say abour the barbaric quality of the German language. Its nature, he said, was
12

"d'em: rude er barbare" (robe rude and barbarous). There were rhe Saxons, who Germany's impoverishment as a result of continuous wars, and of the inadequate
asserted "qu'on parle mieux L>\llemand en Saxe, qu'en aucun aurre endroir de development of trade and the bourgeoisie
!'Empire" (German is spoken bener in Saxony rhan in any ocher. parr of rhe "Ir is", he said, "not ro rhe spirit or the genius of rhe nation rhat one must
Empire). The Austrians made rhe same assertion in regard ro themselves, as did attribute rhe slight progress we haw made, but we should lay rhe blame only on
rhe Bavarians. rhe Brandenburgers and rhe Swiss. A few scholars, Mauvillon a succession of sad events, a srring of wars which have ruined us and left us poor
continued. wanted to esrnblish rules of grammar, bur "ii est difficile, qu'une in men as well as money...
Narion. qui contient clans son sein rant de Peuples independans Jes uns des He spoke of the slowly beginning recovery of prosperity: "The Third Estate no
aurres. se soumerre aux decisions d'un perit nombre des Savans" (it is difficult for longer languishes in shameful degradation. Fathers educate their children
a nation that embraces so many peoples independent of one anod1er to submit ro wirhom going into debt.. Behold, a beginning has been made in the happy
rhe decisions of a small number of sal'ai/fs) rernlution which we await." And he prophesied that with growing prosperity
Here as in many other fields, a small, powerless, middle-class intelligentsia fell there would also come a blossoming of German art and science, a civilizing of rhe
heir to rasks which in France and England were undertaken largely by rhe court Germans which would give them an equal place among the other nations: this was
and rhe aristocratic upper class. Ir was learned middle-class "servers of princes" the happy revolution of which he spoke. And he compares himself ro Moses, who
who first arrempred to create, in a particular intellectual class, models of what saw rhe new blossoming of his people approaching without experiencing ir.
German was, and thus ro esrablish at least in this intellecrual sphere a German 11 . \Vas Frederick right; A year after the appearance of his work, in 178 l,
unity which did nor yer seem realizable in rhe political sphere. The concept of Schiller's Die Rd!!bcr and Kant's Cririql!t (jf Pmc RcllJ()// appeared, ro be followed
Ku!t111 had rhe same function. in 1787 by Schiller's Don Carlos and Goethe's lj1higt11it. There followed the whole
Bur ar first most of what he saw in Germany appeared crude and backward ro blossoming of German literature and philosophy which we know. All of this
Mauvillon, an observer grounded in French civilization He spoke of rhe seems to confirm his prediction.
literature as well as rhe language in rhese rerms: "Milron, Boileau, Pope, Racine, But this new blooming had been long in preparation. The German language
Tasso. Moliere, and practically all poets of consequence have been rranslared inro did nor achieve its new expressive power in two or rllfee years. In 1780, when De
mosr European languages; your poets, for rhe most part, are themselves only !t1 !ittiwt11rt al!u11t1mk appeared, this language had long ceased to be the half-
translators." barbaric "parois" of which Frederick spoke. A whole collection of works ro which
He went on: "Name me a creative spirit on your Parnassus, name me a rodav, in rerrospecr, we assign considerable importance had already appeared.
German poer who has drawn from his own resources a work of some repurarion; Giit;:; l'Oll Ber!ichi11gt11 had been produced seven years earlier, \Vtrthe1 was
I you m "8 in circulation, Lessing had already published rhe major part of his dramatic and
theoretical works, including L@k()OI/ in 1766 and Die Ht1ll!bl!rgische Dm111at11rgie
l 0. One might say that this was the unauthoriratin: opinion of a badly
in l 76 7 Frederick died in 1781, a year after rhe appearance of his book.
informed Frenchman. But in 1780, forry years after Mauvillon and nine years
Klopstock's writings had been published much earlier; his 1\lwim appeared in
before the French Revolution, when France and England had already passed
l 748. This is without counting Herder, many of the St1m111111d Drang (Srorm and
through decisive phases of their cultural and national development, when rhe
Suess) plays. and a whole collection of widely read novels such as Sophie de la
languages of the rwo \\Jesrern countries had long since found their classic and
Roche's Dc1s F1d11!ci11 rn11 Sten1hcim . There had long since developed in Germany
permanent form, Frederick the Great published a work called De la !ittimture
1 a class of buyers. a bourgeois public-even if still a relatively small one-which
a!l1:11Ja11de.' in which he lamented the meagre and inadequate development of
was interested in such works . \\Javes of great inrellectual excitement had flowed
German writing, made approximately rhe same assertions about the German
over Germany and found expression in articles, books, plays, and other works
language as Mauvillon, and explained how in his opinion this lamentable
'I he German language had become rich and flexible
situation might be remedied.
Of all this Frederick gave no hint in his work. He either did not see it or
Of the German language he said: "I find a half-barbarous language, which
assigned it no significance. He mentioned only a single work of the young
breaks down into as many different dialects as Germany has provinces . Each local generation, the greatest work of the period of St!!rm i!lld Drang and enthusiasm
group is convinced that its parois is the best." He described the low estate of for Shakespeare, Giitz rn11 Berlichi11ge11. He mentioned it. characteristically, in
German literature and lamented the pedantry of German scholars and rhe meagre connection with the education and forms of enterrainmenr of the basses dmses, the
development of German science. Bur he also saw the reasons for ir: he spoke of lower strata of the population:
1-1 Changes in the Bcha1io111" of tht Sem!ar UPJ1er Classes in the \Vest 15

To cominu: yourself of the Lick of rnsre ,,-hich has reigned in Germany until our day, suucmre of chis court society, whose policical insritutions and interests were
nm onh need go rn rht public spccracles There you will see presented the abominable
multifariously fissured, bur whose social stratification was into esrares whose
works of Shakespeare. translated into our language: the whole audic:nce goes into
wsre, sryle and language were by and large the same rhroughour Europe.
rapmrts when it listens rn these ridiculous farces \\"Orthy of rhe savages of Canada. I
The peculiarities of this situation occasionally produced inner conflicts in the
describe them in chest terms because rhey sin against all rhe rules of rht theatre, rules
which are nor at all arbitrary, voung Frederick, as he slowly became aware rhar the interests of the ruler of
Louk ar the porters and gravediggers who come on sragt and make speeches worthy Prussia could nor always be brought into accord with reverence for France and
of them: after them come the kings and queens How can such a jumble of lowliness adherence ro courtly cusroms. 10 Throughout his life they produced a certain
and grandeur, of buffoonery and tragedy. be rnuching and pleasing' disharmony between what he did as a ruler and what he wrote and published as
One can pardon Shakespeare for these bizarre errors: rhe beginning of rhe arts is a human being and philosopheL
never their point of maturity The feelings of the German bourgeois intelligentsia towards him were also
But then look at Gi11: z 011 making its appearance on stage, a detestable somerimes correspondingly paradoxical. His military and political successes gave
imitation of these bad English pieces, while the public applauds and enthusiastically rheir self-identity as Germans a tonic it had long lacked, and for many he became
demands the repetition of these disgusting stupidities
a national hero. Bur his attitude in matters of language and taste, which found
expression in his work on German lirerarnre though by no means there alone,
And he continued: "Afrer having spoken of the lower classes, it is necessary for was exactly what the German intelligentsia, precisely as a German intelligentsia,
me to go on wirh rhe same frankness in regard ro rht universities." had to tight against.
12 The man who spoke rhus was rhe man who did more than any of his Their situation had its analogue in almost all rhe greater German scares and in
contemporaries for the poli rical and economic development of Prussia and manv of the smaller ones as well. At the rop almost everywhere in Germany were
perhaps indirectly for the political dewlopment of Germany, Bm rhe intellectual indi;,iduals or groups who spoke French and decided policy. On the other side,
tradition in which he grew up and which found expression through him was the rhere was a German-speaking intelligentsia, who by and large had no influence
common tradition of Europe's "good society", rhe aristocratic tradition of on political developments. From their ranks, essentially, came the people on
prenarional court society, He spoke its language, French. By the standard of its whose account Germany has been called the land of poets and thinkers. And
taste he measured rht intellectual life of Germany Irs prescribed models from them concepts such as Bdd1111g and K!!ltm received their specifically German
determine his judgement_ Others of this society had long spoken of Shakespeare imprint and tenor.
in a way altogether similar to his. Thus, in 17 30, Volrnire gave expression to very
similar thoughts in the Dijmms Jiii' la which introduced rhe tragedy IV
Bmt11s: "I cerrainly do nor pretend to approve rhe barbarous irregularities with
which it [Shakespeare's tragedy J!!li!!s Cesc1r] is filled. It is only surprising that The Middle Class and the Court Nobility in Germany
there are nor more in a work composed in an age of ignorance by a man who did
nor even know Larin and had no reacher except his own genius.-- 13 It would be a special project (and a very fascinating one) to show how much
\Vhar Frederick the Grtat said about Shakespeare was, in fact, the standard rhe specific mental orientation and ideals of a courtly-absolutist society found
opinion of the French-speaking upptr class of Europe. He did nor "copy" or expression in classical French tragedy, which Frederick rhe Great counterposes to
''plagiarize" Volrnire; what he wrore was his sincere personal opinion. He rook no rhe Shakespearean tragedies and GO!z" The importance of good form, the specific
pleasure in the rude and uncivilized jests of gravediggers and similar folk, the mark of every genuine ''sociery"; rhe control of individual feelings by reason, a
more so if they were mixed in with the great tragic sentiments of princes and viral necessity for every courtier; rhe reserved behaviour and elimination of every
kings. He felt that all of this had no clear and concise form; these were the plebeian expression, rhe specific mark of a particular srage on rhe road to
"pleasures of the lower classes", This is the way in which his comments are w be "civilization"-all chis finds its purest expression in classical tragedy. What must
understood; they are no more and no less individual than rhe French language he be hidden in court life, all vulgar feelings and attitudes, everything of which
used Like it, they bore wirness to his membership in a particular society.. And "one" does nor speak, does not appear in tragedy either" People of low rank,
the paradox that while his politics were Prussian his aesrheric tradition was which for chis class also means of base character, have no place in ic Its form is
French (or, more precisely, absolurisr-courtly) is less great than rhe nationally clear, transparent, precisely regulated, like etiquerre and court life in generaL 11
uni tied concepts of the present day may suggest. It is bound up with rhe special Ir shows rhe courtly people as rhey would like to be and, at rhe same rime, as rhe
16 Th1: Cizi/i;:;il!g Proo:ss Changer in the Behmio11r o/ the Semlar U/1/1er Classes in the \Fe.rt 17

absolme prince wams ro set them And all who lived under the impress of this out the qualities of che heart withom any preference for the nobles and the
social simation, be they English or Prussian or French, had their taste forced imo 12
rich."
the same panern. Even Dryden. next co Pope the best-known courdy poet of The whole literary movement of the second half of the eighteenth century was
England, wrote about earlier English drama in the epilogue ro the Collqmst of the product of a social class-and, accordingly, of aesthetic ideals-which was in
Gm11,tdt1 very much in the vein of Frederick the Great and Voltaire: opposition ro Frederick's social and aeschetic inclinations. Thus, they had
nothing ro say w him, and he therefore overlooks the vital forces already ac[!ve
\\1irs
now arri,eJ to <l n1ore high degree;
around him and condemned what he could not overlook, like Gi1tz. This German
Our nari\'e language more refined and free,
lirerarv movement, whose exponents included Klopsrock, Herder, Lessing, the
Our ladies and our men now speak more wir
poets St11rm 1md Dmng, the poets of "sensibility", and the circle known as die
In conversarion. rhan rhose poers wrir
Gifttinger Hain, the young Goethe, the young Schiller, many others, was
The connection with social stratification is p<1rticularly clear in this aesthetic certainly no political movement. \'Vith isolated excepcions, one finds in Germany
judgement. Frederick, roo, defends himself against the tastelessness of juxtaposing before 1789 no idea of concrete political action, nothing reminiscent of the
on the stage the "tragic grandeur" of princes and queens and the "baseness" of formation of a political party or a political party programme. One does find,
porters and gravediggers. How could he have undersrood and approved a particularly in Prussian officialdom, proposals and also che practical beginning
dramatic and literary work which had cemral ro it precisely the struggle against of reforms from the standpoint of enlightened absolutism. In the work of
class differences, a work which was intended w show that not merely the sorrows philosophers such as Kant one finds the development of general basic principles
of princes and kings and the courdy arisrocracy but those of people lower on the which were. in part, in direct opposicion ro the prevailing conditions In the
social scale have their greatness and their tragedy' writings of che young generacion of the G&tti11gtl' Hain one finds expressions of
In Germany, too, the bourgeoisie slowly became more prosperous. The King of wild hatred directed against princes, courts, arisrocrats, "Frenchifiers", courtly
Prussia saw this and promised himself that it would lead to an awakening of an immoralicv and intellecrual frigidity. And everywhere among middle-class yomh
and science. a "happy revolution... Bur this bourgeoisie spoke a different one finds dreams of a new united Germany, of a "natural" life-'' natural"
language from the king. The ideals and taste of the bourgeois youth, the models as opposed ro the "unnatural" life of court society-and again and again an
for its behaviour. were almost the opposite of his . owrwhelming delight in their own exuberance of feeling .
In Dichtm1g ifl}{i \Vi1hrh1:it (Poetry c111d Tr!!fh), Book 9. Goethe wrote: "In Thou<'hts feelin<>s-nothing which was able in any sense to lead to concrere
Strasbourg, on the French border, we were at once freed from the spirit of the politicai" structure this absolutist of petty states offered no
French. \'Ve found their way of lift much roo ordered and roo aristocratic. d1eir opening for ir. Elements within the bourgeoisie gained self-assurance, bm the
poetry cold. their criticism destructive, their philosophy abstruse and unsatisfy- framework of the absolute states was completely unshaken. The bourgeois
1ng tlemenrs were excluded from any political activity. At most, they could "think
He wrote GiJt;:; from this mood. How could Frederick the Great, the man of and write" independently; they could not act independently.
enlightened, rational absolmism and arisrocratic-courdy rnste, have undersrood In this situation, writing became the most important outlet Here the new
it' How could the Kinghave approved the dramas and theories of Lessing. who self-confidence and the \"<1gue discoment with what existed find a more or less
praised in Shakespeare precisely what Frederick condemned: that his works fitted covert expression. Here, in a sphere which the apparatus of the absolme srntes
the taste of the people far more than do the French classics' had surrendered to a certain extent, the young middle-class generation counter-
"If someone had translated the masterpieces of Shakespeare . for our posed its new dreams and oppositional ideas, and with them the German
Germ<rns, I know well that it would have a better result than thus making them language, to the courtly ideals.
acquaimed with Corneille or Racine. ln the first place, the people would take far As has been said, the literary movement of the second half of the eighteemh
more delight in him than in them ... century was not a political one, bm in the fullest sense of the word it was the
Lessing wrote this in his Letttrs Co11c1:mi11g the Most Recwt Literat11n (part I, expression of a social movement, a transformation of society. The bourgeoisie as
letter 17). and he demanded and wrote bourgeois dramas, appropriace w the newly a whole did not yet find expression in it. IL was at first the expression of a sort
awakening self-consciousness of the bourgeois classes, because courtly people did of bourgeois vanguard, what is here described as the middle-class intelligentsia:
not have che exclusive privilege ro be great. "This hateful distinction which men many individuals in the same posirion and of similar social origin scattered
have made between themselves", ht says. "is not known to nature. She parcels throughout che country, individuals who understood one another because they
18 Tht Cirilizi11g Procw Changts in the Bthc11iour of the Semfm Upptr Classes i11 tht \Fest 19

were in the same position Only occasionally did individual members of this was a blacksmith. 1 ; his grandfather a tailor, then an innkeeper with a courtly
vanguard find themselves rogether in some place as a group, for a shorrer or clientele and courtly-bourgeois manners. Already well-ro-do, his father became
longer time; often they lived in isolation or solirnde, an elite in relation ro the an imperial counsellor. a rich bourgeois of independent means, with a title. His
people. persons of the second rank in the eyes of the courtly arisrocracy. mother was the daughter of a Frankfurt patrician family.
Again and again one can see in these works the connecrion between this social Schiller's father was a surgeon. later a badly paid major; his grandfather, great-
sirnation and the ideals of which they spoke: the love of narnre and freedom, the granclfather, and great-great-grandfather were bakers. From similar social origins,
solirary exalration. the surrender ro the excitement of one's own hearr, now closer, now farther off, from the crafts and the middle administration, came
unhindered by "cold reason" In \Ftrthtr, whose success shows how typical these Schubart, Bi.irger, Winckelmann, Herder, Friedrich August \Xlolff, Fichte and
sentiments were of a parricular generation, it was occasionally said quite many orher members of this movement.
unequivocally. 14. There was an analogous movement in France. There, roo, in conjunction
In the lerter of 24 December 1771, one reads: 'The resplendent misery, the with a similar social change, a profusion of oursranding people emerged from
boredom among the detesrable people gathered rogerher here, the competition middle-class circles. They included Volraire and Diderot. Bur in France these
for rank among them, the way they are consrantly looking for a chance ro get a ml ems were received and assimilared with om great difficulty by the large court
step ahead of one another... society of Paris. In Germany, on the other hand, sons of the rising middle class
And under 8 January 1772: "\Xlhat son of people are rhese whose whole soul who were distinguished by ralent and intelligence were debarred, for the most
is rooted in ceremonial, and whose thoughts and desires the year round are part, from courrly-arisrocratic life . A few, like Goethe, achieved a kind of
centred on how they can move up a chair at rable . " elevation ro these circles. Bm aside from rhe fact that the court at \Xleimar was
Under 15 March 177 2: "I gnash my reerh I ear at the Count's house and small and relatively poor. Goethe was an exception. By and large, rhe walls
afrer dinner we walk back and forth in the greaE park. The social hour between the middle-class intelligentsia and rhe arisrocratic upper class in
approaches. I think, Goel knows, about norhing.'' He remains, the nobles arrive. Germany remained, by \Vesrern standards, very high. In 1740 the Frenchman
The women whisper, something circulates among the men. Finally the Count, J\fauvillon noted that "one observes in the German gentleman an air that is
somewhat embarrassed, asks him ro leave. The nobility feel insulted at seeing a haughty ro the point of arrogance. Sviollen with a lineage the length of which
bourgeois among them. they are always ready ro prove, they despise anyone nor similarly endowed.
"'You know' ", says the Count, " 'I notice that the company is displeased at Seldom", he continues, "do they contract 111esallia11m. Bm no less seldom are they
seeing you here.' . . I srole away from the distinguished company, and drove ro seen behaving simply and amiably rowards middle-class people. And if they
M., ro watch the sunset from the hill there while reading in my Homer the noble spurn connubiality with them, how much less do they seek om their company,
song of how Ulysses was hospitably received by the excellent swineherds.'' whatever their merit may be." 1 '
On the one hand, suptrficialiry, ceremony, formal conversation; on the orhtr, In this particularly sharp social division between nobility and middle class, ro
inwardness, depth of feeling, immersion in books, development of the individual which countless documents bear witness. a decisive facror was no doubt the
personality. Ir is the same contrast which was expressed by Kam in rhe antithesis relative indigence of both. This impelled the nobles ro cut themselves off, using
between Kllit11r and Zin!isation, relating ro a very specific social situation. proof of ancestry as the most important instrument for presening their
In \Ferthtr, Goethe also shows particularly clearly the two fronts between privileged social existence. On the other hand. ir blocked ro the German middle
which the bourgeoisie lives. "\'Vhar irritates me most of all" we read in the emrv cL1ss the main roure by which in the \Xlesrern countries bourgeois elements rose,
of 24 December 1771, "is our odious bourgeois situation. be sure, I know ;s intermarried with, and were received by rhe arisrocracy: through money.
well as any other how necessary class differences are, how many advantages I owe Bm whatever rhe causes-they were doubtless highly complex--of this very
ro them myself, only they should nor stand directly in my way." Nothing better pronounced separation, the resulting lo\V' degree of fusion of the courtly-
characterizes middle-class consciousness than this sratement. The doors below arisrocraric models with their "ascriptive", "quality-based" values on the one
must remain shut. Those above must open. And like any other middle class, this hand with bourgeois values based on achievement on rhe other, had a decisive
one was imprisoned in a peculiarly middle-class way: it could nor think of influence for long periods on rhe emergent national character of the Germans.
breaking clown the walls that blocked rhe way up, for fear that those separating This division explains why a main linguistic stream, the language of educated
it from the lower strara might also give way in the assault. Germans, and almost the entire recent intellectual tradition expressed in
The whole movement was one of upward mobility: Goethe's great-grandfather literature received their decisive impulses and their sramp from a middle-class
20 The Cil'ilhing Process Clxll!gts i11 th1: Behario11r o/ tht Stmlar U/Jjitr C!t1sses in the \Fest 21

intellectllal stra(Llm which was far more purely and specifically middle-class than slfuc(Llre and life of rhe middle class, on rhe one hand, and rhe courtly upper
the corresponding French imelligemsia and even than the English, the latter class, on rhe other. were marched by differences in the structure of behaviour.
seeming ro occupy an intermediate position between those of France and emotional life, aspirations and morality: they show-necessarily one-sidedly-
Germany how rhese differences were perceived in rhe middle-class camp.
The gesture of self-isolation, rhe accentuation of the specific and distinctive, An example of this is rhe well-known now! by Sophie de la Roche. Das
which was seen earlier in the comparison of the German concept of KH!t11r with frdl!iei11 ro11 Sttmheim, 10 which made the authoress one of the most celebrated
\Xlesrern .. civilization", reappears here as a characrerisric of German historical women of her rime. 11y whole ideal of a young woman, wrote Caroline
development. Flachsland ro Herder after reading Stt111hcim, .. gentle, delicate, charitable, proud,
Ir was nor only externally rhar France expanded and colonized early in virtuous, and deceived I have spent precious, wondcrfol hours reading the book..
comparison with Germany. Internally, roo, similar movements are frequently Alas, how far I still am from my ideal, from myself... !<>
seen throughout her more recent history. Particularly important in rhis connec- The curious paradox rhar Caroline Flachsland, likt many others of similar
tion is rhe diffusion of courdy-arisrocraric manners, rhe tendency of the courtly make-up, loved her own suffering-that she included being deceived, along with
arisrocracy to assimilate and, so ro speak, colonize elements from other classes. charity, pride and vir(Lle, among rhe feamres of rhe ideal heroine whom she
The social pride of rhe French aristocracy was always considerable, and rhe stress wished ro resemble-is highly characteristic of rhe emotional condition of rhe
on class differences never lost its importance for them. Bur rhe walls surrounding middle-class intelligentsia, and particularly of rhe women among them, in the
rhtm had more openings; access ro rhe aristocracy (and thus rhe assimilation of age of sensibility.. The middle-class heroine was deceived by the aristocratic
other groups) played a far greater role here than in Germany. courtier The warning. rhe fear of rhe socially superior "seducer .. who could nor
The most vigorous expansion of the German empire occurred, by contrast, in marry rhe girl because of rhe social discrepancy between rhem, and rhe secret
rhe .!\fiddle Ages. From that rime on, rhe German Reich diminished slowly bur wish for his approach, the fascination rhar lay in rhe idea of penetrating rhe
steadily. Even before rhe Thirty Years \Xlar and more so after it, German closed and dangerous circle, finally rhe identifying empathy with rhe deceived
rerrirories were hemmed in on all sides, and strong pressure was exerrecl on almost girl: all this is an example of rhe specific ambivalence which beset rhe emotional
all rhe external frontiers . Correspondingly, the struggles within Germany between life of middle-class people-and nor only women-with regard ro the aris-
the various social groups competing for limited opporrnniries and auronomy, and tocracy. Dc1.1 Fr,i'l!ici11 mn Sta11heim is, in this respect, a feminine counterpart of
therefore rhe tendencies rowards disrincrion and mumal exclusiveness. were \Vuthtr Both works point to specific entanglements of their class, which found
generally more intense rhan in the expanding \Xlestern countries. As much as rhe expression in sentimentality, sensibility and related shades of emotion
fragmentation of the German territory into a multiplicity of sovereign stares, ir The problem presented in the novel: A high-minded country girl, from a
was this extreme isolation of large pans of the nobility from the German middle family of landed gentry with bourgeois origins, arrives at court. The Prince,
class rhar srnod in rhe way of rhe formation of a unified, model-setting central related ro her on her mother's side, desires her as his mistress. Having no other
society, which in other countries attained decisive importance at least as a stage escape. she seeks refuge with rhe .. scoundrel" of rhe novel, an English lord living
on rhe way ro nationhood, setting irs stamp in cerrain phases on language, on the ar rhe court, who speaks just as many middle-class circles would have imagined
ans. on manners and on the srrucrure of emotions. an .. ,1ristocraric seducer" to speak. and who produces a comic effect because he
urrers middle-class reproaches ro his type as his own thoughts . Bur from him.

v roo. rhe heroine preserves her virtlle, her moral superiority, the compensation for
her class inferiority, and dies.
This is how the heroine, Friiulein von Srernheim, rhe daughter of an ennobled
Literary Examples of the Relationship of the German colonel, speaks: 1-
Middle-Class Intelligentsia to the Court To see how rhe wne. rhe modish spirit of rhe court suppresses rhe noblest movemems
of a hearr of admirable narure. w see how moiding rhe sneers of rhe ladies and
15. The books of the middle classes which had great public success after the gemlemen of fashion means laughing and agreeing wirh chem. fills me wirh comempr
mid-eighteenth century-that is, in rhe period when these classes were gaining and piry. The rhirsr for amusemem. for new finery, for admiration of a dress. a piece of
in prosperity and self-assurance-show very clearly how strongly this dis- furnirure. a new noxious dish-oh. my Emilie. how anxious and sick my soul grows
similarity was felt They also demonstrate rhar the differences between the I will nor speak of rhe false ambition thar harches so many base imrigues. grovels
Changes in the Beh:1riom of the Swt!ar Uj1per Classes in the \Vi:st

before vice ensconced in prosperiry. regards virrue and merir wirh. conrempr. and I am almosr rhankful for rhe prudence rhar compels me ro keep you far from rhe circle
unfeelingly makes orhers wrerched. in which I became unhappy A serious. sound formarion of rhe mind is rare in high
sociery. You might have become a lirrle doll rhar danced ro and fro ar rhe side of
"I am convinced. Aunt ... she says after a few days of court life. 'rhar life ar
opinion
court does nor suir my characrer l\fy rasre, my inclinarions. diverge from ir in
every way. And I confess to my gracious aunt rhar I would leave more happily
And rhe heroine says of herself: 21
than I came."
"Dearest Sophie", her aunt rells her, "you are really a most charming girl, bm J knew bur little of conventional life and rhe language of worldly people. J\fy simple
rhe old vicar has filled your head wirh pedantic ideas. Ler go of rhem a lictle." 1s principles found many things paradoxical to which a mind made pliable by habit is
In another place Sophie wrices: 'My love of Germany has just involved me in reconciled wirhour efforr. To me it was as natural as thar night follows day to lament
a conversarion in which I soughc to defend rhe merics of my Facherland. I ralked rhe deceived girl and hare the deceiver. to prefer virrue ro honour and honour to one's
so zealously thac my aunt told me afterwards chac I had given a pretty own advanta;e In rhe judgement of rhis sociery I saw all these norions merrurne<l.
demonscracion of being che granddaughcer of a professor This reproach vexed
me. The ashes of my facher and grandfather had been offended." She rhen sketches rhe prince. a product of French civilization: 22
The clergyman and rhe professor-chese are indeed rwo of rhe mosc imporrant
representatives of rhe middle-class adminisrrarive intelligentsia. cwo social The prince was berween sixry and sewnty, and oppressive ro himself and orhers with
figures who played che mosc decisive part in che formacion and diffusion of rhe rhe sriff, old French eriquerre which rhe sons of German princes had learned ar rhe
courr of the French king and rransplanted ro rheir own soil, admirredly in somewhar
new language of educaced Germans . This example shows quire clearly how che
reduced dimensions. The prince had learned rhrough age and habir ro move almosr
vague narional feeling of rhese circles, wirh ics spirirual, non-polirical leanings,
narurally under rhis hea'T armour of ceremony. Towards women he observed the
appears as bourgeois to rhe aristocracy at rhe peccy courts Ac rhe same cime,
elegant. exaggerared courresy of rhe bygone age of chivalry. so that his person was nor
both che clergyman and rhe professor point ro the social centre mosc important unpleasing ro rhem. bur he could nor leave rhe sphere of fine manners for an insrant
in fashioning and disseminating che German middle-class culture: che universicy. "irhour becoming insuffr:rable. His children S<lW in rheir father only rhe despor
From ic generacion afrer generacion of srudents carried inro che country. as The caricarures among rhe courrly people seemed ro me now ridiculous. now
ceachers. clergymen, and middle-rank adminiscrators, a complex of ideas and pitiable. The reverence thar rhey were able, on rhe appearance of rheir lord. ro summon
ideals scamped in a particular way. The German university was, in a sense, rhe insranrly from rheir hearrs ro rheir hands and feet. rhe gracious or angry glance rhar
middle-class coumerweighc ro rhe courr. passed rhrough rbeir bodies like an elecrric shock rhe immediate compliance of
Thus ir is in words wirh which che pasror mighr thunder against him from rheir opinions ro rhe mosr recent urrerance from the princely lips. all rhis I found
rhe pulpit rhar the court scoundrel expressed himself in rhe middle-class incomprehensible. I seemed ro be W<Hching a pupper rhearre.
imagination: 1lJ
Courtesy, compliance, fine manners, on che one hand, sound education and
You know rhar I have never granred love any orher power rhan o\er my senses. whose preference of virme ro honour, on the orher: German lireracure in the second half
mosr delicare and lively pleasures it affords All classes of beaury have pandered ro
of the eighreenth century is full of such amirheses. As !are as 23 October 1828,
me I grew sared wirh rhem The moralises may have their say on rhe
Eckermann said ro Goethe: "An education as thorough as rhe Grand-Duke
fine ners and snares in which I have captured rhe virrue and pride. rhe wisdom and the
appears ro have had is doubtless rare among princely personages." "Very rare",
frigidiry. rhe coquetry and enn rhe piery of rhe "hole feminine world Amour
indulged my varnry He broughr forrh from rhe mosr wrerched corner of rhe
Goethe replies. "There are many, to be sure, who are able to converse cleverly on
countryside a colonel's daughrer whose form, mind, and characrer are so charming any subject, bm they do nor possess their learning inwardly, and merely cickle
thar rhe surface. And it is no wonder, if one thinks of che appalling diversions and
truncations rhac courr life brings with ic."
Twenty-five years lacer, similar antitheses and related ideals and problems On occasion he uses the concept of K11!t11r quire expressly in rhis context.. "The
could still earn a book success . In 17 96, Ag11t.r rn11 Ldiw, 20 by Caroline von people around me", he says, "had no idea of scholarship. They were German
\'Volzogen, appeared in Schiller's Horen. In rhis novel rhe mother, of the high courtiers, and this class had nor rhe slighresc K11!t11r... > And Knigge once
aristocracy. who must for mysterious reasons have her daughcer educated outside observed explicitly: "\'Vhere more chan here [in Germany} did the courriers form
rhe court circle. says: a separace species
,-
_-j
Thc Ci6/j::;i11g Prr1cts_1 25

16. In all these scaremenrs a quite definite social situation is reflected. It is the bourgeois self-image, specifically middle-class ideas, and an arsenal of trenchant
same situation that is discernible behind Kant's antithesis of K!ilt11r and concepts directed against the courtly upper class
Ziz'ilis11ti1;n Bur e\'en independently of these concepts, this phase and the Also in keeping with their situarion was what this intelligentsia saw as mosr
experiences deri\'ing from it became deeply imprinted in tht German tradition worrh fighting against in the upper class, as the opposite of Bi/dung and Kidtm'.
\\?hat was expressed in this conctpt of Ku!t11r, in the antithesis between depth The arrack was directed only infrequently, hesirantly and usually resignedly
and superficiality and in many related concepts, was primarily rht self-image of against the political or social privileges of the courtly arisrocracy. Instead, it was
a middle-class intellectual stratum. This was a relatively thin layer scattered over directed predominantly against their human conduct.
the whole territory, and therefore indi\'idualized to a high degree and in a A. \'try illuminating description of the difference between this German
particular form. It did nor consrirure, as did the court, a closed circle, a "socierv". intellectual class and its French counterpart is likewise ro be found in Goethe's
Ir was composed predominantly of officials, of civil servants in the broadest conversations with Eckermann: Ampere has come ro \\?eimar. (Goethe did not
of the word-that is, of people who directly or indirectly deri\'e their income know him personally but had often praised him ro Eckermann ) To everyone's
from the court, bur who, with few exceptions, did not themselves belong ro asronishment the celebrated Monsieur Ampere turns out ro be a "cheerful youth
courtly "good society", ro the arisrocrntic upper class. It was a class of of some twenty years Eckermann expressed surprise, and Goethe replied
intellectuals without a broad middle-class background The commercial- (Thursday. 3 May 1827 ):
proftssional middle class, who might have served as a public for the writers, was
Ir has nor been easy for you on your hearh, and wt in middle Germany have had co bu\'
relatively undeveloped in most German stares in the eighteenth century. The rise
de,1rly enough such little wisdom as we possess. For ar bonom we lead an isolated,
ro prosperity was only beginning in this period. The German writers and miserable life' Very little culrnre comes rn us from che people itself. and all our men
intellectuals were therefore floating in the air ro some extent. 1find and books of ralenc are srnrrered across the counuy. One is in Vienna, anocher in Berlin. another
were their refuge and their domain, achievements in scholarship and arr their in Konigsberg, another in Bonn or Dlisseldorf. all separated from each orhtr by fifty or
pride Scope for political activity, political goals, scarcely existed for this class. a hundred miles. so rhat personal conrncr or a personal exchange of ideas is a rarity. I
Commerce and the economic order were, for them, in keeping with the structure feel what rhis means when men like Alexander von Humboldc pctss through, and
of their life and society, marginal concerns. Trade, communications and indusrrv ad,ance my srudies furrher in a single day chan I would ocherwise have uawlled in a
year on my solirnry parh.
were comparatively undeveloped and still needed, for the most part,
BU[ now imagine a city like Paris. where the Oll[Standing minds of rhe whole realm
and promotion by mercantilisr policy rather than liberation from its constraints.
are gathered in a single place, and in their daily incercourse, comperirion, and rivalry
\\?hat legitimized this eighteenth-century middle-class intelligentsia ro itself, reach and spur each orher on, where rhe besr from every sphere of narnre and arr, from
what supplitd the foundation of its self-imagt and pride, was situated berond rhe whole surface of che earth, can be viewed at all rimes. Imagine this metropolis
economics and politics. It existed in what was called for precisely this das where every walk over a bridge or across a square summons up'' great pasc. And in all
l'i:iil Guistigc (the purely spiritual), in books, scholarship, religion, arr, philosophy, rhis do nor chink of rhe Paris of a dull, mindless epoch. bl![ the Paris ot the ninereenrh
in the inner enrichment, the intellectual formation !Bilcl1!11g) of rht individual, cenrury, where for chree generarions. through men like Moliere, Volrnire, and Dideroc,
primarily through the q1edium of books, in the personalir;-. Accordingly, rhe such a wealth of ideas has been pl![ inro circularion as is nor found anywhere else nn
rhe emire globe, and you will understand rhar a good mind like Ampere, having grown
warchvmrds expressing this self-image of the German intellectual class, terms
up in such plenitude, can ,ery well amounr rn someching in his nvency-fourch year
such as Bi!dm1g and K!!lt11r. tended ro draw a sharp distinction between
accomplishments in rhe areas just mentioned, between this purely spiritual Further on, Goethe says with reference to Merimee: "In Germany we cannot
sphere as the only one of genuine value, and the political, economic and social hope ro produce such mature work when still so young" This is nor the fault of
sphere, in complete contrast ro die watchwords of the rising bourgeoisie in the individual, but of the cultural state of the nation, and the great difficulty
France and England. The peculiar fate of the German bourgeoisie, its Jong that we all experience in making our way in isolation ..''
political impotence, and the late unification of the nation acted continuously in From such statements, which in chis introducrory context must suffice as
one direction, reinforcing concepts and ideals of this kind. Thus the development documentation, it is very clear how the political fragmentation of Germany was
of the concept of K1i!t111 and the ideals it embodied reflected the social situation of connected ro a quite specific structure, both of the German intellectual class and
the German intelligentsia, a class which lacked a significant social hinterland, and of its social behaviour and way of thinking In France the members of the
which, being the first bourgeois formation in Germany, develop an expressly intelligentsia were collecred in one place, held rogether within a more or less
26 The Cizi!izing Process Cha11gr:s in tht Br:hctl'iom of thr: Si:L!!lctr Uj1pr:r Classes in thr: \Fest 27

unified and central "good sociery"; in Germany, with its numerous, relatively orher rhings, rhe amirhesis berween Zirilisatio11 and K!!lt!!r grew up, we find ar
small capitals, there: was no central and unified "good society" Here the a parricular phase of German developmem rhe rension berween rhe middle-class
intelligentsia w<ts dispersed over rhe entire country, In France conversarion was inrelligentsia and rhe courrly arisrocracy.. Cerrainly, rhere was never a complere
one of the mosr imporrant means of communicarion and, in addirion, had been lack of awareness rhar courrliness and French were relared emiries G. C H,
for centuries an arr; in Germany rhe mosr imporrant means of communication Lichrenberg expressed this very clearly in one of his aphorisms, in which he
was rhe book, and it was a unified wrirren language, rarher than a unified spoken s oke of rhe difference between rhe French jJromessr: and rhe German Verspnchm1g
one. rhar this German imellecrual class deYeloped, In France even young people 3. l 775-l 779c'). "The larrer is kepr", he said, "and nor rhe former. The
lived in a milieu of rich and stimularing imellecrualiry; the young member of usefulness of French words in German. I am surprised that ir has nor been
rhe German middle class had ro work his way up in relarive solitude and noticed The French word gives rhe German idea wirh an admixture of humbug,
isolation, The mechanisms of social advancemem were differem in borh coun- or in irs courr meanmg. A discovery (Erfi11d1111g) is somerhing new and a
rries . And finally, rhis sraremem of Goerhe's also shows wry clearly whar a decomertr: somerhing old with a new name. Columbus discovered (wtclcckte)
middle-class imelligentsia wirhour a social himerland really meant. Earlier a America and ir was Americus Vespmius's dicrwnrte . Indeed, go1?t and rasre
passage was quored in which he arrribured litde culrure ro the courriers. Here he (Geschmack) are almosr antirherical, and people of go1?t seldom have much
said rhe same of rhe common people, K1!lt11r and Bild1111g are the warchwords and rasre,
characrerisrics of a rhin intermediare srrarum rhat had risen our of rhe people. Bur ir was only after rhe French Revolurion rhar rhe idea of the German
Nor only the small courdy class abo\e it, bur even the broader strara below still courtly arisrocrncy unmisrakably receded, and rhar rhe idea of France and the
showed relatiYely lirde undersranding for the endeavours of their own dire. \Vesrern powers in general moved towards rhe foreground in rhe concepr of
However, precisely this underdevelopment of the broader, professional middle "civilizarion" and relared ideas,
srrara was one of the reasons why the struggle of the middle-class vanguard, the One rypical example: in 1797 rhere appeared a small book by rhe French
bourgeois imtlligemsia, <tgainsr rhe courd y upper class \vas waged almost emigre Menurer, Essai S/tr la l'ille d'Ha111bo11rg. A cirizen of Hamburg, Canon
emirely ourside rhe polirical sphere, and why rhe arrack was direcred predom- Meyer. wrore rhe following commenrary on ir:
inantly againsr the conducr of rhe upper class, againsr general human characrer-
isrics like "superficialiry", "omward politeness", "insinceriry" and so on Even the Hamburg is srill backward Afrer a famous epoch (famous enough, when swarms of
emigranrs are serding here), ir has made progress (really)); bm ro increase, ro complete
few quorarions rhar have been used here show rhese connections exrremely clearly,
I do nor say irs happiness (rhar would be addressing his God) bur irs ciYilizarion. irs
Admirredly, ir is only rarely and wirhour great emphasis rhat the arrack focused
advance in rhe career of science and arr (in which, as you know, we are srill in rhe
on specific conceprs amirherical ro those which served as self-legitimizarion for
Norrh), in rhar of luxury, comforr, frivoliry (his special field!) ir srill needs a number
the German imellecrnal class, concepts such as Bild1mg and K!!ltm One of the
of years. or evenrs which draw ro ir new throngs of foreigners (pro\ided rhey arc nor
few specific coumer-concepts was "civilized-ness" in the Kamian sense. more swarms of his ci\"ilized comparriors) and an increase of opulence

VI Here, rherefore, rhe conceprs "civilized" and "civilization" are already linked
quite unequivocally wirh rhe image of rhe Frenchman,
The Recession of the Social Element and the \Virh rhe slow rise of the German bourgeoisie from being a second-rank class
ro being rhe bearer of German narional consciousness, and finally-very !are and
Advance of the National Element in the Antithesis condirionally-ro being rhe ruling class, from having been a class which was first
between Kultur and Zivilisation obliged ro perceive or legirimize irself primarily by contrasting itself ro the
courdy-arisrocratic upper class, and then by defining itself againsr compering
17 \Vhether the amithesis is expressed by these or other concepts, one thing narions, rhe antirhesis between K11lt11r and Zil'ilisatio11, wirh all irs accompanying
is always clear: the comraposition of particular human charaneristics which later meanings, changed in significance and foncrion: from being c1 j11"imarily socicd
came ro serve primarily ro express a national amithesis appears here primarily as a11tithesis it becomes a primarily national 011e,
the expression of a social amithesis, As rhe decisive experience underlying the And a parallel development was undergone by whar was rhoughr of as
formulation of pairs of opposites such as "depth" and "superficiality", "honesty" specifically German: l1ere, likewise, many originally middle-class social charnc-
and "falsiry". "ourward polireness" and "rrue virtue", and from which, among terisrics, imprinted in people by rheir social siruarion, became national characrer-
28 Tix Cil'ilizi11g Pmccss 29

isrics. Honesry and sinceriry, for example, were now conrrasred as German aspect of his moderation of individual affects. His comment was one of rhe few
characrerisrics wirh dissimularing counesy. Bm sincerity, as used here, originally German urrerances of rhis rime ro acknowledge something of the social value of
emerged as a specific trait of the middle-class person, in contrasr ro the man of "courresy" and rn say something positive about social adroirness. In France and
rhe world or courrieL This, roo, can be clearly seen in a conversarion berween England, where "society" played a far greater role in the overall development of the
Eckermann and Goerhe. nation, rhe behavioural tendencies he speaks of also played-rhough less con-
"I usually carry into sociery", says Eckermann on 2 May 1824, "my personal sciously than in his case-a far more important part. And ideas of a similar kind,
likes and dislikes and a certain need to love and be loved . I seek a personaliry including rhe notion that people should seek ro harmonize wirh and show con-
conforming to my nature; ro that person I should like ro gi,e myself entirely and sideration for each other, rhar individuals may not always give W<lY to their
have nothing to do with rhe ochers." emorions, recur quite frequently, with rhe same specifically social meaning as in
"This natural tendency of yours, Goerhe answers, "is indeed nor of a sociable Goethe, in rhe court literature of France, for example As a reAecrion, these
kind; yer what would all our education be if we were nor willing to overcome our thoughts were rhe individual property of Goethe. But related social situations.
natural rendencies. It is a great folly ro demand rhar people should harmonize life in the 111omle, led everywhere in Europe to related precepts and modes of
wirh us, I have never done so I have thereby attained rhe ability to converse with behaviour.
all people, and only rhus is knowledge of human character gained, as well as rhe Similarly, the behaviour which Eckermann described as his own is-as
necessary adroirness in life. For with opposed natures one must rake a grip on compared ro the outward serenity and amiability concealing opposed feelings
oneself if one is to get on wirh rhem. You oughr ro do likewise . There's no help rbar was first developed in this phase in rhe courtly-arisrocraric world--clearly
for ir. you musr go inro sociery. No matter whar you say" recognizable as originating from rhe small-rown. middle-class sphere of the rime.
The sociogenesis and psychogenesis of forms of human behaviour are srill not And ir was cerrainly nor only in Germany rhar it was found in this sphere. Bur
well undersrood. Ewn ro raise rhe questions may seem odd. It is nevertheless in Germany. owing to the particularly pure representation of the middle-class
observable rhar people from different social units behave differendy in quire outlook by the intelligentsia. these and related attitudes became visible in
specific ways. \'<le are accustomed ro rake rhis for granted. \'Ve speak of the lirerawre to an exceptional degree. And they recurred in rhis relatively pure form
peasant or the courtier, of the Englishman or the German, of rhe medieval man produced by the sharper, more rigorous division between courtly and middle-
or rhe man of the twentieth century, and we mean that rhe people of rhe social
class circles, above all in the national behaviour of the Germans.
units indicated by such concepts behave uniformly in a specific manner which
The social units rhar we call nations differ widely in rhe affect-economies of
transcends all individual differences when measured against rbe individuals of a
their members, in the schemata through which the emotional life of individuals
contrasring group: for example, rbe peasant behaves in many respects differently
is moulded under the pressure of institutionalized rradirion and of rhe present
from the courtier, rbe Englishman or Frenchman from rbe German. and rhe
siruarion. \Vhar was typical in the behaviour described by Eckermann was a
medieval man from rbt man of rhe rwentierh century, no matter how much else
specific form of "affect-modelling", rhar open submission of individual inclina-
rhey may have in common as human beings.
rion which Goerhe considers unsociable and contrary ro the affect formation
Different modes of behaviour in rbis sense are apparent in rbe conversarion
necessary for "Society"
jusr quored between EC'kermann and Goerhe. Goethe was certainly a man who
For Nietzsche, many decades later. rhis arritude had long been rhe typical
was individualized to a particularly high degree. As a result of his social desriny,
national attitude of the Germans . Certainly. it had undergone modifications in
modes of beh,niom with different social origins merged in him into a specific
the course of hisrnry, and no longer had the same social meaning as at
unity He, his opinions, and his behaviour were cerrainly never entirely typical of
Eckermann's time. Nietzsche ridiculed ir: "The German", he says in Buyo11d Good
any of the social groups and situations rhrough which be had passed. Bur in this
mid Eril (Aphorism 2-i-i), "loves 'sincerity' and uprighrness' How comfortiDg it
quotation he spoke quire explicitly as a man of the world, as a courtier, from
experiences which were necessarily foreign ro Eckermann. He perceived the com- is to be sincere and upright. Ir is roday perhaps the most dangerous and
pulsion ro hold back one's own feelings, to suppress antipathies and sympathies, deceptive of all rhe disguises iD which rhe German is expert, this confidential,
which was inherent in court life, and which was ofren interpreted by people of a obliging, German honesty rhar always shows its cards. The German lets himself
different social situation, and rherefore with a different affect structure, as dis- go, looking the while with trustful blue empty German eyes-and foreigners
honesty or insincerity And with the consciousness that distinguished him as a immediately mistake him for his nighrshirt ... Leaving aside the one-sided value
relative oursider from all social groups. he emphasized rhe beneficial, human judgement, this is one of rhe many illusrrarions of how, wirh the slow rise of the
30 Th1: Cil'i/j:;i11g Proa.rs

middle classes, rheir sptcific social characttristics gradually becomt national


characteristics
And the same becomes clear from the following judgement of Fontane on
England, robe found in Ei11 So111i111:r in L<111do11 (Dessau, 1852):

England and Germany are related in rhe same way as form and conrenr. appearance and
2
reality Unlike rhings. which in no ocher counrry in rhe world exhibit rhe same solidity
as in England, people are distinguished by form, their mosr ourward packing. You
need nor be a genrleman. you muse only ban rhe means ro appear one, and you are one
You need nor be righr. you muse only find yourself wirhin rhe forms of rightness, and
Sociogenesis of
you are right Everywhere appearance Nowhere is one more inclined ro abandon
oneself blindly ro rhe mere lustre of a name. The German lives in order ro live, rhe
the Concept of Civilisation
Englishman ro represent The German lives for his own sake. rhe Englishman for rhe
sake of ochers zn France
It is perhaps necessary to point om how exactly this lasr idea coincides with
rhe antithesis benveen Eckermann and Goethe: "I give open expression to my
personal likes and dislikes", said Eckermann . "One must seek, even if unwill-
ingly, to harmonize with others", argued Goethe.
"The Englishman .. , Fontane observes, "has a thousand comforts, bur no
comfort. The place of comfort is taken by ambition. He is always ready to
receive, to give audiences. He changes his suir rhree rimes a day; he observes I
ar rable-in rhe sining room and drawing room--certain prescribed laws of
propriery. He is a disringuished man, a phenomenon rhar impresses us, a reacher Introduction
from whom we rake lessons. Bur in the midst of our wonderment is mixed an
infinire nosrnlgia for our petty-bourgeois Germany, where people have not the 1 Ir would be incomprehensible that, in the German antithesis of genuine
faintest idea how to represent, but are able so splendidly, so comforrnbly and
Bild11ng and K1dt111 on the one hand and mere outward Zizilisatio11 on the ocher,
cozily, to live." rhe internal. social antithesis should haw receded and the national one become
The concepr of "civilizarion" was not mentioned here. And rhe idea of German dominant, had nor the de\elopment of the French bourgeoisie followed, in
Kuft11r appears in this account only from afar. Bur we see from it, as from all certain respects, exactly rhe opposite course from the German
rhese reflecrions, rhat rhe German anrirhesis berween Ziz'ilisatio11 and K11!t11r did In France rhe bourgeois intelligentsia and the leading groups of the middle
nor srnnd alone; ir was part of a larger context. Ir was an expression of rhe class were drawn relatively early into the circle of rhe court society The German
German self-image. And ir pointed back ro differences of st!f-legirimization, of nobiliry's old means of distinction, the proof of ancesuy-which lacer, in a
characrer and overall behaviour, rhat first exisred preponderantly, even if nor bourgeois transformation, rook on new life in German racial legislation-was
exclusively. between parricular German classes, and then berween the German certainly not entirely absent in the French tradition, bur particularly after the
nation and other nations. esrablishment and consolidation of the "absolute monarchy", it no longer played
a very decisive role as a barrier between the classes. The permeation of bourgeois
circles by specifically arisrocratic traditions (which in Germany, wirh the srricter
separation of classes, had a deep effecr only in certain spheres such as the military,
being elsewhere very limired) had quire different proportions in France. Here, as
early as the eighteenth century, there was no longer any considerable difference
of manners between the leading bourgeois groups and the courtly arisrocracy
And e\en if, with rhe srronger upsurge of the middle class from the mid-
- 7
-"- The Cil'ili:ing Pmccss Ch,!llges i11 the Behariom of tht Scmlar Upper C!t1sses in the \Vest 33

eighreemh cemury onward-or, srnred differently, wirh rhe enlargement of rhe rhe classes for a long rime found no political expression; \vhereas in France, where
courr sociery through rhe increased assimilarion of leading middle-class rhe class barriers were lower and social contact between the classes incomparably
groups-beha,iour and manners slowly changed, this happened rupture more intimate, rhe political acriviry of rhe bourgeoisie developed earlier and rhe
as a direcr cominuation of rhe courtly-arisrocraric rradirion of rhe sevemeenth ,ension between the classes reached an early political resolution.
cemury Borh the courtly bourgeoisie and rhe courtly aristocracy spoke rhe same Bm the paradox is only apparent. The long denial of political functions ro the
language, read the same books and had, with particular gradarions, rhe same French nobility by royal policy, rhe early involvement of bourgeois elements in
manners. And when rhe social and economic disproportionaliries bursr rhe government and administration, their access ro even rhe highest governmental
insrirurional framework of rhe a11ciw when the bourgeoisie became rhe functions, their influence and advancement ar the court-all chis had rwo
narion, much of what had originally been rhe specific and clisrincrive social consequences: on rhe one hand, enduring close social conrnct between elements
character of rhe courtly aristocracy and then also of rhe courtly-bourgeois groups, of differing social origin; on rhe other, rhe opportuni ry for bourgeois elements ro
became, in an ever-widenini:: movemem and doubtless with some modification, engage in political acriviry when rhe social sirnarion was ripe and, prior ro chis,
the national character. Stylistic comentions, rhe forms of social intercourse, a strongly political training, a tendency to chink in political caregories. In rhe
affect-moulding, the high regard for courtesy, the importance of good speech and German scares, by and large, almost exactly rhe reverse was the case . The highest
conversation, articulateness of language and much else-all this was first formed government poses were generally reserved for rhe nobility. Ar the least, unlike
in France within court society, then slowly changed, in a continuous diffi.1sion, rheir French counterparts, rhe German nobility played a decisive role in higher
from a social into a nItional character. state administration Its strength as an auronomous class had never been so
Here, too, Nietzsche saw the difference nory clearly. "\\/herever there was a radically broken as had char of irs counterpart in France. In contrast, rhe class
court"", he says in Be) r!llt! Gr1r1J t1nd Ez-i! (Aphorism l () l ), "there was a law of rig hr strength of rhe bourgeoisie, in keeping with its economic power, was relatively
speaking, and therefore also a law of style for all who wrote. Courtly language, low in Germany until well into rhe nineteenth century. The sharper social
however, is the language of rhe courrier who has no special subject, and who even severance of German middle-class elements from rhe courtly aristocracy reflected
in comersarion on scholarly matters prohibits all technical expressions because rheir relative economic weakness and their exclusion from most key positions in
they smack of specialization; this is why, in countries with a courtlv culture. rhe rhe scare.
technical term and everything char betrays rhe specialist is a snlisric blemish . _:; The social structure of France made ir possible for rhe moderate opposition,
Now that all courts have become caricamres one is to find even which had been slowly growing from about rhe mid-eighteenth century, ro
:olraire very particular on this point . The fact is that we are all emancipated be represented with a certain success in the innermost court circles Irs
from court taste, while Voltaire was irs consummation'" representatives did not yer form a party. Ocher forms of political struggle fitted
In Germany rhe aspiring middle-class intelligentsia of rhe eighteenth centurv, rhe instimrional structure of the crnciw They formed a clique ar rhe court
trained at universities specializing in particular subjects, developtd its selt-:_ without a definite organization, bur were supported by people and groups within
expression, its own specific culture, in rhe arts and sciences. In France the the broader court society and in rhe country at large. The variety of social
bourgeoisie was already developed and prosperous to an entirelv different degree interests found expression at court in the conflicts between such cliques,
The rising intelligentsia had, besides rhe arisrocracy, a broad. bourgeois admittedly in a somewhat vague form and with a srrong admixrure of the most
too. The inrelligenrsia itself, like certain other middle-class formations. was diwrse personal interests; nevertheless, these conflicts were expressed and
assimilated by rhe courtly circle. And so ir came abour that rhe German middle resolved.
classes, with their very gradual rise to nationhood, increasingly perceived as rhe The French concept of ciri!isatio11, exactly like the corresponding German
national character of their neighbour chose modes of behaviour which they had concept of KN!t!lr, was formed within chis opposition movement in rhe second
first observed predominantly at their own courts. And, having either judged chis half of the eighteenth century. Its process of formation, its function and its
behaviour second-rare or rejected ir as incompatible with rheir own affect meaning were as different from those of the German concept as were the
srrucrure, so they also disapproved of ir to a greater or lesser degree in their circumstances and manners of the middle classes in rhe two countries"
neighbours Ir is nor uninteresting to observe how similar was the French concept of
2 . Ir may seem paradoxical char in Germany, where rhe social walls between ciri!isation, as first encountered in lirerarure, to the concept to which many years
the middle class and rhe arisrocracy were h.igher, social contacts fewer and lacer Kant opposed his concept of Ku!t!lr. The first literary evidence of the
differences in manners more considerable, rhe discrepancies and tensions between development of rhe verb cfrilisu into the concept cfri!isation is to be found,
The Process _',5

according ro prtsem-day in dit work of die elder Mirabeau in rht inrernal, social debate. Rousseau launched rhe mosr radical arrack on rht
1-:6os. domim1nr order of rnluts of his rime. and for rhis vtry reason his direct
.. I maf\'el ro see ... ht says ... how uur learned vit\\s. false on all poims, are imporrance for rhe rnurrlyimiddle-class reform mon:mem of rhe Frtnch imelli-
\Hong on whar we rakt rn be civilizarion. If rhey were asked whar civilizarion is. genrsia was less rhan mighr be suggesred by his resonance among rhe unpolirical
mosr people would answer: sofrening of manners. urbaniry. polireness, and a inrellecrually more radical middle-class imtlligemsia of Gtrmany. Bur
disseminarion of knowledge such char propriery is esrnblished in place of laws of Rousseau. for all rhe radicalism of his social criricism, had nor yer fashiontcl
derail: all rhar only presems me wirh rhe mask of virrnt and nor irs face, and an inclusive. unified counrerconcepr against which ro hurl rhe accumulated
ci\ilizarion dots norhing for sociery if ir does nor give ir both rhe form and rhe reproaches. Mirabeau created ir, or was ar lease rhe firsr ro use ir in his wrirings:
subs ran ct of virwe ... 21' This sounds vtry similar rn whar was also being said in perhaps ir had prtviously exisrtd in conversarion. From rht ho111111t cizi!ise he
Germany againsr courrly manners. Mirabeau. roo. comrasred whar mosr people, derived a general characreristic of sociery: cirilisatio11. Bur his social criticism.
according ro him. considered ro bt civilizarion (i e. polirtness and good like char of rhe othtr Physiocrars. was moclerare. Ir remained emirely wirhin the
manntrs) wirh rhe idtal in whose name everpvhtre in Europe rhe middle classes framework of rhe existing social system. It is. incited, the criricism of reformers
were aligning rhemselves againsr rhe courrly-arisrocraric upper class, and \Xlhile members of the German middle-class inrelligentsia, at lease in rhe mind, in
rhrough which rhty ltgirimized rhemselves-die ideal of virrue. He. roo, exacrly rhe daydreams of their books. forged concepts divtrging absolurely from rhe
likt Kam. linked rhe concepr of civilizarion ro rhe specific characrerisrics of rhe models of rhe upper class. and rims fought on politically neurral ground all rhe
courrly arisrocracy. wirh reason: for rhe ho111111t cirilisil was norhing orhtr rhan a bardes which they were unable ro fighr on rhe polirical and social plane btcause
somewhar exrended version of char human rype which represemed rhe rrut ideal rhe existing instirurions and power relarionships denied chem insrrumenrs and
of courr socitry. die ho1mt!tt h1J111111c even targets: while they. in rheir books. opposed to the human characrerisrics of
Cirili.r( was. like mltiz-t'. poli, or /10/id. one of rhe many rerms, ofren used almosr rhe upper class rheir own new ideals and behavioural models: the courtly-
as synonyms. by which rhe courrly people wished ro designart. in a broad or reformisr intelligentsia in France remained for a long rime within the framework
narrow sense. rhe specific qualiry of rheir own behaviour. and by which rhey of courrly tradirion. These Frenchmen desirtcl to improvt. modify, aclapr. Aparr
comrasrecl rhe refinemtm of rheir O\\n social manners. rheir "srnndard ... ro rht from a few oursiders like Rousseau. rhey did nor oppose radically different ideals
manners of simpler and socially inferior ptople. and models ro rhe dominam order, bm reformed ideals and models of thar order
Conceprs such as or cizilitc' had. befort die concepr cizilisati//11 was In rht words "false civilization .. rhe whole difference from rhe German move-
formtd and esrablishtd. practically rht same function as rhe new concepr: ro mem was contained. The French wrirers implied thar rhe false civilization oughr
express the self-image of rhe European upper class in relarion ro ochers whom irs ro bt replaced by a genuine one. They did nor oppose ro rht ho111111e cirilise a
members considered simpler or more prirnirin:, and ar tht same rimt ro radically differem human model. as did dit German bourgeois inrelligenrsia
characterize the specific kind of behaviour rhrough which this upper class felr with the term gebi!ddu Mwsch (eclucarecl person) and with the idea of tht
irself differtm from all simpler and more primirive people. Mirabeau's sratemem personaliry .. : insreacl, they picked up courtly models in order to develop and
makes ir quire clear ro txtem rhe conctpt of civilizarion was ar firsr a direcr rransform them. They addressed rhemselves ro a critical imelligenrsia which,
conrinuarion of ocher incarnarions of courdy self-consciousness: "If rhey were directly or indirectly. was irself wriring and srruggling wirhin rht extensive
asked what civilizarion is. people would answer: sofrening of manners, polite- nerwork of courr sociery
ness. and suchlike ... And Mirabeau, like Rousseau, if more moderarely, inverted
the existing rnluarions. You and your civilizarion, he said, all rhat you are so
proud of, btlieving char it raises you above rhe simple people, is of very lirrle II
value: "In all rhe languages of all ages, rhe depicrion of rhe love of shepherds
for rheir flocks and rheir clogs finds irs way imo our soul, deadened as ir is by rhe Sociogenesis of Physiocratism and the French
pursuit of luxury and a false civilizarion ... 2 - Reform Movement
A person s arrirude cowards rhe "simple people .. -above all, rowarcls rhe
"simple people .. in rheir mosr exrreme form. rhe "savage ..-was everywhere in -t Ler us recall rhe siruarion of France afrer the middle of rhe eighteemh
rhe second half of rhe eighreemh cemury a symbol of his or her posirion in rhe ctnrnry
36 The Cfrili::i11g Process i11 th, Bdh11io11r o/ tht Swtfcn Uj1pu Classes i11 the \Vt.rt

The principles by which France was governed and on which, in particular, )risoners of social processes and dependent on court cliques and factions, some of
raxarion and customs legislation was based were broadly the same as at Colberr's extended far into the country <llld deep inro middle-class circles
rime. But the internal relationships of power and interest. the so.cial srrucrure of Plwsiocrarism was one of rhe theoretical expressions of these interfacrional
France itself, had shifted in crucial ways. Strict protectionism, the shielding of le was by no means confined ro economics, being a large-scale system
national manufacturing and commercial activity against foreign competition, of political and social reform. Ir contained, in a pointed, abstract and dogmat-
had actually contributed decisively to the development of French economic life, icallv hardened form, ideas which-expressed less theoretically, dogmatically and
and so ro furthering what marcered more than anything else to the king and his i . e., as pracrical demands for reform-characterized the whole move-
representatives-the taxable capacity of the country. The barriers in the grain ment of which Turgor, who was for a rime in charge of finance, was an exponent
trade, monopolies, the granary system and the cuswms walls between provinces If rhis tendency (which had neither a name nor a unified organization) is ro be
had partly protected local interests but, above all, had from rime ro rime "iven a name, ir might be called rhe reformist bureaucracy. But these reformist
preserved the district most imporrant to the king's peace and perhaps to that of :dministrarors doubtless also had sections of the intelligentsia and of the
all France, Paris, from rhe extreme consequences of bad harvests and rising commercial bourgeoisie behind rhem
prices-srarvarion and revolt Among those desiring and demanding reform, moreover, there were consider-
But in rhe meantime, rhe capiral and the population of the country had able differences of opinion concerning the kind of reform that was needed. Some
increased. Compared ro Colbert's rime, the trade network had become denser and were wholly in favour of a reform of rhe raxarion system and rhe srare machinery,
more extensive, industrial activity more vigorous, communications better, and rec were, for example, far more prorecrionisr than rhe Physiocrars. Forbonnais
rhe economic integration and interdependence of French rerrirory closer. Sections one of rhe leading representatives of this tendency. and it is ro misunder-
of rhe bourgeoisie began to find the traditional taxation and customs systems, srand him and like-minded people ro include them, on account of their more
under whose protection rhey had grown up, irksome and absurd . Progressive strongly protectionist attitude, indiscriminarely among the "'mercantilisrs" The
country gentry and landowners like Mirabeau saw in the mercantilist restraints debate between Forbonnais and rhe Physiocrars was an early expression of a
on the grain economy an impediment rather than an inducement ro agricultural divergence within modern industrial society which was ro lead ro ever-recurring
production: in this rhey profited nor a little from rhe lessons of rhe freer English conflicts between the exponents of free trade and proreccionism. Both sides were
trading sys rem . And most important of all, a section of the higher administrators parr of rhe middle-class reform movement.
- On rhe other hand, it was by no means the case rhar rhe uiw!e bourgeoisie
rhemselws recognized the ill effects of rhe existing system; at their head \Vas
desired reform while rhe arisrocracy exclusively opposed ir. There were a number
their most progressive type, the provincial intendants, rhe representatives of the
of cle<1rly definable middle-class groups which resisted to rhe utmost any serious
single modern form of bureaucracy which rhe a11cie11 had produced, the
,1rrempr at reform, and whose existence was indeed bound up with the
only administrati\e funccion which was not, like rhe others, purchasable and
conservation of the c111ci1:11 in irs unrc:formtd St<ltt These groups included
therefore heredirary These progressive elements in the administration formed
rhe majority of the higher administrators, the 110Mwc de robe, whose offices were
one of the most important bridges between the demand for reform that was
family possessions in rhe same sense that a facrory or business roday is herediran-
making itself felt in d1e country and rhe comr. Directly or indirectly they
properry They also included the craft guilds and a good proporrion of rhe
played, in rhe struggle of court cliques for key political positions (primarily the
financiers And if reform failed in Frnnce, if the disproportions of society finally
ministries), a nor inconsiderable part
burst the institutional structure of the c111cit11 violently asunder, rhe
Thar these struggles were nor yet rhe more impersonal, polirical conflicts they
opposition of these middle-class groups ro reform bore a large measure of
lacer became, when the various interests would be represented by parries within
responsibility.
a parliamentary framework, has already been pointed our. Bm rhe courtly groups
This whole survey shows very clearly one thing which is important in rhis
which, for rhe most diverse reasons, competed for influence and posts at the court context: whereas the middle classes already played a political role in France at
were, at the same rime, social nuclei through which the interests of broader this rime, in Germany they did nor. In Germany rhe intellectual stratum was
groups and classes could find expression at the controlling centre of the country confined to rhe sphere of the mind and ideas: in France, along with all the other
In this way reformist tendencies, roo, were represented at court. human questions, social, economic, administrative and political issues came
By the second half of the eighteenth century, the kings had long ceased ro rule within rhe range of interests of rhe courtly/middle-class intelligentsia The
arbitrarily. Far more perceptibly than Louis XIV, for example, they were rhe German systems of rhoughr, by contrast, were to <l far greater extent purely
59
acaJemic Their social bast was cht universicy, The social base from which social evems, like narnral phenomena, form part of an ordered process . This samt
Physiocracism emerged was che courr and court sociecy, where imellecrnal effon experience manifosctd icstlf in che uansformacion of che earlitr <'fri/i.re imo che
had specific concrece aims. such as influencing che king or his misuess. noun <'izi!ist1tiu11, helping ro giw ic a meaning chac cranscended inJi\idual
5 The basic ideas of Quesnay and che Physiocracs are well known In his usage,
L1h!C:111 ( l '58), Quesnay depicted cht economic lift of society as a The binh pangs of the indusuial revolmion, which could no longer be
more or less autonomous process, a closed cycle of the produccion, circulation underswod as che resulc of governmem direnion, rnughc people, briefly and for
and reproduction of commodities . He spoke of the natural laws of a social lift in che firsc cime, w think of chemselvts and cheir social exiscence as a process. If wt
harmony wich reason. Basing his argumtm on chis idea, Quesnay opposed firsc pursue the use of che cerm 'iz'ilisatio11 in che work of .Mirabeau, we set clearly
arbirrary imenemion by rulers imo die economic cycle. He wished them ro be how chis discovery caused him w view che enrire moral icy of his cime in a new
aware of its laws in order ro guide its processes, instead of issuing uninformed lid1t He came rn regard chis moralicy, this "ci\ilization" wo as a cyclical
decrees at whim. He demanded freedom of trade, particularly the grain trade, :mifesrncion, and wanted rulers to perceive ics laws in order w use chem . Thac
because self-regulation, che free pla\ of forces, creates in his view a more was che meaning of che cerm cil'i!isc1tio11 ac this early srnge of ics use.
beneficial order for consumers and proJucers chan the rradicional regulations In his Ami des ho1111110, .Mirabeau argues in one place chac ,1 superfluicy of
from above and the coundess trade barriers benveen proYince and province, money reduces populmion, so thac consumpcion by each individual is increased.
country and country.. He considers rhac this excess of money, should ic grow wo large, "banishes
But he tully concecleJ that the self-regulating processes oughc ro be unJer- industry and the arcs, so casting srnces inrn povtrry and depopulation.. And he
srood, and guided, by a wise and tnlighcened bureaucracv. Here, above all, lav continues: "From chis we perceive how che cycle from barbarism ro decadence
che difference becween rhe wa\. in \\hich che French and che Enlisi1
b chrough civilizacion and wealch might be reversed by an alert and skilful
reformers reacced w the discovery of seif-regulacion in economic life. Quesnay miniscer, and che machine wound up again before ic has run down." 2 " This
and his follows remained wholly wichin che framework of cht exiscing monarchi- semence really sums up all chat was w become characceriscic, in very general
cal syscem. He lefr dit basic elemtnts of die cmciw and ics inscimcional ccrms. of che fundamenrnl srnndpoint of rhe Physiocracs: che concepcion of
scrunure umouchtd. And chis applied all d1t more w che seccions of che economy, populacion, and finally manners as an imerrelactd whole, developing
adminisuacion and imtlligtmsia \\host posicion was close rn his, and who, in a cyclically; and the reformisc policical cendency which intended chis knowledge:
ltss absuace, ltss exueme and more prnnically minded form, arrived ac resulcs finally for che rulers, w enable chem, from an undersrnnding of chese laws. w
similar w chose of die cemral group of Physiocracs. Fundamentally, die posicion guide social processes in a more enlighcened and racional way than hi cherw
common w all of them was excremtly simple: roughly, chey htld thac ic is not In Mirabeau's dedicacion of his The(Jrie de /'ill!jJ&t w rhe king in l 760, in which
uut char rulers are almighcy and can regulace all human affairs as chev chink tic he recommended to che monarch che Physiocracic plan for rnx reform, exactly che
Socien and the: economy havt cheir 0\\'!1 laws, ,,hich resisr die. irracion<d same idea was scill present: "The examplt of all che empires rhac hano preceded
interference of rulers anJ force. Therefore an enlighteneJ, racional adminiscracion yours, and which have run che circle of civilizacion, would be derniled e\idence
must be creartd which gon:rns in accordance wich die "narnral laws" of social of whac I have jusc advanced."
processes, and chus inaccordance wich reason. The cricical anirnde of Mirabeau, che landed nobleman, rnwards \Walch,
6 . The cerm <'i1ili.1mi"11 was, ac che momem of ics formacion, a clear refltnion luxury, and che whole of prerniling manners gave his ideas a special cinge.
uf chtse reformisc iJtas. If in chis rtrm che idea of che h11111111c cif.i/is( led w a Gtnuine civilizacion, he chouglu, srnnds in a cycle becween barbarism and a falst,
concepc designacing che manners and condicions of exiscing sociecy as a whole, ic "decadem" civilizacion engendered by a superabundance of money. The rnsk of
was firsc and foremosc an expression of insights derived from opposicion, from enlighcened governmem is w sceer chis automacism so thm sociecy can flourish
social cricicism. To this was added the realizacion chac governmems cannot issue on a middle course becween barbarism and decadence. Here, the whole range of
decrees ac will, bl!( are al!(omacically resisted by anonymous social forces if cheir problems la cent in "civilization .. is already discernible m che moment of die
ordinances are nm guided by an exact knowledge of d1est forces ,me! laws: che concept's formacion. Even ac chis srnge it was connected rn the idea of decadence
realizacion chac t\en che most absolute governmem is helpless in che face of the or "decline", which has re-emerged again and again, in an open or veiled form.
dynamisms of social clevtlopment, and thac disascer and chaos, miserr and ro che rhychm of cyclical crises . Bm we can also see quiet clearly thac this desire
disuess, are unleashed by arbi uary, "unnatural", ' irracional" As for reform remained wholly wichin rhe framework of che exiscing social syscem
already scared, this realizacion found expression in che Physiocracic idea char \vhich was manipulated from above, and chac ic did nm oppose w whac ic
40 Tht Ci1'i!i::,i11g Process -il

criticized in presenr manners an absolurely new image or concept, but instead example. "There is nothing that phices mo:e obsracles .in .the. way_ of public
rook irs departure from rhe existing order, desiring to improve it: through skilful s of rhe nrogress of human reason, ot rhe enure Civilizanon ot men than
happines . r- L . ,. _; i
and enlightened measures by rhe governmenr, "false civilization" shall ,1gain rhe continual wars into which thoughtless pnnces are drawn at every momem .
become a good and true ci,ilization Or, in another place: 'Human reason is nor yet sufficiently exercised: the
In this conception of civilization there may ar first have been many cizi/iz:itio 11 of peop!ts i.1 1111! yet co111p!tt1:; obsracles without number have hirherro
individual shades of meaning. Bur it contained elements which corresponded to "ress of useful knowledue. the advance of which can alone
oppose cl [11e Pro o c - . . .
rhe general needs ,rnd experience of the reformist and progressive circles of conrn u b re ro perfecrinn b
our ouovernmem ' our laws,, our educanon, our msnru-
Parisian society And the concept became all the more widely used in these circles 2
rions. and our morals ... _;
the more the reform movement was accelerated by growing commercialization and The concept underlying this enlightened, socially critical reform movemenr
ind usrrializarion. was always che same: rhar the improvement of insrimrions, education and law
The last period of Louis xvs reign was a rime of visible debility and disorder will be brought about by the advance of knowledge. This did nor mean
in rhe old sys rem. The internal and external tensions grew. The signs of social \VisMJschafr in rhe eighreenrh-century German sense, for the speakers were nor
transformation multiplied. university: people bur independenr writers, officials, intellectuals, courtly
In 177 3 tea chests were thrown into Boston harbour In 1776 came the of the most diverse kind uni red through rhe medium of "good society , . the
Declaration of Independence by Englands American colony: the governmenr, ir sa!om Progress would be achieved, therefore. first by rhe enlightenment of kmgs
proclaimecl, is appointed to ensure rht happiness of the people. Should it nor and rulers in conformity with .. reason .. or "nature .. , which comes ro the same
succeed in this purpose, a majority of rhe people has the right to dismiss iL thing, and rhen by placing in leading positions enlightened (i e _. reform-minded)
The French middle-class circles symparheric to reform observed what was men A certain aspect of this whole progressive process of reform, came to be
happening across rhe sea with rhe urmosr attention, ancl with a sympathy in desiunared bv a fixed concept: cil'ihwtio11. \'Vhar was visible in j\firabeau's
which their reformist social tendencies mingled with growing national hostility of the concept, which had nor yet been polished by society.
row,1rds England, even though their leading minds were thinking of anything and what is characteristic of any reform movemenr was ro be found here also: a
but an overthrow of the monarchy. half-<iflirmarion and half-negation of rhe existing order. Society, from this poinr
Ar the same rime, from l 77-i onwards, there was a growing feeling rhar a of view, had reached a particular stage on rhe road to civilization. But it was
confrontation with England was inevirable and rhar preparations must be made insufficient Societv could nor stand still there The process was continuing and
for war In rhe same year, 1 Louis XV died. Under the new king rhe struggle OLwhr ro be pushe.d further: "rhe civilization of peoples is nor yet complete".
for the reform of the administrative and raxarion systems was immediately ideas were fused in rhe concept of civilization. On the one hand. it
renewed with intensified force in both rhe narrower and the wider court circles. constituted a general counrerconcept to another stage of socierv. barbarism This
As a result of these conflicts. Turgor was welcomed in the s<1me year as cu11trrJ/c11r feel;ng had pervaded court society. Ir had found its courtly-aristocratic
dtS ji11t111ccs by all rhe reformist and progressive elements in the country.. expression in terms such as politesse or ciriliti. _
"Ar last rhe belated hour of justice has come", wrote rhe Physiocrar Baucleau Bur rhe masses were nor yet civilized enough, said rhe men of the courtly/
on Turgors 1ppointmenL oAlembert wrote on rhe same occasion: "If good does middle-class reform movemenr. Civilization is nor only a stare, it is a process
nor prevail now. ir is because good is impossible: And Voltaire regretted being which must be raken further. Thar was the new element expressed in the term
at the gates of death at the moment when he could observe "virtue and reason in ciri!iwtion. It absorbed much of what had always made court society believe itself
their place" c" ro be, as compared with those living in a simpler, more uncivilized or more
In the same years, ciri!isc//io11 appeared for the first rime as a widely used and barbaric way, a higher kind of society: the idea of a level of morals and manners,
more or less fixed concepL In the first edition of Raynal's Histoin jihi!osophiqm et including social racr, consideration for others and many related complexes. Bur
pr1/itiq!!e des [tah!iss1:111wts tt d!! rnm111ene des E11ropeem dam !es dwx Indes (1770) the in rhe h:nds of rhe rising middle class, in the mouth of rhe reform movement,
word does nor occur once: in rhe second ( 1774) it was "used frequently and rhe idea of what was needed to make a society civilized was extended. The
wirhour any variation of meaning as an indispensable term rhar is obviously civilizing of rhe state, rhe consriwrion and education, and therefore the
generally undersrood ... ;o JiberatioLn of broader sections of rhe population from all that was still barbaric or
Holbachs Sy.rtl:i11e de f,7 lhltitre of 1770 did nor yet contain the word cil'i!isc1tio11 . irrational in existing conditions. whether ir were the legal penalties or the class
In his S_Jsti:111t sociale of 1774. citi!isdtio11 was used frequently. He says. for restrictions on rhe bourgeoisie or the barriers impeding a freer development of
.
-L
)
The Ciri/i:;ing PmCo:ss

trade. this civilizing muse follow rhe refinement of manners and the internal sure. entirely lacking in aristocratic elements assimilated by the bourgeoisie
pacification of the country by the kings Nevertheless, for large areas of the German culrural tradition and German
'The king succeecled". Voltaire once said of the age of Louis XIV "in making behaviour, the specifically middle-class characteristics were predominanr.
of a hi the no turbulent nation a peaceful people dangerous on! y to i cs particularly as rhe sharper social division bourgeois and aristocratic
enemies. i'vfanners were softened .. ;, It will be seen in more detail lacer how circles, and with ir a relative heterogeneity ot German manners, survived long
important chis internal pacification was for the civilizing process Conclorcec, after the eighteenth century.
however. who was by comparison with Voltaire a reformist of the younger The French concept of ciz-ili.wtion reflects the specific social fortunes of the
generation and alreacly far more inclined ro opposition. commentecl as follows on French bourgeoisie to exactly the same degree char the concept of K!!ltur reflects
chis reflection of Volrnire's: "Despite the barbarity of some of the laws. clespite che German. The concepc of dz i!i.rt1tion was firsr. like Ki!ltm-. an instrument of
rhe faulrs of the administracin: principles, the increase in cluties, their burden- middle-class circles-above all. rhe middle-class intelligentsia-in the internal
some form. the harshness of fiscal laws, despite the pernicious maxims which social conflict. \vich the rise of the bourgeoisie, it too came rn epitomize the
direct the government's legislation on commerce ancl manufacture. and finally rnirion. rn express rhe national self-image. In the Revolution itself ciri!isc1ti1il!
despite rhe persecution of the Protestants. one may observe that the (which. of course, referred essentially ro a gradual process, an evolurion. and had
within the realm lived in peace under the protection of law... not yer discarded its original meaning as a watchword of reform) did not play
This enumeration, itself not entirely without affirmation of the existing order, anv considerable part among the revolutionary slogans. As che Revolution grew
gives a picture of the many rhings felt to be in need of reform . \vhether or not moderate, shortly before tht turn of rhe century', it scarred on its journey as
the term cirilisati1Jl1 was here used explicitly, it related to all chis, to everything a rallying cry throughout the world. Even as early as chis. it had a level of
which was still "barbaric" meaning justifying French aspirations co national expansion and colonization. In
This discussion makes wry clear the divergence from the course of develop- 1798. as Napoleon sec off for Egypt. he shouted ro his troops: "Soldiers, you are
ment in Germany and, with it, from German concepts: it shows how members undertaking a conquesc with incalculable consequences for civilizacion ... Unlike
of the rising middle-class intelligentsia in France stood partly wirhin rhe court che situation when the concept was formed. from now on nations came to
circle. and so wirhin rhe courtly-aristocratic tradition. They spoke che language consider the J1111(cJS of civilization as completed within rheir own societies: they
of chis circle and developed it further. Their behaviour and affecrs were. with came to set themselves as bearers of an existing or finished civilization to ochers.
certain modifications. modelled on the patcern of chis tradition Their concepts as standard-bearers of expanding civilization . Of the whole preceding process of
and ideas were by no means mere antitheses of chose of the courtly aristocracy. civilization nothing remained in their consciousness except a rngue residue. !rs
Around courtly-arisrocraric concepts such as rhe idea of "being civilized", they outcome was taken simply as an expression of their own higher gifts: the fact
crystallized. in conformity with their social position within rhe courc circle. char. and the question of how. in the course of many cenruries. civilized
further ideas from d1t area of rheir political and economic demands, idtas which, beh,niour has been arcaintd is of no interest And the consciousness of their own
owing to the different social sirnacion and range of experience of the German superiority, the consciousness of this "ci\ilizacion". from now on serves ar least
intelligentsia. were largely alien ro it and at any race far less relevant chose nations which have become colonial conquerors. <lnd therefore a kind of
The French bourgeoisie-politicalh active, ar least partly eager for reform. upper class rn large sections of che non-Eurnpean world. as a justification of their
and even. for a shore period, revolurionary-remained strongly bound to rhe rule, to the same degree char earlier rhe ancestors of the concepc of civilization.
courtly tradition in its beha\iour and its affect-moulding even afrer the edifice of politusc and "iz'i!it(. had served the courtly-aristocratic upper class as a justifica-
the old regime had been demolished. For through the close contacr between tion of cheirs
aristocratic and middle-class circles, a great part of courdy manners had long Indeed, an essential phase of the civilizing process was concluded at exactly
before the revolurion become middle-class manners. So it can be understood chat rhe time when the cr111.rcio11.r11ess of civilization. the consciousness of the superiority
the bourgeois revolution in France. though it destroyed the old political of their own behmiour and its embodimenrs in science, technology or arr began
scrucrnre. did not disrupt the uniry of traditional manners rn spread over whole nacions of the \vtst
The German middle-class inrelligenrsia. politically entirely impotent but This earlier phase of rhe civilizing process. the phase in which the conscious-
inrellecrually radical. forged a purely bourgeois tradition of its own, di\erging ness of the process scarcely existed and the concept of civilizacion did nor exisr
widely from the courtly-aristocraric tradition and its models. The German at all. \\ill be discussed in Part Two
national character which slowly emerged in rhe nineceenrh century was not, to be
PART TWO
Civilization as a
Specific
Transformation of
Human Behaviour
I

The History of the Concept of Civilite

l. The decisin: antithesis expressing the self-image of che \Vest during rhe
Middle Ages was chat becween Christianiry and paganism or. more exacdy,
berween de\'OUL Roman-Larin Christianiry. on che one hand. and paganism and
heresy, including Greek and Eascern Christianicy, on che orher 1
Jn the name of che Cross. and lacer in char of ci,ilization. \\7escern society
waged. during che Middle Ages. ics wars of colonizacion and expansion. And for
all ics secularizacion. rhe wacchworcl "ci\'ilizarion" always rerained an echo of
Larin Chriscendom and rhe knighdy-feudal crusade The memory rhac chivalry
and che Roman-Larin faich bear wirness w a particular srage of \Vesrern sociery.
a srnge which all rhe major \Vescern peoples have passed chrough, has cerrainly
nor disappeared.
The concepr of ciz'iliti acquired irs meaning for \Vesrern sociery ar a time when
knighdy sociery and rhe unicy of rhe Carbolic church were disinregraring. Ir was
rhe incarnarion of a sociery which, as a specific srage in rhe formarion of \Vestern
manners or "civilization". was no less important rhan the feudal society before ir
The concept of cil'ilite. coo. was an expression and a symbol of a social formation
embracing rhe most diverse narionaliries, in which. as in rhe Church, a common
language was spoken. first Italian and rhen increasingly French. These languages
rook over the function earlier performed by Larin. They manifested che unity of
Europe. and at the same rime the new social formarion which formed its
backbone, court society. The sirnacion, che self-image, and the characceristics of
this sociery found expression in che concept of cizilitt!
2. The concept of cirilite received the specific stamp and funccion under
discussion here in the second quarter of che sixteenth century. Irs individual
starting-point can be exacdy determined Ir owes the specific meaning which
btcamt socially accepted ro a short rreatise by Erasmus of Ronerdam, De cil'i!itate
11111m111 /i!!eri!iml! (On ci,ility in boys). which appeared in 1530 This work clearly

treated a rhemt that was ripe for discussion It immediately achieved an enormous
circulacion. going through edition after edition. Ewn wichin Erasmus's lifetime-
rhat is, in che first six years after its publication-it was reprinted more chan rhircy
rimes.' In all, more drnn 1.70 edicions may be counted. l .o of them as late as ri1e
c:ighteemh century The mulcimde of uanslacions, imitations and sequels is almosc
without limit. Two years after the publication of the treatise the first English
rranslacion appeared In 15 3-i it was published in catechism form. and at this rime
it was already being introduced as a schoolbook for the education of boyso German
and Czech translacions followed. In 15.0,7, 1559. 1569 and 1613 it appeared in
French. newly translated each ume.
-18 Thi: Cizi/i:;i11g P/'IJ<HJ
Change.I in th, Blh11io1tr of the Sumlm Uppi:r Clc1ssts in th, \Fest

As early as rhe six[eenrli century a panicular French [ypeface was giw:n rhe
[ liin"s
0
chat have in [ht meantime become unspeakable, and of many others [hat
name cil'i!it,. afo:r a French work bv Marhurin Cordier which combined doctrines
are now raken for granted.'
from Erasmus's trearist with [host of anodier humanise, Johannes Sulpicius. And
Erasmus speaks. for example, of rhe way people look. Though his comments
a whole gtnrt of books. directly or indirectly influenced by Erasmus's [rta[ise,
are meam as instruction. [hty also bear witness to the direc[ and lively
appeared under the title Cil'i!iti! or Ciriliti! p11t!1i/,; these were primed up w the observa[ion of people of which he was capable . "Sine oculi placidi, verecundi,
encl of the eigh[eemh century in [his ciziliti! [ype.'
composici", he says, "non torvi, quocl es[ truculenciae nun vagi ac volubiles,
_:; Here, as so ofren in the history of words, and as was w happen lacer in the quod es[ insaniae. non limi quod est suspiciosorum et insidias molemium. : This
de\elopmem of the concept of ciz'ilitu into cil'i!isation, an individual was the can onlv with difficulty be cransla[ed withou[ an appreciable a!rtra[ion ot tone:
instigawr. By his rrearise. Erasmus ,gave new sharpness and impetus to the long- a look is a sign of stupidi[y, srnring a sign of inenia; rhe looks of chose
esrablishecl and commonplace word cizi!it.rs \\fittingly or noc, he obviously prone w anger are wo sharp; wo lively and eloquent [hose of the immodes[; if
expressed in i[ some[hing [hat me[ a social need of the [ime . The concept of vour look shows a calm mind and a respectful amiabili[y, thar is best. Nor by
"il'ilitas was hencefonh fixed in the consciousness of people with the special sense do [he ancients say: the sear of [ht soul is in [he eyes . "Animi seclem esse
i[ received from his creacise . And corresponding words were developed in the in oculis ...
various popular languages: the French ,-Jri!itu, the English "civility", the Iralian Bodily carriage, gestures, dress, facial expressions-this "omward" behaviour
ciz'i/t,/, and [ht German Zizi!itdt, which. admittedly, was never so widely adopted wi[h which the treatise concerns irself is [he expression of die inner, rhe whole
as the corresponding \\ords in rhe ocher grta[ cul[ures. person. Erasmus knows [his and on occasion srn[es i[ explicidy: "Ai[hough chis
The more or less sudden emergence of words within languages nearly always omward bodily propriety proceeds from a well-composed mind. nevenheless we
points w changes in the lives of people themselves, panicularly when the new somerimes find [hat, for want of instruction, such grace is lacking in excellent
concep[s are dts[ined w become as central and long-lived as [hese and learned men ...
Erasmus himself may nor have arcribmed any parcicular imponance w his There should be no snot on [ht nostrils, he says somewhat la[tr. A ptasam
shore creacise D, cil'ilit11h 11tff/t1111 p11i:1ili11111 wi[hin his coral fff:ttzrf:. He says in die wipes his nose on his cap and cmu, a sausage maker on his arm and elbow. Ir does
imroclucrion [ha[ the an of forming young people involvc:s various disciplines, nor show much more propriety to use one's hand and dien wipe it on one's
bm [ha[ [ht cirilir.rs 1i1om;11 is only one of [hem. and he does noc deny [ha[ ir is clothing. It is more decent w rake up [he snot in a clodi. preferably while rnrning
m;.rsns111!?! Jurs ld1t grosses[ pan of philosophy). This trta[ise has i[S away. If when blowing the nose wi[h [WO fingers some[hings falls w rhe ground.
special imporrnnce less as an individual phenomenon or work [han as a sympwm it muse be immedia[ely trodden away wi[h [ht foor. The same applies w spinle.
of change, an embodimtm of social processes. Abo\e all, i[ is [ht resonance, the \\/i[h [he same infinite care and maner-of-facrness with which chese things are
c:levacion of dit [ide \\ore! tu a cemral expression of [ht st!f-imerprernriun of said-[he mere mention of which shocks the "civilized" person of a later stage
European socit[y. \vhich draws our acrencion w [his [rtatise. wi[h a different afftc[in: moulding-we art mid how one oughc rn si[ or greer.
-!. \'Vhar is [ht trta[ise abom' Its [heme muse explain ro us for whar purpose Gesrnres are described that have become strange w us. e . g., standing on one leg.
and in wha[ sense die conctp[ was needed Ir mus[ conrnin indica[ions of [ht And we migh[ reflect that many of the bizarre movements of walkers and dancers
social changes and processes which made die word fashionable . [ha[ we see in medieval paintings or srarnes do nor only represent the "manner"
Erasmus's book is abou[ somt[hing very simple: die behaviour of people in of die painter or sculpwr but also preserve acrnal gestures and movements cha[
socit[y-above alL bm no[ solely. "outward bodily proprit[y .. It is dedicated w have grown strange to us, embodiments of a different menrnl and emotional
structure.
a noble boy, a prince's son, and written for the instruction of boys. It contains
The more one immerses oneself in the litde treatise, [he clearer becomes [his
simple rhough[s delivered with grear seriousness, yer ar [he same rime wi[h
picture of a socie[y wi [h modes of behaviour in some respec[s rel aced to ours, and
much mockery and irony. in clear. polished language and wi[h enviable precision .
in many ways remo[t. \'Ve see people sta[td ar table: "A dextris si[ poculum, t [
It can be said [ha[ none of i[S successors ever equalled [his treatise in force,
culrellus escarius ri[e purgatus, ad laevam panis", says Erasmus. The goblt[ and
clarity and personal character. Looking more closely, one perceives beyond i[ a
[he well-cleaned knife on the right, on the lefr rhe bread. Tha[ is how [he rnble
world and a pattern of life which in many respects are close w our own, yet in
is laid. Most people carry a knife. hence the precept co keep it clean. Forks
others still quire remo[e; [ht treatise points co acritudes that we have los[, [ha[
scarcely exist. or a[ mos[ for raking mea[ from the dish. Knives and spoons are
some among us would perhaps call "barbaric" or "uncivilized". It speaks of many
very ofren used communally. There is no[ always a special implement for
50 in th1: B,hm'io!!r of th1: 51:mlc1r U/'/'1:1 C!t1ss1:s in the \Vert 51

everyone: if you are offered some[hing liquid, says Erasmus, rns[t i[ and return hungrv or diirs[y. bur because rhty can control rheir movemems in no other way.
[ht spoon afrer you han: wiped i[ lia,e to scrn[ch rheir heads. poke dieir ree[h. gesricuhue wi[h rlieir hands,
\\'hen dishes of mea[ are broughc in, usually everyone ems himself a piece, or play with a knife, or [hty canr help coughing, snoning, and spi[[ing. All rhis
takes i[ in his hand, and pms i[ on his pla[t: if [htrt are pla[eS, otherwise on a reallv comes from a rus[iC tmbarrassmtl1[ and looks likt a form of madness .
[hick slice of bread The expression Cji!t1dra used by Erasmus can clearly mean B;t[ ir is also necessary, and possible, for Erasmus to say: Do nor expose
ei[her a mernl pla[t or a slice of bread widiom necessiry "die pans rn which Narnre has amiched modesty". Some
"Quidam ubi ,ix bent considerim mox manus in epulas conjicium Some pm prescribe, he says, rha[ boys should "rernin [he wind by compressing [he belly ..
rlieir hands into the dishes when [hey are scarcely sta[tcl. says Erasmus . \Valves Bur vou can conrracr an illness [har way. And in anmher place: "Reprimere
or glutwns du rliac. Do nor be [ht firsr w rnke from a dish [ha[ is brough[ in. quern natura fen, ineprnrum es[, qui plus uibuunt civilirati, quam
Leave clipping your fingers imo rhe brorh w die peasants. Do no[ poke around salmi" <Fools who value civiliry more rhan healrh repress narnral sounds) Do nm
in [ht dish bm rnke rhe firs[ piece [ha[ presents irself. And jus[ as i[ shows a be afraid of vomi[ing if you musr; .. for ir is no[ vomiting bm holding the vomit
want of forbearance w search [ht whole dish wi[h one's hand-" in omnes parinae in vour rhroa[ rha[ is fou1
plagas manum mi[[tre"-neirher is i[ very poli[t w turn [ht dish round so rhar S. \Virh grea[ care Erasmus marks our in his [rea[ise [ht whole range of
a be[[er piece comes w you. \Vha[ you canno[ rnke wi[h your hands, rnke on your human conduc[, rhe chief sirnarions of social and convivial life. He speaks wirh rhe
q1111d1t1. If someone passes you a piece of cake or pasuy wirli a spoon, ei[her rnke
same ma[[er-of-facrness of [he mosr elemel1[ary as of [he subdesr ques[ions of
i[ wirli your or cake rhe spoon offered ro you, pm [ht food on rhe 'fl!t11!m human imercourse In die firs[ chap[er he uta[S .. rhe seemly and unseemly
and rernrn [ht spoon. condirion of rhe whole body .. , in rhe second "bodily culrure .. , in rhe rhird "man-
As has been memioned. plares roo are uncommon . Paimings of table scenes ners a[ holy places". in die founh banquers, in die fifrh meerings, in rhe sixrh
from [his or earlier rimes always offer the same spectacle, unfamiliar to us, [hat amusement and in the sevemh rhe bedchamber. This is die range of questions in
is indica[ed by Erasmuss uea[ist . The rnblt is some[imes covered wirli rich clorlis, die discussion of which Erasmus gave new impetus to the concepr of ciz'ilitas.
sometimes nor, bm always [here is little on ic: drinking vessels, sal[-cellar. Our consciousness is nor always able rn recall [his orlier srnge of our own
knives. spoons, [ha[ is alL Somt[imes we see rhe slices of bread, die qN11drm, rha[ hisrnry wirhou[ hesirnrion The unconcerned frankness wi[h which Erasmus and
in French 'ire called tra11chr1ir or frti!!fJir. E,eryone, from [ht king and queen w die his rime could discuss all areas of human conduc[ is los[ rn us . Much of whar he
peasant and his wife, ta[s wi[h [ht hands. In [ht upper class [here are more says overS[tps our rhreshold of repugnance.
refined forms of [his. One ough[ ro wash one's hands before a meal, says Erasmus. Bm precisely this is one of rhe problems to be considered here . In rracing the
Bm there is as yer no soap for [his purpose. Usually [ht gues[S hold om rheir mmsformarion of [he conctp[S by which differem socieries have [ried rn express
hands and a page pours wa[er over [hem. The warer is some[imes slighdy scented [htmselves, in following back rhe concepr of civilizarion w ics ancesrnr ciz'i!itt!.
wirh chamomile or rosemary.' In good socit[y ont does no[ pm bmh hands inw one finds oneself suddenly on die [rack of die civilizing process i[stlf, of rhe acwal
rhe dish. fr is mos[ refined rn use only [hret fingers. This is one of rhe marks of changes in behaviour [ha[ rnok place in rhe \Vesc Thar ir is embarrassing for us
disrinc[ion be[Wttn [ht upper and lower classes. w speak or even hear of much rhar Erasmus discusses is one of rhe symptoms of
The fingers become greasy.. "Digiws uncrns vel ore praelingere vel ad tunicam [his process. The grea[er or lesser discomforr we feel rnwards people who
tx[ergere incivile es[ .. , says Erasmus. Ir is nm poli[t rn lick [hem or wipe discuss or mention their bodily funcrions more openly, who conceal and resuain
rhem on ones coac Ofren you offer others your glass. or all drink from a [hese funcrions less dian we do, is one of rht dominant feelings expressed in die
communal rankard. Erasmus admonishes: "\Yipe your momh beforehand. You judgemem .. barbaric .. or "uncivilized" Such, dien, is [he nature of 'barbarism
may want w offer someone you like some of rhe meat you are earing. "Refrain and i[S discoments .. or, in more precise and less evaluarive rerms, [he discomem
from [bar .. , says Erasmus. "i[ is nm very decorous w offer somerliing half-earen wirh [he different suucture of affecrs, the clifferem srnndard of repugnance which
rn anmher." And he says further: .. To dip bread you have bi[[en into [he sauce is is srill ro be found roday in many socie[ies which we rerm 'uncivilized", [he
ro behave like a peasant. and i[ shows lirde elegance ro remove chewed food from srnndard of repugnance which preceded our own and is i[s precondition. The
die mou[h and put ir back on die q!!adri!. If you cannor swallow a piece of food, question arises as rn how and why \\ies[ern socie[y actually moved from one
rnrn round discreedy and rl1row ir somewhere ... srandard to die orlier, how ir became "civilized". In considering this process of
Then he says again: "Ir is good if conversation imerrup[s rhe meal from rime civilizarion, we cannm avoid arousing feelings of discomfon and embarrassment .
to rime. Some people ea[ and drink widiom stopping, nor because rhey are Ir is valuable w be aware of rhem fr is necessary. a[ leas[ while considering [his
5.:2 Thi Ci1'i/i::;i11g Pmn:ss 53

process. ro arrempr ro suspend all the feelings of embarrassment and superiority, The Middle Ages have left us an abundance of information on what was
all the value judgements and criticisms associated with the concepts "civiliza- considered socially acceptable behaviour at the rime. Here, too, precepts on
tion" or "uncivilized" Our kind of beha\iour has grown our of rhar which \ve conduct while earing had a special importance . Earing and drinking then
call uncivilized Bur rhese concepts grasp the actual chan!2;e roo srarirnllv and occupied a far more central position in social life than roclay, when rhey
coarsely, In reality, our terms "civilized" and "uncivilized" :10
nor constiCL;te an provicle-freguently, nor always-rather the framework and introduction for
anti thesis of rhe kind rhar exists between "good .. and "bad", bur represent stages conversation and conviviali ry.
in a development which. moreover, is srill continuing. Ir might well happen rhar Learned ecclesiastics sometimes set clown. in Larin, precepts for behaviour rhar
our stage of civilization, our behaviour, will arouse in our descendants feelings of tescir}' to rhe sranclarcl of their society. Hugh of Sr Victor (cl. 11-i 1), in his De
embarrassment similar ro those we somenmes feel concerning rhe behaviour of imtit11tionc n1t1itiam111, is concerned wich rhese guesrions among ochers. The
our ancesrors. Social behaviour and rhe expression of emotions passed from a baptized Spanish Jew Petrus Alphonsi deals with them in his Discij1!inc1 clericalis
form and a standard which was nor a beginning, which could nor in am absolure of rhe early twelfth cemury; Johannes von Garland devotes ro manners, and
and undifferentiated sense be designar;d ro our own, we particularly ro rable manners, a number of rhe 66.:2 Larin verses bearing the ride
denote by rhe word "civilized". And ro uncle rs rand the latter we musr go back in 1\Iora!c scol11ri11111 of 1.:24 l.
rime ro rhar from \vhich ir emerged. The 'civilization .. which we are accusromed Besides these precepts on behaviour from rhe Larin-speaking clerical society,
ro regard as a possession rhar comes ro us apparendy ready-made, wirhour our rhere are, from abour rhe thirteenth cenrnry on, corresponding documents in the
asking how we actually came ro possess it, is a process or part of a process in various lay languages-above all, at tirsr, from rhe courts of the warrior nobility.
which we are ourselves involved Every particular characteristic char we arrribure The earliest records of the manners prevalent in the secular upper class are
ro it-machinery, scientific discmery. forms of rhe scare or whatever else-bears doubtless those from Provence and neighbouring, culmrally related Italy. The
witness ro a particular srrucrure of human relations, ro a particular social earliest German work on m111loisie is also by an Italian, Thomasin von Zirklaria,
srrucrure, and to the corresponding forms of behaviour The guesrion remains and is called The ltalic111 Guest (Der ll'iilsdx Gt1st, pm inro modern German by
whether rhe change in behaviour, in the social process of rhe "civilization" of Ruckerr) Another "courroisie-rexr" by Thomasin, in Italian, rransmirs to us in
people, can be understood, ar least in isolated phases and in its elementary irs German ride an early form of rhe concept of "courcesy" (Hiijfic/;kuit) He refers
features. with any degree of precision. rn this book. which has been lost. as a "buoch von der htifscheir"
Originating from the same knighdy-courdy circle are the fifty Cr;11r!dics by
II Bonvicino da Riva and rhe Hof;:.11cht (Courdy manners) attribured to Tannh;iuser.
Such precepts are also occasionally found in the great epic poems of knightly
On Medieval Manners society, e . g .. rhe Roman ck !t1 r11se" of rhe fourteenth century. John Russell's Book
of N11rt11r,, written in English verse probably in the fifteenth century, already
In Erasmus of Rotterdam's De cizilitate 111om111 ji11trilim11 a particular kind of gives a complete compendium of behaviour for rhe young nobleman in rhe
social behaviour is discernible Even here, the simple antithesis of "ci\ilized" and service of a great lord, as does more briefly The Bah11s Bor,k.
"uncivilized" hardly a1:lplies. In addition there is, primarily in fourcetnth- or fifreemh-cenrury wrsions bur
\Vhar came before Erasmus' \Vas he the first to concern himself with such probably, in pare, older in subsrnnce, a whole series of poems designed as
matters' mnemonics to inculcate table manners, Tisch:;11d1tw of varying length and in rhe
By no means Similar guesrions occupied the people of rhe i\ficldle Ages, of most diverse languages. Learning by heart as a means of educating or condition-
Greco-Roman antiguiry, and cloubdess also of the related, preceding "civiliz- ing played a far greater part in medieval society, where books were comparatively
ations" rare and expensive, than it does roday, and these rhymed precepts were one of rhe
This process has no beginning, and here we cannot trace ir back inclefinirelv. means used ro rry ro impress on people's memories what rhey should and should
\X'herever we start, there is movement, something that went before. Limits nor do in society, above all at table .
necessarily be set to a retrospective inguiry. preferably corresponding ro the .:2. These Tisch:;11ch1c11, or rable disciplines, like medieval writings on manners
phases of the process itself. Here the medieval srandarcl must suffice as a startin"- of known amhorship, are nor individual products in rhe modern sense, records of
point, withour itself being closely examined, so that the movement, rhe curve the personal ideas of particular people within an extensively individualized
development joining ir ro rhe modern age may be pursued society. \Vhar has come down to us in writing are fragments of a great oral
54 55

uadirion. reflections of what acwally was customary in that society: these which does not mean the knightlv
SEf'1 [Lln1 ' '-
class as a whole, but primarilv., the
fragments are significant precisely because they transmit not the great or the courdv circles around the great feudal lords, designated what distinguished them
exuaordinary but the typical aspens of sociecy.. Enon poems handed down under in the.ir own eyes, m1mely the specific code of behaviour that first formed at the
a specific name, like Tannhiiusers or John Russell's Br;r1k o/ Siirt!lr,, are l!rtat feudal courts. then spread to rather broader strata: this process of
nothing ocher than individual versions of one of rhe many strands of uadition :liffertntiarion may, however, be disregarded here . Measured against later peri-
corresponding to the strucrnre of this society. Those who wrote them down wtre ods. rht great uniformity in rhe good and bad m<rnners referred ro--what is
noc tht legislators or creators of these precepts but collectors. arrangers of the called here a particular "srnndard'"-is especially impressive
commands and taboos customary in their society; for this reason, whether or not \vhat was this standard like' \Vhat emerges as typical behaviour, as the
there is a literary connection. similar precepts recur in almost all these writings. pervasive character of its precepts'
They are reflections of rhe same customs. testimonies to a particular standard of Something, in the first place. rhar in comparison to later times might be Gllled
beha\iour and emotions in rhe life of society itself irs simplicity. its 11ai"rtte There are, as in all societies where the emotions are
Ir is perhaps possible on closer examination to discover certain differences of expressed more violently and directly. fewer psychological nuances and com-
customs berwten individual national traditions, and variations in the social plexities in the general stock of ideas. There are friend and foe, desire and
standards. Ptrhaps the material may also reveal certain changts within rhe same aversion, good and bad people
tradition. It appears, for example, that rht tenor and perhaps also the cusroms of
'{ou should i"ollo\\" honourable men and Yem your \\r,1ch on die wicked.
society underwent certain changes in the fourteemh or fifteenth century with the
rise of guild and burgher elements. much as more recently behavioural models
\Ve read this in a German transbtion of the Disticht1 Ct1tl)11is,s the code of
originating in the court aristocracy were adopted in bourgeois circles.
beh<ffiour encountered throughout rhe Middle Ages under the name of Caro. Or
A closer srndy of these modifications within medieval behaviour remains to be
carried our Ir must suffice here to note them, bearing in mind that this medieval in another place:
standard was noc wirhom inner movemem and certainly was not a beginning or \\ihen your companions angtc you. my son, set char niu art nor so hoc-rtmptred char
""bottom rung .. of rhe process of civilization: nor does it represent, as has you regret ir afterwards.q
sometimes been asserted, the "stage of barbarism .. or that of "primitiveness'"
It was a different standard from our own-whether better or worse is not here In eating, roo. everything is simpler, impulses and inclinations are less
at issue. And if, in our 1"ch1:1th1: d11 tt111/1s f'trc!H, we ha\'e been led back step by step restrained:
from the eighteenth to the sixteenth and from the sixteenth ro rhe thirteenth and
twelfth cenrnries. this does not imply that we are. as already stared. in ,-\ man of rttintmenr should not slurp from cht same spoon wich somebody else: chis
anticipation of finding the "beginning'" of the process of civilization It is a is rht: \vay to behan: for at court 'sho oftt:n confronrt:cl with unrefined

sufficient task for present purposes, ro rake the short journey from the mediernl conduce
to the early modern stage in an attempt ro understand what acrnally happened
This is from Tannhiiusers Hof:11cht. 1" Hiihsch1: Lu11h (fine people) were rhe nobles.
to human beings in rhis transition
the courtly people. The precepts of rhe were meant expressly for the
_;. The standard of "'good behaviour'" in the Middle Ages was, like all later
upper class, the knights who liwd at court Noble. courteous behaviour was
standards. represented by a quire definite concept. Through it the secular upper
constantly contrasted to "coarse manners". the conduct of peasants
cL1ss of the Middle Ages, or at least some of its leading groups, ga\'e expression
to their self-image, to what, in their own estimation, made them exceptional.
Some people bite a slice and then clunk it in the dish in a coarse way: refined people
The concept epitomizing aristocratic self-consciousness and socially acceptable 11
re jeer such bad manners
behaviour appeared in French as co11rtoisie, in English as "courtesy .. , in Inilian as
corfr:;ia, along with other related terms, ofren in divergent forms. In Germ<rn it If you have taken a bite from rhe bread, do not clip it in the common dish again
was, likewise in different versions. hiinschcit or hiibr:scheit and also :;11ht. All these Peasants may do that, not '"fine people'"
concepts referred quire directly (and far more oYertly than later ones with rhe
same function) ro a particular place in society They say: That is how people A number o( people gnaw a bone and then put ic back in che dish-chis is a serious
behave at court. By these terms certain leading groups in the secular upper offence
56 Th, Ciz'ilizing Pm1us Ch,111g.:s i11 the Bclh1611111 11/ ihc S,mfar Uj1/1t1 Classes i11 the \Vi:st 57

Do not throw gnawed bones back into the communal dish. From other accounts All rhis was said co adults, nor only to children. From rhe sranclpoint of our
we know rhar it was customary to drop them on the floor. Another precept reads: feelings today, these are very elementary precepts tO be giYen tO upper-class
people, more elemenrnry in many respects dmn what, ar the present stage of
A man who dears his rhroat when he ears and om: who blows his nose in the rableclorh
behaviour, is generally acceprecl as rhe norm in rural-peasant srrara. And rhe
are both ill-bred. I assure ,ou. 1
sanw standard emerges wirh certain variations from rhe c1111rtois writings of orher
Here is another: linguistic areas.
cL In che case of one of these different strands of rradirion, which leads from
If a man wipes his nose on his hand at table because ht knows no better. then he is a
certain Larin forms primarily ro French, but perhaps also co Italian and co a
fool. believe me. 1 '
Proven<;al code of cable manners, a compilarion has been made of the rules
To use the hand to wipe one's nose was a matter of course. Handkerchiefs did not recurring in most or all of rhe variants. 2 ' They are by and large the same as in
yet exisc. But at rnble a cerrnin care should be exercised; and one should on no rhe German Tischwchten. First there is the instruction tO say grace, which is also
account blow one's nose into the tablecloth. Avoid li1;-smackinu and snortinu found in Tannhiiuser. Again and again we find the injunctions to rake one's
b b'
eaters are fi.ircher instructed: allotted place and nor ro couch one's nose and ears ar cable . Do nor put your
elbow on the table, they often say. Show a cheerful countenance. Do not talk too
If a man snorts like a seal when he ears. as some people do. and smacks his chops like
much. There are very frequent reminders not ro scratch oneself or fall greedily on
a Bavarian yokel. he has ;rinn up all good breeding.''
rhe food. Nor should one put a piece char one has had in one's mouth back into
If you have to scratch yourself. do not do so wi rh your bare hand but use your the communal dish; rhis, coo, is often repeated. Not less frequent is rhe
coat: instruction ro wash one's hands before earing, or nor to clip food into rhe salt-
cellar. Then it is repeated over and over again: do nor clean your ceeth wich your
Do not SCC<lpt your throat "irh your bare hand while earing: bur it you have ro. do ir
knife. Do not spit on or over rhe table. Do not ask for more from a dish that has
polirtly with your coat. 1''
already been taken away. Do nor let yourself go ar table is a frequent command.
Everyone used his hands to take food from the common dish. For this reason one \'Vipe your lips before you drink. Say nothing disparaging about rhe meal nor
was nor to touch one's ears. nose, or eyes: anything that might irritate others. If you have clipped bread inco rhe wine,
drink it up or pour the resr away. Do not dean your teeth with the tablecloth.
Ir is nor decent ro poke your fingers inro your ears or eyes. as some people do. or ro
Do not offer others rhe remainder of your soup or the bread you have already
pick your nose while earing These three habits are bad. 1-
bicten into. Do not blow your nose too noisily. Do not fall asleep at cable. And
Hands must be washed before meals: so on.
Indications of the same code of good and bad manners are also found in other
I hear that some ear unwashed (it ir is true. it is a bad sign). May their fingers be
collections of related mnemonic verses on etiquette, in traditions not directly
palsied! 1'
relarecl co rhe French one just mentioned. All bear witness to a certain standard
And in Ei11 .1j1mch dll :::i: tischi: ki:rt (A word to those at table) 19 , another Tischz11d1t of relationships between people, to the structure of medieval society and of ti1e
which Tannhauser's HfJ/:wcht has many affinities with and echoes of. it is medieval psyche . The similarities between these collections are sociogenetic and
demanded that one eat wirh only one hand, and if one is earing from rhe same psychogeneric: rhere may but need not be a literary relationship between all
plate or slice of bread as another, as often happened, with the outside hand: rhese French, English, Italian, German and Latin precepts. The differences
between them are less significant than rhe common fearures, which correspond ro
You should always ear wirh the omside hand: if your companion sirs on your right, ear
the unity of actual behaviour in rhe mediernl upper class, measured against rhe
with your left hand Refrain from earing \\irh both hands?'
modern period.
If you have no rowel, we read in rhe same work, do not wipe your hands on your For example, the Co11rtesies of Bonvicino cla Riva, one of rhe most personal
coat but let rhe air dry rhem. 21 Or: and-in keeping with Italian development-most "advanced" of table guides,
contains, apart from rhe precepts mentioned from the French collection, the
Take care rhar. whatever your need. you do not flush with embarrassment."
instructions to turn round when coughing and sneezing, and nor to lick one's
Nor is it good manners co loosen one's belt at rable. 2 i fingers. One should, he says, refrain from searching out rhe best pieces in rhe
58 The Ciz'i!i:::i11g Prr1ct.rs i11 th, Bcl.urifllll' rr/ the Stm!ar Upper C!t1ssts i11 the \Vi:st 59

dish, and cm rhe bread decendy. One should nor touch rht rim of rhe communal else was needed . To ear in chis fashion was raken for granred. Ir suired
nor11 1.n"
b
glass with one's fingers. and one should hold the glass with borh hands. Bm here. these people, Bm ir also suited chem co make visible rheir wealth and rank by
mo, the tenor of co111"toisie, rhe standard. the customs are by and large the same. the opulence of their mensils and cable decoration. Ar rhe rich tables of rhe
And it is nor uninreresring rhar when Bonvicino cla Riva's Co!!rttsiu were re\ised diirreenth century the spoons were of gold. crystal. coral. ophite. Ir was
rhrte centuries afrer him. of all rhe rules given by Da Riva only two nor \'try occasionally menrioned rhar during Lent knives wirh ebony handles are used. at
imporrant ones were al rt red: the edi mr advises nor w much rhe edge of the faisrer knives with ivory handles, and inlaid knives ar \Vhirsun. The soup-spoons
communal glass and ro hold it with both hands. and if seYeral art drinking from were round and rather flat co begin with, so char one was forced when using
rhe same glass. ont should refrain altogether from dipping bread inw ir (Da Riva rhem ro open one's momh wide . From rhe fourteenth cenrury onwards, soup-
only required rhar rht \\ine rhus used should be ripped away or drunkJ."' spoons rook on 1!1 oval form.
A similar picrurt could be drawn from rht German uadirion. German Ar rhe encl of rhe Middle Ages rhe fork appeared as an instrument for raking
Tisch:::11d>ten, of which we ha Ye copies from rht fifteenth century, are perhaps food from rhe common dish . A whole dozen forks are w be found among rhe
somewhar coarser in tont rhan rhe ltC1!ic111 Guest of Thomasin von Zirklaria or valuables of Charles V The inventory of Charles of Savoy, which is \'try rich in
Tannhaustr's Hrf:;!!cht from rht rhirreenth cenrury. Bur rhe standard of good and opulent cable mensils. counts only a single fork. 2''
bad manners seems scarcely ro have alrerecl to any considerable exrent. Ic has 5. Ir is sometimes said, "How far we have progressed beyond rhis sranclarcl",
been pointed om thar in one of the later codes which has much in common with although ir is not usually quite clear who is rht "we" with whom rhe speaker
the earlier ones already rnenrioned. rhe new injuncrion appears char ont should idenrities on such occasions, as if he or she dtstrwd pan of rhe credit.
spic nor on rhe cable bur only under it or against rhe wall. And rhis has been The opposite judgement is also possible: "\Vhar has really changedi A few
interprerecl as a sympwm of a coarsening of manners. Bm ir is more rhan customs, no more ... And some observers seem inclined co judge these customs in
questionable whether things were clone very differently in rhe preceding much rhe same way as one would today judge children: "If a man of sense
cenruries, particularly as similar precepts from earlier periods are rransmirctd by had come and told rhese people char rheir practices were unappetizing and
rhe French tradition, for example. And what is to be derived from lirerarure in unhygienic, if rhty had been caught ro ear with knives and forks. these bad
rhe broadest sense is confirmed by paintings. Here, roo, more derailed sruclies are manners would rapidly have disappeared ...
needed: bm compared w rhe lacer age, picrures of people ar cable show. until Bur fCJrms of conduce while earing cannor be isolated . They are a segment-a
well into the fifreenrh century, very sparse cable mensils, even if, in some derails, ycry characteristic one-of rht roraliry of socially instilled forms of conduce
ctrrain changes are uncloubredly present, In rht houses of rhe more wealthy, the Their standard corresponds ro a quire definite social structure. Ir remains to be
plarrers are usually raken from the sideboard, frequendy in no particular order. ascertained what chis srrucrure is, The forms of behaviour of medieval people
EYeryont rakes--or sends for-what he fancies ac rhe momenr. People help were: no less rightly bound to their total way of life. co rhe whole structure of
themselves from communal dishes. Solids (above all. meat) are taken by hand. their existence. than our own behaviour and social code are bound ro ours
liquids with ladles or spoons. Bm soups and sauces are still very frequendy At rimes, some minor srnremtnt shows how firmly mored chest customs were,
drunk. Plates and dishes art lifred ro rhe momh. For a long period, coo, rhere are and makes ir apparent rhar rhey musr be understood nor merely as something
no special implementsJor clifferenr foods. The same knife or spoon is used. The "negative", as a "lack of civilization" or of "knowledge" (as iris easy to suppose
same glasses are drunk from. Frequendy rwo diners ear from rhe same board . from our sranclpointl, bm as something char fitted rhe needs of rhese people and
This was, if ir may so be called. rhe standard earing technique during rhe rhar seemed meaningful and necessary ro chem in exactly this form
Middle Ages, Ir corresponded co a \ery particular sranclarcl of human rtlarion- In rhe eleventh century a Venetian doge married a Greek princess. In her
shi ps and structure of feelings. \Vi chin rhis standard there was, as has been said, Bvzantine circle the fork was clearlv in use, At anv rare, we hear rime she lifted
an abundance of rnodificarions and nuances . If people of different rank were fo.od to her momh "by means of golden with rwo prongs".'-
taring at rhe same rime, rhe person of higher rank was given precedence when This gave rise in Venice w a dreaclfi.11 scandal: "This novelty was regarded as
washing hands, for example, or when raking from rhe dish. The forms of utensils so excessive a sign of refinement char rhe dogaressa was severely rebuked by rhe
varied considerably in rhe course of centuries . There were fashions, bm also a ecclesiasrics who called clown divine wrarh upon her. Shortly afterward she was
very definite rrend char persisred through the flucruacions of fashion. The secular afflicted by a repulsiYe illness and Sr Bonaventure did not hesitare co declare that
upper class, for example. indulged in extraordinary luxury at table Ir was nor a chis was a punishment of Goel ...
poverry of utensils char maintained rhe standard, ir was quire simply char Five more cenrurits were to pass before rhe srrucrure of human relarions had
60 Th, Ciz"i!izing Pmt'<Ss ii! the Bd1,11i1Ji!r of the Semlar Uj>/1tr C!c1sses in the West 61

so changed char che use of chis inscrumem mer a more general need. From che between chose of cht Middle Ages and modern rimes. Erasmus's treatise,_ the high
sixceemh cemury on. ac lease among che upper classes, cht fork came imo use as an . i n rhe succession of humanist writings on manners, also has chis double
point . . . . . . .
earing inscrumem. arriving by way of Irnly firsc in France and chen in England and face. In many respects it stands ennrely w1chm medieval cradmon . A good part of
Germany. after having served for a time only for caking solid foods from che dish. the rules and precepcs from rhe L'Oi!l'toi.r writings recur in his treatise. Bm at che
Henri III broughc ic to France. probably from Venice. His courciers were nor a
sarne tjm.,
1 '"''
1t clear!\ contains the beginnings
._,
L--
of something new. In it a concept was
,_

licde derided for chis "affecced" manner of earing. and ac firsc chey were nor very gradually developing which was to force the knightly-feudal concepc of courtesy
adepc in che use of cht inscrumem: ac least it was said chat half the food fell off inro the background. In che course of the sixreemh century the use of the conctpt
che fork as it travelled from plate ro momh As late as che sevtmtenth cemury pf ((!/!l'toisie slowly receded in the upper class, while ciz'i!iti grew more common
rhe fork was scill essemially a luxury article of the upper class. usually made of and finally gained the upper hand, <lt lease in France, in the sevemetmh cen-
gold or silver. \\!hac we rake emirely for gramed, because we have been adaprtd
run.
and condicioned ro chis social srnndard from earliesc childhood. had firsc ro be This is a sign of a behavioural change of considerable proportions. Ir did not
slowly and laboriously acquired and developed by sociecy as a whole This applies rake place, of course, in such a way that one ideal of good behaviour W<lS suddenly_
to such a small and seemingly insignificam ching as a fork no less than ro forms opposed by anocher radically differem from ir.. The De cil'i!itafr 111o;i1111 /Jiitri!i111il ot
of behaviour that appear ro us larger and more imporrnnr. 2H Erasmus-ro confine che discussion ro chis work for che time being-stood in
However, the attitude that has just been described cowards che "innovation" of roam rtspecrs. as we have said, entirely within medieval tradicion. Almost all the
che fork shows one ching wich special claricy. People who are rogechtr in che way rule; of coi!rtois sociecy reappeared in ir. Mtac was still eaten wich the hand, even
cusromary in rhe Middle Ages, caking mear with their fingers from che same if Erasmus scressed that ir should be picked up \vi ch d1fte fingers, nor the whole
dish. wine from che same gabler, soup from rhe same pot or rhe same place, with hand. The precept nor ro fall upon the meal like a glutton was also repeated. as
all the other peculiarities of which examples have been and will furchtr be were the direcrion to wash one's hands before dining and cht strictures on
given-such people srood in a differem relationship ro one another than wt do . spitting. blowing che nose, the use of the knife, and many ochers . Ir may be char
And chis involves not only rhe level of clear, rational consciousness; their Erasmus knew one or another of the rhymed Ti.rch:::i!chtw or the clerical wricings
emotional life also had a different suucrnre and characrer. Their affecrs were in which such questions were treated. Many of these writings were no doubt in
conditioned ro forms of relationship and conduct which, by roday's standard of circulation: it is unlikely that chey escaped Erasmus. More precisely demonstra-
conditioning, are embarrassing or at lease unattractive. \\!hat was lacking in this ble is his relation to the herirage of antiquity. In rht case of this ueacise, it was
coiirtois world, or ac lease had nor been developed ro che same degree, was che pardy shown by che commentaries of his contemporaries. Its place in rhe rich
invisible wall of affecrs which seems now ro rise becween one human body and humanist discussion of these problems of education and propriety remains ro be
anocher. repelling and separating, che wall which is ofren percepcible roday at che examined in more derail co' Bm whatever rht licerary interconnections may be. of
mere approach of someching that has been in comacr with rhe momh or hands primary inrtresc in chis context art rht sociogenetic ones . Erasmus certainly did
of someone else. and which manifescs itself as embarrassmem at the mere sight nor merely compile this treatise from other books; like anyone who reflects on
of many bodily functions of others, and ofren at cheir mere mention, or as a such quescions, he had a particular social code, a particular standard of manners
feeling of shame when one's own functions are exposed ro the gaze of ochers, and direcdv before his eves. This ueatise on manners is a collection of observations
by no means only chen. from r,he life of hi; society. Ir is, as someone said later, "a little the work of
evervone". And if noching else. its success. its rapid dissemination. and ics use as
III an educational manual for boys show how much ir mer a social need. and how it
recorded rhe models of behaviour for which the time was ripe, which society-or,
The Problem of the Change in Behaviour during more exactly, the upper class first of all-demanded.
the Renaissance 2 Sociecy was 'in cransirion". So, roo, were works on manners. Even in the
tone. the m;mner of seeing, we feel char despite all their atrachment ro the 1fiddle
1 Diel che thresholds of embarrassment and shame advance at the time of Ages someching new was on the way "Simplicity" as we experience ir, the simple
Erasmus' Does his treatise conrnin indications char the frontiers of sensibility and opposition of 'good" and "bad", "pious" and "wicked", had been lose. People
the reserve which people expected of each other were increasing' There are good saw chings with more differemiarion. i.e., with a scronger restraint of their
reasons for supposing so. The humanists works on manners form a kind of bridge emocions.
62 Th, Ci1iii::i11g Pmce_r_r
. differences between such \Hirers Thar their writings do not contain as
It is not so much. or at least nor exclusively. the rules themselves or the ,111 cl r lle . -
much as others to which we habitually give more atttnt!On. the exuaorclm'.1n
manners to which they refer that distinguish a pan of the humanistic \Hitings-
'd t- in oursrnnclinu incli\idual., that the\- are forced b\. their subject irsdt to.
abovt all. rhe treatise of Erasmus-from the cr1i1rt11i_c codes. It is first of all their o .

tone. their way of seeing . The same social rules which in rhe .Middle Ages \HTe ao'l1ere
. . cl(Jsch
- . to social realit\".
. uuiws them rheir special siu:nihcance
. . ._ as a source of
passed impersonally from mouth to momh were now spoken in the manner and iuformarion on social processes
with the emphasis of someone who was nor merely passing on tradition. no But che observations of Erasmus on this subject are nevertheless to be
matter how many medieval and. above all. ancient \Vfitings he may have num ber cod ' 1lon"
' o
with a few b\- other authors from the same phase. among che
.
absorbed. bur who had obser.-ecl all this personally. who was recording experi- exctp tlons in rhe tradition of wririnu:
._ on manners For in them the presentation
enci:. of partly very anciem precepts and commands was permeated by a very
Even if chis were nor seen in Dr cfrilih1!t JIJ(Ji!f/JJ /'!ltri!i1m1 irstlf. wt should individual cemperamenc And precisely that was. in irs turn. a "sign of rhe
know it from Erasmus's earlier writings. in which the permeation of medieval es -'1n
(!!11 ex1)rtssion
. - of <l transformation of societ\".
a s\mptom
of what is
and ancient tradition with his own experience was expressed perhaps more clearly somewhat misleadingly called "individualiz,uion" It also points to something
and directly. In his Cu!!uq11ir:s, which in pan cerrainly draw on ancient models else: rhe problem of behaviour in society had obviously taken on such importance
(above all, Lucian). and particularly in the dialogue Diz ersori::1 (Basel, 15 ), in this period that even people of extraordinary talent and renown did nor
Erasmus described directly experiences elaborated in the later crearist. disdain to concern rhemsehes with it. Later chis task fell back in ,u:eneral to
The Din:;_rr1ric1 is concerned with the difference between manners at German minds of rhe second and rhird rank. who imitated. cominued. extended. thus
and French inns. Ht describes. for example. the interior of a German inn some gi\inu: rise once more. ewn if nor so strong!\ as in the .i\{iddle Ages, to a more
eighty or ninety people are sirring together. and ir is stressed that they are nor impe;sonal tradition of books on manners
only common people bur also rich men and nobles. men. women and children, The social rninsirions connected with the changes in conduct. manners and
all mixed rogtrher. And each is doing what he or she considers necessary. One feelin(.(s of embarrassment will be dealt with more specifirnlly later. Howtncr. an
W<lShts his clothes and hangs the soaking articles on rhe srove. Another washes of them is needed here for an understanding of Erasmus's own
his hands. Bur the bowl is so clean. says the speaker. rhar one needs a second one position, and therefore of his way of speaking ,1bour manners.
ro cleanse oneself of the \\arer. Gari ic smells and other bad odours rise. Peoplt Eni;muss ue<1tise came <lt a rime of social restructuring. Ir is rhe expression of
spit everywhere. Someone is cleaning his boots on the table. Then the meal is rhe fruitful transitional period after the loosening of the medieval social hierarchy
brought in. Everyone clips their bread inro the general dish. bites the bread and and before the stabilizing of the modern one. Ir belonged ro the phase in which
dips it in again . The place is dirty, the wine bad And if one asks for a better rhe old nobility of feudal knights \\as still in decline, while che new aristocracy
wine the innkeeper replies: I have put up enough nobles and counts. If it does of d1e absolutist courcs was still in rhe process of formariC1n This situation gave,
nor suit you. look for other quarters among or hers. the representatives of a small. secular-bourgeois intellectual class.
The stranger ro the country has a particularly difficult rime. The ochers stare rhe humanists. and thus Erasmus. not only <in opportunity to rise in social
at him fixedly as if he were a fabulous animal from /1.frica . .i\foremer. these people station. to gain renown and authority. but also a possibility of candour anJ
acknowledge as human beings only the nobles of their own country detachment that was not present to the same degree ei rher before or afterwards .
The room is overheated; everyone is swearing and steaming and wiping
This chance of distancing themselves, which permitted individual representatives
rhemsehes. There are doubtless many among them who bane some hidden
of rhe intellectual class ro totally and unconditionally \\irh none of the
disease: "Probably'. says the speaker. "most of them have the Spanish disease.
social groups of their world-though. of course. they ahn1ys stood closer w one
and are thus no less ro be feared than lepers ....
of them. that of rhe princes and the courts, rhan ro rhe ochers-also finds
"Brave people". says the other. "they jest and care nothing for ir. ..
expression in De ciri!itaff JiM"ilill Erasmus in no way overlooked or
"But this bravery has already cost many lives ...
conceiled social differences. He saw very exactly that che real nurseries of what
"\Vhat are they to do' They are used to ir. and a srout-heanecl man does not
was regarded as good manners in his rime were the princely courts He says. for
break with his habits ...
example, to the young prince ro whom he dedicated his treatise: "I shall address
3. It can be seen char Erasmus, like others who wrote before or after him about
your youth on rhe manners firring ro a boy nor because you are so greatly in need
conduct. was in the first place a collector of good and bad manners that he found
of these precepts: from childhood you have been educated among courtly people
present in social life itself Ir is primarily this that explains both the agreement
64 Th, Ciz'i!i::ing Process Changer in tlx Bchm'io!!r of tht Stmlc1r Upj1tr C!m-se.r i11 the YVtst 65

and you early had an excellent instructor or because all chat is said in this hi "h the later bourgeois am hors of books on manners usually spoke of
re lariv\,.. . o ' .__ .
treatise applies to you; for you are of princely blood and are born to rule ... .1s something alien chat had ro be learned because chat was the way dungs
nem
l ,
But Erasmus also manifested. in a particularly pronounced form, the charac- were done at court. However familiar wirh the subject these authors may h<1ve
teristic self-confidence of rhe intelltcrnal who has ascended through knowledge , _ tl1ev s1Joke of it as omsiclers, wry often with noticeable clumsiness fr was
Dt:tll, . .
and writing. who is legitimized by books, rhe self-assurance of a member of the a rdarively constriettd, regional and penurious intellectual srratum which wrote
humanistic intellectual class who was able ro keep his distance even from ruling in Germany in rhe following period, and particularly after rhe Thirty Years \'Var.
strata and their opinions, however bound to chem he may have been . "Modesty, And only in the second half of rhe eighteenth century, when the German
abon' all, befits a boy", he says ar rht close of the dedication ro the young prince, bourgeois intelligentsia, as a kind of vanguard of the commercial bourgeoisie._
"and particularly a noble boy' And he also says: Tet others paint lions, eagles, atwined new oppormnities for social advancement and rather more freedom or
and ocher creatures on their coats of arms. More true nobili ry is possessed by movement, do we again hear the language and expression of a self-image related
chose who can inscribe on their shields all chat they have achieved through rhe tO that of rhe humanists, especially Erasmus. Even now, however, rhe nobles were

cultivation of rhe arts and sciences . hardlr ever wld so openly that all their coats of arms were worth less rhan the
This W<lS the language. rhe typical self-image of the intellectual in chis phase of rhe artcs !ibtrales, even if this was ofren enough what was really
of social development. The sociogtnetic and psychogeneric kinship of such ideas meanL
with chose of the German intellectual class of rhe eighteenth century, who \'Vhat has been shown in the introductory chapter on the movement of the late
legitimized themselws by means of concepts such as Kdt11r and Bi/Jiiiig. is eighteenth century goes back ro a far older tradition, ro a pervasive structural
immediately visible. But in the period immediately afrer Erasmuss rime, few cl;aracteristic of German society following the particularly vigorous development
people would have had the assurance or even the social opportunity ro express of the German cities and burgher class cowards rhe encl of the i\Iiclclle Ages. In
such rhoughrs openly in a dedication ro a noble . \'Vith the increasing srnbiliza- France, and periodically in England and Italy also, a proportion of the bourgeois
rion of rhe social hierarchy, such an utterance would have been increasingly seen writers felt rhemselvts ro belong ro the circles of the court arisrocracies: in
as an error of tact. perhaps even as an arrack . The most exact observance of Germany this was far less rhe case. In the other countries, bourgeois writers did
differences of rank in behaviour became from now on rhe essence of courtesy. the not write largely for the court-arisrocratic circles bm also identified
basic requirement of cici!iti, at least in France. The arisrocracy and rhe bourgeois with their manners, cusroms and views. In Germany this identification
intelligemsia mixed socially, but ir was an imperative of tact ro observe social of memb;rs of the intelligentsia with the courdy upper class was much weaker,
differences and ro give them unambiguous expression in soci<1l conduct. In less taken for granted and far more rare. Their dubious position (along with a
Germany, by contrast, there was always, from rhe rime of rhe humanises onwards, certain mistrust of those who legitimized themselves primarily by their manners,
a bourgeois intelligentsia whose members, with few exceptions. li\ed more or courtesy and ease of behaviour) was part of a long tradition, particularly as the
less in isolation from arisrocraric court socien-. an intellectual class of specificalh- values of the German court arisrncracy-which was split up into numerous
middle-class characrer. greater or lesser circles. not unified in a large, central "Society', and moreover
4. The development of German writings on manners and the way these bureaucratized at an early stage-could not be as fully cultivated as in the
writings differed from rhe French give numerous clear illusrrations of this . Ir \"lesrern countries. Instead, there emerged here more sharply than in the Western
\\ould lead wo far ro pursue this here in derail. bm one need only think of a countries a split between rhe university-based culrural-bureaucraric tradition of
work like Dedekinds G1obim!!!s;" and its widely disseminated ,ind influential Kult!!r of the middle class, on the one hand, and the no less bureaucratic military
German translation by Kaspar Scheidt to be aware of rhe difference. The whole tradition of the nobility. on the ocher
German g1ohia11isch (boorish) literature in which, spiced with mockery and scorn. 5 Erasmus's treatise on manners had an influence both on Germany and on
a very serious need for a "softening of manners" finds expression, shows England, France and Italy. \"!hat linked his attitude with that of the later
unambiguously and more purely than any of the corresponding traditions of German intelligentsia was the lack of identification with the courtly upper class:
other nationalities the specifically miclclle-class character of its writers. who and his observation that the treatment of "civility" was without doubt crassissima
included Protestant clergymen and teachers. And the case is similar wirh most of phi!osophiae pars points t0 a scale of values which was not without a certain kinship
what was written in the ensuing period about manners and etiquette in t0 the later evaluation of Ziz.i!isation and K11/t111 in the German tradition.

Germany.. Certainly. manners here wo were scamped primarily at rhe courts: but Accordingly. Erasmus did not see his precepts as intended for a particular
since the social walls between the bourgeoisie and the court nobility are class . He placed no particular emphasis on social distinctions, if we disregard
66 Th, Cii'ifi:;i11g Prr1c<.1J i11 the Behm io111 of th1: Swdar UjJJ11:r Classes in th1: \\'est 67

occasional criticism of peasants and small tradesmen Ir was precisely chis lack of . it ]orcis when rhev stroll among rhe crowd" Or he savs: "You should leave
the gre' - _ ,_ . . .
a specific social oritnrncion in the precepts, their prtstnrncion as general human co a few courtiers rhe pleasure of squtezrng_ bread ll1 tht band and_ d:en breakrng
rules, chat distinguishes his rrearist from irs successors rn the Indian and it off with the fingertips. You should cut 1r dtctndy with a knife.
esptcialh rhe French traditions 6. Bur here again we see \ery clearly the difference between this and the
Erasmus simply says. for example. rncessus nee fracrns sir, ntc pratceps . " medieval manner of giving directions on behaviour. Earlier, people were simply
1
(One's srtp should be neichtr coo slow nor coo quick) . Shordv afterwards. in his "ive one example, "The bread cut fayre and do nor brtake"'.' Such rules
[0 Id ' ( 0 b
Gt1!:1teo. rht Italian Giovanni della Casa says rht same thing (ch VL 5. pr III). are embedded by Erasmus direcdy in his experience <rnd observation of people.
Bur for him the same precept had a direct and obvious function as a means of The rradiriom1l precepts. mirrors of ever-recurring customs. awaken in his
social distinction: "Non dee l'huomo nobile correre per via, ne rroppo affrecrarsi, observations from a kind of pttrifaccion. 1\n old rule ran: "Do nor fall greedily
cht cio comiene a palafreniert t non a gentilhuomo. Ne percio si dee andare si upon the food."
lemo. ne si contegnoso come femmina o come sposa." !The noblemen ought not
Do nor ear bread before rhe meat is served. for rhis would appear greedy
rn run like a lackey, or walk as slowly as \\omen or brides,) It is characrerisric,
and in agreement with all our ocher observations. that a German translation of Remember ro empry and wipe your momh ber-ore drinking.'
Gal{/fUJ-in a five-language edition of 1609 (Geneva)-rtgularly sought. like the
Latin translation and unlike all rhe ochers, ro efface rhe social differentiations in Erasmus gives the same advice, but in so doing he sees people direcdy before
the originaL The passage quoted. for example. was rranslactd as follows: him: some, he says, devour rather than ear. as if thty were about robe carried off
'"Therefore a noble, or any other hiJm1mt1b!t illcll!, should not run in the srretc or ro prison, or were thieves wolfing down rheir boory. Others push so much inro
hurry coo much, since this befits a lackey and nor a gentleman. Nor should rheir mourhs chat their cheeks bulge like bellows. Ochers pull their lips aparr
one walk unduly slowly like a stately macron or a young bride'" (p. 562). while eating, so that rhey make a noise like pigs. And then follows cht general
The words '"honourable man are instrctd here. possibly referring co burgher rule char was, and obviously had ro be, repeated over and again: "Ort pleno vel
councillors. and similar changes art found in many ocher places; when the Italian bibtre vel loqui, nee honescum, nee rucum (To tar or drink with a full momh
says simply genti!h1ff111111 and cht French gentilhiJ1111111:, rht German speaks of rht is neither becoming nor safe )
virrnous. honoun1ble man and rht Larin of "homo honesrns er bene morarns In all this. besides rhe medien1l cradirion. rhere is cerrainly much from
These examples could be multiplied anriquiry. Bur reading has sharpened seeing, and seeing has enriched reading and
Erasmus proceeded similarly. As a result, rhe precepts chat ht gave without \Vriting
any social characrerizacion appeared again and again in the Iralian and rhtn in Clothing, ht says now and again. is in a sense the body of rhe body. From it
rhe French traditions wirh a sharper limiracion co rhe upper class. while in .ve can deduce rhe attitude of mind. And then Erasmus gives examples of
Germany tht tendency co obliterate the social characteristics remained. twn if what manner of dress corresponds to this or that mental condition. This is the
for a long period hardly a single wrirtr achieved rht degree of social detachment beginning of the mode of observation char will ar a lacer stage be termed
possessed by Erasmus. In this respect he occupied a unique position among all "'psychological"". The new sragt of courtesy and its representation, summed up in
those who wrote on d1e subjecL It stemmed from his personal character. But at che concept of ciz'i!it&, was very closely bound up wirh this manner of seeing, and
the same rime. ir points beyond his personal character co chis rt!arivt!y brief gradually became more so. In order to be really courteous" by rhe standards of
phase of relaxation between two great epochs char wtrt characrerizecl by more cil'i!it(, one was co some extent obliged co observe, to look about oneself and pay
inflexible social hierarchies. attention ro people and rheir motives. In this, roo, a new relationship of person
The ftrtiliry of this loosening transitional situation is perceptible again and to person, a new form of integration is announced.
again in Erasmus's way of observing people. Ir enabled him ro criticize rustic"', Not quite 150 years lacer, when ciz'i!ite had become a firm and srable form of
"vulgar"", or '"coarse qualities without accepting unconditionally (as did most behaviour in the courtly upper class of France, in rhe 111011de, one of irs members
who came lacer) tht behaviour of che grtar courdy lords. whose circle was finally, began his exposition of the sciwce d11111rmdu with these words: "Ir seems ro me rhac
as he himself put it. the nursery of refined conduct. Ht saw very exacdy the co Kquire what is called the science of the world one muse first apply oneself co
exaggerated, forced nature of many courdy practices. and was nor afraid co say so. knowing men as they are in general, and then gain particular knowledge of chose
Speaking of how co hold the lips. for example. he says: "Ir is still less becoming with whom we have to live, thar is co say, knowledge of rheir inclinations ;rnd
co purse rhe lips from rime co rime as if whisding ro oneself This can be left co their b"Ood and bad Oj)inions ' of their virtues and their faults .. ;;
The Cizilizing Process Cha11glS in the Bthario11r of the Swt!e1r UPJM C/{/SStS i11 the \Pest 69
68

\Vhat is said hert with great precision and lucidity was anticipated by . Eras n1 us , Casri o"lione ' Della Casa, and others were produced. People, forced t0_
0t
Erasmus But chis increased tendency of society and therefore of writers to live with one another in a new way, became more sensitive t0 the impulses ot
observe, to connect tht particular with the gtneral, seeing with reading, is found - Nlor 1brupdv bur verv 0uraduallv the code of behaviour became stricter
ot lier,. ' - - -
not only in Erasmus but also in the other Renaissance books on manners, and and rhe degree of considerarion expected of ochers became grearer The sense of
certainly not only in these when w do and what not t0 do in order not to offend or shock others became
1. If one asks, therefore, about the new tendencies'' that made their subtler, and in conjunction with rhe new power relationships the social
appearance in Erasmus's way of observing the behaviour of people-chis is one of erHive nor to offend ochers became more binding, as compared to the
imp '
them. In the process of transformation and innovation chat we designate by the preceding phase. . .
term "Renaissance", what was regarded as ''firring" and 'unfitting" in human The rules of co11rtoisic also prescribed, say norhmg chat can arouse conflict, or
intercourse no doubt changed to a certain degree. But the rupture was not anger ochers'':
marked by a sudden demand for new modes of behmiour opposed w the old . The
rradirion of cu1trtuisie was continued in many respects by the society which Non dims verbum
cuiqw1m quod ei sir acerbum .,,
adopted the concept of ciz.Z!itas, as in Cil'i!itm 111om111 j/l!erili11111, to designate
socially "good behaviour".
'Be a good table companion":
The increased tendency of people t0 observe themselves and ochers is one sign
of how rhe whole guestion of behaviour was now raking on a different character:
Awayre my chylde, ye be have you manerly.
people moulded themselves and others more deliberately than in the Middle Ages. \V"hen ar your mere ye si rte at the cable
Then rhey were wld, do this and nor that; bur by and large a great deal was Jn euery prees and in euery company
lee pass. For centuries roughly the same rules, elementary by our srandards, were Dispose you ro be so compenable
repeated, obviously withour producing firmly established habits. This now Tl1'lt men may of you reporre for commendable
changed. The constraint exerted by people on one another increased, the demand For thrusteth we! upon your berynge
for "good behaviour" was raised more emphatically. All problems concerned with l\fen wil you blame or gyue preysynge
behaviour rook on new importance. The face that Erasmus brought wgerher in
a prose work rules of conduce that had previously been uttered chiefly in So we read in an English Book of C11rtcsJe. ;- In purely factual terms, much of
mnemonic verses or scattered in treatises on ocher subjects, and for che first time what Erasmus said had a similar tendency.. But the change of tone, the increased
devoted a separate book to the whole question of behaviour in society, not only sensitiviry, che heightened human observation, and the sharper understanding of
at rable, is a clear sign of the growing importance of the guesrion, as is the book's what is going on in orhers are unmistakable. They are particularly clear in a
success. And the emergence of related writings, like the Co!!rtir:r of Castiglione remark at che end of his treatise. There he breaks through the fixed pattern of
or the Ga/,iteo of Della Casa, to name only the most well known, points in the "good behaviour", together with rhe arrogance that usm1lly accompanies it, and
same direction. The underlying social processes have already been indicated and relates conduct back w a more comprehensive humanity: Be lenient towards the
will be discussed in. more derail lacer: the old social ties were, if not broken, offences of others. This is the chief virtue of cizi!itas, of courtesy. A com1xmion
extensively loosened and were in a process of transformation. Individuals of ought not to be less dear to you because he has worse manners. There are people
different social origins were thrown wgether. The social circulation of ascending who make up for che awkwardness of their behaviour by other gifts ... And further
and descending groups and individuals speeded up. on he says: "If one of your comrades unknowingly gives offence cell him so
Then, slowly, in the course of the sixteenth century, earlier here and later there alone and say it kindly. That is civility."
and almost everywhere with numerous reverses until well into the seventeenth But chis accirnde only expresses again how little Erasmus, for all his closeness
century, a more rigid social hierarchy began to establish itself once more, and to rhe courtly upper class of his rime, identified with it, keeping his distance
from elements of diverse social origins a new upper class, a new aristacracy from its code, tao.
formed. For this very reason the guestion of uniform good behaviour became Gtilt1tu1 rakes its name from an account in which Erasmus's precept "Tell him
increasingly acure, particularly as the changed structure of rhe new upper class alone and say it kindly'' applied in reality; an offence is corrected in char very
exposed each individual member tO an unprecedented extent w the pressure of way. But here the courtly character of such customs is emphasized as far more
others and of social control. Ir was in this context char the writings on manners self-evident than in Erasmus
The Bishop of Verona. the Irnlian work rtlatts .. , one day received a visit from ?\knnvs acres can in no plyre abnle
a Duke Richard. Ht appeared rn rht Bishop and his court as "gemilissime The\" .be changeable andt ofre meuide
carnliere e di bellissime maniere The host noted in his guest a single fault. Bur Thi;1gis somryme alo,,ecl is now repn:uid
ht said norbing. On the Duke"s departure the Bishop stm a man of his court, :\.nd :tfrer this shal rhingts up aryst
Thar men sec now bm ar lyryl pr\"Se.
Galareo. ro accompany him. Gahueo had particularly good manners. acquired at
the courts of the great: molro havea de" suoi di usato alle corti de' gran Signori".
This is explicitly emphasized. This sounds, indeed, like a motto for rhe whole movemem char is now coming:
This Galateo rhtrefore accompanies Duke Richard part of rhe way, and says "T'Iin"is somrvme alowed is now repreuid ... The sixreemh cemury was still
tht following to him before raking his leave: His master, rhe Bishop, would like l' transirion Ernsmus and his contt:mporaries were still permim:cl
w 10 ' .
to make rhe Duke a parting gifr The Bishop has never in his life seen a . k iboLlt
w spe.1 , rl11.n"S
a ,
fLmcrions ' and wavs
.
of behaving
"
that one or rwo cenrunes
.
nobleman with berrer manners than rhe Duke. He has discovered in him only a later were overlaid wirh feelings of shame and embarrassment. <me! whose_ public
single fault-ht smacks his lips too loudly while earing. so making a noise that . re or mention were IJroscribecl in socitff \Vith rhe same s1mplic1rv and
cxposu - . _
is unpleasant for others to hear. To inform him of chis is rhe Bishop's parring clarit\" with which he and Della Casa discussed quest10ns ot the greartsr tact and
gifr, which ht begs will nor be ill received prop;iery. Erasmus also says: Do nor move back and forth on _your chaic \Vhoever
Tht precept nor to smack rhe lips while earing is also found frequently in does char "speciem haber subinde venrris flatum em1rrenr1s anr em1rrere con-
mecliernl insuucrions. Bur irs occurrt:nce at the beginning of Ga!t1tuJ shows inris ( uives rhe impression of consrantly breaking or crying ro break wind). Tll!S
clearly what had changed Ir nor only clemonsrrarts how much importance was :rill sh;\.S rhe old unconcern in referring to bodily functions char was characrer-
now arrachecl to "good behaviour" Ir shows, abow all, how the pressure people ;sric of medieval people. bur enriched by observation, by consideration of "what
now exerred on one another in this direction had increased Ir is immediarely others 111ighr think" Comments of chis kind occur frequenrly. . .
apparent that this polite, extremely gentle and comparariYely considerate way of Consideration of rhe behaviour of people in rhe sixreenrh century. ,rncl ot their
correcting was. panicularly when exercised by a social superior, much more code of behaviour, casts rhe observer back and forth berwetn rhe impressions
compelling as a means of social conrroL much more effective in inculrnring Thar's srill utterly mediernl" and "Thar's exactly rhe way we feel wclay" And
lasting habirs. than insulrs, mockery or any threat of omwarcl physical vio- nreciselv chis apparent contradicrion clearly corresponds to reality. The people of
lence. ;his b,1d a double face . They sroocl on a bridge. Behaviour and rhe code of
Internally more pacified societies were in rhe process of forming. The old code behaYiour were in morion, bur rhe movement was quire slow. And above all. in
of behaviour was being transformed only step by step. Bur social control was observing a single srage, we lack a sure measure. \Vhar is accidental fluctuation;
becoming more binding. And above all. rht narure and mechanism of affecr- \Vhen where is something advancing; \Vhen is something falling behincP
moulding by socitry were slowly changed. In rhe course of rhe Middle Ages rhe Are we realh concerned with a change in a definite direction? \Vas European
standard of good and bad manners. for all rhe regional and social differences. soc:iet\" realh:, under the watchword of cirilitJ, slowly moving wwards that kind
clearly did nor undergo any decisive change. Over and again, clown the centuries, of char srnndard of conclucr, habits and affect formation, which
rhe same good and bad manners were mentioned The social code hardened imo 1s ch<1racrerisric in our minds of "civilized" society, of \Vesrtrn "civilization";
lasring habits only to a limited extent in people rhemselves . Now, with rhe S. Ir is not vef\" eas1 to make chis movement clearly visible precisely because
srrucrural rransformarion of society. with the new pattern of human relation- it rakes place so .slow.ly-in very small seeps. as it were-and because it also
ships. a change slowly came about: the compulsion to check one's own behaviour shows manifold fluctuarions, following sm<1ller and larger curves Ir clearly does
111creasts In conjunction with chis rhe standard of behaviour was set 111 nor suffice ro consider in isolation each single sragt to which this or that
morion sratemenr on customs and manners bears witness \Ve must <Htempr to see rhe
Caxrons Br1oh of probably of rhe !are tifctenth century. already gives movement itself, or ar least a large segment of it, as a whole, as if speeded up.
unambiguous expression ro chis feeling char habits, customs, and rules of Images must be placed rogerher in a series to give an overnll view, from one
conduct are in flux:'" particular aspect, of the process: rhe gradual transformation of behaYiour and the
emotions, rhe expanding threshold of repugnance.
Thingis whilom used ben now leycl a syde Tht books on manners offer an opportunity for chis. On particular aspects of
And newe feeris. day!\ ben cornreuide human behaviour. panicularly earing habits, rhey give us derailed information-
ch,mges in the Behrffio11r of the Swtfar Upj>er C!mses in the \Vest 73
72 Tix Ciri!i::.ing Procw

\\/hen you ear do noc forger rhe poor. G o d w1 u reward ,_ou if you rrear chem
always on the same ftamre of social life-which extends relatively unbroken, 25
even if at rather forruirous interv1ls, from at least the thirteenth to the nineteenth kindly.*
and rwentierh centuries. Here images can be seen in a series, and segments of the A man o t- re 1111emem should nor slurp from rht same spoon wich someone else:
33 ., ,e '<>r !JtOj)le ar courr who are often confromed wirh
toral process can be made visible. A.nd it is perhaps an advantage, rather than a char is r l1e way co bel1 1 "
disadvantage. that modes of behaviour of a relatively simplt and elementary kind unrefined conduce
are observed. in which scope for individual variation within the social srandard ., Jr is nor police co drink from rhe dish, alchough some who approve of chis rude
3
1s relatively small. habit insolemly pick up rhe dish and pour ir down as if they \Vere mad
These Tisch::.!!cht1:11 and books on manners are a lirerary genre in rheir own Those who fall upon rhe dishes like swint while earing, snorting disgustingly and
right. If the written herirnge of rhe past is examined primarily from the point of 41
smacking rheir lips
view of what we are accusromed to call "literary significance". then most of chem
-! Some people bite a slice and rhen dunk ir in rhe dish in a coarse way: refined
have no great value . Bur if we examine the modes of behaviour which in every 5
age a particular society has expected of its members, attempting to condition people reject such bad manners.
individuals to them, if we wish to observe changes in habits, social rules and 49 A number of people gnaw a bone and rhen put ir back in rhe dish-chis is a
taboos. then these insrrucrions on correct behaviour, though perhaps worthless as serious offence
literature, rake on <.1 special significance . They throw some light on elements in
the social process of which we possess, ar least from the past, very little direct :r- On \" 25, cf rhe first rule in rht Co11rhshs of Bonvicino d,1 Riva:

information. They show precisely what we are seeking-namely. the standard of The first is this: when at cable, think first of the poor and needy
habits and behaviour to which society <.1t a given rime sought to accusrom 2
On \'V, 3?i. -! 1. cf Ein spr11ch dr:r :, k2r1 (A word rn rhost at table): '
individuals. These poems and rrearises were themselves direct instruments of
"conditioning or "fashioning",'(! of rhe adaptation of individuals ro those modes
.) l) You should nor Jrink from rht dish. bur with a spoon as is proper
of behaviour which the scructure and simarion of their society made necessary.
315 Those who srand ur and snorr disgustingly C)\'tf rht dishes like swine belong with orhtr
A.nd rhey show at the same rime. through what they censure and what they
fitrmyard beasts
praise, the divergence between what was regarded at different rimes as good and
To snort like a salmon. gobble like a badger. and complain while earing-these three things
bad manners. 319
art quire improper

IV fjf

In rht of Bon' icino da Riva:

On Behaviour at Table
Do not slurp with your mourh whtn eat1nt! c
1rom a spoon. This is a bestial ha bi c

ffr
Examples
(a) Examples represermng upper-class behaviour in a fairly pure form: 201 And suppt nor low<le of thy Potta,gt
no ryme in all thy lyfe
A
Thirteenth century
This is Tannhiiuser's poem of courtly good manners: n
J\.foy refined ptople bt prtst-rYe d from I l
t 1ose w 10 gnaw
rheic bones and !'Lit them back in the

dish
I consider a well-bred man co be ont who always recognizes good manners and is
never ill-mannered
from Quhq11is in !!NllSd (For those at table):+;
2 There are many forms of good manners. and rhey servt many good purposes The
A morstl that has been casted should not be rtturntcl to the dish.
man who adopts chem will ne,er err
! Th, Cirili:::i11g Pmccss Ch1111ge.r in the Bthal'irwr of the Sem!ar UJ1f7u- Cla.rsc.r in tin \\'est

5 3 Those who iih musrnrJ anJ salt shoulJ rake care to avoid rht filthy habit of
putting their fingers into tbt:m 109 Do nor scrape your rhrnar wirh your bare hand while earing: but if you ban: to,
do it politely with your coar
5-: A man who clears his throat when he eats anJ ont who blows his nose in the J l.3 And it is more firring to scratch wirh rhar than to soil your hand: onlookers notice
tablecloth art both ill-bred. I assure you
people who behave like rhis
65 A man "ho wanes co talk and eat ar the same time. and talks in his sleep. will l l""' You should nor poke your teeth with your knife. as some do: it is a bad
ne,er rest peacefulh-.' babi r. ;;:
l :

69 Do nor bt noiS\' at rable. as some ptoplt are Remember. my friends. rhar nothing 125 Jf anyone is accustomed to loosening his belt at table. rake it from me rhat he is
is so ill-mannen:J
not a true courtier
81 I find it very bad manners whenever I see somtone with food in his mouth and 129 If a man wipes his nose on his hand at table because he knows no better. then he
drinking ar the same time, like an animal **
is a fool. believe me
85 You should not blcm imo your drink. as some are fond of doing: this is an ill- l-ll J hear rhar some eat unwashed (if it is true. it is a bad sign) :\fay their fingers be
mannered habit rhar should be avoided.
palsied!'''
95 Before drinking. wipe your mouth so that mu do not dirrv rhe drink: this act of 15 7 Jr is not decent to poke your fingers into your ears or eyes, as some people do. or
courresy should be observed ar all rimes . ,
ro pick your nose while earing. These three habits are bad _
l 05 lr is bad manntrs to lean against tht table while earing, as it is co kttp your
helmet on \1hen sen-ing rhe ladies." B
Fifteenth century?
From seilSJ!il'ei!t le.r [O/J/uitll!CtS de la tahle (These are good table manners): ;CJ
Never laut!h ur talk wirh a foll mourh

Learn these mies

l) If you wish ro drink tlrsr em pry your mourh


II
Take care to cur and clean your nails: dirt under the nails is dangerous when
scratching

1-t\J .r\nd wirht: fulk mourht: drynke in no \\'/Se Ill


\\!ash your hands when you get up and before every meal

! 11 i\r: blow rrnr on r-b;. drynke nt: mere.


:-<ether for co!Jc. fl(thtr for hen:
_10 Avoid clt:aning your ret:th wirh a knife at rnblt:

155 \\"hanne ye simile drynke. rnur rnouthe clence wirhe a cloche


l l Never pick up food with unwashed hands

11;'
::: On v. 15-:, cf QuiJ"t.jlliJ tJ h1 11hn.,..i:
From L1 Con!tnir ,; (Guide co behaYiour ar r.iblt) '
9 Touch neirher your ears nor your nostrils wirh your ban: fingers
Do nor :->lobber whi!t: you drink. for rhis a sfrnmeful habit
This small stlecrion of passages was compiled from a brief perusal of VJ.rious guides ro behaviour at
rable and court. Ir is verv far from exhaustive. Ir is intended only to p:ive an impression of how
similar in tone and conte.nr wen: the rules in different traditions an<l different cenruries of rhe
l'.:or on rht.: borde lenynpt: be yet nar sent:
;\fiJdlc A!!ts Ori!'inals may be founJ in ,-\ppendix I
76 The Ciz'ilizing Proass Changes in the BelMrio11r u/ the Semlar Uj1jJt1 Classes i11 the \Fest 77
Xll
To dip rhe lingers in rhe sauce is rusric. You should rake whar you wanr wirh your
Do nor be rhe tirsr rn rake from rhe dish
knife and fork: you should nor search through rhe whole dish as epicures are wom ro
do, bur rake whar happens ro be in from of you
XIII
\\'bat you cannor rake wirh your lingers should be raken with rhe (ji!adra
Do nor pur back on your plare whar has been in your mourh
If you are offered a piece of cake or pie on a spoon, hold our yom plate or rake the
rhar is held our to you, pur rhe food on your plare. and rerurn rht spoon
XIV
If you are offtrtd something liquid. rasre ir and rerurn rhe spoon, bur first wipt ir
Do nor offer anyone a piece of food you han: birren inro
on your servitrre
To lick greasy lingers or ro wipt rhtm on your coar is impolire. Ir is berrer ro use
xv rhe rableclorh or rhe servierre.
Do nor chew anyrhing you have ro spir our again

XVll D
Jr is bad manners ro clip food inro rhe salr-cellar
1558
From G'rt!c1teo, by Giovanni della Casa, Archbishop of Benevenrn, quoted from
XXIV
the five-language edition (Geneva, 1609), p 68:
Be peaceable, quier. and courreous ar rable

XXVJ \\Thar do vou rhink this Bishop and his noble company (if hscort " !" .wa 11,,f;jf,
If you have crumbled bread inro your wineglass, drink up rhe wine or rhrow ir away. would have said ro rhose whom we sometimes see lying like swine wirh their snours in
rhe soup, nor once lifting their heads and rurning rheir eyes. still less rheir hands. from
XXXI rhe food, puffing our both cheeks as if rhey were blowing a rrumper or trying to fan a
Do nor sruff roo much inro yourself. or vou will be obliged ro commir a breach of fire. nor earing bur gorging themselves. dirtying their arms almost ro the elbows and
good manners . rhen reducing their servitrres ro a srare rhar would make a kirchtn rag look cltan
Nonetheless. rhese hogs are nor ashamed ro use rhe senierres rhus sullied ro wipe
XXXIV away their swear (which, owing to their hasty and excessi,e feeding. often runs down
Do nor scrarch ar rable. wirh your hands or wirh rhe rableclorh rheir foreheads and faces to their necks), and t\en ro blow rheir noses inro rhem as
often as rhey please

c
1530 E
From De cirilitc1tt mr1r11111 p11u-11,.1,1

(On c1\i1 1r\
. in
boys ), br Erasmus of Rocter- 1560
dam, ch. 4: From a Ciz'i!ite by C Calviac ' 0 (based heavily on Erasmus. bm with some
independent comments):
If a servierre is given. lay ir on your lefr shoulder or arm
If you are seared wirh people of rank. cake off your har and see rhar vour hair is wt!!
combed. \\'hen rhe child is seared. if there is a senierre on rhe plate in from of him, he shall
rake it and place it on his left arm or shoulder: rhen he shall place his brtad on rhe left
Your gobler and knife, duly cleansed, should be on rhe right. your bread on rhe lefr
and rhe knife on rhe right, like the glass. if he wishes to leave ir on rhe rable, and if
Some people pur their hands in rhe dishPs rhe momenr rhe\ h:ne sar down \Volvcs
do rhar, it can be conveniently left there wirhour annoying anyone. For ir might happen rhar
rhe glass could nor be left on rhe rnble or on his righr wirhour being in someone's
Do nor be rhe tirsr ro rouch rhe dish rhar has been brought in. nor onh because rhis
way
shows you .greedy. bur also because ir is dangerous. for someone who something
The child musr haw rhe discretion ro undersrand rhe needs of rhe simarion he is in
hor 1nro his mourh unawares musr either spir ir our or, if he swallows ir. burn his
\Vhen earing he should rake rhe firsr piece rhar comes to his hand on his curring
rhroar.. In either case he is as ridiculous as he is pi riable.
board
Ir is a good rhing ro wair a shorr while before so thar rlie boy grows
If rhere are sauces, the child may dip inro rhem decently. wirhour rurning his food
acrnsromed ro tempering his afrecrs
over after having dipped one side
PJIJ(tJ.\
ClassfS i11 the \Vest
Ir is Yery n0cessi1ry tC)r a child to learn at an early age ho\\" to c1ryr: a ltg of nlutton,
a partridge. a rabbit. ar:d such things G
Ic is a far ruo dirry ching for a child co offer ochers somechini: he has i:nawed. or 1672
son1ething he disdains to tat hin1stlf 1111/c\J it /;l tr; hiJ rAuchor"s e;;,r-ihasis] from Anwine de Counin. Sr1ill'ct1i1 trditJ de (iz'ilitJ, pp
Nor is ic decenc co cake from che mouch somerhing he has already cht:wecL and puc
icon che curring board. unless ir be a small boot from which he has sucked rhe marrow if evernmt is earing from rhe same dish. you should rake care nor rn pur \our hand
rn pass rime while awaicing rhe desserc: for afrer sucking ic ht should pm ic on his in(O it rh11.1c. r.1nh h:1n c/011:.. Jt1, and to cakt food only fron1 thr: part ot the
plate. where he should also place che srnnes of cherries. plums. and suchlike. as ic is nor dish opposire you Srill le;s should you rake che btsr pieces. tvtn rhough you mighc be
good eirher rn swallow chem or co drop chtm on che floor rht Jase co help yourself _
The child should noc gnaw bones indecenrll. as dogs do le muse also be poinred our rhar you should always wipt ) our spoon when. after
using it. you want to rake somechinf! fron1 another dish. thr:J:: jJtojJIL' so d:lic.1!t th;.11
\\'hen che child would like salr. he shall rake ir wich che poinr of his knife and nor
with rhree l(Oltfd J](J/ u idi ff; t.I! SO/I/I infr; [{ hi.L )f/f! l.ud .!ippr;,d it /111ttii!p, it itJ!fJ )f1l!r l!JO!tth

[:\uchor s trnphasis} .
The child muse cue his mear inrn n:ry small pitces on his cuccing board and he
And even. if you art at cht cable of ,-ery refined ptople. ic is not enough rn w1pt your
muse nor life che mear rn his mouch now wirh one hand and now wich che ocher. like
spoon: you should nm ust ir bur ask for anocher Also. in many places. spoons are
lirclt: chi!dn::n who are learning ro ear: he should always do so wirh his righr hand.
brought in with rhe dishes. t1nd Stffr rm/) takjng Jtwf! and .1.d!!Cr: [Author's
caking cht bread or meac decenrly wirh chree lingers only.
trnphasisJ
/b for cht manmr of it \arits co rhe counrn The Germans chew
You should nor ear soup from the dish. bur pl![ ic nearly on your place: it ic is roo
wich che momh closed. and find ir ugly ro do orherwist. The French. on rhe ocher
hor. it is impolire ro blow on each spoonful: you should wair unril ir has cooled
hand. half open che momh. and find che procedure of rhe Germans rarher din\. The
If vou have che misforrune rn burn your mouth. you should tndurt it patienrly if you
Iralians proceed in a \'ery slack manntr <rnd rht: French mort roundlv. findi 1;g che
can ..wirhol![ showini:: ir; bur if rhe burn is unbtar,1b!t. as sometimes happens. you
Indian way coo dtlicact and precious .
should. btfore cht orhtrs have nociced. cake your place promprly in one hand and life
And so each narion has somtrhing of its own. differtnr from rhe ochers So char cht
ir rn vour rnol![h and. while coverini:: your mol![h wich rhe other hand. rewrn to rhe
child "ill proceed in accordance wirh tht cusroms of rht place: where he is
plact .whar you have in your mol![h. and quickly pass ic ro a foorman behind you
Furrher. rhe Germans ust spoons when soup and t\erything liquid. <md che Civiliry requires you ro be police. buc ir does not txptcr you ro be homicidal rnward
Italians lircle forks. The french use eirhtr. as rhey chink fir and as is mosc conn:nienr
rourstlf Ir is very impolire rn much anyching grtasy. a sauct or syrup. ere. wirh your
The Iralians generally prefer to have a knife for each person. Bm rhe Germans place fingers. aparc from rhe face chac ir obliges you rn commie two or rluee more imiroper
special importance on chis. to rhe excenr rhac chey are greacly displeased if ont asks for aces. One is co wipe your hand frtquenrly on your strvierce and co soil ic likt a kicchc:n
or rakes rhe knit(: in from of chem. The French way is quiet differtnr: a whole cable full cloch. so char thost who see you wipe your rnol![h wirh ic fttl nauseactd. Anothtr is ro
of people will use nvo or rhree knives. wirhour makini: difficulries in for or wipe rnur fingers on rnur bread. which again is wn- improper Tht rhird is rn lick
raking a knifi:. <>r passing ic if rhe) have ir Su rhac if s;1nicunc asks rht: child for his them, which is rhe heighr of improprien
knife. he should pass ir afcer \viping ir wich his stn-ierce, holding ir by cht poinr and
offoring rhe handle rn rhc: person requesring ir: for ir would nor bt polirt ro do As rhere art many [cusrnms) which have already changtcl. I do nor doubt that
orherwist several of chest will likewise change in rhe fuwrt
formt:rh- one \\as permirrtd ro dip one's bread inrn rht sauce. provided only char
ont had n:ir alrtach birctn ir. Nowada\s char would bt a kind of rusriciry
F formtrh one w:1s allowed w cake irom one's mol![h whac one could noc ear and
Between 1640 and 1680 drnp ir 0;1
cht Aoor. ])fO\idtd ic was done skilfully Now thar would bt n:r)
From a song by rhe J\Iarguis de Coulanges: s 1 disgusting

In rimts pasr. ptoplt art from rhe common dish and clipped their brtad and fingers in
H
rhe sauce 1717
From Fran<;ois de Callieres, De !ti S(ience d11 11101/{lt i!f des con11oissa11ces itti!ts Ci la
c1!/lcl11ite dt !ti ziu. pp. 97, 101:
Today tvtryone tars with spoon and fork from his own plat<:. and a valtr washes rht
cuclery from rime w cime ac che butter.
In Gtrmany and rhe Norchern Kingdoms ic is civil and cltcem for a princt rn drink
Changes j 11 the Belx1rio11r of the Sem/111 Upj1ei Classes in the \\/est 81
80 Tht Cirilizi11g Pmcm
the snndard of "civilizacion' which in realicy had been attained
tirsr ro rhe healrh of rhose he is enrerraining, and rhtn ro offer chem tht same glass or fl0 rgotten, t l1at ' cl - b .
t:obler usually tilled wirh rhe same wine: nor is ir a lack of politeness in rhem ro drink
' . cendv W'lS nken for vranred, what precede it emg seen as
only qwte re , ' ' "'
from rhe same glass, bm a mark of candour and friendship. The women also drink tirsr "barbaric"
and rhen give rheir glass, or have ir raken, ro rhe person rhev are addressing, wirh rhe:
same wine from which rhey have drunk his healrh, 11 hhfll!! this t:1kc11 as tJ Jjh:cia! I
,1s it is :1111t;11g 11s [Amhor's emphasis]
1714
"I cannot approYt .. , a lady answers "-wirhour offence ro rhe genrlemen from rhe ' ari anonymous Cizilite frm1caise (liege, 17 14'), p. 48:
From - ,
norrh-rhis manner of drinking from rhe same glass, and srill less of drinking whar rhe
ladies have lefr: ir has an air of impropritry rhar makes mt wish rhey mighr show orher l) olirt ro drink \_our soup from rht bowl unless you <lrt in your own family.
Ir is nor
marks of rheir candour," . cl onlv rhen if you have drunk rht most parr with your spoon. .
,in - , , . s 1 n ., con1munil dish rake some wirh 1our spoon 111 your wrn, w!(hour
It we soup 1 " ' '
(b) From books addressed ro wider bourgeois scrara precipirarion. l k 1
Do nor keep your knife always in your hand, as village people do, }Lit ra e !( on Y
The following examples are from books which either, like La Salle's Les Rl:gles when vou need iL . . cl
de la hiemer111cr: ct de /11 cfrilit{ chn!tie1111e, represent the spreading of courtly manners \V'l;en vou art being strYed meat, ir is nor seemly w rake 1r_ 111 your han. . ou
should hold our your place in your left hand while holding your tork or k01te 111 your
and models to broader bourgeois srrarn, or, like Example I, retlecr fairly purely
the bourgeois and probably the provincial standard of their rime rid1r cl I ld l
"Ir is againsr propriery ro give people meat ro smell, an you s 1ou um er" no_
In Example I, from about 171-i, people still ear from a communal dish, _ msrincts pm me-u back imo rhe common dish if you have smelled 1r yourselr If
Nothing is s<1id <lgainst rouching tht meat on one's own plate with the hands . orcu ' . ' . . . 1 k ."
vou rake meat from a common dish, do nor choose rhe besr pieces Cm w1rh r 1e one.
And rhe "bad manners" tliar are mentioned have largely disappeared from rhe liolding srill rhe piece of mear in rhe dish wirh rhe _fork. which you will use w pm on
upper class. 'ie pi'ece iou have cm off do nor, rheretore, rake rht meat WJ(h 1our hand
vour p 1a re ( 1 , ' l . cl]
The Ci6/ite of 1 (Example lJ is a little book of forry-eight pagts in bad (norhing is said here againsr rouching rhe mtar on ones place wnh rhe un
ciz'ilite type, primed in Caen bm undattd. The British Museum carnlogut has a You should nor rhrow bones or eggshells or rhe sk111 ot any frun omo rhe floor
qutstion mark after the date. In any cast, chis book is an example of the The same is rrue of fruit srones Ir is more police ro remow chem from the momh
multirude of cheap books or pamphltts on ciz'i!iti that were disseminated wirh rwo fingers rhan ro spic chem imo one's hand
throughout France in rhe eightetmh century. This one, ro judge from ics general
attitude, was cltarly intended for provincial rown-dwelltrs, In no other J
eighteenrh-cenrury work on ciri!ite quoted here are bodily functions discussed so
1729
openly The standard the book poinrs to recalls in many respects d1t one that From La Salle, Les Reg/es de /11 hiwse1111cc et de /11 ciz'i/iti dm!tiem1e (Rauen, 1729),
Erasmus's De cirilitc1/i: had marked for rht upper class. Ir is still a matter of course
p. 87:
to rake food in the hands. This example seemed useful htre ro compltmenr tht
ocher quoracions, and particularly ro remind the reader chat tht movement ought
Oil Thing.< trt B, U.<ul at T:1b/,
ro be seen in its full multilayered polyphony, not as a line bur as a kind of fugut Ar wblt vou should use a servierre, a place, a knife, a spoon and a fork. Ir would be
wich a succession of related movemem-motifs on different levels. emirelv ro propriery ro be wirhom any of chest rhings while
Example M from 1786 shows the dissemination from above to below vtry Ir is- for the person of highest rank in rhe company to unfold his serv1erre firsr. and
direcdy Ir is particularly revtaling because it contains a largt number of cusroms rhe ochers should wair umil he has done so before unfolding theirs \vhe_n rhe_ people
that have substquendy been adopctd by "civilized society" as a wholt, bur are are approximately equal, all should unfold ir rngerher wirhom [N.B \V'irh rhe
here clearly visible as specific cusroms of the courtly upper class which still stem "democrarizarion" of sociery and rhe family, chis becomes rhe rule The socwl srrucwre,
cl l - most elemenrarv, human
here srill of rhe hierarch1Cal-ansrncrm1c type, is m1rrore 111 r le
relatively alitn to rhe bourgtoisie. Many customs have bten arrested, as "civilized
cusroms", in txactly che form rhey havt htrt as courtly manntrs relarionships.] _
Ir is improper w use rhe servierre ro wipe your t:ace; ir is f.ar more so ro your
The quotation from 1859 (Example N) is meant to rtmind rhe rtader that in
reerh with ir, and ir would be one of rhe grossest ottences aga111sr CJnliry ro use ir ro
the ninetetnrh century, as roday, the whole movtmem had alrtady been tntirt!y
82 TIJt P1r1cess CAmges i11 the Behal'iom rj" the Sem/,1r UPJ!tl' Classes i11 thr: \Vt.rt 83

blow your nose The use you may and must make of the serviette when at rnble is _. nt with what be savs in another place: "If your fingers are greasy ere
com1sre , . . . . _
fi:ir wiping your mumh. lips. dnd iingers ,,hen they cire greasy, wiping tht knife before . 1 robibirion is nor yer remotely so selt-ev1dent as it is roday. \Ve see how
T 11e I - l"
cmting bread. and cleaning the spoon and fork after using them. [N B This is one of . , ll\' it was made into an internalized habit, a piece ot se1t-contro
n-rad ua . .
many examples of the extraordinarih exact regulation of behaviour which is embedded "' In the critical period at the end of the reign of Louis XV-during which, as
in our eating habits. The use of each mensil is limited and defined by a multiplicity
l \\n as an ounvard si b"n of social changes that were occurring
.
the pressure
.
of very precise rules. None of them is simply sdf-evidem. as they appear to later r t- rn1 urew stronuer and in which among other thrngs, the idea of
ror re o o b ' ' ._
t:enerations Their use is formed ,ery gradually in conjunction with the strucrnre and 1zati.on" caught on-La Salle's Ciz'i!iti!, which had previously passed through
changes of human relationships.] "nv1 1,
several editions largely unchanged, was revised . The changes in the standard are
\Vhen the lingers are very greasy. wipe them tirst on a piece of bread. which should
verv instructive (Example K, below). They were in some respects very cons1der-
then be left on the plate, before cleaning them on rht sen-iette, in order not to soil it
The difference is partly discernible in what no longer needed ro be said.
roo much
\Vhen the spoon, fork and knife are dirty or greasy, it is very improper to lick them, Many chapters are shorter. Many "bad manners" earlier discussed in derail are
and iris not at all decent ro wipe them. or anything else. on the tablecloth. On these mentioned only briefly and in passing" The same applies ro many bodily
and similar occasions you should use the serviette. and regarding the tablecloth you tlmcrions originally dealt with at length and in great derail. The rone is
should rake care to keep it always very clean, and not to drop on it water, wine. or "enerally less mild, and ofren incomparably harsher than in the first version.
b -
anything that might soil it.
\Vhen the plate is dirty. you should be sure not to scrape it with the spoon or fork
K
rn clean it, or rn clean your plate or the bottom of any dish with your lingers: that is
nry impolite Either they should not be rouchecl or. if you have the opporrnnity of 1774
exchanging them, you should ask for another From La Salle, Les Ri:g!es tie la hieJ1si1111ce et tie lei ,-iz:i!ite chritien11e (177 4 edn),
\Vhen at cable you should not keep the knife ahrnys in your hand: it is sufficient to pp. 45ff:
pick it up when you wish to use it
It is also n:ry impolite to pur a piece of bread into your mouth while holding the The serviette which is placed on the plate. being intended to preserYe clothing from
knife in your hand: it is eYen more so to do this wirh the point of the knife, The same spots and other soiling inseparable from meals. should be spread over you so far that
thing must be observed in eating apples. pears or some other fruits. [N.B Examples of it covers rhe front of your body to the knees, going under the collar and not berng
taboos relating ro kniws J passed inside it.. The spoon, fork and knife should always be placed on the right
It is against propriety rn hold the fork or spoon with the whole hand, like a stick: - The spoon is intended for liquids, and the fork for solid meats.
you should al ways hold them between your fingers \Vhen one or the mher is dirty. they can be cleaned with the serviette. if another
You should not use ) fork tu lift liquids to the mouth it is rhe Sl'UOn that is sef\ice cannot be procured. You should avoid wiping them with the tablecloth. which
intended for such uses, is an unpardonable impropriety,
Ir is polite always to use the fork to pur meat into your momh, for Jm1j>rid1 d11<J 11M \Vhen the plate is dirty you should ask for another; it would be revoltingly gross to
/h:rmi: the 1{ grulS) 11 irh th, [Amhor's emphasis]. neither sauces clean spoon. fork or knife with the fingers
nor syrups: and if ari)-one did so. he could not escape subsequently commiting seYeral At good tables. attenrive servants change plates withom being called upon
further incivilities. such as frequently wiping his lingers on his serviette, which ,,ould No;hing is more improper than rn lick your lingers. to much the meats and pm
make it Yery dirty. or on his bread. which would be ,ery impolite. or licking his them into your mourh with your hand, to stir sauce with your lingers. or ro clip bread
lingers. which is not permitted to well-born. relined people inro it with vour fork and then suck it
You should never rake salt with your lingers I[ is very common for children to !'ile
pieces one on top of the other, and even to rake our of their mourhs something they
This whole passage, like several others, 1s taken over from A de Counin's have chewed, and flick pieces with their fingers. [All these were mentioned earlier as
Not11'r:1111 traitr! of 1672: cf Example G, p. 75 Ir also reappears in other general misclemeanours. but are here mentioned only as the "bad" manners of children
eighteenth-cenrnry works on cirilitr!. The reason given for the prohibition on Grown-ups no longer do such things.] Nothing is more impolite [than] ro lift meat rn
eating with the fingers is particularly instructive . In Courtin, roo, it applies in rour nose to smell it; rn let others smell it is a further impoliteness towards the master
the first place only ro greasy foods, especially those in sauces, since this gives rise the rnble: if you should happen rn find dirt in the food. you should get rid of the
ro actions that are "'distasteful" ro behold. In La Salle this is nor entirelr food wirhour showing it
84 The Cfrili:::ing Pmeess Ch,mge.r in the Beht1riu1/I' of the Sem!m Uj1j1er Clmses in the West 85

L "\Yell, you cerrninly did nor drink it like anyone else Ereryone drinks coffee from
1780? rhe cup. never from rhe saucer
From an anonymous work, La Cizilifl; ho11ete j1011r lu wfc111ts (Caen, n.d.), p . 35:
N
Afrerwards. he shall place his servierre on him. his bread on rhe lefr and his knife on 1859
rhe righr. ro cur rhe mear wirhour breaking ir. [The sequence described here is found From The Habits of Good S11eiety (London, 1859; 2d edn, verbarim, 1889), p. 257:
in many orher documents. The mosr elemenrnry procedure. earlier usual among rhe
Forks were undoubredly a larer invenrion rhan lingers. bur as we are nor c1111nih11/s I am
upper class as well, is ro break up rhe mear wirh rhe hands. Here rhe nexr srage is
inclined ro rhink rhey were a good one
descnbecl, when rhe meat is cur with rhe knife. The use of rhe fork is nor mentioned.
To break off pieces of mear is regarded here as a mark of the peasanr, curring ir as
clearly rhe manners of the rown] He will also rake care nor ro pur his knife inro his Comments on the Quotations on Table Manners
mourh. He should nor leave his hands on his plare nor rest his elbow on ir, for rhis
is done only by rhe aged and infirm Grol!/J L
The well-behaved child will be the lasr ro help himself if he is wirh his superiors.
next, if ir is mear, he will cur ir polirely wirh his knife and ear ir wirh his bread. An Overview of the Societies to which the Texts were Addressed
Ir is a rusric. dirty habir ro rake chewed meat from rnur mouth and pur ir on rnur
plare. Nor should you ever put back inro rhe dish somerhing you have raken from it. 1. The quorarions have been assembled co illusrrare a real process. a change in
rhe behaviour of people. In general, rhe examples have been so selecred char rhey
M may srand as typical of ar lease certain social groups or srrara. No single person,
1786 nor even someone with such pronounced individualiry as Erasmus, invented rhe
sal'uir-l'izn of his rime.
From a conversarion berween the poer Delille and Abbe Casson: ic
\'Ve hear people from different periods speaking on roughly rhe same subjecr.
In rhis way, rhe changes become more disrincr than if we had described chem in
A shorr while ago Abbt Cusson. Professor of Belles Lerrres ar rhe Collet.:e Mazarin. role!
our own words. From ar least rhe sixreenth century onwards, rhe commands and
me abour a dinner he had arrended a few days previously wirh some /1,o/1/e at
Versailles . prohibirions by which individuals were shaped (in conformiry with the srandard
''I'll wager". l role! him. "rhar you perperrared a hundred incongruities " of sociery) were in continuous movemenc This movement, co be sure, was nor
"\\ihar do you mean)" Abbe Cosson asked quickly. greatly perrurbed "] believe ] perfecdy unilinear, bur through all irs flucruarions and individual curves a
did e,eryrhing in rhe same way as everyone else .... detinire overall rrend is nevertheless perceptible if one lisrens ro these voices over
"\\!hat presumprion' J'll ber you did nothing in the same wav as anvone else. Bur rhe centuries rogerher.
l'll limir myself ro rhe dinner. Firsr. whar did you do wirh your when vou sat Sixteenth-cenrnry wrirings on manners were embodiments of the new court
down)"
ariscocracy rhar was slowly coalescing from elements of diverse social origin.
"\\iirh my servierre; l did rhe same as e\tryone tlse. I unfolded ir, spread ir our, and Wirh ir grew rhe distinguishing code of behaviour
fixed ir by a corner ro my burronhole . "
De Courtin, in rhe second half of the seventeenth century, spoke from a court
"\\fell. my dear fellow, you are rhe only one who did rhar. One does nor spread our
society which was consolidared to rhe highesr degree-the court sociery of Louis
one's servierre. one ketps it on one's kntes. And how did you ear your soup;"
XIV And he spoke primarily to people of rank, people who did nor live direcdy
"Likt evtryone else. l rhink. I rook my spoon in one hand and mv fork in rhe
or her ar courr bur who wished to familiarize rhemselves wich the manners and customs
"Your fork; Good heavens! No one uses his fork ro ear soup Bur rel! me how of rhe court.
you are your bread." He says in his foreword: "This treatise is not intended for priming bur only ro
"Cerrainly. likt everyone else: I cur ir nearly wirh mv knife " sarisf-y a provincial gendeman who had requesred the author, as a particular
"Oh clear. you break bread, you do nor cur i,r Ler.'s go on. The coffee-how did friend, ro give some preceprs on civility to his son, whom he intended to send to
you drink irY rhe court on completing his studies. He [the author} undertook this work
"Like everyone. ro be sure Ir was boiling hot. sol poured ir lirrle by lirrle from my only for well-bred people; it is 011/y to them that it is addressed; and parricularly to
cup inro my saucer.
youths, who mighr derive some uriliry from rhese small pieces of advice, as not
86 Th, Cfri!i::i11g P111c.:ss

t!l't!J!1l!t ht!S tht uo .er class as a purely secular and social phenomenon. a consequence of cerrain
f'oints pr1!ite11ess of social life, have affiniries wirh parricular rendencies in uadirional
People who lived in rhe example-serring circle did nm need books in order to ecclesiasrical behaviour. Cfri!it( was given " new Chrisrian religious foundarion
know how "one" behaved. This was obvious: ir was rhtrtfore imporranr to The Church prowd, as so often, one of rhe mosr important organs of rhe
ascerrain wirh whar intentions and for which publics chest preceprs, originally downwards diffusion of behavioural models.
rhe disringuishing secrer of rhe narrow circles of rhe courr aristocracv, "Ir is a surprising rhing", says rhe venerable Farber La Salle ar rhe beginning of
wrirrtn and primed . rhe preface w his rules of Chrisrian ciz'i!itf, "char rhe majori ry of Chrisrians regard
The intended public is quire clear. Ir was srressed char rhe advice was onlv for decency and civiliry only as a /1mdr h1111i.111 ,111d ur;r/c/!r (ji!cdity and, nor chinking
h1J/lnttcrgws, i.e . , by and large for upper-class people. Primarih rhe book rhe to elevare their minds more highly, do nor consider it a virtue related to God,
nted of rht provincial nobiliry w know abour behaviour ar and in addirion our neighbour and ourselves. This well shows how lirtle Chrisrianiry there is in
char of disringuishtd foreigners Bur ir may be assumed char rhe nor inconsider- rhe world " And as a good deal of rhe educarion in France lay in the hands of
able success of chis book resulred, among ocher rhings, from rhe imeresr of ecclesiasrical bodies. ir was above all. if nor exclusively, rhrough rheir mediarion
leading bourgeois srrara. There is ample evidence w show char in chis period tbar a growing flood of ciz'i!itf rracrs now inundared the counrry. They were used
customs, behaviour and fashions from rhe courr were continuously penerraring as manuals in rhe elementary educarion of children, and were often printed and
rhe upper middle classes, where rhey were imirared and more or less alrered in disrribured togerher wirh rhe firsr instructions on reading and wriring.
accordance wirh rhe differenr social sirnarion. Thev rhereb,- lose to some exrenr Particularly rhrough rhis rhe concepr of ciz'i!ire was increasingly devalued for
rheir characrer as means of disringuishing rhe upr;er class. The\'. were somewha; rhe social elire. Ir began to undergo a process similar ro thar which earlier
devalued. This compelled chose above ro furrher refinement elaborarion of overrook rhe concepr of co11rtoisic.
behaviour And from chis mechanism-rhe development of courr cusrnms, rheir
disseminarion downwards. rheir slighr social deformarion, rheir dernluarion as Excursus on the Rise and Decline of the
marks of disrinction-rhe perpetual movement in behaviour parrerns Concepts of Co1!ltoisie and Cil'iliti!
the upper class received part of its momentum. \Vhat is important was that 'in
this change. in the inventions and fashions of courtlv behaviour, which are at first _) Co111"!11isi, originally referred to rhe forms of behaviour char developed ar rhe
sight perhaps irregular and accidental, over extended rime spans certain direc- courrs of rhe grear feudal lords. Even during rhe ivfiddle Ages rhe meaning of rhe
rions or lines of development emerge. These include. for example, whar mav be word clearly lose much of irs original social resrricrion ro rhe "courr'', coming
described as an adrnnce in the rhreshold of repugnance and rhe frontier of imo use in bourgeois circles as well. \Virh rhe slow exrincrion of the knighdy-
or as a process of "refinement" or "civilizarion" A parricular social dvnamism feudal warrior nobiliry and rhe formarion of a new absolure courr aristocracy in
rriggered a parricular psychological one, which had irs own regulariri;s. rhe course of rhe sixreemh and seventeenth centuries, the concepr of cil'i!itf was
. L In rhe eighreenth century wealrh increased, and with ir pressure slowly elevarecl as rhe expression of socially acceprnble behaviour . Co!!i'toisie and
ot rhe bourgeois classes. The courr circle now included, directlv alongside cizi!ite exisrecl side by side during rhe French rransirional sociery of rhe sixteenth
arisrncraric elements; a larger number of bourgeois elements rl1an in' rhe century, wirh irs half knightly-feudal, half absolure courr characrer. In rhe course
preceding cenrury, wirhour rhe differences in social rank e\er being lose Shordy ot rhe sevenreenrh century. however, the conctpr of courtoisi, gradually wenr our
before rhe French Revolmion rhe self-isolaring tendencies of rhe socially of fashion in France
weakening aristocracy were intensified once more. 'The words comtois and 1w1rtoisic", says a French \vrirer in 1675,'' "are
Neverrheless, chis extended courr sociery, in which arisrncraric and bourgeois beginning ro age and are no longer good usage. \Ve say cil'i!, bu1111estc; ciz'i!itf,
elements intermingled, and which had no disrinct boundaries barring entry from hoilllt.:Std{.,
below musr be envisaged as a whole. Ir comprised rhe hierarchicallv strucmred Indeed, rhe word co11rtuisie now acrnally came w appear a bourgeois concept
elire of rhe country. The compulsion to penerrare or ar lease w ir became "My neighbour, rhe Bourgeois, says, following rhe language of rhe bourgeoi-
srronger and srronger wirh rht growing interdependence and prosperiry of sie of Paris affable' and 'courteous' (m11rtois) he does nor express himself
broader srrata. Clerical circles, above all, became popularizers of rhe courrh polirely because rhe words 'courreous' and affable' are scarcely in use among
customs . The moderared resrraint of rhe emorions and rhe disciplined shaping ;f people of rhe world, and rhe words 'civil' and 'decent' (ho1111ete) have taken rheir
behaviour as a whole. which under rhe name of ciz'i!itf had been developed in rhe place. jusr as 'civiliry and 'decency' haw raken rht place of 'courresy and
88 The Cizili::i11g Process Changes in thr: Beht11-io111 of the Semlar Uj1jJ1:r Classes in the \Vest 89

'affabilicy' " So we read in a conversacion with che title 011 Goud {ll/d Bad Usaae sociecy, civilizacion appeared as a firm possession, They wished above all co
i11 L\jmssi11g 011uelj.: 011 Bof!l;t;.:uis Mmmers of Sp<aki11g, bv F. de Callieres ( 1694 disseminate ir, and ac mosc co develop ic within che framework of che standard
pp. l lOffJ . ,
already reached.
In a very similar way in che course of rhe eighreenrh century, che concept of
The examples guoced clearly express the movement cowards chis srandard in
ciz'iliti slowly lost irs hold among rhe upper class of rhe absolutist court. This class
rhe preceding scage of the absolute courts,
was now for ics part undergoing a fairly slow process of cransformacion, of bour-
geoisificacion, which, ac lease up co 1750, went hand in hand with a simultaneous
courcizacion of bourgeois elements. Something of che resulrant problem is
A Review of the Curve Marking the "Civilizing" of Earing Habits
percepcible, for example, when in 17-[5 Abbe Gedoyn, in an essay "De l'urbauice
romaine" Wu1zr1:s dinnes, p . 17 ."\), discusses che quescion of whr, in his own
.t Ac che end of che eighceenth cencury, shortly before che Revolution, che
sociecy, che expression 11rht111iti, chough ic referred co someching fine, had French upper class attained approximately che standard of earing manners, and
never come into use as much as cil'i!it{, h11111a11iti, politesse or gt1la11terie, and he cercainly noc only of eacing manners, char was gradually ro be taken for granted
replies: "Urha11itas signified chac politesse of language, mind, and manners in rhe whole of civilized society.. Example M from che year 1786 is inscrucrive
acrached singularly to che city of Rome, which was called par excellence Urhs, rhe enough: ic shows as still a decidedly courtly cusrom exactly the same use of che
city, whereas among us, where this policeness is nor che privilege of any city in serviecce which in che meantime has become cuscomary in che whole of civilized
particular, not even of che capical. buc solely of che court, che rerm urbanicy bourgeois sociecy.. Ir sho\YS che exclusion of the fork from the eacing of soup, che
becomes a cerm . wirh which we may dispense." need for which, cercainly, is only undersrandable if we recall rhac soup often used
If one realizes chat "city" ac this rime referred more or less ro "bourgeois good ro contain-and in France scill contains-more solid content than it does now.
society" as against che narrower court society, one readily perceives rhe copical Ir furcher shows as a courcly demand che requirement nor co cue but co break
importance of rhe quescion raised here one's bread ar table, a requirement char has in che meantime been clemocracized.
In most of the scacemems from chis period, rhe use of ciziliti had receded, as And che same applies ro che way in which one drinks coftee.
here, in rhe face of politesse, and che idemificacion of chis whole complex of ideas These are a few examples of how our everyday ricual was formed . If chis series
wich h11111cmfri had emerged more sharply.
were continued up co the present day. further changes of derail would be seen:
As early as 17 ."\.),Voltaire, in che dedicacion of his Zc1ii'e co a bourgeois, A . .l\L new imperacives have been added, old ones are relaxed; a wealch of nacional and
Faulkner, an English merchant, expressed these tendencies very clearlr: "Since
social variations on table manners has emerged; che penerracion of rhe middle
che regency of Anne of Austria che French have been che mosc and che
classes, rhe working class, the peasantry by che uniform ritual of civilization, and
mosc police people in che world . and this J10/ite11w is 11ot in the letut rll! arhitrarr
by che regulation of drives chac ics acquisition requires, is of varying screngch
111atte1: like that uhich is frdled civilice, !J!!t is r1 l:rn rf ;uti!r, which rhev
happily culcivaced more than ocher peoples.... . Bur che essential basis of what is required and whac is forbidden in civilized
sociecy-che standard technique of earing, the manner of using knife, fork,
Like che concept of l'IJ!tr!oisie earlier, cil'iliti was now slowlv be<,inninu
b b
ro sink "
Shorcly afterwards, the content of chis and related cerms was raken up and spoon, place, serviette and other earing urensils-rhese remain in their essential
extended in a new concepc, che expression of a new form of self-consciousness feacures unchanged. Even che development of technology in all areas--even char
che concept of cil'ilisation. Co1trtoisit, r'il'ilit{ and r'iz'ilisatio11 mark chree srar;es of cooking-chrough che introduccion of new sources of energy has left the
social development . They indicace which sociecy is speaking and being addressed techniques of earing and ocher forms of behaviour essentially unchanged. Only
ac a given rime, However, the actual change in che behaviour of che upper classes, on very close inspeccion does one observe craces of a trend chat is continuing co
rhe development of che models of behaviour which would henceforth be called occur.
"civilized", rook place-ac lease so far as iris visible in che areas discussed here- \Vhac is scill changing now is, above all, che cechnology of production. The
in che middle phase. The concepc of cil'ilisatio11 indicates quire clearly in ics technology of consumption was developed and kepc in morion by social
nineteenth-century usage rhac che Jnucess of civilization-or, more scricclv formacions which were, to a degree never since equalled, consumption classes
speaking, a phase of chis process-had been completed and forgorcen. People on!;, \\!ich their social decline, che rapid and intensive elaboration of consumption
wanted co accomplish chis process for ocher nacions, and also, for a period, for che techniques ceased and has been relegated into what have now become the private
lower classes of cheir own sociecy. To che upper and middle classes of their own (in contrasc ro che occupational) sphere of life. Correspondingly, che tempo of
90 Tht Cil'ilizi11g Pmass i11 zLn Bth111'io!!r of the S,mfar UjJ/>tr C!as.w:s i11 th, Wi:st 91

movement and ch<mge in [htse spheres which was relarivt!y fas[ during rhe srage \\' l1ar
eoiJle acrnalh. achie,e and !Jroduce has become more imporranr rhan rheir
P
of rhe absolure cour[s. has slowed down once again. manners.
Even rhe shape of ta[ing mtnsils-plmes, dishes, kni,es. forks and spoons- 6. Taken togerher. [ht examples show very clearly how chis movemem
has from now on become no more [ban varia[ions on [hemes of [ht dix-hiliti:me adV<inced. The prohibitions of mediernl society, even ar rhe feudal couns did nor
. nipose anr verr grear resrraint on rhe plav of emorions. Compared wirh lacer
and preceding cenwries. Cerrainly rhere are srill very many changes of derniL \'t"L 1 . L

Ont example is rhe differentiarion of mensils. On many occasions. nor only are era. s. soci1l
' comrol was mild. Manners. measured ai::ains[
._ larer ones, were relaxed
rhe places changed afrer each course bm rhe earing mensils. mo. Ir is nor enough in all senses of rhe word. One oughr nor ro snore or smack one's lips while ea[ing
rn ear simply wirh knife. fork and spoon ins[ead of wirh one's hands . In rhe upper One oughr nor ro spic across rhe cable or blow one's nose on rhe rablecloth (for
class more and more, a special implement is used for each kind of food . Soup- this was used for wiping greasy fingers) or into th<: fingers (wirh which one held
[he common dish) Earing from rhe same dish or plare as ochers \V<lS taken for
spoons, fish kni,es, and mear knives are on one side of rhe place. Forks for rhe
"ranted. One had only ro refrain from falling on rhe dish like a pig. and from
hors d'oeuvre, fish and meat on che O[her. Above the plare are fork, spoon or
knife-according rn the cusrnm of [he country-for sweer foods. And for rhe dipping binen friod inro rhe communal sauce.
j\fony of rhese cusroms are still memioned in Erasmus's rrearise and in its
desserr and fruir yer another implement is brought in. All rhese mensils are
adapration by Calviac. More clearly rhan by inspecting panicular accounts of
differently shaped and equipped . They are now larger, now smaller, now more
conremporary manners, by sur\'eying rhe whole movement one sees how i[
round. now more pointed. Bur on closer consideration they do nor represent
advanced Tablt mensils were srill limired; on rhe lefr the bread. on rhe righr rhe
anything acwally new. They. too, are variations on rhe same theme, differ-
glass and knife. Thar was all. The fork was already memioned, alrhough with a
entiations within rhe same standard. And only on a few poinrs-abon: all, in rhe
limi[ed funcrion as an insrrumem for lifting food from [ht common dish . And.
use of rhe knife--clo slow movemems begin to show rhemselws rhat lead beyond
like che handkerchief. rhe napkin had also appeared already. borh S[ill-a symbol
rhe srnndard already arrained. Later rhere will be more rn say on this
of [ransicion-as oprional rarher rhan necessary implements: if you have a
5. In a sense. somerhing similar was rrue of rhe period up to rhe fifreemh
handkerchief. the preceprs say. use it rarher rhan your fingers If a napkin is
cemury. Up to rhen-for very different reasons-rhe standard earing technique,
pro\'ided. lay ir over your lefr shoulder One hundred and fifry years lacer borh
rhe basic srnck of whar was socially prohibited and permirred. like rhe behaviour napkin and handkerchief had. like rbe fork. become more or less indispensable
of people towards one another and cowards rhemselvts (of which these prohibi-
mensils in the courdy class.
rions and commands are expressions), remained fairly consranr in irs essemial The curve followed by O[ber habirs and cusroms was similar. Firsr [ht soup
fearnres, even if here roo fashions, flucwarions, regional and social variations and was ofren drunk. whether from rhe common dish or from ladles used by several
a slow movement in a parricular direcrion were by no means entirely absem. people In rhe cr111rtois writings rhe use of rhe spoon was prescribed. Ir, roo, would
Nor can rhe cransicions from one phase ro anorher be ascerrained wirh firsr of all have sern:d several rogerher. A fur[her seep is shown by rhe quorarion
complere precision . The more rapid movemem begins lacer here. earlier there. from Calviac of 1560 He memions that i[ was cusromary among Germans ro
and everywhere one finds slighr preparatory shifrs. Neverrheless, rhe overall allow each guesr his own spoon. The next step is shown by Courrin's rex[ from
shape of rhe cuf\"e v,ras everywhere broadly rhe same: firsr rhe medieval phase, [ht vear 167..2. Now one no longer are the soup direcdy from rhe common dish,
wirh a cerrain climax in rhe flowering of knighrly-courrly sociery, marked by bur .poured some imo one's own plate. first of all using one's own spoon; bm
earing with rhe hands. Then l phase of relariwly rapid movemenr and change. [here were even people. we read here. who were so dtficate diar [hey did nor wish
embracing roughly rhe six[eenrh, seventeenth and eiglHeenrh centuries, in which w ear from a dish inro which others had dipped an already used spoon. Ir was
rhe compulsions ro elabornre earing behaviour pressed consrantly in one direc- [herefore necessary ro wipe one's spoon wirh rhe servierre before: dipping ir into
rion, towards a new standard of cable manners. [he dish. And some people were no[ sarisfied even with this. For chem, one was
From rhen on, one again observes a phase which remained wi[hin rhe frame- no[ allowed ro dip a used spoon back into rhe common dish ar all; insread, one
work of rhe standud already reached, rhough wirh a \'try slow movement in a had to ask for a clean one for chis purpose.
parricular direcrion. The elaboration of everyday condu([ ne\'tr emirely lost. in Srnrements like rhese show nor only how rhe whole rinial of living toged1er
this period eirher, irs imporrance as an insrrumem of social dis[incrion Bur from was in flux, bur also how people [hemselves were aware of chis change.
now on, ir no longer played the same role as in the preceding phase More Here. seep by srep. rhe now <lccepred way of raking soup was being
exclusively rhan before. money has become rhe basis of social differences. And established: evervone had rheir own pla[e and own spoon. and rhe soup was
Thr: Cirilizinr, Proc<:Ss Chmgc.r in the Bthtnio11r of tl.n Swdar Upper Clmsts in the \Vest 93

disrribured wirh a specialized implemenr. Earing had acquired a new sryle "You know", we read in a lirde work which in irs rime was much read, 1\lots
corresponding ro rhe new necessiries of social lift br Callieres, in the edirion of 1693 (p. -i6J, "rhar rhe bourgeois speak
rc1t
! Tl,,,,
,;1 l
Norhing in rable manners is self-evidem or rhe produce, as ir were, of a verv differendy from us . "
"narural" feeling of delicacy. The spoon, fork and napkin were nor invenred one If we examine more closely whar is rermecl "bourgeois" speech, and whar is
clay by a single individual as rechnical implemenrs wirh obvious purposes and referred ro as the expression of rhe courdy upper class, we encounrer the same
clear clirecrions for use. Over cenruries, in clirecr social inrercourse and use, rheir phenomenon rhar can be observed in eating-cusroms and manners in general:
funcrions became gradually defined, rheir forms soughr and consolidared. Each much of whar rn the sevemeenrh and ro some exrenr rhe e1ghreenrh cemury was
cusrom in rhe changing rirnal, however minure, was esrablishecl infinirelv slowly disringuishing form of expression and language of court sociery gradually
e,en forms of behaviour rhar ro us seem quire elemcnrary or simply became rhc French narional language.
such as rhe cusrom of raking liquid only wirh rhe spoon. bery movemem of rbe The voung son of bourgeois parenrs, .M. Thibaulr, is presenred ro us visiring
hand-for example, rhe way in which one holds and moves knife, spoon or -mall.arisrocraric
r' .!!arherin,!!.
._, '-- The laclv
of rhe house asks after his farheL "He is
fork-was srandardized only srep by srep. And rhe social mechanism of vour very humble servanr, Madame", Thibault answers, "and he is srill poorly, as
srnndardizarion can irself be seen in outline if rbe series of images is surveytd as well know, since you have graciously senr ofrenrimes ro inquire abour rhe
a whole. There was a more or less limirecl courtly circle which firsr scamped the ;rare of his healrh."
models only for the needs of its own social siwarion and in conformity wirh the The siruarion is clear. A cerrain social conracr exisrs berween rhe arisrocraric
psychological condition corresponding ro ir.. Bur clearly rhe srn;crure and circle and tht bourgeois family. The lady of the house has menriontd it
development of French sociery as a whole gradually made ever broader strata previously. She also says rhar the elder Thibaulr is a very nice man, nor wirhour
willing and anxious ro aclopr the models developed above rhem: rhey spread, adding rhar such acquainrances are somerimes quire useful ro rhe arisrocracy
likewise very gradually, rhroughour rhe whole of socierv, cerrainlv nor wirhom because rhese people, after all, have money.'' And ar rhis poinr one is reminded
undergoing some modification in rhe process. . . of rht very differenr srrucrure of German sociery.
The rakeover, rhe passage of models from one social unir ro anorher, now from Bur social conracrs ar rhis rime were clearly nor close enough, leaving aside
the cenrres of a society ro its ourposrs (e.g., from rhe Parisian courr ro orher the bourgeois inrelligenrsia, ro have effaced rhe linguistic differences berween rhe
courrs), now wirbin rhe same socio-polirical unit (e.g . , wirhin France or Saxony, classes Every orher word rhe young Thibaulr urrered was, by rhe sranclards of
from above ro below or from below ro above), is to be coumed, in rhe civilizin.g court sociery, awkward and gross, smelling-as the courtiers pur ir-"bourgeois
process as a whole, as among the mosr imporranr individual movemems. from rhe mourh". In courr society one did not say as you well know" or
rhe examples show is only a limired segmenr of rhese . Nor only rhe earing "ofrenrimes" or "poorly" (co111il/e hi1:11 S{dl'tZ. Jo111wtes fois. mcdadij).
manners bur also forms of chinking or speaking, in sborr, of beha,iour in One did nor say, like M. Thibaulr in rhe ensuing conversation, "Je vous
general. were moulded in a similar way rhroughour France, even if rhere were demancle excuse" II beg ro be excused). In rhe courr sociery one said, as rnday in
significanr differences in rhe riming and srrucrure of rheir parrerns of develop- bourgeois sociery, "Je vous clemancle pardon" iI beg your pardon)
menr The elaborarion of a parricular rimal of human relarions in rhe course of 11. Thibault said: "Un mien ami, un mien parenr, un mien cousin" (A friend
a change in social and psychological srrucrures is nor somerhing rhar can be of mine, ere.), insread of rhe courtly "un de mes amis. un de mes parenrs" (p. 20)
rreared in isolation, even if here, as a firsr arrempr, ir has only been possible ro He said .. deffuncr mon pere, le paune deffuncr" (deceased) And he was
follow a single srrand. A shorr example from rhe process of rhe "civilizing" of insrrucred rhar rhar roo was nor one of the expressions "which civiliry has
speech may serve as a reminder rhar rhe observarion of manners and rheir introduced among well-spoken people. People of the world do nor say char a man
rransformarion exposes ro view only a very simple and easily accessible segmenr is deceased when rhey mean rhar he is dead" (p. 22). The word can be used ar
of a much more far-reaching process of social change. mosr when saying "we musr pray ro Goel for rhe soul of the deceased . bur
rhose who speak well say rarher: my !are farher, the !are Mr such and such, the
Excursus on the .Modelling of Speech at Court lare Duke, ere." (!t11 111011 jli:rt, ere.). And ir was poinred our thar "for rhe poor
deceased" was "a very bourgeois rum of phrase ..
7. For speech, mo, a limirecl circle firsr developed cerrnin srandards. 8 . Here, roo, as wirh manners, rhere was a kind of double movemem: a
As in Germany, though ro a far lesser exrenr, rhe language spoken rn court courrizarion of bourgeois people and a bourgeoisification of courdy people. Or, ro
sociery was differem from rhe language spoken by the bourgeoisie put ir more precisely bourgeois people were influenced by the behaviour of
P;-r;(r:SS 95

courdy ptople. and Yict Ytrsa. Tht influence from below on those abon: was r\ "because ir is modelled on from rht Ch,1mber at Spever"
bt exe n11)l '1 . , , .
certainly ,-ery much we<tktr in the St\"tnteenth century in France than in the 't ,,_,- 1s rhe uni,ersities chat atramed almost rhe samt imporrnnce tor
T1en
l i ' , ,
eighteenth. But it was not tntirel> absent: tht ch[1teau Vaux-le Vicomte of the Gern11111 Clil(Llre '-
rnd lan<'LI<l"e
'=' <::-
as rhe court 111 France. Bue these rwo socialh
bourgeois intendant of finances. Nicolas Fouquet. antedates the royal Versailles, , [ r ,l- te'l tntiries . Chancellery. and universitv.
c!OS<'. ] c 1 ,
influenced sptech less
,
dian
and was in many ways its model That is a clear example. The wealth of leading , - rht\'. formed tht German wrintn language
wnnng, ...
L
not through conversar10n bm
.._

bourgeois strata compelled those above to compete. And the incessant influx of uments lercers and books And if Nietzsche obserYts th<H tYtn the
t l1roug 11 Cloc ' , . .
bourgeois people to the circle of the court also produced a specific mmement in . clrinkin" song is erudite. or if he contrasted che elimination or specialise
Germ,1 11 c ,
speech: \Yith the new human material it brought new linguistic material. the . ..,. . Lw tht courtly Voltaire rn the pracrice of rhe Germans, ht saw very clearly
tef,JIS .
"slang" of rhe bourgeoisie. into the circle of the court. Elements of it were: rhe reoults of these different bistonc,1l developments
constantly being processed into courtly language. polished. relined. transformed; to. If m France the g"i' cf, /.1 u1111' s,ud This is spoktn \\ell and rh1s b,1dly,
they were made. in a word. "courtly". i.e .. adapted to the srnnd,1rd of sensibility ;i question is raised that opens up a wide fit!cl for reflection ,rnd which must be
or affect of the court circles. They were thereby rnrnecl into means of distinguish- at !t<1sr touched on here in passing: "By what srnndards were rhty acmally
ing the gws ck !t1 cW!I from the bourgeoisie. and then perhaps-thus refined and d"in"
JU c- t:-
wlnt
'-
was b"oocl and bad in '- c...-
\\/hat were their criteria tor
modified-after some rime penetrated the bourgeoisie once more and became selecring. polishing and modifying expressions'"
"specifically bourgeois" Sometimes rhey reflected on chis themselves. \\ihat they said on the subject is
There is. says tht Duke in one of tht conYtrsations c1uoted from CalliC:rts (Du at firsr sighr rarher surprising, and ar any rate significanr beyond rht area of.
hoi! d dit 11h!11rais 11sagc, p. 98). a manner of speaking "most common among the Phrases. words and nuances were good hc(dl!Sc rhey, the members of rhe
bourgeois of Paris and even among some courtiers raised among the bourgeoisie. social used chem; and rhey were bad hccdi!Sr social inferiors spoke in chis
Ir is to sc1y 'Lee us look and ste' (m)!lllS z-r1ir), insread of saying 'Let us see (rfJyrl/Js), war
and aniiding rhe word 'look. which is perfectly useless and diS<1greeable in this Thibault sometimes defends himself when he is role! thar this or thar rum
place. .;:;f phrase was bad. "I am much obliged w you. i\fadame. ht says (Du ho11 er
But chere has rtcemly come into use. rhe Duke cominues. "another bad mm l' 2)). "for the trouble you are caking w instruct me, yet ir seems
il!:lil!',tis 11sagc.

of phrase:. which began among the lowesr people and made irs fortune ar the w me that the term 'dtceased' is a well-esrnblishecl word used by a great manv
courr, like those fayouri res without meri c who gor thernsel ves elevated there in well-bred people (ho1111i:tc gws)."
the old clays . It is 'il en sc,;ait bien long', meaning that someone is subtle and "Ir is \'try possible". the Ltdy answers, "that there are many well-bred people
cleYer.. The ladies of the courr are beginning to use it, rno ... who are insufficiently famib1r with the delicacy of our language a delicacy
So ir wem on. The bourgeois and even some court people said "il faut que nous which is known rn only a small number of well-spoktn people and causes them
foisions cela" instead of "il faur que nous fassions cela". Some said "l on za" and nm w sa\ chat a man is dectased in order tO say that ht is dead ...
"lon zesr" insread of rhe courtly "l'on ,1 .. and 'Ton tsc" They said "Je le L1i" A smail circle of people were versed in this delicacy of language: rn speak .is
instead of 'Jt L1i" the1 did was w speak correctly. \\/hat the ochers said did nor count. The
In almosr all these casts the linguisric form which here appears as courtly has were apoclictic A reason ocher than that "\\le. the elire. speak rhus.
in fact become the narional usage. Bur there were also examples of courdy and onh wt haYe sensirivitl' rn languagt" was ntithtr netded nor known. "\Vich
linguistic formations bting gradually discarded as "rno refintd". "too afftcred". regard errors committtd. againsr good usage". it is exprtssly srartcl in another
9 All chis elucidates at rhe same rime whar was said earlier abour rhe pl:Kt. as rhere are no definite rules it depends only on the consent of a certain
sociogenetic differences between the German and French national characrers. number of elite people whose ears are accustomed to cerrain ways of speaking and
Language is one of the rnosr accessible manifestations of what we experience as rn preferring chem to or hers" (p 98) And rhen the words were listed char should
national character" Hert one can see from a single concrete example how this be avoided
peculiar and rypical characrer has been elaborated in conjunction with specific Amiqumed words were unsuired rn ordinary. serious speech. Very new words
social formations Tht French language was decisively scamped by the court and must arouse the suspicion of afftcrntion or posing-we might perhaps say, of
courr sociery. For rhe German hrnguage the Imperial Chamber and Ch<rnctllery snobben- Learned words that smack of Latin and Greek must be suspecr to all
for a time played a similar role. eYen if they did not have remotely the same gt11.r d11, 11111//ck. They surrounded anyone using chem wirh an atmosphere of
influence as the French court. As late as 16-L'i. someone claimed his language rn pedantry. if other words were known chat expressed the same thing simply.
Chm1gu in tht Bt!Jt!l'iom of the Stml{/r Uf'l1tr Classes in the West 97
96 The Cirili:ing PmceJs

Low words used by the common people must be carefully avoided. for those attached rhemseln:s to these older. distinguishing tendencies in their Ian-
who used chem showed char the\ had had <l "low education .... And it is of these guage,
words. rhar is. low words", said d1t courtly speaker, .. that we are speaking in this
connecrion-he meant in the contraposirion of courtly and bourgeois language. Reasons Given by People for Distinguishing
The reason given for the expurgation of "bad .. words from language w<1s the Between .. Good" and 'Bad" Behaviour
refinement of feeling that has played no small role in the whole civilizing
l l. Language is one of rhe embodiments of social or mental life. Much rhar
process. Bur this refinement was the possession of a relatively small group Either
can be observed in rhe way language is moulded also becomes evident through
one had this sensitivity or one had nor-that. roughly. was the speaker's atrirnde.
the j 11 ,c:srigacion of other embodiments of society. For example, the grounds on
The people who possessed this delicacy. a small circle. determined by their
which people argue chat this behaviour or chat custom at rable is better than
consensus what was held ro be good or bad.
In ocher words. of all rhe rational grounds char might be put forward for the ano [ller, 1re
' scarcelv. disrin"uishable
b
from rhe wa,; rhev. establish such claims
with regard w linguistic expressions.
selection of expressions, the social argument. char something was better because
This does nor entirely correspond w the expecrarion that twentieth-century
it was the usage of the upper class, or even of only an elite within the upper class,
observers may have For example, they expect ro find the elimination of .. earing
was by far the most prominent.
with rhe hands", the introduction of rhe fork, individual cutlery and crockery,
"Antiquated words". words rhar had gone our of fashion, were used by rhe
an<l all rhe other ri rnals of their own standard explained on "hygienic grounds"
older generation or by those \vho were not permanently involved direcdy in For chat is the way in which rhey themselves in general explain these customs.
court lift, rhe declasse ... Too new words" were used by the clique of young people Bur as late as rhe second half of the eighteenth century, hardly anything of this
who had yet ro be accepted. who spoke their special .. slang'', a part of which kind is found as a motivation for rhe greater restraint that people impose upon
would perhaps be romorrows fashion 'Learned words" were used. as in themselves. Ar any rare, the so-called "rational explanations" are very far in the
Germany, by those educated ar rhe universities, especially lawyers and rhe higher background compared to ochers.
admir::.;rrarors, i . e., in France, the nr1hhsSt de roht .. Low expressions .. were all In rhe earliest srages the need for restraint was usually explained by saying: Do
chose words used by tbt bourgeoisie clown ro rht common people. Tht linguistic rhis and not char, for it is nor co11rtois, not "courtly"; a 'noble" man does nor do
polemic corresponded ro a quire specific, very characrerisric social formation. Ir such things. Ar most, rhe reason given is consideration for the embarrassment of
showed and delimited rht group which ar <l given moment exerted control over ochers, as in Tannhausers Hofzmht, where it says, in effect, .. Do nor scratch
language: in a broader sense they were the gws de la CUl!I', bur in a narrower sense vourself with your hand, with which you also hold rhe common dish; your rnble
they were a smaller, especially arisrocraric circle of people who at the rime had might notice ir, so use your coat to scratch yourself (Example A,
influence at court, and who carefully distinguished themselves from the social v. 109ff). And clearly here the threshold of repugnance differed from that of rhe
climbtrs, tht courtitrs with a bourgeois upbringing, the "antiquated .. and the following period.
"young people .. , and from the .. snobbish" competitors of the rising genernrion, Later on, a similar rationale was used above all: Do nor do char, for it is not
and last but nor )east, from the specialized officials who came from the 'ciz'i/" or "hiwsea11t". Or such an argument was used to esrnblish the respect due
university. This circle was the primary model-making centre for rht language at ro those of higher social rank
this time. How the members of these narrower and broader court circles spoke As in rhe moulding of speech, so roo in the moulding of other aspects of
was "how one must speak ... ro speak c1J11m1t ii Here rhe models of speech behaviour in society, social motivations, adaprarions of behaviour to the models
were formed chat subsequently spread our in longer or shorter waves . The of influential circles, were by far the most important. Even the expressions used
manner in which the language developed and was stamped corresponded to a in motivating "good behaviour" at cable were very frequently exactly d1e same as
specific social srrucrnre . Accordingly. from the mid-eighteenth cenmry onwards, those used in motivating 'good speech".
bourgeois influences on the French language slowly gained in strength. Bur chis In Callieres's D11 hon et d11 111m1mis 11se1ge daw !es 111a11ieres de s'e.\j1rimer, reference
long passage through a stage dominated by the court aristocracy remains is made, for example, ro chis or char expression "which civility bas introduced
perceptible in the French language roclay, as does the passage of German through among people who speak well" (p . 22).
a stage of dominance by a learned miclclle-class intelligentsia . And wherever Exactly rhe same concept of cii'i!itrf is also used again and again by Courrin or
elites or pseudo-elites have formed within French bourgeois society, they have La Salle to express what was good and bad in manners. And just as Callieres here
98 in th, B1:hdzjo11r of the Sem!ar UJ>jier Classes i11 the \Vi:st 99

spoke simply of rht people jiarlulf /;ju/', so Courrin (ar rhe end of Example ,, cl Lw clear undtrsranding But "r,uional understanding" is not the mowr of
nrlTlt - _ - -b l
G) said, in efftcc "Formerly ont was allowed rn do rhis or rhar, bm wday one is " .11 12 1nu" ot eating or of other wavs of e iavlllg
he en "' - - . .
no longer allowed w Callii::res says in 1694 [hat [htre art a grtat many people r The close parallel berween tht "civilizing" of taring and char .of speech is ll1
who art not sufficitnr!I' conversam with tht tf,:/icatc.r."' of our language: "('est . _ "[ hi<hlv insrructivt. Jr makes it clear char the chani.;e in beha\'lour at
this reoptL "' . _ . _ _ .' .
Ct[[t cltlica[tsse qui n'est connu qut d'unt petitt nombrt cit gens ... Courrin used , , .. c ,ur of a much laruer transtormat10n of human feelings and a[[Jtuclts.
rir"'re \\(1-' 11- o
the same expression in 1672 when he said [hat i[ was necessary always to wipe 'u '11Lin11' natts the cleuret w which the motors of chis developmtnr came
Ir a1so i ' c
one's spoon before clipping it into [ht common dish if one had already used i[, - lie soci1l
srructure.. from the wav, in which people' \Vtre related
'
w or
.. [here being people so dc/i(({ft [hat [hey would not wish w ea[ soup in which you te e! wirh t'lch other \\it see mort clearlv how relatlvelv small Circles a[
integra '
had clipped ir afrc:r pm[ing i[ inro your momh" (Example G). first formed rht cenrrc of the movemenr and how_ rhe process then y
This clilict1tts.r<. [his sensibili[y and a highly de\tloped feeling for what was assed rn broader srrarn. Bur this diffusion irselt presupposed very specific
"embarrassing". was ar firs[ a dis[inguishing fearnre of small courdy circles, then and rherefort a quirt definite structure of society. .l\.foreo\'er, ir _could
cerrninly nor ha\'e raktn place had there not been established: not only tor the
of court socit[)' as a whole. This applies w language in exacdy tht same way as
model-forming circles but also for broader strata, conditions of life-or, in ocher
w ta[ing habirs . On wh<H chis delicacy was based. and why it demanded chat rhis
words, a social situation-chat made bo[h possible and necessary a gradual_
bt done and nor chat, was no[ said and nor ,1skecL \Vhar can be observed is
[ransformation of the emotions and behaviour, an advance in the threshold of
simply char "delicacy"-or, rather, rhe threshold of repugnance-was advancing.
Jn conjunction with a quite specific social situation, the structure of feelings and repugnance.
The process [har emerges resembles in form-though nor in subsrance-rhose
affects was firsr transformed in the upper class, and the structure of society as a
chemical processes in which a liquid. the whole of which is subjected w
whole permi[[tcl this changed afftct-srandard w spread slowly There is norhing
conditions of chemical change (t . g .. crysrallizarion). first rakes on crysralline
which suggesrs char rhe srructure of affects. the degree of sensitivity. changed for
form at a small nucleus. while the rest then gradually crystallizes around this
reasons chat wt would describe as "clearly rarional". i . t. from a demonstrable
core. Nothing would be more erroneous than w rake the core of tht crysralliza-
undtrsranding of specific causal connections . Courtin did not say, as would bt
rion for [he cause of tht transformation.
said lacer. thar some people felr it to bt "unhygienic" or "derrimenral rn healrh"
The fact char a particular social stratum in one or another pluse of social
w rnkt soup from [ht s<'mt dish as ochers. Ir is, of course, the case char delicacy developmenr formed the cemrt of a process and thus elaborated models for
of fteling was heightened under rht pressure of rht courdy situarion in ways
ochers. and chat these models were diffused w other strata and received by them,
which were later jusrifitd pardy by scientific invesrigarions, even though a major itself presupposed a social sicuation and a parricular structure of society as a
part of [ht raboos that people gradually imposed on themselves in their dealings whole, b\ virtut of which rhe function of creating models fell ro one circle and
wirh each ocher, a far larger 1x1rt rhan is usually rhoughr, has nor rhe slightest that of and assimihning them fell w ano[htr. The kinds of changes in
conntcrion wi[h "hygiene .. but is concerned even wclay mtrtly wirh "delicacy of 't e intt"rarion of socitt\' rh,1t set these behavioural changes in morion will be
t1 b ._,
feeling" Ar any rate. rhe process has moved in some rtspecrs in a way chat is discussed in greater derail later.
exactly opposirt rn, whar is commonly assumed today. Firsr, over a long period
and in conjunction with a specific c!Mngt in human relationships. chat is in Gro11ji 2.
sociery, [ht threshold of repugnance was raised The affecr-srrucrure. the
sensirivity, and [ht behaviour of people change, dtspi[t all sorts of fluctuations, On the Eating of Meat
in a qui[e specific direction. Then, at a ctrrain poinr, this behaviour came w be
recognized as "hygienically correct", i.e" ir was jusrifitd by a clearer insight into l Alrhough human phenomena-wherher attitudes. wishes or structures-
causal conntcrions and raktn further in tht same direction or consolidated. The ma\' be looked at on their own, independently of their connections with rhe
advance of the threshold of repugnance may have been connected ar specific social life of people, they art by nature norhing but subsranrializarions of human
poinrs wi[h more or less inclttermimut and. at first, in no way rationally relations and of hum<m beha\'iour, emboclimenrs of social and mtnral life. This is
explicable experiences of the way in which certain diseases are passed on or, true of speech, which is nothing other than human relations mrned inro sound;
expressed more precisely. with indeterminate and therefore rationally unlimired it is [rut of art. science, economics and politics; it is true both of phenomena
fears and anxieties which pointed vaguely in rhe direction subsequtndy con- which rank high on our scale of values and of others which seem trivial or
100 The Cil'ilizing PmctJJ 101

worthless. Bur iris ofttn precisely these latter, apparently trivial phenomena that ,. h.' 5p 1ces pl1ved
' a ma1or.. ve"erables
b
a relarivelv' minor role . Orher informa-
giw us clear and simple insighrs inro the structure and development of the ns nrs fairlv unanimoush in rhe same direction. The derails remain to be
non poi
psyche and irs relations which are at first denied us by rhe former. People's
reseed furrber. . . .
attitudes co meat-earing. for example. are highly illuminating with regard ro the ? Another change can bt documented more precisely.. The manner rn which
dynamics of human relationships and personality structures. - is
srved has changed considerabh. from rhe Middle Ages co modern rimes.
meat e ' .
In rhe Middle Ages, people moved between at least three different secs of e of chis change is verv instructive. In rhe upper class of medieval
T1tI cu f\ . _
behaviour cowards rhe consumption of mear.. Here, as with a hundred other . che de1d animal or large pares or ir were often brought ro the cable
soc1er}, ' ' . . . .
phenomena, we see rhe extreme diversity of behav10ur characteristic of medieval l N'or onlv whole fish and whole birds (someumes w1rh their feathers) bur
'"hoe. .
society as compared with its modern counterpart.. The medieval social structure whole rabbits, lambs, and quarters of veal appeared 01 .rhe table, nor ro
was far less conducive ro rhe slow permeation of models developed in a specific mention che larger venison or rhe spic-roasted pigs and oxen.'s
social cemre through rhe society as a whole. Certain modes of behaviour often The animal was carved on rhe cable. This is why rhe books on manners repeat,
predominated in a particular social stratum rhroughour rhe \X'esrern world, up co rhe seventeenth and sometimes even the eighteenth how impor-
while in a different srramm or estate behaviour was very different. For this rant 1 c s
1 for a
'
well-bred man to be buood at carnng meat. D1scenda a pnm1s
reason, rhe behavioural differences between different estates in the same region srarim annis secandi ratio " (The correct way to carve should be caught from
were often greater than those between regionally separate representatives of the rhe first years) says Erasmus in 15 30
same social stratum . And if modes of behaviour passed from one stratum co "When serving," says Courrin in 16 I 2,
another, as happened again and again, they changed their face more radically in
correspondence with the greater self-comainment of rhe estates. one mus! always givt away !he btsl ponion and keep !he smallest. and wuch nmhing
The relation ro meat-earing moved in the medieval world between the excepl with !he fork; rhis is why, if a person of rank asks you for somerhing du! is in
following poles In rhe secular upper class rhe consumption of meat was from of vou. il is imponam rn know how ro cm meal wirh propriery and merhoJ, and
rn kno\\.' !he best ponions. in order rn be able rn serve !htm with civility
extraordinarily high, compared ro rhe standard of our own rimes. A tendency
The wav rn CLI! !hem is no! prescribed here. because i! is a subjec! on which special
prevailed rhen ro devour quantities of meat char ro us seem fantastic. In the
books been wrinen. in which all die pieces are illusrra!ed ro show where the meal
monasteries an ascetic abstention from all meat-earing in part prevailed, an mus! firs! be held wirh a fork rn cm il. for as we have jus! said. th, 11!11 mm! ih'!'<:i /;,
absemion resulting more or less from self-denial, not from shortage, and often 1oud1,J hi h:111d 111Jt dd! zchj/, nJting: !hen where !he knife must be plaet:d w cm ic
accompanied by a radical disdain for or restriction of earing. From these circles whal mus! be lifted tirsl whac is the bes! piece. and the piece of honour dial must
came expressions of strong aversion ro rhe "glurrony" among rhe secular upper- be served ro the person of highesl rank. I! is easy w learn how rn carve when one has
classes. ea!tn !hree or four limes ac a good cable. and for !he same reason il is no dis,t;race rn
The mear consumption of the lower class, rhe peasams, was also often excuse oneself and leave rn another what one cannot do oneself.
extremely limited-nor from a spiritual need, a more or less freely chosen
renunciation with regard co God and rhe next world, bur from shortage. Cattle And rhe German parallel, rhe i\tzc n:n11ehrtts Trincier-Biich!ti11 (New, enlarged
were expensive and therefore destined, for a long period, essentially for rhe rulers' carving manual), primed in Rinrelen in 1650. says:
rabies. "If the peasant reared cattle'', it has been said,'< "it was largely for rhe
Because !he office of carver al princely courls is no! reckoned as !he lowesl bm among
privileged, the nobility, and rhe burghers'', nor forgening rhe clerics, who ranged
rhe mos! honourable, !he same mus! d1erefore be eilher of !he nobilily or mher good
in varying degrees from asceticism ro approximately rhe behaviour of the secular
descem. of straighl and well-proponioned body. good sm1ight arms and nimble hands
upper class . Exact data on rhe meat consumption of rhe upper classes in the
In all public cmting he should absrnin from large mlwemems and useless and
Middle Ages and at the beginning of the modem age are sparse. There were, no foolish ceremonies and make quilt sure dial he is no! nervous, so th.11 h, d'd not
doubt, considerable differences between rhe lesser, poorer knights and the great hring dishm1011 r throNgh 1,.,.111h/i11g of th< and hrmds and because in any case !his does
feudal lords.. The standards of the poor knights must frequently have been nm befit !hose ac princely rnbles
scarcely removed from chose of the peasants
A calculation of the meat consumption of a north German court from Boch carving and distributing rhe meat were parricular honours. Ir usually fell
relatively recent rimes, the seventeenth century, indicates a consumption of rwo co rhe master of rhe house or ro distinguished guests whom he requested to
pounds per head per day, in addition co large quantities of venison, birds and perform rhe office. "The young and chose of lower rank should nor interfere in
l ()',
. .1 _ 5,J; , 1iol!r rf tht 5,mf,11
I
C,)dlf,(,C.\ Ill ii. 1r; '"' - - -
l 02
. on rhe continent, rht serving of large_ portions of
serving. DU[ only rake for d1emsclves in their turn." says the anonymous Ci1iliti ryrominendy. presened. vhich falls w rbe master of rhe house. ot u1rvll1g and
ofl 7 l5. ' - r (and with ir rht ras , \ - . l .. - - r" w 1 ure1rer extent rhan in rht
rne:i - irvives in rhe lorm ot r lt JOll1 ' " ' c. - dnr
In the sevtmeemh cemurv [ht G1n-ing of mta[ at t<ible gradually ceased, in .i1srribur1ng it) SL
u _ .-G l F i -- '-Ici\vtver , c1uire apan twm
m anc wrct:. r .
rhe ,acr
_ -
'
the French upper class. w be an indispensable accomplishmem of [ht man of the ban sooery or erma . - I . l form of rhe sernng ot large pieces
ur' cl _ - - r i irselt a verr recucec L l . I,
world. such <ls hunting, fencing. and dancing. The passage quo[ed from Courtin he 11reser1L- - a) JOifl , l c. - rn it dnr mark rbe ac nrnct ll1 r it
r ben he..: ot reacnons ' c l
r n1e1r chert 1
110
poims rn [his l<lS e ' - - -. , I' ri!i<t at rhe cables o1 gooc
or ' Tl . cl 1 non ot rurrm c ' -- . -
.'.\. That the serving of large parts of the animal rn be carved a[ rnblt gradually rbreshold of repugn,rnct l1\ a acted in chis direction. "Our. cb1et
wem out of use was connected with many fr,crors. Ont of [ht most important about rhe m1clcllt ..o r ie ' E 1 l .book on manners. The Hahit.1 r1 Goud
_,v . . . , n1 sa vs an _, n g is 1 . .
may be the gradual reduction in the size of the household'" as pan of the d1<1nks w die new s1src: - . - . . __ c_ ,, bar unwielch barbarism-the JOll1t
_9) .. due tor 1rs osrr,1c1s!l10 r -
1 1iouse- ..
mmemem from larger to smaller family uni[s; then comes d1t removal of Socit!) (l8) ... . . . look tlegam. while it hides rbe mas_rer ot ne
produetion and processing activities like weaving, spinning and slaugh[tring Nothing can m<1ke d 101m . ' f .. ,- " The rrurh is. 1bc1t m1lc.u r1111
' I" him imo rhe misery o can lflo tu
from the household. and [heir gradual transference to specialis[S, craftsmen, -JIid cone emns . I - It 11 - '///!(h !iltclf JI
' it.1 ,,'itli) ir -
merchams and manufacturers, who practice them professionally while the rll't l'ti) kw1. t )t s1:,) ' ' . - l l -cl ro disgust rhe epicure H
. l. l " "oinr tS!JeClally is c,1 cu are , .-11 !
anc ,1 1Llot I
household becomes essentially a consumption uniL ,_
tue111 '
-11t1rdJ. - l _ l l l be \)\aced on rl1e sic - le- r1ble
,
ll'hn th11 u' it
, -' -
. - are eaten at rill. t lt) s iou c
Hert, rno, the psychological tendency marches rhe overall social process: today 101nrs _
J[ would arouse rather uneasy feelings in many people if [hey or ochers had ro ni!I of <p _'> 1-JJ l . ro remove rbe disr<1sreful from rht sight ot
- .
The wcreas1ng .
- \\- suong renc encv
' . , . in" of cbe who 1t arnm<l l
carve half a rnlf or pig ar rnble or cut me<lt from a pht<lsam still adorned with its \' with few tXCtpt!OflS. tO ( 1l t can b - - 1-t- -
fear hers societY clearly app ies. c erlv a direct part ol sooal l t rn
_ \ .. les show was ,orm . .
This c<1rvmg, as r ie exam J 1 , . \- r- nd mort rn be cl1srasrdu 1.
Thtrt art e\en du gti/J ..-i dJ/i,t1ts-w repeat the phrase of Counin. which r1 I t S\Jecocle was te c mor- a 1
referred w a rtl<1recl process-w whom rht sight of burchers shops \\irh rhe rhe upper class ien n ' - - l . m1l must. of course. be cur w ien
. - d'd cl s- 1 ne1r since r le arn ' - . . .-
11( t6 rcel!tS of sr1ocd 1!ft.
bodies of dead animals is disrasreful, and ochers who from more or less rationally C1rYin" irsell l nor I 'p,.. '
" <::- 1 fu\ W'lS rt:Jl/Ol'U ( I-' idJ/1. .1 l -

disguised feelings of disgust refuse to tar meat alwgerher. Bm chest are forward beinl'. earen. Bur rhe c israsre ' I k' tchen Ir will be seen <1gain and
' k f r in rht shop or r it 1 - - l
rhrusrs in rht threshold of repugnance char go beyond rhe standard of civilized Specialists ra e cart o i - . l .. . dnt we call civilizrH10n is t 11s
- . ot rhe who e process '
society in rhe rwenrierh cenrnry. and <ire therefore considered "abnormal". al'.ain how cbaracrensnc - . . "b I . cl he scenes of what has become
' - w . n dus h1dmg e llfl r - - l
Nt\errhtless. it cannot be ignored char it was advances of chis kind (if rhey movemem of segrec-'HJO . - \ _- of 1 hrue IJ<lrt ot rbt an1ma or
<r from t 1e caf\'1ng o _
coincided with rhe direction of social devtlopmem in general) char led in rhe disrasrefuL The curve runnrn" l I 1- adnnct in [ht threshold ol
. . I at cable. c1roug1 c1e ' -1--ct
past w changes of srnnclards, and chat chis particular advance in rht threshold of even rht who le ,1n1ma l -- l of can-im; ro speu izc
-, . l i "hr of dead animals. to r ie rem CJ\ a '
repugnance is proceeding in the same direction rha[ has been followed drns repugnance at r lt s b - . I . --1 .. - n-curn:.
- l I . nts is a np1ca cn l izcitlO - - 1
fi1r. enclaves bthrnc r ie see . . - 1 r nrocesses underlie s1m1 ar
_ b - ,. i ued bow tar s1m1 a r
Ir remarns ro e lfl\estg, -_- -.. - ofChina above all.die
This direction is quire clear. From a srnndard of feeling by which the sight and _ - - I rhe older cl\ i1iz.irwn '
carving of a dead animal on rhe rnble are acrnally experriencecl as pleasurable. or phenomena Jl1 ocher soCJetltS. n -- . T red much earlier ,mcl more
. . ,. ' behind rhe scenes \\as er ec - l
ar lt<lS[ as nor at all unpltasam. die devtlopmtm !tads w anod1tr srandarcl by concealmem ol can mg . .. , b- raken so lar rh<lt r ie
. :<1 Tl rhe process came w e _
which reminders char the meat dish has something to do \\irh rhe killing of an radicalh- rhan rn rhe \ c:sr. 1ere - 1 rnd rhe knife is banished
- . ir\'td -rnd cur up emirely bel11nd r 1e scenes. '
animal art anJidcd to rht utmost. In many of our meat dishes rht animal form n1eat is G '
alrngerher from use at cable.
is so concealed <lflcl changed by the an of irs preparation and carving char, while
earing. one is scarcely reminded of irs origin. Use of rhe Knife ar Table
1r remains rn be shown how ptople, in rhe course of rhe ci\ilizing process,
have sought rn suppress in rhemsehes everyrhing char rhey feel w be of an
l narure o_
. I use,
soCia . re. tlecrs cli-rn t- .rs
, b"ts in rhe human -
"animalic character" They hme likewise suppressed such ck1racrerisrics in rheir
-! The knife, too, by tit cl .- I Ir is an embodimem of
I
-I . I n"in" dnves an \vis ies
food personality win its c i.i "' . "' rnnl reuulariries of society -
In chis area. mo, rht development has cerrninly nor been uniform everywhere. hisrnrical sirnaoons and the srruc _' - "' - - . s m e1tin'' implemem in
. b , . ll s charricrensr1c ot its use a ' ' o
In England. for tx<1mple. where in many aspects of life older forms are more One dung a O\ t '1 1
The Ci1,i/i;:,i11g ProtcsJ Chtmgf.i in the Behe1rir111r r;( the Swtft1r Upper C!t1sses i11 the \\'!ist 105
104

presenr-day \i(/esrern sociery: rhe innumerable prohibirions and raboos surround- .h of socierv ro rhe preponderance of feelings of displeasure <lt the sight
paCI canon ., . . . . . .
1ng H . cl ro rhe limirarion and hnal exclusion of irs use rn soC!ery. The mere
at 1c. ,rn . .
Cerrainly rhe knife is a dangerous insuumenr in what may be called a rational . f knife poinred ar rhe face arouses fear: "Bear nor your knife roward your
sighr o a .. . . . . . . c
sense. Ir is a weapon of arrack. Ir in fliers wounds and ems up animals rhar have c ce for therein is peril and much dread. Il11s is rhe emor10nal basis 01 rhe
been killed ;O\\:erful raboo of a larer phase. which forbids the lifring of the knife ro the
Bur this obviously dangerous quality is beset with affects. The knife becomes mourh. . . . .
a symbol of rhe mosr diverse feelings, \Vhich are connecrecl w irs funnion and The case is similar with rhe prohibition which rn our senes of exa:nples was
shape but are nor deduced "logically" from irs purpose. The fear ir awakens goes eel first bv Calviac in 1560 (at the encl of Example EJ: If you pass
rnenr10n .. . .. . .
beyond whar is rarional and is gremer rhan rhe "calculable", probable danger. 'nife rake rhe point in vour hand and ofter him the handle. lor ir
someone a "' ' .
And die same is rrue of the pleasure irs use and appearance arouse, even if rhis oulcl nor be polite ro do otherwise
aspecr is less evident roclay In keeping wirh rhe srrucrure of our sociery, the \\' Here. as so ofren unril rhe larer stage when the child is given a "rarional"
everyday rirual of irs use is wday determined more by the displeasure and fear explanarion for every prohibition, no reason w.'.1s given for the social rirual except
rhan by the pleasure surrounding ir.. Therefore its use even while eating is t!Hir "ir would nor be polite ro do otherwise Bur ir is nor cl1fficulr see th_e
restricted by a mulrirucle of prohibitions . These, we have said, extend far beyond emorID nal n erninu
1 ' o
of rhis command
one should not move the poinr of rhe knife
rhe "purely insrrumenral"; bur for every one of them a rational explanation, rowarcls someone as in an atracL The mere symbolic meaning of this act, the
usually \ague and nor easily proved, is in everyone's mourh. Only when rhese memorv of rhe warlike threat, is unpleasanr Here, roo, rhe knife rirual con rained
raboos are considered rogerher does the supposition arise rhar rhe social arrirucle a elemenr Someone mighr use the passing of rhe knife in order suddenly
rowarcls the knife and rhe rules governing irs use while eating-and, above all, ro srab someone Bur a social rirual was formed from rhis danger because rhe_
rhe raboos surrounding ir-are primarily emorional in narure. fe,1r, clisrasre, dangerous gesrure esrablished itself on an emotional level as a gen.era! source of
guilr, associarions and emotions of the mosr disparate kinds exaggerare rhe displeasure. a symbol of death and clanger. Sociery, which was begmnrng ar rhis
probable danger. Ir is precisely this which anchors such prohibitions so firmly rime more and more ro limir the real dangers rhrearening people, and conse-
<llld deeply in rhe personaliry and which gives rhem their raboo character uenrlv ro remodel the affecrive life of individuals, increasingly placed a barrier
5 In rhe Middle Ages. wirh their upper class of warriors and rhe consranr rhe svmbols as well, the gesrures and insrrumenrs of clanger. Thus rhe
readiness of people ro fight, and in keeping wirh rhe stage of affecr conrrol and resrricrions a.nd prohibitions on the use of the knife increased. along wirh the
the relariwly low degree of binding or regularion imposed on drives, die resrrainrs imposed on individuals.
prohibitions concerning knives were correspondingly few. "Do nor clean your 6. If we leave aside rhe derails of rhis developmenr and only consider rhe result,
reerh with your knife" was a frequenr demand. This was rhe chief prohibirion, rhe prtsenr form of rhe knife riruaL we find an <lsronishing abundance of of
bur ir does indicare rhe direction of furure resrricrions on rhe implement. varying severity. The imperarivt never ro pur a knife ro one's mourh is one of rhe
Moreover. rhe knife was by far rhe most imporranr earing urensil. Thar ir would gravest and besr known. Thar ir gready exaggerares rht <KrnaL probable danger
be lifted ro rhe mouth was raken for granrecl. ;carcelv needs robe said; for social groups accusromed to using knives and earing
Bur there are indirnrions in rhe late Middle Ages, even more clirecr ones rhan with t.hem hardlv ever injure their mourhs wirh chem The prohibition has
in any larer period, thar rhe camion required in using a knife resulrs nor only become a means social distincrion In rhe uneasy feeling rhar comes over us ar
from rhe rarional consideration rhar one mighr cur or harm oneself, bur above all cbe mere sighr of someone purring a knife inro rhe mourh, all this is presenr
from rhe emorion aroused by rhe sighr or rhe idea of a knife poinrecl ar one's own once: the general fear rhar the dangerous symbol arouses, and the more specihc
face. fear of social degradation which parenrs and eclucarors have from early on
awakened in us in relation ro rhis practice with their admonirions rhar "it is nor
Bere nor your knyf ro warde your ,isage
for rherein is parelle and mykyl drede
done"
Bur rhere are orher prohibitions surrounding rhe knife that have little or
we read in Caxron's Bod? of C11rteJ)e (v .28) Here, as e\erywhere larer, an element norhing ro do with a direct clanger to rhe body, and which seem ro poinr .ro
of rationally calculable danger \vas indeed presenr, and rhe warning refers ro this. svmbolic values of rhe knife other than the associacion with war. The fairly srr1ct
Bur ir is rhe general memory of and association wirh clearh and danger, ir is rhe on earing fish wirh a knife-circumvenrecl and modified roclay by rhe
s;111b()/ic meaning of rhe insrrumenr rhar leads, with rhe advancing inrernal inrroducrion of a special fish knife-seems ar firsr sighr rather obscure in irs
106
Ch:f//gcs ii! rht Bch.!i io111 o/ the Seci!lar Upper Clas.rts iii dn ff[st

instrument became
incl nrohibirions which surround the menacing
emo[ional [hough psychoanaly[ical dieory poims a[ leas[ in [he ornn1ancIs ' ,. . . of rhe threatening
c - - numerous and difterenriated. Finally. the use
direction ot an explana[ion There is a well-known prohibi[ion on holdiw, ever rnore . . . .
cudtry. parcicularly kni\'es, widi die whole hand. "like a S[ick", as Li Salle _ bc,l ha> been limJtecl as tar <lS possible _ . . . . . .
s:rn or a\ciiJ comiYirin" rhe direction of rb1s cJ\1lizmg-cune with rhe
J[, diough ht was a[ dia[ [ime referring only w fork and spoon (Example j). Then One cann ' "' . .. .
II'' practised in China There. as has been said, rhe kmte disappeared
diere is_ ob\'10usly a general [tndency rn elimina[e or a[ leas[ res[rin the comact of cusrorn_ . "'
I .
ies auo from use at cable. Accordmg ro rhe teelmgs ot many Cl1111ese.
the knife_ with round or egg-shaped ob jeers. The best-known and one of the rnany centur b . .. . . . .. .. .
which EuroiJeans ear 1s unonlized The Europeans ,ire
grl\est ot such prohibicions is on cutting porarnes with a knife. Bur the rather rhe manner 111 . .. .
. . fJtOfJle sa\" rhere now and again. "they t<lt w1rh swords One ma}
less srricr prohib_itio_n on cutting dumplings with a knife or opening boiled eggs b,.lfl,lDS , . .'- _ . . . . ..
. I . r chis custom is connected with the fact that for a long ume m Chma
with one also pornr 111 the same direction, and occasionally, in especiallv sensiti\'e surrn1se t 1'l . . _ .
i1- 111 ,, Ll!'l'er class was nor <l warnor class bur a class ot scholad}
circles. one finds a nondency rn aYoid cuning apples or even oranges a knife. cl l
rbe mo e - ' " b n1

"I may him diar no epicure eYer yet put knife rn apple. and that an orange should officials pacified to a particularly high degree.
be peeled with a spoon". says The Hahits u/ Good Sucittr of 1859 and 1890.
7
But these more or less scrict panicular the list of which could On the Use of the Fork at Table
cerwinly be extended, are in a sense only examples of a general line of
S. \\/hat is rhe real use of the fork; Ir ser\'eS ro lift food char has been _cut up
developmem in the use of the knife chat is fairly distinct. There is a tendency
'v'h\ do we need i fork for chis; \\/hv do we nor use our hngers'.
that has slowly permeated ciYilized society. with pressure from the top to the ro r Iie mou tll . w ' -
Beoiuse it is "cannibal'". as rbe "Man in the Club-\\/indow". rhe .. anonymous
bottom. rn resrricr the use of rhe knife (within the framework of prernilin"
y/_J HJir o/-G11ocl Socii:!J said in 1859. \Vhv is it "cannibal ro ear with
techniques of earing) and where\'er possible not ro use rhe instrumem at ;ill. b aut l1or o t t ' 1- _
j - - .
one's fingers;, Thar is nor a question; it is self-evidently rnnnibal. barbanc,
This tendency made i[s first appearance in a precept as apparemlv triYial and
obvious ;is that quoted in Example I: "Do nor keep your knife in rour unciYilized or whate\'er else it is called . _ .
Bur char is precisely rhe question. \\/hy is it more ci,ilized to ear wJth a _tork!
hand. as village people do. bur rake ir only when you need ir." Ir was c,learh ,verv
"Because it is unhygienic to ear with one's fingers." Thar sounds conv111c1ng.
strong in the middle of rhe last century. when rht English book on ju;t
To our sensibility it is unhygienic if different people put their fingers into the
quoted, Th2 1-fohit.r o/ Goi,c/ 51id). said: "Let me give you a rule-everything char
same dish. because rhere is ,1 danger of conmicring disease through contact w1rh
can be cur wid10ur a knife, should be cur with fork alone." And one need onlv
observe present-clay usage ro find chis tendency confirmed This is one of rhe others. Each of us seems ro fear char the ochers are diseased _
Bur chis explanation is nor entirely satisfactory. Nowadays we do not ear from
distinct cases of a de\'elopmenr which is beginning ro go beyond rhe standard of
common dishes Enryone puts fC1od into their mouth from their own place. To
earing technique and rirual attained by court society. Bur chis is not. of course.
pick it up from one's own pla[t with one's fingers cannot be:. more unhygienic...
in tht le,1sr. rn S<ty that the "civilization" of die \Vest will acrualh continue in
than w put cake, bread. chocolate or anything else mro ones mouth w1tli ones
this direction. Ir is a beginning, a possibility like many others char .exist in eYerv
society All the same. it is nor inconceivable that rhe preparation of food in own fingers
So whv does one really need a forki \\/by is it "barbaric' and "unciYilized" to
kitchen will dtYelop_ in a direction char restricts rhe use of the knife at cable still
pm food-into one's mouth by hand from one's own plarei BeG1use it clisrasr:ful
further. displacing it eYen more than hitherto to specialized enclaYtS behind rhe
w direr one's fingers. or at lease ro be seen in society with dirty hngers. The
scenes.
of earing by hand from one's own plate has very little to do w_irb the
Strong regressiYe moYemenrs are certainly nor inconceivable either. Ir is
danuer of illness. rhe so-called ''rational" explanation. In observmg our feelmgs
sufficiently well known rhm. for example, rhe conditions of life in \Vorlcl \Var I
row:rcls rhe fork ritual. we can see with particular clarity rhar the first authority
auromarically enforced a breakdown of some of the taboos of peacetime civiliza-
in our decision between whether behaviour <lt cable is "ciYilizecl" or "uncivilized"
tion In the trenches, officers and soldiers again art when necessan- with knives
is our feeling of disrasre The fork is nothing ocher than the embodiment of a
and hands. The threshold of repugnance shrank rather rapidly und;r the pressure
specific standard of emotions and a specific leYel of reYulsion. Behind the change
of the mescapable si rnarion.
in earing techniques between the .Middle Ages and modern appears the
Apart from such breaches. which are al ways possible and can also lead to new
same process char emerged in rhe analysis of ocher incarnations ot this kind: a
consolidations. rhe line of development in rhe use of the knife is quire clear.w
The regulation and binding of the emotional economy haYe been sharpened. The change in rhe economy of dri,es and emotions
108 T!!l Cil'ilizing Pro(l:SJ 109

Modes of behaviour which in the Middle Ages were nor felt ro be in rhe least l rliese feelirn;s and chis standard, ro control rhemselnos more or less rigorouslr
w1r 1 L-

disrnsreful haw increasingly become surrounded by feelings of disrasce. The in ,1ccordance wirh ir, and to resrrain rheir drives and inclinations. It children tried
srnndard of delicacy finds expression in corresponding social prohibitions These w (Oucl1 somerhinl': srickv, wer or !.(reasv with their finuers rhev were role!, "You
L' , L L ,

taboos, so far as can be ascerrained, are nothing ocher rhan ricualizeJ or musr nor do rhar, people do nor do things like rhar" And the displeasure rowards
insricurionalized fedings of displeasure, disrasre, disgusc, fear or shame, feelings sud-'i conducr which is rhus aroused bv the adult finallv arises through habir.
. , L

\vh1ch have been socially nurrnred under quire specific condicions and which are without being induced by another person.
consrnnrly reproduced, nor solely but mainly because rhey have become institu- To a large extent, however, the conduct and drives of the child are forced even
tionally firmly embedded in a particular ritual, in parcicular forms of conduct. wirhour words inro rhe same mould and in the same direcrion by the facc rhar
The examples show-cerrainly only in a narrow cross-section and in the a P'1nicular use of knife and fork, for example, is completely esmblishecl in adulr
relacively randomly selected sraremenrs of individuals-how, in a phase of sociery-rhar is, by rhe example of rhe surrounding world. Since rhe pressure or
de\elopmenr
-
in which che use of rhe fork was nor .vet caken for o"ranted , tl1e coercion of individual adults is allied ro the pressure and example of rhe whole
feeling of distaste that first formed within a narrow circle was slowly extended. surrounding world, mosc children, as chey grow up, forger or repress relatively
.. Ir is very impolite .. , says Court in in 167 2 (Example G), "ro couch anything earlr rhe fr!Ct rhar their feelings of shame and embarrassment, of pleasure and
greasy, a sauce or syrup, etc., wirh your fingers, apart from the fact char it obliges were moulded into conformity with a certain standard by external
ro commit two or three more improper acts. One is ro wipe your hand pressure and compulsion . All this appears ro them as highly personal, something
rrequenrly on your serviette and ro soil ir like a kitchen cloth, so rhar those who "inside .. , implanted in rhem by narnre. \Vhile ir is scill directly visiblt in rhe
see you wipe your mouth with it feel nauseated . Another is ro wipe your fingers wrirings of Courrin and La Salle rhar adulrs, roo, were ar first dissuaded from
on your bread, which again is very improper. [N B. The French terms pmjm: and earing with their fingers by consideration for each other, by .. politeness", ro spare
111a!proj1r, used by Courrin and explained in one of his chapters coincide less with orhers a distasteful spectacle and rhemselves rhe shame of being seen with soiled
the German terms for clean and unclean (s:whur and 1111sc111htr) than with rhe word hands, later ir became more and more an inner amomarism, rhe imprint of
frequently used earlier, "proper".} The third is ro lick rhem, which is rhe hei 2 hr sociery on rhe inner self. the superego, that forbade rhe individual ro ear in any
0
of impropriety other way than with a fork. The social srandard to which the individual was firsr
The Ciz-i!it{ of 1 7 29 b1 La Salle (Example j), which transmitted rhe beha\iour made rn conform from outside by exrernal restraint is finally reproduced more or
of the upper class ro broader circles, says on one page: "\'\(!hen rhe fingers are very less smoorhly within him or her, rhrough a self-restraint which operates ro a
greasy, wipe them firsc on a piece of bread ... This shows how far from ''enen;l cerrnin degree even against his or her conscious wishes.
acceptance, even ar this rime, was the standard of delicacv rhac had Thus rhe socio-hisrorical process of cemuries, in rhe course of which the
already represented decades earlier. On the other hand, La s:1lle rook mer fairlv sranclard of what is felt to be shameful and offensive has been slowly raised, is re-
literally Courrin's precept rhar "Bie11s6u11Cc does nor permir anything greasy, enacred in abbrt\iared form in rhe life of the individual human being If one
sauce or a syrup, to be touched wirh rhe fingers . And, exacrlr like Courrin, he wished to express recurrent processes of chis kind in rhe form of laws, one could
mentioned among the ensuing i11,frilitis wiping the hands on .bread and licking speak, as a parallel ro rhe laws of biogenesis, of a funclamenral law of sociogenesis
the fingers, as well as soiling rhe napkin. and psychogenesis.
Ir can be seen rhac manners were here srill in the process of formation The new
standard did nor appear suddenly. Certain forms of behaviour were placed under v
prohibition, nor because rher were unhealrhr bur because they led roan offensive
sighc and associations; shame offering such a originally Changes in Attitudes Towards
absent, and tear of arousing such associations were gradually spread from rhe
the Natural Functions
srandard serring circles to larger circles by numerous aurhoriries and insrirurions .
However, once such feelings had been aroused and firmly established in socien- br Examples
means of certain rirnals like that involving rhe fork, they were constantly re;}ro-
duced so long as the srrucrnre of human relations was nor fundamenrall r altered . Fifteenth century?
older generation, for whom such a standard of conduct is accepted a matter A
of course, urges rhe children, who do nor come inro rhe world already equipped From S w.wizu1t !e.r 1011te11m1c1:s de /,; table:
l ll
110 Cirili::ing Pr(Jo.:s.1

VIII Reuarcll.n" c
rl1e unhealrhiness ot rern1nrng

c
r lie . win
d : "There art some \"erses in Yolume
. . . . l
c, , , . harchos e11 iurams where he descnbts rhe dlncss-beanng ['O\\t:r Of t lt:
Btfore ,-ou sir down. make sure 1our star has nor been fouled rwo or L"-1c ,. ., . .
. l t., bur since rhese lines are quoted by e\"erybody I \\ill nor commcm on
recan1ec. ,1rr. ,
B rhcn1 here.
From [ii/
-oLwhness the exuaordinan seriousness, and rhe complete freedom
Tl 1e rl10 i L:; , l:
_:;2l) De, nor much yourself unckr your clorhts wirh your bare hands . . l uesrions are {JLtbliclv discussed here that have subsequently -iecome
1
w1th\\1!Clq . .- l.b ..
. .cl - hi uh de"ree and owrlain in soC1al lite Wl(h strong pro 11 1(10115
rrv:1t1ze c0 '1 c o cl
c p . l l cleirlv che shift of rhe frontier of embarrassmem an 1rs
shows pc1rr1cu ar > ' . . . . l
1530 ific direction. Thar feelings of shame are frequently menr1onec
advance in a Spec
From D, ,-jz-i/itat, 11;r1m111 by Erasmus . The glosses are rnken from a discussion underlines the difference in rhe shame standard
explicitly in '
Cologne edirion of 15 W which was probably already imendtd for edurnrional
purposes Under the ride is the following nore: ""Recognized by rhe aurhor, and D
elucidared with new scholia by Gisberrus Longolil!S Ulrrarraiectinus, Cologne, in
1558
tht year XXX. .. The fact that these questions were discussed in such ,1 way 1n . Dell-,1 C,1sa, quoted from the five-language edition (Geneva,
From Ga !i!!U1, b>
schoolbooks makes rhe difference from later attitudes particularly clear:
1609). p )2:
Ir is in1polite co greet son1eone \Yho is urinating or ddtcaring l . nor btlir -1 modesr honourable m,1n ro prepare rn rtlien: narure in rht
I( ( ots ' - , _ . . , . . ..
A \\ell-bred person should always a\"oid exposin!' wirhour necessir1 rhe pans to . 1 rlier l'tl>j'le nor rn Jo u11 his clorhts alrenrnrd ll1 rhe1r presence. S1mda1 h.
presence o o . . . . .. .. . . . . . .
which narnre has arrached modesn If nect:ssity compels rhis. ir should be done with he will nor wash his hands on rtrnrning rn decent soC1ery trom pn\ ,Ht pl.ices. ,1s rht
decency and even if no wirntss is present. for angtls art always present. and . li ,,-isliin,, \\"ill -1rouse dis,wreeable in people. .For .rhe same reason
rL".1son tor l:) c c ._
norhing is more 11elcome rn rhem in a boy rhan modesry. rht companion and guardian it is nor a refined habit. when con1ing ,1cross son1erhing 111 rht sl_1eet. as
of decency It it arouses sh,1mt rn show rhem ro rhe eyes of mhers. srill less should rhey somtrimes happens. ro rum ar once rn ones companion and po1nr ir om to him
be exposeJ ro rheir much le is for less proper to hold our rhe srinking rhing for rhe ocher to :mtll. as_ some: are
T(, hold back urine is harmful to healrh. to pass ir in secrer bernkens modesry There wonr. who even urse rhe orher rn do so. lifring rhe foul-smelling rhing to his nosmls
are those \\ho reach rhar the should rernin wind by compressing rhe belly Yer it and saying. ""I should like ro know how much rhar srinks"". 11hen ir would be berrer ro
is nor pleasing. while srri,ing ro appear urbane. rn conrracr an illness. If ir is possible s.iy. ""Because ir srinks do not smtll ir"
rn wirhdraw. ir should be done alone. Bur if nor. in accordance wirh rhe ancienr
pronrb. !tr a cou!'h hide rhc sound ;..[oremer. why do nor rhe same \\orks reach that
E
should nor dei"tcare. since it is mun: dangerous rn hold back wind rhan rn
constricr rhe bowel> 1570
[This is glossed as follows in rhe scholia. p _:\_):] From rhe \Vernigerocle Court Regulations of 15 !O:"c
To conrrncr an illness: Listen rn rhe old maxim abour rhe sound of wind If ir can be
purged \\irhour a noise rhar is besr Bur iris berrer rhar ir be emirred wirh a noise rhan One should nor. like rusrics who ha\"e nor been rn courr or li\"ed among refined and
rlrnr ir be held back honourable people. reliel"t: oneself wirhour shamt or reser\"t in fronr ot ladies. or before
r\r rhis poim. however. ir would have been useful rn suppress rhe fteling of rhe doors or \\"indows of courr chambers or orher rooms Rarher. e\"eryone oughr ar all
embarrassmenr so as w eirher calm your body or. follo\\ing rhe ach-ice of all donors. rimes and in all places to sho\\" himself reasonablt. courreous and rtspecrful in word
rn press your burrncks rngtrher and rn acr according ro rhe suggesrioos in Aethon"s and gesmrt
epigrams: Ewn rhough he had ro be careful not rn farr explosi,ely in rhe hoh place.
he nel"errheless prayed rn Zeus. rhough wirh compressed burrncks. The sound of F
farring. especially of those \\ho srancl on elernred ground. is horrible. One should make
sacrifices \\"ith rhe burrncks lirmly pressed rngtrher 1589
To !tr a cough hide the explosil"e sound: Those who. because rhey are embarrassed. From rhe Brunswick Court Regulations of 1589:";
wanr the explosi\"t ,,ind ro be heard. simulare a cough. Follow rht law of Chiliades:
Replace farrs wirh cout:hs Ler no one. whotvtr lie n1 .,1.\ be. l1cfc>r".
, ,1r. c>r afrer meals. tarh. or !are. foul rhe
112 Thu Ciz'ilizing PmC1:ss
11.1
srnircases. corridors or closers wirh urine or other tilth bur "O to suinble .. t d
places for such relief c '
1
' JXe>cn " exact opposite of what is prescribed in Examples C and G]: and it is shamefol and
indecent to do it in a way that can be heard by orhers.
Jr is never proper rn speak of the parts of rhe body rhar should be hidden. nor of
G cenain bodily necessiries ro which Nawre has subjecred us. nor even ro memion them
c. 1619
Richard The Bljoke 01 Dw1em11Jr m1c.I tm
1 'ii11zcanc, d11c; Di.wllouc111ct' of
11 J
C,rtt1i11e i\Iisd1:1mt1ll!11s i11 C1J111jJt111ie: 6'
1731
From Johann Chrisrian Banh, The Gal/am Ethic. i11 ll'hich it is shr1u'l1 h1Jll' "yo1111g
I-i3 Ler nor thy privy members be
!/it/II sho;dd co1m11e11cl hi111se!f !iJ polite sr1(idy thrrJ!!gh refined ?lctS and C()J11j>lt1isant zrnrdr.
!aye! open to be view'cl.
ir is mosr shameful and abhorcl. Pri:jJ:trul the spccii!l c1d1w1tilgt and p!w.wrc of cd! 11/llilftl!rs 1Jf good
deresrnble and rude 111111111e1:1, 4rh edn (Dresden and Leipzig, 17 31 ), p. 288:
Reraine nor urine nor rhe wincle
which dorh rhy body vex German developments were somewhat slower rhan French. As rhe following
so ir be done wirh secresie excerpt shows, as late as rhe firsr half of rhe eighreenrh century a courresy precepr
!er rhar nor rhee perplex is given which represents rhe same srnndard of manners as rhar found in rhe
passage by Erasmus quoreJ abon:: "It is impolire w greer someone who is
H urinaring or deftcaring
1694
If you pass a person who is relieving himself you should act as if you had nor seen him.
From rhe correspondence of rhe Duchess of Orleans (October 9, 169-:J: dare also
gnen as Augusr 25. 1718): and so ir is impolite ro greet him

fhe smell of rhe mire is horrible Paris is a dreadful place. The srreers smell so badlv K
rhar .1ou
.
cannor c"0 our The exrr"me
c
hnr causing
-, is [arge quanttt1es
of n1eat and rish 1774
ro rnr In rhem. and rhis, coupled to rhe mulrirucle of people who in rhe sm:er. Fron1 La Salle, Les Ri6les dt: ft1 biensit!lllf: ti cir: la cizilitc! chrffjel!Jh' ( 1774 edn). p"
produces a smell so cleresrable rhar ir cannor be endured. , The chaprer "On rhe Parts of rhe Body Thar Should Be Hidden, and on Narnral
Necessities" covers a good rwo and one-half pages in rhe earlier edirion and
I scarcely one and one-half in rhar of 177-1 . The passage "You should rake care
1729 nor ro rouch. ere. .. is missing. Much rhar could be and had ro be expressed earlier
From La Salle. Les Ri:,,),s
, d, !" bit11.r,:c111,,. ,,t c,,1t !a on
;1tr!
nn!tiw11e
J. (Rauen, l 729), 1s no longer spoken of:
pp. -15ff:
Ir is a part of decency and modesty to col'er all parrs of the body except the head and
Ir is a P<:rr of decency and modesty to co1er all parts of rhe body except the head and hands
hands. 101 I
,. .
Id t
. I. s iou. care. so ar as you can. nor to touch with your bare hand any part As far as nawrnl needs are concerned. ir is proper (e1en for children) ro sarisfy rhem
01 rhe bod) rhar Is nor normally uncovered. And if rnu are ob!i"ed to dos ] II only 11here one cannor be seen
b d c O, It S lOU c
e one wnh great precaution. You should get used to suffering small discomforrs Ir is never proper ro speak of the parrs of rhe body rhar should always be hidden. or of
wnhom rwisrrng. rubbing or scratching. cerrain bodily necessiries to which nature has subjecred us. or el'tn to mention them
fr is far more contrary to decency and propriety to touch or see in another person.
pamcularly of rhe other sex. that which Heaven forbids 1ou to look ir In 10
\\?I . '
--It.
urse .
L
ien you. need to pass wa:er. you should always withdraw ro some 1768
place And It IS proper (even ior children) ro perform other nawral foncrions where iou
cannor be seen Letter from Madame du Deffand ro Madame de Choiseul, 9 May l 7 68; 1'' q uored
as an example of rhe presrige value of rhe utensil
/,
It is re;y i111J;ofitr.., /r1 r:ll!it wi11d /rum *
}f1l!r hr1dr u l.h::ll in mm/Jt.JJJ_). d
I){1!'1..-'
hlou-, d'cJJ i.1 dr11h ll'i!ho/!l JHli.ff 1
[This rule. Ill I
me wn l more recent custom, is rhe
I should like to tell you. dear Grandmother. as I told rhe Grand-Abbe. how great was
in the Bchazi//!!r o/ th<: Swtlar Uf'f't1 C!m.rts i11 tlx \Fest 115

my surprise when a large ba/! from ,-ou was broughr to me ar my btd ytsrerdav - o nlv. seeming\', rational, i.e., founded primarily on the disgust and shame
,vhat is L -
mornin/! I hasrentd ro open ir. J'm in my hand. and found somt /!retn peas and
rhtn a Yase - rhar I quickly pulled om: ir was a chamber por. Bm of such beamy anc]
feelings of adults _ _ _ . _ .
7 As already mennoned, Erasmus m his uear1se acted as che forerunner of a
n1agnificcnct that n1y ptople say in unison rh.1t it r1l1ght fr, Ii:. 1ts:..d :1s .r hrut The

d 1:n!ll::.:r /)(J/ ll dJ (Jjj the zcho!t r{ t'ldJji!p,, tllld u d,1 c!(/111i1c:t! /;) (jj}c The ne; srandard of shame and repugnance which firsr ro form slowly in che
peas wtre earen rill nor one was ldi: secular upper class. Yer he also spoke as a marrer ot course abom which
it has since become embarrassing ro mention. He, whose delicacy_ of teelmg _is
demonsm1ted again and again by chis very ueacise, round norhmg amiss m
Some Remarks on the Examples
ca11int:'>" b,-} rheir names bodih-
functions \vhich, bv our presenr srnndards, may noc
and on these Changes in General be even menriontd in company, and still less in books on eriquene. Dur between
. delicacv and chis lack of inhibicion rhere was no contradiction. He spoke
t h IS
The c//111l1iis ,-erses Sa} lirtle on chis subjecr. The social commands and from another srngt of conuol and restraint of emotions.
prohibirions surrounding rhis area of life were relarively few . In chis respecr. coo, The different standard of sociery in Erasmus's rime becomes clear if one reads
ar lease in secular society, everyrhing was far more lax. Neirher rhe funcrions how commonplace it was ro meet someone "qui urinam reddit am alvum
rhemselYes, nor speaking abour rhem or associarions with rhem, were so intimare exonerar" (urinating or defecaring). And the greater freedom with which people
and privare, so invested wirh feelings of shame and embarrassment, as rhev later were able ar chis rime to perform and speak about their bodily functions before
became.
ochers recalls the behaviour char can still be encountered, for example, through-
Erasmus's treatise marks, for rhese areas roo, a point on rhe curve of out rhe Orient roday. Bur delicacy forbids rhat one greer anyone encountered in
civilizarion which represents. on rhe one hand. a notable rise of rhe shame chis posirion.
threshold, compared ro rhe preceding epoch; and on rhe ocher, compared ro more The different srnndard is also visible when Erasmus says ir is not civil ro
recent rimes, a freedom in speaking of namral functions. a "lack of shame". require that rhe young man '\tntris thmm rerinear" (hold back his wind), for in
which ro most people adhering ro rhe present-day standard may ar firsr appear doing so he might. under the appearance of urbaniry. comracr an illness; and
incomprehensible and often "embarrassing" Erasmus comments similarly on sneezing and relared acts
_ Bur ar rhe same rime, ir is quire clear char chis rrearise had precisely rhe Healrh consiclerarions art nor found very frequently in rhis treatise. \Vhen
tuncrion of culrivaring feelings of shame. Reference ro rhe omnipresence of rhev do occur ir is almost alwavs. as here. ro oppose demands for the resrraint of
angels, used ro jusrify rhe restraint on impulses ro which rhe child was ro be funcrions; whereas above all in rhe ninereenrh century, rhey nearly
accusromed, is very characteristic. The foundations for rhe anxierr which was alwavs serve as insrrnmtnts ro compel rescraint and renunciarion of rhe gratifica-
aroused in young people, in order ro compel rhem ro suppress display of rion. of drives. Ir is only in rhe rwenrierh century rhar a slight relaxarion
pleasure in accordance wirh rhe standard of social condun, cham:ed in rhe course appears
of cenruries. Here, rhe anxiety aroused in connection wich th; renunciacion of 3. The examples from La Salle muse suffice ro indicate how rhe feeling of
drive gracificarion was explained and given substance ro oneself and others m delicacy was adrnncing. Again rhe difference berween rhe edirions of 1729 and
rerms of external spirits. Somewhat later, rhe resrraint which people had ro 177-:\ very insrrucrive. Certainly, even rhe earlier edirion already embodied a
impose upon rhtmselves. along wirh rhe fear, shame and distasre rowards an\ quite different standard of delicacy rhan Erasmus's rrearise. The demand rhat all
infringement. ofren appeared very clearly, ar least in rhe upper class. in namral funcrions should be remowd from rhe view of other people was raised
court! y-arisrocraric circle i cself, as social pressure, as shame and fear of ocher quire unequivocally. even if rhe urtering of rhis demand indicates char the acrual
people. In rhe wider sociecy, though. reference ro rhe guardian angel clearly beh,wiour of people-borh adulrs and children-did nor yer conform ro ir
remained ,-ery long in use as an inscrument for condicioning children. Ir receded Although La Salle said char ir is nor very polite even ro speak of such functions
somewhat when damage ro healrh and "hygienic .. were given more or rhe parts of rhe body concerned. he himself srill spoke of rhem with a
emphasis in bringing abom a certain degree of rescrainr of impulses and a minmeness of derail asronishing ro us; he called things by rheir names, whereas
specific modelling of emotions. These hygienic reasons rhen played an important rhe corresponding rerms are missing in Courtin's Cil'ilite of 1672, which was
role in adult thinking abom civilization, usually wirhour cheir relacion ro rhe inrended for rhe upper classes .
arsenal of childhood condicioning being realized Ir 1s onlv from such a In the lacer edition of La Salle. coo. all derailed refertnces were avoided . More
realizarion. however. rhac what is rational in them can be from and more these necessiries were "passed over in silence" The mere reminder of
116 The Cirilizi11g Pl'f!c2ss i11 rhe Bi:IJt1l'io111 o/ tht Semlm Uj>/m Classc.,- i11 th1: \Vi:st 117

chem had become embarrassing w people in rhe presence of ochers who were nor equa Is Incl
' become rhe upper., ruling. . _, class, that rhe familv"' became rhe_ only-or, _
close acquaintances. and in society everything that mighr even remorelv or xacrlv
more e . rhe primarv and dominant-institution with rhe tuncrion of
associarively recall such necessiries was avoided. . . 11 n'' drive conrroL Only then did rhe social dependence of children on their
1nsc1 1
A.r rhe same rimt, rhe txamples make ir apparent how slowly rhe real process parents become . important as a leverage for rhe socially required
of suppressing these functions from social life wok place. Sufficient marerial"r, rc"ulacion and mouldrng ot impulses and emonons.
has been passed down w us precisely because rhe silence on rhese subjects did not rhe srnge of rhe feudal courts, and still more in rhar of the absolme courts,
exisr earlier. or was less strictly observed. \\!bar is usually lacking is the idea char rhe courts themselves largely fulfilled this function for the upper class. In the
informarion of chis kind has more rhan curiosiry value, so char ir is seldom btcer srage, much of what has been made "second nature" in us had nor yet been
symhesized into a picmre of rhe overall line of development. However. if one inculGlted in rhis form, as an auromatically functioning self-restraint, a habit
rakes an overall view, a typical civilizing curve is again revealed. rhat, within cerrnin limits, also functions when a person is alone . Rather.
-4. A.r firsr rhese functions and rhe sighr of chem were invested onlr slighrlv restraint on the drives was at first imposed only in rhe company of others, i.e,
with feelings of shame and repugnance, and were rherefore subjected o;ly more consciously on social grounds. A.nd both the kind and the degree of
ro isolar10n and restraint. They were raken as much for granted as combing one's restraint corresponded to rhe social position of the person imposing rhem,
hair or purring on one's shoes. Children were conditioned accordingly. relative ro the position of those in whose company he or she was. This slowly
"Tell me in exact sequence". says the reacher to a pupil in a schoolbook of changes as rhe social distance between people is reduced and as the gradations of
1568, Mathurin Corclier's dialogues for schoolbovs,"- "what vou did between dependency relations, the hierarchical character of society lose their sharpness of
getting up and having your breakfast. listen caref:1lk bovs. so. char \'OLI learn ro outline A.s rhe interdependence of people increases with the increasing division
imitate your fellow pupil. .. "I woke up," says the ..got our of .bed, pur on of labour, everyone becomes increasingly dependent on everyone else, even those
my shirr, srockings and shoes, buckled my belt, urinated against rhe courtyard of high social rank on those people who are socially inferior and weaker. The
wall, rook fresh water from the bucker. washed my hands and face and dried hmer become so much the equals of the former that they, the socially superior
chem on the cloth, ere" people. can experience shame-feelings even in rhe presence of their social
In later rimes the action in the courryard. ar least in a book written like this inferiors Ir is only in this connection rhar the armour of restraints is fastened ro
one expressly as a manual of instruction and example, would haw been simply rhe degree which is gradually raken for granted by ptople in democratic
passed over as "unimportant" Here it is neither particularly "unimportant" nor indusrrial societies
particularly ''important". It is taken for granted as much as annhing else. To rake from rhe wealth of examples one instance which shows the contrnsr
A. pupil who wished ro report on this necessin todar would ,do either as a particularly clearly and which, correctly unclersrood, throws light on the whole
kind of joke. raking the invitation of the reacher. "too literally". or would speak development, Della Casa gives in his Gc1h1teo a list of malpractices ro be avoided.
of it in circumlocmions. Bur most probably he would conceal his embarrassment One should nor fall asleep in company, he says; one should nor rake om lerrers
with a smile, and a "complicit" smile from the others. rhe expression of a more and read them; one should nor pare or clean one's fingernails . "Furthermore", he
or less minor infringement of a taboo, would be the response. continues (p. 92), "one should nor sir wirh one's back or posterior rurned towards
The conclucr of :idulrs corresponded ro these different kinds of condirionin" another, nor raise a thigh so high rhar rhe members of rhe human body, which
For a long period the street. and almosr any place one happened ro be, served ti:; should properly be covered wirh clorhing at all rimes, might be exposed ro view.
same and related purposes as rhe courtyard wall abo\e. Ir was nor even unusual For this c111d similar thi11:;s are 11r1! done. e.\etpr tlli!rillg J11:r1/>ft 1chom om is 110!
ro rum ro rhe staircase, rhe corners of rooms, or rhe hangings on rhe walls of a t1shc1111ul (st non rra quelle persone, che l'huom non riverisce) It is trm that cl grMt
castle if one were overtaken by such a need. Examples E and F make rhis clear, lord might do so om of his serzmi/J" or i11 the /m;swce of a Ji'iwd of loli'i:I' ra11k: far in
Bm rhey also show how, given rhe specific and permanent interdependence of this he 1coiild 11ot sho1c him arrogance !Jiit /'{/ther a partimlar C111d fi'iwdship,"
many people living together at the courts, rhe pressure exerted from above There were people before whom one was ashamed, and others before whom
towards a stricter regulation of impulses, and therefore rowards greater restraint, one was nor. The feeling of shame was clearly a social function moulded
grew in strength . according ro rhe social structure. This was perhaps not often e.\j>ressed so clearly.
Stricter control of impulses and emotions was first imposed by chose of high Bur rhe corresponding bthm'io11r is amply documented . In France, 68 as late as the
social rank on their social inferiors or, at most, their social equals It was onlr seventeenth century, kings and great lords received specially favoured inferiors on
comparatively late, when bourgeois srrara with relatively large numbers of soci,;I occasions on which, a German saying was later ro run, even the emperor should
118 Pn;tlSs
119

bt alont. To rtctivt inftriors whtn gt[[ing up and being drtssed, or on going to Jiscoveries. On rhe contrary, fr would nm be very difficult demonstrate rhe
bed, was for a \\bolt period a maner of course. A.nd it shows exactly tht same . . ,sis 111cl 1)s\cho!!enes1s ot these 1mennons and d1scovenes
.;ooouent ' - ._, - . - .
". in con unction with a gtneral rrnnstormar1on of human relations. a
srngt of the shame-teelings when Voltaire's mistress, the !\larquist de Chatelet, c
Bor once. 1 ' _ .
shows herself naked to her servam while bathing in a way diat casts him inro . ,- hunnn needs v\"lS set in motion, rhe de\elopment of a technical
res11ap1ng o1 , . .
confusion. and rben wirh rornl unconcern scolds him btcause ht is nm pouring . corrcsi)ondinu ro rbe chanued standard consolidarecl the changed habHs
appar,1rus - o . ei .

in rht hot water properly..<"! wan excrwrdin-1f\'


' ' . de,ree.
c
This appararns senecl both the constant reproduc(lon
Behaviour which in more democratized industrial socitries has become of the standard and irs dissemination.
lt is nor uninteresting ro observe rhar today [in che 19.">0s, the rranslaror}.
surrounded on all sidts wirh rnboos. with learned feelings of shame or embarrass-
.s snnd1rd of conduct has been so heavih consolicbted that it is taken
ment of varying degrees. was at this earlier period only partially so surrounded. wl1en r 111 ' ' .
Ir was omirrtd in tht company of those of higher or equal rank. In this area. roo,
-
tor (rnu1 red , 1
' cert11
n relaxation
. is strring.__, in. l'arricularlv
. in companson to the
"'
n1ntretn
tll cenrur\. ' 1r
'
le1sr
'
wich reuard ro wlk about the natllral functions. The
coercion and restraint were self-imposed on rhe same pattern as was \isible b .
.-rreecIorn '-111 c! hck
' of inhibition with which people sav what has ro be said
earlier in cable manners. "Nor do I believe", wt read in Galateo (p. 580), "that ir
without embarrassment. wi[hom rhe forced smile and laughter of a wboo
is fi[[ing ro serve from rhe common dish intended for all guests, unless rhe server
t- 11 uemtnt has clearly increased in [he posr-war period Bm this, like modern
is of higher rank so rhar rhe other, who is served, is thereby especially honoured. !11flo , . - .
ba[hing anJ dancing practices, is only possible because the level of hab1tllal.
For when this is clone among equals. it appears as if rhe sener is parth placing
and insrirnrionally consolidated self-control, the individual ca1x1ciry
himself above the others."
to restrain one's urges and behaviour in correspondence with the more advanced
In this hierarchically structllred society, ewry act performed in rhe presence of
feelings for what is offonsi\'e, has bttn on the wholt secured. Ir is a relaxation
many people rook on prestige rnlue. For rhis reason the restraint of rhe emotions,
within rht framework of an already established standard
that we call "politeness'', also had a different form from what it became later,
6. The sr<mdard which is emerging in our phase of rht civilizing process is
when outward differences of rank had been parrly len:lled. \\!hat is mentioned characrerized by a profound disrance berwten rhe behaviour of so-called "adults ..
here as a special case in intercourse between equals. that ont should nor strvt and children The children have in rhe space of a few years w attain rhe advanced
anothtr, later btcamt a gtntral practice . In company e\eryont helps themselves, level of shame and revulsion rhar has de\'eloped over many cenmries. Their dri\es
and everyone begins earing ar rhe samt time. musr be rapidly subjected to the strict conrrol and specific moulding that gives
The sitllation was similar with rhe exposure of rhe body. First ir became a our socitries their srnmp, and which developed very slowly owr centuries. In this
distasteful offence ro show oneself exposed in any way before those of higher or the parents ,ue only rhe (ofren inadequate) instruments, the primary agents of the
equal rank; with inferiors ir could even be a sign of good will. Then. as all conclirionins: through rhtm and thousands of orhtr instruments it is always
become socially more equal, it slowly became a general offence. The social socien as a whole, rht entire figuration of human beings. rhar exerts irs pressure
determination of shame anJ embarrassment-feelings receded more and more on new generation, forming rhem more or less perfectly
from consciousness. Prtcisth because rht social command nor w expose oneself In rhe J\Iiddle Ages, roo. ir was the society as a whole which exerted this
or be seen ptrformi,ng natllral funccions now operates with regard to e\eryone formative pressure, t\'en if-ir remains ro show this more exactly-the mecha-
and is imprinted in this form in children, ir seems w adults robe a command of nisms and organs of conditioning. particularly in rhe upper class, wert in large
their own inner selves and rakes on che form of a more or less rornl and aurnmaric part different from rhose of rnday.. Bur above all, rhe control and restraint to
st 1f-res r rai nr which the drive life of adults was subjected was considerably less than in the
5. Bur this weeding out of rhe namral functions from public life, and che following phase of civilization, as consequently was tht difftrence in behaviour
corresponding regulation or moulding of drives, was only possible because, between adults and children.
together with growing sensitivity, a rtchnical <lppararns was developed which The individual inclinations and tendencies which medieval writings on
solved fairly satisfactorily rhe problem of eliminating chese funccions from social eriquerre were concerned to control were ofren the samt as can be frequently
lift and displacing rhem behind che scenes. The sirnarion was nor unlike rhat obser,.ed in chilJrtn today However, they are now dealt with so early rhar
regarding cable manners. The process of social change, rhe advance in rhe certain kinds of "bad habit" which were quire commonplace in rhe medieval
frontiers of shame and rhe threshold of repugnance, cannot be explained by any world scarcelv manifest themsehes in present-day social life
ont thing. and certainly nor by che development of technology or by scientific Children r.oday ,1re admonished nor ro snatch whatever they want from the
120 The Ciz'i!izing Pmass Chm1gcj i11 ihe Buh,11io111 of the Scm!t1r Upper C!mses in the \Vest 121

ca_ble, and nor ro scratch rhemstlves or rouch their noses, ears, eyes or other parts nu with rhe earlier standard. incomparablv weaker than ours. Consequently,
keep1 o . .
or their bodies at table. The child is instructed nor ro speak or drink \virh a full he social prohibition on rhe express10n of such feelings was much less grave.
moll[h, or ro sprawl on the cable. and so on ..Many of these precepts art also to behaviour was nor regarded as a "pathological anomaly'' or a "perversion",
be found in Tannhiiuser's Hr;fz!!cht. for example, bll[ there rhey are addressed nor bur rather as an offence against mer, courresy or good form
ro children bll[ unequivocally ro adults. This becomes still more apparent if one Della Casa spoke of this "bad habit" with scarcely more emphasis than we
considers the way in which adults earlier satisfied their natural needs. This verv might roday speak of someone biting his or her nails in public. The very fact rhar
often happened-as the examples show-in a manner that would be jus't he of 'such things" at all shows how harmless this practice rhen still
rolerared in children roday. Often enough, needs were satisfied where and when appeared. . . . .
they happened to be felt. The degree of resrraint and control over drives expected Nevenheless, m one way this example marks a rurnmg-pomr It may be
by adults of each other was not much greater rhan that imposed on children. The supposed char affect-expressions of this sort were nor lacking in the preceding
disrance between adults and children, measured by that of roday, was slight. period. Bur only now did they _begin ro attract attention . Society_ was _gradually
Today the ring of precepts and regulations is drawn so rightly about people, beginning ro suppress the pos1tne pleasure component 1n certain funcnons more
the censorship and pressure of social life which forms rheir habits are so strong, and more strongly by the arousal of anxiety. Or more exactly, it was beginning
that young people have only two alternatives: ro submit ro the pattern of to "privatize" them, ro force them imo the "inside" of individuals, into "secrecy",
behaviour demanded by society. or to be excluded from life in "decent societv". and to allow rhe negatively-charged affects--displeasure, revulsion and
A child that does nor attain rhe level of affect-moulding demanded by socier; is repugnance-co be the only socially allowed feelings rhar art dtveloptd through
regarded in varying gradations from rhe standpoint of a particular caste or class, socializarion. Bm precisely by this increased social proscription of many impul-
"ill", "abnormal", "criminal", or just "impossible", and is accordingly excluded ses, by their 'repression" from the surface both of social life and of consciousness,
from the life of that class. Indeed, from a psychological point of view, rhe terms the distance between rhe personality srrucmre and behaviour of adults and
"sick", "abnormal", "criminal'', and "impossible" have, up ro a certain point, no children was necessarily increased.
other meaning; how they are undersrood varies with rhe hisroricallv mutable
models of affect formation .
VI
Very instructive in this regard is the conclusion of Example D: "Ir is far less
proper ro hold out the stinking thing for the orher ro smell, ere." A drive- On Blowing One's Nose
formarion and behaviour of this kind would, by today's standard of shame and
revulsion, simply exclude a person as "sick", "pathological". or "perverse" from
Examples
mixing wirh others. If the inclination ro such behaviour were manifested
publicly, the person would. depending on his or her social position. be confined
A
indoors or in a mental institution. At best, if this rendencv were only manifested
behind the scenes, a specialist in nervous disorders would -be assigned rhe cask of
Thirteenth century
From Bonvesin de la Riva (Bonvicino da Riva), De !t1 zi11q11t111ta cortexit dt1 tctl'ola
correcting this person's unsuccessful conditioning. In general, impulses of rhis
(Fifty table courtesies):
kind have disappeared from the waking consciousness of adults under rhe
(a) Precept for gentlemen:
pressure of conditioning. Only psychoanalysis uncovers them in rhe form of
unsatisfied and unsatisfiable desires which can be described as rhe unconscious or
\'\!hen you blow your nose or cough. mm round so that nothing falls on the cable.
the dream level of the mind. And these desires have indeed in our society the
character of an "infantile" residue, because the social standard of adults ma-kes a
(b) Precept for pages or servants:
complete suppression and transformation of such tendencies necessarv, so that
rhey appear, when they occur in adults, as a "remnant" from childho;d
Pox la tremena e quesrn:
The standard of delicacy represented by Gtt!atuo also demanded a detachment zaschun correse donzello
from these instinctual tendencies Bur the pressure to transform such inclinations Che se vore mondil lo naxo,
exerted on individuals bv socierv was minimal compared to rhar of roda\. The con Ii drapi se faza bello;
feeling of revulsion. disgust aroused by such behaviour \\:as. in Chi mangia, over chi menesua,
in rhc Beh:11io11r of thl Sw!lar U/1/nr Classes iii the \'Vi:sr 12.'\
122 The Ciri/i::;i11g Pr1J<cSS

no Je'sofi11 con le clie: [From dH: scholia on this passage:]


Berween snot and spit there is litrle difference. except that the former fluid is w be
Con Ii Jrapi da pey se monda
vosrra correxia ;: inrerpn:red <lS coarser and the Lurer more unclean The Latin writers consrandy confuse
a bre,istband. a napkin or any piece: of linen with a handkerchief

B
F
Fifteenth century?
From Ei11 spmch du :::c tische kl:rt.: 1558
Frnm GtdC1teo. by Della Cas,1, quoted from the five-language edition <Geneva,
le is unseemly w blow your nose inrn rhe rableclorh 1609), pp. 72, 44, 618:

c You should not offer your handkerchief w anyone unless it has been freshly
From sw.wizwt !es (f;l/fci/{l//!H de !Cl tc1hle: washed
Nor is ir seemly. ,1fo:r wiping your nose. to spread om your handkerchief and peer
XXXIIl into it as if pearls and rubies might have fallen our of your head
Do not blow your nose wirh rhe same han<l that you use rn hol<l the me<n.''"'' \\!hat. then. shall I say of those who carry their handkerchiefs abom in their
mourhs?
D
From A. Cabanes. 1\foe111J intimes di! tm1ps pass!! (Paris, 1910), lsc series, p . 101: G
from Cabanes, 1\foum inti111ts, pp" 103, l68, 102:
In the fifreenrh cenrury people blew rheir noses into their fingers, and rhe scul pm rs of
the age were nor afraid to reproduce the gesrnre, in a passably realisric form, in their [From J\farrial cl Aun:rgne. "Lon: decrees'] in order that she might remember him.
monuments he decided to have one of rhe mosr beauriful and sumptuous handkerchiefs made for
Among the knights. the plourans. at the grave of Philip rhe Bold at Dijon. one is her. in which his name was in leners enrwinecl in the prettiest fashion, for it was joined
seen blowing his nose into his coat, another inro his fingers. co a fine golden hearr bordered with tiny hearr's eases,,..,...

E [From Lesroil.}li1m1al d'Henri !\'] In 159-l. Henri IV asked his valet how many shim
he [the King] had. and rhe larrer replied: "A dozen, sire, and some mm ones ... "And
Sixteenth century
how many handkerchiefs;" asked the king "Have I nor eight?" "For the momenr rhere
From De civi!itate iil1Jri1111 /J11erili11111, by Erasmus, ch . l:
are only fi,e. he said

To blo\\ your nose on your hat or clothing is rustic, and tu do so with the arm or elbow
In 1599. afrer her death, the imemory of Henri !V's mistress is found rn contain "five
befirs a tradesman: nor is ir much more polire w use the hand, if \'OU immediatelv
handkerchiefs worked in gold. silver and silk. worrh 100 crmrns"
smear the snor on your garment. Ir is proper to wipe the noscrils \\'iti1 a handkerchief.
and rn do rhis whi)t mming aw,1y, i/ Ji/or, hono111'ahfc /v1plc ar, pr<Swt
In the sixteenth century. Monreil tells us, in France as everywhere else. 1h, 01111mo11 /1,opf,
If anyrhing foils rn rhe ground when blowing the nose ,,ith rwo fingers. ir should
hku thr:ir n11sr::s u itholt! d h:nulkc..,rchir:/ h111 illlJrmg thr.. hourgr:oisic.. it i.1 t/((tj1hcf jn'd(fi(c.. ft1 !!St
immecliarely be rroclclen awa\' to .Lt) that
//_Ii: J/u..Fc' As tlh ri(h. C:irJ) d in thr::ir
h;1s tcudth, r1ih Sd)S tlut hr:: dou not /;/ou his nose: (JIJ his sherc
meaning of passage (b) is not entirely clear \\1har is apparent is that it \Vas ad<lrtssed especially
topeople who strYtd at cable. A commenrnror, Ugucciont Pisano, savs: "Those are called
who art handsomt. young. and tht sen;:mts of grtat lords Thtst. doni::1-l!i were not allowed ro
H
sit at the s;:1me table as the kni_shts; or, if this was ptrmitttd, thty had to sit on a lower chair The\, Late seventeenth century
pages of a kind and at any rate social inferiors. were told: The thirty-first counts\ is The Peak of Refinement
,i,urfois 'Jonzel who wishes to blow his nose should beautify himself with a cloth. \\;hen he is
First Highpoint of Consolidation and Rescrictions
or string ht should not blow (his nose?) through his fingers. Ir is ,:1110'/ois ro use rhe fm;t
bandage ..
This cloth was intended to be hung from the lady's girdle. with her keys Like the fork. night-
According to an editors nott ([J.;L Br,,,J:. Yo! 2. p. 1-!L courtesy consisted in blowin<> the
commode. etc, tht handktrchitf is first an expensiYt luxury arriclt
nose with tht fingers of the left hand if one are and rook meat from rht dish with the
"'
12-i The Cil'ilizi11g Process Ch1111gc.r i11 the B2hario11r of t!Jt S1:wlar Upper Clmse_r in the \\'!i:st 125

1672 how improper ic is rn see such uncleanliness on clothes. which should always be very
From Courrin, 1'\r111rcd11 traite de (i1i!ite: clean. no matter how poor they may be
There art some who put a finger on one nostril and by blowing through their nose
nist onw the ground the filrh inside; those who act thus are people who Jo nor know
{Ac cable] to blow your nose openly inrn your handkerchief, withom concealing
yourself with your serviette, and to wipe away your sweat with it are filthy habits what decency is
You should always use your handkerchief to blow your nose. and rn:ver anything else.
fir co n1akt everyone's gorge rise,
and in doing so usually hide your face with your hat. {A particularly clear example of
You should amid yawning, blowing your nose and spitting If you are obliged to do
so in places that are kept clean, do it in your handkerchief, while turning your face the dissemination of courtly customs through this work]
You should avoid making a noise when blowing your nose Before blowing it. it
away and shielding yourself with your left hand, and do nor look into yom handkerchief
afterwards
is impolire rn spend a long time raking out your handkerchief Ir shl/11 s 11 /,u'k (Jf rc.1;1ccr
111
u,mlr the />,of'/, )'111 ttrc: 11 ith rn unfold it in different places to see where vou are ro use
it. You should rake your handkerchief from your pocket and use it quickly in such a
I
wav chat you are scarcely noticed by mhers
1694 After blowing your nose you should take care nor to look into your handkerchief It
From Menage, Dictio1111airc etymologiq11e cit la lcmg11e is correcr to fold it immediately and replace it in your pocket

Handkerchief for blowing the nose.


L
As this expression '"blowing the nose "ives a vet\' impression ladies ou"ht
to call this a pocket htrndk;rchief, as says neckerchief, rather than a 1774
blowing the nose. [NB 1\fo11choir dc poch,, T(1Schent11ch, handkerchief as mote polite From La Salle, Les Regkr de la himsiance et de!{/ cirilite dm:tie1111e (177-i ed). pp 1-if.
expressions; the word for functions that have become disrastefol is suppressed ] The chapter is now called only "On the Nose" and is shortened:

Eighteenth century E,ery nilunrnry movement of rhe nose. whether mused by the hand or otherwise. is
Nore che increasing distance between adulcs and children Onlv children were impolite and childish To put your fingers imo your nose is a rernlting impropriety.
and fron1 touching it roo often ?Jld) .nik u hid1 ,;rt :.1 fr!llg rillh ;;-
scill allowed, ac lease in che middle classes, to behave as adults did in che Middle
Children are sufficiemh in the habit of committing this lapse; p:1r,111J .h"J!id c"1;r;"t :hc:m
Ages.

] '{ou should obserw, in blowing your nose. all the rules of propriety and cleanliness
1714
From an anonymous Ciri!ite jim1fc1ise <Liege, 171-i), p. 141: All derails are avoided. The "conspiracy of silence" is spreading. Ir is based on
rhe presupposition-which evidently could not be made at the rime of the earlier
Take good care not to blow your nose with your fingers or on your sleeve lik, childr,n; eclicion-char all the derails are known co adults and can be comrolled wirhin
use your handkerchief and do not look Into it afterwards. cht family

K M
1729 1797
From La Salle, Les Reg/es de la biemec111ce et de la cil'ilite dm!tie1111e (Rouen, 1729), in From La Mesangere, Lt zoyt1ge11r de Pcll'is (1797), vol. 2, p 95. This is probably
a chapter called "On the Nose, and the Manner of Blowing che Nose and Sten, to a greater excenr chan the preceding eightetmb-cenrury examples, from
Sneezing", p. 23: the point of view of the younger members of "good sociecy";

It is very impolite to keep poking your finger into your nostrils, and still more Somt years ago people made an art of blowing the nose Ont imitated tht sound of the
insupportable to pm what you have pulled from your nose into your momh
It is vile to wipe your nose with your bare hand, or to blow it on vour sleeve or vour *This argument. in the earlier edition. shows clearly how rht
clothes It is very contrary to decency to blow your nose with two fingers and the,n to was p:raJuall: bt:ginning to tmergt: as an insrrumtnt of conditioning. ofrtn in place of tht remin<ltr
throw the filth onto the ground and wipe your fingers on your cloches. It is well known about tht resptct Jue rn social superiors
IT
126 Thr. P111(cJY

rrun1peL anorhcr tht: scn:ech of a cat Perfecrion la;, in n1aking: neither too n1uch noise it (Examples E H, L K, L) Ir almost seems as if inclmations which had
nor rno litde _ b . . eel w a certain control and resrraim by rhe llltroducrion or tht
bten ,u 1ecr . . .. ..
] . t' seekinu a new ouder Ill chis way Ar am rare, a dnve which
h;!lld kere 1ie c c . c . . . . . . . , . . . .
,. rs 1r most Ill rht unconscious. Ill dreams, Ill the sphere or secrtc\, or
Comments on the Quotations on Nose-Blowing roday ap1x' ' 1 . .. . . . . . . .
. ... ush onlv "behind rht scenes , rhe rmeresr Ill bodily secreuons, heie
more consLl 0 . . . . . . .
In meditrnl sociecy people generally blew rheir noses inco rheir hands, just
, -If u rn earlier srnr.;e ot rhe historical process more cltMly and optnl],
shows l rse ' ' c .. . . . .

as rhey art wirh rheir hands . Thar nectssitartd special preceprs for nose-cleaning _ . form in which coda\ ir is only "normally ns1ble m children
an d ,o lll '1 . . . .. .
ar cable. PolHeness, (o;nf//isic, required char one blow one's nose wirh rhe left , l lir-r edition ot La Salle, as 111 orher cases, rhe major part ot rhe \et}
in tie ' c . . ,

hand if ont rook meat with the righr. Bur this prc:cc:pr was in fact resrricred to 1 ! . recei1rs from die e<ulier one were omirred The use ot the hanclkerch1d
aenu
l ec 11
rhe cable. Ir arose solely out of consideration for ochers. The disrnsreful feeling had become more general and self-evident It was no longer necessary to be so
1 . llforeover chert was less ,rnd less inclination rn speak abom these derails
frequendy aroused today by rhe mere rhoughr of soiling rhe fingers in chis way exp11c1L 1 , . . . . . .
was ar first entirtly absent . , L S lle ori "inalh discussed \\'Hhout rnh1bmon and at length \\ irl10ut
rnar ,1 '1 "' , .

Again rhe examples show very clearly how slowly rhe seemingly simpltst -mb, rrassmenr More srress, on rht ocher hand, \\'<lS laid on children s bad habit
1
instruments of civilizarion have developed. They also illustrate to a certain ".- 'n" rbe finuers in rht nose. And, as with other childish habits, the health
ot putci c c _ . . .
degree rhe particular social and psychological precondirions that were required ro " 110 w 11)1)t"ued alongside or in jJlace ot rhe social one as <lll lllStrumenr ot
svarn1nt:" ' - ' ,__
make the need for and use of so simple an insuumem general The use of the conditioning, in rhe rettrence w the harm char could be done by doing "such a_
handkerchief--like that of rhe fork-first established itself in Irak and was thine:" roo often This was an expression of ,1 change in rhe manner ot
diffused on account of its prestige rnlue. The ladies hung the precious, richly conditioning that has already been considered from ocher aspects. Up rn d1is
embroidered clorh from their girdles. The young "snobs" of the Renaissance offer rime, habits were almost always judged expressly in rhtir relation w orher
it co ochers or carried it about in their mouths. And since it was precious and people, and chey ,1re forbidden, ar lease in rht secular upper class, because ..they
rtlati\ely expensiw, at first there were nor many of chem even among rhe upper might be troublesome or embarrassing ro ochers. or because they betrayed a lack
class. Henri IV, at rhe end of rhe sixreemh cenwry, possessed (as we hear in of respect". Now habits were condemned more and more as such. nor 111 reg<ud
Example Gl five handkerchiefs. And it was generally raken as a sign of wealth ro ochers. In chis way, socially undesirable impulses or inclinations become more
nor ro blow one's nose imo one's hand or sleeve bm into a handkerchief Louis radicalh- suppressed. Thev become associated with embarrassmem. fear, shame or
XIV was rhe first rn hme an abundam supply of handkerchiefs, and under him guilr. when one is alone 11uch of what we call "morality" or "monil"
rhe use of them became general, ac lease in comely circles ;easons has rht same function <lS "hygiene" or "hygienic" reasons: ro condition
2 . Here, as so ofrtn, rhe transitional siwarion is clearly visible in Ewsmus. Ir children rn a certain social standard ;\foulding by such means aims ar making
is proper rn ust a handkerchief he says, and if people of a higher social socialh desirable bth,1viour aurnm<1tic a matter of self-conrroL causing it to
are present, wrn away when blowing your nose. Bm he also says: If you blow appea; in rht consciousness of indi\iduals as the result of their own frte will, rnd
your nose with rwo fingers and something falls rn rhe ground, cre,1d on ir. The in rhe inreresrs of rheir own health or human dignity. And it was only with rht
use of rhe handkerchief was known but nor yet widely disseminated, t\tn in rhe advem of rhis wa\ of consolidating habits, or conditioning. which gained
upper class for which Erasmus primarily \\rote predominance wid; rhe rise of the middle classes, char conflict berwttn rhe
Two cenrnries later, rhe sirnacion was almosr reversed. The use of rhe socially inadmissible impulses ,rnd rendtncies, on the one hand, and the pattern
handkerchief had become general, ar lease among people who lay claim w "good of social demands anchored in individuals, on rhe od1er, wok on rht sharply
behmiour.. Bm rhe use of rhe hands had by no means disappeared Sten from defined form cemral ro rhe psychological theories of modern rimes-above alL ro
abme, ir had become a "bad habit", or at any rare common and vulgar. Ont reads psychoanalysis. Ir may be "char rllere have always been .. "neuroses" But the
with amusemem La Salle's gradations berween cilc1i11, for certain ven' cm1rse wavs "neuroses" we see about us today art a specific hisrorical form of psychic conflict
of blowing rhe nose with rhe hand, and tres (011trairi: ti Ill for rhe which needs psychogenetic and sociogeneric illumination.
manner of doing so with two fingers <Examples H, J, K, L). _:;. An indication of rhe mechanisms of suppression may already be comained
Once the handkerchief began to come into use, there consrnmh recurred a in rht rwo verses qumecl from Bonvicino da Rirn (Example Al. The difference
prohibition on a new form of "bad habit" thar emerged ar the sam; rime as rht between wh<H was expected of knights and lords. on rhe one hand, and of the
ne\\' pracrice-d1t prohibirion on looking into one's handkerchief when one had c/11/!i:el/i, pages, or servants, on rhe ocher, calls to mind a much clocumemed social
128 Th, Cfrili::i11g Prr1(t.>s Ch:lilges i11 tbe Behal'irwr of thu Sew!m UjJf7er Classes in the \Vist 129

phenomenon. The masters found the sight of the bodilv functions of theu b' sed JJrimarilv on consideration and respect due to others and above all to
0
a . -
servants disrasrefol: they compelled them, the social inforiors in their immediatf ' l superiors. In rhe subsequent stage, renunciation and restraint of impulses
50(1<1 - . '-- ..
surroundings, ro control and restrain rhese functions in a wav rhar they did were compelled far less by parncular persons: expressed provisionally and
at first impose on themselves. The verse addressed ro the masters says simply: If .nnrelr it was now, more clirecrlv than before, the less visible and more
appro Xl ' , ' . . . ...
you blow your nose, rurn round so that nothing falls on rhe rable. There is no . -rsonal compulsions of sooal 1nterclependence, the cl1v1s10n of labour, the
J!1ljA ' ' . . . . .
mention of using a cloth. Should we believe that rhe use of cloths for cleaning arker and compet1t1on rhar imposed resrramt and control on rhe impulses and
the nose was already taken so much for granted in rhis society rhar ir was no :motions. Ir is these pressures, and rhe manner of conditioning and instilling
longer thought necessary ro mention it in a book on mannersi That is highlv t ols mentioned above which correspond to them, rhar make ir appear rhar
con'
improbable The servants, on the other hand, were: expressly insrruned w use n;t ,ill\ desirable behaviour is voluntarily produced bv' rhe individual him or
SOC! ,
their fingers bur their foor bandages if they had to blow their noses. To be sure herself, on his or her own initiative. This applies ro rhe regulation and restraint
this interpreration of the two \erses cannot be considered absolutely cerrain. Bu; of drives necessary for .. work .. : it also applies ro the whole pattern according to
the fact can be freguently demonstrated that functions were found distasteful and which drives are modelled in bourgeois industrial societies. The pattern of affect
disrespectful in inferiors which superiors were not ashamed of in themselves. control, of what must and what must nor be restrained, regulated and trans-
This fact rakes on special significance when, with rhe emergence of absolutism formed, is ctrrninly nor the same in this srage as in the preceding one of the
that is at the absolute courts, rhe aristocracy as a whole had become court aristocracy. In keeping wirh its different interdependencies, bourgeois
hierarchically graded and simulraneousl> a serving and socially dependent society applies srronger rtsrricrions rn certain impulses, while in the case of
stratum. This at first sight highly paradoxical phenomenon of an upper class rhar others aristocratic restrictions are simply continued and transformed ro suit rhe
was socially extremely dependent will be discussed larer in another context. Hert changed situation. In addition, more clearly distinct narional patterns of affect
wt can only point out that this social dependence and its structure had decisive conr;ol are formed from the various elements. In both cases, in arisrocratic court
importance for the srrucmrt and pattern of affect restrictions. The examples societr as well as in rht bourgeois societies of the nineteenth and twentieth
con rain numerous indications of how these resrricrions were intensified wirh rhe the upper classes are socially constrained to a particularly high degree
growing dependence of rhe upper class. Ir is no accident rhar the first peak of The central role played by rhis increasing dependency of the upper classes as a
rehnement'" or '"delicacr .. in the manner of blowing the nose-and nor onlv motor of civilization will be shown later
here--came in the phase when the dependence and subservience of rhe arisr;-
craric upper class was at irs heighr, rhe period of Louis XIV (Examples H and
I) VII
The dependencv of the upper class also explains rht dual aspect which
On Spitting
behaviour patterns and instruments of civilization had at least in their formatin:
phase: they expressed a certain measure of compulsion and renunciation, bur rhey
Examples
always also sene as a weapon against social inforiors, a means of distinction.
Handkerchief, fork. plates and all related implements \Vere at first luxurr articles
Middle Ages
with a particular social prestige nlut (Exam pit G) .
A
The social dependence in which the succeeding upper class, rhe bourgeoisie,
lives, is of a different kind, certainly, from that of rhe court aristocracr, but rends
to be rather greater and more compelling . 27 Do nor spit over or on the rable
In general, we scarcely realize today what a unigue and asronishing phenom-
37 Do nor spir into rhe bowl when washing your hands
enon a "working .. upper class is. \\iln does ir work; \\/hr submit itself ro this
compulsion even though it is the rul.ing"' class and is nor commanded B
by a superior ro do soi The question demands a more derailed answer rhan is
possible in this context. \\/hat is clear, however, is the parallel to what has been
said on the change in rhe instruments and forms of conditioning During rhe 29 Do not spit on rhe rnble
sragt of the court aristocracy, the restraint imposed on inclinations' and 51 Do not spir into rhe basin when you wash your hands, bur beside ir
uo Th, Ciz'ili:::i11g PrlJlHS i11 th, Bch:11iom rf tht Sul!!dr Upper Clc1ssc.r i11 tht \Fest Ul

c In rht old days you could yawn. provided you did nor speak while doing so: today.
,
1
person of rnnk would be shocked by this

HS If thou spite on:r the borde. or elles opon,


thou schalle be holden an uncurrayse mon H
U.' Afrcr mtte when chou shall w;bshe. 1714
from an anonymous Ciriliti! jitlllfdist (Litgt. 171-i), pp. 6 7 -i 1:
spin nor in basyn, ne wacer thou dasshe.

Frcquenr spitting is disagreeable. \\?hen it is necessary you should conceal it as much


D ;is possible. and avoid soiling either persons or rheir clothes. no matter who they ate.
From Zarncke, D,r dr11tscht Ct1to. p. 137: nor 6 cn rhe embers beside the fire. And wherever you spir. \'OU should put your foot
on rhe saliva
>-() Do not spit across the table in the manner of hunters
.At tlx hl!!!St:S rl tht. Olh spits i11fr1

Ir ill becomes you to spit out of the window or onro the tire.
E Do not spir so far that you have to look for the saliva to put your foot on it
1530
From Dt cil'ilitatc ll/fJl'l!i11 f'11crilim11. by Erasmus: I
Turn away when spitting. lest your saliva fall on someone. If anything purulent falls to 1729
tht
. ground. it should
. be trodden u1oon
- , ltst
- it n1useue
' ' som-one
e . JI- you arc nor at from La Salle, Les Rig/es cit la bic11si:111cr d cit lc1 cil'iliti chri!tic1111c (Routn, 17 29).
liberty tu do rlm. catch the sputum in a small cloth. It is unmannerly ro suck back p. 55:
saliva, as equalh are those "horn we see spirrini; 1r e\en- third word not f
but from habit. . ' . rom necessity
You should not abstain from spitting. and it is very ill-mannered to swallow what
should be spat. This can nauseate others
F Nevertheless. you should nor become accustomed to spitting too often. and without
1558 need. This is not onh unmannerly. but disgusts and annoys everyone \\"hm )"II di 11 jfh
uc!/-/;1,rn /1,0/1/c, and when you ate in places that are kept clean, it is polite to spit imo
From Gdc1tt 11. bv Della Casa . C]Lloced t-ron1 clle cuve- j anguage ecl icion (Geneva,
your handkerchief while turning slightly aside
1609), p. 570:
It is ewn good manners for everyone to get used to spitting inro a handkerchief
lt is also unseemly tor someone sittin at table ro scratch himself At such a rime and when in the houses of the great and in all places with waxed or parquet Hours. Bur it
place you should also abstain as far as possible from spitting. and if it cannot be is far mote necessary to acquire the habit of doing so when in church, as far as is
completely arnided it should be done politely and unnoricecL possible Ir often happens. howewr. that no kitchen or even srablt floor is dirtier
I have ofter. heard that "hole peoples have sometimes lived so moclerarelv and than that of the church.
conducted themseln:s so honourably that they found spitting quite unnecessan .\Xrlw. Afrer spitting into your handkerchief. you should fold it at once, without looking <H
therdon::. should not Wt too be able to refrain from it just fr>r a short rime' frhat it. and put it into your pocktr. You should rake grear care ntwr ro spit on your clothes.
during meals: the resmcnon on the habit applied only to mealtimes] or those of others If you notice saliva on the ground. you should immediately put
your foot adroitly on it. If you notice any on someones coat. it is not polite to make
it known: you should insttuct a senam ro remO\e it. If no sern1nt is present. you
G
should remove it yourself without being noticed. For good breeding consists m nor
1672
bringing to people's anention anything that might offend or confuse them.
From Courcin, 1\'0111-ec111 trniti! ,fL, cizi!iti!, p. 273:

The custom we h,ffe just mentioned does not mean that most laws of this kind are J
immutable. And just as chere are many that have already changtd. I have no doubt that 1774
many ot these will likewise change in the fuwre From La Salle, Les Ri:gles de la hiwsec111ce et de la cirilite chrdtiwm (1774 edn), p 20.
Fr1nt!lr!). c..'Xtlll!f'lc it u dS flr:n:itfrd !o s/1it Ml the: gro!!nd
In chis edition the chapter "On Yawning, Spitting. and Coughing," which covers
to /JJ1! 1J11t" s .r)IJ/ r111 tl.h .1J1lftlm1 Tod;1) 1h:11 is :n1
four pages in rhe earlier edicions, has shrunk ro one page:
1 _,_
' ) Tht Ciz'ilizing Process

In church. 111 tht: houses of rhe great. and in all places where cleanliness reigns, you . n" mourh or hands, bur beside ic These prohibirions were repeated
shen clean1 "' - . . . . . . . . '. ,
should spir into your handkerchief Ir is an unpardonably gross habit of children to spit . . reorrped a tash10n m rhe co11rtu1s codes of manners rhar one c,1n 1magme
in so ste . -, ,, , . - d. . l . .
in the faces of their playmares. Such bad manners cannot be punished too severely; nor c encr of this insrance ot bad manners . The pressure ot me 1eva socieq
rhe rreq u . . . . . l.
are those who spit out of windows. on walls and on furoirure ro be excused racrice never became so srrong. nor rhe condmonmg so compellmg. t Mt
on r liis p - . .- . . - b . . l
. . r d from soC!al lite Here agam we see rhe difference er\\'een soCla
ir d1s<1ppea e . '
K ls in rhe medieval and rhe subsequent srages.
conrro Ir was demanded rlur
1859 In rhe sixreenth century. social pressure grew srronger. .
From The Hc1bits of G()l)c/ Sr;ciety, p . 256: be rrodden upon-ar leasr if ir contained purulence, said Erasmus. who
sputum . . . . _ . f .
. ihvws marked rhe rransit10nal siruar10n. And here agarn the use o <1
here <IS ' ' . . .
Spiering is at all rimes a disgusring habit l need say nothing more than-never doth was mentioned as a possible, nor a necessary, way of controllmg d11s habit.
indulge in it Besides being coarse and atrocious, it is l"<IJ bml fir the hMlth
which was slowly becoming more disrasreful
The next srep is shown clearly by Courtin's comment of 1672:
L it was permirred to spir on rhe ground before_ people of rank, ..md was sufhcient
1910 [ O
ne's foor on rhe spurum . Todav. rhar 1s an mdecency.
- . .
From Cabanes, 1\Iowrs i11times, p. 264: Similarly, we find in the Cizi!iti of 1714, intended for a wider audience:
''Conceal ir as much ,1s possible. and avoid soiling eirher persons _or .. rhelf
Have vou noticed d1,u today we relegate to some discreet corner what our farhers did . Ar rhe houses of rhe grear, one s1)its into one's handkerchief
nor hesirnre to display quire openly' cIor l1es. . ' ..
In 17 29, La Salle exrended rhe same precept ro all places "rhar are kept clean
Thus a certain intimate article of furnirure had a place of honour no one rhoughr
And he added rhar in church, too. people oughr ro ger used to using rheir
of concealing ir from view
The same is rrue of anorher piece of furniture no longer found in modern house- handkerchiefs and nor rhe floor.
holds. whose disappearance some will perhaps regret in rhis age of "bacillophobia": I Bv 1774 rhe whole pracrice. and even speaking abour it. had become
am referring to rhe spittoon cons.iderably more disrasrefuL By 1859 "spirring is ar all rimes a disgusring
habir" All rhe same, ar least wirhin rhe house. rhe spittoon, as a technical
implement for controlling this habir in keeping with rhe advancing of
Comments on the Quotations on Spitting
delicacv, srill had considerable imporrnnce in rhe ninereenth century. Cabanes, m
0

1. Like the orher groups of examples, the series of guotarions abour spirring 1910. reminds us rhar, like orher implements (cf. Example L), ir had slowly
shows very clearly rhar, since rhe ,fiddle Ages, behaviour has changed in a evolved from a prestige object ro a private urensil
parricular direcrion. In rhe case of spirring, the movement is unmistakably of rhe Graduallv rhis urensil too became <lispensable In largt secrions of \Vesrern
kind rhar we call "progress". Frequent spirring is even roday one of rhe socierv eve.n the need to spir from rime to rime seems to have disappeared
experiences thar many Europeans find particularly unpleasant when travelling in A srandard of delicacy and restraint similar to rhar which Della Casa
rhe Easr or in Africa, rogerher wirh rhe lack of "cleanliness". If rhey starred out knew onlv from his reading of ancient writers, where "whole peoples . lived so
with idealized preconceptions, rhey call rhe experience disappointing, and find moderarely and so honorably rhar rhey found spirring guHe unnecessary
their feelings on the "progress" of \Vesrern civilizarion confirmed. No more rhan (Example FJ. had been attained once more _
four centuries ago, rhis cusrom was no less widespread and commonplace in the 3. Taboos and resrrictions of various kinds surrounded rhe ejection ot saliva,
\Vesr, as rhe examples show. Taken rogerher, rhey give a particularly clear other namral functions, in very many societies, borh ''primirive'" ;md
demonsrrmion of rhe way in which rhe civilizing process rook place. "civilized" \Vhar disringuishes such prohibitions is rhe facr rbar in rhe former
2 . The examples show a movement with the following stages: The Larin as rhev were alwavs maintained bv fear of orher beings, even if only imaginary ones-
well as rhe English, French and German guides ro table manners bear wimess to is, bv exre.rnal in the larrer rhey were rransformed more
rhe facr rhar in rhe Middle Ages ir was not only a cusrom bur also clearly a or less into internal consrrainrs. The prohibired rendencies (e.g., the
generally felr need to spit frequently. Ir was also emirely commonplace in rhe rendency ro spir) partly dis<1ppeared from consciousness under rbe pressure of this
courrs of the feudal lords. The only major restraint imposed was rhat one should internal resrrainr or. as ir may also be called. rhe pressure from rhe "superego"
nor spir on or over rhe table bur under ir. Nor should one spir into rhe washbasin and rhe '"habir of foresight" And whar remained in the consciousness as
13-i

mmi\arion was anxic:r1 in rc:larion ro some long-rerm consideration . So in our . .. co a scientific rhtory. to an argument that applies to all people equally.
rime rht fear of spini1:g. and rhe feelings of shame and repugnance in which it non ' ss of their rank and srarns. The pnmary - -
1mpu lse tor- t I11s
- s low rtpress10n
rei:.:ardl e. _ . .
is expressed. rake rhe form nor uf magical influencts. of gods. spirits or demons :- clr-n1rion rhat was formerly suong and w1des1)reacl dnes not come trom
ot an tr1 ' . - . - . '-- . . 1
bur of rhe more exactly circumscribed. more clear!) rransparem and lmv-like . I undersrandll1'' of rhe causes of illness. but-as \\tll be. d1scusseo 111 more-
rauon.i c .
picrnre of specific clistases and their "pathogens" Bur rhe series of examples also 1 1-t"r-from chants in rhe war ]JeO]Jle l!\e together. II1 rhe srrucrnre of
den11 d. L c . ._
shows H:ry clearly that rational undersrnncling of rhe origins of ctrrain diseases
of the clanger of sputum as a carrier of illness. was neither the primary cause of -
,L The modification of the manner of spitting. and hnally the more or less
fear and repugnance nor rht motor of civilization. die clrivin!!; force: of tllF
c - cornp let ,,. _ el 1-n1ination of the netd for it, is a '-good
- exam1Jlt of rhe malleabilin of
changes in behaYiour \Vith regarJ to spitting.
econom1 of humc1ns. le may be: rhar rhis need has been compensated
rhe " . . -
Ar first. and for a long period. rhe retention of spirrlt was expressly bv others (e.g , the need to smoke) or \\-eakened by certain changes of diet. But
discouraged To suck back salirn is "unmannerly". says Erasmus (Example E). it. is certain that rhe degree of suppression which has been possible in this case
7
A.nd as late as I 29. La Salle says: "You should nor abstain from spitting" is not possible with regard to many other drives. The inclination to spit. like
!Example IJ For centuries rhere was not rhe faintest indication of "hygienic that of looking ar rhe sputum. mentioned in rhe examples, is replaceable: it now
reasons" for rhe prohibitions and resrricrions with which the expression of the
111 ,111 ifests itself clearly only in children or in dream analyses, and its suppression
drive to spit was surrounded. Rational uoclersrnncling of rht clanger of saliva was is seen in the specific form of laughter rhat overcomes us when "such things .. are
attained only at a very lace srage of the change in behaviour, and rhus in a stnse spoken of openlr _
rerrospecrively, in the nineteenth century. And even then. rhe reference ro what Orhtr needs are nor replaceable or malleable to rhe same extent. And this
is indelicate and disgusting in such behaviour still appeared separarelv, alon!!;side raises tht question of rhe limit of the rransformabiliry of rhe psychic economy.
the reference ro its ill effects on health: "Besides being coarse and is \Vithour doubt. it possesses specific regularities that may be called "narnral"
n:ry bad for rhe health". says Example K of spitting The historical process modifies it within rhese limits. The degree to which
It is well to establish once and for all rhar something which we know to be human life and behaviour can be moulded by historical processes remains ro be
harmful to health by no means necessarih arouses fetlin!!;s of distaste or shame dererminecl in derail. Ar any rate. all this shows once again how natural and
And connrsely. somerhing that these feeling's need nor be at ali hisrorical processes interacr almost inseparably The formation of feelings of
detrimental to health. People who eat noisily or with their hands nowadavs shame and revulsion and advances in rhe threshold of repugnance art both at
arouses feelings of extreme distaste wirhour there being the slightest fear once oarnral and historical processes. These forms of feeling are maoifesrarions of
their heald1 But neither rhe thought of someone reading by bad light nor the human nature under specific social conditions, and they react in their rnrn on rhe
idea of poison gas. for example, arouses remorelv similar feelings of distaste or socio-historical process as one of its elements
shame. alrhough rht harmful consequencts for health are obvious. Thus. disgusr Ir is difliculr ro see \1-hether rhe radirnl conrraposirion of "civilization" and
and nausea ar the ejection of sali,-a intensified. and the taboos SL1rroundio'g it "nature" is more than an expression of rht tensions of rhe "civilized" psyche
increased. long before people had a clear idea of rht transmission of certain ge;ms itself, of a specific imbalance wirhin psychic life produced in the recent stage of
by saliva. \Vhar first aroused and increased the distasteful feelings ,. and r;stric- \Vestern civilization . At any rare, rhe psychic life of "primiriw" peoples is no less
rions was a transformation of human relationships and dependencies. "Earlier it historically (i.e. socially) stamped than that of "civilized" peoples. ewn if the
was permitted w yawn or spit openly: today. a person of rank would be shocked former are scarcely aware of their own history. There is no zero point in the
it". Example: G says. in effect. That is the kind of reason rhar people first gave historicity of human development, just as there is none in the sociality, the social
lor increased restraint. Motivation from social consideration existed long before imerdependence among people. In both "primitiw" and "civilized" peoples,
motivation from scientific insight. The king required rhis restraint as a "mark of there are socially induced prohibitions and resrricrions, rogerher with rheir
respect .. from his courtiers. Io court circles this sign of rheir dependence, the psychological counterparts. socially induced anxieties. pleasure and displeasure,
growing compulsion to be restrained and self-controlled. became also a "mark of distaste and delight. It is, therefore, at least nor entirely clear what is meant
distinction" that was immediately imitated below and disseminated wirh the rise when rhe former standard, that of so-called "primiti\es". is contrasted simply as
of broader strata.. And here, as io rhe preceding civilization-curves. rhe admoni- "natural" ro rhe hisrorical-social standard of "civilised" people . So far as rhe
tion "Thar is not clone". wirh which restraint. fear. shame and repugnance were psychological functions of humans are concerned, natural and hisrorical processes
inculcated. was connected only very late. as a result of a certain "democrariza- work indissolubly rogerher.
Thl Cizili:::illg Pmo.:_i-.r
Ch(/i!gt.r in thr Buhariom of the Swt!crr UjJjJer Clt1sses in the \Fest 137

VIII Ifrou share a bed wirh a comrade, lie quiecly: do nor toss wirh your body. for chis can
l;iy bare or inconvenience your companion by pulling away rhe blankets
On Behaviour in the Bedroom
Examples c
1555
A From Des honnes 1i1ot1trs tt hon nest es contenm1c<J. by Pierre Broe (Lyons, 15 5 5 ):
Fifteenth centurv
Stam />!!er i11 m:mam, an English book of table If you share a bed wirh anocher man. keep srill
manners from rhe period
l-!63-83 (A Boole ol - PrccudwC<.. London , 1869. p. 63): 1cike care nor rn annoy him or expose yourself by abrupt movemencs

215 And if chac ic forren so bv And if he is asleep. see char you do nor wake him
nyghc or Any cyme -
Thar you scha!l lye wirh Anv man
char is beuer than vou .
D
Spyre hym whar syde .of rhe bedd 1729
char most besc will ples hvm. From La Salle, Lu Rl:gkr de la hiemliance et de la ciri!ite dm!tie1111e (Rauen, 1729),
:\nd lye you on chi rnrher si:de, p. 55:
for rhar is rhi prow;
Ne go you nor rn bede before boc You ought neicher ro undress nor go ro bed in rhe presence of any ocher person
rhi becrer cause rhe, Above all. unless you ace married. you should nor go to bed in che presence of <Hwone
For rhac is no currasy, rhus seys of che ocher sex
docrour paler le is srill less permissible for people of opposite sexes rn sleep in rhe same bed, unless
chey are very young children
223 A.nc1 when you arte in rhi bed.
If you are forced by unavoidable necessirr co share a bed wirh another person of che
chis is curcasy,
same sex on a journey, ir is nor proper rn lie so near him char you disrurb or ewn couch
Srryghr downe rhar vou he wirh
fore and bond. , . him: and ir is srill less decenc rn pm your legs berween chose of che ocher.
Ir is also wry improper and impolite co amuse yourself wirh ralk and chacrer.
\vhen ze hme calkyd whar ze
\\?hen you gee up you should nor leave rhe bed uncovered. nor pm 1our nightcap on
wyll, b:.d h} m gode nyghc in bye
a chair or anywhere else where ir can be seen
For char is grer curras 1 so schall
thou understand ,,. -
E
If vou share rnur bed 1 l1 .
- _
t- l l
'tr a man o 11g 1er rank, ask him which side he prefers. Do 177-4
nor go co bed before your superior imires you: char is nor courteous, savs Dr Paler.
Then lie down srra1ghr and bid him goodnight. From La Salle, L:s Rl:gles de lt1 hit:i!SldilCe et de la ciri!itt! clm!tiu111e ( l 77-:i edn) p. 31:

Jr is a srrange abuse w make rwo people of differenc sex sleep in rhe same room. And
B
if necessicy demands ic, you should make sme rhac rhe beds are aparr. and char modesty
1530
dues not suffer in any way from this commingling" Only exrren1e indigence can exct;se
From De . Ft t !
w1 ta i: i11om111 /111tri im11, by Erasmus, ch . 12, "On rhe Bedchamber .. : chis pracrice
If you are forced to share a bed with a person of rhe same sex. which seldom happens.
W'hen you undress. when you !(tr up. be mindful of m cl. . cl k
_ _ . o tSt}. an ta e care nor co you should maintain a srricr and 1igilanc modesty.
expose rn che eyes ot orhecs anything char morality and nature require co be concealed
\\ihen you have awakened and had sufticienc cime rn rest, you should gee our of bed
wirh firring modesty and never stay in bed holding conversations or concerning
:;: To focilirnr_e comprthtnsion. the o!J spelling is nor rer..,roJuced
text can b e tuun J B/j,,L rf p. 63 '' . The philolo,trica!ly accurare yourself with ocher marrers norhing more clearly indicates indolence and frivolity:
rhe bed is imended foe bodily resr and for nothing else
138 Th:: Cfri!i:i11g Prr;c.:.iS Classt.i i11 the \\'i-.11 139

Comments on the Examples ound rhelf behmds. runnmg from rheir houses through the long
decorous 1Y 'll -
t midd<l\' ro rhe barbs How many compltrely naked boys of ren. rwelve.
srre e(s 'l .. --
l The bedroom has btcomt ont of rht mosr "private' and "inrimart" areas of - - on 'lfld sixreen run beside rhem.. .
tourteL ' . . I
human lift . Like mosr orhtr bodily funcrions, sleeping has been increasingly This lack of inhibition disappt:cutd slowlv 1n the s1xreenrl: and more rapic ly
shifred behind the scents of social lift. The nuclear family remains as rlit . l evenreenrh c:ighrtenrh and ninereenrh cenruries, hrsr m rhe higher
J[1 [ it ' L '

legirimare. socially sanctioned enclave for rhis and many orhtr human function;. . nd much more slowlv in rht lower. Up ro rhen, the whole mode of lite.
classes ,1 . .
Irs \i_siblt and imisible walls wirhdraw rhe mosr "privare". "inrimare". unsup- l "reuer
Wl( 1 IL5 u '-
closeness of individuals. made rhe sight of rhe naked .
body, at
press1bly "animal .. as peers of human txisrtnct from rhe sight of ochers lpasr i n rlie 1)ro11er

IJlace
incom1xuablv
more commonplace rhan m rhe hrsr
In medieval society this funcrion. roo. had nor betn rlms privariztd and "stages
o f. rlie n1odern 1"e '- c "\Ve reach the sur1Jrising conclusion",
. '- _ it has been said
stparared from rhe resr of social life. Ir was quire normal ro recei\e visirnrs in wirh reference ro Germany. "char rhe sight of roral nakedness was rhe
rooms wirh beds, and rhe beds themselves had a presrige value rtlared ro rheir everyday rule up ro rhe sixreemh cenrury.. Everyone und_ressecl complerely each
opultnct. Ir was \'try common for many people ro spend rhe nighr in rhe same evening bet.ore u"01.n" u
ro bed and likewise no clorhmg ,_
was \vorn m rhe
room: in rhe upper class, rhe master wirh his strvanr. rhe misrress wirh her maid irlis .. -, And rhis cerninlv a1J11lied nor onlv ro Germanv. People had a less
sream b ' '
or maids; in orher classes, even men and women in rhe same room.-_; and ofren inhibited-one mighr say a more childish-arrirude rowards rhe body, and ro
guesrs who were sraying ovtrnighr.-' manv of irs funcrions. Sleeping cusroms show rhis no less rhan barbing habirs.
.2. Those who did nm sleep in their clorhes undressed complerelr. In general . _',_'A special nighrdress slowly came inro use at roughly rht same rime as rht
people in lay sociery slepr naked. and in rhe monasric orders ei rher, fullr Ldressed fork and rhe handkerchief Like rhe or her "rools of civilizarion". it made irs way
or fully undressed according ro rht srricrness of rhe rules. The n;le of Sr rhrough Europe quire gradually And like rhem ir is a symbol of rhe decisive
Benedicr-daring back ar ltasr ro rhe sixrh cenrury-required members of rhe chang"e raking place at rhis rime in human beings. Sensiriviry rowards everyrhing
order ro sleep in dieir clorhes and even ro keep rheir btlrs on.' In rhe rwelfrh rhar came imo comacr wirh rhe body increased . Shame became arrachc:d ro
ctnrury, when rheir order became more prosperous and powerful and rhe asceric behaviour rhar had previously been free of such feelings. Thar psychological
consrrainrs less severe, rhe Cluniac monks were permirred ro sleep wirhout process which is already described in rhe Bible: "and rhey rhar rhey were
clorhes. The Cisrtrcians, when srriving for reform, rerurned ro die old Bene- naked and were ashamed"-rhar is. an advance of rhe shame trom1er. a rhrusr
dictine rule. Special nighrclorhes are never menrioned in rhe monastic rules of wwards grearer resrrainr-was repeared here. as so often in rhe course of hisron
rhis period, srill less in die dornmenrs. epics or illusrrarions lefr behind bv The lack of inhibirion in showing oneself naked disappeared. as did rhar in
secular sociery. This is also rrue for women. If anyrhing, ir was unusual ro performing bodily funcrions before orhtrs. And as this sight became less
clorhing on in bed. Ir aroused suspicion rhar one might have some bodilv commonplace in social life, rhe depiction of rhe naked body in arr rook on a new
defter-for what orher reason should rht body bt hiddtn'-and in facr rhi,s significance. J\Iort than hirherro ir became a dream image. an emblem of wish-
usually was rhe case. In rhe RrJ111:m d, la for example, we hear rhe serrnnr fL;llilmenr. To use Schiller's terms. it became "semimenral". as againsr the
ask her misrress in surprise why she is going robed in her chemise, and rhe Lurer "m1ive" form of earlier phases.
explains it is because of a mark on her body.-" [n rhe courr socierv of France-where gerring up and going ro bed, ar leasr in
This greartr lack of inhibirion in showing the naked body, and rhe posirion of the case of grear lords and ladies. was incorporated direcdy inro social life-
rht shame fronrier represenrecl by ir. are seen parricularh clear!\- in barhin" nighrdress, like e\erv orher form of clothing appearing in rhe communal life of
manners. Ir has been noted with surprise in larer ages rhar .knighr; were waired rook on rep;esenrarional funcrions as ir developed This changed when.
on in rheir barhs by women: likewise, rheir nighr drink was ofren broughr ro wirh rhe rise of broader classes, gerring up and going ro bed became more
rheir beds by women. Ir seems ro han: been common pracrice, ar leasr in rhe imimare and were displaced from life in rhe wider sociery inro rhe inrerior of rhe
rowns. ro undress ar home before going ro rhe barhhouse. "How ofren", savs an nuclear familv.
observer, "rhe fiuher, wearing nothing bur his breeches, wirh his naked and The gener,;rions following \\/oriel \'Var I, in rheir books on eriquerre, looked
children, runs rhrough rhe srreers from his house ro rhe barbs How manv back with a cerrain ironr-and nor wirhour a fainr shudder-ar rhis period.
rimes have I seen girls of ren, twelve, fourreen, sixreen and eighreen yea;s when rhe exclusion of funcrions as sleeping. undressing and dressing was
enrirely naked exctpr for a shorr smock, ofren rorn. and a ragged barhing gown enforced wirh special se\eriry. rhe mere menrion of chem being blocked by
ar from and back' \Virh rhis open at rht feer and held relatively heavy prohibirions An English book on manners of 19.'>6 says. perhaps
140 Tht Cit'i!i:::ing Prrietss i11 the Beh11l'ii!i!!' iJf the Sem!ar Uj1f!er C!mses in th1: \Y'i::st 1-i l

with exaggeration,_ but certainly not entirely without justification: 'Dur- ro hear a moral demand, which required cerrain behaviour not out of
mg the Genteel Era before the \Var, camping was the only way by which nsiderarion for orhers but for its own sake: "\\'lhen you undress, when you get
respectable wrirers might approach the subject of sleep. In those days ladies and co be mindful of modesty." Bm the idea of social custom, of consideration for
gentlemen did not go to bed at night-tlky retired. How rhey did it was up, l l cl l l
or htrs,. was still [Jreclommanc - The comrasr to t 1e ater _ per10 1s parncu ar ,.
nobody s busmess. An author who thought differently ,,oulc! have found himself
cl ea1. ''t. '"e
" remember that these prece1JtS, even those ot Dr Paler (Example A),
excluded from the circulating library... - 9 Here, too, there had been a certain were dearly directed to people who wem to bed undressed. Thar scrangers should
reacnon relaxation since the war._ Ir was clearly connected with the growing sleep in the same bed appeared, to judge by the manner in which che question_
mob1l1ty ot society, w1rl1 the spread ot sport, hiking and travel. and also with the w;is discussed, neicher unusual nor in any way improper even at che time of
relanvely separation of young people from the family community. The Erasmus.
from the nightshirt to pyjamas-that is, to a more "socially present- In rhe guorntions from che eighteenth century this tendency was not
able sleepmg cosmme-was a symptom of this. This change was not. as is continued in a straight line, partly because it was no longer confined predom-
supposed, simply a retrogressi\'t movement, a recession of the feelings inantly to rhe upper stratum. But in the meantime, even in other srrarn, it had
ot sham_e delicacy, a release and decontrolling of drives, bur the develop- clearly become less commonplace for a young person to share his bed with
ment .of a torm that fits both our advanced standard of shame and the specific another: "If you are forced by unavoidable necessiry ro share a bed with another
s1nwt1on m which present-day social lite places individuak Sleep is no longer so person . on a journey, it is not proper ro lie so near him rhat you disrnrb or
1nr1mare and segregated as in the preceding stage. There are more simarions in even much him, wrices La Salle (Examplt DJ And: "You oughc neither to
which people are exposed to the sight of strangers sleeping, undressing or undress nor go ro bed in rhe presence of any ocher person ....
As a result. nightclothes Oike underwear) have been developed and In rhe 177-i edition, details were again avoided wherever possible. And the
transformed in such a way that the wearer need not be "ashamed .. when seen in tone is appreciably stronger "If you are forced to share a bed wich a person of the
such sima:ions by others. The nightclothes of the preceding phase aroused same sex, which seldom happens, you should maintain a strict and vigilant
f_edmgs ot shame and embarrassment precisely because they were relativelv modtscr" (Example E). This was the rone of moral injunction. EYen tO give a
formless . They were nor intended to be seen by people ourside rhe famih reason .had become distasteful to the adult. The child was made by the
On_ the one hand, the nightshirt of the nineteemh cencury marked an in threatening rone to associate this situation wich danger. The more "natural" che
which shame and embarrassment with regard to the exposure of one's own bodv standard of delicacy and shame appeared to adults and che more che civilized
were so advanced and internalized chac bodily forms had ro be entirelv covered resrraim of bodily urges was taken for granted, the more incomprehensible ic
even when alone or in rhe closesc family circle; on che other hand, ir
charac- became to adulcs that children do nor have this delicacy and shame by "nature".
terized an epoch in which the "intimate" and "private" sphere. because it was so The children necessarily encroach again and again on the adult chresholcl of
sharply severed from che resc of social life, had nor w any great exrt:nc been repugnance. and-since chey are noc yet adapted-they infringe the taboos of
socially articulated and patterned. This peculiar combination of strondv intern- society, cross the adult shame fromier, and penetrate emotional clanger zones
alized, compulsive feelings of repugnance, or moral in-, with a far-reachin.l!: lack of which rhe adults themse!Yes can only control with difficulty. In this situation che
social patterning w-ith respect to che "spheres of intimacy" was characr;risric of adulrs do not explain che demands they make on behaviour They are unable to
nineceemh-cenmry society and not a little of our own . "' do so adeguarely. They are so conclirioned rhar the\ conform to the social
-i The examples give a rough idea of how sleep, becoming slowh- more standard more or less auromatically Any other behaYiour, any breach of the
intimate and private, was separated from most ocher social and !;ow rhe prohibitions or restraints prevailing in their society means clanger, and a
precepts given to young people rook on a specificallv moralistic underrone with devaluation of the restraints imposed upon chemselves. And the peculiarly
the advance of feelings of shame . In the medieval .quotation (Example A! the emotional undertone so often associated with moral demands, the aggressive and
restraint demanded of young people was explained by consideration clue to others, threatening severity with which chey are frequently upheld, reflects the danger in
respect for social superiors. Ir says, in effect, "If vou share vour bed with a becrer which any breach of the prohibitions places che unstable balance of all those for
man, ask him which side he prefers, and do nor to bed he invites vou, for whom the standard behaviour of sociecy has become more or less "second nature"
that is not courteous." And in che French imitacion ofJohannes Sulpicius Pierre These attitudes are symptoms of the anxiety aroused in adults whenever the
Broe (Example Cl, the same attitude prevailed: "Do nor annov \our nei,"hbour structure of their own drives, and wich it their own social existence and the social
when he has fallen asleep: see rhat you do noc wake him up, .. : In we order in \vhich it is anchored. is even remotely threatened
l-i..?
1-i)

A whole series of specific contliccs berwetn adulrs-above all parems who art iris an exuemel1 dtlicact and difficulc rask to tnligh'.e_n growing girls and boys
for rhe mosr parr licrle prtpartd for rhe rnsks of condirioning-and children.
boITT Cll emsehes and whar gots on around chem. Ihe exrem w which chis
L

contlicrs which appear wirh rht adrnnce of rhe sha111e-fronritr and rhe ,. cin ( F from beinu self-e\idenr is a furrher resulr of rhe civilizing process
s1wan ' " "' .. . . .. . L ..
disrnnce berween adulrs and children. and \\hich art rherefort largely founded ]-- 1x:rcti\'td if rl1e behaviour or people: 111 a d1Herenr srage IS observed 1 he
.s on.'
1 L

rhe srrucrure of civiliztd socitn- irself. are explained by rhis siruarion. The .-_
race 0 ic Er1sn1us's rc:nowned Colloc111ir:s is a .__,
good exarn11le.
siruarion irself has been undersrood only relarivtly recenrly. firsr of all wirhin Erasmus discovered chac one of rhe works of his yomh had been published
small circles. esptcialh among professional educarors And only now. in rhe age wichour his permission in a corrupr form. wirh acldicions by orhtrs and parrly in
char has been called rht cenrury of rht child'. is rht realizarion rhar. in vic:w of d sc\le. Ht revised ir and 1x1blishtd ic himself under a nc:w ride: in 1522.
a 1.
DJ .
rhe increased disrnnce ber\veen rhem. children cannor behave like adulrs slowly . llrr1 u ic fdwi!icnillll co//oq11ir1u1111 ff,rmul:.u l!f1ll !1.n1t11111 dd
Q "' .
penerraring rhe family circle wirh appropriart educarional advice and l'r.,)'i!lll ttic1111 de! l iti:!IJJ instil11ei!dc1111
cions. In rht long precc:ding period. rhe more severe arrirude prnailed char He worked on chis rtxc. augmeming and improving ir. umil shorrly before his
moraliry and respecr for raboos should be presenr in children from rht firsr. This <leach Ir became whac ht had desired. nor only a book from which boys could
arrirucle cerrainlr cannor be: said ro han: disappeared roday learn a good Larin sryle, bur ont which could serve, as ht says in rht ride. w
The examples on behaviour in rht bedroom gin:, for a limirtd segmenr, a inrroduce chem ro lift. The Co!loqi!ils became one of rhe most famous and widely
cerrain imprtssion of how !are ir really was rhar rhe rendency ro adopr such read works of cheir rime:. As his crearise Du (il'i/itatr: 111om111 pmri/i;1111 did lacer.
arcirudts reached irs full developmcm in secular tducacion. diev wenr rhrough numerous edirions and rranslacions. And like ir. chc:y became
The lint of rhis deye]opmtnr scarcely nec:ds furrl1er tlucidarion. Hert. wo. in a s:l10olbook. a srandard work from which boys were c:ducared. Hardly anyrhing
much rht same way as wirh taring. rhe wall berween people. rhe rtstrvt. rhe "ives a more immediare impression of rhe change: in \Vesrc:rn sociery in rhe
b
tmorional barrier ertcrtd by cundirioning berwttn one body and anorher. has process of civilizarion rhan rhe cricicism ro which chis work was subjecred bv
grown conrinuously. To share a bed wirh ptople ourside che family circle. wich chose who scill found rhemselvts obliged w concern themselves wirh ir in rhe
srrangers. is made more and more tmbarrassing Unless necessiry dicraces ninereemh ctnrury. An influenrial German pedagogue, Von Raumer, commenrs
orherwise. ir becomes usual tYen wichin che family for every person w han, rheir on ir as follows in his Gc.1chicht1: du- Piidt1gogik (Hisrory of pedagogy):-'c
own bed and tirrnlly-in rht middle and upper classes-rheir own btdroom.
Children are rrained early in chis disrancing, rhis isolacion from orhc:rs. wich all How could such a book be imroduced in coundess schools' \Vhar had boys rn do with
rht habirs and experitnces rhar rhis brings wirh ic.. Only if we set how narural these satyrs' Reform is a marrer for marnre men. \\?har sense were boys supposed ro
ir seemed in che .i\fidcllt Ages frir srrangers and for children and aclulrs w share make of dialogues on so many subjects of which they undersrand nothing: conversa-
a bed can we appreciare \\hat a fundamenral change in inrerptrsonal relarionships tions in which teachers are ridiculed. or between rwo women about rheir husbands.
and bthaYiour is expressed in our manner of li\ing ..And we n.:cognize how far berween a suitor and a girl he is wooing. or the LullOlJUY '"AJolesccntis et Scurti"

from self-evidenr ic is rhac bed and body should form such psychological dangtr (Young men and prosrinm:sL This last dialogue recalls Schiller's disrich enrided
'"Kunsrgriff' <The knackl: "It you would pltase both rhe worldly and godly alike. painr
zones as chey do in che mosr recenr phase of ci\ilizarion.
chem the joys of rhe flesh. but painr rhtm che devil as \\ell. .. Erasmus here paints
t!eshh lust in the basest wa\ and then adds something which is supposed ro edify Such
IX a bm;k is n:commended b;-
the Doctor Theologiae to an eighr-year-olcl bm-. rhar he
might be imprmed by readini; it
Changes in Attitude towards the Relations
between Men and Women The work was indeed dedicared w the young son of Erasmus's publisher. and
rhe farhtr clc:arly felr no qualms ar priming ir.
1. The: feeling of shame surrounding human sexual relarions has changed and 2 . The book mer with harsh cricicism as soon as ir appeared . Bur rhis was nor
bc:come noriceably srronger in rht civilizing process. 0 ; This manifts;s irself direcced chiefly ac its moral qualiries . The primary rarger was the "imelltcrnal",
panicularly clearly in the difficulry experienced by adulrs in rhe more: recenr rbe man who was neither an orrhodox Proresram nor an orrhodox Cacholic. The
srages of civilizarion in miking abour these relarions ro children. Bur rod:n chis Cacholic Church, above all, foughr against rhe Colloq11iu, which cerrninly conrain
difficulty appears almosr narural Ir seems rn be explained almosr b\ occasional \irulenr acrncks on Church insrirntions and orders. and soon placed ir
reasons alone rhar a child knows noching of rhe relations of rht and Lehar on rhe Index.
144 Thi: Cil'ilizi11g Proas.r

But against chis muse bt stt tht txtrnordinary success of rht Colloq!!its and, . of rhe humanises writings, and parricularlv of chose of Erasmus, is
aove l t} _ .
abovt all. their introduction as a schoolbook.. "From 1526 on", says Huizinga in . l, chat chev do not contorm to the standard of clerical society but are
preose 1 . _ .
his Eras11111s (London. 192-f. p. 199). "chert was for two (tntunes an almost . n from che srandpornr ot, and for. secular society.
wntte .
uninterrur,ced scream oi editions and translations ... The humanises were represenrativts of a movtmenr wh!Ch sought co release
In this period. therefore. Erasmus's treatise muse have remained a kind of . L n lirl"Li'1''e
rne au , o c-
from its confinement within the ecclesiastical rradirion and
. .
standard work for a very considerable number of people. How is the difference nuke ic a languaue of secular societv. at least ot the secular upper
spI1ere, and ' . o . _ . . _ _ _
berwetn its viewpoint and that of the nineteenth-century critic co be understood? chiss. Not rhe lease imporrnnr sign of the change lI1 the srrucrnre_ of \vesrern
In chis work Erasmus does indeed speak oi many things which with the . which has alreadv. been seen from so many other aspens lI1 chis
soc1et}, _ study, was
<ldvance of civilizacion have been increasingly concealed from the eyes of children, the fact rhar its secular consrirnencs now felt an increasing _need tor a secular.
<rnd which in the nineteenth century would under no circumstances ha\e been scholarly literature. The humanises were the executors of this change. the
used as reading matter for children in the way Erasmus desired and expressly functionaries of chis need of rhe secular upper class. In their works the
affirmed in the dedication co his six- or eight-year-old godson. As the nineceenth- word once again drew close co worldly social life. Experiences from chis lite
century critic stressed, Erasmus presents in the dialogues a young man wooing a found direct access to scholarly lireramre This. coo. was a line in rhe great
girl. He shows a woman complaining about the bad behaviour of her husband. movement of "civilization" And it is here that one of the keys to the "revival"
And there is even a conversation between a young man and a prostitme. of antiquity will have ro be sought.
Nevertheless. these dialogues bear witness. in exactly the same way as De Erasmus on ct gavt Yery trenchant expression co this process prtcisel y in
c"iz'ilitaft 111or11111 p11c;i/i11111, ro Erasmus's delicacy in all questions relating co the defending che Coll{Jq11ies: ''As Socrates brought philosophy from heaven ro earth.
regulation of the life of drives. even ii they do not entirely correspond to our own 50
I have led philosophy ro games and banguers," he says in rht notes De !!ti!ita!l
standard. Measured by the srnndard oi medieval secular society. and even by that co!!oq 11ium111 char he appended to the Co!l{Jt/lties (165 5 tdn, p. 668) For this reason_
of the secular society of his own rime, they even embody a very considerable shift these writings may be correcdy regarded as representing the standard ot
in the direction of the kind of restraint of drive impulses which the nineteenth behaviour of secular society. no matter how much their particular demands for a
century was to justify above all in the form oi morality. restraint of drives and moderation of behaviour may have transcended this
Certainly. the young man who woos the girl in rhe colloquy "Proci et puellae" srandard and. reprtsenced in anciciparion of the furnre. an ideal.
(Courtship) expresses very openly what he wants of her He speaks of his lo\e for In De 11ti!itate m!loq!!iomm, Erasmus says with regard to the dialogue "Proci er
htr \vhen she resists, he cells her char she has drawn his soul half out of his body. puellae" mentioned above: "I wish chat all suitors were like the one I depict and
He cells her char ir is permissible and right to conceive children . He asks her to conversed in no ocher way when entering marriage."
imagine how fine it will be when he as king and she as gueen rule o\er their \Vhat appears to rht ninereench-ctncury obsen-er as che "basest depiction of
children and sen-ams. !This idea shows n:ry clearly how rhe lesstr psychological lusr". what even by rht prtsenr swndard of shame must be veiled in silence
distance betwetn adults and children very often wenr hand in hand with a greater particularly before children, appeared co Erasmus and his contemporaries who
social distance ) Finally rhe girl gives way to his suiL She agrees to become his helped co disseminate chis work as a model conversation. ideally suited to sec an
wife. Bur she preserves. as she says, rhe honour oi her maidenhood. She keeps it example for the young. and still largely an ideal when compared with what W<IS
for him. she says. She en:n refuses him a kiss. Bur when he does nor desist from accrn1lly going on around them.''
asking for one. she laughingh cells him chat as she has. in his own words, drawn -i The ocher dialogues mentioned bv Von Raumer in his polemic present
his soul half our of his body. so that he is almost dead. she is afraid char with a similar cases. The who about her husband is instructed that
kiss she might draw his soul completely our of his body and kill him she will have to change her own behaviour, then her husband's will change. And
5 As has been mentioned, Erasmus was occasionally reproached by the the conversation of young man with tht prostitute ends with his rejection of
Church. even in his own lifetime. with the "indecent character" of the Co/loq11ies. her disreputable mode of life.. One muse hear chis conversation oneself ro
Bur. one should not be misled by chis inro drawing false conclusions about the understand what Erasmus wishes to set up as an example for boys. The girl.
acrnal srandard. particularly oi secular society. A rrearise directed against Lucrecia, has not seen rhe youth. Sophronius, for a long rime. And she clearly
Erasmus's Colloq!!i.:s from a consciously Catholic position, about which more will invirts him to do what he has come to rhe house to do. But he asks whether she
be said lacer. does not differ in the least from the Colloq11ies so far as unveiled is sure char they cannot bt seen. whether she has nor a darker room. And when
rtiertnces tO sexual matters are concerned. Its author, coo. \Vas ,1 humanist. The she leads him co a darker room he again has scruples. Is she really sure rhat no
146 147

one can see chem' "No one can see or hear us, noc even a fly." she says. "\X!hy do uncertain. in Erasmus's Colloqilid. "whether one is listening ro a Christian or a
you hesitate'" But rht young man asks: "Nor even God' Nor even the angels'"* heathen" And in later evaluations of this opposing work from a strictly Catholic
And then he begins to convert her with all rhe ans or dialectics. He asks whether carnp rhe same phenomenon appears." Ir will suffice ro introduce the work as ir
she has many enemies, whether it would nor please her to annoy her enemies. was reflected in a judgement from 1911 '"
\X!ould she nor annoy her enemies by giving up her life in this house and
In Morisorns girls. maidens, and women play a srill greater rolt rhan in Erasmus. In a
becoming an honourable woman' And finally he convinces her. Ht will secretly
lari.;t number of dialogues rhey are rht sole speakers. and rheir convtrsarions. which
rake a room for her in rhe house of a respectable woman. he will find a pretext ev;n in rhe firsr and second books are by no means always quire harmless, ofren revohe
for her to leave the house unseen. And at first he will look after her in rhe last r\\o:'- around such risky marrers rhar we can only shake our heads and
However "immoral" the presentation of such a situation (in a "children's ask: Diel rht stern Morisorns wrire chis for his son' Could he be so sure char rhe boy
book", of all places) must appear to an observer from a later period. it is not would really only read and srnch rhe lacer books when ht had reached rhe age for which
difficult to understand rhar. from rhe standpoint of a different social srnndard rhe, were intended? Admirredly. we should nor forger char rhe sixreenrh century knew
and a different srrucrnre of feelings. 1r could appear highly "moral .. and lirrit of prudery. and frequently enough presented irs scholars wirh material in rheir
exemplary. exercise books char our pedagogues would gladly do wirhom. Bur another question!
The same line of development, the same difference in srnndards. could be How did i\Iorisows imagine rhe use of such dialogues in practice' Boys. yomhs and
men could never use as a model for speaking Larin such a conversation in which rhere
demonstrated by any number of examples. The observer of the nineteenth and, ro
arc only fcmalt: speakers Therefore has nor i\Iorisows. no berrer rhan rhe despised
some extent. even of rhe rnentierh century confronts the models and condition-
Erasmus. lose sighr of rht didacric purpose of rhe book'
ing precepts of the pasr with a certain helplessness. And until we come to see
char our own threshold of repugnance. our own structure of feelings. have The question is nor difficult to answec
developed-in a quite specific order-and are continuing to develop. it remains 5. Erasmus himself nevtr "lost sight of his didactic purpose" His commentary
indeed almost incomprehensible from the present standpoim how such dialogues De 11ti!i!dte col!oq11irmm1 shows this quire unequivocally. In it he makes explicit
could be included in a schoolbook or deliberately produced as reading marcer for what kind of didactic purpose was attached to his "conversations" or, more
children. But chis is precisely why our own standard. including our attitude to exactly. what he wanted to convey to the young man" On the conversarion of rhe
children, should be understood as something which has developed. young man with the prosrirure, for example, ht says: "\'Vhar could I have said
More orthodox men than Erasmus did the same as he. To replace the Co//r;q11ics, rhar would have been more effective in bringing home to rhe young man rhe
which were suspected of heresy. other dialogues were written, as already men- need for modesty, and in bringing girls our of such dangerous and infamous
tioned. by a strict Catholic. They bear the ride Joht!i111iJ 1\fo1 isori 111edici houses'" No, he never lost sight of his pedagogical purpose; he merely had a
lihri q11c1t11111-. t1d Constantim1111 jilimll <Bast!. 1549) They art !iktwise clifrerent standard of shame. He wanted ro show the young man rhe world as in
wrinen as a schoolbook for boys, sinct. as the author Morisorns says, one is often a mirror; ht wanted to teach him what muse be avoided and whar was conducino
w a tranquil life: "In senili colloquia quam mulra velm in speculo exhibentur.
Tht: tt:Xt of this cxctrpt from the dialuc;ue is as follows: guae, vel fugienda sunt in vira. ve! viram reddunt rranquillam!"
:-.t iP111u 1:--.;ti :--: ?\ondum hie locus ml hi \'idetur saris secretus
The same intention undoubtedly also underlay rhe conversations of J\forisotus,
uuzrTL\: l"ndl' isre no\"us pudor? Est mihi museion."' 1 ubi n:puno mundum meum. locus adto and a similar attitude appeared in many other educational writings of the rime.
obscurus, ur vix l',L;"o tc visura sim. aur tl mt Thty all set om ro "introduce rhe boy to life". as Erasmus pm ir. 8 ' Bur by this
:-.tiP11.: Circumspice rimas omnts. they meant the life of adults. In later periods there was an increasing tendency
uT : ?\e musca quidem. me<.1 lux, Quid cuncraris?
ro tell and show children how rhey ought and ought nor to behave. Here they
fallt:mus htic oculos Dci?
u c: Nt:quaquam: ilk perspicir omnia were shown, by introducing chem ro life. how adults ought and ought nor ro
.:-OP!J: Er behave. This was rhe difference, And one did nor behave here in rhis way, there
in rhar, as a result of theoretical reflection. For Erasmus and his contemporaries
'-< lPH: Thi.s pL!ce doe:m t StT:11 secrt:t tnough to mt Ll"( : H(m come} ou fl so b.1shful all Jt oncL"?
ic was a matter of course to speak ro children in this way" Even though
\Vt!L comt w my privart dressing room Ir s so dark wt shall scarctl} Sl'l" each orher there :-0P1r.:

Examint tn:ry chink uc : Then. . s nor a single chink Is rhert nobody ntar rn us: UT.:
subservient and socially dependent, boys lived from an early age in the same
0;or su much as a fl;.. m;. dt;iresr. \\'"h;. you hesirnring? Can we escape thl e;.c ofGud here? social sphere as adults. And adults did nor impose upon themselves either in
u< : Of course not: lw Sl'.t:.:i cYc.:r;.thing :--c1Pil.: And the anp:ds: anion or in words rhe same degrte of restraint with regard ro the sexual life as
The Cil'ilizi11g Proc.:s.r Chc111gcs i11 the Bdh1l'io11r of the Semlar Uj1pu Clc1ssc.r in the \Vest 1-!9
148

c eeches at unin:rsities In 1500 a Master of Arts at Heidelberg spoke "De fide


later In keeping wirh rhe different srnre of restraint of feelings produced in rhe
individual by rhe structure of human relations, rhe icb1 of srricdy concealing these !ererricum in suos amarores .. (On rhe fidelity of courtesans ro their paramours).
drives in secrecy and intimacy was largely alien ro adults themselves. Ail chis made another De fide concubim1rum" (On rhe fidelity of concubines), a third "On the
rhe disrnnce between rhe beha\ioural and emotiom1l standards of adults and monopoly of the guild of swine ... or "De generibus ebriosorum er ebriemre
1 .. sq
children smaller from rhe ourser. \x/e see again and again how important it is for viranda
an undersranding of the earlier psychic constitution and our own to observe the ,;\ncl exactly the same phenomenon is apparent in many sermons of the time;
increase of chis distance, rhe gradual formation of rhe peculiar segregated area in rhere is no indication chat children were excluded from chem . This form of
which people gradually came to spend rhe first twelve, fifteen, and now almosr cxrramariral reh1tionship was certainly disapproved of in ecclesiastical and many
twenty years of their lives. The biological development of humans in earlier secular circles. But the social prohibition was not yer imprinted as a self restraint
rimes will nor have taken a very different course from today. Only in relation ro in individuals to the extent that it was embarrassing even to speak about ir in
chis social change can we berrer understand the \vhole problem of "growing up" public. Society had not yet outlawed every utterance that showed rlwt one knew
as it appears roday, and with ir such special problems as char of rhe "infantile anything abour such things.
residues .. in the personality structure of grown-ups. The more pronounced This difference becomes even clearer if one considers the position of prostitutes
difference between rhe dress of children and adults in our rime is only a in medieval rowns. As is the case roday in many societies outside Europe, they
particularly visible expression of chis development. Ir, roo, was minimal at had rheir own very definite place in the public life of the medieval town. There
Erasmus's rime and for a long period thereafter. were rowns in which they ran races on festival clays. They were frequently sent
6. To an observer from more recent rimes, ir seems surprising char Erasmus in to welcome distinguished visitors. In 1438. for example, rhe prorocols of the ciry

his Cd/oq11ie.r should speak ar all ro a child of prostitutes and rhe houses in which accounts of Vienna read: "For the wine for the common women 96 Kreurzers.
1
they lived. In our phase of a civilizing process it seems immoral even ro Item, for the women who went ro meet the king, 96 Kreurzers for wine ... " Or
<lCknowledge rht existence of such institutions in a schoolbook. They certainly the mayor and council gave distinguished visitors free access to the brothel. In
exist as enclaves even in rhe society of rhe nineteenth and twentieth centuries. 143-i the Emperor Sigismund publicly thanked the city magisuate of Bern for
Bur the fear and shame wirh which rhe sexual area of rhe life of drives, like many purring the brothel free! y at the disposal of himself and his attendants for three
ochers, is surrounded from the earliest years, rhe .. conspiracy of silence .. observed This, like a banquet, formed part of the hospiraliry offered to high-
on such matters in social relations, are as good as complete . The mere mention ranking guests.
of such opinions and insrimtions in social life is forbidden, and references to The venal women formed within ciry life a corporation with certain rights and
them in rhe presence of children are a crime, a soiling of the childish mind, or obligations, like any other professional body. And like any other professiomtl
at least a conditioning error of the gra\est kind. group. rhey occasionally defended themselves against unfair competition. In
In Erasmus's time it was rnken equally for granted chat children knew of rhe 1500, for example, a number of chem went ro rhe mayor of a Germ<tn town and
existence of these instimrions. No one concealed them. Ar most thev were complained abour another house in which the profession ro which their house
warned about them. Erasmus did just thaL If we read only the pedagogicai books had the sole public rights was practised. The mayor gave them permission ro
of rhe rime, rhe mt>ntion of such social institutions can easily appear as an idea enter chis house; they smashed everything and bear the landlady. On another
emanating from an individual If we see how rhe children actually lived with occasion rhey dragged a competitor from her house and forced her to live in
adults, and how small was the wall of secrecy benveen adults and theirs
therefore also between adults and children, we comprehend that conversations In a word, their social position was similar ro that of the execurioner, lowly
like those of Erasmus and Morisorus relate di recd y to the standard of their times. and despised, bur entirely public and nor surrounded with secrecy. This form of
They could reckon wirh the fact that children knew abour all this: it was taken extramarital relationship between man and woman had nor yet been removed
for granted. They saw it as their task as educators to show children how they "behind the scenes" .
7 To a cerrnin extent, this also applied ro sexual relations in general, even
ought to conduce themselves in the face of such institutions .
Ir may nor seem ro amounr ro very much ro say char such houses were spoken marital ones. \'Vedding customs alone give us an idea of this. The procession inro
about quire openly at the universities. All the same, people generally went to the bridal chamber was led by the best men. The bride was undressed by the
university a good deal younger than today And ir illustrates rhe theme of this bridesmaids; she had ro rake off all finery. The bridal bed had ro be mounted in
whole chapter ro point our that rhe prostitute was a topic even of comic public rhe presence of witnesses if rhe marriage w<ls ro be rnlid They were "laid
150 The. Cizi!i2ing Prf;(crs 151

cogerher" u' "Once in bed .vou are riduh. wed" the Sa\in" went In rht lacer elf came rn console her and rn offer herself as i!odmorher ro the baby
. c
Queen l1ers . . . .
Middle Ages rhis cusrnm i:'radual!y changed w rhe extent rhar rhe couple was "ime wenr tunher: rht lirde c\.':Irl was 1)ressecl w sav who was rhe tarher
i\.11 d [ le 1 /:'' . ..
allowed ro lie on rhe bed in rheir clmhes . No doubr rhest cusrnms varied the child Finally. afrer a period of srrenuous rttlecnon. she reached rhe
somtwhar btrween classes and coumries. All rhe same. rhe old form was rerained 1- 10 n rhar ir could onlv be rht Kin\.': or rhe Counr de Guiche. since rhej
onel L, ,
in Li.ibeck. for example. up ro rhe firsr decade of rhe se\emeemh cenwry "' Even
,vere 1co c) 11 Jv two men who had 'l!iven
. ti --
htr a kiss."' Nobodv rook chis joke amiss
in the absolmisr sociery of France, bride and bridegroom were rnken rn bed bv Ir fell enrirely wirhin rhe exisring standard No one saw in ir a danger ro rht
rht guesrs. undressed. ,1nd given their nighrdress All rhis is symptomaric
ad<1p [.,r,, 1 0 n of rhe child rn this srnnclard. or rn her spiriwal purirv, . and it was
different srandard of shame concerning rhe relarions of rhe sexes. And rhrough rl\ nor seen as in anv wav contradicrin\.': her rtlil!ious tducarion . _
c1ea .' - . . .__ ._ .
rhese examples one gains a clearer perceprion of the specific srandard of shame 8. Only very gradually. subsequently. did a srrongtr associarion of sexualiry
which slowly became preclominam in the ninereenrh and rwentierh centuries. In wirh shame and embarrassment. and a corresponding resrraint of beha,iour.
chis period, even among adulrs. everything perrnining to sexual lift was . -icl n1ort or less evenh over rhe wholt of socierv.
sprt< And onlv whtn rhe disrnnct
concealed to a high degree and dismissed behind rhe scenes. This is why it is berween adulrs and children grew did "sex educarion.. become an "acutt
possible, and also necessary. w conceal this side of lift for a long period from problem"
children . In the preceding phases rhe relations berween the sexes. together with Above. rht criricism ofErasmuss CfJ!!oq11iu by rht well-known pedagogue Von
the insriwtions embracing rhem. were far more direcrly incorporated into public Rcmmer was quored. Tht picwre of chis whole curve of development becomes
lite. Hence ir was more narural for children to be familiar \virh chis side of lite even cltartr if we see how rhe problem of sexual educarion. rl1t adaprnrion of rhe
from an early age From rhe poim of view of condirioning. there was no need ro child rn rhe srnndarcl of his own [Raumtr's] society. posed irself rn chis tducaror
burden chis sphere wirh rnboos and secrecy to rhe exrenr char became ntctssary Jn 1857. Von Raumer published a shore work called The Ecl11ct1tion rf Girl.r. \Vhar
in rhe lartr stage of civilizarion. wirh irs difterem standard of bthaviour . he prescribed in ir (p . 7 2) as a behavioural model for adulrs in answtring rht
In coun-arisrocraric sociery. sexual life was certainly a good deal more sexual quesrions of rheir children was ctrrninly nor rhe only possible form of
concealtd rhan in medieval sociery \Vhar rht observer from a bourgeois- behaviour ar his rime: nevenheltss. ir was highly characrerisric of d1t standard of
indusrrial sociery ofrtn interprers as rhe "frivolin" of courr socitrv was nmhing the ninereemh ctmury, in rhe insrrucrion of both girls and boys:
orher dnn chis shifr roward concealmem. Nevenheless. bv
srnndarcl of control of rhe impulses in bourgtois sociery irself. rhe conceaimem Some morhers are of rhe opinion. fun<lamenrnlly perverse in my \itw, thar daughters
and segregarion of stxualiry in social life, as in consciousness, was rtlarively should be given insight inro all family circumstances. tvtn inro rhe rtlarions of rhe
slighr in chis phase. Htrt roo, the judgemtnt of people in a lacer phase ofren goes sexes. and iniriartd into things thar will fall to their lor in rhe en:nt rhar rhey should
marry. following rhe example of Rousseau. rhis view degenerated ro rhe coarsest and
astray. because rhev stt rheir own srnndards againsr courrly-arisrncraric ones,
n1osc repulsiYt caricacure in che philanrhropi:;r uf Ochl'.r n1ucht:rs exaggerate in
seeing borh as somtching absolure. rad1er rhan as imerlinking phases in a
rhe opposite direction by telling girls things which. as soon as rhe\ grow older. musr
movemem, and rhty nuke rhtir own srandarcls rht mtasure of all orhers.
reveal themselves as totally false. As in all other cases, this is reprehensible Thc.r,
In courr socitry. roo, rhe relarive openness wirh which rhe narnral funcrions .rhol!!d 11r1r /;:, !ffi!(htd !!/Jon a! :di in thr: J1rts,nc, 1f d1ildrtll. kast of all in a secretive -:vay
were discussed an'iong adults, corresponded to a grtarer lack of inhibirion in which is liable tu arouse curiosiry Children should be lefr for as long as is ar all
speech and acrion in rhe prtstnce of children There art numerous txamples of possible in rhe belief rhar an angel brings rhe morher her lirrle children. This legend.
chis. To rake a panicularly illusrrarive one. rhere lived ar rhe coun in rhe cusron1ary in son1e regions. is for btrcer rhan tht srory of the stork con-1n1on elsewhere
seventeenth century a lirde .Mlle de Bouillon who was six ytars old. The ladits Children. if rhey realh grow up under their mothers eyes. will seldom ask forward
of rhe courr were wont ro converse wirh her, and one day rhey played a jokt on questions on chis poinr nor even if rhe mother is pre,enrtd by a childbirth from
her: they rried ro persuadt rhe young lady she was prtgnanr. The linle girl hming them about her If i:irls should larer ask how lirrlc: childn:n really come inro
denitd ir. She defended htrself. Ir was absolmely impossible. she said. and rhey the world. rhey should be rolcl rhar rhe good Lord gives the mother her child, who h<Ls
a guardian angel in heaven who cerrninly played an invisible pan in bringing us this
argued back and fonh . Bm rhen ont day on waking up she found a newborn
great jo\ "You do nor need ro know nor could you understand how God gives
child in her bed She was amazed; and she said in htr innocenct, "So chis has
children .. Girls musr be satisfied with such answers in a hundred rnses, and ir is rhe
happened only to rhe Holy Virgin and me; for I did nm feel any pain" Her
morhers rask rn occupy her daughters' rhoughts so incessantly with the good and
words were passed round, and rhen rht linle affair became a di\ersion for d1t beautiful rhat rhe1 are lefr no rime rn brood on such marrers A mother ought
whole courr. The child recei\ed ,isirs. as was cusromary on such occasions. The only once ro say s;riously: "Jr would nor be good for you rn know such a thing, and you
152 Th, Cil'i!i:.i11g Procc.;s Ch1mg,;s i11 the Bul.Jcn'in!!r of thu Swtlar Uf'f'tr Classes i11 the \Vist 153

should rake care not rn listen w anything said about it, A truly well-brought-up girl 'It would nor be good for you ro know such a thing, . " Neither "rarional"
will rrom then on fetl shame at htaring things of this kind spoken of motives nor practical reasons primarily derermined this attirucle. bm rather rhe
shame of adulrs rhemselves, which had become compulsive Ir was rhe social
Berwttn the manner of speaking abom sexual relations represenred by Erasmus prohibitions and resistances within themselves, rheir own "superego", char made
and that represenred here by Von Raumer. a civilization-curve is visible which is them keep silenr,
similar to chat shown in more derail in rhe expression of ocher impulses. In the For Erasmus and his comemporaries, as we have seen, rhe problem was nor
ci,ilizing process, sexualiry. coo, has been increasingly removed behind the rh,ir of enlighrening rhe child on the relations of men and women, Children
scenes of social life and enclosed in a particular enclave. rhe nuclear family. found our abom chis of their own accord through the kind of social insrirurions
Likewise. rhe relarions berween rhe sexes have been hemmed in, placed behind and social life in which they grew up. As rhe reserve of adulrs was less, so roo was
walls in consciousness. An aura of embarrassmem, rhe expression of a socio- the discrepancy between what was permirred openly and whar rook place behind
generic fear, came ro surround chis sphere of life. Even among adulrs it was the scenes Here rhe chief rnsk of the educaror was ro guide rhe child, within
referred co officially only wirh camion and circumlocurions, And wirh children whar it already knew, in rhe correcr direction-or, more precisely, rhe direction
parricularly girls, such rhings were, as far as possible. nor referred to ar all. desired by the eclucaror. This was what Erasmus sought co do rhrough conversa-
Raumer gave no reason why one oughr nor to speak of chem with children. He tions like char of the girl with her suiror or the youth wirh rhe prosrirure, And rhe
could have said it was desirable to preserve the spirimal purity of girls for as long success of rhe book shows rhar Erasmus struck the righr note for many of his
as possible Bm even chis reason was only anorher expression of how far rhe gradual com em poraries.
submergence of these impulses in shame and embarrassmem had advanced br chis As in rhe course of the civilizing process the sexual drive, like many ochers,
rime, Ir was now as namral nor to speak of rhese matters as ir was to speak of.them has been subjected ro ever srricrer comrol and re-modelling, the problem ir poses
in Erasmus's rime,. And the fact that borh rhe wirnesses invoked here, Erasmus and changes, The pressure placed on adults ro privatize all their impulses (parric-
Von Raumer, were serious Chrisrians who rook rheir aurhorirr from Goel further ularly sexual ones), the "conspiracy of silence", the socially generated resrricrions
underlines the difference. . on speech, the emotionally charged character of most words relating ro sexual
Ir is clear! y not "rational .. motives char underlay rhe model pm forward by urges-all this builds a thick wall of secrecy around the growing child. \Vhar
Von Raumer,. Considered rarionally. rhe problem confroming him seems makes sexual enlighrenment-rhe breaching of chis wall, which will one clay be
unsolved, and what he said appears comraclicrory.. He did nor explain how and necessary-so clifficulr is not only rhe need to make the growing child conform
when rhe young girl should be made co unclersrancl whar was happening and w rhe same sranclarcl of resrraim and comrol over drives as rhe adulr. Ir is, above
would happen to her. The primary concern was rhe necessirv of insrillina b
all, rhe mental srrucrure of the aclulrs rhemselves char makes speaking abom
"moclesry" (i e . feelings of shame. fear, embarrassment and (.Wilt) or, more these secret rhings difficult, Very often adults have neirher the rone nor the
precist!y, behaviour conforming co rhe social srnnclard,, And Lone feels how words. The "dirty" words they know are om of rhe question. The medical words
infinitely difficult ir was for rhe educaror himself to overcome rhe resistance of are unfamiliar to many. Theorerical considerations in rhemselves do not help. Ir
die shame and embarrassment which surrounded this sphere for him. One is the sociogeneric repressions in them chat lead ro resistance to speaking. Hence
clerecrs somerhing -of- rht deep confusion in which this social developmenr had the advice given by Von Raumer to speak on these matters as little as possible,
placed people; the only advice char rht educaror was able ro give mothers was to And chis siruation is further exacerbated by rhe fact that rhe tasks of condirion-
avoid contact wirh these things wherever possible. \Vhar is involved here is nor ing and "enlightenment" fall more and more exclusively ro parems. The many-
rhe lack of insighr or rhe inhibition of a parricular person: ir is a social. nor an sicled love relarionships between mother, father and child rend ro increase
individual problem. Only gradually, as if through insighr gained rerrospecrively, resistance to speaking abom these questions, not only on the pan of the child bm
were better methods evolved for adapring rhe child ro the high degree of sexual also on that of the father or morher.
resrraim, ro the comrol, rransformarion and inhibition of these drives char were Ir is clear from this how the question of childhood is ro be posed,, The
totally indispensable for life in this sociery, psychological problems of the growing person cannot be unclersrood if individ-
Von Raumer himself in a sense saw char chis area of life ou<hrb
nor ro be uals are regarded as developing uniformly in all hisrorical epochs. The problems
surrounded wirh an aura of secrecy '\vhich is liable to arouse curiosirv". Bur as relating to rhe child's consciousness and drive-economy vary with the namre of
this had become a "secret" area in his socierv, he could nor escape necessity the relations of children to adulrs. These relations have in each sociery a specific
of secrecy in his own preceprs: "A morher . oughr only once ro say seriously: form corresponding ro the peculiarities of irs structure They are clifferem in
The Cizi!i:i11g P1r1c1:s.1 155

class ot.ctn called themselves "bascarcl .. ex1Jressh_ and 1;rouclh. is well enough
knightly society from rhose in urban bourgeois socien:
. chev. are different in the
whole secular society of che Middle Ages from chose of modern times. Therefore
known.
che problems arising from che adaptation and moulding of growing children in che absolucisc court societies of che seventeenth and eighteenth
che standard of adults-for example, che specific problems of pubtrt\" in our
ceow rlc:s derived its special character from che face chac. through
. the scruccure of
.
civilized society-can only be underscood in relation co rhe hisrorical phase, the rhese societies. che dominance of che husband over che wife was for che
structure of society as a whole. which demands and maintains chis standard of -nrst cime . The social !}OWer of che wife was almost equal to chat ot the husband.
adult behaviour and rhis special form of relationship between adults and al opinion was determined ro a high degree bv women. And whereas societ\.
children. S0 c1, v v

h:id hirherco acknowledged only che extramarital relationships of men. regarding


9 A civilizing curve analogous to rhac which appears through che question of rhose of the socially "weaker sex" as more or less reprehensible. the extramarital
"sex education .. could also be shown in re lac ion ro marriage and ics development relarionships of women now appeared, in keeping wich che transformation of the
in \Xiescern society. Thar monogamous marriage is che predominant inscicution balance of social power becween che sexes, as legicimact within cenain limits.
regulating sexual relations in che \Vest is undoubtedly correct in general cerms. le remains co be shown in greater clecail how decisive chis first power-gain or,
Nevertheless, the actual control and moulding of sexual relations has changed if one likes, chis first wave of emancipation of women in absolmisc court society
considerably in che course of \Xiescern history. The Church certainly fought ear!v was for che civilizing process, for the advance of cht frontier of shame and
for monogamous marriage. Bur marriage rook on this strict form as a soci;I embarrassment and for the strengthening of social control over individuals .
inscicucion binding on boch sexes only ac a lace stage, when drives and impulses Along wich chis power-gain. che social ascent of ocher social groups necessiraced
came under firmer and stricter control For only chen were excramariral relation- new forms of drive control for all ac a lewl midway between chose previously
ships for men really ostracized socially, or ac lease subjected co absolute secreC\. imposed on che rulers and che ruled respectively, so chis strengthening of che
In earlier phases, depending on che balance of social power between che social position of women signified (ro express che point schematically) a decrease
excramarical relationships for men and sometimes also for women were caken in the restrictions on their drives for women and an increase in che rescriccions
more or less for granted by secular society. Up ro che sixteenth cenrurv we bear on cheir drives for men. Ac che same cime, ic forced both men and women to
ofren enough chat in che families of the mosc honourable citizens che l.egicimate adopt a new and a stricter self-discipline in their relations with one another.
and illegicimace children of che husband were brought up rogecher; nor was anv In che famous novel La P1i11ecss1: dt Cli:zu, by Madame de la Fayecce. che
secret made of cht difference before che children themselves. The man was no.t Princess's husband, who knew his wife ro be in love wich che Due cit Nemours,
yec forced socially ro feel ashamed of his excramarical relationships. Despite all savs: "I shall cruse only in you; ic is che path my heart counsels me ro cake. and
the countervailing tendencies chat undoubtedly alreadv existed, ic was verv often my reason. \Vich a temperament like yours. hy lmzi11g y1J11 )1Ji!r !ilmty I sd )IJ!t
taken for gramecl char die bascarcl children were a p;1rc of cbe familv. che 111n-rr;zct:r !iwirs than I could enforce .... "'
father should provide for their future and, in che case of daughters, ;1rrange an This is an example of che characceriscic pressure coward self-di sci pl int
honourable wedding. Bm no doubt chis led more than once co serious "mis- imposed on cht sexes by chis situation. The husband knows chat he cannot hold
unclerscanding .. % b.ecween che married couples. his wife by force. He does noc ram or expostula(e because his wife loves anochtr,
The sirnacion of che illegicimace child was noc alwars and even-where cht nor dots he appeal ro his rig hes as a husband . Public opinion would support none
same throughom the Middle Ages . For a long cime, nev.erchtless, was no of chis . He restrains himself Bm in doing so ht expects from her che same self-
trace of the tendency cowards secrecy which corresponds lacer, in proftssional- discipline as he imposes on himself This is a very characceriscic example of che
bourgeois society, ro the tendency cowards a scriccer confinement of sexualit\' ro new cons(ellacion chat comes inco being wich che lessening of social inequality
the relationship of one man co one woman, ro che stricter control of between che sexes. Fundarnemally, iris not rhe individual husband who gives his
impulses, and ro che stronger pressure of social prohibitions Here, coo, the wift chis freedom. Ir is founded in che structure of society itself Bur ic also
demands of che Church cannot be taken as a measure of che real scanclarcl of demands a new kind of behaviour. Ir produces very specific conflicts. And chere
secular society.. In reality, if noc alwavs in law, che situation of che illegicimace are ctrcainly enough women in chis society who make use of chis freedom" There
children in a family differed from of che legicimace children onlv in che is plentiful evidence chat in chis cour( aristocracy che rescriccion of sexual
former did noc inherit che srarns of che father nor in general his or at relationships ro marriage was very often regarded as bourgeois and as noc in
lease noc che same pare of ic as che legitimate children Thac people in the upper keeping with cheir escace. Never(heless, all chis gives an idea of how directly a
156 The C il'i!i:i11g Proo:_;_; Cht111g.:s in tin: Bth,nio11r of tin Sw1!t1r Upper Classes in tht \Fest 15 7

specific kind of freedom corresponds to particular forms and stages of social . cierv, che social power of che husband was again greacer than chat of che
coun so , . - . . .
interdependence among human beings. so thac violac10n of the rnboo on excramanral relanonsh1ps by che husband
The non-dynamic linguiscic forms to which we are scill bound today oppose . usually judged more leniendy chan che same offence by women Bm boch
freedom and conscraim like heaven and htll From a short-term point of view, \\a5 1es now had w be emireh excluded from official social life. Unlike chose in
breac 1 . .
this chinking in absolme opposites is ofren reasonably adequate. For someone in . -ierv rhev had ro be removed scricd v behrnd che scenes. barn shed to che
courr ,uL . ' . . - . . . . . .
prison the world outside che prison walls is a world of fretdom. But considered f secrecv. This is onlv one of manv examples of the rncrease rn rnh1bltlon
reamI O
mort precisely, chere is, contrary ro what antitheses such as chis one suggest, no , nd self-resrrainc which individuals now had ro impose on chemselves.
,! -
such ching as "absolute" freedom, if this means a rota! independence and absence lO. The civilizing process does nor follow a scraighr line. The general trend of
of social constraint. There is a liberncion from one form of consrraim that is cI1ang,e can be decermined ' as has been done here . On a smaller scale lhere are the
oppressive or inrolernble ro another which is less burdensome. Thus the diverse criss-cross movements, shifts and spurcs in this or that direction
civilizing process, despite the rransformacion and increased constraint that it Bm if we consider che movement over large rime spans, we set clearly how cht
imposes on the emotions, goes hand in hand wich liberacions of the most diverse compulsions arising directly from che chreat of weapons and physical force have
kinds. The form of marriage at the absolutist courts, symbolized by the same araduallv diminished, and how chose forms of dependency which lead w che
arrangement of living rooms and bedrooms for men and women in the mansions of che affeccs in che form of self-comm!, gradually increased . This
of che court aristocracy, is one of many examples of this. The woman was more appears ac ics most unilinear if we observe che men of che upper class of
free from external consrraims than in feuclal society But the inner constraint, the ,my cime-d1ac is, che class composed first of wamors or knighcs, chen of
self-control which she had rn impose on herself in accordance with the form of and chen of professional bourgeois. If che whole many-layered fabric of
integration and the code of behaviour of court society, and which stemmed from hisrorical development is considered. however. che movemem is seen to be
the same structural features of this society as her "liberation", had increased for intinicely more complex. In each phase chere are numerous flucmations. frequem
\vomen as for men in comparison to knightly sociecy advances or recessions of rhe internal and excernal conscraims An observacion of
The case is similar if rhe bourgeois form of marriage of the nineteenth century such flucrnacions. parcicubrly chose close to us in rime, can easily obscure che
is comparecl wich that of rhe court aristocracy of the seventeenth and eighteenth general crend. One such flucmacion is present today in che memories of all: in the_
centuries. In this later period, the bourgeoisie as a whole became freed from the period following \Vorld \Var I, as compared w che pre-war period. a "relaxation of
pressures of the absolurisr-estates social structure. Both bourgeois men and morals" appears w have occurred. A number of conscraints imposed on behaviour
bourgeois women were now relieved of the external constraints to which they before che war have weakened or disappeared emirt!y.. 1fany chings forbidden
were subjected as second-rare people in the hierarchy of estates. Bur the earlier are now permicced. And. seen at close quarcers. che movemem seems rn be
interweaving of trade and money, the growth of which had given them che social proceeding in che direction opposice to that shown here: ic seems to lead to a
power to liberate themselves, had increased In chis respecc, the social constraints relaxation of che constraints imposecl on individuals by social lift . Bm on closer
on individuals were also scronger chan before. The pa((ern of self-restraim examinacion ic is nor difficulr w perceive char chis is merely a very slighc
imposed on che people of bourgeois sociecy chrough cheir occupacional work was recession. one of che fluctuacions char constantly arise from the complexicy of che
in many respeccs different from che pauern imposed on the emocional life by rhe hisrnrical movement wichin each phase of the roral process.
funccions of courc society. For many aspeccs of rhe "emocional economy", One example is baching manners. Ir would have meam social ostracism in che
bourgeois funccions-above all, business life-demand and produce greacer self- nineceenth cemury for a woman rn wear in public one of rhe barbing cosrumes
rescraint chan courdy funccions. \'Vhy che level of development, why-to express commonplace roday. Bm chis change. and wirh it the whole spread of sports for
it more precisely-che occupacional work char became a general way of life wich men and \vomen. presupposes a very high standard of drive control. Only in a
the rise of che bourgeoisie should necessirnte a particularly scrict disciplining of society in which a high degree of rescraim is raken fi:ir granted. and in which
sexuality is a quescion in its own right.. The lines of connection becween the women are. like men. absolmely sure char each individual is curbed by self-
modelling of che drive-economy and the social scrucrure of che nineceenth conrrol and a scricc code of eciquene. can bathing and sponing cusrnms having
cenmry cannoc be considered here. However, by the srandard of bourgeois chis relacivt degree of freedom develop. Ir is a relaxarion which remains wichin
society, che control of sexuality and the form of marriage prevalem in court rhe framework of a panicular "civilized" srnndard of behaviour involving a very
society appear extremely lax Social opinion now severely condemned all high degree of automacic conscraim and affecc cransformarion. conditioned to
excramarical relations becween the sexes, chough here, unlike che siruacion in become a habic
158 The l59

Ac che same cime. howen:r. we also find in our own cime che precursors of a ., cl virh sexualitl" was less. This is what makes Erasmus's educational
issoo,lte \ ". . . . . -" .
shifr wwards che culrivarion of new and srricrer consrrainrs. In a number of ,ork quorecI 1bC)\e
' so dithculr tor I'tcla;..'.o"ues
c- ot a larer phase ro unclusrand.
.
societies there art arremprs ro establish a social regulation and management of ;nd 50 conditioning. rhe reproduction of social habits in d1t child.did nor rake
d1t emorions far srronger and more: conscious rhan rht standard prevalent 50 exclusively bt:hincl closed doors. as 1r were. bur tar more directly lll the
hirhtrro. a pattern of moulding rhar imposes renunciations and rransfrirmarion of . u f or her IJtOjJle A bv no means unrvpical picrnre of this kind. ot
resence . .- . .
drives on individuals with vast consequences for human life which are scarcely p 1 ninu in rhe UJJ[Jer class can be tound. tor example, lll the diary of rhe
cone iuo c
fortseeable as yer
donor ..Te 'in He' ro'1rd
' which records dav
bv dav
and almost hour b\ hour the
11 Regardless. rherefore. of how much rhe tendencies may criss-cross. advance , 1c!l1ood of Louis XIII what ht did and said as he grew up
and recede. relax or righten in matters of derail and from a short-term cni , .
Ir is nor withom a wuch of paradox that the greater the transrormarrnn.
perspecrin:. rhe direction of the main mowment-as far as ir is visible up ro rncl
conrro l . r"stnint
c ._ '
conceilment
'
of drives and impulses that is . demanded
. .
now-has been the same for the expression of all kinds of driw. The process of
- c1
ot 111 l\ iclLi'ils
'
Lw socierv

rnd
'
therefore rhe more dithculr rhe conclmon111g
. .
or
.
ci\ilization of rhe sex driw. seen on a large scale. has run parallel ro those oforher
young becomes. the more rhe rnsk of first socially re:uired habits 1s
drives. no matter what sociogenetic differences of derail may always be present.
within rhe nuclear family. on rhe tarher and mother. _I he mecha111sm
Here, t00. measured in terms of the srandards of the men of successive upper
ot. cone1r
1 1onin<
b' howewr , is still srnrcelv
. different than in earlier nmes . For ir does
classes. control has grown ever srricrer . The drive has been slowly but progressively
not involve a closer supervision of rhe task. or more exacr planning that rakes
suppressed from the public life of society The reserve that must be exercised in
account of rhe special circumstances of rhe child. bur is effecrecl primarily by
speaking of it has also increased.'"' And this restraint. likt all others. is enforced
automatic means and t0 some extent through reflexes . The socially patterned_
!tss and less by direcr physical force. Ir is culrirnrtd in inc!i\ic!uals from an tar!y
consrellarion of habits and impulses of rhe parents gives rise t0 a consrellarion of
age as habirnal self-restraint by rhe srrucrure of social life. by the pressure of
habits and impulses in rhe child; these may operate either in rhe same direction
social instirnrions in general. and by certain executive organs of society (above
or in one entirely different from rhar desired or expected by the parents on the
all. the family) in particular. Correspondingly, the social commands and prohibi-
basis of their own conditioning. The interweaving of the habits of parents and
tions become increasingly a part of rhe self_ a strictly rtgulared superego
children, rbrough which the drive economy of rhe child is slowly moulded and
Like many other dri\es. sexuality is confined more and more exclusi\ely. nor
only for women bm for men as well, ro a particular enclave, socially legitimized viven irs character is, in other words, only t0 a slight extent determined by
marriage. Social wlerance of other relationships, for both husband and wife, Behaviour and words associated by the parenr with shame and
which was by no means lacking earlier. is suppressed increasing!)". if with repugnance are very soon associated in the same way by the children, through the
flucrnarions Every violation of rhc:se restrictions. and e\ernhing concluciw to parents' expressions of displeasure. their more or less gentle pressure; in this way
one. is rhertfort rdtgated to cht realm of secrtcy. of what mav nor Ik menrioned rbe social standard of shame and repugnance is gradually reproduced 111 the
wirhom loss of prestige or social position children. But such a standard forms at rhe same rime rhe basis and framework of
And just as the nuclear family only very gradually became. so txclusin:l), the the most diverse individual drive formations. How the growing personality is
sole legitimate enclave of sexuality and of all intimate funcrions for men and fashioned in particular cases by rhis incessant social inreracrion between die
women. so it was only ar a recent stage that it became so decisi\ely rhe primary parenrs and children's feelings. habits and reactions is at present largely
organ for culrirnring the socially required control over impulses and bdiaviour in unforeseeable and incalculable ro parents.
young people. Before this degree of restraint and intimacy was reached. and until 1..2. The trend of the ciYilizing moYemenr rowards tht stronger and stronger
the separation of the life of drives from public view was strictly enforced. rhe cask and more complete "inrimizarion of all bodily funcrions. wwards their enclosure
of early conditioning did nor fall so heavily on father and morher. All the people in particular enclaves, ro put them "behind closed doors". has din:rsc: con-
wirh whom the child came into contact-and when intimizarion \ms less sequences . One of the most important. which has already been obsen . ed lll
advanced and the interior of the house less isolated. they were often quire connection with various other forms of drives. is seen particularly clearly lll the
numerous-played a part. In addition. rhe family itself was usually larger and- case of rhe developmenr of civilizing restraints on sexuality Ir is the peculiar
in rhe upper classes-the servants more numerous in earlier rimes. People in division in human beings which becomes more pronounced rhe more sharply
general spoke more openly about rhe \arious aspecrs of the life of drives. and rhose as peers of human life rhat may be publicly displayed are divided from those
gave way more freely in speech and <lCtion rn their own impulses. The shame rhar may nor. and which must remain "intimate" or "secret" Sexuality. like all
1 B,.'1, 1110111 1.1J t'v 5,.,ufar Upt1tr Clc1ssr:s in the \\!i:st 16l
160 Tlk Cfrilizi11g PrrJCeS.l Changes Jil toe 1. . , 1 /

rhe ocher narural human funcrions, is a phenomenon known ro everyone and a


x
parr of each human lift. \\le have seen how all rhese funcrions have graduallir
On Changes m
become charged wirh sociogeneric shame and embarrassmem, so rhar rhe me;e
memion of rhem in public is increasingly resrricred by a mulriwde of conrrols Aggressiveness
and prohibirions. More and more, people keep rhe funcrions rhemselves, and all
. ffecr-srrucrure of human beings is a whole. \\le may call parricular_ drives
reminders of rhem, concealed from one anorhec \\!here rhis is nor possible-as The .1.. ames 1ccording ro rhe1r --
d1Herenr d'1recr10ns
an cl f uncr10ns. \\le mav,
in weddings, for example-shame. embarrassmem, fear and all rhe orher b - d1Herenr n, ' - . - .
Ji ,_ t' hun"er and rhe need to spir, of rhe sexual dnve and ot aggressive
emorions associared wirh rhese driving forces of human lift are masrered by a 0 0
soeaK
' b l' ce rbese different -
dnves

are no more separa bl e r Irnn r l1e I1eart
precisely regulared social rimal and by cerrain concealing formulas rhar preserve rn ulses, ur 1I1 Jr
1
. . . ,
p l . micb or rhe blood in rhe brain from rhe blood 1l1 rhe gernralw. Tht}
rhe standard of shame. In orher words, wirh rhe advance of civilizarion rhe lives trorn t ie sto ' - . '. .
and in parr supersede each other, rransform rhemsehes \\ 1rl11n
of human beings are increasingly splir berween an imimare and a public sphere, comp lemenr If
1 and compensate for each orher; a d1srurbance here man1tesrs 1rse
berween prirnre <rnd public behaviour. And rhis splir is raken so much for cerra!I1 im1 rs ' . . .
shon rhev form a kind of circuir in rht human bemg, a partial urnr
gramed, becomes so compulsive a habir, rhar ir is hardly perceived in con- rhere. I n ' , . , . . . . ,
. l I e roral unirv of rhe oraan1sm. fhe1r srrucrure is soil opaque m man}
sciousness. wit 11n r 1 ' , o . - . . . fi h
ur rheir sociallv imprinted form 1s of dec1s1ve 1mporrance or r e
In conjuncrion wirh rhis growing division of behaviour inro whar is and what respecrs, b . . . . . .
funcrioning of a sociery as of rhe rnd1v1duals w1rh111 1L
is nor publicly permirred, rhe psychic srrucrure of people is also rransformed. The manner in which impulses or emotional express10ns are spoken of today
The prohibirions supporred by social sancrions are reproduced in individuals as l . els one ro surmise rhar we have wirhin us a whole bundle of
sorner1mes ea . . ,,
self-comrols. The pressure ro resrrain impulses and rhe sociogeneric shame cl . A "dearl insrincr'" or 1 "need for recogrnnon are referred to as
' 1
r
dirterenr nves. ' .
surrounding rhem-rhese are rurned so complerely imo habirs rhar we cannot 'f l , were differem chemical subsrances. This is nor to deny rhar observanons
t ne} cl
resist rhem even when alone. in rhe intimare sphere. Pleasure-promising drives cl.f-cerenr drives in individuals mav1 be exrremtlv fnurful an rnsrrucove.
orr r11ese
1
1 11 . _ .
and pleasure-denying taboos and prohibirions, socially generated feelings of Bur the caregories by which rhese observarions are class1hed musr _remam
shame and repugnance, come ro barrle wirhin rhe self. This, as has been powerless in rhe face of rheir living objecrs if rhey_ fail ro express rhe .urnry and
memioned, is clearly rhe srare of affairs which Freud rried ro express by concepts toralirv of rhe life of drives, and rhe connecr10n ot each dnve ro rh1s
such as rhe "superego" and rhe "unconscious" or, as ir is nor unfruitfully called tora I1.. ry. Accordi'ngl"1, aggressiveness which will be rhe subject of rh1s chaprer,. is
in everyday speech, rhe "subconscious". Bur however ir is expressed, rhe social nor a .separable species of drive. Ar most, one may speak of rhe _"aggressive
code of conduct so imprims irself in one form or anorher on human beings rhat impulse" only if one remains aware rhar it refers ro a boddy funcr10n
ir becomes a consriruenc elemenr of rheir individual selves . And this element. rhe wirhin rhe toraliry of an organism, and rhar changes ll1 rh1s tuncr10n mdicare
superego, like rhe personaliry srrucrure as a whole of individual people, changes in rhe personality srrucrure as a whole.
necessarily changes constandy with rhe social code of behaviour and rhe srrucrure LLThe standard of aggressiveness, irs rone and intensity, is nor at _presem
of sociery. The pronounced division in rhe "ego" or consciousness characrerisric of exactly uniform among rhe differem nations of rhe \\!esr. Bur rhese differences,
people in our phase of civilizarion, which finds expression in such rerms as whicl; from close up ofren appear quire considerable, disappear if rhe aggressive-
"superego" and "unconscious", corresponds ro rhe specific splir in rhe behaviour ness of rhe "civilized" narions is compared to rhar of socieries at a different stage
which civilized sociery demands of its members. Ir marches rhe degree of of affect control. Compared ro rhe barde fury of rhe Abyssinian warriors-
regularion and restraint imposed on rhe expression of drives and impulses. admirredlv powerless against rhe technical appararus of rhe civilized army--or ro
Tendencies in this direction may develop in any form of human sociery, even in rhe of rhe different rribes ar the rime of the Grear Migrarions, rhe
rhose which we call "primirive". Bur rhe srrengrh attained in socieries such as of even rhe mosr warlike nations of rhe civilized world .appears
ours by rhis differentiarion and rhe form in which ir appears are reflecrions of a subdued. Like all other insrincrs, it is bound, even in direcdy \Yarl1ke acr10ns, by
rhe advanced stare of rhe division of funcrions, and by rhe resulting greater
particular hisrorical developmem, rhe results of a civilizing process .
dependence of individuals on each orher and on rhe technical apparatus. Ir is
This is whar is meant when we refor here ro rhe conrinuous correspondence
confined and rnmed bv innumerable rules and prohibitions rhar have become
between rhe social srrucrure and rhe srrucrure of rhe personaliry, of rhe individual
self-constraints. Ir is much rransformed, "refined", "civilized", as all rhe orher
self
162

forms of pleasure. and it is only in dreams or in isolated ourbursrs that We I shall shame e\ery knight I have raken. cut off his nose or his ears. If he
rhrears. . _ .. 101
accounr for as pathological char something of its immediate and unregulated . _ "eant or a merchant he will lose a toot or an arm.
is a . . . . . f-
force appears Suel1 r11inus c
were not onl\"- said ll1_ song. These
_
epics
.
were_ an rnregral part o
In rhis area of the affecrs. the rheaue of hostile collisions between people, the life. And rhey expressed the ftelings ot the listeners tor whom they were
same historical transformation has taken place as in all others. No matter at what . cl -d f:1 r more direcrlv than manv 1)arts of our literature They may have
1nten t ' - -
poinr the Middle Ages stand in this transformation. it will again suffice here to r-ired rhe derails. Even in the age of knights money already had, on
e:s:agge" ._ . . ,.
rake rhe standard of their secular ruling class, rhe warriors, as a srarting-poinr, to ns some power to subdue and transform rhe affects. Usually only the poor
occasio , .
illustrate the overall panern of this developmenr. The release of the affects in , - ,l, for whom no considerable ransom could be expected, were mut1lared.
;:tOO 1Q\\ JJ . .
battle in rhe Middle Ages was no longer, perhaps, quire so uninhibited as in the knid1ts who commanded ransoms were: spared. The chronicles which
and rlie . .
early period of the Grear Migrations . Bur it was open and uninhibited enough cl..
rn.:c ti\_ document social life bear ample wirness to these an1rndes
compared to the srandard of modern rimes. In the laner, cruelty and joy in the Thev were mosdy written by clerics The \alue judgements they conrarn are
destruction and tormenr of od1ers. like die proof of physical superiority, are often those of the weaker group threatened by rhe warrior class
placed under an increasingly strong social control anchored in the stare organiza- Nevertheless, the picture rhey transmit ro us is quire genuine. He spends his
tion . All these forms of pleasure, hemmed in by threats of displeasure, have life", we read of a knight, "in plundering, destroying churches, falling upon
gradually come ro express themselves only inclirecrly, in a "refined" form. And pilgrims. oppressing widows and orphans. He 1xirricular plea:ure ll1
only at rimes of social upheaval or where social conrrol is looser (e g., in colonial larin"
OlU t 1 b
rhe innocenr ' In a sinu[e
b
monasrerv.

that ol the black monks ot Sarlar,
regions) do they break our more direcdy. uninhibitedly, less impeded by shame there are 150 men and women whose hands he has cm off or whose eyes he has
and repugnance . put our And his wife is just as cruel. She helps him with his executions. Ir
2. Life in medieval society tended in rhe opposite direction Rapine. battle, gives her pleasure to torture the poor women. She had their breasts hacked orf or
02
hunting of people and animals-all these were viral necessities which, in ;heir nails torn off so that they were incapable of work. "!
accordance with the structure of society, were visible to all. And thus. for the Such affective outbursts may still occur as exceptional phenomena, as a
mighty and strong, they formed part of the pleasures of life. "pathological .. degeneration, in later phases of social development. But here no
r tell you ... says a \\ar hymn aruiburecl to rhe minstrel Bertran de Born, punitive social power existed The only threat, rhe only clanger that could rnst1l
""that neither earing, drinking, nor sleep has as much savour for me as when I fear was that of being overpowered in battle by a stronger opponent Leanng
hear the cry 'Forwards 1' from both sides, and horses without riders shying and aside a small dire, rapine, pillage and murder were srandarcl practice in the
whinnying, and the err 'Help 1 Help!', and ro see the small and rhe great fall to warrior society of this rime, as is noted by Luchaire, the historian of rhirreenth-
the grass at rhe di re hes and the dead pierced by rhe wood of rhe lances decked with cenrurv French societ\". There is little e\iclence char things were clifferenr in ocher
banners . " counrr.ies or in rhe ce,nrnries rhar followed Outbursts of cruelty did nor exclude
Ewn the literary formulation gi\"es an impression of rhe original saYagery of one from social life. They were nor outlawed. The pleasure in killing and
feeling. In another place Bertran de Born sings: '"The pleasant season is drawing torturing others was great, and it was a socially permitted pleasure. To a certain
nigh when our ships shall land. when King Richard shall come. merry and proud extent, rhe social structure even pushed its members in this direction. making ir
as he never was before. Now we shall see gold and sil\"er spent: che newly built seem necessary and practically advantageous to behave in this way
stonework will crack to the heart's desire, walls crumble. rowers topple and \Xihar, for example. ought to be clone with prisoners;, There was little money
collapse. our enemies taste prison and chains. I love the melee of blue and in chis society. \Xiirh regard to prisoners who could pay and who, moreover, were
vermilion shields, the many-coloured ensigns and rhe banners, the rents and rich members of one's own class. one exercised some degree of restraint Bm the
pavilions spread out on the plain, the breaking lances, rhe pierced shields, the others;, To keep chem meant to feed chem. To return them meant to enhance the
gleaming helmets char are split, rhe blows given and received." wealth and fighting power of the enemy.. For subjects (i e., working. serving and
\Var. one of the chc111so11s cit gcrtr: declared, was to descend as the stronger on the fighting hands) were a part of rhe wealth of che ruling class of char rime . So
enemy, ro hack clown his vines. uproot his trees. lay waste his Janel. rake his prisoners were killed or sent back so mutilated char they were unfitted for war
castles by storm, fill in his wells, and kill his people. service and work. The same applied to destroying fields, filling in wells and
A panicular pleasure was taken in mutilating prisoners: "By my rrorh."" said curring clown rrees In a preclominanrly agrarian society. in which immobile
the king in the same chcn1so11. r laugh at what you say I care nor a fig for your possessions represented rhe major part of property. this too served to weaken rhe
164 Th, Cil'i!i:i11g Process Chilnges in the B1:htll'iol!r of the Swdt1r Uf'i'er C!t1sses in the \Vest 165

enemy. The stronger affectivity of behaviour was ro a certain degree social!v enice: "\Var is a 1ovous thing \Ve love each other so much in war.
himsel f in s . . -
necessary. People behaved in a socially useful way and rook pleasure in _ . l, t our cause is JUSt and our krnsmen fight boldly, tears come to our
It we see t M . . . r . - . . .
And it was entirely in keeping with the lesser degree of social control and eves. A sweet joy nses _m our hearts. m the red mg. ot our honest loyafr: to each
constraint of the life of drives that this joy in destrucrion could sometimes ' cl seein" our friend so brawh exposmg his bodv to danger 111 order ro
orher; an b . . v - - . d
way. through a sudden identification with the victim, and doubtless also as an cl f lfil the commandment of our .
Creator, we resolve ro go forward an
. .
expression of rhe fear and guilt produced by the permanent precariousness of this d"- or live with him and never leave him on account of love. This brmgs such
1
life. ro excremes of pity The vicror of roday was defeated tomorrow by some ". h 1 ,,t rnyone who has not felt it cannot say how wonderful it is. Do you
del1g ( t 1c. ' . .
accident, caprured and imperilled. In the midst of these perperual ups and , . 'k l t someone who feels this is afraid of death, Not ll1 the least! He IS so
wrn t 1a . _. _ .
downs, this alternation of the human hunts of wartime wirh the animal hums or ed so deliuhted, that he does not know where be 1s. lruly be tears
srrengt l1en , o
tournaments that were rhe diversions of "peacetime", little could be predicted.
nothing in the world'" .
The furure was relatively uncertain even for chose who had fled rhe "world"; only This was the joy of battle, certainly. bm ir was no longer the direct pleasure
God and the loyalty of a few people who held together had any permanence. Fe;r in rhe human hunt, in the flashing of swords, in rhe neighing of steeds, in the
reigned everywhere; one had to be on one's guard all the time. And just as c . cl death of the enemv-how fine it is ro hear them cry "Help, help'" or see
1ear an
people's fate could change abruptly, so their joy could rum into fear and chis fear, 10
rhem ly1nub with their bodies rorn open' < Now the pleasure lav" in. the closeness _
in its rurn, could give way, equally abruptly, ro submission ro some new ro one's friends. the enthusiasm for a just cause. and more than earlier we find the
pleasure.
joy of battle serving as an inroxicant ro overcome fear. .
The majority of the secular ruling class of rhe Middle Ages led the life of VerY simple and powerful feelings speak here. One killed, gave oneself up
leaders of armed bands. This formed the taste and habits of individuals . Reports ro the fight. saw one's friend fight. One fought at his side. One forgot
left to us by that society yield, by and large, a picture similar ro those of feudal
where. one was. One forgot death itself It was splendid . \Xihat more'
societies in our own times; and they show a comparable standard of behaviour. There is abundant evidence that the attitude rowards life and death in the
Only a sm<1ll elire, of which more will be said later, stood om ro some extent
sec.u.lar upper class of the j\fiddle Ages by no means always accords with rhe
from this norm
attitude prevalent in rhe books of the ecclesiastical upper class, which we usually
The warrior of the Middle Ages not only loved battle, he lived for ic. He spent
consider "typical" of the 1Iiddle Ages For the clerical upper class, or at least for
his yomh preparing for battle. \Xihen he came of age he was knighted, and waged
its spokesmen, the conduct of life was determined by the thought of death and
war as long as his strength permitted, into old age. His life had no other
of what comes after, the next world.
function. His dwelling-place was a watchtower, a fortress, at once a weapon of
In the secular upper class this was by no means so exclusively the case.
attack and defence . If by accident, by exception, he lived in peace, he needed at
However frequent moods and phases of this kind may have been in the life of
least the illusion of war. He fought in rournaments, and these tournaments often
everv knight, there is recurrent evidence of a quite different attitude. Again and
differed little from real battles. 105
hear an admonition that does nor quite accord with the srandard
"For the society of that time war was the normal state," says Luchaire of the
picmre of the Middle Ages roday: do not let your life be governed by the
thirteenth century. And Huizinga says of the fourteenth and fifteenth centuries:
"The chronic form which war was wont to rake, the continuous disruption of thought of death. Love the joys of this life.
"Nul courtois ne doit blamer joie, mais roujours joie aimer." (No co111luis man
rown and country by every kind of dangerous rabble, the permanent threat of
harsh and unreliable law enforcement . . . nourished a feeling of universal should revile joy, he should love joy.) 1o- This was a command of col!rtoisie from a
uncerrainty." 10 ' romance of the early thirteenth century. Or from a rather later period: .. A young
In the fifteenth century, as in the ninth or thirteenth, the knight still gave man should be gay and lead a joyous life. It does not befit a young man ro be
expression ro his joy in war, even if it were no longer so uninhibited and intact mournful and pensive " 108 In these srntements the knightly people, who certainly
as earlier. did not need robe "pensive", clearly contrasted themselves ro the clerics, who no
"War is a joyous thing . " 105 It was Jean de Bueil who said this. He had fallen doubt were frequently "mournful and pensive"
inro disfavour with the king. And now he dictated his life srory ro his servant. This far from life-denying attitude was expressed particularly earnestly and
This was in the year 1465 It was no longer the completely free, independem explicitly with regard ro death in some verses in the Distiche Cdto11is, which were
knight who spoke, the little king in his domain. It was someone who was passed from generation ro generation throughom the Middle Ages. Thar life is
l66

uncerra1n
was Ol1t of the funclamenrnl themes which recurred in these ver.
StS: f(H
There 1,- ' ont example-the fate. of .Mathieu
. ro nke ._ d'Escouchy He was_ a
and one of the numerous men ot the hfteenth century who wrote a
l ii 1 From rhis .. Chronicle .. we would suppose him to haw been a
To us all a hard uncertain lift. is !'in:n "Chrome e . k B
man of letters who devoted his nme to meticulous hisrnncal \I or.. Lit

Bm this did nm lead to the conclusion that one should chink of death and
. . r nc'
il we tr; to I '
our something
I Li c
of his life from the documents. a totally ditterent
comes afrerward, bur rather: en1erges
, c1Escouc!11
\farrntu . . be"ins
"' .. his. carter <LS mac;isrrart
. c as a councillor. juror
.
and mayor
. ,. I
If you fear clearh mu will live in misery of rhe rn\1n of Pernnne benvten l+iO and \ ..150. From the bt!'innmg we nnc.
. . kine! of fr.ucl with the famil1 of rht procurarnr of the ro,1n. Jean Fromenr. a
him 111 ,1 , . ,-
Or in anmher plact, expressed \1ich panicular clarity and beamy 11" c
reu d El.1,n 1)- fou"hr
c out in lawsuirs. Firsr ir is dk l'rocur<Hor who
. accuses
. cl Escouct1y or
-
"urrycn . . ' n1Lird e r. or of .. txcts
et Hrem11raz
' .. The manir
tor his pan rhreau:ns rhe
\\/e well know rhar dearh shall come W! O\\
. or,. llb
-- c e _ with inYesriwnion
<:-'
for n1anical
c: The won1an
_ obrains
. . . a
and our fornre is unknown: mJli date. ccli1111- c-llin":::- cl Escoucl11
- . to 11lact rhe invesric;ation
'- in rht hands ot rhe
. iud1oar1.
_
srealrhy as a rhief he comes. The affair comes before the parliamenr in Paris. and dTscouchy goes co prison tor the
and body and soul he does parr first rime. \Ve find him under arresr six rimts subsequently. pardy as ddendanr and
Su be o( rrusr and confidence: once a:-...<.1 1,iisc,i
- 1 er 0 ( W'li'

Each rin1e

there is- a st:rious crin1irul case. and n1orc chan once
be nor mo much afraid of clt:arh. he sirs in heavy chains. The conresr of reciprocal accusarions between rht Froment and
for if you fear him owrnrnch d'Escouchy families is intt:rrupred by a violent clash in which Fromenrs son wounds
joy you nevermore shall rouch dTscoucln Both engage curthroats rn rake each orhers lives \\'hen rhis len!'rhy feud
...
p;1:'15L'S our view ' ir is re11lacecl Lw ntw arracks. This time the manir _. is wounded
of tht ntxt life. He who allowed his life to be determined by thoughts bra monk Ne\1 accusarions. then in 1-ihl cl'Escouchy s removal rn J\esle. apparemly
suspicion of criminal acrs. Yet rhis does nor pre,em him from having a
of death no longer had joy in life. Cenainly. the knights felc themselves strongly
successful rnreer. He becomes a bailiff. mayor of Ribemonr. procurnror rn the king at
to be Christians. and their lives were permeated by the traditional ideas and
5,1im Quinrin. and is raised w the nobilir) /1.frer ntw woundings. incarcerarions and
rituals of the Christian faith; but Christianity was linked in their minds. in
expiarion we find him in war sen-ict. Ht is madt a prisoner of war: from ,1 lacer
accordance with thtir differtnt social and psychological simation, with an
campaign he rerurns home c-rippled. Then he marries. but rhis does nor mc:an rhc
tntirely difterem scalt of values from that existing in die minds of the clerics be!'innin!' of a quiet life \Ve find him rrnnspom:d <\S a prisoner rn Pans .. like. a
who wrote and read books Their faith had a markedh different tenor and tone. criminal and n1urdertr . accused of forging seals, again in feud wnh a n1ag1suare in
It did not pn:c\ent them from savouring to the fiJ!l ch.t jon of the world: it did Compiegne. broughr to <tn admission ot his !'Llilt by rnrrure and deni_ed prumuri1111.
not hinder chem from killing and plundering. This pan of their social condemntcl. rthabilirarecl. condemned once again. until the rract or his existeno:
function. an attribme of their class, a source of pride. Not to tear death was a vanishes from the documenrs
viral ne-cessicy foF.the knight. He had to light. The struccure and tensions of this
This is one of innumerable examples. The well-known miniatures from the
society made this an inescapablt condition for individuals
-'book of hours .. of rhe Due de Berry! i.' are another. .. People long belie\ecl. .. says
I Bur in meclit\al society this permanent readiness ro fight, weapon in hand,
its editor... and some are still convinced today. that the miniatures of the
was a viral necessity not only for the warriors, the knightly upper class. The life
fifteenth cenrun- are the work of earnest monks or pious nuns working in the
ot the burghers in rhe cowns was characte-rized by greater and lesser feuds ro a far
peace of their .monasteries. Thar is possible in certain cases. Bur. generally
higher degree- than in later rimes; here-, too, belligerence, hatred and JOY m
speaking, the situation was quire differe-nr Ir was worldly people, master
rormenting others were more- uninhibited than in the subsequent phase.
craftsmen. who executed rhese- beautiful works. and the life of these secular
\'Virh rhe slow rise of a Third Estate, the tensions in medieval socien were
artists was very far from being edifying. \Xie hear repeatedly of actions which by
increased. And ir was nor only rhe weapon of money that carried the b.urgher
the present standards of society would be branded as criminal and made socially_
upward Robbe-ry, lighting, pillage. family feuds-all this played a hardly less
.. impossible .. For example-, rhe painters accused each other of theft; then one of
important role in the life of the rown population than in that of rhe warrior class
i rstlf chem, with his kinsmen. srabbe-d the other to death in rhe srreec. And rhe Due
dt Berry. who needed rhe murderer, had to request an amnesty. a lettrc cle 1{111issirlil
Ch(lllges in the Beh:ll"iOill of the Swt!ar Upper (/,mes i11 the W'tst 169
168 The Ciz'ilizi11g P1ocess

_ . v belligerence or cruelty appears ro be contradictory. Religion, the


for him Yee. anod1er abducted 'in eight-year-old girl in order ro marry her. , chis pier,' v . , . . .
or . , pLinishin" or rewardin" omnipotence of God, never has m irselt a
naturally_ agamsc rht will of her parems. These /dtres de r.:missiol! show us such in r11e o o
.... "" or affect-subduing effect On rhe contrary, religion is always exactly
bloody feuds raking place everywhere, ofren lascing for many years, and ''CJVl(!Zino . . ,
somec1me.s leading .ro wild b,ur!es in public places or in che countryside. And
. d"' .1s rhe socierv or class which upholds ir And because emor10ns \\ere
"c1v1!Jze ' . . .
as . cl in a manner that in our own world is generally observed only m
chis applied ro knighcs <lS much ro merchams or crafrsmen. As in all other . . .......
.d we call these express10ns and forms of behav10ur childish
counmes wirh relared social forms-for example, Ethiopia or Afghanistan d11l ren, . . . .
\>Vherever one opens rhe documents of this nme, one hnds the same:. a I e
n
roday-che noble had bands of followers who were ready for anyching. "..
. l structure of affects was different from our own, an existence w1rhour
During che day he is consramly accompanied by serrnms and arms bearers wnere r 1e . .
. .th onlv minimal rhou"l1t for the future. \'Vhoever did nor love or hare
pursuic of his feuds' . The rr1t1trien, rhe cicizens, cannoc afford chis luxury, but secunt}, \\ 1 . "' . .
chey have cheir relacives and friends' who come ro cheir help, ofren in great h most in rhis societv. whoever could nor stand their ground m the play
coreut . .. .
s could "0 into a monasrerv; m worldlv lite they were JUSt as lost as
numbers, equipped wich every kind of awesome weapon rhac rhe local of passion , "' . . .
ersel' in hrer sooery ,rnd parncularlv at court, persons who could nor
che civic ordinances, prohibit in vain . And chese burghers, roo, when chey have con \ 1' ' . ' .

ro avenge themselves, are cit g1mn, in a srace of feud . 11 1 curb. their passions, could nor conceal and 'ci_vilize" their aHecrs.
The civic aurhoriries sought in vain ro pacify rhese family feuds. The ). In both cases it was the structure of society that required and generated a
magistrates call people before rhem, order a cessacion of strife, issue commands specific standard of emotional comrol. '\'Ve," .says Luchaire, with our peaceful
. . nd habits with rhe care and protecnon rhar rhe modern state Ln ishes
and decrees. For a time, ,i[l is well; then a new feud breaks our, an old one is manners '1 , . _ .
che property and person of each individual', can scarcely form an idea of rh1s
rekindled. Two c1ssocii.1 fall our over business; they quarrel, the conflicc grows 00
,iolem; one day they meet in a public place and one of them strikes the other orher society.
dead. 11 ' An innkeeper accuses another of stealing his clients; they become mortal
enemies . Someone says a frw malicious words about another: a family war Ar rhar rime rhe counrry had disinregrarecl inro pro,inces. and rhe inhabi ranrs of each
develops . province formed a kind of lirde nation rhar abhorred all rhe ochers T:1e provinces were
Nor only among rhe nobility were there family vengeance, private feuds, in rum divided inro a mulrirnde of ieudal esrares whose owners toughr each
vendecras The fifreenth-cemury rowns were no less rife with wars between incessandv Nor only rhe grelf lords, rhe barons. bur also rht smaller lords or rhe
manor in desolare isolation and were uninrerrupredly occupied in \rn,t:ing v:ar
families and cliques The little people, roo-rhe hatters. rhe cailors, rhe
against rheir "sovereigns', rheir equals or rheir subjecrs. In addirion, there was consrnnr
shepherds-were <lll quick ro draw their knives. 'Ir is well known how violenr
rivaln berween rown and rown, village and ,illage, rnlley and \alley. and consranr wars
manners were in rhe fifteenth cenrury, with what brutality passions were
neighbours d1ar seemed ro arise from rhe very mulripliciry of rhese rerrirorial
assuaged, despite die fear of hell, despite the restraints of class distinctions and ' 11-
rhe chirnlrous semirnenr of honour. tht bo11ho111i, ,mJ 1/ soda! units.

n:/dfjrJlJS .. 11r1

Not rhar people were always going around with fierce looks, drawn brows and This description helps us ro see more precisely something which so far has
martial counrenarn:es as rhe clearly visible symbols of their warlike prowess, On been srared mainly in general rerms, namely, rhe connection between che social
the contrary, <l moment ago chey were joking, now they mock each other, one structure and the structure of affecrs In this society there was no cenrral power
word leads ro another. and suddenly from rhe midst of laughter rhev find strong enough ro compel people ro exercise rescrainr. Bur if in this or rhar region
themselves in rhe fiercest feud. Much of what appears ro the power of a central authority grows, if over a larger or smaller area the people
intensity of their piety, the violence of their fear of hell, their guilt rheir are forced to live in peace with each other, the moulding of affects and rhe
penitence, che immense outbursts of joy and gaiety, the sudden flaring and rhe scandards of rhe drive-econom\ are very gradually changed as well. As will be
uncontrollable force of their barred and belligerence-all rhese, like rhe rapid discussed in more derail larer, .the reserve and 'murnal consideration" of people
changes of mood, are in reality symptoms of one and rhe same structuring of the increase, first in normal everyday social life. And rhe disclmrge of affects in
emotional life. The drives, the emotions were vented more freely, more directly, physical arrack is limited ro cerrain temporal and spatial enclaves Once rhe
more openly than later. Ir is only to us, in whom everything is more subdued, monopoly of physical power has passed to central authorities, nor every srro_ng
moderate <rnd calculated, and in whom social raboos are built much more deeply man can afford the pleasure of physical arrack. This is now reserved ro those few
legitimized bv the central authority (e g , rhe police against rhe criminal), and ro
inro the fabric of our drive-economy as self-resrraims, that rhe unveiled intensity . .
The Ciz'i/i::,i11g PmctSs

elsewhere how rhe use of the sense of smell. rhe tendency ro sniff ar food
larger numbers only in exceprional rimes of war or revolll(ion, in rhe social!\'
n"s lns come rn be restricred as somerhing animal-like. Here we see
leg1r1m1zed srrugglt agarnsr internal or excernal enemies. Cother [ llJ C ' L
0 ' , f rhe interconnections through which a clitftrent sense organ, the eye. has
BL!( even rhe_se remporal _or spacial enclaves wirhin civilized sociery in which 0
one on a very specific significance in ciYilized society. In a_ similar way co the
aggressneness. is allowed freer play-abovt all, wars berween narions-have
erh,1ps even more so. it has become a mediarnr ot pleasure. precisely
_become mor_e impersonal. and lead and less rn affecrive discharges _as srrong
ear, pl e direcr satisfanion of rhe desire for pleasure has been hemmed in by
ar:d IIHense ,1s rn rhe medieval phase. The necessary rescra1nt and rranstormation because t 1 . . .
of aggression culrrrnred in rhe everyday life of civilized sociery cannot be simplv a mu ltitude of b,1rriers and proh1b1t1ons. _ . . .
eri within chis transfer of emotions from drrect act10n w speetanng,
reversed. even in rhese enclaves. All rhe same, this could happen more But ev . . ,. .
. been a distinn curve of moderation and 'human1zanon Ill rhe
rhan \H: rn1ghr suppose. had nor rhe direcr physical combar berween a man and there lMS .
-tormarion of affects The boxing march. to mennon only one example.
hrs hared given way rn a mechanized srruggle which required a srrict tr,an , - . . - . cl
, stronlv rem1Jered torm ot rhe impulses of aggressiveness an
control ot rhe artecrs. In rhe civilized world. even in war individuals can no represents '1 c- _- _ _ .
longer give free rein rn rheir pleasure, s1mrred on bv. rhe si buJu of rhe enem"y, but cruelty, compared with rhe visual pleasures ot e<1rl1er stages.. . .
An example from the sixteenth century may serve as an illusmmon. Ir has
muse hghr, no mauer how rhey may fetl, according to rhe commands of invisible
been chosen from a mulEitude of others because it shows an institution in whrch
or only indirecdy visible leaders, againsr a frequendy invisible or only indirectlv
.. il sirr.sfacrion of the ur<'e to cruelrv. rhe jov in watching parn mfl1cred,
enemy. And immense social upheaval and urgency, heightened r he V lSLh ' ' b
in a panicularly pure form. without any rational jusrificarion or disguise
rnrdulh _concerted propaganda, are needed co reawaken and legirimize in large
m<1sses ot people rhe socially omlawed drives. die joy in killing and desrruction as a punishment or means of discipline. _ _ . _
In Paris during the sixEeenrh cenrnry ir was one ot the fesnve pleasures of
rhar h,1,e been repressed from everyday civilized life.
.Midsummer Day w burn alive one or EWO dozen cats. This ceremony was very
G. Admirredly. these affecrs do have, in a "refined" and more rationalized form
famous. The populace assembled. Solemn music was played. Under a kind ot
rheir legirimare and exactly defined place in Ehe eH:ryday life of civilized societ;
scaffold an enormous pyre was erecred. Then a s,1ck or basker conrnining die cars
And rhis is \ery characteristic of Ehe kind of uansformarion Ehrough which d;e
was hung from rhe scaffold The sack or basker beg1rn w smoulder. The cats tell
civiliz,1rion of rhe affecrs rakes place For example, belligerence and aggression
imo the fire and were burned w dearh. while rhe crowd re,elled in their
find socially permirred expression in sponing comesrs. And rhey are expressed
caEerwauling. Usually the king and queen were presem. Sometimes the king or
especi,11ly in specrnting" (e.g .. at boxing marches). in the imaginarv iclemifica-
the dauphin was given the honour of lighti_ng Ehe pyre. And we hear thaE once;
tion wirh a small number of combarams to whom moderaLte preciselv
regulared scope is gramed for Ehe release of such affecrs. And this living-om ;f the si)ecial requesr of King Charles IX. a fox \V<JS caught and burned as we_,ll
This was nor lw anv means re<1lly a worse spectacle rhan the burnrng of
affects in specraring or e\en in merely listening (e.g., to a radio is
heretics. or rht ,rnd public extcurions of ewry kind. Ir only appears
a panicu!arly characrerisEic feature of ci,ilized society Ir partly determines- rhe
worse because rhe joy in torturing living crearnres is rnealed so nakedly and
de,elopmem of books and rhe d1eaue, and decisiveh- influences rhe role of rhe
purposelessly. wirhout <lllY excuse before re,1son . The revulsion aroused in us b1:
cinema in our world . This rransformarion of what m;rnifested irself originallv as
Eht mere repon of rhe institution. a reaction which musE be taken as "normal
an accive. often aggressive expression of pleasure. into the passive. mor:
for the present-day standard of aHecr control, demonstrates once again rhe long-
pleasure of specrnring (i e .. a mere pleasure of rhe en:) is alreadv iniriared in
term chan<'t of rhe affecr-economv Ar rhe same time. ir enables us to see one
education. in rhe condicioning preceprs for young -
aspecr of change panicularly much of what earlier pleasure
In che 177-i edition of La Salle's Cit'iliti, for example. we read (p 23):
arouses displeasure rnd<1y Now, as rhen. ir is nor merely individual feelmgs rhaE
children like to touch clothes and other things rh<u please them wirh their
are ill\olvedc The caE-burning on Midsummer Day was a social institurion. like
hands. This urge muse be correcred, and they musE be raughr to much all rhey
boxing or horse-racing in presem-day society. And in both cases rhe
see only with their eyes."
creared bv socieEV for iEself. <lre embodimems of a social sEandard of <lttecrs
_By now this precept is taken almost for gramed. Ir is highly cluracceristic
wirhin of which all incliYidual panerns of affect regulation.
ot ci\ilized people tlut rhey are denied by socially insrillecl self-comrols from
however varied rhe\ rnav be, are contained; anyone who steps outside the bounds
spomaneously rnuching what rhey desire. love or hare . The whole moulding of
their gesrnres-no m<1rrer how irs parrern may difter among \\!estern naEions
oC this social sranciarcl i.s considered "abnormal" Thus. someone who wished to
grnEify his or her pleasure in the manner of the sixteemh century by burning cars
wirh regard rn paniculars-is decisi,tly influenced by this necessiEy Ir has been
17,
- Tht Cirilizi11g Pmcess

would be seen toda\_ as "abnorm l" j b l


. a . simp y ecause norma condirioninu clas::,,. To com1)lemenr chis, and at the same rime to provide a link with the
f . 1 b 10 0Ur
stage o cn-1 1zacion restrains the expression of pleasure in such ice ions ti of [ht causes of rht change these standards underwent, we shall now acid
. . . ' 1rough
anxiety insnlled as self-control. Here, obvioush. rhe simnle jJsuc! j ' pression of che wav in which knights lived, and drns of the "social
l . - ' : 10 ogicaJ 5hoF 1111 L
mec 1anisrn is at work on the basis of which rhe loni.::-rerm clnnne of jJ4rs 0
..
"W lUC -11 societv. Oj)tned to individuals of noble birth, and wirhin which it
I . L ' "" Lona.11:tr
1
scrucrure 1as taken place: socially undesirable expressions of drives and )j 1
.- .. 1 rhem The [Jicture of this "social space". the image of the knight in
are ch e cl cl l d I easure also conm1cu . . . . - . .
r arene an punis 1e w1cl1 measures char generate displeasure and anxi . became clouded 111 obscuncy qu1[e soon after what 1s called their
or allow chem ro becom cl . I l . tty
e omrn,mr. n c 1e constant recurrence of disj)l . .. \'vhe[her che medieval warrior came to be seen as rhe "noble knight"
1rouse I b l cl easure "dee Irne ' _ . . . .. .
' c j t 1rears, an rn the habituation ro this rhvchm rhe do [he grand, beamiful, adventurous and movrng aspeccs of his life berng
dis ,j . . . . minant
I easurt is compulsorily associated even with behaviour which ac root mav b
membered) or as rhe "feudal lord", the oppressor of peasants (only rhe
pleasurable In chis manner. socially aroused displeasure and anxietv-no . d, e
cl l \va ays re b<1rbaric aspects of his life being emphasized), rhe simple picrnre ot rhe
represente _. r 1ough by no means always and by no means solely. by the
acnia l l If-,, of chis class is usually disrorred by values and nosrnlgia from rht
L .
parenrs-hghr with hidden desires. \'Vhar has been shown here from differ
eriod of rhe observer A few drawings, or at lease clescripr1ons ot may help
angles as an advance in the frontiers of shame, in rhe threshold of repui.::nance p [ore rhis f'icrnre. Apart from a few writings, rhe works of sculptors and
the standards of affect. has probably been set in morion by mechanis; s such in . . -.
rhese. 1 as of. the period convey 1)articularlv srronglv the special quality ot 1rs
paimer 5 .. . : . ...
atmosphere or. as we may call 1r. rts emononal character, and the way rt cl1Heres
.Ir remains to be considered in greater derail what changes in rhe social .-
rron1 OLir ciw11 ' chouuh . a few works reflect che life of a kniglu
:::. onlv '- in its real
structure actually mggered these psychological mechanisms. what changes in the context One of rhe few picrnre-books of chis kind, admirtedly from a relatively
constrarnrs j)eople on eacl1 or! l " 1 ..
L 1er set t 11s c1n 1zanon of 1ttecrs d late period, between 1-i/5 and l-i80, is rhe sequence of drawings that became
behaviour in morion. ' an
known under che nor very appropriate ride 1\Ialicmf Hol!Je-Book (see Appendix
ID. The name of the anise who drew chtm is unknown. but he muse have been
XI verr familiar with che knightly life of his rime; moreover, unlike many of his
craftsmen. he must have seen rhe world with the eyes of a knight and
Scenes from the Life hir<'eh identified with cheir social values. A. nor insignificant indication of chis is
of a Knight hi;'"' on one sheer of a man of his own craft as the only craftsmen in
courtly dress, as is rhe girl behind him. who places her arm on his shoulder and
The question why people's behaviour and emotions change is reallv rhe same as
for he clearly his feelings. Perhaps it is a self-poruair. 11 ''
the _quesrwn why their forms of living change. In medieval socien .certain forms These drawings (see Appendix II) are from che lace knightly period. rhe rime
ot bte had b_een developed. and indi\icluals were bound to live them as of Charles che BolJ and Maximilian, the hm knight.. \Xie may conclude from the
kn_i:1'hrs, m bondsmen. In more recent society different opporrunir;es, coats of arms char these cwo, or knights close to them, are themselves represented
forms_ of livrng came to be pre-given. ro which individuals had to adapt. in one or another of che picrures . "There is no doubt, .. ir has been said, "rhar we
Ir they were ot the nobility they could lead the life of a courtier. But [hev could have Charles rhe Bold himself or a Burgundian knight from his entourage
longer. even if they so desired (and many did), lead rhe less lite before us " 12 " Perhaps a number of the pictures of tournaments directly depict
of a kniglu From a parcicular time on. this funcrion, this wav of life was no the jousting following che Feud of Neuss ( l-i 7 5 ), at the betrothal of Maximilian
longer pre_sent in the srrucmre of society Orher functions. as rhose of the co Charles rhe Bald's daughrer. Marie of Burgundy" Ar any race, chose we see
guild craftsman and the priest, which played an extraordinary pan in the before us are already people of the transitional age in which the knightly
med'.eval largely lost their significance in rhe total structure of social arisrocracv was being gradually replaced by a courtly one. And a good deal char
relanons. \'Vhy do these functions and forms of life, to which individuals must is remini;cent of the courtier is also present in these pinures. Nevertheless, they
adap[ themselves as to more or less fixed moulds. change in the course ofhistorv? give, on che whole, a very good idea of rhe social space of a knight, of how he
As lns bee l l
'. n menr1onec, t 11s is really the same quescion as whv fet!ini.::s and filled his days, of what he saw around him and how he saw it.
emotions, the strucmre of drives and impulses, and everything with \Vhat do .we see; Nearly always open country. hardly anything recalling the
them change.
rown. Small villages, fields, trees. meadows. hills. shore stretches of river and.
A good deal has been said here abom the emotional standards of rhe medieval frequently, the castle . Bm there is nothing in these pictures of the nostalgic
Tht

mood. rhe sentimenrnl' auiwde rn "narnrt that slowly bernmt ptrceptib!e nor ,. rerior is visible, and a pig behind him is sniffing ar ir A frail old woman,
very long atterwards. as rht leading nobles had ro foruo more tnc'1 11'5 pOS b .I l cl .
_ ,'- c ' 01 ore ' in rags, limps by suppontd on a crmch. In a small caw esrc t r 1e roa sns
trtqutndy the_ rtlatiwly unbridled lift ar their ancesrral stars, and were bound wirh his hands and feer in rhe srocks, and beside him a woman wrrh one
1ncreasrngly nghrly rn rhe semi-urban courr and rn dqx:ndtnct on kin"s ( l1t, 'rticks. - rhe ocher in feErers ,-\ farm workc:r is roiling ar a waEercourse
. Tl . . - 6 0r II1
pnncts: 11s ts one ot rhe mosr imponant ditforences in tmorional wne that .. hes berween rrees and hills . In rhe disrnnce we see rhe farmer and his
rhar hmrs . . - . . " -
rhtse ptcrnres conn:y. In lacer periods rht anises consciousness sifrs rhe material LLL1 oriouslv
$0 11 l.-L . 11louuhrnu
b b rhe h1llv . held wtrh a horse. Snll rurrher back
arndable w him in a n:ry srricr and specific way which direcdy txprtssts his ri"s is beinu ltd rn rhe ...._,L:allows. an armtd man wirh a teacher in his cap
a rrn1n in t- ei . . .
rnsrt or_. more precisely, his affecrin: srrucrnre. i\arure- rhe open country,
mare I11n,,." rnroudlr- btside him: ar his ocher stdt. a monk ll1 his_ cowl .
holds out a
shown hrsr of all as merely a background ro human figures, wok on a nosralgic l (th-x w him Behind him ridt rhe kmghr and rwo ot his men. On rhe
forge crt . , . '- . ,. . .
glow, as rhe confintmtnt of rhe upper class rn rhe rowns and courrs incrtased
rop o1c 1 j1c, 11 111 snnds
, ,
rht ""nallows
.
wnh a boclv, hanL:rng
- , ,
rrom 1r, and rht \vhetl
rhe rifr berween rown and country lift grew more perctprible. Or narnre wok on ' . cori1 st on ir. Dark brrds fh around; one of chem pecks ar rhe corpse.
wrrn '1
like rht human figures it surrounded in rhe piccure_ a sublime. n:prtsemariv; The gallows is nor in rhe lease emphasized. Ir is rhere like rhe scream or a rree:
characrer. Ar any rare. rhtrt was a change in rht .reki"tir111 /;_i icli11g, in what and it is seen in jusr rhe same way when rhe knighr goes hunting. A whole
appealed w feeling in rhe rtprtsentarion of narnrt, and in whar was ftlr as company rides pasr, rhe lord and lady ofren on rhe same horse. The deer vanish
unpleasant or painful And rhe same is rrut of rht people depicrecl For the lnro a )irrle wood: a srng setms w be wounded. Furrher rn rhe background one
public in rht: absolure cuurr. much char realh txisred in rht countn-, in narure" sees a lirde village or perhaps rht yard of a household-:-well, mill wheel,
was no longer ponrayed. The hill was bur nor rhe gallows -on ir. nor Jn.11"ll '1 ttw builclinns
wine c- , Tht farmer is seen 11loughinL:
._ '- a held: he looks round
corpse hanging from rhe gallows. The field was shown, bur no longer rht ragged ar die deer. which are jusr running across his field . High up ro ont side is rht
ptasant laboriously driving his horses. Jusr as ewryrhing common or "vulgar" casde: on rhe ocher, smaller hill opposire. wheel and gallows wirh a body. and
disappeared from courdy languagt, so ir rnnishtd also from rht picrures and birds circling
drawings inttndtd for rht courdy upptr class. The gallows. rhe symbol of rht knighr's judicial power. is pan of rhe
In rht drawings of rht Ho11.rt-Br,r1h. which gi\t an idta of rhe fttling-srructure background of his lift Ir may nm be \ery imporranr, but ar any rare, ir is nor a
of rht lart mediernl upptr class. rhis is nor so Hert, all chest rhings-i.:allows parricularly painful sighr. Sentence. txecurion, dearh-all chest art immediarely
ragged servants, labouring peasants-are w bt seen in drawings a; in ;ea) life'. present in chis lift. They. rno. have nor yer been remo\ed behind rhe scenes
Thty art nor emphasized in a spirir of proresr. in rhe manner of lacer rimes, but And rhe samt is uue of rhe poor and rhe labourers. "\\!ho would plough our
shown as somerhing n:ry marrtr-of-fi1cr, pan of ont"s dailv surroundings, like rhe fields for us if vou were all lords-_ asks Berrhold von Regensburg in one of his
swrks nesr or rht church rower. One is no more painfui in life rhan' rht ocher. sermons in rhe -d1irreenth centun-. 121 And elsewhere he even more clearly: I
and so is nor more painfi.d in rht picrnrt. On rhe conuan-. as t\en-whtrc: in the shall cell vou Chrisrian folk how Almighry God has ordered Chrisrc:ndom.
Middle Ages. ir was an inseparable pan of rht txisrtnce. of rhe rich and noble dividini.: inw rtn kinds of people. "and whar kinds of services Ehe lower owe
rhar rhere also exisrtd peasams and crafrsmen working for chem, and bei.:i.:ars and the hiL:l1er as rheir rulers. The firsr d1fet are rhe highesr and mosE exalred whom
cripples wirh optn hands. There was no rhrtar w rht noble in chis. n:i; did he Almi,:hrv God himself chose and ordained, so char rht ocher seven should all be
identify in any way wirh rhtm: tht sptcracle evoked no painful fetling. And r-o rhtm and strve chem" ice The same arrirude rn lift is srill found in
ofrtn enough rht yokel and peasant wert rhe objecrs of pleasantries ' these picrurts from rhe fifreenrh century. Ir is nor disrnsrefuL ir is pan of rhe
The picrures reveal rht same arrirnde. Firsr rhere is a sequence of drawings namral and unquesrioned order of rhe world char warriors and nobles have leisure
showing people undtr panicular consrellations. They are not grouptd directly rn amuse rhemselves. while rhe ochers work for chem There is no identificarion
around rht knighr, bm rhey make clear how and \vhar he saw around him. Then of person wirh person. Nor even on rhe horizon of chis life is chert an idea char
comes a series of pages showing how a knighr spends his life, his ocrnparions and all ptoplt are equal. Bur perhaps for char very reason rhe sighr of rhe labourers
his pleasures Measured by lacer rimes. rhey all bear wirntss w rhe same srnndard has abom ir nmhing shameful or embarrassing.
of repugnance and the same social arrirndes A picrnre of rhe shows rht pleasures of rhe lords. A young lady of rhe
Ar rhe beginning, for example, we see people born uncltr Sarurn . In rhe nobiliry crowns her young friend with a wrearh; he draws her w him. Another
foreground a poor fellow is disembowelling a dead horse or perhaps curring off pair go walking in a close embrace. The old senant woman pulls an angry face
rhe usable mear His rrousers have slipped down somewhar as ht bends: pare of at rhe lo\e o'-
w1mes of rhe vounu jJeOjJle Nearb\. rhe servants are \\orking. One of
.
ii! the Bdv1io11r rl the Semlar Uf'f'tr Classes in the \\lest 177
The Ciz'ili::;i11g Process

them sweeps the rnrcL anocher grooms che horse, a chird scaners food for the ne looks at che hericage of che medieval upper class, one finds chis
Wherever o . .. . - l-
ducks, but the maid waves to him from the window; he turns round, soon he wi]J
arntu de in rn
._ unrescra111ed
.. form. Ihe further 111terclependence and c le
disappear into the house . Noble ladies at play. Peasam amics behind them. On of Jabour in society advance. the more dependenc die upper classes
che roof che stork claccers. che other classes, ;rnd the greater, therefore, becomes che social
become on . .
Then chere is a small courcyard by a lake On che bridge srands a young f these classes, ac least potennally. Even when che upper class was still
I
strengt 1 o . .. . fl '
nobleman wich his wife . Leaning on che baluscrade chey wacch the sen-ams in the . 1, , \\.. irrior class. when it kepc the ocher classes dependent ch1e )
nrtn1an ) 1 '
water cacching fish and ducks. Three young ladies are in a boar. Rushes. bushes r l he sword and che monopolv of weapons. some degree ot dependence on
throug i c . - . L

in the disrance the walls of a small town ' r chsses w'lS cerra111lr not ent1relr absent Bm it was 111comparabl)
these oc l1 e ' ' , . ..
Or we see workmen building a house in from of a wooded hill. The lord and coo--as will be seen in greater derail later-was rhe pressure tram
less: an cl less ' _ ' _ . .
lady of the castle look on. Tunnels have been driven imo che litde hill t0 quarry below. Accordingly. che sense ot mastery of the upper class. itS contempt tor
stones. \\!orkmen are seen hewing che stones; others care them away. Nearer other classes, was far more open, and che press1'.re on upper-class people co
us, men are working on che half-finished building. In the foreground workmen exercise resrraint and co control their drives, was tar scrong. . _
are quarrelling; they are about co stab and strike each other down. The lord of Seldom has the matter-of-fact sense of mastery ot chis class, and 1cs selt-
the casde srancls nor far from them . He shows his wife che angry scene; the confidenr, pacriarchal comempt of ochers, been so vividly conveyed as in chese
com piece calm of the lord and his wife is placed in sharp comrast to the excited , s This is expressed not onh in the gesture with which the nobleman
dra\-vtn.! - - (_,
gtswrts of the disputants. The rabble fighc, the lord has nothing to do wich it. shows liis wife che quarrelling craftsmen and che workers in a kind of foundry
He lives in <ll1ocher sphere. who are holding cheir noses ro ward off the foul vapours; not only where the lord
Ir is nor the events themselves, which in part are no clifferem coclay. but above watches his servants catching fish. or in che repeated depiction of rhe gallows
all rhe fact and the manner of their portrayal that underline the changed with a corpse hanging from ic: buc also in che matter-of-fact and casual way in
tmorional strucwre. The upper classes of later phases did nor have such chings which the nobler gestures of che knight are juxtaposed co the coarse ones of the
drawn . Such drawings did noc appeal co cheir feelings. They were noc .. beau- people.
tiful .. They did noc form pare of "'art"' In later periods it is at mosc among the There is a picture of a cournamenc. Musicians play Fools cut clumsy capers.
Durch (who depicc middle-class. specifically uncourtly strata) tliac we find. for The noble specrarors on cheir horses, often the lord and lady on the same horse.
example, in che work of Breughel a standard of repugnance char permics him to are conversing, The peasants, the cicizens, the doctor, all recognizable by cheir
bring cripples. peasams, gallows or people relieving chemselves inco his picrnres. dress, look on. The cwo knights, somewhat helpless in cheir heavy armour, waic
Bm che standard chere is linked with very differem social feelings chan in these at the centre Friends advise chem. One of chem is just being handed the long
pictures of the late medieval upper class. lance Then the herald blows his crumpec. The knights charge ac each other with
Here. it is a marcer of course thac the labouring classes exisc. Thty art even rheir lances levtlledo And in the background. concrascing co che c11111rnis activities
indispensable figures in che landscape of knightly exiscence. The lord Ji\es in of rhe mascers. we see the vulgar pascimes of the people. a horse race
their midsc. Ic does nm shock him to see che serYant working beside him Nor accompanied by all kinds of nonsense. A man hangs on co che rail of one of the
does ic shock him-if the latter amuses himself in his own way. On the contrary, horses. The rider is furious. The ochers whip cheir horses and make off at a
it is an imegrnl part of his self-esceem ro have chese other people moving about somewhat groresqut gallop.
him who are noc like him. whose master he is, This feeling is expressed ;1gain and \\le see a military camp. A circular barricade has been made wich che gun
again in che drawings. There is scarcely one of them in which c1111rtfJis occupacions carriages, \\ii chin it srancl resplendent rents wich their different coats of <lrms and
and gestures are noc contrasted co the vulgar ones of che lower classes . \\!hecher banne,rs. among them che imperial banner. At the centre. surrounded by his
he rides, hums, loves or dances, whatever the lord does is noble and Clil!rtois, knights we see the kin" or even the emjJeror himself. A messenger on horseback
(_, ' b
whatever che servants and peasants do coarse and uncouch. The feelings of the is just brinc,in" him a messa<'e Bue at che gate of che camp, beggar women sit
medieval upper class did nm yec demand chat everyching vulgar should be with their their hands. a man in armour on horseback
suppressed from life and therefore from pictures . Ic was gratifying for the nobles brings in a fettered. Furcher back we see a peasant ploughing his field
co know chemselves different from ochers. The sight of contmsts heightt11ed jliJ in Omsicle the rampart, bones lie abom, animal skelecons. a dead horse with a crow
lfri11g: and we should remember thac. in a milder form, something of che pJe,1sure and a wild clog earing ic. Close ro a wagon a crouching serrnnt relieves himself
taken in such conm1scs is sci!! co be found, for example. in Shakespeare. Or we se; knighcs actacking a village under che sign of Mars. In the
178
in the Bchdl'ifJ!ll" o/ the Sw1!ar Uf'Jicr C!cJS.res i11 the Wi:st 179

foreground, one of die soldiers is scabbing a prostrate peasant: on rhe ri''ht . irher in his har others have garlands in their hair. Perhaps we are looking
large ttC< ' L

apparently in a chapel, a second man is scabbed and his possessions are . l ot slow dance . Behrnd stand three bovs makrng music; there is a table
. 0
k !11C l .
L

a. war . 0 n t l1e root the srorks _sir peacefullv


in rheir nest FL1rrher back 1' jJeasant
l]{" . c . . .
fruits and dnnk and a young iellow leamng agamst it, w 10 JS t0 serve.
is trymg ro escape over the fence. bur a knight on his horse holds him by th Ar rhe opposite side. enclosed by a fence and gate, is a lirtlt garden. Trees
protruding of his A peasant woman cries our. wringing her - ki nd of bower. beneath which is an oval bathtub. In it sits a voung man,
. . ..... , .
peasant m terrers, doleful and wretched. is being beaten over the head by a
mtke<l.. \"ho o
,y
urabs eaerlv
o .. at a naked girl who JS JUSt cl1mbmg <....
mto the bath \nth
knight on horsebacL Further back horsemen are setting tire ro a house: one of .,: As ibove an old female servant who is bringing fruits and drinks surYeys
Ium. 1 :1. ' (._, <....

them drives off the car de and strikes at the farmers wife who is rn-in ,, ro st
. . . . , . "' op tl1e lo\'e c' w1me of rhe .voung '-' jJeo1Jle with an angrv
._, - face. And as the masters arouse
_
him: abow. Jn the little rower ot the village church, the peasants huddle diernselves in the foreground, so do the servants in the background . One of them
rogerher, and frightened faces look out of the window. In the far distance, on a falls upon a maid who lies on the ground with her skirts already pulled up He
sma_ll hill, srands a forrified monastery: behind the high walls one sees rhe church looks round once more ro see whether there is anyone nearby. On the other side,
roof with a cross on it. Somewhat higher up, on a hill. a castle or another part
rw 0 \ oLH1" o fellows of the common !Jeople are dancing <-
around, flinging their arms
of the monastery.
and legs like .Morisco dancers; a third plays for them..
These are rhe ideas suggested ro rhe artist by the sign of the god of waL The Or we set, likewise in the open country, a small srone bathhouse with a small
picture is wonderfi.dly full of life . As in a number of rhe ocher drawings. one feels yard in front of it surrounded by a stone wall. \Ve can see a little beyond it. A
that something that has been really- experienced is before one's eyes. One has this is indicated, bushes, a row of trees leading inro the distance. In r'.1e yard
feeling because these pictures are nor yet "sentimental'', because they do nor young couples are sirring and walking about; one of them admires the tashion-
express the greater of the emotions which from now on. for a long fountains, others converse, one of the young men with a falcon on his hand
per10d, caused rhe arr ot rhe upper class ro express more and more exclusivelv its Dogs, a little monkey. Potted plants
wishful fanrnsies, and compelled it ro suppress everything that conflicted ;virh \Vt can see inro the bathhouse through a large, open, arched window. Two
this advancing standard of repugnance. These pictures simply narrate how the young men and a girl sit naked in the water, side by side, and talk. A second girl,
knight sees and feels the world . The sifring of fet!ing, the grid placed on the undressed, is just opening the door ro climb inro the water with them.
affects which admits to the picture what is pleasurable and excludes what is In large open rnulr of the bathhouse a boy sirs playing something t0 the
painful or embarrassing. allows many facts ro pass unimpeded which later attain bathers on his guitar.. Under the arch is a tap from which tht water runs . In front
expression only when a conscious or unconscious protest against rhe upper class of che little house, drinks are placed ro cool in a small tub of water. On a table
censoring of drives is being expressed, and are then somewhat overemphasized. next rn it are fruits and a gobler; at the table is a young man, a wreach in his hair
Here the peasant is neither pitiable nor a represenrati\e of virtut. Nor is he a and his head supported elegantly on his hands. Above, from the second floor of
represemative of ugly vict . He is simply miserable and somewhat ridiculous, the bathhouse. a maid and a servant watch the masters enjoying themselves
exactly as the knight sets him . The world revolves around the knid1r. Hun"f\' In this picture, as one can see, the erotic relation between men and women is
L 0 ,
clogs, begging women. rotting horses. servams crouching against rhe ramparts, much mort open than in the later phase, where it is hinted at in social life, as in
villages in Hames, peasams being plundered and killed-all this is as much a pictures, in a way rhac is comprehensible to all bur nevertheless half-concealed.
part of the landscape of rhese people as are tournaments and hums . So God made Nakedness is noc yet associated with shame ro the extent that, ro circumvent
tht world: some are rulers. rht ochers bondsmen. There is nothing embarrassing internal and external social controls, it can only appear in picrurts sentimentally,
about all this.
as rht costume, so to speak, of the Greeks and Romans.
And the same difference in standards of feeling between even this late Bm neither is rhe naked body depicted here in the way it sometimes appeared
knightly society and the subseguem society of the absolute courrs is also shown in lacer rimes, in "private drawings" passed secretly from hand ro hand. These
in the representation of love. There is a picture of people under rhe sign of love scenes are anything but "obscene" Love is presented here like anything else
Venus. Again we look far imo rhe open coumrv. There are little hills, a in the life of the knight, rournamenrs, hums, campaigns or plunderings. The
meandering rin:r, bushes and a small wood . In the three or four pairs scenes are nor particularly stressed: one does nor feel in their representation
of young nobles. always a young lord and a young lady together; they walk in a anything of the violence, the tendency ro excite or gratify a wish-fulfilment
circle
-
ro the sound of music. ceremonioush-..
elevamh-.
b . '
all with the lonn-roed
c ' denied in life that is characteristic of everything "obscene" This picture does nor
tashionable shoes. Their movements are measured and rounded: one noble has a come from a repressed mind: it does nor reveal something "secret" by violating
180 The Cil'i!izing Proccrs i11 the Beha1io11r of the Semien- UP/Jf:r Classes i11 the \Vut 181

taboos. It seems quire carefree. Here, too, the arrisr drew what he must have S" n clerical society; these differences remain to be examined in derail They
menr10 . . . __
l:imself often enough in life. And on account of this unconcern, this . ble in these pictures, 1f rhe measured and somet1mes even attecred
are vis1 -
tacrness with which, compared to our standard of shame and embarrassment h of rhe nobles are compared ro rhe clumsy movements of rhe servants and
. ,t e
relat10ns between the sexes are presented, we call this attiwde naive Even in
pe;!Sancs.
the Hwm-Book we occasionally a joke which is (to our taste) thoroughly The expressions of feeling of medieval people were, on the whole, more
coarse, as also m other artists of this phase-for example, Master E. F. and us and unrestrained than in rhe following period. Bm rher were nor
sponta neo . . . . .
copied from him, in the p?pularizing "Master with the iined or without soC1al mouldmg m anv ahsol!!t1: sense. In this respect
unres tr ,
oles And the adopt10n of such motifs b\ a pojJU!arizinu CO)Jvist who rhere is no zero point. The person without restrictions is a phantom Admittedly,
. b .. ' Was
possibly even a monk, indicates how different was the social standard of shame. the narure, suengrh, and elaboration of rhe prohibitions, controls and depend-_
These things are depicted with the same matter of facrness as some detail of
enc1e- cliin<'e
' o in a hundred wavs . ' and with them the tension and equilibrium of
cloching. Ir is a joke, certainly a coarse one, _if we like to call it that, but really che emocions, and likewise rhe degree and kind of gratification rhar individuals
coarser than the 1oke the art1st permits himself when he makes the shirt-tail and find.
of the plundered and fleeing peasant stick out so that the knight can catch hole! Taken rogerher, these pictures give a certain impression of where rhe knights
of it, or when he gives the old servant surveying the love games of the sou.ghr and found gratification. Ar rhis rime they may already have lived more
people an angry express10n, as if mocking her for being too old for such at court than earlier. Bur castle and manor, hill, stream, fields and
dalliance.
villages, uees and woods still formed the background of rheir lives; they were
_ All these were expressions of a society in which people gave way to driws and taken for granted and regarded quire wirhom sentimenraliry. Here they were at
feelings incomparably more easily, quickly, spontaneously and openly than today, home, and here they \Vere rhe masters. Their lives \Vere characteristically divided
m which the emotions were less restrained and, as a consequence, less evenlv between war, rournaments, hunts and love.
regulated and more liable to oscillate more violently between extremes But in rhe fifteenth century itself, and more so in rhe sixteenth, this changed.
this srandard of regulation of the emotions, which was characteristic of the \Vhole At rhe semi-urban courts of princes and kings, partly from elements of the old
secular society of the Middle Ages, of peasants as of knights, there were certainly nobility and partly from new rising elements, a new arisrocracy formed with a
considerable variations And the people conforming ro this standard were new social space, new functions, and accordingly a different emotional strLIC-
subjected ro a large number of drive controls Bur these were in a different rure.
direction: they were nor of the same degree as in later periods, and rhev did not People felt this difference themselves and expressed ir. In 1562 a man named
rake the form of a constant, even, and almost automatic self-conrrol. Th.e kind of Jean du Peyrar translated Della Casa's book on manners into French. He gave it
integration and interdependence in which these people lived did nor compel tht tide Gt1!atc!e Oil !t1 mt1nir:n: d COillllle ft gcntilhr1111111f se doit go111r.1?Jtr 01 !Oith:
them to resuain their bodily funcrions before each orher or ro curb rheir (Galarto, or rht manner in which the gentleman should conduct himself
aggressive impulses ro the same extent as in rhe following phase. This applied to in all company). And even in this title rhe increased compulsion now imposed on
everyone. Bur of course, for the peasants rhe scope for aggression was more rhe nobles was clearly expressed. Bur Peyrar himself, in his introducrion, explicitly
restricted than frw the knighrs-resrricred, that is, ro their own kind . For the stressed rhe difference between the demands rhar life used to make on the knight
knights, by contrast. aggression was less restricted outside their own class rhan and rhose which were now made on rhe noblemen by life in court:
wirhin it. for here ir came to be regulated by the code of chivalrv. A sociallv
generated restraint was ar rimes imposed on peasants by rhe simple rhat The entire virrue and perfection of rhe gentleman. your lordship. does nor consist in
did not have enough ro ear. This certainly represents a restriction of drives of rhe correctly spurring a horse. handling a lance, siEring straight in one's armour. using
highest degree, which expressed itself in the whole behaviour of a human being. every kind of weapon. behaving modestly among ladies. or in rhe pursuit of love: for
this is another of rhe exercises attributed to the gentleman. There is, in addition.
Bur no one paid attention ro this, and their social siwarion scarcelr made it
service ar table before kings and princes. the manner of adjusting ones language
necessary for them to impose constraint on themselves when blowin" ;heir noses
b towards people according to their rank and quality. their glances, gesrures and even the
or spitting or snatching food at rable. In this direction, coercion in the knightly
smallest signs or winks they might give.
class was stronger. However uniform, therefore, the medieval standard of control
of emotions appears in comparison to later developments, it contained consider- Here, exactly rhe same things were enumerated as constituting the customary
able ditttrences corresponding to the srrarificarion of secular socien itself nor ro virtue, perfection, and acriv-iries of the noble as in the pictures of the H(Jlt.r,-Booh:
182 Proer:ss

fears of arms and love, Comrasrt:d rn rhtm wtrt rht addirional perfecrions and
rhe new sphere of life of rhe nobleman in rhe service of a prince. A new
consrraim, a new, more exrensivt comrol and regulation of behaviour than the old
knightly lift made eithtr nectssarl' or possible, was now demanded of rhe noble-
man . These were consequences of rht new, increased dependence in \vhich the
noble was now placecL He is no longer rhe rtlarively fret man, rhe masrer in his
VOLUME II
own casde, whose casdt is his homeland . He now lives ar courr He serves the
prince . He wairs on him ar table. And at court he lives surrounded by people, He
musr behave rnwarc!s each of rhem in exact accordance with rheir rank and his
STATE FORMATION
own. He must learn to acljusr his gestures exacdy w rhe different ranks and
standing of rhe people ar courr, ro measure his language exacdy, and even to
AND
control his eyes exacdy-, Ir is a new self-discipline, an incomparably srronger
reserl'e rhar is imposed on people by rhis new social space and the new ries of CIVILIZATION
i merdependence.
The arriwde whose ideal form was expressed by rhe concepr of a111rtoisie was
giving way rn anorher expressed more and mort by the concepr of ciz'ilite,
The translarion of G,datt11 by Jean du Peyrar represems rhis rransirional period
linguisrically as welL Up rn 1530 or 1535 rhe concepr of co111tr1isie predominated
more or less exclusi\'ely in France. Towards rhe end of rhe cenrury rhe concept of
cizilih: slowly gained precedence, wirhour rhe orher being losr Here, about the
year 1562, rhe rwo were used rngether withom any noriceable precedence of one
or rhe ()[her, In his dedicarion Peyrar says: "Ler rhis book, which ueats the
insrruction of a young courrier and gemleman, be prorecred by him \\'ho is as the
paragon and mirror of orhers in crJi1r!tSJ ciz'ility, good manners and praiseworrhy
customs,
The man w whom these words were addressed was that \'try Henri de
Bourbon, Prince of Navarre, whose life most visibly symbolizes rhis uansition
from the chivalrous w che courdy man and who, as Henri IV, was w be rht direct
execurnr of rhis change in France, being obliged, ofren againsr his will, to
compel or even condemn rn clearh rhose who resisted, rhose who did not
understand rhar from being free lords and knighrs che\ were w become
depend em servants of the king. i 2 '
PART THREE
Feudalization and
State Formation
Introduction

Survey of Courtly Society


1. The S[ruggles benveen [he nobili[y, [ht Church and [he princes for [heir
shares in [he comrol and [he produce of the land ran through the entire 1fiddle
Ages. In [he course of the twelfrh and thirteemh cemuries a further group
emerged as a partner in this play of forces: rhe privileged town-dwellers. the
''bourgeoisie".
The actual course of this consram struggle, and the power relations among the
concr:srnms. varied widely between coumries. But rhe outcome of rhe conflicts
was, in irs suucture, nearly always rhe same: in all the larger cominemal
countries, and at rimes in England too, rhe princes or their represenrnrives finally
accumulated a concemration of power to which rhe estates were not equal. The
aurnrky of the majority, and the estates share of power, were curtailed step by
step, while the dicrntorial or "absolute" power of a single supreme figure was
slowly established, for a greater or lesser period. In France, England and rhe
Habsburg coumries this figure was rhe king, in [he German and Italian regions
it was the territorial ruler.
2. Numerous studies describe, for example, how the French kings from Philip
Augustus to Francis I and Henry IV increased their power, or how [he Elector
Frederick \\/illiam pushed aside [he regional estates in Brandenburg, and the
Sta!t Forl/latio11 m1cl Cil'ilizr1tio11 189
188 Tbt Cil'ili::;ing Proc,.rs

Medici rhe patricians and senate in Florence, or how rhe Tudors did rhe same to s still shared their function with the universities turning out the
,,urhon tl e . . . . .
rhe nobilin- and parliamenr in Em;land. Evernvhere ir is the individual a"en . elv bureaucracy, whereas in Roman1c and perhaps 1l1 all Catholic countnes-
,.,,, ts . cl- r l1e 1mporrance
and rheir various actions that we set, rheir personal weaknesses and gifts that are
pnnc
. . point remains ro be esrablishe . of rl1e courts as a
rhis 1arrer _ . _
._1 . rhorirv. a source of models of behanour. far exceeded that ot the
described. And ir is no doubt fruirful and even indispensable ro see history in ai au . . _ . _ . .
500
this way, as a mosaic of individual actions of individual people _._. __ 'll1d all the other social tormanons of the epoch. fhe early Renais-
univer.::i1L1c,:, , . . ,. ., , . . .
Nevertheless, something else is obviously ar work here besides rhe fortuitous Florence. characterized by men like i\fasacc10, Ghibem. Brunelleschi
sance 1l1 . .
emergence of a series of great princes and rhe fortuitous vicrories of numerous and Donatello, is not yet an unequivocally courtly sryle; bur rhe Italian_ High
individual territorial rulers or kings over numerous individual estates at ' nee ind more clearlv still rhe Baroque and Rococo, the srvle of Louis
Renaissa , ' - . ,, . .. .
approximately rhe same rime Ir is nor without reason that we speak of an age of XV and XVI, are courtly, as finally is the . EmpHe , though a more
absolutism.. \'\!bar found expression in this change in the form of political rule n, l \\''l\. bein" alread\ permeated wirh !l1dusrnal-bourgeois features.
rninsio 0 ,1 , _, "' . _ . ..
was a structural change in \'Vesrern society as a whole. Not only did individual Ar rhe courts a form of society was evolving tor which no very specihc and
kings increase rheir power but, clearly, rhe social institution of rhe monarchy or unequivocal term exists in German, for rhe obvious reason that in Germany this
princedom took on new weight in rhe course of a gradual transformation of the rype of 1
- l uman bonding never attained central and decisive importance, except at
. . . . , . ,
whole of society, a new weight which ar rhe same rime gave new power chances . in rhe final uansmonal form it had at \'Veimar fhe German concept
most On!\: ' .
to rhe central rulers of ''good society", or more simply, of "society" in the_ sense of_ll!onde, like the
On the one hand we might enquire how chis or chat man gained power and social formation corresponding to it, lacks rhe sharp dehnmon ot rhe French and
how he or his heirs increased or lost this power in rhe conrexr of "absolutism". En<lish rerms The French speak of la sociiti polie. And rhe French terms ho11ne
0
On rhe other, we may ask on rhe basis of whar social changes rhe medieval or gens de la Co11r and the English "Society" have similar connotations
institution of the king or prince rook on, in certain centuries, rhe character and 4. The most influential courtly society was formed, as we know, in France.
power referred ro by concepts such as "absolutism .. or "desporism", and which From Paris rhe same codes of conduce, manners, taste and language spread, for
social structure, which development in human relations, made ir possible for rhe varying periods, to all the other European courts. This happened nor only
institution ro sustain itself in chis form for a greater or lesser period of rime. because France was rhe most powerful country ar rhe time. Ir was only now made
Boch approaches work with more or less the same material Bur onlv rhe possible because, in a pervasive transformation of European society, similar social
second attains to the plane of historical reality on which rhe civilizing formations, characterized by analogous forms of human relations came into being
rakes place. evervwhere. The absolurisr-courrly aristocracy of other lands adopted from rhe
Ir is by more than a coincidence char in the same centuries in which rhe king most powerful and mosr centralized country of the time the things which
or prince acquired absolutist status, the restraint and moderation of the fined their own social needs: relined manners and a language which dis-
discussed in Parr Two. rhe "civilizing" of behaviour, was noticeably increased. In tinuuished rhem from those of inferior rank. In France they saw, most fruitfully
"'
developed, something born of a similar social situation and which marchecI their .
the quotations assembled earlier ro demonstrate this change in beh<iviour, it
emerged quire clearly how closely this change was linked to the formation of rhe own ideals: people who could parade their srarus, while also observing the
hierarchical social .order with the absolute ruler and, more broadly, his court at subtleties of social intercourse, marking their exact relation to everyone above
its head. and below them by their manner of greeting and their choice of words-people
3 For the court, roo, rhe residence of the ruler, rook on a new aspect and a new of "disrincrion" and "civilitv". In raking over French etiquette and Parisian
significance in \'Vestern society, in a movement rhar flowed slowly across Europe, ceremony, rhe nirious rulers. obtained the desired instruments to express their
ro ebb away again, earlier here and later there, at about the rime we call rhe dignirv, ro make visible rhe hierarchy of society, and to make all others, first and
'Renaissance" fo;em<;st rhe courdv nobilitv themselves, aware of their dependence.
In the movements of chis period the courts gradually became the acmal model 5. Here, mo, it .is nor to see and describe the particular events in
and style-setting centres . In the preceding phase they had had ro share or even different countries in isolation. A new picture emerges, and a new understanding
wholly relinquish this function ro other centres, according to the prevailing is made possible, if rhe many individual courts of the \'Vest, with their relatively
balance of power, now ro the Church, now ro the towns, now to the courts of the uniform manners, are seen together as communicating organs in European
great vassals and knights scattered across the country. From this time on, in societv at large \'Vhar slowlv began ro form at the end of the Middle Ages was
German and particularly in Protestant regions, the courts of the central not one society .here and another there It was a courtly aristocracy
191
190

embracing \Vesn:rn Europe with its cemre in Paris, its dependencies in all the is ;incl prohibitions were fashioned or at least prepared that are
cornmaoc . . .. . . .
other courts, and offshoots in all the other circles which claimed w belong to 'bit even rodav, nat10nal d1tterencc:s notw1thsrnndmg, as somethmg
percepn . ..1 . .
great world of "Socieff .. , norabh- the UJ)]X:r stratum of the bourgeoisie and to 1 tO the \Vest. Pardy from rhem the \\ estern peoples. despite all their
<..- - '-

some extent even broader of the middle class have taken the common stamp of a specific ci,ilizarion
The members of this multifarious socierr. S]Joke the same language throu<'llot .. tle "r1clual formation of this absolmist-counh- socien was accom1xrnied
'-- '-- b lt 111at 1 "' '

the whole of Europe, first Italian, then French: they read the same books, they . st.ormation of rhe drive-econonw and conduct of rhe upper class in the
bra tr111 , . .
had rhe same taste, the same manners and-with differences of deree-thF ... sam.e
: of "ci,ilizarion .. has been shown bv a senes ot examples. Ir has also
'=' d1rcctJO 11 ' . _
style of living. Notwithstanding their many political differences and even the heen 1 ndic '1
ted how closelv this increased restraint and regulation ot elemental'\'
many wars they waged against c:ach other, rhey orienrared themselves fairly "urge:>. 1.::i bound Uj) wid1 increased social conscrnint, the \.;rowing dependence: or
<...- ....._,

unanimously, over greater or lesser periods. towards the centre at Paris. And tie nobilirv on rhe cemral lord, rht king or prince.
l
social communication between court and court, that is within courtly-arisrocratic How did this increased constraint and dependence come abour' How was an
society, remained for a long rime closer than between courtly society and other upper class of relatively independent or knights supplanted by a more or
strata in the same coumry: one expression of this was their common langu<1ge. Jess pacified upper class ot courtiers: \Vhy was che mfluence ot tht estates
Then, from about the middle of the eighteenth cemury, earlier in one coumrv progressively reduced in rhe comse of the Middle ,rnd earl): modern
and somewhar later in another, bur alw<1ys in conjunction with the rise of neriod, and why, sooner or later, was the d1ctaronal absolure rule ot a smgle
middle classes and the gradual displacement of the social and political centre of figure, and with it the compulsion of courtly etiquette, che pacification of larger
gravity from the court to the various national bourgeois societies, the ties ; smaller territories from a single centre, esrnblishecl for a greater or lesser
0
between the courtly-arisrocratic societies of different nations wtre slowly loos- eriod of time in all rhe countries of Europe' The sociogenesis of absolutism
ened even if they art ntvtr entirely broken. The French language gave way, nor fndeed occupies a key position in rhe overall process of civilization. The
without violent struggles, to the bourgeois, national languages even in the upper civilizing of conduct and the corrtsponding rranstCJrmation of the structure of
class. And courtly socitty itself became incrtasingly differentiated in rht same mental and emotional life cannor be understood without tracing the process of
way as bourgeois societies, particular! y when the old aristocratic society lost its state-formation, and within it rht aclrnncing centralization of society which first
centre once and for all in the French Revolution The national form of found particularlv visible expression in rhe absolutist form of rule
integration displaced that based on social estate.
6. In seeking rhe social traditions which provide rht common basis and deeper
unity of rhe various national traditions in rhe \Vesc, we should think not only of
II
the Christian Church. rhe common Roman-Latin heritage, bur also of this last
A Prospective Glance at the Sociogenesis
great pre-national social formation which, already partly in rhe shadow of the
national divergences within \Vestern society, rose <1bove the lowtr and middle of Absolutism
strata in different linguistic areas Here were created the models of more pacified
social inttrcourse \\hi ch more or less all classes needed, following rhe transforma- 1 A few of the most imporrnnr mechanisms which, towards rhe encl of rhe
tion of European society ar tht end of rhe Middle Ages: here rhe coarser habits, Middle Ages, gradually gave increasing power chances rn the central authority of
the wilder, more uninhibited cusroms of mediernl society with its warrior upper a rerritory, can be quite briefly described ar this preliminary srage. They are
class, the corollaries of an uncertain, constantly threatened life, were "softened'', broadly similar in all the larger countries of the \Vest and are particularly clearly
"polished" and "civilized". The pressure of court life, the vying for rhe farnur of seen in the development of the French monarchy.
the prince or the "great": then, more generally, rhe necessity to distinguish The gradual increase of rhe money sector of rhe economy at rhe expense of rhe
oneself from others and ro fight for opporruniries with relatively peaceful means, barter sector in a given region in the Middle Ages had very different consequences
through intrigue and diplomacy, enforced a constraint on the affecrs. a self- for the majority of rhe warrior nobility on rhe one hand. and for rhe king or
discipline and self-control, a peculiarly courtly rationality, which at first made prince on rhe other. The more money that came inrn circulation in <l region, rhe
rhe courtier appear to the opposing bourgeoisie of rhe eighteenth century, above greater rhe increase in prices. All classes whose revenue did not increase at the
all in Germany but also in England, as rhe epitome of the man of reason. same rate, all those on a fixed income, were rhus placed ar a disadrnnrage, above
And here, in this pre-national, courtly-aristocratic society, a part of those all the feudal lords \\ho received fixed rems from their estates
19.'i
Stall For111atio11 t111d Cil'i/i::;,/fion
192 Tht C il'i!i:ing Prf/Ct.i.'

talents of individuals, and ofren chance. The growrh of rhe financial and
The social functions w l1ose rncome

increased with these new 0 ) Jor .
were placed at an advantage. They included certain seccions of the
bur above all che kinu l1e cencra
.
LUnu
l ru ler. For the raxarion 1jJJ'ar1rL1s ourgeo
ti ..IonPn<Jn'
power chances dmt gradually arrached rhemselves to rhe monarchy was
of the will or talents of individuals: ir followed a srricr regularity
l' r "'' c < C < gave h
A C

s 1Me o. the rncreasrng weal ch: a part of all che earnings in his area 1 l . encounrertd wherever social processes are observed.
ar ,
l . . .
0I And rhis increase 1n che power ch<rnces of the central funcrwn was therefore
' . I115
to hrm rnd rncomt
consequentlv. increased to .an ' exrraor
. . d.rnan- degr ru e
cl1t growrng circulacion of monev ' ee the for che pacification of a given cerritory, greater or smaller as rhe
As is always the case, this mechanism was onlv verv " id ll " be from a smgle centre
so to s e k l br' Ud y case ma .r ' .__ . _
p "a., rerrospecnve y exploited consciously by che parries ::;, The tWO series of developments which acted to the advantage of a strong
at a rdanvely lace scage by rulers as a principle of domescic poli;i aurhoriry were in all ways detrimental to the old medieval warrior estate.
rst result was <1 more or less automatic and constant increase in the ir1c cs: frs members bad no direcr connection with rhe growing money secror of the
ctnr I J cl Tl ome ot They could scarcely derive any direcr profir from rhe new opporrunicies
.. rn or . 1rs rs one of the preconditions on the basis of which the instit .
ot gained its absolute or uncircumscribed charactn m1on thar offered rhemselves They felr only rhe devaluation, the rise in
. - As the hnanc1al open to the cenrral function grew. so too d'd 1
its military potennal. Ihe man who had at his disposal the taxes of a It fo s been calculmed chat a fortune of 22,000 francs in rhe year 1200 was
1
coun trv w s . ' n entire. worrh 16,000 francs in 1)00, 7 .500 francs in 1400, and 6,500 in 1500 In rhe
. '1 rn a posmon ro hire more warriors than am other b . l
roken ht " . j,. cl cl ! t 1e same
. bre\\ ess epen em on the war services which the feudal v1sal sixteenth century this movement accelerared: the value of che sum fell ro 2,500
1
o b lr"ed
. b.
cl
tO ren er rn exchange for the land wich which he was invesced.
' '' was francs, and the case was similar in rhe whole of Europe.
Ibis too rs a process which, like all the ochers. began verv earlv b t l A movement origim1ring far back in rhe tfiddle Ages underwent an extra-
graduallvledrotl
. . ie formanon
. of more perm<rnenr . . '.
rnsnnmons
Even . u ony
\Villiam ' ordinary acceleration in rhe sixreenth century From the reign of Francis I up to
C onqueror . "'an cl \vrr
wenr to En<'! . ll an army cons1strng
. . onlv parrh of v1ss1l tnel rhe year 1610 alone, rhe French pound was devalued in approximarely the racio
rest bemu piid k l B . ' ' ' s, tie 5 ro l The imporrance of chis developmemal curve for rbe rransformation of
. . ' mg 1ts. etween char rime and rhe esrablishment of srandin
rhe central lords. centuries intervened. A prerequisite for such armie: sociery was greater rhan can be stared in a few words \Vhile money circularion
aparr
. rom rhe burowmu "' rt\..enue from raxes. was surplus manpower-rhe' grew and commercial activiry developed, while bourgeois classes and the revenue
c.!1screpancv
b . . ' the num b er ot- peop1e and rhe number and profirabilitv of of rhe central authority rose, rhe income of rhe entire remaining nobility fell.
JO s. available . . rn a parr1cu Iar sociery which we know roday as Some of rhe knighrs were reduced ro a wretched exisrence, others rook by robbery
AGre,is sufterrng. from surpluses of this kind. e.g. Switzerland and I.Jares f and violence whac was no longer available by peaceful means, others again kepr
Fre ermanv . . . : SUj)jJ1ie cl to anyone who could afford them . Much later. o themselves above water for as long as possible by slowly selling off rheir esraces;
! dtnck rhe Greats recrurnng racrics showed rhe solurions open co a prince wd finally a good pare of rhe nobiliry, forced by these circumstances and
\\ ien rhe manpower anulable in his rerriron- was nor sufficienr for 11 1 amacred by the new opporrnniries, entered the service of the kings or princes
p Tl is mi 1rarv
urposes. le military supremacy char went hand in hand with who could pay, These were the economic opcions open to a warrior class chat was
super10ntv
, f. w,as. t I1ere fore, t l1e second decisive prerequisire enabling rhe central
' '
not connecred ro rhe growrh in money circulation and the trade network
PO\\ er o a region ro rake on .. absolure" characrer. 4. How rhe development of war rechnology operared ro rhe nobility's
A rransformarion of miliwry techniques followed and reinforced chis develop- disadvanrage has already been mentioned: rhe infantry, rhe despised foot-soldiers,
menr. Through rhe. slow development of firearms rhe mass of common foot- became more imporrant in banle rhan rhe cavalry. Not only the military
sold1ebrs became miliranly suj.Jerior ro the numericallv limired nobles fi<,htin" on superioriry of the medieval warrior esrare was thereby broken, bm also its
T ack. Th 15 t 00 was to l l 1e a cl vantage of rhe central
l1orse aurhorirv. o o
monopoly over weapons. A siruarion where the nobles alone were warriors or, in
11e krng, who rn rhe France of the early Caperian period, for ex.ample. was nor
other words, all warriors were nobles, began ro rum into one where the noble was
muc11 .more than 'a b-iro ' n. one rernrona 1 !orcl among ochers of equal power and
ar besr an officer of plebeian troops who had ro be paid. The monopoly control
somenm.es. even '.ess powerful rhan ochers, gained from his increasin" rev:nL1e<
of weapons and milirary power passed from rhe whole noble estate into the hands
tie
1 poss1b. 1Iicy o f miT][ary supremacy over all the forces in his counrrv c \Xfhich
' "
of a single member, rhe prince or king who, supported by the tax income of the
no blle lamdv managed m pMcJCu . . Iar cases ro wrn . the crown and elms gain
access
whole region, could afford rhe largesr army. The majority of rhe nobility were
to t 1ese power chances depended on a wide range of facrors including rhe
19-i

thereby changed from relatively free warriors or knights into paid


officers in the senice of the cenrral lord.
5 These are a ft\\. of the most imporcam lines of this srrucrural rrcon----
tion . There was another as well. The nobility lost social power with the
in the money sector of the economy. while bourgeois classes gained ir_
general neither of rhe rwo esrares prO\ed strong enough to gain rhe upper
1
over rhe other for a prolonged period. Constant tensions everywhere erupted in
periodic struggles. The battle froms were complicared and varied widely from
case to case. There were occasional alliances between specific noble strata and
Dynamics
specific bourgeois srrnra; there were transitional forms and even fusions between
sub-groups from the rwo esrares . But however char may be. both rhe rise and the
of Feudalization
,1bsolure power of rhe cenrral insrirurion ahwys depended on rhe continued
exisrence of this tension btrwten rhe nobility and rbe bourgeoisie. One of the
srrucrural precondirions for rhe ,1bsolure monarchy or princedom was that
neid1er of rhe esrares nor any group wirhin chem should gain rhe upper band.
The representarin:s of the absolute central aurboriry therefore had ro be
constantly on rhe alerr to ensure rhar this unsrable equilibrium was maintained
wirhin their territory \\/here the balance was lose. where one group or stratum
beGrn1e roo strong. or where aristocratic and upper bourgeois groups even
temporarily allied. the supremacy of the central power was seriously threatened
or-as in England-doomed Thus we ofren observe among rulers that while one
I
prorects and promotes rhe bourgeoisie because the nobiliry seems roo powerfol
and therefore dangerous. rhe next inclines rowarcls the nobility. this having Introduction
grown roo weak or rht bourgeoisie wo refractory. withour the other side being
ever quite neglected, The absolure rulers were obliged, whether rhey were
If we compare France, England and rhe German. Empire at rhe middle of
1
- . n rerms of rhe j)OWtr of theH cenrral aurhont1es, the
entirely conscious of it or not, ro manipulare chis social mechanism rhar rhey had rhe seventeent l1 cenrury i .
l l b l l En"lish king and even more
nor created . Their social existence depended on its sunival <me! functioning. king of Fmnce appe<HS parncu ar y srrong es1c e r 1e "'_ . L" _, __ "

They roo were bound ro rhe social regularity with which rhey had to live. This so beside the German emperor. This consrellarwn \V<lS the: ourcomc or ,1 \try lone
regularity and the social strucrure corresponding ro it emerged soontr or later development, . . - - . l I
with numerous modifications in almost ewry- country of the \\'lest Bm it rakes Ar the end of the Carolingian and rhe begmnmg or the Capenan penoc r 1e
on clear delineation only if observed in rhe process of emergence rhrough a siruation was almost the reverse Ar rhar rime the central power of the German
k"n"S And England had yet to
concrete example . The development in France. rhe country in which this process, emperors was srrong as comparecl ro rl1e F renc l1 i o _ L

from a panicular moment on. rook place in rhe mosr direct form. will serve here undergo its decisive unification and reorganization by the Normans
In the German empire the power of the cen_rral aurhority crumbled
as an example.
L

l l prons-rrom rh1s nme on.


persistently-though wH 1 occaswna interru i .
In England, from Norman rimes on, periods of strong royal power alrern,lted
with rhe preponderance of the es rares or parliament . .
I F from abom the beninnin"
0 0
of rhe twelfth century, the krng s power
n ranee, . . - . , , . - ntinuous line led from the
grew-again with mterrupt1ons-fairl; sread1l; A co
Caperians rhrough the Valois ro the Bourbons,
Nothin" entitles us to assume rhar rhese differences were prederermined by
am kind necessiry. Very slowly the different regions of the rhree countries
196 Tho: Cil'ili:i11g P111c"cr.r State F1,m1c1ti1;11 and Cil'ilizt1tio11 197

merged int0 national units. At first, as long as the integration of those areas -l . r such frontiers serJarated were neither states. nor peoples or nations,
But w 1,1 .
which were later tO become "France", ''Germam". . ''Iralv". and "Emdand" '"" .. as . _ 1. t \\'e mean social formations that are in anv sense umfied and srable. At
bvc1a
relativelv. slight, thev. did not wei!!h verv. heavilv. as social on:anisms in" the :o;t they were states,_ peoples, nations in the making. The most feature
balance of hiswrical forces. And the main developmental curws in the history of of all the larger terrirones m this phase is rhelf low level ot cohesion, rhe
these nations in this phase were incomparably more strongly influenced by the f the centnfu"al forces tendmg t0 dismtegrate them.
screngt 11 O 0
. . . . -
formnes and misformnes of individuals, by personal qualities, by sympathies and \Xfhat is the nature of these centnfugal forces' \Vhat peculianty or the
antipathies or "accidents". than later when "England", "Germany" or "France" e of these terriwries gave such forces their particular strength; And what
srructu r - -. .
had become social formations with a quite specific strucrure and a momemurn , i n the structure of societv, trom the hfteenth. sixteenth or seventeenth
""nange
and regularity of their own. At first the hiswrical lines of development were co. ' " . onwards finallv gave the central authorities preponderance over all rhe
cenrur; ' . . . .. .
determined very strongly by facwrs which, from the viewpoint of the later unit. centrifugal forces, and thus conferred on the ternrones a greater srabilHy'
had no inherent necessity. 2 Then. gradually, with the increasing
of larger areas and populations, a pattern slowly emerged which, according ro
II
circumstance, either limited or opened opportunities tO the whims and interests
of powerful individuals or even of particular groups . Then, but only then, did the
Centralizing and Decentralizing Forces m the
inherent developmental dynamics of these social units override chance or at least
mark it with their stamp. Medieval Power Figuration
2 . Norhing entitles us t0 presuppose any compelling necessity determining
that it was the duchy of Francia, the "Isle de France", abour which a nation ::;_ The immense empire of Charlemagne had been brought rngether by
would crystallize. Culmrally, and also politically, the southern regions of France Certainly the basic, though not the only function of his immediate
had much stronger ties with those of northern Spain and the bordering Italian predecessors, and more so of Charlemagne himself, was that_ of army leader,
regions than with the area around Paris . There was always a very considerable victorious in conquest and defence. This was the foundation or his royal power,
difference between the old, more Celw-Romanic regions of Provence, the langt1e his renown, bis social strength.
cl'oc", and the !m1g11e c/'oil parts, that is, regions with <l stronger Frankish influence, As arnw leader Charlemagne had control of the land he conquered and
above all those t0 the north of the Loire, wgether with Poiwu, Berry, Burgundy, defended. As vicwrious prince he rewarded the warriors who followed him with
Sainwnge and Franche-Comte.; land. And by virtue of this authority be held them rogether even though their
Moreover, the eastern frontiers esrablished by the Treaty of Verdun (843) and estates were scattered across the country
then by the Treaty of J\feerssen (870) for the western Frankish empire. \vere very The emperor and king could not supervise the whole empire alone. He sent
different from the borders between what gradually emerged as "France" and trusted friends and servants into the country ro uphold the law in his stead, ro
"Germany" or "Iraly". ensure the payment of tributes and the performance of services, and ro punish
The Treaty of Verdun fixed as the frontier of the western Frankish resisrnnce He did not pay for their services in money; this was cerrainly not
empire a line leading from the present Gulf of Lions in the south, and entirely lacking in rhis phase, but was available t0 only a very limited extent.
approaching the western side of the Rhone, in an approximately northerly Needs were supplied for the most part directly from the land. the fields, the
direction as far as Flanders. Lorraine and Burgundy--except for the duchy west forests and the stables. produce being worked up within the household The earls
of the Saone-and therefore also Aries, Lyons, Trier and Metz thus lay outside or dukes, or whatever the representatives of the central authority were called, also
the borders of the western Frankish empire, while t0 rhe south the county of fed themselves and their retinue from the land with which the central authority
Barcelona was still within its frontiers.' had invested them. In keeping with the economic structure, the apparatus for
The Treaty or Meerssen made the Rhone the direct frontier in the south ruling in this phase of society was unlike that of "states in a later stage. Most
between the western and the eastern Frankish empires; then the frontier followed of the "officials", it has been said of this phase, "were farmers who bad 'official"
the Isere and, further north, the Moselle. Trier and Metz thus became frontier dmies only for certain set periods or in the case of unforeseen events, and so
wwns, as, t0 the north, did Meerssen, the place from which the treaty rook its most directly comparable t0 landowners having police and judicial powers".)
name. And the frontier finally ended north of the Rhine estuary in the region of With this legal and law-enforcing role they combined military functions; they
southern Friesland. were warriors, commanders of a warlike following and of all the other landowners
l99
198

in die arta the king had given rhtm, should it bt threarened by an , rieecl che king Thtv withdww themselves from his power \Vhen chey
longer . . . .
tnemy In a word. all ruling functions were drawn wgether in d1eir hands the king as militan- leader. rht mon:mtnr is reverstcl and che game scares
Bm chis peculiar power figuration-a measure of the division of labour. an over <i,gain, assuming che lord _is \"tcwrious in che war. Then. through
diffortntiarion in chis phase-again and again ltd rn characrtriscic d iricl dlfnr emanacinv trom his sword. ht rtgams actual conrrol met
he power ' ' c . . .
arising from rht narure of irs strucrure. Ir generartd certain typical sequences t ] i cerriron- and can disrribure ic antw This is one of che recurnng
d1e w io e . - - . . . l
tVtnts which-with certain modificarions-were repeartd ovtr and again. in che clevelopmem ot \Vesttrn soCiety in che early 1f1ddlt Ages anc
-i \Vhoever was once entrusted by rhe central lord with the funcrions of es in somewhar moclifitd form. in lacer periods mo
somec1m , . - . . .
in a particular area and was thus in effecr rhe lord of chis area. no longer depende: , Examples of such processts are snll ro be found wclay outside Europe 10
on rhe cemral lord rn susrnin and protecr himself and his dtptndants, ar least as ). with a similar social srrucrure The den:lopment of ,-\bvssinia shows such
long as ht \\'<!S thrtattntd by no stronger external fot. At rbe first opportunity - rr in 1bundmce cbounh che\ hmt lanerh been somtwhac modified
conhgurac1 0 ' ' o . _ . . _
therefore. as soon as the cemral power showed the slid1rest sign of weakness th_,e .' tJow of mone\ and othtr inscirucions trom Europe. But che f!se ot Ras
L '-" bv rtie 111 - _
local ruler or bis descendants soughr to demonstrate their righr and abiliry ro rule che l'osicion of cenrral rultr or emperor ot rhe \\hole counrry was made
Ta1an rn . _ . .
the disrricr entrusred ro chem. and rhtir independence of rht central aurhorirv. "bl <inh b\" tht milirnrv subi"ugation ot che most powerful cernconal lords:
poss1 e , . . - .
Over many cenrurits rht samt parrtrns and rrends show rhemseln:s over and the unexpectedly quick collapse: of opposition ro Irnly [in 19_;_6] is txplamecl
again in chis appararus for ruling. The rulers over parts of che central lord's nor ]east by che face that in chis feudal and predominand y agraf!an region. che
ttrriwry. rhe local dukts or chieftains, are at all rimes a dangtr ro d1t cemral tll"" ] cencltncies of che incli\idual cerrirnries were multipl1td as soon as rhc:
cenrn c'1
powtr. Conquering princts and kings. being strong as army leaders and central ruler failed ro fulfil his mosc important cask. char of resisting che external
procecrors against external fots. srrive. successfully ar first. ro confront this enenw. chus showing himself weak"
danger within the arta rhty conrrol. \Vhtre possible: they rtplace rhe existing In .European history uacts of chis mechanism art ro be found as early as rht
local rulers \\"ith rhtir own friends. relations or servants. \Vichin a short rime Merovin12:ian epoch. Here. already. art prtstnr ct1t beginnings of a dt\elopmtnt
ofren within a gtneracion. rht samt thing happens again The erscwhil; which che higher imptrial offices into htredirary forms of rule'' E\en
rtprtsenrariws of che cenrral ruler do their best ro cake over rht arta encrusted ro this period che principle applies char: "The grtacer tht actual economic and
ro chtm. as if ic were rht hertdicary properey of rhtir family social power of chese officials became. the less could che monarchy conremp_lace
J\iow ic is the (1;111e.r }'t1!C!!ii. once the ovtrseers of che royal palace. who want to transferring the offict outside the family on cht death of its incumbtnr In
btcome the indtpendent rulers of a rtgion: now it is che margraves, dukes, other words. large pares of cht cerrirory passed from the conrrol of the cenrral
counts. barons or oHicials of cht king. In repeated waves che kings. screngchened lord co char of the local rultrs
b\ conquesrs. send their crusted friends. relations and servants inro che councrv Sequences of chis kind emerge: more clearly in cht Carolingian period.
as their tnvoys. while the pre\iuus envoys or dJt:ir descendants iighc just Charlemagne. much like rht tmpc:ror of Abyssinia. replaced che old local dukes
rtgularh ro esrablish rht heredirary narure and rht facrual independence of cheir wherever he could bv his own .. officials. cht counts. \Vhen. within Ch,1rle-
region. which was originally a kind of fief. ma12:ne's Iifecime. counrs showed their self-will and their effecrive control
On rhe ont hand rhe kings wtrt forced to delegate power over part of their the terriroff encrusted ro chem. he dtspatchecl a new wavt of people from
rerrirnry co ocher individuals. Tht scare of milirary. economic and transporc his enrouragt as" row! emo\s. missi cl1Ji11i11ici. ro supervise chem lincler Louis che
arrangements ar char rime lefr rhtm no choice. Socien- offered chtm no sources Pious che of was already beginning ro becomt hereditary.
of monty rnxts sufficienr for chem co keep a paid army or paid official delegates Charlemagne's successors were no longer able 'ro a\"oid facrual recognition of the
in remote regions. To pay or reward chtm chey could only allocate chem land-in claim co hertdicariness_s And che royal envoys themselves lose cheir funccion.
amounts largt enough ro ensure char rhty were actually stronger than all che Louis che Pious was forced co withdraw che missi tl11mi11ici, Under this king who
ocher warriors or landowners in che area. lacked the milirnrv renown of Charlemagne, che cemrifugal tendencies within
On the ocher hand che vassals represtnting the central po1wr were restrained the imperial and org<mizacion emtrged very clearly.. They reachtd a first
by no oach of alltgianct or loyalty from asserting rht independence of cheir area peak under Charles III, who in 88'7 could no longer protect Paris from his
as soon as che relative power positions of che ctnrral ruler and his dtltgates external enemies. che Danish Normans, by che power of che sword, and scarcely
shifrtd in favour of che lacctr. These terrirorial lords or local princes in tfftct own by che powtr of money le is characcerisric of chis tendency char with che end of
che land once comrolled by che king Exctpt when chreartned from omsidt, chey the dirtcr lint of che Carolingians. che crown went first ro Arnulf of Carimhia.
200 Tht Ciz'i/i::;i11g Pmccu State For111atio11 and Cil'ifi::;ation 20 l

rhe bastard son of Karlmann, nephew of Charles rhe Fae Arnulf had proved were esrablished with rheir fromier roughly in rhe region of Pressburg
wonh as a mrlrrary leader in rhe border conflicrs wirh rhe invadinu f(
b 'X.l . .
rn es. ' 1 1en he led rhe Barnnans agamsr rhe weak cemral ruler, he
o ore1gn [.,ran ' ' To the easr, in rhe central Danube area, the Hunuarians
n sli\i] o
slowlv.
be.1;an to serde permanendy
gained rhe recognirion of orher uibes, rhe easrern Fnnks rhe rliLir 11 .
. . . . . , , i g1.ins, the Ortos milirary successes were marched by his power inside rhe empire.
Saxons_.
and . rht Swab rans. As
.
armv.. .leader_ m rhe ori o"il1'1l
,
sense , he \\''lS
,
ra1sed to
Wherever he could he rried ro replace rhe descendants of lords installed by earlier
rhe kmgship by rht warnor nobrliff ot rhe German rribes 9 Oner- 'l"ai .
_
shown very clearly from where rhe funcrion of kingship in rhis society derived
'- 'o' n It
it:
r emperors, who now opposed him as heredirnry local leaders, with his O\Vn
rehirions and friends Swabia went to his son Ludolph, Bavaria to his brorher
po\ver and legmmar10n In 891 Arnulf succeeded in repellin" the Normans
L . . "' near Henry. Lorraine ro his son-in-law Conrad, whose son Otro was given Swabia
ouvam. Bm when, contromed by a new rhreat, he hesitated only slighrly to lead
when Ludolph rebelled
his army mrn battle, rhe reaction was immediate. Ar once centrifuu-11 c
. o' 1orces At the same time he sought-more consciously, it seems, rhan his
gamed. rhe upper hand in his weakly unified domain: .. Illo diu morante, multi
;redecessors-ro counteracr rhe mechanisms which consramly weaken centralism
reguli 1l1 Europa vel regno Karoli sui parruelis excrevere, savs a writer of h
J(I . .
Everywhere m Europe little kings grew up when he hesitated for a time
( e ke did rhis on the one hand by limiring the powers of rhe local rulers he insralled.
On rhe orher hand he and, more resolurely still, his successors, opposed rhese
ro tight.. This illustrates in o_ne semence the social regularities which set their
stamp on rhe development of European society in this phase. mechanisms by installing clerics as rulers over regions. Bishops were given rhe
secular office of coum This appointmem of high ecclesiasrics wirhour heirs was
_ The movement was once again reversed under the firsr Saxon emperors. The
tacr rhar rule o\er emire empire fell to the Saxon dukes again shows what was intended ro put a srop ro rhe tendency of funcrionaries of rhe central aurhoriry
to rnrn into a .. heredirnry, landowning arisrocracy .. wirh srrong desires for
rhe mosr 1mportam funcrion of the central ruler in rhis sociery. The Saxons were
parricu!arly exposed ro pressure from rhe non-German tribes jJushing across fro independence.
l Tl . m In rhe long run. however, rhese measures imended ro coumer decenrralizing
r 1e easr 1e tirsr rask of rheir dukes was to prorecr rheir own rribal terrirn ,
Bur in so doing rhey also defended rhe land of rhe orher German rribes. In forces only reinforced rhern They led finally to the conversion of clerical rulers
Henry I managed to conclude ar leasr a rruce with rhe Hungarians: in 91g h into princes, \Vorldly powers. The preponderance of cemrifugal rendencies over
l l. d _, e
1m1se t a vanced as far as Brandenburg: in 929 he founded rhe fronrier fortress cenrripernl ones that was roored in the srrucrure of rhis sociery emerged yet
ar Meissen; in 933 he defoared the Hungarians ar Riade, bm wirhom desrroying again. In rhe course of rime rhe spirirual authorities showed rhemselves no less
rhem .or really avemng rhe danger: and in 93-:l in Schleswig he succeeded in concerned for rhe preservarion of rheir independent hegemony over rhe rerrirory
resrormg the northern fromiers againsr rhe Danes. 11 All rhis he did primarilv as entrusted to rhem rhan rhe secular.. Ir was now in rheir interests roo rhar rhe
Saxon duke. These were vicrories of rhe Saxons over peoples rhrearening rl1eir central aurhoriry should nor grow too srrong. And rhis convergence of rhe
tromiers and rcrntory. Bm in fighring and conquering on their own fromiers, rhe interesrs of high ecclesiastical and secular digniraries was a main comributory
Saxon dukes gained rhe milirary power and repmarion rhar were needed w facror in keeping rhe acwal power of rht cemral amhority of rhe German Empire
oppose rhe cemrifugal rendencies wirhin rhe empire . Through external vicrorv low for many cenruries, while rhe power and independence of rhe rerritorial
rhty laid rhe foundarion of a srrengrhened imernal central rulers increased-die inverse of whar happened in France. There rhe leading
Henry I had by and large maintained and consolidared rhe frontiers, ar Ieasr eccltsiasrics hardly ever became grear worldly rulers. The bishops, parr of whose
to rhe .north. As soon as he died rhe \Vends revoked rheir peace wirh rhe Saxons. possessions were scanered among rhe lands of the various rerritorial lords,
Henry s son Ono drove them back. In rhe following years 9.:P and 938 rhe remained imeresred in preserving a strong cemral amhoriry for rheir own
Hungarians advanced again and were likewise repelled. Then began a new and security. These parallel interests of church and monarchy, exrending over a
more powerful expansion. In 9-iO rhe German rerritorv was to rhe Oder considerable period, were nor rhe leasr of rhe facwrs which, in France, gave rhe
region. And, as always, as in rhe presem day, rhe of new lands was cenrral power preponderance over cemrifogal tendencies ar a relatively early
followed by the ecclesiasrical organization which-rhen much more stronglv srage. Ar firsr, however, by rhe same process, rhe wesrern Frankish empire
dun now-sen-eel to secure military dominarion. . disimegrarecl even more rapidly and radically rhan the easrern one.
The same thing happened in rhe somh-easr. In 95 5-srill on German 6. The lasr, wesrern Frankish, Carolingians were by all accounts 12 courageous
rerrir_ory-rhe Hungarians were defeared ar Augsburg and so driven om more or and clear-thinking men, some of them gifred wirh outstanding qualities . Bm
less hnally As a barrier againsr rhem rhe Easrern Marches, embryo of rhe larer they were contending wirh a sirnarion rhat gave the central ruler lirtle chance,
20.'i
202 Tlk Cirilizing Pmcu.1

. , ,,. insr rhe invadinl'. peoples from the east and north, Slavs, Hungarians
and one .which. shows parricularlv
. clearlv- how easih' in this social srructLire , tieI country ,1.0:-'1 . L

cemre of granry could shirr to the disadvanwge of rhe ctntrnl ruleL Danes, char is, rhe dukes ot Saxony. were made kmgs __ .
l cl been !'receded bv 1 1rorracred strU"gle between rhe house ot Franc1<1
Lta\ing aside his role as army leader. conqueror and discribuwr of new land Th1S lll . ' be

the basis of the social power of rhe central lord consisted of his ., d rhe last. western Frankish Carolingians _
possess10m, rhe land ht controlled directly and from \\hich he had to support \'\/hen rhe crown wem ro rhe former in rhe person of Hugh Caper. rhey were
servants. _his court and his armed retainers. In this respect rhe central lord was no . i!rt1d\ somewlnr weakened bv a 1>rocess similar to the one char had
rhernse lv es ' ' . . ' . - . -
own rhe Catolinl'.ians. The dukes of Francia too had had to form
better oH than any other territorial ruler. Bur rhe personal rtrrirory of the broug lir c! , . . , . . -
western frankish Carolingians had in the course of lonu strul'."lts been lar l alliances, and obtain strvices in exchangt tor land and nghrs. Ihe rernrory or rhe
'-_ <:::> .._,o , ge y
g1n:n away 10 exchange tor sernces rendered. To obtain and reward support, - dukes who had sercled and become Chnsria111zed m Lhe meantime, rhe
Norman . _ .
rhe1r foretarhers had had to disrribure land. Each rime this happtntd-wirhout - "' AqL11r1in,, md Bur<Lmdv. rhe counties of Aniou and Fhinders.
due l11b 01 ' ' ' b . . .

new conquesrs-d1eir own possessions were reduced. This lefr the sons in a still Verniandois and Champagne. was scarcely smaller, and !11 son:ie respects more
more precarious position . All new help meant new losses of land. In rhe end the . r nr rlnn rhe familv rerriron- of rhe new roral house ot Francia. And it
impor'1 . ' , . . . .
heirs had very little left w distribute. The retainers they were able w feed and :
was r,1 i .
ni.l\' J>O\\'er and rerrirorv,, rhar counred The power available to rhe .
kmg .

pay became fewer and fewec \Ve find the last of rhe western Frankish Carolingians rhrough bis family possessions was rhe real basis of his royal power If lus family
in a sometimes desperate position. To be sme, their vassals were obliged to ssions were no <rearer rhan rhose of ocher rerriwnal rulers. then !us power
posse b . . . . . .

follow them to war: bm if they had no personal interest in doing so. only the "re1rer either Ir was onh from rhe tam1h possess10ns and rernror1 rh<tr
was n0 c (
open or concealed pressure of a militarily powerful liege lord could induce rhem he drew regular income From orher territories he drew. ar rhe most. ecclesiastical
to meet this obligation. Tht vassals followed the king. rhe less threatening dues. \VhaL he received beyond char in his rnpaciry as king"' was minimal.
his power became and so even tewer vassals joined him. \Virh military power as Moreover, rhe factor which in rhe German rerriwries constantly restored rhe
with land, therefore. these social mechanisms. once set in morion. prol'.ressivelv preponclcrance of rhe cenrralizing royal funcrion over rhe. ctntrifug,11 rendtncies
weakened rht position of rht Carolingian kings. ' , of rhe rerrirorial rulers, their funcrion as military leaders m rhe struggle agamsr
Louis IV. a braYe man fighring desperately for survival. is somerimts called "le external enemies and in rhe conquest of new land. ceased at a relatively early
roi de i\Ionloon. rhe king of Laon. Of all rhe family possessions of the smut w be of importance in rhe western Frankish area. And this is one of rhe
Carolingians. little was left w him except rhe fortress at Laon. Ar rimes rhe last reasons why rhe disintegrnrion of rhe royal domain into inclependenr
sons of the house had hardly any troops to fighr their wars, jusr as rhe\ had territories occurred earlier here and, ar firsr, in a more radical form. The eastern
hardly any land to support and pay their followers: "'The rime arriYed rhe Frankish region was exposed for far longer ro arrack and rhrear by foreign tribes
descendant of Charlemagne. surrounded by landowners who were rhe m;1srers of Hence rhe 'kings nor only consrnnrh rt-emerged as leaders in WMS foughr in
their domains, found no other mt<ll1S of kttping mtn in his senice rhan bv common b\ a number of tribes w protect their lands. bur rhey also had the
handing om territory to rhem with concessions of immunity, rhar is. opporrunir;. of invading ;md conquering new lands. which they then clisrribured.
them to him by making chem more and more independent. and continuing w So rhey were ar first able to keep a relatively large number of retainers and \'assals
reign by abdicating more and more." 1 ; Thus the funcrion of rhe monarchv dependent on chem.
irremediably downhill. and whateYer its occupants did to impron: their In contrast, rhe western Frankish area, since rhe Normans had serried. had
in the end wrnecl against them scarceh been rhrearened b\ outside tribes. In addition. there was no possibiliry
7 The former rerrirory of the western Frankish Carolingians. rhe embrro of of new lands clirecrly outside iLs borders. unlike rhe siwarion in rhe
what was to become France, had at rhar rime disintegrar;d into a number of eastern Frankish region. This accelerared its disinregrarion. The prime factors
separately ruled areas. After a prolonged struggle between various territorial rulers giving rhe king preponderance over the centrifugal forces. defence and conquest,
of roughly equal strength. a kind of equilibrium had been established. \'Vhen rhe were lacking . Since rhere was virrually nothing else in rhe social srrucrure rhar
dirtcr line of the Carolingians became extinct. rhe chieftains and territorial lords made rhe various regions dependent on a central ruler. rhe larrer's domain was in
elecrtd rhe one of their number whose houst had outdone rhe others in rhe ficd1t fact reduced ro lirrle more rhan his own rerrirory
b

against rhe hostile Normans, and had rhus long been rhe strongest rim! of rhe
weakening monarchy In a similar way in rhe easrem Frankish regions. \\irh rhe This so-called sovereiun is a mere baron who owns a number of counties on rhe banks
of rh: Seine and rhe i:oire rhaL amuunr w scarcely four or five prtstnr-clay c/(/"irt.:m.:nts
end of the Carolingians. rhe local princes who had successful!;- defended rhe
204 The Cfrili::ing Process 5111te Fr1m1atio11 and Ci1i!i:atio11 205

The royal domain jusr manages w susrain his rheorerical majesry. Ir is neither th
forn1 a srrong er unit ' and bv_ which social processes were formed the central
crans ot. rhe laruer
largtsr nor rhe richesr of rhe rerrirnries making up rhe France of roua\ The kin" 1 e units of rule that we designate bv the concept of
, . . . '- b IS .ts b ....
powerrul rhan some or his ma1or rnssals. AncJ like chem he liu:s on rhe
. , f rorn aoso u
l ti.sm"-rhe rulinu appararus which forms rhe skeleton of modern srares.
ei . . . .
his esrnres. dmies from his peasams. rhe work of his bondsmen and rhe -! cnbilirv of rhe central aurhorirr and the central msr1rur10ns 111 the
gifrs" from rhe abbeys and bishoprics in his rerricory 1 " The re ,1 ' " ' . . .. . . . . .
e l1ll rhe "A"e of Absolunsm contrasts shar1Jlv with rhe msrabd1n ot
phase " ' . 0 . .. _ , .. '
the central aurhonry m the feudal_ phase . . .
. Soon after the crowning of Hugh Caper the weakening nor of the individual \Vh<it was ir in rhe structure ot soc1ery rhar favoured centralizar10n m the later
kings bur ot the royal function itself, and with ir rhe disintegrarion of rhe roval , . bLir srren"thenedo
the forces opposing centralization_ in rhe earlier one'
1
rerrirories, began slowly and steadily to increase The first Caperians This question rakes us ro the centre of rhe dynamics ot social processes. of rhc
travelled rhroughour the whole country with their courts. The places where the han"es in human interweaving and interdependence in conjunction wirh which
royal decrees were signed give us an idea of rhe way in which rhey journeved and drive srrucrure were al re reel in rhe direction of "civilization".
back and forth. They still sat in judgement at rhe sears of major vassals. in 9. \Xlhar constantly gave the decentralizing forces in medieval, particularly
southern France rhey had a certain traditional influence early medieval. society their preponderance over rhe centraliz'.ng tendencies is
Ar the beginning of the twelfth century rhe wholly hereditary and independent not difficult ro see. and has been emphasized by hisrorians ot rhar epoch m a
of rhe various territories previous! y sub jeer to the king was an accomplished variety of ways Hampe, for example, in his account of rhe European High
face The fifrh of rhe Caperians, Louis rhe Far (1108-_17), a brave and belligerent Middle Ages, writes:
lord and no weakling, had lirrle say outside his own territory. The royal decrees
The (eudalizarion of scares eYerywhere forced rulers rn proYicle rheir army leaders and
show that he hardly ever rravelled outside rhe borders of his own ducln. 1' He
oflicds wirh land. If rhey were rn arnid being impoverished in rhe process. and co
lived within his own domain. He no longer held court in rhe lands of his grear
make use of rhe milirary serYices of rheir vassals, they were virnwlly driven rn arremprs
rnssals . They hardly ever appeared at the royal court. The exchange of friendly
ar milirar\ expansion. generally ar the expense of rhe power vacuums around chem. Ar
visits grew more infrequent, correspondence with other parts of rhe th,1r rime ir was nm economically possible rn avoid this necessity by consrrucring a
particularly in rhe south. more sparse. France at the beginning of rhe r:elfth bureaucracy on the modern parrern.
11

century was at best a union of independent territories, a loose federation of
greater and lesser domains between which a kind of balance had provisionally This quotation implicitly shows rhe basic dyamics of both the centrifugal
been established. forces and rhe mechanisms in which rhe monarchy was embroiled in rhar society.
8. \Vithin the German Empire. after a century filled wirh wars between rhe provided rhar feudalizarion" is nor undersrood as an external "cause" of all these
wearers of the royal and imperial crown and rhe families of powerful dukes, one changes. The rnrious elements in this dilemma: rhe necessity of providing
of rhe larrer. the house of Swabia, succeeded in rhe rwtlfrh cemury m again warriors and officials wirh land. the unavoidable diminution of the royal
subjugating rhe others and. for a rime. bringing together rhe necessan- means of possessions unless new campaigns of conquest rook place, the tendency of the
power in tire central aurhoriry. . central amhorirv to weaken in rimes of peace-all these are pares of rhe great
Bur from rhe encl of the twelfth century onwards the social centre of gravity process of feudalizarion.. The quotation also indicares how indissolubly chis
moved ever more clearly and inevitably towards the rerritorial rulers in Germany specific form of rule and its appararns of government were bound to a parricular
too. However. while in the immense area of the German "Imperium Romanum" economic structure
or "Sacrum Imperium", as ir was later called. rhe territorial estates were To make rhis explicit: as long as barter relationships predominated in society,
consolidating themselves to the point that they could now for centuries prevent rhe formation of a rightly centralized bureaucracy and a stable apparatus of
the formation of a strong central power and so the integration of the whole area, government working primarily with peaceful means and clirecrecl constantly
in the smaller area of France the extreme disintegration of the end of rhe rwelfrh from rhe centre, was scarcely possible The imminent tendencies we have
cenrury now began gradually and-some setbacks norwirhstanding-fairly described-conqueror-king. envoys sent by the central authority to administer
steadily to give way to a resrorarion of the central aurhorirv and the country, independence of these envoys or d1eir descendenrs as territorial rulers
reintegration of larger and larger regions around one centre . and their srruuule
bb
auainst
b
the central power-correspond to certain forms of
The scene of this radical disintegration must be envisaged as in a wa\ the economic relationship If in a society rhe production from a small or large piece of
Starting point if we are to understand how the smaller areas joined ro land was sufficient ro satisfy all the essential everyday needs of its inhabirnnrs
_?()()
Prr;ccss 20"'

from clorhing w food and household implements, if rhe diYision of labour and r refers w a society in which rht rrnnsfor of goods from rhe person who
rht exchange of producrs O\'tr longer disrnnces were poorly de,tloped. and if c;rher. I . k l ..
chem from rhe soil or nature to tht person who uses rhem ra es p ace
,1ccordingly-all chest are difrertnr aspecrs of rhe same form of incegrarion- . 1. tine is wirhour or almost wirhour i!1[trmediaries. and where rhey are
drrccr')' ' . . . .
roads were bad and rht means of uansportarion rudimtnran. rht:n dlt: inrer- worked up ar rhe house of one or rhe mhtr'. ,,h1ch may well be rhe samt This
dependence of differem regions \ms also slighc Only when chis inrerdependence t" verv uraduallv btcomes more d1tterenm1red. J\fore and more people
er . b . " . . ,. . . . . .
grows considerably can relariYely srnblt cemral insriwriuns for a number of
1 1 . l 11 rer11ost
5,()\1') "
themsehes as f'uncnonanes or j)rocessmg..L
and d1srnbunon m the
larger areas be formed. Before chis rhe social srrucrnre simply offers no basis for
chem. passage. 0 (1 rhe ouoods
L .
from rhe 1)fimar\' ixoducer to the hnal consumer. How and,
. . . . . , .
, .., ill ' whv rh1s ha1J11ens. what is the motI\'t power behmd rh1s prolong.H1on
A hiswrian of rhe period \Hires: "\Ve can scarcely imagine how difficulr it the chains. is a question in irself. At an: nm: mone; is nothing o_rher rhan an
was. giYen medie,al rransporrarion conclirions, w rult and adminisrer an
. . .. 1-
exrenSI\'e empire
rnsuu , which is needed and wirh which socierr provides

.... irselt when these .
cl .. <T(lW lonuer when work and disrriburion art ditteremiarccl. and which
ii c ' , _
Charlemagne. too, supported himself and his courr essenrially from rhe circumsrances rends ro reinforce rhis differenriarion. If rht rerms
l!i1(lt r Ctrrtin'
produce of his old family esrare scarrered berween rhe Rhine, rhe .Maas and rhe "barter economy" and "money tconomy' art used. it can easily appear as if an
Moselle. Each "Palarium .. or manor-in Dopsch 's convincing accoum 1'-was absolute antithesis exists between these rwo economic forms, and such an
associated with a number of households and Yillages in rhe vicinity. The emperor "tned 1ntirhtsis has unleashed man\' a dis11ure In rhe actual social process
'
and king moved from manor co manor in rhis relatively small area. supporting rhe 'chains between production and consumprion change and differenriart \try
himself and his followers on rhe re,enut from rht surrounding households and ,,raduallr. nor ro mention rhe facr char in some secrors of \Vesrern sociery
0 ..
villages. Trade over long distances was never enrirely lacking e\en ar chis rime: economic communication o\er long distances and rims rhe use ot money ne\'er
bur ir was essenrially a uade in luxury goods, ar rare nor in articles of dailv enrirelv ctased Thus, ,ery gradually. rhe money secror of rhe economy increases
use. En:n wine was nor, in general. transported O\'tr long distances. AnHme again ... as do the differentiation of social funcrions, rht inrerdepc:ndence of
wanted to drink wine had w product ic in his own disuicr. and onh h.is nearest different regions. and the dependence of large popularions on one another: all
neighbours could obr,1in am surplus through exchange. This is rhere were rhese are differtnr aspecrs of rhe same social process. And so too rht change in the
in rhe i\ficlclle Ages vineyards in regions \\here wine is no longer rnlrirnred form and appararus fCir ruling rhar has been discussed is nothing other than a
today, rhe grapes being roo sour or rhtir planrarions "uneconomic". for example further aspecr of rhis process. The structure of the cenrral organs corresponds to
in Flanders or Normandy. Conversely, regions like Burgundy which art for us rhe srructure of rhe division and interweaving of functions. The suengrh of rhe
synonymous wirh viniculture. were nor near!: as specialized in winemaking as centrifugal rendencic:s cowards local f'olitical wirhin societies based
rhey lartr became. Thtrt. rno. ever\' farmer and esrnre had to be. up w a certain predominant!\' on a barter economy corresponds to rht degree of local <c11no11;1c
point. "aurarkic" As lace as rht seve!1[ee!1[h century rhere were only eleven
parishes in Burgundy where everyone was a wine-grower Thus slowh do rhe l O. Two phases can generally be distinguished in rht developmem of such
various disrricrs become imerconnecrtd. are communications dt\'tloped: are rhe prtclominanrly agrarian warrior socieries. phases which may occur once only or
division of labour and rhe inregrarion of larger areas and popularions increased; alrernate frequently [he phase of rht belligerent expansionist central lords and
and increased correspondingly is rhe need for a means of exchange and unirs of char of rhe consening rulers who win no new land . In rht first phase the central
calculation ha\'ing rhe same \'alue o\er large areas: mone\ aurhoriry is strong. The primary social funcrion of rhe central lord in rhis society
To understand rht ci,ilizing process iris particularly important ro ha\'t a clear manifests irself direcrly. rhar of the army ltadeL \Vhen over a long period the
and vivid conception of chest social processes. of what is meam b, barter or roval house does nor manifest itself in this belligerent role, when rht king is
domesric economy ..... money economy", "imerdependtnce of large nor needed as army leader or has no success as such, rhe secondary
"change in rhe social dependence of the individual". "increasing division of functions lapse as well. for example rhat of rhe highest arbitrator or judge of rht
functions". and so on. Such concepts too easily become verbal ftrish;s which have whole region. and rht ruler has ar borrom no more than his ride ro distinguish
lose all pictorial qualit\' and rhus, really, all clariry.. The purpose of this him from orher rerrirorial lords.
necessarily brief account is ro give a concrete perception of rhe social relationships In the second phase, when the frontiers are nor threatened and the conquest of
referred ro here b\ rhe concept of the "barter economy" \\fhar it indicares is a new land is impossible for one reason or another. centrifugal forces necessarily
quire specific way in which people are bound rogerher and dependent on each gain rhe upper hand. \Vhile earlier the conquering king has actually controlled
208 The Cil'i/i::;ing Process Std!t For111atio11 c111cl Ciz'i/i::;ation 209
che emire coumrv. in rimes of relacive peace it increasingly slips away from
. n in che \Vesc The cendenC\ t0 chink in terms of isolated causes, t0
auchority. Anyone wich a piec<: of land regards himself as ics firsc ruler. feuda Iiz<1t1 0 . - . . . . . -
for individual creators ot sooal uansformar10ns, or ac mosc to see onl} che
reflects his actual dependence on the cemral lord which in more peaceful
,1specr of social insrirncions and ro seek che examples on which chey were
is minimal
Ac chis srnge, when che economic imerdependence and imegracion of J rnodefl ed bv, chis or chat auenc-all
o
rhis has made chtse processes
.
and 111sr1tu-
.
. . . . . _ _ arge rions as inaccessible w our rhoughc as namral processes were earlier ro scholasnc
areas is lackll1g or only beg!l1n!l1g, a noneconomic torm ot incegration appears all
the m_ore scrongly: milirary imegracion, alliance t0 repel a common foe . Beside . .
More recendy hiscorians have begun tO break chrough tO a new way of posll1g
1
a sense ot community wich ics scrongesc supporc in che common faith
rhe ques rion . Incre1singh
.
-L ,
hist0rians concerned with che origins of feudalism are
, _ L.
and its mosc 1mporranr promorers in the clergy-but which never prevents . 'zin" char this is neither a deliberace crear10n ot 1!1d1v1duals, nor dots _ic
disimegration, nor of itself brings about an alliance, merely strengthening and ernp lMSI c- . . .
.
cons 1st of inscirncions char can be s1111ph
explarned br earlier
. ones.
. . . Dopsch, tor
guiding it in cerrain directions-the urge co conquer and the necessity of . sws of feuclalizacion: "\Ve are concerned here w1rh ll1St1nmons char
examp le, '
resisting conquest is che most fondamemal faccor binding cogether in
were nOr cilled
' into beinu o deliberarelr. and inremionallv . bv. sraces or che bearers
regions lying relatively far apart. For this very reason every such alliance in this
of state power in order ro realize cerrnin policical ends." 2 (1
society is, compared wich lacer periods, highly unstable, and the preponderance
And Calmecce formulates still more clearly this approach tO the social
of decemralizing forces very great
processes of hisrory:
The two ph,1ses of chis agrarian society, the phases of conquering and of
conserving rulers. or merely spurcs in one direction or the ocher, ma\ alcernate However diffr:rtm the feudal system is from the preceding one, it results direcrly from
as has been noted. And this is what actually happened in che hiswry ,of it. No revolution, no individual will has produced it le is part of a long ernlution
countries. But the examples of German and French development also show thar feudalicy belongs rn the caregory of what might be called the 'nawral occurrences" or
despice all che countervailing movements in che periods of conquering rulers, rhe "narnral fans of hisrnry. Its formarion was determined by quasi-mechanical forces and
21
tendency for che larger dominions t0 disincegrnte and for land t0 pass from the proceeded seep by seep
control of che cemral lord t0 char of his erstwhile vassals proceeded, up ro a
cercain rime. continuously Elsewhere in his study La .rociJt( ffr1r!C1!e be says:
1
\Vhy Had che external rhreac tO che former Carolingian Empire, which really To be sure. knowledge of antecedents, char is, of similar phenomena preceding a given
conscirnced che \Vesc at rhat rime, abated) \Vere chere yec other causes for rhi.s phenomenon, is interesting and instrucrive rn historians, and we shall nm ignore it
progressive clecentralizacion of the Carolingian Empire' Bur these "amecedems' are not the only factors involved and I'erhaps not rhe most
The question of the mocive forces of this process mav rake on nt\\. sil!nificance important The main thing is not rn know where the "feudal tlemem comes from,
if seen in relation to a familiar concepc This gr:1Jual dtcentraltzarion of whether its origins are rn be sought in Rome or among the Germans. bm why rhis
governmem and cerrit0ry, this rransicion of che land from rhe concrol of che element has rnken on its "feudal .. character If these foundations became what they
conquering central ruler ro rhac of rhe warrior caste as a whole is nothing ocher were. d1e 1 owe chis rn an en1lmion whose secret neither Rome nor the Germans can
chan che process known as feudalizarion" cell us . irs formarion is the- n:sL1lt of forces char can only be compared with
geological ones:-:.2

III The use of images from rhe realm of nacure or technology is unavoidable as
Jon!! as our language has nor de,eloped a clear, special vocabulary for socio-
The Increase in Population after his;orical \Vhy images are provisionally sought in these realms is
readih explained: for che rime being they express adequately rhe compelling
the Great Migration strengch of social processes in hist0ry And however much one may thereby
expose oneself ro misundersrnnding, as if social processes and their compulsions,
11 For some rime, undersrnnding of che problem of feudalizacion has been
ori"inac1n"
b ' b in rhe inrerrelacionships of men., were really of rhe same nature as, for
undergoing a pronounced change which perhaps merits more explicit emphasis
example, the course of rhe earth about che sun or che acrion of a lever in a
than ic has received hicherrn . As with social processes in general, che older mode
machine. the endeavour w find a new, scructural manner of posing hiscorical
of hiswrical research has failed ro come properly ro grips with rhe process of
questions reveals itself ,ery clearly in such formulacions . The relacion of later
21 ()
211

inscicmions to similar inscirncions in an earlier phase is alwavs of siunifi . II.! rhe Grman tribes overran a large part of the Celts' rerriron-, which in
. . . . . b f!na ' L ,

Bm here the h1sronca! question is why insricmions. and also people's , rime had likewise ui,en rise to an "older culture", The Germans 111 their
b . .
conduct and attecnw make-up and whr cher chanue in chis inn I
. . .. . "" ' rcu ar curn lee I f nded .rhis . "cultured" .
land they had conquered agamsr new waves of
way \Ve are concerned \\"Ith the strict order ot socio-historical Jes ,1drnncrng from all sides .
And perhaps it is .not easy even today to understand chat chest transformations after rhe death of Mohammed in 632 the Arabs were set in 2

are not to be explamed by something chat itself remains unchanged. and scill -,1' chev had conquered the whole of Spain with rhe exception ot the
l3v f J , . . .
easy to r_ealiz_e char in history no isolated fact ever brings abom any transforma- ' n moL1nrains
tion by itself. bm only in combination wirh others Astuna ' Towards .the middle . of the eighth
.L
century rh1s wave came
_

ro a sr.1, nclsrill 1r
' the souchern frontier of che Frankish empne, as Celtic waves had
. F.inally. these transformations remain inexplicable as long as explanation is earlier done before rht gates of Rome
limited to the ideas of individuals written clown in books. \\!hen enquiring into From rhe east Sl avon1c rn'b es acl vance cl agams
t tilt Fr,1nk1'sl1
. en11)ire. B\.' the
soc'.al processes one must look at the web of human relationships. at society irsel( . rhe ei"hrh centurv the\ had reached the Elbe .
en cl Of
find rht compulsions rhar keep them in morion. and give chem their particular
form and their particular direction. This applies to rht process of ftuclalizarion as If in rhe year 800 a political propher ha<l possessed a map of Europe as we can now
to the process of increasing division of labour; it applies w countless other reconscrucr ic. ht might well have been misled imo pre<licring char rhe whole eastern
processes represented in our conceptual apparams by words wirhom process- half of rhe Cominem from the Danish peninsula rn che Peloponnese was destined rn
become a Sla,onic Empire nr ar lease a po,verful group of Sla\'Cinic coumries. From rhe
which stress particular institutions formed by rhe process in question,
Elbe esrnary co rhe Ionian sea ran an unbroken line of Slarnnic peoples chis seems
tor example. rht concepts of "absolmism... 'capitalism". "barter economv"
ro mark rhe fromier of Germanic cerrirnry. c;
money economy" and so on. All these point beyond themselves ro changes in
structure of human relationships which clearly were nor planned by individuals Their movement came to a srandsrill somewhat later chan that of the Arabs.
and to which individuals were subjected whether willindr or nor And ti Then rhe struggle long remained undecided. The frontier between Germanic and
L lls
applies finally ro changes in the human habitus itself. to rhe ci\"ilizing Slarnnic tribes now moved somewhat forward, now back again. By and large the
process
Slavonic wave was held at the Elbe from about 800 onwards
1' One of the mosr important motors of change in rht structure of human \Vhar may be called the "originally seeded territory" of the west had thus.
relationships. and of tht insricutions corresponding ro them. is rhe increase or under rhe rule and leadership of Germanic tribes, preserved its frontier against
decrease of population Ic too cannoc be isolated from the whole drnamic web of the migrating tribes. Representatives of earlier waves defended it against chose
human relationships. Ir is nor, as prevalent habits of thought. incline us to following, rhe last waves of migration that passed across Europe. These,
assume. in itself the "firsc cause" of socio-historical movement But amidst rhe prevented from advancing forrhtr. slowly settled outside the borders of the
intertwining factors of change chis is an imporrnm clement char should ne\tr be Frankish empire. And so a fringe of populated regions formed about rhe latter in
neglected. It also shows particularly clearly the compelling narure of these social large areas in rhe interior of Europe. Previously nomadic tribes rook possession of
forces. Ir remains to bt established what role factors of chis kind playtd in the rhe land. The great migrations slowly came to rest, and the renewed intrusions
phase under discussion It may help unclersrancling of chem ro recall brietly rhe of migrating peoples char occurred from rime to rime, by the Hungarians and
last movements in rht migration of peoples
tinaily rhe Turks, foundered sooner or later on the superior defensive techniques
Up ro the eighth and nimh centuries tribes migrating from the ease. north and the strength of chose already in possession
and south pushed in recurrent spurts inrn the already populated areas of Eurnpe. 13.. A new situation had been created. There were no longer any empty spaces
This was the lase and biggest wave in a movement that had gone on owr a long in Europe. There was virtually no usable land-usable in terms of the agricultural
period. \'Vhat we set of it art small episodes: the irruption of Htllenic "barbarians., techniques then available-that had noc been pre-empted. By and large Europe,
into the populared areas of Asia Minor and the Balkan peninsula. the penetration and above all its large interior regions, was now more completely populated than
by the Italian "barbarians" of the neighbouring western peninsula, rhe aclrnnce of ever before, even if incomparably less densely than in the centuries thac followed.
che Celtic "barbarians into rht cerrirory of che former who had now in their turn And there is every indication char population increased to the same extent as the
become to some txttnt "civilized" and whose land had becomt a centre of upheavals accompanying the great migrations abated. This changed the whole
"ancient culture". and the definitive settling of these Celtic tribes ro rhe west and svsrem of tensions between and within the various peoples .
parch to che north of them
. In late antiquity rhe popular ion of the "old cultural regions .. declined more or
2l2 Thr: Cizi/i::;ing Prncess State Formc1tio11 and Cfri/i::;c1tio11 213

less rapidly In consc:quence rhe social insrirutions corresponding to relatively flower internal pressure. But rhe term "overpopularion" needs explaining.
large and dense populations disappeared also. The use of money within a societ, those o . b r l . l b. . . I
Ir is not a product of the absolute num. er or peop e m 1a a certain area n
for example, is bound up with a certain level of populariun densiry. It is heavily industrialized society wlth intensive unlizatton of the land, highly
essential prerequisire for rhe differentimion of work and the formation of a eve loped Jon"-discance trade and a government favouring che industrial againsr
d "' L L

markets. If the popularion falls below a certain level-for whatever reasons-the . . "rafrm sector through imr)ort and export duties, a number. of people can
rne ,1.:::i '
markets automatically empty. The chains berween the person producing a . ore or less tolerablv which in a barter tcononw with extensive agncultural
I vem ' ._
commodity from nature and ics consumer grew shorter . .Money lost its instru- and little long-disrance trade, would co_nstic_me with all
mental funcrion . This was the direction of development at the end of antiquity. irs typical symptoms. "Overpopulation" is rheretore hrsc of all a term tor growth
The urban senor of society grew smaller.. The agrarian characrer of society of population in a parcicular area to a point where, in the given soCial scructurt,
increased. This development took place the more easily as the division of labour sacisfacrion of basic needs is possible for fewer and fewer people. \Ve rims
in antiquiry was never remotely as great as, for example, in our own societv. A encounter "overpopulation" only relative to certain social forms and a certain sec
proportion of urban households were always to a degree direcdy suppiied. of needs, a social overpopulation. _ _
independemly of commercial or manufacturing intermediaries. by the grear slave Irs svmproms in societies which have attained a certain degree of difter-
estates. And as the overland transportation of goods over long distances was entiaci;n are, broadly speaking, always the same: increased tension within
always extremely difficult, given the state of technology in antiquity, long- sociecy; greater self-encapsulation by those who "have", i.e., in a predominantly
disrnnce trade was essentially confined to waterborne transport. Large markets barter economy, chose who "have land", over against chose who have nor", or ac
and towns and \igorous monetary activiry developed in proximity to water. anv race not enough to supporc themselves in a manner conforming with their
Inland areas always preserved a predominantly domestic rype of economy. Even st;ndards; and often, increased self-encapsulation, among che "haves", of chose
for the urban population, the autarkic household and economic self-sufficiency who have more than che rest; a more pronounced cohesion of people in tht same
never declined to rhe exrent chat they have in modern \Vestern society. \Vith the social situation co resist pressure from chose omside it or, inversely, co seize
fall in population this aspect of che social structure of antiquity regained opporrnnicies monopolized by ochers. In addition, increased pressure on
prominence.
neighbouring areas with lower population or weaker defences, and finally, an
\\?irh the end of the migration of peoples, chis movement was once again increase in emigration and in the tendency to conquer or at lease setde in new
reversed. The influx and subsequent seeding of so many new rribes provided the lands.
basis for a new and more comprehensive popularion of che whole European area. It is difficult co say whether available sources can give an exact picture of
In rhe Carolingian period chis population srill had an almost completely population growth in Europe in rhe centuries following the migrarions, and
domestic economy, perhaps even more so than in che Merovingian period. 2 ' One particularly of differences in population density berween different regions. But
indication of this may bt chat the political cemre moved still further inland, one chin<' is certain: as rhe miurntions slowlv came co a srandscill, once the major
where hitherto-owing to the difficulties of overland transport-the political stfll"''le: amonab the different had to an end, one after another all the
bb
centres preceding those of rhe medieval \Vesr had never been situated, with few symptoms of such "social overpopulation., showed themselves-a rapid growth of
exceptions such as rhe Hittite Empire. \Ve may assume char the population was population accompanied by che transformation of social institutions,
beginning co increase very slowly in chis period \Ve already hear of forest 15. The symptoms of increasing population pressure first appeared clearly in
clearance, and that is always a sign thar land is growing scarce, the density of rhe wescern Frankish empire. Here. about the ninth century. the threat from
population rising . But these were cerrninly only the initial stages. The great foreign rribes slowly receded, unlike rhe situation in the eastern Frankish empire
migrations had not yet entirely abared . Only from the ninth cemury onwards did In che part of che empire named after them rhe Normans had grown peaceable.
the signs of a more rapidly increasing population multiply. And not very long With the help of the western Frankish Church, they rapidly absorbed the
afterwards there are already indications of overpopulation here and there in the language and che whole tradition about chem. in which Gallo-Romanic and
former Carolingian regions elements were mingled. They added new elements of their own In
Fall in population at the end of amiquicy, slow rise once more under different particular. they brought about important advances in the administrati\'t strLlC-
circumstances in che aftermath of the migrations of peoples: a brief recrospecrive ture within che territorial framework. From no\v on rhey played a decisive part
summary must be enough to recall to mind the curve of chis movement. as one of che leading rribes in rhe federation of western Frankish territories .
l-i Phases of perceptible on:rpopulacion alternate in European history with The Arabs and Saracens caused occasional unrest on the Mediterranean coast,
5tdfr Fom1t1ti11n and Cizi!i::atio;1 215

but by and large rhe\ coo. from die ninth centun- . n"l colonizarion wenr rhe exrernal conquesr of new rerrirory elsewhere. By
chrear ro rhe survival of rhis empire 1ncer ,. . . .
r}1e bCi! 111 n 1
'11<'
t;
ot rhe elevend1 ctntun- Norman kn11o;hrs were 1o;o111g ro southern
L L. L-

To rhe east of France lay rhe German "Imperium" which under che < r;J hire rhemselves our as warriors to individual princes, In 1029 one of
emperors had again 1o;rown 11owtrfuL \virh minor exce1)[ions rhe fronr 1,,- be
. . . . u rween r hem \yis
' enfeoffed for his services wirh a small piece of land on rhe norrhern
.
1r and rhe wescern Frankish emp1rt scarcely moved trom rhe renth ro the boundary of rhc duchy of Naples. Ochers followed. among rhem orher sons ot a
quarter of rhe rhirteenrh cenrury In 925 Lorharingia was won back from the inor Norman lord. Tancrede de Hameville. Ht had rwelve sons m all; how
empire. and 111 l 0.'>-1 Burgundy. Apart from chis. rension along this line was nor :ere rhey ro be sustained ro a firring srnndard on rheir farhers land' Eighr of
high until 12.26 The empire s expansionisr rendencies were direcred essenrialJ,, 1 rherefore went to southern Irn!v.
. and rhere obrained in rime whar was
rn rhe east. 1
denied ro rhem ar home: control of a piece of land. One of them, Robcrr
. The external rhrear ro che wesrern Frankish empire was rherefore relatively Guiscard, gradually became rht acknowledged leader of rhe Norman \Varriors.
sl1ghr Equally sl1ghr. however, were the possibiliries of expanding beyond He unired rhe scarrered esrares or rerriwries rhar indi,iduals had won for
ex1snng frontiers. The easr in parricular was blocked bv borh rhe 1101)Liht' themselves. From 1060 onwards rhey began under his leadership rn advance inro
. . "ion
cIens1ty and the military srrengrh of rhe empire Sicily By Roberr Guiscards dearh in 1085 rhe Saracens had been pushed back
Bur within rhis area, now rhar rhe exrernal rhrear had diminished. population into rhe sourh-\vtsr corner of rht island. All rhe resr was in Norman hands and
began to mcrease markedly. Ir grew so strongly after the ninrh centun- rhat b formed a new Norman feudal empire.
che beginnmg of rhe foLuTeen;_h century ir was probably almosr as large. as ar None of rhis had acrually bten planned. Ar rht ourser we haw rhe population
begmnmg of rhe eighteenth -
pressure and rhe blocked opportuniries ar home. rhe emigration of individuals
This movement cerrainlv did nm proceed in a scraighr line. bur rhere is an whose success arrracrs orhers; ar rhe end we bt\'e an empire
abundance of evidence ro show rhar, by and large. popularion increased sreadilv; Something similar happened in Spain . In rhe renth century French knighrs
rh1s evidence has w be seen as a whole if rhe srrengrh of rhe overall movemen.t. wenr w the aid of rhe Spanish princes in rheir srruggles againsr rhe Arabs. As
and rhe meaning of each individual piece of e\iclence wirhin ir. are ro be memioned, rhe wesrern Frankish area, unlike rhe easrern, did nor border on an
unclersrood
extensive area open ro colonization and peopled by largely disunirecl rribes. To
From rhe end of rhe tenth onwards. and more so in rht elevtmh, rhe rhe tasr rhe empire prewntec! furrher expansion. The Iberian peninsula was rhe
pressure on land. rhe desire for new land and grearer producti\iry from rhe old, only direcr way our. Up ro rhe middle of rhe eleventh century only individuals
art more and more visible in rhe wesrern Frankish region. or small bands crossed rhe mounrains: rhen, rhey gradually became armies, The
As menrioned. forests were already cleared in rhe Carolingian period and no Arabs, splir internally, offered slighr. sporadic resisrance . In l 085 Toledo was
doubt earlier roo. Bur in che eleventh cemury rhe rempo and exrenr of the taken. and in 109-i Valencia under rhe leadership of El Cid, onh ro be losr
clearance accelerare:d. \X'oods wert ftlled and marshlands made arable as far as rhe shordy afrerwards. The struggle was waged back and forth. In 1095 a French
rechnology of rhe rime permirrecL The period from abom 1050 w abour 1300 mum was invesred wirh rhe reconquered rerrirory of Portugal. Bm ir was only
was rhe gre:ar age of cleforesrarion. of rhe inrernal conquesr of ntw land, in in 11-i'. wirh rhe aid of members of rhe Second Crusade, thar his son finally
2
France. ' Abour 1300 rhis movemem slowed clown again succeeded in gaining control of Lisbon and rhere ro some degree srabilizing his
rule as a feudal king
IV Aparr from Spain. rhe only possibiliry of gaining new land near France lay
across rhe Channel. Even in rhe firsr half of rhe eleventh century individual
Some Observations on the Sociogenesis Norman knighrs had srruck our in rhis direcrion Then in l 066 rhe Norman
of the Crusades Duke wirh an army of Norman and French knighrs crossed ro rhe island, seized
power and redisrribmed rhe land The possibiliries of expansion, rhe prospecrs of
16 The grear onslaughr from ourside had subsided. The earth was fruitful. new land in rhe vicinity of France, grew more and more restricted. Eyes were casr
Popularion was growing, Land, rhe mosr important means of producrion. rhe furrher afield.
epitome of property and wealrh in rhis sociery. was becoming scarce. Deforesra- In 1095. before rhe grear feudal lords began ro move. a band led by rhe knight
non. rhe opening up of new land wirhin. was not nearlv sufficienr ro offset rhis \\?airer Habenichrs. or Gamier Senzavoir. ser our for Jerusalem; it perished in
scarciry New land had ro be soughr omsicle rhe Hand in hand with Asia J\Iinor. In 109' a mighry army under rhe leadership of Norman and French
216
The Cil'ili:::ing Pmcess

rerri torial lords adrnnced into the Holy Land . The Crusaders first had rhemse!v .
of population, necessarily shrank for each _indi_vidual; rhe .incessant feuds
rnvesred b? the Eastern Roman Emperor with the lands ro be conquered, e;,
nsions unleashed rhe hi ,,h rare ot rnrant morralnv, illness and
advanced further, conquered .Jerusalem and founded new feudal dominions thllt these re ' b . . d . .
all chat may have eliminated a part ot the human surplus . An it IS
There is no reason co assume char wirhouc rhe guidance of rhe Church. d.
l"' . . chat rhe relariw:ly unprotected peasantry were harder hie than the
re 1g1ous lrnk with the Holy Land, this expansion would have been directed
. Moreover, the freedom of movement of the former group was so Ii mired
p'reci.stly char place. Buc nor is it. probable rhar wichouc rhe social pressure warnobrs.. . 11 communicHions between different regions were so difficult, that
a O\'e ,1 ' ' . .
\\_1cl11n the \\esrern Frankish reg10n and then rn all the other reuions of L .
.
Cl1nscen d . b attn he surJ l us hbour
' power could not be guicklv. and evenly. discnbured Thus 1n
om, the Crusades would have taken place 1
r r shorrnue of labour might result from feuds and pillage, plagues, the
The tensi.ons within this society were not only manifested in desire for land one a.ea b . . . . l .
ot new land or the flight ot serfs while a surplus was accumu atrng
and bread. Ibey exerced pressure upon the whole person . The social opening up . _ .c ' . ..
in ochers. And rn tact we have, for the same penod, clear e\ 1dence _of an excess
pressure the monve force. as a generator supplies currenr Ic ser people
boos d m en in one area and of efforts . rn ochers ro .. attract free tenants,
rn monon. fhe Church steered this pre-existing force. Ic embraced the general
distress and gave It a hope and a goal omside France. Ic nave rhe struggle fior
W
JJosp1tes - cl1at i's ' rulers ortecinu b
labourers 1m1xoved .
cond1t10ns.
. .

l d . . b Le new Be char as it may, what is above all characrerisnc of the operarmg


an an overarchrng meanmg and justification Ic mrned rhis into a stru<n'le r, t liir nor only was a' "reserve army" of bondsmen or serfs .formrng m rh1s
the Christian faith. bb or here 1s ' .

sooety, . but also a "reserve arnw"
of rhe 11pptl' c/,1ss, of k111ghcs
. . w1rhour property,
l-; The Crusades are a specific form of the first urear movement ot
. . b ' c., ans1on
or w1c 10 l Lit enouuh b ro maintain their standards . Only . lil this way can the narnre
colonizanon by the Christian \'\Iese. Dming the great migrations, in which
of chis first \'\/estern expansionist phase be undersrood. Peasants. the sons of
tor cenrnries tribes from the ease and north-ease had been driven in a western and
bondsmen, were certainly involved in one way or another in rhe for
souch-wescern d!reccion, _rhe urilizable areas of Europe had been filled up with
colonization. bur rhe main impulse came from the knights' shortage of land.
people to the furthest frontiers. rhe British Isles. Now rhe migrations had
New land could only be conquered by rhe sword. The knights opened a way by
sropped. The r:1ild climate, fertile soil and unfettered drives favoured rapid
torce o 1 arms
' , the\' . rook rhe lead and formed rhe bulk of the armies. The surplus
mulnpl1canon Ihe land grew too small The human wave had trapped itself in
population in the upper class gave this first period of expansion and colonization
a cul-de-sac, and from this confinement it strained back towards rhe easr. both in
its special scamp.. .
the Crusades and within Europe itself, where the German-populated area slowly
The rift between those who had land and chose who had none or too linle, ran
spread, through heavy conflicts, further and further ease beyond che Elbe to rhe
right d1rough chis society. On rhe one hand were the land-monopolises-warrior
C?der. then to the Vistula esrnary, and finally Prussia and rhe Baltic lands, even families, noble houses and landowners in the first place, bur also peasants,
it it were only German knights, nor German farmers. who succeeded in
n1igraring so fi1r. bondsmen. serfs. hosj1ites, who ocrnpied a piece of land that supported them,
however meagrely. On che other hand were chose from both classes who had been_
. Bur precisely this lase face shows \'ery clearly one of the peculiarities deprived of land . Those from the lower classes--displaced by the shortage of
d1srrngu1shing this first phase of social overpopulation and expansion from later
opporrnniries or rhe oppression of their masters-played a pare in the emigration
ones. In general, wjrJ1 the advance of the civilizing process, and rhe concomitant
or colonization, bur above all they provided the population of rhe growing
constraint and regulation of human dri\'es-and their advance is alwavs scronuer
fi . b , towns. Those from the warrior class, in short rhe "younger sons", whose
or reasons to be discussed later, in the upper than in che lower classes-the
inheritance was roo small either for their demands or for their mere sustenance,
birrhra:e slowly_ declines, usually less rapidly in rhe lower rhan in che upper
rhe "have-nots" among rhe knights, appear down rhe centuries wearing the most
srrara. fh1s. difference between the average birch race of rhe upper and lower
disparate social masks: as Crusaders, as robber-leaders, as mercenaries in the
classes is often highly significant for the maintenance of rhe standard of rhe
former. of great lords; finally they form the basis of the first srancling armies.
18 . The often-quoted dictum: "No land wirhour a lord", is nor only a basic
This first phase of rapid population growrh in the Christian \'\Iese is
legal principle. It is also a social watchword of rhe warrior class . Ir expresses the
distinguished from the later ones, howe\er, by rhe face rhac in ir che ruling
knights' need ro rake possession of every scrap of L1Sable land. Sooner or later this
stratum, the warrior class or nobility, increased hardly less rapidly rhan rhe
had come about in all the regions of Larin Christendom. Every available piece of
stratum of bondsmen, tenants and peasants, in shore, of chose who directly
land was in firm ownership . Bur rhe demand for land continued and even
worked the land. The struggle for rhe available opportunities which. wirh
increased. The chances of satisfying ir diminished. The pressure for expansion
218 The Cil'iIi:;i11g Pmc,.c_r Std!, F11m1t1!i1Jn ,//Id Ciz'i!i::c1tio11 219

rose, as did rhe rension wirhin sociery. Bur rhe specific dynamic which was
!J1Jwert-ul n11r
1 1 a ril\
. . w1.th the lar.!!eSt retinue: he was at once armv. leadtr and
imparted ro sociery as a whole did nor emanare solely from rht malcontents:; l
was nectssaf!ly communicared also to chose rich in land. In rhe poor d .t
. !! ! l. . k . l . , ebt- Pre ciselv. because tstate owners were in a certain sense opposed ro one another,
fl cc en.' c ec i_nrng n1g irs the social pressure maniftsred itself as a simple
as states are roday, the acquisition of new land by one neighbour represenred
for a piece of land and labourers ro support rhtm in keeping with their standards. ---c or indirect threat ro the orhers. Ir meanr, as todav, a shift of equilibrium
_, (1J[CC '
In tht f!cher warf!ors, the grtater landowners and territorial lords '.' Inc was usuallv a very labile svsrem of power balances in which rulers were
- - - . . - . - ' It Was 1!JW' - ' . - . . .
expressed 11kew1se as an urge for new land. But what lowtr down was a I
. _ - . _ . .
d es1re for .i means of subs1srence appropnate to one's class was hi"her llj} a51mpe l . .5 jJOtential
allies and j}Otenrial entm1es ot one another. fh1s. therefore. 1s
.
l -
. . ' '- c- ( c rive h - -mjJle
Lit - mechanism which, in chis j)hase of inrernal and external expansion.
tor enlarged domrn1011, fur "more" land and so more social !}0\Vtr as well Th' kept cht richer and mort powerful knighrs in morion no less than the poortr
_ - IS
ll1g tor enlarged property among the richer landowners, above all those of the - e1c]1 beinu
0 ne=>1 h 0 constanth-
. on e><uard agarnst ex1x1ns1on bv others. and consramlv
<..---

hrst rank, tht counts, dukes and kings, sprang nor onh from rhe j}er- al n" to enlarue his own jJossessions. \\!hen a societv. has once betn. put in such
b. - - >On k
seeic c
am mon of individuals. \Ve have already setn by the example of the western scare of flux by rhe blockage of territorial expansion and populat10n pressure.
Frankish Carolll1g1ans. also the first Capetians. how unremittingly, unless anvone who declines ro compete, merely conserving his property while others
there was_ a poss1bi11ty of conquering new land, even royal houses were forced 'strn
':,,e tor increase ' necessarilv ends UjJ "smaller" and weaker than the others, and
1nro. dtclll1e by a compelling social process cenrred on the ownership and is in ever-increasing danger of succumbing ro them at the first opportunity The
d1srnbu[]on ot land. And if, rhroughout this whole phase of ounvarc! and inward rich knights and terrirorial lords of cha[ tirnt did not view the matter quite so
expansion, we see nor only 1:oor knighrs but also many rich ones striving afi:er theoretically and generally as we hano put it here; but they did see quite concretely
new land to ll1crease their family power. this is no more than a sign of how how powerless rhey wtre when their neighbours were richer in land than they, or
strongly rhe structure and situation of this society imposed rhe same srrivinrr on when others around them won new Lind and sovereignry This could be shown in
whether simply ro mvn land in rhe cast of the dispossessed. or to more derail in relation ro the Crusade leadtrs, for example Godefroi de Bouillon.
more land 111 the case of the rich
who sold and mortgaged his domestic possessions ro seek larger ones far away.
. Ir has thought that craving for "more" property, rht acquisitive urge, and in fact found a kingdom. In a later period this could be shown by the
is a spec1hc charactensr1c of "capitalism .. and thus of modern rimts . In this view example of rht Habsburgs. who even as emperors were possesstd by the idea of
medie:al society was distinguished by conrenrmenr with rhe income appropriate extending their "family power .. , and were in fact, even as emperors, compltrely
ro ones social sranding.
imporenr without the support of their own family power. Indeed. it was precisely
\Virhin certain limics this is no doubt correcr. if the striving for "more" is because of bis poverty and powerlessness that the first emperor from the family was
undersrood as applying _ro money alone. Bm for a long period of rhe Middlt Ages selected for this position by mighty lords jealous of their power. It could be
1
r_ was nor ownership or money but of land which consrirurecl rht essential form illustrated particularly clearly by rht importance which the conquest of England
of ownership. The acquisitive urge thus necessarily had a differenr form and a br the Norman Duke had for the developmenr of the western Frankish empire.
differenr direction. It demanded differenr modes of conduct ro those of a socierv fact. this growth in the power of one rerrirorial ruler meant a total
with a money anclmarket economy. It may be rrut that only in modern rimes did displacemenr of equilibrium wirhin the alliance of territorial rulers comprising
there develop a class specializing in trade, with a desire ro earn ever-increasing this empire. The Norman Duke who, in his own rerrirory, Normandy, was
amounrs of 111011c) through uninrerrupted roil. The social structures which. in rhe himself no less affecrtd by cenrrifugal forces than any other rerrirorial ruler, did
predominantly barter economy of rhe Middle Agts. led to a desire for ever- not conquer England for the Normans as a \vhole but solely ro increase his own
increasing means of production-and it is structural fearures that are important family power. And the redistribution of English soil ro the warriors who came
111 both cases-are less easy ro perceive, because land not monev was desired. In
with him was expressly designed ro counter centrifugal forces in his new domain
addition, political and military functions had nor yet been differenriartd from by prevenrin<' the formation of lar<'e rerrirorial dominions on English soil. Thar
economic ones as they have gradually become in modern socierv. Milirnn- action had to land ro his knight: was dictated by the necessit; of ruling and
and political and economic striving were largely idenrical, ;111d rhe .urge to administering it; but he avoided allocaring a large self-contained area to any
increase wealth in the form of land came ro the same thinu as individual. Even co the great lords who could demand the produce of large areas
territorial sovereignty and increasing military power. The man in for their mainrenance. he assigned lands dispersed throughout the counrry.; 1
particular area, i.e. the one with most land. was as a direct result the most At the same rime he had automatically risen. with this conquest, ro be the
220 The Cirilizi11g P/'()cc.rs 5t.1h FormC1ti1111 <111cl Cil'ilizc1tirJ11 221

most powerful rerriwria! ruler in rhe western Frankish empire. Sooner or late chem a modicum of freedom; bur mostly rhey expecred and demanded the
there had rn be a confromarion between his house and rhar of rhe dukes rf. services and rribures as from rheir own bondsmen and tenants. Bur the
. . 0
Francia, who ht! d. rhe kingsh1p-a confrontation in which the crown itself Was -<ame lirion of such )eO!Jle cham;ed the power re lar10ns. li1p. b erween rlie lorcl an d
'
ar stake. And 1r 1s kno\vn how grearlv clevelo1)mems in subsequent cent
- ' urie- r1y-' newcomers c-nained srrennrh
le low.er cliss o
through numbers and gradually
determined_ by struggle between the dukes of francia Normand;, n cl new rinhrs in blooclv and often protracted struggles. These struggles
obra1ne b - . . .., . .
ho\\ die_ ot the Isl_e cle France slowly resrorecl rhe balance of pO\ver by the: , ke our earliest in Italy, somewhat later 111 Flanders: 111 HbO 111 Cremona, 111
ot new rernrones, and _how these struggles on both sides of the in Milan, in 1069 ar Le Mans, in 1077 ar Cambrai. in 1080 ar Saint-
Channel hnally gave nse ro rwo different dominions and rwo different natio in 1099 in Beamais, in 1108-9 in in 1112 i_n Laon,_in 11.27
But this is certainly one of many examples of the compelling Saint-Omer These dares, togerher wirh those ot the knights_ expans10n, give
rlm dynamic phase ot rhe .!\fiddle Ages, which impelled both rich and poor
a rrener,il immession
t
of rhe internal tensions which kept soc1err. 111 mor10n 111 rh1s
knights ro seek new land
These were rhe first srrugg'.es for liberation by working rown-dwellers.

v That rhey were able, afrer some detears, 111 rhe1r struggles wJth rhe_ warnor class
in rhe most diverse areas of Europe, to secure rights of their own, hrsr a limned
and rhen a substantial degree of freedom, shows how great was opporm111ry
The Internal Expansion of Society: that social development placed in their hands . And this fact, slow
The Formation of New Social Organs
nse o t- lo\ver ' workinn
b'
urban srrara ro ]JOlirical auronomv
and hnallv-hrsr

m

and Instruments the form of rhe professional middle classes-ro political leadership, provides the
ker ro almost all rhe srrucrural peculiarities distinguishing \Vesrern societies
19 The driving force of this social expansion, rhe disproportion between fr;m rhose of rhe Orient, and giving rhem their specific stamp.
rising population and lan_d in fixed ownership, drove a large part of rhe ruling Ar rhe beginning of rhe eleventh century there were, essentially, only rwo
class ro conquer new remrory. This outlet was largely blocked ro people of the dasses of free people, rhe warriors or nobles and rhe clergy; below them existed
lower, labouring strata. The pressures arising from rhe land shortage here Jed only bondsmen and serfs . There were "those who pray, those who fight, those
mainly in a different direction, ro rhe differentiation of work.. The bondsmen who work".' 0
driven from the Janel comprised, as we have mentioned, material for rhe growing Bv about 1200. rhar is to say, in rhe course of rwo centuries or even only om:
settlements ot artisans which slowly crysrallizecl around favourablv situated and .a half-for like forest clearance and colonial expansion rhis movement roo
feudal sears, rhe evolving rowns. -
accelerated after l 050-a large number of artisan settlements or communes had
Somewhat larger agglomerations of people-the word "rown" perhaps gives secured rights and jurisdiction, privileges and auronomy. A third class of free
the wrong impression-are already ro be found in rhe socierv of rhe ninth men joined rhe orher rwo. Society expanded, under che pressure of land shortage
century which operated a barter economy. But these were nor d;e communities and population increase. nor only extensively bur intensively as well; ir became
which "livec! by crafts and trade instead of labour on rhe land, or had anv special differentiated, generated new cells, formed new organs, rhe rowns.
2
rights and insrirutjons". _; They were fortresses and ar rhe same rime of 20 . Bur with rhe increasing differentiation of work, with the new, larger
the agricultural administration of great lords. The rowns of earlier periods had markers rhar now formed. with rhe slow process of exchange over longer
lost their unity. They were juxtaposed pieces, groups often belonging distances, grew rhe need for mobile and unified means of exchange
ro different knights and different dominions, some secular, others ecclesiastical, \\!hen rhe bondsman or small tenant brought his rribure direct ro his lord,
each leading its own independent economic life. The sole framework for when rhe chain between producer and consumer was short and without
economic acriviry was the estate, the domain of the terrirorial lord. Production intermediaries, society needed no unit of calculation, no means of exchange to
and consumption rook place ar essentially rhe same place. 3_; which all orher exchanged objects could be related as ro a common measure. Bur
Bur in the eleventh century these formations began ro grow. Here roo, as now with rhe 0vradual severance of craftsmen from rhe economic unit of rhe
usually hap_pened wirh knightly expansion bur was now happening among wirh rhe formation of an economically independent arrisanry and rhe
bondsmen, 1r was ar first unorganized individuals, surplus labourers, who were exchange of products through several hands and down longer rhe network
driven to such centres. And rhe attitude of rulers ro rhe newcomers, who in each of exchange-acrs became more complicated. A unified object of exchange was
case had just left a different esrare. was nor always rhe same.;., Sometimes rhey needed. \\!hen rhe differenriarion of labour and exchange grows more complex
The

and mo_re acti\e. more money is needed Money is indeed an incarnation of intO fixed ownership. wirhour the sharp increase in population. wirhour the
social fabric. a symbol of rhe nerwork of exchange-acrs and human , 0 n of indept:ndenr communirits of artisans and tradesmen. the need for
wrm.io . . . .
through which a commocliry passes on irs \vay from irs narura] state nev within soc1ery would never have nsen so sharply. nor the money sector ur
consumption. Ir is only needed when exrenc!ed chains of exchange form wi'rn haw grown so rapidly. Monty. the decrease or increase of its use-_
. I . m
r iar is ro say. ar a cerrain level of popularion density and a higher rcannot 1-c understood bv itself. bm univ from rhe srandpoinr or . rht: srrucmre or
u _ _ .
of social inrerclepenclence and difterenriarion. human relationships. Ir is here. in rhe changed rorm of human 1nttgrar10n. rhar
Ir would rake us too far afield to explore here rhe quesrion of rhe gradual rhe prime movers of chis transformation are robe soughc; or course. when rhe use
of the money economy in many areas in !are anriquiry and irs resurgence of money had onct begun ro grow-__1t helped 1n 1rs rnrn _rn propel thIS_ wholt
rrom abom the elevenrh century onwards; but one observation on the quesrion rnovemtnr-population increase. ditterenriarion. growrh ot towns-snll rurrher.
necessary in connecrion wirh rhe foregoing.
up w a certain point of sarurnrion.
Ir muse be poinred our rhar money ne\er wenr completely ollt of use in the .. The beginning of the eleventh cenmry is still charncrerized by the absence of
older 111habned area of Europe. O\er rhis whole period there were enclaves of !Hrge-scale money transactions. \Vealrh is to a large exrenr immobilized in the
mone: economy wirhin rhe barrer economy. and in adclirion. Olltside lhe hands of the Church and the secular territorial lords.
area rhere were large regions of rhe old Roman Empire where money Then che need for mobile means of exchange gradually increased. The existing
rrafhc never receded to rhe same exrenr as ir did here. One can, rherefore, alwa;s coinage was no longer sufficient. Firsr of all people made do with plart and
and n:ry righrly ask abour rhe .. anrecedtnts of rht money economy in tl;e ornamenrs in precious meral char were weighc:d ro provide a unit or calculation:
Chrisrian \Vesr. rhe enclan:s in which ir never disappeared. Ont can ask: where horses roo could serve as measures of value; new money was minted to meer d1t
did rhe money econom\ originate;, From whom was rhe use of monev relearned) growing demand-rhar is to say. pieces of precious mera] of a certain weight
This kind of enquiry is nor wirhour value; for ir is difficult ro imagi.ne char ;auged b\ aurhoriries. And probably. wich the growing need for mobile means
msrrumenr should have rerurned to use so relarively quickly had it nor been so ;Jf e:chan.gt. rhe process was repeated on various levels; perhaps exchange by
far developed in orher. preceding or neighbouring civilizarions. or if ir had never barter, \\hen rhe supply of coinage no longer met rhe incrtased demand.
been known
repeatedly gained new ground. Slm\ly rhe increasing differenriarion and inter-
Bur rhe essenrial as peer of the question concerning rhe re\ival of mone\ rraffic weaving of human actions. rhe growing volume of rrade and exchange:. pushed
in rhe \Vest is nor answered in rhis way. The question remains whv Western up rhe \olume of coinage and then rhe reverst took place. In berwtt:n.
society needed relatively little money owr a long stretch of irs develq;menr, and disproportions conrinually arose.
why rhe need and use of money, wirh all rhe consequent transformations of Bv che second half of rhe chirreenrh ctntury. at lease in Flanders. and
sociery. gradually incrtased once more. Here again rhe enquiry musr be direcred earlier or Luer in orher regions. mobile wealth was very considerablt
toward the rhe facrors And rhis qucsrion is nor answt:rtd by Ir circulartd fairly rapidly .. thanks ro a series of insrrumtnrs rhar had bttn
examining the origins of money and the anrecedenrs of rhe moner econornr. It is crtared in rhe meanrime:;- gold coinage minted within tht country rhirhtrro
answered only by examining rhe acrual social processes which. arier rhe ebb evtn in France, as in Abyssinia ro rhe present day [ 19 56}. no gold coinage had
of money traffic in dtclining anriquity. once again broughr forrh rhe new human been mimed: what was in use, and srored in rhe rreasurits. was Byzanrine gold
relationships. the new forms of inregrarion and inrerdependence. which caused coin) rogerher with small money. rhe letter of exclrnnge and measurement-all
rhe need frir money to increase again: rhe cellular srrucrure of socien became these are symbols of how rhe irwisible network of chains of exchange was
more clifforenriared. On, expression of rhis was rhe revirnl in rhe use moner. growing more and more dense.
Thar ir was nor only inrernal expansion but also migrarion and colonizario,n 21 Bur how could exchange relations berween differenr areas. and cliffor-
which-d1rough rhe mobilizarion of properry, rhe awakening of new needs. rhe enriarion of work extending beyond rhe local region bt established. if transport
esrablishmenr of trade relations over longer disrances-played an imporranr pare was inadequare. if sociery was incapable of moving heavy loads over long
111 rhis revirnl is immediarely evidenr. Each individual movemenr in rhe whole Jisrnnces;,
inrerplay of processes reacrs on the ochers. eirher obsrrucring or reinforcing rhem, Examples from che Carolingian period han: already shown how the king had
and rhe web of movemenrs and rensions is from now on considerably compli- travelled with his courr from one imperial palace ro another in order to consume
cared by rhe social diHerenriarion. Single facrors cannor be absoluteh isolared. the products of his es rares on rhe spor. No marrer how small rhis courr may have
Bur wirhom rhe clifforenriarion wirhin sociery irself. wirhour rhe pas;ing of the been in comparison ro chose of che early absolmisr phase. ir was so difticulc ro
225
Tht PmLess

move che quamicies of goods char were needed for ics sustenance char che cities and England, again played a decisive part in the rise of the \Vest.
had ro move ro che goods instead . -pecific character of \Vestern de\elopment is no less determined by che fact
pe
l > the necwork of sea routes was arrached an 111creas111gly
. . k c
Bm in che same period when populacion, che towns, interdependence and dense necwor 01
. . . . .
ics instrumems. were growing more and more percepcibly, transporr too was J connecnons and that ma1or rnland centres of trade were also gradual!;
0 ver1an ' . . . .
developing . c[ The develo1)ment of land transporc bevond the level it had arra111ed 111
devewpe . . . . . . .
In amiquity che harness of horses, as of all other beascs of burden. was little .em world is a 1x1rcicularlv clear dlustrat10n of this growrng d1fferenrnmon
rhe an Cl .
suited to the cransporcacion of heavy loads over long distances. It is open to . 1 imerweavin'' throughout che inland areas of Europe.
and sOcl ,1 "' . . .
quescion what distances and loads it could cope wich, bm clearly this mode of ie use of rhe horse tor haulage was, as has been mennoned, not very highly
T1 . . y
conveyance was sufficiem for che suucrure and needs of chc: inland economv of developed in the Roman world. The harness ran across the d1roac.' This was
antiquity. Throughout the whole of that period land transport remained e;tra. s useful to rhe rider in <'uiding his horse. The thrown-back head, rhe
l P _ o . . . . .
ordinarily expensive. slow and difficult, in comparison ro waterborne transport. . c1 postL1re of rhe horse trequentlv seen m anoent reliefs 1s connected with
prou . .
Virrually all major cemres of trade were situated on the coast or on navigable this mode of harnessing. Bur 1r made the horse or mule fairly unusable for
rivers. And this cemraliwtion of transport about the waterways is very character- i".e parricularlv of heavv loads which necessarilv constrict its throat. The
llJU l '- ' ' "
istic of the structure of the society of antiquity. Here, on the waterways and case similar with the shoeing of the animals. The ancients lacked the nailed
above all on the seacoasts, arose rich and sometimes very densely populated urban iron horseshoe without which the full power of the horse cannot be exploited.
centres whose need for food and luxury articles was often met from very remote Both states of affairs slowly changed from the centh century onwards. In che
parts, and which formed central links in the highly differentiated chains of an same phase when che tempo of forest clearance was gradually increasing. when
extensive exchange traffic In the enormous hinterlands, which by and large were socierv was becoming differentiated and urban markers were being formed, when
open only to overland transport, that is, in by far the largest part of che Roman was coming increasingly into use as a symbol of this interdependence,
Empire. the population mer cheir primary needs direcdy from the produce of land too, in rhe form of devices for the exploitation of animal labour
their immediate environmenc. Here, short exchange chains predominated, in power, made decisive progress. And this improvement, insignificant as it may
other words. what can be roughly called a '"barter economy": very little money appear ro us today, had scarcely less importance at that time than the develop-
circulated. and the purchasing power of this barcer sector of the ancient economy ment of machine technology in a lacer age
111
was too low for che acquisition of luxury arcicles. The comrasc between the small "'In a mighty constructive effort", it has been said, the scope of use of animal
urban sector and the vast inland areas was thus very greaL Like thin nerve labour was slowly extended in the course of rhe eleventh and twelfth centuries
strands the larger urban settlements along the waterways were embedded in the The main load in haulage was transferred from the throat to rhe shoulders. The
rural districts, drawing off their strength and the products of cheir labour until, horseshoe appeared. And in the thirteenth century the modern h;mlage technique
with the decline of the cemralized government. and partly through the active for both horses and oxen was creaced in principle. The foundacion for the overland
struggle of rural elements against the urban rulers, the agrarian secror freed icself rransport of heavy loads over long distances had been laid. In the same period
from the domination of che towns. Then chis mirrow, more differtntiared urban the wheeled cart appeared and the beginnings of metalled roads. \Virh the
seccor, with its ex.tensive interdependencies, fell into decay, to be obliterated by development of rransporc technology, the water-mill rook on an importance it had
a somewhac alrered form of shorr, regionally limited exchange chains and barrtr- lacked in antiquity. It was now profirable rn transport grain ro it over quite long
economy institutions . In rhis dominant urban secror of ancient society, however, disrances, ll That mo was a step on rhe way rn differentiation and interdependence,
there was clearly no need to develop overland rransporr further. Everyching that w the severance of functions from rhe closed sphere of the estate.
ics own country could not supply or only at a high transportation cosc, could be
more easily obrninecl from overseas. VI
But now. in the Carolingian period, the chief waterway of rhe <mcient world,
the Mediterranean, was closed, primarily through Arab expansion, to a large Some New Elements in the Structure of
number of peoples. Overland transport and internal conneccions rook on an Medieval Society as Compared with Antiquity
entirely new significance. This generated a pressure for land rransporr to be
developed to promote interdependence and exchange. And if subsequently. as in 22. The change in conduct and drive-control that we call civilization" is very
antiquity. sea connections such as those between Venice and Byzantium. che closely related to the growing interweaving and interdependence of people. In
rhe ftw examples rhar ir has bttn possible ro givt here. rhis interweaving can be classes, and concomitantly, the clrin: economy of borh classes, develop difftrenrly
seen as ir were in rhe process of btcorning. And even here. ar rhis relarively ear)y . , shve socief\" rhan in one with more or less free labour, but also rhe social
Ill a ' _ _ . _
phase. rhe naturt of tht social fabric in rhe \Vesr is in cerrnin rtspecrs rens1-0 ns- '-me! en:n rhe tunctions ot monev. are nor rhe same. to sav. norhmg of the
from rhar of antiquiry. As rhe cellular srructurt of sociery began once again to rnnorwnce of free labour for rhe developmtm of work-techniques .
1
becomt more differentiared. wharever institurions rhe preceding srage of high fr must be enough here ro comrasr to rhe sptcific processts of \\!esrern
differtnriarion had lefr behind were used in many ways. Bur rhe condirions under 1 1-.,.1r 1"on a brief summan- of rhe different j)rocesses Oj)trnting in a societv wirh
c1v1 ' , ....

which rhis renewed clifferentiarion rook place, and rims rhe nature and direction highly developed slave mark_ers These are no less compelling i_n the l'.1rrer rhan
of rhe difftrentiarion itself. diverged in certain respects from those of rhe earlier in rhe former. In a n!s11111u of present-day research, rhe mecharnsms of a soc1ery
periocL based on slave labour have been summarized as follows:
People have spoken of a "renaissance of trade"' in rhe eleventh or twelfth
slave-labour inrerfercs with the work of production by free-labour Ir inrerferes in
centuries . If this means rhar institutions of anriquiff were now to a certain extent
three ways: it causes the wirhdrawal of a number of men from production to
revived, it is certainly correct. \Vithout the herirage of antiquiry, the problems
supervision and national defence: it diffuses a general sentiment against manual labour
confronting sociery in the course of rhis development could certainly not have and <ll1\" form of concentrared acriviry: and more especially it drives free bbourtrs out
been successfully overcome in rhis \vay. In this respen it was a consrruction on of rhe in which the slaves are engaged Just as, by Gresham"s law. bad coins
earlier foundations. But the driving force of the movement did nor reside in drive om good. so it has been found by experience that. in any given occuparion or
"learning from antiquity Ir lay wirhin rhe sociery irself. in irs own inherent range of occupations. slave-labour drives out free: so rhm it is even diitirnlr ro find
dn1amics, in rhe conditions under which people had ro accommoclare rhemselves recruits for the higher branches of an occupation if it is necessary for them w acquire
ro one anorher. These conditions were no longer rht same as in antiquiry. There skili by sening an apprenticeship side-by-side wirh slaws in the lower
is a very widespread conceprion thar the \Vest only really regained and then This leads rn grave consequences: for the men driven our of these occupations are nor

surpassed rhe le\tl attained by antiquity in rht Renaissance. Bur whether or not themselves rich enough rn Jin: on the labour of slan:s They then:fore rend to form an
intermediate class of idlers "-ho pick up a living as best they can-the class known to
we art here concerned wirh a surpassing". wirh progress. srrucrural features
modern economists as '"poor whites or '"white trash" and ro students of Roman history
and cltwlopmenrnl rendencits departing from those of amiquiry are visible not
as "clienres- or faex Romuli - Such a class rends to emphasize both the social unresr
only in the Rtnaissanct bur already-at least to a cerrnin exrtnt-in rhe early
cind the military and aggressive character of a slave-srnre
phase of expansion and growrh rhar has been discussed here. A slave society is rherefore a society di,ided sharplv into rhree classes: masters. porn
Two such structural differences will be memioned . \Vesrern sociery lacked the whires and slmes: and rhe middle class is an idle class, liYing on the communir) or on
cheap labour of prisoners-of-war. slaves. Or when thty were available-and they warfare. or on the upper
were nor in fact tntirtly lacking-rhey no longer played anv \"try significant part Bm there is srill another result. The general sentiment againsr producrin: \\ork
in rhe o\c:rall srructurt of socitty.. This gave social developmtm a new direcrion leads to a stare of affairs in which rhe slaYtS rend rn be rhe only producers and the
from tht outser. occupations in \\"hich they engage the only industries of the country In other words.
No less imporrnnt was another circumsrnnce rhat has already been mentioned. the communiry "ill rely for irs wealth upon occupations which rhemsehes admit of no

Restrdemem did nor rnke place as previously about a sea, or as exclusively along change or adaprnrion ro circumsrnnces, and which. unless they supply deficiencies ot
labour by breeding. are in perpernal need of capital. But this capital cannot be found
warerways. but very largely in inland areas by land rransport routes. Borh rhese
elsewhere in the community Jr musr rherefore be sought abroad: and a slave com-
circumstances, often in close interacrion. confronted \Vesrtrn socitry from the
munity will rend. either w engage in c1ggressive warfare, or to become indebted for
start wirh problems rhar ancient sociery had not needed to solve and which
rnpirnl rn neighbours with a free-labour system -:c
guided social development into new parhs. The fact thar slaves played only a
minor role in rhe working of esrnrts may be explained by rhe absenct of large The use of slaves rends to disincline free men from work as an unworthy
slave resef\oirs or by rht sufficiency of rht indigenous popularion of bondsmen occuparion. Alongside rhe non-working upper class of slave-owners a 11011-uorking
for tht needs of rhe warrior class. However rhat may be, the insignificance of slave middle class forms. By rhe use of slaves sociery is bound ro a relatively simple
labour is marched by the absence of rhe typical social patterns of a slave economy. work srructure, embodying techniques that can be operated by slaves and which
And it is only againsr the background of rhese different parterns rhar the special for this reason is relarively inaccessible ro change. improvement or adaptation ro
nature of the \Vesrern structure can be fully apprtciared. Not only do rhe division new siruarions . The reproclucrion of rnpiral is rite! ro the reproduction of slaves,
of labour. d1e interweaving of people, the mutual dependence of upper and lower and rhus directly or indirectly ro rhe success of military campaigns, ro rhe ourput
5utc Formation dlld Ciii!i::.t1tiu11 229
228

of rhe slave reservoirs. and is never calculable ro rhe same degree as in a so ro break rhrough by force All these changes and struggles may well have begun_
. . . . .. cietv osen rhe commurncanons encircling rhe Medirerrane<rn Bur ol
In which H 1s whole people who are bought for rheir liferime bm ro upset an cl lo -
work services ot people who are socially more or less free course rhe oid importance of die Mediterranean as a means of cransporr and
Ir is onlr againsr rhis ba_ckground rhar we can undersrand die importance for nicition as rhe b,1sis and centre of all higher culrural development on
comm u ' ' . .
rht whole devtlopmem ot \'Vesrern socierv. of rhe facr rhar. durinv rhe slOV; . n so11 was more rl1oroughlv desrroved bv the Invasion of rhe Arabs. Ir
b Eurouea '
growd1 of population in rhe Middle Ages, slaves were absent or played only a ' I. chis char finallv ruprnrecl rhe weakened connecring threads The Roman
was on y . . ,
minor part From rhe scan society was rherefore set on a different course than in . e in voocl pan an Arab one. "The bond urnting eastern ana western
b 1111 b . . - .

Roman antiquiry.'' Ir was subjecred ro differem regulariries. The urban revoJu. rhe Bvzantine Empire and rhe German Empires in rhe \'Vest, is
Europe, . _ . . .
rions of che eleventh and rwtlfrh centuries, rhe gradual liberation of rhe workers The consequence of rhe IslamlC Invasion was co place these
suncIered . _
displaced from rhe lancl-d1e burghers-from rhe j}OWtr of rhe feucl1l Empires in circumstances which had never previously existed since rhe beginning_
' lord , IS
a
first expression of this. From this a line of descent leads ro rhe gradual of hisrory" 1 To puc it somewhar differently: ar least In the Inland pans ot
rransformarion of rhe \'Vest inro a sociery where more and more people earn 11 Europe, away from rhe major river valleys and rhe few military roads, no highly
living rhrough occupational worL The very small pan played by slave imports differenriared sociery and therefore no differentiated proclucnon system had so far
and slave labour gives the workers, even as rhe lower srrarnm, considerable social developed.
weight. The funher rhe interdependence of people proceeds and the more, there- Ir is still difficult ro decide whether che Arab invasion alone created the
fore, land and irs produce are drawn wirhin rhe circularion of rrade and money, rhe conditions for a development concencrared inland The filling up of rbe European
more dependent rhe non-working upper srrara, warriors or nobility, become on lands by cribes during rhe great migrarion may also have played its pare. Bur at
rhe working lower <Incl middle srrata and the more rhe larrer g<1in in social power. am rate this temporary conscricrion of che hirherro main cransporr <tneries bad
The rise of bourgeois scrata ro rhe upper strata is an expression of chis parrern. fo a decisive effect on rhe direction taken by rhe development of western and cenrral
exacdy rhe opposite way ro rhar in which, in the ancient slave sociery, urban European society.
freemen were driven away from labour, in \'Vesrern sociery, as a result of the work In rhe Carolingian period a powerful rerrirory was grouped for rhe first rime
of freemen, rhe growing interdependence of all finally drew even members of the around a centre siruared far inland. Society was confronted by rhe cask of
previously non-working upper strata more and more within rhe division of developing inland communications more fully \'Vhen, in rhe course of cencuries.
labour. And even the technical development of rhe \'Vesr, rhe evolucion of money it succeeded in doing so, rhe herirage of antiquiry was in chis respect also ser
ro rhar specific form of "capital" which is characcerisric of rhe \'Vest, presupposes under new conditions The foundation was [aid for formations unknown in
the absence of slave labour and rhe development of free work antiquity. Ir is from this aspecr rhar certain differences between rhe units of
23. The above is a brief skerch of one example of che specifically \'Vestern integration in anriquiry and those which slowly formed in rhe \'Vest are ro be
developments rhar run chrough rhe Middle Ages ro modern rimes undersrood. Scares, nations, or wharever we rnll these entities, were now ro a
Hardly less significant was che fact rhat serclemenr in the Middle Ages did not large extent collections of people grouped around inland centres or capitals and
rake place around a sea . The earlier waves of migrating peoples had, as already connected bv inland arteries
mentioned, given rise ro concentrated trade networks and ro rhe integration of If, rhese \Xlesrern centres nor only colonized rhe coast or
large areas in Europe, only along riverbanks and above all in coastal regions of riverbanks, bur also large inland regions. if indeed large screeches of rhe eanh
the i\Ieclirerranean. This applies ro Greece and above all ro Rome. The Roman were occupied md serried by \'Vescern nations, che preconditions for rhis lay in
dominion slowly spread out around rhe Mediterranean basin and finally enclosed the ernlurion of inland forms of communication, which were nor tied ro slave
iron all sides. "Its ourermosr fromiers on rhe Rhine, che Danube, rhe Euphrates, labour, within rhe mother countries themselves The beginnings of this course of
and the Sahara formed an enormous defensive circle securing rhe coastal development, roo, are ro be found in che Middle Ages.
perimeter. Undoubreclly che sea was for the Roman Empire the basis both of its And if, finally, e,en the inland agrarian secror of society is roday imegrarecl
polirical and its economic unity" 1 ' into rhe complex division of labour and rhe extensive exchange networks as never
The German cribes roo first drove from all sides rowarcls rhe Mediterranean, before rhe oriuins of chis development are likewise ro be sough[ chere. No one
and founded their first empires chroughour rhe areas of che Roman Empire can roclay \'Vesrern society, once St[ on chis course, had ro
surrounding che sea, which rhe Romans had called "mare noscrum" .,; The Franks continue on ir.. A whole consrellacion of levers rhar can nor yer be clearly
did nor get so far; rhey found all the coastal regions already occupied. They cried disentangled. contributed ro mainrnining and srabilizing it on chis course. Bur ir
2)1

is imponanr to reco"nize d1ac chis sociecy encered ac chis ven-- earh- sn"e __ oncli-n" ro cht clitfrring magnicude of land ownership emerged more and
c 'o 0 n a corre> p c- c L - - - - -

pach on which ic has remained up w modern rimes. One can reaclih-. ima<>; arlv And che v1rious rides char earlier bad des1gm1rtd posmons w1d1rn
{D4ne more cle:- . . , - - - - L -

char. \iewing che developmem of chis whole period of human sociecy, the to che ruler. much as CI\"ll sernce grades do wday. wok on a ne\\ and

mec'.iernl and modern periods wgecher. lacer ages will see chem as a single --n,,lv fixed mt1ninu: d1ev were linked rn che name of a panicular house :is
increa:,1 c . ' c _ . _ . . .
unihecl epoch. a greac --Middle Age" And ir is scarcely less imporrnnr w observe "l ression of che size or its esrncts and chus or ics m1lirnn- power The
an e 1 A k.
char die Middle Agts in the narrowtr sense of che word were noc cht scaric dukedoms were descended from rht royal servants once sem rn _represent che mg
period. che "petrified foresc". which chey are ofren rnken w be, bm chat thev jn a rtrn
wn-
.,
rhev. bndu-ilh-
' ' .
became
_
more or less

rnclependent
.
liege
,_
lords
_ __
over
_
chis
.

contained highly dynamic phases and senors moving in precisely rhe direction j; , le c-rritor\"
,--no e . incl
' 1)osstssors
- ot a more or less expensive unenteofted familv-
which rhe modern age cominued. srnges o( expansion. of adrnncing division of '' rn within ic The case is similar wich coums The viscoums were
prope . - _
labour, of social rransformarion and revolmion, of rhe improvemem of the of a man whom a coum had placed as his clelegact cm:r l parc1c.ular
insrrumems of labour . Alongside chese. admicceclly, were sectors and phases in smaller region and who now controlled rhis land as his herecl1rnry possess1,on The
which inscimcions and ideas became more rigid and w a degree "perrified". But seigneurs- or "sires" \\ere descendants of a man whom a counc hact earlkr
even rhis alrernacion of expanding phases and secwrs with others where insra!led as guardian of one of his casdes or mansions, or who may have bu1lc
conservation is more imporcant rhan growth and development, is by no means himself a casde in che small area he had been appointed w superintend." Now
alien to modern rimes, even if the pace of social development and of this rhe e<isrle and land around ic had become che heredirary possession of his family
alcernacion has increased sharply since rhe Middle: Ages. in wrn. Everyone held on w whaE rhey had . They relinquished nmhing rn those
above them And chert was no room for amont from below The land was
VII allocated A sociecy expanding imernally :ind excerm1lly. in which social bener-
menr. rht acquisicion of land or more land \\as nor wo difficulc for a warrior. rhac
On the Sociogenesis of Feudalism .1 socien with reLuivelv Oj)tn posicions or opporruniries. had become within
JS, ' -
a few generations a socieEy in which mosc positions were more or less closed
2-i Processes of social expansion have cheir limics Sooner or lacer they come co 25. Transitions from phases wiEh large possibilicies of social improvement and
a hale. So. mo. rht movement of expansion char btg<in abom che eleventh cemurv expansion ro chose offering diminished sacisfacrion ro these needs, in which che
gradually reached a sranclsrilL Ir became increasingly difficult for rhe relariveh- depri\ed are sealed off and rims more suongly uni red wich those in che
F rnnkish knights w open up ne\v land by forest clearance. Land omside cheir same pr.edicament-processes of chis sort recur frequently in histon-. \Ve are
frontiers was obrainablt, if at all. only by heavy fighting. The colonization of rhe ourselves now in rhe midst of such a cransformaEion, modified by the peculiar
tasctrn I\fedicerranean coastal regions ptrertd om after these first successes . But elascicic\" of indusuial sociery which is able w open up new senors when old ones
che warrior population continuc:d rn increase. The dri\es and impulses of chis art and b\- che differtm levels of development of imerdependem regions.
ruling cbss were less restrained by social dependencies and civilizing processes Bm. rnken as a che siruacion is noc only char each crisis marks a shifr in
chan in subsequent upper classes. The dominance of women by men was still one direction and each boom a shifr in another: rhe overall trend of society points
unimpaired. "On -every page in che chronicles of rhis rime knights, barons and increasinulv clearlv rnwarcls a svscem wich closed opporwnicies
grtac lords are memioned who have eighc. ren. rwelw or even more male Such be from afar bv :1 cerrain despondency of mind. <lC
children ... ,- The so-called "feudal svsrem" char emer<ed more clearh- in the lease among che deprived, by a hardening of social forms. by anempcs w break
twelfth century and was more or le;s established in chirreenth. is. nothing chem from below and. as already memioned, by rhe stronger cohesion of those
other drnn the concluding form of chis movement of expansion in the agrarian occupying che same position in rhe hierarchy
senor of sociecy. In rhe urban secwr chis movement persisted somtwhac longer The particular paccern of rhis process. however, is differem in a barter economy
in a different form. umil ic finally found ics definitive form in the closed guild from rliac in a money society, though no less scricr \Vhar above all stems
system . Ir became increasingly difficulc for all those warriors within society who incomprehensible w rhe lacer observer in che process of feuclalizacion. is the fact
did noc :1lready ha\e a piece of land and possessions to obrnin chem, and for char neicher kinus nor dukes nor <111\' of the ranks below them were able w
families wirh small possessions co enlarge them. Property relations were ossified. prevem cheir becoming owners of che fief BU( precisely rhe
Ir grew more and more difficult w rise in societ\'. And accorclinul\" class uniYersalirY of rhis face shows rhe screngch of che social regubricy at work. \Vt
0
differences becween warriors were hardened. A within che r;obiliry have alreaciy skecched che pressures which broughr aboll( the slow decline of che
The Ciri!izing P10cess Statt Formatio11 mu! Cil'i/i::;atiriil

royal house in a warrior societv. with a barter economv. ' once the crown no lo noer
-eaa nd Pe rformed no services; he merelv allocated land The bondsman was at the
succeeded in expanding. that is. in conquering new lands. Analogous ailner extreme of the pvramid: he controlled no land and merely performed
0
were at work, once the possibility of expansion and the externai threat had ces or-what comes ro the same rhing-1Jaid dues All the degrees between
servt . . . .
d1mm1shed. throughout the warrior society. This is the typical panern of a it first had a double face. Tht\'. had land and prorecnon w distribute. below
t I1en1' _
society built up on land ownership. in which trade did not play a major pan, in rhem and services w perform above chem. But this network ot _dependenoes, the
wh_ich each estate was more or less aurarkic, and in which military alliance for need of chose higher up for services. particularly military, and ot those lower down
defence or arrack was che primary form of integration of large regions. for land or protection. harboured tensions that led ro quire specific shifts . The
Here the warriors lived relatively close together in relatively small tribal units ,.,rocess of feudalization was none ocher than one such compulsive shift in this
Then they slowly spread throughout the whole country Their number grew. of dependencies. At a particular phase everywhere in the \Vest the
with increase and dispersal across a large region the individual lost the protecrion de endence of chose above on services was greater than that of their vassals on
once offered by the tribe. Single families ensconced in their estates and castles This reinforced the centrifugal forces in chis society in which each
:nd often separated by long distances, the individual warriors ruling these piece of land supported its owner. This is the simple structure of those processes
tamilies and a retinue of bondsmen and serfs, were now more isolated than fn the course of which, throughout rhe whole hierarchy of warrior society, the
before. Gradually new relationships were esrablished between the warriors, as a former servants over and again became the independent owners of the land
function of the increased numbers and distance, the greater isolation of tbe entrusted to them, and titles deriving from service became simple designations of
individual and the intrinsic tendencies of land ovmersbip. rank according to size of property and military power.
\Virh the gradual dissolution of the tribal units and the merging of Germanic 26. These shifts and their mechanisms would nor in themselves be difficult ro
warriors with members of the Gallo-Romanic upper class. with rhe dispersion of understand if the later observer did not constantly project his own idea of "law"
warriors over large areas, the individual had no other way of defending himself and "justice" upon the relations between the warriors of feudal society. So
against those socially more powerful. than by placing himself under the compulsive are the habits of chinking of our own society chat the obser\'er
protection of one of them. They in their mm had no way of protecting inrnluntarily asks why the kings, dukes and counts tolerated this usurpation of
themselves against ochers with similarly large estates and military power, other sovereignty over the land which they had originally controlled . \Vhy did they
than with the aid of warriors to whom they gave land or whose land they not assert their "legal rights";
protected in exchange for military services. But we are nor concerned here with what are called "legal questions" in a more
Individual dependencies were established. One warrior entered an alliance complex society. It is a prerequisite for understanding feudal society nor ro
with another under oath. The higher-ranking parmer with the greater area of regard one's own "legal forms" as law in an absolme sense. Legal forms
land-the two go hand in hand-was the "liege lord", the weaker partner the correspond at all rimes w the srrucwre of society. The crysrnllizarion of general
"\assal" The larcer in turn could. if circumstances so required. rake still weaker legal norms set down in \Hiring. an integral pare of propercy relations in
warriors under his protection in exchange for services. The contracting of such industrial society. presupposes a very high degree of social integration and the
individual i1lliances was at first the only form in which people could protecr formation of central instirmions able to give one and the same law universal
themsel\'es from one another. validity throughout the area they control and strong enough to enforce respect
The "feudal system" stands in strange contrast ro the tribal constitution . \Vith for written agreements. The power which backs up legal tides and property
the latter's dissolution new .i;roupings and new forms of integration were neces- claims in modern times is no longer directly visible . In proportion ro the
sarily set up . There was a strong tendency towards individualization. reinforced by individual it is so great. its existence and the threat emanating from it are so self-
the mobility and expansion of society. This was an i11clirid11c1!i:::atir111 rclatin: tu tl;e eYidem, that it is very seldom put w the rest . This is why there is such a strong
tribal 1111it, and in part relative to the family unit roo, just as there would lacer be tendency to regard this law as something self-explanatory, as if it had come down
movements of individualization relative to the feudal unit, the guild unit, the from heaven, an absolme "right" that would exist even without the support of
Status unit, and, again and again, to the family unit. And the feudal oath was this power structure, or if the power structure were different
nothing ocher than the sealing of a protective alliance between individual warriors, The chains mediating between the legal system and the power structure ha\'t
the sacral confirmation of the individual relationship between rhe warrior giving today grown longer, in keeping with the greater complexity of society. And as
land and protection and the other giYing services. In the first stage of rhe the legal system often opm1fi:.r independently of the power structure, though
movement the king stood on one side. As the conqueror he controlled whole never completely so, it ts easy w oYerlook the frict that the law here. as in any
Tl_h_' Ci1ili::i11g Pro(cs.1
235
sociery, was a funcrion and symbol of rhe social strucwre or-whar com_
same thm!;!-rhe balance of social power..,,, es to . _ rurn hO\\ever. much as in feudal societ\.
. '
largeh-
'- .
determined Lw. the size and
producriviry of a rerrirory and the number and work porential of rhe people ir
In feudal societv this was less conceded The d - I
. . . .: ' inter epenc ence ot people
reg10ns was less. There was no stable power srrucrure srrerchin" Yrciss -] hand otn supporr.
". p . . . b ' ' L le W 0 l There is no law governing rht relations between srntes of the kind that is valid
re"' ion. roperr: relar1ons were regulated direct!v iccordn l I t
l I '-- . ' 1 g to r i t c enre - wirhin rhem. There is no all-embracing power apparatus that could back up such
murua c ependence and acrual social power.* b e ot
an inrernarional law . The exisrence of an international law wirhour a corresponcl-
There is in indusrrial society a kind of relarionshij) which c1n in . .
sen - b cl ' a cerra1 ini:: power srrucrnre cannot conceal the fact rhar in rhe long run rhe relarionships
. se e compare ro rhe relationship between rhe warriors or !it"e l , _n
narions art governed soltly by their relarive social power, and rhar any
feudal soc1ery.. and rhrough which rhc parrern of chis relationship can be in
Ir is the relar10n between scares . Here roo l cl . . t. . . ed . shift in rhe latter. any increase in the power of a counrry wid1in rht various
. . . . . .. , t 1e ec1s1\e actor is quire naked!. figunirions of states in different pans of rht world and now-with growing
soc1d 1 j)O\\er, m which military power plays a rt!arivt!y major pan alon"sid h}
i;terdepenclence-wirhin world society as a \Vhole, means an auromaric reduc-
mrerclependenc1es ansing from rhe economic strucrure. This military
tion of rhe social power of other countries
::: :\1:it i,11 :h:. .o.r_.11,:i.;/ /Viu Tht: "social powtr of a person or r.:roup is a com )ltx .,ht:n - - And here roo the tension between the 'haves and have-nors, between those
As ret:ard:; EhL- md1\'1dual it is ne\"t:r exactk idt:nricd with his 1 I I . II - f ornenon. ,vho do and those who do not have enough land or means of production to meet
r ., t l l l . - - ' 1
I\ 1L ua P lVSJCa stren"th m<l
.. t.lt:1r sum ot indi\idual strength. But and skilt' .,, , i ' rheir needs and their sranclarcls, auromarically increases rhe more world-wide
:-iomt: Londiuuns lk an important ck-ment in social >m\ I l + I
"\ +

and tht: plan: uf the indi\iduals in ir. tu whar s ,0;1 r.hL tc'.rlal strucrurt.ot society bourgeois society approaches the srare of a system wirh closed opporruniries
Tht: larri:r \'1 .. i.. . . . . . . . .'l . i.:n,t.t 1 conrn )lites to soual pmver The analogy that exists between rhe relationships among individual lords in
, . . ._ i t::-. m i_r:-. srrucrun: much as dot:s it.'lt:lf In industrial societ\ for .... 1

rn an can ro,tthcr wirh low feudal society and among srnres in the industrial world. is more rhan forruirous.
bt: ph,bt'S Ill lb dt:Yt:lopnit:nt when bodih strcnuEh Hn . k- . . .-- thtr,_ CdJI It has its basis in the clevtlopmental curve of \Vesrern sociery itself In the course
i '!1 . 1 ,. . . ,. . ",:--'-rn t.1 cs on rncrc..ast:d imporranct: fur cVLT\o
!!1LL:rt:c 1c:nr or social powt:r .. ne
of rhis development, with its growing interdependence, relationships of an
In the tt:udal w<:rrior :->uciet_\ l ' j I
Lon:->iccran e pl) sica! .'ltrenL.'th was :m ., [I +I.
f"'O\\'t:r. bur no means its sole dtu:rn11.11111r 5,111 1, . L !Sf ... ns,1) t:.. '. t:ment in socrn!
analogous kind are established. among them legal forms. at first between
' Pin Jnu som l
.f'O\\i.:r ;1 m.:n in it:udal :->ociet_\ was txacrly
rebriwly small territorial units and rhen ar higher and higher levels of magnirude
.tnd the Ltbour rurce he cuncroll 1. H .. I . ! . . c land and integration, even if the transition ro groups of a difftrent order of size does
t;.
1
,.l T - . . ' tt is p l).'l!(, .'ltrcngrh was undoubted!} an important t:lt:mtnt .
11
. 's. it: to it. .f"lI1}(l!lc who w,:s u1ublc to fi..,u:hr like a warrior and commit l J. in represent a certain qualirative change .
Huck and dctence had lf1 rht lung run lin!e chance of owninu anvchinn in th' . . 1!:-. btHJ} to
who once controlled a pitct of hn l . I . . . . c - ::::- b souet} ur anyone
le will be shown later what importance rht process which we have begun to
' t 111 t i1s soutry possessed, as monopolisE of rh.
. , .
imporr.rnr ITii:ans ot production. a <.k,!!ret of social 'OWtr l 1 . ., " ,'. L most
delineate here. i.e. the esrablishment of increasingly large. internally pacified bur
rr.i.nsci.:nd111g hi:-; indi\'idual personal srrenJ.Zrh To .. l 1::t JIS to ::i.l} . ._1lquanr1ty O.I opportunities, externally belligerent units of integration, had for the change the social standard
j .
t klr scr\'Jci:s in lxclunt:c: That hi .. -',1]
' ::ittp._ntt:1ltO!l1r ll:COull1-,\ ..
w <::- ... ,Hit, d mg
rk
. . of conduct and the parrtrn of drin: comrol-for che ciYilizing process
acrualh conrrnlkd ,dso.., !lkinr thi; . equalled tht: SIL:t: and producti\'it; o( the: land lw
1 - , . . ,. ::i soua power wa:-; ;JS p:rL-dt as his hi-., ,1rn1). h1".o The relarions of rhe indi,idual feudal lords ro one another did incited resemble
m 1 1tary power
those of present-day scares. Economic interdependence, exchange. rhe division of
But t:qu:illy. it is olwious from rhi ti_ ' l J
I l Tl. j ..... I . ." l.U.llL- was lt:pt.-nlent on servict:S to maintain and defr.nU his labour between individual estates was, robe sure. incomparably less developed in
ant. ii:-. c tfdll t:llcc.. on rollowers 01 \',irnn{' (ri l . ., 1 . . 1 .
10\\ tr \\?h -n I .. l .. I I : !::" ,:-- ,.c. t:S \\ ,.s .. n imporcrnr dtmc:nt lf1 rhc brrt:rs social the tenth and eleventh cenruries rhan between modern stares, and so the economic
! c t 11s. 11s t cptnt tncc on Sl'f\'!Ct:S ur - .. ! . . . I
dtnnn ! t( r ! l . , . ,. . . t:\ lb :-ioua pmvLr was rnluced: when rht nte<l and
' <.. ) .ml amon" the pr()p"rtd s tl I - cleptnclence between warriors was correspondini;!ly less. All the more clecisiYt in
incri -d Tl . l !::" - .__ c. :-.. 1t: SOCI<t. power ut those lanJ was
. . le SOl!;.l. power ot an indi\ idua! or group can be com1'l"tl1 L , their relationships. therefore, was their military potential, the size of rheir follow-
!1ro1"\ort
. lOil.'l
Tl l
it a )O\'e 1s a simple i.:xamp!t. ... '" - txprc:s.sed onl.v in
ing and the land they controlled Ir can be observed over and over again that in this
To l!l\'tsrig..irt what constitutes "social powtr in mort det1il j .. , l- . . .. . .
understanding social proctssts in rhc past and prtsenr sur. l'. .in 'i
imronance for !t.s society no oath of allegiance or contracr-as is the case between srares roclay-
is norhing bur a cc-rrain form of social . , ) . . . .. - . ! ntt( s surmg. Pol1tJCal f'O\\'tr . mo, could in the long run withstand changes in social powec The fealty of vassals was
ti - I. . . . " I (\\tr. One c.i.n rhtrcrort understand ntither tht bel11\'iour nor
ll c. ot1n1e:-. or p::upk "fOU(Y sc c 1! J ' in the encl regulated \'try exactly by the acrual degree of dependence between the
ret;,1rdlec1s of what tl _;:::. ! . :i . Ji. or s.rnces onL flnds our thtir actu;_d power
ha,wrdousne;; and nn
w . "\ 11 I. I
'.',;.
l
:,,,:';l
1t:cal life. i tstlf would lose some of its
t rt:!.1rmnsh1ps rn and httWtt-n all counrrits
parries, by the interplay of supply and demand berween those giving land and
protecrion in exchange for services on the one hand and those needing them on the
trL I u ) 1c \ an<l \ sed T() t\o!v1: mor - .. , j I
. I .. I . r. :. .. t: t:X,tlt met Wt s ur domg so fLmains ont of the man\. mher. \\/hen expansion. when the conquest or opening up of new land grew more
.souo opica t;isr.::s or rfk tuturt:
difficulr, the grearer opportunities were firsr of all on the side of those who
/ ')7
_ ,
Tht Cil'i/izi11g P/'!Jass Stair Formatiu11 and Ci1ifi::;atio11
236
lar"er scale emerued Thus bena!l, if we rake rhis state of exrreme
re!ldered services and received Lrnd. This is the backgroulld of rhe first of the 0
as rhe poim, a hisrnricd process in rhe course of
which Dow rook place ill this society, the self-eDfornchisemem of the sernms.
. . r larf.(er areas and numbers of people became interdependent and finally
LmcL in this society. was always the .. property .. of the person actually control- wl11ch e' e ' .
ling it. really exercising rights ofpossessio!l and strong enough to defend what he l1t l\. or"anized
ng o
in imegrared
._
unlts.
possessed. For this reason those with land to invest in exch<rnge for services alwavs
In che cemh and elewmh cencuries chis fragmemarion cominues. le seems char no .one
starred off at a disadvantage ro those who received it. The .. liege lord" had tlie
tl l Id on rn a porcion of rule big enough w enable him w exen any dfecuve acuon
.. right .. w the invested land. to be sure. but the rnssal acmallv controlled it Tl1e \\'l 10 '- '-
fiefs. che chances of ruling. and righcs are splic up mo.re and more trom rnp w
only thing making the vassal dependent on the liege lord. once he had the land hcoud1 ouc che whole hierarchv. all auchonn 1s h1adrng cowards dis-
was the larrers prorecrion in the widest sense of rhe word . But protection was no; borcoo1 . ( o . ,
inregrarion . .
always needed . Just as rhe kings of feudal societv were alwavs srron"
1o t!1e1r
Then. in che ele\emh and especially che cweltch cemury. a secs m A
rnssals needed their protection and leadership when threatened by external foes. phenomenon occurs char has been repeaced in hisrnry several rimes in different torms
and above all when rhey had freshly conquered lands to disrribLite. bLit were weak The liege lords who are beccer placed and ha,e che gremesr chances. sequescrace rhe
when their vassals were nor threatened and no new terrirory was expected, so roo feudal movement They gi,e feudal law. char bas begun w become hxed, a new rum
the liege lords of lesser magnimde were weak when rhose ro whom rhey had Tbev fo: ic rn che disad\,rnwge of their vassals. Their effons are favoured by cemun
entrusted hmd did not happen to need their protecrion hisrnrical conneccions and chis reaccion senes in che firsc place rn consolidace

The liege lord at any given levtl could compel one or other of his \assals to ch; sicuacion just reached.
fulfil his obligations, and drive him by force from his hmd. But he could not do
this to all. or even ro many For. as there could be no thought of arming After rhe gradual transition of the w<1rrior sociery from a more mobile_ phase
bondsmen. he Deeded the services of one warrior ro expel another. or he needed with rebrively large opportunities for expansion and social benerment tor rhe
new land ro reward new services. BLit for his conquests he needed new services. individual, rn a phase wirh increasingly closed posirions, in which everyone tried
to retain and consolidare what he had. power once again shifted among the
In this way the western Frankish terrirory disimegrnted in the tenth and
tle\enth centuries imo a multitude of smaller and smaller dominions. Every warriors scattered across the land and tnsconced like n:g!!li (like linle kings) in
baron. every viscount. every seigneur controlled his estate or estates from his their rnstles The few richer and larger lords gained in social power relative to the
castle or castles, like a ruler over his state. The power of the nominal liene lords mam smaller ones.
the more cemral auchorities. was slight. The compelling mechanisms of supp!; Ti1e monopoly mechanism which thus slowly began rn operate will be
and demand, which m<1de the vassal acmally comrolling rhe land generallv less discussed in more derail later. Here we shall refer rn only one of the factors that
dependent on rhe protecrion of his liege lord than the Lurer on his service;. had from now on acrecl more and more decisively in favour of the few grearer warriors
done rheir work. The disimegrarion of properry. rhe passing of land from the at the expense of the many lesser ones: die imporrnnce of slm:ly ptocteding
control of the king ro rhe various gradations of the warrior societv as a whole- commercialization, The nerwork of dependencies, the interplay ot supply of and
and rhis and nothing else is .. feudalization ..-had reached irs limir. Bur demand for land, protection and services in the less differenriated sociery of rhe
the system of socia-l rensions rhar was established with rhis mighty disimegra- tenth and even the elevemh cemury, was simple in its strucmre, Slowly in the
tion. contained at the same time the driving forces of a coumerrhrusr. a new eleventh, and more quickly in the rwelfrh cenrnry. the network grew more
centralization complex. At the present srage of research it is difficult ro determine accurately
the urowrh of trade and monev circularing ar this rime. This alone would
VIII prov:de a possibility of really the changes in social power relations,
Suffice it to sav char the differentiation of work. and the market and money
On the Sociogenesis of Jilfinnesang and Courtly Forms secror of were growing, even though the barter form of economy
conrinued to as ir would for <l long rime; and this growth in trade
of Conduct and money circularion benefited the few rich lords very much more than the
27 Two phases can be disringuished in the process of feudalization: the one of many smail ones. These cominued by and large rn live on rheir estates as rhey
extreme disintegrarion just discussed, and then a phase in which rhis movement had .done up rn now. They co!lsumed directly what their estates produced, and
began ro be reversed and the firsr, srill loose. forms of reimegrarion on a rheir involvement in the network of trade and exchange-relationships was
Th: Pr1JCr.:SS

minimal Tht former, by concrasr, noc only enctred che necwork of trade relations foll firstly ro rht richer feudal lords on account of rhe size of rheir family
chrough che surplus produce of cheir esrares: che growing seccltmtncs of artisans
. . their Lmenfioffecl land . In chis rtspecr rhe bearers of rhe crown were no
P'-oi)ert\,
and cradtrs, rhe W\\ns, generally acrachtd rhemsehes to rhe fortresses and different from rhe orher major feudal lords. The opporruniries rhar rhty all
adminisrrarin: cenrres of rht grtar dominions, and hlJ\n.:ver uncerrain relations deri\ed, rhrough rhtir large holding of land, from rrade and finance, gaw chem
becwten rhe grtac lords and cht communes wichin rheir ccrricory mav scill have a superiority, including milirary superiority, over rhe smaller self-sufficitm
betn, howe\tr much rhty wan:red benn:en misrrusc, hosrilicy, open srruggk and knights, firsr of all wirhin rhe limits of one rtrricory. Here, even wirh rhe poor
peaceful agreemtnr, in the encl chey coo, and rhe clucies flowing from chem uavelling conclirions of rhe rime, access by the central aurhoriry was no longer
srrengrhenecl rhe great lords as compared co che small ones . They offered ,:err clifficulr All rhis convtrgecl ar chis stage of devtlopmenc ro give rht rultrs
upporrunicies of escaping che perpecual cycle of land invescicure in exchange for of ;nedium-sizecl rerricories, smaller than kingdoms or "starts in the lacer sense
senicts, and subsequem appropriacion of rhe land by che rnssal-opporcuniries of chis word, and largtr rhan rhe bulk of rhe knighrly estates, a special social
chac coumeracced che cencrifugal forces Ar rhe courcs of rhe greac lords, by significance"
\irrue of cheir direcc or indirecr imohemtnc in rht rracle network, whether Bur chis is by no means ro say char at char sragt a really srablt governmtncal
chrough raw macerials or in coined or uncoined precious meraL a wealth and adminisrrarive appararus could be established tven within a territory of chis
accumulaced char rht majority of lesser lords lacked. And rhtse opporruniries size. The interdependence of regions and rhe permeation of rht councry by money
were supplemtnrtcl by a growing demand for opporruniries from below, a had nor yer advanced remmely far enough ro permit rhe highest and richest feudal
growing supply of services by rhe less favoured warriors and ochers clri\en from lord of a region to tsrablish a bureaucracy paid exclusi\ely or even primarily in
rht land . The smaller societ\''s possibiliries of expansion btcamt, rht larger grew money, and thus a more srricr ctnrralizarion . A whole series of struggles was
rhe rtserw arm\ from all srrara, including rht upper stratum . Vtry many from net:decL srruggles char were constantly rtkincllecl, before rhe dukes, kings and
this srrarum were well conrenc if rhey could simply find lodging, clothing and coums could assert their social power even wirhin their own rerrirory And
food ar rhe courts of rht great lords through performing some function And if wharen,r rht outcome of rhese battles, rhe vassals, rhe smaller and medium
e\er, by rhe grace of a great lord, rhe:> received a piece of land, a fie:f, chis was a kmghrs, srill retained rhe rights and functions of rule within their esrares; here
special stroke of fortune. The scory of \Valrher von cler Vogtlweide, well known they continued co hold sway like lircle kings. Bur while rhe courts of rht grear
in Germany, is rvpical in chis rtspecr of rhe lives of many men in France as we!L feudal lords became more popularecL while rhtir chambers filled and goods
A,ncL realizing rht underlying social necessities, we can gutss whar humiliations, began co pass in and our, the bulk of rht small knights continued ro lead rheir
vain supplications and disappoinrrnencs may have lain behind \\/alrher's exclama- stlf-sufficienr and ofren very resrricrecl lives. They rook from rhe ptasanrs
tion: "I have my fief! .. wharewr was co be gor our of chem: they fed as besr rhey could a few servams
28. The courts of rhe c:rearer ftudal lords, rhe kings, dukes, counts and higher and their numerous sons and daughters: rhe1 feuded incessantly wirh each ocher:
barons or, w use a mun:: general rtrm, rht rerriwrial lords, rhus arrracred, by and rhe only way in which chest small knights could gee hold of more than the
virrue of rhe growing opporruniries in rhtir chambers, a growing numbtr of produce of their own fields was by plundering rhe fields of orhtrs, abo\t all rht
people Quire analogous processes would rake place again somt ctnruries lacer ar domains of abbeys and monasteries, and rhen gradually, as monty circulation and
a higher level of incegrarion, at rhe courrs of rht absolute princes and kings. Bur so rhe need for money grew, by pillaging towns and convoys of goods, and
by char rime rhe interweaving of social functions, rhe cltwlopment of trade and ran so ming prisoners of war. \var. rapine, armed arrack and plunder consri rured
monev cirnt!arion were so great, char a regular income rhrough raxarion from rhe a regular form of income for the warriors in rht barrtr economy, and moreon:r,
whole dominion and a standing army of peasants and burghers sons wirh noble rhe only one open ro chem . And rhe more wrerchedly rhey lived, rhe more
officers financed by rhe absolute ruler from chest raxes, could corally paralyst rhe deptnclenc rhey were on chis form or income.
centrifugal forces, rhe landed arisrocracy's desire for independence, rhrough rht The slowly increasing commercialization and monetarizarion therefore
whole count!'\'.. Here, in the twelfth century, integration, rhe network of trade favoured rhe few large landowners and feudal lords rarher rhan rhe mass of rhe
and communications, was nor remotely so far dewlopecL In areas rhe size of a small. Bm rht superiority of rhe kings, dukes or counts was nor remotely as great
kingdom ir was srill quirt impossible co oppose rht centrifugal t()[cts con- as lacer, in rht age of absolutism
tinuously Even in rerricorits the size of a duchy or a county ir was still very 29 Analogous shifts, as already mentioned, have often raktn place in rhe
cliffirnlr, usually only afrer hard fighting, to restrain vassals who wished to course of history. The increasing clifferenriarion benn:en the upper middle
wichdraw their land from rht control of a liege lord. The increase in social power srrarum and rhe perry-bourgeois strata is probably most familiar to rhe
The Cizilizi11g Proctss Sta!t Fomh1tion 11ncl Ciri/i:;11tion 241

twentieth-century obsener, Here roo. after a period of free competition with mide, money. the rise and fall of marker prices. all these were alien and often
relatively good possibilities of social improvement and enrichment even for small hostile phenomena from a different world.
and medium property owners. the preponderance within the bourgeoisie is The barter sector of society which, in the .Middle Ages and for long after.
gradually shifring to the disa<l\anrnge of the economically weaker and in favour comprised the great majority of people, was certainly not entirely untouched
of the economically stronger group. Anyone with small or medium-sized even at chis early stage by rhe social and historical movement. But despite all rhe
property. leaving aside a few growth areas. finds it increasingly difficult ro attain upheavals. the pace of real changes in it was. compared w that in ocher srrara,_
major wealth . The direct or indirect dependence of the small and middlt-sized verv small Ir is nor "without history": bur in it, for a very large number of
on the great is growing, and while the opportunities of the former diminish. ne;ple in the Middle Ages and for a smaller number even in recent rimes, the
r .
those of the latter almost automatically increase.. . same living conditions were constantly reproduced Here, urnmerrupredly.
Something similar rook place in the western Frankish knightly society of rhe production and consumption were carried on predominantly in the same place
late eleventh and twelfth centuries . The possibilities for expansion of the agrarian within the framework of rhe same economic unit: the supra-local integration in
sector of society. predominantly a barter economy. were as good as exhausted. other regions of society was traceable only late and indirectly. The division of
The division of labour, the commercial sector of society, was-despite manv labour and work techniques which, in the commercialized sector. advanced more
reverses-still spreading, in the grip of growrlL The bulk of the quickly, here changed only slowly.
landowners profited but little from this expansion. The few great landlords had It was only much later. therefore, that peoples personalities were here
a part in it and profited. In this way a ditterentiation rook place within feudai subjected to the peculiar compulsions. the stricter controls and restraints which
knightly society itself that was nor without consequences for acrirndes and styles arise from rhe money network and the greater division of functions. with its
of life. increasing number of visible and invisible dependencies. Feeling and conduct
undergo far more hesitantly a civilizing process
Feudal society as a whole: [says Luchaire in his incomparable srnd) of society in the age
1 As already scared. in the Middle Ages and long after, the agrarian barter sector
of Philip Augusrus ' ] has. with the exception of an t!ite scarctly altered its habits
of the economy with its low division of labour, its low integration beyond the
and manners since the t!e,enrh cenrun- t\.lmosr everywhere the lord of the manor
rtn1ains a brutal anJ currhroar: he gots tu war, fights at rournan1tnt.s, spends
local level and its high capacity to resist change, contained by far the largest
his peacetime hunting. ruins himstlf with extravagance. oppresses the pe,1sanrs, portion of the population. If we are really w unclerscand the civilizing process \Vt
practises exrnrrion on his neighbours and plunders rhe properry of che church must remain aware of this polyphony of history, the pace of change slow in one
class, more rapid in anorher, and the proportion between them. The knights. the
The suara influenced by the slowly increasing division of labour and monerar- rulers of this large, ponderous, agrarian sector of rhe medieval world, were for the
ization were in flux: the others remained srationan- and were drawn onlv most part scarcely bound in their conduct and passions by money chains . 1v1ost
resistingly and, as it were, passively into the current of: forces of cham;e. It is of them knew only one means of livelihood-thus only orlt direct dependenct-
doubt never quite correct to say that this or that stratum is history. rhe sword. Ir was at most the danger of being physically overpowered, a military
But what can be said is this: the living conditions of the lesser landlords or threat from a visibly superior enemy, that is w say direct. physical, external
knights changed otily very slowly. They played no direct or active part in the compulsion. that could induce them to restraint. Otherwise their affecrs had
exchange network, the money tlow. the quicker movement that passed with it rather free and unfettered play in all the terrors and joys of life . Their time-and
through society. And when they felt the shocks and convulsions of these social rime, like money. is a function of social interdependence-was only very slightly
movements. it was practically always in a form detrimental to them. All these subject ro the continuous division and regulation imposed by dependence on
things were disruptions which the landlords like the peasants usually failed ro others. The same applies to their drives. These were wild, cruel. prone to violent
understand and often detested, until they were actually driven by them more or outbreaks and abandoned to the joy of the moment . People could be like this.
less violently from their autarkic base into the suara with a faster currenL They There was little in the situations in which people found themselves ro compel
are what their land, their stables and the work of their bondsmen yielded. In this them ro impose restraint upon themselves . Lierle in their conditioning forced
nothing had changed. If supplies were short or more was wanted, thev were them to develop what might be called a strict and stable super-ego, as a function
rnken by force, through pillage and plunder. This was a simple. clearly .visible of dependence and compulsions stemming from ochers transformed into self-
and independent existence: here the knights. and very much later the peasants restraints
mo. were and remained in a certain sense always the lords of their land . Taxes, To\vards the end of the Middle Ages. w be sure. a rather larger number of
) 7
--L Th, Cin"li::i11g PmCl:i.r Stc1h Forwatio11 ,md Ciri!i:t1!io11 243

knights had been drawn within the sphere of influence of the grtar foudal courrs. , bflc woven of trade relations and the division of labour. En:n here, no one
ra
The examples from the lift of a knid1r gi\en earlier in connection with <1 -,er!CS
L L '
(Oll Id qL11.te resist beinl! drawn into the current of circulating money. Primarilv
C L , '_

of pictures (cf pagt l '.2ff.J come from this circle. But rhe bulk of rhe knights -es. bur also the nted ro buv certain things
rax ,__ one could not produce oneself,
still liYed at this stage in much the same way as they had in the ninth or tenth forced people in this direction, But the pernliarly opaque nature of the control
century. Indeed. a gradually dwindling number of lords of the manor continued 1.111 d. r'-oi""sr
'- b''ht ' the restraint of inclination bevond
.
what is rec1uired bv. necessary.
ta lead a similar life long after the Middle Ages. And if we can believe a poetess physical work, that any involvement in money chains on people, in these
George Sand-and she expressly confirms the hisrnrical authenticity of \\hat sh; enclaves remained a detesced and uncomprehended kmd of compulsion.
says-there were still a ftw people leading these untamed feudal lives in This quotation refers ro masters and peasants at the end of the eighteenth
pr0\inci'.1l corners of France right up ro the French ReYolurion. by now doubly cenmry. It serYes rn illustrate once more the slow pace of change in rhis secrnr of
savage, teartul and cruel as a result of their outsider situation. She describes life society. and something of the attitudes of people within it
in one of these last castles. that had by now taken on the characrer of robbers' _)(L From the broad landscape of the barter economy with its innumerable
caves less because they had changed than because society around them had done castles and its many greater and smaller dominions, therefore, there slowly
so. in her short story "Mauprat" emerged in France during the eleventh, and more clearly during the twelfth
.\fy grandfather (says tht hero of rhe srnry] was from then on. with his eighe sons, rhe century, two new kinds of social organ, two new forms of settlement or
last debris our prmince had consern:d of that race of peen feudal tyrants h) which inregration, that marked an increase in the division of labour and in the
France had been covered and infested for so mam centuries Civilizacion. "hich was interdependence of people: the courts of the greater ftudal lords, and rhe rowns,
striding rapidly rnwards ehe grear renilmionary uphec1rnls. was increasingly scamping These rwo institmions are very closely connected in their sociogenesis, however
our these exactions <li1d this organized brigandage. The lighe of education. a kind of mistrustful and hostile their members may often have been rowards one anorher.
good caste which was the distant reflection of a gallant coure. and perhaps a This should not be misundersrnod. It is nor as if the undifferentiated secrnr of
prestmimem of a close and terrible awakening of rhe ptople. penttrarecl rhe castles and the barter economy were confronted at one stroke with more differentiated forms
eYen the semi-rustic manors of rhe clown-at-heel gentry
of settlement in which rather larger numbers of people could be supported
\Vt would nttc! to quote whole secrions of this description ro show how modes directly or indirectly on rhe basis of exchange and the division of labour.
of conduct thac in the ttnth. eleventh and twelfth centuries wert characteristic of Infinitdy slowly new. economically autonomous Stations \Vere built into the path
the major part of tht upptr stratum, were scill to be found among isolated of goods from the natural start to consumption. And so. step by step, rnwns and
outsiders thanks rn their similar conditions of life. Still present among thtm was larger feudal courts grew om of the form of economic acrivity that survived on
the lO\\" degree of regular drive-control Still lacking was the transformation of the small estates. In rhe rwelfrh century and long afrer it neither rhe urban
elementary urges into the many kinds of refined pleasure known w societv setdements nor the great feudal courrs were remotely as divided from rhe barter
around thtm There was mistrusc cowards womtn-who were essentially objec;s economy as rhe cities of cht nineteenth century were from the so-called open
of sensual sar,isfaction--c!elight in plundering and rapt. desire rn acknowledge no country. On the contrary, urban and rural production were still intimately
master. senility among the ptasants on whom they lived, and behind all this the connected . The few great feudal courts were, to be sure, attached rn the trade
impalpable that could not be met with weapons or physical \ iolence: network and the market through their surplus produce, through the duties
debt. the cramped. impoverished mode of lift contrasting sharply \vith their flowing inrn them, and also through an increased demand for luxury goods; but
large aspirations. and mistrust of money \\hether in the hands of the masters or the major part of their everyday needs was still met directly by the produce of
the peasants: their own domains . In this sense they rno still operared a predominantly barter
economy. Admittedly. the very size of their domains brought abom a differ-
J\Iauprar did nor ask for money. J\Iom:cary values art what rhe peasant uf these lands emiation of operations within them. Much as in antiquity the great slave estates
obcains with greatest difficulty and pares wirh most reluccantl\" ",\lo1Jn i.i d"'r . is one
worked in part for the market and in part for the direct needs of the ruling
of his proverbs. because money represems ti:ir him something physical \\ork.
household and in this sense still represented a more differentiated kind of non-
ft i.f :! (()!/llJhFCc ll ith ,nu/ jJr.J1jJ/i 0111.rid.' c!ll of 111 :r
market economy, so rno did these grtat feudal estates, This may apply rn some
11ur.ku d .<lir! 1,( i111c!!unul which jolts him om of his apathetic babies. in a ,,ore!
of menral efforc: and w him this is rhe most painful and clisrnrbing rhing of all
extent rn rhe simpler work carried our within them, but it applied above all to
the organization of the estate. The domain of the great feudal lord hardly ever
Here we still find enclaws of a predominantly barter economy within a large formed a single. powerful complex on a self-contained piece of land . The esrares
The Cil'ilizi11g Process 245

had often been acquired very gradually by very different means, conquests . ,itin and enrerrainmem so rhar rbe rnne of poeuv was also refined. The
1' . 1

inherirance, l.':ifr or marriage. Thn, were usuallv scarrered in different re"ions 'd J ar "rhe hi<,her rbe lord and !adv, rhe higher and berrer the bard" was
b or i ea r 1 "' __ ,
a rerrirory and were rherefore nor as easy ro supervise as a small propeny. A , entl\' urcered ar rhe rime.)) Ir \Vas taken for gramed. Frequemlv, nm one
trequ ,
cemral apparatus was needed, people ro suptrimend incoming and omgoing ,,en! sin"ers
U( SC, ' b
lived ar rhe grt<lr feudd courrs "The higher rhe personal
b L. L

goods. rn keep accoums. however primirive they might at firsr be. people who qualicies and rank of a rbe more brilliant her courr, rhe more poers she
both checked the income from duties and adminisrered rhe rerrirnries. "The ['JC l1e re
d in her strv!Ce
'<' Marchmvc
rbe power srruggle berween rbe great feudal
small feudal estate was from an imellecrual point of view a rudimentary organ, lords was a consrnnt srruggle for presrige. The poer, like rbe l:isrorian, was one
parricularly when rhe master could neither write nor read." 5c The courrs of rhe of irs insrrumems Thus a 1\Ii1111esd11gtrs change of service from one lord ro
great and rich feudal lords firsr artracred a staff of educated clerics for anorher could ofren mean a complere change in rhe polirical conviccions he
adminisrrarive purposes. Bur rhrough rhe opporruniries opening rn rhem at this expressed 1- Ir has been rightly said of rhe i\Ii1111cS:111g: "In meaning and purpose
rime rhe grear feudal lords were, as we have mentioned, rhe richesr and most ir w<lS a polirical panegyric in rhe form of a personal
powerful men in rheir region, and wirh rhe possibiliry grew rhe desire ro express :q Rerrospecrively, i\Ii1111w111g can easily appear an expression of knighdy
rhis posirion by rhe splendour of rheir courrs. They were nor only richer rhan rhe so;iery in general. This imerprernrion bas been reinforced by rbe facr rhar, wirb
()[her knighrs bur also, ar firsr, richer than any burgher For rhis reason rhe great rhe decline of knightly funcrions and the growing subservience of rbe noble
feudal courrs had far more culmral significance rhan rhe towns at rhis rime. In upper class with rbe rise of absolutism, rbe image of free, unfercerecl knightly
rhe com per it ion berween rhe rerrirorial rulers, rhey became rhe places ro show off socien rnok on a nosralgic aura. Bur ir is difficulr rn conceive rbar 1\Ii111mcmg,
rhe power and \vealrh of rheir lords. The larrer therefore gathered scribes around especi.ally in irs more delicate mnes-and ir was nm always delicate-sprang
them nor only for adminisuati\e purposes bm also to chronicle their deeds and from rhe same life as rhe coarse and unbridled behaviour rbar \V<lS proper ro
desrinies. They were bountiful towards minstrels who sang rhe praises of rhe buik of knighrs. Ir has already been srressecl rhar /lli11msm1g was actually
rhemselves and their ladies . The great courts became "potential cemres of lirerary "very conrradicrnry w rhe knigbdy memaliry".;" The whole landscape, wirh
1 irs incipient differemiarion, musr be kept in view if rhis conuaclicrion is ro be
patronage" and "poremial cemres of hisroriography" 1 As yet rhere was no book
marker. And within the framework of secular society, for anyone who had resolved and rhe human arcirucle expressed in rroubadour poeuy uncler-
specialized in writing and composing and had ro live by ir, whether or nor he swod.
were a cleric, courr patronage was rhe only means of livelihood.'' There are rhree forms of knightly exisrence which, with many inrermediare
Here, as always in hismry, higher and more refined forms of poetry developed srages, begin ro be disringuishable in rhe eleventh and rwelfrh centuries. There
from simpler ones in conjunction with a differemiarion of socierv, with rhe were rhe smaller knighrs, rulers over one or more nor very large esrares; there
formation of richer and more refined social circles. The poet does work as a were rhe grear, rich knights. rhe rerriwrial rulers, few in number compared m
wholly self-sufficiem individual writing for an anonymous public of which he rhe former. and finally the knighrs wirhom land or wirh very lirde, who placed
knows at rhe most a few represenrarives. He creares and \vrires for people he rhemselves in rhe service of grearer ones . Ir w<ts mainly, rhough nor exclusively,
knows chrough daily conracr. And rhe convivial icy, rhe forms of relarionship and from rhis last group rhar rhe knightly, noble 1'Ii1111esl:i11ger came. Singing and
behaviour, che armclsphere of his social circle as well as his place wirhin ir, find composing in rhe service of a grear lord and a noble lady was one of rhe ways
expression in his words, open w those driven from rhe land, wherher from rhe upper class or from rhe
Players rravellecl from castle w castle. Some were singers, many were merely urban-rural lower class. Former members of borh groups were ro be found as
clowns and fools in rhe simplesr sense of rhe word. And as such rhey were ro be rroubadours ar rhe grear feudal courts And even though a grear feudal lord may
found rno in the casdes of che simpler and smaller knighrs . Bur rhey visiced occasionally have involved himself in singing and composing, neverrheless
rhem only in passing; rhere was no room here, no interesr and ofren no means to poetry and service were scamped by rhe dependem srnms of their
feed and pay a player for any lengrh of rime. These were only available ar rhe few pracririoners within a rich social life rhar was slowly raking on more definire
larger courrs And by "players" we musr understand a whole range of funcrions forms. The human relarionships and compulsions esrablished here were nor as
from rhe simple jesrer and fool w rhe J1Ii1111esti11gtr and rroubadour The funcrion srricr and continuous, nor as inescapable, as rhey later became ar rhe larger
was clifferemiared wirh rhe public. The grearesr, richesr-which is m sav rhe absolmisr courrs which were far more thoroughly formed by money relarion-
highesr-ranking-lorcls were able rn arcracr rhe besr performers to rheir ships. Bur rhey already <!creel in rhe clirecrion of stricrer drive-comroL \'V'irhin
More people were garhered rhere; rhere was a possibiliry of more refined rhe resrricred courr circle, and encouraged above all by rhe presence of rhe lady,
246 The

her.'>i Bm often enough \\e hear of che ocher side. of a warrior, whether a
more peaceful forms of conducr became obligarnry.. Cerrainly, chis should nor be !lf0 Ul1d c
king or a simple seigneur, bearing his wife. Ir seems w have been almost an
exaggeracecl; pacificacion WlS noc nearly so far adYanced as Luer when
absolure monarch could even prohibit duelling The sword scill hull''
L C
loose!"
h
and- cs ["bit.shed habit for the kni!!ht, th-inc: into a rage:, to 1)unch his wife on rhe nose
_._ '--' '-- L

war and teud were close ac hand. Buc che moderation of pc1ssions. sublimacion, is rill blood flowed:
"The king hears chis and anger rises imo his face: raising his fisr he strikes her
unmistakable and ine\irnble in feudal courc sociec\'.
. Boch che knighth
, and ti1t
on rhe nose so hard char he draws four drops of blood. And rhe lady says: 'l\fosr
bourgeois singers were socially dependent; and cheir subordinate scams forms the
humble d1<mks \Vhtn it shall please you, you may do ic again . ..
basis of chtir song, their accirudes and their affeccive and emocional mould. 12
one could quote ocher scenes of the same kind", says Luchaire . ' "Always che
If the court singer wished to secure respect and ret;ard for his arc ,1nd his person, he blow on rht nose with che fisL .. l\Ioreuvc:r a knighr W!S often censured for raking
could only raise himself ptrmanenrly abovt rht mntlling pla)tr by bting raktn into advice from his wife.
rht stnice of a prince or prinu:ss. i\linnesongs ctddressed w a disrant misrress ,,horn he "Lady, go into rhe shade." che knighr says for example, '"<me! ear and drink
hcts nor yer visired. had no other purpose rhan ro express rt:adiness and desirt ro serve wirh your retinue in your paimed and guilded chambers, busy yourself hanging
ar_ rht courr of rht addn:ssee. Thar was and remctins by rhe narnre of rhings rhe real goal silk: that is your job. Mine is to scrike with cht sword of sreeL"
ot all who had ro gain rhtir livelihood from rheir arr. for mtn of low ori!:'in a:, for
younger, non-inheriring sons of noblt l10usts The conclusion mighr be drawn [w quore Luchain: again] char e\en in rht epoch of
In \'Valrher von cler Vogeh,eide's conditions of service \n: rnn, as has been clearh- Philip i\u.::usrus tht courd:, courttous attitude- towards \\'Of11en was only exceptionally
demonsrrared by Konr,td Burdach, observe a typical example of rhe lift of ;1 found in feudal circles. In the great majoriry of domains rhe okL less respecrfuL brurnl
,\[i1111c.r:i11gcr King Philip had raken \\?alrher w himseW: chis was rhe usual expression re!ldenq sril! prevailed. rransmirred ctnd. perhaps. exagt:trared in rhe majority of rhe
for entry ro minisrerial service. Ir was a service wirhour payment or securin or renure 'chansons de gesre" One should nor bt misled b\ rhe low rhtories of rhe
lasring from four monrhs rn a year \Vhen chis rime tlapsed he could seek a new masrer Troubadours and a ft,,. Troud:res .. from Flanders and rhe Champagne: rhe fed in gs
wirh rhe permission of rhe old. \Vctlrher recein:d no iitf from Philip, nor from Dierrich rhey tXl'ressed were. we believe, chose of an el ire. a Ytry small minority
of i\feisstn, nor from Ono IV or Hermann of Thuringia. rn whose household he once
belonged . Likewise his servict ro Bishop \Vol(tutr of Ellenbrechrskirchen was brief. The differenti<Hion between che bulk of smaller and medium knighdy courts
Then. tinallv. Fritdrich IL a connoisst:ur of arr and a poer himself. granrc:d him a salary and the few large ones more closely attached ro rhe slowly developing network
char secured him a li,ing A lief of land or office lonh lacer of moner) was, in rhe b,mt.r of crade and money, brought with it, as can be seen, a differentiation of behaviour
economy of rhe feudal age. rhe highesr honour for s.errices and rhe ultimate wo. No doubt chis behaviour was nor in such stark contrast as ic may firsc appear
goal. Seldom was ir granted rn court singers eirher in France or Germany The\ usually from these reconsrruccions. Here, roo, chert nuy baYe been cransirional forms
had ro be content rn serve as court pot:rs enterrainine socien and receivinLC board and
and murual influences. Bm by and large it can be said char a more peaceable
lodging in exchange-. as <.l srecial honour ._ rht:. Jrc:ss ntcdc-J t()r court
service, <-ti
social lift formed about che lady of rhe court only in chest ftw large courts Only
here did che singers have a chance of finding senice of any length, and only he:re
was established char peculiar attitude of che sening man cowards rhe lady of rhe
32 The jJarricular srrucruring of attects expressed in che is
inseparable from rhe social position of rhe i\Um1csd11g1:r The knights of che nimh coun rhar finds irs expression in 1\Ii1111ts{n1g .
The difference becween rhe attitude and feelings expressed in i\Ii1111tst111g and
and tenth centuries, and the majority of knights eYen lacer, did nor behave
rhe more brutal ones prernlenr in che chcm1011s c/, gtsi<:, for which hisrory provides
particularly delicately rnwards their own wi\es, or with women of lower rank in
ample documenracion, derives, in ocher words, from cwo different kinds of
general. The women in che castles were always directly exposed co rhe cough
relation benveen man and woman, corresponding ro rwo different classes in
,1dvances of che stronger man. They could defend rhemstlves bv ruse, bm here
ftudal society.. These rwo modes of conduct cherefore <lfOSt wich che shift in the
the m<lll ruled. And relations between the sexes were as 111 every
crnrre of gravity of society already discussed. In a society of landed nobility
warrior society with more or less pronounced male rule. b; force. and often
dispersed fairly loosely across the counuy in their castles and esraces, the
open or veiled struggles, due e,1ch waged \vich his own
likelihood of a preponderance of che man over rhe woman and rhus of a more or
\Ve hear from rime ro rime of women who by cemperamenr and inclination
less unconcealed male dominance, is very great.. And wherever a warrior class or
differed little from men. The lady of the castle is in chis case a "virago" with a
a class of landed gentry has scrongly influenced rhe overall behaviour of sociecy,
violent cemper, lively passions, subjected from her \ouch ro all manner of
rraces of male dominance, forms of purely male social life with its specific
physical exercise. and caking part in all the pleasures clangers of cht knights
2-48 The Cirilizi11g Process Sta!/: For111atio11 mu/ 2-49

erocicism_ and a cerrain eclipse of women, are ro be found more or less clearly in . I absolutist courts For the master of the courc, his function as knight and
ics crad1c1on. . . . . .
. . . ie1der was snll rhe pnman- one: l11s educar10n too was that of a warnor
f!Jl 1tt:ll} ' . . . . . .
Relacionships of chis kind predominaced in medieval warrior sociecv. Ch upon the w1eldm" of arms. For JUSt this reason the women surpassed him
. acac- cenrre d . b . . . . . , .
ceriscic chem is a kind of mis cruse between the sexes, reflecring the in the sphere of peacdul society As so m the ot_ the \Vest it was nor
greac d1fterence m the torm and scope of che lives they each lead, and the ' 1r women of high class \vho were first liberated tor mrellecrual develop-
m ...
spmtual escrangemen_c which _arises as a result. As in lacer rimes-as long as went, for reading. The wealth of the great courts gave the woman the poss1bil!ty
women are excluded from professional life-che men of che .Middle Ages, when of filling her leisure rime and pursuing such luxury interests. She could
women were generall_y exduded from che central sphere of male lifr, military singers and learned clerics . And so it was about women rhar tht first
poets, . . . . .. . . . .
acr10n, spent most of rhe1r nme among themselves. And their superiority was
c1rc e of pe-iceful
I s ' mrellecrnal acr1v1rv- were established. In anstocranc. CJrcles m
marched by a more or less explicic contempc of man for woman: '"Go to your the rwelfrh century the education of women was on average more refined than
ornamented chambers, lady, our business is war.. That is entirely cypicaL The chat of men." 6- This certainly refers only to the man of the same srarns, the
woman belonged in her own special room. And chis accitude, like che social basis husband The wife's relationship to him was not yet very different from _that
which produced ir, persisted for a very long rime. Irs craces are ro be found in customary in warrior society. Ir was more moderate and somewhat more refined
French literature as late as the sixteenth century, for precisely as long as the th'm in rhe case of che small knights; bur the compulsion the man placed on
upper class was primarily a military and landed aristocracy.I'' Then this attitude himself, as compared with that he placed on his own wife, was in general not
disappeared from literature-which by now in France was almost exclusively "rear. Here too the man was quire unmistakably the ruler.
controlled and modelied by courtly people-but certainly nor from che life of the " 33. It is nor this relationship of husband to wite that underlies troubadour
landed nobility itself.
poetry and 1\li11nesm1g, but the relationship of a socially inferior man to a high-
The great absolutist courts were the places in European history in which the ;anking woman . And it was only in these courts rich and powerful enough to
most complece equality between che spheres of life of men and women, and also of generate such relacionships that 1\Ii111ma11g was to be found. Bur compared to the
their behaviour, had so far been achieved. It would rake us too far afield here ro knighthood as a whole they represented a narrow stratum, an "elite".
show why e\en the great feudal courts of rhe twelfth century. and incomparably The connection between che srrucrure of relationships in society at large and
more so the absolutist courts, offered women special opportunities to overcome the personality structure of people emerges very clearly here . In the greater pan
male dominance and anain equal status with men. It has been pointed our, for of feudal socierv, where the man ruled and the dependence of women was
example, that in southern France women could at an early stage become liege unconcealed and almost unrestricted, nothing compelled the man to constrain
ladies, own property and play a political role; and it has been surmised rhar this his drives and to impose control on them . There was little talk of "love" in this
fact favoured the development of Mi1111es(/11g 1'0 Burro qualif} this it has also been warrior society. And one has the impression that a man in love would have
emphasized that ""rhe succession to che throne by daughters was only possible if appeared ridiculous among these warriors . \Vomen were generally regarded by
the male relations, che liege lord and rhe neighbours did nor prevent rhe !adv these men as inferior beings. There were enough of them available. They served
from raking up her inheritance"''" In fact even in the narrow stratum of gre;r to gratify drives in their simplest form.. \Vomen are given to man "for his
feudal lords, the superiority of man over woman resulting from his warrior necessirv and delectation". So it was once expressed at a later rime; bur this is
function is always perceptible. \Virhin the great feudal courts, however. the exacdy .in keeping with the behaviour of warriors earlier. \Vhat they sought of
military function of the men receded ro some extent. Here, for rhe first rime in women was physical pleasure; apart from this. there is scarcely a man with the
secular society, a large number of people, including men, lived together in patience ro endure his wife"f. 8
constant close contact in a hierarchical structure, under the eyes of rhe central The pressures on rhe libidinal life of women throughout \Vesrern history, with
person, the territorial lord. This fact alone enforced a certain restraint on all rhe exception of the great absolutist courts, have been considerably heavier than
dependents An abundance of unwarlike administrative and clerical work had to on men of equal birth. The fact that women in high positions in this warrior
be done. All this created a somewhat more peaceful atmosphere. As happens society, and thus with a certain degree of freedom, always found it easier to
wherever men are forced ro renounce physical violence, rhe social importance of control, refine and fruitfully transform their affects than did the men of equal
women increased. \Virhin the great feudal courts a common sphere of lite and a status, may reflect habituation and early conditioning in this direction. Even in
common social life for men and women were established . relation to the man of ourwardly equal social starus, she was a dependent, socially
To be sure. male dominance was by no means broken as it sometimes was later inferior being
5t:1fr For//!atio11 ,md Ciz-ili::.atio11 251
250 The Cil'ili:i11g Prr1ass
The lirerary sources and precursors of ,\!i111mc111g ha\'e often been
Accordingly ir was only rhe relarion of a socialh inttrior and dependenr
. . ,-ti'''irecl. Irs relationship with religious poetry addressed ro rhe Virgin and
a woman of higher rank rhar led w rht restraint. ;enunciarion and rhe con man to
. D . . . . . sequenr 10'"' Litin lyric of rhe \Vandering Scholars has, probably correctly, been
rr,rns ormar10n ot dnYes. Ir 1s no accident rhar in rhis human siruarion wh -(l

call "lyric
. poetry"
. evohed as a social and nor mertlv. as an individLnl . We
, evenr-* oinrecl our . . .
p -[jUt t'ict
en1tr"ence
o and essence
ot , Glnnor be understood onh"
.... Il1
as _a soci<il e\em-:-rhar of pleasure. char shade
f literary anrecedenrs These earlier forms conrained many cl1Herenr
teelrng, rhar subl1mar10n and refinement ot rhe affects rhar we Gll! "love ca . . .
. b" - b1 ries of devtlo1)mtnr \Vl1\" did rht manner rn wh1Ch people sought ro
rnro pOSSI I 1
. emg. Nor as exceptions bur in. a sociallv. insrirurionalized form , con . . . .
. rhemselves chanue' To pur rhe quesr1on quirt srn1plv: wlw did nor rhe
berneen express o _ . . , : _ _
. man. and woman arose which made ir impossible even for rhe srrong
- r"orms of rtli"ious and secular lync remam soc1tr\" s predommant forms ot
man s_irnp 1: ro rake the woman when he ple<1ses: which made rhe woman ear l1cr - 0 .
. s'ion' \'li/h\' were formal and emotional elements raken from rhem and
unarramable or only wirh difficulry: and perhaps. because she was ex pres . . _
r 1 onec! into somerhin" new' \Vlw did chis new genre cake on 1usr char form
higher placed and d1tficulr ro arrain, particularly desirable. This was rhe siruarion tilS 11 e> - '-
which we know as i\Iim1e.w11g' Hisrory has irs conrinuiry: winingly or not. chose
rh1s rhe emorional _setting of i\Ii11mst111g, in which henceforrh down rhe
n,, hrer srarr wirh what already exists and develop it further. Bur what are
lovers have recogrnzed something of rheir own feelings. com1,"' ' .
che dynamics of rhis movement, the shaping forces of historical change' Thar is
No. doubr a large n_u_mber of songs by troubadours and 111immtinger are
rhe q.uesrion here. The invesrigacion of sources and antecedents is doubtless of
essenr1ally ot feudal courdy conventions, ornaments of social life and
impomince for underscanding 1\Iin11tSdllg, but wirhour sociogentEic and psycho-
a mere parr ot rhe social_ game . There may have been many rroubadours whose
o-enecic srudy irs origins. irs feudal connections, remain obscure 1\l1m1esc111g as a
rnner relat1onsh1p ro rhe1r lady was nor quirt so consuming. and who indemnify
;upra-individual event, as a social function in relation co feudal society as a
rhemselves w1d1 ocher, more attainable women. Bur neirher rhis convenrion
whole, cannot be undersrood, any more rhan irs specific form <md rypical conrtnr.
1rs expression could have arisen had genuine experiences and feelings of rhis kind
unless one is aware of rhe actual situation and relationship of rhe people who
been absent. They have a core of authentic feeling and real experience Such rones
expressed rhemstlves in ir, and the genesis of rhis situarion. This special question
cannot be simply rhoughr our or invented. Some loved. and some had the
demands more space than is avaih1blt here. where rht main inreresr concerns
strength and greatness ro express their love in words; ir is nor even difficult to
movements and connecrions on a larger srnlt If <l more precise line of enquiry for
say in which poems feelini; and experience are genuine and in which rhev are
analysing a specific insrirurion such as !\Ii1111dc!ilg within chis conrexr h<1s now
more or less conventional. Some must firsr have found words and rones for .their
been indicated, and some of rht main outlines of irs socio- and psychogeneric
in order rhar orhers might play wirh chem and give rise co a convenrion.
conclirions sketched, rhat is all char is necessary for rhe purposes of rhis scudy.
The good poets. undoubtedly, haw mixed their own truth into even rhese
35. Great historical changes have a srricr regularity of their own It often
poems of infaruarion From the fullness of rheir lives flowed rhe substance of
appears from present-clay srndies as if particular social form<Hions whose hisrory
thtir songs.
consriruces hiscory as such, follow each ocher at random like the cloud-shapes in
0

rhe mind of Peer Gynr: now they look like a horse. now like a bear, now society
=:= the German ttxt I am speaking here of social and indi\iJu,d :\c rht cimt: of writing looks Romanesque or Gochie, and now Baroque.
dl!S book nw awartness 1,f the ambiguities inherent in the term "'phenomenon , tspeci,dl) of its \Vhat has been shown here ,1rt a few basic inrerdependtnt rrends rhar led ro
unJerrnrn:s. nor yet sufticiendy sharpt:ntd ro avoid its use. In rht: Ent.dish rr.rnslarion,
the shaping of society in the form of the "feudal sysrem". and finally co the kind
it rn replace it by expn:ssions such as e\ents . darn . ere. Ir is. or course.
hibhly tor rht intlutnct which phenomtnalisric rypts of philosophy have had nor univ on
of relationship expressed in 1\li11111:s1111g. One of these rrends is the more rapid
academic bur also on non-academic linguistic us.i..g.ts char rhe term phenomenon has become. rhe growth of population after the migration of peoples, closely connected with rhe
:nost common unspecific expression for darn or events of <-di sorts. Ont ma\ nor bt aware of it that consolidation of property relationships, the formation of a human surplus, among
It is by the solipsistic <loubt as to \\"htther such darn rt.:dly exist. events occur. One rhe nobility as in rhe class of bondsmen or serfs, and the pressure on these
easily overlook that tht ttrm "phenomenon carries with it the notion thm rht Jm,: to which it
refers may only conjured up by tht constitution of the human subject Bur whether
superfluous persons from both groups ro find new services
or_ one ts conscious ot the philosophical heriragt rtprtstntt<l by rhis concept. its continutd use
Connecred wirh chis coo was rhe slow insertion of discrete stations in the
reinforces again an<l at,..:a'.:1 rhe app;.1ritionist tendencies of our ;.1ge It is betttr ro look for exprtssions passage of goods from production ro consumption, rhe growth of demand for
less woolly and less aftecred by this philosophical tradition. I felt that I owe m\ readers an unified. mobile means of exchange. the shift of rht centre of gravity within
explanation for the innocent use of this ttrm in rht German and irs omission from rhe feudal society in favour of rhe few great lords ar rhe expense of rht many small,
En,t.dish edition [A!!!hfJrs n11h /I/ rh! /r;1;u/dtifJ1;]
252 Tht Ciz'ili2i11g Proass Stafr f!Jmhltion and Cil'i!i:atio11

the formation of large frudal courts at the centre of re"ionc the size of 1 t- upper classes-great in comparison with the later secular upper classes in
. _ "" . o -- ' erntorv
where krnghtly-teudal traits combined with courtlv ones in a j}eculiar u " \Xfesr-corresponded exactly to rhe form of integration, rhe degree and k111d
. . . . . . . . nity, as
b arter and money relatwns <lid 111 this society as a whole. rhe01uCLh.1[ dopendence in which IJeOj}le lived together here. The division of
._ L-

Again. there was the great feudal lords n.eed of prestige and <lisplav in -h . ,..1s less develo1Jed than in the phases when the srncter absolutist svsrem
l . ' e jabOLlf ' " .
more or I ess _v10 ent struggles between them; there was their desire ro distinguish - I ""lS develOjJed' rhe trade network was smaller and so the _number ot people
-. . .
themselves from lesser krnl'.hts. And as an eXj)ression of 1ll rhis j)Oets 1n<l ild be sustained in one place was less . And whatever the torm ot 111d1ndual
{_) 4 ' ' s1ngers woro
h l . . ..
\\ho the lords and ladies, pumng into words the interests and political !e[lc ies mav have been rhe social web of dependencies char 111rersecr w1rl1111
dcpenc . _ . . . . . .
ot the lord and d1e. raste and beauty of rhe lady, became a more or less . dividual was here much less 111tf!cate and less extensive than 111 soCieties \nth
h 1n
rte
hrmly established social rnsnrur10n. <r[CJ ter di.vision of labour' where more 1ieOjJle
.
live continuouslv in close proximirv
. Likewise can .observe. this small upper stratum of knightly society, a '." more denselr structured s\stem. And. consequently, rhe control and restraint
1n a
first form ot emanc1pat10n, ot greater freedom of movement, for women-very the individual's drives and affects here was less srricr, continuous and
on I
slight, .to be sur: when compared ro rhe freedom of women ar rhe t!Lllf0 rn1. N',,verrheless ' it was alreadv . considerablv . b"reater at the lar(.'.er teuc al
courts. flus 1s 1'.1arked by more continuous contacts between rhe lady courts rhan at the smaller or in rhe warrior society at large, where the
ot the court, the woman ot !ugh rank, and rhe troubadour, rhe man of lower rank interdependence of people was much less extensive and complex, rhe network of
dependent, whether or nor he be a knight; by rhe impossibility or difficulty individuals much more loosely woven, and where rhe strongest functional
ot arra111111g the desired woman, rhe self-restraint imposed on rhe dependent dependence between ptoplt was still that of war and violence. Compared with
man, _rhe need for circumspection and a certain. still very muted. regulation and die behaviour and affective life to be found here, co111l!Jisic already represented a
rr:rnsformarion of his elementary drives and needs; and finally by the expression refinement, a mark of distincrion. And the polemics contained in fairly unchang-
ot such scarcely realizable wishes in rhe language of dreams, in poerrv. n" form in the manv medieval nrecepts on manners-"avoid this" and "refrain
I " . .
The bea1:ry of one poem and the empty conventionality of the from thar"-refer more or less directly ro rhe behaviour practised by the bulk ot
grearness ot this i\li11msii11gtr and the triviality of rhar, are facts in rheir own the knights, which changed as slowly and slightly between the ninth or tenth
right. Mi11msa11g as a social institution, however. the framework in which the cenrnries and rhe sixteenth as did their conditions of life.
individual develops-and this alone concerns us here-evolved directlv from th"IS 31 At rhe present stage of development we still lack linguistic instruments
interplay of social processes which do justice to the narure and direction of all these intertwining processes.
36. In this very situation, that is, ar the great feudal courts, rhere emerged ar It is an imprecise and provisional aid to understanding to say that rhe restraints
the same rime a more rigid convention in behaviour, a certain moderation of the imposed upon men and rheir drives became 'greater", integration "closer", or
affects, and a regulation of manners. It was that standard of manners, that interdependence stronger", just as it does nor quire do justice to socio-historical
convention of behaviour. that polishing of conduct to which rhis society itself realit\" ro sav rhar one thing belongs to a "barter economy"". and another ro a
gave the name of 011/i"toisit, and we get a fully rounded picture of it if we "mo;ev or, ro repeat the form of expression chosen here, that "rhe
incorporate what was said in Part Two about w11rtois conduct into the of of. the economy grew". By how much did it "'grow"". degree by
feudal courts given here. In what way did rhe restraints become greater", integration ""closer",
Precepts of courtois society were given in Part Two, at rhe beginnings of various inrtrclependence more pronounced'"' Our concepts are roo coarse; they adhere
sef!es of examples illustrating rhe civilizing of conduct and sentiment. The roo much ro rhe image of material substances . In all this we are not concerned
sociogenesis of rhe great feudal courts was at the same time rhe socionenesis of mereh with ''radarions with more" or '"less" Each "increase" in restraints and
co1ntois conduct. C!J11rtoisit, too, was a form of conduct that first is an' expression of rhe fact rhar the ties between people, rhe
developed die more socially dependent members of this knightly-courtly way they depend on one another, are changing, and changing qualirntively. This
upper class.. However that may be, one thrng re-emerges here very clearh-: rhis is what is meant br differences in social structure. And with rhe dynamic
co11rtois srandard of conduct is in no sense a beginning. It is not ;n exan;ple of network of into which a human life is woven, rhe drives and
how people behave when their affects have free, "natural" play unfettered by behaviour of people take on a di/F1,11t form. This is what is meant by differences
society, that is to say, by rhe relations between people. Such a condition of rorallv in personality structure and in social standards of conduct The fact that such
uncontrolled drives, of an absolute "beginning" simply does nor exist. The rel;- qualitative changes are sometimes. despite all rhe fluctuations within rhe
rively great licence for acting out affective impulses characteristic of men in the movement. changes in one and the same direction over long periods. rhat is.
,- . 255
_)! The Ciz

rmlt rhe crt<ltion of an apparatus for ruling sufficiently swblt ro


conrinuous. din:cted processes rather than a nmdom sequence, permits rec Pe . .
indeed leads us rn speak in comp<irarivt terms when discussing difftrtnr '. . . , . rnd hold togerher rhe empire by relatively peaceful means mer long
, 11111111 ,rrace , c . . .l

That is not to say rllilt tbt direction in which these processes mme is ;ia, of peacetimt, Ir remains rn be shown what social processes made poss1 Jlt
. or' Sltcli 1 more snb!t: overnmtnt and \nth It a quirt cl1tterenr
impro\emenr. "progress". or to\\arcls the opposite, "retrogression" Nor is it t0 he torm<1t1on , ' '='
sav.
. however. that rher inYolve mtreh - c1uanrirarivt cl1an<'tS .__ (is sci ore-Ltn in
c 1-:!rc r of individuals,
nrh rnd renrh cenruries when at least in rhe wesrern Frankish regions.
history. wt art concerned with structural changes that art mosr easily, visibly, In r l1e 111 ' ' . . . .
perhaps most superficially grasped in rhtir quanrirnrive asptet . . l rl1re1r w1s small-and when economic 111regrar10n was slight-tlk
rhe exrcrn,1 ' ' . . . ' .. .. , . . ,
\Vt stt rht fiillowing movement: first one castle stands against another, then ... regrarion of rhe rultr-tuncuon reached txrraord111ary heights. Each snull
. lf-
rernrnry agarnsr terr1ron-. rhe:n scare against srate. and appearing on the historical
dJS!D '
., under irs own rule. a sratt " 111
irse . e\-tr} snu ll kn Icht ltS
"stare \\ ,1s . . .
horizon today art the first signs of struggles for an inrtgration of regions and :ndepenclenr lord and masreLThe social achaoc1c
. nnl rnd economic urnrs Each ot chem \\,lS essenr1,1lh .iurark1c \\_ch
masses ot people on a still larger scale . \Vt may surmise that with continuing of goYernme ' ' , . . - . .
111regrar10n tvtn larger u111rs will gradually be assembled under a srable . ' ' d ndenct on ochers. wirh rhe exception ot a few enclaves-tore1gn
Im 1e epe . . 1.
government and internally pacified, <md that rhty in their rnrn will rnrn cheir traders. for example. or monasrenes and abbtys-wh1ch somenmts had l111"s
ourwards against human aggregates of rhe same size until. with a bevond rhe local le\el. In rht secular ruling sua..rum inrtgrarion through
turrher integwrion, a still gre<Her reduction of distances, rhey too gradually grow ' . ss ,,e or cltftnsive conflict was rht fundamental torm There was not much
Hr-are. 1
""'"' b c I l. crr,1rum rn control cheir afrecrs in any
tot-:tther and world sociecy is pacified This ma\" rake cemuries or millennia w consuain mem ers 01 r 11s ru 111g o . .

howe\tr rhar may be, the growrh of uni rs of inreg.rarion and rule is always at th; s ww This w1s 1 "societv .. in rht broader senst ot rhe word wbICh
connnuou '. ' ' . .. . ...
same rime an expression of srrucmral changes in sociery. that is ro say. in human refers to even- possiblt form of human inregrnrion It was nm a .soc1tty . lll
relationships, \\lhentnor rht ctmrt of graviry of society moves towards units of er sense of 1 more continuous rel<lriveh dost and u111torm mregwr10n
t I1e narr ()\\ ' - .
i.ntegration ofa nt\\. order of magnituclt-and in rhe shifr that first favoured large of people with a greater consrraint on violence, at lease within ics conhnts The
feudal lords ar the txptnst of small and middle-sized ones, then kings againsr the earlr form of such a .. socierr .. in rhe narrower sense slO\dy _emerged ar. the grear
great feudal or rerrirorial lords. a mo\emtm in chis dirtcrion is expressed- feucial courts Hert, where rhtrt was a larger confluence ot goods. owing tO rht
\\henewr such cli<rnges occur rhtv do so in conjunction with social funcrions chat amounts produced and rhe arrnchment of chest courts to rhe rrndt ntrwork. and
haw grown more difftrtmiared, and with chains of organized social action. where more people congregated in search of service, a sizeable number oi pcople
wherhtr military or economic, char have lengrhentcl, Each rime. che network of was obliged to m<1inrain a consrandy peaceful intercourse This demanded.
dependencies imerseccing in rhe individual has grown larger and changed in particularly towards \vomen of higher rank. a cerrain control and restraint or
structure; and each rime. in exacr correspondence to this scructure, the moulding behaviour. a more precise moulding of affects and manners .
of behaviour and of the whole emotional lift. cht ptrsonaliry scrucrnrt. is :HL This rtsrrnint may nut always bane bten <lS great as it was in the relation ot
changed The "ci\ilizing process. seen from rhe aspecrs of sranchircls of conduce sin<,er rn lach in rht 1'\Ji11110,n1g convtnrion. Tht (111trtrtis precepts on manners give
and drive control. is rhe same trend which, \\hen seen from rht point of view of a accu;art picture of rht standard of belMviour demanded in everyday lift.
human relationships. appears as rht process of advancing integration. increased Ther also occasionallv rhrow light on rhe conduct of knights towards women
differentiation of social functions and imerdtpendenct. and the formation of that. is nor confined ;o rht reLirion of the minstrel to che lady oi the courc
ever-L1rger units of integnirion on whose fortunes and movements the individual \\le read in a "motto for men", for example: .. Abono all. rake cart ro behave
depends, whether ht knows ir or nor. well wwards women, . If a lady asks you to sir beside her. do nor sir on her
I hfft attempted here to complement rhe general account of rhe earliest and dress. or too near her. and if you wish to speak sofrly to her, ne\tr clurch her with
lease cornplicarecl phase of chis moYtmtnt with some illusrrarive facru,il t\idence; rnur arms, whatever you ha\e to say .. -c
. Judging by rhe habitual sran cl arcs l o t. r l1t ltsser 1rn1g
'- lHS, rl1is amount of
next, rhe further conrinuation of chis movemtnt and the mechanisms clrivin" ir
d ble efforr. Bur the
will bt examined, It has been shown how and why. in rht early phase of consideration for women may l1a\"t cl emanclecl cons1 era
history which had a predominantly barter economy. rht imegracion and rhe restraint was slight, like rhar in orhtr (Uitrhis precepts, in con_11xuison ro
formarion of srnble go\ernments for Luge empires had lirrle chance. Conquering became cusromary among courtiers at rht court of Louis XIV, tor example, fh1s
kings could, it is rrut, subjugate huge art<lS through battle and hold rhem gives an idea of the different levels of inttrdependtnce and imtgrauon rhar
roged1er for a rime by respecr for their sword Bm tht srrucrure of sociery did shaped rht individual's habirs in rhe rwo phases Bur it also shows rhar courtoisi1:
.:256 Tht Cil'ih:::ing Process

was indeed a seep on rhe parh leading ro our own affecrive and emorional
a seep m rhe direcrion of "civilization... mould,
On the one hand. a loosely imegrated secular upper class of warriors wit! .
symbol. the casrle on rhe aurarkic esrare on rhe ocher rl1e n10 : . 1 its
. ' ' re ti<>ht],
imeg.rared secular upper class of courtiers assembled ar rhe absolurisr cour;, thy
cemr,11 organ of rhe krngdom: rhese are in a sense rhe rwo poles of rhe r ld e
b . l. ne of
2
o servanon w 11ch has been isolared from rhe far longer and broader ,
. d . . . . . , mo\emenr
m or er ro gam mmal access ro rhe soc10genesis of civilizinn change Tl l
f o
emergence rom rhe casde landscape of the grearer feudal courrs rhe
.. - '
counoisie, has been shown from a number of asrJecrs. Ir remains ro cl
. . 1e sow
On the Sociogenesis
l b . - cl . -
. - ' '
emonstrare
r 1e asic ynamics ot the processes b\ which ont of the grear feudil or rerr _
l cl l " -
or s, t 1e kmg, g,11ned preponderance over rhe ochers and rhe opjJOrru
l(orial of the State
. ' ' rnty to
:1 more stable governmem over a region embracing many rerrirories, a
scare r_his is also rhe path chat leads from rhe srnndard of conduct of COlf t .
ro rhar ot civi!itt. 1 ome

I
The First Stage of the Rising Monarchy:
Competition and Monopolization
within a Territorial Framework

l. The crown signified very differem d1ings in differem phases of social


dcvelopmem, even though all its wearers had in common cerrain acmal or
nominal central funcrions, above all char of milirary leader againsr external
enemies.
At the beginning of the twelfth century rhe former western Frankish empire,
hardly rhrearened any more by srrong exrernal foes, had finally decayed imo a
collecrion of discrere dominions:

The bond char formerly united rhe "provinces" crnd rhe feudal dynasties wirh rhe
monarchy, was as good as completely ruprured. The last traces of real dominance char
permitted Hugh Caper and his son, if nor ro act in rhe large regions controlled by his
vassals, rhen ar least ro appear in rhem, had disappeared. The feudal groups of rhe first
rank conducted themselves like independent stares impervious ro rhe king's
influence and more so ro his acrions. The relarions between rhe great feudal lords and
rhe monarchs were reduced ro a minimum. This change was reflected eYen in rhe
Std!t' Fom1t1tioil i1;1d Ci1'i!i::<1tion 259
258 The Cil'ili::ing Prr1Ci.:J"J

official EiE!t:s. Tht feudal princes of che Ewtlfrh cemury ceased calling Paris and Orleans. In l O15 the Capecian king Roberr had given chis land
"comEes du Roi' or "con1Cts du fO) au mt" of his senHHS or officials, rhe "grand forescier", wirh permission w build
ro one on ic. From chis casde rhe "grand foresrier's" grandson already controlled
d'nu '1fe1 ts 'lll independem lord . This is a cvpical example ot the
In chis siruarion rhe "kin1( did whac other great foudal lords did: he the surroun I o ' ' ' ' . ". . . - "i -
, - wtl movements rhac were wkrng place everywhere in this per10d. Atrer
concentrated on consolidating his own increasing his power in the cenrnfllc'
scrugules LoLlls . VI .s wther
r .
hnally managed rn re.ic . l
1 .,1 k'111 cl o t'
only reg10n sci!! open ro him. the duchy ot Francia. . lei
dint:: wirh che 1\fondher\'s; he mamed a bastard son abouc ren years o
Louis VL king from l l 08 ro l 13"7. was preoccupied throughom his Jife underscan L ' l "
ndherv heiress and dms broughr rhe casdt under rhe control or 11s
two casks: to increase his own direcc Janel ownership wichin rhe duch. .. ,0 rhe li\{ o , .
l Y ot ' Shordr before his deach he said to his eldesc son, Lo111s VI:
F- ranc1a-r
.
1e esrares and . casdes
_
nor .\TL or onlv. rnanh.
,
enfeoffed , i .e , h-IS 0\Vf! house.
family w1d11n rhe same area. ro subdue all possible rivals, everv . 11 tl 1,1t tO\\e-r t)f :-.1011rlherv which lw causint.; me so mam rnrments has aged
GuJJ.rc! '' e '
warnor
.
who mighc equal him in power. One rask assisted rhe orher: fron1 t h.e J._ ._

-" -- n1 \- Eim'- incl on iccounc of \Yhich I have ne\er en1mtd last1ng peace or trut
nr brrorc . L.' '
feudal lords_ he_ had subdued or conquered he rook all or pan of their property c " it was a centre for perfidious people from far and near and disorder 01me
wid10m enteofhng ir to anyone else; rhus by small steps he increased bis it or wiEh its help for J\Ionrlhtry being sirnmtd between Cmbeil
possessions, rhe economic and milirnry basis of his power. ' - I - n j and Chatt<lllfort on the other. each time a conflict arose Paris was cm
on one 1a <.. _
ott.
_ (,

2 . In rhis rhe monarch was, to begin wirh. no different from a great feudal and communicaEion ben,een Paris cmd Orleans was impossible excepc by armed torce
lord . T_he means of JXi\Ver ar his dispos,i! were so small char medium and even
lesser feudal lords-in alliance-could successfully oppose him. Nor only had Problems of communicarions nor unlike chose which cominue ro play a role
rhe preponderance of the ro111 house in the whole kingdom \anishtd with the between srnces roday. were ar rh,1c earlier srnge of social develop:11ent no less
decline of his function as cht common army leader, and wirh advancing foudaliza.. troublesome on a differenr scale: in rhe relacions between one feudal lorcl-
cion: even his monopoly power wichin his own heredirnry cerriwry had become whtrher he wore a crown or nor-and ochers. and in regard w che
excremely precarious. Ir was dispmed by riYal lords or warrior families. In che microscopic distance benveen Paris and Orleans: Mondhery is cwenry-four
person of Louis VI, rhe Caperian house struggled againsr rhe houses of kilomecres from Paris. . .
A good p:1rr of Louis Vfs reign was rnken up by fighcing for chis forrress. unnl
Mommorency. Beaumom. Rocheforr. 1\fondhery, Fent-Alais. Puisec and manv
ochers. ' jusc as centuries lacer rhe Hohenzollerns in the person of rhe Gre;t he fi;ally succeeded in adding Mondhery to the Caperian possessions As all
Elenor had rn contend wirh the Quitzows and che Rochows. Only the Capetians such cases, chis meant a military srrengthening and economic enrichment ot rhe
had much less chance of success. The difference becween rhe milirarr and vicrorious house. The Mondhery esrnce broughc in an income of rwo hundred
financial means of rhe Caperians and rheir opponents was sm,1ller. t::i\en less pounds-a handsome sum for those rimes-and belongin_/f ro ir were chirteen
developed Stace of money, taxarion and milicary cechnique . The Grear Elenor. direcc fiefs and rwenry indirecc ones depending on rhese. whose cenants now
already had a kind of monopoly control of power wirhin his rerricon-. Louis VI swelled rhe milirnry power of che Capetians.
was, leaving aside his support from rhe ecclesiastical inscirncions, a No less protracred and difficulr were rhe ocher bardes Louis VI had ro figl:r
grear landowner ,who had w contend wirh lords with somewhac smaller He needed d1fee expeditions in 111 l. 1112 and 1118. to break the power ot a
possessions and military power; and only rhe vicrnr of rhese baules could anain a sincde kniuhdv familv in rhe Orleans disrricc;-' and ic cosr him rwenry years w
b b . . .

kind of monopoly posirion within che rerrirnry. beyond rhe compecicion of ocher deal wirh che houses of Rocheforc Ferre-Alais and Puiser, and add rhe1r
houses. possessions to chose of his family. By rhis rime, however, the Caperian domain
Only from reading contemporary reporcs can we judge by how linle rhe was so large and \veil-consolidated rhat, rhanks w rhe economic and military
milirary and economic means of rhe Capenans in chis period surpassed chose of advantages conferred by such large properry, its owners h:1d omsrrippecl all ocher
orher feudal houses in rhe duchy of Frnncia; and how difficulc. giYen rhe low rirnls in Francia, where they now rook up a kind of monopoly position,
Four or five cenruries lacer, the mom1rch had emerged as rhe monopoly
degree of economic integration, undeveloped rransportarion and communica-
tions, and rhe limiracions of feudal military organizacion, was rhe "so\ereign's" comroller of enormous milirnrr and financial means flowing from che whole area
of che kingdom Campaigns as rhar of Louis VI against other feudal lords
struggle for monopoly power even wichin this small area.
For example, rhere was the forrress of rhe Mondhery family commanding che wichin rhe framework of one territory represenred rhe first step on the way w
rome becween che cwo mosr imporrnnr pans of rhe Capecian domain, che areas chis lacer monopoly posicion of rhe monarchy. Ar firsr rhe house of the nominal
Sttih For///C1tio11 C111cl Ci1ilizatio11 261
260 Thu Cil'ili::i11g Procuss

kings was scarcely superior to the feudal houses around it in terms of rerrirory, with the largest area of land: and . its political power would
ownership and military and economic power.. The difference in properrv . l r its milirarv j)Ower stemming from the size of 1rs domanrnl revenues
JifrI!n1s 1 1 . , L

warriors was relarivelv slight. as therefore was the social difference no. matter " the number of its bondsmen and rerarners, did nor exceed that of all the
L '

with what titles rhev. adorned themselves. Then ' rhroLJ<d1


o marriage-.. . j)l!rcLas
u e or warrior families within its rerrirory.
l .
orher l ll l
conquests, one ot these houses accumulated more and more land and drns gained Once cht preponderance of one house was ta1rly secure 111 r 11s sma reg10n. t 1e
preponderance over 1rs neighbours . The fact rhar ir was rhe old royal house tha for he<'emom in a hirger area moved into rhe foreground-the struggle
strugg le b . . . . .

succeeded in doing so in Francia may have been bound up-apart from the neve: bet;een the few larger territorial lords for predomrnance w1th111 the krngdom.
possessions that made its new start possible-with rhe personal . ., s rl1e rask confront in" the descendants of Louis VI, the next generations
Tlns ,v,1 ' o
qualities ot its reptesenratives, the support of the church, and a certain of Capetians
traditional prestige. But rhe same differenriarion of property among warriors was
taking place at the same rime, as has been mentioned, in other rerrirories too. It II
was rhe same shifr in the centre of gravity of warrior society, favouring the few
large knightly families at the expense of the many small and medium ones, that
Excursus on some Differences in the Paths of
\WS discussed earlier.. In each terrirory sooner or later one family succeeded, bv

accumulating land, in attaining a kind of hegemony. That rhe crown, that Louis Development of England, France and Germany
the Far, should undertake the same thing looks like an abrogation of the roval
function. Bur given this distribution of social power he had no choice. In rhis l. The rask implied in the struggle for dominance, i.e. for both centralization
social srrucrnre, family property and control of rhe narrower hereditary area and rule, was for a very simple reason different in England and France from that
consrirnred the most important military and financial basis of even the king's in the German-Roman Empire. The latter formation was very different in size to
power. By concentrating his forces on the small area of Francia. by creating a the other rwo; geographical and social divergences within it were also much
hegemony in the resrricred space of rerrirory, Louis VI laid the foundation for the greater. This gave rhe local, cenrrifug<1l forces a very different strength, and made
subsequent expansion of his house He created a potential centre for the ;he rask of attaining hegemony and thus centralization incomparably more
crystallization of rhe greater area of France, even though we may cerrainly not difficulc The ruling house would have needed a far greater rerrirorial area and
assume that he had any prophetic vision of this future. He acted under rhe direct power than in France or England ro masrer rhe centrifugal forces of rhe German-
compulsions of his actual situation. He had to win Montlhery if he were nor to Roman Empire and forge ir into a durable whole. There 1s good reason ro
forfeit communication between parts of his own rerrirory. He had to subdue the suppose rhar, given rhe level of division of labour and inregrarion, and the_
most powerful family in the Orleans region if his power there were not to milirarv. rransporrarional and administrative techniques of rhe rime, the rask ot
dwindle. Had the Capetians nor succeeded in gaining preponderance in Francia, holdin;, centrifuual tendencies in so vast an area permanently in check was nearly
b b

ir would sooner or lacer-like rhe other provinces of France-have fallen to insoluble


another house. 2. The scale on which social processes rake place is a not unimportant element
The mechanism leading ro hegemony is always rhe same. In a similar way- of their structure In enquiring why rhe centralization and integration of France
rhrough the accumulation of property-a small number of economic enterprises and England was achieved so much earlier and more completely rhan in the
in more recent rimes have slowly oursrripped their rivals and competed with German regions, we should nor neglect this point. In rhis respect the trends of
each other, until finally one or rwo of them control and dominate a particular development in rhe three regions vary very widely.
branch of the economy as a monopoly. In a similar way-by accumulating land \Vhen rhe crown of the western Frankish region fell to the Caperians, the area
and thus enlarging their military and financial potential-stares in recent times in which the house had real power extended from Paris ro Senlis in rhe north and
to Orleans in rhe south. Twenrv-five years previously Otto I had been crowned
have struggled for preponderance in a particular part of the world. But whereas
in modern society, with its higher division of functions, rhis process rakes place Roman emperor in Rome. R.esisrance by other German chiefrains he had
in a relatively complex way, with a differentiation of the economic and rhe ruthlessly put down, primarily supported, at first, by the experienced warriors of
military and political aspects of hegemony, in the society of Louis VI, with its his own tribal area. At that rime Orro"s empire stretched roughly from Anrwerp
predominantly barter economy, these aspects remained undivided. The house and Cambrai in the west, at least (i.e. withour the margravares east of rhe Elbe)
that ruled a rerrirory politically was at the same rime by far the richest house in as far as rhe Elbe, and beyond Brno and Olomouc to rhe sourh-easr: it stretched
263
262 The Ci1i!i:i11g Pmcu.'
" !' l r cheir size
. l ' ld where division of Ltbour and integrat10n are s ig 1 .
co Schleswig in rht north and rn Verona and Iscria in rbe south: in addition.
It of r the limits placed on the organization of rule by the prevalence
included a good pan of Italy and for a time Burgundy \Vhat we have
correspon ::: . l ". - " l , economv One example is rht feudal rernronal
therefore. is a formacion on an entirely diff'forenr scale, and conseguently one barter rehmons 1q lI1 t 1e ." . l l l e of the
.. ns within rhe German-Roman Empire which, wit 1 t 1e '.1c \'clllV . .
fraught with far grtattr tensions and confliccs of inreresc. than the western
dorf1ll110 . l' l , l ro form small kinudoms. duchies or counties,
Frankish area. e\en if we include in the latter the Norman-English colonv . " _ nom\'. were conso ic atec '=' " ,
111one) eco l . " 0 "ts lile rhe 1)[inci1x1licv of \vales or che klilgdom or
"

acquired lacer. The cask confronting the dukes of Francia and Normandy or '"tmp es arc are, ' . B
other ex, , meruecl with England in tht United Kingdom or Great ntall1
che Angevin cerricory. as kings in che struggle for hegemony in chis region, was
scod:rnd, no\\ o l f l , "" m1Jle is rhe duclw ot Francia. whose
entirely ditforenc co char wich which every ruler of che German-Roman Empire "T rbern Ireland: anc a urt 1er ex,1 . . ..
and Nor . , . uhtl \' knit feudal dominion has 1usc been d1s-
had co conrencl. In rhe former area cenrralizacion or integration, despite devclopment mto a more tlz:: .
numerous swerves to one side or the other. proceeded on the whole
cussed. . . l l'rocess raking pt.ice hctuu:ll cl1e different
continuously In the larcer incomparably larger <lrta. one family of territorial I "1 _ schematic out 1lilt. r 1e . L

rulers after anorher tried in vain ro attain, with the imperial crown. a really . io:iring territorial dominions rook a very similar course rn cbe" one
scable hegemony over the whole empire. One house after ;1norher used up in rhis ne1i:..hb l . 1cithi11 a firmly esrnblisbed territory between the l!1dl\
fruidess struggle whac despite all else continued ro be che central source of its previous !k " l nri'l one of them actained predominance and a rather more
l l- or mg HS, u .
income and power-rheir hereditary or domanial possessions. And after each oro " '-: l lominion w1s formed Just as. in one phase. a number ot esrnres
-olid tern ton a c '. . .f l o be
unsuccessful bid by a new house, decentralization and the consolidation of , o. ,d in competition experienced the need ro expand i c 1ey were nor t
centrifugal tendencies went a step further. pL;_c"e cl b\ e'.['l"llldinu neil!hbours, so in rhe next a group of unHs one degree
'UL1JL' ''ace "., c c 1
Shordy before the French monarchy gradually began ro regain its strength in ::: or counties. found rhemsehes in the same prec ic1menr . l
the person of Louis VJ, the German-Roman Emperor Henry IV collapsed under argerl. : lre1ch" been shown in some derail how. in chis sociery. rhe "inttrna
Ir M>. '1 ' . " l " . fie l \\'i th che urowc l1 o1c popu lar10 n . che
che combined assaulcs of che great German cerrirorial lords. the Church, the oetition tor lam was intensi c 1:' ." '"
upper Italian cities and his elder son, char is ro S<ly. in face of the most diverse rnmj. l. larion of hod-ownership and difficulties ot exrernal expansion" Ir \\dS
conso ic ' k " l mi'lt desire
cc:nrrifugal forces" This proYides a point of comparison with the early period of I . cl " e for hnd W"lS exerted in cbe poor mg HS as a si , .
shown liow r 1lS fl\ ' ' . l " l l uhest and richesc as
the French monarchy Later. when the French King Francis I had his whole . " cl of living a1111ropriare to their srnrus, anc lI1 c 1e 1i::: ..
tor '1 mo e l r surL's
kingdom so complecely in hand that he no longer needed to call assemblies of
L

. demand "more" land For in a sociecy with sue 1 competitl\'t p e:,. ..


che estates and could raise rnxes without asking the taxpayers, the Emperor a spur ro " b . "! .. Here t""llfl we see
I l es not uain "more" auromancally ecomes ess , o' .
Charles V and his <tdminisrracion had ro negotiate e\"en wichin his own l1e \\ 10 co o . . . ." . f op co bottom: i c sec
the effect of che pressure runnlilg chrough t 11is souer: rom t " l " l .
hereditary lands with a whole mulcirude of local assemblies. befrJre he could rulers c11Lainsr ont anocher: and chereby set rhe monopo y rnec M-
muster the duties needed to pay for the court, the army and the adminiscration che territorial ' " "ned even in rh1s
" . " n Ar first the diYergences of power were contai , - .
of the empire. And all rhis. includin::: income from rhe on:rseas colonies, was not msm w mono L " tl b. ot teudal
phase, within a framework that allowed <l ccmsidern_) e num e_r. ." " d
nearly enough to meet the cosc of running the empire \Vhen Charles V . , l dominions ro remain in contention Then, atter m<lllY \ icrones ,m
abdicated, the imperial adminiscrncion was on the \erge of bankruptcy He too temrona . l f \'tr while
I t" ats some grew scronger through accumulat!ng c 1e o jlO\ l l
had exhausced and ruined himst!f in trying to rule such an enormous empire torn c.e e ' ' l f . touuht on anc r 1e
f . cl of rhe scru'"'lt" T 1e ncconous t\\ :::
by such massive centrifugal forces . And it is an indicacion of che rransformacion others were orce our "'"' " " . l _ cl" . n lar between onl\'
. l' " "1c'on \\'as rtj'Jeated until hnalh t 1e eC!S!O . ,
of sociecy in genernl. and of che royal function in particular. that the Habsburgs proce's o f e imm, i f l
- . " l l m. nions swollen through che defeat and ass1milat10n o or 1e1s.
were nevertheless able ro maintain themselves in power. two cernrona co i . . . . '"de or remained neurral-
All rhe rest-whecher they were imolved in che scruoo " cl , k
:1. The mechanism of srnce-formacion-in the modern sense of rhe word - Ii es of ,econd or chir ran ,
I " cl b-en reduced by the growth of these rwo ro gur -
stare-has been shown ro be, in the European area at the time when sociecy was .1,1 e re.ra'ined a cert",1in social imj)orcance . The other rwo, howe_ ver,
moving from a barter economy ro a money economy. in its main outlines always rhou uh they scill
o . l 11osirion: the\. had outscripped rhe others: the issue
the same. Ir will be illustrated in more decail in relation ro France. \Ve always were approaching a monopo Y
find, at least in the history of the great European staces. an early phase in which lar between them. . l I
. In these "elimination conresrs". chis process of social selecr10n, t 1e persona -
units of the size of a cerrirory play the decisive role within the area later to become
. . . t. ndiYidtnls l!ld other "accidenrnl" facrors such as the late deach ot
a srace. These are small. loosely scrucrured dominions such as ha Ye arisen in many qua l i tles o i ' '
265
Stc1tc Formation d11tl Cirdi::dtio11
264
. . I German or semi-German colonial region, slowly
one man or a ruling house's hick of male heirs, undoubtedly played a crucial P<lrt expans10n mto r 1e ' ll A rru'"'le
tiifotlg. l1 . mi)eritton
. . . l1 r l1e, older H1bsburs:
wit ' o
the Hohenzo erns. -
s "'"' .
from rime ro time in deciding ll'hid1 terrirory rriumphs, rises and grows. inro co . . .f I Hohenzollerns. to the tormar10n
, . ensued. lead mg ro vicrory or t 1t .
The social process itself, however. the fact that a society with numerous power for suprem,1q . . ... n1on<' German territorial rulers and eventual!}.
and property units of relativtly equal size, ttnds under strong competitive bl L!OUS supremacy ,1 b l {'
of an um1m "' I . h- . . . f rl1e German rerri rories under a smg e ru mg
pressures rowards an enlargement of a few units <111d finally rowards monopoly, is e ro r 1e urn car10n o . f l
;rep by sr this struggle for supremacy between rhe rwo most power u
largely independent of such accidents. They can have an accelerating or retarding
iippararus .. of the empire, while leading ro greater tbt
effect on rhe process. Bur no matter who the monopolist is, thar a monopoly will cornponenrs . l. I n1eanr 1 furrher step rowarcls the cl1smtegrar10n o
sooner or later be formed has a high degree of probability. at least in the social f Hes wlt 1111 t 1em- ' ' _ . Tl .
tion o sr, . ire \'Vith their defeat the Habsburg lands !eh rhe un10n .11s was m
structures rhar have c:xisced so far. In rhe language of exact science rhe old emp l f rhe slow 111d continuous decav of rhe empire In tht
observation would perhaps be called a "law" Strictly speaking, wh,1r we have is of rhe ast stages o ' d cl nr
facr one . nd more p1rrs crumbled away ro become in epen e
a relatively precise formulation of a quire simple social mechanism which, once r cenrunes more a ' I l
course or . . l rue and diverse ro be or 1er t rnn a
. . s As a whole. the empire was roo a "'
set in morion, proceeds like clockwork A human figuration in which a relarivelv dorn11110n . .
large number of units, by virtue of rhe power at their disposal, are c ro srnre-form<1t1on. .
hin d ran e f . . n rhe Germano-Roman Empire was so
competition, rends ro deviate from this srare of equilibrium (many balanced bv "' fleer on whv scare- ormar10n t . . l.l l
io re . . cl b l d I an in irs western neighbours cerram y 1e ps
re hbor10us an e are t 1 - l'f'
many; relatively free competition) and to approach a different srnre in which rnuc l1 mo ' - . l . Modern experience ot rhe c I terenct
d'n" ot rhe rwenr1er 1 century.
fewer and fewer units are able ro compete; in other words ir <lpproaches a undersn111 1 o . b l d . d more full\' expanded western
l .1b!ishec! better a ance ,111 .
situation in which 011c social unit attains through accumulation a monopoly of scares descended from the old empire,
the contended power chances. srares, m lace, gives this question topical imporrance. From
-i Tht gtntral characrer of the monopoly mechanism will be discussed in whICh exp,111decl co _P. . ,cl . d'fficulr ro answer. at any rare nor
l oint of vtew 1t oes nor seem 1 c
more derail later Ir seems necessary to point our at this stage, however, chat a a strucrura p . :vhich is sclfceh less important wr an
le complementar\' quesnon \ ' ,
mechanism of chis kind is ar work in the formation of stares roo, just as it was more so rl1an r 1
I . chis colossus. despite
earlier involved in the formation of the smaller units. the territories, or will be understanding of historical structures-the quesnon \\ 1) f - . fu al forces
. - unfavourable srrucrure and rhe unavo1ch1ble strength
bter in rhe formation of yet larger ones. Only if wt have this mechanism in mind
H> . . ' thtr so !on, whv the Empire did nor foun er ear ier -
can we understand which factors in the hisrory of different countries modify or w1th111. lt. held ro. ge db ll . l . b r for cenrurie<: border areas ot rhe
- A , r y it did incite co apse are, LI -
even impede it. Only in this way can we see with some clarity why the rask ) . s a rota tt ' d l Ind been crumbling away and
facing a potential central ruler of rhe Germano-Roman Empire was incomparably em ire-particularly to the west an som .' . ' f
p while incessant colo111wr1on and expansion o .
more difficult rhan char which faced a potential ruler of rhe western Frankish going their O\vn \Vay. cl I l the west
- come extent compensate r 1e osses 111 '
region In chis empire too, through elimination struggles and rhe constant serdemenrs in rhe ease ro 0

Up to the hire Middle Ages, and roan


accumulation of territory in rhe hands of rhe victors. one territorial dominion though only ro some extent - l 'f d rl1e Rl1one It \\e
- l .1 hr 1s t 1e n aas an
would ha\'e had to emerge strong enough to absorb or eliminate all orhers. Only lacer, the empire spread to r 1e west.' s ' 'l I l trend of chis move-
. . d Jer on \' r ie 0uenera
in chis way could this disparate empire have been centralized. And there was no disreuard
0
rhe irregularmes an consi . . d diminution
. f he emj)tre s constant arrnr10n an '
Lick of srruggles rending in chis direction. nor only chose between rhe Guelfs and menr. we have rhe impress10n o r . . . . . I . drift of the
, 'eel b\' a slow shift in rhe d1recr10n of expans10n. anc a . cl
rhe Hohensraufens bur also berween Emperor and Pope, wirh their special accomp,1111 . - Tl . k rem,1ins to demonstrate chis rren
complications. Bur rhey all missed rheir mark. In an area as large and varied as cenrre of grnvity trom west to ease 1e ras . - rrend is still
more exacdv rhan is possible here. Bur purely 111 terms of area,. the
chis, rhe probability of a clearly dominant power emerging was very much less
. 'bl e 111
v1s1 . r1'1e most recent changes in German ttrnrory proper.
[ban in smaller areas, especially as ar chis stage economic inregrarion was lower
and effective distances were many rimes greater rhan later. In any Gtse, 630,098 sq. km
elimination struggles wirhin so large an area would need far longer rhan in the The German Confederation before 1866
540,-484 sq. km.
smaller neighbouring ones Germany after 1870 471,000 sq. km.
How, nevertheless, stares finally managed to be formed in rht Germano- Germany after 1918
Roman Empire is well known. Among rhe German rerrirorial dominions-to I The rradirional
In England. and in France coo. the rrend is almost r 1e reverse
disregard rhe analogous process in Irnly-a house emerged which. above all
266 T /;, Cil'i/i::,ing Proc's-'

insriturions firsr developed in relarivt!y small and resrricred areas and . . soon as rerrirorv had been unired b eyon cl a cerrarn p01nt E\en wirh
t"lln ,\S ' j l
exrended rheir scope. The fare of rhe central insriturion. rhe srrucrure acr a"'' d .. 1rer1r1'on rncl communications rhis empire is provrng c angerous }
c n11 ' 1
denolopment of rhe whole gmernment apparatus in rhese countries, cannot Ii;: verycexperiencecl and flexible government is h_olding ir .rogerher.\\'IE 1
understood. nor the difference between rhem and rhc: corresponding formations c1 .h. Ir\ Des1Jire verv different precondmons trom rhose or rht old
1[ cu ' ' l b
in the stares descended from the old empire explained, unless this simple factor E- ir still illustrates how a very large empire, broughr roget 1er \'
G orman mp ' ' b f
rhis slow growrh from small to larger, is raken inro account. ' c _ . cl coloniZ'ltion finalh rends to disintegrare into a num er o more or
ue> r ,rn ' , . . .... cl l . ,..
Compared ro the German-Roman Empire. rhe island rerrirory that the ! nclent uni rs. or at least robe rransformecl into a krnd ot te era sr<1te
Norman Duke \Villiam conquered in 1066 was quire smaJL Ir reminds us I SS inaepc If "cl
e l .. t close ouirrers rhe mecharnsm seems almosr se -ev 1 em.
- t 1us a 1 ' ' - l l.
roughly of Prussia under rhe first kings Ir comprised. apart from small areas on ::,een .
!'. The nanve reg10n o
. f the C11Jefr1ns
' ' the duchv ot Francia. was smal er run
rhe northern border wirh Scotland. present-day England. an area of about . l1 rer rror\'
l ,v.Eng 11s 1 . controlled b\. rhe Norman dukes.. Ir was roughly -rhe same
1_'l1.76-l square kilometres. \Vales was completely uni red with England only at r.1c, <1s,rhe Elecrorare of Brandenburg at rhe rime ot rhe 8 ut
rhe end ofrhe rhirreenth cenrury !England wirh \Vales 151.150 sq km ) Union s1ztre wirhin rhe framework of rhe empire, ir rook five or six centunes tor rhe
wirh Scotland has existed only since 160} Such figures are visible bur very crude rhe u' colonial area ro become a power capable of confronting the ol:l-esrnblished
indicarions of structural differences. remind us rhar rhe formation of the sm,1. . f I .. \Virhin rhe more limited framework of rhe western
rernwnes o r lt empire. . . . . - " . I
English nation. and rhen the Brirish, rook place within a framework which,
F . nk1sh area. r le pO\\ er 01c siich .'1 rernron
. l . . .., .. ,
to"tther
"'
with the nuren,1l ,rnc
compared wirh rhar of rhe grear Continental nations, scarcely extended, in its ra. . l hel[J niven bv the Church ro rhe Caperians, was enough ro enable .the
decisiw phase, beyond rhar of a rerriroriaJ dominion \Vhar \Xfilliam the spin ru,1 "' 1 F . .. . .
.. b,nin rhe stru""lt for supremacy over larger areas o r,rnce ,1r ,1 \er)
Conqueror and his immediare successors built up was in fact norhing other than house to cc- "'"'

a large rerrirory of rhe wesrern Frankish empire. and nm very different from those earlr stage. rhe basis of rhe lartr
.l l f behind by rhe western Frankish empire,
which exisred ar rhe same rime in Francia. Aquitaine or Anjou The task with [ lt area e r . . . . .. ncerned
France. occupied a roughly midway posmon. as far as its size \\as. co_ ,, . '
which rhe struggle for supremacy confronted rhe rerrirorial rulers of this area-
berween rhe Germano-Roman Empire and what was to become En 0 L1ncl
rhrough rhe sheer necessity of expanding ro avoid domination bv orhers-rhis
Regional divergences. and thus centrifugal forces, were less here rhan ll1
task could nm in any way be compared wirh rhar facing a potential cenrral mler
i,"hbouring empire and rhe rask of rhe porential cenm:l ruler accordmgl\ los
of the: Conrinemal empire . This is rrue even of the first phase in which rhe island
ne"'
l fh cu lr . Bur rhe clivernences and arren cl am centntuga l t orce s \,ere
"'ureuer
' .tlnn
'
rerrirory formed a kind of western Frankish colony, when irs Norman or Angevin ( l b - . - cl f the
l
on rhe B nr1s 1 is an . I d -, 1
In Ennhnd
"' ' however , rhe \'try re,rncre _ ness o
. __
rulers also conrrolled considerable rerrirories on rhe Continent and when they
r r. facilirarecL under cerrain circumstances. an alliance of rhe d1tterenr
\verc:: dJerdore srill srruggling for supremacy in the wesrern Frankish area. Bm it te.mo ) . . . l . l l . . rhe cenrral
is rrut above all of rhe phase when they were thrown back on rhe island from the esrnres anc, ! a bo\t ill
, ' of wHnors' trom r le \v 10 e . . . cl
Continem, !ll1d had ro unire ir under one government on rhe basis of England ruler. Furthermore, \Villiam rhe Conqueror's disrribu[lon of land fa\ou1e
alone. And if the. royal funcrion, like rhe relarion of king ro tsrnres, rook a conracr a nd Con1n1 on interests among v
rhe lancl-o\vning class rhroughom rhe
difftrtm form here than in the Continental empire. one of rhe facrors ar work, whole of England. ar Jeasr as far as relationships ro the_ ruler were
though certainly nor rhe only one, was rhe relarive smallness and also, of course, concerned Ir remains ro be shown how a cercain degree of trngmenta[lon and
rhe isolated position of rhe area ro be uni reel. The likelihood of major regional
disparateness in a clomm1on, not enoug l1 ro permir clisimenra[lon
"' ... bur enough rn
differemiarion was nry much less, and the srruggle for supremacy between two make a direcr alliance of the estates rhroughour rhe country d1fhculr, srrengrh-
rivals simpler, rhan berween rhe many factions in the empire. The English ened rhe posirion of rhe cemral ruler. . . . . . _
parliament. as far as its manner of formarion and therefore irs srrucwre is Thus rhe chances offered by rhe former western Frankish region, ll1 terms of
concerned, was in no way comparable ro the German Imperial Dier. bur rarher
its size, were nor unfavourn bl e ro t I1c-- emerg.ence
.. of 1' central ruler and the
wirh rhe regional estares Much the same is rrue of all rhe mher insrimrions. formarion of monopoly power.
They grew. like England itself, from smaller to larger; rhe institutions of a feudal Ir remains ro be seen in derail how rhe Caperians rook advanrage of these
territory evolved continuously into those of a stare and an empire. opporrnnities and. in genera l . b\. . what mechanisms monopoly rule was estab-
In the British Empire too. however. centrifugal forces immediately began to lished in rhis territory
5rdlt: fr;rmc1tio11 cmd Ciz'ili:ati1J11 269
268
cemurv for ex<imple. which, given rhe srnte monopoly of physical
III ' oineteem 11 . . .
tiie _ e was waged solely by economic means . . . . .
v1of.t:OC '. cl f rhe comperirive srrugdes and rhe monopolizanon rakmg place_
On the Monopoly Mechanism '
!\ rem1n er
I
0 '
. ''\es is nor wirhour value for . an
I c1
unc ersran mg
ot
unc er our O\\ n ' . . . -
. mechanisms in earlier srages of sociery. In acldmon, cons1cleninon ot
1. The sociery of what we call rhe modern age is characrerized, above all in the 1
JJJonopo.} . cr1'on w1'rh rhe new hel1Js us ro set rhis social clevelopmem as a
\vesr, by a cerrain level of monopolizarion. Free use of milirary weapons is Id m coniun . . f
rhe o . The larer pan of rhe movemem presupposes the and cenrre
denied rhe individual and reserved to a cemral amhority of wharever kind, 80 and rhe accumularion of rhe mosr imporrant means or proclucoon of rhe ome,_
likewise the taxation of the properry or income of individuals is concemrated ia. vorh is I . . . . t. , r me! fewer hands--earlier rhe accumulanon ot
e1sr conrro over H, 111 t\\ e ,
the hands of a central social amhority. The financial resources thus flowing into or ar l ' .
d larer rhar of money. . . cl s1 Ir
this cemral authority maintain its monopoly of military force, while this in turn ]anT;ie mechanism of monopoly '.ormarion has already been bnefly d1scusse .
maimains the monopoly of taxation. Neither has in any sense precedence over the
b roughly summarized as follows:
other; they are two sides of the same monopoly. If one disappears the orher ii social 1!11it," lcll'ge 1111111htr IJj th, ,111cil!t1 \OCwl m11t1 uhll'h. th11Jlfgh
automatically follows, rhough rhe monopoly rule may sometimes be shaken more J 1r 1111'r11dcnce (iJl!Jtitl!fc tht /cll'ger IJl/t. tllc of rnl!ghl) cq11al Joua! /1011,r and art
strongly on one side rhan on the other. l /I t ' '
1''Cf/'
1
. f' j- the ll/il/1S fO
: /,/ t1J coiii/it!e j;Ii:ly-!ll1hc1111jmwl by Jm-cxisti1.1g 1110111Jj!o 1es-.. or

Forerunners of such monopoly control of rnxes and the arm\ mer relarively !JJ!!S d.1 t.. - - I - J. is h,:gh
r i.e. primarilr rhc 111wm 11 i11bs1stti!t't am/ pmc i/t:!!Oll. r .le .
large rerrirories have previously exisred in societies with a less advanced division I1011 ' / fl It jw"r
,1.,, , ll'ill /;u l'ictMiom a11d others l'clliCfi!ishul. and that grm !!Cl Y as cl resfl . '
111a1 S!Jil.c . . I .. . / .... tr zed! Ir
of functions, mainly as a result of milirary conquest. It rakes a far adrnnced social 11 ,. , rrol mort mu/ more oj!ji1Jrtill//t1us, anc 11101u <111c. 1111 1c 11111..
1
'
11 1 1 11
I
division of functions before an enduring, specialized apparatus for administering 1 cfi .. ctly 111 indirc:ct!y depenc1mt 011 a11 c1cr-
tm comptt1t11111. " will
the monopoly can emerge And only when this complex apparatus has evolved 1111111 /;e;. The human figurarion caughr up in rhis movemenr
does rhe comrol mer army and raxarion take on its full monopoly character. Only rherefore' unless coumervailing measures are taken, approach a stare in which all
then is the military and fiscal monopoly firmly esrnblished . From then on, social s ire controlled bv ,1 sinde amhoriry: a sysrem \Vlrh open opporrun-
opporcumne ' : L

conflicts are not concemecl with removing monopoly rule bm only with the ,11
1 become a svsrem w1d1 closed opporrunmes. .
mes '' . I . . l rea
question of who are to control it, from whom they ue to be recruited and how the The ueneral patrem followed by rhis sequence 1s very s1mp e. 111 a .soo,1. a.
burdens and benefits of rhe monopoly are to be disrribured . Ir is only wirh rhe rhere a cerrnin number of people and a cerrnin number of opporrunmes w h1ch
emergence of rhis continuing monopoly of rhe cenmd amhoriry and rhis are scarce or insufficienr in relarion ro rhe of rhe people. I'. we assun1e
specialized apparatus for ruling rhar dominions rake on rhe character of "stares". ro begin wirh all rhe people in rhis area fighr one orher for rbe avmla le
\virhin rhtm a number of orhtr monopolies crystallize around rhose alreacly .L _ Ir l)robibilirv rbar rhev will maintain rh1s srnre of equ1libnum
oppo1mnH1t>, c c ' . - . I.
mentioned. Bur rhese rwo are and remain rhe key monopolies If rhey decay, so definireh and char no parmer will rriumph in any of rhese pairs 1s exrreme !
10
. . . a ced b\ mv monopolv power;
do all rhe q:sr. and wirh rhem rhe "srnre small, if rhis is indeed a free compermon unmuuen . ' , . .,
2. The quesrion. ar issue is how and why rhis monopoly srrucrure arose . and rhe probabiliry rhar sooner or larer contesrnnts will .o' ercome
. l . I i "h Bm if some of rhe contenders ;ire '1cronous.
In rhe sociery of [ht nimh. renth and elevemh cenmries ir clefinirely did nor rheir opponenrs 1s exrreme } 1 "' . -. . _
yer ex1sr. From rbe eleventh century-in rhe rerrirory of rhe former wesrern rheir opporruniries mulriply; rhose of rhe vanqu'.shed decrease. Grearer oppor
! e n the hands of one group ot rhe ongmal nvals, rhe others
Frankish emplft-we see H slowly crystallizing. Ar firsr each warrior who rnrur1es accumu ar 1 . f l
controlled a piece of land exerred all the funcrions of rule; rhese were rhen b- 11 " eliminared from clirecr comperirion wirh rhem. Assum111g rhar eacho ne
ei "' , d once 1,,an1 one
gradually monopolized by a cemral ruler whose power was adminisrered by vicrors now srruggles wirh rhe orhers, rhe process 1s repeare . '"'. .
crori.OL!S incl u-iins control of rhe power chlmces of rhe vanquished. a
specialisrs. \vhenever he pleased, he waged wars ro gain new land or defend his ''fOUp IS \I ' o' - l
;rill smaller number of people controls a srill grearer ot power c 1ances,
own. Lancl-acquisirion and rhe governmemal foncrions going wirh irs possession
a srill grearer number of people are eliminared from rhe free compermon; anld
were. like irs milirnry defence, lefr to "pri,are iniriarive", ro use rhe language of
fi 11 I . , e case one 1nd1v1dual contro s
rhe process is repearecl unnl na y, 111 t 1e exrrem
L

a larer age. And since, with rhe increasing popularion of rhe area, hunger for land ' .
all power chances and all rhe orhers are dependent on. him.
was exrremely keen, comperirion for ir rhroughour rhe coumry was rife. In rhis
In hisrorical realiry ir is certainly nor always individual people who become
comperirion borh milirary and economic means were used, in conrrasr ro rhar of
TO Tih

embroiled in chis mechanism: frequendy it is largt associations of ptoplt:,


che p roeess . .\tr its mechanism and trend are unmistakable Tht . - more .
examplt ttrnrones or srnrts. Tht course of evtnts in rtalin- is uscnlh f 1 .. h nsivt cht monopoliztd power poctnrial, rhe larger che web of funcr10n-
. ' 'r mnr"' cornPre e . . . - .
complicartd dian in chis schtmacic parrtrn. and full of Ir v" . _ .,Jminisrerinu it and the ,_greartr rhe d1v1s10n of labour among chem. Ill
,. c . .
happtns. for txamplt. thar a number of weaker ]'arties combint rn brin' de . h more 11to11lt on whose work
. . . c
5[lorr. t c . or funcrion
. che monopoly is m any way .
rndff1dual who has accumulared roo man\ l)Ossibiliries and urown rcJci s .
_ . .. : . . . . . c rrong. depenc cht more srroni.dv , . does this whole held. .controlled
. by the monopolist
rhe},. succeed and rnkt over tht poss1bilmts ot chis parry, or some of rhern . 1rs- own wei<ht and irs own inner_ regularmes. Iht monopoly ruler can
.issert /:> , . . _
thty rhen nght among rhemselves for predominance The effocc. tht shift
ac kno\vl ed"e <=::
this md
(
im11ose on himself rhe resmunts that l11s tuncr10n

as rhe
power balances, is always the same. In this way. rno, an ever-increasing number
cenrr,1. l ruler of so mi o"hff . a tormarion demands: or he can mdulge h1mselt and_
ot power d1ances rends rn accumulate in rhe hands of an ever-diminishing his own inclinations precedence over all ochers. In che laner case rhc
number of people rhrough a senes ot el1mrnanon contests. complex social apparaws which has developtd along_ wirh chis prirnrt accumula-
Tht course and pact of chis shifr in favour of rhe few at rhe expense of the .
non o1 11ower
clnnces
' will sooner or later lapse into disorder
. and make its
depend tO a large txttnt on dit relation bttwttn tht supply of and demand resiscance. irs auronomous srrucwre. all rhe more strongly felc In other words,
for opportunities If wt assumt that the ltvel of demand and tht number of che more comprehensive a monopoly posirion becomes and_ rhe more_ highly
opporrun!ties remain unchanged overall in the course of the movement, the developed its division of labour, the more clearly and ctrrnmly dots 1r move
dtmand opportunities will increase with the shifr in the power relations; the rowards a point at \vhich its one or more monopoly rulers become the central
number of the dependents and the dtgret of thtir dtptndenct will increase and funcrionaries of an apparaws composed of differentiated functions, more power-
change in kind. If rtlarively independent social functions are increasingly ful than ochers. ptrhaps. but scarcely less dependent and fttrertd. This change
replaced by dependent ones in socitt}-for txample. free knights bv mar come about almost imperceptibly by small steps and struggles, or through
knighrs and finally courtiers, or relati\ely independent merchants by d.eptude;r wh;Jle groups of dependents asserting their social power over the monopoly rulers_
merchants and tmployees-rhe moulding of affecrs. rht srrucrurt of drives and by force: in one way or another the powtr tirsr won rhrough rhe accumulation ot_
consciousness. in shorr rhe wholt social personality structure and the social in private struggles. tends, from a poim marked by an oprimal size ot
attitudes of people art necessarily changed at the same rime. And chis applies no possessions. ro slip away from the monopoly rulers_ into the hands of dit
less to those who are approaching a monopoly posirion than ro those \\ho have dependents as a whole. or. ro begin with, ro groups of dependents, such as r_ht
losr rht possibility to compete and fallen into direct or indirect dependence. monopoly administration. The privately owned monopoly in che hands of a
_ .'i For this process should in no way be understood merely as one whereby single individual or family comes under rhe control of broader social strara. and
ftwtr and fowtr people become "frtt .. and more and more "unfree ... although transforms itself as the central organ of a start into a public monopoly.
some phases ir appears rn answtr this description. If the movement is as a The clewlopmenr of what \\e roday call a "national economy .. is an illustracive
whole. we .can recognize wirhour difficulty rhar-ac least in highly difftrtnriared example of chis proctss. The national economy dewlops from the .. private
socittits-dtpendence undergoes a ptculiar qualitative change at a ctrrain Staf!e tcononw .. of feudal ruling houses. i\Iort precisely. thtre is ar firsr no distinction
of the proci:ss. The more people are made dtptndent by die monopolv whar art later opposed as .. public .. and "private .. income and expenditure.
mtchanism. the gr.eater becomes the power of rht dependent, nor on]\- indi- The income of the central rulers derives primarily from rheir personal family or
vidually bm also collecci\tly. in relation to the one or more monopolis;s This domanial possessions: expenses for rhe ruler's courr, hunts, clothes or presents art
happens nor only because of rht small numbtr of chose approaching rhe mer from this income in exactly rht same way as the cost of the rtlativtly small
monopoly position. bm because of their own dependence on evtr more depend- administration. paid soldiers if any, or the building of castles . Then, as more and
ents in preserving and exploiting the power potential rhey have monopolized. more land comes rouether in rhe hands of one ruling house the management of
\vherhtr it is a question of land. soldiers or monev in anv form. rht more that income and the administration and defence of his property become
is accumulated by an individual. the less easily it bt supervised b\ this increasing!\ difficult for the individual ro supervise. Bur even when the direct
individual. and the more surely he becomes by his very monopoly on of rhe ruling house, irs domanial esrnre, are no longer by any means
increasing numbers of orhers. the mort he becomes dependent on his dependents. d1t most important source of tlie rultrs income: even when, wich che increasing
Such changes in power and dependence relationships often rakt centuries ro commercialization of sociecv, duries from the whole country flow into the
become perceptible. and cemurits more to find expression in lasting insrirucions. .. chambers' of rhe central ;uler: and when. with rhe monopoly of force. the
Particular structural proptrries of society may place endless obstacles in rhe way monopoly of land has become at the same rimt one of duties or raxes-e,en then
27.2 Tin Cirilizi11g Pn1cess Sutt For111ati1111 and Ci1ili::t1tion

the central ruler at first contrnuts to control this revenue as if it \\ere the
Iv l1e re ls rhe wei b"ht of these manv. intertwined actions and interests so great
personal income of his household I-fr can std! decide how much of it should b,, on-, en rhe few with monopolv control over immense possibilities cannot
rhar t\ -
spent on castles, presents, his kitchen and the court, and how much on '
escape irs pressure . , .
the troops and paying the administration. The distribution of the income frorn Social processes involving the monopoly mecharnsm are to bt round m many
t_he monopolized resources is his prerogative. On closer examination, however, We . s even those \virh relativelv- low division of functions
500 ene , . and integration.
.
find that the monopolist's freedom of decision is restricted more and more bv .. roo everv monopolv rends, from a certain degree of accumular10n
. 1
. t1e TI1ere, , . _ on-
_
immense human web that his property has gradually become. His dependence . ro escape the control of anv single individual and to pass into that of entire
00 war ds. . ,_, - - . .
his adm'.nistrative staff increases and, with it, the influence of the latter; the fixed - l o.,r0 uns frequentlv starting wirh the former government funcr10nanes, the
-ocia r- ' L. _

costs ot the monopoly apparatus constantly rise; and at the encl of this ".nrsr ser\anrs of rhe mono1)olisrs The process of feudalizarion is one example ot
' _ .
development the absolme ruler with his apparent! y unttstricred power is, to an -
r I11>.
Ir was shown earlier how, in the courst ot this process, control

over
extraordinary degree, governed by and functionally dependent on, the society he relatively large territorial possessions and military slips_ away from rhe
rules. His absolute smereignty is not simply a consequence of his rnonopoly ruler in successive waves, first to his former tunctionanes or their heirs,
control of opportunities, but the function of a particular structural peculiarity rhen ro rhe warrior class as a whole wirh its own internal hierarchy In societies
society in this phase, of which more will be said later. Bur however that mav with a lower degree of interdependence between social functions, this shift away
even the budget of French absolutism still made no distinction the from private monopoly control leads either to a kind of "anarchy", a more or less
"prirnte" and "public .. expenditure of the king. complete decay of rhe monopoly, or ro its appropriation by an oligarchy instead
How the transformation into a public monopoly finally finds expression in the of an individual dynasty. Later, such shifts in favour of the many do nor lead ro
budget is well enough known. The \\ielder of central power, whatever ride he a disimegration of the monopoly, but only to a different form of control o\er it
may bear, is allocated a sum in the budget like any other functionary; from it the OnlY in rhe course of a growing social interdependence of all functions dots it
central ruler, king or president, meets rhe expenses of his household or courr; possible to wrest monopolies from arbitrary exploitation by a few
expenditure necessary for the governmental organization of rhe country is strictly without causing rhem ro disintegrate, \Vherever rhe division of functions is both
separated from rhar used by inchiduals for personal ends. Prirnre monopoly rule high and increasing, the few who, in successive waves, claim monopoly power,
has become public monopoly rule. even when in the hands of an individual as the sooner or later find themselves in difficulry, at a disadvantage in face of the many,
functionary of society. through their need of their services and thus their functional dependence on
The same picture emerges if we trace the formation of rhe governmental them. The human web as a whole, wirh its increasing division of functions, has
apparatus as a whole. Ir grows om of what might be called rhe "private" court an inherent tendency that opposes increasingly strongly every private monopoliza-
and clomanial administration of the kings or princes. Practically all rhe organs of tion of resources Tht tendency of monopolies, e . g. the monopoly of force or
scare gowrnrnent rtsulc from the differemiation of the functions of rhe roval raxarion, to rurn from "privare" into "public" or "stare" monopolies, is nothing
housthold, sometimes with the assimilation of organs of autonomous other rhan a function of social interdependence. A human web with high and
administration. \Vhen this governmental apparatus has finally become the public increasing division of functions is impelled by its own collective weight rowarcls
affair of the state, rhe household of rhe central ruler is at most one organ among a state of equilibrium where the disrribmion of the advantages and revenues
others and finally hardlr even that from monopolized opportunities in favour of a few becomes impossible. If ir
This is one of the most pronounced examples of rhe way in which private seems self-evident ro us today that cerrnin monopolies, above all the key
property becomes a public function, and the monopoly of an individual-won in monopoly of government, are "public", held by the srare, although this was by
contests of elimination and accumulation over several generations-is finally no means the case earlier, this marks a step in the same direction. Ir is entirely
socialized. possible that obstructions may again and again be placed in the path of such a
Ir would rake us roo far afield to show here what is actually meant by saying process by rhe particular conditions of a society: a particular example of such
that the "pri\are" power of individuals over monopolized resources becomes obsrrucrions was shown earlier in rhe development of the old Germano-Roman
"public", or "stare", or "collective" power. As was said earlier, all these Empire. And wherever a social web exceeds a certain size optimal for that
expressions have their full meaning only when applied ro societies with extensive particular monopoly formation, similar breakdowns will occur. Bur the impul-
division of functions: only in such societies are the activities and functions of sion of such a human web rowards a quire definite structure, in which
each individual directly or indirectly dependent on those of many ochers, and monopolies are administered to rhe advantage of rhe whole figuration, remains
St.1!1: fiJmutio11 a11d Ciri!i:::atiiJ11 ns
perceptible, no marrtr whar factors may repeatedly intrude as
J ecre cl . ll ,1trecl
' of rheir de1Jendence and unfreedom, nosralgia '- for free knighrlv
mechanisms to arrest die process in recurrent siruarions of contlicc suo) on rhe one hand, and pride in rht self-conrrol rhey have acquirtcl, or
Considered in general terms, therefore, rhe process of monopoly formation in rhe new possibiliries of pleasure char ir opens, on rhe other. In brief
a \ery srrucrure. In ir. free comptririon ha: a precisely definable place and a is a new spurt in rhe civilizing process
posttffe tuncr10n- it 1s a srrugde among manv tor resources nor ver mono!)0 1ized rhrs - l. c l .. l t- cl .
. . LL L The next seep is the seizurt of rhe monopo res 01 p 1ys1rn orct an raxar10.n,
'.rny md1v1dual or small group. Each social monopoly is preceded by this kind all rhe other governmtnral monopolies based on them. by rht bourgtorsre.
ot tree el1mrnar1on conresr: each such comest rends towards monopoly..
The Iac rer was ar rhis srage a stratum which, in irs .rnralirv, , conrrollecl cerrain
As this phase of frte competition, monopoly formation means on one economic opportunities in rhe manner of an orgarnzed monopoly..Bur chest
hand rnt closure of d1recr access to cerrnin resources for incre1sin<' numb f
' o ers o opporn1111.ties were srill so evenlv. Sj)[tad _ among rts . mtmbers char relanvely. large.
people. and on rhe ocher a progressive cenrralizarion of rhe conrrol of of them could com1)ete treek \\!'hat d11s srrarum was srrugglmg with
num b ers .
resources. . . B, _rhis cenrralizarion. such resourcts are !Jlaced omside rhe d'irecr ' rrnces for and what it finallv arrained, was not rhe desrrucnon of monopoly
comptrmon ot the manv: in rhe exrreme case rhe\ are controlled b' a s I
me p ' . .
. . . . : ' ing e roe I T he bourueoisie b
did nor aspire co re-allocate these monopolies . of raxar10n
ennry. fhe Lurer, rhe monopolist, is never in a position ro use the profit i1nd military and police powtr to cheir own individual members; their members
from hrs monopoly for himself alone, parricularly in a society wirh a hi h did nor want to becomt landowners, each controlling his own milirnry means
division of functions. If he has enough social power, he may ar lirsr claim and his own income from rnxes. The existence of a monopoly for raising raxes and
merwhelming pan of rhe monopoly prolir for himself, and reward services with , ., rin"b rnlwsical violence was the basis of their own social existence; ir was the
cxer . _
rhe minimum needed for life. Bur he is obliged. jusr because he deptnds on the precondition for the restriction to economic, non-violent means. of rhe free
services and funcrions of ochers. co allocate ro others a large pan of the resources cornpetirion in which they were engaged with each orher for certain economic
he controls-and an increasingly largt part, rhe larger his accumulated possessions opporruniries. .
become. and rhe greater his dependenct on others, A new srruggle over the \Vhar rhey were striving for in rhe srruggle tor monopoly rult, and what they
:1llocarion of these resources therefore arises among those who depend on them. finallr attained was nor, as nored before, a division of rhe existing monopolies
Bm whertas in the preceding phase rhe comperirion was "free"-rhar is, its but ,; different disrribmion of their burdens and benefits. Thar conrrol of rhest
omcomt clependtcl solely on who proved stronger or wtaker ar a gi\en rime-it monopolies now depended on a whole class instead of an absolme prince was a srep
now depends on rhe funcrion or purpost for which rhe monopolise needs the in rhe clirecrion jusr described; it was a srtp on that road which led the opportun-
individual co supervise his dominion. Free comperirion has been replaced bv one ities given by this monopoly to be allocartcl less and less according co rhe
thar is conrrolled, or at any rare conrrollable. from a central position by personal favour and inreresrs of individuals, bm increasingly according co a more
agenrs: and the qualities rhac promise succtss in chis restricted comperirion, the impersonal and prtcist plan in the inreresrs of many inrerdependenr assocrares,
selection ir operates. the human types it produces, differ in rhe exrreme from and linalh- in the interests of an entire interdepencltnt human figuration.
those in the prectding phase of free comperition. fo orhe,r words. through centralization and monopolizacion. opportunities char
The diffe-rence berween che situation of rhe free feudal nobilin and char of the previously had co be won by individuals through milirary or economic force,
courtly nobiliry is an example of this. In rhe former. rhe social power of the could now become amenable co planning. From a certain point of development
individual house. a function of borh irs economic and military capacity and of on, rhe struggle for monopolies no longer aims ar rhtir destruction; it is a
rhe physical srrtngrh and skill of rhe individual. determines rhe allocarion of struggle for control of rheir yields, for che plan according to which rheir burdens
rtsources: and in this free comperirion rhe dirtct use of force is indispensable. In and benefits are co be cliviclecl up, in a word, for the keys ro distribution.
rhe larrtr. rht allocation of resources is linallv determined b, rhe man whose Distribution itself, rhe rask of rhe monopoly ruler and adminisrrarion, changes in
!must or whose predecessors have emerged viccoriously the struggle by this stfll"''le from a relatively- j)fivare co a 1x1blic function Irs dependence on all
bb
violence, so char he now possesses rhe monopoly of force. Owing co this the other functions of rht imerdepenclenr human network emerges more and
monopoly, rhe direct use of force is now largely txclucltd from rht competition mort clearly in organizational form In rhis enrire srrucrure rhe central function-
among rhe nobility for the opporruniries rhe prince has co allocate. The means of aries are, like everyone else, dependent. Permanent institutions co control rhem
struggle have been refined or sublimated. The rtsrrainr of rhe affects imposed on are formed by a greater or lesser portion of rhe people dependent on this monopoly
rhe individual by his dependence on the monopoly ruler has incrtased. And appararus: and conrrnl of rhe monopoly, che tilling of its key posirions, is itself no
individuals now waver between resisranct to rhe compulsion ro which rhey are longer cleciclecl by rhe \icissirudes of "free" competition. but by rtgularly
276 Th1: Ciz'ilizing Process Sut1: Fom1c1tio11 and Ciri!i:atio11 277

recurring elimination contests wirhom force of arms, which are regulated bv _duallv increase their control of economic advantages while destroying,
Qfi:l . . . . . -
monopoli;, apparatus, and thus bv- "unfree" competition. In other words ' ,.,,1 a'
, 1, t We v" b"ecrin" or resrnctmg the economic existence ot others.
SLl .J "' .
are accusromed ro call a "democratic regime" is formed. This kind of regime is But rhese economic struggles of our day do not only lead betore our eyes ro a
nor-as simply looking ar certain economic monopoly processes of our tirne constant restriction the scope for really "monopoly-free .. competition and ro
might make it appear-incompatible with monopolies as such and dependent fo the slow formation ot monopolistic srrucrures. As has already been 111d1cared,
- - . r
its existence on the freest possible competition. On rhe contrary ir presupposes rhey actually presuppose the secure existence of_ certain very advanced
highly organized monopolies, and it can only come inro being or Sur\'i\'e under monopolies \Virhour the monopoly organization ot physical violence_ and
certain conditions, in a very specific social structure at a \'try advanced stage of HLX
ati"on ' limited at 1)[esent ro national boundaries, the resrricrion ot this
formation. "de for "economic" advantaiJ;es
st ruco <-
ro the exertion of "economic" power,
_
and the
Two main phases can thus be distinguished in rhe dynamics of a monopoly maimenance of irs basic rules, would be impossible over any length ot time even
mechanism, as far as we are at present able ro judge . First, rhe phase of within individual srnres. In other words, rhe economic struggles and monopolies
competition or elimination contests, with a tendency for resources rn be of modern rimes occupy a particular position within a larger hisrorical context
accumulated in fewer and fewer and finally in one pair of hands, rhe phase of J\nd only in relation ro this wider context do our general remarks on rhe
monopoly formation; secondly, rhe phase in which control over the centralized mechanism of competition and monopoly rake on their full meaning. Only if we
and monopolized resources rends to pass from the hands of an individual ro those bear in mind the sociogenesis of these firmly established "state" monopoly
of ever greater numbers, and finally to become a function of rhe interdependent institutions-which during a phase of large-scale expansion and differentiation,
human web as a whole, rhe phase in which a relatively "pnvare monopolv no doubt open rhe "economic sphere" ro unrestricted individual competition,
becomes a public one. ' and thus ro new private monopoly formations-only then can we distinguish
more clearly amidst the multitude of particular hisrorical facts the interplay of
Signs of this second phase are nor lacking even 111 societies with a relatively
social mechanisms, rhe ordered structure of such monopoly formations
low division of funcrions. Bur, clearly, it can only attain its full development in
How did these "stare" monopoly organizations come robe formed; \Vhar kind
societies with a very high and rising division of functions
of struggles gave rise to them;
The orerall movement can be reduced ro a very simple formula. Its srarting
Ir must be enough here ro follow these processes in rhe hisrory of rhe country
point is a simarion where a whole class controls unorganized monopoly
where rhey rook their course most undeviatingly, and which, partly as a result of
oppormniries and where, accordingly, rhe disrriburion of these opportunities
this, was for long periods rhe foremost power in Europe, setting rhe example for
among rhe members of this class is decided by free competition and open force;
others: France . In so doing we must not shy away from derails: otherwise our
iris then driven towards a situation where the control of monopoly opportunities
general model will never rake on rhe wealth of experience without which ir
and those dependent on rhem by one class, is cenually organized and secured bv
remains empty-just as wealth of experience remains chaotic to those unable ro
insrimrions; and where rhe disuibmion of rhe yields of monopoly follows a
perceive order and structures within it
that is nor -exclusin:ly governed by rhe interests of single individuals or single
groups, bur is oriented on rhe overall network of interdependencies binding all
participating groups and individuals ro each other and on irs optimal function-
IV
111g For in rhe long run rhe subordination of the quest for the optimal
Early Struggles within the Framework
functioning of the overall network of interdependencies ro the oprimarion of
sectional interests invariably defeats irs own end. of the Kingdom
So much for the general mechanism of competition and monopoly formation. \Virhin the former western Frankish terrirory there was a very high
This schematic generalization rakes on its full significance only in conjuncrion probability, in accordance with rhe inherent tendency of rhe monopoly
with concrete facts; by them ir must prove its worth. mechanism, that sooner or later one of the rival warrior houses would gain
\Vhen we rnlk of "free competition" and "monopoly formation" we usually predominance and finally a monopoly position; and that in this way rhe many
have present-day facts in mind; we think first of all of a "'free competition" for smaller feudal territories would be welded into a larger uniL
'"economic" advantages waged by people or groups within a given framework of That ir would be this particular house, the Caperians, who emerged as vicrors
rules through the exertion of economic power, and in rhe course of which some from the elimination struggles, so becoming rhe executors of the monopoly
St . rfl Fon11t1fi{)il cnul Cirili::t1tion T'9

mechanism, was ac first far less likek even rhmwh a number of hcrors 1:1,, region, large or smalL was rht possession of a warrior family, what primarily
. . . . . c . ' , ouring
this house can be readtlv discerned. It can be said chat 1r was only the course decided the composition of a ttrrirorial unit was the vicwries and defears, rhe
rhe Hundred Years' \Var chat conclusivtlv decided wlierhet rhe dtscrndi .a''ts J)LlfChases and sales of this famih;
n1arrl c '
and the shifrs in hegemonv over a
. . 'nts of ._,
the Capeuans
.
or of anorhtr house were to become rht mono1xilisrs . .
or art<! were: considerable:.
rulers of rht emerging state. Going from south w north we first see. north of the county of Barcelona, chat
Ir _is not unimporram to bear in mind rhe difference berwten rhese two is, north of the Pyrenees, rhe duchy of Gascony extending ro the region of
qutsr10ns, berwe_en rhe general_ problem of monopoly and state frirmarion, and Bordeaux and rhe county of Toulouse. Then. to mention only the larger units.
rhe more specdic quesuon . of why this particular house won and rerained come che duchy of Guyenne. i.e. Aquitaine, the county of Anjou, the seat of the
hegemony. Ir 1s with rhe former rarher rhan rhe Janer char we have bee second Franco-English royal house, rhe counties of Maine and Blois, rhe duchy of
concerned and are still concerned here. n Normandy. sear of the first Franco-English royal house. the counties of Troyes.
The first shift wwards monoi)oh. afrtr the ueneral Jevellinu of jJrop Vermandois and Flanders, and finally, between rhe Norman dominions-the
. . . . c c . etty
relat10nsh1ps that earned on mro rhe remh and even the eleventh cemurv h coumies of Blois, Troyes and ochers-the small domain of the Capetians. the
b n as
. een sketched above. Ir in\'olved rhe formation of a monopoly within rhe duchy of Francia Ir has already been emphasized char this small Caperian
frame:vork of a rerriwry. \'</irhin this small area the firsr elimination conrests dominion did nor constitute, any more than other terriwries, a complete unity in
were fought. and in chem the balance firsr moved in favour of a few and finallv the geopolitical or military sense of rhe word . It was made up of two or three
of a single comesrnm . One house-for a house or family is always the social fairlr large adjoining regions. the Isle de France, Berry and rhe Orleans regions.
char asserts itself. not an individual-won so much land char rhe mhers could no as well as scattered smaller possessions in Poitou. in rhe south, and in rhe most
longer march its military and economic srrength. As long as there was a diverse pares of France, rhar had come inw the possession of rhe Caperians in one
possibiliry of competing wirh it. rhe relarionship of liege lord w vassal was more way or anorhers'
or less nominal. \\/irh chis shifr in social power it wok on a new realin-.. A new _) In most of rhtse terriwries at rhe rime of Louis VI. rherefort, a particular
dependence of many houses on one was esrablished, even rhough, in absence house had gained predominance over the ochers by accumulating land. Conflicts
of a highly developed ctmral apparaws, it lacked both the cominuirv and berween these princely houses and rhe smaller nobility within rhe dominion were
strength that it later had in the framework of the absolutist regime. . consrnndy flaring up. and tensions between chem long remained perceptible
It is characteristic of the rigom with which this monopoly mechanism Bm rhe chances of successful resistance by the smaller feudal houses were no
operated that analogous processes were taking place at approximately the same longer great. Their dependence on the liege lord or territorial ruler of the rime
rime in practically all the terrirories of the western Frankish region. Louis VI. slowly became more evident in the course of the eleventh century. The monopoly
Duke of Francia and in name the King of rhe whole region. was. as we have position of the princeh- houses within their terriwrits was now only seldom
pointed out. only one rtprtsentarin: of this stage of monopoly formation. shaken. And what from then on characterized society more crnd more was the
2 . If we look at a map of France in the period about 10_).2. we have a clear struggle berween these princely houses for predominance in a larger area. People
impression of the political fragmentation of the region into a multitude of greater were driven into these conflicts by rhe same compulsions as in rhe previous srnge:
and lesser ttrriwries"' \Vhar we have in from of us is certain!\" not \"tt the when one neighbour grew larger and thus stronger, the other was threatened
we know This emerging France. the former western region, was with being overpowered by him and made dtptndenc; he had w conquer in order
bordered w the south-east by the Rhone; Aries and l\ons la\" outsid; ir in the nor to be subjugated. And though w begin with crusades and wars of expansion
kingdom of Bmgundy; also outside it ro the north lay. the of present-day to some exrem reduced tht internal pressure. this grew all rhe more intense once
Toul, Bar le Due and Verdun, which belonged, like the areas around Aachen, the chances of outward expansion had diminished. The mechanism of free
Antwerp and, further north, Holland. w the kingdom of Lorraine. The tradi- competition operated from now on within a more confined circle, namely
tional eastern and northern frontier of rhe former western Frankish region runs between those warrior families which had become the central houses of rerri-
deep within present-day France . But neither this frontier of the nominal rories.
Capetian empire nor the borders of the smaller political units within it had at -i The Norman Duke's conquest of England was, as wt have memioned, one
that rime quire the same function or fixity as present-day scare frontiers. of the expansionist campaigns characteristic of this time, one among many. Ir too
Geographical divisions. river rnllevs..
and mountain ranues
b '
t0"tther
b
with lin"uis-
b
bore witness to the general hunger for land char afflicted the growing population.
tic differences and local traditions. gave rhe frontiers a certain stability. Bur as particular!\' rhe warriors, whether rich or poor.
280 Tht Ciri!i::i11g Procus Statt Fm111t1tion and Cil'i!ization 281

Bm this enrichment of the Norman Duke, this enlargement of his mili't , blv weaker than its rival, which controlled land and people across the sea.
. . ary rioricea , - . . . . I
an d fi nanc1al resources, was a grave disturbance ro the jJrevious equil b , VI was deteared in practically every battle with l11s English nva , even
L. _ 1 nurn loUIS . . . . - . . If
between the ternronal rulers ot France. The full extent of the shift did ah rhe latter did nor succeed rn penemm ng rhe tern rory ot F ranua 1rse .
!. . d. l - l nor dioub . . . . - . fi' cl I . lf l, .
oecome 1mme iate y apparent; for t 1e Conqueror needed time ro orwm 1 h' , '"S rhe s1tuat10n rn wl11ch the ruler of Francia con ne 1imse ro en .ugrng
. . . . . b' ze 'f]J1s w.- . . _ . . . .
power w1th1n his new domrn10n, and even when this had been done the th the basis of l11s power, his family property, and ro breakrng rhe res1srance of the
. . . . .
emammng from this aggrandizement of the Norman dukes ro other terr _ lier feudal lords within or between his rernrones. In so dorng he was
. . . .
rulers, given the low 1ntegrat10n of the western Frankish territories, first d ,rna. r'in" his house for rhac great struggle, for chose centuries of conflict for
prep,1b _.
itself felt only in the direct vicinitv of Normandv i.e. in norrhern France mah e '1C\' in rhe former western Frankish reg10n, rn the course ot which more
- -' , rat er supre n1, , . . . - .
than further south. Felr ir was, however, and most directlv br the house wi'th d more territories grew rogether rnro a srngle bloc 111 the hands of a srngle
. . . - tne an . . l. l
rradmonal claim _ro predominance in rhe area neighbouring .__ Nornnnd\
, .. t o rhe warn 0 r [1ouse , a srruugle a._ in which from then on all the ocher _ tens10ns wit 1rn t 1e
ease, the house of the dukes of Francia, rhe Caperians. Ir is nor unlikely chat the
rec-ion bec, ,1n1e more or less entanuled-rhe
o srrub<>gle
._ for rhe French crown
threat from his stronger neighbour was a powerful factor impelling Louis VI in b:Cween rhe rulers of the Isle de France and the rulers of rhe English island.
rhe direcnon that he adhered to tenaciously and energetically throughout his life 5. The house char rook up rhe struggle with the Capetians when \\!illiam the
his urge to consolidate his power and defeat any possible rival within his Conqueror's family extinct was that of the Plantageners. Their famdy
rernrory. dominion was Anjou, 8 ' likewise a region neighbouring Francia. They made rhe1r
That he. rhe nominal king and liege lord of rhe western Frankish region was wav upwards at about rhe same rime as the Caperians, and in almost the same
in fact, in keeping with rhe size of his possessions, far weaker than his vassal and rn;nner. As in Francia under Philip I, so in neighbouring Anjou under Fulk, the
neighbour, who now as ruler of England likewise wore a crown, was apparent in Counts' acwal power in relation ro their vassals has become very slight. Like
every conflict between chem. Philip's son, Louis VI, the Fat, Fulb son, Fulk the Young, and his son, Geoffrey
\\!illiam the Conqueror, because he had recently conquered chis island Plantagenet, slowly subdued the smaller and medium-sized feudal lords in their
territory, had had the chance to create what was for his time a fairly centralized domain; and they. coo, thus laid the foundation for further expansion.
governmental organization He distributed the land in a manner intended as far In England itself, at first, the reverse process rook place, showing the
as possible to prevem the formation of houses and families as rich and miulwr as mechanisms of chis warrior society from the ocher side . \\!hen Henry I, \\!illiam
. b J
I1is own, chat might become rivals. The administration of the English central the Conqueror's youngest son, died without male heirs, Stephen of Blois, the son
ruler was the most advanced of its rime; even for money revenues rhere was of one of William's daughters, laid claim ro the English throne. He gained the
already a special office. recognition of rhe secular feudal lords and the Church; but he was himself no
_The army wirh which \'Villiam had conquered the island consisted only in part more rhan a medium-sized, Norman feudal lord. His personal property, rhe
of his feudal rerainers, the resr being mercenary knights driven bv the same desire family power on which he had ro depend, was limited. And thus he was fairly
for new lands. Only now. after the conquest, was rhe Norman treasury large impotent in rhe face of rhe other warriors, and also the clergy, of his region. \\!irh
enough to engage paid soldiers; and quire apart from rhe size of their feudal his accession ro the throne. a disintegration of governmemal power on the island
following, chis mo gave the island rnlers military superiority over rheir immediately set in. The feudal lords built castle upon castle, mimed their own
continental neighbours. Louis rhe Far of Francia could nor afford this any more money, levied raxes from their own regions; in short, they rook over all the
than his predecessors. He had been accused of being covetous, seekinu bv every powers char hitherto, in keeping with their superior strength, had been a monop-
means at his disposal to rake possession of money.. In face ir was at this olv of rhe Norman central rulers . Furthermore Stephen of Blois committed a
rime, as in many periods when money is relatively scarce and the disproportion of blunders, alienating the Church in particular, rhar a stronger man might
between what is available and what is needed particularly keenly felt, char an perhaps have been able ro afford, but not one needing the help of ochers. This
urge or "greed" for money was particularly prominent. But Louis VI did indeed helped his rivals.
find himself in particularly difficult srrairs in face of his richer neighbour. In chis These rivals were the counts of Anjou . Geoffrey Plantagenet had married the
respect, as in rhe question of organization, centralization and rhe elimination of daughter of the last Norman-English king. And he had the power ro back the
possible internal rivals, the island terrirory set an example char continental rulers claim he based on this marriage. He slowly gained a foothold in Normandy. His
had to follow if they were nor to succumb in the struggle for supremacy. son, Henry Plantagenet, united Maine, Anjou, Touraine and Normandy under
Ar rhe beginning of the twelfth century, therefore, rhe Capetian house was his rule. And with chis power base he could undertake to reconquer rhe English
282 Y ht Cil'i/i::,i11g Proccu Sit!!<: Fomhllion dllcl Chili::dtiu11 28.'>

dominions of his grandfather as the Norman Duke had done before him. In ,,eneml hunger for land, one house constantly drove another to unire with
1 0
he crossed the Channel, In 11 ):i, at the age of rwenty-two, he became kin,,
or to seek "more land ' manifests itself clearly enough in these formations.
a king who, by virtue both of his military and financial power, and it from the south. a broad band comprising the whole of western France now
personal energy and talent, became a strong centralizing force Two Year ro the Plantagenets dominion. Formally the king of England was
prev1ouslv, moreover, he had become rhrou(ih his m1rriane with the he s to rhe Capetian kings in respect of this mainland area. But "law" counts
. . . ' a 1ress of
AquHarne, the ruler ot this region in southern France. He thus combin cl . . l. rle when ir is nor backed b\ corresponding social power.
. . . e With for it . .
his English lands a temrorY on the mainland beside which the C11)etian l .
When in 11 "'i Louis VI's successor, Lorns VII of Francia, now an old and
. , ' . aoma1n
appeared small indeed. The question whether the western Fnnkish ter .
. ' tveary. n1"" 1n held a meetin<' with the represenrntive of the rival house, Henry II,
_ o .
\\'ere_ robe 1ntegrmed around the Isle de France or Anjou was wide open England ,. u
r1e
! f 0 1
1"o King.__, ot England,
._, he rolcl him:
itself was conquered temrory and to begin with an object of politics rather

-
a subjecr "' Ir was-if one will-a semi-colonial part of the loose federation of Oh Sire. sinct: tht: beginning of your reign and earlier you htl\"t heaped nutragts upon
western Frankish territories. me. mimpling underfoot the loyti!ty you owed mt and the homage you havt done me:
The distribution of power at that time bore a distant resemblance rn tl and of all these outrages the gravest and mosr flagrant is your unjust usurpation of
. . . -
currently ex1strng rn the Far East . A small island territory and a dominion ma Auwrgne which you hold to the detriment of the French Crmvn. To be sure, old '.1ge
. . . .
is on my heels and robs me of the strength to recover this and other lands: bur before
nme_s its size on the Contrnent were under one rule. The whole southern part of
God. before these Barons of the Realm and our loyal subjects. I publiclv protest and
rhe former Capetian realm belonged to it. The chief southern area not belongin"
uphold the rights of my Crown. most notably to Auvergne. Berry. and Chateauroux.
ro the Plantagenet dominions was the county of Barcelona. Its rulers were
Gisors and the l\:orman Vexin, beseeching the King of Kings who has gi,en me an
up 1l1 a similar expansionist movement and had become kings of Aragon
heir. to accord to him whac he has denied ro me . '
likewise on the basis of marriage. Slowly, and at first almost unnoriced, rhe;
disengaged themselves from rhe union of wesrern Frankish territories. Vexin-a kind of Norman Alsace-Lorraine-was a contested borderland
Also outside the Angevin-English dominion in the south-apart from a becween the domain of the Capetians and che Norman dominion of the
smaller clerical territory-was the county of Toulouse. Its rulers, like smaller Planrngenets. Further south the frontier between the Capetian and Angevin
lords north . of the Aquirainian region, began, in face of the threatening dominions ran through the Berry region. The Plantagenets were clearly strong
supremacy ot the Angevin realm. ro incline towards the rival power centre, the enough already ro seize parts of the Capetian domain. The struggle for supremacy
Capetians. The characteristic power balances found in figurations such as these berween Capetians and Plantagenets was in full spate; and the Angevin ruler was
tend always ro determine the conduct of people in the same way; in the smaller still far stronger than the ruler of Francia.
sphere of the western Frankish terrirorial federmion. their was little Accordingly. the demands the Capetian made of his opponent were really very
different from that determining the politics of srntes in modern Europe for mocksc; he wanted w be given back a few pieces of land that he counted among
example, and even. incipiently, across the whole globe. As long as no absolmelv his own dominions . For rhe rime being he could comemplace norhing more . The
dominant power has emerged. no power that has unequivocally outgrown ah glory of the Angevin rule and rhe pauciry of his own he fully realized ... \Ve
competition and taken up a monopoly position, units of the second rank seek ro French," he once said, comparing himself with his rival, "have nothing bur
form a bloc against the one which, by uniting numerous regions, has come bread, wine and comentment.
closest to the position of supremacy. The formation of one bloc provokes another; 6. Bur this manner of ruling did not yet possess great stability. It was in fact
and however long this process may oscillate back and forth. the system as a whole a "private enterprise .. ; as such it was subject to the inherent social dynamics of
tends ro consolidate larger and larger regions about a centre, to. concentrate real a scruggle berween freely competing units, which in any given case was much
power of decision in ever fewer units and finally at a single centre more srrongly influenced by the personal capacities of the competirors-their
The expansion of the Norman Duke creared a bloc which displaced the age, rheir succession and similar personal factors-than were polirical formations
balance in his favour at first in northern France. The expansion of the house of of a later phase, when not only the person of the owner of the monopoly bm a
Anjou built on this and rook a step further; the bloc of the Ani..:evin realm called certain division of functions, a mulriplicity of organized interests and a more
into question the equilibrium of the whole western FrankishL region. However srable governmental appararus, held together larger units.
loosely connected this bloc may have been, however rudimenrnn- the centralizing In 1189 a Capetian again confronted the Plantagenet. Almost all the conrested
government within it, nevertheless the movement by which, the areas had in the meantime been won back ro Capetian rule . And now the
284
St,ltc F11n1wt ion t111d Cil'i li=dt ion 285

Plantagene[ was an old man, [he Caperian younger; he was Louis VHs . ran[ parts of Poitou and Saimonge; Arrois. Valois, Vermandois; region
Philip II, surnamed Augustus. Age, as noted above. meam much in a !lllpor d a lar"e part of rhe region around Beauvais "The lord ot Pans and
an o ,.ss
where the incumbem of power is nor yet able ro delega[e milirarv has become the greatest lord _in He had
where very much depends on his personal initiative and where he m.usr "rhe Caperian house the richest family 111 France His domarn had
cl e fen cl 111
person Hemv II, personallv a S[ronu ruler who srill J 1s [Ile canackor
. . . . . . o 1' ontro] of outlets to rhe sea. In other territories of northern France, in Flanders.
his large doma111s securely 111 his hands, was now plagued-along wi[h . Bur"undv and Brirrany, his influence was increasing in propornon
Champagne, "" . . . .
[ht rebellions and even rhe haued of his eldest son Richard, surnamed C . . . And even in rhe south he alreadv. controlled a nor rnconsiderable
. . oeur-de- to his po\\ er.
lion. who somenmes even made common cause against his father wirh the
Capen ans
Caperian dominion was still anything but imegrated _territory
Exploiting [he weakness of his adversan-. PhilijJ Au"usrus rook bick A .ou and rhe Orleans reuion lay [ht doma111 ot the Count of Blois. In
.. o ' uvergn Berween AnJ ' . . o . . _ . . "
and the parts of Berry memioned by his One momh after rhey faced rhe coastal districts around Sarnres and, turrher eas[, All\ er0 ne, \\ere as
other at Tours, Hemy II died at rhe age of tifry-six. rhe sour l1 -
1
yer scarce l ), connected to rhe northern regions. Bur rhe la([er, the .old tami y
In 1193-Richard the Lion Heare lying in prison-Philip seized the long. 'domain tog ether with Normandv. and new!;. conquered areas srrerch111g beyond
. .. .
comesred Vex111. His ally was John, the younger brother of rhe prisoner..
Arras to rhe north ' alreadv '
constituted a fairlv u111fied bloc 111 a purely
In 1199 Richard died. Both he and his brother and successor John, who was
geographical sense . .. .. . . .. , . .
soon to be John Lackland, had squandered much of the basis of rheir powe h Even Philip Augustus did not yet have France rn our sense rn \ ie\\, and his
f 1 . r, r e
am1 y possess10ns and treasure of their father.. Facing John as his rival, however on \\"lS
reaI cl om111i ' nor rhis France
' \\/hat he aimed at above all was .the tern
. tonal,
..
was a man who had felt to rhe quick rhe whole humiliation and consrricti : roilirary and economic expansion of his family power and [he sub1ugar10n ot its
. oom
Capenan power by rhe growth of rhe Angevin-English, and whose whole energy, most dangerous competitors, the Plantagenets. In both aims he succeeded.
snrred by this expenence, was channelled in a sin"le direction more land On Philip's death rhe Caperian dominions were roughly tour nmes as large as at
o , more
power. More and ye[ more. He-like the first Plantagenet before him-was his accession The Plantagenets, by contras[, who had lived hitherto more the
obsessed by [his \Vhen John Lackland enquired whe[her he might not cominem rhan on rhe island-and whose administration in England 1rselt was
have back some ot the land lost to Philip for payment, Philip ans\vered bv askin made up as much of continental Normans and people from their other mainland
if he did nor know anyone else willing to sell land; he himself would bu; possessions as of natives of the island-now co_ntrolled on rhe ma111land merely
mo:e. And a[ this nme Philip was already a man rich in land and power, a part of rhe former Aquitaine, the area north ot the central and Pyrenees_
_Clearly. this_ is nor_ yet a S[ruggle between scares or nations . The whole hiswry along [he coast as far as the Gironde esruary under r_he name ot rhe. duchy ot
ot the tormar10n ot later monopoly organizations, of nation stares, remains Guvenne; apart from rhat there were a few islands off rhe coast of Normandy.
incomprehensible umil rhe special character of rhis preceding social phase of balance had shifted against them. Their power had decreased. But thanks ro
"prirn[e initiative"_ has understood. This was a struggle between competing [heir island dominion it was nor broken. After a rime the balance on
or nva[ houses whICh, following a general movemem of this socierv, drove each mainland shifted back in their favour. The ourcome of this struggle tor
O[her, first as small and then as larger and larger units, ro expand ,;nd strive for he,emonv in the former western Frankish area long remained undecided. Ir
more possessions.
ap;ears ri1ar Philip Augustus regarded as his chief rivals after the Planrngeners
The Bartle of Bouvines in 1214 provisionally decided rhe issue John of the counts of Flanders; and cha[ a new power centre had rndeed come 111ro
and his allies were defeated by Philip Augustus And as so often in exis[ence there is shown by the whole subsequent history of France. Philip is
teudal warrior society, defeat in an external battle meant an internal weakening reputed to have once said [hat either Francia would become Flemish or Flanders
as well Rerurning home, John found [he barons and clergy in revolt, and their French . He cerrainlv did nor lack awareness that in all these conflicts among the
demand was the Magna Carra Conversely, for Philip Augusrus tl1e victorv in the lesser territorial what was at issue was supremacy or the loss of
foreign war strengthened his power within his dominion. . independence. Bm he could still imagine Flanders equally well as Francia as
As his father's heir, Philip Augusrus rook over essentiallv rhe small inland dominating die whole area.
district of Paris and Orleans, together with parts of Be;ry. He added-to 7 Phili; Augustus' successors at first held firm to rhe course that he had set:
mention only his major acquisitions-Normandy, then one of the larges[ and [hey sounhr to consolidate and further extend the enlarged dominion. No sooner
nchesr territories in the whole realm; [he regions of Anjou, Maine and Touraine; wa; Phifip Augustus dead rhan rhe barons of Poirou turned back to the
280 '[he

Plamageners. Louis VIII. Philip A.ugusrns son. stcurtd rhis region afresh for ro this poim a cominuous efforr had been made in more or less the same
own dominio_n. as ht did Sainrnnge._ Aunis_ and Langutdoc, pan of Picardy and . throughour generarions: ro accumulare land Ir must bt enough here ro
direcnon ' ' - . -- , . . -
rhe coumy of Ptrcht. Pardy rn rhe torm of a religious war. rhe srruggle "rize rhe results or this ettorr . Nonetheless. even this summar)- t\en the
-un1rn,. . .. -
rht hererics. rhe Caperian houst began rn adrnnce somh inro thP " . min" of rhe manv lands which step by step were brought together, !:'1\ to
niere n,i "' . . . . _ .
sphere of rhe only grtar rerrirorial lord in rlmr parr who could. beside th. n idt:<l of the perpetual. open or concealt:cl S[[uggle 111 wh1d1 the rnnous pr111cel:
. l r l1e powtr of- rhe Captrians. rhe domain of rhe counrs f
Pl amageners, nva a
houses \\,,,re c
enuiued md in which one of these houses atrer another. conquered
c .. c . ' - - .
Toulouse bv one more powerful. disappeared . \Vherher or_ nor one rully _ real1.zes rhe
Tht nexr Caperian, Louis IX. rhe Saine had once again rn prorecr his of rhese names. they g1\'t an 1mpress10n ot rhe S[[engrh or the impulse
1!1' /::' - . . l l . l
conglomerared possessions against every kind of inrerna] and exrernal arrack. At . n,, from the social sirnarion or the Capet1a11 house. an 1mpu se w 11c 1
ernanan "' . . -- . . . .
rhe same rime he wtnr on building. uni ring parrs of Lmguedoc norrh-east in the same direction rhrough such w1deh cl1Henng 111d1\'1duals
Pyrtnees. rhe counries of M<,lcon, Clermonr and Morrain. and some smaller areas At rht death of Charles IV. che lasr Capetian who came rn the throne in direcr
with his family possessions Philip III. the Bold. seized rhe coumy of Guine; .- .10 n rht "rtat French Ca1x:tian dominions-i e the complex grouped
success . v _ _ _
between Calais and Saim-Omer, only ro Jost ir rwehe years larer rn rhe heirs of direcdy around rhe duchy of Francia-exrended trom Normandy 111 the wesc ro
rhe Coum. He acquired through purchase or promise of protection every minor \!1t in rhe east and rn the river Canche in the north; the Arro1s reg10n.
Cl1an11)'t:- _
possession in his vicinity that offered itself; and he prepared rhe assimilation of adjoining chis to the north. had been given away as an apanage ro a member
Champagne and rhe great rerrirory of Toulouse inro the dominions of his house. the family. Somewhar furrher somh-separated by rhe apanaged region or
There was by now scarcely a single terrirorial rultr in the whole western Anjou-rhe counry of Poiriers was pan of rhe area direcrh- comrolled by the
Frankish area who could. wirhom allies. srnnd up ro the Caperians. with the Paris princes: still funher somh che coumy of Toulouse belonged to them. as did
exception _of the Planragenets. The latter. rn be sure. were no less preoccupied parts of the former duchy of Aquiraint All this already consrirmed a mighty
rhan rhe Capetians with enlarging their sphere of power . On the conrinenr their of lands: bm it was nm ytr a cohesi\'e region. Ir srill had rht typical
rule had once again extended beyond the duchy of Guyenne. Across rhe sea thev appearance of a territorial family domain. rhe individual parts held
had subdued \Vales and were in the process of conquering Scotland. They still to<editr less by their reciprocal dependence. or through any d1v1s10n or tuncuon,
had possibilities of expansion that did not lead ro a direct collision wirh the b\ rht person of rhe owner. through "personal union". and the common
Caperians. The latter. roo. srill had scope for expansion in other directions. At the aclmini.s[[ative cenrre. The separate iclenrity of each region, the special inrerescs
rime. under Philip the Fair. their dominion was expanding to rhe frontiers and character of e1ch terrirory. were still very srrongly felr.. Howe\er. their union
or the Germano-Roman Empire. on one side as far as the Maas. which ar that under one and the same house and partly under the same administration, did
was usually considered as the natural and-in remembrance of the partition remo\'t a whole series of obstacles in rhe wa\' of fuller inregration. Ir corre-
or the Carolingian Empire in 8ci_)-the traditional fronrier of rhe wesrern snoncltd w the tendencv towards an extension of rradt relations. the intensificc-
Frankish area: on the other side-further somh-it exrended as far as rhe Rhone rion of links bevond local lewl. which was already discernible in small parts
and rhe Saone. rhar is. as far as the regions of Provence. Dauphine and rhe counry of rhe urban even though rhis tendtnc\ did not play remotely rhe
of Burgundy. which likewise did not belong ro the traditional contederation same role as a clri\'ing force in rhe union or expansion of princely houses as it
\\esrern Frankish terriwries . Through marriage Philip acquired Champagne and Dla,ed later, in rhe nineteemh cenrury. for example. at an enrirely differenr sragt
Brie wirh nuny annexed areas. some of them in the terrirnn of rht German- in dtvelopmtnr of urban bourgeois S[[ara Here. in the tltvemh, twtlfrh and
Roman Empire itself From rhe Coum of Flanders he obtained. the dominions of rhirceemh centuries. rhe srrugglt for land. the rivalry between an ever-smaller
Lille, Douai and Bethune; the counry of Chartres and the esrnre of Beaugenc\' he number of warrior families. was the primary impulse behind the formarion of
rook from the counrs of Blois. In addirion he acquired the coumies of territories. The initiative lay with the few rising warrior families, the
and Angou!eme. the ecclesiastical properties of Cahors. Mende and Pur, and prtncely houses; under their protecrion the rowns and rracle f-lourished. Both
further south the counry of Bigorre and the viscounrcv of Soult . profited from rhe concentration of power: no doubt they also comribmed to it,
His three sons. Louis X, Philip V and Charles IV.. died ont after rhe other as will be discussed larer. And quire certainly urban strata, once larger regions
withom leaving a male heir; the family possessions and crown of the Capetians were uni red under one rule. played an imporranr part in tht consolidation of a
passed rn a descendam of a younger son of the house who owned the counn of rerrirorial union even ar this rime. \Virhom the help of the human and financial
Valois as an apanage. , resources flowing rn the princes from urban strata and growing commercializa-
28H The Cil'i/i;:;ing Pron:JJ Stato: For111atin11 and Ci1ili::.c1tio11 289
non. neither rhe expansion nor rhe governmental organization of these
che Capecians and their succession, che kings of France, and the
\\oulcl be conceivable . Bur the significance of to\vns and comm r .. r- .
I . . . . .
t le Integranon of larger areas was snll mamh indirect in so f: r . I
e c1a izauon 1nra(Tene ts ' kin"S
o of Encrland.
o The confroncarion between chem muse decide
. '1 t iey Pa !cl ulrirnacelv control monopolv power in the western Frankish region,
instruments or organs of the princeh houses. This inceuracion fi ,vho wou . . _ . .
f . o ,ant rsr wher e rhe ctntre and the boundanes ot the monopoly would lie.
oremosc the conguesr of one warrior house b\ another cine is cl e ab .
b . . . ' , 1 ' sorpt1on
one y anorher or ar leasr its subjection, irs dependence on che vice .
l k.
mg ac rhe area from chis point of view as ir appeared at rhe beginnin
m.
v
the fourteenth century ac rhe extinction of che direct Captcirn line cl d.
c l. . d 1 . . , . , ' le irection
01 c Mnge is rea J \ percc1vecl fhe suuuule of lesser ind med
. . - . oo '
.
n11n \v arnor hous
'fhe Resurgence of Centrifugal Tendencies:
for land _or more land had cerramly nor stopped; bur these feuds no longer es 'fhe Figuration of the Competing Princes
remorel; the pare they played ar the rime of Louis VI, nor to speak
predecessors. Ac char tlme the lands were discribured relarivelv evenlv ,
1 S. However, che formation of che monopoly of rule was nor by
many; to be sme, there were differences between j)Ossessions ._mong
cl . may anv n1e' ans '
'
LS srraiuhcforwardlv
0
as appears merelv

from consideration.
of the
seeme very to contemporaries. Bm even the possessions, and thus Lil1cion of land The laruer
accurn ' o the area became char was gracluallv
. . . umced and
the power, of the nominal princely houses were so small char a Iarue nu b
J'u!J' T l. o merof cenrra ll.zed bv1 rbe Caperians the more strongly did a countervailing movement
,1110 lt } rnm1,ies 111 r 1e1r nt1ghbourhood could tr\ their . l l -
. . _ . . arm w 1r 1 r lem as rivals make irself felt; and rbe stronger, once again, grew the tendency wwards
for land or power It was left to rhe '"pnvare iniriarive"' of all these 1
cl l l . . . 1ouses to decenrralizacion This tendency was still represented first and foremost by cbe
_ec1c e low far they parnc1paced in chis general struggle. Now. in the fourteenth closest relations and vassals of the monopoly ruler, as in the preceding phase
century, these many warnor houses were no longer inclividuallv a force b
where the barter economy was more intact, and as in rbe Carolingian period. Bue

h:
recko l l l to e
nee w1c 1; at most r ley carried a certain social weight colleccivelv. as the mode of action of the decentralizing social forces bad changed considerably.
estate . the real_ initiative now lay with the very few warrior houses c.hat
:Monev, crafts and trade now played an appreciably greater role in society chan at
emerged tor the nme being as victors from the precedinu conflicts and h d dmt rime; groups \vbo concerned themselves specially with all chis, the burghers,
l cl o , 'a
accumu ace, so much land char all the ocher houses could no longer challenge had rnken on a social importance of their own. Transport had developed. All chis
but ace only _111 dependence on chem. To these ochers, rhe majority of offered cbe ruling organization of a large territory opportunities chac were
\\Mnors, rhe poss1bd1cv of wmninu new hnd on their O\"n fj
. . o ' ., m1c1anve m ree lacking earlier. The servants a central ruler sent into the country to administer
compecmon was by and large foreclosed, and with it che chance of risin and his possessions no longer found it so easy to make themselves
in sociery. Every warrior house muse at most remain on rhe run! independent. Moreover, a growing proportion of these helpers of the central ruler
ot the s_oual _ladder it had reached, unless one or mher of ics members succeeded now came from urban strata . The danger of such burghers developing into rivals
m moving higher through the finour of one of the great lords, and rhus cbrough of che ruler was incomparably less than before, when be had to cake some of his
dependence on him.
aides from the warrior class, and when even bondsmen char he parronized could
The num_ber of chose who were still able co compete independently for land very rapidly acquire, thanks to the land with which he rewarded their services,
and power m the wescern Frankish region had steadily diminished. No inde- rhe power and social rank of a warrior or noble.
pendent duke or house of Normand\ now existed and none of A -
1 . g u1 ta111e, However, a particular social category of people still posed a real rhreac to the
ass1m1 anon or suppress10n had overtaken-co mention onh- rhe verv largesr- cohesion of very large dominions under single rule, even though their power
rhe counties of Champagne, Anjou and Toulouse. There existed. beside che might have diminished and their mode of action changed. Even under the_
of Francia, only four ocher houses char mattered in chis region: duchies changed social circumsrances, they became over and over again the chid
ot and Brittany, rhe county of Flanders and-mosr ;owerful of all- of decentralization. These were che closest family members of the
rhe kings of England, dukes of Guyenne and lords of several smaller areas. A ruler, char is, his uncles, his brothers, his sons or even, though far less so, bis
warr10r sociecv with relacivelv free competition !1ad become l
. . . a soc1et\' w lere sisters or daughters.
compecmon was restricted in the manner of a monopolv. And even om of the five A dominion and the monopoly of rule within it were nor really, at chis time,
great houses char sci II possessed some degree of compecicive power. and preserved the possession of a single individual; they were very much a family possession,
a certain corresponding independence. cwo houses again rose as che most the property of a warrior house . All che closest relations of chis house had and
.290
Ih, Ciri/i:;i11g Pmcu.1
291
as_strrtd a claim [Om leas[ parrs of [his proptny. This was a claim w .
ot the house was. tor a long period. less will" " .ll - hrch the as irs properry. No doubt rhere were quarrels, fighrs wirhin the household
: 1 . L rn"' or d J t w rduse d -
ramr _r possessions grew. Ir was ctnainh- nm a .. ltual cJ11m .. . l' l1e everywhere else. Bm a_r tht same rime. all-or ar ltasr pan-of the family
l - j I l
[ 1t \\ore. n [ 115 SOC!t[y die rt were harclh more r11'ln I -
c' '
r111 t 1e are- r sense constantly ro ddtncl or expand the family possessions. The relarively
all-embracin ''!- . . .. . ' r ic rue rmenrs ot a"'"'"P'' es[aces of rhe royal family. like rhose of all warrior houses, were essemially
"' d\\ rn \\ hKh even rhe grea[ warrior rulers were SL' .
r Iiere was rs \er no rll b IDJect they lacked any larger social importance and had indeed very much the
l. . ' : . ' -em rac111g power [bar could enforce such a l,.
on} rn con1unn1on wirh [ht frirnn[ion of 1 . a.\. It of a small family emerprise. The brothers and sons. even the morhers
- . . _ ' monopo res ot rule: .,.-
cenrra 1rzanon of [ht ruling funcrions l . . . , 'It11 th0 wives. of htads of families had a say in [he running of rhe esratt which varied
_ L r iar d common leual cod \ _
.
tor large areas To provide for children was a sociil obl. . lt \as ts[ablrshed with their personal qualities and circumstances . Bm ir hardly occurred ro anyone
stt d l ' igatJon t 1at \ve oft -Pver anr significant part from rhe famih possessions and hand ir over w a
O\\ n 111 [it 1"f//1t;1111t-r . U ndoub[e 11 . . l en
l. - l . c ) I[ \\as on y [ht be[[er-tndm .. l ro '' L

r ia[ .cou d adhere_ rn [his cusrom I=or jus[ [his reason ir carried Jrt\_ec' roe-rnber of the familr.. The .rounger <--
sons miLdu
<--
receive a small esrare here and
H1l\\ could [ht rrchts[ house of [h - l
. . .
l l
t anc [ 1t roral house h-tve - .
I- s[rge rht'-re ' or rher. mighr
....
marn-. inro a small proptrrv;
bur we also hear of one or other
presrrgrous oblrgarion; ' escaped the younger sons of a royal family leading a fairly penurious existence.
The rerrirnrial possessions of a house conrinued rn b- .f . . . . This changed complerely as rhe royal house grew rich. Once rhe Caperians had
resrrrcred sense, whm we \vould call privare proi)trrr aln tr_nclreasing!y hecorne the richest family in the whole rerrirnry or indeed the entire coumry, ir
conrroll--cl . t kac o r ie w,15 impossible w !er rhe younger sons of the house live like perry knights. The
e I[ 111 )LIS[ as unrtsrrrcred a fashion. and ptrha )S tvtn m -
a gren landowner comrols his propeny wday, or [ht of 1 . ort than reputation of [he royal house demanded rhar all its members. even dit younger
irs caprrnl. 111comt and branches. Jusr as rhe landow . , amrly firm sons and daughters of the king. receive a firring endowmem. rhar is w say a
ot his esrn[es for die btnefir of a roun"t l rl1er can splrr ott one or other sizeable area over which w rule, and from which [hey could live. In aclclirion.
k. . . o r son or r ie c owrr ot -1 chu"lHtr . I
as 111g irs renanrs whtrher their new lord is t" - - bl - I ' '. "' ' WH iour now char rhe Caperians far surpassed most mher families in rhe country in
f l - . 'c-rtt,1 e ro riem Jusr .. ! h
[ 1t hrm can \vrrhdraw capital fi:lr his claughrers down- or 1e ead propeny and wealth. [he clanger from severing a porrion from rheir possessions
c rrec[or of a subs1d1ary. wi[hom owing his em Jlorees [he -. s son as was no longer so keenly felt. And so the enlargemem of rhe Caperian dominion
rn rht same W<l\" die l . . . ,. l L . l . slrghresr explanation- was accompanied by [ht steadily increasing size of [ht areas passing as apanages
. .. Jr111ces or r rnr earlier phase disposed of vll .,_
tsrnres and [ernwries of [heir re1lm A l l . l . J ,1c-ts, towns, to rhe younger children of rht kings. Disintegration ser in on a new basis.
. ' nc r ie rmpu se caus111" [ht . fI
propenres w provide for his sons 111d d I . "' 0\\ ner o arge Louis VI, the I=ar. gave his son Robert the nor very exrensive county of Dreux.
I Q . ' aug Hers rs more or less [ht s-ime II
r iese cases. LIHt aparr from a ruler's possible preference fo - fl 111 a Philip Augustus. who brough[ about rhe family's firs[ grear rise from srrairentcl
children, w endow diem 111 . , h- . r one o 11s younger circumsrances, held his hard-won possessions together wirh a firm hand; the only
<I [[Ing manner was n . . f l .
and public disphr of [h- . l . or [ 1t prtservanon thing ht gave up was a small esratt. S[ Riquier, as his sis[er's dowry
- . ,. t socra srnrns of a house: and-ar leasr 1) . -. I .. -
leasr 111 a shon-[trm riew-ir . - . , I l - I . - - 'I p.ircnt}. ,1, Louis VIII, however. laid down in his will rha[ rhe counries of Artois. Poiriers.
111u tdsec t 1e 1ouse s clnn . .
permanence Tl1'lr [hrs s Jl. - ' ces or ga111111g power and Anjou and Maine-char is to say. considerable portions of [he family possessions.
' I r[[111 u LI!' ot fJOSsess I t-
b - -fi f I . - "' - . rons anc uncnons of rule fo t'
ene r o re arIOf]S very ot[tn precise!; endan "tr -d I , r ne though never i[S heardand-should pass as apanages w his sons.
[ht house is 1 her \\l11c-I1 f- I . l "' t r ie PO\\ er and permanence of Louis IX gave his sons Alern;on. Perche and Clermom as apanages; Philip III
' ' requenr \- on r e cl l _ . .
afrer long and painful txperience ot 1:rinces endowed a younger son with rhe coumy of Valois. Bm Poiriers. Alern;on and
draw [ht full and ulrimare conclLrsron t- I " . \V.lS rea y [ht frrst to Perche rerurned ro rhe Caperian possession when rheir princely owners died
rom sue 1 ex1 e \V. I
severin he kep[ ill faml. . ) rrence.. I[ 1 implacable wirhom male heirs.
. ' ' r ) re 1anons-even [ht heir [O th 11 f .
was possible a[ all-far from ill . _ . t [ rone, as ar as this In 1285 five counries-Dreu.x, Artois, Anjou. Clermom and Valois-were
power. 1
, ru 111g tu11cr10ns and indepenclenr positions of
split off as apanages, and on rhe death of Charles the Fair in 1328 rhe number
9. Ar [ht beginning of rhis line of cl . l . rose w nine.
famih- possessions of di - C- . . t\e opmenr, 111 rhar early phase when the \Vhen Philip of Valois inherited dte esra[es and crown of the Cape[ians, rhe
c apenans were scarcelv hruer d. I -
warrior families in [!1 1 d. l d . ' "' Mn [ 10se ot many other apanages of his house, Valois, Anjou and Maine, were reunired wi[h the larger
e an . t 1e anger rm l" f
properry is immediarelr obvi . . p rcrt rn ragmenra[ion of this possessions of rhe ruling family. The county of Chanres returned to rhe crown
families seldom ab1red. Tl . ous . _[hreat from neighbouring feudal esrnres with rhe dearh of ano[htr Valois . Philip himself gained a few new smaller
' . 11s curse each tamrly rn hold i[s people wgedier as
dominions as well, among [hem .l\1onrpellitr. which he boughr from the King of
State Formation c111d Ciri!i:atio11 293
292 Th1: Ci1'ili::i11g Pmn:.cs

J\fajorca Under him, howewr, ir was above all Dauphint rhar came . nr .1 "ood dnl furrher once be was king of rbe entire region on his
raV we ' :::: ' r....-

Caperian hands. Thereby Capetian expansion took a major srep eastwards he spread bounry unsrintingly Firsr he. gave away r\\'O counnes,
rhe rraditional fronriers of rhe wesrern Frankish empire, into rhe . unrcies He endowed his second son LolllS wirl1 An1ou and Mame,
' n tour v1sco . . . . A 0 '

Lorharin12:ian region-an exi)ansion rhar Philij) the E:1ir had be.,un b"..r "cqu. rIJ: - n received rhe counrv or Pomers. rhen Macon. Snll larger 1o1trs
.__ 0 a. ltllV"
6
bis younger ,o .
rhe archbishopnc of Lyons and rhrough a closer associarion wirh rhe bishoprics
Toul and Verdun. fo!lowejc!.I rbe Good cime to power in l 150. Under his predecessor, rhe long
10.. o 1n ' . . .. . l .
The manner in which Dauphint came into rhe possession of rhe Par nt rens1on b"r\"een
c ,,
rhe two hr"esr
' b
!Jowers and mighriesr ._
\varnor
.
muses . .
111
. . . lS!ll!l
rulers. however. was less charactensnc of rhe relanon between the central'!Z!Qrr !are. n Frankish region bad eruixed; in 1)37 began rhe ch,11n of m1lm1ry
e wester cl
n1 . known as rhe "Hundred Ye<us' \Var" To the Planwgenets, rhe islan
L
6
and decentralizing forces of this period than of the importance of apana
.'bl d ges. con 11 ICrs . l "
D aup !1rne e onge ro rhe Arlesian or_ Burgundian realm char ,1rose callow . ll furrher expansion on rhe mamland was blocked; even r 1e1r existmg
<- l._, n
,
rulers, ,1 . cl . cl
rhe Lorharrngian rnrerregnum, ease of rhe Rhone and rhe Saone. Irs last . l 1 possessions were under consranr threar unnl rhey had esrro1 e
. . l
Huberr II, bequearhed or, more exacdy, sold his possessions to rhe Caperian heir rLile md prevented rhe formarion ot anorher leadmg power on r 1e
Capenan , . . .. d
following rhe dearh of his only son, on a number of condirions. They included th;
Connnenr. g ' . '
E mllv furrher expansion bv rhe Pansian rulers was very restncre
. . . b
payment of his considerable debrs, and also rhe sripularion rhar Philip's second posirion permanenrlv rhreatened unnl rhe island-dwellers were su -
and nelf l . . . f
son, not his eldesr, should receive Dauphint. Clearly the Dauphine's owner clued or ,u leasr expelled from rhe mainland. It was .rhe srr1ct compu.ls10n o
wished co give his land to someone rich enough to pay the sums he needs; b comperirion which drove rhese houses and rheir dependenrs agamsr one
bequearhing ir to rhe ruler of Francia he prorecred it from becoming a bone :r L
genume
anot 11er,
. .
and which-since for a long rime ne1rher of rbe amagornsrs can
decisively defear rhe other-made rhe srruggle so
L
. .

contention for other neighbours afrer his de<1rh, for rhe Paris kings were strong r

to defend rheir acquisitions. And rhis is certainly nor rhe only example To begin wirh, however, rhe Paris kings were for a vanery or reasons ar a
of the artrncrion which rhe immense power of rhe Capetians held for weaker - d . ca<'e Jolin che Good was capmred bv rhe English heir. rhe Prmce of
d van ' 0 , - .

neighbours; the need for prorecrion of rhose less strong was one of rhe factors Wales. in the Barde of Poiriers in 1356 and senr ro England Immediately rhe
rhar furrhered rhe process of centralizarion and monopolizarion once it had s larenr in his rerrirorv now ruled as regem b\ rhe Dauphrn Charles, who
(ens1on .' ._.
reached a certain level. was nor ver rwenry years old, broke our: revolurion in Paris, peasanr revolrs, and
Bur ar rhe same rime rhe old ruler whose heir had died clearly wished to knivhts ;Jlundering rhe counrryside. The English rroops, in alliance w1rh anorher
prevent his land, Dauphint, from losing its independence enrirely on passing of the Capetian house, rhe owner of previously apanaged reg10ns, rhe
inro French ownership. This is why he demanded that his domain should be King of Navarre, occupied large areas of wesrern France; they even reached rhe
given ro the king's second son as apanage. Thar demand obviously implied an vicinirr of Paris John che Good, to free himself. concluded a rreaty with rhe
expectation that this region should become a ruling house in irs own right and and their allies handing over to rhem the m<1inland .irea rhar
so preserve an independenr existence. At rhar rime apanaged regions were indeed Richard the Lion Hearr had lasr conrrolled at rht end ot rhe rwelfrh cenrury. But
beginning ro develop more and more clearly in rhar direcrion the Srares General of rhe French dominions, summoned in 1356 by rhe Dauphrn,
Philip of Valois, however, did nor abide by rhis agreemem. He gave Dauphine declared rhar this rreary should be neither approved nor carried om and thar rhe
nor ro his younger but ro his eldesr son, John, rhe heir ro rhe rhrone, "in onlv firring answer was a well-foughr war. And rhis was wirhout doubt a clear
recognition", so his nominarion declares, "rhar Dauphint lies on che frontier, that exi;ression of how strong interdependence had becorr:e. wirhin the grear domm-
a good and srrong rule in Dauphine is necessary for the defence and securiry of ion of rhe Caperian heirs, of the amonomy and selt-mteresr of rhe ruled rhat
rhe Kingdom, and thar if we acred otherwise, grear danger to rhe future of the would slowly deprive rhe monarchy of its privare monopoly characrer. At rhis
Kingdom might arise". 90 The danger artending rhe separation of disrricts for stage, however, rhe developmenr was only beginning. The war was anew
younger sons was rims fairly clearly perceived ar rhis rime; rhis is arresred by a and the Trearv of Bretigny, by which ir was provisionally concluded m l J )9, was
large number of pronouncements. Bur the need for rhe king to provide firringly somewhar favourable ro rhe Valois than the firsr concluded by John himself
for his younger sons persisred. He wirhheld Dauphine from his younger son for in England. Nevertheless roughly a quarrer of what Philip rhe Fair had possessed
securiry reasons; bur in its place he gave him the Orleans region as a duchy and had ro be relinquished ro rhe Planrageners, above all Poirou, Samronge, Aurns,
a number of counties as welL Limousin, Perigord. Quercy, and Bigorre south of the Loire, rogether w1rh a few
And his eldesr son, John rhe Good, rhe very man who received Dauphine in other disrricts making up, wirh rhe older English possession Guyenne, the
L
295
29-!
At any rare. under John a specific tendency of large family possessions w1s
kingdom of Aquiraine: and furrher norch Calais. rbe counties of
reinforced. a tendency which. once their possessions had reached a cerrnrn
Ponrhieu. and .i\fontreuil-sur-I\fer: in addition. three million golden
. of rhe 1)rtcedin<' re1)resenrarives of the Caperian house had been able
111sre,1d ot the tour million demanded by rbe London rrean-. as ransom for none b
Its conStljUences are clear.
krng. Bur the latter. a worthy c111d chivalrous m<1n. rernrned from prison
\'Vhen John rhe Good died. rhe existence <111cl occupancy of rhe cenrral
oblinous ot the extent of bis defe,1c. His conduct in this sirnarion shows
despite the clebilirarion and rhe defeat. were in no way lf1 doubt. This
to what extent he was srill the sole authority in control of rhe territory
dcirion of how firmlv rhe power of the cenrral ruler was already founded
ro_him. which was one day to become "France", a state and a nation ..He felt an in i ' . . . .
.1 "unctions ocher rhan rhar ot armv leader. The Dauphrn. a physically
h1,. !10.use musr_ now all rbe more osrenrmiously demonstrate its glory. The sen., soo,1 ' . .
m<H1. bur shrewd and experienced from rhe trials ot his yourh. ,1ssumed
of 111krrorHy resulung trom dett:al led him to overemphasize his own se under rhe name of Ch,1rles V. He was head of all the possessions left to the
And he. considered that the dignity and glory of his house could find no
, 1:) rhe Trearv of Breri<>n\'. including che apanaged ones Bur looking
ex:1ress1on. than by :ill his son: figuring as dukes at rhe ratification of rhe Peace c,.,pet1c1 , 1. . . "' . . . .
ar rhe clisrribmion ot po\Yer we can see clearly how. bene<1th rhe veil ot
rre,1ry One of his hrsr acts after his rernrn trom prison was therefore r0
. gs soYerei ,,nn the centrifugal tendencies had gained renewed strength
cl uc I. .
11es from parts of his dominion as a1Janaues for his sons 'Iis Jd re
h k.in "' . . L

. I ... . . . ' . "' r e est was . .,. in a number of territorial formations were emerg111g wlth1n the
,ueady Duke of Normandy and Dauph111. the nexr: Louis, he made Duke nee 1 1 '
0Caperian dominion rhar aspired more or les_s obYiouslyro amonomy. and benYeen
An.Joli and Mame; to the nexr. John. he gaw Berf\' and Auvergne is 111s (UCI hy
L L '
which chert was rivalry Bm what gan this nYalry w1th1n the western Frankish
ancl rn rhe youngest, Philip. Touraine. This was in the rear 1)60 "
re"ion irs special character w<1s rhe fact rhar almost all chose involved were
A year brer.
in 1361. the young. fifteen-year-old Duke. of Burgunch die l ,,.,
c. 1wo
L
d:Scendanrs of the Caperian house irself \Virh few exceptions. ir was apanaged
prenous 1Y he had. married J\fargarer. the daughrer and sole heir of rhe Count
men or rheir offspring who now faced each orher as potential comperirors. There
ot Flanders: bm he died w1thom leaving children Ir w1s 1 hr<'t re"i.on b
l. <.. '''co tat were, certainly, orhtr major rerrirori<1l rulers who were nor members of the royal
tounc. 1rselt
cJ \V1thour -a ruler on the
. unexpected death of rhe 1oun" c
D ll l-,e,. It

house, or ,u least nor directly.. Bur in rhe struggle for supremacy rhey were no
cons1sre nor only of rhe duchy or Burgundy proper. bm also rhe counties of
)on!!tr proragonisrs of rhe first order
Boulogne
, and AuYergne. rogerher with the counf\" of Buruund\
. ' rh Fran h e-
0 L ' (
Amon;:: rhese at rhe rime of John rhe Good vrns Charles rhe Bad. King of
Comre <111d other areas_ benJ11d rhe rradirional frontiers of the western Frankish Navarre LHis father. Philip of Evreux. was a grandson of Philip III, a nepht\\ of
empire. On grounds of somewhat complex family relationships. John rhe Good
Philip rhe Fair and of Charles of Valois: his mother was a granclclaughrer of Philip
claimed rl11s whole esrnre for himself There was no one ro comest it with hi
rhe Fair, a daughrer of Louis X: in addirion he himselfw1s rhe son-in-law of John
and .in he gave. it to his youngest son Philip. whom he particularly
rhe Good. To him belonged. besides rhe Pyrenem rerriwry of Navarre. a number
Philip fought. especially braveh ar his side in rhe Bartle of Poiriers and
of prtYiously apam1ged regions from che Capecian possessions. norably rht county
accompanied him to prison. This was cu be his aixmciut: in ];lace of Tour' ine ',,,
l . . . "' ' ,,e of Eneux and pares of che duchy of Normandy.. His possessions thus txttncled
)e111g m111cltul. said rhe King. '"that we are enjoined by muure rn give our
dan!!erouslv close ro Paris itself
ch1lclren enough rn allow them rn honour the glory of their origin. and rhar we
Charles .rhe Bad of Navarre was one of rbt first proponents of this struggle
must be especially generous rn those who have parricularlv merited ir'" " 1
among apanaged family members of rhe Caperian house for supremacy in the
. Both the fact of these apanages and their morirnrion unmisrnkablv how
western Frankish region. and ulrimarely for the crown. He was rhe chief
tar .French territorial power still had rht character of a family possession i,n this
mainland ally of rhe Planrageners in rhe first phase of the Hundred Years \Var.
ptnod: bm they also show how this promoted fragmenwrion. No doubt strong
During this war he was for a rime the military commander of P,uis ( 13 58); even
tendencies were already operating in rhe opposite direction. tendencies resrricr-
the of rhe cirr, eYen Etienne J\Iarcel, vvas temporarily on his side; and
1ug rhe private .or domanial characrer of rule: rhe groups representing these
his of wresring .the crown from rhe other Capetian heir seemed close w
opposed r.endenc1es at rhe court will be discussed shordy.. The personal character
realization" To rhis end his membership of rhe Kings family gave him <111
and rndnxlual forrnnes of John rhe Good no doubt played a part in his particular
imperns. powers and claims rhar others lacked.
propensity tor nchly endowing all rhe royal sons for rhe sake of family prestige.
The Planragener wirh whom he allied himself, Edward III, was likewise,
rh1s tendency clearly owed no less rn the heightening of competition rhat
rhou"h only rhe female line of descenr. a close relarion of rhe Caperians He
expresswn 111 the Hundred Years \Var and which. afoor rhe Caperians'
too a of Philip III. ,1 nephevv of Philip rhe fair <md of Charles of
defeat. gaye nst to a particularly insiscenr demonstration of the wealth of rheir
296 The Cil'i/i::,ing PrrKcJS 51'1tt Fum1t1tion dlld Cil'ili:atio11 297

Valois; his mother was a daughter of Philip the Fair, a niece of Charles of
an cl of the great older feudal houses on the mainland only the duchy
and he was thus at least as closely related to the Capetians as the French . , remained. This older srrarnm, however, had now been replaced by a
opposing him, John the Good, the grandson of Charles of Valois 01r13ntran} . - -- - l
circle of terrirorial rulers, sremm111g from offshoots ot t 1e apeo:in
c "
Adjoining the mainland terrirnrv of the Plantauenecs to the nort'11 \"e cl these were now driven inrn conflict by the mechanism of rernrnnal
. .. . c ,, re rhi;
regions that John the Good had given hrs younger sons, the territories 'onse, an
11 . . cl f- . . .
- compulsions wh1ch-ow111u to the low egree o 1megr,lf10n or
. JJ1pet1tIOn. c .
Duke of Anjou, John, of Berry, and of Philip the Bold, Duke of Burgundy co . . t. t. ncrions in any society with a barter economy, and parocularly a
d",;-
1 15t0n 0 LI . . . .
rngether with the land ot Louis, Duke of Bourbon. He, the Duke of Bourbo ' . cierv-rhrearen rhe existence of a monopoly of power and possessrons
was descended from the Ca1)etians through a brother of Phili1) IIi Robert c n, warn or so .ons rendinn rn d1s1meurare
. - cl t-
pro1)ertv an rein orce cenrn uc,1
t. "' l
._ ' ,ount . r 1ar<re r egl , o o
of Clermont. who married Beauice, the heiress of Bourbon; his mother was a\e "' had be<,un their work anew . Once again there occurred one of those
rendencres, ' c . . . - -
Valois, his sister the wife of Charles V: and he himself was thus on his moth , -hifrs wwarcls clrs 1meunrion such as had led centunes earlier ro the_ drsso 1ucron
. . ' , ers 5 c ' _ _ _
side an uncle of Charles VI, as the Dukes of An1ou Burgundy and Berrv ne r h C olinnian dominions and then to the feudal soCial order ot the rnelfrh
' '-- re on
\Y

the paternal side. These were the main actors in the struggles of the period of orrc:M"" fl"
. Once auain j)eople ro whom the cemral ruler had given land rom 11s
century. c . . . l
John the Good, Charles V and Charles VI. Apart from the Plantagencts aud the
own large p ossessions ' rencled rn make themselves
. . _
111dependem
_ .
and become nva
. .
s
Bourbons, they were all owners of apanaged parts of the Capetian inheritance of rhe weakened cemral house. Bue rhe poss1b1lrry ot entenng the competmon
who were now for their part srruggling ro increase their family's power , l"I mired ro a few descendants. of the original central house, .a clear
\Vl!S nO\\ . .
finally co win supremacy. .md"ic,1u
. 011 of how far the structure of human relauons had changed 111 tlus
. . .
The balance within these tensions first tilted. under Charles V, to tt1e reignin society, how far chis human network had already become, at least 111 its agranan
Valois. \Vhen he died. his son and successor was only twelve years old . Here,! p ror a system with closed opportunities
always, circumstances-accidents from the poim of view of the whole s.c ' . fl cl l .. l
l l. The rivalry between rhe most powerful "princes des eurs e rs eruprec
development-favoured certain tendencies already inherent in the structure of immediately after the death of Charles V in the struggle for the regency and
society The youth and weakness of the ruling Valois strengthened the cemrifugal . s1111) ot rhe heir co rhe throne
guard ran _ ' .who was still a _minor. Charles
. . V had
_.
forces that had long been gathering, and released the pem-up pressures. appointed his brother Louis, Duke ot An1ou, as reg:m, hrs brother Phdrp, D_uke
Charles V had absorbed Dauphine once and for all imo his family possessions; of Burgundy, and his brother-in-law Louis, Duke of Bourbon, as guardians of hrs
he had recovered the Norman rerrirnries of the King of Navarre as well as a son. This was clearly rhe only thing he could do to prewm power passing
number of other apanaged lands like the duchy of Orleans and rhe coumy of emirelv into the hands of a single man. But it was precisely complete power that
Auxerre . But on his death there were already seven great fruclal lords in the land, Louis ;f Anjou, and Philip as well, were really pursuing. They wished to l'.l1!te
descended from St Louis (Louis IX) and thus from the Caperian house: at the guardianship and regency. And the conflicts between the rival members of the_
rime they were called '"princes des fleurs de !is"; and there were now-apart from ;oval house filled the whole reign of Charles VI, who possessed little power ot
a number of smaller and medium lords who had long ceased w play an d;cision and finallv succumbed ro a kind of madness.
independe-m pan in the struggles for power 02 -only two major houses besides The lc:idin" in the struggle for supremacy among the King's relations
the Plamageners-whose members were nor in direct male line of dtscenr from the dunged co rime. The ;lace of Louis of Anjou as the strongest rival of
Capetian house: the dukes of Brittany and the coums of Flanders. But the Count the Burgundian Duke, for example, was raken at a certain srnge in the struggle
of Flanders at this time had only one child, a daughter. For her hand and rhe br the brother of Charles VI, Louis, who ruled the duchy of Orleans as
future ownership of Flanders there arose, after the death of the young Duke of his But no matter how the persons changed. the network of compul-
Burgundy ro whom she was originally berrothtd, an inevitable conflict between sions impelling chem remained the same: again and again two or :hree people
the Plamageners and rhe Capetian heirs . After much vacillation the hand of the within chis, b\ now, very small circle of competirors came face to face, none of
heiress of Flanders finally \vem. with the help of the head of the Valois, Charles rhem prepareci or able--on pain of annihilation-to allow any of the othe,rs to
V. rn the Llfter's younger brother Philip, who through his father's imervemion become stronger than himself These conflicts between relar1ons of the Kmg,
had already become Duke of Burgundy. The marriages of great feudal lords were howewr nec;ssarilv became imerrwined with the larger conflicr of the rime,
arranged from what we would roday call a purely "business" poim of view, for which still ven: far from being decided-the struggle with the Plamagenets,
the sake of expansion and success in the territorial competition. Philip the Bold whose offshoots li,kewise becam; embroiled in similar rivalries by reason of
thus uni red. after the death of the Coum of Flanders, the latter's possessions with analogous mechanisms
.298 Th, Cii'i!i::i11g PmctSs Sulc Formafi()il 1md Ci1ili::.ati11n .299

. _The sirnation of these members of the royal house must be visualized: all He further acquired by purchase-with rhe aid of a large dowry from his wife
lift they were second or third. Their feelings told rhem oti:en tnow'h I Valentina Visconti-several counties including char of Blois Finally. through his
l b o t 1ar
m1g H e berrer and stronger monarchs than rhe man who happened to bt he owned rhe counry of Asri in Italian territory. and he had rhe reversion
ltgl[Jmact heir to die crown and dit main possessions_ Between them and the of a number of other Iralian terrirories The Burgundian expanded in rhe
goal c.Jften swod only one person, or only two or three. And there is no l k direction of Holland. Orltans inro Iraly. \Vithin rhe former wesrern Frankish
examp
l . l . t- ac
_ . es m l!Story o two or more such people dvinn c- in- quick SLiccession
---irorv irself. relations of ownership had betn consolidated; the major parts of
teu .
opc:nmg the way to power w the next in line. Bur e\en then, there would ' this region belonged either to rhe London or ro rhe Paris kings; and between
be hard struggles with their rivals. In rhis situation the less ]JOwerful rnin h cl
l - ' ar lv chem even a ''jlri11<'1 dcr _1!,11rs c/1 !is" could only assert himself. only compete
t\er arrnmec .rhe throne it he belonged ro onlv. a secondarv line of ti1e f:amiJv .
c
wirh one or ocher for supremacy. if he managed in one direction or anorher to
rhough he .might . have . the .besr claim
. . There were near!;
. alwavs
. otl1-.c:rs who ''
build up a large domestic power of his own As rhe earlier elimination struggles
conreste d his churn; their chum might be worse bur thev would win if tl1ey \Vere
<....
within rhe large area of pose-Carolingian feudaliry had clone previously, so now
stronger. So those next rn lme ro the throne who ilre1dr ruled .
. . _. . . . . ' ' . apanaged analogous tensions impelled members of the far narrower circle of tht grear
ternrnnes ot \arwus sizes. were preoccupied wirh creating and extending h
b ' - ' ' ' L t eir Caperian territorial lords to expand rheir land, ro crave incessantly for more
asis ot support, rncreasrng their possessions, dieir income, their power. If thev
had no d!fect access ro the rhrone, rheir rule should be ar lease no less ' possessions. Bur as means ro expansion, marriage, inherirance and purchase now
mighty and ostentatious rhan rhar of rheir rivals. if possible ourshininu ev l played at least as important a parr as war and feud. Ir was nor only rhe:
K" l f ll o en t 1e Habsburgs who marritd into greatness Since relarively large properry unirs wirh
mg s .. w 10 a rer a was no more rhan the grearesr among all rhe rivals or
compenrnrs correspondingh grear rnilirnry potential had by now formed in chis society.
This was rhe si rnarion and atti rnde of the closest relarions of rhe weik Cl l individuals. and individual warrior houses who wanted to rise ar this stage. could
VI l . _ _ ' 1ar es
- 1is unclb-nor all, bur some ot rhem-and also his brorher_ And with only hope ro survive a military confrontation if rhey had already gained control
certam changes. wirh ever-diminishing chances for rhe second and rhird in]' over terrirorial possessions which made them militarily cornperirive_ And chis
l. . cl . . . me,
r 1is atnrn e. this sHuanon. chese tensions around rhe rhrone were rransmicte<l roo shows, therefore, how sharply the possibiliries of competing in rhe sphere of
through of rhe rnosr diverse ralenrs, down to rhe rime when, with major rerrirorial ownership had diminished in this phase, and how the srrucrnre
Henry of Narnrre. a relatively small terrirorial ruler for rhe lasr rime bee of tensions between people necessarily gave rise ro the formation of monopolies
K' _ ame
. mg of France; and as we have said. traces of rhese tendencies are to be found of rule in regions above a certain order of size,
nght up to the time of Louis XIV The Franco-English area at this time was srill an inrerclependent rerrirorial
The scron.!.!esr conresranr arnom'C' rl1- '
i/CJ -',. ../,:."
de .' , . Pl ] 1
\\"lS [ Jp (h e
., - L
system. Every change in social power rn rhe adrnnragt or disacl\antagc of one of
B'.'ld. rhe youngest son of John the Good. To begin wirh he had onh rht duchv d1t rival houses. sooner or lacer affected rhe others and rhus rhe equilibrium of
of Burgund1 as his apanage. Then he uniced wirh it-primarily
the whole system. At any given time one can say wirh considerable accuracy
rnarnage--=rhe counries of Flanders, rhe Arrois region, rhe count\' of Nevers and
where the central and where the less central tensions lie: the balance of powu
the barony of Dcincy His second son Anroine. Duke of Brab,;m and Lord of
and its dynamics, irs developmental cune. can be rrnced fairly precisely And
Anr1\erp. became by marriage Duke of Luxembourg. His son married the heiress
thus rhe Hundred Years' \\1ar is ro be considered nor only as rhe war-games of a
of Hainaur . These were the first steps of the Burgundian lords wwards expansion
few ambitious individual princes-although ir was chat wo-bur as one of the
1l1 thelf own nghr, rowards rhe foundation of a secure realm lying at least in pare

outside the sphere ot the Paris kings, in the territory of presenr-day Holland. inevitable discharges of rension within a ttnsion-laden sociery consisting of
A similar course of action was adopted by Charles VI's Louis. rhe terrirorial possessions of a cerrain size. as the competitive srruggles bee ween rival
strongest rim! of Philip the Bold in the scruggle for supremacv in France . Both houses wirhin an interdependent system of dominions with a very unstable
built on their own family power wirh considerable hasre an.cl dererminarion. equilibrium. The houses of Paris and London. gradually represented by rwo
Louis firsr received as apanage the duchy of Orltans, which under Charles V, after offshoots-Valois and Lancaster-of rhe earlier royal houses were. rhrough rhe
the dearh of his uncle. Philip V of Orltans, had been reunired wirh the crown size of their possessions and military potential, the rwo main rivals . Sometimes
possessions the aspirations at lease of the London rulers-occasionally even chose in Paris-
Then Louis obtained rhree or four counries and large estates in Champagne. went as far as the wish ro unite the whole western Frankish area, tht mainland
300 Th, Cil'ilizil!g Procs.1 St.ire Formation dlld Cil'i!i::.atirm 301

cerritories and che excended island realm, under one rule. Onlv in the rhe dire([ threat that the size or expansion of others meant for it; for the
. . course
clltse scruggles chtmst!ves did 1c become unmistakablr clear how ur Unj.rs that slowlr came into being in these srrui.:gles, France and England
. . b C(tt, at 1:i.rger . L L

stage or social development. were che resisrnnces to rhe ri1ilitarv con .. cill
b . ,, . . . . . . quest, and as we ' them. were scarceh more present _m the consc10usness ot those tormmg
a O\ e all che subsequem internal cohesion. ot so large and dis para re a .,... than Europe" as a political unit is tor us
ne,..
l
under che same rule and che same gmernmental machinery The quesc J-{ow tht individual tensions between rival groups and houses were resolved,
. . . . ion mav be
raised whed1er, ac chis stage ot_ social che creation of a Jiow che balance between the main the English Lancasters, the
monopoly and the permanent mcegranon ot mainland md island t French Valois and the Burgundian Valois, tilted first this way and then that, how
cl , ernrories
un er London rule would have been possible even if rhe Valois had rhe English seized a yet larger portion of French land and even the French
complecely defeated by the kings and cheir allies . However chat may kingship, and how finally, through the appearance of Joan of Arc, all the forces
Jt was at any race che houses of Paris and London chac IJrimarih comp d c
. . . ere, Or wp Po[[!. n"
b
the French Valois u!lathered themselves in successful resistance and
supremacy m che same area, and all the other competitive tensions within this 1orou"l1t back the weak king first to Rheims for his coronation and then as vicror
0 L

area, above all those between the different branches of the Paris house ro Paris-accounts of all this are readily available elsewhere.
crystallized abom this main tension of the whole territorial srsrem th h \'Vhat was decided in this way was the question of whether London and the
. . . . , us t e
Burgundian Valois, for example, were sometimes on one side of rhis central Anglo-Norman island, or Paris and the dominion of rhe rulers of Francia, were to
struggle, sometimes on the other become the centre of crystallization of the former western Frankish region . The
But the growth of the division of functions, and of interdependence beyond issue was decided in favour of Paris. London's rule was confined to the island.
the local level, not only brought the different units of the enlarged western The Hundred Years \Var accelerated and made irreversible the breach between
Frankish terntorial society closer togecher as friend and foe. Less obviously, but rhe mainland territory. that really only now became "la France'", that is, rhe
unm1srnkably nevertheless, interdependencies and shifts in rhe territorial balance domain of the rulers of Francia, and the overseas region that previously was
began at this time to be discernible over the larger area of western Europe as a nothing but a colonial territory of mainland rulers. The first consequence of this
whole. The Franco-English territorial society gradually became, in rhe course of war was thus a disintegration. The islanders. the descendants of the Continental
this growing integration, more and more a partial system wid1in the encompass- conquerors and the natives, had become a separate society going their own way.
mg European one . In the Hundred Years' \Var this growing interdependence forming their own specific instiwtions of government, and developing their
w1thm larger areas, which doubtless was never entirely absent. manifested itself mixed language into a specific entity of a new kind. Neither of the contending
clearly German and Italian princes were already throwing their interests and rivals had succeeded in gaining and keeping control of the whole area. The
power into the scales in the scruggk within tht Anglo-Frtnch sector, even French kings and their people had finally lost their claim to the island realm: the
though as yet they played only a peripheral role. This is the first sii.:n of what was English kings attempt ro defeat their Paris rivals and recolonize the mainland
tO show much more fully a few centuries later in the Thirty Years' \Var: the had failed. If the people of rhe island needed new land. new areas to colonize,
European contine.nr as a whole began ro become an svsrem of new markers, they must from now on seek them further afield. The English
countries with its own dynamic equilibrium, within which tach shift power kings were eliminated from the mainland struggles for the French crown. It is a
directly or indirectly involved every unit, e\try country A few further centuries process not unlike that which. centuries later, in the communicy of German
on, in the 19l-i-18 war, the first "\\/oriel \Var as it has been called. wt can see cerritorial States, ended with the victory of Prussia over Austria. In both cases, as
early signs of how tensions and shifts of balance within the same ever-advancing a result of a disintegration, integration was confined to a smaller area and thus
process of mccgration now affeccecl units over a far wider area, countries in made very much easier
distant parts of the world. The nature and stages of the monopolization rowards But through the repulsion of the English from the mainland, rhe elimination
which the tensions of this worldwide interweaving are moving, like their of the English kings from the struggle for supremacy there, the cension and
possible outcome, the larger units of rule that mav arise out of chest struuules- balance within this area were altered . As long as the London and Paris kings
all this appears only vaguely to us, if it has even. risen above the our roughly balanced each other, and as long as the contest between them constiwted
consciousness at all. But it was scarcelv clitforent with the cerrirorial houses and the main axis of tension. ri\alries between the various territorial rulers on the
groups of people enmeshed in the Hundred Years \Var; there. too. each unit felt mainland had only secondary imporrance They could have considerable inilu-
30.1

ence on whether rhe main strug!:'lt was cltcicled in fayour of rl1r- p . 0


VI
Lon J on .u ltr;,
... 1.Out they could nor Jirtcth cause any of rht c ti , '. ans . r
. 1 J l t f COmjY"tlt
rn k e hrst place. ors
The Last Stages of the Free Competitive Struggle
Now. with d1edeparrurt uf the English, rht: compc:ririon berween the and Establishment of the Final Monopoly
marnlancl
C rernrnnal
rulers.
. l1es
abon: all tht rivaln- between differtr1t b r,rnc of the Victor
.iptnan house irstlr, became rht dominant tension Th
H I . I . . .. . . e outcome of '
unc rte Years \Var drd nor decide. or ar any rate nor tinalh-. D\' whicl .- tne t2- \Vhat here ga\e tht monopolizing process its special characrtr-ancl whac
and wirhin which fronriers the inrtgrarion of the m:1inl;rncl ttr:i:r .. farer observers. particularly rhost of the twenrieth century. of course. must bear
rhe tormtr wesrtrn f rankish regions was w be accomplished In thi 1. !ts in mind in looking back-is rht fact char social functions which have become
l " t. l S c lftCtJQh
r 1crt ore. t 1e struggles continued "' sepan][td in rtctnr times were still more or less undifferenriatecl in chat earlier
. In tht last years of Charles VII there were. besides rhe Paris ph, e. Ir has alrtady been stressed char rht social role of rht great feudal lord. or
15
orher large houses which could pir thtir weighr in the clecisiw the funcrion of being rhe richest man. che owner of rhe largest means of
ror production in his was at firsc complecely indistinguishable from char of
B supremacy.. They wtrt rht houses of AnJou Al enson.
. A rm,u;n.ic. Bourb
__urgundy, Bntrany. Dreux and foix. Each of rhese houses was irself alrtaon, being rhe owner of military power and jurisdiction Functions roclay rtprtstnrtd
bv different peuplt <!l1ll groups of people conntcrtd through rht chision of
lrt presented
,I by sewral branches: rht mi::-
uhtiesr. \Vis
, rh,' ho us ' B uri::uncI I" which
c: cf dy
1:bour. e.g. the functions of great landowner and of head of government, formed
},tsec
.. l on Burgundy
. and Flandtrs as rhe core of its family !)O\\-r \\""S . k. '
. . ' , ,, \\or m hert. inseparably bound rngtrher, a kind of private property. This is partly
\\it
l grear .ttnaciry and
. sindt-mindeclness
. ' to tsnblr-11
' ' '1 m,qor
. . J om1n1on.
. . g
related
explained by rhe facr that in chis society. \\hich srill had a primarily if
totht earlier Lorharrngra. btrwttn the emi)ire and fnnct T"l1 . J . 1.
B " .. _ . . . ' e n \ .i f) oerween diminishingly barter-based economy. land was rhe most imporranr means of
ur"'und) ,rncl che Pans kings now tormecl rhe main axis of dre system of feudal
production, whereas in later society ir has been supplanted in chis role by money,
ternrorrts from
B which. with the . lam::r s vicrorr ' "fnnce,
' ' t.rn.i. 11 \ . ro emerge.
\\"ts
rhe inc.1rnation of rht division of funcrions. Ir is explained no less, howtwr, by
ur ro begin with, the houses ot Bourbon and Britrnm wtrt ilso power c. '
of major importance ' - enrres rhe face th"1r in rhe later phase rhe key w all monopoly power, rht monopoly of
physical. of milicary violence, is a tirmly escablished soci,11 insrirurion extending
. wirh the txctprion of the larrer, rht ducal house of Brirrany. rht members of over large areas, \\hertas in rht preceding stage ir only slowly developed through
,1U rht houses named were clesctnclanrs and relations of people apana!.(ed bv the cenwries of struggle, first of all in rht form of a private, family monopoly.
C1pet1an house. and therefore its offshoots. Seigneurial. post-Carolin .:ant-. d l \Ve are accusromecl to distinguish rwo spheres, "economics" and "politics".
it\ has .. conrr.rctt
. . . d.. . .<ls. one wrrrtr
. .
has !)LI[ ir eu .a -
. . l \ , ga C apenan
ro .,1 .. prince and rwo kinds of social function, "economic" and "poliric1l" ones By "economic"
. - . from rhe conflicts of rht many great and small warric;r houses of rhe we mean tht whole nerwork of activities and insrirurions serving the creation
\\tSctrn
b Frankish
reg10n. <!single house had tmtr<,ed
"' victor1.011s 'fl1c: reg10n
. . I1ad and acquisition of means of consumption <rnd production Bur we also cake ir for
now ecomt. by and large. rhe monopoh- of clescend1nrs of the C . . gnmrecl, in chinking of "economics", char che production and, "1bovt all, rl1e
Bur in rht ccJLirse of ,, _ , . . '. aperwns.
. "'eneranons tht tamrl) and irs accumulated territorial acquisition of chest means normally rakes place wirhour threat or use of physical
possess10ns
. had again becomt clis1)ersecl rncl
' n 0\\, t l1e, c1tt .
1 erenr b ranches of the or military \ioltnce I\othing is less self-evident For all warrior sociecies with a
family were barter economy-and nor only for rhem-cht sword is a frequent and indis-
l . struggling
. . for supremaC\ Monopolv fornntion
' dots n o t l1appen m
.
quite
sue 1 ,1
. srr,ught
_ lrne as appears at first si<,hr
"' \Vlnr ' \\'t 111\e
' b t. 1
e ort us 1ere- pensable instrument for acquiring mtans of production, and tht threat of
rn violence <lf1 indispensable means of production. Only when the division of
. the
. , penod
. . followini.; rhe
. Hundred
_ Yeirs'
, "-'i.
"ar-rs nor yet a complete
or cenrwl1zar10n ot power in one place and in one pair of hands functions is Yery far adrnncecL only when, as rhe result of long scruggles, a
ur a srage on rhe way ro absolme monopok ' specialized monopoly aclminisrrnrion has formed chat exercises tht functions of

A srnre of highly resrricttd comperirion bten tsrablished for all rhose rule as irs social property; only when a centralized and public monopoly of force
exisrs oYer large areas, can comptticion for means of consumption and producrion
drcl nor belong ro a parncular family, the chance of acquiring and owning
rake its course largely wichouc rhe inrerYention of physical violence; and only
a. !1UJOr clomrn1on. or tnlarg!llg
, their exisrin"
. ' cI rl rns ta k.!!lg parr in
"' ont . 111
then do the kind of economy ;me! rhe kind of srruggle exist that we are
turrher elimination struggles. had become exrremtly small. .
Suic Formatioil aiid Cil'i!i:ation 305

accusrnmed to designate by rhe ttrms "economy" and "competition'' in a


specific sense . n-il re lanons . l11p . co tlnt ' exerted
on all sides by chose already dependenc on
f!incno '. cl Jorrnnicies. ll
The compericive rt!acionship icself is a far more general and all-encompassln opolize opj . . for clnnces nor vec cencr ,1 }
!JJOI1 . d l . . n modern rimes, tree compec1t10n ' . . . cl l ,
social face chan appears when the concept of "competition" is restricted 8 I n teu a ,1s I
1 cl lized ten cl s r lltoug l1 .'1ll ics nmihcanons ' to\var s c 1t
economic structures ' '-usually chose of rhe ninereemh and nventierh centuries. an monopo , . .' . . number of rivals. who are
. , cl elimination ot an ever-mcreasmg , . f
A si[llation of compecicion arises whene\er a number of people strive for the r 11 . cl endence: cowards the accumutlr10n
subjugar10ncl ,m . .
ooa! uni cs or a mro ep l
o
cl
same oppor[llnicies, when demand exceeds che possibilities of satisfaction desrroye as s ' l f , n e\tr-diminishinL!: number or riva s: rowar s
n che bane s o a ' j
whether chest possibilities are controlled by monopolises or nor. The panicula; mssihilines I . l . A . . dr soci1l event of monopo izanon is
,- . . nd finalh- monopo \. gam. c ' . d -1
kind of competition char has been discussed here, so-called "free competition", is dominar10n a . . l . I normallv comt to mmd to ay \\ 1en
characterized by rhe fact char demand is directed ar opporruniries not Vet h. cl co the processes \\ 11c 1 . . . . . l b
not con ne
l .... ire menc10nec -
. l 'I'l lt 'lCcumularion
' of poss1b1lmes c lat can l e
controlled by anyone who does nor himself belong ro rhe circle of "monopo ies ' J .. essed as such, represents on y one
. f monev or at east expr .
Such a phase of "free competition" occurs in che hisrory of many societies, if nor converred me? sums o ,,l . clr ]Jrocess of monopolization. Funct10n-
. l l . tr 1mon u manv or lers m c r l
all A "free competitive struggle" chus arises also, for example. when land and histonca s 11 ' b , . ! . owirds rn overall scruccure o rnman
. . . s-rhac 1s, renc encies c ' ' . f
military oppor[llniries are so evenly disrribmecl among several interdependent similar processe . . , bv direct or ind1recr threat o
l h ind1v1duals or groups can, . cl
parries char none of them has clearly che besc chance, the greacesc social power. relationships m \\ llC l l ' ss of ochers ro certain comesre
. . nd contro c le acct .. .
Ir arises. therefore. in char phase in the relationship between feudal warrior violence. restrict a . . . . of forms at ven dilterent pomcs
b1r1'es-such
pOSSl I I .
{Jrocesses occur m a vantt) ' .
houses or becween scares, when none of the parries has clearly outgrown its rivals,
and when no organized. centralized monopoly of power exists Likewise, a "free in human history. l . l the 'KtLnl social existence of all che
l ""Jes in both r 1ese penoc s. ' ' l ._
compecicin: struggle" arises when che financial oppor[llnicies of many interde- In c lt srruoo . l . b,l nd chest stru"glts. T Mt I>
. k Tlnr is che compu s10n e 11 be .
pendem people are fairly evenly discribmed; in boch cases. rhe struggle is Participants is ac Sta e. , . . nesc1pable wherever che basic
l . ""Jes and their outcome, so 1 '
intensified wirh rhe growch of population and demand. unltss che opporrunities what makes sue 1 scruoc . . . mbuked on a movement
grow ar che same rare . n arises Once a soc1en 1BS e '
siruarion ot free comper1c10 . '. . l :er monopolized. whether these
! l l unlt m the sp 1ere nor \
The course rnken by these fret compecicive scruggles. moremer. is relatively of chis kine' eac 1 sooa . .. . - irories or scares, is always
. ,ar e kni ouhdv. families, economic tnttrpnses, terr
urnrs
unaffected by che fact char, in one case, chey are brought abom by rhe threat and
cl b che same choice In
use of physical violence and, in che ocher, only by rhe chreac of social decline, conlronce } . cl-whether che\ choose to struggle or nor
through loss of economic independence, financial ruin or material distress. In the Eicher they can be conquere . , 1. r death or material distress.
1 . ns impnsonment. \ 10 en .
struggles of che feudal warrior houses. che cwo forms of \iolencc: char we extreme cases t 11s mt,l . . , l l"cline loss or independ-
, . I 1 che mildest cases ic means sooa cc . . .
distinguish as physicallmilican and economic frirce. acted cogecher more or less perhaps scan at10n I . l .. , cl l .. bv rhe descrucc10n ot what
b . ,1 hruer sooal comp ex. an r 1cre
as one . These feudal conrlicrs have, indeed. a functional analogy within modem ence. absorpnon } ' ' c . . . _ , n if these things appear ro
. 1 , . . ,, value and cononu1t}. t\ e .
society boch. in free economic compecicion, such as rhe struggles of a number of gave che1r 1\ es me,rnmc. . . _ . s comran ro their own
' . chose comm" atrer c11em, '1 , .
firms for supremacy- in rhe same commercial field. and in che struggles of states their concemporanes. or ro .. . ."' ... , cl thus as encirelv deserving or

n1ean1ng, al existence
soc11. and conrmuit} ' an
for predominance a particular rerrirorial system. conflicts char are resolved
by physical violence
destruction. . Then their life, rheir social
1 1. uer their nearest nvals.
In all these cases what manifests itself as struggles within che sphere not yet Or chey may repe anc conq . . . l . . . che comesred opporwnicies.
. . ns tulhlment r 1t\ seize
monopolized is only one layer of che continuous, general compecirion for limited existence, their srnv1ng arra1 . ' ,! cl in the sicuarion of free
. f social existence c eman s,
opporcunicies pervading rhe whole of sociery The opporcunities open ro those The mere presenar10n o ' . \\/hoever does nor rise. falls back.
. . l consnnt enlarnemenc.
engaged in free competition, char is. competition free of monopoly. themselves compennon, t 11s
e
' 1: l
1 n che first p act-\\' 1et
I her this is imencled or not-
.
conscirme an unorganized monopoly from which all ochers are excluded who are Viccory, rheretore, means . ! l . reduction ro a position ol
. . , closest nvals anc t 1e1r .
unable co compete because they have far smaller resources These ochers are chus dommance O\ er ones . . l hers loss whee her m cerms
Tl 0 f one is here necessan 1\ r 1e or '
directly or indirectly dependent on che 'free" compecicors, and are engaged dependence. 1e gam lrce of social power. Bur
. . . .. , . monev or anv or 11er reso1 .
among themselves in an unfree compecicion for cheir limited opporcunicies. The of land, m1lirar1 opacity, . . cl conflict with a nval
. . . . lacer means conrroncanon ,rn
pressure exerted wichin rhe relatively independent section stands in rhe closest beyond chis. v1cror1 sooner or . . c . l - iJansion of one, and che
of the new c o11ce ,1gain
c che s1cuar10n entorces t le ex
307
Ste!!< Formation a11cl Ciz-i!izatiffll
306 Tix C ProtesJ
. rnx,es and of conrrol of all rhe instrumenrs chat serve physical
absorpcion, subjugarion. humiliarion or desrrucrion of rht ocher. The r""Jizarion Of
power relarionshi ps. rhe tsrablishmtm of dominuion mw be 1cco 1 1
. . . . . . . . , . '.
optn mil1raq or econ.om1c forct. or by peaceful agretmtm; bur however ic
' mp is ied i
$ll
b'ugarion.
w<is in an intermediate period berwetn chest rwo
.
that, in rht
- half of the fifrttnrh cemury. following rht dearh ot Charles VII, the
abour, all rl1ese r1rnlnts are impelled ' wherher slowh or c1uickl\. rl1rc)LIJ.!n a
.. irr berwe:en rhe French branch of the Valois. rhe Burgundian branch wgerher
ot downfalls and aggrandisemems. rises and descems. fulfilmtms and
rrva' remainder of Caperian teud;1liry, and rhe lasr reprtsenrnrive of rhe. great
of
l mtaning.
. . in rhe direcrion. of a new social order. a monO]JO!v. order rli ar none . "in feudalin-. rhe Duke of Brinany, came ro :1 head. Once :1gam the
r 1e parnc1panrs has really 1nrtnded or foresetn. and which re1Jlaces frte . re- Capen, .. . ..
. b. . . . . COl11petJ. p f l t'orces "arhered themselves for a common :1ss:mlr on rhe Pans1an
non } compermon subJtCC ro monopoly. And ir is only rhe formarion f _ centn ug'1 0 . . , ,
. " ) . CJ SUcb Louis XL whose wealrh and power were now p;1rncularly d,mgerous w
monopo l 1<:> r iar hnallr makes 1r ]JOSs1blt ro reguhre rht d 1'sr nb unon Va,01s.
1 . . . I.I l K.. f
L '
l followin" the elimination ot his cl11et opponent 11t 1erro, r 1e mg o
opporrunmts-and rims rhe confticrs rhemstlvts-in rhe inreresr of rI1e .
.. . . . 'moorh. rhen1 al As rhe centre
" .
of nravirr inclintd ever more: rhrearenmgly towards rhe
tuncnonmg collaborar1on mro which ptople are for btner or worse bo d . l d. "
each other. ' un With Fr:nch ruling complex, rhe Burgundian Valois, Charlts rhe once. scared
leirl\ what most of rht Kin n's comperirors must have felr and desired !l1
Alternatives of this kind confronted the warrior families of medieval qtnre c ' . . . "' . .. . " " , ..
rhe face of rhis rhrtar to their soCial e:x1stence: Instead of one king I wish \\e had
roo. . And the .resistance .of the great feudal lords ' and final! .v of Cip ' enan or
pnncely feudal1ty, to the mcreast of royal powtr is ro be understood in th'
Tl . . is sense Louis XI himself by no means ide:nrified wid1 his royal cask from rhe firsL On
1t 1-:1ng m_ Pans was. both in fact and in tht minds of die other
the conm1ry As crown prince he acted vtry much in die same way and _in the
rulers, one rhemsehes. not more: he was a rival. and from a ctrtain ti mt on the
., sili.rir as rhe ocher nrear Caperian feudal lords who wert working tor rhe
most. powerful. most rhreatening rinil. If he won. rhtir exisrenct. social if not sam\.... '" o
. ncenrition of rht French rerriwrial complex: and he lived for a rime ar rhe
physical. was desuoyed: rhty lose whar in their eyes gavt their life mtaning and d 151 _b
court of the strongtst rival of rhe Paris monarchy, rhe Duke of Burgundy. This
splendour, rht1r rndependtnt rule, the control of their famih 11osstssions '
J l . . . . , tneir is certainly bound up wirh faces rhar may be called ptrsonal. above all wi_rh the
,10nour. r 1t1r rank. rhe1r social standmg was ;1r worse annihilartd, at best
peculiar barred exisring berween Louis his. facher. Bm. it is also furrher
If the1 won. centraliwrion. domination, monopoly. rhe scare were
evidence: of rhe specific individualizarion ot rhc nchesr house: 1n rbe land, which
tor a r1mt obsrrucred: Burgundy, Anjou, Brittany. and so on. remaintd for the
in its nun is bound up with rhe apanaging of tach and every prince:. \Vhare:ver
nme bemg more or less independtnt dominions. This may appear senseless to
the earlier causts of Louis's barred for his forher may have been, rhe control of a
some COnttmpo_raries, all the royal officials, and tven ro us in rtrrospecr;
rerrirnrr of his own unired his feelings and actions in a common front wirh his
for by nrtue of our d1ftertnr state of social inregrarion we rend nor ro identify
farhers other riv,ils. Evtn afrtr his accession to rhe throne. he firsr rhoughr of
w1rh such l1m1rtd geographical unics . For chem. the rulers of Burgundv or
avenging himself on chose who had betn hosrilt w him as Dauphin. including
Bnmmy and a largt number of rheir deptndtms. hO\\'tVtr, it was extre:nely
m;in\' !oval servants of rht monarchy, and of rewarding chose who bas showed
wordrn'.hilt rn prevent rht formation of an over-mighry ctntral government
frier;dship for him then. including many opponems of rhe monarchy. Power was
Pans. tor chis mtant rheir downfall as independent social unirs
sti!l. rn a considerable excenr, private property dependenr on the personal
Bm if they wirr; soontr or lacer rht victors confronr each ocher as rivals: and
inclinations of rhe ruler. Bur ir also had, likt any very large possession, a very
rhe ensuing rensions and contlicrs cannot tnd until once again a cltarlv superior
strict regularirv of irs own char its wieldtr could not contravene wirhom
powtr has emerged. }//Jr ilJ. fil tho: capitt1list (jf the 11iw:hcilth :!iicl .;hrm: ,r/!. the
ir. Vtf\' soon rhe enemies of rhe monarchy became rhe enemies of
flcwtidh tt11!111:r. the imj!i!lsi(Jll f(J/l't1rc!r t(011r11i1ic 111r;//f1poli:;t1tirli/ shozcs
Louis;, rhe monarchy became his friends and servams. His
of 11hid1 /Mrtimla1 Cf//11/Ji:titor trimilj1hs Clilcl 011tg1l!ll'S th, others: jl!St as,
personal ambitions became one with the rradirional ambitions of rhe central ruler
ai11011Tt11tly. ill/ tll1ti/r;g11m twdelll} !r11CC1rdr tho: dwrtr do111i11t1tio11 thdt each
in Paris, and his personal qualities-his curiosity, bis almosr parhological desire_
'.'.l1Ji/1Jf!r'./i::;atio11. "uach iilftgrC1tir;11. is enr 111r1re ajJJ>t!i't/// iii the ({)/!/CS! of
to penetrate all rhe secrets around him, his cunning. rhe undeviacing violence ot
.1!t1frJ 'if all 111 E11mpe: Iii the Jell/It u<ry the stmgglus lxtuui! wulienrl 101rrim
his hatred and of his affecrion, even rht naive and inrtnse piery char caused him
homc.r ,111d l<1ter tlii - c. "',;I tr'
11 /:11
re;"''.
(..,
1 11 It""/,; '11 ;;1
t11 tf/ It 1 d guu:Jt.I IJiJl/J!! /J!fJJJ
/cJJ... .11Jr1u' tr1ui:;ras1
rn woo saints. and especially rhe parron saints of his enemies, with gifts, as if
111o11oj1r,/y Joril/atirl/I. The only difference is rh<1r, chert, rhe process rook pbce in a
rhev were venal human beings-all chis now unfolded in the direcrion in which
sphere: ll1 whICh land owntrship and rnle formed an inseparable unirr. whereas
he , was impelled b\ his position as ruler of the French terrirorial
bttr-wirh rht increasing use of money-it has caktn on rhe form of
308
Tht Cii'i!i::.ing Pmress Stc1tt F(Jr//lation and Ciz'i/i:::atir111 309
possessions; the struggle against centrifugal forces, against the rival feudal
. e \V1d1 the P ans . ru Ier As with the Burgundian c
inheritance,
l I-Ithe
b brival'
became the decisive rnsk of his life. And the house of Burgundy, the friends
! nhenranc
l .
came from outs1 cl e.. H ere, roo , the question was whet ier a ,1 s urg
his time as crown prince, became-as the immanent logic of his royal rhis l,1 so ' I ! k B t n\ br mirri1"t
demanded-his main opponents V 5 shou c ta e flt a ' ' b ' whether Charles VIIL the young l l cl
a a o1 XI or i\hx1mdlwn . . . o t- Hcl b s b uro, " rh" Holr Roman Emperor anc - orl
The struggle thus confronting Louis XI was by no means an easy one, At <on of Louis " , I "I incl l11cl 1<"1in become free through the death of tie
times the Paris government seemed on the verge of collapse Bm at the end d w 1ose 1< ' ''='' cl cl
Burgun )-, .
dn helfess As rn . r1e
l c,1se
.. o f Buro"llllclY' the Habsburg agarn succee
_ el
reign-partly through the power which his great possessions put at his disposal )3urgun ia A f- Brirnnv 'lC least provisionally. But arrer muc 1
. ' the younu 0 nne o , ., , l . .
partly through the skill with which he wielded it, and partly through a numbe; 111 marryrng - decided
-finallv .
by t l1e oprn1on
. . o f r he Breron Estates-the. 1e1ress
. . s
of accidents that came to his aid-his rivals were more or less defini ti\ely beaten, concenr10n f ll
, Clnrles of France. The Habsburgs proresrecl, there \\as war
In l-!76 Charles rhe Bold of Burgundy was defeated at Granson and Murten bv hand \vem l a rer...a ls tomd '_hnallr a compromise.
- . ,. he Franche-Comre, which lay
r .
the Swiss, whom Louis had incited ro oppose him. In 1.:177 Charles was k1lled between tit flhl . ' cl cl.cl t belonu to the traditional western Frankish
.d French rernron- an i no b i\I . 1r
while attempting ro conquer Nancy. Thus the chief rival of the French Valois ours1 le . ce cl eal ro t Iie, H1bsburus in exchange i ax1m1
f lands was . o ' I cl.iancl
among the competing Capetian heirs-and, afrer the elimination of the English, comp ex - clo Charles' VIII .s acqu1smon . . . o f- B nttan}.
. . . And when , Charles VII iel.
their strongest rival of all-was himself eliminated from the conflict between recogmze . successor L01us . "XII ' 'a Valois from the Orleans branch, prompt }
.ldl his '
western Frankish terrirorial lords. Charles the Bold left an only daughter, Marie; chi ! ess, . .'
.srin" marnage an nu ll ecl b.} the Pooe and married the twenty-one-
.
for her hand and inherirance Louis competed with the power which was now had 11slei ex1
:<iiclO\vo of- l11s
. L
prec lecessor,. in . or cler to ]Jreserve her inherirance,
. Bntrany,
cl cl
gradually emerging in the larger European context as the main rival of the year-o . l1 llcl. cl no\\ become
, 1 - \ wn estates w l11c - his . \Vhen this marnage pro . uce
Parisian monarchy, the house of Habsburg. As the elimination contests within torl ned Lro hrers the kmu. . cl l11s. eldest , who would receive Bnttany
marne .. as
the western Frankish area drew ro an encl with the predominance and monopoly on y aug 1 . , ther to o t l1e l1e1r-.1ppare
. . . . nr to the rhrone, the nearest 1iVJng .
of a singlt house, rivalry between this vicrorious house, which now began to heiresscl.to f the familv, Count F ranus
mo _ '. . _. of An"ouleme.
o
The danger that this
.
become the centre of the whole country, and powers of a similar magnitude descen ant o n- mwhr . . ta - II mro . t l1e I1,1ncls of 1' rinL
' above all a Habsburg,
omside the country, moved into the foreground In the competition for Bur- imporranr rernro . o f- . And so under the pressure of the
1 cl I sime course o acnon. ,
gundy the Habsburgs won their first vicrory; with the hand of Maria, Max- always e to tie '. l l , rof\ in the western Frankish region that
. irive mechanism, tie asr tern . I l .
imillian gained a large part of the Burgundian inheritance This created a comptt cl omv t l1ro1w l1ou t all rl1e el1 minarion struggles, was s cm 1
LL

situation that feel the rivalry between the Habsburgs and the Paris kings for had preserve HS auron . . - cl p . !. Ar fi- rst when the heir ro the
I l on ot r 1e ans ,mg '
more than two centuries. However, the duchy of Burgundy irsel( and two integrated mro tie c omm1 k. cl the name of Francis I, Brittany
. u f An<>ouleme became mg un er ' - . .
furd1er direct annexations from Burgundian lands, returned to rht crown estates apan,1be o o . . The inclepenclenr-mincleclness of its Estates
of the Valois. The pans of the Burgundian inheritance that were particularly retained a. cerram auronom;.. I . 1 , . o \tr of a sinnle territory was now
cl I1 1li\--- bur r 1c: mi 1t,1n P \ o
needed ro round off French rerrirory were incorporated in it. rema1ne very muc ' c, . . cl" " I 151.2 the
fir too small ro withstand the great clomrn1ons now surroun mo . n nGrmecl
There were now only four houses left within the western Frankish region that ' . . . . . the French domain was rnsnrur10na ! co .
controlled terrirories of any significance The most powerful or, more exactly, the incorporanon of Bnrtan) mro . f- N . , cl Vencl6me, and the
I cl l . 0 f Alencon the counties o l 'evers an
most important and traditionally most independent, was the house of Brittany. Onlv r 1e uc 1) , ' '!< . l n the former western
' . b cl Albrer now remarnec 1
Bur none of these houses could now march rhe social power of Paris; rhe French dominions of Bour on an . . 1 s areas not belonging either to
kings rule had now grown beyond the reach of competition from neighbouring Frankish region as mclependent rernrones, th, t i ' l H bsburus Even though
terrirorial rulers. He rook up a monopoly position among rhtm . Sooner or later, the Paris kings or-like Flanders and_ of may still
by treaty, violence or accident, they had all become dependent on him and lost some of their rulers, such as the lord of Albrer olr . cl 1ons rncl might still
their autonomy. l Id enlarge r 1e1r omm , '
have worked as best : :er cou .ro c , II . more than enclaves within
dream of royal crowns, J their reg10ns were re,1 Y no . . nrireh
Ir was-if one will-fortuitous that rowarcls the encl of rhe fifteenth century I l . . ns of the French kings. The wearers of the crov.n \\ere no\\ e .
a Duke of Brittany left an only daughter on his cltarh, as the Duke of Burgundy ne c om1010 _ lords. The houses rhat once
L

beyond the competition ol these other remroclna., 1

. cl \Virhin the former


had clone before him. The conflict which this accident unleashed shows very
cl l cl . dependence or isappeare .
exactly the existing constellation of forces Of the remaining rerrirorial rulers of existed here ha apse mro . . . ,, were now finallv without rivals; from
the old western Frankish area, none was now strong enough to contest the Breron western
now on rFl1e1r
rankish
posinon clearly the of an absolute
.'.\10 Th, Cizili::iilg P111(tJ-' Stdh Form:1rifJ11 (!ild Cil'ili::dfi(Jll 311

monopoly. Bur omside rhe wtsrern Frankish rtgion similar proctssts had back from within a start, a society with a srable and
'nvont lookrng F or a
raking plact, t\'tn though the monopoly process and the tlimination octugrtt- re . l 1\
10110 of 11 h\'Sical \iolence, a Frenchman li\'ing in "raIKe .
had nowhtre ad\'anctd to tht point they had rtached in france . All rhe same 1hzec mm f l I f
centr, . G . n\ 15 'lj)t to ukt for "ranred rhe existence o r 11s monopo ) o
10 ern1a . , '- ( o . . , .. l
Habsburgs, too, had now assembled family posstssions which, in milirary'a!ld and rht unification of areas of this size and kmcl, as somerhmg n,1rwa
financial potential. far surpassed most of the ocher dominions on the LLtllJD;"'" . l reu-1rd chem as consciously planned; and consequent!),
mainland \Vhar earlier rewaltd itself through the Burgundian and usefu to c' L l l I l to chem in
cl bserYe and t\aluare the particular acr10ns w 11C 1 ec up .
succtssions now emerged, from the beginning of rhe sixteenth century
ten direct use to an order char seems w him self-evident and self-
more and more clearly rhe house of rhe Habsburg emperors and rhe House of the renns o t 1eHe 1s . . l' cl be Ie-s conctrned with rhe acrnal dilemmas and
rnc me to ' . .
French kings, represented ar this srage by Charles V and Francis I, now StooQ
our of which groups and persons actecI former " Iv. , less. with their d1recr
face to face as rivals on a new scale. Boch held, to slightly \'arying
wishes and interests, than with the question wherher_rh1s or char go.od
monopoly powtr oner a \ery large area; they were competing for opportunities
. rl1e chin" with which ht iclemifies And, 1usr as 1f rhe actors of the p,1sr
and supremacy within a large sphere which as yet had no monopoly ruler, and bacl tor "' - l l I
or I 1. cl before their e\'tS a prophetic \ision of rhar tumre w 11c 1 1s to llm so
were rims in a siruarion of "free competition" And accordingly, die alreac '.\' lu nr incl j)trhaj)S so em1)haricall \' a f.fi. rme cl , l1e praises or condemns these
between chem now became, for a long period, a main axis within a larger Jf ev1c e ' , ' , cl cl I l
evolving European system of tensions. se - .a\\..,1rels chem marks according to whether their actions cl1d or 1 nor eac
actors,
1-l In size the French dominion was considerably smaller than chat of the J' '"Cth to tht desired result. _ . .
orBc . l1rotwh such censures, through such expressions ot personal sansfacnon,
Habsburgs. But it was far more cenrralizecl and, abme all, self-contained, better
protected b\ "narnral frontiers" Its western boundaries were the -h 'ut r " .
1"h chis subjecrivisric or partisan new of the past, \\ e usua }
, . ll block our
' W- c
. .. "l rlie elemental'\' formati\'e regu annes an
I d mec . -Iu. msms , ro. the .I'<:al
Channel and rht Atlantic; rhe whole coastal area as far down as Na\'arre was now access tc - . I f- These tormamms
in rhe hands of rhe French kings. The southtrn boundary was rhe J\Itdittrranean; . . l hisron me! socio"enesis 0
ot h1sronca ormanons. .
srrucwr,i ' I l in rht
here too rhe whole coast-\\irh rhe exception of Roussillon and rhe Cerclagne- l
tV"l\S
.. c1-,\elo1)
c
1n rhe su1wi.de
CL
between opposec or. more exact ), fl'
belonged ro the French rulers . To rhe ease the Rhone formed rht frontier with ' " 1. ot- imbi\"llenr imertsrs \Vhar finally meets its encl in such con ices or
reso ur10n ' ' I I .. I
rhe county of Nice and rhe duchy of Savoy: for rhe rime being rhe frontier _ ",. 1 nro new formations, as rhe princely dominions mergec lflto t 1e ro: a
mer..,es 1 ble w these
projected beyond rhe Rhont as far as rhe Alps only in Dauphine and Provence, _c l rO\"tl \)O\\er into rhe bourgeois scare, is no 1ess me 1spensa -
one' anc .' ... . " I
North of chis, opposite rhe Franche-Comre. rhe Rhone and rhe Saone conrinued new formations than the victorious opponent. \V1rhour v10lem acnons'. wit
to form rhe frontier of the kingdom; in its middle and lower parts rhe Saone was 1 motive forces of free competition, there would be no monopoly of force, an
somewhat overstepped. In rht north and norrh-easr the fronriers fel I further short no pacification, no suppression and control of \'iolence owr (P

of chose of presenr-day France: only by raking posst:ssion of dit: archbishoprics of The con\'olurions of the mon:ment leading rn _rht 1nregrnr1on .ot t:\tr-lar"'cr
Merz. 'foul and Verdun did the kingdom approach rhe Rhine: bur these were for
reg10ns arouncI t 11'"c dticl1\ of Fnncii
' '
as rhe ctnrre ot
.
cnsrnll1zat1on,

1llusuare_ he)\\
f .
the rimt being encl:l\"es, outposts within the German Empire: the frontier with I l fonl inte''l"ttion of rhe western Frankish area was rhe omcome o ,1
muc 1 r 1e ' "' ' . . . _" .. " " . cl how
it lay only slightly to rl1t west of Verdun and further north, roughly in rhe series of elimination comesrs in a compellmg proctss ot 1mcnve,n rn,,s, an
region of Sedan; likt rht Franche-Comre, Flanders and Arrois belonged to the little it resulted from a prophetic . ns10n
'Otous \)hn
or a ni:. ' w which all the
Habsburgs One of rhe first issues to be decided in rhe struggle for supremacy individual parries adhered. . .
1 1
against them was how far the frontier would move in chis area. For a considerable "L-,nquesnona
bl }.. Henri Hmser once sa1d ,' .. r I1trt is 1! '. somerhm"
' W'l\'S
' . . . . cl I k' " ."'
period French rule was conrained within these limits. Only in the years berwten slidHh artificial in placing oneself in an ti j>Mhnrm position an oo m':'
1610 and 1659 were the Arrois rtgion, together with the area between France l : from back to front, as if rhe administrative monarchy and the centralizec
and the three archbishoprics and-a new enclavt within the empirt-upper and 11stor} . . . f . " b born and
France of Henry II had been destined since rhe begmnmg o nme to e
lower Alsace, assimilated to France; only now did France approach rhe Rhine. co live within determined limits
A great part of the territory forming France today had now been assembled under On!\' if we are rransporrecI tor a momtm m ro rhe landscape
. of rhe. past,
. and
.
a single rule. All char was in question was the extent of chis unit's possible see strU'"'les between rhe many warrior houses, their viral necessities, their
expansion, the question whether and where it would finally find "natural", i . e. 11are "'" Is... on!\ 1ci. 1 n .1 word , we havt rhe full precariousness of their
in1n1ec
easily defensible, frontiers within the European system of tensions.
struggles and rhe1r social existence b t fore o ur eyts, can we understand how
L
312 T ht Cfrilizi11g PmctsJ Stat<: Formation ,md Ciz'ilizatio11

probable was the formation of a monoi)olv within rhis 1re1 bLit [10 . _ on of tendencies Even though the "societalization' or "collecrivizarion"
' ' \V uncertoj succe,s1 . . . . . . .
centre and i rs boundaries "ll it> monopolies ll1 rhe course of such change only reaches rrs full extent ,rnd
To some extent rhe same is true of rhe French kings and rheir dominant ar a late srage, rhe srrucrures leadmg up to rr were already
as was once said of rhe Amerirnn pioneer: 'He <lidn t want all rhe land h ,md active in rhe phase in which. through numerous struggles, the power
wanted the land next ro his." 1"" ' e olv slowlv emerged in the form of a private possession.
rnono P . . .
This simple and precise formulation expresses verv well how f Cenainly the French Revolunon, for example, represents a massive srep on the
. . .. " . . . . . . ' rom the
mtenvea\ mg ot coundess md1v1dual interests and intentions-wherhe . d' wav ro the opening-up of the monopoly of taxation and physical force in France.
1 . . . . . . r ten 10
m r 1e same directwn or m divergent and hosnle directions-somed g B;re, rbese monopolies did pass into power, or at least the
b . <-: 11ng
rnro c:mg that was planned and Intended bv none of these inclividLr l . rLttionallv secured control, of broad soCial classes. fhe central ruler, whatever
,1 s, yet 1nsn
emerged nevertheless from their intentions and actions And reillv rl ride be may bear, and all rhose exercising monopoly power, became mo_re
l 1 . . . . . . ' . 11s is the
\\ 10 e secret of SOCJal hgurarwns, their compellinu dvnamics their st .
. . . o . rue.rural uneq lll.vocallv. rhan before functionaries among others within rhe whole web of a
regu 1ar1t1es, their process character and their development this is the society based on rhe division of functions. Their functional dependence on rhe
. . . ' secret of
socwgenesis and of relatwnal dynamics. representatives of other social functions has become_ so great that ir is clearly
The representatives of rhe French monarchy no doubt jJOssessed b\ . . ressed
exp in the orvanizarion of societv. However, this. funcrwnal dependence of
1 . . . . virtue of o _ .
r 1e1r more central. pos1t1on m. rhe later phases of rhe movement, rather larger rhe monopolies and their incumbents on other funcrwns ot soCiety was already
intentwns and radu ot acnon w1rhm rhe process ot integration rhan rhe individual resent in the preceding phases. Ir was merely less developed, and for this reason
p nor expressed in a direct and unconceale cl way 1n
was . t l1e orgarnzanon
' ' an cl
Amencan pioneers. But they, roo, saw distinctly only the next few steps and the
next piece of land that thev had ro obtain ro prevent it buoin<> ro rnorlier d insrirurional srrucrure of society. And for this reason the power of rhe monopoly
o (. , an to
a troublesome neighbour or rival from growing suonger than themselves. ruler had at first more or less rhe character of a "private possession".
J\nd u some among them did harbour an image of a larger realm. rhis image was 16. As noted above tendencies towards a kind of "societalizarion" or "collecti-
for a long penod rather the shadow of past mono1Jolies a reflection oF h vization" of rhe monopoly of a single family show themselves under certain
c r ' '
aro mgian and western Frankish monarchies; more a product of memory than of
. t e
conditions-namely, when rhe area ir controls or irs possessions begin ro grow
prophecy or a new_ concept of rhe future. Here, as always. from the tangle of verv large-even in societies with a barter economy. \'Vhar we cal! "feudalism",
mnumerable md1v1dual interests, plans and actions, a single development was described above as rhe work of centrifugal forces, is no more than an
emerged, a regulanry governing rhe rotality of these entangled people and expression of such tendencies. They indicate rhat rhe funcrional dependence of a
intended by none of rhem, and giving rise ro a formation rhar none of rhe actors lord on his servants or subjects, that is, on broader strata, is increasing; rhey lead
!:ad really planned, _a state: France. For this wry reason the understanding of a ro the transfer of control of land and military power from the hands of a single
formarwn of this kmd requirts a breakthrough ro a still little-known level of warrior family and its head, first to rhe hierarchy of its closest servants and
re_aliry: _rn the le\el of the immanent regularities of social relationships, rhe field relations, and rhen in some cases ro rhe whole warrior society Ir has already been
ot reLmonal dynamics pointed our rhar in feudal society rhe "socieralizarion" or "collectivization", as a
result of the peculiarities of land-ownership and rhe insrrumems of violence,
means a dissolurion of the centralized--even if only loosely centralized-
VII monopoly; ir leads to rhe transformation of a single large monopoly possession
inro a number of smaller ones, and so to a decentralized and less organized form
The Power Balance within the Unit of Rule: of monopoly. As long as land ownership remains the dominanr form of
Its Significance for the Central Authority- ownership, new shifts in this or that direction can rake place: the esrablishmenr
the Formation of the "Royal Mechanism" of supremacy within free competition, the assembly of large areas of land and
masses of warriors under a single cenrral lord; waves of decentralization under his
15 Two main phases have been distinguished in the development of successors, new struggles in different strata of their servants, their relations or
monopolies: the phase of free competition rending ro rhe formation of private their subjects, new attempts ro gain supremacy. And this whole ebb and flow of
monopolies. and rhe gradual rransformarion of "private' into "public" mono- centralization and decentralization can sometimes--depending on geographical
polies Bur on closer consideration this movement does nor consist of a simple or climatic facrors, on particular economic forms, on the kind of animals and
Th, Cizi!izil!g Pr11ct..> 15

plams_ on which the lift of people d_epencls, and always in conjuncrion with eptndence of the many scatctred rulers re-emerged more clearly. Each
trnd1nonal strucrnrt of OQ,:amztd rtl1g1on-all this can lead to a complex ,ore rd l l
. 'd Lhil \\ ' is thrtattnt:d if the whole armv failed ta co-operate. Anc as, in t 11s
' d1VJ
of social deposits from the various shifts. The hisron- ofothtr in n the dependence of all on a central ruler. the king. increased con-
feudal societies everywhere follows the same pattern in. this respt,ct. Bue siruano ' . . . . . . - - .
so too did his importance. his soCial power-provided he tulhlled his
much this kind of ebb and flow is detectable in tht development of F . fonnion. provided he was nor beaten. But when the external threat or
- . . . . . ranee, l!J
companson with most orher societies the movemem here tollmvs a 'bilitv of expansion lapsed, the dependence of individuals and groups on a
l
srraight path_ 'L''"'v"''" poss and reuulat1ng centre was rt lat1ve lv s l.1g l1t 'fl11s f-unct10n

supren. 1e co-orcl111at1ng . c. _ , .
This rhythm that over and over ;wain threatens the dissolution of ! emerges as a permanent. sptCialized rnsk ot the central organ when society
. . . . . "'. . - - t 1e great
monopolies ot_ power and possesswns 1s '.11_od1hed and lmally broken only to the
as a whole becomes more and more diffcrcntiared, when irs cellular srrucrurE:
extent that, w1d1 the growmg d1ns1on at functions in society, money rather but incessantly forms new functions, new professional groups and classes.
land becomes the dominam form of proj)ertv. Onlv then is the cent 1 Onlv then do regulating and co-ordinating central organs for maintaining the
. . - - . ' oL ra.1zed
monopoly:, rn passing from the hands ot one ruler or a small circle into the wh;le social network become so indispensable that while alterations in the power
comrol of a larger not broken up into numerous smaller areas as was tht srrucrure can change their occupants and even their organization, they cannot
case rn _each advance _at_ teudalization; instead, it slowly becomes, centralized as it dissolve chem. as happened earlier in the course of feudalization
i_s, an rnstrument at funct:onally divided society as a whole, and so first and t7. The formation of particularly stable and specialized central organs for large
foremost a central organ of what we call the state. uions is one of the most prominent features of \Vestern history. As we han:
re0
The development of money and exchange. together with the social formations said, there are central organs of some sort in every society. But as the
carryrng them,_ stands in a permanent reciprocal relationship ro the form and differentiation and specialization of social functions have attained a higher level in
development at monopoly power within a particular area These rwo series of the \Vest than in any other society on earth-and as they begin ro reach this level
developments. consramly imercwining, drive each other upwards. The form and elsewhere only through an imperns coming from the \Vest-it is in the \Vest that
development of power monopolies are influenced on all sides b\ the differ- specialized central organs first attained a hitherto unknown degree of stability.
entiation of society, the advancing use of money and the of classes However, the central organs and their functionaries do nor necessarily gain social
earning and possessing money On the other hand, the success of the division of power corresponding to their rising importance as supreme social co-ordinators
labour itself, the securing of routes and markets over large areas, the standardiza- and regulators. One: might suppose that, with advancing centralization and the
tion of coinage and the whole monetary system, the protecrion of peaceful srricrer control and supervision of the whole social process by stable authorities,
production from physical violence and an abundance of orher measutes of co- the rift between rulers and ruled would be deepened. The acrnal course of history
ordination and regulation. are highly dependent on the formation of large shows a different picrnre. \Vestern history is certainly not lacking in phases when
centralized monopoly institutions. The more, in other words. the \\ork processes rhe powers of the central authority are so great and wide that we may speak with
and the totality of functions in a society become differentiated, the longer and some justice of the hegemony of single central rulers. But precisely in the more
more complex the chains of individual actions which must interlock for each recent hisrory of many \Vtstern societies there are also phases when, despite their
action ro fulfil its. social purpose. the more clearly one specific characteristic of centralization, the control of the centralized institmions themselves is so
the central organ emerges: its role c1s .flljlre111t (1J-ordi1Mt11r mid rcg!!!t1t11 r the dispersed that it is difficult ro discern clearly who are the rulers and who tht
dijjirc11tir1tecl ,if From a certain degree of flrnctional ruled. The scope for decision vested in rhe central functions varies. Sometimes it
differentiation onward, the complex \veb of intertwining activities simplv increases: then the people exercising these functions rake: on the aspect of
cannot continue ta grow or even to function without organs "rulers" Sometimes it diminishes, without centralization, or the imporcance of
correspondingly high level of organization Their role is no; entirelv the central organs as the highest centre of co-ordination and regulation, being
lacking in the central institutions of more simply organized less diffe;- reduced. In other words. in the case of the central organs as of all other social
entiated societies. Even a society as loosely bound together as that of the manv formations, two characteristics must be distinguished: thtir ji111ctiu11 zrithi11 the
autarkic estates of the ninth and tenth cenruries needed a supreme co-ordinat;r hiililtli! iltfli r;;f fl) u hich the) be!u11g. t111cl th, s11(ia! jlou er thcrt is l'l:Sted i11 the f!111ctio11.
under certain conditions. If a powerful enemy threatened from outside, necessi- \'Vhat we call "rule" is, in a highly differentiated society, no more than rht
tating war, someone was needed to ensure the collaboration of the manv knights special social power with which certain functions. above all the central functions,
to co-ordinate their activity and to rake the final decisions. In this th; endow their occupants in relation w the representatives of orher functions. Social
_::; 16 The Cil'ili:i11g Process 317
Std!t Fon1Mtir111 t11Jd Ciz-i!i:ation

power, however, is decermined, in the case of che highest central funccions funnion. Ir appropriated it by virrue of che size of ics
highly differen:iaced in exactly the same way as with all othFts: it uhired in the course of the struggles. and its monopoly control ot army and
corresponds-it these functions are nor allied ro permanem control of individual -ccun1 l
The function itself derived its form and power trom r 1e mcreasmg
hereditary monopoly power-solely ro rhe degree of dependence of rhe ni:,:s . ri"on of funcrions within sociecv at large . And from this aspecc it stems.
ditterenti,1 . . L _ _

interdependent functions on one another. Growth in che "power" of rhe central _ "<dH rhoroughlr paradoxical rhac the central ruler m this earl} phase ot
ar fir:-it Ste , (.., . . .
functionaries is, in a society wich a high division of functions, an expression of fi rmarion should attam such enormous social power. For. from the end of
the face rhar the dependence of other groups and classes within this society on a Ages onwards. with che rapid advance of the division of functions.
supreme organ of co-ordinacion and regulation is rising: a fall in the latter appear;; monarchy became more and more perceptibly dependent on the other
ro us as a limirarion of rhe formeL Nor only rhe earlier srage in rhe formation of ns preciselr this rime the chains of action based on division of
states which is central ro the present study, but also the contemporary hisrory of
. .. .
-
funcnon s cook on ever wider sco1Je and ever "'arearer durabilin- : The autonomr
. ot
the \\/es tern figuration of scares, offers examples enough of such changes in. the I Processes ' the central authoricvs
socia character_ as a funcnonary, which . grad-
social power of the central functionaries. They are all sure indications of specific uallr received clearer institutional expression alter the French Revolut10n, were
changes in rhe system of tensions within the society at large. Here again, beneath bv rl1 is rime far more prominent than in the Middle Ages. The depend_ence the
all the differences between the social structures, we find certain mechanisms of ' ! lords on rhe revenues from their dominions was a clear mcl1Cat1on ot chis.
centra
social interweaving which-at least in more complex societies-rend verv Bevond doubt, Louis XIV was incomparably more rightly bound ro this vase and
generally cowards either a reduction or an increase in rhe social power of non1ous network of chains of actions ' than, for example, Charlemagne. How,
auto .
central authorities . \\/hether it is rhe nobility and the bourgeoisie, or the therefore, did rhe central ruler in this phase have, to begin with, such scope for
bourgeoisie and the prolerariat, whether, in conjunction with these larger decision and such social power that we are accusromed ro call him an "absolute"
divisions, it is smaller ruling circles, such as competing cliques within a princely ruler;
court or within the supreme military or parry apparatus, char form che rwo poles It was nor only rhe prince's monopoly control of military powtr which held
of the decisive axis of tension at a given rime within society, it is always a quire the ocher classes within his rerrirory, and especially the powerful leading groups,
definite sec of social power relationships which strengthens rhe position of rhe in check. Owing ro a peculiar social constellation, the dependence of precisely
authority at their centre, and a different set chat weakens it. these groups on a supreme co-ordinaror and regularor of cht tension-ridden
Ir is necessary to deal here briefly with che figurarional dynamics which srrucmre was so great at this phase char, willingly or not, for a long period they
determine the power of the central authority The process of social centralization renounced che struggle for control and participation in the highest decisions.
in the \'\/est, parcicularly in rhe phase when "states were formed, remains This peculiar constellation cannot be undersrood unless we rake account ot a
incomprehensible, like rhe civilizing process itself, as long as rhe elementary special quality of human relationships which was likewise emerging with the
regularities of figuracional dynamics are disregarded as a means of orientation increasing division of functions in socitcy their 1Jf't11 or !t1t1:11t .1111hi1idu1c, In the
and as a guide ro both thought and observation. This "centralization .. or stace- between individuals, as well as in chose between different functional
formacion has been shown in the preceding sections from che point of view of the strata, a specific cl!!ality or 1:1-w 111!!/tiplicity nf i111tn:sts manifests itself more
power-struggle between various princely houses and dominions, i . e. from the stronglv, che broader and denser the network of social interdependence becomes.
point of view of what we would roday call the foreign affairs" of such ,;l[ people, all groups, estates or classes, are in some way dependent on one
dominions. Now the complementary problem poses itself; we face rhe task of another: chey are potential friends, allies or partners: and they are at the same
tracing the figurarional processes 11'ithi11 one of rhe uni rs which give che central rime potential opponents, comperirors or enemies . In societies with a barter
authority-as compared with the preceding phase-a special power and durabil- economr there are sometimes unambiguously negative relationships, of pure,
iry, and drns endow che whole society with the form of an "absolutist srate". In enmirr. \\/hen migrant nomads invade a settled region, there need
hisrorical reality these two processes-shifrs in power between classes ll'ithin a be in their relation," with rhe settlers no trace of mutual functional dependence.
unit and displacements in the system of tensions bet11w1 different unics- Between these groups exists pure enmi cy ro the death. Far greater, roo, in such
consrantly intertwine
societies, is rhe chance of a relationship of clear and uncomplicated mutual
In the course of the struggle between different terrirorial dominions one dependence, unmixed friendships, alliances, relationships of love or service. In
princely house-as we have shown-slowly outgrew all the others. Ir thus rhe peculiar black-and-white colouring of many medieval books, which ofren
assumed the function of supreme regularor for a larger unit; bur it did not create know nothing but good friends or villains, che greater susceptibility of medieval
316 The Cil'i!i:::i11g P1r1(tJS State Fom1c1tio11 a11d Cil'ili:::atio11

power, however. is derermintcL in rht case of rhe highesr cenual foncrions of a his funcrion Ir appropriarecl ir by virrue. of rhe size of irs
highh- differenriared socierv. in exacdv rhe same wav as wirh all orher"' .
::::.* 1t t ubred in rhe course of rhe srruggles, and ns monopoly control ot arnw and
<....
ace urn . _ . . .
corresponds-if rhese funcrions are nor allied ro permanenr conrrol of individual The funcrion irself derived irs form and power trom rhe mcreasmg
hereditary monopoly power-solely ro rhe degree of dependence of rhe ra.xes. -. . . l. . l A cl t. l. .
d'lferenriarion ot tuncr10ns w1r 1111 soc1c:ry ar arge. n rom t 11s aspecr n seems._
1
inrerdependenr funcrions on one anorher. Growrh in rhe "power" of rhe central
-r fl. rs t sihr.
o .
rhorou"hh'
o .
paradoxical char rhe central ruler in rhis tarly phase of
funcrionaries is, in a sociery wirh a high division of funcrions, an expression of :rure-formarion should anain such enormous social p?wer For,. from_ encl of
rhe facr rhar rhe dependence of ocher groups and classes wirhin rhis society on a 'fiddle Ages onwards with the rapid advance of rhe cl1v1s10n ot funcr1ons,
rhe 1' ' .
supreme organ of co-ordinarion and regularion is rising; a fall in rhe larrer appears , 1 monarchy became more and more percepnbly dependent on rhe other
ro us as a limirarion of the former. Not only the earlier stage in the formarion of :"e
runcn
ons Ar 1xtciselv rhis rime rhe chains of acrion based on division of
. . _
srates which is cenual to the present study, bm also rhe contemporary hisrory of foncrions rook on ever wider scope and ever grearer clurab1lity.. The auronomy ot
rhe \Vesrern figurarion of srares, offers examples enough of such changes in the social processes, rhe cenrral amhoriry's as a functionary, which gracl-
social power of rhe central funcrionaries. They are all sure inclicarions of specific ll received clearer insrirurional expression atrer rhe French Revolurron, were
v -
changes in rhe sysrem of rensions wirhin rhe sociery ar large . Here again, benc'lltll bv r.his rime far more prominent rhan in the Middle Ages The dependence rhe
all rhe differences berween rhe social structures, we find cerrain mechanisms of lords on the revenues from their dominions was a clear indication ot rhrs
social inrerweaving which-ar lease in more complex socieries-rend very Bevond cloubr, Louis XIV was incomparably more righdy bound ro rhis vasr and
generally rowards eirher a reclucrion or an increase in the social power of rhe au;onomous nerwork of chains of acrions, rhan, for example, Charlemagne. How,
central amhorities. \Vherher it is rhe nobiliry and rhe bourgeoisie, or the rherefore, did the central ruler in rhis phase have, ro begin with, such scope for
bourgeoisie and rhe proletariat, whether, in conjunction with rhese larger decision and such social power rhar we are accusromecl ro call him an "absolme"
divisions, it is smaller ruling circles, such as competing cliques wirhin a princely ruler 1
courr or wirhin rhe supreme military or parry apparatus. rhar form rhe rwo poles le was nor only rhe prince's monopoly control of milirnry power which held
of rhe decisive axis of tension at a given rime wirhin sociery, ir is always a quite the ocher classes wirhin his rerrirory, and especially rhe powerful leading groups,
clefinire ser of social power relarionships which suengrhens rhe posirion of the in check Owing ro a peculiar social consrellarion, rhe dependence of precisely
aurhoriry ar rheir cenrre, and a different ser rhar weakens ir these groups on a supreme co-orclinaror and regularor of rhe rension-ridclen
Ir is necessary ro deal here briefly with rhe figurarional dynamics which smICrure was so grear ar rhis phase that, willingly or nor, for a long period they
derermine rhe power of rhe cenrral amhoriry. The process of social cemralization renounced rhe srruggle for conuol and parriciparion in rhe highesr decisions.
in the \Vesr, particularly in rhe phase when "srares" were formed, remains This peculiar consrellarion cannor be undersrood unless we rake account of a
incomprehensible, like rhe civilizing process itself, as long <lS rhe elememary special qualiry of human relationships which was likewise emerging wirh rhe
regulariries of figurarional dynamics are disregarded as a means of orientation increasing division of funcrions in socitr!: their r,p,11 ur latwt .i111birdc11c" In rht
and as a guide ro both rhoughr and observarion. This "centralizarion" or stare- rtlarions berween individuals, as well as in chose berween clifferenr funcrional
formarion has been shown in rhe preceding secrions from rhe point of view of rhe strata, a specific cl!!ality or 1:zw 111!!/tip!icit) of i11t1:1nts manifesrs irself more
power-srruggle berween various princely houses and dominions, i.e. from rhe strongly, rhe broader and denser the nerwork of social interdependence becomes.
point of view of whar we would today call rhe "foreign affairs" of such Here, all people, all groups, esrates or classes. are in some way dependent on one
dominions . Now rhe complementary problem poses itself; we face the rnsk of another; rhey are porential friends, allies or parrners: and they are ar rhe same
tracing rhe figurarional processes zl'ithi11 one of rhe unirs which give rhe cemral rime porential opponents, comperirors or enemies. In socieries wirh a barrer
aurhoriry-as compared with rhe preceding phase-a special power and durabil- economy rhere are somerimes unambiguously negarive relarionships, of pure.
iry, and rims endow rhe whole society wirh rhe form of an "absolmisr srare, In unmoderared enmiry. \Vhen migrant nomads invade <l seeded region, rhere need
hisrorical realiry rhese rwo processes-shifrs in power berween classes zcithin a be in rheir relations wirh rhe seeders no trace of murnal funcrional dependence.
unir and clisplacemems in rhe sysrem of rensions betll'ew different units- Between these groups exisrs pure enmity ro rhe clearh. Far grearer, roo, in such
consranrly interrwine. socieries, is rhe chance of a relarionship of clear and uncomplicarecl muwal
In rhe course of the srruggle berween different rerrirorial dominions one dependence, unmixed friendships, alliances, relarionships of love or service . In
princely house-as we have shown-slowly omgrew all rhe ochers. It thus the peculiar black-ancl-whire colouring of many medieval books, which ofren
assumed rhe funcrion of supreme regularor for a larger unir: but ir did nor create know norhing bur good friends or villains. rhe grearer suscepribiliry of medieval
-' 19

realin- to relationships of this kind is cltarly expressed 0.:o doubt, at tLiill\ de11enclent rhrmwh the diYision of functions. art struggling
1s n1u '" , C> ,
the chuns or functional interdependencies art relari,eh shorr- opporwniries. They mo are at once opponents and partner: Thtrt art
swirches from ont extreme to another. an t<lS)" changeovtr. from fi.rm fri -
situat1011 s in wl1ich the exisrinu
c- oruanizarion
c ot a socitt\" tuncuons
_ so
rnrn \1olenr enmity also occur more frequendy A.s social funcrions and iind the tensions within it grow so lari::t:. that a large portion of the people
become increasingly complex and contradicrnn-. we find more ind . tliin it "no lonuer care" In such a sirnauon the negat1Ye side of the
.. . . . _ ' more classes \\I o . . -. . .
guendy ll1 the behanour and tttlmgs of people a peculiar split. a rehirionships. rhe opposltlon ot 1meresrs. may so gam the upper hand
positi\e. and ntgatiYe elemtnts. a mixture: of muted affecrion and muted t-I\"' ci.clt the communir\ of intertsts arising from the interclepen-
rhe pos1 c " . . . . L,. _ _

lll varying proportions and nuances. The possibilities of pure, of functions. char there are v10lent chscharges or tens10ns. abrupt shifts u1
enmity grow fewer: and. more and more perceptibly. e\en- accion taken soc1a 1 ce- nrre of , :ur1vin
: :- ' . . me!
' reoruanization
::::- of sucien. on a changed
._ social
an opponent also threatens the social existence of its perpttrator: it disturbs Up ro chis reYolmionary sirnarion. the classes _bound together by the
\\'hole mechanism of chains
. of action of which tach is 11nrr
( . ' . Ir woLil cl ta ke us of functions are cast back and forth between their split and contradictory
tar ahtld to explore lll derail this funch1memal ,i111bir:!le1!c"1: 0/ . _ . Thev oscillate between the dtsirt to win major advantages over their
1nrere,rs. . _ _ _ . .
consequences in political life or ps\-chological nnke-Uj) rnd its s.o" - opponents and their tear of rurnmg rht whole social apparatus_. on the
. ' ' uogenes1
reLmon to the advancing division of functions. But the little chat has " - " of which their actual social existence depends. And this is the
1uncnornno
been said shows it rn be one of the most important structural characreristics constellation. the form of relarion_ships. char harbours the_ key to an
more highh de,elope:d societies. and a chief factor moulding ci,ilized conduct. . t' rl1, clnn<,es in the social i)ower ot the central tuncr1onanes !1 rhe
d inc c1 1.. ' - -

Increasrngly with_ the growing diYision of functions, are the co-opeuitI of the 11owerful
> 'on functional classes giYes rise to no special
. difficulties,
.
relauons btrween d1tterent units or powtr Tht relations between rhe states their conflicts of interest are nor great enough to conceal from them rhelf
m\n rime. . abo\e
. . all_ in
_ Europe.
_ offer a clear cxam11le
of this EYen if 1ntegrat1oo 1 del) pndpnce me!
L < L
to threaten the functioning of the tmire social appara-

and the
. . . d1ns10n
. _ ot
_ tuncr10ns
. h1:nc,c11 them have not Yet 1chmced
. ' ' is
' t'a r as t he rus. the scope of rhe ctnual authorit\' is restricted It rends rn increase when the
cl1Y1s1on ot tuncnons 111thin thtm. neYerthtltss e\en- military exchange tension between certain leading groups of society grows. And It atra1ns HS
threatens this differentiated network of nations as a whole. chat in tod optimum leYel when the majority of the rnrious functional :=lasses are suU so
tht Y1cror himself hnds himself in a seriously shaken position . Ht is no concerned ro presen-e their social exisrenct in the esrnblished form that thty fear
able--or wil!ing-ro depopulate and devastate the en em\ countn- sufficientlvJ t.0 anv major disturbance of the rornl apparatus and the concomitant uphearnl_
stttle a pa:r of his own population in it. He must, in the interests of vicrory. their own existence. while at che same rime the structural contlicr or
destroy as iar as possible the industrial power of rht entm\, and at tht same .. interests between powerful groups is so great that an ordered voluntary
in tht inttresrs of his own ptace. rn- within limits rn ;,restrn or rtstore chic compromise can scarcely be reached. and troublesome social skirmishes without
industrial apparatus. Ht can win colonial possessions. frontier rt\isions, expor; a decisive outcome becomt a ptrmant:nt feature of social life. This is most acutely
markets. economic or military adrnmages, in short, a general advance of his rhe c,ise in phases when cliffertm groups or classts of a society han: attained
power: bm just because. in the struggles of highly complex societies. each rival roudilv rht same power. and hold each ocher in balance. even though, like the
and opponent is at the same time a partner at the production line of rhe same and the bourgeoisie. or the bourgeoisie and the proletariat, they may be
machinery. e\try sudden and radical change in one sector of chis network on a guite unequal footing. Someone who, in this constellation, in
ine\irabh !tads to disruption and changes in another. "fo be sure. rht mtchanisrn a society \\taried and disrurbecl by inconclusiYe struggles, can acrnin power owr
of competition and monopoly does not for this reason ceast to optrate. Bur rhe che sui;reme organs of regulation and control. has the chance of _enforcing_ a
mev1rnble conflicts grow increasingly risky for the whole precarious svstem of compromise between rht divided interests in order to preserYe the ex1sung soCial
nations. However. through these very tensions and discharges the fi.guration distribution of power. The various interest groups can move neither apart n_or
moves slowly towards a more uneguiYocal form of and an cogerher: this makes chem dependent on the supreme central co-ordinator for
integration. perhaps at first of a federative kind. of larger units around specific social existence to a guire different degree from when the imerdepenclent
hegemonial cemres imeresrs are less diYergem and direct agreements between them more easily
And the relationship between different social classes 1cithi11 a dominion reached. \Vhen rhe situation of the bulk of the various functional classes, or at
becomes. with the advancing division of functions. more and more ambivalem in least their acriw leading groups. is nor yet so bad char they are willing to put
the same way Here. mo. within a far more rtsrricrecl space. groups whose social rhtir social existence at risk. and yet when they feel themselves so threatened by
320 State Formation a11d Ciz-ilization 321

each.
ocher, and power. is so evenlv distributed between rhem cl1,u tac I1 society specific interests. Ir is his function to superintend rhe
sl1ghcesr advantage ot the other side, rhey tie each ocher's hands: this security of rhe whole of society as ir exists, and he is rhus concerned
central authority better chances than any ocher consrellacion wichin interests of rhe other functional And rhis cask, wirh which
balance r l1e . . . . . . .. .
gives those invested wirh chis authorirv whoen:r che\ nn b c!1 . Iv confronted bv da1h expenence and \vh1ch condmons l11s \Vhole
. . . . . ' . '-' ' e opr1mal 15 sunp. : . . .
for dec1s1on. The vammons on rhis figuration in hiscorical realitv are f socicry-rhis cask irself d1srances !um from all rhe other groups of
0
Thar it only emerges in a clearly delineated form in more Bur he musr also. like any orher person, be concerned for his own
,;,ncf!IJ 11""
societies, and rhac in less interdependent societies with Im;er d' . . survival. He must work ro ensure rhat his social power is nor but,
f .. l\1s1on
uncnons 1t is above all mil1tary success and power rhar form rhe basis of a . . h'n, increased In rhis sense he. roo. is a party within rhe play ot soCial
1fanyr 1 g, . .
central aurhoriry over large arc:as, has already been srnced. And even in : r 1s l1is imeres1s throuuh rhe j)tculrnnrv of his funcr10n, are bound
=I .. . war or con fl ices with orher powers u ' b f ces. InSot'1 ' "' .
p ex soc1enes, success m or . l1 rhe securirv and smooth functioning of rhe whole social srrucrure, he
. I . cl . . . naou tedj.;
P1)S a ec1s1ve part for strong central aurhorities . Bur if for rhe time bein : up wi: .our some individuals within rhis structure, he musr win barrles and enter
. . .. . .
disregard rhese external relations of a society and their influence on the g we .. \"I'tl1in ir wirh a view ro his personal position. Bur 111 rh1s
l!lhances " "' . . . . ,.
balance, and ask how a strong central authority is possible in a richlv res rs of rhe cenrral ruler ne\er become qlflte 1denncal w1 rh those or any
the w,e . . .
entiared society, despite rhe high and evenly disrribured orher chiss or group. They may somenmes w1rh. of one group or
functions, we always tine! ourselves confronted wirh thar specific const ll bur ifhe identifies too stronuly with one of rhem, if rhe d1srance between
. e at1on 3 not hr e, "' . . . .
which can now be srnced as a general principle: the hom of the stm11a cwtral aiit' . himself and any group diminishes roo far, his own soCia! posmon is sooner or
.. I. . I. . I. ... ' . . . ,, . /}(Jffty
ll 1tJ111 a J1g;/y cl1jje1e11twtetl sooety stnkes whw the cm1bimle11cu o/ i11ttrcsts of the later threatened. For irs srrengrh depends, as nored above, on the one hand on rhe
1111jJorta11t )1111ctw11ril grrw/1s gmzcs so lmge. r111d pouu is clistrib!!ted s11 ez-mfr reservation of a certain balance between rhe different groups, and a certa111
thm1. that there "111 he 11eitha cl du"i.rfre co/J//Jromise 11or a rkcisin crr11jlict bttu:Cn of co-operation and cohesion berween the different interests of society:
fr is a figL!rarion of rhis kind co which here rhe rerm royal mechanism" is it also depends on rhe persistence of sharp and permanent tensions and
fact rhe central authority arrains rhe optimal social power of an conflicts of interest between rhem. The central ruler undermines his own
absolute monarchy in conjuncrion wirh such a consrellarion of social forces. position in using his power and support to make one group clearly superior co
Bm _
this balancmg
.
mechanism is certainlv. nor onlv. rhe sociouentti'"
o c
moti."e '
c.
tOrCe others. Dependence on a supreme co-ordinator. and rims his own funcr1onal
of_ a powerful monarchy; we find ir in more complex societies as rhe foundation dominance, necessarily shrink when a single group or class of society unequi-
of every strong one-man rule, whatever irs name might be. The man or men at vocallv has rhe upper hand over all ochers, unless rhis group is itself torn by
the centre are always balanced on a tension between greater or lesser groups who intern.al tensions. And rhe central ruler's position is no less weakened and
keep each orher 111 check as interdependent antagonists. as opponents and undermined if rhe tensions berween rhe leading groups of society are so reduced
at on.ce This kind of figuration may appear ar first sight extremely that thev can serrle their differences between themselves and unite in common
fragile. H1sroncal reality shows, however, how compellingly and inescapably it actions .This is rrue ar least for relatively peaceful rimes . In time of war, when
can hold 111 the individuals who constitute it-until finally the an external enemv of the whole of society, or ar least of its mosr important
contmuous sh1h. of its centre of gravity rhar accompanies irs reproducrion must be ;epulsed, a reduction of internal tensions can be harmless and
through generations makes possible more or less violent changes in rhe mutual useful even to rhe central ruler.
bonds of people. so giving rise ro ne\v forms of To put the matter in a few words, rhe central ruler and his appararus form
18.. The. regularities of social dynamics place rhe ruler and apparams in within his socierv a centre of interests of its own. His position often urges an
a cunous s1ruanon, rhe more so the more specialized rhis apparatus and irs organs alliance with rhe .second mosr powerful group rather than identification with the
become . The central ruler and his staff may have reached rhe rop of rhe central mosr powerful; and his interest requires both a certain co-operation and a certain
adminisrrari.on a.s p:oponents of a particular social formation; or rhey may be tension between society's parts . Thus, his position nor only depends on the
recrll!red pnmanly from a certain class of society Bur once someone has attained nature and srrengrh of rhe ambivalence between rhe different formations making
a position in rhe central appararus and held on to ir for any rime. ir imposes its up society; his relationship ro each of rhese formations is itself ambivalent.
own regularities upon him Ir distances him in varying degrees from all rhe other The basic pattern of society rhat emerges in this way is very simple. The single
and classes of society, even rhe one which has brought him to power and ruler, the king, is always as an individual incomparably weaker than the whole
tram which he originates His specific function gives rhe central ruler of a society whose ruler or first servant he is. If this whole society, or even a
Th, Ciriliz.ing Pr11c"u-' St"h Fr11wc1ti1111 <111J Cil'i!i::ati1111

considtrablt part of 1r. stood W_l<et_her him. he \\ould bt powerless hev wn have no efftcc At the wuch of a finger an individual releases the
rl1em r , . .
tvery individual is ]JO\\ trlc:ss !fl bet ot pressure lrom a \\ holt net"' 1 '
1
of one side: he umres h1mselt with the latent torces operatmg 111 ont
n0f,t(
interdependent ptople fht un1qut posmon, the: abund,rnce of power so chat they gain a slight advantage. This enables them to become
a single ptrson as tht cenual ruler of a society is w bi= explained. as we This type of social organization represents as it were a power-station
by the fact that tht inttrests of ptople in this society art pardy alikt and uuromatically multiplies tht smallest effort of the person in control.. Bm
oppostd. that their anions art both adjusted ro and contrary co each _. remelr cautious manipulation of chis apparaws is called for if it is to
needs; it is explained by the fundamental ambirnlence of the social rtlationshi eict for ,anv lenuch of rime without disruption. The man in control is subject
\Vi thin a complex society There art conditions in which the positive side ps - re,,,
. "uhrit,its com1JLilsions to exacdv. the samt degree as everyone else
1rs ' c

relationships grows dominant or is at ltast noc smochered by the negative


Bis scop e- tor clecision is "ftater
/::- .
rhan rhc:irs,
.
but
.
he is highlv
c
dependem on rhe
But on tht way towards dominance of the negative side chert art srructure of tht apparatus; his power is bur absolute _ . _ .
phases in which antagonisms and conflicts of interest grow so strong that the This is no more than a schemanc outl111e ot the arrangement ot social forces
continuing interdependence of actions and intertsts is obscurtd ro tht conscious- ,es tht central rultr Oj)timal power But this sketch shows clearly the
rhat gi . . _
ntss of tht participants without quite losing its importance. Tht constellation fundamental srrucrnre of his social posmon. Not chance, not wheneYer a
that thus comes into being has already betn described: different pares of rulin" personalitv is born, but when a sptc1fic social srrucrurt provides
strong o . .
hold tach ocher roughly in balance in terms of social sutngth; the tensions rmnitv does the central oran attain chat optimal power which usuallv
rhe opp O . "' _ . . :
between them find expression in a chain of major or minor skirmishes; bur Jinds expression in a strong auwcracy. The relatively wide scope for Jeus10n leh
neither side can congutr or destroy tht ocher; they cannot settle their differences open in chis way w the central rul_er of_a large and_ complex society comes abom
because any Strtngthening of one side will thrtaten the social existence of the rhrough his standing in the crosshre ot social tens10ns. so be111g ablt to play on
other; they cannot split wholly apart because their social existence is inrerde- the variously directed interests and ambitions counttrpoised in his dominion
pendtnc This is a sirnarion that gives tht king. the man at the wp, the central Of course, chis outline simplifies the acrnal state of affairs to a certain txttnt
ruler. optimal power. Ir shows unmistakably where his specific interests lie. Equilibrium in the field of tensions making up every society ahvays arises in
Through this interplay of strong inttrdependencies and strong antagonisms there differentiated human networks through the collaboranon and coll1s10n of a large
arises a social apparatus which might be considtrtd a dangerous invention, at number of groups and classes. But the importance of this multi-polar tension for
once important and crut!, were it tht work of a single social engineer. Like all rhe central ruler's position is no different from that of the bi-polar tension
social formations in these phasts of history, however. chis "royal mechanism" outlined above .
which gives a single man extraordinary powtr as supreme co-ordinaror, arises The antagonism between different parts of socitty certainly does not only rake
vtry grndually and unintentionally in the course of social processes rhe form of conscious conflict.. Plans and consciously adopted goals art far less
This apparatus can be brought to mind most \ividly and simply by rhe image decisive in producing tensions than anonymous figurational dynamics. To givt
of the tug-of-war Groups. social forces, that hold each other roughly in check, one example, it was the dynamics of advancing monecarization and commerciali-
stretch a -rope. Ont side pits itself with all its might against the other; both zation, far mort than the conscious attacks of bourgeois-urban circles, which
heave incessantly: bm neithtr side can dislodge the othtr appreciably from its pushed tht bulk of tht knightly feudal lords downhill at tht end of the Middle
position If in this situation of mmost tension betwten groups pulling the same Ages. But however the antagonisms arising with the advanct of tht money
rope in opposite directions and yet bound together by chis rope. chert is a man network may be expressed in the plans and goals of individual ptople or groups,
who belongs tntirely to neither of the two contending groups. who has the with chem grew the tension between the urban classes who art gaining strengrh
possibility of interposing his individual strength now on tht side of one group, and the weakening lords of the land. \Vith the growth of this
now of the ocher, whilt taking great care not to allow the tension itself ro be network and this tension, however, grtw the room to manoeuvre of thost who,
reduced or either of tht sides ro obtain a clear advantage, then ht is the one who having won the struggle between initially freely competing units, had btcomt
actually controls this whole tension; rhe minimal powtr at tht disposal of a the central rulers of the whole-the kings, until finally, balanced between the
single man. who alone could set neither of the groups in motion and quite bourueoisie and the nobilitv. thtv" attained their optimal strength in the form of
b '
certainly not both combined, is sufficient, with chis arrangement of social forces, the absolute monarchy
to move the whole. The reason why it is sufficient is clear. \Virhin chis balanced 19. \Ve asked earlier how it is possible at all for a central amhority with
apparaws enormous forces are latent but bound: without someone to release absolmt power to evolve and survive within a differentiated society, despite the
324
Th1: Ci6!i:::ing Pm(,SJ
5tt1!, Forl/latio11 mid 325
facr rhar chis cenrral ruler is no less de]Jendenr o l k.
. n r 1e wor 10g of h
mec 11anism than the occupants of 0 l . . t ee rhe "independent merchant" as the most typical and socially most
! . . t 1er posmons The parrern f
mec 1anism provides rhe answer. Ir is no Ion' l . 1 o the representative of the bourgeoisie. The most representative and socially
l. . cer 1is mi irary power 0 h
1is possess10ns and revenues alone thar can eX]Jlain rl1e ..I r_ t e :rtttiie""'" example of the bourgeois in the seventeenth and eighteenth centuries
l . l. . , socia power of l
ru er in t 11s phase. even though no central authorirv can function . 1e at least in the larger continental countries, the middle-class servant of
two componenrs. For rhe cenrral rulers of . . . I . . w1r our or kings, that is, a man whose nearer or more disrant forefathers were
. ,1 comp ex soc1erv to . .
opnmal power as rhev had in the age of b I . . , attain craftsmen or merchants, but who himself now occupied a quasi-official
. l d. .b c a so utism requires in add .
spec1a. isrn urion of forces wirhin rheir socierv. ' it1on, within the governmental appararus. At the top of the third estate,
In facr the social institution of the attained merchant classes themselves formed the leading groups of the bourgeoisie.
that phase in history when a weakening b 1: . '. I its gre,1test power here were-ro speak in our language-bureaucrats.
. c no 1 rty was a readv be 10 g t. . ..
compete 10 many ways with risin4 bourgeois . I . . c orced The structure and character ot official posts varied widely in particular
. bl d . . I . c groups, WI( 10U( eirher sd
a e ecisrve y co detear rhe other Tb . k . . . r e countries. In old France the most weighty represenrativt of the bourgeoisie was
.. r . . e gurc en10g moneranzatron and
era izanon of rbe sixteenth cenrur,1 '"1ve bour . . . commer. peculiar mixture of r1:11tier and official; he was a man who had bought a position
b b' ge01s groups 10creased .
apprecra ly pushed back rhe bulk of ti . I impetus; it in rhe state service as his personal and, as it were, private property, or, which
. . 1e warnor c ass, the old nobilit. A
en d of the social srruggles in which this .1 I f . . /. t the comes to the same thing, had inherited one from his father. Through this official
. c \ 0 em rrans.ormat1on of socie
expression. rhe interdependence berween pares of rhe nobilir\ and ry - p0sirion he enjoyed a number guite specific privileges; for example, many of
bourgeo1s1e had grown considerably Tl1 b1 . I . . . pans ot the rhese posts carried exemption from raxes; and the capital invested bore interest
f . . . e no 1 rty, w 1ose social funcr"
orm was irselt undergoin4 a decisive tran f, . wn and in the form of fees, a salary or other income which the post brought in
.d c c s ormatron, now bad to come d .
a rl1ir esrate, whose members had b . . n With Ir is men of this kind, men of the "robe", who during the ancien
. ll . . ecome, 10 part, far srronuer a d
socra y ambmous rhan hirherro. Manv famT" 0 t. h Id . b n more represented the bourgeoisie at the assemblies of the estates, and were in general,
. i ies t e o warnor nobiiit ..
our. many bourgeois families took on ars . .. l Y even outside these assemblies, its spokesmen, the exponents of its interests z'is-'1-
" . . I tocratrc c 1aracter and within a fi
beneraoons their descendants themselves Uj)held the . f. l ew rhe other estates and the kings. And whatever social power the third estate
.. . interests o t 1e tnnsfo d
no b i1rtv aga10st those of the bo . . . ' rme possessed was expressed in the demands and political tactics of this leading
. I l. c . urgeoisre, interests which bv then in k .
wit 1 t 1e closer were more inescapably opposed . ' eeping group. Undoubtedly, the interests of this bomgeois upper class were not always
identical with those of the other bourgeois groups Common ro them. however.
of this bourgeois class, or at least of its leading groups, was
of subsrannal parts of the bourgeoisie in i -189 1 . was one interest above all others: the preservation of their various privileges For
nob i1 ity
as a socia 1 1nst1tur10n
. . ' -to e 1m10ate the ir was not only the social existence of the noble or official which was
The l ,,! " l . . .
we h . d . . 1lb 1est boa of rnd1v1dual bourgeois was a1
a\ e men none . to obrarn tor tl I. d l . c ' distinguished by special rights and privileges: the merchant of this time was
with the attendant privileues \es an t 1eir family an aristocratic tide likewise dependent on them; so, too, were the craft guilds. \'V'hatever these
bourgeo1s1e . . c 1e representative leadinn !;roups of th
as a whole s . b c e privileges might consist of in particular cases, the bourgeoisie, as far as it carried
thev !"d OUt to seize the privileges and prestige of the military
any social weight, was, up to the second half of the eighteenth century. a social
their pl:1ce a.s Cal not \vabnt1to remove the nobility as such, bur at most to take
' ' new no i ity suppl formation characterized and maintained by special rights in exactly the same way
Incessantly ti . l d. - anr1ng or merely supplementing the old.
. ' 1rs ea rng group ot the third . l 11 as the nobility itself. And here, therefore, we come upon a particular aspect of the
se - l d c . estate. t 1e IJfJ01tss1: de mbe, in the
'enteenr l an above ill rn tl . I I . machinery by virtue of which this bourgeoisie was never able to deliver a decisive
nobilit' was u t ' ' . 1e e1g 1teent 1 century, emphasized that their
blow 2gainst its antagonist, the nobility It may have contested this or that
l ..'I lJ s as good, rmportanr and genuine as that won bv the sword And
t lt nva ry t1us expressed cerrainl, d.d . particular privilege of the nobility; but it could and would never eliminate the
ideolo ,- B h. d . . } I not manifest itself only in words and
gies. e 10 it was a conrrnuous if mo l social instiwtion of privilege as such, which made the nobility a class apart; for
strug"le for power . d d ' re or ess concealed and indecisive iEs own social existence, the preservation of which was its main concern, was
b posmons an a vantages between the representatives of the
two estates. likewise maintained and protected by privileges . It was only when bourgeois
As has been stressed above d . d. . forms of existence no longer based on class privileges emerged more and more in
blo k d .f f ' un erstan mg ot this social constellation will be
c e i we start rom the p . l the tissue of society, and when as a result an ever-larger secror of society
rough! ' ti f, . resupposmon t mt the bourgeoisie of this phase was
c } 1e same ormanon as roday or at least yesterday-if, in other words, wt recognized these special rights guaranteed or created by the government as a
serious impediment to the whole functionally divided network of processes-
only. .rhtn Wtrt social tCJrces in txisrtnct which could cl- l v op The official hierarchy of rht secular governmenrnl appararns was in
. .::usive
no b iliry. which strove w eliminare nor onh- j)arricuhr noble .-( Pose open or larent comptririon for power and presrige wirh rhe clerical
. l . . . . ' prl\1.eges.
soc1,1 msnmrwn of noble pnnleges irselt. The clerics in rnrn wert forever colliding for one reason or anorher wid1
Bm rht new bourgeois groups who now opposed pri,ileges as such . circle of rhe nobilirv So rhis mulri-polar s\srem of equilibrium
or r l1ar . . . . . _
hands. knmnngly or orherwise. on rhe foundarion of rhe ol ! b . ,,we rist w minor explosions and skirmishes. ro social rnals of srrengrh
. . . . . c ourge015
rwns: bourgeois esrnrt. Irs pnvileges, irs whole organizarion as an . .1::-;cleolo<'ical clisL:uises and for rhe mosr diverse and ofrtn quirt
vanous o L

a social hmcnon only as long as a privilei.;ed nobilin- exisrtd in reasons.


Tl - - . . - . . . . opposmon
L
. " or his re1Jrtsenrarin:s, however. steered and conrrolled rhis whole
lt tor.ires \vtrt hosrile or, more precisely. ambivaltm siblings. The kw"' . . . .
cells ot rht same social order. It one were desrroved 1s in - bv pining his weighr now m one clirtcuon. now anorher, and his
. . . . ' ' msnrurion, rhe
aurnmarically tell. and wirl1 ir rhe whole order \er \,,1s
pO\' '
so "rear 1oreciseh because rhe srrucrnral rension berween rhe
b - . .

In facr. rhe Rtvolmion of 1789 \ms nor simply a srruggle of rhe groups in rht social nerwork was roo srrong w allow rhem rn reach c!irecr
agamsr the nobiliry By it rhe middle-class esrare, parricularh rhar in rheir affairs and rlrns ro make a derermined common stand againsr
rhe . 1 cl ffi . I . 1 . r tie
pnvi ege o cia s of tie rhird esrnre and also chose of rhe old crafr king.
were desrroyed no less rhan rhe nobilirv. And rhis common -nd 11 ls know, ir was in only one counrry during rhis period rhar bourgeois and
. i uminates at
L

srroke rhe whole social entani.;lement rhe s11ecific consrelhrio11 ot r ((roups rook such a srand successfully againsr rhe king-in England.
. L rorces of '

prccedmg phase. Ir illusrrares whar was said earlier in uenenl rerms b m<1y have been rhe special srrucrnrni characreristics of English society
I . _ /: - ' a out
mrerc ependence and ambivalence ot rhe imeresrs of cerrain social classes "rmined rhe rension berween rhe esrarts ro relax and srnblt conrncrs
rhar PL
rhe b_alanced mechanism chat arose ,,.i rh chem. and abom rhe sou al powe; of the h rween rhtm ro be esrablished-rhe social consrellarion which. afrer considtr-

cenn,11 amhonry The polmcally rtltrnnt pans of rht bourueoisie whicl1 d'd able cribularions. led in England w a resrricrion of rhe central rultrs powers.
_ . /::- 1 not
consrirmt an esrnre and emerged very slowly from rht earlier one, rhese old makes clear ro us once more rht differem basic conscellarion which in ocher
bourgeois groups were bound in rheir interesrs their icrions me! rl her countries mainrnined rht social power and rhe absolurisr form of rhe central
ol . . .. ' ' 10ug. ts.
entire : ro rhe exisrence and rhe spec1hc equilibrium of an order basecl on estatet, aurhoriry.
For this reason. in all rheir conflicrs wirh rhe nobilin- and ilso of COLir-e : During rht sixretnrh and even rhe early sevemeemh ctnrnry. rhere was no
l f . ' . ', wm,
r le irs_r esrart. rhe clergy,. rhey were always being caughr. like che Ianer, in lack, in France roo. of arremprs by people of rhe mosr different social origins ro
rr.1p ot rheu ambivalent i!l(eresrs . They never dued -1c!v-rnc- roo f:ar in
t heJr
combine againsr rhe menacing increase in royal power. They all failed. These
. . - ( "- ' L

civil wars and re,olrs reveal quirt nakedly how srrong even in France was rhe
lsrruggle
l . . wirhom cmring into rhtir own fl-c!1 .111 ..y cl ec1s1ve
w1d1 rhe nobilin- L , ,

) ow agamst rhe nobil1ry as an insrirmion would shake rhe whole: scare and social desire among rhe various esrates w resrricr the powers of rhe kings and rhtir
srrucmre and rhus knock down like: skirrles rhe social exisrence of rhis privileged represenrarives. Bur rhty show no less clearly how strong were tht rivalries and
All rhe classes were equally concerned nor w push the confliccs of interesr berween rhese groups. which impeded a common pursuir of
srruggle berwten_ roo far: rhey all feared norhing more rhan a profound rhis objecrive. Each of rhem would have liktd ro limir rhe monarchy in irs own
upheaval and shih of weighr wirhin rht social srrucrure as a whole. farnur. and each was jusr strong enough ro prevent ochers from doing so. They
Bm ar rhe same rime rhey could nor t!l(irtly avoid conflicr wirh each ocher; for all held each ocher in check, and so rhey finally found rhemselves resigned ro
rhtir rnrertsrs. parallel in one direcrion. were diamerrically opposed !11 many their common dependence on a suong king.
ochers. SoCJal power was so disrribmed berween rhtm and rheir rivalrr so "ra; There was, in orher words, wirhin rhar great social rransformarion which made
l .d fl I . b c ' bourgeois groups funcrionally srronger and arisrocraric ones weaker, a phase when
r lar one si e e r rhrearened by rhe slighrest adrnmage of rhe orher and bv
anythmg rhar mighr give rhe orher the lease superioriry of power. According!;, both groups-despire all rhe rensions borh berween rhem and rhird parties and
rhere was on rhe hand lack of courreous and even friendly relationships within rhemselves-by and large balanced each orher our in social power. Thus
berween members of rhe difttrent groups: bm on the ocher rheir relarions. above was established for a grearer or lesser period rhar appararns rhar was described
all berneen rht leading groups, remained exrremelv srrained rl1row,hom the above as rhe .. royal mechanism .. : rhe amirheses berween the rwo main groups
0
whole
. of the m1ciw
. _ Ea'cl
l 1e,uec
c. . I r lle or ller: eac l.1 o b served rhe ocher's steps were roo grear r.o make a decisive compromise berween rhem likely; and che
wir1 1
consrnnt it concealed misrrusL J\foreover. this main axis of rension berween disrribmion of power. rogether wirh rheir close interdependence, prevemed a
rhe nobi!iry and bourgeoisie was embedded in a mulrirnde of orhers no less decisive srruuule or rhe clear j)reclominance of one or rhe mher. So, incapable of
bb
State For//latiui! c111cl Cil'i!i::;atio11 _129
328

uniting, incapable of fighting with all their scren<>th and winnirn.: Ch stian Church itself. This Church was older and its organization more
leave to a cemral rultLr the decisions th<lt could not n bl. 1 ed rlnn most secular dominions of rbe rime; and it bad irs own
esca 15 1 ' . . . . .
chemselves red more and more clearlv co combJOe spmrnal pre-emJOence with
u
who asp1 .
This appararus was formed, as we have said, in a blind. unplanned way in sup re-rriic\
' , . 1'
L '
,1mborirv trnnscendinu ,11! orbers. Sooner or later.
L

course of social processes \\/hether ic was controlled well or badlv a comperitive sirnation arose, a struggle for supremacy between che
depended very much on the person exercising the cenrral function R. Lrence d cbe worldlv central lord of a given area . This struggle everywhere
_ L

a tew parncular h1stoncal tacrs muse be enough here ro show how the up1.Ja!1lhi, an_ l l1 Pope beinu thrown back on his spirirnal predominance. \Vith che
A
wJt 1 t
L L
was formed, and w illustrate what has been said in dlv character of emperor and king re-emerging more clearly, and w1rl1 cbe
absolmisc royal mechanism worl ' incipient assimilation ro the Church hierarchy and ritual regressing
20. In che sociecy of che ninth and tenth centuries chert were two . ntirelv disai)pearing. But rbe face thar there \vere even rhe begJOnJOgs
w1rhout e . L . . . .
free men. che clerics and the warriors. Below them, the mass of the more or , assimilation in rhe \'Vest is worthy of note-espec1ally 111 companng
10
unfree, who were generally excluded from bearing arms. played no leadin r l . l srrucrnres and in explaining differences between social processes 111
fosronca L
. . 1 l'.
111 soua
l
1te, even t 1ough the existence of sociecy depended on cheir
g Oe
vanous IJarts of che world. . . d 1 l
\'Ve have noted thac under the special conditions of the western Frankish area. The western Frankish kings, tor thelf part, at first collab_arate qwte c ose Y
dependence of rhe warriors, practically aurnrkic lords on cheir esrntes, on co- . ' l Church in keeping with the srrucrnral regulanty governJOg their
wirn ne , L L

ordinaring acti\_iry of a cemral ruler was only slighr. The dependence of the discussed earlier. Thev derived support from che second srrongesr
funcnon.
rbeir conflict with the srronger and more danuerous They were
.
clencs on che k111g, for che most diverse reasons, was far greater. The Church in aroup in L L

the western Frankish area never anained major secular power a:; ir did in the the liege lords over all warriors. Bur in the domaJOS of_ rbe other great
empire Archbishops did not here become dukes.. The ecclesiasrical peers lords they were, co begin with, virrually powerless, and even w1thJ11 their own
remamed by and large omside rhe system of competing rerrirorial lords. Thus . tl e r power was sharJJlv resrrictecl. The close assocwnon of royal house
territory 1 1 . .
their centrifugal imerests directed ac weakening the central ruler were not Church turntd the monasttries, abbeys and bishoprics in rhe lands of other
an d . c1 l'
particularly strong. The possessions of rhe clerics lay scarrerecl amongst the 1 lords into b1stions of tht monarchy ir pm a 1x1rt of the mrc 1 s
rernrona ' .
dominions of secular lords.. They were constantly exposed w attacks and spiriwal influence rbroughout rhe country ac rheir And rhe kmgs
encroachment by the latter. The Church therefore desired a cenrral ruler, a king, derived numerous advantages from rhe writing skills of rbe clergy. the polmcal
who had enough power co protect her against secular violence. The feuds, the and or"anizarional experience of the Church bureaucracy, and not least HS
major and minor wars char were incessantly flaring up across che whole region, finance" Ir is an open question wherher rhe kings of the early Caperian period
were ofren highly unwelcome ro the monks <md orher clerics who. while certainly received, over and above the revenues from their own rerrirory. any act_ual "royal
more militarily competent and even bellicose than lacer, at any rare did nor live income .. , char is, duties from rhe whole western Frankish kingdom. It they had
on or for war. These feuds and wars often enough rook place ar their expense. such income, it was hardly a significam addition to what they received from their
And ove1: and again priests and abbeys rhroughom the country. mistreated, own domestic estates Bm one thing is certain: they received dmies from Church
injured, depriwd of their rights, appealed ro che king as judge . insrimrions in regions omside their own terrirory, for example the income of a
The strong, only occasionally troubled, association between the first Caperian vacam diocese or occasional subsidies in extraordinary simarions. And if any-
kings and rhe Church was in no way formirous; nor did its cause lie solely in the rhing gave the rradiriorn1l royal house an advamage in power over the competing
strong personal fairh of these first Capetians. Ir also expressed an houses. if anything contribmed ro the face that in these early
consrellarion of interests. The dignity of the monarchy in this phase, whatever stru"gles be<>innin" within their own territory, the Caperians were the first to
bc..; b b

else ir may have been, was always an instrument of rhe priests in their conflict begin to rebuild their power, it was this alliance of rhe nominal _central r=1lers
with rhe warrior class. The royal consecration, anoinrmenr and coronation were wirh the Church From this alliance above all. in a phase of powerful centnfugal
influenced more and more by Church investiture and ceremonr The monarchy tendencies, sprang those social forces which worked independently of the
rook on a kind of sacral character; it became in a certain an individual kings for the continuity of rhe monarchy, and in the direction of
function . Thar this link, unlike what happened in orher societies, did not go centralization. The imporrance of tht clergy as a motive force of centralization
beyond these mere beginnings of a merging of worldly and ecclesiastical central receded, without entirely disappearing, in proportion as the third esrnte
amhoriry. and was very soon broken off, resulted not lease from the strucrnre of achanced . But even in this phase ir is apparem how the tensions between
Th Ciri!i:::i11g Procc.iJ

pardy consciously. pardy unwirringly, these rwo social posi-


different social group,;, beginning wirh rhar berwttn the priesdy class
d eich other bm their relarions alwavs remained <lmbivalenr There:
warnor class .. benehrred rht cemrnl ruler; bm ir is clear, wo. how he Was elevare ' . . . . .. .
Irk of ,111imosiry ,111d conflict be:rween rhem nor. at hrsr. of occas10ns
by rhese rens10ns. impnsoned by rhem. The excessi\e poWtr of the many . no ' L
.lin 111d boureoisie arrempred joindv to resrncr r l1e so\ereign

lords dro\e king and Church rogerher. e\tn rhough minor nl! rhe no b i . , c- .
rhen: were nor lacking. Bm rhe firsr major difference berween king and uer<rro.<
of the kings Throughour rhe enrire .l\liddle Ages. rhe krngs found
repe<itedly in sirnarions where rhey had ro seek rhe approval of the
rhe hrsr real power srruggle berwetn rhtm. occurred only when more
human and financial resources were be<,innin" rn flow rn rl1 ,, ki'ri acJUtlcfa.>;;:::. represenrnrives of the esrares for certain measures; and rhe course
. . b c L g tfOU'[
bv these assemblies, both the smaller regional ones and rhe ones
bourgeois camp. m rhe period ot Philip Augusrns.
ciU;:e 11 ' broad areas of rhe kingdom, shows clearly how difterenr rhe
21 \\!irh rhe formarion of a rhird es rare, rht nerwork of rtnsions became
of rensions in society srill was, despire all irs flucrnarions. from thar
complex and rhe axis of rension wirhin sociery moved. Jusr as in an
in rbe ,1bsolurisr period !Ile The parliaments of the esrares-w use their_
ent sysrem of comptring countries or rtrrirnries. parricular rensions
name-were able w function. noc unlike rhe parry parliaments or
predominant
. ar differem rimes. all rhe orher antaonisms
o beinc. subord'1nared
-ndusrrial socien. as lon as direct agreement between rhe represenra-
rhem unnl one ot rhe main power cemres esrablishes prepondewnce. bonrgeo1s I , . .o . . . . . , I
rhere were, wirhin each dominion, cerrnin central rensions abom which""""'ill'iih t- l'fferenr classes over parrKular obJecnves was possible The) funcnonec
nveso c1 .
--11 the more difficulr direct compromise became. and rhe greater the
ous ones crysrnllize, and which gradually shifr in favour of one side nrthe Jess \Vt . . l
. rhin socier\.. rnd w rhe same deree the porenr1al power ot rhe cenrra
mhtL Ir rhese cenual_ rens10ns mcluded, up ro rhe ele\enrh <lfld rwelfrh cemuries rens10ns \\ 1 .' _ o . . . .
._, Given the low de(.';ree of moneran and commercial mregrar1on !l1 rhe
rhe ambl\'al.ent relar1onship between the warriors and the clergy. from rhen ruler rose . .
. , l world ar firsr neirher rhe inrerdependence nor rhe ,rnrngon1sms
rhe anragornsm btrween warriors and rhe urban-bourgeois groups slowly !
roeciev.i .
berween rhe land-owning warrior class and rhe .bourgeois class were such
sreadily moved mro_:he foreground as rhe central inrernal rension. \X'irh ir, and
diar rhey needed w hand over rhe regulation ot their relat10ns rn rhe. cenrnil
wid1 rhe whole difterentiarion of sociery rhar ir expressed. rhe central ruler
icl es ore rhe kni hts and rhe bum hers. like rhe clergy, despHe their
gained new imporrance: rhe dependence of all parrs of sociery on a supreme co- ru ler. E, 1 ' o ...
. li\ecl hr more wirhin rheir own confines than later. The ditferenr esrares
ordinator grew. The kings who. in the course of the srruggles for predominance. conracrs. ' ..
did nor yet compere so frequently or directly for rhe same social opporrnmties;
detached themselws more and more from rhe resr of the \rnrrior class as thei;
and tht leading bourgeois groups were still far from being strong enough. to
dominions expanded. also disranced rhemselYes from the other warriors rhrou h
challenge rhe social pre-eminence of rhe nobility, rhe warriors. ar one po1nr
their posirion within the rension berween rhe Lurer and rhe urban classes. In
in socitry did rising bourgeois elemenrs, wirh rhe help ot rhe monarchy,
tension they were nor by any means unequivocally on rhe side of rhe warriors. ro
gradually displace knighrs and clergy clirecdy from rheir positions: wirhin the
whom rhey belonged by origin. Rarher. rhe! applied their wtighr now to
side of rhe scales. now ro rhc: orher. "overnmemal apparnws, as officials
0
22 The funcrional dependence of rhe monarchy on whar wenr on in sociery ar
The rowns arrainment of communal riglus was rhe firsr milesrone on this
large is rm111ifesred parricularly cbuly in rhe developmenr of machinery of
road. The kings of rhis phase, abme all Louis VI and VIL like their representa-
governmenr. in rhe splirring-off of all those insrirnrions which hrsr ot all were
ti\es and all die other feudal lords. regarded the growing communes with
much more rhan parrs of rhe royal domestic and domanial adminisrrarion.
misrrusr and, w say the least. "partial hosril i ry .. , "'' parricularl y within rheir own
When rhe socien of free men consisted tssenrially only of knighrs and clergy, the
domain. Only gradually did rhe kings grasp rhe uses of rhese unfamiliar
gO\ernmenr app.ararus. roo, was made up above all of knights and clergy; rhe
formations. As always. <l cerrnin rime was needed for rhem rn perceive rhar the
clen:v or clerks, as already mentioned, usually being loyal servants and propo-
emergence of a third esrare within the fabric of societl' meant an immense
of rornl interests. while rhe feudal lords. even ar courr and within the royal
enlargement of their own scope. Bm from then on they 1;romored the interests
were often enough rivals of the king, more concerned wirh
of rhis third esrnre with the mmosr consisrencr. as far as rhese accorded with
dewloping rheir own power positions than wirh consolidating his. Then, as rhe
their own. Above all they fosrered the financial. ;axable power of rhe bourgeoisie.
warrior class outside the governmental apparatus bernmt more complex. as 111 rhe
But rhey emphatically opposed. whenever they had the power ro do so, rhe
course of rhe eliminarion struggles major and minor feudal lords were more
rowns' claims rn governmenral funcrions. claims which could nor fail rn arise
sharply differentiated. rhis consrellarion was mirrored in rhe srrucrnre of a
with the growing economic and social power of the urban classes. The rise of rhe
growing go\ernmemal machine clerics and members of minor warnor houses
monarchy and rhar of the bourgeoisie were connecred in rhe closest functional
5!ti!t Fr1r11Mtio11 t11!il Ciz-ili:wtio11

formed ns scarf while major feudal lords . found themselves confi ne"cl to ver' With the growth of rht royal possessions a class of specialists was formed
.
positions, for example as members ot rhe great assemblv or t!- j -hose social position depended first and foremost on their place in royal service.
council '" > whose prestige and interests were largely identical with those of rhe
En:n in this phase men from rht stratum below the warriors rnd and rhe governmental appararns. As rht Church had done earlier. and
. . ' pnests
cerramly nor lackmg rn the .rornl did ro some extent, members of the rhird esrate now upheld the interests of
. administration even if elements of un1ree
c
cl id nor play the same role m the development of rhe hench central rbe central function. They did so in the mos[ diverse capacities, as scribes and
they did in the development of rht German. Perhaps rhar is connecr,d councillors to rhe king, as rax administrators, as of rhe highest courrs
fi . l. . l t. e with the it was rhey who sought to ensure rhe continuity of royal policy beyond rhe
,1cr t Mt rn r 1e ormer case. urban communities. and rhus -1 r!11 cl
I . ' r estate life of a particular king and quite often against his personal inclinations Here
treec men. had nsen somewhat earlier to inde1Jendent sinificance rl
l. - . . . . "' ' 1an tn the wo, bourgeois classes elevated rhe monarchy. and rhe monarchs elevated rhe
,lfter. In France the parnc1panon of urban groups rn rhe roval ad : ,
. l l l . . m, msrrarion
rose \v It 1 t 1e growr 1 of the rowns. and as earh as rhe Middle Aues n ' ' classes
l "' 1emoers 23- \V'ith this almost rota! expulsion of rhe nobiliry from rhe governmental
t 1ese groups graduallv permeated the uovernmennl 'lj)j)ararus to 1
,. . . . . _ o ' ' ' ' n extent that
\\,1s_ nor reached m the ma1onry of German territories until well into rhe apparaws, in rhe course of time rhe bourgeoisie attained a power posirion which
penod. was of the utmost importance to rhe overall balance of power in society. In
They_ entered this apparatus by two main routes: 10; first through their France, as already mentioned, ir was not, almost rill rhe end of rhe anciw
share ot secular posrs. rhar is,. posi rions previous!\. filled Lw. nobles. .ancI secondly the rich merchants or rhe guilds who directly represented rhe bourgeoisie in
. .
conflicts wirh the nobility; it was rhe bureaucracy in irs various formations. The
r l1rough rhe1r share of eccles1asncal posts rhar is as clerks The rerm .1 .. b
, . . . _ ' ueu egan weakening of rhe social position of rhe nobility. rhe srrengrhening of rhe
s. l 0\\ l} to. change
. HS meanmg from about the encl of rhe rwelfrh centLlr\ 0 ..L
nwarU>
bourgeoisie, is mosr clearly expressed in rhe fact rhar rhe upper bureaucracy lay
its eccles1asncal connotation receded and ir referred more md more ro . '
l. I ' a man who claim, ar least from rhe beginning of rhe seventeenth century onwards, ro equal
uc stuc!1ed. who _could read and write Larin. though it may be diar the first
social starns wirh the nobility. Ar rhis rime rhe interweaving of interests and rhe
stages
. . ot . an ecclesiasr1cal
. career
. were for a rime a 1:irerequisi re for this . Tl1en, m
rensions between nobility and bourgeoisie had indeed reached a level which
con1uncr10n wJth die ex:ens10n of rhe administrative apparatus. both the term
secured exceptional power for rhe central ruler.
di:r( and cerrarn kinds of university study were increasingly secularized. People
This permeation of the central apparatus by sons of the urban bourgeoisie is
no longer !earned Lat1n exclus1velr ro become members of rhe cler"\' tl l
l . cl .. . "'" 1ey a so one of the strands within rhat process indicating mosr clearly the close functional
earne_ to become .ofhciak To be sure, there were still bourgeois who entered
imerdeptndence between rhe rise of rhe monarchy and of rhe bourgeoisie. The
the kmg s council simply on account of their commercial or organizational
bourgeois upper stratum. which gradually evolved from the families of rhe
compertnce. Bur the majority of bourgeois attained dle higher regions of
higher "royal serrnnrs", in the sixteenth and sen:nteenth centuries attained such
gmernment through study. _rhrough knowledge of canon and Roman Srudv
increased social power rhat the central ruler would have been ar its mercy, had ir
became a normal means of social advancement for rhe sons of leading
not had counterweights in rhe nobility and clergy, whose resisrance neutralized
strata. elements slowly pushed back rhe noble and ecclesiastical
rheir screngrh; and ir is nor difficult to observe how the kings-above all, Louis
elements in rhe government. The class of royal servants. of "officials", became--
XIV-played constantly on rhis system of tensions. In rhe preceding phase.
m contrast to rhe situation in Germany-an exclusively bourgeois formation.
however, rhe nobility and clergy--clespirt all the ambivalence already inhering
in their relationship-were still, ar first. far stronger opponents of rhe central
From
_ ..rhe rime. of _Philij}
. AuuusrL1s
c on,,arcs
I .ir
r l1e Iaresr r )1e lawyers. rrue "knights

authority than the urban bourgeoisie. For rhis very reason rhe bourgeois eager for
1euJ aI
of law <chr1'1f;.1:r d !rJis) appeared: they were co rake on tlie tis'-K c}f. an1a Igan1auni.::
social advancement were as welcome helpers of rhe king as they were willing.
wirh. canon . and Roman law to make u11 monarcl1ic 1-'1,,. A sma ll' arnw o't. rl1mv

The kings allowed rhe central apparatus ro become a monopoly of people from
sen. bes 1n l .'.\ !6 lO-i or 105 in l .')-9
1 . a b om s1xry
rn l )\)
'" 1. rhesc chancellen-
. clerks.
the third esrare, because rhis was srill socially weaker than rhe first and second
garnecl nui:n.erous adrnnrages from consranrly swelling their ranks in rhe proximity of
rhe king fhe broad mass was to become privileged noraries; the elirt (rhree under es rares.
Philip the Fair. twelve_ before 1_188, sixreen in 1-106, eighr in 1-il)! would giw birch This interdependence between rhe growth of rhe power of king and bour-
rod1e pnvy clerks or hnancial secretaries The furnre was rheirs linlikt the grand geoisie. and rhe weakening of nobility and clergy. is seen from a different aspect
ofhcers ot a pdarinare. rhey had no ancesrnrs. bm were themselves co be ml if we consider rhe financial connections between rhe social existence of rhe
_o,_;5

various 1nnies
,, , , ,'1]rea J )' L1ten
, , Ir Ius J suessecl EhaE Ehis sl1"- l officials, men of Eht robe, clamoured for repayment of cht money chty
-I bT , - m w E1e
,L 1e rw I HY JS rn be anribured only in small pan rn conscious !enr, \Vhern,tr Ehey could, thty possessed d1emselws of che noble escares.
au1ons
, , b\'
: bourge01s
L , circles, , I-L \\,lS, " - on El1t one hancL a conse' often che rides rno
comptcmve mechamsm b\- which cht btdk of d ,_ '']' , lJLitnce The nobles who held on w rheir estates wry soon found their incomt no
, ie noo1 1n- sank ui-o
on a smgle noble house, che roval house '1!1cl thus , ,1 - . - L "'-ur11r1 .
Ebe bourueoisie O I _ , '' - ll1 ' sense rn Ehe same longer sufficient co cover rht increased cosc of living:
, -c , n Eie other, H was a consequence of aclv'rn "
inregranon Hand in hand wiEh Ehe rise in the volume of ' CJng The lords who had ceded hrnd rn their peasants against duties in cash, continued co
d- ," , Tl , , mone\' wenc a
, tprtuanon.. 11s mcrease and dtl)rtudrwn - -" or" mont\' accelenEtcl
- -' co!kcr rht sc1me re\'enue bur without rhe same value. \'\111ar had cost fi,-e sous in rhe 1x1sr
cttnrh cenrury co an exrraordinan c:xrenr And rlie n;lbil' , 'l l_rn the cost cwenry at rhe rime of l lenr) Ill. The nobles grew poor wirhour knowing 1r
incc n1 , f l , H\ w 10 ive<l
> e rom Eie1r esrares, which che\ cot1Id , _ ,, on
I - ,, I , , nm rncredst to keep
ct\ a uarwn, \\ere impoverished. 2-t Tht picrnre of tht discribucion of social power seen here is fairly
The religious wars-rn menrion onh chis fiml '!Ct h I I unambiguous. Tht change in die social scrucrnre which had long been working
for rht k , b'l' ' ' - ac r le same o</';ll!Jnr:>nr.
- \\et'. enrng no I icy as ci,,il wars so often have for declinin< -j rht warrior nobility in favour of bourgeois classes, accelerared in rhe
concealed tram chem, for ,1 rim- l _ ,' L . . ,. , _ ;;!, c asses:
_ ' e, tie ll1t\ 1c1w1 11cv or rhelf face Th_ sixreenrh cemury. The lacEer gained in social weight whac rhe formtr losc.
unresc che selt-assenion in fi ,l1 " l _ _ _ e uproar
g rrnc, t 1e poss1bdHy ot pillage and Eh- T Antagonisms in sociecy grew. The warrior nobilicy did nor unclersrnncl rhe
all chis encoura:.;ecl the nobilicv cu be!' , l , L I! ,e ac1 ity forcing rhem ouc of rheir hereditary positions, bm rhty saw ir embodied
l ," - - I - , , - It\ t c ie1 cou c ma1mai
c l!taEentc social pos1c1on and save chtmselvts from downt: 11 . I n in chest men of che chird estate wich whom chey now had ro comptce direcdy for
m Of l , d ,rnc impov - h
tnt. c le tconom1c upheavals whirlinu them b'1c'- 'tn'I t'oE' l ens.- rhe same opponunicits, abovt all for money, but also, chrough money, for cheir
, l ' l ' - ' c ' K ' l I n, C.lOSt emb 1 '
rn c iem iad scarct!v an mklrn". Th , ., . 1 , , ro1 eu own land and even cheir social pre-eminence. Thereby cht equilibrium \\as
"" " , - c t) s,n\ c Mt money was rncreasin '
r1'1l\=-- bm d1t\' did not undtrsnnd ' it B r'1nwme
, one ot- cht courd g, - slowly established which gave opcimal power w one man, tht cemral ruler
tie
I period, caprnrtcl chis mood: , Y warriors
In rhe scruggles of cht sixteenth and sevenreemh centuries we come across
bourgeois corporations which haw become wealthy, numerous and powerful
:fi1r ",fron1
. , liecI Frnnct. Eh is (civil) war has posirin:-11 tnri .
.iniiom,ens -
so r.tr "' Jr has uncovered and placed in full " - , ,, , - , ,- . chtd her,
enough co confronr the warrior nobility's claims ro dominance and power wich
hidden under;,;round \''htt rhev ,, rn I 'It\\ ,.i1 llllmit> ur rreasures previouslv firm rtsisrnnce, but neicher able nor strong enough ro makt che warriors. Ehe
" , . - >e 'L no purpose. Ir has pl->cecl them . ll :
rIJc sun, and rurned them into such . , , - - - " - so we m milirary class, direcdy dependent on chem. \Ve find a nobilicy still strong and
milliow of ,. I I b - , , qu,Jllt>tJes ot good money, char there were more
. ' c-O l to e seen shl!llllg 111 France rhan rher- I, J l __ , , " . belligerem enough co represent a consrnnt chrtac to rhe rising bourgeois classes,
pounds before, cl!ld there appeared more Il<:W subrl, "I , t , l',lc Xtll millions ot silver but already coo weak. above all economically, rn control direcdy che rnwn-
I, 11 ', e st.Hr LO!lls from these fine
1!l Ct'n than there had bl't.:fl before r\ - . . , - t . dwellers and cheir caxes. The face thaE at chis Eime Ehe nobilicy had already
merchants, usurers, bankers and other ""'" , - , nd rlur Js no, a.I: rhe nch emirely lost the funccions of adminisuarion and jurisclicEion, chest being now in
locked >n their cofrts and ne'rh- - , ni"'f"rdsl down to rhe priests. kept rheir coin
. .. . . I tr CDJO} e<.. n t ien1stlYeS nor lent it exec "1( at ir rhe hands of bourgeois corporations, comribuces in no small way ro che nobiliEy's
- . or b>- r llt- pure-J iase
IJntcresr "nd w1rh excessJn: usun , or morrwi;,;e ot- hn ll dbross weakness. Ne\enhtless, no pare of socitcy was yec able to atrnin a lasting and
decisive preponderance over che ochers In Ehis sirnacion the king again and again
wood co keep himself \\"1rr-1 f I - - , J s tllL. "it iuur t\en rhe appeared w each class or corpornrion as an ally againsE che chrtacs from ocher
" I ""I - , ' ' , or r iese scamps ot usurers had pocketed e\'ef\'rhini,:-h-- groups which chty could not mascer on d1tir own
c00c ll\ J \\ar restored them to rheir , u] .- I I, - - ' b
birrh "ho, before the , "] " , rl'c- irru pace, Su I ha,,e seen genrlemen of high Of course, che nobility and bourgeoisie themselves consisted of various groups
Cl\! \\elf, \\t:nt ll)(Jllt With t'\'Cl hor' - j "
such effect rhar during and after it the\- \\' - . ,,_' . , -ses am a roorman. recov:r ro and sErata whose interescs did noE always run in the same directionc Imo che
St\'tn ;,;oucl horses .-\- ,; ' " '- , ere seen rr,tHlllllg the country with six or primary cension becwten chest EWO classes were woven numerous ocher censions,
'- , . . 11. /i)d: /J /Jt1U !tJ:.i /;r,nnt r/ f '. ' I /
gru-Ct' r1;: ''lll 1 , i.n.u oJr hdl ru!f!ru.
Yd) O) ltk /Jr.'d.ft dk good cjl'i/ U:n: whecher wichin these groups or becween one or ocher of chem and Eht clergy. But
at che same cimt all Ehese groups and strata were more or less cleptndem for their
, _,In rtalin: cht majoritv. of ch e F renc-!l no b J Iicy, on their rtrnrn from rh1s ""ood" exiscence on cht ochers; none was at chis stage srrong enough co ovenhrow che
CI\ ii war, found chemselves clebc-ndcltn and - ! _ ,- c esrnblished order as a whole. The leading groups, tht only ones which could exerc
- - ,. _, . - rurnec once more lift grew more
expensn e. Creclirnrs, along with rich merchams, usurers and bankers, Land above a cercain policical influence wichin che framework of che existing inscirucions,
rhe Cirilizi ng P rotc.i".1
S1'1tl For111afi(Jil a11d Ciz-i!i:::atir!/l .'137
were the least disposed to radical change. And chis mulriplicirv of te .
srrengrhened all the more rhe porential power of rhe kin us. ns . ncerarion and mono1Jolizarion, rbt kings shifted some of rbtir
1110 netar: r c- . . . .. - l
Of course, e-ach of these leadinu "roUJJS rhe hi<<hesr rhe " bac k to t
11e side of rhe nobrlrrv . fhe\ now securtd rbe txisrenct .
ot r 1e
_ c b _ ' c , great as a priviltged class against rhe and they drd so ro Jl!St
ar courr, as much as che top ot rhe bour"eoisie rhe l1arli-1ments woul 1 I
. o ' ' c.. 1ave Cessrrv ro prestrw rhe social dirterences btrween nobrlHy and
to resrncr rhe royal power in their own favour. Efforts. or at leasr ideas. de<rree ne ' . - . . . t-
in rhis direction recur throughout the whole of rhe m1cii:I! These !'l1e " .,in cl rhus rbe e(iuilibrium ., of rensrons wrrhrn rhe realm. So, . or
groups wirh opposed interests and wishes were also divided in cheir at. d cbev secured for rhe bulk of the nobiliry exemption from raxes, which
. . _ ' tttu e ".t \\ould hwe liked ro see abolished or ar least reduced.
rhe monarchy. There was no lack ot occasions on which this became clear bourgeois1 ' . . . Bur ...rhrs
l, nor enouh to 0"ive rbe economically weak landO\\ ncrs a sufhcient
were even a number of temporary alliances between noble and urban-bot:rg . ''15 cerwrn } 0
. cl
groups. above all the parliaments, against rhe representatives of rhe eOts;
" on wl11c l1 ro sarisfr. their claim ro be rhe upptr class and . their nee . ro
a clemonsrrarively affluent mode of lift. Despite rberr rax txempr10n.
Bur if anything shows up rhe difficulrv of such direcr reconciliation d
rhe mass ot. r I1e l1nded
. - . . . . . ,anrrhe nobilirv. rhrou<>hour the a11cit11
srrengrh ot rhe rens10ns and nvalnes ex1sr111g between rhe parries, iris rhe fate ' c . . led .a thoroughly
such occas10nal alliances. . cl l 'f Thev could hardly compete in marenal prospenry wrrh rhe upper
resrnctc rt. . . . . . . l ".
0 f rhe boureoisie. \ii.r-c/-r1s rbe aurhormes, above all the courts, r 1e1r
Take, for example, rh_e Fronek. Louis XIV was still a minor. Mazarin was
srni.ra as hr fivourable for rht posts in the latter were held by people
govern111g. Once more. tor rhe lase rime for a Ion" )Jtriocl rhe mosr d rn1Sftl00 W ' ( ' f . .
. . . 15 ,.. I n a dd.rr.on . rhe kin<>sc- , SUj)jJOrttd bv a stcrron o ansrocrarrc
socral groups unrred to assail roral omnijJOtence re1Jresenttd bv rhe '1" 0 fbourems ong111 1
. . n rni ster, . . c- pheld, rht rule rhar a noble who engaged directly in commerct should
Parliaments and broad nobility. urban and men of rhe high nobility, ooinron, u . .' . . t-
,
renounce . b o rh his ride and all his noble pnvrleges, . .ar least for. rht . duration. .. _o
all rntd ro _txploir rhe monarchy s moment ot weakness. rht regency of the
rhrs acm - .rr; This rule ctrrainlv. served . ro ma!l1ra!l1 . rht exrsrll1g drfterences bl
Quten exercised by rhe Cardinal.. Bur rhe picture prestnttd b\ rhis rising shov..>s
cltarly tnough how tense were rtlarionships benvten all these groups. The between bourgtoisie and nobility, which the k111gs no less rhan rhe no ts
is a kind of social experimtnt Ir txposts onct again rht srructurt of tfnsions rhemsehes were concerntd ro prtserve. Bur ar rhe same time. lt blocked rht
nobility's only direct access ro grtarer prosperity Only '.ndirtcrly, through
which gave rhe cenrral aurhoriry irs srrengrh. bur which remained concealed
" ,e could a noble !Jrofit from the wealth char stemmed trom commerce: l and l
from vitw as long as rhis aurhoriry was firmly esrablished . No soontr <lid one of marrr,1g .
rh -I
o, cI,l po srs The nobilirv . would have bad nothing of rbe splendour an(
. soCia
rhe competing allits seem ro gain rhe slighresr advantage rhan all rhe others felt
presnge - r 11e\ srr"ll en 1o,.ed 1 in rhe seventeenth and eighteenth , cenrunes: they ..
rhrtarened. deserred rhe alliance, made common cause wirh Mazarin against their
would unfaiiingly have succumbed ro rhe increasingly prosperous bourge01s1e
erstwhile ally. and rhen pardy swirchtd back ro his side . Each of rhtse people and
groups wanted to curtail royal power: bur tach wanted ro do ir to his own and perhaps ro a new bourgeois nobility, had rhey nor--or ar l.easr a small
aclvanrage. Each feared rhar another's power might grow ar rht same time. of them-obtained with rhe king's help a new monopoly posrrron ar court. fhrs
Finally-nor least thanks ro rhe skill wirh which Mazarin rook advantage of this borh permitted them a modt of life adequate ro _rhti: social srar_r_on, and
mechanism of rensions-rhe old equilibrium was re-established in finour of the preserved rhem from involvement in bourgtois acrrnues. Iht courr ofhces, the
txisring royal house Louis XIV ne\er forgot rhe lesson of rhese davs; far more manv and various official positions within rhe royal household, w_tre reserved ro
the In rhis way hun<lrtds and finally thousands ot nobles found
consciously and carefully than all his predtcessors. he nurtured rhis
and maintained the txisring social difftrences and tensions relatively higl;ly paid posts. Royal favour, arrested by occasional gifts, was added
for good measure: and proximity ro rbe king gave these posrs hrgh And
25 For a long period of rhe .Middle Ages rhe urban classes. through rheir
social position. were decidedly weaker than rhe warrior nobilirr In period so f;om tht broad mass of rht landed aristocracy rhtre arost a stratum of nobles,
rhe community of intertsrs berwten rhe king and rhe bourgeois secrion of societv rhe courtly nobility, which could counterbalance the upper bourgeoisie in wealth
was considerable, if nor so grear rhar friction and even c;nflicrs between and Jusr as earlier, when rhe bourgeoisit was weaktr rhan tht
arisrocracy. posrs ll1 the royal acIm!l1rsrranon l1acl b een made ' . 'a bour<>eois o
and rhe central ruler were entirely absent. One of rhe mosr visible consequences
monoJolv with the king's help, now that che nobility was weaken111g, the court
of rhis community of interests. as we have nortd, \Vas rhe expulsion of the
likewise witl; royal assisrance, became a preserve of rht nobility.
nobility from rhe monarchy's governmental organization, and irs permeation bv
people of bourgeois origin. . The exclusive filling of courr posrs by nobles did nor happen ar _one stroke or
by rht dtsign of a particular king. any more than rhe rtstrvarion ot all rhe other
Then. as rhe relative social power of the nobility diminishtcl wirh rht advance
start posrs ro rhe bourgeoisit had been earlitr.
The Cirili::i11g Prf)Cl.:.\.1 Stc1fi: Formation tJl/{I Cil'i!i:::t1tio11 339

_Under Henry IV. and still under Louis XIIL court positions. like the torhem.. And nor only these offices. They dtsirecl a share in
ot military appointments and, still more. like adminisuative and judicial sOLl"ht to win back their lost positions in the governmental
0
were and thus the p_roperty of their occupant This was even true In t 627 rhe; addressed to Louis XIII, under the tide "Reguesrs and
the post ot go111cmc1ir. the rnil1rary commanders or particular regions of , for the Restoration of the J:\obility". a petition with precise proposals to
k111gdorn .. To sure, in particular cases rhe occupant of such a post could toe 10-
.
exercise his othce with the king's approval, and it narnrally happened, too. t:The petition began by saying that, after help and the _sword or Henry
this or that posmon was awarded soleh rhrou"h rov1l hvour BLit 1n . . s the nobilitv who were ro be thanked tor the presef\'anon of rhe crown
_ _ . . _ _ : 0 - ' ' general the JV, 1r w,1 . _ . . . .
purc!Mse of othces had by rh1s (!me gamed rhe upper hand over their no . - e when the majoritv of orher classes had been 111c1ted ro 111surrecnon; yer
. ,l . . . _ _ .. mmatton "r a nm
rl11oug 1 Ll\our. And s111ce the ma1ont\' of the nobil1rv were no mir l c ,. b'lit\' were "in rhe most pitiable stare they had ever known crushed by
_ _ _. . _ - . - , c 1 1or the rhe no I . .
upper bourgeo1s1e 111 terms of wealth, the thlfd estate, or ar least families rendered vicious by idleness reduced by oppressrnn almost ro
poverty
from it and onlv recenth ennoblecL slowh but visiblv rook over tl1e
. . . . court and despair... . . .
military posts as well Only the great noble families still had enough ]:-{ere. in a few words. a picture of rhe decl111111g class is sketched. Ir
partly thanks ro the size of their lands and partly through pensions paid tO
by the king, ro hold on ro positions of this kind in face of such competition
.
On ds closelv ro realitv.
"
Most landed estates were overburdened with debt.
-
Many noble families had lost all their possessions. The youth of the ansrocracy
.

Nevertheless. a willingness ro help rhe nobility in rhis situation is :vas hope: the unrest and social pressure emanating from these displaced
unmistakable :n Henry IV. just as ir is in Louis XIII and Richelieu. None of le was ftlt everywhere in the life of this society \Vhar was to be clone'
pep0 . . . ... . . cl fl
them forgot tor a moment char they were themseln:s arisrocrars . Moreover Among the reasons tor rh1s stare ot athurs. express mtn(lon 1s ma e o t 1e
Hen:y IV attained rhe throne ar rhe head of an army of nobles. Bm apart mistrust which a number of noblemen had aroused in rhe king through their
the fact char even they were largely impotent in face of rhe economic processes arrogance and ambition. This had finally led rhe kings ro believe it necessary ro
working against the nobility. the royal function had necessities of its own, and its red;ct the power of such nobles by excluding them from official positions which
relation ro the nobility was ambivalent. Henry IV Richelieu and all their thev had perhaps misused, and by elevating rhe rhircl estate; so rhat since that
succ_essors. in order ro their own position. were anxious ro keep the riO-:e rhe nobles had been stripped of their judicial and fiscal duties. and expelled
nobil1ry as far as possible from positions of political influence: but ar the same from rhe king's councils.
timt rhty were obliged to preserve the nobility as an independent social facror in Finallv, in nvtnt\"-two articles, rhe nobility demanded, among orher things,
rhe internal balance of forces the in addition to the military command of the various g1111fr1'illi!W!s of
The double_ fact of rht absolutist court corresponded txacrly ro rhis split the kingdom, the civil and military functions of the royal house-that is, the
relar10nsh1p ot king ro nobility. This court was ar rhe same rime an instrument skeleron of what was later rn make the court a sinecure for rhe nobility-should
for controlling rhe nobility and a means of sustaining it. In rhis direction it cease ro be purchasable and become reserved to rht nobiliry.
gradually dtvelopecl. In addition. rhe nobilitv demanded a certain influence on pro,incial admin-
Even Henry IV rook ir for granted that rhe king lived within an arisrocratic istration and access for a of particularly eligible arisrocrats to the high
circle. Bur it Weis nor yer his srricr policy to demand permantnr residence at courts, rhe parliaments, at least in an advisory capacity and without emoluments:
courr of those members of rhe nobility who wishtd to remain in rornl favour. No and rhev clemancltcl. finallv, that a third of the membership of the financial and
doubt he also lacked the means to financt as tnormous a court, an;! ro distribute military: councils. and od;er parts of the royal government. should come from
court offices, favours and ptnsions as lavishly, as Louis XIV was able ro do later. their ranks.
In his rimt, moreover. society was still in an extreme srare of Hux. Noble families Of all these demands, if we disregard a few minor concessions, only one was
were declining. bourgeois rising. The estates wert surviving. bur their occupancy fulfilled: court posts were closed ro the bourgeoisie and resef\'ecl ro the nobility.
was being drastically transformed. The wall dividing the estates was riddled with All rhe others, insofar as they involved participation by the nobility, however
holes . Personal gualiries or lack of them. personal fortune or misfortune, often modest, in government or adminisrrarion, remained unfulfilled
played as large a part in a family's destiny as its origin in rhis or rhar estate. Even In manv German terrirories, nobles sought and received administrative and
the gates to the court and court offices were srill fairly wide open ro ptople of judicial ot:fices as well as military ones; at least since the Reformation, they had
bourgeois origin therefore been found in the universities 108 J\Iost of the higher offices of state
This rhe nobility deplored. Ir was rher who desired and proposed that these remained virrnally a monopoly of the nobility: elsewhere. nobles and bourgeois
_)-iO
Tix Ciz.i!izing Proa:Js St,i/1: Fomhlti1111 ,;nd Cil'ili::c1tio;; 3-ll
normally balanced each orher icitbin many stare offices
ar his mt,i!s, in his gardens ar Versailles, ht was always looking about him,
formula of allocarion
everyont. He rook it amiss if rhe mosr disringuished nobles did not residt
In rhe French cemral governmem, as \ve have memioned rhe r . -nnanend)' ar courr. and if rht mhers camt only seldom, and rornl disgrace awairtd
consr-m 01 en l l b ' ension and
" ) or arem srrugg e erween rhe rwo esrares was expres d . . who showtd rhemsehes harclh or nor ar all If ont of chest had a rtqutsr, tht
rhar rhe whole adminisuarion remained a monoiJo!v of rh b se the :f,::lflt;_ .,ould "'" 1)roudh: .. ! do nor know him." And his juclt!tmtnt was irrevocablt. Ht
l l J e ourgeo1s1e H "' " '-

t 1e w 10 e court m the narrower sense, which had alwavs been l , did not mind if a ptrson enjoyed living in rht country. bur he had ro show mocltrarion
b . bl b . arge v in this and rake precautions before longer absences. Once in my yomh when I went ro
} no es m was threarenecl by bourgeoisificarion when ofi: .
l tl uces were Rouen on somt legal business, rhe king had a minister wrire ro enquire my reasons
pure iasa J e, lI1 rhe sevemeemh cemurr became once and f . ll b made
poly . ' or ,1 a no le
This surveillance of everyrhing that went on is very characcerisric of rhe
Richelieu, in his will, had recommended rhar the court shoul I b I
rhos l "l - c e c osecl to srrucrnre of rhis monarchy. Ir shows clearly how strong were the basic tensions
e w 10 lave nor rhe good fortune of a nob! .... iu" L .
. t ongm o111s XIV which rhe king had ro observe and master in order ro maintain his rule, nor only
resrncrecl access to court ofhces by bourgeois to rhe mmosr; but even h J'
within his society bur oursicle ir as welL "The arr of governing is nor ar all
complerely close chem. Thus, after many preparatory movemems in not
1 difficulr or unpleasanr", Louis XIV once said in his instructions ro his heir. "Ir
sooal mcerescs of the nobility and rhe monarchy were so to SfY"ak \\e' .c
and l ' 1g11mg consists quire simply in knowing the real rhoughrs of all the princes in Europe,
' resting tac 1 ocher, the court was ''iven its clear role l
b. . . b ' as an asv um for h knmving everything rhar people cry ro conceal from us, their secrers, and keeping
no d1r1 on one hand, and a means of comrolling and taming old w r e 112
dose warch over rhem."
class on rhe other. The untrammelled kninhdr life was "on t'. arrior
F 0 o <: orever
or mosr_ of the nobility, nor only were rheir economic f The king's curiosity ro know whar was going on around him [Saint-Simon writes in
now on scra1cenecl, bm their horizons and scope for acrion were another place; 1 'l grew mort an<l more ill(ense: he charged his tirsc ,alee and rhe
their me<1gre revenues rhey were resrriccecl to rheir countf" se1r E fi ith governor of Versailles ro enrol a bodyguard These recti\'ed tht royal li\'try. were
l. . T . J ' ' scape rorn
r l!S m m1 J[ary campaigns was, ro a larue excenr blocked E . . l dependent only on rhose jusr mell(ionecl. and had rhe clandesrine cask of wandering the
I - . 0 , 'en m war ney n0
corridors by clay and nighr. secredy obser\'ing and following people. seeing \\here they
onger fought tor rhemselves as free knighrs bm .1s t.h. . , .
. . , ' o cers lI1 a strict went and when thty came back. overhearing rheir conversations and n:poning
And spec1,1l luck or connecr10ns were needed ro .
t l escape permanent!; ewryrhing exacdy
rom r le 1anded nobd1cy ro rhe wider honzons <Incl gre<1rer presn,ge of the
c1 rcle ar courr. -
Hardly anything is as characrerisric of rhe peculiar srrucmre of rhe sociery
This smaller part of rhe nobilirv found ar courr and in and d p .
new. . I . ,' , aroun ans a which makes possible a srrong aurocracy, as rhis necessity of minutely super-
more 1omelancl. Up ro the rime of Henry IV anJ Louis XIII'. vising ewryrhing rhar goes on within the realm. This necessity shows up borh
was nor cl1thculr tor a _noble belonging to the court circl.e ro spend rime at h;: the immense rensions and the precariousness of rhe social apparatus wi rhour
coumry sear or rhar of another noble. There was ro be . . . l b' .
..
cl 1srmcc f' , sure, ,1 courr ,. no ilitv which rhe co-ordinaring function would nor endow rhe central ruler wirh so high
rom the broad cou " .. b ' '
. . . , mq oemr:. ur this society was still rtlacivel, a power ratio. The tension and equilibrium between rhe various social groups,
Lows_ XIV, having learned his lesson early rhrough the Frond; and rhe resulting highly ambivalent arrirnde of all rhese groups ro the central
exp o1rec the nobil1ry s dependence on him ro the full He "r . '
cl . , l . cl ' o unite ruler himself, was cerrainly nor created by any king. Bm once chis constellation
un er 111 s eyes all those who are possible leaders of risinns 'lnd h
L

ch1t11 lei serve as f'ocal pomrs


. . rebellion c ' " ose had been established, it was virally importam for rhe ruler ro preserve it in all
.c u I.\ cou tor " 110
its precariousness. This cask demanded exact supervision of his subjects
Tclhe of Versailles corresponded perfecr.ly ro both rhe interrwined For good reasons Louis XIV had a particularly warchful eye on people closesr
ren enc1es ot the monarch,1.. ro p "cl ti cl 1. i
, . . ' rov 1 e or an visw Y elevate pares of rhe nobility ro him in rank. The division of labour and rhe interdependence of everyone,
\\ 111 1e conrrollmv rncl nmn, I T.l k.
f: . o ' ' 1 6 r lem. le mg gave libernllv, parricularlv ro his including dependence of rhe central ruler on the masses, were nor yet so
alvourcl1ces. Belue he clemanclecl obedience; he kept the nobles. consranrlr ;ware of advanced char pressure from the common people was rhe grearesr threat ro the
t 1e1r epen ence on rhe mone . cl h .
} an or er opportunities he had co clisuibure. king, even though popular unrest, above all in Paris, was cenainly nor without
danger; one of the reasons for rhe removal of his court from Paris ro Versailles lies
The King [Saint-_Simon rtcorcls in his i\Ie11Jr1fr,s1' i] nor only saw char rht hil.!h nobility here But whenever, under Louis's predecessors, dissatisfaction among the masses
\\ert pn:stnt ar his courr. ht demanded ir also of rhe j)trn nobles Ar his '" d l:
. - cd d an 11s led to uprisings. ir was members of the royal family or rhe high nobility who
Sr.th F(JrJJZu"fifJn t!l!d Cirili::.1tir1n

plactd rhtmselves ar rheir head and used rht facrions and disconrenr for And rhe courrs role as a place of dtrenrion emerged parricularly
own ambirions. Here. in his closesr circlt. rhe monarch's mosr dangerous in relarion w thtm. "The suresr place for a son_ of France is rht_ htarr of
were srill ro be found King". he replied when his brorhtr asked him for a governorship and a
Ir was shown earlier how. in rhc: course of monopolizarion. rht circle of a de sfirtte. Thar his eldtsr son held separart court ar Meudon he
able ro compert for rhe chance rn rule was gradually reduced ro rht members wirh rht mmosr displeasure And whtn rhe heir w rhe rhwne d1ed, rhe
rht royal house. Louis XI finally conquered d1tst princel1 ftudal lords and . , . srilv had rhe furnirnre of his ch!itct111 sold in case rht grandson who
ki01' 1],L , . . ' "cl' _. l l
resrortd rheir rerrirorits w rhe cro\\n; bur in rhe religious wars different parties. cl 'feLidon should make rht samt ust of 1t and once again 1\ 1c e r 1e
inhente i>
wtrt srill headed by branches of rhe royal family \Virh Henry IV, afrer the .. 11-\
court t- l k
exrincrion of rhe main brauch. a member of a secondary ont again came ro the -
This fear, says s,11nr-S1mon. was C]UICe -groundless For none 0 ( lt rng s_
rhrone. And rhe princes of rhe blood, "rht grear onts', rhe dukts and petrs of l!randsons would ha\ e dared w displtase him Bur whtn 1_r was a, marrer.
Franct, conrinutd ro witld considerable powtr Tht basis of rhis power is v . n ,, his j)rtsri "e and securrng 111s personal rule. rht krng s st\ en CJ m,1de
ma1nt,un1 b '=' L-

clear It was primarily rheir posirion as gl)ill<f'i!tl!i'S, milirary commanders of ' ncrion berween his rtlations and other persons.
no d is(I . - . . . -. l
provinces, and rheir forrresses. Slowly, wirh rhe consolidarion of monopoly 'f ol\ rult ctnrred on rhe monopol1ts of rnxar10n and ph) s1cal v 10 tnce.
iv onop . , -
rhese possible rivals of rhe kings rook on rhe characrer of funcrionaries in had thus arrained. for chis parricular srage as rht ptrsonal of_ an
powerful governmenr appararns. Bur rhey rtsisred rhis change. Tht narura! . d'1ncua,
1 l irs- consumnnrt form Ir was prorecrtd b\ a fa1rlv tfhcitnr organ1za-
m ' . . . .
brorher of Louis XIII, rht Duke of Vendome, Htnry !V's basrard son, rose rion of survtillanct. The land-owning king d1su1bur111g land or nrhes_ had
againsr rht central authoriry ar rht htad of a facrion. He was gmernor of Brirranv becon1e .'1 111 ontr-owninv
. o
kin"
o
disrriburinl!._ salants: rh1s_ gave ctnrral1zanon
._ .
a
and belitved he had an heredirary righr ro rhis province on grounds of marriag;, power and solidity unarrnined hirherw The of rhe cemnfuga.l soC1al
Thtn ir was rhe govtrnor of Provence from whom rhe rtsisranct came, rhen rhe -forces l1ac! been fimllv
' , broken All 1)oss1ble rivals of rhe monopoh _ rultr h.id. been
.
go\trnor of Languedoc. rhe Duke of Mommortncy; and t\'tn rhe Huguenot b U"hr inw an insrirnrionally secured dtpendenct on him. No longer 111 frte
ro "'
comperirion o f r l1e no bT
bur in one resrricttd by monopoly. on l y a secnon 1 1ry, r l1t
nobilir:(s arrtmprs ar rtsisranct had rhtir basis in a similar power posirion. The
army was nor yer compltrtly cenrraliztd; rhe commandtrs of fi.Jrrrtssts and cap- courdr section. compered for rhe opporrnnitits clisrributed by rht monopoly_
rnins of srrongholcls srill had a high degree of indtpendtnce. The governors of ruler, ,and was ar rhe samt rimt under consranr pressure from a resern: arnw of
provincts regarded rheir purchased and salaried positions as rhtir property. So coumrv ariswcracy and rising bourgtois tlemenrs. Tht courr was the orgamw-
chert wtrt rentwed flickerings of ctmrifugal rendencits in rhe land Under Louis rional .form of chis resrricred cornperi rion.
XIII rhey wtrt srill percepriblt. The king's brorher, Gasron, Duke of Orleans, Bur even if ar rhis srnge rhe king's ptrsonal conrwl of the monopolized
rose. like many royal brod1trs befort him, againsr rht king Ht formally opporruniries were grear. 1r was an yr l1rng
! In rhe srrucrnre of this
b ur un l'irnl(ec .
renounctd friendship for rht Cardinal afrer raking over rht leadership of rhe relariwly privart monopoly rhtrt were alrtady unmisrnkablt elemenrs which
facrion hosrile ro him, and wenr ro Orleans w begin his srrugglt against would finallv !tad from ptrsonal conrrol of the monopolits ro public conrrol by
Richelitu <md rhe King from a strong milirary posirion. ever-broaclt; secrions of sociery. For Louis XIV rht srartrnenr: "I.:Erar c'esr moi"
Richelitu finally won all rhtse banles, nor lease wirh rhe aid of rhe bourgeoisie had. indeed. a measure of rrurh. wherher or nor ht hirnstlf urttred ir.
and rhe superior financial means they pm ar his disposal.. The rtsisring lords died Insriwrionallv. the monopolv organizarion srill had w a considerable cxrent rht
rnnquished. somt in prison, somt in txilt. some in b,1rdt: Richtlitu !tr t\'tn the personal Funcrionally. howewr. rht monopoly rule_r's
king's mothtr dit abroad. dependtnce on odier srrara. on rhe tnrire ntrwork of differtnriared soC1al
funcrions, was already very grear, and was consrandy incre,1s111g wid1 the advance
The belief rhar as sons or brorhers of rhe King, or princes of his blood. rhey may
of rhc commercial and montrary inregrnrion of sociery. Only rhe pamcular
disrnrb the realm with impunity. is mistaken Ir is far more judicious m sernre the
sirnarion of socien, rhe peculiar balance of rensions btrwten rhe rising bourgeois
realm and monarchy than to respect impunin endowed lw rank
and rhe declinin; arisrncraric groups, and rhen berwten rhe many major and
So he \Hires in his memoirs. Louis XIV reaped rht btnefir of these vicrories; minor groups rhe land, gavt rhe cemral ruler his immenst powers of
bur a stnse of rhrear from rhe nobiliry, parricularly tht high nobility closest ro comrot and dtcision Tht independtnce wirh which earlier kings ruled their
him, was stcond narure w him . The ltsser nobiliry ht forga\e an occasional domains. <lll txprtssion of lower social inrerdtpendtnce. had vanishtd Tht vasr
abstnce from courr if reasons wert given. Towards "rhe great onts" he was human ntrwork char Louis XIV ruled has irs own mornenrnm and irs own cenrrt
34-i The Ci!'i!i::.i11g Proccs.1 State Fomwtion and Cii-ili::.atio11 345

of gravity which he had ro respect. Ir cost immense effort and self-co , . bscineanr": 115 the revenues of the land are intended ro prevent those living on
ntro1 to
preserve the balance of people and groUjJS and. b\. j)la>.ing on the t Jhem from plundering their subjects. said Sr Thomas Aquinas. In this he was
- - ens1ons, to
sreer the whole. :errainly nor expressing the opinion only of ecclesiastical circles, even though
The central functionarys ability ro govern the whole human network church institutions were probably particularly exposed to such measures on
in his personal was only seriously restricted when rhe balance on account of their wealth. The kings themselves did nor chink very differently, even
he \Vas poised tilted shar1)ly in favour of rhe bourgeoisie and a new social lo I if, with the general shortage of money, they could not refrain from repeatedly
- . u ' a ance
w1rl1 new axes ot tens10n was established. Only then did personal monopol" demanding such compulsory duries. Philip Augustus, for example, aroused so
b egm . b b" . much unrest and opposition through a series of taxes, particularly the comriburion
to. ecome pu lie monopolies in an institurional sense. In a long series of
elimmanon comests, m a gradual cemralization of the means of j)hvsical v 10 1 for rhe Crusades in l l88-the famous dime scd{/{!iJlt-that in 1189 he declared
ence
and taxation. in conjunction with a constantly increasing division of functions that no such raxes would ever again be levied. In order, his decree runs, that
and the rise of professional bourgeois classes, French society had been organized neither he nor his successors shall ever fall into the same error. he forbids with
step by step in the form of a state. his royal authority and the whole authority of all the churches and barons of the
realm, chis damnable effrontery If anyone, whether rhe king or anyone else,
VIII should attempt "by audacious remperity" ro revere ro it, he wants them
disobeyed. 11 " Ir may be that in the formulation of this decree his pen was guided
On the Sociogenesis of the Monopoly of Taxation by agitated norables . Bur when he was preparing for the Crusade in 1190, he
himself expressly ordered that in rhe event of his death during the Crusade, a
26. A certain aspect of this monopolization, and thus of the whole process of part of the war treasury should be disrribmed among those who had been
state-formation, easily escapes the retrospective observer because he usually has a impoverished by the levies. Duries demanded by the kings in this society. \Vith
clearer picrnre of the later stages, of rhe results of the process, rl1an of irs relarive scarcity of money, were indeed something different from taxes in a
developments lying further back He can hardly conceive that this absolutist more commercialized society. No one rook them for granted as a permanent
monarchy and centralized government emerged quire gradually from rhe medi- institution; market transactions and the whole level of prices were in no way
eval world as something new and extraordinary in the eyes of its contemporaries. adjusted ro chem; they came like a bolt from the blue, ruining large numbers of
Ne\errheless, only an attempt ro reconstruct this aspect gives us the possibility people. The kings or their representatives, as we can see, were sometimes aware
of understanding what really happened. of this. Bur with the limited revenues they received directly from their domanial
The main outlines of the transformation are clear. From a particular central estates, they were constantly faced with the choice of either using all the threats
point it can be described in a few words: the ttrritorial proput) of onc and force at their disposal ro raise money by levies. or succumbing ro rival
its co11tro! r;f Ctillli11 lands a11d its dai111 to tither !ii' scnices of mriom ki11dr ji-0111 the powers. All the same, the agiration over rhe "Saladin tithe" and the opposition
/1wple lil'ing 011 this la11d. is tramjim1ml ll"ith the ad1m1cing dil'ision of /imctiom and i11 it unleashed seem ro have been long remembered. Ir was only afrer sevemy-nine
the course o/ n11111ero11s struggles. into c1 cel/frali::.u! control of mi!itm:r mu! of regl!iar years that a king again demanded a special rax, an aide feodct!e for his Crusade.
1h1ties or taxes r11u'a j;11 lmxer area. \'Vi thin this area no one may now use weapons The general belief of kings themselves was that the rulers of a territory and
and forrificarions or physical violence of any kind without the central ruler's their government should support themselves on the income from their domanial
permission. Thar is something ,ery novel in a society in which originally a whole possessions in the narrower sense, that is, on the income from their own estates.
class of people could use weapons and physical violence according ro their means To be sure, the kings and a number of other great feudal lords, in the course of
and their inclinations . And everyone of whom the central ruler requires it is now monopolization, had already risen considerably above the mass of rhe feudal
bound ro pay a certain portion of his income or his wealth ro the central ruler. lords, and we can see in retrospect that new functions were evolving . Bur these
This is even more novel, measured by what was cusromary in medieval society. new functions developed only slowly, by small steps and in constant conflict with
In the barter economy of rhar time, where money was relatively rare. demands by the representatives of other functions, into solid institutions. For the rime being,
princes or kings for money payments-leaving aside certain occasions fixed by the king was a great warrior among many other greater or lesser warriors. Like
tradition-were regarded as something quite unprecedented; such measures were them, he lived on the produce of his estates; bur like them he also had a
regarded in much rhe same way as pillaging or the levying of tributes. traditional right to raise taxes from the inhabitants of his region on certain
"Consriruti sum redirus rerrarum. ur ex illis vivemes a spoliatione subdirorum extraordinary occasions Every feudal lord demanded and received cerrain duties
3-i6 Tho: Ciz'ili2i11g Pm(cso 51'1h Fr1mMti1;n ,n1cl Ciz-i/i::,ation

when his daughter was married, when his son was knit:hted and ro P class, then on ro that. But in all this twisting and turning the social power
. . . . v ' av <

ransom it he were made a pnsoner-ot-war. These were the original ' monarchy was constantly growing, and with this growth, each furthering
and the kings demanded them like every orher feudal lord. Demands for other. raxes gradually rook on a new character
over and above rhest had no basis in cusrom: rhis is why rhey had a ln 1292 rhe king demanded a duty of one "denier"' in the pound for all wares
rtpute ro pillage and exrortion the duty being payable by both buyer and seller. "An exaction of a kind
Then, in about the twelfth and thirteenth centuries, a new form of -ard-of in the French realm"', a chronicler of the time called it. In Rouen the
l
unic:
revenue began ro establish itself. In rhe twelfth century tht cowns were in ,,_!Jouse of the rornl tax-collecrors was plundered. Rouen and Paris, rhe
cOtl nt o . .
growing. Accord_ing to ancient feudal custom, only men of the \varrior class, the tWO most imp?rtant towns in the kingdom, finally bought their exemption for
11
nobles,. were
. .
enntled
.
ro bear arms: but the burghers had now fouuht b
sv'o
. r
d in
. fixed sum But this tax long remained in rhe popular memory under rhe
hand for unc freedom or were about ro do so: and about the rime of Louis VJ ominous name 111c1f-11jtc; and the opposition it aroused long remained in the
It became customan- to enrol the rown-dwellers the "'bourutois
t:>
f'or \\'ar
,
d ut1es.
minds of the royal officials . Accordingly, the king attempted in the following
Very soon, howe:er, the rown-dwellers preferred ro offer the territorial lords vear to raise compulsory loans from the wealthy bourgeois. \\!hen rhis roo met
money rnstead of war senices so that he could hire warriors. They commer- violent resistance, he reverted in 1295 tO the aidt in its original form; rhe
cialized war service; and to rhe kings and rhe other great feudal lords this was levy was demanded from all estates, nor only the third. One hundredth of the value
nor unwelcome. The supply of war services by indigent warriors was usuallv of all goods was ro be paid. But the yield of this tax was clearly not enough . The
greater than rhe purchasing power of rht rival feudal lords. So rhese following year rhe duty was raised ro a fiftieth. And now, of course, the feudal
payments for exemption from war service quire quickly became an established lords also affected by the tax were txrremelv angry.. The king therefore declared
cusrom or an institution. The king's representatives demanded from each town himself willing co return ro the religious and secular feudal lords a part of the
comn:unity such and such a number of men or rhe payment of a corresponding sum ht raised from their dominions. He gave them, so to speak, a share of the
sum for a particular campaign, and the rowns agreed or negotiated a reduction. boory. But rhis no longer reassured them. Above all, the secular feudal lords, the
But even this cusrom was still seen as only a further form of the feudal aides in warriors, felr increasingly threatened in their traditional rights, rheir independ-
extraordinary cases; iris called the aidt ck /"ost and rhese aids were taken together em rule and perhaps even in their whole social existence, by this central
as the "aids in the four cases ... governmental apparatus The kings men were intruding everywhere: they
It would take us too far afield to show how the rown communities themselves appropriartcl rights and duties which had earlier been the exclusive prerogative
gradually began to form a kind of internal rnxation system for the various of the individual feudal lord . And here, as so often, it was money duties that
communal tasks. Suffice ir ro say that dle king's demands served ro develop this, were the last straw. \\!hen, in 131-1, shortly before the death of Philip the Fair,
just as, conversely. the urban taxation institutions thar began to be consolidated high taxes for a campaign in Flanders were once again levied, unrest and
about the end of the twelfth century had an imporrance for the organization of discontent, reinforced by tht mismanagement of the war, became open resistance.
royal taxation rhat should not be under-esrimated. Here, too. the bourgeoisie and '"\'Ve cannot tolerate rhe levying of these aides'", says one of those affected, 110
the royal house-usually involuntarily-carried each other along. But this is "we cannot bear them with a quiet conscience; they would cost us our honour,
certainly not ro rhat the burghers or any orher social class paid willingly and our rights and our freedom . " "'A new kind of unjustified exrortion, of unseemly
without resistance . As is the case with regular taxation later, no one paid these money-raising, unknown in France and particularly in Paris," another man of tht
occasional taxes unless he felt directly or indirectly forced co do so. Borh cases time records, '"was used to cO\er expenses: it was said ro be intended for the
indicate exactly the nature of the mutual dependence of groups in society at a Flanders war. The servile councils and ministers of the King wanted buyers and
given stage and of the prevailing power balances. sellers to pay six deniers for each pound of the selling price. Nobles and
The kings did not wish and could not afford to provoke excessive opposition; commoners united under oath ro maintain their freedom and that of the
the social power of the royal function was clearly not yet strong enough for this. fatherland.
On the other hand, for their function and self-assertion. they needed above all ro The unrest was indeed so great and general rhat rowns and feudal lords formed
finance the constant struggles with rivals, continual and gradually increasing an alliance against the king. Ir is one of those historical experiments from which
sums of money that they could only obtain by such aides. Their measures we can read off the degree of divergence of their interests, the strength of the
changed . Under rhe pressure of rhis situation rhe royal representatives groped for tension between them. Under rhe common threat from the fiscal demands of the
one solution after another; they shifted the main burden first on co rhis urban or royal representatives, and rhe high feelings it aroused on all sides, a league
348 Tin Ciz'i/i::;i11g Proa.u Stt1!t Fom1atioJ1 and Ci1i!izatir111

berween bourgeoisie and nobiliry was still possible. \Vould ir last , . and more deliberately constructed into an organization or insrimtion . In
- . . . ' . . ' \vou!d it
ettecnve' Ir has already oeen pornted our char rn other countries .
. . . .. , especially \. 1n coniunCLion with a '-gradual uansformarion of sociery and a shift of
wa..
England on _the basis of a different social srrucmre, a rapprochement relationships within it. rhe occasional aids ro rhe lords of estates or
concerred acuon between cerrain urban and rural chsses gndll'l!I . _ po> le\ied for specific campaigns or ransom or dowries or the provision of
<- ' ' Y 1..ame
berng wh1ch--desp1re all the rensions and hostilin between th fi
. . . . . em- na!J. ons, \y,.e-re rransformed into regular payments As rhe mone\' and uade sector of
L ' ,
contnbured rn no small way ro the curtailment ot royal power. The fare Jr 5
,he econom\'. slowh. increased, as a particular house of feudal lords gradual!\'
alliances in France, as can be seen here in embr\'onic
. form and f: r
1 more
L

a house of kings over an ever-larger area, the feudal aide 1111x q!!cttrt ws

lacer, wirh t1:e growing interdependence of the estates, was very different.
step by step into taxarion
un,rnimity ot rhc csrares _did nor survive long; the impacr of rheir combin
from 1328 onwards. and more strongly from 1337, this transformation of rhe
acr10ns was broke_n by rheir mutual misrrusr.. "Anger and discontent bring ed
dinarr aid inro regular duties accelerated . In 1328 a direct tax for rhe war
rogerher. bur their interests admir no uniry." 11 'J extraor '-
Flanders was again levied in certain parts of rhe kingdom; in L\35 there
11 sonr lignte Jeslignet was an indirect tax in a number of western rowns. a duty on each sale, for
Conrrtfai re er mal alignte equipping a fleer; in 13_'>8 all royal officials had somerhing deducted from their
av: in 1)40 the tax on the sale of wares was re-introduced and made general; in
runs a song of the rime about the allies All rhe same chis violent reacnon to
,. L. ,
p . rhere was an additional rax on the sale of salt. the gahulk cl!! st!. In l .'>4-L
wilrully ltned rnxes ltfr a srrong impression, nor lease on rhe royal officials. Such
and 1346 rhese indirect taxes continued ro be raised. After rhe Bartle of
upheavals Wl[hrn_ rhe domrn10n were nor without dan<er b
for rhe strLio-
og le Wit
h
Crecy. rhe royal officials again uied a personal direct tax, and in 1347 and 13-18
rivals. The social position of rhe central ruler was not yet strong enough
they reverted once more to the indirect form, the tax on sales. All this was ro
tor him alone ro derermrne the dunes and then level; power was still distributed
some degree experimental; all these levies were regarded, as we have said, as
rn such a way chat he had ro negotiate on each occasion with the estates whom he
was taxing and gain their approval. And as yer rhe aiclcs were no more than remporary assistance from society in rhe conduct of rhe king's war; they were !cs
and extraordinary payments ro assist in a particular concrete purpose. aides s11r le ;;1it ck la gf!l:rn:. The king and his officials declared over and over again
121
fh1s was only gradually ro change in the course of rhe Hundred Years' War. As rhat the demands for money would cease wirh rhe hosriliries. And whenever
war became permanent, so also did the duties needed by the central ruler for its the esrnrc:s represenrnrives had the chance, they underlined rhis; they tried w
conduce.. ascertain thar the money coming from the aides was actually used for military
. 27. "The struggle facing the monarchy in seeking ro esrablish and develop its purposes. The kings themselves, however, ar least from Charles V on, never
hscal power can only be appreciared if we are aware of the social forces and adhered very strictly w this demand . They controlled the funds from rhe aides
interests it encountered as obstacles ro its designs." 1c" This srarement does and continued, when they thought it necessary. to meet their own household
indeed point w the basic feamre of rhe sociogenesis of the taxation monopoly. To com or w reward their favourites from chis money. This whole development. chis
be sure, the kings rhemselves could not foresee, any more than their adversaries inflow of money to rhe king's treasury as well as the establishment of a military
in this struggle, rhe new institution w which it would give rise. Thev did not force paid from this money, slowly bur surely led roan extraordinary strengthen-
really have any general intention w "increase rheir fiscal power" To b;gin with ing of rhe central function . Each of the estates, the nobility above all, opposed
they and rheir representatives wanted quire simply ro exuacr as much money as the central authority's increase in power w rhe best of its ability. Bm here, roo,
possible from their dominion on one occasion after another, and rhe tasks their divergence of interests weakened their resisrance. They were far roo much
expenses necessitating this were always quire specific and immediate. No single affected by rhe war, far roo directly interested in a successful repulsion of the
person created taxes or the taxation monopoly; no individual, nor series of English, ro be able w refuse the king funds. In addition, the strength of the
individuals throughout the century in which this insrirurion was slowly formed, amagonism between them, wgerher with local differences, nor only undermined
worked rowards this goal by any deliberate plan . Taxation, like other any common from w limit rhe king's financial demands or ro supervise the use
_is a producr of social imenveaving. It arises-as from a parall;logram of chis income, bur prevented a direct organization of rhe war by rhe esrares. The
ot forces-from the conflicts of the various social groups and interesrs, until threat from outside made the people of this society, which still had relatively
sooner or later the instrument which has developed in rhe constant social trials linle unity and interdependence. particularly dependent on rhe king as supreme
of suength becomes more and more consciously undersrood by the interested co-ordinawr and on his governmental machine . So they had w pm up year after
Th1: _)51

year with the le\ying in the king's name of "extraordinary aids .. for a War , dirion As long as Charles V was aliYe all this found no visible express10n
did nm end
vrsr res
,r:i
, c-"rew unseen. and. with it. discontent
.
Bm it seemed that the king was to
. _ c
Finally. after King John was rnken prisoner in the Barde of Poi tiers in -' ex tent aware of this growmg tension m the countr\'. ot the suppressed
. , 0 [Qt 50rn e "" . .
r_o pay rhe enormous. ransom demandccd_ by rhe English. a tax was levied for th; particularly against the taxes. He probably realized the danger ro which
hrst
_
time not JUSt tor one vtar bur ror six . Here ' as so oft'-11 n a
' ' 1 1')Or .. mood must Lgive rise if. in his place. in place of an old. experienced ,king. a
L ,
torrnirnus event. merely accelerated something dmr had long been prepared in the 'ld his son who was still a minor. came ro the throne under the guard1ansh1p
"I] ! '
strucrnrt ot society. In realiry d11s rnx was raised conrinuouslv nor for 51 rival relations. And perhaps this fear of the future was coupled with pangs of
- -X}'ears
bur for twenty. and we may suppose rhar by rhis rime a certain adaptation of the -onscience. Certainly the taxes that his government had brought in year after
marker w such payments was rakrng place. Moreover. apart from this purchase- ' seemed ro the king inevitable and imlispensable. Bur e,en for him. rhe
rnx the kmg s ransom there were conti.nual rnxes for other purposes as Well: beneficiary. these taxes clearly still had a tinge of injustice about them. At any
0

Il1 l J6J a d1recr tax to cover rhe immediate costs ot war in l :;6-, inotl rare, a few hours before his dearh. on 16 September 1380. he signed a decree
. ' 1er to
combat pillage by d1e soldiery; in l.'\69. on the resumption of war. new direct repe,t!ing above all the most oppressiYe and unpopular tax. the house-tax which
and 111d1rect rnxes mcluding the specially hated house-rnx. the
we 1,,r
t' 1
ed equal!\'. on rich and I)OOr. How appropriate this decree was to the
"All d1ese are srilL no doubt. feudal 'aides, bm generalized. made uniform siruarion created by the king's death wry quickly became apparent. The central
and levied nm only in the king's domain but throughout rhe kingdom under the function weakened. the repressed tensions in the country broke our.. The
supenisi?n of a special. centralized administrative machine."1.c.c In fact, in this competing relations of rhe dead king. above all Louis of Anjou and Philip the
phase ot the Hundred Years' \var when the :1idi:s were slowly becoming Bold of Burgundy. contested predominance and not least control of the royal
permanent. there graduallv e\olved specialized official functions devoted to rmisury. The towns began to reYolt against the taxes . The people put tht royal
collecring and legally enforcing these "extraordinary payments". as they were GL'C-collecrnrs ro flight.. And the agitation of the lower urban strata was at first
still called. First of all they were represented simply by a few G,:i1cu 11x 511 r nor unwelcome to the richer bourgeoisie. The desires of borh ran paralleL The
who supenised the army of those responsible for the aides throughom urban notables who in November USO met representatives of the other estates
the land. Then. in U 'O. there were already nvo supreme administrators. one of in Paris, demanded the abolition of the royal taxes. Probably the Duke of Anjou.
whom specialized in the financial and the other in the legal questions arising rhe king's Chancellor, promised to fulfil the demand under this direcr pressure.
from the collection of c1idn. This was the first form of \vhat later. throughout On 16 November 1.)80 a decree was issued in the king's name by which
whole c111<iei1 remained one of the most important organs of fiscal "henceforth for ewr. all 'fouage' impositions, salt taxes, fourths and eighths. by
administration. the Chamlm or CrJi!r du Aidu. But here. in the years L'70 ro which our subjects have been so much aggrieved. all aids and subsidies of any
1380. this institution was still in the process of formation; ir lacktd a definite kind which ha,e been imposed on account of the said wars .''. were
flirm; it was one more attempt in the open or silent struggle in which the abolished
different social power-centres were constantly resting each other's strength. And "The whole financial system of the last ten years. all the conquests maclt in the
its presence did nor. as often happens with solidly established insrirntions, years l 358:59 and l,167168. were sacrificed. The monarchy was thrown back
obliterate the memory of the social conflicts from which it had resulted. Each almost a century It found itself at almost the same point as at the beginning of
time the monarchy. meeting resistance in different parts of the ]Xl]'Ulation. had the Hundred Years' \\/ar." 1c;
to limit its taxation demands. these official functions also receded. Their level Like a S\'Stem of forces that has not yet reached equilibrium. society S\rnyecl
and the cune of their growth is a fairly exact inclicaror of the social strength of back and forth between the various poles in the struggle for power.. It speaks for
the central function and the apparnrns for ruling in relation to the nobility, the rhe social power already possessed by the central gO\ernmem and the royal
clergy and the urban classes . function at this time. that thev were able ro make up the lost ground with
Under Charles V, as has been mentioned. the aides sm Ir: ;;1it ,/i; !t1 g!!lrrc became extraordinary speed. although the king himself was a child and wholly depend-
as permanent as the war itself They weighed upon a people that was being ent on the administrawrs and servants of the monarchy. \\/hat was seen later once
impoverished in this war by devastation, fire, trade clifficulties and not least bv more under Charles VII with particular clarity, emerged fairly clearly en'n at this
continual raids by troops who wanted ro be fed and fed themselves b\ force. Ail time: the opportunities open ro the royal function in rhis structure of French
the more oppressiw were the taxes demanded by the king; and the strongly society and in this siwation. were already so great that the monarchy could
their becoming the rule instead of the exception was ftlt as a contravention of increase its social power e\en when the king was personally weak or insignifi-
352 Th, Cil'i/i;:;ing Pmcu.1 Std!c For111ation diid Cil'ili:atio11 353

1cant The dependence of tht groups and classes in this society on a urban notables demanded theirs in the larger spl:ere of the government of the
. . . . . . . supreme
orelmdtor who mamramed co-operanon between the v1rious -uciil f The urban upper srrara rook flight or detended themselves; and they
_ . . . . . ' , ' Unctions
di,tncrs, grew with their mterdependence and "rew even mor'" d iallY saved at this srage of the struggle bv the arrival of roval troops
_ . . . . ' c un er t.vere ust, . ._. . . . '- . . . . .
pressure of milirary clanger. And so, wdlmgly or nor. they very quick!v Jr WOLlid [1ke
'
us too far afield to follow these srruggles and the nsmgs m
_ _ . _ c

the means needed to conduct the war to the men who represented thei; rowns in derail They ended wich a rurrher shift of power m favour of
interests, above all in conflicts with external enemies tl1e ! die central apparatus and the monarchy. The ringleaders of rhe revolt, panic-
. . . 'mg and
represenrat1ve. Bur m so domg they also gave the monarchy the means to rhose who had refused to pay rnxes. were purnshed by death. others with
them. In 1382-83 the monarchv. i.e. the kinu to<'ether with ill tl1e l . nes On che towns as a whole large 1)avments were imposed. In Paris, rhe
. . . "' "' ' re anons heavy f1 - ':- _ .
counCJ!s and servants whom any wav Lielon"ed to the uovernn1ent m l ; . 'fiecl roval castles or bascilles were: remforced and new ones bu1lc, manned by
. . . . . . . "' "' ac 11ne. w forn . . .
agam m a posmon to d1crate to the towns. the chief centres of resis,. _ as men-at-arms. gem c/'armus And urban liberties were resrncred. From now
. . .ance thk
raxes it considered necessary. ' ' local town administrations were increasingly placed under royal officials until
00
The question of taxes was at the centre of the urban risinus of 1 '87 B . rhey roo were essentially organs of rhe royal apparatus for ruling. In this way the
. . . _ b )<._ ..... Ut 1!1
the struggle over raxes and the d1stnburion of their burden bv th .. hierarchy of the central government appararns, whose occupants were the leadmg
. . . _ . . . . e central
appar,1rus, the guesr10n of the whole d1stnbut10n of power as so often \\ bourgeois, excended from ministerial posts and the highest judicial offices ro the
_. . . . . . . . '' ' 'as tested
and deuded. . The .obiecnve. _of gammg sitions of mayor and guild-master. And the question of raxes as a whole was
_ , a voice in rhe raising
, ind
' disrrib ut10n ot,
db l . . .
raxts. rhar is. ot superVIsmg trom a central position rhe working of the decided in the same way. They were now dicrart y t lt central orgarnzar10n
government machme. was pursued guire consciouslv bv the urban notable f I If we examine the reasons why this trial of strength was so quickly decided in
. ' so tie
rime, and nor only br them. Ar assemblies, representatives of rhe other estates favour of the central function, we again encounter the fact already mentioned so
sometimes pushed m the same direction. The horizons of rhe lower and middle often: it is rhe anragonisms becween the various groups of this society that gave
classes were_ generally narrower; what they wanted above all was release rbe central function its srrengrh The boutgeois upper class had a tense
trom their oppressive burdens, nothing " l of
more. Even in rhis direction tile boas relationship nor only ro rhe secular and clerical feudal lords, but also to the lO\ver
<-

the vanous urban were nor always the same, even if--in their relation to urban srrara. Here, it is above all the disunity of the urban classes themselves
the central apparatus the country-they were nor necessarily mutually hostile, which favoured rhe central ruler. No less important was rhe face that as yet
In the smaller clfcle of the towns themselves matters were very different. Here scarcelr anv close association existed between the different towns of the
the mreresrs of rhe different strara. despite all cheir interweaving and indeed There were weak tendencies towards a collaboration of several cities.
precisely because of it, were often diametrically opposed was nor yet nearly close enough to permit concerted action. The
The urban communities of this cime were already highly complex formations. different rowns still confronted each other to some extent like foreign powers;
There was in them a privilegtd upper stratum, rhe bourgc:oisie proper, whose between them roo there was more or less intense competition. So the royal
position was expressed in its control of the civic offices and therefore representatives first concluded a truce with Paris in order to have a free hand
of finances. There was a middle stratum, a kind of perry bourgeoisie, rhe less against the towns of Flanders. Thus secured, they broke the urban resistance in
wealthy craftsmen and tradesmen; and finally there was a mass of journeymen Flanders; rhen they broke it in Rouen, then in Paris. They defeated each town
and workers, rht 'people" And here, too, rhe raxes formed rhe nodal point singly. Nor only social bur regional fragmentation as well-within cerrain limits
both the interdependence and the antitheses emerged parricularlv cleark If clear and nor excluding a certain degree of interdependence-favoured the central
demands were expressed at all, rhe middle and lower direct, function. In face of rhe combined opposition of all parts of rhe populacion, the
progressive raxes which each paid according to his means, while rhe urban upper monarchy would necessarily be defeated. But in face of each individual class or
stratum preferred indirect or flat-rate taxes. As so often, rhe agitation of the region the central function, drawing ics power from the whole country, was rhe
people over raxes and the first wave of unrest were ro begin with unwelcome suongeL
to the urban upper stratum . Ir favoured this movement as long as it reinforced Nevertheless, sections of society continued to try ro limit or break the
!ts. own opposition ro the monarchy or even ro the local feudal lords. Bm very growing power of the central function. Each rime, in accordance with the same
quickly the msurrecrion turned against rhe wealthy rown-dwellers themselves. Ir structural regularities, rhe disturbed balance was restored after a time in the
became in part a' StrU""le
ob for urban
' 1d
, mm1srrat1on b etween
t ]1e ru l"mg 1.oour"eo1s
monarch's favour, and each of these trials of strength further advanced its power.
parriciare and che middle strata, who demanded their share in rhe offi;:s as Taxes paid to rhe king still disappeared now and then or were briefly resrricred,
The Ciz'ili::i11g Pro(U.1 Sit1h Formation tlild Cizili::.atirm 355

bm they were always very soon revived. In exactly rhe same wa blv in rhis phase of rhe adv,mcing clitfrrentiarion and integration of
qe,'{ora _ . . . . . .
concerned with the administration and collection of taxes vanished
1 the power of rhe central tuncnon \\"<lS grow mg. Ag am and agam 1t was
peared. The history of rhe Chm11brt des Ait!o, for example. is full of irirv power concentrared in the hands of rhe central aurhoritv which
the 011 r ' . . . . . .
upheavals and sudden reversals. There were several successive and increased his control of raxes. and 1r was rh1s concenrrared comrol ot
between 1370 and 1'>90 Then again in l-113 > l-il8 1-P)- 1-,;6)- , l/o6' ... ! ich made possible an ever-stronger monopolization of physical and
L - ' -, 'l d t.xes 1 ,_ .

l-i7-i it underwem, as its historian writes. "excesses of life and death unp d".11 . . n power. Srep bv step rhese rwo means drove each orher upwards until, ar
. .. ' '' 1 . ll . b . , .re Itt- 1 . . . . . . .
a bl e resurrecnons : um1 hna r 1r ecame a hrmh established institut . n point rhe total supenonrv anamed bv rhe cemral funcnon 111 this
. . . ron in 11 . .
the royal governmental mach111e. And while rhese flucwat1ons do not, of was revealed nakedly rn the eyes of its asronished and embinered
reflecr only the ._great social rrials of strengd1 nreniporarics Here again a voice from that rime is better rhan any description
,_ ' the\
nevertheless o,, 1,.e a cert'-ai. ro . 1
picwre of rhe sociogenesis of the roral funcrion. rhe urowrh of rhe mon ' .n . nvevin" rn us how all rhis broke upon people as somerhmg new. Wit 1our
. . . - . . b opoiv lll co . "'
orga111zanon 111 fhey make rt clear how little all these funcrions and their knowing how or why.
tormanons resulted from rhe long-rerm conscious plans of individuals, and When, under Charles VII, rhe cemral government began quire openly rn
much they arose by small, rentarive sreps from a mulriwde of imerrwininn "nJ announce and collect rnxes permanently wirhour rhe esrares' agreemem. Juvenal
. . l .
con fl 1ct111g mman efforts and activities.
0 ""' des Ursines. the Archbishop of Rheims, wrote a lener co rhe king . It included.
28. The individual kings rhemselves were. in rhe deploymem of their personal freely translate d , rI1e f'o ll owmg:
. l'j
-
wholly dependent on the sirnarion in which thc:y found the roval
tuncrion. This seldom showed irstlf so clearly as in rhe case of Charles VII. As.an When your predecessors intended to go to war, it was their custom to assemble the
three estates: they invited peoplt from tht Church. the nobility and the common
individual he was certainly nor especially strong; he was nor a grear or powerful
people w meet them in one of rheir good cities Then thty came and explained how
person. Yet. afrer rhe English had been expelled from his rerrirory, during his
thinL:s stood and what was needed to resist the enemy and they required that the
reign the monarchy grew stronger <ll1d stronger. The king now srnod before his
rook counsel on how the war was to be conducted in order to help rhe king with
people as a vicrnrious army leader, however little he may have been inclined to taxes decided in this discussion You yourself always maim,1ined this procedure until
rhis role by personal predisposirion. In the war, all rhe financial and human vou realized that God and fortune-which is changeable-h<ne so helped you that you
resources of the coumry had been collecred in rhe hands of rhe cemral authority. ;eel such discussions to be beneath your dignity You nm\' impose the dickr and other
The cemralizarion of the army, rhe monopoly comrol of raxation had advanced a duties. and suffer them to be leYiecl like duties from your domain. without the
good distance. The external foe had been driven om, bur rhe army, or at least a a"reemem of your three estates
good part of it, was srill present. Ir gave rhe king such imernal preponderance "Earlier . ;his kingdom could rightly bt called "Royaume France". for ir used robe
rhar resisrnnce to his wishes by the estares was as good as hopeless. parricularlv free [jiw1d and had all liberties [jiw1cbiscs d /i/;ut(s] Today the people are no more than
as rhe exhausred popularion wanted one thing above all else: peace. In slaves: wilfully raxed [1aillcd1/cr ,) 11111/cn!o:] If we look at the population of the kin,t!dom
we find only a tenth of those who were formerly there. I would not wish to diminish
sirnation rhe king declared in l-i36 that the narion had approved rhe aides for an
your power. bm rather to increase it to the best of my small ability There is no doubt
unlimited .period, that he had been asked nor to assemble the estares in future to
that a prince. and partirnlarly Your Highness. may in certain cases cm off [lclif/,r}
decide on taxes; che costs of the journey to rhe estates' assemblies. he said, placed
, 0 mething from your subjects and leYy the :1icld. particularly to defend the kingdom
far coo heavy a burden on rhe people. and the public cause [c/y,s, p11b!iq11,] But this he must agree in a reasonable m<inner
This jusrificarion was, of course, wholly wirhour substance. The measure itself, His rnsk is not mine. It may be that you are so\ereign in matters of justice. and that
rhe suppression of the estates assemblies, was simply an expression of rhe social this is your amhority Bm as far as clomanial reYtnues are concerned. you haYe your
power of the monarchy. This power had become so grear rhar rhe aides, which domain and each private person his [N.B. in other words the king should kindly
during the war had in practice become more or less cominuous, could now be support himself on his esrntes and domanial rewnues, and not usurp control of the
openly declared a permanem insrimrion And this power was already so re\tnuts of the whole country). And today the subjects do not merely have their wool
unquesrionable that the king no longer thought it necessan to auree the amount sheared. but their skin. their flesh and blood down to the bones
and kind of rnxes with those who paid them . As has been the esrares
still repeatedly attempted rn resist . The suppression of rheir parliament and the In another passage the archbishop gives free rein to his indignarion: "He
dicrarnrial powers of rhe kings were nor consolidared wirhour a series of trials of deserves to be stripped of his rule who uses ir wilfully and not one half ro rhe
strengrh. Bur each of these showed yer again, and more and more clearly, how advantage of his subjects Take care. rherefore, rhat rhe surfeir of money
356 The Ci1i/i:;i11g Pmcd.1 5tah Fom1t1tio11 t111cl Cil'ili:t1tio11 35 7

flowing to you from rhe aic!ts. which you draw from rhe body. does not , d thev by considering expenses [pri11!d 111ct1r1110 t11ttt1 !" _1jld:1]. and rn co,er
vnr. n.n - - ll
your soul. You are also rhe head of rhis body \V'ould ir nor be great between the expenses ,ind the expected revenues they hx a general rnx tor a
111
-es of the Kin<,dom Of d1ese taxes neither prelates nor nobles pay anything.
rhe head of a human crearnre desrroyed rhe heart, rhe hands, and feet rbe ptO' 1nc o . . . .
. l. rhe 1eo11le. In this wav the ordinan revenues and this rax bnng in enough to
probably symbolizing clergy. warriors and common people}.." 0ur on! 1 . . .
. . i endirure of rhe cominf..'. year It. dunng the ye<lt. a war breaks our or there
From rhen on. and for a long period, ir was rhe subjecrs who pointed to th<> rover rlie ex 1 ._ . ._ .
s ::DY or l1e r unex11ected
-
nuse
'
of expendirure
. - .
so that the esnmares .
are no longer
public characrer of the royal funcrion. Expressions like "public cause", k 1
l . other t1x is levied or stipends are cur so that under all Circumstances the
land" and even "srare" were first used generally in opposition to rhe princes and tnoug 1. an . ', . i2r,
necessary sum 1s obrained
kings . The central rulers themselves controlled rhe monopolized opportunities in
rhis phase, above all rhe revenue from their dominions--as Juwnal des Up w now a goo cl cl ea l [ms been S,11d . aboL1r rhe formation
. of rhe .rnxarion.
says-like private properry. And ir is in rhis sense, too. as a reply to the . Here in che Venerian envovs account, we are given a clear p!Crnre of
roonopo l} ' . . .
opposition's use of such words as farherland or srare. rhat we should understand . c ind functioning at chis staue of developmem. \V'e also frnd one of che
trS rorm ' L- o . .
rhe saying arrributed to the king: "I am rhe stare." Amazement ar this whole orrmr scrucrnral fearnres of ab sol m1sm and-to a cenam exrenr-of
!JJOSt 1mp ' . . .
development was nor, however, confined to rhe French. The regime that was " ['ire" in "eneral: rhe !Jrimacy ot expend1mre over income. For che
nes'
I "' . . ..
emerging in France, the strength and solidity of rhe central apparatus and . d' cl ii members of sociecv' particularly in bourgeois soc1erv, 1r became more
!U fVI u, L- "

function-which sooner or later appeared subsequenrly, on the basis of analogous and more a habit and a necessity ro clerermine expenditure sr:1crly by mcome. In
srrucrures, in almost every country in Europe-was in rhe fifreenth century the economy of a social whole, by contrasr, expenses are che pomr; on them
something even more surprising and novel to observers outside France. \V'e need .mcom, e 1e rhe sums demanded from rhe individLwl members of soCJety . chrough
only read reports of Venerian envoys of rhis rime to have an impression of ..
t he (,IX
monopol\ are made dependent. This is anorher example ot how rhe
a foreign observer, who undoubredly had wide experience in such matters, roralicy arising from rhe interdependence of individuals possesses srrucrnral
encountered in France an unknown form of go\ernment. chamcrerisrics and is subject ro regulariries different from rhose of individuals.
In 1-492 Venice sent rwo envoys to Paris, officially to congramlare Charles vm and noc robe undersrood from rhe individrnd's point of view . The only limit ser
on his marriage to Anne of Brittany, bur in realiry, no doubt, to find out how and ro che financial needs of a central social agency of chis cime was che raxable
where France intended to use her power in Italy, and in general, how things capaciry of sociery as a whole, and che social power of individual groups in
stood in France, what was rhe financial simarion, what kind of people the king relarion to rhe controllers of the rax monopoly. Later, when che monopoly
and government were, what products were imporred and exporred, what factions adminisrrarion had come under rhe control of broader bourgeois srrara. rhe
exisred; in a word, the envoys had to discover everything worth knowing to economv of sociery as a whole was sharply divided from rhar of rhe individual
enable Venice to rake the correct political acrion . And these embassies, which peoplt ,;dminisrering rhe central monopoly.. Sociery as a whole, rhe scare, could
were now gradually changing from an occasional to a permanent insrirurion, and musr continue to make raxes, income, essenrially dependent on the soC1ally
were rhemselves a sign of how in this period Europe was slowly becoming necessary expendiwre; bur rhe kings, che individual central rulers, now h<1d to
interdependent over larger areas behave like all other individuals; they had precisely fixed stipends and managed
Accordingly, we find in their report, among other things, an exact depicrion of their expenses accordingly
the French finances and of financial procedure in rhe country The envoy escirnare, In rhe first phase of full monopoly, chings were different The royal and public
the king's income ac approximacely 3,600,000 francs per annum-including economies were nor yer separnre. The kings ser raxes in accordance with rhe
"l ,--00,000 franchi da alcune imposizioni che se solevano meeter es//aordi11e1rie ... expenses rhey considered necessary, wherher these were for wars or casrles or gifts
le quali si sono conrinuare per ta! modo che al presence sono fane ordillarie" ro their favourites. The key monopolies of rule still had rhe characcer of personal
(l ,400,000 francs from imposirions which used ro be extmordi11t11)' bm have monopolies. Bur what from om point of view is only rhe firsc stage on the way
become ordi11m)'). The ambassador estimates che king's expenses ar 6,600,000 or ro the formation of societal or public monopolies, appeared ro these Venetian
7 .300,000 francs. The resultant deficic, he reports, is raised in the following way: observers of about 1500 as a novelcy which they regarded with curiosity, as one
is apt ro consider che unknown manners and cusroms of strange peoples. \'\(!here
Every year, in January, the direcrors of the financial administration of each region- they came from things were quire different. The power of the supreme Venetian
that is. those of the royal domain proper. Dauphine, Langutdoc. Brittany and amhoriries, like char of medieval princes, was restricted to a high degree by che
Bnrgundy-meet ro calculate incomes and expenses ro meet the needs of the following local government of different regions and esrares Venice. too, was che centre of
358 359

a major dominion. Ocher municipalities had ]Jlaced l and cht various t:rades of che military. So char if someone enters your service
l I voum L
or 1en\ 1st unatr 1rs rult. Bur t\en in rhe cast of c . . . b. ar!ly ,iJd says he has had such-and-such reward. rides and pro,isions from che French. Your
l ... . . . . ommu11es su 1ugated
r 1c condmons on which rhe\ were incoriJorared inco rl1t \T - will know or whac kind these provisions. rides cllld gifrs are. ne1cr attain
- l . . .,, . : . ' c:ncrran , rn. <Jr on onh occasion in cheir lives. some remain cwo. chree 1ears wichom
near} ah'"} s rncluded a pro,1s10n "'char no new nxt""' 111 -1\ b- 11
' ' '. c Hro d uced
011<:
_. , . . . tJlC , . .
nny rt\\ard. Your Strenity. who giYe away quirt definite things. bur co son1t
nel at,rtemenc ot rht ma1on ry ot rhe council"'_ 12-
exrenr heredicary ones. should cercainh nm be influenced by che example of whac is
. In rht . dispassionate reiJorrs of rhe non-1)1rrr
' c-1 n
J' Vtnc:rran tm ovs I
formation d1ar had raken plact in France is perhaps more' J\ idl\ . ' t le trans. done elsewhere In my judgemem che rnsrnm of gi1ing only for che duration of a
n l I I . expressed Hferin e is excellent Ir alwa\"s t:ives che king che opportunity of rew,irding chose
r r le rnc 1gnanc wore s of rhe A.rchbishop of Rheims. 1

I n I )- J)
' - rIle rc:porr of. rhe Venetian envors cone", 1 ns rl r- JI who are desening: and chert: is always someching lefr rn giw away If che gifrs \\"ere
1 to owing:
" L
herediwry. we would no\\ ha\"t: an impon:rished Francia and che present kings would
have nod1int: more rn give away: bur in this way chey arc served by people ol more
Aparr from che face char che kint: is militarily ]'O\H:rful. he obrnins mone,
rneric chan che heirs of some earlier recipient Your Serenity might retlecr. if France aces
peoples obedience. I say char his usually has an income of cv'. <l
in rhis way. on whac ocher princes oughc rn do who do nor rule such a large country
mdliun. 1 say "'usually : for. if he so wishes. he can increase che caxes r;o a
115 Jf we do nor carefully consider where these heredicary gifrs lead-rn che preser\"acion
\V hace,er burdens he places on rlPm rl . . . . .- I . . n people.
I-. ., . . . c lt} pa; \\I[]OllC resrncuon. Bm I mus . of the family, ic is saicl-ic will happen that chert are no sufficient rewards left for cruly
c. .11s re8.ird rhac che secc1on of che populacioo which be1rs
' . rlic, ma1or . 0 f lw
. p,1n . t say
deserYing people. or new burdens will ha\'e to be placed on che people. Boch chings are
is ,ery poor. so rhac any increase in che burden however small.. would be ,
unjust and harmful enuugh ff t:ifrs are made only for lift:cime, chen only rhose who
desene ic are re,rnrded. Esrnres circulate and afrer a rime revere co rhe tisc. For
In 1546. finally. the Venetian Ambassador Marino Cavalli
I l I F . ga\e an exact and eighty years new agreements haw continually been made wich rhe Crown wichom
c era1 ec reporr on ranee in which rhe ]J. ""Clrl1,1r1r1es
- ot rht t:OYernment of ti giving anything away. through confiscation. reversion on inhtriranct or purchast::, In
country. as ir ai}!Jtartd ro 'm rmparr1a
l conremporary wirh wide ' horizons .lat
rhis way che Crown has absorbed everything. to cht excem char chert is nor a single
pare icularl y clear! y: emerge
prince in cht whole realm ,,ho has an income of 20.000 scudi. J\foremer. chose who
possess incomes and land are nor ordinary owners: for the king recains supreme rule by
Many kingdoms are_ more fercilt and richer chan hance rl>r '"X"n11'le !'
] .I. ' '" rnngarv a J virwe of cht <lppeals. rnxes. garrisons and all che ocher new and extraordinary burdens
. c,1 ). many are larger and more powerful. for example. Germam and S ,ain 8' ' n
The Crown becomes more and more wealthy and uni tied and attains immense presrit:e:
is as urnced and obedient. 1 I . I . l ut none
co nor oe 1itve r lat her prest1 "t Ins rnv orhe
1.
h and char secures ic from civil war. For as there are noching bm poor princes. they have
chest: ewe rl . '.. . l l . "' ' ' . r cause t an
. J 11nt:s. un1cy anc o 1ed1ence [1111ifJl1c , 0 /;/;.-cfj, 1,-.1] .,.0 sLir ' cl
. . . .. .,. . - " . e. iree om is th neicher reason nor che possibility to cake accion against che king. as the dukes of
mosc clkrbhecl gm lll che world: bllt nor all are worchy of ic For chis e Brinany. Normandy. Burgundy and many ocher great lords of Gascony did earlier. 1\nd
peoples are usualh born rn obe,, ochers rn comm cl !". . . l I reason some
I ...... " . . . . ,rn . r ic is c ie m ier wav round we if anyooe does anyching ill-considered and cries rn bring abouc some change. like che
1,1\t " s1nuc1on like die present om: in Gcrnun;. or earlier in Spain. The French Bourbons. chis onh t:iYtS che king an even earlier oppormnin to enrich himself
ho1\e\er. perhaps reeling unsuiccd rn ic. haYt fr,ndecl Cl\"r cli . I cl '
.. -I . _. . . . '" c t1r rretcom an will chrough char man"s ruin "'
cnure ) rn rhc king. So 1r 1s enough tor him rn sa1: ] wane such-and-such I a .
such-and-such. I decide such-and-such rncl di chi..0 . I .I pprme Hert, compressed inro a single \iew. we have a summary of rhe decisive
. II cl .- . . . ' ' is prompr Y execmec. as 1f rhev had
'1] e\ided IC Thint:s_ ha,e gone so far that rnday one of chem who has more wi; thon smrcrural ftarures of emergenr absolutism One feudal lord has won predomi-
tiel or 1ers, says: Earlier cheir kings - had called chemse/,-,..... s reges Francorum'', today "
r.ance over all his comperirors. supreme rule over all land . And chis control of
cJ H:y can
d call rhemse!Yes "reges serYorum So rhei nor cJnli pay rht king whace1er he land is increasingly commercialized or monerarized The change is expressed on
c eman s, bllt all ocher capital is likewise open er: his grasp
rhe one hand by rhe fact chat rhe king possesses a monopoly in collecting and
f Charles VIJ rncreasecl rhis obedience of che people. afrer he had freed che countrv
fixing raxes rhroughour rhe country, so rhar he controls by far rhe largest income.
r_om the yoke of che English; and after him Louis XI and Charles VIII , Ii . -d'
Na,!.. d'l l'k.. .-. . , ' oconque,e A king owning and disrriburing land has become more and more a king owning
( . _1 c.': Jc., 1 c\I ise .. Louis XJI made his own comribmion Bue che ruling King
Fr,rnus n c,.n boast ot havrng greacly omdone his predecessors: he has his subjeccs 'Y'}'
money and distributing income This is precisely what has enabled him ro break
1
excraordrnan
.. . _. .- . sums . ".'-15 mLic)1.'1s
.. l1e \l'<lnts: Iie urn. res new possessions with cht Crown our of the vicious circle which trapped rhe rulers of counrries with barter
Esc,1rts "icl1om g1\"lng anych1mi in rerurn And 1'fl1 cl
,, l 'd . - . . _ '- " . . . . .
t oes gn t 41ny thing awa\, rh1s 1s
economies . He no longer pays for rhe services he needs, milirary, courtly or
'': 1 for the lifenme of rht giver or of rhe recipient. And if one or che or.her lives administrative, by giving away parts of his property as rhe hereclirary property of
cc 0 lone. che whole gift is \\'!thdra\\n as someching due ro rhe Crown Ir is crue char his servanrs, as is clearly srill in part rhe case in Venice. Ar mosr he gives land
some are afterwards m '1c!e l'trnunem
.. . A ncI r l1e1r
. pracc1ce
. 1s. che same wich regard ro the or salaries for life. and rhen withdraws chem so char rhe crown possessions art nor
Stc1te Formt1tio11 and CiZ"ilization 361
360 Th1: Cirilizi11f!, Pn1cu_,

reduced; and in . n of rhe nobilirv In rhis wav rhe kings protected the nobility"s pre-
. . _ an increasing!v , . largt " number of casts ht rewards S"'n .1 b,1st10 . .
with money g1trs, with salaries He centralizes the raxarion of rhe whole . ' _ . hev distributed their favour and rhe money they controlled ll1 such a
roinenLe, r . . . , . cl B
and distributes tht inflowing money at his own discretion and in the t rhat rhe balance endangered by the no?1liry s decl1nt was preserve. ut
his rule, so that an immense and ever-growing number of people throughout . b. rhe relarivelv free warrior nobility ot earlier nmes became a nobility Ill
countn. are c!Irecrlv or indirecrlv denendtnt on rht kinus favour ' on j}a"J ments r!Iere y d endence ,on ind in the service of the central ruler. Knights became
. . . . ., r . b lifelong ep ' ' . ' , I ! I
the rornl financial adm1I11srrar10n . Ir 1s tht more or less private intere>tS 0 f the . And if we ask what sooal funcnons these courr1trs real!) 1ac, t 1e
. . . . -urr1ers. - I .
kings and their closest servants \vh1ch veer toward exploication of their s . , tv . . here. \'Ve are accusromed ro refer ro rht courtly nobility ot r 1e ,mc1t11
llf!Swer 11es . . .. _ .. .
. . . ! . d. . b OCJru as a '"funcrionless'" class. And IOdeed, this nobility had tuncrwn ll1
opporrunmes ll1 r 11s 1rect1on; ut what has emerged in the conflicts of
betwc:c:n rhc: various social functions, is the form of social organization wh h f the division of Jabour, and thus in the undersranding ot the nanons of
.. .. . . , 1c we [PfiTIS 0 - . f f . . I
call rhe srare fhe rnx monopoly, rngerher with the monopoly of physical eenth and twentierh centuries The conhguraoon o uncoons ll1 t 1e
the niner . . . I
are the backbone of this organization. \\le can understand neither the <>ene - was different. It was pnmanly derermmed by the fact that t 1e
. _ .. ,, _ o Sfa nor
the existence ot states unless we are aware--even from the example of a entral ruler was still ro a great extent rht personal owner of the power
country-how one of these central institutions of the srare" developed ste b. c l' tint rhtre was nor vet a clear division between rhe central ruler as a
monopo y, ' . . ..

step . d .I
rn accor. ance wit l re ar10na
I . l d ynam1cs,
. as a result ot- a very specific p y . nd 1,, 1c1 11a1 and as a functionary of soc1en. Tht courtly nobility had no
pnvate 1 ' ' . .
regulanry ansIOg froIT! rhe structure of interwoven interests and actions. Even at .. t funcrion in rhe division of labour, bur it had a funcoon for the kIOg. Ir was
dtree bl d l k. d.
rh1s srage-as we see trom rhe Venerians reporr-rhe central organ of society has the indispensable foundations of his rule. Ir ena e r 1e IOg ro 1stance
one of . . d.
raken on a hirheno unknown swbiliry and strength because its ruler, thanks to himself from rhe bourgeoisie just as rhe bourgeo1s1e enabled him. ro 1stance
rht monerarizarion of society, no longer needs ro pay for senices from his own . If. from the nobilirv. Ir was rhe counterweight t0 the boutgto1s1e ll1 soc1ery
h1mse , _ .
possessions, which without expansion would sooner or later be exhausted but Thar, rogerher with a number of others, was its most important. runcoon for the
w!rh sums of money from the re?ular inflow of taxation. Finally, the king; without rhis tension between nobility and bourgeo1s1e, without this
ot money has exempred him tram the necessity, firsr raken over from the marked difference between rhe esrares, rht king would lose the maior of l:1s
procedure of rew,1rding with land, of repaying services with a property ro be held . . Tl1e xisrtnce of rhe courtlv arisrocracv is indeed an express10n ot how tar
power. e .
for life and hereditary. Ir makes it possible to reward the service or a number of monopoly government here was still the personal property of tht central ruler,
services by a single payment, by a fet or salary. The numerous and far-reaching w far rhe countrv's income could srill be allocated in the special interests
an d Ii O . f
consequences of this change must be lefr aside here The asronishmem of rhe of rhe central funcrion The possibility of a kind of planned distribution o
Venetian envoy is enough ro show how chis rnsrom, which roday is commonplace narional revenue had already created monopolization Bur this possibility of
and raken for granted, appt<1red as something new ro people of the rime. His olannini.c was used here to prop up declining srrnrn or functions
account also once again shows 1x1rricularlr clearly whv ir was onh rhe monerar- ' A cle:r picture of the structure of absolutist society emerges from all this. The
izarion of sociery that made possible org-ans: money ;x1yment keeps secular socierv of rhe French ancie11 rJgiwe consisted, more markedly rhan rhar of
all recipients permanently dependent on tht central authorirv Onlr rhen could the century, of rwo secrors: a larger rural agrarian secror. and an
the centrifugal tendencies be finally broken. . , urban-bourgeois one which was smaller; but steadily if slowly gaining in
And it is also from this wider context that we must understand what was economic s;rengrh. In both rhere was a lower stratum, in the latter rhe urban
happening to the nobiliry ar this rimt. In rhe preceding period, when rhe rest of poor, rhe mass "of journeymen and workers, in the former the peasants In both
the nobility were stronger, the king exerted his power as central ruler, within there was a lower middle stratum, in rhe latter rhe small artisans and probably
cenain limits, in favour of the bourgeoisie. His apparatus for ruling rhus became the lowest officials roo, in rhe formtr the poorer landed gentry in provinci;il
a bastion of the bourgeoisie . Now rhar, as a result of monerarv inte"ration and comers; in both an upper middle stratum, in the latter rhe wtalrhy merchants,
military cenrralizarion, the warriors, the landowners, rhe nobili,ty declining the hi"h civic officials and even in rhe provinces rhe highest judicial and
b cl
further and further, the king began to pit his weight and the opportunities he administrative officials, and in the former the more well-off country an
had at his disposal somewhar more on rhe side of rhe nobiliry. He gave a part of provincial aristocracy. In both secrors, finally, there was a leading
the nobility the possibility of continuing ro exist as a stratum elevated above the extending into the court, in rhe latter the high bureaucracy, rhe noblesse ae robe,
bourgeoisie . Slowly, after the last fruitless resistance by elements of rhe esrares in and rhe courtlv nobilirv, the elite of the nohless1: ctdpie in the former In the
the religious wars and thtn in the FrrJ11de, coun offices became a privilege and tensions and bt-rween rhest secrors, complicated by the tensions and
Th, Cil'i!i::i11g Pro(cr.1

alliances of boch wich a clergy scruccured on a similar hierarchy, the


carefully maintained equilibrium He secured che privileges and social
che nobles againsc che growing economic screngch of bourgeois groups. And
has been mencioned. he used pare of che social produce chac he had co '
by \ircue of his concrol of che financial monopoly, co provide for the
nobilicy. \\/hen, not long before che Revolmion, afrer all accempcs at reform
PART FOUR: SYNOPSIS
failed. che demand for che abolicion of noble privileges moved into
foreground among che wacchwords of che opposing bourgeois groups, this
implied a demand for a differenc managernenc of the cax monopoly and Ill}( Towards a Theory
revenue . The abolicion of noble privileges meant on che one hand che end of the
nobilicy's exempcion from caxes and elms a rediscribmion of the cax burden; and of Civilizing Processes
on che ocher che elimination or reduccion of many courc offices, rhe annihilation
of whac was-in rhe eyes of chis new professional bourgeoisie-a useless
functionless nobility, and elms a different discriburion of tax revenue, no longer
in che interests of che king bm in chose of sociecy at large, or at least, to
with, of che upper bourgeoisie. Finally, however. rhe removal of noble privileges
meant the descruccion of rhe posicion of che cencral ruler as the balance
maintaining che two esraces in their existing order of precedence The central
rulers of the subsequenc period were indeed balanced on a differenc network of
censions. They and cheir funccion accordingly had a differenc characcer. Only one
ching remained the same: even in chis new srruccure of tensions, the power of the
cencral aurhoricy was relatively limiced as long as che tensions remain relatively
low, as long as direct agreemenc were possible becween the represencarives of the
opposed poles. and it grew in phases when these tensions were growing, as long
as none of the compecing groups had accained a decisive preponderance.
I

The Social Constraint towards Self-Constraint

\i(fbac has the organizacion of sociecy in che form of sraces", wbac have che
roonopolization and centralization of rnxes and physical force over a large area, w
do wirh "civilization"'
The observer of the civilizing process finds himself confronted by a whole
tangle of problems. To mention a few of the most important ar the oursec, there
is, first of all, rhe mosr general question \Xie have seen-and rht quotations in
PHrt Two served ro illusrrare rhis wirh specific examples-chat the civilizing
process is a change of human conduce and sentiment in a quire specific direction.
But, obviously, individual people did nor ar some pasr rime imend rhis change,
this "civilization", and gradually realize ir by conscious, "rational", purposive
measures. Clearly. "civilization" is nor, any more rhan rarionalizarion, a producr
of human "ratio" or rhe n:sulr of calculated long-cerm planning How could ir be
conceivable rhar gradual "rationalization" could be founded on pre-existing
"rational" behaviour and planning over centuries' Could one really imagine dmr
rbe civilizing process had been ser in mocion by people wirh rhar long-norm
perspective. rhar specific mastery of all short-term affects, considering char chis
rype of long-rerm perspective and self-mastery already presuppose a long
ciYilizing process'
In fact. nothing in hisrory indicaces char rhis change was brought about
"rationally", through any purposi\e education of individual people or groups. le
happened by and large unplanned; bur it did not happen, ne\erd1eless, wirhour
a specific rype of order . Ir has been shown in derail above how consuaims
through ochers from a variety of angles were converted imo self-resrrainrs, how
rbe more animalic human activities were progressively rhrusr behind the scenes
of people's communal social life and invested wirh feelings of shame, how die
regulation of che whole insrincrual and aHective life by sready self-conrrol
became more and more srnble, more even and more all-embracing. All rhis
cerrainly did nor spring from a rational idea conceived centuries ago by indi-
vidual people and then implamed in one generation afrer another as che purpose
of acrion and the desired srare, until ir was fully realized in che "cenruries of
progress" And yer, rhough nor planned and intended, rhis uansformarion is nor
merely a sequence of unsrrucrured and chaotic changes.
\\/har poses irstlf here with regard to the civilizing process is nothing ocher
than rhe general problem of historical change. Taken as a whole chis change is nor
"rationally" planned; bur neither is ir a random coming and going of orderless
patterns. How is this possible' How does ir happen at all rhat formations arise in
rht human world rhar no sindt human being has imendecL and wl11c;1 " rhest specific changes in the structure of human relations and the
L '/eta.;,
L

anyrhrng bm cloud tormarions wirhom srabiliry or srrucrnrei ;:e . ondinu chanues in the srrucrnre of the psychic habirns will be discussed
corresp c- "' . . . . . . . .
The preceding srndy. and particularly rhose parts of it devoted ro rhe <hordv. Bur cons1dtrar1on or these mecharnsms of mrtgrar1on 1s also
of social chnamics. arrtmprs to provide an answer to rht:st questions I is . .. -r in ,; more ut:ntral wav to an understanding of tl1t civilizing process
. . . . . . . . l . s1mp11: 1
re.evan , .. . . . .
t:nough. plans and actions. the emorwnal and ranonal 1mpulsts of individual Only if wt see rht compelling force with which a parrJCular sooal srrucrnre_ .. a
people. constantly imenvean, in a friendly or hostile way. This lusic tissm . ilir form of social imerwtavinu
'1ft1Cl '-"'
1s !Jushed rhrou!.(h
'-
1rs ttns10ns to a speohc
jio111 ma11y si11glt plnu t!i!il dCfi!illS rfp,r41/r: ca11 <111d jh1ttcms that p
change inc! co to other forms of inrerrwining.c can we understand how those
" '- , . _
i11cli1 icl1ul J1trs1111 has j1/;111111:J or oc:afrd Fmll! this !if pc!if'fe arises rI
. es irise
'
in human mtnralirv.
in rht 1)atrernmg '-
ot rhe malleable psycho-
411 0
fJrdc; s111 gr.'lllns. (!IJ (Jrdr.r 111r1n co111jJt:l!ing and .1trongc:r thdll thl' u ill aJJd i'i:C/SfJ!J '"1r1ca
1 '11,p1r1tLIS which can bt observed over a11cl again in human history from
1 !0 0 ) ' ' ' '-

ear11es r rimes rn rht 1)resenr. And onlv then. therefore. can we understand that
i11c!il'lc/;1t1! f'u1j1/, co111jlf1sing it. Ir is this order of interweaving human impulses and
.
srnnngs, rh1s soual order, which determines the courst of historical chan"e rhe change in habiws characteristic of a civilizing process is subject w a quire
b 'lt
underlies rhe civilizing process. specific order and direction, although ir was nor planned _by i_ndividL.1al people o.r
This order is neither "rarional''-if by "rarional" we mean char it has resulted roJuced by "reasonable", purposive measures. C1vil1zanon 1s nor reasonable :
intemionally from rhe purposive deliberation of individual people; nor "rational",' any more than it is "irrational" Ir is set in morion blindly, and
"irrational"-if by "irrational .. we mean rhar it has arisen in an incomprehensible kept in morion by rhe amonomous dynamics of a web of relariomhips, by
way. Ir has occasionally been iclemitied with the order of l\arnre"; it was - cific chan<,es in the way people are bound ro live rouerher. Bm 1r 1s by no
,pe c . . . '.' .. ..
imerprtred by Hegel and some others as a kind of supra-individual "Spirit", and means impossible rhar we can make om ot Jt somerhmg more reasonable .
his concept of a "cunning of reason .. shows how much ht roo was preoccupied by something rhar functions better in terms of our needs and purposes. For ir is
the tact that all the planning and actions of people give rise w many things that precistly in conjunction with rht civilizing process that the blind dynamics of
no one actually inrendtd Bm the mental habits which rend to bind us to people inrerrwining in their deeds and aims gradually leads rowards greater
opposites such as "rational" and "irrational", or "spirir" and "nature", prove scope for planned inrervemion inro both rhe social and individual scrucrL:res-
inadequate htrt. In this respect. mo. reality is nor constructed quire as the inrervemion based on a growing knowledge of rhe unplanned dynamics of these
conceprnal apparatus of a particular standard would have us believe. whatever srrucrnres.
valuable services it may have performed in its rime as a compass ro guide us Bur which specific changes in rht way people are bonded w each other mould
through an unknown world.. The i111111d11e11t of .rrnial are their personality in a "civilizing" manner; Tht most general answer ro this
idmtiul mith,r uith r,g11lt!ritits of the "illind". of imlil'ich;al uith question roo. an answer based on what was said earlier abom the in
o/ ll'ht1t ll't wl! "n:1ti!l"t''. tfrll tho11gh _f;mctir111td!i al! the.rt \X'esrern society. is very simple. From the earliest period of rht history of the
diJJuJJsio11s dr1. hnk . cl to t.dch oth,,,i: On its O\\'Il. hO\\ever, [his Occidcm ro rht prtstnr, social functions haw become more and more differ-
general statement abom the rtlarivt aurnnomv of social ti "Urations is of little emiared under rhe pressure of competition. The more differentiated they
help in their understanding: it remains tmpry ,rnd unless rhe acmal become, rhe larger grows rht number of funcrions and rhus of people on whom
dynamics of social imerwtaving art direcdy illustrated by reference ro specific rhe individual constantly depends in all his acrions. from rhe simplest and most
and empirically demonstrable changes . Precisely this was one of rhe rnsks ro commonplace ro the more complex and uncommon. As more and more people
which Parr Thrtt was dt\ortd. Ir was arrempred there to show \Yhar kind of must arrnne rheir conduct ro rhar of others. rht web of acrions must be organized
interweaving. of murnal dependence between people. set in morion. for example, more and more strictly and accurately, if each individual action is w fulfil irs
processes of feudalizarion Ir was shown how the compulsion of competitive social funcrion Individuals are compelled to regulate their conduct in an
situations drove a number of feudal lords into conflict, how rhe circle of increasingly difftrtnriared, more even and more stable manner Thar this
competitors was slowly narrowed, and how this ltd to rhe monopoly of one and involves nor only a conscious regulation has alrtady been stressed. Precisely this is
finally-in conjunction with other mechanisms of integration such as processes characrerisric of rhe psychological changes in the course of civilization: the more
of increasing capital formation and functional differemiarion-ro rht formation complex and stable control of conduct is increasingly instilled in the individual
of an absolmisr stare. This whole reorganization of human relationships certainly from his or her earliest years as an auromarism, a self-compulsion that he or she
had direcr significance for the change in rhe human habitus. rhe provisional cannot resist even if ht or she consciously wishes ro The web of acrions grows so
result of which is our form of "civilized" conduct and feelings The connection complex and extensive, rht effort required ro behave "correctly" within it
Th, Cil'ilizi11g Pn1cc1.1 Sute For111afi(Jil ai!d Cirili:ation _169
368

becomes so great. that beside the individual's conscious an a .. . rion and stabilizing of social functions and the growing multiplicity
d'fierentI<l
1 '
macic. blindly functioning apparatus of self-conrrol is firmly established. Uto. . of acriviries char conrinuouslv have co be arruned ro each ocher
van er} ' . .
seeks to prevent offences to socially acceprable beha\iour by a wall ofuc=o-rnn . , The panern of self-consrraints, rhe template by which are. mm'.lded,
fears. bm, just because it operates blindly and by habit, it frequenrlv . I. varies widelv according ro the runcr1on and posmon ot rhe rnd!\ 1clu<1l
rerra1n Y . . -- c l 'vi .
produces such collisions \Vith social reality Bur whether conscious];. or unco . , . l network and chere are even roday rn d1Herent secrors 01 r 1t estern
w1rnin r us ' . . - . l'. l
sciously. the direcrion of rhis transformation of conduct in the form of n- variations of intensit\' and srnb1liry m rhe apparatus or se 1-consrramr t Mr
j\'Qf Id . . cl f . l .
in.creasingly of impulses is derc:rmined by rhe directi:: eern at face value very large. Ar chis pomr a mulotu e o parocu ar guesc10ns
ot the process or ditterenriation. by the progressive division of functions ; cl and rhe socioueneric mer hod may give access to rhe1r answers. Bm
nre raise , ' o ._ . . .
and the: growth or rhe imerdependency chains into which. directly or indirectly, ared ro the JJSycholouical make-up or people m less complex sooeoes,
when comp . "' . . .
every impulse. every move or an md1v1dual becomes 1nregrarecL d'fferences md cleurees within more complex sooer1es become less s1g-
rhese I ' b . . . . . . . f
A simple way of picturing rhe difference berween rhe integrarion of the .fi md the main line or which is the pnmary concern o
!11 cane, ' . . . .
individual wirhin a complex sociery and wirhin a less complex one is to think of . cl\' emer"es very clearly: as the social fabnc grows more 1mncare, the
this Stll . o - . . .
rheir differenr road systems. These are in a sense spacial functions of 2 social c ai)pararus of individual self-control also becomes more d1fferent1ated,
50 oogem
integration which: in its rotality, cannot be expressed merely in terms of concepts ore all-round and more stable. .
denved from rhe four-dimensional continuum. Think for example of rhe counrrv ro Bur rhe advancing differenriarion of social functions is only the hrsr, most
ro.ids of a simple warrior society wirh a barrer economy, uneven, unmetalled - the social rnnsformations which we observe in enqwnng mro the
genera I o r ' . .
exposed to dam;1ge from wind and rain. \\!irh few excepcions, rhere is very in psychological habiws known as "civilizati.on". Han_d in hand \':'Hh rl115
rwffic rhe main danger which a person here has ro fear from ochers is an attack "dvancing division of functions goes a coral reorgarnzar10n of the social tabnc. Ir
by soldiers or rhieves. \\!hen people look around them, scanning the rrees and ,. l n detail e-1rlier how and why when rhe division of functions was low,
was s 10\\ 1 ' ' .
hills or rhe road irself, rhey do so primarily because rhey muse always be prepared rhe cenual organs of societies of a certain size were relatively unsrable and ln1ble
for armed attack. and only secondarily because they have ro avoid collision. Life w disintegration, It has been shown how, through specific figurarional pressures,
on rhe main roads of this society demands a consrant readiness ro fighr, and free centrifugal cendencies, the mechanisms of feudalizarion, were slowly neum:ltzed
play of the emorions in defence of one's life or possessions from physical attack. and how, seep by step, a more srable cenrrnl organization and <l hrmer
Traffic on rhe main roads of a big city in che differentiated society of our time, monopolization of physical force were established. The peculi;1r .stability or rhe
by conrrasr, demands a guire different moulding of rhe psychological apparatus: apparatus of psychological self-resrraint which emerges as a dec1s1ve ml!t built
Here the danger of physical arrack is minimal.. Cars are rushing in all directions; inrn rhe habitus of every "civilized" human bemg, stands m rhe closest_
pedescrians and cyclisrs are crying ro thread their wav through rhe meli!e of cars; relationship co rhe monopolization of physical force and the growing s.rabiliry or
policemen stand at rht main crossroads to rtgulare rhe traffic with varying the central organs of sociery. Only with the formation of chis kind ot relanvely
success. Bur chis exrernal comrol is founded on rhe assumption char everv srnble monopoly insrirmions do societies acguire those as a r.esulr
individual is himself or herself regularing his or her behaviour wirh rhe mmo;t of which rhe individuals forming them get acrnned, from infancy, to a 111gbly
exacritude in accordance with the necessiries of chis nerwork. The chief danger regularecl and differentiared parrern of self-rescraint; only in conjuncrion with
char people here represent for ochers rtsulrs from someone in chis bustle losing these monopolies does this kind of self-restraint reguire a higher degree or
their self-conrroL ,-\ consranr and highly differenriared regulation of one's own auromaricirv. does ir become. as ir were. "second nature"
behaviour is needed for individuals ro sreer their way rhrough rraffic. If rhe strain \Xihen a of force is formed, pacified social spaces are created which
of such consranr self-conrrol becomes too much for an individual, chis is enough are normally free from aces of violence. The pressures acring on individual people
ro pm him or her, and others, in morral danger. within are of a different kind than previously. Forms of non-physical
This is. of course, only an image. The web of chains of acrion into which each violence chat alwavs existed, but hirherro had always been mingled or fused with
individual act wirhin chis differemiated sociery is woven, is far more intricate, physical force. are- now separared from the latter; they persist in a changed .form
and the self-conrroJ ro which ht or she is accustomed from infancy far more internally within the more pacified societies They are most VJs1ble so tar as
deeply rooted, than this example shows. Bm at least ir gives an impression of the standard thinking of our time is concerned as cypes of economic violence,
how the grear formative pressure on rhe psychic habitus of "civilized" people, In reality, however, is a whole set of means whose monopolization _can
their consrnnr and differemiared self-constraint, is connected co rht growing enable people as groups or as individuals rn enforce their will upon ochers. fhe
.FO The Ci6/i::;i11g Proa.rs Stt1!i: For111c1tim1 and Cil'i/i:;ati1111 371

monopolization of tht mtans of production, of "tconomic" mtans. is only one of et\. , it r)ermits the warrior extraorclinarv' freedom in !iring our
5()Cl
his feelings

those which stand out in fuller relief when rhe means of physical \iolence become nd passions, it allows savage joys, the uninhibited satisfaction ot pleasure trom
3
monopolized, when. in other words. in a more pacified stare society the free use women. or of hatred in destroying and tormenting anything hostile or belonging
of physical force by those who are physicallr stronger is no longer possible. roan enemy. Bur at the same rime it threatens the warrior, if he is defeated, with
In general. rhe direction in which the behaviour and rhe affective make-up of ?.n extraordinary degree of exposure to the riolence and the passions of others,
people ch<mge when rhe structure of human relationships is transformed in the and with such radical subjugation, such extreme forms of physical torment as are_
manner described, is as follows: societies wirhour a stable mono1Jolr of forcp are later. when physical rormre, imprisonment and the radical humiliation ot
always societies in which rhe division of functions is relatively slight and the individuals have become rhe monopoly of a central authority, hardly to be found
chains of action binding individuals together are comparatirely short. Con- in normal life. \Virh this monopolization, the physical threat to the individual is
rersely. societies with more srable monopolies of force, first embodied in slowlv depersonalized It no longer depends quite so directly on momentary
a large princely or royal court, are societies in which the dirision of functions is it is gradually subjected ro increasingly strict rules and laws; and finally.
more or less advanced, in which the chains of action binding individuals together within certain limits and with certain fluctuations, the physical threat when laws
are longer and the functional dependencies between people grearec Here the are infringed is itself made less severe.
individual is largely protected from sudden attack, the irruption of physical The greater spontaneity of clrires and the higher measure of physical threat,
violence into his or her life. Bur ar rhe same rime he is himself forced to suppress that are encountered wherever strong and srable central monopolies have nor yet
in himself or herself any passionate impulse urging him or her to attack another formed are, as can be seen, complementary. In chis social structure the victorious
physically.. And the other forms of compulsion which now pre,ail in the pacified have a greater possibility of giving free rein ro their drives and affects, but
social spaces pattern the individual's conduct and affective impulses in rhe same greater roo is the direct tl1fear to one man from the affects of anorher, and more
direction. The denser the web of interdependence becomes in which rhe omnipresent che possibility of subjugation and boundless humiliation if one falls
individual is enmeshed with the advancing division of fonctions. the larger the into the power of another. This applies not only ro rhe relationship of warrior to
social spaces over which this network extends and which become integrated into warrior, for whom in the course of monetarizarion and the narrowing of free
functional or institutional units-the more rhrearenecl is the social existence of compecition an affect-moderating code of conduct is already slowly forming;
rhe incliridual who giws way to spontaneous impulses and emotions. the greater within society ar large rhe lesser measure of restraint impinging upon men
is the social advantage of those able ro moderate their affects, and the more initially stands in far sharper contrast than later to the confined existence of
strongly is each individual constrained from an early age to rake account of the women and to rhe radical exposure of subjects, defeated people, and bondsmen to
effects of his or her own or other people's actions on a whole series of links in the the whims of more powerful people.
social chain The moderation of spontaneous emotions. the tempering of affects, To the structure of this society wich irs extreme polarization, its continuous
the excension of mental space beyond the moment into rhe past and future, the uncertainties, corresponds the structure of the individuals who form it and of
habit of connecting events in terms of ch<1ins of cause and effect-all these are their conduct. Just as in the relations between person and person danger as well
different asi}ecrs of the same transformation of conduct which necessarily rakes as the possibility of victory or liberation arise more abruptly, more suddenly and
place with the monopolization of physical violence, and the lengthening of the incalculably before rhe individual, so he or she is also thrown more frequently
chains of social action and interdependence It is a "cirilizing" change of and directly between pleasure and pain The social function of the free warrior is
behaviour. indeed scarcely so constructed that clangers are long foreseeable, that the effects
The transformation of the nobility from a class of knights inro a class of of particular actions can be considered three or four links ahead, even though his
courciers is an example of this. In the social spaces where violence is an function was slowly developing in this direction throughout the Middle Ages
unaroiclable and everyday event, and where individuals chains of dependence are with rhe increasing centralization of armies. But for the rime being it is che
relacively short, because they largely subsist directly from the produce of their immediate present char provides the impulse. As the momentary situation
own land. a scrong and continuous moderation of drives and affects is neither changes, so do affective expressions; if it brings pleasure this is savoured ro the
necessary, possible nor useful.. The life of the warriors themselves, bur also thac full, without calculation or thought of the possible consequences in the future, If
of all others !iring in a society with a warrior upper class, is threatened it brings clanger, imprisonment, defeat, these roo must be suffered more
continually and directly by acts of physical violence: thus, measured against life desolately And the incurable unrest, the perpetual proximity of clanger, the
in more pacified zones. ir oscillates between extremes Compared with this ocher whole atmosphere of rhis unpredictable and insecure life. in which there are at
_')72 The Ciz'ilizi11g Prricess Std!e For111atio11 and Cil'ili:ation 373

most small and transient islands of more protected existence, often engend result of corresponding geswres of adults which have helped to pattern his or her
.l Il . . ers own behaviour as a child . The monopolizarion of physical violence. rhe concen-
even wit 1out external cause, sue c en sw1tches from the most exuberant ple asure
to the deepest despondency and remorse . The personality, if we may put it thus. rration of arms and armed troops under one authority, makes rhe use of violence
1s more ready and accusromed ro _leap with .more or less calculable, and forces unarmed people in rhe pacified social spaces ro
intensity tram one extreme ro the other. and slight 1mpress10ns, uncontrollable restniin their own violence through foresight or reflection: in other words it
assoc1at10ns are often enough to induce these immense flucrnations.' irnposes on people a greater or lesser degree of self-control..
As the srrucwre of human relations changes, as monopoly organizations of This is not to say that e\ery form of self-control was entirely lacking in
I?hysical force develop and rhe individual is held no longer in the sway of constant medieval warrior society or in other societies wirhour a complex and stable
teuds and wars but rather in the more permanent compulsions of peaceful func- .monopoly of physical violence. The agency of individual self-control, rhe super-
tions based on rhe acquisition of money or prestige, affect-expressions too slowly ego, the conscience or whatever we call it, is instilled, imposed and maintained in
gravitate towards a middle line. The fluctuations in behaviour and affects do nor such warrior societies only in direct relation to acts of physical violence; its form
disappear, but are moderated. The peaks and abysses are smaller, the changes less marches this life in its greater contrasts and more abrupt transitions. Compared to
abrupt. rhe self-control agency in more pacified societies, it is diffuse, unstable, only a
\Xie can see what is changing more clearly from its obverse. Through the slight barrier to violent emotional outbursts. The fears securing socially "correct"
formation of monopolies of force. rhe threat which one person represents for conduct are not yet banished to remotely the same extent from the individual's
is subject to stricter control and becomes more calculable. Everyday life consciousness into his or her so-called "inner life" As the decisive danger does
is treer of sudden reversals of forrnne. Physical violence is confined to barracks: not come from failure or relaxation of self-control, bur from direct external
and from this store-house it bre<1ks our only in excreme cases, in rimes of war or physical threat, habirnal fear predominantly rakes rhe form of fear of external
social upheaval, into individual life. As rhe monopoly of certain specialist groups powers. And as this fear is less srable, rhe control appararns too is less
it is normally excluded from the life of others: and these specialists. rhe whole encompassing, more one-sided or parriaL In such a society extreme self-control in
monopoly organization of force, now stand guard only in the margin of social life enduring pain may be insrilled; bur this is complemented by what, measured by
as a control on individual conduct. a different standard, appears as an exrreme form of freewheeling of affects in
Even in this form as a control organization, however, physical violence and the torturing others. Similarly, in certain sectors of medieval sociery we find exrreme
threat emanating from it have a determining influence on individuals in society, forms of asceticism. self-restraint and renunciation, contrasting to a no less
whether they know it or not. Ir is, however, no longer a perpetual insecurity that extreme indulgence of pleasure in others, and frequently enough we encounter
it brings into the life of the individual, bur a peculiar form of security. It no sudden switches from one attirnde to rhe other in rhe life of an individual person.
longer throws him, in the swaying fortunes of battle, as the physical victor or The restraint rhe indi\idual here imposes on himself or herself, rhe struggle
vanquished, between mighty outbursts of pleasure and terror: a continuous, against his or her own flesh, is no less intense and one-sided, no less radical and
uniform pressure is exerted on individual life by the physical violence stored passionate than irs counterpart, the fight against others and rhe maximum
behind the scenes of everyday life. a pressure totally familiar and hardly enjoyment of pleasures .
perceived, conduct 'and drive economy having been adjusted from earliest youth \'Vhat is established with rhe monopolization of physical violence in the
to this social structure. Ir is in fact the whole social mould. the code of conduct pacified social spaces is a different type of self-control or self-constraint. It is a
which changes: and accordingly with it changes, as has been said before, not onlv more dispassionate self-controL The controlling agency forming itself as part of
this or that specific form of conduct bur its whole pattern, the whole structu;e the individual's personality strucrnre corresponds to rhe controlling agency
of rhe way individuals steer themselves. The monopoly organization of physical forming itself in society at large. The one like rhe other rends to impose a highly
violence does not usually constrain the individual by a direct threat. A strongly differentiated regulation upon all passionate impulses, upon people's conduct all
predictable compulsion or pressure mediated in a variety of ways is constantly around. Both--each to a large extent mediated by rhe other--exerr a consranr,
exerted on the individual. This operates to a considerable extent through the even pressure to inhibit affective outbursts. They damp down extreme flucw-
medium of his or her own reflection. Ir is normally only potentially present in ations in behaviour and emotions.. As the monopolizarion of physical force
society, as an agency of control; rhe actual compulsion is one that rhe individual reduces the fear and terror one person musr have for another, bur at rhe same
exerts on himself or herself either as a result of his knowledge of the possible rime reduces rhe possibility of causing others terror, fear or torment, and
consequences of his or her moves in the game in intertwining activities, or as a therefore certain possibilities of pleasurable emotional release, rhe constant self-
The Ciri!izi11g Process 375

control tO which the individual is now increasingly accusromed seeks to cighdy bound by their functional dependence on the activities of an every-larger
the contrasts and sudden switches in conduct. and the affective charge of. II l number of people. they are much more restricted in their conduct. in their
. , ' a sef.
The pressures operating upon the indi\idual nm\ tend to produce chances of directly satisfying their drives and passions. life becomes in a sense
transformation of the whole drive and affect econom\ in the direcrion of less Jangtrous. bur also less emotional or pleasurable. at least as far as the direct
. . .. __ -a more
cont111uous. scable and even regulanon ot dnves and aftects in all a reieast of pleasure is concerned, And for what is lacking in everyday life a
. . .. , .reas of
conduct, 111 all senors of lite. substitute is created in dreams. in books and pictures. So. on their way to
And it is in exactly the same direction that the unarmed compulsions operate becoming courtiers. the nobility read novels of chivalry; the bourgeois con-
the constraints without direct phvsirnl violence ro which the individual ' rcmplate violence and erotic passion in films. Physical clashes, wars and feuds
. .. . , rs now
exposed 111 the pacified spaces. and ot which economic restraints are m
' 'nst
1 ano:.
diminish. and anything recalling diem. even the cucting up of dead animals and
They roo are less affect-charged, more moderate, stable and less erratic than rhe use of the knife at table, is banished from view or at least subjected to more
consrramts exerted by om: person on another in a monopoly-free warrior societv. and more precise social rules,. But at the same time the battlefield is, in a sense.
And they, roo, embodied in the entire spectrum of functions optn to th moved within. Parr of the tensions and passions chat were earlier directly released
individual in society, induce incessant hindsight and foresight transcending th: in the struggle of man and man. must now be worked out within the human
moment and corresponding to the longer and more complex chains in which being. The more peaceful constraints exerted on people by their relations to others
each acr is now auromatically enmeshed. They require the individual incessamlv are mirrored within; an individualized pattern of near-auromatic habits is esrab-
to overcome his or her momentary affective impulses in keeping with the longe;. lishecl and consolidated. a sptcific "super-ego'. which endeavours ro control,
term effects of his or her behaviour. Relative to the other standard, they ins;il a transform or suppress his or her affects in keeping with the social structure. But
more even self-control encompassing his or her whole conduct like a tiuhr ring the dri\'es. the passionate affects. that can no longer directly manifest themselves
and a more steady regulation of his or her drives according ro the norms' in the relationships htt1cw1 people. ofren struggle no less violently 1cithin the
Moreover, as always. it is not only the adult functions themselves which indi\'idual against this superYising part of themselYes. And this semi-auromatic
immediately produce this tempering of drives and affects; partly amomatica!ly, smrggle of the person with him or herself does nor always find a happy
partly quite consciously through their own conducr and habits. adults induce resolution; the self-transformation required by life in this society does not always
corresponding behaviour-patterns in children,. From earliest yomh individuals lead ro a new balanct bttween dri\t-satisfacrion and clriYe-conrroL Verv often it
are trained in the constant restraint and foresight that they need for adult is subjecr ro major or minor dismrbances, rtvolts of one part of the person
functions. This self-restraint is ingrained so deeply from an early age that, like a against the other. or a permanent atrophy. which makes the performance of social
kind of relay-station of social standards. an automatic self-supervision of their functions even more difficult. or impossible, The vertical oscillations, if we may
drives, a more differtnriated and more srable "super-ego" develops within them, so describe them. the leaps from fear ro joy, pleasure to remorse are reduced,
and a part of the forgocten drive impulses and affect inclinations is no longer while tht horizontal fissure running right through the whole person, the tension
directly within reach of the level of consciousness at all. between the "super-ego" and the "unconscious .. or "subconscious"-the wishes
Earlier, in warrior society, the individual could use physical \iolence if he or and desires that cannot be remembered-increases,
she was strong arid powerful enough; he or she could openly indulge their Here roo the basic characreristics of these patterns of intertwining, if one
inclinations in many directions that have subsequenrh- been closed bv social pursues nor merely their static strucmres bm their sociogenesis, prove ro be
prohibitions. But they paid for this greater oppormnit}: of direct pleasL;re with relatiYely simple, Through the interdependence of larger groups of people and
a greater chance of direct and open fear,, lvfedieval conceptions of hell give us an the exclusion of physical violence from them, a social apparatus is established in
idea of how strong this fear between person and person was. Both joy and which the constraints between people are lastingly transformed into self-
pain were discharged more openly and freely. Bm the individual was their constraints. These self-constraints, a funcrion of the perpetual hindsight and
prisoner; he or she was hurled back and forth by their own feelings as by forces foresight instilled in the indiYidual from childhood in accordance with integra-
of namre,. They had less control of their passions; they were more controlled by tion in extensive chains of action, ha\e partly the form of conscious self-control
them" and partly that of auromatic habiL They tend rowards a more even moderation,
Later, as the conveyor belts running through their existence grow longer and a more continuous restraint. a more exact control of drives and affects in
more complex, individuals learn ro control themselves more steadilv; they are accordance with the more differentiated pattern of social interweaving, Bm
now less a prisoner of their passions than before" Bm as the1 are. now depending on the inner pressure. on the condition of society and the position of
_)76 Thi: Ciz'i!hing Pruass St,1ft Formation t111d Ciri!Le1tio11 377

rhe individual wirhin ir, rhese consrraints also product peculiar rens i!Se ir is rhe web of social relations in which individuals live during their mosr
disrurbances in rhe conduce and drive economv of rhe individual In s ions and :!11 ressionable phase, rh<u is during childhood and yomh, which imprints itself
. . . . . . . . ome cases dieir unfolding personality in rhe form of rhe relarionship between rheir
the! lead to perperual restlessness and d1ssaC1sfacr10n. precrselv bee ..
. . . _ . auk rh-
af only graC1fy a p:ur of his or her_inclinarions and impulses ,:nno!ling agencies. super-ego and ego. and rheir libidinal impulses. The
modrhed torm, tor example rn fantas\-. rn lookrnu-on and overl1ea . resulting balance berween controlling agencies and drives on a variety of levels
. . _ . . . . "' .. nng, 10 determines how an individual person sreers him or herself in his or her relarions
da) dreams or dreams . And sometimes rhe hab1ruar10n to attecr-inhibirion
c - . . . gees so
far-:-consrant teelrngs of boredom or_ are examples of rhis-rhar the with ochers; it determines char which we call, according ro rasre, babies,
111d1v1dual rs no longer capable of any form of tearless expression of the m d'fi complexes or personaliry srrucmre. However, there is no end to the intertwining,
ff t. d' 'fi' . . 0 I ed for alrhough rhe self-sreering of a person, malleable during early childhood,
a _ecrs, or o . lftcc grau canon of. che repressed drives. Particular branches of
dnves as re were an_aesrherrzed 111 such cases by the specific srrucrure of the solidifies and hardens as he or she grows up. it never ceases entirely to be affected
social framework 111 whICh the child grows up. Under rhe pressure of rhe clangers bv his or her changing relations with ochers rhroughour his or her life, The
rhar rhe1r express10n 111curs 111 rhe child s social space, rhey become surrounded of self-conrrols. call them reason" or "conscience .. , "ego .. or "super-
with _automaC1c fears to such an exrent char they can remain deaf and unre- ego .. , and rhe consequent curbing of more animalic impulses and affecrs, in short
sponsive rhroughour a whole lifetime . In ocher cases certain branches of drives rhe civilizing of rhe human young, is never a process entirely withour pain; ir
may be so diverted_ by the heavy conflicts which rhe rough-hewn. affecrive and always leaves scars. If rhe person is lucky-and since no one, no parent, no
pass10nare nature ot rht small human being unavoidably encounters on irs way to doctor, and no counsellor, is at presenr able to steer chis process in a child
be111g moulded into a civilized .. being, char rheir energies can find on[; an according to clear knowledge of whar is besr for irs furure, ir is still largely a
unwanted release through bypasses, in compulsive actions and ocher symproms of question of luck-the wounds of rhe civilizing conflicrs incurred during
cl1srurbance. In ocher cases again, rhese energies are so transformed char rhey flow childhood may heal; the scars left by chem may nor be roo deep. Bur in less
into uncontrollable and eccentric arrachments and repulsions, in predilections for favourable cases rhe conflicrs inherent in the civilizing of young humans-
this or rhar peculiar hobby-horse. And in all rhese cases a permanent. apparently conflicrs wirh ochers and conflicrs within rhemselves-remain unsolved, or, more
111ner unresr shows how many drive energies are clammed up in a precisely, though perhaps buried for a while, rhey may open up once again in
form rhar permits no real sarisfacrion. siruarions reminiscent of chose of childhood In rhese cases, rhe suffering,
Until now rhe individual civilizing process, like rhe social. has run irs course transformed into an adult form, repeats irself again and again, and rhe unsoked
by and large blindly. Under rhe cover of what adulrs chink and plan, the conflicts of a persons childhood never cease to disrnrb his or her adulr
relationships char form berween them and rhe young have functions and effects relationships. In that way, rhe interpersonal conflicts of early yourh which have
in the larrers personalities which rhe adults do nor intend and of which rhev parterned rhe personaliry srrucrnre continue to perrurb or even desrroy rhe
scarcely know In char sense, those results of rhe social parrerning of individuais imerpersonal relationships of rhe grown-up. The resulring tensions may rake rhe
to which one habimally refers as .. abnormal .. are unplanned; psychological abnor- form eirher of conrradicrions between different self-control automarisms, sunk-in
malities which do nor result from social parrerning bllt are caustd bv unalrerable memory traces of former dependencies and needs, or of recurrem srruggles
hereclirary rrairs need nor be considered here . Bllt rhe habims which keeps within between rhe controlling agencies and rhe libidinal impulses. In the more
rht prtvailing social norm and is subjectivelr more comes abollt in an forrunare cases, on rhe ocher hand, rhe contradicrions between differenr sections
equally unplanned way Ir is rhe same social from \;hid1 emerge both more and layers of the controlling agencies, especially of rhe super-ego srrucmre, are
favourably and more unfavourably srrucrured human beings, rhe '\veil-adjusted" slowly reconciled; rhe mosr disruptive conflicrs berween char srrucmre and rhe
as well as rhe "mal-acljusred .. , wirhin a very broad spectrum of varieties, The libidinal impulses are slowly conrained. They do nor only disappear from waking
auromarically reproduced anxieries which become arrached ro rhe expression of consciousness, bur are so thoroughly assimilated char, without too heavy a cost in
specific drives in rhe course of rhe conflicrs char form an integral part of each subjective satisfaction, rhey no longer intrude unintentionally in lacer imer-
individual civilizing process may lead under certain circumsrances ro a lasring personal relationships. In one case rhe conscious and unconscious self-control
and complere anaesrherizarion of rhese drives, and in ocher circumsrances only ro always remains diffuse in places and open to rhe breakthrough of socially
rheir dampening and regularion wirhin the framework of what counts as unproductive forms of drive energy; in rhe other rhis self-control, which even
Under present condirions ir is more a question of good or bad luck rhan of roday in juvenile phases is often more like a confusion of overlapping ice-floes
anybodys planning whether a person experiences rhe one or rhe ocher. In either rhan a smooth and firm sheer of ice, slowly becomes more unified and srable in
378 The Ciz'i!i::i11g Process Stt1h Foni1atio11 and Cil'i/i:;;atioi1 379

positive correspondence ro the structure of society. But as this structure p . . ns ,ll1d intentions of ochers. \\/har determines rhe nature and degree of such
. . . . . . .. . . ' reciselv *CC!O l d.
in our nmes, 1s highly murablt. It demands a tlex1bil1ty ot habits and .. . nu spurts is alwavs rhe extent of interdependencies, the level ot tie 1v1-
ov11z11 " .. . . . .
which in most cases has ro be paid for by a loss of srabiliry. . f functions. and w1rhm It. rhe structure of these funcnons themselves
Theoretically, therefore. ir is nor difficult ro say in what lies rhe differen
5100
between an individual civilizing process rhar is considered successful and ce
. .d d . c .
t liar 1s cons1 ere unsuccessrul. In the 10rmer after all rhe ]Jains and con fl
one II
. . 1 i1crs of
this process, patterns of conduct well adapted ro rhe framework of adult .
. . . . . ' social Spread of the Pressure for Foresight
funcr10ns .
are tinallv
. .
rormed. an adeciuarelv
.
runcrionin<
o
set of habits and h
at t e
same r1me-wh1Ch clots nor necessarilv uo hand-in-hand with it-a pos and Self-Constraint
pleasure balance. In che other. either rhe socially necessary self-control is
repeated! y purchased, at a heavy cost in personal satisfaction. by a major effort to \'{!hat lends the civilizing process in rhe \\/esr irs special and unique character
overcome opposed libidinal energies, or the control of these energies, renuncia- is the facr rhar here the division of functions has attained a level, rhe monopolies
tion of their satisfaction is not achieved at all; and often enou b"h no p 0 , 1rrve of force and raxarion a solidity, and interdependence and comperirion an extent,
pleasure balance of any kind is finally possible, because the social commands and both in terms of physical space and of numbers of people involved, unequalled in
prohibitions are represented nor only by other people bur also by the stricken human hisrory.
self. since one part of it forbids and punishes what the other desires . Hirherro extensive networks of money or trade, with fairly stable: monopolies
In reality the result of the individual civilizing process is clearly unfavourable of physical force at their centres, had developed almost exclusively on waterways,
or favourable only in relatively few cases at each end of the scale. The majority that is, above all, on riverbanks and seacoasts. The large areas of rhe hinterland
of civilized people live midway between these rwo extremes. Socially positive and remained more or less at rhe level of a barter economy, rhar is, people remained
negative features. personally grarif}ing and frustrating tendencies, mingle in lar"elr aurarkic and their chains of interdependence were short, even though a
them in varying proportions. '" .
few rrade arteries crossed such areas and there were a few larger markers . \\/irh
The social moulding of individuals in accordance with the structure of the Wesrern society as its focal point, a network of interdependence has developed
civilizing process of what we now call '"the \\lest .. is particularly difficult. In which nor only embraces more of rhe oceans rhan any other in rhe past. bur
order ro be reasonably successful it requires, in correspondence with the srrucmre extends ro rhe furthest arable corners of vast inland regions. Corresponding ro
of \\/esrern society, a particularly high differentiation, an especially intensive and this is rhe necessity for an arrunement of human conduct over wider areas and
stable regulation of drives and affects, of all rhe more elementarv human foresight over longer chains of actions than ever before. Corresponding ro it, roo,
impulses. It therefore generally rakes up more rime. particularly in d;e middle is the strength of self-control and rhe permanence of compulsion, affecr-
and upper classes. than rhe social moulding of individuals in less complex inhibirion and drive-control, which life at rhe centres of rhis network imposes.
societies. Resistance ro adaptation to rhe prevailing standards of civilization, the One of the characteristics which make rhis connecrion between the size of and
effort which this adaptation, this profound transformation of rhe whole person- pressure within rhe network of interdependence on rhe one hand, and the
ality coses rhe indiyidual, is always very considerable. And lacer, therefore, rhan psychological make-up of the individual on rhe ocher particularly clear, is what
in less complex societies rhe individual in rhe \\/esrern world attains with his we call rhe "tempo .. ; of our rime. This "tempo .. is in fact nothing other rhan
adult social function rhe psychic habirus of an adult, rhe emergence of which by a manifestation of rhe mulrirude of intenwining chains of interdependence
and large marks rhe conclusion of rhe individual civilizing process. which run through every single social funcrion rhar people have to perform, and
Bm even if in rhe more differentiated societies of rhe \\lest rhe modelling of of the competitive pressure rhar permeates chis densely populated network,
rhc individual self-steering apparatus is particularly far-reaching and intensive, affecting directly or indirectly every single individual acr. This may show irself
processes tending in rhe same direction, social and individual civilizing processes, in rhe case of an official or businessman in rhe profusion of his appointments or
most certainly do nor occur only rhere. They are to be found wherever, under meetings, and in char of a worker by the exact timing and duration of each of his
competitive pressures, the division of functions makes large numbers of people movements; in both cases rhe rempo is an expression of rhe multitude of
dependent on one another, wherever a monopolization of physical force permits interdependent actions, of rhe length and density of the chains composed by the
and imposes a co-operation less charged wirh emotion. wherever functions are individual actions, and of rhe intensity of rhe competitive struggles rhar keep this
established that demand constant hindsight and foresight in interpreting rhe whole web of interdependence in morion. In borh cases a function situated at a
380 Th2 Ciz'ilizi11g Pmcus Stt1h F()ri/!atioi! cmd Ci1ili::<1fi()J1 381

junccion of so many chains of action demands an exact allocation of rime; it


wn. h sliort-term discl1,irges of affect. But their functions were not so constructed
people become accustomed to subordinating momentary inclinations to the OVF . , t within chemsehes che "alien" constraints were constantly converted into
riding rill b - J
._ necessities of interdependence; it trains chem to eliminate all . _, tes "self-restraints; their daily casks made chem capa le or restraining t 1e1r
from behaviour and co achieve permanent self-control This is why tendencies in jrnmediace desires and affects in favour of something not tangible in che here and
the individual so ofren rebel against social rime as represented by his or her own now u. nlv. to a com1x1rarivelv. small degree. And so such outbursts hardly ever had
super-ego, and why so many people come into conflict with themselves when Jasring success
wish to be punctual From the development of chronometric instruments and the Here a number of different nexuses are interlocking. \'Vithin every large
consciousness of rime-as from chat of money and ocher instruments of social L
nun1,
in network there are social hierarchies, some sectors which are more central
incegracion-ir is possible to re<1d off with considerable accuracy how the division 0 d1ers The functions of these central senors, for example, die higher co-
of functions, and with it the self-control imposed on individuals, advances. ordin<iting functions, impose steadier ,incl stricter self-control not only because of
\'Vhy, within chis network, patterns of affect-control vary in some respects, whv rheir more central position and the large number of chains of action which cross
for example, sexuali cy is surrounded by stronger restrictions in one country in rhem: owing to the large number of actions which depend on their
in another, is a question in its own right.. But however these differences may arise incumbents, they carry greater social power. \'Vhac gives \'Vestern development
in particular cases, the general direction of the change in conduct, the "trend" of irs special character is the fact that in its course the dependence of all upon all
the movement of civilization, is everywhere the same. It al ways veers towards a becomes more evenly balanced To an increasing degree, the complex functioning
more or less automatic self-control, towards the subordination of short-term of Western societies, with their high division of labour, depends on the lower
impulses to the commands of an ingrained long-term view. and towards the agrarian and urban strata controlling their conduct increasingly through insight
formation of a more complex and secure "super-ego" agency. And broadly the inrn its more long-term and more remote connections . These strata are ceasing to
same, too, is the manner in which chis necessity to subordinate momentary affects be merely "lower" social strata. The highly difttrentiaced social apparams
to more disrnnt goals is propagated and spread; everywhere small leading groups becomes so complex, and in some respects so vulnerable, chat disturbances, at
are affected first, and then broader and broader strarn of \'Vescern society. one point of the interdependency chains which pass through all social positions
Ir makes a considerable difference whether someone lives in a world with inevitably affect many ochers, thus threatening the whole social tissue. Estab-
dense and extensive bonds of dependence as a mere passive object of these lished groups engaged in competitive struggles among themselves are at the
interdependencies, being affected by distant events without being able to same rime compelled to take into consideration the demands of the broad mass
influence or even perceive them--or whether someone has a function in society of outsiders. But as the social functions and power of rhe masses take on greater
which demands for its performance a permanent effort of foresight and steady importance in chis way, these functions require and permit greater foresight in
control of conduce To begin with in \'Vestern development it is cerrnin upper- their execution. Usually under heavy social pressure, members of the lower strata
and middle-class functions that require of their incumbents such steadily active grow more accustomed co restraining momentary affects, and disciplining their
self-discipline in long-term interests: courtly functions at the ruling centres of conduce from a wider understanding of che total society and their position
large societies, and commercial functions at the centres of long-distance trade within ir. Thereby their behaviour is forced increasingly in a direction originally
networks which are under rhe protection of a monopoly of force which h'1s been confined ro the upper scram. Their social power in relation to the latter increases;
stabilized co some degree . But it is one of rhe peculiarities of social processes in but at rhe same rime they are increasingly trained to rake a long-term view, no
the \'Vest chat with the extension of interdependence, rhe necessity for such long- matter br whom and on what models their training is conduccecL They, too, are
term thinking and the active attunement of individual conduct to some larger increasin;,lv
b,
sub1'ecc to che kinds of external compulsions chat are transformed
entity remote in time and space, spreads to ever-broader sections of society. Even into individual self-restraints; in them, too, rhe horizontal tension between a
the functions and the whole social situation of the lower social strata demand and self-control agency, a "super-ego", and libidinal energies that are now more or
make more and more possible a certain foresight, and produce a correspor1ding less successfully transformed, controlled or suppressed, increases. In chis way
transformation or restraint of all those inclinations that promise immediate or civilizing structures are constantly expanding within \'Vesrern society; both
shore-term satisfactions at the cost of remoter ones. In the past the functions of upper and lower strata are rending to become a kind of upper srrarum and the
the lower strarn of manual workers were generally involved in the web of centre of a network of interdependencies spreading over wider and wider areas,
interdependencies only to the extent that their members felt the effect of remote borh populated and unpopulated, of rhe rest of the world. And only this vision
actions and-if they were unfavourable-responded with unrest and rebellion, of a comprehensive movement, of the spread, often in spurts and counter-spurts.
The Ci!'i!i::ing Pmcc.u

of certain funcrions and panerns of conclucc rn mort and mort outsider The larrer is compelled to do it nor b\ simple need bm by the pressure of
and outsider chis vision. and the realization that we: ourselves ate die comperirion for power and prestige. because his occupation. his tlernred
ll1 the midst ot che swell or such a C1vd1zmt; mmement and rht c!nra .. <rarus, provides the meaning and jusrificarion of his life; and for him consranr
. . . " ' crensric
cnses It produces. nor at 1rs encl. places the problem of "'civilization"' in , has made work such a hab;r rhat rhe balance of his mtnrnl
. - _ . proper
perspective. It one steps back from the present mto the past. what patterns economy is upser if he is no longer able to work.
structures does one discover in the successive waves of chis movemen- '-c It is one of the peculiarities of \'?esrern societ: rhat. in rhe course of its
- - L, Ii one
looks nor from us to chem. but from chem to us; devtlopment. this conrrasr between rhe siruarion and code of conduct of rhe
upper and lower srrara has decreased considerabk lo\\er-class characrerisrics art
III spreading to all classes . The fact char \Vesrern sociery '15 a whole has gradually
become a society where every able person is expected ro tarn his living rhrou!:'h
Diminishing Contrasts, Increasing Varieties , highly rtgulared rypt of work is a symptom of rhis: earlier. work was an
1
arrribute of rhe lo\\er classes. And ar tht same rime. whar used w bt
The civilizing process moves along in a long sequence of spurts and coumer- disringuishing ftarnrts of rhe upper classes art likewise spreading to society ar
spurts. Again and again a rising outsider stratum or a rising survin1l unit as a farge. The conversion of "external .. social consrrainrs inro self-restraims, into a
whole, a tribe or a nation srate. attains the functions and characteristics of an more or less habirnal and automatic indiYidual self-regulation of drives and
establishment in relation rn other outsider strata or sun-irnl units which, on their aftecrs-possiblt only for people normally protected from exrernal. physirnl
part. are pressing from below. from their position as oppressed outsiders, against rhrear bv the sword or srarvarion-is raking place in rht \Vesr increasingly
the current establishment And again and again. as the grouping of people which an1(lng the broad masses. too
has risen and has established i rself is followed by a srill broader. and more Seen ar close quarters. where only a small segmenr of this movement is Yisiblt.
populous grouping arrempting ro emancipate itself, to free itself from oppres- rhe differences in social ptrsonality srrucrnre bttween rhe upper and lower classts
sion. one finds char the larrer, if successful. is forced in turn into the position of in the \Vesrern world today may srill seem considerable. But if rhe whole sweep
an established oppressoc The time may well come when rhe former oppressed of rhe movemenr over centuries is percein:d, one can see char rhe sharp conrrasrs
groups, freed from oppression. do nor become oppressors in rurn; bur iris nor vet between the behmiour of differenr social groups-like rhe conrrasrs and sudden
in sighL ' switches wirhin rhe behaviour of individuals-art steadily diminishing. The
There are, of course, many unsohed ptoblems raised by chis visra. In the moulding of drives and affecrs. rht forms of conclucr, rht whole habirns of rhe
presem comexr ir may be enough to draw attemion to rhe fact rhar brand lower strata in rhe more civilized societies. is. wirh the growing imporrance of
rhe lower srrara. rhe oppressed and poorer outsider groups ar a stage of these strata in rhe emirt network of functions. increasingly approaching rhar of
developr'nenr, cend to follow rheir drives and affects more direcdy and sponta- ocher groups. beginning with the middle cLcsses. This is rhe case even though a
neously, rhar rheir conduct is less srricrly regulated than rhar of the respective parr of the self-consuaims and raboos among rhe larrer. which arise from rhe
upper srrar'a. The compulsions operating upon rhe lower strata are predominandy urge rn '"disringuish rhemsehes ... rhe desire for enhanced presrige, may inirially
of a direct, phys""ical kind. rhe rhrear of physical pain or annihilation bv rhe be lacking in the former. and tYen rhough the type of social dependence of rhe
sword. poverry or hunger. Thar rype of pressure, howewr. does nor a former does nor yer ntcessirate or permit rhe same degree of affecr-conrrol and
srnble rransformarion of consrraims rhrough orhers. or "external"" consrraims, steadier foresight as in d1t upptr classes of rhe same period.
into "self"-restraims A medieval peasam who goes wirhour meat because he is This reduction in rhe conrrasrs within society as within individuals. this
too poor. because beef is reserved for the lord"s table. i . e. solely under physical ptculiar commingling of patterns of conduct deriving from initially very differenr
constraim. will give way to his desire for mear whenever he can do so wirhour social levels. is highly characreriscic of \\iesrern society. Ir is one of the mosc
external danger, unlike rhe founders of religious orders from the upper srrara who imporrnnr peculiarities of rhe "'civilizing process"". But rhis movement of society
deny themselves rht enjoyment of mear in consideration of rhe afrer-life and rhe and civilization cerrainly does nor follow a srraighr line . \\iirhin rhe O\"trall
sense of rheir own sinfulness. A tornlly desrirure person who works for others movemenr rhere are repeareclly greater or lesser counrer-mo\emems in which rhe
under constant rhrear of hunger or in penal servirnde, \vill stop working once the conrrasrs in sociery and rhe fluctuations in rhe behaviour of individuals. rheir
rhrear of external force ceases, unlike the wealrhv mercham who "Oes on and on affectiw outbreaks, increase again
working for himself although ht probably has to live without rhis \\1 bar is happening under our eyes. what we generalh call rhe "spread of
384 The Cil'ili::ing Procc1.. 5tdfr Fur111atio11 and Ciz'ilizati1111 385

civilization" in the narrower sense, that is, the spread of our institutions "le ttin "0 b\ their members, with greater or lesser disapproval. This
srandards of conduct beyond the \'\lest, constitures, as we have said, the last ,1 n\' ;::-. o . . ..
roval increases when rhe social power and size of the lower. nsing group
so far within a movement that first rook place for several centmies with. d1sapp . . . ,- _ b , _
'" in and concorn1tanrly. rhe compeor10n ror rhe same opporru111t1es en\een
\Vest. and whose trend and characteristic patterns, including science, er anJ lower groups becomes more intense. The effort and foresight which
and other of a specific type of self-resrraint. established themselv rhe up P . . . . l
. rs co maintain the posi rion of the upper class 1s expressed ll1 rhe rnrerna
here long before the concept of "ci\ilization existed. From \Vesttrn socie , es it cos ce of its members with each ocher bv. the degree of reciprocal supervision
-ornrner , .
a k.ll1 J o f- upper cl ass- 'v'western ''Cin 11ze d"' patterns ot- conduct are t}-a;,
' , racrise on one another, by rhe severe stigmatization and penaloes they
spreading over wide areas omside the \Vest. whether throuc,h the settlem
. . . . _ b ent ot
- .rhe} P upon chose members who
unpose _ breach rhe common _
d.1sringu1s
.
l1ing
co d e. r11e
Occidentals or through the ass1m1lanon ot the UJ)!Jet strata of od1er nti.on .. ar 1sin" from die situation of rhe whole ._group, from their struggle to preserve
- . ' S, ]USt rear u . . .
as models of conducr earlier spread wirhin the \vest itself from this or tbt
- . , upper rheir cherished and threatened position, acrs directly as a force mmnramrng the
strarnm. from certain courtly or commercial centres. The course taken bv all code of conduce, the culrivarion of the s_uper-_ego in irs members. Ir is convened
these expansions is determined onlv to a small de"rtt b\ the 11lans or des -
_ b . ires ot intO individual anxiety, the individual"s rear ot or merely loss_
those whose pacrerns ot conduct were taken over. The classes supplying the of prestige in his own society. And it is chis fear of loss of p::esoge ll1 rhe eyes of
models are even today not simply the free creators or originators of Lie
orhers , instilled as self-com1)ulsion ' whether in the form of shame or a sense of
expansion. This spread of the same patterns of conduce from the "white morher- honour, which assures the habitual reproduction of distinctive conduce, and the
countries or farher-lanJs" follows the incorporation of the ocher areas into the strict drive-conuol underlying it. in individual people.
network of political and economic interdependencies, into the sphere of elimina- Bur while on rhe one hand these upper classes-and in some respects, as noted
tion struggles and within nations of the \Vest. fr is nor "technology" above, rhe \vesrern nations as a whole have an upper-class function-are rhus
which is the cause of this change of behaviour; what we call "technology" is itself driven co maintain at all coses their special conduct and drive-control as marks
only r111t of rhe symbols, one of the lase manifestations of chat constant foresight of disrincrion, on rhe other their situation, rogerher with rhe structure of rhe
imposed by the formation of longer and longer chains of actions and general movement which is carrying chem along, forces them in rhe long run
competition between chose bound together by chem. "Ci\ ilized" forms of and more to reduce these differences in standards of behaviour. The
conduce spread to these ocher areas because and to rhe exrem char in them expansion of \vesrern civilization shows chis double tendency clearly enough.
through their incorporation imo the network whose centre rhe \'Vest still This civilization is rhe characteristic which confer distinction and superiority on
consrirntes, the srrucmre of their societies and of human relationships in general, Occidentals. Bur at rhe same rime Western people, under rhe pressure of their
is likewise changing. Technology, education-all these are facets of the same own competitive struggle, are bringing about in large areas of rhe world a
overall development. In the areas into which the \Vest has expandecL rhe social change in human relationships and functions in line wirh their own standards.
functions with which the individual must complv are increasin,,h ch<!nuinrr in They are making large pares of rhe world dependent on chem and at the same
. b - b b
such a way as co induce the same constant foresight and affect-control as in in keeping with a regularity of functional differentiation char has been
rhe West itself Here, too, the transformation of the whole of social existence is observed over and again, are rhemsehes becoming dependent on these pares. On
the basic condition of the civilization of conduce. For chis reason we find in rhe the one hand they are building, through institutions and by rhe strict regulation
relation of the \Vest to ocher pares of rhe world rhe beginnings of rhe reduc- of their own behaviour, a wall between themselves and the groups char they are
tion in contrasts which is peculiar to every major wave of rhe civilizing colonizing and whom-by the "right of the srronger"-rhey consider their
movement.
inferiors . On the ocher, with their social forms, they also spread their own style
This recLJrrem fusion of patterns of conduce of rhe functionally L1pper classes of conduct and institutions in these places . Largely wirhour deliberate intent,
with those of the rising classes, is nor withom significance regarding the thev work in a direction which sooner or later leads rn a reduction in the
curiously ambivalent artirude of the L1pper classes in chis process . The habituation differences both of social power and of conduct between colonists and colonized.
to foresight, and the stricter comrol of behaviour and rhe affects co which the
Even in our dav the contrasts are becoming perceptibly less. According to the
upper classes are inclined through their sirnarion and fi.mcrions, are impomrnt form of and rhe position of an area in the large network of
instruments of their dominance, as in the case of ELJropean colonialism, for differentiated functions, and nor least rn the region's own history and strucrnre,
example. The! serve as marks ofdistincrion and prestige. For jusr chis reason such processes of commingling are beginning to rake place in specific areas outside the
a society regards offences against rhe prevailing pattern of drive and affecr control, West similar rn chose sketched earlier on the example of courtly and bourgeois
Th, Cil'i/i:;i11g Pmcc.rs

conduce in diffen:nr countries wichin che \Vesc 1rselt. I l


. n co 0111al region5 , rrned of monarchy and bou:geoisie in which the nobility was rrapFed_ ..For die
accordrng w che posicion and social srrtn.gch of rht rnrious vroLi rtJ. . nobilirv. coo, che selt-resuarnr imposed on them by che1r tuncr1on ,1nd
- o j)S, 1
srnndards are spreading downwards and occasionally even upwards from courr\ . ,. d . . 1
. : served ar the same cime as a presrige value, a means or 1snngu1s 1111g
we mav adhere rn rhis spatial image. and fusing co form new unique qtllflnon . cl l . 1 I ., . l . "
h rnse l-ve
. s t'ro111 the lower o"roU])S harrnng
. them, an t iey c 1c e'er:- c 1111""
L ....

new variecies of civilized .conduce The 1w1trasts i11 01/l{/;1ct !:du u:n the PPer t .e. cheir j)Ower to pre,enc these differences from being tltaced. Only the
11
lr1tcc:r grr111ps t1r1.: rc:d11cr.:d u 11h the .1jJJh1d r1/ cil'i!i::t1tion: th{; zt1riair:r r.r w1t1un l l
1111a11ce1 .. cl che iniriarecl member. should know rhe secrecs ot good cone ucr. on >
(iri!i:u! m1J(/Nct drc
. . . . ..
i11cn:t1sed Ih1s 111c1p1enr cranstormarion of Oritncal or
.1
ins1 er, . . . . . ' l .
within good sociery should rh_1s be Granan clelibtrarel:- 11.s
people in the .dirtccion of \Vescern scanclards reprtsencs die lase wave of the 011 "savoir-vivre", che famous Hanel Oracle , Ill an obscure sr:- le, a
cont111u111g Civil1z111g movtmem char we art able co observe . Bue as ch rrPfitISt b l b
.. . . .. . rs Wave .. - l. j)rincess once explained. 1' so char rhis knowledge could nor be oug 1t Y
nses, signs of new and turrher waves 111 the same direcrion can alreadv . court 1 . . . . . cl . l.
amone for a few pence; and Courrm did nor forgec. Ill che rnrro ucnon . ro i1s
forming in ir: for uncil now che groujJS ap1)roachinv che \Vesctrn Uj)p:r ' seen .. on "Civilire to stress char his manuscnpt was really wncren tor che
..L .. "" 1
c:cass1n rre,mse . . . . l
colonial areas as the lower. ns111g class. art ac hrsr primarily the upper use of 1 few friends and that even j)rinted 1t was intended only tor peop e
wirhin chose narions . pn,ace ' . . . . . ...
I sociery Bur even htre rhe amb1rnlence ot the s1manon 1s reve,iled.
0 f gooc . . . .
One srep furcher _back in one can observe in che \Vest icself a similar Owing to rhe peculiar form of interdependence 111 which chey lned, the
movement: che ass1mdac10n of che lower urban and agrarian classes to the ariswcracy could not prevent-indeed, through their concacrs with nch bow-
srnndards of civilized conducr, tht growing habitllarion of rhese "roup . srr'ici
. '- '- o s to (reo1s ' ' whom che\
. needed for one reason or anorher. rhey ass1sred-rhe
rores1ghr. ro a more even curbing and more srricr control of the affects, and a ;preacling of their manners. cheir customs. rheir rnstes and cheir language to other
higher measure ot individual self-conscraint in their case roo . Here roo, according classes First of all in che sevenreemh century, these manners to small
w
. rht srructllrt ot che history ot each countn-.. ven-. diverse rnricc 1"c: s of af.-rect- "' d'nu urOUj)S of cht bourgeoisie-the "Excursus on the i\fodellmg ot Speech ar
]. . a i 0 b ._
tormarion emerged within the framework of civilized conduce. In rhe conduct of Courr" gives a vivid example--and then. in the tighrtemh century, to broader
workers in England. for example, one can still see craces of che manners of the bourueois strarn: che mass of cizilite-books chat appeared at rhat nme shows di1s
landed noblemen and gentry and of merchants within a large rrade network. in Here too rhe force of rhe current of interweaving as a whole. cens1ons
France che airs of courriers and a bourgeoisie brought to power by revolmion: In and leading wichin ir ro ever-grtarer complexity and tuncnonal_
workers too, we find a srriccer regularion of conclucr, a type of courresy more differentiacion. to the individual's dependence on an ever-larger number or
i_ntormed by cradirion in colonial powers which have for a long period had the orhers, to rhe rise of broader and broader classes, proved srronger than rhe
function of an upper class within a large network of interdependencies. and iess barricade which rhe nobility had been seeking to build around themselves.
polished control of the affects in nations thar achieved colonial expansion late or Ir is at small functional centres thar the foresighc, more complex self-
nor ac all. because strong monopolies of force and taxarion. a centralization of discipline. more srablt suptr-ego formarion enforced by . growing i_nrer-
nacional power-pre-condicions for any lascing colonial expansion--c!eveloped deptndence, firsr became noticeable. Then more and more tuncr10nal Circles
lacer Ill ther;n than in their comperirnrs
within rhe \Vest itself changed in the same direccion Fmally, rn co111uncnon
Further back, in. the seventeenth. eighretnth and nineceenth centuries-earlier with cheir pre-exisring forms of civilization, the same transformation of social
or lacer according to the structure of each nacion-we find che same parrern in a funccions and rhus of conduct and rhe whole ptrsonaliry, began to rake place in
sci II smaller circle: rhe interpenetration of the srandards of conduce of rhe nobilitv countries outside Europe. This is the picture which emerges if we arcempr w
and rhe bourgeoisie In accordance with the balance of power. che product ;f survey the course followed up to now by the \Vesrern civilizing movement Ill
interpenecration was dominarecl firsc by models derived from the situation of the
social space as a whole.
class, rhen by the parrern of conduct of che lower, rising classes, until
hnally an amalgam emerged, a new style of unique character, Here, too. the same IV
sitllation of che upper class being torn two wavs is visible rhac can be observed
today in the vanguard of "civilization" The nobi!itv. che vanguard of The Courtization of the Warriors
"ciri!it{', was gradually compelled to exercise a srricr of rhe and
an exact moulding of conduce through ics increasing integration in a network of The courr sociecv of rhe seventeenth and eighreenth centuries. and above all
interdependencies, and which was given expression in chis case by rhe pincer the court nobility France chm formed ics centre, occupied a specific posicion
388 Tht Ciz'ilizing Process Suh Formation ,md Cirili:dtion 389

wirhin rhis whole movement of interpenerrarion of rhe parrerns of conduct . . c0 rces of rhese jJrocesses. The "rear royal court stands for a period ar the
. b ' . .. . .

ever-wider circles. As noted abovt, the courrrers did not orwrnare or inv of rhe social nerworks wluch ser and keep rhe c1vil1zing of conduct rn
. _ __ . 0 ent rhe -enrre _
murrng ot aHecrs and rht more even regular10n of conduct-. They, like ' In rncin" rhe socio"enesis of rhe court. we hnd ourselves at rhe centre
JUOt!Dn. ' o _ .b . . . . . ,
else in this movement, were bending to rhe constraints of interdependence . ivilizin" rranslorma[lon char is both par[lcularl} pronounced and ,in
ot a c o _ .
were nor planned by any individual person or group of persons. Bur it is in ns'ible precondition tor all subsequent spurts and counter-spurrs rn the
ind1spe ' . . . .
court society that the basic srock of models of conducr was formed which .. t n". process \'Vt see how step bv srep a warnor nobil!tv 1s replaced by a
Cf\tl lZl C " ' " ' . . _ . . . 1

fused wirh others and modified in accordance with the position of rhe eel nobilirv wirh more murecl aftecrs, a court nob1liry. Nor only w1rhm rne
earn , . . . T
carrying_ r'.1em, spread, with rhe compulsion ro exercise foresight, ro ever-wider \'(fcsrern civilizing process, bur <lS tar as we can see w1rhrn every maior_ c1n izmg
. one of the mosr decisive uansilions is that of u<rrriors to co111lnn . Bur 1r
circles ot funcrions. Their special sirnarion made rht people of courr , ,, more: process, . . _ . .
than any other \\/esrern group affected by this movemem, specialists in the need scarcely be said rhar rhere are widely d1ftenng srages and d this
elaboration and moulding of social conduct.. For' unlike all succeedin" n this inner pacification of a socierv In the \X!esr rhe rransformarron of
o o"roupsin
rrans1r 10 , . _ .
rhe position of an established upper class, they had a social function no tlC. irriors 1xoceeclecl verv. gradually from the eleventh or rweltrh centunes
l ,,, L

occupation. unnt ir slow!\, re,iched


,
irs conclusion in the seventeenth and eighteenth
Nor only in the \\/esrern civilizing process, bur in others such as that of centuries. .
eastern Asia, rhe moulding which behaviour receives at rhe great courts, the How it came ro pass has already been described in derail: first, rhe wide
administrative centres of the key monopolies of raxarion and physical force, is of landscape wirh irs many casdes and estates; rhe degree of integrarion was slight;
equal importance. Ir is first here, ar rhe sear of rhe monopoly ruler, that all the ,l evervdav dependence and thus rhe horizon of the bulk of rhe warriors, like
, 1e . .
threads of a major network of interdependencies run rogerher: here, at this diat of rhe peasants, was restricted ro rheir immediate districc:
particular social nexus. more <ind longer chains of action intersect than ar anv
Loalism was writ largt across rht Europe of rhe tarly Middle Ages, rhe localism m first
other point in the web. Even long-distance trade links, inro which
of dit rribt and rht esrare. larer shaping itself inro rhose feudal <llld manorial unirs
commercial centres are interwoven here and there, never prove lasring and stable upon which meditval sociery rested Both politically and socially rbese unirs wert .
unless they are protected for a considerable period by strong central aurhoriries. nearly indtpendenr. and rbe exchange of producrs and ideas was reduced ro a
Correspondingly, rhe long-term view. the strict control of conduct which this minin1uff1 '"'
central org<rn demands of irs functionaries and of rhe prince himself or his
representatives and servants, are greater than at any other point. Ceremony and Then, from rhe profusion of castles and estates in every region, arose
eriquette give this situation clear expression. So much presses directly and individual houses whose rulers had attained, in many battles and through rhe
indirectly on rhe central ruler and his close entourage from the whole dom.inion. growth of rheir landed possessions and military power, a posirion of predom-
each of his steps. each of his gestures may be of such momemous and far-reaching inance owr rhe orher warriors in a more exrendecl area. Their residences became,
importance. precisely because rhe monopolies srill have a suongly privare and as a result of rhe greater confluence of goods arriving at them, the homes of a
personal characcer, that wirhour rhis exact timing, rhese complex forms of reserve larger number of people, "courrs" in a new sense of the word . The people who_
and distance. rhe tense balance of sociery on which rhe peaceful operarion of the came rogerher here in search of opporrunities, always including a number ot
monopoly adminisrrarion rests would rapidly lapse into disorder. And, if not poorer \;arriors, were no longer as independent as rhe free warriors ensconced in
always direcdy, rhen ar least rhrough rhe persons of the central ruler and his rheir more or less self-sufficient esrares; rhey were all placed in a kind of
ministers, every movement or upheaval of any significance in the whole dominion monopolisrically controlled competition And even here, in a circle of people thar
reacts on the bulk of rhe courtiers, on rhe whole narrower and wider entourage of was still small compared ro rhe absolutist courts, rhe co-existence of a number of
che prince Direcdy or indirecdy, the intertwining of all acriviries with which people whose actions consranrly intertwined, compelled even rhe warriors who
everyone at court is inevitably confronted, compels him ro observe constant found themselves rims in closer interdependence ro observe some degree of
vigilance, and ro subject everything he says and does ro minute scrutiny. considerarion and foresight, a more srricr control of conduce and-above all
The formation of monopolies of tax and physical force, and of great courts cowards rhe mistress of rhe house on whom rhey depended-a greater restraint
around rhese monopolies, is certainly no more rhan one of several interdependent of rheir affects, a transformation of their drive economy.. The co11rtois code of
processes which provide the momentum of this gradual process of "civilization". conduct gives us an idea of rbe regulation of manners, and rhe i\lin11esa11g9 _an
Bur rheir formarion provides one of rhe keys by which we can gain access ro rhe impression of rhe drive-control, that became necessary and normal ar these maior
_::;90 _::;91

and minor rerrirnrial courrs Thty bear wirntss rn a firsr spurr in the
- H<iw lirrlt rhe division of funcrions was dtvelopecL and how great
\\hich finally ltd ro rht complete transfcirmatiun of rht nobilir) inro unit' . l. l
elative independence of rhe difftrenr esrares still was, is clear } c tmon-
and an enduring "'civilizing of rheir conduce. Bm rhe wtb of rhe r b\ rhe facr rhar rhe spreacl 01,- customs. .,rncI 1"d,.
c,1s between
_ town
_ _ and to\\ n.
inw \vhich rht warrior enctrtd was nor ytr vtry extensive or closed. If he
rt court. monastery and monastery. Lt. relationships wnh1n rht:
adopr a certain rtsrrainr ar courr. rhert were srill counrless people and
coll srrarun1. t\e . n over Ion"o disnnces.
' -
was ohen ._t.;rearer
_ .
than comacrs. btn\cen
._ L;
in rtsptcr of which ht nttcled ro obsene no special rtsrrainr Ht might
ancl rO\\ns- in rhe sime( disrricr 11 ' This is rht soCial srrucrnre \\h1ch-01
.y
rht lord and rhe lady of one courr in rhe hope of finding lodgings ar another.
__ risr-we must kttl' in mind in order ro undtrsrand rhe clirrerenr
coum!T road was full of sought and unsoughr tncoumtrs which required no verv tl\' or CUil [ ' . . . . . , (Pel
grear conrrol of impulses Ar courr, cowards the: mistn:ss. he might deny " rucrure. t )ie cj"i fferenc
\\ '

soci1)
'
!)fOCeSSeS

through'
which there gr.idually
l emerct
sr increas1nL':
. T
.. Cl\ I iz,uion of rhe wn-'.
in which individuals steer r 1tmse 1ves. l
violtnr acrs and afftcrivt ourbursrs: bm tven rht cw1rrr1is knighr was first and
an as in every sociery with a barr_er economy. exchange and thus mmu'.1
foremosr still a warrior, and his lift an almosr uninctrrupred chain of wars,
cl
. incl inte"ntion
penc1ence ' c '
bet\\een different classes was srdl slight .is comp.ired
- f
and violtnce. The more peaceful consrrainrs of social imtrweaving which rend to
ue l , following phases. Society's wholt mode of life was rherdore less urn orm
impost a profound rransformarion of drives. were nor yer bearing consrantly and co r it ' I remelv closeh
evenly on his lift: rhey inrrucled only inrermirrenrly, and were constantly The power of arms, military potential and property were t ien_ ext . : _ H.
breached by military compulsions which neither wlerared nor required anv . d dirtcrlv rtlarecl. Thus rhe unarmed peasant lived man ab1ecr condmon e
Jn . . l1e m'"l"CV of the armed lord w a cle!!ret rhar no person was expostcl to
resrrainr of rht: Corrt:spundingly the self-rt:srraim which the cr,11rtoi; w,1, .ir r , . . r- r
knights obstrn:d ar court was only slighrly consolidated imo half-unconscious I the evef\"dir life of later phases. when public or scare monopo 1es o
or iers l!1 ' I 1 . ..
I Tht lord rncl master on rhe or her hanc , r 1t \\ .irnor, \\.is
habits, into rhe almost automatic pattern characteristic of a later stage. Tht force l1acl cleve lopec ' _' . . . . . cl , !-
co11rtois precepts-as nored above-were mostly addressee!. in rht heyday of , lli .. <J li"rrle cle 1,endent on his inrtnors (though or course such cpem
tuncnona . ' l . .. l
knighrly courr society. to adults and children alike: conformity ro rhem by adults tncr \Yas ne\.er ennrt ,1 ). I,1ckn.,)
1 c ht w1s
' rhrough
,__, rhe
. overwhelmmg
. p 1} sic,1
,
was never rakt:n so much for granted rhar one might cease ro speak about them. normally emanating from him. untrammelled m rtL'.uon to them .w ,m
The contlicring impulses ne\er disappeared from consciousness. The structure of Pxttnt which surpassed by far rl1t relative power surplus or any :ipper d.iss. m
st:lf-consrraims. especially rhe "super-ego", was nor 1er wry strongly or rn lower classes ar rhe lacer srages of social development. Similarly with
devtlopecL
ut l. I 0 1,- ) 1\.111 c" rhen roo rhe comrasr between
I srnnc.irc .
the highest and lo\\ot
. . . , -1 .
In adclirion, one of the main motive forces which later, in rhe absolmisr-court classes of this society was extremely great, particularly ll1 rhe phast_ \\ '1
sociery, played an imporranr part in consolidating polite manners in the decreasing number of especially mighty and wealthy lords was emergmg rrom
individual and in conrinuously refining them. was as yet still lacking. The rhe mass of rhe warriors. \Vt encounter similar contras rs wda1 111 areas \\here the
upward pressure of urban-bourgt:ois srrara against rht nobility was srill relatively srrucrurt: is
sooal ne,1rer
. ro r [1.1 r o'1 \Vesrtrn

medit\al SOCitt\" than that or tht
, . _ ,

slight. as correspondingly was rht competitive tension between rhe rwo estates. \\fest wdav. for example in Peru or Saudi Arabia . .l\Iembers of a small elm: h,n t
To bt sure. ar rhe rerrirorial courrs themselves, warriors and town-dwellers an income of which a far larger part than is rhe case with high mcomes_
sometimes compert:d fi:ir rhe same opporwniries. There were bourgeois as well as in rhe \Vest wday, is used for rhe personal consumption or HS owner, luxunes or
noble , and in this respect mo rhe co111"/r1is court shm\ed ro some his '"priv<lte life'", robes and jewellery. residence and srables. utensils and meals:
extent the same srrucwral rtgulariric:s which later appeared, fully developed, in feasrs and other pleasures. Tht members of rhe lowest class. rhe peasants._ b)
rhe absolutist courr: ir brought people of bourgeois and noble origin into conrrasr. live wretchedly under rhe consranr rhrear of bad hanesrsand
constant conracr. Bur Luer, in rhe era of fully developed monopolies of rhe means even under normal circumstances rhe produce of their work JUSt sufhces to
of ruling. tht foncrional integration of nobility and bourgeoisie, and thus the
provide them with subs1srenct; scan cl,1rcl o f )"i\1n"
r )1eir "" is considerablv
. ,_ lower
.. ,
possibility of consranr comacrs as well as permanenr tensions. was already quire rl1an r lrnr o f an1 . c[,1ss. in ci.\'i.li"zed"' societies And onlv. \vhen these . contrasts
_ are
high! y clevtloped even outside rhe court Comacrs between bourgeois and reduced. when .through rhe competitive pressure affecrin!! this soClety from wp
warriors such as occurred ar rhe co111lois courts. were still rtlatin:ly rare. In ro botwm rhe division of functions and interdependence_ over large areas
general, rhe inrertwining of dependencies berween bourgeoisie and nobility was gradually increases, when tht funcrional dependence even of the uppt:_r classes
still slight compared to the later period. The towns and rhe feudal lords in their grows while rhe social power and living standards of rhe lower class nse. only
immediate or wider neighbourhood srill stood opposed as alien polirical and
then do we find rhe consranr fi:iresighr and self-control in rhe upper classes. rhe
TIJL Cfrili:::ing ProccSs Stt1h Frm11atio11 t111d Cil'ifizatio11 393

conrinuous upward mon:mem_ of the lower ones, and all the other changes finally. in rhe fifteenth and ':bove all rhe s_ix_teenth rhe whole
one can observe ID an) Clvd1z1Dg spurt encompassing broader strata . tlln m 1inraininn this rranstormar10n, the d1fterent1at1on of tunct10ns. the
0 rnen '
1 b
To begin with-at rht Starting-point of this movement as it r!1 n'' interdependence and integration of ever-larger areas and classes,
increast v '- . . . _ .
warriors lived their own lives and the burghers and f'easants theirs. E cl This is seen parricularlv clearlv rn rhe Clrculanon ot money, a soCial
ven in . : . . -
spatial proximity rhe gulf between rhe esrares was dttp; customs. nstrurn ent [ he use of and ch an bnes ID which md1care most accurate!\- the degree
1
clothes or amusements differed, even if mutual influences were not 'di"vision of functions, and rhe extent and narnre of social interdependence. The
lacking_ On all sides social contrast-or, as people in a more uniform world
m . of monev <rew more c1uickl v, and ar a correspond111g . rare the pure lrns111g .
voIurne . b . . . .
to call It. the variety of life-was greater. The upper class, the nobilir" d'd power or value of mo_ney fell. This trend rowards the deva_luat10n of mrnred
- . . h 1 nor
yet feel any appreciable social pressure from below: even the bourueoisie t..n _ li"ke rhe transtormauon ot warr10rs 111ro courners, early 111 the .M1cldle A):,eS.
. . . . . . b scarcely tJLgan, .
conrested rhe1r
. function and presngt. Thev. did nor .ver need ro hold tli emse.ves
. 1 What is new ar the transirion from medieval to modern times is nor moneranza-
constantly Ill check and on rhe alerr in order ro maintain their fJOSition . h .
non,' \"I.th rhe decrease in rhe 1x1rchasin" power of minted metal as such, bur the
. . as re o _
upper class. They had rheH land and rheir swords: rhe primary dangf"r for each . nd exrent of this movement. Here as so often, what first appears as merely
pace ,1 .' . . . . .
warnor
. was orher wamors. And so the murual control rhe nobles imp osea.' on a quantitative change, is on closer 111spe_cuon an expression of qualirat1ve
rhe1r conduct as a means of class disrincrion was corres1Jondin"lv less, so rllat in
. b. I n "es , tnnsformations
c1a ' in rhe structure of human relauonsh1ps, of _ soCiety.
rh1s respect too rhe individual knight was subjected to a lower cle"ree t::i
of le
se 1- Certainly, this accelerating devaluarion of money is nor by itself rhe cause of
conrroL Ht occupied his social position far more securely and as a matrer of the social changes that emerge more and more clearly at rhis rime: it is parr ot
course than rhe courtly noble. He did not need to banish coarseness and vulgaritv a larger process, a lever in a more complex sys rem of intertwining trends. Under
from his life There was norhing disturbing for him in rhinking about the rhc pressure of competitive struggles of a particular stage and srrucmre, rhe
classes; rhey were nor permanenrly associated wirh anxiety, and thus there was no demand for money increased at this time; ro satisfy it new ways and means were
social taboo on anything recalling rhe lower classes in upper-class life, as sounhr and found. Bur. as was pointed our earlier, le this rrend had a very
happened later . No repugnance or embarrassment was aroused by the sighr of the meaning for different secrors of sociery; rhis is precisely what shows
lower classes and their behaviour, but a feeling of co11tm1/1t, which was expressed how great the functional interdependence of different strata had become.
openly, unrroubled by any reserve, uninhibited and unsublimatecL The "Scenes favoured bv this rrend were all those groups whose functions permirred rhem to
from the Life of a Knighr" discussed earlier in rhis book 11 give a certain for rhe falling purchasing power of money by acquiring more money,
impression of rhis attirude, although rhe documenrarion was taken from a later especially bourgeois groups, and the kings as controllers of rhe tax monopoly;
courtly period of knighrly existence. ' disadvantaged were groups of warriors or nobles who had an income which
How rhe warriors were drawn step by step into rhe vortex of increasingly norninallr remained the same bur constantly diminished in purchasing power
stronger trnd closer interdependencies wirh orher classes and groups, how an with rhe .accelerating devaluation of money. Ir was rhe pull of this rrend rhat in
increasing part of rhem fell into functional and finally insrirurional dependence the sixreenth and seventeenth centuries drew more and more warriors to rhe
on others. has already been described in derail from various aspects. These are courr and thus inro direct dependence on the king, while conversely rhe kings'
processes acting in rhe same direcrion over centuries: loss of military and rnx revenues grew ro such an exrent rhat they could maintain an ever-larger
economic self-sufficiency by all warriors, and the conversion of a part ot: them number of people at rheir court.
into courtiers If one contemplates rhe past as a kind of aesthetic picmre book, if one's gaze
One can detecr rhe operation of these forces of integrarion as early as the is directed above all at changes ofsryles"', one may easily have rhe impression that
eleventh and rwelfrh centuries, when rerrirorial dominions consolidated them- from rime to time the rasres or minds of people changed abruptly rhrough a kind
selves and a number of people, particularly less favoured knights, were forced ro of inner mutation: now we have "Gothic people'" before us, now "Renaissance
go ro the greater and lesser courrs to seek service. people"', and now "Baroque people'" If we try ro gain an idea of the srrucrure of
Then, slowly, rhe few grear courts of princelv feudalitv rose above all the the whole nenvork of relationships in which all the individual people of a certain
ochers; only members of rhe royal house now had rhe cha;ce to compere freely epoch were enmeshed, if we try ro follow rhe changes in the institu-
with one another, And above all the richest, most brilliant courr of rhis period tions under which thev lived, or in the functions on which their social existence
of competing feudal princes, the Burgundian courr, gives an impression of how was based. our impres;ion that ar some moment the same murarion suddenly and
this transformation of warriors into courtiers gradually advanced. inexplicably rook place in many minds independent of each other, is increasingly
Th:,- Ciz'ili::iil/_;: Prr1(1_.\.f St:11t F1m11ati1111 ,md Cil'ifi::,t1ti1111

dispelled All these changes take place quite slowly over a considerable . monetary integration. che produce from their estates-measured
small steps and ro a lart:e extent noiselessfr for ears ca1,able ofi)ercei\in l in che scandards of the rising bourgeoisie-no longer allowed chem more
.... .. .. . gonythe
gre,u e\ ems heard tar and wide . The explos10ns rn which rhe ex 1-t mediocre livint: and frequendv not even thar, and certainly not a social
' ence rhana L "..

attitudes of indi,idual people art changed abruptly and therefore . ce rhat could maintain rhe nobil1n s presnge as the upper class agamst
e,x1scen _ . . . . . .
perceptibly, are nothing but particular events within thtse slow and often al rhe gro \\.1n" c-
strennrh
o
or rhe bourt:eo1sie.
_ ._,
Under tl11s pressure a part ot the_
.
impercepti "bl e soCia
. I s I1itts.
. w I1ose ettects
are grasped onh bv comi)arin" dfir.mo,t , ilirv-whoever could hope to hnd a place there-entered the court and thus
. . . . . . ._ - _ _ b 1 ierent noo . - l . d .. l I
genenmons. by placrnl.( side b, side the soCial destrnies ot buh'"rs s : d"rect dei)endence on the kin". Onh lire at court openec ro m 1v1c ua
- - L ons and
' 1nW 1 '=' . . ..
grandsons. Such 1s the case with the transtormat10n of the warriors inro co ,. bles within this social field access to economic and prestige opporrunmes rhar
. . Urt1ers aO . I l" . .
the ch_a11ge 111 the cours_e ot which an upper_ class of free krnghts was replaced n -11w \\'"l\" S'itisfv their claims ro an existence of upper-c ass c 1suncr1on
(OU Id 1 ' ' . . . .
one ot courners. Even 111 rhe lase_ phases ot chis process. many individuals Had che nobles been concerned solely or even pnmanly w1t!1 eco1:om1c oppor-
std! have seen _the ot their existence, ot their wishes, affects and tun!tl. es . thev. would not have needed to bvo ro the court: manv of chem could
talents, ll1 the lite of a tree knight. But all these rnlenrs and affects
L now' -
have acquired wealth more successfully through a commercial acriviry-such as a
becoming increasingly impossible ro put inro practice because of the l n1arr1.'1"e
nc1 't:::i ,
But to b"ain wealth rhroud1 .__,
commercial acrivirv. the\. would.
have
.
transformation
. . .
of human _
relations: rhe funcrions chat c-"ave them scope were had co renounce their noble rank; they would have degraded ll1 their

disappearrng from the fabric of society.. And rhe case is no different, finally, with own eyes and those of other nobles. Ir was this very distance trom . the
the absolutist courr itself It coo was not suddenly concei,ed or created at some bourgeoisie, their character as nobles. their membership of the upper class ot the
moment bv individuals. but was formed gradually on the basis of a specific rhar gave their lives meaning and direcrion. The desire ro i:reserve their
transformation of social power-relationships. All individuals art driven by a s }rc"sti<t
c1,,1.) 1. b '
w "'disrinuish'"
c themselves. motivated their actions far more than
parncular dependence on orhers inro this specific form of relarionship. Through the desire w accumulate money. They therefore not only remained at courr
their inttrdependenct they hold each othtr fast within it. and the court was because chey were dependent on the king. but they remained dependem on the
only generartd bv chis interweaving of dependencies. but created itself over and king because only life amid counh society could maintain the distance from
again as a form of human rt!arionships outlasting individuals. as a firmlv and rhe prestige on which depenclecl their salvation. their existence as
established institution. as long as this particular kind of mutual dependence members of rht upper class. rhe esrablishmtnr or the '"Society'" of the country
continuously renewed on the basis of a particular structure of society at large. No doubt. at least a part of the courrly nobility could nor have lived at court had
Just as, tor example. the social institution of a factory is incomprehensible unless rhev nor been offered many kinds of economic opportuniries there. But what
we cry ro explain why the entire social field continuously generates factories, why sought \Vere nor economic possibilities as such-they were. as noted above.
peoplt in them are obliged ro perform services as employees or workers for an rn l;e hacl elstwhere-but possibilities of exisrence that were compatible with the
employer: and why tht tmp!oytr is in turn dependent on such services, so the maintenance of their discinguishini:: prestige. their charaner as a nobility. And
social institution of the absolutist court is just as incomprehensible unless we this double bond through the necessity for both money and prestige is to rnrying
know the formula of needs, rhe nature and degree of mutual dependence, bv degrees characteristic of all upper classes, nor only the btarers of "'civilirt'" but
which people of different kinds were bound rogerher in this wa\" Onh thus do;s of '"civilization The compulsion chat membership of an upper class and rhe
the court appear before our eyes as it really was: only thus does.it the aspen desire w retain it exert on the individual is no less strong and formative than
of a fortuirously or arbitrarily created grouping. about which it is neither char arising from che simple necessity of economic subsistence. Motives of both
possible nor necessary to ask the reason for its existence. and onlv thus does ir kinds are wound as a double and invisible chain about the individual members
take on meaning as a network of human relationships which,. for a period, of such classes: and the first bond. rhe cra,ing for prestige and fear of its loss, the
continuously reproduced icst!f in this wa\", because it offered manv individual struggle at:ainsr the obliteration of social disrincrion. is no more robe explained
people opportunities of sarisfying certain r;eeds generated over and in their Lbv the second. as a masked desire for more money and economic
society than it is ever ro be found lastingly in classes or familits chat live
The constellation of needs out of which rhe "'court consrantly reproduced under l;eavv external pressure on rl1t borderline of hunger and destitution. A
itself as an institution over generations has been shown above: the nobilitv. or at compulsive. desire for social prestige is ro be found as the primary motive of
least parts of it. needed the king because. with advancing rhe anion onh- amont: members of classes whose income under normal circumstances
function of free warrior was disappearing from society: and because. with is ancl perhaps even growing. and at any rare is appreciably over rhe
396 397

hunger threshold . In such classes the impulse ro engage in economic '!Ctr',, . kni"hts were earlier. in free military competition with each ocher: they
. . - . - . L L . ' .ity is no JS t I1e b . . - ..
longer the s1m1)le necessin ot sansfnng hunger, but a desire ro j)resef\e..a. cert n mono1Jolv-bound competmon tor the opporrnnmes the monopoly ruler
, L were r _
high, socially expected standard of living and prestige. This explains whv in ain to'illocue
' . And chev. not on! .v lived under the j)ressure of this central lord;
elernted classes, affecc-ccmtrol and self-constraim are generally more highlv SUch . vere not on]y subjecred to the competitive pressure which they. together
rhey ' _ .
oped than in the lower classes: fear of loss or reduccion of social [)resti<>e 1: h .1 reserve armv of country ansrocracv. exerted on each other; they were above
. . b wrt ' . . .
the most powerful motive forces in the transformation of constraints bv. orb ers aIJ under pressure from rising bourgeois strata. \\/ith the latter s sacral
self-restraints Here, roo. as in manv other insrances the upper-class characr . power the noblemen at court had co_nscantly to contend;. they lived trom the
. .. . .. . . ' ' tnstics
of good society wer.e parncularly highly devdoped in the courtly aristocracy of ,itJ[!eS and caxes chat came pnmanly from the third estate The interdependence

che sevemee.nth and eighteenth cencunes . prensely because, thin its framework, interweaving of different social functions, above all between nobility and
money was mdrspensable and wealth desirable as a means of living, bur bourgeoisie, was very much tighter than in preceding phases. All the more_
nor, as in the world, the basis of prestige as well. T?
chose belonging omnipresent, therefore, were the tensions between chem . And as the structure of
to H, membership ot courtly society meant more than wealth; for just this reason human relationships was changed in this way, as the individual was now
they were entirely and inescapably bound to the court; for just this reason the embedded in the human network quite differently from before and moulded by
pressure of courtly life shaping their conduct was so strong. There was no othtr rhe web of his dependencies, so wo did the structure of individual consciousness
place where they could live without loss of status: and this is why they were 50 and affects change. the structure of the interplay between drives and drive-
dependent on the king controls, between conscious and unconscious levels of the personality. The closer
The king for his part was dependent on the aristocracy for a large number of interdependence on every side, the heavy and continuous pressure from all
reasons. For his own conviviality he needed a society whose manners he shared directions, demanded and instilled a more even self-control, a more stable super-
the fact that the people who served him at cable, on going ro bed or and new forms of conduct between people: warriors became courtiers
hunting belonged to che highest nobility of the land. served his need to be " \\!herever we encounter civilizing processes of any scope, we also find
distinguished from all the ocher groups in the country. Bur above all he needed strucwral similarities within the wider socio-historical context in which these
the nobility as a counterweight co the bourgeoisie, just as he needed the changes in mentality occur . They may cake place more or less quickly, they may
bourgeoisie to counterbalance the nobility, if his scope to manipulare rhe key advance. as here. in a single sweep or in several spurts with strong counter-
monopolies were not w be reduced It is rhe inherent regularities of rhe "rovat spurts: but as far as we can see today, a more or less decisive courtizacion of
mechanism .. that placed the absolutist ruler in dependence on the nobility..To warriors, whether permanent or transitory, is one of the most elementary social
maintain the nobility as a distinguishing class, and thus to presef\'e the balance preconditions of every major movement of civilization. And however little
and tension between nobility and bourgeoisie. to allow neither estate to grow coo importance che social formation of the court ma\' at first sight have for our
strong or too weak: these were the fondamemals of royal policy present life, a certain undersrnncling of the structure of tht court is indispensable
The nobiliry-and che bourgeoisie, roo-were not only dependent on the in comprehending civilizing processes. Some of its structural characteristics may
king: the king depended on the existence of the nobilin Bm wichom doubt the also throw light on the life at centres of power in general
dependence of the individual noble on the king was grearer than
that of the king on any individual noble: chis is verv clear/\' manifested in the
relation between king and nobility at court. - . v
The king was not only the nobility's oppressor, as pan of the courtly nobility
felt; nor was he onlv their preserver as large seccions of the bour"eoisie believed
The Muting of Drives:
he was both. And- the court, the;efore, likewise both: an institution fo; Psychologization and Rationalization
taming and preserving the nobility. "If a noble ... La Bruyere says in a passage on
the court, "lives at home in the provinces. he is free. but without support; if he '"Life at court", La Bruyere writes, 1.; "is a serious, melancholy game, which
lives at Court, he is protected, bm a slave ... In many respects this relationship requires of us that we arrange our pieces and our batteries, have a plan, follow it,
resembles chat between a small independent businessman and a high employee in foil chat of our adversary, sometimes rake risks and play on impulse. And after all
a powerful family concern . At court a pan of the nobility found che possibility our measures and meditations we are in check, sometimes checkmate."
of Ii,ing in accordance with their Status: but the individual nobles were not now, Ac the court, above all at the great absolmist court, there was formed for the
The

tirsr rime a kind of sucier\ and human relarionships ha\ing srrucrural ;\. rmrn who knows rhc courc is master of his gcscures. of his tyes and his expression:
""""l[t-r..
isrics which from nmY on. o\er a long srrerch of \Vesrern hisrory and ht is deep. impenetrable. Ht: dissimulacts chc bad turns he docs. smiles ac his enemies.
many variarions. again and again play a decisin: parr In rhe midst of a his disguises his passions, disaYows his heart. acts at:ainsr his
popuLm:d .irta which by and large is free of physical Yiolenct. a '"good
formed Bur even if rhe use of physical \iolenct now recedes from human
course. if ewn duellinr.: is now forbidden. people nm\ extrr pressure and force The transformarion of rht nobility in the direction of "civilized" behaviour is
' on
each other in a wide varitry of differenr ways . Lite in rhis circle is in no way unmistakable Here, it is not \et in all rtspecrs so profound and all-embracing as
Very many people are conrinuously dependenr on each orhtL Competition for larer in bourgeois society: for iris only rowards their peers that rhe courtier and the
presrige and royal fa\"Ciur is inrtnst Atfaires. dispmts over rank and favour, do courr lady need to subiecr thtmsehes to such consuainr. and far less so ro\vards
nor cease. If tht sword no longer plays so great a role as the means of decision, it rheir social inferiors, Quite apart from the facr rhat the pattern of drive- and affect-
is replaced lw inrrigue. conflicrs in which careers and social success are contesred control is differenr in courtly from that in bourgeois society, the awareness that
wirh \\ords. They demand and product other qualities rhan did rhe armed strug .. rhis control is exercised for social reasons is more alive, Opposing inclinations do
glts that had rn be foughr om wirh weapons in one's hand Conrinuous reflection nor vet wholly vanish from waking consciousness: self-constraint has not yer
foresighr. and calcularion, self-conrroL precise and arriculart regulation of one'; so completely an apparatus of habits operating almosr auromatically and
own affects. knowledge of rht whole terrain, human and non-human. in which one including all human relationships. Bm iris already quite clear how human beings
acts. btcumt more and more indispensable prtcondirions of social success, are becoming more complex. and internally split in a quire specific WlY Each man,
Every individual belongs to a "clique. a social circle which supports him as it were. confronts himself He conceals his passions". "'disavo\\"S his heart",
\\hen necessary: bm rht groupings change Ht enters alliances. if possible with "aces against his feelings The pleasure or inclination of the moment is restrained
[toplt ranking high at court . Bm rank at courr can change very quickly; ht has in anricipation of the disagreeable consequences of its indulgence: and ir is,
rirnls: ht has open and concealed enemies. And the tactics of his srruggles, as of indeed, the same mechanism as that by which adulrs-wherhtr parents or other
his alliances. demand c1reful consideration. The degn:e of aloofness or familiarity persons-increasingly instil a stable super-ego" in children . The momentary
with tn:rnmt must be carefully measured: each grttring. each conn:rsation h;s dri\e and affect impulses art, as ir were. held back and masrtred by the fore-
a significance on:r and abon: what is actually said or clone. They indicate the knowledge of the later displeasure. by rhe fear of a future pain. until this fear
standing of a person: and they contribute ro the formation of court opinion on finally opposes the forbidden behaviour and inclinations by force of habit. even if
his standing: no other person is directly present. and the energy of such inclinations is chan-
nelled into a harmless direcrion nor threatened by any displeasure.
Ld a fovuurice pa) dost hted to himself: for if ht dots noc keep me \lairing as long as
In keeping with rhe rransformarion of society. of interpersonal relationships.
in his anrechan1h::r: if his is n1ore open. if he frowns iess. if he listens co me
rhe affecr-economy of the individual is also rcconstrucrecl: as rhe series of actions
more willing!) and accumpanics me a lircle furcher when showing me our. I shall think
rlur he is. beginning co foll. and I shall bt right : ' and rhe number of people on whom the individual and his anions constantly
depend are increased, the habit of foresight mer longer chains grows stronger.
The court is a kind of stock txchange: as in every good socitry . an estimate And as the behaviour and personality srrucrurt of the individual change. so does
of the value of each indi\idual is continuously being fi:irmed . Bm hert his value his manner of considering others. His image of them becomes richer in nuances.
has its real foundation not in rhe wealth or ewn rht achievemems or ability of freer of spontaneous emotions: ir is psychologized
rhe individual. bm in rht favour ht enjoys with the king. the influenct ht has \Vhere the structure of social funcrions allows the individual greater scope for
with other mighty ones, his importance in rhe play of courtly cliques, All this, actions under the influence of momentary impulses than is the case at courr, it
fa\our, influence. importance. this whole complex and dangerous game in which is neither necessary nor possible to consider very deeply rhe nature of another
physical force and direct affecti\e ombursrs are prohibited and a threat w person s consciousness and affects. or what hidden motives may underlie his
txisrence. demands of each participant a constant foresight and an exact behaviour If at court calculation meshes with calculation, in simpler societies
kncl\\ledge of e\try orher. of his posirion and rnlut in the network of courtly affect directly engages affecr . This strength of the immediate affects, however.
opinion: ir exacts precise attuntmtnt of his own behaviour ro this value. Every binds the individual t0 a smaller number of behavioural options: someone is
mistake. ewry careless srep depresses the value of its ptrperrator in courtly friend or fi:)e, good or evil: and depending on how one perceives another in terms
opinion: ir may rhreattn his whole posirion at court of these black and white affecti\e patttrns, so one behaves, Everyrhing seems
-iOO The Cil'ilizing PmC1:ss State For11h!fi()Jl cllld Ciri/i:atir111

direcdy relaced co fte!ing. Thar che sun shines, or lighrning flashes, that This courdy arc of human observacion-unlike whac we usually call "psycho-
laughs or knirs his brow, all chis appeals more direcd\ co the . V _ c logy" wday-is never concerned with the individual in isolation, as if che essential
, . .. A ! . . . . a recr, or th
percener. nc as ic exc1ces him here and now in a friendlv or unf !l e fuicures of his behaviour were independent of his relations ro others. and as if he
! . . _. . . nenc v way h
C<hts IC as it H were meanc chis \\'a\ tspeciallv for him Ic does noc e 11 , . " e related to others. so to speak. only retrospeccively. The approach chert was far
l. . . . . cer nis
c uc all chis. a tlash or lighrnmg char a!mosc scrikes him, a fac(:c chac offends h' closer ro realicy, in thac che individual was always seen in his social comexc, as Cl
are to be explained by remore conneccions char have noching direcdv d im, i11 his reftlfi()llJ tr1 others, c1s till i11di1idi!c1! i11 ti social sit11c1tio11.
.
l1imse l- p L ro o With

ht!Jlic/I/
t. eople only develop a more long-si uhted view of nicure anc! orh.
L "' ' le was pointed om above 1- chat che precepts on behaviour of che sixceenth
people co the extenc that the advancing division of functions and their er cenrury differ from chose of che preceding centuries less in cerms of cl1eir contem
involvement m long human chains accustom them co such a view and ,
" . f l " . f. . . . . a .sreater rhun in cheir tone. their changed affective acmosphere: psychological insighcs,
restraint o c ie ,1 ftcts. Only then is the veil whICh the passions draw bJ
, . . l l . l. f. I cl . e10re the personal observacions. begin to play a larger pare A comparison becween che
I':} es s ow } I tee. an a new world comes into view-a world whos. .
f , !l - l - . . . e course 15 precepcs of Erasmus or Della Casa and the corresponding medieval rules shows
nenc 1 or 1osn 1e co the rnd1v1dual person wichom being intended c b-
l . r l L o e so, a rhis clearly.. Invescigation of che social changes of chis time, the cransformation of
cum o e\ ents c uc need co be contemplaced dispassionacel 1 over lon" st . h.
r l
1 c 1e1r connecnons are co be disclosed.*
. "' re.re e< human relacionships chat rook place, provides an explanacion. This "psychologiz-
arion" of rules of conduct. or, more precisely, cheir grearer permeacion by
Like conduce generally, che percepcion of rhinus and j)eOJJle ilso b
, ,-.- - . l . . _ 0
ecomes obserYacion and experience, is an expression of the acceleraced courcizacion of che
.trreccn: } more nemral m the _course or che civilizing process. The ''world
upper class and of the closer integracion of all pares of society in chis period.
p1crnre gradually becomes less d1recdy decermined by human wishes and fears
Signs of a change in chis direccion are certainly not ro be found only in writings
and more scrongly onenrnted to what we call "ex1)erience" or "che emi)ir I" '
. . . . . recording che standard of "good behaviour" of che rime: we find chem equally in
sequence_s w1ch che1r own immanent regularicies Jusc as coday, in a further spurt
works devored to che emerrninmem of chis class . The observacion of people thac
md11s che_course or history and sociecy is gradually emerging from the
lite in the courdy circle demanded finds ics licerary expression in an arc of human
misesI - of persona! aHects and involvement from the lnze ' of collcri\
c
..e long1ngs

anc fears, and beginning ro appear as a relacively autonomous nexus of ;0 porcrai cure.
roo with nacure and-within smaller confines-wich human beinns le The increased demand for books wichin a sociecy is itself a sure sign of a
. l l . c- . \\as
pronounced spurc in the civilizing process: for che transformation and regulacion
part1cu ar Y m the circles of courc lift char whac we would codar call
"psychological., human self-image developed, a more precise obser;acion of drives char is demanded both to write and read books is always considerable.
ochers and oneself in cerms of longer series of morives and causal conneccions. Bm in courc society the book did nor yer play quire the same pare as in bourgeois
because It was chere char vigilam self-control and perpecual obsen-acion of sociery. In the former, being in company. che marker in which prestige was
wen:. among die elemenrnry prerequisices for che preservacion of one's social ernluaced. formed che centre of exiscence for each indi\idual: books. coo. were
posmon. Bm chis is only one example of how whac we call che "oriemarion r imendecl less for reading in che swdy or in solirnry leisure hours wrung from
. .. 0
expenence : che observacion of evems wichin a lengchening and broadening one's profession, than for social conviviality: chey were a pare and continuation of
nexus ot slowly began ro develop ac exaccly che poim \Vhere the comersacion and social games, or, like the majoricy of courc memoirs, they were
or sociecy icself compelled che individual co restrain his momentary subsciwte conversacions, dialogues in which for some reason or other che parmer
,itfeccs ,rnd uanstorm his l1b1d111al energies ro a higher degree. was lacking . The high arc of human porcraiture in courc memoirs, lecrers or
_ Saint-Simon in one place obsen-es someone with whom Lhe is on an uncertain aphorisms elms gives a good impression of the complex human observation
footing. He describes his own behaviour in this sirnacion as follows: inscilled by courdy life. And here, as in many ocher respects, bourgeois sociecy
in France developed che courdy herirnge with a singular continuicy. The
I soon noriced rhar he was 'i_:rowin"
-- o colder I close!\. t-ollo\\"ecl }i's - I ucc
1 con( - roward s me
persiscenct of a Parisian "good sociecy", as beneficiary and further developer long
ro_ avoid 'rny confusion between whar mighr be accidenrnl in a man burdened wirh
beyond che Revolucion and up co che present day of che inscrumems of prestige
pnckly afiairs. ancl \\har I suspecred. My suspicions were confirmed. me ro
wnhdraw from him emirely wirhom in rhe slighresr appearing ro do so ;r, ' developed in courc society, may have comribmed to this. Ac any rate, we can say
thac from the portraits by Saint-Simon and his comemporaries of courc people to
"Problems of fnvnlvc:menr and Dtrnchmenr the porcrayal of the "high sociecy" of the nineceemh century by Proust-by way
[.\!!thflr'.I 1Jr1h /11 !ht !rdJJY!a:ilill] of Balzac. Flaubert, Maupassant and many others-and finally to the depiccion of
-i0.2 -i03

the lifr. of broader classes b\ \Hi ters such as Jules Romains or Andre , raux diJt moulding by which the libidinal cemre and the ego-cemre are more and
and in a !awe , number of French films. there is a direct line of tra'u1tion 1 ' J1lore sharply differemiated. umil finally a comprehensive, stable <1!1d highly
characrerized by pre_cist!y this lucidity of human observation. this capacity to difierenciated agency of self-conscraim is formed. Thtre is not acrnally a ratio
people rn their em1rt soC!al comtxt and w understand chem through it. Th (reason), there is at most .. rationalization
individual figure is never artificially isolated from the fabric of his or her Our habits of thinking incline: us w look for beginnings; bm there is
existence. simple dependence on others. This is why che atmosphere and nowhere in the: developmem of human beings a "point .. before which one could
plasticity ot real experience is ne\er lost in the descriptions. sav chat hitherrn there was no ratio and now it has arisen .. : that hitherrn there
And much the same chat can be said of this psychologization applies also to no self-conscraims and no ''super-ego" and now, in this or chat cemury, they
the .. rationalization which slowly becomes increasingly perceptible from the are suddenly there. There is no zero-poim rn any of these darn . Bm it does no
sixceemh cemury onwards in the most rnried aspects of society. This, roo, is nor J1]ore justict w tht facrs rn say: everything was always thtrt as it is now . The
an isolated face; it is only 1111< expression of the change in the 1/'holc personality habics of self-constrnim, the organization of consciousness and affects of .. civil-
chat emerges at this time. and of the growing foresight that is from now 00 ized .. people. clearly difftr in th1:ir trittdit) from those of so-called .. primitives;
required and instilled by an ever-increasing division of social functions. bm both are, in their structure. differem yet clearly explainable mouldings of
Here, as in many other instances, understanding socio-historical developments largely cht same narnral functions
requires a suspension of the habits of thinking with which we have grown up. Traditional habits of chinking cominually confrom us with static alternatives;
This ofren-noted historical rationalization is not something that arose from the they ,ue schooled, in a sense, on Eleacic models: we can imagine: only numerous
fact that numerous unconnected individual people simulrnneously de\eloped individual points. separate abrupt c!Mnges, or no change at all. And it is clearly
from "within", as if on the basis of some pre-esrnblished harmom. a new or(!an still very difficult w set ourselves as located in a gradual. cominuous change with
or substance. an "understanding" or reason" which had not ex.isted hithe;to. a particular scrucrnre and regularity, a change which is lost rn our gaze in the
\Vhat changes is the way in which people are bonded ro each ocher. This is whv darkness of the more disrnm past, and as pare of a movemem which, as far as is
their behaviour changes, and why their consciousness and their drin:-tconom;, possible, should be seen as a whole, like the flight of an arrow or cht flow of a
and. in fact. their personality strucrnre as a whole, change. The river, not as the recurrence of always the same thing at differem poims or as
which change are not something which comes upon men from .. outside'': they are something that jumps from poim w poim. \Vhat changes in the course of the
the relationships bttween people chemselve:s process which we call hisrnry are, w reiterate, the reciprocal relationships, the
The human person is an extraordinarily malleable and variable bting. The figurations, of people and the moulding the individual undergoes within them.
changes in human disposition being discusstd here art examples of this Bm at the very momem when chis fundamemal hiswricicy of human beings is
malleability. It is by no means confined to what we gentrally distinguish as the clearly seen, wt also perceive the re:gularity, the scrucrnral characteristics which
.. psychological .. from the: .. physiological .. The: physis". wo. indissolubly linked remain consrnm Each single aspect of human social lift is comprehensible only
w what we call the psyche'', is rnriously moulcltd in the course of hiswry in if see:n in the comexc of chis perpe:rnal movemem: no particular dtrnil can be
accordance \Vith the network of dependencies that extend throughout a human isolated from it It is formed within chis moving comexc-which may stem slow,
life. Ont might think. for example. of the moulding of tht facial musclts and as in the case of many primitive peoples, or rapid, as in our own-and must be
thus of facial exprtssion during a person s lifetime. or of the formation of reading grasped within it. as a pan of a ]Xlfticular srnge or wave. Thus social drive-
or writing cemres in the brain. The same: applies w what we refer rn by the conuols and restrictions are nO\\here absem among people, nor is a cerrnin
reifying terms "reason .. , .. ratio .. or .. understanding None of that exisrs-though foresight; bm these qualities have a form and degree among simple herdsmen or
our use of words suggests ocherwise:-relatively unrnuched by socio-historical in a warrior class different from chose found among courtiers, state officials or
change. in the way rhat. for example. the heart or srnmach exists. Rather. these members of a mechanized army. They grow more powerful and more complete
terms express a particular moulding of the whole psychic economy: they are the greater is the division of functions. and drns the greater the number of people
as peers of a moulding which cakes place very gradually. repeatedly advancing and w whom the individual has to acrnne his or her actions. Likewise. the narnre of
slipping back, and which emerges more strongly the more cltarly and rnrally the "undtrsrnnding .. or chinking w which an individual is accusrnmed resembles
spomaneous impulses of the individual chrtaten rn bring about-through the or differs from that of ocher people in his society rn the same excem as his own
strucrnre of human dependencies-loss of pleasure. decline and inferiority in social si rnacion and function and chose of his pa rems or the most importam
relation rn mhers. or even the ruin of one's social existence . Thev are aspects of influe:ncts moulding him rtsemblt or differ from chose of others. The foresight
-i04 Thu Cil'ili:::i11g Pmccrs Surt Fom111tio11 and Ciri!i::dtion 405

of dare co oppose rhe clear will of rhe knighrly leader. "Lord'. he cried. "!shall die ar your
_ the primer_or the finer is different from
_ that of the book-keeper' the en"in
o eers,
trom that ot the sales director. che hnance minister"s from that of the feer.
,\lonrmorency was recognizable by a scallion splendidly adorned "irh reel. blue and
commander. even though all these different surface mouldings are ro an extent
dun btrhers Ir was only a small group of foilowers who leapr wirh him owr rhe dirch
equalized by the interdependence of functions. Ar a deeper level, the moulding
They rnr down everyone who was in rheir way. barding forward unril rhey finally
of rnr_i_onaliq: and affects in someone who has grown up in a working-class family
,1 rrived in fronr of rhe enemy's acrual posirion. There rhey were mer by close and rapid
is different trom that m someone who grew up m secure, well-to-do surround-
musker fire: horses and men were wounded and killed. Counr Rieux and mosr of rhe
ings. And finally. the patterns of rationality and affects, the self-images and drive ochers fell: rhe Due de ,\fonrmorency. wounded. fell from his srricken horse and was
economy of the Germans. the English, the French and Italians differ in keepin,
with their different hiscories of interdependence, and the social moulding :r caken prisoner

Richelieu had him cried, certain of the outcome, and soon afterwards the last
people in the \vest as a whole differs from that of Orientals. But all these
differences are comprehensible precisely because the same human and social Montmorency was beheaded in the courtyard of the town hall of Toulouse.
regularities underlie them. The individual differences zcithi11 all these groups, To give way directly ro impulses and nor to rake thought of the further
such as those of "intelligence", are merelv. nuances within a framework of verv, consequences was, in the preceding phases when warriors could compete more
specific hiscorical forms, differentiations for which a society offers greater or freely with each other, a mode of behaviour which-even if it led to the downfall
lesser scope depending on i rs structure. Thus, for example. the hazardous of the individual-was adequate ro the social structure as a whole and therefore
business of highly individualized independent thought. the stance by which a ro "reality". Martial fervour was a necessary precondition of success and prestige
person proves himself to be a "creative intelligence", does nor have only a very for a man of rhe nobility \virh advancing monopolization and centralization all
special individual "natural talent" as a pre-condition Ir is only possible at all that changed.
within a particular structure of power balances; its precondition is a quire The different structure of society now punished affective ourbursrs and actions
specific socicd stn1Lt11re. And it depends further on the access which the individual lacking the appropriate forethought with certain ruin. And anyone who did nor
has, within a society so structured, ro the kind of schooling. and to the nor very agree with the existing stare of affairs, with rhe omnipotence of the king, had ro
numerous social functions. which alone permit his capacity for independent change his ways. Let us listen to Saint-Simon. He, roo, scarcely more than a
individual thought to develop. generation after Montmorency, was and remained throughout his life a duke in
Thus the foresight or "thought" of the knight is different from that of the opposition. Bur all he could do was form a kind of faction at court; if he were
courtier. A scene described by Ranke 18 gives a good impression of how the skilful he could hope to win over the king's successor, rhe Dauphin. ro his ideas.
typical personality structure of knights was doomed by the growing monopoliz- Bur this was a dangerous game at the court of Louis XIV, demanding utmost
ation of force. More ge'lerally, it provides an example of the way in which a camion. The prince must first be very carefully sounded our and then gradually
change in the structure of social functions enforces a change of conducL The Due guided in the desired direction . Saint-Simon describes his tactics in a conversa-
de Montmorency. the son of a man who had played a major part in the victory tion with the Dauphin as follows:
of Henry IV. had rebelled. He was a knightly, princely man, generous and ,\fy principal inrenrion was w sound his opinion on everyching char concerned our
brilliant, brave and ambitious. And he served the king; bur that power and the digniry.. I rhus rnok care genrly w break off all discussion char led away from chis goal.
right ro rule should be confined ro the L!tter or, more precisely, ro Richelieu, he co draw the conwrsarion back and conduce ir rhrough all rhe differenr chaprers rhe
neither undersrood nor approved So, with his followers. he began ro fight Dauphin. eagerly arrenrive. appreciared all my argumenrs became hearecl and
against the king, as in old rimes knights, feudal lords, had often fought against groaned ar rhe ignorance and lack of reflection of rhe King. I did little more chan
each other.. There was a confrontation . The king's general, Schomberg, was ma mention all chese differenr subjeccs in presenring chem successively ro che Dauphin.
tactically weak position. This, however, Ranke tells us: and then followed afrer him. leaving him rhe pleasme of miking, showing me chat he
was educared. I lee him persuade himself, work himself up, grow angry, while I was
was an advanrage ro which J\fonrmorency paid bm linle arrenrion: seeing rhe enemy able w see his feelings. his way of thinking, and co gain impressions from which I
army. he suggesred co his friends char rhev should anack ,,irhour delay for he could profit I sought less co press my argumenrs and parentheses chan gendy
undersrood war primarily as a brave cavalry charge. An experienced companion. Count and firmly co imbue him with my feelings and views on each of rhese
Rieux. begged him w wair unril a few guns char were being drawn up had shaken the subjeccs. I"

enemy's posirion. Bur ,\fonrmorency ,,as already gripped by a belligerenr frenzy. There
was no more rime co lose. he said. and his advisor. rhough foreseein!' disasrer. did nor This brief sketch of the attitude of these two men. the dukes of Montmorency
-i06 Th, P;r1(r.:JS

and Saim-Simon. when giving expression to their opposition ro the hiswrian And bemuse rhe hisrorian. preoccupied by what he calls facts, avoids
omnipotence. helps rn complete our picrnre. The former. one of the last psychological problems, he on his side has lirrle ro say ro rhe psychologist
seeks rn. reach his goal Lw physical combar: the larrer: rhe courtier, b, The siruarion is lirrle better wirh sociologi. As far as it is concerned at all wirh
conversanon . 1 ht former acrs trom impulse wirh lirrle rhoughr of others; hiswric1l problems. it accepts enrireh rhe dividing line drawn by the hisrorian
Lurer ptrptruallv adiusrs his btlun-iour co his interlocutor. Borh. nor between tht seemingly immurable psychological srrucrure of humans and its
Monrmorency bur Saim-Simon roo. in a highly dangerous situation. The different manifrsrarions in the form of arts, ideas or whatt\tr. Thar an historical
social psychology. a srndy ar once psychogentric and sociogeneric. is needed to
Dauph111
. can always
.. . break rhe rules of courrlv, conwrsatiorr. he cm ' . 1rr I1t. so
wishes, break oft rhe conversation and rht relationship for am reason he chooses drcrn' rhe connections between all rhtst different manifesrarions of social human
and lose very lirrle; if Saint-Simon is nor verv cartful. he rnn di\ine the cl k : beings. remains unrecognized. Those concerned with the history of society, like
. . . u es chose concerned wirh intellecrual history, percei\e "sociery" on rhe one hand and
sedmous rhoughrs and inform the king ,__ Montmorencv. hardh- renisters
c - tne
1

danger; he is wholly bound by die straigluforward behaviour his passion dictates the world of "ideas" on the orhtr as rwo different formations char can be
he seeks to overcome clanger precisely by the fury of his passion. meaningfully separated. Borh seem to believe rhar rhert is eirher a socierv
perceives the exact compass of the clanger; ht thus goes to work with utmost se!f- outside ideas and thoughts, or ideas outside socitry. And rhey merely
conuol and forethought. He seeks to attain nothing by force; he works with a which of rht two realms is more "important": some say thar it is society-iess
longer view. He holds back, in order to "imbue the other imperceptiblv but ideas which set society in motion, and rht orhtrs rhar ir is an idea-less society
enduringly with his frtlings that moves ideas
\\That we have in rhis autobiographical anecdote is a very re\ealing piece of The civilizing process and, within ir. such rrtncls as psychologizarion and
rhar m11!l-ratio11t!lit) which-though this is not generally appreci,1rtd-played a rationalization. do nor fir into chis kind of scheme. Even in thought they simply
no less important part, and ar first an e\en more important one. rhan rhe urban- cannot be separated from rht historical change in the srrucrure of interpersonal
commtrcial rationality and foresight insrilltd by functions in the trade network, relationships. Ir is quire pointless to ask whether the gradual transition from less
in rht development of whar wt call rht "Enlightenment" But. certainlv, rhese w more rational modes of rhoughr and conduct changes society; for chis process of
two fr>rms of foresighr-rht rarionalizarion and psychologizarion of the ,courtly rarionalizarion, like rhe more all-embracing process of ci\ilizarion, is irstlf borh
group of the nobility and rhar of rhe leading middle-class groups-however psychologirnl and social. But ir is equally meaningless to explain rht civilizing
different in rheir pattern, dewloped in close conjuncrion wirh each other, They process as a "supersrrucrure" or ''ideology", i.e. solely from irs function as a weapon
indicate an increasing internvining of nobilirr and bour<'eoisie in rhe struggle between particular social groups and inttresrs.
<-- '-- b . rhe\
. SJ)rin<>b firom
a rransformarion of human relationships throughout rhe \vhole of socitn: rhev The gradual rationalization and. further. rht whole civilizing process,
art connected in rhe closest possible \Yay ro rhe change by \Yhich rht undoubtedly rakts place in constant conjuncrion wirh rhe clashes berwttn
loosely-knit esrares of medieval socien gradually become subordinate formations different social srrara and orher groupings. The rornliry of European society, rhe
in a more centralized socierv. an absolute start. subsrrarum of \\bar is hirherro rhe lasr and scrongesr ci,ilizing spurt, is cerrainly
The historical process of rarionalizarion is a prime example of a kind of process nor rhe peaceful uniry it somtrimes appears in harmonisric patterns of rhoughr.
which hirhtrro has been scarcely grasped or only vaguely grasped by scientific Ic is nor an originally harmonious whole into which-as if by rhe ill-will or
thought. Ir belongs-if we adhere ro rhe rraclirional pattern of academic incomprehension of particular ptople-contlicrs are accidentally inrroclucecl
disciplines-to a science rhar does nor yer exisr. hisrorical psychology In rhe Rather. tensions and struggles-as much as the mutual of ptople-
present srrucrure of scholarly research a sharp dividing line is generally drawn are an integral parr of irs srrucrnre; they decisively afftcr rhe direction in which
berween rhe work of the historian and of rhe psychologist.. Onh- \Vesrern people it changes U ncloubteclly, a civilizing spurt can rake on considerable importance
living ar present appear in nttcl of or accessible to psychological invesrigarion, or as a weapon in these struggles. For habirnarion ro a higher degree of foresight
ar mosr also so-called primitive peoples li\ing roclay Tht path leading, in and greater restraint of momentary affects-to recall only rhest rwo facers--can
\Vesrern hisrnry itself, from tht simpler. more primitive psychological srrucrure give one group a significant advantage over another. But a higher degree of
ro rht more clifftrentiared one of our clay remains in rhe dark . Precisely because rarionaliry and drive inhibition can also, in certain sirnarions. have a debilitating
rhe psychologist thinks unhistorically, because he approaches rht psychological and adverse effect. "Ci\ilizarion .. can be a vtn- rwo-ecl ''tel weapon. And whareveLr
strucrures of present-clay ptoplt as if rhty were something without development its effect may be in particular cases, ar rare spurts in the civilizing
or change. rht results of his imesrigarions are in general of little use to rht process take place by and large incleptnclenrly of whether rhey are pleasant or
ci08 Th, Ciz'ili:i11g Prr;ctSs Stt1te Furme1tio11 mu! Ci1ilize1tio11

useful co the groups involved They arise from powerful dynamics of inter- ideas and forms of cognition, can be gained only if one also rakes into account
weaving group acrivicies the on:rall direction of which anv single
.__ '- ._,
"roup on its
0
rhe changes of human interdependencies in conjunction with rhe structure of
own is hardly able to change. They are nor open to conscious or half-conscious conduct and, in fact, rhe framework of the psychic economy as a whole at a given
manipulation or ddiberace co1wersion inro weapons in the social struggle, far srage of social development.
so indeed than, for instance, ideas. Just like the whole psychic habitus character- The inverse accentuation, with a corresponding limirarion, is quire often co be
istic of a particular srage of social development, so specific traits of civilized found in psycho-analytical research roday. Ir frequently rends, in considering
are at one and the same time a product of and a lever in rhe workings hum<ll1 beings, co extract something "unconscious .. , conceived as an "id" without
ot the larger social process within which individual classes and interests form and hiswry, as rhe most important element in rhe whole psychological structure.
transform themselves. Civilization. and therefore rationalization for example, is Although recently this image may have undergone corrections in therapeutic
nor a process within a separate sphere of .. ideas or "thought .. Ir does nor involve practice. rhese corrections have not yet led ro theoretical elaboration of rhe data
solely changes in "knowledge". transformations of .. ideologies-in shore altera- supplied by practice into more adequate conceptual tools . On the rheorerical level
tions of the cr111t211t of consciousness-but scruccural changes in the entire habitus it still usually appears as if the steering of rhe individual by unconscious libidinal
of people, within which ideas and habits of thought are only a single sector. We impulses has a form and structure of irs own, independently of the figurarional
are here concerned with changes in the form of the whole psychic economy desriny of the individual, rhe changing fortunes of his relationships with ochers
throughout all irs zones, from self steering at the level of the ego--rhe more throughout his life. and independently too of the pattern and structure of the
tlexible level of consciousness and retlection-ro that at the more auromatic and other self-steering functions of his personality, conscious and unconscious. No
rigid level of drives and affects that have become completely unconscious. And distinction is made between the natural raw material of drives, which indeed
ro grasp changes of this kind, the panern of thought summoned ro mind by rhe perhaps changes little throughout rhe whole hisrory of humankind, and rhe
concepts of .. super-structure .. or ideology .. is nor enough
increasingly more firmly wrought structures of control, and thus the paths into
The idea chat the human .. psyche .. consists of different zones functioning
which the elementary energies are channelled in each person through his or her
independendy of each ocher and capable of being considered independently, has
relations with orher people from birth onward. Bur nowhere, except perhaps in
become deeply rooted in human consciousness over a long period Ir is common,
the case of madmen, do people in their encounter with each other find
in thinking about rhe more differentiated personality srrucrure, ro separate one
themselves face to face with psychological functions in their pristine scare, in a
of irs functional levels from rhe ochers as if this were really rhe "essential" factor
srnre of nature rhat is nor patterned by social learning, by a persons experience
in rhe way people steer chemselws in their encounters with their human fellows
of other persons who satisfy or frustrate his or her needs in accordance with a
and with non-human nature. Thus rhe humanities and the sociology of knowl-
specific social setting. The libidinal energies which one encounters in any living
edge stress above all the aspect of knowledge and thought. Thoughrs and ideas
human being are always already socially processed; rhey are, in other words,
appear in thest srudits, so ro speak, as rhe most important anJ porent aspect of
sociogenerically transformed in rheir function and structure, and can in no way
the way people sreer themselves. And rhe unconscious impulses, rhe whole field
be separated from the corresponding ego and super-ego structures . The more
of drive and affecr structures, remain more or less in rhe dark
Bur any invesrigarion rhar considers only peoples consciousness, their "reason" animalic and aurornaric levels of peoples personality are neither more nor less
or "ideas .. , while disregarding the structure of drives, rhe direction and form of significant for rhe understanding of human conduct rhan their controls . \V'har
human affects and passions. can from the ourstr be of only limited value. Much matters, what determines conduct, are the balances and conflicts between
that is indispensable for an understanding of human beings escapes this peoples malleable drives and rhe built-in drive-controls.
approach . The rationalization of peoples intellectual activity itself, and beyond \\/hat is decisive for a human being as he or she appears before us is neither
rhar all the structural changes in rhe ego and super-ego functions, all these the "id" alone, nor rhe "ego" or "super-ego" alone, bur always the re!cttionship
interdependent levels of peoples personalities-as has been shown above and will between these various sets of psychological functions, partly contlicring and
be shown in more derail later-are only very imperfectly accessible ro thought as partly co-operating levels in self-steering Ir is these relationships ll'ithin
long as enquiries are confined ro changes in rhe intellectual aspects of people, to individual people benveen the drives and affects rhar are conrrolled and the
changes of ideas, and pay little regard to the changing balance and the changing socially instilled agencies rhar control them, whose structure changes in the
pattern of rhe relationships between drives and affects on rhe one hand and drive- course of a civilizing process, in accordance with rhe changing srrucrure of the
and affect-control on rhe orher.. A real understanding, even of the changes in relationships bdiceeu individual human beings, in society at large. In rhe course
410 5tdfi: Foni1c1tir111 and Cil'i!i::atirm -111

of [his process, rn pm I[ brittfr and all rno simply. "consciousness" becomes ra.1onillv
' . funnioning ,_ consciousness less direcdv. coloured bv . drive impulses and
l)ermeable bv drives. and dri\es become less [Jtrmeable bv. '"consciousnes" , ifec[ive famasies Thus the form and strucmre of [he more conscious and more
., 111
simpler socie[ies tltmenrary impulses, however uansformed, have easier access to unconscious psychological self-s[eering funnions can never be grasped it [hey are
people's retlenions. In rhe course of a civilizing process rhe companmemalization . a"intd as something in am sense existinl.' or functioning in isola[ion from one
;::i ,_ <...- '-

of [hese self-s[ttrinl.' fim([ions. [hough in no war absolme. becomes mo re 0[!1er. Both are ec1ualh. fundamemal ro [he exis[ence of a human being; bo[h
pronounced roi.:ether form a single grta[ funnional cominuum. Nor can dleir suucrure and
In accordance wi[h [ht sociogene[ic ground rule (set p. xi above) one can be undersrnod if obserrn[ion is confined w individual human beings
observe processes in [ht same direnion in every child rnday. One can see [hat in Thev can only be comprehended in connection wi[h dle scrucrure of rela[ionships
[he course of human hisrory, and again and again in [bar of tach individual people, and wid1 [ht long-[erm changes in [ha[ strucmre.
civilizing process, self-sreering [hrough ego and super-ego funnions on the one Therefore in order ro undersrnnd and explain civilizing processes one needs ro
hand and self-steering through drives on [he o[her become more and more firmly inves[iga[e-as has been anemp[td here-the uansforma[ion of bo[h [ht
d{f/1:1wtiatcd. Hence i[ is only wi[h [ht forma[ion of conscious funnions le;s personali[y suucmre and [he emire social S[rucwre This rnsk demands, :vi[hin
accessible rn drives [ha[ the drive auroma[isms rake on more and more [hat spedfic a sm<1ller radius, psychogwttic inves[igarions aimed a[ grasping [he whole held of
charaner which rnday is commonly diagnosed as '"ahisrnric", as a human character- individual psychological energies, dle suucwre and form of dle more drive-
is[ic [hroughom [ht ages which is purely namral, and independem of [he devel- impulsive no less [han of che more conscious self-s[eering funnions. The
opmtnral condi[ion of human socie[ies. Howner, [he human charaneris[ic explora[ion of civilizing processes demands soci11genttic inves[iga[ions of [he
discovered by Freud in people of our own [ime and conceprnalized by him as a overall structure, wid1in a long-[trm perspenive, not only of a single srn[e
suin division be[ween unconscious and conscious menrnl funnions, far from socie[y bm of [ht social field formed by a specific group of imerdependem
being pan of humans unchanged namre is a resulr of a long civilizing process in societies, and of [ht sequemial order in which i[ changes.
[he course of which the wall of forge[fulness separa[ing libidinal drives and Bm for an adequa[e enquiry imo such social processes a similar corre([ion of
"consciousness" or "retle([ion" has become higher and more impermeable*
uadi[ional habi[S of [hinking is needed ro [he one [ha[ proved necessary earlier
In [ht course of the same uansforma[ion. [he conscious memal functions
w obtain an adequa[t basis for psychogene[ic enquiry.. To undersrnnd social
[hemselves develop in [ht direction of wha[ is called increasing "ra[ionaliza[ion":
srrucmres and processes, i[ is never enough rn swdy a single funnional suatum
only wid1 [ht sharper and firmer differemia[ion of the personali[y do the
wid1in a social field. To be really undersrnod, dlese S[ructures and processes
ounvard-direc[ed psychological funnions rnke on [ht charac[tr of a more
demand a study of [ht r1!ationshijis betu'tf:il tht clij]ere11t jimctirma! stre1tc1 which are
bound rnged1er within a social field. and which, wi[h [he slower or more rapid
'': To undtrsrand this face is rn1t on!: of thton:ticd bur also of pr.Ktica! sit-:nifiuncc Diffcfl:ncts in the
shifr of power-relationships arising from [ht specific suucrure of [his field. are for
txn:nt rn which thinking i:i chargt:J with affects make themseln:s ftlr again and .:gain in the a time reproduced over and over again. J US[ as in every psychogene[ic enquiry i[
rdarionships l1erwten st.ires at difftrenr stages of social devtlopmenr. As a rule. hm\TVL"f. the li:ading is necessary ro rake accoum no[ only of [ht '"unconscious .. or [ht "conscious ..
sr..nt:smtn of highly Jiffon:rniartJ societits dt:vist their srrartgies on the assumption dur the level of funnions alone. bm of [ht cominuous circula[ion of impulses from the one rn [ht
n:.:srrainc. the code of c;rn<lucr. reprtstrutJ by the foreign policy of all counrrics is rht same. \\?irhour
other, it is equally imponam in every sociogene[ic srudy ro consider from [ht
an understanding of rht difftrenr stages of a civilizing process inrerstatt: policy must !lt"cessarily be
somewhat Lmrea!isric Hmn:ver, rn work out fcm:ign policy based on the kml\dtdge of these firs[ the whole jiglfmtio11 of a social field which is more or less differemia[ed and
differentials in afft.-r..-riviry is far from easy. Ir will netd a good deal of experimtnting-an<l of charged with [tnsions . fr is only possible rn do [his because the social fabric and
wisdom-btfort an tffocrive political dialogue and co-operation between societies at different levels i[s hisrorical change are no[ chao[ic bur possess, even in phases of grea[tSt unres[
of development can be worktd out Tht samt applies to those c.1sts in which. under srress. the
and disorder, a clear panern and S[ructure. To inves[iga[e the rnrnli[y of a social
afftcrivity and the fanrnsy charncrer of the foreign policy of one of the more de\eloped countries
increases again to a higher level than regarded at present as normal in the interstate relations of the
field does no[ mean w study each individual process wi[hin ic fr means firs[ of all
leading industrial nation states. N"or are these levels in rhe degree of afftctiviry entirely dependent on rn discover [he basic suucmres which give all [he individual processes wi[hin [his
the difti:n:ntials of the economic or industrial development of countries Thus . in the political field their direnion and dleir specific sramp. fr means asking oneself in wha[ way
strategies of China, for instance. onct can discover a level of stlf-n:straint at k-asr on a par with that
die axes of [tnsion, [ht chains of func[ions and [he instirurions of a society in [ht
of rht most highly developed industrial nations Although in terms of its own economic Jen:lopment
fifteenth century differed from [hose in [he six[eemh or sevemeemh cemuries,
China sri!l lags behind. its stac formation proet:ss in terms or duration and continuit: surpasses that
of most other existinf; start: societies of our time [..-\urhr;rY no!t fo the 1r.nul.11io11] and why [ht former changed in [ht direnion of [he laner. To answer these
-! 12 Tht Ciz'j/j::;jng Prr;(fSJ Srafr For111atifJ11 and Cfrj/j:atjfJ/J

questions knowledge of a \vealrh of particular faces 1s of course necessary. Bu social field and bi:tzm:n rhe competing people within chem Under rhe pressure of
beyond a certain poinr in the accumulation of manorial facts, historio"r" ht rensions of chis kind which permeate the whole fabric of society. the latters
p 1y
b ..
the phase when ir ought no longer co be satisfied with rht collection of whole srrucrnre changes, during a particular phase, in rhe direction of an
rurrhtr particulars and with the description of chose already <1ssembled, increasing centralization of particular dominions and a greater specialization, a
should bt concerned with chose problems which facili race penetration of the righter integration of rhe individual people within chem" And with chis
underlying regularities by which people in a certain society are bound over and cransformarion of the whole social field, the structure of social and psychological
over again w particular patterns of conduce and co very specific funccional chains. fonnions is also changed-first in small, then in larger and larger sectors-in
for example as knights and bondsmen, kings and state officials, bourgeois and the direction of rationalization
nobles. and by which these relationships and mstitutions change in a very specific The slow defunctionalization of the first esrate and the corresponding diminu-
direction. In short. beyond a certain point of factual knowledge. a mor<: solid rion of its power potential. the pacification of rhe second esrare. and the gradual
fram<:work, a structural nexus can be perceived in che multirnde of particular rise of die third estate-none of these can be undersrood independently of the
hisrorical faces. And all further faces rhat can be discovered serve-apart from the ochers any more rhan, for example. rhe development of trade in chis period is
enrichment of the hisrorical panorama they may offer us--eirher co revise rhe comprehensible independently of rhe formation of powerful monopolies of
insight already gained inro these structures, or co extend and deepen it. The physical force and the rise of mighty courts. All these are levers in rhe
statement that every sociogeneric srndy should be aimed at the totc1!ity of a social comprehensive process of increasing differentiation and extension of all chains of
field does not mean that ir should be directed ar the sum of all particulars, bur action. which has played such a decisive role in rhe whole course of \Vestern
ar ics srrucrnre within the entirety of its interdependencies. In the last resort rhe history. In this process-as has been shown from various angles-the functions
boundaries of such a study are determined by rhe boundaries of the inter- of the nobility were transformed, and wirh them bourgeois functions and the
dependencies, or at lease by rhe immanent arricularion of rhe interdependen- form of the central organs . And hand in hand with this gradual change in the
cies. rornliry of social functions and institutions, went a transformation of individual
Ir is in chis light char what was said above about rationalization is to be self-sreering-firsr in the leading groups of both rhe nobility and the
undersrood. The gradual transition co more "'rational .. behaviour and thought, bourgeoisie-in rhe direction of greater foresight and a stricter regulation of
like the transition co a more differentiated, a more comprehensive type of self- libidinal impulses
comrol. is usually associated roday only with bourgeois fi.mcrions . \Xie often find Leafing through the traditional accounts of rhe intellectual development of the
firmly lodged in the minds of our contemporaries rhe idea chat the bourgeoisie \Vest, one often has rhe impression of a vague conception in rhe minds of their
was rhe "'originaror .. or "inventor .. of more rational thought Here, for rhe sake of authors char the rationalization of consciousness, the change from magical-
contrast, cerrain rationalization processes in the arisrocratic camp have been rraditional ro rational forms of chinking in the hisrory of the \Xiesr, had irs cause
described. But one should not deduce from this that the court arisrocracy was the in rhe emergence of a number of geniuses and outstanding individuals. These
social "originaror .. of chis spurt of rationalization. J use as the court arisrocracy or enlightened individuals, such accounts appear ro suggest, caught \Xfesrern man
the bourgeoisie in the age of manufacturing did not have originarors in any
00 00
how ro use his innate reason properly"
other social class, so this rationalization equally lacked an originaror. The very Here, a different picture emerges. \X!har rhe great thinkers of the \Vest have
transformation of the whole social strucrnre, in rhe course of which these achieved is certainly considerable. They gave comprehensive and exemplary
figurations of bourgeois and nobles come into being, is itself. considered from a expression ro what their contemporaries experienced in their daily actions
cerrain aspect, a rationalization . \X!hat becomes more rational is nor just the without being able co grasp it clearly in thought They tried ro articulate the
individual products of men, nor, above all, merely the systems of thought set more reality-oriented or, in their own language, more rational forms of chinking
down in books. \X!hat is rationalized is, primarily, the modes of conduct of which had gradually developed along with the overall changes in the srrucrnre of
certain groups of people. '"Rationalization"' is nothing other-chink, for example, social interdependencies, and with rheir help tried ro the problems of
of the courrization of warriors-dun an expression of rhe direction in which the human existence. They gave ocher people a clearer view of their world and
moulding of people in specific social figurations is changed during this period. themselves. And so they also acted as levers within the larger workings of society.
Changes of this kind, however, do not "'originate in one class or another, but They were ro a greater or lesser degree, depending on their ralent and personal
arise in conjunction with the tensions bet1m:11 different functional groups in a situation, interpreters and spokesmen of a social chorus. But chey \Vere nor on
-i I-! i 15

their own the originarnrs of the rypt of thoughr prernlc-nc rn rheir socitty. . ticalh re1Jroduced in the individual on certain occasions lw force of habit.
. 11ron1a . . 1

did nor crtate what we mil .. rarional thought .. ':' suptrticiallv. it is fear of soci,11 degraclatwn. or. mort generally'. or
This txpression itself is. as can be seen, somewhat coo scatic and .,CJjJles esrnres of SUjJeriorin But it is a form of displeasure or tear which
0 rber pc "' . . .
difftrtntiated for \1hat it is inttnded w express. Too srntic, because " -liiri,.terisricil 11 on those occasions \\-hcn a jJerson who fears la1 s111g into
1

ans es c , ' '"" '., - .- . . . -


of psvchological funcr1ons changes as slowlv or as ra1Jiclh as that of 50c1a l inferiority can avert this danger neJthtr lw direct physical means. nor_ b) an)_
- - L L

tunccions . Insufficiently cliffrrenciated because the pattern of rationalization, the .,r form of attack. This detenctlessness a."arnst the suptr10nry of orhe1s. th1'
or 11 c . . l .. 1
strL1crure of more rational habits of thinking, was and is very different in
ror,1 l e.'Xj1 osure w them does not arise directly from
. . a threat from the p 1) sirn
ditttrent social classes-for instance. in the court nobiliff. or rhe lead
' 1fltt
q;-eriority of othtrs acrnally present. although it doubtless has irs origins in
bourgeois srrnrn-in accordance wid1 rheir different social functions and compulsion. in the bodily child/n h1ce"ot. ns p'.irem:
overall historical siwarion. And finalh-. . the same is true of rarionalizatiou ,as 1..,..as or teachers. In adults. however. this derencelessness. results. riom the Lier that the
said abow of changes of consciousness in general: ir represents only 011c sick of a eople whose superiorit\ one fears are in accord with ones own super-ego. wlth
more comprehensin: change in the wholt social personality. Ir goes hand in hand agency of self-constraint implanttd in the indi\idual by others on whom he
with a corresponding transformation of drive srrucrures Ir is, in brief, was dependent, who possessed power and superiority over him. In keepmg with
manifestation of civilization among others rhis, rhe anxiety that we call "shame .. is heavily veiled to the sight of others:
however strong it may be. it is never directly expressed in noisy gestures Shame
rakes on irs particular coloration from the facr that the person feeling ir has done
VI or is about to do something through which he comes into contradiction with
people to whom he is bound in one form or another. and with himsdf, \\-ith the
Shame and Repugnance sector of his consciousness by which he controls himself. The conflict
in shame-fear is nor merely a conflict of the individual with prev,1lent social
No less characteristic of a civilizing process than .. rationalization .. is the
opinion: the individual's behaviour has brought him into conflict wid1 the part
peculiar moulding of the drive economy that we call "shame .. and repugnance"
of himself that represents this social opinion. Ir is a confl1cr wid1m his own
or "embarrassment.. Both these. the strong spun of rationalization and rhe (for
personality: ht himself recognizes himself as inferior.. He fears the loss of the lovt
a time) no less strong advance of the threshold of shame and repugnance that
;>r respect of others. to which he attaches or has attached value. Their attitudt has
became more and more perceptible in the habitus of \Vestern peoplt broadly
precipitated an attitude within him that he auromarirnlh . towards
speaking from the sixteenth century onwards. are different sides of the
himself This is what makes him so defenceless against gestures of supenonty by
transformation of the social personality structure"
others which somehow trigger off this automatism within him
The feeling of shame is a specitic excitation. a kind of anxien- which is
This also explains why rhe fear of mrnsgression uf soci,il prohibitions cakes on
more cltarh the character of shame the more completely external constraints
w.rning sypri:macy of rhe Church, chc changinf! balanct: OI. power berwctn and stcu!ar
pricscs and Ltniur of rhc larci::r opcn::d rht: w,1y to tor w.b, in other
han: been into self-resrraims by rht structurt of society. and tht more
\\urdC'l, che ;n;;, 1:1)1,' ofl chc secu!ariz.:cion (if wirhour which at! that (lfll' means if comprehensin: and differentiated the ring of self-restraints has become within
one srieak:-; uf r.itionaliz.nion' could nor h:t\'t: come !nm its own. The ll(Jt (111h of one but which a persons conduet is enclosed. The inner tension. the excitement that is
uf a \\ho!:: ,:...;rnup of tighcl1 or,L:anizcd and com per lar,t.:c territoriJl state::-, ruled h:. 't:cubr princes aroused whenever a person fetls compelled rn break out of this enclosure in any
which is one of the major ch.1r.1cterisrics ot rht: de\ elopmt:nr or Eurnpe ,,as or1t: facw:.-
place. or when he has done so. varies in strength according to the gnniry of the
in ir: che growch of large urban markt:cs and long-disrnnce cr.ide and che ,L::rnwch of capirnl
indispt:nsabk for ic was anot:H:r. t\ whole comt""ltx cl social lc\'crs-levcrs ot" '"r.iti(lnalization"- social prohibition and the degree of self-constraint In ordinary life we rnll this
worked in rht direction o( a strengthening of less affecrin.-. less E111c,1sy-oritntat:.:d of rhoughr excitement shame only in certain comtxts and above all when it has a certain
and t:Xptrienct. The grt:ac inrt:llecrual pioneer:>. abme all thl' philoso1""hical pioneers of r<lEional deree of but in terms of its structure it is. despite its many nuances and
thought. chus worked from within a powerful pnicl'ss of social which g<ffe them din:crion, the same e\enr. Like self-constraints, it is ro bt found in a less
bur they themselves Wl'fe also acci\l le\'ers wirhin this movement. nor mere!y its f"'<issi\l- ohjecrs In
m;blt, less and less all-embracing form even at simpler levels of social
focr or1t' has to take into consiJerntion the whok concourse of basic proct:ssts form tht: cort: of rht
ovt:rall devt:lopmenc of socit:ry-basic processes such as tht' long-ttrm proc6s of state furmarion. of
development. Like these constraints. tensions and fears of this kind emerge more
u1pital formation. of difftrt:ntiarion and integration. of oril'.ntarion. of ci\ilizati<in. and orhers. clear!\- with even- spurt of the civilizing process. and finally predominate over
[:\/ifh11r.1 .1 fr, :r.n: !.air,;;} mer rhe physical fear of others. They predominate the more.
-!16 The Stc1tr Formation 1111d Cirili:.atio11 417

che larger rhe areas char are pacified. and rhe more ptople art srnmptd With
Fro m 11ere mam. larue o rrains of rhought lead off in differem direcrions. It
L

mort even consrrainrs char come- rn che fore in socitn when rht 11 s w be shown how chis increased differenriarion wirhin rhe personalin is
remiu _ _ . . . . ,
of rht monopoly of physical violence normally only exercise rhtir comro] as _ t-e<red in a trnnstormaEion ot parr1cular dnves . Above all, 1r remains ro be.
m,,n1 -
were srnnding in rhe wings-rbt furrher. in short. rht civilization of hown bow ir leads w a mmsformacion of sexual impulses and an advance ot
5
adwncts . Jusr as we can only speak of .. reason .. in conjuncrion wirh advances w
1 e feelinus
s1an1 b
in rhe relarions of men and women* Ir muse.
be enough here.
rarionalizarion and rht formarion of funcrions demanding fortsighc and indicare some of rhe main connecrions beEween rhe social processes descnbed
we Gtn only speak of shame in conjunccion wich irs sociogtntsis. wich spurts in .. bove and rhis advance of rhe fromier of shame and repugnance.
which rht sbame-cbresl:old _advances or ar ltasc moves. and in which the " Even in rhe more recenr hisrory of rhe \Xlesr itself, shame feelings have nor
srrucmrc: and parrtrn ot sdt-consrr,1incs are changed in a particular direction.
I a\'S been built imo rhe !Jersonalin- in rhe same way. To mention only one
reproducing rhemselvts rhenctforth in rhe samt form over a grearer or difference. rhe manner in which rhey are builr in is nor the same in a hierarchical
period. Boch rarionalizarion and che advance of che shame and rtl)U<'n" sociery made up of esrntes as in rhe succeeding bourgeois indusrrial order .
o ...,nee
rhresholds are expressions of a reducrion in rhe direcr phvsical ftar of other The examples quored earlier, above all chose showing differences in rhe
beings. and of a consolidarion of rhe aucomaric inner anxieries. rhe constraints developmem of shame on rhe exposure of cerrnin bodily pares;"' give an
which rhe individual now exerts on himself. The greartr. more differentiated impression of such changes. In courdy society shame on exposing cerrnin pans is,
foresighr and long-rerm view which become necessary in order char larger and in keeping wirh rhe srrucwre of chis sociecy, srill largely restricred wirhin esrnre
groups of people mav preserve rheir social exisrence in an increasing or hierarchical limirs. Exposure in rhe presence of social interiors, for example by
d1Heremiaced sociecy. are equally txpressecl in borh processes. Ir is noc difficult to rhe king in from of a minisrer, is placed under no very srrict social prohibirion.
explain how chese seemingly so differem psychological changes art conntcted. anr more rhan rhe exposure of a man before rhe socially weaker and lower-
Both-rhe imensificarion of shame like the increased rarionalizarion-are cliffer- woman was in an earlier phase . Given his minimal funcrional depend-
enr asptcrs of che gro\\ing split in rht individual personaliry rhac occurs with the ence on chose of lower rank, exposure as yet arouses no feeling of inferioriry or
increasing division of funcrions: rhey art differem aspens of cht growing
differemiarion becween drinos and drive-comrols. berween "id' and 'ego" or 'f This parricular problem. imporranc as ir is, mu::;r be lefr aside for the rime being Its elucidarion
.. superego .. funcrions The furrher chis clifferenriacion of indi\idual self-sreering demands a dtScription and an l'xacr analysis of the drnngts which rhe suucrure of the family and the
adrnnces, cht more clearly thar sector of rhe comrolling funcrions which in a ,vhok relarionship of the sexes han: undergone in the course of \\?c:srern hisrnry Ir demands.
broader sense is called che "ego ... and in a narrower rhe "super-ego ... rakes on a funhermon:, a gent::ral study of changes in the upbringing of children and the development of
adolescents. The material which has bttn collecct<l ro eluciJart rhis aspen of rht civilizing process.
rwofold foncrion . On rhe one hand chis secror forms che cenue from which a
:mJ rhe analyses ir made possible ha\e proved rno extensive: they threatened to dislocan: the
person sreers his or her relarions wirh ocher rhings and beings. and on rhe other it framework of this study and will find their place in a further volume
forms che cemre from which a person. pardy consciously and 1x1rrh quirt automat- Tht: same to tht: middle-class line of the civilizinf t'rocess. the change it produced in
ically and unconsciously. sreers and regulares his or her .. inner lift ... his or her own bourgeois-urban cbsses and the non-courdy lanJed arisrncracy. \\/hilt this rransformacion of con<lucr
aHecrs and impulses . The layer of psychological funcrions which. in rhe course of and ;lf
rhe structure of psychological functions is cerrainly connected in thtst: classes. too. with a
specific hisrnrical of rhe uh1,Jc \\!tstern social fabric, nevertheless-as already pointed
rhe social rransformarion char has been described. is gradually difftrenriared from
out on a number of occasions-the non-courdy middle-class line of civilization follows a Jifferenc
rhe drives. rhe ego or super-ego funcrions. has. in ocher words. a rwofold task pauern to the courdy one. Above all. the creatment of sexuality in the fr)rmer is nor rhe samt: as in
wirhin che ptrsonaliry co1u/i1(! at th, .,-t1111t time a J111m.rtic f't1/ic1 t1i1cl ,r rhe latrt:r-partly because of a Jifferenr family structure anJ pardy because of a difftrenr kind of
po/i1y-which. moreowr. are nor always in harmony and quire ofren are comra- foresight which mi<ldle-cl.1ss prottssional funcrions demand. Something similar emerges if the
dicrory. This explains rhe facr char in rhe same socio-hisrorical period in which transformation of\'?esrern rtligion is invtstigmed. The change in religious feeling to which
sociology has paid most attention hitherto, the increased inwardness and rationalization expressed in
rarionalizarion made perceprible adrnnces, an advance in rhe shame and repug-
rhe various Purirnn and Proresrnnt movements. is obviously closely connected wirh cerrnin changes
nance threshold is also ro be observed. Ir also explains rhe face char here, as in dle situation and suucture of the middle classes. The corresponding change in Catholicism, as
always-in accordance wirh rhe sociogeneric ground rule-a corresponding proc- shown for example in the fr)rmation of the power position of tht Jesuits, appears to rake place in
ess is rn be observed even rnday in rhe life of each individual child: rhe racionaliza- clostr touch with the absoluEist central organs, in a manner favoured by the hierarchical and
rion of conduce is an expression of rhe foreign policy of rhe same super-ego cenrmlisr strucmtt of rhe Catholic Chmch. These prnblems. too, will only be solved when we
have a more exacr overall piccure of the intertwining of the non-courtly, middle-class and the courtly
formarion whose domesric poliC\ is expressed in an advance of rhe shame
lints of civilization. leaving asick: for che time being the civilizing movement in worker and peasant
rhreshold
srrara which became e\idenr more slowly and much lacer
-i 18 Stt1h Fon11'!tio11 <111d Cfri/i::11tirr11 -i 19

shame; it can evtn bt rnktn, as Della Casa States, as a sign of benevolence Un ed l)tople grow to minute ges[L!res and forms, and rhe more complex ,

the inferior. Exposure by someone of lower rank before a superior, on the becomes their experience of themselves and their world ar levels __wh1ch were
h''.ncL or ewn before pe_ople of equal rank. is bani_s_hed more and more from social reviously hidden from consciousness through rhe veil of srrong aftects.
!1te as a sign ot lack ot respecc; branded as an oHence. it becomes invested With P To clarify this by an obvious example. "primirivt" ptople experience human
fear And only when the walls between estates fall awav, when the functional 30
J narural tvents within rhe relatively narrow circle which is \'irally important
dependence of all on all increases and all members of society become several ro chem-narrow. becaust rheir chains of dependence are relatively short-in a
degrees more equal. does such exposure. except in certain narrower manner which is in some respects far more differemiarecl than that of "civilized"
become an offence in die presence of '111) other person. Only then is such people. The clifferemiation varies, depending on whether wt are concerned wirh
behaviour so profoundly associated with fear in the indi\idual from an early age, tarmers or hunters or herdsmen. for example. Bm however this may be, it can be
that the social character of the prohibition vanishes entirely from his rrn1<r""- scared generally that, insofar as it is of viral importance to a group. tht ability of
ness, shame appearing as a command coming from within himself primitive people to distinguish things in forest and field, whether ir _be a
And rhe same is rrue of embarrassment. This is an inseparable counterpart of parricular rree from another, or sounds, scents or movements, is more highly
shame. Jusr as rhe laner arises when someone infringes rhe prohibitions of his developed rhan in "civilized" peoplt. Bm among mort primitive people rhe
own self and of society, rhe former occurs when something outside the individual narural sphere is still far more a clanger zone; i r is full of fears which more
impinges on his danger zone, on forms of behaviour. objects, inclinations which ci\'ilized people no longer know. This is decisive for what is or is nor
ha\e early on been invesred wirh ftar by his surroundings until this ftar-in the distinguished. The manner in which "nature is experienced is fundamenrally
manner of a conditioned reflex-is reproduced automatically in him on similar affecred, slowly at rhe encl of the Middle Ages and rhen more quickly from the
occasions. Embarrassment is displeasure or anxitry which arises when another sixreenrh century onwards, by rhe pacification of larger and larger populated
person rhrearens to breach, or breaches, society's prohibirions represemed by areas. Only now do forests, meadows and mountains gradually cease to be clanger
one's own super-ego. And rhese feelings too become more di\erse and compre- zones of the first order, from which anxiery and fear consrandy intrude into
hensive rhe more exrensiw and subtly differentiated the danger zone by which individual life . And now, as the network of roads becomes, like social interde-
rhe conduct of the individw1l is regulated and moulded. rhe further the pendence in general, more dense: as robber-knights and beasts of prey slowly
civilization of conduct advances. disappear: as forest and field cease to be rhe scent of unbridled passions. of the
Ir was shown earlier by a series of examples how. from rhe sixteenth century savage pursuit of man and beast, of wild joy and wild fear, and as rhey are
onwards, the frontier of shame and embarrassment gradually began to advance moulded by intertwining peaceful activities, rhe production of goods, uaclt and
more rapidly.. Htre, too, the chains of thought begin slO\vly to join up, This uansporr: now, to pacified people a correspondingly pacified narure becomes
advance coincided with rht accelerated courrizarion of rhe upper class. Ir was the visible. and in a new way. It becomes-in keeping wirh the mounting
rime when the chains of dependence intersecting in the incli\idual grev: denser significance which rhe eye attains as rhe mediator of pleasure \Vi th the growing
and longer, when more and more people are being bound more and mort closely moderation of rhe affects-to a high degret an object of \isual pleasure. In
rngerher and the constraim towards self-control was increasing Like mutual addition. people-more precisely rhe townpeople for \vhom foresr and field are
dependence. murnal obserrnrion of people increased; stnsibiliries, and corre- no iongtr their everyday background but a place of relaxation-grow more
spondingly prohibitions, became more differentiared; and equally mort subde, sensitive and begin to ste rhe open country in a more differentiated way, ar a
equally mort manifold became the reasons for shame and for embarrassment level which was previously screened off by clanger and rhe play of more
aroused by rhe conduct of others. unmoderated passionso They take pleasure in the harmony of colour and lines,
Ir was pointed om above thar wirh the advancing division of functions and the become open to whar is called the beauty of narure; rheir feelings are aroused by
grearer integration of people, rhe major contrasts between differem classes and the changing shades and shapes of the clouds and tht play of light on the leaves
coumries diminish, while rhe nuances. rhe varieties of their moulding within the of a tree.
framework of civilizarion multiply. Here one encounters a corresponding trend in In the wake of rhis pacification, rhe sensitivity of people to social conducr is
rhe developmem of indi\iclual conduct and semimem. The more the suong also changed. Now, inner fears-rhe fears of one sector of the personality for
contrasts of individual conduct are tempered, the more the violem fluc[L!arions of another-grow in proportion to rhe decrease of outer ones. As a result of these
pleasure or displeasure are contained, moderated and changed by self-conuol, the inner tensions, people begin to experience each ocher in a more differemiared
greater becomes the sensiti\iry to shades or nuances of conduct, rhe more finely way which was precluded as long as rhey constantly faced serious and inescapable
-120 The Ciz'ilizing Profrss Stah forll!alion a11d Cirili::atio11 -i2 l

rhrears from ourside . Now a major part of rhe tensions which were . rhe mere: holding of ir. is avoided wherever it is not entirely indispensable
. l
d 1sc d d. . . ear1ter
1argt irecrly rn contlICts between people. musr be resolved as an in this direction grows .
tension in rhe srrnggle of rhe individual wirh himself. Social life ceases to b This is one example among many of particular aspects of rhe structural
clanger zont in which feasting, dancing and nois\ j)leasurt frequent! e rrans r-0 rnnrion
' or societ\' rhar wt denote bv the _ _ catchword
_ "civilization"
. 'Y and
suddenly give_ way ro ragt, blows murcltr. and _becomes a differenr kind of ,
NOW c
,1 1 -,re in human socierv.
is there a zero-point or tear or external powers. and
clanger zone 1t mdincluals cannot sufficienrlv resrram themselves 1f- rl1e,. nowhere a zero-point of auromaric inner anxieties . Although they may bt
. . . . j touch
sensmve spots, rhe1r own shame-frontier or rhe embarrassment-rhresboid of experienced as very different. they are finally inseparable._ \Vhar rakes place 111 the
or hers. In '.1. sense, rhe clanger zone now passes through rhe self of every course of a civilizing process is nor rhe disappearance or one and the emergence
rnd1ndual. Ihus people become, rn this res1Jecr roo sensitive ro distr'n of rhe other \\!hat changes is merely the proportion between rht external and
. . ct1ons
which prev10usly scarcely entered consciousness. Just as nature now becomes, far 1 ,,
rie -;olf-,icrivarin" c fears and their whole structure. People's foars of external
more rhan earlier. a source of pleasure mecliarecl bv rhe eve. jJeople roo be powers diminish without ever disappearing: the never-abs_ent, latent acrual
come
a source or visual pleasure or, conversely, of visuallv aroused displeasur - anxieties arising from rhe rensron between dnvts and dnvt-control tuncnons
different degrees of repugnance. The direct fear inspired in people by ptopl;b: becomt relatively stronger. more comprehensive and continuous. The doc-
diminished, and rhe inner fear mediated through rhe eye and through rhe super- umenrnrion for rhe advance of rhe shame and embarrassment fronritrs presented
ego is rising proporrionarely in Parr Two of rhis srucly. consists in facr of nothing bur particularly clear and
\Vhen the use of weapons in combat is an everyday occurrence, the small simple examplts of rhe direction and srrucrure of a change in the human
gesture of offering someone a knife ar rable (ro recall one of rhe examples personality which could be demonstrated from many other aspects too . A_ very
mentioned earlier) has no great importance . As rhe use of weapons is rtstricted simibr structure is exhibited. for example. bv rhe transition from the medieval-
more and more, as external and internal pressures make rhe expression of anger Carholic ro rhe Proresrant super-ego formation. This, roo, shows a pronounced
by physical arrack incrtasingly difficult, ptople gradually become more sensitive shifr rowards rhe internalization of fears. And one rhing certainly should nor bt
ro anything reminiscent of an arrack. The very gesture of arrack touches the overlooked in all this: the fact rhar roday. as formerly. all forms of adult inner
danger zone: it becomes disuessing ro see a person passing someone else a knife anxieties are bound up with the child's fears of others. of external powtrs.
1
wirh rhe point towards him." And from the most highly sensitized small circles
of high court society, for whom this sensitivity also represents a prestige value,
a means of disrincrion rnlrivared for rhar very reason, this prohibition gradually
VII
spreads throughout the whole of civilized society. Thus aggressive associations.
infused no doubt with others from the layer of elementary urges. combine
Increasing Constraints on the Upper Class:
srarus tensions in arousing anxiety Increasing Pressure from Below
How the use of a knife is rhen gradually restricted and surrounded, as a clanger
zone, by a w[11! of prohibitions, has been shown through a number of examples. le was pointed our earlier that in certain picmres 22 arrribmed ro the knighrly-
Ir is an open question hO\v far, in the courr arisrocracy, the renunciation of courrly upper class of the !are J\ficlclle Ages, rhe depiction of lower-class people and
physical violence remains an external constraint, and how far it has already been dieir gesrures was nor n:r folr as particularly repugnant. whereas rhe stricter
converted into an inner constraint. Despite all resrricrions. the use of the table corresponding .to the srrucrure of repugnance of rhe absolurisr-courtly
knife, like rhar of rhe dagger, is still quire extensive. Jusr as the hunting and upper class permitted rhe expression only of large, calm. refined gestures in arr,
killing of animals is still a permitted and commonplace amusement for the lords while everything reminiscent of lower classes, everything vulgar, was kept at a
of the earth, the carving of dead animals ar table remains within rhe zone of the distance.
permitted and is as yer nor felt as repugnant. Then, with rhe slow rise of This repulsion of the vulgar, rhis increasing sensiriviry to anything corres-
bourgeois classes, in whom pacification and the generation of inner constraints bv pondin<' to the lesser sensibilirv or classes, permeates all spheres of
2
rhe very nature of rheir social functions is far more complete and binding, social in rhe courtly u;)per class. Ir has been shown in more clerail ; how
curring up of dead animals is pushed back further behind rhe scenes of social life this is expressed, for example. in the courtly moulding of speech. One does not
(even if in particular countries, particularly England as so often, some of the say, a court lady explains, "un mien ami" or "le pauvre deffuncr": all rhar "smells
older customs survive incorporated in the new) and rhe use of rhe knife. indeed of rhe bourgeois .. And if the bourgeois protests, if he replies that after all a large
-122 -12:;

number of peoplt in good socie[y use [htst tX])ressions d1emselves, he is told: "It Indeed. rhe courtization of the nobilin rakes place only in conjunction
1s qu1[t possible [h<l[ d1ere arc a numbtr ot decem peoplt who do : l w increased upward rhrusr bv bourgeois srrara. Tht exisrence of a high
W!C 1 ' , " . . .
sufficiem feeling for die delicacy of our rnngue. This delicaC\ 15 degree cif inrerde1Jendence and rension_ between. nobles and bourgeois
c

_ ._ ..rs a basic
[() bl![ a ft\Y ruenr of rhe courth characrer of rhe leadrng groups of rhi:: nob1lHy.
conscr , c " " ,

This is ca[egorical. like d1t demands of d1is sensirivi[y d1emselves. The \Ve should nor be deceived by rhe tact rhar rr rook cenrnrres for rhrs
who stlecr in this way are ncid1tr able. nor do d1ty antmpr. to justify further nuous CLJU of war berween noble and bourgeois groups to be decided in
conn "' c c c

why in a particular case this form of a word is pleasing and rha[ displeasing. farnur of some of rhe laner. Nor should we be misled by rhe tact chat rhe
panicular sensitivity is \try closely bound up with the heightened regulation and consr. rii
' nrs on rhe UJJ]Jer
- class rhe functional inrerdej)tndence
_ and larenr rens10n
rransforma[ion of libidinal impulses imposed on thtm by thtir specific social berween differenr srrara in the absolurisr society ot rhe sevemeenth, and
sirnation. The cerrirnde with which they art able: rn say: "This combination eichreenrh cenruries. were less rhan in rhe various narional societies or rhe
words sounds well: those colours are ill-chosen', the sureness of their taste, in and [Wemierh centuries. As compared with rhe functional consrraims
shorr. derives rather from a more or less unconsciously operating psychological on rhe free mediernl warrior nobility. those on rhe courr arisrocracy were already
self-steering agency than from conscious retlecrion. Bur ir is clear, here roo, how it verv grear. Social rensions. particularly between rhe nobility and bourgeoisie.
is firsr of all small circles of court society who listen with growing sensitivity to a differenr character wirh increasing pacification
nuances of rhythm. tone and significance. rn rhe spoken and written word, and As long as conrrol of rhe insrrumems of physical violence-weapons and
how this sensiti\itv. rhis "good raste , also represents a presrige Yalue for such uoops-is nor very highly cemralized. social rensions lead again and again w
circles. Annhing char muches rheir embarrassment-rhreshold smells bourgeois, is warlike actions. Particular social groups. artisan sertlemenrs and rheir feudal
socially inferior: and inversely. annhing bourgeois muches their embarrassment- lords. rowns and knighrs. confronr each orher as uni rs of power which-as onh
rhreshold Ir is rhe necessity rn disringuish rhemselves from anyrhing bourgeois srntts do larer-musr always be ready w settle their differences of imeresr Lw
char sharpens chis sensirivity: and rht parricular srrucrnre of court life-under force of arms. The fears aroused in this srrucrnre of social tensions can still be
which ir is nor professional comperence or even die possession of money, but discharged easily and frequently in miliran action and clirecr physical force
polished social conduct. that is rhe main instrumtnr in rhe comperirion for Wirh rhe gradual consolidation of power monopolies and rhe growing functional
presrigt and faniur-pro,ides the opporrnniry for rht sharpening of taste. imerdependence of nobili ry ,111d bourgeoisie. rhis changes. The tensions become
In rhe course of chis srndy ir was indicated by means of a number of examples more even. They can be resolved by physical violence only at infrequenr climaxts
how from rht sixreenrh century onwards rhe standard of social conduct was or rurning poinrs . And rhey thtrefore express themselves in a continuous pressure
caughr up in a quicker movement. hcl\\ ir remained in morion during rhe char each individual member of rhe nobility muse absorb within him or herself.
se\tnteemh and eighreenth cenrnries and then. during rht eighteenth and With rhis rransformarion of social relationships. social fears slowly ce.ise rn
nintrc:e:nch cc:nrnries. sprtad-rransformed in some respc:ccs-rhroughour the resemble tlames chat flart rapidly, burn intensely and art quickly txringuished,
whole uf western socien This adrnnce of rtsrricrions and libidinal rransforma- onlv to be rekindled jusr as quickly. becoming insread like a permanenrly
rions sec irl with rhe conversion of rhe knighrh- inro a court nobility. Ir is very fire whose flame is hidden and seldom breaks our clirecdy.
closely bound up'wirh rhe change already discussed in rhe relationship of rhe From chis poim of view as well. rhe court arisrocracy represenrs a rype of
upper class ro orher funcrional gruups. The C11iirr11is \Varrior sociery is nor upper class different from rhe free warriors of the Middle Ages, It is rhe first of
remorely under rhe same pressure. dots nor live in annhing like rhe same rhe more consrrained upper classes. which is followed in modern times by e\en
interdependence with bourgeois strata. as rhe court aristocracy. This courr upper more heavily fettered ones. Ir is threatened more direcdy and strongly than the
class is a formation \\irhin a much denser nerwork of interdependencies, Ir is free warriors by bourgeois classes in the whole basis of irs social exisrence, its
held in a pincer comprising rht cemral lord of rhe court on \Vhose favour it privileges. As early as rhe sixteenth and seventeenth cenruries there is in France.
depends on rhe one hand. and rhe leading bourgeois groups wirh their economic >mon" cernin leadin" bour''tois "roups. particularh the hid1 judicial and
adnrnrages on rhe ocher. groups which are forcing rheir way upwards and courts.: srron: rn establish place of. or ar
coruesring rhe aristocracy's position. Tensions btrween court aristocraric and lease alongside. die nobilirv of rht sword as rhe upper class of rhe country The
bourgeois circles do nor increase only ar rhe encl of the eighreenrh or rhe policv of ;hese boureois is largelv aimed ar increasing their own privileges
beginning of rhe ninereenrh cenrnry: from rhe first rhe exisrence of the courr ar expense of old nobility. though rhey are arc rhe same rime-and
arrsrocracy is srrongly and constantly threatened b\ rht aspiring bourgeois rhis c"i\es rheir relarionshij) its 1)eculiarlv' ambi,alem character-bound to rhe
-i2-i Th, Cirili::i11g Pmc"tss Stafr Por111ario11 cmd Ciz'i/i:;,1tio11 425

old nobility on a number of common social fronts. For just this reason the he embarrassment-threshold constantly advances. until finally, with rhe down-
that. such continuous tens10ns bring with them express themselves, in of absolmisr-court society in the French Revolution. this spiral movement
leadmg bourgeois strata. only in a concealed form controlled by strong to an end or at least loses its force. The motor which, in the courtly phase.
impulses. And this applies all the more to the cuenuine nobi!it\. .
ilO\V
forward the civilizing transformation of the with it rhe
rhemseh:es on the defensive. and in whom rhe shock of the defeat and loss shame and repugnance threshold, as rhe in fuse showed--:1s
han: suffered with pacification and courtizarion, long shows its afrer-effocrs. propelled both by the increased competition for rhe favour of rhe _most powerful
court ariscocrars coo must more or less contain within themselves rhe '.
wit
hin rhe courtlv srrarum itself. and bv the constant pressure from below . In
ar_oused by rhe constant mg of war wirh bourgeois groups . \Virh rhis srrucru chis phase rhe ci1ml(1tio11 of 111odt!s proceeds. as a result of rhe greater interde_1:end-
.
o t inrerc
l d . l . l . re
enc1es. r 1e sona rens10n produces a strong i1111er tension in the ence and therefore closer contact and more constant tension between difterem
members of rhe threatened upper class. These fears sink down in part, classes, far more quickly than in rhe Middle Ages. The "good societies" rhar
never entirely. into rhe unconscious zones of rhe personality and re-emerge come afrer rhe courtly one are all interwoven directly or indirectly, into rhe
rhem only in changed form, as specific automatisms of self-control. Th;,. nerwork of professional occupations, and even though "courtly" orientations are
themselves, for example, in the special sensitivity of the court aristoc;acy to never entirely lacking in rhem, these no longer have remotely rhe same influence;
anything that remotely touches the hereditary privileges on which their cxisrenr" from now on profession and money are rhe primary sources of prestige, and the
is based. They manifest themselves in rhe affecr-laden gestures of revulsion from arr, rhe refinement of social conduct ceases ro have rhe decisive imporrance for
anything that "smells bourgeois" They are partly responsible for the fact that the the reputation and success of rhe individual rhar ir had in court society
court aristocracy is so much more sensitive ro lower-class gestures rhan were the In every social stratum rhar area of conduct which is functionally of most viral
warrior nobility of the Middle Ages. rhar they strictly and emphatically exclude importance ro irs members is the most carefully and intensively moulded. The
everything "vulgar" from their sphere of life. Finally. this permanently smoulder- exactitude with which, in court society, each movement of rhe hands while
ing social fear also consrirmes one of rhe most powerful driving forces of the earing, each piece of eriquerce and even the manner of speech is fashioned,
social control char even member of this court upper class exerts over himself and corresponds ro rhe imporrance which all these functions have for court people
other people in his circle. It is expressed in the intense \igilance wirh which both as means of disrincrion from below. and as instruments in rhe comperirion
members of court arisrocraric society observe and polish everyching rhar distin- for royal favour . The tasteful arrangement of house or park, che ostentatious or
guishes rhem from people of lower rank: nor only the external signs of status, but imimare--clepending on the fashion-ornamentation of rooms, rhe witty con-
also their speech. rheir gestures, their social amusements and manners. The duct of a conversation or even a love affair, all these are in the courtly phase nor
constant pressure from below and the fear ir induces above are. in short, one of only rhe private pleasures of individuals, bur viral demands of their social
the strongest clri\ing forces-though nor rhe only one-of char specifically position. They are pre-conditions for the respect of others. for the social success
ci\ilized refinement which distinguishes rhe people of rhis upper class from which here plays rhe same role as proftssional success in bourgeois society.
others and finally becomes second narnre ro rhem . In rhe ninereenrh century, with rhe gradual ascendancy of economic-
For it is precisely rhe chief function of rhe court aristocracy-their function commercial and industrial bourgeois-strata and their increasing pressure for
for the mighty cehtral ruler-to distinguish themselves. to maintain themselves access to the highest power positions in rhe stare. all these skills cease to hold rhe
as a distinct formation. a social counterweight to rhe bourgeoisie. They are central place in rhe social existence of people; they cease ro be of primary
completely free ro spend their rime elaborating the distinguishing social conduct significance for success or failure in their status and power struggles. Other skills
of good manners and good rasre . The rising bourgeois strata are less free ro rake their place as primary skills on which success or failure in life depends-
elaborate their conduct and taste; they have professions . Nevertheless, ir is at first capaciries such as occupational skills, adepmess in the competitive struggle for
their ideal. too, ro live like the aristocracy exclusively on annuities and to gain economic chances, in the acquisition or control of capiral wealrh. or rhe highly
admittance ro rhe court circle; rhis circle is srill rhe model for a large part of rhe specialized skill needed for political advancement in the fierce though regulated
ambitious bourgeoisie. They become "Bourgeois Gentilhommes" They ape the parry struggles characrerisric of an age of increasing functional democratization.
nobility and irs manners. Bm precisely rhis makes modes of conduct developed \Vhile rhe arisrocraric courtiers personality srrucrure is ro a large extent
in courr circles continually become useless as means of distinction. and rhe noble determined by rhe need ro compete for scams and power chances within one of
groups are forced to elaborate their conduct still fi.1rther. Over and again customs the ruling court establishments of their age, rhe social personality structure of
that were once "refined" become "vulgar" Manners are polished and polished and rhe rising bourgeois srrara is determined by the competition for a greater share
-i26 The Cirifr::ing Pmccs.r

of che growing capical weal ch. or else for jobs or for posicions which endow char form into the professional bourgeois one and is propagated further by it. \Ve
occupants wich trreacer policical or adminiscracive chances of power Tlr- find rhis impregnation of broader strata by behavioural forms and drive-controls
. . . .
rtlactd compec1nve scruggles now become che mam taccors ot constraint
'"<= and 'crin,itin" in court socien. parricularh-. in regions \vhere che couns were great
Oflt" '- b L L

le,m: cheir imprint upon che pt:rsonalirv of in<lividuals. Even choLwh . and wealthy an<l rheir influence as srylt-builcling centres correspondingly scrong.
. . . . . . . b certain
suaca ot cht nt:w economic and pol1ncal bourgto1s1e agarn and again form Paris and Vienna are examples of chis. They are the sears of che cwo great rival
sociecies" of cheir own. and chus develop. or take over. some of che ski]]c m , bsolmisr couns of che eighteenth century, An echo of this can still be heard in
1
highly culcivaced in ariscocracic societies, che panern of social conscrnints" ore rhe present day. not only in their reputation as centres of "good caste' or of
che _ members of bourgeois "good sociecies" is in one decisive respect kwrv induscries whose produces are intended panicularly for the use of "ladies".
d1Herent trom chat accmg upon ariscocracic courciers and bendemen TI1e soc1a
L
l e.ven in the cultivation of sexual relationships. cht erocic characcer of d1e
exiscence of che Lurer is nor only ck j;1c/() founded upon unearned income population. even though reality in rhis respect may no longer quirt march the
bnd or anorher. bm living on unearned income and thus wirhom any occupa- reputation so frequently exploited by rhe film induscry
r10nal work. 111 chest Circles. has a very high value. Ir is an almost indispensable In one form or anorher. however. the models of conduct of court-aristocratic
condition for those who wish to "belong". \Virh the rise of the economic and boi/l/t mm/>t1g11it have penetrated industrial society at large even where the courts
political bourgeoisie this aristocratic ethos changes. Its members, or at least its were less rich, powerful and intluential. That the conduct of che rnling \Vesrern
male members. are expected to work for a li\ing. even if they form "good groups. che degree and kind of their affecr-concroL show a high degree of
Societies' of their own. Forms of sociability, the ornamentacion of one's house despict all national variations, is certainly, in general terms, a result
\isiring eriquene or the rirnal of earing. all are now relegaced to the sphere of of rhe closely knic and long-ranging chains of interdependence linking the various
private life. They preserve their viral function most suongly in char national national societies of the \Vesc. Bur wichin this general framework che phase of che
society where. despite the rise of bourgeois elements, aristocracic social forma- semi-private power monopolies and of court-arisrocraric society. wirh its high
cions remained longest and most vigorously alive: in England But even in the interdependence all over Europe. plays a special part in che moulding of \X:7esttrn
peculiar amalgam char developed here from the imerpenetrarion over centuries of civilized conduct. This court society exercised for tht firsc time:, and in a
aristocratic and bourgeois models of conduct. middle-class traits gradually move parcicularly pure form, a funcrion which was afterwards transmitted in differing
inrn the foreground. And generally in all \Vesttrn societies. \\irh the decline of degrees and with various modifications to broader and broader scrata of \Vesrern
the purer aristocracy. whenever and however this rakes place, the modes of sociecy, che function of a "good society". an upper class under pressure from
conduct and affecrive forms which are developed are those necessary to the many sides, from the organized monopolies of rnxation and physical force on the
performance of money-earning funccions and the execmion of precisely regulated one hand. and from the rising middle and lower classes on the orher. Court
work.. This is whv professional bourgeois sociecv. in evernhing char concerns society was indeed the firsc representacive of che particular form of upper class
social conduct. rakes mer che rirnal of court sociecy wichuuc cle\tloping it with which emerged more clearly che more closely. with che a<lrnncing division of
che same inrensicy, This is why che srandar<l of affect-control in chis sphere funcrions. rhe different social classes became muwally dependent. and che larger
achance;, 011ly slowly with che rise of che professional bourgeoisie. In courr che number of people and the geographical areas that were placed in such
society. and partlY' in English society too. this division of human exiscence into interdependence, Ir was a highly constricted upper class, whose siwarion
professional and pri\ace spheres does nor exist. As the split becomes more general demanded constant self-restraint and intense dri\e-controL Precisely chis form of
a new phase begins in che civilizing process: the panern of drino-control chat upper class from now on predominated in \Vesrern counuies. And che models of
professional work necessitates is disrincc in mam respects from char imposed by this self-restraint. first developed in courr-arisrocraric society for che sphere of
che function of courtier and the game of court life. The exertion required by the sociability, were passed on from class to class. adjusted and modifie<l. like rhe
maintenance of bourgeois social existence. the stability of rhe super-ego func- upper-class funcrion i rself The he:ri rage of aristocratic sociecy had greacer or
tions. che intensicy of drive-control and drive-transformation demanded by lesser importance depending on whecher its character as "good society" played a
bourgeois professional and commercial functions, are in sum considerably grtarer or lesser role for a class or a nation. As we have said, this \Vas the case to
greater. <lespire a certain relaxation in rht sphere of social manners. chan rhe a greater or lesser degree wich increasingly broad classes and finally entire nacions
corresponding social personality structure required by the life of a court in cht \Vesc, particularly nations which. having early de\eloped srrong central
aristocrat.. i\fosr obvious is the difference in che regulation of sexual relationships. insciwrions, early became colonial powers In such nations there was an
Howe\er. tht court-aristocratic moulding of the personality passes mer in this or increase-under rhe pressure of social integrarion embodied borh in the intensicy
-L28 The Ciz'i!i::i11g Proc,_r.1 ..\.29

of competition within the upper class itself and in the necessirv ofi _ . . inu killed by enemies can hardly develop or maintain chose stable restraints
. . . . Jreservrn<> ,
higher l1v111g standard and j)festige l'ir-cl-l'ir lower srnra-in rl1e- st 0
Its !lt ' r -ric of rhe more civilized tvpts of conduct To instil and maintain a
.L _ L ' rengrh of ch:rracte 1> . _ _ . .
parncular kmd of social control, 111 sensmv1ry to the behaviour of other more . -ible SUj)er-e"O auency,
c- 0
a relative\\- high standard ot lrv111g and a tardy
'-
of one's own class, in individual self-control and in the strength of the ;jilt(
h deuree of securi t\". are necessan.
c . . .
'super-ego". In this way modes of conduct of a courr-arisrocraric Lmj)et I '<f-fowever complex the leverage of interweaving processes w1th111 which the
. . . ' c ass were
amalgamated with those of vanous bourgeois srrarn as these rose ro rhe _. :1 1wrion of conduct and experience in European societies rakes place may at
of upper classes; cizilit( was incorporated and perpetuated-with cerr t!H l l . cl' . l l
first sight appear. the basic connections art clear enough. Al_ t 1e 111 inc ua _
.. . . . . _. a1n mod ..
1hcar1ons dependrng on the s1ruar10n of its new host-in what was now crends rnenrionecl so far, for example the slow nse 111 the lrvrng of
"civilization or, more preciselv. "civilized conduct" So from rhe n broad sections of population. the greater functional dependence ot the upper
. . . . _ . rnereenth
century onwards, these c1nl1zed forms of conduct spread across the rising . or che incre1sing
class. ' snbilin of the central monopolies. all these are parts and
L '

classes of \Vestern socien- and over the various classes in rhe colonies . conse. qLi-nces ot 1' di\ision of functions advancing now more raprdlv. now more
. . . . _ 1
,am:i.ga- c ._ _ . .
marmg with mcligenous patterns ot conduct. Each time this hajJjJens UJJP
_ . . ,
l
er-c ass
-Iowlv. \Vith this di\ision of functions the productivity ot work mcreased: this_
conduct and that of the nsmg groups interpenerrate. The srandard of conduct of 'gre,Jtc
.. ;_r xoducrivin-. is the !Jrecondirion for the rise of the living standards ot
1
the nsmg class, its pattern of commands and prohibitions reflects in its st ;ver-wider scram: with this division of functions the functional dependence of the_
. .. . _ . rucrure
the hrsrory ot the nse of class. So it comes about that the typical "drive- and upper srrarn increases; and only at a very advanced point_ in the division ot
ot the different industrial nation srnres, their "national charac- functions. finally. is the formation ot more stable monopolies ot physical force
ter : . still represents the nature of the earlier power-relationships between an J t...1x1rion
' with hi,,hlv
o . srJecialized administrations possible-that is. the
nobrlrty_ and bourgeoisie and rhe course of the centurv-lonu
. c stru"''les
cc bet \veen
, forrnarion of stares in the \Vesrern sense of the word. through which the life
them, from which a specific type of middle-class groups in the end emerged for rhe individual gradually gains greater security" But this rise in the division of
a time as the establishment. Thus, to give one out of many examples, funcrions also brings more and more people, larger and larger populated areas,
the nar10nal code of conduct and affect-control in the United Stares has ro a into dependence on one another: it requires and instils greater restraint in the
greater extent middle-class characteristics than-in spire of many similarities- individual. more exact control of his or her affects and conduct. it demands a
rhe corresponding Eni;lish code. In the making of this English code features of stricter regulation of drives and-from a particular stage on-more ezu1 self-
arisrocraric descent fused with those of middle-class descent-understandablr restraint This is the price. if we may call it so. which we pay for our greater
for in the development of English society one can observe a sernrirv and related advantages.
assimilating process in the course of which upper-class models (especiallr a code this is of decisive importance for the standard of civilization in
of good manners) were adopted in a modified form by middle-class people, while our dm-the restraint and st!f-control characrerisric of all phases of the
middlt-class features (as for instance elements of a code of moralsJ were adopted process up ro now. result nor mert!y from the necessity for each
by upper-class people. Hence. when. in the course of the nineteenth cennuy, incli\iclual ro co-operate constantly with many others: they are no less deter-
most of the: aristocratic privileges were abolished, and England with rhe rise mined by rhe split of society inro upper and lower classes. The kind of restraint
the industrial working classes became a nation stare. the English national code of and drive patterning produced in people of the upper classes rakes its special
conduct and affect-control showed very clearly the gradualness of the resolution scamp primarily from the tensions running through society.. The ego and super-
of conflicts between upper and middle classes in the form. ro put ic briet-lv, of a ego formation of these people reflects both the competition within their own
peculiar blend between a code of good manners and a code of morals. Analogous class and rhe constant pressures from below. produced in ever-changing forms by
processes were shown in Parr One above by the example of the differences the advancing division of functions. The strength of, and the many contra-
between the German and French national characters. And it would not be dictions within, rhe social constraints ro which the behaviour of each individual
difficult ro add further illustrations relating ro the national characters of rhe member of the upper class. the establishment, is subject and which are
other European nations. represented by his own ''super-ego". are nor determined solely by _rhe fact that
In each case, the wayes of expansion of the standards of civilized conduct ro a thtv are constraints exerted by comperirors, some of them even in free compen-
new class went hand in hand with an increase in the social power of that class, but above all by che fact that rhe competing members of the established
and a raising of its standard of living ro that of the class abme it. or at least in groups at rhe same rime have ro make common cause in their endeavour_ to
that direction. Classes living permanenrly in danger of starving ro death or of preserve their distinguishing prestige and their higher srntus over those pressmg
PnKr.:SS

from btlcm-srill mure or ltss as Oll[sidtrs. Quire ofrtn. undc:r chest uin'"''"-- n> tl consciousness
[!0 .
and arriwde . These art known in the Orienr and colonies
prtstrrnrion of rhe higher scams and rhe disrini.;uishini.; personalitv ui:m:c ... ns Levanrinism : and in rht perry-bourgeois circles of \'hsrern socieries rhey art
isrics requires a form of foresight. self-resrraimc and p:ucknce ofren enough rn be found in rhe form of 'half-edurnrion"", rhe pretension ro be
by anxi-
what one is nor. insecuriry of rasre and conduct. "'vulgariry" nor only of furniture
If rhe oudine of these processes is followed over cenrurits. we see a and clothing bur also of rht mind: all chis expresses a social situation which giws
rendency for standards of liYing and conduct rn be equalized and corit rise wan urge ro imirart models of a higher social group . The antmpr clots nor
" ,
levelled Oll[. In each of the wan:s ot expansion which occur when rhe mode of succeed. Ir remains clearly an imirarion of alien models The education. srandards
conduce of a small circle spreads rn broader rising srrarn, rwo phasts can be of [i\ing c111d fears of rht rising groups and die upper class art in rhis phase still
clear!: d1suugu1shed: a phase ot colonizarion or assimilation in which the , difftrenr char the arrempr w achien: the poise of che upper class !<:ads in mosc
0
and larger oursidtr srrawm is srill clearly inferior and go\erned by rhe w a peculiar falseness and incongruiry of behaviour which ntverrhtless
of rhe esrablished upper group \\hich. inrencionally or uninrenrionally, ptrmeares conceals a genuine disrrtss, a desire w escape rhe pressure from abon: and rhe
it wirh irs own pa[(ern of conduct: and a second phase of repulsion. <ense of inferioriry And rhis shaping of rhe super-ego on upper-class models also
emiarion or tmancipation, in which rhe risint; c
grou11 ci.;ains 11erce1)ribl\, 1-n .... i
c
brings abour in rhe rising class a specific form of shame and embarrassment
power and self-confidence, and in which rht upper group is forced inco These are very different from rhe sensibilities of lower groups from which there
resrraint and isolation, and rht conrrasrs and rensions in sociery are increased. is no chance of individual asctnr The behaviour of rhese lower groups may be
Here, as always. borh rendencies. equalizarion and disrinction. anracrion and coarser. bl![ ir is more uniform and in a \my more or" a piece. They live more
repulsion. are cerrainly present in borh of these phases: chest relarionships rno are vigorously in rheir own world wirhour anr claim w upper-class presrige, and
fundamentally ambivaltnr. Bur in rhe first phase. which is usually rhar in which rherefort wid1 grearer scope for discharge of rht affecrs: rhey live more fully in
people rist indiYidually from rhe lower ro rht upptr class. rhe rendtncy for the accordance: wich rheir own manntrs and cusroms. Their inferioriry 1i.Hi-1is rhe
upper class to colonize rht lm\er and for rht lower w copy rhe upper is more upper class, rheir gesrures borh of suborclinarion and resisrance, are clear and
pronounced. In rhe second phase. when rhe social power of rht lower group is relarivtly unconcealed like their affecrs, bound by cltar. definite forms . In their
increasing while rhar of rhe upper group is declining. rhe self-consciousness of consciousness rhey and rht ocher classts han'. for btrrtr or worst rheir clearly
borh groups incrt:ases wirh rheir riYalry. wirh a rendenc1 ro emphasize differences defined posirions
and-as far as rhe upper class is concernecl-rn consolidare chem. Conrrasrs By contrnsr. rhe feelings and gesrurts of inferiority in people rising socially as
berween the classes increase, rhe walls grow higher individuals rake on rheir parricular coloration from rhe fact char these people
In phases of d1t tirsr kind, phases of assimilarion. many individuals in the identify ro a certain exrenr with rht upper class. They have the same suucrurt as
risin,t; Oll[Sider class art. howe1er relucranth, wry depencltnt on rhe: upper class, was described earlier in rhe case of shame feelings: ptoplt in rhis siruarion
nor only in rheir social exisrenct bur also in rheir conducr. rheir ideas and ideals. acknowledge in one part of rhc:ir consciousness rhe upper-class norms and
The1 are frequenrly. rhough nor always. still unformed in many areas in which manners as binding on rhemselvts, wirhour being able ro adopt chem wirh rht
members of rht upper class are highly deYelopecL and rhey are so impressed, in same east and ma[(tr-of-facrness. Ir is chis peculiar conrradicrion berween the
rheir social inferioriry, by rht affecr-conrrol and code of conduce of rhe upper upper class wirhin themselves. represented by rhtir own super-ego. and rheir
class, char rhey cry ro conuol rheir own affects according w rhe samt parrtrn. incapabiliry of fulfilling irs demands. ir is rhis consranr inner rension thar gives
Hert we come upon one of rht most remarkable characrerisrics of chis ciYilizing rheir affecrin: life and rheir conduct its parricular character.
process: rht people of rhe rising class cle\t!op wirhin rhemsehes a '"super-ego" Ar rhe same rime rheir predicament shows. from a new angle, rhe importance
modelled on rhe superior. colonizing upper class. Bur on closer insptcrion this which a srricr code of manners has for rhe upper class. Ir is an insrrumenr of
super-ego is in many respects very different from irs model. Ir is ltss balanced prestige. bm ir is also-in a certain phase-an insrrumenr of power . Ir is nor a
and rherefore ofren much more severe. Ir always rtYeals rhe immense effort which lirrle characrerisric of rhe srrucrure of \Vesrern society that the watchword of irs
individual social aclvanctmtnr requires: and ir shows equally rhe consrant direar colonizing movement is ""civilizarion"" For rhe people of a society with a high
from below as from above, rhe crossfire from all sides ro which indiYidu,1ls are di\ision of funcrions. ir is nor enough simply ro rule sub jeer ptople and countries
exposed in rheir social rise. Tora! assimilation ro a higher esrablishecl group by force of arms like a warrior casre-alrhough rhe old. simple goals of mosr of
succeeds only \try exceprionally in one generarion . In most people from rhe rhe earlier expansionisr movements, rhe expulsion of ocher peoples from their
aspiring oursider groups rhe etforr ro rise inevirabh leads w specific deforma- land. rhe acquisirion of new soil for culrirnrion and serrlement, doubtless play no
-i32 The 5tdfi.: Fur111atio11 <111cl Ciz'i!i:::atio11 433

small pa[[ in \Ves[trn expansion. Bm i[ is nm only [he land [ha[ is needed


rorrec t speech of a bourgeois in a court circle, quoted earlier, is one example - of
die people: [htse muse be imegrared. whedier as workers or consumers. c And in the hisrory of the German language, [his courtly phase ot the
thJS. . .
web of die hegemoniaL upper-class coumry. wirh its highly dewloped bourgeoisie is clearly marked by the well-known tendency ot or wr![ers
c:miarion of functions. This in wrn requires both a ct:nain raising of nsert 1' French word after every three or four German ones, - it the\ did not
to 1
srandards and [ht culciva[ion of self-comrol or super-ego funcrions in rhe sub'ec preier o.imply to use French, the cour[. lang_uage ot Europe. N.obles even
peoples on rhe \Vestern it a "civilizarion" of the colonized. Jus: bourgeois members of courtly Circles quirt often made tun at di1s [tmt ot other
as H was no[ possible rn [he \Vest 1tselt, from a certain sraue of interdei)en l
_ c uence bOllrbveois unsuccessfully. trying L-
to act in a "refined" or courdy manner.
onwards, ro rule jJeoiJlt solelv bv torce and i)hvsical rhreats so i[ ilso b As rhe social power of the bourgtoisie grows, this mockery disappears. Sooner
- ' ecame
necessary. in mainrnining an empire [hat went beyond mere planta[ion-land and or lacer all the characteristics of the second phase of social ascem move into [ht
planra[!on-labour, ro rnle people in pa[[ [hrough diemselves. through thP
t-oreuround
0 Bourueois
o b"rOUjJS em1Jhasize more and more their specifically
moulding of their super-egos. In esrablished-omsiders rela[ionships of chis t"p: aeois self-imaue ther asse[[ their own codes and manners more and more
bOL c lr
one can o bser-vt hgurarional
. b '
characteristics akin ro. though of course Jnot- confidently in opposition ro the courrly-arisrocra[ic ones. Depending on dieir
identical with, those to be observed in _established-omsiders particular sirnarion, they contrast work to aristocra[ic namre to
between social classes at a comparable stage ot development. One can observe, for etiquette, the cul[ivarion of knowledge and morals to [hat ot good manners and
mstance, characteristics of an early form of social ascent, not yet of the outsider conversa[ion, nor to memion the special bourgeois demands for control of the
tfroups as a whole bm of some of i[s indi,idual members. The:; absorb [he code central key monopolies, for a new structure for the administration of taxation and
of the established groups and [bus undergo a process of assimila[ion In dieir own the army. Above all they coumerpose '"virtue" ro "courdy frivoli[y". The
affecr-comroL their own conduct. rhey obey the rules of die esrnblishecl groups. regulation of sexual relations. [he fences surrounding the sexual sphere of
Partially they idemify themselves wi[h them, and even though [ht identification libidinal lift. are far S[[onger in middle and rising bourgeois classes, in keeping
may show strong ambirnlences, still their own conscience. [heir whole super-ego with their professional posi[ion. than in tht courtly-aristocratic upper class; and
apparatus, more or less follows the pattern of [he established groups. People in later it is repeatedly stronger here than in high bourgeois groups which have
tha[ siruarion attempt ro reconcile and fuse that pattern. the pattern of alreaclv reached the social summit and taken on an upper-class character. But
occic!emally civilized socie[its, wi[h die habi[S and [radi[ions of [heir own sharp [his opposition may be during [ht phase of social struggle.
society with a grea[er or lesser degree of success*
however great the emancipa[ion of the bourgeoisie from the models and predom-
Bm ro observe such processes we do no[ need to go far afield. A \"try similar inance of the nobilirv, die code of conduct which the leading bourgeois groups
phase is to be found in the rise of [ht \Vesrern bourgeoisie itself: [ht courtly develop when [hey rake over [ht function of [he upper class is. because of
phase:. Here roo it was initially the bights[ aspira[ion of mam individuals from the preceding phase of assimilation. the product of an amalgamation of [he codes
leading bourgeois groups to behave and live like Thev inwardly of the old and new upper classes
acknowledged [he superiority of courdy-aristocrnric conduct: diey. sought The main line of this civilizing movement, the successive ascent of broader
mould and tomrol themselves according to that model. The conversa[ion on and broader S[rata. is the same in all \Vesrern countries, and incipiently so in
increasingly large areas elsewhere. And similar, too. is the strucmral regularity
my I rtpt:dCtd!;. haJ co resist the underlying i[, the increasing division of functions under [he pressure of
[i.:mprarion to rh:: ori-lnal text in accordance with tilt.: !"resent start: ol. m\ knowltdL::e. The
competition. the [endency to more equal dependence of all on all. which in the
tt:mprarion was parricularly strung when we came to the problems of soc.ial units discussed
in these pag::s and of die intlutnct" which social asct..nc or. alrernari,eh. social hL!_!emon\. has on rhtir long run allO\vs no group greater social power than others and nullifies hereditary
social code. especially on rhe rtstrainrs inherent in such a code Tht: .probll'm" abov.: now privileges. Processes of free competi[ion also follow a similar course: they veer
form part of an established-outsiders theory. Nor all forms of social or'pn:ssion cl ont ,:..;roup hy rnward the formation of monopolies controlled by a few and may finally lead w
anorher have rhe form of class rtlarions. Ar prtsenr ont: ofrtn rrit:s ro use rht concc:rrual apparatus
the passing of control into die hands of broader scram. All this emerges very
<leYt!optd in connt:crion wirh class rtlarions for all forms of group oppression or, alrt:rnatiYdy. group
clearh. at this stage in the srruggle of the bourgeoisie against noble privileges,
emanciparion. Howt:n:r. rht: class model is roo narrow: one needs a bro;idtr ovt:r.dl connr"r rn <ltd
wirh rht \aritrits of group oppression and group rise. I have found ir helpful ro use rhe rerm in monopolies of rnxarion and force previously administered in the interests
tsrablishtd-oursiders relationships as a mort comprehensive conct:pt in rhar senst: \Virh irs htlp one of very small circles "becoming public": all this takes the same course, sooner or
can work our more clearly tht: C()mmon ftarurts of group dominariun group subit:crion as \veU la[er, by one parh or another, in all the interdependem countries of the \Vest. But
as rht distinguishing characrtrisrics of parricular ry pt. L:lu:h/fr.r llf/h u, :h, :rd11s!.1ri/Jn}
within [his common framework of basic similarities each country develops
-H-i Prr;tes.r
Stdio Formario11 c1nd Ciz"ili::.atioil

structural characteristics of its own: and corres1)ondin<> rn the different .


.. .. c social cbis rype of stare control and rhe use made within it of rhe monopoly of phys_ical
srrucrures are die speohc patterns of affecr ret;ularion, rhe srrucwres of the d
c . force was less conducive ro a transformation of external consrrain:s, or consrraims
economv
. . and the super-ec:o,
, which finalh. become evident in rhe \.anons
nar10ns. by ocher people, inro self-constraints. Also lacking in Germany tor a long penod
a particular function which in some other countries, especially England,
Thus in England, whert the courr-absolurisr phase was relati\ely short, and
enlmnced in both noble and bourgeois classes a common fore:ighr.' and a similar
where conracrs and alliances between urban-bourgeois circles and the landed
. ern of firmh-, differentiated self-control: rhe central funcnon
p,ltt - .
111 a very
.
nobility rnme abom early on, the amalgamation of upper and middle-class
exrensive network of interdependencies, as rhe upper class of a colo111al empire.
behaviour patterns rook place gradually over a long period Germany, on the
-1
l 1Ll.5 in Germanv . rhe drive-conrrol of rhe individual remained highly
_ dependent
,
other hand-which, through its lack of centralization and the Thirty Years' \'<?ar
on srrong external srnre power. The emotional balance, rhe self-control of the
resulting from this, remained a relatively poor land with a low standard of livinr'
for far longer than its \\'.fesrern neighbours-had an extraordinary long phase ;f individual. was endangered if this external power was lacking. From generanon
to c:enerarion a super-ego was reproduced in rhe bourgeois masses which was
absolmism wirh a large number of smalL far from luxurious, courts, and.
dis;osed w relinquish ro a separate, higher-ranking social circle rhe specific kind
likewise through irs lack of cemralizarion, reached the phase of external, colonial
of foresight demanded by the ruling and organization of society ar large, Ir was_
expansion only relatively lace and incompletely. For all these reasons, internal
shown at rhe beginning of this srndy how chis situation led, ar an early phase ot
tensions and the isolation of the aristocracy from the bourgeoisie \\ere strong and
dit rise of rhe bourgeoisie. ro a \tn- specific kind of bourgeois self-image. a
enduring there, and access by bourgeois groups ro the cell[ral monopolies
wrning away 2 ' from everything ro do with rhe adminisrrarion of rhe power
difficult In rhe Middle Ages urban-bourgeois groups had for a rime been
monopolies, and to a culrivarion of inwardness, and the elevation of spiritual and
politically and economically more powerful. more independell[ and self-confidfnt
cultural achievements ro a special place in rht table of \alues
than in any other country in Europe. The shock of their political and economic
Ir was also shown how the corresponding movement rook a different course in
decline was rhere!Cire particularly keenly ftlr. If specifically bourgeois traditions
France. Here, more continuously than in any other country in Europe and from
had earlier denoloped in a particularly pure form in many German regions
rht earh Middle Ages on, courtly circles were formed, first by a111rtois groups and
because rhe urban formations were so rich and independent, rhty no\1 ptrsisred
rhen bv. larger and larger courts, until finally the competition between the many
as specifically bourgeois traditions btcause their bearers were particularly poor
lords c.ulminarecl in rhe formation of a single powerful and wealthy royal court
and socially impotent And accordingly, it was only nory late char bourgeois and
rn which flowed rhe raxes from rhe entire rerrirory. Accordingly, a centrally
noble circles ill[trpenerrared and their modes of conduct were amalgamarecL For
conrrolled prorecrionisr economic policy was adopted ar an early srnge, Although
a long period the codes of both classes persisted disconntctedlr side bv side: and
chis primarily served rhe inreresrs of the monopoly ruler and his desire ro_
because rhroughom this period the Kt\ positions of rhe rnx and rhe
maximize his fiscal income. nevertheless ir also promoted rhe development ot
polict and army administration were monopolies of rht nobility, habirnarion ro
rrade and rhe emergence of wealthy bourgeois classes. Thus there were early
a strong exremal start authority became deeply ingrained in the bourgeoisie.
conracts between rising bourgeois and court aristocrats with their constant need
\vhereas in England"O\ving to its island sirnarion, 2 ' for a long period neither rhe
of money Unlike rhe many relatively small and poorly endowed absolutist
army nor a centralized polict force played any major role in moulding rhe
dominions in Germany, rhe rich, centralized, absolutist regime in France
population, though the navy did rn some extent, in Prussia. Germam. with its
furthered both a comprehensive transformation of external consuaims into self-
long, vulnerable land frontiers, the army ltd by rhe nobility, by strata,
consrraints and rhe amalgamation of courrly-arismcraric and bourgeois patterns
was, likt the powerfi.il police force, of rht utmost significance in scamping rhe
of conduct. And when at the encl of chis stage, the ascent from below was
social habirns of its people, This srrucrure of rhe monopoly of physical force did
completed, and with it rhe levelling and equalization of social srnndards
nor, however, compel individual people to adopt the same kind of self-control as
characteristic of chis whole phase of rhe civilizing process: when rhe nobility had
in England Ir did nor force individuals w become integrated in relations of
losr its hereditary rights and irs status as a separate upper class and bourgeois
ream work" based on a high degree of in di vi dual self-control and self-
groups rook over rhe upper-class function, they conrinuecl-as a result of the_
arrunement to ochers: instead, ir habituated rhe individual from childhood
Ion" precedinu imerpenerrarion-rhe models, rhe drive patterns and rhe forms of
onwards to a very much higher extent to a strict order of superiority and
of rh: courtly phase more undeviatingly than any other bourgeois class
inferiority, an order of obedience and command on many levels. Understandably,
in Europe.
436 Tht Cil'iliziilg Process St:!fr Frmi1c1tir111 t111d Cil'i!i::atiffll

VIII acv and thus, knowingly or otherwise, for the formation of monopolies over still
la;ger areas, is already in full swing. And if ac present it is supremacy over
Conclusion continents that is at issue, there are already clear signs, concomitant with the
interdependence of larger and larger areas, of struggles for supremacy over a
If we survey these past movements in their entirety, it is a change in a guire system embracing the entire inhabited earrlL
definite direction chat we see . The deeper we penetrate che weal ch of particular In che present no less than in the past, the dynamics of interdependencies
facrs co discover che structure and regularities of che pasc, che more clearly which have been so often mentioned in chese enguiries, keep people moving and
emerges a firm framework of processes into which che scattered facts can be nrcss cowards changes in their institutions and indeed in the overall strucmre of
r
fitted. Juse as in past times people observing nacure, after following many blind their figurations. The experiences of our day, roo, refute the notion which has
alleys in thought, gradually saw a more coherent vision of nature rake shape now dominated people's thinking for more than a cenmry, che idea that a
before chem, so in om time che fragments of che human past gathered in our balanced system of freely competing units-states, businesses, craftsmen or
minds and books by che work of many generations are beginning slowly to fall wh<1tever else-can be maintained indefinitely in this stare of precarious equilib-
into place, in a cohesive piccure of history and of the human universe in general. rium. Now, as of old, this stare of monopoly-free competition finds itself driven
The contribution made here co this picture will be briefly summarized by rowards monopoly formation. \Vhy this equilibrium is so exceedingly unstable,
presenting ic from a particular point of ,iew, chac of our own day For che profile and rhe probability of its breakdown so high, has been shown in the analysis of
of past changes in che social fabric becomes most sharply visible when seen rhe dynamics of competi rion and monopolization given earlier. 2 -
against che events of one's own rime. Here, coo, as so often, present evenrs And no more roday than formerly is it "economic" goals and pressures rzlu11t,
illuminate che understanding of the past, and immersion in che past illuminates or political motives alom, which are the primary driving forces of these changes
che present. Many of che interweaving processes co be observed in our own day, Neither is the acquisition of "more" money or "more" economic power che actual
with their numerous ups and clowns, represent a continuation in the same goal of stare rivalry and the extension of scare rule, nor the acguisition of greater
direction of the moves and counrermoves of former changes in the scruccure of political and military power merely a mask, a means ro an economic end.
Occidental societies Monopolies of physical violence and of the economic means of consumption and
Ac che point of utmost feudal disintegration in che \Vest. as was shown production, whether co-ordinated or nor, are inseparably connected, without one
above, 21' certain dynamics of social interweaving came into play which tended ro ever being the real base and the other merely a "superstructure" Both rogether
integrate larger and larger units. Out of che competition of small dominions, the produce specific tensions at particular points in che development of che social
territories, themselves formed through the struggles of even smaller survival structure, tensions pressing rowards a transformation of this structure Both
units. a few and finally a single unit slowly emerged victorious. The vicror th2 lock joining the chr1i11 hy uhich />eo/,/c c1re 11111tl!Ci!ly ho1111d. And in
formed the centre abom which a new larger dominion was incegwced; he formed both spheres of human bonding, the political and che economic. the same
che monopoly centre of a scare organization within the framework of which many mechanisms, in permanent interdependence, are at work. Jusr as the tendency of
of che previoi.1sly freely competing regions and groups gradually grew together rhe big merchant co enlarge his enterprise springs finally from tension within the
into a more or less 'unified, bercer and worse balanced human web of a higher 1l'ho!1: human network of which he is a part, and above all from the danger of
order of magnitude. diminished control and loss of independence if rival concerns grow larger than his,
Today these states in turn form analogous power balances of freely competing likewise competing stares drive each other further and further up the competitive
survival uni cs. These states coo, under che pressure of che tensions of competition spiral under the pressure of tensions immanent in the entire structure which they
char keep our whole society in a perpetual ferment of conflicts and crises, are now constitute. Many individual people may wish ro put a srop ro this spiral move-
in their rnrn gradually being forced more and more clearly inro mutual ment, the breakdown of equilibrium between "free" comperirors, and to the
opposition. Again, many rival dominions are so closely intertwined chat any rhac struggles and changes this breakdown brings with it. In the course ofhiscory so far
stands still, that does nor grow stronger, runs che risk of growing weaker and the constraints of human bonding have always proved stronger in the long run
becoming dependent on other states. As in every system of balances with than such wishes . And so today international relationships, nor yet regulated by an
growrng compent10n and wichour a central monopoly, the powerful states encompassing monopoly of force, are again driven cowards such monopolies and
forming the primary axes of tensions in the system force each other in an thus ro the formation of dominions of a new order of magnicudeo
incessant spiral co extend and strengthen their power. The struggle for suprem- Precursors of such hegemonial units such as united states. empires or leagues
Thu P;rJL-t:S.\ 439

of narions, cerrninly already txisr. They art all scill relacively unsrnble . As rends to be slowh or suddenly O\'trturned. Ir was shown that spurts in chis
II1 che centuries of stru!..'.l!!t: berween cerrirorial don11.ni(i11s 1c 1s is\'-- direction already rook place in an early period of \Vestern society \Ve find them.
. . . 'c . . . ' ' c l unresolved
II1 che suuggle ot sraces rnda1. and impossible rn resolve whi:cre che c for example. in rhe process of feudalizarion even though this invohed only a shift
,.. . _ ,. . . . . . entres and
uunner, 01 dJt: L1r[!er ht1-:tmun1al unHs ot che turnre will lie As 1 . within the upper class itself: morton:r. this change in favour of the many at the
. . ': c . . ear ier, It is
impossible rn predict how !on[! 1c will rake tor chis scru""lt with espense of che few led. as a rtsulr of the low degree of division of funccions. to
- '- . l::'c . Jts n1anv
spurts and counttr-spurcs. to be hnalh decided. And like che memb,
. .
t- '
ers o the the disintegration of comrol o\er monopoliztd opportunities and the decay of the
smaller unHs whose srrugdes slowlv ]Jroducecl the srues \\ cocJ ]11 . monopoly centres
. cc - . ' ' ' \ e scarce! '

more than a rngue idea ot the srrucmrt. organization and inscitutions of As rhe division of functions advances. and with it rhe mutual interdependence
urn rs towards which tht actions of wday rend. whether the actors know or of ,1[1 functions. this kind of change in the balance of power is no longer
nor. Only one_ d1111g. is cerra111: the direction in which the integrarion of the espressed by a tendency to disperse monopolized opportunities among many
modern world is veenng. The competitive tension between snres , incliYiduals. bur by a tendency to control the monopoly centres and the
. .. - ' ' 8lven C1e 1
pressures which our social structure brinus with ir can be resohed (Jn] .. c _ opportunities they allocate in a ditforent way. The first great transitional phase of
. . . ei } d1rer a
long senes ot v10lenr or non-violent rrials of srrenurh lnve esnblished m this kind. the struggle of bourgeois classts for control of rhe old monopoly
. . __ . . _ "' ' ' onopo-
ot force, and cenrral orgarnzar10ns tor larger dominions. within which manv cenrres. controlled by the kings and, partly, by the aristocrncr. as a hereditary
ot the smaller ones. srares'". can grow together in a more balanced unirv. possession-the first complete monopolies of modern rimes-shows this clearly
the compelling forces of social inrerweaving have led che enough i=or many reasons. the pattern of rising classes in our day is more
ot \\iesrern society in one and the same direction from rhe rime of mmost feudal compltx. One reason is that it is now necessary to struggle nor only for rhe old
disintegration to the present
monopoly centres of taxation and physical violence. or only for the recent
And the case is very similar with many orher moYements of the "present". economic monopolies still in rhe process of formation. bur for control of both ac
They are all seen in a new light when \"iewed as moments in rhar srream that we once. But the elementary pacrern of forces at work here is very simple even in
'"''.nously call rhe past .. or "'history" Even 1cithii! the different hegemonial units this case: every monopoly opportunity restricted b\ heredity to particular familits
ot today we see a number of monopoly-free compeririw struggles. Bur this free leads to specific tensions and disproportions in the socitt\' concerned Tensions of
competition is in many places nearing its final phase. Everywhere in these this kind rend towards a change of relationships and elms of institutions in all
struggles fought with economic weapons, prirnre monopoly organizations are socit:cies, though when difftrentiarion is low and, particularly. when the upper
already forming. And as earlier, in the formation of monopolies of rnxarion and class consists of warriors, they often remain unresolved . Societies with a highly
physical force in the hands of single dynasties. compelling forces were alreadv developed division of functions are far more sensiriw ro the disproportions and
discernible that final!: led to a broadening of control, whether b: malfunctions caused lw such tensions. the effects of which are permanently felt
the monopoly executive w an elected public legislator or by any other form of throughout rht whole socitry. And though in such societies rhere may bt mart
nationalization". in our clay we already see the immanent figuracional clvnamics than one way in which such tensions might be resolved and removed, tht
at work cumiiling the possibility of private control of the recent ec:rnomic" dirc(fi(Jll in which they rend towards transcending themselves is predetermined
monopolies and bringing their srrucrure closer w the older ones. so that bY the nature of their origins. by their genesis. The tensions, disproportions and
eventually they are likely to veer towards an integration of boch malfunctions resulting from monopoly control of opportunities in the interests of
The same can be said of the other tensions towards chan1-:es within the a ft\\' can only be resoln:d by breaking this control. \Vhar cannot be decided in
different hegemonial units. the censions between rl1ose people di;ecrh- control- advance, however. is how long the ensuing srruggle will rake.
ling certain instruments of monopoly as a hereditary possession. ;ind those And something very similar. finally, is happening in our rime to the conduct
excluded from such control and who engage in unfree competition. all being of people and to the whole suucmre of their psychological functions. In the
on opportunities disrribmed by the monopoly rulers. Here too course of this study it has been attempted to show in derail both that and how
hnd ourselves in the midst of a historical spurt which, like a great wave of an rhe structure of psychological funcrions. the particular standard of behavioural
adrnncing ride, rakes up the smaller ones preceding it and car;ies them further controls at a given period. is connected ro rht structure of social functions and to
in the same direction. In the analysis of the monopoly mechanism, it was shown changes in relationships between people. To trace these connections in derail in
in more general terms"' how and why. in the tension between monopoly rulers our own nme is a rnsk yet to be undertaken . The most general points can be
and monopoly servams at a certain degree of overall pressure. the tension balance quickly made . The structural forces working so ptrcepribly roday rowarcls a more
-i-i () State Formation mid Ciz'i!i2t1tio11 441

or less rapid changt of instirnrions and of interpersonal relationships, are ltadinir far as one person's knowledge permits, to clarify the questions and ro prepare a
no less cltarlv to corn:spondinf.: chanf.:eS in the personalin- structure. Here r too \\'<lY which, in the crossfire of discussion, may lead enquiry forward in collabora-
'- "- 0
wt only gain a cltar picrnre of what is happening by comparing it. as a spun tion with many others. The behaviour patterns of our society, imprinted on
a particular direccion. wirh rhe past mmemems of which ir is a conrinuarion. In iodi..-iduals from early childhood as a kind of second nature and kept alert in
the birth pains of other social uphta\als rht dominant standard of conduct of the rhern by a powerful and increasingly strictly organized social control. are ro be
upper classts was finally loostned to a greater or lesser extenr A period of explained, ir has been shown, not in terms of general, ahisrorical human
unctrtaimy preceded the consolidation of a new standard. Beha,iour patterns purposes, but as something which has evolved from the totality of \Vestern
wtrt transmitted nor only from abo,-e to below but. in line with the shift in the hisrory, from rhe specific forms of behaviour rhar developed in its course and rhe
social centre of grmiry, from below to above. Thus, in the courst of the rise of the forces of integration which transformed and propagated them. These patterns,
bourgeoisie, for example, rhe courdy-arisrncratic code of conduct losr some of its like rhe whole comrol of our behaviour, like the structure of our psychological
hold. Social forms became mort relaxed and in some ways coarser. The stricter functions in general, are many-layered: in their formation and reproduction
taboos placed in middle-class circles on certain spheres, abcne all those of monev emotional impulses play their part no less than rational ones, drives and affects
and sexuality. pervaded broader circles in varying degrees umil finally, as rhi.s 00 less than ego functions. It has long been customary ro explain the control to
specific balance of tensions disappeared. in alternating wa,es of relaxation and which individual behaviour is subject in our society as something essentially
renewed severity. elemems of the behaviour patterns of both classes were fused ra[ional, founded solely on logical considerations. Here it has been seen
imo a new. more stable code of conduct. differeml y.
The uphearnls in rhe midst of which we line are differem in structure from all Rationalization itself. and with ir rhe more rational shaping and explanation
those preceding rhem. however much they may cominue these earlier movements of social taboos has been shown 50 to be only one side of a transformation affecting
and be based upon them . Nen:rrheless. certain structural similarities wirh the rhe uho!e personality, the level of drives and affects no less than the level of
changes just described are encountered in our own rime. Here too wt find a consciousness and reflection. The motive force in this change in individual self-
relaxation of traditional patterns of behaviour. the rise of certain modes of sEeering is provided, it was shown, by pressures arising our of the manifold
conduct from bt!ow. and increased imerpenetration of rht standards of different inrerweaving of human activities, pressures operating in a particular direction,
classes: wt see an increased St\erity in some spheres and a certain coarsening in and bringing about shifts in the form of relationships and in the whole social
others fabric This rationalization goes hand in hand with a tremendous differentiation
Periods like this, periods of transition, give a particular opportunity for of functional chains and a corresponding change in the organization of physical
reflection: the older standards hme been called into question but solid new ones force. Its precondition is a rise in rhe standard of living and in security, or, in
are not yet arnilable. People become more uncertain in their conduct. The social other words, increased protecrion from physical attack or destruction and thus
situation itself makes "conducr" an acute problem. In such phases-and perhaps from the uncontrollable fears which erupt far more powerfully and frequently
only in such phases-much is open ro scrutiny in conduct that previous into the lives of individuals in societies with less stable monopolies of force and
generations rook for gramed. The sons begin ro think further where their fathers lower division of funcrions. Ar present we are so accustomed to the existence of
brought their reflection to a hair: they begin ro ask for reasons where their fathers these more stable monopolies of force and the greater predictability of violence
saw no reason ro ask: why must "one" behave in this way here and that way resulting from them, that we scarcely see their importance for rhe structure of
there' \Vhy is this permitted and that forbidden' \Vhat is rht point of this our conduct and our personality" \'Ve scarcely realize how quickly what we call
precept on manners and rhar on morals' Conventions that have long gone our ''reason", this relatively farsighted and differentiated steering of our conduct,
unrested from generation ro generation, become problems. In addition. as a with irs high degree of affect-control, would crumble or collapse if the anxiety-
result of increased mobility and more frequent meetings with people shaped in inducing tensions within and around us changed, if rhe fears affecting our lives
different ways, people are learning ro see themselves from a greater distance: why suddenly became much stronger or much weaker or, as in many simpler societies,
is rhe code of conduct different in Germany from that in England. different in both at once, now stronger, now weaker.
England from that in America. and why is the conducr of all these countries It is only when we penetrate these connections that we gain access to rhe
differem from that of rhe Oriem or of more primitive societies' problem of conduct and its control by rhe social code valid at a particular time"
The preceding investigations attempt ro bring some of these questions closer The degree of anxiety, like the whole pleasure economy, is different in every
to resolution. They really raise only problems that are "in the air They rry, as society, in every class and historical phase. To understand the control of conduct

L
"
Th1: Ciz'i!i::i11g Pmcess 4-i)

which a sociery imposts on irs members, ir is nor enough rn know rht unconsciously induce in rhe child are precipitated in him or her and henceforrh_
goals rhar can be adduced w explain irs commands and prohibirions \"c . reproduce rhtmse_lves more or l_ess auromarically. The malleable personality ot
. . . . . ' ., n1usr
trace w rhe1r source rhe _tears which mduce rhe members ot chis society, and rhe child is so fashioned by tears rhar 1t learns ro act in accord w1rh the
above all rht custodians ot ns precepts. w control conduce 111 rhis wav. \Ve revailing standard of behaviour. whether these fears are produced by direct
fore only gain a bt[[er understanding of rht changes of conduct and ;entiment i Physiecil force or by deprirnrion. by the restriction of food or pleasure. And
''. civilizing direcrion if we are aware of rhe changes in die strucrnre of fears and anxieties from within or without finally hold even rht
tears w which rhey are connecred. The direction of rhis change was sketched adult in their power. Shame, tear of war and fear of God, guilt. fear of
1
earlier:' rhe direct fear of one person for others diminishes: indirect or punishment or of loss of social prestige, man's fear of himself, of being overcome
imernalized fears increase proporrionately; and barb kinds become more even bv his own aftecrive impulses, all these art directly or inclirecdy induced in a
the waves of anxiery no longer rise so frequently or stttply, only w fall awav ' by other people. Their strength, their form and rhe role they play in :he
as sharply; wirh some oscillarion, slighr by comparison wirh the tarlitr individual's ptrsonaliry depend on rhe srrucrure of his society and his or her tare
rhty normally remain at a middle leveL \'Vhtn this is rhe cast. as has been within it.
conduce rakes on-by degrees and srngts-a more .. civilized .. character. No society can survive without a channelling of individual drives and atfocrs.
everywhere, the structure of fears and anxieties is nothing other than rhe wirhour a very specific control of individual behaviour . No such control is
psychological counterpart of the consuainrs which people exert on one another possible unless people exert constraints on one another, and all constraint is
through rhe inrtrtwining of their activities. Fears form one of rhe channels-and converted in rhe person on whom it is imposed inro tear of one kind or another
one of rhe most importanr-tl1rough which rhe srrucrure of society is rrans- \Xie should not deceive ourselves: rhe constant production and reproduction of
mi[[ed to individual psychological functions. The driving force underlying rhe human tears by people is inevitable and indispensable wherever people live
change in drive economy, in the structure of fears and anxieties. is a very specific wgether, wherever the desires and actions of a number of people interact,
change in rhe social constraints acting on rhe individual. a specific transforma- whether at work. in leisure or in love-making. Bm one should nor believe or
tion of rhe whole web of relationships. above all tht organization of force. attempt to be persuaded that rhe commands and fears which today set their
Quire often it seems to people as if rhe codes regulating rheir conducr towards srnmp on human conduct have as rheir .. purpose" simply and fundamenrally rhe
one anorhtr. and dms also the tears moving them, are somerhing from outside basic necessities of human co-existence. or that they are restricted in our world
tht human sphere . The more deeply we immerse ourselves in the historical w rhose consrrainrs and fears necessary to a srable equilibrium between rhe
processes in rhe course of which prohibitions, like fears and anxieties, are formed desires of many and for rhe maintenance of social collaboration. Our codes of
and transformed. tht srronger grows an insight which is nor withom importance conduct are as riddled wirh contradictions and as full of disproportions as are rhe
for our actions as well as for our understanding of oursehes: za ru/i::;e the forms of our social life. as is rhe structure of our society. The consuaints w which
fr; zchich thr-, illltl t1il.\,:1.!i1.:s thtJt Jlil1l't jhJ1jJ!l di'r.: hi111hn1-111(.ulr:. 'To bt the rht indi\idual is subjected rnday. and the fears corresponding to them, are in
possibility of feeling fear, just like that of feeling joy, is an unalterable part of their character, their strength and suucture decisively determined by rhe
human nature. But tht strength, kind and structure of rhe fears and anxieties that particular forces engendered by the srrucrurt of our society just discussed: by irs
smoulder or flare in The individual never depend solely on his or her own "narure" power and other diHerentials and rhe immense tensions created by them
nor, ar lease in more complex societies. on rhe "nature .. in the midst of which he Ir is clear in whar turmoils and clangers we livt. and rht interweaving forces
or she lives . They art always determined. finally. by rhe history and rhe actual determining their direcrion have been discussed. It is these forces, far more rhan
structure of his or her relations w other people, by the srructurt of society; and rhe simple constraint of working together, it is tensions and enranglements of
rhey change wirh ir. this kind which at present constantly expose the individual ro fear and anxiety.
Here, indeed, is one of the indispensable keys ro all rhe problems posed by the The tensions berween starts arising from the compelling dynamics of their
steering of human conduct and rhe social codes of commandments and "raboos". contests for supremacy over larger and larger dominions find expression for
The child and adolescent would never learn ro control rheir behaviour without individual people in specific frustrations and resrrainrs; rhey impose upon these
rhe fears instilled by other people. \'Virhour tbt lever of these human-made fears individuals a mounting work-pressure and also a profound insecurity which
the young human animal would never become an adult deserving the name of ,1 never ceases. All this. rht frustrations, the restlessness, the pressure of work, no
human being. any more rhan someone's humanity marures fully if life denies him less rhan rhe never-ending threat ro life, inherent in these inter-srare rensions,
or her sufficient joy and pleasure. The fears \vhich grown-ups consciously or produces anxieties and fears. The same holds rrue of rhe tensions ll'ithin each of
4-14 The Ci1'ili:::i11g Pmcess Std'' fom1t1tion t1nd Cil'i!i:t1tiol!

rhe difrerem state socieries. The uncomrollable, monopoh'-free corn , , rohibitions and tears on to the child. The htreclirnry characrer of monopolized
. , pet1t1 011 (), ' l
between people or the same srratum on the one hand, and the tensions and of social prestige finds clirecr expression in the parents' att1rnc e ro
difforem strata and groups on the ocher, likewise give rise, for the individual their child; and so the child is made to feel the dangers threatening these chances
cominuous anxiery and particular prohibirions or restricrions, They roo en>endto and this presrige, w fc:tl the entire: tensions of his society, e\en bdore he or she
rheir own specific fears: the tears of dismissal, of unpredictable exposure er knows anything about them .
in power, of falling below the subsistence level, which prevail in the lower . This connection between rhe external tears of the parems directly conditioned
and the fears o_f social degradation, of the reduction of possessions or independ- bv rheir social position, and the inner, auromatic anxieties of the growing child,
en_ce, of loss ot prestige and status, which play so great a part in the lifo of the i; certainly a fact of far more general significance than can be shown here. \Ve
middle and upper Slrarn. And ir is preciselv fears and anxieries of chis kind fi shall only gain a fuller understanding of the ptrsonaliry srrucrure of lhe
_ _ , ears
ot the loss ot disringuishing hereditary presrige, as was poimed om earlier,>:: that inclividuaL and of the historical changes in its moulding over successive
have had to chis day a decisive pan in shaping rhe prevailing code of conduct uenerations. when we are berrer able to obserw and analyse long chains of
Precisely rhese tears, ir was also seen, are particularly disposed to incernalizarion: than is possible today. Bm one thing has become clear enough e\en
rhey, far more rhan rhe tear of poverty, hunger or direct physical danger, becom; here: how deeply the stratificarion, the pressures and tensions of our own time
rooted in rhe individual members of such strata, through their upbringing, penerrate the srructure of the individual personality. _ .
inner anxieties which bind chem to a learned code almosr amomarically, under \Ve cannor expecr of people who live in the midst of such tens10ns, who are
rhe pressure of a suong super-ego, even independently of any control by others, rhus driven guiltle:ssly to incur guilt upon guilt against each other, rhat rhey
The continuous concern of parents whether their child will artain the standard of should behave rn each other in a manner representing-as seems so ofren co be
conduct of their own or even a higher srratum, wherher ir will maintain or belie\ed roclav-an ultimate pinnacle of "civilized" conducr. The continuous
increase the presrige of the family, whether it will hold its own in the inrerweaving of human acriviries again and again acts as a lever which mer rhe
competition within their own stratum, fears of this kind surround the child from cenrnries produces changes in human conducr in the direcrion of our scandard
its earliest years, and rhey do so in rhe middle srrata, in chose ambirious to rise The same pressures quirt clearly operate \\'irhin our own society towards changes
far more rhan in rhe upper suarum . Fears of chis kind play a considerable par; mrnscending present standards of conducr and sentiment in the same direcrion
in rhe control ro which rhe child is subjecc from rhe beginning, in the -although, roday as in rhe past, these rrends can go at any time inro reverse
prohibitions placed on him or her. Perhaps only pardy conscious in the parents, gear. No more rhan our kind of social srrucrnre, is our kind of conduct, our lenol
and partly already automatic, they are transmirred to the child as much by of constraints, prohibitions and anxieties, somerhing definitivt, still less a
gestures as by words. They continuously add fuel to the fiery circle of inner pinnaclt.
anxieties, which holds the behaviour and feelings of the growing child perma- To begin with, there is rhe consume dangtr of war, \Var, to repeat the point
nemly within definite limits, binding him or her to a cerrain srnnclard of shame in difftrtm words, is nm the upposirt of ptact. Through a ntcessity the reasons
and embarrassment, to a specific accem, to particular manners, whether he or she of which ha\t become cltar, wars berween smalltr units haw been, in the course
wishes or nor. Even the rules imposed on sexual life, and the automatic anxieties of history up to now. ine\itable stages and insrrumems in the pacification of
now surrounding ir- to such a high degree, stem not only from the elementary larger ones. Certainly, rhe vulnerability of the social structure, and so the risks
necessiry of controlling and balancing the desires of many who live together. and upheavals brought on all concerntd by the explosive \iolence of wars, increase
They also have their origins to a considerable extent in the pressures and tensions the further the division of funcrions aclrnnces, rhe greater the mutual dependence
in which the upper and particularly the middle strara of our society live, They of the rivals. \Ve therefore feel in our own time a growing disposition to resolve
too are very closely related to the fear of losing opportunities or possessions and future imersrare conflicrs by less dangerous means Bm ir is quite clear that, in
prestige, of social degradation, of reduced chances in the harsh struggle of life, our clay, just as earlier, the dynamics of increasing interdependence are impelling
induced from early on in the child by the behaviour of parents and educators. rhe figurarion of state societies cowards such conflicts, co the formation of
And even though these paremal constraints and anxieties may sometimes bring monopolies of physical force over larger areas of the earth and thus, through all
about precisely what they are supposed to prevent, even though the child might rhe terrors and struggles, towards rheir pacification. And as mentioned abme,
be made incapable, by such blindly instilled automatic anxieties, of succeeding beyond the tensions between continents and partly involved in them, rhe
in the struggle of life and attaining social prestige-whatever the omcome, it is tensions of the next stage are already emerging One can see rhe first oudines of
always the tensions of their society that are projected by the paremal gestures, a worldwide sysrem of tensions composed by alliances and supra-stare units of
-i-16 -!-!

various kinds. rht 1m:ludt of scru"des tmbracin" rhe whole v


"lobt \\[11c1 are sarisfacrion and fulfilmenc and rht consrraims imposc:d upon rhem (and
'--'-- .__ ' 1
precondirion for a worldwide monopoly of physical force. for a single . . liich humans would remain brmish animals and a danger as much to
1d10Ll [ \\ - .- . l t .
polirical insrirurion and rhus for rht pacificarion of rht eai-rh. "' Ives as w orhers)-rhar condirion rn which one so ohen rerers w1r 1 11g
rhemse such '15 "happ1nes'.:> . .. 4-lI1Ll ..,-iTt't'Llon1 ......... i, . . 1.1. /.:!: ... : /;.'!J
The case is no difterem wirh ecunomic srrugglts. Frte economic u 111 1J1r., .....
1
l:.ru 1,,ul th1... rit i.:r:.df d:..J11 ,n!(11 \11hlhL r111 :hl 01h h: 1!C
1 11 11 .J
rno. as wt ha\e setn. is nor jusr rhe opposire of a monopolistic order. It pi.:.r1jJ!:. '1

cons randy vtering beyond irself rowards chis opposirt. From rhis aspect mo our lh1:tfl dihl indin:1tir1;zs (jjJ thl othf:r If rhe structure ot hur11an

epoch is annhing bur a final poim or pinnaclt. no marrtr how many partial . . ns of j)tCJjJlt's inrerdtpendencits, has rhese characrtrisrics. if rhe co-
flt>UfJOO ' . - . - . . . l -
downfalls. as in srrucruralh similar rransirional ptriods. ir mar contain In L ". _, _ of [Jeoi1 le wirh each orhtr. which atrer all is rhe rnndmon of r lL
turs: i:xrstcnce - . . l - .. - LI -
rtspecr mo ir is full of unresohecl rensions. of unconcluded processes . c1 U.1. l c.
n d1\1 --xisrence of nch of rhtm tuncnons in such a way r 1a1 1c 1s lposs1 J el
;or
l ' . .

imegrarion rht durarion and exacr course of which are nor predictable and all rhost bonded ro each orher in rhis m,rnner ro anarn rh1s balance. r.1tn.anc
direcrion alont is clear: rht rendtncy of free comperirion or. which means the onh then can humans say of rhemselves some JUSC!Ct .rhar rhe) die U\
same rhing. rhe unorganized ownership of monopolies, ro be reduced and , 1 hen rhe\ are ar besr in the process or btcommg unl1zed Uncil rhen rhe)
abolished: rhe change in human relarionships by which comrol of opportunities Uno arc r.L1 e-r si\:.
may ' .
rl1 ,__c. ci,ilizin"
- b
[Jroctss is under wl\'. .
or, wich the old Holbach: "la
graclualh ceases ro be the htredirnry and privatt preserve of an tsrablishecl upper civilisarion n'tsr pas encore rerminee"
srrarum and becomes a funcrion under social and public conrrol. And here.
btnearh rhe n:il of rht prtstnr rensions. rhost of rhe nexr sragt are
visible. the rensions berwten rht upper and middle funcrionaries of the
monopolv adminisrrnrion. benvee:n rht "bureaucracy" on rhe one: hand and the
resr of socitry on rhe ocher
Onh- when chest rensions berwten and wirhin scares havt bten rnasrered can
we expect ro become mort rruly civiliztd. Ar presenr many of rhe rules of
conducr and sentimenr implanred in us as an inregral pan of our conscience, of
rht incli\iclual super-ego. are remnanrs of rhe power and srnrns aspirations of
esrnblished groups, and have: no orlitr funcrion rhan char of rtinforcing their
power chances and rhtir srarus superioriry. They htlp members of rhese groups
w such clisrincrion nor simply rhrough rheir own achitvemtm-whicb in
modtration is jusrified-bur rhrough rht monopolistic approrriarion of power
chances the acctss w which is blocked fcJr orher inrtrclependenr groups . Only
when rhe rtnsions berwten and wirl1in scares ha\t been masrerecl is rhtrc a
chanct rhat rhe regularion of ptoples aftecrs and conduce in rheir relations with
each orher can be confintd ro chose insrrucrions and prohibirions which are
necessary in order ro keep up rhe high level of funcrional clifforenriation and
inrerdtpendence wirhout which eve:n rht presem levels of civilized conduct in
people's co-exisrence with e:ach ocher could nor bt mainrained. !tr alone
surpassed. Only rhen is rhere a chanct. mo, rhar rhe common panern of self-
comrol expected of people: can be confined ro rhose resrraims which art necessary
in order that thty can liw wirh each orher and with rhemseln:s with a high
chance of enjoymtnr and a low chance of fear-be ir of orhtrs. be it of
themselves Only wirh rhe rensions and contticrs berween people can chose u.Zthi11
people become mildtr and less damaging ro rhtir chances of enjoyment. Then it
need no longer be rht exceprion. rhtn ir may ewn be rhe rult. rhat an individual
person can arrain che oprimal balance bttwetn his or her imperarive drives
Postscript (1968)

I
Nowadays, in thinking and theorizing abour the structure of human affects
and how they are controlled, we are usually content ro use as evidence
observations from the more developed societies of the present day_ \'{le thus
proceed from the tacit assumption that it is possible ro construct theories about
the affect structures of human beings in general on the basis of studies of people
in a specific society that can be observed here and now--our own. However,
numerous relatively accessible observations point ro the fact that the standard
and panern of affect controls in societies at different stages of deYelopment, and
even in different strata of the same society, can differ. \'\fhether we are concerned
with the development of European countries over centuries, or with the so-called
"developing countries" in other parts of the world, we are constantly confronted
by observations which give rise ro the problem of how and why, in the course of
rhe overall long-term transformations of society in a particular direction-for
which the term "development" has gained currency-the affecrivity of human
behaviour and experience, the control of individual affects by external and self-
constraints, and in this sense the structure of all forms of human expression is
altered in a particular direcrion. Changes of this kind are indicated in everyday
speech by such sratements as that the people of our own society are more
-ISO Th, Ciri!i::i11g P111ct.u Postscript -i 51

"civilized" than tht\. were earlitr. or that those ot lic1.inu Ir was [herefore necessaf\' to devote a part of this book to the
societies are
L
rkWlSt ' h. :::::- . .
unCJnl1zed (or tn:n more "barbaric") than those of our own T' and elucida[ion of factual conntc[ions in this area. The
. . . .
Judgements inherent .in. such statements are obvious: the facts ro which . strLrcmnl clnn<'t of socret\' as a whole, tendmg cowards a higher lt\Cl
whet l1tr '1 ' ' b . L . ,. .

relate_ are less so. Thrs is because empirical inn:stigations of f differentiation and integration, can be demonsm1ttd wr[h [ht aid reliable
rranstormations of personality srrucrnrts, and especially of affect controls 0
, . l evidence This has 1)roven possible. The process of srare rormanon.
emp1,ica . . . _
nse at the prtstnt stage of sociological research ro verv considerable dr;::.' . 11 P1rt Three is an exam1)le of [h1s kmd ot structural change
. . . . . . ullculnes discuss eel l ' . . . . . .
At the toretront ot soc10log1cal mreresr at present are rtlativelv sl Finally, in Part Four, in a provisional skt[ch of a theory of c1viliz111g processes.
. . . 1ort-term
processes. and usually only problems relarmg rn a given state of socittv
a rno d e[ 1 5 worked out showin" b
rht 1)ossible conntcrions between
_ .
[he long-term
. .._
term transformations of 0>ocial strucrnres. and therefore of personalitv ve in human personality srrucrnres cowards a consol1datron and ditfer-
as \H:ll. have by and large been lost from view. . l
cianb . l l
n at 1"tecr
enrw.oo (- 1 controls , 111d
'
the lon"-term
o
change
'-
111 the hgurauons w 11c 1
_ . _': . .
This book is concerned wirh rhese long-rerm processes. Cndersranclin
b .l l l b. .. . . . g it mav people form with one another cowards. a_ higher. level ot d1ttere11t1ar1011,. and
t arc ec )y a nef 111d1car10n ot the various kinds of such processes. To ' integration-for example, towards a d1fttre11t1'.mo11 and or the
with. two main directions in the structural changes of societies mav be chains of interdependence and a consolida[ion ot .. sratt controls
distinguished: those rending toward increased differenfr1tion 111d 111 t . '
L egrat1on
' '

and those tendmg toward decreased differentiation and integnrion In add' '
Jt!On,
L < <
there is a rh_rrd type ot social process. in rhe course of which the structure
L

II
soCJety or of irs particular aspects is changed. bm wirhom a rtndency towards
e1d1er an increase or a decrease in tht level of c!iffore11tia[ion and i11tegrarion. Ir can readily be seen [hat in adop[ing an approach direcrtd at factual connec-
F111ally. rhert are coumless changes in a socit[y which do nor involve a change in tions and rhtir explanation (that is. an empirical and thtore[ical approach con-
I[S This accoum dots nor do justice w [ht ti.ill complexi[y of such cerned wirh long-rerm srrucrnral changes of a specific kind. or .. ).
changes. tor [here are numerous hybrid forms. and ofren several rypes of change, we rnke leave of [he mernphysical ideas which conntcr the concep[ of devtlop-
twn 111 opposJte cl1rtct1ons. can be obstrYed simultaneously in tl1e same societ '. rnem either to d1t notion of a mechanical necessity or ro that of a [eltological
Bm for rht prese11t. [his brief ourline of the difttrt11t [ypes of change suffices :0 purpose The concept of civilization. as Parr One shows. has often been used in
inc!ica[e the problems with which [his srndy is concerned a semi-mtrnphysical sense and has remained highly nebulous unnl today
Parts Ont and Two of this srndy address above all the question of whether rhe rhe attempt is made ro isolate the factual core to which rhe current pr_e-scientihc
based on SGl[[tred observations, [ha[ rhert are long-term changes in notion of rhe civilizing process refers. This core consists primarily or [ht struc-
attect and comrol S[fL!Cturts of people in particular societies-changes which tural change in ptople toward an increased consolidation and differentia_[ion
follow one and the same direction over a large number of gentra[ions-can be their affect controls, and therefore of borh their experience (e.g . in the form of
confirmed by reliable evidence and proved to be factually corren. It therefore an advance in rhe [hreshold of shame and revulsion) and of their behaviour (e . g
conrains a11 accou11t of sociological investigations and findings. [ht bes[-known in the differentiation of the implements used a[ cable). The next rnsk posed by
cou11terparr of which in [he physical sciences is the exptrime11t and i[S resulrs. It rhe clemonsrrarion of such a change in a specific direction over many generations
is concerned wi[h [ht discovery and elucidarion of what actually rakes place in is w provide an explanation A sketch of one is to be found, as already
the as yet unexplored field of inquiry rn which our questions relate: the discovery mentionec!. in Parr Four of this work.
and description of factual connections. \virh rhe aid of such an investigation we likewise rake leave of the theories of
The demonscration of a change in human affect and comrol S[rucrnres raking social change predominant roday, which in the course of rime have taken the place
place o\er a large number of generations in [ht same direc[ion-ro state i[ brieflv, in sociolo"ical inquiry of an earlier one cenued on the old. stmi-meraphys1cal
b
the increased tightening and differemiarion of co11trols-gives rise ro a notion of development. As far as can be setn. these current theories scarcely ever
question. Is it possible ro relate this long-[erm change in personaliff strucmres dis[inguish in an unambiguous way between the differe11t types of social change
with long-term S[fllCtural changes in society as a whole, which [tile! in brieflv mentioned earlier. In particular, there is still a lack of [heories based on
a particular direction, roward a higher level of social differe11tiario11 and ime- evidence ro explain rhe type of long-term social changes which rake
grarioni The second volume of this study is concerned wi[h [htst problems. rhe form of a process and. above all, of a development
For these long-term strucrnral changes of soc1e[y. empirical evidence is \vhen I was working on Tht Ciri!i:ing Proct.rs it seemed quire clear ro mt [bar
452 The Cii'ilizi11g PmCi:ss Postscript 453

I was laying rhe foundarion of an undogmaric, empiricallv-based 0 IV


rheory of social processes in general and of social developn;enr in p .'JL".Ul01>ir,,
.
believed . . . . . . articular, I
ir qrnre obvwus rhar rhe mves(!gar10n, and rhe model of rhe If the nirious academic disciplines whose s_ubject-marrer is touched by this
process of srare formarion ro be found in Parr Three of The Cizilizinr " (including. above all, rhe discipline of soc10logy) had already reached rht
!
could serve equally as a model of rhe long-rerm dvnamic of soc ''. _ . srua: f- nrifi':c. m'irurirv 'lt [Jresenr en oved bv manv of rhe narural sciences. it
. . . . . . . 1enes in a rurre o sc1t1 ' '- 1. _
5
pamcular d1rect1on, ro wh1Ch rhe concepr of social developmenr refers. I did no '-:ht have been expected rhat a carefully documented srucly of long-term
believe ar rhat time rhar ir was necessary ro poinr our explicirlv rl1 1r rh r J11lo . . SLICh 'lS civilizinu or srare formarion processes, with rhe rheoretical
. , ' IS Stud, processes, ' b . . . . . _ .
was neither of an "evolmion'" in rhe ninereenrh-centurv sense of .Y .1 ls developed from it. would-either in its enr1rery or in some of its
_ . autornanc
progress, nor of an unspecific "social change'" in the rwenrierh-cenrurv sen, Propos,
.
. .
ifrer rhorough resting and d1scuss10n, after cntical s1 ting o ,1
r f II
. . . se. , 1 t aspens, ' , c1 .. 1 ,
rI1at time rh1s seemed so obvious rhar I omirred ro menrion rhese r11 . . ble or disiJroved content-have made some
. . . . . . . . . eoret1cal unsu1r,1 . mark on rlur c1sc1p mes
implica(!ons explic1rly. fh1s posrscnpr gives me rhe opporruniry to make good . k of emjJirical and rheorerical knowledge. Smee rhe advance 01 scholar-
this omission. ,roc f- 1 .
ship depends in large measure on inrerchange and cross- ern 1zat1on among
numerous colleagues and on the conrinuous developmenr of rhe common stock of
knowledge, ir might have been expected rhat rhirry later rh1s srudy would
III either haw become a pan of rht srandard k'.10wltdge of rht d1sc1plme or have
'oetn more or less su1Jerstded bv the work of others and Luc! to resr -
The comprehensive social developmenr srudied and presenred here rhrou ,h Insread, ] find rhat a generarion Llter rhis book still has rhe character of a
.. l - g-
one o f ns cenrra manifesrarions-a wave of advancing inreurarionb
O"er

"e 1
, vera, erinu work in 1 1xoblemaric field which rodav is hardh less in need rhan ir
p1one b ' . . . d
cenruries, a process of srare formarion wirh rhe complemenrary process of was thirty years ago. of rhe simulrnneous 1mest1gar1on rhe empmcal _an
advancing differenriation-is a figurarional change which, in rhe ro and fro of rheorerical plane rhat is ro be found here. Recognirion of the urgency of the_
conrrary movemenrs, mainrains, when surveyed over an exrended rime span, rhe problems discussed here has grown. Everywhere in rhe chrection
same direcrion rhrough many generarions This srrucrural change in a specific these problems are observable. There 1s no lack o.f attempts. ro solve
direcrion can be demonstrared as a facr, regardless of how ir is evaluated. The roblems to whose solution rhe empirical documenranon m The CI1"d1zli!g ProcdS
facrual evidence is whar marrers here. The concepr of social change by itself does ro contribme, I do nor belie\e these larer arrempts to have been
not suffice, as an insrrumenr of research, ro rake accounr of such facts. A mere
successful.
change can be of the kind observable in clouds or smoke rings: now they look To this, it must be enough ro discuss the way which the man
like rhis, now like rhac. A concepr of social change rhat does nor disringuish who ar present is \videly regarded as rhe leading theoretician of soc10logy. Talcort
clearly berween changes thar relate to rhe srrucrure of a sociery and rhose rhat do Parsons, arrempts ro pose and solve some of rhe problems dealt w1rh here .. Ir is
not-and, furrher, between strucrural changes without a specific direcrion and characrerisric of Parsonss theoretical approach ro arrempt ro dissect analyr1cally
rhose which follow a particular direccion over many generations, e.g., rowards inro rheir elemenrary compontnrs, as he once expressed ir, i the differenr types of
greater or lesser complexity-is a very inadequate rool of sociological inquiry. society in his field of observation. He called ont particular type of elementary
The situation is similar with a number of other problems dealt with here. pattern variables .. These parrern variables include rhe dichotomy of
Afrer several prepararory srudies which enabled me ro work my way through the ..affecrivin, .. and affective neutrality .. His conception can besr be understood by
documenrary evidence and ro explore the gradually unfolding theoretical prob- sociery to a game of cards: every type of society, in Parsons's view,
lems, the way ro a possible solution became clearer. I became aware rhat this represents a different "'hand" Bm the cards themselves are alway: the same; and
study brings somewhat nearer ro resolution the inrricate problem of the their number is small, however diverse their faces may be. One of rhe wirh
connection berween individual psychological structures (so-called personaliry which rhe game is played is the polarity berween affecrivity and aftecnve
srructures) and figurarions formed by large numbers of inrerdependenr indi- nemralirv Parsons originally conceived rhis idea, he rells us, through
viduals (social structures). It does so because it approaches borh types of structure social typology of Gw1eimch,1ft (community) and .(s_ooery).
not as fixed, as usually happens, but as changing, and as inrerdependenr aspects ..
.. Community , arsonsp ,11i1Je,1rs to bel1.eve, is characterized by aftecnv1ty and
of the same long-term developmenr soc1ery .. b\ affective neutrality. Bur in determining the differences berween
-l 5-! Pl)J/J<'i ipr -155

diftertnr r\"pts
.
of and bc:r\veen difftrtnr tl"!Jc:S
.
of relarionsl1 11,, ,.,. h.
' l t in of every sciemific rhtorv is ro reduce t\"eryrhing \"ariable w somerhing invanable.
and rht samt socien. he arrribmcs rn rhis .. parrern n1riable .. in rhe card and w all compltx phenomena by d1ssenrng rhtm rnrn rhe1r rnd!\ 1du,1l
rn rhe mhers. a wholly general meaning . In rht same conrtxt, Parsons cornponell[s. . . . _
hinbclf [() rhe problem or rhc:. relarion or social srrucrnre [() ptrsonality. l:-ie The example of Parsons's rheory demonsrran:s. however. char rheonzrng 111 rhc
1nd1cares char while ht had pre\lCiush sten rhtm mtreh as closelv connec d field of sociology is complicarecl rarher rhan simplified by a systemaric reclucnon
. . .. . .. . te and
rnn:rac(lng human ac(lon sysrtms . ht can now scare \\1rh cerrainty that in ,- --ocial !Jrocesses rn social scares, and or complex. hererogeneous srrucrnres w
or ' . . . - l . l
rhtorerical sense rhey are difforell[ phases or as peers of one and rhe j s,eminJC;h homoueneous componell[S. This krnd or rec UC(lOn anc
s1rnp er. c . c - . . . ,. .
rundamenral anion sysrem He illusrrarts chis by an example, explaining tha: absmicrion could be jusrified as a merhod or rheonzrng only_ tr ir led un-
\\har may be considered on rhe sociological plant as an insrirmionalizatlon ro a clearer and deeper undersrancling b\" people or rhemselves as
atfocri\"c: ncurralir1 is esstll[ially rhc: same as whar may be regarded on the <ocie;ies and as individuals Insread of chis we find rhar rhe rheories lormed by
personaliry as .. rhe imposirion of rtnunciarion of immediare grarificarion in the :uch methods. like rht epicycle rheory of Prnlemy. require needlessly com-
l!Heresrs ot disciplined organizarion and rhe longer-run goals of rhe ptrsonalitv" plicared auxiliar\" consrrucrions rn make chem agree wirh rhe lacrs.
Ir is perhaps useful for an undersranding '- of chis srnch- rn com11are
- r!1is .._arer
. They ofren appear like dark clouds rhrough which here and rhere a it\\ rays of
arrempr w sol\"e such problems wirh rht earlier one rtprill[ed in unchanged form tighr much the earth.
here [in rhe 1969 German edirion] The decisi\"e cliffertnce in sciemific approach.
and in rht conceprion of rhe objecrin:s of sociological rheory. is tvident v
e\"en rhis shorr example of Parsonss uearmem of similar problems. \Vhar in this
book is shown wirh rhe "id of exrensin: tmpirical clocumell[arion rn be a process, One example of chis. which will be discussed more fully lartr. is Parsons's
Parsons. by rhe srnric namre of his conceprs. reduces rerrosptcri\"ely. and ir seems arrempr rn develop a theorerical model of rhe relarionship btrwten personality
w me quire unnecessarily. rn scares. Insreacl of a relari\eh complex process srrucrnres and social srrucrnres In chis undertaking rwo nor very compauble
whtrtb\ rhe affl:nive lite of peoplt is gradual!) mo\"ed rnwards an increased and iJc:as are frequently rhoroughh- confused: rhe nmion char individual and
more e\en comrol of affecrs-bm certainly nor ro\rnrd a scare of rnrnl affective sociery-.. ego .. and "social sysrem .. -are rwo tmiries exisring independently of
nemraliry-Parsons presenrs a simple opposirion berween rwo scares. affectivirv each other. wirh rhe individual regarded as rht acrnal realiry and sociery rrtared
and arfocri\"e neuualiry. which are supposed rn be prestm ro cliffertm degrees as an epiphenomenon: and rht norion char rhe rwo are differem bm inseparable
different rypes of socieq, like different quantiries of chemical subsrnnces. Bv planes of rht universe formed by men Furthermore. like "ego .. and
rtclucing rn rwo differenr srnres whar was shown empirically in Thu . ..social svsrem .. and all those related rn chem. which refer rn human bemgs as
Pmcc.r.r rn be a process and inrerprertcl rheorerically as such. Parsons deprives and as socieries. are applied by Parsons-excepr when he is using
himself of rhc: pussibilif\ of disco\"ering how rhe di,ringuishing peculiariries of psychoanalyrical caregories-as if rht normal condirion of borh could be
difforenr socieries rn which he refors are acrnall) rn be explained . So far as is considered as an unalrerable srnre. Tht presell[ srndy cannor be properly
apparenr. he 'clots nor even raise rhe quesrion of explanarion The differenr scares uncltrsrnod if rhe view of whar is acrnally obserrnble in human beings is blocked
clenorecl by rhe anrithtses of rhe .. parrern rnriables .. are. ir seems. simply given. by such norions Ir cannor be undersrnod if we forger char conceprs such as
The subrh arricuhued srrucmral change rnwarcl incrc:ased and more e\"en affect "individual .. and .. socicn do nor relare w rwo objecrs exisring separarely bm rn
conrrol char may be obstrnd in reality disappears in rhis kind of rheorizing. differtm yer inseparable. aspens of rhe same human beings. and rhar borh a_specrs
Social phenomena in realin- can onh be obsern:d as de\"elopinu and ha\"ifl" (and human beings in general) are normally in\"Ol\"ecl in srrucrural rransrorma-
cle\eloped: rheir clissecrion. by of pairs of conceprs resrrict rion. Boch have the characrer of processes. and chert is nor rhe slighresr necessiry.
analysis rn rwo amirherical scares represems an unnecessary impoverishment of in forming rheories abom human beings. rn absrracr from chis proctss-character.
sociological perceprion on borh rhe empirical and rhe rheorerical levels. Indeed. ir is indispensable chat the concepr of process be included in sociological
Cerrninly. iris rhe cask of every sociological rheory ro clarify rhe characreristics and mher rheories relaring ro human beings . As is shown in rhis book. the
char all possible human socierits have in common . The concepr of social process, relarion berwetn individual and social srrucrnres can only be clarified if bmh art
like many others used in chis srndy, has precisely chis funcrion. Bur rhe basic investigared as changing, developing tll[iries" Only rhtn is it possible rn clewlop
caregorits selecred by Parsons seem ro me arbitrary ro a high degree. Underlying of rheir rela;ionship. as is clone here. which art in some agreemem wirh
chem is rhe racir. umesred and seemingly self-t\"idell[ norion char rhe objecri\"e rhe clemonsrrablt fans . Ir can be scared \\irh grtar cerramry char rhe relarion
-i56 Th1: Cil'i!izi11g Pn1ces.1 Postsffij1t

bttWttn what is rtferrtd ro concepruallv as rht "individLnl" 111d as " the present study upholds rhe idea, based on abundant documentary material,
. . . ' ' society" V/ll 1
rtma111 111comprehens1blt so long ,15 rhtse conceprs are used as if rhev rh<tt change is a normal characteristic of society. A srructured sequence of
rwo separare bodies, and (above all) bodies normallv ar resr whi;h l conrinuous change serves here as rhe frame of reference for investigating states
. . - . . . on v com
111ro comacr w1rl1 one anorher atrerwards as ir wtre. \\'irhour ever .. e Iocared ar particular points in rime. In prevailing sociological opinion, con-
, .. ., . . . . . . say tng 50
clear!: and opcnlJ, P.ir,ons and all ot the same j)trsuas 1'0 d \erscly, social siruations viewed as if they normally existed in a state of resr serve
. . ' n un oub _
eclly envisage rhose rh111gs ro which rhe concepts "individual" rnd so _., t as the frame of reference for all change, Thus a society is regarded as a "social
. . .. . . ' c1ety refer
,1s ex1snng separately Thus-ro give only one example-Parsons adopts th ;\'srem", and a "social sys rem" as a "sys rem in a stare of rest" Even when a
nonon alreadv devtlor)ed bv Durkheim rhat rhe rehtion b'[\\'etn ... d' cl e difterentiarecl, "highly developed" society is involved, rhe arrempr is
.. . .. . ... . . . ' in iv1 ual"
and society is an 1merpenerranon ' of rhe individual and rhe social svste often made rn consider ir as ar rest and self-contained . le is nor regarded as an
Howe\er such an "imerpenetrarion" is conceived, what else can rhis ' m. integral part of rhe inquiry to ask how and why this highly developed society has
. . .. _ metaphor
me,111 than that we are concerned with two ditterem entities which fi . developed to this srare of clifterentiarion. In keeping with rht sraric frame of
. .
separacelr and rhen subseguentlr "111terpenerrate'')' reference of rhe predominant sysrem-theories, social changes, processes and
This makes clear. rhe difference berween rhe two sociolouic1l 1pr)roi
, c
I developments, which include the development of a stare or a civilizing process,
. . . _ . . b ' , 1n
rh1s srucly rhe poss1b1lm of discernrng more precisely the connection b appear merely as something additional, a mere "historical introduction" rhe
. . . . etween
rnd1v1clual strunure_s and social srructures results from a refusal ro abstracr from investigation and explanation of which may very well be dispensed with in coming
tht proc:ss ot their clevelopmem_ as trom something incidemal or "merely roan unclersranding of rhe "social system" and its "strucrnre" and "funcrions'', as
hisroncal
. .
. For rhe strucrnres ot personalirv and of socitt\'. evol\e m an
rhey may be observed here and now from a short-term viewpoint. These con-
imerrelarionship. It can ne\er be said with certaimy rhat rhe people ceprnal rools themselves-including conceprs like "structure" and "function".
ot a society 11/'t c1vil1zecl
.
Bur
.
on the basis of S\'Stemaric
.
invesri b'
"'Hions re"'e
1 rrmg
which serve as rht badge of rhe contemporary sociological school of "structural
ro evidence, 1t can be said wirh a high degree of certainty that funcrionalists"-bear rhe stamp of this specific mode of thinking, which reduces
_groufs of people have btcr1111e mo_re civilized, wirhour necessarily implying processes ro srares. Of course, their originators cannot entirely dismiss the idea
chat it 1s Detter or worse, has a pos1rl\'e or negar1ve value. ro become more chat die "srrucwres" and "functions" of the social "unit" or irs ''parts", which they
ci_\:i_lized Such a change in personality srrucrures can, howen:r, be shown without picrnre as states, move and change. But rhe problems which ri1Us come inro view
ditficulry ro be a specific aspect of rhe development of social structures. This is are reconciled with rhe sraric mode of thought by encapsularing them in a special
attempted in what follows. chapter with the ride "Social Change", as though ir were something supplemen-
It is not particularly surprising ro encounter in Parsons. and in manv other rary ro rhe problems of rhe normally unchanging sysrem. In rhis way "social
contemporary sociological theoreticians. a tendency to reduce processes stares change" irself comes ro be rrearecl as an arrribure of a state of rest. In other
even when these \Hirers are explicitly concerned wirh the problem of social words, rhe basic, process-reducing attitude is reconciled with empirical observa-
change . In keeping with the predominam trend in sociology, Parsons rakes as his tions of social change by introducing into rhe rheorerical waxworks of morion less
Starting-point the hypothesis rhat every society normally exists in a srate of social phenomena a few more equally motionless figures with labels like "social
unchanging equilibrium which is homeosrarically preserved. Ir changes, he change" or "social process" In this way rhe problems of social change are in a
supposes,' when this normal stare of social equilibrium is clisrnrbecl bv for sense frozen and rendered innocuous ro sratically-orientared sociology, So ir
example, a violation of the social norms, a breach of conformity Social happens that rhe concepr of "social developmem" has almosr completely
thus appears as a phenomenon resulting from the accidental, externa!lv acti\ated vanished from rhe sight of contemporary sociological rheorisrs-paracloxicallr, in
malfunction of a. normally well-balanced social system, J\foreover, society a phase of social development when, in acrual social life and pardy also in
thus d1srurbed srnves, in Parsons's view, ro regain irs state of rest. Sooner or larer, empirical sociological research, people are concerning themselves more intensely
as he sees ir, a different "system" with a different equilibrium is esrablished. and consciously than ever before with problems of social development,
which once again maintains itself more or less auromarically, despite oscillations:
in the given stare. In a word, the concept of social change refers here ro a VI
state between rwo normal states of changelessness, brought about by
maltuncrion. Here, roo, rhe difference between rhe theoretical approaches In writing a postscript to a book rhar on both rhe rheorerical and the
represented by rhis study and by Parsons and his school emerges vef\' distincdr. empirical side is squarely opposed to widespread tendencies in contemporary
-158 The Cirili::i11g Pro,ss -i59

sociology. one has a cerrnin obligation rn tell rhe reader clearh and , b<isis for further research in light ?f rht more comprehensive knowledge
how and why the problems posed here. and rhe steps taken ;o
solve them
1
,. wailable, and \vhich should hnd rhe1r place as expressions ot nme-bound
\ '
flO'' .
from those of rhe predominant type of sociology. and particularly from ' palirioil or philosophical prejudice, wirh a suitable rombsrone, 1n rhe graveyard
rheorerical sociolou\. To do rhis. one cannot tntireh evade rhe ,_ . of Jead doctrines _ . .
. . _ . .. i 1ow It is
rn be explarned that soc10logv. for whose leadrnu nineteenth-century rei Instead. an extremely sharp reaction against the rype ot soc10log1cal theory
. _ . . "' . . )resenra-
r 1ves rhe problems ot long-term social processes were of primordial concerned wirh long-term social processes ser in. The srudy of tht long-term_
should in rhe rwentierh century have become a sociolou\ of sre1d\ srires development of society was almost uni\ersally decried, and rhe ce_ntre ot
. . . _ c. ' . ' to such
an exrenr rhar rhe rnvesngar1on ot long-term social processes has as much as <ociological inreresr moved. in a radical reaction against rhe older type of theory.
disappeared trom 1rs research acciviq. \\iirhin the scope of this postscript ro rhe investigation of darn 011 society conceived as normally existing in a sn:re
cannot presum('. ro discuss rh1s d1splac('.mtnt ot rhe centre of interest of rest and equilibrium. Hand in hand with this wem rhe hardenrng ot a
sociolo!..'.ical research. and rhe radical chanue in rhe entire sociolou1cil m"n - collecrion of srereoryped arguments against rhe older sociological theories and
. . c ' " ner ot
rhrnking connected wirh it. with rht rhoroLwhness
L- , 0 rhev
deserve
Btit h
t e rmim of rheir central concepts, particularly rhar of social de\elopment As these
is importam for an understanding of rhe present book, and beyond .lo" .srs did not trouble ro disrin"uish berwetn rhe facr-based and the
WCI 0 b 1 o _
rhar tor rhe further _devtlop:nem of s?ciology, rn be passed over in complere ideological elements in rhe concept of devtlopmenr, rhe whole discussio'.1 or
silence. I shall therefore conhne myself ro picking out a few elements from the long-term social processes, particularly developmental processes, was henceforth
of conditions responsible for this regression in rhe imtllecrual apparatus with one or another of the nin('.teenth-century systems of belief, and
ot sociology and rhe concomitant narrowing of irs field of inquiry.. so. above all. with rhe notion rhar social developm('.nt, whether proceeding in a
The mosr obvious why awareness of rhe significance of problems oflong- srraiuhr line without conflict or dialecrically with conflict, must auromarically be
rtrm soual change. ot rhe sociogtnesis and den:lopmem of social formations of all ;l b
for rhe better ' a movement in rhe direction of prouress.
'-
from rhen on
kinds has been largely lost rn sociologists. and why rhe concept of development it appeared almost old-fashioned to occupy onestlf with questions _of social
has fallen inro disrtpure among rhcm, is ro be found in rhe reaction of manv Jevelopmenr. Ir is sometimes said rhar generals. in planning strategy tor a new
sociologisrs-abo\e all. rhe ltading rheorericians of rhe rnentierh war, rake rhe strategy of the old one as their model. To assume without question
certain aspects of rhe most prominent sociological rheorits of rhe that concepts like "social dtvtlopment' or "long-term social processes" inevitably
cenrury. Ir has been shown rhar rhe theoretical models of long-rtrm social include rhe old idea of progress is ro proceed in a similar way.
development elaborated in the nineteenth cenrury by men like Comte, Spencer, \\le find, rherefore, in rhe framework of sociology. an inrellecrual development
Marx, Hobhouse and many others rested in part on hypotheses determined inrnlving a radical swing of rhe pendulum from a one-sided position rn an
primarilv by the political and philosophical ideals of these mtn and onlv opposite position no less one sided. A phase in which sociological theorists
secondarilv by their relation ro facts. Lm:r generations had a much larger and primarily sought models of long-rerm social den:lopmenr has been succeeded by
consrnnrly increasing supply of facts at their disposal. of the one in which rhey are primarily concerned with models of soci('.ties in a srnre ot
classical ninereenrh-cenrury theories of de\tlopment in light of rhe more rest and immutabilirv. If research was once founded on a Hernclirean kind of
comprehensive findings of subsequent generations made many aspects of the basic assumption rha; all is in flux (with rhe difference rhar it was taken almost
earlier process-models appear questionable or at any rate in need of revision. for granted rhar rhe flow was in rht clirecrion of improvement), ir is based now
Mani of rhe sociological pioneers articles of faith were no longer acceprtd by on Elearic idea. The El('.atics. ir is said. imagined rhe flight of an arrow as a
rwentierh-cemurv sociologists. These included. above all. rht belief rhat the series of stares of resr: acrually. ir seemed to rhem. the arrow does nor mo\e ar all.
de\elopment of society is necessarily a development for rht berrer. a movemem For ar everv given moment it is in a particular place. The assumption of many
in rhe direction of progress This belief was empharicalh rejected bv manv later present-day sociological rheorisrs that societies art usually ro be found in a srnre
sociologists in accordance with their own social experien.ce They more of equilibrium. so rhar the long-term social development of mankind appears as_
cl('.arly in retrospect rhar rhe earlier models of development comprised a mixture a chain of sraric social rypes, is strongly reminiscent of rhe Elearic conception of
of relarively fact-based and of ideological notions. rht fliuhr of an arrow How can rhis swing of rhe pendulum from one exrremt to
In a marure discipline one might. first of all. have ser about rhe rnsk of the orl1er in rhe development of sociology bt explained;,
revisin.g and correcting rhe earlier models of developmem. One might have uied, At first sight ir seems rhar rhe decisin: reason for rhe change in rhe
in this siruarion. to ascerrain which aspects of rhe old theories could be used as orientation of sociology is a reaction of scientists proresring in rhe name of the
PostsaijJt -i6 l
460 Th, Cfrilizing Process

scientific character of their research against tht interference of political ullined the advantage over those seeking to preserve rhe ex_isting soc_ial order in
philosophical ideas in the theory of their subject Exponents of com. and ". rerests of the esnblished courrh-dvnasric. arisrocranc or parr1crnn power
.. . . . . . emporarv rne in ' . . . . . . .
souolog1cal theones of steady scares art themselves otren inclined to ' elites. It was the former who, in keeping with their s1tuat10n as rhe nsmg classes,
interpretation. On closer examination, however, it is found robe inadequate. !Juel high expectations of a better future And as their ideal lay not m rht. present
reaction against the sociology of development ixedominant in tl1e ni'n eteenrh but in rhe future. they were particularly mrerested m rhe dynamics,_ the
L.

century was not d1recred s1m1)lv against the 1;nmacv of ideals the domi'na development. of society. In conjunction wirh one or of. these ns111g
. . . : . . ' nee of
preconceived social. docmnes, m rhe name ot scientihc obi'ecrivitv.. It "' industrial classes, the sociologists of_ rhe rime sough;_ confirmat10n that the
. . nas not
simply rhe express10n ot a concern ro pull aside the veil of short-lived notions of development of mankind would move 111 the direcoon or their wishes hopes.
whar society ought ro be, in order ro ]Jtrceive the real dvnamics and flrnct 1 They did so by exploring rhe direction and the driving forces_ or soCial
. _. . : '." . . . . onmg development hirherro. In rhis acrivity they undoubtedly brough: ro light a very
ot souerv irselt. In rhe last analvs1s It was a reacr10n a"amsr pri'macy or"
. . . . . . . o '
jh1rt1mla_r ideals m soc10log1cal theory, in rhe name ot orhers partly opposed to considerable amount of adequate knowledge on the problems or sooal develop-
rhem. It in rhe nineteenth century specific conceptions of what ought ro be or of menc Bm it is often very difficult in rerrospect ro distinguish between speofic
what was desired-specific ideological conceptions-led ro a central interest in hereronomous doctrines filled with short-lived, rime-bound ideals and those
rhe development of society, in the twentieth century other conceptions of what conceptual models which have a significance independent of these ideals, and
ought rn be or is desirable--other ideological conceptions-led ro rhe pro- reliant solely on verifiable facts. .
nounced interest among leading sociological theorists in the state of society as it On the other side in the nineteenth century were to be heard rhe voices of
is, to their neglect of problems of rhe dynamics of social formations. and to their chose who, for one reason or anorher, opposed the transformation of society_
lack of interest in problems of long-term processes and in all the opportunities through indusrrializarion, whose social fai rh was oriented ro\vard conservation of
of explanation that the investigation of such problems provides. rhe e:isting heriwge. and who held up, against what they took ro be rhe
This sharp change in the characrer of social ideals, encountered here in the deteriorating present, rheir ideal of a berrer pasr. They represented not only rhe
cle\elopment of sociology, is not an isolated event. Ir is sympromaric of a more pre-industrial elires of rhe dynastic srares but also working groups-
comprehensive change in rhe ideals predominant in rhe countries in which rhe above all, those engaged in agriculture and handicrafts, whose rraclmonal
main work of sociology is concentrated This change points, in turn, ro a specific liYelihoods were being eroded by advancing inclusrrializarion. They were rhe
transformation that has been raking place in rhe nineteenth and nventieth cen- opponents of all those who spoke from the sranclpoint of rhe two rising industrial
turies in the internal and external relations of the older, more developed classes-the commercial class and rhe working class-and who, !I1 keeprng w1rh
industrial stares. Ir must suffice here-as a sketch of a more extensive inguiry- rhe rising siruarion of rhese classes, drew their inspiration from a belief in a
to indicate briefly rhe main outlines of this transformation. This will facilitate better future. the progress of mankind. Thus, in rhe nineteenth cenrury, rhe
understanding of sociological studies which, like the present one, give a central chorus of voices was split berween those exwlling a better past and those
place ro the investigation of long-term processes. The purpose is not to arrack celebrating a better future
other ideals in rhe name of one's own, but ro seek a better understanding of the Among rhe sociologists whose image of society was oriented roward progress
structure of such processes themselves and ro emancipate the theoretical frame- and a better future are ro be found. as we know, spokesmen of the two industrial
work of sociological research from rhe primacy of social ideals and doctrines. For classes Thev include men like Marx and Engels, who identified rhemsel\'es wirh
we rnn only elicit sociological knowledge which is sufficiently adequate ro be of rhe indusrri.al working class; and rhey include bourgeois sociologists like Comte
use in solving the acure problems of socierv if in posing and solvin" sociolo<>ical at the beginning of the nineteenth cenrury or Hobhouse <lt rhe encl The
problems, w: cease giving precedence ;reconcei;ed notions : f what' the spokesmen for the rwo rising industrial classes rook confidence in the thought of
solurions ought ro be over rhe investigation of what is. rhe future improvement of the human condition, even if what they envisaged as
improYement and progress varied widely depending on their class" If one is ro
understand whv rhe belief in progress waned in the rwenrierh century and why,
VII
corresponding!;,, interest among sociologists in the problems of long-term social
In the industrializing countries of rhe nineteenth century in which rhe first development declined, ir is of no small importance ro realize how intense was the
great pioneering works of sociology were written, the voices expressing the social interest in the problems of social development in the nineteenth century, and ro
beliefs, ideals, hopes and long-rerm goals of rhe rising industrial classes gradually ask on what rhis interest was founded.
BLIE rn undersrand Ehis shifr iE is nor enough. as has been But rhe conrtmpE htaped in rht rwenriedi cenrurv on rht preceding ctnruries'_
considtr only class i1gurarions. rht social relarionships within halllJ\V .. btlitf in progress or their notion of a progressive ot
industrial classes widiin rhe industrializing starts of Europe: in rht , soci-r\" rht obstructions blockinu sociologisrs' vie\\. of problems ot long-
ha!11<l .
11 c " . . .
or
c .
cc:nrnry went hand in hand with rhc: continuing rise: these nations rer!11 social proctssc:s; rht almost complete: disappearance or rht conc_tpr ot soual
In rhar ctnrnry rhtst narions drove each orhtr b1 consrant rivalrv w developmenr from sociological rexEs-rhest and mher symproms ot ctn txtrtmt
. . . . . a greater
111crtase ol rhc:1r predom111anct o\tr less de1eloped nar1ons than ever before. swing of rht inrelltcrnal pendulum are nor suflicienrly explained by rht upheavals
only che classes wirhin rhtm bur also rhtse srart-socieries in rheir rocil1 , of war and relaEed e\tnts. To undersrand them, wt must also rake account of
. . . . . . ' t} were
ris111g. txpand111g social tormar1ons . hc clnnues in rhe rwenritrh centun, in rht o\trall inrtrnal srrucrurt and
cpeu ' c
Om: mighr be rempred ro anribL1Ee rht belief in progress in European ;nrernarional posirion of dit great indusrrial nations of rht nineretnth century.
in rht centuries preceding'-
rhe rwentiech I)[imarih-. ro rhe i)roress
c
i11 sc 1,"1...nce \Virhin rhtst nations rhe represenrarives of rhe rwo industrial classes. rht
rechnologv. Bur rhar is ctn insufficient explanation. How lirde rhc: experience: ncj L1rri1!
"
bourueoisie
c- and rht indusuial working'- class. have in rht course of rhe
1
scientific and technological progress alone gi1es rist roan idealizacion of proirr-ss nventitEh century firmly now esrablished rhtmsc:lves against tht earlier clynasric-
0
ro a confident L1idi in rhe continuous improvement of rht hunnn ccJtia'i'Ei ' ' ariswcraric milirnry power elires as rhe ruling groups in rheir srares. The two
' on, 1s
shown clearly enough by cht rwenritdi century. The acrnal degree and tempo of indusuial classes hold each OEhtr in crn ofctn precarious and always unstable
progress in science and cechnology in rhis century exceed rhar in rht balance of rensions, with the olcl-esrnblishtd working class srill in tht weaker
centuries very considerably. Likewise, rht srandard of living of rhe masses in Ebe position. bur slowly gaining strength. The rising classes of d1e nintreenrh
countries of rhe lirsr wa1e of inclusrrializaEion has been higher in rhe Ewemieth century. \Vho still had ro lighE wirhin Eheir scaEes against rhe tradmonal dynast!C
century Ehan in preceding centuries The start of htalrh has improved; life elirt. and for whom development. progress. a berrer furure was nor only a fau
txptcrancy has increased. Bur in rl1t wrnl chorus of Ehe rime. che HJices of rhose bm also an ideal of grear emotional significance, have become in rht course of rht
\Vhu affirm progress as sumtrhint: valuable. who see in cht impro\tmenr of the E\l'tnrierh cenEUff rhe more or less established industrial classes whose rtprt-
rnndirion of men die ctmrtpitce of a social ideal. and who believe conlidenrlv in semarivts art insralltcl insrirurionally as rht ruling or co-ruling groups Pardy as
rhe btrrtr future of mankind, ha\e become appreciably fewer chan in preceding parrntrs, parch as opponents. rht reprtsenrarivts of rht industrial bourgtoisit
centuries. On rl1t orher side of rhe choir. the \oices of dwse \\hu casr doubE 011 and rhc: tsrnblished industrial working class now form rhe primary tlire in rht
all rlitst dt\tlopmenrs, who stt no great promise of a btrter future for mankind nations of rht first wave of indusrrializarion A.ccordingly. alongside class-
or even tlJr rhtir own nacion, and whose central social fairh conctnrrarts instead consciousness and class ideals. and pardy as a disguise for rhem, national
on dit present as the highesr \alut. on rhe constf\'ation of Ehtir own naEion, on consciousness and rhe ideal of rhtir own nmion as rhe highest rnlut play an
die idealization of irs existing social form or ewn of irs pasr. irs heritage: and irs increasing role wiEhin the rwo industrial classts-lirsr of all in rhe industrial
tradiriona! order. art increasing in rhe rwenrierh cemury and gradualh becoming bourgeoi;it, bur increasinglv in rhe indusrrial working class as wt!!.
t\tr louder. In rht precec1ing centuries. in which acrual progress \ms ,;lrtadv Se:n as an ideal. howtvt;., rlit nation wrns arrenrion rn whar already txists .
palpable 1er still slow and rt!aEively limiEed, rhe idea of future Since reprtstnrariws of rht rwo powerful and populous industrial classes no\v
had die charautr ofan ideal rowards which irs adherents wtrt stri\ing and which havt access ro posiEions of power in rht start, rht narion, organized as a srare as
possessed high value precisely as an ideal. In rlit nvenrierli centurv. when. in die ir now is, appears emotionally and ideologically as Eht highest value . In rliis
older industrial nations. actual progress in science. ttchnolo;\. healrh, d1e sense, ir appears as trernaL immutable in irs essential ftawres. Historical changes
standard of li\ing and noE least in rht reduction of inequaliry berwten people affect onlv externals; rhe people. rht nation, so ir appears. do noE change. The
exceeds by far rht progress in all previous cenruries, progress has ceased for manv English, German. French. Iralian and all odier muions art, for rhost who con-
ptoplt to bt an ideal. Tht 1oices of d1ose who doubE all rhis acrnal progress srirurt Ehtm, everlasting . In rheir "essence .. rhey are always rhe same. wheditr we
gro\v1ng mort nun1erous. are speaking of rhe tenth or rhe EWtntitrh century.
The reasons for diis change are manifold Nor all nttd bt considtrtd htre . The Funhermore. ir was nor only the rwo industrial classes within rht older
recurrent \1ars. rhe incessant danger of war, and rlit thrtac of nuclear and orher inclusrrial naEions which changed, once and for all, in rht course of the rwentierh
ne1v scientific weapons certainly contribure ro rhis coincidence of acceltraring centufl'. The rise of rht European nations and of Eheir offshoots in other parts of
progress. particularly in d1e scientific and rechnical fields. wirh diminishing rhe which had gone on for ctnrurits, also came slowh ro a srandsrill in
conficlenct in rht value of rhis progress and of progress in general our own. Certainly. rhtir acrual !tad over non-European rnuions (with few
-i6-i The Cii'ili::i11g Pm({;ss Postscrij1t 465

exceprions) ar firsr remained large: for a rimt ir evtn incrtased. Bur the idea specific changes in rhe realm of ideas and in rhe modes of thought of intellectuals.
formed and established itself in the al(e of the unchallenl2'.ecl ascendincv ,. h rhe eighretnth and nineteenth centuries. philosophers and sociologists who
. . ,_ - ' f or t e
European nanons, as among._ all powerful and rulml(,_ ,l(rou1Js
__ in the world , ti1at t hp, spoke of "society" wtre usually thinking of "bourgeois society"-thar is, aspects
power rhe1. wert <tble ro wield over other nations was the expression of an e of social life chat seemed to lie beyond rhe dynastic and military aspects of rhe
n:ission bestowed on chem by Goel or naturt or historical destiny. rhe expression sratt. In ketping with their situation and their ideals as spokesmen for groups
of a superiorirv' over those less powerful which was founded in their vervJ esse nCP which were by and large excluded from access to the central positions of state
This idea of their own self-evident superiority. detply roored in the self-image power. these men, whtn talking of society, usually had in mind a human society
the older industrial nations, has been profoundly shaken by rhe actual of trnnscending all stare frontiers. \\/irh rhe extensive assumption of state power
development in the twentieth century The reality-shock suffered when a national by representatives of the two industrial classes, and with rhe corresponding
ideal collides with social reality has been absorbed by each nation in a differenr development of national idtals in these two classes and particularly in rheir
way, according to its own dewlopment and the specific nature of its national self. represenrativt ruling e!itts, chis conception of society was changed in sociology
image For Germany rhe more comprehensive significance of this collision was as well.
first concealed by the more direcr shock of the military defeats. But it is In society at large, rht various class ideals of rhe industrial classes are increas-
indicarive both of the strength of the old national ideals and of the ingly mingling and inttrpeneuating with national ideals. Certainly, conservative
auronomy of chis development as a whole char even in the victorious countries of and liberal national ideals show a differtnt nuance of nationalism than do socialist
the second European-American war, at first, immediately after the victory had or communist ones. But such nuances influenced only marginally, if at all, the
been won only very few people setm to have realized how radical!; and broad outline of the change char rook place in the arrirude toward stare and nation
fundamentally the milirnf\' conflicts bttween two groups of relatively highly of the established industrial classes, including their political and intellectual
developed countries would reduce the power of this class of counrries as a whole spokesmen, when these classes, ctasing to be groups excluded from central state
over the less dtveloped countries, a reduction which had been in rhe offin" for power, btcame groups truly consrimring the nation, whose leaders themselves
some time. As is often the rnse, this sudden diminution in their power found the represented and exercised statt power It corresponds with chis development char
previously mighty countries unprepared and bewildered many twtntitrh-cenrury sociologists, when speaking of "society'', no longer have
The acrual opporrunities for progress. for a better future. are-lea\ing aside in mind (as did their predectssors) a "bourgeois society" or a "human society"
the regressive possibilities of war-still very great for the older industrial ;ations, beyond rhe state, but increasingly the somtwhat diluted ideal image of a nation-
But in relation ro their traditional national self-images, in which rhe idta of their swre \\/ithin their general conception of society as something abstracted from
own national civilization or culrure is usually ensconced as the highest value of the reality of tht narion-srate, tht abovt-mentioned political and ideological
mankind. rhe furure is disappointing. The idea of rhe unique nature and value of nuances are again co be found. Among rhe leading sociological theorists of rhe
one's own nation often serves as legitimation for char nation's claim to lead all twentieth century. conservative and liberal as well as socialist and communist,
other nations. Ir is this stlf-image, chis claim ro leadership by rht older industrial shades are to be found in the image of society they portray Since, in rhe twenritrh
nations, that frns betn shaken in rhe second half of the rnentierh century by what century, American sociology assumed for a timt the leading role in rhe develop-
is still a very limiteCl increase in power among rltt poorer. previously dependent ment of theoretical sociology, rht dominant type of sociological theory of this
and partly subjugated pre-industrial societies in othtr parts of rhe world.; period reflected rhe specific character of tht predominant American national
In ocher words, chis reality-shock, in so far as it affects rht emoriw vale of the ideal. within which constrvarive and liberal ftamres are nor so sharply divided,
present state of a nation in regard ro its furure possibilities, merely reinforces a or felt to be so antithtrical, as in some European narion-srates, particularly
ttndency already present in national feeling that what rhe nation is and always Germany.<'
has been, its eternal, unalterable heriragt, possesses a far greater emotive value, In sociological discussions, and in philosophical debates as well, the rejection
as a means of self-legitimation and as an expression of the national scale of values of certain aspects of the sociological theories of tht nineteenth century-above
and the national idtaL than any promise or ideal located in rhe future. The all, their orientation toward social development and the concept of progress-is
"national ideal" draws attention away from what changes to rhe enduring and the often presenttd as based solely on tht facma! inadtquacy of thtst rhtories. The
immurable. short survey char has been given here of one of rhe main structural tendencies of
This aspect of rhe transformation raking place in the European scares, and in the development of relations wi chin and between rhe older industrial nations
a number of closely related non-European states as well. has been matched by throws inro sharper relief certain ideological aspects of chis rejection. In
-i66 Postscript 467

accordance wirh rhe concepr of ideolot;v cleveloptd wirhin rhe Marxian tr"d. oscillations of rhis equilibrium do occur, bm normally sociery exisrs in a srate of
' " 1t1on
one milihr seek ro tXj)lain rhe ic!tological asi)tCfs of rht nedecr <)'i" ::i.Octai
L ._ .._,
. '. resr. All irs parrs. in this conceprion. are normally harmoniously arrnned ro one
development, and rht preoccuparion wirh sready-srare social sysrems, ,l!1orher. All individuals belonging ro ir are normally arruned by rhe same kind
in recenr sociological rheorits. solely by reftrc-nce ro rhc- ideals of classes of socializarion ro rhe same norms. All art normally well-inregrattcl. respecr rhe
hopes. wishes and ideals are relared nor ro rhe future bm ro the conservation of same values in rheir acrions, fultil their prescribed roles wirhour difficulry
rhe exisring order. Bm rhis class-explanarion of rhe social beliefs and Conrlicrs berween rhem do nor normally occur; rhest, like changes in rhe system,
implicit in sociological theory is no longer sufficient in rhe rwenrierh century, J.rt manifesrarions of malfunction . In shorr, rhe image of sociery represented
In rhis ptriod wt musr also rake accounr of rhe dtvelopmenr of narional rbeorerically by rhis concept of rhe social sysrem reveals irself on closer
rhar rranscend social classes in order ro uncltrsrand rhe ideological aspects of inspecrion ro be the ideal image of a narion: all the people belonging ro ir obey
sociological rhtories. The inregrarion of rhe nvo indusrrial classes inro a state the same norms on rhe basis of rhe same sociaiizarion, uphold rhe same values,
srrucrure previously ruled by numerically very small pre-industrial minoritie<> and rims live normally in well-inrtgrated harmony wirh one anorher. In rhe
rhe rise of borh classes ro a posirion in which rheir represenrarives play a conceprion of rhe .. social sys rem .. rhat we have before us, in orher words. rhe
or less dominanr role in rhe scare, and in which even rhe weaker secrors of the image of rhe narion as community can be discerned . Ir is racirly assumed rhar
indusrrial workers can no longer be ruled wirhour rheir consenr; and the wirhin such a "sysrtm" there is a relarively high degree of equality between
resulring srronger identification of borh classes wirh rhe narion-all rhese factors people, for inregrarion resrs on the same socialization of people, on rhe
gin: special imperus. in rhe social attirudts of rhis rimt. ro the belief in one's uniformiry of rheir values and norms rhroughout rhe enrire sysrem. Such a
own narion as one of rhe highesr values in human life. The lengthening and .. sysrem" is therefore a consrrucrion absrracted from a democrarically conceived
mulriplicarion of chains of inrercleptndence berween stares. and rhe heihtening m1tion-srare From whare,er side rhis consrruction is considered, rhe disrinction
of specific rensions and conrlicrs berween states resulring from rhis. rht berween whar rhe narion is and whar the narion oughr robe is blurred. Just as
rous narional wars and rhe ever-presenr danger of war-all rhese facrors conrribure in rhe ninereenrh-cenrury sociological models of development rhe desired social
ro rhe growrh of nation-cenrrecl parrerns of rhoughc process was presenred (mingled wirh realisric observarions) as a facr, so in rhe
Ir is rhe convergence of rhese inrrnsrare and inrersrare lines of development rwenrieth-cenrnry sociological models of a normally unchanging "social sysrem"
in the older industrial narions rhar has weakened the ideal of progress, rhe the desired ideal of a harmonious inregrarion of all parrs of rhe narion is also
orienrarion of faith and desire roward a berrer fmure and rherefore also roward an presenred (mingled with realistic observarions) as somerhing rhar exists, a facr.
image of the pasr considered as development. Combined, rhe rwo lines of Bur in rhe former case it is the furnre, in rhe latter the presenr, rhe nation-srare
development cause rhis type of ideal ro be replaced by orhers clirecred ar exisring here and now. rhar is idealized.
consen-ing and defending rhe existing ordtr. They relart ro somtrhing rhar is felt A mixrure of "is" and "oughr". of facrual analvses and normative posrnlares,
ro be: immurnble and rt,dized in rhe prtstnr-rhe c-rtrnal nation The voices rtlacing primarily ro a socitry of a very dttinitt type. a narion-srate conceived in
proclaiming btlief in a berrer fornre and rhe progress of m,mkind as rheir ideal broadly egalirarian fashion, rhus presenrs itself as rhe cenrrepiece of a rheory
make way. as i:ht clominanr secrion in the mixed social chorus of rht rime. for the which claims ro be capable of serving as a model for rhe scientific invesrigation
voices of rhose who give precedence ro rhe rnlut of whar exisrs and. above all, to of socieries in all rimes and places One need only raise rhe quesrion of whether
rhe rime less value of rheir own narions. for which. in the succession of grear and and how far such sociological rheories--clerived primarily from presenr-day,
small wars. many people have losr rheir lives. This is-skerched in its main more or less democraric nation-stare socieries which presuppose a high degree of
ourline-rhe overall strucrural den:lopmenr which is rerlecred in rht develop- inregrarion of people inro rbe "social sys rem .. as somerhing borh self-evidenr and
ment of rheories of society.. Theories which rerlecr rhe ideals of rising classes in desirable, and which rherefore, imply a relarively advanced srage of social
expanding indusrrial societies have been replaced by rheories dominated by che democrarization-are applicable ro societies ar different srages of developmenr,
ideals of more or less established classes in highly developed societies whose and which are less cenrralized and democrarized, in order ro perceive rhe
growrh has reached or passed i rs peak.. weakness of a general rheory of sociery from the church-sreeple perspecrive of rhe
As an example of rhis type of sociological rheory. ir may suftict ro cire one of present srart of our own sociery. If such models of a "social sys rem .. are res red for
irs representarive conceprs. rhar of rht "social systtm ... as used by Parsons. bm their suirabiliry as rheorerical rools for rhe scienritic invesrigarion of a sociery
ctrrainly not by him alone . Ir expresses very clearly rhe way in which a "society" wirh a high percenrage of slaves or unfree subjecrs. or of feudal or hierarchical
is now conctived A "social sysrem 1s a soc1erv "in equilibrium Small srares-rhar is. socieries in which nor e\en rhe same laws. !er alone rhe same
468 The Cirilizi11g Pmces. Postscript 469

norms and values, apply w_ all people-it is quickly seen how present-centred c cierv Ir is also necessarv to keep in mind the development of rhe. image of
01 SO .
these sociological models ot systems conceived as srares acrual!y are. 1s 1'ndividuals rht ima"e of rhe j)ersonalin-.
\Vhat has been illustrated here by the "social system example could be
le
peop , "' _.. As .has been mtnt10ned. one
of rhe peculiarities of the traditional human selt-1mage is that people often speak
without <lifficulry w apply w other concepts of dominant contemporary sociolo'v "nd think of individuals and societies as if these were rwo phenomena existing
Concepts like ''strucrure", "norm", "integration" and "role" all represent in g,. separately-of which. moreover, one is often considered "real" and the other
current forms attempts ro conceprualize cerrain aspects of human societies "unreal"-instead of cwo different aspects of the same human being.
abstracting from their dynamics, their genesis, their character as a process, their Neither can chis curious aberration of thinking be understood without a
development. The rejection of the nineteenth-century ideological understanding oiance at its implicit ideological content. The splitting of the image of humanity
of these dynamic aspects of society rhar has taken place can therefore be seen not an image of man as individual and an image of men as societies has widely
only as a criticism of these ideological aspects in rhe name of a scientific concern ramifying roots . One branch is a very characteriscic split in the values and ideals
with fact, bur above all as a criticism of earlier ideals that no longer correspond encountered, on close inspection, in all rhe more developed nation-states. and
ro present social conditions and experience and have therefore been rejectPd in perhaps most pronounced in nations with a strong liberal In rht
rhe name of later ideals. This replacement of one ideology by another- explains development of the value systems of all such nation-stares, one frnds, on the one
rhe fact rhar ir is nor simply the ideological elements in rhe nineteenth-century hand, a strand which sees society as a whole, rht nation, as the highest value;
sociological concept of development rhar have been called into question, bur the and. on rht other. a strand which posits the wholly self-sufficient, free individual,
concept of development itself, the very consideration of problems of long-term the "closed personality", as the highest value. Ir is nor always easy to harmonize
social development, of sociogenesis and psychogenesis. In a word, the baby has rhese rwo "highest \alues" with ont another. There are siruations in which the
been thrown our with rhe bath warer.
rwo ideals art plainly irreconcilable. Bur usually this problem is nor squarely
The present srndy, which concerns itself once again with social processes, may faced. People ralk wirh great warmth of rhe freedom and independence of che
be better understood if this development of theoretical sociology is kept in mind. individual, and wirh equal warmth of the freedom and independence of their
The tendency ro condemn the social ideologies of rhe nineteenth century from own nation. The first ideal arouses che expectation rhar rhe individual member
rhe standpoint of those of the twentieth appears ro preclude rhe idea that long- of a nation-stace, despite his community and interdependence with others, can
term processes might be the object of investigation without an ideological reach his decisions in an entirely self-sufficient way, without regard to others; the
motive-that is, without the author, under the pretence of speaking of what is or second arouses the expectation-fulfilled particularly in war bm often enough in
zrns, actually speaking about what he believes and wishes 011ght to bt. If the peacetime, too-that rht individual should and must subordinate everything
present smdy has any significance at all, this results not least from its opposition belonging to him, even his life, to the survival of rhe "social whole".
ro this mingling of what is and \vhat ought to be. of scientific analysis with This split in rhe ideals. chis contradiction in the ethos by which people art
ideals . fr points w the possibility of freeing rht study of society from irs bondage brought up. is reflected in the theories of sociology. Some of these theories rake
ro social ideologies . This is nor ro say that an invesrigarion of social problems as their starring point the independent, self-sufficient individual as the "true"
which rejects rht primacy of political and philosophical ideals means renouncing reality, and therefore as the true object of social science; others start with tbt
che possibility of ii1flutncing che course of political events through the results of independent social totality. Some theories attempt to harmonize rht rwo
sociological research. The opposite is rht case. The usefulness of sociological conceptions, usually without indicating how iris possible ro reconcile rhe idea of
research as a rool of social praccice is increased if tht researcher does nor deceive an absolutely independent and free individual with that of an equally independ-
himself by projecting what he desires, whac he believes ought ro be, into his ent and free "social toralirv'', and often wirhom clearly perceiving rhe problem.
invesrigarion of what is and has been
The reflection of rhis inner division between the two ideals is seen
above all in rhe theories of sociologists whose national ideal has a conservarive-
VIII liberal tinge. Max \Veber's theoretical work-if nor his empirical work-and the
theories of his successor Talcott Parsons are examples of this .
To understand rhe obstruction which the predominant modes of thinking and It mav suffice as illustration to return once more to what has already been said
feeling post ro the investigation of long-term changes of social structure and about Parsons's conception of rhe relation of individual and society, of the
personality structure-and thus ro an understanding of this book-it is not "individual acror" and the "social system .... One description of their relation
enough ro trace rhe development of the image of people as societies. rhe image is contained in the metaphor of "interpenetration". which shows clearly the
Pr)Jfstri/1/

importam role. by die idea of the separate existence of the two berween narura l t\tnrs .. r 11c cc1L1rs-c ot rlir-, stars. min and sun . thunder and
fhe re1hcac10n ot che ided therefore finds expression in chis lightning. ,is nurnresr,inons of a blind. impersonal. purely and
edifice not only in the notion of cht social s\scem as a Sj)ecific
i l l r;guLu sequence of c,1us,1l connections Bur rhe "closed personal1ry .ot h0Ji1r1
_ . _ . _ . . . . c ea tmage
apparently perceiws this mechanical and regular causal cham as an
n,lt10n.
_ bm also 111 chat ot the rndl\1dual actor che "e,,o 1c1-
c- 1s 1 11 l
e"1 1n1a1,-p
l '
0
tree individual existing indepenc!emly of all ochers. In both cases the ..,.'""'' adult simply by opening his eyes. wirhom needing to learn anything abour ir
ideal image. is changed from others. and quire independently of rhe stage of knowledge reached by
, . unawares under his hands into '1 ficc
' . Omer I
1ing th
actually exists. For with regard w the imaue of the individLi1l re I . at society. The procus-rhe incliYiclual human being as a process in growing up.
. _ . , c- ' >o. w lat 1n rh
mmd ot the rheonst ought ro be. rhe imaue of rhe bsolL l f e niiti beinus to"tditr as a 1xocess in the develO]Jmenr of mankind-is rtcliic,d
. I l . 1 . I . ' "" ,. . I te ) re:e ancl JlLI , c "'
me e:penc ent me !\'IC uaL 1s rreared as if it were rhe image of what rhe in trr i! .1!<1!1:. The individual opens his eyes as an adult and not only
actual! y is. r ec(wnizes auronomoush here and now. without learning from others, what all
o .
Now this is certainly nor the place to fathom the reasons for this these objects art rhar he perceives; he nor only knows immediately what he is to
disseminated split in thinking classify as animate and inanimate. as mineral, n:gernble or animal; but he also
, about human beinus c- Bttt tllt- cuucern
of the
present study cannot properly be understood so lonu as rhe nrobl knows directly here and now rhar they are linked causally in accordance with
. . . . c- ,. ems o,r the

c1VJ!iz1ng process are approached with the notions of rhe individLial ti h narurnl laws. The question for philosophers is merely whether he gains this
. . .1at ave
JUSt bten mtnt10ned. In rht course of this process the srrucrnres of rht knowledge of causal connections here and now on the basis of his experience-
human being are changed in a particular direction. This is \Vhar rhe r
wherher. in other words. these connections are a property of the observable facts
.. . 1 . .. . l . l cpt or "outside .. him-or rhe connections are something rooted in the nature of human
. c1n 1zanon . 1n r le taccua sense in which it is used here. actually means. The
current today of the indi\idual as an absolutely independent and self- reason and superadcled from .. inside" the human being to whar flows into him
suthcient being is_ difficult to reconcile with rhe facts 1dduced here [rob structs from .. omside" d1rough rhe senst organs. If we srarr from this image of man.
. '
undersrandrng ot the long-term processes which people undergo on bot! l .. from rht homo philos11j1hims who was never a child and seemingly came into the
d' 'd l L l tk world an adult. rhere is no way our of the epistemological impasse Thought
m !\'I ua and social planes. Parsons uses on occasion. to illusrrare his imaQe of
the personality, the old metaphor of the personality of rhe human actorwas a steers helplessly back and forth between the Scylla of positivism and the
0 Chaffbdis of apriorism. Ir does so precist!y because what is actually obsenable as
"black box ... i.e. a closed container "inside .. which certain individual processes
rake place. The metaphor is rnken from the toolbox of psychology It basicallv a pr;cess, a development of rht social macrocosm within which the dtvelopmtnr
means that all that can be observed scientificallv in a human bein< is I of the individual microcosm can also be observed, is reduced in thought to a
[ o l!S
1thaviour \ve can observe what rhe "black box .. does. Bur what goes on inside stare. an act of perception raking place here and now. \vt have here an example of
the box. what is also cermtd the "soul" or "mind .. -rhe .. ghost in rhe machine how closely rhe inabiliry to conceiw long-term social processes !i e .. structured
1
as an .English philosopher called ir' -is nor an object of scientific investigation: clnnues in rhe fiuurarions formed b\ htrgt numbers of inrerdtpendem human
In this context. one cannot avoid exploring in more derail an image of the be:n;s) or to rhe human forming such figurations is connected
individual which plays a considerable role in the human sciences rochl\' and rhus to a certain rype of human self-image and st!f-ptrceprion People to whom it
also contributes to rhe neglect of long-term changes in human in the sec:ms self-evident rhar their own self (or their ego. or whatever else it may be
course of social development as a subject of research. called) exists. as it were, inside .. rhem. isolated from all rhe other people and
The image of the individual as an entirely free, independent being. a "closed rhin;:;s .. omside". have difficult\' assigning significance to all rhose fans which
personality" who is 'inwardly .. quire self-sufficient and separate all other rhar indi\icluals live rhe first in interdependence with others. They
people. has behind it a long tradition in rhe development of European societies. have difficulty conceiving people as relatively bur nor absolmely autonomous and
In classical philosophy this figure comes onto the scene as rhe epistemological interdependent indi\icluals forming changeable figurations with one another.
subject In this role. as homo jJhiksoj>hims. rhe individual gains knowledge of the Since rhe former self-perception seems self-evident to those subscribing to it.
world .. ourside" him in a complertly autonomous wa\. He does nor need to learn. rhe\' cannot easily rake account of facts which show that this kind of perception
to rake this knowledge from others. The fact that came into rhe world as a is limited particular societies, rhar it comes into being in conjunction
child, the whole process of his development to aclulrhoocl and as an adult, is with certain kinds of interdependencies. of social bonds benveen people-in
neglected as immaterial by this image of man. In rhe development of mankind short. rhar it is a structural ptculiariry of a specific srage in rhe civilizing process,
it rook many thousands of ytars for people to learn to understand rhe rt!arions corresponding to a specific stage of the differentiation and individualization of
Postscrijit 473

human groups ff one grows up in rhe midsr of such a group, one cannot , -orerical approaches which present rhe individual as rhe rruly exisrent beyond
tfiC . l. l
imagine rhar there could be people who do nor experience themselves in this \' che crulv "real" (socierv being seen as an absrracnon, somer irng nor rru y
5oc1er , . -
as entirely self-sufficient individuals CLIC off from all ocher beings and - n a) and ocher rheorerical approaches which posir socierv as a "sysrem", a
D ' ' . . .

This kind of self-perception appears as obvious, a symptom of an eternal l i'C. 1cr f'li o"eiieris" ' a realirv of a peculiar rvpe
Isoc1a +
/
.
bevond
1 _
ind1v1cluals Ar .mosr one
scare, simply rhe normal, narnral and universal self-perceprion of all human s occasionallv done in an apparent solution ot rhe problem-Juxtapose
can--,as l -
beings. The concepr1on of rhe rnd1v1dual as ho1110 dc111s11s, a lnde world in rhe cwo conceptions unconnectedly, char of the individual as honw dc1m11s, as ego,
who ulrimarely exisrs quire independently of rhe grear world outside, determines l!S individual beyond society, and char of society as a sysrem ours1cle and beyond

the image of human beings in generaL Every other human being is likewise seen individuals Bur rhe incomparibiliry of these rwo conceptions is nor rhereby
as a homo dc111s11s; his core, his being, his rrue self appears likewise as somethinr disposed of. In order ro pass beyond this dead encl of sociology rhe soClal
divided within him by an invisible wall from everything outside, including sciences in general, ir is necessary ro make clear rhe inadequacy of borh concep-
other human being. ' .no ns , rliar of rhe individual oursicle socierv and, equallv, - char of a socierv oursicle
Bur rhe narnre of this wall itself is hardly ever considered and never properlv individuals. This is diffirnlr as long as the sense of rhe encapsularion of rhe self
explained. Is the body the vessel which holds the true self locked within it? wirhin irself serves as rhe unrested basis of rhe image of the individual, and as long
the skin the frontier benveen "inside" and "outside"" \Vhar in rhe human as, in conjuncrion wirh chis, the concepts "individual" and "sociery" are under-
individual is the container, and what the contained" The experience of "inside" stood as if rhey related ro unchanging stares.
and "outside .. seems so self-evident that such questions are scarcely ever posed; The conceprnal crap in which one is continually being caughr by these static
they seem ro require no further examination. People are satisfied with the spatial notions of "individual" and "sociery can only be prized open if, as is clone here,
metaphor of "inside" and "outside", bur make no serious anempr ro locate the these notions are developed further, in conjunction wirh empirical invesrigarions,
inner" in space: and although this omission to investigate ones own presupposi- in such a way rhar rhe rwo concepts are made to refer ro processes Bur this is
tions is hardly appropriate to scientific procedure, this preconcein:d image of iniriallv blocked by rhe exrraorclinarily persuasive self-perceprion in European
hr11110 c/,ms11s commands the stage nor only in society at large bur ,tlso in the since roughly the Renaissance, of human beings in rerms of rheir own
human sciences. Its deri\,1rives include nor only rhe rradirional h1m10 w1.uoJWJ111c;1s. isolation, che severance of their own "inside" from everyrhing "omside" In
rhe image of man of classical episremology, but also ho11;r, odom1111jcm, homo Descartes che perception of rhe isolation of the individual, who finds himself
ho1110 historims, and nor lease h1Jm11 s1Jci1J!1Jgims in his present-day confronrecl as a chinking ego wirhin his own head by rhe enrire external world,
wrsion. The images of rhe individual of Descarres, of .i\fax \\/eber, and of Parsons is somewhat weakened bv rhe idea of Goel. In conremporary sociology the same
and many ocher sociologists are of rhe same provenance. As philosophers did basic experience finds expression in rhe acring ego, which finds irself
before chem, many sociological rheorisrs rnday accept rhis self-perception, and confronred wirh people "omsicle" as "ochers". Aparr from Leibnizian monadology,
the image of the individual corresponding ro ir. as rhe umesred basis of their rhere is in this philosophico-sociological rraclirion scarcely a single approach ro
rheories. They do nor detach themselves from ir in order ro confrom ir and call the problem char sets out from the basis of a multipliciry of inrerdepenclem
irs aptness irito quesrion. Consequenrly, chis kind of self-perceprion and image of human beings. Leibniz, who did jusr char, only managed ro do so by bringing his
rhe individual oft'en co-exisr unchanged with arremprs w avoid reducing version of ho1110 damm, rhe .. windowless monads .. , in relarion co one anorher by
processes to stares . In Parsons, for example, the sraric image of rhe ego, rhe a metaphysical consrrucrion All rhe same, monadology represenrs an early
indi\idual actor. the adult absrracred from rhe process of growing up, co-exisrs advance in rhe direcrion of precisely rhe kind of model char is urgendy in need
unmediarecl wirh rhe psychoanalyrical ideas char he has taken over in his of further development in sociology roday. The decisive step Leibniz rook was an
theory-ideas which relate nor to rhe stare of adulrhoocl bur to rhe process of ace of self-clistamiarion, which enabled him to entertain rhe idea char one mighr
becoming aclulr, to the individual as an open process in indissoluble imercle- experience oneself nor as an "ego" confroming all ocher people and rhings, bur as
pendence wirh ocher individuals. As a resulr, rhe ideas of social rheorists a being among ochers. It was characterisric of rhe prevalent kind of experience in
constantly find themselves in blind alleys from which chert seems no way our. char whole period char rhe geocentric world-picrnre of the preceding age was
The inclividual--or, more precisely, whar rhe present concept of rhe individual superseded only in rhe area of inanimate nature by a worlcl-picmre demanding_
refers ro--appears <tgain and again as something existing "ourside" society. \Vhat from rhe subjecr of experience a higher degree of self-detachment, a removal of
rhe concept of sociery refers to appears again and again as something exisring oneself from rhe centre. In men's reflection on rhemselves rhe geocentric world-
outside and beyond individuals. One seems ro have rhe choice only berween picture was to a large exrem preserved in rhe egocemric one rhar replaced it. Ar
Th, Cil'ilizi11g Prric,_u -!75

rhe centre of che human universe, or so ic appeared. srood each single exw1ordinar) persiscence It is found in the writings of all groups whose powers
being as an individual compleceh independent of all ochers. of reflecrion and whose self-awareness have reached the stage ac which people are
Nothing is more characteriscic of che unquestioning way iri which even in ;1 posicion nor only to chink but also to be conscious of themselves, and to
in thinking about human beings, the separate individual is taken as the scarting- retlecr on rhemselves. as thinking beings. Ir is already found in Plarnnic
point than the fact that one does nor speak of homims or oecon0111;caP philosophy and in a number of other schools of philosophy in antiquicy. The idea
when talking of the image of man in the social sciences, bur always of the of che "self in a case". as already mentioned. is one of che recurrent lcit111otij.r of
of the single human being, the homo or olC0110111icm From this con- modern philosophy, from the chinking subjecc of Descartes, Leibniz's windowless
ceptual starting-point, society presents itself finally as a colleetion of individuals monads. and che Kantian subjt([ of knowledge (who from his aprioriscic shell
completely independent of each other. whose true essence is locked within them can never quire break chrough rn the "ching in icself') t0 the more recent
and who therefore communicate only exrernally and from the surface. One must exrension of the same basic idea of the entirely self-sufficient individual: beyond
call on the help of a metaphysical solution, as Leibniz did, if. scarring from die perspective of thought and perception as reified into "understanding"
windowless. closed. human and extrahuman monads. one is ro justify the notion (\imta11cl! and "reason" (h:nu!!!ftl. ro the whole "being" of man, his "exiscence" in
that interdependence and communication between them, or rhe perception bv the various versions of existentialist philosophy; or t0 his accion as the starting-
human beings of interdependence and communication, are possible. \Vhether point of l\fax \Veber's cheory of society, for example, who-entirely in keeping
are dealing \vich human beings in their role as "subjecc" confronting the wirh che above-mentioned splic-made che nor wholly successful attempc to
"object", or in cheir role as "individual" confronting "sociecy". in boch the distinguish becween "social anion" and "non-social accion", i.e., presumably
problem is presented as if an adult human being. complecely isolated and self- "purely individual action . "
sufficient-that is. in a form reflecting the prevalent self-perctprion of people in But one would gain only a very inadequace idea of rhe nature of chis self-
the modern age. crystallized in an objectifying concept-constituces the frame of perceprion and this human self-image if chey were undersrood merely as ideas sec
reference. \\1 hat is discussed is his relation to something "outside" himself forrh in scholarly writings . The windowlessness of che monads, the problems
conceived <like the isolaced human being) as a steady srate, to nature" or to surrounding homo clcws11.r, which a man like Leibniz tries t0 make ac lease more
"society" Does this something exist; Or is it only produced by. or at any rate bearable by a speculative solution showing the possibilicy of relationships
founded primarily on. an ace of thinking; berween monads, is rnday accepted as self-evident nor only by scholars. Expres-
sions of chis self-percepcion are found in a less reflected form in imaginative
IX literature-for example, in Virginia \Voolfs lament over the incommunicability
of experience as che cause of human solitude. Its expression is found in the
Lee us try to make clear whac che problem actually is char is being discussed concept of aliemuion", used more and more frequendy within and outside
here. \Ve are nor concerned with calling into doubc che authenticity of cbe self- lirerature in che most diverse variations in rectnc decades. It would bt not
perception char finds expression in che human self-image as homo d111m1s and its uninterescing ro ascercain more syscemacically whecher and how far gradacions
many Yariati.ons. The question is whecher chis self-perceprion, and che human and variations of chis type of self-perceprion extend rn the various elice groups
self-image in which it is usually crystallized quite spontaneously and without and the broader strata of more developed sociecies. Bm che examples cited suffice
reflection, can serve as a reliable starting-point for an arcempt to gain adequate to indicace how persisrent and how much taken for granted in the societies of

understanding of human beings-and therefore also of oneself--regardless of modern Europe is che feeling of people char their own "self', their rrue
whether this anempc is philosophical or sociological Is it justified-char is the idemicy", is something locked away "inside" them, severed from all other people
question-co place at the foundacion of philosophical theories of percepcion and and chings "outside"-alchough, as has been mentioned, no one finds it
knowledge, and of sociological and ocher cheories in the human sciences, as a parcicularly simple to show clearly where and what the rangible walls or barriers
self-evident assumprion incapable of furcher explanacion, the sharp dividing line are which enclose chis inner self as a vessel encloses ics contents, and separate it
between whac is "inside" the individual and che "excernal world", a division from whac is "outside" Are we here concerned, as ic often appears, with an
which ofren appears directly given in self-awareness, and furthermore has put erernal, fundamemal experience of all human beings accessible to no further
down deep roats in European intellectual and linguistic cradirions, without a explanation. or with a type of self-perception which is charaeteriscic of a certain
crirical and systematic examinacion of its validicy; stage in che development of rhe figurations formed by people, and of rhe people
This concepcion has had. for a certain period of human dt\tlopment. an forming chest figuracions'
476 Thu Cil'ilizing Procus

In rhe comexr of rhis book che discussion of rhis complex of problems h rhe one hand, the deYelopmem of the scientific manner of acquiring knowledge of
cwofold significance. On rhe one hand. rhe civilizing process cannor be objeccs, and on the other hand_ tht cleYelopment of new attitudes of people
- L . undaser-a
srood so long as one clmgs ro rh1s rype of selt-percepnon and regards rhe wwards rhemselws. new personaliry srrucrnres and especially shifts in the
of rhe human being as h1J1111J da11s11s as self-evidem nor open ro discuss 1 Jirecrion of grtater afftcr control and self-dernchment. Perhaps it will contribmt
- ._ - on as a
source ot problems. On rhe orher hand, rhe rheory ot civilization develo ed . to <in understanding of these problems if one recalls the sponraneous, unretlecr-
stu dy o f--ters a kev for
r I11s solvmg
rhese problems. The discussion of rhis 1p1 rn ing self-cenrreclness of thought that can be obserYed ac any rime among children
.. " . L uman
seH-1mage serves m rhe tirsc place ro improve understanding of rhe ensuing stud in our own society. A heightened control of rhe affects, de\eloped in sociecy and
of che civilizing yrocess. Ir is possible, however, rhar one mighr gain a learned by the indiYidual, and above all a heightened degree of amonomous
understanding ot rhis discussion from rhe vantage poim of the end of the book afftet control, was needed in order for che world-picture centred on the earth and
from a more comprehensive picture of the civilizing process. It will suffice her; rhe people li\ing on it to be overcome by one which, like the heliocentric world-
ro indicate briefly the connection between the problems arising from the concept picwre, agreed becrer wirh the observable faces but was at firsr far less
of homo dc111s11s and the civilizing process emotionally; for it removed human beings from their position at the centre of the
One can gain a clear idea of chis connection relarivelv simplv bv first J00 . uniYtrse and placed them on one of many planers circling about the centre. The
K 1ng
back at the change in people's self-perception char was influenced by the rransirion from an understanding of nature legitimized by a traditional faith to
abandonment of the geocentric world-picture. Often chis transition is presented one based on scientific research, and the shift in the direction of grtacer affect
simply as a revision and extension of knowledge abour the movements of the comrol char this transition involved, thus represents one aspecr of the ci\ilizing
stars. Bur it is obvious chat this changed conception of the figurations of the scars process examined from other aspects in this book
would nor have been possible had nor the prevailing image of man been seriously Bur at char particular srage in the development of these more objecr-relarec!
shaken on irs own accoum, had nor people become capable of perceiving rhan self-related conceptual insrwments for exploring extra-human nacure, it
rhemselves in a differem lighc than before. Of primary importance for human was apparently not possible co include in the inYtsrigarion, and co reflect upon.
bemgs everywhere is a mode of experience by which they place themselves at the rhis civilizational shifr itself, the move cowards stronger and more "inrernalized"
centre of che universe, nor jusc as individuals bur as groups. The geocemric self-control char was raking place within people rhemseln:s. \\/hac was happen-
world-picture is the expression of chis spontaneous and unrefleccing human self- ing to human beings as they increased their undersranding of nature remained ac
cenrredness, which is still encountered unequivocally roday in the ideas of people firsc inaccessible co scientific insight. Ir is nor a little characteristic of chis srage
outside the realm of nature, e.g., in nariocenrric sociological modes of thought or of self-consciousness char the classical theories of knowledge representing ic art
those centred on the isolated individual. concerned far more with the problems of the object of knowledge than with the
The geocentric experience is still accessible ro everyone as a plane of perception subject of knowledge, with objecr-percepcion than with self-percepcion. But if
even today. It simply does nor consrituce the dominant plane of perception in the laner is nor included from tht start in posing episremological problems, then
public thought. \\/hen we say, and indeed "see", chat the sun rises in the east and rhis \'try posing leads to an impasse of equally inadequate alcernarives .
secs in the west, we spontaneously experience ourselves and the earth on which The developmenr of che idea char the earth circles round che sun in a purely
we live as the centre of the cosmos, as the frame of reference for the movements mechanical way in accordance with natural laws-chat is, in a way not in the least
of the scars. Ir was not simply new discoveries, a cumulative increase in derermined by any purpose relating to mankind, and therefore no longer
knowledge about the objects of human reflection, chat were needed to make possessing any great emotional significance for people-presupposed and
possible the transition from a geocentric to a heliocentric world-picture. \\/hat demanded at the same rime a development in human beings themselves cowards
was needed above all was an increased human capacity for self-detachment in increased emotional control. a greater restraint of their spontaneous feeling that
thinking. Scientific modes of chinking cannot be developed and become generally everything they experience and everything chat concerns them rakes its stamp
accepted unless people renounce their primary, unreflecring and spontaneous from rhem, is the expression of an imemion, a destiny, a purpose relating to
attempt to understand all their experience in terms of irs purpose and meaning themselves. Now, in the age char we call "modern", people have reached a stage
for themselves. The development chat led co more adequate knowledge and of self-derachmenr char enables chem co conceive of natural processes as an
increasing control of nature was therefore, considered from one aspect, also a auronomous sphere operating in a purely mechanical or causal way without
development toward greater human self-control. intention or purpose or destiny. and having a meaning or purpose for themselves
It is not possible to go into more derail here abom the connections between, on only if chey are in a position, through objective knowledge, co control it and
therelw co gin: it a meM1ing and a 11uri)ose. Bue at this sca"e tJ 1 . \. ,. ded bv an invisible wall from what happens .. omside .. It is chese civilizarional
, _. . . /:o ' . are not . .
able rn detach thtmstln:s
.
suthc1cnch from
.
d1emst:lves
.
rn nn'- -I e
' h.c l 1 u: own
elf-controls. functioning in pare automatically, that are now expenenced in
5
diYidual self-percepcion as a walL either between .. subject .. and .. object .. or
derachmtnc.
. cheir
. own artecc-rescraim-in
. shore che cunditicins ' cl1e1r
or own 1n
as chc sub1ecc ot che scicmihc understanding of nature-the objecc of ,.,.,u"i'"'''" berween onts own .. self and orhcr peuplt ( .. socieryJ. .
and sciemific enquiry 1 he shift in the dirtction of greater inchidualizarion that took place dunng
Herein lies one of the kevs w the quescion of wh\ tht: problem of .
. . .
.
scientific rhe Ren1issance
, is well enouuho known. Tht !Jresent stuck. '-r..cives a somtwhat more
knowledge took on che form ot classical European tpiscemology. The uecac:hroFr" derailed picture of this developmem in terms of personalicy suucture. At rhe
of.the rime, it points ro connections rhac h<ffe nor yet been properly clarified. The
. . chinking. subjecc. from his objeccs _ in cht act of cogniti\e
,_ d1ou"ht
b,anre . d h
attect1n: restraint chat H demanded. did noc appear to chose rhinkin" al)c winsirion from che experience of naturt as landscape srnncling opposed w che
. . . . b ' )llt It at
chis stage as an act ot d1stancmt; buc as a disrance actualh 11rtsenc observer, from the experience of narure as a perceprual object separated from i rs
. . _ ,__ . ' eternaI
1s in .
cond1non of spacial separacion between a mental appararns apparendv subject as if by an invisible wall: the transition from the intensified stlf-
"inside" the mdividual, an "understanding" or reason". and the "out- perceprion of the individual as an entirely self-sufficient entity independent and
side and d1v1ded tram it by an invisible wall cue off from other people and rhings-thtse and many other uends bear che
If wt saw earlitr how idtals can turn unawares in choughc into something srructural characteristics of the same civilizational shift.. They all show marks of
0
actually existing, how .. ought .. btcomts is . we are here confronttd with rhe transition to a further stage of self-consciousness at which the inbuilt stlf-
rtificacion of a difftrem kind. The act of conceptual distancing from rht objects conuol of the atfrccs grows stronger and reHecti\e derachmtnt greacer, while che
of thought chat any mort emocionalh comrolled rtflecrion i1woln:s-whicb sponcaneiry of affective action diminishes, and at which people feel chtse
scitnrific observations and chought demand in parcicular. and \Vhich at the same peculiarities in themselves bur do not yec deracl1 chemselves sufficiently from
time makes them possible-appears co self-perception at this stage as a distance chem in thinking to make: chemselves the object of invesrigacion.
actually existing becwetn the thinking subject and rhe objeccs of his rhou<>ht \Ve thus come somewhat closer ro the cemre of che srructure of the individual
b .
And the grtater resrraim of affect-charged impulses in the face of che objects of personality underlying the self-experience of homo dc1;1.r11.r. If we ask once again
chought and obserrnrion. which accompanies tvery seep toward incrtasec! con- whac really gives rise ro this concept of the individual as contained .. inside ..
ctptual distancing, appears here in ptoples self-perception as an acrnally existing himself. severed from everything existing outside him, and what the comainer
cage which separates and excludes che "stlf,. or "reason .. or .. exisrenct .. , depend- and rhe contained really srand for in human terms, we can now see the direccion
ing on the point of view, from the world "oursidt .. the indi\idual in which the answer must be sought. The firmer, more comprthensi\t and
The fact that. and in pare the reason why. from the late i\Iiddlt Ages and the uniform restraint of the affects characteristic of this spurt in the civilizing
tarh Renaissance on, chc:re was a parcicularly scrong shifr in indi\idual self- process. rngether with the incrtasecl internal compulsions that, more implacably
conuol-abmt: all. in self-control accing inclependenth of txcernal ac;enrs as a than before, prevent all spontaneoLtS impulses from manifescing chemsehes
st:lf-acrirncing automatism, re\ealingly said today c.o be .. imernaliztd ..-is directly and mororirnlly in action. wichout che inrervemion of comrol
prtstmed in more derail from other perspectives in rht present study. The mechanisms-these are what is experienced as the comainer. tht invisible wall
transformacion of imerpersonal external compulsion into indi\iclual internal dividing rhe "inner world .. of the individual from rhe .. external world .. or. in
compulsion, which now increasingh rakes place, leads to a situation in which differem wrsions. the subject of cognition from its object. rhe .. tgo .. from rhe
mam affocriw impulses cannoc bt lived out as sponrnneoush as before. The .. ocher ... che .. incli\idual'" from .. society .. \Vhat is contained are the restrained
autonomous individual self-comrols produced in this wa\ in social life, such as instinctual and affective: impulses denied direct access ro the moror apparatus
.. rational thought .. or the "moral conscience .. , now rhemseh-es more They appear in self-perception as whac is hidden from all others, and often as the
seemly chan ever before between spontaneous and emotional impulses, on the one rrue self the core of individuality. The term .. rhe mner man .. is a convernem
hand. and che skeletal muscles, on the other, preventing the fCJrmtr wich greater metaphor, bur it is a misleading one.
severity from dirtctly determining rht Lurer (i.e .. action) withour rht permission There is good reason for saying that rhe human brain is situated within the
of chese control mechanisms skull and the heart within the rib cage. In these rnses we can say clearly what is
Thar is the core: of the structLiral change and the srructLiral peculiaririts of the the container and what is contained, what is located \\ithin walls and what
individual which are reflected in self-perception. from abour the Rtnaissance outside, and of what rhe dividing walls consist. Bur if the same figures of speech
onward. in the notion of che indi\iclual ego in ics locked case. rht .. self are applied to personality scructLires thty become inappropriate. The relation of
-180 Th, Ciz'i!i::ing Pl'IJCess Postscript -181

insrincr comrols ro insrincrive impulses, ro mtmion only one examplt, is n . l developmenr" then appear ar besr as artificial producrs of sociologists, as
"soc1a
sparial rt!arionship. The former do nor have rhe form of a n:ssel Oth 'jdeal-cypical" consrructions needed by scientisrs rn imroduce some order, ar
. . , - '-'- Iug t e
larter wirhm rhem. There are schools ot rhoughr rhar consider rhe c Jeasr in rhoughr. imo what a?pears in reality w be a complerely disordered and
L ontrol
mechanisms, conscience or reason, as more imporranr. and rhtre are others crucwreless accumularion or absolmely 111dependem individual agents. . _
5
arrach greater imporrance ro insrincrnal or emorional impulses. Bur if we are n As can be seen, rhe acrual start of affairs is the exact converse. The nor10n of
disposed ro ':rgue abom values, if we resrri_cr our w the investigation individuals deciding, acting and "exisring" in independence of one
whar 1s, we hnd rhat there is no strucrnral ttamre or human beings that justifies another is an arrificial producr which is characrerisric or a parncular m the
our calling one thing the human core and another the shtll. Scrictly speaking development of human self-perceprion. Ir resrs partly on a confusion of ideals and
rhe whole complex of tensions, such as feeling and thought, or
f-acc" and pardv. on a reificarion of individual self-control mechanisms--of_ rhe
behmiour and comrolled behaviour, consists of human acriviries. If insread severance of individual affective impulses from the mornr apparams, tram rhe
usual subsrance-conceprs like "feeling" and "reason" we use acriviry-concepts, it direct contrnl of bodily movements and acrions.
is easier w understand diar while rhe image of "omside" and "inside", of the shell This self-perceprion in terms of ones own isolation, of rhe invisible wall
of a receptacle conraining something inside ir. is applicable ro the physical dividing one's own "inner" self from all rhe people and things "omside", rakes on
aspects of a human being mentioned above, it cannor apply to rhe structure of the for a large number of people in rhe course of rhe modern age rhe same immediate
personaliry, to the living human being as a whole. On this level there is nothing force of conviction thar the movement of rhe sun around an eanh simated ar rhe
char resembles a comainer-norhing rhat could jusrify mtraphors likt rhar of the centre of rhe cosmos possessed in rhe Middlt Ages. Like the geocentric picrnre
"inside .. of a human being. The inrnirion of a wall. of somerhing "inside" a of rhe physical universe earlier, rht egocentric image of the social universe is
human being separared from rhe "omside" world, howe\er genuine ir may be as cerrainly capable of being superseded by a more realisric, if emotionally less
an imuirion, corresponds rn norhing in a human being having rhe character of a appealing picrnre . The emorion may or may nor remain: ir is an open question
real wall. One recalls that Goerhe once expressed rhe idea char namre has neither how far rhe feeling of isolation and alienarion is arrriburable rn ineprimde and
core nor shell and rhar in her there is neirher inside nor omsidt This is true of ignorance in rhe development of individual self-controls, and how far rn
human beings as well characteristics of advanced societies. Juse as rhe public predominance
On the one hand, therefore, the theory of civilization which chis srudy has of emotionally less appealing images of a physical universe nor cemred on rhe
anempred rn develop helps us rn see rhe misleading image of humankind in earth did nor enrirely efface rhe more private self-centred experience of the sun
what we call rhe modern age as less self-e\ident, and rn derach ourselves from it, as circling around rhe earrh, rhe ascendancy of a more objective image of human
so rhar work can begin on an image of human beings orienrared less by ones own beings in public thinking may nor necessarily efface rhe more privare ego-
feelings and the rnlue judgements attached rn chem than by people as rhe actual cenrrecl experience of an invisible wall dividing one's own "inner world" from rhe
objects of thought and obserrnrion. On the orhtr hand. a critique of rhe modern world "omside" Bm ir is cerrainly not impossible rn dislodge rhis experience,
image of man is needed for an understanding of rhe civilizing process. For in rhe and rhe image of man corresponding rn ir, from irs self-evidem acceptance in
course of rhis process rhe srrucwre of individual human beings changes; they research in rhe human sciences. Here and in this book one can see at leasE Ehe
become more civihzed" And as long as we see rhe individual human being as beginnings of an image of human beings rhar agrees better wirh unhindered
by nature a closed container with an omer shell and a core concealed within it, observarion, and rherefore facilirares access rn problems which, like those of the
we cannot comprehend rhe possibility of a civilizing process embracing many civilizing process or rhe process of stare formarion, remain more or less
generarions, in rhe course of which rhe personaliry srrucmre of the individual inaccessible from the srandpoint of rhe old human self-image, or which, like rhe
human being changes wirhom the nawre of human beings changing. problem of rhe relarion of individuals rn sociery, continually give rise from char
This musr suffice here as an introducrion rn rhe reorienrnrion of individual self- standpoint w unnecessarily complicated and never entirely convincing solu-
consciousness and w rhe resulring developmem of rhe human self-image, tions.
wirhour which any abilirr rn conceive a civilizing process or a long-term process The image of rhe human being as a "closed personality" is here replaced by the
involving social and personaliry suucwres is largely blocked. As long as rhe image of rhe human being as an "open personality" who possesses a grearer or
concepr of rhe individual is linked wirh rhe self-perceprion of rhc "ego" in a lesser degree of relarive (bur never absolme and wral) auwnomy vis-a-vis other
closed case. we can hardlr conceive "society" as anything orher than a collecrion people and who is, in facr, fundamentally orienrated wwards and dependent on
of windowless monads . Concepts like social srrucrnre", "social process", or orher people rhrnughour his or her life. The nerwork of interdependencies among
48.2

human beings is wha[ binds [hem rngcrher. Such inrerdependencies ar h haiacrer of c,1usal explana[JOns For a ch,rnge 111 a figur,mon is explained partly
. . ,. . . e ' e nexti;5
ot wh,1r 1s here called rhe ngur,1r1on. a scrucrure oi muruallv. orie mate d (he endogenous dyn,1m1cs of rhe irself. rhe immanenr. rcndtncy of
'
depenclenr people. Since people are more or less dependenr oi1 each other , rion of freeh com1Jetll1" umrs ro torm monopolies. fhe 111ves[1gar1on
6gUf,l . b . .

narure and [hen social learning, rhrough edurn[ion <ocia1 1. rhe;efore shows how in rhe course of centuries original hgurar10n changes
.. . . , , . , . , " ' zanon and
,ocrnlly generared reciprocal needs, rhey ex1sr. one m1gh[ vemure ro say nco anorher, in which such grear opporrumnes ot monopoly Fower are lmked
1
pluralirits, only in figura[ions. Thar is why, as was srared earlier, '-l't - l , s 11 ule soci1l posirion-kinushi1J-rha[ no occupant of any orher social
>rtf r1 a
1 1 <::> ' b
is not
" \\'I. rhin rhe nenvork of inrerde1Jendencies can compt[e wirh rhe monarch
parricularly fruirful w conceive of human beings in rhe image of rhe pOSJ[!O 11 . . . . . . . . ,
man . Ir is more appropriart w envisage an image of numerous inrerde d <\ (he same nme, 1t mdICares how the personal1r! srrucrures ot human bc:rnt,s
. . . . . ' . . __ pen enr
people hgurar10ns (1.e, groups or sone_rn:s ot diHerenr kinds) with each '1
;_i so
clnne
( b in con1unc[ion wirh such figurational changes,
<--' <-

orher. Seen trom [h1s basic srandpomr, [he nh in rhe rradirional human self- Man\" quesrions rhar deserve considerarion in a postscnpr have had w be lelr
1mage disappears. The concepr of rhe figurnrion has been introduced usi<le !;ere; othe:rwise, rhe postscript would have become a separate volume.
because ir expresses whar we call sociery" more clearly and unambiguously Limired as rhey are, however, rhese reflecrions show perhaps rhar an under-
rhe exisring conceprual rools of sociology, as nci rhcr an abscracrion of "rrn, nutr<: . di.n" of rhe 1xesenr srudr rec1uires a fairly exrensive reorientar10n 111 rhe
sr.in "' .
of i.ndividuals exisring wirhour_ a sociery, nor a "sysrem or "rorality" beyond forms of sociological rhinking and imaginarion predominant roday. To derach
111d1v1duals, bur rhe network of interdependencies formed b1 individuals. Ir is oneself from rhe idea of oneself and of every individual human being as homo
cerrainly quite possible to speak of a social system formed of individuals, Bur the ,./ is cerrainly nor e1sy, Bur wirhour clerachmenr from rhis norion, one
11115115
underrones associated with rhe concepr of the social sysrcm in contemporary possibly undersrand what is meanr when a ci\ilizing process is referred ro
sociology make such an expression seem forced Furrhermore, the concept of as a rransformation of individual srrucrnres Similarly, ir is nor easy so w develop
sysrcm is prejudiced by rhe associared notion of immurnbiliry one's own imaginative capaciry rhar one is able ro rhink in figurations, and,
\Vhar is meam by rhe concep[ of rhe figuration can be conYeniently explained mortover, in figurarions whose normal charac[erisrics include a rendency w
by reference ro social dances . They are, in facr, rhe simples[ example rha[ could change, sometimes even in a specific direcrion
be chosen. One should rhink of a mazurka, a minue[, a polonaise, a rango or a rn' rhis posrscripr I have endeavoured w discuss some fundamental
rocknrolL The image of rhe mobile figurations of imcrdepcndem people on a which, had they nor been discussed, would have srood in rhe way ot an
dance floor perhaps makes ir easier ro imagine srares, ciries, families and also undersranding of rhis book The ideas expressed arc nor all simple, bur I have
capirnlisr, communis[ and feudal sysrems as figurarions . By using rhis concept we anempred w present rhem as simply as I could I hope rhe_y may facilirnte and
can eliminare rhe anrirhesis, resting finally on different values and ideals, deepen rhe understanding, and perhaps also rhe pleasure, afforded by rh1s book
immanent roclay in the use of rhe words .. individual" and socierr". One can
cenainly speak of .. dance in general, bur no one will imagine ; dance as a Leicesrtr
srrucrnre ourside rht indiviclu<il or as a mere absrracrion The same dance July 1968
figurations c1n cerrainly be danced by differenr people: bur wirhout a plurality
of reciprocally oriehrnred and dependenr individuals, there is no dance. Like
every orher social figuration, a dance figurarion is relarively independent of rhe
specific individuals forming ir here and now, bur no[ of individuals as such. It
would be absurd ro say rhat dances are menral consrrucrions absrracred from
observarions of individuals conside[ed separarely The same applies ro all o[her
figurarions. Jusr as rhe small dance figurations change-becoming now slower,
now quicker-so roo. gradually or more suddenly, do rhe large figurations which
we call sociecies. This book is concerned wirh such changes. Thus. the srarring-
poinr of rht srndy of the process of sra[e formation is a figurarion made up of
numerous rela[ively small social units existing in free comperirion with one
anorher. The investigarion shows how and why [his figurarion changes, Ir
demonsrrares ar rhe same rime rhar [here are explanations which do nor have the
APPENDICES
Appendix I
Foreign Language Originals
of the Exen2plary
Extracts and Verses

On Medieval Manners
(po 5:Z)

ol'm \TUITH.:n solru


Jem boestn wis t.rbolgt:n

5\\tnne Jin gesindt dich


c:rzlirne. litbtr sun. stJ sich
daz dir wtrdt: ihr sc)
daz Jich gtriuwt dar nfrch

t-:.ein eddt:r man st:lbandtr sol


mir tintm ltftd suftn nihr:
cbr zimet hlibschen liuet.:n woL
den Jicke unedellich t:eschihc

--sumliche bizt:nt ;.1b dt:r ;;niren


unJ sroztnrs in dit schlizzel wider
nach geburiscben siren:
slilh unzuhr legent diu hlibschcn nider

'"Edichtr ist also gemuoc.


swenn er Jaz bein t:enagtn h<H.
Jaz erz wider in die schi_izzel ruor:
daz habet gar fi..ir missernr
-ms Tht Cil'i!izi11g Proa.rs Appendix I 489

"Der riuspt:t, swenne er ezzen soL


und in Jaz rischlach sniuztt sich.
On Behaviour at Table
diu beide zimenr nihr gar woL (p. 72)
als ich Jes kan ,ersehtn mich. 1
A.
.. Swer ob <ltm cischt sniuzer sich.
ob er ez ribtt an die hanr. fhirceench century . . .
d"s crnhausers genhr und isr guor hotzuhr
Jer isr ein gouch. versihe ich mich. DJZ 1st " ' " '
Jem ist niht besser zuht bekanm 1 Er di.inker mich ein zUhtic man.
der alle zuht erkennen kan,
''Swer snudet ab ein wazztrdahs.
der keine unzuhr nit gewan
so er izztt, als trlicher phliget,
und im der zilhte nit zeran.
und smarzet als tin Beiersahs.
wie der sich dtr zuhr verwiger 1'
Der zcihte der ist also vi!
un<l sinr zt manegen dingen guor:
ir slilr Jie kel ouch jucken niht, nu wizzenr, dtr in volgtn wil.
so ir ezzr, rnir blozer hanr: daz er vil selren misseruor
ob ez aber also geschiht,
so nemtr hovelich Jaz gewanr 11 '
25 Swtnne ir ezzt, so sir gemanr,
daz ir vtrgezzr Jer armtn nihr:
"In diu oren grifen nihr enzimr
so werr ir gore vil wol erkanr.
und ougen, als erlicher ruor.
isr daz den wol von iu gtschihr
swer dtn untbr von der nasen nimr,
so er izzec. diu driu sine nihr guor 'i- Keio eJeler man selbancier sol
33
rnit einem lefftl suftn niht;
"ich hoere von sUmlichen sagen ciaz zimer hcibschen liuren wol.
(ist Jaz war, ciaz zimet i.ibe!J, den Jicke unecitllich geschiht
Jaz si ezzen ungerwagen;
Jen selben m(ieztn erlamen Jie kni.ibel to !-.fir schUzztln sufr:n niemen zimr.
swie des unfuor Joch maneger lobe.
'man sol ouch ezzen alle frisr Jer si frevtllichen nimt
mir der hanr Jiu engegtn isr: unJ in sich giuzer, als tr robe.
sirzr <ltr gtsell zt Jtr rthttn hanr,
mir der ttnktn iz zthanr: -ii Und der sich i.iber Jie shlizzel habet,
man sol sich gen:n wendtn so tr izzer. als tin swin.
daz man ezz mir bti<ltn hendtn und gar unsuberliche snaber.
und smarztt mir dtm mundt sin
'schaffi: \'Or swaz dir sl nOr
daz du ihr sirzest schamtr6r '' .j) SUmliche bizent ab cier sniten
und srozenrs in die schilzztl wider
nach gtburischen siren;
The Problem of the Change 10 Behaviour during the Renaissance scilh unzuht legenr die hi.ibschen nicier
(p. 60)
-\') Edicher isr also gcmuor,
swenn er <l::.12 bein genagen hat.
"Ne mangut mie jt re commande.
daz erz wider in die schUzzel ruor:
avant qut on serve de viandt.
daz haber gar filr misserar
car il sembleroit que tu feusses
rrop glour. ou que rrop fain elisses." 53 Die senf und salstn ezzenr gern.
Jie sulen Jes vii flizic sin,
Vuidditr et tSSt\'tr memoirt daz si Jen unftat wrbern
a its ta bouche. quanr veulz boirt unJ srozen nihr <lie vinger drin
Thu Cii'ili::iJJg Prr1cds -i91

Dt:r riusrcr. swi..:nrk er t:ZZt:Il soL Swtr ob dtm risch dt:s wencr sich,
und in daz cischL1ch sniuzec :-iich. Jaz er dit: glirrel \\ircr Ltr.
diu bcide zimcnr nihr gar wol. so wartent sicherliche ut' mlch.
als ich Jes kan n:rsi::htn mich er isr nihr \isch biz an clt:n grar

Der bl'idt rtdt:n und c:aen wiL Swer ob dcm rische sniuzer sich.
!29
diu Z\Vt:i were mir einander ruon, ob er tz ribtt an dit hanr.
und in dem slaf wil reden vii. der i:-;r t'in gouch. versiht ich mich.
dt:r kan vi! selrcn wo! gt:ruon t.km isr nihr bezzer zuhr bekanr

!ll kh hm:n: von slimlicht:n sagen


Ob Jem rischt Jar daz bn:htt:n sin.
(isr Jaz war, daz zimcr LibtlJ,
so ir ezztt. ddz slimlicht ruonr.
chtz si t:zzen ungcrwa.t::t:n:
dar an gedenkenr. fnundc: min.
dt:n st.:!htn mliezen erlamen die knlibc:l'.
daz nit kein sirt: so Libtlt sruont

In diu oren grit'en nihr tnzimr


81 Ez di.inker mich groz missernr.
und ougen. als edicher ruor,
an sweme ich die um:uhr siht.
swtr den unflat von der nastn nimr.
Jer daz czzt:n in dem munJe hat
so t:r izzer. diu driu sint niht c:uot
und die wilt: trinket als ein \ihe

85 Ir slilr nihr blastn in den crane.


des spu!gt:nt slimdicht: gern: On v 25. cf.:
daz isr tin ungewizzcn danc. From d11.. of Borfficino Ja Riva:
Lkr unzuhr solre man Lnbern
La primiera e quesra:
cht quando tu l: mcnsa.
E Jaz ir rrinkr, so wisclu Jen munr.
<lei povero bexognoxo
daz ir ht:smdzl'.t niln den tranc:
imprimamentt inpensa
diu hon:zuht wol zimt allt srunc
und isr t:in hovdich gtdanc
Onvv
from Ein Jjnud; dd htrl:
lll'i l'nd die sich uf den risch lc.crcnr.
:-io :-ii eZt:t:iH. d.iz t.:!btct niht woL .Mir dt:r schlizzd man nihr sLi!.en :,ol.
wit: seictn diL die ht.:!mt: wegenr. mir eint:m lefeL daz sdr wol
da man frouwt:n dicnen sol
31 'i Swtr sich Uber dit: schlizzd habr.
10') le slilc die kt! ouch juckcn nihr. unJ unsl1berl!chen snabt
so ir t:ZZL mit bloztr hanr: mir dem munch:. als ein swin.
ob ez abt:r also t!t:schihr. dcr :-;ol bi anderm viht sin
so ncmtt hove!ich daz gewant
swtr sniubc:r als tin bhs.
unJe smarztt als cin dahs.
11 0 Und jucker da mir. Jc1z zimr baz.
und rlisst( st1 er ezzen sol.
Jenn iu Jiu hant unsuber wire
diu Jriu dine zimtnt niemor wol
die zuokaphtr mtrktnc daz,
swer slilht unzuhc nihc vt:rbirc

Ir slilr die zen<le srUrcn nihr La sedexena aprcsso con verirat:


mir mezztrn, als erlicher ruor. No sorbilar dra bocha quando tu mangi con cugial:
und ;ds rnir nunt:gtm noch geschihr: Qutllo fa sicom besria. chi con cugial sorbilia
S\\ er Lks phlifet. daz ist nihr guot Chi doncha :t quesra uscmza. ben fa s d st dispolia
-492 The Ciri!izing Process Af'jlwdix I 493

or

201 AnJ suppe noc low<le of thy Porrnge Non tangas aures nudis digitis ntqut narts
no ryme in ,ill th) lyfe
B.
Fifceench cencury
From (rm1c1:.m(d dt l..1 uhk
.:;-!() Swer Jiu bein benagen hJr.
un<l wider in die schi.lzzd ruor.
<lii sin <lie hi:lveschen nn bthum
or Enfant qui vtulr esrre courroys
From Q:risqui.1 u in !lh1!.U: Er a routes gens agrtable.
Er principaltment a rablt.
in <lisco rncrn non sir bucella rtdacra GarJe cts riglts tn
II
On v 65, cf.: Stam /JJ1er :./{! t1kmam
Enfant soit de copper soigneux
Ses ongles, et osrer !'ordure.
numquam riJebis nee faberis ore repltto
Car se I' ur<lurt: il y en<lurt.,
Quant ilz se grate yerr roingneux
On v 8-L cf. also from: Q11isq11is d in l!hlJJd
Ill
l5 qui vulr pornre Jeber prius os vacuare Enfant cl honneur. lave tts nuins

or A ton ltvtr, a rnn disner.


from Th, Bl)r1k Er puis au supper sans finer:
i-i9 And wirht fulle mourht drynke in no wyse Ce sont rrois foys a [()US le moins
XII
Enfant. se tu es bien sc;avant.
Nt mts pas ca main le premier
111 Ne blow nor on rhy drinke ne mere. Au plar. mais laisst y roucher
Nerher for coldt. nerhtr for htrt. Le maisrre de l'hosrd avanc
XIII
Enfanr. t!ardez c..iue le morseau
Que tu auras mis en ta bouche
l 55 whannt ye shalle drynkt.
Par unt fois, jamais n'arouche,
your mourhe clence withe A. clothe
Ne soir remise en ton vaisseau
or XIV
from L; dt Jc (r;nhnir :.i
Enfanr. ayes en roy remors
ne boy pas la boucht baveuse.
De ten gardtr, se y as failly.
car la cousrume en est honrtuse
Er ne presences a nulluy
Le morseau que cu auras mors.
xv
1-!6 Nor on the borde lt:nynge be yee nat sene Enfanr, garde [()\' de maschier
En ta bouche pain ou \iande.
On v. 11 '"'7. cf: 51,ms /mr:r 11101St1m Oulrre que ran cuer ne dtmandt,
Er puis apres le rtcrascher
_C\(I culrello. dentts mundare cntrn XVII
Enfanr, garde qu en la saliert
On v 1-! l, cf.: S1,1m /mer ad 11Jcn.um Tu ne merces point res morseaulx
Pour Jes saler. ou rn deffaulx,
11 Illoris manibus escas nt sumpseris unquam Car c'est deshonneste m<rniert
PrrJCt:JJ -i95

XXIV die ,d[c be\de b.1cken aufrl-ilasi:n t.:h:ich als ob sic in die Trommt:te blit:sen oder t:in fewer
Enfanc wu.:;jour.s r-!.i:-ihh:. l-11 ! ,sen wolrtn, dit. nichr essen sundern fr:sstn und die kosr cinschlingtn. die ihn: H;tnde b::y nahe
Doulx. courwl:-.. bcn:nt: .1miahk. 1- J . Elbo(tn beschmurzen und demnach die servit:tt:n also zu ricluen. d.is:; un!Lirige klichen
bis .tn l'. 11 ::-
Enrre u:ub: qui sicrronr :t Eablc wisch!ump:.:n vid reint:r stin mlkhten
EE El' gardes d btrt: 110y:;ihles Dcnnoch sich diese untbrt:r nit mir solcht:n besuddtLn stf\ieren ohn unttrlass den
XXVI schwciss abzuwischen (dcr dann von wegt:n ihrs ei!t:nden und .frtsst:ns \'Un
Enfonr. sc tu faiz t:n wn \'t:rn: i.ibt.:r dit: srirn und das <l!lgesichr bis auff dtn lub herunter trlipfkt) )'l auch \V{d die :\ase so
Souprcs (_k \in aucunemt:nr. offr es inen gclieh::t darin zu schneutztn
Bo;. wur le \in t:ntit:n:mcnr.
ou autremt:nt !c gcctt: J. t::rrc
XXXI E.
Ern:mr. >t: tu \'::uh: ::n rn pt:ncc !560
Trnp excessin:mcru bouter from <l Cj{ i/j:r b;. C C,dviac:
Tu St:f,b constraint a ruptt:r
Er pcrdn.: toLJtt: coruln,tnct:
Ltnfonr esranr assis. s ii haunt st:rviene d::vanr luy sur son assicrce. il la pn:ndra et la mtnra sur
XXXIV
son br,1s ou espaule gauche, puis il mttrra son p . 1in de costt: gaucht, le cousreau Ju cosrt droir.
Enfant. .1rdt: toy de frontr
le verre ,1ussi. s ii le veut laisser sur la table-. et qu ii air la commoJirL: dt I\ tcnir sans offenser
Ens<1mblc tts mains. ne tt::-> bras
personnc C.1r il rourr.1 cEhcnir qu'on !1(: S\.lUr.tit t::nir k \'t'f[l OU du costC drnit
?'\t: :1 b n<.tppt.. n:: <ll!X t.!raps
cmp.:scht'.r par ce moyen qut:lqu un
A table un nt: se Joit gr.Her
Il fault que ienfanr la discrl:rion dt: cognoistrc !es circnnsrances Ju lieu ol1 il scra
En manc:eanr ii doir prcndre le premier qui luy \iendr,1 en main de son tranchoir
c Que s il ya Jts S<ll!Ces. 1 enfant y pourra . trt:mptr honnesrt:merH et sans rournt:r de I aurrc t..usu:
I 530 Jprt:s qu ii I aur.1 trt'.mptr de l un . .
from [), ,:: ili:.::c b;. Erasmus (if Rorrerdam: Jl est bien ntcessairt: a [ enLmt qu ii apprtnr1t: Jts s,1 jeunt:sse despl:ctr un c:1got. unt pt:rdrix, Lill

lapin et choses semblablt:s. ..


.\Ianrik si lbtur. aur humt:ro )inistro aut bracchio bt:vu imponirn C tst une chose par trop ords que t cnfanr prCsentL' unt chose aprb l a\'oir ml\L'.l:c. ou cc!k qu 11 rk
Cum honorc1riorihus accubirurus. ctpire 1ie:m. pikum rt:linquirn
daiL'.neruit nunger, si Ct: ll t:St J SOil St:f\itcur.
.r\ l.Jcxrris sit f'OCulum er cuJrd!us t:SC,trius rite purgarus. ad lat\'<.lnl panis i.1 n't:st non plus honnestt: de rirer par la bouche qutlque chost qu on aura Fi er la mtnre
Quidam ubi vix btnl constdtrint. mox manus in tpubs conjiciunr Id !uporum est sur \t tr,rnchoir: si ce nest qu'il adviennt que qutlquefoys ii succe Lt motlle Jc quclque pt:tit (JS,
Primus cibum appositum nt atringiro. non rnnrum ub id quml arguit avidum. std quod commt par Je pa.sse temps en arrtndanr la desserre. car L1voir :;uccl: i! le doir mt:nre
cum periculo conjunctum esc dum qui fervidum inexplor.1rum n.:cipir in os aut expuerL aut sur son ,1ssiette. comme aussi Its os des cerises t:t Jes prunes et semblabks, rour cc qu il n'esr point
s1 dcp!utiar. adurtre gulam. urroqut: ridiculus atque ac
bon dt: !es a\:der !l\ de !es j::crer J terr::.
A!iqu.mtiSf't:f mor.rndum. Lit ruer :FiSUeS(<l[ :1ffi:crui ttmr::r:tfl L't:nfant ne Joir .plJint rongtr indl:et:!Ht:r11elH In U>. comme foru lo chit:Ib
Digiw.s in jusculenra immergerc. agresrium esr: s::J cu!rdlo fuscinave rnllar quud ndr, rir:c id ex Quant I ::nfi1nE voudr.i Ju sci. ii en rrendra aYtc la 1io!ncre de .son cousteau ct non point avcc lt:s
ww digat qu()d sol::nr ligurirnrLs. sed <..JUoJ r'orre anrt: ipsum jacer. sumar.
trois doigs:
QuuJ Jigiris ::xcipi non pmest. quadra txcipitndum t:St Il four que J cnfant couppe sa chair tn menus morceaux sur son rr.rnclwir er ne faur point qu.il
Si quis t: placenrn anorcrea porn:xir aliquiJ. coch!eari aur quadr.1 t:xci1ie. aur cochltare pone la viandt la bouche rantost tl'unt main, tanrnsr de I autrt:. commc !es pttit'.'l qui commencenr
porrr:crum accire. er inn:rso in quadr. 1m ciho. cochleare rtJdiro J manger: mais que rnusjours ii le face. a\ec la main droicrc. t:n prenant honntstemenr le pain ou la
Si liquidius lsr quod d;nur. t:usrnndum sumiro t.:r cochltarL reddiro. seJ ad manti!t exrersum. chair a\'eC troys doigs seulement.
Digirns uncros \cl ore prat:lingen::. \'cl ad runicam txrergert. parin:r inci\ile t:sr: iJ mappa porius Quant la m<.rniere de m5.chtr. elle est diverse st:!on Jes lieux ou pays ol1 on est Car !es A.llemans
aut mantili focitndum.
m;ichent b bouche close. er rrouvent laid de faire autremenc. Les au contrnirt ouvrenr ;1
<.kmv hi bouche. er rrouvent la proctJure dts Al!t:mans reu ord. Lt:s Icaliens y prod:Jent fort
D, mullement. tt Jes f'ransois plus rondi:menr et en sorrt qu'ils rrou\tnr la procl:durt des ltalitns rrop
1558 <ltlicate et prtcitust
from h;. Gio\anni Jdla Casa. Archbishop of Benevento. quottd from rht il\t-Lmguage Er ainsi chacunt nation ha qutlque chos:: de propn.: et difftrtnt des <llltrts. Pourquoy l enfant Y
tdirion <Gt:ntva. l 609J. p, 68: puurra proctJer sdon !es litux er cousrumes J iceux ol1 il sera.
Da\anras:;t Its Allemans usenr de culil-rt:s en mangt<!.Ilt leur porngt tr mutts !es choses liquides. et

\\/as meynsru wlirdt dit:ser Sischo( unJ St:int tJle Gesellschafr (iJ Vescon: e !a sua nobill- brigara) Its Jrnliens,_Jes fourcherres. Er Jes frans-oys de l un tr dt I autre, st:lon que bon leur stmbk er qu ilz
denen gc:->agr hahtn. tie wir bisw::iltn sehen wie dit mit dtm rlisst:l in Jer li,t.:en und ihr en onr la commodirt. Les Iralitns st plaisent aucuntmenr J. avoir chacun son cousre;1u. ;\fais Jes
gbichr nit Linmal auftlleben unJ ihrc \iel wenigtr die h;inde nimmermehr \on dtr sp::ist A1lemans ont ceht tn sinulit:re rt:commandarion. tt re!lemenr qu on leur fair grdnd desplaisir de le
496 The Cfrili::ing Process Appendix I 497

prendre Jevanr tux ou <le leur <lemanJer Lts au conrrain:: rnuce une pleine tabl ou rrois indecencts, lune est d'essuyer frequemmenr vos mains a vosrre serviette. et cit la salir
personnes se servironr de dcu:x ou rrois cousreaux. sans faire Jifficulrt Je ie clt-m:rn<ler ou d ' ,-ornme un rorchon de cuisine: en sorte qu tlle fair nu! au coeur ceux qui la voyenr porter a la
prtry re
le bailler s ilz I onr Par quoy. s'il advienr que quelqu\m demande son cousrc.-a.u a il luv bouche. pour \'OLIS essuyer Laurre est de !es essuyer J. vosrre pain. Ct qui est encore rres-malpropre:
bailler aprt-s 1 avoir nenoyt'. J sa serviette. en tenant la poincce en sa main er prCstnrant le er la rroisitme de \ous ltcher !es doigrs. ct qui est It comble de I improprttt
celuy qui le deman<le: car ii seroir Jeshonnesre de la faire aurremenr

P. 273 commt ii yen a beaucoup (sc usages) qui ont Jt:ja changt. je ne doute pas qu'il n yen
air plusieurs de ct!lts-cy. C..Jlli changeront tout de meme l'avenir
F.
Autrtfiis un j111uz-oit !rcw/11.."r .01n Juin d,ms !:1 Sd!IJSc 1..f ii .wj}is11i: p11flrl'll qur: /'1JJJ 1(1 d{J /!JJ t/h"r1r1..
Between 16-iO and 1680
murJu: l!:.1i11hn.tnt t1.. .frYi!it m!t r.5/lt:.:r: ,ft,
;-\!ifn:i,is fill j111:1!'11it :ird s.1 /;1J11dJL qu 11JJ !:L /!i1:tt'l1i! /1:1.r ti /, jttfrr .I hrr,, j1r1111-r11 q:h Ct!tt ''
,_ulroitt111tlli: tf m:1in1t1u11: .-, st11,j; tllh grdnd, s,ddt'
JaJis le potage on mangeoir
Dans le plat, sans ctrtmonie.
Er sa cuillier on essuyoir
Souvtm sur la poult bouillie
1717
from fr:111fois d, Q,. Id Jciu1tr: du mrmdt: ti d..s com1oiss.mcif 11:ilu i:l la (01J:.illir:: de /,_; ri,:
Dans la fricassee aurrefois
On sauss<:.ir son pain er ses doigrs
P. 9- En Alkmagne et (bns Its Ro: aumt:s du :\'or<l. c tsr une c:t unt bicnsl-..rnn: pour un
Prince de boire le premier a la sanrt de celui OU Jt ceux qu ii traitt, er de leur fairt prtsenrer tnsuitt
Chacun mange prtsenremenr It m2me vtrrt. ou le mC:mt gobeler. rtmpli J'or<linaire de mtme vin: er ctn est point parmi tux un
Son poragt sur son assieue: manque de politesse de boire dans le mtmt verre. mais une marque dt franchise et d amirit: les
II faur se servir polimenr femmes boi\"t:nr aussi Its prtmierts, et <lonntnt ensuitt, ou font porrer leur verre avec le mt-mt: vin.
Er de cuillitr tt dt fourcherre, Jont elles Ont bC! 8. la santt Je ceJui J. qui elles St SOflt adresstes ..UllJ Cjlh f1.l.\.ft / 10/tr lllh fli'dff
Er de temps en temps qu\m valet (O!!il!lr: f1.117!Ji Jlf/llS
Les aille bver au buffet

P. 101 A lady responds: Jent si;aurois approuver-nen deplaise a Messicurs Its Gens du Non-
G. cerre maniert <le boire clans It mtme \"trre. er moins tncort sur le rtste des Dames, cela a un air de
1672 malproprttt, qui me feroit souhaiter qu'ils rtmoignassenr leur franchise par <l'aurres marques

L
P. 12- Si prtnd au plat, il four bien se garder cl y mtttrt la main, que !cs plus qualifiez 171-i
ne I y aytnt mist Its premiers; n y dt prendre aillturs qu J l'tndroir Ju plat, qui t:S[ vis a vis de nous; From an anonymous Cfri!ir::' fr.n:(.lis1.. (Lit-ge. 1-1-P):
moins encore Joie-on prtndre !es mcilleurs morceaux. quand mtme on seroit It dernier a !irenJre.
Il est nectssaife aussi d observer qu ii four roUjours tssuyer vosrrt cuilltre quand. apres \'OLIS en
p II ntst pas honntre d'humer Sa soupt quand on St serviroit cl ecuelle si Ct n'trnit que
tsrre sttYy. voL1s nmlez prcn<lre qutlqut chose clans Lin aurre plat, J :l)a11f dd r1..ns si J1../ic;1ts <r:t'ils 11e
ce fm clans la famille apres en arnir pris la plus grande panit avec la cuillitre
: 011:Jr,1i1..11f /hl.\ d11 p11f,1g1.. lWIS I :mrir:: miJc I :.1n1fr ::! /;fJui'h1..
Si le poragt est clans un plaE, pofEtz-y la cuilliere a vorre rour sans \ous precipiter
Et mtme si on est J la table de gens bitn proprts. it ne suffir pas dessuyer sa cuillere: ii ne four Ne renez-pas roujours votre couteau la main comme font les gens Je \"illage: ii sufhr de lt
plus s'en servir, mais en demander une aurre. Aussi strt on a present tn bien des lieux des cuilieres prendrt lorsque \ous voulez vuus en servir
clans des plats, qui Jh St:ITr:Jl! q11:: pour pr1..11:lri.. d11 pr1::1g1.. d j,} /:1 s:ttf(1.. Quan<l on \"Olis strt de la viande, il n 'est pas stant de la prtndre avec la main: mais il faut prtsenttr
II ne four pas manger le potage au plat, mais en mettre proprement sur son assierre: et s'il estoit votrt assierre de la main gauche en tenant \orre fourcherre ou vorre coureau de la droite
crop chaud. il tsr indtcem de souftler a chague cuilleree: ii faut arrendre qu ii soit refroidyo Il esr cnnrre la bienseance de donner a flairer !es vianclts er il four se clonner bien de garde de !es
Que si par malheur on s'estoit brCdt. il fi1ut le souffrir si !'on peut patiemment et sans le faire remtnre Jans It plat aprf.-s !es avoir flairtes Si vous prtnez clans un plat commun nt choisissez pas
parolrre: mais si la brUlure esroit insupportable comme il arrive qutlquefois. il four promprement et Jes meilleurs morceaux. Couptz avec le couteau aprts gue vous aurez arrttt la \iandt qui est clans le
a\ant que les autrts sen prendre son assiette d une main, tt la porter contre sa plat avec la fourchtrte <le laquellt vous vous ser:irez rour porter sur vorre assient ce que vous aurez
et se couvrant de Liutre main remtttre sur l'assiettt ce que !'on a clans la bouche, er It donner coupt. ne prenez Jone pas la viande avec la main
viSEtmem par derriere a un laguais. La civilirt veur gut !'on ait dt la politesse, mais tile ne pretend II ne faut pas jeerer par rerre ni os ni coqut d'oeuf ni ptlure d'aucun fruit
pas qut I on snit homicide de soy-mf:mt. II est tres-indecenr de toucher a quelque chose de gras, a II en est de mtmt dts noyaux que l'on tire plus honntremtnt de la boucht avec Its <leux doigts
quelque sauce. a quelque syrop etc. avec Jes Joigrs, ourre que ct!a en mf:me-ttmps vous a deux qu on ne !es cracht clans la main
-198 T ht Prr1(dS AJ!i'wdix I -199

J. corps jusques sur Its genoux. en allanr au-Jt:isous du col et non la passan[ en cleJans du ml-me col
1729 cuillier. la fourchtne t.:t le couteau doi\cn[ roujours Dtre placte l la droitt
From La Salle. L. IIZr/,, ;!')): cuillier bt dtstinte pour !es chosLs liquides. t:[ la fourchtnc rour Its viandes de consisrnnct
Lorsque l'unt ou I aurrc tsr sale. on ptut Its m:[[oycr a\"eC sa stnierrt. s ii n tst pas possible de st
d1'1.>c.' .l11lJ! r;;, ./11:1 .'l ,:r /r1r.iqu 11?J ,g .I ]:;/;/, ( p 8-) procun.:r un autrt serYice; ii four tvirt:"r dt Jes assuycr avec la nappe. c tS[ unt malproprttt
On Jolt si: st:rYir :1 Tab!t: d unt: strYiettt:. d unt assietn.:. Jun coute.1u, dune cuil!ier. er inipardonrublt:
r(iurchettl: ii serait tout J. foir conrn: ! <le st p.1sser dl' qutlqu unl" de rnurc:s ces Qu<rnd I assittte est sale, ii four en demandtr une aurre: ct stroit une grossifrcre re\olrnnte Jt Li
man,!.!:t:anr ncrwyer avi:c Jes Joit:cs a\'tC la cuiller. la fourcherrt et It couteau
c bt a la pt:rsonnt la plus qu<lliftt de Li comp.1gnie :i dt.'.plier sa St:f\ it:nl la prt:mitre, ('[Its D.rns lts bonnes cables. lt:s domesriques attenrifs changcnt Jes assier[tS sans qu .on !es L"n averrissent
doivenr attendre qu tl!e air dtplit la sit:nnt:, pour dtplit:r Li lt-ur. LorsquL ks r'ef'.'lonnes sont 21 pt:u Rit'.n n"r:st plus mal-propre qut dt se ltchtr Its doigts. de rouchi:r Jes Yiandt:s. tt <le !es porter :1 la
t.'.alts. rous L1 dtplilnt i:rbt:mh!t sans ctrt:monie bouche avec la main. <le remuer !es saucts a\'t:C It: doigt. ou J y trt:mptr le pain avtc la fourchette pour
11 l'.St malhonrn.:ste de st: strvir de sa si:rviettt: pour s cssuier lt: visage: il I tst tncore bien plus Ia sucer
s t:n frurrer les dents er Ct: strait urn: foute des plus ,!.!:rnssieres contrl la Civilirt de sen ser.,ir pour On nl doic jdn1ais pren<lrt: du sei aYcC !es doigts. 11 tst trt-s-ordrnairt aux enfancs d enrnsstr
muucher L usagl qu on peur tr qu on duir faire dt: sa s:::nilcre !orsqu on esr :1 Table, est de s'en rnorce,rnx sur morceaux, de rtrirer memt: de la boucht ct qu ils y ont mis tr qui ts[ mctehe, de pousstr
servir pour neno1er sa bouche. :;es Jevrts er ses doigr:; quand ib sonc grns. pour dC:grnisser le coureau Jes morceaux aYt:C Its doigts Rien n 'est plus ma! honnere
avant qw.: de couper du Pain. tr pour nerrohr la cuilltr. et la fourchette aprl=s qu on s'en est scrvL porter its Yiandes au ntz. Its tlairtr, OU Its <lonner a tlairt:r t:St LIIlt autre impolittsse qui attaqut
Lor:que Its doits sont fort grns. ii est <-i propos de !es dt:graisser d\1hord avec un morc<;au de le >faitrt de la table: et s il arriYt que 1on trouYt quelque malproprere Jans les a!imt:nts, ii faut !es
qu ii taut tnsuitt Llisser sur I a:.sitnt aV<.l!l( qut de !es essuier a Sa Serviertt. afin de ne la p,1s rt[irer sans !es montrer
t:t de nt la !"''15 rendrt: malpropre
Lursqut:" la cuillitr. L fourchtttt: ou le couteau sonc saks. ou qu'ils gras. ii esr rrts ma! honnere L
dt Its lt:cht:r. et i! n'est nullemtnt stanr de Jes essLi"ier. ou qut:lquaurrt chust: qut:" ct: soir. an::c la 1780?
on duir dans ces ucc.1.sions. e[ autn:s stmblables. st: strvir deb sen icnc er pour cc qui tsr dt la nape, il from an anonymous work. L.l Cit ilih' /;r1Jhh pr1ur !:..1 <Catn. n d J p 55:
four avoir de b tcnir rnlijours fort proprt:", er de n y L.iisser wmbtr. ni ni \'in. ni rien qui
A.pres. ii mtttra sa strYit:ttt sur lui. son pain baucht: et son court:au i:1 Jroite. pour courer la
la puisse salir.
viande sans le rompre_ II se donnem aussi de garde de porctr son couteau ;1 sa bouche, II nt doit point
Lorsque I assicnt: t:"S( sd.le. on doic bien st garder de la r.niss(:r a\t:C la cuiltit:r. ou la fourchttn:::, pour
avoir ses mains sur son assiettt: . il ne doit point non plus s accoudcr dessus. car ct:!a n appartien[
!a rtndrc ne[tt'. (JU de nttto1tr a\cc ses doigts son assit..ccc, ou le fond de: qudquc plat: cela esc trfs
qu:1 Jes gens malades ou vieux
inJCcenr, ii r-aur. ou n'y pas rm:chc:r. ou si on a la commoditt: Jen changer. se !a fairt: Jesenir. et s'tn
Lt: sage Enfant s ii est aYtC dt:s Supt'.rieurs ffH:nra It: dL:rnicr L.: m.1in au pbr
faire aporttr unt: autre
.. aprl=s, si c'esl de la \iande. la coupera propremenr avec son cou[eau tt la mangtra avcc son p.tin
11 nc fau[ pas lursqu on t:S[ Tablt: ttnir Wt.'ijours It: ((IUtt:au a la nuin, il suffit de It prendre
("est urn.: chost rustiqut et salt de tirer de sa bouche la \'iandt qu on a dtjJ. er la mtnrl
lorsqu on Ytut sen scnir
::;ur son assit[te. Aussi ne four-ii jam<.1is rtmtttre dans le plat ce qu on en a os[t
I! est aussi rrts inciYi! de pontr un morccau dt pain la bouchc .1!a!l[ le coute,ll! a L1 main: ii res[
c:ncore plus d.., l y porter a\'eC ht poin[e du couttau II faut obsefYlr la ml:mc chose en maI\t.:eant des
pommlS. dt:.s poires ou qudqur:s aurres fruits. l>L
Il est contre la Bitnstancc: de tc:nir la fourcherrc ou la cuillier j plaine main. commt si on renoit 1786
un mais on doit tol1jours !ts tenir enrre ses doig[s From a conversation bttWten the potl Delille and Abbt Cos:;on:
On flt: duir p:ts Sl' strvir de la fourchette pour porter a sa bouchc des choses liquiJes Dt.:rnit-rement. L1bbt Cos.son. professeur de btlles lcrtrts au i-.bzarin. me parla cl un din::r
cuil!er qui t:"S[ destint'.t fmur prenJrt.. Ct:S SOrttS dt ciWSl'S
oi:1 i! s trnit rrouvt quelquts jours auparavant avec .ks L" c1111r a Versailles
11 esr de 1 honrfrttlt'. de st sef\ir toujours de la fourchertt: pour porttr de la \'iande sa car )t parit. lui <lis-je. qut vous avez fair cent incongruirts
l.i Bi:n-_1::/1::: j'JJ/::: ;u.r :(J:;J:r .zr:: !:.t )11i,(:.1 .: tj:hlcj:h dJr1.1: ,(TJ'. i't quclqut: sauct.., ou ljlltlque
-Comment done. reprir \"i\'tment 1abbe Cusson, fort inquitL II mt semble que j ai faic la ml-mt
sirop: t[ si qudqu un It foisoit. il ne pouroit st dispenser dt commi:rrrt: t:nsuirt plusiturs Ulllft'S chose que tour It monde
inCi\i!i[ez: commt Stroic d tSSU!t.:r SOU\tnr StS J_ Sa Stf\'ie[Ct:. Ce qui Ja rtndrnir (ore salt.: l'[ fort
-Qut:!lt pn:somption! Je gage que vous n'avez ritn fait comme ptrsonnt. voyons. je mt
malpropre, ou de Its t:SSLi"ier pain. ct qui seroi[ rrl-s inci\'il. ou dt lt-cher st.:s doigts. ce qui ne borntrai au diner. Er d abord que fitt:S-\"OUS dt \'OUt senittte tll \"OLIS metrnnt a table?
peut C:crt.: ptrmis ;1 lint: personne bitn nee tt bit:n tlt\'tt
-De ma seniette? Jt fis commt lour le mondt: jt la dtployai. je !'tttndis sur moi er L1trnchai ix1r
un coin a ma boutonnihe
K. -Eh bien mon chtr. vous tees le seul qui ayez fair cela: on n ernlt point sa seniettt. on la laisst
1774 sur sts genoux. [[ commt:nt tlrts-vour pour manger \"Otrt soupe?
from La Salle. L:Y Ri.gkr f.,. d ,/t /.; (iti!itt' d.1rt'ti:mh (1---! ednl p. -rSff: -Comme rout le monde, je penst Jt pris ma cuiller J"tme main tl ma fourchtttt de I aurre
-Vorre fourchttlt, bon Ditu! Personne nt prend de fourchtttt pour manger sa soupe {\.fais
La senit[re qui c:st posCt sur l assitcre. trant de:;linte a prt'.SL"f\'t:r !t:s habics des caches ou aurres <litt:s-mois qudqut chost dt la manil:re dont \ous mangtfrtts \'Otrt pain.
malpruprerCs inst'.f'<lfd.bles des repas. il four [t.:llemeru I trcndrc soi qu clle couvrt.: ks devants du -Ctrtainement U la manit-re de tout It monde: jt la coupai proprement avec mon couteau
500 The Cil'ilizing Process Appwdix I 501

-Eh. on romp[ son pain. on ne le coup pas Avanc;ons. Lt catt. commenr It prite-s-vous? guibus ptsriferam rettnri crepirus vim <lescribir, sed quia omnium rerunrur non du.xi
-Eh. pour It coup. commt rnuc lt monde: il t:rnit brU!anr, je le versai par petites parries de rna adscribendos
tasst clans ma soucoupe
-Eh bitn. vous fires commt nt tir slm:menr personne: tour le mon<le boir son caft clans sa rasse
et i1mais dans sa soucuupe
1
D.
1558
from Ga!aM. by GiO\anni <lella Casa. Archbishop of Benevenro:
Changes m Attitude towards the Natural Functions
(p. 109) Uber <las stehec ts eintm sirrsamen, erbahrn mtnschen niche an (Similmentt non si conviene a
c,111i/hur1mr1 cosrumart apparecchiarsi alle
necessid naturali ), da13 tr sich zu nari.irlicher nocdurfr
A. in andrer Leute gegenwertigkeir ri.isre un<l vorbereire odt:r nach elem er solchts verrichttt sich in
Fifteenth century ihtr gegenwerrigkeit wi<lerum nesrele und beklei<lt. So wird auch tin solchtT nach seiner aus
From sr:nwinnf !t'S (tJ!Jh!Ulltt-S d, !:1 h1hle: beimlichen orren wiederkunffr flir ehrliche gest!lschafr die hande nichr waschen, nach <lem die
ursache <larumb er sich der leur gedancken eint untbterey fi.ir die augtn stellr. Isr auch
VIII ebtn umb derselbigtn ursach willen kein feint gewohnheit, wenn einem auf der Gassen etwas
Enfant, prens <le regarder peint abscheuliches. wie es sich wol bisweilen zurrtigr. flirkommer. srarim a<l comicern st converrat eique
Sur le siege olr tu re sierras iibm monsrrar
Se aucune chose y verra Mulro minus decebir alreri re foeridam, ur olfaciar porrigere. quod nonnunquam facere aliqui
Qui soir dtshonnesre ou vilaine solenr arque a<leo urgtre, quum eriam m.1ribus aliorum rem illarn grave oltnttm admovent et
inquiunt: O<lorart amabo quanroptrt hoec foerear; quum porius dicc:n<lum esser: Quia foerer. noli
odorari

E.
.'>29 Gr!f ouch nihr mir blazer ham 1570
Dir selben under din gewanr From rhe \\/ernigero<le Hofordnung of 1570:

c. Dass nichr manniglich also unverschamr und ohn' alle Scheu, den Bauern gleich, die nichr zu Hofe
1530 oder bei einigen ehrbaren, zi.ichrigen Leuten gewesen, n1r das Frauenzimmer, Hofstuben unJ andrer
From De cfri!i1t11t: !!iflrJ1m p11r:rilim11, by Erasmus of Rorrerchm: Gemach Thiiren oder Fensrer seine Norhdurfr ausrichre, sondern in jeder sich jederzeir und -orr
verni.infriger, zUchtiger und threrbieriger \\?ort und Geber<le erzeige un<l verhaltt
Incivile est tum salurare. qui reddir urinam aur alvum exonerar
quibus narura pudorem addidir reregere cirra necessirarem procu! abtsse debet ah ln<loie
liberali Quin ubi nectssiras hue cogit, ramen id quoqut <lecenrt verecun<lia faciendum est. eriam si
F.
nemo testis a<lsir. Nunquarn enim non adsunr angeli, quibus in pueris grarissimus est pu<licitiae 1589
comes cusrosque pudor. From rhe Brunswick Hofor<lnung of 1589:
Lorium rtmorari valerU<lini perniciosum, stcrero redden: verecundum, Sunr qui praecipiant ut
puer compressis naribus venrris thrum rerinear. Arqui civilt non est. dum urbanus vi<leri studes Dergleichen Jail nieman<l. <ler sei auch wer er wolle. unter. nach oder vor den .\Iahlzeiren, spar
morbum accerstrt. Si lictt seceJerc:. solus id faciat Sin minus, iuxrn vtrustissirnum proverbium: oder fruh. die \Venddsreine. Treppen. Giinge and Gemiicher mir elem Urin oder anderm Unt1ach
Tussi crepitum <lissimuler. Alioqui cur non eadem opera praecipiunt ne aluum deijcianr. quum verunreinigen. sonJern wegen solcher Nm:h<lurfr an gebi.ihrliche. veror<lnere Orrt gehen chue
rernorari tlatum periculosius sit. quam alvum srringert
i\forbum accersere: Audi Coi senis cit crepiru senrenriam Si Barus sine crepitu soniruque
txcernirur oprimus . .ii.Ielius ramen est, ur erumpat cum soniru quam si condarur rerineaturque" Atqui H.
adeo utile hie fuerit devorare pudorem, ur corpus redimas. ut consilio omnium me<licorum sic nates 1694
comprimas, quemadmodum apud epigrammararium Aethon. qui quamvis in sacro sibi caverir From rhe correspondence of rhe Duchess of Orleans:
crepando, ramen comprtssis naribus Iovem salurar. Parasirica. et illorum qui ad supercilium scant.
vox tsr: Di<lici comprimere nates
L"odeur de la bout esr horrible Paris esr un tndroir affreux; !es ruts y Ont une si mauvaise odeur
Tussi crepicum dissimulare: Tussire st simulanr, qui pudoris graria nolunt crepirum aucliri. Lege qu'on ne peur y rtnir; I exrr2ine chaleur y fair pourrir beaucoup de viande er de poisson t( ceci, joint
Cbiliades; Tussis pro cn:piru
a la foule Jes gens qui Jans Jes rues. cause une odeur si <lcresrnble gu'il n y a pas moyen <le la
Quum remorari thrum ptrniciosus sic: Extant Nicarchi versus tpigr<J..mmarurn libro secun<lo supporter
502 /\f'f!wdix I 50 .'>

I. J.Urt !i1.'t L, /' 11! .lt d1.n1.'hr, .i t,!t, ,JJ rip1L'.k?Jt.1:ir1ll f11!f.\ /.; Y1ir,, d Ji: f'a)m,:r,lfi1,71 :011/

1729 Jl: 11::/, Les pois


1
iun:nt manfts s.ms qu ii en rtst5.r un stul
From La Salle. Lr.1 u;,Jr.i .le L hir;:s,:nhc c: dt !.1ci:ilih'1:hr,.!itmh (I\ou::n. l-2.9). p -:5ff.:

On Blowing One's Nose


II est <lt la I3itnst.mct. tr ck- b pudeur de cou\'rir rnutt:S les panit:.'i du Corp;;. hors la tr
mains. On dolt t\i[(:r avec soin. ct auwnr qu on It: peut. dt: porrt:r Lt main nut: sur tourts Its pardes (p, 121)
du Corp:; qui nt sont pas urdin;1iremt:nt decouvtrtts: et si on ::st ubligt dt le::; rnucht:r. il faur que
;;oir an:c lxaucoup de prCcarnion II est propos de s accourumer a .-;ouffrir plusit:urs pti:irc-:s
!ncommoJirez sans se rnurner. frorrer. ni garter Thirreemh Cemury
It LSt bitn plu-; conrre la Bienstance et I honntstt:n:. de toucher. ou dt \'Oir en une aurn: Borwc:sin <lt: la Riva (Bonvicino da Riva) D, /,
p.lrticulitrement si t:lle est dt: sexe diffCrtnc. ce que Dieu dtfenJ de rtl-!ardt:r en soi. Lorsqu'on
besoin J\Iriner, il four rnujours Se retin:r en qutJque Jieu ecarrC:: et queJqw:s <llltrt:S besoins nattirefs fo) La dt:sett:na aprcsso si t:
qu'on puisse avoir. ii tst de la BiensC:ance (aux Enfanrs mesrnes) dt ne !es faire quL dans des lieux quando tu stranudt.
on rn: puisst pas tstrt: apt:rcl1. Over ch ti tt: prl"ndt la rosse.
fUarda con tu
.111om hruit. fr)rsq1/rJJJ u: ,,n (r1m/1:1t,::nii: et ii est hontt:ux t:t indecent de le fairt.: dune maniere qu'on In olrra parre tL' volze.
puisse esut entendu dt:s autres. td t corrtxia inpensa.
I! nesr jamais stant dt: parltr dts parrits du Corps qui doin:nt estn: cachtfs. ni de certainr:s A.z(J cht dra no
ntcessirtz du Corps ausqudles la Nature nous a assujetti, ni rnt:smt dt It::; nommcr. Zl"'.'iSe sor la rntnsa

Pox la trenrena l- qutsra:


1731 zaschun corttst Jonzdlo
From Johann Christian Barrh. J:_.d.mtht F:.lhfr.1, Che st.: \'ore lo naxo.
in wtlcher gezeiget wird. wit sich ein jungtr ?\knsch bt:y der galanttn \X.dt sowoh! durch manier- con Ii drapi sc: foza bello:
l!che \\lerke als complaisarue \\"orre recomm.rndiren so!L .A.lien Liebhabtrn der ht:LHigen Policesse zu Chi mant:ia. ovtr chi mcnesrra.
son<lt:rb.:.n:m :\utzt.:n and Vt.:rgnligt.:n ans Liehr gt:stellt:r. (Drt:sdt:n and Leipzi,:..::. l-?1lJ. p. 288: no de.: con le die:
Con Ii dr.1pi da pt:) Se monda
Gt-"het man bey eintr Person n>rbL"y. wc:lcht: sich erleichrcrr. so stdler m<lll sich, als ob man solches \'OStra COrtt:xia
nichr gtwahr wUrde. und also 1st ts auch wider <lie HWlichkeir. zu
B.
K.
1774
From La Salle. L.r RZrJi_, J. !.1 hit11.'i:lli'(L L: .lt !.1 t"irifih' t"hrt'tiLlllh. p 2-l: Swer in Jaz rischlach sniuzet sich.
daz sr<'ir nihr woi. sicherlich

11 est de la bi.tnstance l"t dt: la pudeur de couvrir mutts ks parries du corps. hors Lt rere er le:-
mains c
Pour !t:s b:.:soins narurds ii t:St de la hiensCance {aux enfonrs m0mt) dt: n y qut: dans Jes
lieux ou on nt soir pas
11 n'cst jamais stanr dt parier dts rarries du corps qui Joivenr rnujours t-rn: ni dt: ctrraines XXX!Il
ntcessirts du corps auxqut:llts la nature nous a assujerris. ni mtme dt les nommer Enfanr. se ron rn:z est morvc:ux.
Nt It rorcht." dt la main nue.
L De quoy ta viande esr ttnut.
Le fair esr ,-iJain t:t honreux
1768
Lerrtr from f.ladame <lu Detfand rn Madame dt Choiseul, i -68:
D.
Je voudrnis. chtrt grand maman. vous peindrc. ainsi qu'au grand-abbt. qudlt for ma surprise. From A. Cabants . .\frnJtr.1 imim1:s :!11 hmJi.1 f1:lss/ (Paris. 191 ()) p l 01:
quand hitr marin on m"apporra. sur mon lit. un grand sac dt vorrt parr. Jt me hC!.rt: de 1ou\Tir, j'y
fourre la main, j y trouve Jes p::tits pois er puis un vast je It tire bit:n \ire: c t-"St un pot de Au quinzitmc sitclc. on SL' mouchair encore dans le:; doiftS Lt les sculpteurs de l'tpoqut n'onr pas
chambre l\fais J urn: bt-autt. dune m<tnificencc ttl!es. que mes rout d urk voix disenr qu"il craint de n:produire Ct: ,Ut:Stt. passablement rea!istt. clans Jeur monumtnts
50-i Th1: Cil'ilizing Pmct.rs Appendix I 505

E P. 134 Se mouchtr avec son mouchoir U Jtcouvtrr tr sans se couvrir de sa serviette. en essuyer la
1530 sueur Ju visage sont des salerez U faire soulever le coeur ;1 rnut le monde.
From ciri!i1:1h monm1 p11ui!i11m. by Er.i:;mus. ch l: II fauc evictr dt bfriller. dt se moucher ec de cracher Si on y tst oblige tn des litux qut I on cienc
propremenc il four It faire dans son mouchoir, en se dtrournanr le visage tr se couvranr de sa main
Pilt:o aut veste emungi. rusricanum, hracchio cubirnve. salsamencariorum. nee multo civilius id er nt point regarder aprts clans son mouchoir
manu tieri. si mox pituiram vtsti illinas Strophiolis txciptre narium recn:mt:nta, dtcorum: idoue:
1
paulisper a\erso corpore. si qui jdsilli hflllfJr:lfifJrd
Si quid in solum Jejecrum tst emuncto Juobus Jigiris naso, mox ptde pron:rt:ndum tst. L
(From cht scholia:J 169'1
Inter mucum er pituiram parum differentiae est, nisi quo<l mucum crassion:s, pituitam Huidas from i\ftnag:e, Oicti1J1mairt" :!1)111ologiq11t :Ir: /.; lang11t
magis sordt:s inrerpn:canrur Srrophium er srrophiolum. sudarium tr -;udario!um. linreum tt linreolurn i\fouchoir a moucher:
confundunr passim Lnini scriprores Comme ce mor de moucher donne one vilaint im.1g:e. les dames de\TOient plutOS[ appeltr ce
mouchoir, dt poche, comme on di[ mouchoir Je cou. (jllt mouchoir a moucher
G.
1558
From G:d.11t11. by Giov,1nni Jdla Casa: 1714
From an anonymous Cfrilih' jianf:tist (Litge, 171-i):
P -8: Du sole dein farztnttlein niemand Liberrtichen als ob es ntw gewaschen wen: ... (non
il suo moclchino
P. -! l: Gardez-vous bien de vous moucher avec les doigts ou sur la manche (tl!JJllh ft., ,11/ws, mais
P -t-!: Es gehCire[ sich auch nicht. wenn du die nase gewischtt hast, JaB du das schnuptuch servez-vous de vorre mouchoir er ne regardez pas cledans aprts WlUS trrt moucht.
auseinan<ler ziehesr und hintinguckest gleich als ob Jir perltn un<l robinen vom gehirn hetten
abfallen mbgt:n. K.
\\ias soll ich dann nun von dentn sagen die ihr farzolet oder wiscluCkhltin irn 1729
From La Salle, Lt:S :le: /:1 c:t dr: !d rfrilih. dJr:!ti,mh (Rauen, 1...,.29):

G. Dll nez ec de la manitre <lt st mouchec tc d'ecemuec (p 23)


II est uts ma! honntsre de foi.iiller incessament clans !es narines avec le doigr. tt il est encore bien
From Cabants. h11h11d :l:t hm/1.r (Paris. 1910):
plus insuporcable de porcec ensuice clans la bouche ct qu'on a tire hors dts narines
(a) II est vilain de St moucher avec la main nut, en la passanr dessous le Nez, ou de st moucher sur
P l 0.1: cL-\uvt:rgne, !es "J"\rrfts d amour sa manche, ou sur ses habits. cest one chose rrts conrraire a la Bienstance, de st moucher avec deux
a tln qu'elle I eut en mtmoirt. ii s1<l\isa de luy faire faire un Jes plus beaulx et riches mouchoirs, doigts, er puis jerer l'ordure a rerre. er d'essuier ensuire ses doigrs avec ses habits: on combien
ol1 son nom esrnir en lt[trts enrrtlactes. le plus gentemenr Ju morn.It. car ii esrnir arrncht a un beau ii mal stant de voir de ttllts mal-proprerts sur des habits. qui cloivenr roUjours 2tre trts propres.
tS[

cueur <l or, er frangt:s dt menues pensCes. quelques pauvces qu'ils soitnc
II y en a qutlques-uns qui metttnr on doig[ conrre le Nez, et qui ensuire en souftlan[ du Nez.
lb)
poussent U terrt !'ordure qui est cledans; ceux qui en usenr ainsi sonr des gens qui ne sc;avenr ce que
P 168: 159-i Ht:nry IV <lemnndair a son valet de chambre combien il avai[ Je chemises et celui-ci c'esr d'honnerert
rtpon<lair: Line Jouzaine, Sire. encore i en a-r-i! Je dtschirtes.-Er de mouchoirs. dir lt roi, tSt-.:e pas II faur rnt.ljours se servir de son mouchoir pour se moocher, er jamais d'autrc chose, er en le faisan[
huir que j ai?-11 n i en a pour ces[t heure que cinq. dist-ii (LcsrniL Journal d'Henri IV.) se cou\-rir ordinairemenr le Visage de son chapeau
On doit e\'ittc en St mouchanc de faire du bmic avec le Nez Avant que de se mouchtc. ii est
.. Cinq mouchoirs d ouvragt d or. d'argenr et soye, prisez cent tscuz
in<ltcenr d'estre long[ems J. rirer son mouchoir: c'est manquer de respect a l'tgard des personnes avec
(c) qui on esc. de It deplier en differtnds endroics. pour voir <le qutl cote on st mouchera; ii fauc ricer
P 10.2: Au seizitme sitclt. <lit .0.1onrei!. en France comme parrnu[. ft fhti! jhllf'lt .t n:r11iche .rm1s son mouchoir de sa poche, sans qu'il paroisse. er se moucher prompremenr. de manitr qu'on ne puisse
mr111dY1ir: mdir. :I.ms la ii d/ rt{li qu till St IJJr1:nih la m:mchc: Q:uJJ! :mx richd. ils /J(1rfmt presque pas esrre aperc;U des autres
:!:ms l.1 J1r1th, un 1n11:1dJ11ir: dliSJi. dirt tjll llll h1111m:c d d, /.; f1r//llh 1111 di! 'JI' ii lh .fc mo:n/JL /us .:r::.: Iii On doit bien se garder, aprts qu'on s'esr moucht, de regarder clans son mouchoir; mais ii est U
1!1.l!ldJ, prnpos dt le plier aussicoc. ec It remenrt clans sa poche,

H. L
1672 1774
506 TIJ1: Ciz,ifi:ing Pmcess 507

Tout mouvcmtnt Yolonrnin.: du nt:z. soit avtc la main. soir auutmtnt. t:'St indCctnt et pnfrilr:; porttr E.
Its Joigts dans Its narines est unt: qui revoltt:. et tn y touch.ant rrop souvt:nt, ! 5:\0
q:t'il .1) f1nlh do.J i111.W!ll!.'l1r.htt:r. df/JJf IJJJ .':. l";.\J:,;.'/ !l/JJgh11ijlS From/), (iti!i!d!t m11r;11i: jlfh'ri!imn, by Er.tsmus:
Les tnfonrs sont asstz dans l\1sa,t.:e dt rnmber dans ct dtfauc: !:..> /J..1r:.n:s dr1iLl1! 1::3 r:l!
.A.n:rsus expuiro, ne quern conspu:.1s aspergas\t Si quid purult:ntius in terram rejectum t:ric pt:de.
II four observt:r, en se mouchanr. routt:s !es regles de la bitnseanct lt dl' la propren:, ut Jixi. proteratur. ne cui naust:.1m movedt. Id si non liclt. lintt:olo sputum excipito Resorbere
salivam. inurb.mum esr. qutmadmodum et illud quod quosdam viJemus non ex rl(:Ct::ssirnte, seJ ex
n:-.u. ad rertium quodqut n.:rbum e.xpw:n:
i\L
1797 F.
1558
from by Giovanni dt:!b Casa:

On faisair un arr c..k moucht:r it ya quelques crnnC:es. Lun imirair le son dt la tromp::ttt, l'J.titre le P. 5-0: Es stehtr auch Libel. daH sich einer. Ja tr am fisch sirzer. krauer: Ja an dem Orr unJ zu
jun:ment Ju chac: le point dt perfection consisrait a ne faire ni trop de bruit ni rrop ptu, solchtr Ztir sol sich tiner so vie! ts mliglich auch Jef) auswerfens enthalten. und so nun es ja nichr
fr'rnz umbgthtn k<>nre. so sol man ts <loch auff tint h(Jflicht \Veise und unvermercket thun.
Ich habe offr geh(Jrtt. daB flir zeiten ganze \()lcker so miiBill peleber. und sich so dapfer d.ibt:t.
On Spitting dafJ sie des aussprlinzen Jurchaus nit bedi..irffet habr:n \'?it solcen dann wir uns auch nit tine geringt
(p. 129) ztir <.kssdben entluitcn kfornen

Middle Ages G.
A. 1672
from Antoine de Courrin, Sr1li1Lill :r.;ih dt 1.:i: ilih':

Cet usage Jont nous venons de p1.i.rler ne ptrmtt pas qut la pluspart de ces sorres de

nee ultra mensam sputris nee desuper unquam


!oix soienr immuables. Et comme il yen a beaucoup qui ont dt:ja change, je ne doure pas qu il n y
en air plusieurs de celles-cy. qui changeront mur de mt'.mt.: l avenir
nee carnem propriam verres digiro neque scalpts
.:\:1!rtj;1i.1. p:.;r t.\"t'l!!/!ft if tSfr,i: /11.-n11is dr: ffd(hr:r ./ h:rr1.- dti.':lll! ..id f'd.1,,m;d :it :.j!i.dih. d if r./1.- 11:1.-t:r1.-

/r: pi1.-d dr..1.:1s: :: /'rc!tll! ( t.! .'f!!r: in:./1;,(1;,?JCc


Si sapis extra vas expue quando Livas .'\Jt!r1.-ji1is 1Jl! pomr1i! h.ii!/1.-r d c't.r:oi: :us1.-::: j11111rr11 q:1r: I 01.1 th J1.n-!.1s! /us 1.-ll b.ii!!r.w:: .1 prr.Jt!lf lllh J11.-r_,,1l1lh
:./, 1pulih' s'1.-n (hr1q11tr//il

B.
From a C1111!Uh'J!(,.; d:.. h;h/r: Cil.h B:d:..cS Boo!:. \' ) p ):
171-i
From an anonymous Cizili1t.'ji.mf.1i.r1.- (Liege.

2<) l'e craicht p<ir b rnble, P 67 : Lt cracher frequent est desagn:able: quanJ ii est de ntcessitt on Joit It ren<lrt moins \isible
Car c est chost dtSconvenablt que I on pt.:ut et faire en sortt qu'on nt crache ni sur Its ptrsonnes. ni sur les habits dt qui que cc soit.
ni mtme sur Jes tisons trnnt <lllprCs du feu. Et en quelque lieu que 1 on crncht. on doit mettre le pied
sur le crachat
51 Ctllui qui courrnisit a chitr
Ne doir pas ou bacin crachier,
Fors quanr sa boucht tr ses mains leve, P -i l: II est Je mauvaise grace de cracher par la fenfrre dans la rue ou sur le feu
Ains ment hors. qu aucun nt gn=vt Ne crachtz point si loin qu'il faille aller chr:rchtr le cr,1chat rour mtttrt It pitd dessus.

D. L
1729

\Virff nit nauch plirschtm sin P. 55: On Jh c/1;j; fl.IS y i.lhshnir de a..-dh,,., tt c est une chose rrts inJtctnte d avaltr Ct qu on doir
Die spaichti Liber Jen risch hin crachcr: ctla est capdbie dt faire ma! au cucur aux autres
508 The Cil'i!izing Prncess /1/1jiwdix l 509

II nt faur pas ceptndanr s accoUtumt:r <i cracher rrop soun:nr. tt sans nt'.cessirt: ctla tst Si cum sodali lecrum habes communt:m, quietus jactro. rn:qut corporis jacrariont: vd re ir'sum
seulemenr rrts malhonntre: mais ceia <ltgoute er incommoJe tout le monde Qu.wd rm non n::des. n:l soJali Jerracris palliis sis molesrus
de, /hrsr1mh.' dt.- q11.1hh' et lorsqu on est dans des lieux qu on rienr propres, ii est de l'honnerere
crachtr Jans son n1ouchoir, t.:n se rournant un ptu Je cOrt c
11 est mtme de la Bienstance que ch.1cun s'accolirume a cracher d<lns son mouchoir. losqu'on t-'St
!555
Jans les maison Jes Grands et dans routes les places qui sonr, ou cirtes. ou parquertes: mais i! est bi,._ from Der [111md if iY111l!dhJ ((JJJh!!.llhd (Lyon. l 555) by Pierre Broe:
plus necessairt <le prtn<lrt lhabirn<le <le le faire lnrsqu'on esr <lans I Ei,dise .1uranr qu'il esr
cepen<lanr ii arrive souvent qu ii n y a point de pan: de Cuisine, ou m2-rne <l'Ecurie nius ---] e Et quand \'"iendra que tu seras au lit
r :-i.e. e que
celui <le l Eglist Aprl:s soupper pour prenJre It Jtlit
Aprt:s avoir cracht Jans son mouchoir. il faur le plier aussirtJc. sans le regardtr, et le merrre d;;ms J'humain repos aucques plaisan( some
sa poche On Joit aYoir beaucoup d'egard de ne jamais cracher sur ses habits, ni sur ceux des autres si .1uprt:s de mi est coucht quelque home
QuanJ on apen;oit a rerrt quelque gros Crachar. il faur aossitOt mettre adroitement le pied Tien doucement tOUS rts mtmbres a droyr
dessus. Si on en remarque sur I habit de qutlqu un, ii nest pas bitn sfant de It faire connoistre: ma.is Alont: roy. er garde J. son endroyr
il faut averrir quelque domestique de alltr Oter: et s ii n y en a point, il four !'(Her soi-mCme, sans de It fachtr alor aucuntment
qu'on s'en apercoi\"t:: car ii est de I honnttert de ne rien faire paroirre a I egard de qui yue ce soit, qui pour re mouvoyr ou rourner rudemenr
lui puisse faire peine: ou Jui Jonner de la confusion p.1r toy ne soyent ces mtmbrts descouvtrs
re remuant ou faisanr tours divers:
Er si tu sens qu ii snit ja someillt
1774 Fay que par toy il ne soyt esueille
from La Salle. L . s id u- d, !:.1 (fz ilih' (l
D.
P 20: Dans l Eglise, chez Jes Grands er Jans rous les endroirs oU regnenr la proprete, il faur cmcher 1729
Jans son mouchoir. C est une grossiC:rert impardonnable dans les enfanrs. que cellt qu'ils conrracrent
en crachant au visage de leurs camarades: on ne saurair punir crop stvtrtmenr cts on ne
peur pas plus excuser ceux qui crachenr par Its fenhrts. sur !es muraillts er sur les meub!es ... P. SS: On doir ne st Jeshabilkr. ni couchtr devanr personne: !'on doit surrout. moins qu on
:it suit Jans it ne pas st couchtr dtvant aucone ptrsonrn: d autn: sext
II bt encore bien moins permis des personnes dt sexe difft'.renr. de coucher dans un mtme lie.
L
quand ct ne strait que des Enfanrs fore jeunes
1910
Lorsqut par une ntcessitt: indispensable. on est conrrainr Jans on voi"agt de couchcr avec quelque
From 1\ut::usrin Cabants. :\frn11n imimt:r
autrt de mtsmt sfxe. ii n tst pas bien-stanr dt s'tn aprocher si fort. qu on puisse non st..ulement
s incommoder l un l auue. nrnis mesme st toucher: et ii 1t:st encore moins dt mettrt:' sts jambes entrt:'
P. 2<15: .t\n:z-vous observt qut nous rcltg:uons aujourJ hui Jans qudqut coin Jiscrt:t Ct: qut nos cdles de la pt:rsonne avec qui on est couchf
ptrts n htsiraitnt pas a tndtr au tzrand jour? II est aussi rrCs indecent t:t plu honnt:re. de s amuser j c.1user. ;:i badintr
Ainsi ctrrnin mtublt inrime occupait urn: place 1.Jhonneur . on ne songtair pas a le dCrobtr au...x Lorsqu'on sort du lit. ii nt.: four pas le laisser dtcoun:rr ni metrre son bonrn:t de nuit sur qudqut
rtgards sit}!t. ou en quelqu'aurre tndroir d oU il puisse (rre
II en trait de mtme d:_un autrt meuble, qui ne fair plus partie du mobilier modtrne et cloner par
ce temps <le "bacillophobit, J aucuns regrttttront peur-trre la disparirion: nous voulons parler du
E.
crnchoir
1774
From La Li.s RZg},:< j, la d dt /"' ti1 ifih' chrt':i,mh ( 1-- -i) p 51:
On Behaviour the Bedroom
10
C'esr on ttrange abus dt faire couchtr des ptrsorn.:s de JiffC:rtnts sexes Jans une ml:mt chambre: t:t
(p. 135)
si la nfcessirt y oblige. il fout bitn faire ensorre que !es lits soient stparts. er qut la pudeur ne souffn:
tn rien de ce mt'.lange. Une granJe indigence pt:ut seule excuser ctr usage
R Lorsqu'on st rrouve force de coucher avec une ptrsonnt de mt'.me stxe, ct qui arrive rartmenr. ii
1530 faur s y renir dans unt modestie stvert er vigilante
From O, (fl'i!itah mur11m (ch XII de cubiculo) by Erasmus: Des que 1on est tveille. tr que I on a pris un remr's suftlsanr pour It repos. il faut sorrir du lit avtc
la modtstit convenable. et nt jam<.tis y rester a ttnir des con\ersations ou vaquer d aurrcs affaires
Sive cum txuis re. sive cum surf!:is. memor verecundiae, cave nt quid nudes aliorum oculis quod rien n annonce plus stnsib!emcnr la partsse et la lfgt:rert: le lir t:St destinf <lll repu:> du corps et non
mos tr rn1tura rectum esse voluit d rourt auue chose
510 'I he Cizj/j:;J;1g Pro(c\S

On Changes in Aggressiveness
(po 160)

, Sint uns al!en 1st gt:gt.:b:.:n


t:in harrc ungewissez lebt:n'
Appendix II
"\Vildu vcirhttn dtn r<>r.
st; muosru kbl'n mit rnit

'.Man weiz wol daz <ltr t<)t geschihc


P fates froni Das Mittelalterliche
man weiz ab zuokunfr nihc:
t.:r kumr gtslichen als ein ditp
und scht:ider ltide unJt liep
Hausbuch
Duch habt du guort: zuon:-rsihr
vlirhrt dt.:n rDr ze s0rt nihr
vi.irhrestu in zt sl:n:
Ju gt.:winntst \Teude nie mL-re ...
Af!Pi:i!dix II 513

Reproduced from Dm i\Iithialtc1lid1c H11mh!!ch (td Bossert and Storck. 191.:'l by kind
permission of E A Seemann
5l 1 II 5l5

Rc:produc"I fr(lm [).;, _\J '!!J,;/:,ri!J, 1-1.r 1-"' 1,-h ted Bo"ert and Swrck_ l l) 121 by kind Reproduced from D<1s ,\littJd!i<:rlich, !-!d11sb11d> !tel Bossert ,rncl Srnrck. 19 l 2 I by kind
perrT1i:-,:-.i{1!1 (Ji. E \ ptrmission of E. A Seemann
516 The Ci6h::i11g Process

Notes

Part One

l Oswald Sptnt.der. Th., O.,di1h 1/ \LJ1 (London. 1926). p 21: "Each Culture has its own ntw
possibili[its of sdf-exprtssion which arise. ripen. Jecay. and never rtrurn These culrun.:s.
sublimart<l lift-tsstncts, grow with tht same superb aimlessness as the flowers of rht fidd They
bt!ong, like rht plan rs and the animals. ro rht living Nature of Goethe, and nor to the dead Nature
of Newton
2 The whole question of the den::lupment of the concepts Kufl:Jr <.md Zici/iJ,lfio11 needs <i fullt:r
examination than is possible hert, where tht problem can only be briefly introducc-<l Ne\"t.:rchtltss.
a frw non.:s may supporr rhe ideas in the rexr
Ir could bt Jemonsrrare<l rhar in the course of tht nineteenth century, and particularly after 18-:-o.
when Germany was both strong in Europe and a rising colonial po\\'\:."t. the anrirhtsis btrwten the rwo
words diminished considerably at rimes, 'culrure' referring. as it do(;'S today in England and to some
extent in France, to only a particular area or a higher form of Thus, for example.
Friedrich Jodi. in his Oit K11!tm:(dChich1sdJrcih111!F <Halle. 18:8. p. _1), defines general cultural
history" as "the history of civilization' (cf also ibicL p. 25)
G. F Kolb. in his Gt..Jchich!t: der i\lt11schhd1 mu! dc:r Cu!tur ( l 8-L1; a later edition is en tided C1tft11r-
Gt.rchich1t dtr \luJSchh.:it) includes in his concept of culture the idea of progress rhar is generally
excluded from it today. He bases his conception of K:tltur explicitly on Buckles concept of drili:a:irm
Bur. as Jo<ll starts (0/, K11!111r,1;,dchich1schrtib11ng. p. 36). his ideal 'rakes its essenti<d features from
modern conceptions and demands with regard to polirical. social. and religious freedom. and could
easily be included in a party-political programme
In other words. Kolb is a "progressive . a liberal from tht pre-18-iS period. a time when the
Reproduced from 0d.r ,\[j!!cf,i!ter/i(hc EL111sb11(h (ed Bossen and Srorck. 1912) by kind conctpt of f...."u/!11r also approached rht \\/esrtrn concept of ci\ilizarion
permission of EA Seemann All rht samt. the 189- edition of still stares: 'Civilizarion is the srnge
'i l8 5l9

rhmu,:.:h \\hich ,1 b;1rb.1ri<;.: mu:-;r j"'dS-., in order w .1tr<i.in !\.:!::tr in industry. ar:. LJ. Reprinted in rhc ( Heilbronn. l ss_;). YO! 1(J
,tnd :lttitudes 10. Cf ;\rnold Bt:rney, Grr,_1h (fi.ibingtn. p -1
I-lowcvcr ncd.r rl1L Gt:rm.rn conr..:t:pt 01 /.:...').'.':!" ::iomt:timts secnb ((J ((JI11t: ro the French and English ! :S j.d.n{m;J,n. \'ol
! . p. l {) It is undeniable that
((incept of ci\ ilizarion in sutJ1 srntcmcnt:-.. the t'edint'. chat Zi: is .1 st:cond-rart: value frL"nch dmmd is in irs innermost Lssenct" rht: df.lm,1 of t:riquLttl The prt:rug,:.ti\t: uf
C(Jmp.tric-.un to J\..:rh:1r l)t\cf t:I1tirdy disaprc:trs in Gt:rman1 t:\t:fl in this ri:riod, It is an cxprtssion bt:in a rragic ht:ro is rinl to the court l'Eiqul'nt:
German;. s sdt-,tsscrtion ,1p1in..,r tht \\'cc->tl'.f!1 countries which as rht: 12 G E Lessing. Bric/ .l:t.1 ::11,i::.11 .\i.hrZ/hiJ (G(i:,dlt"Il, l-55J: quoted in 1\ronson.
hearcr' of ci\ ilization. ::nd of dit: tt:nsion ht:twten tht:m. Its srn:.:n,:..:-rh with the dc-grt:-t p l(,j
kind or thi::i tension 1 he hisrnr;. or th:: German concepts 7.i: i/i.,.lfi,1iJ ,rnd J\..n/11u is n:ry 15 This and rhe fullowinf rcferel1Cl'S art from Ltmprcchr. <Frt:ibur_:;. I 90hl. Yol.
intcrrd.ttt:d \\id1 chc hi,wr! uf relations het\\'ten Fr,uKt, <ll1d Germany. Ic.s 8. I'' I. p 195
CorbtitUL"I1tS ,.\ft: Ct:ftcl!n ro!iticd circumsranet.:::. which persist thruu,!_..'.!lOut m.my f''h,btS of l!. .\buvillon. L.!!rc l"'P _l98f
1

mcnr. crTiLQ..:int: in the habitth of Germans in their C(J!1Cept::.-.tbmt: all, rho:-,t t:Xpressing their l '5 501 . . hit: dt: la Rocht:. G,.11.-hi:hh :.k1 Fr,i;d,in z,,;; ( 1--1: Berlin: Ku no Ridderhoff. 190- l
::-dt--lm,\L:c l(J From I-krders S.1:h!.lJ.1. \Ol _:,_ pp ()- -H
Ci. abo Conrad Htrn1,rnn. J.r \ l 8-0l, in which France is rtftrrtd ro as tht 1- Sophil de !a Rocht. S:Jnh,,:11:. p 99.
counrr;. or '"ciYilization . England as that of mart:rial culture , and Germany as char of "idea] 18 Ibid .. p. 25
!3ii,hm.:.: The tt:rm material culture . current in Entrland and France. has Yirtual!y disapp.:artd from 19. Ibid. p. 90
ordinar1 German usagt:. if nor quire from sclwlarly tc-rminology. The- concept of K!il!ur has merged 20 Carulinl' von \\'olzogtn, :\g;;u lf/?l ipub in Schilltrs rfr,r(n, 1-90: pub <1S book. l-98l

complt:rd;. in ordinary spi:t:ch with what is he-re called The ideals of KH!t11r and .A. shon fragment is rtprinted in Dt11!sd1, (Bt:din and Srutrgatr). vol l _:;-.pr 2:
Bil./m:'; wt:rl' dw,1ys c!osdy related, thi: rd'ertnce rn objecciYL human accompli::,hmenrs quotation from p. 3-5
.:..:r.tdu.1ll;. bt:camt" morl' prominent in rhe concept of l\.J1!I:tr 2 i Ibid . p _lh_l
1
Ibid. p _:;6-i
_:, On rlit: problem or tht. inrt:lligerusia. St"e in particular K. ,\lannhcim, .nJ:! U1r,j;ic1: 1\n ,, '

I wrr,./irr::ir1.' ;'11 :h:. S1,:ff)!/j.'.!.) rf f.....;;r,u (London. l 0_)()) On rlk san11... subjt"ct. Ste- als<J K ;\fannheim. --'
\1.n: .\ 1:h.') n:
1
.\.(, J?,(11rJ}:nrai11n \London. l 0-101. and H \Veil. D.;:. G. C.H. Lichtenberg, .\ph1,r,:s11hiJ. \U! . .l. i--'5--9. Dt.utschc Lict:r.tturdenkmale de.-; 18 und
(Bonn. ch ') 1') Jahrhundcrrs. l'\r. 1.'>h. Btrlin ll)(I(,, p l)IJ
l. Gr"-'-''' c:1:u,r.i.1/-L,xihr)1. .I!/:.1' 1m:l (Lt:ipzig and Hallt: Joh. H. 2') Brunot. in his /-li.fl)ir, Jc L jj:.lll(.ri.1,. cites the ust of rht" word l'iz J!i.1.lt1:'111 b] Bur
Zedkr. C-\11 in rl:l' quotation arc the auchor's.) Cf. alscJ rhc- arric!t: on "Tht Courrit:r": it dot:s not appear quire ceruin that Turgot himsdf ustd rhis w<1rd. Ir proYtd to iind it

A pt:rsun st:n in a t"l'Spt:Ctl'd position Jt rht court of a princt: Court liL has always bten in a st:arch of his works with ont: excl;'ption: in rhe rnh!t: of conrenrs rn thl t"dirions by Duront dt:
Lk ...;cribt:d (J!l d1t" ont: hand <LS <..hngLrous. on accouru of ,acillarin,t.:: princd;. favour. the many envious Nemours by Schdle l3uL this r.1blt: was probably t"'rnduct"d nor by Turp}( bur by de
>:cmours If. hmvl'\"l'f. one looks nor for rhe word but for the iJt.a and :-;ufilcient m.trerla!
sccrt"L sLmdcrcrs and 01':.:n enemies. anl! on rl1L othtr as depr,1ved. on account of tht" idleness)
is indeed rn lk found in Turgor in 1-51 _ And it is perhaps nor idle ro point rhi:, out ,1..; an
lasciviousnt".-i and luxur: frequently encountered rht:rl'
of how a Certain idea forms in the minds of j'tOpit: from Ct:rtain t:Xr'eric-IlCl'S. and rhtn gr,1duaJl;. a
, There h,nc:. howtver. at d! rimes bt:tn courtit:rs who prudently aYoided rhest pirr:d!s an<l
special word hecomts associated with rhis idea, this cc1nceptu;1J art:a.
,igiLrnrly t:scaped the tel11["'Lttions to wid.:t"dnc-ss. and so repr::senced wonh;. examples of happy and
Jc is no accidl'nt that in his tdirion of Turgot. Dupont de Nemuur:-> gi\'ts :is the con ten rs of rht
virtuous courtiers ?\'onechdn" it is nor s::id without reason rh;n: "close to Court is close- to the
::.cLtion mentioned: "'L.l .-J:di.1.1fi1,;;" ti/..; This :-iecri1111 cunc1in:-. rht: L"",trly iLk-a of ci\iliz.uion w
Dni!.
which tht W(Jrd was Later gradually an.tched
Cr" ,d:-,(1 thl' ,trtick --c:uun If all suhjt"crs wt.'.fc <..klply convinu:d rhar rhc;. hunoured cht:ir princes
An introductor;. ltttl'r to dw publisher uf the L:.!fr,.
on ,J.Ccounr or d;eir inw,trd m::rirs, chere would be nu nn:d of oucward pomp: as it is. hoxe\er. tht
cht: oprorruniry ro express his ideas on the rdation uf rht w die hf/11:11;-; p11/ic,: (fJun 1,_,
.:.:r::,tt r.i.rt of rht:ir suhit"crs rennin attached w externals A prinet: remains the sank whether he wJ.lks
d, 'f:1r,v!f, td. G Schtllt [Petris. 191.1]. vo! I. p. Tht: oughr rn consider. he says. "'rhe
,d(Jnc or :tctt"Il<..kd b;. a company: !1l'\ r.:rrhdcss. rl1t"rt: i:-, f1(1 Lick o( l'X,m1pks whtre the prince
reciprocal of the saYage and the h1Jv:n:, j11i/ic:.' To prefer cht: is a ridiculous
lirrlt: or no arct"ntic,n when goin.t: alont: his subjc-cr:-;, but was rt"cei\td quire
declamation Lt:r htr rtfure it. !er ht:r show rhar rht ,1ccs we rnkt: ro bt rhe product of are
\\ hLn ,icr:inp: in accorlbnce with his f"'Osition For this n.:ason it is rll'Ccssar;. rlMr che prince
innc1te to the human hectrr
ha\ e sen,uns nor on!;. to rule thl' land bur .ilso for outward ,1prear,mce .ind for his own strvice:
A ftw yi::ars lacer. ,\fir.ibtau was to use cht more comprd1tnsive and dynamic rtrm (fri!:'.i.z:ion in rhe
Similar ideas werl' already t:Xpressed in the st:vt:ntttnth century. e.f... in rhe DiYt:ltr.1 c. d lflij}lich.k2it
same sense as Turgor htrt usts rht term J!li!i!cJS:.. with the opposite evaluation
{I 665 ): cf E. Cohn. lm:! c,_,L!!.1th.1/!.ff1J!l.'.ill .ld j - (Berlin. 192 l ), p. 12.
26. On rhis and subsr.:qut:nt poinrs. see). }.fords. Cnprm1r 1md Entu id::lun:.. cid Zir.:li.utiu;1
Tht: Gi::rman conrmposition of .. outward courtc-sy and ,.inw;.:rd merit is as old as Gtrman absolutism
Jn Fr.mhr1.frh ( ;-50-18301. in J-ldmhm;'(d St:!ili1.n ::u mu! l\.:d:Nr dJ f?11111drhn
and as the social weakrlt"ss of rhe German hourgeoisil' riJ-./-1,:s tht: courrly circlt:s of this ptrio<l. a 1'))0l. rnl 6. p _38
weakness is to hl' unJersrnod not in rtbrion rn rl1L particular srrc-ngrh of the German Ibid .. p .">-
in rhe preceding ph<l'.'it: 28 IbiJ ., p .16
Quoted in ,-\ronson. L.ui11r ,; /,, d.ii.ic. Fn:,.ri; C\!onq'tllicr, 19'>51. r 18 29 Cf L.1,isse. Hi.1t1Jirc ,/, Fr.n:c'1. (Paris. 1910). \"Ol. 9. pt 1, p. 2.1
(1 E. <..k ;\fau\ i!lun ,; ,iili1//h_I {London. I -!Ol. p -!50 _10. Cf p. 50
Ibid p !2- _;I Baron d Holbach. S.1.r:;m, .10.-1:.;/l ff:! d1. Iii 1.: /_; plili!1:cj!h <London i ---! l,
S I hid pp. -!() l-2. Yo! _). p 115: quortd in ;\foras. Ln;1rm1i..:. p 50
520 J'\ott:s to jlag1:s -tl-.:f-9 521

:L? Baron d'Holbach, p 162. ') Reprinted in in A Franklin. L ti, J.1:11r,f1is: !t.r r,jus, (Paris. 1889). pp 16-i. 1<)6.
\vhich has numerous other quoracions on chis subject
6 Reprinrtd in Tht B.ihtd Br1 1L td frt:derick furnivall <London. 1868). pc 2: fr}r further English.
1

Icili,rn. French. and German books of this <t.::enn:. cf L1rly Ent.dish Texc Socitty. Extra Series. no. 8.
c<l F J Furnivall (London. 1869). ;\ B1J//ht 1{ Pri(tdl'lh.t anJ others. Tht moulding of the
Part Two young nobleman through service at cht house of one of rhe grt:at" or his country is expressed
clearly in rhest English books of conditioning. An Italian observtr of English custom:-;.
l S R \\?allach. D..-s .;/;,;;d/./w/i.1,h1.. im .\Iithl.dhr <Ltipzig and Berlin writing about cht year I 500. remarks char the English probably adopted this practice because one is
Bri!r1l/.;1.. ::ur l\.1t!:ur-,t:,1...>ChidJh dt-s Rtn.1iss.mi1... eJ \\' Gotrz. vol
.\U:rJ.;fhrs 1111d
served becrer by strangers chan by ones own children If they had chtir own children ac home. they
2'5-..29 Ht:re Larins refers to Larin Christianity. i.t. the \\lt:st in general would be obliged to ,tri\t rhem the same food as they made use of for themselves ' (St:e the
2 The Bihh":hr:d Er.:Jmi.ln.; (Ghent, 189_;) records 150 editions or. morL prccistly. 131, imroducrion to A Cr111rtd)-B11ok. ed R \\,? Chambers (London. 191-i]. p. 6) Nor is
rhe text of l 526 which unfortunately was unavailable to me. so char I ,rn1 unaware how far it it without interest char the Italian observer of about 1500 rdi:rs rn .. che English being great
coincides wirh subsequent editions epicures
Afrer the C11/!r1cjl!ic. the .\foridt tli(r1mim11. rhe Ad.1git1. an<l 01.. .!up/jci copi.1 z,r/;"1r;m; ac For a number of further references. set 1\1. and C. H B Quennell. .r\ Hisro1) 1fEfr1).lr) in
of Erasmus s own writings. (for a
et1m1hnUrii 01:.- tfri!it.tlr: achieved the highesc number of edicions En,,l.wd (London. 1951). ml. l. p l-i-1
rnble of numbers of editions of all works by Erasmus. cf J\Iangan. Clur.;chr and fnjlt1r:n:e Edited by F J Furnivall (set n. 6 abovt) For information on che German literature of this
Er.umus 1f Rot/l./r.l.m: [London. vol. 2. pp. 396ff.) If accounc is taken of the long genrt. wich reforences ro cht corresponding literature in other languages. cf G. Ehrismann.
series of writings more or less closely related co Erasmus's civility-book. and so of the wide radius 0 f G,schichtc. ml. 6. pt 2 (speech. p 5:16: table disciplines. p _)28!: P. Merker and \V Stammler.
its success. ics significance as compared to his other writings must <loubtlt:ss be t:srimared still more f?t.dlcxif//11 Jlr d,11JSdJc11 Li1cr.. nJ! ?i. encry on table disciplines (P, l\1erker): and H Teskt.:,
highly. An idea of the dirtcc impact of his books is given by noting which of them wen: rranslared TIF1m.isi11 t':lJJ ZtT1.:l.1trc (Heidelberg. 19_;.;). pp 12.2ff
from scholarly language inrn popular languagts. There is as yet no comprthensin: analysis of this. 8. For rhe Gerrrn.rn version used here. see Zarncke. Da d,utJCh, C.110 (Leipzig 1852)
r\ccor<ling to J\L J\fann. Er.1J11;, !cS j,'/;111s !..- ji.m,,;..:i.r:c (Paris, 19_.:'-il. p 181, rht most 9 Ibid. p. _;9, ,. 22.0
surprising rhinp;-as far as franct is concerned-is "the preponderance of the books of inscrucrion or 10 Tannhiiuser. Di, /-fof::11ch1, in D,r Didu" 0mnh.1:1.<,r. ed. J Sitberr <Halle. 19.1-il. r l '!h. n
piety over those of enttrrninmenr or S<Hire. The Pr..-iJL r;f F(1!(1. rht have scarcely any w
pbce in chis list Ir was the .r\dagd, rhc p,4ur.1tir111f1r Ot.1th and the Cizilit) in BiJ)J. that attracted l l Ibid . n -i5 (
rr.mslarors and ch:J.t the public demanded A. similar success analysis for German and Durch regions 12. Ibid. n -i<Jf
would probably yield somewhat <lifrtrcnt results, Ir may be supposed char rht s.i.cirical writings had u Ibid . n
a somewhat success there (cf nort _;o below) 1-i Ibid, vv 129f
The success of che Larin edition of cfrilit.1!t was certainly considtrnble. Kirchhoff (in f-L'ip::iger 15 Ibid, vv.<ilf
Sr1r!in1tntsh.i11J!t:r im 16 j:Ihrh1mdt-r!; quoce<l in \\/. H. \Voodward. 0ditkrius Erds111w. 16 Ibid. vv 109f
190-i]. p 156. n. _)) ascerrains that in tht three years 1551, and 1558 no lbs than 65-i copies Ibid. n l57f
of were in stock. and that no other book by Erasmus was in such numht:rs 18 Ibid. n. 1-ilf
Compare rhe notice on the wririnbs on civil icy by A., Bonneau in his :.:dirion u( th:.: Ciz i!i1:'j1/1cii/c 19 Zarnckt. O,"' C..1;'11. I" 1.:..h.
(set n. 55 below). :>O Ibid .. p i_;-. vv. 28-f
-!. Despite success in his own rime. chis work has received rtlarively litt!t: attention in rhe :>! Ibid .. p. U6. n. 258f
Erasmus litt:rature of more recent rimt:s. In view of the books theme. chis is only too undersran<labit. n Ibid .. vv. :>6_;f
This theme-manners. codes of conducr-however informative on rht: moulding of ptople 2.3 H.rf:11di1. vv l.25f
and their relations, is perhaps of only limice<l interest for historians of ideas. \\?hac Ehrismann savs 2-i Glixtlli. Cr1JJhiU!J(d :/, u/;ft
or a <Court Jisciplind in his der di111sdhn Lihr,1!11r his :.:m1 d1..1 .\Ii:-:da!tr:;s, 25 Th, Bal".1 B11ril: and .r\ Br111hc I// (Stt n <11
vol. 6. pt :>. p. _)30, is typical of a scholarly evaluation frequently encounrtrtd in this iield: "A book 26 Cf A. von Gleichen Russwurm. Di, ,v;1hi.rch, \LI: (Stuttgart. 1922!. pp _;2off
of insrrucrion for youchs of noble birth. Not raised co the le\tl of a teaching on virtue ' J-:- See A. Cabants. i\fou1rs i11timi:s Ju td11/ s Jussi' (Paris. 1910). 1st series. p. 2--!8
1

In France. however. books of courtesy from a particular period-rlw <;;tverHtenrh ctntury-have 28 Ibid, p. 252
rtcei\ed increasing attention for some rime, stimulated no doubt by tht work ot- D Parodie ciced in 29 A Bi:"imtr. .r\muml um! Eti.ktth in dtn Th,11rien du H11m.misfrn. in ,\oil}ahrhiiht:rfiir das Klassischc
n. 98, and above all by rht comprehensive study by .0.1. l\Iagen<lie, L; ji///ittSSr: (Paris. 1925). :\/1cr111111 l-i (Leipzig, 190-i)
Similarly. the study by B Groerhuysen. Origilh's !'cSj1ri1 /;r,11rt,,11is in Fnmti (Paris. 192-), also rakes .)(L Characteristic of the German burgher way of giving precepts on manners at the encl of che
literary products of a more or less average kind as a starting poinc in tracing a ctrrain line in the Ages and in rht Renaissance is the grri/;i:mihh, Umkc/Jr:mg (boorish inversion). The writer
changes in people and the modification of che social standard (cf. e.g .. pp. -i5ff) ridicules "bad" conduct by appearing to recommend ic Humour and satire, which later gradually
The material used in Parr Two of chis study is a degree lower, if we may put it that way. rhan that recede in the German cra<lirion. or at least become second-rank \a!ues, art in this phase of German
in the works jusc mentioned. But perhaps they, too, show the significance this slight litt:rarure has burgher society notably dominant
for an undtrsrnn<ling of the great changes in [he structure of people and their rtlarions The satirical inversion of precepts can be [raced back as a specifically urban. burgher frlrm of
522

inscillinp m,rnncrs at lt1sr :i::-i ,1-; the r11.tttnch century. The r::curr1..:nt pn.:cerr not to fall Yet kt:t:p <.i mt:asure in all rhins. <.rnd when the rrickk too lonp: <.md runs all over mouth .tnd
the fo<id i-; he,1rd for ::x,1mf'lr.:. in .1 little po::m of this time. .. \Vic dl:'r m,i.isrr.:r stin nun lt:;-n>-r-" 111..,s. tht timl w 1.:iean :,our nose come
Z:m;ckc. Der C.z:z, I' l-i8J: .,_ \V.ipt: rhe snot on both your sk:L:\"t:S that .ill who St..T may vomit wirh dist'.l!St

Gt:Lh.:nk und mtrk ich dir s,1c ()lwiously. this account is inrendL:d as an insrruniYe deterrent. ln:icribcd on tht C!tic-pat:t: 01 rht:
w,:n m;m dir die kost her
\\\)fllb edition of 1551 one reads:
so bis t.kr erst in Jtr schizzd:
und :-.cheuh in Jlintn driat:l Lisz \\ol disz buchlin otfr und \ii
al::. t:roz kl.1mpt:n als ain saw Lnd dw allztit das widerspil

Remember. when rht food is brou,1..du


_ in b e th e first
. t o ti l t (is
1 I1: sruti"'I c Iiun k dowu your Read this booklt:t ofren. and du du:
rhro.1r Jib: a pit_..'..
To t:!ucidate rht spt:citic.ill;. charactLr of book. the dedication ot' tht: Helhach t:dition
The prt:cept not w sc,rn.:h about for <i !ont.: rime in rht: common dish recur::; here in the
\'trsion: of l 56- ma;. bt quorL"d:
Dedicattd "by \\?L"ndt:!in Helluch. tht unworthy \icar of EckhardtschausL"n. to the honour.1ble and
!:lei ;diem dcm daz ich dir lcr lt::trnL"d genrll'mc::n Adamus Lunict:rus. doctor o( mL"dicint: and city docror of Fr,rnk(urr am and
in der schizzc.l hin und her fohannes Cnipius Andronicus. citizen rhtreof. my lords and t:ood friends
nach dem aller besten stuck: . The long tirlt of tht: Larin Grohi.m:f.I itstlf may giYt ct:rrain basis for assessing rht rime ar which
daz dir daz sclb daz zuck. th:.: concept of :i: .;li!.i.r. in Er<.1'mus s sense and rrnbably in thl' wake of his book. hep ins to sprt:ad in
und let_..'. erz auf dein rdler drar; d1L Larin-writing Gtrman inrd!ectua! srr,1rum In rht rirlt: of rht 15-!lJ Grohi.m:1.r. this word dues nor
ache nichr wcr daz flir Libd har yc::r occur. Therl we re,1d: Iron Chltv.1stts Srudiosac )Ln-enn1ti' In the t:dirion thl' same
r,issagL" contains cht \\Ord :"izj/ju.-: 'Iron episcoptt:S srudiosaL" iuventuri ciYi!itart:m oput :\n.J so it
\\,.har I tc.teh is. di,t:: for rhc bcsr piece in rhc dish: snatch the piece ;. <JU likt best and put
rt:mains until the edition of 158-! To a 1661 t:dirion cfrhc Griili.!Wf.1 an t:X[LlCt from Erasmu-;s
it on ;. our plate. and care nothing for thust who disapprove
:i: i!i!Jh mor:m: f'ihri!i:m: is appended
In Kasp,1r Scheidt'."\ Gerr11an rranslation of the Grr hi.n1:1J (\\'"orms, I '5'5 [: reprinted in Xi:mlrttck
1
Fin.ill;.. a r1t:w rr,rnsbtion of the GrrJ;f.nm_r of 1-08 is inscribL"d: "\Y.ritttn \\ith ptH:ric j""'t:ll for the
),u:_1./tr ./,.i J{) m;./ 1 J.IIHh;mj,r:.1. nos _.;_j and _.;5 [Halle. p i-. vv 22.1f.). the discourrt:ous .i\Ionsicur Blockhead. and prt:st:n[(:d for rht mcrrimenr of all judicious and (f:-jfi::c.!
in'itrucrion rn wipe one's nose in time appt:ars as follow:;: minds In this translation much is said in a milder ront: and in a far mort: veiled mannt:r. \Vith
increasing '"ci\i]ization the prtccprs cl a pasc phase. which for ;.di their satire wert: mtant n:-ry
Es isr dcr hrauch in frt:mbden landtn seriously. bL"come mtrdy a subjt:cr for laughter. which symbolizes both rht superiority of r:hc 11t:w
:\ls India, wo gu!t verhandtn phase and a sli.f!ht violation of its rnboos
Auch edd gsttin und perlin gUt _; 1 //;, R1Ls B,,,/, p . .i-i-i
D,1ss mans an d nastn henckcn thut .;2 Glixdli. (Romanlal. \OJ -!-. p .'d. \'.. 155ff
So!ch hat dir J;1s nit hschcrt y::. Fr.:rn;ois de /.,. .1:1 m111:J, (:
Drum hor w,1:-; zu dL"inr nast:n hon: !l3ru,;cL. 1-l-l, !' (;
Ein kL"ngcl n:chtvr len.:.; .2i-! Arthur DtnL"CkL". lkitr:igL zur Enrwick!un.:.:sge:-.chichce cks gesellschafrlichen t\nsrands.:.;e-
Auss h:.:jckn lochern aussher heng. ft..ih!s . in ed C. I>.kyer, L\t:w Series. n1!. 2. no. 2 d3er!in. 18921.
\\'ie lan,t:: L"isz zapffen an dem lnuss. p. 1-5. quotes the following prL:ceprs a:> ntw in [rasmu:;: 'If up w now wt: ha\t acquaintt:d uursdvc.-s
D,i.s zicrt dein n,lSl.'.!1 uherausz with the ideas on table pre\a!t:nr in the hightr circles of rill' common people. in Erasmus s
famous book ;;;rrni!l.' \\'(:are giYt:n prt:Ct:pts for good behaviour in a princt:.
It is the custom in forcign countries where go!d. je\\els. and pearls art found w hant: thLm on the
flOSt: The lessons :1rc nLw: Ir you arL" givL"n a nJpkin ar r:ablt: you should lay it over r:he ll'fr
shoulder or arm Er.1smus alsc1 say:;: You should sit barL"ht:,ided ar rnble. if the custom of the
:\s we art: ltss fortun:itt:. hec1r what n)u should wt:ar on \our nose: a tilrll\ trickle hanging
country does not forbid it. You should han: your goblet and knift on tht righr of JOUr plart:. the
from both nostrils. like iciclts from .a house-that wouki admirably ado;n ;. nost:
bread on the left Tht bctt:r should nor be hroken hur n1r. Ir i..; improptr and also unhealthy to bef:in
Doch hair in allen dingen moss. tht: meal by Ir is loutish to dil' your tingtrs into tht broth Of a good pitcc offtrtd ro you.
D.iss nit der ken,!!tl WL"rd zu gross: rnkt on!;. a part and pa:>s the rest to tht: pason offering ir. or tht: pt'rson next to you. Solid foods
D..irumb hab dir ein solchts mess. offtred rn ynu should bt: rnken wich rhret' fingers or on your plate: liquids offtred on a spoon should
\\ltnn Lr dir tleussr biss in das ,!!fress be raktn with the mCluth. bur rht spoon shnuld bc- wij't.:d h:.:forL" ic is rt:turned If food oflirtd rn you
Und dir auff bcidtn lcfftzen !cit. is nor wholesome, under no circumstances say, "I cannor t:ar [hat . bur txcuse yourself politely. Every
Dann ist die nass zu bursen ztit man or" refint:ment must be adt:pr <.lt carving e\t'ry kind of roast meat. You may nor rhrow bones and
Auir beide ermt'l wlisch dtn rorz. ltavings C1nrn the fluor To car mt:at and brt:ad rogt:cht:r is hL"alrh;.. . Some rtople pobbk while
D.1sz wer t::> :>L"h \or unlust korz :\ ;. <1urh should speak at rnb!t.: on!;. \\ ht:n nt:cessar;. Ii.you are giving a mt:.d ;.ourstlf.
1'\ot1:s to pages 77-117 525

c1polo,r;ize for irs crnd, at all cosrs. do nor lisr rht prict:s of rhe \'arious 50 Cf 1\ Franklin. Le Rtj'.15. pp 19-!f
[\'i:ryrh!ng is offt:n:d with rht.: right hand. 51 Ibid . p. -i2
Jc may be Sten rhat, dt:spitt: tht: caution (ir" the educator of princes and dt:spitc: the rtfintmi:nt 52. Ibi<l . p. 28.i
tht sami: is in rhest: prect:pts <ts in the middle-class table ")5. Dom Bouhours, f?.t'lll.!rCflhS n11:1n!ltS .r!fr !d !.m.r.;,11t 1j,m(JiSt {Paris, 16-6L vol l, p -!8
5-L de Caltit:res. 0:1 /)';JI t! du 11;,m:.1JS N.u,::.r: da11.1 id 11J.l11it i't.I Jr: .r c\j1ri111c1: Ots ;;1i.:1JJJS dr: Jl.lrltr
0

Simibrly. Erasmus s difr'ers primarily from rht. orhtr social forms of conduct
on!: in rht \\ide scope of the prtceprs intended for rhe other circles. sincr: he is conctrrn.:d ar rhe ltasr l//m:c.r:oisd: :JI qu.l) )id _11w: cit (,//d j, /.,. oi:1r rParis. 169!), p. 12: Thtn <l footman came to
to gi\'t an account txhausti\t for d1at rime. inform rhe lady char J\.[onsieur Thib.i.ulr rht younger w,1s askin,s rn ste her very \vt!L '>aid the lady
This quoration compltmt!lCS tht: earlier considerations rn somi: extent. Cnfurtunatt!y, Dern:::ke 'BL!l before admitting him I must rel! you \vho ;\f Thibault is. He is rhe son of a bourgeois friend
limits his comparison rn Gr:rman rnbli: disciplines. To confirm his finding::;, a ccimparison would bt- of mine in P<.1ris, one of rhose rich peorlt: whost.: friendship is sometimes useful ro people of rank in
nr:tdi:d with books of courtesy in French and English. and abovt all wirh the of them mone: The son is a yoLmg man who lus studied wich rhe inri:nrion of entering a public
earlier humanises ofilce, but who needs to be: purged of rhe bad gract and langu.1ge of the bourgeoisie
.;5 Cf Lr ,i: ilih' p11(ri/, fur Er.1mh d, Roi hr.lam, pr,"/dc' d:11h lf''fic, s11r !.1 !ihrd :/, ci:i/j:; dcp:iiJ 55 Ludwig .r\ndresen and \Y'alttr Sttphan. :ur Gu:hichtt ,kr 1111.I
Jr.1r
1 81imh.llf (Paris. 18--): r.w 159-1-1659 (Kiel, 1928). nil. l, p 26 n. l
"Did Erasmus han: modt:!s? Ob\iously. ht did not in\tnt , .rP1ir-zfrrt, and long befort him the
1 56 Lton Sahkr. .\fonthc'/i,,.,../ .I !.,.hie .\It'm1Jird :lo /.; 5,.,:it'1t' j Emul.lti 11n cit .\f"n!htf.;,,.,-j (J\1ontbtliard.
gtneral rules had bt:en laid Nonethtltss. Erasmus is tht first to havt ue.1ri:d rht subject in a l l)(i-J. ml 5-i. p l 56
sptcial <rnd complete manni:r; nont of rhi: authors jusr quored had envisaged civility or. if you \viiL 5- Cf Andresen and Sttphan. vol 1. p. 12
propriety as capable of providing the subjecr of a separate study. They had formuL1reJ prc:ct'.pts 58. Cf Plarina. Ot horh.r!.1 t'ol11j1f.1h d c.:liwdith (li-5J. bk 6, p 1-i The whole civilizational
and thtrt'., which naturally rtlartd rn education. morality. fashion. or hygiene curve is clearly \isible in a !errer to rhr: tditor wirh the ride obscurities of Ox-Roasting".
A similar observation is made on Giovanni de Ila Casas G.,.f:.;ftri (first edition wirh other publishi:d by TL Tin.'tJ of London on S i\fay 19.1-. short!: bcfort tht coronation ceremonic:s. and
pieci:s by rhe author. 1558) in the introduction by I E. Spingarn (p xvi) ro an i:dirion entitled obviously suggested b: the mtmor) o( similar festivities in the pa.st: "I3i:ing anxious to know, as
G.ddhr, fff ,\LnllhrJ :md BJi.:;riri/tr (London, 191-i) many musr be ar such a rime as this. how best rn ro.isr an ox whole. I made inquiries about rhe
1r is perhaps of strvin: to further work to point our rhar thtrt o.drtad: existed in En,tdish littraturt matter at Smithfitl<l .\!arkct But I could only fin<l that nobody at Smithfield knew how l \':as
in rht tifr:tenth century longer poems (published by the Early Texr SocitryJ treating bcha,iour in ro obrain. srill lt-ss ro spit. roast. car\'e and consumt an ox wholt: The whole marrt.:r is very
dressed. at church. ar rnble. ere., almost as comprehtnsin::-ly as Erasmus s tre,uis::. Jr is not On 1-t i',[ay on rhi: same pagi: of Th: Ti!ihY, the head chef ar Simpsons in rhi: Strand
impossible thar Erasmus knew of rhese poems on manners ga\'c inscrucrions for roctsring an ox whole, and a picrure in rhe same issue showed the ox on a spit
\\?hat is certain is rhat rht chtme of tducation for boys had a consiJtrable of ropicalicv in The dtbate, which continur:d for some rime in rhc columns of Tht Till.'r.... gives a certain imprtssion
humanist circles in the yt-<.irS pn:ctding the appearance of Erasmus s !irtlr: book. Quiet apart from. the of tht gradu,d disappear.met of the cusrnm of roasting animals \vf10li:. i:\en on occasions whtn an
versts D-- m11ribus in 11;,n.1.i Sff:.mdis by Johannes Sulpicius, theri: appe<l.ftd-to mention onh a few- arrempt is being made to preserve tra<lirional forms
Brunft:ls s Di1oj1/in.1 d jllfrfi1n11iJ insti!!ltio ( 1525 >. Hegen<lorffs O, im!i11h11d.1 z11.; ( 1529). and S. 59 Gree.I Frtudtnthal. Gut.d!u.mdj .l:,r 1m:I j1rri/d.1ri.1d;u1 !-f,m.<uir!.fdJ:ii/ !!.'if
Htydi:n s f11rm11fac. Ji1hri!i:m: co!/r,quir;r11111 ( 1528) Cf J\ferktr and Srnmmler. tnrry on cable B,riklsfrhtigun,r. dd T_,1;1,11u.mdJ1 :MJ fr:J:1 :m.I Enni!it zw1 1-60 hi.1 :11r diss, Fr,rnkfurt am
Jisciplines. Main (\V(irzburg. l <J.;.i)
36. Larin rnbit. discipline. Ql!i.1quis d in men.u, V. 18, in Glixelli. LLs p 29. 60. See r\ndrtsr:n and Stephan. l3tirr:(r.:.,. nil. I. p. 10. which also contains the information rhar rht
_;- Caxrnns f3r,r1k 1f Cl!rtr:J_h. Early English Text Society, Exrra Series. no. 5. c:d F J. Furniv<dl use of the fork nnly began rn penerr.ite dit: uppt:r srr.tu of socitry in the norch at rhL- beginning of
(Lon<lon, 18681. p 22 the St:Yt.:nteenth ci:nrury
58 Della Casa. G"1.i1c0. pt 1. chs. 1. 5 61 C( Zarnckt. O,r .lc.'t!Si"h, C. ..-:ri, p 1.18
59 Caxton s /311:1k of C11rrc.l)' p -i5. v. 6-t 62. See Kurt Trlusch nrn Burrlar. "Das rilgliche Leben an dt:n Jeurschen Fl.irsrenh(ifi:n des i 6
-tO In rht Amt.:rican bi-haviourisr literaturL a number of terms have been precisely defined rhat. Jahrhundi:rts', in /;;;,. f..:11/no:c.ut"hi.-h:t (\\-'timar. 189-l. vol -i. p. 1.1 n
with some modifications. are useful and tven indispensable in invesri,s<uing the past. These include 65 Ibid
socializing your child (cf.. e.g J B \'?arson, C.:rc. of !11/nJJ .md Chi!J p. 112) anJ 6-! Cf Th, B... htd Bl/ 1J. p 295
"habit formation and conditionin,1:! (c.J \'\?arson. Ps)r../111/1,,r.:,_11j1Jm :L S1.wdp111"11: 1:/ .r Bcl.urhri.t, p. 65 Quored in Cabanl:s, p 292
,; 12) 66 The best an<l briefest i'ui<le to the subject is A Franklin. Ls Soiw j, !.1 1oi!c11c <Paris, >.
-i l Tannhiiustr, pp l 95ff and. above all. rhe samt authors L; Ciz ifih. (Paris. l 908). vol. 2. whert a numbtr of inscructi'.e
-i2 Zarncke, Der Dume/;, C1fo. pp l 38ff quornrions are assembled in an appendix Somt of what the writer says musr be read critically.
-L1 Cf. Th, Babcts 81,rih. p ""76 however. since he dots nor always distinguish fully bttwten what is typical of a particular time and
-H Glixtlli. Lc.r dr: 'Tab/::, p 28 what is regarded <.ts exceptional
-f5 Ste Tht B:dhd Br,11h. part IL p 52 6- J\.[arhurin Cordier, C11/l//ql!i11rm11 sdJ//!d.rticurmn /ihri q:utur1r (Paris. I )(i8J. bk 2. colloquium 5-i
-16 Ibi<l., p 502 (L\"dl!jJlmn acl p11t-rri.1 in sim/,ffrj 11:.1rr.,-1io11t t:Xt:l'(tndriJ),
-!- Ibid .. pr 2, p 32 68 Some nor easily accessible mari:rial is ro bi: found in De Laborde. P:z!.,-is ;\Ia:arin (Paris.
-i8 Ibid. 1816) Ste. tCir example, n "Is ir necessary tu go into der,1ils! The almosr political role played
-!') Ibid . pt 2. p 8 throughout this epoch [sen.ntet.:nrh century] by rhe nit:hr commode allows us ro speak of it wirhour
526 ST
Libl' -.,!J.1mr.: .rnd w rli,H rr.:\1plc \\"t:ft: rnluccd to (hi:;, Utensil <.:nd rht.: Provcnc:al che various r'orm::i of it:.thiusy The inborn tendencies. in .shore. have .1 ctrrain p!:J.i/f;."f;) ,rnd tht:ir
H:.:nri I\' s misrrl:'.'>:->t:S. ,\Ltt.Lulk dt: \'t.:rncuil. \\'ishu.l to h,i\T her charnh:.:r i'Ot in h:.:r mode of t:Xprc:-...,ion, repression or .subiimarion is. in . .soci<-!lly c<1nditioned
\'.(1uld he .u-1 imrru1"'rit:t} in uur<.b;. bur dt time was no more rlu.n .1 sli,duly nonchalant Thl' prestrn study rist: ro Vt:f) simiLtr iJt.1:-.. Ir attt:mpts, above all in rhe conclusiun to tht:
The- imrorunr inform:uiun in rht:sc not1..:s .dso needs Cifcful scrurin;. it" one is to ,::..;:1in a s::conJ volumt:. to show due rht: molding of inscincrual lift:, inclw...lir\!.: its compulsive rt:arurc.s, .:
oi. rhc -;randards or rh:.: varrnu:, cL1sscs Ont: mean.-; of rr.icin,t.: d1bt: sundards wou!d bt a pn.:cise function o( :.oci:il inrerdt:ptrKltncies that f't:rsisr rhroughouc These dc-pt:ndencit:.s of tht:
(1( liwc:ntorio or te;.,wwr-; clu[(ds the Lxrr..1cr on nosr.:-bl(J\vinf.: we n1ay nort hen.:,_ for individual Yary in srruccurc accordin,:.: ro rh1.: structure: (lf ro rhe variations in chis srruuur::
cx;.1mpk rlur Er'-i...,mus lt:fr bd1ind-so far <-b can bt.: asccnained wcb;.-rhc corres11ond rhe difft..rt:nctS in ptrsonaliry srruuurt rhar can be ob.servt:d !n history
number rn rh!rr;.-ninc bur only onr: t-:uldt:n and one -;iln:r fork: sr.:t.: Ir be rt:callt:d .tr rh!:"\ rhar rebtt:d Phst:rv,trion::i are rt:uirdt:d v-.:r;. in
f-f;;.'hr!.1"u;,(h.1/ ./,' fr.l i!.'/!:. c:-d L. Sieber ( Ba..;t:l. i 8S9i. reprinct:d in 7,i: :hr,/:
1
>fonc.1ignt:. L>.'.i)-' 1bk !. ch 25l:
(\\:t:if11.lf. J (')(}-), YO] pp. -l.;lff
;\ Wt:.1!ch or" intt.:fe:"ltin,L: intlirmarion i:-: conraintd ln Rabt.:bis s c;,!i\'.ilf.':1.1 The laws of conscit:nct: rh.n Wt: .Sl} art: horn of narurL . .:.re burn of custom: anyone in inntr
P.1n:.1,;:1 On
subjt:cr or natural iunctirnb t(ir t:x;implc. see bk I ch. 15 vt:nt:rarion the opinions ,rnd m<.11rner.s appro\cd .1nd acceptld ,ifound him c.mnor di.srt:gard rhtm
without remurst or ob:it:f\"t: chem without <tpplau.se Ir .sc.xms w mt.: th<lt che po\\-t:r uf cu.swm was
(,l) Gl-Of,L: Br.m\.kS quotes this I"'.l.SS<-!,t::e or dll' memoirs in his book \ 11h.tir, (l:h.rlin. n d.J, voL I' rr,
wd! under..;tood b1 rht oriinacor of cht: fob!<: or rhe vilbt-:t: \\Oman who, having acquired at
\"t:f}
_;.;()(. and cornmuirs on it a.s follows: Ir did nor t:mbarr.iss her w be" setn rnktd by a strYanr: she
did nor con.sider him a in rdarion co htr.sd( a.:-; a birrh rhe habit uf carc.ssint: and c1rr;. ir\t:: about wirh her a ca\(, and continuing rn do so t:\"er afrer.
-u. /31,r1h. pt p 52. w.t::> still carrying ir, by virtue of cusrnm. when the c:nimal was fully grown.
(fflJJJi;m.' Through custom as ofrt:n as chrou.s:h illness, sc1ys .c\ri.srnt!e. women pull
-1 Ibid .. p -
) Ibid p _;01f
our their hair. bite their nails. <:ar cu.ds ;.rnd tarrh. and as much by custom as by nature ma!t:.s
C(lnson with nult:.s
Cf RLl<..lt:ck. c;,_,(hi,hh (jtna. 188-), p.
L T. \\:ri,du r;r' O:lJ O.r), <London, I s-1 l. p
ParricuLlrl} consonant with rhe findings ot- rht prt:.st:nt scudy i:; the rhm rt:morst: . and thus
-') Ocw 7Cickler. :n;./ _\Ji1>:JI:t11: <Fr.mkfurr. I 09-). p _;h.i.
[he rsychic .srruccurt: rLferred [() ht:rt: on Freudian lines. if wich .1 slit:hrly dift"crent m<:aning. :is rht:
..;upert:go. is imprinrt:d on [ht: individual by d1t socier;. in \vhich ht rows up-in a word. rh:ir r11i:"1
supcret:o is sociof.:tneric
<Vit:nru. 1 \Ul 21 On thl- rolt: of thl bt:d in the housdwkl. St:l G. G. Cuulwn. Li/ In chis connection ir scarct:!} n<:eds to bt: sJid. but is pt:rhaps worrh tmphasizing explicit!). how
Br.:ui:: 1C,1mbrid,!.:c. p where the .scarcit} ofbt:d.s and the Ullljllt:.S[ionint: u.st of beds by much this scu<.h owes w che di.sCO\"t:Tic.; of Freud and die.- psychoanalycical school. Tht connections are
:"lt:Hr,i) reurJC' <irl brit:fl:; ,rnd clt_.,1rJ: dt:mUibtr.ltu.J olwiou.s rn ,mynnt: acquaintl'd with psycho:urn!yrical writings, it did nor st:tm necessary to 11oinr
in >.r B.1u::r. O.i ./-.r chem our in parricul:.ir instances. esr ecial!y hcctust: chis could nor han.: bten J(Jnt wichouc !t:n.:.;.rhy
1

qu,diflcarions. i\or have the nor inconsidc:rah!t difft:rences between rht who!t approach of Frl'tlll ,md
-y Dr Hopwn and A. Bal!iol. .\l.n:ih); <Lond(ln, 1056). p 95. rhar adopted in this study bt:en srresstd explicitly. parricubrly as rhe rwo could perhaps afrcr sonw
S(l There is ceruin!y nu lack of re,Krions ai-:ainst l''jamas An r\mcrican expression of rhis. of discussion be made ro agree without undut difficulty Ir St:tmt:J more imporr<.rnt w build a particular
intt:rt..sr p.irricubrl} r()r !t:-- is ,!s follows (from Th:. Pu1/'IL Ju!y 19.161: inrdlecrual perspt:cti\e as clearly as possible, withuuc dit:rc:.ssing inrn disr'utes at t\ery turn
StrlJn,:.: men \\c.tf i!(J !'} j,und.::-. Tlit:} \\e.:.r and di:-.dain mcn who \\eJr such 82 Von ILwmt:r. 18')-J, pt l, p. 11 (l
thin,t::.s .t'> P> jama::-.. Thcodurt: R<oo:--e\e!t \\'()ft: night-shirrs. So did \\.a.shinwn. Lincoln. ;--;,-:; On ail che.se quescions. cf hr.n111;1_1 ((\cw York and London, l 92-! J. p. 200: \Vhar
(\eru ,rnd many other fomuus mt:n [r.1.smu.s rt:all} dcmandtd of chc world <.l!ld mankind. how ht: pictured rn himself rhar pa.ssiona[ely
The.st: in f,i.\our or tht: night-shirr as aainsr p;. jamas are :tth,rncu.l b: Dr D.ivls of dt:sirt:d. purified Christi<rn SOL'iecy of good morals. ft:rvenc f.tich. simplicity and moderation.
Ort,1\\a, \\"h<i has r()rmnl -a c!uh (lf. we,trLrs. The ciub has a branch in ;\fontreal anJ a kindlint:ss. rnlt:r,1rion and j"'t:ace-chis we can nowhcrt: tlst ilnd so clearly and wtll t:xprt:ss.:d as in dit:
scrOl\L: in 0..t:\\ York Its aim is tu rt:-poru!arise rht: night-shirr as ,1 sin ot' real m,m!:ooJ." c,,//r,q/1,:.,-
This spe.tks ckar!: for rht .sprt..\!d ot rhe USt: (lf P: j;1mas in thl rtlacivt:!: :-.horr r::riud .sinct tht war. S-1 ;\fuseion sa;. s the l 6(15 nlicion, is rhe word for a st:crt:r room
Ir i:-- :"lti!! clt:art:r char the ust: \1f p: jamas b: womLn has bttn rtct:din,i; tl1r :-.ome timt:. \\?bar The bewildtrmenc of the lacer ob:::trvlr is rn' less wht:n he finds himst:lf confronted by mor.ds
rt-pL.ct:.s them is c!earl} a dt:rivarivc: of rhe long- t:Vtnint: drtss and an of rht :::amt social and customs of the t:arlitr phase which t:xprt:ss a standard of shame This applies particularly
ctndt:ncies. includin a n:accion rhi: ""masculinizatiun of womt:n and tl"ndency coward rn medieval barbing manners. In rhe ninereemh century ir seems ar firsr compltrtly incompn:hensib!e
chac mediev<d people were nor ashamnl rn barht naked rogerht:r in large numbers. cmJ often boch
sharr'c:r soci.il dift"crcnriacion, as wt:ll as the simplt nt:td for a certain harmony htrwtt:n evtning- and
sexes rogtrher
night ccisrumL. For prtcistly rhis rt..-.1son, a comparison bcrwtt.:n rhis ntw nighr-dres.s ;rnd rbar of the
Alwin Schultz. L)hn XI\ 1wd .\'\ (Vit:nna. l 892J. pp 68f. says on chis
pasc .shows ranicuL1rl1 cltarly w!i.ir has hert: been called tht un1..ltn!optd start of the incimatt: sphtrt:.
qutsrion:
This of our days is far more like a drt:ss and far hLtctr formtd than rht: carlit:r ont.
81 ..\1. Ginsbert-:. (London. 195-!), p. l 18: "'\Y"hether inn:ue tendtncies are rt:prt:sstcL
\\le possess two inrertsting pictures of such a bachhouse I sh11u/j lilt /fl Jl) in ;;:!:-.mfr !lur I ,.,111.1idtr
sub!inur<:d or given full play dept:nds w a !art-:t t:Xtenr upon :hl .tnd ;r.i:./,;;'i(JJJJ 1f
f)j1t
pi(l!trt.f .m.! in Iii) : id.l :ht jJriJi!ti'!i11n fir OJ./l'St t.irlh) johu- h.ts bitll
!.:r,::,l1 Consider. for t:xamplc. tht: Jit"ticulr} of dt:rtrminin wht:cher the a\t:rsion rn ,1;.,__l/!!JliJfl./.i!tJ j1) :htll!
inet.:.scuou.s relationships ha.:-; ,rn inscincti\e b,1sis. or of rl1l ,:..:ent:ric factor:- underlying Tht: BresLtu miniacure shows us a row of barhcubs in each of which a man and a woman si[
5.28
529
facing each other 1\ bo.1rd laid across rhe ruh st.:rves as a r.1ble. and is covered hy a prttty doth 1r is sufficiently known char as late as the Se\erHeenth century. ar rht French r(Jyal court. the
00
which are fruit. drinks. ere Tht: mtn h;.:si: a htadcloth and wear l. loincloth. tht \\"Omen kgitimatt and illegitimate children were bwught up together. Louis XIII, for example. his
adorned with coiffure. nt:ckbet:. ttc.. bur art otherwise naktJ The Leipzig miniature half-sister E\en as a child he says the following of his fulf-brorher: I like my little sister better than
simibr. exu:pt that the rubs are sep.ir,ne: over each of thtm thtre is a kind of awning. with [him} btcause he has not been in mamas bell: with me. as she has
curtains that can bl' drawn Behaviour in these bathhouses was nor unduly decorous, and decent ')8 D. Parodi<:, 'Lhonni:tt hommt et l ideal moral du XVI!c et du XVII!e sii:cle. Ru:h
women no doubt ktpt away from them Usually. hmvtn:r. the sexts wert cenainly Sl;'.gregatt<l; tht ( 192 l ), vol, -8. no 2. 9-iff
city fathers would never have rnlermed such an open tlourintt of all d.:cency. 99. Cf. e+:. Peters ... The InsritutionalistJ Sex-Taboo . in Knight. Peters and Blanchard. T.1h11r) :.mt!
G,1uj,:;, p 181

[r is not wlrhour inet:resr to SlT how the affective condition and the scan<lard o( n:punance of his
own rime puc into che aud10r's rnouch the supro:>ition that usuall>- the sexes were: certainly
A study or 150 girls made by the \\Titer in 1916 i - showed a raboo on thouL::ht and discussion
among well-bn:d girls of the subjeus. which they characreris,e as .. indelicate .
segreb'.att:d , evtn though tht historical t\idence that he himst:!f products points rather to the'.
polluting" and things completely outside the knowledge of a lady
opposite conclusion Compare to this the matttr of facr and simply descripti\'t: attitude toward rbe';e
l. Things cmurar: to custom. often callc-d "wicked and "immor.d
difftrences of standard in P S. Allen. .\,r:t rf Er.:smlu (Oxford. 19 l-! l, pp 20-iff
2 Things "'disgusting such as bodily functions, normal a.s well as rarhologicaL and all the
86 Set A B(lmer, :\;1J d,11; f<,nn/{ C )/!11quid _/:1111ili.n-,J dt.1 Er.umm, in An.:hh: fiir
1
implications of uncleanliness
f;:i!::ir,c:,,dJichh (Leipzig and Berlin. l')l l). ml. LJ. pt l. p 52
5. Things uncanny. rhar "make your flesh creep, and things suspicious
8- A. Bflmtr writes here: In rht last two hooks, intended for mature and old men ... But tht
-i. i\1any forms of animal life. which it is a ccimmonplace that girls will rear or which art:
whole book is dedicated by ?\forisotus to his young son; tht whole book was connivtd as a
considered unclean
schoolbook. In it i\forisotus discussLs rlw different stages of life He introducl ..; _i!i0\\T1-up:-;
the to
Sex differences,
child. men and women. young .m<l old alike. so that rhe child c.m see and lt:arn rn understand them,
6 Age di fftrencts
and see what :Ind bad behaviour an: in this world. Tht: notion that cerrain p<trts of this: work
- All matters relating rn the double st<.rndar<l of morality
were intenJnl to bt: n:ad sold) by women or solely by old men is put intci the mind of the
8 All matters connected with marriage-, pregnancy, and childbirth
aud10r by his undersr.rndable perplexity in face of the idea that all this might once have- been
9 Allusions rn any part of the bod: c:xcept he1d and hands
intt:nded as rc:ading m.irrer for children
lO Politics
H8 Ir is of importance for an undersc. mding of this whole question that tht: age of marriage in this
l l. Religion
societ\' was lower than that o( later rimes
'In- this period. writes R. Kiibner of the late t.Iiddle Ages. man and woman ufren marry very l 00 A. Luchaire. L:l .u,::i'-f'-' .1:1 hmp.> d, Phili/1jh-.-\:1,::.:1Yh (Paris. 1909). p. i-:

young The Church gives tht:m the right to marry as soon as thty have n:ached St:Xual maturity. and lOl Ibid .. p TS.
this ri!..iht was often exercised Yourbs marry betwten 15 and 19. girls bet\\'ten 15 and 15. This 102 Ibid. p. 2-::2
has alwavs btc:n re!!:arded as a characteristic peculiarity of the society of that time ... See R. 105 Ibid . p. 278
1'.iibner. Dit' Eh:.u1j/:n.rm1,\ . . ,kr :.,l:1sp!Jtw!,11 in 1\r1.:hiz fiir l\u!tm:r:,dd1ich1t, (Leipzig and 10-! J Huizinga, Herhs: 1\Ii11t!,dtffJ iiha Lt.hu1s 1111d G'-is1t_1f1rm du ]-f :me! 15
Berlin. 1911 ), vol. 9. no. 2. for copious information and documentation on child nurriagt:s, ste Early }:1hrh111ukrts in Fr:mkr'-id; :md in den ;\-iult-rl:111:k11 (i\lunich, l 92-i). p 32
Eng!i<>h Text Soi.:it:ty. Orig St:ries. no. 108. ed. f J furnivall 1London. including Chil:l- 105. From 'Lt } 11:!Z'1.!Xc/" L:bd1.<,i;dJJi,:h,\ .lo J'-,n; d, Bltti!. eJ Kt:rvyn de Lettt:nhovt, in
Di:11r,:u .n:./ ct,: There the pussiblt marriat:,t:ablt age is fi\t:O as four:ten for Chasttllian, Ot111 h.>, H>I. 8: quoted in Huizinga. Hu-h.11. p. 9-:!
boys anJ twelvt for girls (p. xix) l 06 Set p I 62 above.
89 F Zarnckt, im .\1i:hlJ.dh'r (Leipzig. 185"""'), Bt:irr.ig I. pp -!91T. l0 7 H. Dupin. L1 rourtoisi, <111 111o_w1 ,Ir IPatis. 1951). p '7')
')0 Bauer. D.u p. U6 !08 Ibid . p --
91 \\ 1
Rudeck. jd iJJ (Jena. 189-:J, p. _;_; lO':J Zarncke. o,,. clu11sdk C11,,, pp y,f. n 16-f.. 1-sff
'!2 Ibid. p. _;_; l lO Ibid. p. -18. \-Y 59Sff
9_1 K. Sch:ifcr. "\Vie man frlihtr heiratete . Ztil.i-chrZrf j/ir <l:3tr!in. 1890, l ll Huizinga. H"lw. pp 52ff
ml 2.no. l.p _;I 112 L 1Iiror. L,y d01:r:,r:mrm/. IL11r 11rigilh. l'-ur /1trlmh t/( (Paris. 191.1): P. Champion, Fr,mf11i.1
'!-i \V Rudeck. p. 5 l ':J Vil/011, SJ !'it ct son !r:m/'s (Paris. 191.1) vol. 2, pp, 230ff. quoted in Huizinga. Hr:rbst, p. 32.
95. Briennc . .\f/mr,ird. vol .2. p 11: quoted in Laborde. Ptd:.-ir ,\Lr:::_:rin. n. 522 11_'.), P Durrieu. L.s u;s l,ffd hmrc.r de S1Jth O:m::: d11 D11(}c:l!J di: B.:n:1 (Paris, 1)122), p 68
l)(, r. von Btzold ... Ein Kcilnet Gcdenkbuch des Jahrhunderts . in Am ,\!it:ddtcr :m:! R,11c1in:mce 11-! C. Petir-Duraillis. 011.:1mh11U JllJJll'c.ll/X Jilr Id llhcltrS /NijJ,'/l:lirt-s d I[ droi: dt l'c'llgc.llJCt d.ms kr
C\lunich anJ Berlin. 1918). p ISL) P,1Js8ds ,m .\T siZd, (Paris. 1908). p -i-
9- \\!. Rudeck, p 1-:1, Alltn. ,\r,t r{Er.ls111m. p 205: A. Hyma. )f111th 1f[r.tsmm (University 115 Ibid . p. 162
cl ;\fichigan Press. 19_;()), pp ')(i( See also Regnaulr. Lr (r1n./i!i 1111 )!iridiq:h du l:.l!.11-d .lll mrJ)t!l l 16 Ibid .. p. S.
!Pont A.uJemtt. 1922). whtre. howtwr. the legal rather than the actual position of the bastard is I 1- Luchaire. l"'' -'"";,;,; /rt111r.1is,, pp 2-sr
consi<lereJ Common law often rakes a not very benevolent arriruJe rnward the basrar<l. Ir is a 118. For furrhtr derails on this. see A 1:ranklin. Pari.r d lr:.r P:nisicns .m fri:.it11h sitdr: (Paris. 1921).
qw:stion that rem,1ins tu bt invtstip1tt:d whether common law thus expresses the actual social pp S08f
opinion of different strata or only tht: opinion of a particular stratum l 19 H T Bossert mentions in his introduction rn rht l-loluc-Br11Jf (p. 20) an engr.iving by tht
5

arcisr in \\'hich he only children who W<hh and clt:.rn rhernsd\'es only undtr eXttrnal prtssurt: and din:ct compulsion
of arms
and knit-:hrl} pracrlccs This r:uy point in chi:: :-,,1mt din:crion iwm outside. our of for otht.:rs on whom rhey depend In aduhs. as we havr.: said, rhis
120 Inrrnducrion to /J.:.r ll.1i"1.d;/1(h. t:d H. T Bosst:rc c:nd \'C. <Leipzi,r;:, belu\'iour is now t'.rddually becomin,:..: a seli--compulsion, a pt.:rsonal h<.1bir. Formt:rly. however, it was
pp _:;-ff in :1du!rs . too. bv dirt.:ct external compulsion \\;e ht.:re meet a,uain with what was earlitr
121 Berthold von ed Pil-iffrr and Stroh! (\li,:nna. 1862-HO), calleJ rht sociugt:netic trrounJ-rult: The history of ,1 scJCiery is mirrort.:d in the hisrnry of rht.:
I. l-! p indi\"iJual within it The individual musr pass rhrouf!h anew, in abbreviated form. the ci\"ilizing
122. Ibid . rnl 1. l -! 1. pp. :>1ff process th.u society as a wh(l!t: has passnl through ovtr many ct:nturits: for ht does nor come
125. ?\[ax Lehrs. [),r .\I,J.1hr ll:i: 13.n:jrl/!!u: fDn:sdtn. lHH<il. 2hri. "ci\"ilizeJ into the world
121 .'1.mon,:..: tht: material on the civiliz,1rion of bd1aviour which w.1s not included in tht ttxt. One funher poinr in this civilizing-cur\"t deserYes somt.' attention It appears, from tht accounts of
parrl;. for n:a:-oons of <>pace and pardy bt:Gtl!Sr: it did nor seem to contribute <lll;, thin,i.:: (:Sstntial!v Dt\v number of ob:.;t:f\'er>;, a<: jf pt:opit: in tht: sixtct:nth and St:\enteenrh Ct:nturie.s Wt:ft. if anything, kss
ro the of the nuin coursl" of thL civilizint: prnct:ss. ont: p.1nicular prnblC'm tl:.:.strn:s "de<ll1 than in thl' preceding ct:nrurit:S Such obsenati:ins. when rt.:.sred, an: found to be correct in at
some ;.i.rrenrion Tht' n:Lnion or \V.estern to .:Lmiinu.1, to :t.r,)1in,:.; and shows. over kasr one way: it apptar:-; that the use of Watt:r as a mtans or bath and declined somewhat
long timt.: span, tht: samt.: rr.111st.ormariona! cunt: as has bttn examirn:d in tht: text from many orhe-r in thl transition to modern rimes. at lea.st if lift: in rht upper classes is considered. If rht change is
siJcs 1ht.: imrulst rnwarJs rt.:gular clt.:aning and consc.uH bodil: ckanlinc;::> Joes not . . ltrive in the examined in this w.i:. a simple explanation presents icst.:!f that certainly needs more exact
flrst plact from ckarly <ldine<l h;._uit.:nic insight. frum a cltar or. as we sa). "r.niona! confirmation. Ir was well enough known at the c:nJ of the ;\[iJdle that one could conrracr
of the danger of <lire to he.dth. The relation to washing, too, changts in conjunction with the diseases, e\"en fora! ones, in rht bathhouses. To undtrsrand rht effect of such a clisco\try. one must
transformation o( human relationships mentiont.:d in tht text and rn be: considc:rc:d in more derail in t..,L.ice ontsdf within the consciousness of this society, in which causal connections. in this case the
P<1rts Thrtt: and Four. rucurt: of tht transmission of dist."ase and inft:crion. WL're sril! somewhat \"<l_l'.llt \\/hat could ht:
.r\t first It is rnken for granted that peopit.: should clt:,in themst:ln:s reguL1rl: onl: out of n:sptct for imprinted on consciousrn.:ss \\as the simpk fact: water baths are dangerous. ont can poison onestlf in
others, espr:cially social superior;;. it., for soci<il reasons. under the prt.:ssure o! mon: or k;;s pt:rctptible rhem. For it was in rhis way, as a kind o( poisoning. that human reason at rhis rimL assimilartd tht:
extl:rna! compulsiuns. washing is omitted. or !imircd tu die minimum di:mandtJ by mass infecrions, rhe that swept through socit"ty in numerous waves \Ve know and
immediate pt:rsonal wdl-bt.:ing. when such external compulsions arc absent. \\hen dH.-: social pnsit!on understand the terrible fLar which st:izt:d reoplc- in the fact of such plagut:S. Ir was a fear char coulJ
Jot:s nor demand ir. Tor..b) washing and bnJil) ckan!iness Me insrillcJ in the indiYidud from an nm. as at our of social expt:ritncL-. be limitLJ and uided into Ct:rtain channels by t.:x.icr
eady at:t.: as ;.: kind o( autorTL:tic habit. rlwr it graduall: morL- or !c.;:-. from his knowkdge of che causal connections anJ therefore of the limits of the danger. .r\nd it is vc:ry possible
consci<1Lisne;;s that hl' washe .. ; disciplint.::-. himsdf rn CO!bLHH de<rnlinL' ...;s our o( regard for mhers that ar that rim:.: dit: use of \\;.tter. particular!: warm water for bathing purpost:s, was associated with
and. at led.st originally, at the instigation of others. i.l:',. for rt.:asons of t:Xtana! compulsion He W<ishes a rdarivd: indistinct of this kind which greatly the real danger
by :.t:lf-compulsion t.:\'t.:Il if no une dsc is presi:nt who censurt.: or punish him f(ir nor doing Bur if in a society at that of experience ;.!ll object or piece of bt.:11a\"iour is associactJ with f"c:ar
If ht omits rn Jo so. it is tor..by-as it was nut earlier-an exprt.:ssion of a not wholly successful !n this way. it can be a long whik before this fear and irs symbols. the corrtsponding prohibitions
conditioning to the t:xisring social standard The same change in bd1'.1Yiour and in affective that and rtsisranct.:s, rect.:dt.: .1g<.1in In the courst of generations rhe memory of the original c.1usL of the fear
emerged in chc i1westigarion of other civilizational curn:s is set.:n htre also Socia! relations are may \"try wtll disappear \\!hat remains ali\"e in the consciousness of pt.:oplt is perhaps only a fotling
tn.rnsr.urmt:<l so char compulsions exerted by people: on unt.: another art: changed into mort: .rnd more m.rnsmitred from ont: generation to anmhtr that dangt.:r is connected to the us:: of water. and a
pronounn:d ,.t:lf-compu!..;ion' in rht: individu,d: the tormariun of the i:-; con,.olidar:.:d. It is. general discomfort, ;;1 of distaste for this custom rhar is constantly socially rl'inforced Thus we
\'.Ord. tlrn.r :,ecror oC the indi\idu,d d1t: CIO:.:ial code. hie. O\\Il whJLh rnJay find in the sixtt:enth .. for i:x,1mrk. Iikt: rhis:
constr,1in:. the- individual w wash and ck-an himst:lf rlgularl: Tht.: mtchani:-;m becomes rerfups tn:n
clearer if we rerot.:mbcr that to:. hy many mt.:n sha\e t:\"en if rhert.: is nu social rn dCJ so, EstU\"tS ct bains. je vous en priL
simply from lubir. tht:y feel discomtin.:d by tht:ir super:.:go if rh:.:;. dC1 not 1..:\"en though such Fu: t:s-lts. ()LJ VOLIS en mourre:;
an omission is quire ccnainl: not derrimtnr:d rn ht:a!th Regular with :;oap and water is
Flt:t and b:uhs. I !<JU, or :ou will dit
another such 'compubiYL ,icrion cLdti\',ued in our society by thL nature: (Jf our conditioning and
consolid:.tted in our consciousness h: h: .:zicnic. "rational' explanations This is said by a doctor. Guillaumt: Bunel. in IS l _l. among orht.:r pitces of advice a,i;ainst the plague
Ir ma: suftlce in this conrn:crion ro documt:nt this d1ange by t.:vidt.:nce from anothl'r obscr\"tr. I. E. d .t (h.r.-:m reprinrc-d by Ch J. Richt:ler [Le .Mans, 1856})
Spingarn says in rht inrroducrion to an English translation of Ddb C:.LSJ:. G.d1:v, (The Humanist \\le netd only obstrYe from our own standpoinr how in his advice right and fantasric.dly wrong ideas
Libr.1ry. t:d. L Einsrein, [London, Yo! 8, p. XX\): "Our cuncern is onl} \\'irh secular
art min.slt:d w undersrnnd tht.: efftcts of a fear less limittd than our own And m rl1L
anJ tht:rt: wt tlnd that cleanliness was considert:J only in so Lr as it was ;.1 social necessity. if indeed stventt:truh and eY:.:n the eighretnth century Wt.: still constantly find warnings ap1insr tht ust of water.
then: as an individual nt.:cbsit; or habit it scarct.:ly <.!ppt"ars at all Dt.:lla CJsa s '->tandard of social since it is harmful to tht skin or one might catch a cold. among orhtr reasons" Ir looks in<ltt:d likt.:
mannt.:rs applies ht:re. too: cleanliness was dicratt:d by the need of pleasing other:-., and nor becaust: a slowly Lbbi11g w.tYL of fear: bur at rhe present start of rtstarch this is certainly only a hyporhesis
an: !1:11.r dc-m . u1d of indi\ idu . d instinct All this has clunt.:t:d Ptrsonal clt.:.rnlint.:cls. becaLbe of irs .r\11 rht same, the hypothesis shows one thing quirt: clearly: how such phtnomena could be
complt:tt acet:prnnct: as an individual ntcessity has virtually ceased to touch rht: problem of sociai txp!ained .r\nd it tht:rtby Jemonsrrarts a fact that is highly characteristic of rhe whole civilizing
manners at any point Tht.: cur\"t: of change is expressed htrt all the more clearly bte<tust tht observer proctss This process rnkes place in conjunction with a progrtssi\'e limitation of outward dangers. and
takt:s rhe of his own :-.ociety-rlw desire for c!t:;.mlines..;-,lS givt:n. without askin,LC how so with a limitation and channdling of ft:ar of such external dant'.ers. These outward of
and wh: it emered from the other standard in the: course of hi:.;rory. Toda:. indt:ed, it is in ,r..:ent:ral human lifr: become more calculahlt, the paths and scope or" human fears more rtgulated. Lifr
533
somtrimes stems tu us unct."rtain enough ro<lay. bur this bears no comparison with rhe l-i Luchairt op cir. pp. 1-6-7 A skerch of rht disrriburion of rule ar rhe rime of Hugh Caper
rht indi\ idua! in mt.-ditval sociery The grtater control of sourcts of t"c-ar that is slowly tsr:ab1ishcd in is gin:n by l\f .\Iignet. Essai sur la formation tt:'rrirnria!e ec politique Je la France", S1Jlitd c:
rht transition co our social stn.:nurt is !n<lte<l one of the most tltmencary prt:condirions for the :\I,:11:1Jins hislffriqll,s rParis, 18---15). \'ol 2. pp I 5--if
standard or' conduct that we express by the concept of civilization The armour of civilized l5 A Luchaire. Hi.r1oir, :kc lw1i1:1tiom .\fo1:.ll':hiq:1._. :/, l.r fr.Jl:c, C.:/h':i, 1;,
would crumble vtry rapidly iL through a cliangt: in society, the degree of insecurity that txisred 198"-1181!! (Paris, 188_1). vol 2. Kores er Appendices. p. _129
earlier wert to break in upon us again, and if danger became as incalculable as it once was. t 6. Karl Hampe. l-fo:h111i11d;/1" Propyl:icn \Vt!regtschichre, ml _; merlin. l 952).
Corresponding foars would soon burst the limits set to them today. r _;06
However. ont spt:cific form of fear does ,srow with the incrc:ast of civilization: die half-unconscious i-: Kirn. 0.1s Pl!JJ .t\11span.r. :lt'I" A111iL hi.r :um z,-1/dl d,,1 K:1rri/in/.:Jf,/;,n Rdthd. p 119,
"inner fear of <l breaching: of che resrrinions imposed on civilized men. 18. A. Dopsch. Oit ick/:mg dcr P1nhhll:!ich in D,u:sdJ!aml (\V'timar,
Some concludint! ideas on this subject are to be found at the end of this book in Part 1912), vol. 1. p. I 62; cf also [he gencr.il account of manor and village in Knight, Barnes anJ FlUgel.
--synopsis: Towards a Theory of Processes" Histol) <f E11ro/h (London, 1930), "The l\lanor', pp l65ff
frr,110111fr

19. ?\fare Bloch. Lcr rrrigin . mx dt I hi.rr//irt rm.dt fr.mr:.1ik (Qslo. 19_'.) 1), p. 23
Part Three 20 Dopsch. :md s 1::.i.. ;/, Gr:m./l.lgt11 j,,. ,moj1."fi.rchtn f...."l!!tur,mu
1 dr:r Zt'i! l'l/1.'
C:i.ur his pt. .2. p. _'.)09: ""Tht grt:ater rht real power, the economic and social base.
of these officials became. the less rbe monarchy could contemplare transferring rht office outside tht
l James \Vescfall Thompson. Eco!l!Jl!Jic and Sm:j:d fhstr11:1 of E11rrljh in L;frr :\fiddlt..-'
incumbent"s family on his dtach
I 131!1J-l 530! New York and London, 19.1 l). pp. 506-7 .
21 Calmettt. L; p. 3
2. This is txemplific:d by tht consequences resulting from the Carolingian estates or Ilse. These
Ibid. pp Cf on chis prob!tm chc- conu.1st bl'.nn.:cn Europt:an '1nd Jap.rntSt:' fruJalism in
\\'tre perhaps not <L<; extremt as chey appear from tht following: quotation; bur undoubre<lly the 1
\\ C l\lacltod, TfA Origin .ind Hist"') <,f Polilin (New York, ll)_)l), pp. [()Off Hert, aJmirredh-, rht
situation of tht Carolingian fisc played a pan in the formation of the national frontiers:
explanation of \\,-esrern feu<lalizacion is sought rather in tht preceding lart:-Roman insriturions. than

The wiJe:;prea<l character of rhe Carolingian fisc made che fisc like a vast net in v;hich the in contemporary forces of integration: 'i\-fany \\Ticers appear to believe tha[ \Vesrern European
Empire was held The division and dissipation of the fisc was a more imponant factor in the tt:udalism has its insrirurional origins in pre-Roman Teutonic institutions. Let us t:xplain m rhe

dissolution of the Frankish Empire than the local political ambition of the propriet,1ry nobles ... :;cmltnc thac the fact is char . Germ<mic invaders merely seized upon those contractual institutions
The historical fact that the hearr of the tisc was situaced in central Europt:' accounts for d1e of the late Roman Empire which (p. 162) The vt:'ry fact rhar analogous feudal relationships and
partitions of central Europe in tht ninth ctntury, and m<1dt these regions a battle-ground of kings insticucions art fi>rmed in the most different pans of tht world can onh be full\' understood rhrout:h
long before tht:'y became a battle-ground of nations :: clear insight into rht compelling force of rhe actual relationships. the jynamics of a specific
The di\'iding froncier benvetn future France and futurt Germany Jra\\n in che ninth Figuration: and only analysis of them can explain why the ft:udalizarion pnKt:sses and feudal
century bt:cause the g:reatt:st block of the fisc lay between them insrirutions in dift'trtnt societies differ from one another in certain ways.
Another comparison berween difttrenr feudal societies is to be found in 0. Hintze. l!lld

James \X'esrfoll Thompson, Dww11ir '1liil S<o'i"! His11) of th, .\!iddf, Agc.r 1300-/3001 (New York \ do l;1:ud.:di.r11ms. Sitzungsberichtt dtr Preussischen Akademit der \\?issenschafren. phil.-
and London. 19.28). PP- .2-! 1-.2 Cf by tht s;.1me auchor: Th, DisJ1;flllifJn 1i lhc C:1ndingi:m Fisc hisr. Klasse (Berlin, l 929). pp. _121 ff The aurhor. intluenccd by rhe ideas of Max \Vebtr on rht
(Berkdey, L'.niversity of California Press, 1935) methodo!og) of hisrnricil anJ social n:search. attempts "to Jescribc: the l)fh: underlying rhe
?1. ,-\ Luchaire. Le.( Cd/1,'ri,w (Paris. 1901), p. lHO concept of feudalism Bur \\"hilt this scudy does begin to transform the older historiographical
-! C. Petic-Duraillis, Ln 1111.;;,ndJit tn ,: (Paris. 195_,'.)J, p. 8 with method into one more concerned with actual social structures and so gives rise to useful parcicular
following map For derails on rht t:astern frontitr of the western Frankish empire ;.rnJ its movements, insights. ics comparison of different feudal socierits is one of rhe many examples of rhe clifticultles
cf Fritz Kern. Di, :\nPing, ,kr CTUbingen. 191 ()), p l 6 arising when a historian rakes over the mechodolog:ical guiding ideas of ?\fax \Vebtr and tries-in che
5 Paul Kirn. Das rrm1 Awp.anp dcr Awikt his :um dd r?ci.-htJ, words of Octo Hintze-to consrruct \isual abscractions. rvpes The similarities confrontint: the
Propvlcien-Welrgtschichre, vol _;merlin, p l l8 obsefYt:'r of different people and sociecies arc nor idt:al thar have in a sense to be
6. Brunner. Ot11!.rcht Rtd_1t.rxdd1ii:hh, quoted by A. Dopsch. \\"'insch.zi:!icht m;./ .1r1:,i.;/. . Grun:ll:rgt'!l de-r constructt:'d by rht obsern:r. but a real. exiscing kinship berween the social structures themsehes: ir
t/trr1/'/iisthcn K11il11rtl1lll id/Jmg (Vienna. 1924). pc 2. pp 100-1 this is lacking the historians whole concept of types miscarries. If we art to oppost:' another concept
-; A. Dopsch, \\"'/rtsth:zf!lid;, :md sr1::i:1/1.' Gr1111dlagc11 tkr . . 11rr)/1tiisi:ha1 f.:.u!111nJ1tuichl:mr, .ms tkr Zr:it um ro rhar of rhe "ideal rype'. ir could be rht "real rype" The similariry berwten differem ftudct!
CJs,;r his :111/ Karl dtn Grossm (Vienna. 1918-2-!). pr. 2. p 115 socit[its is noc an anificial produce of thought bur. to rtirtrnte, the resulr of the fact that similar
8 Kirn. op. cit., p. l 18 forms of social bonding ha\e a strong compelling tendency to develop in a way which in fact. and
9 A. rnn Hofmann, Po!itisch, G<IchidJh c/,r D,:1!s1An (Snmgarr and Berlin. l 92 l-8J. rnL I, not only 'in the idea". produces related patterns of relationships and insritucions ar different times
p -105 and at different locations of global society. (The epistemological implications of this \"it\\" will nor be
10 Ernst Dlimmltr. Gdchichtt tits 11szti"inkis(ht11 R,ithl.'.S <Berlin, 1862-88). \ui 2. p _;06. elaborated here: for some suggestions abour this aspect of the problem, see N. Elias. T ht SucidJ rf
11 Paul Kirn. Pr1!itisdx G . . schichh :1'111.ich,n Gren:.m (Leipzig. 193-!), p 2-4 /11diiid11d!s (Oxford. 1991])
12 F Lot, Lts :krnitrs (,;rr1/inp),11.1 (Paris. 1891). p. -t also J Calmerre. Lt monc!L (Paris, A number of examples for which I am inclebrecl w Ralph Bonwir hcne shown how remarkablv
l 9.1-iJ. p. l l L) similar the fr>rcts of social inttrwtaving tbar ltd to feudal relations and insritucions in Japan are
1.:::, Beaudoin. quoted by J Calmette. Ll sr1cit.I/ (Paris. 19_:::,2). p 2- tht scrunurts and forces which ha\"{: been established hert: in rdation to \\lestern feuJalism A
535

comparative structural analysis or this kind would prove a more Lbcful way or -German;. bein,L: Jt..,..,:- to ltt ..Kk from ourside ,mJ po.ssessed of a firmlr texture within dian

pt:cu!iarities by which the iewld 01 Jar:n and their hisrnric.d ch;.ui_:.::: difrtr fron 1 Fr,rnce. Germ.rn feLJ(,_Ldi:-;m did not bt:conw as hard anJ st:; a system as was French ft:uda!ism oJJ
Fr.1nce crumbled away in the ninth and tench cenrurits: old Gt:rman\. anchored rn the ,mcient
o( rhe \Vesr
duchies, which inracr. rerainld it'.'> integrity (Thompson. op .. cit.. p -!-i.)l. But another
Similar re:rn!rs have hi::tn produn.d by a or" the I-lome:ric 'sarriur
decisive focrnr in the spet:d .rnd o( rl:ud.d JisirHtl_.:fotion in the westt.:rn Frankish <lrea was
Tu txplain the production o( lart:e: e:plc cycles-tu mention only this f"c.lture:-in ancient m
pr.:cisdy the rhat afrt:r the l\ormans had settled in\'asions b;. fureip:n triht:s, and therefore the
\\;cstern knip:hrly socit:t} and in orhcr societies with a similar srrucrure. we: do nor ni:::<l any
external thn:at, was less than in tht: eastern Fr.mkish <tr:..a The qw.:srion whether laru:tr areas. onct
:-,peculative biologisric hyporh::si:-. ch:: notion o( ";.ouch o( social It i:-; quit:: enou,rh
unified. dtca;. mort: s!o\\'ly and wht:ther converst:ly. once deC.l\'ed. the\ with u:reatt.:r
tu txamine the sp::cific forms of social lift: rhat devt.lop at medium and feud.ll courts nr c
Jir.tlndr: than sma!lt:r cmL-S. this prohltm or social dn1amics rn .be invesr'--iu:ated. Bur._ar anv
n1ilirnry campaigns and rr.1\t:ls. Sinl-'.trs and minsrrtls with their \'t.:r:-.ifo.:d rc:porrs of the fat-=s and
r.1te. hand in hand with the ,t.:r.tdua! we.J:enin,!! of tl1e Carolingian houst brought'-- about at least i;1
hlroic dt:1.:<ls of .s.reat warriors tlut :.m: from mouth to mouth. han: in tht.: daily lift of such
p.1rr b;. tht: un<l\oidahle reduction !nits Wr...dth in tht course of generations. by the loss of part o( its
rernhl warrior societies a spt.:cific plact.: and function which difft.:r from tho;;e or sit\!lers and songs in
l.u1d to pay r(1r servict.:s or its division hetwt:en difit:rt.:nt familr mtmbt:rs (this too remains ro bt
.1 tribe !i\'int-: more clostly togerher. for
i:xamined in mort: derni!L \Yent a ph;1st ot'dis!n[tpr,nion emhr.tci;lf: the whole Carolinu:ian dominion
\\le also gain access ro the srructur,d changt.:s in ancitnr warriur socie[its from a differenr angle bv
It may b(:' th;u eYen in the ninth ctnrury chi:-; disintel-'.ration in the: wtsrt.:rn Frankish arta went
1:x.1mining stylisric changc:s in rht \".lSts and vase r",1inrings or t:arl: antiquity \Vhtn, for examplt. 1 r;
somewhat il1rth(:'r rlun in tht.: lacer German region. But ir was cerrnin!y mort quickly arrested in the
\'.tSt: painrings originatint: in particular periods. "b.1roqL11.: tlemtn[S aprear. affc:nnl or-pmitivdv
Lm.:er precisely because of rhe external chrea[. O\'er a Jon,!! period rhis threat in<livic.lLul
t.:xprtss-.:d-rttlned !..!t:Stures and carmenrs. we should [hink. ins[ead of assumin!l a biolo!.!ical 'ar1eino-:.
tribal !taders the ch,H1Ct: to become strong central rult.:rs through milicarv successes oYtr common
of [he society of pro:esst:s of dift"erentiarion. [ht t:mergt.:nce of wealthier ho'--LhtS
enemies and so (() re-invigor.1tt and extend the c.1rolinpian central And for a time tht.:
mass of w.irrinr socie[y :md ;1 ,::.:reatt:r or lesser tmnsicion from warriors rn counier'.'J: or. (,_h:pc:nding on
po.ssibi!it;. or coloniai t:xpansion. che acqui.sicion of rn:w land on the t.:<lS[t:rn frontitr of rhe Gtrman
circumscancts. wt should look for a colonizing influence from more powerful courts Insi,t.:ht inro the
region. acted in tht.: .sank dirt.:ction tu scren,L:tht:n the c:ntr.d authority. Jn rht western Frankish are.i.
specific tensions and processe:> within a feudal society which the more abundant documentation from
by contrast. from tht.: ninth centur;. on both factors were less: the threat of in\'asion bv cribt:s
d1l early Eurorem period makes rossiblt: can. in a word, in some reSj"'eCt'.'! and focus our
and the r'ossihi!it;. of joint expan:-.ion across rhe frontier. Proporrion.tte!;. smaHer the :hance o>
obstrvacion of material from antiquity. Bur. of courst. suppositions of this kind should in l'i.Kh case
.1 srron,;..; monarch;.: rht '"roy,d cask was lacking: and so fl"udal disinteL;rarion rook p!:.1ct
h:. supported by a ri.sorous examination of material pertaining co the struccum! hi:-.t(1r;. of antiquity
more quick!: and cump!cttl;.- <Cf pp. l 9-ff and 215-lLl ._
irstlf
r E. L1:\',1sseur, L; f' 11/11tl.l!ir,;,' /r.nl(.ii .. l Paris. l 889L \'{J!. 1. pp l )-t-S
Comparati\'e studies of or srruc[ural history of this kind h.ne sc.trct.:!y begun.
28 Bloch. op cir . p. )
lndispensahlt for thtir succe:;s is an that has htt:n made especial!;. diftlcu!c by cht
O\'ersharp distinction b::rwten ac.1demic disciplines and tht Lick of colb.bur.1cion het\\'een them which Lcipzi!'. 19:'.0J
hi.l\'e charactt:rized research hitherto. Essential for an undtrsrnnding of earlier feudal :;ocitrits and
5 l. Kurr Brcysi,c. f:.:1!::11;:,,_,d1ich!1 Jcr .\"1:c1i: iBerlin. l ')()I l. '""I. .:'.. pp 95-ff.. parric p
their structure, for example. is an exact comparative study of livint-: feudal socitrit:s before it is coo
late. A rich knowltdge of dernils and srrucrura! conntcrions ntctssary for an under:;rnnding of any
society, which the material from the past is roo to pro\ide, will only become <-l\1ilable IC rhe ,tcrions of rhc rhrcc monarchies art comi,areJ in seckin" rhe rc,tsons for rheir var\"inc
r"or inrerrretation ii. tthno!o,::y bases its rbe;uch Its" exclusin.:l;. on -;imf"'!er s<1Ciltic" "tribes, and success. the ulcimatt cause \\'ill not b:: found in isol:ired ennrs. T'--he 0-Jorman-En:.dish
bt:nt.:flctd from a c!rcum-;rnnce that Lt: neither in ir:. ro\\tr nor in uf :rn\ mc:rr,d bu.r
hisrnry concerns itsdr lt:'.'JS \Virh p;bt socierie'.'J ,md anJ ir borh di:..cipiine:-. rogcd1t:r rurr: their
arrtntion to those livint: societies which in thlir srructurt.: art: close to the socit:ty of the-
\\ founded in tht \\hole srrunure 01 Engbnd s t:XEernal and incern<d hisrorv. Bv Yirtue of face
that in l ()()(1 a flt:\\" state W<.lS esrnhlished in England from the foundations it was rossiblt:
\Vesr Both together should investigate the strucrure. in the srrictest sense of rhe word. of such
to use of tht: exp::ricnces g<HhtreJ by the ere.tr rTlonarchils. most of all the closest. t:1l"
socittib. the functional by which people in them are bound in very sptcific
French The fr,1f.:menrncion of the high nobi!it} and the hereJitariness uf offices were in a st.:nsi::
wa;. s. and che forces of intcrwea\"int-: which under certain circumstances bring <tbour a o::- chest
uni;. the C(lnclusiuns dr,i.wn b;. rhe 0-Jorman monarchy from rht: fort: or its nt:art.:st example.
deptndencies and relationships in a quite specific direction
2.1 On this the following discussion. cf. A and E Ku!i.scht:r. /\.rir.,e,.1-
and Leipzig. 19321. pp. SOf .12 Pirennt. L,_, 1il!u ju m 1.h1I 1 p 5_). The op1"'osin: view has been raktn mort rtctntl\' b\ D
2-! J B. Bury, His1r11:; 1f !hr. L;s!t:r11 Ri/m.:m Empire (1912J. p .1-5. quottd by Ku!ischt:r. op. cit.i :i\f PetruSeski. 'Strirrige Fraf.:tn der mictt.:!<.dcerlichen Verfassungs- und \Vinschafrsu:tsci11c!ltt: .
p ()2. _fir 5J:.u1.1u \"OJ 85 (T Ubin.s:en. l. pp -i68ff This ;\ork is not

25 Henri Pirenne. LJ l'i!!d d11 11:1J)r11 ci/..:r (Brussels. 192-> widrnut interest in rhar. through i[s onesidedrn:ss in the oprusire direction, ir puts into proper
26 Paul Kirn, Pr1/iiiHhr. Gr.schid1h dtr :.Lff.>chr.11 Grr.n:,n (Leipzig. l pp. l Sff For funhtr derails perspecti\e certain obscuritits in the rr<.tditional hiswrical \'it:w and cerrnin inadtquacies of existin,i..:
on the differtnn.s in pact: and srrucrure bttWet:n German and trench feudalization. cf. J \\l. concepts
Thompson. 'German Feudalism . .:\11hri.-d11 !1iJf11ri..d Rd ii.u, \'ol 28, 192_;, pp +10ff '\\"lur the So. for exam1.,k. tht. idecl that the cities of <lntiquit;. had complt:cd;. disaprtartd by the t:ar!;.
ninth ctntury JiJ for France in rransforminl-'. her into a ft:udal country was nor dont in Germany >fiddlt Ages is countered by one no less imprecise Cf. the more balanced account b\' H. Pin:nnt
until cht civil wars of the rc:it:n of Henry IV Ibid .. p. -!-!-! f.( 11nr1mfr.md S1d.t! His!ri1:1 F..urojh (London. 19561. p. -tO: '"\Vhtn tht invasion hac.i
Hert:. admittedly (and subsequently in. ti:Jr txample. \V 0 Au!t. in .\li./.l!t ,,\uru. 1952) bocrltd up die ports of tht: T;. rrht:nian Sla munici1.,al acti\ ity mpid!y died our. Savt in southern
the decline nf rht western Frankish area is explained primarily in rtrms of thl" prcarer external rhrelt: Italy tnd in \"en ice. where it was mainuint.:d thanks rn B;. zcmrinc: crade, it disappeared t"\'trywhen::.
536 1'\otus to pagus 220-223

Tht: towns conrinut:d in txi.:lttnce. bur dity lost their population of anisans and merchants and wirh is the antonianus (f: Lor. Lijin dl! 11111;::./( dlltiqltt (P.i.ris. 192 1 }. p 63) \Vages for rhe army ti:nd
it all char had survin.d of the municipal or!anisarion of the Roman Empire more and morc: to be p.i.iJ in produce' (p. fr)) As for elk int:lucrnble consequences 0( a SYsrem
To the srnric view whereby rht "bant:r economy and the 'money economy appt<!r. nor as which allows serYices to be rewarded only by p . i.ymenr in kind. the distribution of land. :ire
expressions of rhe of a gradual historical process. bur <lS rwo separate, sucu:ssive and rc:adily perceived: they !tad to what is calltJ the t"euda! systt:m or to an analogous rep:imc:' <p. (;/ J
irn:concilablt physical srnres of society (er pp. 2Uh-- anJ f'1P 2.2Ufr above), PerruSevski opposed the _,8, RostoHSe\", Th, .\r,e.d .m./ t.-01:11111it' Hi.1/111) r:( th .. R//JJU?J Em;1ir, (Oxford, I PP ()6-
difft:rtnt conception that no such thing as die barter economy ever existed: "\\ 't: do nor wish here
1
P 528 and many other places. Cf Index: Transportation
rn discuss in derail the face char. as i\lax \\?ebc:r has shown. the barter economy is one of rhost YJ. Richard Ldtlwre des Notttts. .. L, di ..,:.;/ j( _,,//, ,;. :r.nd:' .i/.;c.>. (r)JJ!niw:i 1,n .I
scholarly Urnpias which nor only do nor exist and ha\T nen-:r existtd in actLL.d reality. but which 1
! hi.lff/irc de I <Paris. l Y.3 I).
unlikt others which art likewise Utopian generalizations on account of thtir logical character. can The investigations or Lefobvre des I\'oettt:S. on . l.CCULH1t both of their results and of their dircnion
ntvtr have any application to actual reality (p. -!88) To this wt may compare Pirtnnt s account of enquiry. havt ,rn importance which can scarcely be o\ertstimared Beside tht value of rhest: resulcs.
(op cit. p 8l: which no doubt ntt:d confirmation on p.irricular points. it is no grear matter rlur rhe aurhur SL.rnds
tht: causal conntction on its head. Set:ing rht: <..kvelupmenr of hauhit:t rechnolo,r.;y as the cnise 01 the
From rhe economic point of \'itw tht most srrikint: and characteristic institution m this elimination of sLtvery
civilisation is tht t:rtat estate. Jes origin is. of course. much mort ancient and it is easy to establish
Indications of the necessar} corru:rions are rn be found in . uf the buok by ?\fare Bloch.
its affiliation with a \try rtmDtt: past [p. 9J. \\/hat was new was the way in which it funcrinned
"ProblC:mes J histoin: dts tt:chniques . j (Sept. l 952J. In particular.
i(l/J;'111ilicp1t if
from the moment of the disappearance of commerce and the: towns. So lung as the formtr had bt:tll
rwo aspects of Let"ebvre Jes Noettts work are partly accentuated and pardy rt:crified 1. The influence
capable of transporting its products and tht LHttr of furnishing ir with a market. rht great tsrare
of China and Byzantium on rhe inn::ntions of the ?\fiddle Agts appears to require closer examination.
had commanded and consequently profitc:d by a regular salt outside but now it ce1sed ro do
2 SLfftry had ctased to play an imrorranr part in the srrucrurt of the earh medieval world Ion"
this. hecmst.: thtrt wt rt no mClrt mtrchants and rownsmtn now thar evtryone li' td ofr" his own
before the rkw . . ,l]']'e,lrcl.
.. "] n rl lt: a l)Senct: or .rn;. c Itar tcmpur,1 I succession
, how can one spe.ik,-
land, no-ont bothered to buy food from oursidt . Thus, each c:start devoted itself to rht kind
of a cause and effect relationship? <p -i8-iL A comprehtnsive account of rhc results of rhis
of i:conomy which has been Jtscribt:d rather inexactl: as rhe "'closed tstate economy . and which
work by Lefebvre des Noettes in German is to be found in L. Lhwendrnl, 'Zuu:rier und Sk!averei
was rt:ally simply an economy wirhour marktrs
/'ir S11::i.df11'J(hm1,'.:. 19.151. no _? L

Finally PttruStvski opposts to the notion whtrtby "ft:udalism and .. barter economy ar'pear as two -!O Ltftb\Te des i\oi:rtes, "La Nuir du moyen age et sun invenraire . .\Iu:::rri :li { l 9.)2J, vol.
Jifft:rtnt spheres of exisrt:nce or stort:ys of socitry. the larttr as the infrastructure producing or causing 255. pp 5-_?ff
rhe former as the superstructun.-. his own view rhat the two phenomena havt nothing to do with each -l 1 Von \Vc:rvtkt:. op cit.. p -t(lS
orhtr: notions wholly at variance with historical face such as that of the contingency of A Zimmern, 51//IJJJ .w.I Crr1u11.r 11:hu Gr,J \Oxford. 19.?S), PI"' 11.1-1-L Cf. cdso ..\
feuddism on tht: barter econom;. or its incompatibility wirh a comprehensive stare organisation' Zimmern. Tht GrtJ C1Jll.'!11f1JJU:.dth !Oxford. 1051 l
(p -!88) For somt rime it has been emphasized-no doubt lJUite riEluly-thar in Romt: freemen;:..; well :ls
It has been arrempted to show the real stare of affairs in the preceding text Tht specific form of slan.s did manual work Above all the research of Rostovtsev (cf Tht Sr1Li.;/ .n:.I H i.1:1,r:
barter economy pn:vailing in the early .0.fiddlt Ages. the rdarin:!y undifferentiated and marker-less tht RriJl!.nI F:.m/1ird. and then specialized studies like that of R H Barrow, S!.ff,J) ju tht 1?1111;.m
economies associartd wid1 the great courts. and the specific form of political and rnilicary organization <London, l 928), c. pp. 12-iff. havt clarified these relationship::; Bur the fact rhar fri:emt:n worktd.
which we c1ll feudalism. are nothing other than rwo different aspecrs of rhe same ti:Jrms of human howtn.r highly rhe share of tht:ir work in toed production ma\ b;: c-stimartd, in no wa\ contr.idicr...::
relarionshir's They can be conceptually :listh::,!!hh,:I ns rwo difttrenr asrtcrs of tht: s:1me human what was illustrartd ear!itr by thL quorntion from rhe work of,-\. Zimmcrn-th:: (11..:t the ::,ucial
relationships. but even conceprnally they cannot be sijhtr.:llul. like two substances which can exist proctsst:s within a socieq whcrt manual work is don<. roan\ consillt:r,1hk Lxrent lw
independently T)1e political an<l military functions of the feudal lord and his function as the owner ::l!aYes differ in a very sptciilc way from thost: within a society \Vhere all urb',_in work at least is
of lanJ and bondsmtn art (ully interdependent and indissolubly bound together And liktwise tht txclusivdy by fri:emtn As a social tendency. the urgt of freemtn to discanct: rhemsd\'C:S from work
which gradually.'took rlact in dle situation of rhtsc: lords and in the whole structure of [his rerformeJ by wirh the resulting formation of a class of "id!t poor in ancicnt socierv. as in
society cannot be explaintd Jf/!t!) in terms u( an auronomous movtmtnt of economic rdations and modern ones with a large slave-labour sector. is always dettcrnblc It is not difficult to undi:rsrn:id rhat
functions, or SI/!,!) in rt'fm::l of changes of political and militar;. functions. but on!;. in terms of rhe under the prt:SSUrt: o( pmerry a number of freemen art: f1e\'t:rthdt:SS forctJ to ptrform thl S<.lnlt: work
intertwining human activities comprisint: both these two instparably connected are<tS of functions as shnes. But ir is no less clear that rhtir situation, like that u( manual labourers in u:entral in such a
and forms of rtlationship society. is decisively influenced by tht existence of slave labour Thest freemen. or :lt least a parr 0(
53 Cf the Introduction by Louis Halphen in A Luchairt. L1.s tr1mmmhs Frdll(.tiJ,.1 :l !'tfll/Cjfh' Jes them, are forced to accept conditions similar ro those of slavts. Dtp(nding on rhe numbtr of sbn:s
(d/1t'tit1JS Jirttts (Paris, l 911). p viii available to such a socier;. and on the degree of interdependence of rheir work wirh slavt labour. rht:
)-i Ibid, p. ix freemen always fact a greater or lesser dtgrtt of competiti\e prtssurt from slave labour This too is
55 Ibid, p i - one of the structural rtgularirits of any society of slavemasttrs. (Cf also F Lor. L1 Jin du 11111nd( anliljlh.
?)6. Hans \'On \\'erveke. i\fonnaie. !ingots ou Lts instruments au Xlt tt pp. ()')ff)
XIIt sitcles . :lnn:d:..r d histoirt' ,f.w10miqut t! sr1,i,;/c (Sept. 1932). no. i-:, p. -168 -!3. According to A. Zimmern Greek society in its classical period was nor a slave societr in the
_17 Ibid The corresponding process in rhe opposite direction, tht recession of rht use of money cypical sense of the wor<l: 'Greek society was nor a slave-society: but it con mined a sediment slaves
and the ,1Jvancc: of payment in narur.d produce. sets in at an early stage of !are antiquity: The further to perform irs most degrading tasks. while the main bo<lr of its so-called slaves consisrtd of
[ht third ctntury proceeds the faster rht decline btcomes Tht only money remaining in circulation apprentices haled in from outside to assist, rogtrher and almost on equal terms with rhtir masters,
in thL" material b.:s1:-- oi a civilis.ttiun in which thL": WL"rc hcreafrt:r to shan: L\r,/rj;; \V.t: shuuld t<lkt: o.rc Pircrrnt frir ex.1mrlc in Lt.\ .lli i1:0.Ju1 .l.(t. pp l()S-9} not ro arrribuct:
i'P 161-2!. i:xag,:-;tmted imt"'Ort,mcc to urban charters. :\'t:ithtr ln Fl.rndcrs nor in an; other rl'.giun of Europe
+l Pircnnt: . z .i\, pp l fr. do the: contain (ht: tor.die: of urban law Tht:} conrine tht:msdvt:s w fixing the main outlines,
! 5 IhiJ .. pp I llrf formuL1rlri_:..: somt: t:Ssent!a! principlcs and rc:-oh somt: p.:rricularl;. imt"'orcmr con fliers For mo:;r
H1 Ibid. p. 2- recoursL to inland .m:.1s and its 1{1r tht: devl'lopment of\Vtstern or rht: time the} arc produet:::i ur Sf"'cCial ci ,:nd ha\e Li.ken onl: ur Ljllt:Stions be int:
society find coniirmat!on in rlH: fact th,it the cn>lurion of bnJ rr.lllSf"'Orr tcchno!(l,:.::y b:..:yond its State dcbatl:"d wht:n the;. WLre dra\\ n up Ir' th;: burghl'.r"> w.irched ovt:r them for ct:nturics with
!n antiquity hcp.m. as far as wt can see rnday ab(lut a ct:ntury l"<irlier than th:n of nauricai t:>:tr.wrdinary sol!cirw.lt:. ir w.is because rht:y were tht: pal.1dium of rhtir libt:rty. bt:c.1ust: thty
Tht: formt:r bt:f.:'111 hetWt:en about 1()')() and 1100. the latter clt:.trl} nm bt:fore l 20(l Cf Ldtbvrr.: permitted d1t:m w rc\ti!t in cases of viularion. bur it was not bt:c.1ust: thly cnclcbtd tl1L
:-..:ot:ttes. L J1J.n-j1:c .m!itj!h .: !.i 11:.lril.\ L.1 r,'z 11 !1iiioi: .ll! (Parls. l pp. l05ff. whult: of their la\\" Tht:} wcrL. a::; it were no mort: than its skelt:rnn All around rht:ir stipuLnions
Cr also E H Byrne Shi/ p.:n,':..
1 Tu:.{/jh .111:! Thir/,:.11:h C:.1:t.'1ri,.- <Cambrid,!.!:e. 0.bss'" 1<J30). pro!ift:r<Hl"d a rich Ht:etation of cusroms. privilt:gl:S which wert nor less indispt:ns.ible for
pp. ')_ - b'-'int: Lill\\ ritttn

!- :\. Luch.1irc L'1!ii.' \'/( Phihpj1c 1,,,;1f, \Ill (P.iris. ! '!Ill I.!' 011 This is so crut: t!L:t a .'._..:Oud number or ch,1rtt:rs tht:m.-,eh e:-. fort:s,rn ,tnd rt:cot:nizt:J in . td\ ann tht
dc\dopmcnt (If urb.rn Lrn In 1 l the Count of Flander.-, ,!.!LiiHtd rht: bur,!.!hcrs or ur:
!9. Law is. o( courst. rhrouf!h f1x"uion by an indcrLndtnt lc,:..:a! .1pr.1r.1tLb .rnd thL" txisttncc of
i[S
de dit: in diem C(insut:tudin.trias lt:t.:t:S suas corri,!.!t:rent . rh;:r is. tlH: pt:rmission rn aJd from day rn
da;. rn their municip.d CL!::lWms
bod its of spl'.cialists with a n:Stl'.d inti:rcst in the or the st.HLb quo. rtlatinly impl'.niou;;
rn mmtment and Ltgal su.:urity itsd(. always dt:sin:d by a cunsidcrnblt: part of socittyr
Ht:rt: at:,:in we set how. on that ditforeru lcvcl of inrc,:.:ration. form;.1rions of ;1 diffcrt:nt order of
(.lt:ptnds partly on tht: law's rcsistanct: to changt:. This immobility is indeed incrt.."1sed by ir. The magnitudt:. a W\\ n <Jnd a major feudal !ord. :;wod in rht samc sorr of rt:btionship rn e1ch otht..""r as
L1Q.:er rht: arc,tS ,md tht: nurTibtr of pt:oplt: which are intt:,!..'.rated and intt..rdq't:n<lt:nt. th:: more w1.fa: onl: ..;rat:.:' do: .rnd their !e.:-:,d .-,hcrn rhc- s.Lml f'.:ttc:-n .:.-.; rhos:.: elk L1ttcr.
necessar;. becomts a uniform law tXtcnd!ng U\'tr .-:;uch rkccssar;.. r(Jr a uniform fo!lowin,L.: fair!) dirn:tl; shifts of interest ;i.nd social S(r:.:n,l.!:th
currt:r1C): the more . rhtrefori.:. thc Ln\ and its .1rT'.1ratus. which like currcnc;. b::comts ii:self 'ill Cdmctcc. L; ,,,_;,,, Pl' -11-1
in turn ,lfl Of_!.:;.rn of irHcgrdtion ,ind t"'rm!uctr uf inrcrdcpLndtnct: oppPSt:S .rn: and thL more 5 I ;\. Luckire. L.1 "':i,.:( _ti.n11;;i.,, .111 ./, Phif.:pp, (Paris. l 90L)l. p 26'1
serious <lre dk disturb.uKcs anJ :;hifrs ur intert:S[ Lhat ,lf1} chan,:.:t: hrin,:.:s \\ irh it Thi .. , mo conrributts '12 C. H Haskin:;. '/ h. "I:i,{/:h (Cambrid,'...'.c. l p. '1')
to tht facr rh,:t rhc mere rhrt:at of h} tht: or,:.:.ins of f"'O\\er !" for long periods 5.; Ibid. p ')(1
t:nouph w makt indi\ .rnd \\hole social prnurs com pl: \\ ith \\kit has once blen l"::lt.1hlished 5-! Ibid
the norm of law and prnp:.:rr: on tht basis of a rarricu!ar ::>tJ,f.!l <if social j"'U\\ l"f relationships, The 5 5. Eduard \Vt:chsslt:r O.n f\.,'d::n;in):/,ii: .. d--Ial!t:. l p i - .;
intcrc.cs i(knriiltd with the prLst:n ,ltion o( t:>:isting and prorl'.rty rcL1tiun:-.hif"'" ,trt: su and S!o Ibid. p 1- 1
tht: \\t:i,:..:hr which L\\ rect:i\eS rhrnugh gnming intt:,L.:rarion i" S(J c!'-'ar!: r-t:lt. rh.u rill" con"ranr testing s- !bid .. !' I !.;
of social power rdatiuns in physical strug_des rn which pl'ople in kss intt:r'-kpLndenr ::;oci('.tics an: !bid. I' 11.;.
always inclint:d is repL1cnl by a lonp:-cndurin,:; readint:ss rn abidt by dH: t:Xisring !aw Only wht:n 59. Brinkniann. l:ni.1hhm:gJ,(:..1(hfrhh
uphe<.is,ds and tensions within socitty havt lxcomt: excr.wrJinarily grl'.at. whLn inti.:rtst in the h(J \Vcchsslcr. op. cit .. pp I-ill-!
prt::-erv.1tion or" the t:xisrin,:..: bw has ht:cumc unct:rrain in L1rgt: pans of socit:r) then. ofo:.-n after (11Luchairc. L.; .;/1 hii.f!.< p .."1-l
h2 Ihid r
e:::itabl1::;hed law corre:;ponds tu rhc soci.d ro\\cr rdationships lhid p
\\.ht:n society h<1d a l'"'rt:domin.md: b:i.rtcr t:corwmy .rnd pL1pll'. \\l'.rt: i:1r lo:-. i1Ht:rdt:re111...ltnr, and 6-! Plerrt: de \"aissitrL-. ! h.n::. (P.iri:-.. 19051. p lt)
when, thert:furl'.. rife most real though not \'isuall: rt:prt:sl"rHablt: network cif societ) ;is .1 whult: did nor (i') Brinkmann . or. cir., p _:,5
;.er cunsrand: confront tht..( indi\'idual wirh its rht: social f'UWLr maintaining tacb (1(1 \\.t:chsslt:r. Of"' cit. p -1
claim by an indi\idual h<:1d m ht alwa:s foid;. dircctl: \isib!e. Ir' ic bcc,1mt: douhrfu!. thl:" claim (,-. Sch(inback. quoted 111 \\'echs:;lt:r. op cit. p. I Similarl; in .c\briannt: \\'tbt:r. .'mJ
lapsed. Evt:ry prnpt:rt} owner had rn ht: fL'"<id) rn pro\ t: in ph] sic.d comb,:r that he still had
m!!irar: and ::;ocial to b.:ck his "lt:gal claim CorroponJint-: w the clos:.:r intertwining of (1,'-; Dt: V.1issil:rt:. op cit. p il'l
(il). \\'echsslt:r. op cir, p 21-!
human acti\irits at a later srn,:;t onr large area.s with rdarivd} good communications. hu\\'cver. a law
has dtvtloped char largely disregards loc . d indi\'idua[ difrtrtnces. a so-callt:d gLnera! law. i t a l:l\v
-o. Brinknunn. op cir .. pp. -1'1ff. (ll. 8hff. C( on rhis and what follows C S. Lewis,
1/ .1 S::!J) jn :\l:..l.:d.d (Oxforc.L lfJ_;()). p l l
applicablt: and \'cdid equally O\'t:r the whole art:a for all rht: pt:ople \\ ithin it
Th{: different kind of social intcrwc.iving ;.mJ dependence txisring in ft:udal socit:t}. \\irh its brgdy
The new thing itself. I do not prctt:nd w explain. Real changts in human st:nriment are vtry rare.
barter tconomy. tntrusred small groups and often singlt: individuals with functions that are rnJay
bur [ bt:!it:ve rh,n the; occur <md that chis is ont of rhtm. I am nor sure that they ha\'t: c.iuses.
txtrcistJ by states Thus "law". rno. \\as incomparably more individu;.diz:..:d ,mJ local It was an
i( a cause Wt: mt:an something \\ hich would account for rht: ntw :;ratc of aff.i.irs. and so
obligation anJ bonJ enttred inrn by this liege lord and [hat vassal. this group of tt:IiarHs and that
explain away what seemed its !l(Weity. Ir is, at any ratt. certain that the efforts of scholars have so
landlorJ. this civic corporation and that lord. this abbty and that duke. And a study of these "legal
(ar failtd to tind an orit.:in for rht content of love pottf}
iH:s a very \'i\'id idea of what it means \Vht:n we say that in this phase social inttgrarion
and interdtrendtnn: wen: ltss and r!it_ relation uf man to man corrtSI"'ondinp:ly difrt:rt:nt -1 In Enpl.rnd the rnrrcsrondinp term is t(1Lrnd in later l'criods restricted. sometimes escn
540 Notes to f'dgt.r .?69-339 5-41

txplicidy. to strvJnts. An example of rhis is the way in which. in an Enf.!:lish account of what or" clariq b: a m.athenurical formulation of the monopoly mechanism? This question can only lx
consrinm:s <l ,L:uoJ mt:aL tht: '"curtt:St: hun6tie (Jf servantt:s is conrr.1sred to the "kynt: answtred on the basis or- simple expt:rit'.llCl,
and company of them that syrri: at the supp:._.r , G G Coulrnn in Bri!.!i;; w:lrnt is certain, however. is rhar for man: people tht formulation of gener.d laws is associated with
191 'J>. i' a value which-at leasr as far .1s history and sociology art: conctrned-has nothing to do with rhtir
(,;Jo (LeipziF. f' l.)(l. v -i and i" 15.2. \. l-!lf For other cognitive value. This unrested ofrtn enough k-.1<ls research astray. l\fany ptople regard it
<.iSf't:Cts of this tlrsr main phase in rhe transition from warriors w courtiers (tht: tducarion and co<le:s JS rhe most tssenrial task of research to txplain all ch,tnt_..'.ts b\' somt:d1inL:" unchangeable die
or knifhrly orders in different countries) cf E. : .i .-:u:L.i fr) i!lwtrate re.ar<l for mathematical formulation derives nor least from this c;f dlt'. But this
,ir;;/ (iz ili::h:r (London. l A T Bylt:..;, ;\ftdie\al C(JUrn:sy- scale of ndues has its roots nor in the rnsk of restarch itst:!f bur in the re-searchers
buoks and tht: prose romances of chiv,dry {pp. l for eternity. General regularities like rhat of the monopoly mechanism and all other general
.=; Luchaire. L ..f j'riwid_, C.:/h:it1U. p 285; cf ;dso A. Luchairt:. IJ1:1i.1 \1 It Gro.i- (Paris. 1890). of relar:ionships. wherher mathtmatically formulated or not, do not constir:ute the final goal or
Jn[rt)duuion culmination of historical and sociological research. Understdnding of such is as a
- -! Luchai re. f-fi.,; 1ir,1 to a different end. a means of oricnrntin,t.: human btin,i;s with regard to themstl\'es and rhcir

n1!. 2. p 2'18. work] Their value lies solely in their funcrion in elucidatin historical change
-') Cf pp 1-ff.. panic pp _; 1-2 82. On this set -on the Sociogt:nesi:i of Fi:udalism . pp 250-6 above. tspeciall; pp 250-1 On
-(, Sut:t:r. \j, .Ir Lr1:1i1 !t Gro.'. t:d. ch 8. as quoted by A. Lot_..'.non. L.1 f1m:.r!ir1JJ ,/c: !'11nit/ "social pmvt:r st:e also rhe Note on the conci:pt cif social po\Hr . p 2.1-L nore.
ji:.m3:1is, (Paris. 1922J. pp. 18-19 85 Longnon . .:\!I.is hisloriq11i. d, !.1 (Paris. 1889l
84 Luchaire. His!fJiri. do f 11stit11:ilin.1 ,\Ion:trd;iq111..1 (1891 J, vol. 1. p 90
;\ Vuitry. [t!i:lu .i:tr /, i<c)n:t ji11.m:.:i1.T dt /.1 Fr:.n.':t <Paris. 18-8>. p 181
85, Petit-Outaillis. L:1 munt1r.hit ,11 FrdJ!fr cf'" .-\11g/c1,rrc, pp 109ff
-s Luch<1ire. L1,!fi1 \ 1
-9 Tht: land from 0-:orchumberland rn the Channel was easit:r to uni6 rhan from FL.mdtrs ro the
Hh A Cctrtd!icri. Phi/jpp 11 :llf,('l!Jf un.l dtr Z:1Ll1l.'il.'iiihrudi d,s .WJ.:,!: inirdhn (Ltipzig. 191.1 J.
P: n.:nn:s Pdir-Duraillis. L.1 71;r,n,;iLhit f'(Jj_,-!c. p _;- On rhe qut:srion of sizt: of rt:rrirnry. :dso R. l' 5.
8- Cf A Longnon. L.1 j;1rnu!i1JJJ jt /'unif,'/r.mr,)-1i.1t (Paris. 1922). p, 98
H. Lowie. Tht Orig)n S:.1h (New York. 192-). "Tht size of tht: state. pp 1-ff.
RS Luchaire. Lfllli.\ \Ir Phi!if'P! :\:1".!.JISi!IS. L11:1i.r \"/II. p. 2(H
\\' ;\f >Iaclt:od in Tht (Jrig/1: :llJJ /-! i.1/01) rf P/)h1fr.1 (New '{ork. l l) points out how ::stonishing
89 C Petit-Dutaillis. .1:tr !au, u- /, J, Lr1uis \111 <Paris. 189-tl. p 220
it reall: v:.t'., that givLn tht'. simplicity or tht:ir means of transrorc such brgL d(Jminions as the Inca
90 A. Vuitry. Ei.r!.ltS Jll/ !1.. 1:..;(-i!Jh jin.m.-i1..r cit !.1 rr.lll(t, nouvelle sfrit:. \"Ol. l <Paris. 18S5).
or Chinese tmpires should ha\'e prn\'ed so srnblc Ont: a dt:railed srruuural-hisrnricd ,uulysis of the
p 5-iS
interplay of centrifugal and centralizing tenJcncies and inten:srs in thtse empires could. indtcd.
'Jl Ibid,. p, _;-o
make rh'"" a_c:plumcmrion or- such \.tst <Lrc<LS and rhe nmure or r:hcir cohesion comprehensible to us.
92. ;\ mort t'Xi.l([ comr,ilarion of rhtse feudal houses i:i (() be found in Longnon, L:1 f1J'!Jj;Jfi11J.' dt
The Chin:::st.: form of comp.ired rn that de\dort'.d in Euror'l" i:-. ceruinly vtry
I unih. ji.m(..-i.it. pp 22-tf
peculiar. Htrt the warrior class was eradicated relarivd: early and very radically by a strong ctntr,il
93 Vuirry. op. ciL, p. -! 1-i
aurhurity This eradicacion-howevtr it happened-is conneued with two main pt:culiarities of the
91 Cf cg Karl I\fannheim. '"Compt:ririon as a Cultural Phenomenon . in E.ss,J)S 'ill tht rf
Chinese soci,d scrucrurc: the passing of conrro! of tht: Lind into the hands of tht pt'.asanr::; (which we
f\.noult.!gt- London. Roudtdge and Kegan Paul. 1952. pp 191-229
tncounr:er in rhe t'.arly \\/esrern period only in a very few places, for example. Swc:denl and the
9'5. G. Duponr:-Fc:rrier. L..1 f1n1urir;n d! ! tf,a jl.mr.zis d I (Paris. 195-iJ. p l SO
mannin,t.: or the ,:-:ovt:rr1I11t.:!1rnl app<ir,t[Lb by a bun:.1ucr.1q rccruitn.l in p.tn from the pe.:sants
96 L .Miror. .\L.nu1t! Jt ,eiop.1;1hi! l.r fran:t (Paris. :\-br 19 This :dso conrains
thl"mst:lvt'.S and ,tr an: rntL wholly pacifitd ;\[ediated by r:his hier,1rch:. coun!: forms or
maps relaring to tht foregoing discussion
pt'.nerr.m: dt:t:p inrn rhe. lower of the pt:oplc-: they rnke root. transformed in rrwn: w.iys. in the
9-:- P. Imbtrr de la Tour. Le> r1rigi111.J dt /,, rt}i1mh <Paris. 1909). 1. p. -!
code of bch;niour M- the Yillagt .r\nd what has so often be-en called tht 'unwarlikt: characrer of rht 'JS Illirot. op. cir.. II lap 21
Chinese ["t:ople is not the expression cl .somt' "natural disposition Ir results from the fact that the
99. Henri Hauser. rc::vit:w of G. Duponr-ferrit:r. '"La formation de 1 trnt , R1..n1c Hi.11/jriqi1c
class from which rht'. F"t.:ople drew man: of thtir modtls through consrnnr conr.tet. \\as t(Jr cen:urits ( l 'J2'J). vu! 16 l. p 581
no a warrior class. a nobility, bur a pc-actfol and scholarly officialdom Ir is primarily thtir 100 L \\.'. fowlc:s. Loomis 1nstiture. quoted in .:\du RcTidt. 1\u ..-15. p _-12
situation and runction which ls exr'rtssc:d in tht f.i.cr rhar in tht: traditional Chinest: scale of Yalues- 101 Luchaire, L1..s 01im1:m1d ji,mi,:.lisi.s ,: j1...'- C..-j1t'1i,w dirt,_u. p 2-6
unlike tht Jap:rntsc:-milir:ary activity and prowess hold no Yery high place. Diffen:nr as [ht Chinese I 02. Documentation for r:htse and a number of other passages could nor be included for reasons
way rn ctnr:ralizarion was ro thar in thl" \\/est in detail. thtrefore. tht foundation of the cohesion of of space. The aurhor hopes to appenJ this in a separate volume
largtr dominions in both e<ises was the elimination of freely compering warriors or landowners. 10?1 P Lehugeur. Philip/it /,. L11ng 1 1316-! J Lt 11h:,mi.rn;t .If! (Paris. 19_:; l ).
80. On rht importance of the monopoly of physical force in the building of states . cf above all I' 209
;\[ax \\/tbtr. /:(ll!lf1ll1) Srdi.!) (New York, 1968) l0-1 Dupont-Ferrier, op cit. p 9_;
8 l Cf pp. 2(1)--i above Ir has not been nectssary here rn follow the present-day custom anJ offer 105 Branr:fimt. (filil/1/t'h.\, par L Lalanne.\()!. -L pp .128ff
a mathematical expression for the regulariry of the monopoly mechanism. No doubt it \VOLild not he 106, J H Il!ariejol. H,11ri /\"ct Lolli.' .\I// (Paris. 1905). p 2
impossible rn !ind one, Once it has been found it will be possible to discuss also from this aspect a Ibid,. I' 590
question v:hich generally speakint! is hardly raised today: tht question of r:he top1i:iz valut.'.' of 108 Cf. A. Stmzel. Di, [l!!U id:l11nr jc, ,ct!thrhn R.ichhri:m1.1 in dt.'1:.1d!n (Stuttgctrt. 18- 2 l.
mar:hematical formulation \Vhar. for txamplt. is gained in ttrms of possibilities of knowledge an<l i' (i()()
5-12

lOLJ Richclil:u. rr. 1. ch .--.:. . si:crion l


Part Four
l lU E L1vi:-.s:: L,1:1:. .\'/\ \P.iri .., ll)ilh1. f'
l 1 l S.11nr-Simon, tr. by Lodh.:i-;u1 \ o!. 1. !" 1()- -
1. Tht:rt: is ttH..L) a\\ idcsprt:,1d rwrion th,1t rhr: !(1rrTh ()f ::.oci.d ;rnd j':lrriudar so<.:i,d
112 Cr" L1Yisst:. op cir. I" l
.tfi'..." Whe e:-:p!ainl'd hy rh1.: purprht: tht:\ h.nt.: tor rlL' r;_1ir'!1.: whr1 .if;.- thu;: !1ound
!l S.iinr-S!mon. op. cit . vol. l. p. l (, -
Thi .. ; ide,1 nukes it .tI'rt...tr ,lS if rcop!c undcr'lr.indin,L: rill' lbt:fu!nc->s ot tht:::it.. ln:-.titut!ons. once rook
11-L S.1int-Simon. (nouv Cd. rar r\ d:: Boislislel \Paris, lLJlO) \()! ")l p 11-1
,1 comm(ln dt:ci:-.ion rn li\l' rngl'ther in this \',;.iy ,rnd nu nrhu Bur rhis norion is;: fiction .rnd
115. Thom,_::; Aquinas, fh J:1:/.h1,1;m:. Rome t:"dit:.. vol i 9. p 622
t(>r that red.son !HJ[ a \cry ,l.!:(JOd instrument ot' restarch
l th op cir. Pl'- 592fi.
Tht: conserH _ui\cn hy the indi\idu<d w li\c \'.irh otht:r:-. in <l p.irricuL.lf (orm. rht: jusrific.nion (Jfl
11- Ibid .. f1(1uvt:Hc sfrit:, \'O] 1. p 1-!5 For an(Jtht:r form of rhe moni:r.iriz:.nion of
_:.;rounds ot" parricuLr i'llrposc..; for dh: r:ict th,n ht: li\b for cx.1m1-.Je \\ichin a St.ite. (J[ is bound to
s::it.:neuri,d rie:hrs under pr::ssurL of the kings growing nt:t:d for muiwy. the lib:::rarion. for
orlwr::, as a cirin-n, nfrlcial. \\'(Jrker. (Jf r:trmer and not kn!.!.!hr. prit:.-,t ur hondsm,rn. or ,1s c.ttrk-
r.,1;.rnt.:nr. m i1ondsmen by rhe kin,L: and his administr<niun. cf >fare Bloch. N. ,i' St1f rParis.
1
rt:,trinp: n<mud-d1i..: conscrH and thi:-. justitlc,ltion are r1.:rrnspccti\"t: In rJfr, matl::r the
1920J individual has littk choice. Ht: i-; born inrn :in order \\ ith institutions of a ranicu!ar kind: hl
Ii:-; Paul Viul!cr. lln:,,m !J!Jf!:!lfinli)
condi[inned m(Jre or sucllsst"ully rn conform tu it r\nd tn:n if ht.. should ilnd this order and its
2. r- 2-1.2 nl-ithcr ::ood nor ust:i.ul. ht: could nor simpl) \\ irhdr.1w hi:-; .hstnt .11i...l jump uur uf rhc
l l CJ Ibid
orLlt:r He m,1y tr) w t:-,Clf'L. it as an adHnture:--. J tr,m1p. ,rn artist or wrirt:r. ht: may 1inally
1.20. Vuicr;.. op. cit. IHlU\" :.Cr. nil 2. p. -11:-) !h:e to a lonely island-t:Yen as a rcl-U,L'.lT from this or(.kr ht: is its product To di:-:arpr(1Vt.. and flee it
121 G. Dupont-Ferrier. "L: Ch;::mbrt ou Cour des Aide:; <lt: Paris . Rr.,: !ft i:i nu lt..-ss <l o( conditionin,L'. by ir than to pr,tist and justi(\ ir
l i, p. 195: 011 chis and whar follows the same author. f.lu./lr S!Ir L,- One of rhc t:l:J.:s still rt:mainin,:.: to lk donL ;, to t.:X!'Ltin co!nincin;:ly cnrnrul<;i()n \\hvrcb:.
Yol. 2 {P,1ris. ci'..."fuin r(1rni:-; of communal !ifl-.. r()r ex,:mpk our own. come into htin_i..;. are prl'sr:rved and Bur
122 LCon ?\liroc Lu to :rn undt.:rsr.mdln_t.: cif their ,L'.tnr:sis ls blocked ir we rhink of them JS come dbout in
i 2_1 Ibid .. p. rht: scrn1t: \\"ay a.s th:: \\"(Jrk::, ,tnd lk-cds of indiYidu.d pt:ciplc: by rlk Sl'ttinF ot !'-lrticu!ar ,!..'.:u,ds ur c\t:n
12-! Duroru-F::rrier. La Chamhrt: ou Cour des :\idt.:s de Paris , p 202 Cf ai-,o Pt:t!r-Dur.1illis, by r,1tion;d thou,dlt and pL.mn!nF. The ide.1 rh,n from rht: ::,1r!y .\fiddle \Y't:srern mt..n \\.\irked
C/1. 1 r!c.' \ '/ / L/}:1i.1 .\._/ i: .ililh-c' d, (./.urL1 \ '/// (Lavisst:, f-/jsf Fr:.m:t. IV. 2 J l Paris. 1902}. in a common exertion and with J dc.1r gu,il and rational pLrn. towards rht..: order of :..oci:il and
-12'5 Viollt:r. op cit. _)(Paris. l<J05l. pp Cf also Thomas B:1sin. f{j_,;uirc
rhe institutions in which \\"t: li\"e rnd,1y, scarcely anS\\crs rhc f,:crs. H(m rhis rl'ally hat'rencd can ht
Ch.n1c \"/! L' ./t Lr1:1i.' SI. cd Quichtrat rraris. 185)J. \"OI 1. pp i-off. DlL1!!.., (Ill financial k,:rned only ,t :,rudy of tht.. historic . :! e\olution of tht:se S(Jcial forms hy ;:ccuratdy
on.:anizarion .ire in G J.tcquernn. D()::m:c;;:'-1 .I Fr.n;,-, .!, Chdr!,s \.fl drn. :umentt..d L-mpiric.11 cnquirit:s Such a :-.rudy or a pJrricuLr ..;cc:nKnr. tht: cb1icct or" ::irntl'
.I 'rr.n:\1,f.r Lr r rPari'I. IH9l l. panic no. XIX in que:-;rion-and-ans\\er rCirm "Le ha'\ been .1rtemprtd ab(J\"l' Bur rhis has ,dso fi\t:Tl rise to some in:-iight ot- hwaclt:r si,:.:nific,1:1ce, ror
des finance< 1..1\ for future finance officials of the time!) cxamplt..- a cerrnin understanding of the nc1turt: of socio-historical pruccsscs. \\'t: can St:t: how l!r;:k i\
12h. E Albt:ri. RJ1:,i1.ni .::\!i:!:.ut.";'.lf11n \ u:,:i .Ji l :-.t serin, \"ol -! i Fion:nct:. l 8<Jrn. pp. really achit:\"ed h: c:xpL:ining instirutiuns such as rl1l- st,ltl in tt:rms u( oals.
16-18 iRdazione di Francia di Zaccaria Conmrini. l--!92) ThL plans Hnd i.tctions of indi\idual pt:opll' constantly intertwine with those of Bur
12- L nm ILtnkt. 7.:tl" z,iJr..:i.n1i>)hiJ Gt.ii"hid>h UC8f. !' 59 and H Kretschmayr. this intc-rrwininp uf rht.. actions and plans of m<.my people. which. moreover. on conrinunus!y
icJJ.' iStuttp:,tn:, 19_;.j), Pl' ! 5Yff. from pent.:r.lrion W ,!.:l'llt.'Ltrion. is ic-;clf nur plannt..d. Ir c1:rnot he undtr,wod in rerm-; of rht.. rLn.;
or cit. J-;t serit' \"OJ ! (flort!1Ct: ],S_,;<..Jl. pp.2_;_-:;_") pUfj'(lSt:t"ul irut.ntion:.: of indi\ idu,1ls. nor in tt:rm:-. v.hich, i1(1C ...lirei..:dy purru:-.iYl', art: ITH1dt:ll::.._]
Ic h1..1s h::::n frequently pointt:d out. no doubt with J c::rmin justitlc.nion. char th:.: l1rst ::.b:-;olutist on modcs of rhinkin,L'. \\'l' arL- ht:re conu:rned \\irh procl'SSes. compulsions and
princes In Fr,l!lcl: had le.trnt:d much from the prince:-; or
the lcall.m city sr,Hc:i. Fnr G. reguhlritit:s of a relatiYcly ;tutonornuus kind. Thus. for ex,1rnp!t:. a situation whert.. m;.my people set
I-Ianmaux. L.: rouYoir roy,dt: S(1US Fr.mz;ois It:r . in {::r./,, Ir .\\ 'L ,; X\ 1L tht:msdn:.;o; tht s.1mt: goal. wantinF che samL piece or Lrnd. the samt marker or rh:: saml socia1
rr.n::.", ( P.lris. I 886L pp. ::..ff: The coun <lt Rome and [he Vt:nt:tian (h,mcdll'r: \\ou!d lun: suffiu::d j'(JSirion. giYes rist co somt..thing rhat none of them inrt:nckd or plannLcL a sptcif1cd!y S(lcial dar:um:
on cht:ir own to spr::,1d rill nt:w donrint:s 01 diplomaq and rolirics. Bur. in re.die: in rh:: pruI.usinn a compctitiYl' relationship with its pt:ctdi,tr rc-gularitit:s as <l!scussl'd l'arlit:r Thus ir is nor from a
of r:.:rty ..;utcs which shared rht: I't:ninsub. thtre \\.1s nor one thac could rnir h.:\'c: rurnishcJ_ common plan of rTian\ people, but a.-; .S{imtthin,'...: unpLrmt:d. emer,:..:in from tht: CO!l\"crgt:nce and
cxampll'S The morurchies uf Europe went ro school at rht: coun:s of rill' princes .rnd tyr,mts ot collision or the plans (Jf many thar <tll diYision of i"unccions comes into btint:. and
1\aplc:s. Florence and fl'rrar,1 the same applies rn the intl'ration of lart:t:r and areas in thl' 1(1rm of states. and rn many other
No doubt srruccuralh similar processes took place ill'rt. as so often. first in sm.dkr rt:t:ions then sociohisrorical proctssts
in lan.:er ont:s, and the of the large regions protittd up to a poinr from tht:ir knowlt:d,L:t of tht J\.nd only an awareness o( the relative auronom} 01 tht inr::rrwininp of indiYidua[ pLm:-. and
orean,izarion of tht: smalltr ont:s. But in this c.ist: as well. only a prccist.. examirurion in tt.:rms of actions. of rhe way rhe individual is bound by his social life wir:h orhers. ixrmits a httter
sr;ucrural hisrnrY could determine how far tht centralization proctsses ;md the OQ..;,mlzation of unJt:rsranding of the \ery fact of indi\idualiry irse!f. ThL coexisrt..ncc uf people, the inrerrwinintz of
L!O\'t:rnnll:'nr in tht: Italian city ->tate.-. resemble rhost: of early absulurisc Fr,mct:. and how for. sinet. their intentions and plan:;. the bonds they place on each other. al! tht:st, L1r from
Jifttr::nces of size always bring with chem qualitative differenCl'S of structure. tht..y also from indiYiduality. proYi<lt rht medium in which it can d::\"elop. They ser the indi"idual limirs. but ar the
them. 1\r arw rate rht account :..:ivl'n b\ che Venetian ambassador and its whok tone do::s not in<licatt same rime him t:rearer or lesser scope The social fabric in chis sense forms tht: substr,1cum from
rhar he the srt:ciiic 'power of the French king and rht: or,L'.,miz,ttion or" tin,rncu; \\"hich and into which rht: individual consunrly spins and weavr.:s his purposes But this fabric and
connt:ctl'd to it <b sumt:rhin,i..: long fomi!iar in Iraly tht actual course uf its historical ch,ni_ec as a \\"hole. i:-. intended and planned by no-one
544 Notts to pagts 366-3 7.? Nutts to pages 3 7.?-387 545

for fonht:r derail on this cf N Elias. \\"h.1: i.1 Socir,/{Jg);,. rrans Stt:pht:n ;\[t:nnl'll and Grace straightforward affects and its proneness to sudden changes of mood. is shown. for example, by the
?\Iorrissey <Lnndon. 19-8> and f ;:di: idu:d1 (Oxford. 1991 J following dtscrip,ion or" wha' children like in films (Odil] T,f<guph. l2 February. 1<)37): childrtn.
2. For a discussion of tht problem of tht social proctss. cf S1,:i.;/ Pr//h!ur:. :.w.! S1r:ia! especially young children, like aggression They favour action. action and more acrion They art
Stltcrt<l Papers from rht Proceedings of rht :\merican Sociological Socien ( 1952!. td. E. S Bogardus no' avtrse from [he sht<lding of bloo<l. bu' i' mus[ bt <lark blood. Virrue [riumphant is chttrtd ro d1t
<Chicago. echo; villainy is bootd with a tine tnthusiasm. \\ihen scents of one alternate wirh scenes of tht other.
for a criticism of rht: earlitr biologisric notion of social processes. cf \\'' F Ogburn. Sfj._ia! ;:is in stquences of pursuit, the transition from the cheer ro rhe boo is [imed to a split second
(London. l 92.i). pp 56f.: Also closely connected to the Jifferent force of [htir emotional utterances, their extreme reaction
in borh <lirt:crions. ftar anJ joy, revulsion and is the specific structure of taboos in simpler
The publication of rhc Origin f
1 S/1tcits. sening forth a rhc:ory of tYolurion of sptcies in rtrms ;acietits It was pointed out abow (cf pp. 569ff, especially pp .F 5-i; also pp. 99ff) that in tht
natural selection. htn:Jiry anJ Yariation. created a deep impression on tht anthropologists and medieval \\lest not only rhe manifestations of drives and affects in the form of pltasure bur also the
sociologists. The conception of eYolurion was so profound chat rht chant::es in socit:ty wtrc seen as prohibitions. eht tendencits to stlf-rorment and asceticism were stronger, more inrtnst and therefore
a manifestation of evolurion and there an <tnempt to stek rhe c.1ust:s of chest soci<ll change5- in more rigorous rhan at lacer stages of the civilizing process
terms of variation and selecrion Preliminary co the search for causes. howen:r. <ltttmpts wer::: Cf. also R. H. Lowit, 'Food Eriqueret , in Ah zrt cfrilistd.:, (London, 1929). p -!8: rht savage
made to establish tht de\dopmenr of parricular social institutions in stagts. an rules of etiquette art not only strict, but formidable. Neverrhtless, to us their rnble manners are
evolurionary series. a parricular stage necessarily prtceding another. The for laws ied to shocking"
many hyporht:ses regarding factors such as geographical location. climate. migr.irion. group 5. Cf CH. Judd. Th, o(Social lmtit11!iom (New York, 1926). pp 105ff Also pp. 32ff
conflict, racial abiliry, the evolution of mtntal ability, and such principles as natural and 77ff
selection, and survi\al of the tic. A half-century or more o( investigations on such theories has 6, Introduction to rht Frtnch translation of Gratians .. Hand Oracle writrtn by Amelor de la
yit:!ded some results. but rhe achievements have nor been up to rhe high cnrenained shorriy Houssait. Paris. 168-L Oraot/11 ,\Lnwd/, published in went through about rwenry different
after tht publication of D.1rwin s theory of natural seltcrion editions during the seventeenth and eighteenth cenruries in france alone under the title CHrmmh
Tht inevitable st:ries of Staf:tS in rht dtvdopmc:nr of social institurions has nm 011ly not been (n11r Ir is in a stnse rhe lirsr handbook of courtly psychology. as .Machiavelli s book on the prince was
proven hue hcts been disprovt:"n tht lirsr classical han<lbook or- courdy-absolutisr politics. ,\fachiavtlli. however.. stems ro speak more
from the point of \iew of rhe prince rhan does Gratian. He justifies more or less rht 'reason of state
For mort: rt:ct:'nt ren<lencics in the discussion of rhe problt:m of hisrnric.d dungt cf. A.
of tmergenr absolutism. Grarian. tht Spanish Jtsuit. despises reason of srntt from rht borwrn of his
Goldenweistr. social E\'olurion. in E1h)iI1/iuli1-1 r:f5rJCi:d Stiu1c::5 (Nt:'w York, lt;_:;51 voL 5, pp. 656ff.
heart. Ht elucidates tht rules of the grtar courtly gamt for himself and others as something with
(wirh compreht:nsivt: The arricle concludes wirh the retltction:
which one has rn comply because chert is no alternative
It is nor withour significance. however. th<.J.r dtspiet this difference, tht conduct recommtndt<l by
Since rhe \\\lrld \\'ar sruJents of tht social scitncts wiehour aiming at tht orderliness of
borh Machiavelli an<l Gratian appears ro rnid<lle-class peoplt as mort or less immoral ... although
evolutionary schemes have renewed their starch for relatively stable rendtncies and regularities in
similar modes of conduet and sentiment art certainly nae lacking in rhe bourgeois world In this
history anJ socitry On the othtr hand, rht growing discrepancy berwtt:n idtals and the workings
condemnation of courtly psychology and courdy conduct by the non-courtly bourgeoisie is expressed
of history is guiding rhe sciences of society intCJ more and mort pragmatic channtls. If there is a
tht specific difference of tht whole social moul<ling of the two classes. Social rules are built inrn the
social evolution. whart:vtr it may bt, ir is no longer accepted as a process to bt: contemplated but
personality of non-courtly bourgeois strata in a different w.iy from that in the courrly class. In the
as :: nsk rn bt achit\Td by d::lib::ratt and conctrtcd human tfforr
former the super-ego is far mort rigid and in many respec:s stricter than in the larrtr. The belligerent
This srudy of rht civilizing process from thtst pragmatic effons in rlur. susr'en<ling al! side of everyJay life certainly does not disappear in practice from rhe bourgeois world, but ir is
wishes and c..kman.<ls concerning what ought to be. ir tries to tsrablish whar was and is. and ro explain banishtd far more than in the courtly class from what a wrirer or any person may ,.\11rtJs, and even
in which way. anJ why. it becan:t as ir was and is Ir setmeJ more appropriate to ma.kt tht rherapy from consciousness itself
depend on tht diagnosis rather rhan rht diagnosis on rhe therapy In courtly-aristocratic circles rhou shalt is very ofrtn no more rhan an expression of txptditncy.
Cf. f J Teggarr. T/;L111J of Histr11) (New Haven, 1925). r the inn:stigation of how dicrnted by the practical necessitits of social lift Even adults in chtse circles always remain awart
things havt comt to be as rhey Jrt rhat these are rules that they must obey because they li\'t with othtr people. In middle-class strata
3. Cf. E. C. Parsons. am! C1Jmu11ion.:di1) (New '{ork, London. 191-!J. The divergent view. e.g. rht corresponding rules art ofrtn rooted far more detply in rht individual <luring childhood, not as
in\\/. G Sumner, fr,/kudys (Boston. 190/ ). p.-! 19: "It is never correct ro regard any ont of rhe taboos practical rules for the expedienr conduct of life. but as stmi-auwmatic promptings of conscience For
as an arbirrary in\ention or burden laid on society by rradirion wirhout nectssiry they have been rhis reason rhe "thou shalt and the "thou shalt not" of the super-ego is far more constantly and
sifted for centuries by exptrience. and those which we have received and acctpted are such as deeply involved in the observation and undersranding of reality. To give at least one example from
experience has proved to be expedient the innumerable ones that might be quored here. Grarian says in his precept Know thoroughly tht
-i. Set rhe lint account by J. Huizinga. Th, \\";ming o/ th, :\liddf, ,-\g,.r (London. l 92-i). ch l. character of those with whom you deal (No. 273): .. Expecr praetically nothing good of those who
\\lhac was said above also applies. for example. ro socitries with a related strucrure in tht present- have some natural bodily defecc: for they are accustomed to avenge themselves on Nature One
day Orient and. to various degrees dtpen<ling on the nature and extent of inregrarion, to so-called of the middle-class English books of manners of the seventeenrh century. that likewise had wi<lt
"primitive societies circulation and had their origin in the well-known rules of George \\lashington. Yrmth's Beh.:u'io11r by
fht exrtnt to which children in our society-howe\tr imbued with characttristics of our rdativtly Francis Hawkins ( 16-!6), gives pride of place to "'rhou shalt not and so gives behaviour and
advanced civilizarion-srill show glimpses of the otht:r srand<.i.rd \\irh ics simpler anJ more obstrvation in the same case a different, moral rwist (No. 31 ): 'Scorne nor any for the infirmiryes of
ruturc. which b;. no ;.1n c.rn L anH:nded. nllr du rhou ddiFlH rn pur
1 :: in mirh. k or- tht:rn. since de Champ.1gnr.: s cycle De ,-\more <.llld tht: whole litt:r,1run.: or rht medit:val controvt:rsy over
it \a;. ofr procun:s enYyt: and pn,,motr.:S m,dicr.: e\Trl to reYr.:n,r..::c women
In a worLL Wt.- tind in Grntian, ;ind .1frer him in Li Rochtfoucauld :md L1 in rht form of 10 Haskins. Of-.. cir. p 9!
,r..::ern.:r.d m;1xims . a!! tht: modb or- bd1aYiour which we: cncounct:r. for cxamp!t: in S:iinr-Simon, in the 11 Pp l 2-82 above.
pr,1criu.: CJ! court liri: irsr.:!f. .\uain and a,uain we flnd injuncrluns on tht: nt:ct:,sir;. to hold back tht 12 Cf. pp. 18--'Jl abO\c
.ifrL"ct'.i (?\'o. 2N-:'l: 0:'tVL"r act whi!t.: j"",Lssi(Jn lasts. Orl1L"rwist: ;.ou will sp(lil t:\t:r;.rhin_t.: Or (No. 27)): le La Brmi:rc. C<1r,1a;r,s. nc la cour 11',tris. Hachette. !')221. IJ,11rn.c. ml 2. p. 2.;- 0:0 6-!; cf
'Tht. m<i.n prejudicr.:d by passion ,dw,1;. s sr't::tks a bri_L:up:agt dift"erenr from wh.1r things an:; pa:-;sion. also p 2-18. Ko 99: in a hundrt:d ytars tht: world will still t:xisr in its tntiret;. Ir will be the samt:
!1(lt rL"a:-.on. in him. \\"t: find thl achict: to adopt :i ps;.chulup:ical .Htitude. a pt:rmancnr tbt:atrt with [he samt: decoration. bur nor rht: same actors All rhost who rejoicL" ar a fa\'our recr:ivr.:d
obsL"n,1rion of char,1crt:r (:\o 2-5 l: .. Know thoroughly the char.tcter nf chose \\irh whom you ch:aI. or ;.1re c1sr inrn sorrow and despair by a rL"(usal. all will ha\c vanished from the stage. :\!ready other
Or the re:-iulr cl such knowltd,ut.. rht: obst:rYarion (l\'o 201 ): All chose who .1prear nHd arc mad, and men art moving on rn tht: stage who will play rhe same parts in the samt: play. \'?hat a back-f:round
:-.<1 Jft: halt. of those who do nor mad The I1t:Ct:ssir: of sc!f-obscn,Hion Know your for <1 comic pan!' How srror\t: the sense ot- immurabilir; still is ht:rt. and of the int!ucrabili[y of the
dominant fault Tht: nece:-.sir: for half-truths \No 2101: r.::.now how ro rb: with rruth Tht t.:xisting ordt:r: how much stronger than in rhe Luer pha:'.lt wht:n rht: concept of, civilization begins
insi,i.:hr rliat re,:l truth lit.s in the rrurhfulness and of the w!w!t- existence of a ptrson, to displact that of civilire
rwt in his !"articular words il'\o 1-::; \: ._The substantial man. Ir is on!;. Trurh that c,m ,t.::ivt: a true: On this development cf also rht passage 'Dt.:s .r\l! forei,i!ntr:i art not B<trb,1rians. nor

repurarion: and onl: the which c.lfl be rurnt:d ro prnrlr The r-or r-ar;;;iphttdntss a!l our Compatriots civilizeJ
(?\'o I '51 ): "Think today of rnmorr\)w. and of a Ion_!.! rime be;. ond ;\fodtrariun in all things (No. 82):
li. La Bruyere. op cir, p. 2-1-. No '!!
l 5. Ibid .. p 21 l. No. 2; cf also p 211, No l (); The courr is likt an edifice of marble; I mean
The sage h,1s comprt:sst:d all wisdom inrn this pn.:u.:pr: ?\'othing ro Excess. The srecif1cdly counly-
,1ri.;;r{1cr.Hic form of rer(ecrion th'... tempeLltt: of .l modlr;ued and trJn..:.f(irmt:d aninn!ic it is composed of mtn who art very hard. bur vtry polished Cf also n.
lh Saint-Simon. op. cit. p h.-1
n;:turt. ;.di arnund. the ltviry. -.:harn. the ne\v ht:aur: of the animal-made m;:n (:\'o 12-l: "Lt: )E-:'.'."E-
i- Pp. 60- 2. tsp 66-- above
< ir. \\'irhour it ,di beaut: is dead. al! _::r,1ct: is ,c:r,1cdess rhe mher rt:rfccrions arc ornamt:nts
18 Ranke. Fr.m:i1s}schc G,.1chichh. bk 10. ch 5
of ?\arun.:. rhe is th.it of Ir is noriceablr.: e\l"fl in tht: mannt:r of
19 Sainr-Simon. op cir, \ol p 20 and pp 22( ( l 11 J \\1 ha[ is at in
rclS(1nint: Or. from a dirYercrH aspt:u. rhe m,rn widwuc (No. [_::_:;J: Tht. m;.m widwur
crnwersarions is nmhing less than an anc:mpt ro win over the htir to the rhront to a different form of
The more pt:rfecrions rhere ;.ire rhe less rhere is afftcr,1tion The mosr eminent qu;.diri;::.;
rule. in \vhich the balanct betwetn membtrs ot- the- !eadin,i! bour,r.;eois and noble groups at court is rn
lose their price i( we disco\'t:r in tht:m. bt:c1use we attribute rht:m r.uht:r to an artificial
be shifted in favour of tht: latter The power of the "peers -chis is the goal of Saint-Simon and his
constraint rhan co a rerson s rrut: c!rnraccec \\:ar btt\Yet:n man and man is ine\ ir.tb!t-: conduct it
friends-is to bt restored. In particular the higher offices of start. thr: ministries. shall bt: trnnsforred
decent!;. {?\'u. l h) ): w.i.r. To conquL"r Yi!lainou:-.ly is not w conquL:r bur w ht: cunquereJ.
from rill" bourgtois to the high nobility An attt:mpr in this direction is actually made direcdy afrer
that :-.mdls or- rreasun int'ects ont.s ,c:uod rume OHr and in chest: ri.:curs rht
Louis XIV s death by the regent with the acrivt involvt:mtnt of Saint-Simon. It fails \Vhac rhe
art:umeru b.tsed on for other people. on the nect:ssity to preserve a t:ood rtpurnrion. in a word.
English nobility achitve by and large successfully. a stabilization of aristocratic rule whereby various
an argumeIH lused on sncial nccessitit:s. pLl;s a :;mall part in rht:m God appears
groups and cliques of rhe nobility contest tht occupancy of the di:cisin: positions of political powt.:r
only in tht: and at the end <-b sorrn:thing outside rhi:i human cirdt:. 1\ll good things, mo, cnmt
whi!t- observing fairly srricr rules. rhe frtnch nobility foil to achieve The ttnsions and conflicts of
to a man from otbt:r people (;\'(J, 111 l: friends To ha\e friends is ,1 second bt:ing all rht
interest betwt:en dit leadin,::...: groups of tht nobility and rhose of the are
,!.:'.uod rhing:-. wr: l.1.ne in lir-e dept:nd on mht:rs
in france than in Engbnd Cnder rh:: cm:..r of :1bsoli__1rism tht:y are constand;. Bur
Ir is this jusritlc,1rion of ru!<:S and prr.:ccrrs nor b: an ltr:rn,d mur,d !aw but h;.
as in every strong autocracy the struggle bL"ing wageJ arnunJ tht: ruler. in tht: circlt:s. rakes
nr:ct:ssiti<:S. considL"r.1tion of othi.:r J't:oplt:. which above all c.1ust:s these maxims and thl" whok courtly
pL.ict: behind locked doors. Saine-Simon is one of d1t chitf expontnLs of [his stcrt:t combat
codt: of conducr rn aj1pe,1r amciml or ar least r,,1infull;. n:alistic ro the bourgeois obsen t:r. Berr.1yai,
20. Pp. l-;_,ffabove On the t.:t:neral problem of shame feelings cf. Sp,1:!.!t1Jr(l80-J. vol. 5. no.
t{ir tht: bourgeois world feels. should b:.: forbidden not for pr,1ctic.d reason:,. concern for ont:'s
5-5: "If I was put to define 0-fodesry. 1 would call it. The rdlt:ction of an ingenuous ?\find. either
t:()od rL"puutiun with other r'eoplr:. bur by an inner \'Oicc. conscience. in ,1 wurd. h; mornlity. The wht:n a ;\fan has committed an ,-\crion for \\hich he censures himself. or fancies that ht is exposed rn
samL" in rht: structUfl' uf Climmands and prohibitions rh,1t \\as sten t:arlit.r in tht study of thl Censure of mhtrs Sel" also tht: obst:rvarion rhac on tht difference of shame bt.:rween men
larin,:.:: h:ihlrs. washint: and mht:r functions. reappt:,lf:i hlrc. Rules of conducr which in and women
courd;. aristocratic circlt:s an: observed e\en b: adults largtl;. from considr:r,1rion ,ind t'ear o( orhtr 21 Pp l o.;ff above
people. are imprinted on the indi\'idual in the bourgeois world rarher as a self-consrrninr. In 22. Pp l - 2ff above
they arc- no longtr rr.:produced and prr:sern:d b: dirc:cr fear of other ptoplt:. bur by an "inner \'Oice, 2.' Pp. 92ff above.
a fear auromaricall; n:proJuced tht:ir own super-ego. in :ihorr b;. a mor.d commanJmenr that 2-i ;\nemprs have often been made to explain the national characrtr of the English or particular
needs no iusriflcation. features of ir by the gc:ographical situation of their counrry. from its islanJ charncrer. But if this
Cf pp 92-h abon: i:iland charactc-r were simply rtsponsiblt for the rurional drnracrer of its inhabitants as a natural
8 C. H. Haskins. The Sprt:au of Idi.:as in the Middle: Ages . in S1HJi,.1 in .\L.li.1d.;/ Cult:iT!/ <larum. then all ocher island nations would have to show similar characteristics. and no people should
iOxforJ. l l)2l)J, l'P 'J2ff be closer to the English in its charantr and lrnbitus than. for example. die Japanese,
9 Cf pp. 25(1ff. ahun.: :\p.1rr from the .\1imhlit.lir rhr:re is a wt;.dth of matericd chis Ir is nor tht island situ<1tion as such which secs its :;ramp on rhe nation.ti character of the
:-.unchmJ in some e\Ul mon: l!t:arl:, rht: small pro:ic pit:ce by Andrea:, in i-.farit: population. bur the :iigniiicancl" of this situation in tht: total scructure of rhe islanJ socit:ty. in the
548 Notes to pc1gts 434-437
549
total context of its hisrorv As a rtsulr of a particular historical developmtnt tht lack of land
who control properq chances rhrough an unorganized monopoly ro those who do nor haYe such
for example. has ltd in .England. unlike Japan. ro <l low t\aluarion of military pro\vtss and more chances
concrtrelv rn the fact that soldiers Jo nor very high social prestige
That the social prtssure in Jifftrtnr \V'tstern states varies in <legrte is ob\iuus. But we do nor \'tt
In En;lan<l the rdarivtlv pacitied nobility. rogethtr with leading bourgeois groups. succeeded very
possess any \"try useful conceptual tools for analysing these pressure relationships. nor any pr..::isr::
early in ..,sharply rtsrricrin; the kings control of weapons and the army. and panicularly the U$t of
framework within \Vhich tht <legrte of pressure can be precisely measured. for example, by a
physical violence wid1in rht country itself And this srrucrure of the monopoly of physical
comparison of difftrenr states. \\?hat is clear is that this "internal pressurt'. is most accessible ro
made possible. rn be sure. only by tht country s island character. played no small part in the
observation an<l analysis from the point of view of the standard of living, if bv rhis we do nor mean
formation of tht specifically English national character. How closely certain features of the English only the purchasing power of incomt bur also the rime and intensity of work. needed rn obtain rhis
super-ego. or. in other words, rht English conscience, an: boun<l up with rht structure of the
income .i\foreover. we cannot gain a proper understanding of rht n:larionships of pressurt and rension
monopoly of rhysical force is shown even today by the social latitude gi\en in England to rhe
within a society by comparing rht li\"iny srandards of its differtnt classes srmiLally, i .t. at a particular
conscientious objector . or the widespread sentiment chat general conscription represents a major
rime. bur only by a comparison O\"tr exrendtJ periods The degree of tension and the population
and dani;;erous restriction of individual freedon1. \\ie would probably not bt wrong in assuming that
pressure wirhin a society art very ofren not explained br the absolute ltvel of the living srandard, bur
movements and organizations have been able to remain as strong and vigorous as they
rather by the <.1brur'tness with which this standard falis in certain classes from ont l;vel ro another.
have over rhe centuries in England only bemuse the official Church of Englanr.l was not backed by a
\Ve must have in \"iew rhe curYc, the historical mo\emtnt of the standard of living of different classes
police and miliclfy apparatus to the same extent as were. for example, the national in rhe of a society in order to undtrsrnnJ the relationships of pressure and rension within it
Protestant states of Germanv. At anv rate, the fact that in England the pressure of foreign military
This is tht reason why we should nor look at ont industrial nation on its own if we wish ro gain
power on the individual was.from an.early srnge much less heavy than in any other major Continental
a clear picrurt of rhe nature and strengrh of rhe relationships of pressure and tension within it.._ For
countrv. is exrrtmelv closelv connected ro the other fact that the constraint which the individual had
the level of the li\ing srand<.1rd. difftrenr as ir is in different cbssts of tht samt. sc;cit:n, i:,
co ext;t on himself.-parricu.larly in al! matters rebred to the lift of the srnre. grew stronger and more
partly dettrmined by the position of rhis whole society in the global network of <liffe-rtnr
all-round than in rhe great conrinenral nations. In this way, as an element of social history. the island
stares and empires with its further division of functions. In most if nor all the industrial nation scares
character and the nature of rhe country luvt indeed, in a great variety of ways, txtrttd a
of Europt the living srandard. which was itself attained in conjunction wirh indusrrializarion. c;in be
formarivt influenct on the national character maintained only by constant imports of agrarian products and raw materials. These imports can onh
25 Ste above. pp 13ff. 6-fff. and p 513. nott _>{) On this question cf also A Loewe, Th, Price be paid for either by income from correspondingly large exports or by income from in\esrmenrs
0( Lih,rt) (London. 19371. p 31: "The educated German of the classical and post-classical period is
other countries or from gold reserves So it happens that it is nor only internal pressure. rht
,; dual being Jn public life ht srnnds in the place which aurhoriry has decreed for him. and fills it
imminent or actual foll in the living standard of broad classts. which maintains and somerimts
in the double capacity of superior .md subordinate with complete devotion to Jury. In private life he
intensifies the ComrtritiVt tension bttWttn different ir.JustriaJ nation StattS, but this inter-state
mav be a critical inrellectual or an emotional romantic This educational system has comt to grief
ttnsion in irs turn can sometimes contribute to a very considerable tXttnr roan increase in rhe social
in attempt to achieve a fusion of the bureaucratic and rhe humanist ideals It has in reality created pressure within one or orhtr of the competing nation scares
the intro\erred specialist. unsurpasstd in absrracr specularion and in formal organization. but
Up to a ctrrain point this no doubt also applies rn counrrits which primarily export agrarian
incapable of shaping a real world out of his theoretical ideas. The English educational ideal does nor
products or raw materials. Ir applies, incited, ro ail countries which have grown into a particular
know this cltavage between tht worlJ within and the world without
function within the division of labour between different nations, and whose living standard therefore
26. Pp. 236ff above can be maintained only if enough scopt for the rdtvanr exports or impons Bur rhr: sensirivirv
2-. Pp 264-5 and 26R- above. Thar the strength of tensions berwetn clifft:renr htgemonial
of diffc.:rtnt counrrits to tlucruarions in international exchange. to defeats, ro slow or rapid decline
units is indissolublv bound up with the strength of tensions and tht whole social order within them
the competition of narion states. varies very widely Ir is clearly particularly high in nations with a
has alreadv been srr-essed on a number of occasions Ir was shown that connections of this kind existed
relatively high standard of living in which tht balance between rhtir own industrial and agrarian
even in early feudal society with its primarily barter economy The population pressure
production has tilted sharply to the disadvamagt of the latter and which are dependent both
which led in it .to various k'lnds of expansionist and competitive struggles, the Jtsire for a pitct of
sectors on substantial imports of basic materials. p<.1rticularlv when the\ art nor able to offset such
land in rhe poorer warriors and the desire for more land ar the expense of others in richer ones,
dtticirs by earnings from frJrtign in\esrmenrs or from their- gold and when. furthermore,
counts. dukes and kings. chis population pressure is nor simply a result of the increase in population
human exports. mo. for example in rht form of tmigrarion. become impossible. This, however. is a
but of chis in connection with rhe rhtn existing property relations, the monopolization of the most
question in its own right which needs more derailed examination than is possible here Only by such
important means of production by a stcrion of the warriors. From a certain rime on land was in fixed
an investigation could wt gain better understanding of why. for txamplt. the tensions in rhe
possession: access to it by families and individuals who did nor already "own became figuration of European stares are so much greater than rhost between. for example. the South and
difficult; property relationships hardened more and more. In this social constellation a '.urthet Central American scares
increase of population in both rhe peasant and warrior classes and the constant sinking ot many
However that may bt, one often has the idea that it is onlv necessarv ro leave the economic
people below their previous standard of existence. exerted a pressure which intensified tensions and
compttirion between such highly industrialized states to rht fret of t()r all tht partners ro
competition within rht whole society from top ro bottom. within the individual rerrirories
prosper. Bur this free play of forces is in focr a hard compttitive struggle which is subjecr w the same
bdir,,11 them, and which kept the competitive mechanism in motion (see pp 214. 222 and 2.')0ft.).
regularities as such struggles in all other spheres The balance between rhe competing states is
In exactlv the same wav in industrial society it is not the absolure le\tl of population and still less
extremely unstable. Ir tends towards specific shifts tht direction of which. certaink can onlv be
simply increase in r;opularion which is responsible fr1r pressure within particular scares. the
established through long-term observation In the course of chis economic
density of popularion in conjunction with rhe existing property relations, the relationship ot those
highly industrialized nations preponderance gradually movts in fanmr of some and against tht
550 551
other-,. The r:Xp(lrr and import '-T1cicy (li. th.: weakening partit:s lx:c<1mt:s morl- re-;rricred To a state _::, T Parson:-.. :-:,r,;:.:i .n.':./ PtrY>J:.dJ:_1 (G!t:ncoc. J LJ().::.) pp 82. 210{
in chis rht:rc- renuin-ir _1, we -;aid. ir is unabk
thc::it lossls h;, in\i:stmtnts
Ul t Tht idt:a rhat :-:ociai chan,:.:e should bi: underc;wod in tt:rms ul a change ot" srrucnm.: rhrou.:..:h .:
or ,i..:uld fl..,t.:ne-;-only rwo possibi!irie:- It mu::it cithcr forcc up t:>:pun:.,. for t:;<amplt by malfuncrion of ,t nurm,dl;. st ..iblt: st.ltt of social tquilibrium is to bt found in numerOLb places !n
cxrun price"" or rc::itricc imrorrs. Goth action:-, lt:ad Jin:crl: or indinul: w .1 loweri:1g of the Parsons s work: cf. t(;r T P.1rson.'i ,md ) Smd.st:r 1 Londnn. 1t))- J. pp
'.'>LHHlm.b (1f. the members oi. rhi:-i .-.:uciLty. Thi::i (all is p.1;-,snl on by thost: conrro!ling the monopoly 2-i-f Similarly. in Robtrr K . .\krrwi. .\ 11.'l.rl .n:) .\1,:i.zi (Glt:ncot.:. I 9591. p. I 22. ,rn
cconomic (!prorrunitit:" to rho::ic who do not control rht:m The LittLr thus find rhemsthts ideal social start: <rhout-:h one app.1rt:nrly undcrsrood <.:s rt:al1 in which there arc no conrr.idictions ;rnd
::iurroundcd b: .1 douhk circle uf monuroly rule-rs: tho::it' within thtir O\\ n socitty ancl dwst tcnsion.'I is counrtrposcd rn anothtr in which rht:sc soc:al phtnomt:ria. e\'aluarcd ;is dysfunctiunal .
rcprc.-,cntinp: itlrt:i,un sociltie::i The t'rcssure cm<-mat!J\!..'. from rhl'm conrribun:s rn imptllinp rheir own txerr a pressure tO\Llrd on ;1 social normal!;. frtL of tt:nsion and immuwblt:
rt:prc.,cnuri\t::-. and rhcir ;.1s a wholt: inw a comr'critivt: stru,L:,!..'.lt: wirh otht:r sociLtit:s, And rhus Tht: prohlem ht:it\i..: put r(1r discus:-.ion ht:rl. ;1s can c->et:n. is nor idcntic,tl v;irh tht: problem
rht: \'. irhin d!frt:rt:nr and El10st: lx:t\\'t:t:ll rhi::n1 munully rcim(irce each othtr This spiral traditional!: discussld in term:; of thi: conct:prc-> '\Ltric <md dyn;.1mic The tr.1dirion,d
mu\l'mlJH is. rn bl :-.un:-ir must he emph,1sized-onl} one (Jt. <t Lue numhi:r or di(r-...rent stqut:ntial ofren irn-ohtS tht: que:>rion of which method !s prtt"cmhk in cxaminin,r.:: socid r'ht:nomena, ork
orders or ch;.:n,:...:c But the meruion oi this order. how:.:ver fr.1.:..::mt:nrary. m;1y give an limirin tht: inquiry rn ': p<1rticuL1r time st:,!.'.mtnr or one invohin,t: chc :-.n1d} of mort: cxct:ndtd
impre:-.si()n oi rill' p()wt:r of rht: uimrellin,!..'. r"or(tS which rnday keep tht: inrer-st.tte compttirion and proceSSlS. Hert:. in contLtSt. ir is not dle mt:thod or t:\'t:Il the sociolo,t:ica! selection ur
monopo!} in motion prnbkms as such which is under discu:-.:>inn. bur the conceTtions of socier:. of hum<.in figur:ttions.
n'
0

2S. Cf 10-l . :'. above A :-ununar} Oi present-day tht:uric:-. on tht: oriin:; of Statt:S is to bt underlying tht: ust: uf tht: v.1riou:.i methods <Hld tyj'"1t:S of prnblem st:lecrion, \\:hat is said ht:rt: is nor
found in .\Lclt:od. Th, (Jri,;;i;: .m:.l lli.r:1!l:: 1:/ Pr1/i1ic'.I, pp. 1_;9ff direcrcd against rht: possibility of sociologically short-term social conditions, this typt
29 G !'I' TO ff .1bove of prohlt:m an tnrirely kitimart: and indisptnsablt: kind of socioloical inquiry. \Vhar is s;1id
.iU Cf. !'!' .. t:sp. Pl' -!02ff here is direcred <\!..'.ainsc a certain r: pe of theorl'tical co:1Ccpti()n, Pfrtn hur h: rni !11(:'1!1' ntn..;..;:iri!y
_'lj Cr l'P _>h9fr !' _;;)('i, l'l' !l'J-..'.l .1ssociared with t:mpirica! socioloicd in\escigarions or sready sr.1tes Ir is quire cerG:in!y possible to
Cf PP PI' _;l)l-2, l'P '! 1-li"f: on chis qut:stion cf Parsons, f1,.,.;r .m./ C."r11:z,1:finn.di!), p. undt:rrake emt..,irical invi:stigalions <if Stt:,1d;. 'iC<He.'.'i while using m(1dt!s of social chan,L:ts, proct:SSL'i
xiii: Con\t:rn:ioruli[} rest:-; upun an apprcht:nsi\'t: scart: of mind . and p -_;: 'Tahlt: m;mners an:. .rnd dt\ elopmt:nts of urn: kind or anmht:r ,1s a thc:ort:ric.d fr.rnlt: of rdl-renct:. The dcbatt: on the
I \Uppo:-.c. one or our most marked disrinuions P,lr-;ons quort:s \\" Jamt:s. Prin!..'Jj)kr
relation bet\\'t:en social st.tries and social d: 1umics' suffers from insur"ticiently clt,ir
(:\'t:w Yurk. 1,S{)l)J, p 121: Hc1bit is rhus rht t:nurmous tiywhccl o( socitt). !rs most
bt:t\\'t:t:n tht t:mpirical in\e:>ri,:..::arion of slwrr-tc:rm problems and the merlwds or inquiry
preciou::- const:natl\t: It .done is what kci:ps us all within thL" bounds of ordinanci::. and saves appropriatt: to rl1lm. on rhc one hand. and rill rllt:ort:tical modt:ls by which-txp!icirl;. or not-one
tht: chi!drcn (i r"orcunc from the t:fl\ ious of thl puor It alone f'rcverlts tht: hardt::-.t and most
is ,L:Uided in rosing tht problems and in f''rt:St:ntin_:..: tilt: rt:.'iUJr.'i of rl1L inquir). Oil the orlll"r ,0.!t:rton S
repulsiH \\,dks or life fro1T1 bein dt::-.:.:rtt:d b: those up rn rrt:ad rhcrt:in
Lbt: or [ht: terms :;t,ttic and d} namic in rht: rdt:rrt:Ll to above sho\\ \er) clearly this
Tlk mort: quntion. w the: solution or which the prescnr \\Ork sct:ks to make a cunrribution.
insut"tlcicnt cap,u.:!t)' to d!ffe-rt:ntiatL'. ,1s when he sJ;. s th;1t within tht: fr;rn1t:\\ork o( a sociolo,L:ica!
ha:. also been rused r(Jr ;1 rime b) sociolotry Fur t:X:i.mplt:. Sumnt:r. /-r1/f:u..1)J. p. -ilS,
tht:ory of function the .L::ap bttWten statics and d) namics can bt: bridt-:t:d by the cons id tr.tr ion dut
'\\.hen. therefore. rhe t:dnot-:r.ipht:rs appl;. conJt:mn.itory or Lkprt:ci.1rnr} to tht
discrlTancitS. ttnsions and antitheses are dysfunctional in terms of rht social SJSttm .
pt:oplt: whom tht:y :-.rudy. they bep thL most important qutstion which we w.mr w thar
rhtrefore malfunction, bur ,ire '"instrumtnra! from rht: point of vit:w of chanpl
i.'i. whar :.it.i.ndards. cod.:s. and ide.LS o( chastity. dt:cency. proprit:ty, modesry. etc and whtnce do
5 Thl tcndcncits o( rhc Europt:crn nations ((1 ,:.:rearer unification may cerr.iinly derivt: ;,1 ,t:ucx.l p.irt
The t:thno,L:r.1phicd focts contain the answt:r to chis qut:.srion. bur in ordt:r to re,tcl1 it Wt:
o( rhtir driYin,r.: force from the con-;o] idarion .rnd cxtt:n,ion o( ch:: in-, of interdLT'tndt:ncit:s. abmt all
wcmt a colourkss rt:porr ot' the Let:-. Ir scared} nt:t.:ds ro be s.1id chat this is trut: not only nf rht
in rht: c-.:onomic .md millur:- .:;rhen:s: bur it w,::-. tht: shock to thl cLiJitiunal narion,tl :-.t:lr--imat:.::-, or
or z(Jrci,!..'.n .rnd simplt:r srn.. iltic:-,. buc also of our m" n so:..icry and ics hiswr)
dit: Europt:<m countries that ,!..'.a\l rise in all rhtse narions to ,: disrosirion rn adai..,t dll'.ir own
The prohlt:m to \\ hich the prtScnt wurk is addrt:sst:d has mort: rt:Ct:nd} been parricuL.i.rly clearly
arrirudcs-ht:sirant!} and tc-nrati\'el;.. at lea.st in rht bcinnin,:..:-rnwards gre..Htr funcriona! intt:r-
r(JrmuLlCed h: .\1,,-j_;f /;.'1::':1:i1,11.1. en:n if ht.: ancmpts a difft:renr :-.ulution to rht
derendt:ncl. despitt the nariocentric rraditiCJn. Tht: difficulty of this undt:rtaking lit:s prt:cistly in thl
f'roblcn1:-, dun i:-, ort-t:red ht:re (p. 2-<iJ: This chapttr \\ill aim to prcne that tht: t)pt:s of rt:rsonai
fact char. as a rt:sult of the nariocenrric sucializarion of children ,rnd adults. L'ach ot these nations
lmotion:. \\hich ,Lr::.: kno\\ n w civili::.t:d men ,\ft: products oi an c\olution in whicl1 t:morions han:
occupit:S the dominant tmorionaJ j"'"OSitiun among its O\\"!l pt:opk. i\"herLdS tht: Jargt:r transnariona!
t.J:cn a nt:\\ dirccrion Th.: insrrumt:rus .md m::.ms of this arc the institutions. some
form;.1tion which is cnilving pussesscs at first only :: r.:tiona! but hardly an cm(itionai sinilicance
uf which lu\t: ht:cn de:-.crih::d in forc.L:oint-: chapters Each institution ,1s it h,1s bt:comt: csub!isht:d has for thtm
de\ t:!oi'cd in .dl inJi\ idua!s w comt under its intluenc:.: a mudc u( bch;.1viour and t:rnutional attitude
6. This difkrenct destrH:s a mon: tXtt:nsivL cumparati\"e invt:stigarion thm is possib!t: htre But
\\ h!ch conform ro rht: institution. ThL nt:w modt of beh1.1\'iour and tht: new t:morional arrirnJt could
in gi:rwrnl terms it can lx- c-xpbirn:d in tl.-w words Ir is connecreJ with die kind ..rnd exrc-nt of rhe
nor ha\ t: bct:n until tht insricuriuri itself was created The effort of indi\ idudls to ad arr
valul' of r'rc-industri.d rmi.cr tlirt:s which p.1ss inw the valut:s o( the industrial strnt.i and rhtir
thcmsch cs w ins[ituriund demands results in whctt may bt pwperl: dtscribt:d as a whotl} new
reprtstntarivcs as rht:y come into power
ot. plt:asurt:s.
In countries likt Germany (bur also in utht:r countries on rht European conrintntJ a tH't of
bnurc:cois cnn<;tnc1tism can be ohstn cd \'.hi ch is dttcrmineJ to <1 Veiy hitrh b;. thl values (i
Notes to the Postscript 0968) rhe pre-industrial dynastic-agrarian-military rowtr Clitt:s These Yalucs include a \try pronounced
deprtciarion o( rhat is rdl-rn::d rn as tht. world ot" commt:rct: (i.e, traclc and indusrryJ and
"fokort Parsons. f;; .\r;;,:ti/(),:.:i.-.zi \Glencoe:. 1LJ65 l. pp. _)5<-Jf an ur1tqui\ocdl: hipher \,due artachtd rn the sr.tte th::: social who!t as tht: individual.
") Ibid p y;:; \\"herc\t:f such values pla;. a prominent p,1rr in the const:rvatism of industrial classes. rht:y
552 Notes to /Jttgl 465 Notes to /1C1ges 465-470 553
un<ltrsrandably conrnin a pt'rCepribk anti-liberal tendency. In rhis rmJicion ntgacive fttlings are long as natioctn[ric \alues and ideals dominate rhe theorizing of American sociologists to
arrached to tht high t:stimation of rhe individual ptrsonalir:y and of individual initiative and to the such a degree. as long as they fail to realize rhat sociology can n._o more be from a primarily
corn:sponJingly lower evaluation of the srnte" roraliry. in other words. to rht valu.es of a commercial national point of view than physics. rheir preJominant influence represents a not inconsiderable
wor!J pleading for free competition. danger for the world-wide development of sociology. As can be seen, "the end of iJ..-:ology is not yer
In counrrits when: members of rhe pre-induscrial agrarian tlire kept kss emphatically aloof in in sight among sociologists
their pracrical life and in their values from commercial operations and from ,dl those earning their Incidentally. something similar would probably have to be said about Russian sociologv if it had
livt!ihoo<l by such operations. and where the power of princes and coun circles as centres of the stare a dominant influence. Bur as far as I am aware, while rhcrt are in the growing
was limin:J. as in England. or non-existent. as in t\merica. the rising bourgeois groups. in their number ot empirical sociological investigations, there is as vet scarcely a theoretical sociolog\ This
gradual ascen[ [0 become rhe dominant class. evolved a ryp..-: of conservarism which-apparently- is understandable. for its place is taken in the Soviet Union .not so bv rht svsrem of and
was highh compatible with the ideals of non-intervention by rht state. of the freedom of the Engtls as by a Marxist inrellecmal edifice raised to the status of a creed the d.ominanr American
individual. and therefore with specifically liberal values More will be said in the rexr about some of theory of society, the Russian theory is a nariocenrric mental construct. From this side. too, the end
[he specific <lifriculries of this liberal-conservative nationalism. this apparently unproblematic of ideology is quirt certainly nor in sight in sociological theorizing Bur char is no reason nor ro strive
simultaneous assertion of the "individual and of rhe nation as the value ro the utmost to bring nearer the encl of chis continuous self-deception, this constant maskint:: of"
The superseding of an ideology oriented rowards the future by one orienred townrds the present short-term social ideals as eternally valid sociological theories. '--
is sometimes concealed by an intellecrual sleig:hr of hand rhar can be recommended to any sociologist 8. T Parsons, Err,/ution:.n)' i:111d Comf1.;ri:11in (Englewood Cliffs. NJ, 1966). p 20:
inrtresred in the study of ideologies as a prime example of the subtler kind of ideology formation. "This process occurs inside that 'black box.' the personality of the actor.
Tht orientation of the various naciocentric ideologies toward the existing order as rhe highest ideal 9 Gilbert Ryle, Th, (011c,p1 of i\lind (London. l 9-i9)
sometimes produces rhe result char exponents of such values-particularly bur by no means
exclusively exponents of their conservarive-lib..-:ral shades-posit their own mtirudes simply .:lS

ideological of focr and restrict che concept of ideology ro those kine.ls of ideologies which
art direcrtd at changing rht existing order. parricularly wid1in the start. An example of this
conceptual masking of ones own ideology in the dtvt:lopmenr of German society is the well-known
ideology of Rt.1lj'lr1/i1i.k This argument srarts from tht iJea. conceived as a sratemt-nr of focr. that in
international rolitics every nation actually exploits its potential power in irs own national interest in
an en[irely ruthltss and unrestricted way. This apparent sraremtnr of facr served ro jusrify a particular
nariocenrric ide..11. a modern version of rhe :Machiavellian ideal. which states char national policy
to be pursued in the international field wirhour consideration for others. solely in one's own
national interest. This ideal of Rutf/11;/itik is in facr unrealistic because every nation is actually
dependt.:nt on others
A similar rmin of thoughr is found in more recent rimes-and. in keeping with American
rradirion. in a somewhat more moderate form-in a book by an American sociologisc, Daniel Bell,
bearinf2 rht revealin,i..: tide End (I (New York. 1961 ). Bell, roo, srarrs from the assumption
rhac the rower berween grours in rht pursuit of rhtir own is facr. He
concludes from this focr. much like the aJvocatt:s of German Rf,,.. df11Jfitih, that the politician. in
rht powtr of his own group. ought rn intervene wid10ur ethical commitment in the
power srru-gles of Jiffertnt groups. At the same time. Bell claims char this rrogram does not have
tht character of a profession '(Jf political faith. of a preconceived value system. i e .. an ideology (ibi<l ..
p 2-9), Ht a[[empts to limit this concept solely to political docrrines directed at changing the
order He forgets that ir is possible ro rrear rhe existing order nor only ;JS a simple facr bur
as a value underpinned by emotions. as an ideal, as something that ought to be. He does not
distinguish between a scienrific investigation of what is and an ideological defense of whar is (as [he
emhndimenr of a highly valued idea]) It is quire obvious that Bells ideal is the srnre that he
describes as a fact
"'Democracy , writes <mother American sociologist, Seymour :Marrin lipstt. "is not only or even
primarily a means through which different groups can attain their ends or seek the good sociery; it
is rht good society itself in opern.rion <Pr,fitical .\Lm, Ntw York. 1960. r -!o_:;) lipstr later modified
this statement to some exttnt. Bu[ this and other pronouncements by leading American sociologists
art examples of how little even rhe most inrelligenr representatives of American sociology are in a
position to withstand the exrrnorJinarily srrong pressure towards intellectual conformity in rheir
socieq.. and o( how much this si[UJtion impairs their critical faculties As long as this is the case, as
Index

absolutism. xii. 1-. ms, 191-i. 205, 210,


.mi:i,a r<::)nh. 52. _::,_:;, 56-8 ..125-6. _1.:'i_::.. y;() _
2_:;9. 2-is. ,-, 51h. _:;s-. 5h6. -!06. _;_,-. _:;so. 561
-f ?1-j
animals. crutlty ro, 1-1-2
absolmisc courcs. 1-i. 15, _,l. G.o. 8-. A.njou. 20). 2(16. 2-9, 281-5. 28-. 2S8. 2lJ!
12H. 156. 2-!8. 2-i9. 252. 256. 5 .1H. 2<)_), ,l0(1

589-<JO. 3<JL .190 . .or-<J. -i2 I. -i25. Dukts of. 29<-i. 2<.r. )02. _15 I
-i2- . .!_)-!, -!55 Anne of Brinany. :H)9. 55(1
ahsoluri:-;r monarchy. _::., 1. _12(1, _::.25. 31 l anriquiry. :;2. 6L 2i2. 22'S-_1U, 55-:n
Erhiopia .rnxic:y. l l-L 121. l3L l!l. l 2. 5H5 . .
accumulation. capical formation -il-i-16. !lH. -il:J. -!2l. -Hl-)
affcccs. affecc-concrol. xi. 29. 60, -1. <) l, 98. ,;/\{,shan1e
10-L )(16, 10-. 120. 128-l), 15-. 209-.102
168- 2. 2-!l. 25_1. 255. 2-0. 2--!. apriorism. -!-l. -l-5
565. _)-1, _1-5-89. _:;9(), y)--il-i. .r\quiraine. 205. 2()(1. 2-9. 282. 285. 28--:--8.
2<.J ..1
l.26-.12. -!-i l. -!-!.). -H6. -!'50-1. -!--
.du1 drih:s Aquinas. Thomas. )-t'=i

Africa. 586 Arabs. 211. 213. 215. 229


Ara,:.::on. 282
aggn:ssin:ntss. l(d- 1 180
ariswcT.tcy. .ia nobility
.1idc1. 5-!6-50, 55-!-6
armies. 192-L 51-
Albtri. Eugenio. Y56-- , 558-9
Arnulf of Carinchia. l <J'J-200
Albigt:nsians. 28()
.ircisan:i. 220-1.
Alembert, Jean u . -iO Asia, _1H8
Alphonsi. Pt.:rrus. 5_)
assimilacion. -UO
ambivalence, - -l 8. _1 .Y1-- . -125--t
Aulc. \\,-arren 0. 55-ln
Amptn:. Andre . 25 Auscria 201
556 The Cil'ili:i11g Procrss Index 557
Auscrians. 12 commercial. r. GS. lS6. 52-i-5, -161, -i63 Carttr!ieri. Alt:xan<lt:r. 51 l n Roman Catholic. -i-. l-i3. l-i-i. l-i6--.
autarky. 206-7, 2-iO. 2SS. 291. 37 9 French. 31-3. -i l. -i3. 86, 9_;-L 96 Casrigloni. Giovanni. 60. 69 -i2l
Auvergnt. 28---i-5, 29-i German. 9-i 3. l 5-21. 31-3, Carbolic Church. Catholicism ChrisEianiry
axes of ctnsion, 316. _126. 3_10 ..1-1-! 6-i-5. 92. 9-i-5. SSln - sii muLr Church cinema. i -o. -!26. 5-i Sn
meJieval urban. 5-t. 18'7. 289. 323, 330-3. c.wsation, -i82-_=1 circulation of mockls.
B,ditr:-' 81,1,k. Tht, 5.1. 7-L 122 3_16- . _1-16. -!34 Cavalli, Marino, ,3'58-9 cizilih'. xii. ?1-L -il. -!3. -!--52, 61. 6--1. 6-. -1.
balance of power, 299. 33.1. 386, --l l--l. 439 office-holding. 325- Caxton. \\'illiam. 7
0-1. 10-i 811. 82. 83. 86-9, 108, l 3_), 182. 189.
balanct of ttnsions, 296. 343. ---i-W professional. 426 central authority. 268. 319. 320. 325, _)2-L 2S6. 586- _195. -i28
Balzac. Ho no rt de. -iO l :dsr1 inEtliigenrsia .328 . .333. _)_16. _)49. 355 ..160 ..162,
''barbaric behaviour. ix. -i l. -!2. 48. 5 1, 5--l. Bouvines. Barde of. 28-i _; ":' 1. 388 "civilization . popular concepr of. 5-10, 15,
81. 107. 1!3. 210. -iSO boxing. 1-0-1 cenErnlization, xiii. 201. 205. 236. 261-2. 2-i. )0, 39. 4'. 51-2, - 1. 83. 86. 88.
Barctlona. 196. 2-9, 282 Brandenburg. 12. 200. 2(17 2'-!-5. 292. 306. 313 . .1-13. 5-i2n l<F. ll-i. 132. 13_1. 155. l-iS. --lSl
Baroque. 189. 2S I. 39_; Branrome. Pierre <le Bourdeille. _)_)-! centrifugal forces. l er. 199. 2011-8, 219. 235. in France (tizili.ution). x. 23, 3?1-5 . .18--43.
Barrow. R.H. S37n BrtEigny. Treaty of. 29_1, 295 238. 261-2. 266, 261, 2-:--!, 292, _113. -!8
barcer economy. 205--:-. 210. 213. 22-i. 232, Breughtl, Pitter Sr. l 76 _:;.-!_:; in Germany <Zi1 iliutio11). 6-l l, 26-50. 6S.
237, 239, 2--l0-5, 2S.o-L 260, 289. Brtysig. Kurr, 535n sa ";/so JectnrralizaEion Sl'-l8n
297, 303, 313. 317. 5-i-i, 368. 379. Brinkmann, Hennig. 2--!5 centripetal forces, centralization K;t/J:tr
Si1. d/Jtj

391. 536n British Empire. 266 ctn:mony. 388 Ci\ilization, as a process. Ji" civilizing process
Barth. John Christian. l l.1 Brifrany, 285. 288. 296. 502, 509, 3-12 ch:.tins of iruerdepen<ltnet:. Sll interdependence. civilizing proct:ss. ix-xv, 15, 18. 20. -i 1, -U.
Basin. Thomas. 5-L2n Broe. Pierre. u-.
l-iO chains of 51. 8'\. 88-92. 102. 11--l. 116. 128-9.
bathing, 119. 138-9, 179. ST-8n, Bruges. 5_19n ,lt.r .-\i.lc, _150. _15-! 1)2. U-i-5. l-i2. 152. 153. 1
5 _10-2n Brunelleschi. Filippo. 189 ,:h.m.rr1m ,(.dh, 162-.3. 2-!- 168-9. 188. 191, 205. 206. 225-6.
Bau<leau, Nicolas. -10 Brunner. Ofrn. 5 _;2n Charlemagne, 199. 202. 206. 31- 2-il. 25-i. _16S-8-. -i30. -iSl-2. -i81.
Beatrice of Bourbon. 296 BLrnel. Guillaume. s_; l n ,ds1, Carolingian Empire S30-2n
bedroom. beha\iour in. x. 51. l Burdach. Konrad. 2-16 Charles lll, King of France. 199 spurts in. xii. 15--8. 2'5. _1":'9. _181. 382.
Bell. Daniel. SS2n bureaucr3cy, .13. 36. 38. 205, 239, 446 Charles IV. King of France. 286. 28- 389. 592. -iO l ..j(J7. -!_18
Berry. 196. 28-i Blirger. GotEfried r\ugusr. l 9 Charles \', Holy Roman Emperor. S9. 262. cleanliness. 152. 5_;0-2n
Duke of, 167. 296 burgher class. bourgeoisie _1 l(I Slc washing
Btrd10ld von Regensburg. 175 Burgundy. 196. 20_1, 206. 21-i. 262, 285, 294, Charles\', King of France. 29S, 296. 29'7, cltrgy'clerics, 165. 201. 208. 327-55. _)62
Bertran de Born, 162 506. _1')2 3-i9, 350-1 cliques. _15. 36. 398
Bild1111g, IS. 2-i-6. 31. 6-i. Sl8n dukes of. 288. 29-!. 296. _102. 307-8, 359 Charles VI, King of France. 296. 298. 3S8 closure of society, 230. 269. 2"7 --L 288. 28-:-,
tdsr1 K11!:ur Bury. J B . S 3-in Charles VII. King of France. )02. w- __109. -i-j(i
bishops. 20 l, 3 29 Byles. _,\Jfred Thomas. '\-ion .:;s 1. _:;s.J-5. _:;ss Cohn. E. 518n
Bloch. Marc. 55-n Byrne. Eugene H . 5?18n Cl1arles Vlll. King of France. _309. 5S6. _3S8 Cohn. \\lilly. S_15n
body. Jc, "'natural fr!nccions ': nakedness Byzantine Empire. 216. 225. 22-!, 229} 5_::,:n Charles of Valois. 295, 296 Colbert, )tan-Baptiste. 36
BogarJus. Emory S . 5-i-!n Charles the BaJ. King of Navarre. 295 collectivisation . "socieralizarion
Boileau. Pierre Louis. 12 Cabants, A. S9. 122. 12.o. 152, 153 Charles the Bold. Duke of Burgundy. 17 3. colonization. 4.1. -!'. 215. 230. 38-i-6. -!2'-8.
Burner, A .. 528nn Callieres. cle. 8 7 -8. 9_)-i, -L'.11-2
bondsmen. 216-l - . 220. 2_)6 9--8 Charles rhe Far. King of the west Franks. 2011 as a social metaphor. -i.30
Bonvicina da Riva. 53. 121-2. 1 Calmerre. Joseph. 2119. 23 7 Chareler, Marquise de. l l S commerce. 2-L 271. 32-i. 3.17. 551-2n
Bonwir. Ralph, 553n Calviac. C. 91. 105 childhood. xi, S. 60, 63, 83. 108. l l-i. l--ll-L commercialization. 23"'7. 2_:;9, 287-8, 32_)-i.
books, demand for. importance of. -iOl Capellan us. Andreas. S-i6-'n l-i'-53. 158-9, 169. 37--l, r1, -iP. _;59
Bossert. H.T, 529-30nn Caperians. 192. l9S, 20-i. 21 7 , 258-61, 267, -!3-L 1-5, 5-!-f-5n communication, -!O. 2.18. 239. 28'7, 288. 323,
Boston Tea Parry, -iO 27'-302. _)06-7. 328-9 China. 103. 107. -ilO. S.37n. 5--lOn 32-i
Bougie. Celestin. xv capital formation. 366. -i 14 Christianity, -i7. 86- 152, 166. 203 competition. 2-!0. 274. 277 . .:n9. 288. 297.
Bourbon. house of. l 9S. 296. 302 capitalism. 210 fa ,;/_ro Church 30-i. 305. 306. 312, 313. 3-i). 353.
Bourditu. Pierre, xvii Carolingian Empire. 19S. 19 7-9, 208, 212, Church. 86-7. 15-L 187, 188. 190, 215. 216, 367. 371. 38S. 395. 397, 421, -i25.
bourgeoisie. 80. 88, l 00, 116. 128-9. 192. 21-L 222. 223-L 229. 286. 289, 297t 223. 267, 281. 328-30. -il-i -126. -J2s. -129. --l53. -i35, -i36. -1r.
239-iO. 28 7 , 3-i-i. 352. 360-2, 312. 5.15n of England. S-i8n --!38
422-_15 Carolingian kings of west Franks, 195. 201-3 Greek Orthodox. Comte. Auguste. -i58. -i6l
558 I m!o: 559

concL'pr 2')_...,, "15"1n


2(lLJ, Du1'in. H. 111'5 t"i.:ucLdism. 20l)
C:(lnd,1rcLr., .\brit: .k.rn Antoint: Duronr-Fcrrier. Cust<l\\: .:.o- _-)32. _-".)-! feud:d courrs. L)l, 2!5 2+L .:.;.1'1 . ..".'.-t8. 2)2 .
.\brqui:-. de -f.2 DL:clar.:rion (1f. hdcp::ndcnc.e <LSJ\L -iO Durkhl'im. Emile-. ! '56. -!- _; ..-.:s.;.215. 216
con,ci(1u-:nl.;..;, ix. xi -tH 12 l 2-0, _"1 -l Dcdd.:!nd Fricdri,:h lord'.'\, l 212. 2')8. _1()(1, _;_;() _ _; .. !2 .
.l!1d drinkin.::.;. -'l" uhlc m'-'nncr:i _;!h. _;.!-._;!CJ. _.:;52. _l)_). _)(-Ji, _;90.
.;'!o . .;er. -102 lU_i. -iOS-11. -11-!. dcfecarion n,nur.d i-L:nctions
urensils. r(>rks: kni\-c-s: sroons: ublt: -10-L -!2_-)
-!15. -:lS. -!19. -1.20. -1.11. +!l 221. 22'5
consen;.tti'.'-n1. 5"11 n. "152n dclirnC\ '.18. lllfl. 115. ft:ucLd socierics. ix. xii.!-. 16-l. 20'1. 2.;o.
Eckermann. Juh,mn Pert:r. 25. 2'1, 28-..:.o 2_;5, 255. 2.-19. 25 l. _;o.i-'1. ')_;_.:.-uL
corisrr,1int:-i l+! -122
educ,![ ion. 2.1. x-. _18-!
.'"- .d.i modesr:: sn,tnit..:
11 5 .)"in
Edward Ill. Kini' of Er\"land. 2'))
1_::._1, l-!9. 15h-- 16S-Sl. 2-tl. Dllilii. J. :cquc-s S!-"1 t"cud,diz.1rion. xii. 195-256. 2-_.:;, _::.1 .. i. .-". 15.
Edward. rhc BLKk Prince. 295
!15-21 1!'5 Del Lt C,:.:;;.1 -. (1(), h8- -o. - .)(1h, _)h9. -!.,()
co. lhO. _.:.--. -!05. !OS .. !l(i, !'=i'5
::xtcrn;.d, by utht.:r 1. X\, lli. li--18. l20-i. l2_i. uo. Fichre. Joh.urn Gottlieb. 19
.d.1'1 11\>. I'-)-. 198. _::-_;, 2H2. _.:;12.
6H. l (JlJ, l _:;5, l 'ih- ..lh5--lJ. 582-.l. l!_;. ll-l 1-lii 11-. lSl. 18').
!H l
i21. -!-15. -1-s -!l- -llS. !21. ::i_;on .11--l-l h. _) l 8, .120. 565-<l .. 10_;. -l l I.
El Cid. 21 'i
dcmocr.tric 2-6 l l 2 . . f_; - -8, -! ') 1. -! 5 2
of busini:ss life. 15() Elt:atic modes of rhoughr. -!O.l. -!"'59
conrr.1srs. diminishint-:. 5S2--. -!.10 clt:mocr;.niz.1riun. functional. l _;!-5. -L25 concept of. -181-5
.1/.111 proct:ss-reducrion
Cordier. 7'farhurin. -iS. l l (; dcrendt:ncit:s. 2_;_;, 2_;-, 21.l. _16{), }: . FlachsLrnd. Caroline. 21
diminarion conn:sc:-; 265-L 2-0.
C(lf!lLillc. Pierre ! () !02 !il- ! I) FLrndt:rs, 196. 20_:;, 20(1. 221. 225. 225. 2-9.

Cossnn. S-! Dbe<trtcs . Renl:. -!-2 -! -. -!-') 285. 2SS, 29(1. _; lO. _:;-!- 5-19. _15_.:;
.;11 ..1..:.1 _)+-i
0-brquis de -s dcrachmt:nr tlaruknce.. 5 I
cmb,1rr.1ssmenL ')I. 52. (i(J, 1. 98. l()L),
Coult01L G.G. 5YJ--l0n dt:\"dopin.:-: counrrit:c:. l!l) Flauhcrc. Gusr.n e, .j(J 1
li-i-l'!. lT. 1-iO. 1!2. l'il-.:'. 1'5'\.
coun:. 22.l . .19-L !5) <..lcn:hipml'.nt, soci,d ,!'1--6n, -i81 Florcnct:. l SH. I SlJ
160. 1-8. l Htl. 392. -il-1-..".'.2. -!_)I. +H
conduct. -!2 Didcror Deni'.'>. J L), 2') Funrnnt:. Theodor. _10
rhrcshold frornicr of. (10. -120. -122. -!25
nuhilir; . .1,, nobilir; diffl'.rcnriar!(Jn. _;h- -l.;ll. !50-1 hlrhonnais. Fr.msois Du\t:rFt:r de
.J", dtliGK}. shamt:. rcf"'UgflH1Ct::
mtioru!iry. -!0-! .li foreign 1"'\olicy. -! l 0
emoriuns aft"i.:cts
srn:icty. 1-L l ), 1 2-L Y>. -!-. h.l. 8h. !Oh. f):.1:,:,L.i C.i:1,1;:, ').::, psy meuphor of. -! 1(1
En:pirL sryle. 109
129. 1_;c;. l'\11-l. l'i'\. i)I, lS--')l. disrincrion (1'1 l)() 10'1. 128, U--\lf, 213. foresi,dit. i.;_;, _:;-5. 5-8-8..".'.. 58!-5. _;ss. 599.
Eni'cls. Friedrich .. ;(11. '5) _)n
258-9. 2+!-'5h. 5X--9-. -101, -!l-. _;8_;-5. _195. -!2!. -!_lP. -H6 .;(l.i. -111-. -1_;11
En!'Lind. ! 2 2-i. 2'!. W. -iO. (10. l l). 1>'5. 102.
-!20. -22-- diY!sion or' bhour. diYision of socl.d forcsr clearance Jt:furcsrnrion
lS-. 18S. 11. l'!O. 192. 1'!-i. l')S.
r'uncrions i(nk -!l), 58-60. -8. 82. 85. 88-9.2. 9-.
counc-.-.,y. -''" l'J6. 2l'). 22'5. 21;1-- . .:'Sl-501 . .'T.
cuurric-r:-i. l '5. 26. h-. J '5-. 2':Ji ..;61. _;-o, di\"ision of soci.d funcri(Jn:-i. 102. I - 2, 198. 10--lJ. l.:'S
5-!8. 586. !20. -l.26. -i.28. l.1-!-'i, +!0.
20'1-- 21 o 22h 22;..;, Fouqutr. 9-!
5-!--i->n. 552n
!2). 2"1_; 2(1. 2hS. -r. 2:A,
!Oh
Fowlt:s. L \Y'_, _; l .2
Cuurrin. r\nrninc Jt:. -t)_ 82. 8). tJ 1. .2S2 28-. 2l)- ;(lo. _;o.:,. _:; 15-20. Erasmus. Dcsiclt:rius. -!- -52. 60-9. -1. -()--
Fr.1nce x. 12. 15. ll)-2U. 2-l. .>>. .ll-!.1 ...:;'5.
lOl-2. W8. ltl'J. ll'i. 12!. l_iO-l. .;!i. 5+! ::.hl. _;(1---0. _178. _;-. 60. h2. 1>5. s--'!. 92-S. [()_\. 11-.
811. 8'\. '!l. 101. 110-l l. 11-1-l ).
1.15 ..11-C C..8(l, 50 l. llj l. _.:.92. !00, -!02. 1)0. 182. lS-. lS'). l'J2-l1. 20-l.
122-5. 126. 1_)0. 1.1-l. l_)()--.
_;60-l. 5-0-1. _;-:; 58--9-. -!lh. -!2- !.29. L;_;, l.;9. i-il. -i-f5 21!. 2..".'.5 2-!..".'.. 2-13 . ..".'.-!8. 2hl- .
l-10-l. l-i_i-8. i)l. l'i_\. l'i'! .. ;(I[.
112. tlH. l.2.;. !2-1 Donatdlo. l.SlJ 506-l!. 525-62. 58(1, _;r;-.
'i26n
lcourtb}: xii. 10. 2_< 29. Dopsch. Alfred J lJlJ. _2(Jh, 209 101-2. -;_i'\
rdar!onshir's. _;;-.; l, _182
"' )-!. :;--8. 61-.:'. 6-1. ii8-'J. ,.,-_l). Dn.:ux. huLbc of. _.:.02 French 6. l l. 15. l!. -!-. 66. 95.
-!30-2. -!56
l 1-L 165. 182. 252-_;, 255. 2)(), YJO. driYts. dri\"t.:-controls. driYe mouldin. xv, '!-1. %. l90. -!.;_;
Erhiori.1. led. i<is. l'N. 2.:i_;
xviii. Sl). illi. lil-. 109. 117. 1-il. Franci;1, Dt1chy of. Dub:>; of. 19(), ]:(l.). 110,
Europl'an 55ln
L'JzJhtt' I+!. l '52-.i. l 'i'i. l '58-GO. 161. I 258. 260. 262. 311. _;,12. 559
'"' .d.>r1 evolution. biological. 5+!n
Crl:cy. Barde of. _l-i9 1-2 l-8. lHO. 22!. 250. 235, 2-il. !:.:. .du, t.ksdopm(:nr. srn..i,d Francis I. of France. 193. 262.
Crusades.-!-. 21 i-20. 2-;9. 5,15 2-!.2, _2 .J) . ..".'.50 . .25,;, 2-0. 369. 371. txternal consrrainrs consu,1inrs. exrcrnal
W'J-lO. _1'5S
culture g:. f::.:rl:ffr _;-_l-S9. . _.:,q-_!lL .i16. -!21. Franklin ..-\lfn:d. '521 n. '5.2lnn. 529nn
- -i29. 15"i. -i-!3. !-i6 fonrnsy. _;-5_() Franks. 2.?8
Dryden. John. u; t"t.:ars. xi. xiii. 98. 10-i-5. 10-. 121. Ll-L _:;-5, eastern Frankish area, 200. 2LL 5_;5n
1..fancin,:.'. 1 l t) .. -tS2 2-i(>. _:;q8 _1-<1 _;s5 ,fl 1. --118. -i 1CJ. -i20. -121. wc:-;tcrn Frankish arLa. 20.1, 2l_;-I S.

D.1n\ in Charks. '1+rn Dlimmltr. Ernsr. :;_.:..2n -l2L -!.11. +!l-!. )_)l-2n 2 l ')-20 . .:'.111, 25'\. 25-. 21i2. 266.
560 The Cil'i!izing Prr1cess Index 561

20-. 208. 2 7 --302. 508-l l. .i28-9. Gracian, Balc.isar. 58-. 5-! 5-011 Hugh of Sc Vinor. 53 Judd, Charles H
5,)n Greece. 228, .:; _:.; '"'."-8n Huguenots. 342 Jun:nal des Ursines. _;55-6. 358
Frederick II. tht Great. King of Prussia. Greek OrthoJox Church. '" :m;/cr Church Huizinga. Johan. 1-i-i. 16-i. 16:-. 52'n
12-I-. 192. 2-i0 Gut!fa. 25 I. _;9_1 Humbnldt, ,-\lexander rnn. 25 Kanr. Immanuel. 9-10. 1.1. 1-. 18. 2-!. ."-3-i.
-i-s
Frederick \Villiam. Grem Elecwr. !8-. 258 guilds. crnfc _;26 Hundred Years War. 278. 293. 2':!!. 295.
299-302, 3-lS. _)50. _)51 Kern, fricz. 5 _12n
French Rernlution. 12. 2-. -i.O. 80. 89. 190. guilr. IO-i, 152. !6-i. !68. -i-i.1.
2-i2. 3 JO. 31- . .126 . .162 . .j() l-2. -i25 Guisrnrd, Robert. 215 Hungarians. Hungary 200-1, 203. 211, .158 Kirn, Paul. Ir. 199. 20G
Fr,m:/:,u'.i11gt., J,t. mzJ,__-r constraints hygiene. 97-8. 107. 11-i. 127. 550-2n Klopsrock. frieJrich Gottlieb. Ii. 1-
knift. -i9. 50. 51. 58-9, 71). -s, 88-92.
Freud. Sigmund. I 60. ! l () habirm. xi. xiii. xvii. 11-. 1-i I. 2-u. _i66-9.
id. -i09. -i!6 10.1-:-. _175. -420-l
Freudenthal. Gred. 525n 3'8. 385. -Hl8. 41-i. 5-!7-Sn
ideal rypt. -i8 l Knigge. Adolph von. 23
Fr1J11dt. .136. _:;-to. ?i60 1-!.:/?its 1f G11r1:! 85, 103. 106, HP,
illegitimacy. l 5-i-5 knighrs. knightly sociery. 6_i. 8-. 163-9.
Fulk IV of :\njou. 281 132
als1J marriage 1- 2-82. 195-i. 2 I-i-20. 2_i0. 2.i9-i2.
Fulk V. the Younger. 281 Habsburgs. 18 7 , 219. 262. 26'5, 299 ..108-IO
Imberr de la Tour. Pierre. 5-i l n 2-iS-55 ..31-i. 33!. _iii!. _FO, 392- .
functional <lemocmtizarion .b- Jemocratizarion. :1/so German-Roman Empire
lnca empire. 5-iOn -iO-i-5, -112. -i2_;
funcrional 'half-edurnreJ'". -i3 l
individualization. 63, 232. -i 7 9 Kiibntr. R . 5 28n
functional dependence, 31.). 5 1- ..\18. 370. Halphen. Louis. 5 36
industrial society, 42. 231 Kolb. G.F, Sl'n
_i 5. -il8. -i29
1
Hammtr. Heike. xvii
integration. 450-1 Kretschmayr, H .. 5-i2n
funcrionalism. critique of. 5-i?i--!n. 55 ln Hampe. Karl, 205
inre!ligenct, -lO-l Kulischt:r, Alex,mJt:r and Eu6cil. 5 _1-in
Furnivall. FJ. 52ln Hanoraux. G .:\.:\ . 5--i2n
incelligencsia, 9-32. 35-8. 42-3, 63-5, 96 K1d111r. x. 5-2-:-. 30, 31. 3_;, -L3. 6-i-5
happiness. 5 _)()
interdependence. xii. 116-I-, 128-9, !7 7 , and German idtnriry. 6-8
:!11 .>cl (salt raxl ..i-i9 Haskins. C H , 2-i-i, 389
180, 196. 205-8. 222. 22-i-6 2.1-i. and Zfrilis;1hr1n. 6-11, 51'"'."-18n
G.d.i!:fl Della Casa. Giovanni Hauser. Henri . .i 11
235. 23-, 2-d, 2-LL 253--4, 269, 2:_;.
Garland. Johannes rnn. 5 3 Hegel. Gustav Wilhelm Friedrich, 366 labour. division of. division of social
2"5-6, 300, 315. 51-. 319-20. 522.
Gascony. 2-:'9. 559 hegemony. 201. 260-2, 2-H. 31 5. 318. -!32,
32-L _;2-. 350, 331, ?133, 5-U, _; ..u. funccions
Gedoyn. ,-\bbe. 88 Lt Bruyere. Jean de. 596. 39-. 598, 5-i6n
3-i9. 352, 368-70. 575. 379-8 l.
GuJJt.imch:zf!. -!53 Henry I. Duke of Saxony. 200 Lafaytrre, Madame de. 155
386-97, -iOO. -iO-i, -409. -ill-U. -419.
Gtoffn:y Plantagenet of .t\njou. 281 Henn I. King of England. 281 La :\lesangi:rc. l 25-6
-i22-3, -iT. -i29. -i3!. -i.o5. -W. -i39,
German language, 6. -. 11-1.i. 17 . 22, 66. Htnry II, King of England. 28 I-i Lancaster, house of. 299
-i-i5- 7 , -i81-2
92. 95-6 ..j_;_; Henry 11. King of France. 31 l land-ownership, 2 l-i-20. 235-6
chains of. 370, 380
Gtrm<1n literature, 12-1"7. 2S. 6-! Henry III. King of France. 60, 535 t/'11;.:, 196. 3-42
incernalizacion. -!-i-i, -!77, 478
Germanic tribes. 211. 228 Henry IV. German-Roman Emperor. 262 f,lllJ;lh d ,,jj_ I 96
inctrweaving. 205. 207, 226, 238, 311-12.
German-Roman Empin: (Holy Roman Henry IV. of France. 126., 182. 187 La due de. 5-i6n
316. 366 ..167. 3-5. 387 . .JOS. -i3G.
Empire). 195. 201. 20i. 229. 261-2. ?138-9. _;.12. -iO-i
-i-i !. -l-i3. -i-iS La Salle, Jean-Baptiste, 80-3. s-. r. I O(i.
26.1-7. 273. 286. _110 HtrJer. Johann GortfritJ. l _i. 1-. l '). 21 108. 109. 112-13. 115. 12-i-5. 126-
inrnlvemtnr. -iOO
Germany. x. I l-.10 .. _i-i, r. 92. l 03. I 8-. Hermann. Conrad. 518n 151-2. 133-L u-. 1-il. ni
Ireland, 263
190. 192. 261--. _1_12. _139. -i.1-1, -i-io. Heroard. Jean, 159 Larin, 11, -i-. 5.i. 95, l-i3. I-i5. 332
Icalian city scares, S42n
-46-i Hinczt, Ono, 533n
Iraly, 60. 65. 66. is-. 196. 198. 215. 22!. Lavisse. Ernesre, 3-iO, 3-i 1
-!5:) Hiccict empire, 212
299. 358 law. --!1, 13.1-5, 290, _1_12, _1-:-1, 5.1H-9n
gescurts. -!9 Hobhouse. LT. -158. -!61 laws. scitncific, xii, xviii. 13-L I_;5, 26--i. 5-Un
Ghiberti, Lorenzo. 189 Hiijlichk,it courcesy Jacqueron. G . 5-i2n Lefebvre des Noenes, Commandant. 55 1 n.
Ginsberg. :\!orris. 526- 7 n Hohtnsrauten. house of, 26-i. 26- James, William. 550n 538n
Godefroi de Bouillon, 219 Hohenzollern. house oL 258, 26'5 Japan. 5-!0n, 5-i7-8n Lehugeur, P, 5--i 1n
Goethe. Johann Wolfgang rnn. 13-I-i. l 5-19. Holbach. Paul H. rl'. -i0-1. .j.j- feudalism in. 533-in Leibniz. Gortfried. 11. -P3-i. -i 7 5
23. 25. 26. 28-30. 480 Holy Roman Empire "" German-Roman Jean de Buel, 16-i-5 Lessing. Gorthold Ephraim. 15, 16-17
Goldenweiser. :\lexandtr. 5-i-in Em pi rt Jerusalem. 215-l 6 Lenrncinism. -B 1
,_good sociecy", -!25- Homeric sociecy. )_;-in Joan of :\re. i() 1 Levasseur. E , 5 3 5 n
Gothic, 25 l. 593 homr1 d:ms11s. xvii, -:!"70-6. -i--:-9-81 Jodl. Friedrich. 5 l 7n Lewis. CS, 539n
Gofrschtd. Johann Christoph. 11 Houssait. :\melor de. 5 3Sn John, Duke of Berry. 296 libidinal impulses. _)/7, _o81, .JOO, -403, -i09,
GouJsblom. Johan. -132 Huberr II of Vienne. 292 John, of England. 28-l. 350 .j 10. -iu.
-i22. -433
govc-rnmtnc srncts, srnce-fiJrn11.1cion Hugh Caper. 203-i. 25- John [I. the Good, King of france, 292-6 Lichtenberg. G.C H . T
562 The Ci l'ili ::i 11g Pr1Jn:ss ll/{kx 565
Lipst:c Sl'.ymour is-. 165. 1s11. i'!'J. 2s1. 252_ -' 5 monarch). 195. 19lJ. _;o-. _;I . _12-i. _-12--9. nobility
L(H.wc.
. Adolf. xv, 5-i8n 589 5.10. _;_;I. _;_:;.1. 5.16. 3-iO. 5-1--9 ..151. coun!). 5-L G_i. (i6. !28. ISO. IS6. !8<J-'Jl.
London. 299 . .1Ul-2 lil hU-- 2 352. 353. _;5,i, _;8-, _196 2-i8. 5-(). 586-9-. 599.
Auguste. 28_-l. 5-! l n .J\f1 h:.:droum. hcha\ iour in: fork: knife: monasct:rit:s, monascic lift. 1.18 -il-!. -!20.
Lorr.iinl'.. 196 natur.d funcrions, nose-blowing; money. mont:rnriza[ion. 192. 1 206-8. 212. French. 20, _ll-5. -!2. 86. 96. _;2-:-.
Loe f'erdinand. 5_-16- -n sruon: spitting: tablt nl<l!lflers 218. 221-_l. 228. 2-!0. 255-i. 288. .l.15-t3. -!_1'5
Lotharingia. 21-i ,\Lnnheim. Karl. 5!8n. 5-!ln .10_1, 51-i. .125. 32-!. ?13-i. _1_1-. German. l). l '5-20. 22. 2-. 29. _)_il)-iO.
Louis I. the Pimi:;, King of France. 199 ;\fared. Etiennt:. 2l)') .160-2. U!-5
i5'J-GI. i-l. _i95. -US. -!-ill. 5-ien
Louis IV. King oi" fr,mce. 2()2 ,\.[arie. LLlughccr ot" Charlt:s the Bold. 1- .1. monopolits: t(:udal. warrior. 53. 65. 191. 19.1---!. 20(l.
Louis VI, the Far. King of Franct, 20-L ,\.farit.: de Champ.1grn:. 5-lh--n 2-!8. 2--!. _:;02, 10-!. ;21-i. .131-2.
economic. _16. :Y-l8. 30(1. _:;-:-o. -Ll6--
258-62. 2-8. 2-9. 280. 28 l. 28N. Jean H _155 5.15-6. 5-!9. 561. _189. -12-i
mechanism. X\, 25-. 265. 26-!. 26-.
550. 5-15 marriage. 15-l-,. 2(10. 299 ..;.)-. ).2811 gradi:s of. 2.10-1
2G8- -s. 2'!<J. ,; IS
Louis VIL King of Fr<rnce. 285. 286. 5.-10 ,\larx. Karl. -158 .. J(1l. -166. 55_;n J" .;/F, court socit:cy: J, / 11r;l;/c1.1.
of physical forct \"ioltnce. xiii. 169. 19_1.
Loui; VIII. Kini' of France. 28(i. 2<JI :\Iasaccio. Tommaso di GioYanni. l .S9 ./c mh.: warrior class
268-91 2-i. 2-.1 . .?''75. 2-:-- . .10.1-13.
Louis IX. Saine King of France. 286, 291. machematical formulations. )-i0-1 n :/ 561
,\la,hieu dEscouchy. !6-
3 I . 3-U, 355. 560. 365. _;69-70.
li ihlt.rsc dr: rdh. _;-, 96, 32-!-6. _;55, ?>61
1
296 s-2-.1 ..1-8-80..186. 388 ..191. -iO-L
Louis X. King of France. 2L)5 ,\laupassam. Guy de. -ill! nomadic tribes. 2!0-12
MauYillon. E Jc. 1 l. le. I'J
-il.1. -!16. -12-. -!29. -i.1.1, -i.15. -u-. NormanJy. 206, 21-L 220. 2-9-85. 28-. 2H8
Loui-; XI. King of Fr.met. _;o-. _;os. ..-158
l\laximilian. Holy Ruman Emperor. r-:_;, -Us. L19. -i-i 5-6
Louis XIL King of Franct. _.;09, 5'58 1\ormans. 199-200, 202. 2().). 215. 215, 219.
-'08-'J ofrult. 268. 2-i. 2--i. 2-s. 289. 290. 5-!2.
Louis XIII. King of Fr.mu.:. 159 ..1.18-!0. 5-!2 262. 285. 535n
.Mazarin. Jules Cardinal. _15<1
.1.1_1
Louis XIV. King o( France. 11. 5<1. -!2. 85. nose-blowint:. -!9. 56. -5. --. 121-9. 526n
meac. or'. '10. ')?-;, t)O. <-)CJ-I 0.1. or rnxarion. 268. 2-_;. 2-s. 2--. 515 . .11-.
126. l 2S. 255. 290. 298. _; l - . ?i.'"i5.
582. -L20. 5.2.1-!n. '125n _l-L1 ..1-i-!-62, 565. 5:9, _188 ..195. Ogburn. \Villiam F. 5+!n
5.16 ..-158 ..1-!0-L -!05. 5-i-n
.\ftd ici. house cl. 180 -t2-;'. -i29. -U_l-1. !56-- oliparchy. 2- .)
Louix XV. King of France. -Hl. 8.1. 189
.\k/i,1.1/ l/-,;1,,-f3,,,J. 1-_;-s2. _;')e. i2 I tr.msformacion of pri\"a[e inrn public. Oritnt. _186. -!_; 1. -!-itl, 5-!-in
Louis XVI. King uf [ranee. 189
I\lterscn, Trc<H) of. 19() socit:ralization Orleans. 259. 26!. T<J. 28-i-5. 296. 299
Louis. Dukt: of Bourbon. 296. 29- Orleans. Gasrnn Duke of. 5-i2
merchancs. 11. 2-0. 52'1. _)_.).-!, _;86 .\fonrnigne ..Michel dt. 52-n
Louis. Dukt: of Orie.ms. 29-. 298 Orlt'.ans. Liselurtt: Duchtss of. 112
.d.ui commcru: ,\londhfry. house of. 258-60
Louis of :\njou. 296-- . _15 l Om1 L Holy Roman Emperor. 200-l. 2-i6 .
mcrcantili:;m. _.:;- .\fon[mortncy. Henri. Duke of. _1-!2. -!0-!-6
!oYe. 2ll)-)() 26!
l\fenmt:t:. Prosper. 2) >.fontmorency. house of. 258
Lowtm:hal. Lt.:o, 5.1-n oucsidtrs, 582. -150
l\fcrovingian i:poch. 199. 12 morali,y. 12-. l-iO. l-il. l-i-L I-iG. 15-
tower scrarn. lL 88. 216 ..152. ,180-_l. _-)8h. O\"erpopulacion. 212
,\lcrrnn. Robcn K.. 5 5 In Johannis. 1!6--. I-i8
.191, 596. -i.2- -ii. -HO
.\1iddk x-xii. '12-hO. (1]-.), ()<;. 68. rnu[iLuion. 1(12--!
Luwit:. Robtrt H. 5-!0n. 5-!5n pi.teification. -!2. -o. i05. 19U-i. 195. 2-16,
-II. 8-. 100-L lO--S. l l'J. 150. !62.
Luchaire. Achille. l62-i. !6l). 2()_;_,_ 2_;11. 25-1. _;I I. _;89. -i U. -! l 9-20. -l2_l-6
I<i-i. 1-2-1c. is-. lS<J. 19'5-.>62 .Fl,
2-iO. 2-t-. 25-..::..;..;. 285 naktdne;s. l !8. l_i8-!0. l-9. --il -18 pain. endurance of. _;-:- 3
3i9.1. -!21. -!2_1, -!2-!. !2'1. L1-i. -!35 Papac). 529
Lucian 62 ,_,./u; modest:: shamt
middle c!as:; .. bourt:t.:uisic
!'\a1'lcs. 215 Paris. l 'J. 2S. _16. s-. I 10. 1- i. l S'J. l %.
migracion. lhl. lh.2. 210-l.2
1'apolcon L -l_i 261. 28-!-5. 28-. 295. 295. 299.
,\fachiaYtlli. >Jiccofo. 5!5n. '552n ,\lilrnn. John. le
_101-.2. _)06. _)-iO, 5-l l. _:.;--!-. _;5_1. -L;-
,\laclcod. \Villiam. 5-!(ln .\fin1Jt.>.ill,(tr. xii. 2.l6-5h. "na[iou:nrrism . 551 n. 552-.1n
parliaments. 195 ..151. _;_;6, 55 ..f
;\bgna Carca. minstrels .\li1mu.in,(u na[ional char.icctr. 52. 9-i. -i2--8. 5-i--8n
Parsons. Elsie Clews. 5-i-in. 5 50n
;\faint. 28-i-5. 291. 29.1 l\fir.ibeau. Vietor. 3-t-6. -! l nationalism. !65-5. 55 l-2n
Parsons. Talcon. -!5_1- 7 ..f66. -!69-70. -i-:2
,\Iajorca. King of. 291-2 Lton. _))(), _1:::, 1 "nawral funcrions . I O'J-2 l. l .'15. l .18. I 50.
pattern \"ariablts, -i 5 5-i
,\lalraux. Andre. -i02 mi.ui df/11:inici. l 59. !60. !80 ..j()_)
ptasamry. 89. 100. i-_i-80. 21--18. 2-i2.
manners: mubility. social h8. 2_1- nm1rc. 155. l-i I. l '-i. _i6G. -i l 9-20. -i-i2.
.182. 589. _;91
cm.Its of. 5. 20 ..12 _l-! -il-5. -52-62. 6_1. mocbn. '5!. 6-! l !11. I I_;, 1_;-. I-il. 1-i'', -!
Peru. )')I
68- -2. 80. 88. l)l. er. !08. 155. 189. I 52 na\"y. -l_).j
Pt[er;. B . 5 2'Jn
''c :dui dtlicaq: shame nttds. conscellation of. _19-l Peri,-Durnillis. Ch,1rlcs. 89. !68. 5-lOn
1n Middle 52. 5-. 58. G0-5. -o-2. Mohammed. 2 l l i\it:czsche. r:rit:drich. 29. 52. 95 Pcrn1sev;ki. D ,\[. 5_1-i-6
8'J. '!I. 92. 95. !08. I U. l 28. l .\.'i. I\folitre. Jean-Baptiste. l' nighcclochts. 159-!0. 526n _:.;-') 2. -! 5 _1-!
564 Thu Ciz'ilizing Procm Indo: 565

Ptyrat. Jean du, 181-2 Prussia, 14, 15. 266. -!34 Romains. Jules, -!02 social funnions 'rolts. 25 l . .315. 318 . .326.
phenomenon, concept of. 2'50 l'sychoanalysis, 106. 120. 12-. -iO') Roman Catholic Church ..kt 1mdr:r Church _;'52 . .36' ..109, _::;-s, ?1'9 ..;si. _188.
Philip I, 1'.ing of France, 281 psychogenesis, xi. xiii, xv, 28, 109. 119. 127, RNllt.111 de.' 11-1 R11Jt:, 53 !0-i, -i39
Philip ll Augustus. i:r. 2-17. 28-i-6. 29 L 251. _j()7. -i 11 Romi.lf1 Empire, 222. 22-!. 225, 228-9, 53-n social processes, .'\9. 65. '2. 101. 205.
_;_;o, 3_;2. 3-d Sit- :.dso sociogenesis .;/s11 German-Roman Empire 20 7 -11. 252. 255. 26-i. 2-:;, _312.
Philip Ill, King of France. 291, 295 psychologizarion. 6'7. 39'-i 1-i Romantsqut, 231 ,016 . .'>29 . .'>80. -!08, ll". -i-i9-51.
Philip IV, the Fair. King of France, 292. 293. psychology, xiv. lT, -iOl Rostovrsev. ;\lichael, 5 3 7 n -iS l. 5-i-in
295, 3.j'? hisrorical. -i06-'7 Rousseau. Jean-Jacques ..o4. 35. 151 social system. conctpr of. -!55--. -166-8
Philip V, Duke of Orleans, 286. 298 Ptolemy. 455 royal mechanism . .320. 32--8, _;36, 596 sccieralization. 272-.3, 3-i-L -!_1_1,
Philip VI. Dukt: of Valois, King of France. Puritanism, -! 17 Ruckerr, Friedrich. 5_; 4i6
291-2 Russell, John. 53, 5-J sociogentsis. xi. xiii, xv, 28. _11-4.3, l 09, 119.
Quesnay. 38 12-. 152. 15.o. 158. 160. 191. 21-i.
Philip rhe Bold. Duke of Burgundy, 286. Ryle, Gilbert. 553n
Quirzow, house of, 258 2.-!_::;, 25 L 252. 256, 25-. 311. 318.
296-8. 351
Philip of Evreux, 295 _::;20, 3--!8, _15-L _175, 389. -!o-.
Racine. Jean Baprisre, 12, 16
Sr Bonavenrure, 59 .j 10-11. -i 16
Physiocrars. 3 5, .'> "-9 Ranke, Leopold van, 358. -iO-i-5
Sainr-Simon, Duke of, 3-iO-l, 3-i3, 400, 401. sociogenetic ground rule, xi, .:! 10, 5.11 n
Pirenne. Henri, 228-9. 535-6n rarionaliry, rarionalizarion. 40-1. 92. 97, 99,
-i05-6 sociology. xiv, -i(F, -!55-7
plagues. 5 _1 l n 10-L 10"7, 152. 159, _165-7. 3T1
Sand. George. 2-i2 :\merican. 550n. 552-3n
Planragenr. house of. 281-L 293. 295 39 7 -i 16. 4-i 1. 5.'>0n, 55 ln
pleasure balance. pleasure economy, 378, .j.j 1
Saracens. 21 _1, 215 Socrates. 115
coun rarionality
Stt' ,;/51,
Poiriers. Barrie of. 29.3. 294 Saudi Arabia. 591 South America. 5..J9n
Raumer, Karl rnn. l-i3. l-i5-6, 151-.'>. -!14,
Poirnu. 192. 285. 350 Scheidt. Kaspar. 64 Spain. 196. 215. 358
-i-il
polirtsse. 3-! Rayna!, Guillaume Thomas ..j() Schiller. Friedrich.\.), 17 19. 22, 159, 189 specialization Jic <livision of social functions
real rype, -iS 1 Schomberg, General Frederick Herman, .j(l.j .12. -! 1.1
"polyphony of hisrnry". 2-i 1 /(o,;/politik. 552n Schubarr, Christian Friedrich D , 19 specutorship. l 70-2
Pope. Alexander. 12. 16 reason, Stt- rarionaliry, rationalisation Schulrz. Alwin. 5 2"-Sn speech and usage. 92-". 189. 190 ..'>8'.
ropularion growth, 208-14 Reformation. 339 science. 5. -i06 --!.21-2. -!2-L -!25
positivism. -t-:-1 relational dynamics. Stt figurarions Scodand, 263. 266. 286 Spencer. Herbert. -i58
power: relmive auronomy, 366. 5-Bn 'second habi(US Spingarn, IE . 5 .10n
balances .frc power ratios relarivism, xii secularization, -i 1-! spirring, -i9. 51. 57. 129-35
chances. 193. 26-i, 269. 270, r 1, 425. 446 religion, 6, 8'7. 168-9. 31-i S,fhs1::ujng1., ;m:kr constraints spoon. -i9-50, 58-9, 73. . '8, 79. 82.
posirions, 198 religious wars, 33-i, 3-12 self-consrrainc. Stt undi:r constraints 89-92
stare-formation. xiii. 191. 25-:'-562. -il-L -!52.
ratios. 2-0, 282. 312---!-L 3-i 1. 3-46, -!?)6 Renaissance. 60-72. 126. 18H-9, 226. 393. self-rtsrrainr. s,, constraints. stlf-
relations. 69. 18-, 23-, 2-0 . .00-i, 506. 3i9. 473 -i81
sex education. l-!2-5-!
-i 11, -i28 repugnance, frontier of repugnance. rhresholJ stares. xii. 19-, 20-i. 2:-. 30-i. _; 10, .360. 262.
sexuality, attitudes rnwards. l-i2-60, 180, 230,
of repugnance. 51. : 1. 86. 97-99. .j 12, 429. -136. -L\8, .j.j()
social. 23-i 2..J6, 2-i8. 2-i9. -117. -i26-'7, -i33. -i-i-i,
struggles, 2-i 5, 316. 3 30_. 35 1 102-3. 106. 11-1-19, 121. 13-i-5, Srares-Gtntral. 293. _;31
529n
prestige, .'>3'. 395, 396, -i25. -i3L .j.\5 140-1. l-i6. 159-60. 162. 1'72. 176, srnricism, .b' process-reduction
Shakespeare, William. 13-1-i, 15. 16, !76
priests. priestly class. 3.'>0, 332. 41-i 1'78. 392. 4 l-i-21. -i25 Stephen of Blois. 281
shame. x. xiii. 60. 71. 86. 108. 109. 111.
"primitive societies. 5-l, 113, 1.35. 160. -W3. repulsion, -BO Srnelztl. AJolf
l l-i-19. 127. 13-i-5. 1382. l-i7-8,
1j06, 'i 19. -i40. 5-i-in Re\olution. French, Ja' French Revolution Dr:wg. 1.3-1-L i-
S111n11 m1t!
150-5, 158-60. 162. 172, 179. 180,
j11im,, 11'.r jiCJll'S de /is, 296-99 Richard I. rhe Lian Heart. King of England, Sulpicius, Johannts, -iS. 140. 52-in
.'>65 ..'\85, 'll-i-21, -i25, 431, -i.\3, .J44
process-reduction (rht conceptual rtduccion of 28-i. 293 Sumner. \\:rilliam Graham. 54-in, 550n
fronrier/rhresholJ of. 60, 118, l-i2. -il-i-21 super-tgo, xiii. L13, 153, 160. 2-!1 37!-5,
processes ro srnric conditions). xii, 156. Richelieu. Cardinal. 338 ..'>-iO. 3-i2. 404-5 1

s,, t1fso "natural functions": embarrassment: .F'. 380, 381, 585. _;s:, 390, _397 .
.\55. 55ln Rieux. Counr. 40-i-5
repugnance; modts(y _;99, 403. 408-i 10, .j 15-16. -ilS. -i20.
a!Jti concept form;.ition roht, d, rrJ,
!lfJh!dSt: dt:, frt nfJh!t:Sfr

Roberr. Count of Clermont, 296 Sicily, 215 -!21. 426. 428-32, -B-L -!55. -!---!-!.
"progress". 132. 226. 25-i. 365. -i52. -!62-3
Robert II. the Pious. King of France, 259 slaYery. 226-8, 5 .F-8nn -i-i6, 5 30n, 5-i6n
prosrirurion, 148-9. 153
Proresrnnrism, l-i3. 188, '-117, :i21. 5-i8n Roche, Sophie de la. 15. n-2 Slavonic rribes, 203. 211 surveillance. 3-i 1, 3i3
Proust. ;\larcel, -iO 1 Rochow. house of. 258 Smelser, NeilJ, 55ln surviv<d units. 382. -136
Prmence. 196. 286 Rococo. 189 social change. concept of, .j 5 2. 4 56-", 5 5 1n Swabia. 1. 20.j
566

Swt:dt:n. 5-!0n VL:rdun. Tre.1ry or. l l)() women. l-!2-()0, _)-1. _)<)(J
\Vorld \\.ar IL !h!
S\\"itzt.rland. l LJ_2 Vi.:rsailh:s ..1-iO-! in court society. 2-l5-50 255
\\:xin. 2tn. 28-i w(lrk. 9. l 2H-9. 220-21
r;_ihl:: m;.mners. x. -!9-Sl. 5.1. 56-9. Zarnckc. Frinlrich. 150. I 255. 52?-\n
\ienrLl. -i.2- class. industrial. StJ. -16 l-_1 Zimmcrn. :\!fri.:d. 22-. 228
2-109. 5-21-2-tim \ iolt:nce. 1) - . _; l -l \'?urld War L 9. !Oil, i.i'J. lS-, .iOO 7irkbria. Thomasin nm. '5_1, 58
': .;/10 fork: knife: spoun
.J,r1 aggressi\'t:llbS: munopulit:s of
uho(J. 5-L .2. 10!-h. i lh, l lS-1\>. 155. 15-!.
sic.ii forct: \'iokncc: \V,:r: warriors
1-il. 1!2. 150. 15-. liiS. !SO ..iS.i.
Vi(Jllcr. Paul. .1!--8. _)')')
_192. -H0-2
\ irruc. 2.1. 2(1. l.;3
de 1-Li.utevi!lt:. 215
Visconti, Valt:nrina. 299
Tannhiiuser. 55-8, -2-). 9-.
Voft:h\t:ilk. \\'1.dtht'f \on dt.:r. 2_;8
Tasso. 12
L.lxcs. taxation. 5-. 19.2-.1. i 98. 25K 2(18.
Volt.tire Fr.rn<;ois 1\L1ric. l-i. 1.::;. 19. 25.

5.25. _1_15, 55-. 5-!-!-<1.2 10. i2. SN. 'Yi. 11-

Frcderick J. S+ln nimiring. 51


tt!eological modes of thinking. Vuirry. AJolpht:. 292. 29-L 5-tS. 5-!8
Thibault. "-!, 95. 'JS
Third Esrnre. l_l. 106. 52-L 52i. 52lJ, .150. Wales . .:'<1.i. 26<'>. 2N(1
\\'alter Habenichts. 21 'i
Thir'y Years War. 11. 20, 6S, WO. -i.i-i
\\.anderi n;.: Schobrs. 2 5 l
Thompson. Jami:s \Vt:.stfa!L 5_1.2nn. 5.1-!-Sn
war. l<12--o. 2-l..J. 21.J<J. 51-!. +15. -16.1
rime. riming ..
Ti.1d1:J1dihi!, 5?>. s-. 61. -2
warriors. warrior class. xii. xiii. 10-L I P6. 15-
T(innie.s. Fc.:rdinand. -! 5 5
rnrrun:, 162-_1. _1-1. _;-_;
162--0. i--. l'Jl-1. ir. 20'5. 2P.
22h. 228. 250. 2_; 1. 2_:;5_ 2-!-, 2-i9.
Toulouse. county of. .::-'.:}. 282. 286-K. -10'5
2'56. 2(1-. 2-<) . .28S. 289 ..12--i,
Tuur.1irn:. 28-l.
towns. 188. 220-1. .28- -8 ..
528-.12 . .1-H-(1, _1-0-1. _186-9--:-, iO?;.

tr.:dt. 15. _;-. 218. 2?18. 289. !l! "' 425. -!59
.du, commtru: warrior :-.ocieties. 20-. 2)2. 2.1.1. 25-:. 2-i<i
traffic. _168 25.1. 2---89. 29-. 505. 3 l5. _1h8.
rr.rnsporr. 22.1-5. 2K9
lri(klt: up. trickit: d_own t:lt-t:Ct::. . 1...ircularion nubilir:-
of mo<lds: contrasts. diminishing: washin.L: hanJs. 50. ")(). 1-. 1-!l
Jemocr.irizariun, funnional .d.1'1 Lurhing: clt:anliness
troub,1dours ..It:: :\iim:"-'.::in,'..;.::r \\lashingrnn. George. 5-l5n
Tudor. house of. 188 \\'t:hcr. 5.19n
Turgur. Annl' Robert Jacqut:-s. _;-, -!U. 'Sl9n \\'cbi.:r. .\bx. xiii. -!69. -l-2. ;-.::; 'S.1.)n. S.16n.
Turks. 211 'i-!On
\\.cchss!t:r. Edu,1rd. 2-!5. 2-ih. 2-18. 2'10
unintended consequences. _165-<1. S'S In
wedding cusrnms. l-i9-50
l.:nittd 265
Weill. H. 518n
LinireJ States of America. -!-!O, -i2H 7
\\eimar. 19. 25. 18'J
urirution, "natural funnions
\\:er\"tke, Hans von. 556n
l'SSR. SS.On
\Vesce. Richard. l l2
Pierre de. 2-!8. 2-!9 \\"illiam I. thc- Conqut:ror. Kin_t: of England.
Valois. house of. 195. 296. 299-.)02. _=\()- 192. 215. 219. 266. 26-. 219-85
vassals. l ')8-'). 232, 2.l5-h Wincktlmann. Johann Joachim. 19
Vt:ndome. Duke of, 5-!2 \Vulff. Friedrich l lJ
Venict. 'ilJ. W. 22-1. _i'ih-<ill \\'olzogcn. Caroline Y(Jll .. 22-.)

You might also like