The peoples of Europe: history, features, traditions, customs, culture, languages, religions, way of life. XV-XVI centuries in the history of Western Europe

Who are the Ukrainians and what do they want: problems of nation-building “Who are the Ukrainians and what do they want” was the title of a pamphlet published by Mykhailo Hrushevsky in 1917. In it, he tried to explain the desire of the Ukrainian movement to create their own state. Explain

This monograph was the result of the work of the all-Russian conference of medievalists of the same name, which was held at the Faculty of History of Moscow State University on February 15–16, 2012. Ethnic and proto-national discourses, as well as the practices caused by them in Europe in the Middle Ages and early modern times, are studied on the basis of extensive historical material. A special place is given to the factors that determined the specifics of ethnopolitical processes in composite and ethnically complex states. For historians, political scientists, sociologists, as well as those interested in the ethnic history of European peoples in the Middle Ages and early modern times.

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The following excerpt from the book Ethnoi and "nations" in Western Europe in the Middle Ages and Early Modern Times (Authors, 2015) provided by our book partner - the company LitRes.

I. Ethno-national processes: factors, results, nomination of phenomena

I.I. The problem of ethnic groups and protonations in the context of the socio-economic and political evolution of medieval society in Western Europe

The motive for writing a section of the monograph was not only the scientific interests of the author, but also the state of the issue in historical literature. Being the object of primary attention of ethnologists, sociologists and culturologists, the topic of ethnos-nation has a long historiographic fate, thanks to which domestic and Western science has a solid base of specific and theoretical, often controversial research. 1 The study of the issue today (I mean the second half of the 20th - the first decades of the 21st century) impresses with a variety of directions, many of which gravitate towards the development of biological, socio-functional, cultural and historical aspects of the topic. A very noticeable interest in the latter case to the problems of perception of the phenomenon and its image in the collective or individual consciousness of members of the ethno-national community, realized in the topics "image of the other", identity and self-identification of ethnic groups and nations, was determined by radical changes in the philosophy and history of the second half of the XX century. They gave a new understanding of the role and nature of the factor of consciousness in the historical process and epistemology, in particular, by overcoming the traditional alternative in assessing the relationship between matter and spirit.

In this stream of multiple multidirectional search, as the experience of studying historical thought shows, the emergence of extreme assessments, or the maximization of the significance of any one scientific direction, is inevitable. Such an attitude makes possible paradoxical (even with a correction for being “out of context”) statements in the form of the question of whether a group generates an identity, or do individuals who identify themselves generate a group? A similar impression is produced by the statement: “there is no commonality, since it is not perceived” ...

Obviously, the authors of such extreme statements sought to emphasize the significance of the "state of mind" factor in history. But reasoning based on the principle of alternative, which seems to have already been outdated by science, as a rule, simplifies the understanding of a phenomenon or process without being correlated, at least in the form of a mention, with a broader picture of factors, other approaches and other considerations regarding their analysis.

A specialist in political and state history will undoubtedly be interested in the arguments about “nations” found in the literature. One cannot but agree with the statement of the famous American sociologist B. Anderson regarding the national consciousness of the community, according to which it implies the ability of its members to understand and remember everything that unites them, and forget everything that separates them. However, the assessment of the nation as an “imaginary construct”, the existence of which is not only guaranteed, but also “created by the management strategy” (imaginaire politique), raises an objection due to the categorical emphasis, recalling the need to observe an integrated approach to the analysis of historical phenomena. It was the latter assessment that prompted us to turn to the controversial subject, raising the question of the role of social and political factors in the process of society's movement from ethnic formations to proto-national and further national states. Being a medievalist, the author could afford to analyze only the prehistory of such a phenomenon as a “nation”, at the stage of which, nevertheless, the basic conditions for the genesis of the phenomenon were laid, which thus allows concretizing the cognitive possibilities of such a solution to the topic, since it is the stage of formation of the phenomenon that can expressively highlight the deep components as conditions for its constitution and even further existence, its future strength or weakness ... In the industrial and post-industrial period, when the phenomenon of the “nation” will receive qualitative completeness and become a general fact, like a more or less balanced type of social development of modern countries or their parliamentary structure - fast-moving political events will push deep processes in the minds of contemporaries. In this situation, it may seem that nations, existing in a dynamic and rapidly changing space of a “short time”, as a sign of “citizenship”, really owe their reality exclusively to the efforts and abilities of the state, which, in turn, finds itself in the position of a phenomenon “walking into air, as in Chinese paintings, where the earth is absent. 2

The scientific correction required in such cases can be provided by an appeal to the scientific research methodology adopted today, the main principles of which are a comprehensive and systematic vision of the historical process, as well as the associated social approach to political and spiritual history. Having become the greatest achievement of the historical thought of the 19th century, all three principles have increased their epistemological potential due to the process of updating historical knowledge in modern times, which helps researchers with great success to capture and reflect in their "constructions of reality" the flexibility and dynamism of the latter. In the context of the topic of interest to us, among the innovations, we should highlight the recognition by the scientific community of the complex ambiguous nature of intra-system connections of multi-level components of a complex process; the possibility of leading or exceptional value of one of the process factors; mobility and heterogeneity of the system itself, its creative abilities…

New solutions offered by historical knowledge can facilitate the difficult task of achieving a flexible and, if possible, balanced assessment of the role of the political factor in the historical process. The inevitable connection with the initiative, strong-willed, organizing principle, which is embodied by the supreme power, the activities of the state apparatus, political thought, put the political factor in a special position in public life, although under other economic, social, cultural and historical conditions that weakened or strengthened its role.

Its history begins from the moment the human community enters the path of civilizational development, thus becoming associated with the formation of ethnic groups, although the functional multiplicity and the degree of the initial impact of this factor were noticeably limited. However, the interpretation of the definition of "ethnos" accepted in the scientific literature looks incomplete, often being limited to mentioning such parameters of the phenomenon as a common origin, language, territory, traditions, mythological culture. Obviously, in this case, only the natural and cultural-historical components of the phenomenon are taken into account. However, a person becomes a factor in the historical process as a member of a community - a social organism that institutionalizes itself, albeit in primitive, but also political forms. Even at the stage of pre-state history, the tasks of military protection, the implementation of behavioral norms and general life problems, whether economic or legal, were solved by the communities in the political form of people's meetings, with the help of "public" persons - elders who acted with the power of persuasion.

In the context of the problem of the ethno-national vector of development posed in the article, I believe it is appropriate to pay special attention to the “spatial” or “territorial” factor, which was supposed to influence not only the economic activities of community members, but also the forms of their settlement and social ties. Changes in the space of settlement reflected and caused the processes of transformation of ethnic communities and their self-consciousness in the evolution from consanguineous associations to complex tribal unions and then territorial formations, including state ones, within which connections arose that served as the basis for the emergence of the concepts of "country", "nationality". "... The fragile boundaries of the early medieval political formations, their heterogeneity (the variant of empires) or relative homogeneity make it possible to single out the "unifying" function of the state and unifying tendencies in social development as especially significant.

In this ratio of social and political factors at the stage of the early Middle Ages, the effectiveness of the impact of the latter on ethnic processes looks more obvious. Social reality and the shifts taking place in it realized themselves, in contrast to political events, in the space of slowly current time, reflecting the proximity of the Western European peoples to the primitive communal period of their history, being at the initial stages of the formation of small-scale production in its forms of natural economy, when it first arose, in more or at a less accelerated rate depending on the regions, a new type of dependent small producer, who, having begun to lose land, asserted his status as the owner of tools. Nevertheless, both factors - in different ways and to varying degrees - but influenced, in particular, the scale and nature of the unifying processes in ethnic groups. These processes were realized in conditions of uneven development and therefore in the inevitable contradictions of centripetal and centrifugal tendencies. At the same time, both the state and society, according to some indicators, could contribute to the heterogeneity of ethnic processes: the state, by its extensive universalist policy, suppressing some tribes and peoples; society - by the very fact of unsurmounted polyformism in the composition of its population and weak reserves for overcoming it. A small ethnos could, to a greater or lesser extent, be incorporated into larger associations, or, conversely, rigidly maintain its autonomy in relation to the “leading” or structure-forming ethnos in tribal unions, nationalities, and further – ethno-national states.

These features clearly manifested themselves in the history of one of the largest early medieval states in Western Europe, with the longest history of its existence - the state of the Franks in the era of the Merovingians and Carolingians. Already at the stage of the Merovingian dynasty, the initial heterogeneity of the leading ethnic group - the tribal union of the Franks, which also exists in combination with the Gallorim population, was strengthened by the absorption of the kingdoms of the Visigoths, then the Burgundians, followed by the annexation of Provence. The imperial ambitions of Charlemagne provided new impetus for heterogeneous tendencies with the illusion of restoring the former boundaries of the Roman Empire. But one cannot but admit that the institutional forms of the patrimonial state of the Carolingians, which were very “advanced” for that time, made his unifying efforts noticeable. Their sign consolidating society carried royal decrees regulating the judicial procedure, the state of the monetary business, and control over public order. They even attempted to control compliance with the mutual obligations of lords and vassals. Nevertheless, the “advancement” of state forms that we noted at that stage was very relative, as it was realized in the norms of the practice of “feeding” and personal ties. The sign of ethnic polymorphism marked an attempt, relatively speaking, to “unify” customary law, or rather an attempt to transform the tribal principle into a territorial one, in 802, which ended only with the editing and partial modification of the Alleman, Bavarian, Ripuarian and Saxon truths, while maintaining the legal effect of the simplified Code of Justinian and Breviary of Alaric. Nevertheless, the very attempt to verify customary law is eloquent, like the fact of translating the text of the Salic truth into High German. Finally, the ambiguous, but prepared by objective conditions, fact of the collapse of the universalist empire of the Carolingians during the formation of three large agglomerations in its bowels - nationalities, goes beyond the framework of assessing the unifying tendencies only in the political context, drawing a long-term perspective of the national history of the three Western European peoples and states - France, Germany, Italy. 3

Actually, the medieval stage of Western European history, when a new social system was established, changed, but did not abolish the polymorphism of society as a whole, even multiplying it in certain parameters. The conditions for the implementation of large landed property, having predetermined the need for political immunity of its owners, legalized their private power, which resulted in a polycentric political structure. 4 This circumstance did not contribute to political stability, especially in the conditions of “feudal fragmentation” (X-XII centuries), especially since the supreme state power, struggling with the evil of polycentrism internal to it, in many cases did not abandon universalist plans, on level of international relations, reshaping the political map of Western Europe. The noted tendencies were fed, making possible, by the deep basis of the social structure - small-scale production, which in the aggregate of conditions predetermined the essential feature of medieval society - its particularism. This circumstance could not but affect the fate of the issue of ethnic development that interests us, revealing the main condition in the process of formation of socio-political organisms that nations were to become - the indispensable overcoming of medieval particularism, which should ensure the birth of a new "unity" of human communities. Such a process had a gradual character, relative in its results, and, most importantly, could not be the result of only political development.

In this context, the processes that took place in Western European society in the period of the 13th-15th centuries are of particular interest. and early modern times, which opened and realized the movement along this path.

In historical literature, especially of a general nature, the assessment of the significance of the noted changes is often limited, in particular, for the “starting” period of time of the 13th–15th centuries, their role in the process of centralization, a really very important milestone in the history of Western European peoples and states. However, the very concept of “centralization” turns out to be insufficient to indicate the depth of the modernization of the very structure of medieval society that has begun, focusing on state policy, even if the socio-economic prerequisites for its implementation are not ignored. The general and, at the same time, the essential meaning of the modernization process in the aspect of analysis that interests us, it would be more expedient to define the concept of “consolidation”, which can become common and symbolic for the entire set of social relations - economic, social, political and spiritual. With regard to the processes of formation of proto-national formations in the conditions of ethnic polymorphism that retained itself, the concept of “consolidation” also demonstrates its well-known correctness, without curing any of the difficulties along this path: the variable and ambiguous nature of the processes, the possibility of their final incompleteness, which could blow up on some stage of "national" community.

It was the consolidation of the community as a deep and complex process that, with greater or lesser success and depending on specific historical conditions, contributed to the overcoming of any local, including ethnic, attachments and norms of life, not always destroying, but blocking them, pushing them into the sphere of advantage of private relations, offering members of the community in matters of existence and survival new socio-economic, political and cultural forms and scales of life.

Our attempt to summarize the main socio-economic conditions of the processes of consolidation eloquently draws the formation already for the period of the XIII-XV centuries. a new image of medieval society, in a certain sense bearing the signs of its future end. However, observing the principle of "ascent", it would be more correct to assess the formation of this new image as evidence of the potential of the medieval social system, without exaggerating the vector of orientation towards the future, at least in its destructive consequences. Among the reasons calling researchers for caution is the long duration of medieval processes in economic and social life, despite the gradual acceleration of the pace of development, which is especially noticeable in the early modern period. In this regard, it is advisable to recall the recognition by modern medieval studies of the validity of the concept of the “long Middle Ages”. This concept, once introduced by Jacques Legoff, was supposed to emphasize, according to the famous French historian, the facts of the slow elimination of medieval forms of consciousness even in the late stages of the Early Modern Age. Now this concept has acquired a functional meaning for recognizing the heterogeneity of development in the Early Modern Age of the entire set of social relations. It significantly corrects modern ideas about the complexity of the “transitional period”, which became the case for Western Europe in the 16th and 17th centuries, when the new, already leading way, had not yet acquired a qualitative systemic certainty.

Returning to the issue of the “great opportunities” of the medieval social system in the socio-economic sphere due to the producer, although dependent, but owning the tools of labor, it is important to pay attention to the phenomenon of the social division of labor, which has become an additional and radical factor in its consequences of progress. Not fixed by an exact date, this slow deep process marked its formation with an extremely important division of the economy into two sectors: handicraft and agricultural production (8th-10th centuries). The result of this qualitative shift was the development of a commodity economy, which forced out subsistence forms of economy, which served as the basis for economic and political polycentrism.

The further development of the social division of labor embodied the process specialization, covering all aspects of public life - economic, - social (social functions and stratification of the population), - political (formation of the system of public administration), - cultural - educational. In other words, this factor became the basic condition for the formation of diverse and multiple ties in society, which created a new consolidated society, taking the life of its members beyond the boundaries of patrimonial and communal, guild and city, seignio-vassal, and finally, local and provincial ties. Gaining momentum in the 13th-15th centuries, this process increased the importance and changed the role of tools in the structure of productive forces in society. A noticeable progress in the tools of labor, supported by the liberation of ownership of tools for artisans from the control of the landowner as a result of the liberation movement of cities in the 12th-13th centuries, undermined the monopoly position of landed property in agrarian societies as the main means of production, gradually replacing manual production. labor (“medieval industrialization”). Changes in the structure of productive forces make it possible, within the framework of retrospective analysis and "long extension", to see the future final frontier of the pre-industrial period in the history of Western European peoples. However, in order to reach this limit, they will have to go through the stage of large-scale manufacturing production, the development of which will only begin the work of the gravedigger of small production - this basis of the medieval social system. Manufactory production will not be able to cope with such a task, leaving its solution to the industrial society of the New Age, nevertheless significantly advancing the process of overcoming, within the limits of the possible, particularism in the economy.

In the context of the question of the conditions for overcoming particularism in medieval society, the assessment of social results in the course of its modernization provides no less interesting material.

Among them - a change in the status of a small producer in the countryside - the emergence of a personally free peasant; the development of a new social organism - the city and the formation of the urban estate, which consolidated personally free small producers and owners in crafts and trade. The noted shifts gave the medieval social system the necessary completeness and relative "completion".

The development of free ownership of tools of labor becomes a source of money capital (mainly in crafts and trade), raising the socio-economic and, to a certain extent, political status of its owners. This, in turn, contributed to social dynamics, displacing the personal principle in social relations with monetary relations, thereby weakening the principles of social stratification.

An indicator of the most important social changes was the process of social and political self-determination of social forces in Western Europe, which significantly expanded the composition of people involved in social activity.

It was realized at different levels of the corporate movement within the workshop, guild, city, rural community. The highest form of social activity was ensured by the formation of estates, which assumed the level of nationwide consolidation and socio-political activity of social forces in the bodies of estate representation. The situation radically changed the socio-political alignment of social forces in the country, significantly expanding the composition of persons at the expense of the unprivileged population, in particular the townspeople, who were able (to one degree or another) to enter into a dialogue with the monarch, forming an elected public body and trying to limit with more or less less success for authoritarian power.

Class self-determination undoubtedly reflected and, most importantly, contributed to the consolidation of medieval society. However, this process, created by the creativity of only European peoples at the stage of medieval history, bore the stamp of corporate limitations, which did not allow society to recognize itself as a single social organism. The condition for achieving such a goal was to be the abolition of class stratification and the introduction of the principle of legal equality of all before the law. The achievement of such a condition belonged to another time, being prepared, however, by the previous medieval experience of life. 5

As for the political sphere of life in the prehistory of Western European society in the Modern Age, the processes of internal consolidation have been going on here, relatively speaking, since about the 13th century, within the framework of a special form of medieval statehood - the so-called "state moderne" (Etat moderne), which she considered appropriate highlight modern historical science. In the context of social relations, this form presupposes not so much the process of establishment as the given existence of feudal relations, their deepening and modernization.

In the political context, this form now makes it possible to assess the effectiveness of the centralization process for the supreme power, on the basis of which the features of the so-called patrimonial statehood, characteristic of the period of the genesis of feudal relations and the early stage of their establishment, were outlived and overcome. A distinctive sign of this political form was a private (personal) principle in social relations and public administration. The power of the monarch was constituted by the landed domain, which likened him to major lords who had political immunity (he is only "first among equals", "suzerain" in the system of seignioral-vassal relations, but not "sovereign"); the monarch had only a form of "palace administration" operating in the space of personal ties (for example, service on duty as a vassal to a seigneur; the institute of "feeding"); he had limited material resources for the implementation of the function of patronage or coercion.

The modernization of medieval statehood made the assertion of the public law nature of power and the administrative apparatus a hallmark of the new political form. The new form was prepared by changes in the social base of the monarchies, the formation of a system of state administration, the development of positive (state) law, the impulse and factor for which was the renaissance of Roman law. Now the state apparatus materialized the monarch's claims to the supreme power of the "sovereign" - "the emperor in his kingdom", acting in new relations with him - not personal, but "public", mediated by the state: payment for service in monetary terms was formed from receipts not from dominal income of the monarch, but from taxes concentrated in the treasury.

The public legal context in the activities of the supreme power has sharply increased its functionality. In the minds of medieval society, the monarch personified public Law, Law and the Common Good, that is, those norms and principles that justified, making his policy more effective, in particular, to overcome polycentrism and, which is especially important in the light of the issue of interest to us, to form the institution of citizenship. . With the help of the institution of allegiance, the private power of the lord in the estate, the corporate autonomy of professional or territorial entities, including cities, was supplanted. Their population became open to the state and controlled by it. The state "pulled" exclusively the functions of protection and order, thus monopolizing the solution of life's problems and society's hopes for the realization of justice and the public good. 6

Completing the characterization of the manifestations of the socio-political factor leading the medieval community away from particularism, one should name the political form of “medieval parliamentarism” already mentioned above. Then it was about this phenomenon in the context of social evolution - the processes of class self-determination and the consolidation of social forces. In this case, it is advisable to note the role of this body as a school for educating social activity. The representative body acted within the framework of the estate, therefore, also corporate division, which in a certain sense reduced its “consolidating significance”. However, class self-determination assumed a nationwide level of consolidation for each class group; their representatives resolved issues related to national interests; finally, the cumulative practice of the deputies itself was supposed to contribute to the development in society of ideas about the state as a “common body”

Such changes could shape the attitude of "citizenship" in the behavior of members of the community, now concerned not only with the problem of gaining political rights, but capable of experiencing a sense of responsibility for the "common good". The activities of the medieval parliaments so far ensured only the first steps towards the transformation of the community into a "national body" - a task that turned out to be up to the New Age, which proclaimed universal legal equality. The declarations on the abolition of the division of estates were not only the result of the determination of the deputies of the parliaments of the 17th-15th centuries, in particular English or French. The passions of the political struggle in these institutions could provoke the deputies to very radical, although far from the real content of the statement, two or three centuries ahead of the revolutionary time in Western Europe. 7 However, in the latter case, the decision to abolish the class division was determined by the readiness of the majority of society to accept such an innovation.

The material obtained as a result of the analysis undertaken in the article allows us to make several final considerations. To a certain extent, their possibility predetermined the approach to solving the problem posed in the section. This approach was characterized primarily by an attempt to consider the phenomena of ethnic groups and nations in their temporal sequence, which, in our opinion, made it possible to emphasize the flow of ethnic communities into national ones, with a more or less ethno-heterogeneous form of unity of new formations and natural opportunities for some ethnic groups to become them as a leading force, depending on specific historical circumstances.

The special attention in the article to the political factor in the development of ethno-national processes did not cross out a comprehensive vision of each of the phenomena, but did not allow limiting the evaluation of ethnic groups mainly by cultural-historical and emotional indicators, or reducing the characteristics of nations as exclusively political constructions. Both phenomena embodied a complex set of natural, socio-economic, socio-political and cultural parameters of development in their content. Significantly transformed over time, these parameters remained successive. The modernization of medieval society and the growing institutional maturity of statehood at the stage of public law history, in comparison with the ethnopolitical communities of the early Middle Ages, changed the forms, scales and historical fate of a new community, most often ethno-heterogeneous. But these processes did not cross out the attachment inherent in a person to the place of his birth - his "small homeland" (pays de nativite), the language or dialect in which he began to speak. Belonging to a "small nation" did not prevent them from accepting new forms of social ties, participating in the formation of a "national" culture and a national language. Although, naturally, such a “smooth” outcome of the processes of ethno-national evolution depended on many circumstances, in particular, on the degree of self-determination and maturity, including institutional, of ethnic groups in their heterogeneous proton-national formation. He also assumed certain conditions in the coexistence of these communities, and above all, mutual observance of the norms of behavior: non-violent behavior on the part of the leading ethnos in national formations and agreement to accept a new historical fate by another ethnic or multi-ethnic part of the community. The facts underlined in the article of the successive development of the phenomena "ethnos - nation" and the strength of this vector of movement have received convincing confirmation in our days. Today it testifies to the unfinished nature of the processes of transformation of ethnic groups in the nation, even in the era of globalization of world history, perhaps just being activated as a counterbalance to this trend?

In the analysis undertaken, two spheres of historical reality, social and political, have become its objects. They were considered in close conjunction with each other, although at the level, mainly, of sociological processes, with the conscious elimination of concrete historical event and spiritual history, which would require special attention and going beyond the scope of the article. Nevertheless, it is in its final part and as a conclusion that I will allow myself to briefly refer to the political event situation from the history of France close to my scientific interests in order to emphasize the significance and effectiveness of the processes that should have contributed to the formation of the “national” quality of the medieval state communities.

Sufficiently “neutral” for the experiment by the standards of “medieval history” accepted in science, the experience of the so-called period of the “classical Middle Ages”, that is, the XIV-XV centuries, demonstrates for the researcher an example of a very difficult “strength test” of the French state and society, and even if the initial but the results of the processes of ethno-national consolidation, namely, the threat of loss of independence in the Hundred Years War. The occupation of a significant part of the territory, the death of people and the ruin and split of the country, the English king on the French throne - a seemingly hopeless situation that received an unexpected and favorable outcome. It is traditionally explained in the literature by references to the factor of the "liberation" war and the successes in the final analysis of state building. However, the materials of the article significantly complement the picture with the facts of fundamental changes in the nature of power, which made the latter the main carrier

the functions of order and justice - in the nature of society, especially its unprivileged part, and the nature of the dialogue between the monarch and society. The totality of these interrelated processes - social, institutional and ethno-national - formed the political-state stability and the possibility of military resistance. The developments of recent years, in particular, in the "domestic" literature, significantly deepen the traditional explanations of the phenomenon of Jeanne de Arc. They usually emphasize the "scope" of the liberation war, the mystical faith in the legitimate monarch, the religious consciousness of society and the heroine herself. Without refuting these explanations, I would like to remind you that this undeniably extraordinary personality was born and formed in the specific environment of the French village. Its actor is not a serf, but a censor, not only a personally free person, but a producer who has received noticeable advantages in operations with land holdings (his mortgage and even sale); in the conditions of a pronounced tendency to eliminate senior plowing, he turned his farm into the main production unit, and finally, he is a member of a rural community that implements forms of self-government in its relationship with its own lord and the outside world. All these features stimulated the social activity of rural residents, increased their sense of self-worth, and changed behavioral norms. It should not be forgotten that the scope and effectiveness of the liberation struggle was determined not only by its "people's" character, but by the fact of organized resistance in the countryside and in the city, the population of which acted in the forms of urban and rural corporations that were familiar to them. Moreover, the state, in turn, used the rural and urban militia, connecting their actions to the military operations of the royal army. 8 Innovations in rural life became an integral part of the process of overcoming medieval particularism, slowly gaining momentum, which freed people from the feeling of their involvement in the life of only their patrimony, city, province, monastery, stimulating their perception of their own belonging to the community as a whole. The feeling of "one's own root (souche)", previously associated with the place of immediate birth - in the new conditions could and should have taken the form of perceiving the country as a whole as the Motherland - as a sign of a common historical destiny and historical coexistence, outlined by geopolitical boundaries.

It is no coincidence that perhaps the defining motive of numerous political treatises of the XIV and especially XV centuries in France should be recognized as the idea of ​​a “common cause”, a “common duty” to defend the Motherland. Even with an adjustment for the “government order” seen in the treatises, which their authors, who were often royal officials, like A. Chartier or Desursin, could not fail to realize, such a position was significant 9 . A more definite and "mass" in nature evidence of public sentiment was the reaction - if not of society as a whole, then of a significant part of it - to the Treaty of Troiss in 1420, which deprived France of the right to exist as an independent state and divided the country into two irreconcilable camps. The final victory was the victory of the opponents of the treaty, who considered the “dual state” impossible, even while maintaining independent control for both parts, with one, but “foreign” for France, English king. The situation demonstrated the birth of a new form of statehood, the fate of which was no longer decided within the limits of only dynastic, especially seignorial-vassal and, in general, personal ties or the principles of private law.

The growth of the institutional maturity of the French state went in parallel with the ethno-national consolidation of the community that filled it, the norms of life of which were now regulated at the national level by public Law and Law.

Notes

1 Shirokogorov S.M. Ethnos. Study of the basic principles of changes in ethnic and ethno-natural phenomena. Shanghai, 1922; Bromley Yu.N. Ethnos and ethnography M. 1973; Elite and ethnos of the Middle Ages / Ed. A.A. Svanidze M., 1995; Alien: experiences of overcoming. Essays from the history of Mediterranean culture / Ed. R.M. Shukurov. M., 1999; Antiquity, culture, ethnos / Ed. A.A. Belika. M., 2000.S. 229–276; Luchitskaya S.I. The Image of the Other: Muslims in the Chronicles of the Crusades. SPb., 2001; Tishkov V.A. Requiem for ethnicity. Studies in sociocultural anthropology. M., 2003; Nation and History in Russian Thought at the Beginning of the 20th Century. M., 2004; Kostina A.V. Requiem for the ethnos or "Vivat ethnos!" // National culture. ethnic culture. World culture. M., 2009; Issues of sociological theory // Scientific almanac / Ed. Yu.M. Reznik, M.V. Tolstanova. M., 2010. T. 4; Hu-isinga J. Patronism and Nationalism in European History. men and ideas. London, 1960. P. 97–155; Guenee B. D'histoire de l'Etat en France a la fin du Moyen Age vue par les historiens francais depuys cent-ans" Revue historique, t CCXXXII, 1964, pp. 351–352; idem, “Etat et nation en France au Moyen Age,” Revue historique, t. CCXXXVII. no. 1. P. 17–31; Idem. Espace et Etat dans la France du Bas Moyen Age // Annales. 1968. No. 4. P. 744–759; Weber M. The Sociology of Religion. London, 1965; Idem. Economy and Society. N.Y., 1968; Chevallier J. Histoire de la pensee politique. t. I; De la Cite-Etat a l'apogee de l'Etat-Nation monarchique. t.II, Ch.V. Vers l'etat national et souverain. P., 1979. P. 189–214; De Vos G. Ethnic Pluralism: Conflict and Accommodation / Ethnic Identity: Cultural Continuities and Change. Chicago, London 1982 Anderson b. Imagined Communities. Reflections on the Origin and Spread of Nationalism. London, 1983; Beaune C. La Naissance de la nation France" P. 1985; Smith A. The Ethnic Origins of Nations. Oxford, New York, 1986; Erickson E. Identity: youth and crisis. M., 1996; Jaspers K. General psychopathology. M. 1997; Moeglin J-M. Nation et nationalisme du Moyen Age a l'Epoque Moderne (France - Allemagne) // Revue historique. CCC. 1/3. 1999. P. 547–553; Idem Dela "nation allemande" en Moyen Age // Revue francaise d'histoire des idees politiques. Numero special: Identites et specificites allemandes. N. 14. 2001. P. 227–260; Geary P.J. The Myth of Nation. The Medieval Origins of Europe. Princeton, 2002; Huntington S. Clash of civilizations. M., 2003; He is. Who are we? Challenges of American National Identity M., 2008; Giddens E. Sociology. M., 2005; Ethnic groups and social groups. Social organization of cultural differences / Ed. F. Barth. M., 2006; Braudel F. Grammar of civilizations. M., 2008.

2 The expression of J. Michelet, a representative of the school of romanticism in French historical science. In the introduction to the last lifetime edition of his "History of France from the end of the 15th century to 1789", he, essentially anticipating the principles of the then emerging direction of positivism, writes about the need for a comprehensive vision of historical phenomena and, in particular, "rooting in the soil" of political history. Histoire de la France par la fin du XV siecle jusqu a 1789. P., 1869.

3 Fournier G. Les Merovingiens. Paris, 1966; Halphen Z. Charlemagne et l'empire carolingien. P., 1995; Lemarignier J.-Fr. La France medieval. Institutions et Societe. P. 1970. T. I; Favier J. Charlemagne. P., 1999.

4 Khachaturyan N.A. Polycentrism and structures in the political life of medieval society // Khachaturyan N.A. “Power and Society in Western Europe in the Middle Ages. M., 2008, pp. 8–13.

5 Khachaturyan N.A. Medieval corporatism and processes of self-organization in society. View of the Medieval Historian on the Problem of the “Collective Subject” // Khachaturyan N.A. Power and Society… S. 31–46; She is. European phenomenon of class representation. To the question of the prehistory of "civil society" / / Power and Society. pp. 156–227, 178–188; She is.“Sovereignty, law and the whole community”: interaction and dichotomy of power and society” // Power, society, individual in medieval Europe / Ed. ON THE. Khachaturian. M., 2008. S. 5–10.

6 Khachaturyan N.A. The phenomenon of class representation in the context of the problem of Etat Moderne // Society, power, individual. pp. 34–43; She is. Western European Monarch in the Space of Relations with Spiritual Power (Morphology of the Concept of Power) // The Sacred Body of the King: Rituals and Mythology of Power / Ed. N. A. Khachaturian. M., 2006, pp. 19–28; She is.“The king is the emperor in his kingdom. Political Universalism and Centralized Monarchies // Empires and Ethno-National States in Western Europe in the Middle Ages and Early Modern Times / Ed. ON THE. Khachaturian. Moscow, 2001, pp. 66–88; Stayer J.R. On the Medieval Origins of the Modern State. Princeton, 1970; Renaissance du pouvoir legislative et genese de l'Etat / Ed. A. Gouron, A. Rigaudiere, Montpellier, 1988; Les monarchies: Acte du colloque du Center d'analise comparative des systems politiques / Le Roy La-durie. P., 1988; Coulet N et Genet.-Y-P. L'Etat modern: territorie, droit, systeme politique. P., 1990; Genet Y.-P. L'Etat modern. Genese, Bilans et perspectives. P., 1990; Quillot O., Rigaudiere, Sasser Yv. Pouvoirs et institutions dans la France medieval. P. 2003; Genet G.-Ph. L'Etat moderne: genese, bilans et perspectives. P., 1990; Visions sur le developpement de l'Etats europeens. Theorie et historiography de l'Etat modern // Actes du colloque, organise par la Fondation europeenne de la science et l'Ecole fransaise de Rome 18–31 mars. Rome. 1990; Les origins de l'Etat moderne en Europe / Ed. par W. Blockmans et J.-Ph. Genet. P., 1996.

7 The author of the diary entries of the meetings of the States General in France in 1484 Jean Masselin noted the facts of the radical moods of the deputies, reminding everyone present that royal power is only a “service” for the benefit of the state Grand Seneschal of Burgundy Philippe Pau sire de la Roche in the spirit of the secular concept of origin known in the Middle Ages royal power, proclaimed, in his words, the idea of ​​"popular sovereignty", calling it the people "supreme sovereign" who once created both the king and the state ... Journal des Etats generaux tenus a Tour en 1484 sous le règne de Charles VIII, redige en latin par Jehan Masselin, depute de baillage de Rouen (publ. par A. Bernier. P. 1835 pp. 140–146, 166, 644–646. See also Khachaturyan N.A. Estate monarchy in France XIII-XV centuries. M., 1989. C. 225).

8 See an attempt to consider the history of self-defense in the countryside during the Hundred Years War as an independent factor that influenced not only the scale of the liberation movement, but the structure and tactics of the future standing army in France (the role of the infantry as an independent part of the military structure; a departure from the principles chivalrous war). Khachaturyan N.A. Estate monarchy in France. Ch. IV: The structure and social composition of the army of the XIV-XV centuries, section: Self-defense of the masses. pp. 145–156.

9 A. Chartier."Le Quadrilogue invectif" (Four-part accusatory dialogue) / Ed. Y.Droz. P., 1950; Juvenal des Uzsins "Ecrits politiques" / ed. P.S. Zewis, t.I. P., 1978; t. II. P., 1985; "Audite celi" ... (Listen, heaven.) t.I. P. 145–278.

Khachaturyan N.A.

I.II. Medieval studies and the national question (on the uncertainty of definitions)

We are talking about some considerations about the concept of "nation" in its various aspects (historical, philological, political, social, philosophical).

The national question has been constantly relevant for the past few centuries, and yet the very "real" existence of nations and ethnic groups is being called into question so much that they are called imaginary communities. And meanwhile, on the other hand, the study of history is imbued with ethnic interests to such an extent that the specialization of historians, along with chronology, is determined by ethnography: most of them are engaged in domestic histories, and the rest specialize in those countries whose languages ​​are closer to them (thus, according to at least in university teaching). But are ethnic communities historical realities about which scientific, that is, unbiased, objective and systematized judgment is possible, or, due to their construction and uncertainty, due to subjectivity and at the same time predetermined national self-identification, such judgments are doomed to carry an ideological load?

1. The concept of "nation" in the modern language was formed historically mainly in relation to the reality of the XV-XX centuries. It must be studied in the context of both "constructivism" or instrumentalism, and in its (the concept's) "objective" foundations.

Words serve to describe phenomena, and both words and phenomena line up in certain hierarchies and have their own history.

To get closer to understanding the “national” phenomenon, I propose to consider what identity is in general, how it is applied to historical subjects, then clarify the concepts of ethnos and people, and then move on to the specific idea of ​​a nation in its historical existence.

2. So, identity in the broadest sense is the fact of the identity of several objects, which thereby indicates their belonging to a common set for them, or the identity of an object (its image) with itself. In the philosophical sense, the concept of "identity" is fundamental, since any similarity and difference follow from it, and at the same time contradictory, since it is abstract - in nature there is no complete identity, things are constantly changing, complete identity is impossible. The inconsistency of the phenomenon of “identity” lies in the fact that it implies a duality: a comparison of something with something, but the duality is no longer an identity, or, if we are talking about one and the same thing, its identity to itself is only thought; it is in any case an addition to its own being or a distraction from that being.

The phenomenon of living matter can be understood as the preservation of the self-identification of a collection of cells; the idea of ​​the subject lies precisely in the presence and constant reproduction of a unique combination of these cells, or even individual molecules. The subject is thus an active identity, a repetition of the unique (individual).

In the world of wildlife, there are not only individual subjects, but also collective ones, and also, so to speak, multiple ones. The collective includes families and herds, swarms of insects; to multiple species, subspecies and populations. Self-identification of natural organisms occurs almost automatically, through a common origin and habitat; essential changes occur and accumulate slowly. Animals are guided by instincts, that is, instructions laid down by nature that dictate a line of behavior. But at the basis of all behavior lies the idea of ​​an individual and collective "I", which is a measure of values. "I" is a sign, or in semiotic terminology, a designatum (denoting) of identity.

The same principles operate in the human world as in the animal world, but culture is added to them, that is, a system of adaptations based on the construction of language models, the accumulation of values ​​and technologies, and the knowledge of nature for its development. Knowledge expands the possibilities of choice, but the choice is ultimately still predetermined by the measure of value, that is, by the interests of the individual and collective "I". The interaction and conflicts of these interests largely determine the content of what we call history.

Human species and populations were formed and continue to be formed according to natural laws, species characteristics and characteristics of organisms are transmitted genetically. At the same time, in the process of history, the cultural factor more and more influences the behavior of people, as well as their attitude towards their own kind. Biological-species differences that underlie ethnic ones retain their basic character, but cultural ones are added to them, and sometimes push them into the background: confessional (faith), social - a place in the social hierarchy, professional (occupation), political (citizenship), civilizational - that is, based on a historically established complex of cultural characteristics.

The conclusion from all these arguments is that ethnic differences in human society act not only as a biological, but also as a cultural reality. Consequently, the degree of freedom or arbitrariness in the process of ethnic identification or self-identification is higher than in biological species identification. Ethnicity is one of the tools of the so-called socialization, that is, adaptation to the social environment, just like confession, citizenship, etc. Choice ethnicity is much more determined than the choice of faith, profession or citizenship, but to some extent, namely due to the cultural component of ethnicity, it exists. The repertoire of roles open to humans is wider than that of animals, thanks to the richness of virtual reality in society. And every role requires self-identification with it. Species in the biological sense or ethnic role loses its absolute supremacy 1 .

3. To designate different levels of ethnic differences and different historical stages in the formation of ethnicity, different concepts are used: race, tribe, people, family, nation, ethnic group and others. The word "ethnicity" seems to be the most universal and neutral, and therefore the most suitable for scientific texts. It goes back to the Greek word "ethnos", translated into Russian as "people", but when the latter is used in the ethnic sense, there is a non-random contamination with its other meanings. “People” in Russian can, of course, denote an ethnic community (as “people” in the famous triad with Orthodoxy and autocracy), but “people” can also mean the totality of all citizens of the state, or vice versa, “simple” people, the third estate , workers, as opposed to warriors and clergy, etc. These two non-ethnic meanings, it seems to me, are the product of historical development, namely, the ancient (Roman) and medieval European tradition of using the word "people" in a political and social sense, which was adopted by the Renaissance and passed into the national languages ​​(lat. populus, it. popolo).

In general, the vagueness of all ethnic terminology, in contrast to the biological classification of species, points, in my opinion, to strong cultural component in the described phenomena. Discussions about the words "nation" and "nationality" reveal their construction and historical nature and confirm the impossibility of their unambiguous use in a medieval context. The medieval natio is not at all the same as the modern nation. But even the more neutral word "people" turns out to be ambiguous and eludes simple interpretation. To the above meanings for the Middle Ages, one should also add the cultural opposition of oneself (the People, or the chosen people, the people of the faithful) to the “peoples” (gentes), that is, the pagans, the “tongue”, the unenlightened crowd. This opposition, on the one hand, is quite ethnic, on the other, cultural; it is tantamount to the antiquity opposition of the cultured people and the "barbarians", and perhaps even goes back to it.

In the end, it turns out that the cultural component erodes the very phenomenon of ethnicity. In particular, in relation to the Middle Ages, it is impossible to single out one or the dominant type of ethnic communities (or, as they often say now, “ethnic”). The geographical designation, that is, the designation of “peoples” tied to the territories, dating back to antiquity, prevailed. In turn, the territories were named after the names of the tribes inhabiting them or mythological characters (Europe). Italics lived in Italy, but this word was not the name of the people. The belonging of the Italians was determined by their origin from a particular city or locality 2 . The terrain gives birth to people, like flora and fauna. The fragmentation of Europe, and on the other hand, the presence of supra-ethnic communities: the Catholic world, the empire, gave rise to local patriotism. An example of another, already Renaissance patriotism can be found in Petrarch, who stood at the origins of the modern periodization of history 3 . Petrarch, like Dante, calls himself an Italian, but emphasizes his Roman citizenship, while remembering the Apostle Paul 4 . It is curious that Petrarch, who spent many years in Avignon, criticizes a certain Frenchman (Gaul) who blasphemes Italy. The reason for this (1373) was the dissatisfaction of the French cardinals under the papal curia with the lack of Burgundy wine there 5 . It must be assumed that such Italian-Roman patriotism served to shape future ideas about the Italian nation 6 .

It is also interesting that this new or revived Roman patriotism rejects the idea of ​​transferring the empire, popular in the Middle Ages: the empires of the Greeks, Franks and Germans are no longer the same as those of the Romans 7 . Petrarch speaks of himself as an Italian by "nationality" (birth, natione) and a citizen of Rome. Roman citizenship, therefore, is the ancient prototype of the nationality of modern times.

4. From here we can go to the history of the term "nation". It shares an etymology with the Latin nasci be born 8 . Ducange's dictionary gives two main meanings of "nation": 1) origin, position of the family and clan; 2) university "nations" 9 .

The most popular, or widely known, meaning of the word natio in the Middle Ages was fraternity, primarily in relation to student associations at universities. But also to merchants, pilgrims and others. It is logical that such a designation was used in cases where people, for some reason, moved in a known number from their place of birth.

The variety of meanings of the concept "nation" until relatively recently is not inferior to the same spread in the use of the word "people" close to it, and sometimes opposite. We will trace this diversity, relying on an article specially devoted to the term "nation" by an Austrian politician and poet of the first half of the 20th century. Guido Zernatto 10 . In the Roman lexicon, the word natio, in addition to denoting the patron goddess of childbirth, was applied to a group of people of the same origin, but not to the people as a whole 11 . However, its meaning was rather pejorative and close to the Greek "barbarians" - these were foreigners who were distinguished from the Roman "people". The word natio often did not have any ethnic connotation, but almost always, according to Zernatto, retained a comic one. In this sense, they spoke of the "nation of the Epicureans", and Cicero uses this word in a social context: "the nation of optimates" 12 .

It is curious that the non-ethnic meaning of the word "nation" existed in Western languages ​​before modern times; it resembles the Russian word "folk", which also may not have an ethnic connotation, being applied, for example, to animals. In this sense it is used by Edmund Spenser 13 .

Other modern writers speak of "nation" in a professional sense: "nation of doctors" (Ben Jonson), "nation of poets" (Boileau); in the class-professional: "lazy nation of monks" (Montesquieu); finally, in Goethe this word occurs in application to the entire female sex (or, more precisely, to all girls) 14 . Earlier Machiavelli uses the expression di nazione ghibellino 15 .

Nevertheless, the most common in the Middle Ages was the territorial-corporate understanding of the word natio. There were four nations at the University of Paris: French, which included, in addition to the inhabitants of part of modern France, Spaniards and Italians; Picardy, which included the Dutch; Norman for the inhabitants of the north-eastern part of France and German for the Germans and the British 16 . At the ecumenical church councils, where the delegates, as G. Zernatto notes, stayed as foreigners, like students at universities, they were also divided into "nations". At the Council of Constance, the German nation included, in addition to the Germans, Hungarians, Poles, Czechs and Scandinavians 17 . According to G. Dzernatto, a feature of the position of the delegates was their representative functions, which indicates another important meaning of the word "nation" in modern times, the class-political meaning. In this sense, even in the Middle Ages, a nation was understood only as the so-called "elite", a noble estate, which included or joined the clergy, and which had exclusive civil rights. The "political nation" was opposed by those who work for hire, who are poor, uneducated, "do not know Latin" (Schopenhauer) 18 . The territorial-land principle of political organization, combined with feudal fragmentation and a hierarchy of power, corresponded to the possibility of alienating entire regions. In the Middle Ages, territories were annexed, conquered, sold and mortgaged. The idea of ​​the integrity of the nation is more recent. Perhaps the modern revolutions express, among other things, the birth of this national feeling. In the era of romanticism, from the end of the XVIII century. the origins of nationality, national culture were sought precisely in the Middle Ages, in their legends, history, literature in folk languages, culture and art.

5. Relationship between ethical and ethnic.

The essence of the concepts of ethnos and nation, oddly enough, remains approximately the same for centuries. We can talk about primordialism and constructivism in the understanding of the nation, and that today the idea of ​​a “nation” is rather a product of cultural and historical development, primarily due to political factors. But the "national question" lies on a somewhat different plane: I would say, on the plane of sanity.

In nature, species affiliation predetermines behavior, roughly speaking, it determines who feeds on whom (of course, not only that). Species and subspecies in nature, like individuals (after all, these are "collective individuals") can cooperate, can compete, but the biological nature of a species changes only very slowly, over many generations.

In society, as in nature, collective and individual individuals can also cooperate and compete, these are ethnic groups, families, and social groups, but their behavior is determined not only by an external given, or law, but also by an internal law, ideas about what is right and what is wrong. If nations are divided into bad and good by nature (options are smart and stupid, talented and mediocre), like animals into carnivores and herbivores, then the concept of sanity cannot be fully applied to them: their behavior is predetermined. (And such an approach existed and exists to this day. In essence, it is based on the instincts of self-preservation of the collective "I", like any ideology 19).

In the Middle Ages, it was widely believed that the characters, inclinations, moral qualities and even the fate of people are largely connected with the circumstances of their birth, with the influence of the planets, that they were originally predetermined. For example, there was a tradition about the founding of Florence by the Romans, from whom its inhabitants inherited nobility and dignity, but they also mixed with the Fiesolans, the descendants of the defeated warriors of Catiline, who were distinguished by a violent temper and a penchant for contention. (This is written, in particular, by G. Villani and Dante 20). The fate of Florence was also influenced by the pagan God Mars, even more accurately supposedly depicting his statue, which stood at the Old Bridge. 21

Behavior was determined by birth. The heretic could repent, and the faith could be changed (whole nations did this), but birth remained decisive ... Birth cannot be corrected. At the same time, in the acts of identification and self-identification, as in any conscious action, the most important role is played by the evaluative component, “will”, desire and comprehension (choosing a goal).

If some general criteria are to be applied to collective individuals, rules prescribing how to act - that is, logically, universal criteria, then they should be judged in the same way as individual individuals. Then the principle of justice applies to them: my rights are limited by the rights of others; as long as I defend my dignity on an equal footing with others, I am right, but when in defense of my dignity I infringe on other people's rights, I am guilty. Medieval people, thanks to Christianity, had an idea of ​​universal human values, but in practice the values ​​of collective individuals prevailed and looked objectively given: the true faith, the chosen people, the best people by birth.

Only in modern times did the notion of the relativity of values, one might say, the desacralization of values, lead to the conditional primacy of the universal idea.

It is no coincidence that the comparison of the word ("nation") with a coin in the article by G. Zernatto 22 . There is no absolute value, all values ​​are conditional, although a full-fledged coin is objectively more valuable than a bank note. "I" is not an absolute value, and the nation is not an absolute value, although at some moments in history it may claim to be. (The society of believers, the ruling class, the people are collective individuals who claim to be the highest ideas of reference).

In medieval Europe there was no national question, that is, it was not a question: the inequality of peoples, faiths, classes seemed obvious and unshakable. (Although, I repeat, it was once said “there is neither Greek nor Jew.” Yes, secular affairs were to be regulated by “natural law”). Only when the idea of ​​a nation-state was constructed did questions arise about the right of nations to self-determination, about internationalism, about state-forming or titular peoples, about the rights of minorities, and others. The national-state idea and ideology replaced the religious 23 . Perhaps the national question arose when the inviolability of ethnicity was called into question: there were nation-states claiming to replace ethnic kinship with citizenship. (Partly similar situation was in the days of the Roman Empire and the rise of Christianity).

An ethnic nation or a civil nation has ideologically become the supreme measure of value in society, but over time, obviously, these ideas will become obsolete. So far, it can be stated that in this respect, as in many others, we are the direct heirs of medieval society.

Notes

1 It must be noted that the biological concept of a species is to a certain extent conditional; there are no "pure" ethnic groups, as well as "pure" cultures.

2 For example, in his letters Dante most often calls himself a Florentine, but sometimes also an "Italic" or an Italian (Italian). The wording of the beginning of the Comedy is known from a letter to the ruler of Verona, Cangrande della Scala: Incipit Comoedia Dantis Alagherii, Florentini natione, non moribus ("The Comedy of Dante Alighieri, a Florentine by birth, but not by morals," begins). Also humilis ytalus Dante Alagheriis Florentinus et exul inmeritus: "the lowly Italic Dante Alighieri, the undeservedly exiled Florentine." Cm.: Hollander R. Dante's Epistle to Cangrande. Ann Arbor: University of Michigan Press, 1993, p. 39.

3 See: Mommsen Th. E. Petrarch's Conception of the "Dark Ages" // Speculum. 17, 1942, pp. 226–242.

4 Ibid., p. 233 and Petrarca F. Invectiva contra eum qui maledixit Italie // Opere latine di Francesco Petrarca / A cura di Antonietta Bufano, U.T.E.T, Torino, 1975; "Sum vero italus natione, et romanus civis esse glorior". http://digidownload.libero.it/il_petrarca/petrarca_invectiva_contra_eum_qui_maledixit_italie.html

5 From experience and from the examples of the holy fathers, finally, according to the instructions of Annaeus Seneca, I can conclude that a person has enough bread and water in life - he spoke about a person, and not about a glutton; and this judgment was expressed by his nephew / Mark Annei Lucan /: “the peoples have enough of the river and Ceres”. But not the people of the Gauls. However, if I were a Gaul, I would not say this, but would defend Bon wine as the highest joy of life and glorify it in poems, hymns and songs. However, I am Italian by birth, and I am proud that I am a Roman citizen, and not only the sovereign and rulers of the world were proud of this, but also the Apostle Paul, who said “For we have no permanent city here” / but we are looking for the future. Hebrews 13:14/. He called the city of Rome his homeland, and in great danger speaks of himself as a Roman citizen, and not as a Gaulish by birth, and this was to his salvation. Ab experientia quidem et sanctorum patrum ab exemplis, ab Anneo demum Seneca didicisse potui, quod satis est vite hominum panis et aqua - vite hominum dixit, sed non gule -; quam sententiam carmine nepos eius expressit: satis est populis fluviusque Ceresque. Sed non populis Galliarum. Neque ego, si essem gallus, hoc dicerem, sed beunense vinum pro summa vite felicitate defenderem, hymnis et metris et cantibus celebrarem. Sum vero italus natione, et romanus civis esse glorior, de quo non modo princeps mundique domini gloriati sunt, sed Paulus apostolus, is qui dixit: "non habemus hic manentem civitatem." Urbem Romam patriam suam facit, et in magnis periculis se romanum civem, et non gallum natum esse commemorat; idque tunc sibi profuit ad salutem.

6 In this regard, reference may be made to the hypothetical construction of a “southern Italian nation-state” referred to in the article: Andronov I.E. Formation of national historiography in Renaissance Naples // Srednie veka. Issue. 72(1–2). Moscow, Nauka, 2011, pp. 131–152. It is precisely the author’s confidence in the presence of a “national in the full sense of the word” foundation of this state by the beginning of the 18th century that raises questions. In the full sense of the medieval term or the modern understanding of the nation? And if this meaning is general, then why not talk about the Venetian or Florentine "nations" as the core of the future Apennine state? Of course, we argue post factum, and today it is easier to talk about the inevitability of the unification of the regions of the peninsula than in the XIV century. foresee it. But the significance of common history and the memory of it in this case is obvious: ancient Rome casts its shadow on the subsequent fate of Italy.

7 Mommsen Th. E. Petrarch's Conception of the "Dark Ages, p. 16.

8 Harper, Douglas (November 2001). Nation. Online Etymology Dictionary. http://www.etymonline.com

9 I. Natio: 1) Nativitas, generis et familiae conditio. 2) Agnatio, cognatio, familia. 3) Regio, Gall. Pai "s, contree. II. Nationes - 1) in quas Studiorum, seu Academiarum Scholastici dividuntur, 2) Plebeii. Du Cange, et al., Glossarium mediae et infimae latinitatis, ed. augm., Niort: L. Favre, 1883 –1887 via http://ducange.enc.sorbonne.fr.

10 This German-speaking author (1903–1943) emigrated in 1938 to the United States, judging by his last name, of Italian origin. The article "Nation: the history of the word" was translated into English and published posthumously (only the first part). Zernato Guido. Nation: The History of a Word / Transl. Alfonso G. Mistretta // The Review of Politics. Vol. 6. No. 3 (July 1944), pp. 351–366. See http://www. jstor.org/stable/1404386.

11 Ibid., p. 352.

12 Ibid., p. 353.

15 History of Florence, II, 21. In Russian translation by N.Ya. Rykova: "coming from the Ghibelline family." What is really meant here is, first of all, not party, but family affiliation (“by birth Ghibelline”). In all other cases, Machiavelli uses the word nazione in an ethnic or ethno-territorial sense, see the dictionary of his vocabulary at http://www.intratext.com.

16 Zernatto G. Op.cit., p. 355. It is interesting that the title of each nation included its honorary definition: the French "worthy" (l'honorable), the Picardy "faithful" (la fidele), the Norman "respected" (la venerable), the German "steadfast" (la constante).

17 Ibid., p. 358.

18 Ibid., p. 362, 363.

19 Wed. characterization of ideology as an irrational instrument of collective self-identification by E. Erickson: “Ideology here will be understood as a conscious tendency underlying religious and political theories; the tendency at the moment to reduce facts to ideas, and ideas to facts, in order to create a sufficiently convincing picture of the world to maintain a collective and individual sense of identity. (In this book ideology will mean an unconscious tendency underlying religious as well as political thought: the tendency at a given time to make facts amenable to ideas, and ideas to facts, in order to create a world image convincing enough to support the collective and the individual sense of identity). Erikson, Erik H. Young Man Luther: A Study in Psychoanalysis and History. New York: W. W. Norton & Co., Inc., 1962, p. 22. With regard to the national feeling, the role of the subconscious is even more significant, since the feeling of belonging to the collective individual by birth has more “material” roots.

20 Villani J. New chronicle, or history of Florence. M., Nauka, 1997. S. 31. (Book I, ch. 38), p. 70 (book III, ch. 1). Dante Alighieri, Divine Comedy, Hell. XV, 73-78.

21 Villani J. New chronicle, p. 34 (book I, ch. 42), p. 69–70 (book III, ch. 1). Dante Algieri, Divine Comedy, Paradise, XVI, 145–147.

22 Zernatto G. Op.cit., p. 351.

23 In the spirit of the development of state sovereignty from the Middle Ages to the New Age, G. Post considered the idea of ​​the nation: Post G. Medieval and Renaissance ideas of nation // Dictionary of the History of Ideas: Studies of Selected Pivotal Ideas / Ed. Philip P Wiener. New York: 1973–1974, b. 318–324.

Yusim M.A.

I.III. Some Remarks on Byzantine Models of "Ethnic" Identification

The texts of the middle and late Byzantine period are full of ancient names of peoples, such as "Gauls", "Colchians", "Gepids", "Scythians", "Sarmatians", "Huns", "Tauro-Scythians", "Triballi", "Getae", "Dacians ”, etc., in no way, in the modern view, not correlated with the medieval peoples designated by them. It seemed that the Byzantines avoided neologisms and lexical borrowings from the outside world, geographical, ethnic nomenclature, the realities of foreign social and cultural life were often (but not always) referred to in terms of classical science (historiography, geography, etc.) 1 . Researchers usually refer to this well-known phenomenon as “archaization” of realities contemporary to Byzantine authors as a result of transferring the traditional terminology already established in Greek science to new objects.

The problems of the origin and function of Byzantine "archaization" were solved in modern literature on the basis of several methodologies used in the field of research on Byzantine culture. The vast majority of these approaches develop in the context of traditional philology and literary criticism and concentrate on the analysis stylistic features of Byzantine texts. According to the literary-critical explanation, the Byzantines reproduced archaic toponymic and ethnic terms, trying to preserve the classical integrity of literary discourse, often to the detriment of factual accuracy 2 . This position was most fully formulated by G. Hunger, who even spoke about the stylistic "snobbery" of Byzantine authors and their disregard for any new information. The researcher interpreted "archaization" in more cautious terms as "mimesis", the Byzantines' imitative reproduction of the language, style features and themes of ancient literature 3 . Consequently, the very ability of the Byzantines, allegedly completely immersed in the imitation of ancient forms and images, to adequately reflect reality caused serious doubts among researchers 4 . So, for example, G.G. Beck spoke about the lack of curiosity among the Byzantines in relation to other peoples, which was a consequence of the fundamental autarchy of the Byzantine consciousness. The barbarians were viewed as a kind of undifferentiated and homogeneous unity 5 .

Contribution to the clarification of the genesis of the Byzantine "archaic" constructions was made by poetology, presented by the domestic researcher M.V. Bibikov. M.V. Bibikov analyzed the Byzantine descriptions of other peoples again mainly from a philological point of view, but using more sophisticated poetological analytical tools. As shown by M.V. Bibikov, “archaization” was not so much a slavish imitation of ancient authorities, but one of the functions of the poetological structure of Byzantine texts. The researcher finds it possible to talk about chronotope of the barbarian world, i.e., about the special organization of space and time in the narrative, which determined the functionality and substantive significance of the ancient ethnicons in the Byzantine context 6 . The specific stylistic strategies of the Byzantines also played a role in the persistence of the practice of preserving traditional ethnikons, who avoided including “alien speech”, i.e., barbaric neologisms-ethnonyms, in their narrative, so as not to violate the integrity of the narrative fabric 7 . The researcher interpreted "archaization" in the context of the "etiquette" of medieval discourse, which tied ethnonymy to geographical space 8 .

"Archaization" also received a socio-cultural interpretation, which, however, very clearly gravitates towards philological interpretations. For example, G. Hunger believed that in the XIV century. "archaization" was the lot of intellectuals from the peaoi layer, for whom it was a unifying sign of corporate unity and corporate exclusivity. I.I. Shevchenko supports this idea, talking about classical knowledge (and, accordingly, the ability to classicist imitation) as a prestigious group marker that separated the intellectuals from the lower classes 9 . A discussion of these and other points of view is contained in the article by M. Bartuzis, who not only cited the opinions prevailing in historiography, but also put forward his own vision of the problem. The researcher rightly considers "archaization" as part of an even broader problem of the attitude of the Byzantines to their past 10 .

Below we will offer another possible solution to the problem of "archaization", considered in the particular context of the Byzantine ethnonymic classification. As applied to ethnic terminology, the problem of "archaization" can hardly be solved only by means of literary criticism and poetology. The problem can be viewed from a more general epistemological positions that allow greater clarity in understanding how the Byzantines structured the world around them. In other words, one should understand what criteria of identities and differences the Byzantines used when constructing their ethnic taxonomies.

Of decisive importance was the very basic logic of the Byzantine method of systematizing and classifying objects, which can be best illustrated by the example of elementary Aristotelian logic. In terms of its principles, the scientific method of the Byzantines differs little from the modern one - both of them date back to Aristotelian epistemology, which dominated the space of traditional science until the 19th century. The key to understanding Byzantine taxonomy are two related pairs of categories, developed in detail by Aristotle and perceived by ancient and Byzantine science as fundamental ideas: firstly, this is the general and the singular, and secondly, the genus and species. The individual is perceived sensually and is present "somewhere" and "now". The general is that which exists in any place and at any time (“everywhere” and “always”), manifesting itself under certain conditions in the individual, through which it is known 11. The general is comprehended by the mind, and it is precisely this that is the subject of science. The particular variety of objects, united by the commonality of their properties and features, is reduced to conditional, "general" generic categories. According to Aristotle's definition, "genus is that which is expressed in the essence of many and different in appearance [things]" 12 . Porfiry formulates even more clearly: “... the genus is that which is said about many and different in appearance things, while indicating the essence of these things, and at the same time we designate the species as that which is subordinate to the genus explained above ...” 13.

In other words, generic categories are universal models and ideal types, which in the classification unite real singularities (“many and different in appearance things”) that have certain common features.

According to the descriptive models of the Aristotelian topic, “What the genus does not contain does not contain the species. However, it is not necessary that what a species does not contain should not contain a genus. But since what a genus says is necessarily said by one of its species, and since everything that has a genus, or is denoted [by a word] derived from this genus, necessarily has one of its species or is denoted [ word] derived from one of its species” 14 . Species are united into genera only in terms of their own properties, and genera, therefore, can unite very dissimilar species units, which, however, have certain common essential features.

Ideally, generic categories are designed to cover not only known “single” objects, but also newly discovered ones. In this sense, the Byzantine method is identical to the modern one; both of them are turned to the future - to the development of the unknown through similarity and analogy. The Byzantine taxonomic hierarchy was substantively and methodologically inherited from antiquity, classifying and systematizing not only known, but also new, discovered objects.

Here are some examples from historiography. Zosimus in the 5th century, defining the Huns, brings them under the classification (generic) model of the Scythians, while clearly realizing that this people is new and not identical to the ancient Scythians: “a certain barbarian tribe rose up against the Scythian peoples who lived on the other side of Istra, which before it was not known and then suddenly appeared - they were called the Huns, they should be called either the royal Scythians, a snub-nosed and weak people, as Herodotus spoke of them, living in Istra, or those [Scythians] who moved from Asia to Europe ... ." fifteen . In other words, the author does not at all think that the Huns are identical in everything with the Scythians of Herodotus; in his classification, the Huns are one of the varieties of the ideal generic concept of "Scythians", similar to some types of ancient Scythians.

This method of Byzantine intellectuals, who were looking for the key to explaining the modern world through the establishment similarities and analogies(compare with σύγκρισις "comparison", "comparison" in rhetoric 16), contributed to the preservation of the integrity and internal consistency of the Byzantine knowledge system and ensured its ability to recognize and systematize new objects.

The problem is that the Byzantine taxonomic grid of identities and differences, on the basis of which the reduction of new information to already known models, was significantly different from the modern one. Byzantine schemes in terms of the classification of peoples differed significantly from modern ones due to the use of classification criteria other than in modern science. Unlike modern ethnic classifications, the Byzantines practically did not use language criterion.

It is this last feature of the Byzantine classification model, which relegated the linguistic criterion to the background, that makes it so different from the modern one. If modern science puts forward the main criterion in the systematization of peoples their linguistic affiliation, then Byzantine knowledge classified peoples through their locative parameters. As a secondary, additional criterion, the socio-cultural characteristics of peoples were taken into account. Depending on the habitat of the people (Gaul, the Danube, the Northern Black Sea region, the Caucasus, Anatolia, the Middle East, North Africa, etc.) and their way of life (nomadic / settled), one or another traditional model was transferred to it, and along with her and the marking ethnikon.

Let's start with the fact that the criterion of geographical locus (πατρίς, fatherland, homeland) was the basic one in the personal identification of the Byzantines. The Byzantine associated himself and his other compatriots primarily with the place of birth and, accordingly, with the people living there. Πατρίς can denote a village, a city, a province, a historical region (Isauria, Thrace, Bithynia, Paphlagonia, Cappadocia, Pontus, etc.), a state (for example, Romagna) in their geographical aspect. The important role of narpig, as one of the common ways of identifying a person, is evidenced by the models of Byzantine anthroponymy, and especially by nicknames that indicate the geographical origin of their bearers. Identification of a person by a locative nickname derived from the place of his birth or residence (Caesarea, Gaza, Cappadocia, Trebizond, Paphlagonian, Isaurian, etc.) was quite common for Byzantium, which inherited this method of marking from earlier times. A locative nickname was considered, apparently, the simplest and most convenient way to designate a person's individuality.

The love of the Byzantines for their homeland is evidenced by many texts that represent a special genre. patria, which served as a manifestation of this nostalgia for the homeland. One of the most developed branches of the Byzantine patria genre was the Patria Constantinopolitana, "The Fatherland of Constantinople", which scrupulously describes the topography of Constantinople, its monuments, churches, holy places, administrative buildings, palaces, markets, etc. 17 Numerous similar descriptions of large and small cities besides Constantinople, especially for the early Byzantine period. We know about the early Byzantine description of Antioch, Thessalonica, Tarsus, Beirut, Miletus and other cities of the empire 18 . From subsequent periods, several ekphrasis, praising many large and small centers of the Byzantine world: Antioch, Nicaea, Trebizond, Heraclius Pontus, Amasya, etc. 19 Love for the motherland is manifested not only in patria and ekphrasis, it is found as a structurally distinguished element in other genres of Byzantine literature. Genre it could be the story of the native city or region, such as, for example, "The Capture of Thessalonica" of the 10th century, written by John Caminiates. He described the Arab siege and capture of Thessalonica in 904. “Our fatherland, my friend, Thessalonica” (Ἡμεῖς ὦφίλος πατρίδοςἐσμὲν Θεσσαλονίκης) – John Caminiates begins his description of the beauties of Thessaloniki, thus anticipating the mournful story of the Arabs and almost razed Thessalonica to the ground 20 . The significance of the spatial dimension in human identity is especially evident in Byzantine hagiography. One of the indispensable elements of a hagiographic narrative was an indication of the exact geographical locus from which the saint comes (as one of the Byzantine hagiographers at the end of the 9th century formulated this: “But since it is customary when writing a story to tell who [a person] was and where [he happening]…”) 21 . Hagiographers usually gave brief laudatory descriptions of the birthplace of the saint they describe (“outstanding”, “glorious” city, “blissful island”, etc.), being especially attentive to whether this place was the cradle of other holy people in the past. The hagiographer seems to be trying to find grounds for the outstanding virtues of the saint, in particular, in the characteristics of his homeland, which influence the disposition of the inhabitants.

It must be emphasized that the bio-geographical features of origin are associated not so much with ethnic, tribal or religious components of identification, but with "cultural" and "psychic". Byzantine authors, describing their own or someone else's homeland, do not pay any attention to the ethnic or religious affiliation of its population, but at the same time they often emphasize the "cultural" advantages or disadvantages (virtues, upbringing, education) associated with a particular locality. . The geographical locus itself, the peculiarities of its spatiality predetermine the qualities and character of its inhabitants. Unconscious and subconscious geographical determinism, rooted in the ancient tradition, turned out to be very functional in the worldview of the Byzantines. Thus, the homeland was nothing more than a locus, a geographical place of origin, and usually had nothing to do with the confessional or ethnic (in our sense) characteristics of its inhabitants.

Attention to the geographical origin of a particular person, apparently, had a connection with the more general "bio-geographical" ideas of ancient Greek astronomy / astrology, physiology and geography, which were combined in the theory of climates. Climate theory was a product of the development of Hellenistic astronomy and geography. In astronomy-astrology, initially, climate (κλίμα “tilt”, “declination” from Greek κλίνω) was understood as the angle of inclination of the polar axis of the celestial sphere with respect to the horizon, increasing with distance from the equator. Moreover, it was for astrology that latitudinal changes were the most significant - for compiling a horoscope, the angle of declination of the celestial sphere at a certain point on the earth was of fundamental importance. In geography, climate was understood as the angle of inclination of the incident sun's rays to the earth's surface, on which the longitude of the day depended - in the south, respectively, the days were shorter, and in the north longer. Climates denoted zones on the earth's surface, in which the average length of the day varied by about Y hours, which resembled modern time zones 22 . Later, with the development of the theory of climates, ancient science came up with the idea of ​​latitudinal zones on the surface of the earth, stretching from east to west and located from south to north parallel to the equator. In the populated part of the earth, 7 climatic (i.e., latitudinal) zones were distinguished from Meroe in the south to Borisfen (the mouth of the Dnieper) in the north. The idea of ​​latitudinal parallels found its final form in Claudius Ptolemy 23 .

The combination of geographical, physiological and astrological concepts led to the idea of ​​the influence of latitudinal differences on human mores. Even Hippocrates formulated the dependence of the natural qualities of people on the influence of their natural environment 24 . Posidonius associated the intensity of sunlight and the influence of other heavenly bodies with the geographical characteristics of the earth's surface, and these, in turn, with the temperament of the peoples living there. He defined the extreme southern and northern climates through ethnicons - "Ethiopian" and "Scythian and Celtic", respectively. Although Posidonius, apparently, continued to consider the climate not as a latitudinal ribbon, but as a region 25 . Probably the first to articulate the ethnographic aspect of the climatic theory was Pliny the Elder, who postulated the dependence of flora, fauna and human customs on latitudinal localization 26 .

The idea of ​​a connection between geographical locus and the mores of both individuals and peoples is clearly seen in the corpus of astrological texts. Features of geographical origin that affect the "cultural" characteristics of peoples are largely due to the celestial bodies, primarily the Sun and the Moon, which affect different points on the earth's surface in different ways. Astrological descriptions of climates, beginning with A. Boucher-Leclerc, are singled out as a special genre of astrological chorography: these are, as a rule, short treatises containing the correspondence of various regions of the ecumene with the signs of the zodiac and luminaries that control them 27 . The most theoretically saturated and harmonious astro-chorographic concept is contained in the "Tetra-byblos" by Claudius Ptolemy 28 . It is the description of the peoples that Ptolemy considers to be the most important astrological task: “... prediction through astronomy embraces the two largest and most important sections ... the first and to a greater extent generic covers everything related to entire peoples, countries and cities and is called universal, and the second and mostly specific is section relating to individuals, called genephlialogical ... "29 . (The passage, among other things, clearly demonstrates the use of generic-specific systematization in scientific discourse.) Further, a little lower, Ptolemy says: “So, the differentiation of the identity of peoples is carried out along whole parallels and angles, through their position relative to the circle passing through the middle of the zodiac and the Sun ... and then develops this idea in detail on numerous particular examples 30 . The astronomical ethnography of Ptolemy has been studied in detail by A. Boucher-Leclerc, E. Honigmann and Mark Riley, and we will return to it later.

According to conventional ideas derived from astrological and geographical concepts, the superiority of the Romans and Greeks lies in the fact that they live in the middle part of the ecumene, being in the most favorable climate, which combines a perfect balance between hot and cold nature. Other peoples are located in regions that are too far from climatic equilibrium, which leads to a certain imbalance in their natures. Only the Romans and Greeks, living in the middle part of the civilized ecumene, have a harmonious national character 31 .

The theory of climates was well known in late Byzantine times. George Pachymer in the XIV century. repeats the traditional ancient scheme, arguing that the natural abilities of people, their character and temperament depend on the strength of sunlight and the warmth of the climate. Southerners who receive more sunlight are smart, capable in the arts and sciences, but too pampered and unskilled in battle; the northerners, living in a cold climate, are pale, narrow-minded, cruel, rude, but also more militant. Geographic location, as Pachymer explains, directly affects the character, predisposition and natural abilities of a person 32 . Similar arguments (albeit not as detailed and conceptual) are also found in other authors 33 .

In Byzantine times, climatic theory continued to be in close connection with astrology. The genre of special lists of πόλεις ἐπίσημοι, “famous cities”, which was an enumeration of the main cities of the ecumene (mainly Greco-Roman) with their coordinates, which were grouped according to latitudinal climates 34, became widespread. In the XIV century. astrologer John Catrarios, quite naturally in the context of Greek astrology, connected the fate of peoples with their localization. He singled out seven latitudinal climates and established their dependence on specific planets and signs of the zodiac. In his description, the place occupied in the climate and the corresponding zone of the celestial sphere influence the fate of cities, and, consequently, the people living there 35 .

As we can see, astro-geographical determinism, rooted in the ancient tradition, remained functional in the worldview of the Byzantines. The spatial circumstances of birth (heavenly and earthly) of both an individual and a community of people were directly dependent on the locus.

The essential importance of the locative aspect for the formation of personal characters and collective features of human communities brought to the fore geographical knowledge. In geography, the Byzantines up to the 15th century. adhered to the map of the world worked out in antiquity, relying mainly on Strabo. Ptolemy's "Geography" was known to the Byzantines but little used. After the introduction of Ptolemy's "Geography" into scientific circulation by Maxim Planud in 1295, its influence increased - Byzantine geographers corrected Starabonov and Ptolemy's systems by comparing them and adding new information 36 . Geographers continued to classify the spaces north of the Danube and further east to the edge of the inhabited part of the earth as Scythia, which extended south to the Indus River. The Caspian Sea was still considered a gulf of the Ocean or a lake separated from the Ocean by a narrow strip of land. In Scythia near the Caspian Sea, the lands of the Huns, Hyrcanians, Massagetae, Tokhars, Saks, etc. were mentioned. In the Middle East, they singled out Mesopotamia, Persia, Arabia, Media, Armenia, etc. climates 37 . The peoples, respectively, were named in strict accordance with these geographical names.

Ultimately, the Byzantine method led to a paradoxical, in the modern view, transfer of ancient terminology to new medieval realities, which often confuses a modern researcher. However, there is little paradox here, because modern scientific taxonomy works in principle in the same way, using generic and specific categories that arose at different times and are often very conditional. And we, for example, use the names "America", "Australia" and many others only because of scientific tradition, but not because they adequately reflect any specific geographical, cultural or ethnic characteristics. The difference between the Byzantine scientific classification and the modern one lies only in the use of different qualification criteria.

Notes

1 For a statement of the question with typical examples, see: Bibikov M.V. To the study of Byzantine ethnonymy // VO. M., 1982. S. 148–150.

2 Dietrich K. Byzantinische Quellen zur Länder- und Völkerkunde, 5.-15. Jahrhundert. Leipzig 1912 (repr. Hildesheim, New York, 1973). S. XV–XVII; Ditten H. Der Russland-Exkurs des Laonikos Chalkokondyles, interpretiert und mit Erläuterungen versehen. Berlin, 1968. S. 3-11.

3 Hunger H. Die hochsprachliche profane Literatur der Byzantiner. bd. I–II. Munich, 1978. Bd. I. S. 71, 407-408, etc., and especially S. 509; see ibid. Register (heading Archaisieren); Hunger H. On the Imitation (MSHNH1X) of Antiquity in Byzantine Literature // DOP. 1969–1970 Vol. 23. P. 15–38.

4 Dietrich K. Byzantinische Quellen zur Länder- und Völkerkunde. S. XX: „Konnten denn aber die Byzantiner wirklich beobachten und Beobachtetes auch wirklich darstellen? - Schon die Stellung dieser Frage schiene absurd, wenn von irgendeiner andern Menschenklasse die Rede wäre als von Byzantinern.

5 Beck H.G. Theodoros Metochites: die Krise des byzantinischen Weltbildes im 14. Jahrhundert. Munich, 1952, pp. 89–90; LechnerK. Hellenen und Barbaren im Weltbild der Byzantiner: die alten Bezeichnungen als Ausdruck eines neuen Kulturbewusstseins. Thesis (doctoral) - Ludwig-Maximilians-Universität. Munich, 1954. S. 75.

6 Bibikov M.V. Byzantine sources on the history of ancient Russia and the Caucasus. SPb., 1999. S. 91–97; Bibikov M.V. Ways of immanent analysis of Byzantine sources on the medieval history of the USSR: (XII - the first half of the XIII centuries) // Methods of studying the most ancient sources on the history of the peoples of the USSR. M., 1978; BibikovM. AT. Byzantine ethnonymy: archaization as a system // Ancient Balkan studies. Ethnogenesis of the peoples of the Balkans and the Northern Black Sea region. M., 1980. S. 70–72.

7 Bibikov M.V. Byzantine sources on the history of ancient Russia and the Caucasus. pp. 87–88.

8 Bibikov M.V. To the study of Byzantine ethnonymy. pp. 154–155.

9 Hunger H. Klassizistische Tendenzen in der byzantinischen Literatur des 14. Jh. // Actes du XlVe Congres International des Etudes Byzantines. Vol. I. Bucureşti, 1974, pp. 139–151; Sevcenco I. Society and Intellectual Life in the Fourteenth Century // Actes du XlVe Congres International des Etudes Byzantines. Vol. I. Bucureşti, 1974, pp. 88–89.

10 Bartus M. The Function of Archaizing in Byzantium // BS. 1995. T. 56/2. P. 271–278.

11 See, for example: Aristotle. Metaphysics. I. 2, III. 4 and others; Aristotle. Categories. III.

12 Aristotle. Topeka. I.V.

13 Porfiry. Introduction // Aristotle. Categories / Ed. G. Alexandrov, transl. A.V. Kubitsky. M., 1939. III.

14 Aristotle. Topeka. II. IV.

15 Zosime. Histoire nouvelle / Ed. F. Paschoud. Vols. 1–3. Paris, 1971-1989. Vol. 2/2. IV, 20, 3, (p. 280. 1-5); Dietrich K. Byzantinische Quellen…Bd. 2. S. 1.

16 Averintsev S.S. Rhetoric as an approach. pp. 162–165. G. Hunger also speaks in detail about syncrisis, citing numerous examples from Byzantine encomiastics and historiography, although his interpretation of syncrisis falls within the vague concept of mimesis: Hunger H. On the Imitation. P. 23–27.

17 Scriptores originum Constantinopolitanarum / Ed. th. Preger. Leipzig, 190107. Bd. 1–2; Dagron G. Constantinople imagination: etudes sur le recueil des ‘Patria’. Paris, 1984; Constantinople in the Early Eighth Century: the Parastaseis Synto-moi Chronikai. Introduction, Translation and Commentary / Ed. A. Cameron and J. Herrin. Leiden, 1984, pp. 3–9.

18 Dagron G. Constantinople imagination. P. 9–13.

19 See chapter Ekphraseis in: Hunger H. Die hochsprachliche. bd. 1. S. 171–188; and also: ODB. Vol. 1. P. 683.

20 Ioannis Caminiatae de expugnatione Thessalonicae / Ed. G. Bohlig. Berlin, 1973. 3(1).

21 Holy Women of Byzantium. Ten Saints' Lives in English Translation / Ed. by Alice Mary Talbot. Washington, 1996. P. 165 Mertel H. Die biographische Form der griechischen Heiligenleben. Munich, 1909. S. 90; Aoparev H. Greek Lives of the Saints of the 8th–9th centuries. Petrograd, 1914. C. 16 et seq.

22 Hongmann E. Die sieben Klimata und die ΠΟΛΕΙΣ ΕΠΙΣΗΜΟΙ: eine Untersuchung zur Geschichte der Geographie und Astrologie im Altertum und Mittelalter. Heidelberg, 1929, pp. 4–7, 13–14ff.; Bagrow L. The Origin of Ptolemy's Geographia // Geografiska Annaler. 1945 Vol. 27. P. 320–329; Dicks D.R. The ΚΛΙΜΑΤΑ in Greek Geography // The Classical Quarterly. new series. 1955 Vol. 5. No. 3/4. P. 248–255; Evans J. The History and Practice of Ancient Astronomy. New York, Oxford, 1998, pp. 95–97.

23 Hongmann E. Die sieben Klimata… S. 58–72.

24 Oeuvres completes d'Hippocrate / Ed. E. Littre. Vol. 2. Paris, 1840 (repr. Amsterdam, 1961). 14–20. Russian translation: Hippocrates. About air, waters and places. 21–30 (V. V. Latyshev. News of ancient writers about Scythia and the Caucasus // VDI. 1947. Vol. 19. No. 2); Müller K.E. Geschichte der Antiken Ethnographie und ethnologischen Theoriebildung. Von den Anfängen bis auf die byzantinischen Historiographen. bd. 1–2. Wiesbaden, 1972-1980. S. 137 f.; Backhaus W. Der Hellenen-Barbaren-Gegensatz und die Hippokratische Schrift Per! äspwv üSätwv Tonuv // Historia: Zeitschrift für Alte Geschichte. 1976 Vol. 25/2. S. 170–185 (especially S. 183); Dagron G."Ceux d'en face". P. 209–210;

25 Strabo. Geography / Per. with others - Greek. G.A. Stratanovsky, ed. O.O. Kruger, gen. ed. S.L. Utchenko. M., 1964. 2.11.1–3 (95–96), 2.Sh.1; Hongmann E. Die sieben Klimata. S. 24–30; Dihle A. Die Griechen und die Fremden. Munich, 1994, pp. 90–93.

26 C. Plini Secundi Naturalis historiae libri XXXVII, Ed. Karl Mayhoff. bd. 1–6. Stuttgart, 1967-1970. II. 5–6, VII. 41, especially II. 80: Contexenda sunt his cae-lestibus nexa causis. Namque et Aethiopas vicini sideris vapore torreri adustisque similes gigni, barba et capillo vibrato. etc.; Hongmann E. Die sieben Klimata. S. 33–40; Trudinger K. Studien zur Geschichte der griechisch-römischen Ethnographie. Basel, 1918, pp. 37–38, 51ff.; Müller K.E. Geschichte der Antiken Ethnographie. bd. 1. S. 141–142. Wed: Halsall G. Funny foreigners. P. 91ff.

27 Bouché-Leclercq A. Chorographie astrologique // Melanges Graux. Paris, 1884. P. 341-351; Bouché-Leclercq A. L'astrology grecque. Paris, 1899. P. 327.

28 Bouché-Leclercq A. L'astrology grecque. P. 338–355; HonigmannE. Die sieben Klimata. S. 41–50; RileyM. Science and Tradition in the "Tetrabiblos" // Proceedings of the American Philosophical Society. 1988 Vol. 132/1. P. 67–84.

29 Claudii Ptolemaei Opera quae exstant omnia / Ed. E. Boer and F. Boll, secun-dis curis edited by Wolfgang Hübner. T. 3/1. Stuttgart, 1998. II. 1.2: dg 8üo toIvuv ta reushta ka! kirshta reg | Siaipoupevou toi Si’ äuTpovoplag npoyvwffTiKoü, ka! yarstoi pev övrag ka! utkshteroi toi ka0’ bXa £0vq ka! ushrad q yaoKhvd lapßavopsvou, ö KaXstrai ka0o "Khzh6u Ssmxpou 8yo ka! siSiKWTspou toi ka0’ sva gkasttot Tüv äv0pwnwv, önsp KaAsiTai ysvs0XialVoyiK6v.

30 Ptolem. Opera. II. 2.1.

31 Riley M. Science and Tradition in the "Tetrabiblos" ... P. 76; Dauge Y.A. Le barbare: recherches sur la conception romaine de la barbarie et de la civilisation. Bruxelles, 1981, pp. 806–810.

32 Pachym. T. I. III, 3 (p. 236/237 and especially p. 237. 3-7). For similar examples from military treatises of previous eras, see: Dagron G."Ceux d'en face". P. 211–215. For Pachymer's reasoning discussed, see also: Uspensky F.I. Byzantine historians about the Mongols and Egyptian Mamluks // VV. 1926. T. 24. S. 1–8; Laiou A.E. The Black Sea of ​​Pachymeres // The Making of Byzantine History. Studies dedicated to D.M. Nicol. London, 1993. P. 109–111.

33 See, for example: Eustathius Thessalonicensis. Commentarium in Dionysii pe-riegetae orbis descriptionem // Geographi Graeci Minores / Ed. K. Müller. T. 2. Paris, 1861. P. 258, 265, 339.

34 Hongmann E. Die sieben Klimata… S. 82–92.

35 Anonymi christiani Hermippus de astrologia dialogus / Ed. W. Kroll et P. Viereck. Leipzig, 1895. 2. 12–14 (p. 51–58), especially: 56–58; Bouché-Leclercq A. L "astrology grecque ... P. 322–323, 346–347; Hongmann E. Die sieben Klimata. S. 100–101; Borodin O.R., Gukova S.N. History of geographical thought in Byzantium. SPb., 2000. S. 126.

36 HungerH. Die hochsprachliche profane Literatur. bd. 1. S. 509–514; Borodin O.R., Gukova S.N. History of geographical thought in Byzantium. S. 126132 et seq.; The History of Cartography / Ed. J.B. Harley and D. Woodward. Vol. 1. Chicago & London, 1987. P. 268; Laiou A.E. The Black Sea of ​​Pachymeres. P. 95.

37 Nicephorus Blemmydes. Conspectus geographiae // Geographi Graeci Minores / Ed. K. Müller. T. 2. Paris, 1861. P. 463–467; Nicephorus Blemmydes.῾Ετέρα ἱστορία περὶ τῆς γῆς // Geographi Graeci Minores / Ed. K. Müller. T. 2. Paris, 1861. P. 469–470; The History of Cartography. Vol. 1. P. 266–267.

Shukurov R.M.

I.IV. Ethno-linguistic criteria in the description of Iran in the "Chronography" by John Malala

In this work, an attempt will be made to trace what criteria John Malala 1 follows when describing Iran and the population of this “boundless and measureless land, at such a great distance from Rome” (XI.6), how the toponyms “Persida”, “ Persian land" and the ethnonyms "Persians", "Parthians", "Medes", "Scythians".

The next step is to determine to what extent the terminology, which reflected the ethno-geographic ideas of the 6th-century Antiochian chronicler, is a product of "archaization" in its literary and stylistic understanding.

The origin of John Malala, a native of Antioch, his rhetorical education and position as a middle-class official 2 allow us to look at him as the bearer of a certain worldview system with its inherent stereotypes, which were shared by many of his contemporaries, educated people, but far from the vicissitudes of high politics (on this against the background of Procopius of Caesarea, for example, with his talent and closeness to the military elite, seems to be more of a brilliant exception than the rule).

The features of the Chronography as the only 3 extant work of the "entertaining history" genre (close to the spoken language 4 and, therefore, orientation to a wide range of readers; lightness of the pen and the desire to create a fascinating narrative at the expense of factual accuracy) indicate that John Malala and sought to work within the framework of this system of representations. Focusing on the taste and demands of society, he turns to the material that could be of interest to a simple reader, and organizes it (leaving aside the question of the goals and objectives that he set himself) in such a way as it would seem logical to him and his readers. All this makes the "Chronography" an interesting source for the reconstruction of the ideas of the Byzantines of the 6th century. about Iran.

Since we are talking about “imaginary Iran”, it is advisable to leave aside for a while the problem of the correctness of the transmission of information from primary sources, 5 which is often unsolvable due to the fact that the works of the authors referred to by the chronicler have not reached us.

It is proposed to perceive the "Chronography" as a single canvas created by John Malala on the basis of the information available to him, received from his contemporaries and gleaned from books, and as a historical reality, without questioning the real and specific content of concepts, toponyms and ethnonyms.

The article by R.M. Shukurov "Lands and tribes" 6 . To reconstruct the Byzantine classification of the Turks, the author refers to the principles of Byzantine epistemology, which goes back in many respects to Aristotelian logic. First of all, we are talking about the concepts of genus and species and the use of the concept of genus as an ideal category for describing new specific phenomena (species). In addition, it is emphasized that, unlike modern science, the classification model of the Byzantines was dominated not by a linguistic, but by a locative criterion.

How this method works, we will try to trace on the material of John Malala. After analyzing the relationship between the concepts of "Persis" and "Persians", one can try to reconstruct the mechanism for introducing new concepts, which he uses to describe events in a neighboring country from mythological times to the reign of Justinian.

In review articles and works on the analysis of methods for combining Christian and ancient historical traditions 7 , in studies of the Slavonic translation of the chronicle of John Malala, the foundation of which was laid by V.M. Istrin 8 , in the research volume 9 accompanying the English translation of the chronicle, and in recent works by French researchers 10 the problems of reconstructing John Malala's ideas about Iran were not analyzed in detail 11 .

Geography

The concept of "Persida" appears in the "Chronography" earlier than the ethnonym "Persians". When the land is divided between the descendants of the sons of Noah (I.6), Persis goes to the clan of Shem along with Syria and Media. We are talking about the territory "from Persia and Baktra up to India."

Here we meet the only mention of Bactria (or the city of Baktra) in the "Chronography". Since we are talking about the northeast and north of Iran, we note that the toponym "Parthia" is not used at all, Malala speaks only of the Parthians.

The "Indian borders" will be mentioned repeatedly and subsequently as distant regions where the king of the Persians flees in case of military failures (Cyrus wanted to flee to the Indian lands from Croesus VI.7; Narse flees to the Indian borders from Maximian XII.39). Thus, the eastern border of the Persian land is India. Further (XVIII.15) Malala calls the inhabitants of Aksum and Himyar Indians, but this is a topic for a separate study.

In the west, Mesopotamia turns out to be a natural border. The Euphrates, together with Persis, goes to Shem (I.6). The Tigris separates Media and Babylonia, and from it, according to Malale, extends the region from Media northward to the British Isles, which was inherited by the Japhet family. The toponym "Media" occurs only three times. The ethnonym "Medes" is more often used (II.11, VI.14, VII.18–19, VIII.1, VIII.3).

Further (I.8) again Persis is mentioned together with Syria and "the rest of the eastern land" as the territory of the Shem clan. The first who began to reign, that is, to command and command other people, was Kron, from the Sim family. "He reigned in Assyria for many years and subjugated all the Persian land, starting with Assyria."

Consequently, Assyria was perceived as part of the Persian land and as the birthplace of the institutions of power in the East. In the next episode, we find confirmation of this.

Peak Zeus, having reigned in Assyria for thirty years, made his son Bel the king of Assyria. Bel ruled over Assyria for two years and died, and the Persians deified him. (I.10) Assyria after Bel was ruled by Nin, another son of Cronus, who married his mother. And since then, it has been the custom of the Persians to marry their mothers and sisters ... Nin, having reigned over Assyria, builds Nineveh, the city of the Assyrians, and rules in it first. But Semiramis Rhea, his mother, was his wife, Malal emphasizes again a little lower (I.11).

It is worth noting that in the terminology of the chronicler Cronus, Bel and Nin ruled Assyria, only once Malala says about Bel that he ruled the Assyrians. In the further narrative, the rulers bear the title “king of the Persians / Assyrians / Romans”, that is, they are called the basileus of a certain people, and not a country (a similar formula is found in Procopius (Bel. Pers. I.2), in Agathias (II.18), in Theophylact Simokatta (III.16)). The toponym "Assyria" gives way to the concept of the Assyrians (I.12, VI.1, 3, 4, 13, VII.18–19).

The next interesting point is the bunch of "Assyrians, Persians, Medes and Parthians", which are repeatedly mentioned together when describing the times of Alexander the Great.

“And having defeated Darius, the king of the Persians, the son of Assalama, Alexander captured him and all his kingdom and all the lands of the Assyrians, Medes, Parthians, Babylonians and Persians, and all the kingdoms of the earth, as the wise Bottias wrote; and cities, and regions, and all the land of the Romans, Hellenes and Egyptians freed from slavery and obedience to the Assyrians and Persians, Parthians and Medes, giving the Romans everything that they had lost ”(VIII.1).

The lands of these peoples turn out to be a united concept in the previous plot: “The Assyrians and their king Oh became proud; and the whole earth revolted, and power was transferred into the hands of the Assyrians, Persians, Medes, and Parthians” (VII.17). Once again, the thesis about the connection and kinship of these peoples in the eyes of Malala finds confirmation. Otherwise, it would seem strange that the uprising against the Assyrians ends with their remaining in power (albeit together with other peoples). An opposite example can be found in Agathias, according to which, in the reign of Sardanapalus, when the kingdom was weakened, the Mede Arbah and the Babylonian Velisis took power from the Assyrians and handed it over to the Medes (II.25).

In addition, earlier Malala calls Okh "King of the Persians" and reports that he ascended the throne after his father Artaxerxes, "King of the Persians". (VII.17)

The following message, it would seem, adds confusion to the ethnographic picture “Among the Babylonians, after Och, Darius, a Mede, the son of Assalam, came to power and subjugated everyone” (VII.18).

peoples

The simplest solution would be to assume that we are talking about synonyms "Babylonians - Assyrians", "Medes - Persians", "Assyrians - Persians".

The argument against is the very consistent enumeration of all four (and in a separate case five) peoples: "Assyrians, Medes, Parthians, Babylonians and Persians" (VIII.1). If we are talking about the same thing, what is the point of lengthening the narrative? This means that John Malala had motives to bring these concepts closer together and build a certain system.

First, it is legitimate to assume that the important point was the issue of cultural continuity. Malala traces the type of marriage common among Zoroastrians to the king of Assyria and mentions Semiramis. This detail was also noted by his contemporaries (Proc. Bel. Pers. I.XI.5, Agath. II.24).

Nimrud (from the tribe of Shem, like Kron, Bel and Nin) founded Babylon and "the Persians say that he was deified and became a star in the sky, which they call Orion." He was a leader among the Persians (I.7). Given the importance that Malala attaches to the construction of cities and the ordering of space as the most important function of the ruler, the link "Assyrians - Babylonians - Persians" seems quite logical.

After Nin, according to Malala (I.12), Furas reigned over the Assyrians, whom his father, Zames, brother of Rhea, renamed after the name of the star Ares. It was to Ares that the Assyrians erected the first statue, and revered him as a god, and to this day he is called in Persian Baal god, which translates as Ares, the militant god. "In Persian" in this case means rather "in Assyrian" or "in Syriac", since Baal is a word of Semitic origin.

Agathius (II.24) also likens the gods of the Persians to ancient deities, noting that before Zoroaster they revered Jupiter and Saturn and all the other gods of the Hellenes, calling, however, Zeus Belom, Aphrodite Anaitis.

Malala also shows interest in Zoroaster. “From the same family was born Zoroastrian, the famous astronomer of the Persians. Before his death, he prayed to die from heavenly fire, and said to the Persians: “If the fire burns me, raise and store my burnt bones, and then the kingdom will not leave your land all the time while you keep my bones.” And then he glorified Orion and was destroyed by heavenly fire. And the Persians did so, as he told them, and they keep his ashes to this day” (I.11).

Secondly, genealogical ties were an important tool for putting things in order in the history of peoples. Perseus, the son of Peak Zeus, turns out to be the nephew of the king of Assyria, Nin. “Becoming an adult, Perseus passionately desired (to get) the Assyrian kingdom, envious of the descendants of his uncle Nin” (P.11).

And if, according to Agathias (II.25), the kingdom of the Assyrians passes to the Medes, and only after three hundred years the Persians seized the kingdom, at Malala the Assyrians come to replace the Persians. “After Lames, Sardanapal the great became king over the Assyrians. He was killed by Perseus, the son of Danae, and took the kingdom from the Assyrians, and began to reign over them, calling them Persians by his own name (I.12). Therefore, the Assyrians are the same Persians, only named differently.

The second message again emphasizes the significance of the act of renaming. “From there he went through Mount Argay against the Assyrians. And he defeated them, and killed their king Sardanapal, from whose family he himself came. And he reigned over them for 53 years, and by his name he called them Persians, taking away from the Assyrians both the kingdom and the name ”(II.11).

George the Monk, whose presentation of this story is very close to the story of John Malala, summarizes: “So, the first kingdom is Assyrian or Babylonian, the second is the kingdom of the Persians, who are homonymously called the Babylonians or Assyrians” (I. 00131-00132).

Noteworthy is the term chosen by the chronicler of the 9th century - "homonymous". If we turn to the definition of Aristotle, which opens the “Categories”, we will see that “objects with the same name are called objects that have only a common name, but the speech (concept) about the essence is different” (Cat. I.1), in contrast to synonyms that convey one concept. This is another argument in favor of the fact that "Persians", "Assyrians", "Babylonians" were not equivalent ethnonyms for the Byzantines.

This episode of the Chronography shows that the renaming had political implications. An independent people must have its own name, while the name of a subordinate people is brought under the general category of the clan - the name of the victorious people.

Another act of asserting political influence could be considered the spread of one's name in a new territory. “Finding a village called Amandra, he made it a city, and set up a statue for himself outside the city, with the image of the Gorgon. Having performed the ceremony, he called the tyukhe of the city of Persia by his own name. This statue is still standing today. And he called this city Eikonion, because there he won the first victory with the Gorgon ”(ni).

Alexander the Great does the same. “Then the Persian land was liberated, and the end of the Persian kingdom came, the Macedonians and Alexander and his associates began to oppress the lands of the Chaldeans, Medes, Persians and Parthians; and having defeated Darius and killed him, they invaded his kingdom. And Alexander established laws in these lands and began to reign over them; and the Persians erected to him a copper equestrian statue in Babylon, which stands to this day” (VIII.3). Given that at the time of Malala, Babylon was already in ruins, apparently, one should again look for the chain of succession of Babylon-Seleucia-Ctesiphon and "Assyrians-Persians".

In addition to erecting a statue 12, Perseus "planted a tree called Perseus, not only there, but also in the lands of the Egyptians, he planted Perseus in memory of himself" (II. 11). A similar case of folk etymology was recorded among the writers of the History of the Augusts. The peach tree is regarded as a kind of symbol of the country, and therefore the interpreters predicted victory over the Persians for Alexander Severus, based on the fact that the laurel near the house where he was born became taller than the peach tree (SHA. XVIII. 13.7).

Perseus also renamed the land of the Medes (II.11), teaching the Persians the rites with the cup (σκύφος) of Medusa, which he learned in his youth from his father Zeus (II.11). Therefore, the criterion by which John Malala separates the Medes from the Persians lies in the realm of culture and religion.

The Medes and Assyrians remain as such, that is, Medes and Assyrians. But, once under the rule of the Persians, they fall under the category of "subjects of the Persian kings", and therefore, the ethnonym "Persians" can be extrapolated to them.

Another evidence of this is the story of the appearance of the Parthians in the Persian land. “And then, in later times, Sostris, the eldest of the clan of Ham, ruled over the Egyptians. Fully armed, he went to war against the Assyrians, and he subjugated them, as well as the Chaldeans and Persians as far as Babylon. In the same way, he subjugated Asia, and all of Europe, and Scythia and Mysia. And returning to Egypt, from the land of the Scythians he selected fifteen thousand of the young warriors, and making them immigrants, ordered them to settle in Persis, giving them the land they chose there. And these Scythians remained in Persis from that time to this day. The Persians called them "Parths", which translates into the Persian dialect as "Scythians". And up to this day they have Scythian clothes, dialect and customs. And they are very warlike in wars, as the wise Herodotus described it ”(II.3).

Even being conquered by the Egyptian ruler, the Scythians remain in the sphere of influence of the Persians, who give them their name. The analogy of "Parths" - "Scythians" is also explainable. Both those and others come from the north (in relation to both the Greco-Roman ecumene and the Persian lands). Both of them are nomads. Both are famous for their skillful archery (Compare Proc. Bel. Pers. I. 12-15). Accordingly, when the Parthians appear on the historical horizon, it turns out to be logical to explain who they are, using the concept of "Scythians".

The daughter of the king of Scythia also turns out to be Princess Medea, who left with Jason and the Argonauts (IV.9), perhaps because of the consonance of her name and the nickname of the Medes. Or Malala, like Agathias, admitted that the Colchis had once been a colony of the Egyptians. Agathius writes that Sesostris, with a numerous army, conquered all of Asia and reached Colchis, leaving part of his troops there (II.18).

The indication (II.3) that the Parthians settled in Persis implies that the "Parthians" turn out to be Persians in the sense of the inhabitants of Persia (or more broadly, the Persian land). And if the geographical connotation of the ethnonym "Persians" prevails, then the inconsistency of the definition "king of the Persians from the Parthian clan" is removed. This is how Malala defines Meerdotus (XI.3), who in the time of Trajan began to plunder the Roman lands. In the account of this emperor's eastern campaign, Malala calls Meerdotus (as well as his son Sanatrukios) "King of the Persians".

The predominance of the geographical aspect in ethnonyms can also be evidenced by the statement that Noah's Ark stopped in Armenia, "between the Parthians, Armenians and Adiabenians" (I.4). Since toponyms are used for localization, it means that a certain territory is “assigned” to a certain people.

Based on this logic, it is understandable why Malala, for example, calls the Spaniards Italians (XVIII.14), because before that (I.10) he puts an equal sign between Italy and the West.

Language

In the description of Trajan's campaign, it is also mentioned that "arsaces" corresponds to the title "king" (XI.3). Before that (VIII.25) Malala mentions Arsaces the Parthian, who rebelled against Antiochus Euergetes. Narrating the campaign of Julian, Malala includes this title in the name of the Persian king Shapur (XIII.17, 21-22). While this observation of the Antiochian chronicler is true, it can hardly be argued that he knew the language of the neighboring power to some extent.

The above examples (references to the Persian language: I.12, II.3, XI.31), as well as the mention of the Persian language in connection with the teachings of the Manichaeans (XII.42), can be considered as a marker of awareness of the border "friend or foe" , which at the same time indicates that for Malala the Persians stood out from the general mass of barbarians (since he identifies this language).

In general, of course, for the Antiochian chronicler, as well as for other Romans, the Persians were part of the barbarian (that is, non-Roman) world, but on 430 pages of the Chronography, Malala calls them barbarians only once (XVIII.61), in contrast to example, from the emotional narrative of Procopius.

As barbarians, Malala characterizes the nomadic Saracen Arabs (XII.26, 27, 30). Odaenathus is called the king of the Saracen barbarians, and Zenobia is called the queen (βασιλλισα) of the barbarian Saracens. Rome for some time is in the power of "Odoacer, king (ῥὴξ) of the barbarians" (XV.9-10). In the West, Constantine fights against the barbarians (XIII.2). He calls the Huns barbarians (XVIII.13-14).

Such opposition 13 suggests that the concept of "barbarism" for Malala is associated, firstly, with the way of life, and secondly, with the lack of attachment to a specific territory 14 . Attention to the language they speak is minimal.

In the description of the Persians, from the very beginning, the concepts of “city”, “power”, a certain territory appear.

Summing up some results, it can be noted that John Malala, bringing new peoples to the historical stage of his narrative, first of all, inscribed them with large strokes in the system of ethnogeographical ideas contemporary to him. So, in order to describe Mount Ararat and Noah's flood, the concepts of "Armenia", "Parthians" and "Adiabens" are needed.

Another way to establish connections is the genealogical principle.

With the advent of the concept of "kingdom", geographical localization gives way to the ethnonym, and the link "people - territory" is established.

Fundamentally important is the role of ethnonyms and the process of naming. The loss of political independence leads to the fact that in the terminology the name of a particular people turns out to be subordinate, and in the classification the ethnonym of the winner prevails. Malala conveys this with the story of the renaming of peoples by Perseus.

Another fundamental criterion was differences in culture and religion (the case of Persians - Medes). The linguistic criterion is by no means decisive.

The ethnonyms "Assyrians", "Babylonians", "Medes", "Scythians", "Parthians" turn out to be a particular, historically justified case, a species in relation to the more general, generic concept of "Persians", which means the inhabitants of the Persian state and subjects of the Persian king .

Notes

1 Ioannis Malalae Chronographia, rec. Ioannes Thum. // Corpus fontium historiae Byzantinae. Vol. 35 Ser. Berolinensis. Berolini, 2000. All subsequent references to the "Chronography" are given to this edition in the text of the chapter.

2 Croke B. Malalas, the man and his work. // Studies in John Malalas, ed. by E. Jeffreys with B. Croke and R. Scott. Sidney, 1990. P. 1–26.

3 Jeffrey E. The beginning of Byzantine chronography: John Malalas. // Greek and Roman Historiography in Late Antiquity. Ed. by G. Marasco. Brill-LeidenBoston, 2003, pp. 497–527.

4 James A. The language of Malalas. // Studies in John Malalas, ed. by E. Jeffreys with B. Croke and R. Scott. Sidney, 1990, pp. 217–244.

5 Jeffrey E. Malalas' sources. // Studies in John Malalas, ed. by E. Jeffreys with B. Croke and R. Scott. Sidney, 1990, pp. 167–216.

6 Shukurov R.M. Lands and tribes: Byzantine classification of the Turks // Byzantine Vremya. 2010. V. 69 (94). pp. 132–163.

7 Udaltsova Z.V. Worldview of the Byzantine chronicler John Malala. // Byzantine Provisional. 1971. V. 32. S. 3–23; Chekalova A.A. John Malala. Chronography. Book XVIII. Instead of a preface // Procopius of Caesarea. War with the Persians. War with vandals. Secret history. SPb., Aleteyya, 1998. S. 465–466; Lyubarsky Ya.N."Chronography" of John Malala (problems of composition) // Historians and writers of Byzantium (VI-XII). SPb., 1999. S. 7–20; Samutkina L.A. The concept of history in the "Chronography" of John Malala. Ivanovo, Ivan. GU 2001.

8 Istrin V.M. Chronicle of John Malala in Slavic translation (18971914). Reprint edition M., 1994.

9 Studies in John Malalas, ed. by E. Jeffreys with B. Crake and R. Scott. Sydney, 1990.

10 Recherches sur la chronique de Jean Malalas: actes du colloque "La Chronique de Jean Malalas (VI s. e. chr.): genese et transmission' organise les 21 et 22 mars 2003 a Aix-en-Provence. Ed. par J. Beaucamp avec la collaboration de A. Bernardi, B. Cabouret et E. Caire, P., 2004; Recherches sur la chronique de Jean Malalas: ed. par S. Agusta-Boularot, J. Beaucamp, A. Bernardi, et E. Caire, P., 2006.

11 For an interest in Manichaeism, see: Croke B. Malalas, the man and his work. // Studies in John Malalas, ed. by E. Jeffreys with B. Croke and R. Scott. Sidney, 1990, pp. 13–14; for oriental elements in Malala's worldview see: Jeffrey E. Malalas' world view // Studies in John Malalas, ed. by E. Jeffreys with B. Croke and R. Scott. Sidney, 1990, pp. 65–66; about the place of Malala in the Byzantine historiographical tradition about Emperor Julian, see: Bouffartigue J. Malalas et l'his-toire de l'empereur Julien // Recherches sur la chronique de Jean Malalas. V. II. P., 2006. P. 137–152.

12 For a list of the statues mentioned by John Malalas, see: Salou S. Statues d'Antioche de Syrie dans la Chronographie de Malalas// Recherches sur la chronique de Jean Malalas: ed. par S. Agusta-Boularot, J. Beaucamp, A. Bernardi, et E. Caire. P., 2006. P. 69–95.

13 Chekalova A.A. Byzantium and the West // Byzantium between East and West. The experience of historical characterization. SPb., 2001, pp. 81–104.

14 On the attention of John Malala to the organization of space as one of the most important functions of the ruler, see: Samutkina L.A. City in the "Chronography" of John Malala // Personality - Idea - Text: Toward the Culture of the Middle Ages and the Renaissance: Sat. scientific tr. in honor of the 65th anniversary of N.V. Revyakina. Ivanovo, 2001, pp. 33–47; Metivier S. La creation des provinces romaines dans la Chronique de Malalas // Recherches sur la chronique de Jean Malalas: ed. par S. Agusta-Bou-larot, J. Beaucamp, A. Bernardi, et E. Caire. P., 2006. P. 155–172; Cabouret B. La fondation de cites du IIe au IV siecle (des Antonins a Theodose) d'apres la Chronique de Malalas // Recherches sur la chronique de Jean Malalas: ed. par S. Agus-ta-Boularot, J. Beaucamp, A. Bernardi, et E. Caire. P., 2006. P. 173–185.

ETHNOSES AND "NATIONS" IN WESTERN EUROPE

IN THE MIDDLE AGES AND THE EARLY MODERN TIME

Edited by N. A. Khatchaturian

Saint-Petersburg

The publication was prepared with the support of the Russian Humanitarian Science Foundation (RGHF) Project No. 06-01-00486a

Editorial team:

Doctor of Historical Sciences, Professor N. A. Khachaturyan(responsible editor), candidate of historical sciences, associate professor I. I. Var'yash, Ph.D., Associate Professor T. P. Gusarova, Doctor of History, Professor O. V. Dmitrieva, Doctor of History, Professor S. E. Fedorov, A.V. Romanova(executive Secretary)

Reviewers:

L. M. Bragina

doctor of historical sciences, professor A. A. Svanidze

Ethnoses and Nations: Continuity of Phenomena and Problems of the "Actual Middle Ages"

This monograph was the result of the work of the all-Russian conference of medievalists, organized by the Organizing Committee of the scientific group "Power and Society" at the Department of the History of the Middle Ages and the Early Modern Age of the Faculty of History of Moscow State University, held on February 15–16, 2012.

The conference itself is the eighth in a row, and nine published monographs, eight of which are collective 1 , allow, in our opinion, to admit that the decision of the members of the department in the early 90s to create a scientific group that would consolidate medievalists across the country, according to to the advantage of specialists in the political history of the Middle Ages, with the aim of reviving and updating this field of knowledge in domestic science, has generally justified itself. The groups proposed by the Organizing Committee for the development of problems and their solutions reflect the current level of world historical knowledge. They are distinguished by a variety of aspects of study in which state and institutional history are present, in particular, in the context of the concept of Etat moderne that is relevant today; political history, often within the framework of microhistory (events, people), or parameters of its cultural and anthropological dimension that are also relevant today (imagology, political culture and consciousness). A special area of ​​research is the sociological problems of potestology with the themes: the phenomenon of power and the means of its implementation, in the study of which the history of traditional political institutions was somewhat supplanted by forms of representation of the monarch, appealing to the consciousness of members of society and considered by the authorities as a kind of dialogue with them.

An indicator of the scientific level of the group's work required today is the repeated support of its research and publishing projects by the Russian Humanitarian Foundation. The conceptual and problematic integrity of the publications that provide the program projects of conferences with subsequent editorial work on the texts, the very content of the materials with their problematic headings make the group's works not collections of articles, but de facto collective monographs.

As for the scientific significance of the materials of this publication, it is determined by several terms. Among them, one should mention the fact that the prehistory of modern Western European states began precisely in the Middle Ages. Within the framework of this era, they experienced the process of transformation of ethnic groups into more complex socio-political and cultural ethno-national formations, which acquired the status of nation-states already in Modern and Contemporary times, marking the main contours of the political map of today's Western Europe. Moreover, the relevance of this topic was emphasized by the processes of modern globalization of the world, which in many cases aggravated not only interstate relations, but also internal life in a number of countries, thanks to the return of seemingly obsolete processes of self-determination of ethnic groups, up to attempts by them to form new states or return the once lost political independence. Efforts in the formation of a new ethno-national architecture of the modern world only in Western Europe are demonstrated by the regions of northern Italy on the Apennine Peninsula, the Basque country and Catalonia on the Iberian Peninsula, the speakers of the Romance and Flemish languages ​​in Belgium and the Netherlands; finally, the population of Ireland and Scotland in the British Commonwealth. Modern ethno-national problems, confirming the inescapability of the process of historical development, at the same time bring closer to our today - the distant medieval past, which reveals the genesis of the phenomena of interest to us: the polymorphism of the initial history of ethnic groups, the complex path of their consolidation into a new, more mature community, the specifics of the conditions that predetermined the choice of or another ethnos for the role of the leader in the national self-determination of the community, and finally, the possibilities or weaknesses of the latter, which, in particular, could depend on the position of small ethnic groups in it.

Unfortunately, Russian medieval historians have not created a special direction for the study of this subject. On the pages of our works, it appears most often as accompanying plots, in the context of the problems of the liberation struggle or the formation of national consciousness and a sense of patriotism, the perception of "friend or foe." By yielding this area of ​​historical knowledge to the primary attention of ethnographers, anthropologists, and sociologists, medieval historians have impoverished their own subject of analysis, to a certain extent facilitating the possibility of violating the principle of historical continuity in solving the question of interest to us. This mistake is often made by researchers - "novists", especially political scientists and sociologists, considering such a phenomenon as a nation exclusively in the space of problems of modern times and modernity.

The undoubted urgency of the topic is given by the state of modern scientific knowledge associated with changes in epistemology and, first of all, with new assessments of the role of consciousness in the historical process and approaches to its study. The result, and it should be recognized as very fruitful, of such changes was the special attention of researchers to the problems of emotional and reflective perception of ethno-national communities by a person. It was in this context of research that, for example, new topics of identification and self-identification of ethno-national groups appeared. The indisputable significance of the sensual principle in the formation in the late XVI - early XVII centuries. was deeply aware of the English historian William Camden, outstanding for his time. Recreating on the pages of his writings the complex structure of the British community (geography, peoples, languages, historical past, monuments…) he rightly remarked: “Language and place always hold the heart” 2 . However, the process of historical cognition just as convincingly demonstrates its own difficulties, one of which is, with almost immutable persistence, the recurring desire of researchers to attach exceptional importance to the next innovation in the vision of the historical process. Such "emotionality" of scientists most often turns into a violation of the complex vision of processes and phenomena. Categorical statements according to which an ethnos and a nation “makes the individual feel that he belongs to them” should not devalue the fact of the real formation and existence of the corresponding community for the researcher. In our opinion, this long-standing, seemingly eternal dispute about the “primacy of an egg or a chicken”, in the light of historical epistemology, today looks, if not completely resolved, then certainly less scholastic, thanks to the overcoming of the traditional alternative in the philosophy of history on the issue of the relationship between matter and spirit. Both conditions - the possibility of observing the principle of historical continuity in the assessment of the phenomena "ethnos" - "nation", like the task of overcoming the gap in the interpretation of the connection "phenomenon - idea about it", with predominant attention to "representation" - lie in the analysis of the topic of interest to us on ways of its integrated vision and consideration. It is this methodological approach that has become one of the leading lines in the materials of this publication.

It would be wrong to assume that the authors of the volume solved the problem of the correlation and nature of ethnic groups and nations, nevertheless, the materials of the publication make the continuity of these phenomena obvious, thus emphasizing the by no means “sudden” appearance of national communities of the New Age, which in any case resulted from internal transformation of amorphous ethnic societies into more mature formations. At the same time, the fact of the continuity of these phenomena and the recurring components in their characteristics: “small” or “leading” ethnic groups, the common historical fate and the historical existence of societies within the next geopolitical borders of states, make it difficult to catch the “beginning” of a qualitative transition.

In the materials submitted by N.A. Khachaturian, an attempt was made to find a solution to the issue in the context of an analysis of the conditions of social development that prepared this transition. The totality of changes - economic, social, political - that began in the conditions of modernization of medieval society, with their relative coordination, - the author defined the concept of "consolidation", which emphasized the depth of the process. It was this process, as a decisive means of overcoming medieval particularism, that he designated, according to her opinion, the vector of movement towards the emergence of "national" unity (the potential of small-scale production, the multiplication of social ties associated with it and the expansion of their space of action; overcoming the personal principle in them; equalizing the social status of the peasantry and townspeople, their class-corporate self-organization; social dynamics; formation institute of allegiance...)

An additional scientific interest in the topic is provided by its debatable nature, caused by the state of the conceptual apparatus of the problem. The nomination of the phenomenon was formed by the experience of Greek and Roman history [the concepts of ethnos (ethnos), nation (natio/, associated with the verb to be born (nascor)], the texts of the Bible, early medieval and medieval authors and documents created a plurality, uncertainty and interweaving of terms due to the difference in meanings , invested in words-concepts that repeat in time, or vice versa, due to the use of different concepts for phenomena of the same order (tribe, people). the inexpediency of excessive enthusiasm for the terminology of phenomena, since an assessment of the essence of the latter, as a meaningful content of their conditional nominations, can only be provided specifically - a historical analysis, taking into account the fact that none of the concepts can convey the meaningful plurality of phenomena. inte the phenomenon that concerns us in the above-mentioned publication by N.A. Khachaturian. It is this approach, devoid of rigorism, to the conceptual aspect of the topic that M.A. demonstrates. Yusim in his theoretical chapter. Of particular interest in it is the author's interpretation of the topics that are fashionable today in the historical and sociological literature, related to the problem of nominations, but devoted to the study of other forms of consciousness that, in the context of ethno-national processes, realize themselves in the phenomena of identification (correlation of the subject with the group) and self-identification (subjective awareness by the subject or a group of his image).

Our position in relation to conceptual rigorism, an excessive enthusiasm for which often replaces the actual scientific analysis of real phenomena, receives additional arguments in a chapter written by R. M. Shukurov, which is very interesting and significant for our topic. The material contained in it is an organic combination of the historical and philosophical aspects of the research devoted to Byzantine models of ethnic identification. Leaving aside the issue of the “archaization” of the research manner of Byzantine intellectuals, which is fundamentally important in the epistemological context for the analysis undertaken by the author, I will allow myself to single out his considerations on the fundamental problems raised in our publication. R.M. Shukurov, for example, confirms the impression of the possibility of multiple approaches or markers in the development (formation) of concepts for ethnic phenomena. According to Byzantine texts, the author singles out a model of ethnic identification according to the nomination of peoples - close or distant neighbors of Byzantium, which was based on a locative (spatial) parameter. Assessing the basic logic of the Byzantine method of systematization and classification of research objects, the author, like the Byzantine intellectuals, pays special attention to Aristotelian logic in terms of the great philosopher's reasoning about the relationship between the general and the individual (genus and species), - ultimately, about the relationship between abstract and concrete thinking. This theory, as an eternal truth, received confirmation and a new breath in the context of the modern interpretation of the principle of relativity in the historical process and epistemology, encourages us, in the intricacies of concepts, to be sure to remember their conventions.

Statement by R.M. Shukurov of the spatial dimension of the identity of a people or a person marked, in our opinion, a certain peculiarity that manifested itself in the materials of our publication. Astrological and climatic theories in the treatises of Claudius Ptolemy, Hippocrates, Pliny the Elder, Posidonius did not allow the author of the chapter to focus only on the role of a local marker in the nomination of ethnic processes. They prompted him to give an essentially broad characterization of the geographical (spatial) factor in these processes, noting its influence on the customs, character and even the historical fate of peoples in the context of the idea of ​​"balance", "equilibrium" in Greek philosophy. These observations, together with the analysis of the political influence of spatial mutations on ethnic polymorphism in the conditions of the formation of ethno-national states (Ch. N.A. Khachaturian), emphasized the expediency of considering the role of the geographical factor as a special line of research of the plot of interest to us.

A group of chapters in the materials of the volume with a predominant attention to the phenomena of spiritual life, supplemented the picture of socio-economic and political factors with indicators of the processes of formation of "national" consciousness, that is, an analysis of such phenomena as language, culture, religion, myths about the historical past, historical, political and legal thought. The initial attitude for the authors of the chapters to the organic connectedness of personal and “material” parameters in this analysis allowed them to reflect the modern vision of people of the distant past. It overcame the attitude of the exclusively "social" man, characteristic of positivism. The image of a “social” person, that is, a person included in public life and more or less dependent on it, which was a striking achievement of historical knowledge of the 19th century, became obsolete under the conditions of the change of paradigms at the turn of the 19th–20th centuries, noted by us above. The new image of a human actor today had to be restored in its fullness, that is, in a bundle of social and natural principles, first of all, its psychology.

Historical, political and legal thought, cultural phenomena (poetry as an object of attention) in the monograph are predominantly forms of reflected consciousness, being, if not the result of the creativity of intellectuals, then in any case, people of a written culture formed by a part of society. A feature of the reflexed, primarily political and legal line, was its characteristic pronounced stamp of the organizing role of state structures or the subjective engagement of the position in relation to ethno-national processes.

Of particular interest in this context (and not only) is the chapter written by S.E. Fedorov, the significance of which is determined by two features: the object of analysis and the level of its implementation. We are talking about an extremely difficult variant of the formation of a collective community in the conditions of the composite British monarchy of the 16th - early 19th century. XVII centuries, trying to overcome the particularism of its components - English, Scottish, Irish and Welsh. The process is studied at the subjective level of constructing the concept of a collective community, using a discursive analysis of cultural and logical tools in texts created by representatives of the intellectual groups of antiquarians, lawyers and theologians. Additional interest to the author's attempt is conveyed by the multilinearity of the content side of the research search with an appeal to the historical past of the region. The latter circumstance allowed the author to include in his analysis such subjects as the problems of cultural and territorial coexistence of the Celtic and Germanic tribes with a propaganda trend in the concept of these tribes, as well as the theory of continuity in socio-political institutions and church organization (hemoth, insular church) in the history of the British commonwealth.

A curious echo with the materials published by S.E. Fedorov, looks like a study by A.A. Palamarchuk, which is dedicated to the difficult fate of the “British” community in the conditions of the same composite political structure, which it implements in the context of a rare and therefore especially valuable analysis of law in Russian medieval studies. An additional interest to the analysis is provided by the fact of the non-uniform and complex legal situation in England, where common and civil law acted in parallel, recognizing to a certain extent the influence of Roman law. The author illustrates the unequal perception of the idea of ​​British identity by civil law theorists with a mindset to unite the community, and common law, with a mindset to preserve regional characteristics.

The monograph contains materials of a kind of roll call of the options for the functioning of the political factor in the strategy for the formation of proto-national ideology. It could be created as guarantors of justice by the highest judicial authority and, therefore, an organ of the state apparatus, which is the Parliament in France and the Parliament of England as a public institution (articles by S.K. Tsaturova and O.V. Dmitrieva).

III section in the monograph: “Own” and “strangers”: conflicts or cooperation?” - groups publications that are united by the idea of ​​"opposing" peoples - as an almost indispensable, very emotional and therefore dangerous component of ethno-national identity.

The materials of the section are distinguished by concreteness and persuasiveness, which are provided by a thorough analysis of not only narrative, but also documentary sources - German, French, Hungarian and Austrian. They reflected both the variety of options for combining ethnic and confessional elements in heterogeneous political entities such as the Holy Roman Empire, Austria-Hungary or the states of the Iberian Peninsula, as well as the diversity in the choice of markers, with the help of which “sorting” into “us” and “them” took place. Finally, they give curious “hints” on the ways of a possible softening of positions in the perception of “foreigners”, which were demonstrated by medieval Western European society - whether it was the need for competent professionals in managing the German principalities, or the inevitability of the “internationalization” of the executive supreme apparatus in multi-ethnic Austria-Hungary (T.N. Tatsenko, T.P. Gusarova), or the objective need for foreign specialists in the conditions of the formation of manufacturing production, in particular because of the interest in developing new types of production in France (E.V. Kirillova).

In a chapter written by T.P. Gusarova, the problem of the personnel policy of the Habsburgs in the Kingdom of Hungary, in particular its Croatian component, is personified and documented by the biography and activities of the Croatian lawyer Ivan Kitonich, which gave the analysis eloquent persuasiveness. Attention is drawn to two facts noticed by the author, which, in our opinion, indicate a noticeable lag of the composite monarchy of the Habsburgs and its component - the Kingdom of Hungary on the path of modernization of medieval society and the institutionalization of statehood here. Both of these circumstances could not but affect the processes of formation of "national" consolidation. Illustrative examples are the interpretation of "nation" in the legal norms of state life, limited by the framework of noble origin and involvement in political governance; as well as limiting the access of members of the society to royal justice - a sign of pronounced medieval particularism, which made it difficult to formalize the institution of "citizenship".

Of particular interest are materials that reflect the ethnic and national processes in the Iberian Peninsula in a comparative comparison of their decisions in the Islamic and Christian organizations of the political system, which reveal well-known coincidences: in the options for marking the population not on the principle of blood, but on confessional affiliation; in formal (probably not excluding possible violence), but "tolerance", due to the fact of recognizing the autonomous self-government of confessional societies of Muslims, Jews, Christians - self-government regulated by an agreement (I.I. Varyash).

The expressed theoretical aspect of the analysis reflects an interesting attempt by the author of the chapter to resolve the issue in the context of models of political culture, in this case, a model that was formed under the influence of the characteristics of Roman statehood, which is different from the development option in the Eastern Mediterranean and the role of Byzantium in it.

So, the materials published in this edition reflected the results of a multilateral analysis of the ethno-national processes that took place in Western Europe at the level of slow deep changes in the social system, more mobile state forms, taking into account the organizing role of the political factor at the level of ideas and emotions of the participants in the processes, as well as examples of the experience of interaction between “us” and “them”, the leading ethnic group and small formations. Summing up the results of the collective research search, I will allow myself not only to emphasize the exceptional importance of the “medieval” stage in the historical process, in this case in terms of the ethno-national vector of development, but I will try to argue this high assessment, which may seem excessive, with considerations that are also very risky and obliging for the author "Actual Middle Ages". The attempt is not colored by a sense of revenge for the long underestimation of medieval history in the Soviet historical science of the 20th century. The statement is not dictated by the “repetitions” of the old forms of social development that sometimes occur in history, which, as a rule, in modern life look like an inorganic phenomenon, being only a weak reflection of their originals (slavery today; appropriation of public public services, public power or property, the creation of private " squads "protection). We are talking about the significance of medieval experience with a very expressive multiplicity of reasons that, in our opinion, determined this significance. I will name three of the possible arguments.

This is, firstly, the place of the "medieval" stage on the scale of historical time. It became the immediate "prehistory" of modern society, thanks to the potential of the social system, the hallmark of which, in conditions of social inequality, was an economically dependent, but personally free, small producer who owns tools of labor - a circumstance that stimulated his initiative. This made it possible precisely at this stage of development to ensure a radical turn in the historical process, putting an end to the pre-industrial stage in world history, denoting quite clearly for some time the contours of the future society. The specificity of the Western European region and, in terms of a number of indicators of Europe as a whole, made it a leader in the socio-economic, political and cultural modernization of the world historical process.

The final time limit of the stage, conditional and extended for the Western European region, is separated from us on the scale of historical time by only three to two and a half centuries, which makes our historical memory alive.

As a second argument, we can point to the cognitive side of the issue that interests us, since medieval experience reveals the genesis of the movement from an immature ethnic community to a “national” association, concretizing the process.

The initial stage of this movement, which determines to a certain extent future opportunities, weaknesses, or, conversely, the achievement of its results, thus facilitates the understanding and assimilation of the lessons of the past, or the search for a way out of difficult situations today.

The last argument concerns the epistemology of the issue, convincingly demonstrating an important condition for the modern potential of world historical knowledge - the fruitfulness and necessity of a comprehensive vision of the phenomenon as the most complete possible approximation to its reconstruction and understanding by the researcher.

Notes

1 The Court of the Monarch in Medieval Europe: Phenomenon, Model, Environment / Resp. ed. ON THE. Khachaturian. St. Petersburg: Aletheya, 2001; The Royal Court in the Political Culture of Europe in the Middle Ages and Early Modern Times. Theory. Symbolism. Ceremonial / Ans. ed. ON THE. Khachaturyan, M.: Nauka, 2004; The sacred body of the king. Rituals and mythology of power / Otv. ed. ON THE. Khachaturyan, M.: Nauka, 2006; The art of power: In honor of Professor N.A. Khachaturian / Resp. ed. O.V. Dmitrieva, St. Petersburg: Aleteyya, 2007; Power, society, individual in the Middle Ages and early modern times / Otv. ed. ON THE. Khachaturian. Moscow: Nauka, 2008; Khachaturyan N.A. Power and Society in Western Europe in the Middle Ages. M., 2008; Power institutions and positions in Europe in the Middle Ages and Early Modern Times / Ed. ed. T.P. Gusarova, M. 2010; Empires and ethno-national states in Western Europe in the Middle Ages and early modern times / Ed. ed. ON THE. Khachaturyan, M.: Nauka, 2011; Royal court in England XV-XVII centuries / Ed. ed. S.E. Fedorov. SPb., 2011 (Proceedings of the Historical Faculty. St. Petersburg State University V.7).

2 Pronina E.A. At the Origins of National Historical Writing: André Duchene and William Camden: Experience in Historical and Cultural Analysis) Abstract of diss. for the degree of candidate of historical sciences. St. Petersburg, 2012.

Khachaturyan N.A.

I. Ethno-national processes: factors, results, nomination of phenomena

I.I. The problem of ethnic groups and protonations in the context of the socio-economic and political evolution of medieval society in Western Europe

The motive for writing a section of the monograph was not only the scientific interests of the author, but also the state of the issue in historical literature. Being the object of primary attention of ethnologists, sociologists and culturologists, the topic of ethnos-nation has a long historiographic fate, thanks to which domestic and Western science has a solid base of specific and theoretical, often controversial research. 1 The study of the issue today (I mean the second half of the 20th - the first decades of the 21st century) impresses with a variety of directions, many of which gravitate towards the development of biological, socio-functional, cultural and historical aspects of the topic. A very noticeable interest in the latter case to the problems of perception of the phenomenon and its image in the collective or individual consciousness of members of the ethno-national community, realized in the topics "image of the other", identity and self-identification of ethnic groups and nations, was determined by radical changes in the philosophy and history of the second half of the XX century. They gave a new understanding of the role and nature of the factor of consciousness in the historical process and epistemology, in particular, by overcoming the traditional alternative in assessing the relationship between matter and spirit.

In this stream of multiple multidirectional search, as the experience of studying historical thought shows, the emergence of extreme assessments, or the maximization of the significance of any one scientific direction, is inevitable. Such an attitude makes possible paradoxical (even with a correction for being “out of context”) statements in the form of the question of whether a group generates an identity, or do individuals who identify themselves generate a group? A similar impression is produced by the statement: “there is no commonality, since it is not perceived” ...

Obviously, the authors of such extreme statements sought to emphasize the significance of the "state of mind" factor in history. But reasoning based on the principle of alternative, which seems to have already been outdated by science, as a rule, simplifies the understanding of a phenomenon or process without being correlated, at least in the form of a mention, with a broader picture of factors, other approaches and other considerations regarding their analysis.

A specialist in political and state history will undoubtedly be interested in the arguments about “nations” found in the literature. One cannot but agree with the statement of the famous American sociologist B. Anderson regarding the national consciousness of the community, according to which it implies the ability of its members to understand and remember everything that unites them, and forget everything that separates them. However, the assessment of the nation as an “imaginary construct”, the existence of which is not only guaranteed, but also “created by the management strategy” (imaginaire politique), raises an objection due to the categorical emphasis, recalling the need to observe an integrated approach to the analysis of historical phenomena. It was the latter assessment that prompted us to turn to the controversial subject, raising the question of the role of social and political factors in the process of society's movement from ethnic formations to proto-national and further national states. Being a medievalist, the author could afford to analyze only the prehistory of such a phenomenon as a “nation”, at the stage of which, nevertheless, the basic conditions for the genesis of the phenomenon were laid, which thus allows concretizing the cognitive possibilities of such a solution to the topic, since it is the stage of formation of the phenomenon that can expressively highlight the deep components as conditions for its constitution and even further existence, its future strength or weakness ... In the industrial and post-industrial period, when the phenomenon of the “nation” will receive qualitative completeness and become a general fact, like a more or less balanced type of social development of modern countries or their parliamentary structure - fast-moving political events will push deep processes in the minds of contemporaries. In this situation, it may seem that nations, existing in a dynamic and rapidly changing space of a “short time”, as a sign of “citizenship”, really owe their reality exclusively to the efforts and abilities of the state, which, in turn, finds itself in the position of a phenomenon “walking into air, as in Chinese paintings, where the earth is absent. 2

The scientific correction required in such cases can be provided by an appeal to the scientific research methodology adopted today, the main principles of which are a comprehensive and systematic vision of the historical process, as well as the associated social approach to political and spiritual history. Having become the greatest achievement of the historical thought of the 19th century, all three principles have increased their epistemological potential due to the process of updating historical knowledge in modern times, which helps researchers with great success to capture and reflect in their "constructions of reality" the flexibility and dynamism of the latter. In the context of the topic of interest to us, among the innovations, we should highlight the recognition by the scientific community of the complex ambiguous nature of intra-system connections of multi-level components of a complex process; the possibility of leading or exceptional value of one of the process factors; mobility and heterogeneity of the system itself, its creative abilities…

New solutions offered by historical knowledge can facilitate the difficult task of achieving a flexible and, if possible, balanced assessment of the role of the political factor in the historical process. The inevitable connection with the initiative, strong-willed, organizing principle, which is embodied by the supreme power, the activities of the state apparatus, political thought, put the political factor in a special position in public life, although under other economic, social, cultural and historical conditions that weakened or strengthened its role.

Its history begins from the moment the human community enters the path of civilizational development, thus becoming associated with the formation of ethnic groups, although the functional multiplicity and the degree of the initial impact of this factor were noticeably limited. However, the interpretation of the definition of "ethnos" accepted in the scientific literature looks incomplete, often being limited to mentioning such parameters of the phenomenon as a common origin, language, territory, traditions, mythological culture. Obviously, in this case, only the natural and cultural-historical components of the phenomenon are taken into account. However, a person becomes a factor in the historical process as a member of a community - a social organism that institutionalizes itself, albeit in primitive, but also political forms. Even at the stage of pre-state history, the tasks of military protection, the implementation of behavioral norms and general life problems, whether economic or legal, were solved by the communities in the political form of people's meetings, with the help of "public" persons - elders who acted with the power of persuasion.

In the context of the problem of the ethno-national vector of development posed in the article, I believe it is appropriate to pay special attention to the “spatial” or “territorial” factor, which was supposed to influence not only the economic activities of community members, but also the forms of their settlement and social ties. Changes in the space of settlement reflected and caused the processes of transformation of ethnic communities and their self-consciousness in the evolution from consanguineous associations to complex tribal unions and then territorial formations, including state ones, within which connections arose that served as the basis for the emergence of the concepts of "country", "nationality". "... The fragile boundaries of the early medieval political formations, their heterogeneity (the variant of empires) or relative homogeneity make it possible to single out the "unifying" function of the state and unifying tendencies in social development as especially significant.

In this ratio of social and political factors at the stage of the early Middle Ages, the effectiveness of the impact of the latter on ethnic processes looks more obvious. Social reality and the shifts taking place in it realized themselves, in contrast to political events, in the space of slowly current time, reflecting the proximity of the Western European peoples to the primitive communal period of their history, being at the initial stages of the formation of small-scale production in its forms of natural economy, when it first arose, in more or at a less accelerated rate depending on the regions, a new type of dependent small producer, who, having begun to lose land, asserted his status as the owner of tools. Nevertheless, both factors - in different ways and to varying degrees - but influenced, in particular, the scale and nature of the unifying processes in ethnic groups. These processes were realized in conditions of uneven development and therefore in the inevitable contradictions of centripetal and centrifugal tendencies. At the same time, both the state and society, according to some indicators, could contribute to the heterogeneity of ethnic processes: the state, by its extensive universalist policy, suppressing some tribes and peoples; society - by the very fact of unsurmounted polyformism in the composition of its population and weak reserves for overcoming it. A small ethnos could, to a greater or lesser extent, be incorporated into larger associations, or, conversely, rigidly maintain its autonomy in relation to the “leading” or structure-forming ethnos in tribal unions, nationalities, and further – ethno-national states.

These features clearly manifested themselves in the history of one of the largest early medieval states in Western Europe, with the longest history of its existence - the state of the Franks in the era of the Merovingians and Carolingians. Already at the stage of the Merovingian dynasty, the initial heterogeneity of the leading ethnic group - the tribal union of the Franks, which also exists in combination with the Gallorim population, was strengthened by the absorption of the kingdoms of the Visigoths, then the Burgundians, followed by the annexation of Provence. The imperial ambitions of Charlemagne provided new impetus for heterogeneous tendencies with the illusion of restoring the former boundaries of the Roman Empire. But one cannot but admit that the institutional forms of the patrimonial state of the Carolingians, which were very “advanced” for that time, made his unifying efforts noticeable. Their sign consolidating society carried royal decrees regulating the judicial procedure, the state of the monetary business, and control over public order. They even attempted to control compliance with the mutual obligations of lords and vassals. Nevertheless, the “advancement” of state forms that we noted at that stage was very relative, as it was realized in the norms of the practice of “feeding” and personal ties. The sign of ethnic polymorphism marked an attempt, relatively speaking, to “unify” customary law, or rather an attempt to transform the tribal principle into a territorial one, in 802, which ended only with the editing and partial modification of the Alleman, Bavarian, Ripuarian and Saxon truths, while maintaining the legal effect of the simplified Code of Justinian and Breviary of Alaric. Nevertheless, the very attempt to verify customary law is eloquent, like the fact of translating the text of the Salic truth into High German. Finally, the ambiguous, but prepared by objective conditions, fact of the collapse of the universalist empire of the Carolingians during the formation of three large agglomerations in its bowels - nationalities, goes beyond the framework of assessing the unifying tendencies only in the political context, drawing a long-term perspective of the national history of the three Western European peoples and states - France, Germany, Italy. 3

Actually, the medieval stage of Western European history, when a new social system was established, changed, but did not abolish the polymorphism of society as a whole, even multiplying it in certain parameters. The conditions for the implementation of large landed property, having predetermined the need for political immunity of its owners, legalized their private power, which resulted in a polycentric political structure. 4 This circumstance did not contribute to political stability, especially in the conditions of “feudal fragmentation” (X-XII centuries), especially since the supreme state power, struggling with the evil of polycentrism internal to it, in many cases did not abandon universalist plans, on level of international relations, reshaping the political map of Western Europe. The noted tendencies were fed, making possible, by the deep basis of the social structure - small-scale production, which in the aggregate of conditions predetermined the essential feature of medieval society - its particularism. This circumstance could not but affect the fate of the issue of ethnic development that interests us, revealing the main condition in the process of formation of socio-political organisms that nations were to become - the indispensable overcoming of medieval particularism, which should ensure the birth of a new "unity" of human communities. Such a process had a gradual character, relative in its results, and, most importantly, could not be the result of only political development.

In this context, the processes that took place in Western European society in the period of the 13th-15th centuries are of particular interest. and early modern times, which opened and realized the movement along this path.

In historical literature, especially of a general nature, the assessment of the significance of the noted changes is often limited, in particular, for the “starting” period of time of the 13th–15th centuries, their role in the process of centralization, a really very important milestone in the history of Western European peoples and states. However, the very concept of “centralization” turns out to be insufficient to indicate the depth of the modernization of the very structure of medieval society that has begun, focusing on state policy, even if the socio-economic prerequisites for its implementation are not ignored. The general and, at the same time, the essential meaning of the modernization process in the aspect of analysis that interests us, it would be more expedient to define the concept of “consolidation”, which can become common and symbolic for the entire set of social relations - economic, social, political and spiritual. With regard to the processes of formation of proto-national formations in the conditions of ethnic polymorphism that retained itself, the concept of “consolidation” also demonstrates its well-known correctness, without curing any of the difficulties along this path: the variable and ambiguous nature of the processes, the possibility of their final incompleteness, which could blow up on some stage of "national" community.

It was the consolidation of the community as a deep and complex process that, with greater or lesser success and depending on specific historical conditions, contributed to the overcoming of any local, including ethnic, attachments and norms of life, not always destroying, but blocking them, pushing them into the sphere of advantage of private relations, offering members of the community in matters of existence and survival new socio-economic, political and cultural forms and scales of life.

Our attempt to summarize the main socio-economic conditions of the processes of consolidation eloquently draws the formation already for the period of the XIII-XV centuries. a new image of medieval society, in a certain sense bearing the signs of its future end. However, observing the principle of "ascent", it would be more correct to assess the formation of this new image as evidence of the potential of the medieval social system, without exaggerating the vector of orientation towards the future, at least in its destructive consequences. Among the reasons calling researchers for caution is the long duration of medieval processes in economic and social life, despite the gradual acceleration of the pace of development, which is especially noticeable in the early modern period. In this regard, it is advisable to recall the recognition by modern medieval studies of the validity of the concept of the “long Middle Ages”. This concept, once introduced by Jacques Legoff, was supposed to emphasize, according to the famous French historian, the facts of the slow elimination of medieval forms of consciousness even in the late stages of the Early Modern Age. Now this concept has acquired a functional meaning for recognizing the heterogeneity of development in the Early Modern Age of the entire set of social relations. It significantly corrects modern ideas about the complexity of the “transitional period”, which became the case for Western Europe in the 16th and 17th centuries, when the new, already leading way, had not yet acquired a qualitative systemic certainty.

Returning to the issue of the “great opportunities” of the medieval social system in the socio-economic sphere due to the producer, although dependent, but owning the tools of labor, it is important to pay attention to the phenomenon of the social division of labor, which has become an additional and radical factor in its consequences of progress. Not fixed by an exact date, this slow deep process marked its formation with an extremely important division of the economy into two sectors: handicraft and agricultural production (8th-10th centuries). The result of this qualitative shift was the development of a commodity economy, which forced out subsistence forms of economy, which served as the basis for economic and political polycentrism.

The further development of the social division of labor embodied the process specialization, covering all aspects of public life - economic, - social (social functions and stratification of the population), - political (formation of the system of public administration), - cultural - educational. In other words, this factor became the basic condition for the formation of diverse and multiple ties in society, which created a new consolidated society, taking the life of its members beyond the boundaries of patrimonial and communal, guild and city, seignio-vassal, and finally, local and provincial ties. Gaining momentum in the 13th-15th centuries, this process increased the importance and changed the role of tools in the structure of productive forces in society. A noticeable progress in the tools of labor, supported by the liberation of ownership of tools for artisans from the control of the landowner as a result of the liberation movement of cities in the 12th-13th centuries, undermined the monopoly position of landed property in agrarian societies as the main means of production, gradually replacing manual production. labor (“medieval industrialization”). Changes in the structure of productive forces make it possible, within the framework of retrospective analysis and "long extension", to see the future final frontier of the pre-industrial period in the history of Western European peoples. However, in order to reach this limit, they will have to go through the stage of large-scale manufacturing production, the development of which will only begin the work of the gravedigger of small production - this basis of the medieval social system. Manufactory production will not be able to cope with such a task, leaving its solution to the industrial society of the New Age, nevertheless significantly advancing the process of overcoming, within the limits of the possible, particularism in the economy.

In the context of the question of the conditions for overcoming particularism in medieval society, the assessment of social results in the course of its modernization provides no less interesting material.

Among them - a change in the status of a small producer in the countryside - the emergence of a personally free peasant; the development of a new social organism - the city and the formation of the urban estate, which consolidated personally free small producers and owners in crafts and trade. The noted shifts gave the medieval social system the necessary completeness and relative "completion".

The development of free ownership of tools of labor becomes a source of money capital (mainly in crafts and trade), raising the socio-economic and, to a certain extent, political status of its owners. This, in turn, contributed to social dynamics, displacing the personal principle in social relations with monetary relations, thereby weakening the principles of social stratification.

An indicator of the most important social changes was the process of social and political self-determination of social forces in Western Europe, which significantly expanded the composition of people involved in social activity.

It was realized at different levels of the corporate movement within the workshop, guild, city, rural community. The highest form of social activity was ensured by the formation of estates, which assumed the level of nationwide consolidation and socio-political activity of social forces in the bodies of estate representation. The situation radically changed the socio-political alignment of social forces in the country, significantly expanding the composition of persons at the expense of the unprivileged population, in particular the townspeople, who were able (to one degree or another) to enter into a dialogue with the monarch, forming an elected public body and trying to limit with more or less less success for authoritarian power.

Class self-determination undoubtedly reflected and, most importantly, contributed to the consolidation of medieval society. However, this process, created by the creativity of only European peoples at the stage of medieval history, bore the stamp of corporate limitations, which did not allow society to recognize itself as a single social organism. The condition for achieving such a goal was to be the abolition of class stratification and the introduction of the principle of legal equality of all before the law. The achievement of such a condition belonged to another time, being prepared, however, by the previous medieval experience of life. 5

As for the political sphere of life in the prehistory of Western European society in the Modern Age, the processes of internal consolidation have been going on here, relatively speaking, since about the 13th century, within the framework of a special form of medieval statehood - the so-called "state moderne" (Etat moderne), which she considered appropriate highlight modern historical science. In the context of social relations, this form presupposes not so much the process of establishment as the given existence of feudal relations, their deepening and modernization.

In the political context, this form now makes it possible to assess the effectiveness of the centralization process for the supreme power, on the basis of which the features of the so-called patrimonial statehood, characteristic of the period of the genesis of feudal relations and the early stage of their establishment, were outlived and overcome. A distinctive sign of this political form was a private (personal) principle in social relations and public administration. The power of the monarch was constituted by the landed domain, which likened him to major lords who had political immunity (he is only "first among equals", "suzerain" in the system of seignioral-vassal relations, but not "sovereign"); the monarch had only a form of "palace administration" operating in the space of personal ties (for example, service on duty as a vassal to a seigneur; the institute of "feeding"); he had limited material resources for the implementation of the function of patronage or coercion.

The modernization of medieval statehood made the assertion of the public law nature of power and the administrative apparatus a hallmark of the new political form. The new form was prepared by changes in the social base of the monarchies, the formation of a system of state administration, the development of positive (state) law, the impulse and factor for which was the renaissance of Roman law. Now the state apparatus materialized the monarch's claims to the supreme power of the "sovereign" - "the emperor in his kingdom", acting in new relations with him - not personal, but "public", mediated by the state: payment for service in monetary terms was formed from receipts not from dominal income of the monarch, but from taxes concentrated in the treasury.

The public legal context in the activities of the supreme power has sharply increased its functionality. In the minds of medieval society, the monarch personified public Law, Law and the Common Good, that is, those norms and principles that justified, making his policy more effective, in particular, to overcome polycentrism and, which is especially important in the light of the issue of interest to us, to form the institution of citizenship. . With the help of the institution of allegiance, the private power of the lord in the estate, the corporate autonomy of professional or territorial entities, including cities, was supplanted. Their population became open to the state and controlled by it. The state "pulled" exclusively the functions of protection and order, thus monopolizing the solution of life's problems and society's hopes for the realization of justice and the public good. 6

Completing the characterization of the manifestations of the socio-political factor leading the medieval community away from particularism, one should name the political form of “medieval parliamentarism” already mentioned above. Then it was about this phenomenon in the context of social evolution - the processes of class self-determination and the consolidation of social forces. In this case, it is advisable to note the role of this body as a school for educating social activity. The representative body acted within the framework of the estate, therefore, also corporate division, which in a certain sense reduced its “consolidating significance”. However, class self-determination assumed a nationwide level of consolidation for each class group; their representatives resolved issues related to national interests; finally, the cumulative practice of the deputies itself was supposed to contribute to the development in society of ideas about the state as a “common body”

Such changes could shape the attitude of "citizenship" in the behavior of members of the community, now concerned not only with the problem of gaining political rights, but capable of experiencing a sense of responsibility for the "common good". The activities of the medieval parliaments so far ensured only the first steps towards the transformation of the community into a "national body" - a task that turned out to be up to the New Age, which proclaimed universal legal equality. The declarations on the abolition of the division of estates were not only the result of the determination of the deputies of the parliaments of the 17th-15th centuries, in particular English or French. The passions of the political struggle in these institutions could provoke the deputies to very radical, although far from the real content of the statement, two or three centuries ahead of the revolutionary time in Western Europe. 7 However, in the latter case, the decision to abolish the class division was determined by the readiness of the majority of society to accept such an innovation.

The material obtained as a result of the analysis undertaken in the article allows us to make several final considerations. To a certain extent, their possibility predetermined the approach to solving the problem posed in the section. This approach was characterized primarily by an attempt to consider the phenomena of ethnic groups and nations in their temporal sequence, which, in our opinion, made it possible to emphasize the flow of ethnic communities into national ones, with a more or less ethno-heterogeneous form of unity of new formations and natural opportunities for some ethnic groups to become them as a leading force, depending on specific historical circumstances.

The special attention in the article to the political factor in the development of ethno-national processes did not cross out a comprehensive vision of each of the phenomena, but did not allow limiting the evaluation of ethnic groups mainly by cultural-historical and emotional indicators, or reducing the characteristics of nations as exclusively political constructions. Both phenomena embodied a complex set of natural, socio-economic, socio-political and cultural parameters of development in their content. Significantly transformed over time, these parameters remained successive. The modernization of medieval society and the growing institutional maturity of statehood at the stage of public law history, in comparison with the ethnopolitical communities of the early Middle Ages, changed the forms, scales and historical fate of a new community, most often ethno-heterogeneous. But these processes did not cross out the attachment inherent in a person to the place of his birth - his "small homeland" (pays de nativite), the language or dialect in which he began to speak. Belonging to a "small nation" did not prevent them from accepting new forms of social ties, participating in the formation of a "national" culture and a national language. Although, naturally, such a “smooth” outcome of the processes of ethno-national evolution depended on many circumstances, in particular, on the degree of self-determination and maturity, including institutional, of ethnic groups in their heterogeneous proton-national formation. He also assumed certain conditions in the coexistence of these communities, and above all, mutual observance of the norms of behavior: non-violent behavior on the part of the leading ethnos in national formations and agreement to accept a new historical fate by another ethnic or multi-ethnic part of the community. The facts underlined in the article of the successive development of the phenomena "ethnos - nation" and the strength of this vector of movement have received convincing confirmation in our days. Today it testifies to the unfinished nature of the processes of transformation of ethnic groups in the nation, even in the era of globalization of world history, perhaps just being activated as a counterbalance to this trend?

In the analysis undertaken, two spheres of historical reality, social and political, have become its objects. They were considered in close conjunction with each other, although at the level, mainly, of sociological processes, with the conscious elimination of concrete historical event and spiritual history, which would require special attention and going beyond the scope of the article. Nevertheless, it is in its final part and as a conclusion that I will allow myself to briefly refer to the political event situation from the history of France close to my scientific interests in order to emphasize the significance and effectiveness of the processes that should have contributed to the formation of the “national” quality of the medieval state communities.

Sufficiently “neutral” for the experiment by the standards of “medieval history” accepted in science, the experience of the so-called period of the “classical Middle Ages”, that is, the XIV-XV centuries, demonstrates for the researcher an example of a very difficult “strength test” of the French state and society, and even if the initial but the results of the processes of ethno-national consolidation, namely, the threat of loss of independence in the Hundred Years War. The occupation of a significant part of the territory, the death of people and the ruin and split of the country, the English king on the French throne - a seemingly hopeless situation that received an unexpected and favorable outcome. It is traditionally explained in the literature by references to the factor of the "liberation" war and the successes in the final analysis of state building. However, the materials of the article significantly complement the picture with the facts of fundamental changes in the nature of power, which made the latter the main carrier

the functions of order and justice - in the nature of society, especially its unprivileged part, and the nature of the dialogue between the monarch and society. The totality of these interrelated processes - social, institutional and ethno-national - formed the political-state stability and the possibility of military resistance. The developments of recent years, in particular, in the "domestic" literature, significantly deepen the traditional explanations of the phenomenon of Jeanne de Arc. They usually emphasize the "scope" of the liberation war, the mystical faith in the legitimate monarch, the religious consciousness of society and the heroine herself. Without refuting these explanations, I would like to remind you that this undeniably extraordinary personality was born and formed in the specific environment of the French village. Its actor is not a serf, but a censor, not only a personally free person, but a producer who has received noticeable advantages in operations with land holdings (his mortgage and even sale); in the conditions of a pronounced tendency to eliminate senior plowing, he turned his farm into the main production unit, and finally, he is a member of a rural community that implements forms of self-government in its relationship with its own lord and the outside world. All these features stimulated the social activity of rural residents, increased their sense of self-worth, and changed behavioral norms. It should not be forgotten that the scope and effectiveness of the liberation struggle was determined not only by its "people's" character, but by the fact of organized resistance in the countryside and in the city, the population of which acted in the forms of urban and rural corporations that were familiar to them. Moreover, the state, in turn, used the rural and urban militia, connecting their actions to the military operations of the royal army. 8 Innovations in rural life became an integral part of the process of overcoming medieval particularism, slowly gaining momentum, which freed people from the feeling of their involvement in the life of only their patrimony, city, province, monastery, stimulating their perception of their own belonging to the community as a whole. The feeling of "one's own root (souche)", previously associated with the place of immediate birth - in the new conditions could and should have taken the form of perceiving the country as a whole as the Motherland - as a sign of a common historical destiny and historical coexistence, outlined by geopolitical boundaries.

It is no coincidence that perhaps the defining motive of numerous political treatises of the XIV and especially XV centuries in France should be recognized as the idea of ​​a “common cause”, a “common duty” to defend the Motherland. Even with an adjustment for the “government order” seen in the treatises, which their authors, who were often royal officials, like A. Chartier or Desursin, could not fail to realize, such a position was significant 9 . A more definite and "mass" in nature evidence of public sentiment was the reaction - if not of society as a whole, then of a significant part of it - to the Treaty of Troiss in 1420, which deprived France of the right to exist as an independent state and divided the country into two irreconcilable camps. The final victory was the victory of the opponents of the treaty, who considered the “dual state” impossible, even while maintaining independent control for both parts, with one, but “foreign” for France, English king. The situation demonstrated the birth of a new form of statehood, the fate of which was no longer decided within the limits of only dynastic, especially seignorial-vassal and, in general, personal ties or the principles of private law.

The growth of the institutional maturity of the French state went in parallel with the ethno-national consolidation of the community that filled it, the norms of life of which were now regulated at the national level by public Law and Law.

Notes

1 Shirokogorov S.M. Ethnos. Study of the basic principles of changes in ethnic and ethno-natural phenomena. Shanghai, 1922; Bromley Yu.N. Ethnos and ethnography M. 1973; Elite and ethnos of the Middle Ages / Ed. A.A. Svanidze M., 1995; Alien: experiences of overcoming. Essays from the history of Mediterranean culture / Ed. R.M. Shukurov. M., 1999; Antiquity, culture, ethnos / Ed. A.A. Belika. M., 2000.S. 229–276; Luchitskaya S.I. The Image of the Other: Muslims in the Chronicles of the Crusades. SPb., 2001; Tishkov V.A. Requiem for ethnicity. Studies in sociocultural anthropology. M., 2003; Nation and History in Russian Thought at the Beginning of the 20th Century. M., 2004; Kostina A.V. Requiem for the ethnos or "Vivat ethnos!" // National culture. ethnic culture. World culture. M., 2009; Issues of sociological theory // Scientific almanac / Ed. Yu.M. Reznik, M.V. Tolstanova. M., 2010. T. 4; Hu-isinga J. Patronism and Nationalism in European History. men and ideas. London, 1960. P. 97–155; Guenee B. D'histoire de l'Etat en France a la fin du Moyen Age vue par les historiens francais depuys cent-ans" Revue historique, t CCXXXII, 1964, pp. 351–352; idem, “Etat et nation en France au Moyen Age,” Revue historique, t. CCXXXVII. no. 1. P. 17–31; Idem. Espace et Etat dans la France du Bas Moyen Age // Annales. 1968. No. 4. P. 744–759; Weber M. The Sociology of Religion. London, 1965; Idem. Economy and Society. N.Y., 1968; Chevallier J. Histoire de la pensee politique. t. I; De la Cite-Etat a l'apogee de l'Etat-Nation monarchique. t.II, Ch.V. Vers l'etat national et souverain. P., 1979. P. 189–214; De Vos G. Ethnic Pluralism: Conflict and Accommodation / Ethnic Identity: Cultural Continuities and Change. Chicago, London 1982 Anderson b. Imagined Communities. Reflections on the Origin and Spread of Nationalism. London, 1983; Beaune C. La Naissance de la nation France" P. 1985; Smith A. The Ethnic Origins of Nations. Oxford, New York, 1986; Erickson E. Identity: youth and crisis. M., 1996; Jaspers K. General psychopathology. M. 1997; Moeglin J-M. Nation et nationalisme du Moyen Age a l'Epoque Moderne (France - Allemagne) // Revue historique. CCC. 1/3. 1999. P. 547–553; Idem Dela "nation allemande" en Moyen Age // Revue francaise d'histoire des idees politiques. Numero special: Identites et specificites allemandes. N. 14. 2001. P. 227–260; Geary P.J. The Myth of Nation. The Medieval Origins of Europe. Princeton, 2002; Huntington S. Clash of civilizations. M., 2003; He is. Who are we? Challenges of American National Identity M., 2008; Giddens E. Sociology. M., 2005; Ethnic groups and social groups. Social organization of cultural differences / Ed. F. Barth. M., 2006; Braudel F. Grammar of civilizations. M., 2008.

2 The expression of J. Michelet, a representative of the school of romanticism in French historical science. In the introduction to the last lifetime edition of his "History of France from the end of the 15th century to 1789", he, essentially anticipating the principles of the then emerging direction of positivism, writes about the need for a comprehensive vision of historical phenomena and, in particular, "rooting in the soil" of political history. Histoire de la France par la fin du XV siecle jusqu a 1789. P., 1869.

3 Fournier G. Les Merovingiens. Paris, 1966; Halphen Z. Charlemagne et l'empire carolingien. P., 1995; Lemarignier J.-Fr. La France medieval. Institutions et Societe. P. 1970. T. I; Favier J. Charlemagne. P., 1999.

4 Khachaturyan N.A. Polycentrism and structures in the political life of medieval society // Khachaturyan N.A. “Power and Society in Western Europe in the Middle Ages. M., 2008, pp. 8–13.

5 Khachaturyan N.A. Medieval corporatism and processes of self-organization in society. View of the Medieval Historian on the Problem of the “Collective Subject” // Khachaturyan N.A. Power and Society… S. 31–46; She is. European phenomenon of class representation. To the question of the prehistory of "civil society" / / Power and Society. pp. 156–227, 178–188; She is.“Sovereignty, law and the whole community”: interaction and dichotomy of power and society” // Power, society, individual in medieval Europe / Ed. ON THE. Khachaturian. M., 2008. S. 5–10.

6 Khachaturyan N.A. The phenomenon of class representation in the context of the problem of Etat Moderne // Society, power, individual. pp. 34–43; She is. Western European Monarch in the Space of Relations with Spiritual Power (Morphology of the Concept of Power) // The Sacred Body of the King: Rituals and Mythology of Power / Ed. N. A. Khachaturian. M., 2006, pp. 19–28; She is.“The king is the emperor in his kingdom. Political Universalism and Centralized Monarchies // Empires and Ethno-National States in Western Europe in the Middle Ages and Early Modern Times / Ed. ON THE. Khachaturian. Moscow, 2001, pp. 66–88; Stayer J.R. On the Medieval Origins of the Modern State. Princeton, 1970; Renaissance du pouvoir legislative et genese de l'Etat / Ed. A. Gouron, A. Rigaudiere, Montpellier, 1988; Les monarchies: Acte du colloque du Center d'analise comparative des systems politiques / Le Roy La-durie. P., 1988; Coulet N et Genet.-Y-P. L'Etat modern: territorie, droit, systeme politique. P., 1990; Genet Y.-P. L'Etat modern. Genese, Bilans et perspectives. P., 1990; Quillot O., Rigaudiere, Sasser Yv. Pouvoirs et institutions dans la France medieval. P. 2003; Genet G.-Ph. L'Etat moderne: genese, bilans et perspectives. P., 1990; Visions sur le developpement de l'Etats europeens. Theorie et historiography de l'Etat modern // Actes du colloque, organise par la Fondation europeenne de la science et l'Ecole fransaise de Rome 18–31 mars. Rome. 1990; Les origins de l'Etat moderne en Europe / Ed. par W. Blockmans et J.-Ph. Genet. P., 1996.

7 The author of the diary entries of the meetings of the General States in France in 1484 Jean Masselin noted the facts of the radical moods of the deputies, reminding everyone present that royal power is only a “service” for the benefit of the state Grand Seneschal of Burgundy Philippe Pau sire de la Roche in the spirit of the secular concept of origin known in the Middle Ages royal power, proclaimed, in his words, the idea of ​​"popular sovereignty", calling the people the "supreme sovereign" who once created both the king and the state ... Journal des Etats generaux tenus a Tour en 1484 sous le r`egne de Charles VIII, redige en latin par Jehan Masselin, depute de baillage de Rouen (publ. par A. Bernier. P. 1835 pp. 140–146, 166, 644–646. See also Khachaturyan N.A. Estate monarchy in France XIII-XV centuries. M., 1989. C. 225).

8 See an attempt to consider the history of self-defense in the countryside during the Hundred Years War as an independent factor that influenced not only the scale of the liberation movement, but the structure and tactics of the future standing army in France (the role of the infantry as an independent part of the military structure; a departure from the principles chivalrous war). Khachaturyan N.A. Estate monarchy in France. Ch. IV: The structure and social composition of the army of the XIV-XV centuries, section: Self-defense of the masses. pp. 145–156.

9 A. Chartier."Le Quadrilogue invectif" (Four-part accusatory dialogue) / Ed. Y.Droz. P., 1950; Juvenal des Uzsins "Ecrits politiques" / ed. P.S. Zewis, t.I. P., 1978; t. II. P., 1985; "Audite celi" ... (Listen, heaven.) t.I. P. 145–278.

Khachaturyan N.A.

I.II. Medieval studies and the national question (on the uncertainty of definitions)

We are talking about some considerations about the concept of "nation" in its various aspects (historical, philological, political, social, philosophical).

The national question has been constantly relevant for the past few centuries, and yet the very "real" existence of nations and ethnic groups is being called into question so much that they are called imaginary communities. And meanwhile, on the other hand, the study of history is imbued with ethnic interests to such an extent that the specialization of historians, along with chronology, is determined by ethnography: most of them are engaged in domestic histories, and the rest specialize in those countries whose languages ​​are closer to them (thus, according to at least in university teaching). But are ethnic communities historical realities about which scientific, that is, unbiased, objective and systematized judgment is possible, or, due to their construction and uncertainty, due to subjectivity and at the same time predetermined national self-identification, such judgments are doomed to carry an ideological load?

1. The concept of "nation" in the modern language was formed historically mainly in relation to the reality of the XV-XX centuries. It must be studied in the context of both "constructivism" or instrumentalism, and in its (the concept's) "objective" foundations.

Words serve to describe phenomena, and both words and phenomena line up in certain hierarchies and have their own history.

To get closer to understanding the “national” phenomenon, I propose to consider what identity is in general, how it is applied to historical subjects, then clarify the concepts of ethnos and people, and then move on to the specific idea of ​​a nation in its historical existence.

2. So, identity in the broadest sense is the fact of the identity of several objects, which thereby indicates their belonging to a common set for them, or the identity of an object (its image) with itself. In the philosophical sense, the concept of "identity" is fundamental, since any similarity and difference follow from it, and at the same time contradictory, since it is abstract - in nature there is no complete identity, things are constantly changing, complete identity is impossible. The inconsistency of the phenomenon of “identity” lies in the fact that it implies a duality: a comparison of something with something, but the duality is no longer an identity, or, if we are talking about one and the same thing, its identity to itself is only thought; it is in any case an addition to its own being or a distraction from that being.

The phenomenon of living matter can be understood as the preservation of the self-identification of a collection of cells; the idea of ​​the subject lies precisely in the presence and constant reproduction of a unique combination of these cells, or even individual molecules. The subject is thus an active identity, a repetition of the unique (individual).

In the world of wildlife, there are not only individual subjects, but also collective ones, and also, so to speak, multiple ones. The collective includes families and herds, swarms of insects; to multiple species, subspecies and populations. Self-identification of natural organisms occurs almost automatically, through a common origin and habitat; essential changes occur and accumulate slowly. Animals are guided by instincts, that is, instructions laid down by nature that dictate a line of behavior. But at the basis of all behavior lies the idea of ​​an individual and collective "I", which is a measure of values. "I" is a sign, or in semiotic terminology, a designatum (denoting) of identity.

The same principles operate in the human world as in the animal world, but culture is added to them, that is, a system of adaptations based on the construction of language models, the accumulation of values ​​and technologies, and the knowledge of nature for its development. Knowledge expands the possibilities of choice, but the choice is ultimately still predetermined by the measure of value, that is, by the interests of the individual and collective "I". The interaction and conflicts of these interests largely determine the content of what we call history.

Human species and populations were formed and continue to be formed according to natural laws, species characteristics and characteristics of organisms are transmitted genetically. At the same time, in the process of history, the cultural factor more and more influences the behavior of people, as well as their attitude towards their own kind. Biological-species differences that underlie ethnic ones retain their basic character, but cultural ones are added to them, and sometimes push them into the background: confessional (faith), social - a place in the social hierarchy, professional (occupation), political (citizenship), civilizational - that is, based on a historically established complex of cultural characteristics.

The conclusion from all these arguments is that ethnic differences in human society act not only as a biological, but also as a cultural reality. Consequently, the degree of freedom or arbitrariness in the process of ethnic identification or self-identification is higher than in biological species identification. Ethnicity is one of the tools of the so-called socialization, that is, adaptation to the social environment, just like confession, citizenship, etc. Choice ethnicity is much more determined than the choice of faith, profession or citizenship, but to some extent, namely due to the cultural component of ethnicity, it exists. The repertoire of roles open to humans is wider than that of animals, thanks to the richness of virtual reality in society. And every role requires self-identification with it. Species in the biological sense or ethnic role loses its absolute supremacy 1 .

3. To designate different levels of ethnic differences and different historical stages in the formation of ethnicity, different concepts are used: race, tribe, people, family, nation, ethnic group and others. The word "ethnicity" seems to be the most universal and neutral, and therefore the most suitable for scientific texts. It goes back to the Greek word "ethnos", translated into Russian as "people", but when the latter is used in the ethnic sense, there is a non-random contamination with its other meanings. “People” in Russian can, of course, denote an ethnic community (as “people” in the famous triad with Orthodoxy and autocracy), but “people” can also mean the totality of all citizens of the state, or vice versa, “simple” people, the third estate , workers, as opposed to warriors and clergy, etc. These two non-ethnic meanings, it seems to me, are the product of historical development, namely, the ancient (Roman) and medieval European tradition of using the word "people" in a political and social sense, which was adopted by the Renaissance and passed into the national languages ​​(lat. populus, it. popolo).

In general, the vagueness of all ethnic terminology, in contrast to the biological classification of species, points, in my opinion, to strong cultural component in the described phenomena. Discussions about the words "nation" and "nationality" reveal their construction and historical nature and confirm the impossibility of their unambiguous use in a medieval context. The medieval natio is not at all the same as the modern nation. But even the more neutral word "people" turns out to be ambiguous and eludes simple interpretation. To the above meanings for the Middle Ages, one should also add the cultural opposition of oneself (the People, or the chosen people, the people of the faithful) to the “peoples” (gentes), that is, the pagans, the “tongue”, the unenlightened crowd. This opposition, on the one hand, is quite ethnic, on the other, cultural; it is tantamount to the antiquity opposition of the cultured people and the "barbarians", and perhaps even goes back to it.

In the end, it turns out that the cultural component erodes the very phenomenon of ethnicity. In particular, in relation to the Middle Ages, it is impossible to single out one or the dominant type of ethnic communities (or, as they often say now, “ethnic”). The geographical designation, that is, the designation of “peoples” tied to the territories, dating back to antiquity, prevailed. In turn, the territories were named after the names of the tribes inhabiting them or mythological characters (Europe). Italics lived in Italy, but this word was not the name of the people. The belonging of the Italians was determined by their origin from a particular city or locality 2 . The terrain gives birth to people, like flora and fauna. The fragmentation of Europe, and on the other hand, the presence of supra-ethnic communities: the Catholic world, the empire, gave rise to local patriotism. An example of another, already Renaissance patriotism can be found in Petrarch, who stood at the origins of the modern periodization of history 3 . Petrarch, like Dante, calls himself an Italian, but emphasizes his Roman citizenship, while remembering the Apostle Paul 4 . It is curious that Petrarch, who spent many years in Avignon, criticizes a certain Frenchman (Gaul) who blasphemes Italy. The reason for this (1373) was the dissatisfaction of the French cardinals under the papal curia with the lack of Burgundy wine there 5 . It must be assumed that such Italian-Roman patriotism served to shape future ideas about the Italian nation 6 .

It is also interesting that this new or revived Roman patriotism rejects the idea of ​​transferring the empire, popular in the Middle Ages: the empires of the Greeks, Franks and Germans are no longer the same as those of the Romans 7 . Petrarch speaks of himself as an Italian by "nationality" (birth, natione) and a citizen of Rome. Roman citizenship, therefore, is the ancient prototype of the nationality of modern times.

4. From here we can go to the history of the term "nation". It shares an etymology with the Latin nasci be born 8 . Ducange's dictionary gives two main meanings of "nation": 1) origin, position of the family and clan; 2) university "nations" 9 .

The most popular, or widely known, meaning of the word natio in the Middle Ages was fraternity, primarily in relation to student associations at universities. But also to merchants, pilgrims and others. It is logical that such a designation was used in cases where people, for some reason, moved in a known number from their place of birth.

The variety of meanings of the concept "nation" until relatively recently is not inferior to the same spread in the use of the word "people" close to it, and sometimes opposite. We will trace this diversity, relying on an article specially devoted to the term "nation" by an Austrian politician and poet of the first half of the 20th century. Guido Zernatto 10 . In the Roman lexicon, the word natio, in addition to denoting the patron goddess of childbirth, was applied to a group of people of the same origin, but not to the people as a whole 11 . However, its meaning was rather pejorative and close to the Greek "barbarians" - these were foreigners who were distinguished from the Roman "people". The word natio often did not have any ethnic connotation, but almost always, according to Zernatto, retained a comic one. In this sense, they spoke of the "nation of the Epicureans", and Cicero uses this word in a social context: "the nation of optimates" 12 .

It is curious that the non-ethnic meaning of the word "nation" existed in Western languages ​​before modern times; it resembles the Russian word "folk", which also may not have an ethnic connotation, being applied, for example, to animals. In this sense it is used by Edmund Spenser 13 .

Other modern writers speak of "nation" in a professional sense: "nation of doctors" (Ben Jonson), "nation of poets" (Boileau); in the class-professional: "lazy nation of monks" (Montesquieu); finally, in Goethe this word occurs in application to the entire female sex (or, more precisely, to all girls) 14 . Earlier Machiavelli uses the expression di nazione ghibellino 15 .

Nevertheless, the most common in the Middle Ages was the territorial-corporate understanding of the word natio. There were four nations at the University of Paris: French, which included, in addition to the inhabitants of part of modern France, Spaniards and Italians; Picardy, which included the Dutch; Norman for the inhabitants of the north-eastern part of France and German for the Germans and the British 16 . At the ecumenical church councils, where the delegates, as G. Zernatto notes, stayed as foreigners, like students at universities, they were also divided into "nations". At the Council of Constance, the German nation included, in addition to the Germans, Hungarians, Poles, Czechs and Scandinavians 17 . According to G. Dzernatto, a feature of the position of the delegates was their representative functions, which indicates another important meaning of the word "nation" in modern times, the class-political meaning. In this sense, even in the Middle Ages, a nation was understood only as the so-called "elite", a noble estate, which included or joined the clergy, and which had exclusive civil rights. The "political nation" was opposed by those who work for hire, who are poor, uneducated, "do not know Latin" (Schopenhauer) 18 . The territorial-land principle of political organization, combined with feudal fragmentation and a hierarchy of power, corresponded to the possibility of alienating entire regions. In the Middle Ages, territories were annexed, conquered, sold and mortgaged. The idea of ​​the integrity of the nation is more recent. Perhaps the modern revolutions express, among other things, the birth of this national feeling. In the era of romanticism, from the end of the XVIII century. the origins of nationality, national culture were sought precisely in the Middle Ages, in their legends, history, literature in folk languages, culture and art.

5. Relationship between ethical and ethnic.

The essence of the concepts of ethnos and nation, oddly enough, remains approximately the same for centuries. We can talk about primordialism and constructivism in the understanding of the nation, and that today the idea of ​​a “nation” is rather a product of cultural and historical development, primarily due to political factors. But the "national question" lies on a somewhat different plane: I would say, on the plane of sanity.

In nature, species affiliation predetermines behavior, roughly speaking, it determines who feeds on whom (of course, not only that). Species and subspecies in nature, like individuals (after all, these are "collective individuals") can cooperate, can compete, but the biological nature of a species changes only very slowly, over many generations.

In society, as in nature, collective and individual individuals can also cooperate and compete, these are ethnic groups, families, and social groups, but their behavior is determined not only by an external given, or law, but also by an internal law, ideas about what is right and what is wrong. If nations are divided into bad and good by nature (options are smart and stupid, talented and mediocre), like animals into carnivores and herbivores, then the concept of sanity cannot be fully applied to them: their behavior is predetermined. (And such an approach existed and exists to this day. In essence, it is based on the instincts of self-preservation of the collective "I", like any ideology 19).

In the Middle Ages, it was widely believed that the characters, inclinations, moral qualities and even the fate of people are largely connected with the circumstances of their birth, with the influence of the planets, that they were originally predetermined. For example, there was a tradition about the founding of Florence by the Romans, from whom its inhabitants inherited nobility and dignity, but they also mixed with the Fiesolans, the descendants of the defeated warriors of Catiline, who were distinguished by a violent temper and a penchant for contention. (This is written, in particular, by G. Villani and Dante 20). The fate of Florence was also influenced by the pagan God Mars, even more accurately supposedly depicting his statue, which stood at the Old Bridge. 21

Behavior was determined by birth. The heretic could repent, and the faith could be changed (whole nations did this), but birth remained decisive ... Birth cannot be corrected. At the same time, in the acts of identification and self-identification, as in any conscious action, the most important role is played by the evaluative component, “will”, desire and comprehension (choosing a goal).

If some general criteria are to be applied to collective individuals, rules prescribing how to act - that is, logically, universal criteria, then they should be judged in the same way as individual individuals. Then the principle of justice applies to them: my rights are limited by the rights of others; as long as I defend my dignity on an equal footing with others, I am right, but when in defense of my dignity I infringe on other people's rights, I am guilty. Medieval people, thanks to Christianity, had an idea of ​​universal human values, but in practice the values ​​of collective individuals prevailed and looked objectively given: the true faith, the chosen people, the best people by birth.

Only in modern times did the notion of the relativity of values, one might say, the desacralization of values, lead to the conditional primacy of the universal idea.

It is no coincidence that the comparison of the word ("nation") with a coin in the article by G. Zernatto 22 . There is no absolute value, all values ​​are conditional, although a full-fledged coin is objectively more valuable than a bank note. "I" is not an absolute value, and the nation is not an absolute value, although at some moments in history it may claim to be. (The society of believers, the ruling class, the people are collective individuals who claim to be the highest ideas of reference).

In medieval Europe there was no national question, that is, it was not a question: the inequality of peoples, faiths, classes seemed obvious and unshakable. (Although, I repeat, it was once said “there is neither Greek nor Jew.” Yes, secular affairs were to be regulated by “natural law”). Only when the idea of ​​a nation-state was constructed did questions arise about the right of nations to self-determination, about internationalism, about state-forming or titular peoples, about the rights of minorities, and others. The national-state idea and ideology replaced the religious 23 . Perhaps the national question arose when the inviolability of ethnicity was called into question: there were nation-states claiming to replace ethnic kinship with citizenship. (Partly similar situation was in the days of the Roman Empire and the rise of Christianity).

An ethnic nation or a civil nation has ideologically become the supreme measure of value in society, but over time, obviously, these ideas will become obsolete. So far, it can be stated that in this respect, as in many others, we are the direct heirs of medieval society.

Notes

1 It must be noted that the biological concept of a species is to a certain extent conditional; there are no "pure" ethnic groups, as well as "pure" cultures.

2 For example, in his letters Dante most often calls himself a Florentine, but sometimes also an "Italic" or an Italian (Italian). The wording of the beginning of the Comedy is known from a letter to the ruler of Verona, Cangrande della Scala: Incipit Comoedia Dantis Alagherii, Florentini natione, non moribus ("The Comedy of Dante Alighieri, a Florentine by birth, but not by morals," begins). Also humilis ytalus Dante Alagheriis Florentinus et exul inmeritus: "the lowly Italic Dante Alighieri, the undeservedly exiled Florentine." Cm.: Hollander R. Dante's Epistle to Cangrande. Ann Arbor: University of Michigan Press, 1993, p. 39.

3 See: Mommsen Th. E. Petrarch's Conception of the "Dark Ages" // Speculum. 17, 1942, pp. 226–242.

4 Ibid., p. 233 and Petrarca F. Invectiva contra eum qui maledixit Italie // Opere latine di Francesco Petrarca / A cura di Antonietta Bufano, U.T.E.T, Torino, 1975; "Sum vero italus natione, et romanus civis esse glorior". http://digidownload.libero.it/il_petrarca/petrarca_invectiva_contra_eum_qui_maledixit_italie.html

5 From experience and from the examples of the holy fathers, finally, according to the instructions of Annaeus Seneca, I can conclude that a person has enough bread and water in life - he spoke about a person, and not about a glutton; and this judgment was expressed by his nephew / Mark Annei Lucan /: “the peoples have enough of the river and Ceres”. But not the people of the Gauls. However, if I were a Gaul, I would not say this, but would defend Bon wine as the highest joy of life and glorify it in poems, hymns and songs. However, I am Italian by birth, and I am proud that I am a Roman citizen, and not only the sovereign and rulers of the world were proud of this, but also the Apostle Paul, who said “For we have no permanent city here” / but we are looking for the future. Hebrews 13:14/. He called the city of Rome his homeland, and in great danger speaks of himself as a Roman citizen, and not as a Gaulish by birth, and this was to his salvation. Ab experientia quidem et sanctorum patrum ab exemplis, ab Anneo demum Seneca didicisse potui, quod satis est vite hominum panis et aqua - vite hominum dixit, sed non gule -; quam sententiam carmine nepos eius expressit: satis est populis fluviusque Ceresque. Sed non populis Galliarum. Neque ego, si essem gallus, hoc dicerem, sed beunense vinum pro summa vite felicitate defenderem, hymnis et metris et cantibus celebrarem. Sum vero italus natione, et romanus civis esse glorior, de quo non modo princeps mundique domini gloriati sunt, sed Paulus apostolus, is qui dixit: "non habemus hic manentem civitatem." Urbem Romam patriam suam facit, et in magnis periculis se romanum civem, et non gallum natum esse commemorat; idque tunc sibi profuit ad salutem.

6 In this regard, reference may be made to the hypothetical construction of a “southern Italian nation-state” referred to in the article: Andronov I.E. Formation of national historiography in Renaissance Naples // Srednie veka. Issue. 72(1–2). Moscow, Nauka, 2011, pp. 131–152. It is precisely the author’s confidence in the presence of a “national in the full sense of the word” foundation of this state by the beginning of the 18th century that raises questions. In the full sense of the medieval term or the modern understanding of the nation? And if this meaning is general, then why not talk about the Venetian or Florentine "nations" as the core of the future Apennine state? Of course, we argue post factum, and today it is easier to talk about the inevitability of the unification of the regions of the peninsula than in the XIV century. foresee it. But the significance of common history and the memory of it in this case is obvious: ancient Rome casts its shadow on the subsequent fate of Italy.

7 Mommsen Th. E. Petrarch's Conception of the "Dark Ages, p. 16.

8 Harper, Douglas (November 2001). Nation. Online Etymology Dictionary. http://www.etymonline.com

9 I. Natio: 1) Nativitas, generis et familiae conditio. 2) Agnatio, cognatio, familia. 3) Regio, Gall. Pai "s, contree. II. Nationes - 1) in quas Studiorum, seu Academiarum Scholastici dividuntur, 2) Plebeii. Du Cange, et al., Glossarium mediae et infimae latinitatis, ed. augm., Niort: L. Favre, 1883 –1887 via http://ducange.enc.sorbonne.fr.

10 This German-speaking author (1903–1943) emigrated in 1938 to the United States, judging by his last name, of Italian origin. The article "Nation: the history of the word" was translated into English and published posthumously (only the first part). Zernato Guido. Nation: The History of a Word / Transl. Alfonso G. Mistretta // The Review of Politics. Vol. 6. No. 3 (July 1944), pp. 351–366. See http://www. jstor.org/stable/1404386.

11 Ibid., p. 352.

12 Ibid., p. 353.

15 History of Florence, II, 21. In Russian translation by N.Ya. Rykova: "coming from the Ghibelline family." What is really meant here is, first of all, not party, but family affiliation (“by birth Ghibelline”). In all other cases, Machiavelli uses the word nazione in an ethnic or ethno-territorial sense, see the dictionary of his vocabulary at http://www.intratext.com.

16 Zernatto G. Op.cit., p. 355. It is interesting that the title of each nation included its honorary definition: the French "worthy" (l'honorable), the Picardy "faithful" (la fidele), the Norman "respected" (la venerable), the German "steadfast" (la constante).

17 Ibid., p. 358.

18 Ibid., p. 362, 363.

19 Wed. characterization of ideology as an irrational instrument of collective self-identification by E. Erickson: “Ideology here will be understood as a conscious tendency underlying religious and political theories; the tendency at the moment to reduce facts to ideas, and ideas to facts, in order to create a sufficiently convincing picture of the world to maintain a collective and individual sense of identity. (In this book ideology will mean an unconscious tendency underlying religious as well as political thought: the tendency at a given time to make facts amenable to ideas, and ideas to facts, in order to create a world image convincing enough to support the collective and the individual sense of identity). Erikson, Erik H. Young Man Luther: A Study in Psychoanalysis and History. New York: W. W. Norton & Co., Inc., 1962, p. 22. With regard to the national feeling, the role of the subconscious is even more significant, since the feeling of belonging to the collective individual by birth has more “material” roots.

20 Villani J. New chronicle, or history of Florence. M., Nauka, 1997. S. 31. (Book I, ch. 38), p. 70 (book III, ch. 1). Dante Alighieri, Divine Comedy, Hell. XV, 73-78.

21 Villani J. New chronicle, p. 34 (book I, ch. 42), p. 69–70 (book III, ch. 1). Dante Algieri, Divine Comedy, Paradise, XVI, 145–147.

22 Zernatto G. Op.cit., p. 351.

23 In the spirit of the development of state sovereignty from the Middle Ages to the New Age, G. Post considered the idea of ​​the nation: Post G. Medieval and Renaissance ideas of nation // Dictionary of the History of Ideas: Studies of Selected Pivotal Ideas / Ed. Philip P Wiener. New York: 1973–1974, b. 318–324.

Yusim M.A.

I.III. Some Remarks on Byzantine Models of "Ethnic" Identification

The texts of the middle and late Byzantine period are full of ancient names of peoples, such as "Gauls", "Colchs", "Gepids", "Scythians", "Sarmatians", "Huns", "Tauro-Scythians", "Triballi", "Getae", "Dacians ”, etc., in no way, in the modern view, not correlated with the medieval peoples designated by them. It seemed that the Byzantines avoided neologisms and lexical borrowings from the outside world, geographical, ethnic nomenclature, the realities of foreign social and cultural life were often (but not always) referred to in terms of classical science (historiography, geography, etc.) 1 . Researchers usually refer to this well-known phenomenon as “archaization” of realities contemporary to Byzantine authors as a result of transferring the traditional terminology already established in Greek science to new objects.

The problems of the origin and function of Byzantine "archaization" were solved in modern literature on the basis of several methodologies used in the field of research on Byzantine culture. The vast majority of these approaches develop in the context of traditional philology and literary criticism and concentrate on the analysis stylistic features of Byzantine texts. According to the literary-critical explanation, the Byzantines reproduced archaic toponymic and ethnic terms, trying to preserve the classical integrity of literary discourse, often to the detriment of factual accuracy 2 . This position was most fully formulated by G. Hunger, who even spoke about the stylistic "snobbery" of Byzantine authors and their disregard for any new information. The researcher interpreted "archaization" in more cautious terms as "mimesis", the Byzantines' imitative reproduction of the language, style features and themes of ancient literature 3 . Consequently, the very ability of the Byzantines, allegedly completely immersed in the imitation of ancient forms and images, to adequately reflect reality caused serious doubts among researchers 4 . So, for example, G.G. Beck spoke about the lack of curiosity among the Byzantines in relation to other peoples, which was a consequence of the fundamental autarchy of the Byzantine consciousness. The barbarians were viewed as a kind of undifferentiated and homogeneous unity 5 .

Contribution to the clarification of the genesis of the Byzantine "archaic" constructions was made by poetology, presented by the domestic researcher M.V. Bibikov. M.V. Bibikov analyzed the Byzantine descriptions of other peoples again mainly from a philological point of view, but using more sophisticated poetological analytical tools. As shown by M.V. Bibikov, “archaization” was not so much a slavish imitation of ancient authorities, but one of the functions of the poetological structure of Byzantine texts. The researcher finds it possible to talk about chronotope of the barbarian world, i.e., about the special organization of space and time in the narrative, which determined the functionality and substantive significance of the ancient ethnicons in the Byzantine context 6 . The specific stylistic strategies of the Byzantines also played a role in the persistence of the practice of preserving traditional ethnikons, who avoided including “alien speech”, i.e., barbaric neologisms-ethnonyms, in their narrative, so as not to violate the integrity of the narrative fabric 7 . The researcher interpreted "archaization" in the context of the "etiquette" of medieval discourse, which tied ethnonymy to geographical space 8 .

"Archaization" also received a socio-cultural interpretation, which, however, very clearly gravitates towards philological interpretations. For example, G. Hunger believed that in the XIV century. "archaization" was the lot of intellectuals from the peaoi layer, for whom it was a unifying sign of corporate unity and corporate exclusivity. I.I. Shevchenko supports this idea, talking about classical knowledge (and, accordingly, the ability to classicist imitation) as a prestigious group marker that separated the intellectuals from the lower classes 9 . A discussion of these and other points of view is contained in the article by M. Bartuzis, who not only cited the opinions prevailing in historiography, but also put forward his own vision of the problem. The researcher rightly considers "archaization" as part of an even broader problem of the attitude of the Byzantines to their past 10 .

Below we will offer another possible solution to the problem of "archaization", considered in the particular context of the Byzantine ethnonymic classification. As applied to ethnic terminology, the problem of "archaization" can hardly be solved only by means of literary criticism and poetology. The problem can be viewed from a more general epistemological positions that allow greater clarity in understanding how the Byzantines structured the world around them. In other words, one should understand what criteria of identities and differences the Byzantines used when constructing their ethnic taxonomies.

Of decisive importance was the very basic logic of the Byzantine method of systematizing and classifying objects, which can be best illustrated by the example of elementary Aristotelian logic. In terms of its principles, the scientific method of the Byzantines differs little from the modern one - both of them date back to Aristotelian epistemology, which dominated the space of traditional science until the 19th century. The key to understanding Byzantine taxonomy are two related pairs of categories, developed in detail by Aristotle and perceived by ancient and Byzantine science as fundamental ideas: firstly, this is the general and the singular, and secondly, the genus and species. The individual is perceived sensually and is present "somewhere" and "now". The general is that which exists in any place and at any time (“everywhere” and “always”), manifesting itself under certain conditions in the individual, through which it is known 11. The general is comprehended by the mind, and it is precisely this that is the subject of science. The particular variety of objects, united by the commonality of their properties and features, is reduced to conditional, "general" generic categories. According to Aristotle's definition, "genus is that which is expressed in the essence of many and different in appearance [things]" 12 . Porfiry formulates even more clearly: “... the genus is that which is said about many and different in appearance things, while indicating the essence of these things, and at the same time we designate the species as that which is subordinate to the genus explained above ...” 13.

In other words, generic categories are universal models and ideal types, which in the classification unite real singularities (“many and different in appearance things”) that have certain common features.

According to the descriptive models of the Aristotelian topic, “What the genus does not contain does not contain the species. However, it is not necessary that what a species does not contain should not contain a genus. But since what a genus says is necessarily said by one of its species, and since everything that has a genus, or is denoted [by a word] derived from this genus, necessarily has one of its species or is denoted [ word] derived from one of its species” 14 . Species are united into genera only in terms of their own properties, and genera, therefore, can unite very dissimilar species units, which, however, have certain common essential features.

Ideally, generic categories are designed to cover not only known “single” objects, but also newly discovered ones. In this sense, the Byzantine method is identical to the modern one; both of them are turned to the future - to the development of the unknown through similarity and analogy. The Byzantine taxonomic hierarchy was substantively and methodologically inherited from antiquity, classifying and systematizing not only known, but also new, discovered objects.

Here are some examples from historiography. Zosimus in the 5th century, defining the Huns, brings them under the classification (generic) model of the Scythians, while clearly realizing that this people is new and not identical to the ancient Scythians: “a certain barbarian tribe rose up against the Scythian peoples who lived on the other side of Istra, which before it was not known and then suddenly appeared - they were called the Huns, they should be called either the royal Scythians, a snub-nosed and weak people, as Herodotus spoke of them, living in Istra, or those [Scythians] who moved from Asia to Europe ... ." fifteen . In other words, the author does not at all think that the Huns are identical in everything with the Scythians of Herodotus; in his classification, the Huns are one of the varieties of the ideal generic concept of "Scythians", similar to some types of ancient Scythians.

This method of Byzantine intellectuals, who were looking for the key to explaining the modern world through the establishment similarities and analogies(compare with