table of contents / sommaire

Transcription

Ministerul Educaţiei, Cercetării, Tineretului şi Sportului
UNIVERSITATEA CREŞTINĂ
„DIMITRIE CANTEMIR”
Acreditată prin Legea nr. 238/23.04.2002
ANALELE
Universităţii Creştine
„Dimitrie Cantemir”
Seria ISTORIE – Serie nouă
Bucureşti
2010
ANALELE UNIVERSITĂŢII CREŞTINE
Revistă a Facultăţii de Istorie a Universităţii Creştine „Dimitrie Cantemir”
cu apariţie trimestrială (online, CD-ROM şi print)
Anul 1 ● Nr. 4 ● Decembrie 2010
COLEGIUL DE COORDONARE:
Prof. univ. dr. MOMCILO LUBURICI, Preşedintele Fondator al Universităţii Creştine „Dimitrie Cantemir”
● Prof. univ. dr. CORINA ADRIANA DUMITRESCU, Rectorul Universităţii Creştine „Dimitrie Cantemir”
● Prof. univ. dr. CRISTIANA CRISTUREANU, Prorectorul Universităţii Creştine „Dimitrie Cantemir” ● Prof. univ.
dr. IOAN CHIPER, Facultatea de Istorie a Universităţii Creştine „Dimitrie Cantemir” ● Prof. univ. dr. ŞTEFAN
OLTEANU, Facultatea de Istorie a Universităţii Creştine „Dimitrie Cantemir”
CONSILIUL ŞTIINŢIFIC:
Prof. univ. dr. CONSTANTIN HLIHOR, Decanul Facultăţii de Istorie a Universităţii Creştine „Dimitrie Cantemir” (responsabil)
ROMÂNIA: ● Prof. univ. dr. ION ALEXANDRESCU, Facultatea de Istorie a Universităţii Creştine „Dimitrie Cantemir”
● Cercetător ştiinţific gr. I dr. DANIELA BUŞĂ, Institutul de Istorie „Nicolae Iorga”, Bucureşti ● Prof. univ. dr. CONSTANTIN
BUŞE, Universitatea din Bucureşti ● Cercetător ştiinţific gr. I dr. ILEANA CĂZAN, Institutul de Istorie „Nicolae Iorga”,
Bucureşti ● Prof. univ. dr. MARIN CÂRCIUMARU, Universitatea „Valahia”, Directorul Şcolii Doctorale, Târgovişte
● Dr. VASILE CHIRICA, Institutul de Arheologie al Academiei Române, Filiala Iaşi ● Cercetător ştiinţific gr. I dr. VENIAMIN
CIOBANU, Institutul de Istorie „A. D. Xenopol” al Academiei Române, Filiala Iaşi ● Prof. dr. RADU CIUCEANU, directorul
Institutului Naţional pentru Studiul Totalitarismului al Academiei Române, Bucureşti ● Prof. univ. dr. MARIAN COJOC,
Universitatea „Ovidius”, Constanţa ● Prof. univ. dr. SORIN LIVIU DAMEAN, Universitatea din Craiova ● Prof. univ. dr.
SABIN ADRIAN LUCA, Universitatea „Lucian Blaga”, Director General al Muzeului Naţional Brukenthal, Sibiu ● Prof. univ.
dr. MIHAI MAXIM, Directorul Institutului Cultural „Dimitrie Cantemir”, Ministerul Afacerilor Externe, Istanbul ● Conf. univ.
dr. GAVRIIL PREDA, Directorul Centrului de Cercetare al Facultăţii de Istorie a Universităţii Creştine „Dimitrie Cantemir”
● Prof. univ. dr. IOAN SCURTU, preşedintele Secţiei de Ştiinţe Istorice şi Arheologie a Academiei Oamenilor de Ştiinţă din
România; preşedintele Societăţii de Ştiinţe Istorice din România ● Acad. Victor SPINEI, Directorul Institutului de Arheologie al
Academiei Române, Filiala Iaşi ● Prof. univ. dr. CĂTĂLIN TURLIUC, cercetător ştiinţific gr. I, Institutul de Istorie „A. D.
Xenopol” al Academiei Române, Filiala Iaşi ● Prof. univ. dr. PETRE ŢURLEA, Facultatea de Istorie a Universităţii Creştine
„Dimitrie Cantemir” STRĂINĂTATE: ● VLADIMIR ARTAMONOV, PhD, Institute of the Russian History, Russian
Academy of Sciences, Moscow, Russia ● Cercetător ştiinţific VALENTIN CONSTANTINOV, Institutul de Istorie, Stat şi Drept
al A.Ş.M., Chişinău, Republica Moldova ● Acad. ANDREI EŞANU, membru titular al Academiei de Ştiinţe a Republicii
Moldova, cercetător ştiinţific dr. la Institutul de Istorie, Stat şi Drept al A.Ş.M., Chişinău ● Cercetător ştiinţific dr. VALENTINA
EŞANU, Institutul de Istorie, Stat şi Drept al A.Ş.M., Chişinău, Republica Moldova ● ALBINA GIRFANOVA, PhD, SaintPetersburg State University, Saint-Petersburg, Russia ● CEZMI KARASU, Professor PhD, Eskişehir Osmangazi University,
Department of History, Eskişehir, Turkey ● PETER KOPECKÝ, Associate Professor PhD, The “Konstantin Philosopher”
University, Faculty of Philosophy, Nitra, Slovakia; Ambassador of Slovakia to Romania, 1997-2002 ● Prof. univ. dr. MARCEL
OTTE, Université de Liège, Faculté de Philosophie et Lettres, Service de Préhistoire, Centre Interfacultaire de Recherches
Archéologiques, Liège, Belgique ● ZEYNEP SŐZEN, Professor PhD, Istanbul Technical University, Istanbul, Turkey
● NIKOLAY SUKHACEV, PhD, Institute of Linguistics, Russian Academy of Sciences, Saint-Petersburg, Russia
COLEGIUL DE REDACŢIE:
Lect. univ. dr. CORNELIU BELDIMAN (redactor-şef) ● Conf. univ. dr. GABRIEL LEAHU ● Lect. univ. dr.
CAMELIA BRÎNCOVEANU ● Lect. univ. dr. LILIANA TROFIN ● Lect. univ. dr. DANIEL MAZILU ● Lect. drd.
RADU URLOIU (membri)
Adresa redacţiei:
Universitatea Creştină „Dimitrie Cantemir”, Facultatea de Istorie,
Splaiul Unirii nr. 176, Sector 4, 040042 Bucureşti 53 România
Telefon 021-330.92.30; 021-330.79.11/141
www.ucdc.ro; http://istorie.ucdc.ro/revista.istorie.ucdc.html; E-mail: [email protected]
ISSN 2068 – 3766 (online); ISSN 2068 – 3758 (CD-ROM); ISSN 1584 – 3343 (print)
Ministerul Educaţiei, Cercetării, Tineretului şi Sportului
UNIVERSITATEA CREŞTINĂ
Facultatea de Istorie
ANALELE
Universităţii Creştine
„Dimitrie Cantemir”
Anul 1 ● Nr. 4 ● Decembrie 2010
Bucureşti
2010
Analele Universităţii Creştine „Dimitrie Cantemir”, Seria Istorie – Serie nouă este o revistă
ştiinţifică a Facultăţii de Istorie a Universităţii Creştine „Dimitrie Cantemir”, care continuă seria
publicată (nr. 1-6), exclusiv în format tipărit şi în tiraj limitat, în perioada 1997-2005. Ea are apariţie
trimestrială (martie, iunie, septembrie, decembrie) în trei formate distincte cu sumar identic: online,
CD-ROM şi print; reuneşte, în cadrul unor rubrici permanente şi ocazionale, în funcţie de
constituirea sumarului fiecărui număr, studii şi articole pe teme legate de: toate epocile istoriei
naţionale şi universale; arheologie; ştiinţele auxiliare ale istoriei; activitatea lui Dimitrie Cantemir şi
opera cantemiriană; documente diverse relative la toate epocile istorice; metodologia predării
istoriei; note şi discuţii; recenzii şi prezentări; viaţa ştiinţifică etc., în scopul de a oferi cadrelor
didactice, cercetătorilor, doctoranzilor, masteranzilor, studenţilor, tuturor celor interesaţi de
problematica istoriei şi a domeniilor conexe date actuale, analize, sinteze, comentarii, puncte de
vedere etc., într-un cadru generos de dezbatere ştiinţifică.
Responsabilitatea privind conţinutul articolelor şi studiilor revine în totalitate autorilor, în
conformitate cu prevederile Legii nr. 206 din 27.05.2004 referitoare la buna conduită în cercetarea
ştiinţifică. Autorii îşi asumă, de asemenea, responsabilitatea exclusivă pentru acurateţea rezumatelor
în limbă străină.
© 2010. Toate drepturile sunt rezervate autorilor.
Orice corespondenţă referitoare la această publicaţie rugăm a se trimite la următoarea adresă:
Universitatea Creştină „Dimitrie Cantemir”, Facultatea de Istorie, Revista AUCDCI, Splaiul Unirii
Nr. 176, Sector 4, 040042 Bucureşti 53, România
E-mail: [email protected]
The Annals of “Dimitrie Cantemir” Christian University, History Series, New Series is the
scientific review of the Faculty of History of “Dimitrie Cantemir” Christian University which
continues, in a new format, the ancient series (6 issues, 1997-2005) that were exclusively printed in
a limited edition. The review appears four times a year (March, June, September, December) in
three identical versions (printed, online and on CD-ROM). The main aim of the review is to offer a
generous and actual frame for scientific debate of data, synthesis, analysis, comments etc. for
professors of all ranks in universities and colleges, researchers, PhD students, students
(undergraduate and postgraduate), and to all those interested by the complex problematic of
historical sciences. The review contains several sections and publishes articles, studies, notes and
discussions in Romanian and main international languages. The themes are related to: all epochs
regarding Romanian and universal history; Prehistory and archaeology; auxiliary historical
disciplines; scientific activity and works of the savant Dimitrie Cantemir, the prince of Moldavia;
documents concerning all historical epochs; methodology of teaching history; book reviews; events
of scientific life in Romania and abroad etc.
The entire responsibility for the specialized information of the articles’ content and for the
translation is to be assumed by the authors.
© 2010. All rights reserved to the authors.
Please send any correspondence related to this review to the following address:
„Dimitrie Cantemir”, Christian University, Faculty of History, AUCDCI Review, Splaiul Unirii Nr.
176, Sector 4, 040042 Bucharest 53, Romania
E-mail: [email protected]
Tehnoredactare şi coperta: lect. univ. dr. CORNELIU BELDIMAN
Versiune online, versiune html CD-ROM şi webmaster: lect. univ. dr. DANIEL MAZILU
Tipar, multiplicare CD-ROM: Editura Pro Universitaria, Bucureşti
Analele Universităţii Creştine „Dimitrie Cantemir”, Bucureşti, Seria Istorie – Serie nouă, Anul 1, Nr. 4, 2010, p. 5-6
TABLE OF CONTENTS / SOMMAIRE
Cantemiriana
Zeynep SÖZEN ● The Vicious Circle: Cantemir’s friends and foes in Istanbul ......................
7-11
Альбинa Х. ГИРФАНОВA ● Дмитрий Кантемир и Российскоe Востоковедениe /
Al’bina H. GIRFANOVA ● The contribution of Dimitrie Cantemir to the apparition of
Oriental sciences in Russia .......................................................................................................
12-15
Влaдимиp А. АРТАМОНОВ ● Дмитрий Кантемир и Русское Наступление в
Причерноморье в 1711 г. / Vladimir A. ARTAMONOV ● Dimitrie Cantemir and the Russian
War at Black Sea in 1711 ............................................................................................................
16-31
Articles, studies / Articles, études
Esteban ÁLVAREZ-FERNÁNDEZ ● Limpets & periwinkles in Cantabrian Spain between
22,000 and 15,000 Cal BC: Archaeomalacological remains at Altamira Cave .......................
32-51
Corneliu BELDIMAN, Diana-Maria SZTANCS ● Starčevo-Criş Culture in Romania:
Aspects of technology of skeletal materials ...............................................................................
52-75
Diana-Maria SZTANCS, Corneliu BELDIMAN ● Wietenberg Dentalium shell beads
discovered at Cerişor – Cave No. 1, Hunedoara County, Romania .......................................
76-89
Radu URLOIU ● The movements of Legio XV Apollinaris under Trajan and Hadrian ..........
90-107
Rada VARGA ● The military peregrini of Dacia: onomastical and statistical
considerations ...........................................................................................................................
108-116
Melinda-Leila MOLNÁR ● Viticulture in Roman Dacia .........................................................
117-127
Daniel MAZILU ● Quelques aspects de la «folie divine» dans la philosophie grecque .........
128-139
Tiberiu TĂNASE ● The activity of German Secret Services after World War I in Romania.
Exchange of information and SSI-Abwehr cooperation ............................................................
140-145
Camelia BRÎNCOVEANU ● French Governments of 1947 – Year of political crisis ............
146-152
Petre OPRIŞ ● The leaders of the Romanian Workers’ Party and the emigration of the
Jewish Community members from Romania (1955) .................................................................
153-159
Gabriel GROSU, Peter KOPECKÝ ● Nezávislosť Kosova a jej dôsledky pre Geopolitiku
Európy / Independence of Kosovo and its implications for Geopolitical of Europe ......................
160-172
5
Book reviews / Comptes-rendus, présentations
Diana-Maria Sztancs ● MΩMOΣ VI. Proceedings of the 6th meeting for the researchers of
Prehistory. Raw materials and trade, Kőszeg, 19-21 March, 2009, Editor: Gábor Ilon,
Published by Field Service for Cultural Heritage, Budapest and Vas County Museums’
Directorate, Szombathely, published at Szombathely, 2009, 453 p., black & white and color
figures; ISBN 978-963-9827-06-6; ISSN 0133-8080 ..............................................................
173-179
Melinda-Leila MOLNÁR ● Andrew Dalby, Sally Grainger, The Classical Cookbook,
British Museum Press, 1996 ......................................................................................................
180-183
Abbreviations ............................................................................................................................
184-186
Instructions for the authors ........................................................................................................
187
6
THE VICIOUS CIRCLE:
CANTEMIR’S FRIENDS AND FOES IN ISTANBUL
Zeynep SÖZEN, Professor PhD∗
Abstract. The vicious circle: Cantemir’s friends and foes in Istanbul. The ties with the Ottoman dignitaries and the
diplomatic circles, though close, were weaker in comparison to the ties with the members of the inner circle of musicians. The
relationship between Cantemir and the dignitaries as well as the diplomats was based on multiple forms of interaction, such
as information sharing, intriguing, lobbying and clique formation. The ties with these latter groups were asymmetrical and
asymmetry was power-based. Within this relationship, it was Dimitrie Cantemir who was the less powerful, the more
dependent party. The relative proportions of the main text of Cantemir’s History and the annotations have been the subject of
some criticism. Yet, the annotations in Cantemir’s History of the Growth and Decay of the Ottoman Empire are valuable not
only because they provide historical anecdotes and details, but also because they provide insight into Cantemir’s ethical
perspectives, which exhibit a strict Greco-Roman attitude, reflecting his early education under Ieremia Cacavelas. Although
current thought sees relatively little role for friendship, the concept was a central and pressing concern in Dimitrie
Cantemir’s world as it was for the Greco-Romans.
Keywords: Antioch Cantemir, Constantin Brâncoveanu, Dimitrie Cantemir, Ieremia Cacavelas, Istanbul, Moldova,
Ottoman Empire.
Ex amico fit inimicus, hostis ex socio.
(A friend becomes an enemy, an ally becomes a foe).
Latin proverb
A vicious circle is defined as “a chain of events in which the response to one difficulty
creates a new problem that aggravates the original difficulty.” (http://www.
Merriam.webster.com/dictionary).
Dimitrie Cantemir, as he entered Istanbul at the young age of 15 as a hostage, found himself
in pretty much the same situation. He was trapped in a vicious circle of potential friends and foes,
circles with ambiguous boundaries. The situation in Istanbul precisely reflected the following
description by Philo of Alexandria: “It is a very admirable saying of the ancients that in joining
friendship we should not ignore the possibility of enmity and conduct our quarrels with future
friendship in view.” (Sampley, 2003, p. 325).
This was what Dimitrie Cantemir would exercise to learn or learn to exercise throughout his
sojourn in Istanbul. Friendship and foeship both assume “equality” in status. Although Cantemir’s
power must have changed over time, he probably never became an equal partner in his
relationships, except, perhaps within the circle of musicians.
On the other hand, Dimitrie was an ambitious individual with a high need for power and achievement.
His ambition would certainly increase as he moved up the hierarchy. But could he move up the hierarchy? This
was the main problem, because Dimitrie remained an unequal partner to most of his contacts.
Cantemir occupied four different statuses during his intermittent stays in Istanbul, that of the hostage,
that of the deposed prince, that of the kapıkethüdası and that of the voivode, which was quite a short period.
∗
Istanbul Technical University, Istanbul, Turkey; [email protected].
7
The Hostage
This was the first stage of Dimitrie Cantemir's stay in Istanbul, with the status of a
“hostage”, which was his weakest position. This stage must have been one of “perception” and
“learning”. The first thing he perceived must have been his own vulnerability. The circles he was
about to enter had a tradition of intrigues, one of which he would have to cope with soon after his
arrival. A short time after his arrival, rumours were spread around the Porte by Constantin
Brâncoveanu that Dimitrie was not the real son of Constantin Cantemir. Dimitrie Cantemir was
summoned to the presence of the Grand Vizier to prove his identity. This must have been a severe
first blow and an unforgettable lesson about hostility for a young boy, although Cantemir seems to
have passed this test successfully, due to his speaking and convincing skills. This was also the stage
of his introduction into a circle of potential friends and enemies. Cantemir perceived the influence
of the foes that were not present physically: he refers to Brâncoveanu's intrigues against himself
several times and gossips of Brâncoveanu family's bank accounts in Vienna, Venice, Netherlands
and England. Istoria Ieroglifică is a novel describing the mortal feud between the Cantemir and the
Brâncoveanu families.
The Deposed Prince (Mazul)
Deposed princes were not allowed to reside in the “city”. This spatial restriction also implied social
restrictions. On the other hand, the deposed prince was always hoping and working for restoration to power.
This is the period when Cantemir purchased a mansion on the Bosphorus from Yusuf Efendi
in Ortaköy on the Bosphorus. The relatively withdrawn life of the deposed prince must have
permitted an intense intellectual activity, the cumulative output of which was four books arriving
one after the other within the following years, Divanul and The Book on Music.
The Divan or the argument of wise with the world or the judgment of the heart with the body
was a philosophical piece, was published in Iaşi in 1698. The treatise known as The Book on Music
is entitled Kitab-i ilmü'l musiki alâ vechi'l hurufat and known shortly as Kantemiroglu Edvarı was
composed in 1700. Sacrosanctae scientiae indepingibilis imago (“The Image of the Sacred
Undepictable Science”), an unfinished treatise, is known to have been written in 1700 and
Compendiolum universae logices institutions (“A Manual of Logics”), in 1701.
The intense intellectual activity of this period was probably accompanied by an intense effort for
alliance formation and developing partnering strategies, as Cantemir entertained guests in his Ortaköy mansion.
The Representative at the Porte
In 1695-1700, during the reign of his brother Antioch, Dimitrie Cantemir served as
kapıkethüdası at the Porte. The privileges bestowed upon the position are not entirely clear.
However, according to Cantemir, representatives were authorized to deliver the tribute and to
receive the receipt thereof (Maxim, 1999, pp. 136-137). This authorization would allow regular
(and irregular) receptions at the Porte. Cantemir's introduction to the diplomatic circles and the
establishment of closer ties with government officials and Tatar Khans in Istanbul might date to the
period in which he acted as kapıkethüdası to his brother Antioch.
Yet, it is probably safe to assume that as a representative, Cantemir would be exposed to foreign
ambassadors, their conspiracies and stratagems, which would eventually render him more vulnerable,
although his power would have increased due to his elevated status as a state representative.
8
Cantemır’s Circles in Istanbul
Re-reading Cantemir’s History of the Growth and Decay of the Ottoman Empire from his
own perspective of friends and foes, we can trace the visible marks of the Greco-Roman views of
the subject. First of all the concept of friendship assumes reciprocity. The second element was
common vision. A third was frankness of speech. A fourth was loyalty.
The problem faced by Dimitrie Cantemir was that of selecting competent partners and structuring
appropriate alliances. In general, however, these types of alliances are plagued with uncertainty.
On the other hand, the Ottoman society was collectivistic. Collectivistic cultures rely mainly on
hierarchical relationships and asymmetrical power relationships. It was more likely, therefore, that
reciprocal obligations would not exist, as Dimitrie Cantemir neither possessed power nor wealth.
The Inner Circle: Musicians
The circle that satisfied the Greco-Roman requirements of friendship was what we can designate
as Cantemir’s inner circle of musicians and musician teacher/pupils. Among these were Kemani
Ahmed, Angeliki, Davul İsmail Efendi. It is interesting to note that Dimitrie Cantemir does not enter
into lengthy annotations and refrains from sharp remarks about this group, probably because they did
not pose potential future threats. Nor did they possess the potential to evolve into future enemies.
The element of reciprocity within this group was not based on social status, but on musical
ability. The ties within the inner circle were symmetrical, strong and characterized by
confidentiality, complementarity, and exchange of advice, mutual trust and loyalty: Cantemir wrote
his Treatise on music upon encouragement by Crimean Khan’s chamberlain Davul İsmail Efendi
and his assistant treasurer Latif Çelebi. Later, Davul İsmail Efendi would persuade the Crimean
Khan Devlet Giray to support Cantemir’s candidacy for the Moldavian throne.
The Ottoman Dignitaries
Within the circle of Ottoman dignitaries, however, the relationships were asymmetrical. And
asymmetry originated from the strength of the parties to the relationship, in terms of social status,
hierarchy and wealth. Yet, Dimitrie Cantemir had to rely on close ties with this circle for survival,
support and critical information. His relationships with this group were a commingling of the
personal and the political. Among the members of this circle were Çerkez Mehmet Paşa, Firari
Hasan Paşa, Aynacı Süleyman Paşa, İbrahim Hanoğlu, Baltacı Mehmed Paşa, Grand Vizier
Daltaban Mustafa Paşa, Arabacı Ali Paşa and Bostancı Mustafa Paşa.
Some of these ties had already been established by his father, Constantin Cantemir. This was the
case with Çerkez Mehmet Paşa, Aynacı Süleyman Paşa, Bostancı Mustafa Paşa (“Kuşçu”) and Arabacı
Ali Paşa. Over time, these developed into strong ties. Firari Hasan Paşa was close enough to warn
Cantemir in time to take refuge in Ferriol’s house when Constantin Brâncoveanu obtained an order for
his exile, while another acquaintance, Çorlulu Ali Paşa allowed him to complete his Phanar residence.
Cantemir’s proximity to Ottoman dignitaries varied. He was probably closer to Çerkez Mehmet
Paşa, Daltaban Paşa and Firari Hasan Paşa than to Baltacı Mehmet Paşa and İbrahim Hanoğlu.
Cantemir expressed his admiration for a number of Ottoman Paşas and officials, e.g. Çerkez
Mehmed Paşa and Daltaban Paşa, who were both friendly and “heroic”, a trait Cantemir seems to
value highly. He spoke of Daltaban Paşa as the “bravest soldier the Ottoman Empire ever
produced”. Cantemir lamented the execution of Daltaban Paşa deeply, devoting an extremely long
annotation to him. The annotation describes the plots Rami Reis Efendi, Mavrocordato and the
Mufti devised together to trap Daltaban, who suspected their loyalty at the Karlowitz negotiations.
Cantemir describes the plot in detail, concluding that Daltaban Paşa was the most courageous
military and administrative officer the Ottoman Empire ever produced (Kantemir, V.II, p. 1003).
9
Among Ottoman dignitaries, Alexandre Mavrocordato, a Phanariot, the chief dragoman of the Porte
deserves special mention. Mavrocordato was Dimitrie Cantemir’s professor at the Greek academy. His
erudition and diplomatic skills were admired by Cantemir, yet he was called “The Master of Lies”, who
believed in the saying that telling a lie which does a good work is better than truth, which breeds confusion.
One can sense a comparison of Eastern and Western philosophies here, as according to
Cantemir, Mavrocordato borrowed this belief from Saadi of Shiraz:
“That untruth of his is more acceptable to me than this truth which thou hast spoken for that
inclined towards a good purpose and this to malevolence; and the sages have said. Well intentioned
falsehood is better than mischief-exciting truth” (Eastwick, 2000, p. 23).
Compare with Plutarch’s morals: “… there are occasions when a statesman may venture to
speak in his own praise, but when the time and matter demand that he should speak the truth about
himself, as he would about another…” (Plutarch, p. 362)
Cantemir’s perspective on truth seems more in line with what Foucault calls “Socratic
Parrhesia”: “But Socratic parrhesia differs from political parrhesia in a number of ways. It appears
in a personal relationship between two human beings and not in the parrhesiastes' relation to the
demos, or the king… Parrhesia as it appears in the field of philosophical activity in Greco-Roman
culture is not primarily a concept or theme, but a practice which tries to shape the specific relations
individuals have to themselves. And I think that our own moral subjectivity is rooted, at least in
part, in these practices.” (Foucault, Discourse and Truth, 4 The Practice of Parrhesia).
The Diplomats
The third circle was composed of the diplomats. In this group were the Dutch ambassador to
the Porte, Colyer, the French ambassadors Chateauneuf and Ferriol, and the Russian ambassador
Pyotr Tolstoy. The relationship between Dimitrie Cantemir and the diplomats was a precarious one
and Cantemir maintained close ties with careful forethought. Members of this group could easily
convert into enemies. For example, Cantemir cautiously observed that Colyer entertained Ottoman
officials freely at his house and by, plying them with wine learnt all their secrets. Yet maintenance
of a tie with Colyer was essential for the flow of information Cantemir always needed.
On the other hand, while Ferriol was “mentally deranged” as, Çorlulu Ali Paşa correctly
diagnosed at an early stage according to Cantemir, the ambassador still counted as a “constant
friend both in prosperity and adversity” after Cantemir took refuge at his house: “Pendant mon
séjour à Constantinople, mon ennemi Constantin Brancovan, dernier Prince de Valaquie, avait
gagné le Vizir et à forcé de présens avait obtenu mon banissement dans l'Isle de Chio. Mon bon ami
Firari Hasan (...), m'en avait donné avis assez à tems (...). Je me réfugiai dans l'hôtel de
l'Ambassadeur Feriole, qui me reçut avec toute la politesse possible. Le Vizir ayant appris que j'y
étais, envoya l'un de ses Agas à l'Ambassadeur, pour le prier de me remettre entre ses mains: “Je
n'ai point de Bogdanbegzade chez moi, & quand il y serait, je ne le rendrais pas; car je ne pourrais
me résoudre à tenir l'honneur du Roy mon maître par un crime si lâche.” Il fit une réponse encore
plus piquante au Capukiehaia du Prince même de Valaquie, qui vint de sa part avec une lettre adressée
à Feriole; dans laquelle Brancovan le prioit de ne point mettre à couvert son ennemi de sa juste
sentence du Vizir. “Je suis surpris, dit Feriole, de quel front Brancovan osa me demander une telle
chose: sachant, comme il n'en peut douter, que ma maison est celle du Roy de France mon maître, &
non pas la mienne. Qu'il sache que mon Roy a l'âme si compatissante pour les malheureux, surtout s'ils
sont Chrétiens...” (http://cantemir.posterous.com/vol. II, liv. IV, ch. IV, p. 288).
Within the text, Cantemir refers to the loyalty of his good friend Firari Hasan Paşa, who has
informed him in due time, whereas Brâncoveanu has “gained” the Vizier.
Cantemir’s aversion to “gainability” recurs throughout his History, as in his in interpretation
of his deposition by the Porte: he was unable to gather the required amount of peşkeş for the
approval of his nomination to the throne of Moldavia.
10
Conclusions
The ties with the Ottoman dignitaries and the diplomatic circles, though close, were weaker
in comparison to the ties with the members of the inner circle of musicians. The relationship
between Cantemir and the dignitaries as well as the diplomats was based on multiple forms of
interaction, such as information sharing, intriguing, lobbying and clique formation. The ties with
these latter groups were asymmetrical and asymmetry was power-based. Within this relationship, it
was Dimitrie Cantemir who was the less powerful, the more dependent party.
The relative proportions of the main text of Cantemir’s History and the annotations have been the
subject of some criticism (Bîrsan, 2004, p. 81). Yet, the annotations in Cantemir’s History of the Growth
and Decay of the Ottoman Empire are valuable not only because they provide historical anecdotes and
details, but also because they provide insight into Cantemir’s ethical perspectives, which exhibit a strict
Greco-Roman attitude, reflecting his early education under Ieremia Cacavelas.
Although current thought sees relatively little role for friendship, the concept was a central
and pressing concern in Dimitrie Cantemir’s world as it was for the Greco-Romans.
Bibliography
BÎRSAN 2004 – Bîrsan, Cristina, Dimitrie Cantemir and the Islamic World, The Isis Press,
Istanbul, 2004.
EASTWICK 2000 – Eastwick, Edward B., The Gulistan; or Rose-Garden of Shekh
Muslihu'D-Din Sadi Shiraz, 2000, Routledge.
FOUCAULT, Discourse and Truth, 4 The Practice of Parrhesia,
http://foucault.info/documents/parrhesia/foucault.DT4.praticeParrhesia.en.html.
online:
KANTEMIR, DIMITRI, Osmanlı İmparatorluğunun Yükseliş ve Çöküş Tarihi, Cumhuriyet
yayınları, Istanbul.
MAXIM 1999 – Maxim, Mihai, “New Turkish Documents Concerning Michael the Brave
and his Time”, L'Empire Ottomane au Nord du Danube, The Isis Press, Istanbul, 1999.
POPESCU-JUDETZ 1999 – Popescu-Judetz, Eugenia, Prince Dimitrie Cantemir, Pan, Istanbul, 1999.
SAMPLEY 2003 – Sampley, Paul J., ed., Paul in the Greco-Roman World: a Handbook,
Harrisburg, Trinity Press International, 2003.
http://cantemir.posterous.com/vol. II, liv. IV, ch. IV, p. 288.
11
ДМИТРИЙ КАНТЕМИР
И РОССИЙСКОE ВОСТОКОВЕДЕНИE
Альбинa Х. ГИРФАНОВА∗
Abstract. Dimitrie Cantemir and the development of Oriental Studies in Russia. After the defeat from Stănileşti in
Moldavia (1711), Dimitrie Cantemir continued to be in touch with scholars from Western Europe. Due to his merits, he
became a member of the Royal Academy of Berlin (July 11th 1714). At the request of this high academic forum,
Cantemir wrote many books some of which, about Oriental studies, made him famous among European scholars. His
most famous work is “History of the Growths and Decay of the Ottoman Empire”, written in 1714-1716, followed by an
introduction to Islam for Europeans. His work is considered of utmost importance for his expertise and groundbreaking
conclusions on the decline of the Ottoman Empire and Islam. He also directed the first printing house in Russia where
Arab characters had been used. He was also among the firsts to use Latin characters for the Turkish language.
Keywords: documents, history, Oriental studies, Ottoman, printing house, religion, tradition.
Тесные связи с различными тюркоязычными племенами, с которыми восточные славяне
сосуществовали еще задолго до образования Киевской Руси, оставили значительный след в их
языке и культуре. Как пишет Н. И. Веселовский «посольский церемониал у русских князей и
царей вплоть до Петра носил «татарский или – вернее – азиатский характер»1 Например, в
«Царственной книге» описывается прием в 1536 г. у шестилетнего великого князя Ивана
Василия Ш и его матери Елены Глинской, на котором присутствовала жена казанского хана
Шигалея Фатма-Салтан. Князь великий молвил царице: «Табугсалам» (< тюрк. табуг «поклон»
+ араб. салам «привет») и с нею карашевался»2. Глагол карашеваться – от тюркского глагола
караш- «глядеть друг на друга» обозначал часть ритуала при встрече высоких особ3.
В конце IX, начале X вв. складывается Киевское государство, возрастают его
экономические контакты. Русские купцы в конце IX в. были хорошо известны не только на
берегах Каспийского моря, но даже в Багдаде. Арабский историк Ибн Хаукаль в 969 г. писал
о печенегах как союзниках Руси.4 В X в. устанавливаются тесные связи руссов с волжскими
булгарами. В XI в. на Руси отмечены тюркоязычные поселения, в 1097 г. упоминаются
поселения торков, берендеев и печенегов.
Начало систематическому собиранию лингвистического материала по тюркским и
иным восточным языкам было положено в конце XVII в. Первые образцы восточных языков
приводятся в книге «Северная и Восточная Тартария», которую написал голландец НиколасКорнелиссон Витзен (1641-1717), проживший несколько лет в Москве в составе
голландского посольства и собравший там необходимый материал.5 Датой рождения
русского востоковедения, по мнению, академика А.Н. Кононова, следует считать 18 июня
1700 г., когда был издан указ Петра I, о направлении в Сибирь людей для изучения
∗
Professor PhD, Saint-Petersburg State University, Saint-Petersburg, Russia; [email protected].
Н. И. Веселовский. Татарское влияние на русский посольский церемониал в Московский период русской
истории. СПб., 1911, стр. 1.
2
Полное собрание Русских летописей. т. XV, стр. 426.
3
А. Н. Кононов. История изучения тюркских языков в России. Л., 1972. стр. 9.
4
В. Т. Пашуто. Внешняя политика Древней Руси. М., 1968, стр. 108.
5
В. В. Бартольд. История изучения Востока в Европе и России. Л., 1925.
1
12
китайского и мунгальского (т.е. монгольского) языков. Это была одна из первых инициатив,
положивших начало профессиональной подготовке специалистов-востоковедов.6
Петр I сознавал, что будущее России в силу ее географического положения
неразрывно связано с Востоком и его изучением. В связи с Прутским походом в 1711 г.
обнаружилась необходимость в подготовке лиц, знающих турецкий, персидский, арабский
языки, их нравы и обычаи. В 1716 г. по распоряжению Петра I был издан первый полный
перевод Корана. Советником Петра по турецким делам был Дмитрий Кантемир (1673-1723),
происходивший, по неподтвержденному преданию, из старинного татарского рода,
восходящего к Тамерлану7. Как известно Дмитрий Кантемир провел 22 года в
Константинополе в качестве заложника (1688-1710),8 где получил прекрасное образование,
изучив, помимо греческого и латыни, турецкий, арабский и персидский языки.
Почти сразу же после своей интронации на молдавский престол в 1710 г. Кантемир
вступает в переговоры с Петром I, заявив о готовности оказать помощь русским войскам.
После неудачного Прутского похода Петра Кантемир с 4000 молдаван переходит на
русскую службу. День 29 июня (10 июля) 1711 г., когда Дмитрий Кантемир дал клятву на
верность России, по мнению некоторых исследователей, можно считать датой начала
российского востоковедения,9 так как в России появился первый ученый, принесший
международное признание российской науке.
Порта, разгневанная изменой Кантемира, требовала от Петра I его выдачи. Но Петр
ответил, что Кантемира в его лагере нет, а приближенным сказал: «Я лучше уступлю туркам
всю землю, простирающуюся до Курска, нежели выдам князя, пожертвовавшим для меня
всем своим достоянием».10
Благодаря связям с приглашенными в Россию немецкими учеными имя Д. Кантемира
становится известным в Западной Европе. В Июле 1714 г. он был избран членом Прусской
академии. Некоторые исследователи полагают, что он стал академиком по рекомендации
Лейбница. Кантемир содействовал также образованию Петербургской АН. Мысль о
создании Академии наук высказывалась Петром еще в конце XVII в. Но Северная война
(1700-1721) потребовала громадных средств и отодвинула время реализации этой идеи.
Известно, что в качестве одного из вероятных кандидатов на пост президента будущей
Императорской академии наук рассматривался Дмитрий Кантемир. В России Кантемир
написал свои наиболее значительные труды.
Осенью 1716 г. Д. Кантемир закончил свой труд «История возвышения и упадка
Османского двора»11, написанный на латыни – это первое систематическое изложение
политического и военного положения Османской империи, которое было переведено на
английский (1734-1735), затем с английского на французский (1743), немецкий (1745),
румынский языки (1872), турецкий (1979), обеспечив автору мировое признание.
«История...» Кантемира превзошла сочинения его предшественников (Richard Knolles «The
General History of the Turkes» (1603) и Paul Rycaut «The present State of the Ottoman Empire»
(1668). Как это ни странно, до сих пор эта работа не издана на русском.12
В 1719 г. Петр I распорядился о переводе «Истории» с латинского языка на русский,
что и было исполнено в том же году, но по неизвестным причинам не был издан, несмотря на
то, что Г.-З. Байер подготовил работу к публикации.13
Сочинение Кантемира охватывает период с 1300 по 1711 г., т.е. от основания
Османской империи султаном Османом (1299/1300-1324) и вплоть до начала XVIII в. В 1828
6
А. Н. Кононов. Там же, cтр. 25.
М. И. Радовский. Антиох Кантемир и Петербургская Академия наук. М.-Л., 1959, стр. 3.
8
M. Guboglu. Dimitrie Cantemir – orientaliste. Studia et Acta Orientalia, Bucarest, 1960-1961, III, стр. 130-131.
9
П. В. Густерин. Первый Российский востоковед Дмитрий Кантемир. М., 2008, стр. 21.
10
Д. Полевой. История Петра Великого. Ч. 3. СПб., 1843, стр. 183.
11
Рукопись хранится в ИВР РАНе (С-Петербург), Ф. 25. оп. 1, ед. хр. 1-6.
12
П. В. Густерин. Там же, стр. 34.
13
Г. Н. Моисеева. Судьба рукописного наследия Дмитрия Кантемира // Наследие Дмитрия Кантемира и
современность. Кишинев, 1976, стр. 131-132.
7
13
г. в Москве был опубликован перевод с немецкого языка книги неизвестного автора по
истории Турции под названием «История Турецкого государства от самого основания оного
до новейших времен». Книга представляет собой компиляцию сочинений трех авторов. Кроме
«Истории» Кантемира, составитель использовал сочинение И-.М. д. Оссона “Tableau general de
l’Empire Ottoman” (Vol I-III, P., 1788-1790) и сочинение И.-Г. Галлетти “Geshchichte des
türkischen Reichs” (Gotha, 1801). Целое столетие, вплоть до выхода в свет в 1835 г. 10-томной
«Истории Османской империи» Й. Гаммера, «История...» Кантемира была наиболее читаемым
трудом по истории Турции. Вольтер называл эту работу своей настольной книгой по востоку.
Румынский исследователь Скарлат Каллимаки отмечает, что Кантемир – не хронист, а
историк, не только потому, что дает свою собственную оценку фактам, но благодаря
историко-критическому методу извлечения истины из материала источников. Он сличал
источники и изучал их критически. Кантемир сделал прозорливый вывод о гибели
Османской империи, при этом он не отождествлял турецкое государство и турецкий народ.
Он с теплотой описывает турецкие обычаи, характер, язык и т.п.
В 1720 г. Кантемир написал на латинском языке другой труд «Система религии и
состояние Турецкой империи», переведенный на русский язык И.Ю. Ильинским, давшим
ему название «Книга система, или состояние мухаммеданския религия. Печатается
повелением Его Величества Петра Великого. СПб., 1722)». «Книга Систима...» основана на
мусульманских источниках по истории ислама, отражая «курановы законы» (по выражению
Д. Кантемира), повседневные мусульманские обычаи, обряды, основные секты в исламе
(дервиши, бекташи, мевлеви и др.), мистические учения и т.п. Заслуга Кантемира в том, что
он не только собрал все, что ему было известно об исламе, но и посвятил отдельные главы
анализу языка Корана. В одной этой работе Кантемир выступает как исламовед, в том числе
корановед, суфиолог, арабист, иранист и тюрколог.
К сожалению, до нас не дошло еще одно сочинение Кантемира «История
магометанская со времен ложнаго пророка Магомета до перваго императора Турецкаго»,
известное также под названием «История магометан» – ее рукопись пропала при
кораблекрушении на Каспийском море во время Персидского похода, предпринятого Петром
I в 1722 г. Поводом к началу кампании послужило восстание мятежников в приморских
провинциях Персии. Пётр I объявил персидскому шаху о том, что повстанцы совершают
вылазки на территорию Российской империи и грабят купцов, и что русские войска будут
введены на территорию Северного Азербайджана и Дагестана для оказания помощи шаху в
усмирении жителей мятежных провинций. Собираясь в поход, Петр предусмотрел издание
прокламаций на языке местного населения. Князю Дмитрию Кантемиру была поручена
организация походной типографии. Ему же было поручено сделать пунсоны (формы для
отливки литер, шрифтов) для изготовления арабских литер. В поход были выделены один
типографский стан, пунсонный мастер, наборщик и пять мастеровых. Тогда арабских литер в
типографиях России еще не было. Они были сделаны самим Д. Кантемиром, по его же
рисункам.14 По указанию Петра Кантемиром также был написан «Манифест», напечатанный
в 1000 экземплярах на татарском языке 15 июля 1722 г. по прибытии в Астрахань.
Вообще книгопечатание арабским шрифтом путем набора в восточных странах
возникает сравнительно поздно. так, например, в Египте и Иране оно появилось только в
начале XIX в.15 Хотя книгопечатание передвижными литерами было известно уйгурам в XIV
в. Одной из причин позднего возникновения книгопечатания передвижными литерами на
Востоке является широкое распространение там книгопечатания путем ксилографии. В 1797
г. А. Зенефельдер (1771-1834) изобрел литографию – способ плоского печатания, которое
заменило трудоемкий способ ксилографии и вытеснило ее.
14
15
В. Пятницкий, стр. 133, А. Х. Рафиков, стр. 298.
А. Г. Каримуллин. У истоков татарской книги. Казань, 1992, cтр. 63.
14
Целью издания «Манифеста»16 было оповещение о причинах похода. В нем
указывалось, что местному населению нечего бояться и предлагалось не помогать врагу.
Петр называет себя другом персидского шаха, а причину похода объясняет тем, что он
пришел помочь шаху избавиться от воров и бандитов, которые орудуют в его стране.
Манифест был роздан населению северного Прикаспия и Кавказа – татарам, ногайцам,
азербайджанцам, дагестанцам, балкарам и другим народам.
Начало книгопечатания арабским шрифтом в России, таким образом, было связано с
именем Д. Кантемира. Он был автором первого арабского шрифта, организатором и
директором первой «турецкой типографии», как ее поименовали. Существует мнение, что
Кантемир принимал участие и в переводе «Манифеста» на татарский язык, а также в наборе
текста. О том, что Кантемир был тонким знатоком техники арабской каллиграфии,
свидетельствует сделанная им тугра – заглавие печатного «Манифеста». Составленное из
имени и титулов Петра I, оно сделано по образцу восточных дипломатических документов
Турецкой империи и отличается изяществом и красотой вязи письма. Рисунок арабского
шрифта Д. Кантемира близок к западноевропейским литерам арабских шрифтов его времени.
Кроме того им были введены специальные знаки, отсутствующие как в персидском, так и
арабском шрифтах, для обозначения звуков свойственных тюркским языкам (напр. для ң
заднеязычного или для ə). Таким образом «Манифест» является первым печатным изданием
в России с применением передвижного арабского шрифта. Одновременно это первое
татарское наборное печатное издание: он написан на татарском языке высоким стилем,
который изобилует арабскими и персидскими словами. Один из экземпляров этого труда
хранится ныне в ИВР РАНе (Санкт-Петербург).
Отпечатанный «Манифест» представляет собой брошюру из 4 страниц. Брошюра не
имеет ни обложки, ни титульного листа, ни заглавия. Текст начинается с тугры, которая
сделана в виде заставки. В конце приводятся выходные данные также на татарском языке.
Почти все историки указывают, что «Манифест» был напечатан не только на татарском, но и
на турецком и персидском языке, но до сих пор подобные экземпляры не обнаружены.
Известно лишь, что несмотря на подготовку новой военной кампании, походная
типография Петра была ликвидирована. Все ее оборудование (в том числе шрифты) было
оставлено в Астрахани из-за тяжести перевозки, а мастера вернулись в Москву.
Впоследствии книги арабской печати снова появляются в России только в 70-х гг. XVIII в.
Для Кантемира Персидский поход был скорее научной экспедицией, нежели военным
предприятием. В Дербенте его внимание привлекла древняя крепость. Он подробно
рассмотрел ее, измерил, срисовал арабские надписи. В Дербенте Кантемир посетил могилу
Коркута, оставил ее описание и краткие сведения о Коркуте. Эти записи являются первой
информацией на русском языке о дербентском старце, которого многие тюркоязычные
народы Средней Азии и Кавказа почитают как святого.
В завершение можно также упомянуть, что Кантемир одним из первых использовал
применительно к турецкому языку латинский алфавит: достаточно обратить внимание на
публикации латинского текста его «Описания Молдовы», где представлены не только отдельные
турецкие слова (обычно это административные и специальные термины), но целые фразы на
турецком языке, в частности, связанные с церомонией интронации господаря Молдовы.
16
Манифест, или Объявление. О вероломном разрыве мира султана турского Ахмета против его царского
величества. По указу его величества выдан 1711 году, февраля в 22 день. М., Синодальная тип., 1711, стр. 34.
15
ДМИТРИЙ КАНТЕМИР И РУССКОЕ НАСТУПЛЕНИЕ
В ПРИЧЕРНОМОРЬЕ В 1711 Г.
Влaдимиp А. АРТАМОНОВ∗
Abstract. Dimitrie Cantemir and Russian military campaign to the Black Sea (1711). At the beginning of the XVIIIth
century, the Russian expansion came close to the borders of Moldavia which was under Ottoman rule. Taking
advantage of the international context, Russia succeeded to make countries under Ottoman rule, many southern Slavic,
to switch sides. Many Moldavians also were pro-Russian, and numbers of them enlisted in the Russian Army, very eager
to be a part in the liberation of their country as promissed. Under this circumstances, Dimitrie Cantemir concluded an
anti-Ottoman alliance with Tsar Peter I. This turned later to be a failure as the Russian intelligence had not correctly
assessed the feasibility of a military military campaign in the Low-Danube region, the food supplies status in Moldavia
and the high vulnerability of the lines of communications if operations would have been conducted in this area. After
the defeat from Stănileşti, the Moldavian prince Dimitrie Cantemir went into exile in order to became a Russian prince
and the most brilliant scholar of the Russian elite.
Keywords: Russia, Moldavia, military, treaty, alliance, campaign, Stănileşti, Ottoman Empire, imperialism, peace.
Политический кругозор Петра Великого охватывал почти весь земной шар. Вслед за
великими державами мира – Великобританией, Францией, Нидерландами и Испанией он
стремился пробить для России выход через Балтику к Атлантике, через Каспий к Средней Азии
и Индии, через Тихий океан – к Японии, Китаю и Америке. В черноморской доктрине царь
предварил стратегию XVIII и XIX вв., начав наступление в сторону Азова, Кавказа, Крыма,
Балкан и пытаясь подключить к антиосманской борьбе Польшу, Венецию, Дубровник и Мальту.
В кампании 1711 г. главным стратегическим направлением стало балканское.
Боеспособность Русской армии была тогда ниже, чем при апогее военной мощи Романовской
династии в 1770-1814 гг., и тактика Пётра I как полководца, в отличие от П. А. Румянцева и
А. В. Суворова, отличалась предусмотрительностью и осторожностью.
Великая евразийско-африканская держава Османская империя в «период отката» из
Европы заботилась уже не столько о расширении своих владений, сколько об их удержании. По
большому счёту ни Турции, ни России, война была не нужна. Главное внимание России было
направлено на Балтику, а самые болезненные удары туркам в войне 1683-1699 г. нанесли Габсбурги,
отобрав Венгрию с Трансильванией а также Венеция, отторгнувшая Пелопонесс. На этом фоне
утрата Азова в 1696 г. казалась менее важной. В сентябре 1709 г. именно турецкая сторона
добивалась продления 30-летнего перемирия и даже заключения «вечного мира» с Россией.
С весны 1710 г. ситуация на юге изменилась. Необычайная энергия Карла XII, ставка
которого в 1709-1713 гг. оказалась под Бендерами и работа французской дипломатии заставили
поверить Порту в неудержимом экспансионизме России которая окончательно завладев
Польшей, продиктует мир ослабленной Швеции, введёт флот в Чёрное море и начнёт войну на
Балканах ради восстановления «Ориентального цесарства» (православной греко-византийской
империи). В Стамбуле стали опасаться, что от Балкан до Азова нависнут враждебные силы с
перспективой вмешательства в дела православных христиан. После долгих колебаний Стамбул
решил вмешаться в события в Восточной Европе и отбросить Россию от своих северных границ.
∗
PhD. Institute of the Russian History, Russian Academy of Sciences, Moscow, Russia; [email protected].
16
Султан-«западник» Ахмед III (1703-1730) объявил войну 9(20) ноября 1710 г. не в
кризисный для России 1708 год, а в период максимальных успехов русского оружия. Почти
сразу же, 23 ноября 1710 г. новым господарём Молдавии по предложению крымского хана
Девлет Гирея II (1699-1702; 1708-1713) был назначен Дмитрий Кантемир (1673-1723). Султан
выставил ультиматум – вернуть Азов и Таганрог, очистить от русских войск Речь Посполитую,
расторгнуть союз с польским королём Августом II, признать Станислава Лещинского;
отказаться от завоеваний в Прибалтике и отвести военно-морской флот к Воронежу.
Османская дипломатия не допустила образования антитурецкого фронта в
предстоящей войне, как это случилось в 1683-1699 гг. В апреле 1711 г. Вену оповестили о
выступлении армии султана против России и обещали не нарушать Карловицкий мир с
Австрией и Польшей. Молдавскому господарю Д. Кантемиру было предписано избегать
всего, что могло бы дать повод к войне с Речью Посполитой.
Событиям турецкой войны 1710-1713 гг. посвящено много исторических
исследований. Из недавних можно указать на труды плодотворно работающего молдавского
историка В. И. Цвиркуна, который в 2006 г. издал специальный сборник статей,
посвящённых Д. Кантемиру, И. Некулче и Прутской кампании 1711 г.1. Этот исследователь
основательно проработал российские архивы и в максимальной мере – румынскую,
турецкую и российскую истриографию. Московский историк Я. Е. Водарский (1928-2007)
посвятил Прутскому походу монографию и статью с опорой на «Письма и бумаги императора
Петра Великого», на донесения и записки бригадира Моро-де-Бразе, британского посла в
Стамбуле Р. Сэттона, французского путешественника Ла Мотрея и др.2 Подробно рассмотрена
кампания 1711 г. в обзорной книге Л. Е. Семёновой3. Архивы РГАДА и Петербургского
Института истории позволяют высветить некоторые новые детали к данной теме.
…Россия и Османская империя начали войну «без сердца». 6 января 1711 г. Петр I
предложил Ахмеду III остановить подготовку войны, обещая отвести русские войска от турецких
границ и содержать мир «без нарушения»4. 2 марта канцлер Г. И. Головкин указал послу в Гааге
А. А. Матвееву, чтобы Статы [Голландия], «своими средствы потрудилися ту войну прекратить»5.
В январе-феврале 1711 г. послы в Вене «аглинской и голанской… говорили [русскому послу
И. Х. Урбиху], что писали к ним министры их из Царяграда, якобы турок, хотя и зачал войну, против
Царскаго Величества, однакож в разкаяние приходит и хочет мир паки возобновить»6.
Тогда же Кантемир предложил царскому двору условия перехода Молдавии под
протекторат России7. Общей границы с Молдавией Россия не имела, их разделяла
Правобережная Украина, принадлежавшая Речи Посполитой. В конце февраля 1711 г.
русское правительство обратилось к мурзам и народу Крымской, Буджакской, Ногайской и
Кубанской орд перейти под протекторат России8. 7 мая Пётр предписал склонять
Буджакскую орду к подданству «угрозами, разорением и искоренением, також и
обнадёживанием милости»9. В случае их согласия русские владения через ногайские степи и
Буджак (который по проекту Кантемира должен быть включён в состав его княжества),
подошли бы к границам Молдавии. (Позже молдавский господарь распускал слух о большой
силе полтавских победителей, чтобы замедлить поход турок).
22 февраля в Москве объявили о вероломном разрыве мира султаном, но 28 февраля
было добавлено, что есть готовность с Портой «и ныне еще добродетельно согласитись и… в
1
Ţvircun V. Vitralii – Витражи. Chişinău. 2006.
Водарский Я. Е. Загадки Прутского похода Петра I. М., 2004; его же: Легенды Прутского похода Петра I (1711
г.) // Отечественная история. 2004. № 5. С. 3-26.
3
Семёнова Л. Е. Княжества Валахия и Молдавия. Конец XIV – начало XIX в. Очерки внешнеполитической
истории. М., 2006.
4
Письма и бумаги императора Петра Великого. М., 1962. Т. 11. Вып. 1. С. 24-25. (Далее ППВ).
5
ППВ. Т. 11. Вып. 1. С. 400.
6
Там же.
7
Цвиркун В. И. Дмитрий Кантемир. Краткое жизнеописание // Vitralii – Витражи. Chişinău. 2006. С. 171-172.
8
ППВ. Т. 11. Вып. 1. № 4282-4284.
9
Там же. № 4436.
2
17
приятстве жити», и как только от султана «доволное безопаство учинится», то царь будет
прилагать «всякие способы к приятному примирению»10.
Все мирные инициативы окончились ничем. 13 апреля 1711 г. в Луцке был заключён
русско-молдавский договор. Слухи о переходе Молдавии в русское подданство обеспокоили
короля Августа II, Габсбургов и Речь Посполитую. Молдавия со времён Средневековья была
притягательна для польской экспансии и польский Совет сенаторов на переговорах 26-27 мая
1711 г. в Ярославе выразил желание участвовать в дележе Османской империи. Но Молдавия
до Карпат вместе с Буджаком переходила под протекторат России и полякам ответили
туманно: если Речь Посполитая примет участие в войне против турок и если будет
возможность удержать завоёванное, то оно будет поделено поровну между партнёрами11.
Поляки настойчиво просили вынести «всё седалище войны» за пределы Речи Посполитой и с
удовлетворением приняли известие о русском наступлении в Молдавии.
Военный план России. Перед походом к Дунаю русские представители были посланы
за поддержкой в Англию, Ганновер, Францию и Голландию. В Вене собирались заключить
новый антитурецкий союз с императором, в Польше продолжались контакты с французским
послом Ж. К. Балюзом и вождём венгерской Освободительной войны Ференцем II Ракоци на
случай примирения со Стамбулом. Русский дипломат Маттео Каретта предлагал
мальтийским рыцарям дополнить их флот четырьмя кораблями на русские деньги и
совершить рейд к Эгейскому архипелагу12.
Никакой поддержки от Европы не получили и основная ставка была сделана на
балканские народы. Мессианский план освобождения христиан «Третьим Римом»,
составленный в конце 1710 или начале 1711 г. поражал своим размахом. Кругозор русского
правительства в то время охватывал все антиосманские силы от Средиземноморья до
Кавказа. Войну собирались вести на Балканском, Крымском и Кавказском направлении.
Опережая XIX век, «под руку» царя собирались привести весь Северный Кавказ –
Черкессию, Кабарду, Чечню и кумыков. Намечалось, освободить Яссы, на судах перебросить
боеприпасы и провиант к Очакову, на плотах подойти к Бендерам, поднять «государевыми
грамотами» население Албании, Македонии, Греции и Дубровника и привлечь к войне
Венецию. Для отвлечения анатолийских сил османов от Молдавии, намечалось три удара.
Украинский гетман И. И. Скоропадский должен был с 20 тыс. казаков и частью русской
пехоты генерал-майора И. И. Бутурлина пройти вдоль Днепра к Каменному Затону,
блокировать за Перекопом крымских татар и пустить партии казаков через Сиваш на
Крымский полуостров. При вступлении главной армии Петра I в Молдавию Скоропадский и
Бутурлин должны были вторгнуться в «самой Крым»13. С трёх направлений собирались
напасть на Кубанскую орду и её столицу Копыл: с севера русскими войсками под
командованием П. М. Апраксина, с юга – адыгами и со стороны Тамани – десантом с Азовского
флота14. (Выйти на Чёрное море Азовскому флоту было ещё не под силу и десант на Крымское
побережье, не планировался). Большая часть калмыков должна была выступить против
кубанских ногайцев, а 2 тыс. всадников присоединиться к полевой армии фельдмаршала Б. Л.
Шереметева. После Полтавской победы «турок ставили за мало» и А. Д. Меншиков бравировал
10
ППВ. Т. 11. Вып. 1. С. 74-83, 85-86. Примиряющий жест был вызван сообщениями английского и
голландского послов из Стамбула, что «турок в раскаяние приходит и хочет мир паки возобновить». В связи с
этим А. А. Матвееву был послан указ просить посредничества Голландии, чтобы та воспрепятствовала
конфликту. Г. И. Головкин – А. А. Матвееву 2 марта 1711 г. // ППВ. Т. 11. Вып. 1. С. 400.
11
Артамонов В. А. Россия и Речь Посполитая после Полтавской победы (1709-1714). М., 1990, c. 64-65. В 1712
и 1713 гг. поляки еще дважды поднимали вопрос о разделе дунайских провинций султана.
12
Мальтийцы отговорились невозможностью что-либо предпринять без санкции Рима. Русский агент в Италии
М. Каретта – Г. И. Головкину из Венеции 4 марта 1712 г. // РГАДА. Ф. 41. Оп. 1. 1712. Д. 2. Л. 10.
13
Эта дополнительная часть плана С. Л. Владиславича (Рагузинского), хранящаяся в РГАДА. Ф. 9. Кн. 14. Л.
204-206, не помещена в ППВ. Т. 11. Вып. 1. C. 338-339.
14
Ф. М. Апраксин – Г. И. Головкину из Таганрога 28 июня 1711 г. // РГАДА. Ф. 160. Оп. 1. 1711. Д. 11. Л. 2-3.
Для усиления Азовского флота Сенат 30 апреля 1711 г. определил 5 тыс. солдат и 100 тыс. руб. // РГАДА. Ф. 9.
Отд. 2. Кн. 14. Л. 23, 23 об.
18
возросшей по сравнению с Крымскими (1687, 1689) и Азовскими (1695-1696) походами мощью
России, которая де позволит быстро расправиться с войсками султана.
Почему же не был учтён неудачный опыт походов в Молдавию Яна III Собеского в
1684-1686, 1691 гг. и Августа II в 1698 г.? Что заставило планировать главный удар в
направлении Молдавии и Валахии, а не поставить более реальную задачу – наступать на
Очаков, Бендеры, Керчь, Перекоп или принять противника за Днестром на Правобережной
Украине, как собирались это сделать в 1712-1713 гг.?
От балканских информаторов, естественным стремлением которых было завлечь
русскую силу как можно глубже на Балканы, постоянно получали сведения о волнениях в
Стамбуле, о дезертирстве, низкой боеспособности и о непопулярности войны среди османов,
опасавшихся повторения катастроф под Веной в 1683 и Зентой в 1697 гг. Был сделан вывод,
что появление армии у Нижнего Дуная стимулирует восстание в Дунайских княжествах,
Болгарии и приведет из Венгрии 10-20 тыс. сербских добровольцев. Мятеж, возможно,
перекинется на Грецию и воспрепятствует переходу Дуная противником. В случае восстаний
большая часть турок разбежится и, может быть, поднимет бунт. После этого планировалось как
можно быстрее заключить мир и вернуться к войне на Балтике. Таким образом, как и в 1699 г.,
собирались установить политическое преобладание в европейских провинциях Османской
империи15. Посол в Речи Посполитой Г. Ф. Долгорукий писал Петру 22 марта 1711 г., что
русские отряды не пошли на Яссы, чтобы не спровоцировать турок раньше времени
оккупировать Молдавию. Когда же соберётся вся армия, то оптимальным вариантом будет марш
к Дунаю и овладение Молдавией и Валахией, после чего «неприятель принуждён будет или
полезного миру искать, или вовсе пропадать» – самоуверенно заявлял он16. Так ещё в марте 1711
г. вырисовался план продвижения к Дунаю, где предполагалось при необходимости и зимовать.
Однако русская разведка не проверила реальные возможности вооружённого
выступления в Дунайских княжествах и Болгарии, состояние продовольственных запасов в
Молдавии и степень уязвимости коммуникаций при переносе боевых действий к Дунаю.
Полагали, что если триумф под Веной в 1683 г. привел к всеобщему восстанию на Балканах,
то можно было надеяться на повторение его и в 1711 г. Залогом успеха должно стать
опережение турок у Дуная и присоединение молдавского и валашского войска.
(Предполагалось иметь проводников, «которые бы знали путь за Днепр до Дуная и далее
(курсив – В. А.)»17. Таким образом, изначально основная ставка делалась на помощь
христиан, а не на разгром османов своими силами, как происходило в русско-турецких
войнах 1735-1739, 1768-1773 и 1767-1781 гг. Возможно, Пётр, предвидя неудачу18, в
максимальной мере хотел подстраховать себя военной помощью балканских народов.
План «дунайского похода» Петр I подписал в Яворове 7 мая 1711 г. В нём было
сказано, что если опоздать к Дунаю, то восстаний можно не дождаться. Поэтому корпус
Шереметева должен вступить в Молдавию, действовать там исключительно по советам
Кантемира и не позволять туркам переправляться через Дунай. Если же окажется, что всё
войско турок перешло Дунай, то предписывалось отступить за Днестр и там усиливать
Русскую армию, привлекая ежемесячными выплатами молдаван, валахов, сербов и другие
народы. Там же можно переждать зиму, которая тяжело скажется на непривычной к холодам
турецкой армии. Молдаване же должны были разведывать всё о «неприятельской силе и о
15
Достян И. С. Балканские народы во время войны Священной лиги с Османской империей (1683-1699) //
Османская империя и страны Центральной, Восточной и Юго-Восточной Европы в XVII в. М., 2001. Часть 2, c. 373.
16
ППВ. Т. 11. Вып. 1. С. 420.
17
РГАДА. Ф. 9. Отд. 2. Кн. 13. Л. 1147 об.
18
Можно напомнить его развитую интуицию: 18 ноября 1700 г. за 11 часов до появления шведов, он, предвидя
поражение, уехал из-под Нарвы. В 1711 г. отправляясь в «незнаемый путь» в Молдавию, он писал: «поедем в путь свой,
которого конец Бог весть». 22 февраля он составил нечто вроде завещания: учредил высший после царя орган власти –
Правительствующий Сенат, 2 марта составил текст государственной присяги для высших должностных лиц России,
приказал считать любовницу Екатерину Алексеевну «женой и государыней-царицей». С 27 марта по 5 апреля в Луцке
страдал «скорбью такою, какой болезни отроду мне не бывало, …весьма жить отчаялся».
19
[её] походе и обращении»19. Из сообщений русского агента в Стамбуле Л. Барки в феврале
1711 г. знали, что численность турецкой армии будет состоять, по крайней мере, из 118 400
человек20. Учитывалась и прорусская ориентация Валахии – после Полтавской битвы кавалер
российского ордена Андрея Первозванного (с 21 августа 1700 г.) господарь К. Брынковяну
обещал собрать провиант для 30-тысячной Русской армии, если она появится в Валахии,
помочь сербам из Венгрии соединиться с русскими и поднять восстание в Сербии и
Болгарии21. В европейских столицах родились подозрения о намерении Петра Великого на
развалинах Османского государства основать «Греко-восточную монархию» («Ориентальное
цесарство»). В отечественных источниках, однако, не обнаружено никаких сведений о
проектах утверждения власти царя к югу от Дуная. Русская пропаганда заявляла о
стремлении освободить балканские народы и даже «загнать турок в Аравию», но при этом
подчёркивала отсутствие территориальных претензий на освобождённые земли. Россия
готова была даже отказаться от похода к Дунаю, если Франция склонит султана к миру.
Лучше всего в России был известен фантастический вариант войны, широко
распространявшийся пропагандой Карла ХII в Молдавии22. В Москве считали, что сил
шведского короля, гипноз которого не рассеялся даже после Полтавы, и его турецких
покровителей будет достаточно, чтобы совершить в Польше переворот в пользу Лещинского.
Поэтому, назначая сбор войск над Днестром, готовились не допустить турок за польские
границы. Таким же ошибочным было и представление о стратегическом плане турок,
которые якобы после сосредоточения у Бендер вместе с Карлом XII через КаменецПодольский прорвутся в Польшу и пойдут на соединение со шведами, выходящими из
Померании. Для отвлечения русских сил крымский хан совершит набег на Украину и в
направлении Харькова и Воронежских верфей (Затем «король шведский вступит в Саксонию,
а турки с частью поляков останутца против московских в Польше… потом, обратясь всеми
потенциями, шведы с турки и с поляки Его Царское Величество намерены будут [во]
всеконечное порабощение привести и разделение Российской империи [совершить]»23.
«Турецкую армию… поведут на Москву великий везир и шведский король»24.
План Д. Кантемира. Боярские группировки молдаван традиционно имели в виду
варианты освобождения с помощью Габсбургов, или Польши, или России, хотя была и
партия, предпочитавшая остаться под защитой Блистательной Порты. Наиболее выгодным
вариантом была бы ориентация на Польшу, где можно было бы получить такие же
экономические и политические свободы и привилегии, как у польской шляхты, но бессилие
тогдашней Речи Посполитой было у всех на виду.
Национальным проектом предтечи просвещённого абсолютизма – Д. Кантемира было
освобождение от османского владычества, восстановление исторических границ
Молдавского княжества и преобразование его в наследственную монархию, которая
считалась тогда самой прогрессивной формой правления. (Это обещал его отцу К.
Кантемиру польский король Ян III Собеский, если тот перейдёт под протекторат Речи
Посполитой). С 1710 г. Кантемир однозначно выбрал Россию, которая, разгромив под
Полтавой лучшую армию Европы и завоевав Прибалтику, стала крупнейшей региональной
державой Северной и Восточной Европы. Также, как и поляки, господарь желал, чтобы
боевые действия были вынесены за пределы Молдавии.
План Порты. Он состоял в том, чтобы не допустить единого антитурецкого фронта и
отбросить русских от своих северных границ. Турки, как и шведы, понимали сложность
войны с Россией «из-за обширных пустынных провинций». Сухопутная армия в связи с
19
ППВ. Т. 11. Вып. 1. С. 221-223.
РГАДА. Ф. 89. Оп. 1. 1711 г. Д. 11. Л. 19 и об.
21
Xenopol A. D. Istoria Românilor din Dacia Traiană. Iaşi, 1896. Vol. 8. P. 60-61; Kogălniceanu M. Fragments tirés
des chroniques Moldaves et Valaques. Jassi, 1845. Vol. 1. P. 43, 64.
22
Мышлаевский А. З. Война с Турцией 1711 г. Прутская операция. [Сборник документов]. – СПб., 1898. С. 36, 310, 317.
23
Письмо П. А. Толстого 14 ноября 1710 г. из Стамбула // ППВ. Т. 11. Вып. 1. С. 335, 347.
24
Турция накануне и после полтавской битвы (глазами австрийского дипломата). М., 1977. С. 74, 86.
20
20
трудностями длительного марша не планировала перехода польских границ для
соприкосновения с русскими и «не собиралась нападать, но ждать нападения»25.
Молдавскому господарю было приказано избегать всего, что могло бы стать поводом к
войне с Польшей. Флот с 30-тысячным десантом должен идти из Синопа к Азову. Из
нескольких возможностей – заключение союза со Швецией, объявление войны Августу II
(Саксонии) или Речи Посполитой и локализация войны только с Россией – Порта выбрала
последнее, чтобы не возродить против себя новую коалицию. Османы в 1711 и позже – в
1712-1713 гг. не собирались идти через коронные земли к Киеву или Чигирину и не
исключали мирного посредничества Империи и морских держав. Если бы русское
командование приняло оборонительный план войны из-за Днестра, то дело окончилось бы,
скорее всего, затяжкой военных действий и подтверждением статус-кво26.
В ноябре 1710 г. для войны с Россией Порта готовила армию «по образцу… 1683 г.,
…столько же личного состава, артиллерии, оружия, провианта и фуража, как тогда»27.
Предполагалось, что 5000 молдаван и 10 000 валахов, исправлявших, как правило,
конвойную службу, пойдут к Бендерам. К турецко-татарской армии собирались
присоединиться до 3 тысяч поляков, и 6-7 тысяч запорожцев28.
Начало кампании. Обе стороны затянули начало военных действий, желая собрать
максимум сил. Османское войско от Эдирне пошло к Дунаю только в мае 1711 г. «Страх и
почтение перед русскими были так велики, что визирь, несмотря на повторные сообщения о
тяжёлом положении их армии, не перешёл Дунай, пока к нему не присоединились последние
отряды азиатской конницы»29. Л. Барка писал: «Многие министры турские… противны
войне… Войско азийское… за великой стыд себе причитают турки видеть… ибо народ плох,
ободран, без ружья, и от далёкого пути утомлён и за тем на войну без сердца идут… Хотя
войско турецкое есть многочисленно, однако ж торопко, нерегулярно, без голов умных,
которое войско не имеет боязни ни от везиря, ни от других офицеров»30.
Вплоть до 7 июля 1711 г. русская мощь казалась туркам грозной, Порта не исключала
возможность поражения и Кантемира снедала тревога, не пойдут ли русские на мир с османами?
Пётр I предписал надворному советнику С. Л. Владиславичу успокоить князя31. Когда же 23
июня в русском лагере появился посланец мира от Брынковяну Г. Кастриот32, ему было «не
поверено, а паче того ради то не принято, дабы не придать неприятелю сердца или куражу»33.
Марш Русской армии к молдавским границам проходил тяжело – в Белоруссии в марте–
апреле была бескормица, лошадям скармливали солому с крыш, многие животные издыхали, из-за
чего в каждом драгунском полку было по 200-300 пеших. 6 тысяч русских драгун шли пешком34.
Военные учения в это время не проводились, штаб-офицеры всю зиму «больше
смотрели в свои сумы, собирая великие порционы»35.
25
РГАДА. Ф. 89. Оп. 1. 1711. Д. 7а. Л. 28-29; Sutton R. The dispatches of sir Robert Sutton. L. 1953. P. 37, 220.
Артамонов В. А. С. 84.
27
Так заверили австрийского посланника в Стамбуле М. Тальмана. См. его донесение от 27 ноября 1710 г. н. ст.
– Турция накануне и после Полтавской битвы (глазами австрийского дипломата). М. 1977. С. 85. (Под Веной
янычары, спахи, гвардия великого везира, артиллерийские и инженерные части насчитывали до 50 тыс. чел.,
крымские татары – 15-20 тыс., войска с подвластных земель – 110 тыс., всего возможно, 175 тысяч).
28
Артамонов В. А. С. 85.
29
Sutton R. P. 75.
30
ППВ. Т. 11. Вып. 1. С. 570.
31
Пётр I – С. Л. Владиславичу 20 июня 1711 г. ППВ. Т. 11. Вып. 1. С. 298.
32
Это был старый знакомец, предлагавший ещё в 1697 г. принять Молдавию и Валахии «под кров и власть»
России, которая должна атаковать Очаков и Керчь, блокировать татар в Крыму, а валахи и молдаване нападут
на Буджак. Семёнова Л. Е. Русско-валашские отношения в конце XVII – начале XVIII в. М., 1969. С. 123-126.
33
Кастриот объявил, что «везирь турской патриарху Иерусалимскому [Хрисанфу] приказывал чрез господаря
его проведать, есть ли склонность с стороны Его Величества к миру, о чём он от салтана трактовать указ имеет.
Гистория Свейской войны (Подённая записка Петра Великого). Составитель Т. С. Майкова. М., 2004. Вып. 1. С.
173, 369. (Далее ГСВ). О предложении мира Кастриотом и «чрез Англию и Галандию» русское командование,
будучи в блокаде 10 июля напомнило Мехмеду Балтаджи. – ППВ. Т. 11. Вып. 1. С. 570.
34
Австрийский посол в России Г. В. Велчек – вдове императрице Элеоноре, супруге императора Леопольда I,
30 июня 1711 г. // Lukinich J. A. Szatmári beke törtenéte és okirattara. Budapest. 1925. P. 506-507.
26
21
Но в мае Петр I был ещё полон надежд на успех: «християне бедныя зело ревностно к
нам поступают непрестанно и пишут неописанный страх и комфузию в поганых»36.
Начало кампании ознаменовалось большим успехом. 1 июня Кантемир открыто
перешёл на сторону России и, по сути, объявил войну Турции. 3 июня он провозгласил
Молдавское княжество под русским протекторатом. Российское царство обрело, наконец,
первого союзника. Одновременно с Молдавией на русскую сторону перешло трое мурз из
Буджака «с кочевьями»37. 30 мая В. В. Долгорукий писал царю, что войска перешли Днестр
под Рашковым, и что по просьбе Кантемира Шереметев 29 мая послал в Яссы бригадира Г.
И. Кропотова с 3 драгунскими полками и молдавским полком Ф. Апостола-Кигеча.
Молдавские («волошские») легкоконные полки Русской армии с начала их формирования в
1707 г., также как казаки, калмыки (и «валахи» шведской армии), отличаясь энергией и
инициативой, были передовыми отрядами, глазами и ушами регулярных частей. К 1711 г. в
петровской армии было 6 молдавских полков38.
Люди за Днестром радовались и, стремясь поддержать русских, говорили, что турки «не
имеют куражу и сами себе пророчествуют гибель». От них же исходил слух, что Брынковяну
находится якобы пересёк молдавскую границу и в уже в двух днях пути от Ясс39. Около 4 тыс.
чел. предусмотрительно были оставлены в Могилёве-Подольском, Сороках и Яссах.
Для русских и османов успех предрешался способностью выдержать испытания
дальним маршем. Османская империя уже растеряла былую способность своего молодого
феодализма к мобильным броскам. Тот из соперников, кто принимал на себя тяжкий переход
через степи Молдавии, подвергался большему риску быть разбитым. Совет у Днестра в
Сороках 14 июня стал судьбоносным. Некоторые генералы предлагали после изнуряющих
переходов отдохнуть за этой водной преградой, потом взять Бендеры и устроить там
военную базу. Противник, проходящий через степи, потеряет силы и лошадей и не сможет
взять Бендеры и Сороки, защищаемые исправным войском. Строить мосты и переправляться
через Днестр под угрозой нападения русских турки не осмелятся. Полки, в том числе и
оставленные в Польше, можно будет беспрепятственно направить в Молдавию. План
задержаться на рубеже Днестра был разумным, но было сочтено, что предавать молдавского
союзника невозможно, что турки будут деморализованы, если увидят русскую силу «посреди
их областей». При этом было забыто, что османский дух не был сломлен даже когда в 168789 гг. австрийцы вторгались в Валахию и Македонию, а венецианцы осаждали афинский
Акрополь. Позже Пётр I оценил Прутский поход как авантюрно-рискованный: «Сей марш
против турков зело отчаянно учинен»; «если бы получили викторию, тогда б еще дальше
зашли и тогда бы «еще хуже было»40. Но в середине июня, он, зная, что турок у Дуная
собралось 60-70 тысяч, «искал неприятеля» и «чаял баталии, прося у Праведного судии
милости»41. После русских побед 1709-10 гг. над шведами, молдаванам и валахам казалось –
встань железные полки царя вдоль Дуная – и вырастет могучая стена, отгораживающая их от
османов. Взрыв энтузиазма в Молдавии при известии о вступлении полтавских победителей был
огромен. «Вся страна была с московлянами», – писал гетман молдавского войска И. Некулче,
сопровождавший Петра I от границы. В Сороках, Бельцах, Яссах жители, выкатывали на улицы
бочки с вином и угощали солдат. В Яссы, навстречу Шереметеву, приближавшемуся с
корпусом, состоявшим из 14 873 воинов, под знамена Кантемира собирались служивые,
крестьяне, горожане, сапожники, портные землекопы, трактирщики, батраки, мелкие купцы42.
Это не были военные профессионалы и боевая ценность молдавского народного ополчения была
35
В. В. Долгорукий – Петру I 22 мая от Бреславля, отшед 2 мили // РГАДА. Ф. 9. Отд. 2. 1711. Кн. 13. Л. 475-476.
ППВ. Т. 11. Вып. 1. С. 216.
37
Hallart L. N. L. N. Hallart dagbok förd under ryssarnes fälttåg vid Prut // Karolinska krigares dagböcker. Lund. 1913.
T. 9. S. 222.
38
Цвиркун В. И. У истоков русско-молдавского боевого содружества // Ţvircun V. Vitralii – Витражи. Chişinău. 2006. С. 36.
39
В. В. Долгорукий – Петру 31 мая из-за Днестра. РГАДА. Ф. 9. Отд. 2. Кн. 13. Л. 472-473.
40
ГСВ. Вып. 1. С. 176, 373-374.
41
ППВ. Т. 11. Вып. 1. С. 296, 298.
42
Семёнова Л. Е. Княжества Валахия и Молдавия… С. 282.
36
22
слабой. С точки зрения западного европейца, ни разу до того не встречавшегося с
нерегулярными воинами, те были необучены и плохо вооружены43.
2 июня Кантемир ободрил Шереметева, что раздаёт жалование своим войскам и рассылает
указы по всей Молдавии, чтобы все вооружались и «пришли к монаршеским войскам под мою
команду до 15 числа сего месяца, а кто не придет, шляхтич будет отлучен от маетностей своих, а
народы будут преданы суду не токмо мирскому, но и церковному проклятию». В том же письме
он сообщал, что «любезнейшего брата» Брынковяну он побуждал немедленно присоединиться,
«понеже честь, достоинство и монаршеские милости получаются с трудами и страхом»44.
Господарь поднял максимум того, что могла дать Молдавия и больше, чем хотели
собрать с княжества турки. 6 июня князь представил Шереметеву свои полки, которые
находились под его командой. «На дачу новозатяжным [молдаванам]… на 5000 чел. [было]
выделено 30 750 руб. ». Не известно, как оценил Шереметев ликующую нерегулярную конницу,
вооружённую в основном, луками и короткими пиками. Военный совет 8 июня определил
состояние молдавского войска как неустойчивое из-за внутренних противоречий: «на воложский
народ обнадёжится невозможно, ибо скоро могут чрез факции и деньги показать между собою
…разделение, о чём отчасти и показывается»45. Но для Европы Пётр и Г. И. Головкин
представляли завышенное количество «благовооружённых и конных» молдаван – 10 тысяч46, к
которым скоро [присоединятся валахи, «буджакские татары» и всё Калмыцкое ханство Аюки47.
26 июня Кантемиру была предоставлена честь принять парад Русской армии. Все полки
стояли с распущенными знамёнами. «Светлейшему князю» и фельдмаршалу Шереметеву
гвардия и войско по «всему фрунту» отдавали честь барабанным боем. Сам государь огромного
царства и реальный главнокомандующий, как генерал-лейтенант, салютовал палашом, стоя
перед Преображенским полком. После такого почётного приёма естественно было ожидать, что
«принцу волошскому» и Некулче буден предоставлено самостоятельное командование
молдаванами. Однако этого не случилось, господарь остался на положении советника, а
молдавское войско в подчинении русских военачальников наравне с казаками.
Умом и манерами Кантемир произвёл прекрасное впечатление. Высокие способности
господаря были сразу отмечены: [человек] «зело разумной и в советех способный». 27 июня
во время празднования годовщины Полтавской победы, затянувшемся с утра до
одиннадцатого часа вечера, за военно-полевым «земляным столом» в центре сидели царь с
Кантемиром по правую руку. «Он был среднего роста, сложен удивительно стройно,
прекрасен собою, важен, и с самой счастливой физиономией. Он был учтив и ласков;
разговор его был вежлив и свободен. Он очень хорошо изъяснялся на латинском языке, что
было весьма приятно для тех, которые его разумели…»48.
Беспокойство русских, что бояре откачнутся к туркам, отторгая план Кантемира стать
наследственным молдавским самодержцем49, господарь снял: «хотя у него с ними [боярами]
и есть противность, однакож на них надёжен, что они николи к турецкой стороне не будут,
разве некоторые немногие, кои на низу Прута живут»50.
В целом же главные сомнения русских военачальников отпали. Ведь полной
уверенности в «молдавском успехе» не было, учитывая наветы Брынковяну, что Кантемир
43
«Господарь отложился от Порты, передался фельдмаршалу и привел к нему до шести тысяч плохой
молдавской конницы; их всадники большею частию вооружены стрелами или полупиками, подобно казакам;
все они ужасные воры». Пушкин А. С. Записки бригадира Моро-де-Бразе (касающиеся до турецкого похода
1711 года) // Пушкин А. С. Полное собрание сочинений в 10 томах. М., 1977. Т. 8.
44
Цвиркун В. И Димитрий Кантемир. Страницы жизни в письмах и документах. Кишинев 2010 г. (Рукопись
автора); РГАДА. Каб. ПВ. Отд. 2. Кн. 13. Л. 1048 об. 1052.
45
ППВ. Т. 11. Вып. 1. С. 546-547.
46
Там же. С. 289, 549.
47
Так заверял О. Плейера Г. Ф. Долгорукий // РГАДА. Ф. 32. Оп. 5. Д. 6. Л. 51.
48
Пушкин А. С. Записки бригадира Моро-де-Бразе … Т. 8.
49
«Между господарем з бояры ево великое несогласие, а болши то, что Ваше Величество учинил господаря
наследником, чего у них не бывало»
50
В. В. Долгорукий – Петру I, июнь 1711 г. // ППВ. Т. 11. Вып. 2. С. 550.
23
предан туркам51. Шереметев даже опасался, что турки успеют «подвигнуть» молдаван
против русских или разорить их. Несомненно, Кантемир и большинство молдаван
однозначно были на стороне православной России. Однако для видимости в июне 1711 г.
господарь предпринял какой-то зондаж у великого коронного гетмана А. Н. Сенявского,
написав ему: «Наш трактат с Россией только обман, мы хотим быть в унии с Речью
Посполитой – если Вы дадите боярам места в Сенате и все шляхетские права»52.
Иерусалимский патриарх Хрисанф (1707-1731), которого Порта в 1712-1713 гг.
собиралась поставить «на казачью патриархию», порочил Кантемира, когда писал, что
«желание свобождения их принуждает писать и обещать то, чего не могут учинить», что
Кантемир якобы предавал его самого и Брынковяну, передавая туркам, что Хрисанф де
«русской партии», что к русским господарь «пришёл от нужды, а не от любви», что он и
раньше остерегал не верить молдавскому князю53.
На новом для Русской армии театре военных действий Кантемир прекрасно выполнил
роль военного советника. Если Пётр I настойчиво указывал половине регулярной конницы и
большей части нерегулярной идти в Буджак для сбора провианта54, то Кантемир не советовал
двигаться дальше без пехоты и указывал на бесполезность посылки кавалерии туда, так как
буджакские ногайцы не только не приняли русское подданство, но вместе со всем
имуществом и скотом ушли к Дунаю.
Около 4 июня Кантемир, используя данные своей разведки, правильно советовал В. В.
Долгорукому поспешить русской пехоте на юг, пока к северу от Дуная скопилось мало
противника. Господарь «желает и рассуждает, что если бы… было пехоты 20 000, то можно
было бы над турком великую викторию искать, понеже не все паши собрались»55. «Как
сказывал господарь волоской», турки «велели делать крепостцу [на левом берегу Дуная] и
поставить пушки… По ведомостям от господаря, турок – сорок тысеч, татар собраться могут
тритцать тысеч». И те и другие якобы были в «великом страхе»56.
Переход Молдавии под русский протекторат оказался неожиданностью для Порты, но
вряд ли в Стамбуле впали в трепет, как доносила оттуда агенты57.
22 июня Шереметев писал царю, что он отправит в Валахию с генералом Г. С.
Волконским 3 тысячи конных (!), которые 23 июня будут переправляться через Прут по
вновь построенному мосту58. Пётр I счёл, что срочную экспедицию в Валахию следует
усилить и командовать ею надо более энергичному К. Э. Ренне вместе с бригадирами Л. С.
Чириковым и Г. И. Кропотовым.
Сам Ф. Кантакузино сообщил, что Брынковяну «в подданстве Его Царскому Величеству
весьма медлит и некоторые отговорки от того и несклонность являет, понеже зело богат и не
хочет себя в трудность и опасность вдавать… Далее зачёркнуто: Его Царское Величество по
своему высокому разсуждению також и по совету волоского господаря и господина Кантакузина
изволил отправить к мултянской земле партию в нескольких драгунских полках… дабы тем
народ мултянской скорее к стране нашей привлечь и ежели господарь тамошней как выше
51
Kogalniceanu M. Fragments tirés des chroniques Moldaves et Valaques. Jassi, 1845. Vol. 1. P. 45, 48, 183.
Feldman J. Polska a sprawa wschodnia 1709-1714. Kraków. 1926. S. 69. А. Н. Сенявский, приняв это за чистую
монету, 26 июня 1711 г. поздравил из Львова П. П. Шафирова с присоединением молдавского господаря, но
остерегал «быть осторожными с этим народом, ибо не было ещё примера, когда они сдержали бы свои
обещания». РГАДА. Ф. 79, Оп. 1. 1711. Д. 6. Л. 2.
53
Патриарх Хрисанф – П. А. Толстому 13 августа 1712 г. // РГАДА. Ф. 89. Оп. 1. Д. 6. Л. 725, 728.
54
ППВ. Т. 1. № 4515, 4516, 4519, 4520.
55
В. В. Долгорукий – Петру I от Ясс 8 миль. 4 июня 1711 г. // РГАДА. Ф. 9. Отд. 2. Кн. 13. Л. 469 и об.
56
Г. И. Головкин – А. Г. Головкину 8 июня 1711 г. // РГАДА. Ф. 74. Оп. 1. Д. 15. Л. 73; В. В. Долгорукий –
Петру I от Прута: // ППВ. Т. 11. Вып. 1. С. 544.
57
«…Турки были в великом страху, наипаче когда слышали, что господарь волоской отдался. Салтан со всем
народом на всякой день три раза были на молитве… и миру велми желали». С. Л. Владиславич – Г. И.
Головкину 18 сентября 1711 г. // РГАДА. Ф. 160. Оп. 1. 1711. Д. 4. Л. 100-101.
58
О тайно отъехавшем из Валахии Ф. Кантакузино Шереметев писал, что надо быть с ним осторожным, не
добивается ли он какого-нибудь своего интереса, иначе можно «озлобить» валашского господаря. Б. П.
Шереметев – Петру I 22 июня от р. Прут // РГАДА Каб. ПВ. Отд. 2. Кн. 13. 1069-1070; ППВ. Т. 11. Вып. 1. С. 556.
52
24
означено, противен тому явится, то велено дать народу тамошнему обрать вместо его иного
господаря»59. Казалось бы ясно, что Валахия не может подняться до прихода русских, но Г. И.
Головкин досадовал, что Брынковяну тянет с восстанием.
Маршрут движения войск квартирмейстеры не разработали. Не знали, где водные
источники и колодцы. Магазинов заранее не создали. Запасов Молдавского княжества для
Русской армии должно было хватить вроде бы на 1 месяц. Кантемир давал около 4 тысяч
волов и 15 тысяч овец, оставшихся после бежавших турок, а также обещал за деньги
доставить от молдаван 10 тыс. волов и коров и 15-20 тыс. овец60. Но хлеба не было.
Переход основного корпуса армии от Днестра до Ясс по нестерпимой жаре и по
раскалённой почве, где трава была объедена саранчой, а солдаты, получавшие с июня только
треть положенной хлебной нормы и, не имея палаток, умирали от зноя, жажды и солнечных
ударов, уменьшил боеспособность армии. В Яссах с 22 по 29 июня армия собирала в магазины
продовольствие, не тревожимая никем. Осмотрев 23 июня войско Шереметева, Пётр приказал
наводить на Пруте на 16 медных понтонах два моста, которые к 28 июня были готовы.
30 июня фельдмаршал проводил через Прут корпус Ренне с восемью полками драгун,
батальоном ингерманландцев и семью двух- и трёхфунтовыми пушками. У Ясс для охранения
бояр он оставил часть нерегулярных войск из полка ротмистра Ф. Апостола-Кигеча61. Вместе с
Ренне под командованием Ф. Кантакузино, который от царя получил чин генерал-майора, к
Браиле отправилось и до 5 тыс. молдаван и валахов62. Отделение кавалерии, предпринятое по
совету Кантемира и Кантакузино, перед наступающим противником было рискованным и всего
через 7 дней Пётр приказал Ренне вернуться обратно63.
Сражение. Османские силы из Эдирне к Дунаю тянулись длинной вереницей, не
ожидая подхода отрядов из Анатолии. К Исакче они добрались 3 июня (так писал Б. П.
Шереметев). Там штаб турецкой армии задержался до 13 июня64. Хотя Мехмед Балтаджи
перешёл Дунай с частью войск и построил там укрепления, всё-таки русское командование
надеялось на чудо: переведёт ли он всю армию? Возможно, что великий везир устроил
какой-то совет, «дабы мог с царским величеством мир постановить, хотя и с малою
прибылью турецкою, токмо бы королю шведскому дали свободную дорогу»65. Чуда не
случилось и Пётр решил уклоняться от битвы с турками, возможно, памятуя удачное русское
отступление через Белоруссию в 1708 гг., погубившее шведскую армию вторжения.
Известно, что П. А. Румянцев и А. В. Суворов стремились сами нападать на численно
превосходящие турецко-татарские войска. Но царь, как только узнал, что турки идут на север
по левому берегу Прута, ушёл от них на правый берег реки, продолжая идти к югу, в
надежде прикрыть Брынковяну и получить помощь валахов. Это было ошибкой.
Присоединение валашского господаря не спасло бы кампанию, так как боеспособность его
войска была не выше, чем у Кантемира.
Война перешла из наступательной в оборонительную. 30 июня Пётр писал, что к Дунаю
Русская армия поспеет через 10 дней и продолжал надеяться, что «не зело охочие на сию войну» турки
не решатся на баталию («чаю, около половины июля всё окажется: даст ли баталию, или нет»)66.
2 июля армия начала медленно спускаться на юг вдоль Прута, испытывая лишения от
удушливой жары и нехватки продовольствия. Кони из-за бескормицы едва передвигались и
глодали корни и кору с деревьев. В двух милях впереди двигались 4 драгунских полка и два
конно-гренадёрских (всего около 5 тыс. чел. ) генерал-фельдмаршал-лейтенанта Лебрехта
59
РГАДА. Ф. 156. Оп. 1. 1703-1712. Д. 160. Л. 115-116.
Б. П. Шереметев – Петру 16 июня 1711 г. // ППВ. Т. 11. Вып. 1. С. 547.
61
Б. П. Шереметев – Петру I 1 июля от р. Прут с Ясской стороны. // РГАДА. Каб. ПВ. Отд. 2. Кн. 3. Л. 1096 и об.
62
Цвиркун В. И. У истоков русско-молдавского боевого содружества // Ţvircun V. Vitralii – Витражи. Chişinau. 2006.
С. 38; Подробную роспись корпуса Ренне дал Водарский Я. Е. С. 157.
63
Пётр I – К. Э. Ренне 7 июля 1711 г. // ППВ. Т. 11. Вып. 1. С. 310.
64
Подход частей к Дунаю продолжался вплоть до 11 июля. Орешкова С. Ф. Русско-турецкие отношения в
начале XVIII в. М., 1971. С. 115.
65
Л. Барка – С. Л. Владиславичу 19 ноября 1711 г. // РГАДА. Ф. 89. Оп. 1. 1711. Д. 13. Л. 40.
66
ППВ. Т. 11. Вып. 1. С. 305.
60
25
Готтфрида Януса фон Эберштедта и несколько сотен молдаван и казаков. Янус, как и Ренне,
был осведомителем австрийского правительства, раскрывшим тому план русского вторжения
в Дунайские княжества67. Австрийцы, имевшие свои виды на эти земли, были обеспокоены
возможным перемещением русских границ к Карпатам, но считали, что ни Молдавии, ни
Валахии русские не удержат из-за отсутствия там крепостей и провианта68.
Янусу было поручено идти 8 миль до места, где турки устраивают переправу через
Прут и уничтожить их работу. 7 июля Янус увидел неприятеля, который построил
небольшое предмостное укрепление. Это было место ложной переправы69. На правый берег
по двум наплавным мостам переправилась только часть конных добровольцев, отдельные
отряды сипахов и всадники хана Девлет Гирея.
Русской атаки, которой опасались в турецком лагере, не произошло, генералфельдмаршал-лейтенант предпочёл сразу ретироваться, после чего боевой дух турок тут же
поднялся. При отступлении его преследовали всего два небольших нерегулярных отряда под
командованием Черкес Мехмед-паши и присоединившиеся к нему по своей инициативе
разрозненные группы янычар70. Мехмед Балтаджи остерёгся бросить более крупные силы,
чтобы раздавить отступающих. На помощь Янусу был послан генерал Энсберг, и русский
авангард с небольшими потерями соединился с армией.
Переправа основной части турецкой армии началась в другом месте вброд только в
ночь с 8 на 9 и ранним утром 9 июля.
Около 5 часов вечера 8 июля военный совет узнав, что турецкая армия насчитывает
150 тыс. чел. оказался загипнотизированным этим количеством и принял решение отступать.
С утра 9 июля войска и обозы потянулись на север, прикрывшись рогатками. Конницу и
артиллерию поместили внутрь каре, как было во время Крымских походов В. В. Голицына71.
Если шведы при отступлении от корволанта Петра и Меншикова в 1708 г. беспрерывно
атаковали преследователей, то войско царя только отстреливалось. Через 5 лет, в феврале 1716
г., когда сгладилась острота переживаний, Пётр говорил австрийскому послу О. Плейеру, что
всего с двумя батальонами Преображенского полка он сдерживал натиск более чем 6000 янычар
и мог бы совсем их отбросить, если бы не чудовищная жара и отсутствие воды, из-за чего все
почти умирали от жажды. Могла бы быть одержана и полная победа над всем османским
войском, хотя было не более 40 000 солдат против 200 000 противника72. После полудня «для
великого жара и понеже люди устали, ибо неприятель был непрестанно кругом оных и докучал
нападениями, …принуждены всем войском стать к реке Пруту для отдыхания и получения
воды»73. Времени на создание ретраншемента полного профиля, какой был под Полтавой, не
было и удалось лишь немного огородиться телегами, рогатками, павшими лошадьми и кое-где –
невысокими валами. Нерегулярные части, которые эффективно использовались для поисков и
преследования врага, как правило, в бой не выставлялись. Молдаван и казаков 9 июля русское
командование совершенно правильно разместило под защитой своих пушек и пехоты. Вне
лагеря они были бы обречены на уничтожение. В официальной «Гистории Свейской войны» для
67
Lukinich J. A. P. 442, 572-573.
Австрийский посол Г. В. Велчек доносил из Москвы в феврале и марте 1711 г.: «Их силы и финансы малы,
вооружение плохое, кавалерия ни к турецкой войне не пригодна, хороших генералов, кроме Януса и Энсберга
нет, офицеры неопытны, но претензии московитов велики и, что самое главное, на их обещания нельзя
положиться». // РГАДА. Ф. 32. Оп. 5. Д. 6. Л. 46, 56, 59, 68, 86; Оп. 1. Д. 4. Л. 86, 99, 176, 205.
69
Водарский Я. Е. С. 85-86.
70
Орешкова С. Ф. С. 120-121. Как писал Моро-де-Бразе, нападали «две толпы в чалмах, скачущие
треугольником и ревущие во все горло как бешеные, думая нас уничтожить».
71
«Положено было армии воротиться назад, устроясь в каре и оградясь рогатками; экипажи, конница и
артиллерия должны были оставаться в центре, и в таком порядке надлежало было стараться по возможности
совершить не бесславное отступление. Недостаток конницы более всего мог нам повредить. Наши лошади
были совсем изнурены, а турецкие свежи и сильны» – писал Моро-де-Бразе.
72
РГАДА. Ф. 32. Оп. 5. 1716. Д. 7. Л. 25. В официальной истории войны Петр писал, что всего один
Преображенский полк, находясь в арьергарде, 5 часов, отражал атаки, не допустив отрезать себя от главных сил
// ГСВ. Вып. 1. С. 370.
73
ГСВ. Вып. 1. С. 370-371.
68
26
выправления престижа было написано: «…волохов немалое число имели при себе, которые
внутри обоза для безопасности своей были, от которых более комфузии, нежели помочи было,
также как и от своих черкас или казаков украинских»74. Однако нет сомнения, что молдаване
достойно выполнили свою роль в июне – июле 1711 г. в авангардных, арьергардных боях и в
отражении врага, находясь в лагере у Прута.
Рассыпанный сплошь до горизонта противник казался бесчисленным. За три часа до
захода солнца 9 июля «турки со всею своею янычарскою и протчею пехотою, которой по
скаске их со сто тысяч, да конницы, кроме татар со 120 тысяч обреталось …совершили
жестокую атаку». Пётр высоко оценил храбрость турок: «…пехота турецкая, хотя и
нестройная, аднакож зело жестоко билась». С наступлением темноты атаки прекратились и
Пётр созвал новый военный совет, на котором был принят оптимальный вариант. Алларт
писал, что было решено «атаковать ночью неприятеля силами в несколько тысяч человек и
прогнать его с занятых им позиций; а также, если счастье будет на нашей стороне и
представится возможность, то на рассвете атаковать неприятеля всей армией». «И, с Божьей
помощью, добиться победы. Но, несмотря на то, что было принято такое спешное решение и
последовали необходимые для этого распоряжения, Его Царское Величество отменил его по
причинам, ему одному известным»75. Можно предположить почему постановление было
отменено – люди и лошади были без отдыха трое суток, боевых припасов и провизии было в
обрез, без кавалерии Ренне прорыв был крайне рискованным. И, тем не менее эта отмена
была неправильной – на следующий день стало ещё хуже – армии грозила катастрофа.
Соотношение сил при битве у Станилешти было примерно один к трём. Обученная и
накопившая большой опыт в Северной войне регулярная Русская армия, кроме молдавских
полков, насчитывала 37 538 чел., 97 пушек, 23 мортиры, 2 гаубицы два огромных 12-фунтовых,
и восемь 8-фунтовых орудия, двадцать одну 6-фунтовую мортиру и три пудовых гаубицы. В
нерегулярной османской, как полагал турецкий историк А. Н. Курат, насчитывалось 80-100 тыс.
турок и 20-30 тыс. татар при довольно большом количестве артиллерии от 255 до 407 орудий76.
П. А. Румянцев и А. В. Суворов расправлялись с превосходящими османскими войсками
атакующими каре. (38 тысяч П. А. Румянцева на Пруте у Рябой Могилы 17 июня 1770 г. разбили
72 тыс. турецко-татарского войска, 27 тысяч при Кагуле 1 августа 1770 г. разбили 150 тыс.
противника; 25 тысяч русских и австрийцев под командованием А. В. Суворова 11 сентября
1789 г. нанесли поражение 100-тысячному противнику при Рымнике).
Утром 10 июля янычары снова атаковали, были отражены и потом, несмотря на
приказы, отказались идти на русскую картечь и ядра.
Талантливого полководца Карла XII не было, но совет шведских инструкторов в
максимальной мере использовать артиллерию, а не беспорядочные атаки, был грамотным.
Турки поставили на возвышенностях много батарей. В ночь с 9 на 10-е и днём 10 июля от
беспрерывной бомбардировки погибло, включая павших за 8-9 июля – 2856 чел.77.
Как раз 10 июля произошёл психический слом царя, дополненный припадочными
судорогами. Поражение для османов не означало проигрыша в войне, тогда как для наглухо
окружённой армии вместе с царём, царицей, правительственным аппаратом, огромной казной,
полевой канцелярией, генерал-фельдмаршалом и опытным офицерским корпусом, оно было
бы государственной катастрофой. Беспрерывным обстрелом и блокадой турки могли
полностью уничтожить всё. В черновике «Гистории Свейской войны» Пётр записал: «Едва б
не последовало же, как шведов при П[олтаве]»78. «Царь, будучи окружён турецкою армией,
пришёл в такое отчаяние, что как полоумный бегал взад и вперёд по лагерю, бил себя в грудь и
не мог выговорить ни слова... Офицерские жёны, которых было множество, выли и плакали
74
ГСВ. Вып. 1. С. 371.
ППВ. Т. 11. Вып. 1. С. 313, 567.
76
Водарский Я. Е. С. 94, 96, 206.
77
Фельдмаршал граф Б. П. Шереметев. Военно-походный журнал 1711 и 1712 гг. СПб., 1898. С. 54.
78
Пештич С. Л. Ценный источник по истории Северной войны // Феодальная Россия во всемирно-историческом
процессе. М., 1972. С. 377.
75
27
без конца. И действительно казалось, что предстоит неизбежная гибель»79. О степени отчаяния
Петра можно судить по той немыслимой цене, которую государь собирался заплатить за выход
из окружения. Он готов был отказаться не только от завоеваний 1695-1696 гг., но и от
результатов 10-летней борьбы за Балтику и плодов Полтавской победы – отдать снова под
контроль Карла XII и его креатуры С. Лещинского Речь Посполитую, уступить всю
Лифляндию, («и протчия помалу уступать» – т.е. Эстляндию). За Ингрию он готов был
заплатить Псковщиной, «буде же того мало, то отдать и иныя правинции» России !80
10 июля было решено предложить противнику перемирие. Если бы был получен
отказ, то положили прорываться, причём как и прежде, чтобы избежать напрасных жертв,
нерегулярных (молдаван и казаков), собирались поместить внутри вагенбурга, усилив их
несколькими тысячами пехоты81. Вполне вероятно, что в военных советах принимал участие
и Кантемир, но по источникам это не прослеживается82.
Ранним утром 11 июля истерзанный муками за судьбу армии и государства, Пётр
написал отправленному к туркам на переговоры П. П. Шафирову – «стафь с ними на всё,
чево похотят, кроме шкляфства [рабства]»83.
И, тем не менее, в тот же день Пётр выправился. С помощью царицы Екатерины он
вышел из стресса и долго работал над двумя редакциями четвёртого приказа,
предписывающего идти на прорыв и оформленного в виде решения совета «генералитета и
министров». В случае, если турки потребуют безоговорочной капитуляции, то к четырём
часам дня приказывалось подготовить патроны и картечь, «за скудостью пулек сечь железо
на дробь», тяжёлую артиллерию разорвать и утопить, пропащих лошадей перебить, нажарить
мяса на неделю и идти вверх по Пруту84. В землю было закопали много пороха, бомб, гранат,
ядер и предварительно сломанного оружия. После трёх схваток 8, 9, 10 июля, на решающее
сражение всеми силами со всем османским войском Пётр так и не решился.
Лучше было бы, если бы такой приказ был отдан два дня назад. Алларт в
неопубликованном «репорте» писал, что «ни по какому образу мы [не] могли пробитца, понеже
наши лошади все измучены, фуража в лагаре не было, для того они себе гривы и хвосты отъели,
и мало лошадей к службе годных было»85. Да, ошеломляющий удар пехотой нанести было
трудно, но артиллерия генерал-фельцейхмейстера Я. В. Брюса, как и раньше, была решающим
фактором Русской армии. Как под Лесной и Полтавой, подвижный огонь орудий мог подчистую
смести всё с поля боя86. За три дня русские пушкари истребили 8-9 тысяч и изувечили почти
столько же человек. (Боевые потери русских убитыми и ранеными были в несколько раз меньше
– около 3 тыс. чел., правда, не считая умерших, которых было возможно, около 5000). Сражение
на Пруте сопоставимо с битвой под Веной в 1683 г. где ущерб османских сил составил 10 тыс.
убитыми, а христианских союзных войск – 2 тыс. убитыми87.
Заключение «вечного мира». Оба соперника не знали состояния другой стороны и
неоправданно высоко расценивали друг друга. Среди османов шёл слух об измене молдаван
и валахов, о переходе черкесов в русское подданство, о намерении врага оккупировать
Румелию и подступиться к Стамбулу. Каждый миг пребывания русских на молдавской земле
79
Юст Юль. Записки датского посланника в России при Петре Великом // Лавры Полтавы. М., 2001. С. 314.
ППВ. Т. 11. Вып. 1. С. 313, 316. Инструкция об этом подканцлеру П. П. Шафирову была составлена скорее
всего не 9 июля, как указано в этом издании, а 10, одновременно с полномочной грамотой на ведение
переговоров с Мехмедом Балтаджи. Военный совет, решивший идти на перемирие, состоялся именно 10 июля.
81
ППВ. Т. 11. Вып. 1. С. 314.
82
В. И. Цвиркун пишет, что Кантемир также предлагал «оставить в лагере обоз под защитой трех пехотных
полков и шеститысячного сводного молдавско-казацкого корпуса, возглавляемого В. Танским, а остальными
силами атаковать и сбить неприятеля» Цвиркун В. И. Димитрий Кантемир. Страницы жизни… С. 41.
(Рукопись автора).
83
ППВ. Т. 11. Вып. 1. С. 317.
84
ППВ. Т. 11. Вып. 1. С. 317-318.
85
Водарский Я. Е. С. 108.
86
Артамонов В. А. Полтавское сражение. К 300-летию Полтавской победы. М., 2009. С. 279-282, 568-570.
87
Гусарова Т. П. Австрийские Габсбурги в войне с османами в 1683-1699 гг. (от осады Вены до Карловицкого мира) //
Османская империя и страны Центральной, Восточной и Юго-Восточной Европы в XVII в. М., 2001. Часть 2. С. 259.
80
28
грозил дальнейшими осложнениями среди христиан на Балканах, ожидавших царя–
освободителя. «Очевидцы этого сражения говорили, что если бы русские знали о том ужасе
и оцепенении, которое охватило турок, и смогли бы воспользоваться своим преимуществом,
продолжая артиллерийский обстрел и сделав вылазку, турки, конечно, были бы разбиты» –
так характеризовал сражение Р. Сэттон88.
Огромная площадь лагеря не вся простреливалась, пехота стойко держалась за
рогатками и янычары ни разу не прорвались за слабые ограждения. Гвардейская бригада –
Преображенский, Семёновский, Ингерманландский и Астраханский полки, да и войско в
целом, несмотря на невиданное изнурение, не были морально сломлены и природная
выносливость солдат не была исчерпана. «Русские вели себя удивительно доблестно» (Ю.
Юль); русские «великий кураж имели» (П. П. Шафиров)
Если везир Мехмед Балтаджи практически не разбирался в военном деле, то в Русской
армии был цвет военачальников, громивших ранее шведов – Пётр I, М. М. Голицын, Я. В. Брюс,
Л. Н. Алларт, А. И. Репнин, (Правда, не было А. Д. Меншикова и Р. Х. Боура). Несмотря на
крайнее утомление, боевая выучка и дисциплина полтавских ветеранов была достойной. Прикажи
Пётр ударить, как 27 июня 1709 г., двумя сплочёнными линиями, в интервалах которой
накатывались бы «дети полка» (двух- и трехфунтовые пушки), он мог бы обратить нерегулярного
неприятеля в бегство. (Конечно, предпринимать это без конницы Ренне это было рискованно)89.
Готовность к смерти тех, кто пойдет на прорыв блокады, возможно, тоже учитывалась
турецким командованием и оно всего за два дня заключило «вечный мир» с северным
соседом. Сражение на Пруте окончилось не «вничью», как считал Я. Е. Водарский.
«Победоносное войско ислама» одержало победу над «врагами веры», правда, ценой
большой крови. Азов, на взятие которого русские потратили два года, был возвращён за два
месяца. На переговорах удалось отстоять жизнь Д. Кантемира и С. Л. Владиславича,
голов которых затребовали турки. Сэттон 25 июля писал о турках: «Трудно сказать, что
сильнее: их прошлый страх или теперешняя радость». В Стамбуле, Белграде и других
главных городах Османской империи прогремели победные салюты.
Русские вспомогательные акции вдоль Днепра и Кубани окончились также
отступлением. Марш в направлении Крыма семи пехотных и одного драгунского полка (7178
чел. ) генерал-майора И. И. Бутурлина с казаками Скоропадского завершился неудачно.
Ордынская конница и партии запорожцев зашли в тыл Бутурлину, а трудность степного
похода, голод, из-за которого пришлось есть конину, и дезертирство как солдат так и казаков
Скоропадского вынудили Бутурлина 23-24 июля без приказа свернуть назад.
Запоздавшим оказался и августовский 100-вёрстный поход П. М. Апраксина в Прикубанье.
Только 3 июля 20 тысяч калмыков с 6 тысячами солдат Апраксина вышли от Царицына. Этот
поход, в котором также принимали участие черкесы и кабардинцы, окончился захватом
нескольких тысяч полона и столицы Кубанской орды Копыла. Удар с Азовского моря был
отменен. С 30 июня Азовский флот был блокирован турецкими кораблями. 22 июля
двухтысячный турецкий десант пытался взять сильно укреплённый Таганрог, но был отбит после
двухчасовой перестрелки. 5 августа вслед за получением вести о мире, турецкий флот удалился.
Ещё дважды в 1712 и 1713 гг. султан Ахмед III объявлял войну Петру I, после чего
отвоевал ещё всё Запорожье и выдавил из Польши русское военное присутствие. Военный
престиж России резко упал. В Европе стали говорить, что русские еще не овладели
искусством войны. Политическое влияние Петербурга в Молдавии, балканских землях и на
Северном Кавказе временно уменьшилось. На Балканах прокатилась волна погромов
христиан, многим, как писал И. Х. Урбих, пришлось под угрозой смерти «потурчиться»
(принять ислам), Молдавия катастрофически пострадала от грабежей и зверских насилий.
88
ППВ. Т. 11. Вып. 1. С. 568. «Турки признались, что потеряли убитыми 8900 человек… что твердость наша их
изумила, что они не думали найти в нас столь ужасных противников, они видели, что жизнь наша дорого будет
им стоить» – вспоминал Моро-де-Бразе.
89
Л. Барка писал 5 декабря 1711 г. : «если бы Москва наступала, то бы они [турки] никогда места одержать не могли,
как многократно турки наступали, и никогда устоять не могли, но назад утекали». ППВ. Т. 11. Вып. 1. С. 568.
29
Молдавское войско турки распустили. В 1712-1713 гг. русское командование не поднимало
на войну балканских христиан и кавказцев. Тем не менее, поход в направлении Дуная стал
новым этапом русской политики на Балканах, наметившем все компоненты восточного
вопроса XVIII-XIX вв. с традиционной ориентацией на православные народы.
Рассчитавшись с Россией, Османская империя в 1713 г. потребовала от Речи
Посполитой вернуть Правобережную Украину, однако окончание войны за Испанское
наследство развязало Габсбургам свободу рук на Балканах и Турции пришлось отказаться от
поддержки С. Лещинского и признать королём Августа II. В конце 1714 г. Порта объявила
войну Венеции и в 1715 г. отвоевала Пелопоннес.
Адаптация молдавских эмигрантов, потерявших всё на своей родине, в России проходила
трудно. Кроме приобретений были и обиды на правительство Петра, не предоставившее им
удовлетворительных условий. Уже в августе 1711 г. Кантемир, Некулче и часть молдавских бояр
просили «отпустить их в своё отечество»90. Кантемир никогда не отказывался от идеи
освободить свою страну от османской неволи. Уже в ноябре в Вене получали его сообщения, что
царь не будет соблюдать мир91. Учитывая невозможность России из-за Северной войны снова
воевать на Балканах, он перенёс свои надежды на Габсбургов. В преддверии войны 1716-1717 гг.
Австрии с османами, князь 27 мая 1715 г. нанёс в Петербурге тайный визит к австрийскому
послу О. Плейеру и имел с ним беседу, запись которой посол переправил в тот же день в Вену.
(Ниже нами даётся перевод с немецкого языка (не дословный), а в примечаниях – оригинал
донесения). Чтобы показать неотразимость желания стать имперским князем и служить
интересам Габсбургов и Молдавии в предстоящей войне с турками, он резко преувеличил
тягость жизни в России и крючкотворство царской бюрократии.
Плейер так пересказал монолог господаря: «4 года назад стремясь освободить своё
Отечество, он, Кантемир, заключил с царём договор, по которому, в случае неудачной войны
с турками, царь возместит ему вдвойне всё потерянное в Молдавии92. Когда же он
превратился в беженца, ему было выделено всего 1000 дворов на Украине и 6 тыс. руб.
годового содержания. Боярам, которые имели в Молдове по 2-3 тысячи дворов, дали всего по
300-400 дворов, из которых от силы заселены 70-80. Полковники получили всего по 50 р.
годового содержания и вынуждены продавать своих коней, одежду и оружие. Его дворы не
освобождены от налогов и поставки рекрут, хотя царь дал на эти льготы патент,
подписанный сенаторами. Однако, несмотря на это, на него начислили контрибуцию в сумме
45 000 руб. Когда он предъявил в Сенате патент царя, то его председатель сказал, что он
выписан подкупленным писарем и все подписи недействительны. Господарь жаловался, что
его всеми способами привязывают к России – «в русское рабство» – то навязыванием в
супружество принцессы, то подарками, то имениями. Здесь, у этого народа нет ни верности,
ни христианской любви и все его, господаря, помыслы направлены только к одному – как
добиться иной протекции. Вот почему он ищет убежища у Императора, которому он и его
семья всегда были и будут верны. Зная вплоть до мельчайших деталей Османское
государство, он был бы очень полезен в предстоящей войне с турками не только советами и
тайной депешами своих агентов в Константинополе, но и как вождь молдаван, которые до
сих пор втайне преданы ему и по его призыву храбро поднимутся за христианство и
Императора. Здесь же с ним обходятся не лучше, чем с обычными русскими князьями,
поэтому он просит Императора дать ему достоинство имперского князя, чтобы здешний гнёт
он мог бы сменить на службу Императору и Священной Римской империи, и в случае
турецкой войны мог бы, как имперский вассал, выехать из этой земли. В доказательство
своей верности он остерегает Императора от нынешнего валашского князя С. Кантакузино,
90
Б. П. Шереметев – Г. И. Головкину 23 августа 1711 г. // РГАДА. Ф. 89. Оп. 1. 1711 г. Д. 12. Л. 19.
Депеша И. Х. Урбиха из Вены в ноябре 1711 г. // РГАДА. Ф. 32. Оп. 1. Д. 4. Л. 183 и об.
92
По Луцкому договору 13 апреля 1711 г. компенсация должна производиться один к одному.
91
30
весь род которого никогда не был верен Австрийскому Дому и раскрывал туркам всё, что
только мог знать о планах императорских генералов к ущербу христианства»93.
Пётр Великий прекрасно разбирался в людях. Ценя талант и высокую учёность
молдавского господаря, он стремился удержать его в России. Светлейший российский князь
Кантемир вошёл в элиту Российской империи, стал видным сановником, сенатором и тайным
советником, экспертом по делам Востока и ближайшим сподвижником царя-реформатора.
93
Донесение О. Плейера из Петербурга 27 мая 1715 г. (на нем. яз.). // РГАДА. Ф. 32. Оп. 5. Д. 7. Л. 30-31.
«Diеser Tage der gewesene moldauische Hospodar Demetrius Cantemir zu ihm gekommen und überfolgendes Klage
geführt hat: Als die Moskowiter vor 4 Jaren gegen die Türken an den Pruth marschieren wollten, habe er sich, um sein
Vaterland von dem türkischen Joch zu befreiein, mit ihnen in Verhandlungen eingelassen und ein Allianz mit ihnen
geschlossen, auf Grund welcher ihm bei des Zaren eigener Hand versprochen wurde: Sollte er infolge dieser Allianz ins
Unglück gerahten und sein Land verlieren, dann wird ihm, seiner Familie und seinem Gefolge der Zar in Russland das
Doppelte dessen ersetzen und anweisen lassen was sie in Moldau verloren. Als er aber nach dem Unglücklichen
Ausgang des Feldzuges den Zaren als Flüchtling folgen musste, wurden ihm in der Ukraine nur 1000 Höfe und 6000
Rubel jährlich zum Unterhalt angewiesen, seine Edelsleute und Obersten, von denen einige 2-3000 Höfe
zurückgelassen, nur 3-400 angewiesen, von denen sie in Wirklichkeit aber kaum 70-80 besitzen, vobei sie von den
benachbarten Russen aber immer noch beschnitten werden; die Obersten erhalten für das ganze Jahr nur 50 Rubel und
haben aus Not ihre Pferde, Kleider und Waffen verkaufen müssen. In dieser Notlage habe er den Zaren gebeten, die
Höfe von den Kontributionen zu befreien, die Verpflichtung der Mannschaftrekrutierung wollten sie der Landessitte
entsprechend beibehalten. Auf Befehl des Zaren wurde ihm diese Bitte durch ein Diplom mit Unterschrift der Senat
bewilligt. Plötzlich will man aber von dieser Exsemtion nicht nur nichts mehr wissen, sondern verlangt die
Nachzahlung der während der Exemtionszeit angelaufenen Kontributinsgelder in Hohe 45 000 Rubel. Als er sich darauf
von dem Senat auf das Zarische Patent berief, antwortete ihm der Präses, das dieses Patent von einem bestechenen
Schreiber herrühren müsse und die Unterschriften wohl achtlos gegeben worden seien. Der Hospodar erzählte weiter,
dass man ihm mit allen Mitteln an Russland zu fesseln und in die «Russische Sclavität» zu bringen trachte, indem man
ihm bald die Heirat mit einer Prinzessin, bald Geschenke wie des relegierten Vicegouverneurs Haus anbiete, bald ihn
wieder mit einem Landgut in der Nähe anlocken wolle. Allein da er sehe, das bei dieser Natoin weder Treue, noch
Glaube, noch christliche Liebe zu finden sei, da die mit ihm geschlossenen Verträge gleich von Anfang an nicht erfüllt,
das zarische Patent verleugnet und er selbst dabei falschen Beschuldigungen ausgesetz, andererseits mit allen Mittel
seiner Freiheit beraubt werde und eine gänzliche «Sclavität» und das Unglück der russischen Botmäsigkeit besorge, so
sei sein ganzes Sinnen darnachgerichtet, wie er eine auswährtige Protektion erhalten könnte. Er nahme deshalb seine
Zuflücht zu Sr. Kaiserl. und Königl. Kahtol. Majestät, dessen Erzhaus er und seine Familie immer treu zugetan gewesen
und auch für die Zukunft sein werde. Er sei von Jugend auf an dem türkischen Hof gewesen, kenne dort alle Stats- und
Regierungsformen, wie überhaupt alle Verhältnisse des türkischen Reiches haarklein und könne daher sowohl zur
Befreiung seiners Vaterlands vom türkischen Joch , wie auch im Interesse des Kaisers und dessen Königreich Ungarn
bei den anscheinend beforstehenden türkischen Kriegswirren, sehr fruchtbringende Dienste anbieten, indem er nicht
unwichtige Ratschläge für eine geheime sichere Korrespondenz durch seine geheimen Freunde in Konstantinopol geben
und bei einem Türkenkrieg sich an die Spitze der ihm insgeheim sehr ergebenen Moldauer stellen könne, die er durch
seinen Appel, wie durch den Einsatz seines Gefolges, das aus den vornehmsten Adeligen, Obersten und Offizieren des
Landes besteht, zu einem tapferen Einsatz für die Christenheit und des Kaisers Dienst bringen könne, ohne das dem
Kaiser daraus irgendwelche Unkosten erwechsen. Da er aber sehe, dass ihn die Moskowiter nicht höher als ihre eigenen
natoinalen Fürsten achten, gegen sie keine Stütze und protection hat und so leicht nicht aus diesem Land
herausgekommen wird, indem man sogar in ihm dringt, seine Familie hierher nachkommen zu lassen, die er aber am
liebsten aus Siebenbürgen nach Wien schiecken will, also bittet er, der Kaiser möge ihm gnädigst des Titel eines
Römischen Reichsfürstenstandes zukommen lassen, damit er sich gegen den hiesigen Zwang auf seine Verpflichtung
gegen den Kaiser und das Römische Reich berufen könne und im Falle eines Türkenkrieges als kaiserlicher Vassal zur
Dienstleistung aus diesem Lande herauskommen könnte. Zum Beweiss seiner Treue warne er den Kaiser vor dem
derzeitigen walachischen Fürsten Cantacuseno, dessen ganze Familie es niemals treu mit dem Erzhaus Ősterreich
gemeizt habe und dem Türken jedesmahl alle Pläne und Vorhabe der kaiserlichen Generalität so weit sie davon etwas
erfahren können, zur Schaden der Christenheit verraten». (Aus Haus- Hof- und Staatsarchiv. Abteilung
Reichshofkanzlei: Russland. Fasz. 9 (II). 1715. fol. 40-43).
31
LIMPETS & PERIWINKLES IN CANTABRIAN SPAIN BETWEEN
22,000 AND 15,000 CAL BC: ARCHAEOMALACOLOGICAL
REMAINS AT ALTAMIRA CAVE
Esteban ÁLVAREZ-FERNÁNDEZ, PhD∗
Abstract. Limpets & Periwinkles in Cantabrian Spain between 22,000 and 15,000 Cal BC: Archaeomalacological
remains at Altamira Cave. This paper presents the archaeomalacological study of the excavations at Altamira Cave. It
examines, on one hand, the molluscs found by H. Obermaier’s excavations (1924-1925) and, on the other hand, those
recovered by J. González Echegaray and L. G. Freeman’s research (1908-1981). As well as classifying the two
collections, the NR and MNI are calculated and the superficial alterations, caused by marine organisms (epifauna), humans,
etc. are analysed. The two collections are compared, using the biometrics of the most representative species (Patella vulgata
and Littorina littorea) in the two levels of the deposit (Solutrean and early Magdalenian), and the conclusion is reached that
the archaeomalacological material was collected selectively during the older excavations. Through the biometric analysis of
the P. vulgata specimens from Altamira and other sites in Cantabrian Spain with the same chronology, it can be seen that the
size of the limpets remained very similar in the Solutrean and early Magdalenian. Finally, the existence of coastal and inland
sites with remains of marine molluscs in the two periods is discussed.
Keywords: Magdalenian, Solutrean, Archaeomalacology, Tardiglaciar, Cantabrian Spain.
Introduction
In the Iberian Peninsula, the earliest evidence currently available about marine mollusc
exploitation by hunter-gatherer groups has been found in levels ascribed to the late Mousterian
(Álvarez-Fernández, 2010a; Colonese et al., 2010).
Although some marine molluscs have equally been found at sites in Cantabrian Spain dated
at the end of the Mousterian; both specimens with nutritional value (see the discussion in ÁlvarezFernández, 2005-2006) and also shells probably collected for ornamentation purposes (Arrizabalaga
et al., i.p.), the earliest evidence of their exploitation has been documented at Aurignacian sites,
associated with industries produced by modern humans.
In this region, the small numbers of remains of marine animals in general and molluscs in particular
at the archaeological sites resulted in some researchers underestimating their importance in the diet, and
instead they spoke of “an intensification in marine resources” only after the Last Glacial Maximum (in the
Solutrean), but above all towards the end of the Pleistocene, in the late Magdalenian. In this latter period,
these types of remains have been documented at archaeological sites in much larger numbers (molluscs, sea
urchins, fish, etc.) (Straus, 1992; González Sanz, 1995; cf. Álvarez-Fernández, i.p.).
This view of the exploitation of marine resources in Cantabrian Spain in the Upper
Palaeolithic is a rather simplistic one in our opinion, and now deserves to be questioned. In the first
place, studies made of sites excavated in the last ten years have revealed an abundant presence of
molluscs in the Aurignacian (Level X at El Cuco) and also in the Gravettian (Levels E and F at La
Garma A), when the most commonly consumed species is Patella sp. (Álvarez-Fernández, 2007,
2010b, i.p.). Secondly, several parameters should be taken into account that might explain the
absence or small numbers of molluscs at Cantabrian sites before the LGM: fewer deposits excavated
∗
Dpto. de Prehistoria, Historia Antigua y Arqueología, Facultad de Geografía e Historia, Universidad de Salamanca. C.
Cerrada de Serranos s/n. E-37002. Salamanca, Spain; [email protected].
32
with levels belonging to the Early Upper Palaeolithic (Aurignacian, Gravettian) compared with those
belonging to more recent periods (Magdalenian, etc); their location with respect to the coastline in
prehistoric times (many sites will now be under the sea); not using fine-meshed screens to sieve the
sediments from archaeological sites excavated before the 1960s; the absence of studies about the
taphonomic alterations to archaeofaunal remains; the lack of selection, classification and study by
specialists after the sites had been excavated; etc. These deficiencies in the study of
archaeomalacological remains can be extended to that of other remains of marine origin, such as fish,
crustaceans, echinoderms and marine mammals (Álvarez-Fernández, i.p.; Erdlanson, 2001).
This paper studies the malacological remains recovered in two archaeological excavations at
Altamira Cave, by H. Obermaier in 1924 and 1925, and by J. González Echegaray and L. G.
Freeman in late 1980 and early 1981. The age of these remains can be situated c. 21,500 and c.
15,500 cal BC1. The archaeological materials are stored at Altamira Museum and Research Centre
(Santillana del Mar, Cantabria, Spain).
Altamira Cave: Research History
Altamira Cave is one of the best known prehistoric sites in the world. It is located in the
proximities of the Cantabrian village of Santillana del Mar, near the valley of the River Saja; at 90
m above valley level and about 2km away from it. The cave is at 160m above sea level and some 4
or 5 km away from the present shoreline in a straight line (Fig. 1). Although it is most widelyknown for its cave art (the great ceiling with the polychrome paintings), archaeological excavations
have also been carried out in its vestibule (Fig. 2).
First Excavations at the Site
Altamira Cave was discovered in 1868. M. Sanz de Sautuola explored the cave in 1875, and
carried out excavations in 1876 and 1879 in the area near the entrance (Sanz de Sautuola 1880).
Following this research, E. de Pedraja, E. Sainz, J. Vilanova, R. Taylor Ballota and E. Harlé, among
others, collected artefacts unsystematically. Later, H. Alcalde del Río carried out excavations
between 1902 and 1906, opening a trench of about 30 m2, and identifying two levels he ascribed to
the Magdalenian and the Solutrean (Barandiaran 1972; Breuil and Obermaier 1935; Cartailhac and
Breuil, 1906; Heras et al., 2007; Straus, 1983).
H. Obermaier’s Excavation (1924-1925)
No new research was undertaken at the cave until 1924, when H. Obermaier (from now on,
O Col.), excavated in the vestibule, in the area next to the large modern wall separating the entrance
zone from the chamber with the paintings (Breuil and Obermaier, 1935). They documented two
archaeological levels beneath a level made up of boulders fallen from the roof, covered by a layer of
calcite flowstone that had formed after the final collapse that blocked the cave entrance. The upper
level was attributed to the early Magdalenian and the lower level was classified as Solutrean. The
Magdalenian and Solutrean lithic assemblages were studied by J. González-Echegaray (1971), by L.
G. Straus (1977) and by P. Utrilla (1981). The bone industry, which is characteristic in the upper
level and less representative in the lower one, was studied by I. Barandiaran (1973) and S. Corchón
(1986), while the suspended objects of adornment were researched by E. Álvarez-Fernández (2001,
2006). The Solutrean faunal remains were revised by J. Altuna and by L. G. Straus (1976).
Below these levels, H. Obermaier found a thick layer of fallen limestone boulders, which
they excavated until the boulders did not allow them to go any deeper, and among which they
recovered animal bones and limpets (Breuil and Obermaier, 1935: 178). Later, H. Obermaier
1
The radiocarbon determinations have been calibrated with the CalPal2007_HULU curve; the calculations by using the
CalPal programme (Weninger et al., 2007).
33
pointed out (1929a and b) that they had also encountered a number of Font Robert points, which are
characteristic of the Gravettian and which would suggest the existence of older levels in the cave.
With the materials from these first excavations in the deposit, four samples were dated from the
Magdalenian level: 15,500±700 BP (M-829; charcoal; 17,008±230 cal. BP); 13,900±700 BP (M-828:
shells; 14,786±1008 cal BP) (Almagro, 1970); 14,250±260 BP (Gif.-A-90047; bone; 15,517±320 cal
BP) and 14,480±250 BP (Gif.-A-90057; bone; 15,749±399 cal BP), and one from the Solutrean level:
18,540±320 BP (Gif.-A-90045; bone; 20,223±472 cal BC) (Valladas et al., 1992).
J. González-Echegaray and L. G. Freeman’s Excavation (1980-1981)
The last excavation to be carried out at Altamira was directed by J. González Echegaray,
assisted by L. G. Freeman, F. Bernaldo de Quirós Guidotti and V. Cabrera Valdés (from now on,
G/F Col.), between 30 December 1980 and 9 January 1981. The research was carried out in the
entrance hall, to the north of H. Obermaier’s excavation, and 4m to the southeast of the gate at the
cave entrance. All the excavated sediment was sieved with a 2-3 mm mesh screen. Both the
horizontal and vertical position of the materials was recorded (Freeman 1988; Freeman and
González-Echegaray 2001; González-Echegaray and Freeman, 1996).
The stratigraphy defined by this excavation is:
- Level 1 (5-15 cm thick): fragmented and decomposed travertine. The archaeological
materials were ascribed to the early Magdalenian.
- Level 2: Upper Level 2 (5-35 cm) and Basal Level 2 (10.30 cm). Both sub-levels were
assigned to the early Magdalenian. A charcoal sample gave a radiocarbon date of 15,910±230 BP
(I-12012; charcoal, 17,156±279 cal BP) (González-Echegaray, 1988); while a shell sample was
dated by aspartic acid racemisation (16,076±2455 BP; 17,200±3049 cal BC) (Ortiz et al., 2009).
- Level 3 (25-50 cm): This level is ascribed to the Solutrean (at least in its upper part) owing
to the find of an artefact with bifacial retouch.
Several pits were found dug in the sediment of Level 2, with equally Magdalenian age. Two of
these are quite large in size: Pit B and Pit X. The former had an initial diameter of 2 m (B1) and was later
re-used at a smaller scale (B2) with a diameter of 1m; its depth reached 35 cm. Pit X was smaller. Blocks
were found partially surrounding them, apparently placed by humans. The walls and bottoms of both pits
had been lined with stones. The excavators considered these pits were connected with cooking activities2.
The Magdalenian bone assemblage from this new excavation was studied by V. Cabrera and
M. Jiménez (1991), who provided information about 36 artefacts: assegai points with rectangular
cross-section, punches, fragments of needles and rods.
The lithic assemblage from Level 2 was studied by J. González-Echegaray (1988), who
classified about a hundred implements (thick end-scrapers, dihedral burins, but few backed
bladelets, among others) which roughly agreed with the descriptions given of the materials from H.
Obermaier’s excavation (Breuil and Obermaier, 1935).
Level 2 contained abundant fauna, predominating red deer, and with bison, chamois and horse,
among other species, according to R. Klein’s research (not published in detail). Fish remains were also
recorded (Freeman and González-Echegaray, 2001). Again, the faunal composition is quite similar to
that documented by H. Obermaier (Breuil and Obermaier, 1935; cf. Altuna and Straus, 1981).
Recent Research in the Cave
In 2004 and 2006, the vestibule was generally cleaned up, and the sections that were
conserved of the stratigraphy uncovered by the excavations in the 1980s were re-defined. Eight
archaeological levels were differentiated. The first five coincide with the levels identified by L. G.
Freeman and J. González-Echegaray (Levels 1, upper 2 and lower 2), belonging to the early
Magdalenian. The lower strata (Levels 6 and 7) have provided two radiocarbon determinations
2
However, we have studied the remains from these pits together (Level 2 pits) as very rarely is it specified which pit
they corresponded to (Álvarez-Fernández, 2009).
34
(17,200±70 BP and 19,630±80 BP; 18,706±284 and 21,473±337, respectively) and are ascribed to
the Solutrean. The final layer (Level 8) represents the base of the sequence and is situated just
above the large blocks seen in the earlier excavations in other parts of the cave, and has given dates
that situate it in the Gravettian (Heras et al., 2007).
Methodology of the Research on the Archaeomalacological Remains
All the archaeological material from the levels belonging to the early Magdalenian and
Solutrean from Obermaier’s excavations in 1924-1925 (Levels “Magdalenian” and “Solutrean”) and
González Echegaray and Freeman’s excavations in 1980-81 (Levels 1, 2 and 3) have been studied,
except those with no stratigraphic references.
The methodology used to analyse the malacological remains from Altamira has already been
described in detail in other publications (Álvarez-Fernández, 2007, 2009, 2010b, i. p.), but followed
the approaches of Moreno (1994) and Dupont (2006). For most gastropod species, the apices and
umbilical areas were counted, and the larger value used as the minimum number of individuals
(MNI). For limpet species, apices and whole basal rings were counted, and the larger value used as
MNI. The calculation of the MNI of the bivalves and scaphopods has not caused any difficulties,
owing to the small number of remains and species. Nomenclature follows CLEMAM3. Our own
referential collection was used to determine the different species.
Because of the remains of precipitated calcium carbonate on some shells, and the
decalcification of others, the shells were not quantified by weight. The first effect would increase
the weight of the shells and the second would reduce it.
To study potential changes in size and shape caused by climate or selective gathering,
biometric data were collected for the most common species in the assemblage, to the nearest 0.1
mm. For most of the common gastropods, maximum height was measured; for limpet species,
maximum diameter. The data obtained, both quantitative and qualitative, has been used to generate
descriptive statistics, with the Kolmogorov-Smirnov test.
In addition, the epifauna has been identified, different fragmentation indices have been applied
according to the species that have been found, and anthropic modifications have been studied.
The Archaeomalacological Composition at Altamira
The first malacological research undertaken in Cantabrian Spain was precisely that of H. Fischer who
studied the specimens found at Altamira Cave since its discovery. He identified Patella vulgata, Littorina
obtusata, Littorina littorea and gave the name of P. vulgata var. Sautuolae to the large P. vulgata specimens
(up to 63 mm in diameter and 25 mm in height) (Harlé, 1908: 301; Sanz de Sautuola, 1880). From Sanz de
Sautuola’s research (1875-1880) we identified a fragment of a Pecten sp. valve (Álvarez-Fernández, 2001).
Between 1904 and 1906, H. Alcalde del Río gathered “patellas, litorinas and some rare
pectens” among the fallen boulders between the vestibule and Gallery B (Zone IV) (Alcalde del
Río, 1906: 30; Cartailhac and Breuil, 1906: 259). In our revision of the material we classified a
specimen of the species Nassarius reticulatus made into a pendant, ascribed to the Solutrean
(Álvarez-Fernández, 2001; 2006). Also in the first decade of the 20th century, L. Sierra collected
some remains of the species P. vulgata var. Sautuolae and L. littorea (Sierra, 1909).
The Mollusc Collection from Obermaier’s Excavations
The presence of P. vulgata has been cited in the “Solutrean” level. Some of these contained remains of
pigment in different shades of colour. L. littorea specimens were also recorded. In the “Magdalenian” level, in
addition to these two species, specimens of Buccinum sp. and Pecten sp. were cited (Breuil and Obermaier
3
Check List of European Marine Mollusca, Muséum National d´Histoire Naturelle, Paris: http://www.somali.asso.fr/clemam.
35
1935). These archaeological materials were later revised by J. Altuna and L. G. Straus (1976) who counted
grosso modo, some 35 specimens of L. littorea and 300 of P. vulgate (Figs. 3 and 4).
In our study of the archaeomalacological remains from these excavations (Table 1) we have classified
438 remains, belonging to 413 individuals, recovered from the “Solutrean” level (Figures 2 and 3). Patella sp.
specimens predominate (c. 82%), followed by L. littorea (c. 18%). With all certainty, almost all these limpet
remains belong to the species P. vulgata, apart from one specimen that is clearly Patella ulyssiponensis. In
addition to these species, we have also documented a Littorina obtusata specimen.
From the “Magdalenian” level we have classified 659 remains, belonging to 577 individuals.
Specimens of Patella sp. predominate (c. 73%) possibly all belonging to the species P. vulgata. The
species L. littorea is represented with a percentage of nearly 26.5%. In addition, one specimen each
has been identified of the species Nucella lapillus, Charonia rubicunda and Cerastoderma edule.
Apart from these remains found in the excavations carried out in the cave vestibule in the 1920s,
three valves of Pecten sp. were located beneath limestone boulders covered with calcium carbonate, in a
transversal fissure in the Gallery between Halls IV and V (between the vestibule and Gallery B) (Breuil
and Obermaier, 1935: 194, fig. 177). In our revision we have studied two of the three valves found
during the old excavations. They are the flat (right) valves of the Atlantic species Pecten maximus, made
into pendants with perforations through their umbos (Álvarez-Fernández, 2001, 2006).
The Mollusc Collection from J. González Echegaray and L. G. Freeman’s Excavation
J. González-Echegaray and L. G. Freeman (1996) cite “thousands of whole or fragmented
limpets of different sizes (P. vulgata var. Sautuolae) as well as rarer specimens of P. depresa,
abundant and often large periwinkles (L. littorea) and some “Trivia, possibly used as adornments”.
The NR we have studied from the excavations carried out at Altamira in the early 1980s amounts
to 7,976, which corresponds to a MNI of 5,234. All these come from a clear stratigraphic context. In
addition, another 395 remains have no defined stratigraphic provenance. Limpets and periwinkles make up
nearly 100% of the molluscs recovered from the different levels and sub-levels in the deposit (Table 1).
In Level 3, possibly ascribed to the Solutrean, Patella sp. (c. 82%) predominates over L.
littorea. Possibly all the limpets belong to the species P. vulgata. Apart from these species, a single
specimen of L. obtusata has been identified. The NR is 518 and the MNI is calculated as 323.
In the different sub-levels into which Level 2 has been divided (upper, basal and pits) and Level 1,
all ascribed to the early Magdalenian, Patella sp. always predominates, with percentages oscillating
between c. 67% in Level 2 pits and 81% in Level 1 (Álvarez-Fernández, 2008). The L. littorea
percentages vary between 18.9% in Level 1 and 31.5% in Level 2 pits. The presence of the remains of
other molluscs in the levels ascribed to the Magdalenian is very scarce and almost all these remains belong
to species with no nutritional value. Thus, specimens have been classified of the gastropods L. obtusata, N.
incrasatus, Trivia sp., T. haemastoma, N. lapillus, S. saburon, and of the scaphopod Antalis sp.
Finally, from the remains with no defined stratigraphic provenance, specimens have been
identified of P. vulgata (NR: 175; MNI: 163) of Patella sp. (NR: 129; MNI: 77) and L. littorea
(NR: 90; MNI: 76), as well as a single example of the species L. obtusata.
In addition to the archaeological material held at Altamira Museum and Research Centre, from
the excavations in the 1920s, L. G. Straus (1996: 202-203) cites the presence of certain material (one
Patella sp. specimen and two L. littorea) at the Peabody Museum at Harvard University, USA. No
information is available about the period to which these remains might belong.
Alterations Affecting the Archaeomalacological Material
The conservation of the archaeomalacological material in the two collections from Altamira
is not too good (Table 2).
In the first place we can mention the alterations caused to shells by marine organisms
(epifauna) before they were gathered by human groups on the coast. Thus, a few specimens of acorn
barnacles (Balanus sp.) have been identified on the surface of Patella sp. shells in the O Col.
36
(Magdalenian) and the G/F Col. (both periods) (Fig. 5 left). The presence of the calcareous
Serpulidae tubes has only been documented in the Magdalenian level of the old excavations, and
only on two P. vulgata specimens. Evidence of perforations caused by worms of the Polydora
genus can be seen in all archaeological levels of both collections, both in limpets and periwinkles,
with somewhat higher percentages in the O Col., but they never reach 6% of the total (Fig. 5 right).
Holes produced by perforating molluscs (of the Nucella lapillus type) have also been
recorded. These gastropods perforate shells with their radula, leaving circular holes. Few shells have
been found with these alterations. They are normally small shallow circular depressions in the shells,
and have been identified above all on the surface of limpets, but also on the periwinkles. The only level
without these modifications is the Solutrean level in the G/F Col. In contrast, the highest percentage,
although it is less than 6%, is found in the Solutrean level of the O Col. In addition, in one L. littorea
specimen and one N. lapillus specimen from Level 2 of the G/F Col., the perforations have gone
through the full thickness of the shells. These were made while the gastropods were still alive.
Finally, we must mention that some of the specimens with no bromatological value (the L. obtusata
shell from the Solutrean level in the O Col., the specimens of N. lapillus, N. reticulatus and L. fabalis, and
one of the five specimens of L. obtusata from Level 2 of the recent excavations) have evidence of marine
erosion on the surface of the shells, indicating they were gathered on the beach, after the animal had died.
Other types of alterations occurred after the molluscs had been gathered on the shore
Some of these modifications were caused by the human groups. In the first place we must
note the presence of ochre in L. littorea and Patella sp. shells, from both the old and the recent
excavations. Remains of ochre have only been seen inside Patella sp. shells, found in all the levels,
except Level 3 of the new excavations. In both collections, the most common pigment is red, but
examples with yellow ochre have also been recorded. Patella sp. specimens with remains of ochre
on their outside have been found in all the levels. Fewer than ten L. littorea specimens with red
pigment have been found, only in the Magdalenian levels of both collections.
Only one shell transformed into a pendant has been identified, from the G/F Col. It is a N. lapillus
specimen from Level 2, with an anthropic perforation at the base of the shells made by abrasion. It is oval
in shape with a maximum diameter of 4.3 mm. It has been examined with a binocular magnifying-glass,
but no signs of wear caused by its use could be seen around its edge. Another object that might have been
a suspended object of adornment is the Antalis sp. specimen from the same level. Unfortunately, its poor
state of conservation has made it impossible to detect any sign of human manipulation.
Finally, we must mention that part of the archaeomalacological material has been altered by
fire. This has affected all the levels, except Level 1 in the new excavation. It affects both Patella sp.
and L. littorea specimens in the O Col. and G/F Col., as well as specimens of S. saburon, Littorina
sp. and two N. lapillus, from Level 2 of the new excavations. The percentage of burnt remains is
much higher in the old excavations.
Other types of taphonomic alterations occurred after the shells became buried in the
sediment
All the specimens, from both the old and the new excavations display remains of
precipitated calcium carbonate on their surface, due to the filtration of rain water. This affects
individual specimens and also groups of them. Thus, masses of calcited shells have been found
together with other kinds of archaeological materials (bones, etc). In the case of the limpets, the calcite
growth has made it impossible to identify many of the remains at species level (Fig. 6 left). Equally,
nearly all the specimens have been affected by decalcification. Their surfaces are corroded, powdery
and whitish, probably as a result of a reaction to the conditions in which the shells have been buried.
A large part of the archaeological material has been deformed by the pressure of the
sediment. This has affected above all the Patella sp. specimens in all the archaeological levels, in
37
both the old and the new excavations. This might indicate ponding in the deposit, which could have
produced plastic properties in the case of some malacological remains (Fig. 6 right).
Finally, we must note that a large part of the archaeological material has been affected by
fragmentation, probably caused by different agents (anthropic, sedimentary, etc) (ÁlvarezFernández, 2007) (Table 3).
If we apply the fragmentation index (NR/MNI)/100 to the Patella sp. and L. littorea
specimens, taking into account that 0.0100 would indicate no fragmentation, we can see that the
remains in the G/F Col. are much more highly fragmented than those in the O Col. This is because
in the old excavations only the more whole specimens were conserved, in contrast with the modern
excavation, when all the remains were saved. In the G/F Collection, the fragmentation index is
similar in the Solutrean and Magdalenian levels, where as the index for L. littorea is higher in the
older level. This interpretation is emphasised if the fragmentation index (NR/NWI/100) is applied;
thus we can see that there are more whole shells of both species in the O Col. In the G/F Col., there
is a greater presence of whole individuals in the Magdalenian levels than in the Solutrean.
Biometrics of the Species Patella vulgata and Littorina littorea
By using the biometrics of the gastropods from Altamira we have attempted to determine,
on the one hand, whether the specimens were intentionally selected according to their size by either
the hunter-gatherer groups or the researchers who excavated the deposit. On the other hand, it
should help us to see any possible differences between the sizes of the animals that were gathered in
the two periods: Solutrean and early Magdalenian.
As Figure 6 shows, the first aspect to be noted is the practical absence of P. vulgata specimens
smaller than 30 mm during both the Solutrean and the early Magdalenian in the O Col. as well as the
G/F Col., which shows that the hunter-gatherer groups were selecting the largest animals.
There is less information about L. littorea, as the samples are smaller (only the Magdalenian
G/F Col. has over 100 measurable individuals). Even so, again an absence of specimens smaller
than 20 mm can be seen in the old and new collections.
Owing to the smaller numbers in the samples of both collections, little can be said about the
biometrics of the limpets and periwinkles in the Solutrean. Thus, for P. vulgata, 52.52% of the
specimens in the O Col. are between 40 and 50 mm in size, whereas in the G/F Col. the percentage
is 57.14%. However, specimens smaller than 40 mm are better represented in the recent collection
than in the old one (32.14% compared with 10.11%). In contrast, specimens larger than 50 mm are
more abundant in the old collection (16.34% compared with 10.71%). For L. littorea, there is scarce
data from the G/F Col. (n = 47), where 74.46% have a height of between 25 and 35 mm.
The Magdalenian collections have given more results. The most numerous P. vulgata
specimens in the B/O Col. have a maximum diameter between 50-60 mm (32.81%). This is nearly
10 mm greater than in the case of the modern excavation, where it is known that all the
archaeomalacological material was saved. In the G/F Col., the largest specimens are in the 40-50
mm range (67.27%). This indicates that in the old excavations they intentionally selected the largest
Patella vulgata specimens, as can be clearly seen in Fig. 7.
In the case of the L. littorea specimens, no differences can be seen between the old and modern
collections in the Magdalenian. In both cases, the shells between 25 and 35 mm in height are the most
abundant (85.33% in B/O and 79.62% in G/F). In the specimens recovered by the modern excavation it
can be seen that the hunter-gatherer groups intentionally selected the larger animals, above all those
between 25 and 30 mm in height. Shells smaller than 20 mm make up only 1.23% of the total collection.
The available data for the Solutrean is, however, only representative in the case of the old collection.
Here the periwinkles between 25 and 35 mm in height make up 74.46% of the total.
As it was only in the modern excavation that all the archaeomalacological material was saved,
we have only carried out the statistical biometric analysis for this collection. In the case of P. vulgata,
the mean of the maximum diameter is similar in all the levels of the deposit (45.03 mm for Levels 1
38
and 2 and 43.25 mm in Level 3). In the same way, the L. littorea shells have a similar mean maximum
height in all the levels (28.76 mm for Levels 1 and 2 and 28.8 for Level 3) (Table 4).
The Kolmogorov-Smirnov test4 has been applied to the maximum diameter of the P. vulgata
specimens in the early Magdalenian and Solutrean levels. This has shown that the distributions of the samples
are significantly different (D = 0.194; p = 0.029; alpha = 0.05). However, it has not been possible to apply this
test to L. littorea (maximum height) as the number of specimens in the Solutrean is too small (n = 11).
Discussion
The study of the two mollusc collections from Altamira allows us to approach the role
played by marine molluscs among hunter-gatherer groups in the Glacial Maximum. The large
number of shells (over 8000) recovered in the recent excavations, found in an area of some 5m2, is
an indication of the intense gathering of food on the coast.
Almost all the remains existing in the two collections (Obermaier Col. and González
Echegaray/Freeman Col.) possess dietary interest. The malacological composition is similar in the
Solutrean. The limpets are the most abundant molluscs and predominate with a percentage of over
80%; they are followed by the periwinkles, which do not amount to 18%. In the case of the
Magdalenian levels, the percentages are again similar, with limpets predominating (O Col.: 72.81%;
G/F: 75.11%) over periwinkles (O Col.: 26.68%; G/F Col.: 24.39%). Most of the limpets must
belong to the species P. vulgata, which lives on a rocky substrate in areas that are not too wavebeaten. At the present time, this species may also be found in the interior of estuaries and rivermouths. L. littorea would have been gathered on the same type of substrate and in the same areas.
Only small numbers of other species have been documented in the two collections and in the
two periods. They are nearly all gastropods with no bromatological value (L. obtusata, L. fabalis, N.
incrasatus, Trivia sp., T. haemastoma, N. lapillus, S. saburon) which are usually found made into
shell beads at sites in Cantabrian Spain (Álvarez Fernández, 2006), so they may be considered the
raw material transported to the cave for the manufacture of pendants. The surface of some of these
shells displays signs of the abrasion caused by waves and sand, indicating that they were gathered
after the animal had died (probably on beaches).
The shells in the G/F Col. are badly altered, particularly by precipitated calcium carbonate
and decalcification, as well as fragmentation caused by trampling and the pressure of the sediment
in which they were found. Other modifications to these malacological remains only occur in low
percentages. The most important is the percentage of shells with signs of fire (over 16%), among
the remains in the pits, that were interpreted by the excavators as places connected with cooking
activities. Other alterations are the deformation of the shells by the pressure of sediment and the
presence of ochre on both the inside and the outside of some specimens, especially of P. vulgata.
The use of large shells as containers of ochre has been recorded at other sites, such as Las Caldas
(middle Magdalenian), although in this case the right (convex) shells of another species, Pecten
maximus, were used (Álvarez-Fernández n/d). The O Col. provides evidence of similar alterations.
Few shell beads have been identified. They have been found in Level 2 of the G/F Col., where a
perforated specimen of N. lapillus has been documented in the first of those layers. An Antalis sp. tube
from the same level may have been used in the same way, but the poor conservation of its surface makes it
impossible to be more precise about its use. These two species seen at Altamira are found at other sites in
Cantabrian Spain during the Magdalenian. Thus, shell beads made from N. lapillus shells are know at Las
Caldas and Cueto de la Mina, and from Antalis sp., at El Juyo and El Mirón (Álvarez-Fernández, 2006).
Finally, we must mention that the surfaces of the shells in both collections display evidence
of epifauna: calcareous remains of sessile barnacles and worms of the Polydora genus. The latter
indicate that at least a part of the P. vulgata and L. littorea specimens in all levels of the deposit
were gathered in coastal areas protected from wave action.
4
We have evaluated the size of the samples with this non-parametric test, as the variables are not distributed normally.
39
The similarity in the faunal composition and alterations to the archaeological material in the old
and modern collections is in contrast with the biometric information that has been obtained. In the case
of the P. vulgata specimens it can be seen that the excavators selected the largest and most complete
shells. This is seen in the Solutrean collections, but above all in the Magdalenian ones. In the case of L.
littorea there are no significant differences between the old and modern collections. What can be seen is
that the hunter-gatherer groups selected large individuals of both gastropods. Thus, few specimens have
been found of P. vulgata smaller than 35 mm in diameter and of L. littorea less than 20 mm in height.
We have only performed statistical tests on the recent P. vulgata collections. Significant
differences have been identified between the middle Magdalenian and the Solutrean specimens.
There is not enough information available about the exploitation of marine molluscs in
Cantabrian Spain in the Solutrean and Magdalenian to be able to make objective comparisons with
the data from Altamira (Fig. 8). Patella sp. (cf. P. vulgata) and L. littorea are the most commonly
consumed species in both periods.
Regarding the Solutrean period, little information is available for other sites. Only La Riera
(Levels 17 to 2) has yielded a significant sample (MNI = 5511) (Ortea, 1986; Bailey and Craighead,
2004; cf. Álvarez-Fernández, 2006, 2010b, i.p.). Here the species P. vulgata predominates with a
percentage of nearly 99%. Very small numbers of specimens have been found in Level III at El
Ruso I and at Chufín (MNI = 24 and 10, respectively); the same species predominates again at these
sites (Álvarez Fernández and Fernández García, i.p.).
Information about the exploitation of molluscs in the early Magdalenian is not too abundant,
largely because few archaeological deposits of that age have been excavated since the 1970s. It
comes from the research carried out at the caves of El Juyo (Levels 4-9) (n = 13,556) (Madariaga
and Fernández, 1987), La Riera (Levels 18-20) (n = 541) (Ortea 1986; Bailey and Craighead, 2004;
cf. Álvarez-Fernández, 2006), and Erralla (Level V) (n = 143) (Altuna, 1985). At all three sites,
species gathered on hard substrates predominate, with percentages of over 97%. P. vulgata is still
the most common species, with percentages between c. 71% at El Juyo and c. 89% at La Riera. The
frequencies of L. littorea are much more significant than in the Solutrean, varying between c. 9.5%
at La Riera and c. 29% at El Juyo. This data is quite similar to the results from J. GonzálezEchegaray and L. G. Freeman’s excavations at Altamira.
The information available about the biometrics of marine molluscs found at Cantabrian sites
of the same age as Altamira is equally limited. Regarding P. vulgata, in both the Solutrean and the
early Magdalenian, the mean diameters of specimens in Levels 1,2 and 3 hardly differ from those
found at other sites of the same chronology (maximum of 5 mm in the Magdalenian), which
contrasts for example with the sizes obtained for Late Glacial specimens (from the late Magdalenian
and Azilian) with some 10 mm of mean difference. Even less data is available for Littorina littorea.
The sizes in the different layers of Levels 1 and 2 at Altamira (means: 28.81 and 28.76 mm) do not
differ from those obtained for Levels 4, 6, 7 and 8 at El Juyo (between 27.57 and 29.59 mm)
(Álvarez-Fernández, 2009, 2010b, i.p.) (Fig. 9).
The presence of large accumulations of molluscs in the Solutrean and early Magdalenian at
Altamira (recent excavations) and the early Magdalenian at El Juyo; sites dated between 21, 500
and 15,500 cal BC and situated some 15km from the coast line in both periods, is an indication of
their importance in the diet of hunter-gatherer groups in inland areas. Thus, these groups gathered
this food source on the coast and carried it to the cave where it was processed. This distance is
greater than that travelled by modern hunter-gatherer groups in search of food (between 5 and 10
km) (Bigalke, 1973; Meehan 1982). This enormous amount of shells contrasts, however, with the
practical absence of this kind of remains at other inland sites of the same age, such as Chufín in the
Solutrean, and Levels X – XIII at Las Caldas, Levels 3, 4 and 5 at El Rascaño or Level V at Erralla,
in the early Magdalenian (Álvarez-Fernández, 2009, 2010b, i.p.).
Nevertheless, the absence of remains does not imply that these molluscs were not consumed.
For example, perhaps the human groups processed the food on the coast, left the shells there and later
transported the food to the site. In their trips to the coast, the hunter-gatherer groups who occupied
Altamira Cave in the Magdalenian must have gathered other types of marine animals, as well as
40
molluscs. Thus, we have documented evidence of the crabs Carcinus maenas (NR: 2; MNI: 1) and
Xantho sp. (NR: 2; MNI: 1), in basal Level 2. These may have been collected by the occupants of the
cave in the same area of the shore where they gathered the limpets and periwinkles.
In order to test this hypothesis it will be necessary to study the other kinds of marine fauna
(fish, mammals, etc) at the site, as well as other aspects of research (provenance of lithic raw
materials, etc), in addition to similar research currently being undertaken at other sites in Cantabrian
Spain (Las Caldas, La Garma A, etc).
Acknowledgements
We would like to thank the staff at Altamira Museum and Research Centre (Spanish Ministry of
Culture), especially Carmen de las Heras, for their assistance with the study of the archaeological
material from the cave, and the authorization granted for the photographs accompanying this
publication. We are also grateful to Dr Adriana Chauvin and Dr Yves Gruet for her comments which
made its final version possible and to Eduardo Palacio and L. Teira for their help with the figures.
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44
ALTAMIRA. OBERMAIER´S EXCAVATIONS
Solutrean level
Magdalenian Level
NR
%NR
NMI
%NMI
NR
%NR
NMI
%NMI
330
75,35%
323
78,20%
472
71,62%
410
71,05%
1
0,22%
1
0,24%
Patella sp.
32
7,31%
14
3,40%
27
4,11%
10
1,76%
Littorina littorea
74
16,90%
74
17,92%
157
23,82%
154
26,68%
1
0,22%
1
0,24%
Nucella lapillus
1
0,15%
1
0,17%
Charonia rubicunda
1
0,15%
1
0,17%
1
0,15%
1
0,17%
659
100%
577
100%
Patella vulgata
Patella ulyssiponensis
Littorina obtusata
Cerastoderma edule
TOTAL
438
100%
413
100%
ALTAMIRA. GONZÁLEZ ECHEGARAY & FREEMAN´S EXCAVATIONS
Solutrean? (Level 3)
Magdalenian (Levels 1+2)
NR
%NR
NMI
%NMI
NR
%NR
NMI
%NMI
Patella vulgata
240
46,35%
212
65,65%
2799
37,55%
2356
47,97%
Patella sp.
164
31,65%
53
16,40%
2855
38,30%
1333
27,14%
Littorina littorea
113
21,80%
57
17,65%
1777
23,84%
1197
24,39%
1
0,20%
1
0,30%
10
0,13%
10
0,20%
Littorina fabalis
1
0,01%
1
0,02%
Littorina sp.
2
0,02%
1
0,02%
Nassarius incrassatus
1
0,01%
1
0,02%
Trivia sp.
1
0,01%
1
0,02%
Thais haemastoma
2
0,02%
2
0,04%
Nucella lapillus
5
0,06%
5
0,10%
Semicasis saburon
1
0,01%
1
0,02%
Fam. Mytilidae
1
0,01%
1
0,02%
Antalis sp.
1
0,01%
1
0,02%
2
0,02%
1
0,02%
7458
100%
4911
100%
Littorina obtusata
Mol. no ident.
TOTAL
518
100%
323
100%
Table 1. Abundance of taxa in the archaeological levels at Altamira. Top, H. Obermaier’s
excavations 1924-1925); below. J. González Echegaray and L. G. Freeman’s excavation (1980-81).
45
OBERMAIER
SOL.
(n=438)
GONZÁLEZ/FREEMAN
Balanus sp.
0%
MAG.
(n=659)
0,45%
Serpulidae
0%
Polydora sp.
0,19%
1+2
(n=7458)
0,30%
0,30%
0%
0%
3,42%
5,46%
0,19%
0,42%
Perforating gastropods
5,93%
3,49%
0%
2,01%
Marine erosion
0,22%
0%
0%
0,04%
External ochre
2,51%
0,75%
0,19%
0,54%
Internal ochre
4,56%
0,30%
0%
0,16%
0%
0%
0%
0,02%
18,03%
22,45%
0,96%
7,97%
100%
100%
100%
100%
98,17%
97,57%
100%
100%
1,14%
0,15%
0,38%
2,92%
Pendants
Fire
Calcite
Decalcification
Deformation by pressure
3
(n=518)
Table 2. Alterations in the Altamira´s shells.
Patella sp.
L. littorea
(NR/NMI)/100
OBERMAIER
GONZALEZ/FREEMAN
Solutrense
Magdaleniense
Nivel 3
Niveles 1+2
0.0107
0.0118
0.0152
0.0153
0.0100
0.0101
0.0198
0.0148
Patella sp.
L. littorea
(NR/NICom)/100
OBERMAIER
GONZALEZ/FREEMAN
Solutrense
Magdaleniense
Nivel 3
Niveles 1+2
0.0155
0.0166
0.0553
0.0454
0.0160
0.0218
0.1130
0.0653
Table 3. Fragmentation indices for Patella sp and Littorina littorea found in the different levels of
the excavations carried out at Altamira. Top: (Number of remains/Minimum number of
individuals)/100; below: (Number of remains/Number of whole individuals)/ 100.
Patella vulgata (max. Diameter)
Nivel
1
2
3
n
x
med.
mod.
var.
st. d.
min.
max.
rango
235
1145
56
44.88
45.07
43.25
44.83
44.76
42.52
48.14
41.56
38.00
25.82
27.06
42.88
5.08
5.20
6.54
35.08
29.10
21.27
60.88
64.88
65.01
25.80
35.78
43.74
Littorina littorea (max. Height)
Nivel
1
2
3
n
x
med.
mod.
var.
st. d.
min.
max.
rango
31
284
11
28.81
28.76
28.08
28.98
28.68
28.24
27.39
26.15
30.11
5.73
14.46
26.42
2.39
3.80
5.14
23.63
18.83
17.75
32.58
37.90
38.54
8.95
19.07
20.79
Table 4. Table of statistical values for the Patella vulgata and Littorina littorea specimens in the different levels at
Altamira (J. González Echegaray and L. G. Freeman’s excavation). Descriptive statistical values of the sample
size – n; the mean size in AM – x; the median - med.; the mode - mod.; the variance - var.; the standard deviation st.d.; the minimum - min.; and maximum - max.; measured and the range in which the values vary.
46
Fig. 1. Location of Altamira Cave (Figure by L. Teira).
Fig. 2. Plan of the Vestibule of Altamira (after Heras et al., 2007). 1. Location of the different
Excavations; 2. Location of the Great Ceiling with the Polychrome paintings (after Heras et al. 2007).
47
Fig. 3. Patella vulgata specimens from the Solutrean level at Altamira
(H. Obermaier´s excavations).
Fig. 4. Littorina littorea specimens from the Solutrean level at Altamira
(H. Obermaier´s excavations).
48
Fig. 5. Left: Altamira. Level 2. Specimen of Patella vulgata with sessile barnacles on its surface.
Right: Altamira. Magdalenian. H. Obermaier’s excavations. Patella vulgata with perforations
caused by worms of the Polydora genus.
Fig. 6. Altamira. Level 2. González Echegaray and Freeman’s excavation. Left: calcited Patella sp.
Specimens. Right: Patella vulgata specimen modified by the pressure of the sediment.
49
Fig. 7. Distribution of frequencies according to size (mm) of Patella vulgata at Altamira. Upper
charts: Solutrean; Lower charts: Magdalenian.
50
Fig. 8. Solutrean and Magdalenian sites with evidence of marine shells data.
Fig. 9. Mean (mm) and standard deviations of Patella vulgata diameters at Solutrean and early
Magdalenian sites in Cantabrian Spain. SOLUTREAN: Altamira 3 (n = 56), La Riera 3-17) (n =
1,253); EARLY MAGDALENIAN: Altamira 2 (n = 1,145) and 1 (n = 313); El Juyo 4 (n = 597), 6
(n = 471), 7 (n = 127) and 8 (n = 116); and Erralla V (n = 47).
51
STARČEVO-CRIŞ CULTURE IN ROMANIA:
ASPECTS OF TECHNOLOGY OF SKELETAL MATERIALS
Corneliu BELDIMAN, Lecturer PhD∗
Diana-Maria SZTANCS, PhD Student∗∗
Abstract. Starčevo-Criş Culture in Romania: Aspects of technology of skeletal materials. The paper presents the results
of analysis of an assemblage of 653 artefacts discovered in 45 sites of the Starčevo-Criş culture from Romania. The pieces are
manufactured on diverse animal skeletal materials and belong to various types. This is a opportunity to analyse better the
technological choices and to define some specific economic activities illustrated by the worked skeletal materials related to
the first settled communities in the Northern Lower Danube regions.
Keywords: artefacts from skeletal materials, Prehistory, Romania, Starčevo-Criş culture, technology.
Introduction. The systematic research of the Early Neolithic sites from Romania (Starčevo-Criş
culture) started in the first decade after the Second World War. There is a large bibliography from which
we cite only some titles (Andreescu & Mirea 2008; Biagi, Shennan, Spataro 2005; Ciută 2005; Ciută
2009; Diaconescu, Luca, El Susi, Dumitrescu-Chioar 2009; Lazarovici 1984; Lazarovici 1996;
Lazarovici 2005; Lazarovici & Maxim, 1995; Luca 1999; Luca 2006a; Luca 2006b; Luca, Diaconescu,
Georgescu, Suciu 2007; Luca, Diaconescu, Georgescu, Suciu 2009; Luca, Diaconescu, Suciu 2006;
Luca, Diaconescu, Suciu 2008a; Luca, Diaconescu, Suciu 2008b; Luca, Roman, Diaconescu, Orlandea,
Suciu, Beldiman 2004; Luca, Roman, Diaconescu, Ciugudean, El Susi, Beldiman 2005; Luca & Suciu
2008a; Luca & Suciu 2008b; Mantu 2008; Maxim 1999; Nica 1977; Nica 1995; Paul 1989; Paul 1995;
Vlassa 1966; Vlassa 1976; Vlassa 1978).
Despite the large amount of bone and antler artefacts discovered since then, these were only
recently studied entirely and in a unitary manner (Allain, Averbouh, Barge-Mahieu, Beldiman et al.
1993; Beldiman 2000a; Beldiman 2000b; Beldiman 2001; Beldiman 2002; Beldiman 2003;
Beldiman 2004a; Beldiman 2004b; Beldiman 2007; Beldiman Camps-Fabrer, Nandris 1993;
Beldiman & Sztancs 2004; Beldiman & Sztancs 2005a; Beldiman & Sztancs 2005b; Beldiman &
Sztancs 2007; Beldiman & Sztancs 2008; Beldiman & Sztancs 2009a; Beldiman & Sztancs 2009b;
Nica & Beldiman 1997; Nica & Beldiman 1998; Popuşoi 1982; Popuşoi & Beldiman 1999; Popuşoi
& Beldiman 2002; Sztancs 2010; Sztancs & Beldiman 2004).
Recent discoveries from some important sites have a significant importance. Such examples
are: Cerişor – “Cauce Cave”, Hunedoara County; Măgura, Teleorman County; Miercurea Sibiului –
“Petriş”, Sibiu County; Şeuşa – “La Cărarea Morii”, village Ciugud, town Alba Iulia, Alba County
(Andreescu & Mirea 2008; Beldiman & Sztancs 2004; Beldiman & Sztancs 2005a; Beldiman &
Sztancs 2005b; Beldiman & Sztancs 2007; Beldiman & Sztancs 2008; Beldiman & Sztancs 2009a;
∗
“Dimitrie Cantemir” Christian University, Faculty of History, 176 Splaiul Unirii, Sector 4 040042 Bucharest 53,
Romania; e-mail: [email protected].
∗∗
“Lucian Blaga” University, Sibiu, Romania, Doctoral Program; e-mail: [email protected].
52
Beldiman & Sztancs 2009b; Biagi, Shennan, Spataro 2005; Ciută 2005; Ciută 2009; Diaconescu,
Luca, El Susi, Dumitrescu-Chioar 2009; Luca, Diaconescu, Georgescu, Suciu 2007; Luca,
Diaconescu, Georgescu, Suciu 2009; Luca, Diaconescu, Suciu 2006; Luca, Diaconescu, Suciu
2008a; Luca, Diaconescu, Suciu 2008b; Luca, Roman, Diaconescu, Orlandea, Suciu, Beldiman
2004; Luca, Roman, Diaconescu, Ciugudean, El Susi, Beldiman 2005; Luca & Suciu 2008a; Luca
& Suciu 2008b; Sztancs, 2010; Sztancs & Beldiman 2004).
The detailed study of these artefacts (the typology, the technological analysis – the
“manufacturing chain”, the wear traces, the hypothesis regarding functionality) go a long way
towards the technological research regarding the Starčevo-Criş communities (Beldiman 2007).
The synthetic approach of the study takes into consideration different aspects: the repertoire,
the typology, the dimensions, the technical study (the phases of the “manufacturing chain” and the
phases of use: débitage, the manufacture/façonnage phase, the perforation, the hafting, the
way/ways of use, the abandonment conditions).
The artefacts dated from the earlier phases of the Starčevo-Criş culture (IB – IIA) present a
special interest because they are the first tools belonging to the oldest communities of farmers
which spread in the Northern part of the Lower Danube. Our approach compares the two
chronological-cultural phases of the Starčevo-Criş culture (the sub phases I B – II A, the phases II –
IV) because it allows us to eventually establish the traditions and the elements of progress (the
inventions, the innovations and the foreign influences).
A part of the materials was discovered in complexes such as subterranean dwellings (pit
houses), houses, and pits. Another part was discovered outside complexes in the cultural level. At
Miercurea Sibiului – “Petriş”, a large part of the artefacts belonging to the bone and antler industry
was discovered in archaeological complexes such as a pit house (B 6) and a pit (G 26). The
typological associations in the complexes illustrate the specific context of manufacturing, the usage,
the storage and the abandonment: types present in the inventory of the pit house (B 1): I A9 + I C4;
types present in the inventory of the pit house (B 4): I F10 + I B1; types present in the inventory of
the pit house (B 10): I A15 + I B1) etc.; types present in the inventory of the pit house (B 19): I A7 + I
A9 (Beldiman & Sztancs 2004; Beldiman & Sztancs 2005a; Beldiman & Sztancs 2005b; Beldiman &
Sztancs 2007; Beldiman & Sztancs 2008; Beldiman & Sztancs 2009a; Beldiman & Sztancs 2009b;
Biagi, Shennan, Spataro 2005; Diaconescu, Luca, El Susi, Dumitrescu-Chioar 2009; Luca, Diaconescu,
Georgescu, Suciu 2007; Luca, Diaconescu, Georgescu, Suciu 2009; Luca, Diaconescu, Suciu 2006;
Luca, Diaconescu, Suciu 2008a; Luca, Diaconescu, Suciu 2008b; Luca, Roman, Diaconescu, Orlandea,
Suciu, Beldiman 2004; Luca, Roman, Diaconescu, Ciugudean, El Susi, Beldiman 2005; Luca & Suciu,
2008a; Luca & Suciu 2008b; Sztancs, 2010; Sztancs & Beldiman 2004).
Objectives. Methodology. In the wider context of the systematical approach of prehistoric
discoveries of the bone and antler industry from Romania, our aim is to offer a synthesis of recent
data regarding the artefacts made of skeletal materials (bone, teeth, antler, shell, snails), belonging
to the Starčevo-Criş culture discovered in Romania. On the one hand, for the first category of
artefacts the available data is retrieved only in publications (about 25 %). On the other hand, a large
number of artefacts were directly studied by us due to the collections of some institutions –
museums and archaeology institutes (about 75%). The second category of artefacts was studied
taking into consideration a unitary methodology, including the microscopic analysis.
The study takes into consideration the well established criteria of typological classification
and the schema of analysis recently proposed in the prehistoric research from Romania. These were
the basis for the PhD thesis of the main author (Beldiman 2007) and were taken into consideration
when more recent publications regarding this subject were accomplished (Beldiman & Sztancs
2004; Beldiman & Sztancs 2005a; Beldiman & Sztancs 2005b; Beldiman & Sztancs 2007;
Beldiman & Sztancs 2008; Beldiman & Sztancs 2009a; Beldiman & Sztancs 2009b; Luca, Roman,
Diaconescu, Orlandea, Suciu, Beldiman 2004; Luca, Roman, Diaconescu, Ciugudean, El Susi,
Beldiman 2005; Sztancs 2010; Sztancs & Beldiman 2004).
The general methodological aspects of our approach are inspired by the Cahiers de Fiches
typologiques de l’industrie osseuse préhistorique, edited by Henriette Camps-Fabrer during 1988
53
(Allain, Averbouh, Barge-Mahieu, Beldiman et al. 1993; Beldiman, Camps-Fabrer, Nandris 1993).
These aspects refer to: the criteria and the structure of the typology (categories, groups, types, subtypes); the structure of the discoveries’ repertoire, of the datasheet, of the vocabulary that is used; the
data related to the “manufacturing chain” (the débitage and the manufacturing/façonnage); the specific
morphologic and technical details (perforations, for example); the recordings and the conclusions
regarding the macro- and microscopic traces of manufacture operations and wear traces. Every technical
characteristic is designated by an abbreviation used in our database (Beldiman 2007; Sztancs 2010).
The statistical processing of the information from the Access database is used to conclude the
specificity of the bone and antler industry that is studied. The data of analysis regarding the skeletal
technology intends to define the common elements and the situations which are less frequent in the
Starčevo-Criş culture. The contributions of the traditional cultural background, of the innovations and of
the specific technological aspects are also revealing using the databases (Sztancs 2010).
Every object from the repertoire was given an identification code comprising the
abbreviation of the name of the site, the number of the level (the archaeological context of its
provenance) and the identification number in the general list of osseous artefacts from the site (for
example: CRC/I 3; MSP/I 13). The 653 datasheets were inserted in the artefacts repertoire. This
represents a synthetic view of all the observations and of all the quantifiable parameters that were
taken into consideration from a typological, morphological and technological point of view. Starting
from these data we can formulate the conclusions of the study (Beldiman 2007).
Among the advantages offered by the study of the recently discovered bone and antler
industry (the sites: Cerişor – “Cauce Cave”, Hunedoara County; Măgura – “Buduiasca-“Boldul lui
Moş Ivănuş”, Teleorman County; Miercurea Sibiului – “Petriş”, Sibiu County; Şeuşa – “La Cărarea
Morii”, village Ciugud, town Alba Iulia, Alba County) we may mention: the possibility of defining
some new types of prehistoric bone and antler industry; the increase/development of the lots that are
studied applying the recent criteria and the conclusions drawn on the artefacts’ typology and on the
specific technology of the Early Neolithic in the Northern Lower Danube area; the cultural
assignment and the absolute dating of the phases which are present in the site; the possibility of
defining some specific markers – from more perspectives: methodological, typological,
technological, economical, cultural, chronological – to which the same data from others sites
pertains as well; the possibility of increasing the lot through the progression of the archaeological
excavations during the next years and the exploration of some new complexes; the chance of an
enlarged, exhaustive and multidisciplinary research of the site and the correlation of the conclusions
regarding the bone and antler industry with other kinds of data (Beldiman & Sztancs 2004;
Beldiman & Sztancs 2005a; Beldiman & Sztancs 2005b; Beldiman & Sztancs 2007; Beldiman &
Sztancs 2008; Beldiman & Sztancs 2009a; Beldiman & Sztancs 2009b; Biagi, Shennan, Spataro
2005; Diaconescu, Luca, El Susi, Dumitrescu-Chioar 2009; Luca, Diaconescu, Georgescu, Suciu
2007; Luca, Diaconescu, Georgescu, Suciu 2009; Luca, Diaconescu, Suciu 2006; Luca, Diaconescu,
Suciu 2008a; Luca, Diaconescu, Suciu 2008b; Luca, Roman, Diaconescu, Orlandea, Suciu,
Beldiman 2004; Luca, Roman, Diaconescu, Ciugudean, El Susi, Beldiman 2005; Luca & Suciu
2008a; Luca & Suciu 2008b; Sztancs 2010; Sztancs & Beldiman 2004) (see tables 1-2).
The artefacts made of skeletal materials from the Early Neolithic (Starčevo-Criş culture,
phases I – IV) studied in this paper were discovered in 45 sites from almost all of Romania’s
territory. Three of them have levels which are dated in both early and later phases of the StarčevoCriş culture (Cârcea – “Hanuri”, Cluj-Napoca – Gura Baciului, Ocna Sibiului – “Triguri”). The sites
are placed in four historical regions: Transylvania – 13 sites (5 sites with Early Neolithic phases);
Banat – 9 sites; Oltenia – 11 sites (3 sites with Early Neolithic phases); Moldavia – 11 sites; until
now we only know one Early Neolithic site from Muntenia containing such artefacts (Măgura –
„Buduiasca”-“Boldul lui Moş Ivănuş”, Teleorman County).
From a geographical point of view we observed that the absolute majority of these sites are
placed in plain or hilly areas, around or on the shore of some rivers; four sites were discovered in
the karst area form Transylvania (Ohaba-Ponor Cave, OPN/II; Cerişor – “Cauce Cave”, both in
54
Hunedoara County) and Banat –the Iron Gates of the danube (Dubova – “Cuina Turcului”, DCT/IIIV and Dubova – “Climente Cave”, DPC/II).
The sites are either multi-stratified (we have more Starčevo-Criş levels at Cluj-Napoca –
Gura Baciului, Grădinile – “Islaz”, Cârcea – “Hanuri”, Miercurea Sibiului – “Petriş”, Ocna Sibiului
– “Triguri”) or have only one level belonging to the Starčevo-Criş culture (most of them).
Regarding the Starčevo-Criş phases there are 9 sites with IB – IIA sub-phases (and in four of them
there are later levels as well) and there are 33 sites with II – IV phases (Beldiman 2007; Beldiman
& Sztancs 2004; Sztancs 2010; Sztancs & Beldiman 2004) (see tables 1-2).
The quantitative and typological structure. The lot contains 653 pieces, from which 254
are dated from the Early Starčevo-Criş phases (IB – IIA) and 399 from the Later Starčevo-Criş
phases (II – IV). The site from Măgura is the largest (166 pieces studied on this occasion), followed
by the site from Dubova – “Cuina Turcului”, DCT/III-V (87) and the site from Trestiana (83). The
other sites have between 1 and 28 pieces.
The artefacts are grouped in five typological categories (I Tools; II Weapons; III
Adornments; IV Hafts; V Debited pieces/Ébauches, Raw materials, Waste), 23 typological groups
(most of them being tools and adornments) and 75 types, from which three are double. This last fact
illustrates the special situation of the remanufacturing of different types of artefacts on deteriorated
ones; for example, a point made of a fragment of bone chisel; a point made of a fragment of a bone
spoon; a pendant made of a proximal fragment (handle) of a bone spoon (see table 3 and figs. 1-9).
The tools’ category has 8 groups (I A – I B – I C – I D – I E – I F – I G – I H) and 41 types. Is
immediately followed by the adornments’ category with 7 groups (III A – III B – III C – III E – III G –
III H – III I) and 25 types. Afterwards, there is a Vth category which is represented in our lot by a group
and 3 types: debited pieces/ébauches, raw materials and waste (V A). The hafts are next in the hierarchy
with 3 groups (IV A – IV C – IV D) with 3 types. The weapons are the last with 3 groups.
Most of the pieces are usually types from/pertaining to all the phases, but we have some
situations in which some types are present only in the early phases and some of them only in the
later phases. For the early phases (IB – IIA) we have documented: I A8, I A10; I B11; I C4; I F11; I
H1; II D; III A1; III B11; III E1; III G2 and for the later phases: (II-IV): I A2, I A3, I A14; I B2, I
B7, I B10; I E3; I F2, I F5, I F7; III A2; III B1, 3-7; III D1-4; III G1; IV C; IV D.
When we deal with objects attested only in isolated cases, we concluded that the situation
might reflect the stage of documentation. When we deal with a three or more pieces of a certain
type( for example: III E1 for early phases and I A3, I A14, I F7, III B1, III B3, III I1, III G1 for later
phases) we can say that these may illustrate a specific characteristic for those phases (see table 3).
We have also identified some rare pieces all made of red-deer antler: sickles, bracelets, a
zoomorphic representation, a pendant belonging to the Gürtelhaken type from the MSP/I site (fig. 2).
The typological bone and antler industry belonging to the Starčevo-Criş culture discovered in
Romania as well as in other areas of this culture have new specific elements: different types of points
made of bones coming from domestic species (cattle, sheep/goat) used for perforation and
knitting/weaving; needles; axes made of red-deer antler; hafts and bone spoons. The adornments are
also diversified and include some new typological groups and types (Beldiman 2007; Beldiman &
Sztancs 2004; Beldiman & Sztancs 2005a; Beldiman & Sztancs 2005b; Beldiman & Sztancs 2007;
Beldiman & Sztancs 2008; Beldiman & Sztancs 2009a; Beldiman & Sztancs 2009b; Luca, Roman,
Diaconescu, Orlandea, Suciu, Beldiman 2004; Luca, Roman, Diaconescu, Ciugudean, El Susi,
Beldiman 2005; Luca & Suciu 2008a; Luca & Suciu 2008b; Sztancs 2010; Sztancs & Beldiman 2004).
Raw materials. Species. The Early Neolithic artefacts made of skeletal materials belonging
to the Starčevo-Criş culture are made of numerous types of raw materials coming from domestic
and hunted species. Besides domestic species (cattle, sheep/goats, unidentified herbivore), we
distinguish wild species (red-deer, roe-deer, wild boar and fox), shells and snails also being
represented. Sometimes bird and fish bones appear.
There are four groups of raw materials. Firstly, there are the metapodials of herbivores
coming from cattle, sheep/goats, unidentified herbivores and red-deer. Along with the long bones
pertaining to unidentified herbivores, cattle, and sheep/goats, they form the lot of the first group.
55
Secondly, we have ribs from cattle, unidentified herbivores and sheep/goats; red-deer antler and roe
deer antler; shells; wild boars’ tusks and canines of fox. Thirdly, we distinguish: shells, sheep/goats
tibia, cattle and birds and cattle humerus. The final group which has few objects is composed of
cattle mandibles, fish vertebra, cattle radius and phalanx of sheep/goats.
We may see the absolute predominance of the domestic species (especially the cattle). Next
there are the unidentified herbivores and sheep/goats. The wild species like red-deer, shells and wild
boar, roe-deer, birds and fish are represented by few artefacts (Beldiman 2007; Beldiman & Sztancs
2004; Luca, Roman, Diaconescu, Orlandea, Suciu, Beldiman 2004; Luca, Roman, Diaconescu,
Ciugudean, El Susi, Beldiman 2005; Luca & Suciu 2008a; Luca & Suciu 2008b; Sztancs 2010;
Sztancs & Beldiman 2004).
Manufacture/Débitage. The longitudinal and transversal débitage represents the prevailing
technique procedure regarding the Early Neolithic artefacts made of bone and antler which were
chronologically dated from the early Starčevo-Criş culture. These techniques are illustrated by the following
combined technical procedures: splitting; abrasion + splitting; splitting + transverse retouching.
Transversal débitage appears as the second most used technique procedure in the researched
areas. It implies: chopping, direct percussion, flexion fracture, transversal abrasion; transversal
cutting appears in some cases and it was used individually or associated with the direct percussion,
with groove and splinter techniques and the direct percussion or with the direct percussion/cleavage
and fracture. The groove and splinter technique was documented only in one case where it is
associated with direct percussion. Linear abrasion is also attested in only one case (Beldiman 2007;
Beldiman & Sztancs 2004; Sztancs 2010; Sztancs & Beldiman 2004).
Manufacture/Façonnage. First of all, we have to emphasize that in the case of some
artefacts from the analysed sites façonnage traces have not been observed. This situation is due
either to the absence of this phase from the “manufacturing chain” or to the absence of those traces
from the preserved parts of the artefacts studied.
The artefacts belonging to the Early Starčevo-Criş culture reveal several technique
procedures which are typical for the façonnage phase.
In most of the cases, the procedures are combined on the same piece; this fact illustrates the
complexity of the “manufacturing chain”. Is a proof of the new technique acquisitions produced in the Early
Neolithic, of the complexity of the artefacts’ performance, the scopes for which they were made and used.
These technique procedures used in the façonnage phase are: multidirectional abrasion;
chopping, finishing using the abrasion, finishing of perforations, percussion, two-sided perforation
applied transversally, one-sided perforation transversally applied, axial scraping, retouching, groove
and splinter technique, transversal cutting.
The analyzed cases of the technique procedures present the abrasion as the main technique
applied on the artefacts. Then, we have the finishing using abrasion.
The middle group is represented by the following procedures: chopping and hollowing;
transversal two-sided perforation, groove and splinter technique, axial scrapping and transversal cutting.
The following procedures are placed on the last place of the technique procedures of
finishing: the direct/indirect percussion, the one-side perforation, the inverse retouch.
As we already mentioned, in most/in the majority of cases, the façonnage techniques were
applied in combination with two and/or five components.
As a single procedure, the multi-directed abrasion (axial, oblique and transversal) dominates
the technique scheme. The associations with others procedures (chopping, finishing using the
abrasion, two-sided perforation, pressure, groove and splinter technique) appear only in some cases.
This fact forbids us to conclude that there may be some constant procedures applied according to
some precise manufacturing schemas.
Data syntheses allow us to conclude that the constant application of some façonnage
schemas is entailed by the type of artefact that was obtained.
The association between chopping and abrasion is the most frequent one. Then, there is the
chopping with abrasion, transversal two-sided perforation. On the last place, there is the association
between the chopping and the transversal two-sided perforation.
56
According to the associated procedures mentioned before, chopping as a unique façonnage
procedure is irrelevant. The other combinations are very rare and are not statistically important
(they just document some combined procedures) (Beldiman 2007; Beldiman & Sztancs 2004;
Sztancs 2010; Sztancs & Beldiman 2004).
Hafting. Most of the pieces have preserved no indices regarding hafting, even though the
fact that we may presume that composite artefacts were largely used in that period.
Is it probable that the lissoirs (I B1) and the points of type I A1 were inserted in a wooden
haft using an axial/direct/positive insertion.
The fastening of the transversal hafting type (the perforated artefacts) appears in the case of
the II D type axe when a wooden handle is used. The adornments of the types III C and III E might
have been hanged or tided on vegetal or animal fibre.
Hafts also illustrated new situations as being the first cultural manifestations that appeared
in Romania in the Early Neolithic. We include in this category the sickles made of red-deer antler
(IV A1) and the handles obtained from the same raw material (type IV A2) which were probably
used for the axial hafting of a chipped stone piece (like a blade, a point etc.) (Beldiman 2007;
Beldiman & Sztancs 2004; Sztancs 2010; Sztancs & Beldiman 2004).
Wear traces. Wear traces were often observed on artefacts. There are several types of wear
traces and in most cases they are combined on the same piece.
Statistically, the bluntness and polishing of the active edge are on the first place; the flexion
breakages, axial striations and fractures are on the second place. Then we distinguished a group of pieces
with the following wear traces: breakages produces by frontal impacts, traces of subsidence of compacta’s
fibres at the pieces’ edges, and impact chippings which appeared after the frontal impact with a hard surface.
The most numerous wear traces are preserved on points, lissoirs and bone spoons. Bluntness and polishing
are representative for the points and bone spoons. The second ones present some pressure breakage traces
and traces resulted after the contact with a hard surface (clay or wood vessels?).
Specific associations of different wear trace categories on the same piece, analysed within
the typological groups, respectively within the types, revealed several important situations from a
functional point of view. We observe that bluntness and polishing (individually or in association
with others wear traces, like: abrasion, fractures, striations) appear on most of the pieces which
belong to the typological groups I A – I B – I F. These are followed by the breakages presented in
the typological groups I A – I F – I G – III B – III H. The bluntness associated with breakages and
striations are on the third place and appear on the pieces belonging to the typological groups I A – I
B – I F. The impact chippings associated with fractures were observed on the artefacts belonging to
the typological groups I A – I D – I G. The last place belongs to the impact wear traces, presented
on the pieces belonging to the typological group I E (Beldiman 2007; Beldiman & Sztancs 2004;
Sztancs 2010; Sztancs & Beldiman 2004).
Functional aspects. Economic activities. The skeletal artefacts belonging to the Early
Starčevo-Criş allowed us to emphasize some clues regarding the functionality and the economic
activities which took place in the sites. In this way, the economical coordinates and the new
activities reveal the aspects of a sedentary way of life.
The tools category is represented by the points’ typological group; most of them are multifunctional artefacts used for leather perforation, weaving and probably for knitting vegetal or
animal fibre. Needles are present in a significant number. Lissoirs were used to process leather,
wood and polish the clay recipients. Chisels probably were used in/for woodcraft. Retouchoirs and
chasse-lames were used to process (chopping) lithic materials. The bone spoon typological group is
a special one. Probably the bone spoons were used to eat the pasty feeds (boiled cereals). Fishing is
illustrated by the harpoons’ typological group. Oblique points (I G4) had a double functionality
(tools and weapons), respectively as axes (II D).
Hafts represent an important typological category which is illustrated by the bodies of antler
sickles (for harvesting cereals). The handles made of the same raw material were used to insert
lithic pieces like points or blades.
57
Adornments are represented by a relatively large number of pieces. Perforated shells,
perforated teeth, long bones pendants, beads, rings and bracelets, bone pins and bone buttons are the
components of this category. Some typological groups (bone rings and bracelets made by shells,
bone and antler) appear in Romania for the first time in this cultural horizon.
Art objects made of skeletal materials are very rare. The animal head which represents an
herbivore made of red deer antler was discovered in the Cârcea – “Hanuri” site and is probably the
zoomorphic extremity of a bracelet.
Debited pieces, ébauches and waste prove the fact that skeletal materials were processed in
the sites’ area in limited series and probably by non-specialized people (Beldiman 2007).
Acknowledgements. Contributions of Diana-Maria Sztancs to the present paper (repertory,
database, artefact analysis etc.) are realized as part of Project ID-7706 (Invest in people!-The
development of doctoral studies’ and the PhD students’ competitiveness in the United Europe),
“Lucian Blaga” University, Sibiu, project financed by Social European Fund (SOP HRD).
English version by Diana-Maria Sztancs and Corneliu Beldiman; translation revised by
Andreea-Daniela Hompoth.
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European, Bibliotheca Septemcastrensis IV. Sibiu-Bucureşti: Editura Economică.
LUCA S. A., Cr. ROMAN, Dr. DIACONESCU, H. CIUGUDEAN, G. EL SUSI, C.
BELDIMAN 2005. Cercetări arheologice în Peştera Cauce (II) (sat Cerişor, com. Lelese, jud.
Hunedoara). Universitatea «Lucian Blaga» Sibiu, Institutul pentru Cercetarea şi Valorificarea
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Transylvania. The Typological-Stylistic Analysis and the Radiocarbon Dates, Acta Terrae
Septemcastrensis 7, Sibiu, 39-56.
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nov%202008/ ipcte%20settlements.html; http://arheologie.ulbsibiu.ro/ radiocarbon/ nov%202008/
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VLASSA N. 1978. Consideraţii asupra neoliticului timpuriu din România, Marisia 8, TârguMureş, p. 25-34.
61
List of tables
Table 1. The Starčevo-Criş culture sites in Romania: discoveries of artefacts from skeletal materials.
Table 2. The Starčevo-Criş culture sites in Romania: discoveries of artefacts from skeletal
materials. Radiometric data.
Table 3. Typology of Starčevo-Criş artefacts from skeletal materials in Romania (Beldiman 2007).
Caption of figures
Fig. 1. The Starčevo-Criş culture sites in Romania: discoveries of artefacts from skeletal
materials (list of sites in table 1).
Fig. 2. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1-7 bone
points; 8-9 bone lissoirs; 10-11 bone spoons; 12 metapodial debited by splinter and groove
technique; 13-15, 18 bone raw materials; 16 hammer made of bovid humerus; 17 hooktype/Gürtelhacken pendant made of red deer antler (Miercurea Sibiului – “Petriş”).
Fig. 3. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A 1-16 bone
points (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”); B 1-6 bone points; C 1-5 bone points
(Şeuşa – “La Cărarea Morii”).
Fig. 4. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1 long bone
perforated point (Cârcea – “Haltă”); 2 digging stick made of red deer antler; 3-5 bone needles
(Trestiana); 6-8 bone fishing hooks (Dubova – “Cuina Turcului”/III-V); 9 bone harpoon (DrobetaTr. Severin – Schela Cladovei); 10 chasse-lame made of roe deer antler (Ocna Sibiului – “Triguri”).
Fig. 5. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A 1-6 bone
lissoirs; B 1-5 bone lissoir made of long bone fragment with slot (Şeuşa – “La Cărarea Morii”).
Fig. 6. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A bone spoon
(Cerişor – “Cauce Cave”); B 1-10 bone spoons (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”).
Fig. 7. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1
hoe/mattock made of red deer antler (Trestiana – after Popuşoi, 1979); 2 long axe made of red deer
antler (Ocna Sibiului – “Triguri”); 3-5 sickles made of red deer antler (Cârcea – “Viaduct”).
Fig. 8. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1 perforated
bovid incisor (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”); 2-3 bone waste from perforated disks;
4, 10 shell disks; 5 bone pin; 6-7 bone tubes; 8-9 bone disks; 11 perforated shell; 12 perforated snail; 1315 bone rings (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”); 16-18 bone buttons (Dubova – “Cuina
Turcului”/III); 19 bracelet made of red deer antler (Grădinile – “Islaz”); 20-21 bracelets made of red
deer antler (Trestiana); 22-23 bracelets made of red deer antler (Drobeta-Tr. Severin – Schela Cladovei);
24 perforated shell (Pojejena – “Nucet”); 25 bone ring (Arad); 26 pendant made of wild boar’s tusk
fragment (Glăvăneştii Vechi); 27 pendant made of proximal part of a bone spoon (Dudeştii Vechi –
“Movilă”); 28, 30 animal head (bracelet end) made of red deer antler (Cârcea – “Hanuri”); 29 Debited
piece/ébauche for bracelet made of red deer antler (Grădinile – “Islaz”).
Fig. 9. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A 1-6 Long
bones waste (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”); B 1-2 Long bone raw material; 3-7
Bovid metapodial waste; C-A 1-9 Manufacture of a bone point of I A8 type; C-B 1-10 Débitage of
bovid metapodial by groove & splinter technique and transverse sawing; C-C Hypothetic use of the
bone point of I A8 type (Şeuşa – “La Cărarea Morii”).
62
1 Dudeştii Vechi, Timiş County
19a Cerişor, com. lelese, Hunedoara
County
2 Foeni, Timiş County
20 Dumbrava, com. Ciugud, town Alba Iulia,
Alba County
3 Arad, Arad County
20a Şeuşa, com. Ciugud, town Alba Iulia,
Alba County
4 Pojejena – „Nucet”, Caraş-Severin County
21 Ocna Sibiului – „Triguri”, Sibiu County
5 Moldova Veche, town Moldova Nouă, Caraş- 21a Miercurea Sibiului, Sibiu County
Severin County
6 Liubcova, com. Berzasca, Caraş-Severin County
22 Zăuan, com. Ip, Sălaj County
7 Gornea, com. Sicheviţa, Caraş-Severin County
23 Cluj-Napoca/Gura Baciului, Cluj County
8 Dubova – „Cuina Turcului”, com. Plavişeviţa, 24 Lunca, com. Vânători-Neamţ, Neamţ
Mehedinţi County
County
9 Dubova – „Peştera lui Climente”, com. 25 Grumăzeşti, Neamţ County
Plavişeviţa, Mehedinţi County
10 Drobeta-Tr. Severin/Schela Cladovei, Mehedinţi 26 Suceava, Suceava County
County
11 Basarabi, Dolj County
27 Ipoteşti, Botoşani County
12 Verbicioara, com. Verbiţa, Dolj County
28 Glăvăneşti, com. Andrieşeni, Iaşi County
13 Sălcuţa, Dolj County
29 Balş, com. Cucuteni, Iaşi County
14 Cârcea – „Hanuri”, com. Coşoveni, Dolj County 30 Valea Lupului, com. Rediu, town Iaşi,
Iaşi County
15 Cârcea – „Viaduct”, com. Coşoveni, Dolj 31 Vutcani, Vaslui County
County
15a Râmnicu-Vâlcea-Râureni, Vâlcea County
32 Trestiana, com. Griviţa, Vaslui County
16 Locusteni, com. Daneţi, Dolj County
33 Munteni, Galaţi County
17 Grădinile – „Islaz”, com. Studina, Olt County
34 Voetin, com. Sihlea, Vrancea County
18 Grădinile – „Fântâna lui Duţu”, com. Studina, 35 Leţ, com. Boroşneu Mare, Covasna
Olt County
County
18a Măgura, Teleorman County
36 Sf. Gheorghe – „Bédeháza”, Covasna
County
19 Ohaba Ponor, com. Pui, Hunedoara County
Table 1. The Starčevo-Criş culture sites in Romania:
discoveries of artefacts from skeletal materials.
63
Site/Level
Cârcea – „Viaduct”
Cluj-Napoca – Gura Baciului
Phase
III/IV
III/IV
III/IV
IB-IC
Lab
Bln-1982
Bln-1983
Bln-2354
GrA-24137
B.P.
6430 ±60
6395 ±60
5860 ±60
7140 ±45
Bibliography
Mantu, 1998, p. 13.
Mantu, 1998, p. 13.
Mantu, 1998, p. 13.
Biagi, Shennan, Spataro,
2005, p. 49; Luca &
Suciu 2008.
IIIB
Lv-2157
6400 ±90
Mantu, 1998, p. 13.
IB-IC
GrN-28520
7050 ±70
Miercurea Sibiului – „Petriş”.
Level I (G 26)
IB-IC
GrN-29954
7010 ±40
Level I (B 17)
IC-IIA
Poz-24697
7030 ±50
Level I (B 1)
IC-IIA
GrN–8521
6920 ±70
Ocna Sibiului – „Triguri”.
Level VIII
IB-IC
GrN-28110
7120 ±60
Râmnicu-Vâlcea – Valea Răii III/IV
Şeuşa – „La cărarea morii”.
IB-IC
Level I
KN-I 102
GrN-28114
6480 ±75
7070 ±60
Trestiana. Level I
Trestiana. Level I
GrN-17003
Lv-2155
6665 ±45
6390 ±100
2005, p. 49; Luca &
Suciu 2008.
2005, p. 49; Luca &
Suciu 2008.
2005, p. 49; Luca &
Suciu 2008.
2005, p. 49; Luca &
Suciu 2008.
2005, p. 49; Luca &
Suciu 2008.
Mantu, 1998, p. 13.
2005, p. 49; Luca &
Suciu 2008.
Mantu, 1998, p. 13.
Mantu, 1998, p. 13.
Cluj-Napoca – Gura Baciului
(M 6)
Level I (B10)
IIIB
IIIB
Table 2. The Starčevo-Criş culture sites in Romania:
discoveries of artefacts from skeletal materials. Radiometric data.
64
Types
Denomination
I A1
Point made of fragment of long bone worked at distal part
Point made of fragment of long bone worked at distal part/chisel
(double type, reused fragment)
Point made of proximal fragment of long bone worked at distal part
Point made of fragment of long bone worked entirely
Point made of fragment of long bone worked entirely/spoon with
ellipsoidal distal part (double type, reused fragment)
Point made of fragment of long bone worked entirely with tiny
proximal part
Point made of metapodial segment
Point made of sheep/goat half metapodial
Point made of sheep/goat distal half metapodial
Point made of sheep/goat proximal half metapodial
Point made of sheep/goat half perforated metapodial
Point made of big herbivores half metapodial (Bos, Cervus)
Point made of ulna
Big perforated point (for weaving/knitting)
Needle
Curved hook for fishing
Point made of fragment of rib
Point made of red deer or roe deer antler (digging stick)
Point made of red deer or roe deer antler (chasse-lame)
Point made of fragment of red deer or roe deer antler
Point red deer or roe deer tine (perforator or dagger)
I A1/D1
I A2
I A3
I A3/I
F3
I A4
I A6
I A7
I A7 a
I A7 b
I A8
I A9
I A10
I A11
I A12
I A14
I A15
I A16
I A17
I A21
I A22
17
I B1
I B2
I B3
I B4
I B7
I B10
I B11
7
I C4
1
I D1
I D2
2
I E3
1
IF
I F/III
B1
I F1
I F2
I F3
I F5
I F6
I F7
I F8
I F9
I F10
I F11
11
Polishing tool (lissoir) made of long bone fragment
Polishing tool (lissoir) made of proximal tibia
Polishing tool (lissoir) made of rib segment
Polishing tool (lissoir) made of fragment of rib
Polishing tool (lissoir) made of fragment of tooth (canine)
Polishing tool (lissoir) with axial active part made of fragment of rib
Polishing tool (lissoir) made of long bone fragment with slot
Hammer made of distal humerus
Chisel made of long bone fragment
Chisel made of fragment of rib
Phases of
Starčevo-Criş culture
I B – II A
II – IV
17
33
1
2
1
7
26
5
1
6
1
1
3
4
2
2
2
1
81
23
11
12
1
47
1
1
1
1
2
Retouchoir made of long bone fragment
Spoon (fragment of undefined type)
Spoon (fragment of undefined type)/bone pendant (double type,
reused fragment)
Spoon with oval distal part and middle part profiled
Spoon with oval distal part and middle part flat
Spoon with oval distal part, middle part profiled and axial rib on
superior face
Spoon with ellipsoidal distal part and middle part flat
Spoon with ellipsoidal distal part, middle part flat and narrow
proximal part
Spoon with trapezoidal distal part and middle part profiled
Spoon with trapezoidal distal part and middle part flat
Spoon with trapezoidal shape and thick section of proximal part
Spoon with trapezoidal shape and thin section of proximal part
Spoon with rectangular shape and convex extremities
65
0
8
1
1
2
3
1
31
1
48
Total
50
1
1
8
1
1
8
1
8
10
2
31
22
7
5
2
2
9
1
3
38
48
12
1
19
1
4
21
10
15
9
5
2
1
260
40
1
16
20
2
1
1
81
1
1
6
1
7
2
2
17
1
1
1
36
2
1
37
2
3
2
5
4
5
10
16
4
8
11
47
1
136
13
3
18
10
11
7
3
179
17
1
5
8
2
1
34
0
5
88
I G4
1
I H1
1
II D
1
II E
1
III A1
III A2
2
III B1
III B3
III B4
III B5
III B6
III B7
III B11
7
III C1
III C2
2
III D1
III D2
III D3
III D4
4
III E1
III E2
2
III F1
1
III G1
III G2
III G3
3
III H
III H1
2
III I1
1
IV A1
IV A2
IV A3
3
IV C
1
IV D
1
V A1
V A2
V A3
3
75
Oblique unilateral point made of red deer perforated axe
Scraper made of fragment of wild boar’s tusk
Hammer-axe made of red deer antler
Bone harpoon
Perforated tooth – incisive
Perforated tooth – incisive
2
2
1
1
1
1
1
1
1
1
Pendant made of fragment of bone (undecorated)
Pendant made of fragment of wild boar tusk
Pendant made of fragment of bone with central perforation
Pendant made of fragment of shell
Pendant made of fragment of tine (undecorated)
Pendant made of fragment of bone (hook-shaped)
Pendant made of fragment of red deer antler (hook-shaped)
Perforated snail
Perforated shell
1
1
1
2
3
Bead made of long bone segment
Bead made of fish vertebra
Bead made of long bone fragment
Bead made of shell fragment
0
6
1
7
6
6
Disk made of bone fragment
Disk made of wild boar’s tusk fragment
Bone ring
Bone bracelet
Red deer bracelet
Shell bracelet (Spondylus sp., Pectunculus sp. etc.)
Bone pin (undefined type)
Bone pin with discoid head
Discoid bone button
Red deer antler sickle
Red deer/roe deer antler handle
Bone handle
3
2
5
1
1
2
1
1
1
1
4
6
Bone sleeve (douille)
0
Bone tubular sheath (for needle)
0
8
7
23
38
254
Debited piece (ebauche)
Raw material
Waste
Table 3. Typology of Starčevo-Criş artefacts
from skeletal materials in Romania (Beldiman 2007).
66
4
4
0
0
2
2
1
1
5
7
2
1
1
1
17
5
14
19
1
2
1
2
6
8
8
3
3
4
1
1
6
2
2
3
3
5
1
1
7
1
1
1
1
3
1
7
11
399
6
6
1
1
1
1
3
3
1
1
2
5
7
2
1
1
1
1
18
6
16
22
1
2
1
2
6
6
9
15
9
9
4
4
3
11
1
3
4
4
4
6
2
5
13
1
1
1
1
11
8
30
49
653
Fig. 1. The Starčevo-Criş culture sites in Romania:
discoveries of artefacts from skeletal materials (list of sites in table 1).
67
Fig. 2. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1-7 bone points; 8-9
bone lissoirs; 10-11 bone spoons; 12 metapodial debited by splinter and groove technique; 13-15,
18 bone raw materials; 16 hammer made of bovid humerus; 17 hook-type/Gürtelhacken pendant
made of red deer antler (Miercurea Sibiului – “Petriş”).
68
Fig. 3. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A 1-16 bone points (Măgura –
“Buduiasca”-“Boldul lui Moş Ivănuş”); B 1-6 bone points; C 1-5 bone points (Şeuşa – “La Cărarea Morii”).
69
Fig. 4. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1 long bone
perforated point (Cârcea – “Haltă”); 2 digging stick made of red deer antler; 3-5 bone needles
(Trestiana); 6-8 bone fishing hooks (Dubova – “Cuina Turcului”/III-V); 9 bone harpoon (DrobetaTr. Severin – Schela Cladovei); 10 chasse-lame made of roe deer antler (Ocna Sibiului – “Triguri”).
70
Fig. 5. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A 1-6 bone lissoirs;
B 1-5 bone lissoir made of long bone fragment with slot (Şeuşa – “La Cărarea Morii”).
71
Fig. 6. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A bone spoon
(Cerişor – “Cauce Cave”); B 1-10 bone spoons (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”).
72
Fig. 7. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1 hoe/mattock made
of red deer antler (Trestiana – after Popuşoi, 1979); 2 long axe made of red deer antler (Ocna
Sibiului – “Triguri”); 3-5 sickles made of red deer antler (Cârcea – “Viaduct”).
73
Fig. 8. The Starčevo-Criş culture artefacts from skeletal materials in Romania: 1 perforated bovid
incisor (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”); 2-3 bone waste from perforated disks; 4, 10
shell disks; 5 bone pin; 6-7 bone tubes; 8-9 bone disks; 11 perforated shell; 12 perforated snail; 13-15
bone rings (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”); 16-18 bone buttons (Dubova – “Cuina
Turcului”/III); 19 bracelet made of red deer antler (Grădinile – “Islaz”); 20-21 bracelets made of red
deer antler (Trestiana); 22-23 bracelets made of red deer antler (Drobeta-Tr. Severin – Schela Cladovei);
24 perforated shell (Pojejena – “Nucet”); 25 bone ring (Arad); 26 pendant made of wild boar’s tusk
fragment (Glăvăneştii Vechi); 27 pendant made of proximal part of a bone spoon (Dudeştii Vechi –
“Movilă”); 28, 30 animal head (bracelet end) made of red deer antler (Cârcea – “Hanuri”); 29 Debited
piece/ébauche for bracelet made of red deer antler (Grădinile – “Islaz”).
74
Fig. 9. The Starčevo-Criş culture artefacts from skeletal materials in Romania: A 1-6 Long bones
waste (Măgura – “Buduiasca”-“Boldul lui Moş Ivănuş”); B 1-2 Long bone raw material; 3-7 Bovid
metapodial waste; C-A 1-9 Manufacture of a bone point of I A8 type; C-B 1-10 Débitage of bovid
metapodial by groove & splinter technique and transverse sawing; C-C Hypothetic use of the bone
point of I A8 type (Şeuşa – “La Cărarea Morii”).
75
WIETENBERG DENTALIUM SHELL BEADS DISCOVERED
AT CERIŞOR – CAVE NO. 1, HUNEDOARA COUNTY, ROMANIA
Diana-Maria SZTANCS, PhD Student∗
Corneliu BELDIMAN, Lecturer PhD∗∗
Abstract. Wietenberg Dentalium shell beads discovered at Cerişor – Cave No. 1, Hunedoara County, Romania. The
Prehistoric site from Cerişor village, “The Cave No. 1”, Hunedoara County, was systematically researched from
archaeological point of view in 2000 by a group of specialists led by Professor Sabin Adrian Luca and the archaeologists
Cristian Roman and Dragoş Diaconescu. The Prehistoric stratigraphy presents layers dated from the Neolithic (Turdaş
culture), the Eneolithic (Coţofeni culture), and the Bronze Age (Wietenberg culture, IInd-IIIrd phases). From the IIIrd level two
entire tubular beads made of fossil Dentalium shells have been recovered, most probably collected from a fossil deposit
located in the present territory of the city of Hunedoara (Buituri deposit). According to the Beldiman 2007 typology, the type
of beads is III C1. They are very well preserved and allow the observation of morphological details, manufacture and use
traces. The aim of the study is to examine all the indices regarding the manufacturing chain. The only traces which could be
observed are the fracture and the cutting of the ends of the shell. The traces of this operation are clearly observable on the
proximal and distal parts of the piece CRM/III 1. The use-wear and the analogies with similar artefacts discovered in
funerary contexts, allow us to state the functional role of this type of artefacts. It seems that they were used like beads hung on
a string or elements of a necklace (more often) in combination with other types of beads (clay, stone, teeth, bone, copper etc).
Other discoveries of this type in all Central Europe and Balkan Area sustain our hypothesis.
Key words: adornment, Cauce Cave, Dentalium shell, Hunedoara County, tubular beads, Romania, Wietenberg culture.
In memory of Marinaş Băicoană,
ex-president of “Proteus” Speleological Club, Hunedoara City
The caves from Cauce, Lelese village, Hunedoara County are placed in the Eastern part of
the Poiana Ruscă Mountains. There is The Cerişor-Lelese Field which evolved between Runcu and
Sohodol Valley. In the last years, some of the known caves from this area have been systematically
researched from a speleological and archaeological point of view, Cauce Cave and the Great Cave
offering the most important results (Luca et alii 2004; Beldiman et alii 2004; Beldiman 2004d;
Beldiman, Sztancs 2004; Beldiman, Sztancs 2005; Luca et alii 2005).
The Great Cave or The Cave No. 1 is placed at 650 m North-East of Cauce village, on the
Roman Hill, on the superior side of the right slope of Runcu Valley. The cave is developed in dolomites
limestones which are specific for the geological structure of the area. The cave has two entrances and a
length of 125 meters. The portal of the cave has an opening of 6.2/2.3 meters and allows the access in a
large hall having the dimensions of 20/5/6 meters (Sztancs, Beldiman 2004, 97).
The cave is known due to the efforts of the members of “Proteus” Speleological Club from
Hunedoara (ex-president Marinaş Băicoană) which discovered and mapped it in 1977. In 1979 the
cave was excavated by Tiberiu Mariş, but the results of the research were not published and the
materials were lost. In 1999, The “Corvins' Castle” Museum from Hunedoara, “Lucian Blaga”
∗
“Lucian Blaga” University, Sibiu, Doctoral Program; [email protected]. This article was realised during the doctoral
mobility at “Eötvös Loránd” University Budapest which is part of the SOP HRD Project /6/1.5/S/26 co-financed by the
European Social Fund through the Sectorial Operational Program – Human Resources Development 2007 – 2013.
∗∗
“Dimitrie Cantemir” Christian University, Faculty of History, Bucharest; [email protected].
76
University Sibiu and the “Proteus” Speleological Club from Hunedoara organised a National
Training of Speleological Archaeology when an excavation for general information was made at the
cave entrance. The systematic excavations led by Professor Sabin Adrian Luca and the
archaeologists Cristian Roman and Dragoş Diaconescu were made in 1999 and 2000. On this
occasion two sections were dug: one at the entrance no. 2 and one in the Great Hall. The latter
revealed the stratigraphy (corresponding to Prehistory) (Luca et alii 2004):
● Ist level has a thickness of 2-10 cm and contains archaeological materials belonging to Turdaş
(later phase – contemporary with the IInd level from Turdaş-“Luncă”) and Coţofeni (IInd phase);
● IInd level belongs to the Coţofeni culture (IIIrd phase);
● IIIrd level belongs to the Wietenberg culture (late IInd phase – beginning of the IIIrd phase).
Objectives. Methodological aspects. The use of Dentalium shells as adornments
Our study is integrated in the recent, systematic approach of valorisation of skeletal material
artefacts discovered in Romania. In this context, the publication of the pieces has a special place.
The aim of the study is to offer an example of an exhaustive presentation of two adornments made
up of local fossil gastropods shells belonging to the Dentalium species.
The approach offers the opportunity to review the earliest Romanian attestation of
Dentalium beads. These were hung in complex adornments (necklace made of beads) or as simple
pendants hung on a textile or leather wire (Beldiman 2004c; Sztancs, Beldiman 2004, 97).
The methodology used in the study is based on the one established in Fiches typologiques de
l’industrie osseuse préhistorique. Cahier IV: Objets de parure, 1991, elaborated under the
coordination of PhD Henriette Camps-Fabrer (Barge-Mahieu, Bellier, Camps-Fabrer et alii 1991;
Beldiman 2003). In its content there are some instruments used for analysing the shells such as: the
general pattern of adornment (0) (Barge-Mahieu, Taborin 1991) and the fiche for processed shells
(2.1. and 2.2.) (Taborin 1991; Barge-Mahieu 1991). Yvette Taborin’s book regarding the using of
shells as adornments in the Paleolithic is an important contribution for the patterns used for
analysing the adornments made of shells (Taborin 1993).
The shells of gastropods (snails) were used as adornments from the beginning of the Upper
Paleolithic (Aurignacian culture) and then in all the prehistoric ages. They have marine origin and
they are both fossils pertaining to the Tertiary age (gathered from fossil areas) and to the
Pleistocene species (gathered from the seashore).
The terrestrial species of gastropods or the ones that live in the rivers were used as raw
material for adornments only in exceptional situations. This fact is due to their specific fragility.
The species with thick shells having small and medium dimensions were more extensively used.
For this reason, we may distinguish three groups of shells: round (for example, Littorina); long
(Turritella, for example) or shells with the body slightly curved (Dentalium, for example) (Taborin
1991, 3; Moreno Nuño, Zapata 1995, 190).
From a typological or functional point of view, the artefacts made of Dentalium fossil shells
are considered to be tubular beads and represent the base for shell adornments in the Mesolithic, the
Neolithic, the Eneolithic and the Bronze Age in Europe (Taborin 1991, 2; Barge-Mahieu 1991, 1-2).
In Romania, the Prehistoric adornments of this type coming from the archaeological cultural
layers are rare. In this context, these beads are more important for the Romanian archaeology.
This species presents more advantages, for that reason Prehistoric people preferred to use
them. These are: the large quantities of fossil deposits, the relatively simple way of gathering the
shells and the anatomic morphology which made them ideal for this type of usage. The technical
interventions for obtaining a bead are quite simple. The variable-length segmentation could have
been done using the transversal cutting or fracture. The simple opening of the cavity edges using the
fracture of the distal extremity represents another technique of obtaining Dentalium shell beads.
77
Dentalium beads from Cerişor – Cave No. 1
The two Dentalium beads were discovered in the surface no. 1, excavated in 2000, in an
isolated area belonging to the Wietenberg culture. They were mentioned in the excavation report
published in 2000 and in the monograph related to the above mentioned archaeological site (Roman
et alii 2000, 14-15; Luca et alii 2005). In the former paper, the authors also mention the discovery
of a small bead having the general shape of a “star” which was initially published as a bone bead;
the piece was recovered from the interior of a Dentalium shell (Roman et alii 2000, 15, 33, pl.
IV/9). Its examination with optical instruments revealed the fact that the raw material used was clay
(Sztancs, Beldiman 2004, 97). This has four elongations which are placed in a cross and it has a
central perforation. The dimensions are: maximum diameter: 7 mm; thickness: 5 mm; the diameter
of perforation: 2.5 mm (fig. 3). The above mentioned situation offers a clue of how the necklace
was manufactured by the combination of different types of beads (various raw materials, types or
dimensions). It is not clear if the ceramic bead was preserved inside of the shell bead because both
pieces were hung on a string at the same time or perhaps, the former one got there by intended placement,
without the obligatory presence of the string (for hanging). The solution to this problem does not change
the conclusion regarding the combination of different elements made of various raw materials that were
hung on a string forming a necklace. Dentalium beads are this type of elements.
Morphology
The adopted conventions for these artefacts are related to the identification of the proximal
part/extremity (EP-PP) as the one with a larger diameter and of the distal part/extremity (ED-PD) as
the one with a smaller diameter. For the middle part is used the abbreviation PM.
According to the Beldiman 2007 typology, the pieces belong to the type III C1 (Beldiman 2007, 135).
The artefact CRM/III 1 (fig. 1) is entirely preserved and has a very good conservation
status. It has the anatomic general shape slightly curved and its surfaces’ profile is blunted
discontinuously, especially at PP. The contour of the EP is strongly accentuated. This fact is due to
the transversal cutting and to the usage which determined the intense bluntness and the rounded
edges. Also, on two areas, we observed detachments of 5/2 mm which occurred after the shell was
fractured. ED is slightly oblique and on an area of circumference, it presents a dent of 2 mm depth
and 3 mm length; it has rounded edges and it is intensely blunted. At the dent’s base, a part of the
cutting groove is slightly oblique on the long axis of the piece.
The artefact CRM/III 2 (fig. 2) is preserved entirely and has a very good conservation
status. The parameters of the artefact are relatively similar to the ones of the piece CRM/III 1. The
general shape is anatomical, slightly curved and the surfaces’ profile is discontinuously blunted
(especially at PP). The proximal extremity has a slightly winding shape, almost regular, being
slightly oblique on the long axis of the piece. The shape of this part resulted from the transversal
cutting and came as a result of the utilisation which determined its intense bluntness and the
rounded edges. There are no detachments due to the fracture. The distal extremity is slightly oblique
and does not preserve traces of cutting. The edges are uniform, but they are intensely blunted.
Morphometry
The dimensions of the artefacts are in millimetres. We may observe that they are quite the
same and the standard length of the pieces is about 55 mm.
Artefact
Total length
CRM/III 1
CRM/III 2
56
53
Diameter of
EP
9
9
Diameter of
PM
7.5
7.5
78
Diameter of
EP
5
5
Thickness
of EP
1.2
1.2
Thickness
of ED
1
1
Technical study
In the case of the Dentalium tubular beads the débitage stage is absent. The shells were only shaped.
It is possible that the raw material comes from the fossil deposit that exists in the
neighbourhood: the place named Buituri (in past time, a village) near to Hunedoara city. There, in a
place called “John’s Well” Dentalium shells were identified (Luca et alii 1998; Băicoană 1999;
Sztancs, Beldiman 2004, 100). Among the economical reasons, the exploitations of the fossil
deposit from the Eastern part of the Poiana Ruscă Mountains may be related to the regular presence
of the communities in that area (probably in warm seasons).
Shaping/Façonnage
The transversal cutting of the extremities using a lithic or a metallic blade and fracture
represent the main technological procedures of façonnage. The specific traces are preserved on the
edges of the CRM/III 1 artefact. In this way, at the proximal extremity there are two detachments of
2-5 mm which probably resulted during the direct percussion procedure (fig. 1/5-6). The slightly
oblique cutting using a metal blade determined the appearance of a groove (4 mm long and 0.8 mm
depth) at the distal extremity (ED). The groove has a “V” profile and was blunted because of the
usage (fig. 1/3-4).
Wear traces. Remarks regarding the function
The beads’ free hanging on a wire (leather or string) produced the intense bluntness of the
extremities edges. This fact faded the cutting traces and determined the strong polish of the edges
(fig. 1/5-6; 2/5-6). Also, the bluntness of the anatomic surface is the result of the rubbing on the
textile or on the leather clothes.
We may conclude that the tubular Dentalium shell beads were necklace elements and in
combination with other necklace elements were axially hung on a string. The discovery of the clay bead in
the shape of a star from the inside of one of the shell beads is a proof in this case. In this kind of adornments
other types of adornments might have been included (animal teeth, lithic or clay pieces – beads).
The Dentalium beads could have been lost in the cave or could have been abandoned with a
ritual purpose. The second hypothesis is frequent in Prehistory and it is documented by a large
number of valuable artefacts which were discovered unbroken in abries sites or in archaeological
sites placed in karstic areas from Romania (Beldiman, Sztancs 2004; Sztancs, Beldiman 2004;
Nicolăescu-Plopşor et alii 1957).
At Cauce Cave, in grave no. 1 (M 1/1998) another two Dentalium beads belonging to
Wietenberg culture were discovered (Luca et alii 2004, pl. VI/1-2; Sztancs, Beldiman 2004; Luca et
alii 2005, 42; Beldiman, Sztancs 2005, pl. XXXVI/CRC VII 5-6). The wear traces and the analogies
coming from funerary contexts confirm the idea of using these beads hung on a string as a necklace.
Analogies. The using of Dentalium beads as adornments
The dating of the artefacts discovered at Cave No. 1 from Cauce was done according to
ceramics analysis. According to this, the Dentalium beads belong to the late IInd phase – beginning of
the IIIrd phase of the Wietenberg culture (Roman et alii 2000, 9-10, 14; Beldiman, Sztancs 2005, 180).
In Romania, the gastropods’ shell adornments (perforated Helix shells) were discovered in
1925-1926 at Ripiceni-“Stânca” by Nicolae N. Moroşan. The beads were found in the Vth
archaeological level which, from a cultural point of view, belonged to the gravettian culture.
Unfortunately, the data regarding this discovery is uncertain because the use of this type of shell is
unusual in the Upper Paleolithic (Moroşan 1938; Beldiman 2004b, with literature).
Recently (2003), in the Gravettian site of Piatra Neamţ-“Poiana Cireşului”, in the first
archaeological level, four Congeria fossil bivalve shells without technical traces were discovered.
79
Probably, these were gathered from a fossil deposit (Upper Miocene or Lower Pliocene) located in
the area and brought into the site. The archaeologists who discovered the shells believed that this
fact is due to the symbolical analogy with vulva morphology (Cârciumaru, Mărgărit et alii 2003;
Beldiman 2004b, with literature).
In the case of the Epipaleolithic epoch (Tardigravettian culture, the Mediterranean aspect) the
archaeological literature mentions more discoveries of fossil shells; the oldest ones belong to the
Dentalium species. At Băile Herculane-“Peştera Hoţilor”, IIIrd level, Alexandru V. Grossu identified in
the malacological assemblages, the next species: Lithogliphus naticoides, Cepaea vindobonensis, Helix
pomatia şi Cerithium sp. He did not mention any technological traces of any of those shells, but the
foreign characteristic of these make us to believe that they were gathered with the purpose of being used
as raw materials for adornments (Mogoşanu, 1971; Beldiman 2004b, with literature).
Some gastropods shells discovered in the Ist level of the Drobeta-Turnu Severin – Schela
Cladovei are also mentioned, but the authors of the research do not detail the subject (Boroneanţ
1980; Beldiman 2004b, with literature).
At Dubova-“Cuina Turcului”, from the first levels (Ist – IInd) one of the most important
assemblage of Epipaleolithic gastropod and lamellibranchiate shell adornments were discovered.
Six species of local fossil and subfossil were attested. In the first level two Dentalium shells were
mentioned (one of them broken and one entire). From the second level, a Dentalium shell and 52
perforated shells were mentioned, all belonging to following species: Theodoxus transversalis;
Theodoxus danubialis; Lythogliphus naticoides (the most); Nassa (Cyclope) neritea; Zebrina detrita
(Grossu 1970; Păunescu, 1978; Beldiman 2004b, with literature).
In another site, Dubova-“Peştera Climente II” a broken Dentalium shell from the
Epipaleolithic level was found (Boroneanţ 1970; Beldiman 2004b, with literature).
During the archaeological research of Ostrovul Banului, in the Epigravettian level, a broken
Dentalium shell and 20 shells were recovered, belonging to the local species, Theodoxus danubialis
shaped by splitting (Boroneanţ 1979; Beldiman 2004b, with literature).
In ’70 Eugen Comşa summed up the data regarding the Neolithic and Eneolithic Dentalium
discoveries from the settlements and necropolises from Andolina, Ceamurlia de Jos, Cernica, Glina,
Vădastra and Vărăşti (Comşa 1973).
For the Bronze Age, respectively the Wietenberg culture, there is a very well documented
article written in 1984 by Tiberiu Jurcsák in which the author refers to the discoveries from the
well-known settlement from Derşida (Jurcsák 1984). In this article, the author mentions the
existence of more than 200 Dentalium shells from which 86 are preserved in the Museum of Oradea
(Jurcsák 1984, 111; fig. 1-4). There are more analogies that should be mentioned for this type of
artefacts: Piatra Craivii, Sântimbru, Ţelna (Andriţoiu 1992, 46, 208, pl. 40/12-13; Rişcuţa 1995).
For the Poiana Ruscă Mountains we have the data regarding the fossil deposit from Buituri
that was mentioned in the XIXth century in literature as an important paleontological site (Luca et
alii 1998; Băicoană 1999; Roman 2008, 22). The situation is similar with the one from Derşida
where there is also a fossil deposit from where the shells might have been gathered.
Recently, the discoveries from Cauce Cave attested the using of Dentalium shells in the
Wietenberg culture. The two Dentalium shell beads found in the grave no. 1/1998 are similar from a
morphological and a typological point of view. Additionally, these were discovered in situ,
respectively in the neck area. This fact suggests the idea of using the beads as elements in a
necklace (Roman et alii 2000, 14-15; Luca et alii 2004, 48-49, 237, pl. VI/1-2; Sztancs, Beldiman
2004, 102; Luca et alii 2005, 180; Roman 2008, 122).
In Europe there are a lot of discoveries where beads made of Dentalium in combination with
other types of shell beads or teeth were used as necklaces. The analogies presented are especially
morphological. We mention selectively some of these discoveries coming from the archaeological
sites from Western Europe: the South of France (The Pirinei Mountains area or the Mediterranean
shore) (Taborin 1991, 11 sqq) or Spain (Baldeon 1985, 163; Álvarez Fernández 2006, 253; Jover
Maestre, Luján Navas 2010, 110; Luján Navas, Jover Maestre 2008).
80
In our areas, there are a lot of discoveries of this type of shells. We mention only few of
them: Cave Bacho-Kiro from Bulgaria (Kozlowski 1991, 33-43; Zilhão 2008, 55), Vinča-Belo Brdo
(Dimitrijević 2010), Durankulak (Todorova 2002) or Varna (Chapman 2011).
For the Neolithic of Hungary, the Dentalium beads were found in a hoard (which was dated from
Lengyel culture). The hoard was found in 1896, on the southern region of Felsőörs. It contained
adornments made of 280 mollusks some red stone pearls which were deposited in a clay pot. The
malacological investigation revealed the presence of Scaphopials, more precisely, the species Dentalium
badense Partsch, 1856. The authors mention Várpalota (30 kilometers from the place of discovery) as the
source of collecting mollusks which were gathered in the hoard (Regenye et alii 2009, 421 sqq).
In an analysis regarding the Neolithic graves of the Southern Transdanubian region reveals
the fact that the fossil Dentalium shells were used for adornments. The proportion presented by the
author of study is proportion of 14.75% (Sümegi 2009b, 340, table 4).
At the Baden cemetery from Budakalász, most of the beads are made of Dentalium shells
(662 – 19.22%). The author of the archaeomalacological research presents the main fossil deposits
from area and underlines the fact that the beads were made of local shells (Sümegi 2009a, 426;
Sümegi 2009b, 338). Also, there is described an important procedure regarding the combination
between the Dentalium beads and copper (Sümegi 2009a, 428, pl. 7-8). The discoveries from
Budakalász are very important because they testify the way in which the raw materials were used
for adornments. The necklaces were made by combining the shell beads with the ones made of
copper, limestone, clay or teeth (Siklosi 2004, 22). The study is very important because it presents
also the fossil deposits used for obtaining these raw materials.
The using of Dentalium shells in Early Bronze Age is attested by the discoveries of this type
of beads in the necropolis from Hernádkak from Hungary. These are mentioned in the grave no. 54
(Schalk 1992, 338, fig. 13/11; 26/4), the grave 78 (Schalk 1992, 140; fig. 16/7) and in the grave
no.129 (Schalk 1992, 365; fig. 25/7; 32/4-8).
The using of Dentalium shells in the Middle Bronze Age is also attested by discoveries from
Central European area. In this context, we should mention the important contribution of István
Bóna, Die Mittlere Bronzezeit Ungarns und ihre Südöstlichen Beziehungen where a lot of
Dentalium shell adornments are presented. We mention the grave no. 64 from Söreg (Bóna 1975,
fig. 119/15) and the grave no. 11 from Gáta (Bóna 1975, fig. 277/11). These are only two
discoveries from the ones that are presented in the monograph (Bóna 1975).
For the Gáta-Wieselburg culture, Middle Bronze Age, we have a very recent publication
related to the adornments made of fossil Dentalium shells discovered in the graves (Nagy, Figler
2009). The authors mention the using of the beads in necklaces with bronze spirals. The sites quoted
are Hegyeshalom, grave no. 5 where were discovered 3 row necklaces made from 10 bronze spirals
and 6 Dentalium shells (Nagy, Figler 2009, fig. 1 and 2) and grave no. 21 where from comes a row
necklace made from bronze spirals and Dentalium shells; Szeleste where in an isolated grave were
discovered 5 Dentalium shell beads around the skull (Nagy, Figler 2009, 261; fig. 7/7).
These are only a small part of analogies mentioned in the literature. We have also this type of
discoveries dated from Bronze Age in actual territory of Austria, Germany (Deutschkreutz, Jois,
Gattendorf) (Nagy, Figler 2009, 257) or southern part of Europe – Greece (McDonald, Wilkie 1992).
All these discoveries, most of them from the graves, sustain the hypothesis formulated at the
beginning of the study that these fossil shells were used as adornments.
81
Conclusions
The discovery of the two tubular Dentalium beads allowed us to analyse in detail the relevant
clues regarding the manufacturing chain of this type of artefacts and the way in which they were used.
The shaping of the beads was made using the transversal cutting and fracture on both
extremities. The intense bluntness and polish of extremities’ edges and of the objects’ surfaces suggest a
relative long period of using by free axial hanging on a string, probably in a necklace (with other
perforated elements, other types of beads made of clay, lithic materials or skeletal materials).
Also, the present approach gave us the opportunity of review the using of Dentalium shells
as adornments in Romania. Here we mention the Epipaleolithical discoveries from Iron Gates area
(the Ist and the IInd archaeological levels from Dubova-“Cuina Turcului”; the first archaeological
level from Dubova-“Peştera Climente II”; the first archaeological level from Ostrovul Banului. Also
we quoted some of analogies from international literature. This is due to the fact that the fossil
deposits were intensely used for obtaining raw materials for adornments.
Concluding, we may assert that this article contributes at the repertoire of shell adornments
(with a special attention to the Bronze Age) in the regions of Romania in Prehistory where there are
important raw materials resources and fossil deposits which were known and systematically used
since those times.
Acknowledgements
We would like to express our gratitude to Professor Sabin Adrian Luca and PhD Cristian Roman
because they offered us the opportunity to study the skeletal materials artefacts discovered at Cauce Cave.
We are also grateful to Professor PhD Alice Choyke (Central European University
Budapest, Aquincum Museum Budapest) for scientific advice regarding the Bronze Age in Hungary
and for offering us many literature of this domain.
We thank to Zsuzsanna Toth, PhD student at “Eötvös Loránd” University from Budapest for
helping us with the translation of some Hungarian bibliography.
Translation by Diana-Maria Sztancs; English revision by Andreea Daniela Hompoth,
University of Bucharest.
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Fig. 3 CRM/III: ceramic bead found in the interior of one tubular Dentalium bead.
89
THE MOVEMENTS OF LEGIO XV APOLLINARIS
UNDER TRAJAN AND HADRIAN
Radu URLOIU, Lecturer, PhD Student∗
Abstract. The movements of Legio XV Apollinaris under Trajan and Hadrian. This paper explores the information
provided by the archaeological findings and epigraphic sources on the matter of the history of legio XV Apollinaris
from the beginning of Trajan’s reign till the end of Hadrian’s reign. We support the thesis proposed by the American
researcher E. L. Wheeler on the departure of the legion from Carnuntum in Egypt in 106 A.D. This hypothesis rests on
the fact that they are no trajanic evidence on the presence of XV Apollinaris in Pannonia. Most researchers continue to
ignore this fact and date the departure of the legion from Carnuntum at Satala in Cappadocia in the first years of
Hadrian. The epigraphic and archaeological evidence are conjectural and do not support, in our view, this thesis. XV
Apollinaris replaced legio III Cyrenaica which was transferred in the newly created province of Arabia. Legio XV
Apollinaris was transferred at Nikopolis in Egypt where a detachment of it did some work at the quarries from Mons
Claudianus. The legion did not taken part to Trajan’s Parthian War and must have been transferred from Egypt to
Satala in 118 A.D. the earliest but not later than 119 A.D., when III Cyrenaica and XXII Deiotariana are attested again
the double base-camp at Nikopolis.
Keywords: Carnuntum, Jewish revolt, legio XV Apollinaris, Mons Claudianus, Parthian War, Satala.
One of the most controversial issues of Roman military history that has generated much
debate among researchers is the date of departure of legio XV Apollinaris from Carnuntum to
Satala, in eastern Cappadocia. A second question related to the first points to the possible
participation of the legion in Trajan’s Parthian War. In this case, it remains to be determined when
was the legion transferred in the East, whether it ever returned to Pannonia or left for ever this
province and the year of its departure to Satala.
Legio XV Apollinaris is certainly attested at Satala in 135 A.D., when the then governor of
Cappadocia, Flavius Arrianus, mobilized troops against the Alani who had invaded Armenia1.
Additional information come from a inscription dedicated to Q. Lollius Urbicus, who commanded
legio X Gemina between 130-132 A.D., when the unit stationed at Vindobona in Pannonia Superior,
while legio XIIII Gemina stationed at Carnuntum2. Therefore, the date on which the legio XV
Apollinaris was transferred from Carnuntum to Satala narrows to 106-130 A.D.
The main source used by most historians who tried to determine the date of the transfer of
legio XV Apollinaris from Pannonia in Cappadocia is a series of five incriptions from Satala, four
of which were located near the legionary camp.
The inscription dedicated to L. Antonius Paternus, an evocatus who served as custos armorum
in this legion states that he died at the age of 53 years, after 28 stipendia3. The inscription can be dated
to the second century A.D., but does not provide any additional information concerning chronology.
∗
“Dimitrie Cantemir” Christian University, Faculty of History, 176 Splaiul Unirii, Sector 4 040042 Bucharest 53,
Romania; [email protected].
1
Ektaxis kata Alanon, 5, 15, 24; Cassius Dio, 69, 15, 1; Themistius, Orationes, 34, 8; 32. On the date of this campaign,
see: Wheeler 1978, 351-353; Wheeler 1994-1996, 67, nos. 60, 62.
2
CIL VIII 6706 = ILS 1065 = ILAlg II, 3605; PIR² L 327; Lőrincz 1981, 286; Birley 1981, 113; Birley 2005, 138.
3
Mitford 1974, 167-168, no. 4 = Mitford 1997, 143, no. 7; AE 1975 818.
90
Three other inscriptions provide information about the birthplace of the soldiers for whom
they have been dedicated. Ti. Julius Martialis, born at Savaria in Pannonia, died at the age of 30
years after he served 13 years in XV Apollinaris4. T. Flavius Mansuetus, a beneficiarius of the
legate, born at Virunum in Noricum, died at 35 after 18 stipendia5.
T. B. Mitford saw the funerary inscription from Satala dedicated by a soldier of the XV
Apollinaris, Flavius Silvanus, to his wife Flavia Valentia, as a confirmation for the departure of the
legion to Cappadocia in the last years of Trajan’s reign6. The British researcher believes that this
epigraph is contemporaneous with those dedicated to Ti. Julius Martialis, T. Flavius Mansuetus and
to the centurion P. Turranius Severus. The latter died at the age of 41 years at Satala after he had
been promoted from princeps posterior of the cohors V, legio IIII Flavia, to hastatus prior of the
cohors VI, legio XV Apollinaris7. It was assumed that this promotion occurred before XV
Apollinaris left Carnuntum, since legio IIII Flavia was at that time in Dacia and played no part in
Trajan’s Parthian War, and a transfer under such circumstances seemed unlikely8.
Neither the age of the soldiers mentioned in these inscriptions, nor their stipendia provide
information on the date of departure of the legio XV Apollinaris from Carnuntum.
Ritterling dated the departure of the legion from Carnuntum in 114, but in another passage
of his article published in Real-Encyclopädie, the German researcher has expressed serious doubts
in this regard9. However, this hypothesis was supported by many scholars10. Other researchers have
rejected the hypothesis of the participation of the legion in Trajan’s Parthian War11.
According to some historians, the legion took part in the war at full strength, and then
returned to Carnuntum, where it remained until 12212. Other historians stated that a vexillatio of the
legion participated in this campaign and was after encamped at Satala, followed by 119 by its
remnants remained in Carnuntum13.
The rhetor M. Cornelius Fronto said that the troops who took part to the Trajan’s Dacian
War accompanied him in the campaign against the Parthians14. Indeed, some of the troops of
Pannonia fought in the East15. Ala I Flavia Augusta milliaria civium Romanorum Britannica, listed
in military diplomatas from 110 among the Lower Pannonian units, is attested in the East on 1
4
Mitford 1988, 171, no. 1 = Mitford 1997, 144, no. 8; French, Summerly 1987, 18, no. 2; AE 1988 1043.
Mitfod 1988, 172-173, no. 3 = Mitford 1997, 145-146, no. 10; French, Summerly 1987, 17, no. 1; AE 1988 1042.
6
Mitford 1988, 173, no. 4; Mitford 1997, 146-147, no. 11; AE 1988 1045.
7
Mitford 1988, 171, no. 2 = Mitford 1997, 145, no. 9; cf. AE 1988 1044; French, Summerly 1987, 19-21, no. 3.
8
On legio IIII Flavia, see: Ritterling, RE XII 1925, 1284; Lepper 1948, 186-187; Strobel 1984, 89-90, nos. 34-35; Strobel
1986a, 946, no. 185; Mitford 1988, 172; Mitford 1997, 145, was right to state that the move from one’s legion cohors V
princeps posterior to another’s legion cohors VI hastatus prior was a promotion (cf. ILS 2446); the commentator on AE 1988
1044 is wrong to argue that Turranius Severus have been promoted from XV Apollinaris to IIII Flavia and that a detachment
of IIII Flavia would have served in Trajan’s Parthian War. Detachments of IIII Flavia attested at Aulutrene, near Apamea in
Phrygia are not supposed to date from this period. On this matter, see: Christol, Drew-Bear 1995, 75-76, 78; Drew-Bear, Eck
1976, 308-309. The inscriptions which attest the presence of IIII Flavia in the East (CIL III 387, 195; Ritterling, RE XII,
1925, 1545-1546) are post-Trajanic. For this dispute, see: Wheeler 2000, 283, no.142.
9
Ritterling, RE XII, 1925, 1284-1285, on the legion participation in Trajan’s Parthian War. On his later doubts and
dating of the transfer of the legion at Satala in 117 or 123 A. D., see: Ritterling, RE XII, 1925, 1754. His hesitations
were shared by Parker 1928, 159, no. 6.
10
Hanslik, RE Suppl. X, 1094-1095, s.v. Marcus Ulpius Traianus; Swoboda 1964, p. 47; Stiglitz, RE Suppl. XII, 1970, 1576, s.v.
Carnuntum; Syme 1968,.106-109; Syme 1938, 97, 101; Lőrincz 1973, 64-65; Mócsy 1974, 98-99; Mitford 1974, 168; Mitford
1980, 1197; Mann 1983, 44, no. 514; Webster 1985, 64; Genser 1986, 639, no. 403, with an extensive bibliography. On the
replacement of the XV Apollinaris by XIV Gemina at Carnuntum in 114, see: Keppie 1979, 861; Kennedy 1980, 302-303.
11
Rémy 1986, 75, who argues the transfer of the legion from Carnuntum at Satala in 117 A. D.; Lőrincz 1981, 286,
makes no mention of the possible participation of XV Apollinaris in Trajan’s Parthian War and dates its departure from
Carnuntum in 118/119 A. D.
12
Kennedy 1980, 302-303. Against this hypothesis, as it cannot be proved, see: Fitz 1981.
13
Strobel 1984, 97, no. 73; Strobel 1986a, 945, no. 184; Strobel 1988a.
14
Fronto, Principia Historiae, 7, 9.
15
Mitford 1980, 1197-1198; Lepper 1948, 176-177, who was more skeptical, considers that the hypothesis of legio XXX
Ulpia’s participation relies on interpretation of the career of M. Annius Martialis (ILS 305, CIL VIII 2354); Le Bohec
1989, 160; Strobel 1986a, 946, no. 185, didn’t agree with the thesis of the legion’s participation in the war.
5
91
September 11416 and set up two inscriptions, at Nicopolis in Armenia Minor17, and Amaseia18.
Mitford saw the presence of this auxiliary unit on the Parthian theater as a evidence for the
participation of the XV Apollinaris in the campaign19. The same scholar adduced in order to support
his hypothesis two coins, one countermarked by the XV Apollinaris, one discovered at Nicopolis, on
the Euphrates, dating from 105/106, and the other, suspected of Trajanic date, at Vahsin20. But the
coins’ date of issue and the date at which a countermark was applied may be different. Moreover,
since according to the thesis supported by Mitford, the legion was transferred to Cappadocia in the
era of Hadrian, these coins do not provide useful information on the date of arrival of the unit on the
Euphrates. All these documents cannot be dated with certainty, and therefore they cannot provide
information on the arrival date legion XV Apollinaris at Satala21.
Ritterling's attention was drawn to the inscription dedicated to M. Ulpius Dasius from
Sirmium, who served as optio in legio XV Apollinaris and died at the age of 40 after 20 stipendia22.
This epigraph generated a lively debate among prestigious researchers. R. Syme saw the gravestone
as an evidence of the legion’s participation to Trajan’s Parthian War. According to the great British
historian, Dasius’ gentilicium proves that that soldier had been recruited around 94 A.D., when the
future emperor would have governed Moesia Superior23. In fact, Trajan has never been the governor
of this province, which was commanded during 93/94-95/96 A.D. by Cn. Aemilius Pinarius
Cicatricula Pompeius Longinus24. On the other hand, according to Strobel, until 106 A.D., Sirmium
belonged to Pannonia, and not to Moesia Superior25.
B. Lőrincz dated the recruitment of M. Ulpius Dasius to the year 98/99 A.D. and his death in
119 A.D. on the basis of the "domino principle" which, in his view, characterizes the transfer of the
legions of Pannonia in the first two years of the reign of Hadrian26. Thus, the legions I and II Adiutrix,
had returned from the Parthian War and settled in camps where they previously stationed: II Adiutrix at
Aquincum, where it replaced legio X Gemina, which was transferred to Vindobona, and I Adiutrix to
Brigetio27. In turn, legio XIIII Gemina was transferred to Carnuntum from Vindobona to replace legio
XV Apollinaris, who marched off to Cappadocia around 118/119 A.D. The return of II Adiutrix in
Pannonia was dated, also in 118/119 A.D. The gravestone that belonged to P. Aelius Lucus, a veteran of
this unit, which had died after 140 A.D. is cited as evidence of the “domino theory”28. But the epigraph
provides even less information than that dedicated to M. Ulpius Dasius. It makes no mention of the
number of stipendia of P. Aelius Lucus. It also doesn’t provide any argument for the dating of the
sepulchral monument in the fifth decade of the second century A.D. Therefore, the two inscriptions do
not provide the necessary evidence to support the thesis of the Hungarian researcher29.
16
CIL XVI 61; Lőrincz 2001, 80-81.
AE 1908 23.
18
CIL III 6748; Anderson, Cumont, Grégoire 1910, no. 104. On the presence of this unit in Pannonia Inferior, see:
Strobel 1984, 107-109; Genser 1986, 504-505. Lepper 1948, 176-177 criticized Ritterling’s theory on the
accompaniement of legions by auxiliary vexillations on campaigns.
19
Mitford 1997, 143.
20
Mitford 1997, 144; Mitford 1977, 508; French, Summerly 1987, 22.
21
Wheeler 2000, 284, no. 147.
22
CIL III 4491 = Vorbeck 1980, no. 149; Ritterling, RE XII, 1925, 1754.
23
Syme 1968, 106-108.
24
Cn. Pinarius Aemilius Cicatricula Pompeius Longinus is attested as governor of Moesia Superior by the military diplomas
of 16 september 94 (CIL XVI 39 = ILS 9053 = AE 1897 108, 42) and 12 july 96 (Dušanić, Vasić 1977, 291-292; AE 1977
722 = RMD 1978, 36-37, no. 6). On his career, see: PIR² P 623; Jones 1979, no. 233; Eck 1970, 143,145; Eck 1982, 321-330;
Thomasson 1984, 125-126, no. 31. R. Syme proposed the thesis of the assignment of Trajan as governor of Moesia Superior:
Syme 1958, I, 34; Syme 1968, 208. The idea was shared by other scholars: Eck 1970, 145; Dušanić 1983, 18, no. 24 and AE
1985 722 (where this governorship is postulated 92-93 A.D.); Nagy 1986 proposed a pannonian assignment for Trajan c. 95
A. D.; Syme 1958, 34, suggested that Trajan would have accompanied Domitian as comes in Pannonia in 92 A.D. Eck 1982,
319-321 postulate a pannonian governorship for L. Neratius Priscus 91/92-93/94 A.D.
25
Strobel 1986a, 912.
26
Lőrincz 1981, 286; Lőrincz 1989, 100, no. 30.
27
Lőrincz 1975, 350.
28
CIL III 10500.
29
Fitz 1986, 334; Wheeler 2000, 285 rejects the thesis advanced by Lőrincz 1981.
17
92
In response, J. Fitz has advanced the hypothesis that Trajan would have governed Pannonia
throughout 92/93-96 A.D. and that M. Ulpius Dasius would have served in an auxiliary unit before being
transferred to the legio XV Apollinaris. The Hungarian scholar rejected 118/119 A.D. as the date of
departure of the legion and stresses the lack of evidence on the presence of XV Appollinaris at Carnuntum
after the first years of the second century A.D30. Strobel rejected Fitz’s objections and defended Lőrincz’s
date of 118/119 A.D. for the departure of the legio XV Apollinaris from Carnuntum to Satala31.
The dating of these inscriptions engraved on the basis of the lettering requires more stringent
criteria as is likely to lead to subjective and untenable interpretations. For this reason, none of the above
proposed constructions withstand rigorous analysis, therefore we agree with Fitz’s hypothesis32.
Epigraphic material to attest the presence of XV Apollinaris during Trajan's reign is absent both
at Carnuntum and elsewhere in Pannonia. Also, the career of M. Ulpius Dasius cannot be reconstructed
on the basis of this inscription33 and there is no evidence that this soldier was the first in his family to be
granted Roman citizenship34. This thesis relies on another controversial hypothesis, according to which
the future emperor would have governed Pannonia35. The conclusion that emerges from the analysis of
the funerary inscription dedicated to M. Ulpius Dasius is that it provides no prove for the dating of legio
XV Apollinaris departure from Carnuntum in 118/119 A.D36.
Another category of documents to be considered in the debate concerning the departure of
the legion are the stamped bricks of Carnuntum. Stamps of the legio XV Apollinaris were
discovered in the first phase of construction of the auxiliary camp at Quadrata (Lébény), where
fragments of terra sigillata dating from the early decades of the second century A.D were also found 37.
These bricks have been dated to 115-118 A.D. period without much consideration for arguments
in this regard. According to Lőrincz, the bricks of XV Apollinaris from Quadrata were delivered from
Carnuntum and succeeded by those of the XIIII Gemina, which replaced XV Apollinaris at Carnuntum,
30
Fitz 1986, 334-335, 346-350, 356; Fitz 1981.
Strobel 1988a, 193f.; Lőrincz 2001, 74, no. 419; the thesis is shared by other researchers: Genser 1986, 639; Vetters 1986,
213 (the departure of the legion from Carnuntum is dated in the last year of Trajan’s reign); Stiglitz, Jilik 1997, are skeptical.
32
Strobel 1988a, 197, 199-201, with extensive bibliography on the gravestones from the Middle Danube; cf.
Zabehlicky; Strobel hypothesis that the inscription dedicated to M. Praeconius Iucundus (Vorbeck, op. cit., nr. 150)
would date from the second decade of the second century is at least unconvincing; Vorbek 1980, no. 149, dates the
gravestone dedicated to Dasius to the beginning of the second century.
33
Strobel 1988a, 197-199; Strobel 1984, 97, no. 73, dates the bestowall of citizenhip on Dasius in 98 A.D. Strobel’s
arguments (Strobel 1988a, 197-198, no. 29) against Fit’z view that Dasius could have served in an auxiliary unit before being
transferred to legio XV Apollinaris are not quite correct. He rejected the restoration of ILS 2596 = E. Vorbeck, op. cit., nr. 140,
where the career of an eques from an auxiliar ala transferred in XV Apollinaris is showed; line 4 of CIL V 898 restored inde
translatus in l(egionem) Au(gustam ?) factus signifer by Fitz turned out to be justified; see Wheeler 2000, 286, no. 157).
34
K. Strobel 1988a, 197, no. 27, states that even if Dasius’ father might have received roman citizenship from Trajan as
an auxiliary, this changed nothing about Dasius junior career chronology, a view which is disputable; cf. Wheeler 2000,
286., no. 158; French, Summerly 1987, 21-22, supposed that Dasius senior received roman citizenship from M. Ulpius
Traianus pater, after his consulship in 70 A. D. when he might have served as governor of Moesia before his
governorship in Syria in 73. This hypothesis is purely conjectural like many others on M. Ulpius Dasius’ career.
35
Strobel 1988a, 198-199, rejects the hypothesis of a pannonian governorship of Trajan 92/93-96 A.D. This thesis is
supported by Fitz 1986, 334-335, 346-350, 356; Birley 1997, 31, no. 12; Bennett 1997, 45-46. Bennet adduced some
Byzantine sources evidence (Georgios Kedrenos, Compendium Historiarum, Patrologia Graeca CXXI, ed. J.-P. Migne,
1894, 433, 20-434; Leo Grammaticus, Chronographia, Corpus Historiae Byzantinae, ed. B. G. Niebuhr, Bonn, 1842, 67,
4-5,). They mention Paionia (=Pannonia, a term met also in Cassius Dio, 69, 36, 4-6 and Appianus, Illyrike, XIV, 40).
According to the these sources, Trajan served as governor of Pannonia by the time he was adopted by Nerva; cf. Wheeler
2000, 286, no. 159, who supposed that the two byzantine historians quoted Cassius Dio as their source. AE 1985 722 is
also considered by some scholars as an evidence for Trajan’s pannonian governorship. According to Pliny the Younger
(Panegyricus XIV, 5), Traian had been considered worthy of higher commands, but in other chapter (Panegyricus, XLIV,
1) Pliny says that Trajan spent the years after his consulship (91 A. D.) in Rome (see Hanslik, RE Suppl. X, 1035-1102 s.v.
Marcus Ulpius Traianus; Lőrincz 1981, 286). See also Eck 2001, where this hypothesis is rejected. Due to lack of any
evidence on Trajan’s career during 91-96 A. D., the thesis of his pannonian governorship is untenable.
36
Fitz 1986, 348; Wheeler 2000, 286.
37
Lőrincz 1995, 119. The Hungarian scholar also says that the bricks of the XV Apollinaris from Arrabona date from
the second decade of the second century, but no argument is given in this respect. Bricks of the XIIII Gemina and XV
Apollinaris occured also at the auxiliar fort at Ad Statuas (Gabler 1980, 639). However, Lőrincz didn’t mention them
among his arguments on legio XV Apollinaris departure from Carnuntum.
31
93
a thesis that can not be proved archaeologically. The dating of these bricks on the basis of the inscription
dedicted to M. Ulpius Dasius, which was assumed to date from 118/119 A.D. cannot withstand38.
However, as noted above, this inscription cannot be dated. We cannot exclude that legio XIIII Gemina
delivered its own bricks for the fort from Quadrata and bricks from the older stockpiles of XV
Apollinaris, who previously stationed at Carnuntum as bricks could be stored for long periods of time
before being used. A good example is offered by the bath of the auxiliary camp from Carnuntum, built
with bricks of the XV Apollinaris after the unit had left Pannonia39.
Bricks of legio XV Apollinaris were discovered at Brigetio, where the unit had participated
to the building of the legionary camp. The building work at Brigetio extended from 97-114 A.D. or
maybe even later. There were three phases of construction: after the bellum Suebicum: between 97101 A.D., building work was carried out by I Adiutrix and a vexillatio from XIII Gemina, XIIII
Gemina and XV Apollinaris; between 101-105 A.D. work was continued by a vexillatio of XI
Claudia, XIII Gemina, XIIII Gemina and XV Apollinaris, as legio I Adiutrix had been dispatched to
the Dacian theater of operations at full strength40. Lőrincz identified a third period (105-114 A.D. or
later) when a Bauvexillatio of XIIII Gemina, XV Apollinaris and XXX Ulpia had been involved41.
Stamped bricks found in the local kiln attest the presence of a vexillatio of the XIIII Gemina
and XV Apollinaris throughout 101-104 A.D. They were also discovered stamped bricks of another
unnamed three legionary vexillations42. R. Saxer dated the bricks of the XIIII Gemina and XV
Apollinaris 101-104 A.D. and assumed that XV Apollinaris was not among the vexillationes tres for
it had already left Brigetio. The German researcher raised objections against equating the duration
of the stationing of a legion with the duration throughout its bricks had been used43. In turn, Strobel
argues that the all the bricks for the tres vexillationes belong to the era of the prima expeditio
Dacica44. M. Kandler dated the building work of the legionary camp at Brigetio in the last years of
the first century A.D., a work which, according to his opinion, was carried out by XIIII Gemina and
XV Apollinaris45. To conclude, the bricks of the XV Apollinaris from Brigetio provide no evidence
on the presence of the legion in Pannonia after 106 A.D46.
During its tour at Carnuntum the legion produced a large amount of bricks. Bricks of the XV
Apollinaris were found at Vindobona, Wallsee (near Lauriacum), and Mauerbach, located on the
Pannonian-Noricum border and on the territory of Slovakia47. Stamped bricks of the XV Apollinaris
occurred also at Zeiselmauer, in Austria, one in a Flavian earth-ands-timber camp, while others
were discovered in the same context with bricks belonging to the legio II Italica, raised in 166
38
Lőrincz 1981, 286; Strobel, 1988a, 203. Wheeler 2000, 287, no. 162, noted the absence of South Gallic Banassac
ware at Quadrata, while a lot can be found at Arrabona, Ad Flexum and Gerulata, dating from Nerva’s reign. However,
the pottery is dated in connection with Hadrianic coins. See Gabler 1980, 639, 641.
39
Wheeler 2000, 287.
40
Lőrincz, 1975, 349-351; Matei-Popescu 2009, 170-171.
41
Lőrincz 1975, 350-351.
42
CIL III 11365 = Saxer 1967, no. 260: v(exillatio) l(egionis) XIIII et XV; XIIII et XV; CIL III 4677 = 11374 = Saxer 1967, no.
261: vexil(lationes) tres; CIL III 11374 = Saxer 1967, no. 262: vexil(lationes) (tres), vexil(l)atio(nes) (tres); Lőrincz 1975.
43
Saxer 1967, 88; Lőrincz 1975, 350, no. 85.
44
Strobel 1988a, 203-205.
45
Kandler 1991, 237.
46
Wheeler 2000, 287.
47
Vindobona: CIL III 4570, 232840; Genser 1986, 444, 502-503, 518; cf. Ritterling, RE XII, 1925, 1750, 1753;
Neumann, RE IX.A.1., 1961, s.v.Vindobona, 60, 62; Strobel 1988a, 211, no. 122, who contests the restoration of the
brick stamp made by Ritterling; Lőrincz 1995, 115, states that no brick of the XV Apollinaris dates before 71 A.D.; AE
1907, 142; Vetters 1986, 212; Genser, 1986, 502-503; Strobel 1988a, 211; Mauerbach: Lőrincz 1991, 246, no. 14;
Wallsee: Vetters 1977, 357; Slovacia: Gerulata-Rusovce: Kolník et alii, 1993, 222; Bratislava Burgberg and Altstadt:
Kolník et alii, 1993, 232; Elschek 1994, 206; Stupava: Kolník 1997, 421; cf. AE 1980 706, AE 1987 822c; Genser
1986, 732; Milanovce: Kolník 1997, 419, 421; Staré Mesto: Kolník 1986, 426. On the attempt to date more precisely
the bricks of X Gemina, XIII Gemina and XIIII Gemina from Stupava, see: Lőrincz 1989, who says that the bricks of the
XV Apollinaris found at Stupava and Milanovce necessarily date from 97-118/119.
94
A.D.48 In the end, the analysis of the epigraphic material provides no evidence for the presence of
the XV Apollinaris in Pannonia after 106 A.D49.
The inscription dedicated to L. Terentius Rufus, a centurion of the legion I Minervia,
distinguished by Trajan with dona militaria in the Dacian War and promoted primus pilus of the
legio XV Apollinaris is of particular importance for the history of the XV Apollinaris. The text was
reviewed by the American scholar E. L. Wheeler, who tried to demonstrate that the unit was
transferred from Pannonia to Egypt in 106 A.D50. Wheeler supposed that Terentius Rufus had
caught the attention of the future emperor Hadrianus, commander of legio I Minerva 105-106, had been
promoted in XV Apollinaris, and tasked to oversee the unit’s deployment to Egypt51. This transfer must
be seen in the light of events of the year 106 A.D.: the creation of two new provinces, Dacia and Arabia.
Legio III Cyrenaica, located in Nikopolis, Egypt, along with legio XXII Deiotariana had been
transferred to Arabia52. The decision to transfer XV Apollinaris to Egypt came as no surprise since the
legion had served in the East during 63-71 A.D. and had wintered at Alexandria in 66-67 A.D. The lack
of evidence for the presence of legio XV Apollinaris in Pannonia after 106 A.D. and the existence of
some evidence on its transfer to Egypt have been noted by many scholars53.
Another epigraph which drew the the attention of the researchers is an altar set up inside the
temple of Sarapis at Mons Claudianus in Egypt by another centurion of legio XV Apollinaris,
Annius Rufus, who names himself praepositus of the quarries54. Many researchers, since Ritterling,
presumed that Annius Rufus was sent to Egypt as he had some experience with quarries55. A similar
situation was encountered in Euboia, where T. Sergius Longus, another centurion of the XV
Apollinaris dedicated an altar to Herakles at a quarry near Carystos56.
These two situations have led some authors to believe that the legion went to East not earlier than
114 A.D. and that Trajan deployed from it a few detachments for specific missions in Euboia and Egypt57.
This conclusion rests on several assumptions difficult to prove. First, it was assumed that Annius Rufus
and T. Sergius Longus received these assignments during the same period, that is Trajan’s Parthian War.
Also, the presence of the cognomen Optimus was taken as evidence for the dating of the inscription to 114
A.D. or later. Such a view rests on the assumption that legio XV Apollinaris remained at Carnuntum until
114 A.D. However, as noted above, this hypothesis could not be demonstrated, and the inscription
dedicated to Annius Rufus cannot be invoked as an argument for the participation of the legion to the
Parthian War58. Even if T. Sergius Longus received a special assignment in Euboia, this provides no
information on his career and the province where legio XV Apollinaris was stationed59.
The words Optimo Imp(eratore) as a terminus post quem dating the inscription dedicated to
Annius Rufus in 114 AD or later should be scrutinised more thoroughly. The title Optimus is first
48
Genser 1986, 388, 391.
Wheeler 2000, 287-288.
50
Wheeler 2000, 288-293.
51
SHA, Vita Hadriani, III, 6; Strobel 1984, 86-87; Birley 1997, 50-51; Ritterling, RE XII, 1925, col. 1431. On the career of L.
Terentius Rufus, vezi: CIL II 2424; Dobson 1978., no. 110; Sablayrolles 1996, 549-550, dates his centuriates 102-106, before a
tribunate in the cohortes vigilum, around 110; AE 2005 838; Pitillas Salañer 2005. Wheeler 2000, 288, no. 167, notes, for good
reason, that the previous service in legio I Minervia, under the command of Hadrian, and the promotion of Terentius Rufus to primus
pilus in XV Apollinaris at the moment of the of the legion’s departure to Egypt are closely connected.
52
Préaux 1950-1951; Dussaud 1955, 154; Petersen 1967, 160, no.3; Speidel 1977, 689-693; Kennedy 1980, 289-292;
Strobel 1988b; Freeman 1996; Strobel 1995, 100-101; Gatier 2000. Strobel 1988a, 196. Strobel 1988b, 262-263, 266267 (and Strobel 1988a, 196) postulated that only one legion, XXII Deiotariana, stationed in Egypt for 12 years.
Wheeler 2000, 288, no. 168, assumed that the reign of Trajan was to early for Egypt to be left by with only one legion.
53
Betz, Kenner 1937, 80, signalled for the first time the absence of Trajanic evidence for legio XV Apollinaris’ presence at
Carnuntum (see also Syme 1938, 92, no. 36). The first scholar who postulated the departure of the legion for the East was Reidinger
1956, 133, 134, 140, 199 no. 38; his view was shared by Fitz 1981 and Fitz 1986, 333, 360, and Wheeler 2000, 282-295.
54
CIL III 25 = ILS 2612 = CIG 4713e = IPan 39 = Mosser 2003, 211: Annius Rufus (centurio) leg. XV/ Apollinaris
praepositus/ab Optimo Imp. Traiano/operi marmarum Monti/Claudiano/v.s.l.a.
55
Ritterling, RE XII, 1925, 1755; Klein 1988, 31; Alston 1995, 164.
56
CIL III 12286: T(itus) Sergius Longus/(centurio) leg(ionis) XV / Apoll(inaris) Herculi sacrum.
57
Strobel 1988a, 195; cf. Maxfield 1997, 111; IPan, 93-94.
58
Fitz 1986, 335.
59
Wheeler 2000, 289.
49
95
mentioned in Pliny’s Panegyricus, delivered on September 1 100 A.D. and reviewed in 103 / 104
A.D.60 It also occurs in an inscription dating from 99 A.D., discovered at Mopsuestia, in Cilicia61,
and also in other epigraphs before 114 A.D., scattered all over the empire, and on the reverse front of
some coins dating from 103 A.D62. This title was officially conferred by the Senate between 10 August
and 1 September 114 A.D63. Also, the position of Optimus in the inscription dedicated to Annius Rufus
is unusual and the expression Optimus Imperator is not documented in epigraphic sources64. It was used
by Hadrian in his speech delivered at the funerals of Trajan in Rome65. Therefore, the inscription does
not provide sufficient arguments to be dated in 114 A.D. or at a later date66.
However, it remains to demonstrate that legio XV Apollinaris was in Egypt and that Annius
Rufus was not seconded from his unit to serve in another province. A similar case is the inscription at
Wadi Semna, dating from 150-152/153 A.D.: Ulpio Himero p[raef(ecto) Mon]ti (l. 4)67.Wheeler offered
a different reading, very plausible in my view: p[raep(osito) Mon]ti68. Strobel noted that the roman
administration of the quarries from Egypt was rigorously structured. It consisted of a procurator
metallorum, a conductor metallorum – both often appointed from imperial freedmen – and a centurion
who commanded a centuria from a legion or an auxiliary cohort or a cavalry turma69.
This text is a private dedication, and the term for the position held by Annius Rufus,
praepositus, the Latin equivalent of the Greek preposition epi followed by a genitive or dative is
frequently attested in the texts from Mons Porphyrites and Mons Claudianus where occur
centurions who fulfilled the same assignment. They held command positions in the legions
stationed in Egypt and received the provisional command of a detachment from a auxiliary unit70.
The german scholar has omitted, however, that the operations of Mons Claudianus or Mons
Porphyrites were assigned only to regular units of the Egyptian army71.
Some researchers have proposed the identification of Annius Rufus with a centurion of the
legio XIII Gemina, which appears in an inscription from Vindobona, where the unit was stationed
between 92-101 A.D., before being sent to Dacia72. The legionary camp of Vindobona was built
between 98-107 A.D., and one vexillatio of legio XIII Gemina contributed between 97-101 A.D. to
building the camp at Brigetio. Legio XV Apollinaris participated throughout this period to building
of both camps73. It can be assumed, therefore, with a high degree of probability, that Rufus was
transferred in legio XV Apollinaris around 101 A.D., when legio XIII Gemina had been sent against
the Dacians. Certainly the building experience gained in Pannonia by Annius Rufus at Vindobona
and Brigetio has been taken into account when he was appointed at Mons Claudianus after the
transfer of legio XV Apollinaris to Egypt74. The presence of the Roman detachment led by Annius
60
Panegyricus, 2, 7; 88, 4; 6; 89, 1.
IGR III 914; inscription from Lyttos, Crete, dating from 107 A.D.: IGR 984; inscription from Simitthu, in Numidia,
from 112 A.D.: ILS 293 = DNTH 98: inscription from Asseria, in Dalmatia, dating from din 113 A. D.: CIL III 15021.
62
The coins with SPQR OPTIMO PRINC(IPI): BMCRE III, LXX, no. 54f; cf. RIC2, 235 on Optimus as an official title
from 114 A.D.; Lepper, 1948, 46-48.
63
Frankfort 1957, 333-334; Cizek 1980, 394-396; Bennett 1997, 63-64.
64
Kneissl 1969, 86-87.
65
SHA, Vita Hadriani, 6, 3.
66
Strobel 1988a, 194 says that the inscription dates to 114 A. D. or later.
67
IPan 53.
68
Wheeler 2000, 290.
69
Strobel 1988a, 194-195; Klein 1988, 30-31.
70
IPan 21; 38; 41. On praepositus, see: Birley 1953, 300-301.
71
Lesquier 1918, 520; Klein 1988, 31. Units that served in this capacity: ala Vocontorum (IPan 20), cohors I Flavia
Cilicum (IPan 42), legio XXII Deitariana (IPan 41); Alston 1995, 24, 26; against this view Hirt 2010, p. 169-175.
72
CIL III 151964; Ritterling, RE XII, 1925, 1757.
73
Genser 1986, 505-506, 510; Strobel 1984, 95-96; see nos. 150 and 219; Lőrincz 1989, 98, dates the arrival of legio
XIII Gemina at Vindobona to 97 A. D.
74
Wheeler 2000, 290, no. 185.
61
96
Rufus at Mons Claudianus should be related to the vast construction program initiated by Trajan
after the conquest of Dacia, when Basilica Ulpia and other buildings were raised at Rome75.
A ostracon discovered at Apollinopolis Magna (Edfu), dated 18 May 116 A.D., refers to a
Jewish slave, Thermauthos, who was the property of a centurion named Annius76. Identification of
the latter with the officer appointed to lead the detachment of Mons Claudianus is speculative, but
can not be excluded. The funerary inscription dedicated to a centurion P. Turranius Severus, who
died shortly after the arrival of XV Apollinaris at Satala, informs us that his heir was his libertus,
Turranius Epaphroditus77. Greek names occur very rarely in Carnuntum inscriptions dating before
106 A.D78. They are almost as rare at Satala, even after the arrival of the legio XV Apollinaris, a
fact not surprising given that the eastern Cappadocia and Armenia Minor were not strongly
hellenized79. Most likely, Epaphroditus had been bought by his master in Egypt80.
The legion did not serve during Trajan's Parthian War in Armenia as might be expected, but in the
South. A coin found at Arados and another issued under Domitian, presumably at Neapolis in Samaria both
wearing the countermark of the XV Apollinaris (LXV), bring evidence of the presence of the legion in Phoenicia
and Palestine in 115-117 A.D81. The most plausible hypothesis would be that legio XV Apollinaris acted on a
logistic support mission role for troops who have fought the rebels of Judaea or in other missions.
In the year AD 115, Jewish revolt broke out in Cyrenaica and spread to Egypt during the
summer of the next year82. A papyrus letter discovered at Hermoupolis announces the defeat of a
legion and irregular troops recruited among the local people. The text mentions that the prefect of
Egypt had “other legion” already on its way to Memphis83. It logically emerges from this letter that
two legions were stationed in Egypt by the time of the Jewish revolt ignition. The identitiy of the
two legions cannot be precisely determined from this letter, but they are very likely to be XV
Apollinaris and XXII Deiotariana. We may exclude III Cyrenaica, since this legion is attested at
Dura Europos in 115/116 A.D.84 and a year later was in Judaea85 as a part of the expeditionary
force under the command of Q. Marcius Turbo that had been sent by Trajan against the rebels86.
The rebellion was suppressed shortly before the death of the emperor in the August 117 A.D.:
Trajan commissioned L. Gavius Fronto, praefectus castrorum of the XV Apollinaris to found a colony
of 3,000 veterans in Cyrenaica87. The study of this officer's career may bring additional evidence in
support of the hypothesis for the presence of legio XV Apollinaris in Egypt during 106-117 A.D. A
prominent citizen of Attaleia (Pamphylia), Fronto proudly mentions he is the first of his family to reach
the rank of praefectus castrorum. The inscription can be dated on career-related references on his son
75
Maxfield 1997, 115, noticed that activity at Mons Claudianus from Domitian to Antoninus Pius was sporadic, but
very intense for the period 106-112 A.D. The assignment of T. Sergius Longus was connected with the building of the
temple dedicated to Roma and Venus. For the dating of construction, see: Kienast 1980, 402-403.
76
DNTH 56 = CPJ 229.
77
AE 1988 1044; see supra nos. 7, 8.
78
Vorbeck 1980, indices.
79
Mitford 1974, 170-171, no. 6 = Mitford 1997, 154-155, no. 26. On the hellenization of this region, see bibliography at
Wheeler 1991, 505, no. 1.
80
Wheeler 2000, 290-291.
81
BMCRE, Phoenicia, xxxvii; Rey-Coquais 1974, 167; Rey-Coquais 1978, 68, who assumed that legio XV Apollinaris
was provisionally stationed at Arados. This view was rejected by Howgego 1985, 257, who conjectures that the legion
would have been present in the area during 132-135 A.D., by the time of Simon bar-Kochba war. This is only
speculation since there is no evidence on the involvment of the legion in this war, as XV Apollinaris participated at full
strength in Arrianus’ campaign against the Alani (cf. Ektaxis kata Alanon 5, 15, 24). The coin found at Arados has been
dated to 115/116 (Howgego 1985, 257.), 111/112 (Reinach 1914, 138-139, no. 4).
82
Pucci 1981; Smallwood 1976, 393-427; Applebaum 1979, 270.
83
DNTH 57 = P. Bremen 1 = CPJ 438; Birley 1997, 74; Pucci 1981, 57-58, no. 167; cf. 58-59; Smallwood 1976, 402,
no. 50 who believed there was only one legion, XXII Deiotariana, at the time of the revolt.
84
Dura-Europos 1933, 56-65; Dura Europos 1936, 480-482.
85
CIL III 13587; Thomsen 1921, 1-2. Keppie 1973, 862, identified this legion as III Cyrenaica.
86
Eusebius, Historia ecclesiastica 4, 2, 3, 1; Appianus, Bella Civilia 2, 90; SHA, Vita Hadriani 5, 2. On the return of this
legion, see: Pucci 1981, 58; Applebaum 1979, 310-314; Strobel 1988b, 266-267; Strobel 1988a, 196, who admits the presence
of a vexillatio of XV Apollinaris in Egypt either before or with the expeditionary corps led by Q. Marcius Turbo.
87
AE 1972 616 = SEG XVII 584 = DNTH 313 = Dobson 1978, 233, no. 113; AE 1972 617.
97
and grandson in the late years of Hadrian or in the early years of his successor, when L. Gavius Fronto
was probably very old88. Like many other epigraphs containing data about a primipilaris career, details
of positions held before the primipilate are lacking. The inscription mentions, however, that L. Gavius
Fronto received equestrian status and was awarded dona militaria by an unnamed emperor, most likely
Domitian. Legio III Cyrenaica, where the officer had served as primus pilus, didn’t participate in the
Danubian wars waged by Domitian. Therefore, it can be concluded that L. Gavius Fronto might have
received a direct commission as a centurion by the time he entered the army. He served in one of the
legions that have participated in the Danubian wars of Domitian, on which occasion he was decorated,
promoted to primus pilus and transferred to legio III Cyrenaica89.
Determining the date on which L. Gavius Fronto has accomplished his mission in Cyrenaica
raises some difficulties. No doubt that military experience gained in the wars on the Danube
recommended this officer for the post of primus pilus in legio III Cyrenaica in 106 AD, when the
new province Arabia was created90. B. Dobson believes that the colonization of Cyrenaica started
when L. Gavius Fronto was still a primus pilus of the III Cyrenaica91. But the inscription dedicated
to this officer does not suggest that Gavius Fronto would have continued his career after the
founding of the new colony and accompanied legio XV Apollinaris to Satala. Joining the army
under Domitian, L. Gavius Fronto was aged and due to retire by 117 A. D. Strobel assumed that this
officer was promoted to praefectus castrorum and appointed to command a vexillatio of legio XV
Apollinaris in the expeditionary force commanded by Q. Marcius Turbo92.
Praefecti castrorum to command legionary vexillations are not attested at least before the
Marcomannic wars93. The commanders of these vexillationes were of senatorial rank. The most likely
scenario is that L. Gavius Fronto had been promoted and transferred to legio XV Apollinaris before the
Parthian War, where he held this position for several years. He served as praefectus castrorum, i.e.
commander of XV Apollinaris while the unit was in Egypt. As senatorial legates and tribunes were not
allowed to set foot in Egypt, equestrian officers with the title praefectus castrorum were appointed to
run each legion’s permanent base-camp. The chain of command of the Roman army in Egypt is not very
well known, but it can be assumed that L. Gavius Fronto, as a praefectus castrorum, commanded legio
XV Apollinaris, under the authority of a ducenarian praefectus castrorum Aegypti94.
The presence of legio XV Apollinaris in Egypt during 106-117 A.D. may explain the almost total lack
of knowledge on the legates of this unit throughout the period from the Flavians to the reign of Hadrian. The
fasti of the 49-73 A.D legion’s legates are complete. C. Minicius Fundanus, who held this rank in Trajan’s
early reign95, is the last known legate of the legion before M. Vettius Valens, who acted as commander of the
XV Apollinaris under the authority of Flavius Arrianus in the campaign against the Alani, after 130 A.D96.
Unfortunately, the place where the new colony was founded is not known, nor the legions
from which the the 3,000 colonists were drawn. It is possible that some of them belonged to the XV
Apollinaris, as the legion had been transferred to Egypt in 106 AD, in 117 A.D. many of its soldiers
88
Halfmann 1979, no. 71 (L. Gavius Aelianus), 106 (L. Gavius Clarus). Rémy 1989, 337, rejects that L. Gavius
Aelianus would have been a quaestor in Lycia-Pamphylia.
89
Dobson 1978, 233, no. 113.; Strobel 1988a, 197. no. 25, considers the grantor of the dona militaria is Hadrian, who
rewarded L. Gavius Fronto for the colonisation. Wheeler 2000, 292, no. 197, rejects this thesis. If the grantor was
Hadrian, his name would appear in the text. Granting dona militaria for settling a colony is very unlikely and the fact
that they are mentioned just the reference to the colony is of no significance. The career inscriptions of primipilares
often do not follow a clear chronological order (see Kennedy 1983; Strobel 1986b).
90
Wheeler 2000, 292.
91
Dobson, 1978, 233, no. 113.
92
Strobel 1988a, 195-196.
93
Saxer 1967, 120-121; Examples cited by Strobel (Dobson 1978, 71. nos. 183-184) do not involve real vexillationes
sent in operations outside the home province, but detachments of a legion who train and perform outside the camp, in
the same province or theater. The case of C. Velius Rufus (ILS 9200) is singular and cannot be taken as a rule (cf. Saxer
1967, 23; Wheeler 2000, 292-293, no. 198).
94
Strobel 1988a, 196; on the chain of command of the roman army from Egypt, see: Domaszewski 1997, 120-121;
Dobson 1978, 72-74; Dobson 1982.
95
Franke 1991, 256ff, no. 109; PIR² M 612.
96
Ektaxis kata Alanon, 5, 24; CIL XI 303; cf. CIL II 383.
98
were due to be discharged. Concerned to consolidate the Roman rule in Cyrenaica after the disaster
produced by the Jewish revolt, Trajan settled in the province experienced veterans who knew the
region well. The emperor put in charge of leading the colonists a valuable officer, L. Gavius Fronto,
a man also knowledgeable of the region as a result of his long service in Egypt as praefectus
castrorum legionis XV Apollinaris. Therefore, the study of this officer's career, as is the case of
Annius Rufus, proves that legio XV Apollinaris was present in Egypt during 106-117 A.D.97
The next question that arises quite naturally refers to the date of transfer of XV Apollinaris to
Satala. The departure took place before the year 119 A.D., when III Cyrenaica and XXII Deiotariana
are attested together in the camp from Nikopolis, near Alexandria98. In Arabia, legio VI Ferrata replaced
legio III Cyrenaica99. According to some scholars, legio VI Ferrata was not transferred directly from
the Bostra to Samosata, but was sent first on the parthian front at Artaxata in Armenia100.
The seductive hypothesis of the "domino theory" which involves the simultaneous transfer of
these legions of Pannonia and eastern provinces in 117 A.D. has some inconsistencies. A complete and
rapid evacuation of the conquered territories east of the Euphrates was impossible and risky: Oshroene has
maintained its position as a client-kingdom, a status that claimed a Roman military presence and the status
of Gordyene and Sophene in the same period is still a matter of debate for researchers. One can assume
that legio IIII Scythia returned to Zeugma101, although troops from the Danubian provinces were quickly
recalled to face the crisis caused by the attacks of the Dacians and Sarmatians in 118-119 A.D102. On the
other hand, information on legio III Gallica and XII Fulminata for this period is lacking.
Wheeler proposed a different approach. Shortly after coming to power, in August 117 A.D.,
Hadrian replaced the prefect of Egypt, Rutilius Lupus with Q. Rammius Martialis, a former praefectus
vigilum103. The return of III Cyrenaica at Nikopolis after the supression of the Jewish revolt put an end
to the Egyptian tour of XV Apollinaris. L. Gavius Fronto retired to Attaleia and a senatorial legate was
appointed commander of legio XV Apollinaris. The departure date of the legion from Egypt can’t be
dated earlier than 117 A.D. and the arrival at Satala not later than 119 A.D. The funerary inscription
from Satala, dedicated to Ti. Julius Martialis, a military of XV Apollinaris, born at Savaria, dead at age
30 after 13 years of military service, can be dated to 119 or even 118 A.D104. The American researcher
believes that it is unlikely that legio XV Apollinaris may have left Egypt in August 117 A.D. and arrived
in Armenia in the middle of the winter. It was therefore assumed that the legion left Egypt in the spring
of 118 A.D. and had reached Satala in the summer of the same year105.
The above hypothesis rests on the assumption emerging from the analysis of Ti. Julius
Martialis’ career that legio XV Apollinaris ceased to operate recruitment in Pannonia after leaving
the province, in 106 A.D. A bilingual Greek and Latin funerary inscription found at Sinope comes
to cast a shadow on this hypothesis. The epigraph is dedicated to the wife of a centurion, P. Aelius
Pompeius, who mentions his origo in Carnun(t)um Pan(n)oniae superioris. The legion’s name is
omitted, a practice that is not uncommnon in veterans’ inscriptions in the East106. The settlement of
this veteran at Satala in the second century A.D. and his Pannonian origo could indicate he was an
97
Wheeler 2000, 293.
BGU I 140 = DNTH 333; Keppie 1973, 862; Strobel 1988b, 266.
99
Keppie 1973, 860, 862, 864; Kennedy 1980, 297-299; Strobel 1988b, 267; Cotton 2000.
100
Arrianus, Parthike, 85; Ritterling, RE XII, 1925, 1594; AE 1950 66 = IRT 545; AE 1968 511: [mile]s leg(ionis)/ [VI
Fer]r(atae). On legio VI Ferrata at Samosata, see: Keppie 1973, 860; Kennedy 1980, 283, 303; Strobel 1988b, 267 (who
erroneously cites Keppie 1986, 424f.). The thesis that legio VI Ferrata stationed at Samosata in the Flavian era cannot be
substantiated. Samosata was rather the base of legio III Gallica (Keppie 1986, 422-424; Rémy 1986, 61; Wheeler 1996, 255-256.
101
Speidel 1998, 170; Speidel 2000, 333. On the total evacuation of the conquered territories, see: Birley 1997, 78, 83.
On Oshroene, see: Birley 1997, 53-154; Wheeler 1991, 506. On Sophene, see: Wheeler 2002 (non vidi).
102
Balla 1969, 113; Russu 1973; Strobel 1986a, 905-967, especially 942-961; Petolescu 1993, 288-290; Piso 1993, 3041; Opreanu 1998; Eck, MacDonald, Pangerl 2002-2003, 32-34; Eck, Pangerl 2004-2005, 65-67; Husar 2002, 367;
Lőrincz 2003, 26; Muscalu 2006, 53; Nemeth 2008, 389-390.
103
Birley 1997, 79, no. 8; Q. Rammius Martialis is attested prefect of Egypt at 25 august 117 A.D. (P. Oxy., LV 3781).
On his earlier career, see: Sablayrolles 1996, 484-485.
104
See supra no. 4; AE 1988 243.
105
Wheeler 2000, 294.
106
Reinach 1916, 347-351, no. 8; Salač 1920, 354-361. The attempt to date the inscription to 106 A. D. is without foundation.
98
99
officer of legio XV Apollinaris. The terminus post quem for the inscription is 106 A.D., the year
when Pannonia was divided. The terminus ante quem might be the middle of the second century A.D.,
when fines for disturbing the graves are frequent in Anatolian inscriptions. His gentilicium also indicates
he was recruited under Hadrianus, that is long after the legion’s transfer from Pannonia. If P. Aelius
Pompeius served in legio XV Apollinaris, this inscription shows that the unit continued to recruit from
Pannonia even after it’s permanent transfer to Satala. Therefore, the attempt to date the inscription
dedicated to Ti. Julius Martialis in 118 or 119 A.D. is very disputable107.
However, for logistical reasons and strategic context of the late Trajan’s and early Hadrian’s
reign allow of us to state that legio XV Apollinaris was transferred at Satala, most probably in 118 A.D.
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107
THE MILITARY PEREGRINI OF DACIA:
ONOMASTICAL AND STATISTICAL CONSIDERATIONS Rada VARGA, Assistant, PhD Student∗ Abstract: The Military Peregrini of Dacia: Onomastical and statistical considerations. The current paper is a tentative
reconstruction, from a mainly onomastical point of view, of the peregrine social milieu that was formed and sustained
by the presence of the auxiliary troops in Roman Dacia. Thus, the predominance of the Celtic names is to be remarked.
This does not come as an unexpected aspect, as many of the auxiliary troops of Dacia come from provinces with a
certain Celtic background. The Italic names, very important and all-present for the civilian peregrines, are well
represented in the military society as well. What they mainly speak of is a rather vague cultural belonging to the West
of the Empire and a considerable disposition – consciously assumed or not – to adjust to the Roman ways. The other
categories of names come either as natural in Dacia (as the Thracian or Illyrian ones), either as not numerous and
closely related to the troop in which the soldier serves. Besides the information that the analysis of these characters
offers about the auxiliary troops of Dacia, it also provides us with important information on the lower social
environments of the province.
Keywords: auxiliary troops, citizenship, cultural identity, Dacia, onomastic, peregrines, social environment.
This study is built as an overview of the peregrini orbiting around the Roman army of
Dacia. In the category of "military" peregrines should be included not only those enrolled in the
auxiliary forces, additionally protected by military jurisdiction, but rather the whole human luggage
that an army as the Roman one creates and engages. So, the quotes are necessary in this case. The current analysis is primarily quantitative and statistical, the analytical purposes being
secondary. It is based on the epigraphic material from Dacia, trying to determine the share of
military peregrines in this province, but also to reveal a series of inner structures of the group. We should start with a brief overview – as it is not its major purpose – of the status of the
soldiers enrolled in an auxiliary troop. Being an auxiliary soldier brought, as a main consequence, the
reward of citizenship. Moreover, citizens’ rights were granted to the veteran's family as well, at least
until the year 140: to his wife (to one single wife, more precisely) and to their children, born before or
after the parents became citizens. So, when we find a soldier’s family mentioned on a military diploma,
they aren’t peregrines anymore, but full-rights Roman citizens. As for the soldiers themselves, we
cannot always determine their status before enrolment - and it is even less likely to establish if they had
any connection to Dacia before coming here as military. Regarding the recruitment milieu of the
auxiliary soldiers, it must be considered quite vast; only a small part of them could have came castris
(from the canabae related to the legionary fort). Statistically it appears impossible for a significant part
to come from the background mentioned above1. Anyway, these ones alone, if they can be identified as
such, were at some point part of the category of “ordinary” peregrines of Dacia. For the province in
question, the only valid example of this kind is Acilius Sabini f. Dubitatus castris2.
∗
Babeş-Bolyai University, Cluj-Napoca, Romania, Faculty of History and Philosophy, Centre for Roman Studies;
[email protected].
1
Vittinghoff 1971, apud Vittinghoff 1994, 159.
2
IDR I 18.
108
One more detail must be noted, concerning the relativity of the epigraphic evidence and the
validity of the statistical results that it can offer. Discussing the military environment, one should
not forget that it is a very productive one in terms of epigraphic evidence and that the percentages of
militaries suggested by inscriptions alone are not the accurate, existing ones in the Danubian
province. As an example, we can provide the case of northern Britannia, where there is a massive
military presence and a quarter of the inscriptions found here were erected by soldiers (in
Colchester, Essex, out of 13 funerary inscriptions published in the ‘80s, 4 belonged to soldiers3).
Although the current statistics in not based on last-minute data, it seemed enlightening in the issue
of epigraphic representativeness. Of course, these percentages do not represent the actual
demographic numbers, but speak of a certain cultural reality and an assumed way of self-expression. Methodologically, we have considered for the present study the inscriptions pertaining to the
military environment, where peregrines occur and at least one of the characters’ names is legible. Thus, at the present date, we have 65 names from military diplomas and other 60 from
inscriptions – a total of 125 names. As a first impression, visible from the diplomata is the greater
number of children mentioned, compared to the wives (the ratio is about 13:14). Of course, this detail
can be explained in many ways and the truth probably lies in the specificities of each separate case. It
must be noted that this ratio changes dramatically in inscriptions, where the soldiers’ children are rarely
mentioned. Regarding the same issue, we must not forget that some of the diplomas, though a minority,
are dated after 1405, when the soldier's family is not mentioned anymore. The etymology and the linguistic structure of the names from the military milieu talk less
about peregrine onomastics in Dacia and more about the background of the soldiers who served in
the Dacian auxilia. I will subsequently present the "nationality" of these names:
In the table above, we have presented the "ethnical" origin6 (I chose the term "ethnic" as
indicative of the area associated to a name, as it is more appropriate in this case than "etymological")
of all the names of the peregrini associated with the military environment. On Chart no. 1, we can note the percentages, as following: 29% Italic names, 25% names of
Celtic origin, 20% Thracian names, 11% Semitic names, 7 % of Greek names, only 5% of Illyrian
names, 2% possibly Germanic names and 1% of Iranian names. Some preliminary considerations must be made concerning the relation between the individual
onomastics of the soldier and his troop’s characteristics. The first observation would be that generally
the two features correspond: we find Celtic names in Gauls’ troops7, Semitic names in a Plamyrean
troop8, Illyrians in Illyrian troops9 etc. This fact mainly appears as normal. But the majority, however,
is supplemented by exceptions. Thus, for example, we encounter Thracian names, quite normal and
rather common in Dacia, at soldiers from Illyrian10, Gaulish11 or Britons12’ troops.
The group numerically prevailing is that of the Italic names, situation concurring to the one
of the civil peregrines. But their pre-eminence in front of the Celtic names, not radical, is also due
to certain relativities. Some names, which I will illustrate below, are pre-eminent in the Celtic areas
of the Empire, despite having a Latin etymology, and I have classified as such. Others, however, are
ambiguous: they have a clear Latin etymology, their presence is relatively uniform in Latin Europe,
but even so they are susceptible of a more massive presence in the Celtic-background regions. As a
result of these ambiguities, I have classified them as Latin names, to avoid even more serious errors
3
Mann 1985, 204.
38 children and 3 wives became citizens.
5
For the 140 change and its effects on the family situation of soldiers, see Dušanić 1986 and Phang 2001.
6
For these “ethnic” determinations I have used, along with the specific bibliography, that I will not mention for every
case, the Onomasticon and the Nomenclator, extremely useful for the province distribution of the names.
7
ILD 18 (Bolliconus Icci f., in Ala I Claudia Gallorum Capitoniana).
8
IDR I 5, 6 (Hadrianus Baricius Male f. and Hadrianus Hamasaeus Amapatha in Palmyreni Sagittari ex Syria-Numerus
Palmyrenorum Porolissensis Sagittariorum).
9
IDR I 24 (Tutor Silvani, in Numerus Illyricorum).
10
IDR I 13 (Bitus Sola f. Besso in Numerus Equitum Illyricorum).
11
IDR I 16 (Heptapor f. Besso in Ala I Gallorum et Bosporanorum).
12
IDR I 20 (Mucatrali Bithi f. Bessus in Coh. I Brittanica milliaria).
4
109
of interpretation. Leaving these methodological minuses behind, the Latin names are, in the end, the
most uncertain ones as ethnic or cultural indicators and are the most difficult – and most irrelevant –
to analyze. They are indiscriminately found everywhere: in a cohort of Gauls13, in a Commageni
cohort14, in an ala of Pannonians15 etc. The abundance of Italic name in Dacia’s auxiliaries supports
the theory according to which the Roman social imaginary has a less powerful component of strict
territorial origin and a much stronger one of self-representation 16 . It should be noted that,
surprisingly to some extent, the proportionality of peregrine Italic names is rather the same in the
military and the civil environments. Beyond coincidence, these percentages suggest a relevant
epigraphic representation of this certain onomastic group, an inclination towards the Western, Latin
language, culture. We also note that some of the children of the "ethnically-relevant" name bearers
often have Italic names17. This may be the out-coming of a family environment that we do not
completely know (the origins of the mother, the areas of origin of some of the grandparents etc.),
but it can also suggest the breaking of physical and cultural ties with the father’s provenience sphere.
The fact is that these Italic names basically indicate a vague western cultural background and a high
availability – conscious or not – to adapt to the Roman world. As the Italic names, the Celtic ones also follow predictable patterns, but there are atypical
cases as well18. As stated before, I have considered some names suitable for this category due to
their high frequency in the areas of a Celtic background and not strictly due to a certain Celtic
etymology19. Especially for this group of names, but not exclusively, we must take into consideration
the last garrison place of the troop, this detail often being of more relevance than the ethnic – regional
original indicator, provided by the name of the unit. Soldiers’ names sometimes come as proof of the
regional recruitment (including group cohesion generated by a cultural environment, rather than by
the strict similarities of a common ethnic origin), but also of the diversity of the Roman army20.
Talking about diversity, we target the grand cultural opening of the Roman world21 – especially the
military one, mobile par excellence – but also the possibility of consistent family variables in each
case. Variables that, unfortunately, are known to us only through a few fortunate cases. Remarkable is
the disproportion existing between the names of the militaries and the names of other characters from
the military environment. More precisely, the majority of Celtic comes from the category of soldiers’
children, fairly present on the diplomas of the fathers in this “ethnic” case. This detail is not
necessarily very eloquent, as it can be the result of mere chance, but it is nonetheless interesting for
the way it makes the family environment of the auxiliary troops in Dacia to emerge.
Thracian names are also common in the auxiliary troops of Dacia. Their presence is quite
natural, as they are up to some point related to the pre-existing cultural substance of the province, as
well as to its geographical location. Thracian names appear, unlike the Celtic ones, but resembling
the Italic ones, mainly in inscriptions. In their case as well, it appears a consistent disparity between
the military and the names of other characters, in definite favour of the first category (Chart no. 2
and Annex no. 2). As mentioned above, the Thracian soldiers come from in diverse troops, none of
them being explicitly Thracian. The two names of male children that have been granted
citizenship22 are unfortunately fragmentary – the Thracian etymology appears most likely for them,
but with no absolute certainty and it can be neither associated with the names of fathers nor other
family members. An interesting case – not unique, but illustrative of how the children are named in
13
IDR I 14 (Aulenus Her… f.).
IDR II 338 (Gaius şi Rufus).
15
CIL III 294 (Gemellus, Terentius, Titus Deci sive Desi etc.).
16
Whittaker 2004, 4.
17
For example, IDR I 2.
18
Gallionus Suadali f. Boius in Coh. I Cretum sagittariorum (ILD 12).
19
Such names are Quintus (IDR III/3, 183, with its feminine form – Quinta – in ILD 13; Onomasticon IV 20; Kajanto
1965, 16), Primus (Onomasticon III, 161), Potens (Onomasticon III 156), Lucana (Onomasticon III 33) etc.
20
Such names are Quintus (IDR III/3, 183, with feminine variant – Quinta – în ILD 13; Onomasticon IV 20; Kajanto
1965, 16), Primus (Onomasticon III, 161), Potens (Onomasticon III 156), Lucana (Onomasticon III 33) etc.
21
I employ the term cultural with its most vast meaning, targeting society, religion, education, family environment etc.
22
ILD 17, 28.
14
110
this eclectic environment – is that when, in an Illyrian troop we encounter a character bearing a
Thracian name, but an Illyrian patronymic. This is an interesting evidence for a mixed cultural
heritage and most probably a mixed family23. The next numerical group is the Semitic (Syro-Pamlyrean) one. Within this group it can be
perfectly proved, on a small scale, the remark concerning the eclecticism of the family environment
of the peregrines bound to the auxiliary forces of Dacia: A single preserved diploma mentions a
Syrian soldier's family. His wife and part of his children bare Italic names24. One child is named
Arsama25, an Iranian name which can be considered as well as an influence of the cultural luggage
of the father and another one – a special case again – is called Achilleus, Greek name in a Latinized
form. It is noted that the supposed conservatism of the Asian groups is not necessarily confirmed
(this conclusion is not based, of course, on this single case, but on the study of all the peregrines
from Dacia26). It is obvious on Chart no. 2 that the percentage of Semitic names is the same for
soldiers and for those associated with them (although the relevance of this detail is relative, because
of the very small number of names; the latter statement is valid for the following onomastic
categories as well). Finally, it is worth mentioning that the peregrine bearers of Semitic names are
solely encountered in troops with a certified and explicitly stated regional character. Greek names appear in the civil environment in a very high percentage, which makes their
usefulness, just as that of the Italic names, rather low. They are not usually the sufficient indicative
for stating that the bearer had actual roots in the Greek language part of the Empire or in a Greek
group. In the military, however, Greek names show up in a much smaller percentage. They mainly
(almost exclusively) come from the diplomata. Here, inside the category of Greek names, we have a
rare case, when the "ethnic" of the father’s name coincides with that of all his children27. Thus,
Eupator Eumeni, gives citizenship to five children (four boys and a girl), all of them bearing Greek
names. We do not know the mother's name, but we can fairly assume she as well had an Eastern
background. Worth mentioning is that this Greek gregalis’s troop was a vexilattio Equitum
Illyricorum – further evidence for the variety and diversity of the auxiliary environment. Anyhow,
this is one of the very few cases where we can speak with certainty about an Eastern background, of
Greek culture, among the peregrini of Dacia. The next class is that of the Illyrian names. In the civil environment, their abundance is
largely due to the special historical circumstances that favoured the discoveries of Alburnus Maior.
If the Roşia Montană Illyrian names are excluded from the statistics, the Italic and Greek names
prevail without doubt among the peregrines of Dacia. In the military environment, this category is
rather poorly represented, with a rate of only 5%. The proportion military diplomas - inscriptions is
close to 1, and the characters are exclusively military (Annex II). Thus, we have no spouses or
children mentioned in diplomas, and for the funeral inscriptions, we either do not know who erected
the soldier’s monument28, or they were raised by heirs29, not by family members. The troops where
we encounter Illyrian names are very diverse, from the atypical Numerus Maurorum Miciensium30,
to the "commonplace" Numerus Illyricorum31. The following – and last – groups are the Germanic and Iranian ones. They are weakly - almost
insignificantly – represented, through percentages of 2% and 1%. The Germanic names are problematic
in terms of onomastical identification and can be confused with the Celtic ones. We have catalogued the
names taken here into consideration32 of Germanic rather than Celtic background, especially because of
their association with Ala I Tungrorum Frontoniana. They are the names of a daughter and a son who
23
Coca Tyru f. … Sardica in Numerus Equitum Illyricorum (ILD 35).
ILD 20.
25
Dana 2007, 70.
26
For a few examples outside Dacia, see Dana 2007, 74.
27
IDR I 10.
28
IDR III/3, 176; IDR III/5, 585.
29
IDR II 45; IDR III/5, 522.
30
IDR III/3, 176 (…is Dassi – even if we only have the patronymic preserved, it reveals a certain family background for the bearer).
31
IDR III/5, 585 (Tutor Silvani, who has a mixed name – the “ethnic” of his own name is not in accord to that of the patronymic).
32
L. Aponia şi Lelius (CIL III 801) and Cittius Ioivai (CIL III 807).
24
111
erected the funerary monument for their soldier father and the name of an eques33 of the mentioned ala.
Arsama34 is the only Iranian name and it had been already properly discussed. For a better understanding and integration of the peregrines of the military environment, I will
subsequently provide some data on the civilian peregrines attested in Dacia. A complete image of the
names - and thus, implicitly, although relatively, of ethnicity, cultural background and / or areas of
origin – identified for the peregrines of this province35 is given by Chart no. 3. What the comparison of
the overall image with the more restrictive one of the military environment first puts into light is the
percentage of Celtic and Thracian names, far greater in the latter. They are quite common in the extramilitary environment as well, but not with a comparable ratio. Unlike the Italic and Greek names, they
can be better linked to a certain local or regional cultural background or a specific area of provenience
of the bearer or his family. Italic names occupy the first position in both cases. But the Greek ones
appear as a rarity among soldiers and their families, while their share in the overall of the peregrines
from Dacia is considerably large. The other categories appear in insignificant percentages either in the
civil environment, or in the military, thus disabling any relevant comparison.
To complete the picture of the peregrine environment created around the auxilia Daciae, it
would be necessary to take a look at the citizens who appear on the investigated inscriptions. I begin by
mentioning that, generally, citizens do not appear on the inscriptions of these peregrine characters,
connected in a way or the other to the military environment. There are some inscriptions (2, specifically),
where two prospective citizens appear. Both are heirs, most likely of two deceased soldiers36. Also,
some of the soldiers mentioned by diplomas seem to have had previous citizenship37. However, the
inscriptions belonging to the military environment, but ignoring any peregrine presence, are not meant
to be analyzed in this study, being the possible topic of a future research.
What we can say about the peregrine environment engaged by the military factor is that it
shows up as being rather well represented, compared to the civilian situation. The soldiers and their
families represent about 25% of the peregrines certified in Dacia, a percentage quite significant. The characters discussed in this paper generally bear simple names. However, because of
the link with the military troops, we have a higher percentage than among civilians of names that
can be considered indicators of an authentic ethnic and / or cultural heritage. All the data structured
above give us a clearer and more complete view on the relationship between the auxiliary troops’
basic profile and the soldiers who compose them, on the family relationships of the military in a
frontier-province such as Dacia, marked by acceptance of eclecticism or by conservativeness, but as
well as on our overall pattern of the peregrini from the province of Dacia.
33
For him, his brother and heir erect the monument; his name is the Italic Iustus.
ILD 20.
35
Varga 2008, 242.
36
IDR II 45 - Linda Severus (heir) might be a citizen; IDR III/3, 172 - Valeria Cara Flavia (?); we don’t exactly know
her position, is probably a citizen.
37
IDR I 1 (M. Ulpius Adcobrovati f. Novantico), 3 (M. Ulpius Sacci f. Longinus Belgus), ILD 10 (M. Herennius
Polymita Berensius).
34
112
Bibliography
ARDEVAN, R., 1993, O inscripţie romană de la Gherla, Tibiscum, 8, Caransebeş, p. 75-78.
ARDEVAN, R., 2007, The Ala II pannoniorum in Dacia, Apulum, 44, Alba Iulia, p. 139-152.
ARDEVAN, R., WOLLMANN, V., 2007, Câteva inscripţii descoperite la Ilişua, Revista
Bistriţei, 21, 1, Bistriţa, p. 241-253.
DANA, D, 2007, Traditions onomastiques, brassages et mobilité de populations d’après un
diplôme militaire pour la Dacie Supérieur de 123 (RGZM 22), Acta Musei Napocensis, 41-42/1,
2004-2005 (2007), Cluj-Napoca, p. 69-74.
DETSCHEW, D., 1957, Die thrakischen Sprachreste, Wien.
DUŠANIĆ, S., 1986, Pre – Severan Diplomata and the Problem of Special Grants, În: Eck,
W., Wolff H., Heer und Integrationspolitik. Die Römische Militärdiplome als Historiche Quelle,
Köln, Wien, p. 190–240.
ECK, W., PANGERL, A., 2008, Neue Diplome fur die dakischen Provinzen, Acta Musei
Napocensis, 43-44/I, 2006-2007 (2008), Cluj-Napoca, p. 185-210.
HOLDER, A., 1896-1907, Alt-celtischer Sprachschatz, 3 vol., Leipzig.
HUSAR, A., 1999, Celţi şi germani în Dacia romană, Cluj-Napoca.
KAJANTO, I., 1965, The Latin cognomina, Helsinki.
KATIČIĆ, R., 1964, Namengebung im römischen Dalmatien, Die Sprache, 10, 1,
Wiesbaden, p. 23-33.
PHANG, S., 2001, The marriage of Roman soldiers (13 B. C. – A. D. 235). Law and family
in the imperial army, Leiden, Boston, Köln.
MANN, J. C., 1985, Epigraphical consciousness, Journal of Roman Studies, 75, St. Andrew, p. 204-206.
PROTASE, D., 1969, Éléments ethniques thraces et illyres dans Ala II Pannoniorum de
Dacie, În: Bibauw, J., Hommages à Marcel Renard, Bruxelles, p. 634-638.
RUSSU, I. I., 1944, Onomasticon Daciae, Anuarul Institutului de Stusii Clasice, 4, 19411944, Cluj-Napoca, p. 186-233.
RUSSU, I. I., 1966, Note epigrafice (IX), Acta Musei Napocensis, 3, Cluj-Napoca, p. 451-459.
RUSSU, I. I., 1969, Illirii. Istoria, limba şi onomastica, romanizarea, Bucureşti.
SALOMIES, O., 1987, Die römischen Vornamen. Studien zur römischen Namengebung, Helsinki.
SOLIN, H, 1971, Beiträge zur Kenntnis der griechischen Personennamen in Rom, I,
Commentationes Humanarum Litterarum, 48, Helsinki.
SOLIN, H, 2003, Die griechischen Personennamen in Rom, Berlin, New York.
STARK, J., K., 1971, Personal names in Palmyrene inscriptions, Oxford.
VARGA, R., 2008, The peregrine names from Dacia, Acta Musei Napocensis, 43-44, I,
2006-2007 (2008), Cluj-Napoca, p. 233-246.
VITTINGHOFF, F., 1971, Die rechtliche Stellung der canabae legionis und die
Herkunftsangabe „castris“, Chiron 1, München, 299–318.
VITTINGHOFF, F., 1994, Civitas Romana. Stadt und politisch-soziale Integration im
Imperium Romanum der Kaiserzeit, (Eck W., ed.), Stuttgart.
ZAHARIADE, M., 2009, The Thracians in the Roman imperial army, Cluj-Napoca.
ZGUSTA, L., 1964, Kleinasiatische Personenname, Prag.
WHITTAKER, C. R., 2004, Rome and its frontiers: The dynamics of Empire, London, New York.
113
Ethnical
groups
Italic38
Celtic41
Thracian44
Semitic47
Greek50
Illyrian53
Germanic56
Iranian58
No. of
names
35
31
25
14
9
7
3
1
No. of names
from diplomas
13
21
10
9
8
3
0
1
No.
of diplomas
939
942
845
648
351
354
0
159
No. of names
from nscriptions
22
10
15
5
1
4
3
0
No. of
inscriptions
1840
843
1246
349
152
455
257
0
Table I. Ethnical structure of the peregrine names from the military environment.
Chart no. 1. The ratio of peregrines’ names in the auxiliary troops of Dacia.
38
Kajanto 1965; Salomies 1987.
IDR I 2, 14, 18, 19; ILD 10, 13, 18, 20, 32.
40
IDR II 338; IDR III/1, 2; IDR III/3, 88, 104 şi 116, 111, 123; IDR III/4, 319; IDR III/5, 615; ILD 692, 706, 805; CIL
III 294*, 805, 807, 6245, 7635; Russu 1966, 456-457.
41
Holder 1896-1907.
42
IDR I 3, 4, 7, 17; ILD 10, 12, 13, 14, 18.
43
IDR III/3, 133, 172, 183; CIL III 294*, 766, 801; Ardevan, Wollmann 2007, 245.
44
Detschew 1957; Zahariade 2009, 320-325.
45
IDR I 13, 16, 20; ILD 17, 28, 32, 35; Eck, Pangerl 2008, 194
46
IDR II , 611; IDR III/1, 163; IDR III/5, 558, 559; ILD 440, 690; CIL III 294*, 799, 809; Russu 1944 p. 212, nr. 33;
Russu 1969, 244; Ardevan 1993.
47
Stark 1971; Zgusta 1964.
48
IDR I, 2, 5, 6, 8, 15; ILD 20.
49
IDR III/1, 167, 170; CIL III, 837.
50
Solin1971; Solin 2003.
51
IDR I 10; ILD 15, 20.
52
IDR III/5, 615;.
53
Katičić 1964, 23-33; Russu 1969.
54
IDR I 7, 11; ILD 38.
55
IDR II 45; IDR III/3, 176; IDR III/5, 522, 585.
56
For the Germanic names, the bibliography is awfully scarce. For Dacia, Husar 1999, 71-104, can be used.
57
CIL III 801, 807.
58
Dana 2007.
59
ILD 20.
39
114
Chart no. 2. Compared ratio of the soldiers’ names and the names
of the other characters from the military environment.
Chart no. 3. The peregrine names of Dacia.
Annexes
Annex no. 1. The peregrini of the province Dacia.
115
Ethnical
groups
Italic
Thracian
Celtic
Semitic
Illyrian
Greek
Germanic
No. of
names
21
18
14
8
7
2
1
No. of names
from diplomas
3
6
4
6
3
2
0
No. of
diplomas
360
662
964
666
368
270
0
No. of names
from inscriptions
18
12
10
2
4
0
1
No. of
inscriptions
1461
1163
865
267
469
0
171
Annex no. 2. The comparative structure of the soldiers’ names
and the names of the other characters. Table no. 1. The soldiers’ names.
Ethnical
groups
Celtic
Italic
Semitic
Greek
Thracian
Germanic
Iranian
No. of
names
18
14
6
6
7
2
1
No. of names
from diplomas
17
10
3
6
4
0
1
No. of
diplomas
772
674
176
278
379
0
182
No. of names
from inscriptions
1
4
3
0
3
2
0
No. of
inscriptions
173
475
277
0
280
181
0
Annex no. 2. The comparative structure of the soldiers’ names
and the names of the other characters. Table no. 2. The other characters’ names.
60
IDR I 14, 18, 19.
IDR II 338; IDR III/1, 2; IDR III/3, 88, 104 şi 106, 111, 123; IDR III/4, 319; ILD 692, 805; CIL III 294*, 6245, 7635;
Russu 1966, 456-457.
62
IDR I 16, 20, 13; ILD 32, 35; Eck, Pangerl 2008, 194.
63
IDR II 611; IDR III/1, 163; IDR III/5, 558, 559; ILD 690; CIL III 294*, 799, 809; Russu 1944, p. 212, nr. 33; Russu
1969, p. 244; Ardevan 1993.
64
IDR I 3, 4, 7, 17; ILD 10, 12, 13, 14, 18.
65
IDR III/3, 133, 172, 183; IDR III/5, 615; CIL III 294*, 766, 801; Ardevan, Wollmann 2007, 245.
66
IDR I 2, 5, 6, 8, 15; ILD 20.
67
IDR III/1, 167; CIL III 837.
68
IDR I 7, 11; ILD 38.
69
IDR II 45; IDR III/3, 176; IDR III/5, 522, 585.
70
IDR I 10; ILD 15.
71
CIL III 807.
72
IDR I 3, 4, 7; ILD 10 (even if the massive presence of Lucana name in Gallia is not an indicator of origin, we
consider it Celtic – Onomasticon III 33), 13, 14, 18.
73
CIL III 766.
74
IDR I 2; ILD 10, 13, 18, 20, 32.
75
IDR III/5, 615; ILD 706; CIL III 805, 807.
76
IDR I 2; ILD 20.
77
IDR III/1, 167, 170.
78
IDR I 10; ILD 20.
79
ILD 17, 28, 32.
80
IDR III/5, 558, 559; ILD 440.
81
CIL III 801.
82
ILD 20.
61
116
VITICULTURE IN ROMAN DACIA
Melinda-Leila MOLNÁR, PhD Student∗
Abstract. Viticulture in Roman Dacia. Viticulture was a very important part of ancient agriculture, daily life and trade.
Information is provided to us by the ancient authors. For Dacia we don’t have ancient written sources, so the most
important information are provided by the archaeological discoveries (the waxed stales, the cella vinaria from
Potaissa, the will from Sucidava, viticulture tools). Dacians imported wine since the 6th century B.C. (fact proven by
foreign amphorae), but we can also talk about a local wine production.
Keywords: beverage, Roman Dacia, viticulture, wine.
1. General aspects of viticulture
Ancient authors offer us important information not only about the development of
agriculture, alimentation, recipes, but also about viticulture.1
Marcus Porcius Cato in De Agricultura offers a list of different cultures, in which the top
position is occupied by the vine and olives, both very important in ancient trade.2 He also wrote
about the staff needed to cultivate a 2 jugera (25 hectare) vineyard: a total of 16 slaves.3
Varro in his agricultural manual Res Rusticae4 said that certain grapes produce wine that
must be consumed in one year, before they became sour, others, like Falernian, became more
valuable after ageing.
Pliny in the XIVth book of Naturalis Historia speaks about the history of wine, viticulture,
wine making.5
Other information are provided for us by Columella in De Re Rustica6, by Publius Ovidius
Naso in Tristia and Epistulae ex Ponto7, by Xenofon în Anabasis8, Galen in De Antidotis.
Due to these ancient sources we can see the extremely important place occupied by wine in
daily life of Romans and in trade.
Wine plays an important role also in mythology. In Egypt wine was devoted to Osiris. In
Greece the symbolism of wine will be expressed by Dionysos, son of Zeus. Wine is assimilated
with the god’s blood, who every year, on the 6th of January changes water into wine in his temple
∗
Babeş-Bolyai
University,
Cluj-Napoca,
Romania,
Faculty
of
History
and
Philosophy;
[email protected].
1
We would like to thank for the financial support for Ph.D. scholarship, Project co-financed by the SECTORAL
OPERATIONAL PROGRAM FOR HUMAN RESOURCES DEVELOPMENT 2007 – 2013; Contract nr.: POSDRU
6/1.5/S/4 – “DOCTORAL STUDIES, A MAJOR FACTOR IN THE DEVELOPMENT OF SOCIO-ECONOMIC AND
HUMANISTIC STUDIES” Babeş-Bolyai University, Cluj-Napoca, Romania.
2
Mihăilescu, 1950, p. 191.
3
Ibidem, p. 192.
4
Lascu, 1965, p. 20-21.
5
Ibidem, p. 21.
6
Ibidem.
7
Idem, 1973, p. 98-100.
8
Ştefan, 1964, p. 97.
117
from the island of Adros. According to Roman tradition, wine was brought by Saturn, the god of
vine and then dedicated to Bacchus.9
The Greek philosophy about wine, knew different stages: first wine was considered the only
beverage that could guide man to a perfect union with the deity, but later they got to a point where drinking
lost all his importance. In Roman tradition, dating back to the earliest times, wine was seen as an ambiguous
drink: it was a divine gift, but also a source of tragedy and violence, due to his consequences. Seneca, even if
he was an experienced wine grower, thought that man should be able to give up wine drinking.10
The extension of vineyards in the Mediterranean region is very old, because vine found
favourable soil and climate conditions. Viticulture indicates an advanced civilization, because it
needs constant, dedicated, active men power.11 Italy is rich in vineyards. In the 3rd-2nd centuries
B.C. Romans imported considerable quantities of Greek wine. Around the middle of the first
century B.C., vineyards from different regions of Italy were recognised for their quality. In the
following decades Romans transformed viticulture in a real industry, exporting huge quantities of
wine in the new provinces form Gaul, often in exchange for Celtic slaves (one slave for an
amphora). Because of the necessary wine and oil quantities needed by the growing population of the
cities from Italy, couldn’t be supported from local production, Romans started to import large
quantities from the provinces of the Empire. South Gaul was the main viticulture centre from the
provinces, but wine for export was also produced on the East and South-East coasts of Spain.12
Vine was cultivated especially for wine. Grapes could also be consumed fresh, as fruits. Certain
varieties produce grapes for consumption. The most famous are: bumasti and uvae duracinae. The
conservation of grapes was very important. Some were left to dry on the vine, clusters could be suspended,
put on straw, on sawdust, exposed to smoke, put in vessels (uva ollares), kept in rain water.13
Ancient authors offer us information about vine varieties. In the 2nd century B.C. Cato knew
only 7, but in the first century A.D. Columella spoke about 58 and Pliny the Elder about 91.14 The
vine is planted in autumn or in spring. The best is not to mix different varieties. Vine is multiplied
by grafting, cutting or layering. Vineyards must be exposed to the sun. The vine must be dressed
several times. The breaking up of the earth is made at the beginning of spring, then in April and
June.15 Another important work is cutting the vine (putatio, resectio), usually made with vine hook
(falx vineatica). Romans often used trees as vine prop. The most frequently used trees were: elm,
poplar, ash, olive, plane, tile, hornbeam, maple, cypress, willow, oak. They were planted in straight
lines. Every tree had between 3 and 10 vines.16 Pliny talked about a single vine from the garden of
Livia from Rome that produced 312 litres of wine every year.17 A work that had to be done in
spring was the weeding of useless brushwood. Vine must be protected from bad weather. In
Crimeea, in the winter, vine was covered with earth. In spring was indicated to light fires to avoid
white frost. In Baetia, on very warm days, vine used to be covered with rugs, to avoid dehydration.
After the grapes were picked, the first operation was crushing them. This was made by slaves
with their naked feet. The place where they were crushed was composed by a rectangular stone tank,
with low edges (lacus vinarius, calcatorium), flanked on two of its sides by tanks for must. From these
tanks must flew in jars.18 It was very important not to drop anything in the tank, because that would
spoil the flavour of the wine and it would also render it impure for religious purposes.19 After crushing,
the grapes still contained a considerable amount of must, so they were put in the wine press
(torcularium) to press them. The wine press was described by Cato and was discovered in good shape at
9
Montignac, 2010, p. 16-17.
Dona, 2010, p. 37-60.
11
Daremberg, Saglio, 1919, p. 912-913.
12
Cary, Schullard, 2008, p. 435-436.
13
Daremberg, Saglio, 1919, p. 919.
14
Lascu, 1965, p. 37.
15
Ibidem.
16
Ibidem, p. 38-39.
17
Faas, 2005, p. 112.
18
Lascu, 1965, p. 39-40.
19
Faas, 2005, p. 113.
10
118
Pompei, in the villa Boscoreale. It was composed of two big plane tables, between which grapes were
put to be pressed with the help of a lever.20 The obtained must was drained in large jars, from there it
was put in pichers (urcei mustarii) and took in the wine cellar, where impurities were removed by
straining through a basket (saccus vinarius), and after that must was poured in barrels.21
The wine cellar (cella vinaria) could be underground or on the level of the house. If both of the
types exist, in the underground one were kept the old wines and in the other the new ones. In the wine
cellar were clay jars of different sizes, some could reach to 8-19 hectolitres (dolia), and others were
small pichers (seriae). The few years old wine was put in small amphorae and taken to the wine shed
(cella superior, apotheca), which was located in the garret, under the roof, where the ageing process
continued in heat. After that wine was put in a higher space of the garret (fumarium), where all the
smoke from the house gathered. The clay vessels used to keep the wine were usually poorly burnt, so to
make them waterproof they were painted with liquid pitch in the inside, but this gave the wine a taste.
Sometimes resin was added for a better preservation of wine.22 One side of the wine cellar, or at least its
windows, must face north-east or east. Dunghills and tree roots, especially figs, must be kept at a
distance, since wine easily absorbs other flavours. Space must be left between the jars to prevent the
spreading of infections, to which wine is extremely susceptible. Jars must be washed with seawater or
salted water. They must be sprinkled with ashes from vine-cuttings or white clay, than brushed clean
and smoked out with myrrh. The same must be done regularly with the wine cellar.23
Romans had the habit of mixing wine with water before drinking it. Undiluted wine was
considered a habit of the provincials and the barbarians. Usually Romans mixed one part wine with
two parts water (sometimes hot or seawater). Greeks mixed wine with three or for parts water,
always by adding wine to the water. Often poor wines were made better by adding good wine.
Smoked wines were often bitter and their colour changed. Romans remedied these things by dyeing
with aloe, saffron, and elderberry. It could also be sweetened with reduced must. All kinds of
flavourings were added, such as myrtle, rush-flowers, nard, roses, violets, lilac flowers, coriander,
celery, anis, almonds, pepper, and cinamon. Some wines were flavoured with resin.24
For the transportation of wine usually amphorae were used, placed in arm racks if
transporting on ships and stiffed in sand when depositing in cellars. The small clefts on the walls of
the amphora were stopped up with pitch or wax. The mouth of the amphorae were closed with cork,
pitched, well tied and then covered with fine clay or plaster. On the neck of the vessels they made
an inscription with paint (red or maroon) witch indicated the name of the merchant, the place of
production and the volume of the amphora. This noting formed a sort of “label of warranty and
advertisement” (pittacium).25
The Romans distinguished between sweet and dry wines. Pliny identifies four colours:
• Albus – light white wine
• Fulvus – golden yellow, like a dessert wine
• Sanguineus – blood red, like most young wines
• Niger – black, probably used for aged red wines and red passito wines
It is not always clear witch ancient wines belong to witch colour group, because in literature
the colours are mentioned only sporadically.26 The number of vine and wine varieties was countless.
We will give here only a few examples:
• Albanum – of two kinds, dry and sweet. The wine was matured for fifteen years.
• Calenum – the favourite wine of the patricians, lighter then the Falernum27.
20
Tudor, 1976, p. 190.
Ibidem, p. 39-40.
22
Daremberg, Saglio, 1877, p. 988-989; Lascu, 1965, p. 40-41.
23
Faas, 2005, p. 113-114.
24
Ibidem, p. 117-118.
25
Tudor, 1976, p. 191.
26
Faas, 2005, p. 115-116.
27
Ibidem, p. 116.
21
119
• Caecuban – sweet, white wine from Latium. In the first century B.C. was the best wine,
finer then the Falernian, fuller then the Alban.
• Falernum – one of the most famous wines of antiquity, frequently mentioned in literature.
It was best drunk after ageing for ten to twenty years. It had two colours: white and peach (rose).
• Fundanum – a strong wine, which made you drunk quickly (according to Athenaeus).28
• Lora-called also vinum operariorum. Sour wine, made from the leftovers of the pressing,
mixed with water. It was usually served to slaves, inferior classes and soldiers.
• Mamertine – it originated in Sicily, it became famous thanks to Caesar, who used to serve
it at pulic events and triumphs.
• Massilitanum – a heavy, smoked wine, which according to Galen, was healthy and delicious.
Martial thought it disgusting. He recommends giving it to beggars to poison them. In addition it was
cheap: Martial remarks that it was not cooled with snow, because the snow was more expensive.
• Nomentanum – a mediocre wine which, according to Martial, you should not give to your
friends, and which was only drinkable at five years old.29
• Sorrentinum – a light wine, drunk young. It was sour and tasted of earth. It owed its fame
principally to the beautiful clay drinking bowls that came from the same region and from which the
wine was traditionally drunk.
• Tarentinum – according to Galenus, was a wine with a light taste and low in alcohol.
Martial thought it was terrific.30
Beside wine, the ancients also consumed other beverage. We can mention here:
• Alica – a cheep beverage from cereals and water, with a low content of alcohol.
• Beer (cervisa) – is the oldest alcoholic drink in the world. The Mesopotamians and the
Egyptians were the first beer-drinkers of ancient times. The latter brewed it from rye bread crumbled in
water, which was left to ferment with date juice, myrtle, cumin, ginger and honey. It was sometimes
drunk warm. Upper-class Romans did not drink beer. It cost half the price of bad wine, so it was not for
the sophisticated. In Italy and Gaul beer was made from rye. The Spaniards discovered how beer could
be kept under pressure, and so it acquired a foamy head. Pliny said beer-foam was used by women for
cosmetic purpose. Hops, which give beer its bitter taste, were not used until the 13th century.31
• Mead (aqua mulsa) – an older and simpler drink than mulsum. It was seen as inferior to wine
and more suites to the simple honey god, Liber, than to the sophisticated Bacchus. Because it did not
contain grape juice, just honey and water, it could also be made in the bleak Northern provinces and is still
popular in Scandinavia. Mead is made by combining water, honey and yeast and leaving the mixture to
ferment. It has a wonderful golden colour, high alcohol content and the subtle fragrance of honey.32
• Melca – was a kind of yoghurt, thought to aid digestion. It was made of sheep’s and goat’s
milk. Apicius suggests serving melca with pepper and garum, or with coriander and salt.
• Milk – was drunk by children, but rarely by adults. In the kitchen it was used in several
desserts, but Roman cuisine was not dairy-oriented. Most milk was made into cheese. According to
Pliny, camel milk was the most delicious kind and it was drunken diluted with three parts water to
one part milk. Only wealthy Romans could afford it. Goat’s and sheep’s milk were easiest to obtain.
Cow’s milk was not popular as a drink, but it was well suited to cheese-making. The milk of horses
and asses was used also in cosmetic purposes.33
• Mulsum – was wine to which honey was added, either during the production process or
afterwards. While Columella thinks you should mix sweet wine with honey, Pliny disagreed, saying
that dry wine should be used, because sweet wine does not mix well with honey.34
28
Ibidem, p. 116; Gozzini Giacosa, 1992, p. 31.
Ibidem, p. 116-117.
30
Ibidem, p. 117.
31
Ibidem, p. 122; Gozzini Giacosa, 1992, p. 192.
32
Faas, 2005, p. 120.
33
Ibidem, p. 123-124; Gozzini Giacosa, 1992, p. 191.
34
Faas, 2005, p. 119-120.
29
120
• Passum – is a sweet white raisin wine, to which no honey is added. It is made with half
dried grapes, which contain relatively large amounts of sugar and little juice. Columella describes
the producing of passum.35
• Posca – was a refreshing drink made of vinegar and water, popular with travellers. They
carried vinegar in a flask, ready to dilute when they found water. The vinegar was sometimes
flavoured with spices and honey.
• Snow – was eaten on its own and sometimes flavoured with spiced wine and mulsum. Melted
snow was drunk for its purity and snow was used in cooking as a cooling agent. In winter snow and ice
were stored between layers of straw in well-insulated cellars. Only the rich had their own ice cellars.36
• Water – most of the people drink water from wells or collected rain. Nero had the idea of
boiling it then cooling it in snow, but the Romans found this absurd and decadent. Mineral waters
were highly esteemed.
Egypt was the first country from the Mediterranean basin who cultivated vine, however the
consumption was limited. Due to its sacred character it was mainly used in religious ceremonies. The
pharaoh drunk wine, but he preferred beer, his people’s drink.37 Greeks used wine with moderation. At
Milet the law forced women to drink only water. Wine played an important role at symposium, where
men drunk wine, discussed different themes, listened to music or poetry.38 Greeks usually mixed wine
with seawater. Romans also drunk diluted wine. After the foundation of Rome only men passed 30 had
the right to drink wine. For a long time women were forbidden to drink. Dinner is followed by the
comissatio, where men drunk wine. Sour wine and vinegar were present in the alimentation of the
soldiers. Officers with a higher pay were able to buy expensive food and good wines.39
Wine was also used in the kitchen, as an ingredient for different recipes (desserts, sauces).
The Romans enjoyed aged wines: they were not only more delicious than young ones, but thought
beneficial to health. They were supposed to be strengthening, to improve the circulation of the
blood and give it a deep red colour, aid digestion, ensure a good night’s sleep.40
Wine, from the earliest times, had also an important therapeutic role. The oldest mention of
a therapeutic usage of wine was discovered in an Egyptian tomb, dated around 4000 B.C. Greeks
used it in medicine from the earliest times. With Hippocrates, the father of modern medicine, wine
became extremely important in the field of therapeutics. He recommends, beside internal usage,
also as dressing or for the treatment of wounds and rheumatisms. Teofrast invented the medicinal
wines, adding to wine herbs and spices with fitotherapeutic properties. At Rome wine does not lose
any of its therapeutic properties.41
Wine also played an important role in trade. Greek and Roman amphorae were found all
around the Roman Empire and even beyond its boundaries. The prices of wine depended on the
years and vineyards. Variations were pretty frequent, giving place for speculations. Sometimes huge
profits were achieved. To avoid the fall of prices, the measures tend to limit the production. Even if
the numbers given by the ancient authors aren’t 100% accurate, it is a certain fact that viticulture
had a huge economical importance.
35
Ibidem, 2005, p. 120-121.
Ibidem, p. 122-123.
37
Montignac, 2010, p. 24.
38
Ibidem, p. 25.
39
Goldsworthy, 2008, p. 99.
40
Faas, 2005, p. 115.
41
Montignac, 2010, p. 80-83
36
121
2. Viticulture in Dacia
Vine cultivation and wine preparation has been studied since the 19th century by B. P.
Haşdeu (Originile viticulturii la români. Columna lui Traian, Bucureşti, 1974) based on linguistic
data, then the problem was studied by agriculture and viticulture historians (for example: A.
Urbeanu, Istoricul băuturilor alcoolice în România, Bucureşti, 1901; I. C. Teodorescu, Şt. C.
Teodorescu, G. C. Mihalcea, Viţa de vie de-a lungul veacurilor, Bucureşti, 1966; T. Martin,
Viticultura, Bucureşti, 1960), by geographers (N. Al. Rădulescu, I. Velcea, N. Petrescu, Geografia
agriculturii României, Bucureşti 1968), by etnographers and ethnologists (like N. Al. Mironescu,
Paul Petrescu, Valeriu Butură) and by historians (Nicolae Iorga, C. C. Giulescu, C. Constantinescu).
Viticulture in Dacia and Scythia Minor was also studied by historians based on written
sources (I. Weiss, Alexandra Ştefan) and on religious cults and the representation of vine on
monuments (R. Vulpe, N. Lascu, H. Daicoviciu, Constantin Pop).42
In Dacian settlements and sometimes necropolises were discovered curved knives of
different dimensions with the edge on the concave part. Some were 20-23 cm long, similar to
sickles. These surely had a special use (Maria Comşa thinks that they were used in viticulture).
Those of bigger dimensions were probably used for cutting the vine sprouts or sometimes even the
branches of the fruit trees. These kind of knife-hooks were discovered at Vlădiceni-„Schit” (Vaslui
District) in a Getic settlement dated the 4-3th centuries B.C.; in a tumulus from Teliţa (Tulcea
District), others in the settlements from Bucureşti-Dudeşti, Bucureşti-Lacul Tei, Tilişca, Grădiştea
Muncelului, dated in the Ist century B.C. – Ist century A.D. We know that smaller curved knives
were used in Italy for harvesting grapes. Similar curved knives were discovered in settlements,
fortifications and fortresses from Moldova, Muntenia, Oltenia, Dobrogea, Transylvania, but also in
Dacian funerary complexes and graves with Celtic character.43
Simultaneously with the curved knives were also used hooks for the maintenance of the vine
and for the harvesting of the grapes. These kinds of tools were discovered in Dacian settlements and
fortifications and in the workshop from the 8th terrace from Grădiştea Muncelului. For digging the soil
where the vine would be planted and for the maintenance of the soil from around the vine, the ancients
also used other tools: prong hoe, pickaxe, grubbing hoe. A double tool, on one part a grubbing hoe and
on the other an axe, was used for the maintenance of the vine: with the axe they used to cut the thicker
branches from the base of the vine and with the grubbing hoe they dug the soil around the vine.44
Concerns regarding the cultivation of wine are reflected also by the reproduction of the vine
leaf on the Dacian painted luxury pottery, discovered at Grădiştea Muncelului. In the same location
a hinge was discovered: the part which was fixed on the wood had the form of a vine leaf. In the
Dacian settlement from Teiu, in the south of Argeş District, charred vine chords were discovered.45
Regarding the vine cultivation at the Thraco-Dacians Maria Comşa draw some conclusions.
The archaeological discoveries confirm and complete the data handed over by the sources and also
offer some clues about the degree of development of viticulture at the Thraco-Dacians. The special
tools for the maintenance of the vine and for harvesting the grapes appeared in Dacia in the 6th century
B.C. In the 2nd century B.C. appeared the curved knives, special tools for harvesting grapes. These knives
remain the same till the first century A.D. or sometimes even till the Middle Ages. In the 4th-3rd centuries
B.C. appeared also the hooks.
In the 6th-1st century B.C., Dacian viticulture was influenced by the Greek one, and then the
Roman one. After the intensification of Roman influence in the first century A.D. appeared more
improved tools for the maintenance of the vine. Based on the archaeological discoveries it can be affirmed
that Geto-Dacians practiced viticulture in all the known viticulture areas.46
42
Ibidem, p. 57-58.
Ibidem, p. 59-66.
44
Ibidem, p. 67-74.
45
Ibidem, p. 74-77.
46
Ibidem, p. 78-79.
43
122
The written sources give us information about the fact that Dacians knew and appreciated
wine: Platon, Laws, I, 637d; Diodor from Sicily, Biblioteca istorica, XXI, 12,5; Strabo, Geografia,
VII, 3, 11; Ovidiu, Tristia, III, 10, 23-24; Vergilius, Georgica, III, 364. To these we can add the
archaeological discoveries that certify the existence of vine and the production of wine at the
Dacians. In the settlements from Brad, Piscul Crăsani, Popeşti were discovered grape seeds. To the
consumption of local wines we could add, at least for the east and south Carpathian areas, the
imported wines (especially from the Greek world, fact proven by the stamped amphorae from
Rhodos, Thasos, Cnidos, Cos). Dacians also consumed beer and mead.47
In the Roman period viticulture knew a huge development. To the old varieties new ones
were added, superior working methods, brought by the settlers. One of these methods was the
cultivation of vine in association with different trees. In the 1st-2nd centuries A.D. viticulture became the
main agricultural occupation in almost all of the provinces of the Roman Empire. The cult of Liber Pater
was encouraged by some emperors like Hadrian, Septimius Severus, Caracalla, Heliogabal. In Dacia the
popularity of Liber, alone or with his pair Libera, is certified by the presence of dedications to Liber or
Liber and Libera from all over the province, not only in agricultural and viticulture areas, on the territory
of towns and villages, but also in the stationary places of the Roman troops.48
Evidence of practicing viticulture on the territory of Dacia are: the will from Sucidava (CIL
III, 14493); the waxed slate form Alburnus Maior (CIL III, tab. cer. XV); a fragment of stamped
amphora from Porolissum which proves the import of southern wine or oil form the time of emperor
Traian (the neck of the amphora is marked with: IMP (eratoris) NERVAE AVG (usti) and it was
probably brought by the first settlers who came in the north of Dacia); the wine cellar (cella
vinaria) and the calcatorium discovered at Potaissa49; an inscription from Colonia Ulpia Traiana
Augusta Dacica Sarmizegetusa which talks about offerings to the gods and mentions mulsa (a mix
from water and honey) and merum (which is not mixed with water” vinum non mixtum”)50;
ornaments representing stalks and branches with leaves of vine and clusters of grapes, frequently
depicted on stone monuments; numerous dedications to Liber Pater and his fine art representations
of the wine god (reliefs and statues)51; the discovery of tools (like wine hooks).
The waxed slates (25 pieces) were discovered accidentally by the miners between 1786 and
1855 in the abandoned gold mines from Alburnus Maior (Roşia Montană). The pieces were dated
between 131-167 A.D. and the finding place, their content and destination shows that they belonged
to the miners or to those who worked here.52 The simultaneous consumption of local and imported
wine is certified in the text of one of the waxed slates (CIL III, tab. cer. XV) which mentions the
expenses for a banquet of a board in Alburnus Maior. Two kinds of wine are mentioned: merum and
vinum. From merum three heminae (= 0.822 l) were consumed and from vinum two cvadrantale and
two heminae (= 32.56 l). Merum, a sweet wine was an expensive beverage (almost 2 denars per
litre) and it was considered foreign, vinum was probably local (0.54 denar per litre).53
The wine cellar from Potaissa was discovered in the south-western part of Turda, on Şuia
Hill, in 1978, when the steep edge of the quarry collapsed and a rectangular underground room
appeared (oriented East-West). The walls were raised with local stone; their interior was plastered
totally but the exterior only the parts above the soil. No traces of painting or graffiti were found.54
The room was used in two stages. In the interior a lot of fragments from tiles and hollow tiles were
discovered. Near the southern wall the remains of a burned firm wood beam were discovered,
probably from the roof’s framework. The role of the building was established based on the
discovery of a lot of pottery, a wine hook (falx vineatica) and annex equipment used to crush the
grapes: it was a cella vinaria, a wine cellar. The equipment used to crush the grapes was discovered
47
Suciu, 2001, p. 171-172.
Milea, Luca, 1978, p. 236.
49
Bărbulescu, 1994, p. 124.
50
Ardeţ, 2006, p. 48.
51
Macrea, 1969, p. 297.
52
IDR I, 1975, p. 244-246.
53
Tudor, 1976, p. 398-399.
54
Cătinaş, Bărbulescu, 1979, p. 101-103.
48
123
near the underground room. It is a quadrilateral pit dug in rock. The bottom of the pit was carefully
worked and a 25 cm thick floor was made. This way a small tank was made (calcatorium) where
the grapes were crushed. The floor being so tough, we can presume that the tank was also used as a
component part of the wine press (torcular), by setting above it the wooden equipment.55 A rich and
various archaeological material was found: different types of pottery, metal, bone, glass objects,
fragments from a terra-cotta statuette, fragments from a stone relief. The archaeological material
confirms the role of the complex. It wasn’t excluded the assumption that this could have been the
annex of a larger household, a villa suburbana near the ancient town. The cella vinaria and torcular
from Potaissa was near or in the vineyard. The underground room in which the wine was kept might
also serve as a store for the viticulture tools or a house for the guardian.56
The will from Sucidava is the will of an anonymous, partially preserved. From this epitaph we
learn about the cultivation of vine in southern Dacia and on the terraces of the Danube. The owner of the
two jugera vineyard was the owner or the concessionaire of a fund, he had the right to leave a will. It was
dated in the 2nd century A.D.57 Based on the text we can see that the production of the two jugera could
provide bread to the caretaker and all that was necessary for the periodical sacrifices. This attestation of
local wine production proves that in Dacia local wine was also consumed, not only imported one, which
probably was of a better quality but was also a lot more expensive then the local wine.
The import of wine in Dacia begun in the 4th-3rd centuries B.C. when the local aristocracy
was buying amphorae with Greek wine through the Greek merchants from the Hellenistic towns
from the Dobrogean shore. Greek amphorae appear until the Roman conquest. In the pre-Roman
period the penetration of the Greek amphorae was documented only on the extra-Carpathian area
(Oltenia, Muntenia, Moldova).58 Based on the Greco-Italic imports Dacia can be seen as a territory
with extremely active trade.59 In the Roman period the wine and oil trade reached the north of
Transylvania (at Porolissum). The import of these amphorae knew the maximum development in
the period of the Sever dynasty, period when Dacia knew its maximum economical prosperity.60
Wine and oil import was maintained until the 6th century A.D., fact proven by the discovery of
Roman amphorae in settlements from Dacia dated after the abandonment of the province. The
consumption appears in the settlements of the migrating population but also in the Roman-Byzantine
fortresses from the left shore of the Danube. But now the imports come from the Egeean isles.61
The amphora was a vessel used for keeping and transporting liquids. It had a tall body, two
handles and a cone-shaped bottom (this is why it had to be placed on props or transported stiffed in
sand). Some had stamps of the producer and/or tituli picti, certifying the capacity or content, placed
on the handles or the neck of the vessel.62
For Dobrogea, Andrei Opaiţ speaks about some preliminary conclusions. It can be noticed
the carrying on of some old commercial customs of the Istro-Pontic area with the Greek centres
(Rhodos, Chios, Samos, Cos). A local production exists but it reduces oneself to common used
pottery. From these regions fish and honey could have been exported. If there is a correlation
between the merchandise and the amphora, than the cone-shaped forms are for oil, the ovoid ones for
wine and the globular ones for cereals and fish. Opaiţ differentiated 13 types: 4 would be for oil (tipe II,
III, IV, VI), 4 for wine (V, VII, VIII, IX), 4 for cereals or fish (X, XI, XII, XIII). Type I could be a local
product. The dimensions of the vessels maintained generally unchanged. The Danubian towns were
extremely active economically. Troesmis and Noviodunum were very important because they were
transit points for the southern merchandise towards the northern Danubian region.63
55
Ibidem, 1979, p. 106-108.
Ibidem, 1979, p. 124-126.
57
Şandru, 2003, p. 197-198.
58
Tudor, 1968, p. 397.
59
Glodariu, 1972, p. 56.
60
Tudor, 1968, p. 397-398.
61
Ibidem, p. 399.
62
Bărbulescu, 2005, p. 79.
63
Opaiţ, 1977-1978, p. 310-314.
56
124
Amphorae with wine came to Dacia from Italy, Gaule, Hispania, Asia Minor or North
Africa. The cultivation of wine is one of the traditional occupations practiced in Dacia, even before
the Roman conquest. 43% of the amphorae from Dacia were filled with wine. The 45% imported
wine from Dacia came from Asia.64 In Dacia 45 amphora types were distinguished, which were in
circulation during the 2-6th centuries.
Based on his studies A. Ardeţ reached some conclusions concerning amphorae in Dacia:
• From the 445 amphorae or fragments of amphorae 81% came from cities, 11,68% from
fortresses and 7,86% from rural settlements.
• 45 amphora types were identified, coming from 14 provinces from all over the Empire.
29% came from Occident, 62% from Orient and 9% from Africa.
• It is difficult to establish exactly the content of the amphorae. 44,85% transported olive
oil, 43,01% wine, 6,61% fish products and 5,51% olives.
• The wine from Dacia came from: Asia, Moesia Inferior, Italy, Pontus et Bithynia, Gaule,
Crete et Cyrenae, Egypt, Syria Palestina, Baetica, Africa Proconsularis.
• From a chronological point of view: between 106 and 150 A.D. 80.76% from the
amphorae came from Occident and 42.85% transported wine. After the middle of the second
century the report changes: 74.09% came from Orient and 45.76% of wine amphorae came from
Asia. At the beginning of the 3rd century the supremacy stays the same: 79.28% Orient and 46.55%
of the wine came from Asia. Starting with the crisis period of the Empire there are no amphorae
from Occident, 70.68% Orient and 70.38% of the wine came from Asia. After 401 Orient represents
87% and 61.90% came from Asia.
• The main access ways to Dacia, for the western products as well as for the eastern ones,
remain the fluvial ones.65
The waxed slates are unique sources for prices in Dacia. It is important to study prices from
Dacia in connection with the prices from other provinces. Studies were made based on the prices
from the waxed slate that noted the products and the expenses for a banquet. For this study are
important the prices of wine. Three amphorae of wine would cost 35 or 22 denars, so a sextarius
would cost 3.8 or 2,2 aces. In the same period of time, a sextarius costed 1-4 aces at Pompei; 0.4
ace in Spain; 0.3-1 ace in Africa. Generally, in the first two centuries A.D. a sextarius costed between
0.4 and 8 aces. The prices from Dacia correspond with the values from the other provinces. We don’t
know the quality of the wine mentioned in the waxed slate. A worker from Pompei could buy with his
one day pay 2-7 litres of wine, but in Dacia only 2.5-4 litres. This fact might be explained with smaller
pays than in Pompei, and also in Italy wine was in abundance, while in Dacia large quantities were
imported from Tracia or Asia Minor. In 301 an unskilled worker with his one day pay could buy only
1.8 litres of inferior quality wine.66 The correspondence of the prices from Alburnus Maior with those
from other provinces in the Ist-IInd century A.D. show a monetary stability and the lack of inflation
which will appear in the 3rd century. The prices from Alburnus Maior could be extended for the entire
province. The gold mines from Dacia were not isolated economicly; they were near by Apulum, an
important economical centre with an intense monetary circulation.67
In conclusion we could say that viticulture was an important part of Dacian agriculture even
before the Roman conquest. Beside the imported wine, probably of a better quality, wine from local
production should not be neglected. In many regions of Dacia were viticulture exploitations, even in
areas not always favourable for vine. The existence of a local viticulture and the taste for imported
wines show the interest of Dacian population towards this product.
64
Ardeţ, 2006, p. 47-50.
Ibidem, p. 246-264.
66
Mrozek, 1971, p. 446-447.
67
Ibidem, p. 451.
65
125
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Napocensis XX, Deva-Cluj-Napoca, p. 159-177.
ŞANDRU, I., 2003, Testamentul de la Sucidava, în M. Bărbulescu (coord.), Funeraria
dacoromana, Editura Dacia, Cluj-Napoca, p. 197-198.
TUDOR, D., 1950, Despre sclavaj în Dacia inferioară, în Studii şi Cercetări de Istorie
Veche I, p. 205-212.
TUDOR, D., 1968, Importul de vin şi untdelemn în provincia Dacia, în Apulum 7/1, p. 391-399.
TUDOR, D., 1976, Arheologia romană, Editura Ştiinţifică şi Enciclopedică, Bucureşti.
127
QUELQUES ASPECTS DE LA «FOLIE DIVINE»
DANS LA PHILOSOPHIE GRECQUE
Daniel MAZILU, Lecturer PhD∗
Abstract. Depuis les travaux d’E. R. Dodds, plusieurs études ont été consacrées au problème épineux de la «folie
divine» dans la culture grecque ancienne. Cet article montre qu’il y a plusieurs espèces de «folie divine» en Grèce,
parmi lesquelles une place à part entière est occupée par l’enthousiasme philosophique. Qui plus est, à la différence
des autres sortes de «folie divine», on assiste à une revanche de la raison en bonne et due forme. Tandis que dans
toutes les autres formes de divination et d’inspiration, c’était une condition qu’elle en fût absente, dans le
néoplatonisme, depuis Plotin jusqu’à Proclus, la raison en est même le moteur de l’acte contemplatif qui conduit à
l’extase – vision béatifique au-delà de toute expression.
Keywords: Diotima, divine madness, Iamblichus, Neoplatonism, Plato, Plotinus, Proclos, Socrates, wisdom.
Depuis les travaux d’E. R. Dodds1, plusieurs études ont été consacrées au problème épineux
de la conception grecque sur le phénomène des oracles, de la divination, du charisme politique, de
l’inspiration poétique et de l’enthousiasme philosophique. Nous souhaitons ici mettre en lumière la
distinction faite par Platon entre les formes de délire qualifié de divin par certains Anciens et l’état
mystique décrit par les néoplatoniciens.
Si Platon a pu avancer l’idée que le délire puisse être supérieur à la sagesse2, cela s’explique
probablement par l’écart ressenti par tous les Anciens entre la sagesse humaine et l’inspiration
divine conçue comme une sagesse plus qu’humaine3. Mais cela ne justifie pas la confusion des
deux. Lorsque Platon fait intervenir l’inspiration, c’est pour rendre compte de l’art des poètes, des
prophètes et des devins. Nous montrerons ici que le rôle de l’enthousiasme n’est pas le même chez les
philosophes, puisqu’il n’est pas l’équivalent de la philosophie elle-même, comme c’est le cas pour la
poésie, la prophétie ou la divination ou l’inspiration est l’art même et non pas seulement une cause
parmi d’autre. Mais voyons d’abord les réflexions de Platon au sujet de l’enthousiasme chez les
catégories d’individus autres que les philosophes. Dans Ion, Socrate affirme que ce n’est pas une
technique (teknè), mais une puissance divine (theia dunamis) qui rend les poètes aptes à bien parler4 :
« C’est la Muse qui par elle-même rend certains hommes inspirés et qui, à travers ces
hommes inspirés, forme une chaîne d’autres enthousiastes. Car ce n’est pas en vertu de la
technique, mais bien en vertu de l’inspiration et de la possession que tous les poètes épiques,
j’entends les bons poètes épiques, récitent tous ces beaux poèmes. Et il en va de même pour tous les
bons poètes lyriques ; tous ceux qui sont pris du délire des Corybantes n’ont plus leur raison
lorsqu’ils composent leurs chants si beaux. Dès qu’ils sont entrés dans l’harmonie et le rythme, ils
sont possédés par le transport bachique, et ils sont comme les Bacchantes qui puisent aux fleuves le
∗ “Dimitrie Cantemir” Christian University, Faculty of History, 176 Splaiul Unirii, Sector 4 040042 Bucharest 53,
Romania; [email protected].
1
Eric Robertson Dodds, Les Grecs et l’irrationnel, Champs, Flammarion, Paris, 1999.
2
Platon, Phèdre, 244 d 4-5.
3
C’est probablement dans ce sens que l’on peut prendre la formule d’Euripide: to sophon ou sophia (Bacchantes, 395); cf.
Héraclite, DK. 22 B 1, 17-19, 56, 78; Platon, Parménide, 134 b 11 - 135 a 5.
4
Platon, Ion, 533 d 1-4, 534 c 5-7.
128
miel et le lait lorsqu’elles sont possédées et quand elles n’ont plus leur raison, exactement comme
le fait l’âme des poètes lyriques, selon leur propre aveu ».5
De toute évidence, l’enthousiasme est ici simultané à la perte de la raison6. Autrement dit, il
semblerait que la rançon à payer par le poète pour être investi de l’inspiration divine est serait cette
abolition provisoire de la conscience de soi. Platon revient à deux reprises par après pour
conditionner l’inspiration divine des poètes de la perte de la raison. Mieux encore, la raison ne sera
même plus alors entendue simplement au sens de conscience (phronesis), mais bien d’intellect
(nous): « Car le poète (...) ne peut composer avant d’être inspiré par un dieu, avant de perdre sa
raison, de se mettre hors d’elle-même (ekphron ho nous). Tant qu’un homme reste en possession de
son intellect, il est parfaitement incapable de faire œuvre poétique »7. Ce que dit Platon ici, c’est
qu’un homme sain d’esprit ne saurait être un poète et qu’inversement un poète accompli n’est en
aucun cas dans l’entière possession de sa raison. Gardons-nous toutefois de classer le poète à la
rubrique des insensés. L’irrationnel dont il s’agit ici est d’un tout autre ordre que celui d’une banale
maladie mentale. Platon le dit clairement : c’est une « faveur divine » (theia moira) qui inspire
certains hommes pour les faire les interprètes des dieux à travers l’enthousiasme8. Cette faveur ne
dénote pas moins une déficience chez ceux qui en sont les bénéficiaires, puisqu’à défaut de cette
faveur les poètes seraient incapables de faire leurs œuvres et d’exceller dans leur art. Platon va
encore plus loin, puisqu’il ne s’arrête pas aux poètes pour poser son diagnostic.
Dans le Ménon, c’est à propos des hommes politiques qu’il écrit: « à l’égard de la science, ils ne
diffèrent en rien des prophètes et des devins; car ceux-ci disent souvent la vérité, mais sans rien
connaître aux choses dont ils parlent »9. Ce n’est qu’ironiquement que Socrate les appelle « divins »
(theious) dans le dialogue, puisqu’ils ne méritent ce nom que parce qu’ils obtiennent de grands succès
par l’action et la parole « sans intelligence » (noun me ekontes)10, c’est-à-dire sans bien savoir ce qu’ils
font ni ce qu’ils disent, exactement comme les poètes qu’un dieu prive de la raison au moment où ils se
trouvent au sommet de leur art. Le dialogue de Platon s’achève sur la conclusion que la vertu elle-même
n’est ni un don de nature, ni le résultat de l’enseignement, qu’elle n’est donc ni innée, ni acquise, mais
« vient d’une faveur divine »11. L’important pour Platon, c’est de faire la distinction entre l’inspiration et
le savoir, l’inné et l’acquis, le don divin et l’effort des mortels.
Ce faisant, Platon ne dénie pas moins la possession de la raison à ceux qui sont les bénéficiaires de
la dite faveur, puisque c’est en l’absence de l’intelligence (aneu nou), dit-il, que les hommes politiques
révèlent leur talent12. Il n’y a rien de véritablement flatteur, il faut en convenir, dans l’attribution d’une
telle faveur divine, puisque ce n’est pas le mérite personnel, mais un privilège divin qui rend compte de la
valeur de ceux qui en sont investis. Artistes et politiciens se trouvent de la sorte dans le même panier en
matière de mérites réels, de talents et surtout de rapport à la raison. Dénués d’intelligence, ils sont à la
5
Ibidem, 533 e 3 - 534 b 4. Pour le commentaire néoplatonicien de ce passage, cf. Proclus, In Republicam, I, 182 - 185.
Dans le passage cité, le terme qui traduit la « raison » est en fait emphron, qui signifie « être dans son bon sens » et se
comporter de manière « sensé », c’est-à-dire avec pondération, sobriété et mesure. Le sens visé, dans le tableau de nos
acceptions de la raison, est donc le premier, celui de la phronesis, qui signifie à la fois pensée et conscience. Ceux qui, sous
l’effet de l’enthousiasme (entheon), n’ont plus leur raison (ouk emphrones) sont ceux qui cessent d’être phronimoi (sensés).
Ion, 534 a 1-3 et 7. « As-tu encore ta raison (emphron)? N’es-tu pas hors de toi (exo sauton gignè) et ton âme enthousiasmée
(enthousiazousa) ne se croit-elle pas transportée au beau milieu des événements dont tu parles? » (Ibidem, 535 b 8 - c 2).
7
Ibidem, 534 b 4-9. « C’est pourquoi le dieu, les ayant privés de leur intellect, les emploie comme ses serviteurs, au même
titre que les prophètes et les devins divinement inspirés, afin que nous qui les écoutons sachions que ce n’est pas eux qui
disent des choses si importantes, eux à qui l’intellect fait défaut, mais que c’est la divinité elle-même qui parle et s’adresse à
nous à travers eux » (Ibidem, 534 c 7 - d 5).
8
Ibidem, 534 c 1, e 3-7, 535 a 2-5, 536 a 2-4, c 1-3, d 3.
9
Ménon, 99 c 1-4. « Nous aurons donc raison d’appeler divins ceux dont je parlais, les prophètes, les devins, tous ceux qu'agite le délire
poétique, et nous ne manquerons pas d’appeler divins et inspirés plus que personne les hommes d’État, puisque c’est grâce au souffle du
dieu qui les possède qu’ils arrivent à dire et à faire de grandes choses sans rien savoir de ce dont ils parlent » (Ibidem, 99 c 10 - d 4).
10
Ibidem, 99 c 6-8. « Les femmes, Ménon, appellent divins ceux qui sont bons, et quand les Lacédémoniens veulent louer
quelqu’un comme homme de bien : C’est un homme divin, disent-ils » (Ibidem, 99 d 6-8).
11
Ibidem, 99 e 5-6, 100 b 2-4.
12
« ... à moins qu’il se trouvât par hasard un homme d’État capable de transmettre [la vertu] à d’autres » (Ibidem, 100 a 1-2).
6
129
merci des dieux, de l’inspiration, peut-être même du hasard – du moment où ils ne sont pas en mesure
d’exiger des dieux quand et comment ils seraient en droit d’être touchés par leur grâce.
Cette absence d’intelligence dans une profession ou dans l’expression d’un art est le mieux
illustrée dans la divination, à laquelle Socrate fait référence à la fin du Ménon. Dans le Phèdre, l’art
de la divination est affirmé avoir été pour la Grèce la source de nombreux bienfaits13. Or, là encore,
Platon énumère les beaux effets qu’il rapporte à « un délire dont les dieux sont le principe »14. Il est
très difficile de faire la part des choses et de dire jusqu’à quel point Platon créditait ce délire
mantique d’une valeur supérieure au savoir15. Par ce biais, il n’en vient pas moins à l’enthousiasme
des philosophes. Le paradoxe, c’est que l’accès de l’âme du philosophe au lieu «supracéleste» se
réalise précisément par la faculté qui était refusée aux autres enthousiastes, l’intelligence16. Même si
Platon convient qu’il s’agit là de la meilleure parmi toutes les formes de possession divine17, il n’en
est pas moins forcé de parler d’une véritable science qui est le fruit d’un tel enthousiasme :
« La pensée d’un dieu, en tant qu’elle se nourrit d’intellection et de savoir sans mélange, et,
de même, la pensée de toute âme qui se soucie de recevoir l’aliment qui lui convient, lorsqu’avec le
temps elle a fini par apercevoir la réalité, elle en éprouve du bien-être, et la contemplation des
réalités véritables est pour elle une nourriture bienfaisante, jusqu’au moment où la révolution
circulaire la ramène au même point. Or, tandis qu’elle accomplit ce tour, elle a sous les yeux la
Justice en elle-même, sous les yeux la Sagesse; elle a sous les yeux un savoir qui n’est pas celui
auquel est lié le devenir, qui n’est pas non plus celui qui se diversifie avec la diversité des objets
auxquels il s’applique et auxquels, dans notre présente existence, nous donnons le nom d’êtres,
mais le Savoir qui s’applique à ce qui est réellement une réalité ».18
Nous voyons clairement que la possession divine ne ressemble plus tellement chez le
philosophe à la folie des poètes, des politiciens et des devins. Ce savoir fait même partie de
l’eschatologie platonicienne et consiste dans la vision des réalités véritables que toute âme humaine
a contemplé jadis et qu’elle peut retrouver dans certaines circonstances, notamment par un savoir
particulier19. Il y a même une épreuve qui conduit à départager les hommes en initiés et en profanes,
qui consiste dans la capacité de se ressouvenir de la vision de ces réalités : « C’est là, sache-le, que
l’âme est en face de l’épreuve et de la joute suprême! »20. Platon nous dit que seuls les amis du
beau, les amoureux et les philosophes sont à même de trouver la capacité de se souvenir de cette
vision21, vision que tous les hommes ont eue, mais que la plupart oublient22. « C’est en usant
droitement de moyens de souvenance qu’un homme, dont l’initiation à de parfaits mystères est
toujours parfaite, est seul à devenir réellement parfait »23. Aux yeux de ceux qui ont échoué à
13
« On le voit en effet : la prophétesse de Delphes, les prêtresses de Dodone, c’est dans leur délire qu’elles ont été pour la
Grèce les ouvrières de nombre de bienfaits évidents, tant d’ordre privé que d’ordre public, tandis que, quand elles étaient
dans leur bon sens (sophronousai), leur action se réduisait à peu de chose, ou même à rien. Après cela, parlerons-nous de la
Sibylle? de tous ceux qui, usant d’une divination qu’un dieu inspire, ont d’avance dicté à bien des gens, en bien des occasions, le
droit chemin de leur avenir? Ce serait s’attarder à ce qui est évident pour tout le monde » (Platon, Phèdre, 244 a 9 - b 6).
14
Ibidem, 245 b 1-2.
15
Surtout après la conclusion de la première partie du dialogue, sur les effets du délire amoureux (Ibidem, 240 e 8 - 241 d 2).
16
« Or, voici ce qui en est ; car, si vraiment il est un cas où l’on doive avoir le courage de dire la vérité, c’est surtout quand
on parle sur la Vérité ! Eh bien ! donc, la réalité qui réellement est sans couleur, sans figure, intangible ; celle qui ne peut être
contemplée que par le pilote de l’âme, par l’intellect ; celle qui est le patrimoine du vrai savoir, c’est elle qui occupe ce lieu »
(Ibidem, 247 c 4 - d 1). Ce lieu étant « la plaine de la vérité » (Ibidem, 248 b 7). Cf. Plotin, Ennéade VI, 7, 13. 33-35.
17
Platon, Phèdre, 249 e 1-2.
18
Ibidem, 247 d 1 - e 3. Cf. République, VII, 519 c 7 - 11; Plotin, Ennéade V, 3, 7. 7-12.
19
Phèdre, 249 b 6-7. Cf. ibidem, 248 c 3-6, 249 c 2-5, 250 a 2, 4, 6. « Toute âme d’homme, en effet, a par nature, ainsi que je
l’ai dit, contemplé les réalités ; autrement, elle ne serait pas venue dans le vivant dont je parle » (Ibidem, 249 e 4-6).
20
Ibidem, 247 b 5-6.
21
Ibidem, 248 d 2-4, e 5 - 249 a 2. « Aussi est-il juste assurément que, seule, la pensée du philosophe soit ailée : c’est que les
grands objets, auxquels constamment par le souvenir elle s’applique dans la mesure de ses forces, sont justement ceux
auxquels, parce qu’il s’y applique, un dieu doit sa divinité » (Ibidem, 249 c 4-7).
22
Ibidem, 248 c 6 - d 2.
23
Ibidem, 249 c 7-9.
130
retrouver cette vision des réalités véritables, celui qui y a réussi peut fort bien passer pour étrange24,
mais cette fois-ci l’étrangeté est due à un défaut de perspective, à un manque de savoir qui distingue
les aveugles de ceux qui ont eu la vision. Ici, contrairement à l’exaltation des poètes et au délire des
devins, l’enthousiasme du philosophe s’explique par cette vision qui est le souvenir des réalités
contemplées jadis25. Il s’agit donc bien d’un savoir, enfoui dans la mémoire de l’âme, et non d’une
simple faveur divine qui priverait de sa raison celui qui en est l’objet. L’explication de
l’enthousiasme philosophique réside dans le fait qu’il retrouve ici l’image d’un monde qu’il croyait
perdu. Si l’intelligence lui faisait défaut, il serait incapable d’un tel souvenir.
Il y a donc une grande différence entre la frénésie divinatoire, l’exaltation poétique, le pathos politique,
d’une part, et l’enthousiasme philosophique, de l’autre. Dans les trois premiers, c’est sous l’emprise d’un dieu
que ceux qui en reçoivent cette faveur donnent cours à leurs actions, tandis que le quatrième est le sujet d’une
vision dont il est lui-même l’auteur par le souvenir qu’il en a et qu’il retrouve ici-bas :
« La Beauté, elle, était resplendissante à voir, en ce temps où, unis à un chœur fortuné, ces
gens-là avaient en spectacle la béatifique vision (makarian opsin), nous à la suite de Zeus et dans
son cortège, d’autre dans celui d’un autre dieu ; ce temps où cela était sous leurs yeux ; où ils
s’initiaient à celle des initiations dont il y a justice à dire qu’elle atteint la suprême béatitude ;
mystère que nous célébrions dans l’intégrité de notre vraie nature et exempts de tous les maux qui
nous attendaient dans le cours ultérieur du temps ; intégrité, simplicité, immobilité, félicité
appartenant à leur tour aux apparitions que l’initiation a fini par dévoiler à nos regards au sein
d’une pure et éclatante lumière, parce que nous étions purs et que nous ne portions pas la marque
de ce sépulcre que, sous le nom de corps, nous promenons actuellement avec nous, attachés à lui de
la même façon que l’est l’huître à sa coquille ».26
L’enthousiasme du philosophe relève donc d’une initiation, c’est-à-dire d’une connaissance
grâce à laquelle il peut reconnaître la Beauté en soi dans ce qui apparaît maintenant comme son
reflet dans le monde sensible27. Si Platon fait une description détaillée de l’état amoureux, c’est
parce que seul l’amour peut donner une idée adéquate de l’enthousiasme philosophique28. Or, le
délire amoureux, pas plus que l’enthousiasme philosophique, n’est pas dû à une perte de la raison,
mais à la perception d’un objet de désir capable de faire cesser toutes les douleurs de l’existence et
d’apporter la joie29. L’effet est à la mesure de la cause qui le produit. Ce serait par ailleurs un nonsens d’affirmer que pareil objet soit irrationnel, s’il est en mesure d’apporter un bien tel que celui de
la « vision béatifique », l’arrêt des tourments de l’existence et de la souffrance. C’est même ce qui,
selon l’Étrangère de Mantinée, donne un sens à toute existence : « Si la vie vaut jamais la peine
d’être vécue, cher Socrate, c’est à ce moment où l’homme contemple la beauté en soi »30.
Il reste que la philosophie ne consiste ni dans l’enthousiasme, ni même dans le savoir qui
échoit à ceux qui ont eu la vision des réalités véritables. C’est par où se justifie l’analogie entre
24
« Comme il s’écarte des objets où tend le zèle des hommes et qu’il s’attache à ce qui est divin, la foule lui remontre qu’il a
la tête à l’envers, alors qu’il est possédé d’un dieu (enthousiazon) ; mais la foule ne s’en rend pas compte » (Ibidem, 249 c 9 d 3). Cf. Théétète, 174 a 4 - 176 a 1.
25
Idem, Phèdre, 250 a 1 - b 1.
26
Phèdre, 250 b 6 - c 6; cf. République, VII, 519 b 3 - d 1.
27
« À la vérité, celui qui n’est pas fraîchement initié ou bien qui s’est laissé corrompre, n’est point vif, d’ici, à se porter làbas, vers la Beauté en soi, quand il contemple ce à quoi, en ce monde-ci, est appliqué son nom. (...) Quant à celui au contraire
qui vient d’être initié, celui pour qui l’abondant objet de ses contemplations, ce furent les réalités de jadis, celui-là, quand il
voit un visage d’un aspect divin, imitation réussie de la Beauté, ou quelque corps pareillement bien fait, il éprouve d’abord un
frisson, et quelque chose l’envahit sourdement de ses effrois de jadis » (Phèdre, 251 e 1-3, 251 a 2-5).
28
Ibidem, 251 a 5 - 252 c 3. Tout ce passage platonicien se retrouve dans la plupart des envolées lyriques de Plotin, lorsqu’il
décrit le ravissement mystique: chaleur inaccoutumée, frisson, afflux, gonflement, élan de croissance dans la tige, ébullition,
chatouillement, flot, vague de désir, tourment, nectar et ambroisie, félicité, etc.
29
Ibidem, 251 c 8 - d 1, d 4 - e 6. Cf. République, VI, 490 a 8 - b 7.
30
Platon, Banquet, 211 d 1-8. Nous avons là une leçon platonicienne adoptée par le néoplatonisme. L’état où se trouvent ceux
qui ont eu la vision s’explique simplement par la disproportion entre la nature humaine et l’objet de la vision : «De même les
inspirés et les possédés (hoi entousiontes kai katokoi) voient jusqu’à un certain point qu’ils ont en eux quelque chose de plus
grand qu’eux ; ils ne voient pas ce que c’est ; mais de leurs mouvements et de leurs paroles, ils tirent un certain sentiment de
la cause qui leur a donné le branle, bien que cette cause en soit très différente» (Plotin, Ennéade V, 3, 14. 11-13). Cf.
Porphyre, Vie de Plotin, 23. 14-40.
131
l’amour et la philosophie, de par la nature similaire des deux. Si Diotime appelle l’Amour « un
grand démon » (daimon megas), c’est parce qu’il tient le milieu entre le mortel et l’immortel, qu’il
est un intermédiaire entre l’homme et le dieu31. De même la philosophie est-elle à mi-chemin entre
l’ignorance et le savoir, comme l’amour est à mi-chemin entre le mortel et l’immortel. Mais les
dieux ne philosophent pas (theon oudeis philosophei), puisqu’ils possèdent le savoir et la sagesse32.
Seuls philosophent ceux qui aspirent au savoir, et qui ont la sagesse, le bien, le juste et le beau pour
objet de leur désir. Or, comme « l’Amour a le beau pour objet de son amour, il est nécessaire que
l’Amour soit philosophe et, en tant que philosophe, intermédiaire entre le savant et l’ignorant »33.
L’émotion qui se manifeste en la présence de la beauté ou l’enthousiasme philosophique ne
concernent donc ni ceux qui sont dépourvus du sens de la beauté, ni les ignorants. Mais pas
davantage les dieux. C’est le propre de ceux qui aspirent à la sagesse ou qui désirent le beau, de se
laisser transporter par l’élan qui les porte vers eux. La figure de Socrate est emblématique à cet
égard et justifie l’emploi par Platon d’un vocabulaire initiatique repris aux Mystères. C’est pour
avoir été lui-même initié par Diotime aux « mystères de l’amour »34 qu’il peut apparaître par la
suite aux autres comme le grand enchanteur, tel qu’il ressort du portrait qu’en dresse Alcibiade dans
le Banquet 35. Si l’enthousiasme philosophique était du même type que le délire mantique ou
l’exaltation poétique, l’initiation à la sagesse ou aux mystères de l’amour serait tout à fait impossible,
puisque celle-ci consiste dans un savoir. Si ceux qui ont retrouvé la vision de la beauté en soi ou de la
sagesse étaient privés de raison, comme les poètes, au moment de leur ravissement, ils n’auraient rien à
enseigner par la suite et ne pourraient non plus aimer ce dont ils ont eu la vision, puisqu’ils ignoreraient
tout de ce qu’ils auraient vu. C’est en quoi la philosophie suppose une vision, l’initiation à un savoir qui
justifie l’amour de la sagesse, puisqu’on ne peut aimer ce qu’on ignore.
C’est pourquoi Plotin affirme que pour monter à la lumière éclatante d’en haut, il faut être
de nature amoureuse et avoir les dispositions d’un vrai philosophe36. Mais, à la différence de Platon,
la contemplation de la beauté se fait chez Plotin de manière intérieure, de sorte que l’enthousiasme
n’est plus suscité par un spectacle extérieur, mais par la présence du divin dans l’âme, ressentie par
ceux qui en sont capables : « C’est en soi qu’il faut le transporter ; voyons-le comme un avec nousmêmes ; voyons-le comme étant nous-mêmes ; ainsi le possédé d’un dieu, de Phébus ou de quelque
Muse, contemple son dieu en lui-même, dès qu’il a la force de voir le dieu en lui »37.
L’enthousiasme acquiert donc un sens différent chez Plotin, puisqu’il n’est plus inspiré par la
réminiscence d’une vision extérieure, mais suscité par la contemplation du divin qui est intérieur à
celui qui contemple. Le dieu ne prive donc plus l’inspiré de sa raison, comme il le faisait avec le
poète, mais explique l’état du philosophe qui retrouve la vision du Beau en soi. De plus, comme le
divin se manifeste ici à l’intérieur, il renforce le sens étymologique de l’en-thousiasme par la
manifestation de cette présence dans l’âme. Mais dans ce cas, pour comprendre cet enthousiasme, il
faut d’abord se demander ce qu’est l’œuvre de l’amour pour les choses non sensibles38 :
« Que vous font éprouver ces « belles occupations » dont on parle, les beaux caractères, les
mœurs tempérantes et, en général, les actes ou dispositions vertueuses et la beauté de l’âme? Et, en
voyons vous-même votre beauté intérieure, qu’éprouvez-vous? Que sont cette ivresse, cette émotion,
31
Banquet, 202 d 8 - e 2. « Quel en est, demandais-je, le rôle? — C’est de traduire et de transmettre aux dieux ce qui vient
des hommes et, aux hommes, ce qui vient des dieux (...). Le dieu, il est vrai, ne se mêle pas à l’homme ; et pourtant, la nature
démonique rend possible aux dieux d’avoir, en général, commerce avec les hommes et de les entretenir, pendant la veille
comme dans le sommeil. Et celui qui est savant en ces matières est un homme démonique, tandis que celui qui est savant en
toute autre, qu’elle se rapporte à des arts ou à des métiers, n’est qu’un ouvrier ! De ces démons il y a, cela va de soi, grand
nombre et extrême variété. Or, il existe aussi un parmi eux, qui est l’Amour » (Ibidem, 202 e 2-5, 203 a 2-8).
32
Ibidem, 204 a 1-7.
33
Ibidem, 204 b 2-6.
34
Ibidem, 201 d - 212 a.
35
Ibidem, 215 b 4 - d 6). Cf. Plotin, Ennéade I, 4, 16. 22-29.
36
Ibidem, V, 9, 2. 1-4.
37
Ibidem, V, 8, 10. 33-45.
38
Ibidem, I, 6, 5. 1-2.
132
ce désir d’être avec vous-même en vous recueillant en vous-même et hors du corps? Car c’est ce
qu’éprouvent les vrais amoureux. Et à propos de quoi l’éprouvent-ils? »39
C’est naturellement à propos de la beauté, que les amoureux perçoivent comme un bien.
Mais l’amour qui se tourne vers la beauté intérieure, vers les choses non sensibles comme la
tempérance ou la beauté de l’âme, n’est plus du même ordre que l’amour qui naît de la beauté d’un
corps. « L’homme supérieur à ce reflet a une âme plus divine (theiotera), une humanité meilleure et
des sensations plus claires »40. L’enthousiasme résulte de la reconnaissance de cette beauté avec
laquelle l’âme éprouve la plus grande affinité41.
Comparativement à cette beauté intérieure, que l’âme reconnaît et pour laquelle elle éprouve
de l’amour, les autres beautés peuvent paraître bien ternes, parce qu’elles ne brillent pas de
l’intérieur, mais reçoivent uniquement un reflet extérieur d’une beauté qu’elles ne possèdent pas en
elles-mêmes42. Mais si l’on monte des beautés sensibles aux beautés intelligibles et si l’on cherche
le principe qui est à la source de la tempérance, de la justice, de la sagesse et des belles âmes, on
arrive forcément au Bien qui détermine de l’intérieur ces vertus et le caractère aimable de ces âmes,
un principe qui de par son effet doit nécessairement être supérieur à tout le reste :
« Les maux sont ici-bas, où il n’y a qu’une trace de vie et d’intelligence ; là-bas est son
modèle que Platon appelle « ce qui a la forme du Bien », parce qu’il possède le Bien grâce aux
Idées. Il y a le Bien, et il y a l’Intelligence qui est bonne parce que sa vie consiste à contempler. Les
êtres qu’elles contemple ont la forme du Bien, et elle les possède, dès qu’elle contemple le Bien. Le
Bien vient en elle, non tel qu’il est dans sa transcendance, mais tel qu’elle peut le recevoir »43.
Si on ne reste pas à la beauté multiple et si on saisit le caractère commun de toutes les formes,
on s’aperçoit qu’elles ont toutes la forme du Bien (agathoeides)44. Mais ce n’est pas comme
transcendant que le Bien rend toutes ces formes belles. Si le Bien ne se faisait pas voir à travers les
formes, il serait insaisissable par l’intelligence. Or, l’intelligence n’est elle-même que par la conscience
qu’elle a de la présence du Bien: « elle est l’intelligence en sa plénitude, pour posséder ce qu’elle doit
voir »45. Cela tient au fait que le Bien n’est pas seulement la cause de l’essence, mais la cause qui fait
voir l’essence46. Mais, en tant que lumière qui éclaire les êtres que voit l’intelligence, le Bien n’est ni ces
êtres ni l’intelligence47: « il est leur cause, et il permet la pensée, grâce à la lumière qu’il répand sur
eux »48. L’intelligence est donc conditionnée par le Bien qui existe avant qu’elle ne devienne
intelligence, ce qui fait d’elle autre chose que le Bien, puisque la procession l’oblige à être autre que le
principe simple d’où elle dérive, sans quoi il n’y aurait pas de procession49.
L’apparent paradoxe consiste dans le fait que le Bien est tel en tant qu’il n’agit pas et ne sort
pas de lui-même, tandis que l’intelligence acquiert la forme du Bien en agissant justement et en
sortant du Bien pour éclairer l’être. Ce paradoxe est résolu si l’on considère que c’est grâce au Bien
39
Ibidem, I, 6, 5. 2-9. « Ce que ressentent les amants ; tant qu’ils s’en tiennent à l’aspect visible, ils n’aiment pas encore ;
mais, de cette forme ils se font en eux-mêmes, dans leur âme indivisible, une image invisible; alors l’amour naît. S’ils
cherchent à voir l’aimé, c’est afin de féconder cette image et de l’empêcher de se flétrir. Et s’ils comprenaient qu’il faut
monter jusqu’à une réalité encore plus dénuée de formes que cette image, ils en auraient le désir ; car, dès le début, ils
sentaient bien que cette lueur effacée qu’ils voyaient leur donnait le désir de la pleine lumière » (Ibidem, VI, 7, 33. 22-30).
40
Ibidem, VI, 7, 5. 21-23. « Comme il engendre un être capable de sentir, il l’accompagne en illuminant sa vie ; ou plutôt il
ne l’accompagne pas, il se l’adjoint. Il ne sort pas lui-même du monde intelligible, mais, bien qu’il y reste attaché, il tient,
suspendue à lui, une âme inférieure ; par sa propre raison il s’unit à la raison de cette âme ; et c’est pourquoi cet être obscur
est éclairé par son éclat » (Ibidem, VI, 7, 5. 25-31).
41
Ibidem, VI, 7, 6. 7-11.
42
Ibidem, VI, 7, 15. 3-8.
43
Ibidem, VI, 7, 15. 8-14; cf. ibidem, VI, 7, 14. 23-24.
44
Ibidem, VI, 7, 16. 3-6.
45
Ibidem, VI, 7, 16. 19-22. « Mais elle n’est pas encore intelligence, quand elle le regarde, et sa vision n’est pas une pensée
intellectuelle. Ou plutôt, il ne faut pas dire qu’elle voit ; elle vit, orientée vers lui, elle se suspend à lui, elle se tourne vers lui ;
le mouvement de l’intelligence arrivant à sa plénitude parce qu’il l’amène vers le Bien et le fait tourner autour de lui, comble
les vœux de l’Intelligence » (Ibidem, VI, 7, 16. 13-17).
46
Ibidem, VI, 7, 16. 22-24, 27-28. Cf. Platon, République, 509 b.
47
Plotin, Ennéade, VI, 7, 16. 29.
48
Ibidem, VI, 7, 16. 24-32.
49
Ibidem, VI, 7, 13. 17-28.
133
précisément que l’intelligence peut voir et devenir intelligence. Mais, pas plus que le Bien ne sort
de lui-même, l’intelligence ne quitte « la plaine de la vérité »50 pour se perdre dans les objets
qu’elle éclaire de son éclat. La connaissance que nous avons des êtres s’accomplit grâce à
l’intelligence, mais sans que l’intelligence descende dans les êtres pour les rendre identiques à ellemême. Ce n’est qu’en regardant vers l’intelligence que nous acquérons l’intelligence, comme c’est
par participation à elle que les êtres existent :
« Il n’est donc pas possible qu’il y ait des êtres, si l’intelligence n’agit pas. Par cet acte,
l’intelligence produit les êtres l’un après l’autre, en menant en quelque sorte partout sa course
vagabonde, mais sans sortir d’elle-même, parce qu’il est naturel à la véritable intelligence de se
parcourir elle-même ; sa course s’accomplit au milieu des essences qui l’accompagnent dans toutes
ses allées et venues. Mais, comme elle est partout, cette course est une station en soi. Cette course
s’accomplit en effet dans la « plaine de la vérité » dont elle ne sort pas »51.
C’est donc sans sortir d’elle-même que l’intelligence répand sa lumière sur l’âme, comme
l’un répand la sienne sur l’Intelligence: « L’Intelligence elle-même est une trace (iknos) de l’Un »52.
En unifiant la multiplicité contenue dans l’intelligence, l’un l’élève ainsi à un statut supérieur. De
même, en limitant l’âme, l’intelligence la rend raisonnable et lui donne une trace de ce qu’elle
possède53. En effet, si les êtres qui sont dans l’Intelligence ont la forme du bien, c’est en tant que
chacun d’eux est une forme (eidos) et qu’ils deviennent beaux (kala) par participation à la forme.
Mais la forme est elle-même une empreinte du Bien grâce auquel les êtres ont l’existence:
« l’intelligence est par lui; et la beauté des formes vient de lui, comme tout ce qui a la forme du
bien, vie, intelligence ou idée » 54. Ce que toutes ces choses ont de commun, c’est leur participation
au Bien, comme la vie essentielle est bonne en tant qu’elle est issue du Bien55.
Et pourtant, la vie n’appartient pas au principe dont elle dérive, mais n’en est que la trace.
C’est pourquoi elle peut déchoir et devenir mauvaise, dans la mesure où elle peut s’éloigner de son
principe et devenir même différente de la nature primordiale qui est la sienne tant qu’elle reste
auprès de son principe. « Au moment où la vie dirige vers lui ses regards, elle est illimitée ; une fois
qu’elle l’a vu, elle se limite, sans que son principe ait lui-même aucune limite ; ce regard vers l’Un
apporte immédiatement en elle la limite, la détermination et la forme »56. Mais ce n’est pas une
limite qui vient de l’extérieur, puisqu’elle est donnée avec la vie elle-même, du rayonnement de la
nature du Bien, tant que la vie garde cette nature57. Or, cette nature consiste précisément dans
l’intelligence, pour autant qu’elle est l’unité qui résulte de la forme du Bien58.
Reste à savoir comment il se fait que la vie peut perdre cette nature primordiale qui est la
sienne à l’origine et se dégrader au point de perdre l’unité qui fait son bien et la rend belle et
aimable. La réponse, c’est que l’attribut bon n’est pas inhérent l’essence et que, même si le Bien est
indivisible, chaque être le possède à sa manière59.
Si le bien était inhérent à l’essence de la vie et de l’être, toute vie et tout être seraient bons
par eux-mêmes, de manière substantielle et indéfectible. Mais le bien que reçoivent les êtres n’est
pas le Bien lui-même, mais seulement une trace qui dépend du degré de participation au Bien. En
passant à un niveau inférieur au sien, le Bien se multiplie en une diversité de biens qui gardent tous
50
Ibidem, VI, 7, 13. 33-35. Cf. Platon, Phèdre, 248 b 7.
Plotin, Ennéade VI, 7, 13. 28-35.
52
Ibidem, VI, 7, 17. 39.
53
Ibidem, VI, 7, 17. 32-39.
54
Ibidem, VI, 7, 18. 6-8.
55
Ibidem, VI, 7, 18. 19-23.
56
Ibidem, VI, 7, 17. 14-17.
57
Ibidem, VI, 7, 17. 18-21. « Ce n’est point d’ailleurs la vie de tel être particulier ; sinon, elle serait la vie d’un individu. Si elle se
limite, c’est parce qu’elle est une unité multiple. Chaque élément de cette multiplicité a lui-même sa limite ; car, à cause de la
multiplicité de la vie, il est lui-même une multiplicité qui a reçu une limite, et, par cette limite, il est un » (Ibidem, VI, 7, 17. 21-25).
58
Ibidem, VI, 7, 17. 25. « Tout est donc intelligence; il y a l’intelligence universelle et les intelligences particulières. Est-ce
que l’intelligence universelle qui contient les intelligences particulières ne contient que des intelligences identiques à elle?
Non, car elle n’en contiendrait qu’une ; si elles sont multiples, elles doivent en être différentes » (Ibidem, VI, 7, 17. 25-30).
59
Ibidem, VI, 7, 18. 37-40.
51
134
sa trace, mais qui ne sont plus le Bien même : « ainsi d’une même personne peuvent venir la voix, la
marche et bien d’autres actes, tous également bien faits »60.
L’explication réside dans le fait que le Bien s’extériorise ainsi et n’est plus perceptible que
par ses effets, de sorte qu’on ne peut plus le voir lui-même, mais uniquement la transposition ici-bas
(entautha), à travers les êtres qui y participent d’une manière ou d’une autre, de ce qui est là-bas
(ekei) dans une unité absolue et indivisible61 :
« Ici-bas, ces actes ont une beauté qui leur est extérieure (exothen) et qui leur vient de
l’ordre extérieur établi entre des parties différentes l’une de l’autre. Mais là-bas les choses sont
bonnes en elles-mêmes ; grâce à quoi sont-elles bonnes? Il ne faut pas croire qu’on a résolu la
question en disant qu’elles viennent du Bien. Sans doute, il faut reconnaître que cette origine les
rend précieuses ; mais on désire encore comprendre en quoi consiste leur bonté »62.
La réponse réside dans l’Intelligence qui est l’union de toutes les âmes pures et sans défaut qui
ont à leur sommet l’intelligence universelle, dont l’éclat intellectuel illumine tout63. Mais on ne peut voir
cet éclat en demeurant extérieur à l’intelligence, pas plus qu’on ne peut bien agir sans la conscience du
Bien : « il faut devenir soi-même intelligence et se prendre soi-même pour objet de contemplation »64.
Nous sommes loin ici du délire poétique auquel Platon faisait référence en parlant des poètes.
La contemplation n’est qu’un approfondissement de la conscience, comme l’a bien vu Proclus,
alors que la poésie inspirée s’écarte de l’entendement pour laisser la place à une puissance étrangère au
sujet65. C’est pourquoi on peut parler de science dans un cas, tandis que dans l’autre, poètes, devins et
hommes politiques ne font ce qu’ils font qu’en ignorant complètement ce dont ils parlent. C’est ce qui
explique le fait que la prière elle-même demeure dépourvue de valeur si elle vient de la part des insensés :
« Seul en effet celui qui sait a moyen de déterminer la séparation entre biens et maux et la façon
de converser avec le Divin qui convient aux états d’âme dans le juste milieu. Voilà pourquoi Socrate a dit
‘prudent’ l’auteur de ces vers66, parce que ce n’est ni par inspiration divine ni par opinion droite, mais
par science qu’il discerne la nature des choses pour lesquelles on prie, qu’il devine l’état d’âme de ceux
qui demandent, et qu’il garde en esprit ce qu’il sied de demander aux puissances bénéfiques des dieux ».67
Si Proclus révèle le sens étymologique de l’enthousiasme, en tant que « présence du divin »
à l’intérieur de ceux qui sont inspirés, il ne rapporte pas moins cette présence au premier principe
dont les poètes ne sont que les participants involontaires68. Aussi les rhapsodes ne sont-ils que les
intermédiaires entre le divin et l’humain, mais sans qu’ils soient capables de dire ce qui se produit
en eux lors de l’enthousiasme. À cette forme d’enthousiasme, similaire à la divination, Jamblique
oppose « les caractéristiques de ceux qui sont correctement possédés par les dieux »69. Il constate
d’abord, chez ceux qui servent d’instrument ou de véhicule aux dieux qui les inspirent, qu’ils n’ont pas
conscience d’eux-mêmes, qu’ils n’ont aucune connaissance particulière et qu’ils ne tournent pas vers
eux-mêmes leur intelligence propre70: « dans leur enthousiasme ils perdent la conscience d’eux-mêmes
et ils ne vivent ni de la vie humaine ni de la vie de l’animal, selon le sens ou la tendance, mais prennent
en échange une autre vie plus divine qui les inspire et les possède complètement »71. Jamblique discerne
donc plusieurs genres de possession divine, selon que le sujet devient tout entier la chose du dieu, qu’il
exerce son activité en commun avec lui ou qu’il y a union à la divinité72.
60
Ibidem, VI, 7, 18. 43-45.
Ibidem, VI, 7, 18. 45-46.
62
Ibidem, VI, 7, 18. 46-51.
63
Ibidem, VI, 7, 14. 27-30.
64
Ibidem, VI, 7, 14. 30-32.
65
Proclus, In Rempublicam, I, 187. 24 - 188. 27, p. 206-207 Festugière.
66
« Zeus Roi, que nous l’ayons demandé ou non, donne-nous ce qui est bien. Mais ce qui doit nous être funeste, éloigne-le de
nous, même si nous l’avons demandé » (Ibidem, I, 188.5-9). Cf. Platon, Phèdre, 279 b 8 - c 4.
67
Proclus, In Rempublicam, I, 188. 9-18, p. 206-207.
68
Ibidem, I, 183. 27 - 184. 14, p. 203.
69
Jamblique, De Mysteriis, III, 4, 109. 10-13, p. 103 Des Places.
70
Ibidem, III, 4, 109. 12 - 110. 4, p. 103-104.
71
Ibidem, III, 4, 110. 16 - 11. 2, p. 104.
72
Ibidem, III, 5, 111. 3 - 15, p. 104-105.
61
135
De même, les manifestations de l’inspiration diffèrent, allant de la frénésie et de la voix discordante de
ceux qui en sont sujets, jusqu’au calme le plus parfait et au silence absolu73. Mais les premières formes excluent
totalement la conscience. C’est pourquoi Jamblique les écarte de l’enthousiasme authentique74. Le véritable
enthousiasme est un affranchissement de la partie divine de l’âme par rapport au reste, notamment au corps, à
ses affections et ses passions, puisque le divin est affranchi de tout cela75.
Il reste que le sens commun n’a retenu de l’enthousiasme que ce qui le rapproche d’une « folie
divine », qui, en s’emparant de quelqu’un, bannit à la fois la conscience et la pensée claire en le forçant à
proférer « d’une bouche délirante » des discours dont il ignore la signification76. L’interrogation de
Jamblique porte sur la motivation pour laquelle cette forme d’enthousiasme divinatoire jouit de la faveur
populaire et s’est imposé davantage que l’autre. Il faut se demander donc de quelle valeur le délire
bénéficie-t-il par rapport à la pondération, au calme et à la limpidité de la conscience :
« Si en effet une passion de l’âme est constituée par sa cause, quel homme de sens pourrait
assigner à un état instable de stupeur une prescience ferme et stable? Ou pourquoi donc l’âme,
quand elle raisonne sainement et est invariable selon ses puissances les meilleures, celles de
l’intellect et de la pensée, ignore-t-elle ce qui sera, tandis que dans la passion des mouvements
désordonnés et tumultueux elle atteint l’avenir? ».77
Selon Jamblique, la passion est bien plutôt un obstacle à la contemplation des êtres, puisque
l’observation et la connaissance sont brouillées par la frénésie des transports délirants78. Si on
accorde aux passions une plus grande affinité aux principes divins que la raison, cela revient à dire
que les principes divins sont davantage passionnels que rationnels79. Or, il est admis que les dieux
sont affranchis de toute passion, à moins de les considérer asservis à ce qui leur est inférieur80. C’est
plutôt renverser l’ordre du monde que d’investir le divin par les manifestations qui révèlent une
chute, alors qu’il devrait engager à l’élévation de par sa nature supérieure :
« Autant, en effet, qu’on peut le conjecturer, c’est à l’excès de bile noire, aux vertiges de
l’ivresse, à la rage produite par des chiens enragés qu’il81 compare l’enthousiasme. Il faut donc dès
le principe distinguer deux espèces d’extases (ekstaseos): les unes dévient vers l’inférieur, se
remplissent de démence et d’insanité, tandis que les autres procurent des biens plus précieux que la
sagesse humaine; les unes dégénèrent en mouvement désordonné, discordant, matériel, les autres
se livrent à la cause suprême qui régit l’ordre même du monde ; les unes s’écartent du sens parce
qu’elles sont privées de la gnose, les autres parce qu’elles s’attachent aux êtres qui surpassent
toute notre prudence; les unes sont instables, les autres constantes ; les unes contre nature, les
autres au delà de la nature; les unes font descendre l’âme, les autres l’élèvent; les unes la séparent
entièrement de la participation au divin, les autres l’y unissent ».82
Si on arrive à distinguer ce qui sépare l’enthousiasme du délire, on peut saisir le sens du
dépassement de la connaissance ordinaire par l’enthousiasme authentique. Le détachement des sens
et même des vertus ordinaires, telle la prudence, s’explique par le fait que les âmes qui s’élèvent au
divin dépassent l’ordre de la nature par l’accès à sa source, qui n’est autre que l’intelligence. Alors,
une fois transportées par l’enthousiasme, les âmes voient toutes choses83:
« Donc contemplant tout cela, Zeus et ceux d’entre nous qui sont aimés, qui voient en
dernier lieu, au-dessus de tout (epi pasin), la beauté totale (holon to kalos) et qui participent à la
73
Ibidem, III, 5, 111. 17 - 112. 9, p. 105.
Ibidem, III, 6, 113. 8 - 114. 2, p. 106.
75
Ibidem, III, 8, 115. 16 - 116. 4, p. 107. « Ce n’est ni du corps, ni de l’âme, ni du composé que l’enthousiasme est l’œuvre :
(...) le supérieur n’a pas pour nature d’être engendré par l’inférieur » (Ibidem, III, 8, 116. 14-17, p. 108).
76
Ibidem, III, 8, 117. 1 - 13, p. 108.
77
Ibidem, III, 24, 156. 7 - 13, p. 132.
78
Ibidem, III, 24, 156. 13 - 16, p. 132.
79
Ibidem, III, 24, 156. 16 - 157. 2, p. 132.
80
Ibidem, III, 24, 157. 2 - 158. 2, p. 132-133.
81
Celui qui conçoit l’enthousiasme selon la forme du délire mantique.
82
Jamblique, De Mysteriis, III, 25, 158. 7 - 159. 6, p. 133.
83
Plotin, Ennéade V, 8, 10. 20. « Du début à la fin, elles embrassent toutes choses ; c’est qu’elles sont là-bas, du moins par
tout ce qui, en elles, est là-bas par sa nature ; mais souvent aussi, c’est l’âme tout entière qui est là-bas, lorsqu’elle ne se
divise pas en parties » (Ibidem, V, 8, 10. 21-24). Cf. ibidem, IV, 8.
74
136
beauté de là-bas ; car tout y est brillant, et ceux qui sont là-bas, pénétrés de cette lumière,
deviennent eux-mêmes des êtres beaux ».84
Il ne s’agit donc plus d’une simple participation à la beauté, ni même d’une contemplation,
puisque ceux qui parviennent à voir la beauté totale n’assistent plus à cette vision seulement en
spectateurs85 : « il n’y a plus alors, extérieurs l’un à l’autre, un être qui voit et un objet qui est vu :
qui a la vue perçante voit l’objet en lui-même »86. Le sens de l’enthousiasme se révèle dans la
transition de cette vision de la beauté en soi à la beauté telle qu’elle resplendit en nous-mêmes, et
telle que seul le regard introspectif de l’âme est en mesure de la reconnaître. L’unité atteinte au
sommet de la contemplation fait en sorte que la beauté extérieure devient soudainement intérieure et
que l’objet de l’amour finit par habiter celui qui admirait jadis la beauté comme une chose qui lui
était étrangère. L’enthousiasme ramène donc le divin à son lieu propre, dans l’âme, qui est aussi
bien la source de l’élan amoureux que la source de la vie :
« Mais c’est en soi qu’il faut le transporter ; voyons-le comme un avec nous-mêmes ;
voyons-le comme étant nous-mêmes ; ainsi le possédé d’un dieu, de Phébus ou de quelque Muse,
contemple son dieu en lui-même (en hauto), dès qu’il a la force de voir le dieu en lui (...). Si nous
sommes incapables de nous voir nous-mêmes, une fois possédés du dieu, nous produisons en nous
sa vision ; nous nous représentons à nous-mêmes en voyant notre propre image embellie ; mais si,
quittant cette image si belle qu’elle soit, nous nous unissons à nous-mêmes, sans plus scinder
davantage cette unité qui est tout, nous sommes alors unis au dieu présent dans le silence, autant
que nous le pouvons et autant que nous y aspirons ».87
On peut facilement mesurer toute la distance qui sépare l’inspiration poétique et le délire
mantique de l’enthousiasme plotinien. Non seulement la vision de l’objet contemplé est-elle
transposée à l’intérieur de l’âme, mais c’est la beauté divine qui habite alors l’âme dans le silence.
La différence majeure consiste dans le fait que l’enthousiasme plotinien ne s’adresse
nullement à un public éventuel et qu’il implique une relation exclusive entre le contemplatif et la
beauté qu’il contemple, qui finit par l’envahir lui-même. Le sujet n’est donc pas un instrument du
dieu par lequel celui-ci compte transmettre un message ou dire quelque chose aux autres mortels.
L’enthousiasme est réservé à l’intimité de l’âme et n’acquiert un sens que pour autant que l’âme
n’aspire pas à autre chose, comme le serait la communication ultérieure de cette vision. Si
transmission il peut y avoir par après, elle n’est pas de l’ordre de l’enthousiasme. Le savoir exaltant
auquel l’âme accède n’est donc pas le discours qui pourrait éventuellement évoquer l’union
mystique après coup. Qu’il puisse y avoir une tentative de discerner le sens d’une telle expérience
ou d’en retrouver le souvenir, c’est ce que tous les passages mystiques des Ennéades démontrent.
Mais tous les efforts de l’intelligence pour manifester le Bien en sa totalité, toute tentative de la
raison de faire état de l’union mystique échouent naturellement, autant que la pensée discursive
échoue lorsqu’elle veut dire l’ineffable. Pour que l’intelligence puisse faire voir le Bien, il lui
faudrait cesser d’être multiple et dépasser l’essence qu’elle est, pour s’identifier à l’unité absolue
qui est au delà de l’essence et grâce à laquelle elle peut éclairer toutes choses. Pour que la raison
puisse retrouver le chemin vers l’union mystique, il lui faudrait remonter en-deçà d’elle-même, pour
rendre compte de la lumière intelligible. Le souvenir n’est qu’un indice de la vision :
« Il faut donc, d’une part, le comprendre (katamanthanonta), en insistant sur la trace qui reste de
lui, le saisir par la raison en le cherchant ; mais, d’autre part, sachant maintenant en quoi nous entrons,
assuré que c’est dans une réalité bienheureuse, il faut que nous nous donnions jusque dans notre intimité; il
nous faut,au lieu d’être un voyant, devenir un spectacle pour un autre qui nous voit tels que nous sommes
venus de là-bas, et il faut l’éclairer des pensées que nous en rapportons. — Comment donc sommes-nous
dans le beau, si nous ne le voyons pas? — Le voir comme une chose différente de soi, ce n’est pas encore
être dans le Beau ; devenir le Beau [lui-même], voilà surtout ce qui est être dans le Beau. Si donc nous le
84
Ibidem, V, 8, 10. 24-28, 31-36.
Ibidem, V, 8, 10. 36.
86
Ibidem, V, 8, 10. 36-38.
87
Ibidem, V, 8, 10. 41-45 & 11. 1-7.
85
137
voyons comme une chose extérieure à nous-mêmes, il ne faut point d’une pareille vision, à moins que nous
ne sachions que nous sommes identiques à la chose vue ».88
Si le savoir acquis par l’assimilation de l’âme à la beauté n’est pas de l’ordre de la pensée discursive,
c’est parce que l’enthousiasme investit l’âme des propriétés du divin, parmi lesquels, comme nous l’avons
vu, il y a la plénitude silencieuse et l’autarcie absolue. Le sentiment d’une absence de raison n’est nullement
alors l’indice d’une déficience, encore moins d’une absence de conscience89, mais la preuve d’un savoir de
première main, antérieur à la raison: « Là-bas donc, c’est alors que notre savoir est au plus haut point
conforme à l’Intelligence (kata noun), que nous croyons être dans l’ignorance »90.
L’ivresse plotinienne s’exprime dans le silence, de même que le savoir suprême passe pour
de l’ignorance. Si l’on comprend comme il faut la «folie divine» chez Plotin, elle se révèle être la
plus haute sagesse à laquelle l’homme aura jamais accès. Le cercle est fermé, d’Euripide à Plotin,
en passant par Platon qui a éclairé, mieux que tous, le problème. Il y a plusieurs façons d’être
investi du divin, plusieurs façons d’être atteint par la «folie divine». Il faut savoir seulement à temps
de quoi il s’agit dans chaque cas, pour ne pas se tromper de chemin.
Bibliographie
Sources
EURIPIDE, Les Bacchantes, trad. H. Grégoire, J. Meunier, Budé, Les Belles Lettres, Paris, 1998.
JAMBLIQUE, De Mysteriis (Les Mystères d’Égypte), trad. Édouard des Places, Les Belles
Lettres, Paris, 1966.
PLATON, Banquet, dans Oeuvres complètes, IV, 2, trad. L. Robin, Budé, Les Belles
PLATON, Ion, dans Oeuvres complètes, V, 1, trad. L. Méridier, Budé, Les Belles Lettres,
Paris, 1923.
PLATON, Ménon, dans Oeuvres complètes, III, 2, trad. A. Croiset, L. Bodin, Budé, Les
Belles Lettres, Paris, 1931
PLATON, Phèdre, dans Oeuvres complètes, IV, 3, trad. P. Vicaire, Budé, Les Belles
PLATON, Parménide, dans Oeuvres complètes, VIII, 1, trad. A. Diès, Budé, Les Belles
PLATON, République, dans Oeuvres complètes, IV, 2, trad. L. Robin, Budé, Les Belles
PLATON, Théétète, dans Oeuvres complètes, VIII, 2, trad. A. Diès, Budé, Les Belles
PLOTIN, Ennéades I-VI, éd. et trad. Émile Bréhier, Budé, Les Belles Lettres, Paris, 1924-1963.
PORPHYRE, Vie de Plotin, dans Plotin, Ennéades I, éd. et trad. Émile Bréhier, Budé, Les
Belles Lettres, Paris, 1924, pp. 1-31.
PROCLUS, In Rempublicam (Commentaire sur la République), trad. A.-J. Festugière, 3
volumes, Vrin, Paris, 1969.
88
Plotin, Ennéade V, 8, 11. 13-22.
« Il y a alors comme une intelligence et comme une conscience de nous-mêmes, si nous prenons bien garde de ne pas trop
nous écarter de lui, sous prétexte d’augmenter cette conscience » (Ibidem, V, 8, 11. 22-24).
90
Ibidem, V, 8, 11. 33-34. Cf. Platon, République, VII, 516 e 1-6, 517 a 3-4.
89
138
Littérature secondaire
BARBANTI, Maria di Pasquale, Antropologia e mistica nella filosofia di Plotino, Bonanno,
Catania, 1978.
BURKERT, Walter, Les cultes à mystères dans l’Antiquité, Les Belles Lettres, Paris, 1992.
CARBONARA, C., La filosofia di Plotino, Ferraro, Napoli, 1954.
CILENTO, V., Saggi su Plotino, Marzorati, Milano, 1973.
COLLI, Giorgio, «Introduction» à La Sagesse grecque, Éditions de l’Éclat, Paris, 1990, pp. 15-48.
DODDS, Eric Robertson, Les Grecs et l’irrationnel, Champs, Flammarion, Paris, 1999.
DÖRRIE, Heinrich, «Die Religiosität des Platonismus im 4. und 5. Jahrhundert nach
Christus», dans De Jamblique à Proclus, Entretiens sur l’Antiquité classique, XXI, coord. Heinrich
Dörrie, Vandœuvres, Genève, pp. 257-286.
ELLWOOD, Robert S., Mysticism and Religion, Prentice-Hall, New-Jersey, 1980.
FESTUGIERE, A.-J., La vie spirituelle en Grèce à l’époque hellénistique, Picard, Paris, 1977.
JAEGER, Werner, « Die Griechen und das philosophische Lebensideal », dans
Humanistische Rede und Vorträge, De Gruyter, Berlin, 1960, pp. 222-239.
O’MEARA, Dominic, (1) «À propos d’un témoignage sur l’expérience mystique de Plotin»,
dans Mnemosyne, n˚ 27 (1974), pp. 238-244.
SAFFREY, H.-D., Recherches sur le néoplatonisme après Plotin, Vrin, Paris, 1990.
STACE, W. T., Mysticism and Philosophy, Macmillan, London, 1961.
THEILER, Willy, (1) Forschungen zum Neuplatonismus, Walter de Gruyter, Berlin, 1966.
TROUILLARD, Jean, La purification plotinienne, PUF, Paris, 1955.
ZINTZEN, Clemens, «Die Wertung von Mystik und Magie in der neuplatonischen
Philosophie», dans Rheinisches Museum für Philologie, n˚ 108 (1965), pp. 71-100.
139
THE ACTIVITY OF GERMAN SECRET SERVICES AFTER
WORLD WAR I IN ROMANIA. EXCHANGE OF INFORMATION
AND SSI-ABWEHR COOPERATION
Tiberiu TĂNASE, PhD∗
Abstract: The activity of German Secret Services after World War I in Romania. Exchange of information and SSIAbwehr cooperation. Due to the strategic position occupied by Romanian territories, these have always constituted a
genuine “magnet” both for the great powers and neighbouring countries. Besides the bloody armed confrontations we
had to face, we must not forget a different type of war, the one carried out on the secret front. The Habsburg Empire,
the German Empire and later Germany have manifested, on the background of expansionist tendencies and global
conflicts, a particular interest towards the political, economic, social, military, cultural, ethnic aspects of the United
Principalities/Romania, interests which were put into practice, on the one hand, through well-established activities of
total espionage, and, on the other hand, through setting up a prosperous collaboration between our intelligence
services. The first contacts in the prospect of an ulterior collaboration, between the Romanian Army’s Intelligence
Service (SSI) and the Abwehr took place in February 1937 after a visit conducted by Major Constantin Gh. IonescuMicandru and Nicolae Ştefănescu (Head of Department in the Detectives’ Corps and SSI). Among the objectives of this
collaboration was acquiring viable information about the expansionist plans of the USSR in Oriental Europe as well as
uncovering details concerning the military potential this power possessed. The ties between the Abwehr and SSI were
strengthened after the signing of the Romanian-German economic agreement in March 1939 and, even more so, after
the start of the Second World War later that year, in early September, as Berlin became increasingly preoccupied with
securing oil refineries located in Valea Prahovei.
Keywords: Agency I, Abwehr, diversionist-terrorist actions, Eugen Cristescu, First World War, German secret service,
Ion Antonescu, Mihail Moruzov, SSI, Total Espionage, Walter Nicolai, Wilhelm Canaris.
Introduction
Taking into consideration that the activity of intelligence in foreign or enemy territory, especially the
creation of resistances and valuable, trustworthy human resources, implies a long period of consolidation and
an excellent knowledge of the targeted area, the population, mentalities, local customs – which, again, entails
accumulation throughout time – we find it useful to recall the procedures undergone by the German
information services on Romanian soil before the start of World War I.
Even since the XVIth-XVIIth centuries there have been elements of German informative
research: Habsburg agents Ştefan Glincic, Andrei Mihailovich and Ieronim Laski, agents of
Ferdinand of Habsburg and Charles V, aimed to gather information about the Romanian area and, in
particular, about the ties of Romanian rulers with the Ottoman power; in 1536 – two other agents of
Ferdinand, Balthazar Banffly and Marc Pempfflinger, targeted Petru Rareş; in 1538 – Giovani de
Marini Poli had the task of obtaining information about the actions of Michael the Brave and AronVodă; in Transylvania acted Carlo Magno, a court noble of Emperor Rudolf II, with the duty of
becoming the trusted advisor of Sigismund Bathory; in 1695 respectively 1689 – the informative
missions and the influence of Jesuit Antide Dunod and missionary Antonio Giorgini.
∗
“Mihai Viteazul” National Intelligence Academy, Bucharest, Romania; [email protected].
140
In the following centuries, the Austrian secrete informative activities were intensified,
because of intentions to annex Bucovina, leading to vast actions of disinformation in order to blame
the Principalities and create a tensed atmosphere.
The two German states, Austria and Prussia, have opened consulates in Wallachia since 1782,
respectively 1817, therefore offering continuity and statute to information gathering; the structure of the
sought after data became more complex, expanding its area and amplitude of influencing actions.
We have to acknowledge, to this point, the extraordinary contribution brought by Wilhelm Stieber to
the truly impressive evolution of German secret services: at the suggestion of Bismark, starting with 1854, he
set up a permanent modern espionage institution, expanding its networks to France, Austria, Bohemia,
Saxony, Luxemburg, he founded in 1866 the first counterespionage service in Europe and a special
espionage school, where agents would be trained and then sent to nearly all European capitals.
It is not surprising that, by applying this expansion strategy, after 1871 the Germans have a
totally new dimension of gathering economic, political, military information needed by German
enterprises to penetrate the Romanian territories. On the other hand, they were “helped” also by the
filo German orientation of some striking members of that time’s leadership.
Let us not forget that Charles I himself was directly interested in his cousin, Wilhelm II, being
properly informed. In a telegram Charles sent him on the 14th of August 1914 regarding a meeting of the
Council of the Crown, it clearly results that the transmitted data regarded important secrets of the state.
Under the close supervision of Walter Nicolai, named head of the German secret services in
1913, he thoroughly prepared the launch of World War I, aiming to acquire detailed information that
would illustrate the reality of inter-state relations and a good knowledge of politicians, anticipating
adversaries’ moves, surrounding future enemy states on the border lines with a thick network of
espionage, putting up a data base with tens of thousands of people from targeted countries who were to
be studied and selected for recruitment when needed (a genuine “black book” of potential agents).
By contrast, the debut of the first global conflagration found Romania completely
unprepared for, from the standpoint of informative activity. Lacking the tradition of other states, it
had to adapt itself on the move to the changes within the global dynamic, proving often vulnerable
and easily accessible on the secret front.
During the First World War, the State’s Safety Service (Siguranţa Statului) will counteract
various espionage and betrayal cases, most often joint by corruption.
The German Legation to Bucharest had organized its own intelligence service that covered
the entire territory of Romania. In Timişoara, Sibiu and Braşov there were also centres of directing
espionage operations. A residence of German intelligence based in Sofia also could have had
Romania as area of intervention.
Between 1916 and 1918, according to evidence provided by the Safety of the State Service,
1000 agents of German services acted in Romania. They were performing their activities near
garrisons or military positions with the mission of permanently surveying the squad and military
equipment at the disposal of it and the topography. For coverage they opened tobacco shops, brothels,
or grocery shops from which they watched military effectives supplying themselves (in German
espionage practice there was a rule according to which an agent had to open a business in the country
he had been assigned, so as to earn the trust of the surrounding people, and if the business failed he
would be ensured through other means. To avoid suspicions, fixed outpost were not directed and
controlled from German territory but from Belgium or Switzerland (Bruxelles, Lausanne, and
Geneva). „Itinerant inspectors”, usually women, travelled as representatives of German commercial
companies and controlled the fixed outposts on regular intervals, taking information from agents and
handing them out necessary instructions. A report drafted by the Predeal Chief of Police documented
the following situation: “Foreign women are in general beautiful and well built; some enter as artists,
some as baby-sitters, others as teachers to different schools and the ones whom we followed are
demonstrated espionage agents. We have found upon themselves reports of officers in the country
they were supposed to be transmitted abroad. These cases we very numerous.”1
1
Cristian Troncotă, România şi frontul secret, Elion Publishing House, Bucharest, 2008, p. 53.
141
In the interwar period, German militarism exercised an intense pressure on the Romanian
state, with just as grave consequences as the Soviet revisionism. Romania presented a great
attraction for Berlin strategists after the instauration of the national-socialist regime, in January
1933, as the geopolitical doctrine of Hitler required. The same importance was attributed to
Romania’s vicinity with the USSR, and so, the domination of the Romanian territory provided an
excellent starting point for the expansion of the influence zone in the Balkan Peninsula.
With the recovery of Germany after the first world war, the secret services adopted a new
strategy towards Romania, so as to prevent the repeating of the 1916 situation when Romania
entered the war on the side of the allied power, by setting as primary objectives: eroding Romanian
trust in Western powers, internal political destabilization, insurance of control over economic
resources, and primarily, the petrol and cereals, influencing and controlling the political life,
including Romania in the Axis’ sphere without being necessary to physically occupy the territory
and the valorisation of its military potential in a future war against Russia.
We must remind that in 1920, the German secret services were reorganized, the Abwehr being
founded, the espionage and external counter-espionage service of the German General Staff and, later,
of the German Armed Forces General. From 1935, at the command of the Abwehr was Wilhelm
Canaris, who will create one of the most feared by secret services in the history of mankind.
In the internal plan, the prospects of this German service were favoured by Charles II and the Iron Guard,
and externally the weaknesses and incapacity of predicament of Allied powers served the same purpose.
Setting as a strategic goal the recovery of the initial borders of the country, General Ion
Antonescu was the adept of a tight and sincere collaboration with Germany, seeing as a solution the
campaigns in the east together with the Wehrmacht to reattach Bessarabia, Bukovina and Herţa County
to the country. The successes in the east would have created the possibility to make claims to Hitler,
either to lighten the brutality of the regime to which the Romanian population was subjected to in the
cede territory from Transylvania or even to claim the annulment of the arbitrage of Vienna.
Romania became the central space of action of German polities with regard to the Slavic
peoples. The number of Germans agents among diplomats, businessmen, military men, politicians,
journalists and other categories will rise continuously.
The Intelligence Division within the German Legation in Bucharest was much strengthened, and
more territories were being covered by local agencies. Adjacent to the Legation, a military intelligence
service was constituted and the economic section of it became a genuine economic espionage service.
Under the cover of the Press Bureau acted in reality the German Bureau of Information, as an
organism of centralization, evaluation and analysis of information but also with espionage coordination
attributions. The management of these activities was ensured by the press attaché Herman von Rittgen
(captured by Russian 24 hours after entering Bucharest, taken over by NKVD and sent back to
Germany), who had a vast network formed especially by people of the press. The espionage activities of
von Rittgen’s were supervised by the SSI through a specifically designated group.
The Legionary Movement represented a special environment of action for German
espionage services, some of the movement’s intellectuals like Mihail Manoilescu, Nichifor Crainic,
Radu Lecca being regarded as trustworthy people.
One of the most famous collaborators of German services was, in that period, Ignaz
Schmertz, Jewish ethnic, PhD in law and publicist at several newspapers. He supplied against 8000
lei monthly payment, between 1926 and 1944, information about political parties and
parliamentarians or Romanian or foreign businessmen.
One of the most dangerous spies proved to be the driver of King Charles II, Georg Schuster,
a versatile agent of the Germans, trained and infiltrated by all secret regulations, who, between
1930-1940, managed to send numerous details about the King and Elena Lupescu to undercover
officers within the German Legation to Bucharest.
The German espionage activity had a large margin in the economic field, an important role
being assigned to the bank sector, through which the financing of secret operations was ensured.
Under the cover of some commercial enterprises it would often act towards breaching the
environments and circles that presented interest.
142
In 1939 the personnel of the German Legation to Bucharest had more than 300 people, being
the most numerous one. The information service of the Legation functioned undercover by the
official name of “Bureau for sportive propaganda in Romania”. The next year new espionage
bureaus were established in Giurgiu, Ploieşti, Braşov, Sibiu, Timişoara, Cernăuţi, Chişinău. The
meticulous German style must be remarked: all important people in Romania, mostly from the
political life, had their own charts with mandatory indicators: political party they belong to, real
political feelings, positive and negative behaviour traits, close relationships, especially with regard
to mistresses, material wealth, the possibly illicit wealth source, the frequented clubs and
restaurants, the wife’s extra conjugal relations, the situation of the personnel on duty.
In 1940 the SSI discovered a major military espionage operation which targeted: commanders
and military facilities, the training system, the discipline of units and their moral, the equipment and
army movements, the conditions of reserve effectives, the concentration and mobilization plans. The
identified agency was being planted radio transmitters and a system of hidden recording.
The German secret services have started behaving in Romania as if it were its own field,
although a limited recognition of the right to perform activities received only the Abwehr, which
opened a division on our territory. In parallel to this one, there also were the German Information
Service of the Military Mission and a department of the Gestapo, both with tasks of surveillance
that could not be officially accepted because they involved political parties and their leaders,
members of Government, high ranking officials of the SSI.
The German Ethnic Group and the Hitlerist Youth Organization were also intelligence
services. The Romanian branch of the National Socialist Party organized its own informative
structure. The Congress of Germans from abroad, held in 1937, in Stuttgart, established that all
male Germans, citizens of other countries, have the duty to fulfil tasks as information providers.
At the beginning of 1943 over 600 new agents were uncovered in Romania to which another
2000 add up after the return of German ethnics to the country. In the summer of 1943, the Gestapo
created in Bucharest 5 new agencies.
German services continued during the Second World War to closely track politicians; Mihai
Antoneescu, vice-president of the Council of Ministers, was intensely supervised over at least 10
months. So were Iuliu Maniu, Dinu Brătianu, Gheorghe Tătărescu, people close to the Royal House.
The SSI estimated that societies with German capital were “headquarters of economic and
industrial espionage in Romania”. The Ministry of External Commerce was also permanently surveyed,
and German specialists presented weekly reports to the Legation. In 1940, over 1500 German citizens
ensured the informing and data collecting for execution of German plans in numerous vital areas.
In the last 2 months of 1943, from the German leadership pressures were made in order to
bring back legionnaires in a new Government, on the background of distrust in the incumbent one.
During the first part of 1944, German intelligence agencies were assigned precise instructions to
attentively survey the state of mind and intentions of the Romanian population, for various reasons:
the constant sabotage by the Romanian ally of war operations, the non-involvement in the Jewish
matter, the lack of loyalty on behalf of the authorities.
Abwehr-SSI collaboration. The Abwehr-SSI collaboration is another aspect, connected
to the presence of German intelligence services on the territory of our country, which
deserves an increased attention
Most likely, at the basis of this collaboration contributed Moruzov’s reputation, who was
particularly appreciated by German intelligence officers. Therefore, German lieutenant-colonel
Hauswaldt from Abwehr mentioned during a meeting with Romanian major Ionescu-Micandru that he
was familiar with the “excellent unanimously recognized competence” of Moruzov in matters of
informative work; admiral Canaris sent Moruzov the “entire admiration he had for him for a while,
because he followed his activity of great value and specialized perfection he was performing in the
informative field”. German Major Pruck, head of the Abwehr Eastern Front, expressed, during a visit on
November 22 1939, his admiration towards the “ingenious and practical” informative work systems
143
overseen by Moruzov, “systems of absolute originality, which can only be realized by a master in terms
of intelligence”, from whom many heads of information services could have much more to learn”2.
In February 1937 a primary informative contact was established with the Abwehr. Major
Ionescu-Micandru reports that he worked directly, in a hotel room, with a certain individual named
Dr. Froelich, of whom he was to find out later that he was a Major in the Information Section of the
German General Staff – the Eastern Front. The two compared, based on German-Romanian
documents, the names and deployments of major Red Army units (military districts, bodies of the
army and infantry divisions). The German officer read the information he had, dated January the 1st
1937, and Micandru underlined inconsistencies, to be later verified. “In general – the document
states – our instructions were mostly the same as the German ones, which proves the goodwill and
seriousness of the information exchange for both parties.”3
We also mention that Mihail Moruzov was the first head of a secret service with whom
admiral Canaris met directly and with whom he had most contacts, 4 in total, 2 in Bucharest
(December 1939, March 1940), one in Germany (April 1940) and another in Italy (3-5 September
1940). Thanks to the friendship relations and excellent informative cooperation between Moruzov
and colonel Wahle – liaison officer of Abwehr to Bucharest – the Secret Service obtained at the
middle of May 1940 the effectives of the Hungarian army.
In December 1940 colonel Rodl, head of the Abwehr division in Romania, proposed to the
SSI chief, Eugen Cristescu, a cooperation program. Contacts were direct, between Eugen Cristescu
and Rodl, and for operative and technical problems the contacts were permanent between Colonel
Micandru and German Colonel Alexander von Stransky. German officers held conferences at the SSI
head-quarters or at the General Staff, in the presence of Romanian officers with informative tasks on
the Eastern Front. Various aspects were analyzed: fronts configuration, manoeuvre intentions of
British, American and Soviet army commandments, the necessity of counter informative protection
measures, and then informative tasks were established for the structures of the 2 services.
These meetings proved to be highly instructive for our officers, because they would come
into contact with information about the value and strength of the common enemy, the USSR, but
also because of the German analysis mode – cold, critical and unbiased – without useless details
and also in which outlining their own weakness and limits was an always respected point.
Useful was also the data provided by colonel Rodl with the occasion of the July 23rd 1942
gathering, when he pointed out the presence in the Near East of 150 American airplanes, which
were meant to be used in the attack of the Romanian oil region (the attack took place on August 1st
1943 and its results were limited, because of measures taken in time: reinforcing the anti-air
artillery and supplementing the system of counter-informative protection).
On the other hand, after the great shift in the balance of powers on the Easter Front, Romanians
started to be criticized by Germans for not fairly defending their chances in the battle of Stalingrad, and
so, counter informative measures were taken by both sides. The Germans, except the Abwehr, made felt
their presence on the secret front in Romania with numerous other intelligence structures. Eugen
Cristescu talked about 11 German services out of which only 3 were authorized by the Romanian state.
The SSI created in 1942 its own structure, Agency I, integrated in the Second Counter informative
Department, whose head was lieutenant colonel Traian Borcescu, in order to survey Germans that were
developing on Romanian territory unauthorized actions by the authorities.
These measures constituted a real program that Cristescu put into practice with the approval of
Ion Antonescu. Eugen Cristescu talked about this initiative in these words: “My theory is that the
government adopted a position towards the Germans, but the country mustn’t drown, a national reserve
must be left, one that would make the state goes forward. At some point, seeing that Germans are
having a strong subversive action, Antonescu told me: Create a special service on this side. I thought it
through and decided that this service must appear to be an independent one. If Germans suspect
something, we say the Jews and democrats built it and that we ordered Soreanu, who made the service
with a series of Jewish journalists from Bucharest and Transylvania, among which Munteanu, and with
2
3
Ibidem, p. 183.
Ibidem, p. 198.
144
a series of national-peasant Transylvanians, people who gathered a long string of data, followed the
Saxons, had connections with them and put together for me a serious material in this direction”4.
In the context of the same restructuring of the SSI in 1942, the External Relations –
Department III G was created under the management of lt.col. Constantin Ionescu-Micandru. The
department was formed in order to collaborate by exchanging information with the Abwehr. This
was another stratagem of Cristescu, who, noticing that Germans were not actually playing fair,
gathered in this department all elements with filo German views, in order to “clean the other
departments of the SSI of the filo German elements which I have grouped in a single place so as to
survey them more easily”5. This department was comprised of three offices and two agencies: Office 1
established permanent contact with a specialized office of the Abwehr and made translation from
German to Romanian; Office 2 kept contact with Italian intelligence services; Office 3 had a purely
administrative office. The department disposed of two agencies: Agency “P” with the centre in Ploieşti
and Agency “T-S” with the centre in Turnu-Severin, their agents being directed and assisted by Abwehr.
According to documents elaborated by Agency I of the counter informative department, in this way the
surveillance of German and filo German elements was successfully achieved.
From the second half of 1942, Eugen Cristescu had started to be regarded with a dose of
non-confidence by the Germans. In a report of Agency I, from November 30th 1942, it was
mentioned: “In close circles of the German press attaché has started circulating a rumour according
to which general director Eugen Cristescu will be removed from SSI leadership because he is
following the activity of Germans and deliberately neglects the following of activities performed by
Anglo-Saxon agents present in the capital”6.
In conclusion, we cannot refuse to express the admiration for the way in which Romanian
intelligence services have chosen to fight on the secret front with a far more superior adversary, in terms
of endowment, tradition in the field of information and institutionalized structures rigorously organized
long before the Romanian ones, with branches that covered all significant aspects of our society.
Adapting on the way to events, Moruzov’s Secret Service and, later, Eugen Cristescu’s SSI successfully
faced challenges coming from allies or enemies, including those of German origins, and counted
successes which, although were not always properly exploited, managed to earn everyone’s respect.
Bibliography
BUZATU, GHEORGHE, Războiul mondial al spionilor, B.A.I. Publishing House, Iaşi, 1991.
TRONCOTĂ, CRISTIAN, Glorie şi tragedii, Nemira Publishing House, Bucharest, 2003.
TRONCOTĂ, CRISTIAN, Mihail Moruzov şi frontul secret, Elion Publishing House, Bucharest, 2004.
TRONCOTĂ, CRISTIAN, Omul de taină al Mareşalului, Elion Publishing House, Bucharest, 2005.
TRONCOTĂ, CRISTIAN, România şi frontul secret, Elion Publishing House, Bucharest, 2008.
URECHE, MARIAN; ROGOJAN, AUREL, Servicii secrete străine. Retrospectivă şi
actualitate. Interferenţe în spaţiul românesc, PACO Publishing House, Bucharest.
http://ro.wikipedia.org/wiki/Primul_Razboi_Mondial
http://ro.wikipedia.org/wiki/Al_Doilea_Razboi_Mondial
http://ro.wikipedia.org/wiki/Abwehr
http://www.suite101.com/article.cfm/espionage/74729
http://www.firstworldwar.com/
4
Ibidem, p. 318.
Ibidem, p. 259.
6
Ibidem, p. 319.
5
145
FRENCH GOVERNMENTS OF 1947 – YEAR OF POLITICAL CRISIS
Camelia BRÎNCOVEANU, Lecturer PhD∗
Abstract. French Governments of 1947 – year of political crisis. The year 1947 represented the beginning of a new era
in political, economic and social life of France. On the political stage, it represented the last tentative to forge a
“national union”. Many parties were represented in the first government of 1947 including the Communists.
Meanwhile, general de Gaulle was preparing to launch the political counteroffensive with his newly created
Rassemblement du Peuple Français (R.P.F.). It is about the Ramadier government (21 January – 21 October 1947),
where S.F.I.O. was again in charge.
Keywords: national union, constitution, French Republic, Communist Party, Workers' International, Indochina,
government, French Republican Movement, Gaullists.
Despite the fact that 1947 represented the end of interim and the institution of order by
entering into legality of the country’s institutions, 1947 will bring unexpected changes in the life of
the French society from political, but also social and economic point of view.
The first government of 1947 will be also the last tentative of a “national union”, where all
the parties were represented (including the Communists), but not all the political forces, because de
Gaulle was hardly preparing to launch the Rassemblement du Peuple Français (R.P.F.)1. It is about
the Ramadier government (21 January – 21 October 1947), where S.F.I.O. was again in charge.
Paul Ramadier was born in the city of La Rochelle, on the 17 March 1888. Son of a
psychiatrist, he becomes an advocate, after receiving his doctorate in Roman law. He is a socialist
militant since 1904 and socialist deputy of Aveyron between 1928-1940, 1945-1951 and 1956-1958.
He was a member of Léon Blum government since 1936, as an Under Secretary of State at
mines, electricity and fluid fuels, then of Camille Chautemps government as an Under Secretary of
State at Public Works. He is Ministry of Work since January till August 1938 in Édouard Daladier
Cabinet, which he will resign from.
He vehemently refused to be part of the Marshal Philippe Pétain government (10 July 1940).
After the Liberation, he is Minister of Supply since November 1944 until May 1945, in the
de Gaulle government, when he is surnamed “Ramadan” or “Ramadiète”. He will hold the position
of Minister of Justice since December 1946 until January 1947. In 1947 he is the first president of
the Council of Ministers, who will adopt the Constitution of the Forth French Republic2.
Paul Ramadier was known due to the bad administration of the Ministry of Supply that he
was in charge of after the Liberation. According to the opinions of some authors, Paul Ramadier
owed the leadership of the government to Vincent Auriol and to the fact that he was a Socialist,
therefore he was in the centre of the tripartite disposition.
From the beginning, Ramadier emphasized the fact that the government led by him was
founded by the principle of “governmental solidarity”. Therefore the rules of the game were already
established and their infringement leaded to the automatic elimination of the persons violating them.
∗
“Dimitrie Cantemir” Christian University, Faculty of History, Bucharest, Romania; [email protected].
Anatol Petrencu, Europe, U.S.A., Canada (1939-1973), Scientific Publishing House, Chişinău, 1995, p. 140.
2
Anne Fonvieille-Vojtovic, Paul Ramadier (1868-1961), élu local et homme d’État, Publications de la Sorbonne, Paris, 1993, p.
166; Serge Berstein, Paul Ramadier, la République et le socialisme. Actes du colloque, Édition Complèxe, Paris, 1990, p. 199.
1
146
The Paul Ramadier government is the first government of the French Forth Republic,
including: M.R.P., S.F.I.O. and P.C.F. The structure of the new government “of general agreement”
was: President of the Council of Ministers: Paul Ramadier (S.F.I.O.); Secretary of State of the
Council of Ministers Presidency: Paul Béchard (S.F.I.O.); High Commissioner of distribution:
Georges Rastel (U.D.S.R.); General Secretary with the Supply:Jean Baylot; Minister of State, Vice
President of the Council of Ministers: Maurice Thorez (P.C.F.); Minister of State, Vice President of
the Council of Ministers: Pierre-Henri Teitgen (M.R.P.); Minister of State, president of the Council of
Plan: Félix Gouin (S.F.I.O.); Minister of State: Yvon Delbos (P.R.S.); Minister of State: Marcel
Roclore (R.I.); Minister of Justice: André Marie (P.R.S.); Minister of Foreign Affairs: Georges
Bidault (M.R.P.); Minister of Interior: Edouard Depreux (S.F.I.O.); Minister of National Defense:
François Billoux (P.C.F.); Minister of War: Paul Coste-Floret (M.R.P.); Minister of the Navy: Louis
Jacquinot (R.I.); Minister of Air: André Maroselli (P.R.S.); Minister of Finance: Robert Schuman
(M.R.P.); Minister of National Economy: André Philip (S.F.I.O.); Minister of Agriculture: François
Tanguy-Prigent (S.F.I.O.); Minister of Industrial Production: Robert Lacoste (S.F.I.O.); Minister of
Reconstruction and Urbanism: Charles Tillon (P.C.F.) until 4 May 1947, Jules Moch (S.F.I.O.)
temporary until 9 May 1947, Jean Letrouneau (M.R.P.); Minister of Commerce: Jean Letrouneau
(M.R.P.); Minister of Industry and Commerce: Robert Lacoste (S.F.I.O.); Minister of National
Education: Marcel – Edmond Naegelen (S.F.I.O.); Minister of Transports and Public Works: Jules
Moch (S.F.I.O.); Minister of Overseas France: Marius Moutet (S.F.I.O.); Minister of Work and Social
Security : Ambroise Croizat (P.C.F.) until 4 May 1947, Robert Lacoste (S.F.I.O.) temporary until 9 May
1947, Daniel Mayer (S.F.I.O.); Minister of Public Health and Population: Georges Marrane (P.C.F.) until
5 May 1947, Marcel Roclore temporary until 9 May 1947, Robert Prigent (M.R.P.); Minister of Youth,
Arts and Letters: Pierre Bourdan (U.D.S.R.); Minister of Veterans and War Victims: François Mitterand
(U.D.S.R.); Minister of Post, Telegraph and Telephone: Eugène Thomas (S.F.I.O.).
The attribution to the Communists of the Ministry of National Defence portfolio through
François Billoux was considered a very grievous thing under the circumstances of the appearance of
the first signs of what will be called “The Cold War”. A compromise solution will be found. The
Minister of Defence was flanked by three Secretaries of State, belonging to other parties3. The one
called “Le Père Tranquille” (“The Quiet Father”) was to cause great disquiet by the measures he
will adopt which have been greatly determined by the changes occurred in the international politics.
On 12 March 1947, in a short speech delivered before the American Congress, the President
Truman was asking for the approval of a 400 million dollar help for Greece and Turkey. The socalled “Truman Doctrine” was in fact a strategy to prevent the Communism expansion in Europe.
Therefore, the French communists considered this doctrine as a “plan to reconquer the positions lost by the
imperialism under the form of an economic help”4. At the same time, the rest of France saw the declaration of
Truman as a promise of the American help for any of the countries threatened by Communism, which also
brought important economic benefits. That is why the famous finance man Mendès-France, declared: «The
Communists are rendering us a great service. Because we deal with the “Communist danger”, the Americans
are doing huge efforts to help us. We have to maintain this fear of Communism»5.
Besides these different opinions related to the American help, another apple of discord
between the Communists and their opponents will be the Malagasy issue (inhabitants of
Madagascar Island, mongoloid race). The Communists protest against the arrest and sending to trial
of the Malagasy deputies and the brutal suppression of the insurrection from Madagascar, breaking
out on 29 March 1947, provoking an undermining of the governmental solidarity. Chevigné, a
M.R.P. (Mouvement Républicain Français / French Republican Movement) member was leading
the authorities organizing the bloody repression.
3
Archives Nationales, Paris, Série B (1940-1947): Problèmes politiques – France, f. 825-827.
Archives of The Foreign Affairs, Content 71, U.S.A., 1947-1948 (O.S.D. Directorate – Archives Office), vol. 2, 12
March 1947, not paginated; “Nouveau Mot”, 13 March 1947, p. 3.
5
Alexander Werth, France (1940-1955), Readers Union Robert Hale, London, 1957, p. 351; Georges Duby (coord.),
Histoire de la France des origines à nos jours, Édition Larousse, Paris, 1995, p. 211.
4
147
The Resolution of the Central Committee of P.C.F. (French Communist Party) of 19 March
1947 also declared impossible the voting of military credits in order to carry the war against
Vietnam. In the meeting held on this topic by the National Assembly, the communist deputies voted
against the military credits requested by the government for the military operations against Ho ChiMinh. He was willing to co-operate with France. He wanted Vietnam to be part of the French Union.
But he also asked for an authentic independence and reunification with Tonkin, Annam and
Cochinchina. The result was Haifong bombardment, 19-20 December 1946 by the French army (6,000
victims), which determined the unleashing of war in Indochina. Georges Bidault was accused of being
responsible for this conflict, which involved the M.R.P. in a harsh colonial politics.
France will look for another person to discuss with about the situation in Indochinese
peninsula, namely the ex-emperor of Annam, Bao-Dai. The negotiations they had with him (19471949) finally materialized with the recognition of Vietnam’s independence under his authority. But
the fight becomes more and more difficult. Due to the help received from the People’s Republic of
China, Ho Chi-Minh passes from guerrilla actions to direct war. After the Cao Bang disaster from 1950
indicating the first defeat of France in the unleashed war, many voices and not only of the communist,
are starting to rise in France against this conflict which was ruining the country’s budget.
The third element of the misunderstandings between the Communists and the other political
forces will appear on the background of the social and economic politics of the government.
These issues corroborated will unleash, as expected, the governmental crisis. By invoking
“the principle of solidarity”, Ramadier will ask for the elimination of the communists from the
government. On 4 May 1947, the Communist ministers were voting together with the deputies of
their party against the government they were part of, with regard to the salary policy at the Renault
manufacturing plants. However the vote of confidence requested by Ramadier was granted to the
government, 360 votes for and 126 votes against. In the evening of the same day the government,
assembled at Matignon, has discharged from office three of the Communist ministers – François
Billoux, Ambroise Croisat and Charles Tillon. There were however two communists left in the
Ramadier Cabinet: Maurice Thorez and Georges Marrane.
The Communists were not concerned about the dismissal of ministers; on the contrary, they
were optimistic and hoped that they would return to power. Jacques Duclos attitude who was
making reassuring statements in May-June proves it, just like the Second National Congress of
P.C.F. (French Communist Party) from Strasbourg (25-28 June 1947), where “the creation of a
democratic government where the French Communist Party should hold the place it deserves” has
been requested6. On the occasion of the same Congress, the Communists were inviting the
Socialists to join them in their efforts “against the reaction”.
After the leaving of the three Communist ministers, the Premier Ramadier declared before
the Financial Committee of the National Assembly that the government would resume its “policy of
austerity” in order to solve the financial difficulties of the country. Should the committee deny
again these measures, the government was warning that it would be in a position to call for the vote
of confidence. The Premier further declared that immediate measures would be taken in order to
block “the canker of inflation” which was destroying the social order in France. “We can, we want
and we must on no account ask the Bank of France for advance money that we cannot cover by
savings or by creating new resources. This would simply mean inflation”7, he declared.
The President of the Council of Ministers added that the 25% reduction of prices proposed
by Léon Blum at the beginning of the year had stopped the inflationist tendency, but it did not
determine the definitive revitalization of the French economy.
The Communist retort came immediately. Duclos, the Communist leader, affirmed that the
government’s plan was “exaggerated” and asked, in exchange, for a reduction of the army effective
6
Archives of The Foreign Affairs, Content 70-71, France, 1945-1948 (O.S.D. Directorate – Archives Office), vol. 4, 25 June
1947, not paginated; Jean-Pierre Rioux, La France de la IV-e République, vol. 1, Éditions du Seuil, Paris, 1980, p. 190.
7
Archives of The Foreign Affairs, Content 70-71, France, 1945-1948 Economic issues (O.S.D. Directorate – Archives
Office), vol. 4, 23 June 1947, not paginated.
148
and a new turnover tax. He also warned the government against the danger of accepting a foreign
aid under any circumstances8.
During the debates on the austerity plan, a great number of demonstrators, approximately
2,000 persons, protested in front of the Palace of National Assembly, expressing their disapproval
of the government’s financial plan9.
The situation created tension between the members of the leading party, and rapidly divided
them into two camps, one group for and another group against Ramadier government carrying on its
mandate. Within the National Council of the Socialist Party of 6 May 1947, the group led by Guy
Mollet declared its opinion in favour of the immediate resignation of the government. After long
debates, The French Section of the Workers' International (Section Française de l'Internationale
Ouvrière, S.F.I.O.) pronounces its opinion for maintaining the government, but also the elimination
of the Communists, with 2,529 votes for and 2,125 votes against.
In spite of all this, failing in putting an end to the political tensions, Paul Ramadier will
present his resignation which has been however rejected by Vincent Auriol. Under these
circumstances, Paul Ramadier will reshuffle the government including the M.R.P. (Mouvement
Républicain Français / The French Republican Movement), The French Section of the Workers'
International (Section Française de l'Internationale Ouvrière, S.F.I.O.) and radicals.
The structure of the new government (22 October – 19 November 1947) was: President of
the Council of Ministers and Minister of Overseas France: Paul Ramadier (S.F.I.O.); Secretary of
State of the Council of Ministers Presidency and Overseas France: Paul Béchard (S.F.I.O.);
Secretary of State in charge of Post, Telegraph and Telephone: Eugène Thomas (S.F.I.O.); Minister
of State: Yvon Delbos (P.R.S.); Minister of Justice: André Marie (P.R.S.); Minister of Foreign
Affairs: Georges Bidault (M.R.P.); Minister of Interior: Edouard Depreux (S.F.I.O.); Minister of the
Armed Forces: Pierre-Henry Teitgen (M.R.P.); Secretary of State of the Armed Forces: André
Maroselli (P.R.S.); Undersecretary of State for the Armament : Johannès Dupraz (M.R.P.); Minister
of Economic Affairs, Public Works, Transports, Reconstruction and Urbanism and President of the
Plan Council: Jules Moch (S.F.I.O.); Secretary of State for Reconstruction and Urbanism: Jean
Letourneau (M.R.P.); Minister of Finance: Robert Schuman (M.R.P.); Minister of Agriculture: Marcel
Roclore (R.I.); Minister of Industry and Commerce: Robert Lacoste (S.F.I.O.); Minister of National
Education: Marcel – Edmond Naegelen (S.F.I.O.); Minister of Social Affairs and Veterans: Daniel
Mayer (S.F.I.O.); Secretary of State of Veterans and War Victims: Albert Forcinal (U.D.S.R.) –
Archives Nationales, Paris, Série B (1930-1950): Problèmes politiques – France, f. 891-892.
The opinions of the French press on Ramadier government’s reshuffle were critical. “L’Époque”
for instance showed it very clear, calling the Ramadier government a “national disintegration”
government, while “L’Aurore” gave a suggestive title to one of its articles: “The country does not need
mending”10, and “L’Aube” concluded: “Fulfilling the task of leading the country on the right way will
prove if the Ramadier government is or is not capable of staying in charge”11.
Finally, the lack of confidence in the Ramadier government led to its dissolution, Vincent Auriol
entrusting another Socialist, Léon Blum, to create a new cabinet. But the second day, on 22nd of November
1947, Blum announced the President of the Republic, at The Élysée Palace, that he had failed in his mission.
After Ramadier’s leaving from the government, the governmental instability will grow
deeper. Another government formula will be sought which will hopefully be successful in order to
re-establish the order in the political life of France.
The Prime Minister’s vacancy will be held by Robert Schuman (M.R.P. – Mouvement
Républicain Français / The French Republican Movement), a personality of French political life,
with other economic and political views, different from his predecessors. Advocate by profession,
he was born on the 29th of June 1886 at Luxembourg. He was an important French statesman, being
considered “one of European construction parents”. He was deputy for Moselle (Scy-Chazelles) – in
8
Archives Nationales, Paris, Série G (1930-1950): Problèmes économiques – France, f. 1790-1795.
« Drapeaux », 25 June 1947, p. 3.
10
Ibidem, f. 1011-1013.
11
Ibidem, f. 1016.
9
149
Lorraine – during 1919 – 1940. In March 1940, Robert Schuman is nominated Undersecretary of
State for Refugees. He refuses to make part of Pétain Marshal Government. Returned to Lorraine he
is arrested by the Gestapo and sent in secrecy to Metz prison, then transferred to Neustadt in
Rhenania (13th of April 1941). He escapes and manages to return in the free zone in August 1942.
After the Liberation of France he is elected deputy for Moselle by M.R.P. (1945-1962).
During the French Fourth Republic he is elected President of the Council of Ministers
(1947) from M.R.P., then Minister of Foreign affairs (1948-1952). He also was a great negotiator
for the major treaties of the end of the Second World War (Council of Europe, North Atlantic
Treaty, etc). In recognition of his merits he will be nominated President of The European Coal and
Steel Community (ECSC) in 1951.
From 1958 till 1960 he is the first President of The European Parliament, which conferred
him the title of Father of Europe at the end of his mandate12.
For the time being he became President of the Council of Ministers, formed of 11 M.R.P. members,
8 socialists, 6 radicals, one U.S.D.R. member and 2 independents (24 November 1947 – 19 July 1948)
The structure of the new government was: President of the Council of Ministers: Robert
Schuman (M.R.P.); Secretary of State of the Council of Ministers Presidency: Pierre Abelin
(M.R.P.); Secretary of State responsible for the Public Function and the Administration Reform:
Jean Biondi (S.F.I.O.); Secretary of State in charge of Post, Telegraph and Telephone: Eugène
Thomas (S.F.I.O.); Under-Secretary of State in charge of Muslim Affairs: Jacques Augarde
(M.R.P.); Minister of Justice: André Marie (P.R.S.); Minister of Foreign Affairs: Georges Bidault
(M.P.R.); Secretary of State for the German and Austrian Affairs: Pierre Schneiter (M.R.P.);
Minister of Interior: Jules Moch (S.F.I.O.); Minister of the Armed Forces: Pierre-Henry Teitgen
(M.R.P.); Scretary of State of War: Paul Béchard (S.F.I.O.) until 28 January 1948, Max Lejeune
(S.F.I.O.) from 12 February 1948; Secretary of State of the Navy: Johannès Dupraz (M.R.P.);
Secretary of State of the Air: André Maroselli (P.R.S.); Minister of Finance and Economic Affairs:
René Mayer(P.R.S.); Secretary of State in charge of the Budget: Maurice Bourgès-Maunoury
(P.R.S.); Secretary of State of the Economic Affairs: Félix Gaillard (P.R.S.); Minister of Industry
and Commerce: Robert Lacoste (S.F.I.O.); Under Secretary of State of the Industry and Commerce:
Jean Moreau (P.R.L.); Minister of Agriculture: Piere Pflimlin (M.R.P.); Under Secretary of State of
the Agriculture: Yvon Coudé du Foreste (R.I.); Minister of National Education: Marcel-Edmond
Naegelen (S.F.I.O.), Edourd Depreux (S.F.I.O.) since 12 February 1948; Under Secretary of State
of the Technical Education : André Morice (P.R.S.); Minister of Overseas France: Paul Coste-Floret
(M.R.P.); Minister of Public Works and Transports: Christian Pineau (S.F.I.O.); Minister of Work
and Social Security: Daniel Mayer (S.F.I.O.); Minister of Public Health and Population: Germaine
Poinso-Chapuis (M.R.P.); Minister of Reconstruction and Urbanism: René Coty (R.I.); Minister of
Veterans and War Victims: François Mitterand (U.D.S.R.) – Archives Nationales, Paris, Série B
(1940-1947): Problèmes politiques – France, f. 1010-1011.
Considering the social and economic difficulties inherited from the previous government,
the most noted ministers of Schuman government will become René Mayer from Finance and Jules
Moch from Interior.
Commenting upon the structure of the new French government, “Ce Soir” noted: “The name
of the ministers creates a real programme. The Gaullist influence on the government has become
stronger by the return of Coste-Floret and the introduction of René Mayer. The circles of
businessmen have a good knowledge of René Mayer’s connections with the Rotschild Bank”13.
The new created coalition will be called “The Third Force” because it has been placed
between P.C.F. and the Gaullists. However the formations reunited under this generic and practical
denomination, “condemned to live together” – as noticed by a contemporary – were in total
disagreement with regard to many issues. If the Catholics from M.R.P. and the Socialist agreed on the
12
Pascal Fontaine, European Construction, European Institute, Iaşi, 1998, p. 10 ; René Remond et François Sirinelli,
Histoire de la France, tome VI, Notre siècle de 1918 à 1988, Édition Fayard, Paris, 1988, p. 316.
13
Archives Nationales, Paris, Série B (1940-1947): Problèmes politiques – France, f. 1030; „Ce Soir”, No. 110, 26
November 1947, p. 1.
150
issue of the private education to be subsidized by the State, this would not be possible for the budget
issue, where there was a total disagreement between the Socialists and the other political parties. Adepts
of the interventionism, the Socialists stated the case for the state intervention in economy, in the social
issues, the increase of social expenses determining an increase of the budget expenses and fiscal
charges. On the opposite side stood the Liberals, defenders of the free initiative, of the non-intervention
of state in the social relations and in the economic issues, hostile to the budget and tax increases. This
doctrinarian differentiation explains the fall of all governments between 1947 and 1952.
The Cabinet presided by Robert Schuman (24 November 1947 – 26 July 1948), especially in the
last month of government, has been threatened several times with collapse. The Flermond-Feranol
strike, the demonstration of 14 July 1948 as well as much other dissatisfaction related to the policy of
Schuman government contributed to its weakening and its yielding of political power to the France
government. The Anglo-American political circles were neither satisfied with the prolonged crisis from
France due to the context the events were developing (for instance the “Berlin crisis”).
Consequently, given the existing situation, the only way to prevent such a government from
falling was to avoid taking firm decisions in the essential issues in dispute.
This tactics, called “inaction” will be carried out by André Marie (26 July – 5 September
1948) and by Dr. Henry Queuille, radically, who will be for three times president of the Council of
Ministers, starting with 11 September 1948. The tactics consisted in postponing the issues, waiting
until they are solved by themselves. Although such a policy was extremely unpopular, it will allow
the government to escape from “sinking”14.
14
Ibidem, f. 1056; Pierre Sainderichin, Quoted work, p. 159.
151
Bibliography
I. Sources
1. Archives
Archives Nationales, Paris, Série B (1940-1947): Problèmes politiques – France; Série G
(1930-1950): Problèmes économiques – France.
Archives of The Foreign Affairs, Content 70-71, France, 1945-1948 (O.S.D. Directorate –
Archives Office), Economic Issues, vol. 4 ; Content 71, U.S.A.., General, 1947-1948 (O.S.D.
Directorate – Archives Office), vol. 2.
2. Periodical publications
“Ce Soir”, 26 Novembre 1947.
“Drapeaux”, 25 June 1947.
“Nouveau Mot”, 13 March 1947.
II. General and Specific Works
BERSTEIN SERGE, Paul Ramadier, la République et le socialisme. Actes du colloque,
Édition Complèxe, Paris, 1990.
DUBY GEORGES (coord.), Histoire de la France des origines à nos jours, Édition
Larousse, Paris, 1995.
FONTAINE PASCAL, European Construction, European Institute, Iaşi, 1998.
FONVIEILLE-VOJTOVIC ANNE, Paul Ramadier (1868-1961), élu local et homme d’État,
Publications de la Sorbonne, Paris, 1993.
PETRENCU ANATOL, Europe, U.S.A., Canada (1939-1973), Scientific Publishing House,
Chişinău, 1995.
REMOND RENÉ et SIRINELLI FRANÇOIS, Histoire de la France, tome VI, Notre siècle
de 1918 à 1988, Édition Fayard, Paris, 1988.
RIOUX JEAN-PIERRE, La France de la IVème République, vol. 1, Éditions du Seuil, Paris, 1980.
SAINDERICHIN PIERRE, De Gaulle et Le Monde, Le Monde-Éditions, Paris, 1990.
WERTH ALEXANDER, France (1940-1955), Readers Union Robert Hale, London, 1957.
152
THE LEADERS OF THE ROMANIAN WORKERS’ PARTY
AND THE EMIGRATION OF THE JEWISH COMMUNITY
MEMBERS FROM ROMANIA (1955)
Petre OPRIŞ, Lieutenant-Colonel (r.) PhD∗
Abstract. The leaders of the Romanian Workers’ Party and the emigration of the Jewish community members from
Romania (1955). During the reunion of the Political Bureau on January 22, 1955, Alexandru Drăghici stated that,
under the pretext of reunifying the Jewish families, the Americans were trying to infiltrate spies in Romania. On the
same time, the minister of Internal Affairs tried to impose the idea that the opening wished by the others members of the
Political Bureau, would follow to generate an exode of the Jewish peoples from Romania to Israel. Gheorghe
Gheorghiu-Dej, Emil Bodnăraş and Constantin Pîrvulescu had not approved the opinions of Alexandru Drăghici and
they tried to present the situation under the humanitarian attitude of the Romanian communist regime towards the
Jewish community from Romania. Gheorghe Gheorghiu-Dej stated that they could not oppose forever to the wish
expressed by more citizens to reunify their families and declared among other things that certain visas were obtained in
the last years inclusively by corrupting a functionary from the ministry of Internal Affairs. After the approval with a
majority of votes to allow again the emigration to Israel for some members of the Jewish community from Romania –
gradually, judging each case and only after requests made individually – the authorities from Bucharest undertook
some measures for gradually and continually improving their relations with the authorities from Tel-Aviv. These
positive changes were realized within the official relations between the two states, thus, in May 1958, the authorities
from Bucharest drew out some criterions for citizens who want to emigrate in Israel and in other countries (Federal
Republic of Germany, Austria, USA, Canada, and France).
Keywords: Alexandru Drăghici, emigration, Gheorghe Gheorghiu-Dej, Israel, Jewish community, Leonte Tismăneanu, Romania.
The wish of the majority of the participants at the session of the Political Bureau of Central
Committee of Romanian Workers’ Party (hereafter CC of RWP) on January 22, 1955, to afford
visas of leaving to Israel for “those who demand it, with the purpose to reunify their families”, was
emphasized in two novel documents, published in “Dosarele Istoriei” magazine in autumn 2005.1
The discussions regarding this theme started from a Note elaborated on January 8, 1955 by
Grigore Preoteasa, deputy of the minister of External Affairs, and annotated by Gheorghe GheorghiuDej. During the document reading, the Romanian leader underlined with a red pencil certain sentences
from the first paragraph and with a blue one others sentences from the rest of the document. In the same
time, Gheorghiu-Dej briefly expressed some opinions regarding the respective problems in the left side
of the Note, probably to explain some underlining. Thus, in front of the fifth paragraph – „The issue is
no longer one of massive emigration as it used to be some years ago. At present, the Israeli authorities
do not approach the issue like this either, at least not in this period, because of coming across economic
hardships” –, the Romanian leader noted: “In the present ... it is difficult to open the subject (the leader’s
underlining)”. In other words, Gheorghe Gheorghiu-Dej admitted that immigration in Israel of some
members of the Jewish community from Romania was rendered difficult by the ampleness the
respective phenomenon had developed in the previous years and also because the authorities from Israel
were confronted with a difficult economic situation at that time. The Romanian leader took into account
∗
Centrum Języka Polskiego I Kultury Polskiej dla Cudzoziemców POLONICUM, Wydział Polonistyki, Uniwersytet
Warszawski/Centre of Polish Language and Culture for Foreigners POLONICUM, Faculty of Polish Studies, University
of Warsaw; [email protected].
153
the respective problems and avoided to put the Tel-Aviv in a delicate position towards their own
citizens, who were soliciting to reunify their families.
In the same time, Gheorghe Gheorghiu-Dej underlined, within the Note, the words “we
would take away from them this weapon”, introduced the quotation marks to better mark the
propagandistic meaning of the respective expression and noted in front of the sixth paragraph the
following question: “and if they will leave more to Israel than those who will come here?”.
At the end, Gheorghe Gheorghiu-Dej underlined the key-words of the proposal elaborated
by Grigore Preoteasa – the delivering of the visas for emigration to Israel „on the basis of requests
made individually, depending on the case and gradually” – and strengthened his decision with the
expression “Thus will be started…”2.
As we emphasized in autumn, two years ago, in the protocol of the respective reunion were
not explained the reasons why Lieutenant General Alexandru Drăghici, minister of Internal Affairs
“expressed that he do not agree to afford visas to those citizens”. We find the solution for this
enigma in the shorthand report of the session of the Political Bureau of CC of RWP on 22 January
1955 – a novel document, important not only for the Jewish community from Romania or for the
researchers who study the history of the post-war Romanian education, but also for those who try to
reveal the preliminaries of the Warsaw Treaty Organization establishment and the role Romania had
in the genesis of this political-military block.3 During the reunion of the Political Bureau on 22
January 1955, Alexandru Drăghici stated that, under the pretext of reunifying the Jewish families,
the Americans were trying to infiltrate spies in Romania. In the same time, the minister of Internal
Affairs tried to impose the idea that the opening wished by the others members of the Political
Bureau, would follow to generate an exodus of the Jewish population from Romania to Israel.
Gheorghe Gheorghiu-Dej, Emil Bodnăraş and Constantin Pârvulescu did not agree the opinions
expressed by Alexandru Drăghici and tried to present the situation under the form of a humanitarian attitude
of the Romanian communist regime towards the Jewish community. Gheorghe Gheorghiu-Dej specified, at
one time, the fact that they could not oppose forever to the wish expressed by more citizens to reunify their
families and declared among other things that certain visas were obtained in the last years inclusively by
corrupting a functionary from the ministry for Internal Affairs (he probably referred to the former minister
Teohari Georgescu himself).4 In his turn, Emil Bodnăraş affirmed that the respective decision had to be
applied only for the relatives of Ist and IInd degree and reminded that a special bureaucratic structure existed –
the so called “organs” – where was decided who would leave for Israel and who would remain in Romania.
After adopting with a majority of votes the decision to permit again emigration to Israel for
some members of the Romanian Jewish community – gradually, judging each case and only after
requests made individually – the authorities from Bucharest undertook more measures with the purpose
to gradually and continually improve their relations with the authorities from Tel-Aviv. These positive
changes were realized both within the official relations between the two states, and within the relations
between the Romanian Workers’ Party and the Communist Party from Israel (Maki).
Collaboration between the two parties developed very much, thus, in the spring of 1961, the
authorities from Bucharest gave a positive answer to the appeal of Samuil Mikunis, General Secretary
of Maki, and sent a “message of greetings to the XIVth Congress of the C[ommunist] P[arty] from Izrael
1
Petre Opriş, 22 ianuarie 1955: Evreii din R.P.R. reprimesc dreptul de a emigra în Israel [The Jews from Communist
Romania and the Recovery of the Right to Emigrate in Israel], in Dosarele Istoriei, Year X, no. 10 (110)/2005, pp. 61-64.
2
Central Historical National Archives, Central Committee of the Romanian Communist Party – Chancellery Collection
(hereafter CHNA, CC of RC. – Chancellery), file 6/1955, p. 62.
3
Petre Opriş, România şi preliminariile Tratatului de la Varşovia [Romania and the Preliminaries of the Warsaw
Pact], in Dosarele Istoriei, Year X, no. 6 (106)/2005, pp. 15-25.
4
The declaration of Gheorghe Gheorghiu-Dej confirms thus the first part of the affirmation we have made in autumn 2005:
„Such an abusive prerogative obviously generated traffic of influence and corruption at the highest levels of the state power in
Romania. It was kept by the members of the Political Bureau until the collapse of the communist regime most probably
because, one way or another, it ensured onerous advantages/incomes for them in exchange of issuing, „on the basis of
requests made individually, gradually and depending on the case”, the arduously coveted exit visas (our underlining)”. Petre
Opriş, 22 ianuarie 1955: Evreii din R.P.R. reprimesc dreptul de a emigra în Israel [The Jews from Communist Romania and
the Recovery of the Right to Emigrate in Israel], in Dosarele Istoriei, Year X, no. 10 (110)/2005, p. 63.
154
(sic!)”5. During the respective period, the propagandistic messages of this kind were usual, the Section
for External Relations of CC of RWP being very prolific in this sense, because they wished to maintain
their links with the communist parties from the capitalist states – France, Austria, Finland, Sweden,
Japan, Lebanon, Holland, Australia, Northern Ireland, Columbia, Indonesia etc.
But the fact that could surprise the public is that RWP leadership offered a support “to the
Israeli C[ommunist] P[arty], materialized within 1250 tons of cement”6, in the spring of 1961. The
gesture of goodwill of the authorities from Bucharest could generate a diplomatic conflict with the
Israel, because the government from Tel-Aviv was entitled to claim that Romania interferes into the
Israel internal affairs – in the political fight from that country. In the same time, it is necessary to
mention the fact that a similar gesture made in Romania by any foreign government or state was
considered unacceptable by Gheorghe Gheorghiu-Dej and those near him.
The last part of the shorthand report we publish refers to the discussions that took place
during the same session of the Political Bureau of CC of RWP on January 22, 1955 about the
situation of some members of the RWP main leaders, who desired to obtain derogation from the
Law of Education, in order to obtain the title of PhD.7
APPENDIX
January 25, 1955. Bucharest
The shorthand report of the session of the Political Bureau of CC of RWP from January
1955, during which was discussed, among others, the proposal of the Ministry of External Affairs to
afford visas for leaving to Israel to the persons who demanded the unification of their families, and
also about the situation of some members of RWP leadership who desired to obtain derogation from
the Law of Education in order to obtain the title of Ph.D.
Shorthand record
of the Political Bureau of the CC of RWP of 22 January 1955
The meeting started at 10 a.m.
The following comrades were present: Gh. Gheorghiu-Dej, Gh. Apostol, M. Constantinescu,
Chivu Stoica, E. Bodnăraş, C. Pârvulescu, P. Borilă, N. Ceauşescu, D. Coliu and Al. Drăghici. [...]
*
Comrade Apostol: It is a proposal of the Ministry of External Affairs concerning the
emigrations in Israel.
Comrade Gheorghiu-Dej: We succeeded to bring here part of the Jewish, on the base of the
idea of family unification, but the Israel governors stop their arrival here, put obstacles in their way.
A problem is raised that the family unification must be seen by both parts. Who wants to come, let
him come, who wants to go, let him go. I do not know in what year, but some Soviet citizens with
origin of Jews, old, who demanded to go to die in Israel, passed through our country, coming from
USSR. They were allowed to leave, received Soviet passport and remained Soviet citizens. The
same received the Russians, former citizens of the old tsarist Russia. We have here some of them,
5
CHNA, CC of RCP – Chancellery, file 22/1961, pp. 4; 127-128, 131.
Ibidem, p. 4.
7
The first revelations regarding the intellectual imposture of some members of the RWP leadership were published in
Tentativă de fraudă intelectuală la nivelul nomenclaturii dejiste. Doctori în ştiinţe, cu orice preţ! [Communist Party
Activists Wishing for a Ph.D. by All Means!], in Dosarele Istoriei, Year IX, no. 12 (100)/2004, pp. 11-15. In the
fragments of the shorthand report we publish, may be found the discussions that took place within the Political Bureau
of CC of RWP about the activity of Academician Mikhail Roller and the Professors Leonte Tismăneanu, Paul
Niculescu-Mizil, Grigore Cotovschi, Constantin Borgeanu, Barbu Zaharescu, Ştefan Voicu, Mihai Frunză, Silviu
Brucan, and Ion Rachmuth. In this moment we may affirm that, in the middle of the 1950s, Gheorghe Gheorghiu-Dej,
Emil Bodnăraş and Alexandru Drăghici opposed to the transforming of the Romanian education into a “diploma
factory” for the RWP main leaders who wished to obtain the title of PhD by infringement of law.
6
155
too. They are not left stateless persons. Who desires, maintains its Soviet citizenship. In our case, he
maintains its Popular Republic of Romania (hereafter RPR) citizenship. It was a matter that it would
be logical to afford visas of leaving RPR and visas to enter. But it is sufficient to open the tap…
Comrade Drăghici: The Israel will organize pressures.
Comrade Bodnăraş: We say about those who have justification to leave, have their father,
mother, children, for reunifying their families. Not in a larger sense of nephews, aunts, etc.
Comrade Drăghici: I have told my opinion. Pressures are made on the line of the Jewish
world Congress and United Nations. Here, it is a matter of the play of the American espionage who
wants to put into its men.
Comrade Pârvulescu: But we can not isolate ourselves from the rest of the world.
Comrade Drăghici: But no one let them go.
Comrade Gheorghiu-Dej: The comrades from Minister of External Affairs demanded us to
give them an answer.
Comrade Pârvulescu: If someone wants to stay, he stays. But he cannot be kept by force if
he wants to go. The question is well moot, with the sense to reunify the families. Of course it must
be seen for each case.
Comrade Drăghici: And who specifies in what [each] case?
Comrade Bodnăraş: The organs [specifies in each case]. On principle, we cannot say no.
Comrade Gheorghiu-Dej: I ask you to tell your opinion.
Comrade Drăghici: I have told my opinion. It means to throw a stone into an agitated pool. All
the Zionist clan will start to push their people to leave and you will see queues on the Victory Road,
who will press us to let them go. Here I think that is not the question of reciprocity, but of leaving.
Comrade Gheorghiu-Dej: They may come here, to reunify their families that are in RPR,
and to reunify their families in Israel if relatives are here and they want to leave there. They will
speculate the matter from a humanitarian point of view, too.
The Zionists, when we let the Jewish go, unfurled an activity for leaving to Israel. We faced the
situation that part of them left there and here remained a part of their families. Then gradually we
reduced, people said the youth should not leave, because we spent with them. But if they go what would
you do to them? If they remain they will work only by constraint. But we stopped them; we let the old
ones go. Then the thing was that we should do propaganda. This gave results, too. But some of them
searched other ways and obtained passports with money, having their man at the Internal Affairs.
What it is proposed now is that the Jewish people should not leave in a body, but the matter is to
agree as a rule concerning the departure of those who have families there and coming of those who have
families here. And this will be reciprocally, on a reciprocity base and not in a body, but gradually.
Comrade Bodnăraş: I agree with this.
Comrade Chivu: And I agree, too, from case to case.
Comrade M. Constantinescu: [I am agree] From case to case and at individual request.
Comrade Drăghici: I maintain my opinion.
Comrade Bodnăraş: On principle, in this matter we cannot take a decision and say that we do not agree.
Comrade Gheorghiu-Dej: Because we are at this point, where we established to let them go
from case to case, in our country are various foreign citizens, Swiss, Austrians, and French. The
Political Bureau should take a decision regarding this matter, too, meaning that they will not be
retained in our country if they want to leave, because they have connections with their legacies and
they rather cross our plans.
Comrade Bodnăraş: If they do not want to stay, we cannot stop them leaving.
Comrade Drăghici: There are Magyar and Czech citizens etc.
Comrade Gheorghiu-Dej: A decision of principle must exist that they may go.
Comrade M. Constantinescu: Of course, we do not need men who are not tied with us.
Comrade Gheorghiu-Dej: Comrade Pârvulescu is in the visas commission, they should
know there how to act.
156
As information for the Political Bureau, according to those previously established, 2 or 3
French, Swiss citizens, Housse, Piccolot, etc., were let to go. We try by this, too, to improve a little
the atmosphere. The recommendation was to do not let them all go at a time, but in turn.
We may therefore consider that the Political Bureau agrees as a rule to take practical
measures concerning this problem.
*
Comrade Apostol: It is another proposal from the Section for Propaganda and Agitation and
that is sustained by the Secretariat, that 4 comrades: [Leonte] Tismăneanu8, [Paul] NiculescuMizil9, [Grigore] Kotovschi10 and [Constantin] Borgeanu may obtain the title of [Ph.D.] candidate
by giving the dissertation without being sent to exam. They are Professors in economical science.
Comrade Bodnăraş: Where would they give exams?
Comrade Apostol: Exam of state. That is the question they do not go to the candidate
minimum exam because they are Professors and to present only the dissertation.
Comrade Pârvulescu: Why shall we do this exception?
Comrade Apostol: The comrades cannot start from the beginning. They teach the students.
Comrade Gheorghiu-Dej: This proposal came to me once more. I cannot regard formally the
obtaining of a diploma.
Comrade Bodnăraş: And the Political Bureau should raise a regime established for the
whole country?
8
Leonte Tismăneanu (Leonid Tismineţki, Leonida Tisminetzski or Leon Tisminiţchi) (b. 1913, Soroca – d. 1981,
Otopeni): member of the Communist Party of Romania since 1933; he was expelled from faculty in 1935 because of his
communist militant activity and sent to prison together with Grigore Preoteasa, the future minister of Romania’s Foreign
Affairs; he left for Spain to enrol on the voluntary International Brigades, which were fighting by the side of the republican
regime in Madrid; he lost his right arm in 1937, during one of those bloody battles of the Civil War; after the civil war in
Spain ended, he took refuge together with his wife, Hermina Marcusohn, in the USSR and in 1941 became editor at the
Moscow Broadcasting Station; on his return to Romania in 1948, he was appointed editor of the State Publishing House for
Political Literature and head of the Marxism Department of the „Constantin I. Parhon” Party University; in 1949, he
became an editorial board member of the For Enduring Peace, for Popular Democracy Magazine, which was founded in
Prague; in 1958, he lost his position at the State Publishing House for Political Literature due to his „factious” attitude and
he was excluded from the Romanian Workers’ Party in May 1960; in February 1964, he was re-accepted member of the
Romanian Workers’ Party and his length of service for the party was acknowledged from 1933 to 1960. Cf. Copilăria
comunismului românesc în arhiva Cominternului [The Childhood of the Romanian Communism in the Komintern
Archive], document edition coordinated by Alina Tudor-Pavelescu, Bucureşti, 2001, p. 432-433; 436; Vladimir
Tismăneanu, Ghilotina de scrum [The Ash Guillotine], Polirom Publishing House, Iassy, 2002; Partidul Comunist din
România în anii celui de-al doilea război mondial (1939-1944) [Romania’s Communist Party during the Second World
War (1939-1944)], document edition coordinated by Alina Tudor-Pavelescu, Bucureşti, 2003, p. 223-224; Vladimir
Tismăneanu, Stalinism pentru eternitate. O istorie politică a comunismului românesc [Stalinism for All Seasons: A
Political History of Romanian Communism], Polirom Publishing House, Iaşi, 2005, p. 39; Petre Opriş, Leonte Tismăneanu
(1913-1981) [Leonte Tismaneanu (1913-1981)], in Arhivele Totalitarismului [Totalitarianism Archives], The National
Institute for the Study of Totalitarianism, Year XIII, no. 1-2 (46-47)/2005, pp. 252-256.
9
Paul Niculescu-Mizil (b. 25 November 1923, Bucharest): deputy director at „Ştefan Gheorghiu” Party University (1952);
rector at „Ştefan Gheorghiu” Party University (1953); deputy director of the History Institute of RWP (1955); member of the
CC of RWP (RCP) (28 December 1955 – 22 December 1989); chief of the Propaganda Department of the CC of RWP (RCP)
(1956-1968); representative of Galaţi, Timiş, Arad, Bacău, and Satu-Mare counties in the Great National Assembly (3
February 1957 – 22 December 1989); secretary of the CC of RWP (RCP) (1965-1972); member of the Executive Political
Committee of the CC of RCP (24 July 1965 – 22 December 1989); member of the Permanent Presidium of the CC of RCP
(12 August 1969 – 28 November 1974); vice Prime-minister (20 April 1972 – 26 March 1981); Minister of Education (11
October 1972 – 16 June 1976); Minister of Finance (7 March 1978 – 26 March 1981); representative of Romania in
COMECON (12 June 1979); president of CENTROCOOP (1981-1989). Gheorghe Crişan, Piramida puterii. Oameni politici
şi de stat din România (23 august 1944 – 22 decembrie 1989) [The Pyramid of Power. Romanian Politicians and Statesmen
(August 23, 1944 – December 22, 1989]), PRO HISTORIA Publishing House, Bucureşti, 2001, pp. 207-208.
10
Grigore Cotovschi (Grigore Kotovschi): „Jew [communist] militant of Basarabia [province], fought in the
International Brigades [set up in Spain, during the Civil War (1936-1939)], spent the years of war in the USSR, then
returned to Romania, where he worked for the propaganda apparatus [of the Romanian Workers’ Party], until his
exclusion from the party, in 1958”. Vladimir Tismăneanu, Fantoma lui Gheorghe Gheorghiu-Dej [The Ghost of
Gheorghe Gheorghiu-Dej], Univers Publishing House, Bucureşti, 1995, p. 69.
157
Comrade Apostol: And there are other 5 comrades who are proposed to become Ph.D.
without giving doctorate thesis: [Mikhai] Frunză, [Ştefan] Voicu11 etc. [Barbu Zaharescu12, Silviu
Brucan13 and Ion Rachmuth14].
Comrade Bodnăraş: My opinion is to respect the laws and all give the exams.
Comrade M. Constantinescu: That is not the question not to present the dissertation, but not
to demand them the PhD candidate minimum. They are Professors at the university and the
candidate minimum is demanded to a student.
Comrade Borilă: The dissertation is written at home, but at the exam he presents himself in
front of a commission.
Comrade Bodnăraş: Here that is the question of two categories: some who want to become PhD
candidates without exam, others who want to become Ph.D. without dissertation. I do not agree.
Comrade Gheorghiu-Dej: I have expressed my fear that a precedent will be created. The
comrades deserve it, have the capacity, raised themselves, but why should they follow other law
than the others? And, besides, a precedent is created and other will come, too. And thus a situation
is created for them that they enter on another door than the others. And I say they should give exam.
Another phenomenon exists, too. In a series of institutes are sent people, middle class
elements, who took advantage of their position and became Professors. It is pleaded of professors,
lecturers, assistants, all what you want. They obtained this. Now they want to become PhD.
Comrade Bodnăraş: If we approve this proposal, we will diminish the authority of the title
of PhD and PhD candidate.
Comrade Gheorghiu-Dej: I talked with [Leonte] Răutu, why he wants to harm the people
and what will the people say about this.
11
Aurel Rottenberg (Ştefan Voicu) (b. 1906 – d. 1992): Jew communist militant, who was held in prison in Târgu-Jiu camp; he
was deported in Transnistria, in Vapniarka camp (Jugastru district), on 8 September 1942; deputy chief-editor of „Scânteia”
newspaper (1948); president of the Journalist Trade Union (1 June 1948); alternate member of the C.C. of R.W.P. (28 December
1955 – 25 June 1960); member of the C.C. of R.W.P. (R.C.P.) (25 June 1960 – 23 November 1984); representative of Argeş,
Vâlcea, Galaţi, and Suceava counties in the Great National Assembly (5 March 1961 – 17 March 1985); chief-editor of „Lupta de
clasă” magazine (1962); chief-editor of „Era Socialistă” magazine (1974). Dennis Deletant, Teroarea comunistă în România.
Gheorghiu-Dej şi statul poliţienesc, 1948-1965 [Communist Terror in Romania. Gheorghiu-Dej and the Police State, 19481965], Polirom Publishing House, Iaşi, 2001, pp. 29-30; Gheorghe Crişan, op. cit., p. 309.
12
Barbu Zaharescu (Bercu Zukerman) (b. 17 March 1906, Bârlad – d. 14 November 2000, Bucharest): member of the
Communist Party of Romania since 1923; Romanian economist, teacher at Bucharest University; the author of the first
marxist economy textbook which was published in Romania; rector at „Maxim Gorki” Institute in Bucharest (1952);
Plenipotentiary Minister in Argentina (17 March 1955 – 3 February 1956); alternate member of the C.C. of R.W.P. (28
December 1955 – 24 July 1965); Ambassador in Turkey (7 March 1956 – 22 January 1959); Ambassador in China (22
January 1959 – 29 July 1961); Ambassador in D. R. Vietnam (22 January 1959 – 29 July 1961); member of the C.C. of
R.C.P. (24 July 1965 – 24 November 1974); member of the Central Control Commission (28 November 1974 – 23
November 1984); corresponding member of the Academy of Romania Socialist Republic; main books: URSS după 15
ani [USSR after 15 Years] (1932, in collaboration); Karl Marx despre procesul de circulaţie al capitalului [Karl Marx,
about the process of circulating of the capital] (1955); Karl Marx despre procesul de ansamblu al economiei capitaliste
[Karl Marx, about the ensemble process of the capitalist economy] (1965). Dicţionar enciclopedic român [Romanian
Encyclopaedic Dictionary], vol. IV, Political Publishing House, Bucureşti, 1966, pp. 928-929; Gheorghe Crişan, op.
cit., p. 313; Membrii C.C. al P.C.R. (1945-1989). Dicţionar [Members of the R.C.P. Central Committee (1945-1989).
Dictionary], coordinator: Florica Dobre, Encyclopaedia Publishing House, Bucureşti, 2004, p. 631.
13
Silviu Brucan (b. January 18, 1916 – d. 2006): General Secretary of the editorial board and deputy editor of
„Scânteia” newspaper (1944-1956); representative of Prahova county in the Great National Assembly (from November
30, 1952); plenipotentiary minister in USA (March 7, 1956 – July 10, 1959): permanent representative at United
Nations (New York Offices) (July 10, 1959 – September 18, 1961); vice-president of the Romanian Broadcasting and
Romanian Television (dismissed on January 6, 1966). Gheorghe Crişan, op. cit., p. 49.
14
Ion Rachmuth (b. 1911 – d. ?): Romanian economist, teacher at University, corresponding member of the Academy
of Romania Socialist Republic; he translated Capitalul [Capital], by Karl Marx, into Romanian (volume I in 1947, and
volume II in 1951); he published studies about the production, the law of values and the settle of prices in socialism;
main books: Legea valorii şi temeiurile aplicării ei în economia socialistă [The Law of Values and the Socialist Economy]
(1949); Deosebirea esenţială dintre rolul economic al statului socialist şi rolul economic al statului capitalist [The
Differences between the Economic Role of the Socialist State and the Economic Role of the Capitalist State] (1960); Aspecte
ale crizei economiei politice burgheze contemporane [Evidences about the Contemporary Bourgeois Political Economy
Crisis] (1965). Dicţionar enciclopedic român [Romanian Encyclopaedic Dictionary], op. cit., p. 13.
158
Comrade Drăghici: It is a lack of seriousness, too, in the way they see the titles.
Comrade Gheorghiu-Dej: One of the arguments was that these people are in a delicate
position, because they enter in contact with professors, Ph.D.-s, people with titles, and though they
teach as Professors, they do not have these titles.
Comrade Bodnăraş: This is enough we promoted in the Academy staff, people who do not
deserve it, incapable ones.
Comrade Gheorghiu-Dej: [Mikhail] Roller is Academician, too. He did a scrupulous work,
he gathered documents. Very good. The party must congratulate him for this. In the same time it
must criticize him because when he published the [work] “History of Romania”, he signed as
“Acad[emician Mikhail]. Roller”. How can’t he make out to think wider, he is nevertheless a party
member, good comrade, but what atmosphere he creates by this for the party?
Comrade Bodnăraş: I think that we must see this problem, too.
Comrade Gheorghiu-Dej: Yes. The question was put to me by others, too, by Marinescu
Voinea15, too, the minister of Health, a very serious man who continues his scientific and practical
activity, a very sober-minded, equilibrated man. He told me with embarrassment about these things
that at the Ministry of Health and maybe at other ministries, too, are people who became Professors
without a serious base. I would be very ashamed to present myself as a Professor and not to know
the problems. For ex[ample]. Dunăreanu, incapable student, wants now to become man of science.
Is it normal to have such Professors?
Comrade M. Constantinescu: It was also the politics of the Ministry of Education which
promoted some people, tried to fill the holes it had.
Comrade Bodnăraş: The Ministry [of Education] legalized the situation.
Comrade Chivu: Exams should be sustained.
Comrade M. Constantinescu: A sorting must be done and the ones, who do not correspond, must go out.
Comrade Gheorghiu-Dej: With those proceedings we annoyed the intellectuals, too, who
make comments. Some became Professors with 3-4 primary classes, do not know anything about
medicine, are laymen. And this creates a very bad atmosphere inside our intellectuality. It is true,
they were formed with bourgeoisie education, but we cannot ignore their opinion.
Comrade Bodnăraş: The title of Professor, of Academician, is a high title. The man must
graduate a faculty, must take the title of Ph.D., must have scientific works, and must be promoted
by a college. But we have made Professors without all these, starting with [Lucreţiu] Pătrăşcanu.
Comrade Gheorghiu-Dej: Yes, he opened the series. They may be lectors, they may teach.
Comrade Bodnăraş: Even lector is a scientific title that must be obtained.
I think it would be no harm in checking this situation, to know it.
Comrade Gheorghiu-Dej: I think this matter should be taken by the Secretariat. I asked for a
list with the persons who obtained titles without knowledge.
Comrade Apostol: We will do this.
Comrade Bodnăraş: The Professors, the Academicians, the Ph.D.-s, the candidates in
science, we have to see them.
*
[...]
The session ended at 2.00 o’clock p.m.
Source: CHNA, CC of RCP – Chancellery, file 22/1961, pp. 5; 19-25; 30.
15
Cf. Petre Opriş, Ministrul comunist al Sănătăţii, dr. Voinea Marinescu – altruism şi decenţă profesională [Voinea
Marinescu, the Communist Minister of Health – Selflessness and Professional Decency], in Cetatea Bihariei. Revistă de
cultură şi istorie militară, Oradea, no. 1 (3)/2005, pp. 117-119.
159
NEZÁVISLOSŤ KOSOVA A JEJ DÔSLEDKY
PRE GEOPOLITIKU EURÓPY
Gabriel GROSU, Mgr. PhD∗
Peter KOPECKÝ, Doc. PhDr.∗∗
Abstract. Independence of Kosovo and its implications for Geopolitical of Europe. This article aims to analyze the process of
independence of Kosovo, its legal and policy frameworks and especially its implications for Geopolitical of Europe in the XXI
century. After three years of Kosovo independence, its arising is being identified into two issues: the legitimacy and legality of
the new leadership (which is not the purpose of our analysis) but also a question mark on the independence process
artificially accelerated, creating a precedent. The article also proposes to analyze and compare, if appropriate, the socioethnic quicksand of some EU countries. A trend which could become rampant in declaring the rules ad hoc.
Keywords: conflict, doubts, disfunction, intervention, Kosovo, Yougoslavia.
Resume. Cieľom článku je analýza procesu nezávislosti Kosova, jej politický a právny rámec a najmä jej prípadné
dôsledky pre geopolitiku Európy v XXI. st. Po troch rokoch samostatnosti, už možno identifikovať dve bádateľské výzvy:
legitimitu a legalitu jeho nových vládcov (nie sú cieľom tohto článku), ale najmä otázniky umelo urýchľovanej
nezávislosti, ktorá o.i. vyvolala aj precedens. Článok si takisto kladie za cieľ analýzu a komparáciu socio-etnických
pohyblivých pieskov v niektorých krajinách EÚ. Spustiť ich totiž môžu pravidlá prijaté ad hoc.
Keywords: Juhoslávia, konflikt, intervencia, pochybnosti, Kosovo, nefunkčnosť.
Úvod
Kosovo sa stalo vážnym európskym problémom, ale vlastne vo všetkých obdobiach svojej
pohnutej histórie bolo neuralgickým bodom záujmov štátov v regióne.
Z hľadiska historického, Osmanská ríša bola do vývoja a správy provincie najdlhšie
zainteresovaná. Ani Bulhari, ani Srbi neboli schopní ovládnuť územie Kosova na dlhšie obdobie.
To samozrejme Osmanská ríša využila na to, aby vtlačila provincii pečať svojej kultúrnej a
náboženskej identity, ktorú nesie prakticky dodnes.
V skutočnosti, rozpad Osmanskej ríše a vytvorenie špecifického národného elementu po
vzore Kosova bolo možné pozorovať aj pri zrode niektorých štátov v strednej Ázii. Konkrétne
máme na mysli bývalé sovietske socialistické republiky: Azerbajdžan, Kirgizsko, Turkménsko. Tak
ako v Kosove, v týchto štátoch žije turcizované väčšinové obyvateľstvo.1
Uvedené národy strednej Ázie si automaticky vytvorili štáty (1918), základom ktorých bolo
administratívne a náboženské dedičstvo Osmanskej ríše. Nie nadlho, pretože už v r. 1922 boli
pričlenené k ZSSR; Kosovo zasa ku Kráľovstvu Srbov, Chorvátov a Slovincov (Somel, 2003).
∗
“Centre Prospectif de la Méditerranée”, La Fondation Méditerranéenne d’Études Stratégiques (FMES);
[email protected].
∗∗
Univeryita Komenského v Bratislave, Fakulta Sociálnych i Ekonomických Vied / Comenius University in Bratislava,
Faculty of Social and Economic Sciences, Slovakia; [email protected].
1
Pojem “turcizované” používame s výhradou, pretože slovenčina nemá ekvivalent k rumunskému a francúzskemu
slovu turcic, turcique. Rešpektujeme samozrejme fakt, že obyvateľstvo uvedených krajín strednej Ázie má už vytvorenú
novú národnú identitu, odlišnú od tureckej.
160
Rozpad ZSSR a Juhoslávie mal spätný scenár, ale Kosovo, keďže nebolo nikdy, ani na
krátku dobu samostatné, získalo nezávislosť až neskôr, po vojenskom zásahu koaličných síl NATO,
vedených USA (Malcom, 1998). Medzinárodno-právny proces samostatnosti, generovaný najmä
USA, bol napokon dokončený v r. 2008.
V podstate problém Kosova, nie je na prvý pohľad až tak závažný ani pre Európu, ani pre
Srbsko, ktorá stratila časť svojho sentimentálne vnímaného územia.
Ak používame spojenie “nie je až tak závažný”, rešpektujeme prvotný strategický plán
integrácie krajín západného Balkánu do EÚ a samozrejme, aj sekundárny – integráciu do NATO.
Vo svetle globálnej ekonomickej krízy sa však momentálne strategické plány stávajú zbožnými
želaniami; to však nemusí platiť pri integrácii do NATO. Z tohto hľadiska potom Srbsko aj Kosovo,
vo vzdialenej budúcnosti zrejme vstúpia do EÚ. Samozrejme, každá z týchto krajín bude musieť
splniť tie isté alebo špecifické kritériá; predvstupové rokovania budú o to ťažšie, že posledné
rozšírenie o dve balkánske krajiny (2007), prinieslo viac problémov ako sa očakávalo.
Za srbsko-kosovskými vzťahmi sa stále skrýva pokrivený medzinárodno-právny rámec. Jeho
viditeľné praskliny umožnili bombardovanie Juhoslávie bez súhlasu BR OSN. Zainteresovaných
prekvapili suverénne, a dnes možno s istotou povedať aj unáhlené kroky prezidenta USA Billa
Clintona, ktorý z pozície hlavného veliteľa ozbrojených síl túto vojenskú operáciu viedol.
Otázkou zostáva, prečo intervenciu NATO v Kosove, de facto vojnu, nevyhlásil Kongres
USA; podľa Ústavy totiž vojnu vyhlasuje Kongres. Tieto ľahkovážne politické a vojenské kroky si
môžu vysvetliť viaceré štáty ako precedens. Status-quo v Európe sa potom môže destabilizovať,
najmä v jej niektorých citlivých regiónoch. Paradoxné pritom je, že prezidentovi Rooseweltovi
záležalo na povojnovom usporiadaní Európy menej ako Churchillovi (Chomsky, 1999).
V Európe totiž existujú nielen separatistické myšlienky, ale aj hnutia. A vôbec nemusíme
hovoriť len o terorizme; veď samotná hostiteľská krajina EÚ sa zmieta v secesnej neistote.
Samozrejme, situácia nezáleží od tých či oných štátov, ale od schopnosti EÚ ako inštitúcie vytvoriť
a aplikovať rešpektovanú geopolitickú stratégiu pre XXI. st. Podobná stratégia by mohla operatívne
riešiť odstredivé tendencie vychádzajúce zvnútra krajín, ale azda ešte väčšmi by sa mohla uplatniť aj pri
riešení zmrazených konfliktov na periférnych územiach EÚ. Na druhej strane, takáto stratégia musí byť
umocnená dokumentom o postavení menšín v členských krajinách EÚ. Zatiaľ taký dokument v EÚ
neexistuje. Prečo? A prečo sa EÚ zásadne a dlhodobo neangažuje v národnostných problémoch medzi
jednotlivými krajinami? Azda práve preto, že by sa mohli neželané procesy spustiť?
Kosovo – proces získavania nezávislosti
Kosovo získalo nezávislosť po dlhom čase, naplnenom vzájomnými politickými a vojenskými
konfliktami s Belehradom. V 80.rokoch XX.st., ešte ako autonómna provincia sa otriasala protestmi
proti centrálnej administratíve. Vtedajšiu Juhosláviu však viac pút spájalo ako rozdeľovalo a
Kosovčania nemali tútora v zahraničí. Preto boli protesty zväčša rýchlo potlačené. Tvrdší charakter
však nadobudli manifestácie proti Miloševičovým ústavným eskapádam. Referendom z júna 1990
Kosovu Miloševič prakticky zobral autonómiu. Jediný v albánčine vydávaný časopis “Rilindja” bol
obmedzený v tiráži a obsahu a podobne sa postupovalo voči kosovskej televízii a rozhlasu. Okolo 800
vyučujúcich a študentov z Univerzity v Prištine, hovoriacich albánsky, bolo prenasledovaných. Ako
odpoveď na protesty obyvateľstva a zvlášť študentov, Belehrad rozmiestnil v hlavnom meste
špeciálne jednotky. Udalosti nabrali dramatickejší spád, keď sa na verejnosti objavila Armáda za
oslobodenie Kosova (UCK) 2 . Ešte v r. 1998 ju US department kvalifikoval ako teroristickú
organizáciu. Faktom však zostáva, že aj srbská strana použila silu neadekvátne a kruto. Po surovom
potlačení etnických nepokojov, 31.marca 1998, BR OSN Rezolúciou č. 1160 zavádza embargo na
obchod so zbraňami a na dovoz ropy voči Juhoslávii. Je zaujímavé, že Rezolúcia sa netýkala oblasti
Kosova. Rezolúcia zároveň opätovne potvrdila suverenitu a územnú celistvosť Juhoslávie.
2
Celé znenie:Ushtria Çlirimtare e Kosovës.
161
Pri hlasovaní o Rezolúcii sa zdržala Čína, ktorá prostredníctvom svojho zástupcu vyhlásila,
že Kosovo je vnútorným problémom Juhoslávie. Poukázala zároveň na rešpektovanie princípu
medzinárodného práva verejného: nezasahovanie do vnútorných záležitostí iných štátov. Žiaľ,
udalosti nabrali ešte hrozivejší spád a v lete 1998 sa odohrali prvé prudké boje medzi špeciálnymi
jednotkami vyslanými Belehradom a kosovskými povstalcami (Krieger, 2001).
Napokon tá istá BR OSN 23. septembra 1998 odvolala Rezolúciu č.1160 a prijala Rezolúciu
č. 1199, ktorou vyzvala juhoslovanskú a kosovsko-albánsku stranu, aby okamžite ukončili
nepriateľstvo a zastavili paľbu. Krátko na to, 16.októbra 1998, podpísala Juhoslávia s OBSE
Zmluvu o vytvorení kontrolných mechanizmov v Kosove. Juhoslávia sa v nej zaviazala, že bude
rešpektovať Rezolúciu č. 1199 a predloží OBSE mechanizmy, potrebné na monitorovanie situácie.
Kosovskí Albánci boli povinní zastaviť gerilové útoky a mali, spolu s Belehradom, zlepšiť
humanitárnu situáciu v provincii. Situácia bola nestabilná nielen kvôli možnému opätovnému
vypuknutiu bojov, ale najmä kvôli desiatkam tisíc utečencov a nezvestných. (Rezolúcia BR OSN č.
1199, 1998) 24. októbra toho istého roku, BR OSN prijala Rezolúciu č. 1203, ktorá rušila Rezolúcie
č.1160 a č. 1199. Rezolúcia v súlade s čl. VII Charty OSN kládla Juhoslávii podmienku, aby
spolupracovala počas Kosovskej krízy s OBSE a s NATO (Rezolúcia bezpečnostnej rady
organizácie spojených národov č. 1203, 1998). Na prekvapenie mnohých odborníkov, BR zverila
dozor nad uvádzaním rozhodnutí OSN do praxe vojenskému bloku 12 európskych krajín, vedených
USA. To bol prvý krok, ktorým sa NATO oficiálne zamiešalo do konfliktu. Rozhodnutie bolo
prekvapujúce o to viac, že NATO nie je svetovou organizáciou a v spomínanom období ani nemalo
ambíciu byť svetovou. Okrem toho, právny rámec či raison d´être deklarovaný pri založení bol nad
slnko jasný: udržať mier a poriadok v ohrozenej oblasti, v ktorej sa nachádzajú jej členovia. NATO
sa zrodilo z vôle USA a ich spojencov počas studenej vojny. Jej prvoradým cieľom bola protiváha
voči sovietskej expanzii v Európe. Po zániku ZSSR a Varšavskej zmluvy, NATO nehatene
pokračovalo v činnosti a práve 90. roky ukázali v plnej nahote absenciu jeho jasnej krátkodobej a
strednodobej stratégie. Azda ešte menej by prekvapilo odbornú verejnosť, keby dohľad nad
situáciou v Kosove BR OSN zverila len jednej konkrétnej krajine.
Aký dopad malo rozhodnutie BR OSN na radikálne sily v Kosove je dnes všeobecne známe.
V prvom rade posilnilo separatistické tendencie, bez ohľadu na prostriedky. Odpoveď Juhoslávie
bola vopred jasná. Na útoky UCK Belehrad odpovedal ešte tvrdšie a rozpútal represálie najmä voči
etnickým Albáncom, sympatizujúcim s UCK a jej členom. Keďže nepriateľské akcie eskalovali, v
období január – marec 1999 sa v Rambouillet, na predmestí Paríža, uskutočnilo stretnutie zástupcov
Juhoslávie, NATO a UCK. Prvé kolo bolo úspešné; strany sa dohodli na vytvorení Kontaktnej
skupiny, ktorá mala riešiť dovtedajšie nahromadené problémy (Krieger, 1999). 18.marca 1999,
počas druhého kola rokovaní, delegácie USA, Veľkej Británie a Kosova podpísali tzv. Dohody z
Rambouillet, podľa ktorých malo NATO rozmiestniť 30 000 vojakov aliancie v oblasti. Tieto silné
jednotky mali kontrolovať situáciu a mali byť absolútne nezávislé od juhoslovanských zákonov.
Belehrad a Moskva však obsah Dohôd odmietli. Aký bol predvídateľný dôsledok? Keďže blok 12
krajín NATO na čele s USA mal právny mandát od BR OSN, udelený Rezolúciou č. 1203, NATO
začalo konať v súlade so svojim politicko-vojenským štatútom, čiže začalo bombardovať Belehrad a iné
mestá. Bombardovanie prebiehalo od marca do júna 1999 a sústreďovalo sa údajne len na vojenské a
strategické objekty, vrátane mostov. Vojenská operácia bola motivovaná skutočnosťou, že Miloševičov
režim sa dopustil zločinov proti mieru a ľudskosti a viedol etnické čistky na svojom území. Operácia
bola predmetom neutíchajúcej kritiky zo strany medzinárodnej verejnej mienky, ale aj viacerých vlád.
Niektorí vysokí politici, podporujúci v r. 1999 operáciu, neskôr, po získaní nových informácií, svoj
postoj zmenili. Typickým príkladom je bývalý prezident Rumunska Emil Constantinescu. Osobitne
tvrdá kritika po začatí bombardovania zaznela prirodzene z Moskvy. Jevgenij Primakov, vtedajší ruský
premiér, zrušil svoju oficiálnu návštevu USA počas letu do Washingtonu (Boggs, 2001).
10. júna 1999 BR OSN prijala Rezolúciu č. 1244, zameranú na obnovenie poriadku a
zvládnutie humanitárnej krízy v Juhoslávii, osobitne v Kosove. O dva dni neskôr jednotky KFOR,
Kosovo force, zložené z koalície NATO začali svoju činnosť. Do KFOR napokon vstúpili aj štáty,
ktoré neboli členmi NATO: RF a Ukrajina.
162
Pôvodnými cieľmi NATO bolo:
- zabrániť opätovným útokom a hrozbám zo strany srbských a juhoslovanských síl voči Kosovu;
- nastolenie a udržanie bezpečného prostredia v Kosove, vrátane bezpečnosti a občianskeho poriadku;
- odzbrojenie UCK;
- podpora medzinárodným humanitárnym akciám;
- koordinácia a podpora medzinárodným akciám civilného charakteru.
Dnes sa KFOR zameriava na vytvorenie prostredia, v ktorom by všetci tamojší občania, bez
rozdielu etnickej príslušnosti, žili v bezpečí. Demokracia a občianska spoločnosť v Kosove, aj vo
svetle nedávnych zmanipulovaných volieb, sa však môžu upevniť len vďaka medzinárodnej pomoci
a monitorovaniu spoločenskej situácie (Rezolúcia bezpečnostnej rady organizácie spojených
národov č. 1244, 1999).
Úlohy KFOR boli definované nasledovne:
- pomoc utečencom alebo presťahovaným osobám pri návrate alebo prechode do nového domova;
- obnova a rozvoj infraštruktúry zdravotnej starostlivosti;
- udržanie bezpečnosti a verejného poriadku;
- ochrana národnostných menšín;
- ochrana historického a kultúrneho dedičstva;
- ochrana hraníc;
- boj proti cezhraničnému pašovaniu zbraní a ľudí;
- zavedenie do praxe programu zameraného na kontrolu a ničenie munície, zbraní a
výbušných látok v regióne ;
- podpora pri zakladaní občianskych inštitúcií zameraných na formovanie súdneho systému,
volebných procesov a na iné oblasti ekonomického, spoločenského a kultúrneho života v Kosove.
Krajiny Kontaktnej skupiny verejne vyhlásili, že KFOR zostane v Kosove aj naďalej, aby
poskytol potrebnú bezpečnosť a aby podporil kroky vedúce ku konečnému riešeniu štatútu
provincie Kosovo (NATO´s role in Kosovo, 2010).
Kosovo teda zostalo pod dohľadom medzinárodného spoločenstva, pričom zároveň na jeho
území pôsobili aj osobitní predstavitelia OSN, ktorí monitorovali povojnový proces. Najznámejší,
ale azda aj najkontroverznejší z nich bol Martti Ahtisaari.
2. februára 2007, Martti Ahtisaari navrhol Belehradu a Prištine projekt riešenia statusu
Kosova. Projekt zahŕňal širokú škálu aspektov zameraných na budúcnosť Kosova, osobitne
opatrenia spočívajúce v ochrane nealbánskeho etnika. Návrh obsahoval tieto konkrétne body:
- ústavné záruky práv etnických komunít a ich členov;
- decentralizácia miestnej verejnej správy;
- vytvorenie justičného systému, ktorý by chránil kultúrne a náboženské práva;
- vyriešenie zdedeného medzinárodného dlhu;
- vytvorenie bezpečnostného sektora v Kosove;
- menovanie medzinárodného civilného predstaviteľa ;
- napojenie Kosova na bezpečnostný system a na európsku obrannú politiku (PESA)
- pokračovanie medzinárodnej vojenskej misie, napr. KFOR;
- vytvorenie legislatívnej agendy (Ahtisaari – The Comprehensive Proposal for Kosovo
Status Settlement, 2007).
Aj keď projekt výslovne neuvádzal slovo « nezávislosť » , aj tak obsahoval viaceré ustanovenia,
interpretovateľné ako premisy potenciálnej štátnosti provincie Kosovo. Napríklad projekt poskytoval
provincii právo byť členom medzinárodných organizácií, dával provincii právo vytvárať bezpečnostné
sily ako aj používať štátne symboly. Ahtisaari vyhlásil, že po dlhšom období konzultácií s oboma
stranami, projekt doplní a finalizuje. Konečnú verziu mal napokon predložiť BR OSN.
V apríli 2007, Ahtisaari predkladá konečnú verziu projektu BR OSN. Ako sa dalo očakávať,
RF návrh projektu vetovala, ako aj návrhy dvoch ďalších rezolúcií (Ahtisaari plan "closed
chapter" …, 2007). V decembri 2007 rokovania Trojky USA/EU/RF uviazli v slepej uličke. 17.
februára 2008 Kosovský parlament vyhlásil nezávislosť provincie od Srbska. V máji 2008 však RF,
Čína a India navrhli opätovné rozhovory o Kosove, v súlade s Rezolúciou OSN č. 1244. V júli 2010,
163
Medzinárodný súdny dvor (MSD) v Haagu vydal rozsudok, podľa ktorého vyhlásenie nezávislosti Kosova
nebolo porušením medzinárodného práva. Do polovice januára 2011 uznalo štát Kosovo 72 krajín sveta.
Hoci provincia vyhlásila nezávislosť od Srbska a ako štát ju uznalo pomerne veľa krajín,
vrátane pozitívneho postoja MSD, situácia v krajine nie je ani zďaleka vyriešená a to máme na
mysli len inštitucionálnu povahu veci. Kosovo sa zatiaľ teší skôr z „ kvázi nezávislosti“, pod
dohľadom EÚ za výdatnej finančnej podpory jej mechanizmov. Chod štátnosti udržiavajú aj
peňažné dary od kosovských emigrantov, ktorí odišli za prácou do Európy a USA (Vucheva, 2009).
Proces získavania nezávislosti Kosova bol pomerne zdĺhavý a mal výrazne kontroverzný
priebeh z hľadiska striktného dodržiavania medzinárodného práva, Charty OSN, ale v istých
momentoch aj Ústavy USA. Pri presadzovaní nezávislosti hralo prím politikum a kultúrna stránka
medzinárodného práva. Stagnujúca reforma organizačnej štruktúry, rozhodovacieho a
procedurálneho systému OSN, nedôslednosť medzinárodného práva, vplyv, ktorý získali USA v
prvej dekáde XXI.st. vo svete viedli k využitiu hluchých miest a napokon aj k ľahkému finále.
Finále, ako sme už skôr naznačili, poslúžilo ako precedens RF vo vojne na Kaukaze v r. 2008. Hoci
politický úspech uznania Abcházska a južného Osetska sa nedá s uznaním Kosova porovnávať, z
hľadiska správneho, obe oblasti Gruzínska už bezpečnostne kontrolujú ruské jednotky (Balmasov,
2010). Rozdiel je najmä v tom, že ruská strana nemala a nemá na rozdiel od medzinárodného
spoločenstva ani krátkodobý po-okupačný scenár. To však vždy patrilo k sovietskemu/ruskému
silovému koloritu. Aj na Kaukaze však prevládlo politikum plus hrubá sila nad medzinárodným právom.
Problém sa začne komplikovať aj v Kosove, ak EÚ neprijme a neuplatní strednodobú a
dlhodobú stratégiu voči novému štátu.
Dôsledky vzniku štátu Kosovo pre EÚ
Väčšina členských štátov EÚ, okrem Slovenska, Španielska, Rumunska, Grécka, a Cypru
nezávislosť Kosova uznala (Parliament calls on all EU countries to recognise Kosovo, 2010). Štáty,
ktoré Kosovo neuznali, majú veľmi závažné či menej závažné problémy s národnostnými
menšinami na svojom území. Španielska vláda sa dlhodobo borí so separatistickou baskickou ETA,
oveľa prijateľnejšia je pozícia Katalánska, ale aj tak požaduje od centra viac právomocí. Problém
etnicky rozdeleného Cypru sa odzrkadľuje nielen na úrovni bilaterálnych grécko-tureckých vzťahov (a
samozrejme cypersko-tureckých vzťahov), ale aj na úrovni EÚ. Slovensko a Rumunsko majú zasa
problémy rôzneho stupňa s maďarskou menšinou; v SR sa vágne zatiaľ hovorí o kultúrnej autonómii
Maďarov, v Rumunsku ešte vágnejšej o asymetrickej autonómii. Príznačné však pre obe politické scény
je existencia lojálnej etnickej politickej sily voči centrálnej vláde. V posledných dvoch rokoch má na
Slovensku dokonca výraznejší vplyv ako v Rumunsku. Paradoxom na druhej strane je, že prezident
Rumunska si maďarsky hovoriace etnikum získal viac ako jeho slovenský náprotivok.
Ak sa však vrátime k meritu veci a pokúsime urobiť paralelu medzi procesom nezávislosti
Kosova a etnickými enklávami v spomínaných krajinách, prídeme k záveru, že podobný scenár sa v
uvedených krajinách nenaplní. V prvom rade preto, lebo v spomínaných krajinách sú konsolidované
demokracie, krajiny sú členmi NATO a EÚ. Sú zároveň politickými, ekonomickými a kultúrnymi
partnermi, pričom takmer absolútna absencia hraníc v EÚ, spoločná legislatíva a štandardy
nedávajú separatizmu prakticky žiaden zmysel. Výnimkou by mohol byť Cyprus, ale ani budúci
scenár nebude zrejme separatizmu priať. Turecko je už vo fáze predvstupových rokovaní
(zdĺhavých, nejednotných a komplikovaných) o vstupe do EÚ, pričom napokon pravdepodobne
vymení podporu svojej menšine na Cypre za vstup do EÚ. Táto logika sa môže aplikovať aj pri
vyriešení problému Kosova. Susednému významnému hráčovi – Srbsku prisľúbili vstup do EÚ a
rovnako tak aj BaH, Chorvátsku (je v prístupovom procese najďalej, dokonca aj vo vymožiteľnosti
práva) a Čiernej Hore. Všetky tieto krajiny sú vlastne už rôznou mierou zapojené do integračného
procesu. Po vyriešení inštitucionálnych problémov sa do procesu zapojí Macedónsko a napokon aj
Kosovo. V dohľadnom čase zrejme všetky štáty bývalej sa opäť ocitnú v spoločnom priestore, bez
hraníc, so spoločnými zákonmi. O spoločnej mene je vzhľadom na globálnu a európsku dlhovú
krízu predčasné hovoriť; snaha prijať spoločnú menu bude nepochybne vyššia zo strany nových
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členov ako zo strany EÚ. Teoreticky a právne sú citované znaky spoločného priestoru prvkami
štátnosti; preto by problém menšín nemal byť kľúčový (Wolff, 2010).
Napriek tomu, situácia nemusí byť tak jednoznačná, ak EÚ prijatie uvedených štátov oddiali
alebo samotná EÚ bude mať problémy s kompetenciami a konsolidáciou vlastných inštitúcií.
Príkladov je v posledných rokoch viac: slepá ulička po Zmluve z Nice a troch ne/úspešných
referendách, ekonomická, finančná a dlhová kríza v eurozóne; to všetko napokon dokáže urobiť z
EÚ obra na hlinených nohách. Inštitucionálne problémy EÚ môžu následne doviesť problém
Kosova alebo iných zmiešaných oblastí ako tému roka na stôl etnickej agendy. Ak sa zamyslíme
nad dejinami, osobitne nad dejinami ekonomických kríz, tieto krízy takmer vždy posunuli do
popredia politických extrémistov. Konkrétne môžeme citovať boľševické Rusko, nacistické
Nemecko, autoritárske hortyovské Maďarsko, salazarovské Portugalsko, frankistické Španielsko
atď. Napokon, aj hviezda samotného Miloševiča vyšla spoza mraku ekonomickej nestability. Ešte v
tejto súvislosti chceme zdôrazniť, že geopolitická architektúra Európy, po skončení studenej vojny,
bola v prvom rade dielom politiky sily USA a len okrajovo dedičstvom ZSSR. ZSSR už neexistuje
a USA už nemajú politickú silu z konca druhého a začiatku tretieho tisícročia. Vojny v Iraku a v
Afganistane ako aj finančná kríza znížili prestíž USA vo svete. Naproti tomu, ich odveký rival v
Európe, Ruská Federácia získava v Európe krok za krokom terén vďaka svojej ekonomickej
expanzii prírodných zdrojov, vďaka energetickej závislosti vnútenej ešte v 60.rokoch viacerým
európskym krajinám. RF však získava pozície aj viac menej diskrétnymi politicko-strategickými
dialógmi podloženými surovinovými argumentmi, najmä s Nemeckom (vždy spoľahlivý
ekonomický partner Ruska počas kríz v Európe bez ohľadu na ideológiu), ale aj s Francúzskom, od
čias De Gaulla. RF bola dokonca pozvaná na summit NATO v Lisabone v novembri 2010, kde sa
diskutoval aj problém európskeho protiraketového štítu (Trenin, 2010). Nie je vylúčené, že napokon
„čierny peter“ zostane v rukách ČR a Poľska …
Dve veličiny v „európskej rovnici“ , RF a USA spôsobujú, že EÚ vedie ťažšiu a
komplikovanejšiu zahraničnú politiku, ba dokonca ad hoc aj neúčinnú. V skutočnosti EÚ ako aktér
v systéme medzinárodných vzťahov nemôže napríklad vystupovať ako superveľmoc po vzore USA.
Sú viaceré dôvody, pre ktoré EÚ nemôže dôsledne uplatňovať globálnu zahraničnú politiku.
Jedným z nich je jej súčasná inštitucionálna organizácia, ale i byrokracia. V oblasti obrannej a
bezpečnostnej politiky ako aj v oblasti tajných služieb, EÚ prakticky výhradne závisí od NATO a
pozície USA v tejto aliancii. V 90.rokoch XX.st., keď začala dezintegrácia bývalej Juhoslávie,
politické vedenie NATO malo na rozhodovanie aliancie azda rovnaký vplyv ako vláda USA …
Vplyv vedenia začal postupne upadať po nenaplnení vojenských cieľov aliancie v Afganistane.
Washington však zostal v otázkach politického a strategického rozhodovania v NATO na tej istej
pozícii. Kosovo nie je členom EÚ ani NATO, ale v krátkodobom horizonte od týchto zoskupení
bytostne závisí. Od ďalšieho vývoja štátnosti v Kosove, od dopadu kosovského fenoménu na
podobné etnicky zmiešané oblasti v Európe, závisí aj vývoj EÚ a najmä jej potenciálna schopnosť
udržať si spoľahlivý a lákavý finančný a politický systém.
Druhou podmienkou je skoncipovanie realistickej európskej zahraničnej politiky voči
susedom na okraji európskeho spoločenstva, ktoré majú problémy podobné Kosovu, pričom sa
môžu začať točiť v začarovanom kruhu. Ekonomická kríza a okrajovo i politická kríza vo vnútri EÚ
sa negatívne odzrkadlí určite aj v Kosove, ba i v celej oblasti. To samozrejme v prípade, ak
nestabilná moc v Prištine nepoloží pevné základy vnútroštátnych inštitúcií, ktoré by boli
dôveryhodné a schopné viesť nový štát vo vyznačených stopách európskej integrácie. Ak tento plán
nevyjde, ak EÚ bude naďalej otriasaná od základov finančnou krízou kvôli viacerým slabším
členom, vtedy bude možné tvrdiť, že potenciálne politicko-etnické a vojenské konflikty visia ešte
nad EÚ ako Damoklov meč (Dzihic, Kramer, 2009).
Skúsenosti dokazujú, že regionálny konflikt môže negatívne ovplyvniť celý región z
viacerých hľadísk: právnych (z hľadiska medzinárodného práva), geopolitických, ekonomických,
sociálnych, bezpečnostných, kam zaraďujeme aj potenciálne ohniská etnického alebo náboženského
extrémizmu (Hobsbawm, 1998).
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Z hľadiska medzinárodného práva, prijaté riešenie konfliktu v Kosove bolo anomáliou, ak
nie vážnou odchýlkou od Charty OSN a od medzinárodného práva. Ako sme už uviedli, riešenie sa
zakladalo viac na politickom než právnom pozadí. Ozvali sa hlasy v akademickom i politickom
prostredí, ktoré tvrdia, že vytvorený precedens sa môže zopakovať. Z nášho hľadiska, prípad sa
môže zmeniť na potenciálny konflikt, v ktorom jedna zo strán bude mať oporu v anglo-saskom
práve, ktoré na rozdiel od rímsko-germánskeho práva považuje precedensy za zdroje práva. K takto
chápanému precedensu sa môžu utiekať nacionalisti v Škótsku a severnom Írsku, hlavne vtedy, ak
by sa ohniská etnického napätia opätovne rozhoreli. Už len dodávame, že Veľká Británia bez výhrad
plán USA na riešenie situácie v Kosove (aj v Iraku, čo je dnes v Londýne predmetom vyšetrovania)
podporovala. Logické rozšírenie takej interpretácie by mohlo byť jedného dňa aktuálne aj na ostrovoch.
Reálne povedané, oddelenie od Veľkej Británie nie je také ľahké, pretože ak Škótsko napríklad získa
nezávislosť, nebude môcť byť členom EÚ a ani geopolitická situácia mu tento luxus neumožní.
Napokon, rozhodnutie o delení či vstupe prechádza cez EÚ, takže tento scenár nie je pravdepodobný.
Skôr sú pravdepodobné rozširovania právomocí regionálnych parlamentov alebo adaptácia práv
národnostných menšín na viac ako štandardné postavenie menšín po vzore Fínska (Beary, 2010).
Členské krajiny, už pred vstupom do EÚ, museli jej postúpiť časť svojej suverenity, a to
dokonca aj z hľadiska vnútornej politiky. Samozrejme toto postúpenie je zakotvené aj v ústavách
členských krajín. Pokiaľ ide o bezpečnostnú politiku, drvivá väčšina z nich je aj členom NATO,
preto delenie z etnicko-politických dôvodov je nepravdepodobné.
Ak otvoríme tému ekonomických výhod, pri Kosove to vôbec neplatí. Ani jeho prípadná
ekonomická prosperita neurobí z neho štát so silnou konkurencieschopnosťou. Ani konečné riešenie
konfliktu a štátnosť, ktoré finančne podporuje EÚ, neovplyvnili rozširovanie ani rozvojovú politiku
EÚ. Kosovo s 2 miliónmi obyvateľov nemôže ekonomicky ovplyvňovať Európu. Výnimkou, ktorá
potvrdzuje pravidlo, je však Singapur. Štát s 5 miliónmi obyvateľov je závideniahodne geograficky
situovaný v juhovýchodnej Ázii. Tempom ekonomického rozvoja a špičkovou technikou je
porovnateľný s Japonskom. V konečnom dôsledku však nie je schopný zásadne ovplyvniť
ekonomický vývoj jhv. Ázie. Len silné a stabilné štáty dokážu diktovať ďalší vývoj v regióne;
momentálne, počas finančnej krízy, však platí v EÚ iné konštatovanie. Veľké krajiny s vysokým
deficitom verejných financií ovplyvňujú veľmi negatívne tak EÚ ako aj región.
Hans Morgenthau vo svojej práce “Politics among nations. The Struggle for Power and Peace”
identifikuje prvky, ktoré definujú silný štát. Má na mysli najmä geografickú polohu, prírodné zdroje,
schopnosť operatívnej vojenskej a obrannej prípravy, počet obyvateľov, morálny charakter národa
(občanov), kvalita a efektivita diplomacie, kvalita a spôsob vlády. Tieto prvky predurčujú štát k
významnému postaveniu na medzinárodnej scéne. Uvedené prvky sa dajú aplikovať pri analýze
ktoréhokoľvek štátu, pri určovaní jeho potenciálu, ako aj pri odhade tendencií a perspektívy ďalšieho
strednodobého a dlhodobého vývoja (Morgenthau, 1975). Kosovo v týchto úvahách nemá miesto.
Kosovo však dokáže ovplyvňovať negatívne, konkrétne bezpečnosť a sociálny rozvoj štátov,
s ktorými susedí. To je hlavné riziko, ktoré robí z Kosova potenciálne ohnisko konfliktu (Albanian
Terrorism and Organized Crime ..., 2003).
Celé storočia bol západný Balkán nárazníkovou zónou európskych i mimoeurópskych
veľmocí. V XIX. st. bolo Srbsko a neskôr Bulharsko trójskymi koňmi ruskej politiky, Turecko túto
oblasť pustilo ako poslednú: Bulharsko napríklad získalo úplnú nezávislosť od Turecka až v r. 1908.
Po rozpade Juhoslávie a po vypuknutí kosovsko-juhoslovanského konfliktu sa vytvorili perfektne
organizované pašerácke siete zbraní, drog, ľudí a ľudských orgánov určených prijímateľom v
západnej Európe, Izraeli atď. Organizovaný zločin, tolerovaný dokonca aj miestnou justíciou, bol
základným zdrojom príjmov UCK; o tom svedčí aj beztrestné pôsobenie albánskeho drogového
bossa v SR. Po bezprostrednom vyhasnutí konfliktu sa tieto ilegálne aktivity v regióne zastavili. To
však neplatilo o Kosove, pretože z konfliktu vyšlo zruinované. Od decembra 2009, občania Srbska
cestujú do EÚ bez víz, čo primälo časť obyvateľstva Kosova, aby požiadali o srbské občianstvo.
Tento moment mal veľmi pozitívny efekt, pretože ľudia, ktorí sa venovali pašovaniu, sa dostanú v
západnej Európe k riadnemu, aj keď len sezónnemu zamestnaniu. Nie sú to však systémové riešenia;
nie je ním ani financovanie kosovskej štátnosti EÚ a Kosovčami v zahraničí.
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Počas konfliktu na Balkáne, ktorý bol najtragickejším dôsledkom rozpadu Juhoslávie,
mohamedánom z oblasti poskytovali materiálnu a vojenskú pomoc rôzne extrémistické organizácie
z Blízkeho východu (Viaceré arabské štáty však nový štát Kosovo neuznali.). Podľa vzoru Hamasu
alebo Hezbolláhu tieto organizácie financovali nielen výzbroj UCK, ale aj škôlky a nemocnice, čo
vyvolalo v radoch miestnych mohamedánov vlnu sympatií. UCK aj násilie tak získali v Kosove
nových adeptov. Oblasť Balkánu je dôležitým centrom wahabitu pre islamských pravoverných v
Európe. V tejto oblasti pôsobia viaceré legálne aj ilegálne organizácie; na niektoré z nich majú
dosah aj štruktúry a frakcie Al-Quaedy (Delisi, 2008). Pozornému divákovi neušli posolstvá,
adresované Al-Quaedou tuniskej protestujúcej mládeži. Boli výslovne protifrancúzske a rozvášnení
Tunisania v tomto duchu aj konali : rabovali najmä v obchodoch s francúzskymi nápismi a tovarom.
Francúzsko a pro-francúzski Tunisania žali len to, čo zasiali. Uplatňovanie ľudských práv, na
ktorých si Francúzsko tak zakladá, v Tunisku končilo na výhodnej ekonomickej spolupráci s
bývalou diktatúrou Bena Alího. Korunu všetkému nasadila nová ministerka zahraničných vecí
Francúzska, ktorá dokonca obhajovala svoj naivný a amatérsky postoj voči bývalému tuniskému
diktátorovi vo francúzskom parlamente.
EÚ je samozrejme zainteresovaná do stability a prosperity Kosova. Tento vzťah je však obrátený
naruby, pretože predstavuje len amalgám voči kultúrnym, náboženským, etnickým a sociálnym aspektom,
pričom mnohé z týchto aspektov jasne protirečia štandardom platným v EÚ, USA a OBSE.
Napríklad zákaz nosenia islamskej šatky na verejnosti, prijatý vo viacerých štátoch EÚ; ešte
škodlivejším je zabehnutá netransparentnosť financovania európskych projektov v regióne,
napríklad aj v Bulharsku. To sú len dva izolované prípady, ktoré vyvolávajú znepokojenie Bruselu.
EÚ aj naďalej zrejme pracuje na uznaní štátu Kosovo a vyvíja pre to adekvátnu aktivitu. EÚ je už
príliš zaangažovaná v Kosove, aby ho mohla nechať napospas medzinárodnej izolácii. Ak by
projekt Kosovo padol, padol by aj mýtus o silnom zahranično-politickom vplyve EÚ, o údajne
efektívnej zahraničnej politike EÚ a o schopnosti EÚ vyriešiť vlastný problém (Kosovo under UN
Security Council Resolution 1244/99, 2010).
Politické uznanie Kosova a jeho podpora sú podľa európskej exekutívy azda
najreprezentatívnejšie výsledky zahraničnej politiky EÚ, hneď po rozšírení na 27 členov.
Zastavenie paľby v Gruzínsku a prijatie Sarkozyho plánu v auguste 2008 z hľadiska medzinárodnej
dôležitosti však vznik štátu Kosovo zatienili. Zahraničná politika spoločenstva začala naberať svoje
obrysy až po ratifikácii Lisabonskej zmluvy. Členské štáty majú už vytvorené politické štruktúry,
ako aj ich implementačné mechanizmy. Napriek tomu, dôjde určite ku zmenám, pretože nedávna
finančná kríza zanechala pečať na finančných možnostiach viacerých významných štátov eurozóny.
Môže to mať vážne dôsledky aj na centrálny rozpočet Únie, pretože Španielsko, Belgicko a
Taliansko to najhoršie zrejme ešte len čaká. Na programe dňa je šetrenie verejných výdavkov.
Vyššie analyzované javy určite ovplyvnia aj spoľahlivosť zahraničnej a susedskej politiky EÚ, ale
aj geopolitiku na európskom kontinente v budúcom desaťročí.
Geopolitika Európy v XXI.st.
Geopolitika XXI.st. v Európe sa bude opierať o schopnosť EÚ vnútorne sa konsolidovať,
aby sa mohla stať dôležitým aktérom v medzinárodných vzťahoch, najmä v krízových európskych
či mimoeurópskych oblastiach. Momentálne je EÚ skôr nečitateľná, najmä z hľadiska politickej
konsolidácie a z hľadiska finančnej námahy tvárou v tvár k ekonomickej kríze. Aj keď v Európe
majú svoje záujmy najmä USA, RF a samozrejme Turecko, geopolitika starého kontinentu nebude
podliehať významnejším zmenám. Väčšina európskych štátov má bohaté demokratické a kultúrne
tradície, dlhodobo stabilné štátne zriadenia a pomerne úspešne sa vyrovnávajú s procesom
globalizácie. Aj keď pripustíme, že môže dôjsť k ďalším politickým alebo národnostným krízam v
niektorých oblastiach, predsa k vzplanutiu etnických konfliktov po vzore Kosova nedôjde. Osobitné
miesto bude patriť rozširovaniu európskeho domu. EÚ má už bohaté skúsenosti s integráciou krajín
bývalého východného bloku. Politický vplyv USA na strednú Európu bude zrejme klesať, čo však
nemožno jednoznačne povedať na okraj amerických záujmov na Balkáne a v oblasti Čierneho (a
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Kaspického) mora. EÚ musí stanoviť pevnejšiu líniu zahraničnej politiky a nájsť mechanizmy a
prostriedky na jej implantáciu a koordináciu. USA sú silnejšie v rovine politickej a strategickej
(NATO) ako ekonomickej. EÚ však už má potrebné kapacity, aby NATO viedla. Chýba jej však
adekvátny a účinný mechanizmus v samotnej centrále EÚ, ktorý by voči hlavnému veliteľstvu
perfektne plnil potreby aliancie. Tendencia je daná a príkladom je spätný chod Francúzska, ktoré sa
po takmer 50 rokoch vrátilo do veliacich štruktúr NATO. Francúzsko si až príliš dobre uvedomilo,
že samostatná európska obranná a bezpečnostná politika, ktorú tak silno forsíruje, vedie cez NATO.
Jednotu EÚ a NATO dokazujú viaceré členské štáty participujúce na vojenskej misii v Afganistane.
V zásade EÚ si udrží svoje transatlantické partnerstvo s USA; determinujú ho dlhé vzájomné
politické, vojenské a diplomatické tradície.
Napriek istým problémom v bilaterálnych vzťahoch, úroveň partnerstva nebude klesať.
Môže samozrejme dôjsť k trecím plochám, ak sa EÚ alebo USA zrieknu niektorých svojich
základných prvkov zahraničnej politiky. Podstatné zmeny však nebudú, pretože EÚ nemá
momentálne bližšieho a silnejšieho partnera v zahraničnej a bezpečnostnej politike ako USA. To je
hlavný dôvod európskeho primkýnania k tomuto rokmi preverenému partnerstvu. RF je druhou
veľmocou európskeho priestoru, ktorá – zatiaľ bez hmatateľných výsledkov – chce byť dlhodobým
životaschopným a konštantným partnerom EÚ. Z času na čas presvitá naivná predstava Moskvy, že
by vedela nahradiť EÚ jej transatlantického partnera. Až absurdne dokonca pôsobí myšlienka, že
RF by vedela USA odstrániť z bezpečnostnej architektúry Európy.
RF si stále predstavuje Európu od Atlantiku až po Ural, tak ako Turecko od Atlantiku po
Istanbul. Moskva tvrdohlavo presadzuje vytvorenie bezpečnostnej aliancie v európskom priestore
bez štruktúr NATO, a najlepšie bez USA.
Za prvých desať rokov tohto tisícročia, vďaka úžasnému ekonomickému boomu a vysokým
cenám ropy a iných prírodných zdrojov, Rusko sa vyšvihlo medzi 10 najväčších ekonomík sveta.
Pozoruhodný skok, ak vezmeme do úvahy, že koncom 90.rokov XX.st. bolo Rusko medzi prvými
40 ekonomikami sveta. Rusko začalo objavovať výhody a vychutnávať úspechy trhovej ekonomiky,
ako aj svoje vlastné tromfy: vynikajúcu geografickú polohu, veľké rezervy ropy, zemného plynu a
nerastných surovín, zbližovanie s Čínou ad hoc. Na zbližovanie RF a Číny USA však efektívne
reagujú, a to na najvyššej úrovni. V priebehu desaťročí sa RF stane zrejme najväčšou ekonomickou
regionálnou veľmocou (Petersen, 2008).
Rusko-európske vzťahy prešli v posledných desiatich rokoch pozitívnymi zmenami. Predsa
však existuje množstvo rozdielnych názorov a prístupov, ktoré čaká kryštalizácia. Sú to veľmi
citlivé politické a ekonomické body: zmrazené konflikty v bývalom sovietskom mocenskom
priestore, trasovanie a spôsob dodávok ropy do Európy (najmä cez Ukrajinu), zmluva o
konvenčných silách v Európe, vypovedaná ruskou stranou v r.2007 ako dôsledok rozhodnutia USA
inštalovať protiraketové štíty do východnej Európy. Tieto nevyriešené chúlostivé otázky pritom
môžu vzplanúť za istých okolností v tú najnevhodnejšiu dobu a ohrozia aj vzájomne ťažko
odsúhlasené výhody z posledných desiatich rokov. Ako sme už uviedli, európska zahraničná politika
nie je ešte úplne konsolidovaná, aj vo vzťahu k RF. Príčinou nevyriešených problémov sú radikálne
postoje jednej či druhej strany. Ekonomické údaje však musia uviesť oboch aktérov do reality. 50%
ropy a 40% zemného plynu prichádza do EÚ z Ruska. Obe strany sú teda « odsúdené » na štandardné
bilaterálne vzťahy a dobrú susedskú politiku. Pritom viaceré náhle konflikty mohli byť včas
odstránené alebo aspoň signalizované. Bolo to tak v prípade prerušenia dodávok plynu (hoci tu skôr
Ukrajina bola hlavným vinníkom), v prípade gruzínsko-ruského konfliktu atď (Ebel, 2009).
Z hľadiska geopolitickej perspektívy, dodávky plynu a ropy z Ruska do Európy zvyšujú jeho vplyv.
Veľké projekty plynovodov z Baltického mora a zo Stredozemného mora vytvárajú ďalšiu závislosť EÚ.
Uspokojiť sa však s myšlienkou monopolného dodávateľa uhľovodíkov by bolo pre takého
významného hráča ako EÚ cestou do ekonomickej závislosti a neskôr nielen ekonomickej. Preto by
mali byť prioritou EÚ aj iné trasy, najmä z Kaspického mora. Rusko sa takisto stavia negatívne k
budovaniu vojenských infraštruktúr NATO vo východnej Európe, najmä v ČR a Poľsku. Základne
USA v Rumunsku a Bulharsku vzalo Rusko už len na vedomie, azda preto je také alergické na antiraketové štíty v ČR a Poľsku. Medzi EÚ a Ruskom vládne nedôvera najmä v bezpečnostných
168
problémoch. Generujú ju ambície a úmysly Ruska, stať sa hlavným bezpečnostným partnerom EÚ,
čo by automaticky znižovalo rolu USA na kontinente. Akokoľvek závratný by bol ekonomický vývoj
Ruska, Rusko nezíska v strednodobom ani v dlhodobom horizonte privilegované bezpečnostné
partnerstvo EÚ. Nedosiahne vplyv USA, a to nielen z čisto vojenských a mocenských dôvodov, ale aj
z hľadiska vnímania demokracie vo vnútri štátu. Rusko nebude významnejšie ovplyvňovať
geopolitiku Európy a zrejme si je toho aj vedomé. Preto sa snaží hrať vysoko individuálne vysokú hru
najmä s dvomi najväčšími aktérmi EÚ – s Nemeckom a Francúzskom (Smith, 2010).
Turecko je voči EÚ v inej situácii ako Rusko. Z hľadiska prepravy surovín a koridorov od
Kaspiku až po Čierne more je Turecko dôležitým ekonomickým a strategickým partnerom. Turecko
už otvorilo predvstupovú agendu, ale naráža najmä na odpor Francúzska. Francúzsko je kategoricky
proti vstupu Turecka do EÚ, najmä z obavy pred tureckým tovarom a neúmernému zaťaženiu
rozpočtu, na ktorý Francúzsko výrazne prispieva. Turecko navyše neuznáva Cyprus, plnoprávneho
člena EÚ, nevedie štandardnú národnostnú politiku atď. Vzorová tímová turecko-európska
spolupráca sa aplikuje len pri riešení kríz na Blízkom východe, pri rokovaniach s Iránom, ako aj pri
budovaní alternatívnych ropných koridorov z Blízkeho východu a Kaspiku do Európy. Turecko
prechádza postupným procesom modernizácie inštitúcií, ale investície do hospodárstva sú
poddimenzované kvôli vysokému percentu rozpočtu vydávaného na zbrojenie a boj proti terorizmu.
Turecko môže byť preferovaným bezpečnostným partnerom EÚ, aj keď nebude v krátkodobom
horizonte ešte členom EÚ. Turecko nikdy nebude veľmocou, a to ani regionálnou. Má však
vplyvných susedov a relatívne nenaštrbenú históriu bilaterálnych vzťahov s Ruskom od 1.svetovej
vojny. S Ruskom má dokonca i viaceré politické a bezpečnostné záujmy – boj proti náboženskému
extrémizmu, rovnako narušené vzťahy s Izraelom atď. Turecko si uvedomuje, že impulzom pre
rozvoj hospodárstva a zamestnanosti by bol najmä export a obnova výrobných technológií. Jeho
momentálne ekonomické možnosti a schopnosti sú obmedzené (Dahlman, 2004).
Geopolitické problémy Európy sa netýkajú jedného štátu či jedného regiónu. Spoločnými
výzvami XXI.st. bude imigrácia, najmä ilegálna, medzinárodný terorizmus, organizovaný zločin,
klimatické zmeny a prírodné katastrofy. Odpoveďou na tieto výzvy môže byť len akceptovateľná,
spravodlivá vnútorná organizácia EÚ a jej konsolidovaná zahraničná politika.
Záver
Konflikt v Kosove bol politicko-etnickým konfliktom, s mimoriadnym emocionálny
nábojom z oboch strán. Emocionálne pôsobí aj dnes, najmä na európsku verejnú mienku, po zistení
nových skutočností.
Balkán bol vždy sudom s pušným prachom latentných konfliktov a rozdelenie Juhoslávie
bolo len povestnou iskrou.
Najprv mali národy bývalej Juhoslávie riešiť ekonomickú stabilitu a historické zmierenie.
Namiesto toho nastal zbytočný bratovražedný a etnický boj, ktorý skončil vznikom samostatných
republík. Ekonomický rozdiel medzi nimi je viditeľný na prvý pohľad. Aj to svedčí o tom, kto na
koho v starej Juhoslávii doplácal. Kosovo, ktoré vzniklo ako dôsledok posledného krvavého
etnického konfliktu na území bývalej Juhoslávie, však ešte stále vyvoláva otázniky. Otázniky
ohľadom vzniku Kosova vyplývajú z uplatneného medzinárodného práva a z mechanizmov
zainteresovaných medzinárodných organizácií voči tejto provincii. Z tohto hľadiska sú
nepochopiteľné niektoré medzinárodno-právne kroky OSN, legislatívneho fóra USA i samotnej
Clintonovej administratívy. Želania, politické rozhodnutia a možno aj individuálne či skupinové
finančné záujmy stáli v prípade vzniku Kosova nad medzinárodným právom. Na bombardovanie
Belehradu nedala súhlas BR OSN; vlastne bombardovanie nebolo ani potrebné. Rozmiestnenie
medzinárodných síl pod záštitou OSN, OBSE a niektorých európskych štruktúr by bolo bývalo z
tohto hľadiska ďaleko účinnejšie a nekrvavé. Okrem toho, neboli využité všetky mechanizmy, ktoré
OSN pri riešení iminentného vojenského konfliktu má k dispozícii. Čína bola najväčším odporcom
nasadenia síl NATO v Kosove, považujúc problém Kosova za vnútornú záležitosť Juhoslávie. S
odstupom času to pripadá ako opatrné a prezieravé, veď nedávno sa o náznak nezávislosti s ďaleko
169
miernejšími prostriedkami, pokúsil Tibet. Čína však preukázala ďaleko väčšiu rozvážnosť ako USA
a dôsledne aplikovala základné zásady Charty OSN. Treba ešte podčiarknuť, že aj Rusko
nehlasovalo proti všetkým rezolúciám namiereným proti Juhoslávii.
Teritoriálnymi stratami Srbska a naservírovaním precedensu Rusku pri pacifikácii
Gruzínska bol konflikt v Kosove vyhlásený za « ukončený ». Kto však zaručí, že podobný scenár sa
nezopakuje v Náhornom Karabachu či v Podnestersku...
Hlavná zodpovednosť za vývoj nového štátu Kosovo leží na pleciach jeho nových vládcov.
Zdá sa však, že tí boli lepšími pokútnymi obchodníkmi ako politikmi. Svedčia o tom aj posledné
nedemokratické voľby v Kosove. Kiež by by boli naozaj poslednými nedemokratickými ... Prijme
EÚ štát s takými vládcami do EÚ? Ako dokážu Kosovo a Srbsko spolupracovať, aby raz vstúpili do
EÚ? Srbsko, aj vo svetle posledných informácií, sa integruje do EÚ zrejme skôr. Štát Kosovo zatiaľ
žije z entuziazmu a z peňazí EÚ, USA a zo šľachetných darov albánskych emigrantov. Kosovo
váhavo buduje svoje demokratické inštitúcie a štátnosť; je len prirodzené, že viaceré štáty ho ešte
neuznali. Nielen tie, ktoré sa obávajú etnických konfliktov na svojom území.
Kosovo, aj napriek svojmu ďalšiemu komplikovanému vývoju, európsky priestor zrejme
nedestabilizuje a nenaruší ani ďalšie rozširovacie plány EÚ. Istým rizikom je len ohrozenie stability
niektorých jeho susedov so zmiešaným etnikom. Kosovo nemá inú cestu ako aplikovať európske
štandardy; otázne je, či to dokáže so súčasnou vládnou garnitúrou. Priština by mala byť náročná na
seba samu pri zavádzaní demokratickej spoločnosti, ale nástojiť aj na nepretržitej metodickej a
logistickej pomoc nielen od EÚ, ale najmä od USA, ktoré majú už na území Kosova vojenskú
základňu. Aktéri, ktorí si želali nezávislosť Kosovo, dosiahli svoj cieľ. Bude veľmi zaujímavé
pozorovať, ktorý z aktérov bude mať na rozvoji nového štátu najväčší záujem. Osobitným
predmetom skúmania by mala byť doteraz nevídaná snaha veľmoci ako USA o osud málo
významnej provincie, ďaleko od ich hraníc. USA sa síce angažovali aj pre menšie územia, ale v
tých mali skôr záujem na zmene vlády alebo sa nachádzali ante portas americanas (Granada,
Panama) (O´Louglin, Kolossov, 2002).
Paradoxom pritom stále zostáva, že spoločenská a ekonomická konsolidácia nového štátu
Kosovo stále závisí od plánov a možností EÚ. EÚ, ktorá pôvodne nebola rodičom Kosova (resp.
bola rodičom s nezvládnuteľným dieťaťom), sa stala jeho tútorom. Urýchleniu procesu
demokratizácie v Kosove by prospelo odstúpenie väčšej časti suverenity Európskej únii. Tým by sa
riešil aj súčasný deficit legitimity súčasných kosovských vládcov. V Kosove dnes viac ako inde
platí balkánske príslovie: Aj keď moc páchne, nenechá ťa, aby si ju nechal.
170
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MΩMOΣ VI. Proceedings of the 6th meeting for the researchers of Prehistory. Raw
materials and trade, Kőszeg, 19-21 March, 2009, Editor: Gábor Ilon, Published by
Field Service for Cultural Heritage, Budapest and Vas County Museums’
Directorate, Szombathely, published at Szombathely, 2009, 453 p., black &
white and colour figures; ISBN 978-963-9827-06-6; ISSN 0133-8080
Diana-Maria SZTANCS, PhD Student∗
The volume publishes the papers of the 6th National
Archaeological Conference of Prehistory organized in the city of
Kőszeg between March 19 and 21, 2009. The organizers were the
Hungarian Field Service for Cultural Heritage (Kulturális
Örökségvédelmi Szakszolgálat) and the Vas County Museums’
Directorate (Vas Megyei Múzeumok Igazgatósága).
The theme of the conference was “Raw Materials and
Trade”. The scientific event was honoured by the presence of
foreign guests from Austria, Croatia, Ukraine, Romania,
Germany and Slovakia. Thirty-nine papers were sustained and
fourteen posters were presented.
The volume begins with an Introduction (both in
Hungarian and English) where the editor, Gábor Ilon, presents
the event and express thanks to institutions that supported the
scientific manifestation.
The first article (p. 17-34) belongs to Ďurkovič Éva – A
Kisalföld kora vaskori kapcsolatainak kérdése néhány fibulatípus
tükrében (The question of Early Iron Age contacts of the Small
Hungarian Plain in view of some fibula types). The paper presents the contacts between Hallstatt
communities in the South-eastern Alpine regions. The study has as comparative base the spreading of
the fibulae in the Small Hungarian Plain and their connection with farther areas such as Northern Italy
and the Central Balkan region. Besides the elements of costume, the author mentions also the
significance of the similar ideologies concerning spinning and weaving or the cultic role of women. As
a proof, Ďurkovič Éva analyses the votive bone plaque discovered at Pusztafödémes (Pusté Úľany) in
Slovakia and its analogies in the Northern Italian Venetic and South-eastern Alpine Hallstatt circle.
The second article (p. 35-46) belongs to Fekete Mária – Bronzművesség, kincsleletek,
kereskedelem. Kérdések a Dunántúl késő bronzkori gazdaságáról és társadalmáról a homéroszi
eposzok tükrében (Bronze working, hoards, trade Questions of the Transdanubian Late Bronze Age
economy and society-in view of the Homeric epics). This analyses the objects from hoards taking
into account the passages from the “Iliad” and the “Odyssey”. The artefacts study is based on
specific object such as jewellery which could have a special significance.
∗
„Lucian Blaga” University, Doctoral Program; [email protected].
The presentation of this volume was realised during the doctoral mobility at “Eötvös Loránd” University Budapest
which is part of the SOP HRD Project /6/1.5/S/26 co-financed by the European Social Fund through the Sectorial
Operational Program-Human Resources Development 2007-2013. Translated by Diana-Maria Sztancs. English revision
by Andreea Daniela Hompoth, University of Bucharest.
173
Erika Gál signs the next article which deals with Relationships between people and animals
during the Early Bronze Age: Preliminary results on the animal bone remains from Kaposújlak–
Várdomb (South Transdanubia, Hungary) – Ember és állat kapcsolata a kora bronzkor idején a
Kaposújlak–Várdomb lelőhelyen talált állatcsontleletek tükrében (előzetes eredmények) p. 47-63.
The paper presents the preliminary archaeozoological diagnosis for the Early Bronze Age
(Somogyvár-Vinkovci culture) site of Kaposújlak–Várdomb (Transdanubia, Southwestern
Hungary). The archaeozoological remains from the site are integrated in the context of the
Hungarian Early Bronze Age. The author also takes into account the bone and antler tools
discovered in this chronological sequence from the above mentioned site.
The article A szajki (Baranya megye) koravaskori telep kulturális kapcsolatai (Cultural
contacts of the Early Iron Age settlement at Szajk-Baranya County) belongs to Gáti Csilla (p. 6478). The site no. 73 near Szajk was excavated in 2005 when, during the excavations, 217 features
were discovered. The article presents the Iron Age settlement which may be dated from the Late
Hallstatt – Early La Tène cultures. The lack of metal objects determined the archaeologist to date
the site according to the pottery discoveries. The decoration, the forms of the vessels suggest links
with the Central European region (Austria, Moravia), but also with the Balkan region. In this
context, the author mentions the possible migration routes along rivers.
Goldman György and G. Szénászky Júlia wrote the article named Adatok a szakálháti kultúra
kereskedelmi kapcsolataihoz (Data on trade relationships of the Szakálhát culture) p. 79-86. The paper
is structured on four aspects: the petrographic analyses of stone tools of the tell of Battonya-Parázs tanya;
the cultural classification of a ceramic piece from Békésszentandrás; the source route of Spondylus
jewellery from Battonya; the sources of raw materials for stone tools from Battonya-Parázs. After
presenting the results of all the four aspects analyzed, the authors conclude that the Szakálhát
communities had more intense connections with the inner regions of Transylvania along the Mureş
River, than with the main areas of the Vinča culture along the Tisza and Danube.
György László signs the next article A Baden-kultúra kapcsolatrendszere néhány speciális
tárgytípus tükrében (Contacts of the Baden culture in the light of special objects) p. 87-100. The author
presents the nature and role of the south-eastern contacts of the Baden culture taking into account four
groups of artefacts: Bratislava type bowls, anthropomorphic urns, sauce vessels and headless figurines.
The author analyses the way in which the above mentioned artefacts were spread in the adjacent area. In
order to integrate the period in the chronological limits, the author uses the typological method and
radiocarbon data which. The conclusions of the articles are: only the Bratislava type bowls indicate the
contemporary connections of the Carpathian Basin and the Aegean basin. The headless figurines
appeared in the Carpathian Basin in a phase subsequent to that in which they appeared in in the Balkans.
The sauce vessels can be divided into several varieties; their forms vary according to the region. Their
similar functions connect them. In the case of the anthropomorphic face urns, there are some difficulties
regarding the chronological variations, the large geographical distances, the lack of intermediary finds
and the different functions. The author concludes that the face urns of the Baden culture developed
locally and are not a result of the external influence.
Horváth Tünde signs the article The Intercultural Connections of the Baden “Culture” (A
badeni „kultúra” interkulturális kapcsolatai) p. 101-150. This presents a very detailed
anthropological perspective on the Late Copper Age, more exactly, Baden culture. Starting from the
idea that the Baden culture produced a dense network of connections, the author analyses the
cultural changes that appeared at the end of the Copper Age in Hungary and its adjacent areas. The
approach takes into consideration the idea of center/periphery and concludes that “despite all talent
and the geopolitically central position, the Baden complex was too young among the ancient
civilizations rooted in the Neolithic period, and was compelled to semi-periphery”. The cultural and
ethnic diversity in the Baden communities assured the openness to innovations. In this way, the
Baden civilization had an important role in the distribution of knowledge and in the transformations
that took place around the end of the Copper Age, and the author considers the cultural complex to
be a “polycentric, poliethnic community” where the innovations were integrated and where they
formed a unitary material culture. The spiritual life and linguistics are also analyzed from the
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perspective of the tools that achieved the cultural uniformity. We must mention that the paper is
very well-documented (this fact is sustained by the bibliography consulted for the theme); the
statements are always very good sustained. All the data is very well correlated with the radiocarbon
data which assured a complete perspective on the theme presented.
The next article belongs to Ilon Gábor, A kerék, a nap, a vízimadár és a napbárka késő bronzkori
kardjainkon... a kereskedelem avagy más kapcsolatok lehetséges lenyomatai? (The wheel, sun, water bird
and sun bark on Late Bronze Age swords... impressions of trade or other possible connections?) p. 151-188.
The paper presents the solid-hilted swords with the so-called sun bark motif dated to the Late Bronze
Urnfield Tradition. 218 European swords divided according to geographical and stylistic criteria were
analysed. From the former point of view, the author mentions that the bird depicted could be an avocet
(Recurvirostra avosetta L.). The author states that the “Vogelbarken-motif on the swords may have
represented the warrior afflicting death or the one meeting his death, the state in between sunset (night) and
sunrise (morning), that is, life itself, but also its cycle, thus resurrection as well”. Two ways in which this
bird was represented were identified: realistic and symbolic group. The latter also had 11 subdivisions
according to the inner representation from the “Vogelbarken”. The geographical criteria allowed the author
to define the regions of swords spreading. The direction of spreading is also taken into consideration. This
type of swords spread from north to south. The swords are considered “as elements of gift exchange/guestfriendships or even as a component of marriage or the exchange of women to strengthen the alliances
mentioned above and/or to secure trade routes, where a language constructed of uniform symbols was
applied”. The paper ends with the repertoire of the swords mentioned in the text.
Kora-neolitikus radiolarit és obszidián kőeszközök vizsgálata promptgamma aktivációs
analízissel (Promptgamma activation analysis of Early Neolithic radiolarite and obsidian stone
tools) belonging to Kasztovszky Zsolt and Tihomila Težak-Greg p.189-196 is the next article in the
volume. The researchers present an important study for raw materials trades: sources of obsidian
and radiolarite used in Croatian Early Neolithic. The importance of the study is underlined by the
fact that in Croatia there are no sources of obsidian and by the fact that the radiolarite is less taken
into account in archeometric studies. Non-destructive methods of stone tools were used. The basic
analytical method is Prompt Gamma Activation Analysis.
Kiss Viktória signs the article A fém nyersanyag-felhasználás kérdései a Dunántúl kora és
középső bronzkorában (Questions of the use of metal as raw material in the Early and Middle
Bronze Age of Transdanubia) p. 197-212. The article deals with the sources of raw materials used in
copper and bronze metallurgy, their composition and the connections between the communities.
Margret Kramer signs the article Fremdformen der Urnenfelderzeit in der Steiermark
(Idegen kerámiaformák Steierországban az urnamezős korban) p. 213-222. She analyses the
presence of the imported ceramics in the Styrian sites. The author presents some hypotheses
regarding this subject, such as: trade, marriage, slave trade etc. An important element in this
discussion is the Amber Road. The reception of foreign elements pertaining to the material culture
and their imitation in a particular context had an impact on the development of Hallstatt
communities and their material culture.
Lengyel György is the author of the article A ságvári felső paleolit telep és a kárpátmedencei Gravetti kőnyersanyagai (Lithic raw materials of the Upper Palaeolithic site of Ságvár
and the Gravettian in the Carpathian Basin) p. 223-232. This deals with the procurement of raw
materials in the Upper Paleolithic from the perspective of the Hungarian Gravettian site of Ságvár
Lyukas-domb. According to the way in which the Gravettian period was divided in Hungary, the
site belongs to the Pebble Gravettian stage and it is the eponymous site of the Ságvárian culture.
According to the author, the archaeological site “indicates a new scenario for the settlement pattern
changes and raw material procurement variability in the era of Gravettian in Hungary”. The article
presents a hypothesis regarding the relations of the gravettian communities from the Carpathian
Basin with the extra-Carpathian ones during the above mentioned period.
Marton Erzsébet signs the article Só az őskorban (Salt in Prehistory) p. 233-238 in which
she tries to analyse the role of salt in Prehistory and to outline the role played in the salt trade by the
Prehistoric groups from the regions of modern Hungary.
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The next article belongs to Mester Zsolt. Nyersanyagbeszerzés és -feldolgozás egy felső
paleolit telepen: Andornaktálya-Zúgó-dűlő (Raw material acquisition and processing at an Upper
Palaeolithic settlement: Andornaktálya–Zúgó-dűlő) p. 239-254. It presents the sources for lithic
industry from a Late Aurignacian site from Andornaktálya–Zúgó-dűlő. The raw materials used in
the above mentioned site were divided into ten categories based on their macroscopic characteristics.
Also, the technological analysis was taken into account and it led to the conclusion that “the
inhabitants of the Andornaktálya settlement worked with obsidian from areas 80–120 km distance
and with Silesian flint within a 350-400 km distance and they employed local materials. Their raw
material employment strategies led to the fact that they maintained continuous contacts with the two
areas. Judging by the technological characteristics of raw material processing, contacts may have
occurred during these expeditions”.
Nagy Marcella and Figler András sign the article Dentáliumékszerek a Gáta-Wieselburg
kultúra temetkezéseiben (Dentalium jewellery in the burials of the Gáta-Wieselburg culture) p. 255266. The article presents the adornments made of Dentalium shells discovered in Gáta-Wieselburg
sites. The authors’ conclusions are related to the provenience of the raw materials, the
archaeological context of their discovery (most of them, burials), the hierarchical status of the
persons whom these artefacts belonged to.
Németi János signs the following article named Észak-nyugat Románia grafitos kerámiájának
kérdése és kapcsolatrendszere (The question of graphitic ceramics from North-western Romania and its
network systems) p. 267-278. This is related to the use of graphite in Celtic pottery according to some
discoveries made in the North-Western part of Romania. The trade of graphite, together with prestige
objects, seems to have been a part of the network system between the Celts forms the North-East. The
author states that graphite was imported in the form of graphite ore from sites such as Passau, the
southern regions of Bohemia, Lower Austria and the western territories of Moravia. The graphitic
ceramics discovered in the researched area are rare in the burials, appears? more often in the
settlements and it seams that the pottery was used to deposit salt or to prepare food.
P. Barna Judit and T. Biró Katalin sign the article Import leletek és nyersanyagok Sormás–
Mántai-dűlő és Sormás–Török-földek lelőhelyeken (Import finds and raw materials from Sormás–
Mántai-dűlő and Sormás–Török-földek) p. 279-294. The paper is based on the discoveries of Sopot
and early Lengyel cultures from the sites of Sormás–Mántai-dűlő and Sormás–Török-földek. The
article presents the imported lithic materials and the connections with southern areas. The authors
underline the fact that this type of analysis may provide information regarding the source of raw
materials and the interactions between communities during the Neolithic.
Pásztor Emília A kereskedelem és csere ’mellékterméke’: eszmék és szimbólumok
vándorlása a bronzkori Kárpát-medencében, kozmikus szimbólumok (The ’by-products’ of trade
and exchange: migrating ideas and symbols in the Bronze Age Carpathian Basin, Cosmic symbols)
p. 295-310. The presented paper deals with the symbols which appear in the design of the material
culture (the bowls with interior decoration, pendants) dated from the Bronze Age and the way in
which the symbols were spread through the economical exchanges. Starting from this point, the
author makes an important and interesting analysis regarding the meaning of celestial symbols, their
appearance in the material culture and the way in which different areas interact using the same
symbols. This aim is realized by studying the role played by celestial bodies and by these
phenomena in the Bronze Age. For this purpose there were used the Proto-Indo-European and
Proto-Uralian cosmological reconstructions as comparative sources, the universal motifs of
mythologies and the characteristics of the folk world regarding the nature. The subject chosen by
the author is a very interesting one. The approach is very well-defined and very well documented.
All these recommend the article as a compulsory one for the researchers which study the symbolic
manifestations, archaeology, anthropology etc.
Priskin Anna A távolsági nyersanyagok felhasználása a kárpát-medencei felső paleolitikum kései
időszakában (Employment of long distance raw materials in the Late Upper Palaeolithicof the Carpathian
Basin) p. 311-320. The article analyses the lithic raw materials used in the Epigravettian sites from Hungary.
The analyzed sites are located in three regions: the Danube Bend (Pilismarót, Esztergom), the Jászság area
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(Jászfelsőszentgyörgy) and the Zemplén Mountains (Arka). The author presents the used raw materials and
draws the conclusion that it was possible that some of them may have been exploited by some “mobile
hunter-gatherer” groups or the raw materials could have been procured by long distance-exchanges
(Volhynia and Prut area, Northeastern Carpathian Basin, Sileziac or Eastern Alps).
Rácz Béla Kárpátalja paleolit nyersanyag-felhasználási régióinak elsődleges nyersanyagai
(Primary raw materials of the Palaeolithic raw material source regions in Subcarpathia) p. 321-326. The
article presents the raw materials used by the Paleolithic communities in the Subcarpahian region. Taking
into account the predominance of some raw materials, the author divided the area in four regions: The
Ungvár–Salánk-Ilosva– Saján region is the most extensive and silicate sandstone was preferred there; the
next one is Beregszász Hills-here opalites, silicated tuffs, and tuffites were used; for the Rakasz–Kisrákóc
region the characteristic raw material is Carpathian III obsidian and the last region is the KirályházaVeréce region where glassy dacite was the most common. The conclusion drawn is that the area was
abundant in raw materials which were preferred by the Paleolithic artisans.
Rajna András Bőrmegmunkálás egy törökbálinti rézkori telepen (Leather-working at a Copper
Age settlement of Törökbálint) p. 327-334. The article presents a hypothesis regarding the functionality
of some “Schlitzgrube” pits discovered in the Protoboleráz horizon from Törökbálint, Égett Valley.
Taking into account the topographical situation of the site, the characteristics of the pits and their
connections to one another, the characteristics of the animal bones and horns discovered there, the fur
and epithelial cells of animal origin in the soil samples, as well as the bark remains, the author presumes
that these are tanning pits and that there was a leather-processing workshop.
Sümegi Pál Őskori kultúrák ékszereinek elemzése-lokális és távolsági anyagok a csiga és
kagylóékszerek között (A study of the jewellery of prehistoric cultures-local and long distance
material among molluscs and Spondylus ornaments) p. 335-345. We should emphasize that this is a very
important article related to Spondylus. The shell of this mollusc was widely spread in the Neolithic and the
Copper Age because it was used as raw material for adornments. The author debates the natural
environment of the specie, the ecological requirements of this specie and the places where it could have
lived. The importance of the interdisciplinary archaeomalacological approach is also underlined. The
analysis of oxygen isotopes, radiocarbon and biogeochemical markers, the comparative study and natural
scientific evaluation of Miocene, Pliocene, Holocene sea-strata and the embedded Spondylus shells are
compulsory for a complete determination of the source of the species. The author asserts that “Without
these data only the classification of anthropogenic shell-transformation and the typology of burial goods
are possible, the sea or the source cannot be localized correctly, the postulated hypotheses go untested
and the trade routes are only drawn up randomly”.
Szabó Géza Archaeometallurgiai adatok a technológiai ismeretek és a nyersanyagok
áramlásához a Kárpátmedence késő bronzkorában (Archaeometallurgical data on the circulation of
technological knowledge and raw materials in the Late Bronze Age of the Carpathian Basin) p. 347-362.
The paper deals with exceptional products of metal-workmanship (disk-shaped belt mount of northern
origin, an extraordinary group of objects, such as helmets, vessels, cauldrons). The article also has
references to ethno-archaeology and historic evidence in order to demonstrate the way in which the
technological knowledge and raw materials used in the metal-smelting were spread.
György Szakmány, Elisabetta Starnini, Ferenc Horváth, Veronika Szilágyi, Zsolt
Kasztovszky Investigating trade and exchange patterns during the Late Neolithic: first results of
the archaeometric analyses of the raw materials for the polished and ground stone tools from Tell
Gorzsa (SE Hungary) (Technológia és cserekapcsolatok a késő neolitikumban: Gorzsa tell
telpülésről (DKMagyarország) előkerült csiszolt kőeszközök és szerszámkövek archeometriai
vizsgálatának első eredményei) p. 363-378. The paper proposes a preliminary report of the analysis
made on lithic tools from the Late Neolithic site belonging to the Tisza Culture from
Hódmezővásárhely-Gorzsa. The research benefits of the petrographic, mineralogical, physical and
geochemical analyses that could determine the precise location of the sources of raw materials. The
importance of the study is given by the fact that the possible sources of raw materials were at a
distance of 60-70 km. The study reveals the interactions between the local communities and the
inhabitants of southeastern, northwestern and southwestern regions. Regarding the way of
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procurement of the raw materials, the author supposes “gathering pebbles along river beds”. This
activity could have been easily done by organizing expeditions along the river sides. Also, the
authors mention the possibility of existence of specialized craftsmen within the human groups. The
horizontal distribution of the artefacts offers clues regarding the use of space and the existence of
some special activity areas in the site. These objectives could help the researchers to draw some
conclusions regarding the choices made by the toolmakers and tool users in terms of raw material,
tool type and use. Given that the study has not been finished yet, the authors hope that “the
reconstruction of the pattern of raw material procurement will help to clarify the complexity of
cultural connections during the Vth millennium BC in the Great Hungarian Plain”.
Szöllősi Szilvia, Havancsák Izabella, Bajnóczi Bernadett, Kreiter Attila, Szakmány György
and Tóth Mária sign the paper Archeometriai vizsgálatok szerepe a kelta grafitos kerámiák
régészeti interpretációjában (Role of archeometric analysis in the archaeological interpretation of
Celtic graphitic pottery) p. 379-394. The article deals with the analysis conducted on forty Celtic
(LT B2-C1) pottery sherds from the site of Dunaszentgyörgy (Tolna county, Hungary) which were
submitted to petrographic, X-ray powder diffraction, and X-ray fluorescence spectrometry analyses
with the purpose of establishing the similarities between the production technologies of the
ceramics, the types of tempering materials employed, the firing temperatures, and the raw materials
of the different ceramic types, especially regarding sherds from graphitic vessels. The result of the
study demonstrated that the pottery was produced locally. In respect of the graphite, it seems that
this came from trade, a possible source being the southern part of Czech.
Tankó Károly and Egry Ildikó sign the article Kelta település Győr–MénfőcsanakBevásárlóközpont területén, Az 1995. és 2006. évi ásatás (Celtic settlement excavations at Győr–
Ménfőcsanak–Bevásárlóközpont (hypermarket) between 1995 and 2006) p. 395-410. The article
presents the settlement from Győr–Ménfőcsanak-Bevásárlóközpont. The authors mention the discovery
of four pits and seven semi-subterranean buildings. The archaeological findings (most of them, pottery,
only few metal objects) date the settlement in the La Tène B1 phase, in the second half of the 4th century
B.C. The sequence in which the site was populated ends in the second half of the 3rd century B.C., La
Tène B2/C1 phase. Also, the settlements do not present a destruction level and the researchers conclude
that the Celtic community left the settlement under peaceful circumstances.
A very important contribution belongs to T. Biró Katalin Vittem, vettem, kaptam-loptam? Gondolatok
a proveniencia vizsgálatok eredményeinek értelmezése köréből (Carried, purchased, received-looted?
Observations on the interpretation of provenance studies) p. 411-420. The article analyses a special kind of
archaeological approach: provenance study on archaeological finds. The author identifies the advantages and
disadvantages of the method and concludes that the success of this work is variable, “depending on the subject,
depending on how unique, how characteristic and frequent our subject can be”.
Regenye Judit, T. Biró Katalin and Fűköh Levente sign the paper Egy neolitikus kincslelet
töredékei (Fragments of a Neolithic hoard from Felsőörs) p. 421-426. It presents a Neolithic
jewellery hoard discovered at the end of XIXth century at Felsőörs (Transdanubia, Western part of
Hungary) in a clay pot. The adornments were donated to the Hungarian National Museum of
Budapest and Veszprém Museum. The hoard was dated to the Lengyel culture. The exact number of
the shell adornments is unknown. The preserved ones belong to fossil species, such as: Anadara
(Arca) diluvii, Erato sp. and Dentalium badense Partsch, 1856.
Tóth Gábor signs the article Embertani adatok Zala megye őskorához (Anthropologische
Daten zu der Urzeit des Regierungsbezirks Zala) p. 427-449. It presents the anthropological data
regarding the Neolithic, Bronze and Iron Age discovered in the district of Zala.
Viktorik Orsolya, Farkas Csilla, Kádár Marianna, Bendő Zsolt Rézkori kőeszközök
nyersanyag-vizsgálata, petrológiai elemzése Szombathely, Ernuszt kripta – (Angolkert u.)
lelőhelyről (Raw material examination and petrologic analysis of Copper Age stone tools from the
site of Szombathely, Ernuszt crypt (Angolkert St.) p. 431-450. The paper presents the raw materials
from which three lithic tools were discovered at the western borders of Szombathely (Ernuszt crypt)
where some prehistoric (Middle Neolithic and first half of Copper Age) features were excavated in
2003. The analysis revealed that the tools were made of sandstone with litharenite (coming from the
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Sandstone Formations of the Balaton Highlands dating to the Permian Period), radiolarite from
Tűzköves Mountain of Szentgál and that the third tool was made of green schist-metabasite located
in the northern regions of the Bohemian Massif.
In the end, I ought to remark the fact that the articles are not grouped taking into account a
certain criteria. We observe the fact that neither a chronological, nor a thematic approach was used
when the content was done. In the beginning we read about the Iron Age and after few articles, we
finally, meet the Paleolithic. We notice the same situation in the case of the thematic view.
All in all, in spite of this little deficiency, we have to assert the importance of the volume in
the Central European archaeological literature. The great number of participants at this conference
and the great number of researchers who published their papers in the volume represent a
certification of the meeting’s value. The contributions put in discussion a very large amount of
archaeological data, the interdisciplinary studies having a central place. We also may remark that a
very good aspect of the volume is related to the large English summaries that are compulsory for a
scientific publication where the predominant language is Hungarian. Alongside the articles written
in English, these abstracts and summaries are very useful for foreign researchers. In conclusion, the
volume has a great value at the level of the international scientific community.
179
Andrew Dalby, Sally Grainger, The Classical Cookbook, British Museum Press,
1996, 144 p., 57 black & white figs., 31 colour figs., paperback; ISBN
071412222X; ISBN-13: 9780714122229
Melinda-Leila MOLNÁR , PhD Student∗
The Classical Cookbook, by Andrew Dalby and Sally
Grainger was first published in 1996 by the British Museum
Press, London. It was first published in paperback, with
revision in 2000, than reprinted in 2003, 2006, 20081.
The book has the following structure: Preface (p. 7),
Introduction (p. 8), 1. The homecoming of Odysseus (p. 27), 2. The
banquet of Philoxenus (p. 42), 3. The markets of the Mediterranean
(p. 56), 4. A wedding feast in Macedon (p. 70), 5. Cato’s farm (p. 82),
6. The wealth of the Empire (p. 97), 7. On Hadrian’s wall (p. 114), 8.
Supper at the baths (p. 126), A note on Greek and Latin sources of
recipes (p. 140), Further reading (p. 141), Quotations and references
(p. 142), Index (p. 143), Illustration acknowledgement (p. 144).
In Preface the authors tell the reader that this book would
like to bring something new: they gathered a collection of recipes
from the entire ancient world (from both Greek and Roman sources)
and they show how they can be recreated in the modern kitchen.
Sally Grainger found and adapted the ancient recipes while the translations and historical background were
made by Andrew Dalby. The authors thanked everyone who helped them to make this book (p. 7).
In Introduction we can read that the daily life of classical Greece and Rome can be recreated
in almost photographic details, due to pictures, written texts, and archaeological finds. In this book
the authors place real ancient recipes beside descriptions of household life and festivity from different
times and places around the ancient Mediterranean (p. 8). Each of the eight chapters is based on Greek
or Latin texts, supported by archaeological evidence. Greece evolved from a land of isolated farmsteads
and small towns (in the time when the Odyssey was composed) to a great power (p. 9).
Macedonia soon became the dominant power. It opened the gates of Middle East, bringing
new foods to Greece (citrus fruits, peaches, pistachio nuts, peacocks). Rome’s power grew and soon
it became a huge empire. Bread played a very important role in ancient Rome and Greece (p. 10).
For wealthy Greeks of about 400 B.C. the main meal of the day started in the early evening. At a
men’s dinner-party the host’s wife and young children were never seen.
The successive dishes of the main course followed one another in a definite order. First
appetisers were consumed (like fresh fruits, shellfish, roasted birds, salt sturgeon and tuna, meat
delicacies in flavoured sauces (p. 11), than maybe fine fresh fish, perhaps stewed or spit-roasted
lamb or kid. With the dessert course (known to Greeks and Romans as “second table”) wine was
∗
Babeş-Bolyai
University,
Cluj-Napoca,
Romania,
Faculty
of
History
and
Philosophy;
[email protected].
1
We would like to thank for the financial support for Ph.D. scholarship, Project co-financed by the SECTORAL
OPERATIONAL PROGRAM FOR HUMAN RESOURCES DEVELOPMENT 2007 – 2013; Contract nr.: POSDRU
6/1.5/S/4 – “DOCTORAL STUDIES, A MAJOR FACTOR IN THE DEVELOPMENT OF SOCIO-ECONOMIC AND
HUMANISTIC STUDIES” Babeş-Bolyai University, Cluj-Napoca, Romania.
180
served. Wine was always mixed with water. The dessert consisted of cakes, sweetmeats, cheese, dried
fruits and nuts. After this the dinner-party became a symposion, a drinking-party. As entertainment were
philosophical and literary talks, songs, instrumental music, dancers, and acrobats. The described dinner is the
archetypal Greek dinner of history and literature. But there were endless varieties on the theme (p. 12).
Greeks and Romans weren’t the first to pay attention to ingredients and special flavours of
food and wine. Recipes were found on cuneiform tablets from Mesopotamia of the third millennium
B.C. Spices, herbs and vintage were found in the burial chamber of King Tutankhamen of Egypt.
However, Greeks were the first to consider cookery as one of the skills or arts of human life. The
work of the cook was likened to that of the musician (p.13).
It is good that the authors remind us about the main elements of a dinner party, of consumed
meals, wines. This way there is a scratched image in our minds about eating and drinking in the
ancient world. The information that will be presented in the rest of the book will be like small
pieces of a puzzle that will complete the image from our minds.
When we recreate ancient food, no one knows how it should taste like, no reconstruction is
secure. The authors tell us that the recipes from the book are a personal interpretation of ancient
dishes. Most ancient recipes present a basic list of ingredients with no indication of quantity (p. 13).
The dominant flavours of Greek and Roman cuisine are honey, vinegar, a fermented fish sauce and
a vast array of fresh and dried herbs and spices (p. 14).
The Romans were considered “porridge-eating barbarians” before they discovered Greek food
(the end of the third century B.C.). The Romans, based on the Greek cuisine, developed a preference for
heavily spiced dishes. Some wanted to show their wealth in their food (spices were expensive) (p. 15).
Greek recipes used only three or four spices or herbs to a dish. The Apicius cookery book provides recipes
also for exotic dishes (like parrots, flamingos, jellyfish), but the authors of this book decided to make a
selection of the best that Greek and Roman cooks had left us. They concentrated the book on foods that
are available in northern Europe, are not too expensive and are worth the attention of a modern cook.
From their point of view these recipes deserve to be used and are intended to be used (p. 16).
The way we see ancient kitchens is largely based on evidence from Pompeii. The authors
remind us of the main components of ancient kitchens: hearth, ovens (p. 17), pots, cooking vessels,
kitchen furniture, mortarium (p. 19). An important observation would be that the authors speak
from their own experience. They reproduced recipes using authentic ceramic pots and metal
cooking vessels, a number of mortarium replicas for grinding and pounding. All the conclusions
that they reached were based on their own cooking experiences.
After these, we can read about some unfamiliar ingredients like: fish sauce (garum or
liquamen-used in many Roman and Greek dishes, even as a medicine; fish sauce is made nowdays in
modern south-east Asia; p. 19-21), silphium and asafoetida (silphium was a remarkable spice used for
its medicinal properties and also in food, grown only in Cyrenaica, but after it’s extinction asafoetida
was used, the resin of the plant Ferula asafoetida , a relative of fennel, but if adding too much to the dish
would give an unpleasant taste; p. 21-22), lovage (Levisticum officinale-is the most common used herb in
Apicius, it’s flavour is fundamental to authentic Roman food, it is best used fresh; p. 22-23), rue (Ruta
graveolens-once very popular, now rarely used; p. 23), other herbs and spices (the majority of herbs and
spices mentioned in the book are available for modern cooks: aniseed, fennel seed, pine kernels, poppy
seed; p. 23-24), passum (raisin wine, Columella gives us a recipe for making it), defrutum and other
concentrated grape juices used as sweeteners (caroenum, defrutum, sapa-were grape musts reduced by
boiling; p. 24), different types of cheeses (Columella gives instructions for cheese-making; p. 25).
To help the reader the authors often give advices, like buying the best fish sauce from the
market (Vietnamese nuoc mam or Thai nam pla), even addresses from where to buy asafoetida and
other unusual herbs and spices in the UK. They give us indications about different modern cheese
that could be used in cooking roman recipes. These advices can be very useful for the modern cook,
who is unfamiliar with some ingredients, cooking methods.
The first chapter is called “The homecoming of Odysseus”. In the Iliad and Odyssey a whole
world is pictured. Information about food are present in both epic tales. Food and drink were at the
centre of Homeric life. By describing a Homeric household, dinner and traditions we can get a glimpse
181
of this Greek world (p. 28-29). There are no recipes in the two epic tales, but the dishes chosen by the authors
were suggested in one way or another by the epics (p. 29). Wines were important. We know from the phrases
from the Odyssey that Homeric wine was “black”, “fiery”, “smoky” and sometimes “sweet” or “honeyed” (p.
30). Greeks (as well as Romans) mixed wine with water. The authors give us some suggestions about different
types of wines that we could use for a Greek dinner. The selection of dishes include: Olive Relish (p.31-32),
Toronaean Shark or Tuna (p. 33-34), Chicken Stuffed with Olives (p. 34-36), Roast Kid or Lamb (p. 36-37),
Pancakes with Honey and Sesame seeds (p. 38-39), Porridge (Kykeon) (p. 40-41).
The second chapter is “The Banquet of Philoxenus”. We know that symposion was
important for the Greeks. We have more details from The banquet of Philoxenus, a poetic
celebration of obsessive culinary pleasures, a literary dinner-party. We have the text (translated in
English) at p. 42-43. Symposion was the place for food, entertainment and wine, poetry and music,
conversation (p. 44). The authors give as examples for symposion Plato’s “Symposium” (p. 45) and
Xenophon’s “Symposium”. Some of the recipes from the menu are suggested by Philoxenus (p. 46).
Some words were also said about Greek wines (p. 46-48). The menu included: Honey-glazed Shrimps,
Tuna Steak, Cabbage the Athenian Way, Barley Rolls, Cheese and Sesame Sweetmeats (p. 48-55).
Chapter three is “The Markets of the Mediterranean”. The Mediterranean world was open to
travel and trade in ancient times. Trade was a risky and complicated business (long-distance
voyages, shipwrecks, pirates) but some got rich. In the book we can read a scrap of Athenian
comedy that talk about the wealth that came to Athens by sea (p. 56-57). Food was the centre of
interest at many harbour markets of the ancient Mediterranean. Archestratus, a Sicilian, wrote only
about food. He travelled a lot, tasting and writing about local specialities (p. 58-60). He also wrote
about wine. Here also the authors give us some modern varieties of wines that we could use (p. 60).
The menu is composed of: Bream in Cheese and Oil, Rock Eel with Mulberry Sauce, Fish in
Coriander Crust, Salt Meat Stew, Delian Sweets (p. 61-69).
The fourth chapter is “A Wedding Feast in Macedon”. Philip and his son, Alexander the Great
transformed Macedon in a world empire. Alexander changed the course of history. He’s conquests
brought immense wealth, new ideas and new foods. In the Deipnosophist of Athenaeus we can read
about a Macedonian wedding feast that shows the mixture of Greek, Macedonian and Near Eastern
cultures (p. 70-72). There are differences between Greek and Macedonian dinner parties. There were
great quantities of food at Macedonian dinners. The quests could give food to the slaves and attendants
and also take home for their households. All the plates and ustensils were given to the quests as gifts (p.
72). The Macedons drank mainly local wines, but they drank lavishly. We find recipes for: Roast Hare,
Liver Oxyrhynchus, Baked Mackerel, Alexandrian Sweets, and Honey Nut Cakes (p. 75-81).
Chapter five is “Cato’s farm”. If Greek literature begins with the two great epic tales, the Roman
begins with comic plays and a farming handbook. Cato gives useful advices for starting, keeping and
making profitable a farm. He also has a long section of recipes. The recipes are for preserving meat and
vegetables, for making cakes and sweets, for medicinal drinks and for special kinds of wines. Cato’s
work give us a unique snapshot of Roman farm economy (p. 82). The authors make a short biography of
Cato (p. 83-84). Even in Cato’s time Greek wine was in fashion in Roman Italy. The recipes for this
chapter are: Garlic Cheese, Lentils, Smoked Sausages (Lucanicae), Celery Puree, Cheesecake, Sweet
Cheesecake, Savoury Cheesecake, Layered Cheesecake (p. 85-96). We can also read a little about
Moretum, which paints a picture of a poor peasant farmer struggling to make his living (p. 86-88).
“The wealth of the Empire” is chapter six. Even in the days of the Empire Romans liked to talk
about their country farms (example in the book is Juvenal – p. 97). Petronius’ Satyricon drew a portrait of
a whole world. “Trimalchio’s Feast” is a mockery of the wealth and pretensions of imperial Italy (p. 98).
However, this fragment offers us the fullest description of a Roman dinner-party. The authors than
describe a Roman dinner, including the way they set, the main dishes, customs and traditions. We can see
that at Roman dinners women and children did not dinned separately from men as in Greek families (p.
98-100). Wine played an important role at dinner parties. Romans prized Greek wines (p. 100). The
recommended recipes are: Spiced Wine, Chicken Salad, Stuffed Gourd, Parthian Chicken, Shoulders of
Pork with Sweet Wine Cakes, Stuffed Kidneys, and Honeyed Mushrooms (p. 101-113).
182
Chapter seven is “On Hadrian’s Wall”. The Roman Empire conquered huge territories with his
well organized army (p. 114). After the conquest of Britain many fruits, vegetables and herbs (familiar
to Roman soldiers) were introduced to the island. Even if Roman influence was strong, the Roman
provinces had their own specialities in food and wine. Greek wines were famous, but wines from Gaul,
Rhineland and Spain were starting to become famous (p. 116). The book offers us recipes for: Softboiled Eggs, Cucumber dressing, white Sausages, Vitellian Peas, Pork with Apple, Stuffed Chicken,
Patina of Pears (p. 117-125). The authors reproduce a letter discovered at Vindolanda (a birthday
invitation – p. 118) and an inscription from a Roman inn (giving its permanent menu – p. 124).
The last chapter is “Supper at the Baths”. Rome had his cook shops, bars, taverns. The visit
to the public or private baths played an important role in everyday Roman life (p. 126-127).
Attached to the baths were bars and restaurants. After exercise and bathing friends move on to the
restaurant. The authors give as an example an extract from a manuscript, a bilingual phrase-book,
Daily Conversation, originally intended for Greeks learning Latin and Romans learning Greek (p.
127-128). Even if much wine was imported from Spain, Gaul and Greece, Romans were proud of
their own vintage (p. 129). The recipes recommended by the authors are: Seafood Rissoles with a
Cumin Sauce, Patina of Sole, Roast Duck with Hazelnuts, Patina of Asparagus, Patina Apiciana,
Marrow or Squash Alexandria-style, Nut Omelette (p. 130-139).
Besides the recipes for all these dishes we can find important information and advices from
the authors that can help us in cooking.
The Classical Cookbook is the first to explore the cuisine of the entire ancient world (from
both Greek and Roman sources). At the beginning of every chapter we can find an informative
historical background. After every recipe the authors give us precious advices so that we can
recreate ancient flavours in our own, modern kitchens. They also help us to find certain ingredients,
herbs and they often try to offer modern varieties of wine that we can use in cooking. The book is
illustrated with scenes of food, hunting, feasting from wall painting, mosaics and Greek fine painted
pottery. All these pictures help us understand ancient realities.
Sally Grainger’s and Andrew Dalby’s aim in this book was to give a wider view of Greek and
Roman food. We think that they succeeded, creating a book that brings to life flavours of the ancient
world, a cooking handbook with ancient recipes for the modern kitchens.
183
Abbreviations
A.M.A.E. – The Archives of the Romanian Ministry of Foreign Affairs, Bucharest
Abwehr – Amt Ausland/Abwehr im Oberkommando der Wehrmacht (German Military
Intelligence; in German: defense)
ActaMP – Acta Musei Porolissensis. Anuarul Muzeului Judeţean Sălaj, Zalău
b. – born
cal. – calibrated (radiometric data)
CC of RWP – Central Committee of Romanian Workers’ Party
CHNA, CC of RCP-Chancellery – Central Committee of the Romanian Communist Party –
Chancellery Collection (hereafter)
CIL – Corpus Inscriptionum Latinarum, Berlin.
CIMEC – Institutul de Memorie Culturală, Ministerul Culturii şi Cultelor, Bucureşti
CLEMAM – Check List of European Marine Mollusca, Muséum National d´Histoire Naturelle,
Paris: http://www.somali.asso.fr/clemam
Col. – collection
com. – comuna (commune)
coord. – coordinator
Corviniana – Corviniana. Acta Musei Corvinensis, Muzeul «Castelul Corvineştilor»,
Hunedoara
d. – dead
Dacia – Dacia. Recherches et découvertes archéologiques en Roumanie, Bucureşti
Dacia, NS – Dacia. Revue d’archéologie et d’histoire ancienne, Nouvelle Série, Bucureşti
Dpto – Dipartamento
Drobeta – Drobeta. Anuarul Muzeului «Porţilor de Fier», Drobeta-Turnu Severin
ECSC – The European Coal and Steel Community
ed(s). – editor(s)
ERAUL – Études et recherches archéologiques de l’Université de Liège, Liège
ETA – Euskadi Ta Askatasuna (in Basque: Basque Homeland and Freedom)
EU – European Union
FMES – La Fondation Méditerranéenne d’Études Stratégiques
i.p. – in press
184
IDR – Inscriptiones Daciae Romanae, Bucureşti, Paris
ILD – Petolescu, C. C., Inscripţiile latine din Dacia, Bucureşti, 2005
jud. – judeţ (county)
KFOR – Kosovo Force (NATO)
LGM – Last Glacial Maximum
Lt.col. – lieutenant-colonel
M.R.P. – The Republican Popular Movement
Materiale – Materiale şi cercetări arheologice, Bucureşti
MemAntiq – Memoria Antiquitatis. Acta Musei Petrodavensis, Muzeul Judeţean de Istorie
Neamţ, Piatra Neamţ
Mémoires de la SPF – Mémoires de la Société Préhistorique Françise, Paris
MNI – Minimum number of individuals (archaeozoology)
MSD – Medzinárodný súdny dvor
NATO – North Atlantic Treaty Organization
NOMENCLATOR – Mócsy, A., Feldmann, R., Marton, E., Szilágy, M., Nomenclator,
Dissertationes Pannonicae III, 1, Budapest, 1983
NR – Number of rests (archaeozoology)
O.S.D. – Overseas Surveys Directorate
ONOMASTICON – Onomasticon provinciarum Europae Latinarum: I – Lörincz, B., Redö,
F., Budapest 1994; II – Lörincz, B., Wien 1999; III – Lörincz, B., Wien 2000; IV – Lörincz, B.,
Wien 2002
P.C.F. – The French Communist Party
P.R.L. – Republican Party of Liberty
P.R.S. – Republican Syndicalist Party
pl. – plate(s)
Prähistorische Zeitschrift – Prähistorische Zeitschrift, Berlin-New York
PUF – Presses Univérsitaires de France, Paris
R.I. – Independent Radicals
R.P.F. – Rassemblement du Peuple Français
RevBist – Revista Bistriţei, Complexul Muzeal Judeţean Bistriţa-Năsăud, Bistriţa
RPR – Popular Republic of Romania
S.F.I.O. – The Socialist Party-The French Section of the International Workers Movement
SCIVA – Studii şi cercetări de istorie veche şi arheologie, Bucureşti
sp. – species
Speomond – Speomond. Revista Federaţiei Române de Speologie, Bucureşti
SSI – Romanian Army’s Intelligence Service
tab. cer. – tabula(e) cerata(e)
Tibiscus – Tibiscus. Anuarul Muzeului Banatului, Timişoara
185
U.D.S.R. – The Socialist-Democrat Union for Resistance
U.S.A. – United States of America
UCK – Ushtria Çlirimtare e Kosovës
UISPP – Union Internationale des Sciences préhistoriques et protohistoriques de
l’UNESCO, Paris
UN – United Nations
USSR – Union of Soviet Socialist Republics
vol. – volume
ГСВ – Гистория Свейской войны (Поденные записки Петра Великого). М., 2004
M. – Москва, Moscow
ППВ – Памятники письменности Востока
РГАДА – Российский государственный архив древних актов. Москва
СПб. – Санкт-Петербург (Saint-Petersburg)
186
Analele Universităţii Creştine „Dimitrie Cantemir”, Bucureşti, Seria Istorie – Serie nouă, Anul 1, Nr. 4, 2010, p. 187
Instrucţiuni pentru autori
Autorilor care doresc să publice în paginile revistei AUCDCI (aspirantă la CNCSIS categoria B), le
supunem atenţiei normele de redactare şi ordinea inserării datelor: titlu; numele autorului (autorilor);
instituţia şi adresa de e-mail a autorului (autorilor); text în MS-Office 2003 (nu Office 2007) de circa 20
pagini (incluzând şi bibliografia) în limba română sau în limbile engleză, franceză, germană (format A4,
margini de 2 cm, font Times New Roman, mărimea 12, justified, spaţiere la un rând, paragraf de 1,27 cm; a
nu se folosi tasta Tab şi nici bara de spaţiu pentru paragrafe; paginile nu vor fi numerotate); rezumat (limba
engleză, franceză, germană), maxim 10 rânduri; keywords (limba engleză, franceză, germană, maxim 5);
sistem de referinţe (în text sau la subsolul paginii de tipul: Ionescu 1999, p. 21; font Times New Roman,
mărimea 10, justified, fără paragrafe); bibliografie de tip Oxford-Humanities aranjată alfabetic după autori:
nume autor, prenume abreviat, anul apariţiei lucrării, titlul, locul apariţiei (cărţi); nume autor, prenume
abreviat, anul apariţiei lucrării, titlul, revista, numărul volumului, locul apariţiei revistei, paginile (periodice);
nume autor, prenume abreviat, anul apariţiei lucrării, titlul, In: numele editorului, titlul volumului, locul
apariţiei, paginile; nu se abreviază denumirea revistelor şi a editurilor; histograme şi tabele în fişiere word
separate; toate tabelele, histogramele şi figurile trebuie să fie citate în text; folder separat pentru imaginile
figurilor; materiale grafice scanate alb/negru sau color la 300 dpi (fotografii) şi 600 dpi (desene), salvate în
format .jpg; lista abrevierilor; lista tabelelor, histogramelor şi figurilor (bilingv, română/engleză,
franceză, germană).
Este de preferat trimiterea materialului prin e-mail (pentru fişiere mari utilizaţi website: www. transfer.ro)
sau pe CD prin poştă.
Termenele ultime de primire a articolelor: 1 februarie (pentru nr. 1), 1 mai (pentru nr. 2), 1 august (pentru nr.
3), 1 noiembrie (pentru nr. 4).
Responsabilitatea privind conţinutul articolelor şi studiilor revine în totalitate autorilor, în conformitate cu
prevederile Legii nr. 206 din 27.05.2004 referitoare la buna conduită în cercetarea ştiinţifică. Autorii îşi
asumă, de asemenea, responsabilitatea exclusivă pentru acurateţea rezumatelor în limbă străină.
© Toate drepturile sunt rezervate autorilor.
Instructions for the authors
To the authors from abroad, whishing to publish a contribution in the review AUCDCI, we submit the
following recommendations and suggesting order of data: title; name of the author(s); institution and email address; English, French, German text, MS-Office 2003, around 20 p. bibliography included (page
setup A4, margins of 2 cm, Times New Roman 12, justified, line spacing single, paragraph 1,27 cm, no page
numbers); abstract (maximum 10 lines); 5 maximum keywords; Oxford-Humanities references system for
notes in text/footnotes and bibliography; Times New Roman 10, justified, line spacing single, no paragraph;
tables an charts in separate word documents; photos and drawings in a separate folder; images scanned
black/white or colour at high resolution (300 dpi for photos, 600 dpi for drawings, saved in .jpg format);
abbreviations; list of tables, charts and caption of figures.
Materials may be sent by e-mail or on CD by mail.
The entire responsibility for the specialized information of the articles’ content and for the translation is to be
assumed by the authors.
Deadlines for sending the contributions (date of arrival): 1 of February (for 1st issue), 1 of May (for 2nd
issue), 1 of August (for 3rd issue), 1 of November (for 4th issue).
© All rights reserved to the authors.
187

table of contents / sommaire

Transcription

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