Category Archives: war

Down the Danube: Croatia

For two weeks in September-October this year, the Far Outliers took a Viking cruise down the Danube River from Budapest to Bucharest. Here are some impressions from each of the countries we visited. A photo album from the trip (Danube 2024) is on Flickr.

Our first stop in Croatia was at the Slavonian border city of Vukovar, site of the bitter Battle of Vukovar, attacked by Serbs in 1991 and held until 1998. Many buildings still bore the scars of the heavy shelling from that battle. Our guides expressed considerable bitterness about those times, but also acknowledged the many atrocities committed by Croatian Ustaše allies of the Nazis in World War II.

Several Croats expressed nostalgia for Tito’s Yugoslavia, when travel abroad was possible and economic benefits were more evenly distributed. Many Yugoslavs also emigrated during those days. I remember from my visit to Australia on the way to Papua New Guinea in 1976 that many Greeks and Slavs were immigrating there at that time. That’s where I first learned how to say ‘thank you’ in Greek, after I bought a gyro sandwich from a Greek shop. A few of my PNG friends had been to Australia, and were shocked to see white people doing janitorial work, as many immigrant Slavs did in those days. I asked our Croatian hosts which part of Croatia had the highest emigration in those days and they said the Dalmatian coast, where economic opportunities were limited before it became such a tourism hotspot.

The only excursion we signed up for was to Osijek, where we split into smaller groups for home visits, then visited the ornate Cathedral of Saints Peter and Paul, where a singer with an angelic voice sang for us.

Unlike Hungary, Serbia, Bulgaria, and Romania, Croatia adopted the Euro, so many of the overwhelmingly American passengers on our Viking cruise used the ATMs to stock up on Euros, which were more widely accepted than U.S. dollars by most vendors in those countries for small cash purchases. Credit cards are also widely accepted.

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Berlin, 1878: Prelude to Versailles, 1919

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 210-212, 238-240:

In 1878, representatives of Europe’s major powers convened in the capital of the new German nation-state for negotiations that bear all the hallmarks of the more famous effort in decolonization and democratization that transpired at Paris after World War I. At Berlin in 1878, statesmen determined the boundaries, constitutions, sovereigns, and even citizenship of four national states, which like Poland or Czechoslovakia in 1919, had to be created in the wake of imperial decline so as to secure Europe’s balance of power. We date the independence of modern Bulgaria, Montenegro, Romania, and Serbia from July 1878.

But in the interests of balance, the statesmen in Berlin traduced the spirit of nationalism by denying to Serbia territory where a plurality of the inhabitants was Orthodox South Slavs. That was Bosnia-Herzegovina, a quilt of ethnicities, which Austria-Hungary was permitted to occupy in 1878 with no purpose other than making sure it did not go to Serbia. Politicians in Vienna and Budapest viewed the prospect of a “great South Slav state” with horror, all the more so as it promised to be a close ally of Russia.

Some have called this frustrated Serb determination to expand “irredentist,” and that is both correct and misleading. The characterization is correct because Serbia felt there were Serbs beyond its boundaries who had to be included, but it is also misleading in suggesting that this agenda was unusual. In fact, every new state, beginning with Italy (where the word “irredentism” originated) and Germany, was irredentist in the sense that it “redeemed” national territory. Piedmont-Sardinia had not been Italy, nor was Prussia Germany. Without irredentism, there would be no Serbia, or any other new East European state, whether created in 1878 or 1919. Therefore, it is not hard to understand the tremendous affront that many Serbs, in and outside Serbia, felt after 1878.

But where Austria-Hungary was concerned, it was not only an affront but also the bizarre act of a troubled imperial state, now taking millions more Slavs under its rule, just a decade after dividing into Austria-Hungary precisely to keep a lid on the empire’s Slavs. But even more intriguingly and confoundingly, the man who negotiated the inclusion of more Serbs and Croats, as well as millions of Bosnian Muslims, was the beautiful hanged man, Count Gyula Andrássy, who became the Austro-Hungarian foreign minister in 1871, and whose own Hungary was trying to make loyal Magyars out of millions of Slovaks, Serbs, Ruthenes, and Croats. Before the Compromise of 1867, Magyar politicians had assured representatives of those groups that their rights would be legally guaranteed. Afterward, those promises were forgotten, and demands for national autonomy were treated as seditious. Austria was not Germanizing its population, but German liberals were deeply concerned about the growing numerical superiority of Slavs. Now Vienna and Budapest took responsibility for 3 million more. How could they possibly make them into loyal citizens?

This story takes place in three acts. The first is the last major uprising of a Christian people against Ottoman rule in Europe, the Herzegovinian rebellion of 1875. The acts of Herzegovinian and then Bosnian peasants generated the pressures leading to the Berlin Congress. The second is the sanguineous military campaigns of Serbia, Montenegro, and Russia against the Ottoman Empire from 1876 to 1878, whose success triggered concern among the European powers about the growth of Russian and the decline of Ottoman power. The third is the Berlin Congress itself and how the European powers rescued peace as well as Austria-Hungary, largely by extending their blessings to four new states, each of which considered itself not an end product but rather a toehold from which the respective ethnic nation would expand.

Internationally, the Congress of Berlin was a major step toward the twentieth century, perhaps its inaugural event. The Congress took a principle implicit in the 1830 London Protocol founding modern Greece—that an ethnicity could be a source of sovereignty—and multiplied it by four. By implication, it also adumbrated the idea of minorities, people in the nation-state who did not belong to the nation and required protection. The idea that ethnicity was the basis of the right to rule—a principle later called national self-determination—had been foreign to the Vienna system of 1815. Berlin was not just a halfway point; it was a rupture with that system. What changed in Paris in 1919 was to make the new principle not simply a result of grudging acceptance, but an explicit and valid—indeed, universal—method of organizing statehood.

For South East European peoples, the events of 1875–1878 had a meaning like that of 1848 in Bohemia: after initial uprisings, events soon cascaded in a way that forced choices about self-identification. In Bosnia-Herzegovina, the Orthodox still called themselves Bosnians but increasingly desired attachment to Montenegro or Serbia, while Catholics opted for Austria and more clearly than ever identified as Croats. Religious identity was a starting place but not an endpoint; the participants in the 1875 uprising knew that they were united by religion against the “occupier” and were picking up a script from earlier in the century, when Christian populations in Serbia and Greece had likewise risen up and begun carving out autonomous zones from Ottoman territory. Yet the issue was not religion per se—the insurgents did not care about suppression of worship or doctrine—but a sense that religious belonging had condemned much of the population to subservience.

Did Bosnian identity ever stand a chance as a form of nationhood? “Of the basic criteria by which the Serb and Croat nations established themselves during this period, history, language, and religion,” writes Noel Malcolm, “only religion could apply in Bosnia, a country which had its own separate history.” But in fact, history (that is, people’s consciousness of the past) ignored the boundaries of Bosnia and focused instead on a past that Orthodox South Slavs in Bosnia believed they shared with Orthodox South Slavs in Serbia. According to epic poetry, the common history stretched back to the 1389 Kosovo battle and earlier.

In Bosnia, Orthodox and Muslims had separate imaginations: the former told stories in oral poetry of their coreligionists deceiving Turkish authorities; the latter of theirs outwitting the Austrians. And if advocates for Serb nationhood in Bosnia were inspired by the romantic nationalism that was popular at Central Europe’s universities and understood language as a people’s soul, they had to look no further than Vuk Karadžić, who had based his Serb dictionary on a dialect in Herzegovina. Against Karadžić, Benjamin Kállay had not stood a chance; probably ten times the number of schools he built would not have resulted in the Bosnian identity he intended.

If Bosnian identity amounted to anything, it was the beginning of a strategy for Muslims to oppose complete assimilation by Serb and Croat nationalism, each of which expected co-nationals to become Christian, at least nominally. What the Bosnian and Romanian stories share is a hint that twentieth-century European nationalism was vigorously and exclusively Christian, even when its carriers were fiercely secular.

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Filed under Austria, Balkans, Bulgaria, democracy, education, Germany, Hungary, Italy, language, nationalism, religion, Romania, Russia, Turkey, war, Yugoslavia

1848: Nationalism’s Icarus Moment

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 157-158:

Never before or since have Europeans seen common hopes smashed so rapidly as in 1848, the year of democratic revolutions. In February and March, after a disguised King of France escaped the wrath of his people, populations across the continent rose up against princes and kings, unified as never before, seeming to act according to one script. Divisions of nation or religion that had caused countless wars no longer seemed to matter, and even terms like “east” and “west” became secondary. The watchword was self-rule. Crowds demanding rights and democracy forced divine-right rulers to retreat and negotiate, from Italy and France through central Germany and into Bohemia, Prussian as well as Austrian Poland, all of Hungary (including Transylvania), and even farther east, into the principalities of Wallachia and Moldavia (the heart of today’s Romania), still under nominal Ottoman rule. Everywhere in this vast space, Europeans were telling the same story: they were leaving feudalism behind for better lives under democracy. If kings or princes survived, they would be bound to constitutions, as was the norm in Britain or the Netherlands.

But as early as April, the push for democracy was exposing divides among populations that few had imagined existed, and the stunned princes began surging back, making use of resources, some old (like a well-trained military), others new and unexpected. For the Habsburgs, virtually every national group turned out to be a potential ally against German and Magyar democrats, but they also exploited class divisions, playing peasants off against urban liberals, and urban liberals off against suburban proletarians. When pogroms broke out across Central Europe in 1848, the House of Habsburg also revealed itself as the defender of Jews and their property against urban mobs, who claimed that Jews stood with their ethnic enemies. That house was not only a bastion of the old order but also a defense of life and liberty against an emerging new order, of liberalism and national self-determination, but also of seemingly intractable interethnic feuding.

By the fall of 1848, the Habsburgs and other monarchs were rebounding, even if the final victories were not scored until the spring and summer of 1849, when imperial authorities closed down the elected parliament in Austria and crushed the democratic revolution in Hungary, with the assistance of Croat, Austro-German, Serb, and Romanian forces recruited from within Habsburg territories. The fighting between Hungary’s democrats trying to establish their national state and these nationalities became so intense that the region became a staging ground for ethnic cleansing: Magyar, Serb, and Romanian forces staked claims for territory by expelling ethnic others and burning their villages.

The difficulties of making a transition from feudalism to freedom were shocking because Habsburg subjects had not known the full extent of the realm’s complexity. The historian Joseph Redlich wrote much later that censorship and poor internal communications had kept the various parts of the monarchy ignorant of one another. There was little critical higher education, and for the elites, the “state almost completely coincided with German Austria,” and they assumed it would govern from Vienna with no concern for the “nationally foreign” inhabitants of the Sudeten and Alpine countries. Little was known about Czechs and South Slavs, and few anticipated that people speaking in their names might demand independence.1 Inhabitants of Central and Eastern European were neighbors who got to know one another only after they had to deal with one another as free human beings for the first time.

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East European Communist Nationalism

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 17-19:

What Hitler, the “Bohemian corporal” (he was actually Austrian) achieved through his war was to make northern parts of Eastern Europe much simpler. With the aid of local collaborators, his regime segregated and then killed the overwhelming majority of East European Jews. But when the Red Army drove the Wehrmacht back to Vienna and Berlin in 1945, millions of Germans fled Eastern Europe as well, never to return. At the war’s conclusion, as a result of allied decisions, Polish and Czech authorities placed the remainder of Germans from Bohemia and eastern Germany in railway cars and deported them to a Germany that was much smaller than Bismarck’s Reich, let alone the Holy Roman Empire.

The most avid ethnic cleansers among the East Europeans were Polish and Czech Communists, and indeed, Communists everywhere proved enthusiastic nationalists. This is astounding for two reasons. First, Karl Marx and Friedrich Engels had little concern for national identity: workers had no fatherland. Nationhood was not a lasting site of human subjectivity but something ephemeral, which diminished in importance as capitalism advanced. They had little but derision for East Europeans wanting to create their own nation-states. Engels called the small peoples to Germany’s east “relics.” Czechs were destined to be “absorbed as integral portions into one or the other of those more powerful nations whose greater vitality enabled them to overcome greater obstacles.” Other “remnants of bygone Slavonian peoples” slotted for assimilation included Serbs, Croats, and Slovaks. In 1852, Engels blithely predicted that the next world war would cause entire reactionary peoples to “disappear from the face of the earth.”

Second, when the world divided into two camps, appearances suggested that there was little room for East European nationalism. By 1949, every state in the region seemed to be a miniature USSR, with the same sort of ruling Communist Party, five-year plan, economy based on heavy industry, collectivized agriculture, and socialist realism. Few Poles or Hungarians, even within the Party, doubted that the annual pageant in red of May Day reflected doctrines and practices whose nerve center was in Moscow. For the first time, millions of East Europeans learned Russian, and many became as proficient in copying Soviet reality as they could. Hundreds of thousands became “self-Sovietizers,” even holding their cigarettes the Russian way, or dressing in the militaristic style of the Bolshevik party. The Yugoslav Communists, with red stars on their caps, went so far that the Soviets tried to hold them back.

But these states were not Soviet replicas, nor were they (unlike Ukraine, the Baltic states, and Belorussia) actual parts of the Soviet Union. Beyond the façades of May Day processions in Warsaw in 1949, one saw banners in Polish, not Russian, and placards honoring Polish heroes. A few blocks from the parade route the Polish socialist state, governed by a Marxian party, was lovingly resurrecting old Warsaw, razed by the Nazis in 1944. This included rebuilding many of its churches, according to plans from the eighteenth century, with attention to the details of a saint’s halo. Bookstores across the state socialist world stocked romantic authors like Jan Kollár, but also the Polish, Hungarian, or Romanian national bards Adam Mickiewicz, Sándor Petofi, and Vasile Alecsandri; the philologists Ljudevit Gaj and Vuk Karadžić; and the ethnographer Pavel Šafárik, who had studied theology with Kollár in Jena. In Poland’s west, the state fostered the destruction of all signs of the German past, including cemeteries, and proclaimed the new territories Polish to the core, though they had been German for centuries.

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Filed under Eastern Europe, Germany, language, migration, military, nationalism, philosophy, USSR, war

What Unites East Central Europe?

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 3-4:

What unites this dramatic and unsettling history is a band of countries that runs from the Baltic Sea down to the Adriatic and Black Seas, between the much larger, historically imperial Russia and Turkey in the east, and Prussian and Austrian Germany in the west. These small countries constitute East Central Europe, a space where more of the twentieth century happened—for good and for bad—than anywhere else on the planet.

If one seeks a simple explanation for the energies that caused this area to produce so much drama and so many new concepts, a glance at the map suggests nationalism: no other region has witnessed such frequent, radical, and violent changing of borders to make nations fit states. Two maps, one from 1800, one from 2000, tell the basic story: a shift from simplicity to complexity, from one small and three large multinational powers to more than twenty national states.

The story was carried forward by the demands of East European nationalists to control territory, demands that triggered resistance, because they contested imperial power and the European order. Since the 1820s, the work of nationalists has brought independent states into being in three stages: the first in 1878, when the Congress of Berlin produced Serbia, Romania, Bulgaria, and Montenegro; the second, in 1919, when revolution and peace making generated Czechoslovakia, Yugoslavia, and Poland; and most recently, in the 1990s, when Czechoslovakia broke peacefully into the Czech Republic and Slovakia, and Yugoslavia fragmented violently into Slovenia, Croatia, Serbia, two entities in Bosnia, Macedonia, Montenegro, and Kosovo. Hungary became de facto independent in 1867, when the Austrian Empire divided into Austria-Hungary; after 1920, it emerged much reduced from World War I, two-thirds of its territory going to its neighbors.

What can be debated is whether the degree of violence, especially in World War I, was necessary to break loose the nation-states that now constitute the map of Eastern Europe. Austria-Hungary was more resilient than critics gave it credit for and only began unraveling in the final year of a war that had been costly beyond any expectations. And there was little relation between intention and outcome: World War I did not begin as a war of national liberation. Yet by 1917, as the causality lists soared and any relation between intention and outcome was lost, it was interpreted to be one. It was a war for democracy—for Wilson’s national self-determination—and that helped spawn the new nation-states.

At the same time, without the cause Gavrilo Princip claimed to represent (that South Slavs should live in one state), there would have been no assassination, no Habsburg ultimatum to Serbia (which had trained Princip and supplied him with his pistol) in July 1914, and no war. Seen in rational terms, the Habsburgs’ belief that Serbia, a state of three million, represented a challenge requiring a full-scale military assault launched from their state of fifty-two million, seems one of history’s great overreactions. But Princip, the frail eighteen-year-old rejected from the Serb army for his small stature, embodied the challenge of an idea, the idea of ethnic nationalism, and the Habsburg monarchy had no response other than naked force.

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Capt. Cook’s Americans

From The Wide Wide Sea: Imperial Ambition, First Contact and the Fateful Final Voyage of Captain James Cook, by Hampton Sides (Knopf Doubleday, 2024), Kindle p. 345-347:

WHILE IN MACAU, Captain Gore learned the distressing news that not only was the American Revolution going badly for the English, but both France and Spain had declared war on Britain. Consequently, for the voyage home, facing the danger of seizure or attack, his two ships would remain on a war footing. The Resolution and the Discovery left Macau in January 1780, stopping briefly south of Vietnam and then in the Sunda Strait, between Sumatra and Java, not far from the seething volcano on Krakatoa. By April, the vessels were anchored in False Bay, near Cape Town. In early August, as the two ships approached England, contrary winds forced them far to the west. Gore had to make a long, awkward circuit around Ireland and over Scotland’s Orkney Islands. The vessels plied down the east coast of Britain, finally arriving in London on October 7, 1780. The Resolution had been gone from England for 1,548 days. At the time, it was believed to be the longest exploratory voyage—in terms of both miles and duration—ever undertaken on the high seas. And yet, despite the odyssey’s historic length, once again, not a single person on either ship had died of scurvy.

AFTER RETURNING TO London, the Americans on board the ships had to face the difficult decision whether to cast their loyalties with Britain or find their way back to their native-born colonies and take up the cause against the mother country under whose flag they had been sailing for the past four years. Because he was still a member of the Royal Marines, John Ledyard was promptly sent to Canada to fight for the British in the waning actions of the American Revolution. He deserted, returned to his native New England, and in 1783 published an unauthorized account of his travels with Cook that became the first written work protected by copyright in the United States. In 1786, not done with epic traveling, Ledyard embarked on a trek of more than six thousand miles, mostly on foot, across Europe and Russia in an attempt to reach Alaska, but he was arrested in Siberia under orders from Catherine the Great. Ledyard died in Cairo in 1788, aged thirty-seven, while preparing an expedition to search for the source of the Niger River.

Ledyard’s fellow countryman John Gore, on the other hand, had no interest in returning to the land of his birth. The Admiralty appointed him as one of the captains of the Greenwich Hospital, the same position Cook had vacated when he embarked on his final voyage. Gore served ten years at Greenwich. He was a popular figure among the old salts and died there in 1790.

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Capt. Cook & the Americans, 1778

From The Wide Wide Sea: Imperial Ambition, First Contact and the Fateful Final Voyage of Captain James Cook, by Hampton Sides (Knopf Doubleday, 2024), Kindle pp. 226-227:

On the other side of North America, the revolt against England had deepened into a bitter war that showed no signs of abating. At that very moment, British troops were occupying Philadelphia, while George Washington’s bedraggled army was beginning to stir from its winter quarters at Valley Forge. The war was taking on an international flavor. Shortly after the Resolution and the Discovery left the Hawaiian Islands, Benjamin Franklin and two other American commissioners had signed a treaty in Paris that intimately bound France to the rebellious colonies. With the stroke of a pen, France became the first nation to recognize the United States as a sovereign country. An outraged Britain would soon declare war on France, thus fully bringing the French into the American conflict.

Despite all of this, Benjamin Franklin would later make a point of lobbying among his colleagues for Captain Cook and the Resolution to be granted special immunity not afforded to other British ships. Should American vessels encounter Cook anywhere on the high seas, they were to give him leeway and clemency. Cook was on an assignment of transcendent importance for humanity, Franklin’s proclamation asserted, one too important to be detained by squabbles between nations. Franklin made his remarks in what he called a “passport” addressed to the captains and commanders of all American ships. In case Cook’s vessel should “happen to fall into your hands,” Franklin advised, “you should not consider her as an enemy, nor suffer any plunder to be made of the effects contained in her, nor obstruct her immediate return to England.” Americans, he said, should “treat the said Captain Cook and his people with all civility and kindness, affording them as common friends to mankind, all the assistance in your power which they may happen to stand in need of.”

The Spanish, who would soon be joining France in declaring war against England, were already well aware that Captain Cook was supposed to be somewhere in the Pacific, headed for the northwest coast of America—and they were highly displeased with England’s encroachments upon the region. They had informed officials in Mexico to keep a lookout for Cook and, if possible, to intercept and arrest him. Spanish shipwrights were constructing two new vessels—one in Mexico, another in Peru—for a voyage that aimed to halt and overtake Cook while reasserting Spanish claims in the Pacific Northwest.

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Capt. Cook’s Cruelty, 1777

From The Wide Wide Sea: Imperial Ambition, First Contact and the Fateful Final Voyage of Captain James Cook, by Hampton Sides (Knopf Doubleday, 2024), Kindle pp. 173-174:

Several months earlier, when Cook was passing through islands in the Tonga group, he had shown a taste for cruelty that some of his officers found both surprising and alarming. In the face of what he called the “repeated insolence” of the Natives—jackets, shoes, and a pewter basin had gone missing, as had daggers, bayonets, and muskets—Cook’s fury smoldered. On Tongatapu and its nearby atolls, he took to flogging Natives far past the daily limit of twelve lashes per man allowed by navy rules; in one instance, he had a Native whipped a sadistic seventy-two times. He cut off the ears of some of the most egregious thieves, and in at least one case, on his orders, a cross was carved into a Native man’s shoulder, all the way to the bone.

Yet Cook had never visited on anyone the kind of widespread retribution that he was now unleashing on the people of Moorea—punishing the many for the misdeeds of an individual. It seemed Cook had taken leave of his senses. The wanton destruction of the homes of people he had no proof were actually connected to the theft—this was a first. Although some of his men threw themselves into the vandalistic acts with gusto, most were appalled by the harshness of their captain’s orders. They understood Cook’s initial frustration over the theft, but his lust for retaliation had grown into something terrifyingly toxic, with no sense of proportion.

“I doubt not,” thought one lieutenant, “but Captain Cook had good reasons for carrying his punishment to these people to so great a length, but what his reasons were are yet a secret.” It was “all about such a trifle as a small goat,” wrote Midshipman George Gilbert. Cook’s reprisals “were so different from his conduct in like cases in former voyages.”

Later in the day, for good measure, Cook had members of his party stalk down to the water’s edge and rip apart every canoe they could find. This was much more than a passing insult. It would be difficult to exaggerate the importance of a canoe in Polynesian society—the labor and craftsmanship it entailed, the utility it provided, the livelihood it advanced. Canoes were transportation, but they were also art. What the horse was to the American West, the canoe was to the Society Islands. To destroy canoes was to strike at the people’s independence, their means of sustenance and of getting about, their sense of aesthetics—and, to some extent, their sense of identity, too.

Cook, who surely understood this, persisted through the day, and the day after that: He sent teams of men along the coast to smash up every outrigger they encountered. Some Mooreans filled their beloved vessels with heavy rocks and sunk them in the lagoon shallows, thinking this might deter Cook. It didn’t. “The Captain,” wrote Lieutenant John Rickman in horror, “ordered the canoes that were sunk to be weighed up and destroyed.”

It is extraordinary that the islanders didn’t rise in defiance and kill these white-skinned invaders. The Native weapons may have been no match for muskets, but the Mooreans outnumbered Cook’s small party by a thousandfold. They could have made quick work of the Englishmen, but for some reason they remained pacific, even as parts of their island were consumed in flames.

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Dutch & Portuguese Role in Barbados

From The Caribbean: A History of the Region and Its Peoples, ed. by Stephan Palmié and Francisco A. Scarano (U. Chicago Press, 2013), Kindle pp. 142-145:

Discovered by the Portuguese in 1500, Brazil became the site where the Portuguese first managed to reinstall the sugar plantation complex they and the Spanish had pioneered on the Atlantic islands off the coast of Africa, and to achieve its continuity and growth. By 1526 Brazil was exporting sugar, and in the early 17th century its output superseded not only that of earlier Atlantic outposts but also that of the rapidly declining Spanish-Caribbean sugar industry. Part of the reason for this success was that the Portuguese straddled both shores of the Atlantic. Most of the slaves, on whose labor the early Brazilian sugar industry depended, came from the Portuguese colony in Angola, the civil war-ridden neighboring kingdom of Kongo, or the Portuguese factories in the Bight of Benin and Cape Verde (which drew on Senegambian sources). As a result, Portuguese planters in Brazil did not face a problem their Spanish colleagues in the Caribbean would unsuccessfully struggle with for another two centuries: the highly restrictive and inefficiently organized asiento system by which Spain provisioned its New World colonies with African slave labor. While Spanish plantations floundered after the turn of the 17th century, the same period marked the beginning of a boom in Brazil. If the British and French in the Caribbean were looking for a model for hyperprofitable overseas agricultural enterprises, by that time it would not have been Hispaniola or Cuba but the northeastern Brazilian province of Pernambuco.

But what about the Dutch? Like other northern European nations, the Dutch initially began to prey upon the Spanish fleet in the second half of the 16th century. Like the British and French, they also perceived the advantages of piratical raids on the Spanish mainland colonies. By the early 17th century, however, the new Dutch West India Company, founded in 1621, embarked on a different course of action. Its novel approach was not merely to skim off profits by raiding Iberian colonies or preying upon the homeward-bound fleet, but to take over the very source: fully developed colonial enterprises.

Aware of the advantages the Portuguese enjoyed by maintaining a connection between Angola and northeastern Brazil, the Dutch seized control of both places at once. Between about 1630 and 1650 they achieved three distinct but interrelated goals: they subjected both regions to a rigorous scheme of capitalistic development, pumping in the requisite cash and credit for building up the plantation infrastructure of Brazil; they continued their role as major maritime architects of legal and illegal commercial links between the Caribbean colonies of various nations; and they turned Amsterdam—which already was the center of finance and banking in northern Europe—into one of the major international European markets for sugar. In contrast to the Portuguese, the Dutch apparently had no strong interest in monopolizing sugar production. In their view, profit lay in offering credit and taking over commercial shipping and distribution.

While the importance of the Dutch introduction of sugarcane to Barbados in 1637 is open to question, the crucial role of Dutch merchants in providing financial backing with which British settlers built the first sugar mills on that island is beyond dispute. Dutch planters and sugar masters also taught the British Barbadians what they came to call the “method of Pernambuco”—which included not only the know-how of planting, milling, and processing cane, but also the rudiments of a legal code regulating slavery. Dutch ships, finally, linked Barbados’s emerging plantation economy both to the supply of African labor provided by the Atlantic slave trade and to the effective and profitable distribution networks in the Netherlands. Although the extent of Dutch involvement has lately become the subject of debate among historians, it may be safe to say that within little more than the decade between 1640 and 1650, the Dutch helped to transform Barbados from a slaveholding society with a large yeoman population engaged in fairly diversified economic pursuits into a slave society solidly based on sugar monoculture.

These developments were due in no small measure to a fortuitous Atlantic conjuncture. For the “sugar revolution” in Barbados occurred at a time when English metropolitan control over the island faltered. What allowed the Barbadians to engage in such principally illegal dealings with the Dutch was the colonial result of the turmoil in the metropole incited by the English Civil War. As the eminent historian of that war, Christopher Hill (1986), put it, between 1641 and 1650, Barbados virtually became an independent state, or at least approached a state of home rule. As a consequence, the emerging planter elite began to control legislative and executive matters in a manner unprecedented in any New World colony. Only when the British Parliament sent the fleet in the fall of 1651 did the Barbadians finally resubmit to imperial control. They arguably did so, however, because they had become too afraid of their own slaves and rebellious servants to risk giving out arms to them—a situation foreshadowing the agonizing decisions the Jamaican planter elite made when the protest of the 13 North American colonies against British commercial legislation began to escalate into a full-scale colonial war more than a century later.

Still, the intervening period had allowed the Barbadian planter elite enough autonomy to achieve three major objectives: first, to engineer the crucial economic takeoff with the help of Dutch capital and distribution networks; second, to forge a brutal slave code—first properly codified in 1661, but developed in the 1640s—that allowed masters almost unlimited power to exploit their human chattel; and third, to begin a process of concentration of landholding that effectively pushed small freeholders off the island.

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The Sugar Revolution in Barbados

From The Caribbean: A History of the Region and Its Peoples, ed. by Stephan Palmié and Francisco A. Scarano (U. Chicago Press, 2013), Kindle pp. 139-142:

Initially, the character of British settlement in Barbados resembled the first successful British colonial experiments on the North American mainland. As in Virginia, the first group of Barbadian colonists had been sent out by a charter company that intended to “plant” them there in the sense discussed above. Little is known about the first years in Barbados, but it seems as if the colony almost failed. As in Virginia, the British policy was to give out land grants to settlers and to employ the labor of indentured servants (Barbados had no indigenous population). The first commercial crops in Barbados were tobacco and, to a lesser extent, cotton—largely because the Barbadians tried to emulate the tobacco-driven success story Virginia had experienced in the 1620s. But tobacco cultivation in Barbados turned out to be a failure. Although the European tobacco market remained good until the late 1630s, the Barbadian product was considered vastly inferior to that of Virginia.

Nevertheless, in the 1630s the population of Barbados grew rapidly. As in Virginia, a majority of its inhabitants arrived as servants hoping to acquire land after the expiration of their term. Quite a large number of them, however, came involuntarily: they had been rounded up in British cities as vagrants, criminals, or seditious agitators and sentenced to “transportation.” This practice of deporting surplus populations from the metropole became so common that the phrase “to Barbados someone” (meaning to spirit away innocent people to servitude in the Caribbean) entered the lexicon of everyday English speech at the time. Many of the Irish defeated by Cromwell, followers of dissident sects, and royalists sentenced by Parliament during the English Civil War likewise found themselves aboard ships bound for the West Indies.

Temporary servitude was not uncommon in England at the time. As in the North American mainland colonies, most settlers to Barbados were attracted by the promise of eventually acquiring freehold status, but the margin of opportunity gradually shrunk as wealthier planters increased their holdings through purchase. Land available to ex-servants or free newcomers to Barbados virtually ran out at the end of the 1630s, and, unlike in Virginia, there was nowhere else to go. Also unlike the situation in England, where servants and apprentices enjoyed a certain amount of legal protection, was that Barbadian masters exercised almost unrestrained control over their servants and often abused them in ways entirely unprecedented in the mother land. As early as 1634, white servants rebelled on Barbados: and, as in the case of Bacon’s Rebellion in Virginia (1675), there are good indications that these servants, particularly the Irish, repeatedly tried to join forces with similarly maltreated Africans.

Nevertheless, by the end of the 1630s, Barbados still had not developed into a genuine plantation society. Although demographic data for this period are notoriously unreliable, toward the end of the 1630s the island had a population of almost 6,000; of these, some 760 held land—a proportion comparable to that in the European countryside, which is especially noteworthy because Barbadian landholdings still greatly varied in size. Some of the larger planters held tracts of several thousand acres, but the majority of freeholders farmed small parcels between 10 and 50 acres each. This situation changed drastically in the 1640s. Within less than a decade, most members of the white yeomanry on Barbados were squeezed off their land: servants were replaced by African slaves, and the social organization of the island irreversibly switched from that of a society with slaves to that of a society organized around the legal institution of slavery.

The reason for this dramatic transformation was sugar. Understanding the Barbadian “sugar revolution” requires stepping back to look at the development of sugar planting in the Americas after the decline of the early Spanish experiments. Both figuratively and literally, sugar arrived in Barbados from Brazil and aboard Dutch ships. It took hold there not because of British metropolitan intentions, but in spite of them.

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