Public Archaeology: Arts of Engagement

Professor Howard Williams, University of Chester, introduces his co-edited volume stemming from the 2nd University of Chester Archaeology Student Conference, April 2017.

How should communities be engaged with archaeological research and how are new projects targeting distinctive groups and deploying innovative methods and media? In particular, how are art/archaeological interactions key to public archaeology today?

9781789693737We proudly present the brand-new book: Public Archaeology: Arts of Engagement, appearing in the fabulous Archaeopress Access Archaeology series.

There remain surprisingly few edited collections in the field of public archaeology. Building on recent work, including the edited collection from 2015 Archaeology for All:  Community Archaeology in the Early 21st Century edited by Mike Nevell and Norman Redhead, and Gabriel Moshenska’s edited collection: Key Concepts in Public Archaeology, this new book helps to extend and expand critical discussions. It provides an outlet for an original and distinctive mix of fresh perspectives and approaches, specifically addressing art/archaeological intersections in public archaeology’s theory and practice. Our book focuses on UK perspectives and practices in public archaeology, although we feel many of the themes addressed are of global significance.

How did it come about?

poster2Following the 2nd University of Chester Archaeology Student Conference, 5 April 2017, Dr Caroline Pudney and I teamed up with former student Afnan Ezzedin to take the research presented forward to publication. We have crafted a proceedings which combines distinctive and select contributions from (undergraduate and Masters) archaeology students together with a range of original investigations and evaluations from academics and heritage practitioners.

For me, this has taken a huge amount of time, energy and personal sacrifices to get this done over the last 31 months or so. I’d also like to point out that this is part of a series of edited collections stemming from the Grosvenor Museum student conferences. I’ve now produced 2 of the 5 student conference volumes I’ve committed myself to. The first – The Public Archaeology of Death was out in January 2019. The third – Digging into the Dark Ages: Early Medieval Public Archaeologies – will be out in early 2020. The fourth is in production: The Public Archaeology of Frontiers and Borderlands.

What’s inside?

There are 22 contributions all told by 26 authors; many chapters are supported by colour illustrations.

Sara Perry writes an insightful and personal Foreword, using her own experiences as a means on reflecting about how we write critical public archaeologies which take our practices in new directions. Following this, there are two chapters by me. The first is an introduction which surveys pertinent themes and issues in public archaeology and art/archaeology interactions in particular, and the second, written to showcase the student presentations incorporated into the book as well as those that were not, reviews the conference and the development of the book.

The main body of the book is split into 3 sections. ‘The Art of Engagement: Strategies and Debates in Public Archaeology’ contains 8 chapters exploring different ways in which strategies are being deployed in public engagement and how we evaluate our practices. For example, I have co-authored a chapter in here which draws on the conference paper and essay by Rachel Alexander; we evaluate the much-lauded Operation Nightingale’s dialogues with early medieval warriors.

The second section – ‘Arts in Public Archaeology: Digital and Visual Media’, incorporates 6 chapters, each exploring different means of public engagement and evaluating their potential and challenges. My chapter in this section, for example, critically reviews my Archaeodeath blog from its inception in 2013 to the end of 2018.

The third and final section – ‘Art as Public Archaeology’ – has 4 chapters, considering different visual media as subject and strategy for public and community projects.

The Afterword by Dr Seren Griffiths identifies that all archaeology should have a ‘public’ dimension, and that creativity and playfulness must be key ingredients of good public archaeology.

Tell your friends, colleagues and libraries…

Afnan, Caroline and I hope you enjoy the book and appreciate its availability via open access as well as to acquire in print. The book is available now via the Archaeopress website, available to buy as a hard copy or download as a pdf free of charge.

Click here for a flyer offering 20% off a printed copy.

Libraries at least should definitely have physical copies to complement the online ones I think! Also, in case you weren’t sure, archaeology books as Christmas presents are definitely a thing!

Acknowledgements

educate-north-awards-2019-winner-badgeI duly acknowledge the hard work of the students and colleagues in facilitating the conference. I also recognise the help and camaraderie of my co-editors Caroline and Afnan, the enthusiasm and contributions of the authors, the generous guidance of so many of my fellow archaeologists, the critical insights of the peer-reviewers, and the steadfast support of Archaeopress. Together this team has shown commitment in creating a high-quality peer-reviewed academic publication with no funding and sparse other support. I’m therefore very proud that these conferences and their publications are recognised as a positive thing: it was great to receive the 2019 Educate North Teaching Excellence Award as a result.

The book is dedicated to the memory of Dr Peter Boughton FSA, Keeper of Art for West Cheshire Museums who had worked hard to facilitate the conferences taking place at Grosvenor Museum as public free day conferences in the heart of the city of Chester.

Header photo: The Heritage Graffiti Project during creation. Photograph: Ryan Eddleston.

Sincerest thanks to Howard for providing this article for the Archaeopress Blog. Public Archaeology: Arts of Engagement is available now in print (£58) or as a free pdf download.

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A selection of Access Archaeology titles published since 2015.

Learn more about Archaeopress Access Archaeology in our recent article celebrating 100 titles in the range.

Culture and Society at Lullingstone Roman Villa

Caroline Mackenzie introduces the research behind her new publication

Background to the book

2019 is a rather special year for Lullingstone Roman Villa – it marks the 70th anniversary of the commencement of the excavations. The first clues as to the existence of a Roman site in the vicinity of Lullingstone in the Darent Valley, Kent had been recorded in about 1750 when the fence around Lullingstone deer park was being renewed and diggers of the post holes struck a mosaic. However, it was not until 1939 that an archaeological survey undertaken by Ernest Greenfield and Edwyn Birchenough of the Darent Valley Archaeological Research Group concentrated on the Roman finds and that the remarkable story of the discovery of Lullingstone Roman Villa properly began.

The Second World War halted the 1939 survey which had to be put on hold until 1947 when the archaeological team was joined by Lieutenant-Colonel Meates, recently retired from the Royal Artillery and by this time resident in the gatehouse at Lullingstone Castle. Excavations formally commenced in 1949 and these revealed the remains of a Roman villa which boasted much evidence of a luxurious lifestyle: mosaics, sculpture, wall-painting, a hypocaust and baths. By 1955, Meates had become leader of the excavations and he oversaw them until their completion in 1961, documenting the finds in a series of publications.

The excavation team included numerous volunteers, some of them still schoolchildren, who dedicated much time and effort to uncovering the site. Many of these volunteers, now in their 70s and 80s, returned to the villa in July this year to celebrate the anniversary at a special reunion. I was fortunate to be invited to meet them and their families and it was fascinating hearing their stories.

I, too, visited the villa as a schoolchild. By this time the excavations had been completed and the site was being managed (as it is today) by English Heritage. I was inspired by the beauty of the mosaics and enthralled by the thought that this had been someone’s home over 1,500 years ago. I became fascinated by the Greeks and Romans and went on to study Classics at university. Many years later, and after a career as a solicitor, I visited Lullingstone again. Within months I had become a Classics teacher at a local school in Sevenoaks. I believe Lullingstone may have had some influence on this decision!

01 Caroline Mackenzie at the reunion of the original diggers at Lullingstone Roman Villa, July 2019.jpg
Caroline Mackenzie at the reunion of the original diggers at Lullingstone Roman Villa, July 2019. © Claire Lowe Photography.
02 Caroline Mackenzie presenting her research at Lullingstone Roman Villa, July 2019.jpg
Caroline Mackenzie presenting her research at Lullingstone Roman Villa, July 2019. © Claire Lowe Photography.

A few years later, when I began studying for an MA in Classical Art and Archaeology at King’s College London, the choice of topic for my dissertation was obvious. I lived near Lullingstone and visited it often, and I wanted to learn more about its history. I decided to focus on two main aspects: first, the villa within its landscape setting and the role of topography in the owner’s self-representation; second, the choice and use of mosaics in the fourth century villa and how the patron presented his cultural identity and status through pavements. Two modern television programmes sprung to mind: Location, Location, Location and Grand Designs! I started to wonder whether modern criteria for choosing a home have changed much from Roman times.

In assessing the landscape setting, I realised I would need to explore the vicinity of the villa on foot. This was an approach first adopted by Tilley in his innovative 1994 book.  I also wanted to research the ancillary buildings which included a circular shrine, a temple-mausoleum and a granary. I used the experience of exploring the area to examine the relative prominence of the villa and its ancillary buildings; for example, were they highly visible in the landscape? I also considered how the architects combined the setting with the layout of the villa to create a conspicuous display of the owner’s standing and worth.

03 Lullingstone Villa in its landscape in the later fourth century AD.jpg
Lullingstone Villa in its landscape in the later fourth century AD (illustration by Peter Urmston). © Historic England Archive.

By way of comparison, I decided to examine some other Romano-British villas. I had recently visited the Isle of Wight and the magnificent site of Brading Roman Villa. Themes such as the four seasons in Brading’s stunning mosaic provided direct comparisons for Lullingstone and helped me to answer questions such as what might have been represented in the part of Lullingstone’s mosaic which had been accidentally dug up in the 1700s. Chedworth Roman Villa, now managed by the National Trust, provided a particularly interesting case study in the context of its landscape setting.

In addition to Lullingstone’s central room which boasts the seasons mosaic framing Bellerophon killing the Chimaera, the adjacent apsidal dining room is celebrated for its mosaic of Europa riding the bull. The Europa mosaic is accompanied by a Latin inscription and, in this context, I studied Classical literature in other Romano-British villas to see if Lullingstone is what we would expect or whether it is exceptional.

I was fortunate to be supervised in my research by Dr John Pearce at King’s College London. I learned a huge amount from him and he made the project of researching and writing up rewarding, challenging and enjoyable. After my dissertation was complete and as preparations for the anniversary celebrations at the villa began to get underway, I started to work with Dr David Davison, Director at Archaeopress Publishing, on what would become my first book, Culture and Society at Lullingstone Roman Villa. David and all the team at Archaeopress made the process as smooth as possible and were such a pleasure to work with.

In the remainder of this blog, I shall set out the main themes of the book and hope you will be inspired to learn more!

Landscape setting

Wall-paintings from Lullingstone and now on display at the British Museum indicated that Christian worship had taken place in the villa. The evidence of religion has been exploited and applied to the mosaics in the adjacent rooms.  However, I interpreted the evidence in other ways and asked questions based instead on the use of space, landscape setting and architectural context of the mosaics. Wallace-Hadrill’s work in Pompeii and Herculaneum focused on the use of domestic space and the public and private spheres of a home.[1] Scott subsequently applied a similar concept to the interior space of Romano-British villas and extended it by placing more emphasis on the landscape setting.[2] In my research, I applied Scott’s methods to examine how Lullingstone’s inhabitants used domestic space to assert their status and cultural identity. A key example for Scott was that, by alluding to knowledge of Graeco-Roman culture, owners expressed their paideia: their appreciation of literature, philosophy and mythology enjoyed by the Roman élite.[3] In my research, I examined the practices of the inhabitants primarily during the late third and fourth centuries AD and how they adopted Roman culture in their domestic space.

Lullingstone Roman villa is in the Darent Valley in west Kent. It sits on a terrace cut into the hillside 55m west of the west bank of the river Darent, whose valley cuts through the North Downs, and was around 20 miles from Londinium (London). Lullingstone was a favourable site because of its access to varied resources and agricultural riches.

04 North Kent in the Roman period.jpg
North Kent in the Roman period.  © Historic England Archive.

In total there are around sixty known/suspected villas in Kent, most of which are in north Kent. Lullingstone was therefore part of an intensively exploited and agriculturally rich landscape. The Darent Valley villas probably supplied food and other agricultural produce to London and provided residences for the London elites.

A symbolic dimension of the owner’s appropriation of the landscape and its resources was the establishment of a cult room apparently relating to water deities complete with a niched wall-painting of three water-nymphs. This was created c. AD 180, contemporaneous with the baths, and demonstrated the owners’ reverence for water. It was located at the northeast of the villa, where the slope had been excavated to create what is known as the ‘Deep Room’.[4] The niche was later blocked up and could have easily escaped the excavators’ notice but, in a twist of fate, the site flooded mid-excavations and dislodged the plaster concealing the water-nymphs.[5] The villa-owner who created the water cult room might have seen this as a sign!

05 Reconstruction of ‘Deep Room’ shown at underground level, c. AD 380.jpg
Reconstruction of ‘Deep Room’ shown at underground level, c. AD 380 (illustration by Peter Dunn/Richard Lea). © Historic England Archive.

Visitors today may appreciate the tranquil setting and the view from the villa. While modern subjective assessments of ‘a lovely setting’ must be qualified, we know from Roman authors that observers then were sensitive to the aesthetics of views and this is not just a modern phenomenon (Ausonius: Moselle; Pliny the Younger: Epistulae 2.17).

06 Modern view of Darent Valley, taken from modern road approaching the villa.jpg
Modern view of Darent Valley, taken from modern road approaching the villa. Photograph: by author.

In c. AD 100 a circular building was constructed on a prepared terrace 24.4.m northwest of the villa. A flint and mortar construction with a thatched roof but no windows, it is thought to have been used for cult purposes until c. AD 180. The slope is steep and the elevated shrine must have made an imposing statement.[6]

It is believed to have fallen into ruin following disuse in the third century. However, the terrace on which it stood was extended to receive a temple-mausoleum in AD 300. This stood prominently around 6m above the ground to the west of the villa[7] and exemplifies skilful use of the hill-slope to create monumentality and visibility. The building took the form of a 12.2m square Romano-Celtic temple.[8] Beneath this was a tomb chamber with two lead coffins and various grave goods. We do not know the identity of the couple buried but it may be the villa-owner and his wife, and the temple-mausoleum seems to have been created for this double burial.

The date of construction of the temple-mausoleum coincides with a major refurbishment to the villa and its surroundings, all of which demonstrated the wealth and aspirations of the owner. The bath complex had been rebuilt and extended in around AD 280 and in AD 293-297 a large granary was constructed to the northeast of the villa,[9] a statement of agricultural prowess. The temple-mausoleum was a necessary part of the refurbishment for a villa-owner who wanted to make his mark on the landscape, in death as in life.

07 The baths as they may have appeared in the late third century AD.jpg
The baths as they may have appeared in the late third century AD (illustration by Peter Dunn/Richard Lea). © Historic England Archive.
08 Reconstruction drawing of Lullingstone Villa in the fourth century AD.jpg
Reconstruction drawing of Lullingstone Villa in the fourth century AD (illustration by Alan Sorrell) © Historic England Archive.

This illustration shows both the temple-mausoleum (top centre) and the circular shrine (top right). However, the circular shrine is believed to have fallen into ruin following disuse in the third century and before construction of the temple-mausoleum.

The large granary would have complemented the architecture and positioning of the villa.  The granary may also exemplify ‘the conspicuous display of agricultural production, processing and storage’. Taylor argues convincingly for more detailed studies of entire rural settlements and not just domestic buildings, the latter which attract scholarly analysis due to the existence of their mosaics, hypocausts and baths.[10]

The use of landscape to create immediate impact on visitors was used to similar effect in the villa at Great Witcombe in the Coln Valley, which was built into a steep hillside with the main part of the complex highest up ensuring that the most important visitors and household members were, quite literally, placed above everyone else.

09 Remains of Great Witcombe Roman Villa, Gloucestershire.jpg
Remains of Great Witcombe Roman Villa, Gloucestershire. © Historic England Archive.
© Historic England Archive.
10 Reconstruction drawing of Great Witcombe Roman Villa in the fourth century AD.jpg
Reconstruction drawing of Great Witcombe Roman Villa in the fourth century AD (illustration by Ivan Lapper) © Historic England Archive.

Chedworth villa merited a more detailed discussion in the context of its landscape setting and display of wealth and status. It was constructed in a small steep-sided valley of the river Coln, Gloucestershire.[11] Visitors to the late fourth century villa would have been struck by its impressive stature in its landscape setting.

The mosaics

The central room was a part of the villa which had been in use in every phase of its occupation but in c. AD 330-60[12] it was given a facelift with the instalment of a lavish mosaic. It depicted Bellerophon mounted on the winged horse Pegasus and killing the Chimaera. Surrounded by a cushion shaped guilloche, this part of the mosaic also contained four dolphins and two shell-type objects. Around the guilloche was a plain, square border, the four corners of which each contained a roundel depicting one of the four seasons, represented by female busts.

11 Bellerophon on Pegasus, spearing the Chimaera.jpg
Detail: Bellerophon on Pegasus, spearing the Chimaera. c. AD 330-60. © Historic England Archive.

The location and size of this room suggest that it served as an audience chamber, like the atrium in Italian villas, where the aristocrat held his morning salutatio (greeting) by his clients. The British equivalent might have been the farmworkers coming to the villa to receive instructions for the day, or tenants coming to pay their rent.[13]

12 Summer.jpg
Detail: Summer. c. AD 330-60. © Historic England Archive.

Seasons were a popular mosaic choice in Roman Britain (c.f. Brading and Littlecote) and the rest of empire. In my book, I discuss several possible interpretations of the seasons including them reflecting the liberality of the owner;[14] this might be exactly the message the Lullingstone patron had in mind, at a time when he was investing finances in his property.

Bellerophon could represent a heroic model for the patron’s own hunting exploits[15] and an allusion to power.[16] It was comprehensible to most viewers familiar with Homer’s Iliad in which the story was first told (6.155-202). The Homeric reference therefore reflects Lullingstone’s owner’s classical learning, a message consistently conveyed in all the mosaics he chose.

The apsidal room at Lullingstone was added as part of the overall embellishment of the villa c. AD 330-60.[17] A 23cm high step led from the audience chamber to the apse’s entrance, providing a natural extension to the space used for receiving clients and entertaining guests.[18]

13 Reconstruction of Lullingstone’s apsidal dining room with stibadium.jpg
Reconstruction of Lullingstone’s apsidal dining room with stibadium c. AD 330-60 (illustration by Peter Dunn). © Historic England Archive.
14 Reconstruction of Lullingstone’s audience chamber and apse.jpg
Reconstruction of Lullingstone’s audience chamber and apse. c. AD 330-60 (illustration by Peter Dunn). © Historic England Archive.
15 Europa mosaic.jpg
Europa mosaic. c. AD 330-60. © Historic England Archive.

The figure scene in the apse portrays Europa riding on a bull (Jupiter in disguise) over the sea, accompanied by two cupids with an inscription above.  The allusion is to Book 1 (50) of Virgil’s Aeneid and plays on the story of Juno’s anger at her husband Jupiter’s infidelity. Ovid’s Metamorphoses 2.846-75 recounts Jupiter’s transformation into a bull to trick and seduce Europa. As with Bellerophon, the overriding message that the owner wanted to convey was his paideia, his wealth and, by the inscription, his wit.

Concluding thoughts

My book sets out to demonstrate how the ensemble of the architecture, the mosaics and the exterior space worked to persuade visitors of the owner’s wealth and status. This included his right and ability to tame the landscape. The choices of mosaics provide compelling evidence of a traditional Classical education and sophisticated knowledge of Virgil and Ovid. The inscription is a remarkable paradigm of paideia. The Lullingstone owner acted out his role as a powerful and influential individual, displaying his cultural identity and status. We are fortunate that the landscape which served the owner’s purposes in Roman times has also performed a service for us in the years since, by washing soil and debris downhill and thus preserving much of the villa and its mosaics for us to explore 1,600 years later.

I should like to thank a number of people who helped me during my research. I was fortunate to meet the team at DROP (Discover Roman Otford Project). Kevin Fromings (Project Leader) and Gary Bennett (Membership Secretary) welcomed me to their dig, just a few miles from Lullingstone. Rod Shelton kindly provided a copy of his own research on Lullingstone and images of his scale model of the villa. Rob Sherratt helpfully shared his thoughts as to the construction of the villa and provided images of his 3D reconstruction. I should like to thank Dr John Pearce at King’s College London for his invaluable help and guidance during my research and writing of my dissertation. Last but not least, I should like to reiterate my thanks to everyone at Archaeopress and in particular to Dr David Davison, Ben Heaney, Patrick Harris and Dan Stott. I am very grateful to them all for their hard work and commitment, from reading the first draft of the manuscript to all their work and support post publication.

16 Scale model of Lullingstone Roman Villa.jpg
Scale model of Lullingstone Roman Villa. © Rod Shelton.
17 Dining room and audience chamber from scale model of Lullingstone Roman Villa.jpg
Dining room and audience chamber from scale model of Lullingstone Roman Villa. © Rod Shelton.
18 3D Reconstructions of Lullingstone Roman Villa
3D Reconstructions of Lullingstone Roman Villa. © Rob Sherratt.
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Just back from press! Caroline Mackenzie with her new book, Culture and Society at Lullingstone Roman Villa. Photograph: © Archaeopress.

References

[1] Wallace-Hadrill 1988: 52-55; [2] Scott 2000; [3] Scott 2000: 126-8; [4] Meates 1955: 59; [5] Meates 1979: 17 and 33; [6] Meates 1979: 119; [7] Meates 1979: 17; [8] Meates 1979: 122; [9] Meates 1955: 114; [10] Taylor 2011: 180; [11] Esmonde Cleary 2013: 14; [12] Meates 1979: 84; [13] Ellis 1995: 166; [14] Ellis 1995: 175; [15] Ling 1997: 278-9; [16] Ellis 1995: 175; [17] Meates 1979: 73; [18] Barrett 1978: 310.

Buy the book

9781789692907.jpgCulture and Society at Lullingstone Roman Villa by Caroline K. Mackenzie. 2019. ISBN 9781789692907. (eBook ISBN 9781789692914)

Paperback; 205×255 pages; viii+50 pages; 40 figures (colour throughout)

Paperback: £14.99; PDF eBook: from £9.99 + VAT

Buy print or PDF edition direct from Archaeopress (Free PDF included with the purchase of the printed edition)

Or you can buy in print from all good booksellers, including: Amazon.co.uk; Blackwell’s; Book Depository; Waterstones

Reviews

A Thing of Beauty. Clearly written and beautifully illustrated with full colour maps, photos and drawings, this is a book to treasure.

Amazon.co.uk five-star rated user review

An excellent study of a remarkable Roman villa. Mackenzie walks us through the estate, from the fields and granary to the temple-mausoleum and extravagant dining room… There are nicely produced photographs of the art (especially the incredible Bellerophon/Pegasus and the seasons mosaic), location, and comparable sites, and charming illustrations showing how the villa and its rooms might have looked in their heyday.

Amazon.co.uk five-star rated user review

Why Did Ancient States Collapse?

Malcolm Levitt suggests a generic multi-causal and dynamic framework to explain the collapse of ancient states

Dysfunctionality

Ancient states collapsed because they could not fulfil their core functions. This was because they failed to meet the conditions necessary to perform those functions. All this raises the questions of what those functions and necessary conditions were, and why they failed to meet them. Some readers might infer uncomfortable parallels with today’s societies or states but that theme is beyond the scope of this blog.

There is a considerable literature on the collapse of particular ancient states, much of it emphasising the role of a specific explanation for collapse. But mono-causal explanations are rarely sufficient and where multi-causal explanations are offered it is essential to analyse their dynamic interactions but relatively few studies do this. The aim here is to attempt a generic multi causal and dynamic framework to explain collapse.

We need to emphasise the importance of distinguishing between states and societies, a matter often bypassed by those who question the existence of collapse. States are institutionalised, centralised government structures whereas societies are the context of social structure, culture and common values in which states are moored. States can collapse as political entities while elements of their culture and values continue. To deny the collapse of the Western Roman Empire because elements of Roman culture thrived in Byzantium misses the point: states are political entities.

Ancient states were rooted in agriculture, sedentism and population growth. No state emerged without the presence of farming but farming is not a sufficient explanation of state formation: Mesopotamian crop management and animal husbandry long predated states. But grain especially was key to state formation, being taxable and useful paying soldiers and workmen. Growing population, enabled by improved diets, female energy and fertility, was the catalyst for state formation: meeting the demands for rising food production and distribution was beyond the management capacity of chieftains: assurance of food supplies was the founding core function of the bureaucratic state.

Nonetheless two routes to statehood were possible: consensus and egalitarianism or coercion and inequality; the latter tended to dominate or to supplant the former. They were fragile and prone to collapse.

Collapse

Sometimes explanations of collapse are seen as competing alternatives (such as intra-elite rivalry, invasion, popular uprisings) whereas they are not mutually exclusive in reality. Explanations of collapse in terms of competing mono-causal factors are inferior to those incorporating dynamic, interactive systems. In particular simultaneity is often ignored: where a factor is both determined by another and helps to determine the latter. Invasion might be induced by perceived military weakness in the invaded state but such weakness might be explained by loss of territory and part of the tax base to invaders and a vicious circle of fiscal depletion and dismemberment sets in. Natural catastrophe like drought, causing famine and popular unrest, might be exacerbated by neglect and mismanagement of key water infrastructures such as irrigation, flood control and grain and water storage. Diagram A illustrates such a model.

Diagram A. Collapse Explanations

Diagram A.jpg

Collapse should be explained as failure to fulfil the ancient state’s core functions: assurance of food supplies, defence against external attack, maintenance of internal peace, imposition of its will throughout its territory, maintenance of key civil and military infrastructures, enforcement of state-wide laws, and promotion of an ideology to legitimise the political and social status quo.

To fulfil these functions certain necessary conditions must be met. The legitimacy of the political and social status quo, including the distribution of political power and wealth, needs to be accepted; the state should be able to extract sufficient resources to fulfil its functions such as defence; it must be able to enforce its decisions; the ruling elite should share a common purpose and actions; the society needs to reflect a shared spirit (asibaya) and purpose across elites and commoners who believe it is worthy of defence.

Weaknesses and failure to meet any condition can interact to exacerbate the situation: maladministration, corruption and elite preoccupation with self-aggrandisement can induce fiscal weakness, reduced military budgets and further invasion; it can induce neglect of key infrastructures (especially water management). Inequality, a commonly neglected factor despite ancient texts, can erode asibaya and legitimacy and alienate commoners from defence of the state.

These themes are explored in relation to the Egyptian Old Kingdom, Mycenae, the Western Roman Empire (WRE), and the Maya. They all exhibit, to varying degrees, weaknesses in meeting the above conditions necessary for stability.

Although political collapse of the Old Kingdom is definite there is no consensus on the scope and severity of economic and cultural collapse. Drought, famine and intra-elite strife have been suggested as explanations for political collapse. Mass alienation and violence against the ruling elites has been suggested in ancient texts but their credibility is contentious. The evidence suggests systems failure and dysfunctionality including the incompetence and collapse of central authority and intra-elite strife (not least centre-provincial conflict); failure to finance and maintain key water management infrastructures by elites focussed on self enrichment; drought, the effects of which were exacerbated by that failure; loss of asibaya induced by huge inequality and the behaviour of selfish elites; and social conflict, possibly violent; loss of royal legitimacy in the face of drought despite the king’s supposed divine ability to guarantee rainfall and Nile flooding.

The political collapse of the Mycenaean palace states is beyond dispute. Some but not all aspects of their civilisation vanished. However, explanations of their political collapse (internal social strife including a Dorian peasant uprising, drought, invasion by Sea Peoples, earthquakes, intra-elite and interstate violent competition, and barbarian military technological advance) are particularly speculative because the very existence of possible explanatory factors is poorly demonstrated in the archaeological and written record, Homeric myth notwithstanding. Elements of the culture survived (religion, spoken language, some luxury artefact production) but others vanished, especially Linear B writing.

The WRE was dismantled by successive “Barbarian” invasions which should be regarded as factors in a dynamic systems collapse: unstable, ineffectual, corrupt governments, dynastic rivalry, intra-elite strife, economic and fiscal weakness and reduced military budgets induced barbarian invasion which further reduced the tax base and military funding. Aggressive imperial expansion itself had induced Germanic tribal coalescence which then exploited emerging Roman weakness and dismembered the WRE. The collapse graphically illustrates failure to meet the conditions needed for stability: effective defence against external attack, robust public finances, intra-elite cohesion, a society-wide spirit of asibaya – whereas the peasantry were impoverished and some collaborated with barbarian invaders or participated in Bacaudae armed rebellion ( the significance of which is disputed), commoner and elite acceptance of the legitimacy of the ruling regime, including willingness to support the state in the face of external attack.

The collapse of classic Maya states embraced the end of a political system and material culture but at different times in different places. Violent dynastic and intra-elite strife are probably sufficient to explain collapse; but they would have contributed to ineffectual responses to climate change, especially drought. Great inequality and peasant grievance, illustrated in ancient texts and by defacement of elite structures might suggest uprisings but such attacks on rich buildings and monuments might have followed collapse attributable to other reasons. Droughts arose at different times in different locations, although agriculture seems to have continued in some arid areas and evidence of drought in one place cannot explain collapse elsewhere. In short, ineffective government associated with internal strife along with droughts induced collapse but their relative contributions probably varied across the Maya states.

Inequality

Despite assertions by Aristotle and De Tocqueville that inequality is a factor in collapse, no analysis of inequality as an explanation of ancient collapse has been attempted or even suggested in recent publications on either ancient inequality or collapse. Evidence of inequality exists: house and skeletal size, and grave goods demonstrate ancient inequality. But grievance induced by inequality alone is insufficient to provoke successful challenge to authority; leadership, organisation and resources are also needed. They were conceivably provided by the WRE Bacaudae but their role in WRE collapse is disputed although written evidence suggests discontented peasants sometime welcomed and assisted barbarian invaders. Violence by the poor is suggested as a factor in Old Kingdom and Mycenaean collapse but the evidence is disputed in both cases. Minoan and Mayan evidence of damage to elite property exists but it is not known whether this preceded or followed collapse of authority. One Pueblo study demonstrates lagged correlation between peak inequality and peak violence but no examination of possible socially differentiated skeletal trauma was undertaken. Such research could produce useful evidence of possible social strife as a factor in collapse. Lack of such evidence could indicate lack of interest in inequality’s contribution to collapse or its genuine unavailability.

Conclusions

The distinction between states and societies or cultures is essential: the former, political entities can collapse but not necessarily the latter so to deny state collapse because of the continuation of cultural elements misses the point.

Mono- causal explanations of collapse are inadequate but to acknowledge multi-causality is insufficient unless a dynamic interaction between various explanatory factors is recognised.

States collapsed when they failed to fulfil their core functions because they did not meet the conditions necessary for a functioning stable state. Such pre-conditions include legitimacy, a common spirit of asibaya, ability to extract sufficient resources to maintain key infrastructures and services, intra-elite cohesion, and the ability to enforce decisions across its territory.

The publication, available in paperback and online as a free-to-download PDF eBook, presents four brief case studies to illustrate and confirm these hypotheses. The main findings are summarised in the tables below.

Table A. Summary of Evidence of Collapse

Table A.jpg

 Table B. Causes of Collapse

Table B.jpg

Header photo: Maya site of Quirigua, Guatemala © Malcolm Levitt

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9781789693027.jpgWhy Did Ancient States Collapse? The Dysfunctional State by Malcolm Levitt. 2019. ISBN 9781789693027. (eBook ISBN 9781789693034).

203x276mm;56 pages; 4 tables, 1 diagram (black & white throughout)

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Academic Archaeology in the USSR: Science in the Service of Ideology

Yaroslav V. Kuzmin provides a brief history of archaeology in Russia during the Soviet era

Archaeopress is very pleased to have published A. K. Konopatskii’s biography of Soviet archaeologist Aleksei P. Okladnikov as part of its ongoing ‘Archaeological Lives’ series. The following paper is an edited version of one of the introductory chapters to the biography provided by the volume’s co-translator, Yaroslav V. Kuzmin:

Throughout the existence of the USSR (1917–1991), the conditions for conducting academic research in the fields of the humanities were very different from the West.

Klejn (2012) distinguished several periods in the history of Russian/Soviet archaeology: 1) the beginnings of scientific archaeology (1850s–early 1880s); 2) archaeology as a separate field of knowledge (1880s–1910s); 3) archaeology at the time of revolution and revolution in archaeology (1917–1934); and 4) Soviet archaeology (1934–1991). It is interesting to note that the boundary between the Russian and Soviet periods is drawn not at 1917—a year of two revolutions— but later, when the ideology of Marxism-Leninism became dominant. In pre- 1917 Russia, archaeology was closely connected with ancient history, but the research on prehistoric sites was also developing. Some learning societies emerged after 1850: the Russian Archaeological Society in 1851 and, in 1864, the Moscow Archaeological Society. In 1859 the Imperial Archaeological Commission was created to oversee all excavations across Russia.

The 1917 revolutions brought the human sciences in Russia (and later on, in the USSR) to abrupt changes. The Civil War (1918–1920, in some parts of Russia until late 1922) resulted in a disastrous decline in industry; there was hunger and social strife, and the number of excavations was practically nil. Archaeological works slowly resumed after the early 1920s. The Bolshevik government, however, in 1919 created the Russian Academy for the History of Material Culture (the Russian abbreviation—RAIMK); after 1926 it was known as the Gosudarstvennaya Akademiya Istorii Materialnoi Kultury [State Academy for the History of Material Culture] (abbreviated as GAIMK). After several transformations it became the Institute for the History of Material Culture (abbreviation—IIMK), USSR Academy of Sciences in 1937, with two branches— in Moscow and Leningrad.

Okladnikov_Book_Figure_11
The building of the Institute of History of Material Culture, Leningrad/St. Petersburg.

The first head of the RAIMK/GAIMK (1919–1934) and formal leader of Soviet archaeology was Nikolai Ya. Marr, a scholar of Oriental studies. Marr was a prominent specialist in languages but not a proper linguist (Klejn 2012). Marr’s main contribution to science was ‘Japhetic theory’ (later turned into a ‘new doctrine of language’), built on the controversial idea that a Caucasian-based proto-language existed in Europe before the advent of the Indo-European languages. Marr’s doctrine was blessed by the Communist Party; he became a Party member in 1930. At that time, most of the Academy scholars were against the increasing ideological grip, and few of the Academicians were Communists; this is why the Party showered Marr with honours and titles. The archaeological implication of Marr’s ‘theory’ was that scientists were forced to explain cultural and other alterations as the result of the sudden changes in pre-existing populations, without any external influences.

The Marxist-Leninist approach in Soviet archaeology, developed in the late 1920s–early 1930s, defined the study of social changes from primitive societies to capitalism as the main research tool (see Trigger 2006: 329– 337). Archaeology was considered a part of history; there was a well-known expression by the prominent Soviet scholar Artemy V. Artsikhovsky that ‘Archaeology is history armed with a spade.’ Trigger (2006: 342) mentioned that many Soviet archaeologists truly believed in the possibility of extracting historical information from archaeological sources.

Two main ideologically driven paradigms were introduced into Soviet archaeology in the early 1930s. Trigger (2006: 327) combines them under the cultural-historical approach. Stadialism was developed mainly by Vladislav I. Ravdonikas and Sergei N. Bykovsky; it was based on the assumption that ethnic history can be presented as a series of leaps from one social stage (like slavery or feudalism) to another, without any external influence. Klejn (2012) noted that the entire idea of stadialism consisted of miraculous and unexplained transformations. However, in 1950, after the Second World War, the rise of Russian nationalism, inspired by Stalin, brought stadialism along with Marr’s entire theory to an end. Another approach, autochthonism, was employed by Marxist archaeologists to prove the origins of the Slavic people in local development, without any external influences from outside and/or migrations.

One of the main representatives of this method was Boris A. Rybakov, who was showered with positions and honours by the Soviet government and the Party (which was essentially the same thing) in the 1950s–1970s. Klejn (2012) also mentions other schools—Marxist sociologisers, doctrinaire unitarians, subdiffusionists and submigrationalists, empirics, scientification-oriented, imitators, ethnos-oriented, and ‘true’ Marxists.

Artsikhovsky and Ravdonikas, along with other younger archaeologists (notably Yevgeny Y. Krichevsky, Andrei P. Kruglov, and Yuri V. Podgaetsky) developed the ‘Marxist’ approach to the interpretation of archaeological data in 1926–1929 (see Trigger 2006: 328, 330), based on a strong assumption that technology directly determines the nature of society and ideology. The goal of the archaeologist, according to the ‘Marxist’ approach, was to reconstruct the societies that produced artefacts and not the artefacts themselves. The ‘method of ascent’ by Artsikhovsky – from artefacts to the structure of ancient society – presupposes establishing social structure by knowing only the Marxist peculiarities of the development of humanity. In this case archaeology was given the same level of reconstruction as history. But in 1932, due to change in the Party’s leading ranks that caused a shift in Communist ideology, archaeology was declared an auxiliary discipline that could only help history study the past.

There were other approaches that did not completely follow the ideological lines of the Party. The palaeoethnological method was initiated in the late nineteenth century and developed in the 1930s by Boris S. Zhukov, Petr P. Efimenko, and Sergei I. Rudenko. Their main idea was to combine archaeology and ethnography, and to reconstruct the history of ethnic groups in relation to environmental changes. Due to strict ideological control from the mid-1930s on, this direction and its representatives were suppressed. The diffusionist approach (including migrationism) was used after the turn of the twentieth century but was banned in the 1930s in order to promote autochthonism. In the 1950s, however, due to changes in the Party’s upper circles and the fight for power and ideological control, diffusionism was again allowed.

During the tenure of Josef Stalin as a head of the Soviet state (1929–1953), even slight disagreement with the Party line was very dangerous. Klejn (2012: 87) noted:

‘In Soviet archaeology all strictly academic debate of the slightest consequence inevitably assumed the nature of a ferocious political battle. In the early 1930s (and again in the 1950s), if a topic did not in itself qualify for such status, an archaeologist could invariably be found who would invest it with that status, in order to stick a political label on an opponent and win an easy victory. Such victories were often accompanied by ‘organisational measures’: condemnation of the recalcitrant as an enemy of Marxism, or worse, a renegade), dismissal, and even arrest of the individual and all his relations.’

During the purges in the 1920s–1930s, about 150 archaeologists, historians, art experts, and museum and local lore scholars were sentenced and either sent to prison, exiled, or even exterminated. Perhaps the true number is significantly higher. At least ten well-known Soviet archaeologists were executed or died shortly after imprisonment (Klejn 2012: 28). The ‘Academic’ and ‘Slavist’ affairs of 1929–1934 resulted in arrest and exile of dozens of scholars, mainly archaeologists and historians from Leningrad (Klejn 2014: 64). In this environment, most Soviet archaeologists were afraid to submit their papers to foreign periodicals for fear of being accused of espionage and sabotage.

After the death of Stalin in March 1953, ideological control of the humanities was to some extent loosened, and more academic freedom was allowed, as long as it did not challenge the leading role of the Party.

Nevertheless, despite the pure ‘theatre of the absurd’ of the Soviet political system, including Orwellian attempts to erase from publications the names of people who fell out of the Party’s favour (Klejn 2012: 31), the pioneering research conducted in the 1920s–1960s is widely acknowledged by the international scholarly community: by Gleb S. Bonch-Osmolovsky, Petr P. Efimenko, Sergey N. Zamyatnin, and Aleksandr N. Rogachev on the Palaeolithic; Sergei A. Semenov on use-wear analysis; Ravdonikas on the Mesolithic and petroglyphs in northern Russia; Mikhail P. Gryaznov on the Siberian Bronze and Early Iron ages; Rudenko on frozen burial mounds (kurgans) in Mongolia and the Altai Mountains of Siberia; Sergei P. Tolstov on early Central Asian states; Boris B. Piotrovsky on the archaeology of Trans-Caucasus; Aleksei P. Okladnikov on Siberian prehistoric archaeology and rock art; and Artsikhovksy on Medieval perishable birch-bark texts from Novgorod.

Okladnikov_Book_Figure_18
A. P. Okladnikov examines the rock art in Mongolia, 1970s.

Obviously, it is impossible to characterise in this brief essay all the varieties of Soviet archaeology of the 20th century; the reader will find more in the book by Aleksander K. Konopatskii about the life and works of Okladnikov in the 1930s–1950s.

References

Klejn, L.S. (2012). Soviet Archaeology: Schools, Trends, and History. Oxford: Oxford University Press.

Klejn, L.S. (2014). Istoriya Rossiiskoi Arkheologii: Ucheniya, Shkoly i Lichnosti (The History of Russian Archaeology: Doctrines, Schools and Personalities). Volumes 1–2. St. Petersburg: Eurasia (in Russian).

Klejn, L.S. (2017). Archaeology in Soviet Russia. In: Lozny, L.R. (ed.), Archaeology of the Communist Era: A Political History of Archaeology of the 20th Century, pp.59–99. Cham, Switzerland: Springer.

Trigger, B.G. (2006). A History of Archaeological Thought (2nd edition). New York: Cambridge University Press.

Yaroslav V. Kuzmin has been studying geoarchaeology of the Russian Far East, Siberia and neighbouring Northeast Asia since 1979 (PhD 1991; DSc. 2007). He has also assisted in translating and editing books on the archaeology of eastern Russia.

9781789692044Aleksei P. Okladnikov: The Great Explorer of the Past. Volume I. A biography of a Soviet archaeologist (1900s – 1950s) by A. K. Konopatskii, translated by Richard L. Bland and Yaroslav V. Kuzmin. Printed ISBN 9781789692044. eBook ISBN 9781789692051.

xxiv+410 pages; 30 black & white figures.

Aleksei P. Okladnikov (1908–1981), a prominent Russian archaeologist, spent more than 50 years studying prehistoric sites in various parts of the Soviet Union – in Siberia, Central Asia and Mongolia. This biography will appeal to archaeologists, historians, and anyone interested in the history of the humanities in the twentieth century.

Available now from Archaeopress: Paperback (£24.99); PDF eBook (£16+VAT).

 

Hadrian’s Wall. A study in archaeological exploration and interpretation

David J. Breeze shares some thoughts on his recent delivery of the 2019 Rhind Lectures and their simultaneous publication.

There are no doubt many reasons why people write books. For me, it is the end point of a piece of research. Some may be content to undertake research and file the results in a drawer; that is not for me. But publishing the Rhind lectures was different. I had been asked two years ago to deliver the six lectures to the Society of Antiquaries of Scotland, to be given over the weekend of 10-12 May 2019. As I started to prepare the lectures, I realised that the decennial Pilgrimage of Hadrian’s Wall would be just 2 months after the Rhinds and there would be much to be said for having them published in time for that event. Archaeopress agreed that the lectures could be published in time for the Pilgrimage, indeed in time for the lectures themselves. As a result, I switched my mind to writing the book first and subsequently tweaking the text to fit more the style of lectures, though maintaining as much conformity as possible, as David Davison requested. The book was duly completed, submitted and published the weekend of the lectures. There was no problem in tweaking the lectures, but what I had not bargained for was the fact that the pursuit of knowledge continues, be it in one’s own head or through further reading. In the weeks between the submission of the text to Archaeopress and the lectures I came across Kyle Harper’s work on a plague in the 250s and 260s which affected the inhabitants of the Roman empire. Could this be the reason for the abandonment of civil settlements outside many forts on the northern fringes of the empire? Too late to include this thought in the book, but it was embraced by the lectures, and is now an interesting line of research to pursue.

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Dr David Caldwell, President of the Society of Antiquaries of Scotland, introduces the 2019 Rhind lectures. Photo © Society of Antiquaries of Scotland.
MVIMG_20190511_153327
Professor David J. Breeze delivers the 2019 Rhind Lectures. Photo © Society of Antiquaries of Scotland.

Header photo: Hadrian’s Wall at Castle Nick. Photo © Peter Savin.

9781789691672Excerpt: Hadrian’s Wall: A study in archaeological exploration and interpretation by David J. Breeze. Archaeopress, 2019. Paperback, ISBN 9781789691672, £19.99; PDF eBook, ISBN 9781789691689, from £16 +VAT (if applicable).

Preface

This book stems from the invitation of the Society of Antiquaries of Scotland to deliver the Rhind lectures in 2019, sponsored by AOC Archaeology Group. The lectures were endowed by Alexander Henry Rhind, the first being held in 1874, and with rare exceptions they have been held every year since. His legacy stipulates that six lectures have to be delivered. Until 1986 these were held over the course of one week from Wednesday to Wednesday, but in 1987 the pattern was changed and the lectures are now held over a weekend from Friday evening to Sunday afternoon. The first lecture of the series sets the scene and, as it is followed by a reception, is something of an occasion. The last lecture tends to be shorter than normal as it may be followed by questions. The subject of the lectures should relate to ‘some branch of archaeology, ethnology, ethnography, or allied topic, in order to assist in the general advancement of knowledge’. I was asked to speak on an aspect of my research on Hadrian’s Wall, the Roman Limes and army, and ‘its wider international, practical and theoretical implications’.

The first two lectures – chapters in this book – provide the historiographical background to our present understanding of Hadrian’s Wall. They start with John Collingwood Bruce, the leading authority on the Wall, from 1848 until his death in 1892, who gave the Rhind lectures in 1883 and whose influence continues to this day. Research on the Wall in the field and in the study from 1892 to the present day are covered in the second lecture. The third and fourth lectures consider the purpose(s) and operation of Hadrian’s Wall from the first plan drawn up soon after Hadrian became emperor in 117 through to the final days of its existence as a frontier shortly after 400. Five distinct ‘plans’ for the Wall are promulgated. The fifth lecture examines the impact of the frontier on the people living in its shadow and beyond. The last lecture reviews the processes which have brought us to an understanding of Hadrian’s Wall and considers the value of research strategies, with some suggestions for the way forward. The chapters in this book reflect closely the lectures themselves with the main change being the addition of references. I am grateful to the Society for its agreement to publish this book to coincide with the lectures and for its support in its preparation.

In order to try to retain a relationship with the lectures I have restricted the number of references in the text. Quotations are always referenced. Detailed references to structures on the Wall may be found in the Handbook to the Roman Wall (Breeze 2006) while work during the last decade is reported in the handbook prepared for the 2019 Pilgrimage of Hadrian’s Wall (Collins and Symonds 2019).

Hadrian’s Wall has acquired its own terminology. At every mile there was a small enclosure called a milecastle (MC), similar to a fortlet (a small fort), which contained a small barrack-block and protected a gate through the Wall. In between each pair of milecastles there were two towers known as turrets (T) after the Latin for a tower, turris. On the Cumbrian coast, the equivalent terminology is milefortlet (MF) and tower (T). These structures on the Wall are numbered westwards from Wallsend and on the Cumbria coast westwards from Bowness-on-Solway. Behind the Wall is an earthwork known as the Vallum. It consists of a central ditch with a mound set back equidistant on each side. As the essential feature is the ditch, it should be termed the Fossa, but it was named the Vallum over a thousand years ago and it is too late to change the name. One issue is to differentiate easily between the Wall, meaning the whole of the frontier complex, and the linear barrier, here called the curtain wall.

Also by or featuring David J. Breeze:

Maryport: A Roman For and Its Community by David J. Breeze. Archaeopress, 2018. Paperback, ISBN 9781784918019, £14.99; PDF eBook, ISBN 9781784918026, from £10 +VAT (if applicable).

Bearsden: The Story of a Roman Fort by David J. Breeze. Archaeopress, 2018. Paperback, ISBN 9781784914905, £20.00; PDF eBook, ISBN 9781784914912, from £16.00 +VAT (if applicable).

Roman Frontier Studies 2009 Proceedings of the XXI International Congress of Roman Frontier Studies (Limes Congress) held at Newcastle upon Tyne in August 2009 edited by Nick Hodgson, Paul Bidwell and Judith Schachtmann. Archaeopress Roman Archaeology Series #25, 2017. Paperback, ISBN 9781784915902, £90.00; PDF eBook, ISBN 9781784915919, from £16.00 +VAT (if applicable).

Latrinae: Roman Toilets in the Northwestern Provinces of the Roman Empire edited by Stefanie Hoss. Archaeopress Roman Archaeology Series #31, 2017. Paperback, ISBN 9781784917258, £35.00; PDF eBook, ISBN 9781784917265, from £16.00 +VAT (if applicable).

The Turkish Long-Necked Lute or Bağlama

Hans de Zeeuw introduces the tanbûr long-necked lute

In contemporary Turkey, the saz or bağlama, being a member of a large family of long-necked lutes called tanbûrs, is the core instrument of all folk musical ensembles and orchestras and a popular instrument in the arabesk, entertainment, and pop music in Turkey. The bağlama also plays an important role during the ceremonies of the heterodox sects of the Alevî and Bektaşî and among the âşıks, the Anatolian wandering poet-musicians, to accompany their partly religious repertory. The bağlama plays furthermore an important role in musical education to teach folk-music theory, notation, performance, and teaching of acoustics and instrument construction. Its importance is also testified by the fact that musicians, such as Arif Sağ, Musa Eroğlu, and Erdal Erzincan, play the bağlama as solo instrument on national and international concert stages.

The long-necked tanbûr, which appeared in literary and iconographic sources during the Sâsânian era (c. AD 224-651), diffused into the various musical traditions along the Silk Road, resulting in a variety of closely or distantly related tanbûrs with two or more, occasionally doubled or tripled courses, a varying number and variously tuned frets, each having its own characteristic sound, playing technique, and repertory. Similar or identical instruments are also known by other names, such as saz or bağlama, dotâr or dutâr, setâr, dömbra, and damburâ (FIGURE 1).

Plate Plate
Figure 1. Sâsânian silver plate showing a poet-musician playing a tanbûr, 5th–7th centuries AD (bottom left). Freer Gallery of Art, Washington.

The tanbûr arrived with the Seljuks in Anatolia in the eleventh century or even may be before. Possible intermediaries in the development of the Turkish saz instruments are the by Abd al-Qâdir Ibnu Ghaibî al-Marâghî in his book Maqâsid al-Alhân (The meaning of melodies, early fifteenth century) discussed tanbûr-i şirvânîyân (the tanbûr of Shirwân, located in the north of Azerbaijan) and the tanbûre-i türkî (the tanbûr of the Turks). The tanbûre-i türkî had, compared to the tanbûr-i şirvânîyân, a smaller pear-shaped body, a longer neck and two or three strings (FIGURE 2). Saz is a Persian word meaning musical instrument. It appeared for the first time in a work by Nezami van Gandja (1141-1209), one of the greatest poets in Persian poetry. In Anatolia we come across the word saz in the fifteenth century as a name for the tanbur of the travelling poet singers, the âşık, who were also called saz şaileri, poets with the saz.

Fliesen aus dem Kiosk des  Arslan II
Figure 2. Poet-musician playing a tanbûr in the usual cross-seated playing position of Central Asia with the neck pointed downwards, like the tanbûr players on the Sâsânian silver plates, on an excavated ceramic tile from the summer palace of Sultan Alâ al-Dîn Kayqubâd I, Anatolia, early 13th century. Museum für Islamische Kunst, Staatliche Museen, Berlin.

The origin of the name bağlama is still unknown. It could have been derived from the verb bağlamak (Turkish for to bind), the tying of frets around the neck or strings to the tuning pegs. The description of a saz with the name bağlama appeared in the second half of the 18th century in several European writings. Histoire générale, critique et philologique de la musique (1767) by Charles-Henri de Blainville (1711-1769), Reisebeschreibung nach Arabien und andern umliegenden Ländern (1774, 1778) by Carsten Niebuhr (1732-1815), and Essai sur la musique ancienne et moderne (1780) by Jean Benjamin de Laborde (1734-1794), who was sentenced to the guillotine during the French Revolution. De Blainville and Niebuhr were probably the sources of de Laborde. The bağlama was a small sized lute compared to the other lutes on the engravings of de Blainville, Niebuhr, and de Laborde (FIGURE 3).

FIG_3
Figure 3. Bağlama (3), bozuk (2), and iki telli (1) on an engraving from the Essai sur la musique ancienne et moderne of Benjamin de Laborde.

A few decades later we find the name bağlama as tanbour baghlama in another European writing Description historique, technique et littéraire des instruments de musique des orientaux of 1823 by Guillaume André Villoteau. Villoteau, who stayed in Cairo from 1799 until 1803 as a member of Napoleons Egypt-expedition, discussed several tanbûrs, which were mainly played by Turks, Jews, Greeks, and Armenians. In Lane’s time (1830s), tanbûrs were still ignored by native musicians in Egypt and only played by Greeks and other foreigners (FIGURE 4).

FIG_4
Figure 4. The Ottoman tanbûr (tanbour kabyr tourky) in the centre is flanked on the left by the tanbour charqy and the small tanbour boulghâry and on the right by the tanbour bouzourk and the small tanbour baghlama. Furthermore, in the foreground, a violin and a ‘ûd, engraving from the Description historique technique et littéraire des instruments de musique des orientaux (1823) of Guillaume André Villoteau.

We know from the Seyâhatnâme of Evliyâ Çelebi that sazs, which travelled with the Ottomans to the Middle East and the Balkans, were present at the Ottoman court and in the Turkish cities. Literary and iconographic sources as well as surviving instruments to reconstruct the history of the saz in the rural areas of Anatolia before the 20th century are scarce or absent. The separation between urban and rural culture was mirrored by the sophisticated courtly and urban sazs and the simple rural sazs, a situation that only increasingly changed after the establishment of the Republic of Turkey in 1923.

The proclamation of the Republic of Turkey in 1923 in Ankara had a major impact on the musical traditions and musical instruments of which the modernized and standardized saz became the most important instrument. In the 1930s musicologists started to construct a theory of folk music parallel to that of the Ottoman makam tradition. A body of modal structures, instrument tunings, plectrum movements, and rhythms were established through collection and notation inseparably linked to the saz. Moreover, the number of tied-on movable frets was, in imitation of the Ottoman tanbûr, increasingly expanded to create a larger tonal range. An earlier example of this practice can be found on a drawing of a saz from the Tefhîmü’l Makamat fi Tevlîd-in Neğamât (The concept of the makams in the making of melodies,  mid-18th century) of Kemânî Hızır Ağa.

Around 1940, the number of frets further increased, a development in which Mahmut Ragıp Gazimihâl (1900-1961) and Muzaffer Sarısözen (1899-1963) played an important role. This development took place around Radio Ankara and aimed to reform the music and musical instruments of the many regions, each with their own characteristics, into a coherent whole. For that purpose, choirs and orchestras were established, which performed uniform folk music on standardized sazs like those of Radio Ankara and Radio Istanbul.

Since the 1950s it became increasingly customary, starting in radio circles, to use the name bağlama instead of saz as a generic name for saz instruments. From literature we learn, however, that the traditional bağlama of Anatolia was a small saz. It is therefore obvious that not the small bağlama, but a larger saz was used to expand the number of frets. In contemporary Turkey, bağlama and saz are still used alternately.

FIG_5
Figure 5. Fret tuning (perde taksimati) of the long-necked bağlama (uzun saplı bağlama) and short-necked bağlama (kısa saplı bağlama) according to Cafer Açin.

Due to the modern entertainment industry and the changing taste of the audience after 1960, better trained musicians developed virtuoso playing techniques and set higher demands on technical and artistic issues such as the timbre and sound volume of their instrument, the method of stringing, and the number of frets and their arrangement on the neck. Around 1970 there was still a great variety in the number of frets and their tuning. Nail Tan concluded in Bağlama yapımı (Bağlama construction) that generally seventeen frets were used for the octave, but that the number of frets, among which non-diatonic ones, and their position on the neck was not yet standardized. Since second half of the 1980s, there seems to be some agreement. Sabri Yener in Bağlama öğretim metodu (Bağlama teaching method) and Irfan Kurt in Bağlamada düzen ve pozisyon (Bağlama tuning and vertical technique) both established seventeen frets in the octave, including five non-diatonic frets. Cafer Açin (1939-2012) established in Bağlama. Yapım sanatı ve sanatçıları also seventeen frets in the octave for the long-neck bağlama as well as short-neck bağlama (FIGURE 5).

The development of virtuoso playing techniques consisted of an increasing combination of vertical and horizontal playing techniques on the bağlama. In order to make an effective use of its vertical possibilities, the neck had to be shortened. By constructing a more pear-shaped bowl it was possible to lengthen the neck inwardly. In this way, the neck could be kept relatively short keeping the necessary space for the frets (FIGURE 6).

FIG_6
Figure 6. On the left, Muzaffer Sarısözen playing a ten-stringed of which the number of frets are expanded on the soundboard. On the right, the expansion of the number of frets on the neck by modifying the bowl of the saz.

Modern entertainment required, furthermore, the amplification of the sound. The bowl was therefore changed from a small U-shape to a larger and deeper U-shape with a soundhole (kafes) under the tailpiece (tel bağlama takozu) or, sometimes, in the soundboard. The soundboard changed from slightly arched and composite to a flat one made of a singular sheet of wood. For constructional reasons, the characteristic straight pegbox of the saz was replaced by a slightly angled attached pegbox. Moreover, on the first, third, and sometimes second course one of the strings was replaced by a so-called ‘bam teli’ or ‘octave’ string (brass-wrapped string), which was introduced towards the end of the 1950s by Neşet Ertaş (1938-2012) who was probably the last of the great bozlak (songs of agony) poet-musicians. These changes increased the soundvolume and changed the timbre. Moreover, the bağlama was amplified with electronic devices to facilitate playing in clubs or concert halls (FIGURE 7).

FIG_7
Figure 7. On the left, traditional saz. In the middle, morphological modifications of the soundbox, soundboard, and pegbox of the saz. On the right, contemporary long-necked bağlama.

The ongoing development of virtuoso playing techniques, combining the traditional horizontal playing techniques with vertical playing techniques, fuelled the development of the short-necked bağlama, being actually a long-necked bağlama with a shortened neck, an instrument suiting the combining of vertical and horizontal playing techniques. To distinguish the long-necked bağlama from the short-necked bağlama, the long-necked bağlama was called unzun saplı bağlama, the short-necked bağlama kısa saplı bağlama. The first experimental versions of the short-necked bağlama emerged after 1960. Musicians were, before Arif Sağ asked the luthier Kemal Eroğlu to develop a short-necked bağlama, not very interested in the short-necked bağlama. According to Kemal Eroğlu, the short-necked bağlama was derived from the long-necked saz/bağlama. According to Arif Sağ, however, the short-necked bağlama was not a new development but an older type saz type with a short neck. Some agree that there are certain similarities with the saz of the Alevî dedes.

The short-necked bağlama became after 1980, mainly under the impulses of Arif Sağ, a very popular instrument, particular in combination with the şelpe and parmak vurma technique (see accompanying video of Erdal Erzincan). An example is his virtuoso Teke Zotlaması, which was also played by Talip Özkan (1939-2010) on the long-necked bağlama as well as cura bağlama. Talip Özkan started in the 1960s to combine the traditional horizontal playing technique with vertical playing techniques on the long-necked bağlama tuned to the bozuk düzeni tuning, a tuning facilitating both techniques (FIGURE 8).

Figure 8. On the left, Arif Şağ playing şelpe on the kısa saplı bağlama during a concert in the Tropeninstituut in Amsterdam. Foundation Kulsan, Amsterdam. On the right, Talip Özkan playing a long-necked bağlama combining horizontal and vertical playing techniques.

Many folk musical genres can be played on the long-necked bağlama because it can be tuned in various ways. The short-necked bağlama has, on the other hand, a higher sound volume and can, because of its shorter neck and closely spaced frets, be played ‘easier’ and faster making use of all the three courses. Despite its popularity the short-necked bağlama did, however, not displace the long-necked bağlama.

Modernization and standardization resulted, furthermore, in the 1980s in the in the bağlama family (bağlama ailesi). Within the bağlama family different size categories can be distinguished, although no single classification is in general accepted and there are, moreover, also intermediate forms. A possible classification of the bağlama family, from small to large, is the cura, the short-necked bağlama (kısa saplı bağlama) and the long-necked bağlama (uzun saplı bağlama), the tanbura, the divan sazı, and the meydan sazı. The establishment of a nomenclature of the saz/bağlama family still has to be undertaken (FIGURE 9).

FIG_9
Figure 9. The bağlama family consisting of the cura, the short-necked bağlama (kısa saplı bağlama) and the long-necked bağlama (uzun saplı bağlama), the tanbura, the divan sazı, and the meydan sazı.

The systematic use of all three string courses and making a more effective use of the bağlama düzeni not only resulted in the short-necked bağlama but also initiated the development of instruments such as the dört telli bağlama (four course bağlama) and Oğur sazı, developed by the luthier Kemal Eroğlu after an idea of the musician Erkan Oğur. Both instruments are a continuation of the development of vertical and harmonic playing techniques (FIGURE 10, left).

Since the first six-stringed prototype from 1991, more prototypes were built like the thirteen-stringed and six-stringed Oğur sazı. In the meantime, various versions of the Oğur sazı were built by among others the musician and luthier Engin Topuzkanamış (Izmir) for other musicians like Efrén López and Guillermo Rizotto in Spain and Gilad Weiss in Israel (FIGURE 10, right).

Figure 10. On the left a four-course dört telli bağlama by Murtaza Çağır and ten-stringed Oğur sazı by Engin Topuzkanamış. On the right Engin Topuzkanamış playing a six-stringed version of the Oğur sazı in his workshop in Izmir.

An example of how the bağlama can inspire new forms is the divane of Yavuz Gül. Looking for a larger volume than the divan sazı, Yavuz Gül (Izmir) developed the divane, a family of hybrid instruments inspired by the long-necked bağlama and ‘ûd/lauta. The divane family consist of the efe divane, baba divane, divane deli, and the bass divane (FIGURE 11).

FIG_11
Figure 11. Three-course divane played by Yavuz Gül.

The exploration and development of vertical and harmonic playing techniques and a theory of Turkish harmony, for which the bağlama provides a model, will remain an important issue within Turkish folk music, notwithstanding attempts to standardization. Instrument makers do respond to the changes in the musical practice. This principle has dictated the evolution of music and instrument making for centuries.

FIG_12
Figure 12. Erdal Erzincan playing şelpe on a for this technique made four-stringed bağlama during a concert in the Centrale in Gent in 2017. The Centrale, Gent (Belgium).

Musical instruments are constantly changing and there is always room for improvement, innovation, and evolution. New bağlama types, of which the construction, the number of frets and their tuning, number of strings and their tuning, and playing technique vary, will therefore continue to evolve (FIGURE 12).

Further Reading

Bates, E. 2011. Music in Turkey: Experiencing Music, Expressing Culture (Global Music Series). Oxford: Oxford University Press.

Conway Morris, R. 2001. Bağlama, in S. Sadie (ed.) New Grove Dictionary of Music and Musicians 2: 469. London: MacMillan Press Limited.

Hassan, S.Q., R. Conway Morris, J. Baily and J. During 2001a. Tanbūr, in S. Sadie (ed.) New Grove Dictionary of Music and Musicians 25: 61-62. London: MacMillan Press Limited.

Sayce and T. Crawford 2001. Lute, in S. Sadie (ed.) New Grove Dictionary of Music and Musicians 15: 329-363. London: MacMillan Press Limited.

Spector, J., R. At’Ajan, C. Rithman C and R. Conway Morris 2001. Saz, in S. Sadie (ed.) New Grove Dictionary of Music and Musicians 22: 361-362. London: MacMillan Press Limited.

Stokes, M.H. 1993. The Arabesk Debate. Music and Musicians in Modern Turkey. Oxford: Claredon Press.

Zeeuw, J. 2009. De Turkse Langhalsluit of Bağlama. Amsterdam.

Zeeuw, J. 2019. Tanbûr Long-Necked Lutes along the Silk Road and beyond. Oxford: Archaeopress.

YouTube

Arif Sağ: https://www.youtube.com/watch?v=FPrTu3AWfuM

Talip Özkan: https://www.youtube.com/watch?v=ha5mAX1WaMM

Neşet Ertaş: https://www.youtube.com/watch?v=7yQI2mUX7Rc

Erdal Erzincan: https://www.youtube.com/watch?v=__ZGmCkB58I

9781789691696Sincerest thanks to Hans De Zeeuw for providing this article for the Archaeopress Blog.

Hans’ latest book, Tanbûr Long-Necked Lutes along the Silk Road and beyond (Archaeopress, 2019) is available:

Paperback, ISBN 9781789691696, £40

PDF eBook, ISBN 9781789691702, from £16+VAT

Available here:

https://tinyurl.com/9781789691696

Pioneering archaeological photography in John Alfred Spranger’s 1929-1936 photo reportages

Stefano Anastasio and Barbara Arbeid present the photo-archives of archaeologist and photographer John Alfred Spranger (1889-1968)

The importance of early photo-archives for archaeology

Early photo archives are becoming an increasingly important source of information for archaeology. This is, of course, a positive trend: any effort to make “forgotten” data available to the scientific community is to be welcomed.

Early photos may prove a powerful tool for protecting and promoting the value of archaeological heritage.

Hopefully, the current interest in early photo-archives will result in an increasing number of published archives. This will help archaeologists enhance their research, as well as the protection and conservation of the archaeological heritage.

John Alfred Spranger

John Alfred Spranger was born in Florence on 24 June 1889. His father, William, moved to Tuscany from England in the middle of the nineteenth century and was a professor at the Academy of Arts and Drawings in Florence. John Alfred was a leading figure in the cultural milieu of Florence at the beginning of the twentieth century. Both archaeologist and photographer (as well as engineer, topographer, mountain climber, art collector…), he was the author of several photo reportages detailing archaeological monuments and landscapes especially in Italy, Albania, Greece, Canada, Egypt, and Mesopotamia.

In 1913-1914, he participated in the Filippo De Filippi Expedition to the Himalayan Karakoram, as assistant topographer. The photographers of the expedition – Cesare Antilli, Major of the Italian Army, and Giorgio Abetti, a Florentine astronomer – systematically used cameras during the expedition, creating a real reportage, and Spranger surely gained a great passion for photography thanks to this expedition.

FIG_1
Fig. 1. Harry Burton at work in Deir el-Bahari (1929). The photo on the right corresponds to no. 4 marked on the map.

In the 1920s-1930s, he took part in a number of Etruscan excavations in Tuscany and paid great attention to the use of the camera to document the excavation work in progress. During this period, he spent time with Harry Burton, photographer of the discovery of the Tomb of Tutankhamun. It was, in fact, in Florence that Burton was hired as a photographer and archaeologist by Theodore M. Davis, who obtained the concession for the excavations in the Valley of the Kings in Egypt. During his stay in Florence, Burton spent time with Spranger and both were involved together in a number of Etruscan excavations. Their friendship is witnessed by Spranger in his Egyptian album, where Burton is portrayed in some photos taken in 1929 during the excavations at Deir el-Bahari (see fig. 1). Spranger died in 1968 at Newbury, in England, and was buried in Florence.

The publication of Spranger’s photo-archives

9781789691269The passion for photography accompanied Spranger for life. He took thousands of photographs, collecting them in refined photo-albums, consistent in shape, size and style, enriched by annotations, topographic maps and plans (most of the original stereograms were recently retrieved at the public library of Vaiano, a small town close to Florence where many documents from Spranger’s family are held today). On Spranger’s death, some albums, i.e. those dedicated to “archaeological subjects” were donated by his heirs to the then Superintendency of Antiquities of Etruria, and are currently held at the Photo-Archive of the Archaeological Museum of Florence. The volume published by Archaeopress presents the photos dedicated to a trip to Egypt in 1929 and a trip to Mesopotamia (Iraq) in 1936, as well as to some surveys and excavations carried out in Etruscan archaeological sites in Tuscany between 1932 and 1935.

FIG_2
Fig. 2. The map of the témenos of Ur (1936), with the photo perspectives and camera angles marked and numbered. On the right, photos corresponding to no. 3 (ziqqurat, from NE) and no. 8 (ziqqurat and courtyard of Temple of Nannar, from N).

Spranger’s photos are particularly meaningful, especially because he combined his skills in using the camera with a great expertise in archaeology and topography. He often glued maps of the sites he had surveyed on the albums, on which all perspectives and camera angles were marked and numbered (see an example in fig. 2). As a result of this, he was able to create outstanding “georeferenced” sets of photos for many archaeological sites: Giza, Heliopolis, Menphis, Saqqara, Beni Hasan, Abydos, Dendera, Medinet Habu, Karnak, Luxor, Thebes and Deir el-Bahari, in Egypt; Ur, al-Ubaid, Uruk, Nippur, Babylon, Ctesiphon and Birs Nimrud in Mesopotamia; the tholos of Casaglia, the tumulus of Montefortini and the necropolis of Casone, Riparbella, La Ripa in Tuscany.

FIG_3
Fig. 3. Excavation of a tomb at the necropolis of La Ripa, in Tuscany (1933).

Stefano Anastasio and Barbara Arbeid
Superintendency for Archaeology, Arts and Landscape – Florence
stefano.anastasio@beniculturali.it
barbara.arbeid@beniculturali.it

Cover photo: Page from an album dedicated to the temple of Seti I in Abido, Egypt. On the left is the temple plan, with perspectives and camera angles numbered so as to allow identification of the related photographs, in turn numbered and placed on the right page.

About the authors
Stefano Anastasio has carried out archaeological researches in Italy (Sardinia, Tuscany), Syria, Turkey, Jordan and currently works at the Archaeological Photo Archive of the Superintendency of Florence. His main research interests are the Mesopotamian Iron Age pottery and architecture, the building archaeology and the use of the early photo archives for the study of the Near Eastern archaeology.

Barbara Arbeid is an archaeologist at the Superintendency of Florence, appointed to the archaeological heritage protection service. Her main research interests are the archaeology of Norther Etruria, the Etruscan bronze craftsmanship, the archaeological collecting and photography.

Further reading

9781789691269Egitto, Iraq ed Etruria nelle fotografie di John Alfred Spranger Viaggi e ricerche archeologiche (1929-1936) by Stefano Anastasio and Barbara Arbeid. Archaeopress Archaeology, Oxford, 2019.

205x290mm; 178 pages; highly illustrated throughout in sepia and black & white. Italian text with English summary.

Paperback: ISBN 9781789691269. £35.00.
eBook: ISBN 9781789691276. From £16.00 (+VAT if appl.).

Also available from Archaeopress

9781784911188The 1927–1938 Italian Archaeological Expedition to Transjordan in Renato Bartoccini’s Archives by Stefano Anastasio and Lucia Botarelli. Archaeopress Archaeology, Oxford, 2015.

210x297mm; ii+242 pages; extensively illustrated throughout in black & white.

Paperback: ISBN 9781784911188. £40.00.
eBook: ISBN 9781784911195. From £16.00 (+VAT if appl.).

9781784914646Ceramiche vicinorientali della Collezione Popolani by Stefano Anastasio and Lucia Botarelli. Archaeopress Archaeology, Oxford, 2016.

170x240mm; vi+200 pages; illustrated throughout in colour and black & white. Italian text with English summary.

Paperback: ISBN 9781784914646. £34.00.
eBook: ISBN 9781784914653. From £16.00 (+VAT if appl.).

9781784910587Archeologia a Firenze: Città e Territorio Atti del Workshop. Firenze, 12-13 Aprile 2013 edited by Valeria d’Aquino, Guido Guarducci, Silvia Nencetti and Stefano Valentini. Archaeopress Archaeology, Oxford, 2015.

210x297mm; iv+438 pages; illustrated throughout in black & white. Italian text. Abstracts for all papers in Italian & English.

Paperback: ISBN 9781784910587. £58.00
eBook: ISBN 9781784910594. From £16.00 (+VAT if appl.).