Chapter I: Part 1

THE BIRTH
OF CIVILIZATION
IN THE
NEAR EAST

HENRI FRANKFORT

Doubleday Anchor Books
Doubleday & Company, Inc.
Garden City, New York

Henri Frankfort was born in 1897 in Holland. He first studied history at Amsterdam University, obtained his M.A. in London, but returned to the University of Leiden for his Ph.D. He has done extensive field work in the Near East, his main project being the Oriental Institute of Chicago’s excavations in Iraq from 1929 to 1937. Dr. Frankfort both organized and headed these excavations, which yielded much new information on the early history of Babylonia, from 4000 to 2000 B.C. In 1938 Dr. Frankfort went to Chicago to write and to teach at the University of Chicago, which had appointed him Research Professor of Oriental Archaeology in 1932. In 1949 he was appointed Director of the Warburg Institute and Professor of the History of Pre-classical Antiquity in the University of London. Among his other writings are numerous contributions to professional journals and a book, _Ancient Egyptian Religion_ (1948). Dr. Frankfort died in 1954.

Cover design by Antonio Frasconi
Typography by Edward Gorey

_The Birth of Civilization in the Near East_ was published by Indiana University Press in 1951. The Anchor Books edition is published by arrangement with Indiana University Press.

Anchor Books edition: 1956

First published in the United States of America
by Indiana University Press

PREFACE

A full description of the birth of civilization in the Near East would require a work many times the size of the present book. We have concentrated on the social and political innovations in which the great change became manifest. These bear most directly on the questions to which the appearance of the first civilized societies gives rise; yet they have received less attention than the concomitant changes in the fields of technology and the arts, the manifestations of religion, or the invention of writing. In so far as technological and artistic developments reveal social and political conditions, we have taken them into account; but we have not attempted to describe them in detail, and have kept our subject within manageable limits by a somewhat strict interpretation of the word civilization. While it is true that the terms “civilization” and “culture” count as synonyms in general usage, and that every distinction therefore remains arbitrary, there are etymological reasons for preferences in their use. The word “culture,” with its overtones of something irrational, something grown rather than made, is preferred by those who study primitive peoples. The word “civilization,” on the other hand, appeals to those who consider man in the first place as _homo politicus_, and it is in this sense that we would have our title understood.

A question which we have left unanswered is that of origins. The reader will find that in trimming the ramifications of historical beginnings we have exposed the trunks rather than the roots of Egyptian and Mesopotamian civilization. To what extent can their roots be known; what were the forces that brought them into being? I think that the historian must deem this question unanswerable. It can but lead him astray in the direction of quasi-philosophical speculations, or tempt him to give pseudo-scientific answers. It is the latter alternative which has done most harm, for time and again such changes as an increase in food-production or technological advances (both, truly enough, coincidental with the rise of civilization) have been supposed to explain how civilization became possible. This misconception bars the road to a deeper understanding. For Whitehead’s words are valid for past and present alike:

In each age of the world distinguished by high activity there will be
found at its culmination, and among the agencies leading to that
culmination, some profound cosmological outlook, implicitly accepted,
impressing its own type upon the current springs of action. This
ultimate cosmology is only partly expressed, and the details of such
expression issue into derivative specialized questions ... which
conceal a general agreement upon first principles almost too obvious
to need expression, and almost too general to be capable of
expression. In each period there is a general form of the forms of
thought; and, like the air we breathe, such a form is so translucent,
and so pervading, and so seemingly necessary, that only by extreme
effort can we become aware of it.[1]

It is this effort which the historian cannot shirk, nor is there a short cut to the understanding of an alien past; but I believe that the comparative study of parallel phenomena leads most surely to an elucidation of manifest and implicit form.

I have confined myself to Egypt and Mesopotamia, the cultural centres of the Ancient Near East; for in the peripheral regions civilization arose late and was always, to some extent, derivative. Egypt, too, was influenced by Mesopotamia during its formative period, but without losing its distinct and highly individual character. This matter of early cultural contact is of such importance for our problem that I have discussed the relevant evidence in an Appendix.

The following chapters are expanded versions of lectures delivered at Indiana University, Bloomington, in the winter of 1948-9, on the Patten Foundation. I am grateful to Dr. Helene J. Kantor, of the Oriental Institute, the University of Chicago, for generously providing me with the drawings for Figures 1 and 4.

H. Frankfort
WARBURG INSTITUTE,
UNIVERSITY OF LONDON
17 DECEMBER 1950

CONTENTS

PREFACE v
LIST OF ILLUSTRATIONS xi
I. THE STUDY OF ANCIENT CIVILIZATIONS 1
II. THE PREHISTORY OF THE ANCIENT NEAR EAST 25
III. THE CITIES OF MESOPOTAMIA 49
IV. EGYPT, THE KINGDOM OF THE TWO LANDS 90
APPENDIX. The Influence of Mesopotamia on Egypt Towards the End
of the Fourth Millennium B.C. 121
CHRONOLOGICAL TABLE 138
INDEX 139

LIST OF ILLUSTRATIONS
_Following page 64_

1A. Bone sickle haft with end carved in form of animal’s (goat’s)
head, and groove for inserting flints, 38 cm. long, from
Mugharet el-Kebarah, Natufian (_Journal of the Royal
Anthropological Institute_, LXII [1932], Plate XXVII, 1)
1B. Upper part of bone sickle haft with carving of a young deer, about
11 cm. long, from Mugharet el-Wad, Lower Natufian (D. A. E.
Garrod and D. M. A. Bate, _The Stone Age of Mount Carmel_,
Vol. I [Oxford, 1937], Plate XIII, 3)
1C. Upper part of bone sickle haft with end carved in form of human
figure and groove, 12.8 cm. long, from Sialk in Persia (R.
Ghirshman, _Fouilles de Sialk_, Vol. I [Paris, 1938], Plate
LIV, 1)
1D. Sickle of wood with cutting edge of flints, 51.5 cm. long, from
the Fayum (G. Caton-Thompson and E. W. Gardner, _The Desert
Fayum_ [London, 1934], Plate XXX)
1E. Wooden sickle of the First Dynasty with cutting edge of flints, 45
cm. long, from Saqqara (Walter B. Emery, _The Tomb of Hemaka_
[Cairo, 1938], Plate XV, D)
2. Camp site at Hassuna (_Journal of Near Eastern Studies_, IV [1945],
Fig. 27)
3. Papyrus swamp on the Upper Nile (Courtesy of Natural History
Museum, New York)
4. Chart of the sequence of predynastic and protodynastic remains, by
Dr. Helene J. Kantor, Oriental Institute, University of
Chicago
5. Sculptured trough in the British Museum (W. Andrae, _Das Gotteshaus
and die Urformen des Bauens im alten Orient_ [Berlin, 1930],
Plate II)
6. Marsh Arabs in Southern Iraq (Photo Underwood)
7. Clay objects of the Al Ubaid period, from Tell Uqair, in the Iraq
Museum, Baghdad (_Journal of Near Eastern Studies_, II [1943],
Plate XVI)
8. The “White Temple” on its ziggurat at Erech (_Achter vorläufiger
Bericht, Abhandlungen der Preussischen Akademie der
Wissenschaften_, 1937, Phil.-Hist. Klasse, Plate 40_b_)
9. Semi-engaged columns covered with cone mosaic (_Dritter vorläufiger
Bericht, Abhandlungen der Preussischen Akademie der
Wissenschaften_, 1932, Phil.-Hist. Klasse, Plate I)
10. Colonnade on platform at Erech (_ibid._, Plate 8)
11. The Ishtar ziggurat at Erech in Assyrian times (W. Andrae, in
Otto, _Handbuch der Archaeologie_, Plate 144)
12. Cult relief, from Assur (W. Andrae, _Kultrelief aus dem Brunnen
des Assurtempels zu Assur_ [1931], Plate I)
13. The development of Mesopotamian writing (J. H. Breasted, _Ancient
Times_, 2nd ed. [Boston, 1935], Fig. 86)
14. Impression of a cylinder seal of the Protoliterate period showing
bulls and ears of barley (Frankfort, _Cylinder Seals_ [London,
1939], Plate V_b_)
15. Impression of a cylinder seal of the Protoliterate period showing
offerings of fruit, vases, etc., being made to the
mother-goddess (_ibid._, Plate V_c_)
16. Impression of a cylinder seal of the Protoliterate period showing
frieze of monsters (_ibid._, Plate V_h_)
17-18. Front and back of the stone figure of a ram in the Babylonian
Collection, Yale University (Courtesy of Yale University Art
Gallery), length 21.8 cm., height 15.8 cm.
19. Early Dynastic temple at Khafajah (P. Delougaz, _The Temple Oval
at Khafajah_ [Chicago, 1940], Frontispiece)
20. Copper model of primitive chariot, from Tell Agrab (Courtesy,
Oriental Institute, University of Chicago), height 7.2 cm.
21. Alabaster figure of the Early Dynastic period, from Khafajah
(Frankfort, _More Sculpture from the Diyala Region_ [Chicago,
1943], Frontispiece), height 7.2 cm.
22. Head of an Akkadian ruler, from Nineveh (Courtesy of Department of
Antiquities, Baghdad)
23-24. The Gebel el Arak knife-handle (Louvre: _Journal of Egyptian
Archaeology_, V [1919], Plate XXXII)
25. The Hunters’ palette (British Museum and Louvre; Capart,
_Primitive Art in Egypt_, 231, Fig. 170)
26. Macehead of king “Scorpion” (Courtesy of Ashmolean Museum, Oxford)
27-28. Palette of King Narmer (Cairo Museum; photographs of the
Metropolitan Museum of Art, New York)
29. Harvesting scenes, from the tomb of Ti, Old Kingdom, about 2400
B.C. (Wreszinski, _Atlas zur Altaegyptischen
Kulturgeschichte_, III, Plate 49)
30. Agricultural scenes, from the tomb of Menna, New Kingdom, about
1400 B.C. (Wreszinski, _Atlas zur Altaegyptischen
Kulturgeschichte_, I, Plate 231)
31. Plan of workmen’s village at Tell el Amarna, about 1360 B.C. (Peet
and Woolley, _The City of Akhenaten_, I, Plate 16)
32. Impression of a Mesopotamian cylinder seal, from Egypt (Berlin;
Scharff, _Altertümer der Vor- und Frühzeit Aegyptens_, 1929,
Plate 25, No. 135)
33-34. Impressions of two cylinder seals of the second half of the
Protoliterate period, from Khafajah (Courtesy of Oriental
Institute, University of Chicago)
35. Wooden cylinder seal of the First Dynasty, from Abydos (Berlin;
Scharff, _op. cit._, Plate 27, No. 48)
36. Impression of Fig. 35
37. Cylindrical funerary amulet (Berlin; Scharff, _op. cit._, Plate
26, No. 145)
38. Impression of Fig. 37, showing long-haired man seated at offering
table
39. Cylindrical funerary amulet showing seated man (Berlin; Scharff,
_op. cit._, Plate 26, No. 146)
40-41. Flint knife with gold-foil handle, from Gebel et Tarif (Cairo;
J. E. Quibell, _Archaic Objects_ [Cairo, 1905], p. 237)
42. Two buildings, with recesses and towers, of the First Dynasty in
Egypt, and a seal impression of the second half of the
Protoliterate period, from Khafajah (_American Journal of
Semitic Languages and Literatures_, LVIII [1941], Plate I,
_a_, _b_)
43. Stela of King Djet of the First Dynasty (Louvre)
44. Three buildings with recesses, rendered on monuments of the First
Dynasty in Egypt, and three Mesopotamian cylinder-seal
impressions of the Protoliterate period (_American Journal of
Semitic Languages and Literatures_, LVIII [1941], Plate 341,
Fig. 7)
45. Plan of the “White Temple” on the archaic ziggurat at Erech
(_Achter vorläufiger Bericht_, 1937, Plate 19_b_)
46. Plan of the Tomb of Hemaka at Saqqara (W. B. Emery, _The Tomb of
Hemaka_, Plate I)
47. Tomb ornamented with recesses, at Abu Roash (_Kemi_, VII [1938],
Plate XI_a_)
48. Recesses of the “White Temple” at Erech (Drawn after _Achter
vorläufiger Bericht_, 1937, Plate 14_b_)
49. Wooden coffin imitating a recessed building with round wooden
beams, from Tarkhan (Petrie, _Tarkhan_, I, Plate XXVIII)
50. Recessed tomb with round wooden beams, of the First Dynasty, at
Abu Roash (_Kemi_, VII [1938], p. 40, Fig. 9)
51. Map of the Ancient Near East, from the _Westminster Historical
Atlas to the Bible_ (The Westminster Press, [Philadelphia,
1945], 22)

I. THE STUDY OF ANCIENT CIVILIZATIONS

Our subject is the birth of civilization in the Near East. We shall not, therefore, consider the question how civilization in the abstract became possible. I do not think there is an answer to that question; in any case it is a philosophical rather than a historical one. But it may be said that the material we are going to discuss has a unique bearing on it all the same. For the emergence of Egyptian and Mesopotamian civilization has some claim to being considered as the birth of civilization in a general sense. It is true that the transition from primitive to civilized conditions has happened more than once; but the change has mostly been induced—or at least furthered—by contact with more advanced foreigners. We know of only three instances where the event may have been spontaneous: in the ancient Near East, in China, and in South and Middle America. However, the genesis of the Maya and Inca civilizations is obscure, and for China we must count with the possibility—some would say the likelihood—of a stimulus from the West. But no appeal to foreign influence can explain the emergence of civilized societies in Egypt and Mesopotamia, since these lands were the first to rise above a universal level of primitive existence.

In the sequel we shall leave this aspect of our subject to one side: in other words, though the fact that in the Near East civilization arose spontaneously, and for the first time imparts a particular weight and splendour to the events, we are specifically concerned with the events themselves. And here, at the very outset, a difficulty must be faced.

It seems easy to deal in a general way with civilizations as entities; at least this is commonly done. Arnold Toynbee, in his _Study of History_, distinguishes without hesitation twenty-one civilizations—“specimens of the species,” belonging to the “genus societies”—by what he believes to be an empirical method. But consider the problem which arises when we want to study the genesis of any one civilization in particular! We cannot merely assume that it is an entity and has a recognizable character of its own; we are bound to make that character explicit in order that we may decide _when_ and _where_ it emerged.

This problem is hardly ever envisaged by those who are best acquainted with the actual remains of antiquity. The archaeologist is either occupied with disentangling successive phases in his stratified material; or he constructs from his finds a fairly continuous story of man’s increasing skill and enterprise. In this context the questions _when_ and _why_ we are entitled to speak of the existence of Egyptian or Sumerian (_i.e._ early Mesopotamian) civilization seem of secondary importance. On the other hand, the philologist does not encounter the question at all. For him, Sumerian or Egyptian civilization exists from the moment when texts were written in these languages.

Our problem is pre-eminently a historical one, and it has, accordingly, two aspects: that of _identity_ and that of _change_. What constitutes the individuality of a civilization, its recognizable character, its identity which is maintained throughout the successive stages of its existence? What, on the other hand, are the changes differentiating one stage from the next? We are not, of course, looking for a formula; the character of a civilization is far too elusive to be reduced to a catchword. We recognize it in a certain coherence among its various manifestations, a certain consistency in its orientation, a certain cultural “style” which shapes its political and its judicial institutions, its art as well as its literature, its religion as well as its morals. I propose to call this elusive identity of a civilization its “form.” It is this “form” which is never destroyed although it changes in the course of time. And it changes partly as a result of inherent factors—development—partly as a result of external forces—historical incidents. I propose to call the total of these changes the “dynamics” of a civilization.

The interplay of form and dynamics constitutes the history of a civilization and raises the question—which lies outside our present inquiry—to what extent the form of a civilization may determine its destiny.

For the moment, the distinction of form and dynamics enables us to bring some clarity into the problems connected with our present subject, the birth of Near Eastern civilization. Under the aspect of “form” we may ask: what actually does appear when this civilization comes into being? Is its form established piecemeal? If so, whence comes the coherence which characterizes it throughout its historical existence? Under the aspect of “dynamics” we may ask: is the emergence of this civilization a gradual process? Are earlier elements transmuted or combined by degrees, or is the peculiar coherence of a mature civilization the outcome of a sudden and intense change, a crisis in which its form—undeveloped but potentially a whole—crystallizes out, or rather, is born? The title of this book indicates the answer which I think the evidence compels us to accept as correct. But, before we consider the evidence, it will be profitable to discuss certain current opinions. For if it is true—as we have said before—that those best acquainted with the ancient Near East have rarely found occasion to consider our problem, it is equally true, of course, that we are not the first to discuss it.

Curiously enough, the two men who have devoted their life’s work to the problem of the genesis of civilization have done so under a compelling awareness of its decline. Oswald Spengler and Arnold Toynbee both wrote under the shadow of an impending world war; and their work is, to some extent, warped by their preoccupation with decay. Oswald Spengler’s _Decline of the West_ was first published in 1917 and bears the subtitle, _Outline of a Morphology of World History_.[2] This indicates that the aspect of form (as we have called it) is fully considered in his work. In this resides, as a matter of fact, the element of lasting worth of his sensational, arrogant, and pompous volumes. They were written as a reaction against the prevalent view of history which was prejudiced in two respects: it considered world history exclusively from the western standpoint; and it presumed, with evolutionary optimism, that history exemplified the progress of humanity. For Spengler the word “humanity” is merely an empty phrase. The great civilizations are unconnected. They are self-contained organisms of so individual a nature that people who belong to one cannot understand the achievements and modes of thought of another. He maintains that not even in science does knowledge show accumulations transcending the limits of one civilization.

It would seem that under such conditions world history is not feasible at all, and this has, in fact, been maintained by no less a historian than Ernst Troeltsch.[3] But Spengler thinks otherwise because he applies biological methods to the study of civilizations. The very word “morphology,” which figures in his sub-title, usually denotes the study of form and structure in plants and animals; it warns us to expect biological categories and these, indeed, abound. For instance, Spengler maintains that in different civilizations we can find not _analogues_—features similar as regards function—but only _homologues_—features similar as regards form. He also maintains that the life-cycle of each civilization runs through the same phases: youth, maturity, and senescence. This implies that a comparison of corresponding phases in different civilizations may be instructive, but that it is merely confusing to compare phases which do not correspond; for then one is led to expect, for instance, that an ageing civilization (like our own) might yet be able to produce great poetry or a live religion, which are features peculiar to civilizations in their youthful stage.

The birth of civilization is succinctly described by Spengler in the following passage:

It comes into flower on the soil of a precisely definable region, to
which it remains linked with a plant-like attachment. A civilization
dies when it has realized the sum total of its potentialities in the
guise of peoples, languages, theologies, arts, states, sciences.[4]

I have omitted certain untranslatable references to an _urseelenhafter Zustand_ from which civilizations are supposed to emerge and to which their “souls” return. For the quotation shows clearly that Spengler, notwithstanding these irrational additions, writes, like Toynbee, under the spell of the nineteenth century and attempts to interpret history in the terms of science. Even if we admit that the country in which a civilization arises influences its form, we must balk at Spengler’s formulation (repeated elsewhere in his work, _e.g._ I, 29) which approaches materialistic determinism. By interpreting the harmony between each civilization and its natural setting in this manner, he denies a freedom of the human spirit which—to name but one instance—the achievements of the Greeks in Sicily and southern Italy splendidly vindicate.

In describing the death of a civilization Spengler is likewise under the spell of scientific notions. This is not obvious; in fact, Spengler’s success is largely due to the plausibility of some of his most imaginative statements. We feel that it makes sense, even that it is illuminating, to speak of a youthful, or ageing, or dying civilization. But for Spengler such phrases are not metaphors; and when he speaks (as in the previous quotation) of a civilization’s dying “when it has realized the sum total of its potentialities,” he believes that he refers to a state of affairs as inevitable and as accurately predictable as the withering of a plant. He actually calls civilizations “living beings of the highest order,”[5] and he undertakes to state with precision which phenomena characterize each stage in their life-cycle. For him, an imperialistic and socialistic order follow a traditional and hierarchical society; expanding technique and trade follow greatness in art, music, and literature as certainly as the dispersal of the seeds follows the maturing of a plant which will never flower again. But to take the biological metaphor literally, to grant in this manner reality to an image, is not morphology but mythology; and it is belief, not knowledge, which induces Spengler to deny the freedom of the spirit and the unpredictability of human behaviour.

Spengler substitutes the mystery of natural life for the dynamics of history which he, therefore, fails entirely to explain.[6] But to the aspect of “form” he has done justice as few before him. Here too, however, he goes much too far. It is one thing to stress the singularity of each great epoch of the past as a prerequisite of deeper understanding, and quite another to declare the discontinuity of cultural achievements to be absolute. Had the first been Spengler’s intention, no one who had once comprehended the uniqueness of a historical situation, a work of art, or an institution, would have quarrelled with his dictum: “Each civilization has its own possibilities of expression, which appear, mature and wither, and never recur.”[7] When he states, furthermore, “I see in world-history the image of a perennial configuration and transfiguration, a wonderful formation and dissolution of organic forms. The professional historian, however, sees in it the image of a tape-worm which tirelessly puts forth period after period,” there is enough truth in this scathing remark for it to strike home. It is a negative truth, but it is born of a true perception of the poverty of our usual view of history as an evolutionary process. This view encourages us to project the axioms, habits of thought, and norms of the present day into the past, which, as a result, seems to contain little that is unfamiliar to us. It is remarkable how rarely historians of ancient or alien civilizations have guarded themselves against that danger. In this respect Herodotus was more perspicacious; he realized that the values of different cultures may be incommensurate when he frankly epitomized his description of Ancient Egypt in the statement that its laws and customs were, on the whole, the opposite of those of the rest of mankind.[8] This peculiar integration of the facts satisfied a Greek facing Barbarians. We, however, seek understanding. We can be resigned neither to registering astonishment nor to accepting the solution which a misconceived regard for objectivity sometimes proposes: a mere chronicling of the facts. We cannot rest content when we know that the Egyptians considered their king a god, entombed him in a pyramid, buried cats and dogs, and mummified their dead. We want to recover the cultural “form” in which these odd phenomena find their proper place and meaning. But it is a laborious, and never completed, task to rediscover the original coherence of a past mode of life from the surviving remains. Spengler attempts short cuts; overrating the extent of his truly remarkable erudition, and, for the rest, trusting recklessly his intuition, he forces the evidence to fit the schemata which he has conceived. He describes, for instance, the bearer of Egyptian civilization as follows:

The Egyptian soul—pre-eminently gifted for and inclined towards
history, striving with primeval passion towards the
infinite—experienced past and future as its entire universe, and the
present ... but as a narrow borderland between two measureless
distances. The Egyptian civilization is an embodiment of concern—the
soul’s correlate of distance—concern with the future, manifest in the
choice of granite and basalt as the material for sculpture, in the
engraved documents, in the elaboration of a masterly system of
administration and a net of irrigation works; of necessity a concern
with the past is linked with this concern for the future.[9]

I hold this image of ancient Egypt evoked by Spengler to be totally at variance with the evidence. I have recently interpreted this evidence and described how (to take up the points raised by Spengler) the Egyptians had very little sense of history or of past and future. For they conceived their world as essentially static and unchanging. It had gone forth complete from the hands of the Creator. Historical incidents were, consequently, no more than superficial disturbances of the established order, or recurring events of never-changing significance. The past and the future—far from being a matter of concern—were wholly implicit in the present; and the odd facts enumerated above—the divinity of animals and kings, the pyramids, mummification—as well as several other and seemingly unrelated features of Egyptian civilization—its moral maxims, the forms peculiar to its poetry and prose—can all be understood as a result of a basic conviction that only the changeless is truly significant.[10] I do not offer this summary as a formula by means of which Egyptian civilization becomes comprehensible, for it explains nothing by itself and does not pretend to replace the detailed and concrete description of Egyptian life and thought which it summarizes. Nor can even such a detailed description ever be final or entirely comprehensive. I do hold that a viewpoint whence many seemingly unrelated facts are seen to acquire meaning and coherence is likely to represent a historical reality; at least, I know of no better definition of historical truth. But each new insight discloses new complexities which now demand elucidation, while at all times a number of facts are likely to remain outside any network to be established. However, if our view is true as far as it goes, then Spengler’s view is baseless.

Spengler’s lack of respect for the phenomena has a twofold cause. It is due in part to his overweening conceit, in part to his lack of experience. Like Toynbee, he is truly familiar only with classical antiquity and its western descendant. His _Urmensch_, his “primordial man,” is the Greek or the Aryan Indian.[11] He ignores altogether the work of those who have ventured outside the familiar in order to meet an alien spirit on its own terms—the anthropologists, or, more precisely, the ethnologists or cultural anthropologists. These scholars have come up against behaviour defying every modern norm in their personal contact with primitive peoples, and in their encounters discovered an approach to the study of alien cultures which the historian of antiquity would be wise to make his own. The ethnologist will not take for granted savage customs and usages which seem comprehensible—even familiar—to him. For he has observed that cultural traits cannot be studied in isolation since they are integral parts of a whole—the given civilization—and derive their meaning from the particular whole in which they occur. Ruth Benedict, in her lucid _Patterns of Culture_, states the case as follows:

It is in cultural life as it is in speech: selection is the prime
necessity.... We must imagine a great arc on which are ranged the
possible interests provided either by the human age-cycle or by the
environment or by man’s various activities. A culture that capitalized
even a considerable proportion of these would be as unintelligible as
a language that used all the clicks, all the glottal stops, all the
labials, dentals, sibilants and gutturals from voiceless to voiced,
and from oral to nasal. Its identity as a culture depends upon the
selection of some segments of this arc. Every human society everywhere
has made such a selection in its cultural institutions. Each, from the
point of view of another, ignores fundamentals and exploits
irrelevancies. One culture hardly recognizes monetary values; another
has made them fundamental in every field of behaviour. In one society
technology is unbelievably slighted even in those aspects of life
which seem necessary to ensure survival; in another, equally simple,
technological achievements are complex and fitted with admirable
nicety to the situation. One builds an enormous cultural
superstructure upon adolescence, one upon death, one upon
afterlife.[12]

Hence—and as a warning to those who are partial to utilitarian explanations: “The importance of an institution in a culture gives no direct indication of its usefulness or its inevitability,”[13] for cultural behaviour is integrated and the whole determines the significance of the parts:

Within each culture there come into being characteristic purposes not
necessarily shared by other types of society. In obedience to these
purposes each people further and further consolidates its experience
... and the most ill-assorted acts become characteristic of its
peculiar goals, often by the most unlikely metamorphoses. The form
that these acts take we can understand only by understanding first the
emotional and intellectual mainsprings of that society.[14]

We have seen that any society selects some segment of the arc of
possible human behaviour, and in so far as it achieves integration its
institutions tend to further the expression of its selected segment
and to inhibit the opposite expressions.[15]

There is, in this last passage, a suggestion of the dynamics of the formation of a civilization but it is not this aspect but that of “form” which prevails in the work of Benedict or Malinowski. For modern savages are relatively stagnant if we discount the disturbances caused by the white man. Hence the title _Patterns of Culture_.

It is, however, precisely the problem of the dynamics of cultural change—a problem misconstrued by Spengler and rightly ignored by Ruth Benedict—which lies at the centre of Arnold Toynbee’s work. The first three volumes of _A Study of History_ appeared in 1934, a second group of three in 1939, and a final group is still to be published. But we are told that the preoccupation from which the work has sprung, goes back as far as 1911, when Toynbee travelled in Crete and saw the newly discovered remains of the sea-empire of Minos. Then he chanced on the ruins of a Venetian villa, remnant of the time when Venice had dominated the Mediterranean with its galleys. And Toynbee was disconcerted at the thought that yet another empire that “rules the waves” even in our own day might follow its predecessors in decline.[16] Now a preoccupation with decay such as underlies Toynbee’s work need not in itself vitiate study of the birth of civilization; however, the “change and identity” of cultural forms must not be handled mechanically but with all the reverence for the singular which historical material demands. And it is here rather than in errors of fact (which are inevitable in a work of this scope) that we find Toynbee’s work defective. We must, moreover, take exception to his lack of critical precision and to the inadequacy of his conceptual apparatus.

Toynbee, like Spengler, invests certain images which he uses with a spurious reality. These ostensible similes pervade the argument with an implied assurance that they reflect historical situations. When Toynbee compares civilizations with motor cars on a one-way street,[17] or with men resting or climbing on a mountainside, he conveys the impression (which he himself judges correct) that a definite direction, a forward or upward movement, is discernible in history. But such dynamics are imputed, not observed. He writes:

Primitive societies, as we know them by direct observation, may be
likened to people lying torpid upon a ledge on a mountainside, with a
precipice below and a precipice above; civilizations may be likened to
companions of these “sleepers of Ephesus” who have just risen to their
feet and have started to climb on up the face of the cliff.[18]

This image (further elaborated in the book, and duly illustrated with a picture in _Time_ magazine) does a great deal more than tell us that primitive societies are static and civilizations dynamic. The dominating feature of the image is the rock cliff with its succession of ledges and precipices. Where is the historical reality corresponding to this scenery which exists _independent_ of the sleepers and climbers and _determines_ their direction? The “one-way street” likewise suggests a predetermined orientation and limitation of cultural endeavour. Toynbee believes that there is a cliff to be climbed, a street to be followed. Yet the truth is—in the terms of his images—that we see figures at rest or on the move in a cloudy space but know nothing about their relative position: we do not know which ledge is above or below which other ledge. Or again: we see motor cars moving, halting, or out of order. But we do not know whether they move in an alley, or on a four-drive highway, on an open plain, or within a circle—we do not even know whether there is an entrance or exit at all.

Toynbee’s images betray an evolutionistic as well as a moral bias which interferes with the historian’s supreme duty of doing justice to each civilization on its own terms. Why should we characterize civilizations which have achieved a deep and lasting harmony (like those of the Zuni or of certain Polynesians) as “arrested civilizations” where “no energy is left over for reconnoitring the course of the road ahead, or the face of the cliff above them, with a view to a further advance”?[19] Where is this road or this cliff? Why should these chimaeras and a feverish desire for “advancement” disturb the satisfaction of people who have attained the double integration of individual and society and of society and nature? Toynbee merely projects postulates which fulfil an emotional need in the West into human groups whose values lie elsewhere. In our own terms: Toynbee declares the “dynamism” of western civilization to be universally valid; and he can do that only by ignoring the “form” of non-western civilizations. But understanding is thereby precluded.

Toynbee is not the first historian to introduce the notion of “progress” in his work, and the fallacy of this procedure has been well demonstrated by Collingwood.[20] Of his arguments we can quote only two passages. He maintains that a historian comparing two historical periods or ways of life must be able to “understand (them) historically, that is with enough sympathy and insight to reconstruct their experience for himself.” But that means that he has already accepted them as things to be judged by their own standards. Each is for the historian “a form of life having its own problems, to be judged by its success in solving those problems and no others. Nor is he assuming that the two different ways of life were attempts to do one and the same thing and asking whether the second did it better than the first. Bach was not trying to write like Beethoven and failing; Athens was not a relatively unsuccessful attempt to produce Rome.”

Collingwood then indicates the exceptional (and really purely academic) case in which one may be entitled to speak of progress,[21] and in doing so touches upon a subject with which modern man is particularly concerned:

Can we speak of progress in happiness or comfort or satisfaction?
Obviously not.... The problem of being comfortable in a medieval
cottage is so different from the problem of being comfortable in a
modern slum that there is no comparing them; the happiness of a
peasant is not contained in the happiness of a millionaire.

Toynbee, though he is less precise than Collingwood, does formulate what he means by progress. He equates it with growth, and “growth is progress towards self-determination.”[22] But Toynbee, who is a believing Christian, surely knows that self-determination may not be a matter of gradual advance at all, but rather a flash-like illumination in which one’s true nature stands revealed. As a rule, the sequel to this experience is a life-long struggle for a realization of the vision. Why could not this type of self-determination also, like the slow and gradual realization, have an analogy in the life of civilizations? Flinders Petrie and others have maintained that every significant trait of Egyptian culture had been evolved before the end of the Third Dynasty. We find once more that Toynbee has uncritically proclaimed the universal validity of one of several possible sequences. And if he describes “the consummation of human history” as “accomplishing the transformation of Sub-Man through Man into Super-Man”[23] and calls this “the goal towards which ‘the whole creation groaneth and travaileth’ (Romans viii, 22),”[24] we may respect his faith but can hardly accept it as the argument of an “empirical student of history.”[25]

It is, in fact, odd that Toynbee, who opens his work with an excellent statement of the relativity of historical thought, who complains that “a local and temporary standpoint has given our historians a false perspective,” remains himself so completely under the spell of a nineteenth-century western outlook. His evolutionary bias, his empiricism, and his treatment of civilizations as “specimens of a species” are all of a piece. He sometimes equals Spengler in myth-making, treating his equation of civilizations and living beings as a reality, and appealing to biological opinion to uphold a historical conclusion.[26] His use of “species” and “genus” obscures the fundamental fact that science can study individuals as members of a species only by ignoring their individual characteristics. The historian, following this course, would defeat the very purpose of his work.

In fact, Toynbee’s vaunted empiricism is an attempt to transpose the method of the natural sciences, where experiment is essential and experience is reduced to figures, to history, where experiment is impossible and experience subjective. Toynbee’s “experience” (a word which, in the case of a historian, may stand for intimate acquaintance with historical data) is confined to classical antiquity and its western descendant. It is an odd fact that he should have supposed this limited field capable of supplying the conceptual apparatus with which every historical phenomenon could be comprehended, and that he should have done this, not unconsciously, but knowingly, although unaware of the enormity of his assumption. For anyone moving outside western tradition should soon discover the truth that the values found in different civilizations are incommensurate. And so we find Toynbee, like Spengler, doing violence to the evidence and forcing each civilization into a preconceived system of categories. In his case the system is not, like Spengler’s, an imaginative construction; but it is derived from the crucial period in western history when the Roman Empire disintegrated. His generalization of particular circumstances results not in historical errors but in irrelevancies. It would be a tedious and laborious task to demonstrate this to the full; but let us take two characteristic quotations referring to Egypt.

Toynbee expects to find in every civilization an analogy of the early Christian Church in the Roman Empire, and thus postulates for Egypt an “Osireian Church” as a “universal church created by an internal proletariat.”[27] Now, a “church” as an organized body of believers was not known in Egypt at any time (nor in Mesopotamia, for that matter). The worship of Osiris, always a main concern of the king, spread through all classes of the population, but merely as one among many devotions which filled the life of every Egyptian; the god was never honoured by one group more than by another. And, in fact, no section of the population of Egypt can be called a proletariat if this word is to remain applicable to imperial Rome or to modern times. If, elsewhere,[28] Toynbee describes the expulsion of the Hyksos invaders from Egypt as due to a “_union sacrée_ between the dominant minority of the Egyptiac society and its internal proletariat against the external proletariat as represented by the Hyksos” one can only say that the words, severally and in conjunction, do not apply. But he continues:

for it was this reconciliation at the eleventh hour that prolonged the
existence of the Egyptiac society—in a petrified state of
life-in-death—for two thousand years beyond the date when the progress
of disintegration would otherwise have reached its natural term in
dissolution. And this life-in-death was not merely an unprofitable
burden to the moribund Egyptiac society itself; it was also a fatal
blight upon the growth of the living Osireian church ... for this
_union sacrée_ ... took the form of an amalgamation of the living
worship of Osiris with the dead worship of the official Egyptiac
pantheon.

Reading this, one would not suspect that the five centuries following the expulsion of the Hyksos are the most brilliant epoch of Egyptian history. One would also not assume that after about one thousand years of this “life-in-death,” religious texts glorifying Amon-Re were written which in profundity of thought and literary splendour belong to the greatest in Egyptian literature, and are its nearest approach to the majestic monotheism of the Old Testament.[29] Surely an “empirical” approach would have started from the fact that Egyptian civilization did actually retain its vitality over an unusually long period. Toynbee, however, declares that the Egyptian achievements in the second and first millennia B.C. are but illusions, for the scheme to which he is committed (although it is alien, and hence irrelevant, to Egyptian history) requires a “time of troubles” before the Middle Kingdom[30] which must be followed by a “universal church” with its two types of proletariat. Thus the confessed “empiricist” adheres to a preconceived system and disposes of the facts by proclaiming the Hyksos period “a date when the process of disintegration _would otherwise_ have reached its _natural_ term in dissolution.” (The italics are mine.)

The scheme which we have criticized in its application to Egypt is intended to render account of the dynamics of civilizations in their last phases. For the early phases, the classical world cannot supply ready-made notions. Here Toynbee introduces a set of formulas which may be summarized in his own words:

Growth is achieved, when an individual, or a minority, or a whole
society, replies to a challenge by a response, which not only answers
the particular challenge that has evoked it, but also exposes the
respondent to a fresh challenge which demands a fresh response on his
part. And the process of growth continues, in any given case, so long
as this recurrent movement of disturbance and restoration and
overbalance and renewed disturbance of equilibrium is maintained.[31]

But communities react differently under a common challenge; some are apt

to succumb whereas others strike out a successful response through a
creative movement of Withdrawal-and-Return, while others again,
neither succeed in responding along original lines nor fail to respond
altogether, but manage to survive the crisis by waiting until some
creative individual or creative minority has shown the way through,
and then following tamely in the footsteps of the pioneers.

These plausible words do not, upon closer inspection, explain the problem which concerns us. The “creative movement of Withdrawal-and-Return” is illustrated by examples which rob it not only of its obvious, but of all definite, meaning.[32]

The other formula—that of “Challenge-and-Response”[33]—is not evolved from inside history either but is applied, as it were, from the outside; and its applicability, let alone its power to explain the facts, is often more than doubtful. “Challenge-and-Response” is sometimes used to describe a true conflict; sometimes it refers merely to the ordinary seesaw of historical fortune. Always, however, it has a misleading ring, since _observed facts_ are called a response, to a _hypothetical challenge_ construed to meet those facts. In Volume II, “The Range of Challenge-and-Response,” we find headings like “The Stimulus of Hard Countries,” “The Stimulus of New Ground,” “The Stimulus of Blows,” “The Stimulus of Pressure,” “The Stimulus of Penalization,” and so on. The primary data of history merely show that certain peoples achieved greatness; Toynbee thinks that the adverse conditions which he enumerates served as stimuli. That may be so. In any case, it does not explain the fact which, above all others, requires explanation, namely, that in some cases these conditions worked as stimuli and in others they did not. I do not find, therefore, that the formula is conducive to understanding; it must in each case invent a challenge to fit a historical reality which it labels response.

Our criticism does not proceed from a positivistic belief in a so-called “scientific” historiography which is supposed first to assemble objective facts which are subsequently interpreted. Our objection here is not against Toynbee’s procedure, but against a terminology which obscures what is the starting-point, and what the outcome, of his procedure. And we make the further criticism that he does not actually evolve from each particular historical situation the notion of a particular challenge to which it can be construed as a response; he applies the formula, as I have said, from the outside, and it is therefore doomed to irrelevance. For example: Toynbee considers the descent of the prehistoric Egyptians into the marshy Nile valley as their response to the challenge of the desiccation of North Africa. In their new homeland they faced, in due course, as a further challenge, “the internal articulation of the new-born Egyptiac society” and failed. The truth is that the Egyptians flourished exceedingly for two thousand years after the Pyramid Age; but Toynbee thinks they failed because he cannot conceive of a “response” in Egyptian terms, but only in those with which he is familiar: secular government, democracy, and the Poor Law.[34] But since neither the rich nor the poor Egyptians took this view of their state, Toynbee’s conclusion is irrelevant. It is true that he quotes the tales which dragomans told to late Greek travellers about the oppressive rule of the builders of the pyramids. But the actual folk-tales of Pharaonic Egypt show us that the people took as great a delight in tales of royalty as the public of the Arabian Nights took in the doings of the despot Harun al Rashid. Snefru, whom Toynbee names, is known as one of the most popular rulers in legend. The fact of the matter is that Toynbee should have started from an analysis of the “response.” This would not have shown, as Toynbee has it, that “Death laid its icy hand on the life of the growing civilization at the moment when the challenge that was the stimulus of its growth was transferred from the external to the internal field [from the subjugation of nature to the organization of society, H.F.] because in this new situation, the shepherds of the people betrayed their trust.”[35] Studied without preconceived ideas the “response” of the Egyptians stands revealed as a vastly different achievement. The ideal of a marvellously integrated society had been formed long before the pyramids were built; it was as nearly realized, when they were built, as any ideal social form can be translated into actuality; and it remained continuously before the eyes of rulers and people alike during subsequent centuries. It was an ideal which ought to thrill a western historian by its novelty, for it falls entirely outside the experience of Greek or Roman or Modern Man, although it survives, in an attenuated form, in Africa. It represents a harmony between man and the divine which is beyond our boldest dreams, since it was maintained by divine power which had taken charge of the affairs of man in the person of Pharaoh. Society moved in unison with nature. Justice, which was the social aspect of the cosmic order, pervaded the commonwealth. The “trust” which the people put in their “shepherds” was by no means what Toynbee imagines; their trust was that Pharaoh should wield to the full the absolute power to which his divinity entitled him, and which enabled him—as nothing else could—to ensure the well-being of the whole community.

It seems to me that these discussions have cleared the ground for our understanding. Generalizations based on a limited historical experience, and theorizing, however ingeniously conducted, _must_ fail to disclose the individual character of any one civilization or of any one series of events. We must concentrate on what Ruth Benedict called the “selected segment of the arc of possible human behaviour,” “the characteristic purposes not necessarily shared by other types of society.” In our own terms: In studying the birth of a civilization we are concerned with the emergence of its “form.”

II. THE PREHISTORY OF THE ANCIENT NEAR EAST

At the end of our last chapter we said that the study of the birth of a civilization means watching the emergence of its “form.” We have also seen that this “form” is elusive, that it is not a concrete mould, or a standard which we can apply to our observations to see whether they conform with it. We have described it as “a certain consistency in orientation, a cultural style.” Recognizing it amounts to discovering a point of view from where seemingly unrelated facts acquire coherence and meaning. Even so the “form” of a civilization remains intangible; it is implicit in the preoccupations and valuations of the people. It imparts to their achievements—to their arts and institutions, their literature, their theology—something distinct and final, something which has its own peculiar perfection. Therefore a discussion of the emergence of form entails a knowledge of a civilization in its maturity, a familiarity with its classical expression in every field. Then it should be possible to work backwards from better-known to early times until the point is reached where the familiar phenomena are lost sight of and where, conversely, their emergence must be postulated.[36]

This procedure, however, has a double disadvantage. It obscures development because it moves against the current of time; and it fails to describe, first of all, the conditions under which the civilization took shape—in other words, its prehistoric antecedents. Now I am not prepared to attempt a definition of the distinction between prehistory and history in general terms, for even within the ancient Near East the distinction is problematical.[37] I shall simply use the term “prehistory” to denote the period preceding the emergence of Egyptian and Mesopotamian civilization, and shall discuss first the climatic conditions in the Near East at that time and then the form of society which prevailed before the events with which we are primarily concerned took place.

At present the arable lands of Egypt and Western Asia are embedded in large tracts of desert. But it seems that in the Ice Age the pressure of cold air over Europe compelled the Atlantic rain storms to travel east by a more southerly track so that the whole area from the west coast of Africa to the Persian mountains was a continuous belt of park and grassland. In Algeria and southern Tripolitania hunters of the Old Stone Age engraved images of elephants, buffaloes, and giraffes on rocks now surrounded for hundreds of miles by an arid waste where life is utterly impossible. Paleolithic implements have been found on the high desert which flanks the Nile valley, and in Syria, Palestine, and Kurdistan. Carved tools found in Palestine (Fig. 1, A, B) and the engravings from North Africa find close parallels in the splendid engravings and paintings from the caves of southern France and northern Spain.