On
the divide between history and historical linguistics concerning the
Migration Age with the Scandinavian origin of the Goths as case
study.
Sometimes
neighbouring academic disciplines do not speak in the same idiom.
Nowhere is this more clear than in the controversial subject of the
“transformation of the Roman world”, a line of inquiry into the
dynamics of the transition periode between late antiquity and the
early Middle Ages favoured by leading historians such as Walter
Goffart, Ian Wood and Peter Heather. It’s argument is summarized by
Robert Anderson, director of the British Museum:
The
period of transition between the world of late antiquity and the
Middle Ages has [...] traditonally been seen as one of chaos and
obscurity, the “Dark Ages”. Yet modern scholarship is
increasingly revealing how profoundly dynamic and influential were
the cultural and intellectual shifts which mark the period. Far from
initiating an age of barbarism, the successor states saw themselves
as part of a Roman continuum, and readily exploited the institutions
and intellectual traditions of late antiquity, adapting and
reinventing them to suit their own changing circumstances and
cultural traditions. (Anderson 1997; 8)
Revisionism
of this pivotal period in Western History was not new. Since the end
of the second world war scholars became mighty uncomfortable
discussing the period in terms of “Germanic expansion”, the nazi
discourse of “Germanic fraternity” freshly in mind. The
“transformation of the Roman world” movement could be seen as an
exponent of this postwar “uncomfort” and has become increasingly
influential in “correcting” popular views of late antiquity and
the early Middle Ages. A challenge to modern revisionism came from
Bryan Ward-Perkins in 2005. Whereas the revisionists may sometimes
suggest an easy and peaceful integration of Germanic peoples into a
continuing and evolving Roman world, Ward-Perkins takes fault with
this line of interpretation and says he is “convinced that the
coming of the Germanic peoples was very unpleasant for the Roman
population, and that the long-term effects of the dissolution of the
empire were dramatic” (Ward-Perkins 2005: 10). His book “The fall
of the Roman empire and the end of civilization” is an impressive
polemic for rehabilitation of those late antique sources that speak
of catastrophe, massive invasion and crumbling city walls. This is in
sharp contrast to historians who dispute that potent barbarians
groups marched into the Roman empire (e.g. Noble 2006; xvi) and those
that argue hardly any migrations at all had taken place (Bowersock
2000:187-97).
How
does this relate to scholars working in the field of Germanic
studies, who used to draw information from a wide interdisciplinary
spectrum of philology, historical linguistics and folklore? For one,
the divide between the disciplines has widened. Han Nijdam (2001)
characterizes the revisionism of historians and folklorists after the
second world war in the following way:
“suddenly
there were no relics of Germanic customs or ideas anymore, neither in
the Middle Ages nor in the Early Modern Period, but everything was
Christian from the moment missionaries build churches and
monasteries. Literary sources were often written by them and for
every costum or idea a fitting bible passage could be found.”
(Nijdam 2001; 60)
This
assertion is even more true for the revisionism by contemporary
historians. Whereas scholars in Germanic studies assume that along
with the survival of the Old Germanic languages also other cultural
products survived that could be named Germanic, historians who work
in the “transformation of the Roman world” paradigm reject such
an assertion[1]. For
them Germanic identity arose anew in the margins of the limes
(i.e. the Roman
border) and was barely inherited from prehistoric times.
For them Germanic
identity arose from the cultural dialectic between Roman rural
society and small groups of barbarian immigrants.
For
every comparative Indo-European linguist the inadequacies of such a
paradigm are evident. The parallels in literary motives, metre and
even specific formulas between Celtic, Greek, Vedic, Slavic and
Germanic cosmogenic writings are astonishing. They are hardly
explicable by any other means than assuming heritage from a common
prehistoric literary reservoir, a reservoir justly called
Indo-European (e.g. see Puhvel Comparative Mythology 1989). The
comparative linguist may draw the same conclusions for the
non-christian / non-Roman parallels in Old Germanic literary
monuments e.g. the vestiges of a Common-Germanic pantheon (such as in
the case of the worship of Wodan and Thunar). Common heritage from a
cultural tradition which, in analogy to our linguistic terminology,
may be called Proto- or Common-Germanic, seems likely. Rejections of
such a theoretical construct by Noble and Goffart (2006: 12) are
unjustified for they ignore empirical data mined from the field of
comparative mythology and comparative law arguing in favour of it.
But
to indicate the divide between historians and comparative linguists
in the area of migration history I’d like to discuss the case of
the Gothic migration, which is basically the case of the Scandinavian
origin myth. This myth is to be found in Jordanes[2]’
Getica, an
abridgment of an earlier work, historia
gothorum, by the
Gothic historian Cassiodorus recounting the history of the Goths.
Jordanes wrote it at the Byzantine court when the Ostrogothic kingdom
of Italy had fallen under renewed Byzantine attempts of reconquest.
According to this myth, Scandinavia was the womb of peoples from
which the Goths set out in three ships. From the Baltic they made
their way to the Black Sea where they arrive in the scope of Roman
historians. The veracity of this myth stands at the center of the
problem.
The
main historical polemic on this topic is between Herwig Wolfram and
Walter Goffart. Herwig Wolfram is a student of Reinhard Wenskus on
whose work on ethnogenesis he largely builds. Wolfram formulated a
thesis later known as the Wenskus-Wolfram thesis that focusses on the
leading role in ethnogenesis for so called “nuclei of tradtion”
(Traditionskerne).
These are ancient families whose connections to the past gave a
common focus for the diverse ethnic groups within a multi-ethnic
confederation. The multiethnic groups would associate and identify
themselves with these ancient families and accept their tribal name
(Wolfram 2006: 52-54). His argument is that, although Gothic identity
has been reinterpreted and adapted multiple times throughout Gothic
history, Jordanes is basically right in recounting the Scandinavian
origin myth. This is how the tribal name of the 2nd
century Gutones in
Tacitus’ Germania survived
in the late antique Γότθοι of
Procopius. Goffart rejects Wolfram’s arguments as reading truth in
mere fiction and argues for a strict 6th
century Byzantine creation ex nihilo.
That this cannot be true is made clear
by the research of Svennung (1967: 235) into the ethnonyms cited by
Jordanes, which seem to be authentic correspondences to Scandinavian
tribal names.
In
the field of comparative Indo-European linguistics a Scandinavian
origin for the late antique Goths is widely accepted. Augustin Speyer
(2007) states:
“[Das
Ostgermanische ist] Ursprünglich im südlichen und südöstlichen
Skandinavien beheimatet; die Inselnamen Gotland und Bornholm (<
Borgundarholmr) weisen auf Beziehung dieser Plätze zu
ostgermanischen Stämmen hin.”
Jasanoff
(2008) is more careful in placing the original home of the Goths in
Scandinavia, but the connection to the Baltic Gutones is not in
doubt. He states this view as follows:
“Like
other East Germanic tribes such as the Vandals, Burgundians, Gepids
and Heruls, the Goths originally lived in the area of present-day
Poland and eastern Germany; their own traditions place their earliest
homes in southern Sweden.”
An
interesting but very late source contiguous to this Scandinavian
origin myth is known to most Old Germanicists but remains undiscussed
by most historians (Wenskus on the other hand treats it in some
detail). This is the Gutasaga, composed around 1220 in Scandinavian
Gotland but preserved in a fourteenth century manuscript, which tells
us that a third of the people left Gotland in ships and traveled to
the Baltic coasts, from whence they traveled through Eastern Europe
to arive in the land of the Greeks.
Sīþan
af þissum þrim aucaþis fulc ī Gutlandi sō mikit um langan tīma,
at land elpti þaim ai alla fyþa. Þā lutaþu þair bort af landi
huert þriþia þiauþ, sō alt sculdu þair aiga oc miþ sīr bort
hafa, sum þair ufan iorþar āttu.
Afterwards
from these three, the people on Gotland multiplied throughout such a
long time that the land could not feed them all. Then they drew lots
so that a third of the people left the land, so that they would have
and take with them everything which they possessed above the earth.
The
Gutnic myth runs parallel to Jordanes account in some respects and
deviates from it in others. Historical scepticism towards a
continuity of an oral traditional preserving the migration of the
Goths from Gotland is however justified. From a linguistic
perspective there is also some evidence to substantiate Jordanes’
claim of a Scandinavian origin. The following parallels between
North-Germanic and Gothic have led some scholars to argue for
a Gotonordic prestage (Eckhardt Meinecke 1953: 83-84).
1.
Pgmc -i̯i̯->
Goth -ddj- and
Pgmc -i̯̯i̯->
OIce. -ggj-
Pgmc
-ṷṷ- > Goth -ggw- and Pgmc -ṷṷ- >
OIce. -ggv-
2.
retainment of Pgmc *-z# as Gothic -s# and OIce. -r#
3.
retainment of the fourth inchoative class
of weak verbs in Gmc -nan
4.
lexical parallels
5.
Loss of the verbs preserved in Wgmc dōn,
gān and stān.
6.
retainment of 2.sg.pret. ending of the
strong verbs in *-t, e.g. Goth and OIce. gaft
against OHG gabi
However
striking the parallels, they could also be explained in terms of
retaining archaic features than in terms of common innovation.
West-Germanic and North-Germanic share more features than an alleged
Gotonordic. The inconclusiveness of the linguistic evidence does not
give us an argument in favour of the Scandinavian origin myth of
Jordanes. Nonetheless, a linguistic continuity from the 2nd
century tribal name Gutones
to the fourth and fifth century Gothi
and Γότθοι seems
probable.
Also
to be mentioned is the archaism of the Gothic language itself. As a
Germanic language attested in fourth century writings it predates the
literary monuments of most other Old Germanic languages in atleast
three and a half hundred years, so some archaism is to be expected.
Most “transformation of the Roman world” historians on the other
hand would have the fourth century Goths live in a highly Romanized
ethnically diverse cultural realm and considering this historical
background the lack of cultural loans from Latin and Greek is
perplexing (not counting eclessiatical terminology). This might point
to a strong Germanic core to Gothic identity (contra Goffart), an
assumption strengthened by the fact that Gothic supplied the
neigbouring Alans with quite some lexical material which eventually
made it’s way into modern Ossetic, while the other way around the
loans seem to be quite limited. Abaev (Moscow 1958) mentions, amongst
others, these words:
Gothic
Ossetic
Goth
aggwus > Ossetic. wyngæg “narrow, oppressed, surpressed.
Goth
qairnus > Ossetic. koyroj “mill”
Gmc
*lǣswaka > Ossetic læsk “pasturage
against payment”
Gmc
*nakwina > Ossetic
lægoyn[3]
“hairless, bald, naked”
Gmc
*gahwi > Ossetic qæw “village, settlement”
Gmc.
*rapaina > Ossetic rævæjnæ “long, thick hemp-rope”
Gmc.
*wīsa > Ossetic wis “patch with mowed grass”
Gmc.
*strab- > Ossetic sævn “width of clothes”
Gmc.
*spīra- > Ossetic fsīr
“ear of corn”
Gmc
*kurdra- > Ossetic k’ord
“group,
much, bundle[4]”
Gmc.
*spelda- > Ossetic syvældæg
“layer”
Gmc.
*apul- > Ossetic fæ-tkoy
< *æfæl-
tkoy
“apple-tree”??? (highly
speculative)
The
same assertion holds true for language contact with Slavic. While
quite some Germanic words have entered Slavic through (presumably)
the Gothic language, the other way around no borrowing on such a
scale has been active. Consider for example these loans:
|
OCS
|
PSL
|
Gothic
|
|
duma
|
*daumā
|
<
Goth. dōms
|
|
gotoviti
|
*gataṷītēi
|
<
Goth. gatauiþs < gataujan
|
|
kupiti
|
*kaupītēi
|
<
Goth. *kaupiþs < *kaupjan < kaupōn
|
|
kusiti
|
*kausītēi
|
<
Goth. kausjan
|
|
lěkъ
|
*lēkъ
|
<
Goth. *lēka < lēkeis
|
|
lixva
|
*leixva
|
<
Goth. leihwa < *leiχṷa-
|
An
interesting article by Kortlandt (2001) titled “The origin of
the Goths” argues for a Central European urheimat for the
ancestors of the Gothic speaking people. He convincingly argues that
the Proto-Goths must have been situated more to the west than has
often been assumed. The borrowing of the agentive –āreis suffix
from Latin –ārius pleads for this, along with the fact that Gothic
borrowed the Latin form of most Greek ecclesiastical
terminology. Supposed loans from Celtic also point to a more western
origin. Kortlandt holds open the possibility that the Gothic identity
was transferred from the Baltic Gutones via Wolfram’s
Traditionskerne. Unfortunately, Kortlandt does not treat the
aforementioned loans from Gothic into Alanic and Slavic, but they are
easily explained from late fourth century contact between Goths and
Slavs/ Alans, when the Goths reached the mouth of the Danube.
Especially the Alans remained bound to the Goths for most of the
following century, fighting alongside them at Hadrianople (378), Rome
(409) and at the epic battle at Châlons (451) where the Romans and
their Alanic-Gothic allies went into battle with the Huns of Attila.
This
case shows how important an interdisciplinary approach is to tackling
migration history. One could ask therefore why historians do not make
use of linguistic arguments. One reason is probably to be found in
the technical nature of the linguistic discipline. Another concerns
the methodology of historians who work in a hermeneutic science and
are sceptical of the positivistic approach of the comparative method
of linguistics. One sometimes even hears "I simply do not
believe in Indo-European" from respected and renowned historians
in the field. As historical linguists we should help span the divide
between old Germanic philology and medieval studies by making our
arguments more accessible to the interested historian; Kortlandt’s
article is a good example of this, focussing on cultural loans
instead of purely linguistic argumentation.
A
thing we could and should blame the historians for is ignoring the
linguistic diversity of late antique and early medieval Europe,
restricting themselves to Latinate sources. One need but to remember
that Latin was not the only written language in the early medieval
west. From the period of 400 - 900 AD we find literary monuments
written in Celtic, Germanic and Slavic vernaculars. Let´s remember that only
a small percentage of the population knew Latin, so the
generational transfer of culture in the Early Middle Ages could only take place by use of the vernacular. When one considers the fact that early
medieval vernacular sources often deviated immensely from the genres
of rigid and devote Latinity, the comparative Indo-Europeanist could
only sigh and shake one’s head at how many gems the historian
leaves untouched. Historians should better heed the word of Jordanes
himself to “follow the writings of their ancestors and cull from
their broad meadows a few flowers to weave a chaplet for those who
care to know these things”.
Bibliography
Jay,
H. Jasanoff, “Gothic”, in: the
ancient languages of Europe, Roger D.
Woodward ed. (Cambridge 2008) 189-214.
Augustin Speyer,
Germanische Sprachen; ein vergleichender Überblick (Göttingen
2007).
Eckhard Meineke
et Judith Schwerdt, Einführung in das Althochdeutsche (Paderborn
2000)
Thomas
F.X. Noble, “Introduction; Romans, barbarians and the
transformation of the Roman empire”, in: From Roman provinces to
medieval kingdoms, Thomas F.X. Noble ed., (New York 2006) 1-28.
Herwig
Wolfram, “Gothic history as historical ethnography” in: From
Roman provinces to medieval kingdoms, Thomas F.X. Noble ed., (New
York 2006) 43-69.
Walter
Goffart, “Doest the distant past impinge on the invasion age
Germans” in: From Roman provinces to medieval kingdoms,
Thomas F.X. Noble ed., (New York 2006) 1-28.
Bryan
Ward-Perkins, The fall of Rome and the end of civilization (Oxford
2005).
J.
Svennung, Jordanes und Scandia; kritisch-exegetische studien
(Uppsala 1967).
“Gutasaga”,
in: Altschwedisches Lesebuch,
Adolf Noreen ed., (Upsala 1892-94) 37-39.
F.
H.H. Kortlandt, “The origin of the Goths”, in: Amsterdamer
Beiträge zur älteren Germanistik 55 (Amsterdam 2001) pp. 21-25.
Robert
Anderson, “Foreword”, in: The transformation of the Roman
World, Leslie Webster et Michelle Brown eds., (London 1997).
Han Nijdam, “Twee
aardewerken schaaltjes. Collectief geheugen, (dis)continuïteit in de
Friese cultuur, met het fenomeen ‘magie’ als case study”,
in: Speculum Frisicum; stúdzjes oanbean oan Philippus H. Breuker,
Rolf H. Bremmer Jr. e.a. eds., (Leeuwarden 2001) 59-78.
Vasily Abaev,
Istoriko-jatymologičeskij osetinskogo jazyka (Moscow 1968).
[1]
My former professor in
Utrecht, Mayke de Jong, confessed that she’d rather speak of
“Sub-Roman” traditions than of “Germanic” traditions.
[2]
[2]
Jordanes names is
interpretated as *Iƀurnanþs
by Grimm who draws
for this interpretation on the spelling <iornandes>
in some existing
manuscripts. He argues that sixteenth century editions always read
<iornandes>
and may reflect
additional old manuscripts that are lost. It is interesting to note
that his father is called Alanoviamuth,
in which the first
element undoubtedly refers to the ethnonym Alani.
Maybe the name
should be read as *Alano-Weihamōþs
“der Kampfmutige
der Alanen”.
Alanic descent for
Jordanes is also suggested by the name of his grandfather, who was
named kandag, which
could go back to Old-Ossetic *kæn-dag
“he who wears
sack-cloth”.
[3]
Regular dissimmilation of
*n...n >
l...n as
seen in lamaz
“Islamic prayer”
(< Pers. namāz)
[4]
Glossed by Abaev as “группа,
множество,
стая” in
Russian