No title

Iranian Studies Journal of The Society for Iranian Studies

Volume 11 (1969)

Ali Banuazizi, Editor Jacqueline W. Mintz, Associate Editor

Published by The Society for Iranian Studies, P. 0. Box 89, Village Station, New York, New York 10014, U.S.A.

The Society for Iranian Studies COUNCIL Ali Banuazizi Richard W. Bulliet Hormoz Hekmat Abbas Heydari-Darafshian Farhad Kazemi, Treasurer Manoucher Parvin Majid Tehranian, Executive Secretary

ARTICLES Abrahamian, Ervand. The Crowd in the Persian Revolution . . . . . . . . . . . . . . . . .128-150 Ashraf, Ahmad. Historical Obstacles to the Development of a Bourgeoisie in Iran. Bill,

54-79

of Student Alienation: James A. The Politics The Case of Iran ............. .

Clinton,

Irons,

8-26

Jerome W., Croll, Donald C., Davis, Edward W., and Luther, Kenneth A. On the of an Automated Bibliography Feasibility of Iranian Studies'. William. Research

The Turkman of Iran: . . .

Report .....

151-169

A Brief .

27-38

CommuniC. C. The Earliest Lamberg-Karlovsky, ties of Iran . . . . . . . . . . . . . . .

2-7

Akhavan's "The Ending of Sorour. . . . . . . . . . . Shahnameh": A Critique

80-96

0. L. The Chronograms of Khaqani Vil'levskij, . . . . . by Jerome W. Clinton) (translated

97-105

Soroudi,

BOOKREVIEWS British Amin, Abdul Amir. sian Gulf (reviewed Baldwin,

in the PerInterests by Thomas M. Ricks) .

.

183-186

George B. Planning and Development in . . 113-114 Iran (reviewed by Vahid F. Nowshirvani. iii

The Cambridge History of Boyle, J. A. (Ed.). Iran, Volume V, The Saijug and Mongol Periods (reviewed by Amin Banani) .108-113 Fisher,

The Cambridge History of Iran W. B. (Ed.). Volume I, The Land of Iran (reviewed by Paul . 106-107 W. English) .... . . . . . . . . . . .

Huntington,

Samuel P.

Societies

Issawi,

Jacobs,

Political

(reviewed

Order in Changing

by Farhad Kazemi)

.

.

.

The Economic History of Charles (Ed.). Middle East: A Book of Readings the (reviewed by Manoucher Parvin) .

175-179

...........180-182

Norman. The Sociology of Development: Iran as an Asian Case Study (reviewed by 42-44

...

Farhad Kazemi) .............

Recent Iranian Periodicals: (A Quarterly Journal of Social 'Ulum-e Ijtima'i Sciences)

(reviewed

by Ali

Banuazizi)

.

45-47

.

Jahane-No (A Quarterly Journal of Arts, Social (reviewed by Majid Studies and Literature) . Tehranian) ................ Rypka, Jan. History of Iranian Literature viewed by Amin Banani) ..........

47-49

(re.

39-41

Van Der Tak, Herman G. and de Weille, *Jan. Reappraisal of Road Project in Iran (reviewed . 170-174 by Ali M. S. Fatemi) ........... MISCELLANEOUS 49-50 . Conference Announcement......... 50 . Errata .. ... . 187-192 Letters to the Editor ............ 115-125 ..........a... Report of the UCLA-SIS Conference . Received. . . . . . . . . 51-52, 126, 193-194 Publications

iv

4o -,

'f

&t-,for

(Stvnte*'1969

QL.wr

nSe

),1

The Society for IranianStudies COUNCIL Ali Banuazizi Richard W. Bulliet Hormoz Hekmat Abbas Heydari-Darafshian Farhad Kazemi, Treasurer Manoucher Parvin Majid Tehranian, Secretary

I ranian

Studi e s

Editor Ali Banuazizi, W. Mintz, Jacqueline

Associate

Editor

is published quarterly Iranian Studies by The Society for Iranian Sttudies. of the Society as a part of their membership. It is distributed to members rate for non-members is $5. 00, and the price of The annual subscription The opinions expressed single copies is $1. 25 per issue. by the contributors are those of the individual authors and not necessarily those of the Society or the editors of Iranian Studies. Articles should be submitted to the Editor for publication. All communications concerning-Iranian Studies or the affairs should be addressed to: The Society for Iranian Studies, Society's P. 0. Box 3384, Yale Station, New Haven, Connecticut 06520, U. S A.

Cover:

Neolithic idol, about 5000 B. C., excavated by Peabody Museum, Harvard University, 1968. Collection of Iran Bastan Museum, Tehran. Picture courtesy of Professor C, C, Lamberg-Karlovsky.

J3uCe-trNof Jtec soicteor Volume

II

Winter

7attun-StuiGs Number

1969

1

CONTENTS 2

THE EARLIEST

8

THE POLITICS OF STUDENT THE CASE OF IRAN

27

THE TURKMEN OF IRAN: RESEARCH REPORT

OF IRAN

COMMUNITIES

ALIENATION:

A BRIEF

C. C. Lamberg-Karlovsky James

William

A.

Bill

Irons

BOOK REVIEWS 39

RYPKA:

42

JACOBS:

RECENT

History

of Iranian

The Sociology

IRANIAN

of Development

tULUM-E

IJTIMA'I

(Social

47

JAHAN-E

NO (New

World)

CONFERENCE

50

ERRATA

51

PUBLICATION-S

Amin Farhad

Banani Kazemi

PERIODICALS

45

49

Literature

ANNOUNCEMENT

RECEIVED

Sciences)

Ali Banuazizi Majid

Tehranian

CONFERENCEANNOUNCEMENT of the University of California, The >ilar ELastern (Center a conference will cosponsor and The Society Stuoies for Iranian Los Angeles, OF POWVER IN' JSISAMIC IPRAN, ' An international on the "STRUCTURE a variety of of scholars Studies, representing group in the field of Iranian in the social scienlce s, w1 ill partici pate in the conference. disciplines P3ROGRAM: P'anel Pancl Panel Panel Panel

Patterns of Power Historical of Power II: Functioning on the Power Influence Structure III: Tribal Power and the Power Econonmic Structore IV: of the Powver Stroicture Context V: The International

I:

PARTICIPANTS: i; rvand Abrahamian, Columbia University of California, Hamid B3erkeley Algar, University Los Angeles of California, Amin Banani, University Ali Banuazizi, Yale University of T'exas, Austin James A. Bill, University of Mancheste r C. E. Bosworth, University Harvard W. Bulliet, Richard University W. Cottam, of Pittsburgh Richard University Paul W. English, of Texas, Austin University Hafez of Texas, Austin F. Farmayan, University Gene Dartnmouth College R. Garthwvaite, Firuz sity Kazemnzadeh, Yale Univer of California, R. Keddie, Nikki Los Angeles University of Toronto Roger M. Savory, University of California, Berkeley John M. Smith, University Majid Tehranian, Lesley College Young, Princeton University T. Cuyler Sepehr Zahih, St. Mary's College A. H. Zarrinkoob, of Tehran University Marvin of Chicago Zonis, University will be held on June The conference at the 27, 28, 29, 1969, Eastern of the University Near Center of California, Los Angeles. It will be followed Summer course, "STATE AND SOCIETY by a six -week Session the nature of relations between IN ISLAMIC state and IRAN, " in which

4'

WINTER

1969

THE EARLIEST COMMUNITIESOF IRAN C, C . LAMBERG-KARLOVSKY excavations Recent archaeological in Iran have contributed to our understanding of the economic subsistence fundamentally patterns Excavations at the sites of Tepe Yahya in in man's earliest communities. Kerman , Ali Kosh in Khuzistan2, and Ganj-i-Dareh in Western Azerbaijan, to name but a few within different zones and ecological environmental niches, show that within the area of present-day Iran the cultural and economic from an earlier transition subsistence of hunting and gathering to settled village agricultural took place. 3 This transition communities has been documented in other areas, of Southwestern i. e. Palestine, Anatolia, Asia. 4 The development from a hunting and gathering economy to settled village agricultural often referred to as the 'Neolithic productivity, 5 was not an historical event (taking place in a moment of Revolution', time) nor restricted to a single geographical area, but a cultural process which necessitated millennia for its achievement. The important role which Iran played can perhaps best be documented by summarizing the developing economic subsistence patterns in three loosely defined periods of time about 7000, 6000, and 5000 B, C. Incipient

Cultivators,

7000 B.C.

Climatic conditions throughout Western Asia are believed to have been virtually identical at this timne as they are today. There have, however, been environmental changes through deforestation, overgrazing, irrigation, etc. 6 The initial transition from an earlier dependence on hunting and gathering to an incipient experimentation leading to the domestication of both animals and plants characterizes this period. In terms of economic importance it would be hard to decide which activity contributed most; however, evidence from excavations suggest that

C. C. Lamberg-Karlovsky is Assistant Professor of Anthropology and Assistant Curator of Near Eastern Archaeology at the Peabody Museum, Harvard University. He is currently directing the archaeological excavations at Tepe Yahya, Kerman.

IRANIAN

STUDIES

2

/~~~~~~~~~

A

~~~~~~~~~~~~~~~~I

_

A_

Figure

1. *Major

prehistoric

archaeological

sites

of the Near

Ea

people herded goats, planted two-row barley and emmer wheat, engaged in intensive collection of wild plant food and hunted the ox, onager, gazelle and deer. Their diet was also complemented by fish, clams, and migratory birds. The examination of paleobotanical and paleozoological remains recovered from excavations allow the archaeologist to reconstruct these earliest subsistence patterns. 7 Villages were uniformly small, perhaps attaining a maximum of 200 persons. Their single houses were constructed of mud, without architectural elaborations and consisting of one or two rooms for a family. People engaged in trade as evidenced by cowrie shells from the Persian Gulf and perhaps obsidian derived from the distant Lake Van area of Turkey. 8 The production of clay female figurines and phallic symbols are believed to represent religious artifacts of unknown significance. The specialization of crafts were not yet complex enough to have required full-time artisans. Whatever major subdivisions of labor existed were based on sex and age. It is doubtful that political organization extended beyond that of an egalitarian lineage organization. Primary

Villages,

6000 B. C.

At this date we have evidence that systems of cropping, fallowing and grazing began to have deleterious effects on the environment. The occurrence in the botanical of the edible Prosopis increasing remains from which the natural vegetation has been plant which favors a landscape 9 Agricultural removed supports this contention. techniques suggest innovations, i. e. crude stone hoes are now found for the breaking up of clods of earth. Along with farming the continuation of herding, now of both sheep and goat, is attested in the archaeological remains. The pattern of transhumance is also apparent, i. e. through herding encampments at higher altitudes in the summer and seasonal agriculture practiced by the same peoples at lower altitudes. All evidences support a detectable progress to a higher order of complexity than was evident a thousand years earlier. Populations increaseto 300 per village; new trade approximately objects, copper, turquoise appear while cultural contacts are now spread over a wider n-etwork. Important new crafts appear for the first time, 10 namely pottery and metallurgy, evidencing their technological development. Onl tL' other hand, excavations have nol: revealed unusual building complexes wlhich might inidicate a centralization of public functions or status of crafts differentiations. At this time one can see the gradual development whirchi result in a near quantum jump in the cultural processes evident in tel(' SLsucceedijng phase.

IRANIAN

STUDIES

4

Figure 2. Neolithic Architecture, on find-spon of female figure.

Figure

3.

View of Tepe

Tepe

Yahya,

ca.

Yahya and excavations,

5000 B. C. Man stands

August,

1968.

Pre-Urban

Communities,

5000 B. C.

Recent excavations at Tepe Yahya and Ali Kosh indicate the and cultural considerable changes in the general level of productivity which characterize this time period. At Tepe Yahya we have complexity of this date in uncovered the most complex of architectural constructions is now of a standardized Iran. Construction sun-dried mud-brick. We have uncovered a large building which indicates specialized functions, i. e. seventeen small, 2x2 meter, storage rooms are attached to a larger of many rooms. structure The building is still incompletely excavated. This large structure of centralized suggests the existence political control for the distribution of their surplus grains stored in special rooms. Perhaps, we have here the first evidences for a 'redistributive economy'. We have also uncovered the most extensive early fortification system in Iran, and one of the most impressive in all of southwestern Asia, i. e., a monumental 6. 5 meter wide wall of mud construction contains the village in which perhaps upwards of 750 persons live. At Ali Kosh simple systems of irrigation allowed for the cultivation of considerably more land; hexaploid wheat and six-row barley are the new principal crops. Along with sheep and goat, cattle and dog are now domesticated. and spindle whorls attest to weaving while Textiles for metallic greater evidences remains suggest the greater use of metal a greater tools, though flint continues to serve as cutting tools. Similarly, is seen in pottery degree of specialization and technological achievement are well-fired, wheel made and of various shapes production. Ceramics and functions. is evidenced by the find of a steatite achievement Aesthetic stone female figurine at Tepe Yahya. This complete and virtually undamaged in the Iran-Bastan piece of statuary (presently Museum) stands 11 inches high, is superbly carved, with complete accuracy in anatomical detail, the female attributes. one of the exaggerating This sculpture represents of the Neolithic artist in the Near East (see cover photo). great achievements Stone and clay seals with carved designs were used for impressing vessels perhaps denoting signs of individual ownership. Far reaching trade connections on a more permanent basis can now be detected in the archaeological record linking Iran with the areas of Anatolia and Mesopotamia. We have at this date all the fundamental necessities for the of urban centers; (a) the manipulation development of environment to increase productivity, irrigation, domestication, etc., (b) control of their environment's natural resources, ores and other minerals, (c) the of political and economic centralization of authority, development (d) the of a specialization beginnings of labor. Within this short sketch we have

IRANIAN STUDIES

6

covered 3000 years of Iranian prehistory; Iran both contributed to and shared in the and gathering subsistence to a developing has often been stated led to 'The Birth of well over three thousand years.

three thousand years in which which led from a hunting processes urban economy--events which it birth which took Civilization'--a

NOTES 1.

C. C. Lamberg-Karlovsky, 'Excavations at Tepe Yahya, 1968' Iran, 'The Neolithic at Tepe Yahya' with Richard Vol. VII, (in press), Meadow in Archaeology, (in press). See also 'Survey and Excavations in the Kerman area, ' Iran, Vol. VI, pp. 167 ff. 1967.

2.

Frank H-ole and Kent Flannery, 'Excavations Iranica Antiqua, Vol II, pp. 97-147.

at Ali Kosh,

Iran,

1961',

3. Philip E. L. Smith, 'Ganj Dareh' Iran. Vol. VI, pp. 150ff. See also in the Prehistory Philip E. L. Smith and T. C. Young, Jr. 'Research of Central Western Iran', Science, Vol. 153, No. 3734, 1966. 4. James Mellaart, Ancient History, 5. V. G. Childe,

'The Earliest Settlements 1968. (Fascicle 59).

Man Makes

6. H. E. Wright Jr., of Mesopotamia',

Himself.

'Natural Science.

7. R. Braidwood and B. Howe, Oriental Institute, University 8. C. Renfrew, Proceedings

Mentor.

in Western

1951 (First

Asia',

Cambridge

published

Environment of Early Food Production Vol. 161. pp. 334-338. 1968. Prehistoric Investigations of Chicago. 1960.

in 1936). North

in Iraqui Kurdistan.

'Obsidian and Early Cultural Contact in the Near East', of the Prehistoric Society, Vol. XXXII. 1966.

9. F. Hole in New Perspectives Binford. Aldine Publishing

in Archaeology, ed. by S. R. and L. R. Co. Chicago. 1968.

10. See R. H. Dyson, Jr. for the most recent review of Iranian prehistory in Old World Archaeology, Chronologies ed. R. W. Ehrich, University Chicago. 1965.

7

in of

WINTER 1969

THE POLITICSOF STUDENT ALIENATION: THE CASE OF IRAN1 JAMES A.

BILL

century A leading force demanding change during the mid-20th being These demands are increasingly student. has been the university as students throughout the world intensely backed by riot and rebellion Few societies, and administrations. challenge ongoing institutions or stage of economic system, political position, of geographic regardless student upheaval. of serious recent episodes have escaped development, and Czechoslovakia the United States and Mexico, France and Holland, and Turkey and Korea Japan and Vietnam, Egypt and Pakistan, Hungary, The student has outbursts of student activity. have witnessed shattering for social change and a leading catalyst for become the loudest spokesman elites everywhere now realize that Political transformation. political to they can no longer ignore student demands but must devise policies of these demands and the come to grips with them. The substance elite policy are two key factors that are shaping the direction consequent and progress of nations. During the last 25 years in Iran, students have been extremely and suppressed despite the fact that they have been supervised volatile grounds have been centers for social University efficiency. with sporadic at universities in as students have demonstrated and political opposition elite has generally and Tabriz. Although the political Tehran, Shiraz, of the rising expectations been able to control and confine student unrest, student population have built persisting young combined with an increasing and demands. pressures The Professional

Middle

Class

The power structure in Iran is in the midst of fundamental and appearance of a as the result of the development transformation of individuals middle class. 2 This new class is composed professional who rest their power position upon the skills and talents which they possess middle class is a The professional thanks to a modern education.

James A. Bill the University IRANIAN

is Assistant of Texas.

STUDIES

Professor

in the Department

8

of Government

at

non-bourgeois middle class many of whose members relate themselves to others through performance and service rather than through material wealth or family ties. The members of this class are engaged in professional, technical, cultural, and administrative intellectual, occupations and include teachers, professors, technocrats, engineers, physicians, students, writers, journalists, artists, bureaucrats, and middle-ranking army officers. of the 1956 and 1966 official censuses An analysis reveals that during these ten years the new class increased in size by over 60 percent. By the mid-1960's, over half a million employed Iranians were part of the new class. With the acceleration of reform programs and the continued growth of the educational system, there is every indication that this class will continue to burgeon. In 1956, approximately one out of every seventeen Iranians belonged to the professional middle class. Ten years later the proportion had come to be one in twelve. 3 The new middle class is composed of groups who in varying The members degrees oppose traditional socio-political of patterns. this class whose lives are oriented toward ideas ask for justice, freedom, a rational civil service, a quality educational and genuine system, and new bureaucrats The technocrats, political participation. physicians, demand less favoritism, and influence wielding which nepotism, bribery, in fact mark the dynamics of the traditional administrative The system. depth of the challenge of the professional middle class can be measured by studying recent opposition movements in Iran. Both the Tudah Party and the National Front have been organized, led, and for the most part manned by key segments of the new class. and Teachers, professors, students have played crucial roles in both movements. Although the Tadah Party and the National Front have been largely destroyed since the the signs of opposition that have continued to spurt to the mid-1950's, surface are deeply tinged by middle class coloring. On April 10, 1965, for example, an attempt was made on the Shah's life. Fourteen young men were subsequently brought to trial for complicity in what has come to be called the Marble Palace Plot. The accused individuals were all members of the professional middle class and half of them were either teachers or students. The most alienated and explosive group within the professional middle class is the student group. The students are located at the key birth point of the new class for all members of this class were at some time students. The development of modern higher education in Iran since 1920 has resulted in dramatic increases in the student population. As Table 1 indicates, the number of students rose from less than 100 in 19ZZ to 800 in 1933-34 to nearly 25, 000 in 1963-64. Today, the domestic

9

wI1.rL

1)69

as many figures must be doubled for there are approximately enrollment Iranian students in higher education abroad as there are in all of Iran. 4 with the situation of Iranian The student problem is closely intertwined Fifty percent of the population of Iran is less than 20 youth in general. percent is between the ages of 15 and 30. These Thirty-three years of age. when it is noted that the trends indicate figures become yet more significant of young people in years to come. 5 an even higher percentage 1

TABLE NUMBER

OF STUDENTS

IN INSTITUTIONS OF HIGHER EDUCATION IN IRAN, 1922-1964 Number

Year

of Students 91

1922 1933-1934

795

1943-1944

2, 835

1953-1954

9, 996

1963-1964

24, 456

Sources: 1.

Masa' il-i Niru-yi Ministry of Labor, Barrasi-ha-yi of Manpower of the Problems Insini--Investigation 1964, III, pp. 2033, 2037. (Tehran,

2.

Iran Almanac--1962 Iran Almanac--1964-65

3.

p.

(Tehran:

Echo of Iran,

(Tehran:

1962),

Echo of Iran,

p. 303.

1965),

508.

Student Demands his demands in has been concentrating The Iranian student-youth economic, educational, sexual, family, six major problem areas: in the sense All six areas are interrelated and political. occupational,

IRANIAN

STUDIES

10

hat dlifficulties in any one of thenm nmay m-iean the sanme in any of the others. demands division ,exual may mean which parent-child (family) may lead o no money in no education and therefore no job (economic) resuLlting hence resentnment and alienation. occupation) The re are numerous political of such relationships and the one described omnbinations is very common. ['he goal here is not to present a long analysis of each problem area but -ather to pinpoint a few of the vital demands. them and to examine briefly 6 A 1966 questionnaire distributed to Tehran and National students the following Jniversity provided information the concerning 7 From and priorities of Iranian lemands students. the response, university t is evident that these students felt that the two listed problems demanding rreatest attention were and the educational inequality-injustice system. one-half of them chose the former Urdost and one-third the latter. Below are some of the important problems facing the people of this country. are different There opinions concerning of these which should be the government's main task. In your opinion, to which of these the governproblems should

ment

pay the most attention"

Select

only one. Reply Percentage

Problem the spiritual Bettering of society

and moral

Controlling

and regulating

Eliminating

inequality

Improving Planning

conditions

2

level

business

0

and injustice

46

for your family

and expanding

Raising the general level increasing educational

economic

4

development

of education opportunities

and

No reply

14 30

4

Total

11lWINTER

100

1969

Other evidence supports these findings including a survey of the contents of the more serious magazines and journals that the students read such as Firdawsi and Jahan-i Naw. The demand for equality and justice has strong political implications and student attitudes here can be seen in the popularity of such novelists as Sadiq Chubak, Ghulam Husayn Sa' idi, and 'Al lvluhammad'Afghinl. The writings of these men Xdiq Hidlyat, tend to concentrate upon the inequality and injustice suffered by the lower and middle classes in Iran. The response to this question carries with it even more extraordinary implications, however, since two of the fundamental issues for any traditional Islamic society ranked at the bottom of the students' concerns. Less than five percent of those surveyed felt that "bettering the spiritual and moral level of society" and "improving conditions for your family" were problems deserving most immediate government attention. This suggests a sharp break with tradition and reveals that the young Iranian may very well be a new man. Few areas in Iran have occasioned more criticism and less constructive activity than the system of education. The Iranian student himself becomes particularly demanding at two points during the educational period and these are at the entrance and exit points. These are two dangerous and narrowing bottlenecks and crucial junctions in the life of today's young Iranian. Late every summer, thousands of Iranian secondary school graduates gather to take the university entrance examinations. This has become a time of tremendous pressure and fearful apprehension for the youth of Iran. Table 2 indicates the approximate number of applicants who have sat for the examination in recent years and it also reveals the number who have been actually admitted into the university. According to these figures, one out the situation has been such that approximately of ten university is in fact accepted. applicants In the 1966 Pahlavi entrance examination, University only one out of every fourteen examinees was admitted. Another study has shown that less than seven percent of Iranian grammar school graduates ever get into the first year of college. An annually increasing school graduates nurnber of secondary signals the growth of the reservoir of resentment that exists here. One answer has been to build several new universities and technical-vocational but this has neither taken up much of the slack nor has it schools, 9 touched any of the important qualitative questions.

here

also

TRANIAN

Thousands of these youths in the end seek employment, they encounter acute competition and great pressures.

STUDIES

12

but

TABLE

2

ENTRANCE EXAMINATIONS: NUMBER UNIVERSITY EXAMINEES AND NUMBER AND PE RCEN TAGE 1963-1966a ACCEPTED,

Year

Exeminees

University

Accepted

OF

Percent Accepted

196 3

Tehran

and Affiliatedb

13,600

2,000

14. 7

1964

Tehran

and Affiliated

18, 000

2, 000

14. 1

1965

Tehran

and Affiliated

30,000

4,700

15. 7

1966

Tehran

and Affiliated

35, 000

4, 000

11. 4

5,300

500

9. 4

4, 000

300

7. 5

7,000

500

7. 1

Arya Mehr Teachers Pahlavi

College University

rounded to the nearest hundred. aThe figures quoted are estimates and magazines. They were gathered from various Iranian newspapers bAlso

Mashhad,

Tabriz,

and Isfahan

Universities.

have warned of the dangers involved in the high Fore2most Iranian scholars Every year two-thirds of all secondary rate of unemployment among youth. and in 1965 this meant of unemployed school graduates join the masses 10 Many of these have been absorbed in the military close to 15, 000 graduates. but each year also finds large numbers of released soldiers service, of the famous Literacy One effect of the formation entering the job market. has been to take large numbers of these Corps and other such organizations off the streets and to scatter them unemployed high school graduates satirically wrote that throughout the countryside. One Iranian journalist even if Iranian youth had political parties, heroin, and gambling, it would not be a bad idea if they could also find employment. He quoted former

13

WINTER

1969

as saying: "What are these people going to do of Labor Khusruvnil Minister "Il Some have done just Kill themselves? because they cannot find work? in a multitude of other ways, their frustration that while others have released point in the formal education acute pressure Another particularly and the graduate of youth occurs after the schooling has been completed The most serious facet of this situation must search for a place in society. in a great deal of attention (but little analysis) and one which has received elite has The political the Iranian educated abroad. recent years concerns to the need to convince their educated young people to become very sensitive have spoken to this point many The Shah and recent Prime Ministers return. of losing scarce skills and talent. times stressing the serious implications has prepared to return, the Iranian government In urging the graduates financial and offered many attractive movies, published special magazines, 2 It is not accidental that it was an Iranian and occupational inducements. United Nations Special Fund study of the who directed the highly publicized " Nearly 30, 000 Iranians are now studying abroad and in 1966 "brain-drain. to study in the United States seeking assistance alone 18, 000 young Iranians Friends of the Middle East in Tehran. filed through the office of the American that Iran is losing close to 1, 000 educated Iranians per year It is estimated in and that 900 and 600 Iranian doctors are practicing to foreign countries New York and Munich respectively. to return reluctance This exodus of young Iran and the subsequent a much deeper problem than can be explained away in terms of the indicates Once afforded by the West. inducements great financial-vocational-industrial the most Iranian who often becomes it is the foreign-educated returned, and difficulties the returned The struggles alienated member of his class. R1habnamah can be seen in such literary works as Jamalzadah's Iranian witnesses Identity Card (1966). It may be recalled that Sddiq (1948) and Esfandiary's after returning wrote his Buf-i Kur (The Blind Owl) in the mid-1930's Hidiyat is traceable Much of the frustration to Iran from his first trip to Europe. and influence patterns of personalism of readjusting to traditional to problems difficulties. and ideological political, wielding as well as to employment, and salaries. Many also return to Iran expecting only the highest positions posts in the system. This type of returnee often feels he is entitled to influential the only serious study of the educated Iranian returnee In 1963-1964, study based of UNESCO. This extensive was carried out under the auspices educated in the United on a preliminary sample of 1, 174 graduate returnees studies of and England was accompanied by identical France, States, and In the end, 253 subjects were selected Egyptian and Indian returnees. 13 Nine are revealing. the tabulated results of the interview-questionnaire were "happy to be home again. " With percent of the Iranian returnees

IRANIAN

STUDIES

14

respect to employment, 6 and 14 percent of Egyptian and Indian returnees "difficulties in finding a job. " In Iran, the figure was 31 experienced felt that they needed percent. Ninety-eight percent of the Iranian returnees field in terms of placement and working assistance in their professional of the same mind counted 75 and conditions. * Egyptian and Indian returnees 57 percent. Seventy-six percent of the Egyptian returnees surveyed felt that they could utilize their foreign training "to a great extent" on their The Indian and Iranian figures were 48 and 36 percent present job. re spe ctively. In the socio-political realm, the and produced instructive results. Many Egyptian or Indian feel that their country the West values and ideas of "individual surveyed indicate the same with regard " schemes.

survey raised the following question more Iranian returnees than either would do well to introduce from freedom and rights. " The groups to "social welfare and security

and ideas In your opinion, what institutions, ways of living, values, it would be valuable to your former host country do you consider introduce into your home country?

of

Percent for Each Home Country

answer No specified Education system Attitudes toward world Social welfare and security of state Reorganization Administration/government procedure Women's rights Family life and child rearing Leisure time activities Individual freedom and rights national character Emphasizing Others

The fact that Iranians readjustment may say things

E gypt

India

I ran

5 18 42 27 17 9 24 18 6 53 31

10 51 32 27 1 0 2 4 lz 15 1

3 Z3 55 48 10 17 10 4 7 7 33

seem to have special about both the Iranian

15

problems of system and the personality

WINTER

1969

In this vein, it is relevant of the returning intelligentsia. and alienation felt that the UNESCO study shows that 61 percent of the Iranian returnees Only 30 percent that they had changed "to a great extent" while abroad. of the Indians and 38 percent of the Egyptians felt the same way. It is for to thi s young journalist has referred this reason perhaps that a perceptive as "the uprooted. 'I 14 In some cases the resulting part of the intelligentsia roots; in many cases it has led to dramatic has had political frustration In acts; and in all cases it has had strong political implications. political what returning has described the following way, a Western-educatedAsian by Iranian returnees. ceaselessly Her words are re-echoed home has meant. Underneath are souls. split, two-layered We acquire, and repulsions taboos and compulsions, deep emotions, Above, a glut of glib words, and dark. loves unexplained of in the presence whose meaning disappears theories and acknowledged limitless want, ideas intellectually behavior rational but suddenly important, emotionally forgotten when the sea begins to roar ... For It is not easy to cut out great pieces of oneself. the West had done, some of us had loved it for whatever frail and hard to handlf reality, one thing: that delicate liberty.... gentle, and strong in tenderness--spiritual Thus, two of the demands that young Iran voices in the area of education are the right to acquire that education as well as the right to are this has occasioned and struggles use it. Some of the implications other demands that innurnerable There are, of course, analyzed above. period itself and one of these will be are made during the educational closer to the This moves the focus of concentration discussed next. a certain freedom to organize. system and concerns political the youth of Iran have few organizations Despite their many efforts, and supervised of their own. Since 1954, student groups have been closely and there are no open youth groups by the government tightly controlled The and permission. investigation formed without Security Organization manner in which student affairs have been handled in Iran has increasingly In 1967, there were 33 to student apathy and resentment. contributed that dealt with affairs of youth and, with the possible Iranian organizations they were all societies, of three minority-religious-ethnic exception on youth On April 22, 1967, a special committee highly ineffective. with the Ministry of Labor and the Prime Ministry met affiliated problems centered discussion At this meeting, to analyze the general situation. It was all the various youth organizations. upon the need to coordinate

IRANIAN

STUDIES

16

also proposed that a different environment be created for the youth of in which democracy Iran--one would be stressed as the prime value. This group concluded its meeting by asking for two and one-half billion rials to begin needed programs in the area of student and recreational organization. The youth themselves have all but boycotted the existing government A summer 1966 survey of 400 university organizations. students and secondary school seniors revealed that 88 percent of them did not belong to any youth organization and of the few who did one-half named the Iran American Society. Three out of the 400 were members of the major Youth Guidance Organization. government-sponsored youth group--the the administration Concerning of youth organizations, 87 percent demanded that youth itself be in charge while 4 percent favored government administration.17 While this very survey was being carried out, the government took what was called a major step in meeting the demands of youth. An elaborate "Youth Palace" was built and offered olympic-sized and heated swimming and diving pools, a 250-seat theatre, air-conditioning, and exquisite marbled architecture. The location of this palace is north of Tehran significantly at the site of the former Security Organization Club. the members Theoretically, themselves are supposed to direct theorganization, but manystudents consider several of the supervisor3 as security police agents. 18 One student of lower-middle class background described it as "a luxurious haven in the midst of nothing filled with government agents inviting us to come in. " The Youth Palace is generally as viewed belonging to the sons and daughters of the upper class elite anyway. The situation of university student organizations is even more for with the exception of the tiny Abadan Institute of Technology, barren, there has been no Iranian institute of higher learning that has had a student council or government. There is only one student organization found in most Iranian schools and that is the closely supervised Anjuman-i Islim (Islamic Society). The Tehran-National University Survey indicated that close to 90 percent of the respondents considered "university student governrnent" a valuable need. A recent attempt to establish a student council occurred at Pahlavi University when the administration suddenly appointed a student representative. Student protest reached such a state that the administration consented to elections for a student organization. Twenty-two representatives were elected and in less than six months all had resigned. They had believed they were to represent the student body, but the administration considered these representatives as their own. The students have not only been demanding organizations and associations but also they want groups in which they and not the government

17

WINTER

1969

The governrlment's long record of failure and provide the direction. the problemi. in this area has only served to aggravate inefficiency above, it is possible to recognize From what has been presented that exist in the student ranks. tensions and relations certain group-class Survey produced somlle University the Tehran-National In term--s of class, one can gain an insight From the following figures, results. interesting into the attitudes of the Iranian student toward other groups and classes. The question posed was as follows. If a person who fornms part of the groups indicated below occupied would what degree of confidence a high position in government, of the nation above those you have that he would place the interests of his private interests? Answers

in Percent

None

No Answer

Much

Some

Little

Businessmen

4

24

30

20

22

Union Leaders

12

34

24

10

Z0

6

28

22

22

22

8

28

30

8

26

Leaders

Religious Workers Large

Industrialists

8

22

26

22

22

Large

Landowners

6

14

24

34

22

4

28

22

22

24

64

8

8

0

20

The Military Professionals

strong trust These figures show that the students place a relatively in light of the deep distrust and This is quite remarkable in their own class. most After the professionals, Iranian youth. that characterize cynicism is placed in the workers and union leaders while least is placed confidence 19 From this, and large industrialists. businessmen, in large landowners, that the university students place much it can very plausibly be hypothesized than they do in the upper. To a question more trust in the lower classes

IRANIAN

STUDIES

18

' 46 percent raised about thc struggle between employers and workers. replied that, in general, they thought that the workers are right while six the em-iployers right. percent considered

One-third of these students (lid not see any chance that social classes couldl get along at all together. Over 40 percent believed that social classes will always exist in Iran, while another 35 percent saw them disappearing only when the political system changes. It is clear that the students are very much aware of class realities and that they have in the Iranian upper class. very little confidence Even among themselves there is important tension based upon differences of social class origin and this affects them in nmany ways. It is the offspring of the lower and middle classes who suffer the most at the time of entrance examinations described above. These are the ones whose parents cannot for the most part afford to send thenm abroad and therefore they must either succeed in the Iranian entrance exanminations or forego a higher education. It can also be proposed that the great majority of university students in Iran are of lower and especially middle class background. Of the students of upper-middle and upper class origin studying in Iran, most are at National University where tuition charges are relatively high. Among privately supported students abroad whose families the lower-middle represent and middle class, some 50 percent do not return to Iran where, because of limited family connections, they face "20 and a consequent "meagre work prospects inability to better themselves. Similar students of upper class origin return at a much higher rate estimated to be 75 percent. whatever organization Finally, and activity that does exist for young Iran exists for those youths of upper class origin. 'Ihe elite here is called in Tehran the "jet-set" and they have their own clubs, and cars. clothes, The Youth Palaces that are built are by their very titles and nature off limits to the youth of lower and middle class background. Iranian students do view themselves as menmbers of a new middle class and they are in many ways inore distant from the existing upper class than fromn the lower. Yet, there are still differences and tensions among them traceable to their social origins. It is the youth of lower and middle class origin who are most alienated because they are losing the most. In was such an individual who assassinated Prime Minister Mansur in January 1965 and it was also such a youth who attenmpted to assassinate the Shah that sanme year.

Student Alienation The alienation

of the Iranian

student 19

can be seen,

for example, WINTER

in 1969

the case of educated young journalist-writer R. I'timadi who wrote a novel depicting the agony of the younger generation. Students purchased the book, appropriately titled Sakin-i Mahallah-yi Gham (Resident of the District of in such numbers that two editions were sold out almost immediately Sorrow), The third edition was confiscated and the author brought to the Criminal Court for "promoting a philosophy which encourages Iranian youth to rebel against the established social and moral norms. " In general, the young people of Iran have become more and more with opium, heroin, and alcohol and the suicide rate among preoccupied Iranian youth is alarmingly high. 21 The Iranian youth himself speaks of a and even coins colloquialisms great loneliness, and insecurity emptiness, to describe this experience. he means When he says he is hapalihapaw, that the ground is constantly shifting beneath him and that there is nothing he can grasp to keep himself from falling. Much of the difficulty is the overwhelming force and challenge of change and this too has helped twist and alienate him. The following analysis of Iranian youth indicates the relationship between these forces of change and the depth of alienation he feels. These are personal impressions recorded in 1966 after a series of discussions with Iranian student friends. There are more and more parties taking place in urban A short time ago this did not exist for the young. Iran. Now they exist but have little meaning. Such activities and recreation are only being imitated. The young do not understand the philosophy behind such pastimes. They just dress up and go. This reflects the shallowness and emptiness in the lives of the young people. They battle their conservative families to do things they themselves do not understand. As such, the present generation is the battered victim of change. They are the living wedge of shock troops that are being mangled by a situation that has exploded upon them. The forces of yesterday give ground grudgingly. But even when the forces of yesterday become more pliable and openminded, the battle has still only begun. Change that is aimless and baseless must be given meaning and anchored in the world in which it takes place. What good are new clothes and styles if there is no place to go? What good are places to go if that is all they are? Why imitate surfaces without understanding substances? Why destroy without building? Yet, who can be dynamic, and constructive inventive, in a system where problems of farmily, sex, money,

IRANIAN

STUDIES

20

education, and employment sap one's every energy? The battering that the young Iranian absorbs from such fundamental problems takes its effect upon him. He is lost, and cynical. distrustful, He is a young man insecure, He and an old man. But tomorrow the real task begins. must lead Iran. His training ground has been a slippery one but he has survived. In so doing, however, the young Iranian has often blunted the tools of initiative, optimism, so necessary and creativity to the tasks now at hand. 2Z

Political-Elite

Policy

The entire subject of youth and student problems has had severe and much of the resentment continues to flow ideo-political implications in this direction. The policy of the political elite in responding to this situation will have an important effect not only upon the future direction this alienated group takes but also upon the future of Iran. As was briefly indicated in the discussion of youth organization, has contributed to making a bad situation the a pproach of the government worse. The major reason has been that the elite has decided to infiltrate the ranks of Iranian youth in order that it may both observe their activities and control them as well. The universities are a case in point. After 1955 (Azar 16) when three students were shot to death on the government the Tehran University campus, promised that troops would never again enter university The students came to trust grounds. this immunity and such was the situation until January 1962 (I Bahman 1340) during the stormy days of Am'`ni's premiership. In a surprise attack that acrossthe day, the commandosmoved university grounds destroying property and beating some students. the Security Organization Following this episode, The government now adopts a hard line openly moved into the universities. toward the students although techniques to university. vary from university At Tehran University the method has been force and open intimidation. At Pahlavi University the method has been bribery in the form of scholarships. At the Abadan Institute of Technology an entire class was dismissed. Besides this, there are several hundred students who are in the employ of the These are the "professionals" Security Organization. who frequent the government-sponsored youth organizations and who march and demonstrate in the streets on pro- regime holidays. In attempting to harness the students of Iran to the present system, one university dean suggested that the government form a "white guard" rrade up of students and then relate it to the Shah's "white revolution. " Combined with this force and bribery, there

21

WINTER 1969

has been a genuine effort to better the situation of youth in certain areas. the need to Huvayda have em?hasized Both the Shah and Prime Minister the In this sense, realms. assist the Iranian student in many critical pressures has been meant to relieve some of the recreational Youth Palace plans, and budgets to assist in other ways. and the various committees, Iranian vis-a-vis policy of the government This three-pronged has concessioni, and selected bribery, i. e., intimidation, students, in some degree to quiet the students down. It has not succeeded succeeded Thus, there their opposition nor can it build commitment. in diminishing Nor is there even any above. presented is the picture of alienation calm. guarantee that the present policy will continue to keep the universities or misdirected of pressure relaxation Whenever there has been the slightest at demonstrations The little-publicized bribery the students have exploded. in Spring 1967 and again in 1968 are Tabriz, and Tehran Universities Pahlavi, elite as well as Iran needs the The Iranian political a case in point. It is getting neither and as a result commitment and support of its youth. Dr. Mahmud Sana'i: was recently warned by leading psychologist of this country does not The future of the youngsters concern bridges and roads and asphalt which if cheated loss and can be rebuilt with on only involve a material of this If the life of the young generation new capital. country is lost it is not obtainable again. coercive Student power in Iran does not rest upon organization, It rests instead upon human position. or political and economic abilities, elite The Iranian political skills and talent. comrnmitment and intellectual to implement and skill it is impossible that without this commitment realizes the Yet, the elite also recognizes programs. developmental successful power patterns fact that student power is directed against the traditional which form the roots of its own support. 2 to concessions Fundamental and administration, justice, student demands in the areas of education, of the elite itself. politics would undercut the position of many members have attempted to adopt a middle course by The present decision-makers When such as land reform and industrialization. introducing programs The and repression is introduced. coercion this fails, a policy of selective as this policy can only increase one, however, dilemma is an uncomfortable of the participathe availability student resentment. This, in turn, lessens for modernization. of young Iran which is indispensable tion and dedication

IRANTAN STUDIES

22

NOTES 1. The research resulting in this study was carried out in Iran between 1965-1967 under a fellowship granted by the Foreign Area Fellowship in this article, are those of the The conclusions Program. however, author and not necessarily those of the Fellowship Program. of the important Iranian middle class was 2. An early analysis introduced by T. Cuyler Young in "The Social Support of Current Iranian Policy, " Middle East Journal, VI (Spring, 1952), 128-143. In 1963, we called of the professional special attention to the significance intelligentsia in Iran. See J. A. Bill, "The Social and Econoinic of Power Foundations in Contemporary Middle East Journal, XVII (Autumn, 1963), Iran, 400-418. For a more extensive study of this new middle class and its role in Middle Eastern politics, see Manfred Halpern, The Politics of Social Change in the Midclle East and North Africa (Princeton: Princeton University IPress, 1963), pp. 51-78. Several interesting of the analyses professional middle class by Iranian scholars hiave been printed in recent issues of the Persian joturnals, Jahan-i Naw and Masa il-i I rin. 3. These figures have been calculated on the basis of statistics drawn from the two official Iranian censuses. See Ministry of Interior, National and Province Statistics of the First Census of Iran: November 1956, II, pp. 309-310; and P-lan Organization, National Census of Population and November Housing: Bulletin No. 3, p. 35. 1966, Advance Sample, 4. Mohammad Borhanmanesh. "A Study of Iranian Students Southern California' (unpublished Ed. D. dissertation, University of at Los Angeles, California 1965), p. 1. 5. Investigation

in

Ministry of Labor, Barras;-hi-yi Masa' il-i N-iru-yi Insani-of the Problems of Manpower (Tehran, 1964, I, pp. 567-570.

6. In hiis book, Javdni-yi Purran j (Suffering Youth), Iranian psychologist Dr. Nlsir al-Din Sahib al-Zaminf lists and discusses sixteen that plague Iranian youth: problems problems of work, education, independent study, recreation, acceptance and recognition, sex, mate-selectior and divorce, military service, generation conflict, togetherness without understanding, value conflicts, disharmony between home and school, too little or too much independence, lack of guidance and leadership, fear of rivals, and lack of social ideals. study is the most $dhib al-Zamdni's serious analysis of the situation of Iranian youth. The study is well research and well documented. JavanI-yi Purranj (Tehran, 1965), pp. 22-23.

23

WINTER

1969

7. The original questionnaire and administered Lipset and translated be referred This survey will hereafter Survey. 8.

pjiib

al-Zamnanl,

was drawn up by Seymour Martin by a trained Iranian social scientist. University to as the Tehran-National

Javani-yi

Purranj,

p. 60.

Report to the Third "Introductory 9. The Plan Organizations's Plan" indicates that in 1960 less than four percent of all students Educational has been slightly This percentage schools. were enrolled in vocational increa sing. 10. 11. Khvindanihi,

tIlhib al-Zamini, Khusraw 27th yr.,

Javani-yi

Purranj,

p. 33.

Shahani, "The Pain of Youth and Its Cure," p. 18. No. 4 (5 Mihr 1345/1966),

movie is Majid 12. An example of one such widely distributed Swallows "Parastau-hai bi-lainah-ha- shan bar migardand-The Muhsini's Muhsini has been a deputy to the 21st and 22nd Return to Their Nests.: and has traveled to Europe to try to convince Iranian students to Majlises Office began putting out a In 1966, the Prirne Minister's return. it to literary magazine entitled Talash and has distributed high-quality Iranians throughout the world. 13. The mnanwho directed the Iran study was Dr. Morteza of the Institute of Social Studies and Research of Tehran Nassefat were drawn of the following two paragraphs The statistics University. "Les Situation des Etudiants Iraniens a l'Etranger from his manuscript entre lIran et Leurs et Leur Role dans l1Echange des Valuers Culturelles Pays Hotes" (Tehran, 1965) and from United Nations document UNESCO/ 1964. The sample was selected Rev. -PRIO, Oslo, November, SS/COM/5 with regard to age, date of return, country of study, branch of study, level of education, type of student (scholarship), abroad, period of residence returned between 1955 and 1962 and had been All those questioned and sex. In the Egyptian and England, or the United States. studying in France, the host countries were Germany, England, and the Indian surveys, one and the Iranian The study itself is a very scholarly United States. well done. section is particularly 14.

See Alfred

1963.

IRANIAN STUDIES

Bakhash,

Kayhan International,

February

27,

15. Han Suyin, A N any-Splendored Thing Brown (Boston: Little, and Company, of Nationalism Mostofi, Aspocts 195Z), quotedt in Khosrow of Utah Research (Salt Lake City: University No. Monograph 3, 1964), p. 45. 16.

Masas

Personal

copy

of the

m--inutes

of the

April

1Q67 meeting.

17. 'Abdl al-Husayn and Iftikhar Nafisi Tabataba' il va Mushkilat-i va Danishamuz-i Javanan-i Danishju

An Examination and University

of the Problems Stucdents (Tehran:

i,

and Difficulties of Tehran Plan Organization, 1966).

Barrasi-yi Tihran-

Secondary

18, In a personal the Prime iinterview, Mlinister vigorously denied this. 'There are probably few such agents in the Youth Palace, but it inmmediately inherited this reputation as its predecessor, the Youth Guidance was well staffad Organization, with such agents. To counter the the Youth Palace criticizn)that to a privileged belongs few, Iranian have recently authorities established a dozen more youth centers throughout the country. It is also important to note that a conscious effort is being made to separate Palace theYouth from formal organization government affiliation.

sampled

19. This is particularly interesting wxere of lowxer class origin.

since

only

1/6

of the

students

HabTib NafTs-i, 20. "The Brain-Drain: The Case of Iranian " Paper Presented at the Annual Non-Returnees, of the Conference for International Society New York, Development, March 17, 1966, p.

7.

There 21. are many relevant but their statistics is reliability questionable. It canl be said with reasonable certainty though that 75 percent of the suicides in Iran are committed by young people between the ages of 15 and 30. In the early 1960's, there were half a imillion reported cases of opium addiction in Iran. Heroin is the near-monopoly of young people in Iran while opium is more common among the older generation. See SIhib al-Zamani, JavanE-yi Purranj, pp. 203-204. 22.

Personal

Interviews,

March

1966.

Prime 23. Minister Huvayda has been the problems of youth and, with the Shah's support, effort to understand and meet student demands.

25

especially he has

sensitive to nmade a great

WINTER 1969

24. (Shahrivar

1,

"New

Plan

1341/1962),

for p.

the 77.

Organization

of Schools,

"

Sukhan

For a detailed of the traditional 25. analysis patterns power of Infornial The Case see J.A. "The Plasticity Politics: Bill, in Iran, " of at the U. C. L. A. --Society for Delivery Paper of Iran, Prtepared on the Structure of Power in Islanmic Iran, Iranian Studies Conference 196'). June 26-28, Los Angeles, California,

IRANIAN STUDIES

THE TURKMEN OF IRAN: A BRIEF RESEARCH REPORT1 WILLIAM IRONS The Turkmen inhabit a portion of the Central Asian steppe extending east from the Caspian Sea to the Amu Darya, a region divided The and the Soviet Union. Afghanistan, among three countries--Iran, central part of this area is the Kara Kum, or "black sand, " a vast, largely in two The majority of the Turkmen are concentrated uninhabited desert. somewhat more fertile regions bordering the Kara Kum. One area consists of the banks of the Amu Darya; the other is a long strip of plains and low mountains, lying south of the Kara Kum and separating it from the Iranian The Turkmen number about a million and a half, Plateau (see Map below).

AREASHOWN ON MAP

7

Khiva .

_ GOR.AN..

~tAN

Teheran eTeheran

9

Bukhara

KARA KUM IA

AT

Ashkhabad

Meshed Meshed

eMer

USS

area indicates ~~~~~~Shaded

the region in which the majority at the Turkmen are concentrated. oHerat

IRANIAN PLATEAU

William Irons, a doctoral candidate in Anthropology will be joining Johns Hopkins University Michigan, of Social Relations. Professor 27

of at the University this year as Assistant

WINTER 1969

with approximately a million living in the Soviet of a million each in Iran and Afghanistan.

Union,

and rouLghly a quarter

UIntil a century ago the overwhelming majority of the Turkmen were nomads free of effective control by any sedentary state, and their nomadism was crucial in preserving their freedom from such control. The devotion of these people to a migratory way of life can be understood only in historic perspective. The Turkmen are by tradition a pastoral people, and for them nomadism is a way of using sparse and seasonably variable pastuLre for livestock production. But it was, in the past, something more: a means of resisting firm government control. Such resistance was a consciously maintained tradition amonig the Turkmen, and nomadism was the chief means to this end. to resist the power of sedentary states grew Their eagerness out of an understanding of what government corntrol meant to settled people. In the harsh social enivironment of the traditional Middle East and Central Asia, settled people were frequently exploited thiough the imposition of heavy taxes and rents. The Turkmen not only avoided such exploitation, but by raiding and collecting tribute from their sedentary neighbors, they went a step further and put themselves in the positioin of the exploiter. A century ago they were notorious as birigands arid especially as slave raiders. SlaviTng activities were conduchte d primarily in northeastern Iran, where Turkmen raiding parties made a practice of ambushing caravans ol attacking villages, and then retreating quickly with their captives to 2 Turkmeni horses are a breed outstanding for their their own territory. endutance, their ability to cover long distances of up to a hundred and fifty miles in a minimum of time, an ability which was especially ulseful in this sort of slave raidinig. The prisoners brought back by raiditng parties met one of three} fates. Those of wealth were often held for ransom. When there was no hope of ransom, captives could be sent by caravan across the Kara Kum to the slave markets in the Central Asian cities of Khiva, Bokhara, or Merv. Others were sold to members of their own tribe. The descendants of the latter group today form a distinct and socially iniferior group among the Turkmen. Today the situationi of the Turkmen contrasts sharply with that of a century ago. Now all have accepted the authority of one of three governments--Iran, the Soviet UJnioni, or Afghanistan--and the majority are sedentary. of state control and sedentarization Acceptance have tended to alter the traditional the way of life of the Tturkmen. However, establishment of firm administration and conversion to settled life were

IRANIAN

STUDIES

28

accomplished piecemeal, affecting some areas sooner than others. In a few arid and thinly populated regions the Turkmen have remained nomadic, and among these nomads tradition is largely intact. My own research was concerned primarily with the traditional social structure of the Turkmen and, for that reason, when I began my study in the winter of 1965, I decided to concentrate on those Turkmen who have remained nomadic. This research was cQnducted in the Gokcha Hills, 3 a patch of low hills protruding into the Gorgan Plain of northern Iran. The Turkmen that I studied belong to the Yomut descent group, one of two large descent groups represented by a substantial population in Iran. The other descent group vell represented in Iran is the Goklan who live to the east of the Yomut. The following is a brief summary of the way of life of the nomads I studied. Ecology

and Economy

All nomadic Turkmen are divided into residential groups known as obas, and my research was focused on a single oba consisting of sixty-one households. An oba is associated with a definite territory, and all of its members share common rights over that territory, including the right to use the pastures and any natural source of water there. All have the right to dig wells, but once such wells have been dug they become the private property of the persons who expended their labor in digging them. Similarly, all may plow up virgin land for cultivation, but once someone plows a section it becomes his private property. Naturally the Iranian government has different notions about the ownership of land, but in the Gokcha Hills, where land has little value, access to land is regulated for the most part by traditional Turkmen concepts.

Throughout the year the nomads of the Gokcha Hills live in yurts, a Central Asian tent, which consists of a hemispherical wooden frame covered with felt. They make their living primarily by raising sheep and goats, and their pattern of migration is largely determined by the needs of their animals and by variations in pasture and water supply. The climate of the Gorgan Plain is characterized by definite wet and dry seasons. The wet season begins in the winter, and during this season the Gokcha Hills and surrounding steppe are covered with a short, but relatively thick, crop of grass giving the appearance of a vast, freshly mowed lawn. Winter temperatures are mild, rarely dipping below the freezing point. Rain water, as well as occasional melted snow, collects in scattered depressions to form pools from which water is taken for household needs. During this season, the nomads camp where water and suitable pasture can be found. Ample pasture is usually available

29

WINTER 1969

close to their dry-season location, so that most of their migrations are quite short. In this respect, they differ considerably from many of the pastoral peoples in and around the Iranian Plateau who make long seasonal moves ranging over vastly differing ecological zones. Am.ong the from the movements alternately collect while the livestock thirty miles to the the Turkmen camp

Turkmen, the seasonal of camps differ migrations of livestock. The nomad camps of the Gokcha Hills at wells and disperse over the surrounding territory, move between the Gokcha Hills and the Gorgan River, south, thus covering a larger area. This means that near their herds only during a portion of the year.

The reason for this lies in the needs of their livestock. During the latter part of the winter, the lambing season begins and the Turkmen must be near their herds to assist in cases of difficult birth and to care for the lambs, which are kept inside the yurts at night to protect them from the cold. Because the lambs are too weak to travel far, they must be pastured near the camp. Even after the young animals are weaned, the adult females must be milked daily, and for this reason, the nomads still keep the livestock near their camp. With the onset of summer, the dry season begins, and the green of spring are gradually transformed pastures to a barren brown. The rain water pools disappear, anid now the nomads must camp near their wells. When the pastures become sparse and desiccated, the animals stop giving milk, and it is no longer necessary to keep them nearby. They are then sent south to the banks of the Gorgan River, where they graze the stubble of harvested fields. The younger men of each household accompany their family's livestock and live separately from the rest of the household, with only a small lean-to-like tent for shelter. This division of labor is possible because herding, as well as other forms of economic production, is organized by extended families, of consisting an older man and his wife, his married sons with their wives and and his unmarried sons and daughters. children, the nomads of the Gokeha Hills Although predominantly pastoral, as high-risk devote a little of their time to what can be described agriculture. wheat and barley are planted during In hope of a late spring harvest, the winter in valley bottoms ox other depressions where water tends to anid a crop fails to develop. collect. As often as not, rainfall is insufficient in those years in which a crop can be harvested, the yield However, is sufficient to make up for the losses of grain put down as seed in bad years.

IRANIAN STUDIES

30

The economy of the nomadic Turkmen is strongly oriented to urban markets. Each family produces only a part of what it consumes: milk and milk products, meat, felts and carpets for their yurts, and a small amount of grain. The rest of their needs must be purchased. Cash income comes from the sale of wool, felts, carpets, and animals The basic item in their diet is bread, and they purchase the for meat. bulk of the wheat from which the bread is made. Rice, tea, and sugar must all be bought. Clothing, cloth, metal tools, and nowadays, a hand-powered sewing machine and a transistor radio, are other items that a typical nomadic Turkmen family buys. About once a month, two or three men from each oba travel to the nearest city to purchase supplies and to sell their products: animals, wool, and carpets. Social

Structure

The organization of the extended family reflects a strong emphasis on descent in the male line, which runs through all Turkmen social institutions, When a man's daughters marry, they go to live with their husbands' fanmilies, whereas his sons bring their wives into his household, where they assume the dual role of wife and daughter-in-law. A man's grandchildren in the male line grow up in his household, and he commonly refers to them as his "sons" and "daughters. " When, with the passing of generations, his grandsons become old men and the heads of extended families of their own, they will camp together and co-operation between them will be extensive. If any one of them is offended by an outsider, the group will band together to seek redress. Small patrilineages of this sort provide the model in terms of which the larger political units of the Turkmen society are organized. The older men, who make the important decisions, know their genealogies well. Each of them can, on the basis of his genealogy, identify a group of people who share with himi a common ancestor in the male line four generations back, and a slightly larger group of people descended from a common ancestor five generations back, and so on, until he has identified himself with descent groups including thousands of families. all Turkmen believe they are united by their Ultimately as the descendants of a single man, Oghuz Khan. 5 Although genealogies the remoter generations of these genealogies are vague and legendary in character, this is of no practical importance since the Turkmen take them seriously as a basis of arranging their social obligations.

31

WINTER

1969

Traditionally, the primary function of these descent groups was defense of the individual's rights through violence, or the threat of violence. Defending one's patrilineal kinsmen when their rights were violated was a basic duty in Turkmen social life. This was extremely important, because the absence of state control and of tribal offices with sufficient authority to enforce law and order meant that the strength of a Turkmen's patrilineage was the only guarantee of his rights. When someone violated a Turkmen's rights by robbing him, injuring him, or killing him, his patrilineal kinsmen were obligated to seek redress by whatever means was necessary. In cases of murder, for example, either the murderer or one of his lineage-mates was killed in revenge. Who sought redress for the victim and who defended the culprit were matters determined by genealogy and by the gravity of the affair. Small problems could be handled by the immediate families of the victim and the culprit. As matters increased in seriousness, a wider and wider circle of people who shared common patrilineal descent were called upon for assistance. Those who were, on the basis of their genealogy, close to neither party also had a prescribed role. It was their obligation to attempt to bring about a peaceful settlement and, if possible, to prevent bloodshed. If the offense was slight, they merely advocated peaceful discussion and suggested compromise. In cases of murder, the neutral parties aided the culprit by hiding him from the victim's kinsmen and by helping to arrange his escape to some distant place of refuge. Protecting those who came seeking refuge was part of the obligation of neutral parties to prevent bloodshed. The Iranian government has been attempting to eliminate this traditional system of self-help and to enforce law and order itself; in remoter areas, however, it has not always been successful. The composition of Turkmen obas, like many other aspects of Turkmen social structure, reflects the importance of patrilineal descent. Most of the men of any oba are closely related in the male line; in addition, there are usually a number of unrelated families who have come to the oba fleeing feuds in their home territory. While these refugees reside there, the oba will protect their rights of person and property against outsiders. The men of an oba traditionally selected a headman, who took charge of all dealings with the outside world. Today, in theory, he is appointed by the government, but in practice the local officials usually

IRANIAN STUDIES

32

allow the men of the oba to indicate the man they wanit as their headman. Tre headman has no authority, but mernely acts as spokes-man for the Any important decisioni must be based on conisensus; oba as a whole. Ustually a by all the men of the oba. it mtust be preceded by (iscussion and itntegrity and for his ability for his intelligence headman is selected with whom he officials to speak Persian, the language of the government must deal. Orditnarily a group of fifteen to thirty obas, which belong to the same descent grouip anid occupy contigiuous tracts of lanld, form what the as tribe. In the days of Turkmeni call atn il, a word best translated the obas of sUCh a tribe wer'e usuially on1 peaceful intertribal warfare, and Tribes that adjoined were usuially hostile, terms with one another. there was much raiding between them. One of the functions of the Turkmen tribe that has not survived sedentary control is the practice of protecting neighboring government vulnerable to the raids of the These villages were (specially villages. and to gain a measure of security and protection each village Turkmen, paid tribute to the Tur kmern tribe nearest it. In returni, the tribe and to prevent raids by other Turkmen agreed not to raid the village, if they the village for losses They also agreebd to compensate tribes. In effect, the raids by othler tribes. were unsuccessful in preventing for raiding. exchange of protection for tribtute was a peaceful substitute The Role of Nomadism

in Turkmen

Life

control, to raid, The Turkmen were able to resist government and to collect tribute because their nomadic way of life made them an atnd were well They were good horsemen military force. effective Raids, both of sedetntary villages and of other supplied with horses. nomads, were frequent events and provided the Turkmen with excellent When clashes with the Persiani military forces militarv conditioning. normally hostile tribes would unite to turn out a large body occurred, of cavalry. cavalry could usually hold its ground against This seasoned the Tuirkmen but even when met by superior strength, the Persian forces, Instead, they would retreat into the desert north of did not surrender. with them. the Gorgan River, taking their families and livestock Thus, mobility Turkmen; this was why it. Much compromise fertile and was crossed

the power and independence of the preserved avoided anything that would they consistently they inhabited was niaturally of the territory of The construction by numerous streams.

33

WINTER 1969

could have made agriculture works and the practice of intensive irrigation houses at their' dry-seasorn locations Permanent this land more productive. would not The Turkmeni, however, their comfort. could have increased instead on They concentrated accept such trends away from nomadic life. of tribute. on raiding, and on the collection production, livestock of the Turkmen the political independence During the last century, have Advances in military technology has gradually been whittled away. shiftedi the balarnce of power between the nomadic tribes and settled society Most of powers. and have led to the conquest of the nomads by sedentary duiring the latter half of the the Turkmen were conquered by the Russians nineteenth centuLry. Those on Iranian soil were subdued and brought uirider firm control in 1925. 6 a has been to encourage of conquering govenments The objective Such a transition, and peaceful way of life. to a more sedentary transition The nomads viewed at once. could rarely be accomplishedl however, of govei-nmental authority over them, and as a consolidation settlement in the thirties For this reason, were niot eager to take up sedenitary life. not only of the began a policy of forced settlement the Iranian government The nomads I studied had been but of all of the Iranian tribes. Turkmen, in 1936. For locations forced to build permanent houses at their dry-season they lived authorities, under the watchful eyes of government five years, in these houses during the dry season and migrated with their yurts only life developed naturally This form of semisedentary during the wet season. camps. out of their pattern of pasturing sheep away from theii' dry-season is revealing. The nomads had That it caused no economic difficulties rather than for for political mobile existence maintaine>d a completely to a semisedentary could be existence and a transition reasons, economic made without economic difficulty. In 1941, Russia occupied northern Iran because it was fearful of was with the Germanis, and the process of settlement Iranian co-operation in modernization, but the The Iranians had been interested reversed. were interested oIder to keep their supply lines Russians only in sufficient forced to their Western allies open. Many of the Turkmen who had resented The people with whom I recently lived reverted to nomadism. settlement the houses they had been forced to build and returned to livinig destroyed and(i banditry became rifeZ in in yurts. Security deteriorated, year-round such as the Gokeha Hills. the remoter and more arid regions, After the Second World War, the authority of thes Iranian government in the Gorgan Plain anid efforts to moderniize the Turkmern was restored had (om(r to unde-stanid the limited value were renewed. The government

IRANIAN

STUDIES

of forced IeI 11t-CS U.e('d iIl I hi it'tjest . ItS obi(eitive was not to redcee the Turk-men lo the tra ditiolal position of an cxploile d peasanitry, bhit rath(er to integrate them inito zi somiet- that was on ttle way to becoming a modern nation. This meant Ihe I crms would haive, to be saLtisfactory to the T'ork-men tihernselves. In line withi this policy, persUnasion wai used rather than fotec. was ma(le ini the fertile Rapid anid extensive progress region sollth ol the' GOrgan River. This area beinig level, welt-watered, and underpopulated presented of idacl (ondlitions for the development

of t iI( typ)e

large-scale

m-echanized

has become

mout

farmss.

me(chaniz7e.d tha

As a result,

in any other

agriculture

in this

region

area of Iran.

less promisitig Ilt eeortomictlly regions such as the Gokcha Hills, things chlanged more slowly. By 1960, the government had eliminated banditry for this area , cl.earing the way for further progress. The 'Lurkmen of this region, however, have remained noma(lic to the presenit. Ne vertheless, there are indications that tftey too will eventually be caught up in thi trend of modernization. The Gokcha Hills Tuirkmeni are beginning to realize that their nomadic way of life has no place ini thie future. The men of this region are beginning to disc uss ways in which they ran share in the progress experienced by their kinsmen in thie populous regioiis to their south. They are beginning to discuss the possibility of building houses and volurntarily taking up a semi-sedentary existence similar to that forced upon them in 1936. There is also talk of schools and of irrigation schemes that might make their arid land more prosperous. of this sort, no doubt, Discussion indicates the beginning of a process which will draw them into the mainstream of Iranian national life.

NOTES tThis article is a revision of the article entitled "The Turkmen Nomads, " which appeared in Natural History, November 1968, pp. 44-51. Parts of the text have been rewritten, and additions, including a bibliography, have been made. The material in this paper is based on field presented research carried out in 1965, 1966, and 1967 under the sponsorship of the Foreign Area Fellowship Program and the University of Michigan Center for Near Eastern and North African Studies. I wish to express my gratitude to both inistitutions for their generous support.

Marvin, London,

2For a good description of TuLrkmen stave raiding see Charles Me rv and the Man-Stealing Turcomans, W. H. Allen and Co., 1881, pp. 177-200.

35

WINTER

1969

3The Gokcha Hills, when they can be found on maps, usually appear as the Gekcheh Dagh or Gekcha Dagh. These renderings, I presume, are the result of attempts to guess what the unrepresented vowels are by 4 someone who was familiar with the name only in its written form:

prefer

4The Yomut and Goklan are often described as "tribes", but I see page 3 3 . to reserve the term "tribe" for smaller groups,

of the Turkmen have been 5Many of the legendary genealogies recorded in Abul-Ghazi Khan's Genealogy of the Turkmen. For a critical edition see A. Kononov (ed.) Shajara-yi Tarakimah, U, S. S. R. Academy of Sciences, Moscow and Leningrad, 1958, (Russian and Turkmen). 6For a description of part of the military operation subduing the Turkmen of the Gorgan Plain, see Hassan Afra, Shahs, John Murray, London, 1964, pp. 172-183.

involved in Under Five

7A study by an economist of the development of mechanized agriculture in this region has recently been published: Shoko Okazaki, of Large-Scale The Development Farming in Iran; the Case of the Province of Gorgan, I.A. E.A. Occasional Papers Series, No. 3, The Institute of Asian Economic Affairs, Tokyo, 1968.

SELECTED I.

Sources

Relevant

BIBLIOGRAPHY

to the Turkmen

in General

"A History of the Turkmen People" in Four Studies on V. V. Barthold, Central Asia, (by the same author) vol. III, V. and T. Minorsky E. J. Brill, (translators), Leiden, 1962. A. Kononov (ed.), Shajara-yi Tarakimah, U. S. S. R. Academy of Moscow and Leningrad, Sciences, 1958, (Russian and Turkmen). Die Achal-Teke; zur Wirtschaft und Gesellschaft einer W. Konig. im XIX Jahrhundert, Akademie- Verlag, Turkmenen-Gruppe 1962. Berlin, C. Marvin, Merv, The Queen of the Word and the Man-Stealing W. H. Allen and Co., London, 1881: this Turcomans, book is a good summary of material from travel journals, and of the numerous, provides a good starting point for an exploration

IRANIAN

STUDIES

36

volomitnous,

ac.:ontnis

anld frie quetil.vj j uri njinteetithde ating w itli ihi Turkmen.

cn lury i ravel

in Central As;ia; Being the Account of a Journey Travels A. Vambery, from Teheran Across the Tuirkornan Desert on the Eastern Shore to TKhiva, Bokliara, and Szimarcand, Performed of the (aspian in the Year 1863, Hiarper anid Brothers, New York, 1865: Part II of this bhok is n description of the peoples of Central Asia withouit the numerous irielivant digressions thlat characterize other than Marvin's Merv nmost travel aiiotriits, and, the-refore, providcs the best thiat can be gained from the nineteenth-century Fiiglishi

II.

oi

s.tiirces

T'11iilisi;h S10 *iiixs

thc

Tiirkmcn.

li lo1W

iari

Gor gan Plailn

At Ltollli1 VNj'tadlel, "Ani Aialtysis of Econioimic and Social Factors Ri laaled to Iniiovation of a Ric(iimine nded Agriciultuoral Practice il) tlii TUFkomo 1'T ibll Ciimmuiiity of Iran'', unpublished ( U'iriell IJliversity, Mlosic(r'.s 1 liesis, 1962. of Large-Scale Slioko Okoazaki, The Development Farming in Ir-an; the Case of the Province ilf Gorgan, I. A. E. A. Occasional Papers Ser ies, No. 3, The Iristitute of Asian Economic Affairs, Tokyo, 1968. H. L. Rabinio, Mazandar-5n anid Astar5bad, 1928, Chapters 8-111, pp. 67-104. C. F.

III.

Luzac

and(l Co.,

London,

Yate, Khurasan an(i Sistan, Willian Blackwood anid Sons, London, 19t)0, chapters 14 and 15, pp. 212-281: by the standards of nineteenth-century travel accounts, thiese clhapters constitute an of the Turkmen of the tulnusually good and accurate description Gorgan Plain.

Pe rsian

Sources

Relevanit

to the Gorgani PLain

M'lrza Baba Valad-i Mrrzd Safar 'Alf Bustamni, Ti'd5d-i Naufus-i 'AMtardbdd, 3 Muharram 1296/1878, Manuscriipt 4330, National Malikl Library, Tehran. vs Jughrafiya-yi Asad'ull7ah Mu'tini, Jughrafiya Tarikhi-yi va Dasht, Tehran, 'Isfand 1344 Hijri Shamsi/1966 Hus;hang Pur Na rim,

"TurkLimanha-yi

:37

Iran",

Gturgan

Hunar va Mardum,

Ministry

WINTER

1969

of Culture, pp. 28-42

of Culture,

Tehran,

'Isfand

"Turkumanha-yi 'Azar Tehran,

1344 va Farvardin

rran, 2, 1345/1966,

1345/1966.

" Hunar va Mardum, pp. 22-34.

Ministry

Zarninaha-yi 'Ijtima'i, "Turkumanhf-yi Iran; Barrasi-i 'Aban va Tehran, Ministry of Culture, 3'T Hunar va Mardum, 'Azar 1346/1967, pp. 48-64. Nukhbah-yi Sifiyah, Muhammad 'Ali Qdrkhanchli Saulat Nidhim, 690, Library of the National Assembly, Manuscript 1321/1903-04, Tehran. _ ,

National Abbas

Shuqi,

IRANIAN

Nukhbah-yi Kamrafil, 1327/1909-10, Malik Library, Tehran. Dasht-i

STUDIES

GurgTn,

Tehran,

38

Manuscript

'Aban 1314 Hijri Shamsi/

3935,

1936.

BOOK REVIEWS History of Iranian Literature. By JAN RYPKA. Dordrecht, D. Reidel Publishing Co., 1967. 928 pages. $35. 00

Holland:

AMIN BANANI The English edition of Jan Rypka's History of Iranian Literature has been eagerly awaited since the appearance of the original Czech version in 1955 and its German translation of 1959. For this English edition, which is considerably expanded and brought up-to-date, Rypka has enlisted the aid of several of his former students, and colleagues. compatriots Otakar the chapter on pre-Islamic Klirma has contributed Iranian literature, Vera of the 20th century, Kubi'ckova on Persian literature Felix Tauer on Persian learned literature from its beginnings to the end of the 18th century, Jiri Becka on Tajik literature from the 16th century to the present, Jiri and Jan Marek on Persian Cejpek on Iranian folk literature, literature in India. Rypka himself is responsible for the chapter on Persian literature up to the beginning of the 20th century, and for an outline of Judeo-Persian literature. Like most eagerly anticipated works this book has its disappointand as an attempt of such magnitude it is bound to have its strengths ments, as well as its shortcomings. Since it comes a half-century after Browne's monumental Literary History of Persia, (and nearly a quarter of a century after Safa's) and since it will probably stand for a few decades as the standard work for students and scholars of this field, it is both inevitable and instructive to review it against the background of its predecessor. In concept and in organization Rypka's work is radically different from Browne's. The term 'history' occurs in the titles of both works and the key to the essential differences between the two is to be found in the divergence of the authors' conceptions of what constitutes history. For Browne a traditional succession of dynastic fortunes, lightly infused with Victorian liberal attitudes, provides the skein upon which to hang the narrative of poets and other men of letters. It is little more than a detailed chronology of literary Amin Banani is Associate in the Department Professor and African Languages at the University of California, 39

of Near Eastern Los Angeles. WINTER

1969

figures and events. In Rypka's volurne literary developments are placed, with a fairly firm ideological outlook, in the light of historical forces. It would appear then that the conceptual formula of the present work is more to the successful conducive writing of history. But it is this writer's view that after the shock of the defeatingly exhorbitant price of this volume, its next disappointment is in the fact that it is mistitled. It is not a history but rather a handbook of Iranian literature. As a handbook it is enormously useful and much to be appreciated. It gathers in one place diverse information based on current scholarship with excellent bibliographic aids. Modern students will be particularly gratified by the inclusion of folk literature as well as Persian literature in India and of literary life and activities in Tajikstan. By the same logic the absence of a section on to other works. cannot be rationalized Afghanistan by reference This brings up the ambiguity of the sense in which the adjective 'Iranian' appears in the title of this work. not used in the It is obviously to other Iranian for with the exception of brief references linguistic sense, in the pre-Islamic section there is no treatment of literatures in languages other Iranian languages such as Kurdish, Baluchi, Pashto, etc. of Rypka's characteristics It is as a history that the conflicting the book are most evident. The basic Marxian outlook that pervades various chapters of this volume to a greater or lesser degree is the source and of its weaknesses. both of its strengths By viewing literary developments in the light of social and economic conditions, many areas and or misunderstood problems hitherto neglected emerge in a convincing manner. The social world of the artist is no longer treated in the So long as a flexible Marxian superficial and anecdotal way of older works. approach is utilized as an analytical tool, the 'history' gains much that is bias -- as is the case When it is perverted to political new and valuable. with the last part of Kubickova's chapter on contemporary Persian -- the results are petty and ludicrous. literature But the inadequacy of in this leads to a much more fundamental distortion Marxian analysis volume. Such a conceptual approach is essentially incapable of dealing with Sufi-oriented literature in its own terms. Since this literature in its scope and magnitude constitutes perhaps the core of the Persian literary a critical failure to cope with its spiritual leads to tradition, resources unfortunate It is not that a Marxian approach fails in consequences. of the social and intellectual and trends that insightful analysis conditions of Sufi expressions It is rather led to a prevalence in Persian literature. that this approach ignores the all-important between artistic relationship and the full range of man's spiritual needs and responses. The creativity of Rumi can no more be explained and understood for poetic outpourings what they are, in terms of their socio-economic than the frescos milieu,

IRANIAN

STUDIES

40

of the Sistine Chapel can be fully explained and understood contractual with his patrons. Michaelangelo's problems

in terms

of

The inherent distortion leads to grotesque necessarily disproportion. Thus, in a volume of 928 pages, five pages are devoted to Sana'i, Attar and Rumi -- together. 200 pages are Approximately concerned with the entire range of Persian literature to the beginnings of the 20th century, and some 700 pages with peripheral material. Let it be restated that some of this peripheral mnaterial is among the most welcome features of the volume. But the basic lack of proportion is inexcusable. The charge would not be so heavy if the authors had viewed their task as a handbook rather than an impossible history of such comprehensive intent in one volurne. It is in the chapter on Persian literature in the 20th century by Miss Kubickova that history takes its unkindest cut, and all sense of discrimination and critical are subordinated aesthetics to the crudest political bias. One cannot escape the conclusion that the leftist writers who broke with the Tude party and became disillusioned and critical of the Soviet Union are systematically excluded. That their ranks happen to include some of the leading writers in Iran highlights the glaring omissions. Conversely some of the figures treated at great length cannot help but evoke a cynical view of contemporary letters in Iran. There is no mention Ebrahim of Ahmad Shamlu, Mehdi Akhavarr-Sales, Forough Farrokhzad, Yadollah Sa'edi, Golestin, Sohrib Sepehri and Ro'ya i, Gholam-Hosein Bahman Forsi -- to name only a few -- and instead we are given copious to such hacks and producers introductions and of pulp as San!ati Kermani This chapter also has more than its share of errors Javac Fizel. of fact, and transliteration. translation The inevitable question of transliteration comes up in this volume with all its inconsistencies and inadequacies. The illogic of transliterating modern Persian in accordance with a modified Arabic system is nowhere more amusingly demonstrated than in the chapter on -- and rightly so -- in Tajik literature. Here Becka has felt justified the system of the rest of the volume, rejecting and he uses a system closest to Tajik pronunciation. Why can't the same be done for Persian? Among the most valuable features of this volume are the excellent bibliographic appendices and chronological and dynastic tables alone worth the enthusiastic gratitude of all students, but not worth the predatory price of $37. 50.

41

WINTER

-

1969

of Development: The Sociology Iran as an Asian Case Study. By New York: Frederick A. Praeger, NORMAN JACOBS. 1966. 541 pages. $17. 50. FARHAD

KAZEMI

in Mr. Jacobs undertook this study because he was interested of Asian societies. the problem of the economic developrnent He was looking for answers to the questions: "why have European and Japanese while other societies-societies successfully developed economically the considerable economic especially contenentalAsian societies,despite anid political aid they have received- -have not? And, more important, how can the situation be improved? " (p. 3). Mr. Jacobs then defines " 'functional approach," his three key concepts of "economic development, " and "institutional sociological analysis. The author is convinced of the value of "institutional of development, for he feels that it is important sociological analysis" "to emphasize social as well as cultural considerations (the anthropological as well as interactional, approach) and institutional-structural problems (the human relations sociological approach)". (p. 12). 1 have no argument " However, for or against "institutional sociological analysis. I dare say that Mr. Jacobs' book will result in few converts to this approach. Mr. Jacobs then devotes one chapter each to the relevance of seven "social institutions" (authority, economy, occupation, stratification, and integrated and stable social order and legitimate kinship, religion, The remainder of the book is devoted to broad conclusions change) to Iran. and considerations of some alternative development models. Mr. Jacobs that in societies concludes such as Iran, economic development can only take place if institutional and social changes that are necessary for economic development accompany it. I agree with Mr. Jacobs that economic and social development should go hand-in-hand. However, Mr. Jacobs' view of the type of social development necessary for economic growth is, I believe, too Western

Farhad Kazemi of Michigan.

is Teaching

I RANIAN STUDIES

Fellow

in Political

42

Science

at the University

certain He feels that a developed economy requires and too exclusive. that are not found among the Iranians. (pp. interpersonal relationships to Mr. Jacobs, "The Iranians' adjustments personal 249-259). According .. are very poor. Individuals cling desperately to the social environment. to be inadequate at the to patterns of behavior which are acknowledged more insecurity least, and.which at the most succeed only in generating of accelerating in a syndrome rigid, with oimilar counteraction and frustrating behavior. " (p. 250). Mr. Jacobs Presumably inade'quate, is developed, thinks that unless a Western style interpersonal relationship in Iran is doomed to failure. economic progress of the "Iranian Edifice Complex" I find the author's discussion This 'flippant parody of Freud's Oedipus Complex, " is interesting. to the Iranian "conviction Mr. Jacobs' way of referring that a building and that if development program, program is equivalent to an economic sufficient natural real estate is covered with brick and mortar projects " (p. 74). Generally speaking there of some sort, Iran will be developed. I would is a great deal of truth to the above observation. However, use of the so-called "Edifice Complex" in caution against indiscriminate in Iran. In particular I am not certain explaining all building programs as another manifestathaL the proposed steel mill project can be dismissed tion of the "Edifice Complex. " Perhaps it is, or again perhaps it is not. And this Mr. Jacobs fails to In either case it needs to be demonstrated. do. with Mr. Jacobs' interpretations of the early I also disagree of Shi'ism rise of Shi'ism. Mr. Jacobs claims that the original followers to Shi'ism became were generally Iranian and that soon submission identical with submission to Iranian political authority and vice versa. (pp. 208-209). Studies by H.A. R, Gibb, Bernard Lewis and others 1960, Lewis in his The Arabs in History, challenge this interpretation. political points out that "Shi'ism began as purely Arab and purely faction grouped around the claims of Ali and of his descendants to the Lewis goes on to point out that added). Caliphate. " (p. 71 Emphasis I believe Mr. Jacobs many Persians supported the Sunni Arab regime. of Shi'ism with its early rise. confuses the later development Since this case is only one example of Mr. Jacobs' ignorance of historical I can only suggest that Mr. Jacobs acquire some substantive materials, knowledge of Iranian history and politics if he is thinking of writing a second book on Iran. of the book is the absence shortcomings Among the technical of an index. Since the author defines terms and concepts in his own to refer back to these original particular way, it often becomes necessary

43

WINTER

1969

1lad1 the author included *iefinition(is. have wo(uld to the originial diefinitio0ns

the ani index, beifln easier.

task

of referrinlg

Lack

a Itibliogra whichl, bhehook o(nutiains phy of seven pages for for somicone is not p)a rticularly looking illuoiniating book oni Irati. Moreover miaterial thouglh the title of 1>1r. Jaacobs' " hie hardly any of the available utilizes of developmnrent, sociology

unfortunately, source

is "the to such ge neral 'There are a few referenices lite rature Onl dieVeluP1oent. Organization and Economic of Social The Theory as Max Weher's works ICcontornic Growth. to References and(l W. W. Rostov. 's The StaLvs (-f ctit are far fromn adequate. on )olitical literature ueIvelopi

niot rely heavily on his bibliography. M r. Jacobs doet him)self of dailies for the 11oust part, tlhe to -t:nglish language Ilis soulrce s are, uses Mr. Jacobs andi Keyhan Ilott roa.tional. Journal Feleran Tehieran, In two dailies. 3i0t are base(d oni these Of thtese about 765 references. material source of the author's percent wvordls, nmore thian fifty-two other and(l Keyhan of Teheran Journal fronti the> 1959 to 1)61 issues conies of the witlh the unenviable Those w-ho are fainiliar Internationial plight in reading these can only a(lmnire Mr. Jacobs' persistenice Iranian press fi,, is no subsitittitc but doggedness so thoroughly for two years; papers or pouiti-tna to ask if a sociologist It m-iight he reasonable discrimiiination. of the U. S, based ott .i a study even dreamn of inaking would scientist even the New York linus, News--or of thie Daily careful reading, say,

for

that

matter.

I,';lit errtr-. and typographical are also a few spelling There (p). 24), reza Shah for Reza Shil. for Pahlavi (p. 83), Ptaklavi example, for kd(klula1-d khadkhodlm for Ahvaz Abwaz (p. 156), (p. 143), anmtak for anilak and mahar for mahr (p. 254. ) (p. 21?), (p). 189X), Shi for Shi'i

as a profoutnld this voluMe characterize In conclusiont, I must of substantial studties on tlht is a paucity It is true that there failure. but this hook can scarcely of Iran, and economics ntodern lhistory, politics, to have it-miproved the situation. hl considere,d

T RAN1AN

.STITTLES

t4

RECENT IRANIAN PERIODICALS Journal of Social Sciences. A Quarterly 'Ulumn-e Ijtima'i, Tehran: EHSAN NARAGHI and DARIUSH ASHOORI. of Tehran. Social Studies and Research, University

Edited Institute 1968-.

by for

ALI BANUAZIZI that of an Iranian journal of social sciences The publication dialogue among students of Iranian could serve as a vehicle for scientific to the and that might gradually make available society and culture, theory and research reader the vast body of social science Persian-speaking had long been awaited by all Iranian scholars. published in other languages, at home and abroad, made to realize this objective, Of a number of attempts that could continue publication none has resulted in an adequate periodical for more than a few issues. a quarterly of 'Ulurm-e Ijtima'i, journal of The appearance The a timely response to this genuine need. social sciences, is therefore of the for Social Studies and Research by the Institute journal is published Editor and of Tehran, with Dr. Ehsan Naraghi as Executive University Mr. Dariush Ashoori as Editor-in-Chief. The articles in the first (Autumn 1968) issue of the 'Ulum-e so far, cover a rather broad the only one that we have received Ijtima'i, review of The original contributions include a critical range of topics. an anthropological in sociology (A. Ashraf); the development of functionalism Life and Animal of the Peasant study dealing with the "Modernization Husbandry in the Zagros Region" (F. Benet, the late Spanish-born a delightful "A Journey to the Margin of Kav-ir" travelogue, anthropologist); in of data collection an article on some of the problems (J. Ale-Ahmad); "Rapid forecasts, and two demographic social research (M. Kotobi); of Labour Force in Iran Growth and the Development Population Problems Growth and Educational Zand) and "The Population (M. Sotudeh-ye 70 pages Approximately in the Coming Twenty Years" (F. Amin-Zadeh).

Ali Banuazizi and Assistant

at Connecticut of Psychology is Assistant Professor at Yale University. of Psychology Professor Clinical

45

College

WINTER

1969

are devoted to translations from the works of such C. W. Mills, T. B. Bottomore, 0. Flechtheim, C. In addition, there are three reports Meyerovitch. and seminars, conferences two book reviews, and annotated bibliography of the recent social science

authors as H. Gerth and and E. Bettelheim, of international a 10-page selected, literature in Iran.

To some extent, the contents of this single issue are representative of the current state of social science research in Iran. An almost total lack of analytic and critical studies at either theoretical or empirical levels; a good deal of confusion regarding the distinction between social on the one hand, and social philosophy and social criticism science on the other; a narrow definition of social research to include only problems of concern to the various governmental immediate, short-range such agencies as the Plan Organization, the Ministry of Education, or the Land Reform Program; these are some of the characteristic features of social science research in Iran today. in spite of the frequent acknowledgment Furthermore, of the critical value and utility of social science research in the resolution of social problems and enhancement of planned social change in Iran, very few Iranian scholars have found it possible to engage in rigorous research based on empirical data. The outcome is all too evident: the vast majority of studies of the culture, society, history, politics and economy of Iran have been, and still are, carried out by foreign scholars. These remarks should be taken neither as unqualified praise of the work of Western scholars of Iran, nor as a plea for a "Western-style" and "value-free" approach to social research. On the contrary, I am to the view that, given our limited resources, committed social science research in Iran--as, indeed, in other developing countries--should be devoted primarily to the solution of the country's pressing social problems. Our more significant contributions are likely to come from the study of the problems of underdevelopment and the contexts and processes of social change. What is required first, however, is a far more serious and to social research sincere commitment and to high professional standards, with more emphasis on empirical studies than on abstract theory. It is also necessary to investigate some of the significant problems that have so far been treated with "selective inattention. " Such questions as the structure of power in Iran, the extent of urban and rural poverty and its social and psychological the determinants consequences, of foreign policy, administrative barriers to social reform, ard urban and rural education may require more attention of the Iranian social scientists than they have heretofore received.

inception

The Institute for Social Studies and Research has, since its in 1958, pioneered a number of valuable projects in various

IRANIAN STUDIES

46

We hope that the Institute's publication important areas of social studies. in Iran, of 'Ulum-e lIjtima'i will further proimcote social science research of the journal. and extend our best wishes for the continued success

Jahan-e No, A Quarterly Journal of Arts, Social Studies and Literature, Edited by HOSSEIN HE-JAZIand AMIN ALIMARD. Tehran, 1964-.

MAJID TEHRANILAN One of the more encouraging signs in recent years for prospects of democracy in Iran has been a relative relaxation of press censorship and the subsequent appearance of some newspapers and periodicals which are worthy of note. Jahan-e No ( New World) is one such periodical, originally established in 1946, which has reappeared on the Iranian literary scene since 1964 as a quarterly of arts, social studies and literature. The journal is still under the management of Hossein Hejazi (as Publisher and Editor) and Amin Alimard (as Editor-in-Chief), but its new format and content give it the appearance of a "New Left" quarterly, which includes amnong its contributors a younger generation of writers, poets, artists and social scientists. The main objective of the journal is, for better or worse, to introduce the intellectual architects of the New Left in the West, but some notable articles also deal with Iran. This may be in part due to limitations of censorship and in part because of the predilection of Iranian intellectuals to look to the West for cultural inspiration. Whatever the reason, however, suffers and original contributions scholarship to Iranian studies by Iranian scholars who are uniquely equipped to undertake such studies remain in short supply. Among the notable exceptions to the main emphasis of the journal are a series of articles by Ahmad Ashraf, lecturer in sociology at the Institute for Social Studies and Research of the University of Tehran, on the social development of Iran in various epochs of her history. In these articles, Ashraf ably brings together the theoretical tools of Western sociology (particularly in their Marxian and Weberian formulations) to bear Majid Tehranian College.

is Assistant

Professor

of Political

47

Economy

at Lesley

WINTER

1969

on the considerable body of Soviet, Iranian and Western scholarship in He thus provides Iranian history. a reasonably good theoretical framework for further research into selected of the sociology aspects of Iran. A more venture into the study of Iranian social life is presented empirical by Arastoo Musanne'in his article on "Agrarian Problems in Iran. " The autnor, who served as a field researcher in the Institute for Social Studies and Research for several years, gives us in this article a bird's-eye-view of the main problems of Iranian villages under the impact of modernization. The short stories, cartoons and drawings in Jahan-e No are also poems, representative of a new and promising generation of younger artists and intellectuals who will hopefully lead Iran's latest period of cultural renaissance. We wish the editors and writers of Jahan-e No well in their worthy endeavours and sincerely hope that a further liberalization of the press and cultural activities would enhance the contributions of Iranian intellectuals to their own society.

IRANIAN

STUDIES

48

society will be anialyzed as they are institutions and culture of Persia.

reflected

fee for the conference Registration and the course the fee is $160.

in history,

political

theory,

is $20. 00; for the conference

Further information the conference and the course regarding rnay be obtained from Professor Amin Banani, Near Eastern Center, of California, University Los Angeles, California 90024.

ERRATA "The ingenious have not only judgment to discern, but courtesy to pass over small faults. The most remarkable are the following. (14th century scholar): Iranian

Studies,

Vol.

1, No.

4 (Autunmn 1)68):

Page 131, to the list of the nmembers of the Council add: in Economics, Lecturer Columbia University. Parvin, Page 154, add the following two footnotes: 2. See M. Parvin, op. cit. , pp. 48-51. The Military 3. See M. Janowitz, in the Political Development of New Nations. Chicago: Unliversity of Chicago Press, 1968. Page 167, line 4, delete (The Beggar, Line 5 should War). read: In a few (The Beggar, War), she shows an incipient social consciousness. Page 168, the title should read: WHAT ROAD TO OIL SOVEREIGNTY. In the second paragraph, line 3 should read: been on the other side--the side of the major foreign con-. Page 173, third paragraph, linie 7 shoutld read: purposes , V-e define rent as anything above cost plus normal. Page 174, second paragraph, line 2 should read: or force of lead the government circumstances of. Manoucher

IRANIAN

STUDIES

50

PUBLICATIONS

RECEIVED

1.

ABBAS. ALNASRAWI, Economic Financing in Iraq: Development The Role of Oil in a Middle Eastern New York: Economy. Frederick A. Praeger, 1967. xii, 188 pp. $15. 00.

2.

BOYLE, JOHN A. (Editor). Cambridge History of Iran, Volurne The Seljug and Mongol Periods. Cambridge: Cambridge University 1968. xiii, 763 pp. $12. 50. Press,

3.

ENGLISH, PAUL W. City and Village in Iran: Settlement and Economy in the Kirm.an Basin. The University Madison: of Wisconsin Press, 1966. xx, 204 pp. $6. 75

4.

FISHER, W. B. (Editor). Cambridge The Land of Iran. Cambridge: 1968. xix, 784 pp. $12. 50

5.

HUNTINGTON, SAMUFEL E'. Political Order in Changing Societies. New& Haven: Yale Unliversity Press, 1968. xi, 488 pp. $12. 50.

o.

HUREWITZ, J. C. Middle New York: Frederick

.

V:

History of Iran, Volunme I: Cambridge University P'ress,

East Politics: A. Praeger,

The Military Dimension. 1969. xviii, 553 pp. $11. 50

lSSAWI, CHARLES P. (Editor). The Economic History of the Middle East, 1800-1914: A Book of Readings. Chicago: University of Chicago Press, 1966. xv, 543 pp. $12. 50.

8.

KARPAT, KEMAIL 1i. (Editor). anid Social Thought in the Political Contemporary Mid(dle East. Ncw York: Frederick A. Praeger, 1968. xiii, 397 pp. $10. 00.

9.

KEDDIE, NIKKI R. An Islamic to Imperialism: Response Political an(d Religious Writings of Sayyid Jamal ad-Din "al-Afghan; Berkeley and Los Angeles: University of California Press, 1968. xii, 212 pp. $7. 50.

51

WINTER

1969

10.

and The Conflict of Traditionalism LEIDEN, CARL. (Editor). The University Austin: in the Muslim Middle East. Modernism 1969. 160 pp. $4. 95. of Texas Press,

11.

The Rich and Poor Trade, Aid, and Development: PINCUS, JOHN. New York: McGraw -Hill Book Co., 1967. xv, 400 pp. Nations. $10. 00

12.

LEFTON S. Middle East: A Culture Area in STAVRIANOS, Allyn and Bacon, 1968. 72 pp. (paperback). Boston: Perspective. No price indicated.

13.

STEWARD-ROBINSON, Cliffs, Englewood (paperback).

IRANIAN

STUDIES

Near East. The Traditional J. (Editor). 1966. 183 pp. $1. 95 Prentice-Hall, N.J.:

52

JranZhtvi

StrJ~-niLnS"dtis

evtt- 0icttf>~~o

SyrttSu/mtr

99Q&.nIt

v

"

V

3

The Society for IranianStudies COUNCIL

Banuazizi Richard W. Bulliet Hormoz liekmat Abbas Heydari-Darafshian Farhad Kazemi, Treasurer Manoucher Parvin Secretary Majid Tehranian,

Ali

Iranian

Studies

Editor Ali Banuazizi, W. Mintz, Associate Jacqueline

Editor

for Iranian by the Society is published quarterly Iranian Studies It is distributed as a part of to members of The Society Studies. rate for non-members is The annual subscription their membership. The opincopies is $1.25 per issue. and the price of single $5.00, are those of the individual by the contributors ions expressed or the editors of those of the Society authors and not necessarily to the Editor for pubArticles should be submitted Iranian Studies. A L1communications or the concerning Iranian Studies lication. for Iranian to: The Society affairs should be addressed Society's 90024, U. S. A. California Studies, P. O. Box 24766, Los Angeles,

Cover:

Akvan-e Div. Rostam fighting A sample of the folk art of eidi-sazi (paper from woodblocks),

prints which

made

in Iran in the 18th flourished and 19th centuries. Copy of Mr. Manuchehr Anvar. courtesy

Jra*iu4r

>nretnZ of 7n; So e

Volume II

6tdk for 2r7,xtv

Spring-Summer

SWt4is u

1969

Numbers 2-3

CONTENTS

54

HISTORICAL03STACLES TO THIEDEVELOPMENT OF A BOURGEOISIEIN

Ahmad Ashraf

IRAN

80

AKIIAVAN'S"THE ENDING OF SHAHNAMEH": A CRITIQUE

97

THE CHRONOGRAMS OF KIIAQANI

Sorour

Soroudi

0. L. Vil'cevskiJ by Jerome W. Clinton)

(Translated BOOKREVIEWS 106

FISHIER: The Cambridge Hlistory Iran,

Volume

I,

The

of Land

Paul W. English of

Iran 108

113

BOYLE :

The Cambridge liistory Volume V, The Iran, and Mongol Perxod

BALDWIN& Planning

and

of Sal ug

Development

in

Amin Banani

Vahid

F.

flowshirvani

Iran 115

117 126

REPORT OF THE UCLA-SIS

CONFERENCE

PROCEEDINGSOF THE CONFERENCE PUBLICATIONS

RECEIVED

Ali

Banuazizi

HISTORICAL OBSTACLES TO THE DEVELOPMENT OF A BOURGEOISIE IN IRAN* ASHRAF AHM4AD I.

ECONOMICHISTORYAND EPOCHALANALYSIS

The processes of development in the "Third World' are of great concern to historical and economic historians. sociologists However, cespite the great interest displayed by the founding fathers of sociology in the nineteenth century in similar questions, and despite their historical and liking orientation of historical periodization, present day sociologists tend to be uninterested in both this subject matter and this orientation. In this respect they have lagged behind economists interested in questions of development and economic historians. in Marx & Weber's tradition of social-economic Following science the objective of this paper is to demonstrate the importance of historical for a deeper understanding of the analysis of problem economic development. From the outset the basic question will be the proper use of history to construct the historical processes of development both in the past and the future. Historical sociology society and its historical the principle of historical in understanding guideline and their development.

gives us a structural view of a total development. It also directs us into specificity which should be taken as a and explaining socio-economic phenomena

This principle of historical specificity, used as a rule of and reflection, inquiry leads to an analysis of the trends of a certain era as well as to the discovery of processes by which that era comes into being and is transformed into another. On exactly the same basis a model of the sub-stages of development of a specific society can be constructed. The advantage of following such a procedure is that it forestalls superficial and premature generalizations beyond the confines of a specific epoch, whilst at the same time, leaving the question of general theory of social is Research Associate and recturer in SocLology at the Institute for Social Research of Tehran University, and Chairman of the Department of Social Science, Literacy Corps College of Education.

Ahmad Ashraf

'This paper was presented to the Conference on Economic History of the Middle East at the University of London, School of Oriental and African Studies in August, 1967. It will appear as a section of a forthcoming book: Studies on the Economic History of the Middle East, edited by M. A. Coo0. IRANIAN STUDIES

54

chanqe,

open.

since

Further,

from this

theoretical

perspective

are historically both thought and action conditioned, we reqard human nature and man's conceptualizations of the human condition as (scientific as well literary and philosophical) as specific to Thus we are cautious of economic each era. and sociological concepts of an unhistorical character.1 The division of controversy. A review different interpretations

Persian Hlistory into periods is of the relevant literature will of the historical evidence.

a matter of reveal four

The first of these consists of attempts made by Soviet Iranologists to divide the historical development of Persian society into four stages: primitive conmunes, slavery, feudalism and bourgeois society.2 Thus, according to this theory, the Median, Achaemenian and Parthian periods represent a typical stage of slavery.3 The Sasanid period is categorized as an incipient stage in the development of feudalism,4 the period of the caliphs as "underdeveloped feudalism" brought about by the expansion of the state lands;5 and in the Saljuq period we witness the growth of feudalism The Mongol invasion of proper.6 is dubbed as a stage "nomadic feudalism."7 For the highly centralized state system created in Persia under the Safavids, the term "centralized feudalism" is used,8 whilst the nineteenth century is thought to be a period of the disintegration of feudalism in a situation of Western penetration.9 Finally, the present century's history is interand analyzed preted in terms of the rise of a "national and dependent bourgeoisie." Although, the Soviet historians have illuminated the area of Persian Hfistory, their preconceived theoretical commitments distorted their portrayal of the course of historical developments in Persia. The existence of slavery and the ensuing stage of is doubtful, feudalism and the Soviet historians have been unable to verify the unilinear theory of historical developments in Iran. Consequently

development specificities

they

of slavery of social

have

been

and feudalism and economic

unable

to

substantiate

from the standpoint formation in those

the

of the eras.10

A second approach has been introduced more recently by those who have attempted to revive Marx's concept of an "Asiatic mode of communities production." According to this view the early tribal with a few other societies) of the Orient (together bypassed the of slavery stages and feudalism and developed into "Asiatic socieFor Marx this type of social ties." system exhibited special characteristics. said:

Of the

relationship

between

town

and

is a kind of undifferentiated "Asiatic society unity town and country (the larqe city, properly, must be as a princely on regarded merely camp, superimposed real economic structure)."l1 55

country

he

of the

SPRING-SUMMER 1969

lie also pointed out that, in the vast of dry territories the East, the need for water works, irrigation and other systems large-scale communal creates facilities a superior central organitoe historical in which overall zation and givesrise stage unity communal suspends over real itself and in which, unity as a conseof the means of production is absent.12 quence, private ownership Wittfogel, the issue whose Oriental Despotism revived after of the nearly a century, focuses al ost on the question completely vital role in the Orient. of the water supply on the basis Working ideal of Marx's and Max Weber's theory of Asiatic society type of he has formulated three oriental patrimonialism, overlapping key

concepts,

"hydraulic

"oriental

in the history, of other

civilization,"

despotism";

fact

that,

Wittfogel historians

however

instead

"agromanagerial the

of

weakness

of undertaking

has rather casually to support his

society,"

this

attempt

a research

cited examples conclusions.T3

and lies

on Persian from

the

work

The third and fourth consist on the one interpretations of, hand, the work of those scholars who claim that the socio-economic system of the East more or less resembles that of the feudal West,14 and on the other hand those who stress the differences between the feudal system and Persia'.s historical institutions.15 These latter stress the differences between the urban structures of Persia and the West, or the expansion of trade and the growth of a money economy or the persistent and important element of bureaucracy and the bureaucratic nature of land tenure in Persian society. Whilst the former are close, in some respects,to the views of Soviet historians, those who hold the latter view come close to the analyses of Wittfogel, Marx and Weber. Of all the various schools of thought it is those who see the structural differences between the pre-modern history of Persia and the pre-modern history of the West who are most aware of the historical obstacles to the development of a modern bourgeoisie in that Both Marx and Weber were acutely country. with concerned this problem. For Marx, "The Asiatic stubbornly. This is based, that is, of the community,

unity

of agriculture

form necessarily survives longest and most due to the fundamental principle on which it that the individual does not become independent that the circle of production is self-sustaining,

is

and craft

manufacture,

etc.

"16

Thus the

theoretical absence of property in Asiatic society masks the tribal or communal property which is its real base. Asiatic systems may be "centralized or decentralized, more despotic or more democratic in form, and variously organized. Where such small community units exist as part of a larger unity, they may devote part of their surplus product to pay the costs of the larger community, i.e., for war, religious worship, ... "17 irrigation, ... communication. The closed nature and undifferentiated unity of agriculture and craft means that the cities of the Asiatic epoch hardly belong to the real economic structure, expanding "only where the location is particularly favourable to external trade, or where the ruler and IRA1NIAtI STUDIES

56

labour, against product) change their revenue (surplus his satraps that the which they expend as labour funds. "18 Marx concludes more and economic evolution disintegration system resists Asiatic system because its characterthan any other historical stubbornly and economic evoluto disintegration "make it resistant istics "19 force of capitalism. until wrecked by the external tion, In Weber's view, patrimonialism, several in differs tal manifestation, the pure type of western feudalism.

particularly significant

in its orienfrom aspects

houseof the ruler's government is an extension "Patrimonial rebetween the ruler and his officials hold in which the relation dependence. and filial authority mains on the basis of paternal by a contracrelationship the paternal Feudal government replaces "20 It is militarism. on the basis of knightly fixed fealty tually between the that Weber makes his sharp distinction in this respect in the Occident The former predominated "Fief" and the "Benefice." gave rise to a Whereas feudalism in the Orient. and the latter amongst the fief holders, of the feudal nobility consolidation could not meant that the landed notables patrimonialism oriental The feudal ruler was more class. social into a cohesive develop the and the power and status-of bound by the rules of tradition decision regimes the arbitrary whereas in the patrimonial nobility, in Weber is in agreement with Marx that, of the despot prevailed. and the development the emergence of a bourgeoisie this situation even though a strongly obstructed is severely of modern capitalism The regime is often dependent on trade. patrimonial centralized, for profit in the fact that "the important openings reason lies are in the hands of the chief and the members of his administrative regime "under the dominance of a patrimonial Further, staff."21 It leaves are able to develop. types of capitalism only certain for trade, mercantile amount of-capitalist room for a certain and the sale and lease of tax farming, organization capitalistic for the for the state, of supplies for the provision of offices, capitalistic circumstances, of wars and, under certain financing obsta"22 The main historical and other enterprises. plantations regimes under patrimonial of a bourgeoisie cles to the development to economic activiattitude to Weber are a "traditional according and the lack of "a activities" in financial "arbitrariness ties," and of the extent of of obligations for the calculability basis activity."23 acquisitive freedom which will be allowed to private adminiare directly enterprises "insofar as productive Moreover, the development of capitalism group itself, stered by the governing "24 obstructed. is thereby directly specific be listed

But let us turn from general characteristics historical as follows:

models to the interpretative These can of Persian society.

machinery bureaucratic of a traditional a) The superimposition of over the real economic structure and Asiatic) (patrimonial These were operated communities. the urban, rural and tribal "patrimonial ofthe Asiatic from the town or "princely-camps" ruler" and his staff. 57

1969 S3PRING-SUrNMER

b) The result of this first feature was that a traditional bureaucratic landlordism capitalism and bureaucratic developed. c) It seems that the coexistence social of the trichotomous system had important conseof urban, rural and tribal communities, quences for each individual system and for the social system as a whole. d) The fluctuation of the whole social system between centralization and decentralization. was always advocated Centralization by powerful shahs and their bureaucrats an imwho constituted portant stratum in the machinery of despotic and who domination had an idealized view of centralized government. During such periods of strength on the part of the political center huge public works such as the construction of roads, irrigation systems, and so on were undertaken. caravanserais Moreover there was a tendency towards the development of bureaucratic capitalism and the expansion of state lands. e) The lack of western type of aristocracy, and the dispersion of the landed nobility. f) The arbitrary rule of the despot over every group and strata of the society. g) The peculiar structure of numerous urban communities, and the existence of money economy and traditional capitalism. these characteristics we can now cite three imporFollowinq tant objective obstacles to the growth of an independent western type of bourgeoisie in Iran. Firstly, the rise of strong shahs and a centralized political authority meant that capitalistic activities became dependent on the state and the ruling group. Secondly, the existence of powerful tribal groups, the frequency of tribal invasions and the dominance of the tribes in the countryside during times of weakness on the part of the central power, inhibited the growth of stable commercial activities. Thirdly, colonial penetration, followed by the decline of the traditional bourgeoisie and the asnaf, gave rise to a "dependent bourgeoisie. " The period selected for this study stretches from the age of the Safavids to the modern era. The Safavid period is of significance for various reasons. It is contemporary with the colonial expansion of Europe; it is a typical period of Asiatic patrimonial despotism; it evidences the growth of trade, industry and bureaucratic capitalism, and is considered as the period of the unification and revitalization of Persia; and finally, in a sense, it is considered as the golden age of the shi'ite ulama and the agents of trade and industry. the Safavids Following we witness a typical period of tribal chaos and the fall of trades and crafts. The Qaj5r period is important because it shows the collapse and disintegration of an Asiatic patrimonial system in a situation of colonial penetration. The Reza Shah period evidences several serious attempts in the revival of the Asiatic patrimonial system, which fails to achieve total success. More recently there has been rapid growth of bourgeois activities. However, the forces of are still history at work, the patrimonial nature of political domination over the whole society obstructs the development of a modern bourgeoisie in Iran. IRANIAN STUDIES

58

II.

THE GROWTH OF TRADITIONALCAPITALISM AND ASIATIC PATRIMONIAL DESPOTISMUNDERTHE SAFAVIDS

The founders of the Safavid dynasty were the charismatic of their sects, the major carriers leaders of the Sufi and Shi'ite Qezelbash.25 orders being the Turkoman tribes--the charismatic in the domination was realized of charismatic The routinization with of the Safavid dynasty and was in accordance establishment rulers.26 It is of the tribal and ideal interests the material of the dynasty can be represented, in this sense that "the beginning as a third wave of the eastwards movement of the not inaccurately, amirs were the major ruling Thus the Qezelbash Turcomans.'27 8 century. the sixteenth elements throughout of the foundations However, at the turn of the century, staffs of Shah to the patrimonial power were partly transformed In tnis way the centralized Asiatic Abbas I and his successors. The was established.29 domination of the Safavids patrimonial the land Abbas I-changed members of this dynasty-particularly tendency which had policy to minimize a quasi-feudal appropriation in the previous period.30 by granting the soyurqhal been increased and attempted of the new soyurchal the appropriation They limited temporary of toyul to the original to set back the appropriation Following period. nature of egta of the earlier bureaucratic and the waqf lands this policy the state the crown lands, lands, and private lands.31 were expanded at the expense of the soyurqhal signifithe bureaucratic Consequently, network iad the functional under rapidly--again particularly cance of its members increased Shah Abbas I.32 methods of Oriental all the familiar This monarch utilized a situation of total power in his territory.33 despots to establish He in order to unify the kingdom. He leveled the aristocracy, and the clergy, the old families troops, crushed the Qezelbfsh in the country and Georgian slaves who were baseless by recruiting Chardin says "il n'y a point de dependents.34 were his own personal et lVon n'y non plus que dans tout l'Orient, en Perse, noblesse au merite extraoraux dignites qu'aux charges, porte de respect aux richesses."3H et particulierement dinaire, and its developof the staff recruitment The patrimonial of high officials under Shah Tahmasb in a list ment is manifested and under in the Alam ArZ-ye Abbasi,36 and Shah Abbas I, presented Shah Safi presented in the Khold-e Barin.37 During the time of were recruited from Shah Ismail and Shah Tahmasb, high officials the foundation of the the tribal who constituted ruling families the under rule of Shah despotic authority. However, patrimonial of political AbbRs I, new developments toward the consolidation of the amirs surrecruitment took place. Patrimonial domination the amiTrswho khans and also included passed that of the tribal that Minorsky concludes (slaves) of the court.39 were gholims 20 per cent of the high administration had passed "'consequently but to to new elements owing their rise not to their origin important of the Shah.. .these personal merit and the confidence 59

SPRING-SUMMER1969

statistics reflect the situation at the death of Shah Abbas I (A.D. 1619) who so profoundly cf Safavid the foundation changed power. Under his grandson Shah Safi the changes go still deeper.40 under Shah Abbas, Further, the system of army recruitment he was changed; "diminished the number of tribal forces and side by side with them created new troops, armed with up-to-date weapons and fully on the central dependent His army was comgovernment. "41 prised of 44,000 permanent raised and paid by lhimself, troops and 77,000 of the old tribal forces. The amirs of the new troops were appointed from the Georgian and Armenian slaves of a Private tiousehold distinguished by devotion to hlis Majesty.42 To summarize, he created a strong army from the non-tribal population, the power of the tribal reduced leaders, split up and resettled and consolidated some, central As a administration. result a traditional "bureaucratic landlordism"43 and a traditional "bureaucratic capitalism" became highly The theoretideveloped. cal absence of property was utilized in order to extend an iron control over the basic means of production in the rural, tribal and urban communities. Together with his amirs he superimposed his bureaucratic over machinery the real economic structure of these communities and ruled from the cities which were his "princely camps." from his major economic Following of establishing policy an Asiatic patrimonial type of state capitalism, Shah Abbas created a network of state controlled system of commerce and industry. He commenced certain monopolies and royal industries and protected local industry and trade through various measures. The construction of roads, caravanserais, official postal services, and customs houses were instrumental in his policy. The amirs were responsible for providing all facilities and for protecting the caravans against the raids and lootings of gunmen; otherwise they were compelled to compensate for stolen merchandise.44 The foreign economic policy of Shah Abbas was to encourage European countries to buy Persian manufactures and raw materials on the one hand, and to re-open, the trade routes between the East and West through Persia on the other. He sent commercial envoys to France, England, the Netherlands,and Denmark and began active political and commercial relations with these countries at the turn of the sixteenth century. He gave concessions to Dutch and British companies to increase their trade with Persia and to expand the export of Persian manufactures and raw materials to Europe and the Far East.45 To prevent the flight of liquid resources from the country he encouraged his people to pray at the tomb of Imam Reza in Mashhad and prohibited them from going to Mecca. He also set a firm rule against the Banyans, a group of Hlindu money dealers, whose activities were disastrous to the Isfahan economy.46 pets,

In this period exports camel wool, some precious

IRAN4IAN STUDIES

comprised stones, GO

silks, tobacco

brocades, and dried

carfruits.

article The most important each bales, ted to 22,000

was silk weighing

whose yearly 276 pounds.47

musical of copper, steel, and coins.48 gold, silver

instruments,

curtain,

export amounconsisted Imports

paper

velvet,

trays,

of the last that at the time the item reveals The import was in Persia's although the money collected favor balance of trade in was hoarded ever appeared treasury and hardly by the royal This predisposition by the rich was also exhibited circulation. rise of prosperity The general money dealers and merchants.49 of the kingdom, but only in of the cities stimulated the growth to policy Since it was Abbas the Great's the central areas. areas of the conquered cities at the expense develop the central of the shah it was mainly that were the favorites the cities

which

cities

The most important

benefited.50

were Isfahan, Tabriz, and Mashhad, Ardebil

Yazd, Kashan, Bgrforush.51

Bandar

during Abbas,

period

this Hamedan,

Qazvin,

Tabriz and Kashan were of the utmost Isfahan, Among them, and its prosperity to Kashan reported importance. All travelers who "went up to KAsh3n in 1573 G. Ducket commercial significance. be a that merchaunaltogether of it to town consisteth reported there, beyng greatly trade of all the land is dise, and the best called it of India."52 frequented by the merchuntes J. Cartwright

in 1600

"the very magazeen

for stuffes."53 in comparison

being

of all

and warehouse

Sir T. Herbert in 1627 said, than York or Norvich, not less

accounted

in here."54

The population

of Tabriz

contained

at this

15,000

houses,

15,000 fairest

"These are the shops, 250 mosques and 300 caravanserais. . . . their vast Basaars that are in any place of Asia, of merchanthe vast quantities largeness, ...and ...their which

they

are

550,000.

It

was

extent, with dise

be

cities

city is families

period

estimated

to

the Persian

"This noble about 4,000

filled.

"55

under Shah was reconstructed the new capital city Isfahan, It had been, the most famous industrial for centuries, Abbas I. celebrated and commercial in Persia. Khosrow, the city Naser "the money who visited the city reports that in 1052, traveler 200 of them are working."56 bazaar in which dealers have a special in the whole In this industrial city period it was the most active of As it was the center and its bazaar expanded rapidly. country and induscontrolled monopolies many state patrimonial capitalism increased of Isfahan there. The population tries were located in the middle to 600,000 in the late sixteenth from 80,000 century of the seventeenth century.57 consisted of urban community in this period The structure his his staff, the tribal chiefs of the shah at the family, peak, constructed the ruling class. The and the ulama who together and merchants The prosperous come next. rank bureaucrats middle the lumpenproleand finally the craftsmen, manufacturers, large of the in the downward hierarchy located tarians are respectively

urban social

and economic

class

system.58 61

1969 SPRING-SUMMER

crafts were developed concomitant with the expanin the century. Various strata of artisans, the numerous into were highly active in the senfs, Iran in general in particular. and in IsfahAn more than historical talk sources of the period about the asnaf For their is not accidental. func-

Trades and sion of the cities loosely organized cities of central The fact the that the previous ones tional

was

signWicance

elevated(

in

the

of

context

patrimonial

domination.

senf consisted of the Each differentiated loosely and shaqerd. ostad kar, khalife, The senf had to certify nical the -ompetence of kar, and a special ost&d ceremony of the for the announcement Each had ostadi. an elective had to be officially by the recoqnized city authorities.

ranks the was

of techheld , who general,

ras

In

the people of every a person neighborhood, village and senf elected and granted themselves him a certificate and a salary. amongst Then the naqib town (deputy the document, chief) stamped and finally the kalantar (town chief) issued an official certificate The for him. and recognized elected rai'swasthe of the association representative the economic for meeting nTeeds of government.60 The had the asngf right of administering their internal afbut the subjected to the supervision of authocity thEeywere The ostads of each senf had own meetings.61 their In the three months of the hold year the kalantar would a meeting all the rai'ses at his house, where he assigned the share of the taxes to be paid by each collectivity. Scme of the asnaf their taxes in cash and others in kind (the produced commodi-

fairs, rities. first with total paid

ties).62 There was no autonomous municipality in this period. The head of the city or kalantar was appointed by the shah. He was rarely appointed from the merchants, the only exception being the kalantar of JolfA who was elected from amongst the prosperous Armenian traders of the town.63 Asnaf Dervishes lahi seventeenth

had a close who were eighteenth

relationship highly influential centuries .64

and

with

the HIaydary and in Persian cities

Ndmatalin the

We may conclude that trades and crafts were subject, like the Byzantine guilds and the Maml13k asnaf, to rigorous external state control. Though internally morediemocratic and loosely organized, the asnaf were not like their counterparts in the West, spontaneous and autonomous corporations. The kadkhoda or the head of the senf

was On

appointed his

to

election

his he

position had

to

He administered

authorities.

be

by

the

shah

recognized

his

senf

or by

by

of

kalantar the

the

help

of

the

town.

city

dependent

rish

sefids

whose intermediary position to consider the causedEthem interest merchants and craftsmen; but they were not the spokesmen of their independent interests against the huge and powerful Asiatic patrimonial machinery. The shah and kalantars through their mohtasebs, or market supervisors in the bazaars, firmly controlled the dai-ly

activities IRANIAN

of STUDIES

the

asnaf.65 62

of

with political, The asnaf combined their economic function ones and could benefit amount from a certain social and religious the used the authority However, Asiatic autonomy. of corporal and tax the administrative by assigning kadkhodas and rish sefids to them, and thus created barriers to serious collecting positlons of the asnaf. Although the asnaf played development the independent and economic life of the city, they an important role in the social type of power system had no voice in the machinery of the Asiatic of the country as a whole. and in the life and of the kadkhodas was tax collecting The main function As Minorsky for the shah. to do corvees calling on the craftsmen but the latter's compeelected representatives says "they possessed except in the case when tence seems to have been rather restricted carrying out corve'es for for they had to call up their guildsmen the King."66 Those guilds which were exempt from these corvees had workers The construction padeshah. to pay a levy called kharaj-e for the king and the most. were exploited They had to build palaces any pay, and usually the amirs without receiving durinq the corvee 67 had to live at their own expense. activEiies were as in other Islamic cities, traders, The prosperous They were supported by the shah rich, powerful and esteemed people. and his amirs who utilized them for their commercial enterprise.68 brokers, traders, international as wholesalers, They were active power Although they advanced their wealth, and so on. money dealers in all of their they found themselves and status in this period, Asiatic patrito the subordinated linked and activities intimately agents estabShah Abbas I and his bureaucratic monial domination. Conselabor and materials. lished over property, a firm control the prosperous as the shah's semi-bureaufunctioned traders quently, in each of office a reqistration crat agents. Shah Abbas established all commercial transthe major caravanserais to keep a record of the caravansaradars.69 agents: actions through his official Shah Abbas selected from the merchants and appointed a chief for their bankinq, diploto act as a liailsn him as ra s al-tojjar and fiscal to the state. duties matic, the silk trade through firm state conShah Abbas monopolized The state monopoly agents collected the silk from the protrol. and stored them in the state warehouses, to supply the raw vinces factories and to sell the surplus in foreign materials for state The merchants who were engaged in the silk trade were all markets. the Armenians of Jolfa Shah Abbas appointed the agents of the state. whose function to that of Karimi as the silk traders was similar in of in the cities Mamluk's state Egypt and Syria spice traders The Armenian silk traders expanded their during the same period. into the other items of commerce and were sent commercial activities as official countries envoys. They expanded their to the foreign as They also functioned trade to the West as well as to the East. The in the Bazaar of Isfahan. state bankers and money dealers to the foreign lands and traveled Armenians of Isfahan usually traded with the liquid wealth of the state or that of the ruling. class elements. 63

SPRINC-SUMIEP.1969

Shah Abbas, the royal family and his amirs qave direct employment to the Armenians because of their extensive manufacturing and activities. trading About 60 rvo.wux riches existed amongst the from 60,000 to 200,000 tomans in Armenitn merchants who accumulated cash. The state the largest factories installed in the country.72 There were about 32 royal workshops with approximately 150 workers each. The annual expenditure of the workshops was approximately 350,000 tomans. This was the largest in the whole country enterprise and the total expenditure to half of the royal revenues.73 approximated These state manufactories produced silk and wool carpets, wool and cotton materials, velvet and brocades. They also produced the best copper handicrafts, watches, leather and guns. china, They were in a good position to export Persian goods to the European countries.74 As Minorsky says "the Shahs are now the largest capitalists; they amass goods in their Buvatits,they and court European attract merchants, they use their Armenian subjects as their trading a ents for disposing of the chief exportable commodity, namely silk. "75 Although economic conditions in Persia and all the flourished historical sources evidence the growth of traditional capitalism during the rise of centralized patrimonial domination, and the country was able to resist the European colonial forces at the incipient stage of their expansion, the total situation was not favorable for the development of an independent bourgeoisie and ensuing modern capitalism in Persia. The trichotomy of urban, rural and tribal communities with the superimposition of the oriental patrimonial authority over the real economic structure of all three community types, and their undifferentiated unity created serious barriers to set in motion structural conflicts and dissolution of the whole system and its evolution toward the other societal type. Traditional attitude of the patrimonial staff and the traders, the non-rational practice of hoarding by treasury and money dealers, and disposition toward the luxurious standard of livinq and ensuing corruption set strict limits to the development of rational economic activities, modern capitalism and a western-type bourgeoisie in Iran. These conditions, prevented the sustained growth of traditional capitalism as well. Minorsky casts doubt on the expansion of capitalistic enterprise and says "the amount of Persian trade could not be called vast. "76 The fall of Safavids and ensuing tribal chaos is an example of the situation which impedes the development of trade and industry. When Aghi Mohamad Khin rose to power, total chaos and Insecurity was predominant throughout the country. The tribal leaders "had become accustomed to revolt and plunder, and were reluctant to submit to any kind of authority; the countryside had been ruined by repeated pillage. Security on the roads was virtually non-existent and commerce had greatly "77 declined. IRANIAN STUDIES

64

III.

TRADE AND INDUSTRY IN A SITUATION

OF WESTERNtPENETRATION

The Asiatic system of Persian society and its rulinq class surrendered to the West's colonial power and to its ensuinq--penetration in the middle of the nineteenth century. After the IranianRussian War of 1828, the ill-fated military expedition to Ilarat in 1855, and finally, the Anglo-Iranian Wqarin 1856, Persia lost its independence and moved into a semi-colonial situation in the modern world. This peculiar type of "contact" between the West and Persia took place through the process of western penetration and through direct contacts between western aqents, i.e., the representatives on the one hand, and of the colonial ruling class and power elite the major Persian structural The peculiarity forces on the other. of this total of the two great powers situation is due to the rivalry in maintaining the collapsing political community in Persia. Moreover, the rulers were forced to accept a policy of balancinq irreAs a result sistible Persia did within the new situation. pressures as a buffer not enter into a formal colonial but survived situation state between the expanding Russian appetite for the South and the British policy of the defense of India. their so-called Followinq "special interest" the two colonial powers arrived at a general agreement to divide the country into their zones of influence.78 The rivalry of the two powers intensified durinq the last quarter of the nineteenth century and their political goals merqed with econis what Dr. Keddie has judiThis new economic policy omic ones. ciously called by the two powers in Persia. "concession-hunting" "In general, in Iran was a qame of speculators concession-hunting whose wits were matched out for quick profits, and adventurers, and the shah, who equally wanted against those of wily courtiers as little trouble as possible. "79 Britain's in this period were to estabprinciple objectives and to defend her possessions lish and expand British trade, in The main qoal of Russia was "to extend her territorial India. as far into Persia as was feasible, possessions wlhilc laying the withi Great Britain foundations for a contest for the conmmercial and polotical domination of Persia.80 The major economic

concessions

Inay be sunniarized

as follows:

A maximum 5 per cent customs duty for imported (Toods was extended to other European countries under the "nmost favored nation" clause of the treaty withi Russia. Immunity from road tolls and internal transit taxes whichl were collected from Persian rmerclhants was qiven to foreiqners. A comprehlensive country-wide monopolv of railway construction, mining, and bankini'r was qiven to a britislh A concession subject, Baron de Reuter. given to Britain to orea65

SPRIICJ-SUMME;R 1969

in issuinq nize Bank of Persia the Imperial with a monopoly currency an agency to establish and anoth,er to Russia the Bancue d'Escompte, of Finance as a political of the Russian functioned which Ministry and a Casto Tabriz,, instrumenit. A railroad concession from Jolfd pian Sea fisheries A British monopoly were qranted to Russia. subject the D'Arcy obtained a tobacco concession. concession and another also Persia loans with in various received disastrous conditions, and finally, from the two powers the riqht forms, of capitugranted lation to the colonial powers.81 the total to the power of the shah in relation Althouqh tribal chiefs ane the agents powerful of the colonial powers dimihis absolute nished, elements power and that of his ruling over and craftsmen remained traders as an behaved The shah still intact. Asiatic with an absolute despot right resulting from the Asiatic patrimonial principle that the people and their land, everythinq--the his possessions. property--were "TThe Shah is thus, in fact, the government--the nation. All are his servants--his slaves; to be raised into his affluenice and favour at his pleasure,to be degraded and destroyed at his caprice, wvithout "82 remonstrance or appeal. Thus the atmosphere of autonomous commercial activities which existed in the medieval European towns and which contributed to the precapitalist formation of a bourgeoisie was conspicuously lacking in Persia. This situation of total power discouraqed the British bourgeoisie--the investors and merchants--from their lives and riskinq fortunes in Persia. The British pressed 14Nser al-Din Shah qovernment for a life and property decree. Finally the shah announced an important proclamation which was drafted by lAin al-Soltan with Volf's assistance on 22nd May 1888. The life and pronerty decree is of utmost because significance, it is a leading idea of the western bourgeoisie and was instituted to protect traders and invesBritishl tors.83 Ostensibly it was not the Persian bourgeoisie who benefited from this but British proclamation, adventurers. British endeavors for the so-called purpose of "strengthening" Persia were designed to make her resist Russian pressures and attract British speculators and adventurers to step into the Persian economy. Contrary to the assertions of the British authorities and Salisbury's statement in hlis note to the Lord of Commissioners of the Treasury in 1889,84 British economic activities were neither intended for the independent economic development of Persia, nor as a latant function did they have such a consequence. Russian and British economic activities in Persia, fruitful in the dissolution thouqh of Asiatic society, were disastrous for the independent economic development of this country. mountinq

The history economic

IRANIAN SITUDILS

of Persia in the nineteenth century interest and commercial activities 66

evidences of the two

the

conconsular The act of 1889 which established powers. colonial in Persia was "the natural outgrowth subjects trol over British in resided who subjects numbers of British of the increasing the opening of of the banking activities, Persia as a result and the mining exploralines, of telegraph operation Karun, the tions.85 of Russia and Britain economic interests The increasing in the in Persia gave rise to the growth of commercial activities century of nineteenth orbit country and moved its economy to the However, the growth of economic activities expansion. colonial type and had- paramount consewas of specific in Persian cities century the commerce of While in the early nineteenth quences. and balance of trade in its extent the country was very limited and while we can find some manufactured was in favor of Persia, was reversed the situation of export,86 goods among the articles at the turn of the century. years from 1873 to 1883, the value of the im"In fifteen rupees. by about 5,000,000 of Bushire increased ports and exports In a period of ten years from 1878 to 1888, the trade of Bandar In 1874 the customs of Bushire extent. to a similar Abas increased were farmed for 40,000 tomans, in 1889 for 99,000 tomans, in 1874 those of Bandar Abas for 30,000 tomans, in 1889 for 53,000 tomans, in 1874 those of Lingah for 6,500 tomans, in 1889 for 12,000 tobut that of the total This growth is by no means exhausted, mans. to trade by the Gulf may be expected value of Anglo-Indo-Persian from The exports in the future."87 much larger dimensions attain at Persia to Russia and the imports from Russia were estimated in 1889, pounds and 881,920 pounds respectively about 1,164,968 cencompared to the early nineteenth which shows a rapid increase tury.88 8 in the late trade with Persia increased Though British century it did not nineteenth century and in the early twentieth Over half of the foreign trade. exceed half of the Russo-Persian hsad only agencies trade was in the hands of Russian firms; British century.8Y trade in the early twentieth one quarter of the foreign it is not in favor Regarding the balance of trade in this period, and India in partiand in trade with Britain of Persia in general century the exports of Persia to In the early twentieth cular. one fifth of its imports England and to India were approximately in 1907 the Hlenry-Ren6 D'Allemagne reports from those areas.90 the total trade with import in Persia's foreign mounting increase of francs. and export 162,153,000 of 200,153,000 The growth of trade in rise to an increase in the urban of Persia and the capital cities of Tehran doubled in the second

century gave the late nineteenth in the commercial population The population city of Tehran. half of the nineteenth century!

67

SPRIN(-SUIJMER1969

According to E'temad al-Saltane, 2,000 miles were constructed shops, and 600 caravanserais Naser al-Din Shah.92

of roads, 100,000 during the reign

of

Western penetration, which was achieved through colonial policy and superior technology, destroyed the Persian manufactories As a result which were important during the Safavid period. European on the one hand, manufactured goods superseded Persian local products that of manufactured and the export of raw materials materireplaced the decay of als on the other. The nineteenth century evidences industrial in the cities activities of .Isfahan, Kashan, Tabriz, Yazd, Kerman and Mashhad.93 that the import of Flandin who visited Kashan in 1840 reports British materials has destroyed the large factories of KashTan. The of dumping which is possible practice who for large foreign traders have local tax immunities has systematically and low customs duties caused the decadence of Persian Isfahan which was famous industry.94 in manufactured is now the consumer of "manufactured materials cotton goods, almost wholly from Manchester and Glasgow." And "of the exports whose value and bulk are both greatly inferior to the imports the principles are: opium, tobacco, cotton, almonds and rice."9 Curzon reports that in Yazd "Silk weaving was formerly the chief local industry, the mulberry being cultivated in great abundance in the neighborhood; and as many as 1,800 factories, employing some 9,000 hands, were in the middle of the present century engaged in the business. This has however declined, and its place has been taken... .by the cultivation of the poppy, 2,000 chests of the opium extracted from which are now said to leave Yazd annually. "96 I-le also points out that "In the middle ages Kerman possessed a qreat for the manufacture of arms; but this, like that of reputation Meshed is a thing of the past. "97 Not only were the traditional manufactories destroyed in the new situation, but the various attempts of the independent Persian bourgeoisie to establish themselves failed for two basic reasons. the resistance Firstly of the Asiatic type of social, economic and political order with all the impeding factors of the Safavid period, and without its advantages. Secondly, there was the intervention of the colonial powers on behalf of their bourgeois elements. Two major examples of genuine endeavor amongst the Persian bourgeoisie for independent growth are the establishment of new factories and the creation of a local and national banking enterprise. Jamal-Zade reports that 30 major factories which were installed in the later Qajar period were closed partially due to the intervention and competition of the companies.98 For example, foreiqn a modern sugar cane factory, which was installed in 1899 by Amin and whose products were of better quality al-Dowle, than Russian went bankrupt as a result sugar, finally of Russian dumping practices.9 IRA1NIAN STUDIES

68

and of Persian money dealers Another example is the failure banking syslocal and national an independent to establish traders in local were active Persian money dealers tem in their country. which had the Bank of Persia, The Imperial markets up to 1888. with concomitant currency and other concessions, monopoly of issuing an agency of the Russian of the Banque d'Escompte, the activities dominated the money market of Persia and limited of Finance, Ministry Persian money dealers of the local money dealers. the activities banks but independent to organize attempts and traders made several The banks. due to the imposing power of the two colonial failed Bank of Iran to create the National of Persian bourgeoisie failure Mloreover, majles is a dramatic story.100 at the time of the first due to the same failed large corporations five other relatively The growth of trade, reasons.101 the decay of local manufactures bourgeoisie of independent and the failure qave rise to the emerPowerful in the late Qajar period. gence of a dependent bourgeoisie representatives or appointed firms opened up their offices foreign Curzon of Persia in this period. in the major commercial cities zone in the British firms were active that six large British reports "A good deal of trade is done bv native merchants;. of influence.102 passed through the hands of transactions but the bulk of mercantile as English firms, whose activity be described what may indisputably with the apathy that has been displayed contrast here is in pleasing many prosperous in other parts of Central Asia. '103 Consequently into the agents of Russian and British traders were converted Persian The predominance of commercial firms and lost their independence. banks over the Persian money market, the apathy of the two colonial in a situelements toward the local bourgeois rulers the Asiatic and the intervention of the patrimonialism, ation of decentralized of their traders and investors the interest two powers to protect firms to survive.104 to work with thie foreign traders forced Persian One of this period is achieve status in this period, funds in land. of development

in of the bourgeoisie the important characteristics their tendency to seek land ownership In order to The sale of state lands and crown lands, and power. their liquid invest to gave them an opportunity to the This should be taken as another obstacle in Persia. an industrial bourqeoisie

of 1905, which was a quasiRevolution The Constitutional due to accumulated discontents was partially movement, bourgeois and the petty-bourgeosie amongst the Persian traditional bourqeoisie in which the in a society in this period. Ilowever, it was defeated forces were system and stronq tribal Asiatic patrimonial particular of revolution were still In the first predominant. majles the ideas in the were Thus, elements foreground. in the air and its active and 15 the petty-bourgeoisie 22 per cent of deputies represented while the landlords the mercantile-bourqeoisie, per cent represented In the representations. constituted only 8 per cent of the total the petty-bourqeoisie was moved out from the scene, second maj4la also qradually deThe portion of mercantile-bourgeoisie forever. in the Qajar period of majles life.105 clined that

in this the major developments To epitomize and bureaucratic landlordism both bureaucratic 69

period we may say capitalism

sPPIr1C-S;UHrER1969

the Qajar period. collapsed the abolition of toyul durinq Finally by the first transformed nature majiles the administrative of land into the lnstitution tenure of private All the advanproperty.106 tages of the Asiatic of system total of trade power for the growth in the Safavid and industry whilst were absent, all its period disfor the rise of an independent advantages were brougeoisie present. of the trade The rapid and the failure qrowth of traditional manuand the factums independent bourgeoisie to the emergence gave rise of the dependent on the one hand, bourgeoisie and increasing pettybourgeois activities in trade, the importance of the diminishinq industrial on the other. petty-bourgeoisie, IV.

TIHE REVIVAL OF CENTRALIZED ORIENTAL PATRIMONIALIStM AND STATE CAPITALISM IN TIE REZA SHAHI PERIOD

The reiqn of Reza Shah may be divided into two phases, the first from the coup d'etat lasting of 1921 and his coronation in 1925 to 1930, and the second from 1931 to 1941. lie revitalized the Asiatic system of power in the former and established period state capitalism in the latter. It was in the second that the period difficulties from the world and arisinq depression the foreign trade made the shah fulfill problems his Asiatic patrimonial mission by state intervention in all facets extending of the economic life of the country.107 We may find a good statement on his in the policy following official remarks which mask and rationalize 30 centuries' tradition of patrimonial intervention in economic enterprise: "The weakness and incapability of individual initiatives which has been since proved the World lWar, has forced all countries to abandon the laisser-faire and compelled policy all governments to take an active in the economic part life of their countries. Our country has also followed this universal trend, and the government of Iran has directl or indirectly controlled 33 per cent of the imports and 49 per cent of the exports the state throuqh monopolies. ''18 we should liowever, notice the hiatus between the planned economic policy the followinq Great in the sphere Depression of western legal-rational domination and the state controlled economy in the sphere of arbitrary and nonrational authority of the Persian patrimonialism.109 Serious action in this direction was set in motion by a law declaring a monopoly on foreign trade in 1930,110 which was supplemented in 1932 and partially revised in 1936 and 1941. Following this direction the qovernment created 17 companies by 1935 for the implementation of the law. Consequently the state controlled the major part of foreign trade and possessed the largest comtradinq panies in the country. It also acquired an increasinq of deqree central control over the financial affairs of the country, and the volume of state financial activities particularly in qrew rapidly, the second phase of Rzeza Shah's reign. For example, the estimated state revenue in 1924 was under 237 million rials, while it had risen to over rapidly 3,613 million rials in 1941.111 In April 1927, the maj_les passed a law for the establislhment of the Bank-e Melli-ye Iran and the right of issuinq notes was withdrawn from the Imperial IRPAJNIANSTUDIES

70

Bank and transferred to this bank, which functioned state bank as well as a state commercial bank.112

as a central

Another state initiative in the Asiatic tradition was in road construction. Reza Shah raised the already active, Road Department into an independent Ministry of Roads in 1930. Road construction activities extended the carriage roads from 1,286 miles in 1921 to 16,000 miles in 1938.113 Several attempts such as tariff exemption for trucks and buses were also made to encouraqe the use of motor The import of motor vehicles vehicles. and spare parts increased four times from 1927 to 1936.114 There were about 25,000 motor vehicles in 1941 in Persia. However, the master project of the shah's transportation and communication program was the Trans-Iranian Railway. The project was carried out mainly by western contractinq companies with the assistance of a few Persian companies.115 Finally, 850 miles of railway with the total cost of 2,552 million rials, which was raised by the tax on tea and suqar, were constructed in the latter period of the Reza Shah reign.116 As a result of these construction activities, a group of contractors emerged as a part of the Persian bourgeoisie. Over ten of the contracting companies of this period have survived up to the present time and are registered among the leading contractors.117 to industrialize Serious attempts the country were made in the period lasting from 1934 to 1940. in these projects Priority was qiven to light industries, largely to make Persia less dependent on imported qoods. By 1941 about 200 plants that might be considered as industrial establishments in the country. Out of these, existed 30 large factories directly owned by the state were the largest establishments in their particular trades and some of them had a monopoly of production.118 Private enterprise was subordinated to the large establishments of the state and functioned under the firm control of

the

Ministry

of

Mines

and

Industry.

The total number of workers in these 200 plants may be estimated at 50,000 to 60,000. About 120 factories employed from 30 to 100 workers, about 10 had from 100 to 500, and some 15 large plants, some of the textile including factories in Isfahan and Tabriz had 500 to 1000 workers. The larqest factories at this time were the state arsenal with 2,300 employees, and the state tobacco plant with The most important 3,300. which employed industry was textiles, half of the total labor force. state-owned industrial Consenuently tlhe bDtal workers in these industry employed almost 40 per cent of 80 per cent of and possessed the larqest factories If we plants. add the number of workers in the state owned railway system and mines, the percentage of government workers would rise to 60 per cent. The most were sugar refinerimportant state owned factories cement plants, arsenals and tobacco factortextile ies, factories, which started eight sugar refineries The total output of ies. from 2,300 tons of sugar their operation from 1931 to 1937 increased Over 4,000 workers were emcane in 1932 to 33,000 tons in 1940. A cement plant started in 1934 ployed in these plants. operation and its total annual output increased from 25,000 tons in 1934 to 71

SPPING-SUMMIFR 1969

The The plant employed about 1,000 workers. 70,000 tons in 1940. which started factories four modern textile government installed from 1930 to 1937 and employed about 8,000 workers their operation by 1940. was in texinitiative private The most important area for plants were created or extended Some 20 large textile tile industry. employed about 35 per cent factories in this period. These private number of wool The total by 1940. workers industrial of the total from 2,000 in 1925 to 7,920 in 1930, and to was increased spindles from 3,842 in 1921 to 25,548 in 1940, and that of cotton spindles of However, the spindles 16,142 in 1930, and to 200,000 in 1940. for the period from 1930 to are included the state owned factories 1940.119 the trend of its translandlordism, Reqarding bureaucratic which was begun during the landownership, into private formation The institution in this period. period, was intensified earlier and received a of private landed property was well established a good portion of confiscated The shah himself solid legal basis. the in country. landowner the largest and became villages prosperous and large landchiefs the power of tribal Although he demolished in the 'Asiatic' tendencies owners and scorned their aristocratic of prithe institution he strengthened and established tradition, Not only were 57 per cent of majles deputies, vate landownership. who were (and half of the deputies in this period, landowners but the higher also government employees were from this class), and successful the public bureaucracy, echelons of the military, businessmen into the landowninq class.120 were incorporated in this period of the bourgeoisie As far as the development As of this class. strata is concerned, we should examine various of in the fields private initiative we have already demonstrated, was dominated by mining and construction transportation, banking, in these developed of bourgeoisie state activities and no strata state capitalAlthough in the areas of trade and industry, areas. of the middle strata initiative, ism subordinated entrepreneurial and in these fields their activities intensified elements bourgeois In this period the hiatus grew in numbers and economic prosperity. in the bazaar and who resided between the traditional bourqeoisie or the bazaar behind,physically the modernized elements who left work with could easily strata The latter mentally, was intensified. These strata western bourgeoisie. and the bureaucratic elements for depeneagerness Reza Shah's regime and manifested supported petty-bourgeoisie While the industrial dent bourgeois activities.121 the petty-bourgeois in both periods, lost its functional importance grew rapidly. traders V.

A NOTE ON THE RECENT DEVELOPMENTS

continues

In the recent period, which to the present time, the

IRANIIANSTUDIES

72

begins in the mid 1950's and resumption and rapid increase

in

oil revenues which was followed by the growth of small industries, foreign capital investments, private banking enterprises, transportation firms, local and foreign trade, brouqht about a drastic structural change in the society. The social order and security, which were maintained by the use of absolute force in this period, werepartially designed to attract both domestic and foreign capital for investment. Consequently, the modern bourgeoisie entered into the infantile stage of its development and qrew rapidly within a decade. As regards state capitalism, by adopting the western capitalistic model for development, the major economic policy of the government became the development of private enterprise. Hiowever, a community of interest has been established between the hiqher echelos or bureaucracy and the economic elites. coaliwithout tion with these elements, the wealthy bourgeoisie would lose its power and probably its prosperity. Because the increasing oil revenue is instrumental in the maintenance of the absolute economic and political power of the government, the economic of the state, formulated by the policy modernized patrimonial staff has vital consequences for all sectors of private enterprise such as the support of local industries, the attraction of foreign investment and tle allocation of money to the contractors. we may epitomize bourgeoisie as follows; a.

b.

c.

d.

e.

the recent

developments

of the Persian

in this period. The industrial bourgeoisie Priqrew rapidly vate firms Dossess 12 larae industrial each of establishments, which employs over 1,000 workers. The remaininq 4 large factories of this type belong to the state.122 The number of commencement permits issued for industrial establishments increased from 55 permits in 1956 to 596 in 1965.123 There were rapidly over 300 private industrial companies which employed over 100 workers in 1963.124 hits also The industrial and mercantile dependent bourgeoisie in the past decade. The amount of foreign developed private inves tmgnt increased from $414,313 in 1956 to $12,763,340 in In Banking activities 1966. 2 eight mixed banks were estabwith a total investors lished by Persian and western paid-up of $25,000,000 in this period. capital hlowever, the main area is the oil industry. in this respect with a total In reqard to banking, 10 private companies paidwere created in this period by leadof $12,400,000 up capital elites and have been Ihiqhly ing economic and bureaucratic utilize in their enterorise. the successful They usually for their executive elite former bureaucratic positions.126 increased from 52 The number of contractina companies rapidly 100 leadinn contractors firms in 1953 to 500 in 1967 including members or who have a elite who are either former bureaucrttic 27 with these elements. coalition also have shown Bourgeois activities in transportation enterprises Persian aaencies of rapid development in the past decade. and several larae a few boat lines international airlines, The number truck operating companies have been established. 73

SPRINC-SUMMER1969

of truck holding companies more than 20 trucks possessing nas reached 50 firms have over 10 companies which 100 including trucks at the present time.128 We may conclude that the Persian bourgeoisie is still in its formative period. Though it has gained functional significance, wealth, prestige and power in the past decade, it is not an independent, force in this country and i s still dependent on powerful the bureaucratic which carries the burden machinery of the centuries of 'Asiatic' tradition of total power,

NOTES

2.

3.

4. 7.

8. 10.

11. 12.

See for example C.W. Mills, Imaqes of Man: The Classic Tradition In Socioloqical Th,nkinq, Socioloqical N.Y.1960;, Imagina1959 N.Y. his tion, 5 on article "Uses of H1istory6 " especially pp. 143-64; The Marxists, N.Y. 1961; I.L. Horowitz, The tJew N. Y7194; M. Stein Socioloqy, and A. Vidich, on Sociology Trial, N.Y. 1964; M1. Weber, ;Nethodoloqy of the Social Sciences, N.Y. 1949. "All peoples travel what is basically the, same path...The development of society proceeds throuqh the consecutive replacemenit, accordinq to definite laws, of one socio-economic formation by another." 0. Kunsined, Ed. Fundamentals of MarxismLeninism, London, 1961, p. 153. See N.V. Piqulevskaya, A.U. Yakubovsky, I. Petrushevski, L.V. A.1. Striyeva, Tarikh-e Belnitski, Iran az Dowre-ye B3stAn ta Payan-e Sadeye Hejdaho;n (The Iiistory of Iran from the Ancient Period to the End of Eiqhteenth Century), 2 Vols. translated by K. Keshavarz, Tehran, 1346/1967, pp. 5-67 (hereafter T.I.). See also I.M. Diakonov, TArikh-e Mad (Ilistory of Media), translated by K. Keshavarz, Tehran 1344/1965; M.M. Diakonov Ashkaniyan (The Parthians) translated by K. Keshavarz, Tehran, T.I., pp. 68-149. 5. oIbid., pp. 150-237. 6. Ibid., pp. 238-324. Ibid., pp. 325-490; see also D. Vladimirtsov, Le Regime Social des Mongols: Le Feodalisme nomade, P'aris, V.V. 1934; Barthold, Turkestan down to the Mongol Invasion, London, 1928; I.P. Petrushevski, Keshavarzi va MonAsebAt-e Arzi dar Iran-c Ahd-e Moghol, (Agriculture and Agrarian Relations in Iran; in the Monqol Period), translated by K. Keshavarz, Tehran, 1345/1966. T.I., pp. 491-596. 9. Ibid., pp. 597-664. See for example M.A. Khonji, "Tirikh-e Mad va Mansha-e Nazariyeye Diakonov" (A Critique on Diakonov's "Hlistory of Media"), in Shahrivar-e 1346 Ketab, Rahnema-ye (October 1967), appendix, also see A. Ashraf, pp. 1-36; "Nezaim-e Asia'i ya Nezam-e Feodali" (Asiatic Society or Feudal System) in Jahan-e Now, 1946/1967, Nos. 5-12. K. Marx, Pre-Capitalist Economic Formation, edited with an introduction bv E. Hiobsbawm, N.Y. 1964. p. 78. K. Mrax, "British Rule in India," New York Daily Tribune, June 15, 1852; also June 25 and August 8, 1853: See also Marx to Enaels 2.6.53 and 14.6.53 and EnqelstOcMarx 6.6.53.

IRANIAN STUDIES

74

13. 14.

15.

16. 17. 20. 21. 22. 24. 25. 26. 27. 28. 30.

31. 32.

33. 35.

New llaven, 1957. Despotism, Oriental K. Wittfoqel, Hlistory of Iran, See for example E. ferzfeld, Archaeological London, 1935; also Iran in the Ancient East, London, 1914; 1937. Bruxelles, du servaqe, iranien N. Adontz, L'aspect L'Iran sous les sasanides, A. Christensen, Copenhague, 1944; in Annales de Iligta IX au XIII siecle," C. Cahen, *Llevolution 1953; No. 1, Paris, (Economies--Societ4s--Civilisations), Islam, Vol. I, Leiden, 1958, in A. Ben Shemesh, Taxation pp. 62-64. Vol. 1. Leipzig, Islam-studien, See for example C.11. Becker, London, 1924; A. K. S. Lambton, Landlord and Peasant in Persia, "The Evoreflections, 1953, pp. 53-74; see also her excellent Iran, Vol. V. 1967, pp. in Medieval Iran," of the lqta' lution "La F4odalit4 41-50; A. Poliak, islamique,i ' Reveue des etudes islamicues, 1936, pp. 247-65; Fr. Ldkkenaard, Islamic Taxation Period, in the Classic Copenhaqen, 1950; see also B. Brandage, "Feudalism in Ancient Mesopotamia and Iran' and R. Coulborn, editor, Feudalism in History, 'The case of Iran," in R. Coulborn, 1956. Princeton, pp. 77-78. Economic Formation, Marx, Pre-Capitalist p. 38. Ibid., 19. p. 71. Ibid., 18. Ibid., 33-34. 1960. Portrait,7N.Y. R. Bendix, Max Weber: An Intellectual p. 359. N.Y. and Economic Organization, M. tWeber, The Theory of Social 1947, p. 355. Ibid., 23. p. 357. Ibid., p. 355. Siasi-ye See also A. Ashraf "Jame'e Shenasi-ye p. 355. Ibid., in Sokhan, Nos. Socioloay) Max Weber," (Max Weber's Political 1346/1968. 10-12, A Manual of Safavid AdminisTadhkirat al-Mul6ik: V. Minorsky, T.I. pp. 550-3. T.M.), p. 12. London, 1943, (hereafter tration, p. 502. Ibid., pp. 507-8. cit., p. 188; see also Lambton,op. T p. 106; T.I., Ibid., pp. 16-18. 29. p. 507; T.M. pp. 14-16. Ibid., The soyurghal was granted under tlhe Monqols and their which Hlowever, like the "fief." was, to some extent, successors, under Ghazan Kahn tendency already realized the centralizing was contradictory Safavid predecessors and Ahmad Aq-qoyunlu--the its practice. Minorsky says and limited to granting soyurahal in January 1942, on Ahmad Aq-qoyunlu conpleted 'In the artice the same sources as used practically Petrushevsky Professor on the purport of the myself and came to the same conclusions the against tendency of the qovernment directed centralizing Twenty Articles, Tehran, Iranica, (V. Minorski, fief-holders." pp. 72also Petrushievsky, op. cit.0 see 1964, pp. 224-41); 478-88. T.I. pp.497T, 74; Lambton, o pp. 197-211; cit., pp. 105581; Lambton, op. cit., 551, 557-59, pp. 510-11, T.I., 128. of Shah Abb5s I, character For a good account on the despotic Shah Abb3s-e Avval (The Life of ZendegXni-ye see N. Falsafi, and Vol. 2, pp. 77-211. Shah Abb5s I), Tehran, 1334/1955, Vol. 3, pp. 119-200. 34. pp. 551-6 & 581-90 T.M., p. 16; T.I., pp. 543 and 556. T.I., 1811, Vol. V., Chardin, Paris, Chardin, Voyaqes du Chevalier n -T.M. p. 16. cited pp. 224-25, 75

SPRING-SUMMER 1969

36. 37. 38. 40. 42. 43.

44.

45. 46. 47. 48. 49. 50. 51. 52. 53. 54. 55. 56. 57. 59. 60.

Iskandar Monshi, Abbasi, Xlam Ar3-ye 1314/1935, pp. 104-124 and 761-7. Khold-e Barin, Appendix to the Alam Ara, 1317/1939. T.M. p. 15; T.I. p. 507. 39. T.M. pp. 17-18. Ibid., p. 18. 41. Ibid., p. 30. See Ibid., pp. 30-6; T.I. pp. 544-6, 556; Chardin, Vol. V, pp. 7W7?32; P. Della Valle, Viaqgi, Brighton, 1843, pp. 476, 759-68; Hasan-i Rumlu, Ahsan al-Tavarikh, Sedon, 1931, p. 368. Under Abb5s I and his successors a bureaucratic landlordism developed. In the expanding lands state and crown lands opium, tobacco, barley and fruits were cultivated. to the According authors of Tadhkirat-al-iiulllk the shah possessed and Olearius, the best and most numerous cattle in the land. See T.I. pp. 564-70. See for example. T.I., pp. 551-6; R.Z. Safavi, Iran-e Eqtesadi (Economy of Iran), Vol. 2, Tehran, 1309/1930, p. 78; B. Parizi, Jazr va Madd-e Siyasat va Eqtes3d dar Asr-e (FlucSafavilye. tuations of Politics anrd iEconomy in the Safavid Period), in Yaqhma, No. 2, 1346/1967, 62, and No. 3, pp. 121-2. p. ?7afavi, Iran-e p. 61; T.M., Eqtes5di, pp. 19-20; Parizi, No. 2; T.I., pp. 551-6. op. cit., IV, p. 64. CFMTh, 7Vol. p. 162; T.I., Ibid., pp. 577-9. Chardin, Vol. 4, pp. 162-6; Safavi, op. cit., T.I. pp. 70-3; pp. 579-80. Chardin, Vol. IV, p. 64; Mohammad Mohsen, Zubdat al-taw5rikh, p. 208. T.I., p. 551-2. Ibid., p. 373; Safavi', o pp. 74-5. cit., C. N. Curzon, Persia and the Persian Question, London, 1892, Vol. 2, p. 13,- hereafter P.Q. Ibid., p. 13. Ibid., p. 13; uI. Naraqi, T3rikh-e KNshAn, Tehran, EjtemAi-ye 1345/1966, p. 132. P.Q., Vol. 2, p. 250; See also V. Minorski, Tarikh-e Tabriz, trans. by A. Karang, Tehran, 1337/1958, Etemad alpp. 55-7; Soltan, Mir'at al-Buldan, Tehran 1294, Vol. 1, pp. 554-61. Naser Khosrow, Safar Name-ye Khosrow, N3ser Tehran, 1335/1956, P. 123. T.I., 58. T.M., p. 554. pp. 12-23. See for example, Du Mans, Estate de la Prese en 1660, Paris, 1890. pp. 195-211; Chardin, Vol. IV, pp. 95-151; T.I. p. 570; T.M., p. 20. According to Tadhkirat al-Muliik, the Kalantar appointed the Kadkhudas, contributed to the reportation of taxes among the the desiderata quildsi,Tformulated of the latter.' (T.M., p. 148). See also E. Kaempfer, Amoenitatum exoticarum, Lem .1-

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NOTES

by the method so I have been inspired 1. In doing New York: Burnshaw (The Poem Itself. first set forth by Stanley both the length of However, considering Schocken Books, 1967) I have departed from of the original, the poem and the alphabet in some respects. Burnshaw's pattern 2.

Ferdowsi,

940 - 1020

(1025)

A.D.

to the ancient Iranian according 3. Liqht and darkness, are the two major powers in the world. They are in religion, the which light, at the end of struggle with each other, constant the evil power. god, will conquer darkness, benevolent to beloved, is an allusion 4. The harp as Zoroaster's songs of the Iranian prophet which were the religious Gathas, recited, accompanied by music. apparently one of the most important 5. The Sun (Nithra), figures; for the soundness was responsible Iranian pantheon, in the ancient In modern Persian the word has the of contracts and alliances. as well. meaning of love and affection who 6. False hope on the part of some of the Iranians Islam, would put an end to the that the new religion, expected of the country. situation religious social, degenerate 7. world

is

Supra,

footnote

5.

.8. According to the Zoroastrian divided into seven climes or areas. 9.

between

Cf.

The atomic

sources,

the whole

bomb thrown on Hiroshima.

10. Probably the race in space the major powers in technological 95

and the general progress.

contest

SPRING-SUMMER

1969

11.

This

12.

Supra,

word is

used

footnote

in the Shahnameh,

frequently

10.

are the 13. Iranian mythology, Demons, in the ancient agents of Ahryman, the evil god of darkness who is in constant Demons god of light. struggle with Ahura Mazda, the benevolent in fortresses and using magic means to are thought to be living deceive the people. 14. to the water, wind andemrth according Light (fire), of the world and hence conbeliefs, are the four elements to be sacred.

ancient sidered tion

The Zoroastrian 15. of the two as introduced

mentioned

the socialism, message, by Mazdak.

The weapons are those 16. in the Shahnameh.

or a combina-

used at the ancient

times

and

are placed and fleet The adjectives sharp, dread, 17. at the end of each verse and separated by a comma from the rest of the so

sentence. that

In Persian 18. the subject 'we'

the can

verb comes at be separated.

the

end

of

the

sentence

a mythical in Shahnameh, Son of Dastan, figure Rostam, 19. for a long time and as He lived hero of Iranians. is the national her enemies. Rostam to overcome Iran was able long as he was alive of his step in a deep well as a result was killed when he fell brother ' s trickery. Son of Farrokhzad, 20. who was defeated by the leader Rostam, contrast to the first country.

also called was an army Rostam, Arabs who invaded Iran. So, in he symbolizes the decline of the

with the prophet, Zoroaster, and is Lamb is connected 21. symbolizes the This mythical figure considered to be sacred. but can be taken also as a symbol golden age of the Iranian empire, of the great gap between the present of the world and the situation sense it may represent In a more limited idealized past in general. the lost hope of the poet himself. 22. Daqyanus

According

(probably

Decius,

to the the

Islamic

sources

Roman emperor)

(also persecuted

in Koran) the

be-

there lievers six of whom fled to a cave and slept (Christians?), but nobody for 309 years. When they woke up they went to the city, could understand their language and nobody would accept their they asked God to make them die. money (coins) so, in their despair, IRANIAN STUDIES

96

THE CHRONOGRAMSOF KHAQANI*

Translated

O.L. VIL'CEVSKIJ by Jerome N. Clinton

As with the majority of qreat national figures of the Middle Ages, we know relatively little about the facts, and, in particular, about the dates of the life of the major Persian lancentury, ode-writer to the Shirvinshlhs, quage poet of the twelfth son of a carpenter of Shirvin, al-din Ibrahim Khaqani. Af;il A brief sketch of the biographical information concerning the poet, which was compiled from oriental sources by N. Khanikoff almost a century ag, 1 was then somewhat expanded and supplemented by K. G. Zalleman. With some insignificant variations aad this summarx was then reproduced in all the works on additions, Khiqinl up to our day. The question of the role cf Transcaucasian in the works of Khaqini was raised in the study carried elements out by Ju. N. Marr, in cooperation with K. I. Chajkin, during the last year of his life.4 tradition Following the excellent cf V. A. lukovski4, both sought first of all to extract bibliographical material In particular, from the poet's divan itself, K. I. of brilliant surmises and calculations Chajkin, through a series dates important based on this material, the way to several pointed the most likely for the bi?graphy of Khiqini, date of including his birth. Nonetheless, we may consider only two dates relating to the biography of Rhiqini as definitively established. They are, the date of his death--Shavvil is prefirst, 595/ July 1199--which in one of the cemeteries of Tabriz; and, served on a gravestone 551 A.H., the date of the poet's first which is second, pilgrimage, well established by his famous Isfahan qasida, which N. Khanikoff introduced to the world of scholarship.: Thus the chronogram, so much is found to be a sufficiently interesting This is far the biography of the poet. of poetic master of words and virtuoso a master of same time just as excellent

enjoyed by medieval authors, and valuable source for from accidental. A great technique, KhNqini is at the the subtle, refined art of

appeared in Egfi originally Vostoka, *Th"i article translationT-.ave th8 In preparing Vol. XIII, pp. 59-68. drawn upon the profound knowledge of the Russian quently of my friend Donald L. Stilo. Jerome W. Clinton Eastern Languages

1960, frelanguage

in the Department of Near is a Ph.D. candidate of Michigan. and Literature, University 97

SPRING-SUMI51R 1969

intertwining the complex pattern of a chronogram into the splendid ornamentation of a verse, and thus forever recording a date important either For us for the poet or the person he is addressing. who are of another epoch, it is sometimes difficult not only to but also simply judge this forgotten skill a'ccording to its value, to discover the chronogram, to discern it in the figured weave of the polysemantic verse of the medieval author. To -discover where it is, is,perhaps the master's more difficult than to discover mark or date in the ornamental ligatures of a decorative inscription. This is especially difficult because for us the numerical significance of the letters is quite lost,-while for Kh5qinl and his contemporaries, they' (the letters) always served as graphic representations not only of sounds, but of tdates as well; that is, they were simultaneously letters and numbers.8 If a date was expressed by a combination of letters, and this combination, in graphically coinciding with a word, acquired a semantic meaning, then it became a nnemonic assisting the remembrance of the given date. Thus in the chronogram of Kh;qSn1 taken from his Isfahan qasida, which is mentioned above, 551 A.H., the year of the poet's first foreign journey, which brought him world fame, is felicitously expressed by t hose letters, the combination of which forms the word Le salutation.' the phrase Le a- may be read "praise, Consequently, either "the year 551,' or "the year of praise." We will find those same principles of the mnemonic device based on the numerical symbolization of letters in a chronogram of Khaqanl contained in one of his odes in hionor of the victory of the Shirvan armies over the Russians. But here they occur in combination with the principle of the rebus, so widely employed in the composition of medieval chronograms, which complicates the solution. In the middle of the ode, the poet, turning to the Shirv5nsh5h Akhsitan, for whom the ode was written, says: "Your victory in the battle with the Russian army Became for them a date (fixed) in the heavens. "9 the word isman into two words, consisting Dividing same letters and arranged in tie same order, ism 'name," and that," we obtain a second reading for this verse: "Your victory The date (is)

I-7r over shin

of the an

U )l { L2 >Mb ( o) i the Russian army dal, their name (added) to it.

This gives us the next reading of the chronogram: (-300+) 4+ .2O0+ i 6+'(6O=570, the Hijra date of the victory over the Russians. This date, corresponding with 1174-5 A.D., exactly coincides with the date of this event, which was established by Kunik in his time, on the basis of a comparison of the information in a number of oriental sources.10 The date indicated offers extraordinary interest for the history of Transcaucasia and is important for the biography of Kh3q3ni. It determines both the time of his meeting with Andronicus Comnenus, who took part in the campaign against the Russians, and-the time of the poet's second hajj IRANIAN STUDIES

98

to Mecca), which (pilgrimage and during which Andronicus, of al-mustad! the caliphate from 566-575 A.H.

he set out on after his meeting with he visited Baghdad and Mecca during the Abbisid throne who occupied

that even clothing characteristic It is extraordinarily the required Kh5qSnl presents the chronogram in the form of a rebus, in sum the which possess set of letters, not in a meaningless date, but seeks out two words whose meaning is value, numerical required most value

to suited of their

reminding letters:-"

one ylj

of the date riis shud,

by expressed Russians 'the

the numerical departed.'

as characteristic. which is just factor is another There the chronocram allows which verse, of a given reading The correct of in the old manuscripts only is preserved to be comprehended, contemnearly is the manuscript, among which the poet's divan, o?f the AN' SSR No. IJ.st,ittte of the Orlental the poet, with porary by the hand of tliwhlich was copied -n KhwAr-'.zm, possiblyv C 1424, iff -nl Vatvdb. std ai--diin Rh,ijini, o rival and poetic friend en-Kct. theve. have corrected scribes of the maniuscripts, major-ity not better avparently meaning., of a superficially in the interest. of thb Eveti the editor of a chronoqiam. the existence. suspecting text, or a -corrupt his editio,:n bdses of -he divan edition printed as varrants. correct readiriqs including di-van by Later of Khaqdn'i's such corruptions Apparently the -Xh5q5nT' s chronograts, of a number of the less caused copyists of the substitutlion with lbecomes impossible of which deciphering which of such a distortion, exaimple A typical even one letter. is coincidence, to a fortuitous thanks only can be established 2trsln, ode in honor of Xizil great in Khaqanl's the chronogram to the amention works according arranging K. I. Chajkin, KhaqAi i's the anti' ipated before remaining in them of the number of years !iI one planets seven all united which in 582/1186, conjunction ode on of this of composition the date determined sign, zodiacal would event this that author of its of the assertion the basis that Hence K. I. Cha&kin reckoned in six years.12 take place the line a.d.Il3 However, in 576/1180-1 ode was composed 'this which a verse precedes attention K. I. Chajkin's attracted that of the edition In the printed a chronogram. contains clearly it has the following form: divan

'For in the year 550, a fortunate will conjunction In a desirable It is not a mistake the place

simply stands

is in

which

qives

a separate

us the

A number question

star I see. '14

there in the given that form, to note of letters combination and this copyist, one: and correct sole possible date ! SOO+0 50+ v 6+20=576. necessary diffi-cult of the of the

of

examples similar to I intend which 99

could touch

be cited. upon in

But another

is this place.

SPRIENG-SUMlMER1969

Within the limits of the present we will dwell upon the article decipherment of two chronograms of Uhaqnin;, which up to now have not attracted to themselves, attention and which have vital importance for the biography of the poet. Both of these chronograms are found in the lines of his which beprison elegies cycle, longs to the group of the poet's most intimate works. The first of these chronograms is contained in the last line of a brief 'prison elegy." This little known work is a beautiful specimen of the craft of KhZqZni, and I will allow myself to cite this brief therefore lyrical work in its entirety:

fW A;L re

j, j z ejj5<j A =;

&JJ9

.)VIV L

4vu

)

.

a,

..4,rzt

a.

L..t

1.

a. BSecause of our weak and hopeless (r ~, we condition were reduced to staking our life in the mortal game(O,X~J )*,IS b. Playing fairly,-we read in the dots of the die the design of. annihilation.

2.

a.

By

the

bier

of

the

world

of

decay

( A.

Pi

)

we

recited

prayers.

b. We scattered dust on the peak of the dome of decrepitude. 3. a. The whole of your history was the sword, and (at) our necks. b. We are not brave men who rebelled .r-) from the PU (rA sentence. 4. a. Like a lamp, seated to be slain at the head of the executioner's mat ( ) e16 b. With a cold wind we extinguished the lamp of the age. 5. a. For a night or two (we were) with three or four of our kindred for four or five hours. b. By seven or eight strategems we accomplished nine or ten of our desires. 6. a. With twenty or thirty griefs and forty or fifty misfortunes like a hunter's . bag ( 4 b. For sixty calamities we mourned for seventy days. 7. a. Khaqan; has, sword tongued, grieved to such a degree, b. That we have freed his body, thin as a hair fro complaining of the sword.

4;

*1 have elsewhere in this translation followed renderVil'Zevski3's ings of KhiqFnm's original Persian, but since I found some of his translations here doubtful, it seemed wiser to retranslate the poem. IRANIAN STUDIES

100

The decipherment of this chronogram is somewhiat more To begin with, in accordance with the demand of the complicated. free' both half-lines of the 'Last verse second half line we must of the of the letters contained in the phrase' .r,"'lamentation

,

.j?,

sword;

As a result,

we obtain

Li

a new verse:

3 r ceqr; Jminted coins of (his) Khqilnt tonque Let us free (his) body like a hair!'

Jv

V.,

And after

we also this of vfreeinqr the phrase have the possibility body like a hair from the second half verse, which is a mnemogran for the date if we add up the numerica'L that we obtain 7., 400+0 so-SO value of the letters contained in this phrase: i 3+ 6+ (40+J) 6+ ( 10515. This cypher designates the vear 515, the CSr>yp

year of KhAqinl 's birth. As was previously K. I. Chajkin menti-oned, suggested 514/15 as the most probable date for the birth of the poet. In this regard he proceeded from the fact that Khdaenil says, in his ode in honor of the Khw3rizmshlh Atsiz, that at the moment of he was twenty-four years old, and this ode, judging by writing, the events mentioned in it, may have been written in 539*18 Thus, K. I. Chajkin's conclusion with regard to the year of hAqini 's birth is completely in agreement with the results of the decipherment and the date of the of the poet's chronogram, birth may be considered once and for all. poet's to be established The ode in honor of Atsiz, which K. I, Chajkin used in determining successfully the possible date of Kh5q5ni' s birth, is also the starting point for fixing the date of the birth of Rashid al-din one of Atsiz's As is well known, courtiers. Vatvit, this ode of KhiqinI, written in 539, proved a poetic reply from in which there were thirty-one lines with (in accordance Vatvit In the thirty-first line of KhAqanil's message Vatvl 's age). it that is noted at the moment of writing this to Valvrt, answering message, KhAqinx is twenty-five years old and Vatvat thirty-one, is six years older than Khagqnt.19 the and that the latter Thus, it is established birth date of KhlqAnI having been determined, that the date of Vatvlt's birth is 508-9. from his

The second chronogram is contained most famous prison elegy:20

)J O; LfJJj-6 J -a

s 1

)

-5 )1^

)

in the

following

line

X

and they may not be joined, "Gold is composed of two letters, it be possible How then will to join them to my solitary heart."21 101

SPRING-SUMMER 1969

nogram is

As is so typical with connected to a second a;

'The lettersi,i,,

4.

Khaqani, the solution readinq of the first J

land Ld,'-'

A

fell

out,

of the chrohalf-verse: ,

. Jjj,

join them with

and

the numerical value of these letters Tallying gives us: j 7+j 200+ v 4+ L8+ J 200+-.80+ 5+( 40+ 3 4+) 6, 554 A. [. --the date of Khaqani 's confinement in the prison where he wrote his 'prison elegies." This date is of interest not only for the biography of Khaqani, but also for the clarification of a number of facts about the history of Shirwan. The point being that Kh5qn'l, having performed his first hajj in 551, returned to his homeland in 552. Shortly after his return from the hajj, bemoaned the death KhaqanI of his patron the Shirwanshah ManUchlhr, and then found himself in prison. Consequently, the most likely date for Manichi hr's death can be taken to be 553 A.Hi., as was pointed out by K. I. Chajkin.22 v)).

With that it would be possible to bring the analysis of the chronogram under discussion to a conclusion, if it were not for the fact that it possesses one other peculiarity which is extremely characteristic of KhSqani . That is, if, having determined the date of KhAqAnPLls imprisonment by means of the first we will half-line, be obliged to establish the relationship of this date with 'my solitary heart," as this half-verse requires. To do that, let us add to 554 the numerical value of this phrase, which equals 565, and also the age of the poet,23 which by the time of his imprisonment was 40. Thus we obtain the number 1159, the year which by the Christian calendar is equivalent to 554 A.H1. Curiously enough, this date is calculated by a very simple system which is valid only for the years nearest to this date: in the next year, 55, the year from the death of Christ was obtained by means of doubling the Muslim date and adding 50, that gave 1160; in reading forward from this date, it was necessary to take the doubled Muslim date, and each year diminish by one the number added (49, 48, 47, etc.), and reading backward to increase by one the number added (51, 52, 53, etc.). We well know how strong Christian elements are in the poetry and world view of Khaqan;, who asserted, not without pride, that "like Jesus Christ he was the son of a carpenter." In several places in Khaq3n1 's divan the name of Jesus Christ is encountered several times more often than that of Muhammad. Therefore, by itself the appearance in a chronogram of a Christian date ought not to surprise us. Consideration of the present case suggests another: that of basing chronology on the birth of Christ--a phenomenon of great rarity during this epoch in the majority of Christian nations, including Georgia which was a neighbor to Khiqini' s homeland. Chronology was usually calculated from the creation of the world or according to the Byzantine systen of So much the more interesting indices. that we repeatedly find dates in Khaqinl that are based on the birth of Christ. In particular, according to this system of dating, there is first his ode in honor of Manuel Comnenus,24 which is completely filled with Christian reminiscences and New Testament citations, and which was IRANIAN STUDIES

102

to in 1168 A.D., during that period when it corresponded written 564 A.H. (that is, between 5 October and 31 December 1168). to Manuel's cousin and Second, there is the fragment addressed Andronicus Comnenus, with the news of Manuel's rival, political I intend to dwell in greater death and a chronogram of its date. dates in with the Christian connected on those questions detail work, their significance in the poet's KhZqinL's chronograms,.and let us note by way of general in a special study. For the present, of chronograms for the clarificathe great importance conclusion poet and for the dating of of the medieval tion of the biography encoded that his works, but also that they have been so skillfully of the researcher. they escape the attention

NOTES

Persan du XIIe siecle," t. V, 1865, p. 296-367.

1.

'Memoire sur Xhacani, poete N. Khanikoff, t. IV, 1864, p. 137-200; J. As., VI serie,

2. 3.

1875. SPb., Xakani. Cetverostisija K. G. Zaleman, l BSOAS, 1945, Comnenus, V. Minorsky, 1Kha(qnT and Anaronicus XI--3. a bibliography also cf. 1935: Nezami. Rustaveli. Xakani. L., of Die works of Ju. N. Marr. biografii dat Xakani. nekotoryx K ustanovleniju K. I. Chajkin, Rustaveli. Nezami. Xakani. Cb. 1 v, r ' A' i1 I l> 151 r, The inscription reads:J.,;l urno~~~~5 av25 "P s;_ Je_ n W

4. 5.

6.

7.

8. 9. 10. 11. 12. 13. 14.

15.

whose correctness about date was the sole this As it happens, had his doubts. K. G. Zaleman 1857,' 8-20 avril a M. Dorn. Tabriz 'Lettre N. Khanikoff, XIV, No. 23, col. de S Pb., de l'Acad. et phil. hist. Bull. 353-76.I - t d JL"-0! , p. 317 for typical Cf. Shams al-qays, which have been thus interpreted. exameles of letters p. 39. ed. Abd al-rasfili, Divin. Shirvani, Khaqani p. 240. 1874. SPb., Kapij. B. Dorn, p. 27. cit., inio. K. I. Chaj p. 24. Ibid., I., p. 31. of the the editor to this With regard verse, Ivan, p. 284. 550 by the abjad the year - f-is in a note; writes aTva that it signifies t 500, 0 50; but many have written system: as i', it is recorded and in the commentary the year of the pig, 556.is, that backin round of play the last decisive game,n C).'-Pmortal to recoup and wishing lost all having gammon, when a player, his oppothis In case, his head or hand. pledges losses, his must that is, to win the round, in order j-nent must get ) and on the board ( i in sequence six of his counters place of movement. of the possibility his opponent deprive by that characteristic are highly the game of backgammon Images-from not in their and are used by our poet poetry, of Khiqini's 103

SPRING-SUMMER 1969

for example, but in their figurative sense. literal Consider, this line from the ode in honor of Andronicus Comnenus: 'I am KhAqAnL, with Where

shall

I place

my soul made prisoner in the shishdar of your separation. my counter,

for

I have

square?' or this

one in the

tarji

A.0J

Jus

band on the death cp-

18. 19. 20. 21.

22. 23.

273)

Ju$

v

you in the mortal game. which remains after orbit, you.'

17.

p.

of Manuichihr:

COAJD-

'The gambling moon defeated But it disfigures its lunar

16.

no open

(divan,

(dlvin,

p.

542)

This poetical than an discourse concerns events more serious unsuccessful game of backgammon. which took These events, place in the troubled times between the death in 553 of the to the throne of Akhsitan ShirwRnsh3h Manuichihr and the accession in 557, lead (h1q3nL:, who took active part in them, to jail. Not by chance, at the conclusion of another and also little known 'prison elegy' which was also written after his release from prison, the poet, speaking of the accession to the throne of Akhs-tan, does not at the same time hide his joy on the occasion 'of the murder of Khiqunt's blood enemy.' (d;vvan, p. 73) t4;A leather sheet on which executions are performed, and also a chess or backgammon board. DlvFn, p. 805. The first half-verse of the last line has the place of .jf.4 which also gives, as A. N. variant.'.p,S)in Boldyrev has drawn to my attention, a satisfactory context, 'KhAqAni sharpened like a hair the sword of his tongue...' If we prefer this reading, then, of course, it would be necessary to reject the decipherment of the chronogram offered below, and to offer a more simple variant of its solution which would give the same result: to 'free' ingeniously the second half-verse of the phrase & J 4 However, the first solution, constructed on the multi-meaninged verse, in which the chronogram is included is more characteristic of Khiqinl's work. K. I. Chajkin, op. cit., p. 15, and p. 195. Divin, p. 30-33. The first portion of this elegy was translated into Russian by A. N. Boldyrev. See 'Dva Shirvanskix poeta, Nizami i Xakani.' Pam2atniki epoxi Rustaveli. L., 1938, p. 134-6. Divan, p. 329. Such a reading of the given verse, which was suggested by 0. I. Smirnova, is irreproachable with regard to meaning, but is grammatically awkward and unusual for so subtle a master of words as Khiquni. This is indirect evidence that Khaq3n! was bound to the second reading which is necessary for a chronogram. K. I. Chajkin, o p. 30. cit., Court Polisher to Nior al-din Sh3h& Muzafar Mul)ammadibn Yiisi, al-din discusses Shih, in particular such a device--that is, the addition of the age of the poet or addressee to the number

IRANIAN STUDIES

104

24. 25. 26.

4,-i Ari,Yc'"'A his composition in a chronogram--in contained See also the above mentioned corresponp. 118. (Tehran 1320), dence between Vatvat and Kh5q3n1 in which the age of the plays such a large role. addressee verse of the given ode, which The sixteenth Divan, p. 19-25. attracted has repeatedly a chronogram, within itself contains to Ju. N. Marr. from N. Khanikoff of scholars the attention a chronogram, is which contains The last verse, D;van, p. 662. form. here given in a distorted has suggested I have recently that M. S. Sultanov learned for the chronogram with the date of the another solution its for C,LJ He substitutes the Russians. victory against throne, " the numerical value i"throne," "heavenly synonym 3f is quite per570. In theory such a solution of which equals as Kh5q5nl is insofar but in the given context, missible, monarch, L, may not be used his enthroned directly addressing an attrithrone"--characteristically in the sense of "heavenly Such a double entendre might cost monarch. bute of a deceased tl.e makes possible However, this device a court poet dearly. chronogram. of another and more nearly tvyical decipherment . j U, In the poem "Gift of the two Ira7 s,( rL- a, J,,.. to in the chapter devoted r JX , . ' f l o I w. 6 I Kh5q5nl, addressto the throne, Muhammad's ascension eulogizing to the latter, says: ing himself 'The noble date which is on the date Rose (there)

of the heavens, of your birth."

is completely . synonymous with L)" In this context, vS>, really Khaq5nI is here naming 570 as the year of Muhammad's Consequently, to It is impossibie But by which system of chronology? birth. for it was established to the Hijra, this year relative indicate calendars The Iranian and Byzantine after Mu)ammad's birth. to the age of according with him were calculated contemporary Arabs of the pre-Islamic The chronologies the ruling monarch. the same character. Of the fact that at this were of exactly of the earth" had from the "creation time the seventh millenium There thus line. the poet speaks in the subsequent passed, And, based on the birth of Christ. remains only the chronology first year of the Hijra-from 622--the if we subtract in fact, tradition to the most widespread the 52 years which according Tashkent, (cf. Abu Rlh3n al-B!rUn-1, Izbrannye Proizvedenija, 1957, t. 1, p. 139) Muhammad had lived up to this time, we in the chronogram of 570 A.D. as the the date indicated obtain be doubted that the decipherIt can scarcely date of his birth. lost because of which was subsequently ment of this chronogram, shifted was mechanically by later Muslim comits singularity, in form which also concurred in the to one closer mentators value of the chronogram with the date of the victory numerical this later tradihas followed Mr. Sultanov over the Russians. tion. 105

SPRING-SUMMER 1969

BOOK

REVIEWS

The Cambridqe liistory of Iran, Volume I, The Land of Iran. Edited by 14. B. Fishier. Cambridee University Cambridqe: 1968. Press, xix +784 pp., maps, biblioqr., index. $12.50. PAUL W. ENGLISII The Land of Iran is the first of a projected eight-volume of the Fistory, of Iran reconnaissance and civilization culture, subsidized by the National Iranian Oil Company and Cambridge University Press. The qoal of this survey is to identify and elucidate the special genius and character of the Iranian nation from prehistoric to modern times. rhis first volume provides detailed description of the geography of Iran as background for an appreciation of its historical development. The Land of Iran is composed of twenty-two scholarly essays organized systematically into three sections devoted to the land, the people, and the economic life of Iran. The natural environment of Iran (400 pp.) is treated in eleven chapters on physical geography, geoloqy, qeomorpholoqy, the oriqin of the Zagros defiles, climate, soils, hydroqraphy, vegetation, mammals, lizard fauna, and ornithology. Three essays on early man, settlement, and population are included in the section on people (100 pp.). Economic life (200 pp.) includes chapters on minerals, industrial activities, conmmunications and transport, aqriculture, water use in northeast Iran, pastoralism and social anthropology, and land Most of the authors are Europeans; native reform. Iranian scholars are poorly represented. The major

aim

of

The

Land

of

Iran

is

to

identify

the

com-

plex relationships between terrain and people (xvi), and to explain how the natural elements of location, geological structure, physiography, and climate shape the course of human activity in Iran in distinct and recognizable ways (xv). In fact, only six essays in this volume treat interactions between man and environment, and these are its most useful and convincing papers. W. B. Fisher's essay on "Physical Geography" describes the four major physiographic regions of Iran (Zagros, Northern Highlands, Eastern H?ighlands, and Interior Desert Basins) in terms of the relationships Paul W. English sity of Texas. IRANIAN STUDIES

is Associate

Professor 106

of Geography

at the Univer-

between

geography

Vegetation

and ways of life.

(Hans

Bobek)

such as stockbreeding,

considers

cultivation,

The very

brief of

the

impact

fuel

collecting,

essay

on

human activities

and charcoal

disde Planhol Xavier of vegetation. on the structure burning defining in Iran, of settlement and ecology the history cusses in terms of environmental habitation and rural types of nomadism on aqriculThe two chapters and historical-cultural parameters. (E. Sunderland) anthropology and social ture (H. Bowen-Jones) The factors. and environmental economic historical, integrate

techof traditional agricultural a good discussion former provides in Iran; regions and agricultural land tenure practices, niques, of Iranian society division the tripartite describes the latter paper on D. J. Flower's and urbanites. peasants into nomads, one of the most insightrepresents Iran" "Water Use in North-East to be irrigation of Iranian systems discussions ful integrated found in the literature.

of organization however, the systematic By and large, in tradition of the British this volume, which is characteristic of geographitreatment ecologic a genuinely precludes geography, of at a variety The essays are written in Iran. cal processes the volume fragleaving and abstraction of generalization levels fauna lizard essays on Iran's highly specialized Detailed, mented. drainage of transverse the geomorphic history (S. C. Anderson), and Iranian ornithology in the Zagros (T. M. Oberlander), basins to the aims and audience Read) are remotely connected (S. Jervis importopics of critical several Simultaneously, of this volume. The history are not included. and Iranologists tance to historians urban shifts of Iran, patterns in of trade and communication use and of population centers through time, and chanqing resource The brief, at all. or not superb in Iran are treated tanqentially of sources on Iranian historical discussion qeoqraphy (Judith Brown) exception. is a refreshing on

the

The regional

Land of Iran environments

should have included of Iran written by

chapters integrated Iranian geoqraphers

an6 terrain climate, Soils, scientists. and social hvdroqraphy, but separately A from one another. professionally are treated information essays based on the qeological series or regional map and air photography coveraqe by NIOC, the detailed generated and data on agriculture Institute, Cartographic of the National studies in Iranian ministries, and population available irrigation InResearch in the essay by J. Behnam) by the Social (represented a more intimate have and penetrating produced might stitute glimpse work at in Iran. processes of the geoqraphical The Land of Iran is an encyclopedic collection In summary, volume be used as a reference by which will essays of academic It may be that a better culture of this particular students reqion. at this of accomplishment book is impossible more useful integrated, will remain the basic this Until such time as one is written, time.

source

book on Iranian

geography. 107

SPRING-SUMMER1969

The Cambridge History of Iranc Volume VI The Saljuxj and M4ongol Periods. Cambridge University 1968. Press, Edited by J. A. Boyle, Cambirdge: + 763 pp., maps, tables, index. bibliog., xiii $12.50. AKIN BANANI and rely who have come to respect For students of history as monuments of summation and synupon various Cambridge histories is cause for into new fields of this series thesis, the expansion the appearance of of Iranian history For students jubilation. eight-volume volumes 1 and 5 of a projected Cambridge History of not only an attempt at Iran is doubly welcome for they represent Many of to fill a vacuum. effort summation, but also the first volume are inherent the strengths and sthortcomings of the fifth is imposed by Since the duality in this dual nature of its aim. of Iran, muclh of the blame for the in history the state of scholarship of its from the shoulders of this volume is lifted shortcomings of the perspective. But let there be no distorting Before authors. of all the things which this book is not, we proceed to an analysis tile worth and avow, with gratitude, let us affirm its undeniable owes to enormous debt that the community of Iranian scholarship the editors and the Press, the Syndics of the Cambridge University of There is now in historiography to this enterprise. contributors at least a landmark and a point achievement, Iran, if not an ultimate of departure. of J. A. Boyle supervision That volume 5 under the editorial The pertia vacuum there can be no doubt. in filling has succeeded in the state of scholarship the present is---given nent question the possible standards of cohesion, has it attained stmmiafield, no. must be a qualified The answer, regretably, tion and synthesis? The main reason for this seems to be the lack of a general and in a histhat one expects framework and policy editorial integrated of the Since volume 5 is the first work of this nature. torical whether to ascertain volums to come out it is difficult historical framework is due to non-sequenthis absence of an overall historical In case there any this volume. to or is peculiar tial publication given for a unitary or epochal is no explanation or justification One in Iranian history. of the Saljuq and tlongol periods treatment divia convenient and reasonable that it represents must conclude there is no evidence Furthermore, sion of time spans and volumes. as to what is covered in this of editorial policy or consensus correlation volume and what is left out; nor as to the proportion, It appears that contributions of what is covered. and integration on elsewhere who had already written from scholars were solicited but there is no further evidence of any collatheir special fields, the present volIn this respect among these contributors. boration and is, essentially, a ume is unlike all other Cambridge }{istories Nor is the selecarticles. of selective encyclopedia historical the whole. Thus, for example, indicative of a conceptual tivity "The Exact Sciences in Iran under the Saljuqs final chapter entitled of natural omission serves to point out the glaring and Mongols,' The encyclopedic immusic, etc. sciences, medicine, philosophy, the volume in that the basic of is pression heightened by strength An-in Banani California,

is Professor Los Angeles.

IRANIAU STUDIES

of Hiistory 108

and Persian

at the University

of

it represents--in at the frontiers contains volume characteristic and not enough

findings most recent chapters--the most of its the As such, fields. in the respective of research is of the kind that information too much detailed research, of first-hand to reporting essential of-and history. of an analytical of the elements

an exhaustive review to offer of this the scope It is beyond 5 of that comprise volune one of the ten chapters of every critique are divided seven chapters The first of Iran. Hlistory The Cambridge and socio-economic to one each on the political-chronological, respectively; and Mongol periods in the Saljuq conditions religious The last Isma' ll state. to the Niz3r! devoted the odd chapter with phenomena, treatment of cultural a partial represent chapters three and arts the visual only), (in Persian writers and prose poets i.e. centuries. in the same three sciences the exact of the Iranian lHistory and Dynastic 1, "The Political Chapter vihose preC. E. Bosworth is by Professor 1000-1217)," (A.D. World Ghurids Tahirlds, the Ghaznavids, with had dealt publication vious his constitutes therefore, chapter, The present and Saffarids. and Khwarazmshahids, of Saljuqs period the perilous into voyage maiden comprethe first It represents it is. excursion and an auspicious and complicated of the tortuously at unravelling attempt hensive in any of the period history and dynastic political overlapping extant the all of virtually on examination and it is based language, preoccupaexhaustive of this because Precisely and known sources. dynasof every and registration identification discovery, with tion it is occasionworld, of the Iranian corners in various tree tic of In defense the contour of the fbrest. to recognize difficult ally Bosworth Professor that it must be said approach this unassimilated backof a factual to be the providing his task conceived probably to touch it necessary But he finds chapters. drop to the subsequent nature, and ideological of institutional generalities upon certain where certain generalizations from interpretive yet he refrains of the on the "origins" Dwelling demand it. and events problems lost facto and apparently of an ex post on the basis Saljuqs--and the basic to obscure atthat--tends such as the Malik-ndme' source misrule the intolerable namely in Khorasan, success of Saljuq cause is of Nizam al-Mulk The assassination of Mas'uid and his appointees. of event as the focal to emerge and it fails too summarily treated The divan vs. succession. for Saljuq struggles the concentric that were the polarities and the central-anticentral tensions dargah have himself Did Malikshah of Saljuq history. dynamics fundmental the chronothat It seems also a hand in the murder of his vazir? the role, to diminiish schleme tends logical-dynastic-territorial a receiving of Sanjar. Despite and responsibility personality, actor the more as supporting leading he emerges treatment lengthy The history. that he is in Iranian figure rather than the central attention the idealizing to capture of the man who managed paradox did so of character and whose flaws world cultural of the Iranian is not taken of thiat world and security the defense much to destroy inevitIt is perhaps history. Saljuq theme of late up as a major but none be open to some criticism effort able that any pioneering of our debt to the grateful lessen acknowiedqement of it should is valuable Bosworth. chapter part of this Professor N4ot the least

109

SPRING-SUrUl11H1969

in-

the information provided on minor provincial and dynasties a dimension in Professor that is curiously lacking Boyle's on the dynastic and political of the Mongol period. history

rulers, chapter

2 is written Chapter A. K. S. Lambton and is by Professor called, "The Internal of the Saljuq Structure Hier eminence Empire." in the community of historians of Iran and the value of her contributions to the field are too generally known and appreciated to require And it is with reiteration here. explicit acknowledgement of those contributions, amply reflected in the present chapter, that I limit here to offering myself of a general criticism. Needless to say it is her penetrating that makes these scholarship critical observations The chapter possible. suffers from a failing all too common in the works of many historians, namely succombing to the tyranny of written With all sources. the judiciousness and thoroughness of the authior in handling of her sources, it is difficult to escape the impression of thie internal structure of the Saljuq empire as Nizam al-Mulk hiave wishied might it to be and not as it was--certainly not as it was for any length of time. Essentially it is the values, objectives and schemes of the orthodox rluslim-Persian-urban-centralist-civil-financial-bureaucrataristocrats that are reflected There can be no doubt that hiere. for a short and by adroit span of time, manipulation, Nizam al-Mulk made his schemes work. But to idealize that and brief precarious balance and to present it as a more or less static model of the internal structure of the Saljuq is to submerge the all-important empire tensions of divan and dargai and to cloud the reality that preponderance of power gravitated to the military There institutions. can be no more revealing indication of the ultimate failure of of control Nizar, al-Mulk than the loss of iqt ', the very lynchpin of his tenuous At any rate, that the forces structure. of dargah emerged triumphantly is a fact. To have viewed the dynamics of that struggle from the vantage of the divan is to have intensified the and accidental catastrophic nature of-that fact. If Professor Lambton's contribution suffers from too muclh reliance on paradigmnatic sources such as th1e Six;sat-IJamL, then Professor Bausani's two chapters on "Religion in ttc and Sal juq -Period" 'Religion Unider the Mongols," suffer from reliance on the wrong sources such as the Tabsirat al- 'I,w_an. His approach to the problem of religion in tiTese chapters is basically territoral distribution of sects. One would expect that the purpose and value of a confessional atlas in a volume of history such as this would be in of the socio-historical relating causes and consequences of those patterns of distribution, butthie author chooses not to delve into that discussion. Lven for th-e purpose of a descriptive panorama it is curious that he shoulcd have put so much confidence in a source that is little more than a thinly disguised sectarian polemic instea& of turning to the much more reliable genres of geographly, travel and local history. Thle odci thing is that Professor Bausani is fully aware of the confusion and unreliability of the Tabsirat al-'Awr.m yet lie allows himself to be misled by it. Thus, For example, in discussion of the sh'i ' sects in Iran lht speaks of tihe IPRAHIANiiSTUDIES

110

Nasiris

who were

the are Islamic

well-known Iranian

of

condition

the

of

discussion

In

Bausani.

Professor

is

Jews

the

under

we

Ilkhans

made by misinterpretation speak of the rise and fall as well, al-Din Fadl-Al.lah in the power and influence

of a come across a reverberation To in his Die Monoglen in Iran. only SaT' al-Dowla but of Rashi