actaantiqua_28 (1980)

8/15/2019 ACTAANTIQUA_28 (1980)

http://slidepdf.com/reader/full/actaantiqua28-1980 1/565

ACTA ANTIQUAA C A D E M I A E S C I E N T I A R U MH U N G A R I C A E

A D I U V A N T I B U S

I. BO RZ S Á K, I . HA HN ,Z S . R I T O Ó K , Á. S Z A B Ó , S . S Z Á D E C Z K Y - K A R D O S S

R E D I G I T

J . H A R M A T T A

T O M U S X X V I I I F A S C I C U L I 1 - 4

AKADÉMIAI KIADÓ, BUDAPEST

1 9 8 0

ACTA ANT. HUNG.

8/15/2019 ACTAANTIQUA_28 (1980)


ACTA ANTIQUA

A JO U RN A L OF T H E H UN GA RI AN ACADEMYOF SCIENCES

Acta Antiqua publish pa per s on classical philology in English , Ger man, Fron ch, Russi anand Latin.

Acta Antiqua arc publi shed in yearly vol um es of four issues by

AKADÉMIAI KIADÓ

Publishing House of the Hungarian Academy of SciencesH-1064 Budapest, Alkotmány u. 21.

Manuscripts and editorial correspondence should bo addressed to

Acta, Antiqua

H-1303 Budapest P.O.Box 24

Subscription information

Orders should be addressed to

KULTURA Foreign Trading CompanyH-1389 Budapest P.O.Box 14(1

or to its representatives abroad

Acta Antiqua is indexed in Current Contents

8/15/2019 ACTAANTIQUA_28 (1980)


ACTA ANTIQUAACADEMIAE SCIENTIARUM

H U N G ARI CAE

A D I U V A N T I B U S

I. B O R Z S Á K , I. H A H N ,Z S R I T O Ó K , Á . S Z A B Ó , S. S Z Á D E C Z K Y - K A R D O S S

R E D I G I T

J . H A R M A T T A

T O M U S X X V I I I

шAKADÉMIAI KIADÓ, BUDAPEST

1 9 8 0

ACTA ANT. H UN G.

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


INDEX

P. Daffinà : On Ka sp apy ros and the So-Called 'Shore of th e Sey thi ans ' 1 H. W. Haussig : Die ältes ten Nachr ich ten der griechischen un d lateinischen Quellen

über die Ro ut en der Seiden straße nac h Zentr al- un d Ostasien 9 B. A. Litvinskiy—I. Ii. Pichikyan: Monume nts of Ar t fr om the Sanctu ary of Oxus

(Nor ther n Bact ria) 25 I. Borzsák: Zentralasiatischc Eleme nte in dem Ale xand err oman 86В . Staviskiy : Kara Tepe in Old Termez. A Buddhist Religious Centre of the Kushan

Per iod on th e Ba nk of the Oxus 96 J. Wolski: Les sources de l 'époque hellénistique et parthe de l 'histoire d'Iran. Diffi-

cultés de leur int erp rét ati on et prob lème s de leur éva luat ion 137F. A. Davidovich : The First Hoar d of Tetr adr ach mas of the Ku sä na 'Heraios' 147

I. Gershevitch: The Colophon of the NO KO NZ OK In sc ri pt io n. .' .. ' 179 J. Harmatta : Kid ar a and the Kidar ite Hu ns in Kaém ïr 186Ph. Gignoux: Titr es et fonct ions religieuses sasanides d'a pr ès les sources syri aque s

hagiographiques 191 A. D.H. Bivar : Questions of In te rpr et at ion in the Insc rip tion s of the Sasania n Seals 205K. Czeglédy : Zur Geschicht e der He pht hal ite n 213

M. Grignaschi: La ch ute de l'Emp ire He pht ha lit e da ns les sources byz ant ines etperse s et le problème des Av ar 219 I. Ecsedy: We ste rn Tur ks in No rth er n China in the Middle of th e 7th Cent ury 249 Bo Utas: The Pahlavi Treatise Avdeh и sahikèh г Sakistän or "Wonders and Mag-

nificence of Sis tan " 269 M. Matóth: Die Xa la g in den ara bis che n Quellen 269 I. Gershevitch: The Bac tri an Fr ag me nt in Manich ean Scr ipt 273 I. Gershevitch: Be au ty as the Living Soul in Ira nian Manischeis m 281W. Sundermann: Prob leme der Int er pre ta tio n manichä isch-so ghdisch er Brief e. . . . 289

M. Maroth: Ptole maic Elem ents and Geographical Act ual ity in al-Çuw ârizm ï'sDescri ptio n of Cent ral Asia 217

I. Fröhlich : Historiographie et aggada dans le Liber Ant iqu ita tum Biblicarum duPseudo-Philon 353

T. Nagy: Die zwei Ner atii Prisc i und Ner ati us Prisc us der Ju ri st 411

Cs. Töttössy : The Var ian ts of th e Fr am e Story of the Su ka sa pt at i 437t J . H or vá th (7. oct . 1911—3. fév. 1977). (J. Harmatta) 466D. D. Moukanos: 'O TQCITIOÇ TOV elvai rwv fiaihj/iarixwv âvrixei/iévœv xaxà róv П М х с о г а

xal róv 'Agiaxoxéhrj (Ree. Á. Szabó) 469R. Liver: Die Nachwirkung der antiken Sakralsprache im christlichen Gebet des

lateinischen und italienischen Mittelalters. (Ree. I. Boronkai) 460

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


1 P. DAFFINÀ

ON KASPAPYROS AND THE SO-CALLED'SHORE OF THE SCYTHIANS'

This paper has no claim for saying anything substantially new. Its aimis just to recall a few facts that strangely enough have been completely over-looked by recent writers on the subject.

It is well-known that Kaspapyros is mentioned in ancient literature only

three times : once by Hecataeus of Miletus and twice by Herodotus. Later on,towards the end of the first century A. D., the Periplus of the Erythrean Seamentions the vànôoç r\ Karrvßovoivrj.1 As KarrvßovQlvrj does not make any sense,Carl Müller proposed to correct it into *KaananvQt]vrj, while Herzfeld suggestedthe reading *Kan(n)aßovQlvrj? Bot h te rm s were unde rstoo d as adj ect iva l for msfrom * Kaspapura or *Kappavur(a), th e supposed In di an original of GreekKaspapyros. This would then be a fo urt h mentio n of, or ra th er allusion to t h a tcity, but it only rests on conjectural emendations.

For their information about Kaspapyros both Hecataeus and Herodotus

depended on the now lost Periplus of Sk yla x of Ka ry an da . According to Hero -dotu s, Sky lax and others were en tr us te d by King Dar ius with the tas k of ex-ploring the Indus down to its mouth. They did it and «voyaging over the seawestwards, they came in the thirtieth month to that place whence the Egyptianking (i.e. Pharaoh Nekho, 610 — 595 B. C.) sent the Phoenic ians afo remen -tioned to sail round Libya. After this circumnavigation Darius subdued theIndians and made use of this Sea».3

Taki ng literally the words of Her odo tus , scholars hav e generally se pa ra te dthe exploration from the conquest.4 But H. Schiwek has conclusively demon-

1 Periplus, § 48 (edi ted by H. FRISK : Le Périple de la Mer Erythrée. Göteborg1927. 16). For the date of the Periplus see A. DIHLE : Umstrittene Daten. Köln—Opladen 1965. 9 — 35; Ide m: Die entdeckungsgeschichtlichen Voraussetzungendes Indien-handels der römischen Kaiserzeit, in H . TEMPORINI and W. HAASE : Aufstieg und Nieder-gang der römischen Welt. I I . 9,2. Berlin —Ne w York 1978. 570 n. 74.

2 C. MÜLLER: Geographi Graeci Minores. I. Par is 1865. 183; E . HERZFELD:Early Historical Contacts between the Old-Iranian Empire arid India. Fest. J. Ph.Vogel. Leyden 1947. 183; Idem: The Persian Empire. Wie sba den 1968. 340. See alsoH. G. RAWLINSON : Intercourse between India and the Western World. Cambridge 192ß2.16—17 n. ; J . I . MILLER: The Spice Trade of the Roman Empire. Oxford 1969. 89.

3 Hero dot us, IV. 44 (edited and tra ns la ted by A. D. GODLEY, vol. II . Lo ndon—New York 1921).

4 See, for instance, V. MARTIN : La poli tiq ue des Aché ménide s. Museum Helveti-cum 23 (1965) 43, «Ici encore l'exploration précède et prépare la conquête». Also J. I.MILLER : The Spice Trade of the Roman Empire. 248 — 252.

1 Acta Antiqua Academiae ScierUiarum Hungurirae 28, 1H80

8/15/2019 ACTAANTIQUA_28 (1980)


2 P. DAFFINÀ

strated that it could not be so and that in this case exploration and conquestwere only one thing.5

HinduS, i.e. the basin of the Indus, first appears among the provinces ofDarius' empire in the hieroglyphic portion of one of the inscriptions of Tell el-Maskhüta and, at the same time, in the hieroglyphic portion of the inscriptionsengraved on the statue of Darius discovered at Susa in 1972." According toHinz all this epigraphic material can be dated to 496 B. C., namely to a coupleof years after the completion of the canal between Nile and Red Sea whoseworks were started about 510 B. C. and finished in 498 B. C. 7 As it has alw aysappeared reasonable to connect the expedition of Skylax with the building ofthe canal, that expedition, and therefore the conquest of Panjäb andSindh, cansafely be dated around 510 B. C., or between 510 and 498 B. C.

According to Herodotus the starting-point of the expedition was the city

of Kaspapyros in the П а х т ы х г ) yrj, or land of the IJúxrvec,.8 In all the MSS. theactual reading is KaanârvQoç, to be preci se Kaanarvpov in the genitive case,with the variants KOLTIVQOV and KaaraTivoov У But confusion between pi (xaana-

TIVQOV) and tau (xacsna TVQOV) is quit e no rm al in the tran smis sion of Greektexts and as -UVQOÇ/-TIVQOV is almost cert ainly the Indi an word pur A, 'city', sothe right spelling of the name must probably have been К а а л а л ь д о д , which isthe form it has in Hecataeus as we shall presently see, and the one I will usehere throughout. Paktues and Paktuiké ha ve been the sub ject of many specu-lations into whose details it is not material to go here.10 Probably, they are ety-

mologically connected with Vedic Paktah.11 This, however , does not help to o

5 H . SCHIWEK : De r Pers isch e Golf als Sch if fa hrt s- un d See handel sroute , Bonner Jahrbücher. 162 (1962) 8—19.

•C f. W. GOLÉNISCHEFF : Stèle de Da ri us a ux e nvi rons de Tell el-Maskho uta h. Recueil de travaux relatifs à la philologie et à Г archéologie égyptiennes et assyriennes. XI I I .1890. 99—109; G. POSENER: La première domination perse en Egypte. Le Caire 1936.184—18 6 ; A. T. OLMSTEAD : History of the Persian Empire. Chicago 1948. 145 n. 42 ;E . H E R Z F E L D : The Persian Empire. 29 3 — 2 9 4 ; M . KE RV RA N, D . STRONACH, F . VALLAT,J . YOYOTTE : Une s ta tu e do Dar ius déco uver te à Suse. Journal Asiatique. 260 (1972)253 — 266 ; J . YOYOTTE : Le s inscrip tion s hiéro glyphiques de la st at ue de Darius à Suse.Cahiers de laD.A.F.I. 4 (1974) 18 1- 18 3 .

7 W. HINZ : Da ri us un d der Suezk anal. Archäologische Mitteilungen aus Iran.

N.S. 8 (1975) 115-121.8 Herodotus, IV. 44,2. See also III. 102,1.9 See critical apparatus in С . HUDE'S edi tio n, O xford 19273, vol. I, ad locum; and

in F. JACOBY : Die Fragmente der griechischen Historiker (henceforth FGrHist). I I I С . 587.10 A few bibl iogra phi cal referenc es will su ff ic e: J . MARKWART : Untersuchungen

zur Geschichte von Erän. I I . Le ipzig 1905. 119 ; H . G. RAWLINSON : Intercourse between India and the Western World. 16 n. 2; G. MORGENSTIERNE : P us hto , Pat han and theTre atm ent of r+S ibi lan t in Pashto. Acta Orientalin. 18 (1940) 141 - 142 ; H. W. BAILEY :Kusanica . Bulletin of the School of Oriental and African Studies 14 (1952) 430 431 ;R . SIIAEER : Ethnography of Ancient India. Wi es ba de n 1954. 19 n. 3 ; O. CAROE : ThePathans. London 19642. 33— 37 ; A. D. H . BIVAR : In do-Bac tr ia n Prob le ms . NumismaticChronicle. Seve nth ser ies 5 (1965) 95 n. 2 ; H . TREIDLER: Pa kt ui ké , in A. PAULY—G . WISSOWA —W . K ROLL — K . WITT E : Realencyclopädie der Classischen Altertumswissen-schaft (hereafter RE), Sup ple men tba nd X. St ut tg ar t 1965. Cols. 475 476.

11 Seo M. MAYRHOFER : Etymologisches Wörterbuch des Altindischen. II. Heidel-berg 1963. 183.


8/15/2019 ACTAANTIQUA_28 (1980)


ON KASPAPYR OS AND TH E SO-CALLED 'S HOR E OF TH E SCYTHIANS' 3

much in locating them on the map. All we can say is that as Hecataeus putsKaspapyros in Gandhära, the Paktuiké mu st have been included in th e Gan -dhäric satrapy, whatever may have been the extent of that satrapy in Darius'time.12

The position of Ka sp ap yr os along the ba nk of a wate rcour se is bey ond an ydoubt. Herodotus says that Skylax and his companions set out from the city«and sailed down the river towards the east and the sunrise till they came tothe sea».13 It is also certain that that river cannot be the Indus, but only one ofits right-hand tributaries, most probably the Käbul-rüd. This led Markwart toidentify Kaspapyros with Puskalâvatï, the western capital of Gandhära, to thenor th of the con fluent of the Ka bu l and Svá t rivers. He also expla ined the Greekname of the city with the assumption that Puskalâvatï was then called *Kusu-mapura, 'city of flower s', which thr oug h the Middle-Indic forms *Kus(u)va-

pura > *Kuspapura would hav e origin ated the Greek Kaspapyros.14 Otherscholars preferred, however, other identifications of the place and other expla-nations of the name. Sir Alexander Cunningham traced Kaspapyros back toSanskrit Käsyapapura through a Pra kri t *Kassapapura; and as К âê yap apurais an ancient name of Multán in Utpala's commentary on Varähamihira's Brhatsamhitâ, he accordingly identif ied th e city with Multán.15 His opinion wasshared by Poucher and, at first, also by Herzfeld.16 However, Professor Petechpointed out that the identification of Kaspapyros with Multán does not tallyto the description given by Herodotus, besides the fact that the mention of

Kâêyapapura as anot her na me of Mult án is not to be foun d in the ex ta ntte xt of Ut pa la , bu t only in a passage of it as quoted by al -Bï rùnï in the X l t hcentury A. D.17 Petech himself was of the opinion that Kaspapyros was tobe looked for in the neighbourhood of Atak, or perhaps at Pesävar itself. 18

The identification of Kaspapyros with Atak was proposed by Herzfeld afterhe had given up the previously accepted identification with Multán. 19 The equa-tion of Kaspapyros with Purusapura/Pesävar was due to Kramers and Olaf

12 See FGrHist, la. 365,24—26.1 3 IV. 44,2 (GODLEY'S translation, see note 3 above).14 See J . MARK WART : Untersuchungen zur Geschichte von Erän. I I . 242, 246 n. 3 .15 See A. CUNNINGHAM : Ancient Geography of India. Oxfo rd 1871. 234 ; new edi-

tion, Calcutta 1924. 267. Cf. also В . CH. LAW: Historical Geography of Ancient India.Paris, n. d. 112.

16 See E. HERZFELD : Zarat hustra. Archäologische Mitteilungen aus Iran 1 (1929 —30) 93 — 94 ; Id e m: Die Magna Char ta von Susa. ibid. 3 (19 30 -3 1) 101 n. 1; I d e m:Sakastän. ibid. 4 (1931 — 32) 10 n. 3 ; A. FOUCHER : Les sa tr ap ie s orie nta les de l' em pi reachéménide. Comptes rendus de l'Académie des Inscriptions 1938.347—348; Id em : Lavieille route de l'Inde. П . Pa ri s 1947. 194, 198, 215 n. 6, 252.

17 See L. PETECH: Northern India according to the Shui-ching-chu. Ro ma 1950.67 and footnote 1.

18 Ibidem.19 E . HERZFELD : Ea rl y Hist oric al Con tac ts betwee n the Old-Ir anian Em pi rean d In di a. 182—183 ; Id em : The Persian Empire. 340.

1* Acta Antiqua Acaderr.iac Scientiarvm Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


4 P. DAFFINÀ

Caroe.20 But neither Atak nor Pesâvar suits Herodotus' words any better thanMultán did, since Herodotus says that in the first part of their voyage Skylaxand his companions «sailed down the river towards the east and the sunrise»,and this can only refer to a right-hand tributary of the Indus, most probably

the Käbul-rüd.2 1

Writing a few decades earlier than Herodotus, but drawing from the samesource, Hecataeus put Kaspapyros in Gandhära ( Kaonânvgoç, nofoç Г а х Ь а с н щ )

and glossed the statement with the words Zfxv&cbv ôè ctxrrj. I purposel y s ay gloss-ed because quite certainly the words Zxv&œv ôè âxxij do not go back to Skylax,but are Hecataeus' own words explaining the location Kaspapyros had on hismap. For Hecataeus' Periegesis was not hin g else bu t a description and ex-planation of a map and cannot be understood unless one constantly bearsthis fact in mind.22

Hecataeus' Kaspapyros fragment has been handed down to us by Stepha-nus Byzantinus whose MSS. do not supply, in this case, any variant reading. 23

The term akté is not met with elsewhere in the extant fragments of the Peri-egesis, but afewexamples of its use can be collected from Herodotus. In a num-be r of cases (IV, 38 ; 39 ; 177) akté simply indicates a tongue of land projectinginto the sea and in IV, 41 it is applied to Libya : f\ àxTt) fjrtg Atßvrj xexkrjxai.In other passages akté is, more in particular, a headland, a promontory (evena roc ky one), a cap e (VII, 33 ; 34 ; 183,3 ; 188, 1; 191,2; I X , 120,4). It s secondmeaning is that of 'coast', 'shore' (VII, 45 ; VIII, 95 ; compare Latin acta) and

in this sense akté is also found in proper names of seaside places, such as Katyâxrrj in Sicily (VI, 22,2 ; 23,2) and Aevxrj àxrrj in Thrace (VII, 25,2). Addition-al meanings, semasiologically related to those attested by Herodotus, as forinst anc e 'ri ver -ba nk' an d 'edge', can be easily de tected in passages of o the rauthors and any good Greek dictionary will show them.

Now what is puzzling in the Kaspapyros fragment is the fact that thereakté is seemingly referred to not as a tract of land running out into the sea noras a river-bank, but as something related to a people : the Scythians. Of course,the oddity of this usage may be only apparent and due to our ignorance of the

whole context to which this parti cula r fr ag me nt belonged. At any ra te th a t

20 J . H. KRAMERS : Pe sh aw ar . Annual Bibliography of Indian Archaeology. XV.1950. XV II I, X X I ; O. CAROE: The Pathans. 3 0 - 3 3 and 441 n. 15.

21 H. G. RAWLINSON : Intercourse between India and the Western World. 16 —17 n . ;A. HERRMANN: Kaspapyros. RE, X, 2. St ut tg ar t 1919. Col. 2270, 5 2 - 5 6 ; FGrHist,la, 365,21 — 23 ; H. SCHIWEK : Der Pers ische Golf als Schi ffahr ts- un d Seeh ande lsr out e.12 — 13.

22 S e e F . J A C O B Y : H e k a t a i o s . RE, V I I . S t u t t g a r t 1 9 1 2 . c ol s . 2 6 6 7 — 2 7 5 0 ;L. PEARSON: Early Ionian Historians. Ox for d 1939. 28 ; FGrHist, la . 328, 47; H .BENGTSON and V. MILOJŐIÓ : in Grosser Historischer Weltatlas. I . Erläuterungen. München

1 9 5 83

. C o ls . 5 8 - 5 9 .23 See Step h. Byz., Ethnicorum quae supersunt, ed. A. MEINEKE. I. Ber lin 1849.3 6 4 , 8 - 9 .


8/15/2019 ACTAANTIQUA_28 (1980)


ON KASPAPY ROS AND TH E SO-CALLED 'SH ORE OF THE SCYTHIANS' 5

should have been a warning against any hasty solution of the problem. But itwas not so.

Une mba rr asse d by th e aforesaid difficult ies, Ma rk wa rt of fered a q uit eplain and easy interpretation of Hecataeus' words. To him it was a matter ofcourse that Kaspapyros being the starting-point of Skylax' voyage, Zxvdotv ôèâxrг ) could only me an 'coast of the Scyt hians' or ra th er 'Saka s'. For 'Sak as'Markwart meant the Sakä Haumavargä whom he located between Gandhäraand Bac tr ia. The conclusion which followed was obv iou s — «Der Ausd ru ckâxrrj . . . hän gt wohl da mi t zusa mme n, daß hier die Sch iff ahr t auf dem In du sbegann und jene Stadt ein wichtiger Stapelplatz für den Handel zwischenIndien und den Ländern im Norden und Osten des Hindukus und Pamir,den die Saken vermittelten, war».24 In this way Kaspapyros was promotedto the rank of an important riverine port, without taking into account that

since then it was never heard of again and completely vanished from thescene of history, which is indeed an unusual lot for a wichtiger Stapelplatz. Lessthan two centuries later, Alexander did not meet with Sakas or with traces oftheir past presence on his way from Bactria to India, nor he found in Gandhäraany such riverine trading-station as the one conceived of by Markwart. None-theless, the legend spread on Markwart's authority that in the Vlth centuryB.C. Saka tribes were settled in North-West India and were facing Kaspapyrosfrom the other side of the river. So Kaspapyros could be called by Rawlinson«a frontier city of Gandhära, on the Scythian borderland». 25

Widely accepted as it was, this view, however, was not shared by allscholars. Those better acquainted with historical geography, as for instanceAlbert Herrmann, openly rejected it. According to Herrmann, the expression Hxvûwv ôè âxríj could not be underst ood in the context of th e fragm ent and ther e-fore, he regarded the correction of âxrij into am írj pro posed by Wilhelm Sieglin,as th e only possible solution.20 Now the adjective âvrlog ( -rj, -ov), with its adver-bial form àvrlov, has a well defi nite meanin g in Greek geograp hical ter mino log y.To use Wikén's words, «Durch àvrlov und dergleichen wird in der geographi-schen Terminologie immer der Wohnort jenseits eines scheidenden Wassers

bezeichnet».27

This statement can be aptly illustrated by three examples alsotaken from Herodotus. In I, 202 the people of the Massagetae, to the north ofthe Araxes, is said to be àvrlov, t ha t is to say opposi te to the Issedones. I n I I ,34,1 Egypt is said to be approximately àvrh] to mountainous Cilicia, while in

24 J MARKWART : Untersuchungen zur Geschichte von Krün. I I . 140, 242.25 H . G. RAWLINSON : Intercourse between India and the Western World. 17.2 4A. HERRMANN : Kasp apyr os «Unverständlich i st hi er der Au sd ruck : Exvdwv

àxx ) . . . Sinngemäß wird der Satz erst, wenn wir mit Sieglin das Wort àxxr'j in âvxlrjverbessern».

27 E. WIKÉN : Die Ans ich ten der Hollenen über den No rd ra nd der Oikuinene vorPytheas. Fest. M. F. Nüsson. Lu nd 1939. 549.

Acta Antiqua Acadcmiae ScierUiarum Hungaríoae 28 , 1980

8/15/2019 ACTAANTIQUA_28 (1980)


6 P. DAFFINÀ

II, 34,2 the city of Sinope is said to lie âvriov to the mouth of the Danube whichaccording to Herodotus was to be found on the northern coast of the Black Sea.It is clear that in each of these three cases àvrioç or âvriov serves to locate twogeographical points along a north to south vertical or, as we would say, on the

same meridian, without implying by that any close proximity between them.They are in fact far away from one another and separated moreover by a waterwhi ch in th e first examp le is the Caspian or Hy rc an ia n Gulf conceived a s elon-gated towards the east, in the second one it is the Mediterranean, in the third onethe Black Sea28 In accepting Sieglin's correction Herrmann was well aware ofthis particular value of âvrioç and accordingly he believed that the Scythiansand Kaspapyros were facing one another in a north to south direction. Not evenin this case, to be sure, was any close proximity implied, since for Herrmann theScythians of the fragment were not the Sakas of Central Asia, but the regular

Scythians of South Russia. According to him on Hecataeus' map Scythiastretched east till the point the Caspian Gulf joined the great outer sea, so thatGandhära was actually to be found right to the south of Scythia. But let usquo te Herrma nn's own words — «nach der Hekataioskarte unter den gegenüber-wohnenden Skythen nicht die Saken . . . , sondern tatsächlich die Skythen zuverstehen sind, da zwischen Gandhära und den Skythenlande der KaspischeMeerbusen zu denken ist».29 And aga in — «Wenn wir uns . . . verg egen wärt igen ,daß Hekataios das Skythenland bis zu der Verbindung des Kaspischen Meeresmit dem Okeanos eingezeichnet hat,südlich von demselben Meer aber Gandhära

und Indien, so liegt für ihn Gandhära den Skythen gegenüber. Mit den Sakaihat also das Zitat des Stephanos nicht das Geringste zu tun».30

Strengthened by Herrmann's arguments, the correction proposed bySieglin was accepted by Jacoby in his edition of the Hecataeus' fragments.In the critical apparatus he only suggested that the original reading might havebeen âvrirj xeïrai, 'lies opposite'.31 In fa ct, Sieglin's reading is ha rd ly satisf actoryunless a verb is understood after it.

Surely, Sieglin and Herrmann had come near to, but not arrived at theproper solution of the problem. To find it out, it was indeed the merit of E.

Herzfeld. Starting from the masterly reconstruction that Jacoby himself hadgiven of Hecataeus' map, Herzfeld did not think it necessary to emend the textof the fragment and read it as it is. As Markwart had done before him,Herz feld took akté in its usual sense of 'coast' or 'coast line', but at the same timepointed out that on Hecataeus' map this coast line served as a sort of parallel ;therefore the expression ZJxvûwv ôè а к т / came to mean th at Kas pap yro s had,so to say, the same degree of latitude as the Scythians of South Russia. «Das

28 On the Hyrca nia n Gulf separat ing Massagetae and I ssedones see E. WIKÉN :loc. cit.

2 9 A . H E R R MA N N : K a s p a p y r o s . C o l . 2 2 7 0 , 1 9 — 2 7 .

30 A. HERRMANN : Sak ai. RE. zwei te Re ih e I I. 1920. Col. 1772,20 — 42.31 FGrHist, IA, 38 ,1 4- 15 ; la , 365,3 9-41.


8/15/2019 ACTAANTIQUA_28 (1980)


ON KASPAPYROS AND THE SO-CALLED 'SHORE OF THE SCYTHIANS' 7

Bruchstück — Herzfeld concluded — besagt nicht etwa, daß die Skythen aneinem Meer, noch daß Kaspapyros nahe dem Sitz der Skythen lag». 32

Herzfeld's argument should have settled the question once for all, rulingout for ever any attempt to use the Hecataeus' fragment as a proof of the exis-

tence of Saka tri bes in No rt h- West In di a in th e Vl th ce nt ur y B. C. Bu t long-cherished ideas are hard to die, more so when they suit so well one's precon-ceived theories about the ancient ethnography of this or that part of the world.So Julius Junge, though writing some years later than Herrmann and Herzfeld,practically reverted to the position of Markwart, only replacing the Sakâ Hau-mavargä by the Sakä Tigrakhaudä. He did not take into account Herrmann'sargument and only cursorily referred to that of Herzfeld. Significantly enough,he felt unable to decide between âxr г / and âvrir], as if a readin g actu ally hande ddown could be put on equal level with a conjectural one. 33

In his posthumous work on the Persian empire, however, Herzfeld rightlyconfirmed his previous statement — mxrij must not be 'corrected' . . . in àvrir],for it is in Hecataeus' idiom a kind of parallel running along a coast line. Zxv&wvshows that Hecataeus' map put Scythia and Paktyiké under the same latitu-de».34 Bu t once aga in Her zfe ld' s voice was tha t of one cr yin g in t he wilderness.

Just one year after the publication of Herzfeld's posthumous book, astudy on the Sakä Haumavargä by Professor Litvinskij appeared in FranzAltheim's Festschrift. There can be read abou t Ka sp ap yr os more or less th esame things already said by Markwart and Junge. Exv&wv ôs âxrr] is rendered as

'harbour (gavan ') of the Scythians', while the emended reading Exv&wv ôè âvrir]is indifferently interpreted either as 'opposite side (storona protivopoloznaja) ofthe Scythians', or else as vorota v stranu slcifov, 'gateway to the country of theScythians'. Hence the unavoidable conclusion that since the time of the firstAchaemenids there were Saka tribes bordering on India. 35

More recently the Hecataeus' fragment has been anew examined byProfessor Tucci who also shares Markwart's and Junge's opinions, being ap-parently unaware of those of Herrmann and Herzfeld. Professor Tucci seems tobe also unacquainted with the correction proposed by Sieglin and with the dis-

cussion it raised. According to him akté «is not a port, it is a shore witheasy access, a bay» ; it indicates a «bend of the Kábul river with ample andshallow waters». Exv&wv ôè âxrrj means, therefore, «shore of the Scythians» ; towhich fatally follows the usual conclusion that, since those times, «Scythiantribes were pressing on Gandhära».36

32 E . HERZFELD : Sa ka st än . 10. Cf. F . JACOBY: He ka ta io s. Cola. 27 25— 272 6.33 J. JUNGE : Saka-Studien. Lei pzi g 1939. 32 an d n . 2, 50 and n. 5, 83 and n. 3.34 E. HERZFELD : The Persian Empire. 338 n. 5.35

B. A. LITVINSKIJ : Sakä Haumavargä. Fest. F. Altheim. I. Ber lin 1969. 118 — 119-36 G. Tu cc i : On Swät. The D ar ds an d Connected Prob lems. East and West. 27( 1 9 7 7 ) 1 6 - 1 7 .

1* Acta Antiqua Acaderr.iac Scientiarvm Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8 P. DAFFINÀ: ON KASPA PYROS AND TH E SO-CALLED 'SH ORE OF TH E SCYTHIANS'

Leaving it to professional Greek scholars to decide whether akté may beso f orced as to have th e meaning of ' b a y ' o r of 'b end of rive r with ample an dshallow waters', I would only remember that more than forty years ago Tarnhad already ironically remarked that Asia was getting very full of Sakas.37

The Kaspapyros case is an instructive one. It shows in a palpable waythat many times problems subsist only because their solution has fallen intooblivion. It also shows that to reconstruct the story of a problem is, more of-t en t h a n not, to solve t h a t probl em.

Rome.

Postscript. — Wh en this pap er was re ad on the occas ion of the T hi rdConference on the Historical Sources for Pre-Islamic Central Asia, Professor

Helmut Humbach kindly pointed out that one more mention of Kaspapyrosis provided by the Tabula Peutingeriana where between Alexandr ia Bucefalosand Palibotra a place is to be found by the name of Spatura (SegmentumXII, 3; cf. К . Mi ller, Itineraria Romana, St ut tg ar t, 1916, col. 801). Accord-

ing to Professor H um ba ch (if I right ly unde rst ood his words) Spatura shouldbe emented into caSípaíiira-Kaspatyros. This is in fact an old hypothesis andnot the only one devised to explain the place-name Spatura. Wilhelm To-maschek („Die Strassenzüge der Tabula Peutingeriana", Sitzungsberichte derWiener Akademie der Wissenschaften, 102, 1883, p. 260) wa s of th e opinion

t h a t Spatura corresponded to Simtura in th e Cosmography of the Ra ven nasAnonymus (II, 3, 2; cf. J. Schnetz, Itineraria Romana, I I , Lips iae, 1940, p.17) and, therefore, should be identified with Salätura. In any case ProfessorHumbach's *Caspatura, like Müller's *К а а п а т т о г р г \ and Herzfeld 's *К а л ( л ja-

ßovglvr], is not an act ual ly hand ed down r eadin g, bu t only a con ject urall yreconstructed one.

On the same occasion Dr. A. D. H. Bivar suggested that in the Heca-taeus' fragment the words Rxv&wv ôè âxry might be a gloss ad de d by a lat ercop yis t who knew t ha t No rt h- We st I nd ia had actu ally been , for some time ,

under the sway of Saka tribes (compare the 'Skythia' of Periplus §§38 — 39,and the 'Indoskythia' of Ptolemy, VII, 1, 55). Should Dr. Bivar's hypothesisprove right, it would strike a deadly blow to the belief in the existence ofSaka tribes in North-West India at the time of Darius the Great. For being

Zxv&wv ôè àxrrj a later gloss, Hecataeus would be left with the only wordsKaanânvQoç, nôliç Favôanixrj and there would be no question at all of a 'shoreof the Scythians' in the Vlth century В . C. Quod erat demonst randum.

3 'W. W. TARN: The Greeks in Bactria and India. Cam bri dge 1938 (19512). 287.

Acta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


H. W. HAUSSIG

DIE ÄLTESTEN NACHRICHTEN DER GRIECHISCHENUND LATEINISCHEN QUELLEN ÜBER DIE ROUTEN

DER SEIDENSTRASSE NACH ZENTRAL-UND OSTASIEN

Die in diesem Rahmen angesprochenen Berichte aus der römisch-grieehi-schen Antike sind der Forschung seit langem bekannt. Trotzdem hat ihre bishe-rige Interpretation nicht die Beziehung ihrer Angaben auf die Routen der Sei-

denstraße nach Zentral- und Ostasien deutlich machen können. Der Grundliegt darin, daß hierfür die Erkenntnisse der Frühgeschichte nicht genügend unddie Beziehung ihrer Nachrichten auf die drei verschiedenen Routen der Seiden-straße überhaupt nicht beachtet wurden.

Hinzu kommt, daß man bisher nur eine einzige Route der Seidenstraßekannte, deren Entstehung man in die Mitte des ersten Jahrhunderts v. Chr.setzte. Hierbei ging man von der Vorstellung aus, daß erst von jenem Zeitpunktan, zu dem die chinesische Expansion im Westen mit dem Pamir- und Alai-Gcbirge die Grenze zur griechisch-iranischen Welt erreicht hatte, eine Verbin-

dung zwischen China und dem Westen möglich gewesen wäre. Es zeigt sich aberdurch eine Neu-Interpretation des Quellenmaterials, daß eine Verbindung zwi-schen China und der westlichen Welt von dem Bestehen einer gemeinsamenvom Alai- und Pamir-Gebirge gebildeten Grenze unabhängig war.

Sie bediente sich in den Jahrhunderten, die vorangingen, jener Völker alsVermittler, die je nach der Route der Seidenstraße entweder als Issedonen oderSerer bezeichnet wurden. Die Chinesen, denen sie ebenso wie den Griechen undIraniern als Vermittler dienten, nannten sie Yüe-chi oder Wu-'sun.

Die Nordroute und ihre Vorgeschichte

Sowohl die Bodenfunde wie die Nachrichten der schriftlichen Quellenmachen deutlich, daß die älteste Verbindung zwischen diesen beiden Teilen derWelt, die die Bezeichnung «Seidenstraße» verdient, sich nicht der Wege überdie Pässe des Alai- und Pamir-Gebirges bediente, sondern für ihren Weg nachChina eine Route im Norden benutzt hat. Diese Route, die von Herodot um430 v. Chr. beschrieben wurde, läßt sich auf Grund seiner Beschreibung bis inden Westen der späteren chinesischen Provinz Kan-su verfolgen. Nach ihr be-

gann diese Straße an der Mündung des Don. Sie wandte sich zunächst nachNorden, ehe sie dann nach Osten abbog und das damals von den Parthern be-

Acta Antiqua Academiae Scientiarum Hungaricae 28,1980

8/15/2019 ACTAANTIQUA_28 (1980)


10 H. W. HAUSSIG

wohnte Gebiet erreichte, von dort benutzte sie einen im Norden des Tien-chanentlang führenden Weg, der entweder über die Turfanoase oder über Hami inden Westen der späteren chinesischen Provinz Kan-su führte.

Das Auffällige an der Beschreibung dieser Straße schien bisher ihr Abbie-

gen nach Norden zu sein, in ein Gebiet, das Herodot als Waldzone bezeichnet.1

Dieses Rätsel lösen die Bodenfunde. Seit der Aufdeckung der Begräbnisplätzevon Seima und Turbino im Westen des mittleren Ural in der Nähe jenes Weges,der, der Kama folgend, über den Pass des Ural nach Sibirien führt, weiß man,daß es zwischen dem Ural und China in vorgeschichtlicher Zeit eine Handels-verbindung gegeben hat. Es sind Ringe aus Jade, die dort gefunden wurden,die in Form und Material mit jenen identisch sind, die aus China bekannt sindund hier auch bei der Verehrung des Himmelsgottes durch den König eine Rollespielten. 2 Da Jade im Ural bisher nicht gefunden wurde, können die Ringe auch

vom Material her gesehen, nur aus China stammen. Hinzukommt, daß die Grä-ber nicht nur diese Jaderinge, sondern auch Bronzeäxte und Messer des gleichenTyps enthielten, der im China der späten Shang-Zeit zu finden ist. 3 Demnachscheint schon am Ende des zweiten Jahrtausends v. Chr. ein Handelsverkehrmit China bestanden zu haben.

Jeder Handelsverkehr setzt eine Gegenseitigkeit voraus. Man wird alsofragen, was China als Gegenleistung für seine Lieferungen an Jaderingen undWerkzeugen aus Bronze aus dem Westen erhielt. Für den Ural käme hier dasbei der Bronzeherstellung wichtige Kupfer in Frage. Es wurde damals im Ural

abgebaut. Aber auch kostbare Steine können von dort ausgeführt worden sein.Das war aber, wie vor allem die Rezeption aus dem Westen in China beweist,nicht allesi Es seien hier nur zwei Dinge genannt : die Erfindung des Wagensund der Kopf des Löwen.

Die Rezeption des griechischen Streitwagens durch China

Der Zeitpunkt für die Rezeption des Wagens in China läßt sich aus denbilderschriftlichen Zeichen der Shang-Zeit nachweisen.4 Da das Zeichen zu

Beginn der Shang-Zeit mit dem Aufkommen dieser Hieroglyphen vorkommtund in der älteren Chou-Zeit weiter ausgebildet wird, müssen die Anfänge der

1 Herodot, Historien IV, 21 — 27. Den ersten Teil dieser Wegb eseh reib ung ben utz tHerodot dazu, um die Ostgrenze des von skythischen Stämmen in Südrußland bewohn-ten Gebietes abzugrenzen.

2 Vgl. hierzu W. WATSON : Cul tural Fro nt ie rs in Anc ien t Asia. Edi nb ur gh 1966.S. 69—60.

3 Es ware n Bron ze äxt e mit Tüllen abe r vor allem Messer mi t Tierdars tellungen,die bis in die Zeit um 1500 v. Chr., die beginnende Shang-Zeit, hinabreichen. Bronzeäxtedes gleichen Typs fanden sich nach Watson auch im Tal des oberen Jenissei.

4 Da s Zeichen fü r «Wagen» ko mmt sc hon un te r den älte ste n Zeichen der Hiero-gly phe n auf den Orak elkno chen vor und besi tzt do rt die gleiche Gestalt wie auf denältesten Felszeichnungen.


8/15/2019 ACTAANTIQUA_28 (1980)


£

§ea

I3S'

£

Die Routen der Seidenetraße

8/15/2019 ACTAANTIQUA_28 (1980)


12 H. W. HAUSSIG

Rezeption in die zweite Hälfte des zweiten Jahrtausends gesetzt werden, alsoin die gleiche Zeit, in der die Jaderinge, die Bronzeäxte und die Messer nachdem Ural gekommen sind.

De n Weg, den der Wa ge n nach Chi na be nu tz t ha t, beze ichnen vor allem

die Felszeichnungen.5 Hiernach muß die Vermittlung des Wagens ebenso wieder Export der Jaderinge über die nördliche Route der Seidenstraße erfolgtsein. Felszeichnungen begleiten vor allem das letzte Stück seines Weges nachChina, jene Strecke durch das Gebirge, wo steile oder überhängende SteinwändeFelszeichnungen möglich machten. Sie finden sich daher in Tannu Tuwa, an denGebir gshä ngen des Alt ai un d vor allem an den F els wänd en im Changai-Gebirge und weiter im Süden, bis dort, wo die Grenzen des alten China began-nen. Dargestellt wurden Wagen mit zwei Rädern, teils als Quadriga von vierPferden, teils von zwei Pferden gezogen. Von diesen beiden Typen scheint man

in China den mit zwei Pferden bespannten Wagen bevorzugt zu haben. Ihm be-gegnet man in chinesischen Gräbern wie z. B. in dem von Shang-ts'un-ling ausder Provinz Honan aus dem 8. bis 7. Jahrhundert v. Chr. 6 Die Herkunft derQuadriga, die in Ostasien vor allem durch die Felszeichnungen in der Mongoleinachweisbar ist,7 verleugnet nicht ihre Herkunft aus der griechisch-mykeni-schen Welt. Selbst in Einzelheiten, wie den acht Speichen der Räder, gleichensie ihren europäischen Vorbildern, die als Darstellungen auf Bronzeblechen inOlympia und aus Schilderungen durch die Rias bekannt sind. Die Übereinstim-mung mit den griechischen Streitwagen gilt auch für die Form der Anschir-

rung der Pferde und für die Stütze des Lenkers auf dem Wagengestell, die ihmdas Festhalten während des Fahrens ermöglichte. 8

Die Rezeption des griechischen Löwenkopfes als T'ao-t'ieh durch China

Auf dem gleichen Wege wie der Streitwagen wurde auch der Löwenkopfnach China vermittelt. Die Übermittlung erfolgte hier wahrscheinlich durch dieEpisemata, die meist aus Bronze gearbeiteten Schildzeichen. In China, wo eskeine Löwen gibt, wurde er offenbar zur gleichen Zeit wie der Wagen rezipiert.

Es findet sich dort das Bild des von oben gesehenen Löwenkopfes, wie ihn z. B.

5 Vgl. Hierzu E . NOWQOROBOWA : Al te Kuns t der Mongole i (deu tsc he Über -setzung 1980. Seite 79 — 99). Fu nd e mit Wagendar stellunge n vom Kauk asus , dem Pamir,dem Altai und dem Changai-Gebirge lassen den Weg erkennen, den der Wagen vonEuropa nach China genommen hat.

"Vgl. das Foto von ausgegrabe nen Wag eng rä be rn des 8. un d 7. Ja hr hu nd er tsv. Chr. aus der Zeit dor Chou-Dynastie bei WATSON : а . а . О . Tafel 40. Die hier aufge-nommenen Wagen wurden bei Shang-ts'un-ling in der Provinz Honan gefunden.

7 Vgl. NOWGORODOWA : Tafel 59. Die Ze ichnung ze igt den gle iche n ha lb rundenWagenkasten, wie er aus den griechischen Darstellungen bekannt ist.

8 Die Darstel lung zeigt einen Krieger, der seinen S treit wagen besteigt. Es

ha nd el t sich um ein Bronz oblech aus der Zeit um 590 v. Chr . Vgl. Olympi a vonM. ANDRONIKOS : Athen 1975. Tafel 35.


8/15/2019 ACTAANTIQUA_28 (1980)


DI E ROUT EN DER SEI DEN STRA SSE NACH ZENTRAL- UN D OSTASIEN 13

eine Löwenmaske auf einer Tetradrachme von Rhegion aus der Zeit um 430 v.Chr. zeigt.9 Die Münze ahmt offensichtlich ältere Wiedergaben, wie sie aufSchilden üblich waren, nach. In China wurde das griechische Vorbild des vonoben gesehenen Löwenkopfes zur T'ao-t'ieh Maske umstilisiert, 10 sie taucht

zuerst auf den Bronzen der Shang-Zeit auf. Auch in diesem Fall läßt sich derWeg nach Ostasien auf der Nordroute der Seidenstraße verfolgen. So begegnetman der Löwenmaske, wenn auch in einem Beispiel aus späterer Zeit, unter denFunden aus sibirischen Kurganen als holzgeschnitztes Medaillon in der gleichenSicht von oben wie bei der Münze aus Rheg ion und dem chinesischen T 'ao-t ' ieh.1 1

Der Ural als Teilhaber am griechischen Chinahandel

Wagen und Löwenkopf kamen aus der mykenischen Kultur. Damit wirddie Frage gestellt, von wo aus diese Vermittlung nach China erfolgte. NachHerodot begann die Nordroute der Seidenstraße an der Mündung des Don. 1 2

Dort befand sich nach dem älteren Plinius in früher Zeit eine Niederlassung derKarer, 1 3 jenes Volkes, das in der spä te ren griechischen Zeit z. B. von T hu ky di de smit den Trägern der mykenischen und minoischen Kultur gleichgesetzt wurde. 14

Demnach hätte es schon in der mykenischen Zeit eine Verbindung mit Chinagegeben, die ihren Ausgangspunkt an der Mündung des Don besaß und ihrenächste Station an einem Handelsplatz, der auch von Händlern aus dem Ural,

wo die chinesische Jade und die Bronzewerkzeuge aus China gefunden wurden,erreicht werden konnte. (Die Möglichkeit, daß die griechischen Kaufleute selbstnach dem Ural gekommen sind, wird für die mykenische Zeit schon dadurchausgeschlossen, daß weder der Wagen noch der Löwenkopf, wie das Fehlen vonent spr echen den Zeugnissen beweisen, auf diesem Weg Chi na erre icht haben .)Eine Verbindung der griechischen Kaufleute mit dem Ural bestand auch inmy kenischer Zeit n ur du rch den Zwischenhande l. F ür die Zeit He rod ot s wirddas indirekt durch seine Beschreibung der Nordroute der Seidenstraße bestätigt.

Sie begann bei ihm an der Mündung des Don und führte erst nach Norden

durch das Gebiet der Sauromaten und dann in die Waldzone zur Stadt der Budi-

9 Vgl. L . U. M. LANCKORONSKI : My th en und Münzen. München 1968. Tafe l 29.10 Vgl. K. SCHEFOLD: Der sky thi sche Tiorstil in Südr uß la nd . ESA 12 (1938)

Seite 59. SCH. vorwoist hier auch auf die Forschungen von Boroffka, der die Wanderungdes Motivs anhand der sibirischen Funden verfolgt hat.

" V g l . S. 1. KUDENKO : Frozon Tom bs of Siberia, th e Pa zy ry k Buria l of I ro n-Age Horsemen. Übersetzt von M. W. THOMPSON. London 1970. Tafel 138. Es handeltsich um Holzschnitzerei von einem Sattolzoug aus der Sammlung Frolov.

12 Herodo t IV , 21. Er sp richt hie r von de r «Spitze des Maietissees», mi t de m da sAsowscho Meer gemeint ist.

13

Plinius Nat. hist. IV. cap. 5 (7), § 20 : Oppidum in Tanais quoque ostio. Tenuere /initima primum Cares.14 Thu kyd ide s I, 3.

2* Acta Antiqua Academiae ScierUiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


1 4 H. W. HAUSSIG

ner,15 von wo sie nach Osten abbog. 16 Der Handelsverkehr nach China könntesich auf diesem Wege in mykenischer Zeit so abgespielt haben, daß die griechi-schen Kaufleute von der Mündung des Don ihre Erzeugnisse, wie z. B. Gold-schmiedearbeiten, nach der Stadt der Budiner oder einem anderen damals dort

bestehenden Handelsplatz brachten und hierfür dort von den Händlern ausdem Ural Kupfer und kostbare Steine erhielten, mit denen sie dann von denIssedonen Bronzewerkzeuge und Jaderinge aus China kaufen konnten, die siefür den weiteren Warenaustausch mit den Kaufleuten aus dem Ural benötigten.Demnach würden also die mykenischen Händler, über die neben anderem derWagen und der Löwenkopf nach China gekommen waren, auch den Transithan-del für Waren von und nach dem Ural übernommen haben.

Erst mit dem 6. Jahrhundert scheint auf diesem Wege auch der Exportvon Seide aus China begonnen zu haben, mit dem dann auch die Ausfuhr von

Arbeiten griechischer Gold- und Silberschmiede und skythischer Bronzegie-ßereien einsetzte. An diesem Handel war auch der Ural beteiligt.

Bei der Seide waren es nicht nur einfache Seidenstoffe wie die Fragmenteaus dem Fürstengrab bei der Heuneburg1 7 und die Seidenreste vom Kerameikosin Athen,17 a sondern auch kostbare Gewebe wie die als «Goldenes Vlies» be-kannte Seide, Ziel des von Jason geführten Zuges der Argonauten nach Kolchis.Sie besaß offenbar wie die chinesischen Seiden aus Kertsch und Lou-lan 18 einegoldgelbe Fondfarbe. Das gab zu ihrer Bezeichnung «Goldenes Vlies» Anlaß.(Kolchis war damals Endpunkt einer aus dem Tal des Araxes von der Küste des

Kaspischen Meeres kommenden Straße. 183 Von dort gab es offenbar schon da-mals eine Verbindung über dieses Meer, so daß auf diesem Weg eine der Statio-nen der Seidenstraße in Mittelasien erreicht werden konnte.)18b

Für diese Hypothese der Einschaltung des Ural in den Handel mit Chinaspricht, daß aus einer erheblich späteren Zeit z. B. östlich des Ural am Toboleine große Zahl griechischer Goldschmiedearbeiten gefunden wurde. 19 Es han-delt sich um Psalien un d Phaler ae fü r das Geschirr der Pf erd e un d Gürtelschnal-len und Applikationen, die auf der Kleidung getragen wurden. Sie alle sind vongriechischen Goldschmieden in einem Stil gestaltet, der sich ikonographisch eng

an die Überlieferung der Nomadenvölker anlehnte. Das, was erhalten ist,

15 Herod ot IV, 21.16 Herod ot IV , 22. Na ch Herod ot bog die Straß e, na chde m sie sieben Ta gereisen

wüstes Land passiert hatte, dann nach Osten ab.17 J. J. HUNDT : Vorgeschichtl. Se ide nfu nde , Ja hr b. des Rom. -Ge rman isch en

Zentralmuseums, Mainz, Jahrg. 16, 1971, S. 59 — 71.17a Vergl. Anm . 17.18 N. TOLL' : Za me tk i О kitaj skom selke na juge Rossii. Seminarium Kond akov ia-

n u m 1 (1927) p. 85, 92.LEA Her odo t I, ca p. 201. Vgl. Hie rzu He rod ot , Histo rien, ed . H. W. HAUSSIG,

deutsche Übe rset zung von A . HOENEIFEB, Stu tt ga rt , Kroner-Ve rlag, 4. Auf l. 1971,

Anm. 160 des Kommentars zu Buch I.18b Vgl. An m. 18a.19 K. JETTMAR : Die fr ühen Ste ppe nvölk er . Ba den-Bad en 1964. S. 5—8.


8/15/2019 ACTAANTIQUA_28 (1980)


DI E ROU TEN DER SEID ENST RASS E NACH ZENTR AL- UND OSTASIEN 15

stammt zum größten Teil erst aus dem 5.-4. Jahrhundert v. Chr. 20 Die Erhal-tung der heute vorhandenen Stücke ist nur einem Zufall, dem Interesse desZaren Peter des Großen zu verdanken. Durch ihn kamen sie in die Schatzkam-mer des Monarchen und später in die Ermitage, während der größere Teil, das

was vorher gefunden worden war, eingeschmolzen wurde. Man darf vermuten,daß darunter auch Funde aus älterer Zeit waren. Von dem Handel in mykeni-scher Zeit unterschied sich jener, den Herodot beschreibt, nur in den Waren,nicht aber in dem von ihm benutzten Weg.

Herodots Bericht über die Stationen der Nordroute der Seidenstraße

Daß es auch in späterer Zeit ähnliche Handelsbeziehungen wie in mykeni-scher Zeit mit dem Ural gegeben hat, bestätigt indirekt Herodot, wenn er von

der Hauptstadt der Budiner, die griechische Kaufleute nach einer Reise von15 Tagen erreichten, berichtet.21 Sie lag hiernach schon in der Waldzone undwar daher ganz aus Holz gebaut. Dort gab es eine eigene Niederlassung dergriechischen Kaufleute mit Tempeln ihrer Götter. 22 Offensichtlich war en üb erdiese Ha up ts ta dt der Budin er die griechischen Goldschmiedea rbeiten in da sGebiet von Tobolsk gebracht worden, in dem sie im 17. Jahrhundert gefundenwurden. Herodot beschreibt den weiteren Verlauf dieses Handelsweges, derdurch das Gebiet der Thyssageten führend den War erreichte, der mit der Wolgazu identifizieren ist. Von dort führte er dann nach Mittelasien.

Herodot hat die einzelnen Stationen dieser Route mit den Namen jenerVölker bezeichnet, in deren Gebiet sie lagen. Diese Stationen entsprachen Rast-plätzen, wo man nicht nur die Dolmetscher, sondern bei sechs von ihnen offen-

2 0 Zur Dat ierung K. JETTMAR : а . а . O. S. 198.21 He ro dot I V, 22.12 He rod ot IV, 108. Nach He ro do t best and die 22 Sta die n lange Mauer, die die

Stadt der Budiner umgab ebenso aus Holz wie alle Gebäud e der Stadt , dar unte r au chdie griechischen Tempel. Sie war von Dareios bei seinem Feldzug gegen die Skythen imJahre 510 v. Chr. zerstört und niedergebrannt worden (Herodot IV, 123). Dareios zogdann nach Nordosten zu den Thyssageten bis zum War (Oaros)-Fluß, wo er Befestigun-gen errichtete. Die Bezeichnung Hwar ( = Wasser) ist als Na me des Dnj ep r un ddes Amudarya bekannt. Sie läßt sich ebensowenig identifizieren, wie die drei anderenFlüsse. Nach der Erwähnung der Thyssageten zu urteilen, könnte der Uralfluß gemeintsein. Dareios ist denmach bei der Verfolgung der Skythen einen Teil der Nordroute derSeidonstraße entlang gezogen. Man gewinnt aus den Angaben Herodots den Eindruck,daß der König nicht über den Kaukasus, sondern über die Sogdiana nach Persien zurück-kehren wollte. Da sein Vater Hystaspes über Ostiran herrschte, waren ihm wahrschein-lich die sich dort am Syr darya vereinigenden Nord- und Südrouten dor Seidenstraßebekamit und er hatte sie in seinen strategischen Plan einbezogen. Die acht von dem Königerrichteten Befestigungen sollten offenbar oine durch unwegsames Gebiet führendeStraße blockieren, um den verfolgten Skythen die Rückkehr urunöglich zu machen. Beidiesem Feldzug konnte sich der König bis zur Donmündung auf die Niederlassungen der

ihm unterworfenen griechischen Städte stützen. Sie kannten auch den Wog nach Mittel-asien, dem Gebiet der Parther. Der Grund für den Abbruch des Feldzuges war, daßoffenbar einige dieser Städte schon damals vom König abfallen wollten.


8/15/2019 ACTAANTIQUA_28 (1980)


16 H. W. HAUSSIG

bar auch die Karawanenführer wechseln mußte. 2 3 Das ergab sich aus den großenEntfernungen. Den gemieteten Karawanenführern war der Weg hier nur zumTeil vertraut. Die Dolmetscher mußten sogar siebenmal gewechselt werden.Brauchte man doch für die Issedonen, denen man auf einem Handelsplatz

bei den Argyppaioi begegnete, ebenfalls einen Dolmetscher.24 Die Verwendungder Dolmetscher beweist, daß das Griechisch der Kaufleute bis hin zu denIssedonen wenigstens von einer kleinen Gruppe Sprachkundiger verstandenwurde. Man kann daher davon ausgehen, daß das Griechische für den von Hero-dot beschriebenen Teil der Straße allgemein die Verkehrssprache war. Danebenscheint die griechische Schrift in einzelnen Fällen auch zur Schreibung der Lan-dessprachen verwendet worden zu sein. So sind in Europa kurze Texte in thra-kischer Sprache erhalten, die mit griechischen Buchstaben geschrieben wur-den.24 " In Mittelasien benutzte das sogenannte Baktrische, die Sprache der

Ku sc ha na , ebenfalls die griechische Sch ri ft .24b

Daneben scheint man sich imHandelsverkehr außerdem noch einer bisher nicht gelesenen Schrift bedient zuhaben, die mit den türkischen Runen vom Orchon Ähnlichkeit aufweist. Anga-ben in dieser Schrift finden sich auf einem großen Silberbarren aus Ai Kha-num.24 C Fast alle bisher bekannten Beispiele für diese Schrift stammen aus Mit-telasien.

In Mittelasien erreichte die von Herodot beschriebene Straße das Landder Parther. 2 5 Zwar werden sie von ihm nicht namentlich genannt, aber dieAngaben über ihre Flucht von den königlichen Skythen nach Mittelasien, die

fü r die P a r t her aus Po mp ei us Trogus be ka nn t ist, läßt an der Ide nt it ät des hiererwähnten Volkes mit ihnen keinen Zweifel. Von den Parthern erreichte dieStraße die Argyppaioi. Sie bestritten nach Herodot ihren Lebensunterhalt ausden Erträgen der Jagd und dem Sammeln von Früchten. 2 6 Im Rahmen einerSchilderung ihrer Lebensweise beschreibt er das bei ihnen geübte Auspressen

23 Herodot IV, 24.21 Her odo t IV, 23.24a Goldschätze dor Thrak er, Thrakis che K ul tu r und Kun st auf bulgarischem

Boden, Katalog d. Ausstellung im Osterreichen Museum füi - angewandte Kunst 4.3. —

31. 5. 1975, Abb. 167. Ring mit Inschrift. Heute im Archäologischen Museum Sofia.246 Vgl. Fot o bei J . AUBOYER : L' Af gh an is ta n et son Ar t, 1968, Ab b. 40.240 Vgl- hierzu A. A . MOTAMEDI : Di scovery of an Insc ri pti on in an Un kn ow n

Language at Ai-Khanum. Afghanistan. Vol. 33, Nr. 1, S. 45 — 48. Aufze ichn unge n inder in Ai Kh an um geb rau chte n Rune nsch rift fi nde n sich in verw andte n Fo rmen in denbeiden ersten Jahrhunderten v. Chr. überall in Mittelasien. Die Fundorte decken sichmit Stationen, die den mutmaßlichen Verlauf der Seidenstraße in diesem Gebiet bezeich-nen. Nach den Gegenständen, auf denen sich die Aufzeichnungen in dieser Schrift befin-den, gehen sie auf Händler zurück. Neben dem Silberbarren von Ai Khanum ist hier dieSilberschale aus dem Kurgan von Issyk in der Kazakischen SSR zu nennen. Über-wiegend finden sich die Aufzeichnungen in diesen Runen auf Ostraka und auf Keramik,die zum Verkauf bestimmt war.

25 lu st in . Trog. 41, 1,1. Parthi . . . Scytharum exules fuere. Schol. Berolinense in

Luca ni Bell. Civ. I, 553 : Scythico sermone Parthi exules dicuntur. Weitere Erwähnungenbei Jordanes Get. u. Isidor Origin. IX, 3.26 Herodot IV, 23.


8/15/2019 ACTAANTIQUA_28 (1980)


DIE ROUTEN DER SEIDENSTRASSE NACH ZENTRAL- UND OSTASIEN 17

der Früchte eines Pontikon gen ann ten Baume s zu einem Brei, den sie Aschynannten. ( Aschy hat in den Turksprachen die Bedeutung «bitter». Man könntedaher an eine Beziehung der Argyppaioi zu den späteren Turkvölkern denken,

die die Beschreibung ihres Äußeren und ihre Lebensweise in Jurten, die mit Filzbekleidet waren, nahe legt.)27

Bis zu den Argyppaioi, deren Wohnsitze man sich wahrscheinlich im Taldes Iii vorzustellen hat, kamen nach Herodot griechische Kaufleute von derMündung des Dnjepr und aus Städten an der Küste des Schwarzen Meeres.28

Das wird durch Funde von Münzen des 4. Jahrhunderts v. Chr. aus Olbia undPantikapaion in der Dzungarei bestätigt. 29

Der Schatten Chinas über dem Ostteil der Nordroute der Seidenstraße

Die Straße führte dann von den Argyppaioi weiter nach Osten.3 0 I mGegensatz zu den Argyppaioi, die auch von griechischen Kaufleuten besuchtwurde n, hab en die Issedonen diese off enb ar selbst bei den Argyppaio i bes uch t.3 1

Man kann daher annehmen, daß griechische Kaufleute weder in das zuweilenals Land der Issedonen bezeichnete eigentliche China noch in seine mit diesemNamen ebenfalls bezeichneten Randgebiete gekommen sind.

Es gab also an diesem östlichen Teil der Seidenstraße schon einen Handels-platz, den die Issedonen besuchten. Die Angaben Herodots über die Issedonenstammen, wie er bemerkt, nur aus skythischer Quelle. Die Skythen hatten also

damals die Dolmetscher für die Issedonen gestellt. Die Angaben, die sie über-mitteln, gehen nach zwei Richtungen. Einmal berichten sie über die angeblichim Norden der Issedonen wohnenden Dämonen und übernatürlichen Wesen. 32

Diese Angaben geben eigene Mythen der Issedonen wieder. Die zweite Gruppe

27 Hero dot bezeichnet die aus Zweigen zusammen gesetzt en Ju rte n als Bäu me, dieman im Winter mit Filz umhüllte.

28 Her od ot IV , 24.29 Eine Abbildung der Münzen findet sich bei E. H. MINNS : Scythians and Greeks.

Cambridge 1913.30

Herodot IV, 24.31 Herodot IV, 25 u. 20. Herodot betont zwar, daß auch das östlich von den Argyp-paioi liegende Land der Issedonen bekannt sei, weist dann aber in Kap. 26 darauf hin,daß die Nachrichten über die Issedonen aus skythischer Quelle stammen.

32 Her odo t IV, 27 : Die hier zitier te Mythe der Issed one n, die von «Einäugig en»und den «das Gold hütenden Greifen» spricht, zeigt hier ihro skythische Herkunft durchdas von Herodot zitierte skythische Wort für die «Einäugigen»: Arimaspen. Au ch diealtchin esische Myth olog ie ke nn t di e «Einäugigen». Sie er wä hn t sie in Ver bi ndu ng mi tder Üborgabe des Bogens und der Pfeile durch den Himmelsgott Tsün an den JagdgottYi n (W. MÜNKE : Die klassi sche chines ische Mythologio. S tut tga rt 1976. S. 279 Sh aoHao ). Diese Myt he er inne rt mi t der Er wä hn un g des Jag dg ot tes Yi (MÜNKE а . а . O. S. 344)an die Legende vom königlichen Schü tzen Skythes , der den Bogen des Horak les un dda mi t die Her rsc haf t über das Reich dor Skythen erhä lt (He rodo t IV, 10). Wie Lu ki an(1 —10) zeigt, gaben die Griechen d ie Be deu tu ng vo n Skythes mi t Toxaris — Bogen-

schütze wieder. Skythes entsp richt germanisch skutja = Schütze. Sie ist durch dieBezeichnung ZXÔTTUÇ bei Priskos, Exc. p. 125, 22 für einen der engsten Beiater Attilasbelogt.


8/15/2019 ACTAANTIQUA_28 (1980)


18 H. W. HAUSSIG

der durch Herodot bekannt gewordenen Nachrichten über die Issedonen beziehtsich auf ihre Bestattungssitten.3 3 Hiernach gab es bei ihnen keine Bestattungder Toten im üblichen Sinne. Das würde erklären, warum es im Westen vonKan-su und im Tarimbecken seit dem Neolithikum bis zur chinesischen Erobe-rung in dem Jahrhundert vor der Zeitwende keine Grabfunde gegeben hat.

Eine klare Vorstellung von den Wohnsitzen der Issedonen kann man abernicht aus der von Herodot gegebenen Beschreibung dieser nördlichen Route derSeidenstraße gewinnen. Hierfür muß man die Erwähnung dieses Volkes durchPtolemaios heranziehen. Seine Beschreibung desTarimbeckens, das er als Serikebezeichnet, kennt im Nordwesten die Wohnsitze der Issedonen. 34 Die Issedonenmüssen also zu seiner Zeit dort beheimatet gewesen sein, wo die chinesischenQuellen die Wu-sun und auch die Yüe-chi kennen.35 Da Ptolemaios für seineDarstellung wie die chinesischen Berichte Quellen aus der ersten Hälfte des

zweiten und aus dem ersten Jahrhundert v. Chr. benutzt,3 6 müssen zu dieserZeit die Issedonen in der Hauptsache im Norden desTarim und im Siebenstrom-land gewohnt haben. Das stimmt aber nicht für die Zeit, von der Herodot be-richtet. Damals wohnten sowohl die Wu-sun wie auch die Yüe-chi der chinesi-schen Quellen, die nach den geographischen Angaben hei Ptolemaios mit denIssedonen gleichzusetzen sind, noch im Westen der chinesischen Provinz Kan-suun d zu einem Teil auch in der Tur fan-O as e. Von dort sind sie ers t 176 v. Chr.nach Westen ausgewandert.37 Demnach reicht die von Herodot gegebeneBeschreibung der Nordroute der Seidenstraße von der Mündung des Don bis in

den Westteil der Provinz Kan-su.

Der Versuch einer Rekonstruktion der Südroute der Seidenstraße

Eine mit Herodots Bericht über die Nordroute der Seidenstraße vergleich-bare zusammenhängende Beschreibung gibt es für die Südroute nicht. Sie hates, wie einige Fragmente beweisen, sicher einmal gegeben. Diese Teilstücke einerBeschreibung, die verschiedenen Zeiten angehören, reichen aber nicht aus, umihren Verlauf im einzelnen rekonstruieren zu können. Zu den ältesten Fragmen-

ten gehört eine nur zum Teil erhaltene akkadische Keilschrifttafel aus dem 7.

33 Herodot IV, 26.34 Bei Ptolemaios 431, Б ed. WILBERG heißt es: vno ôè zavza /ik/oi zcöv Kaatcav

'Ioorjôoveç péya ë&voç mi àvazoXixâzsQoi avzœv Ogóavoi. Hiernach müssen die Issedonenunmittelbar westlich des hier mit der sogdischen Bezeichnung erwähnten Tunhuangge wo hn t hab en. Wo das im einzelnen im Tar imbe cke n gewesen ist, geht aus der Be-me r k un g des Ptole maios nic ht hervor. Sicher ist, daß die Wohn sitz e der Issedonenzu dieser Zeit im Westen von Kan-su gelegen haben müssen. Die Provinz Kansu, wodie ehemaligen Wohnsitze der Yüe-chi lagen, scheidet also für diese Zeit aus.

36 E . ZÜRCHER: Th e Yüeh -shi h an d Ka ni sk a in Chinese Sources. S. 348 — 353 inPaper s on t he Date of Ka ni sk a, ed. A. L. BASHAM, 1968. Hie rnach d ür f te n die chinesi-

schen Quellen etwa aus der gleichen Zeit stammen wie die des Ptolemaios.37 E. ZÜRCHER : а . а . O., S. 366 übersetzt hier die sich auf die ehemaligen Wohn-sitze dieser Völkor beziehenden Angaben der chinesischen Quelle.


8/15/2019 ACTAANTIQUA_28 (1980)



Jahrhundert v. Chr.38 Was von ihr vorhanden ist, beschreibt einen Abschnitt,der von einer Stadt in Mesopotamien bis etwa nach Ekbatana reicht. WeitereTeile, die man als ihre bis Mittelasien reichende Fortsetzung ansehen kann,sind in den Stathmoi des Isidor vonCharax erhalten, ein Werk, das der parthi-

schen Zeit angehört.39 Hier sind wie bei Herodot die Entfernungen zwischenden einzelnen Stationen angegeben. Nach seiner Beschreibung führte die Straßeaus Mesopotamien über Ekbatana bis Kyreschata (= Kuruë-kath = «Stadt desKyros»),40 eine Festung, die sich schon in der Sogdiana befand. In achämeni-discher Zeit war sie der nördlichste persische Stützpunkt im Osten Irans.

Im Norden der Sogdiana gab es damals die sogenannten »spitzmützigen»Saken41 und im Westen von ihnen zwischen Aralsee und Kaspischem Meerwohnten die Massageten,42 gegen die Kyros der Große «in der Ebene der Daher»im Jahre 529 v. Chr. gefallen war. 43 Von der Sogdiana aus erreichte die Route

nach Plinius den Silis genannten Fluß,44 der von Strabo als Iaxartes ( = Perlen-fluß) bezeichnet wird.45 Der Name Silis gibt die par thi sche Auss prac he desFlußnamens,46 der in seiner persischen Form Sir auf die Serer zu weisen scheint,wieder. Die Bedeutung von Iaxartes = «Perlenfluß» wa r auch den Chinesenbekannt, die sie für ihre Bezeichnung des Flusses übernahmen. 47 Jeder derNamen dieses Flusses gehört zu der Beschreibung einer anderen Route derSeidenstraße. Als Iaxartes wird er bei Str abo beze ichnet, der Teile der Sü dr ou te

38 Bei E . HERZFELD : Ir an in the Ancie nt Ea st . 1941.39 Die Stat hmoi P arthi koi de s Isidor von Charax folgen der alten Kar awa nen -

straße, die vor allem das alte parthische Zentrum in Nisa und Hekatompylos berück-sichtigte.

40 Die Stadt, deren Namen BENVENISTE identifiziert hat, scheint mit dem impTudüd al 'Äla m (Transi , and expl ai ne d b y V. MINORSKY, 2 Auf l. ed. C. E . BOSWORTH,1970, S. 115 u 354) erwähnten Kurkath an der Straße, die an der durch Ferghana in dasTarimbecken führte, identisch zu sein. Es gehörte später zum Fürstentum Usrushanaund lag westlich des Jaxartes und am Nordhang des Buttamangebirges. Hier befan-den sich Gold- und Silberbergwerke. E. BENVENISTE, «La ville Cyreschata». JournalAsiatique (1943/1945), p. 163.

41 Es handelt sich bei ihnen um die von den Persern saka tigraxauda «spitzmützigeSaken» gen ann ten S täm me, die südlich und nördlich des Syr dar ya wohnt en. He ro do tVII, 64 beschreibt ihre die Form einer Tiara besitzende Kopfbedeckung. Die als Hunnen

bezeichneten Völker in Mittelasien, die sich der gleichen Kopfbedeckung bedienten,wurden nach dem Wort für «Tiara», xlôagtç, als «kidaritische Hunne n» bez eichn et. Manübertrug damit auf sie die von den Königen der Kusehana als Herrscher über diese Sakengeführte Bezeichnimg Kidara KuSana Sahi. Vgl. auch Yasht, IX, 30, wo Vischtaspa umden Sieg über «die Feinde mit dem spitzen Helm» betet.

42 He ro do t I, 204. Nach He ro do t wohn ten die Massage ten in jener Ebene , die sichbis zum Ostufer des Kaspischen Meeres erstreckte.

43 Die Notiz bei Berossos spricht von Daern.44 Plini us Na t. Hist . VI, 16 sa g t : . . . includente jlumine laxarte, quod Scythae

Silirn vocant.45 Strabo Geogr. XI, 8,2.46 Mani bez eichne t das Gebiet der Serer n icht als CLIEOJC sondern mi t de r F or m

CIAEOIC (Kephalaia. Ed. BÖ H L I G . S. 188 , 32) , der die bei Plinius überlieferten Namons-form für den Fluß Silis entspricht.

47 Die Chinesen nannten ihn Tschen-tschu = «wahre Perle» (Chavanne s, D oc ume ntssur les Tou-kioue Occidentaux, Paris 2. Aufl. 1900, S. 9). Sie übersetzten damit dieseBezeichnung in ihre Sprache.

2 * Acta Antiqua Academiae ScierUiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 0 H. W. 1IAUSSIG

kenn t . Silis heißt er bei de m älte ren Plinius , de r ein Stü ck der Land- und See-route nach einer indischen Quelle beschreibt.48 Beide Quellen unterscheiden sichdurch die Darstellung der Serer. Strabo, der um die Zeitwende schrieb, ver-stand unter den Serern, wie seine Schilderung der Herstellung des nicht mit der

Seide identischen Stoffes, der aus dem Bast der Ramiepflanzen gewonnen wurde,zeigt,49 die Chinesen ; der gleiche Autor identifiziert an einer anderen Stelle mitihnen auch die Yüe-chi in Kan-su. Plinius der Ältere dagegen, der etwa einhalbes Jahrhundert nach Strabo schrieb, sah in ihnen ein Volk mit den gleichenkörperlichen Merkmalen, wie sie nach den chinesischen Quellen die Wu-sunbesaßen. 5 0

Der Unterschied erklärt sich aus der Benutzung verschiedener Quellen.Strabo geht über Apollodoros von Artamita wahrscheinlich auf die Ephcmeri-den jenes Eeldzugs zurück, den Seleukos II. im Jahre 232 v. Chr. unternommen

hat t e , 5 1 um die mit der Erhebung der Parther zusammenhängenden partikula-ristischen Bestrebungen im Osten des Irans zu unterdrücken. Strabo war durchdiese Quelle in der Lage, sehr ausführlich über die damals in Mittelasien woh-nenden Völker zu berichten. Seine Informationen bezogen sich auf die zweiteHälfte des 4. Jahrhunderts. Plinius der Ältere dagegen stützte sich auf einewesentlich jüngere indische Quelle, die Beschreibung eines Teilabschnittes dervon der indischen Küste kommenden Route der Seidenstraße. Sie stammt vondem indischen Ka uf ma nn Rachias.52 Dementsprechend kannte Strabo die Serer,soweit er sie nicht überhaupt mit den Chinesen gleichsetzte, noch in ihren Wohn-

sitzen, die sie bis 176 v. Chr. in der späteren chinesischen Provinz Kan-su be-haupteten. Plinius aber wußte nur von ihren Wohnsitzen in ihrer neuen Heimatim Nordost en des Tar imbe cke ns und im Si ebenstromla nd.

Das Chinabild in den Nachrichten von der Südroute der Seidenstraße

Im Gegensatz zu Herodot erwähnt Strabo 53 bei der Beschreibung derNordroute auch die Chinesen, wenn er von dem Verfahren der Serer zur Her-

48 Plinius, Nat. Hist., Vi, 54 u. V, 88. Rachias war als Gesandter des Königs vonTaprobane (Ceylon) unter der Regierung des Kaisers Claudius nach Rom gekommen.Sein Boricht stützte sich auf die Erzählung seines Vaters, der diese Straße bereits hatte.

49 Strabo XV, 693 rotavia ôè teal rà Erjnixà ëx zivcov (p/.oioiv ëaivo/iévrjç ßvaaov. Er be-schreibt liier nicht die Herstellung der Seide aus den Kokons des in Maulbeerbaumplanta-gen gezüchteten Seidenspinners, sondern die eines Gewebes, das aus den Fasern der Ramie-pflanzo gewebt wurde. Die Ramiepflanze wurde in China südlich des Hoang-ho angebaut.

50 Plinius, Na t. His t., VI, 88. Plinius erw ähn t ihre rote Ha ar fa rb e (rutilis comis)und ihre blauen Augen (caeruleis oculis). Die Wu-sun besaßen «rote Bärte» und «azur-blaue (ts'ing) Augen» (CHARPENTIER: Die ethnographische Stellung der Tocharei.

ZDMG 71 (1917 ) S. 374 ).51 Vgl. HATTSSIG : Byz an ti ni sc he Quellen übor Mit telasion in ih re r historischen Aus-

sage. S. 41 in Prolegomena to the Sourcos on the History of Pro-Islamic Central Asia,

ed . J . HARMATTA, B u d a p e s t 1979.52 Vgl. Anm. 48.53 Vgl. Anm. 49.


8/15/2019 ACTAANTIQUA_28 (1980)


DI E ROU TEN DER SEID ENST RASS E NACH ZENTRAL- UND OSTASIEN 21

Stellung der von ihm mit der Seide verwechselten Stoffe aus dem Bast der Ramie-Pflanze spricht, denn weder von den Serern in Kan-su vor dem Jahre 176 v.Chr. noch von den damals nach dem Nordwesten des Tarimbeckens ausgewan-derten Teilen dieses Volkes ist bekannt, daß sie sich mit der Herstellung dieser

Art Stoff befaßt hatten. 54 Die chinesischen Quellen, die sich in einer eigenenMonographie mit den Wu-sun beschäftigen, berichten davon nichts.55 Da dieSerer bei Plini us dem Älteren n ach ihrer Beschrei bung mi t den Wu-su n identi schsein müssen,56 gilt das auch für sie. Wenn Strabo die Chinesen als Serer bezeich-net,57 wiederholt sich hier ein Vorgang, der auch bei der Entstehung desNamens anderer Völker zu beobachten ist, bei den Italern in Süditalien, nachdenen die Bewohner der ganzen Halbinsel genannt wurden, oder den Germanenim Südwesten Mitteleuropas, deren Name als Bezeichnung der übrigen Stäm-me geb rauc ht wurde. Die Ursache f ür die Verwe ndung dieser Na men ist über -

all die gleiche. Es waren jene Völker, denen die Griechen in Italien, Deutschlandoder China zuerst begegneten.

Die Mittlerrolle der Serer im Handel mit China

Während Herodot einen Handelsplatz bei den Argyppaioi als Stätte desWarenaustausches zwischen Griechen und Issedonen nur voraussetzt, wirdPlini us der Ältere auch hier deutl iche r. Na ch ihm erfolgte der War ena ust aus chmit den Serern am Ufer eines Flusses und dort in der Form eines «stummenTauschhandels».58 Dem scheint auf den ersten Blick Herodot zu widersprechen,

der voraussetzt, daß die griechischen Kaufleute mit den Issedonen durch sky-thische Dolmetscher sprechen konnten.59 Der Widerspruch klärt sich dadurch

54 Es gibt eine alte Erz ähl un g in Chotan , nach der eine Prinzessin aus Ku ts ch adas bostehende Verbot der Ausfuhr von Eiern des Seidenspinners dadurch umgangenhabe, daß sie die Eier unt er ihrer K opf bed eck un g über die Grenze nach Ch otanbrachte, wo man bis zu diesem Zeitpunkt weder Maulboerkulturen noch die durch sieer nä hr te n Seidenrau pen kan nt e. (Vgl- CHAVANNES, Doe., S. 126—126). Die Er zä hl un gkeweist daß es im Tarimbe cken erst relat iv sp ät zur Ei nf üh ru ng der Seid enra upen zuch tgekommen ist.

55 Vgl- J - J . M. DE GROOT : Chinesische Urkun de n z ur Geschichte Asiens. Teil 2.Berlin—Leipzig 1926. S. 125 — 16. Aus den Berichten geht hervor, daß dio Wu-sunNomaden waren und in Jurten wohnten. Man pflegte ihnen als Geschenke chinesischeSeiden zu übersenden.

56 Vgl. Anm. 50."Vgl. Anm. 49.58 Plini us Nat . Hist . VI, 88 u. Mela III , 59.59 Hero dot IV, 24. u. 27. Her odo t er wäh nt die Notwendi gkeit von sieben Dol-

metschern für die Reise von der Donmündung zu den Argyppaiorn. Da man auf dem Wegzu ihnen nur sechs Völker berührte, war offensichtlich der siebente für das Gespäch mitden Issedonen bestimmt. Diose Dolmetschertätigkeit bezog sich auch auf die schriftli-chen chinesischen Angabon, die sich auf den zum Kauf angebotenen Seidenrollen befan-de n. In seiner Scholie zu Dionysios Per ige tes heiß t es : Ol ôè Erjßeg ovxoi т о orjQtxàv mo-

Àovvxeç (moxQovovxai т о xifiryia imygayavreg xoîç aaxxíoig, xai ó ë/monoç iÇ èm.yga<pijç noieïxai xàç ônoxQÎoeiç. Die Angaben der Scholie werden durch den Befund an den in Lo-lan ge-

fundenen chinesischen Seidenrollen bestätigt. Sie enthielten nicht nur Angabon überden Preis, sondern auch über Länge, Breite und Gewicht. A. STEIN, Central Asian reliesof Chinas ancient silk trade in T'oung Pao 20 (1921) 131 ff.

Acta Antiqua Academiae Srientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 2 H. W. 1IAUSSIG

auf, daß Plinius hier, wie auch an anderer Stelle, eine indische Quelle benutzt. 60

Die Inder verfügten offenbar zu dieser Zeit über keine Dolmetscher, durch diesie sich mit den Serern verständigen konnten. Da man den Syr darya als Silis(= «Sercrfluß») bezeichnete61 — der Name des Flusses wie der Name Serer wird

bekanntlich in parthischer Aussprache statt des r mit einem l gesprochen —kann man vermuten, daß der Warenaustausch mit den Serern im Ferghana-Talam oberen Syr darya erfolgte.

Der kombinierte See- und Landweg der Seidenstraße

Dieser dritte Weg der Seidenstraße setzt sich, was den Seeweg betrifft,aus einer ägyptischen und mesopotamisohen Route zusammen, die beide nachBarygaza, einem Hafen an der Mündung des Namadainden Indischen Ozean,

führten. Ihre Beschreibung ist in dem sogenannten «Periplus des Roten Meeres»enthalten, mit dem der Indische Ozean gemeint ist. Es handelt sich um eine ausder Zeit um Christi Geburt stammende Darstellung, die sich auf den Schiffsver-kehr im Indischen Ozean bezieht. Sie erwähnt den von Barygaza über Baktriennach Thinai führenden Handelsweg. Thinai62 beze ichne t hier die chinesischeHauptstadt, deren Name von der Bezeichnung Ts'in des west lichs ten chinesi-schen Staates gebildet ist.

Zusammenhängende Beschreibungen der drei Landwege dieser Route derSeidenstraße gibt es nicht. Für einen von ihnen, jenen durch Mittelasien, bleiben

als einzige Spuren die indischen geographischen Bezeichnungen von drei Gebir-gen, die der Weg, der an der Mündung des Kabulflusses in den Indus seinenAusgang nahm und bis in das Ferghana-Tal fast bis zur Quelle des Syr daryaführte, berührte. Es sind die Sanskritnamen für den Hindukusch : Ottokorra,für den Pamir : Imaos ( = hima) und fü r das Alai-Gebirge : Kaschia nach einemin Sanskritquellen vorkommenden Namen für ein Gebirgsvolk, das vielleichtmit den von Herodot erwähnten Argyppaioi identisch ist.63 Auf diesem Weg istvielleicht die von Nearchos als Dermata Serika ( = «Serische Häute ») bezeichneteSeide nach Indien gekommen. 64 (Nearchos war der Admiral Alexanders des

Großen.)Von der zweiten Route, die über den Wachdir-Paß in Jarkänd das Tarim-

becken erreichte, ist nur ein kleiner Abschnitt mit dem Wach-Fluß, vom Vikto-

80 Vgl. Anm. 48.61 Vgl. Anm. 46.62 Periplus Maris E ry th ra ei (ed. Müller, I, 303, 23) : nagaxeirai êv avri) nóXiç yeaó-

yeioç /leyiorr) Xeyo/iévrj Qlvai, â<p' ró т е EQIOV xai т о vfjfia xai т о o&óviov т о HqQixov EIÇ т а BagvyaÇa ôià BáxTQWv neÇfj tpÉQETai.

83 Die auch im San skri t belegte Bezeich nung Khasa fü l- Ka sc hg ar (Vgl. LEVI :La cat alogue géo grap hiqu e des Ya ksa da ns la Ma hâ mâ yû rï . Jo ur na l Asia tiqu e 15 (1903)

S. 52 u. 102) scheint auf die gleich lautende Bezeichnung der Bergstämme durch dieInder zurückzugehen (LEVI : Notes chinoises sur l 'Inde. BRFEO б [1905], S. 26 0- 26 1) .84 Strabo XV, 693 arjQixà ôéQ/ л а т а .


8/15/2019 ACTAANTIQUA_28 (1980)



ria-See bis Balch, durch eine Beschreibung bei Plinius bekannt ; sie geht aufdie Wegbeschreibung durch den indischen Kaufmann Rachias zurück. 85

Auf die Benutzung der dritten Route, die vom oberen Indus über Gilgitund den Karakorumpaß nach Chotan in das Tarimbeckon führte, weisen nur die

vom ersten Jahrhundert n. Chr. an längs der Straße erhaltenen Graffiti.80

Aller-dings wurde diese Route wahrscheinlich schon 176 v. Chr. von den Sai-wang, denSaka der Indi schen Quellen, nac hde m sie von den Yüe-ch i aus dem Sieb enst rom-land vertrieben worden waren, für ihre Auswanderung nach Indien benutzt. 87

Man kommt also zu dem Ergebnis, daß die Entstehung der drei Routen,der Nordroute, der Südroute und des kombinierten Land- und Seewegs der Sei-denstraße das Ergebnis einer sich über mehrere Jahrhunderte erstreckendenEntwicklung war.

Die Bedeutung der Zusammenfassung älterer Wegstrecken für die Entstehung derSeidenstraße

Während die Nordroute offensichtlich schon in vorgeschichtlicher Zeitfür den Warenaustausch zwischen dem Westen und China benutzt wurde1,scheint für die Südroute als Ganzes eine Verbindung erst durch die skythischeWestwanderung im 8. und 7. Jahrhundort v. Chr. entstanden zu sein. Bei derdritten Route der Seidenstraße, dem kombinierten See- und Landweg, hat dieam Ende des 6. Jahrhunderts v. Chr. erfolgende Anglioderung des Pandschab

an das achämenidische Persien durch Dareios den Großen die verschiedenenSee- und Landwege zu einer durch gehen den H and els str aße zus amm eng efa ßt.Unter Dareios wurde durch den Griechen Skylax von Karyanda zunächst derWeg von Kaspapyros in Paktyia, 8 8 einer Stadt, die im Tal des Kabulflusses lag,über den Kyberpaß bis zum Indus erkundet.

Hierauf folgte dann die Portsetzung der Reise zu Schiff bis zur Mündungdes Indus und dann von dort über den Indischen Ozean zu den Häfen an dersüdarabischen Küste, von wo man Ägypten erreichte.69 Die andere Abzweigung,

65 Plinius, Nat. Hist. Vi, 16. Oxus amnis ortus in lacu Oaxo. Plinius gibt dann kurzverschiedene Stationen der Straße nach Balch (Bactrum) wieder.

66 Diese folgt im wesentlichen der heutigen Kara ko rum hoc hs tra ße . Die Graff itien tl an g der Straße wurden von JETTMAR fot ogr af ier t un d von HUMBACH be ar be it et , derseine vorläufigen Ergebnisse jetzt vorgelegt hat.

e ' Vgl. hierzu die Ü ber set zun g dos chinesischen Ber ichtes , der au f Chang-k 'ienzu rückge führ t wir d, in der Ges tal t des Ch'ien H an Shu du rc h ENOKI (bei A. K. NARAIN :The Indo-Greeks. Oxford 1957. S. 130). Hierzu muß man noch die Übersetzung, dieG. HALOUN (bei J. JUNGE: Saka-Studion, Klio Beiheft 41. S. 96 nach dem Han-schuKap. 96) gegeben hat. Hieraus ergibt sich, daß die von den Ta Yüe-ehi vertriebenenSai-wang über die Hängebrückenpässe, also die Straße von Khotan über den Karakorum-Paß und Gilgit, nach Indien gezogen sein müssen.

08 Her odot I I I, 102. Die hier erw ähnt en Sage von de n «goldgrabenden Ameisen»

keimt auch die tibetische Uberlieferung.89 Her odot IV, 44.

Acta Antiqua Academiae Scientiurum Hunqarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 4 H. W. HAUSSIG: DIE RO UT EN DE R SEID ENST RASSE NACH ZENTRAL- UND OSTASIEN

die vo n de r Mündun g des N a m ad a aus die mes opo tam isc hen Hä f en erreicht e,hatte zwei Jahrhunderte später Nearchos an der Spitze der makedonischenFlot te erkundet . 7 0 Beide Seeverbindungen wurden in Teilen sicher schon früherbenutzt, aber erst durch Dareios bzw. Alexander zu einer durchgehenden Ver-kehrs- und Handelsverbindung ausgebaut.

Auch bei der Südstraße sind einzelne Abschnitte schon lange vorher fürden Handelsverkehr benutzt worden. Das gilt für die von Herodot erwähnteStrecke von Syrien nach Mesopotamien, auf der z.B. der Weinexport aus Syriennach Babylonien durchgeführt wurde, und die Fortsetzung dieser Straße vonBabylon nach Ekbatana. 7 1

Auf diesem Wege kam vielleicht die bei Herodot als «medische Kleider»bezeichnete Wildseide, die bei den Persern sehr beliebt war,72 nach Mesopota-mien. Dagegen wurden die Fäden, aus denen die Gewebe der Wildseide herge-stellt wurden, wahrscheinlich über die berühmte persische Königsstraße durchAnatolien nach Sardes und Ephesus exportiert. Hier an der Westküste Klein-asiens lagen die griechischen Manufakturen, die aus ihnen die berühmtenkoischen Stoffe herstellten.7 3

Bochum.

70 Vgl. Strabo XV, 693.71 Horodot I, 194.72 Herodot I, 135. Hier wird von dem Import modischer Kleidung durch die Perser

berichtet. Dort scheint zuerst die Wildseido hergestellt worden zu sein, die offenbar zuden sogenannten «medischon Kleidern» verarbeitet wurde.

73 Die Berichte über die Herstellung der Seide in Kos gehen bis in die zweite Hälftedos dritton Jahrhunderts zurück. Damals kannte man nur dio Wildseide, bei der dioKo ko ns i n den Wäldern gos amme lt wur do. Die Ang abe bei Plinius (N at. H is t. 76) kaim

sich daher nicht auf Kos bezogen haben, sondern wahrscheinlich auf Lydien.


8/15/2019 ACTAANTIQUA_28 (1980)


31 В . A. LITVIN SKIY — I. В . PICH IKYA N

MONUMENTS OF ART FROM THE SANCTUARYOF OXUS

(NORTH BACTRIA)*

The las t decades have been successful in the f ield of s tudy of the culture

of Central Asia, especial ly of the culture and ar t of Bactr ia . The archeological

excava t ions r emoved the cu r t a in ove r th i s r eg ion . The fundamen ta l r e s u l t s have

been ach ieved th ro ugh the unea r th i ng and s ys temat i c exc ava t ions of the Graeco -Bac t r i an c i ty Ai -K ha nu m in No r t h Afg han i s t an (S ou th Bac t r i a ) . The y r evea led

here pr inc ip les of c i ty p lanning , so lu t ions of p lanned compos i t ion , technique of

cons t ruc t io n , mo nu me nt s of wr i t te n cu l t ure , the Greek wa y of l i fe of an an t i qu e

ci t y in Anc ien t Bac t r i a , fa r awa y f ro m th e coas t o f th e Med i t er r ane an . 1 Ce r t a in

pa ra l l e l s were fu rn i s he d by th e exc ava t io ns in S aks an okh ur (Nor th Bac t r i a ) ,

where the complex of a pa lace and a temple has been unear thed . 2 H o w e v e r ,

• ABBREVIATIONS

AO А р х е о л о г и ч е с к и е о т к р ы т и я . М о с к в а .

И О О Н А Н Т а д ж . С С Р И з в е с т и я О т д е л е н и я О б щ е с т в е н н ы х Н а у к А Н Т а д ж и к с к о й С С РК С И А К р а т к и е с о о б щ е н и я И н с т и т у т а а р х е о л о г и и А Н С С С РMAP М а т е р и а л ы п о а р х е о л о г и и Р о с с и и .М И А М а т е р и а л ы и и с с л е д о в а н и я п о а р х е о л о г и и С С С РН С Г М И Н В Н а у ч н ы е с о о б щ е н и я Г о с у д а р с т в е н н о г о м у з е я и с к у с с т в а н а р о -

д о в В о с т о к а .CA С о в е т с к а я а р х е о л о г и я .С Г Э С о о б щ е н и я Г о с у д а р с т в е н н о г о Э р м и т а ж а . Л е н и н г р а д .С М В К С о о б щ е н и я М у з е я в о с т о ч н ы х к у л ь т у р . М о с к в а .Т р . Т Г У Т р у д ы Т а ш к е н т с к о г о г о с у д а р с т в е н н о г о у н и в е р с и т е т а .А А Archaeologischer Anzeiger.AM Mittei lungen des Deut schen Archäologischen Instituts.

Athenische Abteilung.AI BL Académie des Inscript ions et Belles-Lettres.

BCH Bulle tin do corres pondance hellén ique.BS FN Bulletin de la Société Française de Numi sma tiqu e.IsMEO Ist it ut o Ita lia no per il Medio ed Es tr emo Oriente.JA SB Jo ur na l of the Asiatic Society of Bengal.J DA I Jah rbu ch des Deutschen Archäologischen Insti tuts.J H S Jou rna l of Hellenistic Studies.MDAF A Mémoires do la Délégation Archéologique França ise en

Afghanistan.ML W. H. Roscher: Ausführlic hes Lexicon der griechischen un d

römischen Mythologie.P P S Proceedings of the Prehistoric Society.RA Rev ue archéologique.

4 P. BERNARD: Fouilles d'Ai Khanoum (Campagnes 1966, 1966, 1967, 1968).MDAFA, XXI. Paris 1973.

2 B . A. LITVINBKIY—H. MUHITDINOV : А н т и ч н о е г о р о д и щ е С а к с а н о х у р (Ю ж н ы йТ а д ж и к и с т а н ) CA 1969. No. 2, 166 foil.

Acta Antiqua Academiae Scientiarum Hun garicae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


26 Б . A. LITVINSKIY — I . Е . PICHIKYAN

as a mat te r of fa ct , jus t a few mo nu me nt s of Grae co-B act rian represent

t at iv e ar t (statue s, reliefs, etc.) hav e been discovered. Fr om the earlier,

Achaemenid, period in the Bactrian territory we have interesting data on cities,

structures of architecture, complexes of material culture, but we have hardly

any finds of monuments of art. The researchers, therefore, have referred fora hundred years to the Graeco-Bactrian coins, collected in Afghanistan, in

Northern India and in the southern part of Central Asia, and to the treasure of

th e Ox us (in Rus si an professional lit era tur e : «Amudar 'inski y klad»), contain-

ing a larger quantity of objects made of gold from the Achaemenid and Seleucid

periods. The striking artistic quality, the expressive and fine portraiture and

characteristic representation of the Graeco-Bactrian kings on the coinages con-

vincingly showed the existence of a high level of monumental art, especially of

scu lp tu re , i.e. of the original specimens copied by the minters. This is also shown

by the highly artistic monuments of fine arts contained in the stock of thetreasure of the Oxus, found by local inhabitants in 1877.3 The history of the

accidental discovery of the treasure of the Oxus and the interpretation of the

finds contained in it have been heatedly discussed up to the present time. All

researchers agree that the treasure was discovered within the boundaries of

Bactria, at the Oxus (Amu-Darya). In fact, it has definitively entered history

as the «treasure of the Oxus» (or in Russian as «Amudar'inskiy klad»).

The history of the archaeological study of the upper course of the Amu-

Darva on the right bank, that is of the narrow coastal strip, situated between

the Amu-Darya and the rocky ridge of the Teshik-Tash, extending near to theriver, is therefore of interest, because it is almost indisputable that the Amu-

Darva treasure was found in one of the two fortresses on the right bank, pro-

tecting the ancient crossing place, viz. the southern Takht-i Kubad, opposite

to t he mo ut h of the Qu nd uz -D ar ya an d the nort her n fortress — Tak ht- i Sangin,

the «Stone Platform» (Kamennoye gorodishche according to M. M. Diakonoff),

at the confluence of the Vakhsh and the Panj .4

N. Mayev and N. Pokotilo, who stayed in that region at the Takht-i

Kubad for some years after the discovery of the treasure of the Oxus, and con-

siderably later also D. N. Logofet, published reports in favour of the discovery

of the treasure at this place (N. Mayev, N. Pokotilo), 5 and speak of the richness

3 О . M. DALTON : Th e Treas ure of th e Ox us. Lo ndon I I I . ed. 1964.4 О . M. DALTON : op. cit. ; E . V. ZEYMAL : Е щ е р а з о м е с т е н а х о д к и А м у д а р ь и н -

с к о г о к л а д а . И О О Н А Н Т а д ж . С С Р 1 (28) (1962) 30. See E . V. ZEYMAL: А м у д а р ь и н -с к и й к л а д . Leningrad 1979 ; M. M. DIAKONOFF : Р а б о т ы К а ф и р н и г а н с к о г о о т р я д а . М И А15 (1950) 183; idem: А р х е о л о г и ч е с к и е р а б о т ы в н и ж н е м т е ч е н и и р е к и К а ф и р н и г а н а( К о б а д и а н ) 1950—1951. 37 (1953) 254 ; idem: У и с т о к о в к у л ь т у р ы Т а д ж и к и с т а н а . Stalin-ubad 1956. 69.

5 F . ZHUKOV : В е р х н е е т е ч е н и е А м у -д а р ь и . Г а з е т а « Т у р к е с т а н с к и е в е д о м о с т и »18. I I I 12 (1880) (N. A. MAYEV un der th e p se ud on ym «F. ZHUKOV» publ ished some of

h is sc ie nt if ic a nd be ll et ri st ic works) ; N . POKOTILO : П у т е ш е с т в и е в ц е н т р а л ь н у ю и в о с -т о ч н у ю Б у х а р у . И з в е с т и я Р у с с к о г о г е о г р а ф и ч е с к о г о о б щ е с т в а . 25 С П б . (1889) 480.


8/15/2019 ACTAANTIQUA_28 (1980)


MONU MENT S OF ART FROM TH E S ANCTUARY OF OXUS 2 7

in gold of the bank of the river (D.N.Logofet). 6 The latter writes quite obscurely

about a nail-formed (cuneiform ?) inscription on the rocky wall, but he publishes

no photograph. Consequently, the authenticity of this report, of course, raises

serious dou bts . Ex ce pt th e gold diggers, ab out who m we kn ow fro m the re po rt s

of N. Mayev and N. Pokotilo, nobody had made excavations at Takht-i Kubad.At Takht-i Sangin the first exploratory trenches were made in 1928 by the

members of the expedition of the National Museum of the Art of the Peoples

of the Orient B. P. Denike. M. M. Diakonoff found on a column the inscription :

«To send to the Moscow museu m . . . », writ ten with c opyi ng pencil, and he

reported about this.7 The results of the works of this year have not been pub-

lished.8 M. M. Diakonoff has left impressive lines on his stay at Kamennoye

gorodishche, however, he did not regard the treasure of the Oxus as a uniform

complex, contest ing th e opinion of O. Dal to n — to be sure witho ut ar gu me nt a-

tio n — on the Ira nia n origin of the obje cts contain ed in it.9 Almost thirty yearsafter the works of B. P. Denike, in 1956 A. M. Mandelshtam made an explora-

tory excavation 11 m. by 7 m., in a depth up to 2 — 2,5 m. in Ka me nn oy e goro-

dishche, which did not furnish substantial results.10 In a series of his articles,

on the basis of the pottery discovered, he dated the early layers of Kamennoye

gorodishche to Graeco-Bactrian times.1 1 A. M. Mandelshtam did not connect

the explored place with the treasure of the Oxus.

Beginning with 1976 through 1982 the South Tajikistan Archeological

Expedition, led by B. A. Litvinskiy, Corresponding Member of the Academy of

Sciences of the Tajik SSR, has been carrying on excavations in Kamennoyegorodishche. The Takht-i Kubad team of the Archeological Expedition of South

Tajikistan (headed by I. R. Pichikyan) did not set itself the target to identify

the site of the treasure of the Oxus. The selection of the place of the works at

Takht-i Sangin (Kamennoye gorodishche) was connected with a systematic ex-

ploration of the cultural relations of the ancient peoples of Central Asia with

the Ear East, esp. with China, India, Iran, Afghanistan and the Mediterranean

area. The antique phase of these relations has been studied very little so far.

The location of the gorodishche on the ancient caravan route, the excellent pre-

8 D. N. LOGOFET : Н а г р а н и ц а х С р е д н е й А з и и . П у т е в ы е о ч е р к и в 3-х к н и г а х . К н .I II , С П б . 1 9 0 9. 5 7— 6 9; M . М . DIAXONOFF : А р х е о л о г и ч е с к и е р а б о т ы . 255.

7 M . М . DIAKONOFF : А р х е о л о г и ч е с к и е р а б о т ы . . . 254 foil. I n 1977 we found inthe same place a big piece of a column, although without an inscription.

8 B. P . DENIKE : Э к с п е д и ц и я М у з е я в о с т о ч н ы х к у л ь т у р в Т е р м е з . П р е д в а р и т е л ь -н ы й о т ч е т . К у л ь т у р а В о с т о к а С М В К I . Moscow 1927. 18; idem: Э к с п е д и ц и я М у з е яв о с т о ч н ы х к у л ь т у р в С р е д н ю ю А з и ю 1927 г о д а . К у л ь т у р а В о с т о к а I . Moscow 1928. 4.

9 M. M. DIAKONOFF : А р х е о л о г и ч е с к и е р а б о т ы . . . 255.10 See В . A. LITVINSKIY—I. P . PICHIKYAN : Т а х т и С а н г и н - К а м е н н о е г о р о д и щ е .

Р а с к о п к и 1976 1978. К у л ь т у р а и и с к у с с т в о д р е в н е г о Х о р е з м а . Moscow 1980. 195.11 A. M. MANDELSHTAM: К о ч е в н и к и н а п у т и в И н д и ю . М И А 136 (1966) 146. Idem :

К и с т о р и и Б а к т р и и — Т о х а р п с т а н а (Н е к о т о р ы е а р х е о л о г и ч е с к и е н а б л ю д е н и я ). К С И А98 (1964) 23 . I dem: П а м я т н и к и к о ч е в н и к о в к у ш а н с к о г о в р е м е н и в С е в е р н о й Б а к т р и и .Leningrad 1975. 135-136.

4* Acta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 8 В . A. LIT VIN SKI Y-I . R. PICHIKYAN

ser vat ion of the strong stone protec tive walls (not char acter istic at all of t he un -

b u r n t brick and mud arc hite ctu re of th e region), the par ts of ant iqu e c olumns

sc at te re d on the surfac e of the ear th ha ve aroused interest from immemorial

tim e. However, the diff icu lt approa ch to th e place, the distance fro m the inh ab-

ited places, the lack of drinking-water, rendered the excavations very complic-ated, even if at the same time the exploration of this gorodishohe was of great in-

ter est bo th for the histo rian and for the archaeologist, bu t it de man de d gre at ma-

terial and human expenditures at the permanent works. 12 As from 1976 from

year to year, the progress of the works has been showing more and more conv-

incingly the perspectivity of research work at Takht-i Sangin. The archaeological

an d sty list ic parallels of cer tain fi nd s of th e tre asur e of th e Oxus show th e

possibility of a more scientific understanding of the highly artistic objects con-

tained in it that, together with the new discoveries of the works of art, is impor-

tant for the history of culture of Central Asia, Afghanistan and Iran.1 3

Takht-i Sangin consists of urban structures and manors surrounded from

the north and the south with protective walls in a distance of 1 kilo metre . In the

centre of the city there is the citadel (165 m. by 237 m.), surrounded with a moat

up to 3 metres deep, and with stone walls rising up to a height of 6 metres even

today, with a thickness of 2 metres, and at the corners flanked by bastions.

To the west the gorodishche stands close to the ridge of the Teshik-Tash, where

the necropolis is situated. Thus from the west the fortress is protected by a

mountainous ridge, from the east by the Amu-Darya, and from the north and

the south by a double line of protective walls. Thus, as a result of the strategi-cally considered selection of the place, it was inaccessible from the dry land.

The natural factors strengthened the efficiency of the structures of fortification,

strong even without them. The planning of the citadel, in its eastern half, is

characterized by the existence of a big square paved with big bricks (50 cm. by

50 cm.), and in its western half there are structures of a palace and a sanctuary

rising 3 metres above the court. The ruins of these structures form three

mounds : the central, the northern, the north-western and southern.

It was clear from the very beginning of the research work that in the

central mound (digging of 25 metres by 30 metres) we are unearthing a sanctu-ary structure. 1 4 Now, on the basis of an inscription — consecrated to the god

12 M. M. DIAKONOFF : А р х е о л о г и ч е с к и е р а б о т ы . . . 265.1 3 О . M. DALTON : op. cit.; E . V. ZÏÏYMAL : А м у д а р ы ш с к и й к л а д ; T . I . ZEYMAL —

E . V . ZEYMAL: Е щ е р а з . . . 40 — 46; В . G. GAFUROV : Т а д ж и к и . Moscow 1972. 78;E . E . KUZMINA: В с т р а н е К а в а т а и А ф р а с и а б а . Moscow 1977. 47, 1 24 ; eadem : С е м а н -т и к а и з о б р а ж е н и я н а с е р е б р я н о м д и с к е и н е к о т о р ы е в о п р о с ы и н т е р п р е т а ц и и А м у д а р ь и н -с к о г о к л а д а . И с к у с с т в о В о с т о к а и а н т и ч н о с т ь . Moscow 1977. 16; В . YA. STAVISKIY :К у ш а н с к а я Б а к т р и я . П р о б л е м ы и с т о р и и и к у л ь т у р ы . Moscow 1977. 74, 93 ; idem: З а м е т -к и о б А м у д а р ь и н с к о м к л а д е . И с к у с с т в о В о с т о к а и а н т и ч н о с т ь . Moscow 1977. 43.

14

I . R . I'icHiKYAN : К у л ь т о в ы й к о м п л е к с н а К а м е н н о м г о р о д и щ е (о б о с н о в а н и е ,х а р а к т е р и с т и к а ) . В с е с о ю з н о е н а у ч н о е с о в е щ а н и е «А н т и ч н а я к у л ь т у р а С р е д н е й А з и и иК а з а х с т а н а » (Т е з и с ы д о к л а д о в ). Tashkent 1979. 88—90.

Acta Antiqua Academiae ScierUiarum Hungarica e 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONUM ENTS OF AR T FROM TH E S ANCT UARY OF OXUS 2 9

Oxus — this att ri bu ti on has been fu lly con fir med. The nucleus of th e palace-sa nc tu ar y comple x consists of th e central qu ad ra ti c White Hall (144 squ aremetres) and the two lines of circumambulatory galleries, with a breadth ofabout 3 metres, and the length of the southern section being 12 metres, that ofthe western section 21 (26) metres, and that of the northern section, being thereflection of the southern section and explored so far only on the surface, 12metres. The central four-columned White Hall and the corridors are formed bymu db ri ck walls on the n at ur al subso il, wit h a pres erv ed h eight of u p to 5.5me tr es an d a thi ckn ess of 3 met res , rising fro m the subsoil u p t o t h e pre-sent-day surface. The size of the bricks (50x50x15 cm) is unusual for thestructures of the Kusäna monuments of North Bactria. 1 5 Each wall was plaster-ed three times and whitewashed several times.

The described planning of the temple of Takht-i Sangin (Fig. 1) can betraced back to the Iranian fire temples. A difference can be observed in the ar-rangement and number of the doorways, in the connection of the three innerambulatory corridors among themselves, framing the cell from the front and thesides, and in oth er not impor tan t details of the unif orm construction of the eas t-ern fire tem ple . We see an ent ire ly identica l pl an ni ng in Pers epolis, in t he lit tleknown fire temple, discovered by E. Herzfeld. 16 Obviously the architects plan-ning the sanctuary of Takht-i Sangin relied upon this, or another similar model.Other architectural and planning solutions of temples with four-columned cellsand three ambulatory corridors near to those of Persepolis and Takht-i Sangin

are published by K. Schippmann in his book dedicated to the development ofthe form of the Iranian fire temples. 17 It has to be added that the sanctuary inthe north-eastern part of Dilberjinalso belongs to this archaeological standard. 1 8

The roofing of the central White Hall (named by us so because of thecolour of the white plaster and the white alabaster floor) rested on four columns.Of the colum ns the torus- shap ed bases of the eas ter n order have been pre ser ved ,with removable tori on the two-step pedestal. The dimensions of the bases (1metre on the side of the pedestals, and 0,65 metres at the lower part of thecolumns) allow to reconstruct the volumetrical solution of the central White

15 V. A.NILSEN : А р х и т е к т у р а С р е д н е й А з и и V—VIII в в . Tashkent 1966. 204—208 ;G. A. PUGACHENKOVA : К и с т о р и и а н т и ч н о й с т р о и т е л ь н о й т е х н и к и Б а к т р и и Т о х а -р и с т а н а (П о р а с к о п к а м в Х а л ч а я н е ) CA 4 (1963) 74; eadem: Х а л ч а я н . T as hk en t 1966.126—127; eadem: Д а л ь в е р з и н т е п е . К у ш а н с к и й г о р о д н а ю г е У з б е к и с т а н а . Tashkent1978. 232; eadem: К п о з н а н и ю а н т и ч н о й и р а н н е к у ш а н с к о й а р х и т е к т у р ы С е в е р н о г оА ф г а н и с т а н а . В ы п . I. I . Moscow 1976. 126; eadem: Ж и г а - т е п е . (Р а с к о п к и 1974 г .).Д р е в н я я Б а к т р и я , В ы п . 2. Moscow 1979. 70—72.

10 A. GODARD : L' Ar t do Iran. Par is 1962. 161, Fi g. 166." K . SCHIPPMANN: Die irani schen Feue rheil igtümor . Boriin -New York 1971.

496, Fig. 83, 178-180, Fig. 24.18 1. T. KRUGLIKOVA : Д и л ь б е р д ж и н . Р а с к о п к и 1970—1972 г г . P ar t I . Moscow. 16.

Un fo rt un at el y I. T. KRUGLIKOVA does no t men tio n an yt hi ng ab ou t the for mat ion of th ehall With inner column (room 1), presum ing th at th e columns must sta nd outsi de a ndnot within the cell.


8/15/2019 ACTAANTIQUA_28 (1980)


30 В . A. LITVINSKIY — I . В . P IC HIKYAN

Hall quite firmly with the original height of the columns of nearly 7 metres.

The removabil i ty of the tori finished on a rotat ing mil lwork, separately from

the pedestals, the character of the working of the stone, having analogies in

the Achaemenid archi tecture 1 9 and in the Graeco-Bactrian order of Ai-Kha-

num , 2 0 speak for the Seleucid or early Graeco-Bactrian times as the date of theoriginal constr uct ion, to be da te d on the basis of the archaeological cha rac ter -

ist ics not later than to the 3rd century B.C.

The analysis of the fashioning of the monumental al tar, discovered in the

north-western corner of the White Hall , confirms this early date of the estab-

l ishment of the sanctuary. The stylobate of the al tar area, standing on the sub-

soil, with two bases for circular altars on the upper plain surface with a diameter

of 1 me tr e, is at ta ch ed dir ect to the west ern wall of th e hall an d st an di ng at a

dis tan ce of 0.6 metr es fr om th e north er n wall in its ful l leng th. Th e br e ad th an d

length of the stylobate is close to the square, viz. 2.65 me tre s by 2.5 me tr es by0.3 met res . The rectangu lar squar es run nin g along the perimete r of th e sty lob ate

have an edge without oblique grooves that points to an early Hellenistic date

of the establ ishment of the al tar and to the Greek tradi t ion of stone-cutt ing

craft. As regards its axes, this structure is perfectly parallel with the sides of the

square formed by the four columns, and absolutely identical with i t regarding

the character of the fashioning of the stones. The unity of the compositional

solution of the interior of the White Hall and the quality of execution of the

monumental al tar and of the columns point to the establ ishment of the sanctu-

ary of Oxus as a whole in Graeco-Bactrian times. A close analogy to the formof the base of the stone altar is furnished by the altar of Dilberjin, with dimen-

sions 2.47 met res by 2.48 met re s, and heig ht 0.6 met re s. It is tr ue th a t thr ee

rows of blocks were preserved there (the upper one is definitely the later — the

Authors ) . 2 1 An analogous altar is known in Surkh Kotal in the inner cell of the

temple of Kaniska. 2 2

The monumental ly formed doorways, the jambs of which are reinforced

by triple pylons, set on rectangular stone bases give an effect of stateliness

19 The bases with remo vabl e tori in the Whi te Hall cannot be date d l ater tha nthe Hellenistic period. In the profile the tori discussed here are entirely analogous to thethr ee- step ped torus-like bases of the outer porti co of the propyl aeum of Ai-K han um.As a consequence of this the original construction of the central nucleus of the culticcomplex discovered by us is very likely contemporaneous with the propylaeum of Ai-Khanum. E . F. SCHMIDT : Persepol is I. Figs 75—79, Pis . 119, 122 ; A. B. TLLIA : Studiesand Restorations at Persepolis and Other Sites of Färs. II. Rome 1978. Figs 4 — 5, 12—15,18-25, 38, 39.

20 P . BERNARD : Ch ap it au x corinthiens hell éni stiques de l'Asie Cen trale décou-verts à Ai Khanoum. Syria 45 (1968) 128, 129, Figs 8a, 10 ; P. BERNARD : Campagne defouilles 1969. AIBL, 1970, avril—juil. Paris 1970. 337, Eig. 29; ibidem 333, Fig. 28.

2 11. T. KRUGLIKOVA : Д и л ь б е р д ж и н . Р а с к о п к и 1970 1972 г г . 29, F igs 20—29.22

D. SCHLUMBERGER : De r hellenis ierte O ri en t. Die griechische imd nachgr iechi -sche Kunst außerhalb des Mittelmeerraumes. Kunst der Welt. Baden-Baden 1969. 62,Fig. 27.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMEN TS OF ART F ROM TH E S ANCTUARY OF OXUS 3 1

similar to those of Ai-Khanum and earlier monuments of eastern archi-tecture.2 3

The main votive offerings, concentrated to a depth of 3.5 to 4 metresunder the modern surface, were lying on the floors not far from the subsoil,at a distance of 0.05 to 1 metre that has to range them with the first period ofconstruction. However, up to the present time no pure Graeco-Bactrian layercould be separated, since in the floors, pits and cultic burials the latest, un-doubtedly Kusäna material seems to be determinant as to the dating. This canbe explained by the literal period of the life of the sanctuary, and also by thepreservat ion of its function al meani ng also aft er the con que st of Gr aeco-B actri aby the Kusänas. The early date is confirmed only by the basic mass of the finds,viz. by highly ar tis tic , and as a resu lt of this fairl y rel iab ly databl e, wor ks offine arts of the Seleucid and Graeco-Bactrian periods.

Certain finds of the Achaemenid period, earlier than the time of construc-tion of the sanctuary, purely Greek items of the classical time, are well explainedby the statements of the written sources on ancient weapons and votive monu-ments of different times to be found in the temples. This picture is given by thecomparisons with the excavations of other sanctuaries, 24 where the chronologicaldispersion of the votive stock is determined by the careful relation of the sacri-ficers to the sacrificial offering to the deity, characteristic of the religions of alltimes and peoples. The robbing of the sanctuaries having very precious treas-ures, still in ancient times, most frequently by people belonging to foreign

tribes, or in very exceptional cases by compatriots, is shown even more con-vincingly by the results of the archaeological excavations, than by the antiqueauthors. It has to be stated that the richness of the material in Takht-i Sanginis not characteristic of the urban sanctuaries.

A normal way of preservation of offerings out of use both in Greece andin the East was their hiding in specially digged pits (bothroi) or in old worn-outreservoirs, receptacles, cisterns, water tanks. Regarding the character of thestor ages of th e find s, in Tak ht -i Sangin several typ es of cultic inte rring ha ve been

23 R . NAUMANN : Ar ch ite ktu r K leina sions von ihren An fä ng en bis zum En do dorhethitischen Zeit, Tübingen 1971. 160—171, Figs 194 — 217, 406 ; P . BERNARD : Foui ll esd ' A i K h a n o u m . P i s . 4 6 , 6 6 , 6 1 — 6 4 ; B . A . L I T V I N S K I Y — X . M U H I T DI N O V : op. cit. 1 6 4 ,Figs 3, 5.

24 С . CARARANOS : Dodo ne et ses rui nes . Pa ri s 1878. Pi s. XI I I —XLI V, X L I X — L ;R . M. DAWKINS : T he Sa nc tu ar y of Ar te mi s Orth ia at Sp ar ta . Lon do n 1929. 239, 244,Pis . CLX VII , 2, CLX XV , 14 ; 2 3 6 - 2 3 7, PI. CL XI I ; G. DAUX : Chronique dos fouilleset découvertes archéologiques en Grèce en 1963. BCH 90 (1966), 2, P. 847, Fig. 6 (a, b) ;F. SCHMIDT : Persopolis, II. Chicago 1957. 63, Fig. 8 (PT, 5, N 409 ; PT 4, N 409, N 449),p . 99, Fi g. 20 ( P T 6, N 57 8 c, P T U , 1114 a). O . M. DALTON : op. cit. In the Nor thernCoast of the Black Soa : M. M. HUDYAK: И З и с т о р и и Н и м ф е я . Leningrad 1962. 22, 26,47, 54; E . I . LEVI: О л ь в и й с к а я а г о р а . М И А 50 (1956) 41 ; E . I . LEVI: Н о в ы е п о с в я -

т и т е л ь н ы е н а д п и с и А п о л л о н у Д е л ь ф и н и ю . In: И с т о р и я и к у л ь т у р а а н т и ч н о г о м и р а . Mos-cow 1977. 96; E. I . LEVI: М а т е р и а л ы о л ь в и й с к о г о т е м е н о с а . О л ь в и я . Т е м е н о с и а г о р а .Moscow—Leningrad 1964. 132, 133.


8/15/2019 ACTAANTIQUA_28 (1980)


32 В . A. LITVINSKIY — I . В . PICHIKYAN

dis cov ere d. These are du mp s in di st an t corner s of corridors (Nos 1 —4), cas tin gs

into specially constructed pits (bothroi) (Nos. 1 — 5) and du mp s beh ind a part i-

tion (favissa) (No. 1). Thereafter the corridors were walled up blocking the

doorways with other bricks smaller in size, than those of which the walls were

built (doorways Nos. 1, 2). In the second period of construction the doorwayswere renovated, the corridors were strewn to 2 metres, leveled with a stamper

and paved, the walls were strengthened with arch-butresses. The functioning

of the sanctuary continued that is testified by the bringing of horns of sacrificial

animals into the corridors, viz. of stags, bulls, goats, rams, found on the pave-

ment without accompanying material. Soon afterwards the whole territory of

the sanctuary, the hall and the three ambulatory corridors were filled up with

stiff clay. The cultic votive deposits, arranged in the area of the sacred sites be-

side, and in the sanctuary itself in specially digged pits (bothroi), 25 in favissas,28

the uniqueness of the votive objects and the difference in time of the cast offmaterial, are widely known from the excavations of the antique monuments.

Th e o ffe rin g of th e ho rn s of th e sacr ifi ced a nim als has ana logi es in th e most

ancient eastern sacred monuments, contemporary with the sanctuary of

Oxus. 2 7

The description of the structure and dimensions of the bothroi and cultic

interrings is given in the most detailed form in special archaeological reports,

partly already published.2 8

In the present work we cannot publish all monuments of art discovered

by us. Therefore, we discuss in detail certain finds of ambulatory corridor No. 2,ami we only mention the other, brightest ones.

All the proposed monuments have been discovered in the same depth,

in th e last lower me tr e of am bul at or y corri dor No. 2 of the ex ca vat ed templ e

25 As was no ted by E . I. LEVI : «The pi ts with cultic mat eri als wer e conce ntrate dei th er i mmediat ely in th e neighbou rhood of th e temples , or on the bor der s of the temenos.»

26 The stru ctu re of th e favissa with p it closed with a Dori c ca pit al see : H. A.THOMPSON: A ctiv itie s in th e At heni an Ago ra . Hes pe ri a 27, 2 (1968) 145 ; D. BURR:A Geome tri c House a n d a P rot o-A tti c Vo tiv e Deposi t. He speri a 2 No . 4 (1933) 542 ;K . LEHMAN: Sa mo th ra ka . Hes per ia 19 (1950) 12, Pl . 9; С . WEICKERT : Typ en de rarchaischen Architektur in Griechenland und Kleinasien. Augsburg 1929. 78.

27 To the bothroi, pit s for the th ro wi ng of cultic deposits, ther e are so broa d an al-ogies in the antique world that it is no use to mention them. An analogous repositoryof the horns of sacrificial animals has been discovered recently in the southeastern corri-do r in Dedoplis Mindor i (Georgia). The thr ow in g down is dat ed to th e 1st cent ury В . C.According to the authentic assertion of the researcher, this temple stands side by sidewith a multitude of temple and palace buildings of ancient and Hellenistic East. Yu. M.GAGOSHIDZE : Р а с к о п к и х р а м а I в . д о н . э . в Д е д о п л и с М и н д о р и (В о с т о ч н а я Г р у з и я ). К С И Ач е с к и е 161 (1977) 107.

28 В . A. LITVINSKIY—I. R . PICHIKYAN : Т а х т и -С а н г и н К а м е н н о е г о р о д и щ е( Р а с к о п к и 1976- 1978 г г . ) 195—218; В . A. LITVINSKIY— I. R. PICHIKYAN: А р х е о л о г и -ч е с к и е о т к р ы т и я н а ю г е Т а д ж и к и с т а н а . В е с т н и к А к а д е м и и Н а у к С С С Р 1980. N 7. 124—

133 ; В . A. LITVINSKIY - I . R . PICHIKYAN : Н о ж н ы а к и н а к а и з Б а к т р и и . В Д И 1981. N3. 87—110. see also the articles of I. R. PICHIKYAN in the volumes entitled «А р х е о л о г и -ч е с к и е о т к р ы т и я » f or t h e y ea rs 1976—1980.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMEN TS OF ART FROM TH E SANCTUARY OF OXUS 3 3

on Takht-i Sangin.29 This, first of all, relates to cultic deposit No. 4, consistingof different cultic and dedicated material cast on the floor in a depth of 0.1metre above the subsoil into the most distant corner of the 21 metres long am-bulatory corridor No. 2.30 The cast ing of th e cultic obje ct s to ok place in th e 1st

century A. D., they showed a synchronous character, but the main offeringgifts can be dated to the Hellenistic period, and certain specimens to the 5thcentury B. C.

Let us turn to the monuments of polar dating i.e. to those of the earliestand the latest dating, and also to those of fairly strict dating.

The sheath of the Achaemenid akinakes is made of solid piece of ivory(Fig. 2). The upper end with a side part consisting of two semiovals has a circularhole for the attachment to the belt.3 1

On the front surface two «scenes» are engraved. The main, upper scene is

very expressive, viz. it is fille d by the large fig ure of a lion sta nd ing on i tshind paws, holding in its forelegs a small stag. The body of the king of the ani-mals is represented in profile, and its head in front-view with a little turning tothe stag. The head of the lion is modelled clearly, expressively. The bulges of thecheek and the forehead are projecting relief-wise, the chin is well cut, the eyesare carefully fashioned, the nose is modelled with wrinkles on the upper surfaceand with nostrils, and the whiskers are widely projecting on the sides. From theclosed, snarling mouth big slantwise canines are protruding. The lion holds thestag in its paws. The lion is standing on its fully straightened out hind paws,

the right one being ahead (on a higher level), and the left one behind (on a lowerlevel). The legs of the animal are accurately represented, on the right leg eventhe contracted pillows of the claws are shown. The tail is lowered between thelegs and twisted around the right leg. It ends in a broadening, a tassel. Thepowerful body of the beast of prey is strongly stressed with its paw stretchedahead, with which it holds the stag. The hair on the back and the mane areindicated with parallel slanting bulging stripes with outer curly ends. The gapbetween the stripes is filled up with circular bulging hatches running at anglesto the basic ones. All this, although in a conditional and generalizing way, gives

the impression of a thick fur.

29 The upper two construction periods, the second and the third (6 to 2 metres abovethe subsoil) furnished altogether about 20 fragments of Kusäna pottery. In corridorNo. 2, the second construction period, on a level of 2 metres above tho datum-point oflevelling, on 1 met re abov e the real subsoil, exact ly corresp onded to the mat eria l on th esynchronous level in corridor No. 1. Here there were found about ten whole horns of theOasella subgutturosa, ra ms an d goats. On th e floow, toget her with the horns, no o th erfinds were discovered.

30 Cultic deposit No. 4 in the nort he rn en d of the west ern c ircu lar gallery of t hetemple, of corridor No. 2, consisted mainly of alabaster sculptures of different forms.

31 Tho whole she ath of aki nak es made of ivory was cleaned a nd fixed by I. R .PICHIKYAN and the restaurator N. TURLIGIN, A. Donish Institute of History of the Acad-emy of Sciences of the Tajik SSR, inventory No. 1000/1091. On the outer surface thereare minor defects and crackles.

3 Acta Antiqua Academiae Scientiarum Hunqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


34 В . A. L ITVINSKIY — I . В . PICHIKYAN

I n the fem ura l pa rt the legs, tw o ovals with a notc h, con ditional ly stress-ing the muscles, at the same time serve as a filling ornament, characteristic ofarchaic art. In the front part of the thigh are two twisted converging stripes,

with circular thin lines between them, similar to the horns of a goat. On the

front shoulder-blade there are twirls, but without notching, whose outlines,besides these, are represented with a small bulging. The joints of the paw andthe bulging claws are fashioned in a detailed form.

A vertical stripe runs along the breast and the abdomen (it incurves be-low) with a horisontal notch. But the head of the lion is fashioned most clearlyand in a most detailed form. It is represented in front-view with a slight turningt o th e right, to the s tag. The figur e of th e sta g is represent ed ver tically in profile,it is most expressive and realistic. The muzzle of the stag is turned towards the

lion, its feet are twisted and let down in a pose of obedience.

The lower broadening of the sheath (bouterolle), is filled up with the figu-rine of a doubling up beast of prey and with the head of a goat (Fig. 3). Thetrunk of the attacking animal belonging to the felidae is high ly styli zed. Thecar ve r paid the gre ate st att ent ion to th e head of th e goat , which is not onl y

dominating in its size, but it is represented also with a careful fashioning ofmany details. The side surfaces and the upper edge are ornamented in twostripes with the Greek ornament of ovoli, viz. with an outer narrow one withclose-set perpendicular notches, and with an inner broad one, consisting of

Ionic ovoli, turned inside (bigger than on the lower, narrow one).

The composition of both scenes is excellent. The figures of the animals ofprey and their victims are excellently drawn into the picture-plane, utilizing

each millimetre of the space. The sheaths, besides being highly artistic works ofart, at the same time reflect the synthesis of the components of Achaemenidculture merging with the achievements of antique Asia Minor (Ionic ornamentframing the representations), of ancient eastern symbology (in spite of the

«zoomorphic» physiognomy of the lion, it is unusually anthropomorphic, un-doubtedly this is a mythological allegory, viz. the tr iu mp ha nt winner — theking or god — and the obedient subject), and the animal style, to which the

lacerating scene on the bouterolle belongs, interpreted in its own way and com-pleted with ornamental motifs.

The sheaths of Takht-i Sangin are undoubtedly sheaths of dagger-aki-nakes. On the reliefs of Persepolis the form of the akinakes and its sheath borneby the Persians sharply differ from those of the Modes. 32 The akinakes of the

32 E. HERZFELD : Ir an i n the Anci ent Ea st . London —New York 1941. 266 ; E. F .SCHMIDT : Persepo lis, I. St ructu res . Reliefs . Inscrip tio ns. Chicago , I I I 1953. (The Uni-ver si ty of Chicago Orienta l Publica tion s. Vol. XL VI II ) 165—1 66; E. F. SCHMIDT:

Persepolis, II. Contents of the Treasury and Other Discoveries. Chicago. I. 11 1957. (TheUn iv er si ty of Chicago Ori ent al Inst it ut e Pub lic ati ons. Vol. L X I X ) 99 ; B. GOLDMAN :Aohaemenian Chapes. «Ars Orientalis» II. Michigan 1957. 43 — 45.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF ART FROM THE SANCTUARY OF OXUS 35

Persians had a hilt broadening towards the pommel and to the guard. Its lateralparts were arch-formed and the pommel had the form of egg-shaped bulging.The dagger is in a sheath, with a triangular pointed shape, and its upper endon one side a long lateral projection, the upper and lateral line of which are

slightly bulging, and the lower one is festoon-like (two closed arches carved inthe plain surface of the projection). On the side opposite to the projection thereis a narrow projection, separated below from the main part of the sheath witha thin triangular cutting. Such akinakes was carried on the middle of the ab-domen, put under the belt.33

The Median akinakes differs sharply from the more simple Persian one(at any rate as concerns its sheath). The ornate Median akinakes had a straighthilt, sometimes decorated with two closed longitudinal ribs on the centre, fromwhich on the sides there were rows of bulging lozanges and indented triangles.

Its pommel is oval whetstone-shaped with an inner oval hollow. The sheathwas plain or richly ornamented. On the upper part of the sheath there is a bulg-ing buttsrfly-shaped «projection», a festoon-like cartouche, the upper surface ofwhich consists of two closed arches with a point in the centre, and the lower sur-face also consists of two arches, but here a hollow corresponds to the «point».This cartouche is somewhat broader than the adjoining part of the sheath andits base projects below the sheath. From the cartouche a lateral projectionstarts out also of figurai form, and its upper side terminates in a circle with ahole. The base of the sheath, the bouterolle, is of the form of a trifoliate pal-

mette, or a triangle with rounded angles. The bouterolle is also bulging as com-pared with the middle part of the sheath.3 4 The sheath is plain, in which case ithas a longitudinal central rib (but even then the bouterolle is frequently decora-tive), or decorated.

The most ornate sheaths were covered with whole rows of representa-tions.35 The study of the reliefs shows that not all sheaths were absolutely identi-cal in form. Thus, the Mede who was the usher, represented on the relief of theprocession on the eastern stair of the apadâna,36 bore a she ath the upp er edg e ofwhich had a nearly straight form with somewhat raised edges.

33 E . F. SCHMIDT : Per sepoli s. I . PI . 28, 6 1 - 5 2 , p p. 164—165 ; G. WALSER : Di eVölke rsch afte n auf don Reliefs von Persepolis. Berlin 1966. (Teheraner Fo rsc hu nge n,Bd. 2) Taf. 8, 11, 21, 36 etc.

34 E . F . SCHMIDT: Per sepolis . I . Pl . 27, 57, 65, 120, 165, 166, etc . (in on e case,pe rhaps, fr equ en tly a lso t he c ross-bar, Pl . 65) ; G. WALSER : Die Vö lke rschaf ten . . .Ta f. 8, 28, 31, 34, 35 ; A. B. TLLIA : Stu die s an d Rest orat ion a t Persepolis an d Ot he rSites of Ears. Rome 1972. (IsMEO Reports and Memoirs. Vol. XVI). Pis. CLXXÍ/110,CLXXVII/111. See also the representation of the dagger of the Median type on tho silverrhy to n fr om Ereb un i. B. N. ARAKELYAN : К л а д с е р е б р я н ы х и з д е л и й и з Э р е б у н и . CA 1(1971) 146—147, Figs 2, 3 ; V. G. LUKONIN : И с к у с с т в о д р е в н е г о И р а н а . Moscow 1977.76.

35 Е . F . SCHMIDT : Persepolis. I. Pl. 120.33 E . F . SCHMIDT : Persepolis. I . Pl . 37.

3 * Acta Antiqua Academiae ücientiarum Hunqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



The sheaths of the Median akinakes, besides all similarities with those of

Takht-i Sangin, also have considerable differences, viz. more lengthened pro-,

por ti ons on account of th e great er length of th e middle part , the bulging charac-

ter of the upper cartouche, which forms an independent part of the sheath,

in th e ma jo ri ty of the cases diff eren t outlines of the upper border an d the boute-rolle.

The gold sheath of akinakes with scenes of royal hunting on lions belongs

to th e stock of the Oxus tre asu re. 0 . M. Da lt on dat es it to th e 6th centur y В . C.

(even earlier datings are proposed).37 I t slightly differ s in form from the akina kai

of the Persepolis treasure. The upper part of the «guard» has projections over

the line of the sheath in both sides. This guard fits evenly (without a bulging

elevation) to the middle part of the sheath. The latter approaches this sheath

to those of Takht-i Sangin.

The reliefs render possible to fully imagine that the Median akinakai werecarried (on the right side).38 The akinakai are hanged and fixed this way on the

representations of the peoples of Central Asia, with the Saka-Tigraxauda,3 9 and

with the Sogdians.40 As far as it can be judged on the basis of the reliefs, the

daggers of the Saka-Tigraxauda had a small bulging point on the upper edge.

With the Sogdians the upper edge was straight with projecting borders, and

the handle of the dagger was antenna-like, in the form of a ring with sharpened,

contracted ends. The Scythian sheaths are known in several specimens, kept in

the museums of the U.S.S.R. A. I. Melyukova divides the sheaths of the Scyth-

ian daggers into two groups. She includes in the first group the sheaths witha broa de ni ng — bout er oll e — in the lower en d, an d in th e seco nd grou p t he

sheaths without such broadening.4 1 The bouterolle can be rhomboidal (Melgu-

nov treasure),42 flattened-oval (Kelermes),43 circular (Solokha).44 The sheaths

from the Chertomiik tumulus 4 5 and from Tol st ay a mogila46 are gradual ly broad-

ening in their lower part, the base is convex. These sheaths had gold covering,

usually richly ornamented. In one case (at the village Daryevka, district of

3 ' О . M. DALTON : Th e Treasu re of the Oxus wit h Othe r Ex am pl es of Ea rl y Metal

Work . I I I ed . London 1964. 9—11, P l. IX ; E V. ZEYMAL : А м у д а р ь и н с к и й к л а д . 43 — 44.33 E . F . SCHMIDT : Pe rs ep ol is . I. P I. 6 5 ; G. WALSER : Die Völ ker sch af t en . . .Taf. 35 .

39 E. F. SCHMIDT: Persepolis. I. PI. 37 ; G. WALSER: Die Vö lk er sc ha ft en .. .Taf . 56 , 57 , 83.

40 E. F . SCHMIDT : Persepo lis . I. PI . 43, bel ow (holds in th e hands) ; G. WALSER :Die Völkerschaften. Pis. 24, 69.

41 A . I . MELYUKOVA : В о о р у ж е н и е с к и ф о в . Mos cow 1964. 61 — 62.42 M. I . ARTAMONOV : С о к р о в и щ а с к и ф с к и х к у р г а н о в . Le ni ng ra d 1966. P l. I .13

Ibidem, Pi s. 6, 7.44

Ibidem, Pl . 145 ; А . I . MELYUKOVA : В о о р у ж е н и е . 61, Pl . 17/3.45 A . I . MELYUKOVA: В о о р у ж е н и е . . ., 61 , P l . 17 / 4 ; M. I . ARTAMONOV: С о к р о -

в и щ а . . ., P l . 183.46 Д р е в н е е з о л о т о . И з с о б р а н и я М у з е я и с т о р и ч е с к и х д р а г о ц е н н о с т е й У С С Р . Mos-

cow 1975; В . М . MOZOLEVSKY : Т о л с т а м о г и л а . Kiev 1979. Figs 52 — 55 ; E . V. G'HER-NENKO : О р у ж и е и з Т о л с т о й м о г и л ы . С к и ф с к и й м и р . Kiev 1975. 157, Fig. 5.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF AR T FR OM TH E S ANCTUARY OF OXU S 37

Kiev) a bone bouterolle was found with engraved representation of the animalstyle.47 On the sheath there was a figurai projection above, on the lateral side.The butterfly-shaped upper part of the sheaths sometimes is present (Melgunovtreasure), while on other sheaths it appears rudimentarily (Kul-Oba), or it ismissing (Solokha). The Scythian sheaths, besides their typological nearness toth e Median she aths on the reliefs of Persepolis, differ fro m th em by the absenceof standardization and in a series of details.

Re tur nin g to the Achaemen id akina kai, it should be noted t ha t the irsheaths could be prepared of metal (gold, bronze, etc.) ; with metal sheathing(gold, bronze, etc.) covering on wooden base ; of leather, of wood, or of bone,of ivory. In Persepolis a fragment of the pointed end of the sheath of an aki-nakes made of bone or ivory, has been found. 48 A whole series of bouterolles ofthe Achaemenid circle made of bronze and ivory is known ,49 bu t whole s heat hsmade of ivory have not been found so far, 50 althoug h the existence thereof isshown by a Greek inscription (IG, II2 , 1425, I, 75 — 78), which me nti ons in th etreasure-house of the Parthenon an «iron akinakes with gold handle and sheathmade of ivory, with gilded (or gold) covering.» 51 Supposedly it originates fromPersian trophies.

According to a construction inscription of Darius in Susa (DSf), ivory(Old Persian piru) was furnished to Achaemeni d Iran from Ethi opia , Arachosiaand India (DSf, § 3Í.40 — 45).52 Car ving in bone in Achaemen id Ir an contin uesthe Assyrian tradition, especially clearly expressed in the products from Nim-rud , on th e one hand , it does not conti nue, however, the la tt er direc tly bu tthrough a series of intermediate branches (Ziwiye, etc.), 53 and on the otherhand, it continues Syro-Phoenician, Egyptian and Greek traditions. 54 The largecollection of such objects found in Susa gives an idea of the Achaemenid articlesmade of ivory, but there is no sheath of akinakes even among them.55

47 A. I. MELYUKOVA : В о о р у ж е н и е . . . , 61, P l . 19/2.48 E . F . SCHMIDT : Per sepolis , I I . 99, PI. 76/10.49 B. GOLDMAN : Ac ha em en ia n Chapes. «Ars Orientalis» Vol . I I . Michigan 1957 ;

1967 ; P . BERNARD : A pro po s des bouterol les de four re aux Achéménides. Revue archéo-

logique 2 (1976) ; R . A. STTJCKY : Ach äme nid isc he Or tbä nde r. Arch äol ogis che r Anze iger1 (1976); S. S. SOROKIN: С в е р н у в ш и й с я з в е р ь и з З и в и е . С Г Э , X XX I V. Leningrad1972. 76, 77.

50 D. В . THOMPSON : Th e Per si an Spoils in Ath ens . The Aeg ean an d Ne ar Eas tStudies Presented to H. Goldman. New York 1966. 284.

5 1 P . BERNARD : A p r o p o s . . . 22 7, n . 1 ; R . A . STUCKY : Ac hä me n i d i s c he Or t -bänder. 22, п . 62.

52 R. С . KENT: Old Persian. Gr amm ar. Texts. Lexicon. 2nd ed. New H av en ,Connec ti cu t 1953. (American Orien ta l series. Vol. 33) 143—144. See als o E . HERZFELD :Die Ma gn a Char ta von Susa. AMI (1931) 67 — 68 ; E. HERZFELD : Th e Pe rs ian Em pi re .Wiesbaden 1968. 335.

63 B. GOLDMAN : Achaemenian Chapes. 50—51.34 A review see R . D. BARNETT : A cat alo gue of the Ni mr ud Ivo rie s with Ot he r

Ex am pl es of Nea r Ea ste rn Ivories. Lo ndo n 1957. 123—131; R . D. BARNETT: Ea rl y

Greek and Oriental Ivories. Journal of Hellenistic Studies 68 (1948) 3 — 5 (with lit era tur eon the question).

55 P . AMIET : Les ivo ires Achémé nide s de Suse. Syria 49 (1972) 157—1 91,319 — 337.


8/15/2019 ACTAANTIQUA_28 (1980)


3 8 В . A. LITV INSK IY-I . R. PICHIKYAN

The scene on the surface of the akinakes of Takht-i Sangin shows twofigures : that of a lion and that of a stag (fallow deer). According to the antiquesources, lions occurred in Asia Minor and in the Near East, notably in Mesopo-tamia (especially in the area of the Euphrates). They were known in Armenia,

in Parthia and in Arabia. The antique authors also knew about the spreadingof lions in India.56 There is a report connected also with Central Asia, where ac-cording to the narration of Quintus Curtius (VIII, I, 14—17), Alexander theGreat, turning down the help of his companion Lysimachus, personally killeda lion of rare size with a single stroke. 57 There is mentioning of lions also in Hyr-cania.58 In contemporary literature, however, the opinion has been spread thatin reality in antiquity as well as in the Middle Ages no lions were living eitherin Bactria or in Hyrcania, tigers were believed to be lions.59

In the ancient art of Mesopotamia two species of lions were represented,viz.: Felis leo Persicus, Pe rs ian lion, wit h a thi ck mane covering the neck andthe shoulders, and with thick hairs on the abdomen, and Felis leo Goojratensis,

Indian lion, usually without mane, just like a cat.60 The lion on the sheath ofTakht-i Sangin, as well as the majority of lions on the monuments of Achaeme-id art in Iran, undoubtedly belong to the species Felis leo Persicus.

The characteristic feature of the figure of the stag (fallow deer) on thesheath of Takht-i Sangin — the small circles — represent spottedness. In Meso-potamian art the spottedness is characteristic of one of the three breeds ofstags represented in it, viz. Cervus (Dama) Mesopotamiens Brooke.

61 It belongs

to the genus Cervidae, subs pecies «fallow deers», an d it is sp re ad in Ir an , Meso-potamia, Asia Minor and Palestine. There is a dark stripe along the spine of theanimal, on the sides of which there are rows of longish, whitish spots. Anothercharacteristic of this subspecies is the shovel-like broadening of the upperbranches of the horns.62

The spottedness can be observed also on representatives of the subspecies«real stags» {Cervus Linneus). The Cervus elaphus Bactrianus Lydeker — «Bukha-ran stag» — (also called «khangul», «govas») also belongs to the subspecies ofthese stags. It is spread in the USSR along the Amu-Darya, and in earlier times

also along the lower course of the Syr-Darya, and also in Northern Afghanistan.On the young animals, and sometimes also on the grown up ones, along thedark-brown stripe running on the spine, on the sides, from the withers to thetail, there is a row of grayish, circular spots, and there are similar spots on the

58 List of th e sourc es : STEIER : Löwe. RE J X X V Hb bd . S tu tt ga it 1926 ; W. L.BROWN : The Etruscan Lion. Oxford 1960. 167.

57 lust., XV, 3, 7 —9 ; Plin. Sec. N H „ V II I, 64 ; Pl ut. , De m., 27.58 STEIER: Löw e. R E X XV . St utt ga rt 1926. 970.59 M. E. MASSON : И з п р о ш л о г о т и г р о в в С р е д н е й А з и и . И с т о р и ч е с к а я с п р а в к а . Т р .

Т Г У Vol . 200. Tashkent 1963. 154-15 6.8 0

A. SALONEN : J ag d u nd Jagd tie re i m alten Mes opo tam ien . Helsink i 1976. 120.8 1 A. SALONEN : op. cit. 1 2 8 — 1 2 9 .82 К . К . FLEROV : К а б а р г и и о л е н и . Moscow —Leni ng rad 1952. 134.

Acta Antiqua Academiae Scientiarum Hunqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONUM ENTS OF AR T FROM TH E S ANCTUARY OF OXU S 3 9

rump and on the feet, especially on the haunch es.The hor ns have usually fivebranches each.63

Thus, even if the artist represented a Mesopotamian stag, still he endeav-oured to render the shovel-like form of the upper branch, what does not existhere. However, when in art the Cervus (Dama) Mesopotamia's Brooke was re-presented, usually they endeavoured to render the shovel-like form of thebranch. By way of example we can mention the engraved representations ofsuch stags on the silver rhyton from the Karagodeuashkh tumulus,64 the silverstatuette (handle ?) from Bukhtarma, 6 5 etc.

At the same time, of course, on this basis it is impossible to assert definite-ly that this is the representation of the Bukharan stag.

V. Malmberg has noted that on the Attic vases only the ordinary stag canbe found, while on the vases of Rhodes exclusively the spotted stag (he calls it

«mottled») occurs. Therefore, he presumes that originally the mottled stag wasknown only by the Greeks of Asia Minor (and those of the islands). 66 Still earlierit was represented by the art of Mesopotamia.67

The representation of the lion appeared in the art of Egypt, of the easternMediterranean, of Asia Minor,68 and Mesopotamia early and very frequently,viz. in scenes of royal hun ting, lace ration of herbivorous an imal by a lion, et c.Usually, in this scene the lion, living or killed, is in horizontal (or slanting) posi-tion.69 We, of course, do not propose to examine all subjects connected with thelion, but only those, which iconographically (or semantically) have some simi-

lar ity wit h the group lion — sta g on the shea th of Tak ht -i Sangin. In the g ivencase the Mesopotamian material has a special meaning. Therefore we discuss itin greater detail.

8 3 K . K . F LE RO V: К а б а р г и и о л е н и . . ., 1 6 6— 1 72 ; N . A . B OB RI NS KI Y— К . К .FLEROV : М а т е р и а л ы п о с и с т е м а т и к е о л е н е й п о д р о д а Cervus. С б . Т р у д о в Г о с . З о о л о -г и ч е с к о г о М у з е я М Г Ф I . Moscow 1934. 21 — 23 ; V. G. GEPTNER—V. I. TSALKIN : О л е н иС С С Р . (Systematica and Zoography). Moscow 1947. 46 — 49.

M V . MALMBERG: П а м я т н и к и г р е ч е с к о г о и г р е к о -в а р в а р с к о г о и с к у с с т в а , н а й д е н -н ы е в к у р г а н е К а р а г о д е у а ш х . MAP, No. 13, С П б ., 1894. 141, Figs. 16, 17.

85

Ibidem, 166—167, Fig. 26. This st at ue tt e obviously ha d Cen tra l Asian or Ne arEas tern origin. S . I . and N. M. RUDENKO : И с к у с с т в о с к и ф о в А л а я . Moscow 1949. 21.88 V. MALMBERG : П а м я т н и к и . . . 166 - 168.87 A. S ACONEN : Ja gd un d Ja gd ti er e. 128—129 (list of represe nta tio ns ).88 From Asia Minor and th e East ern Medi terranean the repre sentat ions of lions

spread to wards the West . As from the 7th century В . C. the pro duc ts made of ivor yappeared in eastern ait, so that they apparently came about under the influence of thear t of Pale stine and Pho enic ia (W. L. BROWN : Th e Etr usc an . . . 2). The rep res ent atio nsof lions made of ivory in Greek art fall also in this time, it is possible that they go backto Late Hittite art. (J. DÖRING : Frühe Löwen. Mitteilungen dos Deutschen Archäologi-schen Instituts, Athenische Abteilung, Vol. 76. Berlin 1961.). On the lion in Greek artsee G. M. A. RICHTER : Animals in Greek Sculpture. London 1930. 3—9, Pis. I—VIII.

89 On the possible utilization of tamed lions as hunting animals, on their utiliza-tion in fight and for gu ar di ng see B. BRENTJES : Mensch und K a tz e im Alten Or ie nt .

Wissenschaftliehe Zeitschrift der Martin-Luther-Universität Halle—Wittenberg. Ge-schichte-Sprachwissenschaft, Bd. XI/16. Halle 1962. (with adequate interpretation ofthe monuments of art).


8/15/2019 ACTAANTIQUA_28 (1980)


4 0 В . A. LITVINSKIY — I . В . PICHIKYAN

On the terracotta mould from Mari there is a very early (in the opinion

of some researchers one of the earliest) representation of the lion with the

body in profile and with the head in front-view. Here the lion lacerates a

stag. 7 0 In Alaca-Höyiik in the hunting scene the representation of the lion is

the same.71

On the Mesopotamian seals of the third early-dynastic period (about

2500 — 2316) we kno w al re ad y repr ese nta tio ns of the lion in profile, sta ndi ng on

its hind legs, with its head turned towards the spectator. 72 Later, in the Sargonid

pe rio d (last thi rd of th e 3rd millenn ium В . C.) such lions were repr esen ted in

profile.73 We know lions standing on their hind legs on the neo-Assyrian and

Neo-Babylonian seals, represented in profile.74

On the Neo-Babylonian seals a winged hero is holding in his hands,

streched on the sides and half bent, two lions by their tails, hanging with their

heads downwards.75

On the Syrian seals from Ras-Shamra, 15th—14th centuries, the motif of

a pulled down fallow deer and the lion (a pair of lions) trampling it, is usual. 76

On the ivory from Nimrud there are several representations, where a lion

lacerating a bull is represented in profile, with its head in front-view that is

turned towards the spectator.77 This is, however, as a rule, a horizontal figure,

biting the bull with a turn. An exception is an ivory tube, on which lengthwise

there are two relief figures of lions in a very complicated perspective, between

them there is the vertical figure of a bull with its body in profile. Each lion

presses its foreleg to the body of the bull (similarly to that of Takht-i Sangin).The muzzles of the beasts of prey represented in front-view, are turned at

right angles to their bodies (and to the body of the bull), they bite the bull

opposite to each other. 7 8 This scene of laceration is dated to the 8th cen-

tury B. C.79

In Assyrian art we know also other representations of lions standing on

their hind legs, holding some vessel.80 Among the reliefs from Khorsabad there

is a colossal figure of a hero (Gilgamesh ?), with his left hand pressing to himself

70 Syria 18 (1937) Pl. XII.71 H. BOSSERT : Altanatolien. Berlin 1942. Fig. 520.72 H. FRANKFORT : Cylinder Seals. A Documentary Essay on the Art and Religion

of the Ancient Near East. London 1939. 82, Pis. XII, XVl/a.7 3 H . FRANKF ORT : op. cit. 8 2 — 8 3 , P L. X V I / d , f.74 H. FRANKFORT : op. cit. P l . X X X V l / a , g .75 H . F R ANKF OR T : op. cit. PL. X X X V I / 1 .76 Du MESNIL DU BUISSON : Le m ythe ori en ta l de deu x géants du jour et de la

nuit. Archaeologia Iraniea. Miscellanea in honorem R. Ghirshman. Leiden 1970. Pl. I,Fig. 6.

77 R . D. BARNETT : A Catalog ue of th e Nimr ud Ivorie s with Othe r Exa mp le s ofNea r Eas te rn Ivories. Lond on 1957. 73, Pl. X X X V I (S - 62), Pis. X L I I - X L I I I (S — 72),L X V H (S - 158 c, d).

73 R . D . BARNETT : op. cit. 73, 196 , P i s . X L I I - X L I I I ( S — 72 ).7 9 R . D . B AR NETT : op. cit. 134 .80 R . D. BARNETT : A Cata logue of th e Nimr ud Ivories . 95, Fig . 32.


8/15/2019 ACTAANTIQUA_28 (1980)



a small figure of a lion.81 The head of the lion is turned towards the spectator,its body is in profile. Unlike the lion on the sheath, the body is not vertical,but inclined, while the hind legs are represented as if in motion, the loft leg ishigher and the right one is stretched down.

In Egyptian art the thick hair of the lion is represented quite realistical-ly. 82 In principle we see the same also on part of the Assyrian representations,although there also a «tip» appears in the back part of this cover of hair. 83

On other monuments of Assyrian art, especially on the later ones, 7th—6thcenturies B. C., however, the conception becomes allegorical, in the form of aprolongation going out from the mane and curlingly tapering off towards theend, reminding of a narrow wing or feather, 84 perhaps under the influence ofthe iconography of the griffon.

On the reliefs in the throne-hall of the north-western palace in Nimrudthere is a representation of a winged person, who in one of his hands holds thesmall figur ine of a sta g (in an ot he r case, of a goat ), an d in his oth er ha nd ,stretched ahead and upward, a twig (in another case a corn-ear). In the opinionof R. D. Barnett, these figures had a magic destination. He believes it possiblethat this is perhaps the demigod NIN.AMAS.KU.GA, who sacrificed a goat(stag) to gain health. The skeleton of a gazelle, undoubtedly sacrificed at sucha ceremony, was found in Ni mru d dur ing th e exc avat ion s of 1950.85 On the bodyof the stag there were oval circles.86 This stag, just like on the sheath of Takht-i

81 J. B. PRITCHARD : The Ancient Near East in Pictures Relating to the Old Testa-me nt . Pr in ce to n 1954. Fig. 615; A. PARROT: Assu r. Die meso pota misc he Ku n s t v omXIII vorchristlichen Jahrhundert bis zum Tode Alexanders des Grossen. München 1972.Figs 36, 38.

82 H . J . KANTOR : The Shou lder O rn am en t of Nea r Ea st er n L ions. JN E S 6 (1947)Fig. 5.

83 A. PARROT: Ass ur. Fig . 38 (K ho rs ab ad 8 th cent ury B. C.) ; Fig. 65 ; R . D .BARNETT: Assyrian Sculpture in the British Museum. Toronto 1975. Figs 103—104,108, 127, 130 ; A. H . LAYARD : Disc over ios in the Ru in s of Nin eve h and Ba by lo n.Lo nd on 1863. 278 (Arb an) ; G. PERROT—CH. CHIPIEZ: Hi st oi re de l' art dan s l'a nt i-quité. T. II. Paris 1882. Pl. between pp. 540 and 541. A similar interpretation of the sculp-tures of lions of the 8th century В . C. in Lat e Hitt ite art, the influence of Assyrian tradi -tion on whose iconography is doub tle ss, is given by : E. AKURGAL: Die K uns t de rHet th i t e r . München 1976. Pis. 135—136.

84 A. PARROT : Ass ur. Fi g. 64 (N im ru d, 9t,h cen tu ry B . C.) ; Fig . 221 (A) (B abyl on ,7th —6th c ent uri es B. C.) ; R . D. BARNETT : Assy risc he Palas tre lie fs. Pl. VI (Bab yl on ,7th — 6th centuries В . С .), Figs 70, 74, 94, et c. ; R. D. BARNETT: Assyrian Scu lpt ure .Figs 32, 110, 118, 121, 178.

8 5 R. D. BARNETT: Assyrische Palastreliefs. Prague 1962. 12—13, 28 (note 25)Pis. 1 — 2. See also J. B. PRITCHARD : Th e Ancient Near Eas t in P iet uros Rel at ing to th eOld Te st ame nt . Pr ince ton 1954. Fi g. 614 ; Cf. R. D. BARNETT—M. FOLKNER: TheSculpture s of ASSur-Nasir-Apli I I (88 3- 85 9 В . C.), Tiglat-Pilesar I I I (7 45 -7 27 В . C.),Esarhadon (681 — 669 В . C.) from the Central and South-West palaces at Nim rud . Lon-don 1962. Pis. LX XV I— CX XV I . A list of similar rep resenta tio ns see : A. SALONEN :Jagd und Jagdtiere im alten Mesopotamien. Helsinki 1976. 128—129.

88 Li Mesopotamia there were three kinds of stags. One of them is the Cervus dama,

also called «russety stag», which differs, besides the colour of the fur and the characterof th e hor ns , also by the presence of spo tte dne ss. (A. SALONEN : Ja gd und J ag dt ie re . . .128-129).

Acta AiUiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


4 2 В . A. LIT VI NS KI Y- I. R. PICH IKY AN

Sangin, is represented in a free loose pose. The person holds the stag, putting his

hand between its forelegs, possibly, pressing it to himself hanging. There is here

a partial iconographie and semantic parallel (just partial and not full) with the

scene on the sheath.

In Khorsabad a relief was discovered, where a king sacrificing a goat isre pre se nte d (8th ce nt ur y В . C.). The king is holdi ng the small anima l in his han d

on the level of his breast putting his hand between the forelegs of the animal. 87

For the appearance of the subject on the sheath of Takht-i Sangin and

for its original semantics, the representation on a Neo-Babylonian seal is also

interesting, which by E. Porada is included in the group of seals of the 9th—7th

cen tur ies В . С 88 On them the fight between a hero and a lion for a bull is re-

presented. The hero seized the bull by the hind leg and lifted it with his straight

stretched left hand. With his left foot he trampled on the neck and the head of

the animal, pressing them to the earth. The forelegs of the bull are bent. To theleft from this group, the enraged lion is standing on its hind legs and moving

towards the hero. The head and the lower (hinder) part of the body of the lion

are represented in profile, and the upper (fore) part of the body in three quar-

ters. It stretched one paw ahead and touches with it the hind leg (being above)

of the bull, quasi pressing it, while it lifted the other paw up. The tail is turned

upward. Its head and the lower (hinder) part of its body are represented realis-

tically, while the upper (fore) part of its body and the forelegs are represented

human-like, but this impression does not change the toes with claws. In the re-

presentation of the lion the anthropomorphization is clear. This is not simplya lion, but a man-lion.

Among the Luristan bronzes, middle of the 8th century — middle of the

7t h cent ury В . C., the re are represent ation s of lions stan ding on their hind legs

with their bodies in profile and their heads in three quarters. The hind (lower)

legs are parted, the foreleg (the second one is not seen) is lifted up. Along the

back of the animal there is a stripe with transversally grooved hatching. Two

such lions are sideward from the human person striking a blow with a dagger.

The lions «put» their forelegs on the shoulders of the man. In general, the flank-

ing lions for the Luristan bronze are no exceptional subject, the characteristicis in the position of the head. 89 The subject of the Neo-Babylonian seal described

above, found a reflection on the Luristan bronze, but the place of the hero hold-

ing and trampling on a bull is occupied here by the lion. 90

8 ' H. FRANKFORT : T he Ar t and Arc hi te ct ur e of the Anc ien t Eas t. London 197 0.174, PI . 199 ; A. PARROT : A ss ur . Fig. 43.

88 E. PORADA : Mesopotamian Art in Cylinder Seal of the Pierpont Morgan Library.New York 1947. 66, Fig. 89.

88 E. PORADA: Al t- Ir an . Ba de n- Ba de n 1962. 65 ; P. R. S. MOOREY: Som eEl abo rat ely De corat ed Bronze Quiver Pla que s Made in Luri stan . c. 750—650 В . C. Ir anVol. XIII. London 1975. 21 — 22, Fig. 1.

9 0 P. R. S. MOOREY : op. cit. 26—27, Fig. 7.

Acta Antiqua Aeademiae Seientiarum Hunqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONUMEN TS OF ART F ROM T HE S ANCTUARY O F OXU S 43

Switching over to Achaemenid art, we remark first of all that the connec-tion of the iconography of the lion in this art with the Assyrian iconographietradition has been established already long ago. 81 Lions were represented on

stone reliefs, on glazed tile panels, on stone and bronze sculptures, on works oftoreutics and lithoglyptics, on textile products, etc. These are single figures oflions, processions of lions, scenes of fight of a lion with herbivora, victory of aking over a lion, etc.

Lot us restrict ourselves to the subjects connected with the lion on seals.This is the scene of hunting of the king (Darius), travelling on a war chariot onhunting lions ; 9 2 the king is mounted on a stag, he is hunting on a lion, 93 kills itwith a dagger on foot in single fight. 94 In the glyptics of the Achaemenid timewe find the motif of the king seizing the lion and pressing it to himself by theneck of the animal.95 Sometimes the king holds in his hands one lion each.He sized each of them by the hind leg, and they are hanging head downwards. 9 6

The latter motif is repeated on many seals.97 Sometimes the king holds the lionshanging head downwards by the tails. 98 On another series of seals the king holdsin his horizontally stretched hands lions by their shoulders, 99 etc. We know therepresentation on an Achaemenid cylindrical seal, on which a tumbled stag isattacked by lions from two sides. 100 On seal-stamps a goat is attacked by alion.10 1 A comparison of the figure of the lion on the sheath of Takht-i Sanginwith the lions in Assyrian and Achaemenid art shows its nearness especially tothe Achaemenid tradition. Let us pause on this in greater detail.

The appearance of the lion and the lion-griffon, standing vertically onthe hind legs, is not unfrequent in Achaemenid art, e.g. in Persepolis in thescenes, where the hero is fighting with a lion (griffon). On this both forelegs areshown. 1 02 Reliefs are also known, where the hero seizes and presses the standing

91 G. LAMPRE : La rep resen ta tio n d u lion à Suse. MDP T. VI I I . Par is 1905. 159 —176 ; О . M. DALTON : Th e tr ea su re. 8—9 .

98 H . FRANKFORT : Cylinde r seals . . . PI . X XX VlI / d.93 H . FRANKFORT : Cyli nde r seals . . . PI . X X X V I I / M .94 J . BOARDMAN : P yr am id al St am p Seals in the Pers ian Em pi re . Ir an Vol. V I I I .

Lon don 1970. Fig. 2/g ; 11/77, 83, 85, Pis . 4/82, 84, 86 ; 3 2 - 3 3 .95 SP A VII . 1967, Pl . 123/L.99 SP A VII . 1967, Pl . 124/L.97 F. SARRE: Die Ku ns t des Alt en P er sie n. Berlin 1923. Pl . 52 be low; D. J .

WISEMAN : Cyl inder Seals . . . PI. 105 ; E . F . SCHMIDT : Pe rsepol is . I . PI. 3/3 ; 4/6 ;J . BOARDMAN : P yramidal S tam p Seals . . . PI . 5/108, 110.

93 J . J. BOARDMAN : Py ra mi da l St amp Seals . . . PI. 5/107.99 G. A. EISEN: Ancient Orie ntal Cylin der and Othe r Seals with a Desc ript ion

of the Collection of Mrs. W. H. Moore. Chicago, III 1940. (The University of ChicagoOriental Institute Publications. Vol. XLVII) 54, Pl. XI/101.

10 0 Е . PORADA : The Collections of th e Pi er po nt Morgan Lib ra ry. Vol. I. Wa shi ng-ton 1948. (Corpus of Ancient Noar Eastern Seals in North American collections. TheBollingen series. Vol. XIV) 105/N 835.

10 1 E . PORADA : The Col lec tion . . . 106SN 843 ; J . BOARDMAN : Pyrami dal S t a m pSeals . . . PI. 3/55.

10 1 E . HERZFEI.D : Ir an in the Anc ien t Ea st . London —New Yo rk 1941. Pl . LXV ;E. F . SCHMIDT: Per sepoli s. I. Pis. 114 — 117, 14 4- 1 46 , 195.


8/15/2019 ACTAANTIQUA_28 (1980)


44 В . A. L I T V I N S K I Y - I . В . P I CH I K YA N

lion, turning its head back. 1 0 3 The hind («lower») legs are also represented just

like on the sheath, viz.: th e le ft leg is dr aw n almos t back. On the relief fr om thenecropolis of Xanthus the head of the lion standing on the hind legs in profile isturned towards the spectator.104

A winged lion standing on its hind legs is represented on a bulging pla-

quette made of ivory (Susa).10 5 On the gold cup from the treasure of the Oxus 106

there are six pairs of lions standing on their hind legs. The lions are represented

in profile, with their heads in front-view. The hind legs are somewhat parted,the body is not entirely vertical, one foreleg is drawn down and the other up,the tail is curved ringwise. E. Herzfeld presumes that this cup was prepared in

U ra rt u. О . M. Da lt on, polemizing with him, points out th a t the Assyrian ty peof lions continued in Early Achaemenid art, eventually through the mediation

of the Medes. He dates this cup to the 6th century B. C.10 7 As has been shown,

on the Achaemenid seals the king or hero frequently fights with one or twolions, or lion-griffons. The figures of the animals are represented usually stand-

ing on their hind legs, while the body and the head is in profile. 108

In the scenes of laceration on the reliefs of Persepolis profile horizontal

figures of lions are embossed, with their heads turned in front-view. 109 On thelions of these scenes there are common features with the lion of the sheath ofTakht-i Sangin, which with its right foreleg quasi «presses» the stag in the plane.

The action of the foreleg is represented absolutely identically also with the lionslacerating a bull on the eastern staircase of the apadäna of Persepoli s,11 0 on the

main staircase of the «Council-hall»,111 in the palace of Darius,11 2 and in thepalace of Xerxes.113 The difference is that on the reliefs the leg is not stretched,but half bent and as a whole more realistic. At the same time, not only the posecoincides, but also the minor iconographie details. In Persepolis and on thesh ea th of Tak ht-i San gin on the legs the re are four fan-l ike pared toes, the irlength is unproportionately big, the bulges of the joints are represented identi-cally, the right projection-toe is conceived in the same way in the form of a pinon a disk. The representation of the back part of the «elbow» joint (of arched in-fl exi ons ) also coincides. The lions from th e «Council-hall», ver y likely, are near es t

1 0 3 E . F . SCHMIDT : I . PI . 147 ; A. PARRO T : A s s u r . F i g . 24 4.10 4 M. DIEULAFOY: L 'a r t ant iq ue de la Pe rs e. 3. Pa ri s 1885. Pl. XV I.10 5 P . AMIET : Le s ivoi re s . . . Syr ia (1974) 188—189 , Fig . 21.'«« O. M. DALTON : op. cit. P l . V I I I / 4 7 .1 0 7 O. M. DALTON : op. cit. 8 — 9 .10 8 SP A VI I . 1967. Pl . 123/A, C, E , G, L, M ; D. J . WISEMAN : Cyli nder S eals of

We st er n Asia. Lo nd on . Pi s. 100, 101, 108, 11 5; E . F. SCHMIDT: Persepol is. I I . Pi s.3 / 1 — 2 ; 4 / 5 : 5 / 1 0 , 1 1 ; 1 1 / 3 7 ; 1 3 / 6 0 ; E . R . G O OD EN OU GH : J e w i s h s y m b o l s i n t h eGraeeo-Roman period. Vol. VI Toronto 1958. (Bollingen Series, XXXVII) 41, Fig. 36.

, 0 9 M . DIEULAFOY: L ' a r t an ti qu e de la Pe rs e. 3. Pis . 19, 20, 62, 66, 122/13, 153,161, 166, 189.

1 1 0 E. F . SCHMIDT : Pe rs ep ol is . I. Pi s. 19 — 20 .111 Ibidem. Pi s. 62, 66, 69.112 Ibidem. Pi s. 132 /B , 152, 153.113 Ibidem. Pi s. 161, 166, 169.

Acta A ntiguu Acaâemiae Scientiarum Hungaricue 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONU MENT S OF ART FROM THE S ANCTUARY O F OXUS 45

to that of Takht-i Sangin, they are brought near also by the identity of the ovalon the front shoulder-blade, and also that the tail is drawn between the legs.The position of the foreleg of the lion is also represented in the same way, as itcuts into the lying gazelle, on the stone plaquette in the collection of the Orien-tal Institute, Chicago.11 4 It could be presumed that the carver preparing thesheath copied the front part of the body of the lion from the reliefs, but theother iconographie details differ considerably.

The two variants of the representation of the hair under the abdomen,developed already in Assyrian times, continues to be varied in the Achaemenidperiod. The variant in the form of almost straight or slightly bent feather-like«wings» occurs very frequently. In Persepolis, on the reliefs, this «wing» bentupwards, inside has such intermediate part, scaled filling up, as the mane. 115

The «wing» is sometimes drawn with a groove, a lineal contour. 116 The concep-

tion of the hair under the abdomen on the tile panel in Susa, 117 and in the apa-dana of Artaxerxes Mnemon (404—459 B. C.),118 is close to the Takht-i Sanginconception. However, all these representations of the hair under the abdomenin the form of a «wing» differ from the representation on the sheath in the formof an oval, especially in the absence of the sharply turned up end, and in theinner filling in. There are, however, some monuments with a closer conception.

Thus, the sewn-on gold label from the excavations in Persepolis represent-ing a lion going to the right,119 is interesting because the hair under the abdomenis represented by a narrow oval, on the inner field of which, with distances from

the margins, there is a steep-transversal hatching. On another analogical goldornament (from the collection of the Oriental Institute of the Chicago Univer-sity),120 the engraver did not understand this detail at all and transformed itinto a pointed palmette with central stem and hatches perpendicular to them(from both sides).

On the woolen textile-breast-plate from the 5th tumulus of Pazyryk, on alight brown base, there are 15 proudly striding lions. The hair under the ab-domen is in the form of an almost straight or slightly bent wing-shaped feathergoing backward with ends turning upward. It joins the mane and has the same

114 H. FRANKFORT : A Persian Goldsmith's Trial Piece. JNES 9 N2 (1950) 111 — 112Pl. III .

115 E . HERZFELD: I r a n . . . Pl . LX V, Fig. 362; E . F . SCHMIDT: P ersepol is. IPis . 20, 28, 68, 69, 146 ; A. B. TILIA : St udi es . . . 1972. Pi s. G ' V I I I - C I X .

A. GODARD : Di e K u n s t . . . Pl . 67.117 R . D. BARNETT: Assy risch e Palas tre lie fs. Pl. X X ; R . GHIRSHMAN : Pe rs e.

Fig. 193. Example for a more realistic interpretation of the sculptures of Susa./SPA VII.1967. PI. 115 E ; G. LAMPRE : La re pr és en ta ti on . . . Pl. I X .

118 Ibidem.119 E . F . SCHMIDT : Perse polis , I I . p. 77, Fig. 14/B.120 H. J. KANTOR: Achae meni d Jewe lry in the Orien tal In st it ut e. J N E S 16 N 1

(1957) 7 — 8, Pl. V/A. Cf. the in terp reta tio n of this detail on the rhy to n from Ha ma da n :E. PORADA : Al t- Ira n. Die K un st in orien talis cher Zeit. Ba de n- Ba de n 1962. 163 (Tafel) ;V. G. LUKONIN : И с к у с с т в о . . ., 53.


8/15/2019 ACTAANTIQUA_28 (1980)



colour. S. I. Rudenko, not without any reason, compares them with the Achae-

menid representations, especially with those from Susa, and dates them to the

5th century B. C. m The textile lions from Pazyryk, on the basis of the form of

the wing-like feather, are very close to that of Takht-i Sangin.

On the open-work disk from the treasure of the Oxus with the representa-tion of a sphinx the hair under the abdomen, in the form of a narrow smooth

wing-like feather, is sharply bent at the end. 12 2 On another disk with the repre-

sentation of a lion-griffon the hair under the abdomen is not represented, but

on the wing there is a stripe with transversally grooved surface. 1 2 3 According to

О . M. Dalt on, its da te is th e 5th centu ry B . C. E. V. Zey mal wri tes th at it is,

possibly, somewhat later. The transversal grooving in the form of notching on

the narrow feathers, wings, etc., is known from the materials of the collection

of objects made of ivory from Susa (Achaemenid period).12 4 On the other hand,

there the hair on the back is represented with such notching 125 (cf. the positionof the mane along the spine on the lion of the sheath of Takht-i Sangin).

It should be kept in mind that the notched stripe along the spine of the animal,

as has been said above, is already on the representations of the Luristan bronzes

f r om th e middle of th e 8t h cen tur y — mid dle of the 7th ce nt ur y В . C., and th e

representation of the hair under the abdomen is also similar on the monuments

of the Middle Elamite period from Susa (about the 12th—11th centuries

B.C.) .126

There are many analogies in the representation of the muscular system of

the hind leg in the form of longitudinally bent ovals. On the woolen textilefrom the 5th tumulus of Pazyryk 1 2 7 on the hind legs of the lions there are pecul-

iar small half horseshoe-like patterns, sometimes converging into small circles.

In certain lions on the reliefs at Persepolis, 128 on the hind leg there are two

deepened grooves : one of these is parallel to the rear edge of the upper part of

the leg and the inner one is in the beginning parallel to the first one, then it

turns inside, becoming horizontal. On the lions on the gold cup of the treasure

of the Oxus, on the hind leg there are oval figures. 129

121 S. I . RUDENKO : Д р е в н е й ш и е в м и р е х у д о ж е с т в е н н ы е к о в р ы и т к а н и и з о л е -д е н е л ы х к р у г а н о в Г о р н о г о А л т а я . Moscow 1968. 76, 78, Fi g. 71. See a ls o S . I . RUDENKO:И с к у с с т в о А л т а я и П е р е д н е й А з и и (middle of t he 1st millennium В . С .). Moscow 1961.19 — 2 0 , Fig. 12.

1 22 О . M . D A LT O N : op. cit. P I . X I I , 2 6 , 2 8 .123

Ibidem. 14.124 P. AMIET : Le s ivoi res . . . Sy ria 49 (1972) 188, Fig. 50. Also on some se al s:

J . BOARDMAN : Pyramida l S tam p Seals . . . PI . 1/8.125 P. AMIET : Le s ivoi res . . . Syri a 49 (1972) 184, PL. V/2.126 E. PORADA: A l t - I r a n . . . 62 (Tafel).427 S. I . RUDENKO : Д р е в н е й ш и е в м и р е . . . Fi g. 71.12 8 A. GODARD : D ie Ku n s t . . . Pl . 67.129 О . M. DALTON : Th e Treasu re . . . P l . VI II /47 .


8/15/2019 ACTAANTIQUA_28 (1980)


MONU MENT S OF ART FROM T H E S ANCTUARY OF OX US 47

In this respect the representations of animals on the tile panels in Susa are

most interesting, viz. the «procession of lions»,13 0 the winged bulls,13 1 the grif-

fons,132 the sphinxes,1 33 and other monuments from Susa.13 4 In the lions on the

back shoulder-blade there are two ovals, viz. a small one inside an d a bigger

one at the edge of the hinder part of the body. The same applies to the lion-

grif fon s. Unl ike those of Tak ht- i Sa ngi n, these ovals are para llel . Obv ious ly,

the changed poses of the body (instead of the moving animal, the one standing

on the hind legs), induced the artist to change the mutual position of the ovals.

The enigmatic «horned» design on the hind leg of the lion on the sheath is

also elucidated by the representation from Susa, viz. it originates from, or

rather is, a highly stylized representation of an ovally-pointed cartouche of the

lion on the Susa representations. The representation of the muscular system on

the shoulder-blades with brackets and with pointed ovals was applied in the

6th—3rd centuries also on the figures of other animals, viz. of stags,135 bulls,136

goats,137 etc.

E. Porada, examining the details of a bronze weight in the form of a lion

fr om Sus a (pre sum abl y fr om the 5t h ce nt ur y B. C.), ke pt in the, Lo u vre, no te s

the representation of the muscles on the fore shoulder in the form of a pointed

oval (with bulging inside), which forms lower a noose. He remarks that this is

a specific feature of the Achaemenid style. 138 Actually, the schematic represen-

tation of the muscular system of the fore shoulder-blade of the lion in the form

of an open oval with a noose is very widely spread on the monuments of Achae-

menid art. Let us mention a few examples. This is the practice on the lions ofthe stone plaquette from the collection of the Chicago Oriental Institute ;139

on some lions of the Persepolis reliefs,140 etc.

On the Achaemenid gold ornament from theTeheran Museum of Archaeol-

ogy,141 ther e are two lions represente d in profile with the ir bac ks turn ed to wa rd s

each other, with the head of one turned towards the spectator. The muscles

of the shoulder-blades of one of them are represented in the form of the figure

13 0 R . D . BARNETT : Assyri sche Pal as tr el ie f. Pl . XX ; R . GHIRSHMAN : Pe rse . . .

Fig. 193.131 R . D. BARNETT : Ibidem. Pis. X I — X I I ; R . GHIRSHMAN : P er se . . . Fig. 192.132 R. D. BARNETT : Assyrische Palastreliefs. Pl. XIV ; R. GHIRSHMAN : Perse . . .

Fig. 191 ; SPA VI I. Pl. 77/a.133 R . D. BARNETT : Assyri sche Pala st rel ief s. Pl. X XIV .134 F . SARRE : Die Ku ns t des alte n Per si en. Be rlin 1923. Pl . 37.13 5 O . M . D A LT O N : T h e T r e a s u r e . . . P L. X X / 3 6 .136 H. FRANKFORT : A Per sia n Gol ds mi th 's . . . Pl . I I I ; R . D. BARNETT : Assyri -

sche Palastreliefs . . . Pis. XI—XII.137 M. P . GRYAZNOV: Д р е в н е й ш е е и с к у с с т в о А л т а я . L en ing ra d 1968. Pl . 41 ; О .

M. DALTON : Th e Tr eas ur e . . . Pl . X/ 24.133 E . PORADA : A lt -I ra n . . . 161 bel ow.139 H. FRANKFORT : A Persian Goldsmith's . . . Pl. III.14 0 A. GODARD : Di e K u n s t . . . Pl . 67.141 7000 Years of Ira ni an Art Circula ted by the Smithson ian In st it ut io n. 1964 —

1966. 89, Fig. 456.


8/15/2019 ACTAANTIQUA_28 (1980)


48 В . A. LITVINSKIY — I . В . P ICHIKYAN

eight, and of the other in the form of a pointed oval with a noose below. On the

shoulder-blades of the figures of lions in the Susa «procession of lions»,142 there

is a twirl in the form of a drop-like oval, one side of which continues in the form

of a hook, which in its contours is absolutely analogous with the figure of the

twirl on the lion of the Takht-i Sangin sheath.On the garment of the king on the relief in the main hall of the palace of

Darius in Persepolis, there were a series of carelessly engraved lions and other

representations (in the opinion of E. Schmidt, this is a preparatory drawing for

the colouring).14 3 The stretched oval with noose and circle on the fore shoulder-

blade are absolutely analogous with those of Takht-i Sangin.

The half bracket on the foreleg of the lion of Takht-i Sangin has an ab-

solutely accurate analogy in such details of the griffons of the bracelets of the

tr ea su re of the Oxus, which are da te d by О . M. Dal ton to the 5th century — th e

first half of the 4th century B. C.144 There is such a half bracket also on theforeleg of the griffon on the silver rhyton from Armenia, which is also dated to

the 5th century B. C.145 On the forelegs of the figures of sphinxes on the tile

reliefs in Susa there are also pointed half brackets. 1 46 Finally, the framing of the

edge of the side of the sheath consisting of Ionic ovoli has an analogy in the

carved bone of the Achaemenid period from Susa.147

To achieve maximal expressive power, the artist, author of the sheath of

Takht-i Sangin, united the plastic volume of the figures with a multitude of

engraved details, placed on the same. This method is characteristic also of the

specimens made of ivory from Susa.148

Thus, there were vertical profile representations of lions with heads in

front-view already in Assyrian art. The representation of the abdominal hair

in the form of a narrow, bent wing (feather) going backward from the mane was

wide-spread. Together with the representation of the lion lacerating a herbivore

animal, there appears the representation of the king, of a hero, or a demigod,

holding a goat or a stag, and this is connected with ritual scenes. The small

figure of the stag reminds of the representation on the sheath. This scene, where

the powerful (and mighty) king, hero, or demigod is holding an obediently

motionless tiny stag or goat, is the semantic archetype of the Takht-i Sangin

142 R . D. BARNETT : Assyri sche Palas trel ie fs . Pl . X X ; R . GHIRSHMAN : Pe rse . . .Fig. 193.

143 E. F . SCHMIDT : Perse poli s. I. Pl . 142 ; A. B. TILIA : Stu dies and Re st or at io nsat Persepolis and Other Sites of Eârs. II. (IsMEO Reports and Memoirs. XVIII). Rome1 9 74 . P l . X X X I I I , F i g . 3 9 - 4 0 .

14 4 О . M . D A L T O N : T h e T r e a s u r e . . . 3 2 — 3 3 , P L. 1 / 1 1 6 . E . V . Z EY MA L : А м у -д а р ь и н с к и й к л а д . . . 65 al so agrees w it h t hi s d at in g.

145 О . M. DALTON : op. cü. 4 2 —4 3 , P l . X X I I .1 4 6R. D. BARNETT: Assyrische Palastreliefs. Pl. XXIV. This detail, very likely,

appears already in the Assyrian style : A. H. LAYARD : Discoveries in the Ruins of Nine-veh and Babylon, London 1873. 278.

14 ' P . AMIET : Le s ivoi res . . . Fi g. 66.148 Ibidem.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF ART FROM Т П Е SANCTUARY OF OXUS 49

scene, while the development led to the substitution of the human figure for the

representation of a lion, but by this the lion shows shades of anthropomorphic

features. This became possible as a result of the identification of the king with

the lion, or by the appearance of the king in the figure of a lion.The comparisons made above permit to definitely include the scene on

th e she at h of Ta kht -i Sangin int o th e circle of th e wor ks of Ac ha em en id (b ut ,

m a y be, not imperial , bu t provincial) ar t of the 5th— 4th centuri es В . C. , wit h

the predominance of the parallels pointing to the 5th century, and some features

connect this scene with the Assyrian tradition.

The analysis of the bouterolles is facilitated considerably by the detailed

special works of three researchers, viz. B. Goldman, 1 4 9 R. Stucky, 1 5 0 P. Ber-

nard , 1 5 1 by the publication of the Persepolis reliefs in the monumental work of

E. Schmidt,1 5 2 and by the well illustrated edition of G. Walser. 1 5 3 The compari -

son of the typological table, necessary at the careful examination of the stylistic

evolution of the representations on the lower part of the sheaths was facil i tated

by the collection of the illustrative material by P. Bernard, kindly furnished to

him by B. Gold man an d R . Stucky. Theref ore, the num era tio n of the bouterol les

will be given according to the new edition thereof made by P. Bernard.

In the articles of Soviet scholars the previous period is well represented,

and also the Scythian style of the wooded steppe, and the Scytho-Siberian style,

which is interesting for the elucidation of the genesis of this form and the repre-

sentations embellishing it .15 4 In the present case we are restricted to the already

P. Bernard —1979 R. A. Stucky —1976 B. Goldman —1957

No. 1, fig. 4 No. 2, fig. 4 fig- 1, 1No. 2, fig. 5 No. 3, fig. 6 fig- 1, 4No. 3, fig. 6 No. 4, fig. 6 fig- 1, 2No. 4, fig. 7 No. 10, fig. 12 —

No. 5, fig. 8 No. 7, fig. 9 —

No. 6, fig. 9 — —

No. 7, fig. 10 No. 6, fig. 8 —

No. 9, fig. 11 No. 6, fig. 7 fig- 1, 7No. 10, fig. 12 No. 9, fig. 11 fig- 1, 6

No. 11, - No. 1, fig- 3 —

No. 12, fig. 13 No. 8, fig. 10 —

No. 13, fig. 14 and 1 fig. 2 fig- 1, 3No. 14, fig. 16 fig. 1 fig- 1, 6No. 16, fig. 16 fig- 1, 9

149 B. GOLDMAN : Achaemonian Chapes . 43 — 54.15 0 R . A. STUCKY: Achäm enid i sche Or tb än der . AA 1976. 13—23.151 P . BERNARD : A propos des bo uterol les . . . 227 — 246.168 E . F. SCHMIDT : Pe rs ep ol is . I. Pi s . 27, 29, 30, 32, 34, 38, 40, 42, 44, 46, 48, 61 ,

52, 57, 67, 70, 110, 111, 153, 155.1 4 3 G. WALSER : op. cit. Fi g . 8, 18, 31 , 34 , 35, 56, 57 , PL. I .

154 A . I . SHKURKO : О б и з о б р а ж е н и и . . . 31 — 3 3; N . L . CHLENOVA : П р о и с х о ж -д е н и е и р а н н я я и с т о р и я п л е м е н т а т а р с к о й к у л ь т у р ы . Moscow 1967. 118 foil., 127 ; M. I .A R T A M O N O V : С о к р о в и щ а . .. 12; S . S . SOROKI N : ibidem. 76—77.

4 Acta Antiqua Aeademiae Scientiarum Hungarieae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


50 В . A. LITVINSKIY — I . В . P ICHIKYAN

developed pure Achaemenid style of representation reaching, in fact, the «mul-

tiple» development on 16 bouterolles.

Agreeing with the opinion of P. Bernard on the Achaemenid time of all

bouterolles published by him, let us follow their evolution in order to separate,

in the framework of the dates proposed by him, at least stylistically, the earliest

ones from the latest ones. This requires a comparison of the known Achaemenid

bouterolles with the sheath of Takht-i Sangin for the more accurate definition

of the dating of the latter.

The first two bouterolles (Nos. 1 and 2),15 5 from the stylistic point of view,

are the earliest. According to P. Bernard they belong to the Achaemenid period

and were prepared by Achaemenid masters, or by Egyptian ones in the period

of the first Achaemenid conquest of Egypt. The characteristics of the represen-

tation of the ungulate on them are as follows : the head of the goat is engraved

in profile to the left, the rounded off horns are clearly seen, the ears are repre-

sented realistically, under a line there is the pectinate beard, the neck is stylized

into a pectinate, fir-like ornament. As for the representation of the predatory

animal of the species of felidae, on bouterolle No. 1 a predatory animal below is

attacking, which judged by the encircling mane, is a curling up lion. The whole

figure of the predatory animal is represented very realistically, the hind leg and

the foreleg are bent, three ribs are shown. The long tail is behind the hind leg.

In the opened mouth two canines are clearly seen, an upper and a lower one.

On bouterolle No. 2, of the figure of the predatory animal only the long, cat-

like bent tfeil has remained. The whole body divided into two segments, isrepresented by concentric grooved arches. Beginning with bouterolle No. 2,

not only the stylization of the body of the predatory animal can be observed,

but also the division of the bouterolle into three segments facing each other,

filled up with ornamental motifs.

Bouterolle No. 3 is very characteristic.15 6 Here the ear of the goat, going

into the circle formed by the horns, is stylized into a «rudimentary» palmette.

On the following bouterolles, according to the stylistic typology of P. Bernard,

instead of the horns and the ear only a palmette remained. However, on

bouterolle No. 3 the body of the predatory animal shows an intermediate formof sty liz ati on near er to th e realistic repr es en ta ti on of No . 1. No t only the cur-

ling feline tail is clearly visible, but also the realistic relief of the hinder part of

the predatory animal, including the half of the abdomen, while the front part

155 The numb er s of the collections an d th e Figs, are given accordin g to the arti cleof P . BERNARD : A prop os . . . 227. Cf. also Anci en t Ar t in the Nor be rt Sch immel Col-lection, Ed. by O. WH. MUSCARELLA. Mainz 1974. N 166 bis.

Bouterolle No. 1 : Lou vre MNo. 1376, Collection Clot-Bey, Fig. 4.Boute roll e No . 2 : Lou vre MNo. 1377, Collection Clot-Bey, Fi g. 5.166 Bouterolle No. 3 according to P. Be rn ar d's ty polog y corre sponds to No. 2

acc ord ing to B. Go ld ma n. Bouterolle No . 3 : Lo uvre MNo. 1379, Collection Clot-Boy,Fig. 6.


8/15/2019 ACTAANTIQUA_28 (1980)


MONU MENT S OF ART FR OM TH E S ANCTUARY O F OXU S 51

was transformed in the lower segment with a concentrically grooved surface, andwith a hole in the middle for the strap or ribbon to fix the sheath to the waist.This gave to B. Goldman an inducement to grant advantage to bouterollo No. 3

in the evolution series and to place it before bouterolle No. 2 and even beforebouterolle No. 4, what is absolutely correct, if we base the typology on thedegree of stylization of the figure of the predatory animal. Thus, if the stylisticpriority of bouterolle No. 1 is doubtless, then bouterolles Nos. 2, 3 and 4 arevery close. On bouterolle No. 2 the head of the goat is very archaic, onbouterolleNo. 3 the body of the lion preserved the original iconographie basis in a greatdegree. Here the idea of the artist obviously appears endeavouring to representthe two figures more convincingly, separated by lower ornamental motifs, butnot losing for him the original semantics. At the same time, the transition toornamentalization is obvious, viz. bou ter oll es Nos. 4 and 5 are in sty le nea rto bouterolle No. 3.

On bouterol les Nos. 4 an d 5 15 ' the heads of the goats are represented withhorns stylized in a palmette, and the hinder part of the predatory animal iscovered by concentric grooved notches.

Bouterolles Nos. 6 and 7158 dif fer fr om bouterolles Nos . 3 to 5 in th e chan g-ing of the horns into a developed palmette, so unique that it is difficult to findout its genesis. The ears and the twirl of the horns are those of a ram. However,the heads of the goats with beard represented with notches are very realistic.

On bouterolles Nos. 9, 10 and Nos. 12 to 14 the palmette of the developedtype, decorating the head of the goat in different stylistic executions, ornamen-tally is opposed to the already independent grooved circles forming a triangle.It is true that in the knowledge of the previous stylistic representations the tailand hinder part of the predatory animal can be guessed. Besides, on all theen ume ra te d specimens, the tail betra ys the feline origin of th e pred ato ry anima l,it is so to say its mark. 159

And finally, bouterolle No. 15, the representation of the sheath on therelief of the Royal gate (Audience-hall) of Persepolis is the logical realization ofthe whole typological series, where, according to the opinion of P. Bernard,

to the palmette representing the horns of the goat, resembling to the bull, anaccu rate ly similar pal met te is opposed, inste ad of the hin der pa rt of the pre d-

157 Boutero lle No. 4 : Lou vre MNo. 1378, Collection Clot -Bey, F ig. 7. Bo ute rol leNo. 5 : Louvre, AO-24673, Fig. 8.

158 Bouterolle No. 6 : Lou vre MNo . 1380, Collection Clot-Be y, Fi g. 9. Bou tero lleNo . 7 : Brit ish Muse um No. 132925, Fig . 10.

159 Bouterolle No. 8 : British Museum No. 5428, given wi th ou t repre sent atio n.Bouterollo No. 9 : Ash mol ean Museu m with ou t No., Fig . 11.Boutero lle No. 10 : A shmol ean Muse um, Fig. 12, bron ze spec imen , all th e pre-

vious Nos., 1 — 9 were made of bono.Bouterolle No. 11 : originates from Syria.

Boutero lle No. 12 : New York, Collection H. Schimmel , Fig . 13.Bouterollo No. 13 : Persepolis , rep res ent ati on in th e Ap ad än a, Fi g. 14.Boutero lle No. 14 : Persepolis, Audie nce Hall, Fig. 16.


8/15/2019 ACTAANTIQUA_28 (1980)


52 В . A . L I T VI N S KI Y- I . R . P IC HI KYAN

atory animal.16 0 On this specimen nothing has remained from the representa-

tion of the predatory animal. Of the scene of laceration the head of the goat has

remained, losing its specific accuracy. It is true that the ornamentally repre-

sented beard has been preserved also here, this is the only link that connectsthis representation with the previous representations of the goat. However, the

neighbouring representation No. 14 in the same hall has preserved tho tail and

the mask of the predatory animal, and the outstretched form of the head of the

go at . Ina smu ch as boutero lles Nos. 14 an d 15 are un do ub te dl y con tem por ary,

it has to be presumed that the master preparing No. 15, realizing this innova-

tion, did not recognize the necessity to follow the artistic rule so scrupulously,

or did not understand it.

Summing up the analysis of the representation on the bouterolles, let us

t u r n t o the conceptions repre sent ed by specific research in this question.

B. Goldman and R. Stucky examined the representations on the bouterolles

as scenes of laceration.1 6 1 P. Bernard, pointing out the erroneous character of

the opinions of his predecessors, explains their «error» with the misunder-

standing the territorial and stylistic origin of bouterolle No. 1, found in Egypt.

«Bo th scientists believe — P . Be rn ar d writes — th a t it was br ou gh t ther e from

the north-eastern regions of Iran, or from the northern part of Mesopotamia in

the pre-Achaemenid period. Thereafter, as they presume, the head of the lion

disappeared, its body and the head of its victim formed a whole, which was

transformed into a turning animal. In the course of time, the head of the goat,

as is presumed, was transformed into the head of a young bull, but withouthorns.»162

The opinion of P. Bernard, differing from the conceptions of the preceding

researchers, was formulated in the following way : «We, on our part, believe

that the origin of the drawing and its development are different. A more careful

study of some iconographie details and places, where some bouterolles were

found, especially that (No. 1 — the author), which B. Goldman and R. Stucky

believe to be the oldest, make us think that the basis of the drawing was already

the turning animal, the lion, neither the goat, nor both together, but the young

bull, and the representation of the lion attacking the goat, on bouterolle No. 1is a local variant, characteristic of the Egyptian type, created on the basis of

the Achaemenid prototype.»163

The evolutionary scheme set up by P. Bernard, in his opinion, bringing

a b o u t th e series of bou tero lle s Nos. 1 an d 2 wit h th e lion att ac ki ng the goa t,

has to be examined in two aspects. His first contradiction can be summed up

in the disputation of the species of the lacerated animal. The second one can be

180 Bouterolle No. 15 : Persepolis , Audience Hal l, Fig. 16.1 61

B . GOLDMAN : op. cit. 4 3 ; R . STUCK Y : op. cit. 13.16 2 P . B ER NA R D : op. cit. 2 3 0 .163

Ibidem.

Acta Antiqua Academiae ScierUiarum Hungarica e 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONUM ENTS O F ART FROM T HE S ANCTUARY OF OXU S 53

su mme d up in th e inclusion of boutero lles Nos. 1 and 2 int o the Ac ha em eni d

period. His second, undoubtedly correct, contradiction permits us to discuss

the whole evolutionary series in the framework of the Achaemenid period.

We are interested in the first two bouterolles, in which all researchers, includingalso P. Bernard, see the goat lacerated by the lion. The sheath of Takht-i Sangin

connects the early, complete representation of bouterolles Nos. 1 and 2 with

the later, more stylized ones. «The ornament in the form of a heart, which is on

th e head and within which a flowe r (Nos. 3, 12), or a pa lme tt e (Nos. 7,9—15)

is placed, are the stylized representations of the ear, and not of the horns, as is

stated by R. Stucky,164 — P. Bernard writes — this stylization can be found

frequently in the representational art of both the steppe peoples and in the

representations of the articles belonging to the Ziwiye treasure. And if we ex-

clude Nos. 1 and 2, then nothing remains for the confirmation that this is the

head of some kind of capripeds.» 165 The same opinion is maintained by S. S.

Sorokin and V. G. Lukonin. l e e Th us , the bouter olle of Ta kht -i Sangin , acc ording

to this char act eri sti c, sta nds betw ee n bouterol les Nos. 1 an d 2 accordi ng to t he

numbering of P. Bernard.

«The two paired lines of yarns with twisted ends, which cover the neck

and the back of the animals,» indicate — in the opinion of P. Bernard — as fol-

lows : «This double representation of yarns, arranged this way on the back of

the animals in such fixed form, is characteristic exclusively of the representa-

tions of the empty-horned animals of the Neo-Assyrian and Achaemenid pe-

riods.»167 It is possible that these twirls (from two to five) bordering the lower

sphere of the bouterolle from two sides, the first sphere, on all bouterolles,

covered with groovings, are also dividing elements between the spheres to give

them a tripartite division. Being a rudiment of twirls represented on the boute-

rolle of Ziwiye,16 8 they belong already to the ornamental motifs. By the way,

these twirls are not always present, on the majority of bouterolles they do not

exist, viz. on bouterolles Nos. 1 — 5, 7, 10, 12. On the bou ter oll e of Ta kh t- i

Sangin they are definitely ornamental.

Examining the bouterolle of Takht-i Sangin in this connection and in this

evolutionary series, it has to be noted that after the most masterly Egyptianbouterolles Nos. 1 — 2, it occupies un do ubt ed ly the t hir d place, and if we rely

upon the representation of the predatory animal, it occupies the second place.

The head of the goat is represented with the ear, a point directed upwards.

16 4 R . A . STUCKY : op. cit. 18.18 5 P . B ER NA R D : op. cit. 2 3 6 — 2 3 7 .166 S. S. SOROKIN: op. cit. 76—77; V. LUKONIN : А р х е о л о г и ч е с к и е п а м я т н и к и

И р а н а в т о р о г о -п е р в о г о т ы с я ч е л е т и я д о н . э . и н о в ы е п о с т у п л е н и я в о т д е л В о с т о к а С Г Э .X L 1 I . 5 0 .

4 " P . BERNARD : op. cit. 2 3 6 .188 R . GHIRSHMAN: Tomb e princière do Ziwiyé ot le début de l'art animalierscythe. Paris 1979. Pig. 1.


8/15/2019 ACTAANTIQUA_28 (1980)


5 4 В . A. LITY INSK IY —I. R. P ICHIK YAN

The goat with beard and outstretched narrow muzzle, is just as undoubted,

as on bouterolles Nos. 1 and 2. On the body of the predatory animal the charac-

ter of stylization can be seen, although undoubtedly in a smaller degree than on

bouterolles Nos. 2 and 3. The predatory animal has lost only the head, the legs

are also represented in a stylized form, but they have not yet been transformed

into concentric grooves. According to P. Bernard we have to do with one of the

earliest specimens of the stylistic evolution, if not with the second one, then

with the third one, depending on, which of the animals is accepted by us gener-

alizing in this scheme.

The evolution proposed by P. Bernard appears to be not only doubtless,

but also more characteristic and advantageous, than the table of development

by B. Goldman, which is smaller in its composition. P. Bernard gives preference

to the head of the victim over the stylization of the body of the predatory

animal, the degree of which is less important in the comparisons.

The parallelism of the decrease of the specific characteristics on the goat

and the predatory animal shows that in the early Achaemenid period two ani-

mals are represented. The decrease of the specific characteristics in the course

of stylization takes place so gradually that it connects alone all bouterolles

enumerated by P. Bernard into a unifie united evolutionary chain, where the

differences of the bouterolles are less conspicuous than the similarity among

them.

The representations on the Royal gates in Persepolis can serve as an

example of the unity of the style, in different degrees of stylization, where twoseri ally diff eren t rep res ent ati ons , No. 14 and No. 15, mos t diff erin g in th e evo-

lutionary series, are accurately contemporaneous. This speaks in favour of the

dating of all bouterolles to the Achemenid period as proposed by P. Bernard.

Another example is the bouterolles of the collection of Clot-Bey originating

from Egypt. They not only belong actually to the Achaemenid style, but, in all

probability, belonged to the Achaemenid warriors occupying Egypt. This is

confirmed by the investigation of the weapons of the army of Cambyses found

in Egypt.

What was the idea of the representation of the sheath of Takht-i Sangin?Let us outline very selectively the circle of conceptions and beliefs connected

with the animals acting in this scene. The hunting on lions with two-wheeled

chariots was pursued in Egypt, in Asia Minor, in Syria, in Assyria and in Achae-

menid Iran. The Assyrian kings constantly hunted on them in the jungles of

Mesopotamia, where lions were very numerous. An Assyrian king proclaimed

that he, on foot and on a two-wheeled chariot, killed 920 lions, another king

«modestly» declared that he killed 450 lions.169

1, 9 R . D. BARNETT : A Catalogue of th e Nim ru d Ivorios.

Acta Antiqua Aeademiae SeierUiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF ART FROM THE SANCTUARY OF OXUS 5 5

The royal hunting on lions was in Assyria a particular form of «royalsport». On the other hand, it was also ritual. Sources from the year 570 ( ?) reportthat at the time of his yearly festival the god Nabû himself set out for the hunt-

ing-ground to hunt on lions. The king by this demonstrated (with a definitechronological interval) his divine hypostasis and at the same time his earthlypower and aptitude to perform his earthly duties.

Another explanation is also possible. A§§ur, Nergal, Ninurta and Istarwere deities, who appreciated the hunting on lions and helped the king duringits time, thu s th e lion itself was th e mo st sacred of th e ani mal s. 1 '0

In Assyrian times, judged from the seals and the monuments of art, thelion was «the animal of the king.»17 1 In the chariot of Istar seven lions were har-nessed.17 2 According to a text, the monster Lamastu «had the face of an enragedlion».173

On the colossal sculpture from the temple in Kalah there is a long votiveinscription of ASsur-nasir-apla to the goddess Ш а г .

Because still in the Sumerian period the statue of the lion bore the name

of the king, it can be thought that the temple sculpture at the same time per-

sonified the king and the goddess Istar, the patroness of the lions. 174

In Late-Hittite art the masculine deity and the king sometimes were

represented sitting or standing on a pedestal, flanked by a pair of lions,17 5 or

right on a lion.17 6 In a Hittite text the representation of the deity is described

as being made of silver and travelling mounted on a wooden lion. 17 7 On a Hitt i te

rock relief th e repr esen tati on of the god is shown with lion's fore pa rt ss ub st it ut in ghis shoulders and his arm s, and wi th tw o figur ines of lions ha ng in g head firs t alo ng

th e bo dy of th e god. Th e «lion's» ch ar ac te r of th e god is re nd er ed th is way. 178

The iconographie materials show that in the ancient world, including

Mesopotamia, the lion received a solar symbol. 17 9 The lion was the attribute also

of the Syrian solar deities. It was the animal of Astarte, Kedes and Atargatis.

In Hieropolis and Emesa the solar deity Gennaios (GNN') was worshipped by

the Syrians in the form of a lion. 18 0 Therefore, in the Ancient East the killing

1 , 0

R. D. BARNETT : Ibidem. 70— 71 ; R . D. BARNETT : Assyr ische Pal ast rel ie fs . 24.17 1 A . SALONEN : J a g d . . . 122 .172

Ibidem. 209.1,2

Ibidem. 224.174 E . R. GOODENOUGH : Jew ish Sym bol s in the Gra ec o- Ro ma n pe riod . Vol. VI .

Toronto 1968. (Bollingen Series. XXXVIII) 39.175 E . AKURGAL: Die Ku ns t de r He tt hi te r. München 1976. Pis. 109, 126 — 127.17 4 E . R . GOODENOUGH : op. cit. V o l . V I I , 4 3 , F i g . 4 1 .177 H . GOLDMAN : A Cryst al S ta tu et te fr om Tar sus . AO E H . New York 1952. 131,

with reference to a work not accessible to us.17 8 E . R . GOODENOUGH : op. cit. P l . V I I , p . 3 0 ; 4 3 , F i g . 3 8 .179 A. VOLLORAFF-ROES : The Lion with Body Marking in Ori ent al Art. J N E S 12

( 1 9 6 3 ) 4 4 - 4 6 .180 R. D . BARNETT : A Catal ogu e of th e Nim ru d Ivo rie s . . . 71 ; E. R. GOODE-

NOUGH: op. cit. 44 — 45. On the lions in Syri an a rt and in religio ns, especially se e:SEYRIG : La tr iad e héliopo lit ane et los te mple s de Baalbek. Sy ria 10 (1929). (The lionwas the incarnation of all members of the divine trinity.)

Acta Antiqua Academiae Scientiarum Hungarinic 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


56 В . A . L IT VINS KIY- I . R . P IC HIKYAN

of the lion, in the ritual sense, must have been a sacral act of the connection ofthe king with this deity. The lions from the tomb of Antiochus I from Comma-gene are the symbol of the king, of his divine nature and, especially, of his solarhypostasis. 181

The sacral, in particular the solar, symbology, connected with the lion,is known in the religious conception of many peoples of antiquity. Thus, the lionof Nemea, with which Heracles fights, according to the tradition, is believedto have appeared from the sky or from the moon. The lion is the sacred animalof Apollo of Pat ara . «In the lions th e su n shines» — Seneca said — (whenthe sun at the verge of the summer arrives at the sign of the Lion, this isthe hottest time of the year). With the Berbers and the Egyptians the lionis compared with the sun. At the same time it is the symbol of the star Venus,the attribute of Eros, Bacchus, Cybele, Astarte, the Syro-Phoenician Atargatis,

the Punic Baal and Tanit.In Egypt, Syria, and in the whole Graeco-Roman world the head of the

lion was connected with th e sources of wa te r. In Athens , Ephesus , Olympia, andin many other places the lion's head with opened mouth was placed into thesprings and the water flew through it,18 2 and in Assyria the sculptured headsof lions served as the guards of the springs.18 3 In ancient Greece and in Romethe lion is the symbol of power, particularly that of the emperor. Still anotherhypostasi s of the bo ni s chthon ic, it is especially clearly shown in the conceptionon the lion as the guard of the graves (spread in the Graeco-Roman world and

also beyond its boundaries).184

In the ancient Indian epic the lion appears as the vehicle of physicalstrength, power, greatness, etc.185 The comparison of the ruler with the lion,the meaning of the word «lion», as «hero», «intrepid», «knight», was wide-spreadin medieval Tajik and Persian literature.186

In Mithraism the lion was identified with the nature of power and energyof bodily and earthly existence. The lion is the fullest personification of the soulin a bodily cover. At the same time it is the natural principle of fire and itsreason, the source of internal heat, giving motion and energy to others. This

181 K . HUMANN—O. PUCHSTEIN: Re is en in Kle inasien mi d Nor dsy rien. Ber lin1890. Pis. XIX—XL.

18 2 E . R . GOODENO UGH : op. cit. 5 8 — 6 0 .183 G. RERROT—CH. CHIPIEZ: Hi st oi re d e l' ar t dans l 'antiquité. II. Paris 1884.

Fig. 311.184 Detail ed re ferences an d sources se e : E . KAGAROV : К у л ь т ф е т и ш е й , р а с т е -

н и й и ж и в о т н ы х в д р е в н е й Г р е ц и и . С П Б . 1913. 216 — 217 ; О . KELLER : Die Anti ke Tier-wel t. I . Leipzig 1909. 45—6 1; STEIER : Löwe R E , XX V. S tu tt ga rt 1926. 983 — 984 ;E . R . GOODENOUGH : op. cit. 6 0 — 6 2 .

183 S. L. NEVELEVA : В о п р о с ы п о э т и к и д р е в н е и н д и й с к о г о э п о с а . Э п и т е т и с р а в н е -

н и е . Moscow 1979. 103.186 M.-N. О . OSMANOV : С т и л ь п е р с и д с к о -т а д ж и к с к о й п о э з и и IX—X в в . Moscow.1974. 95.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF ART F ROM T HE S ANCTUARY O F OXU S 57

animal is compared with Jupiter annihilating the earthly giants, the lion is theplanetary symbol of Jupiter. 187

The lion was the travelling companion of the four-armed goddess, whosename is not yet known to us, but who was worshipped in Nothern Asia. Herrepresentations are everywhere found on seals, on jewellery and on works oftoreuti'cs.

In the Far East and in Central Asia the image of the lion comes fromBuddhist iconography, the lions are the usual guards or the carriers of theBuddha, the lion is the permanent companion of the deity of highest wisdomManjusri. 188

The reports, which we have regarding the beliefs connected with the stag,with the peoples of Asia Minor and the Mediterranean, are considerably smallerin volume. In Mesopotamia the stag was not only a wild animal, but it was also

kept as a domestic animal in the temples. The milk of the stag was e.g. a sacri-ficial food of the goddess Ningirsu. Besides this, the horns of the stag and itsother parts were used as medicines.189 According to the iconographie historians,the stag is the sacred animal of the Hittite masculine deity. The symbol of thethird member of the holy trinity, Karhuhasa, was the horn or pair of horns ofthe stag.190 According to a Hittite text from the end of the 8th century B. C.,the god, patron of the fields, stood on a stag. 191

The stag, especially the spotted stag, in the period of classic Greece, washeld mainly an Asiatic animal. Its spotted hide was thought to be the reflection

of the star-lit sky at night. Therefore, the stag was the attribute of the moongoddess, who was thought to be Artemis (and also Athene) by the Greeks.The stag occupied a significant place in the cult of Artemis, in her iconography,including coin iconography, as well as in her poetic descriptions. The stag wasalso the symbol of the night and darkness, of the evil principle, which is de-feated by the solar lion, the representative of light and giver of happiness.192

In ancient India the stag, the fallow deer, was held the symbol of helplessness. 193

In popular imagination the Ossetic god, Afsati was an old man with a headdecorated with stag-horns.194

187 L. A. CAMPBELL: Mit hrai c Icon og rap hy an d Ideol ogy . Leiden 1968. ( Ét ud espréliminaires aux religions orientales dans l'Empire Romain. T. 11) 68, 287, 309.

LES N. Y. DIAKONOVA : М а т е р и а л ы п о к у л ь т о в о й и к о н о г р а ф и и Ц е н т р а л ь н о й А з и ид о м у с у л ь м а н с к о г о п е р и о д а . Т Г Э б (1961) 266—267; eadem : «С а с а н и д с к и е » т к а н и . Т Г Э10 (1969) 88.

18 9 A . SAL ONEN : op. cit. 161 .19 0 R. D. BARNETT : A Ca ta lo gue . . . 73.191 L. ROST : Zu den hethitis chen Bildbeschreibungen. Mitteilun gen des Ins ti tu te s

für Orientforschung der Deutschen Akademie der Wissenschafton zu Berlin 8 (1961)179—180 ; E. PORADA : Of Deer, Bolls and Pomegranates. Archaeologia Iranica. Miscel-lanea in honorom R. Ghirshman. Leiden 1970. 116.

19 2

E . KAG AROV : К у л ь т . . . 26 7 ; O . K E L L E R : op. cit. 2 7 7 .19 3 S. L. NEVELEVA : В о п р о с ы . . . 106.194 V. I . ABAEV : И с т о р и к о -э т и м о л о г и ч е с к и й с л о в а р ь . . .. , I I I . 14.

g* Acta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


5 8 В . A. LITVINSKIY — I . К . P ICHIKYAN

On the sheath of Takht-i Sangin the lion and the stag do not appearisolated, but in a scene, where the stag is seized by the lion, in which the incom-mensurability of their size is stressed. This is the scene of laceration and at thesame time, the scene of the triumph of the power of the lion and that of the

defencelessness of the stag. In the art of the Ancient East there is a frequentvariation of the scene, where the lion lacerates another herbivorous animal,a bull. The fight between the lion and the bull, the scene of laceration of thebull by the lion, is regarded by the research as having a mythological or ritualmeaning. However, the concrete interpretations proposed by the different re-sear cher s differ considerably f rom one anot her . Thus, in the light of the Canaa n-ite myths, they presume that the lion and the bull, each one of them, personifiesa certain deity fighting with another, at the same time the scene personifies thealternation of the seasons.195

Publishing the Assyrian bronze disk with the scene of the laceration ofthe bull by the lion (the lion is on the back of the bull), the umbo of the shieldof Sargon II (721 — 705 В . С .), E. Por ad a presumes tha t the Assyrians originallyregarded the lion as an enemy. Thereafter the representation of the king of theanimals was transformed into the representation of the conqueror and finally,into the king himself. The triumph of the lion over the bull had a symboliccharacter. Therefore the lion on the disk is shown considerably bigger than thebull. This corresponded to the ideology of both the customer and the artist.This meaning of the motif explains, why these representations are found on the

embroid ered tunic of Assurnasirpal (9th century В . C.).196

W. Hartner and R. Ettinghausen suppose that this motif originally hadan astrological meaning and this interpretation was preserved still in the Achae-menid period, for example at the time of the ceremonies of Nouruz in Persepolis.R. Ettinghausen, at the same time, points out that on the reliefs of the stair-cases of the apadäna of Persepolis the re are no royal repr esen tatio ns, and th escene of the fight of the lion with the bull is placed side by side with the inscrip-tion, where Xerxes praises him realm. This scene is found not less than sixteentimes. R. Ettinghausen, following E. Herzfeld, arrives at the conclusion that in

Persepolis, together with the original astral meaning, this scene represents aheraldic emblem.

R. Ettinghausen also underlined the evolution of this scene, viz. on theAssyrian disk the lion floats over the bull, while on the Achaemenid reliefs itreally lacerates the herbivorous animal.197 In the opinion of W. Hartner the

19 5 R . D . HARN ETT : op. cit. 72.196 E . PORADA : An Assyria n Bro nz e Disc. Bull etin of th e M useum of F ine Art .

Bo ston 48 (1950). Cited a f t e r : W. HARTNER—R. ETTINGHAUSEN : Or iens 17 (1964) 168.197 E . HERZFELD : Ir a n in the Anc ien t E as t. L ondon —New Yo rk 1941. 251 — 252 ;

W. HARTNER—R. ETTINGHAUSEN : The Conquering Lion. The Life Cycle of a Symbol.Oriens 17 (1964) 169. In Achaemenian art the scene of laceration of a bull by a lion wasthe emb le m of some citi es, Biblos, Ki ti on an d Tarsus. (R . D. BARNETT : A Cata lo-gue . . . 73.)


8/15/2019 ACTAANTIQUA_28 (1980)



scene of the fight of the lion with the stag has to be regarded as an «equivalent»

of the scene of the fight of the lion with the bull. 198

It has to be added that the solar symbology of the stag was well known

in the Indo-European consciousness. In Russian folklore the sun is a glowing

stag. In the «Tales of recurrent summers» the fawns fall from the sky. In the

Scandinavian beliefs the stag is the son of the Sun, 19 9 four stags correspond to

the four cardinal points.2 0 0 Of course, the possibility of entirely different inter-

pretations should not be excluded either. We mention e.g. an Ossetic folk-tale

motif : the heroine appears before the hero in the form of a fallow-deer to turn

thereafter into a beauty.2 0 1 Th e fallow dee r is th e image of femini ne helplessness

also in the ancient Indian epic, where the victory over the weak enemy resem-

bles to th e victo ry of th e lion over a ti ny an ima l, and th e vict ory over a mi gh ty

enemy resembles to the victory over a big animal (a bull). It should also be kept

in mind that the king in the ancient Indian epic is compared with the lion.202

We do not know exactly what conceptions are reflected by the scene on

the sheath of Takht-i Sangin, but it is clear that they belong to that group of

conceptions, which was outlined above.

In conclusion we note that the lion on the sheath not only seizes and holds

the stag, but if we take the sheath as a whole, with the bouterolle, then also

together with it so to say tramples on the contracting goat, and although the

primary imago on the bouterolle, as a scene of laceration, in the iconographie

relation was already almost lost, this representation very likely continued to be

understood as the sign symbolizing such a scene.V. V. Iva nov an d V. N. Topor ov discovered the all In do -E ur op ea n concep-

tion on the embedding of ritual symbols into each other, connected with the

world (or sacred) tree, by which the world tree stands at the beginning of the

chain and death is at the end. 2 0 3 Conceptions of the same type have been dis-

covered in ancient India and in Central Asia.20 4 And on the sheath of Takht-i

Sangin, apparently, we have to do with a continuously narrative series of

sacrificial-ritual conceptions (acts), in which the scenes of the fight and victory

of the lion over the stag (goat) substitute the stages of the fight of the earthly

ruler (or divine hero) with their rival (rivals), of the fight, which ends withtriumph and apotheosis, when the rival, in the form of a stag, is defeated and

humiliated.

198 W. HARTNER: The Ear lie st H ist ory of the Constellations in th e Near E as t and t h eMotif of the Lion-Bull Combat. JNES 24 N 1 — 2 (1965) 16 ; PH. AOKERMAN deve loped asimilar conception, see : PH. ACKERMAN : Iconography. SPA I. 1967. 389 — 391.

199 V. I . ABAEV : И с т о р и к о -э т и м о л о г и ч е с к и й с л о в а р ь I II . 14.ЗО В У У . IVANOV—V. N. TOPOROV: И с с л е д о в а н и я в о б л а с т и с л а в я н с к и х д р е в н о с -

т е й . Moscow 1974. 28.2 0 1 V. I. ABAEV : И с т о р и к о - э т и м о л о г и ч е с к и й . . . 14.2 0 2 S . N- NEVELEVA : op. cü. 103 , 106 .2 0 3

V. V. IV ANO V—V. N . TOPOROV : op. cit. 35.204 B. A. LITVINSKIY—Т . I . ZEYMAL : Н е к о т о р ы е а с п е к т ы и е р а р х и и и с е м а н т и к иs tupa в С р е д н е й А з и и и И н д и и . Д р е в н я я И н д и я . 1981.

Acta Antiqua Academiae Scientiarum Hungar icae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


60 В . A. LITV IN8K IY —I. R. PICHIKYA N

If we accept the explanation of V. I. Abaev, according to which the ethno-n y m Saka originates fro m the reconst ructe d Old Iran ian *saka- «stag», and theopinion (of I. M. Artamonov, N. L. Chlenova and others), according to whichthe stag was the most wide-spread totem of the Sakas, 205 then it would be

tempting to concretize this scene, as the symbolically reflected victory of theAchaemenid king, or of his (Bactrian ?) governor over the Central Asian Sakas.However, the explanation sak «stag» cannot be regarded as the only possible20®and more or less firmly established explanation 207 that renders the above men-tioned interpretation problematic.

The sheath of Takht-i Sangin, with regard to its form, is close to the goldcoverings of the sheaths originating from the treasure of the Oxus (No. 22).They coincide at an accuracy of millimetres both regarding their size (27.6 cm)

and the time of their manufacture, viz. 6th centu ry — t ur n of th e 6th and 5t h

centuries В . C. In the territor y of Taj iki sta n, Uzbekis tan, Afghanis tan, P ak ist anand northern India, similar articles, close with regard to their time, have notbeen discovered. This confirms the opinion on the provenance of the treasure ofthe Oxus in the upper course, on the right bank of the Amu-Darya and it ispossible that this speaks in favour of the origin of the treasure from templetre asu rie s. And the ma te ri al — ivory —, a whole series of specific deta ils ofthe form and conception of the representation, point to the local, Bactrianmanufacture of these sheaths. So far sheaths of similar type were known onlyfrom the representations on the reliefs of Persepolis, while now as a result of

the excavations the art of the world has been enriched with an excellentlypreserved, highly artistic original specimen made of ivory from the 6th—5thcenturies B.C.

The circumstance that the Egyptian bouterolles are very close to that ofTakht-i Sangin, is not the only example for the width of the area of spreading ofthe imperial style in the Achaemenid period. The same phenomenon is seen byus at the study of the architectural monuments, especially in the spreading ofthe torus-shaped Achaemenid bases from Egypt and Palestine to CentralAsia.208

All the 15 bouterolles published by P. Bernard, are dated to the period524—404 В . C., th e epoch of th e fi rs t hegemon y of th e Persi ans, to the time ofthe first conquest of Egypt. By this the dating in the broad sense, to the 5thcentury seems to us to be most acceptable. In this case the fact is also veryimportant that we find the closest analogies of the form of sheaths on the ear-

2 0 5 V. I. ABAEV : op. cit. 12—16.206 В . A. LITVINSKIY : Д р е в н и е к о ч е в н и к и «К р ы ш и м и р а ». Moscow 1972. 151 — 162.207 О . SZEMERÉNYI : Four Old Ir an ia n Names : Scy thi an- Sku dra -So gd ian -Sa ka.

Wien 1980. ÖAW Phil.-hist. Kl. Sitzungberichte 371. Bd. P. 41.20 8 1. R . PICHIKYAN : Т о р о в и д н ы е б а з ы (п р о и с х о ж д е н и е , х р о н о л о г и я ). К у л ь т у р а

и и с к у с с т в о н а р о д о в С р е д н е й А з и и в д р е в н о с т и и с р е д н е в е к о в ь е . Moscow 1979. 67—61.


8/15/2019 ACTAANTIQUA_28 (1980)



liest specimen, No. 22, of the treasure of the Oxus and on the early representa-tions of Persepolis.209

As far as the chronology is concerned, according to the continuous evolu-tionary scheme, proposed by P. Bernard, it seems to be very convincing toinclude in it also the sheath of Takht-i Sangin. The unbroken evolution, thesimilar ity of the re pres enta tion s an d of th e stylistic mar ks, f irs t of all, show th a tthe bouterolle of Takht-i Sangin and, consequently also the sheath, cannot bedated later than the 5th century B. C. And if we take into consideration, as it isaccepted in archeology and in history of art that the stylistic marks most fre-quently are also chronological characteristics, then it becomes an obvious factthat the sheath of Takht-i Sangin has to be dated to the first half of the 5thcentury B.C., and by no means later.

The ornament framing the upper part of the sheath also speaks in favourof this or an even earlier dating. It is dated to the transitional period (6th cen-tury B.C.) of the Minor Asian tonguelet ornament of Ionic ovoli with the initialstage of the intermediate stems,210 hardly observed only in the lower part ofthe stripe between the upper representation and the bouterolle. The braidingabove the dividing ornamental stripes above the bouterolle belongs to the MinorAsian and Iranian early archaic ornamental motifs211 borrowed from AsiaMinor, and used by no means later than the first half of the 5th century B. C.,similarly as the representations, ornamentation and form of the sheath as awhole has also to be dated.

In cultic deposit No. 4, together with the sheath a votive stone altar wasfound, with a bronze sculptured figure of Silenus Marsyas playing on an two-branched flute (Fig. 4), placed on it.

The first Ancient Greek inscription on the territory of Asia Minor readsas follows :

Ev%r)vâvéfhjxev'AxQoadtxr]ç"OÇon

«Atrosokes dedicated his vow to Oxus» (Fig. 5). In the open altar the syn-thesis of Graeco-Bactrian culture is realized with unusual sharp clearness. The

2 0 8 O. M . DA LTON : op. cü. N 22 ; E . F . SCHMIDT : Pe r s e p ol i s . I . N 65 A . B , D . ,PI. 120, 121. Unlike the late sheath of Artaxerxes III, where the bouterollo is trifoliate,se e: E . F. SCHMIDT: Perse pol is. II I. PI. 75 (18).

2 , 0 C. WEICKERT : Da s lesbische K ymat ion . Leipzig 19 13 ; W. B. DINSMOOR :The Architecture of Ancient Greece. London I960. 13, 25, 29. 44.

21 1 R . GHIRSHMAN : T o m b e . . . Pl . IX , 6 , 8, X I I , 7 ; CH. WILKINSON : Vessels

fro m Ziwiye Term ina tin g in Anim al Heads. Proceedings of the lV th Inte rnat ion al Congressof Ir an ia n Art and Archaeolo gy. Pa rt A, Apri l 24 - M a y 3, I96 0. Teheran 1967. 2982,Fig. 1046.

Acta Antiqua Academiae Scientiarum Hungar icae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



local sacrificer of fir e, Atr oso kes (his na me f ro m Old Ir an ia n is deciphered as

«burning with the sacred fire», or «useful to the deity of fire» or mostly «having

the force of the deity of fire») dedicates a small altar of Greek form with a figu-

rine of the Greek Silenus, a Bacchic deity, with an Ancient Greek inscription in

form and language to the local deity of river Oxus (the Greek transcription of

th e Vax s — Amu -D ar ya ). We have to do not with a superfic ial mixing, or th e

amalgamation of the forms, but with a deep process leading to the mutual pene-

tration of the world view of the Bactrians and the Hellenes. The votive inscrip-

tions are characteristic of the sacred groves, the Greek temene, they are to be

found also in the area of temples, but they are always addressed to the deity to

whom the temple is consecrated. Consequently, also the sanctuary of Takht-i

Sangin, as it becomes clear from the inscription, was consecrated to Oxus, the

highest deity of the river and of the primeval element of water. Therefore, the

information included in the four words is very significant. The ancient Greeksrendered the hydronym «Vaxs» with the word Oxus (by which the local in-

h a b i t a n t s at th a t ti me di d no t call only th e river Vaxs, bu t also the whole

Amu-Darya). The common name appeared quite late.21 2 On the Kusäna coinsthis deity is represented with the inscription 0 А Х 1 Ю («Vaxs»). Thus, i n

antiquity not only one of the main rivers of Central Asia was denoted by this

word, but also the deity connected with it.2123 In the sacred hierarchy it occu-

pied a high place, because in the inscription on a gem (kept in the Calcutta

mu se um ) the ph ra se «Vaxs, th e sole god» appea rs. The gr eat Kho rez mi an

scholar Bi rüni in th e 11th ce ntu ry st at ed t h a t «Vaxs is th e na me of the an gelplaced (to supervise) the waters, especially river Jaihün» (Amu-Darya, theancient Vakhsh).213 Up to the twenties with the Tajiks and the Uzbeks manybeliefs connected with this river were preserved.

The figure of Silenus—Marsyas standing on the base of the altar is wellkn ow n in the Greek pan th eo n. Silenus—Marsy as, playing a two-b ranc hed flu te ,is standing in full-size on the small bronze base, cast together with the figurine.The small base is mounted on the upper plain surface of the altar with the helpof a hammered out slit, soldered with lead. Silenus holds the flute in his bent

hands. His left foot is slightly stretched ahead. The legs are represented fron-tally, somewhat geometrically and generalized. The big head sharply separatesin profile together with the protruding abdomen. The shoulders are in propor-tion very narrow, only slightly projecting from the line of the head. From thechin to the omphalos along the sternum there is a deep incision separating thebig, hanging breasts (Fig. 5).

212 J . MARKWART : We hr ot und Aran g. Le iden 1938. 351.212A J . HARMATTA : Cusaniea. Ac ta Or ie nt . H un g. 11 (1960) 198 — 200; J.ROSEN-

FIELD: The Dyn ast ic Art s of th e Ku sh an s. Berk elev and Los Angeles 1967. 92, PI.VIII /155.213 BIRUNI ABURAYKHAN : П а м я т н и к и м и н у в ш и х п о к о л е н и й . Tashkent 1957. 258.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS O F ART F ROM TH E S ANCTUARY OF OXUS 6 3

The big, bald skull is fr am ed by long locks. The c oif fur e dir ect ly goes ove r

to the short, broad beard, fashioned, like the locks, generalized, by deep, short

incisions. On the for ehea d the re a re tw o wrinkles : th e one is ver tic al, de ep,

the other is short, horizontal. The small eyes are deep-set. The cheeks are puffed-up from tension. The huge, jug-eared head, with broad nose, the stressed ugly

figure, are characterist ic of the outwar d а р р з а г а п с е of Silenus. The grasp of

the naked masculine body, the representation of the realistic Hellenistic mytho-

logical figure in the tra diti onal ma nne r, the ca rica turing of the face, be tr ay th e

ha nd of a Greek mast er. The face of Silenus belongs to the car ica tur ed po rt ra it

representation of Socrates, favoured in Hellenism.

The altar combines Hellenistic and Bactrian traditions. Language, for-

mul a and script of the inscription are Greek, the con ten ts — Ba ct ri an . On t he

al ta r, ded ica ted to the Ba ct ri an dei ty Oxus — Vax§, is set the Hellenic sculp -

tural figure of the Greek deity Marsyas whose function was among others the

protection of the watercourses. Thus, one and the same semantic idea got

two fol d expres sions : an epi gra phi c (writt en) expressi on (Oxus — VaxS)

and a sculptural one (Marsyas). This reduplication increased not only the

sacred force of the altar but it also bore witness to the cultural synthesis and

drew atte nti on to the culturall y and perha ps ethnically mingled Grae co-B act rian

environment.

The epigraphic analysis of the inscription,214 the comparison with the

mo num en ta l inscriptions of the 3rd centu ry В . C. and financi al dipinti of the

2nd centu ry В . C. discovered in Ai -K han um, as well as wit h th e later inscrip-

tions of Surkh Kotal, permit to date the dedication on the altar to the middle

of th e 2nd cent ury В . C. t h a t is to the las t deca des before th e fall of Graeco-

Bactria.815

In cultic deposit No. 4 the basic mass of the finds consisted of polychrome

clay sculpture. The large quantity of finds made of alabaster and unburnt clay,

undoubtedly has to be included in local, Bactrian art. Their materials are so

breakable that their local manufacture does not raise any doubts. Besides the

forms and difference of the material, the heads, torsos and smaller details of the

figures can be divided according to the style of manufacture and the chronologyinto three entirely independent schools.

214 V. A. LIVSHITS agrees with the dating proposed by us. Adhering to our opinion,we quote with gratitude the views of the national epigraphists, specializing on the inscrip-tions of Olbia, Chersoncsus and the Bosporus. E. I. LEVI, A. I. BOLTUNOVA, N. S. BELOVAand V. V. RUBAN are inclined to an earlier date, viz.: 3rd ce nt ur y — tu rn of t he 3rdcentury-beginning of the 2nd century B. C. Ju. G. VINOGRADOV believes that, accoidingto tho epigraphic data, the offering of Atrosokes should be dated to the middle of the 2ndcentury В . C.

215 L. ROBERT : Les insc rip tio ns. P . BERNARD : Fou ill es d'Ai K hano um . MD AF A

XXX. Paris. 617 — 520, PI. 11 ; P . BERNARD: Pr at iq ue s financières dans la Bactrianehellénisée . BS FN 34 Pl. II ; H . HUMBACH : Bak tri sche Spra chdenkmäl er . II . Wie sba den1967. Pis. 17—21, 22 above.


8/15/2019 ACTAANTIQUA_28 (1980)


6 4 В . A. LITVINSKIY — I . К . PICHIK YAN

The sculpture of the Seleucid times, produced according to Greek tradi-

tio ns of Asia Minor belo ngs to th e fi rs t school. The second, Gra eco -Ba ctr ian

school is characterized by specific local traditions. The third school, the most

numerous one, includes sculptures prepared in the Parthian and Indo-Gan-

dharian style. At the same time it is clear that the sculptures were previously

crushed, and thereafter brought and thrown into the distant northern dead-end

of corridor No. 2, together with the inscription dedicated to Oxus, the sheath of

akinakes, the silver hand bigger than the natural size, the Scytho-Siberian

nephrite representation of the wolf-dragon, and the 15 stone disks, because it

was seen already before the restoration that all the sculptures were fragmentary

and only one whole alabaster statue could be put together that of an eastern

satrap, and the rest were only separate parts.

The head of a beardless man with royal hair-band or diadem, representing

the first school (Fig. 6), is the best with regard to style and the workmanship ofpreparation. The clay is local, yellowish brown in colour, with inclusions of sand

and limestone. The head was formed separately from the body. The blue-black

locks, held together with a pink fillet, drop on the forehead and the temples with

bent, elegant plaits thinning towards the ends, divided with a modelling tool

into several parts. The pupils of the deep-set eyes are not shown plastically,

they were painted. The curls of the locks stress the beauty of the straight fore-

he ad . In spite of th e sm al l dimensi ons (it s scale is half of th e na tu ra l size) the

head looks monumental. The head is modelled with hand. The master was un-

doubtedly a Greek, or a strongly Hellenized Bactrian, acquainted with the besttraditions of the Greek sculptors Scopas and Lysippus, widely known from orig-

inal works and copies to the local masters creating the Hellenistic sculptural

koine. The sculptor modelling the head of a large statue was familiar with the

Seleucid specimens of Asia Minor, both in monumental and minor sculpture,

including the coin representations of the early Hellenistic rulers. The affinity of

the general appearance, as well as of the conception of the small details, viz.

the hair-do, the forehead, the eyes, the oval face, betray the nearness of the

schools, of that to which the master of northern Bactria, more accurately that

of the Takht-i Sangin, belonged, with the best workmanships of Pergamum,Pri ene , Magnesia on th e Maeander, working in the 3rd cent ury В . C. The head

is a portrait. On the basis of the hair-band or diadem worn by the diadochoi

and epigons, it represents the governing dynast.

The work of the second local school deserves special interest. It is repre-

sented by the sculpture of the satrap robed in kyrbasia (Fig. 7). The masculine

head is represented in front-view, its scale is one third of the natural size. The

face is slig htly br oa de ni ng below. The nose is th in , high, wi th a slight sin king

on the ridge and with a moderate conversity towards the tip. The nostrils are

fashioned with arches. The deep-set eyes are outlined with linear black ovals,pointed at the outer edge and rounded off at the nose. In the middle of the upper


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF ART FR OM TH E S ANCTUARY OF OXUS 65

line of the oval there is a circular spot, the pupil. The arches of the eyebrows are

indi ca ted by black lines rea chi ng over t he late ral edges of th e nose. The mout h

is not big. Partly, especially the upper lip, is covered by moustache and beard.

The lowerlipis straight, the small,semioval upper lip fits tight to it. The lips are

pa in te d with red colour. The whole lower pa rt of the face is fr am ed by th ick , bl ackhai r, into which the mo usta che an d th e beard melt. The bro ad mo ust ach e is

pa rt ed in the middle, it turn s into th e be ard , which begins below the cheeks. Th e

beard in the beginning hangs along the contours of the face broadening down-

wards , and below it is pulled tog et he r wedgewise. The ha ir s in th e mo us tach e

are represented with several oblique notches. The finishing of the beard is much

more detailed. The naturalness of the representation is enhanced by the relief-

like shaping of the beard as compared with the plane of the face. Above tho low

for ehe ad a bulging and alm ost smo ot h str ipe of locks is hang ing, clipped. Hig her

up the hair-dress, the kyrbasia begins. It consists of a surrounding, smoothlyprojecting cylinder or band, above which the hammered semispheric or conic

part projects. Around the band the smooth plates-face-guards hang down, cov-

ering the lateral parts of the head and reaching to the level of the chin. Below

th ey ha ve rou nd outlines. The mode lling is very accu rat e and convinci ng.

The sculpture is painted : the beard, the moustache, the eyebrows, the oval of

the face, the eyes and tho pupils are black, the face is brown, the lips are ver-

milion, the head-dress is white. This sculpture is masterly, although it is a

laconically scanty portrait representation of a man, imperatively and attentive-

ly looking before himself. The head is made of white alabaster, it is hollow in-side. A study of the reversed side creates the impression that at the preparation

of the relief the mass was so to say crammed into the form. Meanwhile, into the

necessary places from the reversed side additional lumps of alabaster were put

inside. It is hoped that the subsequent restoration will permit the publishing of

th e whole figure . The dimens ions of th e fr ag me nt are as follows : height 12 cm. ,

breadth 7.4 cm.

Khalchayan furnished a whole series of masculine heads, including also

hea ds with bea rd and mou sta che an d ev en with similar head-dres s. How eve r,

with regard to style they differ from that of Takht-i Sangin. It is especiallyim po rt an t th at the common oval of th e face in Kha lch aya n becomes narr ower

downwards, while in Takht-i Sangin, on the contrary, it is broadening below.

In this respect the nearness to the sculpture of Hatra and to the sculptures from

tw o Pa rt hi an centres can be followed. The question of th e Pa rt ho -B ac tr ia n

mutual relations in the field of art and architecture has been elaborated repeat-

edl y and in a deta iled for m. The sc ulp tur e of Takh t-i Sa ngin showi ng tra ces of

Partho-Bactrian mutual relations in the field of art, supports this thesis. At the

same time it expands our conceptions about the appearance of Bactrian sculp-

tu re as a whole. As for the da ti ng , the b ro ad dat ing to th e 3rd —2nd cen tur iesB. C. seems to be most acceptable.


8/15/2019 ACTAANTIQUA_28 (1980)


66 В . A . L I T V I N S K I Y — I . К . P I C H I K Y A N

One of the numerous sculptures, the alabaster sculpture representing a

Bactrian, of the third local school (Pig. 8), is very interesting. The head, the

ar ms an d legs are pa r t l y brok en off . Th e man was re pr es en te d in motion . The

right leg is ahead, the left one is kept behind. The clothing is local, Indo-

Bactrian, in the form of a long, pleated chiton girded with a sash, fastened witha knot with two long ends hanging down. Of the iconography, the stretched pro-

portions with narrow waist, with rather thin thighs and narrow shoulders, the

accurate, almost graphic conception of the dimensions and the sure, somewhat

generalized representation of the form, are characteristic.

The comparison with the Kusäna iconography shows some points of con-tact with the image of Kaniska eternized on coins. On the coins of Kaniska,the standing king is in girded kaftan, sharply, almost triangularly broadeningin the lower half. The line of the lower edge of the garment is straight or wavy,

festoon-like tripartite, rounded off in the centre. On the lower half sometimesfolds are shown : two rows of horizontal arches closed on the axle line.216 Thesimilarity of the statuette discussed, with this image is insignificant.

The same can be said also about the sculpture from the Kusäna timesbelonging to the Mathura school. The belt on the statue of Kaniska from Mathu-ra21 7 is decorated with plaques. It surrounds the under-garment, on which thelong, open kaftan is spread. Under the belt arch-shaped folds are indicated withengraving, turned downwards. The lower edge is straight. The lower edge issimilar also on the statue of the Kusäna prince from Mathura, 218 where a tassel

is hanging down from the broad belt on the axle line. The strap fastened in thecentre with two tassels hanging down is rare in the art of Mathura. Such fasten-ing of the belt is found on earlier monuments of Indian art, belonging to the 2ndcentury В . C. — the begi nning of our era, in Bh ar hu t, Bh aj a, Pita lhor , Sanchi,

etc.219

Certai n parallels are observed also with the Pa rt hi an cultu re. The bel twi th

two hanging tassels is usual in Parthian art. By way of example we can mention

the stone reliefs from Bisutun with the representation of a Parthian prince

(1st — 2nd centur ies A . D.), 220 where the line of the lower edge consists of two

arches closed in the centre, so that between them a tip turning downwards is

formed. Such character of the belt is established in Parthian art already in the

2 1 6 J . M . R O S E N F I E L D : The Dynastic Arts of the Kushans. Los Angeles 1 9 6 7 .

PI . 11 (30, 38) ; P. G A R D N E R : The Coins of th e Greek an d Scyt hic Kings in Bac tr iaand India in the British Museum. Chicago 1959. (reprint) Pis. XXVI —XXVII.

2 I ' J . M . R O S E N F I E E D : op. cit. F i g . 2 , 9 4 .218

Ibidem. Figs. 8, 13, 21, 22.2 1 9 A . M. L O T H : La vie publique et privée dans l 'Inde ancienne II e siècle avant

J.-C. — VII e siècle environ. Fase. VII. Planches. Paris 1979. (Publications du MuséeGuimet. Recherches et documents d'art et d'archéologie. VI) Pis. III (1 — 4), IV (1, 2),VII (1).

2 2 0

R . G H I R S H M A N : Ira n. Par thi ans and Sasanians. Paris 1 9 6 2 . Fig. 6 6 . Suchfixing of the belt is found in the women's costume of the Parthians. Ibidem, Fig . 103.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


6 8 В . A . L ITVIN S KIY- I . К . P IC HIKYAN

represented in front-view slightly turned to the left and hardly perceptibly

leaned to the left shoulder. The look of the widely opened eyes without the

drawing of the pupils is directed above the onlooker. The round oval of the face

with the chin drawn into it is contracted with a helmet representing the head

of a scalped lion. The upper jaw of the lion garlands the forehead, while the twohalves of the lower jaw frame the cheeks of the hero in the form of face-guards

of the helmet. The streaming, thinly modelled twirls-locks of the mane are

behind the head of Alexander, and on his chest there are the legs of the lion,

fastened in the «knot of Heracles» (one of the legs and a part of the hide on the

left shoulder have been preserved, the right leg and the knot have been lost).

Be ca us e of abrasi on, t he nose and the lips are somewhat blurr ed (Fig. Э ).228

The contour of the face of the Alexander of Takht-i Sangin is oval, unlike

the round types of heads sculptured byScopas.The wide open eyes are set close

to each other and not very deep, but the massive muscles of the eyebrows at theridge of the nose are projecting ahead, not hanging above the eyes that still

gives the expression of pathos to the face, characteristic of all portraits of

Alexander, showing their affinity and uniting them on the basis of this one

mark. It is also noted that the furrows on the forehead and on the ridge of the

nose and the squinting of the eyes, characteristic of the late Hellenistic period,

are missing.

As was correctly remarked by K. Gebauer, the question of the attribution

of each portrait of Alexander, has the only perspective of solution, if we examine

it from the view-point of the whole existing material.227 Alexander the Great

was represented by the best known sculptors of Greece, viz. Lysippus, Leo-

cha res , Eu th y crates, Eu ph an or . At present th e i conograph y of the port rai ts of

Alexander is well elaborated,2 2 8 and the literature on the attribution of his

226 The fr ag men t wa s glue d toge ther b y I . I t. PICHIKYAN of several vert icall ystratified scales of ivory, found in different parts of the iron conglomerate. Inv. No.1134/1091, Institute of History A. Donish of the Academy of Sciences of the Tajik SSR.The conglomerate consisting of over 2000 arrow-heads and other iron objects of arma-ment, was recorded by us as cultic deposit No. 2 in the most distant north-western cornerof the 20 metres long ambulatory corridor (No. 2). Deposit No. 2 was discovered in ad ep t h of 3.5 metres fr om t he present -day surface, 0.5 — 0.65 met res a bov e the real sub-soil. On the glued fragment of bouterolle the dimensions of the portrait bust of Alexanderar e as follows : he ight : 33 m m, b read th : 28 m m . Th e rep res ent ati on of th e hea d h asbeen preserved completely, viz. height : 20 m m , eyes : 13 mm , nose : 3 mm . On t heopposite side of the half of the bouterolle there are traces of a slit of a vertical incisionusual for the functional and votive-decorative mouth of sheaths of daggers, found inlarge quantiti es in the cultic deposits of the templ e. See I. R. PICHIKYAN : Н о ж н ык с и ф о с о в и м а х а й р в С е в е р н о й Б а к т р и и . CA 4 (1980) 202 — 212.

22 7 К . GEBAUER: Ale xa nde rbi ldn is un d Al ex an de r t yp us . AM 63/64 (1939/9) 32 .228 The works of scul pt or s of the 4th ce nt ur y В . C. are reviewed in detai l in th e

wo rk s of th e emine nt Sovi et researcher O. F . V ald gau er. See O. F. VALDGAUER : П о р т -р е т ы А л е к с а н д р а и и х з н а ч е н и е д л я и с т о р и и п о р т р е т н о й с к у л ь п т у р ы IV в . д о н . э . Idem :Э т ю д ы п о и с т о р и и а н т и ч н о г о п о р т р е т а . Leni ngrad 1938. 150 foil. Т н . SCHREIBER: Stu-dien üb er das Bildnis A le xa nd er s des Grosse n. Lei pzi g 1903 ; W . HOFFMANN : Da s lite-

rarische Porträt Alexanders des Grossen im griechischen und römischen Altertum. Leip-zig 1907 ; F. WEBER : Al ex an de r der Grosse im Urte il der Griechen und Röm or bis an

Acta Antiqua Academiae Scientiurum Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF AR T FR OM TH E S ANCTUARY OF OXUS 6 9

portraits is incredibly comprehensive, which facilitates our work considerably.

Inasmuch as the attribution of the portrait at Takht-i Sangin does not give

complications, therefore besides the analogies it is necessary to establish its

place in iconographie typology.

The successful classification according to the creative masters has been

done by O. F. Valdgauer. His work could be continued with a broadening classi-

fication according to schools, because the authorship of the majority of the in-

definable portraits of Alexander is impossible to establish. In this plan, in a

special monographic research, all known works should be grouped according to

the method of J. Beazley, applied by him in the study of Attic vase painting,

and named the masters after the names of the most characteristic portraits, 229

but this is not at all our task.

The classification according to schools of sculpture in the geographic range

has been made by M. Bieber and K. Gebauer, but their works do not excel witha comprehensive fullness.230 The excellent work of K. Ge bau er arra nges th e

coinages and sculptures with the representations of Heracles and Alexander

kno wn to the aut hor , according to regio nal schools. In his opinion th e sc ulp tur al

works of the Alexandrian school collected by him, can be set against altogether

only 12 marble works of the whole remaining Mediterranean. 2 3 1 However, it is

not so. In the last years the archeological journals have published new attribu-

tions that are completed on the basis of the study of museum and private col-

lections,232 and also by archaeological excavations, which can be testified by

the excavations in Aigai,23 3 and in Takht-i Sangin. The classification with theselection of the Roman idealized portrait and the so called group of Roman his-

torica l por tr ai ts has earn ed alre ady just ifi cat ion in the iconog raphy of Al exan -

der the Great.234 There are also typological groups, based on the most diversi-

fied marks, including the emotional characteristics. Thus, 0. Ya. Neverov, clas-

sifyi ng th e deification of the crea tor of th e vas t Hellenistic mona rc hy accor ding

to the phases of the apotheosis of the ruler (what in itself contains a very sensi-

die Ko nst an tin isc he Zeit. Giessen 1909; К . GEBAUER: op. cit.; V. v. GRAVE: Z umHe rr sch er Ph ilipp os II . un d Philip pos I I I . von Makedon ien. AA 3 (1973) 236 — 249, Fig eб , 6 ; M. BIEBER : Ei n idealisie rtes Porträt Alexanders des Grossen. JDAI 40 (1925)167; M. BIEBER: The Port ra its of Ale xan der th e Gre at. P PS 93 (1949) 349 ; M. BIE-BER : Th e Sc ulp tur e of th e Hel len isti c Age. Ne w Yor k 1966 ; G. KLEINER : Da s Bild -nis Al exan de rs des Grossen. JD AI . 66/66 (1960/1961) 206 ff.; G. BERTELLI : Al exand-res I I I di Macedonia. Enciclopedia Ita lia na F on da ta di Giovanni Treeccani. I. Ro me1957.

229 J. D. BEAZLEY : Attic Black-Figure Vase-Painters. Oxford 1963.2 3 0 M . BI E BE R : op. cit. ; К . G E B AU E R : op. cit.2 3 1 К . G EB A UE R : op. cit. 33.232 M. A. ZAGDAUN : Collection Pau l Canellopoulos. В С Н , С II I, 1979. 411, Fi gs.

2 9 - 3 2 ; H . G . NIMEYER : Al ex an de rk op f in Sevi l la . AA 1978. I . 106 — 116.233 M. ANDRONIKOS : Г р о б н и ц ы М а к е д о н с к и х ц а р е й . У н и к а л ь н а я а р х е о л о г и ч е с к а я

н а х о д к а — в о з м о ж н о , з а х о р о н е н и е о т ц а А л е к с а н д р а М а к е д о н с к о г о . К у р ь е р Ю Н Е С К О7 (1979) 3 foil. Ф о т о н а о б л о ж к е .2 3 4 M . A . ZAGDAUN : op. cit.; H . G . N I M E Y E R : op. cit.


8/15/2019 ACTAANTIQUA_28 (1980)



ble idea, but not a new one),23 5 sees the evolution also in the style of the portrait

of Alexander. This is what leads 0. Ya. Neverov to the typology based on emo-

tional principles.23 6 There are classifications that are arbitrary, difficult to de-

fine, based on typology of principle unknown to us. 237

The classification according to kinds and genres of art was realized onlyby numismatists, selecting from the whole complex of representations, the re-

presentations in profile on the coins.

As a matter of fact, there is no generalizing iconographie typology of the

image of Alexander in representational art, since each researcher started out

from portraits, in the course of time increasing considerably, which were at

their disposal, or which were more or less close to them, or within their reach.

This is also understandable. The diversity of the material, the chronological

differences, the stylistic characteristics, the non-adequacy of the age and the

subject, give complications for a single, methodologically reliable typology ofthe representations of Alexander.

We propose the typological characteristic of the representations of Alex-

ander the Great according to statuary subjects, in which all antique representa-

tions would be included, regardless of time, place of preparation, material, and

t he a uth or creatin g th e port ra it of the gre at str at egi st . Following this met hod,

the same works of ancient sculptors-portraitists may be included in different

typological groups, viz.:

1. Alexa nder, t he child.2. Alexander , the pal aestric , warrior.

3. Alexand er, the philosopher, the st at es ma n.

4. Alexander, the deified hero, or god.

5. Alexander, an idealized image.

In each typological group it is proposed to follow the chronological divi-

sion from the portraits prepared during his lifetime to the Hellenistic copies,

and from the latter to the Roman historical portraits. After the monumental

sculpture, ifit exists, in each group the small sculpture, glyptics and coin re-presentations follow, consequently, the material of the sculptural works in

marble, limestone, and bone precedes the copies in terracotta and metals (be-

cause original bronze masterpieces are unknown so far).

According to the idea, the first group of th e port ra it s from the early yo ut h

should be the earliest. As a matter of fact, a great part of this group belonged

2 3 5 K . GEB A UER : op. cit. 2.238

О . YA. NEVEROV : М и т р и д а т и А л е к с а н д р . К и к о н о г р а ф и и М и т р и д а т а VI. CA 2(1971) 88 foil.2 37 Т н . S CH RE I BE R : op. cit. ; G . KL EI NE R : op. cit.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENTS OF AR T FRO M TH E S ANCTUARY OF OXUS 71

among the Roman copies that is they were executed in the Roman style ofportraiture.238

The second group is Alex ander , the palaest ric, or th e nude Alexander wi thspear (doryphores), going back to th e praised st at ue by Lysi ppus known fro m

written sources.239 However, in the copies the figure of Alexander is altered bythe too free conception (sometimes in reversed, reflected representation). Twogroups of similar statues are known, made of bronze and of marble. 240Their char-acter istic s are : the polycletic pre sen tat ion of the figure depe ndin g on the degre eof qual itie s of t he copyis t (ch iasmus and motion in st ati cs) , heroic naked-ness of the young athletic body, and a very generalized conception of the facethat permits us to include them in the group of warriors. Alexander, the warriorwas represented in armour, in helmet, sometimes with shield (Alexander onhorseback in full military equipment). However, the main difference of all re-

presentations of Alexander the warrior is the emotional saturation of the char-acteristic of the image of the hero, or his idealized presentation. All copies arevery different in character, executed in different material, and as a whole theystrongly fall behind the originals, prepared by sculptors from nature. With theexception of the mosaic of Pompeii,241 their majority consist of considerablyreduced replicas of the kind of the statuette «Alexander on horseback», 242 fromHerculaneum not permitting a judgement of similarity with original as a resultof the generalization of the face. Very likely, the copy of the portrait by Lysip-pus, perhaps, a mounted statue, going back to the gold medallion of Abukir,243

is the best specimen of this group.The third group is Alexander, the philosopher. The degree of surety in the

attribution of these representations of Alexander is different in antique historyof art. There is no doubt that the signed herma in the Louvre (collection ofAzar) represents Alexander the Great. However, in the beginning it was attri-buted by L. Curtius to Leochares,24 4 by Th. Schreiber to Lysippus, 24 5 and then,much more convincingly, it was re-attributed by 0. F. Valdgauer to Eupha-nor.24 6 It has a close analogy in the British Museum, also erroneously includedamong the copies from the sculpture of Lysippus. 24 7 The signed herma, accepted

at present as the initial one, is valued very low, possibly undeservedly, on ac-count of the bad preservation of the monument. M. Bieber writes straight that

2 3 8 TH . SCHREIB ER : op. cit. 4 1 , P l . 1 ( B ) ; К . G E B A U E R : op. cit. P i s . 8 , 12.2 3 9 TH . SCHREIB ER : op. cit. 217 , F ig . 27 .24 0 О . F . VALDGAUER : П о р т р е т ы А л е к с а н д р а . , 165, 152, F igs 69, 62 ; Т н . SCHREI-

BER : op. cit. Pis. VI, X I .2 4 1 C. BERTELLI : op. cit. 240 .242

Ibidem. 357.2 4 3 H . D E L B R U E C K : Z w o i P o r t r ä t s . J D A I . 4 0 ( 1 9 25 ) 1 2 , F i g . Б ; V . v . G R A V E :

op. cit. 2 5 4 , Fig. 5 .24 4 H . G . NIMAYER : op. cit.2 4 5 T H . SCH RE I BE R : op. cit. 2 8 — 4 0 , P l . 1 4 .248 O. F . VALDGAUER : П о р т р е т ы А л е к с а н д р а . 164—165.24 7 К . G EB A UE R : op. cü. 97 , P l . 14 (3 ; 4) .


8/15/2019 ACTAANTIQUA_28 (1980)


7 2 В . A. LITVINSKIY — I . К . PICHIKYAN

this is a very bad copy,248 and 0. F. Valdgauer points out the deformation of the

eyes, made by the copyist. And still, this representation shows in a sufficient

degree not only the literary image of Alexander, the wise strategist and states-

man, created by the antique authors, but it also reflects the excellent charac-

terization by 0. F. Valdgauer : «Alexander is the pupil of Aristotle, well versedon th e gre at Hellenic te ac her s and poets. Ale xand er is a hero an d grea t conquer-

or, realizer of the expectations of Hellenism about the submission of the East,

talented with genial organizatory qualities».24 9 As Th. Schreiber remarks, Alex-

ander is represented on the portrait in mature age. We should add that in him

the wisdom of the statesman is stressed, Alexander, the philosopher should be

ranged by the portraits of the Louvre and the British Museum with this type of

iconography.

In the examination of the fourth typological group the main attention

will be paid only to the appearance of Alexander in the image of Heracles, sincethe rest of the hypostases, being not so wide-spread, add little in comparison

with the representation discussed here.

The fifth typological group, the largest one, consists mainly of copies

presenting the idealized Alexander.2 50 In reality, Alexander was very handsome

(Arr., Anab. VII, 26,1), but the sculptors of Hellenism, after his death endeav-

oured to invest him in addition also with features of heavenly beauty. Judged

from the number of the copies, this trend of development stood nearest to the

taste of the Roman age.

Returning to the fourth typological group, we remark that the researcherspropose different numbers of specimens of the deification of Alexander. 0. Ya.

Neverov, touching this question to some extent, mentions only the main icono-

graphie types of this group, viz. Ale xan der , in th e imag e of Her acl es, Dionysus ,

Ammon and Helios.251 K. Gebauer gives a more general, but also incomplete

list in the form of a foot-note without the illustration of the examples, viz.

Alex ander , Helios, a Genius , a Dioscur, Ammon- Carne ios, Her mes Diony-

sus, Heracles, Ares, Asclepius, River god, Satyr, Attis. 252 Alexander -Zeus (Jupi-

ter)2 5 3 is missing in both cases, and Alexander in elephant helmet, serving, ap-

parently, as a model of the representation of the Graeco-Bactrian coinage ofDemetrius,2 5 4 is not mentioned either.

2 4 8 M . B I E B E R : E i n i d e a l i s i e r t e s P o r t r ä t . . . 1 8 1.249 о р VALDGAUER : П о р т р е т ы А л е к с а н д р а . . . 1 6 5 .2 5 0 Т Н . S C HR EI BE R: op. cit. 2 5 , P i s . 1 1 - D , I I I - F , I V , V , V I I ; T H . W I E G A N D :

E i n n e u e s A l e x a n d e r p o r t r ä t . J D A I 1 4 ( 1 8 9 9 ) 1 ; M . B I E B E R : E i n i d e a l i s i e r t e s P o r t r ä t . . .F i g s . 1 — 6, P is . 6 — 8 ; V . v . GR AVE : op. cit. P l . 2 4 (9 — 1 2 ) ; К . G . K L E I NE R : op. cit.

Pis . 1 — 4, 5, 7, 14.2 5 1 0 . J a . N E V E RO V : op. cit. 88 foi l .2 5 2 К . G E BA UE R : op. cit. 1.2 5 3 TH . SCHREIB ER : op. cit. 1 1 3 , p l . V I I - O .2 4 4A. CUNNINGHAM: Rel ics fr om An ci en t Per si a in Gol d, Silver an d C op pe r.

J A S B 24 (18881) 17 2; B. STAWISKI : K u n st d er Ku sc ha n. Leipz ig 1979. Fig. 29.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUMENT S OF ART FR OM TH E S ANCTUA RY O F OXUS 7 3

Let us stop at the representation of Alexander in the image of Heracles.The representations in profile of Heracles-Alexander and Alexander in lionhelmet domi nate over the stat ua ry represe ntati ons of por trai ts of other groups,because they are represented by a vast material of numismatics on numerous

series of coins from the time of Alexander, of the diadochoi, especially of Lysi-machus, and the epigons. The comparison of the coin representations of Herac-les, of Alexander in the image of Heracles, of Mithridates in the image of Alex-ander-Heracles and Commodus in the image of Heracles, shows the evolution ofthe represented image. Originally Heracles was represented on the coins withthe apotrope, the lion's hide, reliable for attribution, i.e., the head of Heracles,repres ented in profile, was garl ande d with a lion's mas k. Similar re pre sen tat ion sof Heracles in profile are widely known on the coins of the 5th—4th centuries,on the gold stater from Tarentum, 2 5 5 on the tetradrachmas of Thasos,25 6 on the

double staters of Dicaios (Thrace).257

Heracles on the tetradrachmas of Alexander personifies a manly warriorskilled in fights (frequently with broken ridge of the nose, with hypotheticallybulgings of the arches above the eyebrows and the cheeks, like after a pancra-tium just finished).258 It is not for nothing that all representations of boxersshow a great similarity with his virile and somewhat tired and gloomy appear-ance.

Alexander «was transformed into Heracles» still in his lifetime, not onlyon the coins through the mechanic changing of Heracles with the portrait of

Alexander in profile. The repeated and obviously not accidental mentioning ofAlexa nder' s af fi ni ty with Heracles by th e authors, abo ut his end eavo ur toascend, and perform a heroic deed, worthy of his legendary ancestor, or to sur-pass him, including not only the attacking of insurmountable obstacles andtaking up fight alone with numerous enemies, but also the direct single fightwith a lion, mentioned above (Curt., VIII, 11 — 14). The complicated process oftransformation of Alexander on the coins is very accurately described by K.Geba uer : «On th e te tr ad ra ch ma s of Alex ande r — K . Gebau er writes — th eobserver, at desire, can recognize Alexander in the image of Heracles, because

Alexander personally assimilated himself to this god.»259

However, the majority of the researchers, including also K. Gebauer, seethe decisive moment in the iconography of Alexander simultaneously on allcoins exactly in 327 B. C. This is shown by the study of the coinage of Amphi-

2 5 3 K . L A N G E : Göttor Griechenlands. Meisterwerke Anti ken Münzkun st. Berlin(without year). Fig. 04.

238 Ibidem. Fig . 61.^ Ibidem. Fig . 60.238 Monnaies. Grecques-Romaines. Byzantines-Gauloises, França ises -Étran gères.

Drouet rive Gauche-Salle, n. 6. Astole-France, 75007. Paris 21—22 juin 1979. N. 31 — 39.2 3 9 K . G E BA U E R : op. cit. 2, 11, 12.


8/15/2019 ACTAANTIQUA_28 (1980)


7 4 В . A. L ITVTNSKIY — I . В . P I C H I K Y A N

polis, Tarsus, Sidon, Pella, Tyre, Babylon, Alexandria, and other smaller series.

In the opinion of K. Gebauer : «Alexander then arrived at the recognition of the

man ofthat time as a supreme power, on which the fate of everything depends.

The legend of his fabulous results in India reached the West in this year ; at the

same time rumours were spread that he himself appeared sometimes in the formof Heracles.» Therefore, the engraver may have ventured to individualize the

head of Heracles, as the portrait of Alexander. Since then not a single represen-

ta ti on of Heracles exists in a stric t sense. If th e typ e is somewhere in te rr up ted ,

then the new face, at least in some minute difference, always appears since

then.2 6 0 Even if the concepts of Nietzsche mix with naivety in the judgments of

K. Gebauer, the main trend of development in the iconography of Alexander

is pr es en te d corre ctly . At t he mo me nt w e are inte rest ed in th e da te of th e

«decisive moment» of thi s evol uti ona ry series. M. Bieber show ed an in ter es tin g

scheme of the transformation of Alexander into Heracles on the coins. Cos, aswell as other city-states of the disintegrating great empire, between the years

300 an d 200, mi nt ed th e idealized hea d of Alexa nde r in th e ima ge of Hera cles,

instead of the bearded Heracles.26 1 It can be presumed at a high degree of pro-

bability that in the formation of the iconography of Alexander in the image of

Heracles, not the coin representations themselves played a significant role, but

the monumental sculptures, one of whose authors was, most probably, the

fav our ite courtsc ulpt or, Lysippus. The scu lpt ure could come into existence soon

after the successful single fight with the lion, when Alexander was not far from

Maracanda, pushing aside Lysimachus, standing behind the king, entered intosingle fi gh t and slained th e lion of ex ce pt ion al size, similarly to Hera cles, wi th

one stroke.26 2 The st at ua ry re prese ntati ons of Alexander in th e image of Heracles

are convincingly shown by the originals of the period of Hellenism,263 and by his

representation in lion helmet on the sarcophagus of Alexander.264 But the diver-

sity itself of the coin repre sentat ions shows t h a t various st at ua ry specimens were

utilized.265 The mentioned spreading of the representations of Alexander on coins

of his numerous successors, diadochoi and epigons, was brought about by the fact

that, according to the very accurate remark of 0. Ya. Neverov, Alexander be-

came «the necessary component of dynastic cult, which was formed in the em-

pires of the Ptolemies, the Seleucids, and the Attalids. The image of Alexanderthe Great surrounded with mystic aureola furnished so to say the visibility of

legitimacy to their power.»266

280 Ibidem. 11 — 12.

2 8 1 M . B I E B E R : Ein idealisiertes P o r t r ä t . . . 1 7 8 , Fig. 10 .282 Q. C U RT I R U F I : Hi st . Alex., VI II , I, 11 —17. Cf. abo ve p. 38, п . 59.2 8 3 Е . BU S CH O R : Das hellenistische Bildnis. München 1 9 4 9 . Fig. 2 0 .2 8 4 E . A K U R G A L : Ancient Civilizations and Ruins of Turkey. Istanbul 1969. Pl. 23.265 y . N E W E L L : Alexander Hoards. Numismatic Notes and Monographs. N 19.

New York 1923. Pis. I-VIII.2 8 8 O . Y A . N E V E R O V : op. cit. 88 foil.

Acta Antiqua Aeademiae Scientiarum Hunqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



Parallel with the general trend of development of the representations of

Alexander, an additional «masked» trend of the images of Alexander-Heracles

and Alexander-Ammon appears already on the coins of the diadochoi. The Se-

leucids and the Ptolemies borrow from their predecessor the image of Ammon,

and within two hundred years after Alexander, the image of Alexander-Heracles

is revived again by another great strategist of antiquity, Mithridates Eupator

and after nearly five centuries — already in the genre of the farce — by the

lenient Roman emperor Commodus, for the reflection of the share of the clan of

the Antonini in the patronage of Heracles. Mithridates Eupator borrowed two

statuary types of Alexander the Great. His predecessor was Lysimachus. 267

The circumstance is interesting that not only coin representations ofCommodus

have been preserved, but also his sculptured portrait in lion's hide, with the club

of Hera cle s and the apples of the He spe ri ds in his hands . Howe ver , th e im age

of the empe ror, creat ed by the court scu lpto rs entirely corre sponds to t he jud g-ment of Lampi dius, viz. «the express ion of th e face is dull, like th at of a dr un k-

ard, and his speech is indolent.»26 8 The coins ofCommodus (182 — 192) icono -

graphically repeat his monumental sculptural prototype, just like the coins of

Alexander. On them Commodus is represented in left profile, the face with thin

aristocratic nose, small mouth and modestly cast down eyes, reflects inner

apathy2 6 9 that sharply distinguishes him from Alexander.

In addition to the iconographie analysis according to the similarity of the

representations, for the identification of the portrait from Takht-i Sangin, the

logical method of exclusion can also be applied. Of the four representations inlion helmet, considering the site of discovery, only Alexander remains as a real

competitor. This is shown by the canonical character of the idealization of the

appearance, by the open juvenile face, not characteristic of Heracles. Mithri-

dates and Commodus do not fit in, because the time of manufacture of the

makhaira is earlier than their appearance in the historical arena. 270

Accor ding to the general similar ity of th e repre senta tions, of the ideali zing

ten denc y of th e 3rd cent ury B. C., th e por tr ai t from Ta kht -i Sangin of A lexa n-

2.7 Ibidem.

2. 8 Monnaies .. . N 6 4 ; N . N . B R I T O V A — N . M. L O S E V A — N . A . S I D O R O V A :Р н м с к и и с к у л ь п т у р н ы й п о р т р е т . О ч е р к и . Moscow 1975. 67, Fig. 112.

2 . 9 К . L AN G E : op. cit. F i g . 1 4 1 .27 0 In f act our att rib utio n of the relief repre senta tion of Alex ande r the Grea t in

the image of Hera cles did not raise do ub ts in an y of the Soviet. Af te r the lecture on th ea nt iq ue t re as ur es of Takht- i-S angin in 1980 in Moscow (И В А Н С С С Р , И н с т и т у т а р х е о л о -г и и А Н С С С Р , Г М И И и м . А . С . П у ш к и н а ), in Leningrad (Г о с . Э р м и т а ж , Л О И А А НС С С Р ) and in Dushanbe (И н с т и т у т и с т о р и и и м . А . Д о н и ш а А Н Т а д ж . С С Р ) the speakersconf irme d the opinio n on the doubtlossne ss of the att rib utio n. We wish to ex te nd oursincere gra tit ude to O. Y A . N E V E R O V , to Y T J . E . C H I S T Y A K O V and to V. D. B L A V A T S K I Y

for the valuable advices. N . A. F R O L O V A and A. N I K I T E N extended help in the work

on the num is mat ic collection of the S ta te Hist oric al Museum (Gosu darst venn iy istori-cheskiy Muzey — GIM, Moscow), kind ly fur nis hin g phot ogra phs of the coins wit h th erepresentation of Alexander in lion helmet.

Acta Antiqua Academiae Scientiarum Hungarû'ae 21, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


MONUM ENTS O F ART F ROM TH E S ANCTUARY OF OXUS 7 7

image of Mithridates Eupator seems to be absolutely inconsistent.2 80 «Heraclesis considerably more similar to Alexander from the sarcophagus of Alexander(both are in lion helmet, the expression and the similarity of the faces are strik-ing), and even more to the gigantic head of Alexander from Pergamum, as-cribed to Lysippus,281 than to the portrait of Mithridates Eupator, and even tothose of Attalus II or Attalus III, as it was thought by the great specialists inantiquity, Winter and L. Curtius.282 We have to do here rather directly with theinfluence of the portraits of Alexander on Hellenistic sculpture. Inasmuch asthe Pergamum Heracles from the northern hall of the sanctuary of Athena isconnected with the sculptural group of Prometheus, we cannot maintain theattribution of this sculpture to Alexander, however, the unusual similaritymust be stated. The gigantic head from Pergamum is connected with the Perga-mum Heracles not only by the common Pergamum school, but also by the ab-

solute similarity of the general appearance, as well as of the certain features ofthe face, viz. the representation of the forehead, the nose, the lips, the deport-ment of the head, and also the presentation of the juvenile appearance, and thepresence of the predatory, lion-like pathos, characteristic, as K. Gebauer re-marks, «of a large number of original marble heads, which can be comparedrather on the basis of the presence of pathos, than on the basis of outward simi-larity.»283

The portrait from Takht-i Sangin of Alexander the Great unites a wholeseries of works both sculptural and minted on coins, where Alexander is repre-

sented in the image of Heracles in lion helmet. Inasmuch as in the portrait fromTakht-i Sangin of Alexander obviously an unknown original is copied, whichbec ame the prot ot yp e for num erou s replicas and copies of th e 3rd ce ntu ry B . C. ,and in the portrait discussed idealizing features are felt, characteristic of earlyHellenism, we date the representation of Alexander to the broad frames of thethird century. The proposed date is supported by the comparison with identicalcoin mintings from 300 — 200 B. C. This ful ly corres ponds to t he d at in g ch ara c-teristic of the miniature Greek votive makhaira, which the relief embellishes.The conceptions mentioned firmly point to the date of the 3rd century B. C.

It is difficult to overestimate the significance from the view-point of thehistory of culture, because of the high importance of the purely Greek portrait,lifting the curtain of the «enigmatic» Graeco-Bactrian art. This highly artisticwork is the first Graeco-Bactrian portrait of Alexander, representing the imageof the king and hero Iskander, robed in the victorious insignia, as he was pre-served in the Central Asian popular traditions so far.

2H0 G. IYRAHMER : Eine Ehrung für Mithridates VI. Eupator in Pergamum. JDAI40 (1925) 182, 200-205, Figs 2, 7, 11, 12.

21,1 M. B I E B E R : Ein idealisiertes Porträt . . . Figs 7, 11.282 L . C U R T I U S : Bron zest atue tte eines Heracles in Neapel. Walter Amolung zu m

sechzigsten Geburtstag. Leipzig 1928. 65, Fig. 7.2 8 3 K . G E B A U E R : op. cit. 22 .


8/15/2019 ACTAANTIQUA_28 (1980)


7 8 В . A . L I T V I N S K I Y — I . К . P I C H I K Y A N

Cultic deposit No. 3, to be found in the centre of the southern third of

corridor No. 2, with a diameter of 1.5 metres, on a level of 1 metre (10 cm. above

the real subsoil), consists mainly of cutting and thrusting weapons, whole iron

akinakai, spear-heads, coverings of ivory sheaths of Greek swords : xiphe and

makhairai, of a gilded bronze face-guard of a Greek helmet, and of two plateswi th scenes of hun tin g from the 2nd—1st centur ies В . C. Ab ou t these we have

to speak in detail, because these plates date cultic deposit No. 3, as the latest

ones.

This arsenal enters the history of military affairs of the period of Hellen-

ism, althou gh certain single mon um ent s are da te d to the 5th cen tur y В . C., and

oth ers are definitely lat er, fro m the 2nd cen tu ry В . C., and even from the 1st

century B.C. But first of all let us stop at certain representations, because they

are rarest even for the considerably elaborated Greek mythology.

One handle of a xiphos is ornamented on both sides, the outer and theinner one, with exactly identical high relief representations of two statuary

groups , viz. Heracles, throwing down Silenus (Fig. 10 a, b), Heracles is standing

in full height, his right hand holding a knotted club, lifted up to administer a

stroke ; with his left hand he seized Silenus by the long hair, and pulling him

down, pressed him to his thigh. Heracles with his leg preventing Silenus from

running away, stepped on his thigh and pressed him to the earth. Silenus,

standing on one knee in canonical pose of run with bent knee, is full of desire to

free himself from the grasp of the mighty enemy. Resisting, with his left hand

he strives to take off the hand of Heracles, holding him by the hair and causingpain to him. On Heracles there is a cloak made of lion's hide, the paws of the

lion are fastened at his neck in the «Heraclean knot». Silenus, as always, is nude.

His attributing mark, the goat's ear, is clearly seen, directed upwards. Both

figures are athletic, with anatomically correct representation of the trained,

well developed and relief-like projecting muscles. The dynamism of the fight is

rendered by the motion of Heracles, lifting the club to a stroke, by the position

of the legs of Silenus striving to rise, and their strong bodies, pressed together

in fi gh t, consisting of bun dle s of muscles. On the basis of th e styl e of repre senta -

t ion , the handle of xiphos should be dated to a period from the beginning of the

4th century to early Hellenism.

The third relief on the ivory sheath ornamenting the bouterolle of the

Greek sword, represents a fantastic creature, a female figure with a serpent's, or

fish-tail, with horse's legs and with bird's wings (Fig. 11). In her left hand she

holds a paddle vertically, and in her right hand a round object, a shell, an apple

or a stone, ready to be thrown. The loose long locks stream in thick curls.

The face with the long straight nose and with the high forehead, with big eyes,

with carefully elaborated upper eyelid, with round brows rendered with incision,

and pupils indicated with dots, is wilful and at the same time beautiful. A smile

hovers about her lips. The round relief here and there goes over to a sculptural


8/15/2019 ACTAANTIQUA_28 (1980)


MONUM ENTS OF AR T FR OM TH E S ANCT UARY OF O XUS 7 9

solution, and here and there, intentionally in half relief on the base of the

smoothly polished bone. This is determined by the given round form of the

bouterolle, and also by the fragility of the material. The bent and curled tail of

the monster ends in a noose and fins, the wings are represented in a swing, the

horse's legs in run : the right one before the left one. However, the dynamism

still is missing in the whole figure. The given planeness, characteristic of the

representation as a whole, can be observed in all parts of the body. The improb-

able junctions of the various elements of the creature are rendered fairly suc-

cessfully. The details are very carefully elaborated, viz. th e scales of t he t ai l,

the feathers of the wings, the hoofs, ornamented with incisions, all these are

rendered with a naive carefulness, but spiritlessly. On the other hand, the fe-

male torso and the horse's legs are executed masterfully, the perspective short-

ening of the complicated joints not existing in nature is rendered artistically.

The work betrays the hand of an experienced master, but that of a craftsman.The attribution of this personality can be twofold, although it is monosyl-

labic. It is clear that we have to do with the nymph of the water element, close

to the Mediterranean Scylla or female hippocampus. The Scylla was represented

with fish-tail and with wings, with the attribute paddle and with shell. It is con-

nected with the representation from Takht-i Sangin also by the transition from

the female torso to the fish-tail framed by palmettes. The energetic swing of the

wings, the loose locks and the aggressive swing of the right hand are also anal-

ogous. How eve r, in th e case of th e Scylla, especially in th e rep res ent ati on o n t he

cover of the mirror from the tumulus of Artyukhov, two dogs appear from underthe curl, personifying the monstrosity and the fury of the Scylla. On the repre-

sentation from Takht-i Sangin they are missing. We feel that on the Artyukhov

Scylla there were also horse's legs, part of a leg with hoof has been preserved

under the figure, left to us fragmentarily.2 84 The second at tri but ion , close to th e

fir st one, is similarly proba ble : this is th e hippoc amp us, t he ny mp h of t he

water element, or as it is called otherwise, centaurotritonis. 285 In both cases,

the Greek sea deity could be transformed into a nymph, the companion of the

god of river Oxus. The dry, and at the same time careful style of the work does

not permit its dating earlier than the 2nd century, more accurately it should be

dated to the first half of the 2nd century B. C.

Together with other, purely Greek finds, the Greek weapon embellished

with representations, found in the depth of Central Asia, far from the Medi-

terranean coasts, shows the fact of the Hellenization of the culture of Bactria

and the significance of the antique elements in the synthesis of Graeco-Bactrian

art.

2 8 1 M . I . M A K S I M O V A : А р п о х о в с к и й к у р г а н . Leningrad 1 9 7 9 . Fige on pp. 3 1 , 89.2 8 5

B. S A U E R : Hippokamp. ML I (2) 2673—2677 ; S . K E I N A C H : Repertoire de lastatuaire Grecque et Romaino. I. Paris 1906. 95 — 68, 113, 429, 430.


8/15/2019 ACTAANTIQUA_28 (1980)


8 0 В . A. LIT VIN SKI Y-I . R . PICHIKYAN

The scenes of hunting on the walls of the casket made of ivory (21.6 by

6.2 by 0.7 cm), have furnished very valuable representations, viz. documentary

portraits, costumes, armament, horse-furniture, species of horses, sitting of the

horsemen, the irresistible blow of the Yueh-chih or early Kusäna warriors and

conquerors of the Graeco-Bactrian Kingdom (Fig. 12).Two horsemen in full gallop (one turning back) are shooting from bows

on wild animals. The field is full of running, wounded and already killed ani-mals. A she-panther, already wounded by two arrows in the breast, defendingher cubs, tries to jump on the horseman, two small panther's cubs are besideher. The hunters have killed several mountain rams with spirally curving horns,hares and foxes are running away. The engraver carefully and artistically en-graved the smallest details. From the compositional point of view, the scene issolved with great skill. The horsemen gallopping in the opposite directions, are

arranged at the edges, but this does not eut the picture into two parts, becauseboth horsemen are shooting in one direction, they are united also by the animal,filling two parts of the field between the horsemen. At the same time, we haveto not e the sharp cont ras t between the direct a nd vivid, very accu rate renderi ngof the movements of the beasts and animals, especially the wonderful renderingof the gallopping horses, and the figures of the horsemen, who are representedas if they were not sitting on horses flying in gallop, but in court thrones. In thisthe following of the canon showed itself, what at first was discovered on thismonument, and later can be followed on wall paintings and other representa-tions of early medieval Central Asian art. As a whole, dynamism is the mainartistic dominant feature of this composition. The scene of hunting is one of themost favourite motifs of the art of the East. It developed and was diversified inthe art of Parthian and Sassanian Iran.

The panels from Takht-i Sangin (together with the portrait and ethnicsimilarity found in them with the sculptures and representations of Kusänaprinces from Khalchayan and Dalverzin)286 are made excellent works of art bythe documentary character of their portrait characteristics.

Two circumstances are of interest. In Takht-i Sangin, a fortress protectingthe ford through the Amu-Darya, which was neither a capital, nor a big city,

more sheaths of daggers from the times of Alexander the Great were found, thanin the whole Greek world.28 7 Secondly, the fortress and temple have not onlynot been destroyed by the passing of the Kusânas, but on the contrary, theycontinued to flourish, judged from the rich Kusäna, Indian and Parthian sacri-ficial gifts and coins.

286 G . A . PUGACHENKOVA : С к у л ь п т у р а Х а л ч а я н а . 1971. Pis. 43, 5 5 ,6 5 , 68, 781 1 2 .

287 The list of th e mat eri al know n to us see : I. R . P I C HI KYAN : Н о ж н ы . . .

Acta Antiqua Aeademiae Scientiarum Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


MONUM ENTS OF ART FR OM TH E S ANCTUARY OF OXUS 81

The panels from Takht-i Sangin with the representation of «Kusânas onhunting» are dated to the time after the conquest of Graeco-Bactria by theYueh-chih that is to the end of the 2nd—1st century B. C.

The discovery in Takht-i Sangin in the year 1979, of single monuments ofthe Achaemenid period and of a mass of works of Graeco-Bactrian art, permitat the present time to draw some preliminary conclusions :

1. Th e trea sur e of th e Oxus, up to th e present tim e th e main ma te ri al onthe history of Bactrian art of the pre-Hellenistic and Graeco-Bactrian timeshas so far special chronological and stylistic parallels only in Takht-i Sangin.This supports the opinion of scholars, localizing the site of the treasure in theupper course of the Amu-Darya to Takht-i Kubad or Takht-i Sangin.

2. Th e Graeco-Bactr ian cu ltur e, more accura tely its establishers, in th eircreation relied on the broad circle of imported or trophied works of Greek andAchaemenid art which directly or indirectly influenced the synthesis of theGraeco-Bactrian style.

3. Th e basic impuls e to th e Helle niza tio n of ar t and cu ltu re of B ac tr iaafter 329 B. C. was given by the establishment of new Hellenic cities and for-tresses, in the architecture of which there was a considerable local and easterninfluence.

4. I n Helle nistic times, in th e peri od of th e accession of Ba ct ri a to th estate of the Seleucids, and after that at the time of the independent Graeco-Bactrian state, the contacts with the Greek cities of the Mediterranean were

regular. The subsequent pouring of Greeks to Central Asia after the Graeco-Macedonian conquest is not excluded, what is shown by the schools of art de-veloping under the direct influence of the contemporary specimens of the art ofSeleucid Asia Minor.

5. Th e mult it ude of find s of ar ma me nt — Greek, Saka -Scy thia n a nd Sar-ma ti an -K us än a — permits to app roa ch th em wi th a more scientific conception,as a result of a considerable quantitative increase of material of armament ofthe peoples of Central Asia from the wide chronological range of the 6th centuryB. C. — 4th century B. C.

6. Th e multi tud e of the most diffe ren t ar mam en t, including or na te andhighly artistic specimens, of Greeks, Bactrians and nomads, shows the strictnecessity of the times when the helmets, shields, swords, spears, javelins andarrows served not only as indispensable instruments of fight, but also as valu-able sacrificial gifts.

7. Th e numer ous arti cles ma de of ivor y, the mu lt it ud e of goods mad e ofthis rare and expensive material show not only the close political and economicrelations with India. The analysis and attribution of the representational worksmade of ivory points to the probability of the local Bactrian manufacture of the

basic mass of the articles, which at the same time frequently correspond toGreek standards, types and conceptions.


8/15/2019 ACTAANTIQUA_28 (1980)


82 В . A . L I T V I N S K I Y — I . К . P I C H I K Y A N

8. Certain fi nd s fr om differ ent tim es poin t to th e con sta nt connectionswith the Saka-Scythian world of the steppe.

9. The int erm edi ate Graeco-Bactrian tra de with the Altai, India, Ira n,Parthia and with the cities of the coastal region of Asia Minor, promoted theflourishing of jewellery and bone carving craft, what is testified by the Takht-i

Sangin treasure. The trade with works of representational art played a part inthe cultural relations, in which the Hellenic goods had a general and widedemand.

10. The fo rm at io n of anyt hing arch itec tur al and artistic East ern-H ellen -istic koine in the vast territory promoted the development of representationalart and the flourishing of local schools. In this phase the ethnic, religious andcultural components of Greeks and Bactrians amalgamated into a unique andnot reproducible Graeco-Bactrian phenomenon.

11. The fun ct io ni ng of the Graec o-B actr ian temp le at t he Oxus in t heKusäna period and the protecting relation to the existing religious tradition,show not only the religious tolerance of the Kusänas, but also the symbiosis ofGreek, eastern-Zoroastrian and Kusäna conceptions.288

12. The components of the art of Central Asia of the beginning of the 1stmillennium, after the finds at Takht-i Sangin appear to be the symbiosis oftrends of different character in style, of the synthesis of primary eastern, intro-duced Hellenic, Ga nd ha ra — amal gama ted Graeco-I ndian and Bactrian arts.

13. The ach ievement s of Bact ri an civ iliza tion becam e possible not as a

result of its seclusion, but on the contrary, as a result of the presence of broadand diversified cultural and economic relations. That mighty creative synthesisdeveloped exactly under these circumstances, which by itself gave strong im-pulses to the development of culture.

14. The uni qu e treasu res of Tak ht -i Sang in hav e enriched the anci entcul tur e of Ta jik is tan an d Central Asia wit h a vas t collection of significant worksof art. However, the significance of these finds is much broader, viz. we haveto do with clear an d unambiguous evidences of th e close mu tu al relati ons be-tween Central Asia, the countries of the Far East and the Mediterranean.

15. The discovery, at Takht-i Sangin, of a whole series of excellent antiquemonuments of world art visibly complete the reports of the antique authors onthe whole cultural and historical phase of the peoples of Central Asia andAfghanistan.

16. The sculptures of Takht-i Sangin made of the local clay and alabaster,of a material so fragile and unsuitable for transportation, point to the localmanufacture of the highly artistic monuments of art, which has its subsequentdevelopment in the Kusäna and early medieval period.

2 8 8 B. A . L I T V I N S K Y — I . R . P I C H I K Y A N : К у ш а н с к и е Э р о т ы . (One of the aspectsof antiqu e influence on Central Asian culture.) В Д И 1979/2 89—109.


8/15/2019 ACTAANTIQUA_28 (1980)


MONUME NTS OF ART FR OM T H E S ANCTUARY O F OXUS 83

17. On th e righ t ban k of th e Ox us —Am u-D ary a, as well as on th e l ef tbank of the river, Greek was not only written, but it is now clear that it was alsospoken and Greek deities were worshipped. The power of the antique tradition

was so great in the Kusäna period that the hypothesis according to which theele ment s of thi s cultur e could exist also af te r the fall of th e Kus än a sta te seem edto be quite probable. The getting of further materials in this direction is veryimportant, because the demonstration of the traditions of antique art and cul-tu re in mediev al Central Asia would cha nge the whole conce ption of th e app ear -ance and development of science and culture in the Mussulman East. 289

Moscow.

2 8 9 G . V. S H A Y M U X H A M B E T O V A : А р а б о я з ы ч и а я ф и л о с о ф и я с р е д н е в е к о в ь я и к л а с -с и ч е с к а я т р а д и ц и я . Moscow 1979. (Wi th l i te rature on the ques tion .)

g * Acta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


I. BORZSÁK

ZENTRALASIATISCHE ELEMENTEIN DEM ALEXANDERROMAN

Die in einer kaiserzeitlichen Hippokrates-Biographie überlieferte Ge-schichte von Hippokrates und Perdikkas, dem Sohne des MakedonenkönigsAlexanders I. bietet eine genaue Parallele zur «zarten Sage» von Antiochos und

Stratonike, in welcher die Rolle des klugen Arztes der berühmte Erasistratos,anderswo der noch berühmtere Galenos, in einer orientalischen Fassung dersel-ben Geschichte aber der arabische Galenos, d.h. Avicenna spielt. Ob es sichdabei um eine spätere Übernahme der Hippokrates-, bzw. Erasistratos- oderGalenos-Anekdote handelt, oder man die Wanderungen und Wandlungen derSage in einer umgekehrten Ri cht ung sich zu denken hat ? Unseren G eda nke n-gang* haben wir mit einem Hinweis auf eine andere «anmutige Sage», d.h. aufdie rührende Liebesgeschichte von Zariadres 1 und Odatis (Athen.XIГ 1 c.35 =Jac. FGrHist 125, frg.5) geschlossen, von welcher Chares von Mytilene ver-

sicher t, sie sei èv raïç [oToglatç, in den persischen Geschichtsb üchern aufgeschrie -ben, und welche — «im Orient weit und lange verbreitet» — sich wie in einemmatteren Abbild in einer bei Aristoteles (frg.503, p.499 Rose) und Iustinus(XLIII 3,8 ff.) zu lesenden phokäisch-massaliotischen Sage wiederholt.2

Eigentlich bewegen wir uns in demselben Gedankenkreis, wenn wir unsnun der Interpretation einer anderen Perdikkas-Geschichte zuwenden. Es han-delt sich um Perdikkas I., den Helden des herodoteischen Berichts über denUr spr ung des makedonischen Herr sche rhau ses (VI II 137 ff.). Eine b ek an nt e,oft behandelte und gründlich mißverstandene Erzählung, über deren Sinn man

sich viel den Kopf zerbrach. Nach Salamis, anläßlich des Botendienstes, denAle xander I. der Philhell en, zu gleicher Zeit persischer Vasall — auf Mar do-nios' Geheiß nach Athen tut, erzählt Herodotos, wie Perdikkas, der Vorfahrsiebenten Gliedes dieses Alexanders, den makedonischen Königsthron erlangthatte. Drei Söhne desTemenos entflohen aus Argos und nahmen in der makedo-nischen Stadt Lebaia Dienst beim König. Der älteste hütete die Pferde, der

* Der Hinweis gilt unserem Vortrag «Avicennas Qänün im westliehen Ärztekanon»,gehalten anläßlich des Avicenna-Millenniums in Budapest am 1.10.1980 (bisher nicht er-schienen).

1 D. h. Zairiwairi, «der mit gol dfa rbe nem Harnisch», vgl. K . Z I E O L E R — W . H I N Z :

RE «Zariadres» 2325.2 Vgl. E. R O H D E : Der griech. Roman und seine Vorläufer. 3 Leipzig 1914, 51.

Ada Antiqua Academiae Scientiarum Uungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8 6 I. BORZSÁK.

zweite die Rinder, der jüngste, Perdikkas, das Kleinvieh. Als sich ein Brotprodi-gium mehrmals wiederholte, dachte der König, daß es ein göttliches Zeichen(xégaç) sei und auf et wa s Großes hin deu te (qséooi êç peyá TI). Er befahl also denTemeniden, sein Land zu verlassen, sie aber sagten, es sei billig, daß sie ihren

Lohn als etwas Geschuldetes bekämen (xóv piaftov . . . dnoXaßovxeQ ovxœ ê£lé-vai ). Als der König von dem Lohn hörte, sagte er in seiner Verblendung (üeoßXa- ßrjg yevô/tevoç): Mioftôv ôè vjxlv èyw v/xécov àÇiov rovôe dnoôiôco/ti, «das ist der Lohn,eurer würdig, den gebe ich euch», damit zeigte er auf die Sonne am Boden, diedurch das Rauchabzugsloch ins Haus hineinschien. Die beiden Älteren standenfassungslos da (eoxadav éxnenXrjy/tévői), der Kn ab e aber sa gt e: Aexopeda, <Ь

ßaoiXev, xà ôiôolç (wie Alexander d.Gr. vor Issos : àéyopai xr\v xXrjôôva),3 undmachte mit dem Messer, das er bei sich hatte, einen Schnitt rings um die Sonneauf dem Estrich des Hauses ( negiygácpEi r f j /nayaígr]. . . rôv rjXiov), neQiyqàxpaç

ôè êç xóv xóXnov XQIÇ àovadyEvoç xov fjXíov dnaXXdaaexo . . . , d. h.: «dann sch öp ft eer dreimal von dem umrissenen Sonnenfleck in seinen Busen und ging davon»(mit seinen Brüdern). Erst zu spät stellt es sich heraus, daß Perdikkas das ihmAngebotene mit Sinn und Verstand angenommen habe (ovv vócp . . . Xdßoi xdôiôô/tEva), vergeblich sandte der König den Temeniden Reiter nach, um sie um-zubringen : der Grenzfluß schwoll so gewaltig an, daß die Verfolger nicht mehrhin dur ch konnt en. Dieser Kn abe war Perdi kka s, der so die König sherr schaft ansich gebracht hatte.

Statt eine kritische historiographische Übersicht zu geben, die die «Er-

gebnisse» des daran verschwendeten Philologenwitzes zeigen würde, nehmenwir zuerst mit dem Wenigen fürlieb, was in den alten Kommentaren als ge-sichert gelten kann. Im skythischen Logos des Herodotos liest man innerhalbder vier Traditionen von den Ursprüngen der Skythen zwei Versionen, diejenigeder Skythen (IV 5 — 7) und der po nti sche n Hel lenen (8 — 10), die sich mi t de reben besprochenen makedonischen Königsgeschichte vergleichen lassen. Vonden drei Söhnen des Targitaos konnte die vom Himmel herabgefallenen golde-nen Geräte ( у /jvaea noir) pax a ) nur der Jüngste anfassen, so daß die älteren Brü-der auf die Herrschaft verzichteten und sie dem Jüngsten übergaben, und des-gleichen war von den drei Söhnen des Herakles, die ihm die skythische pi^ondq-&Evoç geboren hatte, nur der jüngste Skythes imstande, die herakleischen Auf-gaben zu vollbringen : so blieb er im La nde , un d die Könige der Skyt hen st am -men von ihm ab.

Einen unbetretenen Weg schlug neuerdings Hermann Kleinknecht inseinem postum erschienenen Aufsatz «Herodotos und die makedonische Urge-schichte»4 ein. Seine Deutung des «Sonneschöpfens» aus der iranisch-persischen£wzran«A-Vorstellung darf in der Ta t als «ein bedeutungsvol ler int erp ret ato ri-

3 Luk., De lap su in sal ut. 8 ; vgl. Her od . V I I I 115 oder I X 91, oder etwa Tae . A nn .

II , 133 mit Ko mm .1 Hermes 94 (1966) 134 ff.


8/15/2019 ACTAANTIQUA_28 (1980)


87I. BORZSÁK:ZEN TR A LA S IA TIS C H E ELEMENTE IN DEM ALEXANDERROMAN

scher Fund»5 betrachtet werden. Diese Trouvaille wollen wir hier nicht in allenEinzelheiten rekapitulieren. Mit vollem Recht wies Kleinknecht die unverant-wortlichen «Erklärungen» ab, die im herodoteischen Bericht eine «geschichtlichwertlose Gründungssage», eine «verdu nkelte und ents tell te Märchend ichtung »

oder gar ein Kuriosum erblickten, «mit welchem man sich nicht weiter zu be-schäftigen brauche» usw. Dieses «Volksmärchen» entpuppt sich als eine ausge-sprochene Königsgeschichte, die Sonn e aber, deren goldene Stra hle n der zumKönigtum Auserwählte «in seinen Busen schöpft», muß der iranische «Licht-glanz der königlichen Majestät», die «Königsglorie» (H. H. Schaeder), also das yvardnah sein, das «als Versinnbildlic hung und Un te rp fa nd höchster, gottg e-wollter Herrschaft» in besonderer Weise dem irdischen Könige eignet, «derdadurch als rechtmäßiger Herrscher legitimisiert, geschützt, in seinem Verstandzum Regieren erleuchtet und zum Sieg über seine Feinde befähigt ist. Es ist eine

göttliche Gestaltwerdung des sonnenhaften, sieghaften Glücks, das ein Wesens-merkmal echten Königtums ist.»0

Klei nkn ech t kan nt e freilich auc h Altheims Ausf ühr ung en, der aber dieForm- und Motivverwandtschaft mit der Perdikkas-Geschichte noch nicht ge-sehen hat. Im Sasaniden-Kapitel seines Buches «Gesicht vom Abend und Mor-gen»7 erzählt er in seinem verführerisch-geschmeidigen Stil den Mythos desReichsgründers und der Reichsgründung dem mittelpersischen «Königsbuch»nach, wie Ardaslr, Sasans Sohn, in Kenntnis der Weissagungen der Sternkundi-gen seinem Herrn Ardewan mit dem Mädchen, das um das Geheimnis der Macht-

ergreifung wußte, sowie mit einer Krone und vielen Kostbarkeiten entfloh.8

Leute, die dem sie verfolgenden König begegneten, sagten, des Morgens seienbeide Reiter vorübergekommen, schnell wie der Wind, und ein dicker Widder seiihnen gefolgt. Als das sich wiederholt, fragt der König den Obersten der Magier,was es bedeute, und er erhält die Antwort ; «Der Widder ist der Glanz der kö-niglichen Herrschaft ; weh ha t er Ardas ir nicht erreicht ...» Am nächste n Tageberichten die Karawanleute schon davon, daß mit einem von den beiden Reiternzugleich ein großer Widder zu Pferde saß, —d.h. daß der Glücksglanz der kö-niglichen Majestät Ardaslr erreicht hat. Und weil das %vardnah bei Ardaäir war,

gewann dieser den Sieg, tötete Ardewan und nahm dessen Tochter zur Frau.Das yvardnah als «göttliche Wesenheit» verle iht de m Helden Gelingen.9

Die griechisch-baktrischen Königsmünzen stellen dieses %varjnah in der Ge-stalt der Tyche dar ; in mittelpersischer Schrift wird es durch ein aramäischesIdeogramm (GDH) wiedergegeben, das ebenso «Glück» heißt, yyannah als Wid-de r ha t auch in der griechischen Helden sage sein Geg ens tüc k : 10 in Pelops'

5 Bemerkung des Herausgebers G. M Ü L L E R : А . O . 1 3 4 .

• K L E I N K N E C H T : 1 3 9 .

' Fischer-Bücherei 79 : F ra nk fu rt a. M. — Han ibu rg 1955.8 Ausführlicher bei K L E I N K N E C H T : 1 4 3 .

• Zum Folgenden vgl. A L T H E I M : 108.1 0 V g l . K L E I N K N E C H T : 1 3 9 .


8/15/2019 ACTAANTIQUA_28 (1980)


8 8 I. BORZSÁK.

Nachfolge wurde die Herrschaft über Mykene durch ein von Hermes dem Atreusges che nkt es La mm m it goldenem Vließ gesichert (vgl. Eur ., El. 705 ff. ; Or. 998ff.).* «Gold und himml ische r Glanz ist auch dem i v a n n a h we senh aft zueigen , . . . sein N a m e ist dem der Sonne (hvar-) verwandt». Feuriges Gold,

vom Himmel herabgekommen, spielte auch in der besprochenen skythischenSage die Rolle, die sonst dem ivannah zu ko mm t : dadu rch, daß Skythes dasglühende Metall anfassen kann, ergreift er sein Glück, «erweist sich als gottge-wollter Herrscher».

Und jetzt wollen wir zeigen, daß es nicht nur im mittelpersischen Königs-buch, d. h. in jener «Zusammenstellung der heimischen Überlieferung, die kurzvor dem Untergang des Sasanidenreiches niedergeschrieben wurde und diesesals ein nationales Vermächtnis überdauert hat», 11 sondern hie und da auch imberüchtigten Alexanderroman Überreste uralter mythischer Vorstellungen gibt.

Dabei denken wir an eine Episode, die selbst die besten Kenner dazu bewog,über die romanhafte Alexander-Überlieferung im allgemeinen recht ungünstigzu urteilen. Alexander sucht auf Ammons Geheiß, der ihm im Traum in derGestalt des Hermes erschien, als sein eigener Bote verkleidet den Dareios auf,um ihm zu melden, daß Alexander da ist, und zu fragen, wann er den Krieg be-ginnen will (II 14). Der erzürnte Dareios faßt den Boten bei der Hand und führtihn in seinen Palast, was Alexander als ein arj/uelov âya&ov betrachtet und legtsich im Palast als erster zur Tafel des Dareios nieder. Die Perser aber (15) sahenAlexander voll Verwunderung über seine kleine Gestalt an, wußten sie doch

nicht, ort êv pLXQÛ) âyyetcp xvyr]; ovgavíov îjv ôo£a (daß in einem kleinen Gefäß derGlanz eines himmlischen Glückes verborgen war). 12 Als sie nun dem Wein stär-ker zusprac hen, h at te Alexander folgenden Einfall : ooovç axíxpov; ekaßev,ëacoûev xov xóXnov eßaAev. Als darauf Dareios ihn fragte : W yevvaïe, TIQOÇ xíxavxaèyxoÂnLÇei xaxaxei/tevoç èjii ôeinvov, ersann Alexander eine Ausrede, die die Per-ser erstaunt anhörten. Bald aber sah sich Alexander erkannt, so daß er mit dengoldenen Bechern in seinem Busen (eycov êv xolç xôknoiç . . . xovç yovaovg cfxv-(povç: B ' L ; у ш xо ygvcfiov . . . Kroll) au fsp rang, ging heimli ch hinaus, d or tschwang er sich aufs Pferd, um der drohenden Gefahr zu entgehen. Man verfolgt

ihn bis an einen Fluß, der zugefroren war : Alexander ritt übers Eis. Als das

Pferd das gegenüberliegende Ufer erreicht hatte, taute der Fluß auf ; das Pferdkonnte gerade noch seinen Reiter ans Ufer schleudern und wurde von der Strö-mung fortgerissen. Die Verfolger konnten den aufgetauten Fluß nicht mehrüberschreiten.

* Korr.-N: Ziegen als regni auctores in «1er mak edo nis che n Königsgeschi chte beilust. VII 1, 9.

1 1 ALT HEI M : 96 .12 Der Text nach B' und L (ed. v an Thiel) ; bei K R O L L heißt es : ort èv ц . à.

ëxyv/ia Tvyrjç <ovgavíov > êtjxiv, vgl. den app. crit.


8/15/2019 ACTAANTIQUA_28 (1980)


89I. BORZSÁK:Z E N T R A L A S I A T I S C H E ELE MENT E IN DEM ALEX ANDER ROMAN

«Man me in t, dem Baron von Münchhau sen zuzuhören» — be me rk t R.Merkelbach dazu,1 3 nicht ohne allen Grund. Ja, der Held des «Romans» be-nimmt sich manchmal wenig heldenhaft,1 4 oder wie Ad. Ausfeld15 seinerzeit überdie «alexandrinischen» Züge dieses Alexanders schrieb : statt echten Helden-

tu ms wird Alexan der im Ro ma n «mit Eige nsc haf ten au sg es tat tet , die den ale-xandrinischen Hand elsleuten ve rtra ute r sind als Königsstolz und Heldensinn.E r ist klug un d schlau wie sie, ve rst eh t zu beschwatzen und zu betr ügen ; br ich tgelegentlich sein Wort, stiehlt auch wohl einmal...» Fa ta le r Diebs tahl , den of-fensichtlich nicht nur die modernen Forscher, sondern bereits die Kompilatorender hybriden Alexander-«Geschichte» mißverstanden hatten. U. E. handelt essich um ein Überbleibsel einer uralten Ideologie der Königsherrschaft, derenäußer e Forme n für spätere Betr ac hte r ihren wahren Sinn längst verloren hab en.Herod otos vermocht e noch den mythischen Sinngehalt der Perdikkas-Geschich-

te als Königsgeschichte16 aufzufa ssen und zu veranschaulichen, die Reprä sen-tanten der späthellenistischen Geschichtsklitterung samt ihren Lesern nichtmehr : sie werden in einer tiefsinnigen Szene der translatio imperii,17a wie de r zu-künftige makedonische Weltherrscher der goldenen Trinkschalen des persischenKönigs der Könige — gleichsam seines /vardnah — ha bh af t wird, nur etwa sGroteskes, Sensationelles empfunden haben.*

In derselben Erzählung findet man noch weitere Einzelheiten, die geeignetsein dürften, unsere oben skizzierte These zu erhärten. Dazu müssen wir einwenig ausholen.

In einer Anmerkung von G. Widengrens lehrreichem Buche «Iranisch-semitische Kulturbegegnung in parthischer Zeit» (Köln — Opladen 1960, S.68,238), dessen Kenntnis ich der freundlichen Zuvorkommenheit H. Humbachsverdanke, wird u. a. auf H. W. Bailey (Zoroastr. Problems in the 9 th Cent.Books, Oxford 1943, 32) hingewiesen, der aufgrund einer Textstelle aus dem

* Korr.-N.: Int ere ssa nt ist die «Erklärung» der gelun genen Fluc ht im sog. Wien erProsatext (Paraphrase von H. J. G L E I X N E R : Das Alex.-bild der Byzantiner. Diss.München 1961, 82): «Die Torwächter überlistete Alexander, indem er die goldenen Becherals Zeichen des Perserkönigs ausgab.

13 Die Quellen des griech. Alexanderromans. München 1964. 67.14 W . K R O L L : RE «Kallisthenes» 1711.15 Der griech. Alexa nde rro man . Leipzig 1907. 236.16 Und als Überlieferung von einer Herrs chaft sgrü ndun g,de ren weltgeschichtliche

Perspektiven zu Alexanders I. Zeiten noch niemand ahnen konnte! Über HerodotsLeistung vgl. K L E I N K N E C H T : 1 4 6 : ( Die Per dik kas -Er zäh lun g ist) «durch und du rc hherodoteisch : Weit davo n entfer nt, Überlieferung unv ers tan den oder nicht voll ver-standen weiterzugeben oder gar selbst zu entstellen, hat die eigene reife Erzählergabound Deutungskraft die fremde Tradition in der griechischen Form erst das sein lassen,was sie vom Ha us o aus ist : ein Stüc k Urgeschichte.» — Als Para lle le (wie die my th i-schen Bezüge einer Stadtgründung bei Pindar, Pyth. I später nicht mehr verstandenwurden) mag hingewiesen worden auf J. T R U M P F S Interpretation : Stadtgründung undDraehonkampf. Hermes 86 (1958) 129 ff., insbes. 140.

"« yg). W. GOEZ : Translatio imperii. Tübingen 1 9 5 8 . passim, un d unseren Versu ch(mit dem gleichen Titel) in der Fes tsc hri ft für K. Marót (Idő és tör téne lem, Bu da pe st1974), 33.


8/15/2019 ACTAANTIQUA_28 (1980)


9 0 I. BORZS ÁK.

De nk ar t (ed. San jan a, V I I I , 56 —58) schildert, «wie ein Licht von dem yvardnahder Mutter Zarathustras auf den von ihr gewandelten Weg fällt. Ihr yvarmahhat sich beim Eintritt in sie wie ein Feuer gezeigt...»

Nun liest man im Alexanderroman (nach der Handschrift L, in der Über-

se tz un g H . van Thiels, I I 15,6) : «Als Alexander . . . sich erka nn t sa h, . . .sprang auf mit den goldenen Bechern in seinem Gewand (èv roïç xôfaioiç) undging heimlich hinaus. Dort schwang er sich auf sein Pferd . . . , und als er amTor einen Perser au fW ac he fand, töte te ihn und floh aus der Pers ersta dt. (7)Da-reios . . . schickte be wa ff ne te Perser aus, um ihn zu fan gen . Alexander aberspornte sein Pferd und erhellte ihm den Weg (ôiev&vvcov avxov xrjv óóóv), dennes war tiefe Nacht und der Himmel finster.» (Seine Verfolger stürzen in der Dun-kelheit in die Abgründe.) о ôè 'AhéÇavôqoç qv т а л е д âaxrjo ef ovgavov qpatôqôçàvtwv [tôvoç . . . (9 : N ac h der Rüc kke hr beric hte t man d em Großkönig vo m

evxvyrj/ia Alexanders.)Noch in tere ssant er als die zitierte Stelle selbst ist der U riter schied zwischen

dem Wortlaut der Handschrift L und dem von W. Kroll nach der recensio ve-tusta herausgegebenen Te xt , wo die offensic htlich nicht mehr ver stande ne, ge-wisserm aßen noch my th is ch e Erzä hlu ng «sinngemäß» ergän zt, d. h. ihres ur-sprünglichen Sinnes völlig beraubt wurde (p. 84,11 — ) : êxxôç ôè xwv ßaatXelmvlômv riva néoarjv naçatpvfaidoovxa ôâôaç / л е т à yelnaç ëyovxa, xavxaç ßaaxà£açèaqayiaae xov avÔna . . . (15) ó ôè 'AhéÇavôgoç vu о xov âeov ßorj&ov/tEvoQ . . .nooeßa/./.E rrjv nevxrjv xai êtpwxaywyet ràv nwXov • rjv yàn vvÇ ßahela . . . о fièv

yàq ëycov nevxrjv œç àcsxi)Q ánéhaynev êavxm . . . U. E. unterli egt es keinemZweifel, daß die Version L (ohne die Ergänzungen van Thiels) ursprünglicherist, als die sog. recensio vetusta. Die Verba llhor nung en zeigen, da ß m an mit derlichthaften Natur des Besitzers des Glücksglanzes nichts anzufangen wußteund die «unverständlichen» Hinweise «erklären» zu müssen glaubte.

Eine Bemerkung W. Krolls1?b zeigt, daß die soeben behandelte Szene auchdiesem hervorragenden Kenner des Alexanderromans zu bedenken gab.In Wirkl ichke it lä ßt Leo (I I 15 p. 91 Pf is te r) den königlichen Ga st genauso ver-fahren und dann fliehen : Alexander . . . vidit quendam Per sen tenendo in manu

facculam tollensque earn illi percussit eum, ascendit equum et [h]abiit. . . Alexan-der portans in manu facculam, tenens iter rectum (erat enim obscura nox), inse-quentes eum cadebant in foveas. Umso mehr gewi nnt eine Stelle der darau ffolge n-den Ka mpf sch ild eru ng ( II 16 p. 93 Pf.) beson dere Be de ut un g : . . . tunc ascen-dit Alexander equum, qui dicitur Bucefalo, et occurrit et stetit in medio ante omnes.Videntes eum (sc. Alexandrum) Perses dubitabant... ire super eum (sc. Alexan-drum) eo, quod d i v i n i t a s c o o p e r i e b a t u r e u m . . . , desgleichenin der Leo sehr naheliegenden syrischen Version (laut der deutschen Überset-

17b W. K R O L L : R E «Kallisthenes» 1711 : «Für die Moral des Au to rs ist es bezeich-

nen d, daß der König als Gast an Dareios' Tafel die kostbaren Becher einsteckt ; Leohat da.8 geändert.»


8/15/2019 ACTAANTIQUA_28 (1980)


91I. BORZSÁK:ZEN TR A LA S IA TIS C H E ELE MENT E IN DEM ALEXA NDER ROMA N

zung von V. Ryssel) : «Weil Götterkraft auf ihm ruhte. » Leide r hil ft dabei wederdie recensio vetusta (I I 16,4 p. 86 Kro ll nqoazyyiaai ôè rovrw ovôslç rjôvvaro ôtàrrjv êv avxw 'fêaêtôrrjra'f) ,vc noch die auch hier verb allh orn te Ha nd sc hr if t L(II 16,6 ngoaeyyloai ôè TOVTCO rœ 1 л л т ovôelç êÔvvaro) weiter, und man sieht

auch hier nur die Anstrengungen der späteren Redaktoren, die «unverständ-lichen» Elem ent e der überl iefer ten Erz ähl ung durc h schulmeisterlich e Einschi eb-sel, Glossen o. ä. zu erklären.

Nach diesem nachträglichen Exkurs dürfte unsere Hypothese noch weni-ger gewagt erscheinen, laut welcher es in der romanhaft aufgebauschten Alexan-der-«Geschichte» gewisse rudimentäre %vardnah-Vorstellungen gegeben ha be nmuß, deren mythischer Sinn im Wandel der Jahrhunderte völlig der Vergessen-heit anheimfiel, deren Spuren aber hie und da selbst in den hoffnungslos trübenRedaktionen des Alexanderromans aufgezeigt werden können.

Un d nun — mit einem kleinen Spru ng — mö cht e ich die Geb urts lege ndeDschingis Khans, wie sie in der Geheimen Geschichte der Mongolen 18 zu lesenist, besprechen. Da rechtfertigt Alanqo'a die übernatürliche Empfängnis ihrerdrei Kinder vor ihren zwei anderen, aus der Ehe mit Dobun morgen (D. demKlugen) hervorgegangenen Söhnen : «Nacht für Nacht kam ein goldglänzenderMann durch die Dachluke der Jurte herein. Er streichelte meinen Bauch, undsein Strahl senkte sich in meinen Leib. Wenn er hinausging, kroch er hinaus aufdem Sonnen- oder Mondstrahl wie ein gelber Hund.» Alanqo'a nimmt dies zumBeweis, d aß sie «Söhne des Himmels» geboren ha t : «Wie könn t ihr . . . sie mit

schwarzköpfigen, gewöhnlichen Menschen vergleichen ? Wenn sie einmal Köni-ge über alle sind, dann wird das gemeine Volk sie erkennen.» 19 Wir haben nichtvor, das riesige Material, das in Zusammenhang sei es mit dem Danae-Mythos,sei es mit Gilgames oder mit gewissen christlichen Legenden mehrfach vorgelegtund interpretiert wurde, bei dieser Gelegenheit noch einmal zu registrieren.Nur einige Bezüge dieses Materials wollen wir hervorheben, um die Verbreitungdes Alexanderromans, bzw. den mythischen Gehalt gewisser Bestandteile dieses«Romans» zu zeigen.

Den Zusammenhang des Danae-Mythos und der Geburtslegende Dschin-

gis Khans mit einer Einzelheit der Perdikkas-Geschichte hielt auch weilandI. Trencsényi-Waldapfel in Evidenz : das Gottesurteil in der Ursprungssageder Kirgisen,20 du rch welches Alt yn Bels Tochter die Ause rwäh lthe it des Dschin-

17c д е ю х у х а coni. K R O L L (coll. Syr. Leo) ; equidem èaôXôxrjxa malim, cf. L I D D E L L -S C O T T в . v. iaêXôç I I . 3 .

18 Hrs g. von E . H A E N I S C H : 'Leipzi g 1948. 3 f. un d 20 9; P . P E L L I O T : Histoiresccr. des Mongols. Paris 1949. 121 ff.; L . L I G E T I : A mongolok tit kos tört énete . Buda-pest 1962. 11.

" V g l . I . T R E N C S É N Y I - W A L D A P F E L : Der Danae -Myth os im Osten un d West en.Unters, zur Religionsgesch. Amsterdam 1 9 6 6 . 1 9 2 ff. ; G. B I N D E R : Die Aussetzung dosKönigskindes. Moisonheim a. Gl. 1964. 220 f. und Enz. des Märchens. III. 263 ff. («Danae»),

20 Vgl. VV. RADLOFF : Proben der Volkslit. der türk. Stämme Süd-Sibiriens. I I I .Petersburg 1870. 82 ff.


8/15/2019 ACTAANTIQUA_28 (1980)


9 2 I. BORZSÁK.

gis gegenüber dessen drei Halbbrüdern dartut, erinnerte ihn an die «genealo-gische Sage des maked onis chen He rrs cher haus es insofern als die Sonn enst rah lenauch hier für den auserwählten Perdikkas eine handgreifliche Realität und zu-gleich Vorzeichen seiner Herrschaft bedeuten.» Als erster hatte J. G. Frazer 2 1

eine andere Einzelheit des griechischen Mythos mit der innerasiatischen Sageverglichen.

Was die innerasiatische Verbreitung der Alexander-Sage betrifft , so willman eine wichtige Beobachtung von E. Herzfeld kurioserweise noch immernicht zur Kenntnis nehmen. In Plutarchs Alexander-Biographie (c.2) liest man,daß Olympias als Braut Philipps einen Traum hatte : Es war ihr, als wenn beieinem Gewitter der Blitz ihr in den Leib schlüge und durch diesen Schlag hellesFeuer hervorbräche usw. Herzfeld hat nun erwiesen, daß die zur VerherrlichungDschingis Khans konstruierte mongolische Legende aus «Griechenland» (d. h.

aus der griechischen Alexander-Überlieferung) stammt. 2 2 Der Name Alongoa(Alan-qo'a, Alan-koa) ist nichts anderes als eine durch falsche Punktsetzungen ts te ll te For m für griech . Olympia (s) ; zur Ver der b nisp(Ä) ~ / — q, die «bereitsin der am Hofe Dsch ing is- Khan s gelesenen Ges tal t des Is ka nda r- nä mah vor-lag»,23 vergleiche ma n die Fo rm en Fi li fu s — Fil iqus — Fe il aqu s oder Fai la qus(s ta t t Phi l ippos) oder Kaidafe (s ta t t Kandake) usw. Dementsprechend is t d iegewöhnliche Übersetzung «Alan die Schöne» (Alanqava, Along-goa) «eine sehrnaheliegende mongolische Etymologisierung», die nichts daran ändert, daß diemongolische Dschingis-Legende undenkbar ohne ihr griechisches Vorbild ist .24

Damit ist aber nicht so einfach bestellt . Alanqo'as Name kann getrost alsentstellte Form des griech. Eigennamens Olympias erklärt werden, desgleichendürften einige Einzelheiten der Dschingis-Legende aus der Alexander-Überlie-fe ru ng hergeleitet werde n, es gibt aber ganz ver blü ffe nde Paral lele n, deren ur-sprü ngli che Fassu ng bzw. He im at nich t so leicht erschlossen wer den k ann. Da zunur ein einziges Beispiel, à travers les âges.

Ktesias, der als Leibarzt und neugieriger Grieche am persischen Königs-hof Gelegenheit genug hatte, um orientalische Sensationen anzuhäufen, erzähltin den Semiramis-Kapiteln des Diodor (II 16 f.), was die ehemalige Königin für

ein e Krieg slis t gegen die El ef an te n der Ind er ersann : aus der abgezo genenHaut von schwarzen Ochsen ließ sie Trugbilder (eïôœXa) von El ef an te n verfer t i -gen, welche von Kameltreibern getragen durch ihre Riesenzahl die Inder in dieFlucht hätten jagen sollen. Ein ähnliches Strategem kehrt im Alexanderroman(III 3) in einer grotesken Fassung wieder : der listenreiche Alexander läßt alle

21 The Golden Bough, London 1913. 74 f.22 Alongoa. Der Islam 6 (1916) 320 ff.2 3 H E R Z F E L D : 3 2 4 ; vgl. E D . M E Y E R : K L . Schriften I I . Halle 1 9 2 4 . 4 3 6 , 4 ; ebenso

J . E . B E R T E L S : Roman ob Aleksandre. M.-L. 1 9 4 8 . 2 6 , 2 . Vgl. noch N. P O P P E : Einemong. Fassung der Alex.-Sage. Zeitschr. f. D. Morg. Ges. 32 (1957) 105 ff.

2 1 H E R Z F E L D : 3 2 7 .


8/15/2019 ACTAANTIQUA_28 (1980)


ZENTRALASIAT ISCHE ELEM ENTE IN DEM ALEX ANDERR OMAN 9 3

ehernen Standbilder (âvÔQiàvxaç xakxovç), die er bei sich ha tt e, und die er beut e-ten Panzer (xaxacpgáyjaaxa) der Soldaten stark erhitzen, so daß das Metall glü-hend wurde (in der syr. Variante : «die Statuen hatten feurige Kohlen in sich»),und sie vor der Schlachtreihe aufstellen. Als die Tiere des Poros auf die Statuenlossprangen, verbrannten sich die Rüssel, flohen bestürzt zurück und warennicht mehr zu gebrauchen.

Interessant ist zu sehen, wie die Kriegslist der Semiramis und des «klugen»Alexander nach tausend Jahren bei den Mongolen wiederkehrt. Wie man in dertatarischen Reisebestehreibung des Piano Carpini25 liest, ließ Dschingis Khanwährend seines indischen Feldzuges «Puppen von Menschengröße aus Kupferanfertig en, setz te sie in Sätt el auf Pfe rde , t a t Feuer hinein und setzte hint er jededieser kupfernen Puppen einen Mann mit Blasebalg aufs Pferd . . . Die Männerwarfen etwas Unbekanntes ins Feuer [Firdausi läßt Alexander Erdöl gegenPoros verwenden] und fachten dann mit ihren Blasebälgen die Flamme mächtigan . . . » Fr. Risch (a. 0. ) wies mit Re ch t da ra uf hi n, da ß Pi an o Carpini da s ur-sprüngliche innerasiatische Sagenmaterial mit antiken Requisiten — d. h. mitdenjenigen der Alexander-Überlieferung — bereichert hatte. Die ursprünglichemongolische Fassung findet man in Rasid-ed-Dins Jahrbüchern : 2 0 dort wirdder Feind durch Popanzen aus Filz, die hinter einem jeden Reiter «sitzen», ge-täuscht.

Und das ist keine Fiktion : die Verwendung solcher Popanzen, um dieGegner durch ihre dahinsausende Menge zu erschüttern, gehörte in der Tat zur

Taktik der Mongolen. Dafür haben wir den Bericht eines Augenzeugen aus derZeit der mongolischen Invasion im J. 1241. Rogerius, Erzdechant von Großwar-dein erzählte in seinem «Carmen miserabile» (c. 27, Szentpétery, SRH II 568)u. a., wie die Leute seines Bischofs per Tartaros ins Ga rn gelockt wurden : cum(Tartari) haberent equos plurimos et ipsi pauci existerent, . . . fecerunt larvas etmonstra quam plurima, ea super equos vacuos, tanquam si essent milites, ordinan-do, et equos illos . . . paucis cum servientibus dimiserunt mandantes eisdem, ut cum Hungaris ingrederentur in pugnam, ipsi . . . procederent versus eos . . . Tartarinumero pauciores terga eis (sc. Hungaris) dare fingentes . . . retrocedere incepe-

runt. Et dum ipsi cum larvis exierunt. . . , Hungari opinantes eis (d. h. sibi) in-sidias factas terga dederunt . . . , Tartari autem etc. (richteten ein fürchterlichesBlutbad an).

Das war im 13. Jahrhundert. Ob ich mich zum Schluß an ein Leseerlebnisaus meiner Kinderzeit wiedererinnern darf ? In einer alten illustrierten Fami-lienwochenschrift guckte ich staunend einen interessanten Stahlstich an, derbewegliche Reiterattrappen darstellte, wie sie Anfang dieses Jahrhunderts im

25

Hrsg. von F R . B I S C H : Leipzig 1 9 3 0 . 1 2 3 .28 Vgl. О . I . S M I R N O W A - I L I . P A NT CR AT OW — A. A. S E M E N O W : R . Sbornik letopisei1/2. M.-L. 1952. 221 ff.

Acta Antiqua Aeademiae Scientiarum liungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


94 I . BORZSÁK: ZENTRALASIATISCHE ELEMENTE IN DEM ALEXANDERROMAN

russisch-japanischen Krieg verwendet wurden. Auch diese Einzelheit dürfte unsnachdenklich stimmen : innerhalb der romanhaften Alexander-Überlieferunggibt es auch wertvolle Tradition, deren Elemente aufzuhellen, wie sie gewisseWechselbeziehungen zwischen Osten und Westen spiegeln, eine lohnende Auf-gabe nicht nur für einen klassischen Philologen sein würde.

Budapest.


8/15/2019 ACTAANTIQUA_28 (1980)


101 В . STAVISKIY

KARA TEPE IN OLD TERMEZ

A BUDDHIS T RELIGIO US CENTRE OF THE KUS HAN PE RI ODON THE BANK OF THE OXUS

A vast site, occupying an area of over 500 hectares, is situated in the

nei ghb our hood of mode rn Ter mez , a regional cent re of South Uz be ki st an ,

on the right bank of the ancient Oxus (now Amu-Darya). It is the site of Old

Termez (Fig. 1), which attracted the attention of travellers already in the 19th

and the beginning of the 20th centuries. 1 It became the principal object of

research made by the first major archaeological expedition of Soviet scholars to

Central Asia in 1926 — 28 — th e exped iti on of th e Moscow Muse um of E as te rn

Cultures (now the State Museum of Oriental Arts), headed by prof. B. P. De-

nike,2 which was followed in 1936 — 38 by th e large Te rme z Archaeological Com-

plex Expedition (TACE) under prof. M. E. Masson. 3

Excavations carried out by the two expeditions revealed that Old Termez

was the site of a town destroyed in 1220 by the armies of Chenghis Khan.

It was also found out that there was a settlement there going back as far as the3rd— 2nd centuries B.C., when Bactria 4 was under Greek rulers. The town reach-

ed its heyday at the time of the Kushan Empire, which, in the first centuries of

our era united under i ts dominion the present terri tories of Afghanistan, North-

ern Pakistan, Northern India, Southern regions of the Soviet Uzbek and Tajik

republics and Eastern Turkistan (Sinkiang).

In 1928 A. S. Strelkov of the Museum of Eastern Cultures expedition

found three filled-up caves on the eastern slope of a three-top hill rising in the

north-western corner of the site, close to the bank of the Amu-Darya. The caves

1 M. E. М а с с о й : Г о р о д и щ а С т а р о г о Т е р м е з а и и х и з у ч е н и е — Т А К Э 1936 г о д а (Т р у д ыУ з б е к и с т а н с к о г о ф и л и а л а А Н С С С Р , с е р и я I в ы п . 2); Т а ш к е н т , 1941, 5—122

2 К у л ь т у р а В о с т о к а , (в ы п . I), М ., (1927), в ы п . II, М . (1928).3 See Т р у д ы Т А К Э : т . I — Т А К Э 1936 г о д а ; т . II - Т р у д ы А Н У з . С С Р , с е р и я I, т . II ,

Т а ш к е н т , 1945.4 I share the view held by most of the Soviet scholars and ma ny Weste rn research-

ers that Bactria, as a historico-cultural entity, included not only the loft bank of Ainu-Darya up to the Hindu Kush on the South (the present Northern Afghanistan), but alsoth e right bank of thi s great river, i.e., sou the rn regions of the presen t Uzbek and Taj ikSoviet republics.


8/15/2019 ACTAANTIQUA_28 (1980)


Saa

g

H>

MKJ

Fig. 1. Town-site of Old Termez. Schematic plan

8/15/2019 ACTAANTIQUA_28 (1980)


KARA TEPE IN OLD TERMEZ 97

in his view, might have been small Buddhist temples of the pre-Moslem (prior

to 7th—8th centuries A.D.) period. 5

The three-top hill , on which A. S. Strelkov discovered the caves, was

known locally as Black Hill (Kara tepe in Uzbek), the epithet «black» referring

not to its colour which was as of all the other hills here sandy light yellow, but toits sombre past : according to legend a multitude of people had once perished

on this very spot. The hill is known in scientific li terature under that name.

In 1934 — 36 th e caves fou nd by A. S. Stre lkov (Nos. 1—3) wer e in ves ti-

gated by G. V. Parfenov, director of the Termez Museum, who made the de-

scription of the caves and measured them. Since 1936 excavation work on Kara

tepe was carried on by the TACE : V. I. Kesayev and A. S. Strelkov cleared

two manholes in cave No. 2, which had formed after the ceiling caved in ; B. B.

Pyotrovskjy studied the remains of the mud brickwork on the hi l l 's surface.6

In the 1937 season, a group of the TACE archaeologists headed by E. G.Pchelina drove three exploratory trenches on the eastern slope of the hill north

of the caves 1, 2 and 3. In one of the trenches, remains of a small ground temple

were discovered, in another — a passage leading inside one of the caves and an

adjoining cave sell , and in the third — a passage leading into another cave.

F o ur Ku sh an coppe r coins (two of th em issues of Ka ni sh ka ) a nd red-slip

pottery were found in the course of the excavations, which gave E. G. Pchelina

sufficient ground to date her discoveries to the Kushan period. Data point ing

to the existence on Kara tepe of numerous cave and ground structures also led

her to the conclusion that the hill was actually the site of an ancient Buddhistmonas te ry .7 In 1938, G. A. Pugachenkova, the TACE architect , measured the

caves E. G. Pchelina had been excavating and drew their plans and architec-

tural cross sections.8 After that , excavation work on Kara tepe was discontin-

ued. 8

It has been carried on since 1961 by the joint archaeological expedition

sponsored by the inst i tut ions under the USSR Ministry of Culture. The expedi-

t ion was original ly formed by the Oriental Department of the State Hermitage

6 E. Г . П ч е л и н а : Н а ч а л о р а б о т п о о б с л е д о в а н и ю б у д д и й с к о г о м о н а с т ы р я К а р а -т е п е в Т е р м е з е — М а т е р и а л ы с о в м е с т н о й а р х е о л о г и ч е с к о й э к с п е д и ц и и н а К а р а -т е п е(в ы п . I). К а р а -т е п е — б у д д и й с к и й п е щ е р н ы й м о н а с т ы р ь в С т а р о м Т е р м е з е , М о с к в а ,1964, 83.

• Ibid., 83—85 ; M. Е . М а с с о й : Г о р о д и щ а С т а р о г о Т е р м е з а , 39.7 Е . Г . П ч е л и н а , Д р е в н е б у д д и й с к и й м о н а с т ы р ь К а р а -т е п е . Т е р м е з . Д о к л а д ы и с о -

о б щ е н и я и с т о р и ч е с к о г о ф а к у л ь т е т а М о с к о в с к о г о У н и в е р с и т е т а , в ы п . 4, М ., 1946, р . 52—56;the same author, Н а ч а л о р а б о т . . . , 85— 99.

8 See H . F I E L D and E. P R OS TOV : Excavations in Uzbekistan. 1 9 3 7 — 1 9 3 9 . ArsIsl amica vol. IX , 1942 pt. 1 — 2, 144, Figs 6 —8; Г . А . П у г а ч е н к о в а , Jl. И . Р е м п е л ь :И с т о р и я и с к у с с т в У з б е к и с т а н а . М о с к в а 1965. 52—53, Fig. 20; Г . А . П у г а ч е н к о в а : Вп о и с к а х п а м я т н и к о в д р е в н е г о и с к у с с т в а С р е д н е й А з и и . In : Н а у к а и ч е л о в е ч е с т в о 1971 —1972, М о с к в а , 1972, 6 9 - 7 0 .

" E . G. PCHE LINA

summed up the results of the 1 9 3 7

excavations in her Master ofSciences thesis which she maintained in 1944 at tho historical department of MoscowState University. (See E. Г . П ч е л и н а : Д р е в н е б у д д и й с к и й м о н а с т ы р ь К а р а -т е п е . Т е р м е з ).

7* Acta Antiqua Academiae Scientiarum Hungaricue 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


98 В . STAVISKIY

Museum. Since 1962, the State Museum of Oriental Arts has also taken part in

its organization. In 1968 the above-mentioned institutions were joined by the

USSR Central Research Laboratory on the Conservation and Restoration of

obj ec ts of art (W CN IL KR ), and in 1977 — by the Sta te Museum of the His tor y

of Reli gion and At he is m (GMIR) .Besides archaeologists and restorers, many other specialists (on oriental

languages, history of art, architecture, etc.) take part in the annual excavation

seasons of the joint expedition. Its finds are studied by researchers from the

sponsoring institutions, and from the Institute of Oriental Studies of the USSR

Academy of Sciences and its Leningrad branch, from the Academies of Sciences

of the Tajik and Uzbek republics, as well as by specialists from Hungary, India,

the USA and West Germany. The results of the research work done by this vast

collective have been published in over a hundred articles in Soviet and Western

publications. A special collection of articles is also put out devoted to the workof the expedition (Materials of the Joint Expedition). The four issues already

published cover the period from 1961 to 1973,10 and the fifth which is now

being prepared for the press will deal with the 1974 — 1977 seasons. 11

BUD DH IS T COMPLEXE S OF KAR A TE PEIN TH E LIGH T OF TH E 1 961 -77 EXCAVATIONS

The excavation work of our predecessors and excavations of 1961 — 77

covered only one of Kara tepe's three tops — the South (or, to be more exact its

exposed slope) reminding of a horseshoe in plan (Fig. 2).12

On the eastern part of the slope three caves (Nos. 1, 2 and 3) were dis-

covered in 1928 and 1934—36. North of them, two more caves were later found

by E. G. Pchelina. Excavation of the latter caves was carried on by our expedi-

tion. These are caves P-I and P-II (P for the Russian «peshchera» — cave, with

the numbers denoting the order in which the caves were discovered during our

1961 — 64 seasons).* Six oth er caves a re being ex ca va te d on th e nort her n slope :

ca ves 1, 2, 3 (or P - I I I ) a nd 4 of th e С comp lex an d P- IV a nd P—V caves. Th us

there are eleven caves that we know of on the southern top on less than half of

its exposed slope. Consequently, we have every ground to believe that theremight have been 25 — 30 caves all to ld on t he to p.

10 Materials of t h e joint e xp ed it io n: I — К а р а -т е п е — б у д д и й с к и й п е щ е р н ы йм о н а с т ы р ь в С т а р о м Т е р м е з е , М о с к в а 1964; II — Б у д д и й с к и е п е щ е р ы К а р а -т е п е в С т а -р о м Т е р м е з е , М о с к в а 1969; III Б у д д и й с к и й к у л ь т о в ы й ц е н т р К а р а -т е п е в С т а р о м Т е р -м е з е , М ., 1972; IV— Н о в ы е н а х о д к и н а К а р а - т е п е в С т а р о м Т е р м е з е , М о с к в а 1975 (Andf ur th er — К а р а - т е п е , I; К а р а - т е п е , II, К а р а -т е п е , III; a nd К а р а -т е п е , IV).

11 For brief d a t a on Ka ra- tep e exca vat ions in 1974 — 1977 s ee А р х е о л о г и ч е с к и ео т к р ы т и я 1974 г о д а , M., 1975, 5 12 -5 13 ; А р х е о л о г и ч е с к и е о т к р ы т и я 1975 г о д а , M., 1976,535— 536; А р х е о л о г и ч е с к и е о т к р ы т и я 1976 г о д а , М ., 1977, 543 -544; А р х е о л о г и ч е с к и е о т к -р ы т и я 1977 г о д а , М ., 1978, 538 - 539.

12 In 1963 a cave wa s inciden tally fou nd on the no rt he rn to p of the hill. Howe ver,its plan and purpose is still to be discovered by special excavations.


8/15/2019 ACTAANTIQUA_28 (1980)



Fig. 2. Plan of the excavations of the southern top of Kara tepe

As excavations and studies of the microrelief of the hill slopes have shown,

the Kara tepe caves were not isolated but constituted part of a complex which

also included a large square (or rectangular) courtyard and other ground struc-

tures. Such mixed ground and cave complexes might be situated next to each

ot he r or sep ara ted by va ca nt plots. Th e excavati ons of 1961 —1977 brou ght ou t

more or less disti nctly four complexes — , В , С and D.*

A AND В COMPLEXES

The A an d В complexes, isolated a t a lat er period, were originally incor-

porated into a single group of structures on the southern top. This group in-

cluded three courtyards which were placed next to one another on a terrace

along the eastern slope from north to south.

In the middle of the northern courtyard the remains of a stupa made of

mud brick and rammed clay (pakhsa) and faced with tiles of white lime were

uncovered. Study of the remains of the stupa and its facing, a fragment of its

cupola, and of the stone umbrellas (chatra), as well as two identical representa-

tions of a stupa scratched on a wall in cave 2 (on the eastern slope) prompted

* The subjoined charts give Russian letters to denote cave temples and complexes :П for P, and , Б , В , Г for , В , C, D respectively.


8/15/2019 ACTAANTIQUA_28 (1980)


100 . STAVISKIY

О 1 2 m

Fig. 3. A stupa at Kara tepe. Reconstruction by I. Lunkova

our architect I. P. Lunkova to trace a graphic reconstruction of the stupa (Fig.

3). Th e stup a stood in an open cou rty ard ex posed to rain an d snow. To p ro te ct

it from being washed away special water-consuming devices were made at the

foot of the stupa and the water brought by spring cloud-bursts was evidently

drained from the yard through a ceramic tube (koubour) built into the base of

the eastern wall of the courtyard.

Unlike the northern courtyard, the central and the southern ones werebordered with porticos (aiwans). Their wooden columns placed on stone Attic-

type bases supported flat wooden ceiling which protected the greater part of

Fig. 4. The co ur ty ar d of the compl ex. Reco nstr ucti on by I. Macheret

Aria Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



the courtyard from the sun, rain or snow. Only the central part of the courtyard

was open but its level was lower than that of the aiwans and the water casually

accumulated there did not flood the porticos (Fig. 4).

Fig. 5a. The staircase leading from the southern courtyard up hill

The western aiwans of the central and southern courtyards adjoined the

vertically cut off slope of the hill, in which niches were hewn framing entrances

to P-II and P-I caves. Each cave had two entrances situated close to the south-

west ern and north-we stern corners of th e courtyard s. In th e central co ur ty ar d

there was one more niche in the middle of the western aiwan, in which probably

a big Buddhist statue stood.

To the north of the north ern en tran ces into the caves in bot h cou rty ard s

cave cells were discovered : one in the southern and two in the central court-

yard, one above the other. Narrow entrances with steps descending into the

cells led to the m fro m th e aiwans. Th e similar passage wi th ste ps connec ted th e


8/15/2019 ACTAANTIQUA_28 (1980)


102 . STAVISKIY

two cells in the central courtyard. The upper cell and the one in the southern

courtyard had couches (sufas) along the walls cut out, as the cells themselves,

in sandstone (Fig. 22). There were flights of stairs above the cells that led from

the northern aiwans of the central and southern courtyards up to the upper

part of the hill side or up to the upper premises (Fig. 5).

Fig. 5b. The sta ircase leading fr om the central court yard up hill

All these stairs, as well as the few steps from the aiwans to the lower,

central, part of the courtyards were paved with plates of baked brick, evidently

to protect sandstone and mudbrick steps from damage.

There was a chamber between the central and the southern courtyards.

Ori gin all y it gave acces s to bot h yards, th us conn ecti ng th e A an d complexes.

La te r, however, it was isolated from th e court yar ds : fro m th e south ern — by a

plastered mud-brick wall, and from the central by a mud-brick partitioning.

It was undoubtedly a place of worship. The remains of a square dais faced with


8/15/2019 ACTAANTIQUA_28 (1980)



blocks of white lime were uncovered in the centre of the chamber. Floor spacearound the dais was also paved with flat plates of white lime. Besides, fragmentsof stone umbrellas were found here which confirmed the assumption that avotive stupa (probably a diminutive replica of the northern courtyard stupa)

stood in the centre of this relatively small chamber.To the east of it (in the south-eastern corner of the central courtyard) was

another chamber, most probably a monk cell. True, there was no couch in it,but its owner might well make himself comfortable on mats behind the claywall overlaid with plaster (alabaster) and painted, which was built near theentrance and partitioned off the north-eastern corner of the cell.

Another ground structure was excavated to the south of the southerncourtyard, which E. G. Pchelina, being the first to discover it, defined as aBuddhist temple. It consisted of a cell and three corridors surrounding it (east-

ern, southern and western). The southern aiwan of the southern courtyardwhich adjoined the cell on the fourth side and communicated with it and thecor rid ors closed th e ring, so to say. Th e fl oo r level of th e cell was lower t h an t h a tof the aiwan and the entrance in to the cell had a high threshold made of blocksof white lime. The blocks were originally adorned with a contour flower designand later plastered over and painted red. The path leading to the entrance waspaved with white lime plates (Fig. 6). To the east of the eastern corridor therewas a small cell with a couch made of mud bricks.

The P-I and P-II cave3, which were evidently cave temples, in general

outli ne repe ate d the grou nd temple str uc tu re . Each consisted of a cell and va ul t-ed corridors that encircled it (Fig. 24). As mentioned above, each cave templeha d a cell ne xt to one of its ent ran ces whic h housed a mon k, a guar d a nd at te n-dant of the Buddhist sanctity. In detail, however, the P-I and P-II cave templesdiffered both from the ground temple and from one another.

Thus, as distinct from the ground temple, the cave temples had four cor-ridors each. The cell of the P-I temple had a floor space of over 28 sq.m., high(not less than 4 metres) vertical walls and, evidently, a wooden ceiling, whilethe floor space of the central part of the P-II cave was under 12 sq.m. and it had

a vaulted ceiling cut in sandstone. The entrance into the P-I cell was in theeas ter n wall and th a t of th e P- I I cell — in th e northern wall. In th e nort h-wes t-ern corner of the P-I temple there was a small cave, most probably a store-room. In the P-II cell excavations revealed (in the southern wall, and southernparts of the adjoining walls) small sockets from timbering of a wooden dais, thelike of which may be found in Buddhist cave temples of Eastern Turkistan(Sinkiang) and on which Buddhist statues and oil lamps evidently stood. Itsfront (northern) surface might have been adorned with reliefs. 13

13 See A. G R Ü N W E D E L : Altbuddhistische Kultstätten in Chinesisch Turkistan.Berlin 1912. 316-317, Figs 636, 636a.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)



It should also be noted that walls in almost all ground and cave premises

of the A and В complexes were pain ted over the plast er (mostly with red pai nt) .

In niches, cells and corridors of cave temples the red panels often hid ornamen-

tal geometric or floral designs. It is only at the entrances in to the ground tem-

ples (the one with the small stup a in th e southern ai wa n of the В complex court -yard and the temple in the southern aiwan of the A complex courtyard) that

fragments of compositions depicting Buddhist personages and donators were

found.

The A and В comple xes were, evide ntly, conn ect ed in some way with t he

ground structures that were built above the P-I and P-II temples. We may

merely conjecture the existence of such a structure above the P-I temple for it

has not been brought out yet. However, in the course of the excavation of the

P-I cell mud brickwork was uncovered over the temple's sandstone walls, ap-

parently the remains of the walls of the ground structure. The structure abovethe P-II ground temple has been fully excavated (Fig. 7). Its lower part was cut

in the hill's sandstone slope, with the southern and northern walls coinciding in

plan with the walls of the southern and northern corridors of the cave temple,

which may testify to their simultaneous construction.

The structure over the P-II temple was situated not far from the southern

to p of th e hill. I t was enter ed not fro m below (from t h e В complex) bu t fr om

above, a short flight of stairs leading down the slope of the southern top into

the premises. On the right of the stairs, inside the antechamber there was a big

jug (khum) dug into t he ground, and on the left, also sunk in the ground — amud brick plate with holes in it, a kind of «wash-stand».

The jug was, apparently, filled with water for ritual ablutions, which were

performed over the «wash-stand». Though merely a symbolic operation, it

nevertheless called for certain measures to be taken to drain water out of the

building, and, what was probably most important, further away from the tem-

ple below. A rectangular reservoir was made for the purpose under the «wash-

stand» plate, connected with the system of eight kouhours which were laid

towards the northern outer wall of the building and drained water beyond it

onto the vacant lot on the northern slope of the southern hilltop. It is peculiarto note that the inclination of the drainage system was 3°, i.e., fully conformed

to the modern standards.

The Kara tepe antechamber with the «wash-stand» brings to mind the

Gandhasala mentioned in Buddhist texts, though the analogy may be slightly

far-fetched. Besides the antechamber, there were six more rooms in the building,

one of them an elongated chamber stretching from south to north along the

western side of the building (Fig. 8). At the northern wall of the chamber there

was a wide sufa plastered with clay and alabaster. The room was probably a

Kathikasala where people gathered to be taught and to discuss themes con-

nected with Buddhist texts. If so, the monk-teacher (probably even Buddhasira


8/15/2019 ACTAANTIQUA_28 (1980)


106. STAVISKIY

Fig. 7a. The structure above the P-II cave-temple — a) pia;

Fig. 7b. The str uct ure above the P -I I cave-temple — b) cross-sections


8/15/2019 ACTAANTIQUA_28 (1980)


KARA T E P E IN OLD TER MEZ 107

Fig. 7. The structure above the P- II cave-templ e — c) reconstruction by I. Lunkova

dharmakathika himself, who was mentioned in a Kara tepe inscription on

ceramics)14 occupied the sufa, and in front of him, on mats, sat his pupils or

monks.

Of special interest were excavations of a small room next to the ante-chamber, to the south of its eastern part. Originally a communicating passage,

an extension of the antechamber, it later became a cell. Before it was turned

int o a cell, it had thre e ent ranc es : on e — fro m the ant ec ha mb er , an oth er f ro m

th e lecture-room (Kathi kasa la), and th e thir d — from th e aiw an- type st ru ct ur e

fringing the building on the east. There was an altar at the western wall of the

chamber — an attached niche with a shell-shaped back wall, in which a flame,

eternal or kindled from time to time, burned. The back wall and the bottom of

the niche were scorched and tempered and the hollow for the flame at the bot-

14 See below.


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. S. The western chamber of the structure above P- II

8/15/2019 ACTAANTIQUA_28 (1980)


K AR A Г Е Р Е I N O LD T E RM E Z 109

torn filled to the brim with pure grey ash. The altar was used during a long pe-

riod, for we have found traces of over 18 repairs and reconstructions (Fig. 9).

Subsequently the room with the altar was reconstructed : the entrance

from the lecture-room was walled, a clay screen was put before the entrancefrom the antechamber, and, besides, against the western wall of the room,

a sufa was built, in which fragments of the altar niche were immured. The altar-

room was thus turned into an abode, more comfortable and rich than the cells

next to the P - I and P -I I temples, the A complex gro und temple and to the В

complex premises with the stupa. The status of the owner of the former altar-

room was apparently much higher than that of the monks inhabiting the above-

mentioned cells. He might have been a tutor or Buddhist preacher (probably

Buddhasira dharmakathika we have already spoken about), who actually

had the whole of six or seven-room building at his disposal.

Naturally the explanation given here of the purpose of the premises de-

scribed,including the ground struc tur e near the hilltop, is no more th an ah yp ot h-

esis, but it is based on the latest data, and, therefore, has the right to life.

The existence a nd f unc tio nin g for a long period of a fire alt ar in a Bu dd hi st

str uct ure is signifi cant. The fire altar wi th its at ta ch ed niche may defi nite ly

traced to the fire-places found in the Graeco-Bactrian town of Ai-Khanoum. 1 5

However, it would be wrong to conclude that it was a warming device. First,

unlik e the fire-pl aces in Ai -K ha no um which are ra th er c omm on there and m ay

even be found in neighbouring premises, the Kara tepe altar is the only one

discovered on the site so far. Second, traces of frequent repairs testify to thefact that it was an object of special concern. And, third, what gives sufficient

ground to speak of its ritual nature is its similarity to fire altars of the Kushan

period found in Gyaur-Kala (Khorezm)16 and in Samarkand (excavations under

A. I. Terenoshkin),17 as well as to al ta rs of a lat er peri od — from To pr ak K a l a

in Khorezm1 8 (3rd—4th centuries) and from Penjikent in Soghd19 (6th —8th

centuries). It is probable that Bactria-Tokharistan of the Kushan period was

the first region in Central Asia to use the Graeco-Bactrian-type fire-places20 as

13 See Fouilles d' Aï Khanoum, I/MDAFA, t. XXI/P. 1973, 283, 284, CHAIBL —1969, P. , 1970, 31 8; CH AI BL - 1970, P. , 1970, 307, CHAIBL 1974, P. , 1974, 284,CR AI BL — 1975, P. , 1975, 172; Б . Я . С т а в и с к и й : К у ш а н с к а я Б а к т р и я : п р о б л е м ы и с -т о р и и и к у л ь т у р ы . М о с к в а 1977. 153 a nd F ig . 21, а , b. a nd Fig . 95,2 on p . 206.

10 Ю . А . Р а п о п о р т —С . А . Т р у д н о в с к а я : Г о р о д и щ е Г я у р - к а л а . Т р у д ы Х о р е з м с к о йа р х е о л о г о -э т н о г р а ф п ч е с к о й э к с п е д и ц и и , т . II, М , 1958, 359 360.

17 See Л . И . Р е м п е л ь : И з о б р а ж е н и е «д о м а о г н я » н а д в у х т е р р а к о т о в ы х п л и т к а х сА ф р а с и а б а . Д о к л а д ы А Н Т а д ж . С С Р , IX, Д у ш а н б е , 1953, 27 29.

18 С . П . Т о л с т о в : Р а б о т ы Х о р е з м и й с к о й а р х е о л о г о -э т н о г р а ф и ч е с к о й э к с п е д и ц и иА Н С С С Р в 1949 1953 г г . Т р у д ы Х о р е з м с к о й а р х е о л о г о -э т н о г р а ф и ч е с к о й э к с п е д и ц и и т . II.,

19 See В Л . В о р о н и н а : А р х и т е к т у р а Д р е в н е г о П е н д ж и к е н т а . М а т е р и а л ы и и с с л е д о -в а н и я п о а р х е о л о г и и С С С Р . 124. М .-Л . 1964, 67 72; А . М . Б е л е н и ц к и й : М о н у м е н т а л ь -н о е и с к у с с т в о П е н д ж и к е н т а , М о с к в а 1973, 14.

20 It s hould bo remoinbored, natur ally , tha t domesti c hear ths in ant iqu ity (inthe Hellenic world, as well as in the East) were also connected with worshipping, of thefire as a home patron god, etc.


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 9. The altar of the structure above P-II — a) at the earliest stage

8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 9. The altar of the structure above P-II — b) at the latest stage

8/15/2019 ACTAANTIQUA_28 (1980)


112 . ST AVISKIY

Fig. 9. The altar of the structure above P-II c) at the three principal stages.Reconstruction by I. Lunkova

altars. In that period, the borrowed Hellenic traditions were undergoing trans-

formation under the impact of ethnic, historical and cultural factors. Altars of

this kind were used by fire worshippers and in temples of the local Mazdean

cults, and also in early Bud dh is t stru ctur es.

According to the data acquired in Toprak Kala and Penjikent, the tradi-

tion of building such altars to be used by local cults survived up to the period of

Ar ab conques t. As to th e Ka r a tepe fir e alt ar, its fa te ma y serve as evidence of

the change in attitude of the Buddhist community (or, at least, the Buddhist

community of the Kushan Termez) to fire worshipping as early as the 3rd —4thcenturies. At first treated with respect (or tolerance) it was finally destroyed

and on its ruins a sufa was made, somewhat demonstratively, we may presume,

upon which sat or slept the high-placed occupant of the room.

The fact th at th e ground stru ctu re was placed above th e Budd hist cave

temple is peculiar and may be the object of special study.

С A N D D C O M P L E X E S

Th e exca vati on of th e С and D complexes on the n or th er n slope of th e

so ut he rn hilltop of K a r a te pe is far from complet ion. On e of th e caves of the С

com ple x — P - I II (now cave 3) was discove red in the course of exp lor ato ry dig-


8/15/2019 ACTAANTIQUA_28 (1980)



ging in 1962, and the D comple x cave — P- V — in 1964. B u t sys te ma ti c e x-

ca vat ion s of th e С com plex ha ve been going on since 1971, and of th e D com-

plex — since 1976.

The D complex is, evidently, similar in its composition and planning tothe A and В complexes. The cent ral pa rt of its court yar d was also si tua te d on

a lower level and surrounded along its perimeter with aiwans. The wooden col-

umns of the aiwans were placed on stone Attic-type bases. The southern ai wan,

which has been completely excavated, adjoined, like the western aiwans of the

A an d В complexes, th e vert ica lly cut off slope of th e sa nd st one hill an d w as

similar to those aiwans : there were vaulted niches at its both ends with en-

trances to the P-V cave, and in the centre there was a big niche for a Buddhist

statue. On the right of the western entrance to the cave there was the entrance

to the cave cell of a monk attendant. The construction of the cell was not com-

pleted, however. Having hewn out the vaulted passage with steps leading down

from the courtyard into the cell and part of the cell, the builders discontinued

the work, most probably, from fear of a possible caving-in, for they had over-

estimated the height of the hill at this particular spot. The entrance was then

walled with mud bricks, plastered with clay and painted with red paint. The

cent ral niche (as dis tinc t from t h a t of the В complex) had a hiding-place — a

small cave behind the thin sandstone back wall of the niche.

The P-V cave (most probably a cave temple), like the P-I and P-II tem-

ples, had two entrances, and four vaulted corridors. Whether the corridors sur-

rounded a sandstone-filled space or a cell as in the P-I and P-II temples is yet

to be seen. It will be made clear by further excavations. There was a ground

structure above the P-V cave, too. However, excavations have revealed only

two rooms, the nature and purpose of which remains unknown.

The С complex, sit uate d between the В and D complexes, differed sub-

stantially from the latter two (and to a lesser degree from the A complex). Only

part of the courtyard has been undug as yet, and it is, therefore, too early to

draw conclusions. But as far as one could judge, there were no aiwans in it, at

least no trace of columns has been found in the southern part of the courtyard.

And what is more, instead of a single cave temple with a cell and four corridors,

th e comple x had f our (or five) isola ted caves. Thre e of the m ( 1 ,2 a nd 3) wer e

long and narrow chambers with vaulted ceilings. Caves 1 and 3 ended in a niche

(there was a small cell, evidently a hiding place, behind the niche in cave 1).

Cave 2, judging by its situation, is similar in character but its excavation has

no t yet been comp let ed. The plann ing of cave 4 is not y e t cle ar so fa r. I t ha d

either an offshoot or (and this is more probable) it communicated with the cave

corridor tha t led to the westernm ost (t he sixt h) vaulte d niche of the С complex

courtyard. In the latter case cave 4 was h-shaped in plan (with a niche at the

end of the eastern corridor, extending it to the south from its juncture with thesouthern corridor), its three sides (corridors) framing the fifth vaulted niche of


8/15/2019 ACTAANTIQUA_28 (1980)


1 1 4 В . S T A V I S K I Y

the courtyard, or vaulted aiwan (Fig. 25). Such aiwans were typical not so much

for Central Asia, where aiwans with columns were more common, but for the

Near East and Iran, particularly in the Parthian and Sasanian periods. There

we re six such niches in th e С complex co ur ty ar d along its sou th er n fringe.

The purpose of th e С complex caves is not yet clear. How eve r, thei r gener-

al structure and the fact that there were no sufas or any traces of hearths in

them are all evidence that they were not dwelling premises. They were hardly

used as storerooms or for any other household purposes. It is much more likely

that the caves were places of worship and the niches in their walls held statues,

reliquaries or Buddhist relics.

What we may definitely assert, however, is that the Kara tepe caves and

complexes in their structure did not follow a strict pattern. Though identical

in ma n y respects, th ey differ ed in deta ils .

TRACES OF RECONSTRUCTIONS, A BURIAL GROUND AND

MORE RECENT LAYER S ON KARA TEP E

In the course of excavations, E. G. Pchelina and, later, our expedition

came across traces of numerous reconstructions in all the four complexes de-

scribed above. Not going into details, we may assert that these reconstructions

(some of them mentioned earlier) which might have been explained by the need

to make repairs or to prevent caving-in, and sometimes by reasons not clear to

us, never brought about changes in the character and purpose of the Kara tepecomplexes as a Buddhist religious centre. Note should be taken, though, of one

instance of a reconstruction of a different order, that of the central niche in the

wes te rn aiwan of th e В complex.

This grand niche between the two entrances to the P-II cave temple, like

the similar one in the southern aiwan of the D complex, most probably held

a big Buddhist statue (as we pointed out earlier). However excavation of the

niche first revealed a mud-brick wall, built over a layer of debris, pieces of mud

brick and sand and screening it from the courtyard, and, then, when the niche

itself was uncovered, a hearth circular in plan. It was built with mud bricksover clay and ganch plaster fallen from the arched upper part of the niche and

not in the middle of it but closer to its left-hand (southern) corner. This was,

evidently, a fire altar : the hearth was burned out inside and filled with fine

whitish ash, which contained no pieces of coal, bones, or fragments of pottery

always found in domestic ovens. Its position too shows that it was used for

religious and not domes tic purposes. We ma y well believe t h a t af te r the В com-

plex was destroyed or fallen to desolation a fire altar was built in the niche

whi ch had previously held a Budd his t st at ue . It was ma de has ti ly, out of m ate-

ri als t ha t were at ha nd and symbolized t he vic tor y of some ot he r cult (most like-ly Zoroastrian) over Buddhism. Who walled the niche with the fire altar and


8/15/2019 ACTAANTIQUA_28 (1980)



why is not known. But whoever he might be he did not destroy this fragile

symbol of fire worship, but rather protected it from destruction or desecration.

The period of desolation of the Kara tepe site is connected with the layer

discovered directly over the floors of all ground and cave structures. The layerwas not even. In the caves it was thinner than in the ground premises, and

thicker at the entrances into the caves (50 — 60 cm. a bov e the floor level) t ha n

inside (5—10 cm). Its maximum thickness exceeded 80 cm. The layer included

dust, blown-in sand and debris — plaster fallen down from walls and ceilings

and sometimes fragments of the upper part of sandstone or mudbrick walls or

of the ceilings. Rains or rainy seasons left marks on the clay over the layer or

inside it.

It is not unreas onable to suppose th at n ume rou s inscriptions and dr awi ngs

scratched on the plastered walls of the caves and their entrance niches refer to

the period of desolation. Some of these graffiti, in fact, may be dated by a much

la te r period, th e Moslem Middle Ages (most prob ab ly t he 10th —12th ce nt u-

ries). However, the nature and linguistic peculiarities of the inscriptions make

it possible to distinguish between those left by the Moslems and those made

earlier, in the period immediately following the destruction or decline of the site.

Above the period of desolation layer E. G. Pchelina and our expedition

discovered, more than once, human bones. A number of burials found gave us

ground to believe that finds of single bones were also remains of burial grounds,

rather than a result of some casualty.

The burials in the desolated caves and ground premises of Kara tepe

sometimes contained ten or more corpses laid in rows and even several rows one

above the other. It may be that the upper rows in some cases presented later

burials, but it seems the greater part of the burials were simultaneous affairs,

most probably connected (according to the special analysis of the bones made

by paleopathologist Z. B. Altman) 2 1 with some epidemic s, and not wi th ma ss

slaughter, as the legend explaining the sinister name of Kara tepe has it.

In the better preserved burial we also found pottery, remains of clothes,

adornments and other things (bracelets, rings, ear-rings, a gold pendant, a

brooc h, an iron knife, mirror s, etc.). The obj ect s t h a t we nt into th e bur ial s wer esometimes quite valuable. It should be noted that a coin or even two were often

put into the hand of the deceased. What might be added is that the entrances

into allthe premises, where burials or their remains occurred, had been walled.

In such cases we invariably discovered, above the period of desolation layer,

the remains of unplastered crudely built walls laid out of mud bricks or their

fragments. Sometimes stone blocks that had faced the stupa, or probably the

terrace, were used for the purpose, and once even a capital of an ornamental

pilaster.

21 3. Б . А л ь т м а н : А н т р о п о л о г и ч е с к и е и п а л е о п а т о л о г и ч е с к и е и с с л е д о в а н и я о с т а н к ол ю д е й в п е щ е р а х К а р а - т е п е — К а р а -т е п е . III, М о с к в а 1972, 104-110.


8/15/2019 ACTAANTIQUA_28 (1980)


116 В . S T A V I S K I Y

Apart from group burial grounds of the time immediately following the

period of desolation (most probably the walls and ceiling were still intact then),

ex ca va ti on s of some cells and chamb ers br ou ght ou t, in the laye rs high above

the floor level, single human skeletons or bones of the Moslem Middle Ages

period. They are all in a poor state of preservation, therefore one could only

guess whether these are burials or casualties.

In cases when it is possible to trace the stratification of the caves' filling,

it bec ome s appa ren t th a t the layers wit h skel etons and bones of th e 10th — 12th

centuries contain also pottery of the same period and coincide in time with the

de st ru ct io n of the walls and ceilings of th e caves. It is thro ugh gaps form ed a ft er

th at th e later visitors (up to A. S. Strelkov an d G. У . Parfenov, for t ha t mat te r)

entered filled or half-filled caves.

MAJOR FINDS

The Kara tepe excavations brought out wall paintings, stone and stucco

(ganch in local terminology) sculpture, terracottas and pottery, metalware and

coins, inscriptions on pottery and graffiti on the wall of the caves and their

entrance niches.W A L L P A I N T I N G

In almost all of the Kara tepe cave or ground premises excavations un-

covered traces of red or black paint on the walls, and, in a number of cases,

traces of ornamental colour design : geometric or, rarely, flower patterns or

panels (usually made with red paint) on white ganch plastering^

A re pre se nta ti on of a hu ma n fi gur e wa s fi rs t fou nd here in 1937 by E. G.

Pchelina who discovered (on the wall of the A complex ground temple, at the

entrance into the cell) a fragment of wall painting showing two feet in a fro..tal

pos it ion wi th toes tu rn ed ou tw ar d and a bo rd er of a robe abov e th em «coloured

rhythmically with spots of white, light blue, blue, pink, red and brown».22

The painting has not survived, but, besides the description, we have a black-

an d- wh it e photo gra ph of it . Ju dgi ng by th e footw ear (soft le at her boots) and

the border of a rich robe, we may presume that what E.G. Pchelina found was

a fragment of a painting depicting a Kushan nobleman as a Buddhist donátor.This view was borne out in the course of our excavations in 1971 — 71.

Fragments of multi-figure compositions were found in the southern aiwan ofthe В complex temple courtya rd. One of th em represented a group of donators,

th e ot he r — the Bud dh a with monks . Lik e th e wall paint ing discovered by E . G.

Pchelina, these compositions adorned the wall space next to the entrance into

a place of worship, in this case the chamber with the votive stupa.

The fragment of the first composition found on the wall west of the en-

tr an ce s howed the fee t of seven donat ors : fiv e men in sof t lea the r boot s laced

22 E. Г . П ч е л и н а : Н а ч а л о р а б о т . . ., К а р а -т е п е . I. M. 1964. 89.


8/15/2019 ACTAANTIQUA_28 (1980)



with straps and buckled at the side, and two women in long robes from underwhich only their toes showed (Fig. 10). The donators stood in a line, in somecases only slightly covering one another. Their feet are placed in a frontal posi-tion (as on the fragment found by E. G. Pchelina). In the same strictly frontalposi tion are repr esen ted th e fe et an d the robes of th e wom en . Dra win g on th eanalogies in representations of donators and other Kushan personages in sculp-ture2 3 and in imperial Kushan coinage (the figure of a King before the altar) 24

we may assume that a rigid strictly frontal posture was typical for donators onthe Kara tepe wall paintings. It should be noted that the heads of the donators(or at least of some of them) are shown in profile (as those of Kings on theKu sh an coins). It may be conclud ed from a fra gme nt of th e painti ng t h a t ha devidently slid down from the wall and was found next to it. The head we seeon the fragment is turned to the left. It is that of a man with bald head framed

with grey hair, bearded and with moustache, and with an ear-ring. His faceabove the sharply outlined collar of his robe is calm and concentrated, hislongish eyes turned upwards (Eig. 11).

The donátor (and may be all the donators on this painting) was probablyshown looking at the composition with the Buddha, which was placed on thesame wall on the left (east) of the first painting and, evidently, on a higher level,A peace of plaste r with a fr ag me nt of th e composition depict ing the Bu dd haand monks was found face down on a layer of the debris which had accumulatedon the floor of the aiwan to the east of the entrance. The painting was cleared

and fixed on the spot and transported to Moscow to the WCNILKR, where itsrestoration was completed and the painting was prepared for an exposition inthe State Hermitage Museum.

The restored frag men t (Figs. 12a—b) reveals figures of th e Bud dh a sitt ingunder a tree with rich folliage (on the right) and three monks standing eachunder a tree (on the left). It is highly probable that it is only a part of the scenewhich might have included three other monks placed symmetrically on theBuddha' s right. The scene is identical with the Miran painting (Eastern Turkis-tan)2 5 but is executed in a style closer to the Indian manner. It is peculiar that

in the Kara tepe wall painting the Buddha has not merely a nimbus but a haloaround the body, which is probably to be traced not to the Indian, but to thelocal, Bactrian, artistic tradition (see further).

23 See, e.g. J . K O S E N F I E L D : The Dynastic Arts of the Kushans. Berkeley 1967.Figs 20, 21, 28-39, 98, 98a, 104, 108, 109, 112.

24 See., e.g. J . K O S E N F I E L D : Th e D yna sti c Art s. Pl. I I, 19 — 27, 29 — 38 ; Pl. I l l ,5 0 - 6 0 ; P l . IV, 61, 63, 6 5 - 6 6 ; P l . V, 84 -9 1, 93 -9 7, 9 9 -1 0 2 ; P l . VI , 1 03 -1 23 ;Pl. VII , 12 4- 13 5, 143, Pl. VII I, 155 -1 56 , 158—159, 1 6 3 -1 6 4 ; Pl. IX . 16 7- 18 1,185, 187 ; Pl . X, 188—196, 199, 203, 205 — 208 ; Pl. XI , 209 - 22 9; Pl . X I I, 230 — 246

(imagos of gods and rulers).25 M. BUSSAGLI : Le pe in tu re de l'Asie Centra le. Genève 1963. 23 ; B. R O W L A N D :The Art of Central Asia. N. Y., 1974. 33.


8/15/2019 ACTAANTIQUA_28 (1980)


1 1 8 В . S T A V I S K I Y

The head of the Buddha is depicted in front view (as distinct from that of

t h e donátor mentioned above), and the heads of the monks turned slightlytowards him. The trees are stylized. In their foliage, above the monks, flowersand ovaries may be discerned, and above the Buddha — circles, evidently ripe

f ru i t .Th e backgr ound of th e wall pai nti ngs in the sout her n ai wan of the В com-

plex courtyard was blue, the faces of the personages — flesh-coloured, the hair

of t he Bu dd ha — bl ac k, his nimb us and th e halo — whi te , t he robes — mult i-

coloured. The trees with black foliage and golden trunks were dotted with red

and white ovaries and fruit.

All the wall paintings discovered in the course of excavations on Kara tepe

were made on stucco (alabaster) priming laid over clay plaster which covered

sandstone and mud-brick walls of the premises. This technique is known to be

used in the most ancient wall painting found in Central Asia, in Pessedjik-tepe(Southern Turkmenistan) dated by the 5th millennium B.C.26 The Kara tepe

wall paintings with their elaborate technique are a product of a long history of

the development of painting, which by then already had ancient traditions.

Undoubtedly, what we have here are not the first steps of the local, Bac-

trian school of painting but mature works of art.

S C U L P T U R E

Judging by the abundance of fragments among the finds, stone and

stucco (alabaster) sculpture was common at Kara tepe. A hand of a stuccostatue of the Buddha or a Bodhisattva and other fragments derived from the

temple courtyard of the A complex gives us ground to believe that big Buddhist

statues were placed in the grand niches of the aiwans, and, probably, in the

cells. The fragments of stucco relief with floral design found near the central

niche in the D complex courtyard gives us good evidence that carved stucco

was an element of the decoration at Kara tepe.

But stone sculpture prevails among the finds of this kind. Among them

are column bases, blocks from the facing of the big and the votive stupas and

also two stone capitals of pilasters reminding those of the Buddhist «platform ofstatues» near Surkh Khotal2 7 as well as the pilasters adorning the terraces of the

Kanishka temple.28 The latter conclusion is prompted by the finds of a lower

part of a pilaster and a fragment of its base. 29 The capitals and fragment of the

26 See Jl. А . Л е л е к о в : М о н у м е н т а л ь н а я ж и в о п и с ь П е р е д н е й А з и и VI -1 т ы с . д о н . э .Х у д о ж е с т в е н н о е н а с л е д и е . Х р а н е н и е . И с с л е д о в а н и е . Р е с т а в р а ц и я . 3, М о с к в а 1977,84, 93, 96.

27 See., e.g. D. S C H L U M B E R G E R : The Excavations at Surkh Kotal and the Problemof Hellenism in Bactria and India. Proceedings of the British Academy XLVII. 1962.

Pl. XXII. a, XXIV. a, b.28 D . S C H L U M B E R G E R : The Excavations at Surkh Kotal. Pl. XVIII, b.29 See К а р а -т е п е . 11. M. 1969, 159 and P l. 37, a, 6.


8/15/2019 ACTAANTIQUA_28 (1980)


KARA TE PE IN OLD TERMEZ 11 9

pilaster were not found in situ, th er ef or e their original disposition is still toseek. Most likely they were part of the lateral facing of the terrace upon whichcourtyards, caves and other structures of the southern hilltop were situated.

One of the capitals (Fig. 14) was discovered in 1964 in the brickworkwalling the entrance to the cave sell of the P-II temple, the other (Fig. 15) — in1976 in the filling of the D complex courtyard. Both belonged to one type, withtwo belts of carved design. The lower belt represented a composite (i.e., Corin-thianized) capital with volutes and a human half-figure against the backgroundof acanthus leaves : on the first capital — a man in front view with a trefoil inhis right hand, on the second — a girl in profil supporting a flower garland.On the upper belt three animals are depicted, two lying zebu-bulls, their headsturned outwards flanking a beast of prey — a tiger or lion on the first capital,and a fantastic horned and winged griffon on the second.

Some of the fragments of stone reliefs brought out in the course of theKara tepe excavations might have been those of similar capitals. But the great-er part of the fragments are to be connected rather with the reliefs decoratingthe stupas, the bases of Buddhist statues and daises where statues were placed(e.g. the wooden platform in the P-II cave temple cell), etc. 3 0

As revealed by finds on Kara tepe and other sites in Middle and CentralAsia (Dalverzin tepe in Southern Uzbekistan, 3 1 monuments of Eastern Turkis-tan3 2 etc.33, the technique of preparation of alabaster sculptures was elaborateenough. Clay pig, evidently on a wooden carcass was wound round with cloth

and covered with alabaster, which was then modelled or moulded and painted.The cloth, the imprints of which are easily discernible on the inner surface ofa number of fragments34 formed a conjunctive tissue, so to say, between clayand alabaster that combines badly with each other. Inside fingers and toes ofth e alabas ter sta tue s traces may be seen lef t by wooden sticks. Details (rosettesand small balls adorning the garments, etc.) were modelled or moulded sepa-rately and then fixed.

Stone sculpture of Kara tepe, as well as stone architectural details (col-umn bases, capitals, fragments of the facing, etc.) are made of white lime-stone,

the deposits of which are to be found on the right bank of the Amu-Darya,

30 Ibid., 159-173 .

31 Г . А . П у г а ч е н к о в а : К у ш а н с к а я с к у л ь п т у р а и з Д а л ь в е р з и н -т е п е . И с к у с с т в о (Ma-gazine) 1970. No. 2, 62 ; the same au th or . Les trésors de Dalverzine-tepo. Leningrad1978. Figs 15-31.

32 С . M. Д у д и н : Т е х н и к а с т е н о п и с и и с к у л ь п т у р ы в д р е в н и х б у д д и й с к и х п е щ е р а х их р а м а х З а п а д н о г о К и т а я . С б о р н и к М у з е я а н т р о п о л о г и и и э т н о г р а ф и и т . V, в ы п . I, P etro-grad 1918; A. STEIN: Serindia. Vol. IV, Oxford 1921, Pl. XL I X, C X X I X - C X X X I X ;The same au th or : Inner most Asia. Vol. I ll , Oxford 1928. Pl. IV, VI II , IX , X I I ,XIX, XX, LUI, LIV, LXXII.

33

See Б . Я . С т а в и с к и й : О с н о в н ы е и т о г и р а с к о п о к К а р а - т е п е в 1961—1962 г г . К а р а -т е п е , 1, M., 1964, 2 2- 25 .34 See К а р а -т е п е . j. P I. 25.

7* Acta Antiqua Ac ademiae Scientiarum Hungaricue 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


120 В . STAVISKIY

particularly on the Hodja Gulsuar mountain (to the northeast of Termez) where

a gold coin of Ka ni sh ka 3 5 was found in 1904 in ancient pits. Special pétrographieanalysis of lime-stone samples has shown that the lime-stone used for the Karatepe sculpture and architectural details most likely came from the Hodja

Gulsuar mines.38

The alabaster and stone sculpture was brightly painted and, sometimes,in many colours. The finds of Kara tepe revealed traces of gilt laid over redground and red, blue and green paint against white background.

Mention should be made of white lime-stone chatras (umbrellas) adorningthe pole over the grand stupa in the A complex northern courtyard and thevotive stupa in the sanctuary between the A and В complexes temple court-

yards. The chatras were painted red and blue and gilded.

Another Buddhist attribute, along with the wall painting, sculpture and

chatras, were undoubtedly the discs (probably the lids of reliquaries) decoratedwith lotus flower reliefs. The discs (Fig. 15) were either made of stone or of

baked clay.

Th e scul ptur e also included te rr ac ot ta s : a Bu dd hi st figurin e, a relief

depicting the local Bactrian mother-goddess, and other personages or figures of

animals (for instance zebu-bulls reminding those on the stone capitals).

CERAMICS

The layer that yielded the greater part of ceramics, usually the mostnumerous among archaeological finds, was that with the burials, in which more

than 40 vessels, whole or fitted together from fragments have been discovered.

Typical pieces of glazed or painted pottery found in fragments refer to the

10th—12th or later centuries. Finds that may be dated by the time when the

Kara tepe Buddhist centre was functioning, are scant : oil lamps, several ves-

sels, which would be restored, and relatively few disconnected fragments.

It may, evidently, be explained by the nature of the monument : ceramics is

seldom found in religious or dwelling premises which were looked after, swept

and otherwise cleared out.Among the ceramic objects discovered on the floors of the caves and

ground premises of the Kara tepe Buddhist complexes oil lamps prevailed.

These were simple saucers with a small dent closer to the rim for a fuse (Fig. 16).

35 M. E. М а с с о й : М о н е т н ы е н а х о д к и , з а р е г и с т р и р о в а н н ы е в С р е д н е й А з и и з а в р е м яс 1917 п о 1927 г . И з в е с т и я С р е д а з к о м с т а р и с а , в ы п . II. Т а ш к е н т 1928, 286.

36 The mate rial wa s usually referred to in litera ture as ma rl lime-stone, accor dingto the definition given by the geologist N. H. NIKOLAYEV who inspected the famousA i r ta m s to ne relief r ep re se nt in g t hr ee m us ic ia ns ( see M. E. М а с с о й : Н а х о д к а ф р а г м е н т а

с к у л ь п т у р н о г о к а р н и з а п е р в ы х в е к о в н . э . М а т е р и а л ы У з к о м с т а р и с а , в ы п . I. Т а ш к е н т1933. 16). The erro neousness of this conclusion wa s reve aled b y E. N . AGAYEVA, mem-ber of our expedition, in 1977.


8/15/2019 ACTAANTIQUA_28 (1980)



Some of the decorative clay pottery may, with an adequate degree of accuracy,

also be referred to that early period : vessels with stuck-on moulded representa-

tions of a human head, bowls with lion heads or jugs with handles shaped like

birds or animals (e.g. monkey, Fig. 17). The vessels were made of yellow or grey

clay, over which re d, brownish- crims on or grey slip was laid. The polish ei th er

covered the entire surface of the vessel or formed arches stripes or rhombic net-

work. Some vessels were decorated with stamped pattern placed at intervals.

Stamps common at the time bore representations of a man standing upright,

smaller ones with the so-called «Foot of the Buddha» and also circles, rosettes,

herringbone, etc. At the bottom part of the vessels trickles of slip are sometimes

to be seen.

Ceramics from the burials (Fig. 18) followed the traditions of the preced-

ing period. Red or crimson slip bowls (tagora), one or two handle jugs, basins

and saucers were adorned with polished waves, arches and rhombs or stampedconti nuous small flow er pa tt er n. Irreg ula r flows of slip were, evidently , also use d

as a dec orat ive elem ent . Vessels wit h long curve d spo ut s («tea-pots») may bel ong

to a new type of pottery.

The da ta , based on the st udy of the Ka r a tep e ceramics and its compar ison

with the pottery from other sites of Northern Bactria made by N. S. Sycheva,

member of our expedition, gives sufficient ground to believe that Termez of the

Kushan and post-Kushan periods had its own, local, centre of ceramic produc-

tion.37

COINS

The Kara tepe excavations, since the time they started, have brought out

65 coins (one coin — in 1936 by V. N. Kes ay ev , wh en he was uncove ring t he

manhole into cave 2, five coins — in 1937 by E. G. Pchelina, and the rest, 59, —

in 1961 — 1977 by our expedition). Thirty-five of them has been defined. Chron-

ologically they may be divided into two distinct groups. The first one, con-

nected with the Buddhist complexes, consists of Kushan coins, the second de-

rived from th e layers with the burials, includes Kusha no-Sas anian , post -

Ku sh an (Chi onite ?) and early Hep ht ha li te coin age. All of the m are c opper ,except one early Hephthalite coin which is made of silver.

Of the 15 Kushan coins, 13 have been defined with greater chronological

accuracy i38 1 — as belonging to the coinage of Vima Kadphises (the definition

is conditi onal for th e image on the coin is al mos t ef fa ce d) ; 3 — to t h a t of

Ka ni sh ka ; 3 — of Hu vi sh ka , 5 — of Vasude va, an d 1 — an imita ti on of t he

coinage of Vasudeva. It should be noted that two of the coins of Huvishka have

37

See H. С . С ы ч е в а : К е р а м и к а К а р а - т е п е . К а р а -т е п е IV. M. 1975. 8 8 - 148.38 Definitions given by M. E. MASSON (1937 finds), E. V. ZEIMAL (1961 — 71 finds)a n d В . I . V AH LB ER G ( 1 9 7 2 — 7 7 f i n d s ) .

A r ta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


122 В . STAVISKIY

been found inside a mud brick, and one coin of Vasudeva in a crack in a lime-stone pilaster base, which is important for dating reconstructions of the Karatepe complexes.

Of the 20 coins of the second group 1 was defined as belonging to the

coina ge of the Sasanian Ku sh an sh ah Hor miz d 1, 4 — to the coinage of Vara hra nI (one of them supp osi tional ly) ; 4 — to th e coinage of Va ra hr an I I (t hree ofthem suppositionally) ; 5 — as Kushano-Sasanian coins (a more accurate datingcould not be gained) ;39 5 coins (Fig. 19), with the bust of an unidentified ruleron the averse and tribal mark (tamga) on the reverse,40 might be minted bya local, post- Kus han (pro bab ly Chionite) rul er, and 1 coin (Fig. 20), early

Hephthalite, referred to the 6th century A.D. 4 1 Most of the Kushano-Sasaniancoins (11 out of 14) have been derived from the layer with the burials in thece nt ra l chambe r of th e P- I templ e in th e A complex, while th e Chion ite ( ?)

coins com e from the same layer in th e P - I I tem ple of the В com ple x and in ahiding-place in the D complex. It may be that the coin of Varahran II ( ?) foundin th e gro un d cleared ou t of th e В comp lex is also connected wi th t he burialsin the P-II temple, and the Kushano-Sasanian coin, discovered in the rubble

in the A complex courtyard southern aiwan, — with the burials in the P-I tem-ple. Th e early He ph th al it e coin foun d in cave 3 of the С complex, along w ithanother two small coins (Kushano-Sasanian or Chionite ?). Whether it comesfrom the burials of the 6th century or was brought here by some later visitor isstill to be cleared.

INSCRIPTIONS

Among the major finds that immediately attracted the attention ofscholars to the Kara tepe site were undoubtedly the inscriptions of the Kushanand post-Kushan période. The former, made in black or Indian ink, are to befound on pottery, and the latter were scratched on cave walls and entranceniches, probably upon the decline of the Buddhist complexes but before thepremises were used as burial grounds. The graffiti left by Moslems visiting theplace in the 10th—12th centuries form a group of their own. They have been

studied by S. B. Pevzner, specialist in Arabic languages.

42

Of the inscriptions on pottery we are in possession of only two completete x ts — one on a jug t h a t was preserved almo st intact , and the oth er on thefragments of a vessel.43 The rest have been found in fragments.

3 9 D e f i n e d b y V . G . L T JK O N IN a n d E . V . Z E I MA L .4 0 D e f i n e d b y В . I . V A I N B E R G a n d E . V . Z E I M A L .4 1 De fi ne d by В . I. VAINBERG.42 See С . Б . П е в з н е р : А р а б с к и е н а д п и с и — г р а ф ф и т и и з К а р а -т е п е . К а р а -т е п е . II.

М о с к в а 1975. 8 2- 87 .43 See К а р а -т е п е . IV. М о с к в а 1975. F ig . 11 — 13, and К а р а - т е п е . I I I . M. 1972. Pl .

X X I I I .


8/15/2019 ACTAANTIQUA_28 (1980)



The Kara tepe inscriptions have been studied by the Soviet IndologistsT. V. Grek and V. V. Vertogradova and the specialist in Iranian languages V. A.Livshits — and also by Prof. J. Harmatta from Hungary and Prof. H.Humbachfrom West Germany.44

Most of the inscriptions were written in Indian Kharoshthi and Brâhmï,some in the Kushan script (the language of such inscriptions is commonlyknown as Bactrian). There were also bilingual texts in Brâhmï and Kushansfcripts. Three fragments revealed an «unknown script» which G. Pussman con-ventionally called «Kambodian».45 In the opinion of V. A. Livshits it might bethe script of the Sacas.46

Considerable part of the Kara tepe inscriptions on pottery was made byor in the name of donators.47 In the bilingual (Brâhmï and Kushan scripts) in-scription collected from fragments and on a number of fragments the donátor

mentioned is «Buddhasira dharmakathika» («the Buddha preaching a gooddeed» or «creed» in the Bactrian variant).48 «Saiighapala»49 of the Kharoshthiinscription found in fragments might be the name of another donátor. Someinscriptions are of didactic nature. 5 0 Peculiar is the mention in a number of in-scriptions of the Mahasanghika Buddhist school.51

The Kara tepe graffiti of the post-Kushan period were discovered at theent rance to the P- II temp le — its corridors (southern , eastern and nor ther n)and its northern entrance niche in the В complex court yard . These inscriptionshave been published and discussed in a number of articles. 52 The bilingual brief

44 See К а р а -т е п е . I. М о с к в а 1964. 62 81; К а р а -т е п е . II . M. 1969. 32 - 39, 47 76;К а р а -т е п е . I II . M. 1972. 114-117. 118-121, 122-123; К а р а -т е п е . IV. М о с к в а 1975. 47 52,62—69, 70—81. See also J . HARMATTA : The Bac tr ian Inscript ions a t Kara Tepe. — Cen-tral Asia in the Kushan Period. Vol. I. Moscow 1974. 328.

45 See. G. FUSSMAN : Doc ume nts epigraphiques Ko uch ans . B E F E O t. L XI , 1974.22— 34 ; G. FUSSMAN—M. LE BERRE : Monuments bou ddhiques de la Region de Ka bo ul .MDFA, t. XXII, P., 1976. 94.

46 В . A. Л и в ш и ц : Н а д п и с и и з Д и л ь б е р д ж и н а . Д р е в н я я Б а к т р и я (ed. I . T. KRUGLI-KOVA) М о с к в а 1976. 165—166, not e 14.

47 The donatory n atu re of the inscriptions on pott ery wa s first pointed out to b yJ . HARMATTA, who also off erred the mos t complete in te rp re ta tion : «To the (Buddhis t )

community of the four cardinal points (with the consent of the monks (or tutors) Ma[ha]-sanghika (monk's gift) from Sahghapala». See Я . Х а р м а т г а : К и н т е р п р е т а ц и и н а д п и с е йн а к е р а м и к е и з К а р а -т е п е . К а р а - т е п е . II. М . 1969. 34 35.

48 See Т . В . Г р е к —В . А . Л и в ш и ц : Д в у я з ы ч н а я н а д п и с ь и з К а р а - т е п е . К а р а -т е п е . III.М о с к в а 1972. 118—120; Т . В . Г р е к : Н о в ы е и н д и й с к и е н а д п и с и и з р а с к о п о к К а р а -т е п е .

Ibid. 114—116. Cf. Я . Х а р м а т т а : К и н т е р п р е т а ц и и н а д п и с е й н а к е р а м и к е и з К а р а -т е п е .37—39. For a rgu men ts against the inte rpr eta tio n of the inscr iption as a bilingual see X.Х у м б а х : К н а х о д к а м б а к т р и й с к и х н а д п и с е й н а К а р а -т е п е . К а р а -т е п е . IV. М о с к в а 1975.62 -69 .

49 Я . Х а р м а т т а : К и н т е р п р е т а ц и и н а д п и с е й . . ., 34—35.5! В . В . В е р т о г р а д о в а : О б о д н о й и н д и й с к о й н а д п и с и н а с о с у д е и з К а р а -т е п е . К а р а -

т е п е . IV. М о с к в а 1975. 70 81.51

Ibid., 81 ; Я . Х а р м а т т а : К и н т е р п р е т а ц и и н а д п и с е й . . ., 34.62 В . Г . Л у к о н и н : С р е д н е п е р с и д с к и е н а д п и с и н а К а р а - т е п е . К а р а -т е п е . II. М о с к в а

1969. 40 - 46; В . А . Л и в ш и ц : К о т к р ы т и ю б а к т р и й с к и х н а д п и с е й н а К а р а -т е п е . Ibid.47 — 81 (particularly 50—52, 76 — 81) ; J . HARMATTA: The Bact ri an Wall Inscr ipt ion sfr om Ka ra Tepe. Ibid., 82—125; the same au th or : The Bac tri an Inscripti ons at K ar a


8/15/2019 ACTAANTIQUA_28 (1980)


124 В . STAVISKIY

inscription scratched on the cornice of the vaulted entrance niche of cave 3 in

the С complex53 has also been published. The graffiti in Kharoshthi and Kushan

scripts found in 1977 in the entrance part of the P-V cave of the D complex are

being prepared for publication.

As distinct from the inscriptions on pottery, the Indian graffiti are notnum er ous : 3 in Kh ar os ht hi a nd 2 in Br âh mï . According to T. V. Grek, in th einscriptions in Brâhmï mention is made of «Mahesvara» and «dharma». 54The na-ture of the Kharoshthi inscription is not yet clear.

Two inscriptions in Middle Persian,55 a bilingual inscription (in Kushanand Middle Persian scripts)50 and over a dozen inscriptions in Kushan script 57

(Fig. 21a—b) consist, primarily, of the names of visitors and, in some cases theda te s of their visits. J . H a r m a t t a believes th at among the nam es scratch ed onthe walls of the P-II temple there also were those of the Sasanian Kushan-

shahs.58 V. A. Livshits, however, disagrees with him.59 Deciphering of some ofthe dates has been disputed. It seems that some of the dates may be accepted,such as those given in a Middle Persian inscription — 60 or 61, 60 and in twoKushan inscriptions from the P-II temple — 9761 and 35.02

To conclude, I would like to note that there is no unanimous opinion asto the reading and interpretation of the Kara tepe graffiti which are fragmen-tary and often effaced, and that therefore one should display maximum cautionfor conclusion from the data acquired by their analysis.

Tepe. Central Asia in the Kushan Period, V. I, М о с к в а 1974. 328—333. Т . В . Г р е к :Н о в ы е и н д и й с к и е н а д п и с и и з р а с к о п о к К а р а - т е п е . К а р а -т е п е . III, M. 1972. 117; X. Х у м -б а х : К а р а - т е п е - Т о ч и С у р х —К о т а л . Ibid., 122 — 128 ; H. HUMBACH: Kara Tepe-Tochi-Surkh Kotal. Münchener Studien zur Sprachwissenschaft. 28 (1970) 43—60 ; В . А .Л и в ш и ц : К и н т е р п р е т а ц и и б а к т р и й с к и х н а д п и с е й и з К а р а - т е п е . К а р а - т е п е . IV. M '975.47— 60; В . N. MUKHERJEE : The Epig raph ic Evi den ce fr om Ka ra Tepe an d the So-called Old Saka Era. East and West 21 (1971) 69 — 73.

63 See К а р а -т е п е . IV. М о с к в а 1975. 8 and P l. 10.64 Т . В . Г р е к : Н о в ы е и н д и й с к и е н а д п и с и . 117.65 В . Г . Л у к о н и н : С р е д н е п е р с и д с к и е н а д п и с и . 40— 46.56 See note 63.57 He re according to V. A. LIVSHITS (see В . А . Л и в ш и ц : К и н т е р п р е т а ц и и б а к т -

р и й с к и х н а д п и с е й , 53 60), who bel ieves there were 11 inscript ions in the P-II temple.Probably, there were more.

58 J . HARMATTA: Th e Bact ri an Wall -Inscr ip tions (Nos. 17, 26, 49, 50, 62, 61),94 — 95, 100, 111 — 112, 114—115, 122—124; the same au th or : The Bactr ian I nscrip-t i o n s . 3 2 9 , 3 3 2 — 3 3 3 .

59 В . А . Л и в ш и ц : К и н т е р п р е т а ц и и б а к т р и й с к и х н а д п и с е й . 54, 55, 57, 58, 59, 60.60 В . Г . Л у к о в и н : С р е д н е п е р с и д с к и е н а д п и с и . 41—46.81 J . HARMATTA: Th e Bact ria n Wall- Inscr iptio ns (No. 20), 96—97 X, Х у м -

б а х : К а р а - т е п е - Т о ч и —С у р х —К о т а л , 128; В . Л и в ш и ц : К и н т е р п р е т а ц и и б а к т р и й с к и хн а д п и с е й , 57. J. HARMATTA an d V. A. LIVSHITS hold tha t nu mb er 3 mig ht h ave precededthe date which is then to be read as 397.

82 J . HARMATTA: Th e Bact ria n Wal l-I nscr ipti ons (No. 36), 104—108; X. Х у м -б а х : К а р а - т е п е — Т о ч и —С у р х —К о т а л , 128; В . А . Л и в ш и ц : К и н т е р п р е т а ц и и б а к т р и й -с к и х н а д п и с е й . . . , 59. J. HARMATTA believes tha t in this case the first numbe r was omit-ted and the inscription is to be dated by 435. H. HUMBACH and V. A. LIVSHITS disagreewith him on this point.


8/15/2019 ACTAANTIQUA_28 (1980)



GENERAL HISTORICAL SURVEY

Scholars who were the first to get interested in Kara tepe dated its caves

by the pre-Moslem period. The excavations of 1937 allowed E. G. Pchelina tomake more accurate dating by referring the Kara tepe Buddhist monuments tothe time of the Kushans. The 1961—77 excavations confirmed Pchelina's con-clusions. The fact that the Kara tepe Buddhist religious centre emerged andfunctioned in Kushan times is evidenced by the finds made by our expedition— Kushan coins, ceramics, inscriptions on pottery, and objects d'art. Details ofthe Kara tepe history, however, are not to be easily ascertained.

The emergence of the centre is most probably to be connected with thereign of the famous Kushan emperor Kanishka. The only pre-Kanishka coin

found in 1961, that of Vima Kadphises (thus defined by its dimensions andweight for the images were effaced) 63 is no t enough to disp rove this hyp oth esi s,while there are already three coins of Kanishka among the finds. The earlyceramics of Ka r a tepe draws analogies in th e po tt er y conne cte d with the he yd ayof the Kushan Empire, and not with the period of its foundation. The Kushanscript, based on the Greek alphabet, according to numismatic data, was createdat the time of Kanishka, therefore even the earliest inscription in Kushan scriptfound cannot be referred to a pre-Kanishka period. Inscriptions analogous tothe Indian inscriptions on Kara tepe pottery do not refer (as far as I can judge)to an earlier period either. According to Buddhist traditions Kanishka encour-aged the spread of Buddhism and Buddhist communities beyond the borders ofthe Indian sub-continent. Thus the conjecture as to the emergence of a Bud-dhist religious centre on the outskirts of a big city of Kushan Bactria—Termez —at the time of Kanishka is borne out both by archaeological data and the Bud-dhist tradition.

On the evidence of the finds — three coins of Huvishka and four coins ofVasudeva (one of them, as has already been mentioned, discovered in a crackin the base of a pilaster which was found in situ, pu tt ie d int o a wall so th at onl yone of its lower edges jutted out) — and also the palaeography of the cursiveand half-cursive inscriptions in the Kushan script and the Kharoshth! andBrähml inscriptions of pottery, we may well believe that the Buddhist religiouscentre existed on Kara tepe all through the period of heyday of the KushanEmpire, which covered also the reign of Kanishka's successors. It tallies fullywith the data on the cultural development of the Kushan Empire. According tothe general point of view, Huvishka continued his famous predecessor's policy ofreligious tolerance. It is with his name, for instance, that the Buddhist vihara

63 See. E. В . З е й м а л ь — В . Г . Л у к о н и н : М о н е т ы и з р а с к о п о к К а р а -т е п е 1961 — 1971 г .К а р а - т е п е . II. 1972. 101 ( . I).


8/15/2019 ACTAANTIQUA_28 (1980)


126 В . STAVISKIY

in Jamalpur is connected. Judging by the inscriptions it existed in Vasudeva'stime too, at least as far as year 77 of the «Kanishka era.»64

It is not so easy, however, to determine the cause and the time of the

desolation of the Buddhist complexes. The data collected so far are insufficientfor drawing any definite conclusions as to whether it was destroyed by enemiesor just forsaken in good time by its inhabitants. One might be tempted to ex-plain the destruction or desolation of Kara tepe by the conquest of Termez bythe Sasanian army. Of the appearance here of Sasanian troops we have goodevidence now that Middle Persian graffiti have been discovered in the P-IItem ple . Especially since one of them w as inter pre ted as a te xt w ri tte n by a dibir,

i.e., scribe or secretary at the chancellery of the Sasanian ruler or militaryleader.65 It is not unreasonable to suppose that the mud-brick fire altar builtin th e central (grand) niche in the aiwan of the В complex weste rn cou rty ar dis connected with the presence of Sasanian soldiers here. For the fact that theregion of Termez was under Sasanian rule we also have evidence in Kushano-Sasanian coins from the layer of burials. Nevertheless it would still be an over-simplification to state that the desolation of the complexes was the result of aninva sion or an exodus in antic ipati on of an invasion. Archaeological dat a ra th erprompts the conclusion that the fire altar and the Middle Persian inscriptionsappeared on the grounds after t he В complex and its P- II temp le were aban -done d. However, how muc h time elapsed from the moment th e В complex wasdestroyed or abandoned till Sasanian troops appeared here — a few days or a

nu mb er of years — is un know n.It seems that the time of the desolation of the Kara tepe Buddhist com-

plexes might be determined by the dates given in the graffiti. But, unfortu-nately, in this case, too, it remains a matter for conjecture.

According to H. Humbach, the dates given in the graffiti inscriptions inthe Kushan script — 35 and 97 — might be the years of the Kushano-Sasanianera of the famous inscriptions from the Tochi Valley (the beginning of the erarefers to 232 A.D.). If so, the dates of the P-II temple inscriptions may bedeciphered as 267/268 and 329/330 A.D. 66 If, however, we adopt the interpreta-

tion given by J. Harmatta, the dates 97 and 35 are to be read as 397 and 435of the so-called Old Saka era which started in 67 B.C. and should, therefore, cor-respond to 330 and 368 A.D.67 Besides, we cannot be certain that the era of theKara tepe inscriptions in the Kushan script is the same as that of the Tochiinscriptions or of the post-Kushan inscriptions of the territory of Ancient

64 For inscriptions from the Vihara of Huvishka see L. LÜDERS : M at hu ra Ins cri p-tions. Göttingen 1961. §§ 2 9 -6 3 , 57 -1 05 .

65

See В . Г . Л у к о н и н : С р е д н е п е р и д с к и е н а д п и с и . 41, 43— 44.66 X. Х у м о а х : К а р а -т е п е - Т о ч и С у р х К о т а л . 128.67 J . HARMATTA: The Bactri an Wal l-I nsc rip tio ns. 95 — 97, 104—108, 122 — 125.


8/15/2019 ACTAANTIQUA_28 (1980)



India. All this makes it impossible to determine the dates of inscriptions in

Kushan script with sufficient accuracy.

Different interpretations are also given of the date 60 or 61 in the Middle

Persian inscription. The late W. B. Henning thought it to be a date of the «royalSasanian era» which corresponded to 264/265 A.D.,68 while V. G. Lukonin be-

lieves that it is the 61st year of the reign of Shapur II, i.e., 369/370 A.D.69 In the

first instance the date of the Middle Persian inscription is close to those of the

inscriptions in the Kushan script offered by H. Humbach, in the second — to

the dates given by J. Harmatta. This alone shows that coincidences of this order

might be fortuitous.

We hope that new discoveries will throw light on this problem and help

to establish the era of the inscriptions and, consequently, the exact year in

which they were made.

Until then the inscriptions help us in answering one question only, that

of how long th e period of th e В comple x desola tion las te d, th e period in th e

course of which visitors scratched their names on the walls of this complex.

Since the Kara tepe graffiti in Kushan script definitely belong to a single

era we may assert th at th e int erv al in tim e between the two inscriptions kn ow n

to us is either 62 years (if we accept H. Humbach's interpretation of the dates

35 and 97 as belonging to one century) or 38 (if we agree with J. Harmatta who

reads them as 397 and 435). Correspondingly we may conclude that the period

of desolation of the В complex and, most likely, of th e K a r a tepe Bu dd hi st

centre as a whole, covered not less than 62 or at least 38 years.

I t will be rem emb ere d th a t at th e end of this period t he aba ndo ned pr em -

ises were used for mass burials. The date of the burials found in P-I temple

may be established on the basis of the copper coins of the Kushano-Sasanian

rulers Hormizd I, Varahran I and Varahran II that occurred in them.

The dating of the Kushano-Sasanian coins generally fluctuates within the

lim its of over 100 years, tho ug h thr ee new appr oach es to the problem ha ve

been offered lately to replace the outdated system of E. Herzfeld. 7 0 A. D . H .

Bivar refers their coinage to the period ranging from the middle of the 3rd cen-

tury to the late 4th century, 7 1 R . Gobi — to 371 — 400,72 and V. G. Lukonin— to the 60s of the 4th century — the 30s of the 5th century. 7 3 The divergence

68 See К а р а -т е п е . II . 46, note 24 .89 В . Г . Л у к о н и н : С р е д н е п е р с и д с к и е н а д п и с и , 41, 44, 46.70 E. HERZFELD : Kushano-Sasanian Coins. Memoires of the Archaeological Survey

of India No. 38. Calcutta 1930.71 A. D. BIVAR: The Kus han o-Sa san ian Coins Series. Jo ur na l of tho N umi sma tic .

Society of India 18 (1956) Pl. I. Cf. Central Asia ed. by C. Hambly, L. 1970. 61 — 52.72 Ii . GÖBL : Dok ume nte zu r Geschichte der Iranisch en Hu im en in Bactrie n un d

In di en . Wiesb aden 1967. Bd . I. Ss. 24—25 ; Bd. II. Ss. 47 — 48.73 В . Г . Л у к о н и н : К у ш а н о -с а с а н и д с к и е м о н е т ы . Э п и г р а ф и к а В о с т о к а 18 (1967)

16—33; the same a u t ho r : З а в о е в а н и я С а с а н и д о в н а в о с т о к е и п р о б л е м а К у ш а н с к о й а б -с о л ю т н о й х р о н о л о г и и . В е с т н и к д р е в н е й и с т о р и и 1971, 3, 39—44; the same a ut ho r:К у л ь т у р а с а с а н и д с к о г о И р а н а , М о с к в а . 124 151.

9* Acta Antiqua Academiae Scientiarum Hungaricae 28, 1 9 80

8/15/2019 ACTAANTIQUA_28 (1980)


128 В . STAVISKIY

is the least, however, in relation to the dating of the Varahran I reign. According

to Lukonin this Kushanshah ruled from 384 to 388, and A. D. H. Bivar places

his reign 25 —30 yea rs earli er. If we believe Lu kon in, K us ha ns ha h Hor miz d I

was the predecessor of Varahran land ruled from 381 to 384. Bivar, however,refers the rule of Hormizd I to 277 — 286. I t m ay be not ice d, however, th at

the coin of Hormizd I was found at Kara tepe (in the layer of burials in the

central part of the P-I temple) together (in one complex) with the coins of

Varahran I and Varahran II, which speaks against the dating of this Kushan-

shah's rule to such an early period. Varahran II ruled, according to Bivar,

ar ou n d the year 360, an d according to Lu ko ni n from 389 eve n up to 440. В . I .

Vainberg, however, who agrees in principle with the chronology given by Luko-

nin convincingly proved that Lukonin's dating of the Varahran II coins is

disputable. In her opinion, the coins were minted either by Varahran I or his

predecessors. «At any rate,» she concluded, «we have no sufficient ground tobelieve that the Kushano-Sasanian coins were minted after 389.» 74 This con-

clusion seems rea son abl e eno ugh . In any case th e coins of Ho rm iz d I, Va ra hr an

I and Varahran II form a chronologically compact group and may be referred

to the 50s—60s or 80s of the 4th century. The burials in the P-I temple of the

A complex are dated accordingly.

The post-Kushan coins with the half figure of a ruler on the averse and

his tamga on the reverse found in the burials (or in connection with them) in the

В comple x (P -I I temp le) an d the D compl ex hiding-place, were, evidently,

minted after the break-up of the Sasanian domination in Bactria by a local(Chionite ?) ruler.

Chronological and geographical ties of these coins with the coinage of the

Goboziko group, which, according to Vainberg, were in circulation in Northern

Tokharistan in the period between 389 and 440,75 is as yet not ascertained.

As the data given above shows, it is still impossible to reconstruct with

adequate coherency and in detail the history of the Buddhist religious centre of

Kara tepe. The general outlines of its history, however, may be presented in the

form of the following table (see p. 129).

KARA TEPE AND THE PROBLEMOF BU DDH ISM I N KU SH AN TER ME Z

In the 7th century, Termez and its environs, according to Hsüan Tsang,boasted ten Buddhist monasteries and other monuments and up to a thousandmonks.7 6 One should not, probably, give full credit to the words of the great

74 Б . И . В а й н б е р г : Н е к о т о р ы е в о п р о с ы и с т о р и и Т о х а р и с т а н а в IV—V в в . К а р а -т е п е .III. M. 1972. 134-135.

™ Ibid., 13 0- 13 4, 137, 15 0- 15 1 (Pl. 1).7|> S. BE AL : Si-Yu- Ki. Budd his t R eco rds of th e West ern Wo rl d Tran slat ed fro m

the Chinese of Hiuen Tsiang. L. 1906. Vol. I. 39.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


130 В . STAVISKIY

Tower. 79 On the ot he r site , close to th e no rth- ea st er n corner of th e city, unde r-ground premises with steps leading up have been unearthed. 8 0

The stupa was a giant structure of up to 16 metres in height. Its cylinder-shaped body, 15 metres in diameter, was crowned with a cupola and set on a

rec ta ng ul ar dais of 22 x 16 metres. While differ ing from th e two Ka ra tepestupas in appearance, the Zurmala Tower was similar to them in constructiontechnique : it was built of mud brick and pakhsa and faced with lime and bakedbrick (the latter, probably, used for the sake of economy considering the sizeof the structure). The studies made by G. A. Pugachenkova and Z. H. Hakimovleave no doubt as to its being built in the Kushan period.

The dating was confirmed by the finds of pottery and Buddhist inscrip-tions of the Kushan period discovered in the underground premises. The findsalso bear witness to the Buddhist nature of the ground structures connected

with these premises, of which, unfortunately, nothing came to us.We can only make conjectures as to the composition of the Buddhist

complex of which the Zurmala Tower and the underground premises were apart. But it is highly probable that next to the Zurmala Tower there was a sub-urban monastery similar to the third Buddhist monument on the outskirts ofKushan Termez.

This third monument, known as Faiaz tepe site, was situated north ofTermez at a distance of about one kilometre from Kara tepe. 81 It is in a betterstate of preservation than the other two, and even than Kara tepe. This com-

plex (a typical suburban monastery) consisted of a rectangular building, 110metres in length and 35 metres in width spreading from northwest to southeastand a stupa to the northeast of it that might initially, be surrounded by walls.The monastery building was divided into three functional parts approximatelyequal in size, each with an inner courtyard.

The northwestern part, evidently, consisted mainly of dwelling quartersgiving access to the inner courtyard which had an aiwan along one of its walls.This should have been the monastery proper, which above the monks' hostelincluded other premises.

79 Г . А . П у г а ч е н к о в а : Д в е с т у п а н а ю г е У з б е к и с т а н а . С о в е т с к а я А р х е о л о г и я 1967.. 3, 257—261 and bib li ogr aph y.

80 Dat a on th e 1973 excav atio ns has no t yet been publ ishe d. I hav e had occasionto visit them due to the kindness of L. I. ALBAUM who is carrying out the digs. Forbrief information on th e «basement» and the inscriptions found there see M. И . В о р о б ь е -в а - е с я т о в с к а я : Н о в ы е н а д п и с и п и с ь м о м к х а р о ш т и и з Т е р м е з а . В е с т н и к Д р е в н е й И с т о -р и и , 1974 . 1. 117.

81 The exc ava tio ns of Faiaz-t epe were carri ed out fro m 1968 to 1976 by L. I.ALBAUM. Data has not ye t been published. For brief information see : Jl. И . А л ь б а у м :Р а с к о п к и б у д д и й с к о г о к о м п л е к с а Ф а я з -т е п е (п о м а т е р и а л а м 1968 1972 г г .). Д р е в н я я Б а к -т р и я . Л . 1974. 53 - 58 ; t he same author : Ж и в о п и с ь А ф р а с и а б а . Т а ш к е н т 1975. 90 — 93.I take this opportunity to thank L. I. ALBAUM and deputy director of the Termez

Mu se um V. A. KOZLOVSKIY for allowing m e to visi t th e Faiaz tep e sit e and fa mili arizemyself with the data.


8/15/2019 ACTAANTIQUA_28 (1980)


KARA TE PE IN OLD TERM EZ 13 1

The south-eastern part adjoining a large courtyard housed store rooms,

kitchens with ovens to cook food (e.g. flat cakes) and, probably, refectories.

The central part was, evidently, a place of worship. Its courtyard, was

similar to the temple courtyards of Kara tepe : aiwans along its perimeter with

wooden columns resting on limestone bases and a lowered unroofed pitch in themiddle . W ha t brings it still closer to the Ka r a tepe A and В complexes te mpl e

courtyards was the entrance to a sanctuary in the southern aiwan, and also the

wall paintings uncovered on the walls of the aiwan and inside the sanctuary.

They remind those of Kara tepe but are in a better state of preservation. Here,

too, the paintings pre sen t the Bud dh a and a group of dona tor s : their faces

are depicted in profile and their bodies and feet in a frontal position, 82 which

confirms the assumption we have made in connection with the Kara tepe mur-

als. Clay, al aba ste r and lime-st one scu lptu res fou nd here are also be tt er pre-

served. What was preserved that were the alabaster head of the Buddha orBoddhisatva and a remarkable lime relief showing the Buddha under a tree and

two monks on his right and left.8 3 Bo th pieces of sc ul pt ur e are exe cut ed in t he

best traditions of the Gandharan art.

The Faiaz tepe site have also yielded fragments of pottery with Indian

inscriptions in Kharoshthi and Brâhmî, as well as inscriptions made in Kushanscript (most of them are not yet published).

The comparison of the Faiaz tepe and Kara tepe sites reveals, along withthe similarity of their temple courtyards, certain distinctions in the structure of

these basically synchronous monuments. The former was erected according toa single and distinct plan on an open flat terrain, while the latter was probablybuilt in stages, as separate complexes, on a high hill seen from afar. Faiaz tepewas, therefore, a one-storey compact structure, while the Buddhist complexesof Kara tepe, its ground and cave premises, were scattered over the slopes of thehill, on different levels, sometimes one directly above the other. However thebasic difference between them lay elsewhere, i.e., in their purpose, which, in thefinal analysis, determined also the choice of place.

The builders of the Faiaz tepe Buddhist monastery followed a traditional

architectural pattern and created a complex that answered perfectly the needsof a monastic community completed with dwelling and household premises,mess roo ms and a pla ce of worship. The planning is preci se a nd easily div ine d.

The Kara tepe complexes do not offer us either the precision of the plan-ning nor complete architectural pattern. The only typological distinction wecan point to so far is a temple courtyard with its aiwans and the lowered centralpart. As to temple premises, their planning was each time to be determinedanew (see cave 2, temples P-I and P-II). Much in the structure and purpose of

82 Jl. И . А л ь б а у м : Ж и в о п и с ь А ф р а с и а б а . 90 and Pl. L I .' 3 Ibid. 90 an d Pi s. 31, 32.


8/15/2019 ACTAANTIQUA_28 (1980)


132 В . STAVISKIY

t h e Ka r a tepe religious centre is still to seek by fur th er excava tio ns. Thus, we do

not yet know whether the complexes had monk hostels, refectories and other

premises common in monastic Buddhist communities, and if so, whether each

complex had his own premises of this kind, or they were shared by the whole

communi ty .Of one thing, however, we may speak with certainty — a large number of

Buddhist temples and sanctuaries was concentrated on Kara tepe to be used not

by a single monastic group but, most probably, by a numerous Buddhist com-

munity of the town of Termez. Frequent visits to its ruins and inscriptions left

by the visitors might testify to its popularity as a religious centre. It should be

sa;d that this popularity, and also its proximity to the town now give much

tr oub le to its st ud en ts : the art mon ume nt s of th e neighbouri ng Fai az tepe

preserved better by far than those of Kara tepe.

Nevertheless, ruined as it is by time, and even more by people, the Karatepe site together with other Buddhist monuments of Kushan Termez bears

vividly witness to the spread of Buddhism and also to the wealth of the Bud-

dhist community that was, evidently, numerous and enjoyed much authority

in these parts in the Kushan period.

The nature of this community may be established on the basis of the in-

scriptions on pot te ry of Ka ra te pe . Already at the initial stages of study, J. Har -

matta assumed that the inscriptions made in KharoshthI script were to be con-

nected with the school of Mahasanghika, and those in Brâhmî — with the

Sarvastivada school.84

The assumption was disputed on the grounds that thescript alone could not be a conclusive evidence in referring an inscription to adefinite school of Buddhism. It was noted, in particular, that an inscription inKh ar osh th I belonging to a Sar vas ti vad a school ha d been fou nd in Ha dd a(Southern Afghanistan).85 However, Harmatta 's assumption was confirmed byfurther studies. Among the newly-found inscriptions on pottery there was onewhich contained the word «mahasanghika» (Harmatta had only part of thewor d : « . . . sanghika»).86 Besides, a complete inscription in Brâhmî on a vesseldiscovered in the ground structure above the P-II temple and a number of

fragmentized inscriptions of this order, according to V. V. Vertogradova, bearevidence of a dispute between the followers of the early Hinayanic Arhat idealand adepts of the Mahayanic Bodhisattva ideal which was at that time infil-trating the Hinayanic school.87 Presumably different trends existed and Maha-yanic ideas were current in the Kushan period on Kara tepe and in the TermezBuddhist community, as in other Buddhist centres for that matter.

84 Я . Х а р м а т т а : К и н т е р п р е т а ц и и и н д и й с к и х н а д п и с е й н а к е р а м и к е и з К а р а -т е п е .К а р а -т е п е , II. М о с к в а 1969. 3 2- 39 .

85 G. FUSSMAN : Un e inscript ion K ha ro st hi à Hadda. BEFEO 56 (1969) 5—9.86

Я . Х а р м а т т а : К и н т е р п р е т а ц и и и н д и й с к и х н а д п и с е й н а к е р а м и к е и з К а р а -т е п е . 35.87 В . В . В е р т о г р а д о в а : О б о д н о й и н д и й с к о й н а д п и с и н а с о с у д е и з К а р а -т е п е . К а р а -т е п е . IV. М о с к в а 1975. 70—8 b


8/15/2019 ACTAANTIQUA_28 (1980)



The Kara tepe inscriptions in which mention is made of dharmakathikaBuddhasira, give grounds to assume that this worthy donator-monk mighthave been like Dharmamitra of the Tibetan colophon, a learned interpreter ofBuddhist texts. Data on Buddhist monks from Bactria indulging in translation

in China in the 2nd—4th centuries 88 makes it all the more probable that inBuddhist communities of Kushan Bactria, in Termez community in particular,texts were translated from Sanskrit into the local, Bactrian language. It is notunlikely that Buddhaáira, whose bilingual inscriptions bespeak the knowledgeof Indian, as well as Bactrian languages, might have been one of such trans-lators.

The Kara tepe site, its decoration and the finds made during the excava-tions reveal the syncretistic nature of the art of the Kushan Empire, and alsoof Buddhism of the Kushan Termez (and of the entire Bactria).

Stupas and cave premises (A and В complexes) were derived from In di a,along with Buddhism, whereas the planning of the cave temples is alien to the

ancient Indian tradition and is rather to be traced to the religious architecture

of the Middle East, where similar fire temples could be found consisting of a cell

and the corridors encircling it.89 As to the temple courtyards of Kara tepe, they

go back to the Rhodos-type East Hellenistic courtyards that became common

in Bactria and the neighbouring Parthia already in the 3rd—2nd centuries B.C.

Vivid illustrations are the large courtyard of the Ai Khanoum palace complex 9 0

and the original courtyard of the Square House in the Parthian Nica. 91

The Kara tepe wall paintings are equally syncretistic (as distinct from theBuddhist sculpture of Kushan Termez, which, as is evidenced by the finds,

followed the Indian, or, to be more exact, Gandharan, tradition). The images of

the Buddha and the monks are executed in Indian manner, while the donators

are presented in the style of the Kushan dynastic art, which spread not from the

Indian subcontinent, like Buddhism, but from Bactrian territory and may be

examplified by the clay sculptures of Khalchayan 9 2 and separate earlier finds.9 3

88 The la tes t brief dat a based ma in ly on the works by P. CH. BAGCHI, In di a an dCentral Asia, Calcutta, 1955 and E. ZÜRCHER, The Buddhist conquest of China, Leiden,

1966, may be found in the book by Б . А . Л и т в и н с к и й and Т . И . З е й м а л ь : А д ж и н а -Т е п а ,М о с к в а 1971. 114.89 Nu me ro us ex amples are c on tai ne d in the fu nd am en ta l work : K. SCHIPPMANN :

Die iranischen Feuerheiligtümer. В . — N. Y. 1971.90 P. BERNARD : Aï Kh an ou m on th e Oxus : a Helleni stic City in Central Asia .

Proceedings of the British Academy 53 (1967) 78—80. See also : Fouilles d'Aï Khanoum.I. Rapport préliminaire publie sous la direction de P. Bernard, P., 1973.

91 See Г . А . П у г а ч е н к о в а : И с к у с с т в о Т у р к м е н и с т а н а , М о с к в а 1967. Pl. on p. 35 ;Б . Я . С т а в и с к и й : И с к у с с т в о С р е д н е й А з и и . Д р е в н и й п е р и о д . М о с к в а 1974, Fig. 37.

92 See Г . А . П у г а ч е н к о в а : С к у л ь п т у р а Х а л ч а я н а . М о с к в а 1971; cf. Х а л ч а я н . Т а ш -к е н т 1966 by the same author.

93 See Б . Я . С т а в и с к и й : К у ш а н с к а я Б а к т р и я : п р о б л е м ы и с т о р и и и к у л ь т у р ы .М о с к в а 1977, 162, 224; M. М . Д ь я к о н о в : А р х е о л о г и ч е с к и е р а б о т ы в н и ж н е м т е ч е н и и р е к иК а ф и р н и г а н а (К о б а д и а н ) 1950 1951 г г .). М И А С С С Р 37. М .-Л . 1953. 286; О . В . О б е л ь -

ч е н к о : К у ю -М а з а р с к и й м о г и л ь н и к , — Т р у д ы и н с т и т у т а и с т о р и и и а р х е о л о г и и А Н У з б е к с -к о й С С Р , в ы п . 8., Т а ш к е н т , 1956, 2 23 -2 24 .


8/15/2019 ACTAANTIQUA_28 (1980)


134 В . STAVISKIY

Moreover, such details in the representation of the Buddha as the nimbus and

the halo around the entire figure can hardly be traced to Indian tradition.

A. Grünwedel and A. Foucher noted in their time that such attributes wereex tr em el y rare in th e art of Gan dha ra. A. Grünwede l assumed t ha t the ni mbus

and especially the halo in Indian sculpture were, evidently, derived from paint-ing.94 The Kara tepe wall paintings that may be dated to the time of Kanishka,on whose coins the image of the Buddha with the nimbus and the halo firstoccurs, confirm the assumption of the famous German scholar. It is appropriateto ask here was it not in Bactria that this iconographie type first appeared ?

It might be interesting to note that Buddhist temples similar to those ofKara tepe in their planning, as well as representation of the Buddha with thenimbus and the halo around the whole body become common in Eastern Tur-kestan and then in the Far East in the post-Kushan period, which is probably

the result of the impact of the syncretistic Buddhism of Kushan Bactria.The syncretism of culture and art — creative assimilation of different

cultural and artistic traditions, which, embodied in the work of art, present anorg ani c combinat ion of var iou s art ist ic elemen ts — ma y be witnessed in th eKara tepe architectural decoration а з well. A vivid ex am pl e is the two-belt

capitals of the decorative pilasters.95 The reliefs placed one above the other

bring them closer to the Roman and early Byzantine capitals, and distinguish

th em from Gand haran capit als.Th e half-figure against the acan thu s background

may be traced to the classic tradition, the trefoil on the first capital and the

garland on the second have analogies in the art of Gandhara, while the slantedeyes of the girl holding the garland may be a local touch, a reflection of aesthetic

notions of the nomad conquerors of Bactria. The composition of the upper belt

(the central animal in front view and the two others flanking it with heads

turned outwards) was known in ancient Indian art. However, capitals with

sculptured animal figures, protomes, may be traced to ancient Persian architec-

ture. At the same time, the motif of a beast of prey assailing a bull was wide-

spread not only in the Ancient East but also in the world of the stoppes. From

there also comes the image of a horned and winged griffon, dep ict ed in the cen tre

of the upper belt of one of the capitals.

Of lesser artistic value, but no less peculiar is a fragment of a ceramic ves-

sel with a handle in the shape of the figure of a monkey. 96 Zoomorphic handles,

judging by the area of the finds of this kind were t radi t ional with the peoples

94 See A. GRÜNWEDEL : Bud dhi st isc he K uns t in Indi en . В . —Lpz., 1920. S. 8 3;A FOUCHER: L'Art gréco-bouddhique. T. II, 1. P., 1917. 370.

95 For details see : В . J . STAVISKY : T he Capi tal s of Anc ien t Ba ct ria . Ea st andWest, vol. 23, No. 3 — 4, R om a 1973. 265 277 ; See also Б . Я . С т а в и с к и й : К у ш а н с к а яБ а к т р и я . 234 236. Neith er of the works include the data on the second Kara-tepecapital.

96See К а р а - т е п е . III. 59 and Pl. X VI I ; Б . Я . С т а в и с к и й : К у ш а н с к а я Б а к т р и я .236 — 237.


8/15/2019 ACTAANTIQUA_28 (1980)



of the East European steppes, Kazakhstan and Northern Central Asia. 97 In theVolga region zoomorphic handles are to be found as far back as the 2nd—1stcenturies B.C.98 Zoomorphic handles in Kushan Bactria are definitely a sign ofthe influence of th e notions of the stepp e tribes. However, t he Ka r a tepe han dle

differs fro m zoomorphi c handles of the ste ppe world. The la tte r usually dep ict edrams or other local animals with heads turned up to the mouth of the vessel,which, it was believed, had to guard the contents of the vessel from evil spirits.Represented on the Kara tepe vessel is the monkey, a traditional image ofIndian Buddhist art. The head of the animal is turned away from the vessel,which makes the figure rather a decorative element. This piece of handicraftsof Kushan Termez is thus a vivid illustration of intermingling of differentartis tic tra dit ion s — the Indian and th a t of the step pes — me ant prob ably toplease the tastes of the local Buddhist community.

It should be stressed that handles analogous to that of the Kara tepevessel99 are not to be found either in the Eurasian steppes or in the Indian sub-continent.

The present article does not lay claim to being an exhaustive analysis ofthe finds made on Kara tepe in the course of the 1937, and 1961 — 77 e xcav atio nseasons, or a complete summary of the conclusions to be drawn on its studies.My purpose has been to familiarize the reader with the major results of severalyears of work on this large Buddhist religious centre of the Kushan period onthe bank of the Oxus.

Moscow.

97 For the rece nt d at a on ceramic vessels with zoomo rphic hand les see : Б . A.Л и т в и н с к и й : К а н ю й к о г о -с а р м а т с к ь й ф а р н . Д у ш а н б е 1968 (particularly 3—13). See alsoan enlarged and amended edition of the work in German in Central Asiatic Journal16 (1972) 2 4 4 - 2 8 8 ; 20 (1976) 47 — 73.

98 See M. П . А б р а м о в а : О к е р а м и к е с з о о м о р ф н ы м и р у ч к а м и . С о в е т с к а я а р х е о л о г и я1969, 2, 69.

99

An analogou s fin d lias been made in th e vicinity of Termez a t t he Sho r-te pesite. See Г . А . П у г а ч е н к о в а : Н о в ы е д а н н ы е о х у д о ж е с т в е н н о й к у л ь т у р е Б а к т р и и : И з и с т о -р и и а н т и ч н о й к у л ь т у р ы У з б е к и с т а н а . Т а ш к е н т 1973 121, 123, Fig. 40а .

A r ta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


143 J . WOLSKI

LES SOURCES DE L'EPOQUE HELLÉNISTIQUEET PARTHE DE L'HISTOIRE D'IRAN

DIFFICULTÉS DE LEUR INTERPRÉTATION ET PROBLÈMES DE LEURÉVALUATION

Pour aborder les problèmes montrés dans le titre, il me semble indiquéde m'en remettre à deux propos d ' importance et qui sont liés intimement avecle sujet en question. Et tous les deux, ce qu'il me paraît propre de souligner, ont

été exposés ici, à Budapest, pendant les conférences consacrées à l 'histoire del'Asie Centrale préislamique. C'est M. le Professeur Gignoux qui a évoqué lerôle et l ' importance des sources orientales, uniquement destinées à recon-struire le cours de l 'histoire orientale. 1 Etant en principe d 'accord avec sonexposé, je me suis réservé, et j 'y tiens encore aujourd'hui, une exception dontla validité ne me semble pas possible d'être mise en doute aussi à l 'avenir. Ils'agit, bien entendu, de l 'époque parthe et de celle, courte qu'elle soit, qui laprécède et qu'on se plaît d 'appeler hellénistique. 2 La tâche qui m'a été confié,et c'est ici que je dois présenter mes remerciements à M. le Professeur János

Harmatta, rédacteur en chef de la Collection des sources sur l 'histoire del'Asie Centrale préislamique, me pose de nouveau et cette fois pas du côtéthéorique, général, mais pratique, en vue de la nécessité d'élaborer le volumedeux de cette Collection, devant le problème dont il a été question plus haut.

Les sources dont nous disposons pour l 'époque hellénistique et parthesont, pour la plus grande partie, ou bien grecques ou bien latines. En comparai-son avec le laps de temps qu'englobe l'histoire de l 'Iran depuis la mort d'Ale-xandre le Grand jusqu'à la chute de la monarchie des Arsacides, donc de 323av. n. e. à 226 de п . е . , donc cinq siècles et demi, les sources archéologiques,

à défaut de fouilles ayant pour but de dégager les monuments de cette époque,ne peuvent entrer que de façon restreinte en ligne de compte pour reconstruirecette phase de l 'histoire de l ' Iran. 3 Cela ne veut pas dire que nous ne disposionsqu e de sour ces écr ite s gre cqu es et lat ine s. Cert es, il y en a un assez gr an d no mb re ,

1 Pe nd an t la conférence tenue à Buda pes t en 1976.2 Cf. J . WOLSKI : Po in ts de vue sur les sources gréco-latines de l'époque part he

dans : Prolegomena to the sources on the History of Preislamic Central Asia. Budapest1976 (publié 1979). 17 — 26.

3Cf . R . GHIRSHMAN : L'Iran des origines à l' Is lam. Par is 1951. A. G. KOSCHE-LENKO : Ku lt ur a Pa rfi i. Moscou 1966, qui donn ent l'é tat do la quest ion.


8/15/2019 ACTAANTIQUA_28 (1980)


138 J. WOLSKI

pour n'énumérer que les auteurs arméniens d'une valeur douteuse,4 les chro-ni qu eu rs chinois, mais don t les donné es difficiles parfois à int erpr éter por ten tseulement sur un secteur de l'histoire de la Bactriane. Pour en finir, il faut serapporter aux sources juives, à la tradition indienne dont l 'importance est

aussi à pro uve r. Po ur fer mer la liste globa le, nous devo ns t eni r c om pt e d'in -scriptions, semées à long intervalle,sur toute l 'histoire de l 'Iran, de papyrus, deparchemins, de textes cunéiformes provenant de la Babylonie.5 Mais, à vrai dire,cette variété des sources ne doit pas nous tromper sur leur importance et leurrôle dans la reconstruction de l'histoire de l'Iran à l'époque hellénistique etparthe ; sans les auteurs grecs et latins avec leur continuité du récit qui faitdéfaut ailleurs, le processus historique dans cette région apparaîtrait commevide, comme dénué de faits, de liaisons intrinsèques.

Et c'est pourquoi il nous faut nous poser de nouveau la question capitale :

quelle est la valeur des sources gréco-latines, qu'est-ce qu nous pouvons en tirerpour être en état de répondre à la tâche posée devant nous. Il va de soi, et il nenous semble pas nécessaire de le souligner, qu'elles représentent, et elles ledoivent, bien sûr, le point de vue macédonien ou romain. 6 Issues du milieugrec et romain, ces sources, leurs auteurs, se sont laissés conduire par leurraison d'Etat, habitués, et qui s'en étonne, de traiter les peuples de l 'Orientcomme inférieurs en comparaison avec les leurs, comme barbares. Cetteattitude, façonnée et maintenue le long des siècles, a influencé les tendancesexposées dans la science, a donné à l'histoire parthe un aspect partial, conçu

du p oi nt de vue des Séleucides d' ab or d, des Rom ai ns ensuit e : les élém ent spa rt he s en fu re nt pres que exclus. Un fa ct eu r additionn el dont l 'im por tan ce estpo ur nous clair c'est le man que , du côté des auteu rs grecs et latins, d'o rie nta tio ndans les institutions iraniennes, la mauvaise traduction et explications destermes juridiques propres à la société iranienne,7 phénomène dont l 'apparitionremonte, du reste, à l 'époque des Achéménides.

4 C'es t seul emen t, au ta n t que je sa che , B. P. LOZINSKI : T he Orig inal Ho me la nd

of the Parthians. 'S-Gravenhage 1959, qui s'est prononcé en faveur, quant à sa valeur,de cette couche des sources.5 Pour cette catégorie de sources, consulter N. C. DEBEVOISE : A Political History

of Parthia. 2 ed. Chicago 1968. Les xecherches à venir apporteront, certainement, lasolution du problème.

* De la nomb reus e li tt éra tu re rela tiv e à cet te atti tu de, on ne peu t citer que lespositions les plus typiques comme J. DOBIAS : Les premiers rapports des Romains avecles Pa rt he s et l'occupa tion d e la Syrie. Arc hi v Orien táln i 3(1931) 212 — 256, H . H . VONOSTEN: Die Wel t dor Per se r. 3 ed. St ut tga rt 1956. 118 et pass im , J . B. BURY : Th eHell eni sti c Age and t he His to ry of Civilisat ion dan s : The Hellonistic Age. 2 ed. Cambrid ge1968. 1 -31, qui, expressis verbis, traitent les Parthes de barbares.

' C'est J. WOLSKI : L 'E t at pa rt he d es Arsacides, Essai de rec ons tit uti on de leurévolution intérieure. Palaeologia 7 (1958/9) 91 — 98, qui a souligné cet as pec t des source sgréco-latines. Id., avec une ample documentation, Le classi inferiori délia popolazione

nel regno dei Parti dans : Storia sociale ed economica dell'età classica negli studi polacchicontemporanei. Milano 1976. 55 — 61.


8/15/2019 ACTAANTIQUA_28 (1980)


LES SOURCES DE L'ÉPOQUE HELLÉNISTIQUE ET PARTHE 139

Il est bien significatif que ce n'est que ces derniers temps que la concep-tion très bornée de l'histoire de l'Iran sous les Arsacides, du complexe iraniendans le cadre de l'histoire d'Alexandre le Grand et de ses successeurs, des Séleu-cides, commence à prendre une autre allure.8 Probablement, il faut en chercher

la cause dans le changement de l 'appréciation du rôle des peuples orientaux,des cultures extra-européennes, opéré aujourd'hui non seulement dans le do-maine purement scientifique, mais aussi dans la vie politique et économique.Pourtant, ce revirement globalisant ne tient pas compte d'une situation parti-culière demandant un traitement détaillé comme c'est le cas avec l 'histoirede l'Iran à l'époque hellénistique et parthe surtout. Pour faire ici un pas enavant, pour débarasser le tissu de l 'iiistoire iranienne des déformations accu-mulées le long des siècles, il faut trouver une approche approfondie, toujoursconscient d'un défaut inné à toutes les recherches relatives à l'histoire de cette

époque, à savoir des sources indigènes. C'est ici qu'on se heurte à un obstaclecapital qu'on doit surmonter dans les cadres des possibilités, bien entendu.Pour créer une atmosphère plus favorable à la tâche que nous nous sommesposés et qui demande encore des travaux assidus, il nous faut reconsidéreravant tout une nouvelle mise au point qui s'était formée dans l'aperçu du pro-cessus historique. Au lieu d'une discontinuité, parfois conçue sous l'impressiondes fa it s poli tique s, le plus fac ile men t saisissables et, en conséq uenc e, s'i mpo -sant avec le plus de force, on cherche sous cet aspect extérieur des facteursmoins sujets à la transformation,plus stables et c'est pourquoi plus importants,

plus jirêts à nous faire une idée de la continuité des principaux courants duprocessus historique."

Et c'est ici que nous pouvons nous rapporter aux résultats des recherchesqui contribuent, sous maints aspects, à établir une autre approche à l 'histoirede l'époque qui a suivi la conquête de l'Iran par Alexandre le Grand. C'estl 'opinion bien séduisante et marquée d'un nombre de références de PierreBriant de l 'échec du conquérant macédonien en vue de s'attirer la bienveillancedes Perses, des Iraniens en entier.1 0 La preuve de son mécontentement futl'incendie de l'ensemble des palais à Persépolis. Grâce à cette opinion très

attrayante nous sommes en état de constater d'un refus de la part des Iraniens

8 Po ur un e c once ption glo bal e d u pr obl èm e voir FR. ALTHEIM et R . STIEHL :Geschichte Mittelasiens im Altertum. Berlin 1970.

9 C'est J . WOLSKI : L' Ir an da ns la poli tiqu e des Séleucides, Fests chr if t J . Ha r-matta ; A. A. A. S. H. 25 (1977, publié 1980) 1 7 — 25, qui a expos é ce poi nt d e vu e po url'adapter à l 'histoire de l 'Iran.

10 1'. BRIANT : Conquête territoriale et stratégie idéologique : Alexandre le Grandet l 'idéologie mona rch ique ae héméni de. D an s : Actes du colloque inter nat iona l surl'idéologie monarchique dans l 'antiquité, Zeszyty Naukowe Uniwersytetu .Tagiollonskiego.Pra ee Histor yczne 63 (Cahiors scienti fiques de l 'Université Jagello ne, Tr av au x Histo ri-ques 63). Cracovie 1980. 37 — 83. P . BRIANT, appu yé sur u ne a naly se des so urc es tr èspénétrante, a montré les méthodes capables de nous réveler l 'existence de la traditioniranienne cachée dans les sources gréco-latines.

Acta Antiqua Aeademiae Srientiarum Hunguricne 28, 1080

8/15/2019 ACTAANTIQUA_28 (1980)


140 J. WOLSKI

de se subordonner de bon gré, de la volonté de résister, d'entretenir l'espritd'indépendance vis-à-vis du conquérant. Héritiers d'un glorieux passé, lesPerses et les autres Iraniens, comme le montre la résistance témoignée par lesBactriens et les Sogdiens, sans parler des peuples habitant l'arrière-pays de

l'Iran, ont fait cause commune contre l'envahisseur macédonien. Ce ne sontpas les nouvelles sources capables de nous donner des détails pour combler letissu historique mais ce sont les données qui nous font apparaître l'attitude desIraniens, certainement de l'aristocratie foncière, de son activité qui contrasteavec les opinions tant de fois suggérées par les savants modernes de leur passi-vité. Ces considérations sont à même de nous livrer la clef pour résoudre maintsproblèmes dans l'avenir.

Si les propos de Briant mettent en lumière le côté idéologique, très nég-ligé dans les recherches, de la société iranienne dans son comportement envers

les dynasties macédoniennes ce qui permet de voir d'un autre œil le contenudes sources gréco-latines, ceux qui ont été présentées, aussi ces derniers temps,par Heinz Kreissig11 donnent accès au milieu économique de l'Iran à l'époquehellénistique, milieu continué aussi, sans doute, à celles des Parthes. De sesrecherches on peut tirer la conviction que les nouveaux maîtres n'ont introduitque peu de changement touchant la structure économique des pays conquis enOrient, donc aussi en Iran. En particulier, ils ont retenu les modes de produc-tion hérités du passé. La force des institutions façonnées depuis des sièclessinon des millénaires, a conservé sa vigueur malgré les vicissitudes des temps

et a créé la base de la nouvelle structure politique en Iran issue de la conquêtede ce territoire par les Arsacides. Cependant, il faut s'en rendre compte, lespropositions de Briant et de Kreissig ne nous fournissent pas de détails, maiselles forment une nouvelle approche à l'histoire de l'Iran dans la phase quinous occupe. Si l'on veut élaborer un commentaire répondant aux exigences destemps actuels, il ne suffit pas, comme il me semble, d'expliquer sèchement lesfaits politiques, il faut les interpréter et les appuyer, en analysant les sourcesgréco-latines, au moyen d'information tirées d'autres couches du processushistorique. Bien sûr, cela ne peut pas être de règle, pourtant sans en tenircompte, sans en faire mention dans l'occurence, ce commentaire ne présente-rait aucun progrès, si important dans la science.

Je tiens à exposer ce caractère d'études visant à approfondir notre con-naissance de l'époque en question parce que c'est grâce à cela que nous trouvonsune approche convenable à nos propres tâches. Le manque de sources iraniennes,la division inégale des relations gréco-latines, où seul Justin donne un récitcontinu des événements, depuis les origines des Parthes jusqu'au règne d'Au-

11 Quan d il s'a git d u problèm e contr over sé de l'in fluence exercé e par le milieuhe ll én iqu e en Asie An té ri eu re d an s le dom ain e socio- économique, voir H. KREISSIG :

Gesellschaft und Wirtschaft im Seleukidenreich. Berlin 1978, qui se prononce décidémentco ntr e l'opinion exagérée de ce tte influence en ex po sa nt le rôle des fact eur s trad ition nels.


8/15/2019 ACTAANTIQUA_28 (1980)



guste, tout cela nous incite à nous pencher sur le terrain jusqu'ici inexploitémais pr op re à nous do nn er des rens eign emen ts précieux . Dégag er le sens véri-table des sources gréco-latines et, ce qui est d'importance, d'en tirer les infor-mat io ns pr ov en an t du milieu par the , cela, à mo n avis, se pose de va nt nous co mmeétant d'un intérêt majeur, si nous voulons construire une base solide capablede soutenir la reconstruction de l 'histoire de l 'Iran dont nous nous occupons. 12

Une fois déjà, et c'est ici, à Budapest, que j'ai essayé de mettre en relief lavaleur de la tradition gréco-latines pour l 'histoire des Parthes. 1 3 Mon proposs'est ramené, cette fois, à vérifier, en vertu de l'analyse de quelques exempleschoisis, la valeur de Strabon et de Justin pour la haute époque de l'histoire del'Iran. La critique dans bien des cas a pu révéler à un haut degré de véracitéles in for mat io ns fou rni es pa r ces au te urs . Cela ne ve ut pa s dire qu 'o n n' ytrouve pas de défauts, signalés déjà plus haut, c'est-à-dire du manque de pré-

cision quant il s'agit de termes juridiques, d'institutions politiques et socialespropres à l 'Iran.

En trouvant cela conforme à nos tâches, il me semble juste d'élargir notreanalyse en la soumettant à des démarches répondant aux nouveaux buts quenous sommes proposés. Bien entendu, ce qu'on a dit plus haut sur une nouvelleconception de l 'histoire de l 'Iran sert à nous introduire dans un climat différent,mal conçu jusqu'ici et adopté dans les recherches. Cependant, pour approfondirnotre connaissance de l'époque, pour gagner un élément additionel, apte à dis-siper les malentendus surgis à propos de la barbarie des Parthes, leur infériorité

culturelle en comparaison avec la supériorité supposée des Gréco-Macédonienset des Romains,1 4 il nous faut faire une chose de plus. La critique textuelle dessources ne suffit pas à nous satisfaire dans ce domaine. Je ne voudrais pasm'en remettre à mes recherches précédentes relatives à l 'époque du Haut-Empire parthe, donc de cette phase de son histoire qui finit, du point de vuede Rome, avec l 'activité d'Auguste dont la politique consistait à établir unmodus vivendi avec les Parthes.1 5 Et il me semble, d'accord avec le déroulementdu processus historique chez les Parthes, de mettre, et de leur part, la césureentre le Haut- et le Bas-Empire en 20 av. n. é. environ. C'est peu à peu que

commence en ce temps-là de se déssiner le changement dans la structure de laroyauté parthe, arsacide exposée de plus en plus aux attaques de l 'aristocratie

12 II est bien clair que c'est do ce ma nq ue do sources iraniennes qu e pro vie nt ,dans les recherches, cet aspect proromain dans l'histoire dos relations romano-parthes.Voir, p. ex., dernièrement, M. G. ANGELI BERTINELLI : Roma о l 'Oriente. Ro ma 1979.

13 Cf. inon article ci té plus ha ut , Poi nt s de vue sur les sources gréco-latines del'époque parthe.

14 C'est à ce pro blè me que j'ai consacré ma com mun ica tio n au VIe Congrès Inter-nat ion al d'E tu de s Classiques, Madrid 1974, sous le tit re : Les Pa rt he s et leur at ti tu deenvers le monde gréco-romain. Bucurcçti — Pa ri s 1976. 455 — 462.

15

Je ti ens ici à ren voy er à mon étu de Ir an und Ro m, Versuch einer h istoris chenWe rt un g der gegenseitigen Beziehung en. AN R W I I 9. 1. Berlin —New York 1976. 195214, où j'ai présenté l'état de la question.

10 Acta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


142 J. WOLSKI

foncière, des puissantes familles parthes, inspirées par l'inimitiée de la monar-chie absolute considérée comme oppressive, comme tyrannique. D'autre part,en vertu du processus intrinsèque, on voit s'accomplir au sein de la société ira-nienne un retour à la tradition vieille-perse, aux traditions des Achéménides,

ensevelies pour quelque temps sous la couche superficielle d'apports hellé-niques.16

En comparaison avec l'époque du Haut-Empire, cette phase de l'histoireparthe, assombrie par les défaites subies de la part des Romains, par la tripleprise par eux de Ctésiphon, capitale parthe, est assez mal connue, si nous l'en-visageons, bien entendu, du côté des Parthes. Contrairement à l'époque duHaut-Empire, nous ne disposons pas, pour l 'époque du Bas-Empire, d'unrécit continu, comparable à celui de Justin. Il nous faut donc nous contenterd'informations exposant, du point de vue de Rome, les exploits des armes

romaines, des empereurs romains et où on ne tient compte que de façon trèsfaible des conditions socio-économiques en vigueur dans l'Etat des Arsacides.Et c'est pourquoi, comme il me semble, on doit d'autant plus mettre l'accentsur la tradition gréco-latine, en extraire des données accusant la provenanceparthe. C'est à mon avis l'unique vois qui puisse nous conduire vers une plusgrande confiance à l'égard de la tradition romaine, nous inspirer plus de foidans sa vérité, sapée, et qui s'en étonne, pour le III siècle de n. è., par la dé-couverte des Res gestae divi Saporis.17 Et c'est par cela qu'on peut aller àl'encontre de la suggestion avancée par le professuer Gignoux de donner la

priorité pour reconstruire l'histoire de l'Orient aux sources orientales, cettefois parthes. Ce serait, du reste, demander trop à cette étape des recherches,de parvenir déjà à des résultats plus importants, d'épuiser le problème qui nevient que d'être posé. Quand même, il y a quelques points de repère assez signifi-catifs dont l'impression nous prédispose à suivre la voie une fois choisie.

Dans mes études à mettre de la lumière sur le problème de l'idéologie desArsacides, sur leur capacité, tant de fois mise en doute, de se laisser conduiredans leur politique par des plans d'envergure, je me suis penché sur une phrasede Tacite, Ann. VI 31, qui mentionne un événement ayant trait à l'histoire

des relations romano-parthes. Il s'agit d'une lettre adressée par le roi partheArtaban II à l 'empereur Tibère.16 La voi ci: missis qui rep osc eru nt ; simulveteres Persarum ac Macedonum terminos, seque invasurum possessa primumCyro et post Alexandro per vaniloquentiam ac minas iaciebat. Sans attarderaux expressions issues sans doute du milieu romain et témoignant de la manière

16 Cf. J . YVOLSKI : Les Ac hém éni des et les Arsaci des, Cont ri bu ti on à l'h is toi rede la formation des traditions iraniennes. Syria 43 (1966) 65 — 89.

17 Po ur une derni ère mise a u p oi nt , voi r M. G. ANGELI BERTINELLI : R o ma >•l'Oriente. 103 ss., où on trouve citée la littérature la plus récente relative à cette question.

18 Cf. J . WOLSKI: Les Aché mén ides et les Arsac ides. Syri a 43 (1966) 65 — 89,où cette question a été analysée en détail.

Acta Antiqua Academiae Scientiarum Hungaricae 28 ,1980

8/15/2019 ACTAANTIQUA_28 (1980)



habituelle du dédain avec lequel les cercles impériaux traitaient les Parthes,et d'autant plus, sur le témoignage très convaincant de la pensée politique desArsacides, se pos ant en successeurs des Achéménides, il fa ut tir er de cet te ph ra seune conclusion valable pour nos recherches. C'est que, dans les archives romai-

nes, probablement de l'époque impériale, on a conservé un nombre de textesofficiels parthes, utilisés ensuite par les écrivains romains dans les parties per-tinentes de leurs récits relatifs aux Parthes. Cet exemple confirme l'existencede tels documents ce qui ne semble être une preuve de premier ordre, comptete nu de ce peu dont nous disp osons ; cependant , à fort ior i, les gai ns qu' il snous apportent, sont encore plus multiples. D'abord ils nous inspirent de laconfiance dans la véracité des sources romaines, grecques et latines, appuyées,dans une mesure qui nous échappe, bien entendu, sur une quantité de docu-ments, lettres, traités, rapports etc., étant la preuve de l'activité diplomatique

du milieu arsacide.19 S'il en est ainsi, et il n'y pas de raison d'en douter d'aprèsl'exemple cité plus haut, tous ce documents ont été transmis à la postérité parl' intermédiaire de l'historiographie romaine.

Si nous ne pouv ion s citer que la ph ra se de Tacite men ti onné e ici po ur fai revaloir l'idée expri mée ci-dessus, on n'en a pu tirer q u' un e conclusion l imi tée,sans pouvoir l'utiliser dans le but de créer une conception plus large, plus géné-rale. Cependant, nous ne nous trouvons pas dans une situation exceptionelle,au contraire, il y a d'autres cas portant dans le même sens. C'est à l'occasionde traiter le problème du Caucase et de la Mer Noire dans la politique de Rome

et des Parthes, que j'ai pu me référer à une lettre d'un souverain parthe dontla teneur nous a aussi été transmise par Tacite.20 Cette fois, le personnage prin-cipal est le roi parthe Vologèse I qui, à l'occasion de l'intronisation de Tiridate,son frère, et du règlement de l'affaire arménienne a précisé dans une lettreadressée à l'empereur Néron les fondements, les directives de la politique del ' E t a t pa rt he face à l'Armé nie. L a te ne ur de Tacite, Ann . XV 24, est la sui-va nt e : se (Vologesis) priora et tot ie ns ia ct at a super opt in end a Arm eni a nu ncomi tt ere . Ce n'e st pas ici la place d' an al ys e en déta il le pro gra mme ar mé ni endes Arsacides. Ce qui importe, c'est de mettre en relief, cette fois encore, le

rôle de la tradition parthe, des documents parthes insérés dans la trame de lanarration de l'auteur latin. L'analyse du texte de Tacite suggère et nous fait

19 Que l'activité de la cour de Ctésiphon, en vue de présenter les plans politiquesdes Arsacides sur les problèmes relatifs aux relations romano-parthes, ne se limitaitpas aux genres cités dans le texte, qu'elle utilisait d'autres moyens pour atteindre lesbuts proposés, nous en avons des preuves indirectes dans une phrase célèbre de T. Live.I X 18,6 : Levissimi ex Qraecis qui Parthorum quoque contra nomen Romanum gloriae favent.C'est un grand dommage pour la science de voir toute cette littérature perdue qui, con-servée, serait à même, certainement, de jeter un peu de la lumière sur les méthodes de

la propagande partho.20 Cf. J . WOLSKI : Caucase et Mer Noi re ent re Rom e et les Pa rt he s. Act es dn XVI "Congrès International des Sciences Historiques. Bucarest 1980.


8/15/2019 ACTAANTIQUA_28 (1980)


144 J. WOLSKI

croire à l'existence, du reste pas exclusivement chez Tacite, d'une ample docu-me nt at io n pro ve na nt d e cercles officiels pa rt he s et conservée dan s les archi vesromaines, exploitée par les historiens romains dans les parties pertinentes deleurs œuvres.

Et en vertu de ces exemples dont le nombre peut certainement êtreaugmenté, se fortifie la conviction — pour le contraire on devrait citer desarguments d'un poids suffisant — de la haute valeur des sources romainestouchant les relations romano-parthes. Cela dit, on est loin d'englober danscette opinion toute l'histoire de l'Iran de l'époque parthe qui de telle manièremenacerait de n'être perçue que sous l'angle romain. Qu-il y a encore beaucoupde domaines lacuneux, presque vides de faits historiques, cela s'ensuit de l'exa-men des sources à l'histoire de l'Iran propre qui restent muettes et ne nousdonnent pas réponse à beaucoup de questions. Et elles auraient trait à l'histoire

intérieure de l'Iran des Parthes, aux querelles dynastiques, aux séditions dessatrapes, aux contacts tantôt pacifiques, tantôt belliqueux avec les voisinsparfois turbulents.2 1

Ce qui nous échappe, ce sont les causes, les voies, les milieux où s'estopéré le grand processus intérieur et qui, pas à pas, a permis aux Iraniens deref air e leurs liens tra dit ionn els avec l'hér itag e des Achéménides en f ra yan t detelle façon la renaissance grandiose de l'époque des Sasanides22. En vue del'opiniâtreté avec laquelle les Sasanides ont persécuté les souvenirs de l'époquedes Arsacides, pour en effacer la mémoire même au moyen d'une telle manipu-

lation que de limiter la durée de leur règne à 200 ans,23

il me semble indiqué desoulever cette question pour nous rendre présents les problèmes qui restentencore à résoudre pour la pensée historique moderne. Les défauts des sourcesy sont clairs.

J'ai cru nécessaire de faire l'examen de toutes ces questions abordéesseulement très rarement dans les recherches afin d'exposer mon parti pris, del'autre, pour montrer quelles lacunes doivent être prises en considération etdoivent être marquées avant que nous puissions trouver notre tâche, de donnerun commentaire complet des sources sur l'histoire de l'Asie Centrale portant

sur l'époque arsacide, comme épuisée.Pour finir, on ne peut pas omettre de souligner le rôle des considérations

comme celles-ci sur notre aperçu des possibilités des Parthes. La structure inté-

21 L'exem ple le plu s ma rq ua nt en est l'histoir e des Jui fs de Babylo nie dont l'at ti-tude a parfois causé à l'Etat parthe de graves inconvénients. Cf. J. NEUSNER : A Historyof the Jews in Babylonia. I. The Parthian Period. Leiden 1965. 50 ss.

22 L'opinion du rôle act if de l'époque ars aci de dan s la trans missio n de l'héritagedes Achéménides aux Sasanides commence aujourd'hui de plus en plus à prendre de lavaleur dans la science. Cf., p. ex., G. WIDENGREN, Die Begriffe «populorum ordoi) und«ram» als Ausdrücke des Standesgliederung im Partherreich. Festschrift Walter Baetke.

Weimar 1960. 384. note 25.23 Cf. J . WoLSKi : Ars ak iden und S asa nid en. Beit räge zur Alte n Geschichte undderen Nachleben. Berlin 1969. 315-322.

Acta Antiqua Aeademiae Srientiarum Hungarirae 28, 1080

8/15/2019 ACTAANTIQUA_28 (1980)


LES SOURCES DE L'ÉP OQUE HEL LÉN IST IQU E ET PA RT HE 14 5

rieure de leur Etat s'avère plus développée qu'ou ne le soupçonnait jusqu'ici.L'activité diplomatique de la chancellerie royale menée probablement en lan-gue grecque, les directives de leur politique révélées dans les lettres des rois,

la stabilité dans l'exécution des plans une fois conçus et mis en action, tout celanous oblige d'encl ure d ans les réflexions, do nt l' effe t sera le comm enta ire , u n telaspect de l'époque parthe qui répond aux réalités de l'histoire parthe.

Krakow.

1 0 Acta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


153 E. A. DAVIDOVICH

THE FIRST HOARD OF TETRADRACHMAS OFTHE KUSÄNA «HERAIOS»

The first hoard of silver tetradrachmas of «Heraios» has been found in thesouthern part of Tajikistan in the territory of the district centre of Vakhsh(district Vakhsh) at the construction of a house. 1 The ty pe of the te t rad rac hma sof «Heraios» has been described although very briefly, in literature. Here it isimportant to stress those details and characteristics, which can be essential forfu r ther s tudy .

Obverse. Th e bu st of th e rul er : f ace with mo us ta ch e (and with a shor tbeard ?) in right profile, the shoulders being almost in front-view. The diademsurrounds the forehead at the root of the hair, the frontal short locks are brush-ed back, while the right long locks are freely hanging down, covering the ear.The face is sometimes more round, almost puffy, and sometimes more thin andeven «vehement».2 Stylistic differences can be observed in certain details.

The eye is represented sometimes in front-view and sometimes in profile.The moustache is sometimes quite straight and sometimes slightly pointed withsomewhat drooping or turning up ends. The locks are cut straight at their endsforming sometimes slight and sometimes sharp waves. The right lock of the hairturned back from the forehead frequently falls freely on the diadem, but some-times it fuses with the long locks into one line. The ends of the diadem are quiteshort and curved, they slightly vary in the length and steepness of the arch, but

'The original dimensions of the hoard are not known. The late N. N. ERSHOV,

a well-known Tajik specialist in ethnography has informed of the circumstances andplace of its find. He has already succeeded to collect six coins (N-377), which he handedover to the Institute of History of the Academy of Sciences of the Tajik SSR (furtheron IIT). One coin (N-341) was handed over to the IIT by the journalist V. Е . SITNIKOV.And an additional coin was given to the Republican Museum of History and Culture ofthe Tajik People (further on RMT, Inv. No. 1-2973) by the collective farmer H. IDRISOV.To the eight coins of the hoard mentioned later in the article the following aerial numbersha ve been given : Nos . 1 to 6, HT, N-377/1 —6 ; No. 7, II T, N-341 ; No. 8, RMT, 1-2973.

2 It is possible that this is not simply a stylistic difference but a difference of age,if the representation is a portrait. In this connection, however, it is important to stressthe great similarity of the coins of «Heraios» to tho sculptural representations of twomonu ment s of differe nt times and dista nt fr om each other : by K hal cha yan in Sout hernUzbekistan (G. A. PUGACHENKOVA : К и к о н о г р а ф и и Г е р а я , VDI 1965 No. 1. 132—134;eadem : Х а л ч а я н . Tashkent 1966. 188—189; eadem : С к у л ь п т у р а Х а л ч а я н а . Moscow

1971. 45 — 46) and by Hadda (J'.HACKIN, L'Œu vre de la Délégation ArchéologiqueFrançaise en Afghanistan (1922- 1932). I. Archéologie bouddhique. Tokyo 1933. 11.Fig. 12; R. ROWLAND: Zentra las ien . Baden-Baden 1970. 27 — 28, 48).


8/15/2019 ACTAANTIQUA_28 (1980)



they always stand out backwards, not hanging down. The head is sometimes

slightly lifted up and thrown back, and sometimes it shows a more straight posi-

tion. The bust of the ruler is surrounded by a frame consisting of longish «beads»

alternating with two vertical strokes each (resembling occasionally dots).

In those cases, when this frame has been preserved below, it can be seen that on

different coins the bust was cut in different heights. The clothing is always the

same, viz. un de rn ea th a shirt m ad e of so ft textile wit h br oa d roun d neckline,

keeping open the neck with a wrinkle under the chin ; above there is a caftan

with a «roll»-collar (or with border ?). The representation and the frame are

arranged exactly in the centre of the flan only on coin No. 1, and in this case it

can be seen very clearly that the size of the stamping-die was slightly smaller

than the size of the flan. On the other coins of the hoard, the representation is

shifted sometimes slightly and sometimes considerably in some direction, so

that part of the frame (below occasionally also an insignificant part of the bust)

is completely outside the flan, and if the representation and the frame were dis-

placed still entirely, then on the margin of the opposite side, there remains a

large free field on the flan.

Reverse. Mounted figure with quiver on horseback shown from the right

side ; the quiver reaches down to the level of the foot. From behind the goddess

Ni ke flies tow ards th e mou nte d figu re ; her relativ e size, pose and position com-

pared with the horse and the mounted figure, as well as the stylization of the

co st um e are so me wh at d iffe ren t. Th e horse is pacing, its lef t foreleg is lift ed u p.

Its tail is tied round so that sometimes five and sometimes six knots (represented

with dots) are formed. The end of the tail is pointed. The horseman is sitting

fr eel y, the reins in his left ha nd are slackened, his rig ht h an d — bent in th e

elbo w — reaches back ward s, t he torso is tur ned almo st in to fr on t view, and

t he hea d is in profile. The mou nt ed fig ure is obviously the same ruler as the one

rep res ent ed on th e obverse. In spite of th e small size of th e repre sen tati on, th e

char acter istic s of th e coiffure an d th e face are defi nitel y stressed , and the de-

tails of the attire are given even more accurately. The border (roll-collar or

la pp et ?) of the ca f t a n reaches dow n to th e waist. The typ e of th e rep rese ntat ion

is the same. The representation differs on all the eight coins of the hoard in thede ta ils , in the ma nn er and skill. Th e legend is arr ang ed par tl y above th e

mo un te d figure in an arched line an d par tl y under and be tw ee n the legs of the

horse in two straight lines. On the different coins the arched line of the legend

differs in the bending of the arch, in its «base» (the beginning and the end are

approximately in the same level, but more above or more below in comparison

to the horseman), and in the size of the characters. The word between the legs

of th e horse consists some time s of fi ve (coins Nos. 1 to 4 an d 6 to 7) an d some-

times of seven characters (coins Nos. 5 and 8), the arrangement of which can be

different (see Table 1 ).


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)



The legend on the tetradrachmas of «Heraios» has raised a great polemicand it cannot be regarded as definitively deciphered and understood even today.In the course of the accumulation of material it has become clear that the legendis the same on all tetradrachmas, but on some coins it differs in certain charac-ters. Consequently, on certain coins there were errors and distortions in it thatpermitted of different restorations of its original, basic text. This uncertaintyrendered its deciphering and understanding even more difficult, and hasbrought about further hypotheses.

The legend consists of four words. At present the original spelling (al-though there are errors in the execution), the reading (with the consideration oftwo paléographie details)4 and the translation of the first word — TYPAN-

NOYNTOY « of th e ruling» — do not raise any doubts. Among th e te tr ad ra ch ma sof the hoard this word appears on coin No. 8 in correct form, and on coins Nos.

1 to 7 with different errors. There exists, however, no convincing historicalin te rp re t altion so far . According to the interes ting co mmen t b y Ken nedy , thistitle reflects the vassal condition of its bearer. 5

The restoration of the original form of the second word HIAOY on th etetradrachmas does not raise any earnestly founded refutation, although itssecond character is frequently fully missing or appears in the form of a shortstroke upwards ; there are also errors. On coins Nos. 2 and 8 of the hoard thespelling is exactly the same, viz. HIAOY, while on coin No. 6 ther e is a shor tstroke in place of the second character, on coin No. 4 it appears without the

second character, and on the other coins it contains errors. It is important tonote that the first character on seven coins is an eta, on one it is an omicronin quadratic form (the origin of this and the other errors will be explainedbelow), and the mu does not occur as an initial character at all (here we do notdiscuss the spelling of this word on the obols).

The most accepted reading («Heraios») and interpretation (Greek propername) are, however, still disputed and doubted. 6

consists of seven characters) ; 2) high cut of the bust (almost at the border of the shirt),the neck bent ahead, the head of rather big size and slightly lifted up, the beard is notso accurate (on the reverse side the same word consists of five characters). The coins ofthe hoard partly support this classification (see Pis. I—III) : Nos. 5 and 8 low cut ofth e b us t an d this word on the reverse side consists of seven cha rac ter s ; Nos. 1 — 3 highcut of the bust and this word on the reverse side consists of five characters. The carriageand the size of the head, apparently, are no accurate criteria for classification.

4 The third character ro usually has the form of an inclined stroke, and the omicronis of quadratic form, in the setting, however, it is always substituted for a round form.

5 ZOGRAF : М о н е т ы «Г е р а я ». 11 — 12.6 Yü . G. VINOGRADOV kindly st at ed to me th at the nam e ' Hgaioç (or "Hgaioç)

is a theophoiic name to be derived from the name Hera or from the month 'Hgalog ofcertain Doric and other calendars (Crete, Delphi, Byzantium, Bithynia, Chios, Zeleia,see A. SAMUEL: Greek and Roman Chronology. München 1972. 74, 88, 117, 131, 175),

d oc um en te d: 1) on th e coin fr om Ky me an d in several inscriptions, see W. PAPE —G. BENSELER : W ör ter buc h der griechischen Eige nname n. B raun schw eig 3 1884. 462 ;2) in Chersonesus — IOSPE I2, 359 ; E. I. SOLOMONIK : Н о в ы е э п и г р а ф и ч е с к и е п а м я т н и к и


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)



or possessions with cities-capitals and on their place in the empire of the GreatYue h-c hih ; 2. on th e origin of the names of th e hsi-hou and the tran sfo rmat ionof their meaning.8

Chang Ch'ien, who visited the Great Yueh-chih between 130 and 125 B.C.

(some scholars mention more accurate, but different dates), describes the fol-lowi ng situation : th e Gre at Yueh-chih conqu ered th e territ ory of Ta-hsia(south of the Amu Darya), but they settled down north of the river and ledthere a nomadic way of life. It is important that in the description of the bound-aries of the empire of the Great Yueh-chih Ta-hsia is mentioned as the southernboundary.

Five districts or possessions are not mentioned either in the territory ofnomadic life north of the river or in Ta-hsia. The lack of reference is, of course,no evidence. Chang Ch'ien, however, did visit Ta-hsia, and his detailed descrip-

tion («They have no great kings or heads, but everywhere in their walled citiesand settlements they installed small heads»)9 does not render likely the exis-tence of five or less districts or possessions. The situation described by ChangCh'ien is called by us conditionally the first stage in the history of the Yueh-chih after they conquered the territory on both sides of the Amu Darya.

In the Han-shu (completed about 80 A.D., the events are described upto 25 A.D.) a completely di ffe ren t situat ion is depicted, viz. the residence of theking of the Great Yueh-chih is in a city north of the river ; the southern bound-ary is no more Ta-hsia, but the district Ki-pin ; they themselves originally

developed as a nomad state ; there are five hsi-hou, which are subjected to theGr ea t Yueh-chih.10 Thus many things have already changed towards the joiningof the nomad conquerors in the local culture and economy (and, partly, verylikely in the settled life) and towards a more definite formation of the state ofthe Great Yueh-chih itself. This is shown by the residence in a city, by the estab-lishment of the boundaries of the state (the annexation of Ta-hsia originallyconquered only formally), as well as by some determination of the system ofstate schematically fixed by the existence of the king of the Great Yueh-chihand the five districts or possessions governed by subordinated hsi-hou (yabghu).The development and duration of the existence of this situation is unknown,

8 We used the English translations of the most significant contemporary sinologistsPULLEYBLAMC and ZÜRCHER that are in certain essential details different from theRu ss ian translat ion by BICHURIN, E . G. PULLEYBLANK : Chinese Ev id en ce for t he Dat e ofKaniska, in Papers on the Date of Kaniska, submitted to the conference on the date ofKaniska, L., 20 — 22 Apr il 1960, e d. by À. L. BASHAM. Leiden 1968; E . ZÜRCHER: TheYüeh-chih and Kaniska in the Chinese Sources (ibidem) ; N. Ja . BICHURIN (IAKINF) :С о б р а н и е с в е д е н и й о н а р о д а х , о б и т а в ш и х в С р е д н е й А з и и в д р е в н е й ш и е в р е м е н а , I I . Mos-cow— Le ningra d 1950.

9 ZÜRCHER: op. cit. 360 .10

ZÜRCHER: op. cit., 364 ; A. F . P. HULSEWÉ : Ch ina in Cen tra l Asia. The Ear lySt ag e: 125 B. C . - A . D. 23. Leid en 1979. (Sinica Leidensia, Vol. XIV .) 121 — 123.


8/15/2019 ACTAANTIQUA_28 (1980)


THE FIRST HOARD OF TETRADRACHMAS OF 'HERAIOS' 153

it is only clear that it existed earlier than 25 A.D. 11 and it represents a new stagein the history of the Yueh-chih that is called by us the second stage.

Who were the yabghu, th e rule rs of these fiv e dist ric s or possessions, ea ch

of whom, similarly to the head of the Great Yueh-chih, had his residence in hisown distri ct ? The existing di ffe ren t viewpoints h ave to b e divided into tw ogroups, viz. 1. yabghu — no Yue h-c hih ;12 2. yabghu — Yueh-ch ih.

The text of the Han-shu, taken isolated, permits both assumptions.The logical conclusion from the first one (i.e. if the yabghu — is no Yueh-chih)will be as follows : Kadphises I, yabghu of one of the fi ve dis tric ts, was also noYueh-chih, but a local or pre-Yueh-chih dynast. Thus the Kusäna state estab-lished by him was not Yueh-chih either. Such a conclusion, however, contradictsto the sources of the later period and to the fac t th at in th em th e Ku sä na emp ireappears as Yueh-chih. The logical conclusion from the second assumption(yabghu — is Yueh-chih) will me an t h a t there existed a hie rar chy a mon g t heGreat Yueh-chih, and the yabghu — th e heads of th e fi ve tr ibes (clans) — werein a certain dependence from the head of the Great Yueh-chih, i.e. from thewhole of their tribal union. In this case the text of the Han-shu would meanthat the five Yueh-chih yabghu received five districts or possessions in the ter-ritory of the state of the Great Yueh-chih, but practically or formally they werenot independent. Very likely it can be presumed that originally this was anomadic division the territories of which, in accordance with the adoption ofsedentary life and culture, gradually were transformed into more definite pos-

sessions.13 Since the envoy Chang Ch'ien does not speak about the five nomadiccamps and possessions, and in Ta-hsia he even describes a different situation,it can be presumed that the quite accurate division of the nomadic camps andeven more of the possessions took place later, when it formed a significant com-ponent of the second stage. With other words, even in the short and generaltestimonies of the two sources from different times — in the report of ChangCh'ien and in the Han-shu — undoubtedly important changes are reflected,giving so to say th e minimum ab ou t the two stages. The re is no do ub t t h a tchanges must have taken place also later and, therefore, their reflection can

also be expected in later sources.If we look at the next, third source — the Hou Han-shu (in this source

the information about the Western Regions dates back to 125 A.D.) from such,

11 E . PUI.LEYBI.ANK (op. cit. 250—254) has convincingly shown that the passageon th e five hsi-hou appe ars to be a later insertio n from the ye ars 74—75 A. D. an drefl ect s th e sit uati on of these year s. Th e latt er does no t ap pe ar to bo compu lsor y ; th einsertion may be an additional information on the past history.

12 On the di ffe ren t assumpt io ns a bo ut thei r origin in th is case see ZÜRCHER :op. cit., 365, no te 1 ; G. HALOUN : Zu r Üets i-Frage. ZDMG, Bd . 91, 1937, 257, note 7.

13

Undo ubted ly, t hese nomad camp s or possessions corresponded both to th ephysico-geographical and (judged from the existence of capitals) to the historical andcultural rogions, what is important for the localization.

Arta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


15 4 E. A. DAVIDO VICH

not «static» viewpoint, then it appears that it does not contradict the Han-shuand is no distortion (as it was thought by certain researchers), but it simplyreflects another new stage in the history of the Yueh-chih that we call the thirdstage.

The compilator of the Hou Han-shu himself stated that he was interestedonly in the situation from the time of the foundation of the Later Han dynasty,which is entirely different from the previous one. It is not by accident that thewhole early history of the Great Yueh-chih is limited with him to two informa-tions, viz. they clashed with the Hsiu ng- nu an d moved to Ta-h sia. The follow-ing events stood in the sphere of direct interest of the compilator of the HouHan-shu : the yabghu Kusäna subdued the other four yabghu, declared himselfking and called his state Kusäna. Till the time of the unification, therefore, thefive possessions headed by Yueh-chih yabghu were ind epe nde nt, there was no

hierarchy and subordination to the head of the Great Yueh-chih. Very likely itis not by accident that the unifier was not the head of the Yueh-chih either (inthis case he is not mentioned at all), but one of the five yabghu, and th e form ofthe unification was not the strengthening of the «central» power of the GreatYueh-chih, but the victory of one yabghu over the other four. This is the newsituation described in the Hou Han-shu. Its compilator, however, knows thatthese five possessions had existed since long, he even knows about how longthese five possessions existed before the unification, viz. over one hundredyears. However, it does not interest him at all how these possessions were origi-

nally (at the time of their formation), because these nuances of the past are out-side his chronological interest. Thus, stating the fact of the antiquity of thesepossessions, he writes about them as they looked like before the unification.Thi s is why the following phra se is very im po rt an t : the Yueh -chi h divided t heircountry among five (or into five) hsi-hou (yabghu).11

Thus, in the Han-shu the districts governed by the yabghu (the origin oithe yabghu is not de fi ne d at all by this sour ce) were sub dued by th e Gre at Yueh-chih. In the Hou Ha n- sh u the country of th e Grea t Yueh -chih is divided intodistricts unconditionally governed by Yueh-chih yabghu, which beca me inde-

pendent at that time, when one of the yabghu conquere d the other fou r.The early informant speaks about the «whole» (state of the Great Yueh-chih)and about the «parts» (possessions of the yabghu) subo rdina ted to it. For t ha tchronological section of ti me t ha t inter est s th e late in fo rm an t, the «parts» be-came so independent and the details of the past of their former subordinationbec ame so dis tan t t h a t he «turns over» th e sit uat ion near t o his time (indepen-

14 The transl ation s of this impo rta nt phr ase on the division of the country byPULLE YB LANK (op. cit., 247 : «They divided the country among five hsi-hou (Yabguj . . .»and by ZÜRCHER (op. cit. 367 : « . . . and div ide d their count ry int o the five hsi-hou(yabgu) . . .») differ in the arrangement of the accents. PULLEYBLANK'S translation givesmore expedient to regard the five hsi-hou as tribal name (see below).


8/15/2019 ACTAANTIQUA_28 (1980)


TH E F IRST HOA RD OF TETR A DRACHMAS OF ' HE RAI OS' 155

dence of the possessions) into this past and speaks about the «division» of thestate among the five yabghu. Behind this differing info rmat ion of the tw osources one can clearly see the tendency of development of the still whole,

nomadic state of the Great Yueh-chih, already adopting sedentary life and cul-ture, with subordinated Yueh-chih yabghu (second stage) , towards th e dissolu-tion of the unified empire into independent possessions of the yabghu (thirdstage).15

There is no need to give preference to one of the two sources (as is usuallydone). They are not contradictory, but define the general tendency, the differentstages and boundaries of the history of the Yueh-chih, and the territories con-quered by them on both sides of the Amu Darya. In this long period the devel-opment advanced in the direction of the separation and strengthening of theindependence of the live districts or possessions of the Yueh-chih yabghu,reflected in the formulation of the Hou Han-shu and brought about that thecentre of the new unification became one of the possessions.

In our opinion the most complicated question is not the seeming mutualexclusion of the testimonies of the Han-shu and the Hou Han-shu regarding thefive hsi-hou, but the origin of their designations. Are th ey th e desig nations ofdistricts, of some pre-Yueh-chih dynasties or of tribes (clans) of the Yueh-chihthemselves ? In fact these three viewpoints are raised in literature. The decisionof this question is outside our competence, but it has no conceptual significancefor the present paper either. Here it is more important to reconstruct the further

transformation of these designations taking into consideration any variant oftheir original meaning. The key for the understanding of the «semantic trans-formation» is th e designation «Kusäna». Since Kad ph ise s I was a Ku sä na yabghuand a fte r the conq uest of the other four yabghu his st at e was called Ku sä na ,co n-sequen tly the meanin g of the dyn asti c desig natio n was bor ne by this word in th estage of the five independent possessions and also after their unification. Thus,if the five designations according to their origin are pre-Yueh-chih, 16 then afterthe dissolution of the nomadic camps and the formation of possessions they be-came the dynastic designations of the five Yueh-chih yabghu. This would be on e

of the examples for the territorial designation of the dynasties. If, however,this was the designation of the five tribes (clans) of the Yueh-chih, then a re-versed process can be presumed, viz. the extension of the tribal designationsto the districts or possessions received. But apart from the dependence from theoriginal meaning, the result will be the same also in accordance with the order

15 The fact th at the Ho u Han -shu m ent ion s the capit al of the Great Yueh-chilisouth of the river, does not at all contradict to the conclusion about the dissolution of thecountry into independent possessions. The existence of a capital is no evidence at all ofthe strength and significance of the «central» power. Cf. Chang Ch'ien : in Ta-hsia there

is no supreme head at all, but the capital is designated.16 Directly desi gnat ions of distr icts, or (wh at is less likely) design ations of p re-Yueh-chih dynasties extended to the districts.


8/15/2019 ACTAANTIQUA_28 (1980)



of the process, viz. th e melting of t he desig nation of the dis tri cts and th e dy-nastic designation yabghu in one of t he stages. Therefo re, t he conclusion ap -parently will not raise any objection that the designations of the five hsi-houin the second stage (transformation of the nomadic camps first into «vassal»

possessions) and in the third stage (development of their independence) till theunification by Kadphises I can be regarded as dynastic-territorial designationsindependently of the ancient origin of the words themselves.

The proposed interpretation of the reports of the three sources as reflec-tions of three stages in the history of the Yueh-chih enables us to see the firstword — T VIANN О V N TOE «of the ruling» — of the inscription on the coins of«Heraios» in a new light and to define the place of these tetradrachmas from theviewpoint of periodization and relative chronology. The «vassal» character ofthis title noted by Kennedy (see below) fits well into the framework of the sec-

ond stage (i.e. the situation according to the Han-shu) and seems to be a verygood Greek translation or equivalent of the title hsi-hou ( yabghu) for that longperiod, when in the second stage the yabghu were in a dif fe rent an d changingphase of subordination to the head of the Great Yueh-chih. Such a relativechronology in combination with all the other data can also be useful for theabsolute chronology.

The fourth word between the legs of the horse raised a serious polemic inall aspects and this polemic has not come to an end. Of the proposed variants ofreconstruction of this word we mention the three most important ones, viz.

1) SAKA (without tak ing into consideration the fi ft h chara cter beta or withouta convincing interpretation of it) ; 2) S AN AB — SANABOY ; 3 ) SAKAPOY.

The first variant can be regarded as discarded. The study of a more significantmaterial has shown that this word consists sometimes of seven characters (ingenitive case, as the whole inscription), and sometimes of five charactersSAN AB, i.e. a form consisting of four characters (i.e. SAKA) is excluded.

Cunningham proposed the reconstruction of the spelling as SAN AB —

SANABOY on the bas is of six coins of his collection (they are ke pt at pre sentin the British Museum). Bataille accepted an analogous spelling on the basis of

eight tetradrachmas (seven in the British Museum and one in the Paris Cabinetof Medals), and A. N. Zograf supported such a reading with the publication offurther coins.17

The third variant of spelling and reading was proposed by R. M. Ghirsh-man18 on the basis of a further coin, which he himself called unique. In this lineof the legend there are seven characters. It differs from the original spelling of

17 A. CUNNINGHAM : Coins of the I nd o- Sc yt hi an king Miaiis or Her au s. NC, 1888,Ser. 3. Vol. VI II , Sec. of fpt . p. 10 ; G. BATAILLE : No tes sur la nu mi sm at iq ue des Ko u-

shans. Arethuso 1928. 19 ff. ; ZOGRAF : М о н е т ы «Г е р а я ». 15 — 16.18 R . GHIRSHMAN : Begram , re ch er ch es archéologiques et historiques sur lesKoushans. Le Caire 1946. 109—112.


8/15/2019 ACTAANTIQUA_28 (1980)


TH E FIRST HOARD OF TE TR A DRACHMAS OF 'H ERA IOS ' 15 7

the second variant essentially only in the fifth character, where in place of thebeta there is some other character, which was proposed by R. M. Ghirshman tobe read as ro. It really has in the upper part an inflexion permitting the reading

ro, but below there is a horizontal twirl («the origin of which — in the words ofR. M. Ghirshman himself — is not to be clarified»), which is not at all n ecessaryfor the character ro. Among the published and not published tetradrachmas of«Heraios» known to us there is no other one with an analogous peculiarity of thefi ft h cha ract er in this word consisting of seven letters. It a ppea rs to us t h a t thi sis rather the result of the technical deficiency of the die, and due to abrasionand cracking in the lower part of the fifth character. At the same time R. M.Ghirshman proposed exactly the character ro to be regarded as original, thecharacter beta on all the other coins as a later error of the engravers of the dies,

and the strange form (the unnecessary horizontal twirl below) of the originalcharacter ro as a cause of their error. To support this conclusion he mentionsstill two arguments, viz.-. 1) the fi ft h cha ract er on the tet rad rac hma of th e Pa risCabinet of Medals is written so that Bataille hesitated between the reading roand beta 2) th e cursive na tur e of th e ch ara ct er beta itself renders such a readingdoubtful, because one ought to expect a lapidary, capital form.

The doubts of Bataille have been resolved already by Zograf. Regardingthe cursive form of the letter beta, however, we should note the followings. It isvery important that this character has not at all the same shape on the differentcoins. It is sufficient to examine the coins of the published hoard (Pis. I to III)to be convinced about this fact. On coins Nos. 1, 2 and 8 the «cursiveness» isclearly expressed, the shape of the characters is round, this character is some-what higher (especially on coin No. 8) than the other ones in this word. Theform of the letter beta on coins Nos. 3 and 6, on the other hand, can hardly beconsidered cursive, it can be regarded nearly (No. 6) or fully (No. 3) as lapidary.The shape of the beta on the tetradrachmas of «Heraios» Nos. 3 and 6 does notdiffer from the form of this character on many Graeco-Bactrian and Kusänacoins, e.g. in the word BABIAEQB. Moreover, examinin g thi s subj ect of th e coinhoard, we have discovered on a series of coins of the «Nameless king»19 that the,

character beta in the firs t word of the ins cript ion has exactl y such ac urs ive for mas on the tetradrachmas Nos. 1 and 2 of «Heraios». In the same word we see theclearly cursive form of the letter beta on the Bactrian bronze coins minted afterthe model of the tetradrachmas of Heliocles. Thus, the cursive form of the fifthcharacter in the word discussed on certain tetradrachmas of «Heraios» in itselfdoes not furnish any baeis to doubt that this is exactly the letter beta, and noerror or deformation of the character ro.

As regards the third letter of this word, which was read by the authors ofthe first variant (В А К А ) and the thi rd var ian t (BAKAPOY) of its reco nstr uc-

19 TIT, N-294. Fou nd in the dist rict of Hi ssar, Taji k SS R.


8/15/2019 ACTAANTIQUA_28 (1980)


158 E. A. DAVlDOVICH

tion not N (nu), bu t К (kappa), this readi ng, besides conceptual and intell ectua lconsiderations (which we do not discuss now), was based on the followingpalaeographic data. The third character on the tetradrachmas has two forms,

viz. N and И . Already Gardner read the И (as the Russ ia n «и ») as the bas ic,original form, and such a form was frequently assumed by the kappa on thelatest Bactrian and Parthian coins.20 Now, when a sufficiently large materialhas been accumulated, this conclusion, from the palaeographic point of view,seems to be entirely fictitious. Even if we confine ourselves only to certaintetradrachmas of the hoard discussed, it becomes clear that there is no reasonto regard the И in the word discussed as original and to read it as x (kappa).

For the sake of a comfortable comparison, we included the inscriptionson the coins of the hoard in Table 2, and gave a general numeration to allcharacters. 2 1

Let us start with the statement that the character И and the alternation N — И are typical not only of the word discussed (in which according to thegeneral numbering on Table 2 this is character 28 : N on coins Nos. 1, 2, 6 and8 ; И on coins Nos. 3, 4 and 7). The same two forms appear in the first word(cha rac ter s 5 and 6 : M o n coins Nos. 1, 2, 5, 6, 7, 8 ; Ao n coin No. 3 ; И И onlyon coin No. 4), the reading of which does not raise any doubt, because the origi-nal form is here exactly A (nu), and the И is the reflected image of the nu. Bothforms appear also in the third word (character 23 : Aon coins Nos. 1, 2, 6,7,8;И on coin No. 3, an d also on coin No. 5 in ch ar ac te r 20), in which the original

for m is und oubt edl y also t he charact er nu, i.e. N. All these examples alreadythemselves render the palaeographic foundation of the reading of character 28as К (kappa) do ub tf ul . Bu t it is even more imp or ta nt th at in the inscription ofthe te tr adr ac hma s there appears the cha rac ter К (character 18) as the fi rs tcharacter of the third word. And in each case, when it has been preserved wellon the coins of the hoard (coins Nos. 1, 3, 6, see Pis. I —II), it is a quite clearlyand correctly written character К (kappa). And if on the te tr ad ra ch ma s of«Heraios» the character К (kappa) has still preserved its corr ect writi ng, th enthere is no reason to doubt that character 28 in its source is actually A (nu)

some time s reflec tion-lik e deformed into И . Wi th other words, for the rea dingsYAKA and YAKAPOY neither the chara cter К (kappa) nor the chara cter P (ro)

furnishes any palaeographic basis. Consequently, the variant YANAB —

YANABOY remain s most authentic.

20 GARDNER : Ca ta lo gu e . . . , XLVII .21 The blank square on Table 2 indicates that the corresponding character is missing

in the inscription. The fully erased characters are marked with three parallel strokes.In those cases, when the inscriptions have been preserved very badly and it cannot, boabsolutely established, whether certain characters were erased or they did not exist,th en an in ter rog ati on ma rk is pu t into th e sq ua re on the figu re. On Table 2 we ga ve

the main char acte rist ics of the writing an d posit ion of the char acte rs, but it is no tabs olu tely au th ent ic for th e stu dy of those cha ng es th at took place on the exterio r ofthe characters on account of the wear and tear of the dies or of other special reasons.

Acta Antiqua Aeademiae Scicntiarum Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


Table 2

1 2 3 4 5 6 7 8 9 1011 12 1314 151617 1819202122232425 26272829303132

1 TV/ANNUVDT Г H AEV К П 1 1 KNE V SANAS

2 * Л М Ы П У П Т П Г И Г AU R "Q С f Ы П Y £>NAß

3 T Y f AN EYETEST Н й . и » KtHiAHCT E A HAß

4 Т У /Л И И П У О Т П Е .V ADY , м в * Е А И А

5 TV/ / )NNnvnVH£ П ADV 'Е И А 1 1 П 1 ' EAZAßEf

6 T Y / A W N n v n r n r H'A EY KQCÍANOV ANAS

7

TV / ANNE Y DT О Н К Y UV * П П ANO4

ZT> И А в8 TV/ANNOYNTOE KI*EY NNY ^NEV

Errors in the inscriptions on the tetradrachmas of the hoard

8/15/2019 ACTAANTIQUA_28 (1980)



The question of the meaning of this word has not been decided and in itsessence this circumstance has not been examined by specialists. The idea ofZograf seems to be very useful (casually mentioned and rejected at once by him)that this is a proper name of Iranian origin.22 This idea was energetically sup-ported by S. P. Tolstov,23 convincingly rejecting all other explanations. The ab-sence of this word on the oboli of «Heraios» confusing Zograf is not a seriousobstacle, because the inscriptions of coins even of the same denominations andeven more of different denominations were frequently different and did notalways contain proper names (cf. the coins of the «Nameless king»). At the sametime, it has to be noted in advance that the word «Sanab» as a proper name byitself does not decide at all the problem of the second word, HIAOY, of th einscription. The existence of two names on the tetradrachmas (the Greek «He-raios» and the Iranian «Sanab») should not be excluded mechanically, although

the study of HIAOY as a cons titu ent par t of the titula ture 2 4 is also very useful.In the restored inscription of the tetradrachmas of «Heraios» we accept

not the traditional order of the words, inasmuch we do not regard the wordbelow, under the feet of the horse as the last one, but the word «Sanab» betweenthe legs of the horse.

1. TYIANNO YNTOE HIAOY KOIIANOY SAN ABO Y«Of th e rul ing ( = yabghu) HIAOY Ku sä na Sanab».

2. TYIANNOYNTOS HIAOY KOIIANOY SANAB,

«Of th e ruling ( = yabghu) HIAOY Kus äna , Sanab».

As has been already noted, there are many errors in the inscription of thetetradrachmas of «Heraios», and the first task of research was, of course, to«break through» these errors, to establish the original writing and the originaltext. At that the errors themselves were not the matter of special examination.The peculiarities of these errors and their possible regularity were not analysed.They were mechanically «placed» to the account of the gradual deformation ofthe inscription. Sometimes they were implicitly and sometimes explicitly

regarded as the sign of the illiteracy of the engravers of the dies, and sometimesalso as unskilful forgeries.

A more careful examination of these errors permits their classification,and the classification suggests an entirely différent assumption regarding thereasons and origin of these errors. Here we consider only the inscriptions of coinsof the hoard (see Table 2 and Pis. I to III).

On the basis of the material of the hoard, these errors can be divided intofive types, which are numbered with Roman numerals.

22

ZOGRAF : М о н е т ы «Г е р а я ». 30—31.23 S. P . TOLSTOV : К в о п р о с у о м о н е т а х «Г е р а я ». VDI 1939. No . 2. 117.24

Ibidem.


8/15/2019 ACTAANTIQUA_28 (1980)


TH E F IRS T HOARD OF TETRA DRACHMAS OF 'HE RAI OS' 161

I. Reflection-like reversed writing of the characters

a) N — И (see above)

b) \ — /1 in each word (c ha ra ct er s 4, 15, 22, 29).

II. Substitution of the necessary characters and groups of characters withother characters and groups of characters

a) О in place of N (character 9 on coins Nos. 1 to 7)b) H in place of N (character II on coin No. 5)c) Y in place of T (character 10 on coin No. 5)

d) О in place of H (chara cte r 13 on coin No. 5)

e) Y in place of \ (char act er 15 on coin 7)f) О in place of II (characters 20 and 21 on coin No. 7)g) in place of group KOII (chara ct er s 18 to 21) on coin No . 8 NNY

III. Shifting of characters and groups of characters25

a) on coin No. 3 AI in place of IA (charact er s 14 and 15)b) on coin No. 5 И AH in place of П А И (character s 20 to 23)c) on coin No. 8 OB in place of BO (characters 30 and 31)

d) on coin No. 5 characters 11 to 13 (parts of two words) are also the resultof shifti ng : . . . Н Е Ц О . . . in place of . . . О Е Ц Н . . .

IV. Omission of characters

a) О (chara cte r 11 on coin No. 1)b) N (character 6 on coin No. 3)c) I full and abbreviated (character 14 on coins Nos. 1, 4, 5 and 7)

V. «Inversions» by 90°, 180° and other divergences from the correct posi-tion

a) Z in place of N (character 29 on coin No. 5)b) Л in place of th e char act er A (cha ract er 4 on coin No. 3, cha racte r 15 on

coin No. 1), possibly it is the «inversion» of Y by 180°

c) character 4 on coin No. 6 — alpha, but the impression remains t h a t itsupper part forms here the left end of the base, i.e. it is inverted by about 120°to 130°. An approximate position is possible also in the case of character 27 oncoin No. 4.

"The published coins give a very interesting variant of translocation of an alreadyerroneous combination of characters, not represented in the hoard. Characters 8 —10 inthe first word should be YNT , a very fre que nt error (with the rep lace ment of cha rac ter9 : • in place of N, see coins Nos. 1 — 7 of the hoard) is YOT. On th e publ ishe d coins inthis place (characters 8— 10) we find TOY instea d of YOT. (See CUNNINGHAM : Coins . . .,10, No. 4, P l. I l l , 4 ; R. B. WHITEHEAD : No te s on th e Indo-Groeks , NC 1940. Ser . 5,No. 7g, 120, No. 17) ; ZOGRAF: М о н е т ы «Г е р а я », 34 (in the rendering of character 8 withZOGRAF we find Y, and it should be T, seo the photograph).


8/15/2019 ACTAANTIQUA_28 (1980)



d) example of divergence from the correct position is character 27 (alpha)

on coins Nos. 2 and 3.

The first word is wri tte n correctly on ly on coin No. 8 ; th e second w ordon coins Nos. 2 and 8 (if we regard the writing HIAOY as correct) ; th e th ir d

and fourth words on coins Nos. 1, 2 and 6. But there is not even one among theeight coins of the hoard, on which the inscription would not contain some typesof errors.

It has already been mentioned that the reverse sides of all the eight coinswere minted with different dies, viz. th e deta ils of repr ese ntat ion of the horse-man and the goddess Nike are different ; the bending of the arched part of theinscription and its arrangement in comparison to the representation are dif-ferent ; there is a difference in the length and arrangement of the lower wordunder the feet of the horse ; and the arrangement and size of the characters of

the fourth word between the legs of the horse are also different. Now we haveto add to this also another very important characteristic, viz. the stock of errors

and the types of errors are individual on each coin ! We en um er at e these indivi d-ual «stocks» of errors (omitting the errors of type I).

Coin No. 1 : t ype I I (characte r 9) -(- ty pe IV (charact er s 11 an d 14) +type V (character 15).

Coin No. 2 : ty pe I I (cha ract er 9).Coin No. 3 : type I I (cha racte r 9) -f- ty pe II I (charact er s 14 and 15) +

type IV (character 6) -f- type V (character 4).

Coin No. 4 : type II (character 9) -f- type IV (character 14).Coin No. 5 : type II (characters 9 and 10) -f- type III (characters 20 to 23and c haracte rs 11 to 13) + ty pe IV (ch arac ter 14) -f- ty pe V (charact er 28).26

Coin No. 6 : type II (character 9).Coin No. 7 : type II (characters 9, 15, 20 and 21) -f- type IV (character 14).

Coin No. 8 : t yp e I I (chara cte rs 18 to 21) ty pe I I I (charac ters 30 to 31).

It is important to stress that not only the inscriptions showed stocks oferrors of different types, but even the single characters or groups of characterscontained errors of several types. For example, an incorrect character was taken

(type II), and in addition it was also inversed (type V) ; or an incorrect groupof characters came into being as a result of the substitution of one character(type II), and then they were also shifted here and there.

But what is the origin of these errors ?

26 On the coin published by CUNNINGHAM, who reads the inscriptions not entirelycorrectly, judged from the photograph, there is an entirely analogous, composite set oferr ors (character 31 О resembles to I, becau se it is dama ged by the repr esent ation of th efoot of the horse). CUNNINGHAM'S coin has been preserved badly, but still it seems to bemo re likely th at it an d coin No. 6 of th e hoa rd were minte d wi th different dies. Only

the t ype of th e se t of e rror s is iden tica l (see CUNNINGHAM : Coins . . . , 10, No . 5 PI.I I I , 6 ) .


8/15/2019 ACTAANTIQUA_28 (1980)


TH E FIR ST HOARD OF TET RA DRACHMAS OF 'HE RAIO S' 16 3

Of course, every new die for the minting of coins was prepared after a

model and, consequently, the engraver of the die could repeat the certain ac-

cidental errors of the model, but he could also make some separate errors. Thus,

the errors of the first type can easily be explained with negligence on the part

of the engraver of the die. Certain especially frequently repeating substitutionsof certain characters could be regarded as «inherited», i.e. part of the errors of

type II (e.g. О in place of N, character 9), etc. But, obviously, the errors of types

I I to V as a whole and t he indi vid ual ity of t he stocks of errors in each ins cr ipt ion

will be understood, if we presume that on the dies the inscriptions were not

engraved individually, but they were minted with punches of the certain

characters.

The punching technique27 simplified and accelerated the preparation of

the inscriptions but, at the same time, it also furnished a considerable possibility

of errors exactly of types II to V. Simplicity and advantage of the punchingtechnique are obvious. The character must have had the same form on the

punch as later on the coin, i.e. the character on the punch did not have a mir-

rored but a normal representation that psychologically facilitated the work of

the engraver. But, of course, this is not the main thing. The main thing was that

one and the same punch could be used many times. The character engraved on

it once, later on was repeated on many dies, thus accelerating and facilitating

their preparation.

The engraver of the dies had a set of punches. And just like in the modern

hand-operated typographic set, he made the same errors. The model was lyingbefore the engraver just like before the setter. He took the correct character,

bu t inve rte d the pun ch, and thus an erro r of ty pe V was ma de . He c orre ctl y

took 2 — 3 char acte rs, which followed one af te r the other, bu t he arran ged th e

punches incorrectly, and thus an error of type III arose. He did not take the

same character, and thus an error of type II came into being, etc. And there

were no «proof-readings». Thu s an indi vid ua l set of errors of dif fe re nt typ es ca me

into being. Only the errors of type I were errors in the strict sense of the word.

These are errors made at the time of preparation of the punch. The rest of the

errors, with standard forms of the characters themselves, were errors of the«setter».

This explanation is also supported by two observations. Firstly, on cer-

tain coins the inscriptions are arranged só that certain characters practically«run» into the representation and, to some extent, even damage it. This canclearly be seen at the contact of the characters with the representation of Nike,of the head of the horseman, as well as with the representation of the head andfeet of the horse. We mention a few concrete examples (see Pis. I—III). Coin

27 Abo ut th o applicati on of the pun ch in g techn ique in ancie nt ti mes see «Wörter-buch der Münzkunde», od. by F. SCHRÖTTER. В . 1970. 538.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


T HE FI RST HOA RD OF TET RA DRACHMAS OF ' HE RA IO S' 165

drachmas of «Heraios» were not engraved individually on each die, but stampedon the dies with sets of punches. 30

From the palaeographic point of view, in the inscriptions of the coins ofthe hoard the character beta is most interesting, because it furnishes variants

fro m the cursive up to the almost pe rfec tly lapidar y forms (see above). The ot he rcharacters of the coins show a rather standardized writing for this group ofcoins known already from publications (Table 3).31 The tetrad rac hmas of t he

Table 3

Greekletters a l p h a A

(V

-Q y p

s i I o n

оaí k

a p p

a

с o m i k r o n

о AZ s

i g m a

Z)

A l e t t e r

K o n

T a b l e

2

l e t t e r s 2 0 - 2 1

o n

T a

b l e 2

on thecoins of

the

hoard

A в Y H К N • I T 1 IIon the

coins ofthe

hoard

A 8 К И Г / ((

on thecoins of

the

hoard

A Г?

Basic forms of the characters on the tetradrachmas of the hoard

hoard do not show any further or different transformations of the characters,except, perhaps, the peculiar writing (with «hook») of character 14 on coin No.2, which at the first glance could support its reading as ro that, on the other

hand, would support the reading of the whole word as «Heraios». But one mustcarefully examine this «hook» (Pl. I, 2). Between character 13 and character 15

30 Among other things, we have examined in this context the obols of «Euoratides»minted in Bactria and to be found in Southern Tajikistan. Two unpublished obols fromthe burial-ground of Tup-khana near Hissai' (excavations of 1961, burial 96 and excava-tions of 1971, burial 3) convince us that the inscriptions on the dies foi the reverse sidewere also prepared exactly with punches.

31 The smal l vari ati on (not consider ed on Table 3) is som eti mes th e resu lt of incli-nation to the left or to the right (especially in the arched inscriptions) and of some indi-viduality of the «writing», and sometimes the result of the wear and tear of the dies or

punches. The Greek names of the last two characters and composite characters are notgiven on Table 3 : th e final reading of cha rac ter 14 on the te tr ad ra ch ma s has not be enestablished, and characters 20—21 served for the rendering of the sound


8/15/2019 ACTAANTIQUA_28 (1980)



there is a too small space for character 14, it is so to say «sticked» to the alpha

(to character 15) and repeats its writing. It seems that this is the case when thepunch with the character 15 (aljiha) was either simply dislodged or stampedtwice (after the first failure, when it did not appear fully), as a result of which

the left «side» of character 15, i.e. alpha in the die and the re af te r also on the coinappeared as practically duplicated forming the above mentioned «hook». If thisis so, then on coin No. 2 character 14 is simply left out, what is very typical ofthis word on the tetradrachmas of «Heraios».32

It is interesting to note the rendering of the two variants of the sounds (characters 20 and 21), viz. with two straight or with two slightly bent, parallelstrokes. They are placed so close that visually they are perceived as one charac-ter. In the literature on the obols of «Heraios» these forms are laid down, andalso two combinations uniting both writings l( and P(, where the first character

of this two-charactered sound in outlines is sometimes a clear ro. The assertionof A. M. Mandelshtam. according to which on the obols of «Heraios» for therendering of the sound s the kappa was also used,33 is a mere misun derst anding .Th e whole insc ripti on consisting of tw o lines is read by A. M. Mandels htam asfollows :34 [ ?] A [ ? ?]OY [KjOKANOY. The coin was fo un d in th e south ofTa ji ki st an and is ke pt in the IIT. We ha ve carefully exam ined it, and the in-scr ipt ion has th e following form (Pl. I l l , 9) : HAjOY \K]OHAI(OY. Her e inboth words there appear errors of type III, viz. shifting of characters. In thefirst word in place of HAJOY we mus t pu t HI AO Y (to which in this case the

para llel bendings of th e second and th ir d cha ract ers correspond very well) ;in the second word in place of [K]OHAI(OY we have to pu t [K]OI(AHOY.

Consequently, the sound s is rendered also here with one of the variants of theusual combination of characters. And the nature of the errors itself in the in-scription of the obol permits the assumption that the punching technique ofpreparation of the inscriptions in the dies was used for the obols of «Heraios»

jus t like fo r his tetradrachmas.

To show that the coins have become important sources for political andeconomic history, we must elucidate their own «biography». As regards the in-

scriptions of the tetradrachmas of «Heraios», there is still no convincing andunambigous reading and translation accepted by everybody. The hoard oftetradrachmas from Tajikistan does not furnish special additional materials forit. But the coins have supported the original variant of this inscription on the

32 Cf. coins Nos . 1, 4, б , 7.33 A. M. MANDELSHTAM : О б о д н о м о б о л е « Г е р а я ». EV, 14 (1961) 54.34 On the basis of this reading of th e fi rs t word an d also of th e writ ing of the same

wo rd on th e oboli pub lis hed by ZOGRAF (М о н е т ы «Г е р а я », 6), G. A. PUGACHENKOVApresumed that the obols and tho tetradrachmas belong to the minting of two differentru le rs, viz. the obols to the successor or predecessor of «Heraios» ( К и к о н о г р а ф и и Г е р а я13. ). The essence of th e errors (transl ocati on of th e characters) bo th on the te tr ad ra ch ma sand (see below) on the obols, to be traced back to the punching technique of preparationof the inscriptions in the die, remove the assumption of PUGACHENKOVA.


8/15/2019 ACTAANTIQUA_28 (1980)


TH E FIR ST HOARD OF TETRADRACH MAS OF 'HERAI OS' 167

tetradrachmas, they have rendered possible the classification of the errors anddifferent readings, and on the basis of this classfication also the explanation ofthe specific feature, reasons and origin of the errors to be traced back to thepunching technique of the preparation of the inscriptions of dies.

In the «biography» of the coins of «Heraios» there is still a series of «whitespots», like the chronology, genealogy, and the place of minting.

At present the place of the mint where the coins of «Heraios» were struck,viz. Bactria,3 5 raises the slightest disputes. The conclusion is based on the com-parison of three circumstances, viz. th e absence of Kh ar os th i in th e inscri p-tions, the essentially Attic standard of weight, provenance of the coin finds.The attempts «to take» the mint of «Heraios» out of the boundaries of Bactria isnot supported by any facts.36

It must be taken with reservation that the coins made of precious metals

could be taken far out of the boundaries of those places, where they were mint-ed. The isolated and sporadical finds of silver coins of high standard do not atall outline the boundaries of the districts issuing them and they require greatcarefulness. Finds of coins of «Heraios», e.g. are now recorded from Taxila toTashkent.37 Therefore, only a mass registration of compactly situated prove-nances of silver coins of «Heraios» could be regarded as a reliable source. Tillrecent times, however, the researchers have had information only on isolatedand ter rit oria lly sca tt ere d finds . Their nu mb er can now be considerab ly inc rease d,viz. there are already three finds in the territory of Southern Tajikistan.

We have already mentioned the obol of «Heraios» from the site of Kei-Kobad-shah.38 Four obols of «Heraios» have been found in 1972 by the archaeologistB. A. Litvinskiy at the excavations of the necropolis (two specimens in thefuneral structure II) and in the gorodishche (two specimens, slope) of Shahtepenear the banks of river Pyanj (district Shaartuz). 3 9 And, finally, the publishedhoard of tetradrachmas. Thus, exactly Northern Bactria (city of Termez 40 and

33 There are two viewpo ints about the q uestion, wh at t err itor y was called inancient times Bactria, viz. only that sit ua ted south of the Am u Da rya or also no rt hof this river, i.e. comprising Southern Uzbekistan and Southern Tajikistan? Here andlater we accept the second variant.38 The terri tor y south of the Hin du Ku sh h as alrea dy been convincingly exc lude d.There are, however, attempts to take the coins of «Heraios» beyond the boundaries ofBactria north and north-oast of it. S. P. TOLSTOV proposed, even as a hypothesis, e.g.first Chorasmia or Kusâniya on the Zerafshan (VDI, 1939. No. 2. 119), then Sogdianaor Bactria (Д р е в н и й Х о р е з м . Moscow 1948. 181) a nd again Kusâniya on the Zerafshan(П о с л е д а м д р е в н е х о р е з м и й с к о й ц и в и л и з а ц и и . Moscow—Leningrad 1948. 149). These hy-potheses are not based on facts, the constituent part of the conception is that «Heraios»is a vassal of the king of K'ang-chii. It was convincingly pointed out by PUGACHENKOVAthat the location of the mint of the coins of «Heraios» to Kusâniya on the Zerafshan isunfounded (К и к о н о г р а ф и и Г е р а я . 131, 134—135).

37 I t is tru e, t he fi nd in Tashk en t wa s rece ived wit h du bi ta ti on (PUGACHENKOVA :К и к о н о г р а ф и и Г е р а я . 131).

38

MANDELSHTAM : О б о д н о м о б о л е «Г е р а я ». 53 — 54.39 These obols are th e subj ect of special public ation.40ZOGRAF: М о н е т ы «Г е р а я ». 34—35.

Artii Antiqua Aeademiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


168 E. A. DAVlDOVICH

three sites in Southern Tajikistan) has already given four compactly situatedoccurrences of coins of «Heraios».41 The total number of coins from these fourplaces is now fourteen (five obols and nine tetradrachmas), but there were moreof them, because the hoard of tetradrachmas from Tajikistan has not yet been

collected fully.This, of course, does not give a firm basis to assert that the mint issuing

the coins of «Heraios» was exactly in Northern Bactria. But it shakes the ratherwide-spread and earnestly not founded point of view (to which, by the way,also Zograf adhered) that the coins of «Heraios» were minted in Southern Bac-tria (in Northern Afghanistan). If we do not want to overestimate the facts infavour of the conception, then it can quite objectively be stated only that thenew occurrences of coins prove beyond any doubt that the coins of «Heraios»were really minted in Bactria. By themselves they do not answer two important

questions, viz. whe the r ther e was one mi nt or several min ts ; accordingly,were the coins of «Heraios» minted in Northern Bactria, or both in Northern andin Sout hern Ba ct ri a ? To answer these ques tions th e registra tion of the finds ofcoins alone is, apparently, insufficient, exactly because the coins are made ofsilver N

The indisputability of the conclusion about the Bactrian (and preferablyNorthern Bactrian) origin of the coins of «Heraios» induces us to turn to thequestion of the five hsi-hou, i.e. the five districts or possessions of the Yueh-chih

yabghu. The localiza tion of these possessions ha s at tr ac ted the attenti on of the

most important scholars several times and it has raised a series of hypotheses.The Kusäna hsi-hou, e.g., was located in different places from the valley of theKashka Darya to Badakhshan and Kafiristan, 4 3 but outside the boundaries ofthat state of the Great Yueh-chih, which was established in the second stage(according to our chronology) and occupied the territory of Bactria (north andsouth of the Amu Darya). The data on the place of minting of the coins of«Heraios» do not leave any doubt that the Kusäna hsi-hou was situated exactlyin the territory of Bactria. The earlier attempts to locate his settlement could

41

One of the obols of «Heraios» from the collection of the late historian and regionresearcher A. E. MAJI is kept now in the RMT (1-1884/2). It has not been published, andthe site of this find is not known.

42 The da t a of th e archaeologica l ex ca va ti on s have led PUGACHENKOVA to th econclusion that the main possession of the Kusänas before the foundation of the empirewas exa ctly Nor th er n Ba ctr ia : «Under th e rule of «Heraios» Kh al ch ay an obviouslyplayed the role, if not of the capital, then of the main residence of the king, as soon asa sculptural composition of the building of the palace was devoted to the glorificationof the «clan of Heraios» (К и к о н о г р а ф и и Г е р а я . 132—134).

43 A s u mm a ry of d a ta see A. M. MANDELSHTAM : М а т е р и а л ы к и с т о р и к о -г е о г р а ф и -ч е с к о м у о б з о р у П а м и р а и п р и п а м и р с к и х о б л а с т е й с д р е в н е й ш н х в р е м е н д о X в . н . э ., Т р у -д ы А Н Т а д ж С С Р , 53 (1957) 62—64. The basi s for the locat ion and the method is thepho net ic similar ity an d th e da ta of a la ter source (Pei-shih). In connection w ith thisMANDELSHTAM (not ta ki ng i nt o considerati on even the work of ZOGBAF and th e numis-ma ti c data) man ife ste d a quit e sober dou bt re ga rdi ng the full ide nti ty of the dat a of Pei-shih and the earlier sources, and especially concerning the location of the Kusänas.


8/15/2019 ACTAANTIQUA_28 (1980)


THE FIRST HOARD OF TETRADRACHMAS OF 'HERAIOS' 169

not yet rely on the data of the coins, and the general historical situation as wellas the chronology of the Yueh-chih before the establishment of the Kusänaempire (as these are described on the basis of three sources, viz. Chang Ch'ien,th e Han- shu and the Hou Han-s hu , see abo ve pp . 153 to 155) were not cons ideredby them. It has to be added that the four other hsi-hou should also be lookedfor and located in those boundaries of the state of the Great Yueh-chih as theywere in the second stage (when the hsi-hou were still vassal) and continued toexist in the third stag e, because the expansio n s ta rt ed alr ead y under Kad phi ses I,i.e. after the unification of the five possessions.44

One of the most complicated and definitively not yet solved questions isthe time of minting of the tetradrachmas of «Heraios». After the most funda-mental research of Zograf (in 1937) which, on the basis of a comparative anal-ysis of a large number of relevant data, dated the coins of «Heraios» to the mid-dle or even to the second quarter of the 1. century B.C., and mentioned also aseries of arguments against the earlier and later date proposed before him(within the limits from 128 B.C. to 100 A.D.), and found followers in this ques-tion, in the works of several authors there appeared again the tendency to datethese coins to a later period. This is, however, etxactly a tendency, because themethod and conclusions of Zograf are not refuted, new methods and facts arenot proposed, but the new dates appear, as a rule, in the form of «appendices»to the conceptions.45

The first hoard of the tetradrachmas of «Heraios» itself does not solve the

question of their dating either. But certain observations made in the course ofthe study of the hoard can be very useful in this respect.

The form and execution of th e te tr ad ra ch ma s of «Heraios» deserves at te n-tion. Zograf took this circumstance into consideration in the dating of the coinsof «Heraios», viz. «In th e field of th e executi on the tet ra dr ac hm as of «Heraios»with their solid circle with almost flat surface on both sides and even, plain edgeare far from the Bactrian tetradrachmas, just like all hellenistic coins of the 3.and 2. centuries B.C. clearly showing bulge on the observe side and depressionon the reverse side with a sharp edge».46 Below, Zograf stresses once more that

44 Cf. the corr ecti on in th e Ho u Han- sh u in conne ctio n wit h th e fi fth hsi- hou,mentioned in the Han-shu (ZÜRCHER: op. cit., 367 — 368), an d also th e othe r d at a onthe beginning of the Kusäna conquests (ibidem, 367).

45 We men ti on a fe w excell ent ex amples . R . M. GHIRSHMAN (1946) : last qu ar t erof the 1st cen tu ry B . C. (Be gra m . . . , 112 ; it is tru e th a t GHIRSHMAN did not ha ve aposs ib il ity to use the work of ZOGRAF) ; I. M. DIAKONOV (1950) : 1st cen tu ry A . D. ,fr om th e tur n of th is ce nt ur y (M. M. DIAKONOV : Р а б о т ы К а ф и р н м г а н с к о г о о т р я д а ,М И А 15. 1950. 174— 175 ) ; BHASKAR CHATTOPADHYAY in 1967 (Th e Ag e of th e K u s h ä -na s . . . , 15) : last qua rt er of th e 1st ce ntur y В . C. ; D. W. MACDOWALL—N. G. WILSONin 1970 (The References to the Kiisânas in the Periplus and Further Numismatic Evidencefor Its Date. NC 1970. Ser. 7. Vol. X. 227 foil.) : «Heraios» is identical with the «Nameless

King», his coins wore minted in the period between the Kusäna kings Kadphises 1 andKadphises II .46 ZOGRAF : М о н е т ы «Г е р а я н . 22, 24.

Artii Antiqua Aeademiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


TH E FIRS T HOARD OF TETRADRACHMAS OF 'HE RAI OS' 173

Table б

WEIGHT OF 23 TETRADRACHMAS OF «HERAIOS»

(the black circles represent the coins of the hoard)

Weightin grm. Coins Weightin grm. Coins

16.0 • О 13.9

16.9 13.8

16.8 • • 13.7

16.7 о 13.6 О16.6 • о 13.5

16.6 13.4

16.4 • • 13.3

15.3 • о 13.216.2 • 13.1

15.1 о о 13.0

15.0 12.9

14.9 12.8 о14.8 о 12.7 о14.7 12.6

14.6 12.5

14.6 12.4

14.412.3

14.3 12.2 о о14.2 12.1

14.1 12.0 о14.0 о 11.9 о

examined not isolated, but together with the weight and fineness of the silver

tetradrachmas of «Heraàos», and also with their already doubtless Bactrianorigin, clearly show that in the territory of Bactria, at the time when they were

minted, there was a sufficient quantity of silver (in metal or in old coins).The favourable condition of the silver reserves in Bactria under «Heraios» andth e intensi ve mintin g of his coins are also fa ct s th at are very im po rt an t for the irdating taking into consideration the financial reform of Kadphises II.

It is true that Macdowall and Wilson maintain that the «selection» of silverby«Heraios» for th e min ti ng of coins does no t have a si gnifi cance f or t he da ti ng .In their opinion the selection of coinage metal (copper, fine silver, billon) bythe rulers (examples are given) entirely depended on the accessibility of therich silver mines of Panjshir. 5 3 The n it should be explaine d, why did Kad phi ses

53 MACDOWALL —WILSON : T h e R e f e r e n c e , 22 5 foi l.


8/15/2019 ACTAANTIQUA_28 (1980)


17 4 E. A. DAVIDOVI CH

II (whom they regard as the direct heir of «Heraios», whom they identified withthe «Nameless King»), to whom the mines of Panjshir (if they were functioning)were definitely accessible, reject the minting of silver entirely and the subse-quent Kusäna kings did also not return to the silver. The question of the «selec-

tion» of the coinage metal should not be decided so unilaterally and simplified.This «selection» depends on the interrelation of several economic, political,psychological, and sometimes also on individual reasons and factors, which inaddition are concrete for each region. In Parthia, e.g. the minting of silver wasnot discontinued. Bactria, on the other hand, definitely experienced a local«crisis of silver coins», which ended with the reform of Kadphises II (see below),it is only important to determine when it started and when it developed. Thesilver of th e Bact ria n coin s of «Heraios» is, the ref ore , a ve ry impo rt an t fac t forthe dating of these coins and also for the development of the «crisis of the silver

coins» in Bactria.54

The reform of Kadphises II was observed by the numismatists long ago.E. V. Zeymal, who studied the Kusäna coins intensively and usefully, summedup and evaluated his observations and those of his predecessors regarding thecontents and reasons of its realization as follows : «Essentially Vima Kadphiseslaid down the beginnings of the minting of gold in Bactria and in NorthernIndia. The changing over to the gold coin by Kadphises II was usually explainedfirst of all with the exhaustion of the silver reserves in the country, what mani-fested itself in the Indo-Greek period in the deterioration of the quality of the

minting metal. The second reason is seen in the establishment of close connec-tions by the Kusänas with the Roman Empire. There were also economic rela-tions that resulted in the influx of western gold to the country. Our attentionshould also be turned to the circumstance that as from the 2. century B.C. theterritories incorporated in the Kusäna Empire thereafter, were distributedamong small governors. The uniting of these isolated possessions into a vast andpowerful state must have influenced its economic possibilities favourably and,apparently, it also became one of the most important conditions of the appear-ance of the minting of gold under Vima Kadphises».55

One of the sides of this reform — the minting of gold — is studied nowthoroughly. We must specially mention the meticulous observations of Mac-dowall in two excellent articles of his (in 1960 and 1968). Pointing out that theidea itself of the minting of gold by Vima Kadphises was «possibly» (1960) or

54 Ap pa re nt ly it is no t imp or ta nt for MACDOWALL and WILSON, becaus e th eyaccepted the conception that «Heraios» is the «Nameless King» and he ruled betweenKadphises I and Kadphises II. This conception, however, is not based on facts, and itexactly contradicts them. It is sufficient to compare the palaeography, the titulature,and especially the iconography of the silver coins of «Heraios» with the bronze coins ofthe «Nameless King» to be convinced that such an identity is entirely impossible, theyare entirely different individuals in the direct and in the figurative sense.

65 E. V. ZEYMAL: М о н е т ы В е л и к и х К у ш а н в Г о с у д а р с т в е н н о м Э р м и т а ж е , с б . Н у -м и з м а т и к а , 3. Т р у д ы Г Э . 9 (1967) 61.


8/15/2019 ACTAANTIQUA_28 (1980)


TH E FI RST HO ARD OF TETRA DRACHMAS OF 'H ER AI OS ' 175

even «undoubtedly» (1968) inspired by the Roman aureus. He, at the same time,also showed the inde pen den ce of th e metrological side of th e reform, and t hefurther course of the financial affairs.56 Zeymal corectly stressed tha t the u nifi -cation of the isolated possessions into the vast state of the Great Kusänas

created favourable conditions for the realization of this side of the reform.The syst ema tic al mi nti ng of gold coins, however, in itself does not de ma nd

the discontinuance of the minting of silver. The idea about the exhaustion of thesilver reserves in the country is useful, but it does not elucidate everything.The exhaustion of the silver reserves would have led to a serious change of theratio of gold to the silver, which must have led in some stage (especially underthe conditions of development of international trade) to a mass influx of thesilver metal and silver coins from those regions, where they were minted. Thiscould have eased the shortage of silver and could have «smoothed out» the ratio,

i.e. it could have prepared the objective conditions for the returing to the mint-ing of silver coins. But the realization of such a possibility depended on otherreasons.

The history of financial affairs showed such examples, when the state onaccount of various reasons could not mobilize silver metal for the minting ofsilver coins, both in the conditions of bad and — what is especially important —in the conditions of a favourable state of the silver reserves. Among the reasonsdisturbing the mobilization of metal for the minting of coins the psychologicalreason should not be disregarded either, viz. if the mi nt in g of silver coins wa s

seriously discredited in the eyes of the population, then the returning to it be-came more difficult than the organization of minting from another currencymetal.

The question about the reasons of the entire rejection of silver coinage inthe state of the Great Kusänas requires special study in which one should notdisregard either of the two assumptions, viz. th e ex hau sti on of th e silverreserves and the impossibility of its mobilization for the minting of coins.The interrelation of both factors appears to be most likely, but their significanceis different in the different chronological periods of time under the conditions

56 D. W. MACDOWAIL : Tho Weight St an da rd s of tho Gold an d Copper Coinag eof the Kus han a Dyn ast y from Wim aKa dph ise s to Vasudeva. JN S I 22 (1960) 63 foil.; idem:Numismatic Evidence for t he Dat e of Kani çka. Pa per s on tho da te of Kani ska [Aus tral ianNational university centre of oriental studies. Oriental monograph Series. Vol. IV].Leiden 1968. 136, 143 foil. On the basis of th e st ud y of th e moa n weight of tho Kusä nadenarii, MACDOWALL inferred their weight standard, viz.: ab ou t 8g. (1960. 64) or ac cura te -ly 8 S• (1968. 144). [The histograms and the allowance for the «mean erasion», as faras the coins were put into circulation, suggest the assumption that the weight standardof th e denarii of Kad ph is es II was even higher tha n 8 g. — E . D. ]. Tho Rom an aurei ha dsuch a weigh t only in th e years 19 to 12 B. C., what is too earl y for Vima Ka dphi se s.The pre-reform (years 56 to 64 A. D.) aurei of Nero weigh by 0.4 g. less than the denariiof Kadphises II. Besides this, the Kusäna kings preserved the weight standard, but

they gradually reduced the standard of fineness, while the Roman emperors, on thecontrary, preserved it but reduced the weight of the gold coins.


8/15/2019 ACTAANTIQUA_28 (1980)


17 6 E. A. DAVI DOVI CH

of the changing political (phases of the attack of the Yueh-chih ; stage of thefive vassal possessions ; stage of the five independent possessions ; the state ofthe Great Kusänas, the expansion of the boundaries) and economic situation(definite development of the commercial production demanding the increase of

the quantity of coins).The reform of Kadphises II is a qualitative turn prepared by the charac-

teristics of the development and change of the political and economic situationin general and of the coinage and circulation of money in particular, in thecourse of a long time after the fall of Graeco-Bactria.

The dating of the coins of «Heraios» for the time being was examined es-sentially without this broad context and without the analysis of all reasons andconditions of the implementation of the reform of Kadphises II. The chronolog-ical «place» of the silver coins of «Heraios» between Graeco-Bactria (the coinage

system of which was based on silver) and the reform of Kadphises II (whoorganized the coinage system based on gold) cannot be determined in the frame-work of the publication of the hoard of tetradrachmas and only on the basis ofthe coins of the hoard, we propose to devote a special work to this question.And the publication of the first hoard of tetradrachmas of «Heraios» is similarto the edition of a new source containing useful material, partly repeating some-thing already known, partly telling something new, and partly playing the roleof an impulse in the perception or re-interpretation of certain facts laid downearlier. All these data can be summed up as follows.

1. From the palaeographic point of view the hoard has not furnished any-thing principally new, supporting the stability and «single-stage character» ofthe transformation of the Greek characters on the tetradrachmas and the dif-ference, observed already long ago, between the obols and the tetradrachmas of«Heraios» in this respect. At the same time, the coins of the hoard furnished dif-ferent variants of the character beta, the comparison of which with other occur-rences (from the Graeco-Bactrian coins to those of the Great Kusänas) hasdefinitively proved that on the tetradrachmas of «Heraios» this letter can beconsidered beta.

2. The comparat ive analysis of the errors in the inscriptions has sta tedthat they are not the result of deformation on account of mechanic imitation,and the increasing number and different character of the errors do not arisefrom the misunderstanding of the content of the inscriptions, but the result ofsome kind of negligence of the «setter», in the punching technique of the prepa-ration, although the set itself of the punches with characters has remainedstandardized for the tetradrachmas. These observations, of course, could alsobe made by other authors earlier, but it appears that they were suggested bythe hoard.

3. The hoard convincingly supports that the execution of the tetradrach-

mas of «Heraios» occupies an intermediate place, many specimens still have this


8/15/2019 ACTAANTIQUA_28 (1980)


TH E FIR ST HOA RD OF TETRA DRACHMAS OF 'HE RAI OS' 177

bulging-concave form and sharp edge important for the dating. At the sametime the conception about the tetradrachmas of «Heraios» as flat coins with aneven cut of the edge, i.e. with their execution diverging from the Graeco-Bactrian tetradrachmas, can be regarded as removed.

4. Eight coins of the hoard have been minted with different dies. This hassuggested the conclusion (supported also by the coins published earlier) that theissue of the tetradrachmas of «Heraios» was no accidental and short episode,but it was a rather long and abundant emission.

5. The hoard has entirely changed the conception about the weight of thetetradrachmas and has suggested the very probable assumption about two«stages of weight». It has also become clear that in the study of the weight oftetradrachmas it is methodically incorrect to work with the arithmetic averageof all tetradrachmas as their average weight, viz. if the assumption about two

«stages of weight» proves to be true, then the tetradrachmas of each stage willhave their own average weight.

6. It is also doubtless that the tetradrachmas of «Heraios» covering a quitelarge sphere of trade, had no piece by piece circulation, since the fluctuationin weight were very high, and between the pieces of the smallest weight andthose of the highest weight the fluctuations were over 4 g. Such tetradrachmasdiffered from each other by a whole drachma.

7. The test of fineness of the coins of the hoard has shown that they wereminted from a quite high quality silver.

8. The hoard has fixed a new occurrence of the coins of «Heraios» in North-ern Bactria. Together with the data known earlier and also with the new datapublished here for the fir st time , we have now inform ati on ab out f our co mpa ct lysituated provenances of the coins of the Kusäna «Heraios» in the territory ofNorthern Bactria. This permits to speak about Northern Bactria not only asa place of circulation of the coins of «Heraios», but as a possible (even if notnecessarily single) place of their production.

9. The analysis of the Chinese sources and the three-s taged per iod izati onof the history of the Yueh-chih (from the conquest of the territory of Bactria

to the foundation of the Kusäna state) in comparison with the first word — thevassal title TYIANNOYNTOE — in the inscription of the tetradrachmas (anequivalent of the vassal yabghu) per mit s the assump tion th a t this issue belongsto the second stage.

Moscow.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


ILYA GERSHEVITCH

THE COLOPHON OF THE

NOKONZOK INSCRIPTION*

No. 1. M : §9. ο τ ο euo μ ο δ ο ο δ ο μ ρ τ ο χ ιρ γ ο μ ν ο κ ιρ δ ο μ ο β ο ρ ζ ο μ ιν ρ ο μ ο

κ ο ζ γ ,ρ κ ι π ο ύ ρ ο μ ο σ τ ιλ ο γ ν σ ε ιγ ι μ ο ν ο κ ο ν ζ ικ ι κ ρ λ ρ γ γ ε μ -

ρ η γ ο π ιδ ο ι χ ο δ η ο φ ρ ο μ ν ο

§10. ο τ ο ε ιιο μ ν ο ν ο β ι χ τ ο μ ο μ ι υ ρ μ ν ο μ ο β ο ρ ζ ο μ ιν ρ ο π ο ν ρ ο mg!

μ ι υ ρ μ ν ο mg 2

No . 2. M : §9. And this well and d rom os by Kh ir gm an was built , t oge the r

with Kozgask's son Burzmihr the Hastilugânian, honouring-the-memory-of the Lord of the Marches Nokonzok by com-mand of the Emperor.

§10. And by suopavo (it) was writ ten, togeth er with Burz mihr 'sson Mihräman mgj together with Mihräman mg 2

No. 3. В : §9. о т о po aaôo ßoq^opioqo xiqôi t xoÇyapxi novqo vaOxiAoyavÇeLyovoxovÇtxt xaqaAqayyt paqrjyi môo yoaôrjo i pqopavo A NAME mgjANOTHER NAME m g 4

No. 3. В : §9. And the well by Burz mi hr was built, th e son of Kozgaàk, theHastilugânian, honouring-the-memory-of the Lord of theMarches Nokonzok by command of the Emperor A NAME mg3

ANOTHER NAME mg4

No. 4. A : mgx apioqapavo mg2

No. 5. Dilberjin : sio pavo xoßstyrio Auayo

Above under No. 1 you see the colophon of the Nokonzok inscription asit stands on the monolith, the final of the three versions of the inscription, calledM for «monolith».

* (Paper delivered at the In ter nat io nal Seminar on pre-I slami c Sources for theHistory of Central Asia on Tuesday, 30 September 1980, at 9.00 a. m., in Budapest.)

12* Acta Antiqua Aeademiae Scientiarum Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


180 I. GEBSHEVITCH

Below it, as No. 2, you see my English translation of the two paragraphs,§9 and §10, of which the colophon consists in the M version. The translation islargely based on the improvements in the understanding of the syntax of thispassage which Nicholas Sims-Williams published in IF, 1973, 96. But I di ff er

from him in that I have reverted to Henning's interpretation of aaxiXoyavaetytas a nisbe, and in the interpretation of the last seven words of §9. My translationof these represents, as it were, a contamination of Henning with Sims-Williams,prompted by considerations which I explained in a paper given at the Inter-national Seminar of Kushan Studies held in Kabul in November 1978, and ina more detailed version of that paper due shortly to appear in print in Volume

2, 1979, pp. 55 — 73 of Afghan Studies, the journ al of th e Bri tish Ac adem y'sSociety for Afghan Studies.

Below that translation you see, as No. 3, the colophon as it stood at the

end of version B, whose blocks, you will remember, were found, like the blocksof version A, immured at random as part of the lining of the walls of the well's

dro mos . Version В end s with §9. Th e two names which respe ctivel y precede im-mediately monogramv3 and monogram 4 here abbreviated mg, and mg4, are toopoorly preserved for identification, but they were certainly different from anyname appearing in the M version.

If the colophon of В is sho rte r t ha n th a t of M, th e one of A, the earl iestand original version of the inscription, is even shorter. It consists solely of whatabove is given as No. 4, namely of the same a/Liiv)ooa/iavo sandwiched between

the same mg4 and mg2 as terminate the colophon of the monolith M, No. 1 above .This is all I have to say by way of introduction, except that in the se-

quence Euoyavo, the second word of §10 in M, I have always seen a proper name,Iyuman, a view which Sims-Williams has accepted.

Of course Iyuman, or Iyuman, is not exactly a common name in Iranianonomastics, in fact until recently one knew of it only here. Indeed, since in §9

of M EUO occurs by itself as second word, in the clear meaning of «this», fromOl ran . iyam, it would be perfectly legiti mate to tr ea t suoyavo in §10 as con-sisting of two words, EUO «this» plus yavo. The only reason for not doing so, is

that syntactically we need, before the past participle voßiyxo «was written»,a word expressing the agent of writing whom naturally one expects to be de-noted by a proper name.

That we need such an animate agent placed immediately before voßiyxo,is rendered abundantly clear by the fourth and fifth words of §9 of В (see No. 3above), which together mean «by Burzmihr was built».

Therefore the only acceptable alternative to translating euoyavo voßiyxoin §10 of M as «by I yu man was wr it ten» , would be «and thi s (euo) was wr it te nby Man, or by Man». It is not a very attractive alternative.

There would be no more to be said on the subject, had not the fragment ofa Bac tri an inscription fromD ilb erj in published in 1979by Livshits and Kruglik-


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


182 I. GERSHEVITCH

of it, should occur in both inscriptions, at Dilberjin even followed asyndeticallyby an even stranger name.

Caught in this onomastic fix, my mind happened to stray to the differencebetween Dr Livshits's and my own first names. It then struck me that mine

disposes of an advantage which his could not possibly have offered him on thisoccasion. For reasons no doubt egocentric, the name I bear has always inducedme to take an interest in words beginning with IL. And so, before long, it dawn-ed on me that semantically, and partly even etymologically, English ilk fits theeioyavo situ atio n like a glove th e ha nd . At Dilb erji n eioyavo immediately pre-cedes a proper name, in other words, qualifies a person. In the Nokonzok colo-phon's M version the same euoyavo ought to be a person, the logical subject ofvoßiyxo, yet should not be, as Livshit s rig htl y says, a persona l nam e.

Well, English ilk means «the same», and consists, as Germanicists have

long shown, of the pronominal element i, pre sen t also in B act ri an et to fromiyam, plus a reduced for m of wh at in En gl is h is like, in Gothic leik. Livshitswanted to find in the yavo of etto yavo a building structure, etymologicallytherefore a cognate of dmäna- «house». B u t Ba ct ri an yavo may just as well be-long to the Iranian base mán- «to resemble», so th a t, just as En gl ish ilk, е ю yavo

would derive its meaning «the same» from «this-like».

It would follow that at Dilberjin we must translate «the same К у б е й г е в -

Л и й а г ъ , who presumabl y was men tio ned earl ier on in the te xt of which only afragment has survived. And in the M colophon of the Nokonzok inscription we

must translate «and by the same was written».This would not be without interest to the understanding of the Nokonzok

inscription as a whole, whether or not you accept my new interpretation ofwhat happened to the well of Baghlan, in the article about to appear in Afghan

Studies. For, th e per son refer red to as «the same» in §10, can on ly be th e mancalled Khirgman in §9. And if Sims-Williams is right, as I think he is, in definingthe monogram mg2 as that of Mihräman, the monogram mgj as that of the manhe believed bore the name Iyuman, then we learn at last what hitherto we hadno rea son for even suspe cting, name ly th a t Khi rg ma n figures alr ead y, represent-

ed so to speak ideographically, by no more than mg1, in the brevissimus colophonof the A version (No. 4 above).The gain accruing to us from this recognition, is a little more than I had

time or space to explain in translation-note i on p.66 of my article about toappear. Let me devote to it the rest of this paper.

§§1 — 8, i.e. the original Nokonzok text constant in all three versions, towhich a different colophon was added in each of the three, name only two per-sons, Kaniska, too famous for his patronymic to be stated, and Nokonzok,famous yes, but not famous enough for his patronymic to be omitted.

§9 of M, i.e. the first paragraph of that version's longissimus colophon (seeNo. 1), introduces a third person, Burzmihr, stating his patronymic. He had


8/15/2019 ACTAANTIQUA_28 (1980)


TH E COLOPHON OF TH E NOKONZOK IN SCRIPT ION 183

alrea dy app eared , comple te with patro nym ic, in §9 of В (see No. 3), whichparagraph by itself constitutes the whole of the longior colophon, intermediatebetween the brevissimus and the longissimus not only in leng th, but also in tim e.

§10 of M, i.e. the second paragraph of the longissimus, which includes as

coda the brevissimus, supplies, just in fr on t of the lat ter , the pat ron ymi c abs entfrom the brevissimus itse lf, of Mihräman. This patronymic we should never haveknown h ad version A alone reached our ken. But we ma y be qui te certa in t h a tlocal readers con tem por ary with the set ti ng up of A, even if fami lia r with dozensof Mihrämans, would have known exactly which Mihräman the brevissimusdesignates, because mg2 supplied as it were his patronymic ideographically.

The rule which emerges applied to Nokonzok, Burzmihr, and Mihräman,is that for identification name and patronymic must be given. But the customof not stating the patronymic of a person whose name was to be immediately

followed by his monogram not only transpires from the brevissimus' s «pioqapavomg2» (see No. 4), but is assured by the longior' s coda (see No. 3). Th e tw o n am espreceding respectively that coda's mgj and rr^ cannot be read with any con-fidence (see Asia Major, XI I , 1966, 94f.), bu t both cer tai nly differ from all th enames mentioned in A and M and the rest of B, while yet neither bears itsbearer's patronymic. It is clear, therefore, that local readers extracted the twopatronymics which to us are beyond reach, from the monograms mg 3 and mg4.

Accordingly in the brevissimus of A, where not only th e pa tr on ym ic ofKhirgman, but even his name, fails to appear, both had to be extracted by local

readers contemporary with the setting up of that version, from no more thanKhirgman's monogram mg r We may infer that either Khirgman was so well-known that the mere sight of his monogram sufficed for identification not onlyof his patronymic but also of his name, or that, although it did not really suffice,Khirgman thought that it would. For quite likely the author of the brevissimuswas Khirgman himself, the boss of A's other engraver Mihräman.

Now all we need to note in addition is that in the longior and in the longis-simus Nokonzok's patronymic no longer appears, i.e. its absence from both colo-phons is due merely to awareness of its having been stated at the first mentionof Nokonzok's name, in §5 of the inscription. With this in mind we shall under-stand why of all the dramatis personae (apart from Kaniska) of M only Khirg-man is named without patronymic : the author of the longissimus (who aga inwas quite likely Khirgman himself, the author of the longior presumably beingBurzmihr) was aware that the longissimus would hav e as coda th e brevissimushe had «composed» years earlier, whose initial mg4 sufficed, at least in his opin-ion, to inform readers of his patronymic. He therefore refrained, in §9 (see No.1), from adding it to his name. But in §10 we may expect that he would haveadded it, seeing that in that paragraph immediately before the brevissimus hedid add Mihräman's patronymic to his underling's name. He would have added

it also to his own name. But on reaching §10 it occurred to him for stylistic

Acta Antiqua Aeademiae Scientiarum Hungaricue 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


18 4 I. GERS HEVIT CH : THE COLOPHON OF TH E NOKONZOK INSC RIP TION

variation to write, instead of his name, «Uk». And to Uks even Bactrians wereevidently not in the habit of attaching patronymics.

These are not aimless considerations. For whenever one differs from illus-tr iou s predecessors in th e solution of problem s, one mu st t ry to unde rst and, and

refute, not only the reasons they adduced for the ir solut ion, bu t also reasonsthat may have influenced them without their deeming it necessary to adducethem, if they are such that they appear tacitly to support the solution withwhich one disagrees. We may well ask why Livshits, despite the ßegCoytogo

XIQÔI of No. 3 abo ve almo st forcing one to take yigyoyavo in No. 1 for a personalname, preferred to consider yigyoyavo a buildi ng st ru ct ur e as Henn ing had done,who however of our No. 3 knew as yet nothing. It seems to me obvious, althoughLivshits does not say so, that he did this out of reluctance to regard as a namea word which, unlike all the other names appearing in M (the sole Kaniska's

excepted), is unaccompanied by a patronymic defining it as a personal name.The word also has as yet no etymology supporting onomastic interpreta-tion. Let me end by hazarding a shot into this dark : *rixtaka-manah- ( > *xir-dag > *xir(d)g) «the relaxed-minded, the even-tempered», with reference to themeaning of German gelassen.

Cambridge.


8/15/2019 ACTAANTIQUA_28 (1980)


J . H A R M A T T A

KIDARA AND THE KIDARITE HUNS IN KASMÍR

It was recognized by earlier research long ago that precise historical datescan only be found in Kalhana's Räjatarangini from 813 A.D. onwards. This date(viz. th e La uk ik a year 3889 which bega n on th e 7th March , 813 A.D.) is given

by Kalhapa for Cippata-Jayäpida's death. Before this event he can only offerfigures indicating the length of the reigns of individual rulers. 1 It was also seenalready long ago that the chronology of the whole period preceding the deathof Cippata-Jayäpida was based on calculated dates, computed by Kalhana onthe basis of some chronological and historical theories.2

In spite of the constructed character of the chronology for the earlierperiods of Kasmirian history, one must not regard the narrative of Kalhana asa mere invention, being without any historical authenticity. This statementmay be valid first of all for the earlier Kärkota kings who ruled prior to the

death of Cippata-Jayäpida. Here we find only a small error of 25 years.3 Eventhe date for the rise of the dynasty, deducted from the length of the reigns ofthe earlier Kärkota kings, can be supported by historical reasons.4 It followsthat in general the historicity of Kalhana's narrative from the beginnings ofthe VHth century A.D. onwards cannot be called in doubt.

But it was also pointed out by M. A. Stein that Kalhana mentions somewell-known historical personalities even before the Kä rk ot a dyna sty. 5 Thus, heborrowed from the work of Chavilläkara the names of five kings of which atleast four, viz. Asoka, Huska, Juska, Kaniska, are also known from other

sources. The description of these kings given by Kalhana well corresponds tothe evidence of other sources and as regards the three Kusäna kings he offerseven some details, unknown elsewhere, which point to a well-informed historicalwork. Such det ail s are th e following :

1 Cf.M. A. STEIN : Ka lh an a' s Räj ata ran gin i.2 Delhi — Pat na—V aran asi 1961. Vol. I .58 foil, with earlier literature.

2 Cf. Räj. I. 48—56. M. A. STEIN : op. cit. Vol. I. 59 foil. (Introduction), notes to I.4 8 - 5 0 , 53, 54 Vol. I. 10 - 1 2 (Translation).

3 Cf. A. CUNNINGHAM: The Ancient Geography of India. I. London 1871. 91;G. BÜHLER : Detail ed Rep or t of a Tou r in Search of Sans kri t MSS. Made in Ka ém ir ,Ra jp ut an a, a nd Cen tral I ndi a. Bom bay 1877. 43, 55 ; M. A. STEIN : op. cit. 67 foil.

4 J . HARMATTA: La te Ba ct ri an Insc rip tio ns. Act a Ant . Hun g. 17 (1969) 404.3 M. A. STEIN : op. cit. 64 foil., 74 foil.


8/15/2019 ACTAANTIQUA_28 (1980)


186 J. HARMATTA

1. The form of th e names Hu sk a and Ju sk a.2. The chronological inter val betw een t he thre e Ku sä pa kings and th e

Nirvana of Buddha which is presumed to be 150 years.3. The simu lt ane ous reign of th e three Ku sä na kings which seems to be

supposed by Kalhana.Each of these details may arouse a keen interest.1. The forms Huska and Juska used in ste ad of Huviska, Huveska, Ooësko

and Väsiska, Vajheska, Bazësko were stri king fr om th e beginnings and Juska be-came identified with Väsiska only later. 6 In fact, the possibility of these formscan be proved from the view-point of historical phonology. The form Kaniskaobviously prevents us from ascribing the development of Huviska, Väsiska into

Huska, Juska to Gän dhä rl Pr äkr it in which the outcome of Kaniska was *Ka-nik(k)a. Accordingly, th e rise of the se st riking for ms can more pr ob ab ly be pre -

sumed in some Eastern Iranian dialect, possibly in the language of the Kusänasthemselves. Iu Late Bactrian or in some other Eastern Iranian Language likeYidgha-Munji, the form Huviska could develop into * Huska and then into Huska. Thus, this fo rm can easily be exp lai ned fro m th e view-poi nt of historicalphonology. As concerns Vajheska (to be read obviously *Vazeska), on th e basi sof Munji WUZÖW- > WZÖW- ' to extinguish', Yidgha vzän-, Munji vzön- < Olr.*ava-zän-, cf. Saka vaysän- 't o recognize', 7 we can presume a developmentVazeska > *Vzeska > *Vzuska, an d even > *Zuska. The form s *Vzuska or*Zuska could only be ad op te d by San skr it in th e spoiling Juska. Contr ary to th e

forms Ooësko and Bazësko used in Ba ct ri an , per haps we hav e to do with somelocal, Eastern Iranian variants or even with the genuine Kusäna developmentof these names here.

2. The strikin g sta te me nt abo ut t he short chronological inter val (150years) between the Nirväria of Buddha and the three Kusäna kings has anexact parallel in the Khotanese text P 2787-1-195 according to which CandraKanaiska was born when one hundred years elapsed since the deva Buddhapassed in parinirväna.8 Both the Saka text and Kalhana's source might havepreserved a genuine Kusäna tradition which wanted to shorten the long (more

than six hundred years) interval between the Nirväna of Buddha and the threeKusäna kings considerably.3. Since the discovery of the inscription from Ärä, it became clear that

Kaniska II and Huviska (I ?) must have reigned partly simultaneously. In thelight of this fact it seems not to be excluded either that Kaniska or/and Huviskawere already co-rulers of Väsiska. In this case the Kasmirian tradition might

6 Cf. recently M. BUSSAGLI : The Problem of Kaniska as Seen by the Art Historian.Papers on the Date of Kaniska. Leiden 1968. 42 and L. PETECH : Kashmiri and TibetanMaterials on the Date of Kaniska. Ibidem 244.

' Cf. G. MORGENSTIERNE : In do -I ra ni an Fr on ti er Lan guages . I I . Oslo 1938.

260, 264.8 H. W. BAILEY : Visa Samgräina. AM NS 11 (1965) 107.


8/15/2019 ACTAANTIQUA_28 (1980)


KIDARA AND THE KIDARITE HUNS IN KAŐMIR 187

have correctly preserved the memory of the three Kusâça kings as ruling simul-taneously.

Thus, the historical value of the Buddhistic tradition, preserved in Chavil-läkara's work and used by Kalhana, seems to be beyond any doubt. Moreover,earlier research also recognized long ago that the Râjataranginî preserved avaluable tradition of the Hephthalite kings Mihirakula, Toramäna, Khingila,and Lahkhana, too.9 On the basis of linguistic and historical arguments it seemsalso to be very likely that at least one part of the list of kings from Mihirakulauntil the Western Turk conquest of Gandhara in the twenties of the VTIthcentury A.D. can be regarded as authentic from historical view-point. 10

Now, we arrive at an obvious contradiction here. It is well-known fromvarious sources that the rule of the Kusäijas (and Late Kusän.as) was followedby th at of the Kid ar it e Hun s who were again succeeded by th e Heph thal ites .

This historical succession is valid also for the territory of Kasmír as it is clearlyproved by the coinage of the He ph th ali te dyna sty of Ka smí r. The type of th ecoins, minted by Toramäna, Pravarasena, Narendräditya and Gokarna, exactlyreproduces the gold coins of Kidara, which again follow the type of the coinsstruck by the Late Kusäna kings of North-Western India. 1 1

The Hephthalite kings of Kasmír had maintained even the legend Kidaraon the reverse of their coins. This fact can only be explained by the assumptionthat the Hephthalite dynasty of Kasmír was the immediate successor of theKidarite Hun kings who ruled there. As it is proved by the legend of their coins,

the Hephthalite kings of Kasmir wanted to be regarded as the legitimate de-scendants and heirs of Kidara and this claim is only comprehensible if Kidaraalso ruled over Kasmir.

It follows from all these considerations that Kidara, the Hun king oughtto have occurred in the enumerations of the Kasmirian kings. It was impossible,however, to discover Kidara or Kidarite Hun kings in Kalhana's Râjataranginîso far. In the meantime the contradiction between historical probability andKalhapa's narrative became even sharper. One succeeded to identify some coinsof Hiranyakula who reigned in Kasmír according to the Räjataraiigipi before

Vasukula, the immediate predecessor of Mihirakula.12

The coins of Hiranyakulaimitated even more exactly the coins struck by Kidara. Thus, they representeda missing link between the coinage of Toramâça and that of Kidara and proved— at least to some extent — the historicity of the list of kings who ruled before

9 A. CUNNINGHAM : Coins of Mediaova l Ind ia. Lon don 1894. 25 foil. ; M. A. STEIN :op. cit. 64 foil., 78 foil.

1 9 J. HARMATTA: op. cit. 100 foil.11 A. CUNNINGHAM: Coins of Mediae val In di a. L on do n 1894. 42 foil., Pl . I I I .

Fo r th e coins of Ki da ra men tio ned here cf. ; A. CUNNINGHAM : La te r Indo-Sc yt hians .Scytho-Sassanians and Little Kushans. London 1893. Pl. VI, 3, 10, 14.

12 A. CUNNINGHAM: Lat er Indo -Scy thi ans. E ph th ali tes , or Whi te H uns. Lon don1894. 98, 114, Pl. VIII. 9—10.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


KIDARA AND THE KIDARITE HUNS IN KASMÍR 189

«Then Vibhisana's son Nara who also bore the name ofKimnara, and whose prowess was sung by the Kininaras, became king.»

represents the Kidarite Hun king Kidara whose reign in Kasmír must have beensupposed already on the basis of historical considerations and numismaticevidence but who could not be identified in the text of the Râjatarangipïhitherto.

The identification of of king Kimnara/Nara mentioned in the Räjataran-gini with the Hun king Kidara can also be corroborated by chronological argu-ments. According to the narrative of Kalhana, after Huska, Juska, Kaniska sixkings reigned in Kasmír. The length of the reigns of the last five kings amountsto 190 years and 6 months but the duration of the reign of Abhimanyu I is notind ica ted . Adopt ing 134 A.D. for th e beginning of the Ka ni sk a Er a and 195A.D.for the end of the reign of Huviska and adding to this figure the 190 1/2 years,we arrive at the date 385 A.D. to which we have still to add the regnal years ofAbhimanyu I, reckoning with an average reign of 15 — 25 year s. Thus we o bt ainapproximately 400 — 410 A.D. for th e beginning of the reign of Kid ar a in Ka sm irwhich exactly coincides with the lower time limit proposed by K. Enoki for theIndian conquests of Kidara recently.15

Taking into consideration that by the coinage of Hiranyakula an immedi-ate historical link between Kidara and the Hephthalite kings of Kasmír isestablished, we can identify the Kidarite kings of Kasmír with Kimnara and his

successors. Thus, it becomes clear that the continuous historicity of the nar-rative of Kalhana in the Râjatarangini is not restricted to the period beginningwith 813 A.D. — as it was presumed earlier — but it can be extended up to thebeginning of Kuáana rule in Kasmír about the middle of the Ilnd century A.D.

Budapest.

15 K . ENOKI : On th e Da te of the Kid ari te s. Memoirs of the Research De pa rt sment of the Toyo Bunko 28 (1970) 20.

Acta Antiqua Academiae Scientiarum llvnqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


PH. GIGNOUX

TITRES ET FONCTIONS RELIGIEUSES SASANIDES

D'APRES LES SOURCES SYRIAQUESHAGIOGRAPHIQUES

Si l'on compare les sources arabes aux sources syriaques, notammenthagiographiques — dans le but de les utiliser pour l'histoire de l'administration

sasanide

1

— on ne peut que constater combien ces dernières sont supérieuresaux premières, par la qualité de l'information plus précise et généralementplus crédible. Cette supériorité pourrait être due au fait — que l'on n'a pasassez noté — que beaucoup de personnages mis en scène dans les Actes desmartyrs perses2 ne sont pas seulement des chrétiens ayant vécu en Iran maisdes convertis du mazdéisme, venus des hautes couches sociales et ayant exercédes fonctions importantes au service du Roi des Rois. Pour prendre quelquesexemples, datables du 6ème siècle, le Catholicos Mar Abä était né dans la reli-gion mazdéenne, il était même arzbed,3 mo t qu'il fa ut corriger en argbed, à monavis, puisqu'il devint attaché au secrétariat de l'ämärgar, qui le dén onc eracomme chrétien.4 De même, Mar Yazïdpanâh, est présenté comme plus savantque tous les mages nomb reux et ins tru its qui vivaien t à Suë, près de Ka r kâ de

Lëdan, et il était «chef et juge» de son village.5 Et encore, Mar Giwargis avantde se convertir au Christianisme, s'appelait Mihr-Mâh-Gusnasp (plutôt que

1 J'a i étudie no tam men t la fonction de marzbän, su rto ut à par tir des sour cesarabes, dans un article à paraître dans les Jerusalem Studies in Arabie and Islam. J ' a i

aussi présenté au Colloque de Jérusalem (juin 1980) une communication «Pour une esquissedes fonctions religieuses sous les Sasanidos», qui fait le point des sourcos iraniennes.2 Cf. P. BEDJAN: Acta martyrum et sanctorum, 7 vol., Pa ri s 1890—1897. Ce so nt

les vol. II et IV qui contiennent les actes des martyrs porses. Je cite cette édition-là,et non celle d'AssEMANi : Acta sanctorum martyrum orientalium et occidentalium, I ,] 748, difficilement accessible.

3 BEDJAN : Histoire de Mar-Jabalaha, de trois autres patriarches, d'un prêtre et dede deux laïques, nestoriens, Pa ri s 1895, p. 210 : sy r. 'rzbd.

4 BEDJAN : о . c. p. 216 — 216. Le ti tr e est écrit : hmrgrd muis la fin du mot -grdn'est sans doute dû qu'à une confusion banale avec les mots iraniens se terminant par-gird (cf. Yazdgird : yzdgrd). Le h initial pou rra it indiqu er que l'aspirée était enco reprononcée ; les deux graphies avec ' et h coexistent en tout cas, sur les sceaux et lesbulles, comme on peut le voir dans mon Catalogue des sceaux, camées et bulles sasanides,

I I . Les sceaux et bulles inscrits, Pari s 1978, pp . 141 et 144.S

BEDJAN : Histoire . . . p. 396 : les deux ti tres sont donnés en syriaq ue : ré'wdyn'. Il semble d'aill eur s que po ur dési gner le «juge», ce soit le plu s souve nt le t er mesyr. qui est utilisé.

Acta Antùiaa Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


192 PH. GIGNOUX

Mihräm-Gusnasp, comme on l'appelle en général),® il portait donc un nommazdéen comme tant d'autres martyrs, et le père de son père était de lignéeroyale et gouverneur d'une petite ville, tandis que le père de sa mère était

mohád? Plu s anci enne ment , dans les te xt es se ra pp or ta nt au 4

ème

siècle, 011tr ouv er ai t aussi des exempl es : le père du mar ty r Pus ay ava it épousé une f emm eperse de la ville de Bisäpür (Veh-Säbuhr) lorsqu'il fut déporté dans cette villeaprès avoir été fait prisonnier.8

On peut penser dès lors que les rédacteurs des récits de ces martyresdevaient être assez bien informés du contexte historique, administratif etreligieux, dans lequel vécurent ces chrétiens, et leurs données, sous cet aspect-là, 11'ont pas été, il me semble, su ff is am me nt étudiées, en dépi t des tr av au xrécents que l'on doit au Père J.-M. Fiey ou à G. Wiessner. Ce dernier, dans sonlivre Zur Märtyrerüberlieferurig aus der Christenverfolgung Schajpurs II 9 , acentré sa recherche sur les textes se rapportant au 4ème s. (mais rédigés au5èm e s.), et relevant les termes utilisés en syriaque pour la hiérarchie religieusemazdéenne, il déplore leur confusion et considère que les mots différentsemployés pour désigner une seule et même personne seraient dûs au fait queles rédacteurs ne faisaient pas une distinction nette entre les deux grandesclasses de prêtres mazdéens, les môydn et les möbadän.10 E t il ajo ut e que cet teconfusion est comparable à celle de la littérature grecque (où il n'est questionque de magos) et arabe (où l'on ne parle que de mûbad).11 Cette interprétationme semble trop pessimiste, et pour juger de la valeur des termes administratifs

transmis en syriaque, je pense qu'il est préférable de commencer par étudierles données plus tardives, celles du 6è—7ème siècles, qui doivent normalementse révéler plus précises et plus sûres, tout comme les sources arabes sont beau-

6 Le nom est en effet écrit sous plusieurs graphies : cf. BEDJAN : Histoire p. 436 :myhrmgwSnsp ma is p. 664, 1. 6 et 12, le h est bi en not é : myhrmhgwSnsp. *Mihrâm n'e stpas usité dans l'onomastique sasanide, telle que je l'ai décrite dans Pad näm i yazdân,Pa ri s 1979, pp . 36—10 0.

7 BEDJAN : Histoire, p. 436. Son pèr e mê me était öständär (syi. 'wstndr' à Nisi be.J.-M. FIEY n'a malheureusement pas compris ce passage, dans son livre Nisibe, métropolesyriaque orientale et ses suffragants des origines à nos jours, Louvain 1977, p. 274, addendan° 1, et p. 11 de l'introduction [CSCO vol. 388, Subsidia t. 54]. Ma liste n'est évidem-ment pas exhaustive, car on pourrait citer encore le nom de Kardag, qui, avant de seconvertir, était un zoroastrien aux fonctions importantes, qui cumulait les titres demarzbân de l'Adiabène et ptlcS' d'Äsür (Äsörestän). Ce deuxième titre pourrait bienreprésenter le pehl. bthSy des inscriptions, car le p initial peut s'expliquer, soit commeune conséquence de la règle d'archaïsation de l'écriture (qui veut qu'en pehl., un son6 est souvent écrit p), soit comme le signe d'une étymologie pressentie du mot commen-çant par pali-. Il faut not er qu'i l existe de ux graph ies du mo t en syr. : ptkS' BEDJAN :

AMS I V , 2 2 1 , e t p(hS\ c f . B E D J A N : AM S I I , 4 4 5 , 4 6 3 , 4 6 4 , 4 8 7 .8 B E D J A N : ÀMS I I , 2 0 8 .9 Göttingen, 1967 [Abhandlungen der Akademie der Wissenschaften in Göttingen,

Philo logi sch-Hi st. Kl asse, 3. Folge, n° 67]. Ce livre est malheu reus emen t difficile à util iser,car il n'est pourvu ni d'Index ni de bibliographie.

1 0 W I E S S N E K : o . e . p . 1 7 1 .11 WIESSNER : o.e. p. 171 note 3.


8/15/2019 ACTAANTIQUA_28 (1980)


TU R KS ET FONCTIONS RELIG IEUSES SASANIDES 19 3

coup plus crédibles pour la période des Xusrô que pour les débuts de l'époquesasanide, et seulement ensuite examiner les sources plus précoces du 4ème

siècle, que l'on pourra alors juger d'un regard moins sévère et en tout cas, dansune perspective diachronique.

J'ai affirmé, au début de mon introduction, la précision des sources syria-ques. Je voudrais en donner quelques exemples. Dans un passage de la vie deMar Giwargis, martyr du 6ème s., est cité un mot moyen-perse en syriaque quin'a pas été reconnu jusqu'ici, à ma connaissance, et qui est abondament attestédans les inscriptions du 3ème siècle, de Kirdlr à Narseh. Le passage

w'tylih Ih 'yqr' bdrg' hd' dmtqry' pdHr

qui se traduit : «Et il lui fut donné une dignité dans ce rang qui est appelé

padixSar»à Giwargis qui ét ai t serviteu r à la tabl e du Ro i.Même dans une phrase aussi courte, le mot padixSar sembl e avoir un sens

assez précis, et en tout cas différent de celui que possède 'yqr'.ïl fa ut donc voir,à partir des occurences en pehlevi, que je voudrais citer ici in extenso, quelpeu t être le sens exact du mot, qui ap pa ra ît dan s hui t co nte xt es différ ents :

a) K KZ 4/KSM 5/ KNßr a 10 :13

'Pm g'sy W pthSly 'pltly 'BYDWN...«Et il éleva mon rang et mon padixSar»

b) KK Z 6/KSM 8/ KNR m 16 :

'Pm wlhl'nc MLK'n MLK' PWN 'gl'dyhy W pthSly YHSNN. ..«Alors Vahräm roi des rois me maintint dans ma noblesse et mon

padixSar»

c) KKZ 8/KSM 11/KNRm 22-23:

ZKm BYN Stry 'pltly g'sy W ptMly 'BYDWN 'Pm g'sy W pthSly ZY wclk'n YHBWNt...«Celui-ci (= Vahräm II) éleva mon rang et mon padixSar, et il medonna le rang et le padixSar des Grands»

d) KK Z 9/KSM 13 /K NR m 28 ? :

12 BEDJAN : Histoire, p . 437 , 1. 5 — 6.13 J'utilise les sigles, utilisés dans mon Glossaire des inscriptions petitevies et parthes,

Lon don 1972, et adop tés par la plup ar t des iranis tos : KKZ = inscr. do Kird ir à laKa 'a ba de Zoroastre ; KSM, = inscr. du même à Sa r Maähad ; K N B r a = inscr. du mêm eà Naqä-i Rustam ; NPi = inscr. do Paikuli.

1 3 Arta Antiqua Academiae Scientiarum Hungaricae 2S, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


194 PH. GIGNOUX

W mgwGBB' BYN Ury LB' ptMly YHWWNt...

«Et les mogmard u f u r e n t d a n s l e p a y s d ' u n g r a n d padixëar»

e ) K S M 25 / K M R m 50( l ac una i r e ) :

HT LB' 'gl'dyhy W pth[S]ly QDM...

«Si un e gr an de noble sse e t un g ra nd padixSar s u r . . . »

f) N P i 9 :1 5

W GDH W Ury W NPSH W ptMly ZY nyd'k'n MN yzd'n

MKBL[WN...]

«Et (qu ' i l ) 1 6 a ccep t e des d i eux l e xvarrah, l ' e m p i re , son p ro p re t r ône

et le padixSar d es anc ê t r e s . . . »

g) N P i 26 :

[W pt]Mly BR' LMYTNt. . .

«Et i l fut déchu (?) de son padixSar...»

h) N P i 33 :

HT 'yw b'iy $hp[whry] . . . [p]sd'lyk k[r]ty 'Pán psd'lykn pthály

YHBWN . . .

«Si une fois Säbuhr (roi des rois?) ( le) f i t päsdärlg, alo rs i l (lui) d o n n a

le padixSar d e s päsdärlg ...»

Ains i , d ' après ces d i f féren t s passages , l es ro i s on t l eur padixSar, les

G r a n d s (kmzurgän) auss i , l e g r an d ma ge Ki r d ï r ég al em en t ; e t mê me le sa i n t

14 Le mot mogmard pou rr ai t bien êtr e un titre dan s la hiér archi e cléricale, bienque l'usage qui en est fait dans les incriptions de Kirdïr ne soit pas très clair. Le syr.me semble traduire ce mot dans l'expression gbr' mgibS' que j'ai relevée dans BEDJAN :

AMS II , 51. Mais sur tou t, nous avo ns san s dout e d'a utr es titr es, formés de la mê memanière, et décelables dans des noms propres comme Azäd-mard, qui se lit sur un sceaudu Musé e do Copenha gue (cf. M.-L. BTJHL : A Hundred Masterpieces from the Ancient

Near East, in the National Museum of Denmark, 1974, p. 63, n° 51. J e li s: 'c'tmlt' Ymgw Y hwt'dbwt'n), ou comme Xvadäy-mard, que j'ai relevé sur deu x emprei ntes deQas r-i Ab u Nas r : n° 135 (36.30.249, ou D . 176, selon la publ ic at ion de R. N . FBYE :Saeanian Remains from Qasr-i Abu Nasr, Cambr idge 1973, p. 62b), où est i ns cr it :hwt'dmlt' Y mgw Y pws'n; et n° 192 (36.30.118, ou D. 248, FBYE p. 63b) où je li s:hwt'dmlt' Y mgw F [ 'n j. Or je cons idère ces nom s co mm e de possibles anc ienstitres, parce que l'inversion des membres du composé no se fait pas dans de tels nomspropres, comme on le constate par exemple dans Mard-bûd (cf. mo n Catalogue de la B. N.p. 146a, cité en note 4) et Büd-mard (Catalogue p. 143b).

15 Selon la nouvelle édition de H. HUMBACH et PEODS O. SKJAEEVC : The Sassanian Inscription of Paikuli, Pa rt 2, Syno ptic Tables, Wiesba den 1980. J e pense tout efo isqu'en NPi 9, on peut et doit restaurer un W entre les mots 'LS' et pthSly.

16 II s'agit, d'après le contexte, du roi Narseh.


8/15/2019 ACTAANTIQUA_28 (1980)


TITRES ET FONCTIONS RELIGIEUSES SASANIDES 195

Giwargis qui servait à la table du roi. L'étymologie proposée depuis longtempsne nous apprend pas grand'chose, et tout le monde traduit par «honneur,dignité».17 Mais d'après nos textes, y compris le passage en syriaque, il s'agitmanifestement d'une certaine qualité ou qualification qui ne va pas de soi,qui est accordée, peut-être en vertu des mérites, et qui est proprement mazdé-enne. Si le mot est vraiment hérité du parthe, 1 8 on pourrait penser qu'il désignenon un titre mais une qualité spéciale, que les contextes ne nous permettentpas de préciser davantage, et qui existait déjà sous les Arsacides.

Il est intéressant de noter que le mot est aussi attesté en moyen-persemanichéen. Dans un texte publié par W. Sundermann, 19 on lit en effet ceci :

«'w(g) 'st'ySn 'wd pdxsr dyynd (')w$ d'nynd lew ley 'st'wS (pd) wzrgyy(h) 'wd ' g r 'yyh gwg'y (hyn)d ...»

Quel que soit le sens ici, on sera frappé tout de même de constater l'al-liance de l'expression padixSar dàdan ave c le mot agrdyïh, comme dan s plu-sieurs passages des inscriptions.

Dans les actes des martyrs perses, de nombreuses allusions sont faitesà la religion mazdéenne, au rituel et aux coutumes que les rédacteurs connais-sent bien. Il n'est pas question ici de relever l'ensemble de ces données, maispour en montrer la précision, je voudrais prendre seulement un exemple. Dansla vie de Mar Giwargis,20 il est question d'un mage qui venant vers le saint,

sans savoir sans doute qu'il s'était converti, selon l'habitude mazdéenne«lui donne le vâz au moment du pain (i.e. du repas)», comme il est écrit:

wyhb Ih wsq' b'dn' dlhm' ...

Le syr. wsq' représente le pehl. vàzag de toute évidence. Or, l'expressionväz dàdan, bien rendu e ici en syr., ex pr im e préc isément l'écha nge de la priè reavant le repas entre deux personnes. Certes, le terme courant pour désignerl'ensemble de cet acte rituel est väz griftan,21 mais il ne con ven ait pas da ns ce

contexte.Ces quelques exemples nous ont montré la validité des sources syriaques.

On pourra donc faire confiance, avec la prudence requise, à ce qu'elles nous

17 Cf. M. BACK: Die Sassanidischen Staatsinschriften, 1978, P. 248 [ = A ct aIranica 18] : <*pati-Sfara- «Ehre, Ehr ung ».

18 BACK : o.e. p. 249, qui cite cela co mm e une suggest ion d' O. SZEME RÉNYI.19 Mütelpersische und parthische kosmogonische und Parabeltexte der Manichaer,

Berlin 1973, p. 102, ligne 1986/88. Je n'étudie pas ici les autres occurences du mot, qu'onpeut relever dans les Milteliranische Manichaica, hrsgg. ANDREAS-HENNING, et qu 'ona traduit par «honorer».

2 9 BEDJAN : Histoire p . 440.21 Cf. M. BOYCE et E . KOTWAL : Zo ro as tr ia n b âj and drôn , da ns BSOAS 24 (1971)pp. 56—73 et 298 — 313, no ta mm en t p. 58 et 60.


8/15/2019 ACTAANTIQUA_28 (1980)


196 PH. GIGN0ÜX

rapportent au sujet de l'administration religieuse à l'époque sasanide. Toute-fois, Wiessner n'est pas de cet avis, et reste pessimiste quant à cette validité.Il considère que l'emploi de plusieurs mots pour désigner une seule et mêmefonction manifeste, de la part des rédacteurs, une différence non claire entre les

deux grandes classes de prêtres mazdéens. 22

Je pense qu'il faut distinguer entre les textes du 4è—5 ème s. — auxquelss' es t limit ée l'é tud e de Wiessner —, et ceu x d u 6ème siècle, car ils nous fournis-sent une documentation assez différente, et on pourra ainsi voir se dessinerune certaine évolution, à condition, encore une fois, de faire confiance auxtextes.

Première constatation : il n'est nulle part question d'un möbadän möbadau 4è-5ème s., alors que ce titre est cont inuel lement at te st é au 6ème s., et cen'est sans doute pas un hasard. On ne peut évidemment croire, avec Christensen,

sur la foi de Tabari,23 que ce titre existait déjà sous Ardachir Ier . J'ai montréailleurs,24 que cette fonction n'a pu commencer au 3 ème s., car le mage Kirdïrl'aurait assurément exercée, et nous n'en avons aucune trace dans toute l'épi-gr aphi e iranienne. Si l'o n en croit les sources syri aques, ce serait donc un efonction relativement tardive. D'ailleurs, peu de temps après la parution del'o uvr age de Christensen, S. Wikand er e sti mai t que la dignité de Grand Mage,ou de möbadän möbad, n'avait commencé qu'au 5eme siècle.25

Un texte intéressant de la vie de Mar Aba, qui fut patriarche de 540 à552, nous présente un ensemble de dignitaires, lors de la reconnaissance offi-

cielle de sa mort :«Et ensuite le Roi des rois et le Möbadän möbad envoyèrent le Möbad

et le Juge (dayyana) et les autres mages (magusë) avec eux pour voir si c'étaitbien le saint ou non... »2e

Le Möbadän möbad est souvent accompagné des magusë, ce terme dési-gn an t à la fois les prê tre s de rang inférieur et plus géné rale ment les prêt res quelsqu'ils soient, puisque l'expression rabb maguëè sert à désigner simplemen t lemöbadän möbad, comme l'indiquent deux passages de la vie de Mar Aba. 27

Cette équivalence est même exprimée, de la bouche de Mar Aba, qui déclare :

22 O.e. p . 171 .23 L'Iran sous les Sassanides, p. 119.24 Dans mon article sur le marzbân, cité dé jà note 1.25 Feuerpriester in Kleinasien und Iran, Lund 1946, p . 182. G. WIDENGBEN :

Les religions de l'Iran, Pa ri s 1968, p. 292, ne se pron once pas sur une da ta ti on , et J .DUCHESNE-GUILLEMLN : La religion de l'Iran ancien, p. 294, est ime que ce fu t «peut-être sous Vahrâm V . . .».

26 BED JAN : Histoire, p. 271. La fonction de juge, que je n'é tud ier ai pas ici, devr aitcorrespondre au dâdvar pehlevi. Le dayyana est distinct du Möbad, mais dan s d'au tre spassages (Histoire, p. 229), il est identifié au rabb maguSè. Le juge, comme le rad (cf.

plus loin), sont des titres qui peuvent être donnés à un möbad.27 Cf. BEDJAN : Histoire, p. 232 et 233 : hydyn mwbdn mwbd wklliwn mgibS' etl'expression équivalente, p. 230 et 233 : qm rd т д Ш ' whbrivhy.


8/15/2019 ACTAANTIQUA_28 (1980)



w'mr Imwbdn mwbd w'p 'nt d'ytyk rb mgivë'«Et il dit au môb ad ân mô ba d : «Toi aussi, qui es chef des mages . . . »28

Comme Ta noté Wiessner,29 le même personnage est souvent désigné par

des titres différents. Par exemple, le rëS mauhpatë (chef de môbads ) est app el éaussi simplement mauhpata (môbad) ou même maguëa rabba (grand mage)ou seulement maguSa. Mais tout es ces appell ations peuv en t convenir à u nmage suprême, et ne prouvent pas nécessairement que le rédacteur est malinformé. Encore aujourd'hui, lorsque Ton parle du Pape, on peut l'appeleraussi pontife suprême, ou évêque (de Rome), ou pasteur, ou même prêtre,puisque c'est sa première dignité.

Le Môbadân môbad est appelé aussi rëSa d' maguêë (chef de mages).Dans la vie de Mar Yazîd-panâh, les deux titres sont explicitement présentés

comme identiques :30

mwbdn mwbd d'ytwhy rlT dmgwë'

Précisément, dans ce même passage, nous trouvons une liste hiérarchiquefort intéressante, où sont énumérés :

1 — le Môb adâ n môbad, qui es t rëèa de magusë ;2 — un grand Môbad (mauhpata rabba) ;3 — le Môbad du Bet h Ar am ay ë ( = Séleucie-Ctésiphon) ;

le texte est le suivant :

wmtyw Ih Imdynt' pyrwzSbwr mwbdn mwbyd d'ytwhy rS' dmgwS'wmwhpt' hd rb' wmwhpt' dbyt 'rmy'«Et ils arr ivèr ent à la ville de Përôz-Sâbuhr, le môb ad ân mô ba dqui est le chef des mages, un Grand môbad et le môbad du BethAramayë».3 1

Les données géographiques me paraissent confirmer la valeur du texte :

Përôz-Sâbuhr (ou Anhâr)32

est située sur l'Euphrate, et c'était le dernier évêchédu Beth Aramayë en remontant l 'Euphrate. Elle devait donc faire partie auseide la province civile d'Âsûrestân, où pouvait fort bien se rendre le Môbadresponsable de cette province, puisque les divisions ecclésiastiques nestoriennescalquées au début sur les divisions administratives sasanides ont dû sans doutele rester par la suite.

28 BEDJAN : Histoire, p. 232. Cf. de mêm e, p. 226.29 O.e. p . 170.3 0 BEDJAN : Histoire p. 401.31 BEDJAN : Histoire p. 401.32 Comme l'a montré A. MABIOQ : Classica et Orientalin, Pa ri s 1965, pp . 94—97.


8/15/2019 ACTAANTIQUA_28 (1980)


198 PH. GIGNOUX

Ainsi, au-dessous du Möbadän môbad, il y a un «grand möbad», et c'estun titre que l'on rencontre souvent et qui est nettement distinct du Môbadqui a la charge de telle ou telle province, comme cela est mentionné dans lestextes. En voici quelques exemples :

hydyn qm mwhpt' dbyt 'fmy'

«Alors il se leva le môb ad du Be th Ar a m a y ë . . . >>33

w'yty l'dwrbygn wlbk qdm mwhpt' d'tr' hw

«. . . E t il em po rt a [ces écrits ] en Äd ur bäda gän et les plaça de va ntle môbad de cet endroit».34

'ëlm 'nwn Imwhpt' dbhw zwn' ëlyt hw' bhdyb dnwbl 'nwn Iwt mlk'«Il les livra au môbad qui, en ce temps-là, avait le pouvoir en Adiabène,pour qu'il les conduise auprès du Roi. .. »35

Comme le möbadän môbad, le grand môbad se tient manifestement à lacour , dev ant le roi, lorsqu'il s'agit pa r exemple d'in terr oger un chrétie n :

hydyn qm mwhpt' rb' qdm mlk'. ..«Alors il se leva, le gra nd m ôb ad de va nt le roi. . . »3fl

Mais il se déplace aussi, en dehors de la cour, comme en témoigne cepassage du martyre de Yazîd-panâh :

'zlw w'mrw Ih Imwhpt' rb' d'yt hw' b'tr' hw mtlth wmn dëm' mwhpt'hw Sdr wqryhy Iqdmwhy«Ils allèrent parler contre lui au grand môbad qui se trouvait en celieu et dès que ce môbad (les) eût entendus, il l'envoya (chercher) etle convoqua devant lui».37

Il n'y a pa s à s' y mépr en dre ici : il s' ag it bien du gr an d môbad et nonpas du môbad de la province. Que ce grand môbad avait un pouvoir sur tout le

pays, le partageant sans doute avec le möbadän môbad, me semble indiquépar un passage de la vie de Yazîd-panâh, où le roi promet au saint, s'il aban-donne le Christianisme, de le faire «grand môbad sur tout le pays» : 38

n'bdk mwhpt' rb' bklh 'r"...

33 BEDJAN : Histoire p. 233, idem p. 300.34 BEDJAN : Histoire p. 250.3 5 BE D J A N : AM S I V , p . 1 3 6 .36 BEDJAN : Histoire p. 368.37 BEDJAN : Histoire p. 397.3 3 BEDJAN : Histoire p. 402.


8/15/2019 ACTAANTIQUA_28 (1980)



Il me semble donc que les grands möbads pouvaient former une sorte decollège autour du Môbadân môbad, à l'image de ce qui existait alors dansl'Eglise nestorienne. Nous savons en effet qu'il y avait trois degrés dans sahiérarchie : le Patri arc he, les métr opoli tes ayan t jurid icti on sur une région

très étendue, et les évêques39

dont l'autorité ne s'exerce que sur une seuleville.40 Selon La bo ur t, le mét ropo lit ain est «en quelque sorte , le délégué régiona ldu Catholicos qui le n o m m e . . . Il pe ut intervenir dan s les conte stat ions quisu rv iennen t e ntr e les évê ques. . . Mais pour les causes plu s graves , il doi t enréf ére r au pa tri arche. Car il ne possède pa s, comme lui, la jur idi cti on ordi nair edan s tou te l 'étendue de sa pr ov in c e. .. Sa primaut é est su rt out une pri mau téd'honneur.»41

Ainsi, de même que le métropolite a un pouvoir intermédiaire entre lepatriarche et l'évêque, et moins «territorial», car «l'évêque est maître absolu

dans les limites de son diocèse»,42

de même il semble que le grand Môbad soitaussi une sorte d'intermédiaire entre le Môbadân môbad et le môbad «provin-cial». Cette hiérarchie mazdéenne est encore reflétée dans un passage de la viede Yaz ïd- panâ h, où le grand mô bad propose au saint de le n omme r mô ba d (ilétait seulement, avant sa conversion, rêSa et dayyana, co mm e on l'a vu), s'ilrevient au mazdéisme :

W 'n dly tttpys wtSm' Ihw mdm d'mr 'n' Ik thw' mwhpt' btr dylyb'tr' hn'

«Maintenant, si tu te laisses convaincre et écoutes ce que je te dis,tu seras môbad après moi en cette région.. . »43

Bien ent endu , les tit res ont changé, au cours des siècles : le Pat ri ar ch es'est d'abord appelé archevêque, puis grand métropolitain, et à partir deDâdiSô' (421 — 456), l'évêque de Séleucie se nomme pr es que exc lusi vementCatholicos, puis patriarche.

Si l'on en croit le témoignage d'un sceau très intéressant de la Bibl.Nationale de Paris,44 l'évêque ayant autorité sur le Hulvân et le Balâsagân por-

tait le titre de vuzurg Catholikos.ib

Ce dev ait être l'équiva lent d' un métro polite .On peut donc supposer que le grand môbad portait le titre en pehl. de *vuzurgmôgbed, malheureusement non attesté jusqu'ici. Par contre, les bulles sasanides

39 Cf. J. LABOURT : Le Christianisme dans l'empire perse sous la dynastie sassanide,Paris 1904, p. 326 sv.

40 LABOURT : o.e. p. 332 : «Il ne doit y avoir qu'un seul évêque dans chaque ville».4 1 LABOURT : o.e. p p . 3 3 1 — 3 3 2 .4 2 LABOURT : o.e. p. 333.

4 3 BEDJAN : Histoire P. 398.44 Cf. mon Catalogue, p. 64, n° 7.5. Le pro fes seu r J . HARMATTA av ai t le p re mi er

déchiffré l'essentiel de l'inscription, et je le remercie encore pour cette importantedécouverte.45 Pehl. : wcwlk <&> 'tlykws.


8/15/2019 ACTAANTIQUA_28 (1980)


2 0 0 PH. GIGNOUX

nous ont livré en de nombreux exemplaires, des empreintes de sceaux de mô-bads des villes,48 que je place au troisième degré de la hiérarchie, qui avaientdonc à sceller des documents, ce que ne faisaient peut-être pas les grands mô-bads.

La situation de la hiérarchie mazdéenne que j'ai tenté de décrire ici, estcelle que nous connaissons à partir des textes syriaques à l'époque des Xosrô.J' a i indiqué plus h au t que le môba dân môb ad n'était pa s att esté au 4è—5ème

s. En effet, à cette époque, on parle seulement du rëSa d e mauhpatë, «le chefdes möbads», qui, au-dessus de tous les môbads, a dû logiquement précéder letitre de «môbad des môbads».47 Mais la situation au 6ème s., mieux documentée,et plus proche de nous, semble plus claire. C'est pourquoi nous nous limitonsici à cette période-là, comptant présenter ailleurs un tableau de la situationplus ancienne.

Le rad

Il est une fonction encore mal connue, celle qui est exercée par le Radet sur laquelle je voudrais apporter le témoignage des textes syriaques.

Ce titre apparaît pourtant à maintes reprises dans les actes des martyrs,comme dans la littérature pehlevie tardive, mais Hoffmann dans ses Auszügesemble l'avoir presque ignoré, en l'interprétant comme un nom propre Ràd,nom qui n'est pas attesté dans l 'onomastique sasanide.48

Il est évident que la graphie en syriaque est ambiguë, puisqu'on peutsupputer comme voyelle médiane un a long ou bref, mais c'est le titre de rad( < av . ratu-) qui est généralement attesté.

E n effet, da ns le ma rt yr e de Saint Pet hio n, Ho ff ma nn cite un perso nnagequi s'appellerait tantôt Naihormazd t an tô t Naihormazdrädh. M Bien plus, ilsemble qu'Hoffmann identifie dans ce récit trois personnes différentes, car àcôté de ces deux noms, il fait du dernier nom composé, deux personnages s'ap-pelant Naihormazd e t Räd h !50 Or il est clair qu'il faut comprendre dans ce motco mp os é «Naihormazd le rad» !

De même, dans l'histoire de Mar Giwargis, Hoffmann interprète le syr.rd comme le nom d'un mage, alors qu'il s'agit manifestement d'une controversesur le feu entre le saint et un Rad?1

46 Pa r ex., dan s le seu l Catalogue de la B. N., on trou ve les mö ba ds de Hus rA sâ d-Oh rm az d ( = Ctésiphon), s. 1.9 ; d'AbarS ahr (Niëâpû r), b. 1.1a, 1.3a, 1.4a, 1.5a; d' Er ân -Xv ar ra h- Sä bu hr (Suse), b. 1.4a, 4.8 a; de Médie, b. 7.8a.

4 7 C f . BE D J A N : AM S I I , 1 5 8 .48 G. HOFFMANN : Airszüge aus Syrischen Akten Persischer Märtyrer, Leipzig 1880,

p p . 64 —6 5. JUSTI : Iranisches Namenbuch, p. 256b, ne cite ce n o m qu e sur la foid ' H o f f m a n n .

49 O.e. pp. 64-65.50

O.e. p. 68.81 O.e. p. 109.


8/15/2019 ACTAANTIQUA_28 (1980)



D'après les sources syriaques, la fonction de rad n'est pas une fonctionindépendante, mais elle était exercée par le môbad d'une province :

hydyn qm rd wmwh.pt' dbyt 'fmy'...

«Alors il se leva, le rad et môbad du Beth Aramayë».. .52

Le rad est attaché à une province :

w'Slmwhy Ird d'dwrbygn dSmh hw' d'dyn«Et ils le livrèrent au rad d'Ädurbädagän dont le nom était Dâdën. 5 3

Dans la discussion de Mar Giwargis avec un rad, 54 celui-ci est appelé rad(ligne 8), mais plus loin (ligne 14) maguSa, tan dis que c'e st de nouveau le rad

qui est désigné ligne 16,de même q u' à la pag e sui van te, ligne 1. Mais cela ne doi tpas nous étonner, car comme nous l'avons vu plus haut, à propos du môbadânmôbad, il est normal qu'un membre élevé de la hiérarchie ait été d'abord«mage», tout comme un évêque ou un métropolite avait d'abord été consacréprêtre.

La fonction de rad était distincte de celle d'ainbed (ou âyênbed ) que j'aiétudiée ailleurs,55 car on lit dans l'histoire de Mar Aba :5в

wmn btr d'Slmh rd I'ynbd. ..

Un peu plus loin,57 le rédacteur utilise le pluriel (n'hdwn-yhy) pourindi que r qu'il s'ag it de deux f onctio nnair es diff éren ts :

wSdrwhy Ird wl'ynbd dn'hdwnyhy ksy'yt«Et ils l'envoyèrent au Rad et à l'Ainbed pour qu'ils s'emparent delui en secret».

Que le rad ait été, en tout cas, un fonctionnaire important dans la hiérar-

chie, cela est attesté aussi dans les textes pehlevis. Ainsi, dans la procédured'ordalie, décrite dans plusieurs chapitres du Mâdayân ï hazâr dâdestân, c'est

62 BEDJAN : Histoire p. 235 .53 BEDJAN : Histoire p. 239. C'est un excellent nom , bien att est é (cf. Pad nam,

г yazdän, 1979, p. 67), que n' a pas recon nu BEDJAN, qui a vou lu l'in ter pré te r co mm edàd-dîn ! Do mê me , O. BRAUN, Ausgewählte Akten Persischer Märtyrer, 1915, p . 204,a cru bon de transcrire le nom Dâd[d]ên. Certes, le nom de Dên-dâd exist e : BEDJAN : Histoire p. 234.

64 BEDJAN : Histoire p. 628.55 Da ns mon a rt . «Pour une esqui sse des fonctions religi euses sous los Sasanides»,

cité en no te 1 : j' y étudie les sour ces iraniennes ainsi que les passages des acte s des

martyrs.56 BEDJAN : Histoire p. 242.57 BEDJAN : Histoire p. 255.


8/15/2019 ACTAANTIQUA_28 (1980)


202 PH. GIGNOUX

sous l'autorité d'un rad et non d'un seul môbad que le jugement pouvait êtrearrêté. La condamnation ne pouvait être prononcée par les seuls dâdvarânou möbadän.5 8

Cette étude, consacrée à quelques dignitaires mazdéens, voudrait en

même temps manifester quelques aspects de l'intégration de la chrétienténestorienne à l'intérieur de l'empire sasanide. Le jugement de J.-M. Fiey,a ff ir ma nt la non-assimil ation des chrétiens en Ira n, doit être rectifié : dan sl'introduction à son livre sur Nisibe,59 il déclare de maniè re pérem ptoi re :

«L'église de Perse put bien s'étendre, .. . mais elle n'en devint jamaispour autant «iranienne», ni par la langue de sa liturgie, ou de ses écrits spiri-tuels, ni par sa hiérarchie, le plus souvent «importée», ni par ses racines hagio-graphiques, ni surtout par sa mentalité». Ce jugement peu nuancé sert appa-remment d'argument pour expliquer l 'effondrement rapide de la chrétienté

devant l'Islam. Or, même si les premiers chrétiens d'Iran ont été des prison-nie rs «d'i mpor tati on grecque», ils ne le son t pas restés pend an t qua tre siècles !Par ailleurs, il ne faut pas seulement distinguer, comme le fait Wiessner, entredes chrétiens de langue grecque, de langue araméo- syri aque ou de langue moyen-perse, mais il faut aussi poser le problème du bilinguisme.60

Dans son excellente monographie sur l'église nestorienne, toujours utile,le Cal Tisserant notait déjà que le Catholicos Ma'nä, vers 420, ava it tr ad uit enpersan des ouvrages syriaques. 6 1 D'autres métropolites du Pârs, à Rëv-Ardasir,composèrent des hymnes et cantiques en persan. Le code juridique d'Isö'böxt

f u t rédigé en persan et tr ad ui t plus ta rd en syr iaq ue. Certes, le syri aque est restéla langue liturgique, mais les nestoriens ont été certainement bilingues, utili-s an t le syriaqu e et le moyen- perse , to ut comm e au jo ur d' hu i ceux qui vivent auKurdistan, parlent à la fois le syriaque moderne et le kurde. 62 Un passage de lavie de Mar Aba témoigne clairement de ce bilinguisme :

68 Cf. A. PERIKHANIAN : Ord ali ja i kl ja tv a v s udo pro izv ods tve doisl amskog oirana, dans Peredneaziatskij Sbornik II I, Istorij a i filologija stra n drevnego vostok a,

Moskva 1979, pp. 182—192.59 Nisibe, métropole syriaque orientale et ses suffrayants des origines à nos jours,1977, p. 9.

90 G. WIESSNER, Zur Au sei nan der set zun g zwischen Chr iste ntum u nd Zoroastr ismusin Iran, dans ZDMG Sup ple men ta I, XV II . Deutsc her Orientalist entag, Wiesbaden1969, p. 411. Je n'ai pas compris l'intérêt de cet article, qui compare un récit tardif, etdéclaré inauthentique, à savoir le «roman de Qardag» au Kärnämag г Ardasïr, pourdémontrer le changement des deux pôles du dualisme zoroastrien (bien et mal) opérédans le christianisme iranien, défini comme une sorte de dualisme «inversé». Je ne voispas comment l'on peut vraiment différencier deux grandes religions à partir d'élémentsmythico-légendaires communs (qui signifient seulement que les rédacteurs syriaquesont été influencés, ce qui est normal, par la littérature épique iranienne), ni je ne puiscroire que le christianisme nestorien ait jamais été une forme de dualisme, ce que l'auteursemble admettre.

61 DTC (dictionnaire de théologie catholique), fasc. X C I - X C I I , 1930, p. 264.62 Comme je l 'ai longuement constaté durant un séjour en Irak.


8/15/2019 ACTAANTIQUA_28 (1980)


TITRES ET FONCTIONS RELIGIEUSES SASANIDES 2 0 3

wmn btr d'mr hlyn klhyn bUri swryy' hpJc brdrS w'mr 'п у п blSn'

prsy' 'yJc dnSm'wn 'p prsy' wnd'wn mdm d'mr. ..

«Et après qu'il eût dit toutes ces choses en langue syriaque, il les répétaen langue perse afin que les Perses aussi l'entendent et connaissent

ce qu'il avait dit».63

Je vois aussi une autre preuve de ce bilinguisme dans les sceaux chrétiens.En effet, dans un article à paraître, 64 j 'ai réuni une trentaine de sceaux que j ' identifie comme chrétiens essentiellement à partir du contenu de leurs in-scrip tions . Or celles-ci sont soit en syr iaq ue soit en pehlevi, soit même pou r l'u ned'entre d'elles dans les deux langues !65 C'es t assez dire comb ien les nestorien sn'avaient pas de peine à utiliser l'une ou l'autre langue, même dans des docu-ments officiels comme les sceaux — celui du grand Catholicos cité ci-dessus est

gravé en écriture et langue pehlevie ! — ce qu'ils n'auraient certainement pasfait s'ils étaient restés à l'écart de toute influence mazdéenne et iranienne 66

et fermés sur leur propre communauté. L'expansion nestorienne vers l'est àpartir du 6ème et 7ème siècle témoigne au contraire de l'ouverture des chréti-ens au monde dans lequel ils vivaient, tout comme les actes des martyrs. C'estpourquoi ceux-ci, comme j'ai tenté de le montrer, nous informent à la fois surla structure de l'église mazdéenne et sur la bonne insertion des nestoriens dansl'Iran sasanide.

Paris.

6 3 BEDJAN : Histoire p . 540 .64 «Sceaux chrétiens d'époque sasanide», dans Iranica Antiqua 1980 (en hommage

À la m é m o i r e de R . GHIRSHMAN).85 C'es t un sceau du Br it . Mus eum n° 120 260 ( = BIVAR NA 1), où l'on peu t lire

deux mots : pehl. p'ky et syr . 4h', «Dieu sa in t !».68 Cette infl uence mazdé onne se man ife ste aussi dan s les inscriptions de sceau x,

puisque les chrétiens ont utilisé des formules zoroastriennes, mais en les adaptant et lesrendant conformes à leur propre foi.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


211 A. D. H. BIVAR

QUESTIONS OF INTERPRETATION IN THEINSCRIPTIONS OF THE SASANIAN SEALS

The engraved gems of the Sasanian period in Iran, with their shortPahlaviinscriptions, have attracted interest in recent years for the special light they canthrow on the history, culture, and religion of that civilization. In my present

paper, for the opportunity to present which I express thanks to the HungarianAcademy of Sciences,1 I shall be dealing with some fairly limited problems ofinterpretation which concern these inscriptions.

One of the most familar terms in the Pavlavi seal-inscriptions is the wordräst, either found alone, or in phrases. This has dictionary meanings «true»,«straight», «direct»,2 but for the present discussion the opposed shades of mean-ing are, on th e one h and, «correct», and, on t he other , «righteous». We shall comein a moment to the associated abstract noun rästih (l'styhy) «righteousness».One line of interpretation, therefore, for the effective meaning of the former

term on a Sasanian seal is to regard it as a mere mark of authentication, signify-ing that a document is correct. Equivalent in the Arabic chancery usage is theuse of a phrase such as sahha dhälika «that is correct» as a mar k of aut he nt ic a-tion for official documents in the states of the Maghrib.3 I had been inclined tothi s view until I saw Professor Gignoux' s eloquent art icle in the Yädegär Näme-

ye Purdävud, which mak es strong case for the int erp ret ati on of phrases con tai n-ing this term as the expression of moral sentiments :4

«Il résulte, de ce qui précède, que partout où rdstïjrâstïh n'est pas employé

seul, à une exception près (et encore douteuse : le dernier exemple), ilpossède une connotation morale. Dès lors, quand il est seul, pourquoi

'T hi s pap er was read at the conference on the the me «Problèmes d'i nte rpré tat iondes sources sur l'histoire de l'Asie Centrale préislamique» hold at Budapest on September30th to 2nd October 1980 under the auspices of the Hungarian Academy of Sciences(with the assistance of the Union Académique Internationale and the CIPSH). I amgrateful also to tho Council of the Corpus Inscriptionum Iranicarum, who assisted myattendance.

2 D. N. MACKENZIE : A concise Pahlavi dictionary. London 1971. 71.3

S. M. STERN : Fatimid decrees. London 1964. 139 — 40.4 PH. GIGNOUX : Los «formules» des sce aux sassanide s et la signi fica tion de râstet râstïh. Farhang-e Iran Zamin, XX I, 1354/1976 ( = Yädegär Nâme-ye Purdävud), 49.


8/15/2019 ACTAANTIQUA_28 (1980)


206 A. D. H. BIVAR

perdr ait-il c ett e conn ota tion ? Il res te en to ut cas à le pro uver , si l'en ve utétablir qu'il servait à authentifier un document»

Of course, in one very obvious sense, every seal is designed for the authen-tication of documents ; and in a state where the administration was largely inthe hands of the priesthood, the distinction between a religious and an executiveact may not always have been clear-cut. A seal recently published by JudithLerner ,5 illustrating the Christian, or Jewish, theme of the sacrifice of Isaac,bears the Pahlavi inscription ZNH mwdly r'st «This seal is correct». Such a textis difficult to understand in other than a practical sense — that an earlier sealof the same owner had been lost, and only its replacement was now consideredvalid. It is true that the iconography makes clear that this was not a seal usedby the Zoroastrian hierarchy.

Yet its engraving is sufficiently typical of Sasanian glyptic, and it is dif-ficult to doubt that the word räst would have been understood as on other seals.This example, therefore, tends to some degree to swing back the balance, andto leave the precise meaning of râst once more open to debate. Where we haveknowledge only of the seals, and not of the documents they authenticated, it isdi ff ic ul t to grasp thei r message clearly ; ye t perh aps the fau lt is ours for seekingto understand them too literally ; between an ethical exhortation and a stampof authenticity there may have been less difference than we are inclined to sup-pose.

Where the formula involves the abstract noun, rästih «righteousness», theethical force is of course more obvious. At the same time, the term had a longlife in the Iranian chanceries, and the words rästi, rästi appear in the sign man-ual of Timur.6 A different nuance, however, is conveyed by the statement ofal-Mas 'üdi (Murüj, II , 204), th at the reve nue seal of Kho sra u I Anos hirv an waseng rav ed with the word al- 'adle justice» — an Arabic translation of rästih. It hasto be considered, therefore, whether the Sasanian seals engraved with this wordare likely to have been employed exclusively in the revenue department.Curiously enough, one of the more explicit phrases quoted by Professor Gi-

gnoux,7

Vstyhy TB ZY SB W PWN bhty — which he variously translates «La bondr oi tu re des choses (se fa it ) pa r le sort» or «Bonne exac ti tude des bien s (mar chan -dises) en partage», could, though the implications in either case are far fromclear to me, be interpreted as an admonition to share the burdens of taxationequitably. However, though its editor appears to entertain the possibility of

5 JUDITH A. LERNEB : Christian seals of the Sasanian period. Leiden and Ista nbu l1977. 42, no. 17. [Subsequently, P. GIGNOUX:'6' с е а ш ; sasanides de diverses collections pri-vées, Le uv en 1982, 19 ha s jus tif iab ly show n th at t he comp lete re adi ng is ZNH mwdlyr'styn „T hi s seal belongs to Ra st en " which eliminate s this example from t he discussion.]

6 JAHÂNGÎR QA'IM-MAQÂMÏ : M uh rh ä, t ug hr ä hä u tawqï 'h â- yi pä di sh äh än -i I rá naz Ilkhäniyän tâ payân-i Qäjäriya. Barrasihä-yi târïkhï, IV, 3 — 4, 1348/1969 — 70. 128

7 GIGNOUX : 49 .

Acta Antiqua Aeademiae Scientiarum Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


QUESTIONS OF INTERPRETATION 207

a fiscal purpose for this seal, I still feel, as I did some years ago, that an ethicalconnotation for rästlh provides the best solution at present.

A formula of the Sasanian seals of which the implications can be puzzlingis that which appears in its basic form as Iwb'n HZYTN (ruvân vên) «see thespirit». The ideogram IIZYTN , represe nting the pa st partic iple, or the imper a-tive, of the verb «to see», might of course appear on seals in several connections,literal as well as spiritual. At the present day, all those of us who travel arefamiliar with visa stamps. The word -ruvân, as the name of the ruler Anos hirv ânplainly testifies, might form an element of personal names or honorifics. On theother hand it is difficult to understand in what sense anything so invisible asth e spirit can be spoken of as to be seen. I fi nd it diff icu lt, neverthel ess, to followBrunner (Sasanian stamp seals in the Metropolitan Museum of Art, 141) that Iwb'n IIZYTN rep rese nts a legal fo rmula signi fying «witnessed». At the sa me

time, he suitably calls attention to almost the first instance of such a formulato receive scholarly discussion, the epigraphic seal at Berlin which had also beennoted by Shaked, reading :8

tny ZY KBYR k'mk Iwb'n HZYTN

which with the other commentators I take to mean «Body of many desires, con-sider the spirit». I assume this is an ethical admonition, expressing the well-known Zoroastrian value-judgment which, dualistically, constrasts the physical

unfavourably with the spiritual being. The admonition (not improbably a quo-tation from a religious text), is I suppose addressed not to the reader of the docu-ment, bu t directl y to th e owner of th e seal, to remind h im of the sovereign v ir-tues of austerity. Consequently, when we come to interpret such shorter for-mulae as thmdyny Iwb'n HZYTN , I und ers tan d th e implica tions a little dif-ferently, not only from Brunner, but also indeed from Gignoux, 9 whose transla-tion «Regarde l'âme de Tahm-den» suggests that he considers the admonitionaddressed to the reader, and the «spirit» in question to be specifically that of theowner of the seal himself, so that the whole legend has (as he suggests) a flavour

of «commemoration». In my view, this would constitute, for the Zoroastrian,an attitude of self-glorification quite at variance with the sentiments appro-priate to that faith. Rather, I should prefer, the admonition was a permanentreminder to the titulary of the seal to give precedence to spiritual over physicalvalues, and by no means a message addressed by him to the reader of the in-scription.

8 SHAOUL SHAKED : Je wi sh an d Ch ri st ia n seals of tho Sasa ni an po riod, in MYRIAMROSEN-AYAEON (ed.), Studies in memory of Oaston Wiet, 29 ; cit ing P . HORN and G.STEINDORF, Saeeanidische Siegelsteine, Berl in 1891. 39, no . 2179.

» P. 60.

14* Acta Antigua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


208 A. D. H. BIVAR

These are useful preliminaries before turning to one of the most trouble-some and puzzling seals which use a formula of this type, the British Museum'sseal BB1, which has inspired an unusual number of conflicting interpretations.Though there is no disagreement among scholars as to the reading of the letters,

and indeed of the words, the point of commencement, the word division, andthe punctuation invite varying solutions. My first attempt 1 0 HZYTN LY

pr'whlmzdy ZY hwhymlwb'n «Seen by me, Far r-Oh rmiz d, son of Huh êmr uvâ n»,made the purport of the inscription that of a simple visa-stamp, and of coursesidesteps the general question of Iwb'n. Sha ked soon af ter war ds sent me his veryingenious rendering11 mzd ZY xwxymlwb'n XZYTN LY pr'wxl «My frawahr( = et er na l spir itua l being) has seen th e rewar d of a ma n possessed of a soul ofgood character». Professor Gignoux returned to the fray 1 2 wi th pl'whlmzdy ZYhwhym Iwb'n HZYTN LY «Far r-Ohr mazd , à l'âm e bienveillante, reg arde moi !»

He was right to correct my orthographic imprecision in failing to record thatthe second character was written with the usual -I- for -r- ; yet on the generalissue, if my view is correct, it was not the purpose of these inscriptions to callattention to the owners of the stones ; rather they were an ethical admonitionaddressed to that person. Consequently, Iwb'n HZYTN will be, as in othe rexamples, a closely linked phrase, and the general interpretation has again to berevised. My first reading, in which I understood the pronoun LY (man) as thesecond word of the sentence, was partly influenced by Professor Boyce's teach-ing, that the pronoun normally comes second in the Middle Persian sentence.

On the other hand, there is a gap in the legend before LY, of which th e open ingcharacter is larger than others in the inscription, suggesting that reading shouldcommence at this point.

Recently I have seen how this paradox can be resolved. If we assume thatthe word mwdly (muhr ) «seal» is unde rst oo d, b ut no t expressed, as th e fir st wordof the sentence, then we can interpret the whole as (mwdly) LY, pl'whlmzdy ZYhwhym: Iwb'n HZYTN , a te xt of per fec tly conventional pa tt er n. However,problems may not yet be at an end. Are we to understand hwhym «benevolent»as a pr op er name , or ju st as an epi thet of religious tone, similar in fact to hwmtry,

of which Gignoux has shown that it has, at least in some connections, merelyan ad je ct iv al force ? Similar hesitatio n arises over anothe r piece, Fry e, ForoughiCollection, LI , 178, whi ch reads, yzdt-wlhl'n hwkly, which mig ht be either aninvocation of the deity (Yazad Vahram hukar), or a personal name with patro-nymic. Of this group of epithets, hwpndy fr om the Bri tis h Museum ston e CT) 1seems definitely a proper name.

10 Catalogue of the Western Asiatic Seals in the British Museum. Stamp seals. II : The Sassanian dynasty. Lon don 1909. 55.

1 1 SH AR ED : 30.

12 PH. GIONOUX : Cachots sasanides du Br it ish Museum, in Acta Iranica, Texteset Mémoires, V, Varia : :hâ. 133.

Acta Antiqua Academiae Scieruiarum Л и п ц а rira e 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



I turn now to what seemed to me in my innocence of 15 years ago a verysimple text, the British Museum stone AA2,13 which reads mnctry ZY 'rtMtr-Snwmy, and which I took to mean «Manuchihr who (is) Ard ash ir' s Joy» — t helatter not unusual type of Sasanian honorific attested also in the Shäpür KZ

inscription. Discussion with colleagues soon evoked the view that this was farfrom certain, and in his survey of my readings, to which we owe so many valu-able ameliorations,14 Gignoux denied that mnctry could spell the name in epi-graphic Pahlavi of which the Avestan form is Manusőiöra. For this seal he ac-cordingly proposed an avowedly vague interpretation «De la descendance deArdaxsïr-§n5m». I had been recalling, however, the well-known coins of the pre-Sasanian princes of Fars, 15 a familiar variety of which, attested in London by afortunately well-preserved specimen, (Pl. I) reads clearly mnctry MLK' BRHmnctry MLK Kin g Man uch ihr who (is) son of Ki ng Manuch ihr». There can be

no doubt at all that the repeated word must represent the proper name of fatherand son. The etymological problems arising from these data I have no choicebut to leave to expert etymologists.

The points I have made so far constitute merely a sifting of previously-published discussions, but it is only right I should wind up my article with somenew material. This includes two readings which throw a chink of light on thehistory of the Sasanian fire-temples. Actual seals employed by the fire-templesare rare, and I can quote offhand only those excavated at Ädür-Gushnasp, andperhaps the Paris stone 3.4, on which I commented in a review. 18 Yet despite

dissent ing views, the re is a considerable case th at th e nam es of fires, and vari ouscompounds of these, occur frequently as the names of individuals. If that viewwere well founded we could hope to learn from these attestations of fire-templeswhose existence was otherwise unrecorded. Recently I was sent by an ownerliving in a small English village a good enlarged photograph of a 5th centuryA.D. Sasanian portrait seal with a semi-cursive inscription interesting in thisregard (Pl. II). I am grateful to Mrs. L. Beck for permission to publish this spe-cimen.

'twr'rtMtr Y 'twrplh'ndt

Ädür-Ardashir ï Ädürfarroxän-däd

It is tempting to see in the names appearing on the specimen allusions tothe names of Sasanian fire-temples. Gignoux has recently re-opened the discus-

13 Catalogue of the Western Asiatic Seals in the British Museum. Stamp seals. I I .The Sassanian dynasty. 44.

"GIGNOU X: Cache ts sassanides. 135.15 Catalogue of Greek coins in the British Museum ; Arabia, Mesopotamia, Persia,

etc., by G. F. HILL. London 1922.18 JRAS, 1980. 94, anont PH. GIGNOUX: Catalogue des sceaux, camees et bullessasanides de la Bibliothèque Nationale et du Musée du Louvre : I I . Les sceaux et les bulles

inscrits. Pa ri s 1978. 25.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)



fairly obvious that the element -däd in Sasanian proper names, as in many otherreligiously inspired names of the ancient world, refers the child's conception tothe answering of prayer directed to à particular deity, or performed in a partic-ular temple. On this fairly evident hypothesis, Ädörfarroxän-däd might well

be the name of child whose conception was attributed to prayers performed ata temple named Ädür-Farroxän. And so I take it to be in this particular case.Farrox, or Farrox-bag could be understood as the designation of a deity, per-haps identical with Farrbay. With regard to the name of the Tabaristän rulerFarroxän, it could well be that he was named from a celebrated fire-temple,the Ädür-Farroxän of our inscription, a name presumably well known locally,and thus shortened merely to Farroxän. If so, and the temple the same as onour seal, it may well have been situated in Tabaristän, a theory which the styleof the engraving may do something to support.

My second example which again seems to make allusion to a fire-templeis fro m Fr ye 's Foroug hi album,21 being th e str iki ng impress ion on Pl .L , 171. (= P1.Ill here). The inscription, not to my knowledge read previously, appears to run :

'thfpzrdrp Y l's(tywMmzdy: 'p\s'tn 'L y]

It seems quite logical to resolve the first of these names as Ataxs-äbzar-darb ; taking âbzar (a term still current in modern Persian, as Mr N. Cheginireminded me) as the designation of the famous mercury gilding typical of theSasanian silverware. Darb, a by-form of dar «door» also current in modern Per-sian (the relation of which to its Arabic homonym, perhaps a loan from MP,must remain unresolved) is readily understood as «door», giving the overallmeaning «Fire-temple of the gilded door». This concept is perfectly probable.At the present day I know one religious building of Iran with gilded doors,the Madrasa at Isfahan. In the Sasanian heyday of silver-gilt, such decorationwould have been typical. In this case at least, there seems no difficulty in con-ceiving the owner of the seal as having been named from a fire-temple, and nopossibility here of a theophoric re-interpretation of the name. The second namepresents a difficulty. Of course, l's is a Pahlavi spelling of Persian râh «road»,yet though possible, «road of Ohrmizd» is not a very convincing personal name.On the whole it seems best to assume the omission of a character in the engrav-ing, an d emen d to Räst -Ohr miz d «The right eous (deed) of Ohrmizd» whe the rdeity or ruler of that name be here in question. And rast, of course, was the termwith which I began this paper.

London.

21 R. N. FRYE : Sasanian seals in the collection of Mohsen Foroughi. (Corpus In -

scriptio num Ira nioa rum Pt . I l l, Vol. vi, Portfolio II). (A reading based on a differ entemendation is now proposed by GIGNOUX and GYSELEN: Sceaux sasanides de diverses col-lections privées, 142, but shows no obvi ous superi ori ty. )


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


К . CZEGLÉDY

ZUR GESCHICHTE DER HEPHTHALITEN

Die Erforschung der Geschichte der Hephthaliten hat während der zweiletzten Jahrzehnte zu wichtigen Teilergebnissen geführt, die heutzutage dieRevision einiger Grundfragen der hephthalitischen Geschichte ermöglichen.Ich möchte diesmal von den letzteren, zwei miteinander zusammenhängendeProbleme ins Auge fassen : einerseits die Frage der Namen und der Stammes-komponente der Hephthaliten, andererseits die Geographie der hephthaliti-schen Einwanderung nach Ost-Tocharistan. Obwohl ich beide Problemen-komplexe bereits vor 25 Jahren in einem ungarisch herausgegebenen Aufsatz 1

behandelt habe, ist es nicht meine Absicht meine frühere Arbeit hier zusam-menzufassen. Vielmehr möchte ich Rechenschaft geben von meinen neuerenUntersuchungen, die ich auf Grund von neuen Quellenstudien, einschließlichder chinesischen Berichte angestellt habe.

Die Beurteilung der ältesten Periode der hephthalitischen Geschichte isteng mit der Frage ihrer verschiedenen Benennungen verbunden. Der Nameheftal scheint weder altaischen, noch iranischen Ursprungs zu sein : diese ety-mologische Frage ist aber vom Gesichtspunkte unserer Problemstellung wenigeraufsc hlußreich Aus den Quellen geht nämli ch eind euti g hervor, daß heftalursprünglich nur Name einer zeitgebundenen Dynastie um ungefähr 460 — 560unserer Zeitrechnung war und erst nach 460 auf das Volk der Hephthalitenübertragen wurde. Der Auftritt der hephthalitischen Dynastie ist also ein ter-minus post quem für die Authentizität der Erwähnungen der Hephthaliten.

Mit anderen Worten : diejenigen Quellen, die die Hephthaliten vor 460 erwäh-nen, antizipieren diesen Namen, was unter Umständen auch für die Beurteilungihrer Quellenwertes von Belang sein kann. Noch wichtiger ist aber, daß wir fürdie Zeitalter der Erscheinung der Hephthaliten und für ihre frühere Geschichte,anstatt des Namens heftal andere Benennungen zu erwarten haben. Und dasist in der Tat der Fall : die Hephthaliten erscheinen in den chinesischen Quellenvor 460 u. Z. unter dem Namen Hua. In den Quellen des Mitte l- und Na he nOstens werden sie als hyaona, xyön, oder %on, beziehunsweise hon-V und huna

1 Hef tal itá k, hunok, avarok, onogu rok. Magyar Nyelv [Ungaris che Sprache] 50(1954) 142-151.

Acta Antiqua Academiae ù'cientiarum Hunguricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 1 4 К . CZEGLÉDY

erwähnt, während sie bei den Byzantinern Hunnen, oder Weiße Hunnengenannt werden.

Was nun das chinesische hua be tr if ft , sind die best en Ke nn er der chine-sischen Lautgeschichte, unter ihnen P. Pelliot, 2 B. Karlgren,3 L. Ligeti4 undneuerdings auch E. G. Pulle ybla nk5 der Meinung, daß das chinesische Graphem

Hua im Mittelchinesi schen als *ywät ausgesprochen wurde. Seine Lautformentwickelt sich aber in derjenigen chinesischen Mundart, in der die meistenSprac hreste der nördlichen Bar bar en Innerasiens im VI I —IX . Jh . überm itteltworden sind, ins íiuad, oder huaö, eventuell auch ' uad , oder 'uaö. Das y- ver-stummte also in in dieser Mundart stufenweise. In der Form mit modifiziertemíi gibt letzteres ein stimmhaftes h zurück. Dieser alte Laut wurde zuerst vonP. Pelliot angenommen. Pulleyblank kam neuerdings zum gleichen Resultat.Das stimmlose h hat Ligeti auf Grund von sino-tibetischen Entsprechungen

vorgeschl agen.In meinem ungarischen Aufsatz ging ich von diesen wichtigen linguisti-

schen Erkenntnissen aus, und nahm an, daß wir den alten Namen der Hephtha-liten mit großer Wahrscheinlichkeit in *uar zu sehen haben, umsomehr, da auchsonst mittelchinesisches Ô fremdsprachiges r vertritt. Einer ganz anderen Mei-nung ist dagegen Kazuo Enoki,6 der in einem ausg ezeichnet dok ume nti ert enAufsatz neue Lösungen der hier erörterten Fragen vorlegt. Er zweifelt darinauch meine in 1954 veröffentlichten Ausführungen an. Enoki, ein hervorragen-der Kenner der chinesischen Quellen betrachtet die letzteren nach den Prinzi-

pien der modernen Quellenkritik und demonstriert auch in diesem Falle über-zeugend, daß wir ohne einen kritischen Vergleich der chinesischen Kompilatio-nen, welche denselben Bericht in verschiedener Fassung darbieten, kaum zueinem befriedigenden Resultat gelangen können. Seine Übersetzungen undKommentare enthalten viel wertvolles Material zur Frage. Auch seine Ansich-ten auf dem Gebiete der chinesischen Lautgeschichte trachtet er sachgemäß zufundieren. So verläßt er sich im Falle des Namens Hua auf die kompetenteRekonstruktion B. Karlgrens, indem er die zeitgenössische Lautform diesesNamens als ywät rekonstruiert, das er auf eine mit Asteriskus versehene Form

*Ghwâr zurückführt . *Ghwâr, seiner Meinung nach, ist nic ht s anderes als deralte Name der nordwestafganistanischen Provinz, der später, in den islamischenQuellen oft als ùûr belegt ist. Mit diesen Erö rte run gen ve rk nü pf t schließlich

2 T'o ung Pa o 16 (1915) 9, cf. Jo ur na l Asi ati qu e 1921/1, 139 sqq .3 B . K A R L G R E N : G r a m m a t a S e r i c a R e c e n s a . 1 3 3 — 1 3 4 , N o 4 86 /E ; 9 1 — 9 2 ,

No 302/m.4 In einein Vor tr ag , ge hal ten 13 Ok t. 1945 an der Unga ris che n Akadem ie der

Wissenschaften.5 Asia Major 9 (1962) 258.' KAZUO ENOKI : On th e Nat io na li ty of the E ph th al it es . Memo irs of th e To yo

B u n k o 18 (1959) 1 - 5 8 .


8/15/2019 ACTAANTIQUA_28 (1980)


ZUR GESCHICHTE DER HEPHT HALI TEN 2 1 5

Enoki seinen wichtigsten neuen Deutungsversuch, indem er die Hephthalitenfür ein in Ostiran autochtones Volkselement erklärt.

Es fällt allerdings sofort auf, daß Enoki in diesem Falle gar nicht sagt,in welcher Sprache die Entwicklung *Ohwär > Öür stattgefunden hat. Diesbe-zügliche Angaben fehlen in unseren älteren Quellen und auch den Muslimen wardie Sprache vom unzugänglichen Öür, wie auch sein heidnisches Volk im allge-meinen, fast gänzlich unbekannt. Enoki nimmt eine mit Asteriskus versehene«ursprüngliche» Form von Öür als *Ohwâr offenbar deshalb an, weil sie dem mit-telchinesischen Lautwert (*ywät ) von Hua am nächsten stehen würde.

Weitere Schwierigkeiten häufen sich, wenn wir die geographischen Erör-terungen Prof. Enoki's näher ins Auge fassen. Die wichtigste Beschreibung desLandes Hua fi nde n wir — wie sch on längst bekann t — in dem 54. Kap . desLiang-§u aus der ersten Hälfte des 6. Jahrhunderts. Hier finden wir eine Reihe

von wichtigen Angaben auch bezüglich der Nachbarländer von Hua. Der Wertder Berichterstattung des Liang-su wird aber dadurch beeinträchtigt, daß dieVerfasser dieses Jahrbuches, Hofbeamter der südlichen Liang-Dynastie, mitder Lage der einzelnen Länder des fernen Nordwestens, im Verhältnis zu einan-der, nicht ganz im Klaren waren. So unterlief ihnen ein Fehler im Falle desLandes Hua und der Provinz Bal ch, indem sie beh apt et en, da ß sich das La ndIlua auf secsh Tagesmärsche westlich von der Provinz befinde, während wenigerspäter, im selben Kapitel behauptet wird, daß der westliche Nachbar derProvinz Balch Po-sï, das heißt Pers ien, wäre. Es ist jedoch glücklicherweise gar

nicht schwierig festzustellen, welche von den zwei einander ausschließendenBerichten zu akzeptieren sei. Alle historischen und geographischen Quellennämlich, welche die Geschichte des persisch-hephthalitischen Krieges behan-deln, lassen keinen Zweifel darüber bestehen, daß das eigentliche Zentrum desHephthalitenlandes sich immer östlich und nicht westlich von der ProvinzBalch befand. Deshalb erscheint es einigermaßen befremdend, daß Enoki dieandere Angabe (Hua westlich von Balch) für richtig erklärt, indem er Hua,als soeben gesagt, mit der Provinz Gür identifiziert, obwohl letztere sich süd-südwestlich und auf einer großen Entfernung von Balch befand.

Umsomehr entscheidend fällt in die Waagschale, daß sich weitere wich-tige Angaben bezüglich des Landes Hua, d. h. *Uar in den chinesischen Quelleneinerseits und muslimischen historischen und geographischen Quellen anderer-seits befinden, welche die Anwesenheit des Volkes Hua-*Uar östlich von derProvinz Balch, im eigentlichen Tocharistan bezeugen. Um hier nur die zweiwichtigsten zu nennen : H : üan Tsang, der berühmte chinesische Pilger, durch-kreuzt e während seiner Reise nach Indien um 630 auc h Tochar ist an. Er ver-weilte damals auch in der hephthalitischen Hauptstadt. Letztere befand sich,gemäß seiner Aufzeichnungen, südlich vom Oxus, in der Gegend des jetzigen

Kunduz. Der Name der Hauptstadt lautet bei Hiüan Tsang Huo fg, also wiedereinmal ein chinesisches Wort, dessen mittelchinesische Form ywät lautet, also

Acta Antiqua Academiae Scientiarum Hunquricue 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


216 К . CZEGLÉDY

identisch mit der des chinesischen Volksnamens Hua ist. Die natürliche Annah-me, daß wir auch in diesem Fall mit dem Hephthalitennamen *Uar, als Nameder hephthalitischen Hauptstadt zu tun haben, wird erhärtet durch Birüni'sAngabe, wo gesagt ist, daß die Hauptstadt der Hephthaliten in alten Zeiten

den Namen War-waliz tru g. Mit Rücks icht auf Hiü an Tsang' s War erscheintnun sehr wahrscheinlich, daß es sich hier um einen zusammengesetzten Namenhandelt, dessen erste Hälfte den Hephthalitennamen *Uar enthält, währenddie zweite — wie es lange her ver mutet wurde — ein Wort mi t der Bede utung'Burg, Stadt' sein kann.7 Wir sollen dabei die Tatsache nicht vergessen, daß*Uar sich im eigent lichen, östlichen Toc har ist an bef and , also auf altem irani-schem Boden, wo neben der Sprache der Eroberer auch noch das mittelbaktri-sche Idiom gesprochen wurde. Ich bin daher zur Überzeugung gekommen, daßwir genug Grund dazu besitzen, zwischen diesem wallz und dem mittelbaktri-

schen malizo einen Zusammenhang zu suchen, und diese Annahme scheintauch vom linguistischem Ständpunkt aus plausibel zu sein.8

Was nun die oben genannten anderen Bezeichnungen der Hephthalitenbetrifft, die mit dem Namen der Hunnen zusammenhängen ( yyön, y un, hun),ich habe mich in meiner früheren Arbeit mit den sprachlichen Eigentümlich-keit en dieser Nam ens for men eingehend besc häfti gt. Je tz t bemerk e ich nur, d aßwir bezüglich des Endnasals in der chinesischen Form hiung- (im Namen hiung-nu, archaisch-chinesisch yiwong-nuo) besser unt err ich tet sind als früh er.J. Hamilton und E.G. Pulleyblank haben nämlich schwerwiegende Argumente

vorgetragen für die Beobachtung, daß der chinesische Nasal in manchen Trans-kriptionen fremdsprachiger Streudenkmäler den Lautwert -n, anstatt des ge-wöhnlichen y besitzt. Das bedeutet, daß wir die archaische Form von hiung-nuproblemlos als yiun-nuo rekonstruieren können, welch letzter es mit dem mittel-persischen yyön bis auf den im mittelpersischen schon nicht mehr bezeugten,

7 Pro f. HARMATTA, dem ich diesen etym olo gisc hen Ge da nk en v or tr ug, h at te dieGüte dazu zu bemerken, daß so eine Erklärung ohne weiteres akzeptabel ist, aber unterder Bedingung, daß wir vom Element lizo des baktrischen Wortes ausgehen.

8 Das Zusa mmenl eben der Hep htha lit en u nd der Qarluqen in Ost-Tocharistangeht besonders deutlich aus einer von ENOKI nicht angeführten Stelle des T'ang-hui-yao(ed. Shanghai 1935. 1315), aus dem Jahre 649. 10. Monat 3. Tag) hervor, wo von deradministrativen Organisation der Westländer die Rede ist, welche die Chinesen nachihren überwältigenden Siegen über die Türken planten. Hier wird auch eine Präfektur( б о и ) , namens Ko-lo (abg ekür zt von Ko-lo-lu ~ Qarluq) aufg ezä hlt «für zwei Horde n,die Qarluq und die Hephthaliten eingerichtet». Wichtig in diesem Berichte ist, daß hiereine Verwechslung, wie im Falle des arabis chen Gr aph ems h.l.h (mögliche Lesunge n :halluh = qarluq oder halag = qalac) ausgeschlossen ist.

Die Yabgus (bzw. Sade) von Toch ari sta n un d von den ihm angr enze nden Gebietengehörten zum westtürkischen Zweig der herrschenden A-schi-na Dynastie. Einige vonihnen trugen den Namen P'u-lo oder Ko-lo P'u-lo. I m Bárczi Géza Eml ékk öny v [Fest-schrift für Géza Bárczi. Budapest 1963. 60] habe ich versucht zu beweisen, daß die mittel-chinesische Form dieser Namen : b'uok-lâ, kâ-lâ b'uok-lâ eine ge na ue Wiede rgabe des

tü rk i schen Buyra, Qara Buyra dars tellt . Glechzeiti g habe ich die Bed eut ung dieserAngaben für die Frage des Ursprungs der Bugra oder Qara-Chanidischen Dynastiege werte t .

Acta Antiqua Aeademiae ScierUiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


ZUR GESCHICHTE DER HEPHTHALITEN 217

also wohl auch schon im Original entfallenen Endung -uo identisch ist. DieHephthaliten besassen also, wie auch die Awaren, neben den Uar-Stämmen,auch starke hunnische Stammeskomponente. Der gemeinsame Ursprung der

verschiedenen Namensformen der Hunnen (hiung-nu, yyön, y un, hun) tritt imFalle der hephthalitischen Hunnen am deutlichsten hervor.

Budapest.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


225 M. GRIGNASCHI

LA CHUTE DE L'EMPIRE HEPHTHALITE DANSLES SOURCES BYZANTINES ET PERSES ET

LE PROBLÈME DES AVAR

Les sources perses sur la chute de l 'Empire Hephthalite ont été étudiéesen détail par M. Widengren 1 et nous reprenons aujourd'hui cet argument parceque nous croyons que, si l 'on tient compte des rapports entre les textes aux-quels le savant suédois a emprunté les différentes «riwâyah» se rapportant àcet événement, il est possible de se former une idée plus claire du récit origi-naire du «Rodâynamah» sassanide. Tout comme M. Widengren, nous ne nousarrêterons pas dans cette communication sur le problème de savoir s' il a existéun seul «Rodâynâmah» sassanide ou si, déjà l 'époque perse, il y avait plusieursversions de ce livre.2 Nous dirons seulement que si l 'on préfère croire qu'il aexisté un seul «IJodâynâmah», ainsi que nous sommes enclin à le penser, ilfaut alors admettre que déjà ce livre perse contenait parfois des versions diffé-rentes du même événement à l ' instar de ce que nous rencontrons si souvent

dans les ouvrages arabes. 3 Il était d'ailleurs nécessaire de reprendre le pro-blème des sources perses sur la chute des Hephthalites parce que trente ansdéjà se sont écoulés depuis la parution de l 'article de M. Widengren et que lesprogrès dans la connaissance de la numismatique des Etats fondés par lesnomades dans l 'Iran Oriental et l 'Afghanistan, ceux que M. Gobi a appelé les«Huns iraniens»4 et notre déco uver te des fra gme nts d ' un «Kârnâma g-i-Anû sir-vvân» remontant à l 'époque sassanide dans l 'histoire d 'Ibn Miskawayh 5 per-mettent aujourd'hui de soumettre la version pehlvie à une critique plus serrée.Qu an t aux sources grecqu es, anal ysée s t a nt de fois pa r les sav ants , dern ièr e-

ment en particulier par M. Haussig et M. Czeglédy, 6 elles méritent elles-aussi

1 Orientalia Suecana I. p. 69 — 95.2 WI DE NG RE N : 1. c . p . 85.3 Ainsi pa r ex. Euty chiu s racon te to ut d 'abo rd que Bah râm s'était fait confier

par la noblosso porse le mandat de désigner les successeur de Yazdagird I et que, fortde ce mandat, il se proclama lui-même Sâhenââh. Ensuite, à la fin du chapitre, Eutychiusrésume en quelques mots la «riwâyah» l ien connue qui racontait que Bahrâm Gor avaitvécu à la cour d'al-Nu'mân b. Munjjir et que ce fut avec l'appui des forces arabes de laprincipauté do Rira qu'il obtint le trône.

* R. GÖBL : Die iranischen Hun no n. Wiesb ade n 1965.5 J . A. 1966 p. 1 6 -4 5 .8

H. W. HAUSSIG : Theo phylak ts' Ex ku rs über die sky this chen Völker. Byz an-tion 23 (1953), Die Quellen über die zontralasiatische Herkunft der europäischen Awaren.CAJ 2 (1956) et Zur Lösung der Awaronfrage. Byzantinoslavica t. XXXIV 1973 fasc. 2.

Acta Antiqua Acudemiae Scientiarum Hungáriáié 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


220 Ы . GR IGNAS C HI

d'être reprises en examen car, une fois établie avec certitude la date de l'effond-rement de l'Empire Hephthalite, elles apparaissent sous une lumière nouvelle.

Ce fut Stein qui, le premier, montra comment les sources grecques nousliv ren t un «terminus an te quem» pour la fi n de l'Em pir e He ph th al it e: 561.Cependant Stein envisageait la possibilité qu'Anûâirwân se fût tourné contreson voisin de l'Est immédiatement après la trêve stipulée avec l'Empire d'Ori-ent en 557'. De son côté déjà Specht avait rappelé l'attention sur une indica-tion de «L'histoire des Tcheou» qui, à son avis, nous donnait le «terminus postquem» de l 'effondrement de l 'Etat Hephthalite : en 558 une dernière ambas-sade des Jé-tha s'était rendue à la cour des Tcheou. 8 En dépit de cette indica-tion, on a parfois préféré admettre qu'en fait, au moment où ces ambassadeursarrivèrent à la cour des Tcheou, l'Etat hephthalite n'existait plus et qu'ils'était écroulé sous les coups des armées turques et perses déjà a la fin de 558."

Aujourd'hui le «Kârnâmag-i- Anûsirwân» nous apprend qu'au cours de l'année28 de son règne, qui commença le 5-VII-559, Anûsirwân renonça à conduirepersonnellement une grande enquête sur les conditions des paysans à cause dela guerre qui était en cours contre les ennemis de l'Iran et de la nécessité de serendre sur le théâtre des opérations.10 En tenant compte de la date—en 559 latrêve entre Ctésiphon et Constantinople continuait et, dans les premièresannées qui suivirent le partage de l'Empire Hephthalite, les relations entreAnû sir wân et Iste mi ét aie nt encore amicales—il ne peut êtr e questio n q ue d eshostilités sur les frontières nord-est de l'Iran. Donc la chute de l'Empire Heph-

thalite date soit de la fin de 559, soit de 560. Ajoutons que les fragments deMéna ndre perm et ten t de préciser deux au tre s points imp ort ants : l 'a tta qu eprincipal contre les Hephthalites fut dirigé par le Qagan turc Nü.Cißov/.og11 ,le Silgibû ou Singibû des sources perses et islamiques,12 sans doute un titredécerné parla Cour Chinoise à Istemi Qagan, le Erepßtaxayav de Théophylacte,le Exepeïç yayáv de Nicéphore Xanthopulos1 3 . Le Roi hephthalite était resté

K . CZEGLÉDY : H ef ta li tá k, hunok , avaro k, on og ur ok , MNy 50 (1954) = IV —I X századinépmozgalmak a steppen (par la suite abrégé en Népmozgalmak) ; Nomád népek ván-dorlása Napkelettől Napnyugatig. Budapest 1969 (par la suite abrégé en «Nomád népek«.Ne connaissant pas le hongrois, nous nous basons sur l'analyse de ces deux travaux dusavant magyar que M. A. MOHAY (Priskos* Fragment über die Wanderung der Steppen-völker) a donnée dans les «Studies in the Sources on the History of pre-Islamic CentralAsia» (Budapest 1979) et nous en reproduisons les indications.

7 Ménandre Protector De leg. Romanorum frag. 11. STEIN: Histoire du Bas Empirep. 518 п . 1 Cepen dant STEIN pensa it que la ca mp ag ne d'Anûêirwân contre les Hephthali-tes avait eu lieu immédiatement après la trêve signée avec Byzance en 557.

8 J. A. Octobre 1883 p. 345.9 Né pm oz ga lm ak p . 11 (MOHAY: 1. e. p . 133).

10 Episode VII 1. c. p. 20.11 «Excerpta de Sententiis» éd. Mai p. 354.12 MARKWART : H ist ori sch e Glossen zu d en alt tür kis che n In sch ri fte n, WZ KM X I I

p. 184—185. Voir aus si HAUSSIG: Byz p. 332 et su iv . Cepend ant d an s son arti cl e «Die

He rk un ft der Awar isch en Hunnen », où il pro pos e po ur Sif.sißovÄo; la rec on str uct ion«Silig-gebu», Haussig semble établir une distinction entre ce «yabgu» et Istemi.13 «História Ecoles .» XV I I I 30. MORAVCSIK : Byz. -Turc. I I p. 291 .


8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L 'EMPIRE HEPHTHALITE 221

sur la défensive en su iv an t le conseil frau dul eux d' un grand personnage de sacour KaxovXqioç ,u qu'il avait offensé et qui ensuite passa à l'Iran. De plus,Ménandre nous apprend que ZÀXÇfôovXoç reçu t la n ouve lle de la fui te des"Aßagoi, с . à-d. les OVÁO et Xovvvi, les pseudo-Avares de Théophy lact e, les OVCLQ-

ycovïxat de TovoÇaviïôç alors que la guerre contre les Hephthalites était encoreen cours.15 Or, la date de l'arrivée des ambassadeurs des pseudo-Avar à Con-stantinople est bien connue. Leurs ambassadeurs arrivèrent en 558 et le grosde la horde se trouvait cette année-là dans le pays des Alains et, à en croireMénandre, elle ne se déplaçait pas dans une grande hâte. 1 6 Il faudra en conclureque la première expédit ion des T'o u-k iue con tre les He ph th al it es fu t dirigée en555 pa r Sse-kin, le fils de T' ou- men connu sous le no m de Mou-han Khan ,ainsi que l'affirment les sources chinoises,17 qu'une seconde campagne fut con-duite parEiXtfißovXo^ (Istemi) déjà avant 558, l'année de l'arrivée des pseudo-

Avar dans l'Alanie, donc en 556 ou 557 au plus tard, que ce fut à ce moment-làqu'Istemi apprit la nouvelle de leur fuite et que probablement déjà en 556Istemi était maître de la Sogdiane car, d'après at-Tabarî le mariage entreAnûsirwân et la fille d'Istemi avait précédé d'un an l'ouverture des opérationsmilitaires contre le Royaume Hephthalite ; en tenant compte des renseigne-ments des sources chinoises on comprendra que ce mariage, ou le contrat dece mariage18 avait précédé d'un an la seconde campagne turque. 1 8

La chronologie de ces événements revêt plus d'importance encore pourle problème si obscur des Avar et des pseudo-Avar que pour l'histoire des

Hephthalites eux-mêmes. En effet elle suffit à exclure la possibilité que l'émi-gration des pseudo-Avar en Europe ait été la conséquence directe de la chutede l'Empire Hephthalite.20 Aussi, quand Théophylacte affirme que les Avararrivés en Europe en 558 étaient en réalité des tribus Uar et Xunni et queMénandre cite le qagan Tourksanthos qui les appelle Uarxônitai, nous n'avonsplus le droit d'interpréter ses paroles dans le sens qu'il s'agissait d'une confédé-ration de tribus War (les Hoa de l'histoire des Liang) et de tribus Chionites(les Hyon des textes pahlvîs provenant du Tohâristân,2 1 voire des steppes à

14 «De légat. Gentium» frag. 18 (Ed de Boor p. 450).15 Exo erp ta d e Sententi is éd. Mai p. 354.18 Mén and re E xc . de leg. ge nt iu m fra g. 4 Ed . DE BOOR p. 442. Voir aussi PIGU-

LEVSKAJA : Sirijskije Istoöniki p. 139 (Joh. Ephes.).17 ST. JULIEN : Do cu me nt s sur les Tou-kiue Or ien ta ux . J . A . V. série vol 3 P. 335.18 D'aprè s Eutyc hius , le Q a g a n envoya sa fille к Anûâirwân seulement après la

victoire sur les Hephthalites.18 At-Tabarî 1,2 p. 899.10 Pa r co ntr e HAUSSIG (Byz. 1. c. p. 370) parl e d' un «kau sale r Zus amme nha ng»

en tr e l'e ffo ndr eme nt des He ph th al it es et la mig rat ion des Av ar . De son côté MAROUART :К о ш а п е п p . 73 rat tachait l'arrivée des Avar en Europe à la défaite des Jeou-jan. Nouspréférons songer à la chevauchée de Mou-han à travers la Sibérie en 555.

21 K . CZEGLÉDY : Né p mo z g a l m a k p. 2 — 4 (MOHAY : 1. c. p . 132). R ap pe l on s qu e,pour expliquer la différence entre la description dos Hephthalites par Maniach, qui lesdéfinissaient des habitants des villes, et les renseignements dos sources chinoises quireprésentent les Yé-tha comme des nomades, HAUSSIG propose à son tour (Byz-Sl. p.


8/15/2019 ACTAANTIQUA_28 (1980)


222 M. GRIGN ASCHI

nord d'Abräahr,2 2 deux régions qui, selon toute vraisemblance, en 557 n'avaientété pas encore touchées par la guerre. Et d'ailleurs, même si plusieurs éminentssinologues ont considéré que l'ancienne prononciation de «Hoa» était «War» etque l'analogie entre Waréan de la «Géographie Arménienne» et Waraèan, la

ville des Huns dans le Caucase ne saurait être ignorée, la forme «War» estloin d'être certaine. Enoki préférait lire «ywat» (Ghôr) 23 et M. Harmatta «Qal»,«Xwal» et y retrouver le nom des «Qalâc» ou «Qilgi».24 E n t ou t cas, mêmesi no us ne croyons pa s q ue Ho a pui sse êt re la ville de Ghôr sur le Ha rî rû d,ainsi que le conjecturait Enoki, les sources chinoises permettent de localiserle pays de Hoa, plus probablement des Hoa25 à sudouest de Balkh.26 Ainsil ' hyp ot hè se de M. Czeglédy qui prop ose d'expliqu er la disti nctio n faite parSilziboulos entre les Avar (с . à. d. les Uar xôn ita i) et les He ph th al it es enadmettant que les premiers étaient les tribus nomades du Tohâristân Ori-

ental et les seconds les habitants des villes de la Bactriane 2 7 n'aide pas àexp li que r pourquoi les Uar xô nit ai au rai ent q uitt é leur pa ys déj à av an t ledénouement de la guerre turco-hephthalite ni comment ils auraient tra-ve rs é la Sogdiane dé j à tur qu e. Ou alors force serait-il d' a d me tt r e avec M.Haussig, qui localise les pseudo-Avar» dans la région d'Abrsahr, que ces tribustraversèrent tout l 'Iran et passèrent le Caucase. Mais le passage d'Evagrius,que M. Haussig invoque à l'appui de sa thèse, 28 ne parle nullement d'un pas-sage du Caucase. Il dit seulement que les Avar étaient l'un de ces peuples quiav ai en t les chari ots po ur demeu re et hab it ai en t les plaine s a u delà (vnéo) du

Caucase.2 9

Nous ajouterons qu'on ne possède en réalité aucune preuve certaineque des tribus ayant fait partie de la confédération hephthalite se soient éta-blies ensuite dans le Caucase. La mention des Kamicik HepValk dans l '«His-

175/6) une distinction assez semblable. De plus, Haussig voulait éclaircir par cette mêmedist inct ion le rappo rt ent re les nom de Yé- tha et d'Abd el. Les premiers (*Yabdel) aurai entété les tribus nomades do ce peuple habitant à l'est du Pamir, les seconds (Abdel,Hephthalites) les habitants de la Bactriane. Et le premier attaque turc se serait dirigéco nt re les Yé-t ha/ Abde l (1. c. et Byz. p. 325.) Nou s devons faire no te r que l'au teu r du«Pien-i-tien» dans sa «Remarque sur Mou-ho khan» affirme que ce dernier «avait avancé

j usqu ' à 10.000 li de la Mer Occ identale (la Mer Caspienne) et au sud jusqu'au nord duGrand Désert». On en conclura que Mou-ho avait vaincu les Yé-tha après une chevau-

chée à travers la Sibérie, car autrement l'historien chinois aurait parlé d'une campagneen direction du Tsong-ling. (ST. JULIEN J. A. V série vol. Ill p. 323 et suiv.).22 HAUSSIG : Byz. Slav. p. 178 et note 46.23 Memoirs of th e Toy o Bunk o 1958 «On th e Nationa lity of th e Eph tha lit es, p. 5.24 A. MOHAY : 1. c. p . 142 n o t e 70.25 La tr ad uc ti on du «Liang-chou» d'ENOKI (1. с . p. 1) «The cou nt ry (kouo) of H u a

is another branch of the Ch'ê-shîh (Tourfan)» nous cause de la perplexité et, tout enignorant le chinois, nous croyons qu'il faudra préférer la traduction plus libre de SPECHT,«Le royaume des Hoa. Ce peuple est une branche particulière des Tche-sse». D'ailleursENOKI a tr adu it lu i-aussi quelque s ligne s pl us loin «kouo» pa r «community ».

20 Liang-chou 1. 54 traduit par ENOKI 1. c. p. 3.27 Né pm oz ga lmak p . 10 (MOHAY 1. c. p. 133.)28 Byz-Sl p. 182.29 J. BIDEZ (Londres 1898) p. 196 : "E&voç ôè Exv&txàv o't "Aßagoi xwv äßa;oßiwv,

xwv vuèq rôv Kavxaaov tù ènéxetva neôta vefiopévœv ol rovç yetxviwvxaç Tovoxov; naaaaôinetpevyôxeç, èctei xaxwç Tigàç avzwv inenóv&eaav, im zov BóanoQov àcpixovxo.

Acta Antiqua Academiae Scientiarum Htingaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L'EMPIRE HEPHTHALITE 223

toire des Agouan» I ch. 27 de Moses Dasxuranci 30 indique seulement, si toute-fois on peut ajouter foi à la légende de Mérope, que des «barbares Kamiéik»se trouvaient dans le Causace au IV siècle et au V siècle. On en conclura que lesKamiéik faisaient partie de la confédération des Ovvvoi Xevxoi et que des tribusde cette horde s'étaient arrêtés dans les Caucase, où les Huns Blancs sont si-gnalés en 395,31 tandis que d'autres Kamiéik se fixèrent plus tard dans le To-hâristân. 32 On sait que les Huns Blancs, les «Sveta Huna» arrivèrent jusque dansl'Inde. Quant aux War, les Huns de Waraéan, dont la présence au Caucase estattestée seulement au VII siècle, ils peuvent appartenir soit à la horde BaQ-arjXx qui lia son nom aux plaines au nord du Daghestân, 3 3 peut-être une confé-dération des War (BÚQ) et des ZáXoi (les Cöl?),34 soit plus probablement à lahorde des Uar et Xunni (on ne saurait oublier que le «Sâhib-as-sarîr» portait letitre de «Awar»),35 soit enfin avoir été, tout comme les Kamiéik, une tribu des

Huns Blancs qui s'était fixée dans le Caucase alors que leurs congénères trans-mig rai ent vers le sud. En t ou t cas, rien ne pe rm et de pen ser qu'il s ven aie nt duTohâristân, pas même la polyandrie, car ce que Movsis Dasxuranci raconte 38

n'implique pas que chez ces Huns la famille était fondée sur un système poly-andrique réglé jusque dans les détails comme il en était le cas chez les Heph-thalites, mais seulement que les mœurs de ces Huns étaient fort relâchés si bienque les frères avaient parfois une femme en commun quitte à posséder d'autresconcubines.

En faveur d'une origine hephthalite des Avar d'Europe on a parfois

avancé que les noms de Uarxônitai, de Uar et Xunni, d'Avares et de Hephtha-lites désignaient en réalité le même peuple37 Altheim croyait même avoirdécouvert dans les sources syriaques la preuve définitive du fait que les Heph-thalites incorporés dans l'Empire Sassanide après l'écroulement de leur Etatétaient connus sous le nom d'Avar.3 8 Dans l'«Histoire Ecclésiastique» de Johan-nes d'Ephesos (III partie, livre VI ch. VII), il est question de deux mille vierges

30 Pas sag e mis en vede tt e par MAROTTART : Weh rot un d Ara ng p. 98 et Komanenp. 34.

31 Voir la Vie de Pierr e d 'I bè re T ra d. RAUBE p. 6 et suiv. , MARKWART Er an äa hrp. 95 et les études de HONIGMANN sur Pierre d'Ibérie et sa Vie.

32 Hware zmî, Mafâ tî h-a l-' ulû m p. 119 ; A l-Muqaddas î 283(8).33 Voir G. MORAVCSIK : Byza nt in ot ur ci ca . I I . 1958. p. 89.34 Ménandre Ex ce rpt a de legatis éd. BOOR p. 44 3 / 9 ; MARKWART И з в е с т и я

К у с с . А Р Х . 1м с т . В Ь К о н с т а н т и п о л ь 15 (1911) Р . 17, HAUSSIG (Byz. P. 368) préfèresonger à une confédération de Var et de Sir (ZfjQeç). Ce pe nd an t la lett re grecque «9» rondassez sou ve nt le son tu rc et pe rsan «dj» (HAUSSIG : CAJ 2. p. 15).

35 Voir MARQUART : Kom an en p. 74. Ra ppe lo ns que d ans ce tt e pa ge MARQUARTenvisageait une hypothèse, sur laquelle il faudra probablement revenir. En tenant comptedu fait que les Huns appelaient lo ûniéper «Var», MARQUART envisageait la possibilitéqu'à l'origine ce terme ait pu constituer un nom topographique et non pas un nomethnique.

36 Moses Da sx ur an ci (t ra d. PATKANIAN) p. 194 : «Т а к ж е п р е д а н ы а ф р о д и т н ы мж е л а н и я м с о г л а с н о я з ы ч е с к и м н р а в а м с в о и м о н и б р а л и в с у п р у ж е с т в о ж е н у о т ц а ; ун и х д в а д р а т а и м е л и о д н у ж е н у и б р а л и т а к ж е р а з н ы х ж е н .»

3 ' К . CZEGLÉDY : N o m á d né pe k p . 95 (A . MOHAY: 135 ).38 Geschichte der Hunnen. П . p . 26 — 28.

15* Acta Antiqua Aeademiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


224 M. GRIGN ASCHI

chrétiennes faites prisonnières par Anûsirwân à Dârâ en 575 que le Sâhenââhdécida de remettre «aux barbares vivant à l'intérieur de son Empire et quisont appelés Abarîs».39 Parvenues sur les rives d'un grand fleuve, à une dis-tance de cinq étapes de ces barbares, les vierges choisirent de s'y noyer plutôt

que d'être déshonorées par des payens. Mais les Avar de cet épisode n'étaientpas les Hephthalites de l'Iran Oriental, ainsi que le supposait Altheim. En effetThéophylacte nous apprend incidemment qu'une colonie d' "Aßagoi se trouvaità cinq étapes de Kigxijatov (Qarqîsiyyah)40 la ville située sur la confluence del'Euphrate et du Kharbur. Et dès lors il faudra penser non pas à une coloniehephthalite mais à une tribu avar du Caucase qui, à l'instar des tribus sabir,avait obtenu la permission d'entrer dans l'Iran à condition de servir dans l'ar-mée sassanide.41

Il existe enfin un dernier argument mis en lumière par Shiratori qui per-

met d'écarter définitivement l 'hypothèse d'après laquelle les Avar d'Europevenaient du Turkestan Occidental. Ils portaient la queue qui suscita tant decuriosité chez les Byzantins, une coiffure inusitée, ainsi que le notait le savant j aponais chez les Hun s arrivés en Europe avan t les Avar, chez les Huns Ira-niens et chez les Yue-pan. 4 2

Mais c'est précisément quand on a écarté cette hypothèse — et c'est leseul résultat certain, nous ne nous le cachons pas, que les textes à notre dispo-sition permettent d'atteindre — qu'on se heurte à la difficulté la plus grave :le problème des rapports entre les «vrais Avar», les «pseudo-Avar» et les Jeou-

jan . Pour s'o riente r au mi lieu des données contradictoires de nos sources etdes solutions qu'on a proposées,il importe tout d'abord de distinguer soigneuse-ment les différents aspects de notre problème.

I) Les «vrais Avar» de Théophylacte et les Apar de l'inscription de Külte-gin43 peuvent-ils être identifiés avec les Jeou-jan?

II) A-t-on droit d'admettre que cette horde connue des Chinois seule-ment sous le nom de Jeou-jan dans les Annales du Nord, de Joui-joui dans lesAnnales du Sud voire par un jeu de mots péjoratif de Joan-Joan portait aussile nom d'Abar/Apar? Ou alors Théophylacte a-t-il donné aux Jeou-jan le nom

d'Avar par une méprise ?III) Les Avar de Priscus qui expulsèrent les Sabir de leurs sièges étaient-ils les Jeou-jan ou les Apar (si on préfère distinguer ces deux peuples) ou enfinles «pseudo-Avar» de Théophylacte ?

39 Ms. Vatican.4 0 Théophylacte L. III ch. 10.41 Dans l'épisode I X du Kâr nâm ag- i-A nû sir wân (1. c. p. 40) il est ques tion de

«ai ba'a tu- asn âfin mina-l-'a trâk», donc de qua tre peuples hunn ique s différents, de larégion des «Bazar» qui avaient demandé asyle à la Perse.

42 The Queu am on g th e peoples of No rt h Asia . I. The Queu of the Hsi ung -Nu(Toyo Bunko I. p. 63—64).

43 Insc ript ion de K ül te gi n cô té est ligne 4 (ORKUN : Es ki Tü rk Ya zit lar i. Vol.I . 3 1 ) .


8/15/2019 ACTAANTIQUA_28 (1980)



IV) Quelle confiance peut-on faire à la distinction établie par ce seulhistorien byzantin entre les «vrais Avar» et les «pseudo-Avar» ?

Sur aucun de ces points l'unanimité ne s'est faite parmi les savants qui assezsouvent ont modifié leurs opinions au fur et à mesure qu'ils approfondissaient

l'étude des textes14 , ce qui prouve assez combien les documents à notredisposition sont insuffisants et incertains. Ainsi, après plusieurs hésitations,Chavannes a fini pour considérer que les «vrais Avar» de Théophylacte étaientles Jeou-jan et non pas les Apar, mais il n'a su proposer aucune explicationpour la différence des noms sous lesquels cette horde a été connue des Chinoiset des Byzantins.45 M. Haussig et M. Czeglédy acceptent eux-aussi que les«vrais Avar» de Théophylacte étaient les Jeoujan, mais ils divergent sur lesecond point. M. Haussig qui, au cours de toutes ses études a maintenu que les« Avar» et les« Aba» des sources chinoises ét ai en t en réalité un peup le du Tu rk es -

tan Occidental,46

a proposé dernièrement une explication de l 'emploi fait parThéophylacte du nom d'Avar pour les Jeou-jan. L'écrivain byzantin auraitsuivi une mode des Sogdiens qui auraient donné aux Jeou-jan le nom dupeu ple que les Chinois app ela ien t Wo u- ho ua n, des idé ogr amme s sous lesquelsse cacherait la prononciation «Avar». Et ils leur auraient donné ce nom, carils habitaient les anciens territoires des Wou-houan, un peuple que, d'aprèsM. Hau3sig, les Sogdiens connaissaient bien puisqu'il était arrivé dans le Tur-kestan Occidental avec les Chion que le savant allemand considère comme lesHuns de Lieou-Ts'ong.47 Il s'agit d'une hypothèse ingénieuse mais qui à notre

avis attribue aux Sogdiens des connaissances géographiques et historiquesque difficilement ils possédaient. Et d'ailleurs les anciennes sièges des Wou-houan étaient englobées dans l 'Empire Jeou-jan mais elles ne constituaientpas son centre.

De son côté, M. Czeglédy qui, dans son premier travail, considéraitl 'identification des Avar (Ouar) avec les Jeou-jan comme invraisemblable, 48

a cru ensuite pouvoir inférer des Annales chinoises que ses auteurs employaientexclusivement le nom de Jeou-jan pour la partie de cette horde qui était restéedans la Mongolie et les noms de Jeou-jan, de Hiong-nou et de Hoa pour les

44 Ce qui, avouons-le, nous est arr ivé à no tre tou r.43 Documents sur les Tou-kiue Occidentaux p. 309.46 D' apr ès HAUSSIG le nom d' Abrè ah r dér iver ait des Av ar qui aura ien t ha bi té

cette région pondant deux siècles. (Byz-Slav. p. 193). Et ces Avar seraient les Wou-houan des Chinois. Nous avouons ne voir dans le nom d'Abrëahr que le terme pahlvîd'«apar» (supérieur, septentrional), une interprétation que HAUSSIG a lui-aussi envisagéemais qu' il a écar tée à cause de la thè se de MARQUART qui voulait voi r dans ce no m l' et hn i-que d'un peuple. Toutefois MARQUART songeait-il aux «Aparnoi», une explication entout cas plus vraisemblable que celle de HAUSSIG. Quant aux indications de Théophylactequi situait la ville de «Taugast» sur les confins de l'Inde et du côté de la Bactriano, desindications que HAUSSIG a mises en vedette, un détail suffit à lui seul à leur enlevertou te va le ur : le souverain do «Taugast» por ta it le titre de «Taïsan» et Th éop hyla ctetr ad ui t «le fils do Dieu», le fils du Ciel.

" Byz-Slav. p. 189 et 191.48 N ép m oz g al m a k p. 10 n. 5 (MOHAY : p . 133).


8/15/2019 ACTAANTIQUA_28 (1980)


2 2 6 M. GRIGNASCHI

tribus qui avaient transmigré dans le Turkestan Occidental.49 Et, dès lors, M.Czeglédy conjecture que la horde Jeou-jan se composait de tribus Jeou-jan,Hiong-nou et Hoa (War). Nous ne reviendrons pas sur nos doutes qu'onpuisse reconnaître dans Hoa une ancienne prononciation War. Nous ferons

plutôt remarquer que, d'après les Annales chinoises, la horde Jeou-jan acquitde l'importance à peine en 394, quand elle émigra des montagnes qui séparentle Chen-si de la Mongolie Intérieure, au nord du Grand Désert. 50 Par conséquent,on ne saurait considérer ni les Chions d'Ammien Marcelin ni même les Hoa qui,d' ap rè s le T'o ung -t ien livre 193, ava ien t fond é leur E t a t 80 — 90 ans a va n t45651 comme des branches de Jeou-jan. Et d'ailleurs les renseignements dessources chinoises pour l'histoire de l'Asie Centrale au cours du IV siècle et duV siècle sont arbitraires et sujettes à caution, ainsi que l'a établi Enoki. 52

Et nous ajouterons que l'indication de T'ou-yeou qui permet de penser que les

Hoa étaient arrivés dans le Tohâristân déjà dans la II moitié du IV siècle, rendencore plus obscur le problème des Sabir. En effet, si on prête foi à cet auteur,les Avar qui, d'après Priscus, peu avant 46353 ont délogé les Sabir de leurssièges sur le bas Syr-Daria, ou plus probablement des plaines qui se prolongentau nord du Balkash de l'Irtych Noir au bas Syr-Daria, 54 n'auraient pu être enaucun cas les tribus Hoa/War en marche vers le Turkestan Occidental. Et ilest aussi difficile d'identifier les Avar de Priscus avec les Jeou-jan, car lesAnnales Chinoises ne connaissent pas une expansion de cette horde vers l'Occi-dent et mentionnent uniquement une campagne de Dadar (Ta-t'an) contre les

Yue-pan de la région de l'Ili avant 429 et une campagne contre les Tseu-K'iu du

49 No m ád n é p e k p . 59 — 62 (MOHAY : p . 134—13 5).50 PARKER : A th ou sa nd years of th e Ta ta rs . Book II I . Lond on 1924.51 Voir ENOKI : On the N atio nali ty of the E pht ha lit es p . 2 et note 3. Le p ro f.

SABBATINI-ROSSI nous a confirmé que le texte chinois affirme bien que l'émigrationdes Yé-tha avait eu lieu 80 — 90 ans ava nt le règ ne de We n-t ch' ing -ti (452 — 465). I l es tvrai que, ainsi que le remarquait ENOKI, nous ne savons pas à quelle source T'ou-yeoua emprunté ce renseignement. Mais il est probable qu'il l 'avait trouvé dans la rédactionoriginale du Wei-chou.

52 Vo ir ENOKI : 1. c.53

Nous ne no us ca chons pas que le te xt e de Prisc us ne cont ient aucune indic ationpermettant d'établir avec certitude l 'époque de la transmigration des SaAr. Dans sonar ti cl e «Die He r ku n f t de r europäis chen Awa ren» p. 21 HAUSSIG a mêm e considéré lepassage de Priscus comme le premier témoignage de la présence des Avar dans le Caucase.Cependant de la lecture des passages des «Excerpta de legationibus» et de Suda on gagnel'impression très forte que vers 463 les Saragour et leurs alliés venaient seulement d'arri-ver dans la Ciscaucasie et qu'ils ne devaient pas avoir abandonné leur ancienne patriedepuis longtemps.

54 Tour comme CZEGLÉDY (Nomád népek p. 92, MOHAY: p. 136) nous songeonsà la zone du bas Syr-Daria à cause du nom de l'ancienne ville des Onogour conservép a r Tbéophylacto : Ba ka th , un nom qui fait songer inév itab leme nt au sogdien. Mais,dans ce cas, [il est certain que Théophylacto a obtenu ce renseignement d'informateurssogdiens qui peuvent avoir modifié la forme originale turque. Voir les remarques deMOHAY : p. 138. Ce pe nd an t c'est seu leme nt d an s une région exposée aux inf lue nce s

sogdiennes qu'on peut concevoir que les nomades turcs aient commencé à habiter desvilles.


8/15/2019 ACTAANTIQUA_28 (1980)



Tourfan en 460.55 Il est vrai que ces sources attribuent aussi à Chö-louen d'avoirsoumis la horde des Kao-kiu et à Cheloun d'avoir annexés des tribus hiong-nouse trouvant à nord-ouest de son Empire, qui devait ainsi atteindre le hautIrtych. Et de plus en 429, en 443, en 449 et en 459 les Empereurs des Yuen-Wei

T'o-pa Fu-li et T'o-pa Siun conduisirent des expéditions victorieuses contreles Jeou-jan. En 429 Fu-li dépassa même les territoires des Jeou-jan et attaquales Kao-kiu de l'Altaï. Aussi ne serait-il pas impossible qu'à la suite de cescampagnes des Yuen-Wei, la horde jeou-jan se soit déplacée vers le nord-ouestet se soit jetée sur les Sabir quitte à rentrer ensuite dans ses sièges au nord duGrand Désert.56 Mais nous n'en possédons qu'un seul indice57 et qui est par sur-croît incertain : la mention de l'Etat de «A-fu-t'ai-han» dans le Peï-chih ch.98 et dans le «Wei-chou» ch. 102, Etat qui se trouvait entre Bokhara et Khwâ-rizm. Marquart pensait y retrouver la mention d'un «Grand Khan des A-fou»

(ancienne prononciation About), des Avar. 58 Mais M. Paul Daffinà nous a com-muniqué que, de règle, les historiens chinois ne traduisaient pas une partied'un titre étranger. Aussi pourrait-on songer tout au jilus — et M. Daffinàest scept ique même sur ce poi nt - à un tar ha n des A-fou. 59 Et dès lors onpourrait imaginer qu'après la victoire sur les Sabir vers 460 quelques tribusavar avaient avancé jusqu'aux confins du Khwârizm.60 Mais, dans ce cas, ilfaudrait se demander pourquoi les Chinois auraient parlé d'un «tarhan desAbout» ? Etai t-i l par ce qu'ils n' av ai en t pa s reconnu dans ce pet it roy au me d u

55

Voi r PARKER: A th ou sa nd y ea rs of the Tat ar s 1. e. et GROUSSET : L' Empi redee Steppes p. 104.58 Nou s devon s signaler une diff icul té suppléme ntaire. Pris cus racon te que trois

peu ples s'é ta ien t enf ui ts de va nt les Sabi r : les Saragouroi, les Ourôgo i et les Onogouroi.Or, avec la seule exc ep ti on de HAUSSIG (Voi r MORAVCSIK : Byz-Tt irc. I I p . 227) to usles savants ont corrigé la forme Ourôgoi de nos mss. en «Ogouroi», une correction justi-fiée par la leçon du ps. Zacharias Rhétor «'w.g.r». D'autre part, il est évident que lesSabir attaqués par les Avar devaient se trouver à nord, nord-est des Yue-pan qui occu-paient la vallée de l'Ili. Mais la toponymie de la Sibérie Occidentale (nous renvoyonsaux travaux de Patkanian) prouve assez que des tribus sabir ont continué à habiter cetterégion pendant de longs siècles encore. Et, de même, Théophylacte signale au VI siècleune grande confédération «ogôr» vivant sur le Til Noii, à notre avis le Kara Irtych.11 fa ud ra prob ab lement en conclure que seules les tri bus mér idional es des Sabi r et de sOgôr participèrent aux transmigrations signalées par Priscus.

67 E n ef fet on ne sau ra it t ire r auc un e conclus ion de la présence des A» ar d an s laliste des peuples au nord du Caucase dans l'appendice du ps. Zacharias Rhetor, с а гl'auteur de cette liste s'est inspiré de Pri seus . (Voir K. CZEGLÉDY : St ud ia Tu rc ica.Budapest 1971. Psctido- Zacharias Rhetor on the nomads p. 141.)

58 Das Reich Zabul p. 264, A Catalogua of the Provincial Capitals of Eranáahr p. 43.69 Ainsi , da ns la liste des gouv er neme nt s du pro tec tor at de Ngan -si (CHAVANNES

Doc. p. 69) on rencont re une expression analogu e : «le gouve rnem ent du Ta 'i- Ha n éta blidans la ville de Houo-lou des Hephthalites» et ce «ta'i-han» n'était certainement pasun Grand Khan mais un simple Tarhan.

60 Cette ville do «A-fou-t'ai-han» ne figurait pas, selon toute vraisemblance, dansle rapport sur les «Pays d'Occident» de Toung-Youan, ainsi que le croyait MARQUART.Toung-Youan, qui visita l'Occident vers 437, avait des idées fort confuses sur la région«entre les deux mers e t au sud des eaux croupis» et ce fu t le com pil at eur du Wei-ehou

qui ajouta la description de plusieurs pays do l'Occident qui ne figurait pas dans le rap-port de Toung-Youan. (Voir ENOKI : Sogdiane and the Hsiung-nu. Central Asiatic Jour.1955 p. 55 et suiv.)


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)



plus tard ce fut le même Shiratori qui apporta la preuve définitive que lesYue-pan n'avaient rien en commun avec les Avar d'Europe qui portaient laqueue : ces tri bus tur qu es de Г Ш coupaien t e t lavaien t les cheveux.88

De son côté, M. Gumiljëv se refusait catégoriquement d'admettre que les

«vrais Avar» de Théophylacte aient été les Jeou-jan et il les identifiait avec lesA-pa, qu'il considérait comme une tribu proto-sibérienne et que les annaleschinoises signalent à la fin du VI siècle dans la Dzoungarie. 8 9 En 585 elles en-registrent un attaque des A-pa contre le camp royal d'A-po-khan, l 'un desKhans des T'oukiue Orientaux qui disputait le pouvoir à Cha-po-lio et uneintervention des troupes chinoises.70 A ce moment-là leurs sièges ne pouvaientêtre qu'au nord du Grand Désert. Elles les mentionnent une dernière fois àl'occasion de l'insurrection des tribus T-ie-le, Se-kie, Fou-likiu, Sie-sa et Pou-kou contre Ta-T'eou71 et, ainsi que le faisait valoir Chavannes, d'après le

T'ang-chou ch. 62, T'ie-le, Se-kie, Hoen et Pou-kou appartenaient aux «Tölös»une horde de la Sibérie. Si les A-pa se trouvaient déjà au V siècle dans la régionoù les historiens chinois les signalent à la fin du VI siècle, ils pourraient corres-pondre aux Avar de Priscus, ainsi que le conjecturait M. Gumiljëv. Mais onse demandera si cette tribu, selon les sources chinoises d'une importance secon-daire, aurait été capable de vaincre la puissante confédération sabir 7 2 . Et nouscroyons to ut aussi difficile d'acc epte r les argum ents ap po rt és p ar M. Gumi ljëvpour considérer les «vrais Avar» de Théophylacte et les Jeou-jan comme deuxpeuples différents et pour référer aux A-pa ce que l'historien byzantin raconte

des «vrais Avar», à savoir qu'ils avaient été vaincus par les Turcs et qu'ilss'étaient réfugiés en partie à Taugast, c. à. d. auprès des Si-Wei, et en partiechez les Moukri, d'après M. Gumiljëv un peuple sien-pi vivant sur les rives de

88 Th e Queu am ong t he Peoples of North Asia, I. The Que u of the Hsi ung -nu(Memoirs of the Toyo Bunko I, 1923, p. 03).

89 Mal heu reu sem ent nou s ne connaissons les thèses de GUMILJËV qu 'à tr av er sson article Э ф т а л и т и и и х с о с е д и в IV. в е к е . VDI 1969 р . 129 et ses not es ajoutées à laИ с т о р и я Х а з а р d'ARTAMANOV (Moskva 1962), en particulier la note de p. 106—107.

70 J. A. V série Vol. I l l p . 494.71 Soei-chou «ch. L I (CHAV. DOC. p. 50). E t le te xt e cont in ue : «Ces tr ibus de ma n-

dèrent de venir se soumettre à la Chine. Tout le peuple de Ta-t'eou s'étant dispersé,(Ta-t'eou) s'enfuit dans l'ouest chez les T'ou-kou-hoen». Il en résulte de ce récit qu'àce moment Tardou se trouvait dans les régions orientales de l'Empire Tou-kiue et qu'onne saurait considérer ce passage, ainsi que le faisait HAUSSIG (Byz. p. 330), comme unepreuve que les A-pa habitaient dans le Turkestan Occidental.

72 E n re pr en an t une thèse de DARKÓ, GUMILJËV croyai t qu e les par ole s de Pr is cu squ'un peuple habitant près de l 'Océan avait mis en mouvement les Avar, se rapportaientaux Hepthtalites qui vivaient près de la Mer Caspienne, une mer quo les Anciens, mêmeaprès Ptolémée, continuaient très souvent à considérer comme un golfe de l'Océan.Cette hypothèse fut envisagée à un certain moment aussi par HAUSSIG (CAJ 2 p. 34).Cependant, à l'époque de l'expulsion des Sabir de leurs sièges, expulsion antérieure entout cas à 463, la Sogdiane étaient encore aux mains des Huns Kidarites, les Cöl habi-taient les bords orientaux do la mer Caspienne (Tabari I 884) et les Hoa venaient à peine

de constituer un Etat. Ce fut seulement dans la dernière décade du V siècle qu'ils attaquè-ren t les Tur cs Kao-kiu près d'O uro umc hi (ENOKI : On the nat io na lit y of the Ep ht ha fi te s1. с . p. 25).


8/15/2019 ACTAANTIQUA_28 (1980)


2 3 0 M. GRIGN ASCHI

Tili73 . Par contre les Jeou-jan, fait noter le savant russe, avaient cherché asylechez les Pei-Ts'i. Or, cet argument n'arrive pas à nous convaincre car il estexact que A-na-lo-chen, le successeur de A-nakouei le dernier qagan Jeou-jan,s'était rétiré dans le territoire des Pei-Ts'i et non pas chez les Si-Wei. Mais

ensuite les débris des Jeou-jan cherchèrent un refuge auprès de l 'EmpereurWei Thai-tsou. '4 Et de plus, il est certain que dans les langues de l'Asie Cent-rale le nom de Tabgaé désignait toutes les anciennes régions des T'o-pa etpartant même le royaume des Pei-Ts'i. Mais un dernier argument de M. Gumil-

j ë v méri te d'être examiné de plus près car il pourrai t ê tre décisif. A son avis,les Apar qui, d'après l'inscription érigée par Bilge Qagan, envoyèrent en 552des ambassadeurs aux funérailles de Boumin (T'ou-men) Qagan ne pouvaientêtre en aucun cas les Jeou-jan qui à cette date continuaient encore leur résis-ta nc e contre les Tou-kiue 75 et qui ne constituaient plus une horde indépendante.

Toutefois, avant d'accepter cet argument, i l faut tout d'abord se demanderquelle confiance on peut faire aux renseignements de Bilge Qagan pour lesévénements des années 552 — 555. Or, il es t cer tai n q ue Bi lge Q agan qui, en732, fit élever la stèle en honneur de Kültegin, n'avait que des idées fort vaguesà propos de l 'histoire du premier Empire Tou-kiue. Il savait tout juste queBo um in (recte T'o u-m en) Qa gan et Is tem i Qagan av aie nt fond é un E mpi reallant de la forêt de Qadirqan au «Ternir Qapig» (les Portes de Per dans laSogdiane) et il imaginait que tous les peuples puissants s'étaient fait représen-ter aux funérailles de deux fondateurs de l 'Empire turc, ainsi qu'il en avait

été le cas à l'occasion des cérémonies funèbres en honneur de Kültegin. Maisil est bien certain que les Romains d'Orient (Purum) n'envoyèrent pas de délé-gués aux funérailles de T'ou-men dont ils ignoraient jusqu'à l 'existence. Et iles t to u t aussi cer tain qu 'e n 552 et en 576 les «Tüpüt» (T'o u-f an) du Tibe t Cen-tral n'avaient pas encore constitué un Empire et qu'ils n'entretenaient pas derapports avec les Tou-kiue. Et de plus Bilge Qagan parle uniquement desTabgac, les Chinois, sans faire distinction entre les Si-Wei, les Peï-Ts'i et lesPei-Tcheou. Probablement il imaginait qu'à l 'époque des fondateurs de l 'Em-pire Turc, la Chine était unie sous une seule dynastie ainsi qu'il en était lecas sous les Tang. Dans ces conditions, on a le droit de conclure que les Apar del'inscription de Kültegin, les «vrais Avar» de Théophylacte qui étaient renom-

73 Nous ignorons mal he ure us eme nt les arg ume nts que GUMILJËV possédait pouravancer cette identification et qu'il allait exposer dans un article qui nous a été inaccessible«Tri iséeznuvêix naroda Sibirii». En général on s'accorde à les voir dans «Moukri» unpeuple de la Corée (MORAVCSIK : Byz-Turc. II p. 193) et on explique ce nom per le termesan scr it do Mukuri , en tib éta in Muglig, la Corée. Mais on so de ma nd er a com ment lesTurcs auraient adopté un terme du sanscrit pour désigner la Corée à une époque à laquelleils n'avaient qu'une connaissance superficielle du bouddhisme. On préférera l'opinionde HENNING (Sogdica 7) qui proposait de corriger Moukri en Biikli, dans les inscriptionsde l'Orchon los peuples des forêts de l'est-.

74

S. JULIEN : J . A. V série vol. 3 p . 325, Ex tr a it d u «Pien-i-t ien».75 Sous le co mm an de me nt de Teng-c ho-tse u l'oncle de A-nakou ei (S. JULIEN:J . A. V série vol. 3 p. 330).


8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L'EM PIRE HEP HTH ALI TE 231

mes chez tous les habitants de la Scythie pour leur valeur militaire, devaientêtre un peuple fort puissant, dont le souvenir se conservait encore chez lesTurcs et que dès lors ce peuple ne pouvait être que les Jeou-jan. 7 8 Et ce qui esten to ut cas cert ain, c'est que Théop hyla cte a donné aux Jeo u- ja n le nom d' Av ar

parce que les ambassadeurs turcs eux-mêmes leur avaient donné ce nom. Il neleur a pas donné parce qu'il l'avait trouvé dans l'histoire de Priscus. En effetil nous raconte aussi qu'une partie des Avar s'était réfugiée chez les Moukri,un peuple qui lui était certainement tout à fait inconnu et qu'aucune autresource grecque ne mentionne.

Or, une fois établi ces deux points, à savoir que les «pseudo-Avar» deThéophylacte n'avaient rien en commun avec les Hephthalites et que ses«vrais Avar» étaient les Jeou-jan, on peut espérer de s'approcher de la solutiondu problème de l'origine des Ouar et Xounni. Il ne fait pas de doutes que l'ex-

cursus de Théophylacte sur les peuples scythes fourmille d'erreurs en dépitdes renseignements d'origine turque qu'il possédait. Ainsi Théophylacte semblene s'être même pas aperçu que ses renseignements à propos des premièrescampagnes turques se rapportaient à l 'époque de la fondation de l'Empiretou-kiue et non pas au règne du Qagan Tardou, qui avait envoyé à l'EmpereurMaurice la lettre, dont il nous a donné le début. De même, il prétend que lapremière campagne des Turcs avait été dirigée contre les Abdel-Hephthalites,alors que les Tou-kiue devinrent indépendants seulement avec la victoire deT'ou-men sur les Jeou-jan.7 7 Par surcroît, il prétend que l'expédition turque

contre la confédération des «Ogôr», dont faisaient partie les tribus Ouar etXounni avait eu lieu après les victoires sur les Abdel et les Avar, tandisque nous savons qu'une partie de ces deux tribus était arrivée dans l'Alaniedéjà en 558 avant la défaite finale des Hephthalites. Et il fait peu de doutesque l' insurrection de Touroum appartient par contre à l'époque de Tardou cardans cet excursus elle représente le seul fait nouveau que le Qagan pouvaitdésirer de communiquer à Maurice. Et il est aussi certain que les KoxQáyrjQot qui

76 Cep endan t voir ENOKI : On the da te of the Ki da ri te s 2. Mem. of the Toy o-Bunko XXVIII, 1970, p. 26 — 27. Mais nous ne saurions ad me tt re qu' on puisse at tr ib ue rau terme de «Apar» dans une inscription turque du VIII siècle la valeur d'Aparkhshatrdans l'inscription de Chapour I. De son côté, HAUSSIG a rappelé l'attention sur le faitqu'on rencontre une mention des Apar dans un texte turc du Tourfan (Byz-Sl. p. 188n. 120).

77 CHAVANNES (Doc. p. 260) pensa it qu 'o n puisse re tr ou ve r dan s les Abde l l esTölös battus par les Tou-kiue alors qu'ils étaient encore les vassaux des Jeou-jan en 546.Cependant il existerait une explication plus simple pour l'ordre chronologique des cam-pagnes turques chez Théophylacte. Mou-ho khan conquit la Sibérie et avança jusquedans la Sogdiane avant d'exiger de l'Empereur Thaï-tsou des Si-Wei la livraison desJeou-jan réfugiés à Tch'ang-ngan (f'ion-i-tien 1. c.). Aussi les Tou-kiue auraient-ils puconsidérer ce massacre comme le couronnement de leur guerre contre les Jeou-jan qui,dans ce cas, se serait close après leur première victoire sur les Hephthalites. Mais il sera

plus prudent d'admettre que Théophylacte no possédait que des relations imprécisessur les déclarations faites par les ambassadeurs turcs en 698, trente ans avant la compo-sition do son livre.

Acta Antiqua Acudemiae ScicrUiarum Uungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)



des Jeou-jan. Et, dans ce cas, les Avar de Priscus auraient pu être eux-aussides Ouar et des Xounni. En faveur de notre hypothèse à savoir que le Ouar-Xounni avaient pris le nom de leurs suzerains les Apar, il n'existe qu'un indicequi est loin d'être décisif. Maniach, l 'embassadeur sogdien d'Istemi à Constan-

tinople en 568, donne lui-aussi le nom d'Avar aux nomades qui s'étaient réfugiésen Europe et à leurs congénères qui étaient restés dans leurs anciens sièges sousl 'autori té turque8 5 et le même nom leur est donné par Silziboulos.86 On pourraiten conclure que pour désigner ces populations les Turcs employaient tour àtour les nom de «Ouarxônitai» et de Apar/Avar» et que des liens quelconquesdevaient exister entre les Ouar-Xounni du Til Noir et les Jeou-jan de la Mongo-lie puisque, tout comme ces derniers, les Avar d'Europe portaient la queue,une mode qu'ils n'avaient certainement pas empruntée aux Tou-kiue, souslesquels ils avaient vécu un ou deux ans au plus.

Bien entendu nous ne nous cachons pas qu'on pourrait renverser notreargumentation et voir dans l 'emploi du nom d'Avar par Maniach et par Silzi-boulos et même dans la queue des pseudo-Avar autant de raisons pour consi-dérer les Ouar et Xounni comme des tribus jeou-jan. Du moins notre hypothèsepermettrait d'expliquer la présence de quelques petites tribus «A-pa» dans laDzoungarie vers la fin du VI siècle, dans lesquelles les annalistes des Soei nereconnaissaient plus les Jeou-jan et l 'arrivée de tribus Avar en Europe sansêtr e obligé de corrig er nos sourc es qui se co nf ir me nt les u nes les a ut re s :la relation d'origine turque sur la fuite des Apar/Avar en Chine et chez le Mouk-

ri, le récit de l'anéantissement de ce peuple dans les Annales chinoises et ladéclaration emphatique de Théophylacte que les Avar d'Europe étaient despseudo-Avar appartenant à la confédération Ogôr et qu'ils provenaient de larégion du Til Noir, une fleuve qui, en aucun cas, ne saurait être identifié avec laVolga.87

Mais venons à l'examen des sources perses étudiées par M. Widengren. 88

Nous constatons tout d'abord un fait. Les «riwâyah» les plus anciennes parmicelles que M. Widengren a recueillies, se partagent entre trois traditions diffé-rentes :

I) Une chronique de la moitié du IX siècle qui a utilisé en partie le«fjodâynâmah» sassanide. At-Tabarî a transcrit presque entièrement cettehistoire et nous en possédons une seconde version à peu près identique, cellede l 'Anonyme Sprenger.89 A la chute des Hephthalites cette chronique consacre

8 5Ménandro De leg. gentium fr. 18 (Ed. DE BOOR p. 452). Néanmoins ce passagene peut pas être considéré commo décisif car, au cours de la conversation avec Maniach,c'est l'empereur Justin II qui, le premier, emploie le nom d'Avar pour les tribus quis'étaient soustraites à l'autorité turque et qui s'étaient établies dans la Pannonié.

86 Ex ce rp ta de Sonte ntiis (Ed. MAI p. 354 55).87

Cependan t voir CZEGLÉDY: Népmozga lmak p. 8—10 (MOHAY: p. 133).88 Orientalia Suecana 1 p. 69 — 99.89 BEO 1974 Damas ch. III et Appendices et III A B.


8/15/2019 ACTAANTIQUA_28 (1980)


234 M. GRIGNASCHI

une courte notice insérée correctement après le récit de la première guerre perso-byzantine de l'époque de Justinien I, d'une campagne d'Anûsirwân dans leCaucase contre les H a z a r (en réalité contre les Sabir et les peuples du Caucasealliés de Byzance) et du blocus légendaire du détroit d'Aden. Selon cette tra-

dition, après ces victoires, Anûsirwân décida de venger son aïeul Péroz. Dansce but, il épousa la fille du Hâqân des Turcs, le poussa à attaquer les Hephtha-lites et, en profitant de la victoire du Hâqân qui avait tué leur Roi, il occupaBalh, la Transoxiane et la Ferghana.90

II) L'épitomé du «Hodâynâmah» conservé par Eutychius et Ibn Qutay-bah. R s'accorde le plus souvent avec la tradition précédente. Dans notre cas,il donne un texte presqu'identique à celui d'at-Tabarî. Cependant Eutychiusajoute — et, probablement cet ajout n'est pas à rejeter, ainsi que le faisait M.Widengren9 1 — que le mariage d'Anûsirwân avec la fille du Hâqân fut célébré

seulement après la victoire sur les Hephthalites.III) La réélaboration d'une traduction du «Hodâynâmah» — vraisembla-

blemen t de celle d' Ibn-al- Muqaffa ' — par un écrivain arabe des premières annéesdu IX siècle que nous avons proposé d'appeler le pseudo-Ibn-al-Muqaffa'. 92

Mais, à côté de la traduction du «Hodâynâmah» cet auteur utilisait d'autressources appartenantes à la «Su'ûbiyyah», un mouvement qui possédait assuré-ment de bons renseignements sur l'histoire de l'ancien Iran mais qui n'hésitaitpas à les manipuler jJour mieux exalter la gloire des Sassanides.93 Ce texte futà son tour remanié à plusieurs reprises au cours du même siècle. At-Tabarî a

puisé ses extraits à la version la plus ancienne de cet ouvrage, qui fut utiliséeaussi par al-Ya'qûbî. Ad-Dainawarî en possédait une rédaction déjà modifiée,tand is que, dans sa forme actuelle, la «Nihâyat- al-'arab f î 'ah bâ ri mulûki 1-Furs wa-l-'Arab» représente la dernière forme de ce livre.94

90 Not ons que le te xt e de cet te «riwâyah» dan s at- Tab arî ma nq ue d e clarté, cequi aide à comprendre qu'al-Mas'ûdî (Murûg-ad-dahab II p. 203) et BATárni (ZOTENBERGII, 161 aient attribué à Anûsirwân d'avoir tué lui-même le Roi des Hephthalites. Maisnous convenons avec M. WIDENGREN qu'il faut traduire le passage d'at-Tabarî et del' An on ym e Sprenge r : «Et il (le R â qâ n) v int à eux et il tu a leur Ro i et il ex te rm in a ( et

non pas il emmena de force) les gens de sa maison. Il (Anûsirwân) dépassa Balh et laTransoxiane et il établit ses armées dans la Ferghana.»91 L. c. p. 75. Rappelons qu'Eutychius est indépendant d 'at-Tabarî . Si l 'on accepte

son indication, ce mariage aurait été célébré en 560. Cette notice est d'autant plus vrai-semblable qu'il aurait été dangereux pour la fiancée du Sâhenââh de traverser le RoyaumeHephthalite avec lequel les Turcs étaient en état de guerre depuis 555. Il est vrai quesa caravane aurait pu emprunter la route du Khwârizm qui, ainsi que nous allons leconstater, était à l 'époque un royaume indépendant.

92 Voir notre étude «La Nihâyatu-1- 'arab fî 'ahbâri-l-Furs wal-'Arab» et les «SiyaruMulûki-l-'Agam» du ps. «Ibn-al-Muqaffa'». BEO t. X X V I Da ma s 1974 p. 115 ch. I I I«Le ps. Ibn-al-Muqaffa'».

93 Voir notre étu de su r la réfo rme fiscale d'Anûà irwâ n da ns les Quade rni déliaAccademia Nazionale dei Lincei—Convegno sulla Persia (Rome 1970) et Les Règles d'Ar-daàîr b. Bâ ba k pour le gou ver nem ent du Ro ya um e que nous avon s publiées da ns l 'I slamTetkikleri Enstitiisii Dergisi (Istanbul 1973).

91 «La Nihâyat-al-'arab etc.» BEO Damas 1969 et 1974 ch. I.

Acta Antiqua Aeademiae Seientiarum Hungarieae 23, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



Or, les «riwâyah» que M. Widengren a appelées les lignes I, II et IV, ap-pa rti enn ent toute s à la tradi tio n d u ps. Ibn-al Muq af fa ' — seule la ligne IV deFirdausî, sur laquelle nous allons revenir, peut être en partie indépendante —et elles relatent différents épisodes du règne d'Anûsîrwân présentés dans une

succession arbitraire à la différence de ce que faisaient les traditions I et II.I) Episode : la reco nquête pa r Anûsirwân des pro vin ces que ses ancê tre s

avaient perdues.a) at-Tabarî 1,2 p. 894 I. 10—13. Dans ce passage le ps. Ibn-al-Muqaffa'

avait oublié de préciser que ces pays appartenaient aux Hephthalites, vrai-semblablement parce qu'il l'avait déjà dit dans les paragraphes précédents.D'ailleurs il y fait explicitement allusion dans le troisième épisode.

b) al-Ya'qûbî (Vol I p. 186). Cependant ce dernier a modifié le passageet fait vaguement allusion à la conquête de pays qui, par le passée, n'avaient

pas appartenu à l 'Iran.c) la «Nihâyah» qui spécifie que les pays perdus étaient sous la domina-

tion des Rois hephthalites.d) ad-Dainawarî qui fait précéder la listes des provinces recouvrées par

l'avertissement : «Il porta des armées dans le pays des Hephthalites» et qui lafait suivre par le récit d'une expédition de Singibû Hâqân en direction du Horas-sân. Mais, ainsi que l'a fait remarquer M. Widengren 95 c'est seulement dans laversion de Mirhond, qui par ailleurs copie ad-Dainawarî — que la conquête despays des Hephthalites et la campagne de Singibû sont considérées comme con-

temporaines.II ) Episode : les mesu res prises par Anûsirwân cont re les peuples pill ards

des frontières (at-Tabarî et «Nihâyah»),II I) Episode : Les fort ific ati ons qu'Anûsirwân fi t élever dans le Caucase

que Singibû fut impuissant à forcer. A ce propos, pour donner plus de reliefau succès du Sâhensâh, on raconte incidemment que Singibû était le souverainqui avait vaincu et tué W. z. r. (Warâz?),96 le puissant Roi dee Hephthalites,détruit la plus grande partie de ses armées et conquis ses provinces à l'excep-tion de celles qu'Anûâirwân avait précédemment occupées.97 On notera que

l'apparition d'Istemi devant Derbent, sans aucun doute un fait historique, doitap pa rt en ir aux années 572 ou 573 après la rup tur e de la paix entre Ju st in I Iet Anûsirwân. Mais dans cette tradition la campagne du Roi perse contre Jus-tinien I est racontée après cet épisode.

On rencontre la même succession des événements dans les «Ourur» deTa alibi (Ta alibi I et III de M. Widengren. Ed. Zotenberg p. 610).

De son côté, Firdausî réunit ces trois épisodes, parle vaguement de lasoumission de certains Rois étrangers à Kisrâ, d'un voyage du Sâhenââh le

85

L. c. p. 77.96 Voir WIDENGREN : 1. o. p. 73 note 4.97 «'illâ rnft kâna Kisrâ galaba 'alaylii minhâ».

Acta Antiqua Academiae Scientiarum Hungaricue 2S, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 3 6 M. GRIG.4ASCIII

long des frontières de son règne, d'une muraille bâtie sur les eaux et des mesurespri ses contre les peu ple s pil lar ds sur to ut es les fron tièr es du Ro ya um e.

Mais, quand on compare les versions que les historiens qui dépendent dups. Ibn-al-Muqaffa' donnent de ces épisodes, il apparaît immédiatement que

déjà l'auteur de la«Nihâyah» et, plus encore, les éditeurs successifs de ce livreont modifié le texte original soit pour suivre la mode littéraire de l'époque soitpour enjoliver le texte. Nous nous bornerons à deux exemples. Le ps. Ibn-al-Muqaffa' commençait le chapitre du règne d'Anûsirwân par le texte de lalettre où le Roi annonçait au «padgospân» de l'Azerbaïdjân Wârî-bn-Nahîr-gân son élévation au trône, une lettre que Nôldeke considérait comme une pièceoriginale. Al-Ya 'qûbî y fait allusion. Par contre, dans la «Nihâyah» cette lettrea été remplacée par un discours du trône farci de lieux parénétiques, que nousretrouvons dans le«Sâhnâmah» deFirdausî.De même,at-Tabarî raconte qu'Anû-

sirwân punit cruellement les Wârz et les Sûl (Col). De ces derniers il n'épargnaque 80 hommes qu'il établit dans la ville de Sahrâm-Fîrûz. L'auteur de la«Nihâyah» a transformé ce massacre dans une victoire glorieuse du Sâhensâhqui aurait fait construire à l'intention des prisonniers une ville égale à cellesqu'ils habitaient auparavant, ainsi qu'il le fera plus tard pour les déportésd'Antioche. 9 8 La plus grande prudence s'impose, on le voit, quand on faitrecours aux «riwâyah» des auteurs les plus récents. Toutefois ces derniers nouspermettent de reconnaître que la version intégrale du ps. Ibn-al-Muqaffa' oul'édition primitive de la «Nihâyah» contenaient au moins deux autres épisodes.

IV) Episode : Le mariage d'Anûsirwân avec la fille du Hâqân. D'aprèsat-Ta'âlibî, l 'Anonyme du «Mugmal-at-tawârîh» et de Firdausî le Hâqânavait pris l'initiative d'offrir sa fille à Anûsirwân dans le but, ainsi qu'il enressort explicitement du récit de Firdausî, d'éviter un choque avec l'armée persemassée sur les frontières du IJorassân. Et Anûsirwân avait réuni cette arméedès qu'il avait reçu la nouvelle de l'écrasement des forces hephthalites et del ' intention du Hâqân, l 'héritier d 'Argasp, d 'envahir l ' Iran. Ad-Dainawarîdevait avoir trouvé lui-aussi dans la première édition de la «Nihâyah» l'indi-cation que Singibû se préparait à attaquer le IJorassân. Et Firdausi ajoute

qu'Anûsirwân, tout en acceptant la proposition du Hâqân, chargea sonconseiller Mihrânsitâd de choisir entre les filles du souverain turc celle quiavait pour mère la Hâtûn et non pas une simple concubine. Et après avoirraconté comment Mihrânsitâd déjoua le stratagème de la JJâtûn qui voulaitéviter de lui donner son enfant et comment le IJâqân accéda à sa demande lors-

48 Cependant M. WIDESGREN (1. c. p. 77 note 2) considérait que la tradition d'at-Taharî est fort légendaire et que la Nihâyah corrige «d'une façon heureuse» la noticed'at-Tabarî. Quant à nous, nous éprouvons inoins de difficulté à croire à un massacregénéral qu'à l'assertion de la «Nihâyah» que ces nomades possédaient une ville. D'ailleursnous avons déjà donné un oxemple significatif des modifications que les éditeurs de la«Nihâyah» apportaient au texte du ps. Ibn-al-Muqaffa' dans notre étude «Le ps. Ibn-al-Muqaffa'» (Damas 1974) p. 138-139.


8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L' EMP IRE HEP HTH ALI TE 2 3 7

qu'un devin lui apprit qu'il allait devenir le grand-père du futur Sâhensâh,Firdausî prétend que, pour s'assurer la reconnaissance d'Anûàirwân, le ffâqânévacua la Transoxiane et la Ferghana. Ainsi cette version du mariage d'Anûsir-wân avec la fille du ffâqân s'oppose directement à celle que nous ont conservéeles tradit ions I et I I (At-Tabarî -Anonyme Sprenger ; Eu tychiu s-I bn Qut ay-bah) qui déclarent en toutes lettres que c'était Anûâirwân qui avait demandé lamain de la fille du ffâqan pour obtenir ensuite son aide dans la guerre contreles Heplithalites. Cependant un heureux hasard nous apprend que, même dansla tradition originaire du ps. Ibn-al-Muqaffa', c'était le Sâhenââh qui avaitpris l'initiative de ce mariage. L'auteur de notre «Nihâyah» a réélaboré leRoman de Bahrâm Cûbîn pour lui donner un ton plus dramatique et il y ainséré de nouveaux épisodes, par ex. les péripéties qui marquèrent la fuite deParwîz vers la Syrie après que son oncle Bindoë l'avait sauvé de la poursuite

des cavaliers de Bahrâm Cûbîn" et la prophétie d'un moine qui avait lu dansle «Livre de Daniel» l'annonce du prochain triomphe des Arabes. Et, de même,l'auteur de la «Nihâyah» a imaginé que dans le conseil de guerre convoqué parHurmuz, que l'offensive du Roi des Turcs avait jeté dans l'affolement, l'ancienconseiller d'Anûsirwân Mihransitân (recte Mihrânsitâd), désormais un veillarddécrépit, avait fait le récit de son voyage à la cour du ffâqân défunt. Il s'yétait rendu pour apporter une lettre d'Anûsirwân qui demandait au ffâqân delui accorder la main de sa fille. Mais il avait l'ordre de choisir entre ses fillescelle qui avait pour mère la ffâtûn. Et, tout comme dans le récit de Firdausî,

même dans cet épisode le ffâqân et la ffâtûn ont recourt à l'artifice de revêtirleur enfant d'une robe usée afin de détourner d'elle l'attention de l'envoyéperse. Plus tard ils donnent leur consentement à ce mariage quand un devinannonce que de cette union allait naître le futur roi de l'Iran. Seulement, danscette version, le devin ajoute que ce Roi aura la chance d'être servi par uncommandant glorieux, dont il donne la description, et que ce héros vaincrales envahisseurs turcs de l'Iran. Nous donnons dans l'appendice cette page dela «Nihâyah» car elle suffit à prouver que, tout comme l'auteur de notre«Nihâyah» arabe, l'éditeur de la version de ce livre qui forma la base pour

l'histoire d'at-Ta'âlibî et pour le Sâhnâmah en prose persane mis en vers parFirdausî, devait avoir trouvé lui-aussi dans son modèle que c'était Anûsirwânqui, le premier, avait proposé au ffâqân cette alliance. Mais cet éditeur ren-versa les rôles afin d'exalter davantage la figure du Sâhensâh. Et le fait quecette modification a été reprise par Firdausî, at-Ta'âlibî et l'Anonyme du«Mugmal-at-tawârih» laisse penser que cette édition avait vu le jour dans lemonde iranien. Par surcroît nous possédons une preuve supplémentaire du faitque la version ancienne de ce mariage attribuait l'initiative à Anûsirwân.

99 Ces péripéties ont été invontées par l'auteur do la «Nihâyah» dans le but d'expli-quer la politique que i'arwîz suivra ensuite vis-à-vis de la dynastie d'al-fjîrah.


8/15/2019 ACTAANTIQUA_28 (1980)


238 M. GRIGN ASCHI

Nous trouvons cette histoire dans une «riwâyali» d'Ibn Balhi 1 0 0 qui est indé-pendante de celles que nous venons d'examiner et qui remonte à son tour àl'époque sassanide, ainsi que le prouve l'accord sur ce point entre Scbéos101 e tal-Mas'ûdî. 1 02 Al-Mas'ûdî comme le faisait noter Marquart, a donné à la prin-

cesse tu rq ue le nom de Fâq .m (va ria ntes Faq .r, Fâl.g), mais il ap pa ra ît deSébéos et d' Ib n Bal hî que Fâ q. m (Sébéos : Kay ên, Ib n Balhî : Qâq.m) ét ai ten réalité le nom du père de cette princesse. Cependant cette «riwâyah» étaitincertains à propos de la nationalité de ce «Fâq.m» qui, selon les uns était le«Hâqân des Turcs», selon les autres «l'un des Rois hazar de la région attenanteà Al-Bâb wa-l-Abwâb».103 Probablement dans sa forme originaire elle parlaitd'un Roi des Hazar car, dans le récit de Sébéos, Kayên était le roi des T'eta-laé'ik, un terme, soulignait Marquart, que l 'historien arménien a employé pourles Hep hth ali tes e t les Hazar, nous ajou te ro ns aussi pou r les barb ares en géné ral,

mais jamais pour les Turcs.V) Episode: Pa rv en u à la fi n de sa vie, Anû sir wân préféra Hu r mu z

à ses autres fils à cause de ses vertus et de la noblesse de sa mère. De nos troistraditions seulement celle du ps. Ibn-al-Muqaffa' contient ce renseignementqui revient chez tous les historiens qui en dépendent, même dans l'histoired'ad- Dainawar î, quoi que ce dernier ava it pré cédemme nt raco nté que H ur mu zà la tête d'une armée perse avait forcé Singibû à évacuer la Transoxiane et laFerghana. At-Tabarî, il est, vrai, donne lui aussi cette notice au début du cha-pitre sur le règne de Hurmuz, mais il l'a interpolée dans la tradition I en l'em-

pruntant au ps. Ibn-al-Muqaffa', qu'il utilisait largement, car la phrase «Et samère était la fille du Grand Hàqân«10 4 n'existe pas dans l 'Anonyme Sprenger.On notera cependant que Sébéos et al-Mas'ûdî citent eux-aussi la «riwâyah» dumari age d'Anûs irwâ n avec la fille de K ay ên /F âq .m à pro pos de Hur muz po urnous assurer qu'il était né de ce mariage.

Et enfin che les auteurs qui dépendent du ps. Ibn-al-Muqaffa c nous trou-vons deux «riwâyah» isolées.10 5 Celle d'ad-Dainawarî qui attribuait à Hurmuz

100 Fârgnâmah, E d . LE STRANGE & NICHOLSON P. 94 1. 8 — 95 1. 6. La lac une da nscette «riwâyah» signalée par M. WIDENGREN (1. c. p. 81) peut probablement être comblée

par-

le récit d'al-Balâdurî (194/13) à propos des dissensions qui s'élevèrent entre Anuäir-wân et le Hâqân des régions à nord du «Bâb-al-'abwâb».10 1 Voir MARKWART : Histori sche Glos sen zu den altt ürk isc hen Insc hrif ten. W Z K M

XII. MARKWART a donné aussi la traduction de ce passage do Sébéos, p. 36 que nousreproduisons.

ю г Murûg-ad-dahab ch. XX II p . 211 «tumma inalaka ba'dahu -bnu hu Hu rm uzmin - ' Anûài rwân b. Qub âd wa 'umm uh u F âq .m ibn atu H âq ân maliki -t-tur k wa qîla ba lmalikui) min mulûki-1- B a z a x mimmâ yalî al-Bâba wa-l-'Abwâb.»

ю з Voir note 102."10 1 «wa kânat 'ummatu hu-bna tu Hâqâni- l-'akbar». îoô pour notre bu t , nous pouvons fa iro ici abstraction des «r iwâyah» se rappor ta n t

aux Bazar, qui remontent elles-aussi au «Bodâynâmah», ainsi que le prouve leur présencedans toutes nos trois traditions, aux expéditions contie Sarandîb que BaTamî et at-Ta'âlibî localisent dans l'Inde et contre la Chine (Ibn Balhî) et à la suzeraineté iranienne

imposée à la Chine (at-Ta'âlibî) et au Tibet (al-Mas rûdî). Il s'agit de légendes dépourvuesde toute historicité et qu'on ne rencontre que chez les auteurs les plus récents.


8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L'EM PIR E HEP HTH ALI TE 239

d'avoir obligé Singibû à se retirer de la Transoxiane et de la Ferghana et dontnous ignorons la source. Probablement elle appartenait à la première rédactionde la «Nihâyah» qui, parfois, deva it donne r deu x versions différen tes du mê meépisode, comme il en est le cas pour le théâtre de la bataille entre Bahrâm Gôret le «Hâqân des Turcs». Et surtout la «riwâyah» de Firdausî que M. Widengrenattribue à la ligne IV et dont nous venons de prouver qu'elle contient un épi-sode (le mariage d'Anûsirwân avec la fille du Hâqân) emprunté de nouveauau ps. Ibn-al-Muqaffa'.

Or cet te «riwâyah» pose un pro blè me qui nous oblige à revenir sur no tr earticle «Deux documents nouveaux à propos de la Légende de Buzurgmihr»paru dans le tome XXVI des «Acta Antiqua». Nous maintenons notre pointde vue, à savoir que le plus souvent le texte de Firdausî remonte à une versionen prose persane très proche de la «Nihâyah» et qui doit donc dériver de l'arabe

et non pas directement d'un «Uodâynâmah» en pahlvî. D'ailleurs nous avonscons taté cet te aff init é même dans les épisodes du règne d'Anûsirw ân. Mais nousavions tort quand, dans la seconde partie de cet article, pour laquelle nous nousétions imprudemment appuyé à l'étude de Christensen,10® nous avions crupouvoir avancer que même les «Conseils de Buzurgmihr» dans le «Sâhnâmah»de Firdausî dérivent du texte arabe conservé par Ibn Miskawayh. Ne connais-sant pas le pahlvî, nous présentions nos conclusions comme une simple hypo-thèse qu'il appartenait aux iranologues d'examiner. Ensuite le prof. MahyarNawabî nous a démontré notre erreur. Maintenant, dans l'épisode d'Anûâir-

wân et de la guerre contre les Hephthalites nous nous trouvons en présenced'un cas assez analogue. La description de la mission chargée de choisir pourAnûsirwân sa femme entre les filles du Hâqân a un pendant exact dans lechapitre de Bahrâm Cûbîn dans la «Nihâyah». 10 7 Par contre, le récit de la guerreentre les Turcs et les Hephthalites ne correspond à aucune de nos traditions.Elle donne au Roi des Hephthalites le nom de «Gatfûr» qui rappelle inévitable-ment celui de KaxovXcpoç dans le fragment de Ménandre. Elle attribue la défaitedes Hephthalites aux seuls Turcs, elle prétend que, par désespoir, la noblessehephthalite décida de se soumettre au Sâhenëâh de l'Iran et que le Hâqân

évacua à la fin la Transoxiane et la Ferghana pour s'assurer l'amitié d'Anûsir-wân. Nous noterons que ce récit de Firdausî, qui l'attribue à un «dehqân» illustre,est celui qui rabaisse le plus le rôle de l'Iran dans l'élimination de l'Empirehephthalite. Il y a des changes qu'il nous ait conservé une ancienne «riwâyah»

106 D ans son étu de La légende du Sage Buz urg mih r (A. 0. 19 29 p. 81 —123) CHRISTEN-SEN se rapp ort e aux text e du Pand nâ ma k édité par Da stû r Pesh otan ji en dépi t d u faitque WEST dans son article publié dans le Muséon, Notes sur quelques petits textes poh-levîs avait déjà prévenu que le texte original s'étend seulement treize lignes au delà duparagraphe 119 do l'édition du Dastûr Peshotanji et que la continuation donnée par cedastûr (§§ 121 — 169) app art ien t à un autr e ouv rag e.

107 Ed . de Calcutta p. 1697—1700 (L'offre d'u n maiiage) et p. 17 00 -1 70 3 (Lamission de Mihrûnsitâd).


8/15/2019 ACTAANTIQUA_28 (1980)


240 M. GRIGNASCHI

sas san ide in dé pe nd an te de nos trois tr ad it io ns et qui reflétait fid èle men t lamarche des événements. Toutefois n'en sommes-nous pas certain. En effet,dans les épisodes qui nous ont été conservés, la tradition du ps. Ibn-al-Muqaffa'ne parle pas explicitement de la guerre perso-hephthalite. Elle donne seulement

une liste des provinces recouvrées par Anûâirwân au début de son règne etdont elle savait qu'elles avaient été sous la domination des Hephtlialites. 108

Mais ensuite elle fait aussi allusion au fait que la plus grande partie de l'arméehephthalite avait été écrasée par le TJâqân. 109 Et, par conséquent, rien ne s'op-pose à ce que les épisodes racontés par le seul Firdausî (la guerre turco-hephtha-lite, l 'élection de Fagânis, l 'arrivée d'Anûsirwân dans le Horassân, l 'évacuationdu Sogd, de Samarkand et de Ôâg par le Hâqân et l 'hommage de Fagânis àAnûsirwân) aient figuré déjà dans le récit du ps. Ibn-al-Muqaffa r . Noussommes d'autant plus enclin à le croire que Firdausî nous a conservé certains

épisodes qui doivent appartenir au Roman de Bahrâm Cûbîn, que nous nelisons plus dans notre «Nihâyah» mais qui devaient figurer déjà dans la pre-mière édition de ce livre.

Nous devons désormais nous demander quelle est la valeur historique deces «riwâyah», do nt nous avo ns nous som mes eff orc é jusqu 'ici d' ét ab li r l 'origi neet les rapports, et nous commencerons par l'épisode V de la tradition du ps.Ibn-al-Muqaffa' (l 'origine turque de Hurmuz) car, même s'il s'agit d'un pro-blème marginal ne concernant pas la chute de l 'Empire hephthalite, il permetde constater comment les historiens perses connaissaient mal les événements

de la Cour sassanide et comment ils faisaient circuler des relations tendancieusesdans des buts propagandistes. On sait que toutes les versions conservées dansles sources arab o-pe rsane s font de la mère d' Anû sir wân la fille d' un deh qân , laclasse de la petite noblesse favorisée par Quabâd I et par JJosrô I alors, qued'après Procope, elle était la sœur de l 'Aspahbed, c'est-à-dire d'un membre dela plus haute noblesse.110 Or, nous nous trouvons en présence d'un cas assezanalogue. Nous ne connaissons pas la source de la «riwâyah» d'ad-Dainawarîqui, tout en achevant son chapitre sur Anûsirwân par le récit du choix de Hur-muz comme futur Sâhensâh à cause du rang de sa mère, la fille du Hâqân,

avait auparavant attribué au même Hurmuz le mérite d'avoir guidé une arméeperse contre le fjâqân des Turcs et de l'avoir forcé à évaquer la Sogdiane et laFe rg ha na . Cep enda nt il ne serait pas impossible que cette «riwâyah» ait app art e-nu à une tradition aujourd'hui perdue se proposant d'exalter la figure de Hur-muz, d'après les autres traditions perses un tyran cruel, digne de son aïeulturc. Sébéos le dit en toutes lettres : «Il était encore plus grand que ses ascen-dants paternels et plus grand et plus sauvage que ses ascendants maternels». 111

10 8 Voir l'épisode 3.10 9 Voir l'épisode 3.11 0 «De hello persico» Livre I eh. 11.111 Tra duc tion MARKWART : 1. c. Ra pp el on s q ue F irdausî re vient da ns plusi eur sépisodes sur l'origine turque de Hurmuz pour en expliquer la cx'uauté.

Acta Antiqua Acudemiae Scientiarum Hungáriáié 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L'EM PIRE HEP HTH ALI TE 241

Et, dans nos extraits du «Hodâynâmah», on relève encore deux tendancesopposées que les historiens musulmans se sont efforcés de concilier : le désirde mettre en relief la protection que ce Roi accordait au menu peuple, un désirconforme à l'idéologie du TJodâynâmah qui s'efforçait toujours de voiler les

défauts des Rois légitimes et de leur attribuer des mérites, et le jugementsévère qu'en donnait le Roman de Bahrâm Cûbîn qui, tout en représentant seshéros comme les victimes de la fatalité, ne cachait pas leurs défauts.

Or, la possibilité que Hurmuz ait joué un rôle quelconque dans la guerreperso-hephthalite — pour qu'on lui confiât en 559/60 le commandement, nefût-ce que nominel, de l'armée contre les ex-alliés turcs il aurait dû être né vers545 au plus tard — ne saurait être retenue à la lumière du récit de Johannesd'Ephèse. Et sur ce point cet historien mérite notre confiance puisqu'il rap-porte des événements, dont le dernier acte s'était déroulé à Constantinople à

son époque. En parlant du choix de Hurmuz (Ormazd IV) comme successeurde Hosrô, il emploie les termes de «puer arrogans et immanis et rationis exi-guus».11 2 De son côté, Michel Syre, reprenant les renseignements de Johannes,note qu'il était «un jeune homme bouillant, cruel et de peu de cervelle». 113

On préférera les termes de la traduction de Chabot, à savoir qu'au moment deson arrivée au trône en 579 Hurmuz était encore un jeune homme puisque,quand en 590 son fils Hosrô II se réfugia dans la Syrie byzantine, il était ac-compagné par les femmes de son harem avec leurs ourissons.114 Donc en 579Hurmuz ne pouvait pas être à proprement parler, un «puer».

Et d'autre part, les renseignements qu'on trouve dans l'histoire deThéophylacte et certain détails du Roman de Bahrâm Cûbîn rendent difficiled'accepter l'historicité de la «riwâyah» qui fait de Hurmuz le fils d'Anûèirwânet de la fille d'Istemi, même si cette possibilité ne saurait être tout à fait écartée.En 589 Hurmuz proposait à la noblesse perse de mettre à sa place son fils cadet,un yeigáxiov dit Théophylacte,115 donc un garçon de 15 ans au moins, l'âgeauquel commençait la majorité d'après le «Pandnâmak-i-Zaradu§t». l i e Danscette année-là Hosrô II, déjà père de plusieurs nourissons, devait avoir aumoins 17 ou 18 ans. Et, dans le Roman de Bahrâm Cûbîn on raconte l'étonne-

ment du héros à la vue de l'allure royale et de la barbe qui ornait désormais levisage du nouveau roi Parwîz. Ce dernier devait donc être né au plus tard en571 et il est difficile de croire que son père ait pu être le fils de la princesseturque qu'Anûsirwân avait épousée en 556 si l'on prête foi à at-Tabarî, en 560si on accepte l ' indication d'Eutychius. Et d'ailleurs Johannes d'Ephèse etMichel Syre ne savent rien de la mère de Hurmuz et nous racontent une his-

112 «Hist. Ecel.» Pa rs I II Livre VI ch. XX I I ( tra d. BROOKS p. 243).113 Livre X ch. 20. Trad. CHABOT tome II p. 353.114 «História» L. IV ch. 10.115 «Historia» Livre IV ch. 4.116 Ed . et tr ad . FREIMANN § 27. Le te xt e n'es t ce pe nd an t p as explicite.


8/15/2019 ACTAANTIQUA_28 (1980)


242 M. GRIGN ASCHI

toire fort différente de celle de la tradition du ps. Ibn-al-Muqaffa'. D'aprèsces auteurs c'était l'assemblée de la noblesse perse (avyxXtjroç) qui avait imposéà U ° s r ô I la désignation d'Ormazd, le «fils cadet» et Hosrô I avait donné del'argent à son fils» aîné qu-il préférait pour qu'il se sauvât et «qu'il ne fût pas

mis à mort»11 7. Plus tard un «impostor quidam astutus ex ipsis Persis, pueradulencens»118 arriva à Constantinople et se fit reconnaître comme l'héritierlégitime de Hosrô. A la fin il fut démasqué par le Spatharius du Roi de Persequi avait trouvé à son tour refuge à la Cour byzantine. 119

Ainsi les «riwâyah» recueillies par le ps. Ibn-al-Muqaffa' sur la participa-tion de Hurmuz à la guerre turco-liephthalite et sur son origine turque n'ontaucune chance d'avoir une base historique. Et on ne saurait pas non plus prêterfoi à la tradition de Sébéos—al-Mas rûdî car les sources byzantines et le «Kârnâ-mag-i-AnûSirwân» s'accordent à présenter les populations à nord du Caucase

comme des peuples barbares sans organisation et ayant à leur tête des roiteletsdénués de prestige, avec lesquels le Sâhensâh ne se serait jamais emparenté.Quant à Istemi, il ne fit son apparition dans le Caucase qu'après 572 et, de touteévidence, Hurmuz ne pouvait être issu d'une union scellée à cette époque.Toutes ces «riwâyah» doivent appartenir à des romans populaires tels que celuide Bahrâm Cûbîn et on voit combien la prudence s'impose dans l'utilisationde nos sources, même quand elles remontent, comme il en est dans notre cas,à l'époque sassanide. Par contre on peut faire confiance à la «riwâyah» destradi t ions d'at-Tab arî—Anon yme Sprenger, Eutychiu s—Ihn Qutay bah lorsqu'

elles nous raco nten t qu' Anûs irwâ n a va it épousé la fille d' Is te mi en vue d'obte nirson appui contre les Hephthalites. Ce récit cadre bien avec tout ce que noussa vo ns de la mar che des évé neme nts et, sur tou t, il est con fir mé pa r un docu mentconservé par Moses Dasxuranci, un historien qui possédait des sources armé-niennes contemporaines pour l'histoire de Héraclius et de H° s r ( 1 II- DansF«histoire des Agouans» nous lisons le texte d'une lettre envoyée par HosrôII au Râqân des Turcs, où le Roi perse rappelle à ce dernier les mariages qu'unis-saient la Maison des Hâqân à celle de l'Iran mais où il ne prétend pas toutefoisd'avoir lui-même du sang turc.120

Cependant ce ne sont pas seulement les «riwâyah» dérivant des romanspopulaires de l'époque sassanide qui sont suspectes. Nous constatons le mêmemanque d'historicité dans la liste des provinces hephthalites annexées parAnûsirwân et cela quoique sur ce point toutes nos traditions soient au fondconcordes et qu'elles attribuent toutes à Anûsirwân d'avoir annexé la Trans-oxiane et la Ferghana elles-mêmes. La liste la plus détaillée des conquêtesd'Anûsirwân nous a été conservée par le ps. Ibn-al-Muqaffa' et elle n'inspirait

117 Michel Syre L iv re X eh. 20 Tr ad . CHABOT t. I I p. 353.118 Johannes d'Ephôse Hist. Eccl. pars III, Livre VI ch. 29.119 Michel Syre L. X ch. 20.120 Trad. PATKANOV Livre II ch. 12.


8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L'EMPIRE HEPHTHALITE 2 4 3

pas de la confiance à Nöldeke.121 Et, en fait, cette tradition renferme une contra-diction de fond. Elle prétend tout d'abord qu'Anûëirwàn avait conquis le Sind,le Bost, l 'Arachosie, le Zabûlistân, le Tohâristân, le Kâbulistân et le Dardis-tân.122 Ensuite elle raconte incidemment que le TJâqân des Turcs avait conquis

tous les pays des Hephthalites à l 'exception de ceux qu'Anûëirwàn avait déjàoccupés.123 Il est évident que si Anûëirwân avait annexé toutes les régionsénumérées dans cette «riwâyah», Istemi n'aurait fait qu'attaquer un Roi quiavait déjà perdu le centre de son Empire et qui ne se serait maintenu que dansla Transoxiane. Et néanmoins cette tradition n'arrive pas à cacher que l 'attaqueprincipal contre les Hephthalites avait été mené par les Turcs. Aussi serait-onten té d'att rib uer cett e liste à quelque part isan de la Su' ûbi yya h, un mou vem entauquel participait le ps. Ibn-al-Muqaffa r . Et cela d'autant plus que, ainsique le faisait remarquer Marquart, 124 le terme de Kâb uli stâ n appa rti ent au

néo-persan et qu'à l 'époque sassanide on parlait du «Royaume de Kâbul».Cependant cet indice n'est pas décisif, car nous ne possédons que des traduc-tions du II siècle et du III siècle de l'hég., dont les auteurs pouvaient toutnaturellement remplacer l 'expression ancienne par sa forme moderne. Ainsinous rencontrons le terme de «Kâbulistân» jusque dans la traduction du«Kârnâmag-i-Anûsirwân», un ouvrage appartenant sans contredit possible àl'époque sassanide. Rien ne s'oppose donc à ce que cette liste remonte réelle-ment à l'époque perse et à ce qu'Anusirwân, qui faisait imprimer sur ses mon-naies la légende «gêhân apâbîm kartar»,125 ait fait aussi circuler quelque

«fathnâmah» énumérant ses prétendues conquêtes.126

Quant au problème de savoir si la liste originale contenait réellement leDa rd is tâ n et le Kâb ul is tâ n — dan s les mss. d'a t-T aba rî I 894 on lit D.rw stâ n etKâ r .s t ân — nous fer ons note r que la leçon Kâb ul is tâ n est con fir mée pa r leséditions les plus récentes du ps. Ibn-al-Muqaffa', mais nous avons déjà con-staté comment ces éditions remanient souvent le texte original qu'at-Tabarîavait encore à sa disposition. Dans ces conditions, il sera peut-être plus prudentd'accepter la leçon de BaTamî Gargistân, la province sur le haut Murgâbqu'Anûëirwân a certainement annexée et la lecture proposée par Marquart

Zabûlistân au lieu de Drwstân.127

Il est par contre probable que la liste originalecontenait aussi le Oagâniyyân, ainsi qu'il en ressort d'ad-Dainawarî. M. Widen-

121 NÖLDEKE : Gesch ichte de r Pe rs er un d der Araber zur Zeit der íías anidenp. 156 n. 1.

122 Episode I.123 Episode I II .121 Era nSa hr p. 32 n. 3.125 Celui qui délivre le monde do la pour. Voir WIDENGREN 1. c. p. 94 n. 2.126 Rap pel ons q ue la «Nihftyah» nous a conservé, ne fût -ce que sous uno fo rme

modifiée, le «fathnâmah» que Bahrâm Gôr adressa à ses peuples après la victoire sur leHûqfm turc. Mémo cette pièce semble être empruntée à un roman populaire.

127 Voir MARKWART : Er anè ahr p. 32 n. 3 et HARMATTA : Late B ac tr ia n Inscrip-tions. Acta Antiqua 17 (1969) p. 401 et 402 et note 71.


8/15/2019 ACTAANTIQUA_28 (1980)


2 4 4 M. GRIGN ASCHI

gren considère comme «extrêmement probable» que les provinces indiquéesdans la tradition du ps. Ibn-al-Muqaffa' ont été occupées réellement par Anû-âirwân mais qu'elles furent perdues ensuite, peut-être à l 'époque de HurmuzdIV.128 Et le savant suédois justifiait sa conviction par la description des fron-

tières de l 'Iran dans la «Lettre deTansar» qu'il considère avec Christensen com-me appartenante à l 'époque de Hosrô I 129 mais que nous préférons attribueraux toutes dernières années du Royaume Sassanide. 13 0 Cependant aujourd 'hui ,grâce au «Kârnâmag-i-Anûsirwân» et aux sources byzantines, il est possiblede prouver que la plus grande partie de ces provinces n'appartenaient pas àl'Iran en 568 et on ne saurait penser qu'elles aient été évacuées dans la période560 — 568 car, ainsi qu e nous l 'a ppr en d Mén andre, pe nd an t c ette période lesrapports perso-turcs s'étaient détériorés à cause des obstacles créés par la Perseau commerce turco-sogdien de la soie, mais on n'était pas arrivé à une guerre

ouverte .13 1

L'épisode IX du «Kârnâmag-i-Anûsirwân» nous apprend qu'àcette date (468) Anûèirwân reçut les hommages du seigneur du Rwârizm et duRoi de l 'Inde, de Dâwar et du Kâbulistân.1 3 2 Donc ces pays n'avaient été jamaisannexés à l'Iran, ce qui est par surcroît confirmé par le fait que les émissionsdes Napki-Malka de Kâbul ne présentent aucune interruption à cette époque 139

et que nous possédons toute une série de monnaies des Rois du IJwârizm avecla légende M.RA M.LK HAR.ZM et les noms, malheureusement d'une lecturedouteuse, des souverains qui les émettaient. 1 3 4 Et le même épisode IX du«Kârnâmag» raconte que, dans cette année-là, Anûsirwân autorisa des popula-

tions turques, sans doute principalement des Sabir mais peut-être aussi destribus pseudo-Avar, à entrer dans l 'Iran et qu'il cantonna les auxiliaires enrôlésparmi ces nomades dans les territoires des Alains, dans l 'Azerbaïdjân et dansla région de Marw. Dif ficil e de se sou str air e à l'im pres sion qu'il s' agissaitde régions frontalières et que, même en 568, les confins de l'Iran ne dépassaientla région de Marw, Marw-i-rûd et Talaqân. De plus, en 570 Ménandre enrégistreune invasion turque de la Médie.13 5 Comme en 569, au moment où Zemarchosrentrait à Constantinople, les troupes perses contrôlaient encore le territoire

128 L . c . p. 9 0 - 9 1 .129 L. c. p. 84 et note 2.130 Voir rem arq ues au Testament d'Ar das îr dans le JA I960.131 De legat ioni bus ge nt iu m frag . 18.132 Nous pro fi to ns de cette occasion po ur corriger notr e n ot e 74 do la page 41

d u J A 1966. Mérne si at -T a' âl ibî (éd. ZOTENBERG p. 615) et B a l 'a mî ( Ed . ZOTENBERGII p. 221) situent Sarandib dans la vallée inférieure de l'Indus, il est plus probable quel'auteur sassanide songeait aux souverains des grands centres commerciaux sur la routede la Chine : Ceylan et la ville de Kelât.

133 Voir GÖHL 1. с . Vol I p. 68 et suiv . Nous devons cepe ndan t rappeler que M.MITCHINER dans son article Who were Napki Malik (East and West XXV 1976) est enclinà admettre l'historicité do la conquête perse et considère que les émissions de NapkiMalka s'achèvent vers 560.

134 M. MITCHINER : «The early coinage of Centr al Asia» p . 4 8.135 Ménan dre De L eg . Ge nt ium fr. 23 (éd. DE BOOR p. 459).


8/15/2019 ACTAANTIQUA_28 (1980)


LA CHUTE DE L'EMP IRE HE PH TH AL IT E 245

des Alains13 8 et que Derbent était puissamment fortifié, il est à peu près certainque l'armée turque fit irruption dans la Médie par la route allant de Qômis àRay. Et ce renseignement de l'historien byzantin est confirmé par le «Kârnâ-mag». Dans l'épisode X, qu'une allusion aux embassadeurs byzantins envoyés

auprès d'Istemi permet de dater de 571 ou 572, Anûsirwân rappelle un reverssubi par les Perses au cours d'une attaque récente des Turcs et il parle des me-sures prises pour mettre en état de défense les villes et les forteresses du ffo-rassân . Même si la «Géographie Arménienne» inclue Ba lh et le Tohâri stân dansle fforassân, il est difficile de croire qu'Anûsirwân parlait ici de ces régionséloignées.

Et enfin à la même date (568) Maniach, l'ambassadeur sogdien d'Istemià Constantinople, assurait Justin II que les villes des Hephthalites payaientle tribut aux Turcs.137 Cette déclaration corroborée par le fait qu'Istemi se

servait d'un ambassadeur d'origine sogdienne, prouve définitivement, commel'enseignait Nöldeke, que la Transoxiane n'appartenait point à l'Iran.

Ainsi de toutes les provinces de notre liste Anûsirwân n'avait recouvré enréalité que l'Arachosie et le Zabûlistân,1 38 qui d'ailleurs étaient probablementsous l'autorité des dynasties hephthalites locales, ainsi que la «Nihâyah» lelaisse entendre. De plus, il avait sans doute rétabli son autorité sur les régionsde Hérat et de Bagdês.139 A not re avis, il y au ra it un e seule int erpré tat ion quipermettrait de considérer ces listes des «provinces recouvrées» comme quelquechose d'autre qu'un faux mis en circulation de propos délibéré. Une partie

importante de la noblesse hephthalite, telle que le roi Eagânis de la «riwâyah»de Firdausî et le prince KaxovXtpoç de l'histoire de Ménandre, avait sans doutepréféré se soumettre à l'Iran, dont elle avait absorbé la culture, 140 plutôt qu'auxbarbares turcs. Et dès lors il serait concevable qu'Anûsirwân se soit considérécomme le suzerain légitime des régions que les Rois hephthalites avaient inféo-dées à ces princes.

136 Ménandre De leg. gentium frag. 21 éd. DE BOOR p. 453 — 4.137 Ménandre De leg. gen tiu m fr ag . 18 Ed . DE BOOR. p. 451 — 452. On not era q ue

Maniaeh affirme seulement que les Turcs avaient obligé les Hephthalites à leur payerdes tributs. Il ne parle pas d'une occupation directe de leurs villes qui étaient évidem-ment restées sous l'autorité de la noblesse locale hephthalite. De son côté, la traditionnationale tou-kiue (inscription de Kültegin côte est ligne 9) considérait les «Portes deFer» comme le point extrême de l'expansion turque à l'époque de la Grande Dynastie.

138 Voir GÖBL : 1. c. Vol I p. 68 et suiv. ; en par tic uli er à propo s de l' occupa tio nde Kapiáa à la fin du VI siècle par les Napki qui possédaient déjà Gaznî. Il est intéressantde noter que même le Dâwar faisant partie du Zabûlistân n'appartenait pas à Anûâirwânquoiqu'on 508 Qubâd I eût pris d'assaut le sanctuaire de cette région, le TÇovvôàôeeg(MARQUART : Das Reich Zabûl p. 279—287).

no Voir MARQUART: Er an èah r p . 61 — 62 à propos d u pro blème de l'absence de sévêques nestoriens de Herat aux conciles nestoriens de la fin du V siècle et de la premièremoit ié du VI siècle. Cette région, ajou tons- le, étai t oc cupée pa r le QadiS (Er aná ah rp. 77) qui, ainsi que CZEGLKDY l'a prouvé (Acta Orient. Hungarica t. IV fasc. 1 —3 p . 63),

appartenaient aux tribus chionites.140 La langue des «fr agments hephtha lite s» déch if fr és pa r O. HANSEN es t undialecte iranien.


8/15/2019 ACTAANTIQUA_28 (1980)


2 4 6 M. GRIGNASCHI

Le bilan de ce que les sources perses permettent d'établir, une fois écar-tées les «riwâyah» tendancieuses ou défigurées par les remanieurs et les fauxde la propagande officielle, semble à première vue assez maigre. Mais ellesnous ont conservé quand même quelques renseignements précieux qui per-

mettent d'entrevoir le déroulement des événements. Elles nous livrent le«terminus post quem» pour la chute de l'Empire Hephthalite et elles complètentainsi les sources byzantines. Elles nous ont appris que ce fut Anûsirwân quipoussa Istemi contre les Hephthalites en demandant la main de sa fille, unedemande qui devait flatter le Hâqân turc qui avait été jusqu'à 552 un obscurvassal des Jeou-jan et qui obtenait ainsi un prestige comparable à celui que lemariage avec une princesse des Si-Weï avait assuré à son frère aîné Tou-men.Elles nous ont aussi révélé que ce furent les armées turques qui portèrent toutle poids le la guerre et qui occupèrent la plupart des territoires hephthalites.

Mais le succès remporté par le Sâhensâh n'était pas moins grand. Il avaitanéanti l 'ennemi traditionnel de l'Iran — on remarquera que les paroles duplénipotentiaire perse Yezdegusnar Zieh au délégué byzantin Petrus magisterofficiorum, prises à la lettre n'impliquent pas de conquêtes territoriales 141 —,il avait recouvré des territoires aussi importants que Hérat, Bagdês, l'Arachosieet le Zabûlistân et il avait obtenu l'acte de soumission d'une partie considérablede la noblesse hephthalite. Et, parmi nos sources, la plus importante est sansco nt re di t possible le «Kârnâmag-i- Anûsirwân», dont l 'aute ur a été prob able mentle seul écrivain perse ayant accès aux archives royales, tandis que, entre les

traditions dérivant du H°dâynâmah, celle du ps. Ibn-al-Muqaffa' est la plusriche, même si elle risque de fourvoyer les historiens par son caractère hétéro-gène, ses emprunts aux romans populaires et les remaniements, auxquels ellea été soumise.142

Trieste.

141 Ménandre : De l égat . Rom . fr agm . 11 (éd. DE BOOR p. 177).142 A cette trad iti on appa rtie nt aussi at -T a' âl ib î qui, dans son ch api tre sur Anû-âirwân, donne deux notices provenant de la tradition du ps. Ibn-al-Muqaffa' (Ed. ZOTEN-BERG p . 615 Ta 'â libî I et I I I de WIDENGREN) et une notice appar te nan t à la tra di ti ond' at -T ab ar î— An on ym e Spr enger (Ed . ZOTENBERG p. 615 Ta 'â lib î I I d e WIDENGREN).On ne s'étonnera pas trop, car il est bien connu qu'at-Ta'âlibî, tout en suivant uno ver-sion parallèle à celle de Firdausî, a employé aussi la Chronique d'at-Tabarî. Nous nesa ur io ns pa rta ge r ent iè re me nt l'opinion de WIDENGREN (1. c. p. 89), à sav oir que l'ana -lyse des «riwâyah» se rapportant à la chute des Hephthalites ne confirme pas la théoriede ZOTENBERG qui admettait que Firdausî et at-Ta'âlibî ont suivi des narrations dis-tinctes remontant à une source commune. En fait les deux auteurs ont donné seulamentsun relief différent aux épisodes I—V du ps. Ibn-al-Muqaffa'. Ce qu'on ne trouve pasdans le récit d'at-Ta'âlibî c'est la description de la guerre turco-hephthalite qui caractérisela version do Firdausî. On pourrait voir dans cette lacune dans la narration d'at-Ta'âlibîuno raison pour attribuer cette dernière «riwâyah» non pas au ps. Ibn-al-Muqaffa' maisà une tradition indépendante.

Acta Antiqua Aeademiae Scientiarum Hungarieae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



A P P E N D I C E

LA MISSION DE MIHUÂNSITÂD

(DANS LE MS ùL·^ *.) D' AP RÈ S LA «NIHÂYAH»

8/15/2019 ACTAANTIQUA_28 (1980)


2 4 8 M. GRIGNASC HI: LA CHUTE DE L'E MPI RE HE PHT HA LI TE

Ca mb ri dg e ms. Qq 255 dat é 1024 h (1615) = i!

Br it is h Li br ar y Ara bes Add . 23 298 = J

Acta Antiqua Academiae Scientiarum Hunaaricae 28.198 )

8/15/2019 ACTAANTIQUA_28 (1980)


I. ECSEDY

WESTERN TURKS IN NORTHERN CHINAIN THE MIDDLE OF THE 7TH CENTURY

1. EAST AND WEST IN ANCIENT CHINA

East and West are secondary in ancient Chinese orientat ion. Their proper

indicat ion depended on the main direct ions of South and North, i.e. t he s t a r t -

ing and ritual direction of South referring to early times if only for cultic reasons

on the one hand, and the politically important North with a symbolic «imperial»rule of the Polar Star over the sky at night on the other hand. Natural ly, the

l a t t e r , i.e. the exact determination of the North upon the Pole-Star cannot be

earl ier th an the app ear anc e of th e Pol ari s in the posi t ion of our Nor th Pole -

Star in the late 2nd millennium B.C. at least. The beginnings of the Chinese

scrip t abo ut the 17th —16 th ce ntu ry B. C. show a Sou th- fac ed ori ent at i on,

because the pictogramm of the word from the Yin period (prior to the first

mil lennium B.C.), Vzi 'No rth ' rep res ents two hu ma n fig ure s back to ba ck,

and it meant 'North' as well as 'back side', ' turn the back' etc. 1 In the time

preceding the celestial «rule» of the Pole-Star, i.e. in the «South-facing» period,Southern constel lat ions, namely Antares and i ts neighbourhood in the Scorpio

could be the base of orientation, but this is another problem, being beyond the

scope of this paper. 2

Th e direction of No rt h —So uth o ug ht t o be kn own in Chin a for of fic ial

purposes and in authentic form, also for building houses, founding a set t le-

1 Cf. В . KARLGREN : Gr am ma ta Serica Recensa . BMF EA 19 (1967) No. 909a—d ;e) : when being added the classifier key of 'body', the character jUf pei meant 'the back,

posterior part' or 'turn the back on, cheat', from the Book of Songs (Shih-king) on;and, f) added another key, i.e. that of 'man', pei meant 'turn the back on, abandon','not to face straightly', fiom the Han-period onwards (as it occurs in the book of cere-mony Li-chi).

2 On an old cul t of An tares ('Star of Fir e' ) see H. MASPERO : La Chine an ti qu e.Par is 1966. 197(—198), 510( —511) ; B. KARLGREN : Legends an d cul ts in ancient Ch in a.BMFEA 18 (1946) 243 — 244. On a Sino-Tibetan or Tibeto-Burmese folklorie tra dit ionconcerned and t he relat ed Chinese reco rds see my paper s : On a few traces of anc ientSino-Tibetan contacts in the early Chinese mythic tradition : Proceedings of tho Csomade Körös Memorial Symposium, held at Mátrafüred, Hungary, 24—30 September 1976,Ed. by L. LIGETI. Budapest 1978. 89 — 99 ; Fa r Eastern sources on the histo ry of the

stepp e regi on: Memorial Volume devoted to P aul Demiéville. BE F E O LX IX (1981)268 — 269 (and Note 11).

Acta Antiqua Acadcmiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 5 0 I. ECSEDY

ment, fixing ritual points or lines etc.,3 but the exactitude of Eastern or West-

er n d irection could seem less im po rt an t, an d, as seen abo ve, its ast rono mic

determination must have been secondary, and still later than that of the

N o r t h —South Pi vo t of th e Universe, bo th d ay and nig ht . Th at is why th e

ancient practical method used in China, too, when determining the cardinaldirections according to the sun, to its light and shadow on the earth as concerns

South (and North),4 and the celestial route of the sun as concerns East and

West, could remain widespread in case of the latter for a longer period, as it is

reflected as late as e.g. in the h istor ical reco rds of th e 1st millenniu m A. D.

The starting and ending points of the apparent way of the sun could serve for

a practical fixing of East and West respectively, the «place of sunrise» being in

the East, while «the place of sunset» showing West.

We can see it e.g. in the letter of the Persian ruler sent to the Chinese

em pe ro r aro un d 520 A. D.; hav ing sur vi ve d in Chinese recor ds, its Chinesetext («translation») calls China's ruler the Son of Heaven in the Orient, expres-

sing East as «sunrise place», i.e. «the place where the sun rises» — I tried to show

its background in a paper submitted to the former meeting of this same Con-

ference, in 1976.5 A similar wording is characteristic of another famous letter

of diplomacy in this period, namely the letter of the ruler of Japan sent to the

Chinese Emperor in 608; it became of ill-fame in Chinese historiography for

the impertinence calling the emperor Yang-ti of the Sui Dynasty the «Son of

Heaven of the place (i.e. land) of sunset», whil e calling him sel f — to be ex ac t :

he rse lf — th e «Son (Child) of He av en of th e place (land) of th e sunrise». Theletter sent by Empress Suiko can well reflect a foreign, say, Japanese wording,

if not «translating» a message from Japanese, as in case of the Persian ruler's

letter when a similar supposition could be raised.6

3 On the anc ien t Chinese cities, capit als of principal ites etc. , divided by Nor th -

South directed lines and representing or symbolizing a universal order, see. P. WHEATIEY :

The Pivot of the Four Quarters [of the Universe], A Preliminary Inquiry into the Origins

and Character of the Ancient Chinese City. Chicago 1971. 423 — 436, 460 468.4

Even in the middle of the Chou period (11th — 3rd centu rie s B. C.), in the h isto ti-cal time of astronomical observation and orientation, as shown by ritual books (compiled

as late as the Han-time, 206 B. C. — 220 A. D.), the credit of their traditionally respected

te xt s being supp orte d by relate d astro nomica l records — found by recent archaeological

excavations in China — concerning the Chou period, too.5 Cf. Ea rl y Pe rs ia n envoy s in the Chinese cour ts (5 th —6th centu ries A. JD.).

Studies in the Sources on the History of Pre-Islamic Central Asia. Ed. by. J. HARMATTA

(Collection of the Sources on the History of Pre-Islamic Central Asia. Series I. Vol. II.

Ed. by J. HARMATTA.) Budapest 1979. 153 — 162 (East as «the place of sunrise» : 160—161,

and Note 33).

' Here I express my thanks to Professor ROY ANDREW MILLER (University of

Washington, Seattle) for his private letter of August 15, 1980, drawing my attention tothis interesting parallel of the Persian ruler's message, shown in my paper mentioned


8/15/2019 ACTAANTIQUA_28 (1980)


WESTERN TURKS IN NORTHERN CHINA 251

We may well suppose a Japanese «world-view» behind the addresses ofthe two rulers — residing in the Far East from our angle —, because it is hid-den even in the name of country of the envoys in question — 0 Nihon

(Nippon) «root or the sun», i.e. the place where the sun originates (the Euro-

pean name Japan reflecting a Chinese pronuncia tion Jih-pen of the sameChinese characters). The inhabitants of Japan might consider their country theeasternmost land of the world known for them, every other country beingbut West of it. Japan, however, borrowed the Chinese script for its language,involving many cultural or just linguistic borrowings as well, the expression«the place of sunrise» for the eastern direction must have been at least familiarto the Chinese — using it in other records, too — an d it could reflect a met ho dof orientation of at least one millennium old in China, as late as at the beginning

above. The letter of the Japanese ruler, written in Chinese, was preserved in the chapteron ancient Japan Щ [Üj Щ . Wo-kuo chuan of the officia l Chinese Dyna stic work Sui-shu

(and in the less creditable texts of the Wei-shu and Pei-shih as well) : Щ |][ J g ^ q ^ g s j f^jf0 K£ iML N. -f- •Jih-ch'u-ch'u t'ien-tzu, chih shu jih-mo-ch'u t'ien-tzu, um yang, translated

by Goodrich an d Tsunoda (as it is unde rst ood t od ay in Ja pa n, too), like thi s : «TheSon of Heaven in the land where the sun rises addresses a letter to the Son of Heavenin tho land where the sun sets. We hope You are in good health», cf. Ryüsaku Tsunoda,translator — L. CARRINGTON GOODRICH, editor : Japan in the Chinese Dynastic Histories,Later Han Through Ming Dynasties (South Tusadena 1951), p. 32. R. A. MILLER adds: «The

Sui-shu says thi s was a Ц [kuo-shu «letter of country (importance)»], Goodrich etTsu nod a have 'official message' for this, which is pro bab ly fi ne ; but I have some time salso wondered if it means that the text was in Chinese script but in a Japanese-styleChinese, i.e., wha t st ruck the Chinese as being «Japanese nati onal script [gSjj «Ц : kuo-shup,

and he finds the phra se У |Jj g jih-ch'u-ch'u («The land where the sun rises») inte res tin g.

— This impertin ent (2й (/|й wu-li «ceremony-less») letter from the country of the «Root ofthe Sun» ( H JC Nihon/Nippon) arr ived to th e cour t of ffifêfrrfr Sui Yang-ti in the 4th ye arof his -З с Ш Ta-yeh period, on the zE/Jç jen-hsü da y of the 3rd mont h (April 9th, 608,cf. P. HOANG : Conco rdance des chronologies néomé niq ues chinoise et e uropé enn e.Variétés Sinologiques XXIX, Shanghai 1910), according to the chronicle Tzu-chih-t'ung-chien by Ssu-ma Kuang (1019-1086). Vol. VI. Peking 1956. 5637-5638. The head of

the delegation, a certain ^ J l J fi, i t Jffi T o-li-ssu-pi-ku is entit led -F wang in the record— like tho sender of the Persian letter —, thus ho must have been considered a royalperson, some kind of prince at least. In Japan, however, the records say that in theperiod ffëjv Л е й к а , dur ing the reign of the Emp ress Af Suiko (554 — 628; she ru le dfrom 592), the governing regent Shôtoku-taishi (Prince Shôtoku), initiator andprotector of Buddhism and Chinese culture in Japan, sent delegations to China, in 608sendin g anoth er high ran king person of the cour t /j\ P^^jcY" Ono-no-Imoko as a leader ofthe envoys. Sui Yang-ti, hurt by the written message, told the Й )§||1)(ф hung-lu-ch'ing,

i.e. the head of tho court office dealing with foreigners that he should not receive at allthese Barbarians (of South and East Щ Щ man-i) on t he fol lowing occasion ; bu t theeff ort s of Ja pa nes e diploma cy cont inued, an d not with out success. See the visits of en voy s

from Japan in the Sui court in 600, 607, 608, 610, 614 : fâ Щ - Hsü Hsien-yao, Vá\ íi \4 Scno Щ Щ ^к ni tsuite (Zui-Wa kokko no taiiôsei ni tsuite) : Bunka 29 (1965) 2, 247 - 27 8 .

Acta Antiqua Academiae Scientiarum Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


252 I. ECSEDY

of the 7th century B.C.7 All this happened not long after the period when theneighbouring Turk Empire was divided into two parts (after 581 A.D.), andthe Chinese records called their rulers Eastern and Western Turks respectively.(As far as I know, none of their own records shows this kind of distinction,

adopted probably for facility reasons by European historians.)The points of sunrise and sunset, however, are changing place, as well

known, both according to the day of the year and the geographic position ofthe observer, and therefore they cannot provide a firm basis of determinationof the directions, at least not without the due astronomical knowledge andinstruments etc. By the way, it is a commonplace in China that her two mainstreams divide the land by their flows from West to East ; but the lines of theHu an gh o and Yangtz u-kian g go from Nor th-W est to Sout h-Ea st instea d, and— in my opinion — this could also contribute to a slight turn of the «pivot»

of Chinese 'universe', i.e. geographic view of historical records, too. E.g. theabove envoys of Japan were called by the Chinese emperor «Barbarian» withthe ill-name man-i, i.e. «(Southern) Barba rian» and «(Eastern) Ba rbari an»or «(South-East) Barbarian» also for simplicity sake, remembering the southernislands, too, where a part of Japan's population originated from, connectedwith China since a longer period of time. But it should be mentioned that thisgeographic view and traditional terminology did not change even when theChinese officials regularly me t the Ja pa ne se themselves, recording their organ-ized, centralized, administered etc. country (i.e. a civilized world in Chinese

view, too) — a part of today's Japan — as a land lying east of China.Naturally, this is not the only sign of different types of troubles in the

history of Chinese orientation.8 To mention only one more example of the aboveinclination of axis : the period when the Turks appeared in the history, in the

7 Cf. the c hapter 3=|_fll. Yao-tien, on the organization of seasonal works and observa-tion of the culmination of the four seasons (each of them being connected with a star,direc tion an d sun's position) in the classical book Ф Щ Shu-king : B. KARLGREN, The

Book of Documents : BMFEA 22 (1950), p. 2(3). As concerns this type of title of China'semperor, expected to be used by his «foreign subjects», it was recorded as early as e.g.

in the mid dle of the 1st cent ury A. D., whe n in Yt inna n the Chinese officials offer ed tothe court three poems of the recently subdued native population, in their native language(with Chinese characters) and in Chinese translation, respectively. In a passage concernedth e emp er or is add res sed 0 jjj vf» jih-ch'u chu, i.e. the «Lord of Sunrise» while the sur-re nd er in g people seem to hav e called the mse lve s 0 A i'í|í jih-ju chih pu («A Tr ibe ofSunset»). See Hon Han-shu (So-yin po-na-pen erh-shih-ssu shih III, Peking 1958), chap.L X X X V I , lieh-chuan L X X V I , p. 1283a; cf. W . SOUTH COBLIN: A n e w s t u d y of t h e Pa i-lang songs. Ch'ing-hua Hsüeh-pao (The Tsing-Hua Journal of Chinese Studies, T'aipci)X I I N . S. 1979: 1—2. 179—216.

8 In case of Ea st arid West, e.g., t he old Chinese ant hro pom orp hou s designations«left (side)» and «right (side)» respectively are responsible for certain difficulties of inter-

pretation, their usage depending on the position of the observer. In ancient China ofvarious kinds of ceremonies and prescriptions, these «sides» and the orientation concerned


8/15/2019 ACTAANTIQUA_28 (1980)


WESTERN TURKS IN NORTHERN CHINA 2 5 3

t i m e o f t he «Sou t he rn and Nor t he rn Dynas t i e s » (Ш ^с Ш Nan-pei-ch'ao,

3rd —6t h ce ntu ri es A. D.) . So ut h a n d N o r t h — imp lie d in th e na me of th e p er io d

in thi s , his tor ica l or de r of se que nc e — are th e ma in direc t io ns , whi le Ea s t a n d

We st — as reg ard s pos i t ions or mo ve me nt s (changes of cap i ta l s ) o f the dy na s t i e s

conc e rne d — a re i nc l i ned t o t h em : t h e Wes t t ow ar d No r t h and t he E a s tt o wa rd Sou t h . The l a t t e r connec t i on , a l s o s ho wn b y t h e abo ve quo t ed j o i n t

exp res s i on o f t he B arba r i ans o f t hes e d i r ec t i ons (man-i), cou ld be i l l us t ra ted

by th e nam es of th e s t a t e f f Chin (265 419) , one of th e So ut he rn an d No r th e r n

Dyn as t ie s . Th e seco nd pa r t o f i t s ru le , when i t ha d t o l ea ve i t s No r t he rn ho me -

l and , and t o m ove i t s cou r t f rom Loyang (Honan p rov i nce ) t o C h i enk ' ang

( t o day ' s Na nk i n g «Sou t h e rn C ap i t a l », in K i ang s u ) , wa s ca l l ed by t he pos t e r i t y

j j t f f Tung Chin « E a s t e r n Chin» (f ro m 317 on). Me an wh il e the f i rs t p a r t of

i t s ru le , in the Nor th , i.e. Chin, no t ye t nece ssar y to be d i s t ingu ish ed , i s ca l l ed

s om et i m es — t o s epa ra t e i t f r om i t s «Eas t e rn» con t i n ua t i on — Wes t e r n Chin(gf f f H si Chin).

The related s l ight incl inat ion in the records of the other end of the

«pivot» of Chi na ' s « four d i rec t i ons» , can be ex pl a i ne d a l so by geo gra phi ca l

rea sons , an d no t a t al l mere ly by th e abo ve -m en t i on ed «fal se» Ea s t —W es t l ine

of the two b ig r ivers . The geographica l fac tor o f h i s to r ica l impor tance could be

C h i n a ' s w e s t e r n g a t e , i.e. t h a t ope ned f r om and t o wa rd s C en t ra l As i a an d t h e

were connected with a kind of social hierarchy and their order of sequence was attributedritual importance, but several times in an ambiguous way, the significance of «right»being stressed now, and «left» being esteemed then, or vice versa; an d the connection of«sides» with East and West was not constant and consequently applied. Instead of a kindof conscious practice of this terminology, tradition and social convention seem to be themain reasons for this trouble of «right» or «left», i.e. sides and directions — in China, right-handed from the pictograms and mythic tradition to the earliest artistic representa-tions —, as pointed out b y M. GRANET : La dr oit e et la ga uc he [1933 ] : Études sociologi-ques sur la Chine. Bibliothèque de Sociologio Contemporaine. Paris 1953. 261 — 278,and La pensée chinoise. Paris 1934. 360 — 373. The tas k re ma in s — when int erp ret inga histo rica l record — to scrut inize the «right» or «left» if they me an East an d Wes t re -

spectively or in the way round, according to the period, source etc. of a passage, cf.P . DEMIÉVIJLLE : Ga uc he et droit en Chine [1968]. Choix d' ét ud es sinologi ques (1921 —1970). Leiden 1973. 518 532. In my opi nion , the old chang e fr om Sou th-f aced to Nor th -faced orientation, mentioned above, could well bring forth a confusion of sides, handsetc., and East and West — connected with them in traditional order —, East being onthe left side, when the observer looks southward, while it is on the right one, when hefaces North, cf. my book A kínai állam kezdetei [On the Beginnings of the Ancient ChineseState] Budapest 1984. Luckily, in the case of the Chinese records on the Turks or otherforeigners, the above problem rarely means serious difficulties of interpretation ; and ifcertain passages still reflect it (cf. left and right wings of armies, see later, part 3.), theyshould be analyzed within the textual and historical context concerned, by no means

mechanically relying on a common knowledge, i.e. only one kind of tradition as regardspairing of East-West and right-left or left-right (sides).

Acta Antiqua Acudemiae Scientiarum Hungaricue 28, 1080

8/15/2019 ACTAANTIQUA_28 (1980)


2 5 4 I. ECSEDY

steppe region. Namely, the large roads leading westward from China, went tothe North, avoiding the western region of mountains, the old mythic lands ofimmortals, visited by Buddhist pilgrims and foreign merchants only from acomparatively late period. Anyhow, as an indirect consequence, it was also

noticed by Chinese readers of China's historical records that — although sepa-rate terms had designated the four Barbarians of the «four directions» ( Щ - f j

ssu-fang) of the wor ld : Щ man of the South, fX ti of the North, Щ i of theEast and ^ jung of the West —, as regards China's Barbarian neighbours,West may also mean North, or Western some thin g like Northern,9 an d thi s is tobe considered in case of Chinese records e.g. concerning the Western Turks, too.

2. EASTERN AND WESTERN TURKS IN CHINESE HISTORICAL

R E C O R D S

The Chin-shan, i.e. Altai region, where the mythic ancestors of theTurks entered into the horizon of Chinese historians, is lying west or north-wes t of the related court s and their imperia l sphere of power. The "Ц Ш T'u-chüeh, i.e. Turks, however, are not registered in China among WesternBarbar ians (jung or hsi-jung), bu t amon g the northe rn ones (J\tik pei-ti),connecting them with a famous predecessor of Northern Barbarians, theÍÖJÍX Hsiung-nu-s, a n d thu s — ind ire ctl y — with all the alleged ancestors oftheirs, told to have been «Northern».

Naturally both the mythic nucleus of the Turks and their first historical

rep res ent ativ es, uni fie d unde r the fo un de r of the first emp ire J-.PE1 T'u-men(Bumïn) in 551 A.D ., wer e recorded si mp ly as Turks, i.e. as an undivided peopleor political unit, if only because no further details of their organization hadreached China so far. But in the Chinese sources concerning the followingdecades no more distinction can be found either, although their envoys ofdiplomacy and their raiding troops arrived regularly to the Western imperialhouse Щ Chou — called Northern Chou —, and the n to th e easte rn one Щ

Ch'i — Northern Ch'i — in the nor th er n pa rt of the Chinese Em pi re unifie d in581/589 A.D. by the Sui House. Apparently the allies and enemies of the

parallel and successive Chinese dynasties came from one and the same, stillundivided world of the Turks. 10

9 Cf. e.g. W (Ф (Jjl TS'EN CHUNG-MIEN'S study on those components of the Chinese( f f f i f j f c han-tsu 'H an- et hni c' ), which can be considered of western origin : —Íí|í Aï Й ^ Üt ÜJ ik-ÜliE Han-tsu i pu-fen hsi-lai chih ch'u-pu k'ao-cheng (in his volume f f f )А С Ш ш Ш С л а п д Chou wen-shih lun-ts'ung, Sh anghai 1968), to th e eff ect (p. 27) th at in therelated records IV est (em) and North(ern) could be alte rnat ely used, an d bot h of th emindicated but a vaguely known tribe or peoplo, originating from a distant land.

10 See the details of the early Turk history in my paper : Trade-and-war relations

between the Turks and China in the second half of the 6th century. Acta Orient. Hung.21 (1968) 131 -180.


8/15/2019 ACTAANTIQUA_28 (1980)



The germs of social division and political separation, however, must havedeveloped meanwhile, since the turbulences that led to the split of the empirein 581 A.D. had been started by revolts of discontent leaders of strong tribes.This is the period when one can shed light on the social network, clan hierarchy

and birth of tribe, i.e. various social elements being in statu nascendi.n As noneof the heads of clans (tribes) could get the upper hand above these new orstrengthened social forces, a part of the most ambitious tribes (clans) soughtfor a bet ter chan ce westwa rd — as fa r as in Western As ia or Eas ter n Eu ro pe —,giving by this an opportunity to the Chinese to designate them as WesternTurks. No Chinese record concerning the former period would suggest morethan one kind of Turks, and even the ancestor of Western Turks "^Tii'ÊlShih-tien-mi (IStämi) occurs only in passages cont ai nin g references to ant e-cedents of later Western Turk actions on historical events connected with them.

Consequently, in case of the Turks, recorded by Chinese sources, the adjectiveWestern seems to be fi rs t of all a chronological te rm of ante quem non type ;it shows the Turks after 581 A.D., strong enough to wage conquering wars evenwestward of their cradle, i.e. the Altai region, but not necessarily separatedfrom it completely in later periods either.

One of the most active tribes in the events of 581 A.D., that of pij^ bjFT A-po k'o-han (Apa qayan) may well illu stra te bo th th e lack of an origi nalseparative difference between a Western Turk group and an Eastern one atthat time, and the direction of the possibilities of a social or ethnic change.

Namely, ^jSífÉ. Ta-lo-pien, or, by his given tit le : Apa qayan, a disregardedand discontent member of the ruling A-shih-na clan organized an d re-organized his tribe several times, now losing his troops consisting of EasternTurk subjects and then gaining armed forces from the Western Turk ruleragainst the common enemy, i.e. th e ruling Kh ag an 3fr Sha-po-lio (ISpara),considered Eastern from the time of division of his empire. In every case«Apa's tribe», «Apa's people» is mentioned, apparently irrespective of theirorigin. On the other hand, Apa's mother (her clan) seems to be lower in clanhierarchy than those of his princely relatives, so probably his maternal rela-

tives are of a relatively distant origin or distant land, relation etc. When inhis home his mother (i.e. the wom en, children) are killed in a decisive ba tt le(in 583 A.D.), it turns out from the record that his homeland is in the North,and it is a kind of «old land» to be re-conquered by ISpara. Thus Apa's nor the rnrelations can also be made responsible for a tension, contributing to the politi-cal separation of his people, i.e. his Western and, in some way Northern Turksfrom ISpara' s Eastern Empire.

11 See a related trial ill my papers Tribe and tribal society in the 6th century Turk

Empiro. Acta Orient. Hnng. 25 (1972) 245 — 262, and Tribe an d empi re, tribe and soci etyin the Turk age. Acta Orient. Hung. 31 (1977) 1 — 13.

Acta Antiqua Acudemiae Scientiarum Hungaricue 28, 1080

8/15/2019 ACTAANTIQUA_28 (1980)


2 5 6 I. ECSEDY

This distant Northern land of old or new relations or joining people maybe met also in the Chinese description of many Northern Barbarians, registeredside by side with the Turks or after them, within their empire etc. 12 This is thenanother objective distinctive feature of Western Turks : those Turks who con-

quer or gain etc. new subjects or allies, are the Western Turks, while theEastern ones, in China's protective and dangerous neighbourhood, get isolated,do not increase or just lose importance. 13 Obviously it is th e Ea st er n Turk th a tmust be distinguished, first and then mostly in relation to the Western brother ;and to be sincere, in several cases this distinction, if indicated at all, seems butmerely mechanic. It is characteristic, after all, that when only «Turks» arementioned in a separate event : raid, visit etc., we can hardly clear up, whetherWestern or Eastern Turks are concerned. No wonder that the reader is inclinedto simplify the question to a geographical distinction, seeking e.g. Eastern

Turks in the East — east of Altai — and to find or suppose only Eastern Turkswithin the field of Chinese authority.

Let me quote now a counter-example, that of the Karluks, representingthe related problems in the records concerning the 7th century at least.

3. T H E CASE OF A WE ST ER N T U R K T RI BE , ALLY OR SUBJ ECT :THE KARLUKS

In a recent study of mine, on the basis of re-examined old and a few new

arguments and Chinese records I could conclude that the tribal structure, i.e.the so-called three-tribe Karluk could be known for the Chinese not earlierthan the beginning of the 8th century, the time of the wars of Mo-ch'o(Bäg cor) (Q р у an gay an) against the m, and contr ary to th e common viewbased on Chinese records, even the names of provinces established for them by

the Chinese occurred first at the same time. Thus their history, prior to thatperiod, remained open to new research, the date 657 — 658 A. D. of thei r alleged

whole defeat and settling by the Chinese included.14

12

E.g. in the my t h o f origin of the ruli ng family of the T'o-pa (tabyac) NorthernЩ Wei dynasty, controlling Northern China in the centuries prior to Turk history, cf.Wei Shou, Wei-shu (So-yin po-na-pen erh-shih-ssu shih VIII), chap. I, p. 18a.

13 Af te r this pa pe r h a d been deliver ed (in 1980, Buda pest ), th e pro ble m of Eas t-West division of the Turks was treated upon Chinese sources, with a conclusion that onlyan Eastern Turk Empire is to be taken into consideration, while those various leadersand tribes which fought for power on its western peripheries and even westward of it,i.e. th e so-called Wes ter n Tur ks — apa rt f ro m Ap a k haghan 's short period of trials —failed to found an empire proper. See WANG IIUAS: Apa Qaghan, founder of the WesternTurkish Khanate, the splitting up of the Turkish Khanate and the formation of theWestern Turkish Khanate. Social Sciences in China (Peking) 1982: 4. 124—154.

14 Cf. my pap er A contr ibuti on to th e his tor y of Ka rl uk s in th e T'ang peiio d.Acta Orient. Hung. 34 (1980): 1-3. 23—37.


8/15/2019 ACTAANTIQUA_28 (1980)



As regards the first mentioning of the Karluks, we read that they belong-ed to the tribes of the Western Turks and lived according to the same customs,slightly differing in their language, on the slopes of the Altai, later on moving

slightly southward. This first record about them occurs in the chapter on theUigurs (of the HsinT'ang-shu), i.e. the inheritors of the Western Turks, so their

appearance on the stage of history — at the beginning of the 7th century — isover the chronological limit, when a part of the Turks became Western, bothin the sense that they sought for new territories westward, and that they in-

creased by new («Western») tribes, allies or subjects. The cultural unity, i.e. theway of life seems the most important cohesive force, while the common orrelated language is but second, and no other tie with the ruling clan(s) being

mentioned, the cohesion seems to be first of all political (judging from the Chi-nese terms in general : «Country of Western Turks» etc.), realized in joint mili-

tary actions. Naturally the time of division of the Turk Empire does not meanthe beginning of Karluk history on the slopes of the Altai, and the movementto South can concern their whole population and a part of them as well ; as itturns out, the latter case can be supposed. Anyhow, they participated as a

unit, a tribe among the other subjects of the Western Turks around 630 A.D.in the smaller or bigger battles, causing troubles to the recently establishedT'ang dynasty. But these same Ц к Ш Ш . Ko-lo-lu (qarluq ; in tra nsc rip tio ns of a

probably later period : Ko-lo-lu, Ko-lu etc.), i.e. Karluks sent their

leaders to take part in sacrifices at Chinese sacred mountains as far as in

Shantung, East China.As a rule there is no indication, whether Eastern or Western Turks are

concerned in the sporadic records of daily events in the northern sphere of theT'ang Empire, from the Altai region practically to Easternmost China. In most

cases, however, th e part ici pan t leaders or the na me s of tribe — Ka rlu k, / gp j

ch'u-yiie (ëigil) fUjg ch'u-mi (comul) etc. — reveal th a t mostly or exclusivelyWestern Turks are present in the warlike activities in this period, under therule and leadership of the Kha gh an jf^gi Ho-lu or at least acknowledging hisauthority. It is only this period, when the Karluks can balance between the

Eastern and Western Turks — as told in their summary description quotedabove —, since later on almost no role is played by the offsprings of the Turkscalled Eastern, who lived under the «protection» of their great eastern neigh-bour. The turning-point in the events is indicated by the defeat, capture andexecution of Ho-lu kh ag han by th e Chinese in 649 — 650 A.D., followed in 657 —658 by the establishment of new provinces for the Karluks as well as for theother tribes who took part in Ho-lu' s campaigns. As seen fr om a so fa r — so tosay — hidden record of the geographi cal ch ap te rs of the H sin T'ang-shu, sever-al tribes, groups et c. t ha t appear later on in th e West — even wes tward of th e

Altai — are settled under Chinese control in inner North China, in Shanhsi,Shantung provinces.

17 Acta Antiqua Academiae Scientiarum Hunjfaricae 28,1980

8/15/2019 ACTAANTIQUA_28 (1980)


258 I. ECSED Y : WES TER N TURKS I N NOR TH ER N CHINA

The record in question contains an interesting detail — an indirect infor-mation — as regards the localization of those original Karluks, which gavetroops to Ho-lu'a campaign. Namely, their two (left and right) wings, are de-scribed — i.e. a military organization, like that of the tribal groups of the

We st er n Turks, inste ad of a mere tr ib al divisi on — by th e nam es of thei rhomelands : one of them originated from the Ötükän region, while the otherfrom the neighbourhood of Pei-t'ing. Th at is to say, a par t of th em mus t h avemo ve d eas twa rd (or : «slightly southward»), a nd thus Wes tern Turks , repre-sented and followed by the Karluks, could be present, in a significant numberand vigour, in the entire Turk territory east of the Turk homeland in the Altai,at least till the middle of the 7th century. After their defeat and fatal «pro-tection» by China in the 650's, they — i.e. the Karluks of the two above landsof their homelands — appeared in the Chinese borderlands only sporadically,

and apparently with small forces. Having no chance against the T'ang militarypower, the tribal armies — armies of the already «three-tribe Karluks», as seenfrom later records — must have sought for another land to conquer and totax.1 5

4. CONCLUSIVE SUPPOSITIONS FOR A EURASIAN ASPECTOF THE WESTERN TURK HISTORY IN THE 7TH CENTURY CHINA

It may be of interest to emphasize, especially in Hungary, that Chineserecords and East Asian history can serve as a background of the steppe history

as a whole, also in the time when the second wave of the rulers of the AvarianEmpire appeared in the Carpathian Basin. If at any time in the 7th century,it could be possible and reasonable to suppose a Central Asian military move-ment and action just in the 660's — before 670, the second Avarian invasion,the disputed date being thus supported by the eastern events in question —,no matter how far this action could reach at all, pushing other peoples west-ward, but — a possibility to be considered — perhaps going as far as the Car-pathian Basin. If so, it could be very similar to the events of the middle of the6th century, when the ft/ftrí Juan-juan-s, th e so-called «Asian Avars» were

defeated by the Turks in 551, and a part of them tried its fortune in NorthChina and got «protection» in 554,18 while the first wave of Avars appeared inEastern Europe in 558 A.D.

Budapest.

15 On the role of Karluks in the further history of the region of 4t,!iü Pei-t'ing seemy paper Uigurs and Tibetans in Pei-t'ing. Acta Orient. Hung. 17 (1964) 83 — 104 (esp.

p. 86 sqq).16 Cf. Trade-and-war relations . . . Appendix I. 174—179.

Acta Antiqua Academiae Scientiarum Hunqaricae 28 ,1980

8/15/2019 ACTAANTIQUA_28 (1980)


В О UTAS

THE PAHLAVI TREATISE A V D Ë H U S A H Ï K Ë H 7

S A K I S T AN OR «WONDERS AND MAGNIFICENCEOF SISTAN»

In a previous paper, entitled «Non-religious Book Pahlavi literature as asource to the history of Central Asia», 11 have sketched something of the histor-ical and pseudo-historical contents of four of the few extant non-religious BookPahlavi works, namely Sahristänihä ïErân («Cities of Iran»), VicäriSn ïcatrang(«The explanation of chess»), Kärnämak í ArtaxSër г Päpakän («The chronicleof Artaxsër, son of Pâpak») and Ayyätkär ï Zarërân («The memoir of the Zarêrfamily»). From a strictly historical point of view the contents of those worksmay be considered insignificant, but they can serve a purpose by turning ourattention to the intricate blend of reflections of historical events, primordialmyths and religious reconstructions which is peculiar to many of our sources onthe history of Pre-Islamic Central Asia.

Here follow a few comments on another work of a similar type : the short

Pahlavi treatise known under the title Avdêh и sahîkëh ï Sakistän or «Wondersand magnificence of Sistan». It is a sister text to those just mentioned, not onlybecause it is similar in contents (especially so to the Sahristänihä ï Erän), butalso because it belongs to the same tex t tradi tion : t ha t of Jama sp -A sa na 'sfamous Codex MK, dated 691 A.Y., corresponding to 1322 A.D. This compre-hensive manuscript, which was published by Jamasp-Asana in his PahlaviTexts (vol. I— II , Bo mb ay 1897 — 1913), is our main and o ft en only source forsome thirty short but important Pahlavi works. 2

Avdêh и sahîkëh i Sakistän is th e th ir d work in tha t collection, appea rin g

already in the first volume of 1897. It occupies only two pages there (pp. 25 —26), or 37 lines. It offers substantial problems, however, as the text is obviouslycorrupt in many places. In his edition, Jamasp-Asana gives a few variantsfrom the manuscript designated JJ, dated 1136 A.Y., corresponding to 1767A.D. (i.e. 445 years a ft er MK), bu t th a t is of little avail, since th a t man usc rip tis a copy of Codex MK.

1 Ac ta An t. Hung . 24 (1976) 116—124 ; als o publ . in J . HARMATTA (od.) : St ud ie s

in the sources on the history of Pre-Islamic Central Asia. Budapest 1979. 119—128.2 Cf. my c ontri bution to Monum ent um H . S. Nyberg. Tehr an — Liège, Acta Iran ica,1976, vol. II, pp. 399 f., and Acta Orientalia, Copenhagen, 37 (1976) 76.


8/15/2019 ACTAANTIQUA_28 (1980)


260 В О UTAS

Jivanji Jamshedji Modi published a transliteration of this text in Guja-rati script with English and Gujarati translations and notes in Gujarati in his Aiyâdgâr-i-Zarirân, Shatrôihâ-i-Airân, and Afdiya va sahigiya-i-Sistân,printed in Bombay in 1899 (pp. 123—127). Next in time, in the treatment of the

text, comes a hand-written transliteration and translation by Edward W. West,published posthumously by A.V. Williams Jackson in the Journal of the Amer-ican Oriental Society of 1917.3

Heinrich Junker paraphrased the contents of the treatise in his compre-hensive article «Mittelpers. fraSëmurv 'Pfa u'» in Wörter und Sachen of 1929,4

and at about the same time Ernst Herzfeld gave a translation of it in the secondvolume of his Archaeologische Mitteilungen aus Iran3 Fina lly, Harold Bail eyadduced parts of it in an argument on the memorizing of texts, giving a trans-lation of about half the treatise, in his Zoroastrian problems in the ninth-century

books.6

These scholars generally agree on the comparatively recent origin of thetext, putting its compilation to around the tenth century A.D., but their inter-pretations differ rather much from each other. Without doubt this is mainlydue to the poor shape of the available text material. A number of problems stillremain to be solved, but I shall venture to present a transcription and a tenta-tive translation of the complete text, before taking up a few points of historicalrelevance for discussion.

It seems that the title of the treatise, Avdëh и sahïkëh г Sakistän, does

not occur in the manuscripts. It has obviously been abstracted by Jamasp-Asana from the first line of the text. It is not unlikely, however, that the com-position of this little piece is a reflection of the 'Ajä'ib, «Wonders» or «Marvels»,genre, so common in Arabic and New Persian literature in later centuries, butknown already from the fourth century A.H., i.e. the tenth certury A.D., inthe work 'Ajä'ib ul-buldän, «Wonders of the countries», wr it ten by the poetAbu'l-Mu'ayyad al-Balxi for the Samanid prince Nüh b. Mansur. 7 Incidentally,Ju nk e r' s point of para phra sing the con tent s of the trea tise w as to prove th atthere are no «Wundern» in it. He argues that avd should be translated «merk-

würdig, sonderbar». His problem may have been connected more with Ger-man—English semantics than with Iranian.

3 Vol. 36. 115—121.4 Vol. 12. 1 3 2 - 1 5 8 (th is subjec t : 134).3 Berlin 1930. 94.« Oxford 1943. 161.7 It is also known as 'Ajä'ib-i barr и bahr, «Wonder s of lan d and sea» ; v. F. TAUER

in J . RYPKA (ed.), Hi st or y of Iran ian li te ra tu re , D ordre cht 1968. 461, and G. LAZARDin Yádnáme-ye Jan Rypka. Praha 1967. 95 — 96. This work b y al -Ba lxi seems to be lost

but it obviously contained ample material on Sistan, as is shown by references in the11th century work Tärlx-i Sistän, «Hi sto ry of Sistan» (ed. M. BAHÄR, Tehran 1314. 13 ;transi. L. P. SMIRNOVA, Moscow 1974. 30 — 31, 58).


8/15/2019 ACTAANTIQUA_28 (1980)


TH E PAH LAVI TREA TIS E AVDËB V SAHIREN I SAKISTÄN 261

Transcription (paragraph nu mb er s are inserted according to the nu mbe r-ing in Palliavi Texts) :8

pat näm i yazdän

1. avdêh u sahîkëh i zamik i sakistän hoc apärik Sahrihä êt râd apêrtar u vëh.2. ëvak ën kû rôt i hëtmand u var i frazdän u zrëh i kayânsë u gar [t] uSdä-

(da?)Stär 9 andar zamik i sakist[än\.3. zäyiSn u parvariSn ï hu(r)Sëtar u huSëtarmâh [m] s(ay)ôSâns i zartuStän

i spitämän u-S rist-âxëz kartan.4. ëvak ën kü patvand u tôhmak î kayän dahyupatän (t) pat ën kiSvar vizand

aviS mat

5. hac frazandân i frëtôn : salm kë kiSvar i Tirôm u tûz kë turkistdn pat xu

atâyëhdâSt ërëc ërân dahyupat bût u-S bë ôzat.6. u hac frazandân [ï] ërëc bë kanik-ë an kas bë në mând.1. u pas frëtôn var [ï] frazdän nayït 10 u pat nihân dâSt tdy [da~[humn patvand

ka hac hân kanik pus zäyät.8. pas frëtôn ô var [î] frazdän Sut u-S hac, artvïsûr andhït âyaft xuäst u pat

apdc drdstan [î] ërdn-Sahr u xuarrah [i] kayän apärik yazdän hac andar sa-kistän gäh mahmdnëh apartar äyaft vindät apäk mänuScihr u öySän ërânäfrin.

9. ëvak ën kü viStäsp-Säh dën pat var i frazdän kart raväkeh fratom pat sakis-tän u pas pat apärik Sahrihä.10. u viStäsp-Säh pat hampursakëh ï zartuSt u sën [ï] ahûmst[ût]dn i bustïk

cigôn-iS häviStän i zartuSt fratom pat sar-hâviStëh ôy but hënd.11. dën [i] sakistän cäSt raväk däStan räd nask nask 12 pat dütak [i] vëhân

fräc raft.

β As far as possible the original te xt of codes MK ha s been resto red fro m th e edi-

tio n of JAMASP-ASANA ; my add it ions to th e text are given bet ween squa re br ac ke ts [],

while letters which I suggest to be excluded are pu t in parenth eses () ; eme nd ati on sare marked with a plus + a nd are ex plain ed in foot-notes . The transcri ption sy ste m is,with some slight modifications, that employed by H. S. NYBERG in his Manual of Pahlavi,vols. I— II (Wiesbad en 1964—74); it mu st be stressed th at it is purely con ven tio nal ,representing th e archaistic Pahlavi orth ogr aph y as faithfu lly as possible while supple-menting it with vowels and substituting Iranian equivalents for Aramaic «ideograms».

9 Bo th MK a nd J J infix an unne cessar y ex tra sign.

19 The e nding is wri tte n with th e li gat ure «-x,» in MK an d «-x2» in J J (JAMASP-

ASANA su bs ti tu te s -t) ; cf. my not es on these ligatu res in Ac ta Oriental ia, Copen hag en,37 (1976) 96—99.

"The original text has only hwm; both JAMASP-ASANA an d WEST supple me ntd{a)-; this seems justi fied considering Bundahiën X X X I : 11 (transi. W E S T : S B E ,vol. V, 133- 134 ; Ir. BundahiSn, tr an sl it . & tr ansi . ANKLESARIA, XX X V : 13, 294 — 295 ;face, of MS. TD,, Tehran 1348/1970. 197).

12

Pos sib ly to be rea d instea d ( u ) 50 u 50, as by JAMASP-ASANA, MODI, HERZFELDa n d B A I L E Y .

Acta Antigua Academiae Scientiarum Hungaricae 28, ISSO

8/15/2019 ACTAANTIQUA_28 (1980)


262 BO UTAS

12. nask-ë +bagdn-ic13 Tränend cigôn sen [u\ burzmihr i zartuStdn pat virds-takëh i hän büt (ï) +dSndk. M

13 . ka gizistak alaksandar i hrömä[y] ërdn-Sahr mat dySdn kë pat bräh15 ïmôg-martëh raft grift özat.

14. mart u rëtak ë-cand sakistän âmat hênd.15. nask-ë bût î zandn bût (ï) apurndyïk-ë nask-ë +bagdn-ic13 xuast w u varmkart estât pat ce17 hdn rdh18 dën andar sakistän apäc gaSt u äräst u vïrdst ndkndk {ndk) bë pat sakistän adak-iS 19 apdrik giydk në varm.

16. +avar 20 pat hdn giydk hamdk-dên-ë yazënd Sdtëh î gdhrïkdnëh rad hâtdxt-ë framdyënd yaStan21

Colophon :

frazaft pat drdt [u~\ Sdtëh [M] rämiSn Sät u farraX u u dër-ziviSn u përdzkar u

ahlav [M] kdmak-hanjdm bavât kë nipiSt kë xuëS u kë xudnët. a$dm.

Translation :In the name of the gods

(1) The wonders a nd magnificence of th e lan d of Sakis tän are greate r an dbetter than those of other lands for these reasons :

(2) One [reason] is this that the river Hëtmand and the lake Frazdän andthe sea Kayânsë and the mountain Uädäätär [are situated] in the land of

Sakistän ;(3) [and] the birth and upbringing of Husëtar and Husëtarmâh [and] Sösäns

of the family of Zartust Spitämän and the resurrection [are] to occur fromit.

(4) One [reason] is this that the offspring and seed of the Kayän rulers arein this clime ; disaster came upon them (5) through the sons of Frëtôn :

13 With the emendat i on proposed by Ba i l e y (op. cit., 160, η . 4) : + 'R lJY ' -nc 'with reference to Denkart (DkM 692, 15 ; W e s t : S BE , vol. XX XV I I, 34 ; t he referenceto Frahang i Pahlavik 1 : 3, however, seems mis ta ken ). Mo di reads dväsiräjo, W e s tguvah-sën-ico («the witness is even Sen»), H e r z f e l d dvasaèna («die be id en Sen»), andJ u n k e r professes himself unab le to read it .

14 With the emendation of Bailey ; the original text seems to have aëkàn, Arsacid(thus Modi), but is read äyäkän, «the coming ones», by W e s t ; or äSkär Ì

15 O r brêh, as Bailey reads i t , suggesting that i t s tands for brahm, «garment,manner».

18 Or òsi, «firm, reliable» ; Bailey emends xuânënd.17 Possibly for -id, as rea d by B a i l e y .18 Possibly for brèh in the sense of brahm, as emended by B a i l e y (cf. η . above)

becauso the text has I'h, while rah normally is written Vs.1 9 T e x t : 'DYN-S; ma y also be read (with Ba il ey ) 'dyny ' fo r 'yny' = ênyâ.2 0 Tentative emendation : *LPN(M)H, for the appa rent L MNW = man kë, «me

who», of the text which is difficult to reconcilo with the context.21

May also be read SGYTWN = rav, «go !» (in th at case pr oba bl y wit h the rea d-i n g man kë in the beginning of the paragraph (cf. the preceding note).

Acta Antiqua Academiae Scientiarum Hunqarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


THE PAHLAVI TREATISE AVDF.H U SAHIREN I SAKISTÀN 263

Salm who [ruled] the clime of Rome and Tűz who ruled Turkistän, [while]Ërëë was the ruler of Erän ; and he was slain by them.

(6) And of the children of Erëô except one girl nobody else remained ; (7) andthen she was brought by Frëtôn to Lake Frazdän and was held in conceal-

ment till the [ten]th generation, when a boy was to be born from that girl.(8) Then Frëtôn went to Lake Frazdän, and he asked a boon from Artvlsür

Anähit, and for the restoration of Erän-Sahr and the Kayän xuarmah theother gods, through [this] dwelling-place in Sakistän, gained a superiorboo n with MänuSöihr, and t he ir blessing was with Er än ( ?).22

(9) One [rea son] is thi s th at K in g Viätäsp propag ate d t he religion at La keFr az dä n, first in Sakist än th en in other la nd s; (10) and King Viätäspwas in consultation with Zartust and Sën, son of Ahüms[tü]t, of Bust, asof th e disciples of Zar tus t he was t he fir st in head-discip leship ( ?).23

(11) In order to keep the religion of Sakistän current for the teaching, naskaf ter nask passed on in th e familie s of the Zoroas trians ,24 (12) one nask[being] the one they call *Bagän 25 for the arrangement of which Sën andBurzmihr, son of Zartust, were well-known.

(13) When the accursed Alexander, the Roman, came to Ërânëahr, those whowent in the splendour26 of the Magians were seized [and] slain.

(14) A few men and boys came to Sakistän.(15) There was one nask which was amo ng the women , [a nd ] a child had b ee n

trained27 and had memorized [this] one nask, that same »Bagän.25 In such

a way the religion returned in Sakistän, and it was ordered and arrangedafresh. Except in Sakistän, then there was no memory of it in any otherplace.

(16) Come( ?), in t ha t place th ey pe rf or m a complete religious ceremony [a nd ]they order a Hädöxt to be recited for the happiness of the nobility( ?).

The text ends with a standard colophon which unfortunately adds noth-ing to our knowledge of the background and origin of this treatise :

«Completed with benedictio n, happin ess [and] satis facti on ; may he behappy and fortunate and long-lived and victorious and righteous and success-ful who wrote [it], who owns [it] and who reads [it]. А й э т .»28

22 Th e somewhat uncertain sy nt ax of this parag raph allows ma ny variation s inthe order of words and phrases, but the general purport seems clear.

23 Th e ve rb is formally in the p lur ., «they were», pe rh ap s referr ing to bot h Senand his father Ahümstöt, hardly to King ViStäsp.

21 Or poss ibly : «a hu nd re d in th e fa mili es of th e nobl es we nt forth» (BAELEY,161 ; cf., n. 12 abo ve) .

25 I. e. «The gods» ; cf. n. 13 abo ve .28 Or «fate» or «gar ment , mann er» ; cf. n. 15 above.27 F o r xuast in this sense, v. Nyberg, Manual of Pahlavi, vol. II. 221, and xMast

as «trampled path» in Burhän-i qäfi', ed. Mu 'î n, vol. II I , 791. If ôst (cf., n. 16 above),

translate : «had memorized firmly»!28 I.e. the Aves tan AJa-p rayer .

Acta Antiqua Arademiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 6 4 В О UTAS

As marked by the introductory phrase êvak п к й , the text falls into threeparts : the three reasons for considering Sistan the most remarkable of lands.These reasons are derived from purely Zoroastrian traditions. It is noticeablethat the not very much younger New Persian work Tärix-i Sistdn, «History of

Sistan», begins with an enumeration of the «excellencies» (fadd'il) and «won-ders» ('ajd'ib) of th e sa me province.29 None of these outstanding features, how-ever, coincides with those mentioned here, in spite of the fact that the anony-mous author of Tärix-i Sistdn mentions th e Pahla vi BundahiSn (in th e fo rm«Ibn Dahiëtl» !) as one of his sources for this passage. 30 According to the firstpages of this Tdrix-i Sistdn, the re sho uld also have exi ste d a work directlyent i t led Fadd'il-i Sistdn, composed by an otherwise un kn ow n Hiläl [ibn]Yüsuf Uqï (Auql?), a title mirrored in the later work Fadd'il-i Balx, an anon-ymous Persian translation of a work first written in Arabic in the beginning ofthe 7th/13th century.3 1

The first reason for pre-eminence is geographical : Sistan is presented asthe land of certain legendary topographic features, namely the holy riverHëtmand (Av. haëtumant-), the holy lake Ka yâ ns ë (Av. kqsaoya-) and the holymountain Usdâëtâr (Av. uSi.darana- or uSi.dam-).32 Wi th ou t doub t, this im-plies the arena for Zoroaster's teaching of the religion. It may be consideredan arc het ypa l geogr aphi c trini ty ; for a parallel compare , e.g., Christ, theRiver Jordan, Lake Gennesaret and the Mount of Olives.33 From a historio-graphical point of view, however, this information is rather trivial. The young-er Zoroastrian tradition, in general, identifies Kayânsë with the lake Hämün,

Uëdâëtâr with the mountain Küh-i Xväjah and, naturally enough, Hëtmandwith the river Hilmand, all parts of the modern geography of Sistan.

It is not entirely correct, however, to describe this first reason as a«geographic trinity», because also a fourth name is mentioned, var ï frazdän,the identification of which is more uncertain. The list of lakes in ChapterXXII (XII) of the BundahiSn places it in Sistan ,34 and in §36 of the Sahristd-nihä г Erdn it is me nt io ne d in connecti on with Bus t, which is sit uat ed in theeastern part of Sistan in its more narrow sense. 35 The tradition about Frazdängoes back to Ya§t 5 : 108, according to which Kavi Vïstâspa sacrificed a hundred

stallions, a thousand oxen and ten thousand sheep in front of( ?) dp- frazddnu-.

29 E d . BAHAB, 9—18 ; tr an si . SMIRNOVA, 54—60.3 0 E d . B A HA R, 1 6 — 1 7 ; t r a n s i . S MI RN OV A, 6 9 — 6 0 ; f r o m t h e c o n t e x t i n Tärix-i

Sistän it might be inf erre d th at BundahiSn was known to the au th or only through th eint erm edi ary of Ab u'l -Mu 'ay yad al-Balxï (cf. п . 7 above).

31 Cf. С . A. STOREY, Pers ian li ter atu re. Vol. I. Lond on 1953. 12 96 -1 29 7 (tra nsi .& rev. by Yu. É. BREGEL', Moscow 1972. Vol. II . 10 53 -1 05 4) .

32 Cf. Yaêt 19: 66.3 3 C f . HER ZEELD, op. cit., 95.31 Transi. WEST, SBE , vol. V, 86 ( X X I I : 5); Ir. BundahiSn, translit. & transi.

ANKEESARIA, 114—115 (XII: 6).35 Cf. my «Non-roligious Book Pah lav i lit eratu re», Ac ta An t. H un g. 24 (1976) 118.


8/15/2019 ACTAANTIQUA_28 (1980)


THE PAHLAVI TREATISE AVDËH V SAHIKËN I SAK1STÄN 265

One of the difficulties in placing it in the geography of Sistan is to find a suitablelake (if var must be taken to mean exactly «lake»). Some modern scholars, likeErnst Herzfeld,36 have cast their vote for Gaud-i Zirah, a huge marshy depres-sion to the south-east of Lake Hämün. So does Gherardo Gnoli, who has elab-

orated the connections between legendary and Sistanian geography in greatdetail, lately in his richly documented book Zoroaster's time and homeland.31

In spite of the great ingenuity applied by Herzfeld, Gnoli and others to definitegeographic identifications of topographic features figuring in Zoroastrian tra-ditions, it seems impossible to avoid the conclusion that Frazdân, Kayânsë,Uädäätär, etc. basically remain mythical places.38

To this geographic section of the text is added a reference to the threeeschatological saviours who are to be born of the water of Kayânsë from theseed of Zoroaster, i.e. uxSyat.srdta-, uxSyat.nsmah- and saoSyant- (for astvat.

э Ы а -) of the A vest a.39

The second reason for the pre-eminence of Sistan belongs to legendaryKayanian history, as incorporated into Zoroastrian tradition. This section men-tions the role of Sistan, and especially Lake Frazdân, in securing the legitimatesuccession to the throne of Erân-âahr after the fratricide among the sons ofFrëtôn (Av. hraëtaona-). Whe n the younger son Erëë, who sa t on the thro ne ofIran, was slain by his brothers, Salm of the western realm (Hröm) and Tűzof the north-eastern (Turkistän), the succession of MânuSëihr to the throne ofIran and the passing of the xuaronah to him was achieved by hiding a daug hte r

of Erëë at Lake Frazdân.Here we meet the eponymous heroes of the main peoples of the Iranianpolitical universe, «roughly described as the Shem, Ham, and Japhet of theIranian legend» by E. G. Browne.40 These peoples are, in fact, only three out offive in the old list given in Yaát 13 : 143 — 144 (Av. airya-, tüirya-, sairima-,säinu-, dähi-), bu t these thr ee complete ly domi nate in late r tradi tions .41

There is, however, a certain discrepancy in the tradition concerning the succes-sion to the Iranian throne after Erëë. Originally (cf. Yast 13 : 131), Mânusëihr(Av. manuS.cihra-) appear s as th e dir ect son of Ërë ë (Av. airyäva-), bu t inlate r trad itio n he is of te n, as in th e Sähndmah, prese nted as th e son of th e dau gh

36 Op- cit., 91.37 = Ist itu to Univ ersit ario Or iental e, Seminario di studi asiatic i, Series minor , 7 ;

Naples 1980; on Frazdän/Gaud-i Zirah, v. esp. 133.38 See, e.g., the conclusions drawn by J. KELLENS in his paper «L'Avesta comme

source his tor ique: la liste des kayani des», Ac ta An t. Hu ng . 24 (1976) 37 — 49 (on geog-rap hy , v. 41) ; r ep r. in J . HARMATTA (ed.) : Studies in th e sou rces on th e his tor y ofPre-Islamic Central Asia. Budapest 1979. 41 — 53.

39 Cf. Yaát 13: 128—129, Yaát 1 9: 9 2 and Ve ndidad 1 9 : 5 (w here kqsaoya- isplaced in the east ; east of what?).

40 A literary history of Iran, vol. I, 1902, etc., 116.41 On the formation of the cponyms, v. A. CHRISTENSEN: Etudes sur le zoroastrismede la Perse antique. Copenhagen 1928. 23.


8/15/2019 ACTAANTIQUA_28 (1980)


266 В О UTAS

ter of Erêc.42 The present text seems to suggest an extra retardation of ten gen-erations, in relative concordance with the younger Zoroastrian tradition foundin BundahiSn X X X I : 9 — 11 (cf. p. 261, n. 11 above). The most interestingpiece of information in this passage of the Avdëh и sahîkëh г Sakistän is, how-

ever, the role given to Frazdân and Sakistän. They are not generally associatedwith these events in other sources, but it is interesting to notice that Tärix-iSistän (ed. Bahär, p. 6) writes tha t «AfrïdGn, up to th e tim e of Manücihr( ?),entrusted Manüöihr to Nariman, until he went away and took revenge for hisfather Iraj». Nariman was the great-grandfather of Rustam and thus a heroof Sistan. — It is un fo rt un at e tha t th e te xt of § 8 seems too confused to yi eldmore exact information on the relation between Artvisür Anâhït, «the othergods» and Sakistän.

The third and last reason for the pre-eminence of Sistan is directly related

to central Zoroastrian traditions on the propagation and survival of the faith.The starting-point is once more the mysterious lake(?) of Frazdân and theactivities of King ViStâsp. The latter is here presented as a prime propagator ofthe religion on a par with Zoroaster himself and Sên (Av. saëna-, Yt . 13 : 97),the son of Ahümstüt of Bust. The opaque syntax of § 10 makes it difficult todetermine exactly what relationship is intended between these three heroes ofthe faith.43

The following description of the restoration of the religion after the devas-tation brought about by Alexander has a little more verisimilitude than the

legendary material presented so far. This restoration is said to have takenplace in Sistan through the memorizing of one special nask of the Avesta, whichpossibly, with the emendation proposed by Bailey, could be identical with the Bagän yaSt described in the 15th chapter of Book VIII of Denkart (cf. above) .This must have been a part of the original Avesta giving particulars about thedivinities, and obviously the circumstances of its transmission are far from thefull story of the survival of the religion. Similarly the localization of this crucialmemorizing must be taken both as symbolic and as relative to the ambitionsof the author and his local tradition.

The final paragraph of the text, as it stands now (§ 16), is somewhatconfusing. Even with the rather uncertain emendation suggested above, it isdifficult to see what it is aiming at. Given the abruptness of this paragraph andthe shortness of the preceding list of «wonders», in comparison, for instance, withthe great number of 'ajä'ib presented in th e beginn ing of Tärix-i Sistän, one

42 E d . М О И Х (paper-back ed. Tehran), vol. I , 83—85; ed. BERTEL'S, vol. I ,107—110.

43 On the v ari ous a spe cts of the_ comp lex figure of Viätäsp, v. J. MARKWART:A catalogue of the provincial capitals of Eränshahr, ed. G. MESSINA, Rome 1931. 36—37,

51 (a water-god out of In do -I ra ni an myt h) , and iecen t eva lua tion s by J. KELLENS : op.cit., 38—39, and GH. GNOLI : op. cit., 3, 94—95 (with n. 15) et pass.


8/15/2019 ACTAANTIQUA_28 (1980)


THE PAHLAVI TREATISE AVDEH U .S A HI EX 1 SAKISTÄN 267

could suspect the present tex t of being only a fr ag ment or just an impr ovis ati on.However this may be, there is someth ing incident al about its form and message.It clearly had its origin in a narrowly religious environment and betrays noambition of really presenting a portrait of Sistan. It is perhaps understand-

able that there is no reference to that great hero of Sistan, Rustam, who in§ 37 of Sahristänihä г Erän is presen ted as rötastahm l sakistän-Säh,u bu t it isstriking that there is no mention of the Karköy fire, for instance. That fire-temple is not only mentioned in Sahristänihä г Erän (§ 38),45 but even the Mus-lim Tärix-i Sistän devotes a subs tant ial section to it.46

Now, wh at we can glean fro m this t ext is not wh at we would expec t aSistani of the centuries after the Arab conquest to say on the marvels of hisprovince, neither geographically nor historically. It is rather a few fragmentsof late Zoroastrian traditions with bearing on decisive moments in the history

of this faith.

University of Uppsala, Sweden.

44 Cf. my «Non-religious Book Pa hl avi literat ure». Act a An t. Hun g. 24 (1976) 118.48 Ibid ., 118.44 E d . BA H Ä R , 3 5 — 3 7 ; t r a n s i . SM IR N OV A , 6 9 — 7 0 .


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


M. MAROTH

DIE XALAÖ IN DEN ARABISCHEN QUELLEN

Für die Akten dieser Tagung habe ich den zentral-asiatischen Teil derWeltkarte von al-Xwärizml vorbereitet. Es bedeutete gewisse Schwierigkeiten,

die Karte nach den Angaben des Textes zu zeichnen, aber hinter dieser Arbeitstecken im Stoff noch weitere, im engeren Sinne genommen nicht mehr geogra-phische Probleme. In diesem Zusammenhang möchte ich kurz nur ein Beispiel,das Problem der Xalag, anführen, und zwar hauptsächlich auf Grund derarabischen geographischen Schriften.

Die bekannteste Textstelle finden wir bei al-Istaxri.«Das Land al-Däwar ist ein fruchtbares Gebiet, die Grenze von al-Gür,

Bagnin und Xalag und Pislang und Xââ . . . Bagnin und Xalag und Kabul undal-Gür und jene Di str ikt e nach diesen, haben den Islam angenommen . . .und die Xalag sind eine Art der Türken, und in den uralten Zeiten sind sienach diesem Land gekommen, das zwischen Indien und den Gegenden vonSigistän liegt, hinter den al-Gür. Sie besitzen Weidevieh, nach der Art derTürken, und so sind auch ihre Kleider und ihre Sprache.«1

Muqaddasi, als er über die Flüsse von Sigistän spricht, läßt den Hilmandhinte r den al-Gur (j>JI jiß J ) ent spr ingen. Auf diese Weise können wir d ieXalag um die Quellen des Hilmand lokalisieren.2

Ihn Hawqal3 wiederholt fast buchstäblich, was al-Istaxri geschrieben hat.Die Quelle von al-Istaxri scheint als Grundlage auch für al-Idrisi gedient zuhaben, weil er auf die folgende Weise schrieb : «Wir sagen, daß der östliche

Teil von Sigistän an al-Gür grenzt, und das nächste Distrikt nach den al-Güral-Däwar heißt. Es ist ein weites, reiches, fruchtbares Gebiet, es ist die Grenzevon al-Gür und Bagnin und Xalag und Pislang . . .» Und weiter : «Dieses Landwird von einem Stamm namens al-Xalag bewohnt. Sie sind eine Art der Türken,sie sind nach diesem Ort in uralten Zeiten gekommen. Ihre Wohnsitze grenzen

1 Al- lçt axr ï : Kit.äb al-masälik wa '1-mamâli k. Ed . M. J . DE GOEJE. Lugd. Ba t .1870. 244.

2 Al-Muq addasi : Ahs an a l-taq äsim fi ma'r ifa t al -aqäl ini. E d . M. J . DE GOEJE.

Lugd. Bat. 1877. 329.3 lb n Ra wq al : K i t ä b al-maHälik wa '1 -mamälik. E d . M. J . DE GOEJE. Lug d. Ba t.1873. 302.

Acta Antiqua Aeademiae Scientiurum Hungaricae 1980

8/15/2019 ACTAANTIQUA_28 (1980)


270 M. MAROTH

im Norden an Indien, (dann) an den Rücken von al-Gür und an einige Gebietedes östlichen Sigistän.»4

Dieselbe geographische Lage der al-Xalag lag auch dem Text vonMas'üdi zu Grunde, der den Streifzug von 'Abdarrahmän Mohammad al-Aä'at geschildert hat. 5

Der auffallende wörtliche Einklang zwischen den Worten der obenerwähnten geographischen Werken lassen uns daran denken, daß die Verfas-ser, obwohl sie die wirkliche Lage beschrieben haben, doch aus einer und der-selben Quelle schöpften.

Es muß aber auch eine andere Quelle vorgelegen haben, die in der Regelin den verschiedenen Itinerarien belegt ist. Bei Ihn Xurradädbeh finden wirz. B. die folgende Be sch rei bu ng des Weg es : «Von Tar äz na ch de m un te re nBaräxän 3 Farsax, von dort nach Kesrä Bas 2 Farsax . . . dort sind die Winter-sitze der Xarluxen, und in ihrer Nähe die Wintersitze der Xalag.» 8

Al-Idris! beschreibt denselben Weg, die Entfernungen werden aber inMeilen angegeben. Über die Xalag sprechend fügt er hinzu, daß sie eine Art(ein Zweig) der Türken sind.7

Die Xalag, die zwischen al-Däwar und Oaznin lebten, sind von allenSchriftstellern einschlägig für Türken gehalten, und die Xalag, die im Nordenim Talas- Tal lebten, wur de n von Al-I dris i ebenso als Tür ken bezeichnet.

Die Xalag sind also in zwei Quellengruppen in zwei verschiedenen, voneinander weit entfernten Gegenden erwähnt.

E s gibt aber eine dr it te Art von Nac hric hten . Moh am ma d i hn Nag ibBakrän schreibt in seinem persisch abgefaßten Werk, daß die Xalag ein türki-sches Volk ist, daß sie von den Xarlux-Grenzen an die Grenzen von Zäbu-listän kamen, und in der Umgebung von Gazna in der Steppe wohnten. 8 DieseNachricht kann natürlich wahr sein, sie scheint jedoch eine Kontaminationder zwei oben erwähnten Quellen zu sein.

V. Minorsky vertrat die Meinung, daß die Texte der zwei Quellen einan-der wiedersprechen und deshalb sie wahrscheinlich verbessert werden sollten. 9

Die Xalag-Gebiete um Gazna sind von dem Talas-Tal so entfernt, daß die Nach-

richt sicherlich unannehmbar ist.

4 Idrisï : Opus geographicum. Neapoli—Romae Brill 1974. Fase. IV. 466.5 Mas' üdi: Les prairies d 'or. Ed . С . BARBIER DE MEYNARD. Pa r i s 1869. V. 302.

j»»! у £1La у !J ÙIT...•»«.» ^Jx- y -u»»« y -и «- J-"-"^-! (т Ц »»»" ól Г д Ь

• gWI J J> ll r+l Jt L <JyJ I ^J tiyi' I8 I bn Xurradädbeh : Kitâb al-masâlik wa '1-mamâlik. Ed. DE GOEJE. Lugd. Bat.

1889. 28.' Idrisï : op. cit. Neapoli—Romae. Brill 1976. Fase. VI. 715.8

Mohammad ibn Nagib Bakrän, Gihän name. Moskva 1960. Ed. J. E. B o Rá E VS K i j .17 b.9 V. MINORSKY : Rudud al-'Älam. Oxford 1937. 347 — 348.


8/15/2019 ACTAANTIQUA_28 (1980)


DIE XALAG IN DEN ARABISCHEN QUELL EN 27 1

Um diese Schwierigkeit zu beseitigen, müssen wir ihm gegenüber anneh-men, daß sich diese zwei Quellen auf zwei verschiedene Gruppen der Xalagbeziehen.

Das Bild wird aber mehr verwickelt dadurch, daß Al-Käsgari die Xalagfür Oguz-Türken hält, Al-Xwärizmi dagegen behauptet, daß sie Überresteder Hephthaliten sind.10

Diese zwei Behauptungen schließen einander nicht aus, aber die Erfor-schung der türkischen Sprache einer dri tt en Xalag-Gruppe, die im heutigenIran zwischen Hamadan und Qum lebt, führte zu dem Ergebnis, daß diesetürkische Sprache einen selbständigen Zweig der Türk-Sprachen darstellt, sieist also der Mundart der Oguzen nicht unter-, sondern nebengeordnet. 11

Vorausgesetzt, daß der Name «Xalag» in diesen drei Fällen drei verschie-dene Gruppen eines Volkes bezeichnet, schließen die Ergebnisse der modernenForschungen die Richtigkeit der Nachricht von Al-Kä§gari aus. In diesem Fallkönnte man die Worte Al-Käägaris durch die Annahme erklären, daß die zweiteQuelle die Xalag auf dem von den Oguzen bewohnten Gebiet erwähnte, und sokonnte er sie für Oguzen halten. Das ist aber nur eine Vermutung, die sichnicht beweisen läßt.

Einige Forscher haben angenommen, daß die arabischen Quellen nurin einem weiteren Sinne beha upten, daß die Xalag Türk en ( J l ^ l y D ^ )sind. Die Kabgina, die bei al-Xwärizmi zusammen mit den Xalag als Über-reste der Hephthaliten erwähnt sind, werden von den meisten Forschern nichtfür Türken gehalten.12 Das Wort würde in diesem Fall so viel bedeuten, wie«Nomaden». Die Quellen, die die Lebensführung der Xalag schildern, beschrei-ben sie wirklich als Nomaden, die ihres Vieh in der Steppe zwischen al-Däwarund Gazna weiden.

Unter der oben genannten Voraussetzung müssen wir das Wort jCßin bezug auf die Xalag jedoeh in engerem Sinne verstehen. Al-Istaxri sagtnämlich ausdrücklich, daß die südlichen Xalag sich einer türkischen Spra-che bedienten, und nicht einmal Al-Käsgari kann voreilig einer so unverant-wortlichen Behauptung verdächtigt werden, daß er die nicht existierende

türkische Sprache der Xalag in eine bestimmte Gruppe der türkischen Spra-chen einordnete, ohne sie gehört zu haben, ohne etwas über sie zu wissen.Gleichzeitig stellen die heutige Existenz einer Xalag-Gruppe und ihre türkischeSprache schwerwiegende Beweise dar.

Diese drei Umstände lassen uns also die Worte Al-Xwärizmis im engerenSinne verstehen, als er über die Al-Xalag spricht.

10 C. E. BOSWORTH —G. CLOWSON : Al -Xwä rizmi on th o Peopl es of Cent ra l Asia.JRAS 1965. 2 — 12. Kâêgarï : Divän lug at al-turk. III . 41 2- 41 6.

11

V. MINORSKY : The Turk ish Dia lec t of Kh al ad j. BSOS 10 (1940) 417—437 .G. DOERFER : Khaladj. Language. Eno. of Islam IV. 918 mit Literatur.12 A. D. H. BIVAR : Ha yä pl a. E nc . of Isla m II I. 303 ff. mi t Li te ra tu r.


8/15/2019 ACTAANTIQUA_28 (1980)


272 M. MAROTH: DIE XALAG IN DEN ARABISCHEN QUELLEN

Da die türkische Herkunft der Kabglna jedoch nur durch die Worteal-Xwârizmïs unterstützt wird, so können wir nicht entscheiden, was die ge-naue Bedeutung des Wortes in bezug auf sie sei.

Die angenommene türkische Herkunft der Xalag steht nicht im Wider-spruch mit der Nachricht von al-Xwärizmi, die besagt, daß die Xalag Über-reste der Hephthaliten sind.13 Diese Behauptung bedarf aber einer Erklärung,die wir nur hypothetisch geben können. Es gibt nämlich eine Meinung unterden heutigen Forschern, die die Hephthaliten für Türken hält. 14 In diesemFall ist es natürlich, daß auch ihre Reste Türken sind.

Tr if ft jedoch die se Meinung nic ht zu, selbst dan n h ab en wir unsere Fol-gerung nicht zu verwerfen. Die Hephthaliten, wie die Nomaden immer, habenaller Wahrscheinlichkeit nach auch andere Völker oder Teile von anderenVölkern in den Verband ihrer Stämme aufgenommen und auf ihre Wanderungen mitgenommen. Diese Annahme könnte erklären, wie einige Xalag-Grup-pen im Norden geblieben sind, während andere im Süden als Abkömmlingeder Hephthaliten galten. Diese Annahme gibt uns die Möglichkeit, alle Über-reste der Hephthaliten für Nomaden zu halten, die teilweise türkischer Ab-stammung sein konnten, teilweise einer anderen Sprachgruppe angehörenkonnten.

Jedenfalls scheint es so, daß die angebliche hephthalitische Abstammungder Xalag durch die ewig wiederkehrende Bemerkung unserer geographischenSchriftsteller, wonach die Xalag in uralten Zeiten nach ihren südlichen Wohn-

sitzen kamen, indirekt unterstützt wird.Die arabischen Quellen können also gewisse Fragen über die Xalag

beantworten, für andere Fragen geben jedoch nur eine hypothetische Lösung,die im Lichte anderer Quellen weiter untersucht werden soll.

Budapest.

13

AL-KHWÀRIZMÎ : Ma fat lh al- 'u lü m. E d . V. VLOTEN. Lu gd un i- Ba ta vo ru m. 1895-1 1 9 — 1 2 0 .11 A. D. H . BIVAR : Ha y ät il a.

Acta Antiqua Academiae Srientiarum Hunqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


ILYA GERSHEVITCH

THE BACTRIAN FRAGMENTIN MANICHEAN SCRIPT*

In June 1958, while cataloguing in Berlin the Iranian manuscripts writ-ten in Manichean script, Professor Mary Boyce made the remarkable discoverythat one small fragment was inscribed on both sides in an unknown Iranian

language. She was anxious to impart the news at once to Henning in London,in a manner that might enable him to identify language and contents. Itwould take time for the two sides of the fragment to be photographed. There-fore, as the Verso side was hard to read, the Recto less so, she transliteratedthe Recto only, posting the outcome without delay. It was an outcome nevermeant to be definitive. Some indistinct letters later proved to be differentfro m wha t she at fir st th ou gh t. F or some others she left gaps. Bu t as a provision-al first shot this initial revelation, private and to her teacher only, deservesnothing but praise.

The transliterated 19 lines reached Henning on 20 June 1958. They didmake him sit up. He replied on the same day, having taken «at least a fullhour (his underlining) to make up my mind on the language». It was a language,he explained, that stands between Parthian, Sogdian, and Pashto. Hencc, hecontinued, it will be the language of the intervening area, Balx, presumablythe same language, at a later stage, as the one in which the French had found aninscription at Surkh Kotal, perhaps also the same language as that of the so-called Hephthalite fragments.

In his letter, which consists of a single sheet written on both sides, Hen-

ning then proceeded to details. He had found translatable four sequences, ofwhich I quote only the words he correctly translated from the spelling herereproduced as at the time it stood before him.

First sequence : mwwl myg(d)yg 'ivwd 'sp(r)gmyyg 'ßyryynd о 'wd cgwwng

'ww w(S) 'wd . . . 'cyy 'ß [ ] *wd g"w Ihyyh t'(')d pn'yyd p'yyg 'wdrwgn 'ßy(r ) [ «roots (mûla) fruits and flowers produce ; and as the (<.hau)grass and . . . which to (<.abi) [sheep] and cows you( ?) give , th en . . . cheese(-r ?) milk (payah-) and bu tt er th ey produce».

* (Paper delivered at tho Conference «The Sources of the History of Pre-IslamicCentral Asia» in Budapest on 25 March, 1976.)


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


THE BACTRIAN FRAGMENT IN MANICHEAN SCRIPT 2 7 5

year later was also to die, having agreed and the German Academy, throughthe good offices of Dr Sundermann, having kindly approved of the transfer,I received from Professor Boyce the letter from which I have quoted, from MrsHenn ing her hus ban d's file on the fr agm ent , and from Dr Sun derman n two

enlarged photographs, one each of Recto and Verso.Henning's file contained only one sheet written entirely in his hand,

namely his own transliteration, and even that only of the 19 lines of the Recto,with a succinct apparatus. There was no translation, except indirectly of twowords. One, restored by him as p(rdyj)g, he ha d glossed wit h N P pâlëz. I toccurs in the line preceding the first sequence quoted above. Against the otherword, xwßyc, he ha d pencilled, with a questi on mar k, Av. х °а р а д у а -. Other-wise the file contained only Professor Boyce's two contributions : her first,provisional transliteration of the Recto, which had prodded him into the tour

de force she by then had sent me and I had eagerly read ; and her second, finaltransliteration of both sides of the sheet. This second contribution is of inval-uable help for reading the diff icult Verso wri tte n in a diffe rent han d from th eRecto, and much more faded and smudged, requiring extensive restoration.Against a few of Professor Boyce's readings of the Verso Henning had jotteddown in pencil alternative readings, thrice with a translation each of one word :«recalls» with a question mark, against ' ßy ' s 'd ; «that» against kwd\ and German«hiesig» against mT(m)'(n)g. Moreover, agains t two of her readings left unto uch -ed by him, he had entered a translation, namely «vovç» against lyríng fr, and

«he calls him» against ' wdyh xwynyd.These are small crumbs from the table of one of the best-endowed brains

that ever turned to Iranian studies. Whatever they were crumbs of, perishedon 8 January 1967, together with that brain.

When I had taken stock of the position, my heart sank. It was of courseclear that the Recto contained two Ruvänegän similes new to us, a vegetableone and an animal one. The laymen's gifts to the Elect produce pupyas andsalvation, as irrigation induces roots to produce fruits and flowers, as grassand water (y'ß, to replace the three dots after wS 'wd in the first sequence above)

given to cattle produce meat (p'yyd, to replace th e fiv e dots afte r i'(')d),cheese, milk and butter.It was also clear, and not only from the «vovç» jott ed down by Henn ing

against lyn'ng fr, that the Verso was of esehatological purport. Quite a numberof words even on the Verso make immediate sense, such as 'z 'ydym «I havecome», or rStyg l'dßr wyspz'nyndyy «the ju st all-knowing judge».

But the greater part of the Verso seemed to consist of words either un-kn own or illegible, or of whose readi ng th ere could be no cert ain ty ; an dnowhere on the Verso was it clear how sentences, let alone periods, were to be

construed. What, for example, did Henning think, what was I to think, of themysterious drwfr in line 13 of th e Verso , whose occurrence also as fi rs t word of


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


THE BACTRIAN FRAGMENT IN MANICHEAN SCRIPT 277

By 1973 I had no illusion as to what Henning would have wanted me to

do : destroy everything I had of his. But this was ruled out by the trust Mary

Boyce and the German Academy had shown me. Had they thought me capable

of thus dealing with his notes, they would have made sure of keeping them

safely out of my reach. I was caught in a conflict of loyalty, run aground in an

impasse.

The fact is that, as the observations of Henning's which you have heard

struck me as obvious from the moment I saw them, yet the fragment remained

largely incomprehensible, I had come to underestimate his achievement. That

achievement had been breath-taking at the time when he reported on it after

one hour. But given a few days to think, let alone weeks months or years,

almost any Iranianist, or so I began to think, would have achieved as much.

The conclusion seeme d obvious : if eve n Henn ing in ye ar s af te r the miracu-

lous feat achieved no progress, or no significant progress — as his failure topublish l eft no do ub t h ad been the case —, the n the diff icul ties must sim ply

be insoluble beyond the most elementary stage. Having drawn this con-

clusion by the tim e of th e Bud ap es t conference of 1973, if I had been able

to at te nd it I would ha ve been re ad y to declare in th is very Kisterem , t h a t

I was giving up.

But some months later in 1973 I was able to attend the International

Congress of Orientalists in Paris. And in Paris something happened which

completely changed my outlook.

At one of the Iranological sessions a paper was delivered which includeda wholly convincing demonstration that the Bactrian word for «wine» was mal.

There followed a discussion. And in the course of the discussion, a declaration

was made before the packed international audience that «no, it was not mal,

it was mul as in Sog dian, seeing t ha t th e Bact ria n word fo r wine occurs in t he

Berlin fragment, written mwwh. The speaker evidently had in mind the first

word of the first sequence quoted above.

I was too dumbfounded even to open my mouth. While others were

challenging the speaker as to how on earth he had got hold of the Berlin frag-

ment, I fell into a kind of trance, lost in mourning and nostalgic admiration forthe unfailing greatness of the scholar it had been my supreme privilege to have

as teacher.

Not once in the five years had it occurred to me, who am not unfamiliar

with Sogdian, that the first word of the quoted sequence might mean «wine».

The context precluded the very thought of such a thing. But then, I had never

been in a position to tr y and unrav el the contex t by my self . Stra igh twa y I

was presente d with Henn in g' s to ur de force letter, so t h a t it was quite impos -

sible for me to go wr on g on mwwl an d its cont ext when la te r the ph ot og raph s

arrived, but alas possible, in the light of the disappointment at Henning'snot es offe ring help wi th so littl e else, to give him ve ry mu ch less th an his


8/15/2019 ACTAANTIQUA_28 (1980)


2 7 8 I . GEf tSHEVITCH

due for his immediate grasp of the first sequence's purport. It took the Parisuproar to shake me out of this unappreciativeness and make me realize whata horrible trap mwwl posed, and wh at a te st this word co nst it ute d of the t ru equality of would-be decipherers. I had literally to hear the trap snap, to con-

vince myself that it was not true that given days weeks months or years, otherswould also find out what Henning saw in the first hour.

And so, there and then in the Paris Kisterem, the realization took holdof me that if I were not to publish what I had from Henning, even though henever thought it worth bothering to put it into print by itself, years if notdecades might pass sucking casualties into not only this trap, but also othertraps equally insidious, which Henning with sure step had avoided.

I returned to Cambridge a reformed character, and at once set to work inthe mood of one just emerged from an illness. I was no longer troubled by not

understanding crucial passages and key-words of the Recto, and by my inabil-ity to construe even one period of the Verso. Henceforward I was going to beno more than an amanuensis. All I would do was to publish the text in thereading of Mary Boyce with the improvements Henning had entered here andthere, and the addition of such alternative readings as here and there had cometo seem to me worth considering. The text would be followed by the bits oftranslation and the few hints I had from Henning, and by a few self-evidenttrifles which had occurred to me in five years. I no longer felt it incumbent onme to achieve progress.

But no sooner had I begun to proceed in this strictly expository mannerinsouciant of progress, when progress no longer prayed for took to beckoningfrom all sides. It was as if the fragment, for so long a dead weight round myneck, had suddenly sprung to life. One day I saw that the key-word drwfroccurring, you will remember, once on the Recto and once on the Verso,would make good sense if it were a metathesized outcome of the Zoroastriant e r m ratufrl-. We had not had th is word before in Mani chei sm. It qualifiespunya in the fragment, and thereby sheds new light on the Manichean doctrineof redemption, indeed on the very essence of the Ruvânegân institution. Surely

no religion could survive which preached as sole duty of laymen the feeding ofits Elect. Priority must be given at least in theory, to religious behaviour,punyas. But religious behaviour on the part of laymen, without their assid-uously attending to gifts of food, would have exposed the poor Elect to star-va ti on . Hence th e clever inven tion of a rider : the pun ya s m us t be «ratu-pleasing», tha t is, inducing the ra tu s to gra nt forgiveness of sins ; and wh atrenders them ratu-pleasing is the giving of gifts of food to the Elect. Thevegetable simile and the animal simile of the Recto thus emerge fraught withdoctrinal subtlety : without roots there can be no fruit, without cows no milkor beef, without punyas no redemption. But roots will not give rise to fruitsunless they are watered, cows will not yield milk or beef unless they are fed.


8/15/2019 ACTAANTIQUA_28 (1980)


TH E BACTRIAN FRAG MENT IN MANICHEAN SCRIPT 2 7 9

And punyas will not lead to redemption unless they secure ratu-pleasure, areRATified as it were, by the care taken of the Elect.

Once drwfr made sense, it became clear that the sequence hßys (.. )ngor hßys (. )ng quoted above, is like drwfr a qualification of pwwn, or rather,

qualifies pwwn drwfr taken together. A likely meaning of it will therefore be«of very many kinds», something on the lines of Sogd. zngzng'n, yrf znq'nt,wyspw znk'n, OP vispazana-, Aram, wspzn. As soon as one th us realizes th a tthe context could do with the presence of a z, one actually sees that the tracespreceding ng tally with z, and with nothing else. To account for hßyS (the«Hephthalite» vaßioo) expressing large quantity one may relate the word toKhot . harpbisa, Parth. and Pers. ambls «heap». The base will be th e bai- of Av.baëvar- «ten thousand», the suffix that of Av. navasô «by nines, nine times»and Sogd. IIsw (ôwasu) «at the rate of two», the prefix that of Greek äna;

«quite all, all possible» (as distinct from OIran. hama-, present in hambisa andambis). Litera lly the adject ive will th us mean «thoro ughly-hugenu mber-fold».

On another day the daringly primitive thought struck me that the puzzl-ing yßw'g which precedes lyynl(yr)yg"n, seeing th at in Pa rt hi an the Elec t areoften called pw'g «pure», might be the very same word preceded by the articleafter which its initial p would in this language have suffered voicing, as hap-pens in Celtic with feminine nouns. In Welsh, for instance, «a pipe» is pip, but«the pipe» y bib, with soft mutation (and assimilation). Thereby also theexistence of the article i, familiar from the Nokonzok inscription, would be

assured for Manichean Bactrian.From yßw'g lyynl(yr)yg"n mean in g «the pure Electi» it would follow t h a tthe verb pydrwß- corresponds only form ally to Pa rt h. pdrwb- «to render dis-traught» (cf. Skt rúpyati, Lat . rumpo), since in the fra gm en t its meanin g wouldhave to be «to garner, reap», in agreement with the simple rwp- in Sogdian.

Soon afterwards it was the Buddhist monks at the bottom of the Recto,and the Arhants, who fell into place, at least to the extent of no longer compel-ling the assumption that the eschatological Verso constitutes a separate textpursuing a different trend of thought from the Verso.

Of course each individual step forward was apt to require a reappraisalof the whole. Thus gradually the Verso came to unfold a growing number ofmeaningful stretches, until one day it at last dawned on me that my inabilityto construe periods had been duo to nothing more alarming than the abandon-me nt by the language of the oblique ending of nouns . I t was then th a t at longlast the meaning of the complete clause 'wdyh 4wg nyst qyrd w(ß) emerged,and with it a remarkable Manichean doctrine hitherto missed, about the over-riding role played by Beauty, with capital B, in the redemption of Man andindeed the World . When the evidence is in print,* it will be seen th a t th e

* An d already preli minari ly, in a lecture which I gav e in Bud ape st fif tee n da yslater, on 9 April 1976, to the Society for Ancient Studies.


8/15/2019 ACTAANTIQUA_28 (1980)


2 8 0 I . GERS HEV ITCH : THE BACTRIAN FRAG MENT IN MANICHEAN SCRIPT

supremacy of Beauty also explains at last why the Ruvânegân, the alms-gifts,were called by that name. It is an explanation which could have been foundever since 1960, from the moment Mary Boyce published Henning's view thatthe Middle Persian name xwSn of the Living Soul meant «Beauty». But the

opportunity was missed because this view failed to get credit, seeming toreq uir e i nde pen den t c onfir mation . Th e Ba ct ri an clause now provides it :«and he OF grain consigned-to-perdition the Beauty» (namely by eating thegrain himself instead of giving it to the Electi). The word wß, which had teasedme, and no doubt Henning, for years, is nothing else but the Middle Bactrianoutcome of Olran. vafuS, whose id en ti ty of for m and mean ing with Vedicvapus was recognized b y Andr eas an d Wac kerna gel half a ce nt ur y ago, an d isnow confirmed beyond all reasonable doubt by inter-Iranian Manichean evi-dence.

Naturally as a result of the fragment thus springing to life and revealingfar-reaching novelties of Iranian Manichean thinking, it took me longer thanI had foreseen on my return from Paris, to prepare it for publication. But bynow it is possible to offer a connected translation of the Recto, and to graspthe hang and partially even the syntax of the Verso, although on that side theindifferent state of preservation will keep us reduced to guess-work on manydetails for so long as no parallel version in another language is found.

Cambridge.

Acta Antiqua Aeademiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


ILYA GERSHEVITCH

BEAUTY AS THE LIVING SOUL

IN IRANIAN MANICHEISM*

Th e one bu rn in g conce rn which perv ad ed all Ma ni ch ea n thinking , w as

the ca tast rop he which befel l th e Lig ht th at h ad gone fo rt h intend ing to de fe at

th e Pow er s of Da rk ne ss , b u t ins tea d was itself de fe at ed an d swallowed u p.

It is t ru e th at pl ent y more Lig ht was left in th e Hig hes t Heav en, th e

seat of the Father of Greatness. But the loss of Light had been of cosmic pro-

portions, and the Highest Aeons can have no peace until the missing Light is

restored to them, the Living Soul, the Anima Viva desperately longing for

libe rati on from ca pt iv it y in Da rk ne ss an d for re tu rn h om e. The whole of

Mani's highly elaborate system amounts to one gigantic rescue operation, of

th e Ani ma Viva suf fer ing to rt ur e in this dismal do ma in of Hy le in which we

live.

I must spare you to-night the Emanations, the cosmogony, the cosmol-

ogy, th e manu fa ct ur e of Man, all the devices aimed at th e rescue of the Li vin g

Soul. But we may join the Living Soul, or rather the particles of Light which

consti tute i t , at the moment when, from edible plants, cucumbers for example,

or th e whea t of which b re ad is mad e, the partic les of Li gh t pas s into the bodi es

of pure Manichean Electi engaged in eating cucumber or bread.

The Electi act as human filters for the particles of Light. As they eat

and digest the foods containing Living Soul, the latter escapes through their

bodies to the Column of Glory. Along that Column the particles of Light

mount from Earth to Heaven, invisible to the human eye despite their ascent

in column-formation, because they consist of nothing but light at its purest.Visibility inter vene s only when at the upp er end of th e Co lu mn the Mo on-sh ip

arr ive s and , visibly to all of us, fills up , over a per io d of fi ft ee n day s, wi th

part icles of Lig ht as th ey dise mba rk fro m th e Colu mn an d re- emb ark in th e

Moon-ship. When the Moon-ship is loaded, it takes its passenger-particles to

th e Sun-ship, for fu rt he r, final conveyance to the Re al m of everlast ing Ligh t .

Naturally the rearing of pure Electi was a crucial part of Mani's plan for

the liberation of the Living Soul. For only Electi were capable of acting as

* Lecture delivered in Budapest on 9 April 1976 at a meeting of the Society forAncient Studies, Professor J. HARMATTA in the chair.


8/15/2019 ACTAANTIQUA_28 (1980)


2 8 2 I . GERSHEVITCH

filters for the Light. But of course no Electus was pure and could act as filterif he himself should in any way have hurt or harmed the Living Soul, forinstance by cutting bread with a knife or, Heaven forbid, trampling on somecucumber in a field. In fact it was so risky to let him do anything to the

Living Soul other than eat it, that the whole preparation of food, from cultiva-tion of crops to the actual cooking of meals had to be left to the Auditores,the Manichean laymen.

These were not sufficiently pure to act as filters for the Living Soul. Butthey could nevertheless hope for salvation in the other world. Their impurityand their sins, including the dreadful one of hurting the Living Soul, would beforgiven them if they made sure that vegetarian food daily reached the mouthsand bodies of the Elect, so as to maintain a constant upward stream of liber-ated Living Soul along the Column of Glory.

This duty which the Manichean Auditors had, of feeding the Elect, andincidentally also clothing them and providing them with shelter, was knownunder the term of alms-giving or gift-giving. One third of every Auditor'sworking-day had to be devoted to alms-giving pursuits, in fields, workshopsor kitchens.

Of course also the Auditors ate. Their eating brought the Living Soul nodirect benefit. But for obvious reasons it was not considered sinful for themto eat, provided that they did not eat portions which they should have madeover to the Elect. If they did that, or indeed, if they fed Electi who wrongly

claimed to be pure, they became guilty of grievous sin against the Living Soul,consigning it to perdition at the very moment when it had reason to expectto be at last about to be filtered.

It was necessary to dwell on these details, because in the only survivingManichean fragment written in Bactrian language, which I am preparing forpublication and on which I had the honour to report here in Budapest a fort-night ago at an International Conference convened by Professor Harmatta,the remarkable sentence occurs, «and of grain he consigned to perdition thebeauty».

The Manichean text in question is a so-called Ruvänegän text, Ruväne-gän being the Iranian Manichean ter m for th e institu tion of alms-giving to theElecti on the part of Auditores. The statement I have quoted, «and of grain heconsigned to perdition the beauty», appears to have as subject an Auditorwho had been remiss in his Ruvänegän duties. What he consigned to perditionwas therefore the Living Soul imprisoned in grain. But it is of quite unusualinterest to find the Living Soul here being referred to under the simple nameof «Beauty».

You may of course say that I am wrong, and that the Bactrian wordwaß which I translate as «beauty», means something quite different. It is aBactrian hapax. Most Bactrian words of any interest are hapaxes.

Acta Antiqua AcademiueScientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


BEAU TY AS TH E LIVING SOUL IN IRANI AN MANIC HEISM 2 8 3

But waß is comfortably etymologized as corresponding to Rigvedicvapus «shape, bea utif ul shape, beauty» , which in Ave sta n occurs as vafuS.The Bactrian sentence therefore immediately reminds one of a suggestionoffered by the late Professor Henning to Mary Boyce and published by her in

1960, to the effect that the Middle Persian name xwSn of the Living Soulmeant «beauty». When after Henning's death in 1967 I enquired of ProfessorBoyce what reason other than etymological ho had given her, she thoughtnone, and even that subsequently Henning himself gave up the idea. Butnow that Bactrian waß seems to confirm its correctness, we have a morepressing incentive than Henning appears to have felt, to cast round our mindsin search of even further confirmation, that with any luck might clinchthe matter.

I believe such luck to have come my way, in the form of a reappraisal,

forced on me by waß, of the meaning of the names which the Column of Glorybears in Parthian and Sogdian. In Parthian texts the Column is called h'mcyhrg,in Sogdian texts "wkrSny. Both names are compounds, each having as firstterm the Parthian, respectively Sogdian, outcome of Old Iranian häma-, towhich in Greek etymologically corresponds 6/г о -. The second com poun d-te rm,cyhr in Parthian, krSn in Sogdian, means «shape, form, yoocprp). Accordingly itwas thought until now that in both languages the literal meaning of thecompound was «homomorphic», without any convincing explanation beingavailable as to why «homomorphic» should have become a technical term for

the Column of Glory. But you have now seen three distinct Iranian words for«shape, form» : th e Old Iranian vafuS whose Vedic equivalent in addition to«shape» meant «beautiful shape», and Parthian cyhr as well as Sogdian krSn,

adjectival derivatives of both of which mean «shapeLY, beautiful» by the samesemantic evolution as from Latin forma produced formosus. The Col umn ofGlory, as we saw, consists uniformly and exclusively of particles of Light whichare Viva Anima. But if that Light, if that Living Soul, was also called «Beauty»,then surely the yogcprj of the te rm «homo-morphic» st an ds for «shapeLIness»,and the name of the Column meant not incomprehensibly «homomorphic»,

but TRANSPARENTLY «that which evenly consists of Light», the term for«Light = Living Soul» here used be ing «Beauty».

We may now take it for granted, on the strength of Manichean writersin four distinct Iranian languages each applying to the Living Soul a term for«beautiful shape» peculiar to his own language, that really in Iranian Mani-cheism, and so far as the evidence goes only in Manicheism Iranian, the LivingSoul was regarded as sheer and exclusive Beauty. But to recognize this as afact means to reach the core of the problem. Why is the Anima Viva «Beauty»,an d wh y is she «Beauty» only in Manicheism Iran ian ?

There can be no doubt that the term «Living Soul» had been Mani'sown, coined by him in the Aramaic language of Babylonia in which he first

Acta Antiqua Academiae Scient iaruin Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


BEAUTY AS TH E LIVING SOUL IN IRANIA N MANI CHEIS M 2 8 5

but another word for «soul», grïw. Therefore all that Iranologists have sofarbeen able to suggest is that the term Ruvânegân alludes to «the spiritual wel-fare and salvation» of the Auditor who conscientiously performs his alms-giving duties.

This definition of the implicat ions of the term Ru vâ ne gâ n is certainly notincorrect, but it does by-pass what to my mind is a pointer to a more exactdefinition. This pointer I would recognize in the epithet hu-ruvän which inMiddle Persian Manichean texts is frequently bestowed on Auditors who excelin performing their religious duties. In his 1933 publications Henning trans-lated hu-ruvän as «gut-seelig», ref err ing to the Zor oas tri an, alr eady Ave sta nterm hurunya- of which Bart ho loma e' s exp lan ation reads : «Gutseeligkeit»,eigentlich Zustand eines *huruvan-, «des Seele gut ist». La te r, however, He nn ingnoticed that the Sogdian Manichees translated the Middle Persian term

huruvdn as if to them it mean t «soul-loving», which is wh y he himself in sub-sequent publications translated into English even Middle Persian huruvdn as«soul-loving». Yet there can be no doubt that a compound of hu- and ruvcincan strictly speaking mean only «he whose ruvän is hu-», never «he who is hu-towards his ruvän».

The catch, as I see it, lies in what has been done with hu- in this com-pound. Of course hu-ruvän can me an «des Seele gu t ist». Bu t if thi s was a ter mused already in Zoroastrian antiquity, in the same Avestan scripture whichtells us that a man who is good, hu-, in this world, will find in the other world

that his Daënâ is not good, ethically, but beautiful, aesthetically, visuallyattractive, then surely Avestan hurunya- is not the «Zustand» of one whosesoul is good, which in any case would be a pretty meaningless Zustand, but the«Zustand» of one whose Daënâ in the other world, whose picture of DorianGray in the locked room, is beautiful. In Avestan usage hu- can have eithermeaning : the name Hutaosä, for instance, means not «she whose thighs aregood», but «she who has beautiful thighs».

So we see that when Iranian Manichees, and quite likely Mani himself,describe dutiful Auditors as huruvän, th ey consciously or subconsciously fol-

lowed an age-old Iranian tradition we already find in primitive Zoroastrianism,which translated ethical goodness into physical beauty, which loved goodness,so to speak, with eyes.

Those of you familiar with Zoroaster's Gathas, will remember that incertain verses the prophet uses the term daënâ- interchangeably with the termurvan-. It is in fac t th an ks to this par tia l interc hangea bility t ha t we know t h a tto him already the Daënâ was a kind of soul. It has of course long been noticedthat etymologically daënâ- could ver y well belong to the root of Pers iandidan «to see», so t ha t one might reg ard a man' s Da ën â as a kind of Plat on ic

idea of him in the other world, his visible soul-prototype, the word «idea» alsobelonging to a base meaning «to see», vid-.

Acta Antiqua Academiae Scientiaruin Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 8 6 I. GERSHEVITCH

I would go further, and suggest that the confusion in modern discussionsof the term daënd-, which from oldest times down to the present also served asgeneral word for «religion», arises from there having existed in antiquity twohomonyms daënd- : one belonging to the base did- «to see» and denoting the

vis ible outline of a ma n' s soul ; th e other belonging to th e base of Sanskritdyáti «to bind», Greek dem, with suffix -ind-, and therefore quite literally mean-ing «re-ligio».

And to cap it all, I would add that it is not for nothing that up to nowno agreement has been reached as to what was the real original meaning of thepan-Iranian word for «soul», urvan-\ruvdn. We have been looking in the wrongdirection, seeking explanations in the light of our own experience with anima,spiritus, yvxp. But we are dealing with Iranians, who distinguished between thebreathing soul as principle of life, and the soul whose SHAPE they would see

in the other world. The most natural analysis of ruvän is that a suffix -an wasadded to a base г й -. And if you wan t a base г й - with a meani ng th at fi ts whatwe have seen to be characteristic of the Iranian VIEW of the soul, well, San-skrit has rilpa «shape, form» and «beautiful form», base г й - with suffix -pa.

Whether or not this etymology commends itself, there remains the factthat already to Zoroaster urvan- was a variant of daënd-, so tha t it is safe todefine the Manichean huruvän Auditors as laymen entitled to expect theirsouls, their ruväns, to look attractive. Our gain from this definition is that atlast we understand why to Iranians Mani presented the alms-giving institu-

tion under the name of Ruvânegân. The institution must have been a harshone for new converts to swallow. Laymen asked to toil and sweat for the Electmight well say «but what do we get out of it, are not the beneficiaries only thetheoretical Living Griw, and the lazy Elect, fed clothed and sheltered at ourexpense?» Mani's answer would set th em completely at r es t : «Oh no, it isnot only the far from theoretical Living Griw, pure divine quintessence torturedin the grip of dread Darkness, nor the far from lazy Elect distilling themselvesascetically to Filters, who benefit from your forced labour within the Ruvâne-gân institution. Not for nothing its name is Ruvänegän : each of you safeguards

his own ruvän by submitting to the institution's prescriptions and discipline.Just think, what CAN be more wonderful than union forever with a soul shapedby your own toil to breath-taking beauty, what CAN there be drearier thanet er na l union with her disfigured, allowed by your own neglect t o grow ugly ?»

But our now knowing, or at least believing that we know, why Mani calledthe alms-giving institution Ruvânegân, exposes us to the danger of incurringa fallacy in respect of the reason why he called the Living Soul «Beauty».Would it not be tempting to infer from this name that he had pressed to itslast consequence the Daënâ-myth : a good man finds his soul in the otherwor ld beaut ifu l ; bu t no huma n being is so good that his soul' s beauty willnot have to put up with some imperfection ; only God has goodness perfect ;


8/15/2019 ACTAANTIQUA_28 (1980)


BEA UTY AS THE LIVING SOUL IN IR AN IAN MANICHEISM 287

ergo the soul that is Beauty, par excellence, can only be God's own. If we wereto read such a reasoning into the wonderful name of the Anima Viva we havediscovered, we should soon find ourselves drowning in vertiginous Living-Soul/God-Soul/World-Soul speculations on behalf of Mani.

The reason for not drawing such inferences lies partly in its being grïw,and not dên (from daënâ-) or ruvan, which designa tes the Living Soul as «soul» ;but chiefly the reason lies in the fact that the soul which is called «Beauty», theLiving Soul, consists of Light. Up to now in this lecture we have been lookingexclusively in the Living Soul's being a soul, for an explanation of her name«Beauty». Although we did find an explanation, it would be rash to close theinquiry without asking also if perchance within Iranian tradition the AnimaViva might not deserve the name «Beauty» on account of her being LIGHT.

We shall do well to remind ourselves why she is Light. The difference

between Zoroaster's and Mani's dualism, to put it in a nutshell, is that Zoro-aster opposes Right to Wrong, while Mani opposes Light to Darkness. Zoro-aster's dualism is ethical, Mani's is optical. It is that by dint of his make-up,his genes, which even a prophet cannot escape. Mani's system is a cerebralelucubration, but its elucubrator was an artist, a visual artist. He did writebooks, but he also drew a picture book. In Persia, long after his writings wereforgotten, wiped out by Islam, Mani remained a household word for an artist,the prophe t survived as painte r. Combining these two vocations of his we mightcall him the prophet of chiaroscuro, inexorably fated to translate Zoroaster's

Right into Light.Having so translated it, what prompted him to call the lost particles of

Light, the ones swallowed up by Darkness, «the Living Soul» ? There is no prob-lem about «Living», Viva. The part icles were alive, Darkness had swallowedthem but not killed them. But why did Mani not call them «the Living Light»,which surely would have been, indeed is, their truest definition?

If it is only to Iranians that Mani gave «Beauty» as name of the LivingSoul, then he must have known that this name would spark off in their mindsthe recognition of a notion which the tradition of non-Iranians lacked. But

Mani was himself an Iranian. The notion in question was therefore one withwhich he himself had grown up. Might then not this be the notion which impel-led him, long before he turned to Iranians, while he was still addressing onlyBabylonians, to call the lost particles of Light not «the Living Light» but «theLiving Soul»?

The fact is that the requisite notion makes its appearance centuries be-fore Mani, in the A ves ta. I dealt wi th it a t some length years ago, in my Mi th rabook, totally unaware at the time of its relevance to Manicheism as disclosedby the Bactrian fragment. The Avestan notion is that light, more specifically

daylight and the sun inasmuch as he is daylight, is «the most beautiful crea-ture» and has «of (all) shapes the most beautiful shape».

Acta Antiqua Academiae Scientiaruin Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 8 8 I. GERSHEVITCH : BEAUTY AS THE LIVI NG SOUL IN IRA NIA N MANICHEISM

Light is Beauty without further qualification, absolute Beauty. Whatnotion can there be, more compellingly appealing to a prophet born painter.But the prophet in question, witness his use of the terms huruvän and Ruvä-п е д й п , was heir also to AN OT HE R notion : the more dutif ul the man, the more

beautiful his soul. In the HaSöxt Nask in fact the Daênâ meeting her deceasedparagon of virtue is said to be «in shape of the same beauty as the most beauti-fu l creature». The «most beautifu l creature» in the Avesta, we have jus t learne d,was Light. So an Avestan Daênâ, even though paired with a being no morethan human, was not below vying with the unsurpassably ravishing beauty ofLight itself !

Would not Mani have been familiar with the Avestan statements inpoint ? And if we are reminded of them on seeing him call «Beauty« the lostparticles of Light we were wondering why he calls «Soul», is this not because it

was he who had in mind these very same statements when he decided to callthe Light «soul»?

We have come round full circle. We started in astonishment at learningfrom the Bactrian fragment that Mani called the Living Soul, the lost particlesof Light, «Beauty». We looked for a reason, and found one. But the reasonboomeranged on us, and we end by discovering that it was BEAUTY whichinduced Mani to call the lost particles of Light «Living Soul» ! What we took foreffect has turned out to be cause : in Beauty Mani the painter saw the commondenominator of Light and Soul, through Beauty he merged them.

Such aesthetics of course do not mar, how could they, the ethics whichas a prophet Mani felt bound to uphold. They in fact greatly enhance theirappeal. It is Mani at his most beguiling whom Lord Henry unwittingly mimicsin his repartee : «I can't bear the idea», Dorian Gray tells him, «of my soulbe ing hideous» ; to which the percept ive Lord replies «A very ch ar mi ngartistic basis for ethics, Dorian.»

Cambridge.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


2 9 0 Vi. SUNDEBMANN

ff., und in seiner «Grammar of Manichean Sogdian», Oxford 1954, zu klären.Was aber war mit Hennings Manuskript geschehen? Sein Schicksal ist mirunbekannt geblieben. Ich muß gestehen, daß ich auch nicht systematisch ver-sucht habe, es aufzuklären, denn es erschien mir sowieso wenig sinnvoll, mich

an eine Arbeit zu machen, die Henning ohne Zweifel bereits früher viel bessergeleistet hatte.

Wenn ich mich nun doch entschlossen habe, an einem berufenen Ortmeine Vorstellungen von den beiden größten und wichtigsten Fragmenten,deren Hauptstücke M 112 und M 119 sind, 3 mitzuteilen, so 1. weil ich Gelegen-heit finde, das Urteil der Fachleute zu hören, 2. weil das Schicksal des wissen-schaftlichen Nachlasses Prof. Hennings nach wie vor unklar ist und dieExistenz eines von ihm ausgearbeiteten Manuskripts zweifelhaft zu sein scheint,u n d 3. weil jüngst in einer Reihe erschienener und noch unpu bliz iert er Arbei ten

die Geschichte des Manichäismus in Zentralasien und China mit wertvollenneuen Resultaten untersucht wurde, 4 für die auch die manichäisch-soghdischenBriefe, genauer gesagt : Hennings Angaben von 1936 über diese Schriften, einegewisse Rolle spielen. Ich meine, daß man heute einiges mehr dazu sagen kann,und da ich Zugang zu den iranischen Turfantexten habe, fühle ich mich ver-pflichtet, es auch zu tun. Ich tue es nicht, ohne dankbar anzuerkennen, daßes vor allem die Re su lt at e des wissenschaftli chen Leben swerke s W. B. Hen ningssind, die diesen Fortschritt ermöglichten. Henning und Gershevitch folgendbezeichne ich M 112 usw. als den ersten, M 119 usw. als den zweiten Brief.

Mit Henning betrachte ich die Schriftstücke als Briefe, wenngleich ihreForm dies nicht von vornherein erwarten läßt. Sie sind jedenfall keine leichterkennbaren Faltbriefe wie etwa die soghdischen Alten Briefe5 oder einige derMugh-Dokumente, sondern einseitig beschriebene Rollen. Sie sind auch nicht in

3 Vgl. dazu M. BOYCE : Ca ta logue [s. Anm. 1]. S. 10.4 P. ZIEME : Ei n uig uris cher Tex t über die Wi rts cha ft mani chä isc her K löst er im

Uig uri sch en Reich. In : Res ear che s in Altai c Lang uage s, Buda pe st 1975. S. 331 ff., Kon gShi-min ( Щ Й : Ш > 0 Щ З Ш /Й Ш с If- Ш SC f f b l Ш (Notes on an Uigur GovernmentCharter issued to a Manichaean Monastery), in : Kaogu Xuebao 4 [1978], S. 497 ff. (Eineneue Gesamtbearbeitung dieses wichtigen Textes wird gegenwärtig von mehreren Gelehr-t en vorb ereit et.), S. N. C. LIEU : A Laps ed Chinese Mani chae an's Corr espon dence wit ha Confu cia n Official in th e La te Sung Dyn as ty (1265) : a Stu dy of th e Ch' ung -Sh ou- Kun gChi by Hua ng Chen. In : Th e Joh n Ry la nd s University Li bra ry of Manchester 1977.S. 397 ff., ders. : The Religion of Light. An Introduction to the History of Manichaeismin China. Hong Kong 1979. Ders. : Polemics Against Manichaoism as a Subversive Cultin Sung China (A. D. c. 960 — c. 1200). In : The John Rylands University Library ofManchester 1979. S. 132 ff., ders. : Nestorians and Manichaeans on the South China Coast.I n : Vigiliae Christ ianae 34 (1980), S. 71 ff., bes. S. 75 mit An m. 23 a, de rs .: Pre cep tan d Pract ice in Manichaean Monasticism. In : The Jou rna l of Theological Studies NS32 (1981) S. 153 ff.

5

H . REICHELT : : Die soghd ischen Ha nd sch ri fte nre st e des Brit isc hen Museums . II .Heidelberg 1931. S. 5.

Acta Antiqua Academiae Seientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


PROBLEME DER INTERPRETATION MAN.-SOGHD. BRIEFE 291

der geläufigen soghdischen Schrift zu Papier gebracht, sondern in einer verein-fachten Variante der sonst der sakralen Literatur vorbehaltenen manichäischenSchrift. Was für Hennings Auffassung spricht, ist ihr Inhalt, und die formalenEigentümlichkeiten dürften sich so erklären, daß gewichtige und lange Schrei-

ben an hochgestellte Persönlichkeiten vorliegen. Da konnte man keinen all-täglichen Faltbrief schicken, sondern wählte die altehrwürdige Schriftrolle,und zwar nicht die Rückseite von chinesischen Texten sondern jungfräulichesPapier. Daher auch die Verwendung der manichäischen statt der soghdischenKursi vsch rift ." Die verfeinerte Fo rm der Schreiben ma ch t es auch un wahrs chein -lich, daß sie lediglich Entwürfe oder zum Verbleib beim Absender bestimmteAbschriften darstellen. Man kann daher von der Annahme ausgehen, daß ihrwahrscheinlicher Fundort Q0607 zugleich der Wohnort oder Amtssitz desEmpfängers war und nicht umgekehrt der Ort des Absenders. Inhalt und

Schrift sprechen auch für Hennings Charakterisierung der Briefe als Dokumentemanichäischer Herkunft. 8

Im folgenden gebe ich eine knappe Beschreibung dessen, was ich alsInhalt der beiden Briefe vermute und als Probleme erkenne. Meine Lesung undÜbersetzung des Textes ist diesem Aufsatz als Anhang beigefügt.

8 Vergleichbar d amit ist die an uigurischen B riof fragm ente n gemachte Beobac h-tung, daß amtliche Schreiben an hochgestellte Persönlichkeiten sorgfältiger ausgefertigtwerden al s Pr iv at br ie fe (S. TEZCAN U. P. ZIEME : Uiguris cho Br ie ffr agmen te . In : St ud ia

Turcica. Budapest 1971. S. 451 ff.). Was die Art des Briefverschlusses betrifft, so nohmendie Bearbeiter für längere Schreiben die Rollenform an (S. 452).7 Da sowohl M 112 wie M 119 alte, von F. W. K. MÜLLER gegebene M-Signaturen

haben, müssen sie von der ersten Turfanexpedition (Nov. 1902 bis März 1903) in Qo6ogef und en oder ge ka uf t worden sein (BOYCE : Catal ogue [s. An m. 1], S. X X I) un d mi tgrö ßte r Wahrs chei nlic hkei t der Rui ne A en ts tam men (BOYCE : ebd. Anm . 3). DieseAnnahme wird für M 112 aber durch den Umstand in Frage gestellt, daß das zugehörigeFr ag me nt M 162 a (BOYCE: ebd., S. 13) die Fun ds ig na tu r T I D 51 tr äg t, was dieMöglichkeit and ere r He rk un ft inn erha lb Qoöos offen läß t (BOYCE: ebd., S. X I I I ) . Wa sM 119 betrifft, so konnte ich auf dem in der Staatsbibliothek in Westberlin befindlichenOriginal sehen, da ß seine Rüc kse it e die alt e S ign atu r T I D I I a (so!), d. h. T I D, T I a,

trägt. Das Stück muß also während der ersten Turfanexpedition in Qoöo in der Ruine ageborgen worden sein. Damit stimmt überein, daß das zugehörige Fragment M 1226die Sig natu r T i n (BOYCE: ebd., S. 69), das ebenfalls zugehörig e Stück M 1867 dieSign atu r T I D (BOYCE : ebd., S. 82) tr äg t. Die da nn nahel iegen de An na hm e, da ßdas Gebäude a auch der Amts- und Wohnsitz jenes hohen manichäischen Geistlichenwar, an don die Briefe gerichtet wurden, ist verlockend aber nicht sicher beweisbar.Sie ist unwahrscheinlich angesichts der Erklärung der Ruine als Rest eines buddhisti-schen Heili gtu ms (A. v. LECOQ : Die buddhis tisch e Sp ät an ti ke in Mittelasien. Die rnani-chaeischen Miniaturen, Berlin 1923, S. 28 ff.).

8 Neu e Materialien [s. An m. 1], S. 16 ff. Die ein mal erwogene Alte rnat ivm ögli ch-keit , daß nestori anis che Briefe vorliegen (M. BOYCE : Ha nd bu ch der Orien tali sti k, 1.

Abt., 4. Bd. Iranistik, 2. Abschn. Literatur, Lieferung 1, Leiden Köln 1968, S. 73),trifft mit Sicherheit nicht zu.


8/15/2019 ACTAANTIQUA_28 (1980)


2 9 2 W. SUNDERMANN

Erster Brief

(Ein aus den nur teilweise zusammensetzbaren Stücken M 112, 146 a,162 a, 336 a, 336 b und 336 с bestehender Briefrest in Rollenform, die Rück-

seite trägt einen uigurischen Text in spätem Duktus.9

Über die Lokalisierungder Teile läßt sich nur sagen, daß M 146 a und M 336 с im mir vorliegendenText mit M 112 zusammengefügt sind und daß M 336 a in größerem AbstandM 112 usw. voranging. Wo M 336 b und M 162 a einzuordnen sind, ist unbe-kannt. In dieser Arbeit gehören die Zeilen /1 — 13/ zu M 336 a, /14 — 32/ zuM 112 + 146 a + 336 с , / 3 3 - 3 7 / zu M 336 b und /3 8 -4 0 / zu M 162 a.

Die geschichtlich bedeutsamste Aussage dieses Schreibens, von Henningbereits bekanntgemacht, 1 0 ist die Erwähnung der beiden Parteien der syrisch-manichäischen Kirche, der myhry'nd (Zeile 5) und mkl'sykt (Zeile 10), im ara-

bischen Text des Fihrist mihriya und miqläsiya.11

Es schein t, da ß de r soghdi-sclie Verfasse r eines ihre r Wor te — in mp. Spr ach e — zitiert, dessen unvo llstän -dige r Erha lt un gs zu st an d sehr zu bed aue rn ist. Es lautet in Zeile 3 : 'yg hm 'gdyn 'm'h hwm «der ganzen Religion/Kirche sind wir». Danach dürften dieSyrer, vielleicht insbesondere die in Zeile 5 genannten Mihryänd, als Sachwal teroder Sprecher der manichäischen Gesamtkirche aufgetreten sein, was insofernverständlich ist, als die Mihriya jene Pa rt ei der manichäischen Kir che Meso-potamiens darstellte, von der die Miqläsiya sich absp alte te un d deren Ober-haupt in Babylon seinen Sitz hatte. Da in Zeile 10 dann noch die Mikläsiktin unklarem Zusammenhang genannt sind, so scheint es, daß Anhänger beiderParteien sich damals in Zentralasien befanden. Der Briefschreiber dürfte aberwenig Unterschiede zwischen ihnen bemerkt und beide Gruppen mit derselbenGeringschätzung betrachtet haben. Seine Bemerkung in den Zeilen 11 — 12«den n von einem Gesetz un d einem Ursp ru ng . . . sind sie» lä ßt sich jedenfallsso deuten. Hennings allgemein akzeptierte Annahme, der Briefschreiber habeallein gegen die Mihriya polemisiert,12 ist nicht widerlegbar. Der Inhalt deszweiten Briefes spricht aber nicht für diese Auffassung (vgl. S. 297).

Von den zuvor genannten Syrern ist dann gewiß auch im folgenden er-haltenen Hauptteil des Briefes die Rede. Was zunächst gegen diese gedank-liche Einheit des Gesamtschreibens zu sprechen scheint, ist die Tatsache, daßdas Oberhaupt der kritisierten Gemeinschaft den persischen Namen Mihr-

9 M. BOYCE : Ca ta lo gu e [s. Anni . 1], S. 10.1 0 Ne ue Materia lien [s. Anm . 1], S. 16 ff.11 G. FLÜGEL: Mani, sei ne Lehr e und sei ne Sch rif ten . Leipzig 1862. S. 68. Z. 1.,

der Pl. al-maqâliça S. 68. Zeile 13 u. 15. vgl. Ki t âb a l-F ihr ist I. ed. G. FLÜGEL, Leipzi g1871. S. 335, Z. 19, 27, 29. The Fihrist of al-Nadim, ed. B. DODGE, Bd. II. New York,Lo nd on 1970. S. 793. Üb er die beiden Reli gio nsp art eie n vgl. FLÜGEL: Man i, S. 66 ff.,97 ff., Ki t a b al -Fih ris t I. S . 334, Z. 3 ff., DODGE : S. 792 ff.

12 Neue Materialien (s. Anm. 1), S. 17.

Acta Antiqua Academiae Scirntiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



pädär führt und daß die Electae dieser Gemeinschaft ebenso ôënâvarânc (Sg.)genannt werden, wie die Erwählten-Schwestern der zentralasiatischen Denä-warïya-Gemeinde. Aber beide Ei nw än de sind nicht zwingend. Ei n syrischerManichäer konnte ebensowohl Mihr-pädär heißen wie der Beg rün der der

Mihriya-Partei den persischen Na me n M ihr führte und der eigentliche Be-gründer der Miqläsiya Zäd-Hormezd hieß. Un d Begr iffe wie dënâwar unddënâwarîft haben die zentr alasi atischen Manichäer offenbar nicht zur Abgren-zung von ihren westlichen Glaubensbrüdern benützt und daher ihrer eigenenGemeinschaft vorbehalten. Wenn sie diese bezeichnen wollten, so sprachen sievon der Kirche von Churasan.13

Unter der Voraussetzung also, daß die Zeilen 14 ff. von den zuvor ge-nannten Syrern handeln, nehme ich an, daß der Briefschreiber nunmehr diehohen Ansprüche der Fremden kritisch an ihrem Glaubenswandel und diesen

an den Forderungen der fünf für die Elekten geltenden Gebote mißt. IhreTaten werden gewogen und zu leicht befunden.

Als erstes kommt das Zeile 13 genannte Gebot der «Wahrhaftigkeit»(räty'k cxS'pSS), also des Bekenntn iss es der manichä ischen Glaubenslehren,zur Sprache, doch das dazu Gesagte ist leider ganz verlorengegangen, was umso bedauerlicher ist, als es für eine genauere Kenntnis der Auffassungen von

Mihriya und Miqläsiya ohne Zweifel sehr bede utsam gewesen wär e. Mit Zeile14 ff. se tzt der Text des Briefes wieder mit ten im Zweiten Gebo t, pw 'z rm y'h«das Nichtverletzen», ein, in dem Taten einer oder mehrerer Erwählten-

Schwestern der angeklagten Gemeinde beschrieben werden, die der in den irdi-schen Elementen und Organismen verstreuten viva anima Leid und Schadenbereiten und die eigentlich nur von Hörern hätten verrichtet werden dürfen.Für alle Beschuldigungen werden Augenzeugen genannt, so daß die ungelieb-ten fremden Glaubensbrüder längere Zeit kritisch beobachtet worden seindürften. Da hat jemand gesehen, daß jemand pflanzliche Produkte abhieb unddaraus etwas nähte (Zeilen 15—16). Ein anderes Mal hat ihre Erwählten-Schwester mit einem Grabegerät den Boden bearbeitet (Zeile 18). Auch wurdevon den Beklagten Mehl gemahlen und Holz geschnitten (Zeilen 19—20).

Großen Raum (Zeilen 20 — 22) ni mm t die skandalöse Be oba ch tu ng ein, da ßihre Erwählten-Schwester einmal «Blut nahm» (xwrnyy "syyskwn, Zeile 21),was wohl dasselbe bedeutet wie п р . xün gereftan, wtl. «Blut nehmen», näml ich

" D y n 'y xwr's' n u. ä. in M 4 (f) / R / 1 0 - 1 1 / , M 82 /V/18—19/, M 83 /I/V/17/,M 190/4/, M 235/J/R/9/, M 494/3/(7), M 1368/4/, M 1863/14/. Dagegen finde ich parth.dy n' wr yf t nu r ein einziges Mal belegt in M 6020 /3/, pub l. bei HENNING : A Grain ofMust ar d. AIO N- L 1966, S. 30 f. HENNING erklä rt e seine do rt gegebe ne Über se tzung«the man who is in the Dênâvariyya» überz euge nd als Höre r der «(Easter n) Manichaeanchurch». Diese Selbstbezeichnung ist aber gewiß nicht als Parteienname zu verstehen,

der die eigene Gemeinschaft vom Rest der manichäischen Kirche abgrenzen sollte. Wennüborhaupt, so mochte sie der Abgrenzung gegen Christen, Buddhisten und andere dienen.

Acta Antiqua Academiae Seientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 9 4 W. SUNDERMANN

zu He i l z wecke n B l u t s ch r öp fen ode r zu r Ader l a s sen . 1 4 Di es ha be s ie ge ta n u n d

d a n n ve rwer f l i che rwe i se en "p y ' p ry w km ' sn ' y ys kw n , «m i t Wasse r das k m '

g e w a s c he n » . L e i d e r i s t k m ' e i n H a p a x l e g o m e n o n u n b e k a n n t e r B e d e u t u n g .

M an e rwar t e t , daß e s en t weder e i n von B l u t beschm i e r t e s ch i ru rg i s ches M esse r

o d e r d a s S c h r ö p f i n s t r u m e n t o d e r d i e b e i d e r B l u t e n t n a h m e e n t s t a n d e n e W u n d e ,v i e l l e i ch t auch e i n R e i n i gungs t uch 1 5 i s t . Das Abwaschen des B l u t es m uß t e dann

das Wasse r ve run re i n i gen , und eben d i e s wurde de r He i l p rak t i ke r i n vo rgewor -

fe n . Die Ank la ge s t i m m t übere in mi t de m, was wi r au s and er en Quel len üb er

d i e Ho ch ac h t un g u n d R e i nh a l t u ng des Wass e r s be i de n M an i ch äe rn wi s sen .1 6

14 J . A. RUBINÖIK : Per sid sko -ru ssk ij sl ova r' . I. Moskva 1970. S. 689 xûn gere/tanmed. «puskat' krov'». Das kann sowohl «zur Ader lassen» wie «schröpfen» bedeuten.So erklärt M. MO'ÏN : A Persian Dictionary I. Teheran 1963. S. 1464 х й п -д г г al s rag-zan,

fa??äd «Aderlasser», haffljäm «Aderlasser, Schröpfer». Im vorliegenden Text dürfte dasZeile 25 ff. beschriebene dreifache «Blut-Nehmen» aber eher ein Schröpfen als ein Aderlaßgewesen sein. Das Schröpfen (hetfämat) wird in Mo'in я W ört er buc h, S. 1341, so beschrie-ben : «Dem Körper wird so Blut entzogen, daß eine besondere Klinge ein Stück Hautzwischen den Schulterknochen aufschneidet und mit einem besonderen Instrument (dem'Schröpfhorn') die aufgeschnittenen Hautteile abgesaugt imd die genügende Menge Blutdem Körper entzogen wird.» Zu «Schröpfhorn» (Säh-e heijämat ) sag t Mo'in : «Das End -stück eines Rindshornes, dessen Inneres ausgehöhlt worden ist.» Beide Formen des Blut-entzuges haben in den Heilkunden des Orients eine alte Tradition. Für Indien vgl.J . JOLLY in : Gru ndr iß de r Indo-Arischen Philologie und Al te rt um sk un de . 3. Bd., H ef t10, Medizin. Straßburg 1901. S. 35, für die islamische Welt : M. ULLMANN : Die Medizin

im Islam . I n : Ha nd bu ch der Orientalistik. 1. Abt ., Er gb d. 6, 1. Abs chn . Leiden, Köln1970. S. 16. Auch in Zentralas ien mu ß der Blu ten tzu g prakt izi er t worde n sein, wie austür kis che n Text en he rvo rge ht (vgl. R. MÜLLER : Ein Be itr ag zur ärztlichen Gra phi kaus Zentralasien (Turfan). In : Archiv für Geschichte der Medizin 15 (1923) S. 21 ff.,G. R. RACHMATI : Zu r He il kunde der Ui gu re n. II . SPAW Ph il. -hi st. Kl. 1932. X X I I .Berlin 1932. S. 419).

15 Darf in diesem Fall np. kamä «a sleeve ; old cloth sewed toge the r, whereon breadis laid to be bake d in the oven» (F. STEINGASS: A Compr ehen sive Pe rs ia n- En gl is hDictionary, London 1963. S. 1046) verglichen werden 1

18 Die «große griechisch e Abschwörungsformel » sagt den Manichäe rn d as Ve rbo tnach, «ihien Schmutz mit Wasser abzuwaschen, damit nicht, wie sie sagen, das Wasser

befleckt wird» (Die Gnosis III, Der Manichäismus, unter Mitwirkung von J. P. ASMUSSENed . v. A. BÖHLIG. Zü ri ch , München 1980. S. 299, Te xt be i A. ADAM : Tex te zum Mani-chäismus. Berlin 1954. S. 100, 114 f.). Daß der Besuch der öffentlichen Bäder denManichäern grundsätzlich als verwerflich galt, folgt auoh aus Augustine Beschuldigung :«Multi in vino et carnibus, multi lavantes in balneis inventi sunt» (De М о г . Ma n. , K a p.19, 68, in : Patrologiae cursus eompletus, sor. latina prior. Bd. 32, Paris 1861. Sp. 1374).Umg eke hrt verleiht die erörterte Briefstelle einer Mitteilung Li Chao's (^ -Щ ) in seinemTang guo shi bu (ffj-Щ ^ -j(|[]) (l .H t. des 9. Jh .) Gewicht, wonach die Manichäer das Wasser«verehrten», vgl. ED. CHAVANNES un d P . PELLIOT : Un Tra it é Man ichéen r et ro uvé enChi ne (deuxième pa rt ie ), in : JA 1913, S. 268. Die Ric ht igke it von «ils respectent»hatten die Autoren wenn nicht zurückgewiesen, so doch in Zweifel gezogen und gemeint,

daß de r Text ur sp rüng li ch «sie trinken» ge ha bt hab e (ebd., S. 274 An m. 3). Vgl. auc hS. 349 Anm. 2.

294 Acta Antiqua Aeademiae Scientiarum Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



Wenn die Fremden ihre Electa mit der Entschuldigung verteidigen, sie habeBrun nenw ass er genommen u nd dies sei tot , d. h. wohl, es ent ha lte nich tsvon der Lebendigen Seele, so wurde dies in Mittelasien zweifellos als Beweisfür die Laxheit der Moral der Syrer aufgefaßt. Uns erinnert es aber auch an

die wichtige Scheidung zwischen stehendem und fließendem Wasser beim Tauf-ritual der Mandäer,17 so daß sich in dieser Haltung der beschuldigten Erwähl-ten-Schwester vielleicht eine altererbte, unter den mesopotamischen Täufernverbreitete Auffassung kundtut. Eine Verletzung des Zweiten Gebotes ist esauch, wenn Heilpflanzen zerstoßen und Feuer gelöscht( ?) werden (Zeilen 22 —23).

Die Zeilen 24 ff. bis zum Ende des Fragments behandeln Verstöße derSyrer gegen das Dr it te Gebot, d yn cy hr yf t cxs'pSS, «Religionsmäßiges Verhal-ten», d. h. keuscher, ja streng enthaltsamer Lebenswandel in sexuellen Dingen.

Was der Briefschreiber hier vorzubringen hat, sind Klatsch- und Tratschge-schichten reinsten Wassers, deren Wichtigkeit für den Manichäer strikterObservanz aber durch chinesische Nachrichten über die radikale Trennung derGeschlechter bei den manichäischen Klerikern verdeutlicht wird.18 UnserBriefschreiber nun weiß von Mihr-pädär, dem Obe rha upt (s'r'r) der inkrimi -nie rt en Gemeinde (Zeile 25), zu beri chten, da ß er eine Loh nm ag d (z' k'n ckr'y'nc) zu sich kommen ließ und mit ihr hinter verschlossener Tür alleineblieb, damit sie sein Fußleiden durch Blutentzug, d. h. wohl Schröpfen, heile.Die eigenen Electi Yazd-Aryämän, Drist-RöSn, Mihr-Wahman und Wahman-

Säh stellten darauf das Mädchen zur Rede, das sich aber nicht bußfertig zeigte,sondern sogar erwiderte, sie müsse noch ein weiteres Mal zu Mihr-pädär gehen(Zeilen 25-29).

Eines anderen Verstoßes gegen das Dritte Gebot machte Mihr-pädärsich schuldig, als er einen heftigen Streit zwischen einer Dienerin und einerErwählten-Schwester seiner Gemeinde dadurch gewaltsam schlichtete, daßer die Dienerin am Arm packte und somit körperlich berührte (Zeilen 29 — 31).

Bedenken wir, daß noch das Vierte und das Fünfte Gebot behandeltworden sein dürften, so muß der Brief ein sehr umfangreiches Sündenregister

enthalten haben, aus dem hervorging, daß eine tiefe Diskrepanz zwischen denhohen Ansprüchen der Syrer und ihrem Glaubenswandel bestand.

17 K. RUDOLPH : Ic onogr aphy of Religions X XI . Man dae ism . Le iden 1978. S. 8.18 Vgl. besonders, was Lu У м (1125—1209) in seinem Lao xue ang bi ji

als Meinung der Anhänger der «Religion des Lichts» (d. h. der Manichäor) in Fu-Kienzu dieser Frage mitte ilt : «Qu'h ommes et fe mmes ne soient pa s séparés, voilà ce q uiest démoniaque ; qu'hommos et femmes ne se donnent rien en se touchant la main, voilàla [ règle de la ] rel igion de la lumière» (CHAVANNES—PELLIOT : Trait é I I . [s. Anm. 16],

S. 342 mit Anm. 2, Text S. 343). Vgl. auch ebd., S. 353 f., 362, LIEU : Polemics againstManichaeism [s. Anm. 4], S. 153.

Acta Antiqua Academiae Scieniiarttm Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 9 6 W. SUNDERMANN

Zweiter Brief

(Ein aus den Stücken M 119, 119 a, 119 b, 1225, 1867 a und 1867 b

b e s t e h e n d e s , e i n s e i t i g b e s c h r i e b e n e s R o l l e n f r a g m e n t , 1 9 dessen Zeilen sich wie

fo l g t zu sa m m en se t z en : / 1 —4 / : M 1225, / 4 — 6 / : M 119 a , / 5 - 1 9 / : M 119 , / 1 8 — 19 / : M 18 67 b , / 1 9 — 21/ : M 1867 a , / 1 9 - 2 0 / : M 119 b . D e n s e l b e n D u k t u s

und Ze i l enabs t and ha t e i n k l e i nes , d re i Ze i l en res t e um fas sendes Fragm en t

T I I I D 271 K , d as ni c h t im K a t a l o g vo n M. Bo yc e er sc he in t , hier M 119 с

g e na nn t . Se ine zwe i t e Ze i l e l au t e t ßyy&ty [y] k r j w( rz . . . ) . I m Geg ens atz zu

an de re n S t ücke n des zw e i t en B r i e fes t r äg t M 119 с au f s e i ne r R ückse i t e u i gu r i -

schen Text , doch sch l ieß t d ies Zugehör igkei t n ich t aus . Nur e in Tei l des Br iefes

k ö n n t e j a z u r W i e d e r b e s c h r i f t u n g v e r w e n d e t w o r d e n s e i n .

Als Sprecher e iner von Zwis t igkei ten zer r i s senen Gemeinde wenden s ich

de r ode r d ie Schr e ibe r de s zwei ten Br i ef es an e ine hoch ges t e l l t e , nur xy pS 'w nd«He rrs che r» gen an nt e (Zei l en 5, 14), hö fl ic h ßy «Herr» an ge re de te (Zei le 5)

Per sön l ic hke i t . Die Sch wie r ig kei ten s ind of fe nb ar so gro ß gew ord en , da ß s ie

d e r B e a c h t u n g d e r a n g e r u f e n e n A u t o r i t ä t a n e m p f o h l e n w e r d e n , d a m i t s i e

Schl immeres verh indere (Zei le 7 , 17) .2 0

Für wen der Br iefschre iber s ich verwendet , wi rd in den Zei len 10 , 11

u n d 12 gesag t . Es s i nd m ' x xw ys t r t «unsere Oberen» u n d ' s kw nc yk t xw ys t r t

19 Vgl . M. BOYCE : Ca ta lo gu e [s. A n m . 1]. S. 10.20

Fr m' y "m s' 'k ty y bzw. "m s' fr m' y ' krty y. HENNING ha tt e zuvor den Sinndes Satzes dahingehend zusammengefaßt, daß «der Erzbischof» die Missetäter verwarnenund ihnen anbefohlen solle, «den früher in diesem Lande so angesehenen religiösen Ober-häuptern die gebührende Achtimg entgegenzubringen (Neue Materialien [s. Anm. 1],S. 16), hatte frm'y also im üblichen Sinne als «befehlen» verstanden. Eine Bedeutung«Gehorsam, Gefolgschaft» f ür "m s' vora usges etzt, erschien mi r diese Auff assun g sinn-voller als jene von I. GERSHEVITCH, der «please, pay obedience» übersetzte (A Grammarof Manichean Sogdian. Oxford 1961. § 1682). Ich war daher Henning in der ursprünglichenFa ss un g dieser Arbeit gef olg t. MK und SW belehren mich jedoc h mi t Rec ht, daß " ms 'tatsächlich «Beobachtung, Aufmerksamkeit» bedeutet, MK u. a. mit Hinweis auf A. N.RAGOZAS Sogdijskie fragmenty [vgl. Anm. 1], Nr. 37, Z. 18, SW u. a. mit Hinweis aufHENNINGS rich tigs tell ende Über set zun g bei J . P. ASMUSSEN : X° äs tv än if t. Stud ies inManichaeism. Copenhagen 1966. S. 238, Anm. 6. Die zutreffende Bedeutung von chr.-soghd. 'ms' wn- «faire attention, observer» dürfte E. BENVENISTE als erster festgestellthaben (JA 239 [1961], S. 118), der das Wort mit parth. pdms- «verstehen» und pdm's«Verstand, Urteil» verglich. Die von MK erwogene Herleitung von *ä-\-mn-sko- ist dam itgu t vere inba r. Zur Et ymo lo gi e von " ms ' vgl. weiter hin D. WEBER : Die Stellung dersog. Inchoativa im Mitteliranisehen. Göttingen 1970. S. 102 f. Wenn aber in den frag-lichen Briefstellen zur Aufmerksamkeit aufgefordert wird und nicht zum Gehorsam, sogewinnt die von GERSHEVITCH vertretene Auffassung von frm'y als einer höflichen Bittesehr an Wahrscheinlichkeit und ist mit MK und SW gewiß zu bevorzugen. Daß sie imSoghdischen nicht unbelegt ist, betont SW mit Hinweis auf VJ, Z. 179, M 617 Д / V/ 8/in GMS §§ 733 und 927 u nd a uf С 2/13. V 15 in seiner noc h unged ru ck ten Arbeit überdiese Handschrift, wo fr](m)'(y) qty «please do (it)» syr. s'wr «do (it,)» entspricht.


8/15/2019 ACTAANTIQUA_28 (1980)



«die gegenwärtigen Oberen». Offenbar wird ihr Schicksal mit dem einiger frü-herer Lehrer und anderer Electi verglichen, von denen es heißt, daß ihnenLehrer und Bischöfe der angeklagten Partei «auf den Kopf gestiegen» seien(pr . . . sry . . . st ty , Zeile 18, [p rw] . . . sryy . . . st 'n d, Zeile 19 — 20). Hi er

liegt wohl eine idiomatische Wendung vor. Wenn ein Vergleich mit np. bar sarämadan «superare ; ince men tum aff err e, augere ; elevari»,21 wtl. «auf den Kopfkommen», erlaubt ist, so könnte dies bedeuten, daß die Vertreter der Gegen-partei jenen der eigenen an die Seite getreten sind, sie vielleicht auch überwun-den, bedrängt oder verdrängt haben, ihnen jedenfalls mancherlei Schwierig-keiten bereitet haben. Daß mehrere Lehrer der eigenen Partei erwähnt werden,darunter ein Newänzädag (Zeile 19), ver die nt Herv orhe bung .

Wer ist die Gegenpartei, die zum Gehorsam gebracht werden soll? DieZeilen 15 ff. nennen und bewerten sie. Es heißt da : «Dieser schmutzigen und

gemeinen Syrer Brauch und Kunst ist so : in Spaltung und Streit sind sie er-fahren [und] geübt, denn 'geistige Spaltung' herrscht hier.» Die wesentlichenTeile dieser wichtigen Stelle hatte Henning schon 1936 bekanntgemacht. 2 2

Sie lassen erkennen, daß es Glaubensgenossen fremder Nationalität, Syrer,d. h. Manichäer aus Mesopotamien, waren, die Unruhe stiftend bei ihrenzentralasiatischen Glaubensbrüdern auftraten. Daß tatsächlich die als Gegenerder eigenen Geistlichen genannten Persönlichkeiten Syrer gewesen sein können,wird durch den syr. Namen Gavryav (Zeile 19, auch bereits Zeile 3) bestätigt.Auch der Bischof ktwn' könnte einen syrischen Namen getragen haben

(Zeile 20). Dagegen führten die Lehrer Saxtôê (Zeile 20)23

und Mähddd (Zeile18) persische Namen. Die den Syrern pauschal vorgeworfene Streitsucht be-zieht sich wohl auf die Auseinandersetzung zwischen Mihriya und Miqläsia,deren Parteien der erste Brief nennt. Es scheint also, daß die wegen ihres laxenGlaubenslebens angeklagten Gegener des ersten Briefes derselben Herkunftsind wie die Unruhestifter des zweiten Schreibens. Ich habe auch den Eindruck,daß beide Briefautoren den Parteiungen der syrischen Glaubensbrüder mitgleicher Distanz gegenüberstehen (vgl. S. 292). Sie sind nicht Mihryänd und Mikläsikt, ihre Pa rte i ist eben die Kir che von Chu rasa n, die die westli chenManichäer als Dënâwarïya bezeichn eten. Den Gegnern schreibt der zweiteBrief die änigmatische Behauptung zu : «Die Oberhäupter steigen ein wenigemp or, u nd d an n steigen sie wieder hi na b. . .» (Zeilen 16—17). Pr ob le ma ti sc hist an diesem Satz fas t alles, 'yw p'z ky ' wurd e bisher m. W. nicht belegt. 24

Was aber bedeuten «hinauf-» und «hinabsteigen»? Mein Erklärungsversuch

21 J . A. VULLERS : Lexicon Pors ic o-L at inum. I. Bo nn 1855. S. 51.22 Ne ue Materia lien [s. An m. 1]. S. 16.23 Zu diesem Namen vgl. F. JUSTI : Iranisches Namenbuch. Marburg 1895. S. 280

s. v. Saxtöyeh.24 Vgl. An m. 47 zum Anh an g I.


8/15/2019 ACTAANTIQUA_28 (1980)


298 W. SUNDERMANN

setzt voraus, daß beide Verben eine Art Wechselbewegung bezeichnen, undferner, daß sie die den manichäischen Elekten vorgeschriebenen beständigenReisen im Dienste ihrer Religion,25 ihr Kommen und Gehen von Ort zu Ort,zum Gegenstand haben. Chinesische Quellen bezeugen sie für China ausdrück-

lich un d sprechen von einem Ko mm en aus der Fremd e und einer R üc kk eh rin den Heimatort. 2 6 In Zentralasien dürfte es nicht anders gewesen sein. AberAuf- und Absteigen ist nicht Kommen und Gehen. Beide Bewegungen könntennur unter der Bedingung identisch sein, daß das Reiseziel hoch über dem Aus-gangspunkt der Reise lag oder eine idiomatische Verwendung der Worte nach-weisbar ist. Es lassen sich verschiedene Situationen denken, in denen dies zu-trifft, z. B. : wenn die Reise vor der Seidenstraße im Einzugsgebiet des Tarimaus über den Tien-Schan in das Uigurische Steppenreich führte. Die Turfan-oase etwa liegt 154 m unter dem Meeresspiegel, während die höchsten Gebirgs-

gipfel bei Urumtschi die 5000 m-Grenze übersteigen. Eine Reise in dieser Rich-tung ist in der Tat ein «Hinaufsteigen». 27 Aber es könnte auch anders gewesensein, wenn «hinaufsteigen» z. B. das Gehen in eine Metropole bezeic hnete . Sollteeine derartige idiomatische Wendung in dem manichäischen Brief vorauszu-setze n sein, so würde da s Aufsteigen der Syr er ihre An ku nf t in der Ha up ts ta dtdes Uigurischen Steppenreiches oder in Qoco oder in der Hauptstadt einesanderen Kleinstaates an der Seidenstraße, ja vielleicht sogar Chinas bedeuten.Wie Th. Thilo mir mitteilt, ist es im Chinesischen üblich, das Gehen in dieHauptstadt als «Hinaufgehen» zu bezeichnen, das Gehen aufs Land als «Hinab-gehen». In der meinem Vortrag folgenden Diskussion bestätigten mir auch J.Harmatta und I. Gershevitch, daß Bewegungen nach und von Budapest, bzw.in englische Universitätsstädte oder aus ihnen fort in analoger Weise bezeich-net werden, und es ließen sich gewiß noch weitere Beispiele in anderen Spra-chen finden.

25 Vgl. ED. CHAVANNES u. P . PEILIOT : Un T ra it é Manichéen r et ro uv é en Chine.JA 1911. S. 572 f.

2e Vgl. den Komme nta r des Hu Sanxing — Vf ) zum Zi zhi tong jian ( 'ici ilfi j g )(1285) : «Les gra nd s [religieu x] manic héen s . . . n e fo nt la voyage qu 'u ne foie en plusie ursannées pour venir de leur pays d'origine ou y retourner ; les petits [religieux] alternentch aq ue année» (CHAVANNES— PEHLIOT : Tr ai té I I [s. Anm. 16], S. 266 mit An m. 2, T ex tS. 267). Seine Quelle, Li Chao's Tang guo shi bu (vgl. An m. 16) wird so zit iert : «Lesgr an ds [religieux] manic héens . . . ne se rem pla cen t qu 'au bout de plusieurs années,all ant d ans le roy aum e de Milieu et en rev ena nt ; les pet its [religieux] alte rnen t chaq ueannée.» Vgl. auch LIEU : Polem ics against M ani chae ism [s. An m. 4], S. 145 f.

2 ' Vgl. A. v. LECOQ (in entgegeng esetzt er R ic ht un g reisend) : «Nachdem wir da sGebirge [bei Urumtschi] durchquert hatten, stiegen wir in die merkwürdige Niederungvon Tu rf an her ab, . . .» (Auf Hellas Spuren in Os tt ur ki st an , Leipzig 1926. S. 35). Zu s oghd .sn- «besteigen» vgl. z. В . С 87 = T I I I В 6 14 / б / [qw] (y)ry s'r snnt cn zyrny py d ' [ r ] «aufden Berg steigen sie des Goldes wegen».


8/15/2019 ACTAANTIQUA_28 (1980)



Welche Sachvorhalte wir auch immer hinter den Worten des Briefes ver-muten mögen, daß «herauf-» und «hinabsteigen» in diesem Fall dasselbe wie«kommen» und «gehen» bedeutet, ist sehr wahrscheinlich, und der fraglicheSatz könnte besagen, daß die syrischen Gäste zur Beruhigung der Gemüter

behaupteten, sie würden, gewissermaßen ihrem ambulanten Lebensstil ver-pflichtet, nicht für immer bleiben, und sie kämen in der besten Absicht, dasWohl der Kirche zu mehren (Zeile 16 — 18). Es ü ber ras cht freilich nicht, da ßder Verfasser des zweiten Briefes ihnen mißtraut. «Dies Wort ist ganz ver-derblich», sagt er (Zeile 17). Er befürchtet also, daß die unverträglichen Syrersich für die Dauer in der Gemeinde einnisten und sogar die Gewalt an sichreißen werden. Dies sagt er offenbar in den Zeilen 9 ff.: «Sie steigen empor undverm isch en sich mit uns, un d es wird einige Ja hr e da ue rn , . . . . nach( ?) d emWillen der gegenwärt igen Oberen wird es sein, . . . unge setzl icher und unze iti-

ger Befeh l wird zu den gegen wärt ige n Obere n emp or ko mm en . . . [Je ne] , dieihre Spione waren,28 werden fest an die Stelle unserer Oberen treten und unser. . . Un d sie werde n die Ha rt -B ed rä ng te n in ihrem Selbst zer brec hen un d den

Obe ren große No t b ereite n u nd im Bl[ ut . . . ihre Hä nd e (? )] was che n. . .».Als ein schlechtes Beispiel, das Schlimmeres befürchten läßt, scheint sodannin mir unklarem Zusammenhang das Wirken eines gewissen Yazd-Mäh ge-nannt worden zu sein (Zeile 14).

Diese Syrer also waren dabe i, du rc h aufsässige St re it su ch t die Au to ri tä teines zuvor etablierten Gemeindeklerus zu untergraben. Was sie behaupteten,

muß im verlorenen Anfang des Briefes gestanden haben. In den erhaltenenTeilen ist, wenn meine Textergänzungen zutreffen, lediglich von w'xst ckstyt«häßlichen Worten» (Zeile 7) die Rede. Ein weniges wissen wir von deren Inhalt,wenn die Behauptung auf einem dem Fragment M 119 a zugefügten Etikettzutr i ff t ,2 9 da ß dies die rec hte Eck e von M 119 bilde, und zw ar o ff en ba r so, d aßM 119 a /2/ den Anfang der ersten Zeile von M 119 darstellt. In diesem Fallhätte jemand behauptet : nwm p8k' mn(') I mywn xcyy «das Gesetz ist mirebenso.»30

28 Meine Über se tz un g fo lgt GERSHEVITCH : Gr am ma r [s . Anm. 20] § 1679.29 Vgl. M. BOYCE: Cat alo gue [s . Anm. 1], S. 10.30 I m y wj i zu ma n.- soghd . ' yw mywn, da s vo n GERSHEVITCH : Gr am ma r [s. An m.

20] § 1317 «altogether» übersetzt wird, dazu buddh.-soghd. 'yw my'wn (E. BENVENISTE :JA 1936. S. 218) und christl.-soghd. 'yw mywn, als dessen Bedeutung N. SIMS-WILLIAMSin seiner noch unpublizierten Edition der Sammelhandschrift С 2 «like» nachweise nkonnte (Anm. zu p. 65 /V/21/). Die Bed eu tu ng des Aus dru cke s ist gleichwohl fragl ich.SW erw äg t «The law is the same for mo (as for you)». Sollte aber eine der Sond erbe de ut un gdes deutschen «gleich» im Sinne von «egal, gleichgültig» entsprechende Entwicklung auch

fü r das soghdische Wor t an gen omm en werden dür fen, so ergäbe sich die pro voka tori scheFeststellung «Das Gesetz ist mir egal» [Vgl. aber S. 309, Anm. 31.].


8/15/2019 ACTAANTIQUA_28 (1980)


300 W. SUNDERMANN

Nach dieser Beschreibung der Gegenpartei läßt sich das über die eigenenOberen Gesagte noch etwas konkretisieren. Sie waren keine Syrer sondernoffenbar Iraner, Soghder oder Perser, wie mindestens aus dem Namen Nëwân-

zädag (Zeile 19) hervorzugehen scheint.

Man wird dem Verfasser des zweiten Briefes Betroffenheit von einemschwerwiegenden gesellschaftlichen Problem nicht absprechen, wie immerman seinen Standpunkt beurteilen mag. Aus dem ersten Brief läßt dieser Ein-druck sich nicht unmittelbar gewinnen. Im übrigen aber haben beide Schrei-ben so viele Gemeinsamkeiten, daß die Annahme, sie seien gleichen Alters undhandelten auf ihre Weise von denselben Dingen, gestattet ist. Die noch offenenFragen, wann, von wem und an wen die Briefe geschrieben wurden, sollten da-her für beide Dokumente im Zusammenhang zu beantworten versucht werden.

Wann wurden die Briefe geschrieben? Zweifellos, wie bereits Henning

betonte, nach der Entstehung der Mihriya- und Miqläsiya-Y&rteien der meso-potamischen Manichäer, d. h. nach dem Zeugnis des Fihrist allerfrühestensin der 1. Hälfte des 8. Jahrhunderts. 3 1 Ein terminus ad quem läßt sich wenigerleicht gewinnen. Für Henning war er durch die Rückkehr der Miqläsiya zur Mihriya gegeben, die e tw a 880 erfolgte. 32 Henning selbst betonte jedoch dieUnsicherheit einer solchen Zeitbestimmung. Die Möglichkeit fortdauernderParteienkämpfe, zumal im fernen Zentralasien, ließ sich ja nicht ausschließen.33

Epigraphische Gründe sprechen nach Henning für eine Entstehung der Schrei-ben frühestens um die Mitte des 9. Jh. 34 Mir selbst erscheint in diesem Zusam-menhang der rein iranische Charakter der Briefe hervorhebenswert. Ihre Spra-che ist soghdisch, nicht türkisch. Die genannten Personen tragen iranischeoder syrische Namen. Nirgendwo stößt man auf einen türkischen Namen oderein türkisches Wort. Die geläufige Sprache mindestens des Adressaten inQoco, vielleicht auch des Absenders, wahrscheinlich aber jene des Briefschrei-bers dürfte also die soghdische gewesen sein.

Bedenkt man, daß die Vernichtung des Uigurischen Steppenreiches durchdie Kirgisen im Jahre 840 zur Auswanderung uigurischer Stämme nachOaochang, Oanzhou und in andere Gegenden Chinesisch Turkistans führte unddamit zur schließlichen Turkisierung dieser Gebiete,35 so erscheint eine Datie-rung der Briefe vor Mitte des 9. Jh. oder doch nicht viel später sehr wohl mög-lich.

Der Schriftduktus widerspricht nicht dieser Möglichkeit. Als Briefemochten sie in einem vereinfachten Stil geschrieben worden sein, neben dem

31 Neu e Mater iali en [ s. An m. 1]. S. 17.32 Neu e Materi alien [s. Anm. 1]. 8. 17.33 Neue Materialien [s. Anm. 1]. S. 17 Anm. 4.34 Ne ue Material ien [s. An m. 1]. S. 17 An m. 4.35 Vgl. A. V. GABAIN : Da s Lebe n im uigurische n Kön igre ich von Qoèo, Wi esbaden

1 9 7 3 . S . 1 9 , С Н А VANNES — P E L LI O T : T r a i t é I I [ s . A n m . 1 6 ] . S . 3 0 7 .


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


302 W. SUNDERMANN

der Hörer gewesen sein. Die manichäische Schrift hätte er dann zwar schwer-lich beherrscht, doch könnte er seinen Brief ja diktiert haben. Der erste Briefdürfte durchaus demselben Milieu entstammen. Mehrfach ist in ihm von Electiund Electae die Rede, ohne daß der Verfasser sich ausdrücklich einer dieser

Gruppen zurechnet.Die hier behandelten Dokumente sind «Privatbriefe» genannt worden.40

Das trifft insofern zu, als sie keine Staatsschreiben darstellen. Im übrigenhandeln sie aber von Gemeindeangelegenheiten öffentlichen Charakters.

Worin liegt die Bedeutung der Briefe für die Geschichte des zentralasia-tischen Manichäismus ? Zweifellos in der Bezeugung syrischer Manichäer inZentralasien, in den Informationen über sie und über ihr Zusammenleben mitAngehörigen der zentralasiatischen Dëndwarïya-Gemeinde. Syrer werden sieim zweiten Brief genannt, von den Mihrycind und Mikläsikt, die in Mesopo-

tamien zu Hause waren, spricht der erste. Aber dies bedeutet wohl mehr, daßman es mit Fremdlingen aus Süristän, d. h. Mesopotamien, zu tu n ha tt e. DieNamen der gegenerischen Partei sind weitgehend persisch (vgl. S. 297). Persischsind aber auch die zitierten Worte der Gegner, und schließlich haben sich lite-rarische Nachweise einer Präsenz manichäischer Syrer in der Turfanoase bis-her nicht gefunden. Der schon Flügel aufgefallene beträchtliche Anteil irani-scher Manichäer am Parteienkampf der mesopotamischen Kirche dürfte hiereine Bestätigung finden.41

Bisweilen wird das Erscheinen syrischer Manichäer in Zentralasien auf

Manichäerverfolgungen im islamischen Gebiet zurückgeführt.42

Dem Eihristzufolge geschah in nachsasanidischer Zeit die erste große Flucht der Manichäeraus Mesopotamien nach Churasan unter dem Druck der Verfolgungen al- Muqtadirs zu Anfa ng des 10. Jh. 43 Es liegt nahe, das Vordringen der manichäi-schen Syrer nach Zentralasien dann mit diesem Ereignis zu verbinden und indas 10. Jh. zu datieren. Sprache und Inhalt der Briefe sind damit aber nichtvereinbar, die wie oben gezeigt, ein höheres Alter erfordern.

Tatsächlich hat G. Vajda eine lange Zanädiqa-Verfolgung, die auchManichäer erfaßte, in der Zeit von 163 d. H. (779/80) bis 179 (795/96) und auch

noch in den folgenden Jahren nachgewiesen.

44

Mit den oben gemachten Datie-rungsversuchen ist dieses Ereignis als Auslöser der Flucht von Manichäernbesser vereinbar als die Verfolgungen unter Muqtadir.

40 M. BOYCE: Cat alo gue [s. An m. X]. S. 148. Ha nd bu ch der O rien tal ist ik (s.Anm. 8). S. 73.

41 Mani [s. Anm. 11]. S. 322.42 LIEU : Ne stor ia ns an d Mani cha ean s (s. An m. 4). S. 75.43 FLÜGEL : Mani [s.Anm. 11]. S. 77, 105 f., Kitâb al-Fihrist I [s.Anm. 11]. S. 337.44

Die Zindlqs im Gebiet des Islam zu B egi nn der 'Abbasi denz eit, in : Der Mani-chäismus. Ed. G. WIDENGREN. Darmstadt 1977. S. 426.


8/15/2019 ACTAANTIQUA_28 (1980)


PROB LEME DER INTE RPRE TATIO N MAN.-SOGHD. BR IE FE 30 3

Daß die syrischen Manichäer im Gebiet der ihnen entfremdeten oderfernstehenden Dênâwarîya-Gemeinde Zuf luch t suchten, könn te abe r auchdur ch die folgenschwere Beke hrun g des Chans des Uigurischen Steppe nreiche s Bögü-qayan in Lo-y ang im Ja hre 762/63 zum manichäischen Glauben mot ivi ert

gewesen sein.45 Sie führte nachweislich zu einer Reihe von Missionsreisenmanichäischer Geistlicher durch die uigurischen Lande, von denen die Zeilen8 bis 10 der chinesischen Version der Inschrift von Qara-Balgasun (um 810)4e

in der Übersetzung von Ed. Chavannes und P. Pelliot folgendermaßen berich-ten : «[Le qaghan] emmena quatre religieux, dont Щ -Q. Jouei-si, et les int ro-duisit dans son royaume ; ils développaient et exaltaient les deux sacrifices47

et pénétraient profondement les trois moments. D'ailleurs le maître de la Loiét ai t merveilleusement instru it da ns la doctrine de la Lumiè re et com pre nai tparfaitement les sept ouvrages. Ces capacités étaient plus hautes que le pic

maritime ; son éloquence était comme une cascade. C'est pourquoi il put initierles Ouigours à la vra ie relig ion. . . Le roi de la religion, a ya nt appr is que[les Ouigours] avaient accepté la vraie religion, loua fort leur respectueuse. ..[vertu], conduisant des religieux et des religieuses, entra dans le royaumepour y rép and re et y exalte r [la religion]. Ensuit e la foule des disciples dumou-chö parcourut les pays en tous sens de l'Est à l'Ouest et alla et vint enprêchant la religion.»48

Danach müßten mehrfach, mindestens drei Mal, verschiedene Gruppenmanichäi sche r Glau bens bote n in da s uigurische Reich gekomm en sein : 1. vier

Missionare, die Bögü bei seiner Rückkehr aus Lo-yang begleiteten. In unkla-rem Zusammenhang mit ihrer Reise wird das Wirken eines «maître de la Loi»erwähnt, 2. ein «roi de la religion» mit Electi und Electae, 3. viele Schüler eines«Lehrers», die von Ost nach West das uigurische Reich durchdrangen. In dem«roi de la religion» (j^EE fa-wang) sahen Chavannes und Pelliot «le chef suprêmede la religion manichéenne», der lange in Babylon residierte. 49 Sollte dies zu-treffen, so hätten wir den Beweis in der Hand, daß die Bekehrung des Uiguren-chans und seines Volkes zum Erscheinen manichäischer Missionare aus Meso-potamien in Zentralasien führte.

"V g l . z. B. A. v. GABAIN : Da s uiguri sche Königreic h von Chotscho 850—1250.SDAW, Kl. f. Sprachen, Lit. u. Kunst 1961 Nr. 6. Berlin 1961. S. 24.

16 L. BAZIN in Philologiae Turcic ae Fu nd am en ta I I. Ed . L. BAZIN U. a. Wi esba de n1964. S. 205.

" D a z u s. CHAVANNES—PELLIOT : Tr ai té II [s . An m. 16]. S. 190 An m . 2. LI EU :Polemics against Manichaeism [s. Anm. 4]. S. 156 Anm. 6.

48 CHAVANNES — PELLIOT : Tr ai té I I [s. Anm . 16]. S. 190 ff. Der ganz e Te xt beiG. SCHLEGEL : Die chinosischo Ins ch ri ft auf dem uigurischon D en km al in Ka ra Bal gas -

sun. Holsingfors 1896. S. 43 ff.48 Vgl. CHAVANNES—PELLIOT : Tr ai té I I [s . An m. 16]. S . 195 An m . 1.

Acta Antiqua Academiae Scieniiarttm Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


304 W. SUNDERMANN

Aber dies ist nicht mehr als eine Hypothese. Daß der «roi de la religion»der Archegos der manichäischen Kirche in Babylon sei, geht aus dem chinesi-schen Text selbst nicht hervor. Man könnte in ihm auch den Lehrer der Kirchevon Churasan in Qoco oder einen anderen Lehrer vermuten. Nichteinmal die

Richtigkeit der Lesung fa-wang «roi de la religion» da rf als völlig sichergelten. Eine Lesung fa-zhu ( j ^ ï ) «chef de la Loi» würde fa st gleich geschrie-ben.5 0 Sollte fa-wang im Te xt stehe n, so wär e nach seiner gen aue n Bed eu tun gals manichäischer Terminus zu fragen. Daß der Begriff nicht ohne Kenntnisseiner Verwendung im buddhistischen Sprachgebrauch, nämlich als Äquiva-lent von aind. dharmaräja und Bezeichnung Buddhas51, gebraucht wurde, istsicher. Als ein manichäischer Kleriker dürfte der fa-wang e tw a da s sein, was diesoghdischen Manichäer mzyx Synmyc srSng «das große Oberhaupt der Kirche»nannten. Wir wissen aber nicht, ob dies der Titel eines bestimmten Würden-

trägers war oder ob er von vielen geteilt wurde.Auf Grund der hier vorgetragenen Erwägungen halte ich es für möglich,

daß die soghdischen Briefe die folgenden historischen Situationen vorausset-zen : Entweder : Die Bekehrung der Uiguren zum Manichäismus führte dazu,daß am Ende des 8. und zu Beginn des 9. Jh. soghdische Manichäer in das Uigu-rische Steppenreich zogen, um die heidnischen Türken zu bekehren und einemanichäische Kirche zu begründen. Manichäer aus Mesopotamien, die in ihrerHeimat Verfolgungen ausgesetzt waren, folgten ihnen, um am Werk und seinenFrüchten teilzuhaben. Sie gerieten bald mit ihren soghdischen Glaubensbrü-

de rn in Konf lik t. Diese riefen den Bei st an d des Lehrer s in Qoco an. Oder :Die Existenz eines manichäisch-uigurischen Staatswesens in Qoöo zog in der2. Hälfte des 9. Jh. manichäische Geistliche aus Mesopotamien an, die sich inden Hauptorten der kleinen Staaten an der Seidenstraße niederließen und mitder ansässigen, noch soghdischen Geistlichkeit in Konflikt gerieten. Der Lehrervon Qoöo als Primas des manichäische Klerus in Zentralasien wurde von denSoghdiern um Beistand angerufen.

Berlin.

5 0 С Н А VANNES —PELLIOT : Tr ai té II [s. A n m . 16]. S. 192 A n m . 1 un d Tr ai té I

(s. Anm. 25). S. 581 Anm. 4.5 1 Vg l . SCHLEGEL [S . A n m . 48 ] . S . 64 .


8/15/2019 ACTAANTIQUA_28 (1980)


PROBLE ME DER INTE RPRET ATIO N MAN.-SOGDH. BR IE FE 305

ANHANG I

ED IT ION DER B R IE F E 1 und 2

Erster Brief

III [ ]nd(s)kwn w(n)[ ] /2/ [ ]' kw w Sstww δ [ ]

/3/ [ ] 'yg h m' g dyn 'm'h hwm /4/ [ ](c) m 'x ßyrw'n mwj'(k) /5/ [ ](w)m' t 'nd myänd (my)hry'nd kr t r ty( ' ) 1 /6/ [ ]m 'xsy tm 'n Syn'ßrt 't y 'wr8 p(') [r] /7/ [ Sy]nS'ry' cxä'pSS t' p yy /8/ [ ]m'y zym ny xy ' 't y /9/ [ ](. )dyy 't y xwp m' xt ys yy /10/ [ ](. )ky y en mk l' sy kt yy /11/ [ ](. ) p ' r t y I pSkyy I 'w st ny y /12/ [ ](x)nd ο p' rt y prw nm w pr cxs'pSS /13/ [ 'f]( tmww )2 p rw r st y' k ο χ §'ρ δ δ

[Lücke von unbestimmter Weite)

(14/ [ ]wyy δ 7 η ' [ β τ (? ) ] /15/ [ 3 - 5 ](c)[ 10 -1 5 δ yn '] -

(ß)[r']nc [ 'p](r)[y](w)( ?)3 wyyn kt wys'ndy [δ 7 η ' β ' η ο ] /16/ [ 2 - 4 ]p 'xw'y

('t)[y 8 — 10 ](.)swnrô'rt4 ο t ym m'x 8yn'ßr'[nc wyyn kt wy§ndy]5 /17/i^yn'](ßr')nc xwsyc[e 5 - 7 p]rsm'skwn( ?) ο ms "z 'd dwx t (xypδ ) [ 8 —

— 12 ] /18/ [ 2 - 4 pw ] (ry)st( ?)7 w'nw wyn'nd kt wy[S'ndy]8 δ yn'ßr'nc tsycqny' tyy 't y z'y kn('sk )[wn] /19/ [ 1 2 - 1 6 ](rwrt)t9 nxw(')[yn](ds)kwn ο

' ty ms δ 'rwk 'ty p' st ' t 'snds(kwn) /20/ pww pcqwyr ο ty m ms m'x δ yn'ßr'ät

w'nw wyn'nd kt c'nw wys'ndy δ yn'ßr'nc /21/ xwrnyy "syyskwn cn "pyy'pryw km' sn'yyskwn 'ty m'x δ yn'ßr'st nxrysndskw(n) /22/ wys'nd w'nwp'tcynyy kwn'nd kt c'tyk "p mwrtyy xcyy m'yδ δ p c'y tt ο ' ty ms /23/ rwr'

x(w)tyy(?) nxw' y'nd skwn ' ty "t(r) xwt yy 'wst'n dskw n ο ' tysn prywy 8

w'xs yw'(n)[ ' t y] /24/ kmb wn yy ny y sm'r'n dskwn ο ο 'rt y ty m

dyncyhryf t cxs'p δ δ yy w'xä xcyy /25/ xwycq 'ty pww sf'r ο p'rt ysn [s](')r 'r

kyy myhr p'd'r 1 0 xcyy xwycn 'k wm' t 't y sy /26/ c's'r p δ yk r'f wm' t 'ty I (z)-

1 G e r s h e v i t c h las kr tr ty y (GMS § 249 Anm . 1). Vom le tzt en Buch stab en ist n ur

ein oberer Rand erhalten, der zu einem y oder ' gehören könnte. Ein ' würde den amZeilenende zur Verfügung stehenden Raum besser füllen als ein y.2 Spitze eines t, oberer Ra nd de s m mi d obere Teile der l etzt en Buchsta bon erh alt en.3 Pu nk t über dem r erhalten, w durch R iß im Papier zers tör t.4 Der dem ä vorangehende Buchstabe könnte ein w gewesen sein, also '](w)Swm8'rtî5 Meine Erg änz ung modifizierte inen Vorschlag von SW, Syn'ßr'[St wyn 'n d k t ]

zu losen, mit dem Ziel, das erwartbaro Possessivpronomen wyê(')ndy in der vorhandenenLücke unterzubringen.

• Die GMS § 1012 erwogene Möglichkeit, xwëycq zu lesen, wird durch den erhal-tenen Text ausgesclilossen, der die Form des finalen c deutlich bewahrt.

7 Kopf un d Pu nk t des r erhal ten, y vers ehrt, auch w möglic h.8 So wahrscheinlicher als wyS'nd (SW).9 Nur rt t sicher erkennb ar.

10 Li /25/ wie mwh r p ' d' r geschrieben , in /30/ deu tl ich myh r, so daß das , wasin /25 / wie der Aufs tri ch eines w auss ieht , in Wi rklich keit da s linke unt ere E n d eeines m ist.

2 0 Acta Antiqua Academiae Scientiarum Hungaricae 28, 1UH0

8/15/2019 ACTAANTIQUA_28 (1980)


3 0 6 W. SUNDERMANN

[ ' ] ( k ) ' n c k r ' y ' n c w n y y s ' r t y s ' t y y y r t r n y j t y m [ ' x ] / 27 / s y t m ' n y y δ β η ' p t y y ' p

c ' n w x w n y y k r ' y ' n c n y j t y y ' t y S y n S ' r t n y x y ' k w n ( ' ) n d ' t y / 2 8/ k r ' y ' n c k w w

y z d ' r y ' m ' n d r y s t r w s n m y h r w h m n ' t y w h m n ä 'h s ' r w ' n w wy t wS ' ( r ) [ t ] / 2 9/ k t

I I p r w r t y y p s y y S ß r y ' x w r n y y " s t w w 1 1 ο ' t y t y m I p r w r t y y " s m k ' m ο m s

m y § ( n ) [ d y ] 1 2 / 3 0/ x y p S I ' s p ' s k r ' n c δ η I a y n ' ß r ' n c ' p r y w y ' r " 8 w ß p 8 w ß[ w ] ( ß ) ' 1 3 ' t y m y h r ρ ' δ ' ( γ )

1 4 / 3 1 / s ' r ' r w n y y ' s p ' s k r ' n c ß ' z ' n y y ' s ' t y c n y ' ry y

w y x n § ο ms xz 'n y ' t y h /32 / ( )

{Zeilenfragmente unbekannter Zugehörigkeit) /33/ [ ]( .) [

/ 3 4 / [ ] ( c w ) x t [1 2 ] ( · β ) [ ] / 35/ [ ] p y r n m

p r w xyp ( e ) [ ] / 36 / [ ] ( . ) r t kw ny s k w n ( w ' ) [ ]

/ 3 7 / [ ] ( s ) t y ο t y ( . ) [ 2 - 4 ] ( . ) ' d [ ]

Zeilenfragmente unbekannter Zugehörigkeit ) /38/ 8y n ' ß( r) [ ]

/ 3 9 / nw m p δ k ' [ ] / 40 / [ 1 - 3 ] ( p s ' ' ) [ ]

Erster Brief (Übersetzung)

/ ! / [ ] z u r H a n d [ ] d e r g a n z e n K i r c h e s i n d w i r . [

u n s e r * g l a u b e n s s t a r k e r 1 5 Le h r e r / 5/ [ ] wa re n d i e s e An h ä n g e r M ihr s

11 Ni cht "s tw (GMS § 690).12

Er gä nz t gem äß GMS § 1396 (Hi nwei s von SW).13 In GMS § 463 p8 wß (s )\ D as Wor te nd o ist durc h ein Lo ch im Papi er zer stör t,das breiter ist als ein s. Von dem so gelesenen Buchstaben ist nur die linke obere Spitzeerhalten. Daß sie spitz ausläuft und nicht rund ist, spricht aber für· β s tat t s .

"Vgl. Anm. 10.15 ßyrw'n in /4 / und im z weiten Brief /18/ ist un publ izi ert wieder holt belegt :

M 635 /I/V/ 6—7/ 'r ty 'yS ßyr w'n pr[ n] (x )w nd yy w m' t kyy «Und diese r glückselige ß.war (es), der . . .», M 4436/16/ ßyrw'n 'ft'(g)['n] «der ß. Bischof» oder «Bischof β .», M 6673

/ 5 / ] ynyy ßyrw'(n) «dieser ß.». Ist vayruwän appellatives At tr ib ut oder Eigennam e ?Ich halte die erstere Möglichkeit für die wahrscheinlichere, da man ungern einen namens-gleichen Bischof und Lehrer annehmen wird, während andererseits dieser Name nichtsic her bezeugt zu sein scheint. Da ß die Wort stel lung m' x ß. mw j' k st at t m' x mwj 'k ß.oder ß. m'x mwj'k gegen die Annahme eines Eigennamens spricht, betont mir gegen-über SW. Vayruwän lä ßt sich en twed er als «eine Gottess eele (habe nd)» (d. h. «göttlich» Î)

verstehen oder «eine Seele (wie der Gott) Vay (habend)» oder als Zusammensetzungmit der unbezeugten soghd. Entsprechung des mp. belegten Wortes bg «*sicher» (Mir.Ma n. II , S. 338), womit au ch par th . (und mp. ) 'bg «*unoasy, nervous» (H e nn i ng , BSOS 9[1937], S. 80) verbunden wird und wozu H. W. Bailey chot.-sak. bagalagvä «gallants»( ?),oss. bägu «surely» usw. (Dictionary of Khotan Saka, Cambridge 1979, S. 264) stellt.Zugunsten der Ubersetzung «eine Gottesseele habend» ließe sich auf die Bedeutung dessoghd. Personemiamens ßyyfrn, ßyyprnw «God-luck» (I. Gershevitch, TSP 1945, S. 139,D. Weber, IF 77 [1972], S. 196) hinweisen. Die letztgenannte Möglichkeit erscheint miraber doch etwas überzeugender, wenn man ß. als Appellativum und nicht als Eigen-namen auffaßt. Jedenfalls verbinden sicher deutbare Komposita mit ruwän als Zweit-bestandteil dieses Wort m. W. mit Adjektiven oder gleichwertigen Präfixen : mp. anöSru-wän «mit unste rbl ic her Seele», d. h. «seelig verschieden», huruwän «gutseelig», d. h.«fromm», parthT. duiruwrïnïjt «Übelseeligkeit», d. h. «Sch lech tigk eit, Gottlosigkeit ».(Eine Verkürzung von AnöSruwän ist nach Ph . Gio nü ux , Par ole jde l 'Orient 6 — 7

[1975—76], S. 522 syr. Sirwän.) Un te r diese r Vora usse tzun g sollte auc h im Fal l vonßyrw'n Zusammensetzung mit einem Adjektiv erwartet werden.

Acta Aruiqua Academiae Scientiamm Hunçaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


PROBLEME DER INTERPRETATION MAN.-SOGDH. BRIEFE 307

*Tätig[keit( ?) ie ] all unsere Erw äh lte n und darü berh inau s [ ]Erw ähl ten sc haf t, Gesetz, Siegel [ ] wir beganne n *Nachforsch ung17

un d [ ] un d gu t ? 18 /10/ [ ] die von den An hä n-

gern des Miqläs [ ] de nn von einem Gesetz und einem Ur sp ru ng[ ] sind sie. Denn in Gese tz un d Gebo t [ ] Als erstes : Gegendas Gebot der Wahrhaftigkeit [sündigen sie

(Lücke)

[abhieb und [Electa ?

] /15/ zusam men mi t der Ele ct a sah, da ß ihre [Elect a ]]nähte. Wiederum [sah] unsere Elec[ta, daß ihre]

[p]reßte.19 F ern er sahen die jungfräulichen ( ?) [ Töc hte r]der Äzäd-duxt, da ß ihre Electa eine *Hacke 20 nahm und Erde ausgrub. [ ]

" Krtrty' in /5/. Zur Lesung vgl. Anm. 1. GERSHEVITOH übersetzte «insidious,cunning» (GMS § 249 Anm. 1). Für die Bedeutung des Wortes als ein negatives Adjektiveprechen die Parallele n M 133 /R/i/1 8—19/ yrf qr jr ßjyqt ny zß 'n yy j «many c unni ng,sin ful passions» (GMS § 1668) un d M 69 12 /3 / qr tr t Syw t «listige Dämo nen ». Damit un ve r-einbar ist aber die Verwendung desselben Wortes in dem christl.-soghd. Text С 3 =T I I В 35 + T II В 14 с /R/ 13—15 / s ' t wySnt byy ptr y nbn tcy q qrtr t 'nt 'St 4 frySt ytkrwbyt w sr'pyt 4 s't (s)p'dy'nt qy sqwnt sm'ny sqys'r «alle diese bei Gott dem Vaterbefindlichen k. Scharen und Engel, die Cherubim und Seraphim und alle Heerscharen,di e über dem Himmel weilen». Hier liegt eine Übersetzung «mächtig, stark, aktiv, lob-haft» nahe, die fü r gut e und böse Wesen zutreff en kann . Dies vorausgesetzt, be tra cht etSW qrtr als soghd. Entsprechung von parth. kyrdyr, mp. krtyr usw. «If these derivefrom *k(a)rtrya- (with SZEMERÉNYI) there is probably no phonetical problem, cf. wytr

(3 sg. impf.) < *wi-a-tryat». Zu sogh d. -ír < -fya vgl. genorell GMS § 185. Wie P r of .Hotbach am 2. 10. 1980 in Budapest mitteilte, konnte er den Namen krt'yr in einerder soghd. Shatial-Biidge-Inschriften lesen. Beide Schreibungen, krtr und krt'yr, sindunter der Voraussetzung vereinbar, daß sie für kartlr stehen.

17 Ny xy ' i n / 8 / un d/ 27 /. HENNINGS Übers etzun g «Sorgsamkeit, Aufmer ksamk eit»(BB, S. 86 zu 727, S. 104 zu f. 56) erfaßt gewiß jene Bedeutung des Wortes, die der imvorliegenden Text vermuteten Wiedergabe durch «Untersuchung, Nachforschung» zu-grunde liegt.

18 M' xt ys yy in /9 / ist, wie die Verl äng eru ng der unterzoiligen Hori zont alen des X unt er die folgenden Buchstaben erkennen läßt, ein Wort. Seine Bedeutung «Mondein-gang» o. ä. und seine Form (Ohl. ?, -aka — Erweiterung ?) sind unklar. Sollte der astro-logische Eigenname einer Person vorliegen ? (Etwa : geboren zur Zeit des Eintrittes desMondes in sein «Haus», oder : zur Zeit des Eintrittes des Mondes in seino Planetenstunde.)Besteht vielleicht sogar eine Verbindung mit dem etymologisch nicht ganz klaren per-sischen Frauennamen Mahsatï o. ä. (vgl. F . MEIER : Die schö ne Mah sat ï I. W ie sb ad en1963. S. 43 ff.) ?

19 Die Er gä nz un g «sali» und die für das Vers tänd nis des ganze n Satzes ents chei -dende Beziehung von [p]rsm'skwn auf «ihre Electa» statt auf «unsere» verdanke ich SW.

2 0T6ycq in /18/ wurde von HENNING ursprünglich «spade» übersetzt (GMS § 1012),später von ihm aber, worauf MK mich hinwies, mit chwar. tèyckyk «axe» verglichen(Z. V. Togan'a Armagan, Istanbul 1956, S. 435). Wie MK mir weiterhin aus seiner Kennt-nis des Chwar. mitteilt, entspricht np. qadüm, têëa «adze». E r fol gert : «If th e K h w a r .is a dim inu tiv e in -' k, th e Sogd. word — a tool for digging, ra th er t ha n cu tti ng — willbo a ,mattock, Hacke'.» Bestätigend kann auf das etymologisch verwandte np. têëa hin-gewiesen werden, das «Beil» und «Hacke» be de ut et (STEINGASS : S. 342). Daz u geh ör taber auch paschtu tiyàëo «plough-share», d as G . MORGENSTIERNE : An Et ym ol og ic alVocabulary of Pashto. Oslo 1927, von *taëyâ- ableitet und mit np. têëa vorgleicht, sowiewakhi tië «ieleznyj nakoneönik pachotnogo orudija, kovanyj soänik, lemech» (A. L.GRJUNBERG— I. M. STEBLIN-KAMENSKIJ : Vaehanskij jazyk. Moskva 1976. S. 473). Ange-sichts der Ähnlichkeit von primitivem Holzpflug («Hackenpflug») und Hacke (vgl.


8/15/2019 ACTAANTIQUA_28 (1980)


308 W. SUNHERMANN

He i lp f l a nz e n z e r s toß e n si e un d sc hn e id e n a u c h ohne Sc he u Holz und *Ge rä t . 2 1

/20/ F e r n e r s a h e n u n s e r e E l e c t a e a u c h , wi e ih r e E l e c t a B l u t • s c h r ö p f t e 2 2 (und)

mi t Wa ss e r da s ? 2 3 wusc h . Un d un se r e E le c ta e t a de l t e n s ie , s i e ga be n

z ur Antwor t : «Brunne nwa sse r i s t t o t , so i s t e s ge s ta t t e t . » Und a uc h He i lp f l a n -

zen zers toßen s ie se lbs t , und das Feuer löschen s ie se lbs t ( ? ) .24 U n d sie se he n in

die ser Sach e n ic ht Sün de noch Mang el . — U n d fe rn er : Z u m Geb ot des re l i -

g io nsm ä ßi ge n Ve rha l t e ns i s t da e ine Sa c h e , /25/ o f f e n ba r un d sc ha mlos . 2 5

D e n n i h r O b e r h a u p t , w e l c h e s Mihr-pädär 26 i s t , war kr an k, e r ha t t e e in Le id en

un te r de m Fu ß , un d e in ge mie te t e s Mä d c he n 2 7 t r a t be i ih m e in , un d sp ä t e r g in g

s ie h i na us . Un s a l le e rg r i f f Ver dach t , 2 8 a l s j e ne L ohnd ie ne r in 2 7 he r a usg ing ,

A. NEUBURGER: Die Tec hni k des Al te rt um s. Leipzig 1919. S. 86) übe rra sch t es ni ch t,daß Hacke und Pflugschar mit etymologisch verwandten Begriffen bezeichnet werden,

Da ß die Electa sich also einer Hack e bediente, dü rf te MK mit Re ch t anne hmen. Wenndie mit dem Gerät ausgeführte Arbeit ein regelrechtes Graben war (kan-), so läßt sichan eine «Grabhacke» (ketman) der Art denken, wie sie bis in unsere Zeit in Chinesisch-Tu rk i st an beim Auss cha ch ten d er Er de in Ge br au ch sind (vgl. L. GOLOMB : Die B ode n-ku lt ur in Ost -Tur kis tan . Posieux , Ereiburg/ Sehweiz 1959. S. 61, 63.). Die Elec ta kö nn tedie Hacke dann etwa für Arbeiten an einem Bewässerungskanal verwendet haben. Solltekan- hier aber in freierer Verwendung nur eine Lockerung des Bodens bedeuten, so wäreeher a n eine Spi tz hacke zu denke n (GOLOMB : aa O. , S. 63).

21 P'St' in /19/, vgl. GMS §§ 973, 1268, ein hölzernes Gerät nicht genau bestimm-barer Bedeutung, zu buddh.-soghd. p'Styt (PL.), vgl. HENNING : BSOAS 11 [1946] S. 728.

22 Oder : zur Ader ließ. Zur Bedeutung vgl. Textanmerkung 14.23 Km' in /21/, vgl. dazu Textanmerkung 15.24 " t r . . . 'ws t' nd sk wn in /23/, wtl. «sie setzen das Feuer». Zur Be deu tun g vgl.

das np. âteë neSändan «to ext in gu ish a fire», wtl . «Feuer setzen», vgl . STEINGASS : S. 13.

SW gi bt a ber zu be de nk en , da ß " t r . . . 'wst - im Soghd. viellei cht auc h «light a fire»bedeuten könne, denn «this may have been regarded as an improper activity for electi,since it would cause pain t o the fuel». Ich mein e, da ß auch diese Möglichkeit in B et ra ch tgezogen werdon muß, zumal für die Manichäer das Feuer eine aus oinom guten und einembösen Element bestehende Erscheinung war.

25 SW schlägt vor : «In the matter of the commandment dyncyhryjt it ( = th e Syr .community) is open and shameless». Wenn, wie SW mit Recht betont, pww äf'r nur«schamlos» bedeuten kann, so erinnert die Begriffsverbindung xwycq 'ty pww sf'r anpw äß' r r' zy h in Or. 8212 /83, Zeile 6 (bei N. SIMS-WILLIAMS : I I J 18 (1976), S. 49), da sSW zweifelnd so gelesen und «without shame (or) secrecy» übersetzt hat (aaO. S. 50Anm. 33). Xwycq 'ty pww Sf'r durfte also in positiver Wendung dasselbe besagen unddamit für die Richtigkeit der Lesung von SW sprechen.

23 J e n achdem, ob ma n pädär als Ableitung eines nomon actoris von pädan«schützen» oder pädan «verweilen, warten» au f fa ß t (MACKENZIE : S. 62), ließe dor Nam e

Mihr-pädär (in /25/ un d /30/) sich sinnvoll als «Beschützer der Fr eu nd sc ha ft , Liebe/ desVertrages» oder als «(wie/in/durch) Mithras beständig», vielleicht, falls pädär auch «Die-ner» sein konnte, als «Diener des Mithras» auffassen. Kaum denkbar ist «Beschützer derMithras». Wenn Mihr selbst Name ist, so wäre zu fragen, ob hier eine Gottheit gemeintist (mpT. spiritus vivens, parth T. der legátus tertius als Sonne ngott ) oder der Begr ünd erder Mihriya-Partei der meso pota misch en Mani chäe r, der auch Mihr hie ß (vgl. S. 292).

27 Z' k' nc kr 'y 'n c in /26/, kr' y'n c in /27/ un d /28/. Kr 'y 'n c ist gewiß nicht von np.keräye «hire, price pa id for labour , fare , ren t» (STEINGASS : S. 1020) zu tr enne n, d as a lle r-dings m. W. nie die gemietete oder entlohnte Person bezeichnet. Das Verhältnis zwischennp . keräye und soghd. kr 'y 'n c dür fte daher dassel be wie etwa zwischen einem Ort snam en(*KäS «Kaschghar») und einem fem. Zugeh örigk eitsa djekt iv (q'ti'nc «Kachgarienne») sein,vgl. GMS § 1048. Danach ließe sich auch eine mask. Adjektivbildung *kr'y'ny «gemietet,entlohnt» vorstellen.

28 Sßn' hier ehor «Verdacht» als lediglich «Mißtrauen», wie SW mir gegenüber mitHinweis auf HENNING in BSOAS 11 [1946], S. 719 und soino eigene, noch unpubliziorteArbeit über die christl.-soghd. Handschrift С 2 be tont .

Acta A ntiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



und d ie E lec t i s te l l ten e ine *Nachforschung 1 7 a n . U n d d i e L o h n d ie n e r in sp r a c h

so zu Yazd-Aryämän, Drist-RöSn, Mihr-Wahman u n d Wahman-Säh: «Zweimal

habe ich h in te r de r Tür 2 9 B l u t * g e s c h r ö p f t , 3 0 un d no ch e inma l wer de ich

•schröpfen .» Auch ze t te l te /30 / e ine ih re r Diene r innen mi t e ine r E lec ta e inen

S t r e i t a n . U n d Mihr-pädär ,26 ( i hr ) O b e r h a u p t , e r g r i f f d e n A r m j e n e r D ie n e r in

u nd sch uf Be f r e i un g vo m St r e i t . Au ch im * He rb s t u n d [

(Lücke)

[

/35/ [ ] v o r i m e ig en [ ] t u e [

(Lücke) /38/ E l e c t [ ] G e s e t z [ ]

Zweiter Brief

ß l [ ]y (x ) ' p8 8( ' ) r (y)[ ] /2 Д ' r ] t [ y ] ß T ( my s ' n d y . )

[ ] /3/ [ ]( 6 - 9 m' x) gß ry jh ß ] /4 / ( 2 0 - 2 5

k ' m( ? ) . s 1 5 - 2 0 )[ ] / 5 / ( w 'n ) w w y t -

w S ' r t n w m p 8 k ' mn ( ' ) 3 1 I my w n x c y y о ' r t y ß y x y p 8 ( ' ) w n ( d ) [

/6/ [ ] (w' r w c p r w s t y y w ß y y m y ä ' n d y x y p ) 8 3 2 rw'n g(ryw ' )

[ ] /7/ [ ] (y ' t ) w ' nw f r m 'y " ( ms ) ' ' k t y y (cndn( ? ) 3 3 w ' x s t

2 s Päyy Sßry' in /29/. GERSHEVITCH übersetzte in GMS § 373 «*backdoor», gewißweil päyy keine regelrechte Präposition sein kann. Als solche hätte sie unbedingt diePostposition s'r nach sich ziehen müssen. Andererseits erscheint päyy Sßry' auch nichtunter den GMS § 1143 aufgezählten regelrechten Komposita, wahrscheinlich, weil manin diesem Fall eher *pä'Sßr(y) erwarten würde. Es verbleiben dann die Möglichkeiten,in päyy Sßry' eine altertümliche, erstarrte idiomatische Wendung mit dem Nomen imLo ka ti v zu sehen ode r viell eicht ein «open compound» (GERSHEVITCH : Co mp ou nd s.S. 148 f.), im Deutschen durch «hintertürs» nachbildbar. Da das Skandalöse der Beschul-digung des Briefes darin besteht, daß ein manichäischer Kleriker eine Zeit lang, hinterverschlossener Tür mit einer Frau allein blieb, so wird der Sinn ties Ausdruckes eher

«hinter der Tür» als «an der Hintertür» sein. Damit läßt sich das von GERSHEVITCH zitierteosset. faesduar «behind the door» (GMS Ad d. 1143), in weit eren Sin ne etwa np. päytaxt«Hauptstadt», wtl. «(Ort) zu Füßen des Thrones» vergleichen.

30 Oder : zweimal hab e ich hint er der Tür zur Ader gelassen, und nocho inma lwerde ich zur Ader lassen, vgl. Textanmerkung 14.

31 SW teilt mir mn(d) I mywn als Lesung von 1. GERSHEVITCH mit. Da am Randeeines Risses im Papier sowohl eine rechte obere wie eine linke untere Ecke erhalten ist,so betrachte ich mn(') als die wahrscheinlichere Lesung. [Vgl. aber S. 299,'Anm. 30.]

32 Er gä nz t gem äß GMS §§ 1396 un d 1435 (Hinw eis von SW) . In senem heu tigenZustand, d. h. nach Abtrennung des Fragments M 119 a von M 119, ist dieser Text nichtin vollem Umfange lesbar. Mit Hilfe der Originalschriften hatte ich lediglich prwstyysicher erkennen können. Angesichts der unmotivierten Verwendung von pers. rwc fürsoglid. myS «Tag» muß aber auch gefragt werden, mit welcher Sicherheit die ergänztenTextteilo vor dem Krieg tatsächlich lesbar waren.

33 Alle Buchstaben versehrt, nur -nd und ein vorangehendes с sicher. Cndn las auchGERSHEVI TCH : G M S § 16 09 .

Acta Antiqua Academiae Scientiarum Uungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


3 1 0 W. SUNDERMANN

cks tyt )[ ] /81 cks ty t 'skwnd s't ry j w8yy cynd( r)p' r 'st yy w'nwwß 't xw' n (.)[ ] /9/ (sn'nd 'r ty m' x 'pryw) wr yS 'nt 'r ty I c'f srSytsk w' mn dy y wß('t .) [ ] /10/ (k' m prm (?) ry j 'sk wnc ykt3 4 xwyst)rtyy(w)ß't 'r ty mys 'nd (ms)[ ]/ ll / (n' pSkcy)q 't y (n') kry'c y(q) fr m' n

(sn't kww ')s(kwncyqt35 x)w yst rt y (s'r)[(?) ] /12/ (my) ë'nd yyywsytt kyy wß'nd m'x xwystrt(yy) sxww p'ckrt 'ws(t')ndk'm 'ty (m'x m)[ ] /13/ (')ty (nyz) 'r p(y) §tyt yy prw yryw 'w syn dnd k(' )m 't y (xwyë)-trty yr'n (t)fsnwk kwn'ndk'm 'ty prw xw(r)[nyy36 ] /14/ fs n' ynd )-k 'm3 7 m'y88 c'nw rymnyt yzd m'h n'my jw'(n)wtr 'krtwS'rt xwtyy xySny 'm yy xyp8(')[wnd ] /15/ wm 't ys p(')rt y (m)ys 'nd ry mn yt km by tswryktyy 'ndyk ps'k (m)'y8 xcyy pr ßxtwnyy 'ty p(c'w)' (y)w(x)t(yt)['rty] /16/ (fs)ytyt xnd p'rtyy (w')xs(yg) bxtgyy mSyy 'xsyt skwn о ' r ty cww'nw w'ß'nd skwn kt sr8(ng)t pr'yw p'zky' sn'(nd)/17/['r]ty Sßtyk 'w(x)z(')nd

8ymy8 w'xë I p'ryk n's xcyy 'rty w'nw n(y)x "ms' frm'y 'krtyy kyy38

pyrn-ms t r s t' nd /18/ [cndn( ?)] (wr' 39 ' ty frtry)' 'krtwS'rnd p'rty (pr(?) ß)yrw'nmyh(. ,40 mwj )' kyy sry y m' hd ' d mw j' k st ty y cn(w(?) pr)[ w 2—4 8yn] /19/(8)'rty ' ty p(r)w nyw'nz'dg mwj'kyy s(ryy) gbryhb ( 3 — 5 s) n( ' . .) [ ]

(• •) [ ]( + 7 ) /20/ s(r)yy sxt(w )yy (mw j) 'k 't y kt wn ' (')-f t' 8' [n ] (st')n(d . . . ) [ ] /21/ sryy rym(ny)y f(rw)x'(y) 'ywët(yy)

[ ]

Zweiter Brief ( Übersetzung)

/11 [ ] und, о He rr , diese [ ]

Oavryav [ ] /5/ sp rach so : «Das Gesetz ist mi r gleich( ?).»41 Und,о Her r, Herrscher, [ ] der Tag mag sich gewendet haben(? ?),42 ihreeigene Seele (und) da s Selbst [ ] so geruhe zu bea chten ,43 wieviel

häßl iche Wor te [ ] häßli ch sind, alles Verlangen ist dar inn en. So wirdsein der Tisch(?) [ ] sie steig en empor und vermisc hen sich mi t

34 Alle Buchs taben durc h Ri ß im Papier s ehr stark vers ehrt. St at t pr m auch pn c

möglich.35 GERSHEVITCH las ' sk wncyk (GMS § 1248), Hinweis von SW. 'skwnc yk t istaus Raumgründen wahrscheinlicher als die Singularform.

36 SW weist mich da ra uf h in, d aß GERSHEVITCH of fen bar noch xw rn yy (unve r-sehrt ?) lesen konnte (GMS § 1168 Anm. 1).

37 GERSHEVITCH las überze ugend sn 'y nd k ' m (GMS § 756, Hinweis von SW).Vor dem s ist aber noch ein nach links oben geführter Aufstrich erkennbar, so daß ich's n' yn dk 'm für wahrscheinlicher halte.

38 Nicht ky (GMS S 1682).39 So GERSHEVITCH : GMS § 973, Hinwe is von SW. Ich ka nn ab er n ur die oberen

Ränder der Buchstaben und einen diakritischen Punkt orkennen.40 Auf h dürfte ein b oder ß folgen, dan ach к oder x. Myhr- ersche int nicht möglich.

[Vgl. S. 315.]41 Zur Bedeutung vgl. Toxtanmerkung 30.42

Ganz unsicher, vgl. Anm. 32.43 Vgl. Tex tan merk ung 20.


8/15/2019 ACTAANTIQUA_28 (1980)


PROBL EME DER INT ERPR ETAT ION MAN.-SOGDH. BRI EFE 31 1

uns, und es wird ein ige 4 4 J a h r e da ue rn [ ] /10 / nac h( ?) de m Wil le n

der gegenwär t igen Oberen wi rd es se in , und d iese [

u n g e s e t z l i c h e r u n d u n z e i t i g e r B e fe h l w i rd z u d e n g e g e n wä r t i g e n Ob e re n

e m p o rk o m m e n [ ] d i e i h r e * S p i o n e wa re n , 4 5 werden fes t an d ie S te l l e

u n s e r e r Ob e re n t r e t e n u n d u n s e r [ ] u n d s i e we rd e n d i e Ha r t -B e d rä n g -

ten in ih rem Se lbs t ze rb rechen und den Oberen g roße Not bere i t en und im

B l f u t ] we rd en s ie [ ihre H än de ( ?)] wa sc he n, so wie ? ? ?4e

Selbs t zu d ieser S tunde , о H e r r , [ ] / 15/ w a r s t du , de nn d i e s e r s c hm ut -

z i ge n , ge m e i n e n S yre r B r a u c h un d K u n s t i s t s o : i n S p a l t u ng und S t r e i t s i n d

s i e e r f a h r e n [ u n d ] geüb t , denn «ge i s t ige Spa l tung» her rsch t h ie r . Und wenn s ie

sag en : «Die Ob er hä up te r s t e igen e in wen ig ( ? )47 em po r , un d da nn s te i gen s ie

wieder h inab», 4 8 so i s t d ies Wor t ganz verderb l ich . Und so geruhe au f j ene

s o r g f ä l t i g a c h t z u g e b e n , 4 3 d i e f rü h e r e m p o rg e s t i e g e n s i n d , 4 9 wiev ie l Ge wi nn u n d

F ö r d e r u n g s i e b e w i r k t e n . 5 0 D e n n ü b e r d e n * g l a u b e n s s t a r k e n 1 5 L e h r e r Mih..i s t d e r Le h re r Mähdäd g e k o m m e n , w i e ( ?) 5 1 üb er [ ] d ie El ec t i u n d

ü b e r d e n Le h re r Nëwânzâdag d e r Oavryav [ ] /20 / ü b e r [

4 4 1 c'f in /9/ überträgt wörtlich in ST I, S. 8, Z. 15 syr. hd km' «wievielmehr»und muß daher andere Bodeutungsmöglichkeiten dieser Wendung nicht ausschlioßon.Ich verstehe I c'f im Sinne des gleichbedeutenden np. yek-Sand «somewha t ; a little»(STEINGASS : S. 1533), rap. ëw <5and «some, a few» (MacKenzie, S. 31).

45

Meine Übersetzung folgt QMS § 1679.48 Der ganze Satzteil c'n w ry mn yt yzd m' h n' my jw 'n wt r 'krtw S'rt in /14/ ist mirunklar und scheint oline Ann ahm e einos Fehler s (r ymn yt fü r ry mn yy oder 'kr twS 'rtfür 'krtwS'rnt) nicht übersetzbar. Was bedeutet jw'nwtr Î Sicher eine negative Eigen-schaft, Person oder Gruppe. Darf an den Komparativ (-tr) eines von 'nwt «Beistand»abgeleiteten Adjektivs jw-anut < *duz-anut «der übl en Bei st an d hat» (vgl. GMS § 287)gedacht werden?

47 P' zk y' , bisher unbelegt, betra cht e ich in Ver bind ung mit 'yw als Nominal -ableitung von man.-soghd. 'yw p'zyy, I p'zyy. P'zyy bedeutet HENNING zufolge indiesem Zusammenhang «Teilchen ; ein wenig, bißchen» (BB, S. 81 zu 674). Der Sinn derBe ha up tu ng wär e da nn , daß die Syrer nur in geringer Zahl, für kur ze Zeit oder nac h un dnach zu kommen beabsichtigten. Eine sehr einleuchtende Altornativlösung erwägt jedochSW : «If 'yw p'zky' is a compound its basis need not be p'zyy ,bit ' but can equall y wellhe p'z ,face, fr ont ', whence a bahuvri hi *'yw-p'zyy with *-aka- as compound-suffix (cf.

N P у а к - г й у а beside у а к -г й (у ) ), abs t ract 'yw-p'zky'. The mean ing of N P yak-rü'i .unani-mity, sicerety, conciliation, friendship' would fit very well here.»48 Zu diesem Satz vgl. S. 298 f.49 GERSHEVITCH : GMS § 1682, st el lt e hie r die Übe rs et zu ng en «who wore before»

und «those who are foremost» zur Diskussion, räumte abor auch die Möglichkeit ein,daß im Prädikat eine Ableitung von sn- «rise» vorliegen könno (GMS § 780). Die Tatsache,daß von Empor- und Herabsteigen bereits in den Zeilen 16—17 die Rede ist, sprichtaber dafür, eine entsprechende Bedeutung auch im vorliegenden Fall anzunehmen.Best ätig end weist SW dara uf hin, da ß neben st' nd die For me n 'st yy «ist» in /8/ und st ty«stieg auf» in /18/ auch für die im Text stehende Übersetzung sprechen.

50 Meine Übe rse tzu ng folgt weitg ehend ei nem Vorschl ag von SW : «Please n ot ecarefully [whe ther ] (those) who came up previously broug ht a bou t pr ofit and improve -ment.» Lediglieh folgt aus Kenntnis des Originaltextes, daß die von SW vorgeschlageneErgänzung cwty nicht möglich ist, da in diesem Falle am Textrand der Aufstrich eines

t erhalten sein müßte.51 Cnw Fe hl er f ür c'nw (vgl. BST I, ed . O. HANSEN, Zeile 116)?


8/15/2019 ACTAANTIQUA_28 (1980)


312 W. SUNDERMANN

der Lehrer Saxtôê und der Bischof Ktwn', über [zige, *zerstörungssüchtige52 [ ]

] der schmut-

ANHANG II

Es ist mir eine ehrenvolle Pflicht, in den Kreis der Gelehrten, die durchihre kritische Hilfe zur Verbesserung meiner Arbeit beigetragen haben unddenen ich tiefen Dank schulde, auch Dr. Gershevitch (IG) einzuschließen.Er stellte mir auf das großzügigste seine eigenen Bemerkungen zu den Briefenwie auch Aufzeichnungen der ihm mündlich mitgeteilten Interpretationsvor-schläge Hennings (H) zur Verfügung (Schreiben vom 15.1.1981 und 9.6.1982)und gestattete mir ihre Verwendung trotz der Bedenken, die Dr. Gershevitchprinzipiell gegen jede von Henning «deplored and dreaded unauthorized publi-

cation of great men's titibits» hegt, denn Henning selbst war ja «a staunchdefender of a scholar's right to be judged by posterity exclusively on thestrength of what he had personally approved for printing» (vgl. I. Gershevitch :Walter Bruno Henning 1908 — 1967. I n : W. B. Henni ng Memori al Volume.Lo nd on 1970. S. xxiii, und : Proceed ings of the British A cade my. Lond on,Vol. 65 (1979) [erschienen 1981], S. 717). Wenn ich diese Bemerkungen auchnicht mehr in den Text meines Artikels einfügen konnte, so gab mir Prof.Harmatta doch die Möglichkeit, als einen zweiten Anhang zu meiner Arbeitin knapper Form jene Bemerkungen mitzuteilen, die ich akzeptiere oder zur

Diskussion stellen möchte. Ich hoffe zugleich, auf diese Weise deutlicher wer-den zu lassen, zu welchen Resultaten die Edition der soghdischen Briefe ge-führt hätte, wenn es Henning vergönnt gewesen wäre, sie zu besorgen.

1,4, 11,18 : Auch H. betrachtete ßyrw'n als Titel, IG betont die Proble-matik aller Übersetzungsversuche. Neben anderen Möglichkeiten erwägt er«'der gottse lige' in th e sense of 't he la te , le feu' , cf. MP 'nwsl wb' n ? ?».

1.5 : Die Lesun g krt rt yy vor ausges etzt, leitet IG das Wor t provisorischvon *kartara- ab, da s er mit chot. lcädara «sword» verbindet und «cutting»übersetzt. Im übertragenen Sinn könnte das Wort vielleicht als Bezeichnung

göttlicher Mächte «incorruptible, safe, erlöst» bedeuten, als Bezeichnung vonDämonen «irredeemable». In M 133 sei qrtr vielleicht Adverb und könnte«irredeemably (sinful passions)» bczcichnen.

1.6 : 'wrSp'r «dort ig, being there» .1,9 : M'x tys yy — ein Wort, f ür das H. eine eindrucksvolle Er kl är un g

gefunden hat : arab. Maqdisï «a man from Jerusalem», d. h. «a man who had

52 Frwx'y 'ywstyy in /21/ : in frwx'y sehe ich Infinitiv eines sonst frxw'y-, frxwstgeschriebenen Verbs «zerstückeln» (BB, S. 59), zur Metathese von -xw- zu - и х - s. GMS§ 417. Frwx'y 'ywätyy wäre dann wörtlich «vom/zum Zerstückeln erregt», was manvielleicht als «zerstörungswütig» oder «spaltungssüchtig» deuten könnte. Sollte jedoch

Inversion eines eigentlich *'ywst frwx'y lautenden Kompositums vorliegen (vgl. Gershe-v i t c h : Comp ound s, S. 147), so ließe sieli ein fac h «Zerstörung erregend» übe rse tze n.


8/15/2019 ACTAANTIQUA_28 (1980)


PROBLEME DER INTERPRETATION MAN.-SOOHD. BRIEFE 313

lived in Aramaic surroundings». X wäre dann als Versuch zu betrachten, arab.q wiederzugeben, während später in manichäisch geschriebenen np. Textenhierfür das aus dem Türkischen vertraute Zeichen q verwendet wurde. Währendich m'xtysyy als Eigennamen ansehe, betonte IG mir gegenüber die Möglich-

keit, daß auch ein Appellativum vorliegen könne.1.11 : 'wstnyy kann auch als Part. Präs. aufgefaßt werden (GMS § 892).

In diesem Fall wäre zu übersetzen «of the law there is one establisher».1.12 : p' rt y . . . cx§'p88 : H übers etz te «for, as reg ard s (the fu lf il ment )

of) the law (in general) [they are weak] in (observing the) commandments».1.14 : ]wyy für n]wyy «neu» ?1.15 — 16 : Syn 'ßr 'nc . . . swm S' rt : H über setzte «our nu n saw t hat thei r

nun cut [a garment] and sewed (it)».1,16—17: ty m m' x 8yn'ßr '[nc ]. . . [p]r sm'sk wn : gegen m eine Übe r-

setzung wendet IG ein : «Introduced by tym, one exp ect s to see a rep or t of ye tanother misdemeanour of nuns». Er deutet daher prsm- «massieren» als «tappen»und in freierer und idiomatischer Verwendung «ertappen, erwischen». Inxwsyc vermutet IG ein großes, tönernes (xuS° aus *xurmS°) Wassergefäß. Inihm habe die «erwischte» Nonne gebadet, und dies sei ihre Sünde gewesen.

1,17 : Im letzten erkennbaren, von mir (xyp8) gelesenen Wort, dessen 8wirklich sehr zweifelhaft ist, sieht IG vielmehr einen weiteren, Äzädduxt fol-genden Namen.

1,19 : ]rwrt t bereit s in GMS § 492. Die Lesun g geh t auf H zu rü ck .

1,19 : 8'rwk 'ty p'st' nach IG eher «blocks of wood» und «chips of woodsplitt off a block», mit Hinweis auf die Anhang I, Anm. 21 zitierte ErklärungHennings.

1.23 : " t r . . . 'w st 'n ds kw n eher «lay (aufschi chten ) a fire» wie englisch«to lay a fire» und in Anbetracht der Überlegung, daß gewiß eher Anlaß bestand,ein Feuer zu entfachen als zu löschen (IG).

1.24 — 25 : 'r ty t ym . . . pww sf 'r : Hen nin g übe rsetzte «And as reg ard sthe third commandment, it is loose and shameless (with them)». IG erklärt,daß H offenbar w'xs als «Sache» verstand und mit vorangehendem dyneyh-ry ft cxs'pSyy verba nd, «(in) th e ma tt er of the thir d comm andme nt».

I, 26 : IG wen det gegen meine Übe rse tzung von c's 'r p8yk r'f als «einLeiden unter dem Fuß» ein, daß soghd. «Fuß» päd und nicht р а д sei. H habedaher aw. pacta- «place, spot» verglichen und überse tz t «a lower-pa rt illness»,wahrscheinlich im Sinne von «eine Unterleibskrankheit». Es sei dann fernernaheliegend, psyy 8ßry' als «backdoor» zu übersetzen, wie GMS geschehen(vgl. Anh. I, Anm. 29), und dies als einen Euphemismus für «anus» zu erklären.Schließlich sei st at t psyy 8ßr y' auch psyyS ßry' als Lesemög lichke it erwogenworden, was mir nicht ganz unmöglich erscheint. Allerdings ist das 8 mit demß zusammen gesch rieben. F ür c' s'r «downwards» (GMS § 459) mü ßt e mit nic ht

korrekter Verwendung im Sinne von «unten, unterhalb» gerechnet werden, was


8/15/2019 ACTAANTIQUA_28 (1980)


314 W. SUNDERMANN

aber nicht unmöglich ist, vgl. christl.-soghd. cyns' «innerhalb» statt «hinein»in ST II, с 3 /9/.

1.26 : z'k' nc kr 'y 'n c : H verglich kr' wr 'n und kw r' ynk, «suggesting th a tthe z'k 'nc may have been a girl from Kroraina».

1.27 — 29: ' t y SynS'rt . . . "s mk 'm : H übersetzte «they [die Electi]paid attention (= heard) that ('ty) she tould four persons (viz. Yazd Arya-man etc., all of them, as Henning stessed, bearing Persian names) that twiceI to ok blood. . .». Er kl är en d fü hr t IG dazu fe rner aus, daß die vier Per sonennicht notwendigerweise verhörende Electi waren sondern vielleicht lediglichBekannte der Heilpraktikerin, denen sie von ihren Taten berichtete, ohne zuahnen, daß sie belauscht wurde.

I,34 : S ta tt meines ](cw)xt las IG ']wz xt (ebensowohl möglich), s ta tt]( .) ß[ : ](w)ß[.

1,37: St att ty (. )[ : ty [m (naheliegend, da ein Inte rpun ktio nsz eich envora usge ht), sta tt ]( .) 'd : ]'r (ich sehe keinen r-Pu nkt ).II,3 : vor m'x : ](.st' 'ty) (IG konnte st' 'ty lesen).11.4 : IG konn te seinerze it ]mt 's kw 'm ' t y rwsn mwj 'k lesen, d. h. «ich

bin und der Lehrer Rösn» (kaum «der lichte Lehrer», weil in diesem Fall wohlein soghd. Wort verwendet worden wäre).

11.5 : Wenn mn d I my wn zu lesen ist, da nn ergeben sich mit Hennin gdie möglichen Übersetzungen 1. «it is altogether in accord with the religiouslaw» (mnd = mimetic aff ixa ti on of M P -man d to th e Sogdian open compoun dnwm-p Sk '), 2. «the (observan ce of the) law is ceasing» (mn d = privat ive pre-fix). Es könnte aber auch, wenn I mywn mit SW «like» bedeutet, mand-ëwma- yön «unlike, different» oder «incompatible» sein.

11.6 : IG konn te lesen : . . . t w' rwc prwstyy wß yy m yä 'n dy y xypSrw'n yryw '[. Er erklärt rwc prwstyy als ein adjektivisches offenes Komposi-t u m in der Bed eut ung «one for whom des tiny has turned» (Lehn übers etzun geines pers. *röz-bargaSte, vgl. np. roz bargard-jbargaSt , Wolff , S. 447 un te rNr. 43) oder einfach «unfortunate, desperate, abandoned» (Hinweis auf Np.bargaMe-rözgär, bei Jo hn so n, Steingass, Haim ). Das voran gehe nde w' ist IGzufolge Elativpräfix. Für die Zeilen 5 — 7 schlägt IG als Über set zung vor :

«And О Lord [in order not only to save ourselves, but also to preve nt th at ]their own soul's self become so-very-much ill-fated [as a result of their Laxity,]it is necessary to order that etc.».

11.7 u. 8 : Fall s ma n st at t cks ty t cx styt lesen darf (in beiden Fällenfinden sich Punkte über dem s, die man vielleicht auf das vorangehende кbezi ehen kann), so liegt vielleicht ein P art . Prä t . caxSt- «received» vor, dasneben cayt- exi stie rte ( IG, vgl. GMS § 551 (c)).

11.8 : Fü r xw' n sch läg t IG Ablei tun g von aw. *hu-äna- «gutes Atmengewährend» > «wohlbehaglich» vor und verweist auf Bartholomaes Überset-

zung von aw. x-ädra- als «(gutes Atmen sva) Wohlbehagen».


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


31 6 W. SUNDERMANN: PROB LEM E DER INT ERPR ETA TIO N MAN.-SOGHD. BR IE FE

1 1 , 1 8 - 1 9 : St at t cn(w?) (pr)[w 2—4 8yn ] / (8)'rty . . . : cndn f [r tr y'' k r t w ] / 8'rt «wieviel Bess eru ng ha t er bewi rkt ?» Diese ein leu cht end e Les ungdürfte grundsätzlich den Vorzug verdienen. Insbesondere cndn ist möglich,wenn man annimmt, daß das finale n mit dem linken Ende des c-Bogens zu-

sammenfiel. Für f[rtry' 'krtw] reicht das Ende von 18 kaum hin. IGs Ergän-zu ng sc hein t mir abe r doch möglich, wenn ma n sie etw as ve rk ür zt ; e twa :(pr)[w'k 'krtw] / (8)'rt «er hat verleumdet».

11.19 : Nac h gb ry hb k onn te IG zweifelsfrei 'f t' 8' n lesen und da na ch[s]tty (Prät.) statt meines sn' (Imperf.) ergänzen. Gavryav war also ein Bischof !Die folgenden Worte, von denen ich gar nichts zu lesen vermochte, waren offen-bar ebenfalls weniger zerstört als heute, doch auch seinerzeit nur zweifelhaftdeutbar. IG hat mir gestattet, seinen folgenden, sehr zweifelhaften Rekonstruk-tionsversuch dessen, was er glaubt, einst mit H gelesen zu haben, mitzuteilen :

[s]tty cndn ßn' ? . . . (p/ßy)t[w]8[']rt [prw NN mwj'kyy].Ergänzend teilt er mirmit, daß ßn' immer ganz unklar war und daß das Verb von H als «he has givenaway as a present» übersetzt, also als ßytwS'rt verstanden wurde.

11.20 : Nach st'nd : cnd[n «wie viel», heute nicht mehr erkennbar.11.21 : Sta tt f rw x' y : frw x' n, dazu die Übers etzun g «the di rt y Ear rux än

th e agi ta to r (or : 't he dist ur be r of th e ha pp y ones')». Eine ein leu cht end e u nddaher wohl richtige Lesung. Ich kann aber nur wiederholen, daß das, was ichzu sehen vermag, als f(rw)x'(y) erscheint. Der letzte Buchstabe ähnelt am mei-sten einem in der Mitte Versehrten y.

Anhang I, Anm. 44 : IG verweist mich noch auf paschtu y au с о «several»

mit Bezugnahme auf GMS S. 251, zu 1586. Leider hatte ich versäumt, in meinerAnmerkung auch § 1586 selbst zu zitieren.

Anfang 1982 erhielt ich dank freundlicher Vermittlung von Dr. N. Sims-Williams durch Herrn Dr. G. Gropp aus der Photosammlung des Seminars fürGeschichte und Kultur des Vorderen Orient der Universität Hamburg ein aus-gezeichnetes Photo, das den Hauptteil des zweiten Briefes (Zeilen 1 — 19) inseinem weniger Versehrten Vorkriegszustand zeigt. Beiden Herren danke ichan dieser Stelle für ihre Hilfe, die um so größer ist, als sie eine Reihe problema-tisc her Lesungen d efin itiv entscheidet, u nd zwa r :

11.5 : mn(d) I mywn (so IG),11.6 : ](ty w' rw)c pr(w) sty y wßy y m(ys) 'n dyy xy p8 rw' n gryw (')[

(so IG),11.7 : ]ywt w'nw (so IG),11.9 (erste Stelle) : ('t y) st at t ('r ty) ,11.10 : statt prm eher pne (so IG),11,16 : w'xs y b x tgyy (so IG),11,19 nach gbryhb : [ ](-)^У У (c)ndn ß'n(w.)[, nicht sn' !

Acta Antiqua Academiae Scicntiarum //angaria*r 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


323 M. MA RÓ TH

PTOLEMAIC ELEMENTS AND GEOGRAPHICALACTUALITY IN AL-HUWÂRIZMÏ'S DESCRIPTION

OF CENTRAL ASIA

INTRODUCTION

The geographical knowledge and geographical science of the Arabs, asshown by J. H. Kramers, 1 have developed in several stages until they attainedthe high level known to us. This development had several factors. One of its

earliest components is the practical knowledge of nomadic people wanderingin the desert about their own country, the Arab peninsula. 2 The poetry of thegähiliyya has preserved a few practical directions and descriptions showinghow to get from one place to another. Later on, these simple items of knowledgewere summarized by the lexicographers on a higher level. At this time geog-raphy was not a separate science, but it represented already part of scientificknowledge. These items of practical knowledge were included in their alpha-betically compiled works. One of the earliest products of this trend wasal-Asma'i 's work dated from the 8th century that, beside the Arabic vocab-

ulary, also contained the geographical names of the Arab peninsula. Of theworks known to us most useful are al-Bakri's work entitled «Geographicaldictionary» and Yäqüt's«Kitäb mu'gam al-buldän».Beside the old geographicalnames, both contain also the toponyms of the newly conquered territories.

It was an important achievement, when the Arabs got acquainted withtheo reti cal geo gra phy . The fi rs t signs of this can also be gath ere d al re ad yfrom the Koran. That knowledge, however, can be ascribed to foreign influence. 3

Much more significant than these modest beginnings was the fact that theArabs adopted the achievements of the theoretical geography of the Greeks,

reaching them in three routes. It came via India in the form of the so calledSind-Hind literature, and through Iran in the form of the ZIg literature. Theknown world maps of al-Huwârizinï and Suhräb came into existence as aresult of direct Graeco-Arab relations (although this word «direct» does notmean that we would forget about the intermediary activity of the Syrians).The map of al-Ruwârizml is very important because it came into existenceearly, in the first half of the 8th century. The cartographical activity of theArabs cannot be understood without the knowledge of the work of Ptolemy

1 J . H. Kramers : Djughräfiya. EI Supplementumband. 62.2 F. B u h l : D as Leben Muhained s. Leipzig 1930. 61.3 EI . Leiden 1965. II . 56 75 -5 57 8.


8/15/2019 ACTAANTIQUA_28 (1980)


318 M. MARÓTH

ent i t l ed е с о у д с к р м г ] vcprjyr/aiç. In fac t, t he a cti vi ty of th e Ar ab s was closelyconnected with this work. In a short time even three Arabic versions of it wereprepared. The work contains the detailed description of the world, thus itcould serve as the framework of the activities of the Arab cartographers, in

which the changes taken place since Ptolemy had only to be inserted as wellas those items of knowledge that were acquired by the Arabs on the basis ofinformations more accurate than those of Ptolemy. Unfortunately, neither ofthe three translations mentioned above has been preserved, thus we do notknow whether they were simple translations or rewritings.

The third group of sources is represented by the geographical writers.The geographical writers of the 9th and 10th centuries borrowed from severalsources. Their activity, on the one hand, was the continuation of the earlierPersian geographical science, and on the other hand they also borrowed from

the Fadâ'il and Hadit literatures, from the practical knowledge of the travel-lers and post-officials, as well as from the data of different itineraries. Thegeographical writers can be divided into two groups. The first group is theso called Iraqi school. Members of this are Ihn Hurradädbeh, Qudäma, al-Y a ' q ü b í , al-Mas'üdi, etc. The other is th e so called Balhi school, its famousrepresentatives are al-Istahri, Ibn Hawqal and Muqaddasi. 4

In the work following here I shall examine the part of al-Huwârizmï'swork, the Kitäb Sürat al-Ard, relating to Central Asia. It meant a help thatseveral scholars already made similar investigations earlier, and at the same

time, even the limits of my works are determined by their research work.In the West I started my investigations at the territory elaborated by J.E c k m a n n .5 I finished it in the East at the same line with the elaboration ofH. Mzik, at the border of the Ptolemaic Scythia extra Imaurn.6 The sout hernborder was meant all along by India. The mountain range stretching betweenIndia and Central Asia is slightly ascending towards the East. Therefore, ifI wanted to represent the cities of Central Asia in the West, it could not heavoided to put the northernmost parts of India on the map. The examinationof these territories, however, was not my aim, therefore the formations of the

surface to be found there were taken into consideration only if they helpedme to determine the formations of the surface in the territory examined.

Th e primary aim of my stu dy is th e reco nstr ucti on of al -Hu wâr izm ï'slost map. Besides, after drawing the map, I tried to examine the points repre-sented. In the course of this work I compared al-Huwârizmï's map with the

4 Cf. notes 1 and 3.5 J . Ec kma nn : K elet euró pa és Nyug atáz sia a legrégibb arab térképe ken (Eastern

Europe and Western Asia on the Oldest Arabic Maps). Földrajzi Közlemények 57 (1929)No. 6—7. Pp. 91-105.

6 Ы . Mzik : Para geog raph isc he Ele men te in den Berichte n der arabisc hen Geo-g r ap h en über Südostasien. Beiträge zur historischen Geographie usw. Festschrift fürE. Oberhummer. Ed. H. М 2г к 1929. 172 — 202.


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWÄRIZbll 'S DESCRIPTION OF CENTRAL ASIA 319

c o r r e s p o n d i n g p a r t s o f P t o l e m y ' s m a p , a s w e l l a s w i t h o t h e r A r a b i c m a p s ,

n o t a b l y w i t h t h a t o f S u h r ä b t h a t s i m i l a r l y h a d t o b e r e c o n s t r u c t e d f i r s t .

F i na l l y , i f i t wa s poss i b le , I t r ie d to r e as on ou t to w h a t t h e m a p — p re pa re d

w i t h m o r e p r i m i t i v e m e a n s t h a n t h o s e o f t o d a y a n d t h e r e f o r e f r e q u e n t l y

d e f o r m e d — c o r r e s p o n d s i n r e a l i t y a c c o r d i n g t o o u r p r e s e n t k n o w l e d g e .

I n t h e c o u r se o f t h e w o r k f i r s t I t r a n s l a t e d a n d c o r r e c t e d a l - H u w a r i z m i ' s

t e x t f r e q u e n t l y p r e s e r v e d i n a d i s t o r t e d f o r m . T h e r e a f t e r f o l l o w s t h e i d e n t i f i c a -

t i o n a n d o b j e c t i v e c o m m e n t i n g o f t h e c i t i es , m o u n t a i n s , n a m e s of c o u n t r i e s

a n d r i v e r s . T h e r e su l t s o f t h e r e se a r c h c o u ld b e d r a w n o n ly a f t e r t h e se . 7

A L - 5 U W Â R I Z M Ï O N C E N T R A L A S I A

1. Cit ies

Cl ima te V

( 3 9 8 ) U Sr u sa n a t 9 1 ° 1 0 ' 3 6 ° 4 0 '

( 3 9 9 ) U o g a n d a 1 9 2 ° 3 0 ' 3 7 ° 1 0 '

( 4 0 0 ) B a n â k a t h 2 9 4 ° 3 0 ' 3 8 ° 3 0 '

( 4 0 1 ) A h s l k a t h 3 9 6 ° 3 0 ' 3 6 ° 4 0 '

( 4 0 2 ) T ä r a b a n d 9 6 ° 3 0 ' 3 6 ° 4 0 '

(403) I sb ïgâb 4 9 8 ° 1 0 ' 3 9 ° 5 0 '

( 4 0 4 ) a l - T a r ä z , c i t y o f t h e me r c h a n t s 5 1 0 0 ° 3 0 ' 4 0 ° 2 4 '

' My research started out from the following works of fundamental importance :Das Kitâb Çurat al-Ard des Abü Ga'far Muhammad ibn Müsä a l- Ц и war izmi.

Ed. H. v. M2ik. Leipzig 1926.

Das K it äb 'Ag ä'i b al-Akäl im as-Sa b'a des S uhräb . Ed . h . v. MZik. Leipzig 1930.Claudii Ptolemaei Goographia. Ed. C. F. A. Nobbe. Leipzig 1898.Tabulae in Claudii Ptolem aei Geograph iam. Ed . C. M ü l l e r . Parisiis 1901.1 In al-f fuwâr izmî , in the figure deno ting longitude, th e dot is missing from th e

. In S uhr äb th e figu re occur s in its correct fo rm : . In t he lati tu de, on the ot he r

hand, Suhräb omitted a dot from the j , while this was correctly written by al-fjuwârizmïas jl .2 In al-f juw ärizm i the latit udinal da tu m appears ncorrectly in the form J ^J.

This ought to be read as 33°30'. At the same place in Suhräb we find J^J , this however,has to bo interpreted as 38°30'. On the basis of the situation as compared with eachother and the system of the cities, Suhräb's datum has to be accepted as correct, accord-ingly al-Uuwârizmï has to be corrected.

3 Differing from al-f fuwa riz mi, in Su hrä b t he longitudinal co-ord inate is 94°30'.1 The second mem ber of the figure repre sent ing th e longit udi nal co-ordi nate of

th e city in al- fju wär izm i is and in Suhr äb r p Sta rtin g out fr om th e syst em formed bythe cities, surely we have to accept Suhräb's datum as correct, accordingly al-fjuwârizmî

lias to be corrected.5 In al-TJuwarizrni th e lon git ude is in di cat ed by J , and in S uh rä b by ._). Suhr äb 'sdatum has to be corrected according to the other, apparently correct datum.


8/15/2019 ACTAANTIQUA_28 (1980)


320 M. MARÓTH

(405) al-T ubb at® 13 0° 38°

( 406) A t r ä qä r ä 7 1 4 9 ° 1 0 ' 37°50 '

(407) Ci ty bes ide a mounta in and a spr ing 8 I 49°15 ' 39°

Cl ima te VI

( 467) Hwâ r i z m 9 91°50 ' 42°10 '

( 468) a l - Ha z a r 1 0 93° 45°

( 4 6 9 ) N a w ä k a t h 1 1 104° 44°

(470) City 1 2 110° 44°45 '

(471) City 1 3 112°45 ' 42°

C l i m a t e V I I(497) S ini s tân 14 8°1 0 ' 46 °4 4 '

C l i m a t e V I I I

(536) jUI c 131° 58°1 0 '

(537) ф - £ L.15

1 4 1 ° 3 0 ' 5 I ° 2 0 '

6 In the case of the longitudinal data in connection with the о J bot h in al-Uuwär-

izmï and in Suhräb two dots were left out from the J. Al-Çuwârizmi's defective lati-tudinal datum — о J — mu st be inte rpr ete d by all mean s as 38°, because in Suhräbwe find 40°.

' In the case of th e la titu dinal dat a Suhrä b writes o j . This ha s to be correctedaccording to al-Ruwarizmi's correct ùjJ .

8 In the case of this and also of the previous point in the longitudinal co-ordinatesfrom the 3 the two do ts were left out bo th in al-Çu wârizm i an d in Su hräb .

9 Both in al-Uuwârizrnï and in Suhräb the и to be foun d in the latitudinal d at aha s tö be completed wi th one do t. The correc t form of th e fi gu re is ^ .

10 Both in al-IJu wärizrrü and Suh räb one dot is missing fr om th e figure ^ den oti ng

the longitude. The longitude of the city if definitely 93° and not 98°, because the con-ditions given at the description of the direction of the course of the Syr-Darya are per-for med only by this in ter pre tat io n of th e figu re. The correct form of the figure is »

11 According to Suhräb the datum of al-Ruwärizmi has to be corrected into Aï.12 The correct form of the lon gitu dinal d at um is J . Abo ve th e 3 the two dots are

missing with both al-!Çfuwârizmï and Suhräb.13 The ambiguous figure ( A. <_~J ) representing the longitudinal co-ordinate can be

established correctly so that we take into consideration Suhräb's map. In his work, hereseveral cities appear after the city given in point 471, and the longitudinal datum ofeach of them is unambiguously smaller than 150. Thus, the ambiguous figure has to bocorr ecte d into .

14 A name of uncertain reading.15 A name of uncertain reading.


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWARIZMI'S DESCRIPTION OF CENTRAL ASIA 3 2 1

2 . M oun t a i n s

Cl imate V

(817 — 8 18 ) M o u n t a i n , s t r e t c h i n g b e t w e e n t h i s m o u n t a i n a n d S a m a r k a n d88° 36 ° 106 ° 39 °2 0'

d i r ec t ion of pe ak s : N o r th co l our of mo un ta in : re d

(819—820) M o un t a i n conn ec t i ng wi t h t h e p rev i ous one

106° 39° 20 ' 124 ° 35 ' 39 ° 4 5 '

d i r ec t ion of pe ak s : N or t h co l our of mo un ta in : in -

d i f f e ren t b l ue

(821 — 822) Mo un ta in 1 6

126° 50 ' 39° 5 0 ' 13 9° 3 0 ' 38°

No r t h i nd i f f e re n t i ron co l ou r(823 — 824) Mo un ta in s imi lar to th e fo rm er one1 7

137° 72° 13 9° 20 ' 38 °

d i r ec t ion of pe ak s : We s t co l our : ind i f f ere n t i r on

colour

( 8 2 5 —8 2 6 ) M o u n t E m o d o n

140 °30 ' 37° 149 °20 ' 38 °

d i r ec t ion of pe ak s : N or t h co l our : ind i f f ere n t i ro n

colour

C l i m a t e VI

( 8 6 5 - 8 6 6 ) B u r g I J i g a r a t1 8

101° 55 ' 41° 5 ' 101 ° 55 ' 42° 15 '

di re ct io n of pe ak s : E a s t col ou r : ( )

18 On the basis of comparis on with Su hrä b's data , the j h in al-IJuwâr izmî ha sto be corrected into jYi , becaus e the pic ture th us received is closer to th at of P to le my .Similarly on the basis of comparison with Ptolemy, the latitude given in point 822 cannotbe read as 33°, but only 38°. Imaon : Ptolemy е с о у д с н р м j) vtpr/yrjatç. VI. 13—1.

" I n Suhrä b the co-ordinates are 140°, 36°—144°б ', 68°6 ', respectively. Of th e

differing data of Suhräb and al-Ruwarizmi those of the latter have proved to be correcton the basis of comparison with Ptolemy. This comparison furnished the basis also forthe definition of the ambiguous figures in absence of the punctuation.

18 Contrar y to al-Ruwa riz mi, in Ptol emy (VI. 13 — 2), th e Al&ivoç lïvgyoç is re-presented only as one point. Taking this into consideration, we succeeded in selectingthe adequate figures from the values that are ambiguous because of the absence of punc-tuation. The longitude of point 866, as collated with that of point 866, had to bo inter-preted as <Jli, and the latitude of point 866, as collated with that of point 866, had to beinte rpre ted as <o ^ , because we could get the smallest extension this way. Un for tun ate ly,on account of the differences between the data of Ptolemy and al-Ц uwârizmï (East-Westshifting of degrees, in a more detailed form in the concluding part) the comparison of the

two is a rather uncertain method, and still we had to rely upon this, because Suhräbdoes not give any hint.


8/15/2019 ACTAANTIQUA_28 (1980)


322 M. MARÓTH

(867 — 868) Mo un ta in

117°50 ' 45°30 '

d i r ec t ion of pe ak s : So ut h

( 8 6 9 - 8 7 0 ) M o u n t A s f a t â f â 1 8

124°55 ' 49°50 '

d i r ec t ion of pe ak s : No r th

(87 1 — 872) Mo un t Qä s iy ä 2 0

141° 41°10'

d i rec t ion of peaks : Nor th

C l i m a t e V I I

(885 — 886) Mo un ta in 2 1

96° 45°55'd i rec t ion of peaks : Nor th

(8 87 — 888) Mo un ta in 2 2

102° 47°

d i rec t ion of peaks : Nor th

122° 20 ' 41° 50 '

co l ou r : con cen t ra t ed

red

134° 40 ' 43°

co lo ur : yel lo w

1 4 7 o 4 5 ' 4 ; 7 o

colour : red

100° 50 ' 49° 50 'colour : pale yel low

107°20 ' 47°

col our : p in k

A f t e r C l i m a t e V I I

(927 — 928) Mo un t Rû m i q â 2 3

88° 57° 9 3° 25 ' 55°d i re c t io n of pe ak s : No r th co lou r : p i nk

19 The minute s belongi ng to the wester n longitud e can be int er pre ted accur atelyacco rding to Suhräb's text. The ^ of the eastern latitude stan ds with out punc tuati onboth in al-fluwârizmî and Suhrâb, thus it represents number 8. Still on the basis ofcomparison with Ptolemy ( Askataghas. VI . 13—14 ; 14—13), correct ly it has to be in ter -pr et ed as eastern la tit ude 43° instead of 48°, bo th in al-Huwäi izmi an d Suhrâ b a do tmu st be pu t into the ^ . The correct form is >

20 In the longitud e Ea st in al-Hu wâriz mï we find j , but this ha s to he corre ctedacc ord ing to Suh räb 's J , becaus e this figure is closer to Pto lemy (Kasia. VI . 15-2). Ve ry

likely al- fju wâr izm ï's j is only clerical error . Wi th Suhrâb th e wester n longitude is141°5' and the eastern latitude is 47°5'.

21 Contra ry to al-Ruwii rizmi, t he co-ord inate s of the weste rn e xtrem e point inSuhrâb are 96°5' and 45°45'.

22 Suh räb' s weste rn co-ordin ates are 102°5' an d 47°5', th e eas ter n latitude wit hhim is 47°5'. The differences do not render the correction of al-fjuwârizmï's text necessary.In his work, however, in the ease of the western latitude and the eastern longitude andla ti tu de the dot mu st be pu t on th e letters j , beca use their correct form is j . (Thus y

23 In Suh râb the two la titu des are 57°5' an d 55°5', respe ctive ly. It is imp or ta ntthat in his work in the case of the data of the eastern longitude there is a dot in the

thus it renders sure the value 93°25'. This dot must be put there also in the case ofa l - B u w a r 2 z m i -


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWÄRIZbll'S DESCRIPTION OF CENTRAL ASIA 323

(929-930) Mountain24

89°35' 61°direction of peaks : North

(931 — 932) Mou nt Ar sän ä95°40' 55°10'

direction of peaks : North

94°50' 61°colour : indifferent

sky-blue

100°50' 59°20'colour : indifferent

yellow

(933-934) Mountain25

102° 60°20 '

direction of peaks : North108°20' 59°30'

colour : indifferent ironcolour

(935 — 936) Mou nta in, begins fr om th e for e-p art of prev ious mount ain 26

97°20' 67°30'direction of peaks : North

(937 — 938) Mo un t Asqäsiyä 27

104°25' 56o40'direction of peaks : North

(939 — 940) Alâ n-m ount ain107°45' 62°25'

direction of peaks : North(941 — 942) Tafü rä- moun tai n


(943 — 944) Sünyä-m ountain 2 8


102° 60°30'colour : pink

108°40'

colour : sky-blue

114°35'colour : yellow

115°40'colour : olive

52°20'

6 2 ° 2 0 '

51°20'

124°colour :

red

63°concentrated

24 In Suhräb the latitude is 61°6'.25 I n Suh rä b the wester n longitu de is 102°5'. The value of th e eastern long itu de is

dub iou s. I t is wr it te n as £j ̂ J, in th e ^ th er e is no dot eithe r in Suhr äb or in al -f ju wä -rizmi. The re is no Pto lem aic mater ial for compar ison, t hus I inter pr ete d the ^ as 8.

26 Suhr äb' s da ta differ from al -f fuw ar iz ml' s values at two points. With him th ewest ern la ti tud e is 60°30', an d tho oast ern longi tude is 102 °5'. In th e wester n lo ng it ud ethe j is incorrect. The dot has been omitted from it both in Suhräb and al-ïjuwârizmï.Correctly written it is Aye .

27 In al- ff uwä ri zml the eastern longitude , erroneously, is pun ct uat ed so t h a t itought to bo interpreted as 103°. On the basis of comparison with Ptolemy (Aspisia oreVI. 14-6), we have to accept Suhräb's 103° as correct. Thus, al-fjuwârizmï's text cor-rectly is yd .

28 Tho eastern longitude in Suhr äb, in contr ast to al- fju wär izm i, is 124°5'. Inal- ff uwâ ri zmi th e western longitude is pu nc tu at ed . Wit h th e help of this the <u to befound with Suhräb can be corrected into <u . In the case of the eastern latitude, however,

the d at um of al- ff uwä ri zmi can be correc ted into on th e basis of Suhr äb' s te xt . Infact, this value can also be proved on the basis of Ptolemy's text (Sueba ore VI. 14-8).


8/15/2019 ACTAANTIQUA_28 (1980)


324 M. MARÓTH

(945 — 946) Mo unt ai n connect ing wi th this 29

118° 67°45' 125° 63°dire ction of pea ks : No rt h colour : sky-blue

(947 — 948) Anä zäy ä mou nt ain range

122°10' 59°10' 128°40' 54°2 5'dire ction of pea ks : No rt h colour : sky-blue

(949 — 950) Moun tai n 3 0

126°45' 61°30' 135° 20' 57°dire ction of peak s : No rt h colour : ind iff eren t

yellow(951 — 952) Moun t Awza qiy ün 3 1

141°40 ' 51°20' 148°50' 58°dir ecti on of pea ks : No rt h colour : indi ffer ent iron

colour(953 — 954) Moun t Lan âti tî 3 2

147°40' 65° 155°55' 60°10 '

3. Names of Countries

1585 Cou nt ry of Sás an d Tâ ra ba nd , its mi dd le longit ude : 98° la ti tu de : 42°1600 Co un tr y of Osqö niyä , lan d of th e Tu rk s, its midd le lo ng it ud e: 114°

la t i tude: 59°30 '1601 Country of Osqöthiyä, country of the Toguzguz, its middle longitude :

143° la ti tu de : 59°30'4. Rivers

River Bâtis

It s beginning is a spring at lo ng it ud e: 146° and la ti tu de : (2046)39 °4 0' . Fr om her e it flows to longi tude : 153° an d la ti tu de : 40°10'... (2048)A spr ing meets thi s riv er, its beginning is a t long it ude : 147 °20 ' a ndla ti t ud e: 45°20' . It meets the river at lo ngi tud e: 149° and l atit ude41°30'. (2051)Another spring also meets river Bâtis, its beginning is between twocit ies an d a mo un ta in at longi tude : 149 °30' and la ti tu de : 3 8°40 '. (2052)I t mee ts the river at lon git ude : 153° an d l at it ud e: 40°. (2053)

29 In the case of the eastern latitude the pu nc tu at io n is omitt ed bo th in al- ffu wä-rizmï and Suhrâb. On the basis of the text it had to be adjusted to the previous point,viz. point 944. In accordance with this the latitudinal figure has to be corrected into т у -in both Arab authors.

30 In S uhrâ b both l ati tud es are dif fer ent . Th e western la tit ude is 71°45' and theeastern 57°5'.

31 In Suhrâb the eastern longitude is 153°50'. The collation with Ptolemy (Auxakia

ore. VI. 15-2) justifies the latitudinal datum established here.32 In Suhrâb the w este rn lati tude is 6505'.


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWÄRIZbl l 'S DESCR IPTIO N OF CENTRAL ASIA 3 2 5

River Balh

It s begi nnin g is a lak e at lon git ude : 100° and la ti tu de : 48°. (2196)The dimension of the river is one part. It flows to the corner of the

moun tai n at lon git ude : 102° and la ti tu de : 47°. (2197)From there it turns back to the point at longitude : 96°40' and lati-tu de : 4 4°30 ', an d the n fro m the re it flo ws to longitud e : 96° 30' and (2198)la ti tu de : 42°. (2199)Thereafter it comes and crosses the city of IJwärizm, flowing out fromthe re it reaches th e poin t longitud e : 91° 30' and lati tu de : 39° 40'. (2200)It flows along in the vicinity of the city of Balh and meets the Batiha atlo ng it ud e: 88° and lat it ude : 39°10'. (2201)Fr om Ri ve r Balh flows a river, its begi nni ng is at lon gitu de : 91° 30'

and la ti tu de : 39°40' . (2206)It flows, and then it crosses a long mountain, it passes along the citiesof Us rüs an a and IJog and a and arrives at a place at longitude : 92°3 0'an d 34 °40 '. (2207)A spring flows out from the mountain at longitude : 99°40' and lati-tu de : 39°. (2211)It flows along in the vicinity of the city of merchants to the place atlo ng it ud e: 100° and lat itu de : 41° 30' . (2212)It flows farther and meets River Balh at longitude : 96°40' and lati-

tu de : 44° 30' . (2213)Into this river flows a river rising from a spring, its beginning is atlo ng it ud e: 101°40' and lat itu de : 39°2 0'. (2214)It flows touching the city of merchants and meets the river rising froma sprin g at lon git ude : 100° and la ti tu de : 41° 30'. (2215)A river rising from mountains falls in (the water) of the first spring. Itsbegi nnin g is at lon git ude : 104°30' an d la ti tu de : 47°5 '. (2216)I t flo ws int o th e river origina ting fro m a spri ng at longit ude : 97°2 0'and lat itu de : 44°5 '. (2217)

Long river

It s begi nnin g is a sprin g at lon gi tud in e : 129°30' and la ti tu de :46°. (Su hrâ b men tio ns 41°5'). (2218)I t flow s to lon git ude : 118° and la ti tu de : 46° 5'. (2219)Fr om th er e it flows to long itud e : 107°5' an d la ti tu de 50°3 0'. (2220)Th en fr om th er e it mak es for lon git ude : 100°30 ' and la ti tu de : 51°. (2221)It passes by the city of the Khazars and between the sea and the city

of fjwärizm, its water flows into the lake of River Balh at longitude :90 °5 'a nd lati tud e : 41°30'. (2222)


8/15/2019 ACTAANTIQUA_28 (1980)


3 2 6 M. MARÓTH

Into this river flows a river from the mountain of Arsänä, its beginningis a t longi tud e : 99° an d la ti tu de : 57° 30' . (Wi th Su hrâ b long itud e :99°5'.) (2223)It flows into the big river at longitude : 92°5' and latitude : 45°5'.

(Wi th Suh râb la ti tu de : 44°5'.) (2224)A river coming from Mount Arsänä also flows into the big river, itsbeginning is at longitude : 100° and latitude : 59°5'. (Suhrâb : longi-t ud e : 100°40'.) (2225)I t flow s int o th e rive r at longitu de : 94 °5 ' an d la ti tu de : 46°5 '. (2226)A river flows into the big river from Mount Asqäsiyä, its beginning isat lo ng it ud e: 104°40' and lati tud e : 56°5 '. (2227)I t flo ws into th e riv er at longitude: 100°30' an d lat itu de: 51°5'. (2228)A river from Mount Asqäsiyä similarly flows into the big river, its be-

ginn ing is at longi tud e : 106°30' and lat it ud e : 54°5'. (With Suh râbla ti tu de : 54°40'.) (2229)It flows into the river at longitude : 104°30' and latitude : 51°. (WithSu hr âb lat itu de : 51°5'.) (2230)Another river from Mount Asqäsiyä also flows into the big river, its be-ginni ng is at lon gitu de : 10 8° 5' an d la ti tu de : 52°30 '. (2231)It s mo ut h at th e big river at longitude : 10 7° 20 'a nd lat itu de : 50°30'. (2232)Three rivers from a mountain also flow into the big river.Th e source of th e fi rs t rive r is at lon git ude : 103° an d la ti tu de : 48°30 '. (2233)It flows into the big river at longitude : 10 3° 10 'a nd lat itu de : 51°30'. (2234)Th e source of th e second one is at lo ng itu de : 103°30' an d lat it ud e :47°30'. (2235)I t s mo ut h at the big riv er is at longi tude : 104 °30 ' an d la ti tu de : 50°40'. (2°36)Th e source of th e th ir d one is at lon gi tud e : 104°45' an d lati tu de :48°5'. (2237)I t flo ws into th e riv er at longi tude : 106° 5' an d la ti tu de : 50°20 '. (2238)Three rivers from Mount Taghürä similarly flow into the big river, thesou rce of th e fi rs t one is at longit ude : 112° an d la ti tu de : 58°10'. (2239)(With Suhrâb longitude : 112°5'and latitude : 53°5').

It s mo ut h into th e riv er is at longi tude : 109 °20' an d la ti tu de : 50° 5'. (2240)T he source of th e second one is at lon gi tu de : 114°5' an d la t it u de :52°5'. (2241)I t flows int o th e riv er at longit ude : 114°5' an d la ti tu de : 49°3 0'. (2242)Th e source of th e th ird one is at lo ng it ud e: 115°30' and la ti tu de :51°30 '. (With Suh râb lat it ud e : 51° 20\ ) (2243)I t flows into th e river at longitude : 11 4° 5 'a nd lat itu de : 48°30'. (2244)I n to this big rive r flows a spring, its sour ce is at lon git ude : 119°40'an d la ti tu de : 44°3 0' (With Suhrâb lon git ude : 119°5'.) (2245)

It s mo ut h at the river is at lon git ude : 118°5' and la ti tu de : 46°5'.


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWÄRIZMI' S DESCRI PTION OF CENTRA L ASIA 3 2 7

(Wi th Su hr âb lon gi tud e : 118°40'.) (2246)A spring flows similarly into the big river, its source is at longitude :

124°3 0' an d la ti tu de : 49°5 '. (With Su hr âb lon git ude : 124°5'.) (2247)It flows into the river at longitude : 123° and latitude : 46°20'. (With

Su hr âb lat itu de : 123°5'.) (2248)

River Yühardis

It s source is a spr ing , at lon gitu de : 14 5°30' an d la ti tu de : 47°. (2249)Fr om the re it flows to lon gitu de : 152°30' an d la ti tu de : 51°30 '. (2250). . . In to t his river flo ws a spring , its sourc e is at lo ng it ud e : 147°30 'an d la t i tu de : 52°30' . (2257)I t flows into the river at long itud e : 15 2° 40 'a nd la ti tu de : 51°30 '. (2258)

. . . In to thi s rive r flows a rive r fro m th e mo un ta in , i ts source is atlong itude : 92°30 ' an d la tit ud e : 61°. (2389)It s mo ut h into th e river is at long itude : 8 1 °3 0 'a nd lat it ud e : 58°3 0'. (2390). . . Into the former river flows a river from Mount Rümlqä, its source is

a t lo ng itu de : 91° an d la ti tu de : 56°5'. (2399)I t flow s int o th e riv er a t lon git ude : 88° an d la ti tu d e : 54°. (2400)A river from Mount Arsânâ also flows into the former river, its source

is a t lon git ude : 97° an d la ti tu de : 56°. (2401)It flows int o th e fir st riv er at lon git ude : 87° 20' an d la ti tu de : 53°. (3402)

II . EXPLANATION AND IDENTIFICATION OF THEGEOGRAPHICAL POINTS

(398) ï lyj- îl lon git ude : 91°10' and la t i tu de : 36°4 0' . The c o-ordinatesgiven by al-ffuwârizmi accurately tal ly with those of Suhrâb. The nameï l - j d e n o t e s a p rovince. 1 Its na me occurs also in th e form s Su trü san a an dSurösana.2 The nam e of th e cap ital of th e provin ce wa s Bung ika th. 3 íl-JJMcan be identif ied with the surroundings of present-day Ura-Tübe. 4 A l - Ruwä-r izml in his work, however , denotes by the na me ï l - j n o t the province,

but i ts capital . Therefore by the point given Bungikath must be understood.The one time city can be identified with the ruins of the medieval Sahristän. 5

(399) lo ng itu de : 92°30' and la t i tu de : 37°10' . Suhrâ b also

gives exactly these co-ordinates. The city was situated at the border of the

1 Ibn Ra wqal , 379 : lip. «da. lp ^ - J j ^li'VI -U-JI ól S ^ÜVI él i ÎL -j j- il LI

у VI, Iç tahr ï : . l ip L l L r J j j»d5VI (»-I -u JI ól S jv-JLïVI ^ ( i L - j ^ l Lli2 H A . 3 5 4 .3 At each of the places quoted so far.4 Tur kes tan , 164—16G.6 Op. cit. 1 6 6 —1 6 7. A . N . N e g m a t o v — S . G . H m e l n i t s k i : 1 9 1 — 197.

Acta A ntiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


2 8 M. MARÓTH

province Farghâna, but it belonged still to Sás. 6 It can be found beside thePtolemaic Alexandreia Eschate, but their names have nothing to do witheach other.7 Ibn Rusta, in contrast to al-JIuwârizmï, places the city not inCli ma te V, but in Clima te IV together wi th th e cities of Osrösana a nd Earg häna .8

On its place we can find today the city named ffogend.9

(400) i V b lon git ud e: 94°10' an d lati tu de : 38°3 0'. The city canbe fo un d also in Su hr äb , bu t at lon git ude : 94°55'. In the Ar ab geographicli te ra tu re its na me occurs also in t he fo rm d-TL> , bu t Ba rt ho ld rema rkedthat the form i S Ь is cor rect .10 It occurs in this form also in al-Huwârizmïan d Suh räb. Besides th e var ian t men tio ned above the for m is alsoknown.1 1 The city was situated in the one-time province of Iläq at the bankof River Angren, near its mouth into the Syr-Darya. Its one-time existenceis witnessed by the present-day Sarkiya ruins.12

(401) lon gitu de : 96°3 0' an d lat itu de : 36°40' . Wi th Suh räb t h eci ty ca n be found at longitude : 94° 30' an d lat itu de : 36° 30' . It was th ecapital of province Farghâna, therefore in the Arabic itineraries it is fre-qu en tl y mentioned like th is : inx .. 1 3 The city is described by the Arabauthors differently in regard to its size. It was situated in the territory ofthe present-day villages Ahsi and Sähand.1 4 In contrast to al-Huwârizmï andSuhräb, Ibn Rusta places it into Climate IV.15

(402) xjjlk lo ng it ud e: 96°30' an d la ti tu de : 39°35 '. We fin d the samedata also with Suhräb. The city is also mentioned by the names xaj\Jk> and,ysliJI ó > ,16 The la tt er na me origi nates fro m the circum stan ce th at for atime it was the capital of province Säs. This name can also be found withthe historians, al-Tabarl and al-Balädüri. With the exception of al-Huwârizmïand Suhräb, the other geographical writers mention CSCJ as capi ta l of Säs.17

6 HA. 355. The opposite is said by Ibn Rurradädbeh, p. 30.' Th om so n: 126. J . M a r k w a r t : Die Sogdiana des Ptolemaios. Orientalia 15

( 1 9 4 6 ) 1 2 5 .8 I b n R u st a , 97 : ü-uJI ^ LjJ ójSLi u L I ^ ^ . s t j L . . .

J j 4J Iiji ,9 Tur kes tan . 164.

10 E I . П . 671." V. Minorsky : Addenda to the Rudi id al-'Älam. BSOAS 17 (1955) 262.12 No t this city wa s th e capita l of Il âq , bu t Tun ka t. Cf. Ljt ahrî , 331.13 Ib n Bur ra dä db eh , 30. Qudä ma, 208. Is tah rï, 333. Ya' qûbï , 294. The latte r uses

th e exp ressi on b liji «JU , bu t he refe rs it to an ot he r city : J i b dJUl LjJjj b l c j bj-Uj

ó u i r .14 Turke stan, 161 — 162. EI . I . 247.15 Ib n Rust a, 97.18 The XJJU» occu rs wi th the hist oria ns. Balâ dûrî , F ut üh al -Bu ldä n, L eiden, 1866.

421. Ta ba rï : Ta 'r îh al -R us ul wa al Mu lü k. I I . 1571. ^dldJI can be fo un d in th eitineraries.

17 Muqadd asi, 276, an d also with oth er s.


8/15/2019 ACTAANTIQUA_28 (1980)



The reason of th e difference is very likely th a t the car togra pher s, in co nt ra stto the other geographical writers, recorded the older conditions in their works.In Barthold we find the name Birkath instead of Binkat. 1 8 Yäqüt in his workaccepts the co-ordinates known from al-ffuwärizmi and Suhräb, and writes

that the city is also known by the names Turäraband, Turär and Oträr. On thebasis of this text Täraband can be identified with present-day Otrar. 19

(403) vW" 1 long itude : 98°10' and la ti tu de : 39°50'. In Suh räb thelat itu de is 39° 7'. In Ya 'q üb i the na me of th e city can be found in th e fo rm

-20 The name equally denoted the city and the province situatedaround it, whose capital it was.21 It was situated in the valley of River Aris,in the neighbourhood of Öimkent. It can be identified with present-daySayram.22 According to Istahri it was a small town. 23

(404) jl>II lon git ude : 100°30' and la ti tu de : 40°2 4'. In Su hrä b th elatitude is 40°25'. It is mentioned by the Chinese sources as a famous com-mercial city.24 I t is also ment ione d b y al-Hu wari zmi a nd Suhr äb like thi s : jUdlSqju. I t was s i tuated in the valley of River Talas, near present -dayAuliya-Ata.2 5

(405) long itude : 130' and la ti tu de : 38°. In Suhräb the la ti tu deis 40°25'. It is also known from the Arabic itineraries. C. A. Nallino identifiesit with Tibet.26 Very likely, also here as already in several cases, al-fjuwärizmiindicates by the name of the province its capital. At this time Tibet had nopermanent capital, its place was always changing. The changing places of thecapital, however, can always be found in the region of present-day Lhassa. 2 7

The name of Lhassa can also be found in the HA.28 Ibn Rusta places alsothis city into Climate IV.29

(406) Ijlîl>1 lon git ude : 149°10' and la ti tu de : 37°50 '. In Su hr äb th elongitude is 149°50'. The city can be identified with the city 'OTZOQOXÓQQO.

to be found in Ptolemy, exactly on the basis of the similarity of name andthe site. According to Mzik, the transliteration of the name of the city points

18 E I . IV . 745.19

Yä qü t : K it äb Mu gam al-Buld än. Leipzig ] 866—1873. II I . 524.20 Ya 'q ûb ï, 295.21 Muqa ddas ï, 262.22 H A . 357—358. Tu rk es ta n. 175—179.23 Içt ahr i, 333.24 K. C z e gl é dy : Die Kar te der Dona ulan dscha ftgr uppe nach al-Ruwärizmi. A ct a

Orient. Hung. 1 (I960) 51.25 H A . 119. 35 7- 35 8. EI . IV . 720.28 C. A. N a l l i n o : Al -Ruw äri zmi e il suo ref aci ment o della Geografia di Tolo meo.

Raceolta di Scritti editi о inoditi. Vol. V. 514.2 7 1 know this on the basis of G. Uray's verbal communication.28

HA . 93.29 Ib n Ru st a, 97.


8/15/2019 ACTAANTIQUA_28 (1980)


330 M. MARÓTH

to Syrian mediation.30 Thomson regards this point in Ptolemy as a fabulouselement,3 1 but Berthelot identifies it with the Chinese Sung-Pan.3 2

(407) je» J J~r J* о jl longitude : 149°15' and la ti tude : 39°. I t can alsobe found in Suhräb, but the longitude given by him is 149°50'. Unfortunately,

al-Huwärizmi did not give any name, and the city is situated outside theterritories well-known by the Arabic itineraries. We tried to identify the cityon the basis of its place occupied by it on our map. In the HA we can finda city,3 3 ab ou t which we ca n read : «It is . . . close to th e moun tains» . In hisexplanation V. Minorsky adds that the city was situated on the bank of asmall river, southeast of this. It can be identified very likely with this city.

(467) f j j J - longitude : 91°50' an d lati tude : 42°10'. In Suhrä b thelongitude is 91°4'. Just as above, the city bearing the name of the provincemeans the capital also here. On the basis of the itineraries it seems that thecapital of Hwärizm was Käth. 3 4 This view is supported also by Barthold. 35

Today only the remainders of the city can be found, and they are knownunder the name Säh 'Abbas Wall. Ibn Rusta places this city into Climate V. 36

(468) j> J ' lon git ude : 93° an d la ti tu de : 45°. Su hrä b's d a t a agreewith those of al-Huwärizmi. The reports on the city of the Khazars can alsobe fo un d in the Arabic itineraries. Ih n Hu rra dä db eh calls the K ha za r cityKhamlig.3 7 It was situated at the lower course of the Volga. V. Minorskyproposes the reading Khamlih. 3 8

(469) L-TJ lo ng it ud e: 104° an d la ti tu de : 44°. Suhr äb gives 42° aslatitude. It is one of the important stations of the route leading towards

China, according to Qudäma it was a big city. 39 The route led from here toBarshän to be found at the border of China, on the northern hank of theIssik-Köl.40 The name of the city was pronounced Nawikat, al-Huwärizmian d t he Ara b geograp hers tran scribe d th e long «ï» with alif m am dü da .4 1

(470) o > lo ng it ud e: 110° and la ti tu d e : 44°45'. The city is charac-terized with these data also in Suhräb. It was situated between Nawikat and

30 H. M2ik : Afr ika na ch der arabis chen Bearbe itung der Г е х о у д а с р ч е г ] v<prjyrj<nçdes Claudius Ptolemaeus von Muhammad ibn Müsä al-fjvärizrni . Wien 1917. IX.

3 1

T h o m s o n : 3 1 0 — 3 1 1 .32 A. B e r t h e l o t , C arte de l 'Asie Centrale. L'Asie Centrale Ancienne. 224—225.33 HA. 85. 232.34 Ibn Rawqal, 351. Maqdisi, 287. Istahri, 300.35 Tur kes tan . 144—145, 150. EI . H . 974.36 Ib n Rus ta, 98.37 Ib n Hur ra dä db eh , 124. Against this Ista hr ï, 220 : Jîl , Ib n Haw qa l, 365 : Jjl ,

I b n R u s t a , 139 : J Í J L .3 8 H A . 4 5 0 - 4 5 4 .39 Qudäma, 206.40 HA. 289.41 HA. 290.


8/15/2019 ACTAANTIQUA_28 (1980)



Barshän, thus it was situated on the northern route of the three routes leadingto Barshän, north of the Issik—Kol. This is shown also by the circumstancethat on our map it can be found by 2°45' more to the north than Barshänsi tu at ed on its sou the rn shore. Re ad in g t he itineraries we fi nd th at i t is t he

most important station of the northern route that appears in every enumera-tion, it was the city of JIT. 4 2 Very likely,at this point this city was also repre-sented by al-fjuwärizml. 4 3

(471) Ь L longi tude : 112°45' and lat itu de: 42°. The same da ta are

given also by Suhrâb, but unfortunately he does not mention the name ofthe city either. Examining the it ineraries of Ibn Hurradädbeh and Qudäma,however, we can be sure that this city was OUip 44 and its name has to beread correctly Barshän. 4 5 This city was situated at the border of China, 40

and was the final point of the itineraries. From the territory reviewed here

one could get here on three routes. One of the routes led from Nawlkat onthe northern bank along the Issik-Köl. The second route starting out fromTumkat ran on the southern bank of the Issik-Köl, while the third one ledthrough the cities Qübä, Os and Uzkand from the south to the north. 47 Thisis the final station of each route, from here the route leads already in foreignterritory. The city of Barshän was situated on the bank of the Issik-Köl inthe vicinity of present-day Przevalsk. 48 From here one could get further toChina, to the land of the Toguzguz, to Slnistän. 49

( 4 9 7 l o n g i t u d e : 148°10' a nd l at it ud e: 46° 45' . Suhräb's d a t a

accurately tally with these. The city does not occur in Ptolemy. It can befound in the land of the Toguzguz, near the border of China. On the basisof the different data and of the comparison of names it can be identified withÖinängkäth of the HA, the winter capital of the Toguzguz. 50 The city is men-tioned by other sources by other names. It is known by the Chinese underthe name Kao-ch'ang, and by the Turks under the name Qoöo. Today besidethe place of the city the ruins of Idiqut-sahri are situated.

(536) J ^ ^ j - l l l ong itude : 131° and l a t i t ude : 58°10 '. Suhräb ' s da t atally with those of al-Huwärizmi. In writing Suhrâb gives the form j- U toth e nam e of th e city, thus to some ex te nt he differs fr om al-H uwâ riz mï. I n

42 Qud äma, 206. Ibn Hur rad ädb eh, 29.43 Ide nti fic ati on see HA . 291.44 Ib n Hu rr ad ädb eh, 29. Qud äma , 206.45 Н А . 292, n o t e 3.48 Qudäma, 206.47 Н А . 289. I bn Hurradädbeh, 30. Qudäma, 206.48 Qu dä ma , 262. J . de G o e j e : De Muu r van Gog en Magog, reviewed by Т о м а -

schek in WZKM 1889. HA. 293.49 Ibn Hurradädbeh. 30.50

HA . 271. M. P. P e l l i o t : Kao- tch' ang, Qoöo, Houo-tcheou et Qarâ -Kh od ja.J A (1912) 67 9 - 60 3 . A . S t e i n : I nn e r m os t As i a . Oxf o r d 1928. 66 6 - 6 0 9 .


8/15/2019 ACTAANTIQUA_28 (1980)


332 M. MAHÓTH

absence of punctuation, however, the name is illegible with both of them, itis also difficult to identify it. On the map this city can be found in the regionof LÎ̂ Â-I , coun try of th e » 7 . In the itinera rie s we can read th at the peoplenamed dLT was living there.51 According to the HA, there was a city in the

Kïmâk region, in agreement with our text beyond Climate VII, its namewa s 4L or ÖJ—ÍJ. Compar ing th ese d a t a we fi nd t h a t the two ci tie scorrespond to each other.52

(537) longitu de : 141°30' an d lat itu de : 51°20 '. Suhräb's d at atally with those of al-Huwârizmî, but he gives the name in the form ^.LL.On account of the absence of punctuation, the reading of the name is un-certain. It is difficult to identify, because it has been preserved in a verydistorted form. The difference is significant even between the forms of al-Huwârizmï and Suhräb. On the basis of our map that much is certain that

the city was situated in the Toguzguz territory. Pangikäth, the summer capitalwas the second most important city after Oinängkäth. According to the HAthese two cities were separated from each other by a mountain. 5 3 The repre-sentation of al-Huwârizmî meets this requirement. The Chinese name of thetribe living in the vicinity was Pa-si-mi ( — Basuzil). It a ppear s th at thisname can also be restored from the city name of al-Huwärizmi that differsconsiderably from Pangikäth mentioned in the HA as well as from the Turkishname of the city, viz. from Bisbaliq.54

II. 2. Mountains

(817 -81 8) lon git ud e: 88° an d la ti tu de : 36° — long itud e: 106°and latitude : 39°20'. The direction of the peaks is North. On the basis of itssite, the mountain can be identified with the Ptolemaic П а д о л а п а о д and th eт а Eáoupa Öorj. On the basis of Her ma nn 's ident ifica tion , the prese nt-da yHindukush mountain corresponds to the one-time Paropanisos, while theKaitu mountain and the Safid-küh correspond to the Sariphos. 1

(819 —820) J ^ lon gi tud e: 106° an d la ti tu de : 39°2 0' - lo ng it ud e:124° 35' and l a t it u d e : 39°45'. The direc tion of the pea ks is north. On th ebasis of its site, the mountain can be identified with the Ptolemaic KavxáaiovOQOÇ. According to He rm an n 2 and Berthelot 3 the mountain between the Amu-Darya and the Indus can be regarded as the KavxáoLov öooz. As compared

51 Ibn HurrudfidVjch, 31.5 2 H A . 9 4 . 469 . 47 1 — 47 4 .5 3 H A . 3 0 9 .5 4 H A . 2 7 2 .

1 R E 1 8/ 3. 1 7 7 8 - 1 77 9 , 1 1 / 1 . 2 5 1 4 - 2 5 1 5 .2 R E . 1 1 . 6 0 .3 A . B e r t h e l o t : 265.


8/15/2019 ACTAANTIQUA_28 (1980)



with the reality, the mountain to be found on the map of al-ïjuwârizmï ja

disproportionately elongated. The reason of this will be discussed in theConclusions.

(821 —822) J^- lo ngi tud e: 127°50' and la ti tu de : 39°50' — lon gi tu de :

139°30' and latitude : 38°. The direction of the peaks is North. Suhräb givesalso the name of the mountain, viz. : ^ jUI. Taking into consideration thisname and the site of the mountain, we find that it can be identified with"I/iaov OQOÇ of Ptol emy. The na me of th e mou ntain also occurs in Sy rian geo-graphical literature. The spelling YÛ о to be found there is the ac cu ra tetransliteration of the Greek form. 4 It seems that the Arabic variant of the nameof the mountain originates from the misreading of the Syrian variant.

(823 - 8 2 4 ) J~r longit ude : 137° an d la ti tu de : 72° — long itude : 139°20 'and latitude : 38°. The direction of the peaks is West. Suhräb's co-ordinates

differ from the data of al-Huwärizmi. Suhräb gives the name of the mountainalso in this case, viz. : Lil. Thus, on th e basis of its site an d its na me , alsothis mountain can be identified with Ptolemy's "Ipaov OQOÇ, exactly with itslong branch of N-S direction.

(825 — 826) 0>. J->- lon git ude : 140°30' and la ti tu de : 37° — lon gi tu de :149°20' and latitude : 38°. The direction of the peaks is North. With Suhräbthe name appears in the form o ^ . On the basis of th e bet ter form of thename and on the basis of the site, the mountain can be identified with themountain ' Hpcoôà OQY] occurring with Ptolemy. The last three mountains in

reality can be identified with the mountain system of the Himalayas.5

(8 65 -8 66 ) ïjU— ̂ longitu de: 101°55' and la ti tu de : 41°5 ' — lon git ude :101°55' and latitude : 42°15'. The direction of the peaks is East. It does notoccur in Suhräb. It can be identified with Ptolemy's Ai&tvoç П щ у о д , al thoughaccording to the co-ordinates of al-Huwârizml it is situated much more tothe West than that. Earlier it was regarded by the researchers as the equivalentof Taskurgan,8 but as a result of the more recent investigations, Treidler, 7

Markwart 8 and Thomson9 represent the unifie view that it can be found onthe Alai plateau, in the vicinity of present-day Darautkurgan. The mountainwas of great significance from the viewpoint of travels, because the routeto China led through this.

(8 67 -8 68 ) Jer long itude : 117°50' and latitud e : 45°30' — lon git ude :122°20' and latitude : 41°50'. The direction of the peaks is South. Suhräb's

4 A. H j e l t : Étu de s sur l'Hoxame ron de Jacq ues d'Edess e. Holsingfors 1892.Pp. XXXVIII . , XL1.

5 R E . 10. 2261 2263. 5. 2502 — 2604. 9. 5214. 9. 2542.6 Th om so n : 309.7 RE . 24. 33 -4 6.8

J. M a r k w a r t : Wehret und Araiig. Leiden 1938. 39 — 65.8 Th om so n : 308.


8/15/2019 ACTAANTIQUA_28 (1980)


334 M. MARÓTH

data tally with those of al-fjuwärizmi, but neither of them gives the name.On the basis of its site, it can be identified with Ptolemy's Kcoprjdwv ogeivr].I n th e form jT, t he na me also occurs in with Ib n Ru st a. 1 0 In reality theAlai mountain system corresponds to this mountain. Kretschmer 1 1 and

Markwart1 2 share this opinion.(8 69 -8 70 ) li Ua-I J*. lo ngitude : 124° 55' and la tit ud e : 49°50' - longi-

tu de : 135°40' and lat it ud e : 43°. The dire ctio n of the peaks is Nor th. Suh râb 'sdata tally with those of al-fjuwärizml, there is a small difference only in theform of name given by him : it appears in the spelling U IL U-. On the basisof its site and name the mountain can be identified with Ptolemy's ' А а х а т а у х а ;ogrj. The identification has been done by Tomaschek. 13 According to him themountain range consisting of the Usun-tau, the Kogart-tau and the Karakol-tau corresponds to this mountain, indeed.

(8 71 -8 72 ) L-1» J ^ longi tude: 141° an d la ti tu de : 41°10' — long itud e:147 °45 ' and lat it ud e : 47°. The direct ion of th e peak s is Nor th. I n Suhrâbthe name of the mountain appears in the form L-L. The co-ordinates at twopoints do not agree with the co-ordinates of al-Ifuwârizmï. The mountain, onth e basis of its na me an d site, corresponds to th e Ptol emai c mou nta in. The d irectpredecessor of th e Ar ab ic nam e is very likely th e Syrian spell ing f .fi? J„o .14

It can be identified with the present-day Karakorum mountain, otherwisecalled Mus-tag mountain.1 5

(885—886) J->- lon gi tud e: 96° an d la ti tu de : 45°55' — lon git ude :

100°5 0' and la ti tu de : 49°50'. The direc tion of the peaks is Nor th. Suh râbslightly differs from the co-ordinates of al-IJuwârizmï. On the basis of its sitethe mountain can be identified with the "ßfeta ögr/ known from Ptolemy.According to Hermann today the Hissar mountain corresponds to this.16

(8 87 -8 88 ) J ^ long itud e: 102° and la tit ud e: 47° — long itude :107°20' and latitude : 47°. The direction of the peaks is North. There is asmaller, insignificant difference between the co-ordinates of Suhrâb and thoseof al-Huwârizml. On the basis of its site the mountain can be identified withthe Eóyóia őgt] to be found also in Ptolemy. In reality the mountainousdistrict situated between river Baskatis an d river Demos corresponds to thismountain.1 7

10 H A. 361 — 363 .11 R E. 2/3. 788—791 .1 2 M a r k w a r t : op. cit. 59 — 65.1 3 R E. 2. 1614—1615. W. To ma sc he k: Kri tik der ältesten Nachrichten über

den skythischen Norden. 11. 51.14 Jac ob of Ede ss a, 38.15 HA. 199.16

RE. 18. 2003.17 R E . 263. 789.


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWÄRIZMI'S DESCRIPTION OF CENTRAL ASIA 335

(927 — 928) Ц г -jj J-T- lon gitu de: 88° and la ti tu de : 57° — long itu de :93°25' and latitude : 55°. The direction of the peaks is North. Suhräb's datasligh tly differ fro m th e da ta of al- JJuwäri zmi. On the basis of its site an d nam ethe mountain can be identified with the Ptolemaic 'Pvptfitxà о д у . Accordingto Eckman,1 8 Berthelot19 and Hermann 2 0 equally the Ural corresponds tothe IS-yj J-»-.

(9 29 -9 30 ) J ^ longitude: 89°36' and lat i tu de: 61° — long itude :94°50' and latitude : 61°. The direction of the peaks is North. In the co-ordi-nates there is only one smaller difference between Suhräb and al-Huwärizmi.Neither of them mentions the name of the mountain. On the basis of its siteit can be identified with the 'Ynegßogeia о д у of Ptolemy, and in reality theUral corresponds to it.21

(931 — 932) U Ujl lo ng itu de : 95°40' and lat it ud e: 55°10' — longi-

t u d e : 100°50' and la ti tu de : 59°20'. Th e direction of th e peaks is No rt h.The data of Suhräb and al-IJuwärizmi completely tally with each other. On thebasis of the site and the similarity of name, the mountain can be identifiedwith the Ptolemaic Nógoaaov OQOÇ. This corresponds to the hilly country joining the Ural from the south. In this respect there is a complete identity ofviews among the researchers.22

(933- 934) J l o n g i t u d e : 102° and la t i tude: 60°20 ' — longi tude:108°20' and latitude : 59°30'. The direction of the peaks is North. The moun-tain has no name either in al-IJuwärizmi or in Suhräb. The mountain cannot

be found in Ptolemy, and it has no trace in the Syrian geographical literatureeither. This is a new material on the map of al-fjuwärizmi. It is situatedbetween the Arsänä and Alan mountains. The former mountain representsthe hilly country connecting with the Ural. About the Alan mountains wecan give the same statement below. Accordingly, the mountain situatedbetween the two can also be regarded only as a hilly country of the Ural.

(935—936) Jer long itude : 97°20' and lat itu de : 67°30' — lon git ude :102°60' and latitude : 60°30'. The direction of the peaks is North. In Suhräbthe direction of the range of the mountain differs from that represented by

al-IJuwärizmi. This mountain also represents a new material just like theformer one. The sites of both are also similar, thus it can also be regardedonly as the southern hilly country of the Ural. Accordingly, just like the'Ynegßogeia OQT), described by Ptolemy as one mountain, was regarded by al-IJuwärizmi as three nameless mountains, similarly the NÓQOOOOV OQOÇ, con-

18 J . Eck man n : op. cit. 99.19 B e r t h e l o t : 224.2 0 R E . 2 /1 . 1 8 8 4 - 1 8 8 6 .

21 J . Eckmann : op. cit. 99.22 Op. cü. 98. B e r t h e l o t : 224. R E 17. 1048.

Acta Antqiua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


336 M. MAllÓTH

sisting in Ptolemy of one range, was represented by al-ïjuwârizmï as a systemconsisting of three mountains.

(9 37 -9 38 ) L- U-l J~>- lon git ude : 104°25' and l a ti t u d e : 56°40' —longitude : 108°40' and latitude : 52°20'. The direction of the peaks is North.

Suhräb's data tally with those given above. On the basis of its name andsite the mountain can be identified with the 'Aon'iaia ogrj of Ptolemy. Theform of the Arabic name clearly shows that the direct source was not Greek,because the errors of the transliteration point to Syrian mediation. In Jacobof Edessa this name can be found in the form ? j . 23 In the variants of thema nu sc ri pt the spelling i——'( also occurs. Thu s, it is easil y und ers too d t ha tth e was read as — ( = J) . And the tr an sl it er at io n of th e long ï is in Arabicalif mamdüda.2 4 Fr om am on g all scholars who dealt wi th th e ide nti fica tionof the mountain, Hermann's solution is most likely. He sees its real equivalent

in the Karatau.2 5

(9 39 -9 40 ) ÓVI lon gitu de : 107°45' an d lat itu de : 62°2 5' - longitu de :114°40' and latitude : 62°20'. The direction of the peaks is North. Suhräb'sdata completely tally with the data of al-IJuwârizmî. On the basis of theidentity of the name and the site it can be identified with the mountain'AXavá öor] of Ptolemy. According to Berthelot2" and Tomaschek27 this moun-tain also corresponded to the hilly country connecting with the southern partof the Ural.

(941—942) \jjHe J-t- longi tu de : 109 °20 ' and l a t i t u de : 55°45' — longi-

t u d e : 115°40' and la ti tu de : 51°20'. The direction of th e peaks is Nort h.Suhräb's data completely tally with the data of al-Huwârizml. On the basisof its name and site the mountain can be identified with the Tánovga о д у ofPtolemy. According to Hermann's identification in reality this corresponds tothe Alexander range.28

(9 43 -9 44 ) Li j- Jr v longi tude : 114°15' and la tit ude : 58°20' — longi-tu de : 124° and la ti tu de : 63°. The dire ction of the peaks is Nort h. In Suhrâbthe name is given erroneously as Ь ^ . Th e da ta of the longitude are diff ere nt.On the basis of the site and the similarity of the name of the mountain, it

can be identified with the Eovfißa ogrj of Ptolemy. The Arabic spelling of thename of the mountain points to Syrian mediation.29 The distortion of the nameresults from the erroneous punctuation of the correctly written letter forms.

23 Jac ob of Edes sa, 38.24 C. B ro ck el m an n : Syrische Gram mati k. Leipzig 1960. 6 — 7.23 RE. 2/4. 2272 — 2273. R E . 2. 17 36 -1 73 7. Krit ik, II. 51.26 B e r t h e l o t : 2 24.2 'RE. 1. 1281.28

RE. 2/4. 2272 — 2273.23 About this in gr eat er det ail H. MZik : Afr ika , II. VI — VI II .


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWARIZMI'S DESCRIPTION OF CENTRAL ASIA 337

(9 45 -9 46 ) J*- lon gitu de: 118° and la ti tu de : 6 7°45' — long itud e:125° and lat it ud e: 63°. The direction of th e peaks is No rt h. The m oun tai nis nameless both in Suhräb and in al-Huwärizmi. According to both of them

it connects with the former mountain. Very likely, it forms a unit with thatone, and therefore it did not receive a separate name either. The two mountainranges form one unit, just as we have already seen an example for this in thecase of the Nógoaaov о got; and the 'Ynegßdgeia о д у . The complex consisting ofthese two mountains corresponds to the ranges of the Ala-tau. Their commonna me correctly writt en is : Lj ». 3 0

(947-948) h I j Ül J- - long itud e : 122°10' and la ti tu de : 59° 10' - longi-tu de : 128°40' and la ti tu de : 54°25'. The direction of th e peaks is No rt h.In Suhräb the data agree with the above ones, but the form of the name hasfurther deteriorated, viz.: LULL On the basis of its site an d na me the mo un ta incorresponds to Ptolemy's ' Avágea о д у . The Arabic transliteration shows thatthe Greek name was taken over with Syrian mediation. 31 According to Toma-schek the mountain can be identified with the western foothills of theTien-Shan.32

(9 49 -9 50 ) long itud e: 126°45' and lat itu de: 61°3 0' — long itud e:135°20' and la ti tu de : 57°. The direction of the peaks is No rt h. There is adifference between Suhräb and al-Huwärizmi in the latitudinal data. Thismoun ta in is also nameless in bo th of them. No Ptol emaic an tec ede nt s can betraced and it is not known by the Syrians either. We can find also this first

in al-Huwärizmi. In all probability, it can be regarded as a more easterlyrange of the ' Avágea о д у . Thus, together with that, it can be identified with partof the Tien-shan. This is also shown by the fact that it is situated betweenthe ' Avágea о д у and the "Avvißa о д у , and as we shall see, the "Avvißa о д у

are identified by the research with the eastern range of the Tien-shan.

(951 — 952) ojJjjl Л - longitu de : 141°40' and lat itu de : 51°20' — longi-tu de : 148°50' an d la ti tu de : 58°. The directi on of th e pe ak s is North. I nSuhräb the name, apart from the о at th e end of the word, is not pu nc tu at ed ,while in al-Huwärizmi the dot is missing only from the j. On the basis of its

name and site the mountain can be identified with Ptolemy's Avijaxía о д у .It stretches from the Karakorum mountain to the eastern foothills of theTien-shan, and thus it corresponds to the present-day Altyn-tag.

(953-954) ф У ф longi tude : 147°40' and la ti tude : 65° — longi tude :155°55' and latitude : 60°10'. The direction of the peaks is North. Suhräb'sco-ordinates and those to be found in al-Ruwärizmi slightly differ from each

30 Jacob of Edessa, 37 : it stands in the fonn ф и j Oil?31 H . M2ik : Afr ika, loc. cit.

32 R E . 1. 2063.3 3 RE. 1 . 2268-2259.


8/15/2019 ACTAANTIQUA_28 (1980)


338 M. MARÓTH

ot he r. I n Suhr âb we fi nd th e na me of th e moun ta in in th e form JA Ii I.On the basis of its site it can be identified with the "Avnßa о д у of Ptolemy.Tomaschek (in RE) identifies it with the eastern part of the Tien-shan, men-tioning especially the Qarasar and Turfan mountains.

II. 3. Names of countries

(1585) -UJJ Ik j jiliJI ^ longitu de : 98° a nd la ti tu de : 42°. The na me can-not be found in Ptolemy, it belongs to the new acquirements of al-IJuwârizmï.

(1600) L^i-I lon gi tu de: 114° an d la ti tu de : 57°3 0'. In Ptol emy th eterritory corresponds to the Uxv&taç xrjç èvxôç 'luáov OQOVÇ êéoiç. The Syrianvariant of the word is (-« 2. OPT } The Arabic form came into existence on

the basis of the latter one.(1601) l&U lo ng it ud e: 143° an d la ti tu de : 57° 30' . The terri tory cor-

responds to Ptolemy's Hxv&iaç Т fjç êxxôç Ч /I ÁOV OQOVÇ êéatç. This word throughthe Syrian transliteration (_» 2. onVi? can be traced back to the Greek wordUxv&la.

II. 4. Rivers

River t^ . (2196 — 2201) It s beg inn ing is a lake at th e longitu de : 100°30'

an d latitu de : 48°. I t reaches the corner of a mou nta in a t the longitude : 102°an d lat it ud e: 47°. I t tur ns back to the long itud e: 96°40' and lat it ud e:44° 30' . It flows to th e longitu de : 96° 30' an d lati tu de : 42°. Crossing th ecit y of Hwäriz m it arri ves at longit ude : 91°30' and la tit ud e : 39°4 0'. Itflows fart her in the vici nity of Balh, unti l at long itu de : 88° and la ti tu de :39°10' it flows into Lake Aral. Looking at the map we see that of the two bigriver systems the branch described now represents the main course of thesouthern river system. The southern river system clearly corresponds to riverrQÇoç to be found in Ptolemy and to its tributaries, while the northern water

system is nothing else than the Ptolemaic 'IaÇâgxrjç and its branches. Todaythe T Q£oç corresponds to the Amu-Darya, and the 'IaÇâgxrjç to the Syr-Darya.

Comparing the Oxus-course described by al-Huwârizmï with the descrip-tion to be found in Ptolemy, we can find several differences. One of the dif-ferences is th at in al-Huwâriz mï the ^ ^ flows into Lak e Aral, while in Pto lem yit flows into the Caspian Sea. In this respect, in accordance with reality, al-Huwârizmï has corrected Ptolemy. 1 The other difference is that in Ptolemy the

1 L. Jacob of Edessa, 38.1 On the mouth of th e Oxus seo W. B a r t h o l d : N achr icht en über don Aral-See

und den unteren Lauf des Amu-darja von den ältesten Zeiten bis zum XVII. Jahrhundert.Leipzig 1910.


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUW ÄRIZbll 'S DES CRI PTI ON OF CENTRAL ASIA 339

direction of the course is Sout h-North , while in al-IJuwârizmï i t is No rt h-S out h,or exactly the reverse of it. Examining the actual circumstances, we can seethat the river-heads of the Amu-Darya (Oxus) and the Indus flank the moun-tainous district of the Hindukush, by its ancient name Kavxáaiov OQOÇ, as refer-red to by us already while discussing the mountains. 2 Examining the map ofal-Huwârizmî, we find that also in him there is a river that with the river-headof the Indus flanks the Kavxáaiov OQOÇ. He describes this river as follows.

(2211 — 2213) I t comes out from th e mountains a t lon gi tu de : 99° a ndlatitude : 39°, it flows on along the City of merchants up to the point with theco-ordinates longitude : 100° and latitude : 41°30', then it flows into theat the longitude : 46°40' and latitude : 44°30'. According to the conditionsmentioned above this river corresponds to the main course of the PtolemaicOxus, the present-day Amu-Darya. This view is supported also by the fact thatalso another river flows into this river not much after its source.

(2214 — 2215) I t is th e tr ib ut a ry of th e former river. I ts source can befound at the longitude : 101 °40' an d la ti tu de : 39°20'. It flows beside the Cityof merchant s and at the longit ude : 100° an d la tit ude : 41 °30' it flows int o th eAmu-Darya. This river can be identified with the Murgäb to be found at theriver-head of the Amu-Darya. The Murgäb in reality takes its source from thoPamir mountain, on our map from the Paropanisos mountain. This is the mostimportant tributary of the upper course of the Amu-Darya, to such an extentthat Istahri takes this as the main branch, and regards the main course as a

tributary of the Murgäb.3

Af te r these it has to be clarified t h a t if these two rivers repre sent t he ma inbranch of the Amu-Darya, then to what does the river correspond that is shownby al-Huwârizmî as the Amu-Darya ? We get the answer, if we take threefactors into consideration. The first is the North-South direction of the courseof the river. The second is that the source of the river is a lake (2196). The thirdis t h a t in al-Hu wâriz mî one river is missing t ha t can be f ound in Pt ol em y.This missing river is the П п /.vTt'prjroç which can be identified with the Zarafsan. 4

The direction of the course of the river in question in general outlines corre-

sponds to that of the Zarafsan, and on the other hand, in the Middle Ages it wasbelieved that the Zarafsan took its source in a lake, in fact in Lake Iskandar.Thus, the lake described under point 2196 corresponds to the Iskandar-köl, 5

and the river in question to the Zarafsan. Thus, on the one hand, at this pointal-Huwârizmî corrected Ptolemy, who represented the IJoXvTÎprjroç so that itflew into the Caspian Sea, and on the other hand, in the course of the correction

2 B e r t h e l o t : 265.3 Içfahri, 296.4 W . ToM asC hek : Cent ralas iati sehe St udi en. I. Sogdi ana. Wie n 1877. 14 — 22.5 Н А . 73. 211 . J . Ma r k w a r t : We hro t und Arang. 84.


8/15/2019 ACTAANTIQUA_28 (1980)


340 M. MARÓTH

he also fell victim to an error, because he mixed up the Zarafsan with the Amu-Darya. According to the sources, however, this was a traditional error, it cannotbe put down to his account. 6 Besides, it is also an evidence in favour of the view jus t expounded t h a t in Ptolemy the co-ordinates of the river-head of the Oxus

are longitude : 119°30' and latitude : 39°. Comparing these data with the dataof the river of al-Huwârizmï taking its source in the Kaukasion oros, we can seethat the latitudinal data exactly tally with each other, while in the longitudewe find a difference of 20°. This, however, can be attributed to the generaldisplacement of the longitudinal degrees. This question will be discussed inthe Conclusions.

The Amu-Darya received its present name from the city of Ämul situatedon its bank.7 On the basis of a similar consideration, al-Huwârizmï called it jdj , because in fac t , the ri ve r before flowing into Lake Aral, fl ew along by

th e city of Balh . Sulir ab mentions in his book th at its mos t widespread na mein Arab ic scientific lit era tur e is . In Pah la vi lit era tur e the river was alsocalled Weh-röt.8 Th e Greek va ri an t of its na me is This na me was der ivedfrom the one-time name of the river to he discussed below.

(2216 — 2217) A tr ib ut ar y from th e rig ht ba nk flows into th e A mu -Da ry a.Its source can be found at the longitude : 97°20' and latitude : 44°50', and itsm o u t h at the lon git ude : 104°30' an d lati tu de : 46 °. It flows into the A mu-Darya. This can be identified with present-day river Wahs, the biggest andat the same time most important tributary of the Amu-Darya.9 At its middle

course it is called Surhäb and at its upper course Kizil-su. The r QÇoç is derivedfrom the name WahS, and this name was applied later on not to this tributary,but to the main river, the Amu-Darya. 1 0

(2206 — 2207) I t is a trib ut ary of th e river j J j ^ ' o n the left bank. Its co-ordinates are longitude : 91°30' and latitude : 39°40'. In Ptolemy we find herethe river named Margos, this flows thr ou gh the province of Margiana . The prov-ince, at the same time, received its name from it. The present-day Murghab 1 1

corresponds to this river, but in reality, in contradiction to al-Huwârizmï's map,it does not reach the Amu-Darya. Al-Huwârizmï does not give the name of this

river, therefore the river can be identified with the Margos-Murgäb only on thebasis of Ptolemy. In this area geographical tradition takes note also of anotherriver, the name of that is rQ£oç in Greek sources, today it can be found underthe name Herirud-Tagand. In reality this river does not reach the Amu-Darya

6 J . M a r k w a r t : Er änä ahr nach der Geographie des Ps. Moses Xoronac'i. Berlin1901. 150. Wehrot. 77.

' B a r t h o l d : op. cit. 35. This name occurs also in Suhräb.8 M a r k w a r t : op. cit. 34.9 Н А . 209. Istahrï 295. Ihn Hawqal, 398.

10 M a r k w a r t : op. cit. 34.11 M a r k w a r t : loc. cit.


8/15/2019 ACTAANTIQUA_28 (1980)



either.12 In Ptolemy we can also find a river named r Qtjoç. This flows, however,according to him first into the Aagyapâvrjç, and then th e Aagya/iàvrjç falls intothe Amu-Darya. The r Qi;oç and the Aagya/uávijg to be found in Ptolemy can beidentified with the Qunduz and its tributary, 1 3 but these tributaries were not

represented by al-JJuwârizmï.(2218 — 2222) J J > . The river has its source at th e longitude : 129°30'

an d la ti tu de : 46°, finall y at th e lon git ude : 90°5' and la ti tu de : 41°30' it flo wsinto Lake Aral. It can be identified with Ptolemy's 'IaÇâgxrjç. The name is ofIranian origin, the original form Hasart u can be fou nd in th e HA. There h av ealready been attempts to explain the origin of the name. 15 In Suhrâb we find it,beside the J i _ > b t o he found in al-Huwârizmî, also under the na mewidespread in Arabic scientific literature. Sometimes we find it under the name(jiliflrfl, thus also in Ihn Hawqal. Today it is called Syr-Darya. This section of

the river that stretches from point 2218 to point 2246, can be identified withpresent-day River Narin. This appears in the HA under the name Hatlam.16

Barthold also mentions this branch as the biggest among the sources of theSyr-Darya.17 In harmony with al-Huwârizmî, Suhrâb also regards this branchas the main stream. As we shall see below, this view was not of general validity.

(2245 — 2246) The source of t h e river is long itude : 119°40' and la ti tu de :44°3 0'. It flows into the Long Riv er a t the longitu de : 118°5' and lat it ud e :46°5'. This river can he identified with the present-day Kara-Darya. It occursin the HA under the name Uzgand. In the Middle Ages the geographers, as well

as the major part of the population even today, regard this as the main course.The HA is also of this opinion. 18

(2247 — 2248) Nameless river, i t flows into the S yr -Darya . I ts source isth e long itude : 124°30' and lat it ud e : 49°5'. Its mou th is at longitude : 123°and latitude : 46°20'. On the basis of its site the river can be identified withthe Kara-su.

Three rivers flow into the Syr-Darya from the Tapura mountain. All thethree are nameless both in al-Huwârizmî and Ptolemy.

(2239 — 2240) lon git ude : 112° and la ti tu de : 53°10 '. It flows into th e

Syr-Darya at the longitude : 109°20' and latitude : 50°5'. It can be found also

12 B e r t h e l o t : 176. M a r k w a r t : op. cit. 4-4. In Pt ol em y the Margos is describedin VI. 10-1.

13 M a r k w a r t : op. cit. 27.14 HA . 116. To ma s ch ek : Kr iti k, 260. II . 50.15 HA. 210.16 H A . 7 3 . 2 1 0 .17 Tur kes tan , 155.18

Tu rk es ta n, 155. HA . 211. Thi s view is reje cted by ib n Haw qa l, 392 : j ^ßliJI j+ j# , , Л »- с Li с L-»l ßjli- í . . . IfcJl jylájo J^J jA


8/15/2019 ACTAANTIQUA_28 (1980)


3 4 2 M. MARÓTH

in Suhräb, but with him the data of the river-head are different. On the basis ofits site, it can be identified with the river Bossu. 19

(2241 — 2242) Th e river-head is a t th e lon git ude : 114°5' and la ti tu de :49°30'. It can also be found in Suhräb, and the longitudinal and latitudinal data

given there completely tally with those of al-Huwârizmï. On the basis of its siteit can be identified with the river Parak mentioned in the HA, 2 0 as well as withthe river Ciröik according to Barthold. 21 The province of Säs is situated in thevalley of the river.

(2243 — 2244) Th e co-ordinates of th e river -head ar e lon git ude : 115°30'an d la ti tu de : 51 °30', an d those of the mo ut h are longi tude : 114°5' and lati-tude : 48°30'. The river is also mentioned by Barthold. 22 It can be identifiedwith the present-day Angren. The province of Uäq wa3 situated in the valleyof this river.

From Mount L- li-l similarly three rivers flow into the Syr-Darya. Allthe three are nameless both in al-TJuwärizmi and Ptolemy.

(2231 — 2232) Th e co-ordinates of th e source are longit ud e : 108°5' an dla ti tu de : 52°30', an d th ose of the mou th l ongitu de : 107°20' and lati tud e :50°30'. The river can also be found in Suhräb, and the co-ordinates given byhim completely tally with those given here. It can be identified with the present-day Aris. The course of this was described by Barthold. 23

(2229-2230) The river-head is at longitude : 106°30' and 54°5', and themo ut h at longitude : 104°3 0' and lat itu de : 51°. The lat itu des of th e river-head

and the mouth of the river are equally different in Suhräb. On the map of al-Huwârizmï, from the L-15-1 mountain, three rivers flow into the Syr-Darya.In reality from the mountain corresponding to the L-li-l similarly threemajor rivers are heading for the main river. Of these the first one was the Arisand the middle one was the Bugun. The river in question can be identified withthis.

(2227 — 2228) Th e co-ordina tes of th e river -he ad are at longi tud e : 104°40'an d lati tu de : 56°5'. Those of the mo ut h are at longitude : 100°30' and lati-tu de : 51°5'. In Suh rä b we can find ex ac tl y those co-o rdin ate da ta as in al-

Huwärizml. On the basis of the consideration expounded in the previous point,this can be identified with the present-day river Inicke.From the Norosson moun tain two rivers are headi ng for th e Syr- Dary a.

In al-IJuwärizml both are nameless.(2223—2224) The river takes its source in the liLyl mountain at longi-

tu d e : 99° and la ti tu de : 57°30'. It flows into the Syr -Dar ya at lon gitude :

"Turkestan, 173.20 HA. 73. 211.21 Tur kes tan , 169.22

Loc. cit.23 Tur kest an, 176.


8/15/2019 ACTAANTIQUA_28 (1980)



92°5' and latitude : 45°5'. In al-TJuwärizmi, differing from Ptolemy, the Daixtakes its source in the Rhymmika mountains, thus in th e Norosson oros thereremains place only for the 'Iàarrjç. On the basis of thes e, this river can be id ent i-fied with the Ptolemaic 'Iàarrjç, and that is identical with the present-day

Emba.2 4

(2225—2226) I t tak es its sou rce in the 6Ly1 mo un ta in at lo ng it ud e:100° and latitude : 59°5', and it flows into the Syr-Darya at the longitude :94°5' and latitude : 46°5'. This river has no equivalent in Ptolemy. Examiningthe m ap care fully , we see th at bes ide th e Emba-I aste s, o nly one river flows fro mthe hilly country connecting with the Ural corresponding to the Norosson orostowards the Syr-Darya and this is the Sari-su. In reality this does not reach thecatchment river either, just like the Emba, or the Murghab that does not reachthe Amu-Darya. North of the Syr-Darya we can still find another significant

river, this is the Öu. The site of this, however, completely differs from thatrepresente d in al- fju wär izm i. Thu s, thi s river cannot be an yt hi ng else th an th eSari-su.25

(2233 — 2234) The source of th e river can be foun d at longit ude : 103° a ndlat itu de : 48° 30'. Its mou th is at th e longitude : 103°10' an d lat itu de : 51°3 0'.In al-IJuwärizmi the Syr-Darya has three tributaries on the left side. This riveris the most westerly of them. In Ptolemy, the Iaxartes has only two tributarieson the left side, these are the Afjftoç and the Bactxariç. All the three tributariesmentioned by al-TJuwârizmi are nameless. Similarly, in the HA we can findthree rivers here, the names of all the three can also be found. The river charac-terized by al-IJuwärizmi with the above co-ordinates corresponds to the Qübä,because this is the most westerly of the three. According to Barthold's descrip-tion, we do not know with which of the small brooks flowing in the territory inquestion it can be identified, with the Aravan, the Absura, or the Isfayram. 2 6

In Suhräb this river does not occur.

(2235 — 2236) The source of the river is at lon gi tud e : 103°30' and lat i-tud e : 47°30', and its mout h at long itu de: 104°30' and lat itu de : 50°40'.Of the rivers on the left side the middle one corresponds to the Ös indicated inthe HA. This was identified by Barthold with the Aqbura.27 This river does not

appear in Suhräb.(2237 — 2238) The source of th e river is at long itu de : 104°45' and lat i-

tude : 48°5', and its mouth is at longitude : 106°5' and latitude : 50°20'. It isthe most easterly tributary on the left side. It corresponds to the fjuräab in the

24 B e r t h e l o t : 2 24.2 5 R E . 9 . 1 1 7 8 - 1 1 7 9 .28 Tu rk es ta n. 159. HA . 72. 211.27 HA. loc. cit. Turkestan, loc. cit.


8/15/2019 ACTAANTIQUA_28 (1980)


3 4 4 M. MARÓTI I

HA. This is the name of the river even today. W. Tomaschek identified it withPto lemy 's Arjyoç.26 Thi s river does not app ea r in Suhräb.

(2046 — 2048) y b l y i . Its source is longit ude: 146° and la tit ude :39° 10' . Through lo ng it ud e : 149° and la ti tu de : 41°30' it flows to the longitude :

153° and latitude : 40°10'. On the basis of its name and site it can be identifiedwith Ptolemy's Bavxtaoç. Tomaschek identif ied it with the pres ent- day Hoang-ho.29

(2050 — 2051) I t is t he tribu ta ry of th e ^-LL^J. It s source is at longi-tu de : 147°20' and la ti tu de : 45°20'. It s mou th is at longi tude : 149°30' andlatitude : 38°40'. Tomaschek identified it with the Hoang-sui. 3 0

(2052—2053) Sim il ar ly , it is a t r ibut ary of the -̂LL yß . I t s source is a tlongitude: 149°30' and latitude: 38°40', and its mouth at longitude: 153°and latitude : 40°. Tomaschek identified it with the Tar-ho. 31 The entire systemof river ^j-hL, unlike the kL> yè and th e , comple tely agrees with thePto le mai c picture. Th e trib utar ies of th e can be ident ifie d wit h the tribu-taries of the Bavxtooç.

(2249—2258) J. It s begin nin g is at lo ng it ud e: 145°30' andla ti tu de : 47°. Fr om her e it flows to th e longitud e : 152°30' an d latitu de :51°30'. On the basis of its name and site it corresponds to Ptolemy's Olyàoôrjç.A. Hermann identified it with the river Tarim. 32

Th e beginning of its tri but ar y is at long itu de: 147°30' and l at it ud e:52°30'. It is the tributary of the Tarim. Hermann identified it with the Tsung-ling.33 The system of this river is identical both in al-Huwârizmî and Ptolemy.

The rivers taking their source in Mount Rümiqä have already been dis-cussed by J. Eckmann.

CONCLUSIONS

In the interpretation of al-Huwârizmï's text and in the drawing of hismap the first difficulty is the interpretation of the Arabic letter-numerals.H. Mzik has already corrected the misinterpretations and a great part of theerrors, when he published the work of al-Huwârizmî entitled «Kitäb Sürat

al-Ard», but of course, he was not immersed in the investigation of the territories

28 R E . 5. 154. R E II / 3 . 789.29 RE . II. 175—176.30 Loc. cit.31 Loc. cit.32 RE. 17. 2101 — 2102 . In Pto lem y t he riv er flows into the Eas te rn Sea. Accordi ng

to Hermann this represents Lake Lop Nor. He identifies its branch taking its sourcein the Auzakia ore wi th t he Tsung-ling and th at tak ing its source in th e Kasia with theYu-tien (Khotan).

33 Cf. note 32.


8/15/2019 ACTAANTIQUA_28 (1980)


AL-HUWÄRIZbll 'S DESCRIPTION OF CENTRAL ASIA 3 4 5

of Central Asia represented here. Thus he has left some questions open, and hedid not notice a few hidden mistakes. Although the number of these errors isinsignificant, the work had still to be started with the clarification of thesemistakes, exactly on the basis of the hints of Mzik himself. 1

In the case of the letter-numerals one of the possible sources of misunder-standing is that in the case of several Arabic letters the tracing is identical, thedifferentiating mark is indicated by the dots applied. If the dots are omitted,then sometimes several interpretations are possible. It is true that the meaningof the numeral is unambiguous and clear in many cases even in absence of dots,exactly because one of the two possible interpretations is a figure of place valueone, and the other is a figure of place value ten, and the unpunctuated form inquestion is on place value one. We have to do with such a case in point 399,where ( J ^ ) can be fo und . This the re can only rep res ent «2», because v = 2,

Ó = 50.I could establish the correct value with the help of other criteria, there,where there was no such obvious evidence. I should like to mention only afew cases by way of example. Most of the difficulties were connected with thewri tin g of the ^ and th e The separ ati on of th e о an d j was similarly

difficult, if they stood in the middle or in the beginning of the group of letters

signifying a figure (e.g. points 865, 866, 471, etc.). The 3 also presented an

opportunity for misunderstanding, if two dots were missing from it. This hap-

pened in the case of 469, where the form given can equally mean 84 and'104.

It did not create misunderstanding, however, in the case of point 470, where it is

clear even without dots that the J can only be in te rp re te d as 110.

In the case of the rivers it could not be decided, whether the mark ö is not

a clerical error in pla ce of the 1 ? Suhrâb gave the same form in each case, whenin al-IJuwârizmï it stood like this, but at the same time there was no Ptolemaicevidence available because of the major changes taking place in the representa-tion of the rivers. I deemed it correct that because of the mere assumption ofa clerical error it is still not worth while to correct the text in reality. In thesecases I have left the 5' unchanged everywhere.

I have also found such hidden errors which resulted from the erroneouswri tin g of two let ter -nu mer als similar in for m. In poin t 821 j stoo d instead of j,and in point 872 j stood instead of j .

Examining the drawn map itself, we can make some interesting observa-tions.

If we examine the cities represented on the map, we find that besides theeastern Ottorokorra we do not find any other Ptolemaic point. It has also beenestablished by Mzik that the most changing layer of Ptolemy's rewriting by

1

These general hin ts are contain ed in the prefac e at ta ch ed to th e public ationof the text.


8/15/2019 ACTAANTIQUA_28 (1980)


3 4 6 M. MARŐTH

al-Huwârizmï is represented by the cities.2 The great changes in Central Asiahave two reasons. One of them is that during the about one thousand yearsthat have elapsed between Ptolemy and al-Huwârizmï certain peoples disap-peared and new ones came in their place. The other reason is that the Arabsconquered a great part of these territories, and could gather more accurateknowledge.3 The question of the cities has already been clarified by K. Czeg-lédy.4 The cities represented on the map mean the main points of the routesgiven by the itineraries. Viewing the map, we can also discover three routes.In the North there is the route Usrüsanat-H°g a n da- Ban äka th — Täraband —Isb ïgâb — Tarâz- Nawï kath — Barshân , in the south th e route Usr üsan at —Ho ga nd a — Ahsï kath — al-Tub bat, and towards the No rt h the r oute Huwä-ri zm — City of th eK ha za rs . I t strikes th e eye at t he fi rs t glance th at t he citiessituated in reality on the banks of the Syr-Darya, are on the map south of theplace due to them. The reason of this shift is very likely that as from Antiquity

the Yaxartes was mixed up with the Tanais.5 It also points to this that on ourmap the City of the Khazars is on the bank of the Syr-Darya, although, asgenerally known, it was situated on the bank of the Volga. Of course, this couldonly happen as a result of a further error, in fact so that the Arabs sometimesmistook the Don for the Volga. Ibn Hurradädbeh writes that H a m lih is situatedon the bank of the river that comes from the land of the Slavs and flows intothe sea of Gurgäni.6 (This is the present-day Caspian Sea). Comparing with theHA, it can be established without any doubt that the river coming from theland of the Slavs is the Don.7 The mistakes made in the identification of the

rivers resulted, of course, in new errors. Not only the City of the Khazars but allcities have shifted in sou ther n direction. A result of this was th at the Ъ Ч ->- ,an important place from the view-point of the itineraries, has also shifted. Thisis a serious mistake, because it disturbes the system of mountains, although itwas taken over by al-Huwârizmï from Ptolemy almost without any change. Asregar ds the number of degrees, the sig nif icant shi fting of th e h U— has with-out doubt also other reasons, because such a great displacement can only beexplained by the joint effect of several reasons. The other reason will be men-tioned later on. At any rate, in order to preserve the harmony with the itinera-

2 H. M2ik : Parag eogra phis che Elem ent e. 176.3 The considerable change of the names of cities is also explained by the fact that

part of the points represented by al-Buwârizmî did not yet exist in the age of Ptolemy.I t is wri t ten by Bar thold in the EI . I I . 04 — 69, under th e ent ry Fe rga na th at thisname is mentioned for the first time in the 5th century: The name of Taráz occurs alsoin a Greek source, in 568 A. D.

4 K. Cz eg lé dy : Die Kar te, 51.8 J . J u n g e : Sak a-St udi en. Leipzig 1939.6 Ihn IJurradädbeh, 1 24.

'HA. 75. 216.

Acta Antiqua Academiue Scientiurum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


348 M. MARŐTH

Pt ol em y' s da ta with ou t criticism) — is t h a t wit h him these two rivers do n otflow into the Caspian Sea, but into Lake Aral. The course of the Zarafsan simi-larly bears witness to a better knowledge. The Polytimetos corresponding to th eZarafsan flows into the Caspian Sea. In al-Huwärizmi this river flows already

into the Amu-Darya. A similarly striking change is the E —W direction of thecourse of the Syr-Darya. Ptolemy's Iaxartes flow s fir st fro m the Sou th to t heNorth, then later on it turns to the west. Ptolemy's error is traced back by A.Hermann to two erroneous conceptions. According to the one the Greeks be-lieved that the Iaxartes separates the Sogdians from the Sakas, while accordingto the other conception the Sogdians lived at the border of India. As a result ofthe linking of these two ideas, Ptolemy placed the source of the Iaxartes as fa rto the South as he could.

Al-Huwärizmi represented the system of the Oxus in many respects dif-ferently from Ptolemy. He did not represent the system of tributaries on theleft side consisting of the rivers Artamis and Zariaspis as well as th e Ochos andthe Dargamanes, bu t we can fi nd with him th e course of the Murg äb, menti onedby Ptolemy under the name Margos. In Pt ol em y we do not fin d the river Wah s,this belongs to al-Huwärizmi's new knowledge. At this point he further devel-oped the inherited knowledge. We know this river also from the HA. There,however, several tributaries of the Amu-Darya are also mentioned, but verylikely al-Huwärizmi held these insignificant, therefore, he did not mentionthem in his work. In this respect he included the Ptolemaic material into hiswork after a certain sceening, just like the material of the Arabic itineraries

that was recorded by him only after a very strict selection. This was also charac-teristic of his working method.

In the representation of the system of the Syr-Darya, al-Huwärizm! ismore accurate than Ptolemy, who mentions e.g. that from the Norosson moun-tain several rivers flow into the Iaxartes. Al-H uwär izmi gives also the ac cur ateco-ordinates of these rivers. There is a difference also in the question of the leftside tributaries between the two of them. In the Geographike Hyphegesis we canread only about two tributaries, while in al-Huwärizmi we can read about three.The HA also discusses three tributaries. This renders likely that al-Huwärizmi

and the author of the HA used common sources. The three tributaries on theleft side on al-Huwärizmi's map do not flow into the Kara-Darya but into theSyr-Darya. The reason for this representation is very likely that these riverswere also important from the view-point of the itineraries (one of the routesleading to Barshän went along here), and with the displacement of the citiesthese also shifted towards the West.

On the map the general shifting of the degrees can also be observed.Attention was drawn to this on several occasions also by H. Mzik, who studied

8 H . MZ I K : op. cit. 1 7 6 .


8/15/2019 ACTAANTIQUA_28 (1980)



the eastern territories described by al-JJuwârizmî equally condensed the Ptole-maic material in order to ensure place to the new material in the territories ofCentral Asia. He also had to make place for the Syr-Darya, because the direc-tion of the course of this in al-JJuwârizmï is more elongated in the E—W direc-tion than in Ptolemy. This disputable procedure has brought about severaldetrimental consequences. Of these we can mention first that the Kaukasionoros and the Paropanisos were unprop ortionate ly elongated, and the river-headsof the Amu-Darya and the Indus situated very close to each other, differentlyfrom reality, shifted very far from each other. Add to this al-JJuwärizml's errormentioned above resulting in an even more westerly shifting of the cities whichhad been pressed to the West even without this. Thus, a large empty space hascome about in the middle. These two reasons jointly explain that the jr j-.in al-JJuwârizmï lias shifted with 34° as compared with the Ptolemaic localiza-

tion.However, it has to be noted that for the filling of the empty space in the

middle al-IJuwârizmï did not elongate all surface forms. In his work, e.g.,üVI J~r is shorter t ha n in Pt ol emy. The reason for th is is th at t he Norossonand Syeba mountains situated on its two sides were represented by him in amore differentiated form and on a larger area. In the southern territories, on theother hand, the shifting as compared with the Ptolemaic data is greater thanin the northern territories.

It is not sure, however, whether all these errors have to be attributed to

al-JJuwârizmï's activity. Studying his work, we can observe that he used severalkinds of sources. He had such sources (e.g. Ptolemy) that were not known tohim first hand. He has taken over not only the positive knowledge but also theerrors of these sources, and the linking up and adjusting of these sources werenot always successful either.

As it could be seen already in the Introduction, on the basis of differentreferences we can presume the existence of even three Ptolemy translations.In the beginning of his work, Ihn IJurradâdbeh mentions 9 that he translatedPtolemy's work in question. He wrote this book in 846, thus he had completed

the translation earlier. We know that al-IJuwârizmï's work came into existencein these years. Thus it can be imagined that, eventually, he could already usethis translation. According to the evidence of the Fihrist 1 0 a Ptolemy transla-tion is also connected with the name of al-Kindi, this, however, was bad. It isnot known exactly when was the translation prepared, but in all probabilityit could already be known also by al-IJuwârizmï. The third translation wasprepared by Thäbit ihn Qurra. He was born in 836, and thus it is not likely that

9 Ib n Hurradâ çlbeh, 3.1 0A1- Nad im: Ki tä b al-Fihrist. Leipzig 1871 — 1872. See in the chapt er ent itl ed

Geography.


8/15/2019 ACTAANTIQUA_28 (1980)


350 M. 1IARÓTH

his translation could have come to the hands of al-Huwârizmï before the writingof his work. Thus, a bad Arabic translation and eventually another Arabictranslation was at al-Huwârizmï's disposal, but we are not informed about thevalue of the latter. Similarly, according to the Fihrist, Ptolemy's work also had

a Syrian translation.The Syrian translation of Ptolemy's work was in all probability known by

al-Huwârizmï, since as it was already pointed out above, we saw in connectionwith the names of the mountains that from the writing of the Arabic forms ofnames we can frequently make conclusions to an intermediary Syrian variant.The question arises spontaneously that there, where al-Huwârizmï does not givet h e na mes of th e mo un ta in s and we do not find any reference to th e name s eith erin Jacob of Edessa or in Suhrâb, what brings about this deficiency as comparedwith the other cases ? The names of the Kaukasion oros and the Paropanisos

situated in the South (where the shifting is greater than in the North) are knowne.g. only from Ptolemy's Greek text. If we examine these mountains more thor-oughly, we find that in their representation al-Huwârizmï differs considerablyfrom the Ptolemaic traditions. In the co-ordinates of these, the difference ofdegrees is even greater than in the case of the others. In the description of thesemountains, where al-Huwârizmï also otherwise relied upon Ptolemy in thehighest degree, he probably drew first of all on the Syrian translation, while inthe elaboration of the mountains separating India and Central Asia he coulduse another source. This could be either one of the two Arabic sources just

mentioned, or an earlier Arabic map. Unfortunately, we do not know, whetherthe two Arabic translations were prepared as literal translations, or they werealready rewritings.

About the representation of the rivers it can be established that the riversto be found in Serike tal ly with the pi ctu re to be foun d in Pt ol em y. In Cen tralAsia, however, the hydrographie map differs from the known patterns. In therepresentation of the rivers flowing in Serike, al-H uwâr izmï very likely used theSyrian translation, because in fact, the orthography used in the transliterationof the names of rivers does not contradict to this assumption. In the drawing of

the waters of Central Asia, however, his main source could already be an Arabicrewriting. Besides, very likely, he also used the data originating from the Arabicitineraries, because on the map we do not find only corrected Ptolemaic ele-ments, but also several new rivers. The description of these rivers can also beread in the books belonging to the Masälik wa Mamälik literature of geographi-cal writers living in the period after al-Huwârizmï.

The description of the cities completely differs from the representationto be found on Ptolemy's map. With the exception of the distant city of Ottoro-korra, all elements are new. All the cities of Central Asia without exception can

be found in the enumerations of the itineraries, which were the main sources ofal-Huwârizmï.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


352 ы . m a r o th : a l - h u w ä r i z mi ' s d e sc r ip t i o n o f c e n t r a l a s i a

A significant difference between them is that in Suhräb we cannot findth e çy j, as well as the Pto lem aic Demos and Baskatis.

It can be mentioned as an influence of al-ljuwârizmî that a city namedÓL-L-» can also be found in Idrisï.

Budapest.

A P P E N D I X

Beside the mountains drawn on the map, Suhräb in his work indicatesthe following :

Moun tai n. Lon git ude : 12 8° 5' an d la ti tud e : 58°30' — longitude : 128°5'and latitude : 52°5'.

Mount ain . Lon git ude : 132°5' an d lat itu de : 60° 5' — longitude : 132°5'and la ti tu de : 58°5', here it meets anot her one : at long itud e: 129° 5'a nd lati-tu de : 58°30' this is me t by a mo un ta in , at lon git ude : 141° and l a ti tu de :55°30' it ends.

These mountains were described by Suhräb somewhat confusedly, butthat much is still sure that on the map they cannot be represented. Mzik alsoformed the same opinion. According to him Suhräb did not take over these datafrom Ptolemy, but from some other work. Disregarding the inconsistency of hisdifferent sources, he wrote down everything. At the drawing of Suhräb's map

the above data had to be disregarded by me.

ABBREVIATIONS

W . BARTHOLD : Tu rk es ta n down t o th e Mongo l Inv asi on. Lo nd on 1958. (Tu rkes tan )A. BERTHELOT : L'As ie Anci enne C ent ral e et Sud-Ori enta le d' apr ès Pt ol émé e.

P a r i s 1 9 3 0 . ( B E R T H E L O T )V. MINORSKY : Hudüd al-'Älam. Oxford 1937. (HA)J . O. THOMSON : Hi s tor y of An ci en t G eo gr ap hy . Ca mb ridg e 1948. (THOMSON)Al-Istahri : Kitäb al-masälik wa '1-mamälik. Ed. M. J. DE GOEJE. Lugd. Bata-

vorum 187Ó.Ibn Hawqal : Kitäb al-masälik wa '1-mamälik. Ed. M. J. DE GOEJE. Lugd. Bata-

vormn 1873.Al-Maqdisï : Ahsan al-taqäsim fi ma'rifat al-aqälim. Ed. M. J. DE GOEZE. Lugd.

Batavorum 1877.Ibn Rusta : Al-I 'lâq al-naflsa. Lugd. Batavorum 1877.Al -J a' qû bî : Ki tä b al-buldän. Ed . M. J . DE GOEJE. Lugd . Ba ta vo ru m 1892.Ibn Khurradädboh : Kitäb al-masälik wa'1-mamälik. Ed. M. J. DE GOEJE. Lugduni

Batavorum 1889.Qudäma ibn Ga'far : Kitäb al-Raräg. Ed. M. J. DE GOEJE. Lugduni Batavorum

1889.


8/15/2019 ACTAANTIQUA_28 (1980)


I . FRÖHLICH

HISTORIOGRAPHIE ET AGGADA DANS LE LIBERANTIQUITATUM BIBLICARUM DU PSEUDO-PHILON

1. La genèse de l'œuvre et les problèmes de genre

Le LAB — dont la matière s'étendant de la création jusqu'à la mort de

Saiil (2 Samuel 1) est puisée à la Bible — fut composé après 70 de n. è., (voirl'allusion faite en XIX. 7 visant la destruction du second temple de Jérusalem).D'après la précision de M. R. James il serait le produit de la même école que le4e livre d'Esdras et l'Apocalypse de Baruch, conservée en langue syriaque. 1

L'œuvre elle-même passe pour un des derniers produits de cette époquelittéraire allant du temps de la destruction du premier temple jusqu'à la dis-persion sous Tite et Vespasien. Le début de cette activité littéraire est marquépar la canonisation des livres bibliques en Palestine. 2 C'est au cours de cettepériode que naquirent la plupart des œuvres pseudépigraphiques, les parties

ultérieures du Testament des douze patriarches,3

le Livre des Jubilés,4

le Livrede Hénoch sous sa forme définitive,5 le 4e livre d'Esdras 6 et l'Apocalypse syria-que de Baruch dont le texte subit peut-être l'influence du LAB. 7

L'histoire politique de la période de la genèse du LAB comprend l'époquede l'état national juif suivant la révolte des Macchabées, ensuite la dominationde Rome et le temps de la guerre juive. Le LAB fut composé après la destruc-tion du second temple, tout probablement sur territoire palestin, fait dont

1 M. R. J a me s : The Biblical Antiq uities of Philo. Now firs t trans lated fr om t he

Old Latin Version. London 1918. 37.2 L' ét ap e sui van t de la can onis atio n de la Tor a (E sd ra s 7 et suiv., Né hém ie 8 etsuiv.) est marquée par l 'établissement du canon de la Tora et des prophètes. Processusqui fut terminé jusqu'à 117 av. n. è. ; Josèphe Flavius, lui, mentionne 22 livres canonisés(Contra Apionem, I. 8) ; cf. O. E i s s f e l d t : Einle itung in das Alte Testament . Tü binge n19643; W. F e l l : Der Bibelkanon des Flavius Jose phus. BZ 7 (1909) 1 — 16, 113—12 2,235—244; G. W. A n d e r s o n : Canonical and non-canonical. The Cambridge Hi stor yof the Bible. Cambridge 1970. 113-159.

3 0 . E i s s f e l d t 1964. 8 5 5 - 8 6 2 .4 O . E i s s f e l d t 1 964. 8 2 3 - 8 2 4 .5 O . E i s s f e l d t 1 964. 8 3 8 - 8 4 3 .6 O. Eissfeld t 1964. 848 -849.' O. Eissfeld t 1964. 852 — 853. Sur le rapport, en tr e le L A B et l'a pocal ypse syrai -

que de Baruch v. M. R. James 1917. 46 — 54 (avec col lat ion nem ont dos textes) ; L. G r y :La date de la fin des temps, selon des révélations ou les calculs du Pseudo-Philon et deBaruch (Apocalypse syriaque). RB 48 (1939) 337-356.


8/15/2019 ACTAANTIQUA_28 (1980)


3 5 4 I . FRÖHLICH

témoigne entre autres le texte originel écrit en hébreu. 8 Au cours de la guerre juive, e t précisément après la chute de Masada (73 de notre ère) le sort dePalestine se voit comme réglé, un peu plus tard le territoire lui-même échoità Vespasien. La résidence du gouverneur impérial de Judée se transmet à

Césarée, Jérusalem, ruiné ne pourra plus jamais reprendre son ancienne im-portance ; la domination romaine met l 'accent sans cela sur le développementdes villes de fondation ou de reconstitution romaines. 9 La population, elle, setrouve épuisée et dépouillée par la guerre. Officiellement le culte est suppriméet — malgré une survie spor adiq ueme nt a ttestée 1 0 — le sanc tuair e de Jéru sale m,en t a n t q ue centre et rep ré se nt ant officiel du culte, n'existe plus.

Une œuvre littéraire bouleversante et qui nous renseigne sur la guerrec'est le Bellum Judaicum de Josèphe Flavius, écrit de propagande et apologieà la fois, avertissement adressé aux Juifs vivant hors la Palestine, et précision

du rôle et de la responsabilité des Juifs palestiniens du point de vue des événe-ments liés à l 'éclatement de la guerre.11 Si l'œuvre de Josèplie est le seul exposéhistorique détaillé sur l 'époque en question, la plupart des œuvres littérairescontemporaines ne restent pas elles non plus sans toucher l 'histoire, dont cellesde Philon d'Alexandrie, In Flaccum et Legatio ad Gaium, ouvrages polémiquescontre les offenses concrètes faites aux Juifs de la Dispersion. 12 C'est dans cemême genre que se range le Contra Apionem de Josephus.13

Le LAB, lui n'est pas une réponse à des attaques aussi directes, ni unean al ys e des évé neme nts conte mpor ain s du po int de vue d es Ju if s; il n'en

reste pas moins une œuvre apologétique. C'est en effet cette intention qui sefa it valoir dans la manière de voir dom ina nt l ' œuvr e entièr e,dans l 'ar range mentet dans le remaniement de la matière légendaire de l 'histoire. Le LAB est uneapologie indirecte écrite dans le dessein de démontrer que le judaïsme n'estdu point de vue ni culturel ni historique inférieur aux grands peuples culturelsde l'Antiquité. Sous ce rapport le LAB est comme un parallèle «historique»de l 'œuvre de Philon d'Alexandrie, 14 ce dernier explique des notions de la

8 L. Coh n : An Apo cry pha l Wor k Ascribed to Philo of Ale xan dria . J QR 10(1898) 311.

9

E . S c H R Ü R E R : Geschic hted e sjüdische n Volkes im Zeitalter Je su Christi. I.Leipzig 1890. 537—545.10 E. S c h ü r e r 1890. 546 —647 ; A. B ü c h l e r : Economie Conditions of Judai sm

after the Destruction of the Second Temple. London 1912. Sur la signification du Templeet sui le culte v. G. F. Moore : Judaism in the First Centuries of the Christian Era. I.Cambridge 1950. 281-307.

11 S. Z e i t l in : A surv ey of Jewish his tori ogra phy fr om the Biblical Books to th eSefer ha-Kabbalah with special emphasis on Josephus. JQR 49/3 (1969) 171 — 214.

12 Le premier doi t sa naissa nce à la per sé cut ion des Jui fs d' Ale xan dri e, le second,à l 'apothéose et l 'introduction du culte de Caligula.

13 «Contra Apione m» — tou t comme les «Ant iquit és judaïques» — ent re nt dans lacatégorie de l 'apologie indirecte. L'auteur y exprime ses idées sous forme de traitéhistorique. Sur les genres apologétiques v. J. Bergman : Jüdische Apologetik im neu-testamentlichen Zeitalter. Berlin 1908.

14

Le LAB repr ésen te une analogie indire cte d' une part de la mé th od e exégetico-philosophique des «Questiones», d'autre part de l 'apologie directe.


8/15/2019 ACTAANTIQUA_28 (1980)


HISTORIOGRAPHIE ET AGGADA 3 5 5

religion en démontrant la priorité des notions bibliques sur celles de la religiongrecqu e, et cela pa r le moyen de la philo sophi e gre cque ; le Ps.- Phil on, luiintègre les passages bibliques qu'il traite, à l'idée de l'alliance, de l'élection.La conception n'est pas nouvelle, la composition de la Bible elle-même se

fondant sur l'idée de l'alliance reparaissant sans cesse dans le texte biblique —le procédé du LAB est pourtant tout nouveau. Parmi les histoires bibliques ilne retient que les passages insistants sur l'importance de l'alliance, et lescompléments qu'il y apporte s'ajustent eux aussi à ce point de vue. Le textedu LAB ne va-t-on pas donc le considérer comme un extrait de la Bible — leLivre des Jubilés traitant les histoires de la Genèse n'en est lui non plus unsimple abrégé15 — il s'agit d'un texte remanié suivant un seul point de vue,d'une œuvre autonome, de voix individuelle, composée d'une technique toutespéciale.

La méthode de composition du LAB et son procédé de remaniementrelèvent cependant d'une tendance beaucoup plus ancienne, de celle commencéepar les premiers remaniements des cycles de tradition bibliques. La matière dela Bible, la mise au point canonique de ses composants différant par leur carac-tère et leur genre, se trouvent dès le début dominées par une idée réunissant letout de l 'œuvre et portant sur le rapport entre vie humaine, société et surnatu-rel ; loin d' êt re un sim ple récit d' év én em en ts , la mat ièr e de la Bible est un esorte de philosophie de l'histoire, déterminée toutes les fois par la vision reli-gieuse du monde de chacun des remanieurs. Dans la conception de ces derniers

il y a ceci de commun que la directrice suprême des événements c'est partout la justice de Yahvé ( 'emet) — à la manière de la vis ion du monde des Mésopota-miens où c'est la justice («kittum») qui soutient l'ordre cosmique, le roi n'enétant que le serviteur, la garantie.16 Dans la Bible les souverains terrestres nesont jamais exempts de faute — au lieu d'être les incarnations du «'emet» ilsen sont les serviteurs. La conception historique de la Bible a pour deux pointsfocaux l'alliance du peuple élu avec Yahvé et la délivrance du peuple parYa hv é. Chacun des livres biblique s se fo nd e sur ces prémisses; et, la con cept iondes bases de l'alliance, l'explication de la délivrance, l'espoir et le pessimisme

y relatifs — autant de moments qui varient suivant l 'époque pour caractériserchacune des parties de la Bible.17

15 M. R. Ja m e s 1917. 46; S. Z e i t l i n : T he Book of Jubilees, its Character an dits Significance. J Q R 30 (1939 — 40) 1 — 32 ; S. Z e i t l i n : The Book of Jubile es. J Q R 36(1944-46) 12-16 .

16 E. A. Sp ei s er : The Biblical Ide a of His tor y in its Commo n Near Easte rn Set-ting. IEJ 7 (1967) 203.

" M. Burrows : Ancient Israel. The Idea of History in the Ancient Near East.N e w H a v e n - L o n d o n 19663. 11 1- 117 . G. F. Mo or e I960, II . 48 ; E. A. S pe is er : I E J7 (1967) 269 ; R . B u l t m a n n : Primi tive Christiani ty in its cont empo rary setting. Ed in -burgh 1960. 40-61.


8/15/2019 ACTAANTIQUA_28 (1980)


356 I. FRÖHLICH

Le LAB a pour modèles bibliques le Livre des Rois et celui des Chroni-ques.18 L 'u n comme l 'a ut re rem on ten t à des sources diff éren tes et da te nt d el'époque néo-babylonienne et achéménide (le Livre des Rois obtint sa formedéfinitive au milieu du 6 e siècle, les Chroniques, de môme que le Livre d'Esdras

et celui de Néhémie formant, à trois, une unité, écrits après le retour de l'exil deBabylone). 1 9 Ces deux livres sont les premières tentatives d'un aperçu généralde l ' histo ire des trib us d'Isr aël ; il s'a git d'anth ologie s histor iques composéesdans un ordre chronologique bien défini, puisant leur matière dans des sourcesdifférentes et portant ainsi l 'empreinte des idées nationales et religieuses deleur rédacteur. Leur genèse semble avoir été influencée par les chroniquessynchronistes assyriennes, puis néo-babyloniennes, du 7 e siècle.20 Le LAB estmarqué surtout par l 'influence du Livre des Chroniques qui, postérieur à l 'autreen met lui-même en œuvre quelques passages. La similitude apparaît au premier

coup d'œil : les Chroniques, le Livre d'Esdras et celui de Néhémie formèrentprimitivement une unité contenant l 'histoire de la royauté de Juda 2 1 — c'està dire, dans leur conception l '«empire de Yahvé», tout en omettant l 'histoirede la ro ya ut é du Nor d «impie» — et en pa ss an t en revue, en ordre chron ologiq ueles événements à partir d'Adam jusqu'aux temps tout récents, c 'est-à-dire

jusqu ' au retour et à la réorganisation du culte. Esdras et Néhémie met t en t aucentre, eux, le culte et le Temple — plus tard, dans la conception religieuse plusabstraite du Ps.-Philon cette position sera réservée à la loi. Dans les Livres desChroniques et des Rois l 'histoire apparaît comme l'enchaînement du développe-

ment organique des événements et à ces événements les auteurs ajoutent desexplications politiques, religieuses et morales.

De par leur origine — leur matière étant prise dans les livres plus anciens— les livres en question sont de caractère midrashique, c'est à dire que lamatière remaniée y est suivie d'explications et de compléments. Le caractèremidrashique du Livre des Chroniques est dû d'une part aux extraits qu'ilcomporte du Livre de la Genèse et de celui des Rois, d'autre part aux additions(pour la plupart des prières, des discours). 22

18 O. EISSFELDT 1964. 654 — 656. Sur le LA B et le Liv re de la Chron ique v. M. R .J A ME S 1 9 1 7 . 3 3 .

1 9 O . E I S S F E L D T 1 9 6 4 . 7 4 9 .2 0 O. EISSFELDT 1964. 3 3 8 - 3 7 9 ; A. C. WELCH: Th e Wo rk of th e Chr onic ler .

It s Pur po se an d its Date . Lo ndo n 1939 ; A. NORDTZIJ : Les inten tio ns du Chro nist e.R B 4 9 ( 1 9 40 ) 1 6 1 - 1 6 8 .

2 1 O . E I S S FE L D T 1 9 6 4 . 6 5 4 - 6 5 6 .22 L'a ut eur de la Chronique se servit, ent re autres, du mid rash du Livre des Rois,

cf. O. EISSFELDT 1964. 721 — 723. Sur le ca rac tè re et l'origine d u mid ra sh , sur les pas-sages midrashiques des livres canonisés v. K. BUDDE : Midrasch des Buches der Könige.ZAW 12 (1892) 37 — 51 ; R . BLOCH: Ezec hiel X V I : Exe mpl e pa rf ai t du procéd é mid-rashique dans la Bible. CahSi 91 (1955) 193 — 22 3; R. BLOCH: M idras h, Dict ion nair ede la Bible. Supp l. 5. Pa ri s 1957 ; R. BLOCH : Ecr it ure et t rad it on da ns le juda ïsm e.

Aperçus sur l'origine du Midrash. CahSi 8 (1954) 9 — 34 ; S. ZEITLIN : Midra sh . A His to ri -cal Study. JQR 44 (1953) 21 — 36.


8/15/2019 ACTAANTIQUA_28 (1980)


HISTORIOGRAPHIE ET AGGADA 357

Le Ps.-Philon emprunte au Livre des Chroniques non seulement desnoms, mais aussi un procédé, leur conformité consistant principalement dansla propagande qu'ils font : les Chroniques idéalisent la théocratie réalisée parla ro ya uté légitime de Dav id et réuni ssan t les Jui fs reto urné s de l'exil; l'idéal

du Ps.-Philon est, à son tour la théocratie da vidique qui sera établie comme pouraccomplir les calculs eschatologiques.Parmi les œuvres pseudépigraphiques de date postérieure c'est le Livre

des Jubilés qui met en œuvre, à la manière du LAB une matière biblique, enappliquant une méthode «historique». Le Livre des Jubilés remaine la matièrede la Genèse en la répartissant en périodes de yôbël et en y apportant descompléments explicatifs aggadiques et halachiques ; son but consiste en effetà illustrer, à travers la matière de la Genèse la voie de l'observance de la loi.Par sa conception et sa méthode il servit, sur plus d'un point de modèle pour

le LAB.

23

2. Alliance et histoire universelle eschatologique

La matière mise en œuvre dans le LAB finit sur la mort de Saiil, maiscette fin n'est pas celle envisagée par l'auteur. C'est que le texte s'arrête brus-quement, en plein milieu d'une phrase du Saiil mourant, ce qui rend problé-matiques la fin et aussi l'intention de l'auteur quant à l'étendue et l'achève-ment de la matière historique traitée par lui. Malgré la forme inachevée ondevine quand môme une structure précise de l'œuvre qui permet d'en reconsti-tue r — du moins hy po th éti qu em en t — l'ach èvem ent vraisemb lable, la conclu-sion de l'histoire universelle présentée par le LAB.

Le LAB s'ouvre non sur la Genèse, mais sur l'énumération de la familled'Adam.24 L 'a ut eu r n 'ind ique que briè veme nt la période qui s'écoula dep uisle prem ier couple d'h omm es jus qu 'à Noé, sous forme de tabl ea ux généalogiques,en complétant le texte d'une histoire sur l'invasion du péché (I. 8). La méthodeque l'auteur du LAB applique ici est celle du livre des Chroniques, en matièreà la fois de la mise en œuvre et des noms. Il paraît sûr que l'auteur a très bienconnu la Bible et qu'il en fit emploi, d'une façon consciente, de tels passages,tels cycles de tradition.25

L'histoire de Noé suivant les tableaux généalogiques (III. 1 — 12) nediffère pas, pour l'essentiel de celle de la Bible. Cependant la descriptiondonnée par le Ps.-Philon de l'alliance conclue avec Noé est d'une importance

23 L. Finkels te in : The Book of Jubi lees and the Rabbinic Halakah. HTR 1С(1923) 3 9 - 6 1 ; S. K l e i n : Palä s t in isc hes in Ju bi läe nbu ch . Z D P V 57 (1934) 7—27.Sur les rel ati ons agga diqu es du L AB et du Li vr e des Jub ilé s cf. M. R . Ja me s : 1917. 45.

24 Cf. Chronique 1 : 1 s'ouvrant égalemont sur la descendance d'Adam.25 P. ex. l 'omission conséquente ou tra nsfo rma tion des passa ges relatifs aux Sam a-

ritains, dan s la matièro bibliq ue: v. A. S pi r o: Samaritans, Tobiad s and Judah ite s inPseudo-Philo. PAAJR 20 (1951) 279-355.


8/15/2019 ACTAANTIQUA_28 (1980)


358 I. FRÖHLICH

particulière. Après le déluge Noé présente un sacrifice d'action de grâce quise rt de base pour l'alli ance effec tive : «Et dix it Deus : Non adici am iam male-dicere terram pro homine, quoniam figura cordis hominis desiit a iuventutesua, et ideo non adiciam simul disperdere omnes viventes sicut feci. Erit autem

cum peccaverunt habitantes terram, diiudicabo eos sive in gladio, sive in igne,sive in morte, et erit terremotus et dispergentur in inhabitabilia. Terra m aut emnon adiciam corrumpere aqua diluvii» (III. 9). «Cum autem completi fuerintanni seculi, tune quiescet lumen et extinguentur tenebre, et vivificabo mortuos,et erigam dormientes de terra. . . Et erit terra alia, et celum aliud habitaculumsempiternum (III. 10).26

C'est à dire que la description de l'alliance, tout en complétant l'idéeformulée dans l'Ancien Testament sur l'alliance conclue avec Noé, la divise endeux parti es : la pre mière c'e st — en conform ité avec la Bible — cet te promessede Yahvé qu'il ne détruira plus jamais la Terre par un déluge. Le Ps.-Philon,lui y ajoute une autre idée, de caractère eschatologique, servant de base pourune seconde alliance : il y aura d'autres sortes de châtiments, suivant la mesuredes péchés des mortels. C'est ce complément qu'achève la conclusion eschato-logique encadrant, elle, l'alliance conclue avec les mortels. Du point de vue de lastructure ce passage n'a point son pareil dans l'œuvre et y a un rôle de pilier.C'est que l'œuvre entière fut tout probablement une sorte d'apologie juiveencadrée d'une histoire universelle à conception eschatologique, et l'auteurchercha à réunir les idées de l'eschatologie cosmique avec celles de l'histoirenationale juive, en imposant, à la fin de l'œuvre une conclusion commune

aux passages situés sur des plans tout différents.27

Chez le Ps.-Philon l'idée du «peuple élu» apparaît la première fois dansl'histoire d'Abraham (VI. 1 — 18). C'est à l'histoire de Babel qu'attache l'auteurle motif explicatif — et un ique dan s son tem ps — de l'élection d'A bra ham(L'analyse de G. Vermes a démontré que sur ce point le texte du Ps.-Philonservit de base pour les midrasli les plus anciens aussi bien que les récents).28

La situation de départ est la même que dans le cas de Noé : parmi les mortelscoupables et corrompus Yahvé ayant trouvé un seul qui soit juste pour conclureune alliance avec lui. Mais tandis que, selon le Ps.-Philon du temps de Noé

sur la terre «adimpleta erant opera malignitatum» (III. 3 — en pleine confor-mité avec les paroles de l'Ancien Testament, v. Gn 6 : 5, mais en ne se servantque de ce seul passage), à l'époque d'Abraham le péché des hommes s'est mani-

26 Sur la «cons omma tion des temps» v. Tes t. Ru be n 6 : reAelœaiç ynovojv ; Test.Levi 10 : awréÁeia rdjv alúvcov; Test. Zebuion 9 : xaigóg ovvzeAeiaç Sur le commence-m e nt du nouvel éon : l'a poc aly pse syr iaq ue de B aruc h 44 : 12 : mu nd us ille ; 48 : 5,51 : 10 : mu nd us no vus ; 51 : 3 : mu nd us qu i non m ori tur (les cit ati ons so nt tr ad ui te spar O. F. Fritzsche : Libri Apocryphi Veteris Testamonti. 1871). Avec Baruch concordeEsdras IV. 7 : 50, 4 : 2, 27, 6 : 9, 7 : 12, 8 : 1, 6 : 55, 7 : 113, etc.

27 R . B u l t m a n n 1 96 0. 9 4 - 1 0 2 .28

G. Ve rm es : Scri ptur e and Trad iti on in Jud ais me. Hag gad ic Studies. Leiden1 9 6 1 . 8 8 .


8/15/2019 ACTAANTIQUA_28 (1980)



fest e da ns ce qu'il s s'o ppo sèr ent à la révélation divin e : «Tune hi qui divisierant omnes habitantes terram, postea congregati habitaverunt simul. Etprofecti ab oriente invenerunt campum in terra Babilonis, et habitantes ibidixerunt singuli quique ad proximum suum : Ecce futurum est ut dispergamur

unu squ isq ue a fra tr e suo, et in novissimis diebus a lt er ut ru m erimus exp u-gnantes nos. Nunc ergo venite et edificemus nobis ipsis turrim, cuius caput eritusque ad celum, et faciamus nobis nomen et gloriam super terram» (VI. 1).C'est à dire que le but de la construction de la tour n'est-il pas ce que suggèreGn 11:4 «faisons-nous un nom afin que nous ne soyons pas dispersés sur laface de toute la terre» ; ils construisent la tour tout en sachant bien qu'ils serontdispersés sur la terre et qu'une lutte aura lieu entre les hommes — aussi semettent-ils, comme par vengeance contre Yahvé, à construire une tour afinde perpétuer leur nom.

Le passage analysé est donc une interprétation vaticinante de la préci-sion du Gn 11:4, interprétation conforme à l'esprit du LAB et qui, figurantà l'endroit donné se voit intégrée au cadre eschatologique de l'histoire de Noé.

l ' i n t e r p r é t a t i o n d e l ' h i s t o i r e d ' a b r a h a m d a n s l e l a b " *

La révolte contre Yahvé et le monothéisme est figurée par une imagequi, à intérieur du système de symboles du LAB, figure ailleurs en symbolede l'idolâtrie (motif des noms gravés sur les pierres, XXVI). Dans l'histoired'Abraham les constructeurs de la tour de Babel gravent leur propre nom surles pierres qu'ils vont cuire aux fins de la construction de la tour. La signifi-cati on du motif se tro uve par là modifié e : l'auda ce des cons tru cte urs de latour devient le symbole de la révolte contre l'avenir révélé.29 Chez le Ps.-Philonles constructeurs de la tour de Babel se révoltent contre la direction divine duprocessus de l'histoire — voilà le plus qu'apporte le LAB à cette histoire quidans l'Ancien Testament et ailleurs raconte la révolte de l'homme contre leciel.30 En dehors de ce qui y est effectivement rapporté l'importance de l'his-toire de Babel présentée par le Ps.-Philon est encore augmentée par ceci quede l'épisode de Yaïr et les sept dévots — épisode parallèle à celui du salut mira-culeux d'Abraham et ses compagnons — le motif des pierres est absent

(XXXVII I . 1 — 4). Le mot if, on le voit bien, n'e st pa s sans fonction dan s lete xt e; comme ceci, Yaï r y figu re en simple id ol ât re : « . . . ipse edific avitsacrarium Baal. . .» (XXXVIII. 1).

23a L'article de P. M. Bogaert Sur la figure d'Abraham dans le LAB était pourmoi inaccessible jusqu' à l 'apparition du présent article (P. M. B o g a e r t — L. D e q u e k e ret al.: Abraham dans la Bible et dans la tradition juive. Bruxelles 1978.

29 D' apr ès J ub . 10 : 1 c'est encore aprè s le tem ps de Noé qu e com menc ent à sepropager, sous l'effet des démons malins, les péchés — le texte interprète, cette foisencore, le passage comme exprimant le détachement de Yahvé.

30

La suite d'i dées comm encé e en J ub . 10 : 11 ne se po urs uit non plu s. D' ap rè sJ u b . 11 : 10—19 le bu t des hom mes cons iste également à mo nt er au x cieux.


8/15/2019 ACTAANTIQUA_28 (1980)


3 6 0 I . FRÖHLICH

Après ces événements Yahvé conclue l'alliance avec Abraham puisquecelui-ci ne s'est par révolté contre la providence divine, contre la directiondivine du destin des générations futures et, qui plus est, il a prouvé par soncomportement la fermeté de sa foi. Au lieu d'accepter le secours de Yectan, aulieu d'échapper, à la manière de ses compagnons à la punition des révoltés il seconfie à Yah vé, la pro vid enc e de celui-ci ét an t ga ranti e et s'a vé ra nt la seule pos-sibilité de se sauver : «Ecce ego fugi o hod ie in mo nt an a, et si evasero ignem,exient de montibus fere bestie et venientes comedent nos, aut esce nobis defi-cient et moriemur fame, et inveniemur fugientes ante populum terre, et caden-tes in peccatis nostris. Et nunc vivit in quo confido, quia non movebor deloco meo in quo posuerunt me. Et si fuerit aliquod peccatum meum consumensut consumar, fiat voluntas Dei» (XI. 11).

L'alliance conclue ensuite avec Abraham est d'un caractère autre quecelle conclue avec Noé. Abraham, lui a mérité d'ê tre élu, av an t même de conclurel'alliance il en a répondu aux exigences.31 L'élection d'Abraham se double,comme d'une ligne secondaire plus vague, de l'élection des fils de Sem, celle-ciayant toutefois une signification autre que pour la descendance d'Abraham, etse réglant sur l'enseignement de l'épisode de Yectan et de l'histoire des com-pagnons d'Abraham. Les deux exemples représentent les deux degrés del'observance de la loi, de la crainte de dieu ; Yectan, le chef des fils de Semcherche à sauver Abraham et ses compagnons — le rôle qu'il assume est celuidu personnage qui prête aide sans participer activement dans l'établissementde l'alliance. Ayant reconnu que l'attitude d'Abraham est la seule qui soit

juste , il lui porte aide sans pour au t ant s' associer à l 'opposition d 'Abraham.Le cercle plus exclusif des douze dévots (symbole des tribus d'Israël auprèsde Yectan symbolisant, lui les peuples sémitiques) atteint un plus haut pointde l'observance de la loi. C'est de concert avec Abraham que ceux-ci se refusentà l'obéissance signifiant l'adhésion aux révoltés. Tout en persistant dans leurintention ils s'avèrent incapables de suivre la seule voie juste. Leur erreur nesignifie quand même pas une chute. La passage final de l'histoire annonce leursolidarité avec Abraham délivré de la fournaise ardente : «Et surrexit Abrahamde camino, et concidit caminus ignis. Et salvatus est Abraham, et abiit ad unde-

cim viros qui erant absconsi in montanis, et renunciavit eis omnia que contin-gerunt illi. Et descenderunt cum eo de montanis gaudentes in nomine Dominiet nemo eis obvians terruit die illa» (VI. 18).

La gradualité du mérite se fait valoir, d'une manière analogue, aussidans la conclusion de l'alliance. Yahvé conclue alliance uniquement avecAbraham : «Ibi ergo faciam inhabitare puerum meum Abraham, et disponamtestamentum cum eo, et semen eius benedicam, et nominabor ei Deus in eter-

31 D'après J ub . 11 : 16 — 24 c'est à l'âge de 14 ans qu 'A br ah am pa rv in t à la con-nais san ce parfa ite de di eu . Ju b . 13 : 26 don ne un e enum era ti on d étail lée des lois et del'ordre des sacrifices qu'Abraham aurait observés.


8/15/2019 ACTAANTIQUA_28 (1980)



num» (VII. 5). Les trois degrés — le plus haut en étant l'attitude et l'électiond'Abraham — rendent nécessaire une sorte de distinction de la providencedivine au profit des tribus de Sem et d'Israël, à l'opposé du reste coupable desmortels.

L'interprétation que donne le Ps.-Philon de l 'histoire d'Abraham a deuxmoments remarquables : le premier c'est la position que prend l'histoire elle-même à l'intérieur de la matière traitée, le rôle de l'alliance à l'endroit donné.C'est que, en conformité avec la conception du codex sacerdotal, 3 2 l 'aut eur duLAB met au centre, au lieu de l'alliance sinaïtique celle conclue avec Abraham,en l'insérant dans une série d'alliances, dont les étapes sont représentées par lagenèse, le déluge et l'alliance de Yahvé avec Abraham, de la même façon quel' af fi rm at io n de Gn 17 : 8 : «Et je serai leur dieu» va ut , d an s la Bible encore,pour la descendance d'Abraham. Et voilà nous sommes arrivés au deuxième

moment, aux «degrés» de l'élection. D'après le passage cité de la Genèse l'élec-tion vau t pour les des cen dan ts d' Ab ra ha m — l'alliance se mo nt ra nt donc pl uscomplète que les antérieures — ensuite la rédaction citée réduit l'alliance égale-ment aux douze tribus, descendant de Jacob. 3 3

l ' h i s to i r e d e s d o u z e t r i b u s

Par l 'insertion de l 'épisode d'Abraham et par l 'interprétation de celui-cile Ps.-Philon fait suggérer l'élection collective des tribus d'Israël et — mêmesans le dire expressément — il étend l'alliance de Yahvé conclue avec Abrahamà l'Israël entier. A partir de ce moment la Bible «remaniée» par le Ps.-Philonse poursuit en histoire exclusivement juive, ses événements restant à l 'inté-rieur des pôles Yahvé — peuple élu, deux côtés de l'alliance.

L'idée et le motif périodiquement répété de l 'alliance apparaissent pourla première fois dans l 'histoire de la Genèse pour réapparaître dans les autreslivres bibliques, en reflétant une conception qui varie avec la date de la compo-sition des livres et en mettant en relief des aspects toujours nouveaux del'alliance. 34 La tradition ancienne contient déjà les bases de la vision historiquedes épo que s post érie ures : alliance, prom esse de l' occ up ati on de la ter re deCanaan et du triomphe sur les peuples hostiles.35 Dans ces histoires le rédacteur

insiste tout le temps sur la faiblesse humaine, sur le besoin de l'homme d'êtreaidé — la clémence divine succédant aux péchés des mortels s'appuie de cettemani ère exclusi vement sur la bienveillance du pouvoir surna tur el. Aux yeux desprophètes l'alliance devient la hase d'une suite analogique — Isaïe, p. ex. rap-

32 E. A. Sp ei s er : I E J 7 (1957) 210. San s quo le Liv re des Jubi les ait mis en reliefl'alliance conclue avec Abraham, le passage suivant la mort de celui-ci n'en semble pasmoins, ici encore, marquer une limite (23 : 1).

33 Test . Simeon ins iste éga le men t sur l'é lectio n dos fils de Sem à l'o pposé de l'as su- jetissement des fi ls de H a m (6).

31

M. B u r r o w s 1966. 102.33 Un exemple classique en est Deut. 26 : б —9.


8/15/2019 ACTAANTIQUA_28 (1980)


3 6 2 I . FRÖHLICH

pelle, h ors la sortie d' É gy p te , au tre s cas de la déliv rance . (Is 1 : 9). En mê metemps l 'alliance s'exprime désormais dans les notions de la promesse et del'accomplissement. A l'effet des événements des époques assyrienne et néobaby-lonienne, des guerres et de la captivité, la conception de l'alliance dans la tra-

dition biblique sera dominée par l 'autocritique. Les prophètes accusent lepeuple des péchés anciens et récents à la fois.36 L'espérance en l 'accomplisse-ment apparaît pour la première fois sous un aspect nouveau. Qu'on pense àla juridiction divine (c'est à dire pas à une délivrance collective, mais à un

jugement plus individuel, supposant une sorte de responsabilité individuelledes péchés) figurant dans la 17e parabole d'Ézéchiel. La conception de la visiond'histoire deutéronomique insiste d'une façon encore plus marquée sur lespéchés pouvant découler des rapports établis avec les peuples étrangers(Jg 2 : 1 — 3). C'est ici que s 'a jo ut e à l'id ée de l'élection celle de l'isolatio n d' av ecles autres peuples. L'atmosphère des livres composés après la captivité exprimela joie d'être sauvé — ce qui s'exprime chez Is. 52: 4 par l'analogie entre ladélivrance de l 'Egypte et celle de Babylone s'offrant d'elle-même. Auprès dela délivrance — un des éléments constitutifs de l 'alliance — une autre idéecelle du service du Dieu aura désormais un rôle plus marqué dans la pensée du

judaïsme post-exilique (p. ex. Is. 52 — 53). L'hi stoi re anci enn e sera réap précié e,la conception antérieure, qui considère le passé comme l'enchaînement despeines cède la place à celle qui tient les souffrances, les désastres comme pré-pa ra ti on d 'un e mission spéciale du peuple élu à remplir dans le monde . La réd ac-tion sacerdotale (P), écrite au 6e siècle, remettant la matière du texte de la

Bibl e pr en d l'alliance po ur cons tan te et indissolubl e; c'e st ce tt e source qui —d'une façon analogue à l 'histoire d'Abraham citée plus haut — met au centrenon l'alliance sinaïtique, mais celle conclue avec Abraham.3 7

C'est à partir des éléments de conception des périodes antérieures quele LAB — de même que la conception contemporaine d'alliance — crée sonidée d'alliance à lui qui, pareillement à la rédaction sacerdotale domine l 'œuvreentière et en assure même la cohérence. Au lieu des idées religieuses plus géné-rales — dont la relation du monde et de l'homme avec la sphère divine — lePs eu do -P hil on m et en relief celles qui so nt spéc ifi que men t juiv es ; chez lui

la première place revient au rapport du peuple juif avec Yahvé, dieu d'Israël.Ce rapport-ci est en effet la base à laquelle tout se laisse comparer, autour delaquelle tout se laisse regrouper. Une conception qui d'ailleurs n'est pas unique-ment celle du LAB : dans cette période tardive du judaïsme elle prend uneimportance remarquable.3 8 Chez le Pseudo-Philon elle fait dominer l 'œuvreentière par l 'interprétation de l 'idée de l 'alliance. Dans la relation Yahvé —

36 M. Burrows 1966. 11—126.37

E. A. S p e i s e r : I E J 7 (1957) 210 ; M. B u r r o w s 1966. 124.38 G. F. Moore 1950. I. 219—234 ; R. Bultmann 1960. 72.


8/15/2019 ACTAANTIQUA_28 (1980)


HIS TOR IOG RAP HIE ET AGGADA 3 6 3

peuple élu la notion de dieu se voit, elle aussi comme élargie : Ay an t qu it téle rôle de dieu des tribus israéliens Jahvé apparait comme un «Deus», dieuomnipotent qui a élu les tribus d'Israël afin de pratiquer la charité exclusive-ment avec elles. Le pôle de Y élection se complète cependant de celui de la loi :

il leur fit encore don de la loi pour que, en observant celle-ci elles puissentmériter la providence divine. Cette idée est toute courante dans les œuvreslittéraires de l'époque de la composition du LAB,39 alors que la notion de la loise voit, elle aussi, élargie pour devenir une notion surtemporelle, valable doncpour l'éternité. Par conséquance — et en partie par suite du contenu changédes notions — la conscience religieuse concentrée autour des idées de l'électionet de la loi même encore plus loin pour projeter l'élection sur l'avenir. Voilàle but auquel seront rattachées toutes les idées de cet ordre et qui signifie en-core la base de la conception téléologique qui se trouve chez le Ps.-Philon. La

projection de l'élection sur l'avenir — voilà en quoi consiste en général la foides Juifs d'après la guerre ayant, pour moyen de réaliser la foi, l'observancede la Loi. Les deux pôles de la conception primitive se restituent sur un autreplan réunissant, lui, les pôles de Y observance de la loi et de Y attente de la récom-

pense. La va leu r des notions de «loi» et d'«observance de la loi» se trou ve , elleaussi modifiée. La loi ne signifie plus les recueils de loi bibliques : la notionva se concentrer sur «quelque chose d'origine divine ordonnée par dieu et trans-mise par Moïse» (Esd 7 : 6). La formation de cette conception de la loi s'attacheà la tendance nomistique de la période qui succéda à la captivité de Babylone.40

Le changement notionnel des catégories de l'observance et du respect de laloi se traduit par la «canonisation» du respect de la loi, par la reconnaissanceofficielle de son origine divin e, cet te derniè re étan t d'ail leu rs à jus tif ier à pa rt irdes sources bibliques égale men t (p. ex. E sd 7 : 6, Ne 8 — 10). L'int erpr étati onde la loi fournie par le Livre des Jubilés représente une étape antérieure maisqui fait déjà penser au LAB. La loi est ici aussi intemporelle (les patriarchesobservent eux-mêmes les prescriptions de la loi)41 et malgré les explicationsconcrètes de lois que comporte le texte on sera enclin à voir, dans le choixdes lois à expliquer un signe de l'abstraction, ces lois se rattachant toutes, àl'office divin et ayant par conséquent un caractère plutôt théologique que moral.

Chez le Ps.-Philon la loi apparaît sous une forme tout abstraite. Un momentcaractéristique et qui représente fidèlement la conception religieuse de l'époquec'est que, en rapportant la transmission de la loi le Ps.-Philon complète demaints épisodes le passage narratif de l'histoire (XI. 1 — 15) alors que, en expo-

39 D' ap rè s J ub . 13 : 26 la mér ite do l'élection se fond e égal eme nt sur l'o bse rva ncede la loi. C'est justement par leur citation pormanente que la loi et l'alliance deviennentintemjxnelles et peuvent par conséquent être remontées au passé ; cf. R. B u l t m n a n1960. 72.

40

H . S t r a c k : E inl eit ung in Ta lm ud u nd MidraS. Leipz ig 1921. 195.41 J ub . 13: 26.


8/15/2019 ACTAANTIQUA_28 (1980)


364 I . FRÖHLICH

sant le contenu de la loi il se réduit à ces précisions les plus courtes possibles etne donne qu'un résumé bien sommaire des commandements et de l'ordre dessacrifices. La base idéelle de cette nouvelle conception de la loi est fournie parDt 6, où il est dit que l'amour de Yahvé et l'observance de ses lois — la crainte

du die u — sont insép ara ble s ; aimer Yah vé et suivre son chemin, c'est lamême chose. Or, dans la situation d'après la guerre des Juifs lorsque le templeest détruit, le culte, supprimé, la seule force de cohésion c'est en effet la loi,ce que semblent indiquer telles manifestations religieuses de l'époque. 42 D'aprèsla nouvelle conception de loi du judaïsme c'est justement le respect de la loiqui peut être le moyen d'accomplissement des espérences eschatologiques desJuifs et c'est ce qu'entend viser le respect «officiel» de la loi. Le passage où lePs .-P hil on décrit la trans mis sio n des lois de Moïse ex pr im e la même idée :«Et adiecit Dominus : Adhuc ostendi vias paradysi...» (XI I I . 9).

Le «départ» même du motif de l'alliance témoigne dans le LAB, de lanouvelle conception de la relation acte — foi (observance de la loi — attentede l'avenir) etde la nouvelle interprétation — basée sur celle-ci — de l'alliance.La raison pour laquelle Yahvé élit pour peuple favori la tribu de Sem, c'est l'at-tachement d'Abraham à la loi. Dans l'esprit de la pensée biblique la mentionde la loi à propos d'Abraham serait un anachronisme. Bien sûr, le Ps.-Philon,lui, parle aussi en d'autres termes, mais la piété d'Abraham n'en signifie pasmoins l'observance du premier commandement de la loi de Moïse.

A la couple Yahvé — peuple élu, force motrice de l'histoire des douzetribus s'ajoute un troisième élément, complétant et réunissant les deux pre-miers : il s'agit du territoire à accorder à Israël qui figure dans l'alliance commeun élément de promesse. Chez le Ps.-Philon cet attachement territorial estbeaucoup plus étroit qu'il ne l'est dans l'Ancien Testament. Le LAB ne rap-pelle que d'une façon vague les passages succédant à l'émigration d'Abraham(l'arrivée d'Abraham en Canaan, la séparation de Lot, la stérilité de Sara, toutcela n'est que vaguement abordé, le séjour en Egypte et l'histoire de Hagarét an t entièrement absen ts — VII I. 1 — 3). Dans le passage e n question l'im-portance de l'alliance est la seule à être soulignée par ceci qu'avant la concep-tion et la naissance d'Isaac le texte en fait mention une nouvelle fois — l'idée

obtenant par là une place de choix dans la suite des événements et la naissanced'Isaac devenant tout nettement le sceau de l'alliance. (VIII. 3). Ceci revientà dire que, par la concentration du texte le Ps.-Philon transmet l'accent sur lerapport réciproque entre la naissance d'Isaac et l'alliance, mettant ainsi enrelief la famille d'Abraham et avançant, par la concentration le motif de laterre promise.

Pour ce qui est de l'histoire de Jacob l'auteur n'en entre non plus dansles déta ils — aya nt du re ste la tend ance à remani er ou à om et tr e tou t simple-

42 G. F. Mo ore : 1950. 267 — 280.


8/15/2019 ACTAANTIQUA_28 (1980)


HIST ORI OGRA PHI E ET AGGADA 3 6 5

ment les parties narratives. Or, l'omission de l'histoire de Jacob ne reste passans se faire sentir dans une partie postérieure du texte, et précisément dans ladescription de la lutte entre David et Goliath : parmi les noms écrits par Davidsur les lance-pierres se retrouvent en effet ceux d'Isaac et de Jacob (XI. 5).Les noms écrits sur les pierres sont les symboles de l'aide divine offerte parl'alliance — ce qui revient à dire que dans l'alliance Isaac et Jacob ont lemême rôle préférentiel que p. ex. Abraham ; si leur histoire est quand mêmeomise par l'auteur, c'est pour que l'unité notionnelle de peuple élu — terrepromise soit par là assurée et que l'accent soit désormais mis uniquement surl'ordre d'idées de l'observation de la loi — providence divine, soit l'espoirfondé sur l'avenir.

Quant à la période qui s'écoula depuis la naissance d'Isaac jusqu'à lacaptivité en Égypte le Ps.-Philon ne l'indique que sous forme de tableaux

généalogiques et élargissant ceux d'Ésaü et des fils de Jacob en rattachant àl'histoire de Dina le récit du mariage de Dina avec Job (Gn 34) ; de cette façonla descendance de Jacob se voit enrichie des enfants de Dina (VIII. 7 —8).43

Le passage servant d'introduction à l'occupation de la terre promise etqui contient une description assez détaillée des événements s'étend de la périoded'avant la naissance de Moïse jusqu'à Josué et à la construction du sanctuairede Gilgal (IX. 1 —X XI . 7). Le LA B fa it précéder ce passage d 'u n détai l inter -calé et qui paraît très important du point de vue de l'alliance : il s'agit du dis-cours que prono nce Amr am, p ère de Moïse, au mome nt où le ph ar ao n pres crit

le meurtre des enfants des Juifs (IX. 3 — 6). Amra m se refuse à élude r le déc re tde cette façon que le lui conseillent les vieux (que chacun vive séparémentde sa femme : ainsi il n'y aura pas d'enfants à tuer). Amram est le seul à avoirconfiance en la prov idence divi ne : «Et respondi t Am ra m et dixi t : Celeriusest ut in victoria minuatur seculum aut in immensurabile mundus indicat autcor abissi astra contingat, quam genus filiorum Israel minuatur» (IX. 4).La foi d'Amram est elle-même fondée sur des analogies ; il rappelle le cas deTamar qui se fit aider elle aussi par le dieu pour sauver sa famille (l'histoirede Ta ma r, elle, — Gn 38 — ne fi gu re pa s dans le LAB) : «Et sa lva vi t earn con-

silium eius ab omni periculo. Nunc ergo et nos faciamus sic. Et erit cum com-pletum fuerit tempus parturitionis, si potuerimus, non proiciemus fructumventris nostri. Et quis seit si pro hoc zelabitur Deus, ut liberaret nos de humilia-tione nostra?» (IX. 5 — 6). Dans le discours d'Amram on aperçoit la mêmeconception téléologique que chez les insurgés de l'histoire de Babel (VI. 1)à cette différence près que, cette fois elle sert à exciter à accomplir l'avenir pré-dit dans la révélation divine. Amram mérite l'élection tout aussi bien qu'Abra-ham — encore que l'accomplissement n'en ait lieu que sous son fils Moïse.

43 Le passage intercalé reflète une te nda nce d'hosti lité envers les Sama rita ins , cf.A. SPIRO : l'AAJR 20 (1951) 319.


8/15/2019 ACTAANTIQUA_28 (1980)


3 6 6 I . FRÖHLICH

L'accomplissement succédant à l'acte représente, dans la structure duLAB la première analogie avec l'histoire d'Abraham, avec l'exemple de celui-cipersistant dans sa foi et se trouvant sauvé. A leur tour l'histoire d'Abrahamet celle d'Amram serviront, à l'intérieur du LAB de base pout toute une série

d'événements analogique afin d'exprimer la valeur et la force permanentes del'alliance. Signalons que l'histoire d'Abraham et celle d'Amram illustrant dansle LAB le caractère de l'alliance — la force de l'alliance sauvant des mains del'ennemi ceux qui persistent dans leur foi — ne figurent pas dans la Bible.

L'accomplissement a lieu par le moyen d'une forme intermédiaire — parun e série d'épi sodes : il s'ag it du rêve de Miriam sur la naissance de Moïse etses propriétés extraordinaires, ensuite de l'activité entière de Moïse, l'exode, lalégislation — le cours des accomplissements y éta nt i nte rro mpu p ar l'histoiredu veau d'or. Chez le Ps.-Philon chacun des deux éléments — l'importance de

la législation et l'idolâtrie — a une portée plus grande que dans l'Ancien Testa-ment. Le récit de Sinaï comporte dans le LAB plusieurs éléments nouveaux :les phénomènes naturels accompagnant la transmission de la loi, l'apocalypsede Moïse sur le mont, ensuite la splendeur du visage de Moïse rentré du mont etle changement de son extérieur (XI. 4, XII. 1) — soit la punition divine précé-dant le motif de l'écrasement du veau d'or et celui de l'ingurgitation de l'eauco nt en an t ses mo rc ea ux : la disp ariti on de l'écritur e des table s de pierre(XII. 5). La punition divine, au lieu d'être un simple élément de supplémentpose cette fois sur de nouvelles bases le contenu de l'alliance entre le dieu et son

peuple élu. La disparition de l'écriture signifie la cessation de l'alliance et larévocation de la loi que Yahvé va lui-même renouveler sur les instances deMoïse (XII. 8). Le caractère du discours de Moïse diffère lui aussi et d'unefa ço n remar quab le d e celui qui figu re da ns l'Ancien Te st am en t : ici Moïsereconnaît le péché du peuple et en demande pardon ou plutôt il fait l'offre del'expier en personne pour obtenir ensuite la promesse concernant l'occupationde la ter re de Ca na an (D t 32 : 31 — 35, 33 : 1 — 2) ; chez le Ps. -Ph ilon cepen-dant Moïse, dans la parabole sur le cep commence par parler de la providencedivine pour en venir à l'autre aspect de l'alliance : Yahvé a lui-même besoinde c eux qui le gl or if ient aussi bien que le pe up le a besoin de lui : «Tu es enimqui omne lumen es, et domum tuam ornasti lapidibus preciosis et auro et aro-ma ti bu s. . . deco rasti s domu m t uu m, e t in diversis escis, et sua vita te diversipotus saturasti creaturam tuam. Si ergo misertus fueris vinee tue, omnia Domi-ne in vano facta sunt, et non habebis qui te glorificaret. Nam etiam aliam vine-am plantaveris, nec hec tibi eredet, eo quod priorem dissipasti. Si enim relin-ques, relinqueris in seculum» (XII. 9). L'alliance de Yahvé conclue aveeMoïse, casse donc chez le Ps.-Philon d'être basée sur la bienveillance de lapuissance surnaturelle et sur la faiblesse humaine et a formellement le carac-tère d'un traité. L'idée du traité entre dieu et homme n'est pas un phénomène

tout neuf à l'Orient antique : elle remonte en effet à la formule des traités poli-


8/15/2019 ACTAANTIQUA_28 (1980)


HIS TOR IOG RAP HIE ET AGGADA 36 7

tiq ues officiels. Da ns la Bible l'alliance conclue avec Ya hv é se règle aussi ch aq uefois sur cette formule : la conclusion effective de l'alliance est introduite parun prélude et un aperçu historique.44 Dans le LAB l'idée du commencement del'alliance implique d'elle-même le caractère de traité sans l'expliquer nette-

ment : ce n'est que plus tard, à travers des cas analogues périodiquement répé-tés (l'acte de mériter l'alliance — signes — assistance) que devient manifestel'idée de traité pour devenir en même temps le propre de la technique de com-position de l'œuvre.

Le moment où Moïse «mérite» l'alliance (par la suite nous allons entendrepar «mériter» l'accentuation de la force de l'analogie en tant qu'antécédent durenouvellement de l'alliance) est suivi par l'accomplissement, par la transmis-sion de la loi. La répétition périodique de la suite alliance (aussi sous la fo rm ede l'évocation de l'alliance, donc d'une série analogique) — signes — intercala-

tion éventuelle des motifs du péché et de la punition — accomplissement de la promesse, divise en des périodes sys tém ati qu eme nt re ven ant l'histoire des douz etribus.45 Le texte du Pseudo-Philon ne s'éloigne nulle part outre mesure decelui de la Bible : il ne fai t que réuni r les récit s bibl iques ou les regrouper defaçon que la tendance en question soit plus frappante (p. ex. la révolte de Korahse trouve chez lui étroitement liée aux événements accompagnant la transmis-sion de la loi — XVI. 1).

Cette vision périodique de l'histoire — dont les bases sont bibliques, maisl'élaboration est toute spéciale et particulière au LAB — annonce la vision

historique eschatologique dominant le temps de composition de l'œuvre, visiond'après laquelle c'est l'apogée du processus périodiquement répété de l'histoireque signifieraient la venue du Messie et l'avènement de la théocratie, soit le

jugement dernier , su ivi par le renouvellement du monde — c'est-à-dire pa r larépétition de la période passée, au fond statique, à un niveau plus haut. 4 8

Sous cet aspect c'est le Livre des Jubilés qui est le plus rapproché de la concep-tion du LAB : dans ce livre-là l'auteur, en remaniant la matière de la Genèserecrée l'histoire par le moyen des pério des Yôbël d'origine tradition nelle. (E nt reles deux écrits il y a maintes autres coïncidences ; dont la forme de chronique

44 J. B e g r i c h : Berit. ZAW 60 (1944) 1 — 11 ; J . Mu il en be rg : The Form andthe Structure of the Covenant Formulation. VT 9 (1969) 347 — 365.

45 La tendance de périodisation, com men çan t au 2e siècle av. notre ère n'est passans laisser son empreinte sur presque toutes les œuvres pseudépigraphiques et apo-cry phe s. L'hi sto ire sora diviséo on 12, 10 ou 7 péri ode s. Divi sion en douze : 4" Fs d r a s14 : 11 et suiv. ; Bar uch , syriaqu e 53—7 2; l'ap ocaly pse d' Ab ra ha m 29. Division endi x: Henoch 93 :1 —1 0; 91 :1 2— 17 ; Oracula Syb'ill ina 4 : 4 7 et suiv.; 4« Esd ras14 : 11. Div ision en sep t : Héno ch (slave) : 33 : 1.

46 4e Esd ras 7 : 50 s' att end le to ur na nt sép aran t les deu x époq ues définie s lorsde la création d u mon de et qui va surveni r da ns un proc he ave nir ; d' apr ès le Ba ru ch

syri aque 49 : 51 la nouvelle époque po rt er a de la gloi ie. De la mêm e façon Ba b.Berakot 17a.

24 Ar ta Antiqua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


368 I . FRÖHLICH

qui , da ns les deux cas est élargie de tabl ea ux généalogiques au d ébu t de chac unedes œuvres.)47

Le processus historique périodiquement répété dans la conception duPs.-Philon, l'histoire des douze tribus est dirigée par l'omnipotence divine

celle-ci aidant chaque fois les tribus d'Israël contre les ennemis. La conclusionde l'alliance avec Moïse signifie non seulement le renouvellement des alliancesant éri eur es (X II . 8 — X I I I . 10) mais aussi la gar ant ie de l'élection pour les tri-bus. Selon les paroles de Yahvé : «Sciens autem scio quoniam corrumpent viassuas et relinquam eos et obliviscentur testamenta que disposui patribus eorum,et ego tamen non in sempiternum obliviscar eos (XI II . 10). Ce n'es t pas d' un efaçon directe que la providence divine régit le cours de l'histoire des tribus — ily aura des péchés et des punitions — il n'en reste pas moins qu'il est dirigé parle secours divin sys tém ati que ment appa rai ssan t.

L'histoire de Moïse et l'histoire nationale y succédant sont embrasséespar les motifs relevant de cette vision, motifs qui leur assurent en même tempsune isolation formelle du reste de la matière du LAB. La providence divine seréalise surtout dans les qualités charismatiques du chef du peuple. Cette nou-vel le relation a ses nouve lles expressions symbol ique s : il s'a git de ces mo ti fsqui dominent l'œuvre entière ou s'y répètent (généralement trois fois). Ayant,chacun le même sens ils symbolisent la force divine attribuée au chef, la forcede l'alliance — voilà pourquoi il se trouve que, au cours de l'histoire ils sesubstituent l'un l'autre ou qu'ils s'assimilent l'un à l'autre alors que, à l'inté-

rieur de chacun des passages du texte, l'auteur emploie, pour la plupart dutemps les mêmes motifs.

Un motif qui reste dominant tout le long du texte, c'est le sceptre de l'al-liance. Son acte de donation étant passé sous silence il figure la première foislors du passage de la mer Rouge. (X. 5). Ici le sceptre — pareillement en cecià la conception de la Bib le (Gn 14 : 16) — symboli se la pui ssance miraculeuse ,d'origine divine de Moïse : c'est grâce au sceptre que celui-ci réussit à fendreen deux les eaux de la mer. Le sceptre de Moïse, en tant que symbole constantde l'alliance est at t es té une deuxième fois da ns l'histoire de Sinaï du LA B :«Et nunc virga tua in qua facta sunt signa, erit in testimonium inter me et

populum meum, et erit cum peccaverint irascar eis, et memorabor virge mee, e tparcam eis iuxta misericordiam meam. Et erit virga tua in conspectu meo incommemorationem omnium diebus, et similabitur arcui in quo disposui testa-mentum ad Noe cum exiret de arca» (XIX. 11).

La force divine symbolisant la maîtrise sur le peuple continue à se trans-mettre par la personne de Moïse. Après la mort de celui-ci Josué sera élu chef

47 M. r . J a m e s v eu t que l'a ute ur du L AB ait connu le Liv re des Jubilé s, lestableaux généalogiques de celui-là étant, par leurs structures étroitement attachés à

ceux du Livre des Jubilés. Les données fictives de ce dernier s'y trouvent complétéesd'autres données du même type.


8/15/2019 ACTAANTIQUA_28 (1980)


h i s t o r i o g r a p h i e e t a g g a d a 369

(XX. 1). A la différence de la Bible le Ps.-Philon n'en ajoute pas moins à l'in-stallation de Josué le motif de l'obtention de la force et sans mentionner, il estvrai, le sceptre, il y parle quand même de l'héritage de Moïse, du pouvoir divinassuré par le scept re : « . . . et dixi t Deus ad Ihe su m : Ut quid luges et utquid speras in vanum, quod Moyses adhuc vivat? Et ideo superflue sustines,quonia m de fun ctu s est Moyses. Sed accipe vestimenta sapientie istius et indue te et

zona scientie eius precinge lumbos tuos, e t i n m u t a b e r i s e t cris in virum alium

Nonne pro te loc utu m sum servo meo Moysi dicens : Is te duc abi t p opulum po stte. In manum eius tradam reges Amorreorum» (XX. 2). Les symboles de l'héri-tag e de Moïse tra nsmis à Josué, les «vest imenta sapie ntiae» et la «zona scientiae»sont, dans la conception religieuse contemporaine des Juifs, ceux du savoir,non pas du savoir abstrait, mais bien de la morale pratique, de la connaissancedes voies, des choses de monde, de la distinction du vrai d'avec le faux — bref,

de l'emploi pratique de la loi que le texte exprime d'une façon qui est celle dusymbolisme essénien.48 Aussi le terme de «vestimenta sapientiae» est-il par-faitement compatible avec les qualités du chef du peuple, qualités qui, dans lapensée du Ps.-Philon relèvent sans cela de la direction spirituelle, de la directionde l'observance de la loi.49

La force divine accordée aux fins de la direction et semblable à celle desprophètes apparaît une nouvelle fois à propos de la personne de Kenaz (enlatin : Cenaz) (XXV. 2 —X XV II I. 10). Sa présen ce da ns le texte pa ra ît enelle-même assez étrange : la Bible n'en fait qu'une vague mention, en conne-

xion de son fils (Jg 1 : 13), or, dans le LA B il a un rô le de poids. Le réc it su rKenaz figure chez le Ps.-Philon dans la tradition du Livre des Juges, aprèsle récit sur la mo rt de Josué. L 'a ut eu r du LAB fa it fig ur er la personne de Ke na z,un chef nou veau, le successeur du chef dé fu nt , qui a les qualité s et la pop ul ar it éde Josué.50 Voilà pourquoi élargit-il l'histoire de Kenaz par des épisodes légen-daires, dont le motif de la force divine : av an t d' en tr er en lut te cont re lesCanaanites Kenaz se trouve possédé par une force divine : «Et factum est utaudivit Cenaz verba eorum indutus est spiritus virtutis et transmutatus est invirum alium, descen dit in cas tra Amorreorum et cep it perc utare eos» ( XX VI I.

10).Un autre exemple de la force divine attribuée au chef du peuple est fourni

par l'histoire de Gédéon qui représente, elle, une dernière étape de la transfor-mat ion successive du motif . Gédéon est, lui aussi, élu : «Et nunc veni, mi tt amte et liberabis Israel de manu Madianitum. . . Nunc ergo vade, et cinge lumbostuos, et Dominus erit tecum» (X XX V . 4—5). C'est seu lem en t sur sa pr op re de-

48 D'après Ps. Sal. 22 le Messie de David arrivera «cerclé de force».49 La Mishna , elle, divise en deux le motif f ig ur an t av ec deux sons chez le Ps.-

Phil on ; J osu é du t son savoir au scep tre de Moïse do nt il éta it en posses sion; Je r.Nedarim 9, 91B.

50 La mati èr e du Livre des Ju ge s ne con cor dan t p as, po ur la plu par t, ave c laconception postérieure, il resta sans être propagé, cf. A. Spiro : PAAJR 20 (1951) 298.


8/15/2019 ACTAANTIQUA_28 (1980)


3 7 0 I . FRÖHLICH

ma n de que Gédéon ob ti en t les signes de son élection : «Ecce Moyses pr imusomnium prophetarum peciit a Domino signum, et datum est ei. Ego autemqui s su m, nisi fort e se elegit me Dominu s, det mihi signum, ut sciam, quoniamdirigor» (XXXV. 6).

Pour ce qui est de Jephté c'est le peuple même qui est donateur du pou-voir de chef que celui-ci se refuse d' ab or d à accepter : «Et fa c tu m est du mexpugnaretur Israel, venerunt in terram Tobi ad Ieptan, et dixerunt ad eum :Veni principare populo» (XXXIX. 3). Que Jephté se charge d'être le chef del'armée dirigée contre les Ammonites, cela est dû uniquement à la demande dupe up le lui-même ay an t peu r de la colère de Ya hv é à cause des péc hés du peuple.Le pe up le rappelle à J e p h t é la vocation d' Is ra ël — ce qui ne l'em pêc he p asd'insister, dans son argumentation, au mépris de l'importance de la personnedu chef sur la force de l'observance de la loi, force qui assure la plus grande

pu is sa nc e : «Nunc ergo po ni te cor ve st ru m in lege Domini Dei ves tri , et depr e-cemur unanimes et sic pugnabimus ádversus inimicos nostras, confidentes etsperantes in Domino, quoniam non tradet nos usque in finem» (XXXIX. 6).

Dans la suite, la force divine du chef n'apparaît que périodiquement dansles réci ts sur les juges : «Et pen itui t De us ire sue, et confortavit spiritumlepte» (XXXIX. 8). Sur la personne d'Adda, ce juge succédant à Jephté, lePs.-Philon ne fait aucune observation et, quant à la légende de naissance deSamson il se contente de remarquer à propos de sa personne : «Et erat Dominuscum eo» (XLIII. 1).

L'apparition du secours divin à travers la personne du chef va donc ense su pp ri ma nt alors que les péchés se prop ag en t; les juges co mm et te nt eux-mêmes des fautes contre l'alliance, tel Jephté dont le péché — le vœu auda-cieux et le sacrifice de sa propre fille — se trouve, chez le Ps.-Philon particu-lièrement mis en reliefet comdamné (XXXIX. 11).

Au cours de la période allant jusqu'à David Israel est sans chef : «Et indiebus illis non erat dux in Israel, sed faciebant unusquisque que placita erantante conspectum eorum» (XL1V. 1). L'exigence d'avoir un chef n'en reste pasmoi ns vi ve et pourr a mêm e à préluder, d 'u ne f açon efficace à l'his toire de David ,

à la confrontation de David avec la royauté de Saül : «Et in tempore illo cepe-ru n t filii Israel requirere a Domino, et di xe ru nt : Sorciamur omn es nos etv idemus quis sit qui possit principari nobis sicut Cenez (XLIX. 1).

Ap rè s la mor t de Samue l c'est Da vi d qu i sera élu ch ef : en connexionavec l'apparition de sa personne réapparaissent dans l'œuvre les signes miracu-leux particuliers au chef politique du peuple mais, cette fois sous la forme d'unmotif nouveau qui, jusque-là servit à exprimer le secours divin direct. Avantd'entrer en lutte avec Goliath David, par le moyen des noms écrits sur leslance-pierres demande secours à Yahvé tout en lui rappelant la force de l'al-

liance (LXI. 5). Au cours du combat il sera aidé par un ange, force divine per-sonnifiée : «Angelus autem erexit faciem David, et nemo agnoscebat eum. Et


8/15/2019 ACTAANTIQUA_28 (1980)


HISTORIOGRAPHIE ET aggada 371

videns Saul David, interrogavit eum quid esset, et non erat qui cognosceretcum» (LXI. 1). Le fait que la figure de David devient indiscernable des mortelsest cependant un analogue do l'épisode sinaïtique de la transmission de la loi :ici c'est le visage de Moïse qui, après l'acceptation des tables reçut une splen-

deur d'origine divine telle que le peuple lui-même ne pût plus le reconnaître(XXV. 1 et Ex. 34 : 29 -3 5) . 5 1

Auprès des principaux symboles de la force divine du chef et qui sontattestés tout le long de l'œuvre apparaissent d'autres motifs, un peu moinsmarqués, avec des sens éventuellement différents et qui, au lieu de dominerl'œuvre entière n'y sont présents qu'en un nombre défini (généralement troisfois); indiquons, en outre ces parties qui sont la répétition ou la paraphrasede tels passages antérieurs (des discours par exemple) et ont pour fonction desouligner la force de l'analogie.

Cependant la royauté de Saiil qui précéda celle de David apparaît, dansle LAB, sous un aspect tout autre. Ce portrait de Saiil diffère essentiellementnon seulement de l'idéal du chef dessiné dans le LAB, mais aussi de celui dela Bible. D'après le Ps.-Philon la période précédant la royauté de David signi-fierait l'échec de l'alliance dû aux péchés du peuple. (Pour faire décor à lasituation extraordinaire voilà la description du double châtiment pour l'ido-lât rie de Mika soit pou r le me ur tr e de la concubine du lév ite — XL VI I. 7—12).En même temps le peuple commence à sentir le besoin du retour du secoursdivin en la personne du chef. Or, l'élection d'un nouveau chef, le peuple ne l'a

pas encore méritée : c'est ce qui signalent l'insuccès du tirage au sort, et aussice fa it que le choix se po rt an t sur Elqa na (dans la te xt e latin : Helcana)celui-ci, tout en connaissant les intentions de Yahvé se refuse à être le chef,

justement à cause des péchés du peuple : «Ego non possum dux esse superpopulum istum, п е с estimare quis possit esse vobis in ducem. Sed si peccat a meacomprehenderunt me ut supervolaret me sors, ego me interficiam, ut non mecontaminetis. Iustum est enim me pro peccatis meis tantummodo mori, magisquam sustinere pondus populi» (XLIX. 5). Samuel, fils d'Elqana — dont lanaissance est antérieurement révélée par Yahvé — est le seul à avoir le privilège

de sacrer le futur roi. Après la description de l'enfance de Samuel, de la luttecontre les Philistins, de la mort des fils d'Éli et de la victoire décisive le pro-blème de la ro yaut é se trouve de nou vea u au premier plan : «Et in illo tempo reconcupierunt filii Israel petentes regem, et congregati sunt ad Saulem et dixe-runt : Ecce nunc tu senuisti, et filii tui non ambulant in viis tuis. Et nuncconstitue super nos regem, qui nos diiudicet, quoniam completum est verbumquod dixit Moyses patribus nostris in heremo dicens : Constituendo constituede fratribus tuis super te principem» (LVI. 1).

51 Pour los para l lè les v . H. S t r a ck — P . Bi l l e r b e c k : Kom men tar zum NeuenTestament. IV. 2. München 1922. 298.


8/15/2019 ACTAANTIQUA_28 (1980)


3 7 2 I . FRÖHLICH

Mais, à l'intérieur de l'histoire de la royauté le Ps.-Philon fait opposerd'une façon marquée le règne de David à celui de Saiil. Le portrait négatif quedonne le Ps.-Philon du règne de Saiil, est loin d'être une sorte de propagandeco nt re la royauté ; il sert pl ut ôt à me tt re en relief l'électi on de Dav id. D' ap rès

les paro les de Samuel : «Ecce nunc video, qu oniam non est adhuc tempusregnandi nobis in sempiterno et edificar e dom um Domini Dei, pet ent ibu s regemante tempus» (LVI. 2). La fin tragique du règne de Saul est préalablementdét erm iné e par Ya hv é : «Mittam enim eis regem qui eos exte rmin et, et ipse

postea exterminabitur» (LVI. 3). Après quoi Samuel lui -même se désolidarised'avec le nouveau roi.

Quant à la figure de Saiil le Ps.-Philon y apporte des modifications con-sidérables par rapport du texte de la Bible. En rapportant sa naissance ilomet tous les passages qui rappellent l'origine benjamite de Saiil pour lui impro-

viser l'origine éph raï mit e : « . . . Saul filius Cis venie bat de mon te Ef fr ai m. . .»(LVI. 4). Du point de vue de la conception historique du LAB cette indicationde l'origine de Saiil a en elle-même une grande importance. C'est qu'en la figurede Saiil le Ps.-Philon nous dépeint le Messie ben Éphraïm dont la venue est,dans les idées messianistiques des Juifs antérieure à celle du Messie davidique. 52

Par sa personne, se voit justifiée cette conception toute reçue dans les idées d'his-toire escliatologiques d'après laquelle le temps de la rédemption sera précédéd'une période pire que toute autre et la dernière étape de celle-ci sera marquéedes pertes et des guerres.53 L'existence de cette conception chez le Ps.-Philon

est bien mise en vue par un passage antérieur, lorsque Moïse aperçoit sonpeuple en train d'adorer le veau d'or : «aperte sunt manus eius, et factus estsimilis mulieri parturiendi in primitivis suis, que cum teneatur in doloribus etmanus eius super pectus illius, et virtus non erit que adiuvet partus eius»(XII. 5). Dans la littérature de l'époque les «maux d'enfant du Messie» signi-fi en t, selon la conc eption eschato logiq ue de l'histoire ce soudain redressementsuccédant à la dernière période la plus grave ainsi que la voie qui conduit àla rédemption.54

Le Ps.-Philon présente la royauté de Saül commme coupable et en agran-di t même les péchés; pa r exe mple lorsque , au cours du com ba t contre lesPhilistins l'arche tombe dans les mains de ceux-ci Saiil, lui prend la fuite (LIV.4), cepen dant, à la diffé ren ce du p rem ier livre de Samuel (p. ex. 1 S 15 : 11)

52 C. C . T o r r e y : Th e Messiah Son of Ephr aim. JB L CO (1947) 253—277 ; J. Liver :The Doctrine of the Two Messiahs in the Sectarian Literature in the Time of the SecondCommonwealth. HTR 52 (1959) 149 — 185 ; A. Spi ro : Pseu do-P hilo' s Saul and Rab bis 'Messiah ben Ephraim. PAAJR 21 (1952) 136.

53 He noch 99 : 4 ; J u b . 23 : 22 ; 4F Esd ras 4 : 5 1 - 5 : 13 ; 6 : 1 8 ; 8 : 63 — 9 : 6 ;Baruch 25 : 1 -29 .

5 4 1. H a h n : Fla viu s Jos eph us és a Bellum Ju da ic um eschatológiai hátt ere .

(Josôphe Flavius et l 'arrière-plan eschatologique du Bellum Judaicum.) Ant. Tan. 8( 1 9 6 1 ) 1 9 9 .


8/15/2019 ACTAANTIQUA_28 (1980)



il ne le blâme jamais pour ses péchés. Aux yeux de l'auteur du LAB l'état deculpabilité de Saiil est tout naturel ; c'est en effet la force divine qui lui im-pose ce rôle. Aussi sa figure n'est-elle pas conforme à celle que doit avoir lechef, suivant la conception du LAB. A vrai dire, il n'est même pas roi oint (c'est

que le texte ne fait mention nulle part de ce que Samuel l'aurait oint roi — cf.1 Sam. 10 : 1 — pour Da vid, il le fa it bien : LIX. 2). Saul n'ignore pa s que, le«spiritus sanctus» l'ayant quitté, il n'est plus souverain (LX. 1). Après la con-versation qu'il poursuivit avec la sorcière d'Endor c'est encore lui-même qui,la femme n'ayant pas reconnu, constate ceci : «Ecce nunc scio quoniam speciesmea mutata est et gloria regni mei transivit a me» (XLIV. 4). La destinée deSaul sera bientôt accomplie à cause du péché commis contre Agag (LVIII.2 - 3 LXV. 4).

Cependant les signes représentatifs de la personne de David, leur confron-

tation avec ceux de la personne de Saiil durant le règne de celui-ci, donnent àse faire des idées sur le caractère de la royauté de David conçu par le Ps.-Philon, et ceci malgré que, le texte étant fragmentaire, la déscription des événe-ments de la royauté de David elle-même en est absente. David est un véritableélu de Yahvé. C'est ce qui ressort des paroles de Samuel adressées à David lorsde leur première ren con tre : «Ecce nu nc sanctus chr ist us Domini» (L IX . 2).L'onction de David a lieu sous l'effet d'un ordre divin : «Et dixit Dominus adSamuel : Vade ungue quem tibi dixero, quoniam completum est tempus in quoadveniret regnum eius» (LIX. 1).

C'est dans les deux psaumes chantés par David que l'opposition du«Messie ben Éphraïm» au «Messie ben David» apparaît la plus marquée (LIX.4, LX 2—3).55 C'est en pleine conscience de son état d'élu et avant d'entrer enlutte avec Goliath que David chante les psaumes. Dans chacun d'eux il met enparallèle, par le moyen des récits de la Genèse la personne de Saiil avec la sienne.Dans le premier, en évoquant l'histoire de Caïn et Abel il fait le récit de la hainede ses frères et celui de sa pro pre élection : « . . . eust odivi t me Deus et . . . ange-lis suis tr ad et me et custod ibus suis ut me cust odi ant . . .» (L IX. 4). Dans lesecond il est déjà question de la primauté de David sur Saiil et de la victoire

qu'il va remporter sur celui-ci, tout cela à partir de l'histoire de la créationoù — comme le veut le psaume 9 l'âme de Saul figure parmi les choses créées duchaos. Quant à sa propre personne David la présente comme la perfection l'em-portant sur le chaos (ce dernier ayant cette fois le sens de «force finie, désordre»),comme une force supérieure : 5 6 «Aut inmemor es quoniam de resultatione inchaomato natus est vestra creatura. Arguet autem te metra nova unde natus

85 r . B u l tm a nn 1960. 96.86 Ps. Sal. 17 : 37 af fi rm e que le Messie l'em por te sur ses adv ers air es; en Te st .

Lévi 1 8, Test. Z ebulo n 9 il tr io mp he sur Bel iar ; Ass. Mosis at te nd la victoire de l 'a rmé ecéleste. — Sur le caractère dualiste essénien de l'hymne v. M. I' h i l o l e n k o : Origineessénienne des psaumes de David. Semitica 9 (1959) 36 — 38.


8/15/2019 ACTAANTIQUA_28 (1980)


3 7 4 I . FRÖHLICH

sum, de qua nascetur post tempus de lateribus meis qui vos dominabit» (LX. 3).57

La personne de David est entourée de signes miraculeux : dans sa luttecontre Goliath c'est — conformément à la prophétie qu'il a donnée dans sonhymne — en effet un ange qui le fait triompher (LXI. 2). C'est David qui re-

çoi t l' at tr ih ut «christus» (en hébreu rTÎPD — LI X. 2) at te st é une seule fo isdans le texte du LAD. Cependant, d'après la conception du LAB le Messieréd emp teu r fig uran t da ns l 'histoire des dou ze tribus n'es t pa s Dav id lui-même :ses calculs eschatologiques, le Ps.-Philon les fait aboutir à sa propre époque,à une date proche de la naissance de l'œuvre. 5 8 La confrontation de la royautéde David avec celle de Saiil n'est qu'une illustration de ceci que la force divinefavorable aux élus triomphe de ceux qui s'opposent à elle — une illustrationdes espérances de sa propre époque.

L'auteur du LAB croit savoir que «la fin des temps» arrivera dans des

ca dr es apoc alyp tiq ues ; c'est ce qui resso rt des passages apo caly ptiq ues quireparaissent dans l'œuvre entière. On y trouve le schéma des apocalypses juives, la marche de ces élé ments pour ainsi dire réunissant le processus desévénements rapportés par la narration historique. Une partie des descriptionsapocalyptiques n'est qu'une addition gratuite au texte de la Bible, 59 une autrepartie en sert de supplément, d'élargissement de la description de tel signe oude tel phénomène surnaturels, par des éléments apocalyptiques (p. ex. lors dupassage de la mer Rouge — X. 5 ou lors de la révélation de la Tora — XI.4 — 5). Dans l 'ad ap tat ion du LAB dev ien nen t apo calypt iques ces parties quisuivent fidèlement les passages bibliques comportant des éléments miraculeux— dans ces cas-là l'importance des éléments se voit-elle augmentée par leurmise en relief, leur intégration à un texte raccourci. Deux fragments majeursde l'a poc aly pse sont fo urn is par la vision impliq uée dan s le récit de Moïse : laprésentation, par le moyen des éléments cosmiques, de la terre promise à Moïse,et le mouvement cosmique lors de l'épisode de combat renfermé dans l'histoirede Débora (XIX. 10—16 soit XXXI. 1).

L'eschatologie apocalyptique et l 'historiographie nationale se trouvent,chez le Ps.-Philon, dans un rapport spécial : alors que, dans les apocalypses

57 La période initial e de l'eschatologie juiv e est marquée de tenda nce nation alisteet de l'espérence en la royauté davidienne, celleci consistant à attendre le rétablisse-ment de la royauté davidique sous la conduite d'un roi provenant de la maison de David.Ce mess ie serait, d' ap i ès Ps . Sal. 17 une fi gu re hum ain e qui va occuper le trô ne deJérusalem, les Juifs de la Dispersion, eux, vont retourner et la domination universellede l'Israël se verra par là réalisée.

58 Sur le te rm e fi nal des calculs escha tologiqu es du LA B et s ur le rappo rt en tr elos calculs de celui-ci av ec ceux de l'apoc alypse sy riaque de Ba ru ch v. L. G r y : K B(1939) 337-356.

59 Les libres addi ti ons des éléments apoca lypt ique s du L AB ont bea ucoup doressemblances avec l'apocalypse de 4e Esdras 5 : 4 — 12 ; les parallèles de l'arbre sanglant,due feu jaillissant de la terre, des pierres criantes, des fleuves de sang, du soleil brillantpe nd an t la nuit sont, chez le Ps.-Philon, les su iv an ts : feu, délivr ance du feu, dest ruc-

tion de l'ennemi par tremblement de terre, le soleil qui, à l'effet des sorcelleries d'Aodbrille pendant la nuit, prodige (eau) offert à Gédéon lequel se transforme en sang et feu.


8/15/2019 ACTAANTIQUA_28 (1980)



«régulières» la conception de l'eschatologie cosmique d'origine étrangère semêle avec les espérances nationales juives, avec les prophéties annonçant d'unepart les espérences glorieuses d'Israël, son futur magnifique, d'autre part laperte des puissances adversaires,60 chez le Pseudo-Philon le rapport des élé-

ments constitutifs est juste le contraire : ici c'est dans l'historiographie natio-nale que se mêlent des éléments cosmiques eschatologiques et apocalyptiques.La structure et la conception analysées ci-dessus nous amèment à suppo-

ser que le texte primitif du LAB s'est tout probablement terminé par un juge-ment de Dieu ayant lieu dans des cadres apocalyptiques et par la descriptionde la théocratie de l'éon suivant. Dans la théocratie du nouvel éon — commedonne y conclure, à l'intérieur de l'œuvre, la conception du rapport peuple —Dieu — les descendants des douze tribus ont un rôle privilégié : «Dabo lumenmundo, et illuminabo habitabilia, et disponam testamentum cum filiis hominumet glorificabo popul um meum sup er o mnes gentes; in quo disposu i excelsasempiterna, que ei erunt in lumine, impiis vero in punitionem» (XI. 1).

3. Sphère humaine et sphère divine

La représentation du processus historique n'est qu'un des aspects de lavision du monde du LAB. Un autre élément constitutif en est la conception durapport entre individu et dieu, individu et univers, donc un élément statiquepar rapport au dynamisme du processus historique.

homme et dieu

Pareillement aux tendances spiritualisantes des prophètes le LAB trans-forme certaines conceptions bibliques pour les rendre plus abstraites. Sonimage de dieu est exempte de tout trait anthropomorphe. Yahvé n'y est pluscomme un dieu de tribu plus puissant que celui de tout autre peuple, mais bienle dieu tout-puissant, qui, à cause de sa persistance dans sa foi a élu Abrahampour conclure l'alliance avec lui. Dieu éternellement subsistant et qui sait tout,qui connaît l'intention des générations futures avant même que celles-ci nesoient nées : « . . . tu sois sensum omn ium generation um ant eq ua m nasca ntur»

(XXI. 2).Par sa loi il dirige l'univers, l'histoire des douze tribus. Ce sens abstrait

de la loi apparaît dans l'œuvre par des symboles qui rappellent le symbolismeessénien des rouleaux de Qumran :61 «et nunc si ambulaverimus in viis eiuser imus filii su i. . .» (XVI . 5).

80 Telles les visions de 4, Esdras ou bien la série do vaticinia ex eventu de l'OraculaSibyllina.

61 Les œuv re s littér aire s voisines du L AB té moign ent, elles aussi, d' un e inf luenc eessénienne (le Livre des Jubilés, Henoch, le Testament des douze patriarches), v. A.Dupont-Sommer : Los écrits esséniens découverts près de la Mer Morte. Paris 1959. 308.

Acta Antiqua Academiae Scientiarum Hungaricae 28, 11/80

8/15/2019 ACTAANTIQUA_28 (1980)


376 I. FRÖHLICH

L'omnipotence divine dirige cependant les actes des hommes non seule-ment sur la voie de la loi antérieurement prescrite, mais assez souvent par uneintervention directe. En apprenant la promesse de Jephté Yahvé se met encolère et décide lui-même que Jephté aille rencontrer le premier sa propre fillepour sacrifier justement celle-ci, la plus chère (XXXIX. 11).

C'est encore d'une façon directe que Yahvé dirige les douze tribus d'Is-raël, lorsqu'il leur conseille d'attaquer la tribu coupable de Benjamin pour quecelle-ci expie pa r la lu tt e le meu rt re de la concubine du lévite : «Ascendite,quoniam tradam eos in manus vestras. Ipse autem seduxit eos ut compleretverba sua» (XLVI. 1).

Kenaz ayant achevé le combat contre les Amorites n'arrive pas à sedebarrasser de son épée miraculeuse dont il eut tué tant d'ennemis. L'Amoritecapturé par Kenaz lui conseille de se laver les mains du sang d'un Hébreu. Or,d'après le Pseudo-Philon l'ennemi donne ce conseil méchant pour se déceler et

pour faire par cela triompher le peuple élu de Yahvé (XXVII. 11).La plus belle et la plus complète illustration de la force de l'omnipotence

divine qui dirige les actes humains est fournie par un épisode à part, l'histoirede Balaam (XVIII. 1 —14). G. Vermes en aya nt fai t l'analyse62 a démontréque cette conception de la figure de Balaam remonte sur Num. 31. En consé-quence Balaam apparaît chez le Ps.-Philon non comme un homme méchant,mais comme un héros tragique. Cette conception de la figure de Balaam est-elle to ut isolée — les au tr es comm ent ateu rs cons idér ant Bala am, tous, d 'ap rèsla tradition de Num. 22 — 24 comme un coup able pa r excellence qui personn ifie

l'avidité, l'orgueil et qui, ayant corrompu son peuple est en plus le moyen de lachute d'Israël. C'est par avidité qu'il eut accepté l'appel de Balak, c'est parfanatisme qu'il n'eut point observé l'avertissement divin, et lorsque Yahvé lecontraint à bénir Israël, il donne tout de suite un conseil méchant à Balak ense révoltant par cela contre l'ordre divin.63

Le Balaam du Ps.-Philon est en revanche un héros tragique qui ne haïtpoint Israël. Il assume son rôle non par avidité, mais par ceci que, accomplir lavolonté de Jahve, c'est là son unique ambition. Il n'ignore par que les Juifssont peuple élu, lui-môme adore leur dieu. Son activité entière est déterminée

par une première erreur : il demande la permission de se mettre en route avecBalak tout en sachant que Israël, en tant que peuple élu, ne peut être blessé.Si pour la seconde fois il va chez les Moabites, c'est qu'ayant pris pitié de Balakil veut offrir un sacrifice pour lui. Yahvé, tout en le lui permettant le prévientque sa mission fera du mal à chacun d'eux (XVIII. 8). C'est pour cela qu'illui enlève le talent de prophète. Désormais Balaam accepte son sort consciem-ment et se soumet à la destinée ordonnée par Yahvé. Aussi, le dernier conseil

32 G. Vermes 1961. 140.63

G. Vermes 1961. 174.


8/15/2019 ACTAANTIQUA_28 (1980)



qu'il donne à Balak n'est pas, d'après le Ps.-Philon un fruit de sa méchanceté,plutôt le moyen de son suicide physique.64

Cette conception de la figure de Balaam est basée, d'après G. Vermes nonpas sur l'ignorance de la tradition palestinienne, mais plutôt sur le refus con-

scient de celle-ci65

(il ressort d'autres passages également que l 'auteur du LABa très bien connu la tradition des livres bibliques et que tout ce qu'il en inséradans son œuvre, fut filtré d'une façon consciente et conforme à ses propresidées.) Au lieu de la rédaction rabbinique de la Tora et la tradition rabbiniquese modelant sur celle-là le Ps.-Philon a ici recours à une tradition d'origine dif-férente. Dans son œuvre la figure de Balaam est destinée à illustrer la concep-tion entière du LAB, suivant laquelle l'activité et la puissance du dieu d'Israëlorientant les événements du monde n'en agit pas moins sur les actes de l'ennemiet fait ainsi triompher son peuple élu.

Une preuve de la puissance directrice immédiate de Yahvé c'est retarde-ment des punitions. Chaque crime commis doit être puni, mais pour la plupartdu t em ps la peine n'ac cabl e le coup abl e qu' ult ér ieu re men t : «non pro h ocpeccato quod nunc locuti sumus moriemur, sed in illo priori de quo comprehensiconfessi sunt viri, qui arserunt in peccatis suis.» (XXVII. 15). L'infécondité dela femme de Manoah est due à des péchés antérieurement commis. (XLII. 2).Abraham admet la menace de la peine de mort pour une punition de ses péchésantérieurs commis malgré soi (VI. 11). C'est pour des péchés anciens que Kenazse fait tuer au cours du combat (XVII. 7), et la mort de la concubine du lévites'explique de la même façon (XIV. 3). Elqana, le père de Samuel qui craintdieu et qui est le seul du peuple à comprendre la volonté divine hésite à accep-ter le pouvoir suprême offert par le peuple parce qu'il n'ignore pas que cecicontreviendrait à la volonté de Yahvé. Il pense qu'un éventuel accès au pouvoirpasserait pour une punition de ses anciens péchés : «Sed si peccata mea compre-he nd er un t me ut supe rvo la ret super me sors, ego me in ter fic iam , ut non me con-taminetis. Iustum est enim me pro peccatis meis tantummodo mori,magis quamsustinere pondus populi» (XLIX. 5).

Nous avons pu constater non seulement dans la manière de penser d'El-qana mais aussi à propos d'autres châtiments que les anciens péchés s'expient

pour la plupart par la mort. Pour avoir fait l'idolâtrie Mika et sa mère vontmou rir da ns les to ur me nt s; ici encore la punit ion a bien l'air d' un ju ge me nt(X LI V. 10) et en plus le te xt e insis te sur la géné rali té de la puni ti on : «Et sicnon hoc solummodo Miche faciam, sed omnibus qui peccant in me» (XLIV. 10).

64 Le dualis me du Te st. Aser 1 mon tr e de la simiili tude avec la conception d uPse udo -I' hil on ; il y est ques tio n des deux voies ordonnée s à l'ho mme ; de celui q uisui t le mal , cha que ac te to urne en mal a lor s qu 'il veu t fair e du bien, cf. 1 QS,IV. 15-19.

65 G. Ve rm es 1961. 175.


8/15/2019 ACTAANTIQUA_28 (1980)


3 7 8 I . F R Ö H L IC H

Les punitions retardées témoignent d'une part du changement de la con-ception du péché. Le LAB pose la question de la punition non à partir de larespon sabili té morale, mais bien d' un po int de vue déte rmini ste : l 'expiat iondu coupable est inévitable en ce qu'elle dépend de la volonté du dieu tout-puis-

sant et non de l'acte du coupable. C'est ce qui est souligné aussi dans les pas-sages où il s'agit de la punition d'après la mort : Gédéon, de son vivant n'estpas puni pour avoir fait le culte des idoles : «Una via posita est ut non redar-guam Gedeonem in vita sua, eo quod dissipaverit sacrarium Baal, quia dixe-r u n t t un e omnes : Vi ndi cet se Baal» ( XX XV I. 4). Gédéon v a donc mo uri rdans sa vieillesse, mais après sa mort, comme dit Yahvé : «... castigabo eumsemel» (XXXVI. 4). La spécialité de la punition consiste non seulement dansceci que le Ps.-Philon trace une ligne de démarcation entre la manière païennede la punition et celle signalée dans le LAB, mais aussi qu'il place la punitiondans un temps irréel, après la mort. Cette conception, celle de la punition aprèsla m o r t est à dé mo nt re r aussi à pa rt ir de certain s passages du LA B : «Quandosenue rimus , tune penitebimur» (LI I. 4), — disent les fils d'É li. L'a ffi rma tio nvaut tout probablement pour la punition après la mort.

Les œuvres pseudépigraphiques rapprochées du LAB et qui sont lesproduits de la même école représentent des idées toutes pareilles. Dans le4e livre d'Esdras apparaît une dualité toute pareille à celle du LAB, à proposde l'expiation et de l'élection individuelles. Chacun doit expier ses proprespéchés, mais dans l 'éon prochain les tribus d'Israël, finissent, par l 'interventiondu Messie par être sauvées.66 Dans le livre syriaque de Baruch le péché n'est

pas non plus suivi de l'expiation — fait qui permet que les peuples païens qui,au commencement eurent une sort favorable ne soient punis qu'ultérieurementet la situation de ceux qui sont punis dans le présent sera meilleure dans l'éonqui arrivera très prochainement.67

Le problème de la punition après la mort soulève celui de la foi dans l'autremonde laquelle n'est peut-être pas absente du LAB. Au sujet de cette questionla conception du LAB n'est pas complètement développée. Le Ps.-Philon, luiest sûr de l'être après la mort et de la résurrection, le temps de cette dernièrese ra tt ac ha nt à l'ac comp liss emen t de s calculs eschat ologiq ues ; lorsque les

années du monde seront consommées, Yahvé, lui va faire naître un tremble-ment de terre pour ressusciter ceux qui dorment. Shéol et Abaddon (deuxnoms de l'enfer dans la croyance de l'autre monde du judaïsme) payeront leursde t tes 6 8 et jugeront chaque hommes selon leurs actes. Le jugement sera suivide la recréation de la terre celle-ci servant désormais de demeure éternellepour les justes.69 (III. 10).

66 Cf. Esdra s I V. 7 : 50.67 Cf. l'apocalypse syriaque de Baruch, 13 — 20.68 De la même façon 4e Esdr as 7 : 32, 4 : 42 ; Heno ch 56 : 8 ; apocalyps e sy ria que

de Baruch 21 : 23.68 4e Esdra s 7 : 50 ; apocalypse sy ri aq ue de Baru ch 49 : 51.


8/15/2019 ACTAANTIQUA_28 (1980)



Les âmes attendent l 'arrivée du temps du jugement en leur demeured'après la mort ;70 c'e st ce qui ressort du passage selon lequ el Moïse ne p e u tentrer sur la terre promise «à cette époque-là», mais il dormira avec les patriar-ches et restera ici bas jusqu'à ce que Yahvé ne visite la terre pour les ressusciter

— c'est à ce moment-là qu'ils regagneront leur demeure éternelle (XIX. 7).Malgré que le jugement n'aura lieu qu'avec «la consommation des temps» l'au-teur du LAB fait quand même distinction entre la demeure après la mort, des

justes et celle des coupables ; distinction qui ressort le plus ne t tement de cet teremarque que la récompense des justes c'est la vie éternelle, leurs âmes sereposant en paix, jusqu'à ce que les temps du monde ne soient consommés(XXIII. 13). Les âmes des patriarches se reposent elles aussi jusqu'à ce moment-là isolées (XXI. 9, XXIV. 6., XXXII. 13).71 Pour ce qui est cependant des âmesdes païens et des coupables, c'est la punition ou du moins une demeure pareille

à l'enfer qui les attend juste après leur mort. Sisera, une fois mort parviendraà l 'enfer (XXXI. 7), Korah et ses compagnons révoltés attendront le jugementsur le lieu des ténèbres et de la désolation (XVI. 3). Les coupables — à l'op-posé des justes — seront jetés par Yahvé aux ténèbres (LI. 5).72

Toutefois, les idées sur la distinction des coupables et des justes d'aprèsla mort ne sont pas éloignées de la conception biblique de l'au-delà, c'est-à-direde l'idée do l'être sans temps ni pensée après la mort. Après la mort il n'y apas grâce immédiate, les patriarches, après être morts, ne peuvent eux non plusintervenir dans l ' intérêt d ' Israël (XXXIII . 2 — 5). Déb or a du LA B raiso nne de

la même façon lorsqu'on la prie d'intervenir à cause des péchés du peuple(XXXIII . 5) .73

Le rôle d'intermédiaire entre la sphère des hommes et celle du dieu estrempli par les anges qui tous figurent chaque fois comme personnificateursde la volonté divine. C'est ce que semble suggérer le fait que, d'après la con-ception du LAB les anges n'interviendront pas dans l 'intérêt du peuple dans lecas où celui-ci commetra des péchés (XV. 5). Les anges du Ps.-Philon s'avèrentdonc différents de ceux de l'Ancien Testament. Au lieu d'être des envoyés,des messagers ils sont comme les expressions autonomes des notions abstraites.

Leur figure ne remonte pas à une tradition antérieure, ni à l'influence perse,mais elle annonce une évolution intérieure. Au niveau de l'histoire des reli-

, 0 Jusqu'au jugement qui aura lieu dans le nouvel éon le Shéol servira de lieu deséj our tra nsi to ire po ur les âme s, et ceci dès l'apo calyp se syr iaq ue de Barueh, 30 : 2 ; dela même façon Henoch 51 : 1 et suiv.

, l L a rés urr ect ion des jus te s est à par t men tio nné e en 2 M 7 : 9 ; 14 : 23 ; 12 : 43etc. , Hen oc h 91 : 10 ; 92 : 3 ; 100: 5. Solon Baru ch 1 1 : 4 los ju st es d on ne nt en pai x.D'après Test. Benjamin 10 les justes seront séparés des méchants lors do la résurrection.

72 De la même façon Baruch 34 : 4 et 4 e. Esd ras 7 : 67 ; da ns la concept ion pha ri-séenne dans le Shéol aussi il y a peine et récompense (Josephe Flavius, Ant. 18: I, 3).

73 D' ap rè s Jo b 2 4: 20 et Ps. 88 : 13 le Shéol serait le lieu de l'oubl i. Selon Qo h.

9 : 10, Ps. 49 : 16 il n'y a ici qu' exi ste nce sans t emp s ni pensée. Pas môme d' in te rv en ti on ,selon Baruch 85 : 9.


8/15/2019 ACTAANTIQUA_28 (1980)


3 8 0 I . FRÖHLICH

gions l 'époque est sans cela marquée d'une sorte d'autonomie des notions reli-gieuses — telle la shek ina, «présence divine» do nt l' au to no mi e se tr ad ui t aussipar le changement du caractère du culte.74 L'angélologie du LAB est le fruitd'une évolution pareille. L'ange y est chaque fois la force surnaturelle personni-

fiée s'incarnant dans une forme qui convient à sa fonction. La force divineincarnée est exprimée par le nom de l'ange : l'ange qui figure dans l'histoire deDa v id s'app elle Zervihel . L e nom r appe lle la fonct ion : il dér ive du nom héb-reu J?i1T qui veu t dire en tr e autre s «force, bravou re». La déno min ati on est

just i fiée par l 'explication insérée dans le t ex te latin aussi, explication qu i, dansl'origine hébraïque doit avoir eu une valeur étymologique : «Zervihel angelumprepositum super virtutem». La figure de l 'ange de l 'histoire de Samson qui,chez le Pseudo-Philon s'appelle Fadahel (XLII. 10) marque déjà une nouvelleétape de la personnification sans pour autant dépasser l 'incarnation de la force

div ine . L'é tymo log ie du no m dérive du ver be héb reu «sauver, délibérer»et le nom de l 'ange rappelle tout probablement les actes futurs de Samson quinaîtra. C'est que la naissance de Samson est prédite justement par cet ange.Plutôt que messager il est cette fois encore personnificateur de la force divinebien que sa figure ait été certainement influencée par l'ange de l'histoire deSams on dans l 'Anc ient Te st am en t (Jg 13); toutef ois la pa rt ie finale ne laissepoint à conclure sur la personne autonome de l 'ange. D'après les paroles deManoah : «Morte moriemur quia vidimus dominum facie ad faciem» (XVII. 9)et c'est ce qu'indique aussi le nom de l'angle qui est une dénomination fonc-tionnelle aussi bien que celui de l'autre ange.

Parmi les anges qui sont nommés dans le texte du LAB citons Gethel(Ingethel), ange des choses cachées (XXVII. 10) et Nathaniel, ange du feu(XXXVIII. 3). Ce dernier figure dans l 'histoire de Yaïr et les sept dévots, his-toire qui est l 'analogue de celle d'Abraham (XXXVIII.). Dans l 'histoire deYaïr c'est aussi un ange qui délivre les hommes jetés dans la fournaise. L'angea ici le même rôle que, dans l'histoire d'Abraham le tremblement de terre quidétruit les impies (VI. 17). Un collationnement des deux textes rend tout évi-de n t q ue les expres sions «ange» et «tr emb lem ent de terre» son t à i nte rpr éte rcomme notions exprimant le secours divin (C'est cette même analogie dont seser t à l 'en droit parallèle la chronique de Yerah meel où l 'a nge s'appell e Na th a-nael) . L'hist oir e de Ya ïr rap pel le l'ange d e pa r sa fon cti on : «. . .angél us quipreest igni» (XXXVIII. 3).

Quelquefois la dénomination de l 'ange désigne seulement la fonction dela force divine en question (c'est ce qu'a conservé du moins la version latine) :«Premittam angelum ire mee in ipsos» — promet Yahvé à Josué (XV. 5).De môme, l 'ange figure comme l'élément intermédiaire de la volonté divine

74

H. R i n g g r e n : Is raelitisc he Religion. Die Religionen der Menschheit. St ut tg art1963. 283.


8/15/2019 ACTAANTIQUA_28 (1980)



dans le passage du texte où c'est lui qui répond directement à la question dupeupl e posée à Ja hv e: «Et dix it eis angélus Do min i : Preponite» (X XV . 2).

La fonction des anges rappelée plus haut se manifeste encore dans le faitque dans le texte du Ps.-Philon dans la déscription du môme événement figu-rent la plupart du temps plusieurs anges à la fois, leur nombre correspondantaux éléments constitutifs de l'événement. Le plus bel exemple en est fournipar l'histoire de Kenaz où dans le récit sur les prodiges présentés à Kenaz appa-rais sent trois anges : «Et post liée ven it angélus et com buss it eos (i.e. libros ).Alius autem angélus accipit lapides preciosos. Et alius angélus iens attulitduode cim l api des. . .» (X XV I. 8). Da ns l'histoire de Samu el il y a éga lem entdeux anges (LXIV. 6).

Le secours angélique est la réalisation périodique du secours divin per-manent accordé au peuple élu. Sans être tout aussi direct le motif des pierres

a juste le même sens dans l'œuvre — parfois il se rattache même à celui dusecours angélique. Dans l'histoire de Kenaz les douze pierres précieuses, desortes différentes signifient, avec les noms de tribus gravés sur elles l'assurancedu secours divin permettant l'occupation de la terre de Canaan (XXVI. 10—11).Les sept pierres figurant dans l'histoire de David symbolisent égalementl'ass istanc e divine; av an t d' en tr er en lut te avec Gol iat h Dav id grave sur lespierres ramassées pour sa fronde les noms de Abraham, Isaac, Jacob Moïse,ensuite son propre nom et celui de dieu, de l'autre partie de l'alliance (LX1. 5).Le motif en question indique donc chaque fois un recours à une puissance, en

fonction du nom gravé sur les pierres (c'est ce sens qu'il prend dans l'histoire deBabel analysée ci-dessus, en dé sig nan t la révolte des hom mes. Les pier res etles noms gravés sur elles sont rattachés, dans l'histoire de Kenaz et de David aumotif des anges. Dans la première l'ange apporte les pierres du ciel, dans ladernière il donne assistance à David dans sa lutte.

Dans la conception de l'auteur du LAB les planètes sont également deséléments médiateurs, porteurs de la volonté divine. C'est grâce à une interven-tion divine que les tribus d'Israël sortent victorieux du combat contre Sisera.D' ap rè s l'Ancien Te st am en t «Yahvé mit le tro ubl e en Sisera» (Jg 4 : 15) —

chez le Ps.-Philon un succinct discours adressé au peuple est suivi de la préfi-guration de l'assistance divine, et ceci sous la forme d'une action cosmique,décrite par l'auteur dans le cadre de la vision de Débora. Dans les paroles de laprophétesse préfigurant le combat les participants sont représentés par des«êtres» cosmiques, des pl an èt es : « . . . video ast ra co nt ur ba ri in dispo sition esua et para ri in pu gn am vob iscu m. . .» (X XX I. I).75

Bien que la fonction des anges et des autres éléments médiateurs de l'as-sistance divine soit pareille au système d'hypostases de Philon et de la Gnose,les figures médiatrices du LAB ne seront quand môme pas considérées comme

75 Cf. Henoch 14 : 8. Sur la simi litu de et sur l'influe nce pr ob ab le du Livre de He no chà ce passage du LAB v. M. R. Jamks 1917. 43 — 44.


8/15/2019 ACTAANTIQUA_28 (1980)


3 8 2 I . FRÖHLICH

ré su lt an t d'u n effet pareil. La vision du m ond e du LAB reste, jus qu' au boutde formulation «mythologique», sans s'élever en un système philosophiquecomme qui est le cas chez Philon. C'est ce que prouve aussi ce fait que parmiles médiateurs il y a plusieurs sortes d'éléments qui, à l'intérieur du système

peuvent se remplacer l'un l'autre avec la même valeur (ange, pierres, phéno-mènes cosmiques).

D'autre part des notions telles que la sagesse médiatrice (cf. la Sophia dePhilon) tiennent leur place, en tant qu'inventions autonomes dans l 'exégèse rab-binique également, et parfois même dans une conception assez rapprochée decelle de Philon.76

Les anges du LAB établissent un rapport permanent entre sphère divineet sphère humaine, rapport qu'exigent la conception de dieu et celle de l'allianceplus abstraites, plus spirituelles du LAB, et ceci conformément à la nouvelle

image de dieu et dans une conception qui pour différente qu'elle soit de celledes livres bibliques antérieurs en est quand même la suite.

les puissances opposées à la sphère divine: idoles e t démons

Les représentations de l'idolâtrie sont dans le LAB les symboles des reli-gions étrangères, opposées à la religion de Yahvé. La description des idoles deMika rappelle les statues d'un sanctuaire de Mithras (XLIV. 5). 77 Un autrepassage comporte la description des cultes cananéens — formes différentes del'idolâtrie pratiquée par les tribus (XXV. 9 — 13). Les péc hés d es tr ibus sont

d' or dr e moral : v éné rat ion des dieux étra nge rs, railleries de la provid encedivine. Cependant, à propos des idoles de la tribu d'Issachar le texte ajoutece qui suit : «Nos vol uim us inte rrog are per demones idolor um si manif esteannunciarent» (XXV. 9). Le passage est conforme à l'esprit de l'histoire deMika ou les idoles servaient également les buts de la divination (Mika a en effetinstallé un oracle, comme ceci devient clair du texte) et ont un pouvoir parti-cul ier : «faciès tibi idola , et er un t tibi in de os et tu eris eis sacerdos» (XL IV. 2).Auprès de la divination faite avec le concours des puissances s'opposant àY a h v é le LA B cite encor e les sorcelleries d' Ao d (X XX IV . 1 — 5). Sous l' eff etde la magie d'A od le soleil brille pe nd an t la nu it ; Aod tie nt sa force magi queà de s anges échus : « . . . et fecit magicis sui precipiens angelis, qui pre era ntmaleficiis, quoniam multo tempore immolabat eis» (XXXIV. 2). Plus tard let e xt e expliq ue que ces ang es sont exe mp ts de pouvoir : «Et qui a transgressisunt, factum est ut angeli in potestate non essent.. . » — E t e ns ui te : «Et in his

70 D'après Prov. 3 : 17 le symbole de la sagosso intermédiaire serait l'arbre de vie,d'après Philon Leg. all. I. 64 — 65, le ja rd in de l' Éd en . Selon Sap . Sa l. 7 : 15 la s agesseé m an e d e Yahv é. D' ap rè s Hé no ch 1 : 42 elle ha bi te da ns le ciel, avec les anges. P . M.G r a n t : Les êtres inte rmé diai res dans le ju daï sm e tardif. Stud i in ono re di AlbertoPincherle. I. Pome 1967. 246 trouve qu'il ne s'y agit pas d'interprétation gnostique,mais bien de l'évolution de la méthode de l'exégèse rabbinique qui, elle eut des résultats

semblables." M . R. Ja me s 1917. 39.


8/15/2019 ACTAANTIQUA_28 (1980)



operantur qui ministrant hominibus in maleficiis, usque quo veniat immen-surabile seculum» (XXXIV. 3).

Des passages cités ci-dessus se dégage une conception suivant laquelleil existe des puissances s'opposant à la puissance divine, en la personne desanges échus dont le pouvoir limité n'est valable qu'«à cette époque-là» du monde,

jusqu'à l'arrivée du nouvel éon. 78 Les forces s'opposant à Yahvé aspirent às'emparer du savoir possédé par la sphère divine (c'est à dire la connaissancede l'avenir).

Le caractère fragmentaire des informations rend difficile de préciser ladémonologie du LAB c'est à dire le caractère des puissances extérieures à lasphère divine. De ce point de vue l'œuvre n'est pas dominée d'une conceptionunique, elle a recours aux éléments d'une tradition attestée ailleurs aussi pourles insérer dans son propre système.

Un aspect de la démonologie du LAB apparaît dans la conception domi-na nt la premièr e — ma je ur e — pa rt ie de l'œuvr e, concepti on qui n'est pa sd'origine gnostique. Dans la conception de l'auteur du LAB les forces opposéesà la sphère divine et apparaissant sous la figure d'anges déchus ne sont paségales au divin, elles n'exercent leur pouvoir que dans la mesure permise parcelui-ci, elles sont, somme toute, à sa disposition, et servent à exécuter les puni-tions. La conception du L AB repr ésen te ici la tradi tion se ren co ntr ant da nsGn 6 : 1 — 14 (sur la chu te des anges) ou plu tô t une for me plu s développ ée decelle-là.79

Auprès de l'opposition cependant la subordination à la puissance divinese trouve également mise en relief par le texte : «Et dixit Dominus ad ante-ciminum : Vides qu em ad mo du m co nt ur ba tu s popul us insipiens in te rra . . .»(XLV. 6). Ensuite Yahvé décide de punir des hommes de leurs péchés, c'està dire de l'idolâtrie de Mika et de la participation du peuple à celle-ci. Le termeanteciminus employ é à cet endroit du tex te (transcription du grec âvTixei/uevoç)signifie «adversaire, qui s'oppose» et par son sens est à rapprocher de la notionMastema figurant dans le Livre des Jubilés. «L'adversaire» n'est, dans aucundes deux cas le principe du mal pris dans le sens du dualisme gnostique, mais

bien celui qui s'oppose à l'homme, qui est por teu r de la ten tat ion — to ut comm epar exemple la figure du Satan dans le Livre de Job où c'est de par sa positionsubordonnée au dieu et avec la permission de celui-ci qu'il tente Job, ou biencomme dans le Livre des Jubilés ou Mastema est le chef des esprits s'opposantau dieu et protecteur de l'idolâtrie. C'est lui qui demande au dieu le sacrificed'Abraham, c'est lui qui attaque Moïse — alors qu'il est lui-môme une forcesubordonnée au divin.80

78 Cf. 2 Cor. 4 : 4 où la tête des anges inalins n'est le dieu que «do cette époque-là».79

Do la mê me façon lo Hén och g rec 6 : 11 ; Henoch ét hiopi que 19 ; Tes t. Ju d a 6 ;Jub. 5: 1 — 14 ; 10 : 1, 5.80 Jo b 1 : 6 - 1 2 ; Ju b. 17: 16.


8/15/2019 ACTAANTIQUA_28 (1980)


384 I. FRÖHLICH

Dans les autres écrits pseudépigraphiques et à certains endroits du Nou-veau Testament on rencontre de nouvelles variantes de la ligure de l '«adver-saire».81 Mais le dualisme qui s'exprime dans ces passages n'est jamais de con-ception gnostique, d'existence a priori. Aucun des textes en question n'affirmeque le mal serait lui-même principe créateur, son origine s'y explique — làoù il en est question — par la chute des anges.

Les éléments littéraires de la dernière partie du LAB concernant la per-sonne de Saùl sont cependant remarquables du point de vue du dualisme del'œuvre. Saiil dont le rôle se réduit à préparer, en tant que Messie ben Ephraimle règne de David se trouve obséqué par l'esprit malin. L'esprit sera exorcé parDavid. Le second psaume chanté par David (LX. 2 — 3) es t au fo nd un e for -mule d'exorcisation, par le moyen de laquelle il chasse le démon qui possèdeSaùl. C'est que, après la révélation de l'élection de David Saùl est abandonné

par la force divine : «Et in illo tempore ablatus est spiritus sanctus a Saule.. .»(LX. 1), et suit le second psaume de David.

Les deux psaumes de David constituent une unité organique avec letexte du LAB, et il n'est par probable qu'ils y aient été postérieurementinsérés. Le second qui, par sa conception paraît peut-être plus étranger sertà souligner, les différences qui séparent les deux Messies et à en expliquer lesidées fondamentales. C'est en effet ce texte qui nous fait comprendre la con-ception messianistique du LAB, ce point culminant du texte conservé.

Le psaume de David redit l'histoire de la création, non à la manière de la

Genèse, mais dans une conception dualiste. L'opposition des expressions«spiritus sanctus» et «spiritus pessimus» à propos de la personne de Saùl sug-gère déjà, il est vrai, la conception dualiste du Pseudo-Philon, pourtant le sensdes expressions ne nous est éclairci que par le psaume en question. Dans lerécit de conception gnostique de l'histoire de la création le «spiritus pessimus»de Saùl figure après l'achèvement du premier acte de la création, c'est à direp ar mi les choses sec ond air eme nt créées : «Et pos t hec fa ct a est tribu s spiri-tuum vestrorum» (LX. 2). Le texte insiste sur le caractère secondaire du «spi-ritus pessimus» : «de resultatione in chaomato nata est vestra creatura» (LX.

3). Le «spiritus pessimus» ayant un pouvoir secondaire est donc obligé à lesoumettre à la puissance d'origine divine de David.

A cet endroit du LAB l'opposition de David et de Saùl reflète pour ainsidire celle de deux puissances cosmiques. D'après M. Philolenko le psaume enquestion serait-il une incantation d'origine essénienne 82 employée par l 'auteurdu LAB d'une façon indirecte et conforme à ses idées messianistiques.

81 «L'ad versai re» est sou ven t rap pe lé da ns le livre des Ju bi lé s (p. ex. 17 : 16) ;To st . Da n. 3 : 5, 6 ; Te st . Ga d 4 : â aaravâç Tes t. Nap hta li 3 ; T est. Aser 4 : о ötdßoXogTest. Ruben 2 : 4, 6 etc. : В е Ы д 1 Cor 10 : 10.

82 L'analyse du psau me v. M. P h i l o l e n k o : Semitica 9 (1959) 35 — 48.


8/15/2019 ACTAANTIQUA_28 (1980)



3. Les origines de l'а д gada

1. LE LIVRE DE DANIEL ET DEUX ÉPISODES DU PSEUDO-PHILON

Les récits indiqués dans le titre et qui vont être analysés dans ce qui suit

con sti tue nt — avec les supp léme nts explicatifs — la mati ère aggadique du LAB.Les épisodes ont ceci de commun que chacun d'eux sert de parallèle non ex-pliqué mais suggéré, pour d'autres épisodes bibliques, apocryphes ou antiques,et notamment grâce à la base spirituelle commune des récits.

Dans le 3e chapitr e du Livre de Daniel on lit l'histoire de Nabu chodo noso ret des trois Juifs dévots, Shadrak, Meshak et Abed Nego. La suite des événe-me nt s y est la suivant e :

1. Nabuchodonosor fait exécuter une statue d'or de dieu, et appelle lepeuple à la vénérer, tout en menaçant ceux qui s'y opposent de les jeter dans

une fournaise ardente (3: 1 — 6).2. Malgré la menace répétée trois fois, les trois jeunes gens refusent l'ido-

lâtrie en se référant à l'assistance du dieu des Juifs (exposition du but paréné-ti que, 3 : 7, 18).

3. Les trois jeunes gens seront jetés dans la fournaise ardente, mais aulieu de mourir ceux qui les y avaient jetés doivent périr : le feu de la fournaiseles tue (3: 19 -2 2) .

4. Les trois dévots, accompagnés d'un ange sortent de la fournaise sainset saufs (3 : 22—27).

Le but parénétique du Livre de Daniel est rendu évident non seulementpar l'argumentation des trois Juifs, qui parlent de la réussite probable de leurrésistance, mais aussi par le contexte tout entier. L'histoire fait au fond partied'une série de récits parénétiques. Le premier élément en serait le songe deNabu chod onos or expliqué pa r Dav id (sur les quat re empire s du monde, Dn 2);le passage suivant raconte la persuasion de Nabuchodonosor par un miracle. Lerécit qui est à son tour suivi par un nouveau songe de Nabuchodonosor et laprophétie de Daniel. Originairement ces récits étaient sans former une unitécohérente, ce qui les unit ce sont le but parénétique et la scène commune, soit

la figure de Nabuchodonosor.83

Or, le Pseudo-Philon a recours au schéma du récit exposé ci-dessus duLivre de Daniel, et même deux fois : d'abord en racontant la construction de latour de Babel, deuxièmement dans l'histoire de Yaïr et des sept dévots (VI.1 — 8 soi t XXXVIII . 1 — 4). Le schéma de l'histoire d' Ab ra ha m est le su iva nt :

1. L'idolâtrie se répend parmi les gens. Le péché le plus grave et qui metle comble aux sacrilèges c'est la construction de la tour de Babel (IV. 16, VI. 1).

83 O. E i s s f e l d t 1964. 716. Au x épisodes du Livre de Daniel v. A. B e n t z e n :Dan iel 6. Ei n Versuch zur Vorgesch ichte der Märtyr erleg ende. Bert hol et- Fes tsc hri ft 1950.58 — 64 ; J. B. A l e x a n d e r : New Light on the Fiery Furna ce. Theology 58 (1955)340 — 345.


8/15/2019 ACTAANTIQUA_28 (1980)


3 8 6 I . FRÖHLICH

2. Abraham et ses 14 compagnons se refusent à cuire les pierres signaléesde leurs noms (notons la préfiguration du motif du feu; VI. 13).

3. Abra ham e t les au tr es exposent pa r- de va nt les chefs du peuple le motifde leu r résistance : «U nu m Deum novi mus et ips um adora vimu s» (Le carac-

tère composé de l 'histoire d'Abraham du LAB et la multiplicité des sourcessont à voir nettement de ce que l 'argumentation d'Abraham et les autres an-nonce cette fois le contraste de polythéisme et de monothéisme alors que laconstruction de la tour symbolise, d'après le sens originaire de l'histoire laré vo lt e contre le de st in d ivi n — VI. 4).

4. Les chefs décident de punir Abraham et les autres puisque ceux-ciavaient révolté contre leur ordre. Ils veulent les faire brûler eux-mêmes avecles pierres offertes par les constructeurs de la tour (le motif des pierres étantici le symbole, d'après le système de symboles de l'œuvre entière aussi, de

l' id ol âtr ie - VI. 5).5. App ariti on d' u n aux ili ate ur en la pe rso nne dn chef de s fils de Sem; il

demande d'accorder sept jours de délai aux coupables en attenant qu'ils aban-donnent leur projet — son intention effective consistant à sauver Abraham etles autres (VI. 6).

6. Les compagnons d'Abraham acceptent le projet de l 'auxiliateur ets'enfuient dans les montagnes. Abraham — qui est le seul à avoir confiance enla justesse du jugement divin — reste, tout en prêtant aide à ses compagnonsréfugiés (VI. 7-14).

7. Abraham dans la fournaise ardente et sa délivrance. Le feu jaillissantbrûle ceux qui l 'entourent. La délivrance des compagnons d'Abraham (VI.5 - 1 8 ) . •

Voyons la marche de l'histoire de Yaïr et des sept dévots :1. Yaïr établit un autel à Baal et menace de mort ceux qui se refusent à

lui off rir un sacrifice ( XX XV I II . 1).2. Sept hommes du peuple s'y opposent et se référant à la loi refusent le

sacrif ice à Baal (X XX VI II . 1 - 2 ) .3. Suivant l'ordre de Yaïr on les jette au feu mais, voilà un ange («angé-

lus qu i preest igni») l' ét ie nt et, le feu brûl e ens uit e les ser vit eur s de Ya ïr — apr èsêtre averti il tue Yaïr qui s'approche du feu — et le feu finit par détruire lastatue de Baal et ceux qui lui offrent un sacrifice (XXXVIII. 2—3).

Entre les deux histoires racontées par le Ps.-Philon c'est celle de Yaïrqui, par ses motifs constituants est plus rapprochée du récit du Livre de Daniel.Voyons la série des motifs qui constituent la structure commune des deux his-toi res : — appe l à l'i do lâ tr ie (opposition d u dieu local et du dieu étrange r) etpersp ecti ves d' un e san cti on immédi ate; — les opp osa nts se réfèren t à leurdie u (référence à la loi); — pun itio n — ap pa ri ti on de l'as sist anc e divin e —

la destruction des persécuteurs par le feu.


8/15/2019 ACTAANTIQUA_28 (1980)



L'histoire de Yaïr représente une variante plus simple de cette série demotifs. La répétition triple connue du Livre de Daniel, est absente des passagesracontant l 'appel à l 'idolâtrie et la menace de supplice. Le discours parénétiquede ceux qui refusent l 'idolâtrie, discours qui figure cependant dans le Livre de

Daniel est également absent dans ce récit — dans l 'histoire de Yaïr l 'efficacitéde la providence divine est justifiée par l 'histoire elles-même.

L'histoire d'Abraham comporte plusieurs passages supplémentaires, sansreprésenter en elle-même aucune vision unitaire. Le récit de Babel, servant debase pour celle-ci permet lui-même beaucoup moins d'établir l'analogie avec lepassage cité du Livre de Daniel que l 'autre passage du Ps.-Philon. Ici l 'histoireplacée à l'époque des juges suggère elle-même la comparaison du polythéismechananéen, une sorte d'idolâtrie, avec le monothéisme des Juifs.

Cependant l 'histoire de Babel reste sans former une unité voire même

avec son propre contexte. L'histoire, elle, raconte la révolte contre le destindivin — révolte inévitable qui s'exprime dans la construction de la tour — lesantécédents, les péchés antérieurs des mortels étant effectivement considéréscomme idolâtrie : «Tune cep eru nt hi qui in ha bi ta nt ter ram , inspicere inastris, et inchoaverunt imaginari, et ex his divinationes facere, et filios et filiassuas traicere per ignem (IV. 16).

Le motif de la peine infligée à ceux qui se refusèrent à l'ordre est égale-ment absent de l 'histoire de Babel du LAB. Même le commencement de l 'his-toire — description des péchés de l'humanité et de la révolte des dévots — est

différent de celui de l'autre récit du Livre de Daniel. Chez le Pseudo-Philonce passage est plus rapproché — du moins par ses motifs — de l'histoire bib-lique de Babel. Le «changement» survient dans la partie décrivant le refus deTordre par Abraham : dans les paroles de celui-ci le péché des constructeursde la tour apparaît comme s'il s'agissait d'idolâtres. (VI. 4). Toujours lesmê me s parol es suggè rent au ssi la mode du supplice : «et si nos mi tt at is inignem cum lapidibus vestris, non consentiemus vobis» (VI. 4). Ce n'est qu'aprèscela que les chefs des peuples déclarent la mode du supplice d'Abraham et sescompagnons : «Et irati duces dixerunt : Sicut locuti sunt, sic eis facite. Et erit

nisi consenserint vobiscum mittere lapides, consumetis eos igni cum lapidibusvestris» (VI. 5).

Les motifs que le Ps.-Philon fait succéder à ce passage (le rôle d'auxilia-teurs des chefs des fils de Sem, l 'hésitation des compagnons d'Abraham et leurfuite) sont rendus nécessaires par la conception d'alliance de l 'œuvre, puisquel'alliance d'Abraham et de Yahvé est comme la base de celle des douze tribus,ce qui explique que l 'histoire d'Abraham est aussi le point de départ du symbo-lisme des nombres relatif aux tribus et qui reste dominant dans les passagessuivants.

L'histoire de Babel semble encore différer des autres dans la troisièmeétape de la série de motifs aussi. Si Abraham est délivré de la fournaise ardente


8/15/2019 ACTAANTIQUA_28 (1980)


388 I . FRÖHLICH

par aide divine, la figure de l 'ange n'y est pourtant pas présente. Fait quitr ou ve son explication encore un e fois da ns la conception d'a llia nce de l 'œu vre.Étant donné que dans la manière de penser du Ps.-Philon l 'ange apparaîtpartout comme personnificateur de la puissance divine, tout en indiquant, par

son apparition le caractère immédiat de l 'aide divine, l 'apparition de l 'angeavant la naissance de Moïse ne pourrait correspondre à la gradualité temporellede la conception de l'alliance. Une formule moins personnelle qu'est le motifdu tremblement de terre exprime beaucoup mieux la signification de l 'allianced'Abraham à l ' intérieur de la structure de l 'œuvre.

Les motifs de l'idolâtrie et de la mise au feu (dans le passage décrivantles antécédents, IV. 16, les deux sont rattachés l 'un à l 'autre) sont à retrouveren d'autre endroits de l'œuvre. Dans le passage cité l'idolâtrie et la mise au feufigurent ensemble — c'est à dire non en supplice — et rappellent tout probable-

ment le sacrifice d'enfants des cultes cananéens. Dans la tradition juive —pr ob ab le men t en con for mit é avec] la men tal ité du talio — le supplice qu'en-tr aî ne l 'idolâ trie c'e st — à ce qu 'on le voit d' u n passage par ei l à celui cité plu shaut — le supplice du feu. (L'histoire de Babel doit représenter chez le Ps.-Philon une étape de cette suite d'idées : ici, c'est en plein cours des événementsque le supplice du feu frappe soudainement Abraham, en tant que renverse-ment des péchés de l 'humanité.)

Mika, le fils de Samson et de Délila expie l'idolâtrie également par le sup-plice du feu. Le Ps.-Philon décrit l'idolâtrie de Mika avec une minutiosité qui

év oq ue celle des mi dr as h : «Et fecit sibi effig ies très pu er or um et v itu lor umtrès, et leones atque aquilam, et draconem et columbam» (XLIV. 5). L'AncienTestament rappelle également l 'idolâtrie de Mika (dans certains passage duLivre des Juges) sans nous informer sur son destin ultérieur. Le Ps.-Philonconnaît lui aussi, le genre de mort qui attend Mika, et l 'avertissement, la pré-di ct io n de la pun iti on n 'e st pas non plu s ab sen te du LA B : «Micham a ut emtradam igni» (XLIV. 9), ensuite : «In illo tempore reddidit Dominus Miche etmatri eius omnia que locutus est. Et erat Micha dissolutus igne, et mater eiusmarcescens, sicut locutus fuerit Dominus de eis» (XLVII. 12). Ce qui revient àdire que la déscription des circonstances de la mort de Mika dans l'œuvred u Ps.-Phi lon est loin d' êt re le pro dui t de la fantais ie; ce dét ail est bien pl utô tla preuve d'un symbolique systématique et conséquant du LAB et il est enmême temps un exemple illustrant la naissance d'une tradition de motifs.

La combinaison de la personne d'Abraham avec la fournaise ardente estassez courante dans la tradition aggadique.84 D'a prè s G. Vermes ce tte tradi tionremonterait à l 'œuvre du Ps.-Philon, celle-ci étant la plus ancienne parmi lessources comportant le motif en question.85

84 Pou r les légendes d' Ab ra ha m v. L. G i n z b e r g : The Legend s of tho Jews. Phila-

delphia 1938. I. 202, V. 215.85 G. Vermes 1961. 88.

Acta Antiqua Academiae Scientiarum Hunqaricae 2i, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



Cependant l 'autre ligne de tradition, c'est-à-dire le motif de la punitionde l'idolâtrie par supplice du feu n'est pas elle non plus sans exemples dans lalittérature aggadique. La tradition veut que le père d'Abraham ait brûlé toutesses idoles; son fr ère H ar an e ss aya nt de les sauv er fu it lui aussi la proie des

flammes. 8 6

Le supplice du feu est attesté encore chez Hieronymus, mais cette foiscombiné avec un motif contraire : Haran est brûlé pour s'être refusé à adorerle feu lequel les Chaldéens vénèrent en dieu. Cette histoire représente donc unmélange spécial des deux types.87

Pour le péché et le supplice de Haran les midrash conservent de diffé-rentes traditions — nous nous sommes cette fois contentés de ne citer que cellesqui offrent aucun parallèle avec les histoires exposées.

Sans bien sûr permettre de suivre la voie de la tradition les deux exemples

médiévaux que nous allons citer témoignent par les motifs qu'ils comportent,d'une sorte de parenté avec les exemples déjà cités. D'après le premier un gar-çon juif fait apprendre à son père son intention de se faire chrétien. Le pèredans sa fureur jette son fils dans la fournaise mais celui-ci en sera délivré grâceà Marie.88 D'après l 'autre légende un dévot reçoit chez lui un homme pauvredont la figure cèle en effet le diable. Le méchant saisit le fils du dévot et le je t te dans une fournaise ardente, mais, voilà deux anges qui, en la figure depèlerins en délivrent l 'enfant. 8 9 L a possibilité du con fli t découle ici d' un e con-ception dualiste. Seule l'apparition des anges rappelle de quelque façon l'his-

toire primitive.

2. LE LIVRE DE JUDITH ET PS.-PHILON

Par son genre littéraire, le Livre de Judith est un récit parénétique, genrelittéraire très à la mode de son époque. Malgré son sujet apparemment histori-que l 'événement qu'il traite ne l 'est pas.90 Il ne veut pas faire de l'historio-graphie — son caractère appa re mme nt historique ne ser van t qu'à augm ent erl'authenticité de l 'écrit, mais il veut donner le bon exemple, un enseignementmoral. Un événement — cette fois fictif — du passé national est exposé pour

prouver que le dieu prête son aide à son peuple élu, le sauve de sa situationdifficile. Le caractère propagateur du livre est dû entre autres aux circon-stances de sa genèse, c'est à dire à l'époque de la révolte des Macchabées.*1

88 Ha ra n subit le supplice du feu pou r avoir sauvé les ido les : Ju b. 12: 1— 12;Ephraem le Syrien I. 166 D-167 A (d'après le Jub.).

87 Hi er on ym us : Quae stion es 11 : 28.88 F. C. T u b a c h : Ind ex exe mplo rum. A Han dbo ok of Medieval Religious Tales.

FF Communications 204. Helsinki 1969. 204.88 F. C. Tubach 1969. H. 662.90 E. S c h ü r e r 1890. II . 601.91 о . E i s s f e l d t 1964. 796.

Acta Antiqua Academiae SeierUiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


3 9 0 I. FRÖHLICH

La mise en parallèle de l'histoire de Yaël et celle de Judith, soit l'inser-tion de certains motifs de l'histoire de Judith dans celle de Yaël sont, chez lePs.-Philon, tout évidentes. Il paraît certain que le Livre de Judith fût inspiré

j u s t e m e n t par l 'his toire biblique de Yaël (Jg 4 : 17 — 23, 5 : 24—29) . La mise

en œuvre du récit par le Ps.-Philon continue, pour ce qui est de l'histoire dumotif, justement cette tendance. Chez lui, c'est l 'histoire de Judith qui se trouvereplacée dans son contexte primitif. La comparaison des textes fait voir maintstr ai ts spéciaux et conform es à la conce ptio n de chacun des de ux aut eurs :92

D'après le récit biblique la marche de l'histoire est comme ceci :

1. Ba ra q se m e t à la po ur su it e de Sise ra ; celui-ci le fui t t o u t seul, à p ied ,son a rmé e entière s' ét a nt fai te tu er (3 : 15—16).

2. Rec ont re ave c Yaël , pa r- de va nt la ten te de celle-ci (4 : 17).

3. Yaël off re son aid e à Sisera et le cac he (4 : 18) — Sis era de ma nd e del'eau de la femme — Yaël lui donne du lait à boire. A la demande de SiseraYa ë l se tie nt à l' en tr ée de la te nt e (4 : 19 — 20).

4. Yaël tu e Sisera end ormi (4 : 21).5. Yaël mo nt re à Ba ra q l'e nne mi vai ncu (4: 22).

L' au tr e récit sur Yaë l et Sisera da ns le Livre des Ju ge s (5: 24 — 28)raconte les éléments de l'histoire citées sous le 3 e point de l'analyse, avec plusde détails que le passage précédent, dans le cadre du chant de triomphe de

Dé ho ra et de Ba ra q. Les passages cités sont des épisodes qui, ap pa re mme ntinterrompent la suite des événements pour les enrichir de nuances, par leurcontenu cependant l 'accueil apparent de Yaël et la tournure inattendue quile suit, c'est à dire la mort de Sisera marquent le point culminant de l'histoire.5 : 24—28 du Li vr e des Ju ge s souligne aussi ju st eme nt ces de ux épisodes :«il demanda de l'eau, elle a donné du lait», ainsi que la mort de Sisera subiesans résistance aucune, d'une façon impuissante.

Ce sont justement les passages cités du Livre des Juges qui devaient ser-vir de base à la conception du Livre de Judith. La marche des événements estdans ce dernier, la suivante :

1. Présentation de la situation difficile de Béthulie au cours du siège, dif-férends entre Ozias et le peuple (les différends résultant des conceptions dif-fé re nt es de la con fid enc e en la pro vid enc e divin e — 7 : 16).

2. Judith, jeune veuve, vénérée par tous pour son dévotisme et sa pureté,p a r la ville entière ex po se son pr oj et ; elle se rend d ans le c a mp de l'en nemi ,— pr ep ar at iv es : la pri ère de J u d it h et le cha nge men t de ses ha bit s à quo ivi e nt s'a jou ter une b ea ut é ext rao rdi nai re, d'orig ine divin e ( !) (9 : 1 : 15).

92

Sur le typ e ident iqu e des deux épisodes v. E. J. B u r n s : Ju di th or Jae l ? CBQ1 6 ( 1 9 6 4 ) 1 2 - 1 4 ; E . J . B u r n s : Th e Ge n e a l o g y o f J u d i t h . CBQ 1 8 ( 1 9 56 ) 1 9 - 2 2 .


8/15/2019 ACTAANTIQUA_28 (1980)



3. A force de manœuvres Judith réussit à parvenir dans le camp del'enn emi (10: 6—16).

4. Rencontre avec Holopherne qui, lui est ébloui par la beauté et la sa-gesse de Jud it h : «Non est talis mulier super te rr am in aspec tu et p ulchri-

tud ine , et in sensu verborum (Vulg. 11 : 19). (Cette scène n'e st pas sans é voqu erla rencon tre d' Es th er avec Assuérus, Est . 5 : 2). — J ud it h refuse Holo phe rnequi l'invite à un festin (12 : 2). — Judith «. . .exibat noctibus in vallem Behu-liae, et baptizebat se in fonte aquae» — conservation et renforcement de laforce de l'as si sta nce divine (12 : 7).

5. La deuxième invitation de la part de Holopherne, cette fois acceptée— après avoir prononcé une courte prière Judith, à l'aide de sa servante tuel'ivre Holopherne (la déscription rappelle vivement la mort de Sisera).

6. Ju d it h ren tr e d an s la ville assiégée — l' ar mé e assiégeante, à la vu ede son chef mort, prend la fuite (14—15).

Pour finir voyons la marche de l'histoire de Yaël chez le Ps.-Philon :(les divergeances d'avec l'Ancien Testament seront soulignées)

1. La vision cosmique de Debora fait préfigurer le cours du combat et faitapprendre les intentions de Sisera qui, lui veut acquérir des captives pour enfaire des concubines. D'après la prophétie de Débora: «in ma nu s mulieris inci-dat etiam ipse (XXXI. 1).

2. Bataille — Sisera s'enfuit (XXXI. 2).3. Yaël «. . .ornavit se ornamentis suis et exi vit o bv iam eis» (XXXI . 3).4. Rencontre — description de la beauté de Y'aël (XXXI. 3).5. Yaël offre a Sisera de le sauver: — «Et ingressus Sisera ut vidi t rosas

sparsas in lecto dixit : Si liberabo ibo ad matrem meam, et Iahel mihi eritmulier » (le mot if figu re à la plac e de la première inv it at io n du Livre de Ju d i t het a à peu près la même fonction que celle-là, seuls les rôles sont inverses —X X X I . 3), — Sisera de ma nd e de l'eau — Yaël don ne un e réponse év asive ,ensuite : «cum obdormisset Sisera Iahel perrexit ad pecora et mulsit ex eis lac» —ensuite dans une prière elle demande un signe divin qui puisse prouver sonpouvoir sur Sisera (XXXI. 5). — Sisera demande de nouveau à boire — voilà

le signe que vient de demander Yaël.6. Yaël lui donne à boire, en mê lan t le lait av ec du vin. Sisera s' en do rt

et Yaël, ayant reçu un nouveau signe divin lui enfonce le clou dans la tête(XXXI . 7). — Hymne de Yaë l — les dernières par ole s de Sisera qui vi en t d ereprendre ses sens, ensuite la mort de celui-ci (XXXI. 7).

7. Les paroles de la mère de Sisera (dans l'Ancien Testament rappeléespar le cant ique de Débora ) — Yaël montre à Baraq l'ennemie tué (XXXI. 8 — 9).

Les trois histoires examinées comportent de traits essentiellement com-muns et qui définissent en grandes lignes leur structure. Au cours du combat

de deux peuples se trouvant en relations hostiles c'est une femme qui, du milieu


8/15/2019 ACTAANTIQUA_28 (1980)


3 9 2 I . FRÖHLICH

du peuple attaqué fait triompher son peuple en soumettant à sa puissance (enséduisant par son amour) le chef ou un héros éminent de l 'ennemi.

A partir des traits mentionnés plusieurs histoires bibliques seraient àinclure dans ce groupe, en dehors de celles que nous venons de citer. Telle

l'histoire de Samson et Délila où les vainqueurs sont — du moins dans l'his-to ir e — les Philisti ns. L 'hi sto ire de S am so n com por te aussi ce mot if caract é-ristique — qui bien que omis dans l 'énumération précédente n'en figure pasmoins dans les autres histoires — que la héroïne livre à sa famille l'ennemivaincu (Yaël montre à Baraq le cadavre de Sisera, Judith présente la tête deHo lo ph er ne — Délila, elle aussi livre au x hom me s de son pe up le Sam son auxch ev e ux coupés, J g 16 : 20—21). E t ju st em en t le motif de la remi se mar qu epartout le tournant : dans l 'histoire de Yaël bien que l 'armée de Sisera se soitfaite battre antérieurement, la victoire ne sera complète que par la mort duchef — ou plutôt par la présentation collective de Baraq victorieuse et de Siseratué. Dans le Livre de Judith aussi, les assiégeants poursuivent le siège et neprennent la fuite qu'ayant appris la mort de Holopherne. Dans l 'histoire deSamson la captivité et la mort de Samson portent malheur au peuple entier.

En dehors des traits généraux cependant le LAB comporte des motifsou des analogies spéciaux qui figurent uniquement dans le Livre de Judith.D'une analyse formelle des deux textes vont se dégager les parallèles suivants(l 'analyse ne portant que sur les événements suivant la rencontre) :

A la différence du récit de l'Ancien Testament Yaël va elle-même à larencontre de Sisera. Qu'elle ait des intentions pareilles à celles de Judith çase voit bien de ce qu'elle se met des parures et qu'elle dispose la maison pourl' ac cu ei l de Sisera. Ya ël — to ut comm e J u d i t h — éblouit de sa be au té Sisera,à tel point que celui-ci lui fait des propositions de mariage. Yaël offre à Siserade la sa uv er — fai t qu i mo nt re fo rt bien son rôle d'in itia tric e qui est aussi celuide Judi th .

Pour une deuxième étape des motifs parallèles voilà le passage qu'onpourrait peut-être résumer sous le titre de «préparation de l 'instrument magi-que». L'héroïne, ayant ébloui de sa beauté le chef de l 'ennemi et l 'ayant soumisà sa puissance a recours à de nouveaux moyens dans le but d'un triomphe déci-

sif. Voilà pourquoi Judith se rend-elle à Béthulie où elle «baptizabat se in fonteaquae» (12 : 7), et que, au cours du festin elle se met à boire avec Holophernepour pouvoir ensuite tuer l 'homme entièrement ivre. Chez le Ps.-Philon l 'actemagique est-il mis en relief avec plus de netteté que dans le Livre de Judith;dans ce dernier il est intimement lié à l'idée du secours divin. Yaël, elle, donneà Sisera son propre lait mêlé avec du vin. En faisant ceci elle gagne le pouvoirsur lui d'une façon consciente, et finit par le tuer.

Malgré les coïnc iden ces et les para llèl es des évé neme nts il y a un e certain edifférence de conception entre le Livre de Judith et l 'histoire de Yaël rappor-

tée par le Ps.-Philon. Ceci ressort clairement surtout de la description des


8/15/2019 ACTAANTIQUA_28 (1980)



antécédents. Dans le Livre de Judith l 'action de l 'héroïne a lieu afin de justi-fier l'idée de la pro vid enc e divine. L a situ ati on est, elle-même dès le dé bu t au tr eque chez Ps.-Philon qui, à ce sujet ne s'écarte point de la tradition de l'AncienTestament si bien que, dans la vision de Débora il fait préfigurer le triomphe

de la pro vid enc e divine, voire mê me le mode de la tri omp he : «in ma nu smulieris incidat ipse» (XXXI. 1). A l'intérieur de l'histoire les prodiges offertsà Yaël renforcent eux-mêmes cette conception téléologique sans pour autantêtre de valeur démonstrative. Ce qui a pour effet que le caractère parénétiquede l'histoire entière s'efface un peu et, au lieu de stimuler la crainte de dieu etl'attachement à la loi elle sert à la foi, en pleine conformité avec la conceptionhistorique du Ps.-Philon, à justifier l 'élection divine, comme le font nettementvoir les par oles que pro non ce Débo ra lors de sa vision : «Nam etsi popu lu s m eu speccavit, ego tarnen memorabor ei. Et his dictis, profecta sunt astra sicutpreceptum fuerat eis et incenderunt inimicos eorum» (XXXI. 2). L'idée dutriomphe se trouve donc chez le Ps.-Philon dès le début comme garantie, l'his-toire de Yaël ne servant qu'à la réaliser — et ceci par le moyen de la structureet de certains éléments de l 'histoire de Judith, de caractère parénétique et«démonstratif».93

L'histoire de Yaël est richement attestée aussi dans la tradition rabbi-nique, à propos de Yaël, y apparaissent plus d'une fois les motifs figurant chezPs.-Philon ou pareils à ceux-ci. On y lit par exemple de l'ivresse de Sisera, cequi fait supposer que Yaël le fit boire non pas du lait pur. 9 4 D'après une autreinformation des midrash palestiniens Sisera est fasciné par la beauté de Yaël,mais celle-ci résiste à la tentation. 9 5

Dans le Talmud babylonien l'histoire de Yaël est toute pareille à cellede Judith ; Yaël se soumet à la passion de Sisera en y voyant la seule manièrede le tuer.96

Une seule aggada contient cette variante du Ps.-Philon suivant laquelleYaë l fit boire Sisera de son pro pre lait; pour deux a ut res passages ce pe nd an til y a lieu à supposer la connaissance du motif. 97

L'autre ligne de la tradition postérieure de l'histoire de Yaël et Siseraremonte au texte biblique. En se fondant sur la bénédiction de Débora (Jg

93 D'a prè s E. J. B u r n s l 'essence du Livre de Ju di th serait née à l 'intérie ur de lacommunauté d'Êlophantine, sous l 'effet des réalités politiques, en imitation conscientede l 'histoire do Yaël pour devenir ce qu'elle devint, cette histoire connue, parmi les Juifsde Léon topo l i s : E . J . B u r n s : CBQ (1954) 12 - 1 4 ; E . J . B u r n s : CBQ (1956) 19 — 22 .Le parallèle subsistant chez Pseudo-Philon laisse cependant conclure à un emploi plusgénéral du motif, à son caractère de sujet folklorique.

M M H G I. p. 336; d'apr ès le Ta lmu d babylonien au ss i: Je ba mot 103a—103 b ;Naz ir 23b ; Ho ra jo t 10b ; Nid dah 55b et Tos ef ta Sh abb at 8 : 24.

95 Midra sh ha -Gedol I . 336 ; Midr ash wa-Y iqra R ab ba 23 : 10.96 Yeb amo t 103a—103b; Nazir 23 b; Ho ra jo t 10b.97 L' agg ada citée par Rimzo Ha ft ar ot et Nidda h 55b ; v. L. Gi nz be rg 1938. VI .

198. n. 85.


8/15/2019 ACTAANTIQUA_28 (1980)


394 I . FRÖHLICH

5 : 24) le Ta lm ud ba by lon ie n rappelle, pa r mi les femmes bénies, Yaë l avec Sa ra,Rébecca, Rachel et Léa.9 8

Deux sources postérieures mentionnent la vision de la mère de Sisera 99

d'après laquelle Sisera devait rentrer victorieux. Cette vision ne figure paschez le Ps.-Philon — d'ailleurs, à l'endroit cité le motif semble remonter à Jg5 : 28 — 31 — la description de la vision rappelle cependant l'histoire connuedu Ps.-Philon. La mère de Sisera espère le triomphe de son fils après l'avoir vucoucher dans le lit d'une femme hébraïque ce qu'elle explique de façon qu'il varentrer chez lui avec beaucoup de captives. Pareillement à ceci le texte duPs.-Philon fait mention des intentions de Sisera avant le combat, lesquellesconsistent à apporter de la guerre des captives. Le motif se fonde encore unefois sur les vers cités du Livre des Juges tout comme les passages du Zohar etde l'autre source, mais sous une forme anticipée le motif de l'acquisition descaptives figure aussi chez le Pseudo-Philon. Un rapport éventuel entre les sour-

ces rabbiniques et le Ps.-Philon est encore à supposer de ce fait que le nom dela mère de Sisera est dans chacun d'eux Temah — un élément qui est cependantabsent des autres sources.

3. l e moti f an t i qu e du « l i ber an t i qu i t a t um bibl icarum«:l e c h a n t f u n e b r e d e l a f i l l e d e j e p h t é

Dans la Bible la personne de Jephté figure dans le 11 e chapitre du Livredes Juges. En 11: 1 — 28 on lit de J e p h t é lui-même, tan dis que les vers 29 — 40racontent son voeu et le sacrifice de sa fille. Chacun des deux passages compor-

tent des éléments fabuleux ayant beaucoup de parallèles et qui sont générale-ment connus aussi du folklore mondial — dont la mise en fuite de Jephté dechez soi, ensuite les honneurs qu'il obtient.1 0 0 L'histoire du sacrifice de la fillede Jephté contient elle aussi un motif fabuleux, celui du vœu fait sur une chosepréalablement inconnue. Dans les contes parallèles antiques et européens lehéros fait vœu que, une fois sauvé de sa situation difficile il va consacrer lapremière chose (ou le premier homme) qu'il rencontre à celui qui lui a prêtéaide.101

98

Le mêm e fait réap par aît , sous une f or me raccourcie en Jerah mee l 5 8: 172.Le Ta lm ud rappe lle Yaël av ec S ara et autr es, e n se ba sa nt sur Gn 24 : 67 et 41 : 33 ; BR48 : 15, Nazir 23b ; cf. Targum Jud. 5 : 24.

99 Zoh ar II I. 119a et Sabb at wa-Jeze 27d. Avec le Pseudo- Philon concorde Jer ah-meel 58 : 184.

1 0 0 S. Th omp son : Motif-Index of Folk-L iter ature . F F Communications 106.Helsinki 1932. L. 10.

101 S. Th omp son 1932. S 241. Les vari ant es antique s du mot if : Idomé née, roide Crète fait à Poséidon le vœu de sacrifier la première personne qu'il rencontrerait,lorsqu'il serait rentré sain et sauf de la guerre de Troie : Servius ad Virg. Aen. III. 121et XI . 264, ensuite le pre mie r et le second my th og ra ph es du Vati can : Scriptores r eru mmythicarum Latini, I. (ed. G. H. Bode, 1834). 195, 210. Lors de la guerre phrygienneMaeandros fait le vœu de sacrifier à la Magna Mater, pour la victoire la première personnequi, chez lui, vienne le saluer — c'est son propre fils qui le saluera le premier, en com-

pagnie de sa mère et sa sœur, cf. Plutarque De fluviis IX. 1.


8/15/2019 ACTAANTIQUA_28 (1980)


HIST ORIOG RAPHI E ET AGGADA 3 9 5

L'his toire biblique de Je ph té c ompo rte, hors les motifs de conte des au tr esmotifs qui rappellent les cultes cananéens. Tel le passage sur lequel s'achèvel'hist oire du sacrif ice de la fille : «Et de là vie nt c ett e c ou tu me en Is raël : to usles ans les filles d' Is ra ël s'en v on t se la me nt er qu at re jour s par an su r la

fille de J e p h t é le Galaadit e» ( Jg 11 : 39 — 40). L'h ist oir e elle-même ou p l ut ôtle vœu de Jephté sert à expliquer un culte cananéen en rattachant le motifde conte à l'histoire étiologique du culte de végétation. C'est que le deuil dequatre jours des jeunes femmes dans les montagnes fait effectivement partiedu rite du culte de Miçpé et d'autres coutumes sont encore à citer dont le deuild'Anat sur le Baal mort dans l 'épopée ougaritique.102

La première partie de l 'histoire de Jephté ne figure, dans l 'œuvre du Ps.-Philon que brièvement, à titre d'indication. D'autant plus détaillée est laseconde partie, la description du sacrifice de la fille de Jephté.

Du point de vue de la tradition du texte latin du LAB, le passage a cecid'intéressant qu'il a été d'abord séparément publié. Sa première publicationes t du e à J . B. P i t r a («Analecta sacra»); or da ns la série «Texts an d S tudies»de M. R. J am e s il a ét é pub lié suivi des t ex te s de «Oratio Moysi», «Visio Zenez» et«Citharismus regis David», c'est à dire d'autres passages de la chronique duPs.-Philon.103

Dans le texte du Ps.-Philon l'histoire est relatée non seulement sous uneforme élargie en comparaison du texte biblique, mais aussi dans une conceptiondifférente de l'originale. Le premier motif de conte, le récit sur l'origine deJephté y est absent, et le vœu de Jephté prend lui-même un autre sens dans laconception du Ps.-Philon que dans l 'Ancien Testament. Le motif garde soncaractère de conte en ceci que le Ps.-Philon souligne qu'il s'agit de la fille uniquede Jephté, mais le vœu, lui obtient une interprétation théologique. Que Jephtésoit un chef élu par le peuple et qu'il soit élu — chacun des deux moments sontbien mis en relief dans le texte du Ps.-Philon : «Vehi principare populo. Quisenim seit si propterea salvatus es in dies istis, aut propterea liberatus es demanibus fratris tuorum, ut principeris in tempore hoc populo tuo» (XXXIX. 3).La conscience de l'état d'élu de Jephté fait voir le vœu sous un tout autreaspect — le texte du Ps.-Philon insiste énergiquement sur l'absurdité et la

van ité du v œu co ntr e la justi ce divi ne : «Et irat us est Domin us ira et dix it :Ecce devovit Ieptan ut offerat mihi omne quod primum obviaverit ei. Eccenunc si canis pri mus obviaver it le pt e nu mq ui d canis offere tur mihi. Et nu ncfi at le pt e ora tio eius in pri mog eni tum fr ue tu m ventri s sui, et peticio eius inunigenita ipsius. Ego autem liberans lihero populum meum in eo tempore, nonprod eo, sed pro oratione quam oravit Israel» (XXXIX. 11).

10 1

H. Ri n g r r e n 1963. 45.10 3 M. R . Ja m e s 1893.


8/15/2019 ACTAANTIQUA_28 (1980)


396 I . FRÖHLICH

La fille de Jephté — appelée dans le texte du LAB Sheila — devient parlà co mme desti née au sacrifice. C'est-ce qu e souligne aus sil' éty molo gie hé br aï qu ede son nom : «Iuste vocatum est nomen tuum Seila, ut offereris in sacrificium»(X L. 1). L' éty mol ogi e du te xt e hé br aï qu e d oi t se baser sur le radi cal ^XIT

ayant le sens de «demander, exiger, interroger», sa forme qui en dérive et quiest le plus rapprochée du nom de Sheila s'employant dans le sens de «demande»

Après le vœu que fit son père Sheila, suivie de ses amies se retire dans lesmontagnes pour y pleurer. Le rite de deuil est mentionné dans la Bible aussi :«Elle sien alla avec ses compagnes et elle pleura sa virginité sur les montagnes»(Jg 11 : 38). L a Bible ne fait que' ef fle ure r le ch an t funèb re, le Ps. -Ph ilo n, luien présente le texte entier. Le chant funèbre de la fille de Jephté n'a pas sonpair parmi les variantes de l 'histoire de Jephté. Les manuscrits, eux aussi lefont ressortir à l 'intérieur du texte (dans le manuscrit de Budapest le chant estintroduit par l 'intitulation «Planctus Seile Filie lepte) :

Le chant funèbre de Sheila s'œuvre sur un tableau naturel : c'est qu'elleprend à témoin la nature pour sa mort (les passages cités seront articulés con-fo rm éme nt à la st ruc tu re intérieure du t ext e) :

Aud i te montes tren um meu mint end ite colles lacrimas oculorum meo rumtes tes es to te petr es in pla nct u an im e mee (X L. 5)

Dans la suite il s'agit du motif de la mort de Sheila, ensuite le texte re-pr end la stru ctu re lit urgiqu e :

non sum sa tu ra ta tha lamo meonec rep let a sum coronis nu pt ia ru m mea rumnon enim ves tit a sum splendore se cu nd um ingenuam mea mnon sum us a Moysi odor is mei (da ns l'édit ion de M. R. Ja me s :

preciosi odoramenti mei)nec fr on du it ani ma me a oleo unct ioni s quo d pr ep ar at um est mihi (XL . 6)

Voilà la troisième partie du texte qui précise le véritable sens du chantentier :

О mat er, in vano peperisti unigenitam tua ui

(négation de l 'existence terrestre)quoniam factus est internus thalamus meus

(combinaison de la mort avec les noces). . .et confectio omnis olei quam pr ep ar as ti mihi eff und etu r

(la négation des noces terrestres par la négation des éléments de la partie

préc édent e, de caract ère énumér atif )


8/15/2019 ACTAANTIQUA_28 (1980)


HIST ORIO GRAP HIE ET AGGADA 3 9 7

E t refere ntes me convi rgine s mee in gen itu m per dies pl an ga nt me (X L. 6)(adieux à l'existence terrestre)Le chant termine sur le tableau naturel initial :

Inclinate arbores ramos vestros et plangite iuventutem meamVenite fere silvae et conculcate supra virgines meas

(Jam es : su pra virg init atem meam)quoniam abscisi sunt anni mei, et tempus vite mee in tenebris inveterabit (XL. 7 )

Le chant funèbre est suivi de la description du sacrifice et des funéraillesde Sheila, ensu ite le Ps. -Ph ilo n re pre nd le te xt e de la Bible : «Et fe ce ru ntfilie Israel planctum eius, et constituerunt in mense eo XIIII die mensis utconvenientes per singulos annos plangerent filiam lepte per dies quatuor. Etfecerunt nomen sepulchri eius iuxta nomen eius Seila (XL. 8). La tradition

biblique se trouve donc élargie, chez le Ps.-Philon par l'indication du tempsdu culte et le motif étiologique relatif au lieu du culte.

L'Ancien Testament et le texte du Pseudo-Philon donnent ensemble uneidée exact e du culte de végétati on des Cananéens, les de ux t ext es se com pl ét an tmutuellement. A travers le texte du Ps.-Philon s'impose aussi un parallèlelittéraire grec : par l 'interprétation du sacrifice, par le contenu et la structuredu texte le chant funèbre de Sheila est remarquablement analogue à la com-plainte d'Antigone dans la tragédie de Sophocle.104

Le chant de Sheila se fonde sur la tradition biblique, il représente une

variante du motif connu de la Bible — sa mise en œuvre se modelant sur uneforme littéraire grecque. Les deux histoires, le Ps.-Philon les réunit à partir dece qu'elles ont de commun. Or, l'élément commun de la mort des deux filles— Sheila et Anti gone — c'e st le my th e de Per sép hon e, le rite du deuil sur laKorè dont le rite de végétation des Cananéens est un parallèle. Dans la tragédiede Sophocle la figure d'Antigone et celle de Perséphone se trouvent commecompénétrées, ou plutôt ce n'est qu'un aspect de Perséphone que Sophocle meten relief. Dans le mythe de Perséphone c'est encore la mort et le mariage quise rattachant l 'une à l 'autre.105 Leur liaison est évidente, la mort ayant pour

opposé dialectique la renaissance, et le mariage, soit le rite d'initiation des jeunes fi lles s ont également à concevoir comme une sorte de mor t qui est renais-sance. C'est que dans la langue des mythes le mariage achève une existencepour indiquer en même temps le commencement d'une nouvelle existence.

104 Ce n'est qu' apr ès l 'a chève ment d u présent article que me sont devenus acces-sibles : M. Al ex io u— P. D r o n k e : Tho lament of Jop hth a' s da ug ht er : themes, tradi-tions, originality. Studi medievali 12 (1971) 819 — 863, ainsi que M. P h i l o l e n k o : Iphi-genie et Sheila. In : Les Syncrétismes dans les religions grecque et romaine. Paris 1973.165—177. Ces ét ude s sont consa crée s à l'anal yse du passag e du Pse udo- Phil on ex am in éaussi dans le présent article, ensuito à ses parallèles littéraires grecs — dont le passagesur Antigone — et ceci sous un aspect différent du mien.

105 Sur les diff éren ts aspe cts do Persé pho ne: C. C. J u ng — К . К e r én y i : Dasgöttliche Mädchen. Amsterdam —Leipzig 1941. 39- 50.

Ada Antiqua Academiae Scientiarum Hunqaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


398 I . FRÖHLICH

Cette conception se manifeste nettement dans les rites de noces qui, eux signi-fient partout dans le monde une fête à la fois de joie et de deuil.

Dans la tragédie de Sophocle, la figure d'Antigone se réalise, au cours dutraitement du mythe de végétation, à travers certains intermédiaires. Persé-

phone meurt par ceci qu'elle se marie — pour Antigone de même que pour Shei-la, le destin est de mourir au lieu de se marier. C'est toujours la mort et les nocesqui se trouvent identifiées dans ces mythes d'Antigone où celle-ci doit êtreenterrée par Hémon.10® Il se peut qu'il ne s'agit pas tellement d'une modifica-tion du mythe de Perséphone, de son ajustement à la figure d'Antigone maisplutôt de ceci que le mythe d'Antigone est en contact avec un rite qui faitrevivre continuellement le mythe de Perséphone, rite dans lequel le person-nage principal — la jeune fille destinée à être sacrifiée — apparaît en la figured'Antigone. On ignore la tradition littéraire dans laquelle Sophocle prit la

matière de sa tragédie, la figure et le problème môme de l'héroïne étant absentdes cercles mythiques antérieurs.107

Les éléments communs du sacrifice de jeune fille sont à retrouver dansch ac un e des deux œu vre s. Sheila est enfa nt uni que, Antigone, elle, première-née.Leur mort est représentée sous forme de claustration. Le Ps.-Philon, il est vrai,n'en fait aucune mention, il ne parle que du tombeau de Sheila, qui deviendrale centre du culte, toutefois le motif sera à retrouver chez les auteurs juifs pos-térieurs. D'après D. Kimhi Jephté aurait bâti une maison afin que, enfermée,sa fille y passât ses jours. 10 8 Ce moment rappelant le mythe de Danaè réappa-

ra ît d ans la tragédie de Sophocle :

ëxka xai Aavâaç ovgávtov tpwçáAAáfat ôéfiaç èv xa^xoôéxoiç avÀaïç. xgvnxopéva ô'èv xvpßr\gEi űaXá/ м р y.axecpevxdrj-

(944-946)

Certains passages de la complainte d'Antigone sont également à comparerave c le chan t funèbre de Sheila :

rôv nayxoirrjv ciû' ógcö dáhifiov xr/vô' 'AvxiyóvTjV âvvxovaav

(804-805)

10 6 Euripide, fra gm en t d'Anti gone et Hygi ne : 72. fab. 72. Sur les de ux : J .Csengery : Euripidész elveszett drámáinak töredékei (Les fragments des drames perdusd'Euiipide). Budapest 1926. 261 — 264.

10 7 L'héro ïne et les prob lèm es to uc ha nt sa pers onn e sont ab se nt s du cercle delégendes d'Eschyle. G. M ü l l e r : Sophokles' Antigone. Heidelberg 1967, affirme qu'ils'y agirait d'une libre invention de Sophocle. 21.

108 L'exégèse méd iév ale d e D. Ki mh i s ur J g 11 : 39, v. L. G i n z b e r g 1938. VI.203. n. 109.


8/15/2019 ACTAANTIQUA_28 (1980)



(identification de la mort avec les noces)

. . . offl' v/tevaiœv ëyxXrjgov, ovx'èmvvfMpeiôç jiá> [té riç vpvo; v/uvrjasv, âXX' 'AyéoovTivvficpevaoi (négation des noces terrestres)

(812-816)

Les vers cités — identification de la mort avec des noces et énumérationdes éléments de la fête de noces — constituent justement l'essentiel de l'ana-logie entre les deux chants. Par leur forme et leurs motifs l'un et l'autre sontau fond des épithalames — sous une forme négative. 109 Le motif de l'i den tif i-cation de la mort avec les noces passe pour un lieu commun de la littératuregrecque. La môme identification se fait noter dans la figure de l'Hyménée per-sonnifié en tant que génie qui meurt jeune et qui est en rapport avec les noces.110

L'identification est attestée dans les genres très divers : drame, épitaphe, poé-sie, roman, etc.111 Parmi les identifications littéraires qu'il nous soit permis deciter les paroles d'Iphigénie sur sa propre mort sa figure étant — après Anti-gone — la plus rapprochée de celle de Sheila :

Ti)v ô'aiï ráXaivav nagâévov — ri nag&évov;"AlÔTJÇ VLV WÇ EOiXE VV[KpEVOEt xá"/(l

(Eur. Iph. Aul. 460-461)

Antigone prend à témoin de sa mort également la nature — il se peutque ce motif, attesté dans chacun de deux chants, ait son origine dans le cultede végétation :

là Atgxalai xgfjvatOrjßag т 'evagpáxov aXaoç, ë/jjiaç Çv/tfiàoxvgaç vfift èmxzwpai,oïa tpiXcov âxXavxoç, oloiç vôfioiç

ngoç ëgyfia rv/ißoxcoarov д у о р ш xácpov noxaivíov(843 — 848)

Antigone donne également sa malédiction à sa propre naissance — lamalédiction passant, dans la tragédie grecque pour l'accomplissement du destinde famille, se transforme, chez Pseudo-Philon en une acceptation forcée de lavolonté divine :

10 9 Parmi ses antécédents littéraires les mieux connus sont les hyménées mention-

nés en Horn. Iliade 18 : 493 et Euripide, Iphigénie on Aulide 1036.11 0 Pindare, frg. 139 ; Servius ad Aen. I. 661.111 M. A l e x i o u — P . D r o n k e : Stud i Medievali 12 (1971) 830.


8/15/2019 ACTAANTIQUA_28 (1980)


400 I. FRÖHLICH

là) /г а х д ф с и Xéxzomv

axai xoifirjpazá z'avzoyévvrjz' èpâ> nazal ôvct/iogov fiazqôç

oïœv êyà) п о д '' â xaXaiepçwv ëcpvv.

(8 6 1 -8 6 5 )

La complainte d 'Antigone s 'achève par la combinasion de l ' image dut om b ea u et de la ch am br e nupti ale, en rés um an t par là les mot ifs rappel és :

ai zvfißog, ai vVfMpeïov, <Ь xaxaaxacpi)ç

oïxr]cnç àeicpQOVQOç, ol nogevopai

ngoç xovç èpavzrjç, wv àpid/iov êv vsxgolç

nXeîcrxov ôéôexzat Ф е д о с р а о о ' SXcoÀôzœv

(8 9 1 -8 9 4 )

En comparant les deux chants funèbres on sera amené à constater quecelui de Sheila est composé avec plus de conception et fait plus nettementvaloir le sens primitif du rite. La figure de Sheila est plus rapprochée, dans lerécit lui-même, du rite, en étant comme la personnificatrice, tandis que, dansle cas d'Antigone les motifs du mythe de Perséphone ne sont que des élémentsaccessoires illustrant la mort de la jeune fille. La structure à cadres du chantfunèbre de Sheila, les tableaux naturels initiaux et finaux indiquent eux-mêmes le rapport de l 'histoire avec le mythe de végétation — et, à l ' intérieur

du cadre la suite des motifs et leur rapport entre eux représentent les étapesdu rite de végétation.

Les motifs grecs que Pseudo-Philon emprunta à Sophocle ne sont passans parallèle — nous sommes pourtant conduits à croire que dans le LAB ilne s 'agit pas d 'un libre emprunt de motifs grecs, mais plutôt d 'un exemplelittéraire conciemment choisi. L' imitation consciente est très probable par celamême que dans le œuvres pseudépigraphiques et apocryphes (de même quedans la li t térature aggadique tardive) 1 1 2 l ' imitation consciente des motifs an-tiques, et plus spécialement des drames antiques est généralement répandue. 113

Le texte du testament de Joseph dans le «Testament des Douze Patriarches»114

semble avoir subi l ' influence du récit grec de Phèdre — bien qu'il s 'agisse d'unsu je t bibliqu e (Gn 39 : 7 — 20) qui ét ai t tr ès conn u et ré pa nd u dan s l 'Ori entantique entier. C'est encore une fois un exemple grec sur lequel se modèle le

112 A. Sc he ibe r : Die Parabel vom Schatz des Gelehrten. Acta Ant. Hung. 10(1962) 233 — 236; A. S ch e i b e r : Zu den antiken Zusammenhängen der Aggada. ActaAnt. Hung. 13 (1963) 267 — 272 ; A. Sc hei ber : Antikes und Aggada. Acta Ant. Hung .17 (1969) 449 — 457; A. Sche ibe r : Neue Bemerkungen zu den antiken Zusammen-hängen der Aggada. Acta Ant. Hung. 14 (1966) 225 — 229.

113 M. HADAS: Hellenistic Culture. Fusion and Diffusion. New York 1959. 300.111 Test. Joseph 3.


8/15/2019 ACTAANTIQUA_28 (1980)



drame intitulé «Exode» du juif Ezéchiel mais dont nous ne connaissons quequelques fragments1 1 5 et c'est aussi le cas du Christus patiens de Grégoire deNazianze, daté du 4e siècle de notre ère. Par leur forme les œuvres en questionsont des imitations de drame, par leur contenu, des traités philosophiques et

morales.La tendance d'intégrer dans les œuvres des genres littéraires non épiques,

des paraphrases hymniques est d'abord illustrée par Pseudo-Philon lui-mêmequi, lui introduisit dans le LAB cette incantation rappelée plus haut, d'origineessénienne. Le chant funèbre de Sheila, on le voit bien, tient-il sa place de touteévidence parmi les hymnes du LAB.

4. le s complément s agg adi que s du « l iber an t i qu i t a t um bibl ic arum.

Par compléments aggadiques nous entendons ces passages du LAB quiportant des additions plus ou moins courtes et dont les informations, sansdépendre directement de la composition structurale et de la conception idéellede l'écrit, y apportent plutôt des menus compléments, d'un point de vue quiest en pleine conformité avec l'esprit de l'œuvre même. Leur fonction n'estpas de formuler une nouvelle conception, mais plutôt de mettre en relief l'im-portance des motifs subsistants et qui forment des parallèles avec d'autres mo-tifs à l'intérieur de l'œuvre ou avec ceux d'autres œuvres, bref, ils sont commedes échos des motifs principaux.

Parfois, il ne s'agit même pas de motifs, mais des additions de quelquesmots ajoutées au texte et lui permettant de fournir une explication des événe-ments plus détaillée que ne le fait la Bible. Les compléments en question ser-vent à expliquer surtout ces passages qui prêtent à équivoque ou qui, pour êtreparfaitement compris, nécessitent une opération, un supplément logiques.Un complément explicatif de cette sorte est chez le Pseudo-Philon ce passagede l'histoire de Moïse où l'ordre donnée par le Pharaon de massacrer les garçonsdes Hébreux et de laisser la vie aux filles est motivé comme ceci : «... feminaseor um reser vabi mus, ut eas nostri s dem us do mus in ux or es ; et erit qui n at us

fuerit ex eis servus et serviebat nobis. Et hoc est quod pessimum visum estcoram Domino» (IX. 1). Les midrash tardifs expliquent ce même passage parle caractère sensuel des Égyptiens. 116

Le LAB fournit des explications non seulement là où la compréhensiondu texte l 'exige absolument. Les nombreux compléments ajoutés aux dateshistoriques et aux noms des personnes et qui ont une fonction «légalisatrice»,sont exigés par l'intention apologétique. Tels les tableaux généalogiques con-

115 1. T r e n c s é n y i - W a l d a p f e l : Uno tragédie grecque à sujet biblique. AOr 2

(1952) 143-163.116 E R 7 : 40 et G i n z b e r g 1938 I. 222.


8/15/2019 ACTAANTIQUA_28 (1980)


4 0 2 I . FRÖHLICH

stituant la première partie presque entière du LAB et qui doivent leur conti-nuité à l 'énumération systématique et ininterrompue des données. Dansceux-ci l 'auteur ne manque d'énumérer le nom des membres des races. Lesdonnées numériques sont rapprochées de celles de la version des Septante, y

sont presqu'identiques. Il est seulement à regretter que la forme très corrom-pue des noms ne permette pas chaque fois une analyse.

A propos de l'histoire de Caïn et d'Abel le Pseudo-Philon ne manque dasd' in di qu er la dat e du sacr ifice et l'âge des deux frères : au te mp s du sacrificeCaïn aurait eu 40 ans, Abel, lui 50. (II. 3). La même explication — avec desdonnées numériques un peu différentes — réapparaît dans d'autres sources. 117

Des compléments de cette sorte s'ajoutent aussi aux noms. Dans le LABla femme de Caïn s'appelle Temach — la mère de Sisera ayant le même nom(II. 3 et XXXI. 8). Le Ps.-Philon, lui, n'ignore pas le nom des parents de Moïse :

Amram et Yokabed. (IX. 9). Sur la même tradition semble avoir été fondé cepassage du «Testament des douze patriarches» où il est dit que Amram et Yoka-bed naquirent le même jour. Le nom d'Amram y est interprété comme le«redressement du peuple» puisque «c'est lui qui fait sortir le peuple d'Egypte».118

L'élection d'Amram est rappelée dans plusieurs midrash, chez Josèphe Flaviusde même que dans la biographie de Moïse écrite par Philon. 1 1 9 De pareillesexplications étymologiques s'attachent au nom de Yokabed et on voit en ellel 'une de ces dévotes femmes-sages qui sauvent les nouveaux-nés tout en s'oppo-sant à l 'ordre du pharaon. 120

Chez le Ps.-Philon Moïse est appelé par sa mère Melkiel (IX. 6). Lesaggadas postérieures mentionnent plusieurs noms de Moïse donnés à celui-cipar ses parents, les autres membres de sa famille ou son peuple. 121

Les parents de Samson s'appellent Manoah (dans le texte latin Manoe) et«Eluma, filia Remac» (XLII. 1). Le Ps.-Philon ne manque pas de raconterqu'ils se disputaient souvent en s'accusant mutuellement de la stérilité de leurmariage (XLII. 2). Dans les autres midrash les parents de Samson figurent aussima i nt e s fois. Dan s les au tr es sources la mèr e de Samson s'a ppe lle Hazle lponi tou Zelalponit. La Aggadat Bereshit semble savoir de sept femmes stériles pourqui u n miracle se prod uisi t : Sara, Rébecc a, Léa, Rachel, Ha nn a, Hazlelponitet Cion. Une autre source veut que Hazlelponit soit l'une des 22 femmes chastesmentionnées dans le dernier chapitre des Prov. 122 Manoah, le père de Samsonfi gu re , lui aussi, assez sou ven t. A pa rt ir de Jg 15 : 8 le Ta lm ud i den tif ie E ta n o

117 Tan. Bereshit 9.11 8 Test. Lévi 12.119 Josèph e Fla viu s : An ti qu it at es I I. 8 : 6 ; Phil on : Vit a Mosis 1.2.12 0 L. Ginzberg 1938. V. 393. n. 16.121 Yashar Sh emo t 131 a ; WR 1.3 ; Dib rê ha- Yam im 3 ; P R E 48 ; Megilla 13a ;

Ta rg u m s ur Chronique I. 4 : 18 ; avec les dén omi nat ion s du Ps eud o-P hi lon concordentcelles de Clément d'Alexandrie : Stromata I. 21.

122

Agga da Bere shi t 62, 106 — 107 ; sur Haz lel pon it MHG I. 337 ; sur les pa re nt sde Samson : Tan. В . IV. 160 ; Ba ba Ba tr a 91a ; Ba R 10 : 6.

Acta Antiqua Academiae ScietUiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)



rappelé dans le Livre des Chroniques avec le père de Samson. D'après JosèpheManoah aurait été le plus grand homme de son époque.123

Le Ps.-Philon nous fait apprendre le nom de ces deux espions qu'envoieJo su é sur la ter re à occuper : «Et v oc av it Cenez et Sem eni am fr at re m eius,

duos filios Caleph...» (XX. 6). Selon d'autres sources les espions sont Peretset Zerah, fils de Juda.124

Le Ps.-Philon omet les histoires de Jacob mais ajoute des compléments àcelle de Dina. Plus tard la jeune fille fut donnée en mariage à un homme nomméJob qui, à ce qu'on voit du texte serait identique au principal personnage duLivre de Job et de qui Dina aurait eu sept fils et trois filles, et ensuite, après lamort de ceux-ci encore sept fils et trois filles (VIII. 8).

La naissance de Moïse est prévue dans une vision de sa sœur Miriam. Celle-ci-voit dans son rêve un homme vêtu en blanc qui lui prédit la naissance de

Moïse et le sal ut du p eup le (une scène par eil le a lieu da ns le t es ta me nt de Lé vi ;dans son rêve Lévi voit également un homme portant des vêtements blancsde lin et paré des attributs sacerdotaux).125

Le récit de la sortie d'Égypte est interrompu chez le Ps.-Philon par uncourt épisode : avant le passage de la mer Rouge, lorsque les soldats du pharaonson t sur le po in t de ra tt ra pe r le peu ple gui dé pa r Moïse. A la vue du da ng erl'opinion de la foule est partagée : Les tribus de Ruben, Issachar, Zabulon etSiméon préfèrent mourir dans les eaux au lieu de se laisser tuer par l'ennemi.Celles de Gad, Asher, Dan et Nephtali veulent rentrer avec les persécuteurs,

puisqu'il est mieux de servir vivant que de mourir. Seules les tribus de Lévi,Juda, Joseph et Benjamin restent attachées à leur décision, ils préfèrent prendreles armes et lutter (X. 3). Le système de la division des tribus est tout de suiteévid ent. Les desc enda nts de Jaco b n és des captives choisissent la serv itud e,les tribus de Léa, la mort et seules les tribus de Rachel et les deux tribus éluesde Léa ont confiance en l 'assistance divine (l 'appréciation des tribus est toutepareille dans le «Testament des Douze Patriarches» : Malgré leurs péchés com-mis Juda et Lévi seron élus, l'élection des tribus de Rachel allant de soi — danscet écrit la division des tribus se fait encore une fois en considération de leur

origine).L'opinion partagée des tribus reflète chez le Ps.-Philon cette même con-ception qui, dans l 'histoire d'Abraham a pour effet la différence de comporte-ment entre Abraham et les autres. L'épisode du passage de la mer Rouge sert,chez le Ps.-Philon à expliquer l'élection des tribus de Lévi, Juda, Joseph etBen ja min tou t comme explique l 'a utr e épisode celle des des cend ants d' Ab ra ha met des douze tribus (VI. 1 — 18).

123 Joseph. Antiquitates V. 8 : 2— 3.124 Tan. В . IV . 62 ; Tan . Shela 1 ; Ba R 16 : 3.125 Test. Lévi 3.


8/15/2019 ACTAANTIQUA_28 (1980)


4 0 4 I . FRÖHLICH

Le motif de la division des tribus réapparaît ailleurs. Une partie dessources semble savoir — en conformité avec le Ps.-Philon — de trois groupesd'opinion.1 26 Quel que pa rt da ns le Ya sh ar S hem ot on tr ou ve une division àquatre.12 7 Ici la division des tribus ne semble pas logique, au lieu de quelque

conception autonome il s'agit plutôt de l 'emprunt d'une tradition corrompue.A l'endroit en question ce sont les tribus de Ruben, Siméon, Issachar —Zabu lon, Ben jam in , Nep hta li — Ju da , Dan , Jos eph — Lévi , Gad, Asher, quise séparent les unes des autres.

L. Ginzberg fa it rem on ter cet te divis ion à Ps 68 : 28; d' ap rès lui ellereprésenterait donc une tradition autre que celle du Ps.-Philon.1 28 Le passagedécrivant les idoles de Mika passerait lui aussi, pour une précision aggadique(XLIV. 5).

Le passage du LA B tra it an t le Liv re de Samuel est parti culiè remen t riche

en détails nuancés. Les détails servent ici à présenter Samuel sous un aspectfavorable, et ceci en conformité avec la conception de la royauté de Saiil et deDavid, soit avec celle du rôle que joua Samuel dans la royauté. Sans élargirla suite des événements proprement dite, de l'histoire de Samuel, le Ps.-Philonne fait qu'ajouter des explications à chacun des événements. Il précise parexemple les raisons pour lesquelles Anna prononce une prière à haute voixavant la naissance de Samuel (I. 5). Lorsque, suivant le vœu d'Anna, Samuelest porté dans le temple, il y est accompagné par le peuple entier, celui-ci j ouan t à des ins truments de musique — voilà comment l 'offre de Samuel de-vient- elle chez le Ps. -Ph ilo n, à pa rt ir du vœ u d'An na , l' of fr e du peuple ent ier,et la voie de Samuel, elle, la marche solennelle de l'élu (LI. 7). Le Ps.-Philonnous fait aussi apprendre que Samuel avait huit ans quand il eut la premièrevision — pareillement en ceci à Moïse. En conformité avec le récit biblique,Samuel ignore d'abord qui lui avait parlé. C'est Éli qui renseigne le garçon :si la voix se fait entendre deux fois, à minuit et à midi, c'est l'esprit malin, si ellese fait entendre une troisième fois, c'est la voix de l'ange. Pour la troisième fois,Yahvé lui parle par la voix d'Elqana, le père de Samuel. Si Samuel l'aperçoitde l'oreille gauche, c'est d'après l'explication d'Éli, la voix de l'esprit malin.S'il entend l'oreille droit, c'est celle de l'esprit bon (LIII. 3 — 6).

Parfois, les éléments aggadiques servent à intégrer les passages en ques-tion dans un cercle de légendes. Tel le passage suivant de l'histoire de Samson :Samson après avoir sorti la porte de ville de Gaza, enlève un vantail, comme unbouclier au-dessus de l'épaule, et se sert de l'autre comme d'un épée, pourtu er 25 000 Phil isti ns ( XL I II . 3). Sur la force, sur la gr an de ur physi que , sur

126 Pirqe Rab ben u ha-Qedo§ (éd. G r ü n h o t ) Lik kut im II I Jeru sale m 1898—1902,43; Wa-Yosa 51-52.

127 Yash ar Shem ot 146 a (Ruben , Simeon, Issachar , — Zabulon, B en ja mi n,

Na ph tal i — Ju da , Dan, Jos eph — Lévi, Gad, Aser).128 L. Ginzberg 1938. VI. 4. n. 23.

Acta Antigua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


HIST ORIO GRAPH IE ET AGGADA 405

les pie ds mutilé s de Samson, il y a no mb re de tr ad it io ns agga diqu es : po u rcelles-ci, la manière de la transmission est de second ordre, puisque le récitbiblique lui-même, de par son caractère de légende épique, a pu très facilementinspirer des légendes postérieures, et il est aussi à supposer que l'histoire bib-

lique de Samson ait été élargie des éléments légendaires, prêtés du folkloremondiale.

L'autre élément de conte se rattache à la naissance d'Isaac. Chez le Ps.-Philon, la naissance d'Isaac est mentionnée dans le discours de Josué où il estindiqué que celui-là naquit sept mois après sa conception et avait par consé-qu en t des qualit és extra ordi naire s : «Et dedi ei Ysaa c et plas mavi eum inmetra eius que eum genuit, et precepi ei ut cicius restituens reddere eum mihi inmense septimo. Et propterea omnis mulier qui peperit septimo mense vivitfilius eius, quo nia m supe r eum voca vi glori am meam» (X XI I I . 8). Le mot if

de «l'enfant né au septième mois» fait généralement partie de la série suivante :une femme stérile supplie pour avoir un enfant — sa demande est accomplie :elle accouche d'un fils ayant des qualités extraordinaires (dons de prophète).Les midrash postérieurs nous informent sur les mêmes circonstances à proposd'autres personnages. Auprès d'Isaac, Samuel vit aussi le jour au septièmemois.12 9 (Il est remarquable que le Ps.-Philon reste sans le mentionner alorsque dans son récit l'histoire se trouve également élargie à ce point : après laprière d'Anna, Éli apprend par inspiration divine qu'Anna sera accouchée d'ungarçon — mais tout ce qu'il en fait savoir à la femme c'est que sa prière fut

exaucée (I. 8). D'après Josèphe Flavius, Ichabod, le petit-fils d'Éli naquit ause pt ième mois (An tt . V. 2 : 4). A propos de Moïse, un mid ras h suppose qu 'i lait été né dans des circonstances pareilles13 0 et en y lit encore que chacu n de sprophètes naquit — comme l'affirme aussi le Ps.-Philon — au septième mois.Le même motif apparaît dans le roman arabe d'Antar où la force extraordinairedu fils le plus brutal d'Antar, Khudzruf s'explique par cette croyance générale-ment répandue que si une femme enceinte vivant séparément de son marimet au jour son enfant au septième mois, celui-ci sera beaucoup plus développéet plus fort que de coutume. 131

Auprès des additions objectives, des courts épisodes et éléments légen-daires qui illustrent la conception de l 'auteur sans pour autant s'intégrer dansla structure de l 'œuvre, une nouvelle catégorie des compléments aggadiques estformée par ces renseignements dans lesquels le Ps.-Philon se réfère à une his-toire fort bien connue de la Bible, comme par exemple dans le discours d'Amramà l'histoire de Tamar sans cette fois raconter l'histoire elle-même (IX. 5). Un

, 2 9 Ro sh ha- Sha na l i a , Samol 3 : 52. Sur Isaac : R os h ha-S han a le. Sur Ik ab od :Josephe Flavius : Antiquitates V. 2 — 4 ; MH G II . 13 croit savoi r que chac un des p ro ph è-tes serait né de cette façon.

no Pirgo Rabbi Eliezer, Warszawa 1852, 48.131 B. H e l l e r : Az arab Antar-regény (Le roman arabe d 'An tar) . Bud ape st

1918. 198.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


h i s to r io g r a p h ie e t a g o a d a 407

postérieurs, voire même — et c 'est ce que prouve la tradition postérieure —dans plus d'un cas, c 'est justement le LAB qui servit de base pour les aggadaspostérieures.

Va-t-on donc affirmer que le LAB soit une œuvre de caractère midra-

shiq ue? S'agit- i l d ' un e agga da? Ce problè me du LA B touche bon no mb red' au tr es œuvres. Le mid ras h est — d' ap rè s la concep tion de R. B loch 134

— une œuvre qui a pour point de départ la Bible, en est donc une sorte d'écho,une méditation sur la Bible. Pratiquement, il dérive de la lecture et de l 'expli-cation liturgiques de la Tôra. D'où résultent son but et sa spécialité de genreconsistant celle-ci à éclaircir les passages obscurs et à chercher des analogiesau texte lu. Bien entendu, au cours des explications, s 'y trouvent introduitsdes éléments faisant depuis longtemps partie de la tradition orale ou qui com-portent des actualités (événements historiques). Par la suite des différences de

genre subsistant à l ' intérieur de la Bible, la littérature midrashique se diviseen deux parties : la halaka est l 'explication des passages d'ordre juridique, desarticles de la loi, tandis que l'aggada sert à éclairer les passages épiques (histo-riques, narratifs) .

La formation des œuvres midrashiques est étroitement l iée à la formu-lation du texte biblique — ce qui ne revient pourtant pas à dire qu'antérieure-ment, il n 'ait été écrit de midrash, le Livre des Chroniques canonisé en étantlui-même un. De mêm e, les écrits des prop hète s d 'a prè s la captiv ité co mp or ta ntmaints passages qui sont, eux, l ' interprétation d 'autres passages bibliques. Ceprocessus ayant pris naissance dans le contexte biblique, se poursuit dans lesœuvres postérieures qui ne sont plus canonisées : dans la littérature de sagesse,dans la l i t térature pseudépigraphique (dont nous nous permettons de mettreen relief par sa parenté méthodique et thématique avec le Pseudo-Philon,«Le Livre des Jubilés»), dans les passages bibliques de la ' I ovôaïx f ] 'Ag/aioXoyia

de Josèphe Flavius, dans les textes des rouleaux de la Mer Morte, et aussi dansla version des Septante et , f inalement, dans le Nouveau Testament où, d 'aprèsG. Vermes, chaque forme midrashique serait attestée. 1 3 5 Les œuvres citée nesont pas identiques avec la notion des midrash amoréens et tannaïtiques pos-térieurs. Elles s ' inspirent de la Bible sans en expliquer le texte, leur structure

ne suivant que vaguement celle de l 'Ancien Testament. Mais, malgré la différ-ence de genre par rapport au midrash postérieur, la matière relève du midrash

— ces textes sont, en effet, des formes réalisées de l 'aggada d'avant l 'exégèsepr ét an na ït iq ue et chré tie nne. A la lumière des te xt es cités, la définiti on du gen re

134 R. Bl o c h : Not e méthodologiq ue pour l'ét ude de la littératu re rabb ini que.R S R 4 8 ( 1 9 6 5 ) 1 9 4 — 2 2 7 .

135 G. Ve rm es 1970. 8. Pour les midras h pri mit ifs : R. B l o c h : CahSi 8 (1954)9 — 34. E. J. Ei k er m a n n : The Septuagint as a Trans lati on. P AA JR 28 (1969) 1 — 39 ;W. B a c h e r : Die Proö mien der alten jüdischen Homilie. Leipzig 1913; G. V e r m e s :

Haggadah in the Onkelos Targum. JSS 8 (1963) 159 — 169; G. W i d e ng r e n : Tradit ionand Literature in Early Judaism and the Early Church. Numen 10 (1963) 42 — 83.

Acta Antiqua Academiae Scientiarum Hunqarirar 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


408 I . FRÖHLICH

de Faggada et du midrash, sera, elle-même, modifiée, pour comprendre désor-mais non seulement les explications de texte proprement dites, mais aussi cesoeuvres d'inspiration biblique traitant et élargissant la matière de la Bible sousun aspect spécial, œuvres qui furent créées au cours du processus accompagnant

l'établissement précis et la formation du canon définitif des Livres de l'AncienTestament. C'est ce processus qui représente l 'histoire de genre de l 'aggada,ensuite sa division en exégèse chrétienne et aggada, ces dernières passant pourdes formes figées du genre.

Cepe nda nt, les exégèses d' av an t les explications tann aït iqu es e t chré-tiennes, comportent déjà — même si ce n'est sous la forme postérieure du mid-rash — les caractéristiques essentielles des midrash. Si, en se basant sur leLAB, nous cherchons à définir la mesure dans laquelle les interprétations demotifs du texte obéissent-elles aux règles du Hillel, celles-ci prescrivant les

caractéristiques de la halaka et aussi celles de l'aggada, pareille par ses métho-des à celle-là, nous observons plusieurs traits communs. Le Ps.-Philon a souventrecours aux analogies (comme par exemple, dans le discours cité ci-dessus d'Am-ram où est rappelé l'exemple de Tamar, IX. 5). On y retrouve des passagessemblables à d'autres passages bibliques — et c'est là une caractéristique fon-damentale de la composition du texte. Cette ressemblance n'est bien entendupas telle qu'elle apparaît dans les exégèses : le Ps.-Philon ne fait que rendrereconnaissables certaines ressemblances, le texte ne les précisant nulle part,bref, cette méthode se trouve à mi-chemin entre le texte biblique et l'explica-tion aggadique.

En même temps, la méthode du Ps.-Philon laisse déjà entrevoir l'exégèsechrétienne dont les débuts apparaissent en effet dans l 'activité des apôtresexpliquant, eux, les doctrines de Jésus à travers le texte de l 'Ancien Testament.C'est dans les interprétations d'Origène que prend une forme définitive laméthode explicative, allégorique des exégèses chrétiennes,136 l 'explication litté-raire, morale et mystique de la Bible se poursuivant dans l 'activité d'Ambroiseet d'Augustin. Le combat de David et Goliath qu'on lit chez Augustin et quiest à interpréter symboliquement (dans le sens du combat de Jésus avec l'es-prit malin)137 p eu t avoir pou r modèle l'hi stoi re analogue rel atée pa r le Ps.-

Philon, où on devine les débuts de l 'interprétation symbolique dans la descrip-tion de la lutte de David aidé par l'ange.

Somme toute, le LAB sera rangé parmi les aggadas primitives. L'analysede sa structure et de son texte nous permet d'affirmer que le texte comportenon seulement les débuts des règles logiques des midrash postérieurs, mais aussiles spécialités de genre de ceux-ci. Cette manière de composition rappelée aucours de l'analyse de structure, et qui consiste à établir des analogies et à insé-

136 H . d e Lu b ac : E xégès e médiévale. Pa ri s 1959. I. 171 — 219.13 ' Augustin : Sermo XX XI I . 6 - 6 .


8/15/2019 ACTAANTIQUA_28 (1980)


HIST ORIO GRAP HIE ET AGGADA 4 09

rer des motifs de répétition et ceci avec la composition d'analogies ou de sériesanalogiqes, sera au fond à considérer comme le début de genre des midrashhomilétiques. Cependant, la matière est ici plus riche que dans les midrashrappelés. Non seulement elle comporte les passages destinés à lecture solennelle

du Deutéronome et des Livres des prophètes et leurs parallèles, mais elle re-pré sen te le pe nd an t de l'enti ère mat ièr e biblique, compr ise et trai tée pa r leLAB.138

Les analogies du LAB sont déjà marquées de la caractéristique postérieuredes midrash homilétiques. C'est que les passages mis en parallèle, dérivent,pour la plupart, non du Pentateuque, mais des livres hagiographiques.

Les additions qualifiées dans notre analyse, de compléments aggadiques,marquent non pas en elles-mêmes les passages aggadiques du LAB, mais ellesreprésentent l 'autre groupe de genre monumental de la tradition midrasliique,

celui du midrash explicatif (Auslegungsmidrasim) 139 qui, lui, explique le textesuivant l'ordre des vers en y ajoutant des compléments, des épisodes. Les mid-rash explicatifs sont, pour leur plupart, de caractère halachique — et sansêtre eux-mêmes les traits caractéristiques de l 'œuvre du Ps.-Philon confèrentpar leurs compléments, une couleur spéciale au texte, et pour ce qui est de leurpopularité, la transmission postérieure est là à en témoigner.

Budapest.

1 3 8 H . STRACK 192 1. 1 97 .1 3 9 H . STRACK 19 21. 197 .

Ar ta Antigua Academiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


T. NAGY

DIE ZWEI L. NERATII PRISCIUND NERATIUS PRISCUS DER JURIST

I

Eine sechszeilige Bauinschrift aus Saepinum, die mit Th. Mommsen'sErgänzungen in das Corpus Inscriptionum Latinarum aufgenommen wur de 1

und die seither als die zuverlässige epigraphische Grundlage für die Beurteilungder La uf ba hn en der in dieser Insc hri ft erw ähn ten zwei L. Neratii Prisci gegolte n

hat, schien es unzweideutig bezeugen, daß von diesen zwei Senatoren derÄltere noch die ungeteilte Provinz Pannónia, der Jüngere dagegen nach-einander schon die Provinzen Pannónia inferior und superior verwaltet haben.Mit besonderer Rücksicht auf diese Angaben unserer Inschrift wurde diepannonische Statthalterschaft des älteren L. Neratius Priscus in der Fach-li te rat ur ent weder in die Jah re zwischen 94 —97,2 oder in jene zwischen102 —106,3 bzw. 102 —1054 während die Legation des jüngeren homonymenSenators in Unterpannonien in die Spätjahre der Regierung Traians, 5 oder indie Anfangsjahre der Regierung Hadrians,® und jene in Oberpannonien ent-weder in die frühere,7 oder in die spätere8 Regierungsjahre Hadrians versetzt.

1 CIL I X 2466. Dan ach D. 1034, mi t Weglassun g der ergänz ten En df or me l,[. . .s.p.f.):

L. Neratius L. f . [Vol. Priscus] | praef. aer. Sat., cos., l[eg. pr. pr. prov.] | Pannónia. L. Neratius L. f . Vol. Pr[iscus ? f., cos.) \ VII vir. epul., leg. Aug. pr. pr. P[annonia] | infe-riore et Pannónia [superiorе .).

1 W. REIDINGER, Die Statthalter des ungeteilten Panno nién und Oberpannon iens,An ti qu it as , R. 1., B. 2., Bonn 1956, 58 f. Vgl. A. MÓCSY ». v. « Pannónia», R E Sup pl .I X (1 9 6 2 ) , 5 8 9 .

3 So schon E. RITTERLING, Die Statthalter der pannonischen Provinzen, AEM. 20(1897), 14 f. Ähnlich A. DOBÓ, Die Verwaltung der röm. Provinz Pannonién von Augustusbis Diocletianus, Budapest 1968, 41 f.

8 R. SYME, Gover nors of Pan nónia, Gnomon , 29 (1957), 515 ff. = Dan ub ian Pa pe rs ,

Buch ares t 1971, 177 ff., bes. 185 f. (zit. im sp ät er en na ch diese m Samme lba nd) , der na chdem Vorgang E. GROAG'S, s.v. «Metilius», RE XV (1935), 1401, n. 19 den P. MetiliusNepos (е м //. 103), als den immit telb aren Nac hfolg er des L. Ner ati us Priscus d. Ä. fürdie Jahre 105/106 vorgeschlagen hat. Ihm folgt W. ECK, Senatoren von Vespasian bisHadrian, Vestigia, В . 13., München 1970, 160 f.

S E. GROAG, S.V. «Neratius», R E X VI (1936), 2547 f., n. 13. Da fü r wa r auchW . R E I D I N G E R , а . O. 70 .

8 E. RITTERLING, Die legati pro praetore von Pannónia inf. seit Traian, ArchÉrt.41 (1927), 283 f. (um 119 ff.). J. FITZ, Legati Augusti pro praetore Pannoniae inferioris,Ac ta An t. 11 (1963), 253 f. (zwischen 11 8-1 20 ), vg l. auch Alb aR . 11 (1970/1971), 146.R. SYME, DP, 227 und 234 (from 119-). W. ECK, а . O. 186 f. st im mt e der Datier ung vo nJ . FITZ ZU. Á. DOBÓ, а . О . 48 f. läßt die Datierungsfrage offen.

7 W . R E I D I N G E R , а . O. 69 f . (1 20 f f . ) . Ä h n l i c h Á . D O BÓ , а . О . 1 25 .8 E. RITTERLING, Statthalter (Anm. 3.) 18 f. (zweite Hälfte der hadrianischen Zeit).

R . SYME, D P 186 (before 133). J . FITZ, а . O. 254 (before 130). W. ECK, а . O. 230 l eg tsich nicht fest.


8/15/2019 ACTAANTIQUA_28 (1980)


4 1 2 T. NAGY

Im letzteren Jahrzehnte kündigte man jedoch wichtiges neues Material an,das geeignet ist, die bisherige teils unsichere Zeitordnung der Laufbahn dieserzwei Senatoren vom Grund aus zu modifizieren.

Zuerst wurde von einer neuen Inschrift aus Saepinum benachrichtigt,

die den cursus bonorum des jüngeren L. Ne ra tiu s Priscus enthä lt. 9 Aus dieserInschrift konnte dann B. Thomasson durch das freundliche Entgegenkommenitalienischer Kollegen unlängst den nachfolgenden Textteil mitzuteilen : 10

l[eg. Aug. pr. pr. in ]a inferiore et Pannónia.

Schon etwa früher, wurde auch die anläßlich dieser neuen Inschrift dringendenötig gewordene Revision der eingangs erwähnten Bauinschrift aus Saepinumvon G. Camodeca durchgeführt 1 1 und der revidierte Text, wie folgt, vorgelegt :

L. NeratiusL. f . [Vol(tinia) Priscus] | praef(ectus) aer(arii) Sat(urni), co(n)s(ul),l[eg(atus) pr(o) pr(aetore) in provincia)] \ Pannónia.

L. Neratius L. f . Volftinia) Pr[iscus, q(uaestor), tr(ibunus) pl(ebis), pr(aetor),co(n)s(ul),] I Vllvir epul(onum), leg(atus) Aug(usti) pr(o) pr(aetore) i[n pro-vincia) Germania] | inferiore et Pannónia.

Das wesentliche Neue, worüber uns die obigen zwei Inschriften belehren,betrifft vor allem die konsulare Laufbahn des jüngeren L. Neratius Priscus.

Seine Legation vor 107 in der noch ungeteilten Provinz Pannónia bezeugendie beiden Inschriften in vollem Einklang miteinander. Vor dieser Legationwar unser Senator Statthalter in einer « provincia . . . inferiore». Der Vollnamedieser Provinz fehlt in beiden Inschriften. Vor der administrativen TeilungPannoniens etwa im Winter 106/712 existierten jedoch im römischen Reichbekanntlich nur zwei Provinzen, die in ihren Namen das komparative Adjektiv,inferior, getr agen hab en und zwar Ge rm an ia inf. und Moesia inf. G. Camodecaentscheidet für die erstere Provinz. In der Tat ist kaum eine andere Lösung

9

S. die kn ap pe Mitteilun g von V. Ci a n f a r a n i , Fast i Arch. 22. 1967 (1971),3 4 4 , П . 5 03 0 .10 В . THOMAE, L P I. 2 (1979), п ° 18, p. 7, wo be mer kt er noch u . a . : «Torellii

mecum communicaverunt, post verba 'et Pannónia' nihil incisum esse.»11 G. Ca mo dec a, L a carrie ra del giu ris ta L . Neratius Priscus, Att i dell 'Ac cademi a

di scienze morali e politiche Napoli, 87 (1976), 19 ff., bes. 24.12 In d er neueren L ite ra tur wird die Zweiteilung der Pro vinz im allgemeinen in

die Zeit unmittelbar nach dem Ende des 2. Dakerkriegs verlegt. J. Fitz, а . O. 246 f.R. Sy mb, DP 227 (u. a.), G. A x f ö l d y , Die Legions legaten der römis chen Rhe ina rme en,E S 3, 1967, 23 f. W. Ec k , Senat oren , 9. G. Ca mo de ca , а . O. 28. - An da s J . 103 hälts ich A. Möcsy nach dem Vorgang W. Reidinger 's (а . O. 18 f.) fe st: Pan nón ia and Upp erMoesia, London and Boston 1974, 92 — was aber nach der revidierten Lesung der saepi-natischen Bauinschrift der Neratier (D 1034) kaum aufrecht erhalten werden kann.Eine Neubehandlung der prätorischen Laufbahn Hadrian's [s. História, 30 (1981), im

Druck] hat mich zur obigen, im Text angegebenen Datierimg, Ende 106/Anfang 107geleitet.


8/15/2019 ACTAANTIQUA_28 (1980)


DIE ZWEI L. NERATII PRISCI 413

möglich, insofern es zu bestätigen läßt, daß der jüngere L. Neratius Priscusmit dem gleichnamigen Suffektkonsul des J. 97. identisch ist. In diesem Fallkonnte nämlich dieser Senator nach seinem Konsulat und vor seiner panno-

nischen Legation, die er wohl schon vor Ende 102 angetreten hat,

13

nur dieProvinz Germania inferior verwalten, wo in den Provinzialfasten nach 90 undvor 101/102 eine größere Lücke sich zeigt,14 nicht aber die Provinz Moesiainferior, wo alle Statthalter aus dem Zeitraum zwischen 97 und 102 bekanntsind.15 Die angenommene Identität des jüngeren L. Neratius Priscus mit demhomonymen Suffektkonsul des J. 97. unterliege jedoch nur dann keinem Zwei-fel, wenn aus der senatorischen Familie der Neratier von Saepinum das höchsteAmt unte r Dom iti an und Ner va von L. Ner ati us Marcellus abgesehennur allein die zwei Neratii der revidierten Bauinschrift bekleidet hätten.Die auf diese Jahrzehnte bezüglichen Konsulfasten bezeugen nämlich nur

zweimal den Konsulat je eines L. Neratius Priscus und zwar in den Jahren87.16 und 97.17 Es scheint nach diesem Tatbestand wirklich auf der Handliegen, daß der ältere L. Neratius Priscus mit dem homonymen Suffektkonsuldes J. 87., während der Jüngere mit jenem des J. 97. identische Persönlich-keiten sind und demgemäß der letztgenannte Senator in den ersten Regierungs-

jahren Traians die Provinz Germania inferior, danach aber die ungeteilteProvinz Pannónia verwaltet hat.

Diese einfache Lösung betrübt aber ein dritter Neratius Priscus derbekannte Jurist, der einmal ebenfalls Suffektkonsul gewesen war18 und zwar

kaum bedeutend früher oder später als sein Bruder L. Neratius Marcellus( s u f f . 95).19 Für diese drei Neratii Prisci, die alle drei einmal in den letztenJahrzehnten des 1. Jh. die Fasces geführt haben, sind jedoch, wie es im Obigenschon angemerkt wurde, in den erhaltenen Konsulfasten nur zwei Plätze

13 Sein Vor gän ger , Q. Gliti us Atil ius Agricola, ist a m 19. No ve mb er 102 no ch inder Prov inz bezeu gt (CIL XVI 47), am Id us Jan ua r 103 (beleg t ist zwar erst am 19.Januar 103: A. Degrassi, FC 31) hat aber Agricola seinen zweiten Suffektkonsulat wohlschon in Rom und nicht in absentia in der Provinz angetreten.

14 Vgl. W. Ec k , Sen ato ren , 141 ff., 242, der aber noch mi t der möglichen S ta tt -halterschaft des L. Licinius Sura zwischen 97/98 und 100/101 gerechnet hat. Diese Mög-

lichkeit hat aber inzwischen nach der vom M. Speidel vorgelegten Inschrift aus Gram-moni [ JR S 60 (1970), 76 ff. = AE 1969/1970, 583] ihre Ber ech tig img eingebü ßt. Fü r dieEinzelheiten s. die Argumentierung von G. Camodeca, а . O. 25 f.

15 So bezeugt sind : im J an ua r 97, (L.) Iul. Ma r[ in us i] ( CIL XV I 41); am 14.August 99, Q. Pomponius Rufus (CIL XVI 44 und 45); am 25. Oktober 100, M'LaberiusMaximus (PIR 2 L 9), den wohl noch vor End e 102 Q. Fa bi us P os tu mi nu s abgelöst h at .P I R 2 F 54. Vgl. W. Ec k , а . O. 160. G. Ca mo de ca , а . O. 25, An m. 44.

16 N. A l f i e r i , I fast i consolari di Poten tia, Ath ena eum , 26 (1948), 110 ff. = A E1949, 23. A. Degrassi, FC 26.

17 G. B a r bi er i , Nu ovi fra mm en ti dei Fas ti Ostiensi, Stud i Romani, I (1953),366 = AE 1954, 220. S. au ch L. Vi dm an , Fa st i Ostienses, P r a h a 1957. 17 und zul etz t F .Zevi, Consoli del 97 d. Cr. in due frammenti giä editi dei FO., Listy Filologické, 96 ( 1973),1 2 5 ff., bes. 137 = A E 1 976 , 13 2 .

18 Dig. 1.2.2, 53.19 Einige Anga ben üb er die Inte rval le der Konsul aten zweier Brüder find et der

Loser dieser Zeilen unton, S. 461, Anm. 68.


8/15/2019 ACTAANTIQUA_28 (1980)


4 1 4 T. NAGY

vorhanden, ein im J. 87 und ein anderer im J. 97. Diese Schwierigkeit wurdevon G. Camodeca mit der nicht näher begründeten Annahme umgegangen, daßder Jurist mit dem jüngeren L. Neratius Priscus identisch ist und so der gleich-namige Suffektkonsul des J. 87. nur mit dem älteren, während jener des J. 97.nu r m it dem jüngeren L. Nera tiu s Priscus, d . h. mit dem Jur is te n identischsein kann.

Diese angenommene Identität des Juristen mit dem jüngeren L. NeratiusPriscus ist aber mehr als fraglich. Zunächst, wir kennen nicht einmal denVornamen des Juristen. In den gewiß auf ihn bezüglichen schriftlichen Quellen,vor allem in den Digesten, wird er nie mit tria nomina genannt, sondern nurals Neratius Priscus, bzw. Priscus Neratius, oder schlicht nur als Neratius. 20

Unser Rechtsgelehrte könnte also höchstens, müßte aber nicht unbedingt den Lucius-Y orname fü hr en . Diese r Um st an d ma ch t schon an und f ü r sich berech-

tigtes Bedenken gegen seine Identifizierung mit dem jüngeren Lucius NeratiusPriscus.

Eine weitere Betrachtung verstärkt nur die Schwierigkeiten einersolchen Identifizierung. Nach der Veröffentlichung der Cursusinschrift des jüngeren L. Neratius Priscus aus Lar inum2 1 ist es nämlich unzweifelhaftgeworden, daß dieser Senator, wie auch sein gleichnamiger Vater zur plebeji-schen Schicht des Senatorenstandes gehört haben. Ebenso steht es aber von jeher fest, daß der Bruder des Juristen dagegen ein Neupatrizier gewesen war.22

Wenn nun jetzt nimmt jemand die Identität des Juristen mit dem jüngeren

L. Neratius Priscus an, der muß notgedrungen irgendeine Adoptionsart postu-lieren, um die Zugehörigkeit des Rechtsgelehrten zur plebejischen Nobilität,während jene seines Bruders zum Patriziat verständlich zu machen. DiesErfordernis erkennend war es also ganz logisch, daß nachdem die frühereFassung einer Adoption23 in der Beleuchtung des neuen Inschriftbestandes sichals überwundene herausgestellt hat, zur weiteren Aufrechthaltung der Iden-tität eine neue Version der Adoption vorgelegt wurde.24 Diese läßt sich, wiefolgt, kurz zusammenzufassen :

Der Jurist und sein Bruder waren die Söhne des älteren L. Neratius

Priscus (suff. 87). Der Erstgeborene L. Neratius Marcellus wurde dann vonseinem vermeintlichen Onkel, M. Hirrius Fronto Neratius Pansa ( s u f f . 73?)adoptiert und bald darauf vom Kaiser Vespasian im J. 73 oder 74 unter diePatrizier adlegiert. Der jüngere Sohn, der Jurist, und sein Vater blieben dage-gen weiterhin Plebejer.

20 S. die zusammengestel l te Neratius- Zitaten in der Textausgab e von P. Kr u e g e r —Th. Mommsen, p. 938. S. noch, V. Hadr. 18,1: Neratius Priscus.

21 O. F r e d a , Epi gr afi inedite di Lari no, Contributi de ll 'I stit . di Filol. Class.Milano, I 1963, 238 f. = AE 1969/1970, 152. Die letzten Zeilen emendiert jetzt von G.Ca m o d e c a , а . O. 30, An m. 75.

22 D. 1032.23

R. Sy me, Th e Ju ri st N era tiu s Pris cus , He rme s, 85 (1957), 480 ff., bes. 491 f.24 G. Ca mo de ca , а . O. 24, 32 f.


8/15/2019 ACTAANTIQUA_28 (1980)


DI E Z WE I L. N ER AT II PR I SCI 4 1 5

Die Adoption des Marcellus durch Hirrius Fronto läßt sich jedoch nichtbeweisen, ja das meiste spricht dagegen. In jeder Form einer Adoption25

mußte nämlich der Adoptivsohn nach der eingebürgerten Sitte den Vollnamen

oder zumindest einen Namensteil seines Adoptivvaters aufnehmen,

2

® mitmöglicher Beibehaltung seines vorigen Namens, bzw. Namensteilen. Wenn alsoder Adoptivvater M. Hirrius Fronto Neratius Pansa hieß, dann wäre es zuerwarten, daß der Adoptivsohn ebenfalls ein Polyonymer gewesen war, 27

dessen Vollname etwa als M (oder mit möglichen Beibehaltung des vorigenVornamens, L) Hirrius Fronto Neratius Marcellus geläutet hat. In den aufunserem Marcellus bezüglichen schriftlichen Quellen, in den Konsulfasten unddem Militärdiplom von Malpas,28 trägt aber dieser Senator nur die schlichtentria nomina: L. Ner ati us Marcellus. In den Konsullisten und Mi litärd iplomenkommen zwar die Konsuln, bzw. die Statthalter meist nicht mit ihren Voll-

namen vor.29 Eben darum sind die Angaben dieser Dokumente für die Beur-teilung der evtl. Vollnamen der in diesen Quellen benannten Amtsträger nichtimmer richtungsgebend. Wie man es auch nimmt, im Fall des Marcellus sindnur die tria nomina bezeugt, die aber keinen Rücks chluß auf seiner verm ein t-lichen Adoption durch Hirrius Pansa zulassen. Das beste, von dieser ganzhypothetischen Annahme ein für alle Mal abzusehen.

In dem ganzen komplizierten Fragekomplex der Familienverhältnisseder Neratier wäre zurzeit die meist beruhigende Lösung mit zwei verschiedenenZweigen innerhalb dieser senatorischen Familie aus Saepinum zu rechnen,

von denen die eine, zu der Marcellus und sein Bruder, der Jurist angehörthaben, von Vespasian und Titus im J. 73 oder 74 unter die Patrizier aufgenom-

25 Vgl. Dig. 1.7,1 : quod adoptionis п о т о п eat quidem generale, in duos autem speciesdividitur, quarum altera adoptio similiter dicitur, altera adrogatio. adoptantur filii jamilias,adrogantur qui sui iuris sunt. Ähnlich schon Gai., Inst. 1,99.

26 Zur Fra ge mit kon kret en Beispielen s. B r . Do e r, Die römisc he Nam eng ebu ng,Stuttgart 1937 (Reprint, Arno Press New York 1976), 74 ff.

27 In der frühere n Litera tur ta uch te a ufg run d eines Insc hrif tfra gment s aus Saepi-num (CIL IX 2613) in der Tat schon einmal jene kühne Gedanke auf, daß Marcellus warein Poly ony mer un d hiess vielleicht L. Ner ati us [Marcellus] Iun ius Macer. Gr oa g, R EXVI, 2642. Die Zusammengehörigkeit dieses Fragments und der seit B. Borghesi 's Vor-

gang allgemeinen dem L. Neratius Marcellus zugewiesenen akephalen Inschrift ausSaepinum (D 1032) hat sich aber bisjetzt nicht bestätigt.28 Cf. AE 1940, 92, CI L VI 527, bz w. X V I 48.29 Es ist unnöt ig, diese wohl beka nnte Ta tsa che bezüglich der Kons ulliste n mi t

Belegen zu bezeugen. Die von den Militärdiplomen befolgte Praxis kann man aber hin-reichend mit einem einzigen, doch m. E. sehr lehrreichen Beispiele beleuchten.

Cn. Pinarius Aemilius Cicatricula Pompeius Longinus hat in den Amtsjahren85/86 und vielleicht noch 86/87 die Provinz Iudaea, zwischen 93/94 imd 96/97 Moesiasuperior und danach unvermittelt die Provinz Pannónia etwa bis zur Mitte 98 verwaltet.Aus seinen Amtszeiten kennen wir 4, auf die Auxiliarheere dieser Provinzen bezüglichenMilitärdiplome. In den frühesten von diesen, welches das Auxiliarheer der ProvinzIudaea betrifft (CIL XVI 33), führt unser Senator nur die schlichten tria nomina : Cn.Pom pei us Longinus. Die fü r das obermoosische Auxiliarheer ausgestellten zwei Dipl ome(CIL XVI 39 un d M M. R o x a n , Ro ma n Milit ary Diplo mas, Lon do n 1978, 6) lass en au s

dem Vollnamen dieses Senators das nomen Pin ari us weg. Allein in dem pan non isc henDiplom von Felsőnána (CIL XVI 42) lesen wir den Vollname dieses Polyonymers.


8/15/2019 ACTAANTIQUA_28 (1980)


416 T. NAGY

men wurde, während der andere Zweig der Familie, deren Representantenim öffentlichen Leben unter den Flaviern und dem Kaiser Traian der ältereund der jüngere L. Neratius Priscus gewesen waren, weiterhin Plebejergeblieben sind. Diese ganz offensichtliche Lösung, die, wie ich es jetzt sehe,schon vor einigen Jahren aufgeworfen wurde, 3 0 macht die verschiedene undunbeweisbare Identifizierungs- und Adoptionstheorien überflüssig.

Gegen die Id en ti tä t spricht zuletzt auch eine in dieser Zus ammen hang bes.wichtige Angabe aus der Lebensgeschichte und Tätigkeit des Juristen NeratiusPri scu s. Es ist die Er wä hn un g von der akt ive n Teilna me unseres Rechtsgelehr-te n gemeinsam mi t einem anderen Jur ist en, name ns Titius Aristo, an einem Kog-nitionsverfahren, das von dem obersten Gerichtshof Traians (consilium Traiani)im Beisein des Kaisers, wohl im Rom beurteilt wurde. 31

M. Ulpius Traianus traf nun nach der Übernahme des Prinzipats erst im

Herbst 99 in Rom ein, wo er bis 25. März 101 blieb, als er gegen die Daker auf-brach.32 Sein Rückkehr von dem Kriegsschauplatz in die Hauptstadt erfolgteet wa im H erb st 102. De r P rinceps verweilte da nn — von kurzweiligen Reisen in-nerhalb Italiens abgesehen — bis 4. Juni 105 in Rom, 33 da zog er zum zweitenMal gegen die Daker ins Feld. Der siegreiche Herrscher kehrte im Sommer 107wieder nach Rom zurück. Die späteren Daten für die Aufenthaltsorten Traianshier anzuführen, ist unnötig, da die im obigen wachgerufenen liefern schon einengenügenden chronologischen Rahmen für die Nächstfolgenden.

Die spätes te N ach ri cht über den Lebensla uf des Titiu s Aristo, Mitglieds

des von Traian präsidierten kaiserlichen Gerichtshofs stammt nämlich auseinem im J. 105 an Aristo gerichteten Briefe des Plinius. 34 In diesem Briefersucht Plinius die Begutachtung des Aristo über seine Rolle und Stellung-nahme in jener Untersuchung, die für die Aufklärung der Todesumstände deswährend seiner Amtszeit, am 24. Juni 105 in seiner Wohnung leblos gefundenenSuffektkonsuls, Cn. Afranius Dexter35 im Senat durchgeführt wurde. Wennauch das 8. Buch der Epistularum, das dieses Brief des Plinius enthält, miteinigen Jahren später veröffentlicht wurde,36 ist es kaum denkbar, daß Pliniusdie Begutachtung des von ihm hochgeschätzten Juristen erst mit Jahren

später nach dem obigen Ereignis und nicht gleich nach der Beendigung dersenatorischen Untersuchung einzuholen bestrebt hat. Der Lebenslauf des

30 L. S ch um ac he r , Prosopographische Unters uchu ngen zur Besetzung der vierhöhen römischen Priesterkollegien im Zeitalter der Antonine und der Severer, Mainz1973 222 f.

3 1 Di g. 37. 12,6 . Cf. TH. MoMMSEN, G. Sehr. 2.22, Anm. 6.33 Fül- diese und die nächtsfolgenden Daten s. R. Hanslik, M. Ulpius Traianus,

R E Sup pl. X (1968), 1050 ff.33 R. H a n s l i k , а . O. 1075 gibt irrig den 6. Ju n i 105 an. Im F rg . XI X. Z. 5 der FO

( l . vi dm an , а . o . 18) l iest man aber: Pr. nőn. Iún.34 Plin., Е р . 8,14.35

Das Dat um gib t das Frg. XIX , Z. 6 f. der FO an.36 A. N. Sh e r w i n - W h i t e , The Lett ers of Pliny, Ox ford 1966, 41. Cf. 461.


8/15/2019 ACTAANTIQUA_28 (1980)


DIE ZWEI L. NERATII PRISCI 4 1 7

Titius Aristo läßt sich demnach wohl höchstens nur bis zum dritten Viertel105 verfolgen. Als Titius Aristo noch die Vorlesungen des C. Cassius Longinus( s u f f . 30), des einflußreichen Rechtsgelehrten unter Claudius und bis 65 unterNero gehört hat,3 7 war er im J. 105 gewiß schon bejahrt und stand allem

Anschein nach schon am Ende seiner Laufbahn. 3 8 Seine mit dem JuristenNeratius Priscus gemeinsame Tätigkeit am kaiserlichen Gerichtshof unterTraian läßt sich allenfalls quellenmäßig nur bis 105, für die Jahre 99—101und (oder) 103—105 unterbauen. Der jüngere L. Neratius Priscus verwalteteaber eben in diesen Jahren nacheinander zwei kaiserliche konsulare Provinzenund konnte folglich kaum während seiner hiesigen Amtszeiten als consiliariusam obersten Gerichtshof tätig sein. Er ist also nicht der fast gleichnamigeJurist, den wir neben ihm und dem älteren L. Neratius Priscus als den drittenfast homonymen Senator aus dieser Zeit in Evidenz halten müssen.

Für die Konsulaten der obigen drei Neratii Prisci sind aber bis jetztnur zwei Daten in den Konsulfasten überliefert. Eben darum wäre es zurzeitnoch verfrüht, den älteren L. Neratius Priscus bestimmt mit dem gleichnamigenSuffektkonsul des J. 87., den Jüngeren aber mit jenem des J. 97. ohne Weiteresidentifizieren. Man muß also zuerst noch genauer umsehen, wann der dritteNeratius Priscus das höchste Amt bekleiden konnte. Und wenn diese Nach-forschu ng zur Erfolg e f üh r e und demzufolge sich herausstelle, daß der Ju ri stweder im J. 87, noch im J. 97 Konsul gewesen sein konnte, dann werden dieim obigen noch mit Fragezeichen versehenen Behauptungen in der Tat zwin-

gend, daß nämlich die zwei L. Neratii Prisci der revidierten Bauinschrift ausSaepinum den Konsulat im J. 87, bzw. 97 bekleideten und der Jüngere vonihnen nach seinem Konsulat zwischen 97/98 und 100/101 die Provinz Germaniainferior, danach aber zwischen 102/103 und 105/106, bzw. 104/105 die nochungeteilte Pannónia verwaltete.39

I I

Fast vor achzig Jahren hat O. Benndorf von einem 68 cm hohen und25 cm breiten Quaderstein, der auf dem Gebiet der antiken lykischen Stadt

Tlos in ein neuzeitliches Gebäude sekundär erbaut wurde, den Rest einer vier-zeiligen Inschrift veröffentlicht,4 0 die nachdem in das Berliner Corpus der

37 Dig. 4.8,40: nam et Cassium audisse se dicentem Aristo ait etc. Über C. CassiusLonginus s. PIR 2 С 501. W. K u n k e l , Her ku nf t und soziale Stellung der römischenJuris ten2 , Graz —Wien —Köhl 1967, 130f. D. Li eb s, Recht ssch ule n un d Rec hts un ter ric htim Prinzipat, ANRW, II. 15, Berlin-New York 1976, 212.

38 Th . Mommsen, G. Sehr. 2,21. W. Ku n k e l , а . O. 141 f. Т ы . M a y e r - M a l y , s . v .«Titius Aristo» , R E Su pp l. I X (1962), 1395 f.

39 Wenn die «maxima provincia», deren Ver walt ung zu übernehmen P. Metilius Neposin der ersten Hälfte des J. 105 schon in Begriff war (Plin., Ep. 4.26,2) beziehe sich auf seineLega tion in Pan nón ia (R. Syme , D P 185 f.), da nn blieb L. Ne ra ti us Pri scu s nu r et wa bis zu rMit te 105 in dieser- Provi nz. Gegen diese let zter e Ans ich t spr ech en abe r and ere Grü nde , diein der am End e dieses Aufs atze s angezeigten Arbei t eingehender erö rt er t werden.

40 O. Benndorf, WS 24 (1902), 250, Anm. 1.


8/15/2019 ACTAANTIQUA_28 (1980)


418 T. NAGY

griechischen Inschriften,4 1 wie auch in die von R. Cagnat besorgte Sammlungder auf die Römerherrschaft bezüglichen griechischen Inschriften4 2 Aufnahmefa nd , zulet zt aber in der maßge bende n Wiene r Ausgabe der klein asiatische rInschriften in dem nachfolgenden revidierten Textgestalt 43 abgedruckt wurde :

. . . [, vlov xov I ôixaioô[ôxov Aovxíov | Neoaxí\ov ÜQiaxov, | TXcoècov г / [ßovXr/ xal r) ye I Qovaí[a.

Von allen Herausgebern wurde der Neratius der obigen Inschrift, wenn auchmeist mit gewissem Vorbehalt, mit dem L. Neratius Priscus pater, dieser abermit dem fast gleichnamigen Jurist identifiziert und dessen lykische Statt-halterschaft in einer näher nicht festgelegten Zeit in Evidenz gehalten. Ähnlichbeurteilte unsere Inschrift die zeitgenössische prosopographische Literaturetwa bis zu den fünfzigeren Jahren.4 4 W. Reidinger hat dann mit einem Schritt

noch weiter gegangen und versuchte die lykische Legation dieses Neratius,den sonst auch er als mit dem Juristen und dem älteren L. Neratius Priscusidentische Persönlichkeit beurteilte, auf die Jahre zwischen 84 und 87 zubestimmen.4 5 Die Unhaltbarkeit dieser Datierung, wie auch die Grundlosigkeitder Identifizierung des Neratius der Inschrift aus Tlos entweder mit dem älte-ren, oder mit dem jüngeren L. Neratius Priscus der Bauinschrift aus Saepinumhat dann R. Syme erwiesen, der seine kritische Bemerkungen letzten Endesdarin zusammengefaßt hat, daß es das Beste wäre, bezüglich des Juristen vondem Neratius der lykischen Inschrift künftig ganz abzusehen. 46 Diesem ableh-

nenden Standpunkt schienen zwei zeitlich dicht darauf folgenden Mitteilungenvöllig Recht zu geben. Zuerst wurde aus einer unpublizierten Inschrift vonXanthus der Name des [M. 4Q\QLOV 0gôvxœvoç Negaxío[v Ilavaá) bekannt-gegeben,47 wodurch die lykische Legation dieses Neratius einen einwandfreienBeleg erhielt. Aufgrund dieser neuen Belehrung wurde dann in einer zweitenMitt eil ung die besagte In schri ft von Tlos ebenfalls auf den Nam en des \M. 'Iggiov0QÔVXCÛVOÇ ] I Negaxí[ov Ilavaá] ergänzt48 und diese Ergänzung hat eine allge-meine Zustimmung gefunden.49 So hätte also die Provinz Lycia und Pamphyliaunter den Flaviern aus der senatorischen Familie der Neratier von Saepinumeinzig nur M. Neratius Pansa ( s u f f . 73 ?) verwaltet.

41 CIG I I I 4240b.42 I G R III 1511.43 Т А М I I 568.44 P I R N 46. E. G r o a g , s. v . Nera tiu s, R E XV I (1935), 2547, n. 13. D. Magie,

Roman Rule in Asia Minor, II. Princeton 1950 (Reprint, Arno Press New York 1975),1599.

45 W. Re id i n g e r , а . O. (Anm. 2), 58.46 R . Sym e, He rm es , 1957, 486 f. Vgl. S EG 19 (1963), no 868 .47 J . et L. R o b e r t , Bull. 1958, no 294.48 J . et L. R o b e r t , Bull. 1959, no 112.49 W. Eck , Die Leg aten von Lyk ien un d Pamp hylien u nt er Vespasian, ZPE 6

(1970), 65 ff . Idem, s . v. «Nerat ius», RE Suppl . XIV (1974), 283 f . , no 10. В . Т н о м а е ,

S PQ R, Gothobu rgi 1975, 43 f. Idem , LP II. 2 (1977), no 30, p. 4. В . K r e i l e r , Die St att-halter Kleinasiens unter den Flaviern, München 1975, 106.


8/15/2019 ACTAANTIQUA_28 (1980)



Doch stellt sich die epigraphische Grundlage dieser Folgerung bei einerNachprüfung als unzulänglich heraus. Von der Neratius-Inschrift von Tlossind nur die nachfolgenden vier Zeilenreste erhalten geblieben :

ôixaioô\ . . • Negari[ . . .TXcoecovyl . . .Qovaia

Die diesem Inschriftfragment im Wiener Corpus beigefügte schriftliche undzeichnerische Dokumentation läßt darüber kaum einen Zweifel aufsteigen,daß der regelmäßige Quaderstein, der dieses Inschriftfragment aufbewahrthat, als der linksseitige untere Eckteil des ursprünglichen Steindenkmals auf-gefaßt werden soll und ferner, daß auf diesem Eckteil eigentlich die vier letzten

Zeilenanfänge der ursprünglichen Inschrift auf uns gekommen sind. Links-wärts fehlen also keine Buchstaben und für die Ergänzung bleibt so nur dierechtswärts fehlende Schriftfläche übrig. Die einzelne Zeilenlänge der ursprüng-lichen Inschrift ergeben sich nun aus Z. 3 und 4, die kaum anders, als r/[ßovXr] xal rj ye] I Qovdi[a\ sich ergänzen lassen. In Z. 3 standen also ursprünglichgewiß 18 Buchstaben, von denen 6 (und ein halbes) auf die erhaltene, während11 (und ein halbes) auf die verlorengegangene Schriftfläche eingemeißelt wurden.Als die Höhe der Buchstaben wie auch die Schreibweise in allen 4 Zeilenrestendurchwegs die Gleiche sind, die zur Z. 3 bemerkten gelten auch für die Z. 1,

wo sonst der Quaderstein ebenfalls nur 6 (und ein halbes) Buchstaben auf-bewahrt hat. Nach der gesicherten Ergänzung, ôtxatoô[ôrov bleibe Raumalso auc h in dieser Zeile höch stens nur fü r einen sieb enbuchstäblic hen Te xtübrig. Die zuletzt vorgeschlagene Ergänzung, M. 'I QQÍOV Ф д б г х tovoç, mit ihren16 Buchstaben läßt sich jedoch eben deswegen kaum in der verfügbaren Schrift-fläche unterbringen, auch nicht, wenn man mit kleineren Schwankungen inden Buchstabenzahlen der einzelnen Zeilen Rechnung trage. In dieser Zeile,nach dem Wort, ôixaioô[orov, mü ßt e also entweder nu r der ausgeschriebeneVorname, oder aber dieser verkürzt und noch ein Familienname dieses Neratius

die Schriftfläche ausfüllen. Außer der von 0. Benndorf vorgeschlagene undauch von den späteren Herausgebern beibehaltenen Ergänzung Aovxiov— statt dessen wohl auch ein anderer Vorname, wie z. B. Mágxov, oder ähn-licher stehen konnte — wäre eine Ergänzung auf M. | IQQÍOV , die auf die Ab st am -mung unseres Senators von M. Hirrius Pansa hindeute, epigraphisch nochebenfalls möglich. Für ein weiteres, dreisilbiges Kognomen, bleibt aber indieser Zeile kein Platz mehr übrig.

In der Z. 2 die erhaltene Schriftfläche hat nicht mehr, als nur 6 Buch-staben aufbewahrt, was dafür sprechen kann, daß der Name des Statthalters

mit etwa lockerer Buchstabenverbindung eingemeißelt wurde, als die anderenTextteilen. Mit Rücksicht darauf, dürfen wir auf der fehlenden Schriftfläche


8/15/2019 ACTAANTIQUA_28 (1980)


4 2 0 T. NAGY

der Z. 2, nach der Ergänzung des Familiennamens, NegaTÍ[ov fü r das Kog-nomen im Genitiv zumindest und gleich höchstens mit 7 — 8 Buchstabenrechnen. Zum Weiterkommen in dieser Frage ist auch die Zeitstellung unsererInschrift vom Belang. Den Späteren teils vorgreifend, sind wir auch zu dem

Ergebnis gekommen, daß unsere Inschrift in die Flavierzeit gehört.50 Nun,für die männlichen Mitglieder der senatorischen Familie der Neratier ausSaepinum, zu denen wir zweifellos auch den Neratius unserer Inschrift zurech-nen müssen, sind aus diesem Zeitabschnitt nur die cognomina Priscus (drei-mal),5 1 ferner Marcellus,52 Fronto und Pansa, 5 3 je einmal bezeugt. Nimmt mandiese Namengebung-Praxis bei den ersten Generationen der senatorischenFamilie der Neratier in Betracht, so scheint es berechtigt zu sein, auch dasKognomen unseres Neratius, dessen Zugehörigkeit zu diesen Generationender Neratier aus Saepinum kaum bezweifelt werden darf, auf den einen von

den obigen Zunamen zu ergänzen. Von diesen paßt nun allein das Kognomenim Genitiv, IIQÍCÍXOV, mit seinem 7 Bu ch st ab en einwandfrei in die fehlendeSchriftfläche der Z. 2 ein. Das Kognomen im Genitiv Tlávaa fülle dagegen diezur Verfügung stehende Schriftfläche nicht aus. Das Kognomen, MagxéXXov,lasse sich nur gedrängt unterbringen,54 wem aber nicht nur die lockere Schreib-weise des Statthalternamens, sondern auch die Nichterwähnung einer lykischenLegation in der inschriftlich überlieferten Laufbahn des L. Neratius Marcellusaufs bestimmteste widersprechen.55

Nach alledem spricht also das meiste dafür, daß der Neratius der

Inschrift von Tlos das Kognomen Priscus gef ühr t hat. Er hatt e entwedernur die tria -nomina, L., bzw. M. (oder ähnliches) Neratius Priscus, oder aberzwei nomina. In diesem Fa ll könn te sein Voll name beispielweise auch L. (M.)Hirrius Neratius Priscus läuten. Aber auch dann, wenn er nur die im vorigenvorgeschlagene tria nomina gef ühr t hä tt e, könn te er schon deswegen nicht

50 Die nähere Be gr ün du ng s. unten, 459 ff.51 L. Ne ra ti us Pr is cu s d. Ä.: D 1033, 1034. A E 1927, 117; 1949, 23. AF A C X X

H. -L . Ner at iu s Pri scus d. J . : D 1034, AE 1969/1970, 152 und die Sp ät er en etw a vor-gr eif end , Dig. 48.8,6. — Ne ra ti us Priscus , der Ju ri st : Dig. 1.2,2,53 (u. a.), V. H ad r .

18,1. — Die Er gä nz un g d es teils getilgten N am en s eines . . .]us Priscus \ cos auf derhexagonalen Basis von Savaria (RIU 36) auf L. Neratius Priscus [L. Balla, Die Inschrifteines Senators aus Savaria, ES 4 (1967), 61] trifft kaum das Richtige. Das nomen diesesSenators war gewiß kürzer, dafür spricht die Proportioniertheit der Inschrift. DieserKonsular war kein Neratius.

62 Vgl. die oben, Anm. 28 zit. Stellen, ferner Plin., Ep. 3.8,1. Dig. 33.7,12,43.63 Die älteren Zeugnisse für diese beiden cognomina des M. Hir riu s Fr ont o Nerati us

Pansa sind in RE XVI 2545 zusammengestellt. Neues Material bringen, Bull. 1958, no 294(das Kognomen Pansa ergänzt) , M. T o r e l l i , The cursus bonorum of M. Hir rius Fr on toNeratius Pansa, JRS 58 (1968), 170 ff. (beide cognomina sind erg änz t, doc h könn en diesenicht bezweifelt werden).

54 Das Gleiche gilt auch von dem Kognomen im Genitiv, 0QÔVTCOVOÇ.58 Was man in der «Kleine Pauly» 4 (1972), 66 liest, daß nämlich dieser Marcellus

mit dem in der Inschrift von Tlos erwähnten Neratius identisch ist und daß dieser die

Legation in Lykien und Pamphylien ca 92 — 94 inne geha bt hat . sind ganz unbeg ründe teBehauptungen.


8/15/2019 ACTAANTIQUA_28 (1980)



mit dem einen oder dem anderen Homonymer der saepinatischen Bauinschriftidentisch sein, weil in deren bekannten Laufbahnen eine Legation in Lykienund Pamphylien nicht erwähnt wird.

Der lykische St att ha lt er [ . ] Nera tius [Pris cus] dü rf te also entweder mi t

dem gleichnamigen Jurist, oder mit einem vierten, bisjetzt noch unbekanntenHo mon yme r identisch sein. Das zweite Glied dieser Alter nati ve kan n ma naber nur dann aufrecht erhalten, wenn es beweisbar wäre, daß der Jurist aufkeinem Fall mit dem Neratius der Inschrift aus Tlos identisch sein kann. Diesliege auf der Hand, wenn die besagte Inschrift entweder in die vor-, oder dienachdomitianische Zeit datierbar wäre. Der Jurist, dessen Geburtsdatum— den Späteren vorgreifend — auf die fünfziger Jahre verlegt werden kann, 5®dürfte nämlich seine in Einzelheiten zwar noch nicht aufgeklärten, aber wegenseines Suffektkonsulats kaum bezweifelbare prätorische Laufbahn normaler-

weise noch unter Domitian hinterlegen. Die Inschrift von Tlos läßt sich jedoch,wie wir es gleich sehen werden, ebenfalls in die domitianische Zeit einordnen,wodurch ihre Beziehung auf den Jurist beinahe gewiß und die Annahmeeines vierten Homonymers unnötig wird.

III

Die Inschrift von Tlos enthält ein wichtiges Datierungselement in derBezeichnung des Statthalters als ôtxatoôôrrjç. Jene kaiserzeitliche Inschriftenaus dem lykisch-pamphylischen Bereich, in denen die hiesigen Gemeinden,

oder der lykische Bund,57

oder Privatleute den Statthalter mit diesem, demlateinischen iuridicus entspre chende n Titel58 als den gerechten Rechtspflegerbeehren, gehören in die flavisch-traianische Zeit. Das früheste diesbezüglicheZeugnis stammt nämlich aus dem 1. Regierungsjahr Vespasians, 59 das spätesteaber, das in einer akephalen Inschrift von Tlos erhalten geblieben ist, aus derZeit zwischen 103 und 115.®° Alle übrigen datierbaren Beispiele gehören in diezwei letzten Jahrzehnte des 1. Jh.®1 Dane ben k om mt schon in früh trai anis cherZeit die Bezeichnung, 6 fjyepwv vor,®2 die nachher von der spättraianischerZeit ab, ist vorherrschend geworden.®3 Nach diesem epigraphischen Bestand

58 Über diese Frage s. eingehender unten, 462.8 ' Übe r dies s. J. De i ni n ge r , Die Provin ziall andta ge der römischen Kaise rzeit ,

Vestigia 6, München 1966, 73 ff.58 Cf. D. M ag ie , De Romanorum iuris publici sacrique vocabulis sollemnibus in

Ghraecum sermonem conversis, Leipzig 1905, 28. R o s e n b e r g , s. v. «iuridicus», R E X 1151,ferner D 8842, AE 1966, 472, etc.

58 Т А М I I 131 (Sex. Március Priscus, 69/70).80 Т А М I I 571 (Ignotus). Tra ian ist schon Dacicus, aber noch nicht Parthicus.

Zur Datierimg s. P. Kneissl , Die Siegesti tulaturen der römischer Kaiser. Hypomnemata25, Göttingen 1969, 198.

81 Т А М I I 21 (T. Aur. Quietus , 80/81). D 8818 (P. Baebius I ta licus, 85) . Т А М I I570 (L. Domit ius Apol l inaris , ca 93 -9 6) . Т А М I I 594 (L. Iul . Marinus . ca 9 8 - 9 9 ) .

82 Т А М I I 421 (C. Trebonius Proculus Met t ius Modestus, ca 99 -1 02 ).83

S. u. a. die Do ku me nt e des Opramo asd enk mal s in Rhodiapoli s, IG R I I I 739,Т А М I I 907, passim.

Acta Antiqua Aeademiae Scientiarum Hungarian 23, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


422 T. NAGY

k o n n t e d e r N e r a t i u s d e r I n s c h r i f t v o n T l o s d i e P r o v i n z L y c i a u n d P a m p h y l i a

f r ü h e s t e n s u n t e r V e s p a s i a n , s p ä t e s t e n s a b e r u n t e r T r a i a n v e r w a l t e n . D i e i m

l e t z t e n J a h r z e h n t e w i e d e r h o l t s o r g f ä l t i g z u s a m m e n g e s t e l l t e S t a t t h a l t e r l i s t e

d i e s e r P r o v i n z 6 4 e r m ö g l i c h t n u n w e i t e r e P r ä z i s i e r u n g e n .

D i e f a s t v o l l s t ä n d i g e L i s t e u n t e r d e n F l a v i e r n z e i g t n ä m l i c h n u r e i n ee i n z i g e m e h r j ä h r i g e L ü c k e , d i e z w i s c h e n d e n L e g a t i o n e n d e s P . B a e b i u s I t a -

l i c u s u n d d e s A . I u l i u s Q u a d r a t u s n a c h 8 5 u n d v o r 9 0 , e t w a f ü r d i e A m t s j a h r e

8 6 / 8 7 — 8 8 / 8 9 v o r h a n d e n i s t. 6 5 I n d e r Re g i e r u n g sz e i t T r a i a n s z e i g t s i c h a b e r

n a c h Q . P o m p e i u s F a l c o u n d v o r T i . I u l i u s F r u g i , z w i s c h e n 1 0 5 / 1 0 6 u n d 1 1 2 / 1 1 3

e i n e n o c h g r ö ß e r e L ü c k e , d i e d e r A m t s d a u e r z u m i n d e s t z w e i e r S t a t t h a l t e r

e n t s p r e c h e . 6 6 U n s e r N e r a t i u s k ö n n t e a l s o a l l e i n n u r e n t w e d e r u n t e r D o m i t i a n ,

z w i sc h e n 8 6 / 8 7 u n d 8 8 / 8 9 , o d e r u n t e r T r a i a n , z w i sc h e n 1 0 5 / 1 0 6 u n d 1 1 2 / 1 1 3

d i e P r o v i n z L y c i a u n d P a m p h y l i a i n n e h a b e n . A u c h s c h o n d e s w e g e n d a r f m a n

s e i n e I d e n t i t ä t m i t M . H i r r i u s N e r a t i u s P a n s a ( s u f f . ?73) n i ch t e rns t l i ch e rwä-g e n . E i n e L e g a t i o n i n d e r l e t z t e r w ä h n t e n Z w i s c h e n z e i t w ä r e j e d o c h a u c h f ü r

d e n Ju r i s t z w e i f e l so h n e sc h o n z u sp ä t . E s b e d e u t e n ä m l i c h , d a ß e r d a s h ö c h s t e

A m t f r ü h e s t e n s u m 1 0 9 /1 1 0 , s p ä t e s t e n s a b e r n u r i n d e n l e t z t e n R e g i e r u n g s -

j a h r e n T r a i a n s a n g e t r e t e n h ä t t e . D e r e r s t e r e Z e i t a n s a t z f ä l l t a b e r s c h o n d a d u r c h

64 W. E ck , Senatoren, 112 ff . , s. auch 244. B. Kr e i l e r , а . O. (Anm. 49), 103 f.B . T h o m a e , L P I I . 2 ( 1 9 7 7 ) , NO 3 0 .

65 W. E ck , а . O. 138 f. rechn et mit dies er Lücke zwischen 86/87 und 90/91. A. Iul.Quadratus ist aber nach den Jahren 87 und 88 im J. 89 nur bis zum 19. Mai in Rombe zeu gt ( AF A CXVT sq. H.). Die auf die zweite Hä lf te dieses Ja hr es bezüglic he Arva l-

akten sind zwar nicht erhalten gebheben, doch die Nichterwähnung des A. Iul. Quad-ratus in den Teilnehmerlisten der Arvalbrüder am 3. und 22. Januar, ferner am 27. 28.Mai 90 (AFA CXXIV sq. H.) macht es beinahe gewiß, daß Quadratus befand sich in derersten Hälfte dieses Jahres schon nicht mehr in Rom. Er hat die Regierung in Lykienund Pamphylien also wohl schon in der zweiten Hälfte des J. 89 übernommen. Seinehiesige Legation dauerte gewiß zumindest bis zum Ende 92, als er an der Zusammenkunftder Arvalbrüder am 16. November 92 noch nicht anwesend war. Die Legation desP. Baebius Italicus ist durch IGR III 548 für das Jahr 85 einwandfrei bezeugt. DieseInschrift wurde gewiß vor 14 September 85 (4. trib. pot. u nd 11. Kon sul at Do mitia ns)gesetzt. Die Richtigkeit des unteren Zeitansatzes, April 85, hängt jedoch davon ab,db Domitian seine 9. imperatorische Akklamation tatsächlich in diesem Monat ange-nommen hätte, wie dafür in BMC II 314 argumentiert wird. Wir können aber W. Eckdarin unbedingt zustimmen, daß Baebius Ital icus seine lykische Legation frühestens nurum die Mitte 84 antreten konnte, da er im Chattenkrieg Domitians (a. 83) noch dielegio X I I I I Gemina Martia Victrix ko mm an di er te (I GR I I I 551 = D 8818). Die Zeit-dauer seiner Legation in Lykien ist jedoch ungewiß. Jedenfalls könnte entweder P.Bae biu s It ah eu s oder sein unm itt elb are r Nechf olger nur zwei J ah re lang die Pr ovi nzverwalten. Die steife Anwendung dreijähriger Legation bewährt sich nicht immer.

66 Q. Pompeius Falco hat an der Spitze der legio V Macédonien im 1. Da ke rk ri egTraians teilgenommen und militärische Auszeichnungen verdient. Danach und vor seinemSuffektkonsulat im J. 108 hat er zuerst Lykien und Pamphylien, bald die Provinz Iudaeaverwaltet (D 1035, 1036). Die für diese zwei Legationen von W. Eck, Senatoren, 160 f.vorgeschlagenen Daten, 102/103 -104/10 5, bzw. 10 5/106-1 06/107 treffen al lem Anscheinna ch das Richtig e. — Ti. Iul. Fru gi wird in den Insch rif ten des Opr amo asd enk mal swiederholt als der Legat der Provinz Lycia und Pamphylia erwähnt: Т А М I I 905, I F, 2;II B, 14; II F, 4; IVE , 10; VB, 16. E. R i t t e r l i n g , Zur Zeitsbest immu ng einiger Urk un-de n vom Opr amo as den kma l, R h. M. 73 (1920), 35 ff., und nach ihm D. Ma gi e, Ro m.

Rule, II. 1599 datierten die Statthalterschaft des Iul. Frugi auf das J. 114. W. Eck,. O. 117 un d nac h ihm B. Th om ae , L P II . 2, n° 30, p. 8 auf die Am ts ja hr e 113/115.


8/15/2019 ACTAANTIQUA_28 (1980)



w e g , d a ß a u s d e n J a h r e n 1 0 9 — 1 1 4 a l l e a m t s f ü h r e n d e K o n s u l n b e k a n n t s i n d , ' 7

un d un te r d ie se n de r N a m e unse r e s Ne ra t i us f e h l t . Aus de m z we i t e n Z e i t -

ansa tz lassen s ich wegen ähnl ichen Gründen entweder nur das J . 115, oder

d ie J a h r e na c h 116 in Be t r a c h t z i e he n . Se in Bru de r , Ma rc e l lus , wa r n u n

sc ho n im J . 95 Suf f e k t kon su l . E i n 19- , ode r noc h me hr jä h r i ge s In t e rv a l lz wisc he n de n Ko ns u l a t e n z we ier Br üd e r s t e he a be r i n de r F rü hp r i nz ip a t sz e i t

ganz vere inze l t da , 6 8 un d l ä ß t s i c h a u c h be z ü g l i c h de s Ju r i s t e n un d se ine s

Brude r s ka um e rns t l i c h e rwä ge n . Ma n da r f a l so a us d ie se m Umsta nd wohl

mi t Re c h t d ie Fo l ge rn ng z i e he n , d a ß de r Ju r i s t un t e r T r a i a n n ic h t e ine S t a t t -

h a l t e r s c h a f t i n L y k i e n b e k l e i d e n k o n n t e .

67 De r bei A. DEGRASSI, FC 34 no ch fe hlende Suff ek tk on su l des J. 114 ist inzwi-schen durch das Militärdiplom von Pisarevo in der Person des L. Caesennius Sospesbekannt geworden. Cf. M. M. RAFSAET, RMD 14.

68

In den julisch-claudischen Zeiten ko mme n höchs tens 10—12jährige Int erv al levor. Beispiele dafür:Zehnjähriges Intervall: C. Sulpicius Galba (ord. 22), L. Livius Ocella Ser. Sulpicius

Galba (ord. 33). A. DEGRASSI, FC 9 f. PIR S 721 und 723. Suet., Galba, 3,4.Elfjähriges Intervall: P. Cornelius Scipio (ord. 56), P. Cornelius Scipio Asiaticus

(sujf. 68). A. DEGRASSI, FC 15 un d 18. P IR 2 С 1439, 1440.Zwölfjähriges Intervall: L. Seius Tubero (sujj. 18), L. Aelius Seia nus (ord. 31).

A. DEGRASSI, FC 8 und 10. Tubero und Seianus waren aber Halbbrüder. Zu den bestrit-tenen Familienverhältnissen dieser Männer s. jetzt D. HENNIG, L. Ael., Seianus, Vestigia21, München 1973, 15 f.

Unter den Iuliern und Claudiern wie es die Nachfolgenden exemplifizieren mögen,überwiegen aber die gleichzeitigen, oder die zeitlich dicht aufeinanderfolgenden Konsu-laten der Brüder:

Cossus Lentulus (ord. 25), Cn. Lentulus Gaetulicus (ord. 26). A. DEGRASSI, FC 9.

P IR 2 С 1381, 1390.L. Cassius Longinus (ord. 30), C. Cassius Longinus, der bekannte Jurist ( s t i f f . 30).

A. DEGR AS S I , F C 1 0 . P I R 2 С 5 0 3 u n d 5 0 1 .Faustus Cornelius Sulla (stiff. 31), L. Cornelius Sulla Felix (ord. 33). A. DEGRASSI,

FC 1. c. PIR 2 С 1459 und 1465.A. Vitellius (sujj. 32), L. Vitelliu s (ord. 34). A. DEGRASSI, FC 1. C. Vgl. Suet,, Vit. 2.T. Statilius Taurus (ord. 44), T. Statilius Taurus Corvinus (ord. 45). A. DEGRASSI,

FC 12. PIR S 618 und 595.A. Vitellius (ord. 48), L. Vitellius ( s u f f . 48). A. DEGRASSI, FC 14.C. Vellerns Paterculus (sujf. 60 ?), L. Vellerns Pa te rc ul us (sujf. 61?). A. DEGRASSI,

FC 16 f. Vgl. R . HANSLIK, S. V. «Vellerns», R E V II I A (1955), 660.In der Flavierzeit bedeuteten vier Jahre schon ein größeres Intervall:L. Volusius Saturninus (ord. 87), Q. Volusius Saturninus (ord. 92). AE 1949, 23.

Beide waren die Söhne des Q. Volusius Saturninus (ord. 56). S. die Stemma: PIR V 603.Meist haben jedoch auch in der Flavierzeit die Brüder gleichzeitig oder aber im

raschen Nacheinander das höchste Amt bekleidet. Von den Mitgliedern des kaiserbchenHauses abgesehen (T. Caesar Vespasianus ord. 70, Caesar Domitianus s u f f . 71) die fratresCurvii (Mar t,, 5, 28; vgl. Plin., Ep. 8.18,4), Cn. Domi tip s . . . Luc anu s un d Cn. Dom i-tius . . . Tullus, hab en die Fasces um 77/78 gleichzeitig oder eher dic ht na che in and ergeführt. D 990, 991. IRT 527, 528. W. ECK, Senatoren, 91 f.

Von de m Br ud er pa ar , Sex. Vet tul enu s Cerialis und C. Vet tul enu s Civica Cerialis[cf. H . NESSEDHAUF, CIL XVI p. 20, n. 5 . W. ECK, S. v. «Vettulenus», R E Supp l. X I V(1974), 842 f., no 1; 846, no 3] dürfte der Erstere nach den datierten Posten seiner präto-rischen un d kons ular en La uf ba hn den Kon su lat im J. 72 oder 73 bekleiden . E r wa rnämbch legátus legionis V Maeedonicae zumi nde st zwischen 68 — 70; Jo s. , B J 3,310;6,237. Nach der Einnahme Jerusalems (im September 70) wurde er von Titus dekoriert(D 988) und mit der legio X Fretensis a ls Stat thalter (э т р т а /fetrrpç) in Iudaea zurückgelassen,

wo er frü he st ens um die Mitt e 71 von Lucilius Bass us abgelöst wu rde : Jos. , BJ 7,17 + 163.CIL XV I 1 4 - 1 6 . - Am 28. April 75 ist Sex. Vett ule nus Cerialis als St at th al te r d er


8/15/2019 ACTAANTIQUA_28 (1980)


4 2 4 T. NAGY

Wäre es also möglich den Neratius der Inschrift von Tlos eben deswegenfür einen vierten Homonymen, vielleicht den Vater des L. Neratius C. f.Proculus ( s u f f . с . 145)69 zu halten? Die Annahme eines vierten Neratius ist jedoch solange nicht nötig, bis sich bezüglich des Juristen nicht außer allem

Zweifel herausstelle, daß er eine Legatur in Lykien und Pamphylien nichteinmal zwischen 86/87 und 88/89 bekleiden konnte.Der im allgemeinen angenommene Lebensalter des Juristen scheint in

der Tat auf dem ersten Blick gegen seine Legation in Lykien und Pamphylienauch in dem angezeigten Zeitabschnitt sprechen. Wenn nämlich wir jenerherrschenden Ansicht zustimmen, daß sein Bruder, L. Neratius Marcellus,in der zweiten Hälfte der fünfzigeren Jahren, um 56/57,70 oder genau im J. 59geboren ist,71 und Priscus der jüngere Bruder gewesen war,72 in diesem Fallkönnte er normalerweise in seinem ca 26 — 27. Lebensjahr die Legation ineiner kaiserlichen prätorischen Provinz kaum antreten.73 Das jüngere Alterdes Neratius Priscus gründet sich aber einzig auf jene mehr als bestreitbareAnnahme, daß er mit dem fast gleichnamigen und früher mit dem älteren,neulich aber mit dem jüngeren L. Neratius Priscus gleichgestellten Suffekt-konsul des J. 97 identisch ist und folglich wohl mit einigen Jahren jüngergewesen war, als sein Bruder, der schon im J. 95 zum höchsten Amt gelangt ist.Da sich aber die Identität des Juristen weder mit dem älteren, noch mit dem jüngeren L. Nera t ius Priscus aufrecht erhalten läßt, wi rd auch seine vermeint-liche Identität mit dem fast gleichnamigen Suffektkonsul des J. 97 sehr frag-lich. Es ist nämlich beinahe gewiß, daß jener Neratius, der die fasces in diesem

Jahr geführt hat, wurde in den nachfolgenden Jahren von Traian nach-einander in zwei wichtigen kaiserlichen Provinzen mit Legation betraut.Dieser Senator, wie darauf im Vorigen schon hingewiesen wurde, konnte jedochvor 106 kaum als consiliarius Traiani am obersten Gerichtshof tä tig sein.Der Ratgeber Traians bei den Kognitionsverfahren war aber gewiß der JuristNeratius Priscus. Folglich ist es ebenso gewiß, daß der damals in den Provinzentätige Homonymer nicht der Jurist sein konnte. Damit fälle aber der einzigevermeintliche Beleg weg, der bisjetzt für das jüngere Lebensalter des Juristen

Provinz Moesia bezeugt (M. M. Rapsaex, а . O. 2), som it kon nt e er seine hiesige Leg ati onschon in der zweiten Hälfte des J. 74 antreten. Ein neues Frg. der FO (AE 1968, 6)bezeugt, daß in der ersten Hälfte dieses Jahres Cerialis nicht das Amt eines Suffekt-konsuls besetzt hat. So bleiben für seinen Konsulat nur die im obigen angedeutetenJahren 72, oder 73 übrig. Sein Bruder erhielt das höchste Amt mit Berücksichtigungseines Prokonsulats in Asia (im J. 87/88, oder 88/89), spätestens im J. 75. A. Stein(Die Legaten von Moesien, Budapest 1940, 34) nimmt das J. 76 an, während W. Eck,(RE Suppl. XIV. 1. c.) hält auch ein früheres Datum (?74) für möglieh.

69 D 1076. Zur Dat ierun g G. A l f ö l d y , Kons ulat un d Senatorenstand unte r denAntoninen, Bonn 1977, 140.

"> E. Gr oa g, R E XV I 2593.71 R. S ym e, He rm es , 1957, 483, 491 (u. a. ).72

R. Syme, а . O. 492. G. Cam ode ca, а . O. 30 f.73 Vgl. bes. J . Mo rr is , Leges Annales un de r th e Pr in cip at, LF 87 (1964), 316 ff .


8/15/2019 ACTAANTIQUA_28 (1980)


DI E ZWE I L. NERA TII PR I SCI 425

ins Feld geführt werden konnte. Nach dessen Eliminierung stehe nichts dementgegengesetzten Ansicht im Wege, daß nämlich der Jurist, als der ältereBruder betrachtet werden kann, der wohl mit einigen Jahren früher, alsMarcellus, um die Mitte der Fü nfz ige r jäh re geboren ist. Je ne mögliche E in-

wand, daß in diesem Fall es schwer verständlich wäre, wie Neratius Priscusals ein fast schon Achzigjähriger um die J. 133/134 juristisch noch tätig seinkönnte,74 büßt mit Hinweis auf die Geistesfrische einiger literarisch oder imöffentlichen Leben noch tätigen Alton75 ihre Beweiskraft stark ein.

Der mit dem späteren Kaiser, M. Ulp. Traianus (geb. 53)7e etwa fastgleichaltrige Neratius Priscus könnte normalerweise schon um die Mitte derAchzigerjahre die Prätur bekleiden und danach unvermittelt die lykischeLegation übernehmen. Eine solche, zweifelsohne ungewöhnliche Ämterlauf-bahn77 stehe doch in der Flavierzeit keinesfalls ganz einzigartig da. Ein Ignotus,

der als Statthalter in der Provinz Lycia und Pamphylia unter Titus bezeugtis t78 und der wegen seiner Amtszeit mit dem in dieser Provinz zwischen 1. Juli80 und 30. Juni 81 belegten Statthalter, T. Aur. Quietus 79 (е м //. 82) wohl

74 Dig. 44.2,11 prol. Über das hier erwähnte Senatus Consultum s . v . Me in ha r t ,Die Datierung des SC Tertullianum, ZSS 83 (1966), 110 ff. über Neratius, 126 f.

75 M. Ter ent ius Var ro ha t sich genau in seinem achzigste n Le bensj ahr an dasSchreib en seines landwirts chaf tlich en F achw erke s dr an ge ma ch t (Varro, r. r. 1,1). —T. Livius, geb. 59 v. Z., gest. 17 u. Z., hat in seinen drei letzten Lebensjahren, also schonals ein Siebziger, die letzten 22 Bücher seines großangelegten historischen Werkes nieder-

geschrieben, bzw. -dikti ert. Per . CX XI . K l o t z , s. v. «Livius» n° 9, R E X I I I 816 ff., bes.818. — Q. Haterius blieb «promptus et popularis orator usque ad XC prope aetatis annumHieron., Chron. 172 g (Helm). Vgl. auch Tac., ann. 4,61: Q. Haterius, família senatoria,eloquentiae, quoad vixit, celebratae. — T. Vestricius Spurinna , in seinem 77. Leb ens jah rschrieb noch outraque lingua lyrica doctissime». Plin., Ep . 3,1,7. Vgl. H. B a r d o n , Lalittérature latine inconnue, II. Paris 1956, 232 — , usw., usw.

76 R . H a n s l i k , а . O. (Anm. 32), 1035 f., wo ist noc h nach zut rag en, Ep it . 13,14.Die abwe ich ende Da ti er un g von J . Mo r r i s , а . O. (Anm. 73), 328: c. 56/7, ist nic h über-zeugend.

77

Name Prätorische Ämte r vor der lykischen Lega tur Belege

С . Car istaniusFronto

leg. pr. pr. Ponti et Bithyniae \ leg. leg. IX Hisp.

D 9485

P. BaebiusItalicus

leg. leg. X I I I I G. M. V. D 8818

A. IuliusQuadratus

leg. pr. pr.1 Ponti et Bithyniae \ leg. pr. pr.

Aeiae bis2 | leg. Aug. Cappadociae \ procos.

Cretae et Cyrenae

D 8819, 8819aAE 1966, 463

L. IuliusMarinus

leg. pr. pr. prov. Cypri \ leg. pr. pr. prov.Ponti et Bithyniae \ curator viae Tibur-tinae 1 leg. Aug. leg. XI Cl. p. f .

D 1026

1 sc. proconsulis 2 i.e. sub. duobus proconsulibus. P I R 2 J 507.

7 8

IGR III 724, noch im Leben des Kaisers Titus in MYRA gesetzt.78 IG R I I I 690 = D 8796. Vgl. P I R 2 A 1592.


8/15/2019 ACTAANTIQUA_28 (1980)


4 2 6 T. NAGY

identisch sein kann,8 0 wurde mit dieser Legation ebenfalls unmittelbar nachseiner Prätur beauftragt. Auch sonst, wie es von einem guten Kenner derfrühkaiserzeitlichen senatorischen Laufbahnschemen schon etwa vor 40 Jahretr ef fe nd bem erk t wurde, «alle Vors chrif ten übe r die Amt erb ese tzu ng in kaiser-

lichen Rom sind ja nur regulae, Regeln, die durch Ausnahmen bestätigt wer-den».81 Auch die Laufbahn des Juristen mag für die Richtigkeit dieser Erken-nung sprechen.

Der lykischen Legatur unseres Neratius unter Domitian stehen andereKandidaten gar nicht im Wege. Die Statthalterschaft eines Unbekanntenwurde zwar alternative in die Regierungszeit dieses Kaisers, oder in die jeneTraians versetzt.82 Von diesen Datierungen ist aber wohl nur die letzterevertretbar. Dieser Ignotus wird nämlich in seiner akep halen Cursusi nschriftaus Tlos, als ôixaioôôrrjç betitelt,83 und außerdem noch bei der Aufzählungder von ihm bekleideten Ämter, als zweimaliger Legionskommandant erwähnt.Diese zwei Datierungselemente insgesamt verweisen die lykisch-pamphylischeLegation dieses Unbekannten ziemlich gewiß in die Regierungszeit Traians. 84

In diesem Unbekannten können wir also allem Anschein nach den einen derStatthalter aus dem Zeitraum zwischen 105/106 und 112/113 erkennen. Frag-lich sind dagegen die Amtszeiten der zwei nächstfolgenden Ignoti, von denender Erste nur mit gewisser Wahrscheinlichkeit in die Regierungszeit Traiansverweisen mag.85 Bezüglich des Zweiten86 liegen aber keine Anhaltspunkteeiner näheren Datierung vor. Es ist jedoch auch wohl möglich, daß diese beidenUnbekannten mit dem einem oder anderem der schon namentlich bekannten

Statthalter identisch sind. Sie können jedenfalls nicht gegen die Statthalter-schaft des Juristen in Lykien zwischen 86/87 und 88/89 als Gegenargumentegelten.

Die obigen erlauben die Folgerung zu ziehen, daß ähnlich wie Pannónia,auch die Provinz Lycia und Pamphylia zweimal von einem Neratius verwaltet

80 B . K r e i l e r , а . O. (An m. 49), 110. Sk ep ti sch B. Th om ae , LP I I . 2, no 30, p. 13.Da jedoch der cursus bonorum, des C. Car ista nius F ro nt o (D 9485) bez eugt , daß dieserSenator den T. Aur. Quietus noch im Leben des Kaisers Titus, also wohl um die Mittedes J. 81 von dieser Legation abgelöst hat (s. auch W. Eck, Senatoren, 130), ist eine an-

dere Identifizierung kaum möglich.81 St . Brassloff, Zu Inschriften aus der römischen Kaiserzeit , Serta Hoffil leriana,Zagrabiae 1940, 239.

8 2 W . Eck , а . O . 2 2 8 .8 3 I G R I I I 5 5 8 - Т А М I I, 569.84 Der Titel ôtxaioôôrrjç für den Statthalter ist im lykisch — pamphylischen Bereich

nach der Regierungszeit Traians nicht bezeugt. S. oben, Anm. 60. und 61. Andernteils,ein zweimaliges Legionskommando in der prätorischen Laufbahn der Senatoren kannma n, von de m Vierkaise r jä hr abge sehen, nicht vor der Regierungsze it Trai an belegen.Die frühesten Beispiele für zwei Legionskommandos bieten die Karriere des T. Iul.Ma xi mu s . . . Manl ianu s (D 1016), fer ner eines Ignotus (D 1021) un d de s A. La rc ius Pr isc us(D 1055) aus traianischer Zeit. Alle andere Beispiele gehören schon in die späteren Zeiten.S. die diesbezügliche Liste bei G. Alföldy, Legionslegaten, 78 ff.

85

Т А М I I 573, mi t Ergänzung auf diesen Kaisername.86 Т А М I I 574 (kurz und f r agmentar i sch) .


8/15/2019 ACTAANTIQUA_28 (1980)


DIE ZWEI L. NERATII PRISCI 4 2 7

wurde. Die pannonische Legation haben die Mitglieder der plebejischen Linieder senatorischen Familie der Neratier aus Saepinum zweimal innegehabt,während die lykische die zur anderen Linie dieser Familie angehörigen Sena-toren, die vom Kaiser Vespasian unter die Patrizier erhoben wurden.87

IV

Eine Legation in der kaiserlichen, prätorischen Provinz Lycia undPamphylia bedeutete unter den Flaviern regelmäßig gleich den Abschluß derprätorischen Laufbahn des betreffenden Senators.88 Der von dieser Legationabgetretene Statthalter könnte sich schon als der Anwärter eines Suffekt-konsu lats betr ach ten . Dieses höchst e Am t ha t bekann tlic h auch der J ur is tbekleidet. Somit erhebt sich die Frage, wann er seinen Konsulat antretenkonnte. Unter den Flaviern läßt sich kein bestimmtes Intervall zwischen der

lykischen Legation und dem Konsulat beobachten. Der letztere folgte dieserLegatur zeitlich entweder unmittelbar oder aber nach einem 2 —4-jährige nIntervall.89 Wenn also Neratius Priscus, der Jurist, Lykien verwaltet hätte, dann

8 ' Nach der Unbewiesenheit jeder Art einer Adoption bezüglich des Juristen kannaucli die Zugehörigkeit dieses Senators zum Patriziat kaum fraglich sein.

88 Bis je tz t is keine Ausn ahm e vor ha nd en . L. Iulius Mari nus Caecilius Simp le xwar schon unter Traian vor seinem Konsulat (a. 101) noch mit dem Prokonsulat derProvinz Achaia betraut. W. Eck, а . O. 148 f., mi t An m. 152.

89 Von den Sta tt ha lt er n Lykiens unt er Vespasian sind eigentlich nur die Leg ati ondas Sex. MarciusPriscus [68/69 und 69/70],sowie der Konsulat des M. Petronius Umbrinus(sujj. 81) da ti er t. F u r die erste s. B. THOMAE, L P I I . 2, no 30, p. 3, mi t allen B ele ge n,fü r den zweite n A. D e g r a s s i , FC 24. We nn nu n Márci us Prisc us die Fasces im J . 79gef ühr t (vgl. CIL X VI 25) und Petro nius Umb ri nus die Provi nz Lycia uns Pa mp hy li ain den Amts ja hr en 76/77 und 77/78 (W. Ec k, Sena tor en, 123 f.) ver wa lte t hä tt en , d a nnerstrecken sich die Intervalle in diesen beiden Fällen auf 8, bzw. 3 (2) Jahre.

Etwas besser sind wir übor die Intervalle zwischen der lykischen Legatur und demKonsulat aus den Regierungsjahren des Titus und Domitians unterrichtet. Unsere dies-bezüglichen Kenntnisse lassen sich in der nachfolgenden tabellarischen Übersicht zusam-menfassen:

Name Belegtes Amtsja hr Letztes Amtsj ahr Konsula t Intervall

T. Aur. Quietus 80/811

80/812

823

keinС . Caristaniu s Fr on to 81/82* ca 83/845 906 7 (5)7

P. Baebius Italicus 858 85/86?8 90 е 4 (?3)

A. Iul . Quadrates Î89/90" 92/93?" 94Ю 3?(kein?)

L. DomitiusApollinaris — ca 95/9611 9712 - (ke i n? )

1: s. oben , S. 463, mit A nm . 79. - 2: s. oben , S. 464, mi t Anm . 80. - 3: CIL X V I 28.4: s. obe n, S. 464, mi t An m. 80. - 5: W. Ec k , а . O. 133. - 6: AE 1949, 23. - 7: Dieerste Nummer gibt das Intervall von dem bezeugten Jahr der lykischen Legation an,die zweite in Klammern jenes von dem oft nur angenommenen letzten Amtsjahr. —

8: s. oben, S. 460, mit An m. 65. — 9: s. die vorig e Anm . — 10: A. De g r a ss i , FC 28.- 11: W. Ec k, а . O . , 146. - 12: A E 1975, 132.


8/15/2019 ACTAANTIQUA_28 (1980)


428 T. NAGY

darf man nach den Obigen mit gewissem Recht erwarten, daß auch er denKonsulat entweder im auf seiner Legation unmittelbar folgenden Jahr odermit etlichen Jahren später angetreten hätte.

Alle amtsführende Konsuln sind nun aus dem J. 90 bekannt. 9 0 Ein

Neratius Priscus ist unter ihnen nicht befindlich. Dagegen kommen seine zweiVorgänger in der lykischen Legatur, C. Caristanius Fronto und P. BaebiusItalicus in der Konsulliste dieses Jahres vor. Ein willkommenes Wink, daßunser Neratius Priscus die fasces etwa später führen müßte. Die Konsuln ausden Jahren 91, 92 und 94 — 96 sind aber gleichfalls alle bekannt.9 1 Ein NeratiusPriscus wird in diesen nicht erwähnt. Wohl begegnet uns unter die Suffekt-konsuln des J. 94 A. Iulius Quadratus, der unmittelbare Nachfolger unseresNeratius in der lykischen Legation. Nach diesem zweiten Wink kann kaumein Zweifel darüber obwalten, daß unser Neratius seinen Konsulat nur imJ. 93, d. h. nach einem dreijährigen Intervall nach seiner lykischen Legation,bekleiden konnte.

Die Namen der Konsuln dieses Jahres sind bekanntlich nur teils über-liefert. Die F(asti) P(otentini) erhalte n von den Suff ektk onsu ln dieses Ja hr esallein die Nam en des Avi diu s Qfuietus] u nd eines Corn[elius . . . aus den zwei-ten und dritten Nundinien des Jahres. Aber unabhängig davon, ob dieserCor n [elius . . . mi t d em C. Cornelius Ra r u s Sextius Na[so ?], dem Pro con sulAfricae in einem näher unbekannten Jahr unter Traian identisch wäre odernicht,92 bleibe ein Platz für den Konsulat des Neratius Priscus in diesem Jahrnoch in beiden Nundinien.

In den vorangehenden Jahren 92 und 91, wie auch in den nachfolgendenJahren 94 und 95 waren jährlich je zwei Suffektkonsulpaaren im Amte. Außer-dem in den J ah re n 92 un d 95, als Do mi ti an seinen 16., bzw. 17. Ko ns ulat beklei-dete, trat am Idus Ianuar. and die Stelle des Kaisers noch ein Konsul. In denJahren 91 und 94 amtierten also jährlich 6, während in den Jahren 92 und 957 Konsuln, davon jährlich 4, bzw. 5 Suffektkonsuln. Nach diesen gesichertenAngaben der Konsullisten erschien es als das Wahrscheinlichste, daß auch imJ. 93, als Domitian einen eponymen Konsulat nicht übernommen hat, ebenfallsnur 6 Konsuln, unter diesen 4 consules suffecti im Am t gewesen waren.9211

Nun hat aber F. Zevi auf dem Münchener Epigraphischen Kongresseein neues Fragment der FO eingezeigt, wo die letzten Buchstaben von 5 Suf-fektkonsulpaaren erhalten geblieben sind und hat dieses Bruchstück dem J. 93

90 A E 1949, 23. A. De g r as s i, F C 27.91 A. Deg ra s si , FC 27 f. Vgl. L. Vi dm an , F O 16.92 Die Id en ti tä t, beh au pt et von R. Sy me , J R S 43 (1963), 153 hä lt auch W. E c k ,

. O., 56, Anm . 6 als ziemlich gesichert. Ske pti sch ist dagegen B e n g t Tho ma ss on , s. v.«Cornelius», R E Su ppl. I X (1962), 22 f., no 29 7a un d Opus c. Ro m. 7 (1969), 169. A. D e g -rassi , FC 28 und H.-G. Pflaum, Scripta minora, I . Paris 1978, 31 denken bezüglich desKonsulats des C. Cornel. Rarus alternative an das J. 93, oder 97. Gegen das letztereDatum hat aber zuletzt F. Zevi, а . O. (A nm . 17), 137 Stellu ng g en om me n.

»2a y g l w E c K ) a о 5 6


8/15/2019 ACTAANTIQUA_28 (1980)



zugewiesen.93 Wenn sich diese Datierung bewähre, dann wären noch zumindest8 Suffektkonsuln aus dem J. 93 unbekannt. Für diese 8, wenn nicht nur 2Plätze, hat nun die Forschung nach der Veröffentlichung des FragmentsXllld. der FO und des besagten Fragments des FP die Namen der nachfol-genden 11 Senatoren vorgeschlagen :94

1. L. Dasumius (Hadrianus?),95 2. A. Egrilius Plarianus Pater, 9 8 3. L.Iulius Ursus Servianus,97 4. Publicius (oder Publilius) Tullus,98 5. SallustiusLucullus,99 6. Silius Italicus,100 7. Cn. Suellius Flaccus,101 8. ein näher nichtidentifizierter Ummidius,102 9. Vibius Varus,103 10. L. Iul ius Mar[inus ?],104

11. T. Vestricius Spurinna.105

Die Überbew erb ung fü r die noch unbesetzten 2 ode r 8 Konsu lstel len imJ. 93 ist unbestritten. Auf die mit dieser in Zusammenhang stehende Frage, daßvon den angeführten 11 Kandidaten welche Senatoren sich bei einer näheren

Prüfung bewähren, versuchen die Nachfolgenden eine Antwort zu geben.1. Unt er dem Namen des ersten Komp ete nte n v erstecken sich wohl

eigentlich zwei Persönlichkeiten : ein L. Dasumius . . ., proconsul Asiae unterTraian in einem unbekannten Jahr, 1 0 8 un d ein [. . .] Ha dr ia nu s, der in e inemder Jahre 104 — 113 ebenfalls diese Provi nz als Prok ons ul verw altet hat. 107

Die Identität dieser zwei, nicht mit ihren Vollnamen überlieferten Prokonsuln,läßt sich zurzeit nicht beweisen.10 8 [ . . . ] Hadrianus dürfte allenfalls mit Rück-

93 F. ZEVI, Nuovi fr am me nt i dei Fast i Ostienses, Akte n des VI. In te rn at . Kon-

gresses für Griechische und Lateinische Epigraphik München 1972 (1973), 438.94 In einem fr ühe ren Stand der Forsc hung hat man dur ch die falsche Dat ie run gder Militärdiplomen von Salona und Negovanovci (CIL XVI 38 und 39) die Konsulndes J. 94 für jene des vorangehenden Jahres gehalten. S. etwa: W. LIEBENAM, Fasticonsulares imperii Romani, Bonn 1909, 17 un d die Artikel übe r die bet re ff end en Sen at or enin PIR und RE.

96 A. DEGRASSI, F C 28: 93 /10 0c . R . SYME, Ta c i tu s I I . Ox f o r d 1958, 664 f . u n dW. ECK, а . O. 166 sind für das J. 93.

96 A. DEGRASSI, FC . I .E. : 93 О 97? V gl . W. EC K, а . O . 56 , A n m . 6 .97 A. DEGRASSI, FC 27: prima dell'87 (o nel 93).9 3 A. DEGRASSI, F C 2 8: 93 /1 00 C.9 9 A. DEGRASSI, F C 22 4: pr i m a de l l '8 6 (O ne l 93) .

1 0 0 A. DEGRASSI, F C 28 u n d 2 27 : 93 ?101 W. ECK, Befö rder ung skri teri en der senatorischen La uf ba hn , AN RW II . 1,

Berlin-New York 1974, 200, Anm. 201: «möglicherweise» 93.102 R. SYME, J R S 43 (1953), 160. IDEM, Th e Ummidii , História, 17 (1968), 72 ff.bes. 82 f.

10 3 R. SYME, JRS 43 (1953), I.e. (perhaps). S. auch L. VIDMAN, FO 47 f.104 A. DEGRASSI, FC 26: prima dell'87 (o nel 93). Das letztere Datum beführworten

H . NESSELHAUF, G n o m o n , 26 (195 4) , 26 7, R . SYME, Ta c i tu s , I I 63 8.105 H. NESSELHAUF, а . O. 270: «in einem der Ja hr e 84 — 86 od er 93.»406 CIG 2876, PIR 2 D 14.107 Da C. Aquilius Proculus f ür da s Pr okon sul ats jäh r 103/104 bezeugt ist (W. ECK,

u.O. 161, Anm. 214), erstreckt sich der Datierungswert der zwischen 103 und 11 3 gepr ägte nMünzen aus Thyatira selbstverständlich nur auf die im obigen Text angegebene Zeitspanne.

108 Na ch de m Vor ga ng E . GROAG'S, P I R 2 D Add. p. XI argumentierte für dieIde nt it ät w iede rhol t R. SYME, J R S 43 (1953), 156, Tac itu s, II 6 36 (u. a.), der de n Pr o-konsulat des L. Dasumius [Hadrianus?] auf das Amtsjahr 106/107, während dessen

Konsulat auf das J. 93 verlegt hat. Vorbehalte sind dagegen in PIR 2 H 5. Ganz zurück-h a l t e n d i s t B . THOMAE, L P II . 2 (19 78) , 2 9.

27* Acta Antiqua Ac ademiae Scientiarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


430 T. NAGY

sieht auf die datierten Münzen von Thyatira einer-, und auf das allgemeinen12—13-jährige Intervall zwischen Konsulat und Prokonsulat andrerseits daserstere Amt frühestens im J. 93, spätestens aber in einem der Jahre 98 — 100bekleiden.1 0 9 Für L. Dasumius . . . kann man jedoch noch die obige, zumindest

fakultative Möglichkeit wegen seiner völlig unbekannten Amtszeit in Asianicht in Rechnung nehmen. 110

2. Für den wahrscheinlichen Konsulat des A. Egrilius Plarianus Paterim J. 93 berief sich A. Degrassi auf eine Inschrift von Ostia. 11 1 Aus der ange-führten Inschrift geht jedoch nur soviel hervor, daß Egrilius Pater zur Zeit,als dieses beschriebenes Denkmal aufgerichtet wurde, schon Konsul gewesenwar. Näheres über das Jahr seines Konsulats läßt sich aber aus dem besagtenText nicht ermitteln. Gegen einen möglichen Konsulat dieses Senators imJ. 93 spricht außerdem noch, daß sein Sohn erst im J. 128 zum Konsulat

gelangt ist.11 2

Wenn also Egrilius Pater die Fasces schon im J. 93 geführthätte, daraus ergebe sich ein 34-jähriges Intervall zwischen seinem und seinesSohnes Konsulatsdaten, was aber in den Jahrzehnten um die Wende des1. zum 2. Jht. ganz vereinzelt da stehe. 113 Dies in Betracht ziehend emp-fi eh lt es sich den Ko n su la t des Egrilius P at er mit einigen J ah re n nach 97 zuverle gen. Ja, die neu est en Forschungsergebnisse scheinen d af ür sprechen, daßder am 1. Okt. 128 belegte Suffektkonsul, A. Egrilius Plarianus, ist nicht mitdem jüngeren, sondern mit dem älteren A. Egrilius Plarianus, also mit demPater identisch sei.113a

3. L. Iulius Ursus Servianus, der Schwager des späteren Kaisers Hadrian,ist nach der einleuchtenden Beweisführung von R. Syme 114 identisch mit dem

10 9 Das J. 97 fällo weg, wenn sich die von F. Zevi, а . O. (Anm . 17), 137 für diesesJahr vorgeschlagene Konsulliste bewähre.

no Wenn jeman d doc h auf der Iden ti tä t beste he und den Konsu la t dieses Sena-tors auf das J. 93 verlege, der verfahre richtiger, diesen Senator nicht als L. Dasumius[Hadrianus?], sondern im Gegenteil als [L. Dasumius?] Hadrianus benennen. Eine mög-liche Bekleidung des Konsulats in diesem Jahr folgt nämlich aus den besagten Münz-lege nden nur für [. . . ] Hadr ia nus . Die Sta tth alt er sch aft des L. Das umius . . . in derProvinz Asia ist dagegen nicht näher datierbar.

111 CIL XI V 399. E . G ro ag , PI R 2 E 48 hat gegen H. Dessau ad. tit. festgestellt,daß die richtige Artikulierimg des Textes in den Z. 2 — 3 ist wie folgt: A. Egrili Plariani

Patris, p(atroni) c(oloniae), co(n)sulis. Fü r diesen Vol lna men bie tet nu n ein willkommenesneues Beleg, AE 1955, 173.112 A. Degrassi, FC 37. Aber nicht dieser, sondern sein Onkel, adoptiert von einem

M. Acilius Priscus, hieß M. Acilius Priscus Egrilius Plarianus. S. die Stemma der Familiebei H. Bloch, A Ostie, NdS 1953, 264.

113 S. die Au sf üh ru ng en von W. Ec k, Sen ato ren , 67 f., An m. 73, der von demdurchschnittlichen 25—30-jährigen Intervall nur 4 Ausnahmefälle registriert, aber nurfür ein kürzeres Intervall. Ein anderes Bild zeigt sich freilich in der frühantoninischen Zeit,als ein Intervall von 34 oder noch mehreren Jahren ziemlich häufig vorkam. S. die dies-bezügliche tabellarische Zusammenstellung bei G. Alföldy, Konsulat, 323 f.

, 1 3 a f . Zevi, Nu ov i docume nti epigrafici sugli Egrili Ostiensi, ME FR 82 (1970),279ff. , bes. 300f. Vgl. M. Co r b i e r , L 'aerarium Saturai et Vaerarium militare, P a r i s -R o m a 1974,169 f. zu ges ti mmt vom H.-G. P f l a u m , Les fastes de la province de Nar bon-naise, Paris 1978, 20.

114

R. Syme, JR S 43 (1953), 156. Id em , Tacit us, I I. 636. S. auch, PI R2

J 569und 631.


8/15/2019 ACTAANTIQUA_28 (1980)



Ser. lui. Servianus ( s u f f . 90). Die Namensve rschi edenhe it erkl ärt in di esemFalle genügend eine nach 90 und vor 102 erfolgte Adoption des Ser. lui.Servianus durch den L. Iul. Ursus ( s u f f . 84).

4 — 5. Als Suffektkonsuln im J. 93 können dagegen weder Puhlilius (oderPublicius) Tullus, noch Silius Italicus in Evidenz halten. Der erste von diesenverdankte ihre Existenz einer verlesenen Münzlegende, die richtig den Namedes L. Baebius Tullus ( s u f f . 95) un d Prokonsu l in Asia ca 100/110 e rhal tenhat.115 Über den zweiten Kandidat, den angeblichen Sohn des bekanntenDichters, Ti. Catius Asconius Silius Italicus, hat schon E. Groag das Wesent-liche mitgeteilt.116 Der Erstgeborene des Dichters, dessen Konsulat Martialisin einem Epigramm beglückwünscht,117 hieß L. Silius Decianus und hat die

fasces im J. 94 geführt.118

6. Der nächste Kompetent, Sallustius Lucullus, hat zwischen 93 — 96,

bzw. 92/93 die Provinz Britannia verwaltet.119 Wohl sein zweiter Nachfolgerin dieser Legatur, P. Metilius Nepos ( s u f f . 91), wurde im J. 98 durch T. AvidiusQuietus ( s u f f . 93) von dieser Post abgelöst.12 0 Die Konsulatsdaten der letzt-genannten zwei Senatoren zeigen schon an und für sich genügend, daß derKonsulat des Sallustius Lucullus dürfte vor 91, ja die erhaltene Konsullisteder FP berücksichtigend, vor 87 liegen.121

7. Eine nähere Betrachtung erwünscht der neulich auf das J. 93 vor-geschlagene Suffektkonsulat des Cn. Suellius Flaccus.12 2 Dieser Vorschlaggrü ndet sich auf die Leg atu r des Flacc us in Numi dien, wo es lau t einer I nsc hr if t

aus der Nähe von Syrtis,123

als leg. Aug. propr. (sie !) fü r das Amtsj ah r 86/87in der Tat bezeugt ist.12 4 Wie es schon längst erkannt wurde, die mit demLegionskommando verknüpfte Legation in der Provinz «Numidia» eröffnetedem hiesigen Befehlshaber meist den Weg zum Konsulat. Von den zweibekannten Vorgängern des Flaccus aus der Regierungszeit Domitians, L. Tet-tius Iulianus bekleidete schon im auf seiner numidischen Legation folgendenJahr, C. Octavius Tidius Tossianus L. Iavolenus Priscus aber nach einjährigem

115 P I R 2 В 29.116

E . G r o a g , s. v. «Silius», NO 14, R E I I I A (1927), 78.117 Mart . , 8.66. Zur Datierung: R. Hanslik, Die neuen Fastenfragmente von Ostia,WS 63 (1948), 117 ff., bes. 123.

118 AE 1949, 23. Vgl. R. S yme , JR S 43 (1953), 157. Fälschlieh (D) gibt das Prä-nomen A. Degrassi , FC 227 an.

119 A. E. B i r l e y , The Rom an Gov ernors in Bri tain , ES 4, 1967, 68. W. Ec k,а . O. 143.

120 CIL X VI 43.121 Wen n sich je doc h seine Identität mit dem P. Sallustius Blaesus bewähre

[cf. R. Syme, JRS 43 (1953), 158], dann hätte er die Fasces schon im Jahr 89 geführt.A. Degrassi , FC 27.

122 S. oben , An m. 101.123 P. R o m a n e l l i , Ti e iserizioni Tripol itane di interesse storico, Epi gra phic a,

1 (1939), 111 = A E 1940, 70 = I R T 854.

И « yg i G В Tho mas son , Die Stat thal ter der römischen Provinzen Nor dafr ikas,II. Lund 1960, 158 f., und Opusc. Rom. 7 (1969), 180.


8/15/2019 ACTAANTIQUA_28 (1980)


432 T. NAGY

Intervall das höchste Amt.125 Wenn auch Ausnahmsfälle prinzipiell nichtgeleugnet werden können,12 6 ist es doch im gegebenen Falle ziemlich unwahr-scheinlich, daß Suellius Flaccus seinen Konsulat erst nach einem fünfjährigenIntervall nur im J. 93 angetreten hätte. Das berechtigte Bedenken verstärkt

noch mehr der Umstand, daß die Laufbahn des Cn. Suellius Flaccus nach seinernumidischen Legatur ganz unbekannt ist, ja wissen wir nicht einmal, ob erdas höchste Amt überhaupt wirklich bekleidet hätte. Ein anderer Vorschlagalso, daß nämlich Flaccus noch als Anwärter auf den Konsulat in Ungnadegefa llen , oder gestorben ist, scheint eine größere Wahrscheinlichkeit zu haben.127

8 — 9. Vibius Varus und ein gewisser Ummidius scheiden nach der Neuda-tierung des Fragments XXXI. der FO auf das J. 115 aus der Reihe der com-

petitor es ebenfalls aus.128

10. Als einen ziemlich gut beglaubten Anwärter auf einen Suffektkon-

sulat des J. 93 darf man dagegen den L. Iul. Mar[inus?] ansehen, der in derzweiten Hälfte der achzigeren Jahre, spätestens im J. 89/90 die Provinz Pontusund Bithynia verwaltet hat129 und im Januar 97 schon als konsularer Statt-halter in der Provinz Moesia inferior bezeugt ist.13 0 Nach diesen Daten müßteIul. Mar[inus?] die fasces unbedingt im J. 93 führen, da sein Name fehlt inden vollständigen Konsullisten der Jahre 87 — 92 und 94 —96.131

11. Ebenso spricht das meiste dafür, daß T. Vestricius Spurinna seinenersten Suffektkonsulat im J. 93 bekleidet hat. Er war bekanntlich cos. s u f f .II im J. 98.132 Aus der Liste der Suffektkonsuln dieses Jahres folgt nun unge-

zwungen, daß Spurinna das höchste Amt zum ersten Mal unbedingt nach 84

125 Zu den Legation dieser Senatoren in Numidien s. B. E. THOMASSON, Statthalter,I I 157 f., zu ihren K on su la te n s. A. DEGRASSI, FC 25 f.

128 S. die im obigen, S. 464 Bemerkten.127 Ähnlich beurteilte diese Frage schon E. BIRLEY, JRS 52 (1962), 224.1 2 8 F . ZEVI , а . O . ( A n m . 9 3 ) , 4 3 8 .129 Erw ähn t seinen hiesigen Proko nsu lat die inschriftlich überliefert e Lauf ba hn

seines Sohnes (D 1026), der unter seinem Vater legátus pro praetore war, gewiß vor 91.E. GROAG, s. v. Iulius», no 341, RE X 670. PIR 2 J 408. G. ALFÖLDY, Legionslegaten, 20.W . E C K , а . O . 140 . B . KR EI LE R , а . O . ( A n m . 49 ) , 143 .

13 0 CIL XVI 41. Der in seiner Zeit noch berechtigte Zweifel, ob Mar[inus?] einzig

aufgrund des Fundortes des fragmentierten Militärdiploms, gef. in der römischen Festungvon Salsovia, das nicht einmal den Namen der Provin z enthielt, den St att hal ter n Unter-moesiens zugerechnet werden könne [s. A. STEIN, Die Legaten von Moesien, 58, B.THOMAE, LP (Moesia, Dacia, Thracia), Gothoburgi 1977, 13], ist nach dem Bekannt-werden des Militärdiploms von Viminacium [SI. DUSANIC —M. R. VASIC, An UpperMoesian Diploma of A.D. 96, Chiron, 7 (1977), 291 f.] gegenstandlos geworden. Cn.Pinarius Aemilius Cicatricula Pompeius Longinus ist mit diesem am 12. Juli 96 aus-gestellten Diplom wohl auch für das Amtsjahr 96/97 on Moesia superior als Statthalterbezeugt, und Mar[inus?], der laut dem Diplom von Salsovia seinen Post schon vorJanuar 97 besetzen dürfte, konnte folglich nur die Provinz Moesia inferior verwalten.

13 1 S. auch H. NESSELHAUF, а . O. (A nm . 104), 267 un d W. ECK, а . O. 73, An m . 109.Der letzteer Forscher r ec hne t auch mit dei' Möglichkeit, daß Mar[inus?] schon vor 87consul gewesen sein kö nn te . Es ist aber schon deswegen ganz unwa hrsc hein lic h, weil seinVorgänger in dem Prokonsulat von Pontus und Bithynia, Ti. Iul. Celsus Polemaeanus

den Suffektkonsulat erst im Jahr 92 bekleidet hat. A. DEGRASSI, FC 28.1 3 2 A. DEGRASSI, F C 29 .


8/15/2019 ACTAANTIQUA_28 (1980)



antreten müßte. Die erste Stelle unter den Suffektkonsuln dieses Jahres nimmtnämlic h der Neup atriz ier Cn. D omi tiu s . . . Tullus ein,13 3 der seinen erstenSuffektkonsulat im J. 77, oder 78 bekleidete. 13 4 Nach diesem Patrizier, deram Idus Ianuar, an die Stelle des Kaisers Nerva getreten ist, folgen in der Liste

drei Plebejer, alle als cos. s u f f . I I . Zuerst, Sex. Iulius Frontinus, cos. s u f f .erstmals im J. 73.135 Dann, L. Iulius Ursus, cos. s u f f . das erste Mal im J. 84,134

und als der dritte, T. Vestricius Spurinna, der nach dieser Nacheinanderfolgegewiß als der rangjüngere unter diese Plebejern kenntlich gemacht wird.Seinen ersten Suffektkonsulat hat also Spurinna beinahe gewiß nicht vor 84,etwa noch unter Vespasian,13 7 sondern nach 84 bekleidet. Das Jahr 85 kommtaber aufgrund der neueren Forschungsergebnissen138 nicht in Frage. WennSpurinna die Fasces im J. 86 geführt und danach seine von Plinius bezeugteLegation in Untergermanien übernommen hätte,139 dann würde er zurzeit

des Saturninus-Aufstandes der Statthalter dieser Provinz gewesen. Der Statt-halter in dieser Provinz war aber damals bekanntlich A. Bucius LappiusMaximus,140 der Suffektkonsul im letzten nundinum des J . 87.141 Spurinnadürfte also normalerweise später, als Lappius Maximus, aber unbedingt vor98 die Fasces führen, da er schon zum zweiten Mal das höchste Amt erlangthat. Das J. 97 fällt jedoch weg 142 und ebenso wenig kommen selbstverständ-lich auch die Jahre 94 — 96 un d 87 — 92 in Betr acht. N ac h alledem bleibe alsonur das J. 93 für seinen ersten Suffektkonsulat übrig. Spurinna war damalszwar schon fast ein Siebziger.14 3 Dieser hohe Lebensalter schließe aber den

obigen Zeitansatz keinesfalls aus. Domitian hat im J. 96 den neunzigjährigenC. Manlius Valens zum eponymen Konsulat zugelassen14 4 und Kaiser Nerva

133 Erk an nt von R. Syme, J RS 43 (1953), 156. Vgl. auch H. Ne s s e l ha uf , а . O. 270,L. Vidmann, FO 51 f.

134 S. oben, Anm. 68.134 PIR» J 322, W. Ec k , а . O., 73? A. De g r a ss i, FC 21: T74. Wen n Q. Petil liu s

Cerialis seinen zweiten Suf fekt kon sul at ni cht in absentia bekleidet hätte, dann müßteFrontinus, der unmittelbare Nachfolger des Q. Cerialis in der Provinz Britannia (Tac.,Agr . 17), die Fasce s spä tes ten s im J. 73 fü hr en und so wäre d er R es t . . .]ON [. . . einesKonsulnamens in den Fasti feriarum Latinarum (I. I. Х 1 П . 1 ,2) r icht iger nicht auf denNamen des Sex. Iulius Fr]on[tinus, sondern wohl auf jenen des M. Hirrius Fr]on[to zu

ergänzen. Cf. auch J. Morris, а . O. 328, 331.ne PI R2 j 630, m i t vollständigem Apparat.137 So W. Eck, а . O. 58, An m. 22. Son st, Sp ur inn a war im J. 69 kein «Legionslegat»,

sondern nach Tac., hist. 2.18,1 der Befehlshaber einer gemischten othonianischen Truppe.S. auch, R. Saxer, Untersuchungen zu den Vexillationen des römischen Kaiserheeresvo n Augu stu s bis Dio kle tian , ES 1, Kö ln —Graz 1967, 17.

738 S. M o d u g n o - S . P a n c i e r a - F . Z e v i, R iv . s to ri ca dell'Antiehitä, 3 (1973),87 ff ., bes. 106 = AE 1975, 131.

139 Plin., E p. 2.7,1—2. Vgl. au ch E p. 3.1,12: (Spur inna) provincias rexit, wo derPl ur al eine ähnli che Übe rt re ibu ng sein kan n, wie z. B. in Pli n., Pane g. 14,3, bei derErwähnung Traian's Kommando in Hispania über « legiones».

no P I R I R 8 4 ) m i t a l l e n gelegen.141 AE 1949, 23.141

Vgl. F. Zev i, а . O. (An m. 17).143 Geb. um d as Ja h r 24, Plin., E p. 3.1,10.144 Cassius Dio, 67.14,5 (B oi ss ev ai n, I II . 182).


8/15/2019 ACTAANTIQUA_28 (1980)


4 8 4 T. NAGY

im folgenden J a h r de n zumindest in seinem 83. Leb ens jah r stehend en L. Ver-ginius Rufus zum Kollegen im Konsulat gewählt. 145

Von den im Obigen kurz besproc henen elf Kan di da te n fü r je einen Suf fekt-ko ns ul at des J . 93 bewähre n sich also eigen tlich nu r zwei Sen ato ren : T. Vestri-

cius Spurinna und L. Iulius Mar[inus?]. Alle beiden können neben T. AvidiusQu ie tus und dem Cornfelius . . . mit gewissem Rec ht in Ev iden z ha lten. Alsder Fünfte wäre zu diesen [.] Neratius [Priscus] anzureihen, der als Statt-halter Lykiens zwischen 86/87 und 88/89 das höchste Amt, dessen Bekleidungvon einer Digestenstelle verbürgt wird, nur in diesem Jahr antreten konnte.Einen möglichen Einwand gegen seinen Konsulat in diesem Jahr darf manaber an dieser Stelle nicht gänzlich außer Acht lassen.

Unter Domitian galt es nämlich gewissermaßen als Regel, daß ein Patri-zier sein Amt als Suffektkonsul unmittelbar nach den consulee ordinarii

angetreten hat.146 Die Fasti Potentini verm erk en aber un te r den Suffe kt-konsuln des J. 93 als den Ersten den Plebejer (T.) Avidius Qfuietus], worausnach den Obigen logisch folge, daß auch die übrigen Suffektkonsuln diesesJahres zur plebejischen Nobilität angehört hätten. Der Jurist als Patrizierkonnte also bei strickter Anwendung der obigen Regel schwerlich in der Kon-sulliste dieses Jahres einen Platz finden. Es ist aber nicht zu schwer, diesenauf dem ersten Blick berechtigten Einwand eben aufgrund der FP zu über-winden.

Der Text dieser Fasti ist bekanntlich sehr fehlerhaft. Nicht nur die Namen

der amtierten Konsuln sind oft verschrieben,147

sondern, was bis auf denheutigen Tag weniger beachtet wurde, auch die Konsulnamen in den einzelnenNundinien wurden etliche Male miteinander verwechselt. Zwei Beispielegenügen. Die FP registrieren beim J. 88 im dritten nundinum das Konsulpa ar,Sex. Iulius Sparsus, M. Otacilius Catulus. In einem offiziellen Dokumente,dem Militärdiplome von Muhowo,14 8 kommen diese Konsulnamen dagegenin umgekehrter Reihenfolge vor. Das Gleiche gilt für das J. 90, wo im vor-letzten nundinum liest man in den F P : Cn. Pompei us Longin (us), L. Pull aienusPollio. Die offizielle, umgekehrte Reihenfolge bewahrte das Militärdiplom von

Mainz.149

Nach diesen Beispielen, die wohl noch vermehrt werden können,scheint es berechtigt zu sein, auch im zweiten nundinum des J . 93 mit einerähnlicher Verwechslung zu rechnen.

Zuletzt, die Datierung des im Obigen schon erwähnten neuen Fragmentsder FO mit fünf Suffektkonsulnpaaren auf das J. 93150 beseitige auch dasletzte Hindernis aus dem Wege des Konsulats unseres Neratius zu diesem

145 Plin., Ep. 2.1,4.146 H . N e s s e l h a u t , а . O. (Anm. 104), 269. W. Ec k , а . O. 64.147 Bemer kt schon von N. A l f i e r i , а . O. (Anm. 16) in der Veröffentl ichung der FP .148 CIL XV I 35.149 CIL XV I 36.159 F. ZE VI, а . O. (Anm. 93), 438.


8/15/2019 ACTAANTIQUA_28 (1980)


DI E ZWEI L. NERATII PRISCI 4 3 5

Zeitpunkt. Von den mit diesem Fastenfragment wohl bezeugten 10 Suffekt-konsuln sind zwei, nämlich (T.) Avidius Quietus und ein Corn.[elius . . . durchdie FP belegt. Drei weitere Senatoren, T. Vestricius Spurinna, L. IuliusMarfinus ?] und [. ] Neratius [Priscus] lassen sich ferner mit der größten Wahr-

scheinlichkeit, fast mit Gewißheit als die Konsuln dieses Jahres in Evidenzhalten. Als der Sechste, trete zu diesen 5 Senatoren möglicherweise noch[L. Dasumius?] Hadrianus hinzu. Vier Suffektkonsuln bleiben also nochunbekannt.

Aufgrund der Gesagten läßt sich die Lebensgeschichte und die öffentlicheLaufbahn des Juristen bis zum Konsulat, wie es folgt, vorzulegen : geb. umdie Mitte der fünfziger Jahre, Prätor um 85, kaiserlicher Legat in der ProvinzLycia und Pamphylia zwischen 86/87 und 88/89, Suffektkonsul im J. 93,etwa in seinem 38., oder 39. Lebensjahr. Dieses Alter kann gleich auch für

den Patriziat des Juristen sprechen. Von den übrigen flavischen Neupatriziern,deren Lebensdaten genauer bekannt sind, hat nämlich der ältere Zeitgenossedes Juristen, Cn. Iulius Agricola (geb. am 13. Juni 40, s u f f . 77)151 in seinem 37.,oder 38., während der mit dem Juristen fast gleichaltrige M. Ulpius Traianus(geb. am 18. September 53, ord. 91)15 2 in seinem begonnenen 38. Lebensjahrden Konsulat angetreten.

Unserem Neratius Priscus wurden konsulare Amter, soweit wir wissen,weder unt er Dom iti an, noch un te r den späteren Ka ise rn a nve rtr aut ; wohlhat er aber als der Représentant der prokulianischen Rechtsschule eine

Tätigke it im Gerichtshof Traian s entfal tet. 1 5 3 Unter Hadrian wurde unser Juristin den von diesem Kaiser umgestalteten Gerichtshof 154 zwar noch öfterseinberufen,155 das besondere Vertrauen Hadrians in der Rechtspflege hat jedoch neben dem sabinian ischen Rechtsschule angehörigen P . Sälvius Iul ia-nus15 e schon ein jüngerer Vertreter der Prokulianer, der zur Generation Had-rians angehörige P. Iuventius Celsus ( s u f f . 117 ?)157 genossen.15 8 Der Lebenslaufdes Neratius Priscus läßt sich bis zu den Jahren 133/134 verfolgen. 159

161 P I R 2 J 126.142

R . H a n s l i k , а . O. (Anm. 32), 1036 f. Anders J. M o r r i s , а . O. (Anm. 73), 328.143 Dig. 37.12,5 + 1.2,2,53. W. K u n k e l , а . O., 144 f. Über die Rechtsschulens. jetzt auch die Artikel von D. Liebs, а . o. (Anm. 37), 197 ff.

144 J. C ro ok , Consilium prineipis, Cambridge 1955, 56 ff. W . K u n k e l , а . O. 291 ff.144 V. Ha dr . 18,1: Cum iudicaret, in consilio habuit п е с amicos suos aut comités

solum sed iuris consultes et praecipiue Iuventium Celsum, Salvium Iulianum, NeratiumPriscum aliosque, . . .

148 Sein cursus bonorum : D 8973. S. dazu T h. Mo mmse n, G. Seh r. 2, 1 ff. Das Le be nun d We rk des Salvius Iulian us wurd e zuletzt behandelt von E . B u n d , A NR W II . 15(1976), 408 ff. Über das stritt ige Geb urt sda tu m s. auch G. A l e ö l d y , Kon sul at 44, Anm. 30.

157 Er ist am 19. Ju li 114 noch als prät ori sche r St at th al te r in der Provinz T hr aci abezeugt (M. M. Roxan, RMD 14). Seine hiesige Legation dauerte wohl bis 115/116.Vgl. W. Eck, Senatoren, 176 f. Anders PIR 2 J 882.

158 Dies zeigt ziemlich klar die Nache inan derf olge der N a m e n der Juris ten in d em

oben, Anm. 155. angeführten Text. Die zwei ersten Stellen nehmen hier die Vertreterder prokulianischen, bzw. sabinianischen Rechtsschulrichtungen ein, P. Iuventius Celsus,respektive P. Salvius Iulianus. Neratius Priscus wird erst nach ihnen als der dritte


8/15/2019 ACTAANTIQUA_28 (1980)


436 t . n a g y : d i e z w e i l . n e r a t i i p r i s c i

Ein e wichtige Statio n dieses Leben slau fs war der schwer bestrei tbareKonsulat des Juristen im J. 93., der auch für die Beurteilung der Konsulate-daten der anderen zwei L. Neratii Prisci vom Belang ist. Die Annahme des imvorigen vorgeschlagenen Zeitansatzes bezüghch des Konsulats des Juristen

kann nämlich erst jeden Zweifel darüber aufheben, daß von seinen plebejischenNamensvettern der ältere L. Neratius Priscus das höchste Amt im J. 87,während dessen gleichnamiger Sohn jenen im J. 97 angetreten haben. DieBehandlung der nach ihren Konsulaten bekleideten Ämter dieser zwei Neratierin Pan non ién , sei mir aber gestat tet , einem nachfolgenden Auf sat z aufbe wahr en.

Budapest.

erwähnt. Dieser hadrianzeitlichen Bewertung des Celsus und des Priscus folgt offen-sichtlich auch Pomponius in Dig. 1.2.2, 53: Celso patri Celsus filius et Priscus Neratius.Der jüngere Celsus war praetor im J . 107, ins ofe rn der Prozeß de repetundis gegen Var enu sRufus im Senat (Plin., Ep. 6,5) in den ersten Monaten des J. 107 begonnen hat, wie esR . H a n s l i k , s. v. «Varenus», no 7, R E V I I IA (1955), 376 sehr wahrscheinl ich gemachtha t . A . N . She rwin-Whi te , а . O. (An m. 36) 399 f. hält dagegen auch das Ende 106 fürwahrscheinlich. Jedenfalls, wenn P. Iuventius Celsus die Prätur minima aetate, d. h. inseinem 30. Lebensjahr angetreten hätte, dann fälle sein Geburtsdatum ins J. 76 (es istau ch da s Gebu rts jah r Hadri ans) , oder ins J. 77. Sein zweiter Kons ul at im J. 129 (A. De g-

rassi, FC 37) zeigt ferner genügend, daß er das Wohlwollen Hadrians im großen Maßgenossen hat.159 S. oben, S. 463 und Anm. 74.


8/15/2019 ACTAANTIQUA_28 (1980)


*

CS. TÖTTÖSSY

THE VARIANTS OF THE FRAME STORY OFTHE áUKASAPTATI

In an earlier paper 1 1 arrived at the conclusion that the appearance of theso-called cunning stories among the stories in the Őukasaptati 2 can be regardedas the birth of the genre of short story within Sanskrit literature. 3

However, the principal frame story of the Sukasaptati4

— i.e. not that ofth e single stories, bu t th at of th e whole work — is a fa ir y- ta le st ory , w he re ,

4Cs. TÖTTÖSSY: Ant. Tan. 15 (1968) 221 foil, and Acta Ant. Hung. 17 (1969)433 foil.

2 The te xt e dit ions of the Sanskr it v ar iant s of the Su ka sa pt at i are : R . SCHMIDT :Der Textus ornatior der áukasaptati. Kritisch hgg. von —. ABayA I. Cl. 21 (1901) 2.Ab t. Münch en 1898. 317—416; R. SCHMIDT: Die Çu ka sa pt at i. Text us simp lici or.AK M 10 (1897) No. 1. Leipzig 1893. X + 2 1 3 ; and no tes to thi s te xt : R . SCHMIDT: ZDM G48 (1894) 580—628; R . SCHMIDT: Der Te xt us simplicio r der Su ka sa pt at i in de r Re cen-sion der Handschrift A. ZDMG 59 (1900) 517—547 and ZDMG 55 (1901) 1 — 44 (Te xtu selegantior) ; áukasaptat i . Di lli 1959. 152 (Tex tus simplicior) ; RAMÄKANTA TRIPÂTHÎ :Suka sapt ati . Ed . with c omm. by —.Va rana si 1966. 288 (Te xtus simplicior). — The t ra ns-lati ons of the Sa nsk rit va ri an ts of th e Suk as ap ta ti ar e : R. SCHMIDT : Die áu ka sa p-tati. (Textus ornatior.) Aus dem Sanskrit übersetzt von —. Stuttgart 1899. IV+149;R . SCHMIDT : Die Çuka sapt at i. (Textus simplicior.) Aus de m Sanskrit über se tz t vo n—. Ki el 1894. 11 1+10 2 ; R. SCHMIDT: áu ka sa pt at i. D as indisc he Papag ei enb uch . In :Meisterwerke Orientalischer Literaturen. III. Bd. München 1913. I—XIV + 1 — 120 (Tex-tu s simplicior) ( Einlei tung, Überset zung) ; Ш у к а с а п т а т и . С е м ь д е с я т р а с с к а з о в п о п у г а я .П е р е в о д с с а н с к р и т а М . А . Ш и р я е в а . П р е д и с л о в и е и п р и м е ч а н и я В . И . К а л ь я н о в а .М о с к в а 1960. 173 (Textu ssimplic ior) ; Cs. TÖTTÖSSY: S uka sza pta ti. Budapest 1962. 249(Te xtus ornatio r) (Trans lat ion, pos tsc rip t, note s) ; W. MORGENROTH : Das Pap age ien -buch. Berlin 1968, 324 (Textus ornatior und 16 Erz ähl ung en aus dem Textus simplicior)(Übersetzung, Nachwort, Anmerkungen).

3 These cunn ing stories centre around a witt y and une xpe cted t urn t aki ng pl ace

during a rescue from great straits or a solution of an intricate problem. Their essenceis this unexpected turn, and it is not the victoiy of truth that is important here (as,for insta nce in th e tale of the clever ra bbi t take n over from the Pan ca ta ntr a (Ta ntr ä-khyäyika a and ß I. 6, Pane. t. s. and t. o. I. 8., áuk. t. о . 40, t. s. 31, t. e. 33.), but thedisentanglement from the difficulty, which is always successful by any means. Thisever victorious character of the cunning story reflects an optimism founded on prosperity.In contrast to the transcendental solutions of the folktale realism prevails here.

4 As for me I distinguish not only two Sans krit v ari ant s of the Su kas apt ati [i.e.textus ornatior, (abbrev. : t. o.) and textus simplicior (abbrev. : t..«.)], but three ones, thatis to say I regard the textus elegantior (abbrev. : t. е .), published by Schmidt based on themanuscript A as a separate variant [cf. Cs. TÖTTÖSSY: Ant . Tan. 14 (1967) 249 a ndActa Ant. Hung. 16 (1968) 447]. The literature, however, — evidently on tho basis of theslightly misleading title of the edition by Schmidt of the text of manuscript A — usuallymen ti ons two va ri an ts of text , see M. WINTERNITZ : Geschicht e der indischen Li tt er at ur .

III. Loipzig 1920. 343 and id.: A Hi st or y of In di an Li te ra tu re . Trans i, by SUBHADRAJHA. Vol. II I. Pa rt I . Delhi —Varanas i—Patria 19 7 72. 4 1 6; A.B .KE ITH : A Histo ry


8/15/2019 ACTAANTIQUA_28 (1980)


438 CS. TÖTTÖSSY

am ong o t he r s , a pa r ro t occu r s . 5 M i racu l o us e l e m en t s an d m ag i c p l ay a m a j o r

ro l e i n f a i ry - t a l e . The se f a i r y - t a l e s t u rn i n t o ad ven t u r ous an d i n t e r es t i ng

s t o r i e s , hav i ng t he e l em e n t s of t he wor l d o f i r r a t i ona l i t y . Never t he l e s s t h e

aim of the presen t paper i s no t to deal wi th the charac ter i s t i cs o f the fa i ry-

ta les , nor to d i scuss a l l par ro t s to r ies ,

6

bu t m ere l y t o exam i ne t he pa r ro ts t o r i e s occu r r i ng i n t he Sukasap t a t i va r i an t s and i t s l a t e r ve r s i ons , and s e rv -

ing as the i r f rame s tory .

The f r am e s t o ry o f t he textus ornatior v a r i a n t of t h e S u k a s a p t a t i 7 is the

fo l lowing :

A son , M a da na se na is bo r n t o H a r a d a t t a , t he r i ch m e rc ha n t , a s a r ew ard

f o r h i s v e n e r a t i o n o f S i v a . H a r a d a t t a o b t a i n s t h e P r a b h ä v a t ! o f r a d i a n t b e a u t y

as wi fe for h i s son , and as a resu l t o f her beauty Madanasena neglec t s even h i s

du t i e s a s a m erchan t . Harada t t a , h i s f a t he r g rows despe ra t e s ee i ng t ha t h i s son

neglec t s h i s du ty un t i l Tr iv ikrama, one of h i s f r i ends g ives h im the advice to t ry

and b r i ng abou t a change i n h i s son ' s a t t i t ude wi t h t he he l p o f t he pa r ro t Guna-

sägara and of h i s wi fe , the s ' ä r i&ä-b i rd Malayavat ï , who were changed in to b i rds

be ca us e of th e curse of I nd ra .

T r i v i k ra m a goes on t o ex pou nd t he s t o r y o f t h i s t r an s f o r m a t i on t o H ar a -

d a t t a . Th e pa r ro t u sed t o be Vi sv äva su , t h e Ga nd ha rv a k i ng an d t h e na m e o f

of Sa nsk rit Lite ratu re. Lon don 1961. 290 ; О . В о т т о : Le tt e ra t ure an ti che del l' Indi a.Milano 1969. 202 ; Ш у к а с а п т а т и . С е м ь д е с я т р а с с к а з о в п о п у г а я . П е р е в о д с с а н с к р и т аМ . А . Ш и р я е в а . П р е д и с л о в и е и п р и м е ч а н и я В . И . К а л ь я н о в а . М о с к в а 1960. 7; W. MORGEN-

ROTH : op. cit. 282 ; b u t see also R . SCHMIDT : ZDMG 54 (1900) 515. From th e vie wpo intof the present work, however, it is of no consequence whether textus simplicior and textuselegantior are regarded as two separ ate varia nts or not, because th e int rod uct ory an d t heconcluding parts of the frame story are missing in the textus elegantior, comprising onlystories 2 — 53.

5 Th e single storie s (so th e st ory of Bâlasarasvatï or also that of another parrot,Dhürtacakora, who occurs only in the t. o. variant) are each told by the parrot of theseventy tales to his mistress, Prabhävati, in order to prevent her from immorality bynarrating a most often immoral story. In relation to the frame of these single storiesthis parrot chooses the most ingenious device in the textus ornatior var ian t, see Cs.TÖTTÖSSY : Ant. Tan. 10 (1963) 155 foil, and Acta Orient. Hung. 18 (1965) 227 foil.

6 See about these other Indian, Persian, Turkish, etc. Sukasaptati-versions namedâukabâhattarî, áukabahottar! and Tota-itihâsa, Tota-kahânï and Tüti-näme: R. SCHMIDT:Vier Erzählungen aus der Çukasaptati. Kiel 1890. 6 foil., id.: ZDMG 45 (1891) 629 foil,and ZDMG 46 (1892) 664 foil., id.: Über den Werth des Sanskritstudiums. Stuttgart1898. 4, W. PERTSCH: ZD MG 21 (1867) 506 foi l, and ZDMG 22 (1868) 568, J . HERTEE:Über die Suvâbahuttarîkathâ. In: Festschrift Windisch. Leipzig 1914.138 foil., J. HERTEL:Das Pancatantra. Seine Geschichte und seine Verbreitung. Leipzig—Berlin 1914. passim,M. WINTERNITZ: Gesch ichte der indischen L it te ra tu r. I I I . 346 foil., id.: A Hi st ory ofIndian Literature. Vol. III. Part I. 419 foil., A. B. KEITH, op. cit. 262 foil, and 359 andJ . RYPKA: Iranisch e Lite ratu rges chic hte. Leipzig 1959. 235. — See ab ou t the Pers iancollection of tales «Sindbäd-näme» (see J. RYPKA: toc. cit.) going back to an Indian work,and its Arabian, Syrian, Greek, Hebrew, Old Spanish, Middle Latin versions: M. WINTER-NITZ: Geschichte der indischen Litteratur. III. 348, id.: A History of Ind ian Literat ure.Vol. III. Part I. 421 foil., A. B. KEITH: op. cü. 360 foil, an d esp. B. E . PERRY: TheOrigin of the Book of Sindbad. Berlin 1960.

7 R . Schmidt a cco unt s the slightly in médias res start of the frame story for the

loss of th e begi nning of th e tex t, see R . SCHMIDT : Der Te xt us orna ti or de r Çuka sa pt at i.Ein Beitrag zur Märehenkunde. Stuttgart 1896. 1.


8/15/2019 ACTAANTIQUA_28 (1980)


THE VARIANTS OF THE FRAME STORY OF THE SUKASAPTATI 439

his wife was Mâlâvatî. Once they happened to fail to entertain Indra, and whenthe god, angry as he was, appeared they turned into birds in alarm, in order toelude Indra's wrath. Indra, upon this, cursed them that they should retain theirbird shape, and he became conciliated only that much that he promised them

that if they did a service to Madanasena, son of Haradatta, and if then he re-leased them in his joy, then they would obtain admission into the world of theimmortals again.

After being carried to the house of Madanasena, by means of the storyabout Devaáarman8 an d Pu nd arï ka , th e parr ot actually brings Madan asena toreason, and he even sets out in ord er t o increase his riohes. Pra bh âv at I, whoprotests at first despairingly against the departure of her husband, is trusted byMadanasena to the two birds. Vinayakandarpa, the son of the king, still takesa fancy to the merchant's young wife spending her days in sorrows and hisfemale messengers persuade the lady not to spend her life drearily, while herhusband obviously enjoys the pleasures of love with other women. Under theinfluence of all these, PrabhâvatI bejewels herself and prepares to set out.At this time the hen-bird openly opposes her. For this her mistress nearly wringsher neck, but she succeeds in flying away.The cock-parrot, however, is shrewder,wiser and more cautious. Upon the question of his mistress he shows a differentattitude. He seemingly approves of the departure of his mistress. He only cau-tions her to be as wise and clever as the hero, or the heroine of a story. Then,after relating the story he makes his mistress think so long on the solution ofthe complicated and diffic ult sit uati on th at a t last da y begins to dawn. Thu s,

while PrabhâvatI usually listened to the story of an unfaithful and false woman,she herself still does not strike into the path of conjugal infidelity, since by thetime when the parrot told her the solution at daybreak which she was unableto find out during the whole night, the night was over and at the same time theopportunity to see her lover was also missed.

This introductory frame story is very long. But the concluding part is allthe shorter, and it does not correspond to the introductory frame story. Thiswill be discussed and expounded at the end of this paper.

The introduc tory f ram e story9 of the textus simplicior varia nt of the áu ka -

saptati tallies in its contents with that of the textus ornatior, bu t th e story of th ecurse is not mentioned here, and the Pundarïka story is also omitted from theside of Devasarman's story. Nor is the attitude of the parrot so witty. In fact,

8 See Mahäbh ärata III . 20 7- 21 6.9 Aft er the two-line poem following Ganeéa's greeting , and af te r th e short intro -

ductory frame story, which states that this is only an abridged version of the story ofthe parrot, the first tale begins. Here in the introduction the name of the merchant isHar id att a, t ha t of his wife is Srngâra sunda rî, t ha t of the son is Madan avino da, laterMada na, t ha t of th e son 's wife is Pr ab hâ va tI , who is the daug ht er of a áreSthin na me d

Somadatta.


8/15/2019 ACTAANTIQUA_28 (1980)


440 CS. TÖTTÖSSY

here the parrot tells the cunning solution only on the condition that Prabhâvatîpromises to stay at home that night and to go to sleep. 10

The concluding part of the textus simplicior completely differ s fro m t ha tof the textus ornatior. In the textus simplicior th e concluding pa rt coming af te rthe 69th story, as a matter of fact, the 70th story itself, is namely exactly cor-responding to the introductory part. The husband, Madana, comes home. Hiswife is as kind to him as she had been before the time of his departure. However,the parrot starts to allude to the behaviour of the wife. Upon this the wifebegins to praise the wisdom of the parrot, the parrot hearing the praise isashamed of his hints, and Prabhâvatî gradually still starts to confess that dur-ing the absence of her husband she wanted to go to a strange man, and she waswi thh el d fr om this by the par rot by mean s of his cunning t al k. Th e man is abash-ed at the confession and he turns to the parrot for advice. Then the bird tellsthe story of Madanamanjari, the Gandharva Madana's 1 1 daughter, who simi-

larly did not in fact commit conjugal infidelity. 12 After listening to this story,Madana, Prabhâvatï's husband forgives, and at the festival arranged by Hari-datta, the parrot, the hen-bird and Trivikrama being delivered from the curse 13

go to heaven.In the textus elegantior of the Su ka sa pt at i — since in th e manu scri pt bo th

the beginning and the end are missing — this frame story, of course, does notappear at all.

The Maräthi version of the Sukasaptati, 1 4 as in general, tallies fairly wellwith the textus simplicior also with rega rd to th e fr am e story. 15

WithNahsabi and Qâdirï there is another parrot story. Diyä'u'd-din Nah-sabi, who was a contemporary of Häfiz and Sa'di and very likely was livingin th e court of Mu ha mm ad II , finis hed his work10 entitled Tûtï-nâme prob-

10 Pr ab hâ vat î, porsu adod by her wan ton friends, wan ts to go to Gun acan draaccording to the textus simplicior. He is no t a son of a ki ng in th is vers io n. Th e wife ofthe parrot acts clumsily and flies away in this version, too, in order to save her life.

11 Of course, this Madana is not identical with Prabhâvatï 's husband.12 A vidyä dha ra e njo ye d Mad ana man jar i, as a consequence of th e curso of th e

brähmaria Närada. Kanakaprabha, her husband, who wanted to kil l his wife therefore,learned from Candikä, the goddess in her temple that Madanamanjari was actuallyinnoc ent, because the vid yäd har a had assumed the figure of Kan ak apr abh a, and there-fore the goddess advises the husband to forgive.

13 This curse is me nt io ne d only here in thi s version (an d in th e int ro duc to ry pa rtit is not), even here it is not given in detail.

14 K. Schmidt : Sukabähattari . Die Maräthi-Übersotzung der Sukasaptati . Maräthiund Deutsch. А К М 10 (1897) No. 4. Leipzig 1897.

15 Accord ingly, w e need not go int o deta ils with reg ard t o th e Maräthi versionbecause of the correspondence between this text and the textus simplicior. Tale s 71 an d72 in the Maräthi version contain tale 70 of the textus simplicior. The tale 71 tells th estory about the Gandharva and his wife, and the tale 72 relates the story of the formercursing of the two birds, their present deliverance from the curse and their ascension tothe heaven on a celestial carriage, and the happiness of Madanasena.

16 See J . R y p k a : I rani sch e Liter aturg esch ichte . Leipzig 1959. 235 ; W. Pe r t s c h :ZDM G 21 (1867) 506 ; J . H e r t e l : Das Pa nc at an tr a. Seino Geschichte und seine Ver-

breitung. Leipzig—Berlin 1914. 234.


8/15/2019 ACTAANTIQUA_28 (1980)


TH E VARI ANTS OF TH E FRAME STORY OF TH E SUKA SAPTA TI 441

ab ly in 1330. He men tio ns in his work th at th e pa rr ot book had been tra ns -lat ed into Per si an al re ad y befor e him by an au th or wh om he does not na me .Nah sab i's work is very valuable, because besides th e Őuka sap tati version heused, he also made use of other Indian works. Muhammad Qâdiri's work,

wr it ten similarly in Persi an, is an elaborat ion of thi s successful Per sia n wor kof NahSabI either, with Pertsch and Schmidt,17 from the 17th, (or, accordingto Hertel,18 only fro m th e lat e 18th — early 19th ce nt ur y) .

Qâdiri's first tale19 contains even two parrot stories. The first part of thetale, corresponding to the parrot stories above, relates that once the merchantMeimun set out for a long business tour. The parrot, who together with anotherbird, is put in charge of the house, entertains with his tale« the woman, who issad because her husband left. One day, however, a prince from a foreign countrysets eyes on his mistress, and by the aid of female messengers he asks her to fix

an appointment. The woman puts on her finest clothes, and when the other birddisapproves of what she is going to do, she dashes her to the ground, so that shedies. The parrot is shrewder and he promises to conceal what she does from herhusband, just as the parrot of bey Feruh did not tell him anything about hismistress. Then, at his mistress' request, he tells the story of the other parrot,which is suit able bo th t o win th e confidence of his mist ress , and , the nigh t bei ngspent with listening to the story, to hinder his mistress from going to her loverthat night. This story (the second part of Qâdiri's first tale), 20 which beinganother version — is interesting to us, goes like this :

A merchant, named bey Feruh, on his departure put his wife and all hisgoods and chattels in his parrot's charge. He was away for a long time, and onthe other hand the woman soon got to know a young Moghul, and fell in lovewith him. She received him every night in her home and he stayed there tillmorning. All this was going on before the very eyes of the parrot, but he pre-tended to see or hear nothing at all. After arriving home, the merchant thor-oughly interrogated his parrot, who told everything else, but did not tell asingle word ab ou t th e infide lity of th e wife. The me rc ha nt , however, he ar dab ou t the ma tt er fro m others, theref ore he rep rim and ed th e wife and puni shedher. The wife, of course, suspected the parrot of giving her infidelity away.

Therefore once at night she tore his feathers, threw the parrot out the door, and

" W. P e r t s c h : ZDMG 21 (1867) 506; R. Sc h mi dt : Vorw ort zu Tutin amoh. I n :Meisterwerke Orientalischer Literaturen. III. Bd. München 1913. XV and J. Rypka: loc. cit.

18 See H e r t e l : Das Panc atant ra . 244.19 С . J . L . I k e n : Quâdirï ' s Tu tin ame h. Überset zt v on —. In : Meisterwerke

Orientahscher Liter atur en. I II . Bd. 121 — 236. Mün chen 1913. ( It is the re pr in t of histranslation edited in 1822.) 123 foil.

20 In the second part of the first tale Meimun's parrot tells the wholo story of thepa rr ot of boy Fe ru h. Th e stor y in Nah Sab ï and in Qâdirï is th e same, so I th ou gh t itsufficient to expound that of Qâdirï. Nahőa bi, at the end dif fer s only so far as in hi sversion the parrot rises from the dead because of the woman's prayers, and fromthis fact the husband is driven to the conclusion that his wife is iimocent.


8/15/2019 ACTAANTIQUA_28 (1980)


442 CS. TÖTTÖSSY

thinking that she did really destroy the bird, she alarmed all the servants andmaids, saying that the parrot was taken away by the cat. The bird, however,took shelter in the near-by cemetery in a grave pit. The merchant, when thenext day he did not find his favourite bird, expelled his wife, too. The wife went

to a neighbouring cemetery, because she knew that nobody would give shelterto her in his house. At night the parrot came out of the grave and told the wom-an to crop her hair and to spend forty days in the temple without any food, andthen all her sins will be forgiven and he himself will reconcile her with her hus-band. The woman thought that a pious soul was speaking from the grave andshe performed the instructions. Hereafter the parrot appeared to the woman,reproached her, but told her that he would reconcile her with ther husband,what he really did. Returning home to the merchant, he told, as he was answer-ing his questions that he was his old parrot, who was taken by the cat from thecage and closed in his belly. To the question of his master how he could risefrom the dead, he answered that it was the Almighty who gave him life again,seeing the woman's fourty day long, deep sorrow in the cemetery and he gavehim t h e com ma nd me nt to reconcile his ma st er with his wife. Th e mer cha nt,attaching credence to this story, went for his wife himself, and thinking that shewas totally innocent folded her in his arms, brought her back home and theywere living happily with each other hereafter.

A Turkish translation or elaboration prepared about one hundred yearslater is also based on Nahsabi's work. According to Pertsch its author is efendi'Abdul lah .2 1 Nor does this22 essentially differ from the story of NahsabI and

Qâdirî . 2 3

21 W. Pertsch : ZDMG 21 (1867) 507 foil.22 This is the fir st sto ry of the fo ur th nig ht in the Turkish version . See G. Ro s en :

Tu ti- Na me h. Das Papa gaie nbuc h. I —I I. Nac h der türkischen Bearb eitu ng . . . über-se tz t v on —. Leipzig 1858. 30 foil, an d in : Bib lio the k der Ro ma ne . XV I I . Bd. Leipzigsine anno. 24 foil.

23 In the end this version is, of course, standing nearer to Naháabi than to Qädiii,the only difference from the former being that here we can see a Moslim adaptation ofthe Nahëabï version. In the Turkish version namely when the woman is going to carry outthe instructions of the parrot, that she should crop her hair the parrot comes forwardand reprimands the woman for her failuie to distinguish her friends from the enemies,

and she did wrong to him, who did not denounce her to her husband, on the contrary heeven tried to reassure him. He pointed out that the woman with the foolish act that shecast out him brought trouble to herself as well, and that was the cause of her expulsion.I t is on ly her st up id ity — goes the pa rr ot on rebu ki ng her — th at c an be an excuse,as now also did the woman believe, when he was speaking from behind the idol of Indianrel igi on, t ha t an idol, ma d e of stone an d woo d, can speak. She should b e con ver ted to th e«true religion», he urges her, and then he would arrange it for her that she would enjoyher husband's favours again. The woman is really converted to Islam and the parrotgoes home. The merchant, seeing him becomes very glad and asks the parrot about hisvic iss itu des . The pa rr ot tells him t ha t he real ly was dead, but God was gracious tohim and revived him. The merchant is astonished at that, but the parrot explains thattheir Indian deities are but stone and wood, there is no soul in them. Then the merchant,too, is converted to Islam. He goes on to ask the parrot why God raised him from thedead. The parrot says that the wife of the merchant being converted to the Moslim faith

prayed so devoutly to God to help her with the proving of her innocence that he was


8/15/2019 ACTAANTIQUA_28 (1980)


TH E VARIANTS OF TH E FRA ME STORY OF TH E SUKASAP TATI 4 4 3

In the Persian (Nahsabï, Qâdirï) and Turkish versions, which go back tothe Őukasaptati, a second parrot story can be found. And there is another onein the textus ornatior var ia nt of th e Őuka sapt ati. We do not know th e fi rst p ar tof this story, owing to the lacuna from the 65th to the beginning of the 68th tale

in the textus ornatior, hu t in tal es 68 — 70 we can re ad t he oth er par ro t st or y,which can be regarded as the third variant of the parrot stories.

In tale 68, where the lacuna ends, we can read the story known from theframe tale of Book III of the Pancatantra, the moral of which is that one cannothave confidence in the benevolence of the old enemy. The tale is told by theparrot Dhürtacakora to his master Somadatta to illustrate this old truth.

In tale 69 our parrot narrates to Prabhâvatï the cunning escape of theparrot named Dhürtacakora :

Dhûrtacakora 's story i.e. the relating of tale 68 did not strike root in

Somadatta's heart. He took the parrot to the harlot Kämasenä, who told theevent to her procuress Devasenä. Upon this the latter relaxed and the followingmorning she went to the king, and before this she gave instructions in the pres-ence of Kämasenä that the parrot should be killed and cooked. Hereafter themaid began to pluck the bird. Then the cunning parrot recommended a cosmeticto the maid, and while she went to fetch some other things supposedly necessaryto prepare the cosmetic, the parrot himself escaped through the drain, mean-while shouting : «the cat has taken it, the cat has taken it».24 Hearing this theservant-maid returned, and since she did not find the parrot, in alarm she pre-pared a partridge for the procuress.

In tale 70 Prabhâvatï listens to the cunning revenge of Dhürtacakorafrom our parrot :

In fact, this Dhürtacakora went to the temple of áiva, before whichKämasenä danced on every lunar day, and there he hid in the cavity of a bilvatree. Once, when Kämasenä's dance came to an end, he began to speak fromthere as if he were the god áiva, and promised to the hetaera that on the nextlunar day a heavenly carriage would come to take her to Mount Kailäsa. Sheshould dist ribu te their pro per ty — he inst ructe d Käm as enä — and bot h she andthe procuress should crop their hair and so they should come there. Kämasenä

gladly performed the order, which she believed to have come from the god, andin the glaring sun they, both of them with bald head, were waiting for the heav-enly carriage, but in vain. And then the crafty and revenging parrot ridiculesthe hetaera in a sloka :25

given a new life by God, and he was commissioned to attest the innocence and faithfulnessof the woman. The husband goes to the temple for his wife himself, and his wife admiresthe shrewdness and wisdom of the parrot.

24 anaifïd anai$ïn märjära iti.25 áafhe pratièafham kuryäd âdare ca tathädaram \

tvayâ me luUcitâh pak$âh maya te munditam éirah \ \


8/15/2019 ACTAANTIQUA_28 (1980)


444 CS. TÖTTÖSSY

«One should re pa y cr a f t with cr af t and honour with hono ur as well !You plucked out my pinions, I clipped your head.»

This third version of the parrot story can be found in the Pancäkhyäna-

värt t ika .2 6 This work is a version of the Pancatantra written in Old Gujarâtïprose, in which there are a number of stories which do not occur in the Panca-tantra. Its author is unknown, but he definitely was a Jaina monk not versed inSans kri t. The only manu scr ipt of his work is th at of a certain Ji na vi ja ya whichwas written in 1673/74 A.D. Thus the Pancäkhyänavärttika was, naturallyprepared at a time preceding this date.27 This above-mentioned story about theparrot and the hetaera can be summarized as follows r28

A merchant setting out for long commercial tour puts his shop in thecharge of his son, Madana and charges his parrot to guard the house. Madana,

however, is seduced by a hetaera, who also got much money out of him. The par-rot, therefore, gets angry with her and warns the young merchant against thehetaera. The courtesan learns this from the servant-maid and decides to revengeher on the bird. She asks Madana to bring once his bird along with him. Whenhe fulfils this wish, the hetaera plucks the pinions of the bird out, puts it on adish and goes to fetch a knife. The parrot, however, crawls into the drain, so thehetaera does not find him. She thinks that the bird was taken away by a cat andshe is glad of this. The parrot, having his pinions grown again, leaves his hiding-place and flies into the court of a sanctuary. When the hetaera repeatedly praysbefore the statue of the goddess standing there that she should lift her with herbo dy to heaven, the pa rr ot , in the nam e of the goddess, enters into conversati onwith her and sets her as a condition of her being lifted to heaven to liberate her-self from the deception of the samsara, to donate her property to the brähma-nas, to get blessed by them, to put on a white garment, to have her head clipped,and after having performed all this, she should come back to the court of thesanctuary and should wait until she, the goddess, would take her on a celestialcarriage to heaven. The hetaera gladly performs all this, and then amidst thebeating of drums she goes to the sanctuary. There she humbly prays that thegoddess should send her a carriage, which would take her to heaven. At this

moment the parrot ridicules her relating mockingly in a strophe that he had herhair cropped in return to plucking his feathers out. 29 Then he tells the peoplegathered in the court of the temple, how the hetaera treated him. Upon this theindignant crowd drags her along in the dust.

26 Panc äkhy änavä r t t ik a No. 43.27 H e r t e l : Das Panca tan t ra . 122 .28 See H e r t e l : Da s Pan cat ant ra. 151 foil.29 This strophe of th o Pan cä kh yä na vä rt ti ka is near th e sloka of the textus ornatior

of the éukasaptati , cf. H e r t e l : Das Pan cata nt ra . 238 note 1. Se eth e not correct San-skri t te xt of this sloka: H e r t e l : Pa nca tan tra . 151 note 9.


8/15/2019 ACTAANTIQUA_28 (1980)


THE VARIANTS OF THE FRAME STORY OF THE SUKASAPTATI 445

In the collection of tales entitled Kathäratnakära, too, written by Hema-vijaya, a jaina monk in 1600/1,30 a story 31 can be found, which is similar to thepreceding ones and obviously goes back to some adaptation of the Őukasaptati. 32

Another version of this story again can be read in the manuscript of aversion of the textus simplicior of th e Pa nc at an tr a, in th e so called Ba na ra smanuscript ;33 where two stories otherwise not occuring in the Pancatantra canbe found. According to Hertel, the manuscript itself is a very early one, it isseveral hundred years old.34 Of the two interpolated stories it is the secondwhich is interesting for us presently and of which Hertel published the Sanskrittext, too.35 This version differs from the previous ones inasmuch as the parrot ofa merchant prevents a lustful hetaera by prohibitive words from enjoying thepleasure of love with other men, too. Therefore the hetaera one day, when themerchant went to visit one of his relatives, plucked the pinions of the bird out,

and since she thought that the bird died, threw it out to the street. The parrot,however, with much effort reached the drain that belonged to the temple ofJälesvara.38 After a time the hetaera also goes to that temple. To her prayer tothe god the parrot replies. He promises her the heavenly blessedness she askedfor if she dispenses her goods to the beggars, puts on a white garment, has herhair cropped and on the seventh day comes back. Then a heavenly carriage willcome for her — he promises to th e courtesan — to ta ke her t o heaven . Th e he-

30 H e r t e l : Das Panca tant r a . 249.31

See H e r t e l : Das Panc atan t ra . 237.3 2 1 summarize this story as follows :A merchant has a wise parrot, which tries in vain to dissuade him from his love

for a beautiful hetaera. The merchant tells the woman the parrot's warnings, who there-upon asks him for the bird, allegedly to play with him. No sooner has she got hold ofhim than she starts to pluck his feathers out and goes into the house to fetch a knife tokill him. Meanwhile the parrot hides and as the hetaera when she returns does not findhim, she is led to think that some animal must have eaten him up. On the other hand,she tells the merchant that his parrot is flown. The bird, as his feathers grow again,hides behind the statue of Candikä, the hetaera's family goddess, and in the name ofth e godde ss he promi ses th e he ta er a to fulfi l one wish of hers . She doos not s usp ect t ha tit is not the goddess who is speaking to her and asks for everlasting youth, beauty anda lot of mo ne y for herself, an d besides , the pow er to be able t o compel every ma n toobedienco. Then the parrot gives her the instructions to distribute all her goods, to clip

her head, to mount an ass and to ride around the town to the beating of drums, andat last to come to the temple again wrapped up in rags. When tho woman has dono allthis, the parrot coming forward publicly shouts a variant of the alredy known éloka at her.

kfte pratilcrfam kuryän nyäyamärgo 'yam Iritah \bhavatyotpâfitau pakçau mayä mundâyitam êirah 11

«One shou ld do a re co mp en s in ease of a deed :this is proc laim ed as the usage of th e ri ght eou sne ss.

The pinions of my two wings were plucked by you, I had your head clipped.»After this the parrot relates what has happened and the hetaera among a shower

of abuses from the crowd has to move to another town.32 H e r t e l : Das Panc atant ra . 92 foi l.34 H e r t e l : Das Panc atant ra . 92 note 3.35 H e r t e l : Das Panc atant ra . 95 foi l.38 Her e Jâleé var a is a na me of Siva, accordin g to Her tel . Gf• H e r t e l : D a s Pa n -

catantra. 97 note 2.

29* Acta Antiqua Academiae Sci ent iarum Hungaricae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


446 c s . t ö t t ö s s y

taera does everything, and on the seventh day she returns accompanied by animmense crowd. Then the parrot shouts the well-known sloka at her, 37 and it ishimself who flies up in the sky.

Hertel, too, mentions the version38 of the story to be found in an OldMaräthi metric elaboration of the Pancatantra, the work of Nirmala Päthaka 3 9

entitled Pancopäkhyäna (V. 11).40

Vidagdhacüdämani, the parrot of the king draws upon himself the hatredof the hetaera, Kämasenä, as he in a certain case advises the king to decideagainst her,41 and at the same time he tells a story (V. 12) which together withthe other events about the arbitrament may be omitted. The hetaera meditatesrevenge. One day she amuses the king so much with her song and dance thatth e king tells her to ask for any th in g she wa nt s to have. The court esan t hen asksthe king for the bird, then plucks his pinions out and orders a servant-maid to

butcher him and make a dish of him for her. While the girl goes to fetch a knife,the bird creeps into a drain. The girl, who is unable to find him, buys a pigeonand makes a delicious dish of the pigeon instead of him. When his pinions havegrown again, the parrot flies to the sanctuary of Bhavânï, before which Käma-senä usually dances. Here hiding behind the statue of the goddes he promisesthe hetaera to take her to heaven if she dispenses her goods, crops her hair andpaints her body black and white and dances naked before the statue of the god-dess. The hetaera carries out the commands in the presence of a huge crowd,but then the parrot coming forwards shouts a little corrupt variant of the usual

sloka at her.42

Af te r this th e pa rr ot flies up, and t he hetaer a goes home asham ed.And only now I come to discuss the concluding frame story of the textus

ornatior of the Suka sa pt at i, which — as had been ment ione d alre ady — is veryshort and does not correspond to the introductory frame story. This concludingframe story means a fourth type of variant. According to this on the following

3' krteh pratikrtam kuryäd dhimsite pratihimsitam \tvayä lumcäpitau paksau maya mumdäpüam éirah \ \

«One should do a recompense of a deed

/ a n d ) a recompense of the ha rm in ca se of a harm!You had the pinions of my two wings plucked out, I had your head clipped.»38 According to H e r t e l the version of Nirma la Pät ha ka can be t iaced back to

the Sanskrit Banaras manuscript and it is not the other way round, because this storywith Nirm ala Pät ha ka — H e r t e l argues — is only a frame story of an other tale. Cf.H e r t e l : Da s Pa nc ata nt ra . 98. This arg umen t of Hertel is not convincing for me, becausethe story of the parrot is just a frame story in the above cases as well.

39 H e r t e l : Das Pan cata nt r a . 23, 262.40 See H e r t e l : Das Pa nca tan tra . 285 foil.41 When namel y someone tells a frien d th at he enjoyed Käma se nä, the heta era

in his dream , Kä ma se nä lea rning this de ma nd s th e usu al fee for thi s. As she does notreceive the sum she lodges a complaint against the dreamer before the king. The kingat l ast so to be able to judg e the case correctly, consults Vid agd hac üdä man i, who arbi trate sthe image of the fee, reflected in a mirror, for the enjoyment in a dream.

42

éathasya pratiéafham kuryäta ädaram pranimädaram \tvayä nüumcate р а к е mayä te mumdite éirah | |


8/15/2019 ACTAANTIQUA_28 (1980)


TH E VARIANTS OF TH E FR AM E STORY OF TH E SUKA SAPTA TI 44 7

day , on th e one af te r the seventiet h tale, Vi nay aka nda rpa goes himself t o Pr a-bhâvatï. Prabhâvatï receives him with an amorous glance. Meanwhile, the cat 43

observes th e pa rr ot in the cage, and beg ins to mew. Then the par ro t says : «Whydo you mew, cat ? Nei ther an enemy nor a thie f, thi s is kin g Na nd a' s son, w hodoes not touch the wife of someone else.»44 Hearing these words, Vinayakandar-pa goes away without a word.45

In connection to this I must mention also Nirmala Őravaka's46 story47

written in braj bhâkhâ, which according to Hertel can be traced back to a Őuka-saptati version. According to this king Nanda at night goes into the house ofMâlatï. The parrot becomes indignant at the entrance of the king. The king getsangry, he mentions the cat, and when he sits down on the bed of the yound lady,the latter prostrating herself before him speaks to him : «What has led you here,my fa th er ? W hy a re you not sleeping at hom e ?» Upon thi s the king is over come

with shame.The main motif s of the four versions of the parr ot stories mentione d ab ov e

are as follows :Type 1 : The parrot guards the w i f e of a mer chan t on a trip, he h i n -

d e r s her from adultery by his t a l e s ( introduction of textus ornatior, textussimplicior and Marât hï) the n he reconciles her wit h her hu sb an d (end of textussimplicior and Marât hï).

Type 2 : The w i f e of the merchant who is on t r ip ac tual ly c o m m i t sinfidelity w i t h o u t any a t tem pts of the parrot to hinder her from it .

The husband learns the infidelity from others, but the woman suspects the par-rot of denounce. When the woman in r e v e n g e for this wants to do awaywith the parrot and plucks his f e a t h e r s off, he manages to escape. Thewoman lays the disappearance of the parrot at the с a t' s door, bu t her hus-band expels her for this. The parrot in r e v e n g e cunningly hides in a cemetery(or temple) and pretends to be a deceased soul (or even a god). He orders thewoman to c r o p her hair, but at last he brings abou t a reconciliation bet wee nher and her husband (Nahsabi : 1/2, Qâd ir ï : 1/2, Tu rk is h version : 4/1).

43 jighâmsu- i.e. «desirous of killing».44 More exa ctl y : «the uter ine br ot he r of wife of ano the r man». This whole sl ok ais as follows :

kim tvarri rodiii marjára na cärir п а с о taskarah \ Nandabhüpakumäro 'yam paranärlsahodarah \ \

45 This concluding pa rt of the fr am e story in the textus ornatior is very sh ort .The 300 line long introductory part may sorve as a foil to these seven lines. And thoughthe solution is defin itive : Vi nay aka nd arp a leaves Pra bh âva tï himself as a result of th ehumiliating poem of the parrot, and so there is no point any more to tell other storiesin ord er to kee p his mist ress in her con jug al fid eli ty, this solution doe s not men tio n wh athappens to Madanasena and his wife when he returns home. The fact that the birdmanaged to keep Prabhâvatï in her fidelity, may mean the dawn of happiness for thecursed birds, and that Madanasena and Prabhâvatï will live happily hereafter, but nota single word mentions this, what the reader may rightly miss.

46 H e r t e l : Das Pancatant ra . 224 foi l." See H e r t e l : Das Pan cata ntr a. 228 foil.


8/15/2019 ACTAANTIQUA_28 (1980)


448 CS. TÖTTÖSSY

Type 3 : The parrot wants to dissuade a m e r c h a n t f rom loving ah e t a e r a. The heta era wants to tak e r e v e n g e on the parrot . She pluckshis p i n i o n s out , but he can escape through the d r a i n . Mostly i t arises thatit mu st have been а с a t th at ha s tak en him a way . The parr ot goes to a temp le

an d gives the woma n instruc tions to c r o p her hair, promising her an ascen-sion to h e a v e n . Th e parro t in the end discovers himself and in an every-whe re occuring, ve ry similar s i o k a decla res publicly before the crowdth at he took r e v e n g e on the hetaera for her wicked mal t reatment .

Ty pe 4 : The prin ce or king g i v e s u p th e seductio n of the wife of amercha nt (or a minis ter) under the inf luence of the w o r d s of the p a r r o t(or t he woman) . Th e с a t is men tion ed also here.

Hert el believes th at t he var ian t of th e Bana ra s manu scr ipt is the basis ofthe above parrot stories, from which the others could be easily derive, and that

in the original version of the Çukasaptati the parrot still wanted to prevent amerchant from intercourses with a hetaera, with his seventy tales. The onecalled by me type 2 would be an intermediary form, and the frame of the textussimplicior, on the other hand is the th ird pha se in the tra ns for mat ion of th eframe story.48

Besides, on the basis of two lines of the commentary written to the Yoga-sästra4 9 after 1160 A.D. by Hemacandra, born on December 1st, 1088 A.D.,Hertel believes50 that Hemacandra knew such a Çukasaptati version, in whichth e pa rr ot is real ly ca ug ht by th e ca t. These tw o lines are as follows : «Although

you are versed in moral science, you have been caught by this (hetaera), likethe parrot narrating seventy stories by the cat.» 51 Actually Hertel holds it un-likely52 that there would be a lapse of memory to the detriment of Hemacandra.

As far as the remark of Hemacandra is concerned, this really is so sur-prising that it is quite understandable that even the possibility of a lapse ofmemory occured to Hertel, which he, however, with due reverence marked,improbable. We may regard this remark of Hemacandra as surprising becausenot only none of the extant Çukasaptati variants contain such a motif but be-sides there is no such adaptation from a later time which would indicate such

a turn. The proximity of the parrot and the cat (in the fourth type of framestory), and the fact, that just at the end of the textus ornatior, th e cat is mewing

48 H e r t e l : Das Panca tan t ra . 238.49 Yogaáastra m. Wit h the Commentar y called Svopa jnavi vara na by Hem aca ndr a.

Ed. by Őri Vijaya Dharma Süri. Vol. I. Fasc. HE. Calcutta 1910. 444. 41.60 H e r t e l : Das Pancata ntra . 236.51 kathâsaptatisarnâamsï mârjâryyeva éuko 'nayâ |

nltijno 'pi grhlto 'si jagädetyabhayam ca sah \ |

And he (C an da pr ad yot a) told Ab ha ya : «Although you are versed in mor alscience, you have been caught

by this (courtesan), like the parrot narrating seventy tales by the cat.»62 H e r t e l : Da s Paficatantra . 236.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


450 CS. TÖTTÖSSY

As to the chronological order of these variations of parrot-stories I am ofthe following opinion :55

The shrewd parrot, which speaks and takes revenge (type 3), the parrotescaping cunningly, forbidding nothing, and who in the end noble-mindedly for-

gives (type 2), the parrot, who with his seventy tales and his shrewdness keepsthe merchant's wife faithful to her husband (type 1) and the parrot who drivesthe seducer away himself with single humiliating sloka (type 4)5e or the parrotof tragical fate57 who is mentioned by Hemacandra could exist side by side,58

and for us now it is all the same which one was earlier. On the other hand (incontradiction to the chronology of the sequence of frames according to Hertel)I maintain that the first and basic type of the parrot telling seventy tales wastype 1. The sheer fact, that the different and dissimilar variants of the Őuka-saptati keep without exception type 1 as the frame (except the end of the t.o.),

and the different later variants, too, use it for the frame (even if they mentionother variants, too), could be a decisive argument for this assumption.

However, we can still support it by the following considerations :The variant (type 2) where the parrot does not even try to prevent the

infidelity, nor does he tell tales cannot be the frame story of the story of thepa rr ot telling sev enty tale s. Besides, I am of the opinion t ha t ty pe 2 is nothin gelse than the contamination of types 1 and 3. (The motif of the merchant whole ft an d the wife who all the same bec ame unfa ithf ul5 9 (as th e pa rr ot did not telltales and did not forbid infidelity) may be taken from type 1, and the motif of

revenge from type 3.) A situation where the parrot bars the merchant from thehetaera (type 3) may give opportunity to tell some wise tales but scarcely all

55 A positiv e re ma rk c oncern ing an earlier work of mi ne ab ou t th is subj ect , seeJ. Harmatta : Ant. Tan. 10 (1967) 241.

66 Bu t, an ywa y, w as the use of tr ou bl in g himself wit h se ve nt y tales before this ?57 He is genially shrewd through seventy tales thereafter however a eat catches him!58 Tho ugh we th in k the t ype s 2, 4 an d 5 to be lat er th an th e ty pe s 1 an d 3.59 A similar tal e ap pe ars amo ng the Sind bad-stories, too, cf. I . Hahn: Ant. Tan.

10 (1963) 249 foil. In this Sindbâd variant (see F. Baethgen: Sindban. Syrisch undDeutsch. Leipzig 1879. 15 foil.) a man on leaving home entrusted a parrot to tell himwhat his wife did while he was away. She then committed adultery, what the parrot

did tell his master when he returned. The woman suspected the handmaid first of betray-ing her, but later she found out that the parrot was her traitor. So she poured waterover the cage covered with a cloth, made flashes and noises in the night, so as to makethe bird beloive that there was a thunder-storm. When the following morning his masterasked him what happened that night, the parrot answered that he could not see or hearanything because of the lightnings anil the thunder-claps. As in fact there was no stormhis master took him for a liar and infuriated as he was, because he thought that thebird only slandered his wife, he slayod him.

Thereupon the following may be romarked: Firstly, as Hahn, too, mentions,this story is not a frame in its own place. On the other hand there are significant dif-fer enc es as opposed to our typ e 2. Th e pa rr ot here, nam ely , bet ra ys the woman, thewoman's revenge here succeeds with the storm, here the parrot is slain and it is thehusband himself who slays him. Consequently in this version the parrot is not shrewd,he does no t ta ke revenge on the wom an or tell tales, he pu re ly an d simpl y squ eals a ndplays the informer. However it is one of the innumerable parrot stories, standing nearestto type 2 after all, but this could not be used as a frame.


8/15/2019 ACTAANTIQUA_28 (1980)


t h e v a r i a n t s o f t h e f r a m e s t o r y o f t h e s u k a s a p t a t i 451

the seventy of them. Not to mention besides that the point of this variant is therevenge of the clever parrot, and the parrot is victorious by means of thisr e v e n g e and n o t the shrewd t a l e s . The type 4 is obvious ly a spoi ledversion of the basic idea by an copier, where the only fair thing is that a king

voluntarily gives up the indecent love80 under the influence of a singleadmonishment of the parrot or the woman, then in turn the seventy tales ofthe parrot are superfluous.

So only the first type suits the Öukasaptati as a frame. The stories of theÖukasaptati contain the s u c c e s s of the protagonists achieved by shrewdwisdom, as I have pointed it out at the beginning of this paper.61 So only t h a tframe can suit the whole work where the parrot by means of his seventy talesa t ta ins s u c c e s s f u l l y hi s goal, to guard the f idel i ty of the wife of h ismaste r. So only a hap py end, relatin g absolut e success, suits these seven ty tal es.

The basic requirement, the occasion to tell the seventy tales, can be found onlyin the va ria nts of this type, here it is practi cal and s uit ab le to amuse the con sor tmediating on infidelity with seventy tales and to keep her on the right pathwhile her husband is away.

The frames of the single stories of the Öukasaptati tally completely onlywith this frame story, too. At the inner frames 02 we never see any instance ofabsentmindedness or inconsistency, which might indicate a later revision.

According to this opinion if there did exist different tale-variants aboutthe parrot, this (type 1) is the first and basic variant of the story of the parrot

telling seventy tales so that of the Öukasaptati. It is peculiar to the learnedIndian writers that in connection with this they tell other parrot stories in theirworks, and the inconsistent or clumsy copying or revision can be accounted forthe concluding part of the textus ornatior, th e te xt of which I consider, on t hewhole, the most original.63

For, as we have seen, in the textus ornatior of the Öukasaptati there arethree variants of the parrot-story to be found. One (type 1) at the beginning,another one (type 3) in tales 68—70 and a third one (type 4) at the very end.This may embarrass the reader, as we have mentioned. To solve this problem

my idea is the following:This variant of the Öukasaptati, which according to me is the best of alland nearest to the original despite of being carelessly copied several times,started, as it is natural, with a parrot-story of type 1 at its beginning. To the

60 I t is possible th at th e king becam e so mag nan im ous wi th his reno unce men t asa result of a copying made to a royal order.

81 See abo ve note 3 and Cs. T ö t t ö s s y : An t. Tan. 15 (1968) 221 foil, and Ac t aAnt. Hung. 17 (1969) 433 foil.

82 Cs. T ö t t ö s s y : An t. Tan. 10 (1963) 155 foil, and A ct a Orie nt. Hun g. 18 (1965)227 foil.

83 Cs. Töttössy : Ant. Tan. 21 (1974) 59 foil. id. : and Acta Ant. Hung. 21 (1973)273 foil. ; id.: An t . Ta n. 23 (1976) 223. ; id.: Ac ta An t. H u n g . 24 (1976) 285 foil.


8/15/2019 ACTAANTIQUA_28 (1980)


452 CS. TÖTTÖSSY

end (probably from tale 65, and obviously not only from tale 68) up to tale 70another parrot-story (perhaps then already known, but never used as theframe of such a long and large work; belonging to type 3) was inserted pre-sumably by the author himself. However, this was not meant to form the

closing frame of the whole work (as, according to me, it has never beforefunctioned as the frame of the whole âukasaptati). A copyist or adapter,under the influence of this other parrot-story, left out the earlier extant clos-ing part of the frame of type 1, after tale 70, for after the long work of copyingthe vast collection of tales he no longer remembered the beginning of the work(or, provided there were two copyists, the one copying the end did not evenknow the beginning of the work). This copyist believed too much two closingparrot-stories after each another. A following step towards a corrupt textmight have been the elimination of the gambits corresponding to tale 70,

giving rise the lacuna of the beginning of tales 65—68,64

so as to omit thissecond one of the two introductory parrot-framestories. A following copyist oradapter realized that tale 70 does not correspond to the beginning of the work,an d so it can not st an d as a closing fr am e. Thi s copyi st tr ie d to ta ke up t hethread of the narrating parrot, who endeavoured to hinder his lady from theinnocent love and of Prabhâvatï wishing to go to his lover. So — being un-acquainted with the original closing — he wrote a new parrot-story (of type 4)to round off the work. Even that is possible that he knew a variant similar tothat of Nirmala âràvaka, which earlier had nothing to do with the Й и к а -

saptat i .8 5

We must suppose that not only so many parrot-stories or variants of

them might have existed in the course of time, as Hertel or ourselves know of.

On the contrary it is obvious that there were several other parrot-stories,

which, however, have not come down to us. So Hertel's attempt in his excellent

book to relate the remaining variants chronologically, and to draw correspond-

ing conclusions, does not necessarily yield correct results. It is possible that

variants no longer extant underlied some variants that have come down to us,

and so, because of the quondam existence of far earlier variants the whole

situation may have differed considerably from the one extrapolated by Hertel

from an incomplete material, leaving this incompleteness out of account.

64 As the Pancäkhyänavär t t ika fol lows the textus ornatior very closely [see Cs.Töttössy: Ant. Tan. 21 (1974) 63 foil, and Acta Ant. Hung. 21 (1978) 277 foil.], thelacuna in the t. o. can principally be amended on the basis of this variant. But NirmalaPâ th ak a' s story menti one d as the last one in the typ e 3 may prob abl y be interestingthat the king mentioned in the t. o. (tale 69) plays in this and only in this variant a role.It is possible that between this part of the t. o. and the variant of Nirmala Pâthaka othersimilarities and relationships may be established.

65 Th e na me of th e king in the va ri an t of Ni rma la Srâ vak a is Na nd a. I n the álokasited in note 44 Vinayakandarpa is mentioned as the son of king Nanda, while earlierthis does not happen anywhere else, the name of his father has never been mentioned.

The name of the king (Nanda) common to both of them may have appeared in a story,where both variants originated from.


8/15/2019 ACTAANTIQUA_28 (1980)


TH E VARIANTS OF THE FR AM E STORY OF THE SUKA SAPTA TI 4 5 3

The parr ot occurs in countless othe r cases in the Sanskr it and in the I nd ian

literature. It would be interesting to expound and to systematize the occasional

relations to one another and the types of the other parrot stories, but our aim

was to examine the parrot story serving as frame story of the Sukasaptati, to

make an attempt to determine which one of them was the earliest variant ofthe frame story.

Budapest.


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


J. HORVÁTH

7. oc t . 1911 - 3. fév. 1977

L'estime, l 'amitié et la fidélité de souvenir nous engagent à rendre hommage àM. J. Horváth, notre confrère disparu, membre du Comité de rédaction des Acta Antiqua.En sa personne, le médiévisme hongrois a perdu l'un de ses spécialistes les mieux forméset ayant les plus larges connaissances, et dont le décès représente une perte pénible pourses confrères, ses disciples et pour tous ceux qui travaillent dans la même branche de

la recherche.La carrière scientifique de J. Horváth était le sort heureux et tragique du savant :heureux en ce qu'il pouvait consacrer toute sa vie à ses recherches scientifiques qu'ilaimait, tragique aussi, en ce qu'il ne lui était jamais donné de trouver les cadres organi-sationnels, parmi lesquels son activité scientifique aurait pu se développer, en fonctionde ses capacité s. Il a repr is la tra diti on des recherche s abor dée s par J . Abel et J . Hu sz ti ,chercheurs éminents de la littérature latine en Hongrie médiévale, quand, en adoptantles méthodes de la philologie du latin classique, il avait commencé, en 1941, sa carrièrescientifique avec sa thèse de doctorat «L'évêque Calanus et la Vita Attilae». Ses con-naissan ces en ma tiè re de philologie et de paléograph ie, f ur en t compl été es en 1941 —1942,à Munich, chez P. Lehmann, qui fut, à l'époque, un spécialiste éminent de la philologiemédiévale.

Son traité intitulé «Les sources du Commentaire d'Andréas Pannonius sur lesCantica Canticorum» témoigne d'une compétence et d'un espiit mui, et montre en môme

temps que son cercle d'intérêt embiasse celui de l 'humanisme également. Sa personnalitéde savant est caractérisée par une profondeur étendue, l 'étude détaillée des sourcos, unelogique rigoureuse, et un esprit lucide, à quoi s'ajoutent encore un dévoument ascétiqueet le fait d'être intérieurement comme uni avec l 'objot de sa recherche, traits caractéristi-ques dont un vrai savant ne peut pas se passer. C'est ainsi qu'il pouvait s'identifier, auniveau spirituel, à l'objet de ses recherches, avec Andreas Pannonius, «joueur de l'épeede Hunyadi», avec «le supérieur chartreux, échoué à la suite d'une vie mouvementée,de Hongrie en Italie» et qui «après avoir changé l'épée contre la solitude de l'ordre, larita activa contre la vita contemplativa, tr ouv e dan s sa soli tude des amis précieux et u nesociété plus bavarde, découvrant pour lui des secrets . . . assis derrière une table modeste,il cause avec les pro phè tes , les apô tre s, et les évangélistes . . . il contemp le, au lieu d 'u nluxe artificiel, la beauté de l'immense univers . . . poursuit des études régulières sur destraités littéraires, — c'est là, la sagesse contemplative», écrit l'auteur de lui.

Oui, la sagesse contemplative et la découverte des secrets, déterminent l'éros d usavant, tournant à ce temps-là ses regards vers les problèmes stylistiques de la littératurelatine de l'époque arpadienne. Ce n'est qu'après de longues années de recherches quepouvait naître le manuscrit embrassant les résultats de ses recherches, poursuivies dansce domaine et qui a servi, on 1948, de thèse de privat-docent universitaire. Mais l'habili-tation, à cause de la suspension de la procédure, ne put avoir lieu. Ce n'est que plus tard,en 1952, qu'il devint candidat ès lettres.

Cette même année marque une autre date importante, même décidante de savie. Le Ministère de la Cultuie consentit à créer la Chaire de Philologie du latin médiéval,au sein de la Faculté des Lettres do l 'Université Eötvös Loránd, et la Faculté le présentaen môme temps pour le titulariser professeur. Ce n'était une faute ni à la Faculté, ni àl'Université, ni môme au Ministère de la Culture s'il ne devint pas professeur et si laChairo de Philologie médiévale no fut pas créée. Mais cet événement ne resta pas sansle blesser pour toute la vie et sans faire reculer les recherches médiévales dont les cadres

organisés n'étaient toujours pas assurés.

Acta Antiqua Arademiae Srientiuruin Hungarirae 28, 1980

8/15/2019 ACTAANTIQUA_28 (1980)


456 OBITUARY

Mais, par l'étrange ironie du sort, en 1964, deux années plus tard, son ouvrage,in ti tu lé «Les problèmes stylistiques de not re lit téra tur e latine à l'époq ue arpadienne»lui valut le doctorat ès lettres, et, en 1955, le 3e degré du prix Kossuth. Cet ouvrage restale plus important dans toute son œuvre, résumant et projetant ses recherches antérieureset postérieures. Théoriquement, le plus grand mérite de cet ouvrage était sa volontéd'adopter les méthodes de recherche stylistique, élaborées il y a longtemps par la philo-logie latine classique et appliquées à l'étranger même aux recherches médiévales, à l'étude

de la littérature latine de l'époque arpadienne. Et qu'il voulait comprendre et interpréterles œuvres littéraires latines de cette époque du point de vue de l'évolution sociale ethistorique. «En franchissant le seuil d'une nouvelle époque de l'évolution sociale ethistorique, nos anciennes traditions historiques, orales et écrites, subissent, suivant lestemps, de nouvelles appréciations historiques et critiques», dit-il, et il démontra, à l'aided'une analyse minutieuse «comment la littérature écrite combat, dans une période ulté-rieure de l'évolution, les ouvrages littéraires, reflétant les idées et les buts d'une périodeantérieure de l'évolution féodale». L'adoption de ces aspects et de ces méthodes apportases rés ul tat s dans qua tre do mai nes : 1. le ra pp or t des deux légendes de Gérard, 2. lestyle des récits d'Anonyme, 3. le problème d'auteur de l'Histoire des Huns, 4. la figurede l'évêque Nicolas, auteur de la Geste de l'époque d'André I.

Sa personnalité savante était circonspecte et scrupuleuse et une fois convaincude la justesse d'une affirmation scientifique, il était prêt à la défendre. Ainsi, les discus-

sions provoquées par son livre, l'ont mené à se débattre et à poursuivre ses recherches.Il a élaboré en détail sa théorie concernant l'évêque Nicolas, étant, d'après lui, l'auteurde la pre miè re Geste (1955), la val eur de source des légendes de Gé ra rd (1957), ses idéesconcernant l'Histoire des Huns et son auteur (1963), ainsi que ses recherches d'Ano-nyme, surtout en ce qui concerne sa personnalité et sa culture (1966) et, finalement,ses vues sur les historiens de l'époque des Anjou (1971). Les problèmes d'Anonyme etia légende de Gérard étaient repris en 1974, dans le cadre d'un traité. Pendant ce temps-là,il travaillait aussi pour éclaircir d'autres questions importantes, dont celle des Hongroisnoirs (1967), de l'histoire du Sermon funéraire (1970) et les institutions politiques turquesde l'Etat hongrois médiéval (1970).

E n 1962, une époqu e nouvell e de sa vie co mme nça : il de vi nt prof esseur d'un i-versité à la Chaire de Philologie latine de la Faculté des Lettres de l'Université EötvösLoránd, mais son activité de professeur était partagée entre les latins classique et médié-val. Déjà auparavant, à partir des années cinquante, il dut assumer de nouvelles charges :

les travaux du Dictionnaire de la Latinité hongroise qu'il devait réorganiser et recom-mencer avec des moyens insuffisants et dans des conditions difficiles. Les blessures ancien-nes et récentes ainsi que le rythme tendu du travail, portèrent atteinte à son systemeneiveux. En 1966, il a quitté la direction des travaux du Dictionnaire de la Latinitéhongroise et, malgré les sollicitations répétées, il ne voulait plus jamais la reprendre,même s'il suivit la marche de ce projet avec un vif intérêt aussi plus tard et il assistaaux travaux de la Commission qui fut chargée de l'élaboration du plan définitif du Dic-tionnaire. Psychiquement, il se retira de plus en plus dans sa solitude chartreuse.

E n 1972, une nouvell e ère s'o uvr e da ns sa vi e: la charge de la directi on de laChaire de Philologie latine lui était confié. Ce devoir le rendit visiblement à la vita activa,mais lui coûta cher. Lui, qui était appelé pour représenter la philologie médiévale, devaitconsacrer toute son énergie pour organiser et garantir l'enseignement du latin classiqueet les recherches scientifiques qui y sont reliées. Quelle que fût la quantité de temps quece devoir lui demandât, il traduisit et publia, après un travail zélé, la Chronique de Buda

(1973), entreprit un nouveau tiavail scientifique, celui de la publication critique desœuvres complètes de Janus Pannonius. Ce travail a donné pour résultat un traité surles gen res de Ja nu s Pa nn on iu s (1973), où il essaie de déchiffrer le sec ret du poète : «Lesecret de Janus Pannonius consiste en ce que lui, écrit-il, enchanté par l'esprit de l'anti-

uité exprimant l'humanisme par des formes classiques, s'est laissé totalement pénétréu monde antique formant et formulant ses sentiments et son espiit tout à fait dans

l'esprit de cette vie antique . . . La poésie de Janus Pannonius reste d'une grande valeur j us qu ' à ce que le sen s de l 'antiquité reste vivant.» Ic i déj à, il discerne nettement quesans le sens de l'antiquité, la poésie de Janus ne peut, elle non plus, présenter de valeur.Le chercheur du latin médiéval put saisir la base qui était de toute sa vie le sol, et sansquo i le secret de Ja nu s Pan no ni us non plus, n'e ût p u être déch iffré : le latin classique.

En 1972, son organisme fut atteint par une maladie incurable. Il vit les dernièresannées de sa vie pleinement conscient de l'issu probable. Devant la dernière certitude,le savant prudent, presque timide, devint héros, il regarda en face du sort, travaillantmême les dernières heures de sa vie.


8/15/2019 ACTAANTIQUA_28 (1980)


OBITUARY 4 5 7

IL est disparu. Mais, il nous a légué ses œuvres découvrant les valeurs de la culturemédiévale de Hong rie, ses bu ts que nou s devon s attei ndre , l'éros du sava nt, son dévou e-ment ascetiquo à la science et sa solitude du chartreux où le savant peut toujours trouverune société qui lui dévoile ces secrets.

J . H a r m a t t a


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


D. D. MOUKANOS : '0 rçônoç TOV elvai TWV fiadrjpaTtxcbv dvrtxEi/tévcov xarà ràvnXáxwva xal TOV ' д М т о т Х у (= DIE SEINSART MATHEMATISCHER GE-BILDE NACH PLATON UND NACH ARISTOTELES). Dissertation. Athen1979. 127 S.

Zuletzt hat sich die gelehrte Welt im Jahre 1978 im Rahmen von feierlichenKonferenzen und Zusammenkünften des Aristoteles gedach t, der gerade vor 2300 Ja hr en(in 322 v. u. Z.) gestorben war. Es wurden bei diesen Gelegenheiten die großen Verdienstedes Stagiriten, sein ungeheuerer Einfluß auf das Denken und Forschen der seitdem ver-flossenen Epochen in zahlreichen Vorträgen und Untersuchungen gewürdigt. Natürlichkonnte dabei auch die Frage nicht unberücksichtigt bleiben : Und wie steht es um Aristote-les und die Mathematik ? Was hat die Mathematik dem Arist oteles zu verda nken ? — Esgenügt diese Fragen zu formulieren, um der Tatsache gewahr zu werden, daß vielleichtauf gar keinem anderen Gebiet so sehr, als eben was die Mathematik betrifft, der Unter-schied der beiden großen Philosophen der Antike, Piaton und Aristoteles, in die Aug enspringt. Denn mögen sie zwar beide gleichermaßen die zeitgenössische Mathematik sehrgut gekannt, die Methode dieser Wissenschaft als Vorbild hingestellt — wie dios beson-ders Pla to n zu tu n gepflegt ha tt e — und ihre ei läutern den Beisp iele häufi g der Ma the-

matik entnommen haben, dennoch war die Einstellung ihrer beiden dieser Disziplingegenüber grundverschieden.Das Hauptverdienst der tüchtigen Athoner Dissertation von D. D. Moukanos,

auf die ich hier nachdrücklich aufmerksam machen möchte, besteht in der gründlichenKenntnis der einschlägigen Literatur — besonders der philosophiegeschichtlichen —und in der besonnenen, zurückhaltenden Behandlung des Themas. Die Methode istphilosophis ch-historisch ori en ti er t; gelegentlieh nimm t sie au ch die Hilfe der analy ti-schen Spraehphilosophe in Anspruch.

Es würde wohl allzu weit führen, wenn ich diesmal die Ansichten des Verfassersim einzelnen schildern und bespr echen wo llte ; ans tat t dess en sei hier nur ein ku rze rÜberblick der Arbeit geboten.

Jenes Bild der antiken Mathematik, das der gesamten Arbeit zu Grunde liegt,geht auf den verdienstvollen griechischen Forscher unsorer Tage, E. Stamatis zurück.

Darum wird sein Name in der Einleitung, die in mehreren Abschnitten den bisherigenStand der Foischung skizziert, unter den erston genannt (S. 14, Anm.). Eine unmittel-bare Anreg ung be deut eten fü r Mou kano s die Ansichten de r sog. Tübin ger Schule ; erhebt besonders eine Arbeit von J. H. Krämer aus d. J. 1959, und eine andere von K. Gaisorau s d. J. 1968 hervor ; diese hä tt en da s Bild eines über mäßi g mathom ati sie rte n Pi ato nentworfen, das sich jedoch aus den Dialogen nicht bestätigen ließe. Solche Gedankenscheinen zuerst den Widerspruch des Verfassers ausgelöst zu haben. Erst nach einerkurzen Schilderung dieser Richtung der Forschung blickt er auf solche älteren Werkezurück, wie diejenigen von E. Frank (1923), J. Stenzel (1924) oder O. Becker (1927).Doch folgt der Rückblick kein esweg s einer chronologischen Or dn un g ; es werden hieund da auch Veröffentlichungen der allerletzten Jahre/màer als ältere Werke berück-sichtigt. (Im zeitlichen Durcheinander kommt wohl auch jeno bedenkliche Tatsache zumAusdruck, daß unsere modernen historischen Ansichten sich keineswegs auseinander— oder auch nur nacheinander — ent fal tet hat ten .

Der Kern der Arbeit besteht eigentlich aus zwei Teilen. Der dritte Teil — mehrein bloßer An han g — ist nur eine neugriechische Übe rset zun g einiger Ab sch ni tt e


8/15/2019 ACTAANTIQUA_28 (1980)


460 re v i e ws

de r Meta ph ys ik : 1076 a 8 — 37 ; 1076 a 38 — 1077 b 16 ; und 1077 b 17 — 1078 b 6.Der erste Teil ist in fün f Abs chn it te n (S. 27 — 71) Pia to ns An sic hte n vo n der

mathematischen Existenz gewidmet. Vorausgeschickt wird in zwei kurzen Kapiteln (S.28—31) die pythag oreis che Lehre, für die die En tde ck ung der Ink omme nsur abi lit ätausschlaggebend gewesen sei. Piaton sei jedoch von dieser älteren Lehre abgewichen.(Es ist wörtlich von einer ànàxXtaiz die Rode.) Erst Piaton hätte nämlich die eindeutigeScheidung des misthetonir und des moeton» eing efüh rt. Es wird hervorgeho ben, d aßnach Piatons Auffassung die Existenz mathematischer Gebilde — der Zahlen und dergeometrischen Figuren — ontologischen Charakters sei. Mouk ano s wide rle gt dabei nich tbloß Ansichten der Tübinger Schule, sondern auch eine Stellungnahme von R. M. Hare(1967), und eine andere von H. Cherniss (aus d. J. 1946 bzw. 1966). — Die beiden letztenAbschnitte des ersten Teils behandeln die sog. «Überschätzung der Mathematik in derAlten Akademie» und das «Mathematisieren der Natur im Timaios», sowie die Stellung-nahme des Aristoteles dagegen.

Die abschließenden Erörterungen des ersten Teils führen schon zur Abhandlungder Aristotelischen Theorie über die Seinsart mathematischer Gebilde hinüber. Was hatnun den Aristoteles ver an laß t — fr ag t Mouka nos — zu seiner Ab än de ru ng der PlatonischenLe hr e ? Offe nbar erwies sich der Stagi rit kr iti sch (um nic ht zu s age n : «skeptisch»)nicht nur der Lehre von den Ideen, sondern auch der ganzen Dialektik — oder mind este nsder in platonischem Sinne aufgefaßten Dialektik — gegenüber. D ar um entmathematisierte

er die Physis, und so entstand seine rein logisch orientierte Lehre von der Mathematik,an Stelle von Piatons ontologischer Lehre.Es geht wohl auch schon aus dieser knappen Zusammenfassung der Gedanken von

Moukanos hervor, daß seine Dissertation vorwiegend «Aristoteles-orientiert» ist. Manwird es dem Philosophen natürlich nicht übelnehmen, daß seine Stärke gerade in jenemVerständnis liegt, das er dem Aristoteles entgege nzubri ngen verm ag.

Es bleibt dabei eine offene Frage, ob angesichts eines solchon AristotelismusPiaton und die Mathematik ni cht notwe ndige rwei se zu kurz ko mm en mü ss en ? Aber dieseFrage soll nicht als Vorwurf ausgelegt werden. Zweifellos werden auch Platoniker undsolche, die für die Ma th em at ik leidenschaftlicher interessiert sind, als der nücht erneStagirit, die schöne, gründliche und sorgfältig zusammengestellte Arbeit von Moukanosdankbar und mit Nutzen in die Hand nehmen.

A. Szabó

P. LIVER: D IE NAC HW I R KU NG DER ANTI KEN S AKR AL S P R AC H E IMC HR IS TLIC HEN GEB ET DES LATEINIS C HEN UND ITALIENIS C HENMI TT EL AL TE RS . Be rn, Fr anc ke Verlag, 1979. 434 p. Roma ni ca Helvetica 89.

R. Liver's Vor hab en w ar die Beziehunge n der antiken S akra lspr ache — wie siesich aus den spärlichen auth ent isch en Spr achde nkmäle rn der Vorzeit, bzw. religiösinspirierten dichterischen Texten des Goldenen Zeitalters rekonstruieren läßt — zu dendichterisch gestalteten lateinischen und altitalienischen Gebeten des Mittelalters (Danteeinschheßlich) aufzuhellen und zu erörtern.

Das Werk gliedert sich in zwei Hauptteile. Der erste ist beschriebenden Charak-ters : es werden darin die stilistischen und syntaktischen Formen des Gebets aufgeführt,vorwiegend an mittelalterlichen Beispielen. Der zweite, aber kürzere Hauptteil ist derAufgabe gewidmet, die Nachwirkung der antiken Sakralsprache im Mittelalter zu musternund bewerten.

Die Zweiteilung, wie sie uns vorliegt, scheint ungünstig zu sein. Im zweiten Teilsollte nämlich die Verfasserin, um die antike Tradition sichtbar zu machen, alle Angabenwiederholen, die sie im ersten schon aufgezählt hatte — und zwar einem überflüssigkomplizierten System folgend. Anstatt ihrer Wiederholung aber begnügte sie sieh mitVerweisungen, womit dem Leser eben das Bearbeiten des theoretisch-bewertenden Teileserschwert wird, auf diese Weise ist er zum ständigen Vor- und Rückwärtsblättern gezwun-gen. So haben wir den Eindruck, daß der Verfasserin, die zum Sammeln und Gruppierendes Materials noch Lust hatte, wenig Kraft zur Ausarbeitung der Hauptaufgabe geblie-ben ist. Es wäre zweckmäßiger gewesen, das Werk zu aufzubauen, daß die sprachlichenErscheinungen, alphabetisch, bzw. thematisch gegliedert, einzeln der zum Ziel gesetztenkomparativen Prüfung unterzogen worden wären, und die nötigen Folgerungen in einemknappen Schlußkapitel ihren Platz gefunden hätten ; auf solche Weise stünde uns jetztein nützliches Nachschlagewerk zur Verfügung.


8/15/2019 ACTAANTIQUA_28 (1980)


r e v i e w s 461

Auch im Zusammenhang mit dem scheinbar imponierenden Material erheben sichzwei Ein wän de ; da ß näm lich im ersten Teil viele Anga ben an gef üh rt werden — o hn e jedoch Vollständigkeit zu erstreben —, deren ant ike Parallelen feh len und die auf dieseWoise zur Komparation, zur Verwirklichung der Hauptaufgabe des Buches, von vorn-herein ungeeignet zu sein scheinen. Andererseits ist das Ausschließen der Prosagebetetheoretisch beanstandbar. Denn so wird ein beträchtlicher Teil der liturgischen Texte

— der offiziellen Gebot e der kathol isch en Kir che — der Pr ü fu ng völlig entzo gen ; die seTatsache verringert den Wert des Werkes und nimmt uns die Möglichkeit, seine Ergeb-nisse unmittelbar zu benutzen.

Trotz unserer kritischen Bemerkungen geben wir den Schlußsätzen der Verfasse-rin völlig rec ht : «Schon eine Zus amme nst ell ung gebo tssp rachli chen Materials im h ierabgesteckten Rahmen zeigt, wie gefährlich es ist, die Formulierungen einzelner Autorenals originale Leistungen zu erklären oder sie auf den Einfluß eines bestimmten einzigenAutors zurückführen zu wollen, wie das gerade für Dante immer wieder versucht wird.Kaum in einem andern sprachlichen Bereich (ausgenommen vielleicht den der Rechts-sprache) ist die Macht der Tradition derart augenfällig wie in dem der Sakralsprache»

I . Bobonka i


8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


I N D E X

P. Daffinà: On Kasp apy ros and th e So-Called 'Shore of the Scyt hian s' 1 H. W. Haussig : Die ältesten Nachrichten der griechischen und lateinischen Quellen

über die Ro ut en der Seidenst raße na ch Zentral- un d Ostasie n 9 B. A. Litvinskiy—I. It. Pichikyan : Monuments of Art from the Sanctuary of Oxus

(North ern Bac tri a) 25 I. Borzsák: Zentralasiatisch e Ele men te in dem Alexande rroman 85В . Staviskiy : Kara Tepe in Old Termez. A Buddhist Religious Centre of the Kushan

Period on th e Bank of th e Oxus 95 J. Wolski : Les sources de l'époque hellénistique et partho do l'histoire d'Iran. Diffi-

cultés de leur int erp rét ati on et problè mes de leur éva lua tio n 137E. A. Davidovich : The First Hoa rd of Tetr adra chm as of the Ku sä na 'Herai os' . . . . 147

I . Gershevüch : The Colophon of th e NO KO NZ OK Insc ript ion . . . '. 179 J. Harmatta: Kid ara and the Kid ari te Hu ns in Kaémïr 185Ph. Gignoux : Titres et fonctions religieuses sasanides d'après les sources syriaques

hagiographiques 191 A. D.H. Bivar : Questions of Interpretation in the Liscriptions of the Sasanian Seals 205K.Czeglédy: Zur Geschichte der Hep hth ali ten 213 M. Grignaschi : La chute do l'Empire Hephthalite dans les sources byzantines et

perses et le problè me des Av ar 219 I. Ecsedy : Wes tern Tur ks in North ern Ch ina in the Middle of th e 7th Cen tur y . . . 249 Bo Utas : The Pahlavi Treatise Avdêh и sahikêh г Sakistän or "Wo nde rs and Mag-

nificence of Si st an" 259 M. Maroth : Die Xal ag in den arab isch en Quellen 269 I . Gershevüch : The Bact rian Fr ag me nt in Manichean Script 273 I . Gershevüch : Be au ty as the Livi ng Soul in Iran ian Manicheism 281TP. Sundermann : Problem e der Int erp ret ati on manichäisch-soghdischer Briefe . . . . 289

M. Maroth : Ptolemaic Elements and Geographical Actuality in al-Jfuwärizrm'sDescript ion of Central Asia 317

I. Fröhlich: Historiograp hie et aggad a dan s le Liber An ti qu it at um Biblicarum duPseudo-Philon 353

T. Nagy: Die zwei Nerat ii Prisci un d Ner at ius Priscus der Ju ri st 411Cs. Töttössy : The Vari ant s of the Fr am e Story of the áuk asa pta ti 437

t J. Horváth (7. oct. 1911 — 3. fev. 1977). (J. Harmatta) 455D. D. Moukanos : 'O zgonoç zov elvau xwv ya&ryiazixâyv àvxixeiyévwv xazà zov HXáxwva xai zov 'Agictzozékr] (Ree. Á. Szabó) 459

R . Live r : Die Nac hwi rku ng der an ti ke n Sakralsprache im christl ichen Gebe t deslateinischen und italienischen Mittelalters. (Ree. I. Boronkai) 460

8/15/2019 ACTAANTIQUA_28 (1980)


PRINTED IN HUNGARY

Akadémiai Kiadó és Nyomda, Budapest

8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 1. Tak ht- i Sangin. Grou nd plan of th e temple of the Oxus. 3rd cent ury B. C.

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 2. Sheath of akinakes, ivory, 5th century B. C.

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 4a. Alt ar of Atros okes with dedica tion to Oxus, limestone, bronze, 2nd cen tur y B . C .

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fuj. lb. Altar of Atrosokos with dedication to Oxus, limestone, bronze, 2ndcentury B. C.

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 5. Silenus-Marsyas, playing on a two-branched flute. Bronze

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 7. Head of a local aristo cra t. Alabas ter

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. S. Torso in belted chito n. Unb aked clay

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 0. Alexander the Great in lion helmet. Ivory. 3rd century B. C.

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 10. Heracl es stri king down Silenus. Ivo ry . En d of 4th cent ury . C.

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 11. Bouterolle of sheath with representation of iiippocampus. Ivory. 2nd century B.C.

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 12. Bactrians on hunting. Wall of a casket. Ivory

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 10. The fragment of the wall painting composition of the donators

Fig. 11. The doná tor . Detail of the wall-pa inting

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


F i g .

1 2

a .

T h e f r a g m e n t o f t h e w a l l - p a i n t i n g w i t h t h e B u d d h a a n

d m o n k s

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 13b The first stone capitel from Kara tope

Fig. 13a. The first stone capitel from Kara tepe

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. I /. The second stone cupitel fr om Ka ra tej

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 15. Stone and baked clay discs

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 16. The lamps

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 17. The fragment of the vessel with the handle in the shape a monkey

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 18. The vessels from the burials

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 10a. Pos t-Ku shan coin, averse

Fig. 19b. Pos t-Ku shan coin, averse

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fúj. 19c. Post-Kushan coins, reverse

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 20a. An Early Hephthalithe coin, averse

Fig. 201). An Earl y Hep hth alit e coin, reverse

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


b

Fig. 21. Graffiti: a — in Kushan script; b - bilingual (in Ku sh an and Middle Per sian

scripts)

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 22. The uppe r cell in the complex. Reconst ruc tion by W. Donchik

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 23. The northern corridor of the F-II cave-temple, a — view from entranceReconstruction by W. Donchik

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 23. The northern corridor of the P-II cave-temple, b - view within .Reconstruction by W. Donchik

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 24. The cell of the P-II cave-temple, a — view fr om t he entra nce.

Recons truc ti on by VV. Donchik

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Fig. 24. The cell of the P- I I cave-t emple, 6 - view fr om within.Reconstruction by W. Donchik

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


F ig. 25. Three western vaulted aiwans on the southern fringe of the complex cou rtya rd

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


^ Fayaz-Tepe

Fig. 26. Schematic plan of Kushan Termez

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Pl. I. Firs t hoard of the tetr adr aeh mas of the Kus ana «Heraios» — coin No. 1

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


P L

I I I .

F i r s t h o a r d

o f t h e t e t r a d r a c h

m a s o f t h e K u s ä n a « H o r a i o s

»

—

c o i n N o .

3

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


P I I V

. F i r s t

h o a r d o f t h e t e t r a d r a c h m a s o f t h e K u s à n a « H e r a

i o s »

- c o i n N o .

4

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


P l .

I .

F i r s t h o a r d o f t h e t e t r a d r a c h m a s o f t h e K u s ä n a « H e r a i o

s »

—

c o i n

N o .

5

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


P l .

V I . F i r s t h o a r d o f t h e t e t r a d r a o h m a s o f t h e K u s a n a « H e r

a i o s »

—

c o i n N o .

( i

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


P l . V

I I I . F i r s t h o a r d o f t h e t e t

r a d r a c h m a s o f t h e K u s ä n a «

H e r a i o s »

—

c o i n N

o .

8

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


l'hue I

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


171

Plate III

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


1 0 5 П О 5 1 2 0 1 2 5 1 3 0 1 3 5

Map. 1. Central Asia according to the Rewriting of Ptolemy by al-Ruwarizmi

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Map. 2. Central Asia according to the Rewriting of Ptolemy by Suhräb

8/15/2019 ACTAANTIQUA_28 (1980)


8/15/2019 ACTAANTIQUA_28 (1980)


Die Acta Antiqua veröffent lichen Abh and lun gen aus dem Bereiche der klassischenPhilologie in deutscher, englischer, französischer, russischer und lateinischer Sprache.

Die Acta Antiqua erscheinen in He ft en wechselnden Urnfanges. Vier He ft e bildeneinen Band.

Die zur Veröffentlichung bestimmten Manuskripte sind an folgende Adresso zusenden:

Acta Antiqua, Budapest 502, rostafiók 24.

An die gleiche Ans chr ift ist auch jed e für die Red akt io n und dem Verl ag bost immtoKorrespondenz zu richten.

Bestellbar bei dem Außenhandels-Unternehmen »Kultúra« (1380 Budapest (12,