Unit 12
Unit 12
Unit 12
Structure
12.1
Introduction
12.2
12.3
Empiricist Tradition
12.4
Rankean Tradition
12.5
12.6
Critiques
12.7
Summary
12.8
Exercises
12.9
Suggested Readings
12.1 INTRODUCTION
What we commonly understand as the positivist view of history derives basically from
three traditions :
a)
b)
The Empiricist Tradition which had a long history but was most deeply entrenched
in the British philosophical and historical tradition; and
c)
The tradition of history-writing which followed the guidelines laid down by the
German historian Leopold von Ranke.
These three traditions fused in various mixtures to produce, what E.H.Carr calls, the
commonsense view of history. At philosophical level, these traditions cannot be said
to be one. In fact, there are many contradictions between them. Sometimes, these
contradictions, as between Positivism and Empiricism, may be seemingly opposed to
each other. For example, while Positivism enunciated universalistic principles, general
laws and had a teleological view of history, Empiricism doubted the grand theoretical
schemes and relied on sense impressions and the knowledge gained from that.
Nevertheless, in the sphere of history-writing, they have been used interchangeably,
both by their followers and critics. In this Unit we will discuss all the three trends
separately as well as their combined impact on the writing of history. Let us start with
the Positivist philosophy.
Approaches to History in
Modern Times -- 1
Apart from Saint-Simon, the other influences on him were those of John Locke (16321704), David Hume (1711-1776) and Immanuel Kant (1724-1804). All these influences
went into the making of his own system of philosophy. The main books he published
were titled : The Course of Positive Philosophy and The Course of Positive Politics.
It is in the first book, published in six volumes from 1830 to 1842, that he elaborated
his theoretical model about history.
According to Comte, there was a successive progression of all conceptions and
knowledge through three stages. These stages are in chronological sequence : the
Theological or fictitious; the Metaphysical or abstract; and the scientific or Positive.
Of these three stages the first one is the primary stage through which the human mind
must necessarily pass. The second stage is transitional, and the third stage is the final
and the fixed and definite state of human understanding.
Comte also sees a parallel between this evolution of thought in history and the
development of an individual from childhood to adulthood. According to him, the first
two stages were now past while the third stage, that is, the Positive stage, was emergent.
Comte considered that the Positive stage was dominated by science and industry. In
this age the scientists have replaced the theologians and the priests, and the industrialists,
including traders, managers and financiers, have replaced the warriors. Comte believed
in the absolute primacy of science. In the Positive stage, there is a search for the laws of
various phenomena. Reasoning and observation, Comte said, are the means of this
knowledge. Ultimately, all isolated phenomena and events are to be related to certain
general laws. For Comte, the Positivist system would attain perfection if it could
represent all phenomena as particular aspects of a single general fact; such as gravitation,
for instance.
Positivism, therefore, upheld that knowledge could be generated through observation.
In this respect, Positivism had very close resemblance to the Empiricist tradition which
emphasised the role of sense experience. Thus observation and experience were
considered as the most important and essential function. Facts were the outcome of this
process. However, at its most fundamental level, the Positivist philosophy was not
concerned with individual facts. They, instead, believed in general laws. These laws
were to be derived through the method of induction, that is, by first determining the
facts through observation and experience and then derive laws through commonness
among them. For Positivists, therefore, general laws are only colligation of facts derived
from sense experience. Thus, facts are determined by sense experience and then tested
by experiments which ultimately leads to the formation of general laws. These general
laws, like those in the sciences, would be related to the basic laws of human development.
Once discovered (and formulated), these laws could be used to predict and modify the
patterns of development in society. In such a scheme, individual facts, or humans for
that matter, were of no consequence. Comte, therefore, looked down upon the historians
as mere collectors of facts which were of no relevance to him once general laws were
known.
There were three major presuppositions in Comtes system of philosophy :
1)
He envisaged that the industrial society, which Western Europe had pioneered,
was the model of the future society all over the world.
2)
He believed that scientific thinking, which he called the positivist philosophy, was
applicable both for the sciences and for the society. Moreover, he thought that this
thinking, and by implication the positivist philosophy, would soon become prevalent
in the whole world, in all societies.
3)
Comte believed that the human nature was the same everywhere. It was, therefore,
possible to apply the general laws of development, discovered by him, to all societies.
Positivist Tradition
Some of these ideas were common in Comtes age. The belief that the age of religion was
over and the age of science and industry had arrived was shared by many.
Comtes main ideas derived from two sources principle of determinism found in thoughts
of Montesquieu (1689-1755), a French political philosopher, and the idea of inevitable
progress through certain stages propounded by Condorcet (1743-1794), another French
philosopher. Thus Comtes central thesis can be stated in Raymond Arons words as
follows;
Social phenomena are subject to strict determinism which operates in the form of an
inevitable evolution of human societies an evolution which is itself governed by the
progress of the human mind.
Armed with this principle, Comte strove to find in the human world a basic pattern which
would explain everything. Thus, for him, a final result of all our historical analysis would
be the rational co-ordination of the fundamental sequence of the various events of human
history according to a single design.
The Positivist method, as envisaged by Comte, would consist in the observation of facts
and data, their verification through experimentation which would finally lead to the
establishment of general laws. This method was to be applied in the sciences as well as in
humanities such as sociology, history, etc. And, as in the sciences, the individual had not
much role in determining the process of development.
Thus, for the historians, Comtes method could have following implications :
1)
History, like sciences, is subject to certain general laws which could explain the
process of human development.
2)
Human mind progresses through certain stages which are inevitable for all societies
and cultures.
3)
4)
The inductive method, which Comte believed was applicable in sciences, consisting
of observation of facts, experimentation and then formulation of general laws, should
be applied in the writing of history as well.
Approaches to History in
Modern Times -- 1
sometimes considered as the founder of the Empiricist tradition, but he may equally be
claimed by other traditions opposed to Empiricism. In medieval Europe, Thomas Aquinas
believed in the primacy of senses as the source of knowledge. He said that there is
nothing in the intellect that is not first in the senses.
In Britain, there existed a very strong Empiricist tradition. In the 16th century, Francis
Bacon believed that an accurate picture of the world could be derived only through the
collection of observed data. He tried to base philosophical enquiries on scientific grounds.
In the 17th century, John Locke was the leading Empiricist philosopher. The other
important Empiricist philosophers in Britain were George Berkeley (1685-1753), David
Hume (1711-1776), and John Stuart Mill (1806-1873).
The theories of Empiricism hold that our senses (eyes, ears, nose, etc.) act as mirrors
for the things and events in the world. It is on the basis of those impressions that we
understand the world and establish connections between things and events. The world
in all its particulars corresponds to how we describe it in language. Thus when we say
potato, it exactly denotes a particular material thing in nature.
Empiricism can be said to have generated the following ideas:
1)
The real world as we experience is made of concrete things and events and their
properties and relationships.
2)
Individual experience can be isolated from each other and from its object and
from the position of its subject. Thus an experience can be described without
reference to the person who experienced it or the circumstances which generated
it. In relation to the practice of history, it means that the facts can be separated
from the individuals or groups or societies that produced them, and from the
researchers who have supposedly uncovered them.
3)
The person who experiences a particular object should be like a clean slate who is
influenced only by the object he/she experiences. His/her earlier experiences and
ideological orientation are not important. In terms of history-writing, it means that
the historian or the collector of facts should be influenced only by those facts that
he /she has collected and not by previously held ideology or beliefs.
4)
The nature of the world can be can be derived only through inductive generalisation.
All such generalisations, however, should be verified through experiments and can
be displaced or corrected by further or different experiences.
5)
All knowledge consists of facts derived through experiences and experiences alone.
Therefore, any claimed knowledge of transcendental world or any metaphysical
speculations have no basis in reality.
The historians, according to the Empiricists, should repose their trust in the evidences
about the past that are presented for us by the contemporaries through their sense
impressions and if historians look at these sources closely, they can present a true
picture of the past.
available sources and evidences. However, his work, along with those of others, such as
Voltaire, Hume, etc., who wrote historical pieces in the 18th century, was seriously wanting
in many respects. These deficiencies were mostly due to the nature of historical research
in the 18th-century Europe. Those problems may be listed as follows:
1)
The first was their concern for establishing the universal principles of human and
social behaviour. Moreover, they could not analyse the patterns of change and
development in society and polity. Except Gibbon, most of the 18th-century historians
were not seriously concerned with providing empirical details. There was also a lack
of critical acumen among many of the practitioners of history with regard to their
sources. Most of them relied completely on the sources and took their accuracy and
truth for granted.
2)
There was also the problem of the non-availability of primary sources and documents.
Most of the archives were not open to the scholars. Moreover, most of the rulers
practised censorship and did not allow publication of books and accounts which did
not agree with their views. In addition, the Catholic Church was still powerful and
was able to enforce its own censorship prohibiting the books critical of the Church.
3)
Another associated problem was the lack of formal teaching of history at the university
level. Because of this, the historians often worked as individuals and never as a team.
This led to an absence of mutual checks and informed criticism.
Positivist Tradition
By the early 19th century, mostly due to the French Revolution and many political reforms
introduced in its wake, it became possible to overcome many of the problems discussed
above. This great revolution changed many ideas and concepts about the human nature
and society. Now people started to think about change and development in social and
individual behaviour. Sources and documents were now more carefully and critically
evaluated before deciding on their veracity. The Danish scholar Barthold Georg Niebuhr
(1776-1831) is generally considered as the pioneer of this new critical method and the
source-based historical research. He used the advanced method of linguistic studies and
textual analysis for the study of the sources and writing of his book, History of Rome,
which was published in 1811-12. Niebuhr had worked in Prussia since 1806 and was
appointed in the recently founded University of Berlin. In his lectures on Roman history,
he critically examined the sources, especially the work of the classical writer Livy
(59 BCE 17 CE). For this, he used the most advanced philological methods and
exposed several weaknesses in Livys work. Niebuhr thought that such method would
bring out the bias in the contemporary sources and would enable the historians to present
true state of things. He believed that In laying down the pen, we must be able to say in the
sight of God, I have not knowingly nor without earnest investigation written anything
which is not true.
Although Niebuhr was a crucial figure in developing method of history-writing, it was
Ranke who must be credited with the beginning of the modern historiography. In 1824, he
published his first book, The History of the Latin and Teutonic Nations. In the Preface
of the book, as the statement of his purpose, he wrote the passage which became the
foremost justification of empirical historiography:
To history has been assigned the task of judging the past, of instructing the present
for the benefit of the future ages. To such lofty functions this work does not aspire.
Its aim is merely to show how it really was.
The Rankean approach to history-writing can be summarised as follows:
1)
As is clear from the above-quoted statement, Ranke believed that the past should be
understood in its own terms and not those of the present. The attitudes and behaviour
Approaches to History in
Modern Times -- 1
of the people of the past ages should be discerned by the incisive study of that
particular period and should not be viewed by the parameters of the historians
own age. In Rankes opinion, the historian should avoid the present-centric concerns
while studying the past and should try to understand what issues were important to
the people of the age he/she was studying. This idea of Ranke and the Empirical
school introduced the notion of historicity. It meant that past has its own nature
which was different from the present. It is the duty of the historian to uncover the
spirit of a particular age.
2)
Ranke was an Empiricist who believed that the knowledge is derived only through
the sense experience. And the knowledge of the past can come from the sources
which are the objective embodiments of the experiences of the people of that
particular period. Thus the historian should rely only on the material available in
the sources. The historian should not take recourse to imagination or intuition. Any
statement to be made about the past should find reference among the sources.
3)
But Ranke was also critical towards the sources and did not have blind faith in
them. He knew that all sources were not of equal value. He, therefore, advocated
the hierarchy of the sources. He gave priority to the sources which were
contemporary with the events. These are known as the primary sources. Among
these, the records produced by the participants or direct observers should be
given preference to those written by others in the same period. Then there are the
other sources produced by people later on. These are known as the secondary
sources and should be accorded lesser credence than the primary sources while
studying the events. Thus the precise dating of all sources became a matter of
prime concern.
4)
Ranke also emphasised the importance of providing references. This way all the
assertions and statements could be supported by giving full details of sources from
which they were derived. Here he further refined and elaborated the technique
already followed by Gibbon and other historians before him. This practice was
important because it provided the opportunity to cross-check the evidences cited
by the historians. This would lead to corrections and modifications of the views
and interpretations of historians.
5)
Rankes own output was enormous. He wrote several multi-volume books, the best
known among them are : The Ottoman and the Spanish Empires in the Sixteenth
and Seventeenth Centuries, The Popes of Rome, their Church and State, in the
Sixteenth and Seventeenth Centuries and History of Reformation in Germany.
Through his books Ranke tried to set the example for the future historians.
10
Ranke and his followers not only established the methodology for professional history
but also helped in developing the institutions to support it. Ranke started graduate
seminars in the University of Berlin in 1833 where young researchers were systematically
trained. It created a group of scholars in Germany in the 1840s who were devoted and
who were involved in writing professional history. Even before that, in 1823, the Prussian
government had started the publication of Monumenta Germaniae Historica which
strove to publish all important sources for German medieval history for the historians.
By now, more than 360 volumes have appeared.
Ranke conceptualised history as a rigorous science which should abstain from metaphysical
speculations and value judgments. He further emphasised that the historians must put the
sources to philological criticism in order to determine their veracity. In contrast to the
Comtean positivism, Ranke stressed the uniqueness of the events and not their universality.
For him, it was important to look for the exact details and not for the general laws. By
1848, all German-speaking universities had adopted the Rankean method for writing
history. And after 1870, in most European countries, the United States and Japan, the
Rankean model was adopted for historical studies. Journals began to be published in
several languages to promote scientific history. Thus the journal Historische Zeitschrift
began publication in German in 1859. It was a trend-setter. It was followed by Revue
Historique in French in 1876, Rivista Storica Italiana in Italian in 1884, the English
Historical Review in 1886, the American Historical Review in 1895 and several similar
journals in many languages and countries.
Positivist Tradition
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Approaches to History in
Modern Times -- 1
history may provide material for writing literature or philosophy, it was different from
both these because it was a science. He wrote many important historical works including
the History of Greece and A History of the Later Roman Empire.
This view of history was summarised by an immensely influential textbook entitled
Introduction to the Study of History written by C.V. Langlois and Charles Seignobos,
published in 1898. The authors declared that the objective of history-writing was not
to please, nor to give practical maxims of conduct, nor to arouse emotions, but
knowledge pure and simple.
Even though there were many critics of this view, this tradition dominated in the 19th
century and even in the 20th century most of the professional history followed this
trend. Most historians believe in its central premises that facts have a separate and
independent existence and that most of our knowledge of the physical world ultimately
derives from sense impressions.
12.6 CRITIQUES
There has been widespread criticism of the positivist and empiricist views of history.
Right since the Rankean era there have been historians who criticised this trend of
history-writing. Johan Gustav Droysen (1808-1884), professor of History at Berlin
from 1859 to 1884, described the objective approach of Ranke as the objectivity of a
eunuch. The work of Jacob Burckhardt (1818-97), Profesor of History at Basle from
1845, provided an alternative approach to that of Ranke. He was a disciple of Ranke,
but reacted against his method of history-writing and followed the approach of Augustin
Thierry ( 1795-1856) and Jules Michelet (1798-1874). Thierry and Michelet criticised
the straightforward empiricism and gave rise to ideas which are associated with the
school of historical romanticism. This trend of historiography stressed the points which
the Rankean and Positivist schools had rejected. The historians associated with this
trend emphasised the importance of historians intervention in the writing of history.
They believed that the historian should be passionate and committed rather than
detached. They also emphasised the moral side of history-writing in opposition to rational
approach. The local and the particular were given more importance as against universal
and general. The history of the community as a whole was emphasised as against the
approach which gave prominence to the leaders. As Thierry said that his aim in writing
history was to envisage the destiny of peoples and not of certain famous men, to
present the adventures of social life and not those of the individual. This school believed
in the importance of literary skills in the writing of history and stressed that history was
as much art as it was science. They criticised empiricism for its cult of sources and its
emphasis on neutral interpretation. They, in its place, stressed the role of sentiments and
feelings in history-writing.
Although there were many historians even before 1914 who seriously questioned the
possibility of a scientific, neutral and value-free history, the events of the First World
War and their aftermath severely jolted the belief that historical accounts could be
produced which would satisfy persons of all nationalities. In fact, the historians of many
countries wrote histories which contradicted the ones written by those in other countries.
They interpreted events which justified their respective nations. Even though there were
exceptions to this rule, the overall tendency was to write nationalist histories rather than
scientific histories. In fact, the nationalist histories were flaunted as scientific histories.
The Rankean and Positivist ideals of producing scientific and objective history came
under severe strain.
12
The Positivists believed in the methods and truths of the natural sciences. They wanted
to apply these methods to the study of society as well. Hence, they designated these
disciplines as social sciences. They believed that, by the use of inductive methods, it was
possible to predict about the future of society as in the natural sciences. But in the 20th
century, the nature of the natural sciences also changed at theoretical level. Albert Einsteins
General Theory of Relativity, propounded in 1913, changed the very nature of research
in natural sciences.
Positivist Tradition
The thinking about history was also influenced by these developments. The Positivist
certainty and Rankean objectivity now seemed a thing of the past. Many thinkers now
emphasised the relativistic nature of history. Wilhelm Dilthey (1833-1911) in Germany,
Benedetto Croce (1866-1952) in Italy and R.G. Collingwood (1889-1943) in England
were among the more influential thinkers in this regard. Croce declared that All history is
contemporary history which meant that history is written always in the light of the present
concern and is shaped by the ideological tool available to the historian in his/her own era.
The Amerian historian, Carl Becker, denied the existence of facts at all by saying that the
facts of history do not exist for any historian till he creates them. Collingwood went even
further by provocatively stating that all history is the history of thought. What these
thinkers were challenging was the usual distinction between fact and interpretation which
most of the pre-First World War historians were prone to do.
Their views received wide acceptance among historians. The role of the historian now
acquired huge prominence, as the role of sources had early on. The work of interpretation
was always considered the prerogative of the historian. But now even the decision about
what should be considered as facts was thought to be the privilege of the historian. As
E.H.Carr states that the necessity to establish these basic facts rests not on any quality of
the facts themselves, but on a priori decision of the historian. The facts no longer spoke
for themselves, as was the case with the empiricists; they now have to be made to speak
in the diction of the historian. To quote E.H.Carr again :
The facts speak only when the historian calls on them: it is he who decides to which
facts to give the floor, and in what order or context. a fact is like a sack it wont
stand up till youve put something in it.
E.H.Carr presents these views as the Collingwood view of history. He himself adopts a
more cautious approach which gives equal weightage to facts and historians. Most of the
working historians generally adopt this approach.
12.7 SUMMARY
In this Unit we have attempted to familiarise you with the Positivist tradition of historywriting. This tradition is, in fact, constituted by three different traditions of thought the
Positivist philosophy enunciated by August Comte, the tradition of history-writing started
by Leopold von Ranke and the Empiricist tradition predominant in Britain. The interaction
of these three traditions tried to put the practice of history on a scientific basis. This
tradition claimed that the sources were all-important, that the facts existed independent of
the historian, that neutrality is a desired goal, that total objectivity is possible in the writing
of history and that history can be considered as science. This view of history was criticised
even during the 19th century by historians like Burckhardt and philosophers like Wilhelm
Dilthey. However, more serious challenge came in the beginning of the 20th century.
Thinkers like Croce, Carl Becker and Collingwood questioned the very foundations of
such an approach of scientificity, neutrality and objectivity. They denied the existence of
facts independent of the historian and gave overwhelming importance to interpretation in
history-writing. Such views of total relativism were also not helpful to most practicing
historians who tried to adopt a more balanced view which accorded even importance
both to the facts and the historians.
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Approaches to History in
Modern Times -- 1
12.8 EXERCISES
1)
What are the differences and similarities between Positivism and Empiricism?
2)
3)
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