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Thursday, August 22, 2024

Germanic peoples

From Wikipedia, the free encyclopedia
https://en.wikipedia.org/wiki/Germanic_peoples
Roman bronze statuette representing a Germanic man with his hair in a Suebian knot. Dating to the late 1st century – early 2nd century A.D.

The Germanic peoples were tribal groups who lived in the north of Europe in Classical Antiquity and the Early Middle Ages. In modern scholarship, they typically include not only the Roman-era Germani who lived in both Germania and parts of the Roman empire, but also all Germanic speaking peoples from this era, irrespective of where they lived, most notably the Goths. Another term, ancient Germans, is considered problematic by many scholars since it suggests identity with present-day Germans. Although the first Roman descriptions of Germani involved tribes west of the Rhine, their homeland of Germania was portrayed as stretching east of the Rhine, to southern Scandinavia and the Vistula in the east, and to the upper Danube in the south. Other Germanic speakers, such as the Bastarnae and Goths, lived further east in what is now Moldova and Ukraine. The term Germani is generally only used to refer to historical peoples from the 1st to 4th centuries CE.

Different academic disciplines have their own definitions of what makes someone or something "Germanic". Some scholars call for the term's total abandonment as a modern construct, since lumping "Germanic peoples" together implies a common group identity for which there is little evidence. Other scholars have defended the term's continued use and argue that a common Germanic language allows one to speak of "Germanic peoples", regardless of whether these ancient and medieval peoples saw themselves as having a common identity. Scholars generally agree that it is possible to refer to Germanic-speaking peoples from about 500 BCE. Archaeologists usually associate the earliest Germanic speaking peoples with the Jastorf culture of the Pre-Roman Iron Age in southern Denmark and northern Germany from the 6th to 1st centuries BCE, around the same time that the First Germanic Consonant Shift is theorized to have occurred, leading to recognizably Germanic languages. Germanic languages expanded south, east, and west, coming into contact with Celtic, Iranic, Baltic, and Slavic peoples before they were noted by the Romans.

Roman authors first described the Germani near the Rhine in the 1st century BCE, while the Roman Empire was establishing its dominance in that region. Under Emperor Augustus (27 BCE–14 CE), the Romans attempted to conquer a large part of Germania between the Rhine and Elbe, but withdrew after their shocking defeat at the Battle of the Teutoburg Forest in 9 CE. The Romans continued to manage the Germanic frontier carefully, meddling in cross-border politics, and constructing a long fortified border, the Limes Germanicus. From 166 to 180 CE, Rome was embroiled in a conflict against the Germanic Marcomanni and Quadi with their allies, which was known as the Marcomannic Wars. After this major disruption, new Germanic peoples appear for the first time in the historical record, such as the Franks, Goths, Saxons, and Alemanni. During the Migration Period (375–568), such Germanic peoples entered the Roman Empire and eventually established their own "barbarian kingdoms" within the territory of the Western Roman empire itself. Over time, the Franks became the most powerful of them, conquering many of the others. Eventually, the Frankish king Charlemagne claimed the title of Holy Roman Emperor for himself in 800.

Archaeological finds suggest that Roman-era sources portrayed the Germanic way of life as more primitive than it actually was. Instead, archaeologists have unveiled evidence of a complex society and economy throughout Germania. Germanic-speaking peoples originally shared similar religious practices. Denoted by the term Germanic paganism, they varied throughout the territory occupied by Germanic-speaking peoples. Over the course of Late Antiquity, most continental Germanic peoples and the Anglo-Saxons of Britain converted to Christianity, but the Saxons and Scandinavians converted only much later. The Germanic peoples shared a native script—known as runes—from around the first century or before, which was gradually replaced with the Latin script, although runes continued to be used for specialized purposes thereafter.

Traditionally, the Germanic peoples have been seen as possessing a law dominated by the concepts of feuding and blood compensation. The precise details, nature and origin of what is still normally called "Germanic law" are now controversial. Roman sources state that the Germanic peoples made decisions in a popular assembly (the thing) but that they also had kings and war leaders. The ancient Germanic-speaking peoples probably shared a common poetic tradition, alliterative verse, and later Germanic peoples also shared legends originating in the Migration Period.

The publishing of Tacitus's Germania by humanist scholars in the 1400s greatly influenced the emerging idea of "Germanic peoples". Later scholars of the Romantic period, such as Jacob and Wilhelm Grimm, developed several theories about the nature of the Germanic peoples that were highly influenced by romantic nationalism. For those scholars, the "Germanic" and modern "German" were identical. Ideas about the early Germans were also highly influential among members of the nationalist and racist völkisch movement and later co-opted by the Nazis. During the second half of the 20th century, the controversial misuse of ancient Germanic history and archaeology was discredited and has since resulted in a backlash against many aspects of earlier scholarship.

Terminology

Etymology

The etymology of the Latin word Germani, from which Latin Germania and English Germanic are derived, is unknown, although several proposals have been put forward. Even the language from which it derives is a subject of dispute, with proposals of Germanic, Celtic, and Latin, and Illyrian origins. Herwig Wolfram, for example, thinks Germani must be Gaulish. The historian Wolfgang Pfeifer more or less concurs with Wolfram and surmises that the name Germani is likely of Celtic etymology and is related to the Old Irish word gair ('neighbours') or could be tied to the Celtic word for their war cries, gairm, which simplifies into 'the neighbours' or 'the screamers'. Regardless of its language of origin, the name was transmitted to the Romans via Celtic speakers.

It is unclear that any people group ever referred to themselves as Germani. By late antiquity, only peoples near the Rhine, especially the Franks and sometimes the Alemanni, were called Germani or Germanoi by Latin and Greek writers respectively. Germani subsequently ceased to be used as a name for any group of people and was revived as such only by the humanists in the 16th century. Previously, scholars during the Carolingian period (8th–11th centuries) had already begun using Germania and Germanicus in a territorial sense to refer to East Francia.

In modern English, the adjective Germanic is distinct from German, which is generally used when referring to modern Germans only. Germanic relates to the ancient Germani or the broader Germanic group. In modern German, the ancient Germani are referred to as Germanen and Germania as Germanien, as distinct from modern Germans (Deutsche) and modern Germany (Deutschland). The direct equivalents in English are, however, Germans for Germani and Germany for Germania although the Latin Germania is also used. To avoid ambiguity, the Germani may instead be called "ancient Germans" or Germani by using the Latin term in English.

Modern definitions and controversies

The modern definition of Germanic peoples developed in the 19th century, when the term Germanic was linked to the newly identified Germanic language family. Linguistics provided a new way of defining the Germanic peoples, which came to be used in historiography and archaeology. While Roman authors did not consistently exclude Celtic-speaking people or have a term corresponding to Germanic-speaking peoples, this new definition—which used the Germanic language as the main criterion—presented the Germani as a people or nation (Volk) with a stable group identity linked to language. As a result, some scholars treat the Germani (Latin) or Germanoi (Greek) of Roman-era sources as non-Germanic if they seemingly spoke non-Germanic languages. For clarity, Germanic peoples, when defined as "speakers of a Germanic language", are sometimes referred to as "Germanic-speaking peoples". Today, the term "Germanic" is widely applied to "phenomena including identities, social, cultural or political groups, to material cultural artefacts, languages and texts, and even specific chemical sequences found in human DNA". Several scholars continue to use the term to refer to a culture existing between the 1st to 4th centuries CE, but most historians and archaeologists researching Late Antiquity and the Early Middle Ages no longer use it.

Apart from the designation of a language family (i.e., "Germanic languages"), the application of the term "Germanic" has become controversial in scholarship since 1990, especially among archaeologists and historians. Scholars have increasingly questioned the notion of ethnically defined people groups (Völker) as stable basic actors of history. The connection of archaeological assemblages to ethnicity has also been increasingly questioned. This has resulted in different disciplines developing different definitions of "Germanic". Beginning with the work of the "Toronto School" around Walter Goffart, various scholars have denied that anything such as a common Germanic ethnic identity ever existed. Such scholars argue that most ideas about Germanic culture are taken from far later epochs and projected backwards to antiquity. Historians of the Vienna School, such as Walter Pohl, have also called for the term to be avoided or used with careful explanation, and argued that there is little evidence for a common Germanic identity. The Anglo-Saxonist Leonard Neidorf writes that historians of the continental-European Germanic peoples of the 5th and 6th centuries are "in agreement" that there was no pan-Germanic identity or solidarity. Whether a scholar favors the existence of a common Germanic identity or not is often related to their position on the nature of the end of the Roman Empire.

Defenders of continued use of the term Germanic argue that the speakers of Germanic languages can be identified as Germanic people by language regardless of how they saw themselves. Linguists and philologists have generally reacted skeptically to claims that there was no Germanic identity or cultural unity, and they may view Germanic simply as a long-established and convenient term. Some archaeologists have also argued in favor of retaining the term Germanic due to its broad recognizability. Archaeologist Heiko Steuer defines his own work on the Germani in geographical terms (covering Germania), rather than in ethnic terms. He nevertheless argues for some sense of shared identity between the Germani, noting the use of a common language, a common runic script, various common objects of material culture such as bracteates and gullgubber (small gold objects) and the confrontation with Rome as things that could cause a sense of shared "Germanic" culture. Despite being cautious of the use of Germanic to refer to peoples, Sebastian Brather, Wilhelm Heizmann and Steffen Patzold nevertheless refer to further commonalities such as the widely attested worship of deities such as Odin, Thor and Frigg, and a shared legendary tradition.

Classical terminology

Several different regions called Germania in the Roman era, about 0-200 CE (names in red were peoples called Germani, despite not living within Germania)

The first author to describe the Germani as a large category of peoples distinct from the Gauls and Scythians was Julius Caesar, writing around 55 BCE during his governorship of Gaul. In Caesar's account, the clearest defining characteristic of the Germani people was that their homeland was east of the Rhine, opposite Gaul on the west side. Caesar sought to explain both why his legions stopped at the Rhine and also why the Germani were more dangerous than the Gauls to the empire. Explaining this threat he also classified the Cimbri and Teutons, who had previously invaded Italy, as Germani. Although Caesar described the Rhine as the border between Germani and Celts, he also describes the Germani cisrhenani on the west bank of the Rhine, who he believed had moved from the east. It is unclear if these Germani were actually Germanic speakers. According to the Roman historian Tacitus in his Germania (c. 98 CE), it was among this group, specifically the Tungri, that the name Germani first arose, before it spread to further groups. Tacitus reported that in his time many of the peoples west of the Rhine within Roman Gaul were still considered Germani. Caesar's division of the Germani from the Celts was not taken up by most writers in Greek.

Caesar and authors following him regarded Germania as stretching east of the Rhine for an indeterminate distance, bounded by the Baltic Sea and the Hercynian Forest. Pliny the Elder and Tacitus placed the eastern border at the Vistula. The Upper Danube served as a southern border. Between there and the Vistula Tacitus sketched an unclear boundary, describing Germania as separated in the south and east from the Dacians and the Sarmatians by mutual fear or mountains. This undefined eastern border is related to a lack of stable frontiers in this area such as were maintained by Roman armies along the Rhine and Danube. The geographer Ptolemy (2nd century CE) applied the name Germania magna ("Greater Germania", Greek: Γερμανία Μεγάλη) to this area, contrasting it with the Roman provinces of Germania Prima and Germania Secunda (on the west bank of the Rhine). In modern scholarship, Germania magna is sometimes also called Germania libera ("free Germania"), a name coined by Jacob Grimm around 1835.

Caesar and, following him, Tacitus, depicted the Germani as sharing elements of a common culture. A small number of passages by Tacitus and other Roman authors (Caesar, Suetonius) mention Germanic tribes or individuals speaking a language distinct from Gaulish. For Tacitus (Germania 43, 45, 46), language was a characteristic, but not defining feature of the Germanic peoples. Many of the ascribed ethnic characteristics of the Germani represented them as typically "barbarian", including the possession of stereotypical vices such as "wildness" and of virtues such as chastity. Tacitus was at times unsure whether a people were Germanic or not. He expressed uncertainty about the Peucini, who he says spoke and lived like the Germani, though they did not live in Germania, and they were beginning to look like Sarmatians through intermarriage. The Osi and Cotini lived in Germania, but were not Germani, because they had other languages and customs. The Aesti lived on the eastern shore of the Baltic and were like Suebi in their appearance and customs, although they spoke a different language. Ancient authors did not differentiate consistently between a territorial definition ("those living in Germania") and an ethnic definition ("having Germanic ethnic characteristics"), and the two definitions did not always align.

The Romans did not regard the eastern Germanic speakers such as Goths, Gepids, and Vandals as Germani, but rather connected them with non-Germanic-speaking peoples such as the Huns, Sarmatians, and Alans. Romans described these peoples, including those who did not speak a Germanic language, as "Gothic peoples" (gentes Gothicae). They often called them Getae instead, or a type of "Scythian". The writer Procopius described the Gothic (or Getic) peoples as sharing similar appearance, laws, Arian religion, and a common language.

Subdivisions

The approximate positions of the three groups and their sub-peoples reported by Tacitus:
  Suebi (part of the Herminones)
  Other Herminones

Several ancient sources list subdivisions of the Germanic tribes. Writing in the first century CE, Pliny the Elder lists five Germanic subgroups: the Vandili, the Inguaeones, the Istuaeones (living near the Rhine), the Herminones (in the Germanic interior), and the Peucini Basternae (living on the lower Danube near the Dacians). In chapter 2 of the Germania, written about a half-century later, Tacitus lists only three subgroups: the Ingvaeones (near the sea), the Herminones (in the interior of Germania), and the Istvaeones (the remainder of the tribes); Tacitus says these groups each claimed descent from the god Mannus, son of Tuisto. Tacitus also mentions a second tradition that there were four sons of either Mannus or Tuisto from whom the groups of the Marsi, Gambrivi, Suebi, and Vandili claim descent. The Herminones are also mentioned by Pomponius Mela, but otherwise, these divisions do not appear in other ancient works on the Germani.

There are a number of inconsistencies in the listing of Germanic subgroups by Tacitus and Pliny. While both Tacitus and Pliny mention some Scandinavian tribes, they are not integrated into the subdivisions. While Pliny lists the Suebi as part of the Herminones, Tacitus treats them as a separate group. Additionally, Tacitus's description of a group of tribes as united by the cult of Nerthus (Germania 40) as well as the cult of the Alcis controlled by the Nahanarvali (Germania 43) and Tacitus's account of the origin myth of the Semnones (Germania 39) all suggest different subdivisions than the three mentioned in Germania chapter 2.

The subdivisions found in Pliny and Tacitus have been very influential for scholarship on Germanic history and language up until recent times. However, outside of Tacitus and Pliny there are no other textual indications that these groups were important. The subgroups mentioned by Tacitus are not used by him elsewhere in his work, contradict other parts of his work, and cannot be reconciled with Pliny, who is equally inconsistent. Additionally, there is no linguistic or archaeological evidence for these subgroups. New archaeological finds have tended to show that the boundaries between Germanic peoples were very permeable, and scholars now assume that migration and the collapse and formation of cultural units were constant occurrences within Germania. Nevertheless, various aspects such as the alliteration of many of the tribal names in Tacitus's account and the name of Mannus himself suggest that the descent from Mannus was an authentic Germanic tradition.

Languages

Proto-Germanic

All Germanic languages derive from the Proto-Indo-European language (PIE), which is generally thought to have been spoken between 4500 and 2500 BCE. The ancestor of Germanic languages is referred to as Proto- or Common Germanic, and likely represented a group of mutually intelligible dialects. They share distinctive characteristics which set them apart from other Indo-European sub-families of languages, such as Grimm's and Verner's law, the conservation of the PIE ablaut system in the Germanic verb system (notably in strong verbs), or the merger of the vowels a and o qualities (ə, a, o > a; ā, ō > ō). During the Pre-Germanic linguistic period (2500–500 BCE), the proto-language was almost certainly influenced by an unknown non-Indo-European language, still noticeable in the Germanic phonology and lexicon.

Although Proto-Germanic is reconstructed without dialects via the comparative method, it is almost certain that it never was a uniform proto-language. The late Jastorf culture occupied so much territory that it is unlikely that Germanic populations spoke a single dialect, and traces of early linguistic varieties have been highlighted by scholars. Sister dialects of Proto-Germanic itself certainly existed, as evidenced by the absence of the First Germanic Sound Shift (Grimm's law) in some "Para-Germanic" recorded proper names, and the reconstructed Proto-Germanic language was only one among several dialects spoken at that time by peoples identified as "Germanic" by Roman sources or archeological data. Although Roman sources name various Germanic tribes such as Suevi, Alemanni, Bauivari, etc., it is unlikely that the members of these tribes all spoke the same dialect.

Early attestations

Definite and comprehensive evidence of Germanic lexical units only occurred after Caesar's conquest of Gaul in the 1st century BCE, after which contacts with Proto-Germanic speakers began to intensify. The Alcis, a pair of brother gods worshipped by the Nahanarvali, are given by Tacitus as a Latinized form of *alhiz (a kind of 'stag'), and the word sapo ('hair dye') is certainly borrowed from Proto-Germanic *saipwōn- (English soap), as evidenced by the parallel Finnish loanword saipio. The name of the framea, described by Tacitus as a short spear carried by Germanic warriors, most likely derives from the compound *fram-ij-an- ('forward-going one'), as suggested by comparable semantical structures found in early runes (e.g., raun-ij-az 'tester', on a lancehead) and linguistic cognates attested in the later Old Norse, Old Saxon and Old High German languages: fremja, fremmian and fremmen all mean 'to carry out'.

The inscription on the Negau helmet B, carved in the Etruscan alphabet during the 3rd–2nd c. BCE, is generally regarded as Proto-Germanic.

In the absence of earlier evidence, it must be assumed that Proto-Germanic speakers living in Germania were members of preliterate societies. The only pre-Roman inscriptions that could be interpreted as Proto-Germanic, written in the Etruscan alphabet, have not been found in Germania but rather in the Venetic region. The inscription harikastiteiva\\\ip, engraved on the Negau helmet in the 3rd–2nd centuries BCE, possibly by a Germanic-speaking warrior involved in combat in northern Italy, has been interpreted by some scholars as Harigasti Teiwǣ (*harja-gastiz 'army-guest' + *teiwaz 'god, deity'), which could be an invocation to a war-god or a mark of ownership engraved by its possessor. The inscription Fariarix (*farjōn- 'ferry' + *rīk- 'ruler') carved on tetradrachms found in Bratislava (mid-1st c. BCE) may indicate the Germanic name of a Celtic ruler.

Linguistic disintegration

By the time Germanic speakers entered written history, their linguistic territory had stretched farther south, since a Germanic dialect continuum (where neighbouring language varieties diverged only slightly between each other, but remote dialects were not necessarily mutually intelligible due to accumulated differences over the distance) covered a region roughly located between the Rhine, the Vistula, the Danube, and southern Scandinavia during the first two centuries of the Common Era. East Germanic speakers dwelled on the Baltic sea coasts and islands, while speakers of the Northwestern dialects occupied territories in present-day Denmark and bordering parts of Germany at the earliest date when they can be identified.

In the 2nd and 3rd centuries CE, migrations of East Germanic gentes from the Baltic Sea coast southeastwards into the hinterland led to their separation from the dialect continuum. By the late 3rd century CE, linguistic divergences like the West Germanic loss of the final consonant -z had already occurred within the "residual" Northwest dialect continuum. The latter definitely ended after the 5th- and 6th-century migrations of Angles, Jutes and part of the Saxon tribes towards modern-day England.

Classification

Replica of an altar for the Matrons of Vacallina (Matronae Vacallinehae) from Mechernich-Weyer, Germany

The Germanic languages are traditionally divided between East, North and West Germanic branches. The modern prevailing view is that North and West Germanic were also encompassed in a larger subgroup called Northwest Germanic.

  • Northwest Germanic: mainly characterized by the i-umlaut, and the shift of the long vowel towards a long in accented syllables; it remained a dialect continuum following the migration of East Germanic speakers in the 2nd–3rd century CE;
    • North Germanic or Primitive Norse: initially characterized by the monophthongization of the sound ai to ā (attested from ca. 400 BCE); a uniform northern dialect or koiné attested in runic inscriptions from the 2nd century CE onward, it remained practically unchanged until a transitional period that started in the late 5th century; and Old Norse, a language attested by runic inscriptions written in the Younger Fuþark from the beginning of the Viking Age (8th–9th centuries CE);
    • West Germanic: including Old Saxon (attested from the 5th c. CE), Old English (late 5th c.), Old Frisian (6th c.), Frankish (6th c.), Old High German (6th c.), and possibly Langobardic (6th c.), which is only scarcely attested; they are mainly characterized by the loss of the final consonant -z (attested from the late 3rd century), and by the j-consonant gemination (attested from ca. 400 BCE); early inscriptions from the West Germanic areas found on altars where votive offerings were made to the Matronae Vacallinehae (Matrons of Vacallina) in the Rhineland dated to ca. 160–260 CE; West Germanic remained a "residual" dialect continuum until the Anglo-Saxon migrations in the 5th–6th centuries CE;
  • East Germanic, of which only Gothic is attested by both runic inscriptions (from the 3rd c. CE) and textual evidence (principally Wulfila's Bible; ca. 350–380). It became extinct after the fall of the Visigothic Kingdom in the early 8th century. The inclusion of the Burgundian and Vandalic languages within the East Germanic group, while plausible, is still uncertain due to their scarce attestation. The latest attested East Germanic language, Crimean Gothic, has been partially recorded in the 16th century.

Further internal classifications are still debated among scholars, as it is unclear whether the internal features shared by several branches are due to early common innovations or to the later diffusion of local dialectal innovations.

History

Prehistory

Iron Age: Orange Field - Latène Culture (Celtic), Dark Red - Jastorf culture (Germanic), Dark Green - Nordic group

The Germanic-speaking peoples speak an Indo-European language. The leading theory for the origin of Germanic languages, suggested by archaeological, linguistic and genetic evidence, postulates a diffusion of Indo-European languages from the Pontic–Caspian steppe towards Northern Europe during the third millennium BCE, via linguistic contacts and migrations from the Corded Ware culture towards modern-day Denmark, resulting in cultural mixing with the earlier Funnelbeaker culture. The subsequent culture of the Nordic Bronze Age (c. 2000/1750-c. 500 BCE) shows definite cultural and population continuities with later Germanic peoples, and is often supposed to have been the culture in which the Germanic Parent Language, the predecessor of the Proto-Germanic language, developed. However, it is unclear whether these earlier peoples possessed any ethnic continuity with the later Germanic peoples.

Generally, scholars agree that it is possible to speak of Germanic-speaking peoples after 500 BCE, although the first attestation of the name Germani is not until much later. Between around 500 BCE and the beginning of the common era, archeological and linguistic evidence suggest that the Urheimat ('original homeland') of the Proto-Germanic language, the ancestral idiom of all attested Germanic dialects, was primarily situated in the southern Jutland peninsula, from which Proto-Germanic speakers migrated towards bordering parts of Germany and along the sea-shores of the Baltic and the North Sea, an area corresponding to the extent of the late Jastorf culture. If the Jastorf Culture is the origin of the Germanic peoples, then the Scandinavian peninsula would have become Germanic either via migration or assimilation over the course of the same period. Alternatively, Hermann Ament [de] has stressed that two other archaeological groups must have belonged to the Germani, one on either side of the Lower Rhine and reaching to the Weser, and another in Jutland and southern Scandinavia. These groups would thus show a "polycentric origin" for the Germanic peoples. The neighboring Przeworsk culture in modern Poland is thought to possibly reflect a Germanic and Slavic component. The identification of the Jastorf culture with the Germani has been criticized by Sebastian Brather, who notes that it seems to be missing areas such as southern Scandinavia and the Rhine-Weser area, which linguists argue to have been Germanic, while also not according with the Roman era definition of Germani, which included Celtic-speaking peoples further south and west.

A category of evidence used to locate the Proto-Germanic homeland is founded on traces of early linguistic contacts with neighbouring languages. Germanic loanwords in the Finnic and Sámi languages have preserved archaic forms (e.g. Finnic kuningas, from Proto-Germanic *kuningaz 'king'; rengas, from *hringaz 'ring'; etc.), with the older loan layers possibly dating back to an earlier period of intense contacts between pre-Germanic and Finno-Permic (i.e. Finno-Samic) speakers. Shared lexical innovations between Celtic and Germanic languages, concentrated in certain semantic domains such as religion and warfare, indicates intensive contacts between the Germani and Celtic peoples, usually identified with the archaeological La Tène culture, found in southern Germany and the modern Czech Republic. Early contacts probably occurred during the Pre-Germanic and Pre-Celtic periods, dated to the 2nd millennium BCE, and the Celts appear to have had a large amount of influence on Germanic culture from up until the first century CE, which led to a high degree of Celtic-Germanic shared material culture and social organization. Some evidence of linguistic convergence between Germanic and Italic languages, whose Urheimat is supposed to have been situated north of the Alps before the 1st millennium BCE, have also been highlighted by scholars. Shared changes in their grammars also suggest early contacts between Germanic and Balto-Slavic languages; however, some of these innovations are shared with Baltic only, which may point to linguistic contacts during a relatively late period, at any rate after the initial breakup of Balto-Slavic into Baltic and Slavic languages, with the similarities to Slavic being seen as remnants of Indo-European archaisms or the result of secondary contacts.

Earliest recorded history

According to some authors the Bastarnae or Peucini were the first Germani to be encountered by the Greco-Roman world and thus to be mentioned in historical records. They appear in historical sources going back as far as the 3rd century BCE through the 4th century CE. Another eastern people known from about 200 BCE, and sometimes believed to be Germanic-speaking, are the Sciri (Greek: Skiroi), who are recorded threatening the city of Olbia on the Black Sea. Late in the 2nd century BCE, Roman and Greek sources recount the migrations of the Cimbri, Teutones and Ambrones whom Caesar later classified as Germanic. The movements of these groups through parts of Gaul, Italy and Hispania resulted in the Cimbrian War (113–101 BCE) against the Romans, in which the Teutons and Cimbri were victorious over several Roman armies but were ultimately defeated.

The first century BCE was a time of the expansion of Germanic-speaking peoples at the expense of Celtic-speaking polities in modern southern Germany and the Czech Republic. Before 60 BCE, Ariovistus, described by Caesar as king of the Germani, led a force including Suevi across the Rhine into Gaul near Besançon, successfully aiding the Sequani against their enemies the Aedui at the Battle of Magetobriga. Ariovistus was initially considered an ally of Rome. In 58 BCE, with increasing numbers of settlers crossing the Rhine to join Ariovistus, Julius Caesar went to war with them, defeating them at the Battle of Vosges. In the following years Caesar pursued a controversial campaign to conquer all of Gaul on behalf of Rome, establishing the Rhine as a border. In 55 BCE he crossed the Rhine into Germania near Cologne. Near modern Nijmegen he also massacred a large migrating group of Tencteri and Usipetes who had crossed the Rhine from the east.

Roman Imperial Period to 375

The Roman province of Germania, in existence from 7 BCE to 9 CE. The dotted line represents the Limes Germanicus, the fortified border constructed following the final withdrawal of Roman forces from Germania.

Early Roman Imperial period (27 BCE–166 CE)

Throughout the reign of Augustus—from 27 BCE until 14 CE—the Roman empire expanded into Gaul, with the Rhine as a border. Starting in 13 BCE, there were Roman campaigns across the Rhine for a 28-year period. First came the pacification of the Usipetes, Sicambri, and Frisians near the Rhine, then attacks increased further from the Rhine, on the Chauci, Cherusci, Chatti and Suevi (including the Marcomanni). These campaigns eventually reached and even crossed the Elbe, and in 5 CE Tiberius was able to show strength by having a Roman fleet enter the Elbe and meet the legions in the heart of Germania. Once Tiberius subdued the Germanic people between the Rhine and the Elbe, the region at least up to Weser—and possibly up to the Elbe—was made the Roman province Germania and provided soldiers to the Roman army.

However, within this period two Germanic kings formed larger alliances. Both of them had spent some of their youth in Rome; the first of them was Maroboduus of the Marcomanni, who had led his people away from the Roman activities into Bohemia, which was defended by forests and mountains, and had formed alliances with other peoples. In 6 CE, Rome planned an attack against him but the campaign was cut short when forces were needed for the Illyrian revolt in the Balkans. Just three years later (9 CE), the second of these Germanic figures, Arminius of the Cherusci—initially an ally of Rome—drew a large Roman force into an ambush in northern Germany, and destroyed the three legions of Publius Quinctilius Varus at the Battle of the Teutoburg Forest. Marboduus and Arminius went to war with each other in 17 CE; Arminius was victorious and Marboduus was forced to flee to the Romans.

Following the Roman defeat at the Teutoburg Forest, Rome gave up on the possibility of fully integrating this region into the empire. Rome launched successful campaigns across the Rhine between 14 and 16 CE under Tiberius and Germanicus, but the effort of integrating Germania now seemed to outweigh its benefits. In the reign of Augustus's successor, Tiberius, it became state policy to expand the empire no further than the frontier based roughly upon the Rhine and Danube, recommendations that were specified in the will of Augustus and read aloud by Tiberius himself. Roman intervention in Germania led to a shifting and unstable political situation, in which pro- and anti-Roman parties vied for power. Arminius was murdered in 21 CE by his fellow Germanic tribesmen, due in part to these tensions and for his attempt to claim supreme kingly power for himself.

In the wake of Arminius's death, Roman diplomats sought to keep the Germanic peoples divided and fractious. Rome established relationships with individual Germanic kings that are often discussed as being similar to client states; however, the situation on the border was always unstable, with rebellions by the Frisians in 28 CE, and attacks by the Chauci and Chatti in the 60s CE. The most serious threat to the Roman order was the Revolt of the Batavi in 69 CE, during the civil wars following the death of Nero known as the Year of the Four Emperors. The Batavi had long served as auxiliary troops in the Roman army as well as in the imperial bodyguard as the so-called Numerus Batavorum, often called the Germanic bodyguard. The uprising was led by Gaius Julius Civilis, a member of the Batavian royal family and Roman military officer, and attracted a large coalition of people both inside and outside of the Roman territory. The revolt ended following several defeats, with Civilis claiming to have only supported the imperial claims of Vespasian, who was victorious in the civil war.

A bog body, the Osterby Man, displaying the Suebian knot, a hairstyle which, according to Tacitus, was common among Germanic warriors

The century after the Batavian Revolt saw mostly peace between the Germanic peoples and Rome. In 83 CE, Emperor Domitian of the Flavian dynasty attacked the Chatti north of Mainz (Mogontiacum). This war would last until 85 CE. Following the end of the war with the Chatti, Domitian reduced the number of Roman soldiers on the upper Rhine and shifted the Roman military to guarding the Danube frontier, beginning the construction of the limes, the longest fortified border in the empire. The period afterwards was peaceful enough that the emperor Trajan reduced the number of soldiers on the frontier. According to Edward James, the Romans appear to have reserved the right to choose rulers among the barbarians on the frontier.

Marcomannic Wars to 375 CE

Following sixty years of quiet on the frontier, 166 CE saw a major incursion of peoples from north of the Danube during the reign of Marcus Aurelius, beginning the Marcomannic Wars. By 168 (during the Antonine plague), barbarian hosts consisting of Marcomanni, Quadi, and Sarmatian Iazyges, attacked and pushed their way to Italy. They advanced as far as Upper Italy, destroyed Opitergium/Oderzo and besieged Aquileia. The Romans had finished the war by 180, through a combination of Roman military victories, the resettling of some peoples on Roman territory, and by making alliances with others. Marcus Aurelius's successor Commodus chose not to permanently occupy any territory conquered north of the Danube, and the following decades saw an increase in the defenses at the limes. The Romans renewed their right to choose the kings of the Marcomanni and Quadi, and Commodus forbid them to hold assemblies unless a Roman centurion was present.

Depiction of Romans fighting Goths on the Ludovisi Battle sarcophagus (c. 250–260 CE)

The period after the Marconmannic Wars saw the emergence of peoples with new names along the Roman frontiers, which were probably formed by the merger of smaller groups. These new confederacies or peoples tended to border the Roman imperial frontier. Many ethnic names from earlier periods disappear. The Alamanni emerged along the upper Rhine and are mentioned in Roman sources from the third century onward. The Goths begin to be mentioned along the lower Danube, where they attacked the city of Histria in 238. The Franks are first mentioned occupying territory between the Rhine and Weser. The Lombards seem to have moved their center of power to the central Elbe. Groups such as the Alamanni, Goths, and Franks were not unified polities; they formed multiple, loosely associated groups, who often fought each other and some of whom sought Roman friendship. The Romans also begin to mention seaborne attacks by the Saxons, a term used generically in Latin for Germanic-speaking pirates. A system of defenses on both sides of the English Channel, the Saxon Shore, was established to deal with their raids.

From 250 onward, the Gothic peoples formed the "single most potent threat to the northern frontier of Rome". In 250 CE a Gothic king Cniva led Goths with Bastarnae, Carpi, Vandals, and Taifali into the empire, laying siege to Philippopolis. He followed his victory there with another on the marshy terrain at Abrittus, a battle which cost the life of Roman emperor Decius. In 253/254, further attacks occurred reaching Thessalonica and possibly Thrace. In 267/268 there were large raids led by the Herules in 267/268, and a mixed group of Goths and Herules in 269/270. Gothic attacks were abruptly ended in the years after 270, after a Roman victory in which the Gothic king Cannabaudes was killed.

The Roman limes largely collapsed in 259/260, during the Crisis of the Third Century (235–284), and Germanic raids penetrated as far as northern Italy. The limes on the Rhine and upper Danube was brought under control again in 270s, and by 300 the Romans had reestablished control over areas they had abandoned during the crisis. From the later third century onward, the Roman army relied increasingly on troops of Barbarian origin, often recruited from Germanic peoples, with some functioning as senior commanders in the Roman army. In the 4th century, warfare along the Rhine frontier between the Romans and Franks and Alemanni seems to have mostly consisted of campaigns of plunder, during which major battles were avoided. The Romans generally followed a policy of trying to prevent strong leaders from emerging among the barbarians, using treachery, kidnapping, and assassination, paying off rival tribes to attack them, or by supporting internal rivals.

Migration Period (ca. 375–568)

2nd century to 6th century simplified migrations

The Migration Period is traditionally cited by historians as beginning in 375 CE, under the assumption that the appearance of the Huns prompted the Visigoths to seek shelter within the Roman Empire in 376. The end of the migration period is usually set at 568 when the Lombards invaded Italy. During this time period, numerous barbarian groups invaded the Roman Empire and established new kingdoms within its boundaries. These Germanic migrations traditionally mark the transition between antiquity and the beginning of the early Middle Ages. The reasons for the migrations of the period are unclear, but scholars have proposed overpopulation, climate change, bad harvests, famines, and adventurousness as possible reasons. Migrations were probably carried out by relatively small groups rather than entire peoples.

Early Migration Period (before 375–420)

The Greuthungi, a Gothic group in modern Ukraine under the rule of Ermanaric, were among the first peoples attacked by the Huns, apparently facing Hunnic pressure for some years. Following Ermanaric's death, the Greuthungi's resistance broke and they moved toward the Dniester river. A second Gothic group, the Tervingi under King Athanaric, constructed a defensive earthwork against the Huns near the Dniester. However, these measures did not stop the Huns and the majority of the Tervingi abandoned Athanaric; they subsequently fled—accompanied by a contingent of Greuthungi—to the Danube in 376, seeking asylum in the Roman Empire. The emperor Valens chose only to admit the Tervingi, who were settled in the Roman provinces of Thrace and Moesia.

Due to mistreatment by the Romans, the Tervingi revolted in 377, starting the Gothic War, joined by the Greuthungi. The Goths and their allies defeated the Romans first at Marcianople, then defeated and killed emperor Valens in the Battle of Adrianople in 378, destroying two-thirds of Valens' army. Following further fighting, peace was negotiated in 382, granting the Goths considerable autonomy within the Roman Empire. However, these Goths—who would be known as the Visigoths—revolted several more times, finally coming to be ruled by Alaric. In 397, the disunited eastern Empire submitted to some of his demands, possibly giving him control over Epirus. In the aftermath of the large-scale Gothic entries into the empire, the Franks and Alemanni became more secure in their positions in 395, when Stilicho, the barbarian generalissimo who held power in the western Empire, made agreements with them.

A replica of an ivory diptych probably depicting Stilicho (on the right), the son of a Vandal father and a Roman mother, who became the most powerful man in the Western Roman Empire from 395 to 408 CE

In 401, Alaric invaded Italy, coming to an understanding with Stilicho in 404/5. This agreement allowed Stilicho to fight against the force of Radagaisus, who had crossed the Middle Danube in 405/6 and invaded Italy, only to be defeated outside Florence. That same year, a large force of Vandals, Suevi, Alans, and Burgundians crossed the Rhine, fighting the Franks but facing no Roman resistance. In 409, the Suevi, Vandals, and Alans crossing the Pyrenees into Spain, where they took possession of the northern part of the peninsula. The Burgundians seized the land around modern Speyer, Worms, and Strasbourg, territory that was recognized by the Roman Emperor Honorius. When Stilicho fell from power in 408, Alaric invaded Italy again and eventually sacked Rome in 410; Alaric died shortly thereafter. The Visigoths withdrew into Gaul where they faced a power struggle until the succession of Wallia in 415 and his son Theodoric I in 417/18. Following successful campaigns against them by the Roman emperor Flavius Constantius, the Visigoths were settled as Roman allies in Gaul between modern Toulouse and Bourdeaux.

Other Goths, including those of Athanaric, continued to live outside the empire, with three groups crossing into the Roman territory after the Tervingi. The Huns gradually conquered Gothic groups north of the Danube, of which at least six are known, from 376 to 400. Those in Crimea may never have been conquered. The Gepids also formed an important Germanic people under Hunnic rule; the Huns had largely conquered them by 406. One Gothic group under Hunnic domination was ruled by the Amal dynasty, who would form the core of the Ostrogoths. The situation outside the Roman empire in 410s and 420s is poorly attested, but it is clear that the Huns continued to spread their influence onto the middle Danube.

The Hunnic Empire (c. 420–453)

In 428, the Vandal leader Geiseric moved his forces across the strait of Gibraltar into north Africa. Within two years, they had conquered most of north Africa. By 434, following a renewed political crisis in Rome, the Rhine frontier had collapsed, and in order to restore it, the Roman magister militum Flavius Aetius engineered the destruction of the Burgundian kingdom in 435/436, possibly with Hunnic mercenaries, and launched several successful campaigns against the Visigoths. In 439, the Vandals conquered Carthage, which served as an excellent base for further raids throughout the Mediterranean and became the basis for the Vandal Kingdom. The loss of Carthage forced Aetius to make peace with the Visigoths in 442, effectively recognizing their independence within the boundaries of the empire. During the resulting peace, Aetius resettled the Burgundians in Sapaudia in southern Gaul. In the 430s, Aetius negotiated peace with the Suevi in Spain, leading to a practical loss of Roman control in the province. Despite the peace, the Suevi expanded their territory by conquering Mérida in 439 and Seville in 441.

By 440, Attila and the Huns had come to rule a multi-ethnic empire north of the Danube; two of the most important peoples within this empire were the Gepids and the Goths. The Gepid king Ardaric came to power around 440 and participated in various Hunnic campaigns. In 450, the Huns interfered in a Frankish succession dispute, leading in 451 to an invasion of Gaul. Aetius, by uniting a coalition of Visigoths, part of the Franks, and others, was able to defeat the Hunnic army at the Battle of the Catalaunian Plains. In 453, Attila died unexpectedly, and an alliance led by Ardaric's Gepids rebelled against the rule of his sons, defeating them in the Battle of Nedao. Either before or after Attila's death, Valamer, a Gothic ruler of the Amal dynasty, seems to have consolidated power over a large part of the Goths in the Hunnic domain. For the next 20 years, the former subject peoples of the Huns would fight among each other for preeminence.

The arrival of the Saxons in Britain is traditionally dated to 449, however, archaeology indicates they had begun arriving in Britain earlier. Latin sources used Saxon generically for seaborne raiders, meaning that not all of the invaders belonged to the continental Saxons. According to the British monk Gildas (c. 500 – c. 570), this group had been recruited to protect the Romano-British from the Picts, but had revolted. They quickly established themselves as rulers on the eastern part of the island.

After the death of Attila (453–568)

Barbarian kingdoms and peoples after the end of the Western Roman Empire in 476 CE
Mausoleum of Theodoric the Great

In 455, in the aftermath of the death of Aetius in 453 and the murder of emperor Valentinian III in 455, the Vandals invaded Italy and sacked Rome in 455. In 456, the Romans persuaded the Visigoths to fight the Suevi, who had broken their treaty with Rome. The Visigoths and a force of Burgundians and Franks defeated the Suevi at the Battle of Campus Paramus, reducing Suevi control to northwestern Spain. The Visigoths went on to conquer all of the Iberian Peninsula by 484 except a small part that remained under Suevian control.

The Ostrogoths, led by Valamer's brother Thiudimer, invaded the Balkans in 473. Thiudimer's son Theodoric succeeded him in 476. In that same year, a barbarian commander in the Roman Italian army, Odoacer, mutinied and removed the final western Roman emperor, Romulus Augustulus. Odoacer ruled Italy for himself, largely continuing the policies of Roman imperial rule. He destroyed the Kingdom of the Rugians, in modern Austria, in 487/488. Theodoric, meanwhile, successfully extorted the Eastern Empire through a series of campaigns in the Balkans. The eastern emperor Zeno agreed to send Theodoric to Italy in 487/8. After a successful invasion, Theodoric killed and replaced Odoacer in 493, founding a new Ostrogothic kingdom. Theodoric died in 526, amid increasing tensions with the eastern empire.

Toward the end of the migration period, in the early 500s, Roman sources portray a completely changed ethnic landscape outside of the empire: the Marcomanni and Quadi disappeared, as had the Vandals. Instead, the Thuringians, Rugians, Sciri, Herules, Goths, and Gepids are mentioned as occupying the Danube frontier. From the mid-5th century onward, the Alamanni had greatly expanded their territory in all directions and launched numerous raids into Gaul. The territory under the Frankish influence had grown to encompass northern Gaul and Germania to the Elbe. The Frankish king Clovis I united the various Frankish groups in 490s, and conquered the Alamanni by 506. From the 490s onward, Clovis waged wars against the Visigoths, defeating them in 507 and taking control of most of Gaul. Clovis's heirs conquered the Thuringians by 530 and the Burgundians by 532. The continental Saxons, composed of many subgroups, were made tributary to the Franks, as were the Frisians, who faced an attack by the Danes under Hygelac in 533.

The Vandal and Ostrogothic kingdoms were destroyed in 534 and 555 respectively by the Eastern Roman (Byzantine) empire under Justinian. Around 500, a new ethnic identity appears in modern southern Germany, the Baiuvarii (Bavarians), under the patronage of Theodoric's Ostrogothic kingdom and then of the Franks. The Lombards, moving out of Bohemia, destroyed the kingdom of the Heruli in Pannonia in 510. In 568, after destroying the Gepid kingdom, the last Germanic kingdom in the Carpathian basin, the Lombards under Alboin invaded northern Italy, eventually conquering most of it. This invasion has traditionally been regarded as the end of the migration period. The eastern part of Germania, formerly inhabited by the Goths, Gepids, Vandals, and Rugians, was gradually Slavicized, a process enabled by the invasion of the nomadic Avars.

Early Middle Ages to c. 800

Frankish expansion from the early kingdom of Clovis I (481) to the divisions of Charlemagne's Empire (843–870)
The Sutton Hoo helmet from c. 625 in the British Museum

Merovingian Frankia became divided into three subkingdoms: Austrasia in the east around the Rhine and Meuse, Neustria in the west around Paris, and Burgundy in the southeast around Chalon-sur-Saône. The Franks ruled a multilingual and multi-ethnic kingdom, divided between a mostly Romance-speaking West and a mostly Germanic-speaking east, that integrated former Roman elites but remained centered on a Frankish ethnic identity. In 687, the Pippinids came to control the Merovingian rulers as mayors of the palace in Neustria. Under their direction, the subkingdoms of Frankia were reunited. Following the mayoralty of Charles Martel, the Pippinids replaced the Merovingians as kings in 751, when Charles's son Pepin the Short became king and founded the Carolingian dynasty. His son, Charlemagne, would go on to conquer the Lombards, Saxons, and Bavarians. Charlemagne was crowned Roman emperor in 800 and regarded his residence of Aachen as the new Rome.

Following their invasion in 568, the Lombards quickly conquered larger parts of the Italian peninsula. From 574 to 584, a period without a single Lombard ruler, the Lombards nearly collapsed, until a more centralized Lombard polity emerged under King Agilulf in 590. The invading Lombards only ever made up a very small percentage of the Italian population, however Lombard ethnic identity expanded to include people of both Roman and barbarian descent. Lombard power reached its peak during the reign of King Liutprand (712–744). After Liutprand's death, the Frankish King Pippin the Short invaded in 755, greatly weakening the kingdom. The Lombard kingdom was finally annexed by Charlemagne in 773.

After a period of weak central authority, the Visigothic kingdom came under the rule of Liuvigild, who conquered the Kingdom of the Suebi in 585. A Visigothic identity that was distinct from the Romance-speaking population they ruled had disappeared by 700, with the removal of all legal differences between the two groups. In 711, a Muslim army landed at Grenada; the entire Visigothic kingdom would be conquered by the Umayyad Caliphate by 725.

In what would become England, the Anglo-Saxons were divided into several competing kingdoms, the most important of which were Northumbria, Mercia, and Wessex. In the 7th century, Northumbria established overlordship over the other Anglo-Saxon Kingdoms, until Mercia revolted under Wulfhere in 658. Subsequently, Mercia would establish dominance until 825 with the death of King Cenwulf. Few written sources report on Vendel period Scandinavia from 400 to 700, however this period saw profound societal changes and the formation of early states with connections to the Anglo-Saxon and Frankish kingdoms. In 793, the first recorded Viking raid occurred at Lindisfarne, ushering in the Viking Age.

Religion

Germanic paganism

Wooden idols from Oberdorla moor, modern Thuringia. The idols were found in context with animal bones and other evidence of sacrificial rites.

Germanic paganism refers to the traditional, culturally significant religion of the Germanic-speaking peoples. It did not form a uniform religious system across Germanic-speaking Europe, but varied from place to place, people to people, and time to time. In many contact areas (e.g. Rhineland and eastern and northern Scandinavia), it was similar to neighboring religions such as those of the Slavs, Celts, and Finnic peoples. The term is sometimes applied as early as the Stone Age, Bronze Age, or the earlier Iron Age, but it is more generally restricted to the time period after the Germanic languages had become distinct from other Indo-European languages. From the first reports in Roman sources to the final conversion to Christianity, Germanic paganism thus covers a period of around one thousand years. Scholars are divided as to the degree of continuity between the religious practices of the earlier Germanic peoples and those attested in later Norse paganism and elsewhere: while some scholars argue that Tacitus, early medieval sources, and the Norse sources indicate religious continuity, other scholars are highly skeptical of such arguments.

Like their neighbors and other historically related peoples, the ancient Germanic peoples venerated numerous indigenous deities. These deities are attested throughout literature authored by or written about Germanic-speaking peoples, including runic inscriptions, contemporary written accounts, and in folklore after Christianization. As an example, the second of the two Merseburg charms (two Old High German examples of alliterative verse from a manuscript dated to the ninth century) mentions six deities: Woden, Balder, Sinthgunt, Sunna, Frija, and Volla.

With the exception of Sinthgunt, proposed cognates to these deities occur in other Germanic languages, such as Old English and Old Norse. By way of the comparative method, philologists are then able to reconstruct and propose early Germanic forms of these names from early Germanic mythology. Compare the following table:

Old High German Old Norse Old English Proto-Germanic reconstruction Notes
Wuotan Óðinn Wōden *Wōđanaz A deity similarly associated with healing magic in the Old English Nine Herbs Charm and particular forms of magic throughout the Old Norse record. This deity is strongly associated with extensions of *Frijjō (see below).
Balder Baldr Bældæg *Balđraz In Old Norse texts, where the only description of the deity occurs, Baldr is a son of the god Odin and is associated with beauty and light.
Sunne Sól Sigel *Sowelō ~ *Sōel A theonym identical to the proper noun 'Sun'. A goddess and the personified Sun.
Volla Fulla Unattested *Fullōn A goddess associated with extensions of the goddess *Frijjō (see below). The Old Norse record refers to Fulla as a servant of the goddess Frigg, while the second Merseburg Charm refers to Volla as Friia's sister.
Friia Frigg Frīg *Frijjō Associated with the goddess Volla/Fulla in both the Old High German and Old Norse records, this goddess is also strongly associated with the god Odin (see above) in both the Old Norse and Langobardic records.

The structure of the magic formula in this charm has a long history prior to this attestation: it is first known to have occurred in Vedic India, where it occurs in the Atharvaveda, dated to around 500 BCE. Numerous other beings common to various groups of ancient Germanic peoples receive mention throughout the ancient Germanic record. One such type of entity, a variety of supernatural women, is also mentioned in the first of the two Merseburg Charms:

Old High German Old Norse Old English Proto-Germanic reconstruction Notes
itis dís ides *đīsō A type of goddess-like supernatural entity. The West Germanic forms present some linguistic difficulties but the North Germanic and West Germanic forms are used explicitly as cognates (compare Old English ides Scildinga and Old Norse dís Skjǫldunga).

Other widely attested entities from the North and West Germanic folklore include elves, dwarfs, and the mare. (For more discussion on these entities, see Proto-Germanic folklore.)

The great majority of material describing Germanic mythology stems from the North Germanic record. The body of myths among the North Germanic-speaking peoples is known today as Norse mythology and is attested in numerous works, the most expansive of which are the Poetic Edda and the Prose Edda. While these texts were composed in the 13th century, they frequently quote genres of traditional alliterative verse known today as eddic poetry and skaldic poetry dating to the pre-Christian period.

An image of a museum reproduction of one of the two golden horns of Gallehus, found in Denmark and dating to the early fifth century. Composed in Proto-Norse, the Elder Futhark inscription on the horn features the earliest known generally accepted example of Germanic alliterative verse.

West Germanic mythology (that of speakers of, e.g., Old English and Old High German) is comparatively poorly attested. Notable texts include the Old Saxon Baptismal Vow and the Old English Nine Herbs Charm. While most extant references are simply to deity names, some narratives do survive into the present, such as the Lombard origin myth, which details a tradition among the Lombards that features the deities Frea (cognate with Old Norse Frigg) and Godan (cognate with Old Norse Óðinn). Attested in the 7th-century Origo Gentis Langobardorum and the 8th-century Historia Langobardorum from the Italian Peninsula, the narrative strongly corresponds in numerous ways with the prose introduction to the eddic poem Grímnismál, recorded in 13th-century Iceland.

Very few texts make up the corpus of Gothic and other East Germanic languages, and East Germanic paganism and its associated mythic body is especially poorly attested. Notable topics that provide insight into the matter of East Germanic paganism include the Ring of Pietroassa, which appears to be a cult object (see also Gothic runic inscriptions), and the mention of the Gothic Anses (cognate with Old Norse Æsir '(pagan) gods') by Jordanes.

Practices associated with the religion of the ancient Germanic peoples see fewer attestations. However, elements of religious practices are discernable throughout the textual record associated with the ancient Germanic peoples, including a focus on sacred groves and trees, the presence of seeresses, and numerous vocabulary items. The archaeological record has yielded a variety of depictions of deities, a number of them associated with depictions of the ancient Germanic peoples (see Anthropomorphic wooden cult figurines of Central and Northern Europe). Notable from the Roman period are the Matres and Matronae, some having Germanic names, to whom devotional altars were set up in regions of Germania, Eastern Gaul, and Northern Italy (with a small distribution elsewhere) that were occupied by the Roman army from the first to the fifth century.

Germanic mythology and religious practice is of particular interest to Indo-Europeanists, scholars who seek to identify aspects of ancient Germanic culture—both in terms of linguistic correspondence and by way of motifs—stemming from Proto-Indo-European culture, including Proto-Indo-European mythology. The primordial being Ymir, attested solely in Old Norse sources, makes for a commonly cited example. In Old Norse texts, the death of this entity results in creation of the cosmos, a complex of motifs that finds strong correspondence elsewhere in the Indo-European sphere, notably in Vedic mythology.

Conversion to Christianity

Page from the Codex Argenteus containing the Gothic Bible translated by Wulfila

Germanic peoples began entering the Roman Empire in large numbers at the same time that Christianity was spreading there, and this connection was a major factor encouraging conversion. The East Germanic peoples, the Langobards, and the Suevi in Spain converted to Arian Christianity, a form of Christianity that believed that God the Father was superior to God the Son. The first Germanic people to convert to Arianism were the Visigoths, at the latest in 376 when they entered the Roman Empire. This followed a longer period of missionary work by both Orthodox Christians and Arians, such as the Arian Wulfila, who was made missionary bishop of the Goths in 341 and translated the Bible into Gothic. The Arian Germanic peoples all eventually converted to Nicene Christianity, which had become the dominant form of Christianity within the Roman Empire; the last to convert were the Visigoths in Spain under their king Reccared in 587.

The areas of the Roman Empire conquered by the Franks, Alemanni, and Baiuvarii were mostly Christian already, but it appears that Christianity declined there. In 496, the Frankish king Clovis I converted to Nicene Christianity. This began a period of missionizing within Frankish territory. The Anglo-Saxons gradually converted following a mission sent by Pope Gregory the Great in 595. In the 7th century, Frankish-supported missionary activity spread out of Gaul, led by figures of the Anglo-Saxon mission such as Saint Boniface. The Saxons initially rejected Christianization, but were eventually forcibly converted by Charlemagne as a result of their conquest in the Saxon Wars in 776/777.

While attempts to convert the Scandinavian peoples began in 831, they were mostly unsuccessful until the 10th and 11th centuries. The last Germanic people to convert were the Swedes, although the Geats had converted earlier. The pagan Temple at Uppsala seems to have continued to exist into the early 1100s.

Society and culture

Runic writing

The Vimose Comb, housed at the National Museum of Denmark and dating to around from c. 160 CE, bears the oldest generally accepted runic inscription.

Germanic speakers developed a native script, the runes (or the fuþark), and the earliest known form of which consists of 24 characters. The runes are generally held to have been used exclusively by Germanic-speaking populations. All known early runic inscriptions are found in Germanic contexts with the potential exception of one inscription, which may indicate cultural transfer between the Germanic speakers to Slavic speakers (and may potentially be the earliest known writing among Slavic speakers).

Like other indigenous scripts of Europe, the runes ultimately developed from the Phoenician alphabet, but unlike similar scripts, the runes were not replaced by the Latin alphabet by the first century BCE. Runes remained in use among the Germanic peoples throughout their history despite the significant influence of Rome.

The precise date that Germanic speakers developed the runic alphabet is unknown, with estimates varying from 100 BCE to 100 CE. Generally accepted inscriptions in the oldest attested form of the script, called the Elder Futhark, date from 200 to 700 CE. The word rune is widely attested among Germanic languages, where it developed from Proto-Germanic *rūna and held a primary meaning of 'secret', but also other meanings such as 'whisper', 'mystery', 'closed deliberation', and 'council'. In most cases, runes appear not to have been used for everyday communication and knowledge of them may have generally been limited to a small group, for whom the term erilaR is attested from the sixth century onward.

The letters of the Elder Futhark are arranged in an order called the futhark, so named after its first six characters. The alphabet is supposed to have been extremely phonetic, and each letter could also represent a word or concept, so that, for instance, the f-rune also stood for *fehu ('cattle, property'). Such examples are known as Begriffsrunen ('concept runes'). Runic inscriptions are found on organic materials such as wood, bone, horn, ivory, and animal hides, as well as on stone and metal. Inscriptions tend to be short, and are difficult to interpret as profane or magical. They include names, inscriptions by the maker of an object, memorials to the dead, as well as inscriptions that are religious or magical in nature.

Personal names

The Istaby Stone (DR359) is a runestone that features a Proto-Norse Elder Futhark inscription describing three generations of men. Their names share the common element of 'wolf' (wulfaz) and alliterate.

Germanic personal names are commonly dithematic, consisting of two components that may be combined freely (such as the Old Norse female personal name Sigríðr, consisting of sigr 'victory' + fríðr 'beloved'). As summarized by Per Vikstrand, "The old Germanic personal names are, from a social and ideological point of view, characterized by three main features: religion, heroism, and family bonds. The religious aspect [of Germanic names] seems to be an inherited, Indo-European trace, which the Germanic languages share with Greek and other Indo-European languages."

One point of debate surrounding Germanic name-giving practice is whether name elements were considered semantically meaningful when combined. Whatever the case, an element of a name could be inherited by a male or female's offspring, leading to an alliterative lineage (related, see alliterative verse). The runestone D359 in Istaby, Sweden provides one such example, where three generations of men are connected by way of the element *wulfaz, meaning 'wolf' (the alliterative Haþuwulfaz, *Heruwulfaz, and Hariwulfaz). Sacral components to Germanic personal names are also attested, including elements such as *hailaga- and *wīha- (both usually translated as 'holy, sacred', see for example ), and deity names (theonyms). Deity names as first components of personal names are attested primarily in Old Norse names, where they commonly reference in particular the god Thor (Old Norse Þórr).

Poetry and legend

The ancient Germanic-speaking peoples were a largely oral culture. Written literature in Germanic languages is not recorded until the 6th century (Gothic Bible) or the 8th century in modern England and Germany. The philologist Andreas Heusler proposed the existence of various genres of literature in the "Old Germanic" period, which were largely based on genres found in high medieval Old Norse poetry. These include ritual poetry, epigrammatic poetry (Spruchdichtung), memorial verses (Merkdichtung), lyric, narrative poetry, and praise poetry. Heinrich Beck suggests that, on the basis of Latin mentions in late antiquity and the early Middle Ages, the following genres can be adduced: origo gentis (the origin of a people or their rulers), the fall of heroes (casus heroici), praise poetry, and laments for the dead.

Some stylistic aspects of later Germanic poetry appear to have origins in the Indo-European period, as shown by comparison with ancient Greek and Sanskrit poetry. Originally, the Germanic-speaking peoples shared a metrical and poetic form, alliterative verse, which is attested in very similar forms in Old Saxon, Old High German and Old English, and in a modified form in Old Norse. Alliterative verse is not attested in the small extant Gothic corpus. The poetic forms diverge among the different languages from the 9th century onward.

Later Germanic peoples shared a common legendary tradition. These heroic legends mostly involve historical personages who lived during the migration period (4th–6th centuries AD), placing them in highly ahistorical and mythologized settings; they originate and develop as part of an oral tradition. Some early Gothic heroic legends are already found in Jordanes' Getica (c. 551). The close link between Germanic heroic legend and Germanic language and possibly poetic devices is shown by the fact that the Germanic speakers in Francia who adopted a Romance language, do not preserve Germanic legends but rather developed their own heroic folklore—excepting the figure of Walter of Aquitaine.

Germanic law

Germanic bracteate from Funen, Denmark

Until the middle of the 20th century, the majority of scholars assumed the existence of a distinct Germanic legal culture and law. Early ideas about Germanic law have come under intense scholarly scrutiny since the 1950s, and specific aspects of it such as the legal importance of Sippe, retinues, and loyalty, and the concept of outlawry can no longer be justified. Besides the assumption of a common Germanic legal tradition and the use of sources of different types from different places and time periods, there are no native sources for early Germanic law. The earliest written legal sources, the Leges Barbarorum, were all written under Roman and Christian influence and often with the help of Roman jurists, and contain large amounts of "Vulgar Latin Law", an unofficial legal system that functioned in the Roman provinces.

As of 2023, scholarly consensus is that Germanic law is best understood in contrast with Roman law, in that whereas Roman law was "learned" and the same across regions, Germanic law was not learned and incorporated regional peculiarities. Common elements include an emphasis on orality, gesture, formulaic language, legal symbolism, and ritual. Some items in the "Leges", such as the use of vernacular words, may reveal aspects of originally Germanic, or at least non-Roman, law. Legal historian Ruth Schmidt-Wiegand writes that this vernacular, often in the form of Latinized words, belongs to "the oldest layers of a Germanic legal language" and shows some similarities to Gothic.

Warfare

Image of Romans fighting the Marcomanni on the Column of Marcus Aurelius (193 CE)

Warfare seems to have been a constant in Germanic society, including conflicts among and within Germanic peoples. There is no common Germanic word for "war", and it was not necessarily differentiated from other forms of violence. Historical information on Germanic warfare almost entirely depends on Greco-Roman sources, however their accuracy has been questioned. The core of the army was formed by the comitatus (retinue), a group of warriors following a chief. As retinues grew larger, their names could become associated with entire peoples. Many retinues functioned as auxilia (mercenary units in the Roman army).

Roman sources stress, perhaps partially as a literary topos, that the Germanic peoples fought without discipline. Germanic warriors fought mostly on foot, in tight formations in close combat. Tacitus mentions a single formation as used by the Germani, the wedge (Latin: cuneus). Cavalry was rare: in the Roman period, it mostly consisted of chiefs and their immediate retinues, who may have dismounted to fight. However, East Germanic peoples such as the Goths developed cavalry forces armed with lances due to contact with various nomadic peoples. Archaeological finds, mostly in the form of grave goods, indicate that most warriors were armed with spear, shield, and often with swords. Higher status individuals were often buried with spurs for riding. The only archaeological evidence for helmets and chain mail shows them to be of Roman manufacture.

Economy and material culture

Agriculture and population density

Unlike agriculture in the Roman provinces, which was organized around the large farms known as villae rusticae, Germanic agriculture was organized around villages. When Germanic peoples expanded into northern Gaul in the 4th and 5th centuries CE, they brought this village-based agriculture with them, which increased the agricultural productivity of the land; Heiko Steuer suggests this means that Germania was more agriculturally productive than is generally assumed. Villages were not distant from each other but often within sight, revealing a fairly high population density, and contrary to the assertions of Roman sources, only about 30% of Germania was covered in forest, about the same percentage as today.

Based on pollen samples and the finds of seeds and plant remains, the chief grains cultivated in Germania were barley, oats, and wheat (both Einkorn and emmer), while the most common vegetables were beans and peas. Flax was also grown. Agriculture in Germania relied heavily on animal husbandry, primarily the raising of cattle, which were smaller than their Roman counterparts. Both cultivation and animal husbandry methods improved with time, with examples being the introduction of rye, which grew better in Germania, and the introduction of the three-field system.

Crafts

It is unclear if there was a special class of craftsmen in Germania, however archaeological finds of tools are frequent. Many everyday items such as dishes were made out of wood, and archaeology has found the remains of wooden well construction. The 4th-century CE Nydam and Illerup ships show highly developed knowledge of ship construction, while elite graves have revealed wooden furniture with complex joinery. Products made from ceramics included cooking, drinking, and storage, vessels, as well as lamps. While originally formed by hand, the period around 1 CE saw the introduction of the potter's wheel. Some of the ceramics produced on potter's wheels seem to have been done in direct imitation of Roman wares, and may have been produced by Romans in Germania or by Germani who had learned Roman techniques while serving in the Roman army. The shape and decoration of Germanic ceramics vary by region and archaeologists have traditionally used these variations to determine larger cultural areas. Many ceramics were probably produced locally in hearths, but large pottery kilns have also been discovered, and it seems clear that there were areas of specialized production.

Metalworking

A 5th-century CE gold collar from Ålleberg, Sweden. It displays Germanic filigree work.

Despite the claims of Roman writers such as Tacitus that the Germani had little iron and lacked expertise in working it, deposits of iron were commonly found in Germania and Germanic smiths were skillful metalworkers. Smithies are known from multiple settlements, and smiths were often buried with their tools. An iron mine discovered at Rudki, in the Łysogóry mountains of modern central Poland, operated from the 1st to the 4th centuries CE and included a substantial smelting workshop; similar facilities have been found in Bohemia. The remains of large smelting operations have been discovered by Ribe in Jutland (4th to 6th century CE), as well as at Glienick in northern Germany and at Heeten in the Netherlands (both 4th century CE). Germanic smelting furnaces may have produced metal that was as high-quality as that produced by the Romans. In addition to large-scale production, nearly every individual settlement seems to have produced some iron for local use. Iron was used for agricultural tools, tools for various crafts, and for weapons.

Lead was needed in order to make molds and for the production of jewelry, however it is unclear if the Germani were able to produce lead. While lead mining is known from within the Siegerland across the Rhine from the Roman Empire, it is sometimes theorized that this was the work of Roman miners. Another mine within Germania was near modern Soest, where again it is theorized that lead was exported to Rome. The neighboring Roman provinces of Germania superior and Germania inferior produced a great deal of lead, which has been found stamped as plumbum Germanicum ("Germanic lead") in Roman shipwrecks.

Deposits of gold are not found naturally within Germania and had to either be imported or could be found having naturally washed down rivers. The earliest known gold objects made by Germanic craftsmen are mostly small ornaments dating from the later 1st century CE. Silver working likewise dates from the first century CE, and silver often served as a decorative element with other metals. From the 2nd century onward, increasingly complex gold jewelry was made, often inlaid with precious stones and in a polychrome style. Inspired by Roman metalwork, Germanic craftsmen also began working with gold and silver-gilt foils on belt buckles, jewelry, and weapons. Pure gold objects produced in the late Roman period included torcs with snakeheads, often displaying filigree and cloisonné work, techniques that dominated throughout Germanic Europe.

Clothing and textiles

A pair of trousers with attached stockings found in the Thorsberg moor (3rd century CE)

Clothing does not generally preserve well archaeologically. Early Germanic clothing is shown on some Roman stone monuments such as Trajan's Column and the Column of Marcus Aurelius, and is occasionally discovered in finds from in moors, mostly from Scandinavia. Frequent finds include long trousers, sometimes including connected stockings, shirt-like gowns (Kittel) with long sleeves, large pieces of cloth, and capes with fur on the inside. All of these are thought to be male clothing, while finds of tubular garments are thought to be female clothing. These would have reached to the ankles and would likely have been held in place by brooches at the height of the shoulders, as shown on Roman monuments. On Roman depictions, the dress was gathered below the breast or at the waist, and there are frequently no sleeves. Sometimes a blouse or skirt is depicted below the dress, along with a neckerchief around the throat. By the middle of the 5th century CE, both men and women among the continental Germanic peoples came to wear a Roman-style tunic as their most important piece of clothing. This was secured at the waist and likely adopted due to intensive contact with the Roman world. The Romans typically depict Germanic men and women as bareheaded, although some head-coverings have been found. Although Tacitus mentions an undergarment made of linen, no examples of these have been found.

Surviving examples indicate that Germanic textiles were of high quality and mostly made of flax and wool. Roman depictions show the Germani wearing materials that were only lightly worked. Surviving examples indicate that a variety of weaving techniques were used. Leather was used for shoes, belts, and other gear. Spindles, sometimes made of glass or amber, and the weights from looms and distaffs are frequently found in Germanic settlements.

Trade

The Minerva Bowl, part of the Hildesheim Treasure, likely a Roman diplomatic gift. The treasure may date from the reign of Nero (37–68 CE) or the early Flavian dynasty (69–96 CE).

Archaeology shows that from at least the turn of the 3rd century CE larger regional settlements in Germania existed that were not exclusively involved in an agrarian economy, and that the main settlements were connected by paved roads. The entirety of Germania was within a system of long-distance trade. Migration-period seaborne trade is suggested by Gudme on the Danish island of Funen and other harbors on the Baltic.

Roman trade with Germania is poorly documented. Roman merchants crossing the Alps for Germania are recorded already by Caesar in the 1st century BCE. During the imperial period, most trade probably took place in trading posts in Germania or at major Roman bases. The most well-known Germanic export to the Roman Empire was amber, with a trade centered on the Baltic coast. Economically, however, amber is likely to have been fairly unimportant. The use of Germanic loanwords in surviving Latin texts suggests that besides amber (glaesum), the Romans also imported the feathers of Germanic geese (ganta) and hair dye (sapo). Germanic slaves were also a major commodity. Archaeological discoveries indicate that lead was exported from Germania as well, perhaps mined in Roman-Germanic "joint ventures".

Products imported from Rome are found archaeologically throughout the Germanic sphere and include vessels of bronze and silver, glassware, pottery, brooches; other products such as textiles and foodstuffs may have been just as important. Rather than mine and smelt non-ferrous metals themselves, Germanic smiths seem to have often preferred to melt down finished metal objects from Rome, which were imported in large numbers, including coins, metal vessels, and metal statues. Tacitus mentions in Germania chapter 23 that the Germani living along the Rhine bought wine, and Roman wine has been found in Denmark and northern Poland. Finds of Roman silver coinage and weapons might have been war booty or the result of trade, while high quality silver items may have been diplomatic gifts. Roman coinage may have acted as a form of currency as well.

Genetics

The use of genetic studies to investigate the Germanic past is controversial, with scholars such as Guy Halsall suggesting it could represent a hearkening back to 19th-century ideas of race. Sebastian Brather, Wilhelm Heizmann, and Steffen Patzold write that genetics studies are of great use for demographic history, but cannot give us any information about cultural history. In a 2013 book which reviewed studies made up until then, scholars noted that most Germanic speakers today have a Y-DNA that is a mixture including haplogroup I1, R1a1a, R1b-P312 and R1b-U106; however, the authors also note that these groups are older than Germanic languages and found among speakers of other languages.

Modern reception

The rediscovery of Tacitus's Germania in the 1450s was used by German humanists to claim a glorious classical past for their nation that could compete with that of Greece and Rome, and to equate the "Germanic" with the "German". While the humanists' notion of the "Germanic" was initially vague, later it was narrowed and used to support a notion of German(ic) superiority to other nations. Equally important was Jordanes's Getica, rediscovered by Aeneas Sylvius Piccolomini in the mid-15th century and first printed in 1515 by Konrad Peutinger, which depicted Scandinavia as the "womb of nations" (Latin: vagina nationum) from which all the historical northeastern European barbarians migrated in the distant past. While treated with suspicion by German scholars, who preferred the indigenous origin given by Tacitus, this motif became very popular in contemporary Swedish Gothicism, as it supported Sweden's imperial ambitions. Peutinger printed the Getica together with Paul the Deacon's History of the Lombards, so that the Germania, the Getica, and the History of the Lombards formed the basis for the study of the Germanic past. Scholars did not clearly differentiate between the Germanic peoples, Celtic peoples, and the "Scythian peoples" until the late 18th century with the discovery of Indo-European and the establishment of language as the primary criterion for nationality. Before that time, German scholars considered the Celtic peoples to be part of the Germanic group.

The beginning of Germanic philology proper starts around the turn of the 19th century, with Jacob and Wilhelm Grimm being the two most significant founding figures. Their oeuvre included various monumental works on linguistics, culture, and literature. Jacob Grimm offered many arguments identifying the Germans as the "most Germanic" of the Germanic-speaking peoples, many of which were taken up later by others who sought to equate "Germanicness" (German: Germanentum) with "Germanness" (German: Deutschtum). Grimm also argued that the Scandinavian sources were, while much later, more "pure" attestations of "Germanness" than those from the south, an opinion that remains common today. German nationalist thinkers of the völkisch movement placed a great emphasis on the connection of modern Germans to the Germania using Tacitus to prove the purity and virtue of the German people, which had allowed them to conquer the decadent Romans. German historians used the Germanic past to argue for a liberal, democratic form of government and a unified German state. Contemporary Romantic nationalism in Scandinavia placed more weight on the Viking Age, resulting in the movement known as Scandinavism.

In the late 19th century, Gustaf Kossinna developed several widely accepted theories tying archaeological finds of specific assemblages of objects. Kossina used his theories to extend Germanic identity back to the Neolithic period and to state with confidence when and where various Germanic and other peoples had migrated within Europe. In the 1930s and 40s, the Nazi Party made use of notions of Germanic "purity" reaching back into the earliest prehistoric times. Nazi ideologues also used the "Germanic" nature of peoples such as the Franks and Goths to justify territorial annexations in northern France, Ukraine, and the Crimea. Scholars reinterpreted Germanic culture to justify the Nazis' rule as anchored in the Germanic past, emphasizing noble leaders and warlike retinues who dominated surrounding peoples. After 1945, these associations led to a scholarly backlash and re-examining of Germanic origins. Many medieval specialists have even argued that scholars should avoid the term Germanic altogether since it is too emotionally charged, adding that it has been politically abused and creates more confusion than clarity.

Gestalt therapy

From Wikipedia, the free encyclopedia
https://en.wikipedia.org/wiki/Gestalt_therapy

Gestalt therapy is a form of psychotherapy that emphasizes personal responsibility and focuses on the individual's experience in the present moment, the therapist–client relationship, the environmental and social contexts of a person's life, and the self-regulating adjustments people make as a result of their overall situation. It was developed by Fritz Perls, Laura Perls and Paul Goodman in the 1940s and 1950s, and was first described in the 1951 book Gestalt Therapy.

Overview

Edwin Nevis, co-founder of the Gestalt Institute of Cleveland, founder of the Gestalt International Study Center, and faculty member at the MIT Sloan School of Management, described Gestalt therapy as "a conceptual and methodological base from which helping professionals can craft their practice". In the same volume, Joel Latner stated that Gestalt therapy is built upon two central ideas:

  1. that the most helpful focus of psychotherapy is the experiential present moment, and that everyone is caught in webs of relationships;
  2. thus, it is only possible to know ourselves against the background of our relationships to others.

The historical development of Gestalt therapy (described below) discloses the influences that generated these two ideas. Expanded, they support the four chief theoretical constructs (explained in the theory and practice section) that comprise Gestalt theory, and that guide the practice and application of Gestalt therapy.

Gestalt therapy was forged from various influences upon the lives of its founders during the times in which they lived, including the new physics, Eastern religion, existential phenomenology, Gestalt psychology, psychoanalysis, experimental theatre, systems theory, and field theory. Gestalt therapy rose from its beginnings in the middle of the 20th century to rapid and widespread popularity during the decade of the 1960s and early 1970s. During the 1970s and 80s Gestalt therapy training centers spread globally; but they were, for the most part, not aligned with formal academic settings. As the cognitive revolution eclipsed Gestalt theory in psychology, many came to believe Gestalt was an anachronism. Because Gestalt therapists disdained the positivism underlying what they perceived to be the concern of research, they largely ignored the need to use research to further develop Gestalt theory and Gestalt therapy practice (with a few exceptions like Les Greenberg; see the interview "Validating Gestalt"). However, the new century has seen a sea change in attitudes toward research and Gestalt practice. In March 2020, Vikram Kolmannskog became the world's first Professor of Gestalt Therapy at the Norwegian Gestalt Institute, where he has been teaching and researching since 2015.

Gestalt therapy is not identical to Gestalt psychology, but Gestalt psychology influenced the development of Gestalt therapy to a large extent.

Gestalt therapy focuses on process (what is actually happening) over content (what is being talked about). The emphasis is on what is being done, thought, and felt at the present moment (the phenomenality of both client and therapist), rather than on what was, might be, could be, or should have been. Gestalt therapy is a method of awareness practice (also called "mindfulness" in other clinical domains), by which perceiving, feeling, and acting are understood to be conducive to interpreting, explaining, and conceptualizing (the hermeneutics of experience). This distinction between direct experience versus indirect or secondary interpretation is developed in the process of therapy. The client learns to become aware of what they are doing and that triggers the ability to risk a shift or change.

The objective of Gestalt therapy is to enable the client to become more fully and creatively alive and to become free from the blocks and unfinished business that may diminish satisfaction, fulfillment, and growth, and to experiment with new ways of being. For this reason Gestalt therapy falls within the category of humanistic psychotherapies. As Gestalt therapy includes perception and the meaning-making processes by which experience forms, it can also be considered a cognitive approach. Also, because Gestalt therapy relies on the contact between therapist and client, and because a relationship can be considered to be contact over time, Gestalt therapy can be considered a relational or interpersonal approach. As it appreciates the larger picture which is the complex situation involving multiple influences in a complex situation, it can also be considered a multi-systemic approach. In addition, the processes of Gestalt therapy are experimental, involving action, Gestalt therapy can be considered both a paradoxical and an experiential/experimental approach.

When Gestalt therapy is compared to other clinical domains, a person can find many matches, or points of similarity. "Probably the clearest case of consilience is between gestalt therapy's field perspective and the various organismic and field theories that proliferated in neuroscience, medicine, and physics in the early and mid-20th century. Within social science there is a consilience between gestalt field theory and systems or ecological psychotherapy; between the concept of dialogical relationship and object relations, attachment theory, client-centered therapy and the transference-oriented approaches; between the existential, phenomenological, and hermeneutical aspects of gestalt therapy and the constructivist aspects of cognitive therapy; and between gestalt therapy's commitment to awareness and the natural processes of healing and mindfulness, acceptance and Buddhist techniques adopted by cognitive behavioral therapy."

Contemporary theory and practice

The theoretical foundations of Gestalt therapy essentially rests atop four "load-bearing walls": phenomenological method, dialogical relationship, field-theoretical strategies, and experimental freedom. Although all these tenets were present in the early formulation and practice of Gestalt therapy, as described in Ego, Hunger and Aggression (Perls, 1947) and in Gestalt Therapy, Excitement and Growth in the Human Personality (Perls, Hefferline, & Goodman, 1951), the early development of Gestalt therapy theory emphasized personal experience and the experiential episodes understood as "safe emergencies" or experiments. Indeed, half of the Perls, Hefferline, and Goodman book consists of such experiments. Later, through the influence of such people as Erving and Miriam Polster, a second theoretical emphasis emerged: namely, contact between self and other, and ultimately the dialogical relationship between therapist and client. Later still, field theory emerged as an emphasis. At various times over the decades, since Gestalt therapy first emerged, one or more of these tenets and the associated constructs that go with them have captured the imagination of those who have continued developing the contemporary theory of Gestalt therapy. Since 1990 the literature focused upon Gestalt therapy has flourished, including the development of several professional Gestalt journals. Along the way, Gestalt therapy theory has also been applied in Organizational Development and coaching work. And, more recently, Gestalt methods have been combined with meditation practices into a unified program of human development called Gestalt Practice, which is used by some practitioners.

Richard G. Erskine, the originator of Integrative Psychotherapy (Developmentally Based, Relationally Focused), has written about the treatment of shame and self-righteousness in "A Gestalt therapy approach to shame and self-righteousness: theory and methods“ from his book Relational Patterns, Therapeutic Presence: Concepts and Practice of Integrative Psychotherapy (2015).

Phenomenological method

The goal of a phenomenological exploration is awareness. This exploration works systematically to reduce the effects of bias through repeated observations and inquiry.

The phenomenological method comprises three steps:

  1. Applying the rule of epoché - one sets aside one's initial biases and prejudices in order to suspend expectations and assumptions.
  2. Applying the rule of description - one occupies oneself with describing instead of explaining.
  3. Applying the rule of horizontalization - one treats each item of description as having equal value or significance.

The rule of epoché sets aside any initial theories with regard to what is presented in the meeting between therapist and client. The rule of description implies immediate and specific observations, abstaining from interpretations or explanations, especially those formed from the application of a clinical theory superimposed over the circumstances of experience. The rule of horizontalization avoids any hierarchical assignment of importance such that the data of experience become prioritized and categorized as they are received. A Gestalt therapist using the phenomenological method might say something like, "I notice a slight tension at the corners of your mouth when I say that, and I see you shifting on the couch and folding your arms across your chest ... and now I see you rolling your eyes back". Of course, the therapist may make a clinically relevant evaluation, but when applying the phenomenological method, temporarily suspends the need to express it.

Dialogical relationship

To create the conditions under which a dialogic moment might occur, the therapist attends to their own presence, creates the space for the client to enter in and become present as well (called inclusion), and commits themself to the dialogic process, surrendering to what takes place, as opposed to attempting to control it. With presence, the therapist judiciously "shows up" as a whole and authentic person, instead of assuming a role, false self or persona. To be judicious, the therapist takes into account the specific strengths, weaknesses and values of the client. The only good client is a live client, so driving a client away by injudicious exposure of intolerable [to this client] experience of the therapist is obviously counter-productive. For example, for an atheistic therapist to tell a devout client that religion is myth would not be useful, especially in the early stages of the relationship. To practice inclusion is to accept however the client chooses to be present, whether in a defensive and obnoxious stance or a superficially cooperative one. To practice inclusion is to support the presence of the client, including their resistance, not as a gimmick but in full realization that this is how the client is actually present and is the best this client can do at this time. Finally, the Gestalt therapist is committed to the process, trusts in that process, and does not attempt to save themself from it.

Field-theoretical strategies

Field theory is a concept borrowed from physics in which people and events are no longer considered discrete units but as parts of something larger, which are influenced by everything including the past, and observation itself. "The field" can be considered in two ways. There are ontological dimensions and there are phenomenological dimensions to one's field. The ontological dimensions are all those physical and environmental contexts in which we live and move. They might be the office in which one works, the house in which one lives, the city and country of which one is a citizen, and so forth. The ontological field is the objective reality that supports our physical existence. The phenomenological dimensions are all mental and physical dynamics that contribute to a person's sense of self, one's subjective experience—not merely elements of the environmental context. These might be the memory of an uncle's inappropriate affection, one's color blindness, one's sense of the social matrix in operation at the office in which one works, and so forth. The way that Gestalt therapists choose to work with field dynamics makes what they do strategic. Gestalt therapy focuses upon character structure; according to Gestalt theory, the character structure is dynamic rather than fixed in nature. To become aware of one's character structure, the focus is upon the phenomenological dimensions in the context of the ontological dimensions.

Experimental freedom

Gestalt therapy is distinct because it moves toward action, away from mere talk therapy, and for this reason is considered an experiential approach. Through experiments, the therapist supports the client's direct experience of something new, instead of merely talking about the possibility of something new. Indeed, the entire therapeutic relationship may be considered experimental, because at one level it is a corrective, relational experience for many clients, and it is a "safe emergency" that is free to turn out however it will. An experiment can also be conceived as a teaching method that creates an experience in which a client might learn something as part of their growth. Examples might include:

  • Rather than talking about the client's critical parent, a Gestalt therapist might ask the client to imagine the parent is present, or that the therapist is the parent, and talk to that parent directly
  • If a client is struggling with how to be assertive, a Gestalt therapist could either:
    • have the client say some assertive things to the therapist or members of a therapy group
    • give a talk about how one should never be assertive
  • A Gestalt therapist might notice something about the non-verbal behavior or tone of voice of the client; then the therapist might have the client exaggerate the non-verbal behavior and pay attention to that experience
  • A Gestalt therapist might work with the breathing or posture of the client, and direct awareness to changes that might happen when the client talks about different content.

With all these experiments the Gestalt therapist is working with process rather than content, the how rather than the what.

Noteworthy issues

Self

In field theory, self is a phenomenological concept, existing in comparison with other. Without the other there is no self, and how one experiences the other is inseparable from how one experiences oneself. The continuity of selfhood (functioning personality) is something that is achieved in relationship, rather than something inherently "inside" the person. This can have its advantages and disadvantages. At one end of the spectrum, someone may not have enough self-continuity to be able to make meaningful relationships, or to have a workable sense of who they are. In the middle, their personality is a loose set of ways of being that work for them, including commitments to relationships, work, culture and outlook, always open to change where they need to adapt to new circumstances or just want to try something new. At the other end, their personality is a rigid defensive denial of the new and spontaneous. They act in stereotyped ways, and either induce other people to act in particular and fixed ways towards them, or they redefine their actions to fit with fixed stereotypes.

In Gestalt therapy, the process is not about the self of the client being helped or healed by the fixed self of the therapist; rather it is an exploration of the co-creation of self and other in the here-and-now of the therapy. There is no assumption that the client will act in all other circumstances as they do in the therapy situation. However, the areas that cause problems will be either the lack of self-definition leading to chaotic or psychotic behaviour, or the rigid self-definition in some area of functioning that denies spontaneity and makes dealing with particular situations impossible. Both of these conditions show up very clearly in the therapy, and can be worked with in the relationship with the therapist.

The experience of the therapist is also very much part of the therapy. Since we co-create our self-other experiences, the way a therapist experiences being with a client is significant information about how the client experiences themselves. The proviso here is that a therapist is not operating from their own fixed responses. This is why Gestalt therapists are required to undertake significant therapy of their own during training.

From the perspective of this theory of self, neurosis can be seen as fixed predictability—a fixed Gestalt—and the process of therapy can be seen as facilitating the client to become unpredictable: more responsive to what is in the client's present environment, rather than responding in a stuck way to past introjects or other learning. If the therapist has expectations of how the client should end up, this defeats the aim of therapy.

Change

In what has now become a classic of Gestalt therapy literature, Arnold R. Beisser described Gestalt's paradoxical theory of change. The paradox is that the more one attempts to be who one is not, the more one remains the same. Conversely, when people identify with their current experience, the conditions of wholeness and growth support change. Put another way, change comes about as a result of "full acceptance of what is, rather than a striving to be different."

The empty chair technique

Empty chair technique or chairwork is typically used in Gestalt therapy when a patient might have deep-rooted emotional problems from someone or something in their life, such as relationships with themselves, with aspects of their personality, their concepts, ideas, feelings, etc., or other people in their lives. The purpose of this technique is to get the patient to think about their emotions and attitudes. Common things the patient addresses in the empty chair are another person, aspects of their own personality, a certain feeling, etc., as if that thing were in that chair. They may also move between chairs and act out two or more sides of a discussion, typically involving the patient and persons significant to them. It uses a passive approach to opening up the patient's emotions and pent-up feelings so they can let go of what they have been holding back. A form of role-playing, the technique focuses on exploration of self and is used by therapists to help patients self-adjust. Gestalt techniques were originally a form of psychotherapy, but are now often used in counseling, for instance, by encouraging clients to act out their feelings helping them prepare for a new job. The purpose of the technique is so the patient will become more in touch with their feelings and have an emotional conversation that clears up any long-held feelings or reaction to the person or object in the chair.

Historical development

Fritz Perls was a German-Jewish psychoanalyst who fled Europe with his wife Laura Perls to South Africa in order to escape Nazi oppression in 1933. After World War II, the couple emigrated to New York City, which had become a center of intellectual, artistic and political experimentation by the late 1940s and early 1950s.

Early influences

Perls grew up on the bohemian scene in Berlin, participated in Expressionism and Dadaism, and experienced the turning of the artistic avant-garde toward the revolutionary left. Deployment to the front line, the trauma of war, anti-Semitism, intimidation, escape, and the Holocaust are further key sources of biographical influence.

Perls served in the German Army during World War I, and was wounded in the conflict. After the war he was educated as a medical doctor. He became an assistant to Kurt Goldstein, who worked with brain-injured soldiers. Perls went through a psychoanalysis with Wilhelm Reich and became a psychiatrist. Perls assisted Goldstein at Frankfurt University where he met his wife Lore (Laura) Posner, who had earned a doctorate in Gestalt psychology. They fled Nazi Germany in 1933 and settled in South Africa. Perls established a psychoanalytic training institute and joined the South African armed forces, serving as a military psychiatrist. During these years in South Africa, Perls was influenced by Jan Smuts and his ideas about "holism".

In 1936 Fritz Perls attended a psychoanalysts' conference in Marienbad, Czechoslovakia, where he presented a paper on oral resistances, mainly based on Laura Perls's notes on breastfeeding their children. Perls's paper was turned down. Perls did present his paper in 1936, but according to him, it met with "deep disapproval." Perls wrote his first book, Ego, Hunger and Aggression (1942, 1947), in South Africa, based in part on the rejected paper. It was later re-published in the United States. Laura Perls wrote two chapters of this book, but she was not given adequate recognition for her work.

The seminal book

Perls's seminal work was Gestalt Therapy: Excitement and Growth in the Human Personality, published in 1951, co-authored by Fritz Perls, Paul Goodman, and Ralph Hefferline (a university psychology professor and sometimes-patient of Fritz Perls). Most of Part II of the book was written by Paul Goodman from Perls's notes, and it contains the core of Gestalt theory. This part was supposed to appear first, but the publishers decided that Part I, written by Hefferline, fit into the nascent self-help ethos of the day, and they made it an introduction to the theory. Isadore From, a leading early theorist of Gestalt therapy, taught Goodman's Part II for an entire year to his students, going through it phrase by phrase.

First instances of Gestalt therapy

Fritz and Laura founded the first Gestalt Institute in 1952, running it out of their Manhattan apartment. Isadore From became a patient, first of Fritz, and then of Laura. Fritz soon made From a trainer, and also gave him some patients. From lived in New York until his death, at age seventy-five, in 1993. He was known worldwide for his philosophical and intellectually rigorous take on Gestalt therapy. Acknowledged as a supremely gifted clinician, he was indisposed to writing, so what remains of his work is merely transcripts of interviews.

Of great importance to understanding the development of Gestalt therapy is the early training which took place in experiential groups in the Perls's apartment, led by both Fritz and Laura before Fritz left for the West Coast, and after by Laura alone. These "trainings" were unstructured, with little didactic input from the leaders, although many of the principles were discussed in the monthly meetings of the institute, as well as at local bars after the sessions. Many notable Gestalt therapists emerged from these crucibles in addition to Isadore From, e.g., Richard Kitzler, Dan Bloom, Bud Feder, Carl Hodges, and Ruth Ronall. In these sessions, both Fritz and Laura used some variation of the "hot seat" method, in which the leader essentially works with one individual in front of an audience with little or no attention to group dynamics. In reaction to this omission emerged a more interactive approach in which Gestalt-therapy principles were blended with group dynamics; in 1980, the book Beyond the Hot Seat, edited by Feder and Ronall, was published, with contributions from members of both the New York and Cleveland Institutes, as well as others.

Fritz left Laura and New York in 1960, briefly lived in Miami, and ended up in California. Jim Simkin was a psychotherapist who became a client of Perls in New York and then a co-therapist with Perls in Los Angeles. Simkin was responsible for Perls's going to California, where Perls began a psychotherapy practice. Ultimately, the life of a peripatetic trainer and workshop leader was better suited to Fritz's personality—starting in 1963, Simkin and Perls co-led some of the early Gestalt workshops and training groups at Esalen Institute in Big Sur, California, where Perls eventually settled and built a home. Jim Simkin then purchased property next to Esalen and started his own training center, which he ran until his death in 1984. Simkin refined his precise version of Gestalt therapy, training psychologists, psychiatrists, counselors and social workers within a very rigorous, residential training model.

The schism

In the 1960s, Perls became infamous among the professional elite for his public workshops at Esalen Institute. Isadore From referred to some of Fritz's brief workshops as "hit-and-run" therapy, because of Perls's alleged emphasis on showmanship with little or no follow-through—but Perls never considered these workshops to be complete therapy; rather, he felt he was giving demonstrations of key points for a largely professional audience. Unfortunately, some films and tapes of his work were all that most graduate students were exposed to, along with the misperception that these represented the entirety of Perls's work.

When Fritz Perls left New York for California, there began to be a split with those who saw Gestalt therapy as a therapeutic approach similar to psychoanalysis. This view was represented by Isadore From, who practiced and taught mainly in New York, as well as by the members of the Cleveland Institute, which was co-founded by From. An entirely different approach was taken, primarily in California, by those who saw Gestalt therapy not just as a therapeutic modality, but as a way of life. The East Coast, New York–Cleveland axis was often appalled by the notion of Gestalt therapy leaving the consulting room and becoming a way of life on the West Coast in the 1960s (see the "Gestalt prayer").

An alternative view of this split saw Perls in his last years continuing to develop his a-theoretical and phenomenological methodology, while others, inspired by From, were inclined to theoretical rigor which verged on replacing experience with ideas.

The split continues between what has been called "East Coast Gestalt" and "West Coast Gestalt," at least from an Amerocentric point of view. While the communitarian form of Gestalt continues to flourish, Gestalt therapy was largely replaced in the United States by Cognitive Behavioral Therapy, and many Gestalt therapists in the U.S. drifted toward organizational management and coaching. At the same time, contemporary Gestalt Practice (to a large extent based upon Gestalt therapy theory and practice) was developed by Dick Price, the co-founder of Esalen Institute. Price was one of Perls's students at Esalen.

Post-Perls

In 1969, Fritz Perls left the United States to start a Gestalt community at Lake Cowichan on Vancouver Island, Canada. He died almost one year later, on 14 March 1970, in Chicago. One member of the Gestalt community was Barry Stevens. Her book about that phase of her life, Don't Push the River, became very popular. She developed her own form of Gestalt therapy body work, which is essentially a concentration on the awareness of body processes.

The Polsters

Erving and Miriam Polster started a training center in La Jolla, California, and published a book, Gestalt Therapy Integrated, in the 1970s.

They were influential in advancing the idea of contact boundary phenomena, which is a key part of Gestalt theory. The standard contact boundary resistances were confluence, introjection, projection, and retroflection, but the Polsters added "deflection" as a way of avoiding contact. Boundary phenomena can have good or bad effects, depending on the situation. For example, it's normal for a baby and mother to merge, but not for a therapist and client. If the therapist and client become too merged, then there can be no progress because there is no boundary for them to connect with. The client will not be able to learn anything new because the therapist will just become a part of them. 

Influences upon Gestalt therapy

Some examples

There were a variety of psychological and philosophical influences upon the development of Gestalt therapy, not the least of which were the social forces at the time and place of its inception. Gestalt therapy is an approach that is holistic (including mind, body, and culture). It is present-centered and related to existential therapy in its emphasis on personal responsibility for action, and on the value of "I–thou" relationship in therapy. In fact, Perls considered calling Gestalt therapy existential-phenomenological therapy. "The I and thou in the Here and Now" was a semi-humorous shorthand mantra for Gestalt therapy, referring to the substantial influence of the work of Martin Buber—in particular his notion of the I–Thou relationship—on Perls and Gestalt. Buber's work emphasized immediacy, and required that any method or theory answer to the therapeutic situation, seen as a meeting between two people. Any process or method that turns the patient into an object (the I–It) must be strictly secondary to the intimate, and spontaneous, I–Thou relation. This concept became important in much of Gestalt theory and practice.

Both Fritz and Laura Perls were students and admirers of the neuropsychiatrist Kurt Goldstein. Gestalt therapy was based in part on Goldstein's concept called Organismic theory. Goldstein viewed a person in terms of a holistic and unified experience; he encouraged a "big picture" perspective, taking into account the whole context of a person's experience. The word Gestalt means whole, or configuration. Laura Perls, in an interview, denotes the Organismic theory as the base of Gestalt therapy.

There were additional influences on Gestalt therapy from existentialism, particularly the emphasis upon personal choice and responsibility.

The late 1950s–1960s movement toward personal growth and the human potential movement in California fed into, and was itself influenced by, Gestalt therapy. In this process Gestalt therapy somehow became a coherent Gestalt, which is the Gestalt psychology term for a perceptual unit that holds together and forms a unified whole.

Psychoanalysis

Fritz Perls trained as a neurologist at major medical institutions and as a Freudian psychoanalyst in Berlin and Vienna, the most important international centers of the discipline in his day. He worked as a training analyst for several years with the official recognition of the International Psychoanalytic Association (IPA), and must be considered an experienced clinician. Gestalt therapy was influenced by psychoanalysis: it was part of a continuum moving from the early work of Freud, to the later Freudian ego analysis, to Wilhelm Reich and his character analysis and notion of character armor, with attention to nonverbal behavior; this was consonant with Laura Perls's background in dance and movement therapy. To this was added the insights of academic Gestalt psychology, including perception, Gestalt formation, and the tendency of organisms to complete an incomplete Gestalt and to form "wholes" in experience.

Central to Fritz and Laura Perls's modifications of psychoanalysis was the concept of dental or oral aggression. In Ego, Hunger and Aggression (1947), Fritz Perls's first book, to which Laura Perls contributed (ultimately without recognition), Perls suggested that when the infant develops teeth, he or she has the capacity to chew, to break food apart, and, by analogy, to experience, taste, accept, reject, or assimilate. This was opposed to Freud's notion that only introjection takes place in early experience. Thus Perls made assimilation, as opposed to introjection, a focal theme in his work, and the prime means by which growth occurs in therapy.

In contrast to the psychoanalytic stance, in which the "patient" introjects the (presumably more healthy) interpretations of the analyst, in Gestalt therapy the client must "taste" his or her own experience and either accept or reject it—but not introject or "swallow whole." Hence, the emphasis is on avoiding interpretation, and instead encouraging discovery. This is the key point in the divergence of Gestalt therapy from traditional psychoanalysis: growth occurs through gradual assimilation of experience in a natural way, rather than by accepting the interpretations of the analyst; thus, the therapist should not interpret, but lead the client to discover for him- or herself.

The Gestalt therapist contrives experiments that lead the client to greater awareness and fuller experience of his or her possibilities. Experiments can be focused on undoing projections or retroflections. The therapist can work to help the client with closure of unfinished Gestalts ("unfinished business" such as unexpressed emotions towards somebody in the client's life). There are many kinds of experiments that might be therapeutic, but the essence of the work is that it is experiential rather than interpretive, and in this way, Gestalt therapy distinguishes itself from psychoanalysis.

Principal influences: a summary list

Therapies influenced by Gestalt therapy

Psychotherapies influenced by Gestalt therapy include:

Current status

Gestalt therapy reached a zenith in the United States in the late 1970s and early 1980s. Since then, it has influenced other fields like organizational development, coaching, and teaching. Many of its contributions have become assimilated into other schools of therapy. In recent years, it has seen a resurgence in popularity as an active, psychodynamic form of therapy which has also incorporated some elements of recent developments in attachment theory. There are, for example, four Gestalt training institutes in the New York City metropolitan area alone, in addition to dozens of others worldwide.

Gestalt therapy continues to thrive as a widespread form of psychotherapy, especially throughout Europe, where there are many practitioners and training institutions. Dan Rosenblatt led Gestalt therapy training groups and public workshops at the Tokyo Psychotherapy Academy for seven years. Stewart Kiritz continued in this role from 1997 to 2006.

Training of Gestalt therapists

Pedagogical approach

Many Gestalt therapy training organizations exist worldwide. Ansel Woldt asserted that Gestalt teaching and training are built upon the belief that people are, by nature, health-seeking. Thus, such commitments as authenticity, optimism, holism, health, and trust become important principles to consider when engaged in the activity of teaching and learning—especially Gestalt therapy theory and practice.

Associations

The Association for the Advancement of Gestalt Therapy holds a biennial international conference in various locations—the first was in New Orleans, in 1995. Subsequent conferences have been held in San Francisco, Cleveland, New York, Dallas, St. Pete's Beach, Vancouver (British Columbia), Manchester (England), and Philadelphia. In addition, the it holds regional conferences, and its regional network has spawned regional conferences in Amsterdam, the Southwest and the Southeast of the United States, England, and Australia. Its Research Task Force generates and nurtures active research projects and an international conference on research.

The European Association for Gestalt Therapy, founded in 1985 to gather European individual Gestalt therapists, training institutes, and national associations from more than twenty European nations.

Gestalt Australia and New Zealand was formally established at the first Gestalt Therapy Conference held in Perth in September 1998.

Limitations

it has been shown that Gestalt Therapy is neither designed nor intended for treatment of young adolescents, especially those who manifest severe psychiatric or behavioral disorders.

Social semiotics

From Wikipedia, the free encyclopedia

Social semiotics (also social semantics) is a branch of the field of semiotics which investigates human signifying practices in specific social and cultural circumstances, and which tries to explain meaning-making as a social practice. Semiotics, as originally defined by Ferdinand de Saussure, is "the science of the life of signs in society". Social semiotics expands on Saussure's founding insights by exploring the implications of the fact that the "codes" of language and communication are formed by social processes. The crucial implication here is that meanings and semiotic systems are shaped by relations of power, and that as power shifts in society, our languages and other systems of socially accepted meanings can and do change.

Overview

Social semiotics is the study of the social dimensions of meaning, and of the power of human processes of signification and interpretation (known as semiosis) in shaping individuals and societies. Social semiotics focuses on social meaning-making practices of all types, whether visual, verbal or aural in nature. These different systems for meaning-making, or possible "channels" (e.g. speech, writing, images) are known as semiotic modes (or semiotic registers). Semiotic modes can include visual, verbal, written, gestural and musical resources for communication. They also include various "multimodal" ensembles of any of these modes 

Social semiotics can include the study of how people design and interpret meanings, the study of texts, and the study of how semiotic systems are shaped by social interests and ideologies, and how they are adapted as society changes (Hodge and Kress, 1988). Structuralist semiotics in the tradition of Ferdinand de Saussure focused primarily on theorising semiotic systems or structures (termed langue by de Saussure, which change diachronically, i.e. over longer periods of time). In contrast, social semiotics tries to account for the variability of semiotic practices termed parole by Saussure. This altered focus shows how individual creativity, changing historical circumstances, and new social identities and projects can all change patterns of usage and design (Hodge and Kress, 1988). From a social semiotic perspective, rather than being fixed into unchanging "codes", signs are considered to be resources which people use and adapt (or "design") to make meaning. In these respects, social semiotics was influenced by, and shares many of the preoccupations of pragmatics (Charles W. Morris) and sociolinguistics and has much in common with cultural studies and critical discourse analysis.

The main task of social semiotics is to develop analytical and theoretical frameworks which can explain meaning-making in a social context.

Halliday and the social semiotic in language

Linguistic theorist, Michael Halliday, introduced the term ‘social semiotics’ into linguistics, when he used the phrase in the title of his book, Language as Social Semiotic. This work argues against the traditional separation between language and society, and exemplifies the start of a 'semiotic' approach, which broadens the narrow focus on written language in linguistics (1978). For Halliday, languages evolve as systems of "meaning potential" (Halliday, 1978:39) or as sets of resources which influence what the speaker can do with language, in a particular social context. For example, for Halliday, the grammar of the English language is a system organised for the following three purposes (areas or "metafunctions"):

  • Facilitating certain kinds of social and interpersonal interactions (interpersonal),
  • Representing ideas about the world (ideational), and
  • Connecting these ideas and interactions into meaningful texts and making them relevant to their context (textual) (1978:112).

Any sentence in English is composed like a musical composition, with one strand of its meaning coming from each of the three semiotic areas or metafunctions. Bob Hodge generalises Halliday’s essays on social semiotics into five premises:

  1. ‘Language is a social fact’ (1978:1)
  2. ‘We shall not come to understand the nature of language if we pursue only the kinds of question about language that are formulated by linguists’ (1978:3)
  3. ‘Language is as it is because of the functions it has evolved to serve in people’s lives’ (1978:4).
  4. Language has ‘metafunctions’, which in English are: ideational (‘about something’), interpersonal (’doing something’) and textual (‘the speaker’s text-forming potential’) (1978:112).
  5. Language is constituted as ‘a discrete network of options’ (1978:113)

Social semiotics and critical linguistics

Robert Hodge and Gunther Kress's Social Semiotics (1988) focused on the uses of semiotic systems in social practice. They explain that the social power of texts in society depends on interpretation: "Each producer of a message relies on its recipients for it to function as intended." (1988:4) This process of interpretation (semiosis) situates individual texts within discourses, the exchanges of interpretative communities. The work of interpretation can contest the power of hegemonic discourses. Hodge and Kress give the example of feminist activists defacing a sexist advertising billboard, and spray-painting it with a new, feminist message.

"Text is only a trace of discourses, frozen and preserved, more or less reliable or misleading. Yet discourse disappears too rapidly, surrounding a flow of texts." (1988:8)

Hodge and Kress built on a range of traditions from linguistics (including Noam Chomsky, Michael Halliday, Benjamin Lee Whorf and sociolinguistics), but the major impetus for their work is the critical perspective on ideology and society that originates with Marx.

Hodge and Kress build a notion of semiosis as a dynamic process, where meaning is not determined by rigid structures, or predefined cultural codes. They argue that Ferdinand de Saussure's structuralist semiotics avoided addressing questions about creativity, movement, and change in language, possibly in reaction to the diachronic linguistic traditions of his time (the focus on the historical development from Indo-European). This created a "problematic" legacy, with linguistic change relegated to the "contents of Saussure’s rubbish bin" (1988:16-17).

Instead, Hodge and Kress propose to account for change in semiosis through the work of Charles Sanders Peirce. Meaning is a process, in their interpretation of Peirce. They refer to Peirce's triadic model of semiosis, which depicts the "action" of a sign as a limitless process of infinite semiosis, where one "interpretant" (or idea linked to a sign) generates another. The flow of these infinite processes of interpretation are constrained in Peirce's model, they claim, by the material world (the "object"), and cultural rules of thought, or "habit". (1988:20)

Social semiotics revisits De Saussure's doctrine of the "arbitrariness of the linguistic sign". This notion rests on the argument that the signifier only has an arbitrary relationship to the signified) — in other words, that there is nothing about the sound or appearance of (verbal) signifiers (as, for example, the words "dog" or "chien") — to suggest what they signify. Hodge and Kress point out that questions of the referent become more complicated when semiotics moves beyond verbal language. On the one hand, there is the need to account for the continuum of relationships between the referent and the representation. Here, they draw on Pierce's differentiation between iconic signification (e.g. a colour photograph of smoke, where the signifier recreates the perceptual experience of the signified), indexical signification (e.g. a column of smoke, where there is a causal relationship between the physical signifier and the fire it might signify), and symbolic signification (e.g. the word "smoke", where the arbitrary link between signifier and signified is maintained by social convention).

Social semiotics also addresses the question of how societies and cultures maintain or shift these conventional bonds between signifier and signified. De Saussure was unwilling to answer this question, Hodge and Kress claim. This leaves the socially determinist implication that meanings and interpretations are dictated from above, by "the whims of an inscrutably powerful collective being, Society." For Hodge and Kress, social semiotics must respond to the question and explain how the social shaping of meanings works in practice (1988:22).

Social semiotics and multimodality

Social semiotics is currently extending this general framework beyond its linguistic origins to account for the growing importance of sound and visual images, and how modes of communication are combined in both traditional and digital media (semiotics of social networking) (see, for example, Kress and van Leeuwen, 1996), thus approaching semiotics of culture (Randviir 2004). Theorists such as Gunther Kress and Theo van Leeuwen have built on Halliday's framework by providing new "grammars" for other semiotic modes. Like language, these grammars are seen as socially formed and changeable sets of available "resources" for making meaning, which are also shaped by the semiotic metafunctions originally identified by Halliday. The visual and aural modes have received particular attention. Accounting for multimodality (communication in and across a range of semiotic modes - verbal, visual, and aural) is considered a particularly important ongoing project, given the importance of the visual mode in contemporary communication.

In the field of graphic design, the multimodal and social semiotic viewpoint can be perceived as an illustration that connects our sensory abilities together opening up new opportunities for deeper visual interaction. Utilizing this design process, the graphic designers create content which helps improvise the act of meaningful visual communication between the content creators and their audiences.

Viktor Frankl

From Wikipedia, the free encyclopedia
 
Viktor Frankl
Frankl in 1965
Born
Viktor Emil Frankl

26 March 1905
Died2 September 1997 (aged 92)
Vienna, Austria
Resting placeVienna Central Cemetery
Alma materUniversity of Vienna (MD, 1930; PhD, 1948)
Occupation(s)neurologist, psychologist, philosopher, and author
Known forLogotherapy
Existential analysis
Spouse(s)Tilly Grosser, m. 1941 – c. 1944–1945 (her death)
Eleonore Katharina Schwindt, m. 1947
Children1 daughter

Viktor Emil Frankl (26 March 1905 – 2 September 1997) was an Austrian neurologist, psychologist, philosopher, and Holocaust survivor, who founded logotherapy, a school of psychotherapy that describes a search for a life's meaning as the central human motivational force. Logotherapy is part of existential and humanistic psychology theories.

Logotherapy was promoted as the third school of Viennese Psychotherapy, after those established by Sigmund Freud, and Alfred Adler.

Frankl published 39 books. The autobiographical Man's Search for Meaning, a best-selling book, is based on his experiences in various Nazi concentration camps.

Early life

Frankl was born the middle of three children to Gabriel Frankl, a civil servant in the Ministry of Social Service, and Elsa (née Lion), a Jewish family, in Vienna, in what was then the Austro-Hungarian Empire. His interest in psychology and the role of meaning developed when he began taking night classes on applied psychology while in junior high school. As a teenager, he began a correspondence with Sigmund Freud upon asking for permission to publish one of his papers. After graduation from high school in 1923, he studied medicine at the University of Vienna.

In 1924, Frankl's first scientific paper was published in the Internationale Zeitschrift für Psychoanalyse. In the same year, he was president of the Sozialistische Mittelschüler Österreich, the Social Democratic Party of Austria's youth movement for high school students. Frankl's father was a socialist who named him after Viktor Adler, the founder of the party. During this time, Frankl began questioning the Freudian approach to psychoanalysis. He joined Alfred Adler's circle of students and published his second academic paper, "Psychotherapy and Worldview" ("Psychotherapie und Weltanschauung"), in Adler's International Journal of Individual Psychology in 1925. Frankl was expelled from Adler's circle when he insisted that meaning was the central motivational force in human beings. From 1926, he began refining his theory, which he termed logotherapy.

Career

Psychiatry

Between 1928 and 1930, while still a medical student, he organized youth counselling centers to address the high number of teen suicides occurring around the time of end-of-the-year report cards. The program was sponsored by the city of Vienna and free of charge to the students. Frankl recruited other psychologists for the center, including Charlotte Bühler, Erwin Wexberg, and Rudolf Dreikurs. In 1931, not a single Viennese student died by suicide.

After earning his M.D. in 1930, Frankl gained extensive experience at Steinhof Psychiatric Hospital, where he was responsible for the treatment of suicidal women. In 1937, he began a private practice, but the Nazi annexation of Austria in 1938 limited his opportunity to treat patients. In 1940, he joined Rothschild Hospital, the only hospital in Vienna still admitting Jews, as head of the neurology department. Prior to his deportation to the concentration camps, he helped numerous patients avoid the Nazi euthanasia program that targeted the mentally disabled.

In 1942, just nine months after his marriage, Frankl and his family were sent to the Theresienstadt concentration camp. His father died there of starvation and pneumonia. In 1944, Frankl and his surviving relatives were transported to Auschwitz, where his mother and brother were murdered in the gas chambers. His wife Tilly died later of typhus in Bergen-Belsen. Frankl spent three years in four concentration camps.

Following the war, he became head of the neurology department of the General Polyclinic Vienna hospital, and established a private practice in his home. He worked with patients until his retirement in 1970.

In 1948, Frankl earned a PhD in philosophy from the University of Vienna. His dissertation, The Unconscious God, examines the relationship between psychology and religion, and advocates for the use of the Socratic dialogue (self-discovery discourse) for clients to get in touch with their spiritual unconscious.

Grave of Viktor Frankl in Vienna

In 1955, Frankl was awarded a professorship of neurology and psychiatry at the University of Vienna, and, as visiting professor, lectured at Harvard University (1961), Southern Methodist University, Dallas (1966), and Duquesne University, Pittsburgh (1972).

Throughout his career, Frankl argued that the reductionist tendencies of early psychotherapeutic approaches dehumanised the patient, and advocated for a rehumanisation of psychotherapy.

The American Psychiatric Association awarded Frankl the 1985 Oskar Pfister Award for his contributions to religion and psychiatry.

Man's Search for Meaning

While head of the Neurological Department at the general Polyclinic Hospital, Frankl wrote Man's Search for Meaning over a nine-day period. The book, originally titled A Psychologist Experiences the Concentration Camp, was released in German in 1946. The English translation of Man's Search for Meaning was published in 1959, and became an international bestseller. Frankl saw this success as a symptom of the "mass neurosis of modern times," since the title promised to deal with the question of life's meaningfulness. Millions of copies were sold in dozens of languages. In a 1991 survey conducted for the Library of Congress and the Book of the Month Club, Man's Search for Meaning was named one of the ten most influential books in the US.

Logotherapy and existential analysis

Frankl developed logotherapy and existential analysis, which are based on philosophical and psychological concepts, particularly the desire to find a meaning in life and free will. Frankl identified three main ways of realizing meaning in life: by making a difference in the world, by having particular experiences, or by adopting particular attitudes.

The primary techniques offered by logotherapy and existential analysis are:

  • Paradoxical intention: clients learn to overcome obsessions or anxieties by self-distancing and humorous exaggeration.
  • Dereflection: drawing the client's attention away from their symptoms, as hyper-reflection can lead to inaction.
  • Socratic dialogue and attitude modification: asking questions designed to help a client find and pursue self-defined meaning in life.

His acknowledgement of meaning as a central motivational force and factor in mental health is his lasting contribution to the field of psychology. It provided the foundational principles for the emerging field of positive psychology. Frankl's work has also been endorsed in the Chabad philosophy of Hasidic Judaism.

Statue of Responsibility

In Man's Search for Meaning, Frankl states:

Freedom, however, is not the last word. Freedom is only part of the story and half of the truth. Freedom is but the negative aspect of the whole phenomenon whose positive aspect is responsibleness. In fact, freedom is in danger of degenerating into mere arbitrariness unless it is lived in terms of responsibleness. That is why I recommend that the Statue of Liberty on the East Coast be supplemented by a Statue of Responsibility on the West Coast.

Frankl's concept for the statue grew in popularity, and drew the affection of Stephen Covey, author of The 7 Habits of Highly Effective People. Covey teamed up with Kevin Hall to push the idea of the statue forward in the 1990s, and eventually commissioned the sculptor Gary Lee Price who came up with the concept of two hands clasped together. The design was approved by Frankl's widow, and they began looking for a location to construct it. Their first choice was California, to have it in a Pacific Ocean harbour to complement the Statue of Liberty's position in the Atlantic harbour of New York. However, the state regulations proved difficult to navigate, and the governor of Utah, Spencer Cox, suggested a location in his state for the project, which was approved in 2023. Construction has not yet started.

Controversy

"Auschwitz survivor" testimony

In The Missing Pieces of the Puzzle: A Reflection on the Odd Career of Viktor Frankl, Professor of history Timothy Pytell of California State University, San Bernardino, conveys the numerous discrepancies and omissions in Frankl's "Auschwitz survivor" account and later autobiography, which many of his contemporaries, such as Thomas Szasz, similarly have raised. In Frankl's Man's Search for Meaning, the book devotes approximately half of its contents to describing Auschwitz and the psychology of its prisoners, suggesting a long stay at the death camp. However his wording is contradictory and, according to Pytell, "profoundly deceptive", as contrary to the impression Frankl gives of staying at Auschwitz for months, he was held close to the train, in the "depot prisoner" area of Auschwitz, and for no more than a few days. Frankl was neither registered at Auschwitz nor assigned a number there before being sent on to a subsidiary work camp of Dachau, known as Kaufering III, that (together with Terezín) is the true setting of much of what is described in his book.

Origins and implications of logotherapy

Frankl's doctrine was that one must instill meaning in the events in one's life, and that work and suffering can lead to finding meaning, with this ultimately what would lead to fulfillment and happiness. In 1982 the scholar and Holocaust analyst Lawrence L. Langer, critical of what he called Frankl's distortions of the true experience of those at Auschwitz, and of Frankl's amoral focus on "meaning", that in Langer's assessment could just as equally be applied to Nazis "finding meaning in making the world free from Jews", went on to write that "if this [logotherapy] doctrine had been more succinctly worded, the Nazis might have substituted it for the cruel mockery of Arbeit Macht Frei" ["work sets free", read by those entering Auschwitz]. In Pytell's view, Langer also penetrated through Frankl's disturbing subtext that Holocaust "survival [was] a matter of mental health." Langer criticized Frankl's tone as self-congratulatory and promotional throughout, so that "it comes as no surprise to the reader, as he closes the volume, that the real hero of Man's Search for Meaning is not man, but Viktor Frankl" by the continuation of the same fantasy of world-view meaning-making, which is precisely what had perturbed civilization into the holocaust-genocide of this era and others.

Pytell later would remark on the particularly sharp insight of Langer's reading of Frankl's Holocaust testimony, stating that with Langer's criticism published in 1982 before Pytell's biography, the former had thus drawn the controversial parallels, or accommodations in ideology without the knowledge that Victor Frankl was an advocate/"embraced" the key ideas of the Nazi psychotherapy movement ("will and responsibility") as a form of therapy in the late 1930s. When at that time Frankl would submit a paper and contributed to the Göring institute in Vienna 1937 and again in early 1938 connecting the logotherapy focus on "world-view" to the "work of some of the leading Nazi psychotherapists", both at a time before Austria was annexed by Nazi Germany in 1938. Frankl's founding logotherapy paper, was submitted to and published in the Zentrallblatt fuer Psychotherapie [sic] the journal of the Goering Institute, a psychotherapy movement, with the "proclaimed agenda of building psychotherapy that affirmed a Nazi-oriented worldview".

The origins of logotherapy, as described by Frankl, were therefore a major issue of continuity that Pytell argues were potentially problematic for Frankl because he had laid out the main elements of logotherapy while working for/contributing to the Nazi-affiliated Göring Institute. Principally Frankl's 1937 paper, that was published by the institute. This association, as a source of controversy, that logotherapy was palatable to Nazism is the reason Pytell suggests, Frankl took two different stances on how the concentration-camp experience affected the course of his psychotherapy theory. Namely, that within the original English edition of Frankl's most well known book, Man's Search for Meaning, the suggestion is made and still largely held that logotherapy was itself derived from his camp experience, with the claim as it appears in the original edition, that this form of psychotherapy was "not concocted in the philosopher's armchair nor at the analyst's couch; it took shape in the hard school of air-raid shelters and bomb craters; in concentration camps and prisoner of war camps." Frankl's statements however to this effect would be deleted from later editions, though in the 1963 edition, a similar statement again appeared on the back of the book jacket of Man's Search for Meaning.

Frankl over the years would with these widely read statements and others, switch between the idea that logotherapy took shape in the camps to the claim that the camps merely were a testing ground of his already preconceived theories. An uncovering of the matter would occur in 1977 with Frankl revealing on this controversy, though compounding another, stating "People think I came out of Auschwitz with a brand-new psychotherapy. This is not the case."

Jewish relations and experiments on the resistance

In the post war years, Frankl's attitude towards not pursuing justice nor assigning collective guilt to the Austrian people for collaborating with or acquiescing in the face of Nazism, led to "frayed" relationships between Frankl, many Viennese and the larger American Jewish community, such that in 1978 when attempting to give a lecture at the institute of Adult Jewish Studies in New York, Frankl was confronted with an outburst of boos from the audience and was called a "nazi pig". Frankl supported forgiveness and held that many in Germany and Austria were powerless to do anything about the atrocities which occurred and could not be collectively blamed.

In 1988 Frankl would further "stir up sentiment against him" by being photographed next to and in accepting the Great Silver Medal with Star for Services to the Republic of Austria as a Holocaust survivor, from President Waldheim, a controversial president of Austria who concurrent with the medal ceremony, was gripped by revelations that he had lied about his WWII military record and was under investigation for complicity in Nazi War crimes. It was later concluded that he was not involved in war crimes but had knowledge of them. Frankl's acceptance of the medal was viewed by many in the international Jewish community as a betrayal.

In his "Gutachten" Gestapo profile, Frankl is described as "politically perfect" by the Nazi secret police, with Frankl's membership in the Austro-fascist "Fatherland Front" in 1934, similarly stated in isolation. It has been suggested that as a state employee in a hospital he was likely automatically signed up to the party regardless of whether he wanted to or not. Frankl was interviewed twice by the secret police during the war, yet nothing of the expected contents, the subject of discussion or any further information on these interviews, is contained in Frankl's file, suggesting to biographers that Frankl's file was "cleansed" sometime after the war.

None of Frankl's obituaries mention the unqualified and unskilled brain lobotomy and trepanation medical experiments approved by the Nazis that Frankl performed on Jews who had committed suicide with an overdose of sedatives, in resistance to their impending arrest, imprisonment and enforced labour in the concentration camp system. The goal of these experiments were to try and revive those who had killed themselves, Frankl justified this by saying that he was trying to find ways to save the lives of Jews. Operating without any training as a surgeon, Frankl would voluntarily request of the Nazis to perform the experiments on those who had killed themselves, and once approved – published some of the details on his experiments, the methods of insertion of his chosen amphetamine drugs into the brains of these individuals, resulting in, at times, an alleged partial resuscitation, mainly in 1942 (prior to his own internment at Theresienstadt ghetto in September, later in that year). Historian Günter Bischof of Harvard University, suggests Frankl's approaching and requesting to perform lobotomy experiments could be seen as a way to "ingratiate" himself amongst the Nazis, as the latter were not, at that time, appreciative of the international scrutiny that these suicides were beginning to create, nor "suicide" being listed on arrest records.

Response to Timothy Pytell

Timothy Pytell's critique towards Viktor Frankl was used by Holocaust denier Theodore O'Keefe, according to Alexander Batthyány. Batthyány was a researcher and member of staff of the Viktor Frankl Archive in Vienna. Throughout the first chapter of his book Viktor Frankl and the Shoah, he reflects on Pytell's work about Frankl, and the flaws in it. Batthyány points out that Pytell never visited the archive to consult primary sources from the person about whom he was writing. Batthyány also critiques Pytell for not interviewing Viktor Frankl while Frankl was still alive. Pytell wrote in his book on Frankl that he had the opportunity to meet him – as a friend offered it – yet he decided that he could not meet Frankl.

Decorations and awards

Personal life

In 1941, Frankl married Tilly Grosser, who was a station nurse at Rothschild Hospital. Soon after they were married she became pregnant, but they were forced to abort the child. Tilly died in the Bergen Belsen concentration camp.

Frankl's father, Gabriel, originally from Pohořelice, Moravia, died in the Theresienstadt Ghetto concentration camp on 13 February 1943, aged 81, from starvation and pneumonia. His mother and brother, Walter, were both killed in Auschwitz. His sister, Stella, escaped to Australia.

In 1947, Frankl married Eleonore "Elly" Katharina Schwindt. She was a practicing Catholic. The couple respected each other's religious backgrounds, both attending church and synagogue, and celebrating Christmas and Hanukkah. They had one daughter, Gabriele, who went on to become a child psychologist. Although it was not known for 50 years, his wife and son-in-law reported after his death that he prayed every day and had memorized the words of daily Jewish prayers and psalms.

Frankl died of heart failure in Vienna on 2 September 1997. He is buried in the Jewish section of the Vienna Central Cemetery.

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