Ethnogenesis in the Early Middle Ages I: Definition and Necessity

This rather esoteric term is often confounding for lay audiences. What is ethnogenesis? Ethnogenesis is a method of analysis for the study of barbarian[1] peoplesin the period before barbarians groups entered the Roman Empire.

When you read the eighth century Historia Francorum of Fredegar, you find that Merovech, the alleged founder of the Merovingian dynasty, was conceived when king Pharamond's wife encountered a Sea-Monster. As far as we know, there are no sea monsters dwelling in the channel, however, this legend shows a connection between the Salian Franks (of which Merovech belongs) and the sea. This connection between Franks and the sea is corroborated in various histories, where Franks are described as raiding pirates. The study of identity through text is called ethnogenesis.

Why do we need a specific method to study the barbarian groups? Barbarian societies did not leave us any text that we are able to work with. The various Origo Gentis (Origins of a People) were written long after the barbarians entered the Roman Empire. The Getica (Origins of the Goths) of Jordanes was written in the second half of the sixth century A.D., at the court of the Byzantine Emperor Justinian I (r. 527-565). In the Getica, Jordanes relates events that took place almost 500 years earlier. Furthermore, as Professor Peter Heather has shown,[2] there is evidence that Jordanes borrowed elements of the histories of fourth-century Roman historian Ammianus. Consequently, the texts that deal with barbarian histories lack a certain level of authenticity.

Furthermore, the histories focus almost exclusively with events that took place close to the time of the author. The History of the Franks of Gregory of Tours devotes only one chapter out of ten to the early history of the Franks. This history calls for a Panonian (Panonia is a Roman province, that is now in the South of modern-day Hungary) origins of the Franks, which Professors Wood and Geary have identified as being an attempt by Gregory of Tours to link the Franks with his illustrious predecessor in Tours, St Martin, a saint from Panonia. Thus, it is difficult to find solid facts in the histories of Gregory of Tours.

So what does ethnogenesis consist of? Ethnogenesis is a method that is based on a theory that was proposed by Wenskus is his work Stammesbildung und Verfassung (1962- this text was not translated from the German). For Wenskus, ethnic identity is purely cultural. This makes sense, as anthropologist have discounted any biological component to identity;[3] that means that physiological traits (skull size or shape, hair or eye color, etc…) are not requirements for any appurtenance to an ethnic group; therefore, ethnic identity is based on cultural characteristics. Luckily we can see cultural traits in either texts or material data (coins, swords, grave goods, brooches…). Ethnogenesis, as conceived by Wenskus stipulates that, groups form around families who can prove their descent from the gods, through various achievements. These achievements form a ‘nuclei of traditions,’ which one would have to adhere to in order to belong to a group. Thus, in order to belong to the Ostrogoths, one would have to recognize the supremacy of the Amal family (that is, Theodoric’s family) and its traditions.

Ethogenesis has come to mean different things to different people, as Professor Wood pointed out. However, there is one constant: the studies of ethnogenesis are the studies of how stories of origins are developed.

Thanks to Franks Cotham for the first illustration, and most importantly, to the incomparable talent of Gosciny and Uderzo for the second drawing, taken from Asterix and the Goths.

For Further Reading:

I think the following is a fairly good introductory read:

Wolfram, Herwig. The Roman Empire and its Germanic Peoples.

For slightly more difficult, yet fascinating, reads, the following are good:

Geary, Patrick. Before France and Germany.

Kulikowski, Michael. Rome’s Gothic Wars.

Wood, Ian. The Merovingian Kingdoms.

For more detailed readings, please contact me and I will gladly email you my bibliographies.

---

[1] Let’s be clear: barbarian is a general term that I will use to describe all groups that entered the Roman Empire, namely, Goths, Franks, Alamanni, Burgundians, Vandals etc… .

[2] Peter Heather, Cassiodorus and the Rise of the Amals: Genealogy and the Goths under Hun Domination’, Journal of Roman Studies 79 (1989), pp. 103-128.

[3] Michael Kulikowski gives an interesting synopsis of the theories. See Michael Kulikowski, ‘Nation versus Army: A Necessary Contrast?’, in On Barbarian Identity, ed. by Andrew Gillett (Turnhout, Brepols, 2002), p.69-85.