The Concept of Ethnicity in Early Antiquity by Nathanael Shelley

299 Pages·2016·2.43 MB·English

The Concept of Ethnicity in Early Antiquity:
Ethno-symbolic Identities in Ancient Greek, Biblical Hebrew, and
Middle Babylonian Texts
Nathanael Paul Shelley
Submitted in partial fulfillment of the
requirements for the degree of
Doctor of Philosophy
in the Graduate School of Arts and Sciences
COLUMBIA UNIVERSITY
2016
© 2016
Nathanael Shelley
All rights reserved
Abstract
The Concept of Ethnicity in Early Antiquity: Ethno-symbolic Identities in Ancient
Greek, Biblical Hebrew, and Middle Babylonian Texts
Nathanael Paul Shelley
The dissertation investigates the concept of ethnicity and race in three related cultures from
the ancient Eastern Mediterranean by analyzing key ethnological terms, in their original
languages and contexts, in order to determine their similarity to and difference from a modern
anthropological definition of ethnicity. It employs an ethno-symbolic approach to social
identity in order to evaluate the similarity and difference of terms for so-called "ethnic groups"
in Ancient Greek, Biblical Hebrew, and Middle Babylonian. The evaluation is carried out using
a historical comparative approach, first in three individual case studies and then synthetically.
The study attempts to provide a documentary foundation for the critical, theoretical use of
ancient documents in social and identity research, and the results suggest that a named
collective of people from the first millennium BCE or later could be an ethnic group in the
modern sense of the term (an ethnie), but that such terminology is generally imprecise before
1000 BCE.
Table of Contents
List of Tables.......................................................................................................................................................iv
List of Maps..........................................................................................................................................................v
Acknowledgments...........................................................................................................................................vi
Prefatory Notes
Bibliographic Abbreviations: Primary Sources and Reference Works...................................ix
Bible Abbreviations, Verses, and Chapters...................................................................................xi
Standard Abbreviations......................................................................................................................xi
Note on spelling and transliteration..............................................................................................xii
Chapter One: Ethnicity
Introduction..........................................................................................................................................................1
Ethnicity................................................................................................................................................................5
Ethnie: The concept of ethnicity.....................................................................................................................9
Ethnicity and Race..............................................................................................................................10
Ethnicity and Alterity........................................................................................................................14
Ethnicity and “Ethnicity”..................................................................................................................16
Studies of Ethnicity..........................................................................................................................................17
The Ethno-symbolic Approach........................................................................................................23
Ethnicity in the present study.......................................................................................................................28
Ethnonyms............................................................................................................................................29
Ancestor myths...................................................................................................................................30
Ethnic histories....................................................................................................................................31
Cultural elements................................................................................................................................32
Homeland..............................................................................................................................................32
Solidarity...............................................................................................................................................33
Chapter Two: The Concept of Ethnicity in Ancient Greek Texts
Introduction........................................................................................................................................................36
From Ethnos to Ethnic......................................................................................................................................37
Historical Sketch...............................................................................................................................................40
Mycenaean Greece (c. 1600–1100 BCE).........................................................................................41
The Trojan War (??)............................................................................................................................43
The Dark Age (c. 1200–800 BCE)....................................................................................................44
The Dorian “Invasion” (c. 1000?– 900 BCE)..................................................................................44
The Archaic Period (c. 900–480 BCE).............................................................................................46
The Classical Period (c. 480 BCE–323 BCE).................................................................................47
Afterward: The Hellenistic Period and Beyond (c. 323–30+ BCE)..........................................49
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Prevalent Identities...........................................................................................................................................49
Kinship identities................................................................................................................................50
Place identities.....................................................................................................................................52
Introduction to the Sources............................................................................................................................54
Sources I: Ethnonyms......................................................................................................................................56
Sources II: Ethnic ancestor myths................................................................................................................65
Sources III: Ethnic histories...........................................................................................................................68
Sources IV: Ethnic cultural elements...........................................................................................................71
Sources V: Ethnic homelands........................................................................................................................76
Sources VI: Ethnic solidarities.......................................................................................................................78
Discussion...........................................................................................................................................................83
Conclusion..........................................................................................................................................................85
Note on Greek “Race”........................................................................................................................86
Chapter Three: The Concept of Ethnicity in Biblical Hebrew Texts
Introduction........................................................................................................................................................87
The Hebrew Bible and Identity......................................................................................................................88
Non-ethnic categorical identities..................................................................................................................92
Ethno-national.....................................................................................................................................92
Ethno-religious....................................................................................................................................96
Historical Sketch...............................................................................................................................................98
Pre-state Tribal Period (c. 1250–1000 BCE)................................................................................100
United Monarchy (c. 1000–930 BCE)...........................................................................................102
Divided Monarchy (c. 930–722 BCE)...........................................................................................104
Judah Alone (c. 722–586 BCE).......................................................................................................105
Babylonian Exile (586–538 BCE)...................................................................................................106
Post-Exilic Persian Period (538–332 BCE)..................................................................................106
Hellenistic Period and beyond (332–167 BCE+)........................................................................107
Prevalent Identities.........................................................................................................................................108
Kinship identities..............................................................................................................................109
Place identities...................................................................................................................................112
Introduction to the Sources..........................................................................................................................114
Sources I: Ethnonyms....................................................................................................................................118
Sources II: Ethnic ancestor myths..............................................................................................................130
Sources III: Ethnic histories.........................................................................................................................132
Sources IV: Ethnic cultural elements.........................................................................................................136
Sources V: Ethnic homelands......................................................................................................................141
Source VI: Ethnic solidarities.......................................................................................................................142
Discussion.........................................................................................................................................................146
Conclusion........................................................................................................................................................150
Chapter Four: The Concept of Ethnicity in Middle Babylonian Texts
Introduction.....................................................................................................................................................151
Prior Research..................................................................................................................................................154
Historical Sketch.............................................................................................................................................160
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The Kassite Dynasty of Babylon (c. 1475–1150 BCE)..............................................................161
The Second Isin Dynasty of Babylon (c. 1155–1026 BCE)......................................................166
The End of an Era and the Dark Age...........................................................................................167
Prevalent Identities.........................................................................................................................................169
Kinship identities..............................................................................................................................171
Place identities...................................................................................................................................175
Introduction to the Sources..........................................................................................................................178
Sources I: Ethnonyms....................................................................................................................................183
Sources II: Ethnic ancestor myths..............................................................................................................195
Sources III: Ethnic histories.........................................................................................................................198
Sources IV: Ethnic cultural elements.........................................................................................................199
Sources V: Ethnic homelands......................................................................................................................203
Sources VI: Ethnic solidarities.....................................................................................................................205
Discussion.........................................................................................................................................................209
Conclusion........................................................................................................................................................212
Chapter Five: Conclusion
Introduction.....................................................................................................................................................214
Synthesis...........................................................................................................................................................219
Marker Type I: Ethnonyms............................................................................................................221
Marker Type II: Ancestor Myths..................................................................................................226
Marker Type III: Collective (ethnic) histories...........................................................................228
Marker Type IV: Collective cultural elements..........................................................................230
Marker Type V: Homelands...........................................................................................................231
Marker Type VI: Solidarity.............................................................................................................233
Conclusions and Clarifications...................................................................................................................236
Observations......................................................................................................................................236
Conclusion..........................................................................................................................................242
Clarification........................................................................................................................................246
Future Prospects..............................................................................................................................................248
The Invention of Ethnicity?............................................................................................................250
Glossary of Theoretical Keywords........................................................................................................252
Index of Primary Sources.........................................................................................................................257
Ancient Greek Documents.............................................................................................................257
Biblical Hebrew Documents...........................................................................................................258
Middle Babylonian Documents.....................................................................................................259
Selected Bibliography................................................................................................................................261
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List of Tables
Tables
Table 1: Typology of ethnonyms by association....................................................................................225
Table 2: Typology of ancestor myths........................................................................................................227
Table 3: Typology of collective (ethnic) histories...................................................................................229
Table 4: Typology of collective (ethnic) cultural element types.........................................................230
Table 5: Typology of collective solidarity bases.....................................................................................235
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List of Maps
Maps
Map 1: The worldview in Ancient Greek texts..........................................................................................55
Map 2: The worldview in Biblical Hebrew texts.....................................................................................116
Map 3: The Ancient Near East c. 1350 BCE..............................................................................................180
Map 4: The Ancient Near East c. 1250 BCE..............................................................................................181
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Acknowledgments
The following dissertation is actually my second attempt to complete a project
concerning ancient terms for cultural difference. The previous attempt was interrupted by a
fire in my apartment building that destroyed my personal library, notes, and research materials
along with most of my personal possessions. The event caused many personal and
administrative difficulties, but rebuilding the project under the resulting conditions gave me
the courage to broaden the scope of the project beyond its original focus on Middle Babylonian
texts.
I am indebted to a great many people whose assistance, both large and small, combined
to make it possible for me to complete a rather unorthodox course in Ancient Near Eastern
Studies. It would become another volume were I to recount everyone here so to all those whose
friendship, support, or kindness helped carry me to the end: please accept my inadequate but
sincere thanks.
I would like to thank especially a number of individuals who championed my cause over
the years. From Buffalo, I thank Professor Sam Paley for being my mentor and friend. From
Yale, I would like to thank: Sue Crockford-Peters for her support, guidance, and confidence in
me; Ulla Kasten, for her patience and assistance with a neophyte like me; and Professor Eckart
Frahm for providing my first experience of the richness of Babylonian literature. From Oxford,
I wish to thank: Doctor Stephanie Dalley, whose work is a continual inspiration and whose
professional advice has proven invaluable; and Faimon Roberts, whose friendship made
England familiar and whose assistance made Sumerian comprehensible. From Columbia, I
would like to thank: Professor Zainab Bahrani, for helping me start at CU and for writing the
inspiration for the project; Professor Marc Van De Mieroop for being my teacher for many
years; Lee Ullmann for being my ANE brother and leading the way; and Ellen Belcher for your
support and experience. To all of these people, I express my gratitude.
I also appreciate the practical assistance that made the project possible. In particular, I
would like to thank: Professor Steven Tinney for permission to study the Middle Babylonian
tablets in the Babylonian Section of the Penn Museum; Professor Robert Englund for
employment in the Cuneiform Digital Library Initiative. Professor Allison Busch was the
director of graduate studies in MESAAS during this project and a guardian angel who helped
me restart a seemingly impossible project. Special thanks also to Jessica Rechtschaffer, who
provided endless support and assistance over the years and in this project in particular.
The members of my defense committee deserve special appreciation. Professor David
Carr agreed to participate under difficult time constraints yet still provided helpful feedback.
Professor Gonzalo Rubio's advice continues to challenge and enlighten me and his support has
been invaluable. Professor Frances Pritchett was the sharpest editor a student could want and
her faith in me was inexhaustible and is most appreciated. Professor Karen Barkey's
friendship, advice and assistance, both intellectual and professional, was essential to making
this project possible. My supervisor, Professor Gil Anidjar, provided essential wisdom and
crucial guidance that helped see the project completed.
Several friends and colleagues provided innumerable forms of assistance. I would like to
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express particular thanks to those who helped me recover from the fire: Sarah Sachs, Bert
Krassin, Nora Staal, Michael Nosek, Alain Mentha, the Escobar family, and Luke Mroz. I would
also like to express special thanks to those who read drafts, sometimes multiple, and
contributed feedback: Owen Cornwall for conversations that taught me the importance of plain
speech; Heidi Dodgen Fessler for her narrative sensibilities and endless optimism; Eduardo
Escobar for his specialist's eye and philological wit; and Reed Goodman for his Classical skills
and interdisciplinary expertise. I am in all of their debt.
I owe a very special thanks to Barbara Paley, whose advice, support, and love sustained
me and made the project possible.
Most of all I would like to thank: Sharon Golan, whose patience, strength, and affection
are limitless and make me feel capable of anything; and my mother, Terry Shelley-Krassin, who
made everything possible.
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