The Catalan Nation and Identity Throughout History (Identities / Identités / Identidades) 9783034338110, 9783034339049, 9783034339063, 9783034339056, 3034338112

Table of contents :
Cover
Copyright
Table of contents
Foreword
Catalonia: Identity, Representativity, Territorialisation
Poetry and Identity
Catalonia’s Influence in the World of the Late Middle Ages: The Role of the Overseas Consulates
Institutions and the Catalan Ruling Classes: The Long March to Culmination in the Early 18th Century
Identities, Solidarities and Disagreements: Catalonia and the Crown of Aragon up to the Catalan Revolt of 1640
Catalonia in the Process of the Construction of the Modern Spanish State. A Deterministic Interpretation and Critique of Spanish National Historiography
The Writing of History and of Catalan Identity: From Jeroni Pujades (1568-1635) to Antoni de Capmany (1742-1813)
The Cultural “Renaissances” as a Moment in European History (1820-1870)
The Role of the Working-class in the Construction of Catalan Identity
Catalan Intellectuals and the Inter-war Debate on Democracy in Europe
The Shaping of Catalan Identity in the Contemporary World
The Regional Rhetoric of the Catalan Francoists
A Shattered Mirror? The Ethics of Remembering Catalan Culture in Exile
Catalonia, Culture and Mass Media

Citation preview

Regarding modern centuries, the authors do not ignore the importance of socioeconomic dimensions in a very complex diversity which flows both in the intellectual and political world and in the dissemination of identity through the mass media in an international level as well.

Àngel Casals is a tenure-track lecturer in Modern History at the University of Barcelona. A specialist in the History of Monarchy and Social Conflict, he’s the author of several publications regarding the history of Catalonia during the Modern age. Giovanni C. Cattini is a tenure-track lecturer Serra Húnter in Contemporary History at the University of Barcelona. His field of study is the nationalist movement between the Nineteenth and Twentieth centuries, however he specializes in contemporary Catalan Nationalism and intellectual movements of this time.

VOL

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PETER LANG

CASALS & CATTINI (eds.) THE CATALAN NATION AND IDENTITY

The present book is a complex approach to the elements that built the Catalan national identity, which can only be analyzed through its complexity and long duration historical times. Regarding medieval and early modern centuries, the territorial construction, law and state, are presented, along with the complexity added by the appearance of composite monarchies in the 16th century, and taking into account the significance of constructing a literary and historiographic tradition to define national character.

ÀNGEL CASALS & GIOVANNI C. CATTINI (eds.)

THE CATALAN NATION AND IDENTITY THROUGHOUT HISTORY

Identities. An interdisciplinary approach to the roots of the present Identités. Une approche interdisciplinaire aux racines du présent Identidades. Una aproximación interdisciplinar a las raíces del presente

05/11/19 12:42 PM

Regarding modern centuries, the authors do not ignore the importance of socioeconomic dimensions in a very complex diversity which flows both in the intellectual and political world and in the dissemination of identity through the mass media in an international level as well.

Àngel Casals is a tenure-track lecturer in Modern History at the University of Barcelona. A specialist in the History of Monarchy and Social Conflict, he’s the author of several publications regarding the history of Catalonia during the Modern age. Giovanni C. Cattini is a tenure-track lecturer Serra Húnter in Contemporary History at the University of Barcelona. His field of study is the nationalist movement between the Nineteenth and Twentieth centuries, however he specializes in contemporary Catalan Nationalism and intellectual movements of this time.

VOL

www.peterlang.com

9783034338110_cvr_eu.indd All Pages

10

PETER LANG

CASALS & CATTINI (eds.) THE CATALAN NATION AND IDENTITY

The present book is a complex approach to the elements that built the Catalan national identity, which can only be analyzed through its complexity and long duration historical times. Regarding medieval and early modern centuries, the territorial construction, law and state, are presented, along with the complexity added by the appearance of composite monarchies in the 16th century, and taking into account the significance of constructing a literary and historiographic tradition to define national character.

ÀNGEL CASALS & GIOVANNI C. CATTINI (eds.)

THE CATALAN NATION AND IDENTITY THROUGHOUT HISTORY

Identities. An interdisciplinary approach to the roots of the present Identités. Une approche interdisciplinaire aux racines du présent Identidades. Una aproximación interdisciplinar a las raíces del presente

05/11/19 12:42 PM

THE CATALAN NATION AND IDENTITY THROUGHOUT HISTORY

Identities. An interdisciplinary approach to the roots of the present Identités. Une approche interdisciplinaire aux racines du présent Identidades. Una aproximación interdisciplinar a las raíces del presente

Vol. 10

Editorial Board: – Flocel Sabaté (Editor) (Institut for Research into Identities and Society, Universitat de Lleida) – Paul Aubert (Aix Marseille Université) – Patrick Geary (University of California, Los Angeles) – Susan Reisz (Pontificia Universidad Católica del Perú) – Maria Saur (London University)

PETER LANG Bern · Berlin · Bruxelles · New York · Oxford · Wien

ÀNGEL CASALS / GIOVANNI C. CATTINI (EDS.)

THE CATALAN NATION AND IDENTITY THROUGHOUT HISTORY

PETER LANG Bern · Berlin · Bruxelles · New York · Oxford · Wien

Bibliographic information published by die Deutsche Nationalbibliothek Die Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data is available on the Internet at ‹http://dnb.d-nb.de›. Library of Congress Cataloging-in-Publication Data A CIP catalog record for this book has been applied for at the Library of Congress.

ISBN 978-3-0343-3811-0 pb. ISBN 978-3-0343-3906-3 MOBI ISSN 2296-3537 pb. DOI 10.3726/b16212

ISBN 978-3-0343-3904-9 eBook ISBN 978-3-0343-3905-6 EPUB ISSN 2296-3545 eBook

This publication has been peer reviewed. © Peter Lang AG, International Academic Publishers, Bern 2020 Wabernstrasse 40, CH-3007 Bern, Switzerland [email protected], www.peterlang.com All rights reserved. All parts of this publication are protected by copyright. Any utilisation outside the strict limits of the copyright law, without the permission of the publisher, is forbidden and liable to prosecution. This applies in particular to reproductions, translations, microfilming, and storage and processing in electronic retrieval systems. Printed in Switzerland

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Foreword

Table of contents Foreword, p. 7 Catalonia: Identity, Representativity, Territorialisation, by Flocel Sabaté, p. 11 Poetry and Identity, by Marie-Claire Zimmermann, p. 41 Catalonia’s Influence in the World of the Late Middle Ages: The Role of the Overseas Consulates, by Antoni Riera i Melis, p. 77 Institutions and the Catalan Ruling Classes: The Long March to Culmination in the Early 18th Century, by Eva Serra i Puig, p. 107 Identities, Solidarities and Disagreements: Catalonia and the Crown of Aragon up to the Catalan Revolt of 1640, by Àngel Casals, p. 137 Catalonia in the Process of the Construction of the Modern Spanish State. A Deterministic Interpretation and Critique of Spanish National Historiography, by Antoni Simon i Tarrés, p. 159 The Writing of History and of Catalan Identity: From Jeroni Pujades (1568-1635) to Antoni de Capmany (1742-1813), by Xavier Baró i Queralt, p. 181 The Cultural “Renaissances” as a Moment in European History (1820-1870), by Nicolas Berjoan, p. 219 The Role of the Working-class in the Construction of Catalan Identity, by Teresa Abelló, p. 231

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Foreword

Catalan Intellectuals and the Inter-war Debate on Democracy in Europe, by Giovanni C. Cattini, p. 255 The Shaping of Catalan Identity in the Contemporary World, by Tom Harrington, p. 277 The Regional Rhetoric of the Catalan Francoists, by Carles Santacana, p. 291 A Shattered Mirror? The Ethics of Remembering Catalan Culture in Exile, by Helena Buffery, p. 319 Catalonia, Culture and Mass Media, by Carme Ferré Pavia, p. 343

Foreword

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Foreword

In 2015, the publisher of this book brought out two volumes under the direction of Flocel Sabaté. One volume looked at the Catalan and Portuguese visions of the Iberian Peninsula from their respective positions on the periphery,1 while the other examined Catalan identity from a historical perspective.2 The second volume also appeared that year in a Catalan version.3 Was this heady upsurge in analysis a product of the political moment? Such a reading might be defensible, but it would also be overly simplistic and mask a pair of highly salient realities that need emphasising. First, in recent years, there has been an upswing of interest in the study of identities and their formation all over Europe. This is not the place to set out the state of the question,4 but the fact that Peter Lang has devoted an entire collection to the topic leaves no room for doubt that national identities are a historical subject drawing together many efforts from disciplines as various as history, sociology, anthropology, law and art. Multifaceted realities bring an added exuberance to the research, though it is also true that circumstances can help to unleash a spate of titles on historical periods that are mixed with other less fruitful eras. In the case of Catalonia, its situation as a nation without a state yet one that maintains persistent demands for political recognition has aroused even greater interest because the subject transcends the specific Catalan case and circumstances, sparking enormous vitality among researchers.

1 2 3 4

Flocel Sabaté and Luís Adão da Fonseca, Catalonia and Portugal: The Iberian Peninsula from the Periphery (Bern: Peter Lang, 2015). Flocel Sabaté, Historical Analysis of the Catalan Identity (Bern: Peter Lang, 2015). Flocel Sabaté, Anàlisi històrica de la identitat catalana (Barcelona: Institut d’Estudis Catalans, 2015). For a summary with a useful and inevitably incomplete state of the question, see: Eric Taylor Woods, “Cultural Nationalism: A Review and Annotated Bibliography”, Studies on National Movements, 2 (2014), 1-26.

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Foreword

The second aspect to underscore is that this book is a convergence of diverse research projects and teams. Some focus on highly specific chronologies, while others are more general. This is the case with the Studies in Intellectual and Cultural History Group, a consolidated research group of the Generalitat of Catalonia focusing on contemporary history, which has participated in the project “Cuius Regio: An analysis of the cohesive and disruptive forces governing the attachment of groups of people to and their cohesion within regions as a historical phenomenon”, undertaken by the European Science Foundation. Their efforts are joined by members of the project in modern history called “Els conflictes socials com a resistència al poder en la perifèria de l’Estat Modern: Segles XVI-XVII”, which looks at social conflicts as a form of resistance to power on the periphery of the modern state in the 16th and 17th centuries, with financial support from the Spanish Ministry of Economy and Competitiveness. Thanks to the varied backgrounds of the authors and the nature itself of the formation of national identities, the studies in this book take a complex and sweeping view of history: Flocel Sabaté, Antoni Riera and Marie-Claire Zimmermann train their eye on three characteristic traits of the formation of medieval identities: law, literature and territory. Then, turning to the modern world, in which the formation of the state has always been a focus of major interest, Antoni Simon i Tarrés, Eva Serra, Àngel Casals and Xavier Baró analyse three fundamental questions: the correspondence between state and national construction, the experience of Catalan construction in the context of compound monarchies and the creation of modern historiographical discourse. In the field of contemporary history, the wide-ranging complexity of the phenomena even further broadens the views on offer. The studies by Teresa Abelló and Nicolas Berjoan take us into the world of industry, the working class and its complex relationship with national construction, adopting an economic and social perspective that complements the cultural one and examining the outside representation of Catalan reality, the engagement of intellectuals and the weight of European romanticism in political culture and in the formation of Catalan nationalism. In their analysis of the 20th century, Giovanni Cattini, Carles Santacana, Carme Ferré, Helena Buffery and Thomas Harrington turn their atten-

Foreword

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tions to the influence and reception of new European political cultures and the great debate on totalitarianism, while also looking at what Francoism has meant for the evolution of Catalan thought or what role has been played by mass media in the survival of a nation without a state. Furthermore there is a reflective view of Catalan culture in exile in the theatre, and as a result a general vision of the elements which make up the Catalan identity. As a whole, this book reflects our staunch support for a broad-based, pluridisciplinary perspective that draws on the value of cooperation among diverse research groups in the ultimately impossible mission of reconstructing the complexity of nation-building over the course of history. Finally we would like to express our sincere gratitude to Helena Buffery for her assistance in going over the entire manuscript. Also our gratitude goes to Universitat Catalana d’Estiu for organising the course which gave fruit to the idea of publishing this work. This book is dedicated to the memory of Eva Serra and Francesc Valls Junyent, who collaborated in the initial phase of our project and have left us too soon.

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Foreword

Catalonia: Identity, Representativity, Territorialisation

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Catalonia: Identity, Representativity, Territorialisation Flocel Sa baté Universitat de Lleida

An understanding of the process by which a specific identity for Catalonia was created and justified remains heavily influenced by previous explanations in which the narrative has been formulated in a powerful, secular mould. It is without doubt necessary to deconstruct these historical assumptions and find new references, supported by their documentary corroboration and by their suitability under the renewed scientific historical method being employed currently.

1. Trapped in the historical narrative During the 16th and 17th centuries the chief point of reference for the narrative of the Catalan social and political élites’ resistance to the Spanish monarchy consisted of the Catalan institutions of medieval origin. This tension became Iberia’s contribution to the pan-European struggle between so-called mixed government and the new absolutist model.1 The confrontation between narratives of justification that both precede and accompany the tensions of the 17th century2 is not unrelated to the evolution of the perception of belonging to national groupings although into a contemporary backdrop of ambiguity and fluidity.3 It is worth 1 2

3

Marie Gaille-Nikodimov, ed., Le Gouvernement mixte: De l’idéal politique au monstre constitutionnel en Europe (XIIIe-XVIIe siècle) (Saint-Étienne: Publications de l’Université de Saint-Étienne Jean Monnet, 2005). Antoni Simon i Tarrés, Els orígens ideològics de la revolució catalana de 1640 (Barcelona: Publicacions de l’Abadia de Montserrat, 1999), pp. 29-303; Antoni Simon i Tarrés, Construccions polítiques i identitats nacionals: Catalunya i els orígens de l’estat modern espanyol (Barcelona: Publicacions de l’Abadia de Montserrat, 2005), pp. 53-474. Xavier Torres, Naciones sin nacionalismo: Cataluña en la monarquía hispánica (siglos XVI-XVII) (València: Publicacions de la Universitat de València, 2008), pp. 248-256.

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Flocel Sabaté

noting that even though at the beginning of the 17th century Antoni Vicenç Domènec defined Pere Rigau as de nación catalana y natural del Empurdán [of Catalan nationality, originally from Empordà],4 later in the same century Roig i Jalpí presents Count Wilfred the Hairy as de nación española [of Spanish nationality].5 The obliteration of the institutions of the old Crown of Aragon in the early 18th century was just one of many contemporary changes in the Spanish monarchy, such as the loss of European territories and dynastic change. All this contributed to the consolidation of a concept of the Spanish nation6 which went from strength to strength during the same century, thanks to the development of new institutions and the growth of a narrative which emphasised the cohesion of the Spanish nation.7 The 19th century began in this way,8 and, in various forms, the institutional structure of the old Crown of Aragon was to be put forward

4 5 6

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Antonio Vicente Domènech, Flos sanctorum o Historia general de los santos y varones ilustres en santidad del principado de Catalunya (Girona: Emprenta de Gaspar Garrich, 1630), p. 238. Juan Gaspar Roig i Jalpí, Epítome histórico de la muy ilustre ciudad de Manresa (Barcelona: Jaime Suria, 1692), p. 113. S’il fallait à toute force nous livrer à l’exercice a-scientifique de donner une date pour la naissance de l’entité politique connue sous le nom d’Espagne, au sens de “nation” que le terme a pris au XIXe siècle, plus qu’aux Rois Catholiques nous penserions donc aux premières années du règne de Philippe V: l’amputation brutale des territoires européens de la monarchie, l’occasion non voulue d’une guerre successorale interne à la Péninsule, fournissent à un souverain adossé à une tradition politique étrangère l’occasion peut-être souhaitée par certaines de ses prédécesseurs de remodeler institutionnellement son royaume bien au-delà de ce que même un Olivares avait envisagé dans ses rêves les plus fous [If it were necessary for us to engage in the a-scientific exercise to give a date for the birth of the political entity known as Spain, in the sense of ‘nation’ that the term took in the 19th century, more than the Catholic Kings we would think therefore the first years of the reign of Philip V: the brutal amputation of the European territories of the monarchy and the unintended occasion of a succession war internal in the Peninsula provide a sovereign backed to a foreign political tradition the opportunity may have been desired by some of his predecessors to institutionally remodel his kingdom far beyond what even an Olivares had envisioned in his wildest dreams). Jean-Pierre Dedieu, “Comment l’État forge la nation: L’‘Espagne’ du XVIe siècle au début du XIXe siècle”, Le sentiment national dans l’Europe méridionale aux XVIe et XVIIe siècles, Alain Tallon, ed. (Madrid: Casa de Velázquez, 2007), pp. 68-69. Flocel Sabaté, “Frontera peninsular e identidad (siglos ix-xii)”, Las Cinco Villas aragonesas en la Europa de los siglos XII y XIII: De la frontera natural a las fronteras políticas y socioeconómicas (foralidad y municipalidad), Esteban Sarasa, ed. (Zaragoza: Institución Fernando el Católico, 2007), pp. 60-62. El viejo concepto de España como mero ámbito territorial propio de la época medieval que se había cargado de valores a lo largo de los siglos XVI y XVII en pleno debate comparativo con los países europeos, en el siglo XVIII se articula como Estado-nación, adquiere connotaciones nuevas a caballo del debate funcionalista respecto al papel desarrollado en Europa y toma un beligerante sentimiento

Catalonia: Identity, Representativity, Territorialisation

13

for three quarters of the century as a model for the governing of Spain. Capmany proposed this at the Courts of Cadiz,9 and the authors whom Ernest Lluch includes as pertaining to the liberal foralists10 followed the same line. These included Ramon López Soler’s proposal to revive the old Catalan legal framework, based on the conviction that Catalunya i la seva antiga llibertat poguessin servir de model als liberals per a construir el nou Estat nacional [Catalonia and its ancient liberties could serve the liberals as a model for the construction of a new national state].11 Thus, an idealised model based on the old Crown of Aragon allowed for a plural and participative vision of the different cultures and territories of Spain. At the halfway point of the 19th century Víctor Balaguer was the living embodiment of this strategy. His political efforts to achieve governmental recognition of the socio-economic interests of the Catalan entrepreneurial bourgeoisie12 marched in step with his vindication of a medieval Catalonia associated with popular and participative freedoms as a guide for the construction of a constitutional and federal model of Spain.13 In the second half of the century the federalist proposal emphasised the recognition of Catalan rights and Catalonia’s particular identity even more forcefully — citing, for example, its language, and looking to the Swiss Confederation explicitly as a model.14

9 10 11 12 13 14

patriótico en el momento de la gran prueba: 1808 [The old concept of Spain as simply territorial expression, as was usual in Middle Ages, had become laden with values through the 16th and 17th centuries, at a time of open debate comparing it with other European countries, and in the 18th century were articulated as a nation-state, reaching new connotations driven by the debate over functionalism with respect to the development of its role in Europe, and finally took on a belligerent and patriotic feeling at the time of the great test: 1808]. Ricardo García Cárcel, “El concepto de España”, Manual de historia de España: Siglo XVIII, Roberto Fernández (Madrid: Historia 16, 1993), p. 36. Ramon Grau, “La historiografia del romanticisme (de Pròsper de Bofarull a Víctor Balaguer”, Història de la historiografia catalana, Albert Balcells, dir. (Barcelona: Institut d’Estudis Catalans, 2004), p. 145. Ernest Lluch, “El liberalisme foralista en el segle xix: Corona d’Aragó i País Basc”, L’Avenç, 230 (1998), pp. 14-20. Jaume Ribalta, “Constitución catalana y cortes de Cataluña: ‘Excerpta’ vuitcentista de Peguera, a càrrec de Ramon López Soler”, Revista de Dret Històric Català, 2 (2003), p. 49. Montserrat Comas, ed., Víctor Balaguer i el seu temps (Barcelona: Publicacions de l’Abadia de Montserrat, 2004). Enric Ucelay-Da Cal, El imperialismo catalán: Prat de la Riba, Cambó, D’Ors y la conquista moral de España (Barcelona: Edhasa, 2003), pp. 246-247. Josep Moran, Joan Anton Rabella, “The Language: Vehicle for Transmission of Catalan Identity throughout History”, Historical Analysis of the Catalan Identity, Flocel Sabaté, ed. (Bern: Peter Lang, 2015), pp. 382-383.

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These proposals, however, fell on deaf ears after 1875 due to the Bourbon restoration which, with justification, was looked upon with reservation by Catalan cultural groups.15 Dating from this time, the mainstream debate on Spain16 became fixed on the continuity of Castilian history. The portrayal of Spanish identity is based upon the distinguishing features, including the psyche and landscape, of Castile.17 The Crown of Aragon is, as shown in Francisco Jorge Torres Villegas’ 1851 atlas, the Espanya assimilada o incorporada [the assimilated or incorporated Spain].18 The role of history as asignatura y molde de ciudadanía [subject and mould for citizens] on behalf of the state, is to transmit a mythologised, unified, conservative, Catholic and Castile-centric vision of the Spanish nation.19 In this context, the historiographical displacement of Víctor Balaguer by Antoni Bofarull, as highlighted by Josep Maria Fradera20 or, notably, Ramon Grau, goes further than romanticism merely being superseded by positivism.21 From now on, the history of Catalonia no longer influences Spain, but assumes a specific and introspective point of view. Sharing this new perspective, the Renaixença that prevails in the last quarter of the 19th century22 in Catalonia develops and spreads a view of the origins of Catalonia that is conservative, enamoured of folklore, ruralism, the church and tradition.23 Surprisingly, these pillars have survived right up to the present time.24 15 16 17 18 19 20 21 22 23 24

Manuel Pérez Nespereira, “La primera crisi positivista a l’Ateneu Barcelonès (18771878)”, Cercles: Revista Revista d’Història d’HistòriaCultural, Cultural,22(Barcelona: (1999), pp. 1999), 70-75. pp. 70-75. José Álvarez Junco, Mater dolorosa: La idea de España en el siglo XIX (Barcelona: Taurus, 2001), pp. 187-565. Inma Fox, La invención de España: Nacionalismo liberal e identidad nacional (Madrid: Cátedra, 1997), pp. 97-174. Francisco Jorge Torres Villegas, Cartografía hispano-científica o sea los mapas españoles: En que se representa a España bajo todas sus diferentes fases (Madrid: Imprenta de Don Ramón Ballone, 1857), vol. 1, p. 13. Juan Sisinio Pérez Garzón, “La creación de la Historia de España”, La gestión de la memoria: La historia de España al servicio del poder, Juan Sisinio Pérez Garzón, ed. (Barcelona: Crítica, 2000), pp. 81-110. Josep Maria Fradera, “Visibilitat i invisibilitat de Víctor Balaguer”, L’Avenç, 262 (2001), p. 24. Ramon Grau, “El pensament històric de la dinastia Bofarull”, Barcelona: Quaderns d’Història, 6 (2002), pp. 12-138. It isis also alsothe thelearned learned Renaixença is imposed oniswhat is presented as Renaixença that that is imposed on what presented as popular. popular. Pich i“La Mitjana, visió dedelaValentí llengua de Valentí Almirall Josep PichJosep i Mitjana, visió de“La la llengua Almirall (1841-1904)”, (1841-1904)”, Llengua16 & (Barcelona: Literatura, 16 (2005), pp. 59-62). Llengua & Literatura, 2005), pp. 59-62). Llorenç Prats El mite de la tradició popular (Barcelona: Edicions 62, 1988), pp. 170-188. Flocel Sabaté, “Constructing and Deconstructing the Medieval Origin of Catalonia”, Different Europes: The Historical Evolution of Territorial Identities and Attach-

Catalonia: Identity, Representativity, Territorialisation

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¡Ya tenemos patria! [We already have a homeland!] proclaimed Antoni Bofarull about the feoffment of the county of Barcelona to Wilfred the Hairy in 878, one implied consequence of which was the birth of la nacionalitat catalana [Catalan nationality].25 This correspondence between the concession of the county of Barcelona to Wilfred the Hairy and the birth of an independent Catalan nation remains indelible in the historiography. A century later, Josep Maria Salrach dedicated two books to the study of the 8th and 9th centuries entitled El procés de formació nacional de Catalunya [The Process of the Formation of the Catalan Nation] and L’establiment de la dinastia nacional [The Establishment of a National Dynasty].26 In a school textbook dating from the Second Republic, the teacher Ramon Torroja contrasted between this primer comte independent [first independent count] and the independència consagrada [consecrated independence] which would achieve when, in 987, Borrell II did not pay homage to the new Capetian dynasty after lifting Almansur’s siege of Barcelona in 985 without French aid.27 This historiographical manoeuvre was necessary in order to respect this other reference that Pi i Arimon had highlighted in the mid-19th century, which permitted the dating of full independence from the time of Borrell II.28 In 1898 Bori i Fontestà revealed that Borrell’s action was taken in return for numerous concessions to the nobility, allowing the achievement of el régimen feudal su más decidido apogeo [the ultimate apogee of the feudal regime].29 Ramon Berenguer I would be able to regulate the inherent aggressiveness of the feudal nobility by employing the Usatges de Barcelona, then interpretated as a code law compiled in the mid-11th

25 26 27 28 29

ments as Formative Forces in a Changing Europe, Dick de Boer, Bar Spierings, Nils Holde Petersesen, eds. (in press). Antonio Bofarull, Historia crítica (civil y eclesiástica) de Cataluña (Barcelona: Juan Aleu y Fugarull, Editor, 1878), vol. 2, p. 187. Josep M. Salrach, El procés de formació nacional de Cataluya (segles VIII-IX) (Barcelona: Edicions 62, 1978), 2 vols. Ramon Torroja, Història de Catalunya (Barcelona: Impremta Elzevira i Llibreria Camí, 1933), pp. 32-35. Andrés Avelino Pi y Arimón, Barcelona antigua y moderna: Descripción e historia de esta Ciudad desde su fundación hasta nuestros días (Barcelona: Imprenta y Librería Politécnica de Tomás Gorchs, 1854), vol. 1, p. 48. Antoni Bori i Fontestà, Historia de Cataluña (Barcelona: Imprenta de Henrich y Cia, 1898), p. 50.

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century.30 The plight of the peasants31 could not, however, be alleviated until the end of the Middle Ages.32 They would be subject to a dependence that caused many of them to envy the good fortune of their lords’ animals,33 a situation that would help to understand the social upheavals of the last years of the Middle Ages.34 A century later Pierre Bonnassie applied a Marxist hermeneutic, but his conclusions continued to place the consolidation of feudalism and the establishment of a system of remensa serfdom of the peasantry during the county of Ramon Berenguer I.35 The Church, according these explanations, would stand against the vices of feudalism, both in its role as the guardian of culture and by imposing a climate of peaceful order opposed to the excesses of the nobility. The power of institutions such as Pau i Treva [Peace and Truce] and the leading role of churchmen like the Bishop-Abbot Oliva were illustrious examples.36 In any case, a Christian faith locked in struggle with the Muslim invader would have indelibly permeated the roots of Catholicism in the land, just as the fundamentalist Fèlix Sardà i Salvany proclaimed.37 It is worth noting that the Hegelian paradigm established by Pierre Bonnassie, which was widely predominant at the end of the 30 Fidel Fita, “Corts y Usajes de Barcelona en 1064”, Boletín de la Real Academia de la Historia, 16-17 (1890), pp. 389-393; Fidel Fita, “El obispo Guislaberto y los Usajes de Barcelona”, Boletín de la Real Academia de la Historia, 18 (1891), pp. 228-246. 31 José Coroleu, El feudalismo y la servidumbre en la gleba de Cataluña (Girona: Imprenta y Librería Vicente Dorca, 1878), pp. 8-16. 32 Elies Serra i Ràfols, Fernando el Católico y los payeses de remensa (Lleida: Tipografía Mariana, 1925). 33 El hombre propio se hallaba casi al mismo nivel de lo caballos, los perros y los azores de caza que tenían los señores feudales en gran abundancia para su comodidad, ostentación y regalo [The man depended to some lord found himself with more or less the same status as horses, dogs and the hunting stock that the feudal lords kept in great abundance for their comfort, ostentation or as gifts]. Julián de Chía, Bandos y bandoleros en Gerona: Apuntes históricos desde el siglo XIV hasta mediados del XVII (Girona: Imprenta y Librería de Pociano Torres, 1888), vol. 1, p. 13. 34 Eduardo Hinojosa, “La servidumbre en Cataluña durante la edad media”, Obras (Madrid: Ministerio de Justicia - Consejo Superior de Investigaciones Científicas, 1948), vol. 1, pp. 217-229; “El régimen señorial y la cuestión agraria en Cataluña”, Obras (Madrid: Ministerio de Justicia - Consejo Superior de Investigaciones Científicas, 1955), vol. 2, pp. 35-326. 35 Pierre Bonnassie, La Catalogne du milieu du Xe à la fin du XIe siècle: Croissance et mutations d’une société (Toulouse: Publications de l’Université de Toulouse-Le Mirail, 1976), vol. 2, pp. 681-879. 36 Josep Torras i Bages, La tradició catalana (Barcelona: Editorial Selecta, 1966), p. 140. 37 Fèlix Sardà i Salvany, Propaganda católica (Barcelona: Librería y Tipografía Católica, 1903), vol. 4, p. 20.

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20th century, cast the Church in the role of a victim resisting the feudal revolution,38 in spite of the paradox that documentation such as that of Urgell provides evidence of its use and promotion of feudal forms. Moreover, the myth of Abbot Oliva has survived into the 21st century,39 though it is now being subjected to well-contextualised studies that will lead to a more accurate analysis.40 Finally, the counts and then the royal power as well as the Church would be bolstered by the support and guidance of an emergent medieval bourgeoisie, the same social group which also supplied the historians of the so-called Renaixença. Following this explanation, it would be established an alliance that would guarantee the country’s progress. In the words of Joan Segura: aixís la estrella dels barons s’anava eclipsant, mentres la dels Reys y dels municipis reyals crexia en esplendor [thus the barons’ star was steadily eclipsed, while that of the king and the royal municipalities grew in splendour].41 In the end, it is the urban society that has created the country: no s’ha arribat a la Nació més que passant per la Ciutat [it is through the city that we have become a nation].42 Fed by alternative historiographic views and his own life experiences,43 Jaume 38 Josep Maria Salrach, Mercè Aventín, Conèixer la història de Catalunya: Dels orígens al segle XII (Barcelona: Editorial Vicens Vives, 1985), pp. 177-178. 39 José Enrique Ruiz Domènec, “El abad Oliba: Un hombre de paz en tiempos de guerra”, Ante el Milenario del reinado de Sancho el Mayor. Un rey navarro para España y Europa (Actas de la XXX Semana de Estudios Medievales de Estella. 14 al 18 de julio de 2003) (Pamplona: Departamento de Cultura y Turismo del Gobierno de Navarra, 2004), pp. 173-195; José Enrique Ruiz Domènec, “L’abat Oliba: Un home de pau en temps de guerra”, Butlletí de la Reial Acadèmia de Bones Lletres de Barcelona, 50 (2005-2006), pp. 59-75; Eduard Junyent, Esbós biogràfic del comte, abat i bisbe Oliba, Ramon Ordeig, ed. (Barcelona: Publicacions de l’Abadia de Montserrat, 2008). 40 Jeffrey A. Bowman, “Councils, Memory and Mills: The Early Development of the Peace of God in Catalonia”, Early Medieval Europe, 8 (1999), pp. 99-129; Adam J. Kosto, “Oliba, Peacemaker”, Gerbert d’Orlhac i el seu temps: Catalunya i Europa a la fi del 1r mil·lenni (Vic-Ripoll 10-13 de novembre de 1999) (Vic: Eumo Editorial, 1999), pp. 135-148; Lluís To, “Un obispo del año mil: Oliba de Vic”, Los protagonistas del año mil: Actas del XIII Seminario sobre historia del Monacato (2-5 de agosto de 1999), José Ángel García de Cortázar, ed. (Aguilar de Campo: Fundación Santa María La Real, Centro de Estudios del Románico, 2000), pp. 65-87; Stefano Maria Cingolani, “Estratègies de legitimació del poder comtal: L’abat Oliba, Ramon Berenguer I, la Seu de Barcelona i les ‘Gesta Comitum Barchinonensium’, Acta Historica et Archaeologica Mediaevalia, 29 (2008), pp. 135-175; Stefano Maria Cingolani, “L’Abat Oliba, el poder i la paraula’, Acta Historica et Archaeologica Mediaevalia, 31 (2011-2013), pp. 135-175. 41 Joan Segura, Història de Catalunya (Igualada: Estampa d’Eugeni Subirana, 1907), vol. 1, p. 130. 42 Joan Vallès, Elogi de Catalunya (Barcelona: Llibreria Catalonia, 1928), p. 281. 43 Flocel Sabaté, “Conflictes agraris i guerra civil a la Catalunya baixmedieval: Reali-

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Vicens i Vives broadened the mythification of the Catalan oligarchy, which he envisioned as united in its concern for the good of the country.44 Beyond the long shadow cast by the Renaixença historiography over later contributions, a glimpse at the recent school and dissemination materials shows that, despite the intense contributions from the research, a firm foothold has been impregnated in the historical memory, reason why the origin of the country continues to be explained through explanations that, curiously, come from an ideological, conceptual and methodological context specific to the end of the 19th century.45

2. Trapped in the narrative of national identity Fortunately, during the course of the 20th century many distinguished medievalists-historians posed themselves questions about the origin of the Catalan nation. Firstly, in Joseph Calmette’s view, a borderline or county delimitation does not necessarily pave the way to nationhood, no matter what rights or responsibilities they involve: le territoire n’est pas tout, ce n’est qu’un corps; un élément moral doit s’y ajouter, autant dire une âme [territory is not everything, it is just a body. A moral element must be added to it; in other words, a soul].46 This would clearly be seen in the 9th century in the discord between the native population and the dominant Carolingian power as evidenced in the adoptionist conflict and the Aissó revolt, well expressed in the words of Calmette, au jour tragique qui coûte la vie au dernier des comtes de race franque, Salomon [in the tragic day tat i ficció historiogràfica”, Miscel·lània Ernest Lluch i Martín, Ferriol Soria, Jordi Ferrer, eds. (Vilassar de Mar: Fundació Ernest Lluch, 2007), vol. 2, p. 398. 44 El govern dels patricis, com tot bon govern, fou el d’una oligarquia els interessos de la qual coincidien exactament amb els del país. Llurs afers personals marxaven d’acord amb els de Catalunya, sense promoure animadversions ni gelosies, perquè, en definitiva, procuraven el bé comú [The patrician government, like every good government, was an oligarchy whose interests coincided exactly with those of the country. Their personal affairs went according to those of Catalonia, without promoting animosity or jealousy, because, ultimately, they sought the common good]. Jaume Vicens i Vives, Els Trastàmares: Segle XV (Barcelona: Editorial Vicens Vives, 1988), p. 32. 45 Xavier Hernàndez, Ensenyar història de Catalunya (Barcelona: Editorial Graó, 1990), pp. 116-120. 46 Joseph Calmette, L’effondrement d’un Empire et la naissance d’une Europe (IXe-XIe Siècles) (Paris: Aubier - Éditions Montaigne, 1941), p. 143; Joseph Calmette, La question des Pyrénées et la Marche d’Espagne au Moyen-Âge (Paris: J.B. Janin, 1947), p. 21.

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that claimed the life of the last French count, Salomon]. Based on this, Calmette deduced a psychologie collective [collective psychology], and interpreted the feudalisation of Wilfred the Hairy during the second half of the 9th century as a pacted solution which permitted the combination of Carolingian feudalism with the sense of national identity felt in the land: la montée du sentiment national dans la marche d’Espagne coïncident avec la poussée féodale [the rise of national feeling in the Spanish March coinciding with the feudal pressure].47 Even so, if, as in Pierre Bonnassie’s judgement, society changes suddenly — vingt ou trente ans (entre 1030/1040 et 1060) [in twenty or thirty years, between 1030/1040 and 1060]48 — and experiences a clear Hegelian sequence in the mid-11th century, in which the feudal thesis is overthrown by the antithesis of a feudal revolution culminating in a synthesised feudal state, it is this feudal state that would bring true cohesion to the country. Thus, Bonnassie continued giving the leading role to the House of Barcelona, but he placed it in the second half of the 11th century, drawing clearly Catalonia as the daughter of feudalisation.49 Nevertheless, as noted by Michel Zimmermann, there is no verifiable, politically cohesive function of the House of Barcelona until the 12th century, which is when there is also a perception of cultural convergence. Thus, c’est au milieu du XIIe siècle que se constitue vraiment la principauté catalane; la liturgie politique cristallise un sentiment national [it is in reality the middle of the 12th century that sees the Catalan principality constituted; that the political liturgy culminates in the crystallisation of national sentiment].50 Thomas N. Bisson points out, however, that although it can be stated that il n’y pas de doute que la ‘nation’ catalane a existé dès avant le XIIe siècle [there is no doubt that the Catalan ‘nation’ existed before

47 Joseph Calmette, La question des Pyrénées et la Marche d’Espagne au MoyenÂge…, p. 24. 48 Pierre Bonnasssie, “Sur la formation du féodalisme catalan et sa première expansion (jusqu’à 1150 environ)”, La formació i expansió del feudalisme català: Homenatge a Santiago Sobrequés i Vidal, Jaume Portella, ed. (Girona: Col·legi Universitari de Girona, Universitat Autònoma de Barcelona, 1985-1986), p. 12. 49 Pierre Bonnassie, La Catalogne du milieu du Xe à la fin du XIe siècle (Toulouse: Publications de l’Université de Toulouse - Le Mirail, 1976), vol. 2, p. 732. 50 Michel Zimmermann, “Des pays catalans à la Catalogne: Genèse d’une représentation”, Histoire et archéologie des terres catalanes au Moyen Âge, Philippe Sénac, ed. (Perpinyà: Presses Universitaires de Perpignan, 1995), p. 80.

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the 12th century], this has to be qualified by the fact that in the middle of the 12th century there would be still no institutional unity. This process of formation was ongoing and became definitively operational between the 12th and 13th centuries: les élans et progrès de la conscience catalane, loin d’être ‘achevés’ en 1100 ou en 1137, connaissent alors l’ébauche d’une première expression; ils devaient être profondément secoués et accélérés par les conquêtes et les fondations des premiers comtes-rois (c. 1148-1213). the spirit and progress of the Catalan consciousness, far from ‘being realised’ in 1100 or 1137, were then only at the beginning of the first expression; they had to be profoundly awoken and accelerated by the conquest and foundations of the first count-kings, c. 1148-1213.51

Hence, when recognised historians following an established, scientific methodology are asked about the origin of the Catalan nation, many differing answers are given; in the 9th century, in the second half of the 11th, midway through the 12th or even as culminating on the eve of the 13th. This diversity of responses suggests that the problem lies not with the answers but with the question. The phrasing of the question raises an irresolvable problem. That is, to ask for the nation’s starting point simply reflects a conception of history as a national genealogy, as propounded in various guises at least since the Renaissance humanism.52 One could try to resolve the same issue by establishing the origin and meaning of the name of the country. The difficulty of truly clarifying the provenance of the name Catalonia was recognised as early as Jaume Caresmar in the 18th century53 and Joan Vernet in the 20th

51 Thomas N. Bisson, “L’éssor de la Catalogne: Identité, pouvoir et idéologie dans une société du xiie siècle”, Annales: Économies, Sociétés. Civilisations, 39/3 (1984), p. 455. 52 Jesús Villanueva, Política y discurso histórico en la España del siglo XVII: Las polémicas sobre los orígenes medievales de Cataluña (Alacant: Publicacions de la Universitat d’Alacant, 2004), pp. 39-42. 53 No podemos decir de qué lugar toman el nombre los catalanes, como lo podemos decir de donde lo toman valencianos, esto es, por su principal ciudad, Valencia [We cannot say which place is the one from which the Catalans take their name as we can with the Valencians, that is, from their main city, Valencia]. Jaume Caresmar, Carta al barón de La Linde (Igualada: Centre d’Estudis Comarcals d’Igualada, 1979),

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century,54 a fact which has on the one hand led to rather tentative and ambiguous proposals55 and, on the other, engendered a certain lack of restraint in the formulation of others. The existence of similar toponyms in the south of France suggests the movement not only of people but of place names. By 1744 the Abbot Expily had already collected examples with regards to Les Catalans ou Escalens [The Catalans or Escalensin] in the diocese of Montalbà.56 The belief that the Catalaunian Plains were located in Occitania adds credence to these claims. In the 16th century Father Mariana makes this assumption and refers to los catalanes, nombrados así de los pueblos Catalaunos puestos en la Gallia Narbonense cerca de la Ciudad de Tolosa [the Catalans, so called after the Catalaunian peoples situated in the Gallia Narbonense near the city of Tolosa].57 In the 16th century Calça believed that Otger Cataló had come from the Catalaunian Plains, and that the name of the country was derived from this anthroponym, as used to be repeated from the beginning of 15th century.58 This opinion is, however, unsustainable because, despite lengthy and renewed historiographic interest shown during the second half of the 19th century,59 the reality is he only lived in the fiction of the contradictory narratives about the origin of

54

55

56 57 58 59

p. 67; Junta de Comercio de Barcelona, Discurso sobre la agricultura, comercio e industria del Principado de Cataluña (1780) Ernest Lluch, ed. (Barcelona: Editorial Alta Fulla, 1997), p. 170. El nom de Catalunya té uns orígens força foscos i no es pot assegurar que cap de les hipòtesis o teories fins ara exposades respongui a la veritat històrica [The name of Catalonia has quite obscure origins and it cannot be assured that none of the hypotheses or theories so far put forward respond to the historical truth]. Joan Vernet, “El nom de Catalunya”, Història de Catalunya (Barcelona: Salvat Editores, 1978), vol. 2, p. 31. Las discusiones y razonamientos acerca del topónimo Cataluña y del étnico catalán, son abundantes e incluso contradictorias, ninguna sin embargo realmente satisfactoria. No es infrecuente tampoco que los estudiosos, aun mostrándose partidarios de una determinada etimología citen o insinúen otras, dando a entender la inseguridad en que se mueven [The arguments and discussions over the toponym Catalonia and over the demonym Catalan are many and even contradictory, but none is really satisfying. Nor is it infrequent for scholars, even when championing a given etymology, to cite and suggest others, implying their uncertainty]. Luis Rubio, “Catalán-Cataluña”, Estudios Románicos, 1 (1978), p. 239. Abbé Expilly, Dictionnaire géographique, historique et politique des Gaules et de la France (Amsterdam: unknown publisher, 1764), vol. 2, p. 127. Padre Mariana, Historia general de España (Barcelona: Imprenta y Librería de Gaspar y Roig Editores, 1852), vol. 1, p. 219. Jesús Villanueva, Política y discurso histórico en la España del siglo XVIII: Las polémicas sobre los orígenes medievales de Cataluña (Alacant: Publicacions de la Universitat d’Alacant, 2004), p. 45. Flocel Sabaté, L’expansió territorial de Catalunya (segles IX-XII): Conquesta i repoblació? (Lleida: Universitat de Lleida, 1996), p. 52.

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the power held by the different estates in Catalonia in the 15th century.60 In any case, in that same century Jeroni Pau accepted the Catalan origin in the Catalaunian Plains and the command of Otger Cataló as well as the Gothic origin of the choronym Catalonia.61 He probably borrowed this proposal from Joan Margarit,62 as was the contemporary humanistic fashion in regard to all things related to the Hispania as a whole.63 This explanation maintains currency long afterwards; at the beginning of the 19th century Torres i Amat still believed that the Goths had founded a ‘Gotholaunia’ and that the name of Catalonia was derived from this source,64 and the same explanation is repeated by Bori i Fontestà towards the end of the century.65 Even so, at the beginning of the 17th century Pere Gil understood that the original Gotholand, so called because of the presence of Goths and Alans, could have mutated due to the arrival of the francesos que vingueren de França, de la província nomenada Cathalaunia [French who came from France, from the province called Cathalaunia].66 In 1586 Francesc Comte suggested, although this idea has gained less widespread acceptance, that the choronym of Catalonia derives from other Germanic tribes known as the Chatti.67 Even in 1941, while accepting the correct placing of the Catalaunian Plains in Champagne, Giuliano Bonfante claimed that the name was based on the supposed displacement of a branch of the Catalauni.68 These could be 60 Eulàlia Duran, Sobre la mitificació dels orígens històrics nacionals catalans (Barcelona: Institut d’Estudis Catalans, 1991), pp. 14-17. 61 Jeroni Pau, “Barcino”, Obres, ed. Mariàngela Vilallonga (Barcelona: Curial, 1986) ; Jeroni Pau, “Barcino”, Història de Barcelona fins al segle XV, Josep Maria Casas, ed. (Barcelona: Fundació Francesc Blasi Vallespinosa, 1957), p. 48. 62 Eulàlia Miralles, “La posteritat del cardenal Margarit (segles xv-xvii)”, El cardenal Margarit i l’Europa quatrecentista, Mariàngela Villalonga, Eulàlia Miralles, David Prats, eds. (Rome: L’‘Erma’ di Bretschneider, 2008), pp. 100-101. 63 Robert B. Tate, Joan Margarit i Pau, cardenal i bisbe de Girona (Barcelona: Curial, 1976), pp. 215-222; Robert B. Tate, “Margarit i el tema dels gots”, Actes del Cinquè Col·loqui Internacional de Llengua i Literatura Catalanes (Andorra, 1-6 d’octubre de 1979), Jordi Bruguera, Josep Massot, eds. (Barcelona: Publicacions de l’Abadia de Montserrat, 1980), pp. 151, 160-162. 64 Fèlix Torras i Amat, Memorias para ayudar a formar un diccionario crítico de los escritores catalanes y dar alguna idea de la antigua y moderna literatura de Cataluña (Barcelona: Imprenta de J. Verdaguer, 1836), p. XXVIII. 65 Antonio Bori, Historia de Cataluña (Barcelona: Imprenta de Henrich, 1898), p. 77. 66 Josep Iglésies, Pere Gil, S.j. (1551-1621) i la seva Geografia de Catalunya (Barcelona: Societat Catalana de Geografia, Institut d’Estudis Catalans, 2002), p. 276. 67 Francesc Comte, Il·lustracions dels Comtats de Rosselló, Cerdanya i Conflent, Joan Tres, ed. (Barcelona: Curial, 1995), pp. 171-172. 68 Giuliano Bonfante, El nombre de Cataluña (Buenos Aires: Universidad de Buenos Aires, 1944).

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associated, as Florián de Ocampo and Jerónimo Zurita have observed, with a people from the most ancient strata of Iberian prehistory: unos pueblos que antiguamente se llamaron Castellanos, que estaban en la antigua Cataluña, entre los Ausetanos y los Lacetanos [some peoples that were known in antiquity as Castellani, who lived in ancient Catalonia, between the Ausetani and the Lacetani].69 It could just as likely have derived from ‘Lacetani’, as put forward by Joaquim Casas i Carbó in 1891,70 picked up again by Ernst Schopf in 191971 and reinterpreted as a learned word by Joan Coromines after 1954.72 From a philological standpoint, the choronym could derive from a toponym. This is pointed out by Valla, referring to Plutarch’s lost city of Catalon73 as its origin, although it could also refer to Castelló, as claimed by Andreu Bosc,74 or even Montcada, as proposed by Aebischer in 1942.75 It could also refer to a fortress from which to open up the country: Joseph M. Piel thought that a northern fortress, named in the original Occitan/ Provençal cata-luonh, meaning “looking afar”, could have been the origin of the name.76 Joan Vernet came to a similar conclusion based on texts by Al-Udri. He thought the Arabic Talunyat could have given its name to a country that opened the way from the east. That being said, neither of the supposed fortresses has ever been located.77

69 Gerónimo Zurita, Anales de la Corona de Aragón (Valencia: Anubar, 1967), vol. 1, p. 49. 70 Joaquim Cases, “Estudis d’etnogenia catalana”, L’Avenç Literari, Artístic, Científic, 3/1 (31 January 1891), pp. 17-18. 71 Ernst Schopf, Die konsonantischen Fernwirkungen: Fern-Dissimilation, FernAssimilation und Metathesis: Ein Beitrag zur Beurteilung ihres Wesens und ihres Verlaufs und zur Kanntnis der Vulgärsprache in den lateinischen Inschriften der römischen Kaiserzeit (Göttingen: Vandenhocek & Ruprecht, 1919), p. 196. 72 Joan Coromines, El que s’ha de saber de la llengua catalana (Palma: Editorial Moll, 1954), pp. 71-83; “Extensió i origen de ‘català’ i ‘Catalunya’”, Estudis, 2 (1970), pp. 159-170. 73 Lorenzo Valla, Historia de Fernando de Aragón, ed. Santiago López Moreda (Tres Cantos: Akal, 2002), p. 84. 74 Andreu Bosc, Sumari, índex o epítome dels admirables i nobilíssims títols d’honor de Catalunya, Rosselló i Cerdanya (Perpinyà: Pere Lacavalleria estamper, 1628 [facsimile: Barcelona: Curial, 1974]), p. 90. 75 Paul Aebischer, “Autour de l’origen du nom ‘Catalogne’”, Zeitschrift für Roma­ nische, 62 (1942), pp. 49-67. 76 Joseph Piel, “Kleine Besträge zur Katalanischen Toponomastik”, Estudis Romànics, 13 (1963-1968), pp. 237-244. 77 Juan Vernet, “¿La más antigua cita de Cataluña?”, Al-Andalus, 32/1 (1967), pp. 231-232; “El nombre de Cataluña”, Boletín de la Real Academia de Buenas Letras de Barcelona, 33 (1969-1970), pp. 133-136; “El nom de Catalunya”…, pp. 31-32.

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There again, it could be an adjective to describe a group of people with similar characteristics: Àngel Pariente derived this terra dels muntanyencs [land of the mountain people] from the linguistic sustrate cata;78 or perhaps, as interpreted by Miquel Carrasquer, from the Almogavars’ use of the Arabic alqattâlûn.79 It is precisely due to the fact that the first mention comes in the 12th century, in the context of a military campaign against Muslim Majorcan pirates who preyed upon merchants coming from Christian lands, that Pere Balañà was to plump for an Arabic origin based on the Muslims’ perception of the territory they were sacking as “the land of riches” (Qat`a al-gunya) or “the land of the rich people”(Qat`a al-agniyâ’).80 Enric Guiter also detects a reference to Arabic with regards to the inhabitants of castles.81 This direct derivation from castles is a recurrent hypothesis from the 16th century82 right up to modern times, either due to the large number of castles throughout the country, as posited in the 17th century by Andreu Bosc,83 or from being named after one particular place, as recently put forward by Barroso, Carrobles and Morín.84 At the turn of the twentieth century, Josep Balari had already related the name not so much with that of castles as with that of their commanders, the castlans.85 This explanation was rapidly adopted by historians, and nowadays is the most widely accepted among them, although not held in such great esteem by the majority of philologists.86 78 Ángel Pariente, “Sobre el origen de ‘Catalán’ y ‘Cataluña’”, Anuario de Filología, 3 (1977), pp. 373-390. 79 Miquel Carrasquer, “Etymology of ‘Català’, ‘Catalunya’”, . 80 Pere Balañà, “El nom de Catalunya: Encara una qüestió pendent”, L’Avenç, 117 (Barcelona: 1989), pp. 39-41; Pere Balañà, “Catalunya, ‘la terra de la riquesa’”, Medievalia, 10 (Barcelona: 1992), pp. 44-53. 81 Enric Guiter, “Catalans-Catalonia”, Revista Catalana, 44 (1979), pp. 13-14. 82 Onofre Manescal, Sermó vulgarment anomenat del Sereníssim senyor den Jaume segon, justicier y pacífic rey de Aragó y compte de Barcelona, fill de Pere lo Gran y sa dona Constança sa muller (Barcelona: Casa Sebastià de Cormellas al Call, 1602), fol. 7r. 83 Andreu Bosc, Sumari, índex o epítome dels admirables i nobilíssims títols d’honor de Catalunya, Rosselló i Cerdanya…, p. 90. 84 Rafael Barroso, Jesús Carrobles and Jorge Morín, “Toponimia altomedieval castrense: Acerca del origen de algunos corónimos de España”, e-Spania, 15 (2013), p. 21. 85 José Balari, Orígenes históricos de Cataluña (Barcelona: Establecimiento Tipográfico de Hijos de Jaime Jepús, 1899 [facsimile: Valladolid: Editorial Maxtor, 2009]), pp. 30-31. 86 Flocel Sabaté, “Les castlanies i la comissió reial de 1328”, Estudios sobre renta, fiscalidad y finanzas en la Cataluña bajomedieval (Barcelona: Consejo Superior

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In any case, it is clear that the choronym Catalonia and the demonym català, as well as the anthroponyms Català and Catalana became widespread in the 12th century.87 Significantly, it is in the same century that the country obtained cultural, political and social cohesion88 utilising the completed network of castles as its basic, institutional framework, with a group of castellans in each of them.89

3. The cohesion of the country and the Catalan nation The crisis of the Carolingian empire was so profound that after Louis II of France granted the counties of Barcelona, Girona and Osona to Wilfred of Cerdanya and Urgell in 878, there was not any other royal designation in the area, because of the incapacity of the monarchy, as similarly succeeded in other territories from Carolingian origin after the death of Charles the Bald in 877.90 The barons of the north-east of the Iberian Peninsula stopped attending far imperial places and challenges and accumulating many titles over different and distant regions, as they had done since the Carolingian establishment. From this time on, they did remain in their respective assigned counties, which became stabilised at the beginning of the 10th century linking different valleys and territoria around the capital of the county.91 Each count based his position on divine right — gratia Dei comes —, keeping the county as his own — comitato nostro — managing the fiscus comitali with full autonomy to promote policies of grants and privatisations, and retaining the power for life, until being succeeded by their own natural descendants. Carolingian authority was respected as a superior referent: up until 952 sporadic visits de Investigaciones Científicas, 1993), pp. 183-184. 87 Flocel Sabaté, “The Medieval Roots of Catalan Identity”, Historical analysis of the Catalan Identity (Bern: Peter Lang, 2015), pp. 58-63. 88 Flocel Sabaté, “Els primers temps: Segle xii (1137-1213)”, Història de la Corona d’Aragó, Ernest Belenguer, ed. (Barcelona: Edicions 62, 2007), vol. 1, pp. 31-81. 89 Flocel Sabaté, “La tenencia de castillos en la Cataluña medieval”, Alcaidías y fortalezas en la España medieval, José Vicente Cabezuelo, ed. (Alcoi: Marfil, 2006), pp. 76-93. 90 Philippe Wolff, “Le Midi franc et seigneurial”, Histoire du Languedoc, Philippe Wolff ed. (Toulouse: Éditions Privat, 2000), p. 131. 91 Flocel Sabaté, El territori de la Catalunya medieval: Percepció de l’espai i divisió territorial al llarg de l’Edat Mitjana (Barcelona: Fundació Salvador Vives Casajuana, 1997), pp. 26-28.

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were made to the royal court,92 where they looked for royal charters that protected goods and rights, probably until 986.93 This does not stop the dynamic of consolidation of the full comital power, sanctioned by the end of the Carolingian dynasty in 98794 and stated by definitions as one said by the Count Hugh I of Empúries in 1019: potestatem quam reges ibi pridem habuerint, iste Hugo comes ibi habebat.95 This situation was also perceived from abroad: in the 10th century the Count of Barcelona was treated like a sovereign in Cordoba.96 Social and economic consolidation in the 9th century facilitated the cohesion of the counties’ territories at the beginning of the 10th century, as well as the occupation of the strip frontier by people led by members of the viscounts’ and vicars’ lineages or high ecclesiastics. This dynamic continued during the following century in the form of feudal armed interventions over the Muslim district of Lleida. Agrarian expansion, the transformative impetus symbolised by the diffusion of mills and the use of metallic tools, and the commercial position between the Muslim south and the European north attested to a shared economic and social progress. Likewise, political vicissitudes had much in common wherever they arose, driven by the growing vigour and strength of new branches of the families of viscounts and vicars, the contestation of the power of the count in the mid-10th century, and the spread of new forms of social organisation based on feudal coexistence and ties in the 11th century. Social order was reflected through a territorial framework based on a completed network of bounded castles, which located each place and each person in a well-defined jurisdictional and fiscal district, and held a feudal linked list of tenants, the castlans.97 At the upper end of the social scale, the houses of the counts enjoyed close diplomatic relations, which 92 Ramon d’Abadal, Els primers comtes catalans (Barcelona: Editorial Vicens Vives, 1983), pp. 297-298. 93 José Rius, Cartulario de ‘Sant Cugat’ del Vallés (Barcelona: Centro Superior de Investigaciones Científicas, 1945), vol. 1, pp. 145-148. 94 Dominique Barthélemy, Nouvelle histoire des Capétiens, 987-1214 (Paris: Éditions du Seuil, 2012), pp. 13-67. 95 Petro de Marca, Marca Hispanica sive limes hispanicus (Paris: 1688 [facsimile: Barcelona: Editorial Base, 1998]), col. 1014. 96 Joan Vernet, “El ‘statu quo’ internacional de Barcelona en el siglo x”, Festgabe für Hans-Rudolf Singer zum 65 Gerburstag am 6 April 1990 überreicht vos seinen Freunden und Kollegen, Martin Forstner, ed. (Frankfurt am Main: Peter Lang, 1991), pp. 515-516. 97 Flocel Sabaté, “Las tierras nuevas en los condados del nordeste peninsular (siglos xxii)”, Studia Historica: Historia Medieval, 23 (2005), pp. 140-152.

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included delegations sent to the royal seat, negotiations with the Muslims or the new Holy Roman power as well as through making dynastic alliances. The cultural panorama reflects this proximity, be it through the common vulgarisation of Latin or their similar path to Romanisation. Thus, the first step was a social, economic, diplomatic and, above all, cultural convergence progressively shared by the counts of the Northeast Iberian Peninsula from the 9th to the 12th centuries.98 The perception of this cohesion from abroad is evident. In a narration from Pisa of the campaign against the Muslims in 1113, the inhabitants of the Northeast Iberian Peninsula are identified with a common demonym. The counties are not the most significant reference points, but the Pyrenees: the Count of Barcelona is rector Pirinee regionis and rules Pirenee gentis generosa potestate. But, above all, he is identified as Catalanicus heros, rector Catalanicus and dux catalanensi, in keeping with his country, known as catalanenses terras, also referred to as catalanensi litore while a member of the community is catalanensis quidem.99 This is the first documentary evidence of the demonym Catalan. The poem is not concerned with the limits of who may be included (could the same adjective be applied to the relatives of the Counts of Barcelona who cooperated with him even though they resided in Provence?), but even so it reflects a qualifier that transcends jurisdictional and political divisions. The demonym gave preference to the general perception that it stems from the inhabitants of the north-east of Iberian Peninsula, even though political or institutional unity remained non-existent. The county agreements of the second half of the 11th century do not cede the right of intervention to the count of Barcelona beyond his zone of jurisdiction, although they do acknowledge his pre-eminence,100 in accord with his position of primacy at the head of three counties centred upon three prosperous episcopal sees (Barcelona, Girona and Vic), his expansion on the frontier through the Marchs of the counties of Manresa 98 Flocel Sabaté, “El nacimiento de Cataluña: Mito y realidad”, Fundamentos medievales de los particularismos hispánicos: IX Congreso de Estudios Medievales (2003) (Avila: Fundación Sánchez-Albornoz, 2005), pp. 227-242. 99 Jaume Vidal, El Llibre de Mallorca (Liber Maiorichinus): Text, traducció, notes i introducció, doctoral thesis, Universitat de Barcelona (Barcelona: 1976), pp. 3-52; Enrico Pisano, Liber Maiorichinus de gestis Pisanorum illustribus, ed. Giuseppe Scalia (Florence: Edizioni del Galluzzo, 2017), pp. 185-455. 100 Flocel Sabaté, La feudalización de la sociedad catalana (Granada: Editorial Universidad de Granada, 2007), pp. 68-69.

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and Barcelona and his clear maritime inclination. This situation was consolidated in the 12th century when the Count of Barcelona assumed an axial position upon annexing the rights and incomes of other county seats (Besalú, Cerdanya-Berga, Rosselló, Pallars Jussà), strengthening his presence as leader in Provence and in the Occitania region and assuming the royal Crown of Aragon.101 Royal status, even though it referred formally to another territory — Aragon — consolidated the preeminent position of the Count of Barcelona in Catalonia: in 1149 the Counts of Barcelona and Urgell made a pact for the conquest of Lleida, and when, in 1187, the pact was renewed, the hierarchical status of each was perceived clearly, one being a king and the other a count. In fact, Alfonso the Chaste was presented to his Catalan subjects as king — ego Ildefonsus rex or simply ego rex — a title which was recognised by all his subjects within the borders of Catalonia, as shown by the people of Font-rubí, in the Penedès, who affirmed their support declaiming clamamus ad regem.102 In effect the sovereign of Barcelona, from Ramon Berenguer IV to Peter the Catholic, strove to rationalise and efficiently manage the accumulated rights and incomes and administer the government and jurisdiction properly at court and territorial level,103 moving ahead with the support of the reception of Roman law104 to incorporate narratives of primacy: iudicaverunt iudices que omnium iniuste opressore in terra sua cura ad comitem de iure spectat, was said of Ramon Berenguer IV in 1162.105 Even so, Alfonso the Chaste’s attempt in 1173 to establish a tax called bovatge laws throughout Catalonia was finally abandoned due to pressure from the nobles in 1188,106 just as his declaration as guarantor of the peace in Catalonia through the assumption of Constitutions of Peace and Truce was contradicted by the count of Urgell who boasted 101 Flocel Sabaté, “Catalunya medieval”, Història de Catalunya, Albert Balcells, ed. (Barcelona: L’Esfera dels Llibres, 2004), pp. 197-205. 102 ACA, Cancelleria, pergamins extrainventari, nº 3288. 103 Flocel Sabaté, “Corona de Aragón”, La época medieval: Administarción y gobierno (Tres Cantos: Ediciones Istmo, 2003), pp. 302-307. 104 André Gouron, “Sur la compilation des Usages de Barcelone au douzième siècle”, El dret comú i Catalunya: Actes del VIII Simposi Internacional (Barcelona, 29-30 de maig de 1998), Aquilino Iglesia, ed. (Barcelona: Fundació Noguera, 1999), pp. 226-236. 105 Flocel Sabaté, “Judici entre el comte Ramon Berenguer IV i Bernat d’Anglesola”, Ilerda: Humanitats, 49 (1991), p. 142. 106 Thomas N. Bisson, L’impuls de Catalunya: L’època dels primers comtes-reis (11401225) (Vic: Eumo Editorial, 1997), p. 41.

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his own sovereignty proclaming in 1187 his Peace and Truce in his domains of Urgell and Ager.107 Indeed, the concatenation of the origins of the country in the autonomy of the different counties in the wake of the royal decline, territorial expansion and the dispersion of the rights and domains inherent to the feudal system had led to jurisdictional and tributary fragmentation that made power pacts obligatory. It is in this very century that the establishment of feudalism culminated, both the social108 and institutional109 framework and the diffusion of the values assumed by nobles and barons.110 Rather than opposing the rising urban power base, the nobility opts to share power with it. It is enough to consider what happened in Lleida after its conquest in 1149 by a feudally organised army. At that time there was immediate compensation of the participants by the distribution of seized goods and the establishment of permanent territorial rights, yet less than 50 years later the nobles retain no more than 12.8% of the lands around Lleida, while 54.5% is in the hands of the emergent bourgeoisie.111 Similarly, in every urban area, from the new ones to those in the county interior, a new social elite has been consolidated, adopting new values such as lucrum, and had gone on to amass capital from various sources and to invest in the manner of businessmen who were not afraid to reinvest their profits in order to acquire more property in and around the city, weaving a real network between the social and economic capital and its region. From this base this emergent bourgeoisie assumed representativeness before their lords, interceding for other neighbours and demanding an institutional recognition that would entitle them to negotiate the fiscal burden imposed by the lord on the population, and manage common aspects such as local tributes and urbanisation.112 Concurrently the Church, in the context of 107 Gener Gonzalvo, “El comtat d’Urgell i la Pau i Treva”, El comtat d’Urgell (Lleida: Edicions de la Universitat de Lleida, 1995), pp. 71-88. 108 Paul Freedman, Els orígens de la servitud pagesa a la Catalunya medieval (Vic: Eumo Editorial,1993), pp. 113-142. 109 Flocel Sabaté, “La feudalització de la societat catalana”, El temps i l’espai del feudalisme, Flocel Sabaté i Joan Farré, eds. (Lleida: Pagès Editors, 2004), pp. 332-344. 110 Thomas N. Bisson, Tormented Voices: Power, Crisis, and Humanity in Rural Catalonia, 1140-1200 (Cambridge, Mass. - London: Harvard University Press, 1998), pp. 120-138. 111 Flocel Sabaté, “Il mercato della terra in un paese nuovo: Lerida nella seconda metà del xii secolo”, Rivista di Storia dell’Agricoltura, 43/1 (2003), pp. 67-70. 112 Flocel Sabaté, “Ejes vertebradores de la oligarquía urbana en Cataluña”, Revista d’Història Medieval, 9 (1998), pp. 130-140.

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the so-called Gregorian Reform, renewed orders and canonries, reached a greater social presence thanks to culminate the network of parishes, improved its legal structure and gained a central position in Catalonia with the revival of the metropolitan See of Tarragona.113 It is in this way that the consolidation of Catalonia proceeded during the 12th century. It is also at this time that it took on its own choronym and extended the use of its demonym. Moreover, the kingdom of Aragon became established and expanded south, above all following the conquest of Huesca in 1096,114 juxtaposing territories and denominations until the embryonic northern kingdom’s name became associated with the entirety. Significantly, the fact that Catalonia and Aragon become established at the same time, but in widely differing ways despite sharing the same ruler, already indicates that the source of the cohesive bond is to be found in each respective society and not the reigning dynasty.115 Intellectuals are in general agreement with regard to the power structure at the end of the 12th century. They see the populus in such significant areas as the receiving of the oath during the coronation or the royal council.116 In fact, in the 13th century European monarchs tried to consolidate their position by presiding over their respective feudal pyramid, and by assuming an identification with territory and people by presenting themselves as, for example, Francie rex.117 It is, thus, that in trying to preside over them recognition is given to nations,118 with sovereigns being able to lead various nations with ease, as exemplified in the cases of

113 Flocel Sabaté, “Església, religió i poder a l’edat mitjana”, Església, societat i poder a les terres de parla catalana (Actes del IV congrés de la CCEPC, Vic, 20 i 21 de febrer de 2004), Lourdes Plans, ed. (Valls: Cossetània Edicions, 2005), pp. 28-31. 114 Carlos Laliena, La formación del estado feudal: Aragón y Navarra en la época de Pedro I (Huesca: Instituto de Estudios Altoaragoneses, 1996), pp. 172-207. 115 Flocel Sabaté, “Els primers temps: Segle xii (1137-1213)”, Història de la Corona d’Aragó, Ernest Belenguer, ed. (Barcelona: Edicions 62, 2007), vol. 1, pp. 62-65. 116 “Toward the end of the century, Peter the Chanter, Stephan Langton and Radulphus Niger (d. ca. 1200) found a place for the populus in royal accessions and made it a participant in the coronation oath. Both Peter and Stephen pleaded for the common people’s participation in important royal decisions — for a popular consilium”. Philippe Buc, “‘Principes gentium dominantur eorum’: Princely Power between Legitimacy and Illegitimacy in Twelfth-Century Exegesis”, Cultures of Power: Lordship, Status and Process in Twelfth-Century Europe, Thomas N. Bisson, ed. (Philadelphia: University of Pennsylvania Press, 1995), p. 325. 117 Bernard Guenée, Occidente durante los siglos XIV y XV: Los Estados (Barcelona: Editorial Labor, 1973), p. 58 118 Léopold Genicot, Europa en el siglo XIII (Barcelona: Editorial Labor, 1978), pp. 127-130.

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the emperors Frederick II or Charles IV.119 In Catalonia the weakened monarchy of the 13th century resisted the pressure of the rising nobility and the demands of the emerging urban upper classes, who sought to limit the effects of the royal pretensions to primacy by affirming the growing weight of social groups.120 In 1283 these groups articulated as estates in the Parliament or Courts, consolidated an institutional framework which limited the power of the king, impeding to promote any jurisdictional or fiscal royal action over the whole of the country, because of the obligatory respect to the different seigniorial domains and rights.121 The dynamism of the urban population and the power of nobles and barons contributed thus to the cohesion of society itself. It was the specific cultural traits of this society, first and foremost the language, followed by the customary way of life, which allowed it to be identified as a specific, unique nation. Foreign consulates spread in the wake of commercial interests and gave assistance to all members of the Crown of Aragon even though they were known explicitly as consulates dels catalans [of the Catalans], de la nació catalana [of the Catalan nation] or de la nació dels catalans [of the nation of the Catalans].122 This was similar to the way in which the college of San Clemente, set up by Cardinal Gil Álvarez de Albornoz in Bologna in 1363 to provide lodging for students from Hispanic Kingdoms, provided one specifically for the natio catalanorum to take in those from the Crown of Aragon.123 In reality, in institutions such as the Studia Generale124 and in the councils125 people were grouped for their affinity and proximity to 119 Gisela Naegle, “Diversité linguistique, identités et mythe de l’empire à la fin du Moyen Âge”, Revue Française d’Histoire des Idées Politiques, 36 (2012), pp. 265266. 120 Flocel Sabaté, “Poder i territori durant el regnat de Jaume I: Catalunya i Aragó”, Jaume I: Commemoració del VIII centenari del naixement de Jaume I, Maria Teresa Ferrer i Mallol, ed. (Barcelona: Institut d’Estudis Catalans, 2011), pp. 61-129. 121 Flocel Sabaté, “El veguer a Catalunya: Anàlisi del funcionament de la jurisdicció reial al segle xiv”, Butlletí de la Societat Catalna d’Estudis Històrics, 6 (1995), pp. 153-154. 122 Flocel Sabaté, “L’idéel politique et la nation catalane: La terre, le roi et le mythe des origines”, La légitimité implicite, Jean-Philippe Genet, ed. (Paris-Rome: Publications de la Sorbonne - École française de Rome, 2015), pp. 113-119. 123 Pascual Tamburri, “España en la Universidad de Bolonia: Vida académica y comunidad nacional (siglos xiii-xiv)”, Espacio, Tiempo y Forma: Serie III: Historia Medieval, 10 (1997), pp. 295-299. 124 Jean-Philippe Génet, La mutation de l’éducation et de la culture médiévales (Paris: Seli Arslan, 1999), vol. 1, pp. 216-217. 125 Santiago González, Las relaciones exteriores de Castilla a comienzos del siglo XV:

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recognised nations. This was the same in the consulates. For example, in Majorca the consulate of the nation of Castilians126 gave assistance to any mercader castellà o portogalès o altra generació d’Espanya [Castilian or Portuguese merchant or any other from Spain].127 When Francesc Eiximenis defined the Catalan nation in the 14th century, he did it by drawing equivalence between it and the demonym — Catalans — and comparing them with other national collectives with regard to such day-to-day things as modes of cooking, concluding that la nació catalana era eximpli de totes les altres gents cristianes en menjar honest e en temprat beure [the Catalan nation was an example to all other Christian peoples in their honest fare and temperance in drink].128 Thus, les nostres maneres [our ways] of doing things shape the identity of the nation. The words belong to the King Peter the Ceremonious, spoken before the Valencian Courts of 1369 in Sant Mateu when he expressed his indignation that the Sardinian revolt was led by the Judge of Arborea, Marianus IV. The latter’s education had been undertaken by King Alfonso the Kind, who took him to Catalonia and left him under the wings of dos cavalers catalans e donà-los per maestres qui els nodrissen a les nostres maneres e lo mostressin servir lo senyor rei nostre pare e nós e amar la nostra nació [two Catalan knights who should be his masters and who should nurture in him our ways and show him how to serve our lord king and love our nation].129 The phrase provides evidence for the affective bond established with the nation, because Marianus of Arborea had been educated to amar la

La minoría de Juan II (1407-1420) (Madrid: Comité Español de Ciencias Históricas, 201), pp. 300-306. 126 Pau Cateura, “El consulado medieval de Castilla en el reino de Mallorca”, Actas del II Congreso de Historia de Andalucia (Córdoba, 1991) (Córdoba: Consejería de Cultura y Medio Ambiente de la Junta de Andalucia/Obra Social y Cultural Cajasur, 1994), pp. 289-296. 127 István Szászdi León-Borja, “Sobre el consulado castellano de Mallorca en la Baja Edad Media”, Anales de la Universidad de Alicante: Historia Medieval, 10 (19941995), p. 218. 128 Francesc Eiximenis, “Terç del Crestià”, Lo Crestià: Selecció, Albert Hauf, ed. (Barcelona: Edicions 62 - la Caixa, 1983), chap. 372, pp. 147-148. 129 Ricard Albert and Joan Gassiot, Parlaments a les corts catalanes (Barcelona: Editorial Barcino, 1928), pp. 37-38; Pere Miquel Carbonell, Cròniques d’Espanya, ed. Agustí Alcoberro (Barcelona: Editorial Barcino, 1997), vol. 1, p. 138; Francisco Gimeno, “Escribir, leer, reinar: La experiencia gráfico-textual de Pedro IV el Ceremonioso (1336-1387)”, Scrittura e Civiltà, 22 (1998), p. 215.

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nostra nació [love our nation].130 It is an affection that engenders solidarity between all members of the nation. In 1357 the selfsame King Peter, in the midst of growing tension with Castile, advised the Pope to promote the Majorcan Dominican Nicolau Rossell to cardinal, on the understanding that this would bring joy to the entire Catalan nation: de la qual cosa és estada feta gran gràcia e fort assenyalada a nós e a tota nostra nació, car jassia que y hagués cardenal d’Espanya, tota vegada era castellà, e de nostra nació jamés no n’i havia haüt tro ara, e com nos convenga que·l dit cardenal vaia en cort de Roma, de guisa que sia honor nostra e de la nostra nació.131 which thing has great grace and is a strong signal both for us and for our entire nation, that those who were cardinal of Spain were always Castilian and never until now one of our nation, and it would please us that aforesaid cardinal should go to the court of Rome, the like of which should be an honour for us and for our nation.

Thus the ruler had to act for the benefit of the nation. Ferdinand I proclaimed this in 1413, considering that after the measures adopted, la nostra nació ne serà amada, temuda e honrada [our nation will be loved, feared and honoured].132 The glory belongs to the nation; as Bishop Margarit proclaimed before the courts of 1454: aquesta és aquella benaventurada, gloriosa e fidelíssima nació de Catalunya, qui per lo passat era temuda per les terres e mars; aquella qui ab sa feel e valent espasa ha dilatat l’imperi e senyoria de la casa d’Aragó [this is the beloved, glorious and most loyal nation of Catalonia, feared for its deeds upon land and sea, that with its faithful and valiant sword has enlarged the empire and lordship of the House of Aragon].133

130 Flocel Sabaté, “Amar la nostra nació”, Sardegna e Catalogna ‘officinae’ di identità riflessioni storiografiche e prospettive di ricerca, Alessandra Cioppi, ed. (Cagliari: Istituto di Storia dell’Europa Mediterranea, 2013), pp. 15-37. 131 Antoni Rubió i Lluch, Documents per l’història de la Cultura Catalana Mig-eval (Barcelona: Institut d’Estudis Catalans, 1908 [facsimile: 2000]), vol. 1, p. 181. 132 Archives Départementales des Pyrénées-Orientales, 1B-209, plec 9, unnumbered loose sheet. 133 Ricard Albert, Joan Gassiot, Parlaments a les corts catalanes…, p. 212.

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Indeed, since everyone belongs to a nation, all actions have an impact on the international concert of nations. Wishing to flatter the Catalan Courts in 1365, Queen Eleanor said: sobre totes les nacions del món la vostra fama e dels vostres predecessors ha resplendit e resplendeix per tot lo món [among all the nations of the world the fame of you and your ancestors has shone and continues to shine throughout the world].134 This being the case, international politics became a competition between nations. That’s why, in 1471, Bishop Margarit, with other deputies, concluded that the blame for civil war lay with foreign interference because, in seeing the once mighty Catalonia in a weakened condition, other nations that had once been victims of its glory were now out for revenge: moltes d’elles dites nacions nos fossen infestíssimes e exosses e en la nostra preclara natió han volgut exercir les venjances de les injúries e dans que de la dita nostra preclara natió per lo passat havien rebuda [many of the aforesaid nations were as an infestation unto us, and of our illustrious nation have wanted revenge for their injuries and harm received in the past from our aforesaid illustrious nation].135 Because of this competition and because of the affective bond to the nation one may even ask for a blood sacrifice, as vouchsafed by Margarit to the courts of 1454: Ni es deu algú meravellar si aquesta dita fael nació, ultra totes altres, crida la conservació de sos privilegis, així com aquella qui els ha guanyat ab sa fidelíssima aspersió de sang e en aquesta sua inmaculada fidelitat [It should cause no surprise that this loyal nation, which has no equal, calls for the conservation of its privileges in the same way that they were won by its faithful spilling of blood! And herein lies its immaculate fidelity].136 This heartfelt assumption of the Catalan nation needs to find its place in the political arena. Even more so when, in the Late Middle Ages, the specific duality between the estates and the monarchy becomes consolidated.

134 Ricard Albert, Joan Gassiot, Parlaments a les corts catalanes…, p. 27. 135 Francesc Carreras i Candi, Pere Joan Ferrer, militar y senyor del Maresme (Barcelona: Imprempta La Renaixensa, 1892), p. 104. 136 Ricard Albert, Joan Gassiot, Parlaments a les corts catalanes…, pp. 209, 212.

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4. The land as the voice of the nation before the king The challenges of the 14th century clearly show the monarch’s inability to overcome jurisdictional fragmentation and establish an efficient, global fiscal system, whatever stated policies and strategies were employed. His dependence on subsidies generously granted by the estates — that is to say, with important compensations through the jurisdictional and fiscal system and without creating taxing precedents — drags the crown into a series of concessions which are made abundantly clear in 1392, by which time only 13.43% of the land and 22.17% of its population are under the jurisdiction of the king.137 In these circumstances the estates invoke not the representation of their own interests but those of la terra [the land]. The duality between the king and the land is crystal clear, and is presented thus by the councillors of Valencia in 1396, when the king is told that due to his fiscal demands it no longer remains clear quan la terra n·és calumniada e quant ne ve a profit de vós, senyor [how far the land is prejudiced and how far it is to the profit of your grace].138 The ecclesiastical and, above all, the noble estates take pains to affirm their rights with regard to tributary and jurisdictional matters. That is, they want recognition that within their domains they enjoy full regiment de gent [governance over the people],139 but do not seek to generate an alternative version of the country to that of the monarchy, as was promoted by the town and city dwellers.140 From their exalted socio-economic positions, the latter group copied the idealized Italian civic model out of self-interest,141 which was consistent with the contemporary lauded ap137 Flocel Sabaté, “Discurs i estratègies del poder reial a Catalunya al segle xiv”, Anuario de Estudios Medievales, 25/2 (1995), pp. 617-645. 138 Josep Maria Roca, “Memorial de greuges que’ls missatgers de la ciutat de València presentaren al rey Johan I d’Aragó”, Boletín de la Real Academia de Buenas Letras de Barcelona, 11 (1924), p. 76. 139 José Ángel Sesma, “La nobleza bajomedieval y la formación del estado moderno en la Corona de Aragón”, La nobleza peninsular en la Edad Media (Ávila: Fundación Sánchez Albornoz, 1999), p. 373. 140 Flocel Sabaté, “États et alliances dans la Catalogne du bas Moyen-Âge”, Du contrat d’alliance au contrat politique: Cultures et sociétés politiques dans la péninsule Ibérique à la fin du Moyen Âge (Toulouse: Université Toulouse-Le Mirail, 2007), pp. 308-355. 141 Flocel Sabaté, “La civiltà comunale del medioevo nella storiografia spagnola: Affinità e divergenze”, La civiltà comunale italiana nelle storiografie internazionale (Florence: Firenze University Press, 2008), pp. 118-125.

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probation that urban society received on legal, philosophical, theological and moral grounds.142 In this context, if we imagine society as a pyramid based upon the towns and cities, Barcelona seeks to enjoy a position of supremacy and even interfere in the Crown’s governance.143 Upon John I’s sudden death in 1396, doubt over wether he should be succeeded by his brother Martin or his daughter Joana, married to the powerful Count of Foix and Viscount of Bearn and Castellbò, came to nothing because the government in the capital steered the issue in favour of the former, taking into consideration the advice of the dead king’s wife in the absence of the young Martin in Sicily, and invoking la conservació e bon estament de la terra [the preservation and good division of the land].144 The Catalan estates and the city of Barcelona again come to an agreement in 1410 after the death of King Martin, when they convene a congregació general de tots los dits regnes e terres sobre la examinació de la justícia de la dita successió [a general concourse of all the kingdoms and lands for the examination of the justice of the succession],145 which in reality leads, after two years of interregnum, to the so-called Compromise of Casp. Disregarding who came out on top and the strategies employed, conceptually one should note that in effect what it was about was to helegir rey d’Aragó [elect the king of Aragon],146 by what the Castilian chronicler called electores [electors],147 leading to the conclusion that lo XI Rey de Aragó e comte de Barcçelona (fou) elegit per la terra [the 11th king of Aragon and count of Barcelona (was) elected by the land].148 Half a century later the conflicts with John II are explained as tensions entre lo senyor rey e la terra [between his grace the king and the land]. Attempts will be made to resolve these tensions by means of a concòrdia

142 Flocel Sabaté, “Municipio y monarquía en la Cataluña bajomedieval”, Anales de la Universidad de Alicante: Historia Medieval, 13 (2000-2002), pp. 276-279. 143 Flocel Sabaté, “Ciudad e identidad en la Cataluña bajomedieval”, Ante su identidad: La ciudad hispánica en la Baja Edad Media, José Antonio Jara Fuente, ed. (Cuenca: Ediciones de la Universidad de Castilla-La Mancha, 2013), p. 211. 144 Arxiu Històric de la Ciutat de Barcelona, fons municipal B-1, llibre 27, fol. 29r. 145 Cortes de Catalunya (Madrid: Real Academia de la Historia, 1904), vol. 8, p. 223. 146 Josep Sanchis, Dietari del capellà d’Anfòs el Magnànim (Valencia: Acció Bibliogràfica Valenciana, 1932), p. 102. 147 Fernán Pérez de Guzmán, “Crónica del Serenísimo Príncipe Don Juan segundo rey deste nombre en Castilla y en León”, Crónicas de los Reyes de Castilla, ed. Cayetano Rosell (Madrid: Atlas, 1953), vol. 2, p. 346. 148 Pere Tomic, Històries e conquestes dels reis d’Aragó e comtes de Barcelona (Bagà: Centre d’Estudis Baganesos, 1990), p. 261.

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del senyor rey ab la terra [concord between his grace the king and the land],149 which was signed in Vilafranca del Penedès in 1461.150 This king/land duality also affects how the nation is understood. The representatives of the estates employ the same duality. In 1422, the city of Barcelona advised King Alfonso the Magnanimous that his policy in the Mediterranean was contrary to the interests of Catalan commerce, and was thus to the advantage of rival nations: los navilis e mercaderia diminueixen e los guanys e profits se’n porten altres nacions [our shipping and merchandise diminish while the gains and profits go to other nations].151 In 1454 Bishop Margarit put this duality between the king and the nation into words before the courts, energetically describing national feeling due to the persistent absence of the king, who is permanently living in Italy: jau la dita nació catalana, quasi vídua, e plora la sua desolació ensemps ab Jeremie profeta, e espera algú qui l’aconsol [the said Catalan nation, almost as a widow, bemoans its desolation like unto the prophet Jeremiah, and awaits someone who will offer consolation]; this was an injustice to a traditionally loyal nation, which he then goes on of portray for the monarch: e creu, senyor, aquesta quasi vídua nació de Catalunya que per la sua innada fidelitat meresca de vostra majestat e de tot altre senyor ésser ben tractada [and believe me, your grace, that for its innate loyalty this widowed nation of Catalonia merits the best of treatment from your majesty and all other lords].152 Seen in this light, the Crown of Aragon is constituted, as indicated by Pere Miquel Carbonell, by the sum of lo rey e nostra nació aragonesa, valenciana e catalana [the king and our Aragonese, Valencian and Catalan nation].153

149 Josep Maria Sans, dir., Dietaris de la Generalitat de Catalunya (Barcelona: Departament de la Presidència de la Generalitat de Catalunya, 1994), vol. 1, p. 163. 150 François Foronda, “Emoción, contrato y constitución: Aproximación a los intentos (pre)constitucionalistas en la España de los años 1460 (Sentencia de Medina del Campo, Concordia de Vilafranca del Penedès y Tratado de Saint-Maur-des-Fossés)”, Por política, terror social, Flocel Sabaté, ed. (Lleida: Pagès editors, 2013), pp. 211-219. 151 Demien Coulon, Barcelone et le grand commerce d’Orient au Moyen Âge: Un siècle de relations avec l’Égypte et la Syrie-Palestine (ca. 1330 - ca. 1430) (Madrid-Barcelona: Casa de Velázquez - Institut Europeu de la Mediterrània, 2004), p. 61. 152 Ricard Albert and Joan Gassiot, Parlaments a les corts catalanes…, pp. 211-212. 153 Pere Miquel Carbonell, Cròniques d’Espanya (Barcelona: Editorial Barcino, 1997), vol. 2, p. 170.

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154 In keeping keepingwith with general European dynamic, the in estates in thethe general European dynamic, the154 estates 13th centh 155 155 13 century Catalonia took a parliamentary articulation. The gentury Catalonia took a parliamentary articulation. The general Catalan eral Catalan Courts not onlywith sanctioned the kinglegal the norms highest— legal Courts not only sanctioned the kingwith the highest the 156 156 norms — the Constitutions, but through their very existence they also Constitutions, but through their very existence they also consolidate 157 consolidate capacity, manoeuvrability and representativeness of the the capacity,themanoeuvrability and representativeness of the estates, 157 estates, encouraging their identification with the a series encouraging their identification with the country viacountry a series via of negotiath158 158 th of negotiations with a weakened throughout the 14 century. tions with a weakened monarch monarch throughout the 14 century. This exThis close conceptual theand Courts the plainsexplains the closethe conceptual relationsrelations betweenbetween the Courts the and General 159 159 General [Generality], the same term in forthe instance, the govmuthe same term in which, forwhich, instance, municipal [Generality], nicipal Girona that explained that in their se decisions se siene ernmentgovernment of Girona of explained in their decisions sien esforçats esforçats e se forsen de procurar so qui és profités a tot la se forsen de procurar so qui és profités a tot lo general delo lageneral terra [wedefeel 160 terra [we obtainprofits all that profits generalobliged to feel try toobliged obtain to alltry thattowhich thewhich generality of the land]”. ity The of theaid land]”. given160to the king in 1363, at a time of grave crisis due to the The aidinvasion, given to was the king in 1363, atestates a time on of grave crisis due the Castilian granted by the the condition oftotheir Castilian invasion, was granted the estates on thespecifically condition ofleads, their being able to monitor and by control it. This being monitor and it. Thisofspecifically leads, del fromGener1365 from able 1365toonwards, to control the creation the Diputació 161 161 onwards, to theDeputation] creation of the Diputació del General in and, al [General in Catalonia and, as a Catalonia consequence, as to a clear of the need tointernal establishcustoms internal to aaconsequence, clear perception of perception the need to establish customs with respect the territories governed other depudepucontrols controls with respect to thetoterritories governed bybyother 162 tations, namely Aragon and Valencia. It was to be the first institution with tributary control over the country, thus establishing a truly fiscal state which was, moreover, not under the control of the monarch but of the estates.163 The Diputació del General, supported by its own economic

154 Bertie Wilkinson, The Creation of Medieval Parliaments (New York-LondonSydney-Toronto: John Wiley & Sons, 1972), pp. 33-90. 155 Josep Maria Mas, Les corts a la Corona catalano-aragonesa (Barcelona: Rafael Dalmau Ed., 1995), pp. 23-32. 156 Josep Maria Gay, “La legislació de la Cort i el control de la seva observança”, L’Avenç, 74 (Barcelona: september 1984), pp. 68-70. 157 Flocel Sabaté, “Estamentos, soberanía y modelo político en la Cataluña bajomedieval”, Aragón en la Edad Media, 21 (2009), pp. 251-273. 158 Ramon d’Abadal considered them “the basic question of the Catalan medieval state” — Ramon d’Abadal, Pere el Cerimoniós i els inicis de la decadència política de Catalunya (Barcelona: Edicions 62, 1987), p. 123. 159 Jaume Sobrequés, “L’estat català a la baixa edat mitjana: Les Corts, la Generalitat i el Consell de Cent”, Cuadernos de Historia Económica de Cataluña, 18 (Barcelona: 1978), p. 45. 160 Arxiu Històric de la Ciutat de Girona, 1.1.1.1, lligall 1, llibre 1, fol. 1r. 161 Montserrat Fibla, “Les corts de Tortosa i de Barcelona 1365: Recapte del donatiu”, Cuadernos de Historia Económica de Cataluña, 19 (1978), pp. 97-127. 162 José Ángel Sesma, “La fijación de fronteras económicas entre los estados de la Corona de Aragón”, Aragón en la Edad Media, 5 (1983), pp. 141-163. 163 Manuel Sánchez, El naixement de la fiscalitat d’Estat a Catalunya (segles XII-XIV)

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base, became directly involved in the political game,164 demonstrated its stability in demanding a fixed headquarters at the beginning of the 15th century165 and adopted an institutional structure in 1413.166 Although still dominated by a socially unrepresentative oligarchy,167 its rationale was based upon the representativeness of the land, thus bequeathing an extraordinary institutional vigour to the duality between estates and monarch that is quite unique in Europe.168 However, since cohesion emerges from the social dynamic itself, royal institutions also adapted and expressed the cohesion of the country. Before the end of the 13th century the figure of the general bailiff specific to Catalonia was consolidated169 and the high royal delegation was defined, going on to become totally consolidated in the following century.170 From 1301, the systematic deployment of royal administration over the territory extended a networked system of districts called vegueries across the whole of Catalonia, based on the socio-economic capitals already in existence, reason why reached a natural consolidation as the demarcational system of the country.171 At the same time, the evolution of the administration took place in line with the consolidation of (Vic-Girona: Eumo Editorial - Universitat de Girona, 1995), pp. 129-134. 164 Federico Udina, “Préstamo de cinco galeras por la Generalidad al infante Martín”, Martínez Ferrando Archivero: Miscelánea de estudios dedicados a su memoria (Madrid: Asociación Nacional de Bibliotecas, Archivos y Arqueólogos, 1968), pp. 487-489. 165 Albert Estrada, Una casa per al General de Catalunya (Barcelona: Generalitat de Catalunya, 2000), pp. 35-54. 166 Isabel Sánchez de Movellán, La Diputació del General de Catalunya (1413-1479) (Barcelona: Generalitat de Catalunya - Institut d’Estudis Catalans, 2004), pp. 99460. 167 Flocel Sabaté, “Corona de Aragón”, La época medieval: Administración y gobierno (Tres Cantos: Istmo, 2003), pp. 386-387. 168 Catalunya constituïa (com els altres estats de la Corona, i també Navarra) un exemple perfecte—potser el més elaborat, junt amb alguns principats alemanys, esp. Württemberg—de ‘Ständestaat’ (‘estat estamental’) [Catalonia constituted (like the other states of the Crown, and also Navarre) a perfect example — perhaps the most elaborate, together with some German principalities, especially Württemberg — of ‘Ständestaat’ (‘corporate state’)]. See Víctor Ferro, El dret públic català: Les institucions de Catalunya fins al Decret de Nova Planta (Vic: Eumo Editorial, 1987), p. 244. 169 Tomàs de Montagut, “El baile general de Cataluña (notas para su estudio)”, Hacienda Pública Española, 87 (1984), pp. 73-84. 170 Flocel Sabaté, “La governació al Principat de Catalunya i als comtats de Rosselló i Cerdanya”, Anales de la Universidad de Alicante: Historia Medieval, 12 (1999), pp. 21-62. 171 Flocel Sabaté, “Els eixos articuladors del territori medieval català”, L’estructuració territorial de Catalunya: Els eixos cohesionadors de l’espai, Flocel Sabaté, ed. (Barcelona: L’Avenç, 2000), pp. 55-70.

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each of the kingdoms or Principality (Aragon, Valence and Catalonia), advancing in fact towards the regionalisation of common officials like, such as the Rational Magister.172 In the 15th century, even the royal council became an organisation based territorially.173 In keeping with the same logic, the courts of 1292 had demanded that royal officials should be natives of Catalonia.174 This demand was repeated by both royal and noble regional and local administrations.175

5. Conclusion: a medieval legacy Catalonia achieved cohesion specifically via the concatenation of earlymedieval convergence; the external perception and internal consciousness of the High Middle Ages; and the institutional development and representativeness assumed by the estates under municipal leadership in the Late Middle Ages. The resulting discourse drew inspiration from contemporary European political argument and benefitted from the weakness of royal power. In short, it fostered a narrative of identity and memory for the Catalan nation in line with the vigour of the estates and the weight of the urban oligarchies. In this way a veritable medieval legacy was generated that crossed the centuries that followed, despite being put to the test by a series of ideological tensions and economic stimuli that, in fact, indicate a new panorama — that of the Spanish monarchy.

172 Rafael Conde, Reyes y archivos en la Corona de Aragón. Siete siglos de reglamentación y praxis archivística (siglos XII-XIX) (Zaragoza: Institución Fernando el Católico, 2008), pp. 62-64. 173 Carlos López, “Notas en torno al consejo real de Valencia entre la Guerra de Castilla y la Conquista de Nápoles (1429-1449)”, El poder real en la Corona de Aragón (siglos XI-XVI). XVº Congreso de Historia de la Corona de Aragón, Isabel Falcón, ed. (Zaragoza: Departamento de Educación y Cultura de la Diputación General de Aragón, 1006), vol. 1/2, pp. 257-264. 174 Cortes de Cataluña, vol. 1/1 (Madrid: Real Academia de la Historia, 1896), pp. 155-156. 175 Arxiu Comarcal de la Noguera, fons Balaguer, pergamins, 71.

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Poetry and Identity Marie-Claire Zimmermann Université de Paris-Sorbonne

I knew the title of my piece immediately. I wanted to discuss forms of Catalan identity as described in medieval literature and, above all, in medieval poetry. I am not speaking as a historian, but rather as a philologist, given that my essay consists of the interpretation of poetic text — rhetorical figures, meter, syntax, tonality, and the particular usage of the Catalan language in each poem — in order to get a view of how the essence of being Catalan is constructed during the Middle Ages, and to identify the origins of the Catalan personality, highlighting some elements that will endure no matter the obstacles or changes that come to pass, up until the present. Now you will ask: why limit yourself to poetry and not take into account prose, as illustrated by two particularly prestigious authors, Ramon Llull and Joanot Martorell? The former produced an undeniably universal body of work, and the latter produced that prodigious novel Tirant lo Blanc, cited and admired by Cervantes in Don Quixote. I would reply at once with two lines of argument: in France these writers are well known and there is a rich bibliography concerning Llull. However, the critics have not focused on the determinant elements of the Catalan identity. Moreover, the length of these works demands a series of studies and not a single presentation. That said, there is another argument that strikes me as even more valid, which is that poetry is the one art that permits the expression of the self, of an individual speaker, of his emotions, of his vision of the world, above all in the case of a great poet with whom an entire people can identify. None the less, I wish to insist even more forcefully that words have power gained through or by linkage to poetry. Let me at once make reference to a highly original work brought to our attention thanks to Martí de Riquer’s edition of the work of the troubadour Guillem de Berguedà

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(Poblet, 1971), and also to a text published in Dietari1 by Pere Gimferrer, under the title Ot de Moncada. They are about a great Catalan troubadour, Guillem de Berguedà who, around 1175, wished to compose a poem unfavourable to his enemy the bishop of Urgell. He wanted to give his verses a certain impact. At that time, as poems were sung, it was necessary to employ a well-known melody in order to accompany and draw more attention to the words. So, he wrote his song based on a very old tune that originated with a certain Ot of Moncada: Chanson ai començada qui sera loing cantada en est son vieil antic que fetz N’Ot de Montcada ans que peira pausada fos el clochier de Vic. (p. 106) Here commences a song That will long be sung To the ancient old tune That Sir Ot de Montcada composed Before the bell tower of Vic Was possessed of stones. (p. 106)

Hence the tune, that is, the melody, had been composed prior to the laying of the first stone of the bell tower of Vic, in other words, before the year 1038. However, Ot of Moncada is nothing more than a name. No other song or verse has been attributed to him. Furthermore, Guillem de Berguedà wrote his poetry in Occitan — called provençal catalanitzat [Catalanised Provençal] by Pere Gimferrer — and thus predates the existence of Catalan poetry. But all these facts become clearer if we understand that Berguedà’s 12th century poem expresses a memory of the creation of Catalan poetry that precedes the existence of a bell tower in Vic, a quintessentially Catalan place. More precisely, these signs and references reveal artistic creativity dating from at least the year 1000. That is to say, they reveal the consciousness of an identity and the perception 1

Pere Gimferrer, Dietari (Barcelona: Edicions 62, 180), pp. 106-107.

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of a continuity that predates the use of Catalan for poetic purposes. In this vein Pere Gimferrer concludes most pertinently: Amb so de bronze, vell i antic, el patriarca Ot de Montcada viu en el temps de l’alba de la nostra literatura [With an ancient voice of bronze the patriarch Ot de Montcada sounds from the dawn of our literature].2 Even the name opens a fabulous perspective on millennial Catalonia for us. For all that, we are indebted to six verses by the troubadour Guillem de Berguedà. In this way, poetry serves to remind us of an individual and collective identity, thereby safeguarding and restoring its hidden signs. On reading and speaking poetry, we, the readers, bring to life the poetic voice, not necessarily with total identification but through an aesthetic and ethical identification. It is for this reason that I will focus on the work of Ausiàs March (1400-1459), above all because he was the first to write his poetry in Catalan. Between the 12th and 15th centuries Catalan poets wrote in Occitan, the language of the troubadours, fully in keeping with a glorious tradition. Ausiàs March’s father, Pere March, and his uncle, Jaume March, also wrote their poems in Occitan. Ausiàs March opens new doors; he is a founding father. While the majority of poets composed between 15 and 20 pieces, he wrote 128 poems, or 10,263 lines: Cants d’amor [Songs of Love], Cant spiritual [Spiritual Song], Cants de mort [Songs of Death], Cants morals [Moral Songs], a complete panorama hinting at a complex identity containing obsessive, reiterative kernels which appear again in the work of later poets who, with the passing of the centuries, become ever more conscious of the multilayered value of certain forms, words and phrases employed by Ausiàs March, so that they appear in collections of poems in the 20th and 21st centuries. There are many remarkable editions of the works of Ausiàs March — for example, those of Joan Ferraté and Robert Archer; also to be recommended is that of Pere Bohigas.3 As all editors agree on the same numeration of the poems, when citing a text, I will simply refer to its Roman numeral (I, II, III…) and the line number. Ausiàs March was imitated by Catalan poets of the 16th century, translated into Spanish during the 16th and 17th centuries, remembered during the 19th and, above all, turned into song by Raimon in opposition 2 Gimferrer, Dietari, p. 107. 3 Pere Bohigas, Ausiàs March, Poesies, 5 vol. (Barcelona: ENC, 1952-1959); new, revised edition, Barcelona: Barcino, 2000.

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to Franco’s dictatorship. Poets cite him in their epigraphs and writings; remember that the cor salvatge [wild heart] of poem XVIII en tot leig fet hagué lo cor salvatge [in everything was the ugly wild heart] (line 23) is borrowed by Carles Riba for his poetry collection: Salvatge cor (wild heart, 1952), and we could write an entire paper on this same subject in relation to the work of Josep Piera and Pere Gimferrer, who uses a line by Ausiàs March in his latest collection of poems published in 2014, Adéu siau vós mon delit… [Farewell You, my Pleasure…].4 I would also draw attention to a prose text in the Dietari, entitled Un poeta modern [A Modern Poet],5 in which Gimferrer speaks of un home com nosaltres [man like us], el gran poeta modern que és [the great modern poet that he is], amb el mateix esperit amb què podem llegir Riba o Carner. Un contemporani [who can be read in the same spirit as Riba or Carner. A contemporary]. Here, within historic Catalan literature, we find a poetic continuity which leads us to look for signs of a Catalan identity in the medieval works of Ausiàs March. It is, however, necessary to insist from the outset on some points that seem to me essential in order to avoid any confusion or simplification. Ausiàs March is a man of the 15th century. He is from Valencia,6 not Barcelona. Well, Llull was from the Balearic Islands and Joanot Martorell was also Valencian. So one has to state here that Catalan identity, so inextricably linked to the language, extends beyond the borders of Catalonia. It is widespread and vigorous, even if history may have separated or isolated the Catalan-speaking territories. Who was Ausiàs March? The poet was a descendent of a public notary from Barcelona called Pere March, who went to Gandia in 1249, after the town was conquered by King James I. During the 14th century the family formed part of the nobility. In 1412 they had civil and criminal jurisdiction over Beniarjó, Pardines and Verniça. Ausiàs March is born in 1400. He is the son of Pere March and Leonor Ripoll and has a deaf-mute brother, Peirona March, whose affairs Ausiàs always administered. At a very young age (1415), he represented the military estate at the Courts of 4 5 6

Pere Gimferrer, El castell de la puresa (Barcelona: Proa, 2014), p. 43. Pere Gimferrer, “Un poeta modern”, in Dietari 1979-1980 (Barcelona: Edicions 62, 1981). [Reprinted in Avui: Suplement “Ausiàs March (1397-1997): Sis-cents anys del naixement” (23.5.1997), pp. 16-17.] CXX, v. 79; CXII, vv. 9-10.

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Valencia. In 1419 he became a knight and took part in the Sardinian and Corsican wars. In 1420 he was at the sieges of Calvi and Bonifacio. He is an aid to the King in the Neapolitan and Sicilian wars and a participant in the Gerba expedition of 1424. King Alfonso grants him privileges and extols the merits of March the knight. From 1425 he becomes head falconer of the king, but for unknown reasons Ausiàs retreats to his own lands and gives up the position in 1428. Even so, the king continues to make reference to the merits of the knight March. Around 1438, Ausiàs quarrels with the city of Gandia, but when the duchy of Gandia became fief of the prince of Viana he dropped his petitions. In 1451 Ausiàs March was the prince’s tax collector in the city. He had a great many cases and administered justice rigorously. He had also built a sugar mill and begun the construction of drains and a bridge. Twice wed (1437, Isabel Martorell; 1443, Joana Scorna), his only offspring were bastards. His last will and testament reveals an undeniable pragmatism. We have here a great feudal lord, a knight steeped in culture, with political connections to the most powerful and an ally of the court of Naples of Alfonso the Magnanimous, although he resided in Valencia to be near the court of Queen Maria, Alfonso’ wife. Basically, we see him wishing to administer his goods and territories, although he is mixed up in various conflicts in a world that was far from unified. He was obliged to live with these contradictory tensions, be they internal or external. Evidently, the Valencia of the 15th century and the current autonomous Catalan area have little in common. Neither should we search in March’s 128 poems for the nostalgia, conflict and critiques that formed part of the defence of Catalonia during the 20th century, above all during the Franco regime. Even so, the act of writing such an extensive piece of work marks a turning point and an innovation in that, for the first time, poetry makes use of everyday language without seeking justification or explanation. Why did Ausiàs decide to break with three centuries of tradition? Modest Prats claimed that poetry needed to be born in the Catalan language because, sooner or later, every country has to invent a vernacular poetry. Yet this argument is less than convincing. It may be so, but does not explain March’s prolific output. We must surmise that the only explanation is that three centuries of codified writing (1100-1400) must have seemed too traditional, too tied to a written system — that

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of the troubadours — to truly have the right to exist in the 15th century. Ausiàs March pronounced a truth that is total, exact, precise and in this regard encapsulates the totality of human life in any time or place. If he was capable of expressing in Catalan what it meant to be an individual pierced by plurality, it is because his poetry was the linguistic expression of a Catalan identity in Valencia. Valencian is Catalan with a particular accent — the same Valencian accent as that of the contemporary singer Raimon who comes from Xàtiva — in the same way that while the people of Girona speak with their own accent, as do those from Lleida or Tortosa, nevertheless the language in all these places is Catalan. Being Catalan is a certain mindset, a way of life, a manner of expression through language and the poetry of Ausiàs March, so it may spread and be free. It is, at the same time, a word both direct and indirect born of the identity which contains and transmits it without necessarily knowing it, and yet which we can, after 600 years, perceive, analyse and interpret. My analysis will consist of the following three phases of reflection, which have emerged from these opening remarks: I. A way of conceptualising the world: el seny. II. Rauxa [rapture] and the inner self. III. Forms of expression and communication: conciseness, silences, proverbs, lyricism, eloquence.

I. A way of conceptualising the world: el seny [common sense] Up to now I have fixed my attention on the Marchian reader who is forever analysing his feelings with extraordinarily heightened tonality. But upon re-reading the work and focusing on the notion of Catalan identity, I became aware of something more essential — namely the use of the nouns seny [common sense, also at times translated as spiritual sense], raó [reason] and enteniment [understanding]. Ausiàs, like many other medieval writers, was undoubtedly a devotee of Aristotle and Thomas Aquinas and a brilliant man who wished to identify the causes and consequences of phenomena and events, to explain and demonstrate them. This is clearly shown by his use of car [because], on [where], donchs [then].7

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Citing CVI, 145-153: Alguns han dit qu·en les coses molt grans, lo contemplar d’elles la veritat és aquest bé; mas axí an errat. Altres an dit qu·en les virtuts usans. Tots an dit ver, e no cascuns per ssi. Lo bé del hom en dues parts se pren: quan veritat l’enteniment entén, e l’apetit a rahó conssentí. Some have said that it is good To contemplate major events and find Truth in them; perhaps they are wrong. Others say that they have seen The good in man in everyday virtues And it takes two forms; When we understand the truth of understanding Our appetite for reason awakes.

I would say that this delight in and celebration of reason is common to Christian philosophers of the Middle Ages, and not only those from Catalonia. However, in March’s poetry one is not simply invited to meditate and deduce: for him, seny is the equivalent of the self, of an idea, a project, a way of being, a constant desire, the basis of an entire life. Note that one of the beloved ladies is called Plena de seny [Full of sense]8 and, in poem XXXIII, the initial praise is unmistakable (5): Ço que yo am de vós és vostre seny [That which I love of you is your sense]. The Self sees an ever greater virtue and aspiration in this seny, and this procures a greater degree of happiness: IV—a la perfi se guia per son seny (40)

7 8

CVI, 2, 385, 393; CVI, 40 Ausiàs March, Cants d’amor.

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VII—Plena de seny tot mon seny vull despendre amant a vós sens algun grat cossegre, e durarà fins que del riu Segre l’aygua corrent amunt se puga atendre. (65) IX—Yo faç tot quant me diu lo pensament, i si hagués tant seny com Salamó, (9) XXVII—l’enteniment no·s dol ni·spot esbatre; (2) IV—And finally the spiritual sense becomes the guide (40) VII—In full spiritual sense I wish to deploy all my senses Loving you though there be no harvest It will endure until the waters of the river Segre Flow uphill (65) IX—I do all my thoughts bid me do And become as wise as Solomon (9) XXVII—There is neither pain nor defeat in understanding; (2)

This spiritual sense — intelligence and understanding — has another meaning: it is lucidity, the clear perception of interior and exterior reality, a logical reaction to evidence, simple common sense. Material reality is undeniable, perceived by all, and to fight against it is futile. XCI (25)—Sí com lo jorn va primer que la nit e d’ella és hun cert demostrament, XCII (195)—Sí com lo vent, segons les encontrades on és passat, de ssi calt o fred gita XCI (25)—Just as day precedes the night Her concerns are just as certain

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XCII (195)—And, depending on where you stand, the wind blows hot or cold.

So, if this seny demands constant observation of the world of the senses, it also at times implies the need for rectification, a wholehearted re-adaptation to nature’s visible changes and to the situation in general. The first stanza of II (8 lines) contains the image of a patron who had abandoned his ship on a beach because the weather had seemed favourable. Suddenly he sees the weather change and heads for an alternative safe haven. I, 1—Pren-m. enaxí com al patró qu en platga té sa gran nau e pens aver castell ; vehent lo cel ésser molt clar e bell, creu fermament d’un àncor assats haja. E sent venir soptós un temporal de tempestat e temps incomportable ; leva son juhí : que si molt és durable, cerquar los ports més qu .aturar li val. I, 1—I am like that captain who, on a beach Leaves his ship and heads for the castle ; Seeing the sky crystal clear and beautiful, Believes firmly he has anchored her safely. Then of a sudden noting an air Of a storm and changeable weather ; Weighs anchor: though all things endure, Finding a safer haven behoves him.

In this stanza the narrator presents and explains a situation to us in terms of events and nothing more. It is the captain’s deduction which leads him to undertake an action that is initially contrary but totally logical and necessary, and herein gives evidence of his seny; he simply must submit to reality. Notice the calm and the rigour with which the poet expresses himself, because he is dealing with a model of behaviour dictated by

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seny here. Equally, it sometimes suits the purposes of March to give examples of a person who shows himself incapable of understanding the nature of reality, lacking reason or seny. In such a case we are shown the always negative consequences of this lack, in order to elicit our condemnation. In general, the lack of seny is presented as bestial, decrepit, bereft of liberty or will. In our survey of his work, we have identified various levels with regard to the loss or absence of seny. Firstly we see the unacceptability of this error when it goes uncorrected in those of a certain position, rank, or well-defined material activity: Pren-m.enaxí com al grosser pagès que bon sement en mala terra met; ultracuydat, pens. aver bon splet d’aquell terreny qui buyda los graners. (VI, 33) Pren-m. enaxí com grosser erbolari qui prop la mar les herbes del bosch cerqua (C, 57-58) Think of me as that peasant Who sows good seed in poor earth; With good care a good harvest From that land full of grain. (VI, 33) Think of me as that great herbalist Who too near the sea plants (C, 57-58)

Poem C alludes to the sailor who is victim of the winds: Semblant me trop al home que navegua, qui per los vents sa persson. és regida dolrre no.s deu, si la’s veu escarnida, caure deu l’om, guiat per via cegua; (C, 5) I am too much like the sailor, Who goes where the winds take him

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Chastise us, O lord, if we should err, Should we go forward blindly; (C, 5)

And here we cite another example of error: y axí com cell qui de Migjorn les terres va encerquant per vent de Tremuntana. (XCVIII, 7-8) And he that at midday the land Nears blown by the Tramontana (XCVIII, 7-8)

There are numerous references to the sea in the work of Ausiàs March. (He knew the sea well — as a knight he had sailed often to the wars in which he took part.) In them the mariners always come to grief because they have failed to see danger looming, as in the following poem, but additionally we contemplate a disaster here because seny has not been sufficient, despite the competence of the sailor, to resolve an incomprehensible, unthinkable situation: CII, 17—Sí com aquell qu·en la mar té maysó e d’aquell art se té per molt sabent, e veu tal temps fora d’esperiment qui, a son juhý, és contra la rahó, e va en part on per null temps no fon, e veritat sa búxola no·l diu: de tot quant féu e dix allí·s desdiu, com creu ses leys que natura confon; CII, 17—If like he who is an old salt And thinks himself wise in his art Encounters such weather as of which he knows not That, to his wise, goes against reason, And goes out of time where he should not, And his compass gainsays him: And everything said all is disdain, His laws are by nature confounded;

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In poem LXXIV, the ship is lost because the sailors fight amongst themselves and lose all grip on seny: 17—Sí com als vents és donada la nau, mentr. és debat als mariners vengut, — ladonchs la nau son camí ha tengut per senya tal qual ans del contrast jau —, 17—If the ship be caught in high winds While the sailors are lost in dispute — Thus the ship’s course has given A signal that will endure for years —,

However, more usually, the poet’s principle reference is to man, to everyman in general. He does not go into specifics of context or position in order to evoke either the immediacy of the situations, or the everyday gestures of the man who has strayed from the good path for lack of seny: 9—Qui son camí vertader ha erat per anar lla hon vol sojorn haver, és-li forçat que prengua mal sender e may venir a son loch desijat. (VI) 9—He who has strayed from the good path In order to go whereso’er he might Must needs take a darker path And never reach his desired abode. (VI)

A person without seny either destroys or is destroyed. This is the Marchian point of view, that the loss of the faculty of good judgment leads men into folly. Ausiàs often makes use of the adverb follament [foolishly] (C, 204) and the adjective foll [mad]: si com l’om foll qui·s fir l’ull d’una broqua: com pus dret fir, sa vista destermena. (C, 215)

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Like the madman who fixes his eye with a needle: He loses his sight, as he must (C, 215)

Ausiàs often makes reference to illness, to the body, and to the sick who have no seny, either because they do not understand the evidence of their condition, or because they use poisons in place of remedies: Sí co·l malalt que no·ntén los senyals del accident e penssa qu·’està bé, e veu pulguó que prestament li ve, o àls pejor que.l descobre sos mals, (CII, 177-180) sí co·l malalt qui no·ntén medessina, pendrà verí cuydant aquell guaresqua, e de sabor amargua sent la brescha e dolssa·l par un amarguant sardina. (C, 37-40) Sí co·l malalt qu·esperiments assaja per a guarir del cos, e amargosos, e són verins per a la mort cuytosos (CXIII, 221) Like the sick man who does not read the signs Of his mishap and thinks himself well, And thinks poison will give him life, And worse things will cure his ills, (CII, 177-180) Like the sick man who knows nothing of medicine, Will take poison to make himself well, And from its bitter taste takes comfort And find it sweet as a bitter sardine. (C, 37-40) If the patient whose experience tries To heal the body through bitter herbs, That are poisons cherished by death (CXIII, 221)

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The characters that emerge from these examples are extremely varied. Depending on the song’s structure, the speaker’s comments are critical yet clarifying. The solemnity of the discourse is in complete harmony with the plasticity of the images, people and situations; the speaker perceives the lesson about seny and at the same time is impressed by the drama or violence of the consequences of defying seny: Malament viu qui té lo pensament per enamich, fent-li d’enuyts report; e com lo vol d’algun plaer servir li’n pren axí com dona·b son infant, que si verí li demana plorant ha tan poch seny que no·l sab contradir. (I, 19-24) He who with constant laments Fills the memories of his heart with anger lives badly; When he wants to take some pleasure He is like a woman with a child, That, crying, asks for poison And she has so little sense, she cannot deny him. (I, 19-24)

In this stanza we find the words qui [who] — man in general, anyone — juxtaposed with the woman who is capable of carrying out a foolish act. She will go so far as to kill her child simply because it asks her for poison. What is noteworthy in this extreme example is the deplorable folly of those bereft of seny. But his project is not just about constructing a typical, universal epic. In fact, in his Cants d’amor [Songs of Love], March alludes to his own contradictory behaviour. While he celebrates reason and “sense”, he also has to confess that his own passions have led him to forget seny and to act foolishly. All of March’s poetry is based upon this radical and constantly renewed contradiction. In poem IX, March goes so far as to state: 9—Yo faç tot quant me diu lo pensament, e si hagués tant seny com Salamó,

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9—I do all my thoughts bid me do And become as wise as Solomon,

And then, in the next stanza: 19—L’om fora seny no pot ser ben usan. Tal me confés ; doncs no·m vullau reptar. 19—The man beyond sense cannot act in good faith. This I confess; Thus, I do not wish to put myself to the test.

In March’s poetry we see the painful conflict between reason and folly and, above all, the story of an intense relationship with seny. The self subsumes seny and love: LXXX, 5—he fet senyor del seny a mon voler, vehent Amor de mon seny mal servit; LXXX, 5—I have made my will the lord of my sense, Having seen my love of sense badly served;

Yet he receives no recompense: e són setz·anys que lo guardó esper. And sixteen years have I been waiting.

The lover confesses thus: no guart la fi, tenint mon seny torbat per lo voler affectat al present. (LXXVIII, 3) Having my intellect disturbed, I hold no hope Of it affecting my present desires. (LXXVIII, 3)

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The issue with seny results in the appearance of new images, the creation of new personae and the substitution of other projections of the self that cannot find any comfort in the world: LXXIV, 3—mon seny és mort, a qui Déu no perdó, 7—e vaig en loch on no vull ser portat; CXXVII, 346—Yo sé lo bé mas faç lo mal XC, 29—Mas dintre nós nostr·enemich portam, qui sense nós lo delit nostre tol; LXXIV, 3—My sense is dead, that God may not forgive, 7—And I go there where I have no wish to go; CXXVII, 346—Well I know the strength of evil XC, 29—We carry our enemy within us, Who, without us, is the sum of our delight;

The fall is so hard that when the I makes allusion to his poems, it is in reference to what, to him, seem their most disconcerting contents. And also to an aesthetic vacuity that can be explained precisely by the fact that he himself no longer can make any claim to seny: XXXIX, 5—lija mos dits mostrans penssa torbada, sens algun art, exits d’om fora seny. XXXIX, 5—They are the verses of a disturbed mind Of an artless man who has no sense.

In the final line of XLVI — well known as a song by Raimon —, we find that the constantly reiterated poetic celebration of love is nothing if not arbitrary, a product of chance and contrary to seny.

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XLVI, 60—A joch de daus vos acompararé. XLVI, 60—I will compare you to a game of dice.

II. Rauxa [rapture], duality and the interior nature of the self

The loss of sense, the desire to recover it, the constant struggle between reason and disorder: these are the essential motives that nurture a certain interior violence, a rebellion against the jo (I) and the world. We can think of rauxa as a type of rage against “impromptu determination” (as the dictionary puts it) that is associated with a deep pessimism that may become manifest. This is recognised as something pertaining to a form of Catalan identity. However, this manner of being, this folly gives rise to the extraordinary linguistic creativity of Ausiàs March. We will now consider some poetic forms of Marchian drama. Firstly, images of the night, of the darkness that engenders fear in the poetic I and its power, are summoned: XVI, 18—que·m cal fugir de cascun loch escur, e de gran por ma pens·ha fet tal mur que·ls penssaments dapnosos li deté; e són aytals que, si d’ells no·s deffèn, ben enfortint la força mal deffesa, tots entraran, sients a taula mesa: tremolar sent ja mon enteniment! XVI, 18—I need to hide in some dark place, Out of fear my thought has built a wall A wall to hold back my dark thoughts; So strong they are that if I do not defend against them, Reinforce my defences, They will sit with me at table: Already I feel my reason shaken!

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Poem XXVIII begins thus: 1—Lo jorn ha por de perdre sa claror quan ve la nit qu·espandeix ses tenebres; 1—The day fears its loss of clarity when comes the night spreading its shadows;

We share the pains of animals, the sick, the schemes of wrongdoers. But in the second stanza we discover the self that feels threatened and yet, at the same time, violent, because its own self-destruction is taking shape during the night. Literally, this equates love of the self with moral suicide. However, in a figurative sense we have here a man who labels himself criminal and victim at the same time: XXVIII, 9—E d’altra part faç pus que si matàs mil hòmens justs, menys d’alguna mercè, car tots mos ginys yo solt per trahir-me : e no cuydeu que·l jorn me’n excusàs, ans en la nit treball rompent ma penssa perquè·n lo jorn lo trahiment cometa; XXVIII, 9—And yet I deem that if one kills A thousand men, save a few out of mercy Then I free all my stratagems to betray me : And care not for the day nor my excuses, Working for years in the night to break my mind For during day, betrayal flies;

The self can never find an appropriate place in which to live and think; its behavior and gestures are violent and chaotic, as in LXXXVII: 277—ma cara és de sa color incerta; cerch lochs secrets e los publichs desvie; lança·m en lo llit, dolor me’n gita fora; cuyt esclatar mentre mon hull no plora.

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277—An uncertain blush has my face; As I wander through secret, not public places; Laid upon the bed my pain takes me; I burst, but my eyes do not cry.

Such disorder leads the poetic I to an ever more extreme attitude because it is unable to find repose anywhere: XLI, 1—volgra ser nat cent anys ho pus atràs; 44—a mi mateix e tot lo món ahir. XLI, 1—Would that I had been born a hundred years or more before; 44—Myself and all the world yesterday,

Two texts evoke the distancing of the Self: CXI, 31—yo visch al món e d’ell desesperat; CXI, 31—I live in this world of which I despair;

In the well-known poem XIII, we see how the self, influenced by Dante’s inferno, gets out and makes a break for it, leaving behind the world of the living and heading for the cemeteries in order to unburden itself to the dead. The vision evokes a desperate image of the author, far from the hustle and bustle of the city: 5—E vaja yo los sepulcres cerquant, interrogant ànimes infernades, e respondran, car no són companyades d’altre que mi en son continuu plant. 5—And I go searching out the tombs, Questioning the souls of the condemned, And they, grateful for the company, respond Only to me with their funereal chant.

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And in poem LXVIII, we see a type of sacrifice and at the same time folly on the part of the I which abandons the warmth of the hearth in winter to go out and walk through the snow, without taking the slightest precaution: LXVIII, 17—Yo són aquell qui·n lo temps de tempesta quant les més gents festegen prop los fochs e pusch haver ab ells los propis jochs, vaig sobre neu, descalç, ab nua testa, LXVIII, 17—I am the one who in stormy weather When the people joyfully gather around their hearths And I could stay and play with them Go barefoot and ill-clad, walking in the snow,

These texts present us with a panorama that serves as a definition: the I has shed itself of seny in order to adopt a mode of behaviour which, above all, translates as the desire to differentiate itself from the rest, to live in complete solitude. But in other cases it translates as folly to constantly run the risk of annihilation. Thus, the self is identified with a series of personae that are on the brink of an extremely violent death. In a way it feels akin to them, comparable with them, while maintaining a negative point of view, overawed and irrational, of a tragic death: LIX, 5—ne pren a mi, qui vull esperiment molt perillós e sens ell no pusch viure: LIX, 17—En lo meu coll veig penjar una mola, e lo gran fons on seré trabucat, si donchs mercè no vol haver tallat la corda fort; mas coltell no esmola. LIX, 29—Yo són aquell qui del carçre l’an tret y ab torbat pas va pendre cruel mort, XCIX, 65—yo só malalt havent lo cors tot sa

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XCIX, 81—No dech morir solament ab coltell: mon cors mig mort deu ser viand als cans mon cor, partit entre corps e milans; LIX, 5—Don’t deny me who wishes to experience Dangers without which I cannot live: LIX, 17—I hung a mole from my neck, And in the depths I will be shot, So if you have no mercy cut The rope; sharpen your knife no more. LIX, 29—I am he who from cancer was saved And unhappily did not meet a cruel end, XCIX, 65—I am sick having such good health XCIX, 81—Don’t just kill me with a knife: My still beating heart should be meat for dogs My heart, shared among cadavers and hawks;

Poem CXXVII, a Lai [Lyric Lay] that exchanges decasyllables for the octosyllable and tetrasyllable and which is, perhaps, one of the last pieces written by Ausiàs March, employs a man who is conscious of his failings and his lack of “sense”: 131—car per edat y só vengut e per seny poch, car puix me viu a l’enderroch, 128—no vaig avant ne torne atràs, camí perdut. 355—que·n nulla part yo·m veig camí mes obres no guarden ull fi, viu só e mort

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24—Mesell me trob: 131—Because of age and sound have I come And for a little sanity, Because how can I live in pieces, 128—I did not advance nor turn back, A lost path. 355—In small part I have walked my path, My works no longer please the eye, Live sound and death 24—Leprous am I:

With arid pessimism the I can do no more than proclaim its pain, making derogatory comments about its personality, questioning itself about its darker side, damning itself: CXI, 31—yo vixch al món e d’ell desesperat; CXVIII, 31—Tostemps fuy cert que yo dins mi portava encontra mi una mala persona: CXV, 63—Qui són aquells que dins lo meu cor criden e par a mi que són vèrmens qui·m morden? CXI, 31—I live in the world and despair of it; CXVIII, 31—I was always sure of what I bore inside I found in myself an unworthy person: CXV, 63—Who are these who in my heart cry And to me are vermin that bite?

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Here we note the violence of the feelings expressed, above all in the choice of verbs, adjectives and past participles. The I has such rage that it finally ends up desiring some sort of inversion of the world, because this world seems insufficient, empty, as in poem CXIV, which reaches a peak (or acme) that is the occlusion of wisdom and the victory of rauxa: CXIV, 61—Lo dia clar volria fos escur, udulaments e plors en loch de cants; no té lo món coses a mi bastants a fer que dol per tostemps no.m atur. CXIV, 61—I would the bright day grow dark, Ululations and cries instead of songs ; The world holds not enough for me Not eternal grief could withhold me.”

However, one of the keys of his poetic system is that this movement between reason and folly leads the I to accept all these contradictions with a good humour born of hyper-consciousness, of an incomparable lucidity: CXIV, 85-88—Així dispost, dolç me sembla l’amarch, tant és en mi enfecionat lo gust! A temps he cor d’acer, de carn e fust: yo só aquest que·m dich Ausiàs March. CXIV, 85-88—Thus disposed, sweet the sour to me seemed, Such is the ill condition of my taste! At times I have an iron heart in a body made of wood: I am he known as Ausiàs March.

And so we come to a definition of the I that encompasses the totality of experience, and in the end a seamless identification between the person and the name of the poet, that is, between the person and the word: language, that is the Catalan language. It is true that the Occitan troubadours recited their names at the end of their poems (Arnaut Daniel), as if

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it were a signature. However, March, in poem CXIV, goes much further: it is the total, visceral affirmation of the word, of the day-to-day language. We will now examine form in the work of March as the transcription in Catalan of the struggle between reason, seny and rauxa, that is, as manifestations of a particular identity, of its procedures and figures, and of a linguistic system with a long history ahead of it.

III. Forms of expression and communication In the first stanza of poem XXIII, we have the essential elements of Marchian poetry; the poet effectively sets out his program in written form: XXIII, 1—Lexant a part l’estil dels trobadors qui, per escalf, trespassen veritat, e sostrahent mon voler affectat perquè no·m torb, diré·l que trob en vós. XXIII, 1—Leaving the style of the troubadour behind Who, in their passion, exaggerate truth, And putting aside my affected desires, A hindrance to me no more, I will tell you what I see in you.

Here trobadors [troubadours] refers to all who write poetry and not just the Occitans. Veritat [truth] is the most important word; the poet has to convey truth without exaggeration, and in order to do so must be the master of his subjectivity; to move from torb [disturbance] to trob [I discover]. Thus, here we find the predominant poetic axis in this firm commitment to tell no lies, to speak with clarity of negativity, drawing out the literal meaning, repeating even the cruellest words, making timely reference to similes in order to underline literal meaning, but always maintaining the same hardness or severity, making no concessions to ornament or superfluity. LXIX—favor ha gran paraula dient ver. (8)

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LXIX—Great words find grace in truth. (8) CIV surprises us with the dry violence with which Ausiàs March

speaks of the political powers of his time, of unjust kings and popes towards whom he feels indignant: 13—Papes e reys fins al estat pus minve, fan lo que·ls plau mas no pas lo que volen. 51—e ja los reys los potents no castiguen perquè·ls han ops y en part alguna·ls dupten. Sí com lo lop, la ovella devora, e lo gran tor, segur d’ell, peix les erbes, axí los reys los pobres executen e no aquells havents en les mans ungles. 213—Vulles haver pietat del bon poble; poneix aquells sients alt en cadira, qui del anyell volen la carn e llana e són contents que feres los devoren! 250—Rey no regeix ne .ls pobles obeexen; 13—Popes and even the least of kings, Do what they like and not what they should. 51—And since the powerful do not punish kings Because they have in some part doubt. And the wolf the sheep devours, And, safe in the great tower, takes the harvest like fish, Thus the kings execute the poor And not those who have claws for hands. 213—Piety is needed to have good people; Punish they who the high seat take,

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They who want the meat and wool And who are content to see wild beasts devour them! 250—King does not govern nor people obey them;

The Cants morals, which form the longest texts of his work, define an ethical stance closely linked to Christian faith, and this is confirmed in the Cant spiritual. However, most notable here is his overarching political vision, the questioning of power and justice, and the reflections on the society known to March, which he condemns with absolute severity. The poetic man, basing his work in the Catalan language, is essentially someone who does not let appearances deceive him, who has no faith whatsoever in slogans. March does not accept spontaneous submission to authority. He is a sceptic whose desire is to formulate his doubts, and this he sets out to do believing in his intellectual capacity and his knowledge of reality. Time and again he alludes to divers mythical personae and certain legends, only to declare them obsolete and inadequate given his own historical situation. Throughout his work one detects an implacable, facetious humour, well illustrated in two texts — CXXII A and CXXII B — that March addressed to King Alfonso the Magnanimous when he asked him for a falcon. He concludes with an item that has nothing to do with his letter and is clearly malicious; 41—Mon car senyor, tot hom cerca delits, segons cascú sa qualitat requer, mas a present la dona i el diner són los déus dos en lo món favorit. 41—Your Grace, all men enjoy, In measure of their stature’s requirements, More of the ladies and the money They are like gods, favored in this world.

In addition, in CXXII B, Ausiàs is partly ironic in the Tornada [Return], announcing that if he receives no reply he will come and visit “swimming”. Then, in the Seguida [Following] we can surmise that the praise

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of the Dona [Lady] — Lucrezia d’Alagno — is proof of the freedom with which the poet spoke of the powerful and to the powerful. Given that for March the truth is paramount in his poetry, he always insists upon the materiality of the world. I will not refer to his realism (because it is a modern term with a 19th century derivation) but with his obsession for concrete reality, for situations as perceived by the senses, and particularly to the omnipresence of direct references to the human body. Sometimes this reality is hard hitting, even somewhat vulgar, and the poet lowers it further or ridicules it; his language is precise, real, crude, prosaic. XCV, 46—e li doni lo derrer besar fret, XCIV, 86—car tota carn a vòmit em provoca CXIX, 63—e veu bon polç, e sa vida descréxer ab bon cervell, cor, ventrell, melsa, fetge: CVII, 85—Toni amich votre carn és ja fem. XCV, 46—And give his arse the cold kiss XCIV, 86—All this flesh makes me want to puke CXIX, 63—And look at how life withers For all its brain, heart, stomach, spleen and liver: CVII, 85—Toni my friend, your flesh is already weak.

His phrases carry a certain aridity, with few adjectives, a predominance of the verb ésser [to be] which is used to define, but which exists also alongside the most painful lyrical couplets, with their exclamations beautifully enriched by their similes and metaphors. There seamlessly exists, thus, a high level of familiarity with a certain relativity in March the Valencian’s style, and I see this as linked to the identity of the man who first wrote poetry in Catalan. Both high-minded and intellectual, it all sits in perfect harmony with the joker. XCIX, 92—a quatre peus deu anar qui no·u creu 117—Lo cinquèn peu del moltó ab gran cura yo he cercat — e no·n té sinó quatre!

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XCIX, 92—I should go on all fours, believe it or not 117—With great care I have examined the fifth leg of the ram — And he only had four!

March speaks as if his message had to be understood, and easily, by not one audience but two: the cultured gentlemen and the unlearned. This is part of Catalan identity, of the personality of Catalonia. One only needs to read the 20th century poets to comprehend this essential aspect already evident in March. Consider, for instance, Josep Carner and Carles Riba, writers who knew how to represent and symbolise the reality of Catalonia during and after the Civil War. Connecting all of these traits in March’s writing — truth, humour and familiarity — is a natural brevity and a constant delight in the use of proverbs, or, more precisely, of poetic lines with a proverbial turn. It should be recalled at this point that Ausiàs March had a copy of Ramon Llull’s Liber Proverbiorum in his library. Some lines of verse present us with personal experiences that allow us to reach a definition of Self that is antithetical and callibrated: XCIX, 5—yo am mon dan, e mon bé avorresch; XCIX, 65—yo só malalt havent lo cors tot sa, XCIX, 1—Aquesta és perdurable dolor. XCV, 43—mon corn de carn és pus fort que l’acer XCIX, 53—I love my pain, and my cultivated aversions; XCIX, 65—I am sick in a healthy body, XCIX, 1—This is pain that will last. XCV, 43—my living cone of flesh is stronger than steel

The most notable of the proverbial lines are formulas of a general kind which speak of universal man and which contain unchallengeable truths. Researchers believe them to be proverbs of March’s own device rather than proverbs of the period: VI, 44—negre forment no dóna blancha pasta, ne l’ase ranch és animal corrent;

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VII, 4—manxa bufant orgue fals no ret fi. CXXII B, 49—La carn vol carn — no s’i pot contradir XCIV, 103—La carn vol carn, l’arma son semblant cerca, CXXVIII, 230—L’ome és de carn i no de fust; CVI, 39—en camps sembrats de diners, honor creix. CVI, 488—homs en bell ort són los hòmens del món. CVIII, 64—Foll és aquell qui·l vent fermar volia. VI, 44—Black wheat does not produce white flour, Neither does the lame ass run; VII, 4—Pumping a false organ does not make a good hat. CXXII B, 49—Flesh desires flesh — this cannot be denied XCIV, 103—Flesh to flesh, souls seem alike when near, CXXVIII, 230—Man is flesh, not wood; CVI, 39—In fields sown with gold, there honour grows. CVI, 488—Men of the best sort are the men in the world. CVIII, 64—Foolish is he who wishes to tie down the wind.

Furthermore, throughout his work the poet cites the words of others in dialogues and also in mythical figures as in poem VII, 49, when Eve speaks to Adam: Adam, mengem d’aquest bocí [Adam, let’s take a bite of this]. Be that as it may, what is a constant is his capacity to listen, to provoke the poetic intervention of the listener:

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XIX, 7—Hohiu, hohiu, tots los qui bé amats, XIX, 7—Hey, hey, all you lovers,

What is sought is a form of call and response: this is a predominant theme in March’s poetry. Here we see a certain form of the Catalan identity, although the phenomenon is more complex as there are lines in which the I is unable to speak, because he feels unable to find the right words. In part the speaker insists on his pain, but the real cause of his silence is inadequacy of the I with regard to language, due in large part to this making of his language into a poetic absolute. As examples we quote: XVII, 10—e dins mi plor e calle com a mut, LV, 35—yo, gran parler, dos anys só mut estat: LXXXIV, 33—Ab gran voler de parlar, yo fuy mut, per no trobar rahó qui·m satisfés a ma dolor, que bastament digués; XVII, 10—While inside I cry I am silent as a mute, LV, 35—I, the great speaker, two years have been mute: LXXXIV, 33—With great desire to speak, I was mute, Unable to find satisfactory cause For my pain, so basely stated;

This is not simply tristor [sadness] like love sickness — that of the Occitan troubadours — but rather an inability to speak. There is a mighty conflict between subjectivity (the heart) and language (the tongue). We see in poem LXIX the extreme to which expression and language are accompanied by fear and physical/mental disorder: LXIX, 41—No trob en mi poder dir ma tristor, e de açò n’ensurt un gran debat: Lo meu cor diu que no·n és enculpat, car del parlar la lengua n’és senyor. La lengua diu qu·ella bé ho dirà,

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mas que la por del cor força li tol, que sens profit està, com parlar vol, e, si ho fa, que balbucitarà. LXIX, 41—It is beyond my power to express my grief, And this provokes a great debate: My heart pleads it is not to blame, As of speech the tongue is lord. The tongue will say what it will, No matter what fears the heart, That profits not, as it speaks so much, And if it does, will only babble.

This metalingual debate is that of a poet and is to be found in other medieval authors. However, if we look at the 20th century we note that, for various historical reasons, the use of this threatened language is what sometimes leads to this silence, or, more precisely, to the vindication of silence (Salvador Espriu, Blai Bonet), because it signifies the rejection of despotic authority. March’s demand of language that it must take priority, be exact, is not based on the same reasons as the defence of Catalan during the 20th and 21st centuries. That said, both medieval and contemporary poets see the key to identity in the language. It was Ausiàs March who inaugurated this belief, and the writers of today believe even more fervently in the perpetuation of the Catalan language. Finally we must ask another question: what was the space, the territory of the 15th century poet? As we have seen, Valencia, but the I is also a traveller, a sailor who has fought in the Mediterranean and knows it perfectly. Scholars have written much about the role of the sea in the work of Ausiàs March, and it is clear that the medieval I takes for granted the presence of the sea in his poems and uses it to delineate the perils and disasters of mariners and to invent images of the storm. In XLVI (sung by Raimon), LXXIV, LXXXII, C… the idea of shipwreck predominates, and particularly the obsession with the impossibility of making land: LXXXI—1—Axí com cell qui.s veu prop de la mort, corrent mal temps, perillant en la mar,

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e veu lo loch on se pot restaurar e no. y ateny per sa malvada sort, ne pren a mi, […] LXXXI—1—Like he who sees his death draw nigh, Running before ill winds, at peril upon the sea, And spies the place where he might find safety But takes no heed of his evil fate, Nor of me, […]

All Catalonia’s history has been affected by its relation with the Mediterranean: we call to mind the medieval Cròniques and the volume Cementiri de Sinera, by Salvador Espriu. These reveal to us clearly how Catalonia acquired so much knowledge of other seafaring nations, it is a political theme, a literary theme, a theme through which Catalan identity is realised. Even so, we have to recognise the extent to which it is impossible for Ausiàs March to find a place that could offer him a certain harmony. He looks for it in the sea but finds nothing more than a solitary beach, which serves for him to produce this Dantesque depiction: LXXVI—1—On és lo loch on ma penssa repose? On serà, on, que mon voler contente? Ab escandall yo cerch tot fons e tente, e port no trob on aturar-me gose. Lo que dabans, de tot vent me guardava és envers mi cruel platja deserta: vagabunt vaig, la casa qui m’és certa; treball és gran en part on yo vagava. LXXVI—1—Where is the place where the mind can find rest? Where will it be, where, that I find that which I desire? Vainly I probe the very depths of the sea, And no port do I find wherein to anchor me. That which protected me from ill winds before Has become a cruel, deserted shore:

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I am a vagabond that wanders lost in his home; All are troubles where before I wandered.

Here the lyrical side of the poet comes to the fore, allowing him to state his solitude to be total wherever he may be, and that he is no more than a vagabond, because vagar [to wander] is to be stagnant. Then, in poem CXI, which has always seemed enigmatic to me, the Self compares itself with someone who has, without motive, abandoned the country with a firm resolve to never return while children and friends wail their lament. As Jaume Torró has so rightly noted, we have here a memory of Ovid’s Tristia, even though in Ausiàs March the theme is not exile, but rather one of an inexplicable individual decision. The stanza clearly does not coincide with March’s personal history, nor is this some sort of premonition; nonetheless, we can comprehend why poets of the 20th century, Carles Riba, for example, finding themselves in exile — abroad or at home — should recall these verses written in the 15th century. Thus, through the use of language the identity of a broad-based Catalan community, oppressed to the point that the flower of the nation was forced to leave the country, survived through poetry: CXI, 1—Axí com cell qui·s parteix de sa terra ab cor tot ferm que jamés hi retorn, deixant amichs e fills plorant entorn, CXI, 1—Thus like a sky that is severed from its land Heart set upon never returning, Leaving friends and children wailing all around,

To speak of space by necessity implies the temporal reference, or, more exactly, March’s concept of time. In XLI, the Valencian writes as if it were trivial: 1—Volgra sser nat cent anys ho pus atràs, 1—Would that I were born a hundred years before,

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He often evokes the past of Greece or the Romans (such as Seneca), this or that non-Christian model, while constantly proclaiming his Christianity: Catòlich só mas la fe no m’escalfa. (CV, 185) Catholic so the faith doesn’t burn me. (CV, 185)

His is a rather pessimistic vision of the future. He foresees a possible decadència [decadence] in the world; yet, as we have seen, the I continually affirms its capacity for speech, even in the at times melancholy final poems. So, in CXXVIII the poet concludes that he has expressed himself, but that art is not enduring and that he alone has decided where to end the text: CXXVIII, 695—No vull dir pus d’ací avant per no ser dit feixuch per lonch; per ço lo meu parlar estronch. CXXVIII, 695—I do not mean to speak of this henceforth So as not to be called a churl for long; Wherefor my speech is cleft in two.

Identity is being affirmed through a perfect, poetic consciousness or awareness, that is, through skilful use of Catalan, whether spoken, written, told, face to face with partners who are notified, interpellated, and who share the language, that is, the same identity, throughout history.

Conclusion Ausiàs March is a universal poet because in his poems he writes about all the most intimate aspects of mens’ lives when faced with death, which is the annihilation of the self (CXII, 32)

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CXII, 11—O, Mort qui tols a tot vivent la vida! CXII, 11—O, Death that accompanies us all through life!

At the same time he explores the world and society with lucidity, alluding to the powerful and to wealth in a language that any modern poet — not only Catalan but also European — is able to understand completely. The Catalan tongue brings his poetry to life, allowing him to use words like desésser [decease], providing the poetry with an ontological sense: CXII, 32—Qui pot pensar la dolor del desésser? CXVI, 107—e volgra yo primer lo meu desésser CXVIII, 43—e la dolor que·s pren en lo desésser, CXII, 32—What must pain make of ceasing to exist? CXVI, 107—And I, above all, desire that I decease CXVIII, 43—It is the pain one feels upon ceasing to exist,

The works of Ausiàs March take pride of place in Catalan literature, in which they represent an enormous first chapter which has never lacked readers or listeners. Let the word be spread: he is, in my opinion, the greatest European poet of the 15th century. Thus we have seen how, through medieval poetry, Catalan identity is revealed in a powerful and brilliant way. In 16th century France there was one great writer — not a poet — who remains as modern, as contemporary, as free: Michel de Montaigne.

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Catalonia’s Influence in the World of the Late Middle Ages: The Role of the Overseas Consulates Antoni Riera i Mel is Universitat de Barcelona Institut d’Estudis Catalans

1. Introduction In the Late Middle Ages Catalans navigated the Mediterranean basin and a large area of the North Atlantic for commercial reasons, establishing colonies in the principal centres of trade. How did local populations distinguish them from other foreign communities? What were their symbols of identity? Who defended their interests beyond the borders of the Crown of Aragon, and how? Why was their naval code adopted internationally at that time? Foreign policy before 1450 was, at least in theory, the prerogative or monopoly of “the executive”.The sovereign and his principal advisors conducted relations between states through the agency of ambassadors. Before departing, these plenipotentiaries were given extremely precise instructions with regard to which areas they could deal with and the limits to their power to make agreements. Once negotiations came to an end, the royal agents returned home at once to advise on the results. This generated a large number of documents which, in the case of the Crown of Aragon, have been conserved in the registry of the royal chancellery and in the royal and diplomatic document archives. Negotiations leading to peace treaties, truces, alliances, dynastic links, tax concessions, commercial rights, compensations for theft, and aggression against persons or property were conducted in this way, as was the exchange of intelligence. Before the mid 15th century, permanent ambassadorial representation with extraterritorial rights did not exist. Once an interstate alliance had been sealed via dynastic linkage, a princess and her entourage set up a form of lobby upon arrival at their destination to represent their homeland. The Holy See were pioneers in creating a network of embassies and a specialised diplomatic corps. Other states were quick to follow their example.

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At the same time as these official overseas deployments another type developed, but this time the leading figures were merchants. Both expanded at their own pace, with their own principal players and styles. Their advance was not synchronised, nor were their results comparable. In the great majority of cases, merchants and sea-captains arrived in advance of the royal representatives; they opened the way autonomously, taking the costly risks upon themselves. Almost everywhere, however, they were the last to receive official sanction and above all, the last to enjoy the benefits of what they had achieved de facto. Catalan mercantile expansion in the Late Middle Ages represents a complex phenomenon of forms and development that is chronologically obscure. It constituted a concentric deployment that spread from the coasts of Iberia and advanced east to the shores of Syria, to the ports of the North Sea and, in the west, to the Canary Islands. The spread and reach of Catalan commerce in the Mediterranean and the Atlantic should not be conceived, however, as a number of radial axes, each of which extended linearly and independently over time. It should rather be understood as an interconnected system, a network where the nodes were tightly interwoven, where the dynamic of each affected the rest: what happened in the Alexandrian market had repercussions on activity in Barcelona or Majorca, Flanders or Provence, and vice versa. Within this mercantile web created by Catalans between 1200 and 1500 it is possible to identify a central and two peripheral zones. The nucleus consisted of the western Mediterranean. The more extensive perimeters began at the straits of Sicily and Gibraltar respectively and extended to Alexandria and Damascus in the east, and from Bruges to the Canary Islands in the west. Meanwhile, territorial expansion of the Crown of Aragon in the central area had placed an important number of safe ports within the reach of Catalan merchants, where they were better able to exploit their fiscal and commercial status.

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2. Catalan foreign trade in the Late Middle Ages The first overseas area explored commercially and militarily by the Catalans was the Balearic Islands, where mercantile activity is documented from 1187. The second area of commercial penetration was, from 950 on, in the Maghreb of North Africa. This was the destination for a network of sub-Saharan gold or slave caravans, and also for the spices and luxury articles from the Far East which flowed into the western Mediterranean. From around 1200, somewhat later than the merchants of Genoa, Pisa or Marseilles, Catalan merchants and ships were to be found in Tunis, Bona, Bugia, Algiers, Oran and Honein. The conquest and colonisation of Majorca gave Catalans naval supremacy along the coasts of the Maghreb. In addition, Jaume I leased mercenaries and ships to the Hafsid and Zayyanid sultans, sold them peace, and promoted economic activity among the subjects of the principal trade centres of the Berbers. Although Catalan influence initially covered the entire Maghreb from Tunis to Saale, following the Treaty of Monteagudo (1291), Morocco was conceded as a Castilian area of influence. Catalan influence was thereafter confined to the Sultanates of Bugia and Tunis, leaving the central Maghreb to their Majorcan brethren. On the Barbary Coast, Majorcan and Valencian merchants sold oil, wine, nuts, timber and French cloth: in exchange they imported leather, skins, wax, figs, dates, corn, wool and alum — not to mention slaves and ivory from sub-Saharan Africa, and oriental spices.1 The balance of payments, with the added support of the contraband trade in arms, raw materials needed for naval building and “invisible exports”, that is, shipping and military services levies, was almost always favourably profitable for the Iberian businessmen, who obtained large amounts of gold coin. Commercial relations with Sicily gradually intensified until, during the first half of the 15th century, they reached an unparalleled level in 1

Claude Carrère, Barcelona 1380-1462. Un centre econòmic en època de crisi (Barcelona: Curial, 1977-1978), vol. 2, pp. 112-119; Maria Teresa Ferrer, “Catalan Commerce in the Late Middle Ages”, Catalan Historical Review, 5, (2012), pp. 29-58; Antoni Riera i Melis & Gaspar Feliu, “Les activitats econòmiques (segles XIV i XV)”, Història de Barcelona, J. Sobrequés, ed. (Barcelona: Enciclopèdia Catalana - Ajuntament de Barcelona, 1992), vol. 3, pp. 137-272.

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the foreign trade of Barcelona. Eastbound shipping routinely docked in Palermo, Messina or Syracuse to take on or unload cargo. Catalonia imported cereals, sugar and cotton from Sicily, and exported locally produced textiles, arms, coral, olive oil, rice, saffron and also high quality cloth from Flanders, Occitania and England.2 Strategically placed on the route to Sicily, Tunisia and the East, Sardinia represented a safe port for Catalan seamen sailing the Tyrrhenian Sea as well as an anchorage supplying raw materials, farming implements and a small demand for manufactured or luxury goods. Catalan and Majorcan traders obtained two especially valued products from the island; silver and coral, as well as cereals, salt, pasta, cheese and skins. In exchange they sold cloth, olive oil, nuts, honey, rice, saffron, wine, hemp and clay.3 The ports of Campagna and Calabria were integrated into the Catalan maritime network in the first quarter of the 15th century as possible vertices in the Catalonia-Sardinia-Sicily triangle. Catalan and Majorcan traders circulated Ibizan and Sardinian salt, Sardinian cheese and skins and Sicilian sugar. Their purchases were mostly limited to high quality wine and sulphur. After Alfonso the Magnaminous’ conquest of the Kingdom of Naples (1436-1442), Catalan commercial activity in the Italian south gradually increased and diversified; Naples became a staging point along the route from Barcelona to the East. On the outward leg of the voyage, merchants unloaded large quantities of cloth from Majorca, the sale of which returned a healthy profit which was spent on spices in Alexandria or Damascus.4 Ibizan and Sardinian salt continued to be the second most important Catalan export to Naples, followed, at a far lesser scale, by honey, rice, and nuts. Imports were principally Calabrian wines, flax, cereals, sulphur and alum.5 2

3 4 5

Claude Carrère, Barcelona 1380-1462, vol. 2, pp. 121-123; Mario Del Treppo, I mercanti catalani e l’espansione della Corona d’Aragona nel secolo xv (Naples: L’Arte Tipografica, 1972), pp. 143-152; Maria Teresa Ferrer, “Catalan Commerce in the Late Middle Ages”, p. 35; Antoni Riera i Melis & Gaspar Feliu, “Les activitats econòmiques (segles XIV i XV)”, pp. 202-201. Claude Carrère, Barcelona 1380-1462, vol. 2, pp. 93-94, 96, 98 and 99; Maria Teresa Ferrer, “Catalan Commerce in the Late Middle Ages”, p. 36. Mario Del Treppo, I mercanti catalani e l’espansione della Corona d’Aragona, pp. 172-173. Claude Carrère, Barcelona 1380-1462, vol. 2, pp. 99-108; Mario Del Treppo, I mercanti catalani e l’espansione della Corona d’Aragona, pp. 183 and 202-210; Maria Teresa Ferrer, “Catalan Commerce in the Late Middle Ages”, p. 36.

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In all these eastern Mediterranean markets, Catalan commercial expansion preceded and prepared the way for the territorial expansion of the Crown of Aragon. In return, merchants were guaranteed safe ports and freedom of trade, with tax exemptions in the conquered territories. Politically, the limits of the imperialism of the “confederation” remained between the straits of Sicily and Gibraltar; Catalan merchants and sea-captains faced aggressive competition from Italy and the coastal states of the Mediterranean and North Atlantic which were able to employ their own technical resources and strategic knowledge. Given the high level of risk involved, only the most experienced and economically sound were able to operate with regularity. Even so, the volume of trade with the Sultanate of Egypt and Flanders and its associated profits had become the dynamic factor, the motor that drove the foreign trade of the “confederation”. For the merchants of the western Mediterranean and the Adriatic, the Middle East and the shores of the English Channel including the area around Calais had, since the 8th century, become two highly profitable and commercially complementary zones. In the Middle East, the principal destinations were Alexandria, Damascus6 and Beirut. In the East, Catalan, Majorcan and Valencian traders above all purchased spices (pepper, ginger, cinnamon, cloves, nutmeg and mace), as well as, although in much smaller quantities, textile fibres and dyes, fine cloth, alum and slaves. Their exports were predominantly textiles, either produced locally or Nordic in origin, and coral; there was also some trading of saffron, skins, honey, olive oil and nuts.7 With time, expert opinion with regard to the commercial balance of this trade has been modified: up until the 1960’s accepted opinion was that, given that the Catalans bought luxury goods from the East and exchanged more mundane items, the overall balance must have shown a systematic deficit which would have to be covered with silver; later studies are far less pessimistic. They argue 6 7

Until 1401, when, as a consequence of Tamerlane’s Tartars’ burning of Damascus, it lost its role as central distributor of Asiatic products for western markets. Damien Coulon, Barcelone et le grand commerce d’Orient au Moyen Âge (Madrid-Barcelona: Casa de Velázquez - Institut Europeu de la Mediterrània, 2004), pp. 307-427 and 429-483; Claude Carrère, Barcelona 1380-1462, vol. 2, pp. 129132; Mario Del Treppo, I mercanti catalani e l’espansione della Corona d’Aragona, pp. 71-78; Antoni Riera i Melis & Gaspar Feliu, “Les activitats econòmiques (segles XIV i XV)”, pp. 209-210; Maria Teresa Ferrer, “Catalan Commerce in the Late Middle Ages”, p. 42.

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that the imbalance caused by the global value of the flow of both types of merchandise, due to the above mentioned qualitative asymmetry, would be largely, if not completely, covered by the systematic profit in the exchange of “invisible exports”, as is the case today in shipping and other services.8 This hypothesis is confirmed by the testimonies of highly qualified witnesses at that time, like the councillors of Barcelona who, on 20 August, 1453, reminded Alfons the Magnanimous that the commerce with the Near East was “foment, cap e principi de tot negoci; e perturbats los afers de Levant, en gran part són desviats tots los altres” [the principle motor of all trade; if the affairs of the Levant are disturbed, so then are those of the rest in great measure].9 Dating from the end of the 13th century, the English channel, Calais and the southern shores of the North Sea had become the north-eastern limit of Catalan mercantile activity. The Catalans sold spices in Flanders. These were condiments that, with the exception of saffron, were brought from a great distance, having been purchased in Alexandria, Damascus or Beirut. They were exotic and expensive products that did not need any processing whatsoever; the Catalans simply controlled the trade. In exchange they acquired high quality cloth made from English wool and dyed with alum and other oriental tints. This guaranteed a high profit for local artisans which in turn proved a dynamic motor for the internal market.10 Most authors argue, based on information that is not catalogued or quantifiable, but is extremely telling, that sales did not compensate for purchases11 and that the deficit could not be compensated for by “in8

Claude Carrère, Barcelona 1380-1462, vol. 2, p. 133; Mario Del Treppo, I mercanti catalani e l’espansione della Corona d’Aragona, pp. 133-134; Claude Cahen, Orient et Occident au temps des croisades (Paris: Aubier, 1983), pp. 133-134; Damien Coulon, Barcelone et le grand commerce d’Orient, pp 488-491. 9 Antonio de Capmany, Memorias históricas sobre la marina, comercio y artes de la antigua ciudad de Barcelona, 2nd ed. (Barcelona: Cámara Oficial de Comercio y Navegación, 1961-1962), vol, II/1, p. 536. 10 Claude Carrère, Barcelona 1380-1462, vol. 2, p. 57; Mario Del Treppo, I mercanti catalani e l’espansione della Corona d’Aragona, pp. 132-148; Dolors Pifarré, El comerç internacional de Barcelona i la Mar del Nord (Bruges) al final de segle xiv (Barcelona: Publicacions de l’Abadia de Montserrat, 2002), pp. 111-218; Maria Teresa Ferrer, “Catalan Commerce in the Late Middle Ages», p. 45; Antoni Riera i Melis & Gaspar Feliu, “Les activitats econòmiques (segles XIV i XV)”, p. 220. 11 Raymond de Roover, “La balance commerciale entre les Pays Bas et l’Italie au XVe siècle”, Revue Belge de Philologie et Histoire, XXXVII (1959), p. 383; Claude Carrère, Barcelona 1380-1462, vol. 2, pp. 60-61; Mario Del Treppo, I mercanti catalani e l’espansione della Corona d’Aragona, pp. 146-148; Antoni Riera i Melis and Gaspar Feliu, “Les activitats econòmiques (segles XIV i XV)”, p. 220; Dolors Pifarré, El comerç internacional de Barcelona i la Mar del Nord, p. 282.

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visible exports”, given that a large amount of the cargoes which moved between Catalonia and the ports of the Southern Atlantic were transported in foreign ships.12 This commercial vitality facilitated the incorporation of new techniques, such as fixed shipping prices and insurance services, of which there are documentary records in Barcelona dating from 1334.13 These contractual innovations meant that a merchant could negotiate transport costs with a sea-captain, taking into account not only the volume of the cargo and the distance it would have to cover, but also the value of the merchandise, and transfer, via a prior payment, the risk of loss of the cargo or vessel respectively during the voyage. There were also advances in accounting at this time, the old single entry being slowly substituted by the double entry,14 and also in banking, where cheques and letters of credit began to be introduced. Initially banks had used the dita, an order of payment made by the debtor to the bank orally and witnessed by the creditor.15 Later, the cheque consisted of a written order by the debtor for a money transfer; initially it was nothing more than a written dita, used when distance prevented a debtor from appearing before the banker personally. The use of cheques spread very slowly among Catalan merchants; they first appeared midway through the 14th century, but their use did not become well-established until the next century.16 The most important banking method in the Late Middle Ages and in modern times was the bill of exchange. This paved the way for the transfer of monies from one place to another at a much reduced level of risk. When a financier or private citizen needed to make a payment in a distant place, he would seek a merchant who was planning to go there and entrust the funds to him in local currency so that he could deliver them at the destination after arrival and in the local coin. The carrier could invest the quantity received in goods that, on arrival, 12 Dolors Pifarré, El comerç internacional de Barcelona i la Mar del Nord, pp. 33-39. 13 Arcadi Garcia and Maria Teresa Ferrer, Assegurances i canvis marítims medievals a Barcelona (Barcelona: Institut d’Estudis Catalans, 1983), vol. 1, pp. 134-140. 14 Víctor Hurtado, Llibre de deutes, trameses i rebudes de Jaume de Mitjavila i companyia (1345-1370): Edició, estudi comptable i econòmic (Barcelona: Consell Superior d’Investigacions Científiques, 2005), pp. 343-350; Antoni Riera i Melis & Gaspar Feliu, “Les activitats econòmiques (segles XIV i XV)”, pp. 238-240. 15 Anna Maria Adroer & Gaspar Feliu, Història de la Taula de Canvi de Barcelona (Barcelona: Caixa de Barcelona, 1989), p. 11; Antoni Riera i Melis and Gaspar Feliu, “Les activitats econòmiques (segles XIV i XV)”, p. 243. 16 Ibidem.

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would allow him to meet his creditor’s debt. The importance of the bill of exchange lies in that it represents both an instrument of exchange (of monies), of credit (for the carrier) and of exchange (between one place and another).17 Its use is documented since 1416 in Barcelona.

3. The first overseas consulates During the High Middle Ages, Catalan merchants established colonies in frequently visited overseas cities that functioned almost identically to those of the Italian colonies. The first native authority with which they established contact were the customs officials,who were charged with the protection of foreigners18 and were guarantors of the honesty of transactions. Very soon, however, delegates sent from the merchants’ cities began to function alongside the local institutions, charged with the resolution of contentious issues and their defence before the local power structure. In the case of the Catalans, these functions were assumed by overseas consuls. The first representative legal institution of the Catalans abroad was, then, the overseas consuls. The first authentic document ascertaining their existence dates from the time of the Crusades in 1187. In this year Conrat of Monferrato, in return for the aid received in the defence of Tyre, granted privileges to the burghers of Sant Geli, Montpellier and to the citizens of Marseilles, Nimes and Barcelona. One of these privileges was the right to elect their own consul. The consul had the power to judge civil and commercial cases relating to the natives of the aforementioned cities, whether they were residents or simply in Tyre on business.19 Un17 Anna Maria Adroer and Gaspar Feliu, Història de la Taula de Canvi, p. 12; Arcadi Garcia and Maria Teresa Ferrer, Assegurances i canvis marítims, Arcadi Garcia & Maria Teresa Ferrer, Assegurances i canvis marítims, vol. 1, pp. 108-110. 18 A document dated l1 August, 1230, establishes that if a merchant from Montpellier should die in a Muslim land, his “remains” should be deposited “in customs”: Gustave Fagniez, Documents relatifs à l’ histoire de l’industrie et du commerce de France (Paris: Alfons Picard et fils, 1898), I, pp. 135-136. 19 One can find a recent issue of privilege in Walter Haberstume, Regesto dei marchesi di Montferrato di stirpe Aleramica e Paleologa per l’“Outremer” e l’Oriente (secoli XII-XV) (Turin: Palazzo Garignano e Diputazione Subalpina di Storia Patria, 1989), pp. 95-97. The concession has been briefly analysed by various experts: Damien Coulon, “Los consulados catalanes en Siria (1187-1400)”, XVIII Congrés d’Història de la Corona d’Aragó (València: Universitat de València - Fundació Jaume II el Just, 2005), vol. 1, pp. 180-181; Damien Coulon “El desarrollo del comercio catalán en

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fortunately, the lack of further documentation does not allow us to say much at all about the evolution of these early consulates. There is no evidence that the city of Barcelona exercised any control whatsoever over the Catalan merchants that traded there or over the consul. It seems that the close relations between Catalan and Occitan merchants in the East lasted for several decades: up until 1204 they shared a base in Constantinople.20 Montpellierians and Catalans obtained new commercial privileges jointly in Acre (1251) and Tripoli (1253), that perhaps included some sort of joint consular representation, albeit tacit.21 This Catalan-Occitanian overseas connection was, in part, a consequence of the political context of the Crown of Aragon at that time; that is, of the assumption of James I of the title “dominus Montispesulani”, inherited from his mother, Queen Maria. It is not until the mid 18th century that references to the overseas consuls reappear in the archives of the Catalan-Aragonese Royal Chancellory. In 1253, James I entrusted the ministry of “alfundicum nostrum Tunicii et consulatum eiusdem” to Ramon Arnau.22 The building was to have been acquired in 1253 by the magistrate of Barcelona, Marimon de Plegamans, during a diplomatic mission to the capital of the Sultanate. It was finally taken under the protection of the king of Aragon with the approval of the Sultan. The council of Barcelona, still in the process of taking shape, took no part in the naming of the consul of Tunis. Things must have been much the same in Bugia, where, in 1259, there was already a Catalan consulate administered by Guillem de Tolosa.23 His power extended from Constantine to Algiers and was identical to that of his colleague in Tunis. Shortly after 1300 the jurisdiction of the consul of Bugia was reduced both to the east and west, however, with

20 21 22

23

el Mediterráneo oriental durante el reinado de Jaime I”, Jaume I: Commemoració del VII centenari del naixement de Jaume I, Maria Teresa Ferrer, ed. (Barcelona: Institut d’Estudis Catalans, 2013), vol. 2, p. 660; Daniel Duran, “Consolats nàutics, consolats ultramarins i altres formes d’organització nauticomercantil en l’àmbit català”, Jaume I: Commemoració del VII centenari del naixement de Jaume I, Maria Teresa Ferrer, ed. (Barcelona: Institut d’Estudis Catalans, 2013), vol. 2, pp. 747-749. Wilhem Heyd, Histoire du commerce du Levant au Moyen Âge (Amsterdam: A.M. Hakkert, 1967), I, pp. 295-296; Daniel Duran, “Consolats nàutics”, pp. 749-750. Daniel Duran, “Consolats nàutics”, p. 750. Charles-Emmanuel Dufourcq, L’Espagne catalane et le Maghrib aux XIIIe et XIVe siècles (Paris: Presses Universitaires de France, 1966), p. 99; Charles-Emmanuel Dufourcq, “Les consulats catalans de Tunis et de Bougie au temps de Jacques le Conquerant”, Anuario de Estudios Medievales, 3 (1966), pp. 470 i 472. Archives of the Crown of Aragon, C, reg. 11, f. 169 r.

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the establishment of compounds for foreign merchants in Bona and Algiers, respectively. Consular representation had, in the meantime, become well established in other areas, such as in Languedoc. Merchants from Barcelona, as previously stated, collaborated closely with Occitanians in the East from the time of the Crusades. By the High Middle Ages, Montpellier (where the old Via Domitia connecting Italy with Hispania intersected the land route that traversed the Massif Central and led to the trade fairs of Champagne and the valleys of the Seine and the Meuse) had become an international crossroads of the first order. Even though the first documented reference is dated 1301,24 it is not untoward to suppose that a consul was available to Catalan merchants long before that time, possibly dating from as early as the second quarter of the 13th century. In 1259, James I empowered the merchants of Lleida that attended the Champagne trade fairs to elect a consul, in the same way as Montpellier and Barcelona.25 From then on this new delegate would participate, together with the other two, in the distribution of lodgings along the way. The date from which they enjoyed this prerogative is not known precisely. Even though the royal charter explicitly grants the three representatives nothing more than administrative competence, one suspects, judging by later information from the Montpellierian consul,26 that in reality they were three overseas consuls with full judicial powers.27 In 1277, Pere the Great, wishing to stimulate the activity of Pisan merchants in Catalonia, granted them the establishment of a consul in Barcelona, demanding, however, that the Tuscan authorities must return the favour.28 The Catalan consulate in Pisa was inaugurated in 1283. The first consul was a local merchant, Ugolino Olzelleto. The post was for life. The salary was met by members of the community over which he 24 Pere Voltes, “Repertorio de documentos referentes a los cónsules de Ultramar y al Consulado de Mar, conservados en el Instituto Municipal de Historia de Barcelona”, Documentos y Estudios, XIII (1964), p. 42. 25 Antoni de Capmany, Memorias históricas de Barcelona, II/1, p. 31. 26 Documented since 1246: Joaquim Miret, Itinerari de Jaume I el Conqueridor, 2nd ed. (Barcelona: 2004), p. 179. 27 Daniel Duran; “Consolats nàutics”, p. 754. 28 Archives of the Crown of Aragon, Chancellery, reg. 39, f. 212 r.; Regina Sainz de la Maza, “Il consolato dei catalani a Pisa durante il regno di Giacomo II. Notizie e documenti”, Medioevo Saggi e Rassegne, 20 (1995), pp. 196-197; Maria Elisa Soldani, Uomini d’affari e mercanti toscani nella Barcellona del Quattrocento (Barcelona: Consejo Superior de Investigaciones Científicas, 2010), pp. 52-53.

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held jurisdiction. The consular facilities consisted of a merchants’ lodge, a main square and a church.29 These advances in consular representation were the result of the interaction between three factors: the assimilation of the accumulated experience of other Mediterranean emporia, the growing economic and political clout of Catalan merchants and sea-captains, and the legislative changes in the second half of the reign of Jaume I.

4. Shipyard or nautical consuls This was a type of representation about which we have little information, but which would seem to have become well established by the mid 13th century. Nautical consuls enjoyed the same jurisdictional competences as the first overseas consuls. The single difference between them appears to be that the nautical consul’s powers were limited to the duration of the voyage, including stopovers en route, while the land-based consul’s powers were permanent.30 It is not known if this led to a contentious situation between consuls. The scant material available gives us no clues in this regard. Most probably it was a rare occurrence, especially since if the voyage was to a place which already had its own merchants’ quarter there was no need to bring a nautical consul. In the mid 13th century the number of merchants and sea-captains of the Crown of Catalonia and Aragon who were away long-term and stayed in overseas ports or formed colonies large enough to merit a resident consul could not have been very great, except for in the Mahgreb, Occitania or Champagne. It follows, then, that the nautical consuls, taking part in a particular voyage, must have been far more common than overseas consuls. There is documentary evidence of their existence throughout the Late Middle Ages, even though their numbers fell as the number of resident consuls grew.

29 Maria Elisa Soldani, Uomini d’affari e mercanti toscani, p. 53. 30 Daniel Duran, “Consolats nàutics”, p. 752.

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5. The birth of regulations and of naval and mercantile jurisdiction As foreign trade grew during the second half of the 13th century, the economic and political weight of merchants and shipping magnates increased, as did social conflict in the ports of the Crown of Aragon. It was not long before the number and complexity of lawsuits overwhelmed the existing judicial structure which was based, in Barcelona, on the veguer [a type of royally appointed overseer in a parish] and the batlle [mayor]. The most highly qualified of the new mercantile bourgeoisie, the leaders of the city’s seafront Ribera district, convinced Jaume I that the best way to come to a speedy resolution of conflicts and neutralise the growing social unrest, would be to create a special jurisdiction that was naval and mercantile in character. The first stage in the long process that eventually materialised in the creation of the Consulate of the Sea began in the mid13th century. On 7 January, 1258, the sovereign entrusted the management of coastal defences to the Universitat dels Prohoms of the Ribera,31 a new public law corporation which was autonomous from the municipality although still in the process of evolution. Its initial responsibilities were specified at the time of its creation: to elect one of its members as leader. He would, with the help and counsel of all, do whatever was deemed necessary for coastal defence; collect money to finance the corporation’s activities; arm vessels for coastal defence; and draft ordinances for the regulation of the corporation. A few months later, on 26 August, it sanctioned ordinances — drafted by Jaume Grony — governing the policing and security of the port and its naval traffic, as well as also private mercantile relations.32

31 Archives of the Crown of Aragon, Chancellery, reg. 9, f. 7 r.; Ferran Valls i Taberner, Consolat de Mar (Barcelona: Barcino, 1931), vol. 2, p. 117; Arcadi Garcia, Llibre del Consolat de Mar (Barcelona: Fundació Noguera - Fundació Salvador Vives Casajuana, 1984), vol III/2, pp. 9-10. There is a detailed study of the new corporation by Josep Maria Font i Rius (“La universidad de prohombres de Ribera y sus ordenanzas marítimas (1258)”, Josep Maria Font i Rius, Estudis sobre els drets i institucions locals en la Catalunya medieval (Barcelona: Publicacions de la Universitat de Barcelona, 1985), pp. 685-712) and more concisely by Daniel Duran (“Consolats nàutics”, pp. 755-757). 32 Antoni de Capmany, Memorias históricas de Barcelona, II/1, pp. 25-30; Ferran Valls i Taberner, Consolat de Mar, vol. 2, pp. 119-136.

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The ordinances specified the obligations of both patron and registrar, imposed on ships the obligation of mutual aid in bad weather, limited the cargo of vessels in order to guarantee their seaworthiness, defined the obligations of seamen, regulated the merchandise transported by mariners and merchants and detailed the rights of seamen who died, fell ill or were injured while serving on a ship. Thus, the ordinances conferred executive and binding authority on the corporation not only with regard to all aspects of security at sea and cargoes under transport in ships outbound from Barcelona, but also over persons involved in maritime trade. It was also granted the power to impose pecuniary sanctions on infractions related to its regulations, these monies to be divided equally between the sovereign and the Universitat dels Prohoms.33 The ordinances also contemplated the creation of small commissions which would travel on each ship that sailed from Barcelona, comprised of two dignitaries and five assessors aboard ship, and two dignitaries and two assessors on smaller vessels wherever they were destined. Although both dignitaries were elected by the crew, they were sent as delegates of the Universitat dels Prohoms and of the monarch. They had full authority over the persons on board and, above all, over any merchants from Barcelona that they found at stopovers on their voyage.34 The corporation’s jurisdiction was not, therefore, limited to the area of Barcelona. It extended to all shipping registered there, and to local merchants while they were resident abroad. These commissions seem to represent an attempt by the dignitaries of the coastal area to establish controls over the merchant guilds dispersed overseas and over the overseas consuls wherever they were to be found. Even so, the functions of the two dignitaries were almost identical to those of the nautical consuls. In the end, the Universitat dels Prohoms established a more modest entity: commissions of two dignitaries whose role was to arbitrate over contentions and am-

33 Antoni de Capmany, Memorias históricas de Barcelona, II/1, p. 26 and 28, Ferran Valls i Taberner, Consolat de Mar, vol. 2, pp. 121-122 i 124, Josep Maria Font i Rius, “La universidad de prohombres de Ribera”, p. 696. 34 Antoni de Capmany, Memorias históricas de Barcelona, II/1, p. 30; Ferran Valls i Taberner, Consolat de Mar, vol. 2, pp. 134-135; Josep Maria Font i Rius, “La universidad de prohombres de Ribera”, p. 697; Daniel Duran, “Consolats nàutics, consolats ultramarins i altres formes d’organització nauticomercantil en l’àmbit català”, Jaume I: Commemoració del VIII centenari del naixement de Jaume I (Barcelona: Institut d’Estudis Catalans, 2013), vol. 2, p. 755.

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biguous or doubtful issues with regard to naval traffic.35 In this fashion, with the enactment of the first body of naval and mercantile legislation, steps towards a legislative and institutional framework were taken to protect local entrepreneurs from fraud or other criminal acts. The Universitat dels Prohoms of the Ribera, created during the configuration of the municipality, is seen as a unifying response of the sovereign to the growing social unrest which Barcelona suffered in the second half of the 13th century. It was intended, then, to represent an ad-hoc, ephemeral body, to be rapidly “reabsorbed” by the municipal council as soon as the storm had passed.36 On 12 August, 1266, Jaume I granted the council the power to name nautical consuls on vessels departing for overseas destinations, with jurisdiction over the people on board and over merchants resident overseas.37 These new consuls meant the gradual disappearance of the old dignitaries and the substitution of representatives elected by the crew by others assigned by the council on ships registered in Barcelona.38

6. The second wave of overseas consulates Some important changes to the foreign policy of the Crown of Aragon were made in the latter part of the reign of James I. The government began a process of alignment with the Kingdom of Naples39 and the Italian allies of the Holy Roman Emperor. This entailed a more extensive focus on the Mediterranean, relegating Occitania and Provence to an inferior ranking. In 1256, two years before the signing of the Treaty of Corbeil,40 James I had already obtained some commercial concessions 35 Josep Maria Font i Rius, “La universidad de prohombres de Ribera”, p. 698. 36 Arcadi Garcia, Llibre del Consolat de Mar, vol. III/2, p. 74; Daniel Duran, “Consolats nàutics”, pp. 756-757. 37 Antoni de Capmany, Memorias históricas de Barcelona, vol. II/1, pp. 35-36; Josep Maria Font i Rius, “La universidad de prohombres de Ribera”, p. 708; Arcadi Garcia, Llibre del Consolat de Mar, vol. III/1, p. 75; Damien Coulon, Barcelona et le grand commerce d’Orient, pp. 63-64; Damien Coulon, “El desarrollo del comercio catalán”, p. 666; Daniel Duran, “Consolats nàutics”, pp. 756-758. 38 Josep Maria Font i Rius, “La universidad de prohombres de Ribera”, p. 709. 39 Governed at the time by Manfred Hohenstaufen, bastard son of Frederick II, head of the Ghibelline faction and counterweight, thus, to the Holy See in Italian politics. The agreement was confirmed in 1262, by the marriage of the child Pere, firstborn of James I, to Constança, daughter of Manfred.

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for his subjects from the Sultanate of Egypt.41 These first agreements demonstrate indirectly that Catalan merchants were already active in eastern Mediterranean markets. This is confirmed by the fact that in 1258 the sovereign granted to Ramon Boter part of the dues to be paid by his subjects on vessels and cargoes carried from Alexandria, and that had paid duties to the sultan.42 Diplomatic contacts between Barcelona and Cairo intensified in the following decade after the victory of the Mamluks over the Moghuls. In 1262, Sultan Babyars authorised the establishment of a consulate to attend to citizens of the Crown of Aragon in Alexandria, inclosos els mercaders de Montpeller [including the merchants of Montpellier], operating in the eastern Mediterranean.43 James I charged Simó Ricart, member of a powerful Barcelona family with plenty of experience of trading with the Muslims, with the organisation of the project.44 The jurisdiction of the new consul was, however, rejected by the merchants from the Occitanian city who had, up till then, freely elected their own representatives in Tyre and Acre.45 In 1266, in order to put a definitive end to the issue, Jaume I granted to the Council of Barcelona the selection not only of nautical consuls on vessels sailing to Syria, Palestine and Egypt, but also of those wishing to establish themselves as residents there.46 This royal initiative should not be understood in isolation, but as a consequence of an issue of the moment which formed a part of the process of the accumulation of power by Barcelona’s ever more wealthy and ever better organised oligarchy. Two years later, in 1268, the sovereign ceded to the councillors the right to elect consuls resident overseas, in Romania and wherever their ships should go.47 This concession was 40 In which James I renounces all his rights in Occitania, with the exception of Montpellier, some small bordering lands, and the Valley of Aran, in exchange for the renunciation of Louis IX of France of all claims on the counties of Catalonia. 41 Archives of the Crown of Aragon, Chancellery, reg. 10, f. 42 r.; Damien Coulon, “El desarrollo del comercio catalán en el Mediterráneo”, pp. 662-663. 42 Joaquim Miret, Itinerari de Jaume I el Conqueridor, p . 281. 43 Amada López de Meneses, “Los consulados catalanes de Alejandría y Damasco en el reinado de Pedro el Ceremonioso”, Estudios de Edad Media de la Corona de Aragón, 6 (1956), p. 86; Damien Coulon, “El desarrollo del comercio catalán”, p. 666. 44 Amada López de Meneses, “Los consulados catalanes de Alejandria y Damasco”, pp. 85-89. D. Coulon, “El desarrollo del comercio catalán”, p. 664. 45 Daniel Duran, “Consolats nàutics”, p. 751. 46 See above, note 37. 47 Antoni de Capmany, Memorias históricas de Barcelona, II/1, p. 39; Arcadi Garcia, Llibre del Consolat de Mar, III/1, p. 76.

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jealously guarded for the next 450 years. Thus the merchants, who, thanks to economic and social pressure, had already wrested the administration of the city from the sovereign through the creation of the municipality and the control of its maritime defences through the Universitat dels Prohoms de la Ribera, now also took control of its overseas representation via the selection of the overseas consuls, except in the Mahgreb. The monarchy had to accept its loss of direct control over the administration of justice abroad where the influence of the sovereign was limited and the self-organisational reflexes of the merchants were to the fore. It did not, in any event, represent a loss of power to the monarchy, due to the fact that it did not signify a noticeable reduction in its take of the proceeds. Neither did the change in the system of election of managers did not affect the position of consulates or merchant colonies, as is demonstrated by the monarch’s continued use of the ancient designations alfundicum nostrum and consulatum alfudici nostri;48 however, their concessionaires quickly became known as consuls Catalanorum. From then on, merchants of the Crown of Aragon had two types of representation abroad; in Tunis and Bugia those appointed by the sovereign, and those selected by the Council of Barcelona everywhere else. Meanwhile, the re-establishment of Greek legitimacy in Byzantium in 1261 under Michael VIII Palaeologus49 and the pontiff’s desire to block trade with the Mamluk sultanate had favoured Catalan commercial penetration. In 1268, James I extended the legal authority of the municipal council of Barcelona to the selection of overseas consuls to Romania. Despite that, the small volume of trade slowed the process. Not until 1281 did a temporary consul, Pere Ris of Barcelona, arrive in Constantinople.50 Commerce received a boost in 1291, following the fall of Acre to the Mamluks and the immediate withdrawal of all Christian merchants from Egypt and Syria decreed by Nicholas IV.51 Five years

48 Archives of the Crown of Aragon, Chancellery, reg. 12, f. 149 r.; reg 13, f. 187 r. 49 He shared with the Crown of Aragon the desire to resist Angevin imperialism in both Mediterranean basins. 50 Stephen P. Bensch, “Early Catalan Contacts with Byzantium”, Iberia and Mediterranean World of The Middle Ages: Studies in Honor of Robert I. Burns S.J., Larry J. Simon, ed. (Leiden - New York: Brill, 1995), pp. 133-160; Maria Teresa Ferrer, “Sobre els orígens del Consolat de Mar de Barcelona el 1279 i sobre els cònsols d’ultramar a bord de vaixells: Un exemple de 1281”, Anuario de Estudios Medievales, 23 (1993), pp. 141-150. Daniel Duran,“Consolats nàutics”, p. 755.

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later Andronicus II conceded freedom to trade, a notable reduction in export duties and exemption from the shipwreck law in the capital and other Byzantine ports to traders from Barcelona and other cities of the Crown of Aragon and the kingdom of Majorca.52 In spite of the guarantees of the Imperial administration, competition from the Genoese made economic penetration in Byzantium difficult for the Catalans. This can be seen in the appeal to the legal authorities in Genoa made by the Council of Barcelona in 1302 for the protection of a ship sailing out of Barcelona for Constantinople.53 It is at this time, at the beginning of the 14th century, that the consulate became operational. Even so, the “Catalan revenge” and the campaigns of the Great Company in Greece obliged the subjects of James II to rapidly evacuate the empire in 1305. They did not return until ten years later. Catalan merchants did not limit their efforts to the East, but also made advances in the West, opening routes into the Atlantic. They first established themselves in Seville, arriving shortly after the reconquest and closely followed by the Genoese. By 1284 the council of Barcelona had installed a consul there. He wasted no time in obtaining houses and shops free of any charges from Sancho IV, where the newly founded colony formed its own “town”, complete with baker’s oven , in the same way as the Genoese.54 The royal grant was in accord with the desire to accelerate the rate of demographic change and stimulate the city’s economy. Initially piracy and the repeated closure of the Straits of Gibraltar by squadrons of Moroccan vessels impeded maritime communications between Catalonia and the gulf of Cadiz. Castille would not achieve naval supremacy in those strategic waters until the last years of the 13th century. From then on Catalan and Majorcan ships could prolong their outward voyages into the Atlantic from Seville, reaching not just Lisbon, Bruges and London, but also Salé, Safi and the Canary Islands.

51 José Trenchs, “De Alexandrinis (El comercio prohibido con los musulmanes y el Papado de Aviñón durante la primera mitad del siglo XIV)”, Anuario de Estudios Medievales, 10 (1980), p. 250; Maria Teresa Ferrer, “Catalan Commerce”, p. 42. 52 Antoni de Capmany, Memorias históricas de Barcelona, vol. II/1, pp 69-70. 53 Arxiu Històric de la Ciutat de Barcelona, Llibre del Consell, I, f. 56 v. 54 Antoni de Capmany, Memorias históricas de la ciudad de Barcelona, vol. II/1, pp. 53-54.

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In the Mediterranean, the most clear-cut progress was made in Sicily. Since 1282, the mercantile activity of the subjects of Peter the Great had consolidated the conquest. The first king of the new dynasty, James I, permitted businessmen of the principality to elect a consul55 in 1286. The latter took up residence in the capital, Palermo. The consul was appointed by the Council of Barcelona, and was authorised to appoint consuls in Medina and Trapani56 who could act on his behalf after consultations with the local merchant community. Nevertheless, the council sometimes selected consuls in those two cities directly.57 Taking advantage of the resumption of relations between the Crown of Aragon and Naples imposed by Boniface VIII in the Treaty of Anagni, the Catalan consul in Palermo, Reinald de Cases, obtained, in 1299, permission from Charles II for the establishment of a Catalan consul, a notary and armed retainers in the city of Vesuvius.58 Two decades later, in 1321, James II granted the Council of Barcelona authority to name consuls in Sardinia and Corsica and build residences and lodgings there. This was in return for the promise of an important additional number of ships to the fleet which was to bring the conquest to a conclusion.59 Three years later, not long after the expulsion of Càller, the councillors established the consul’s salary and the levies they were to receive from every ship that anchored at the island. As all the overseas consuls were elected by the Council of Barcelona, with the exception of those in the Maghreb, the documentation of the municipal capital represents the primary source of information on the institution. Although it does not always supply a date for the foundation of a consulate, it does present us with a rich source of information with regard to their functions, which we can use as sources of dates ante quem. Study of these documents shows that in the first half

55 Antoni de Capmany, Memorias históricas de la ciudad de Barcelona, II/1, pp. 62-63. 56 Pere Voltes, “Repertorio de documentos referentes a los cónsules de Ultramar”, pp. 71-72. 57 On 24 February, 1324, the councillors informed Catalan merchants resident in Trapani that they had elected as consul Guillem des Puig, and requested that his status be recognised: Pere Voltes “Repertorio de documentos referentes a los cónsules de Ultramar”, p. 98. 58 Antoni de Capmany, Memorias históricas de la ciudad de Barcelona, vol. II/1, pp. 89-91. 59 Antoni de Capmany, Memorias históricas de Barcelona, vol. II/1, pp. 157-158; Pere Voltes, “Repertorio de documentos referentes a los consules de Ultramar”, pp. 31-32.

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of the 14th century Catalan merchants had consolidated their representation in Genoa60 (1317), Syracuse61 (1319), Gaeta62 (1322), Malaga63 (1326), Bruges64 (1330), Marseilles65 (1331) and Mazzara66 (1339). Of these, Bruges deserves special mention. A peripheral outpost of the Catalan maritime trading network, it was of outstanding economic value due to its status not only as a key player in the textile trade, but also as a frontier link in the trade with the Rhine Valley and the Baltic Sea. The earliest ordinances of the consulate, whose fundamental objective was to protect of Catalan shipping from Genoese and Venetian competition, date from 1330.67

7. The rivalry with the Majorcan overseas consulates in the first half of the 14th century From 1300 onward, James II of Aragon and Catalan merchants strove together to obtain new trading concessions. They found, however, that they faced unexpected rivals in the form of James II of Majorca and his island traders. In 1276 the Balearic Islands had been separated according to the treaty conditions of James I and the Crown of Catalonia and Aragon to form, along with the counties of Rosselló, the Cerdanya and Montpellier, the Kingdom of Majorca. This enjoyed full sovereignty and was ruled by a minor branch of the House of Barcelona. Taking advantage of the international unrest generated by the conquest of Sicily, the archipelago was reunited with Catalonia-Aragon in 1286. Then, in the Treaty of Anagni, 1295, Pope Boniface VIII obtained James II of Aragon’s renunciation of Sicily and the Balearic Islands in exchange for Sardinia and Corsica.

60 61 62 63 64 65 66 67

Pere Voltes, “Repertorio de documentos referentes a los cónsules de Ultramar”, p. 55. Voltes, “Repertorio…, p. 95. Voltes, “Repertorio…, p. 54. Voltes, “Repertorio…, p. 40. Dolors Pifarré, El comerç internacional de Barcelona i el Mar del Nord, p. 29. Pifarré, El comerç…, p. 41. Pifarré, El comerç…, p. 61. Antonio Paz Melià, “Llibre del Consulat dels mercaders catalans a Bruges (13301537)”, Series de los más importantes documentos del Archivo y Biblioteca del Excmo. Duque de Medinaceli, Antonio Paz Melià, ed. (Madrid: 1922), 2nd series, pp. 452-461; Dolors Pifarré, El comerç internacional de Barcelona i el Mar del Nord, p. 29.

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Three years passed before there was an effective transfer of power. This finally transpired when conditions were extremely favourable to the king of Aragon, who forced his relative to concede that he only ruled as his honourable vassal. Thus, Catalan merchants obtained the ratification of the same commercial privileges and tax concessions that they enjoyed on the mainland.68 The reincorporation of the Balearic Islands in 1298 under the Treaty of Argelers permitted the monarch to realise an old ambition: the creation of his own network of overseas consulates. For James II of Majorca, the installation of each of his representatives in the overseas market meant many things: the realisation at international level of the separation of the Kingdom of Majorca from the Catalan-Aragonese Crown and the reaffirmation of his judicial and mercantile control over his subjects abroad. It made defence of his own interests easier by bestowing upon his subjects juridical equivalence with those of the “confederation” and the Italian republics, and it permitted a more precise calculation of customs duties that had been paid abroad along with his entitlement to a percentage of that sum. The request for the opening of Majorcan consulates led to a domino reaction from the two parties which stood to lose most. The Council of Barcelona denounced the initiative before the Aragonese monarch. He immediately informed them that the king of Majorca administered the kingdom as his vassal and not as a fully fledged sovereign and that his subjects overseas were obliged, therefore, to submit themselves to the jurisdiction of the Catalan consuls. The result depended on the relative force available on the ground, on the balance between gain and loss signified in diplomatic cooperation and on the respective coercive power of Catalonia-Aragon and the Kingdom of Majorca. The Balearic kings were able to install their own representatives in Bugia (1302), Genoa and Pisa (1303), Seville (1308), Collo, Djijelli and Tunis (1312), Algiers (1313), Naples (1320), Puglia (1327), Granada (1330), Bona (1331), Málaga (1338), Mostaganem (1339), Constan-

68 For a more detailed analysis of the politics of James I and their consequences for relations between the Crown of Aragon and Catalonia and the new Kingdom of Majorca, see: Antoni Riera i Melis, La Corona de Aragón y el reino de Mallorca en el primer cuarto del siglo XIV. I: Las repercusiones arancelarias de la autonomía balear (Madrid-Barcelona: Consejo Superior de Investigaciones Científicas, 1986), pp. 31-34 and 49-81.

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tinople (1341), Ona and Tenes (1343).69 It emerges from this list that the Majorcan consulates prospered in the areas where their economic activity exceeded that of the subjects of the king of Aragon (Central Mahgreb), at the extreme limits of the Catalan trade network (Sultanate of Granada) and in those directly affected by Catalan-Aragonese territorial expansion (Italy). The existence of the Majorcan consulates was, however, shortlived; 1343-1344 saw the second Catalan reconquest of the Balearic Islands, which were reintegrated into Catalonia by force. From then on, if maintained, their consuls were selected by the sovereign of Aragon or by the Council of Barcelona. They were eliminated in places which already had a Catalan consul or where the level of trade was insufficient to justify their continuance.

8. The last medieval overseas consulates After the reintegration of Majorca, the Catalan-Aragonese crown, like the rest of the West, suffered a crisis so intense that it was shaken to its very foundations. The problems began around 1348-1350, when the Black Death pandemic of Asian origin decimated the population in a manner that was unprecedented at that time. The periodic outbreaks of bubonic plague and other contagions represented a scourge that hampered demographic recovery for almost a century. Although the reduction in the population affected the economy and society as a whole, its effects were especially pronounced at its base — agriculture and the rural economy. Agrarian production and harvests fell, and this drop had repercussions at all social levels, albeit of variable intensity. The aftermath of the Black Death and its secondary effects, while important, affected the cities less intensely. The dearth of workers in manufacturing and commerce was neutralised by young people from the country, who came in, attracted by high salaries. Production actually increased. With the improvements in transport, especially in ships, better commercial practices, the birth of insurance, the development of 69 Francisco Sevillano, “Mercaderes y navegantes mallorquines (siglos XIII-XV)”, Historia de Mallorca, Josep Mascaró Pasarius, ed. (Palma: José Mascaró Pasarius, 1971), vol. IV, pp. 500-502.

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banking and advances in accounting systems, merchants were able to trade poorer quality articles which before would not have been justified by transport costs, as well as to explore new markets and take ever greater commercial risks for ever greater profits. It is a fact that between 1350 and 1500, the triumph of a decidedly entrepreneurial and capitalist mentality saw an increase in the flow of trade, a tightened network of maritime and terrestrial trade routes, the multiplication of trade fairs, the strengthening of links between markets, and the Europe-wide regionalisation of the economy. This international trade meant that from the end of the 14th century there was a third broadening and widening of the network of overseas consulates into Provence, Lower Languedoc, Italy and even into the Adriatic. Table 1 Catalan overseas consulates in the Middle Ages 12th Century

13th Century

14th Century

15th Century

Tyre

Alexandria

Aigüesmortes

Malaga

Agade

Nice

Algiers

Aix en Provence

Genoa

Almeria

Martingues

Bona

l’Alguer

Girgenti

Ancona

Modon

Bugia

Al·leàs

La Licata

Arles

Otranto

Messina

Bruges

Mazzara

Avignon

Pecenas

Montpellier

Beirut

Marseilles

Berra Berra

Ragusa

Palermo

Bona

Naples

Candia

Rhodes

Pisa

Bugia

Oristany

Castellammare del Golfo

Rome

Quios

Càller

Pera

Castellammare di Stabia

Salerno

Seville

Catània

Pisa

Escalea

San Lucido

Trapena

Collo

Piazza Armerina

Iscla

Sasser

Tunis

Constantine

Saone

Lentini

Senj

Constantinople

Syracuse

Lipari

Sienna

Damascus

Xerxell

Livorno

Viàs

Famagusta

Tunis

Manfredònia

Florence

Tropea

Gaieta

Venice

Malta

Sciacca

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9. The consuls and the consular quarters According to one of the top experts in this area,70 overseas consuls initially had to be elected by Catalan merchants who were resident in that place. In the second stage, from around 1250, they were selected, as previously stated, by the sovereign. After 1268, with the exception of the Maghreb, they were chosen by the Council of Barcelona in the name of the king of Aragon. In each case, however, it was the monarch who, for a defined period — normally five years — subsidised the costs of the consulate, the consular quarters, the warehouses, the notaries, the bakery and the tavern.71 Hungry for profits, merchants from Barcelona used this system to their advantage: they immediately rented out or subleased the facilities for more than they were paying the sovereign. The position could be filled by one person or shared, more often than not by two people taking collective responsibility.72 For some appointees, therefore, the position did not represent a temporary, albeit well paid posting, but rather a highly profitable foreign investment while they stayed at home, conducting business as usual. The monarch had no option but to accept this practice.73 During the last phase of his reign, James I rented the consulate in Tunis for considerable sums of money — between 500 and 2,750 bezants per annum.74 By way of contrast, the consulate in Bugia brought in much less. During the years 1259-1273 it was rented out for between 300 to 600 bezants a year.75 Considering this practice harmful to the crown, Peter the Great tried to eliminate it. In 1277 he annulled the above mentioned renting of the consulate in Tunis and entrusted its operations and those of the merchant quarter to Bernat de Roig. His status was not simply that of tenant. He was the delegate of the sovereign and received for his trouble a third of

70 Charles-Emmanuel Dufourcq, L’Espagne catalane et le Maghrib, pp. 69 and 100. 71 Joaquim Miret, Itinerari de Jaume I, pp. 403, 473, 499. 72 Charles-Emmanuel Dufourcq, L’Espagne catalane et le Maghrib, p. 100; Idem, “Les consulats catalans de Tunis et de Bougie”, p. 476. 73 Archives of the Crown of Aragon, C, reg. 21, f. 38 r.; Charles-Emmanuel Dufourcq, L’Espagne catalane et le Maghrib, pp. 100 and 275. 74 Charles-Emmanuel Dufourcq, “Les consulats catalans de Tunis et de Bougie”, pp. 473-474. 75 Dufourcq, “Les consulats…, p. 478.

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the moneys generated by the consulate.76 However, the new appointee began his term by lending 10,000 Barcelona sous to the monarch as a guarantee of the crown’s two-thirds of consular levies in the future.77 In point of fact, this arrangement proved to be only temporary. In 1285 the consul delivered all the levies due to the royal treasury, in return for which he was paid a salary.78 The specific authority of the Catalan overseas consuls are perfectly delineated in the city of Barcelona’s codes of privileges, the registry of the royal chancellery and the archives generated simply by the functioning of the institution. For the subjects of the king of Aragon, the consuls represented “metropolitan” authority; they were the intermediaries of their “co-citizens” before the Crown, the councils of the Catalan cities, and the local authorities. As stated before, in 1284 it was the consul who negotiated with the Castilian monarchy for the granting of houses and stores in Seville in order for the incipient colony to have its own area in the city.79 However, the principal function of the consuls was judicial; they were authorised to judge and pass sentence in all civil lawsuits within their jurisdiction as long as the claimant or accuser were subjects of the Crown of Aragon.80 They could impose fines or physical punishments and their sentences could not be challenged by local tribunals. On the other hand, they could not interfere in criminal cases dealt with by the local judicial system, except in very exceptional circumstances and in delimited places; for example, in Naples, if a fight broke out between Catalan merchants or sailors at sea, beyond the lands and ports of the kingdom, local officials could detain the participants and bring them before the consul so that he would send them to Catalonia to be tried before a royal tribunal.81 Catalan overseas consuls did not limit their activity to their zone of influence. Rainal de Cases, consul to Sicily, negotiated the concession of a consul and commercial franchises for Catalan merchants with the 76 77 78 79 80

Archives of the Crown of Aragon, C, reg 40, f. 13 r. Charles-Emmanuel Dufourcq, L’Espagne catalane et le Maghrib, p. 275. Dufourcq, L’Espagne… See above, note 55. Antoni de Capmany, Memorias históricas de Barcelona, vol. II/1, pp. 63 and 90; Amada López de Meneses, “Los consulados catalanes de Alejandría y Damasco”, p. 137; Charles-Emmanuel Dufourcq, L’Espagne catalane et le Maghrib, p. 69. 81 Antonio de Capmany, Memorias históricas de Barcelona, vol. II/1, pp. 90-91.

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court of Naples.82 In some places, therefore, the consuls preceded the arrival of royal ambassadors and requested advantages for the “citizens” of the Crown of Catalonia and Aragon from the local ruling class. Unfortunately, little information regarding this exploratory diplomatic work undertaken by the consuls has survived. One example is the terms of the consulate in Naples in 1299, where Charles II authorised the consul to name a substitute and pass full authority to him if he should be required to carry out a diplomatic mission on behalf of the Court of Barcelona or the Partenopea (University of Naples) and in doing so would have to absent himself from the city.83 The consul was also required to control and direct the day to day functioning of the merchants’ quarter, where Catalan traders lodged and stored their merchandise. For reasons of security, Christian traders had their merchants’ quarter in its own enclave in Muslim cities. This could be located within the city walls (the medina) or in the suburbs. Archaeological remains and some references conserved in the registry of the royal chancellery allow us to form an approximate idea of the size and internal structure of the Catalan merchants’ quarters in the Maghreb.84 They usually consisted of numerous, modest buildings, arranged around a central square with various inner courtyards. This would be isolated from the rest of the city by a wall. Here merchants would come after disembarking with their goods, looking for a place to rest, eat or wash, with shops, bakery and a chapel. Some, like the one in Tunis, were soon unable to cope with demand and were forced to open an annex. In 1261, twenty years after it was created, James I leased totum alfundicum nostrum novum et vetus quod habemus apud Tunciium.85 However, nothing could enter the quarter without first being submitted to local customs control. Goods were checked, weighed, measured and listed by the officials who then applied import duties and other related taxes. Although sometimes goods were sold directly to the customs office, it was in the quarter that trade with the local population was normally conducted. The merchants’ quarter was not, thus, just an hostal [lodg82 Capmany, Memorias…, pp. 89-91. 83 Capmany, Memorias…, p. 91. 84 As shown by Charles-Emmanuel Dufourq, L’Espagne catalane et le Maghrib, pp. 69-70 and 99-101; who I follow in this section. 85 Archives of the Crown of Aragon, Chancellery, reg. 11, f. 206 r.

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ings] or storage area, but also a very busy marketplace, full of porters, interpreters and accountants, many of whom were indigenous and worked in tandem with the customs office and a notary who drafted contracts.86 This meeting of foreign merchants and local people of all ranks and classes gave the merchants’ quarter its classic appearance: beasts of burden in the streets, the din of shouting and talking in many languages, deals being done on the spot, Christians, Muslims and Jews mixing freely. The merchants’ quarters were enclaves of Christian jurisdiction within an Islamic state, a district endowed with the privilege of extraterritoriality,87 where merchants from Catalonia, the Balearic Islands, Valencia and Montpellier met, lived together, spoke their dialects of the common tongue and each respected the customs of the rest. There would also be a room or small building to house the chapel, where the royally appointed chaplain or cleric offered spiritual guidance to the merchants, or officiated if needed in the administration of the last rites. These services were not, however, free. The merchants paid dues to the consul for the right to store their wares and paid him a percentage of the profits obtained at their sale. The consul also subcontracted some of his secretarial duties in the consulate and quarter; these accountants were required to carry out very similar work to that of the ships’ notaries. One of them, designated as “Secretary to the customs”, represented the subjects of the king of Aragon before the tax authority and gathered a small amount of tax, part of which went to the consul. He was known, at least initially, as the notary, although the sovereign soon reserved this right to himself. Be that as it may, the notary handed over part of what he received from the merchants for the drafting of their contracts to the consul.88 The consul also charged a “justice levy” for the sentences he passed, and sublet the bakery and the tavern. Initially, as outlined above, the sovereign would every so often sell these resources by auction. During the time that this early system remained in force, the income of the consul depended, essentially, upon the commercial

86 Charles-Emmanuel Dufourq, L’Espagne catalane et le Maghrib, p. 71. 87 This legal security measure is clearly defined in article 16 of the Catalan-Tunisian treaty of 1323: Archives of the Crown of Aragon, Chancellery, reg. 11, f. 141 v. - 142 r. 88 Dufourq, L’Espagne…, p. 100.

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activities of the Catalan merchants and, to a lesser degree, on money gathered by the local customs which sometimes made direct payments to him. An example would be the 50 bezants a month paid in Tunis, or the 20 in Bugia, when, for some reason, the sale of wine was prohibited in the quarter.89 The rulers, depending on how soon they became aware of the scale of income, tended to reserve an ever larger cut of the consular proceeds for themselves, until finally they took it all and paid the consuls a wage. By way of contrast, we know nothing about the Catalan merchants’ quarters in Christian lands, where closer cultural and linguistic ties eased relations between merchants and clients. As there was no religious barrier the way was open for a greater degree of integration of foreign minorities in autochthonous society either through the acquisition of citizenship or via marriage alliances.90 It is supposed that the Catalan merchants’ quarters in Palermo, Naples, Genoa, Marseilles, Seville and Bruges were similar to those of the Italians, Provençals or Castilians in Barcelona. Based upon the references available, large buildings where merchants could stay and store their goods were initially designated as merchants’ quarters. They were found mainly near the seafront, which had been built up by the sovereign and a small group of wealthy citizens;91 this was a new district and quickly became known as “the merchants’ quarter”.92 In documents dating from that time, the term merchants’ quarter was used in two senses: in exclusive reference to those specialised buildings and also in reference to the district in which they were located. A bakery, butcher’s and fishmongers were also built in the district93 in order to satisfy demand for foodstuffs not only from foreigners but also from locals who, little by little, began to fill empty land with houses and workshops. Because foreign merchants traded wholesale with their local counterparts

89 Dufourq, L’Espagne… 90 As exemplified by the Tuscans in Barcelona in the 15th century: Maria Elisa Soldani, Uomini d’affari e mercanti toscani, pp. 131-170. 91 Via establishments ad construendum domos on the plots which resulted from the distribution carried out by the sovereign. See: Pere Ortí, Renda i fiscalitat en una ciutat medieval: Barcelona, segles XII-XIV (Barcelona: Consejo Superior de Investigaciones Científicas, 2000), p. 129. 92 Stephen P. Bensch, Barcelona i els seus dirigents, 1096-1291 (Barcelona: Seminari d’Història de Barcelona - Proa, 2000), pp. 197-199; Renda i fiscalitat en una ciutat medieval, pp. 112-125. 93 Pere Ortí, Renda i fiscalitat en una ciutat medieval, pp. 119, 215.

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there, this new suburb rapidly became the commercial centre of the city and the most economically and urbanistically dynamic district.94 If we take those of Barcelona as an accurate reflection, Catalan merchants’ quarters in foreign lands would not have formed an area segregated from the urban environment, nor would they have been protected by walls. They would rather have formed a nexus of growth in peripheral zones located near the port, where foreign traders came to carry out transactions, change money and meet and exchange information with their local colleagues. They did not have their own bakery, tavern or public baths but they did enjoy access to all the public services in the surrounding district. As they all shared the limited dietary restrictions imposed by Christianity, the members of the foreign colony could acquire bread, wine, meat and fish from local establishments. They did not usually have their own exclusive place of worship. The spiritual needs of members of the quarter were met in the nearest parish, where they probably did have their own chapel. In some Christian places,95 for reasons of security and prestige, the Catalan overseas consuls, as representatives of a foreign collective before the local authorities, were granted some personal privileges, such as the right to carry arms inside the city and to a mace bearer.96

10. Conclusions During the Late Middle Ages the growth of foreign trade favoured the appearance of communities of merchants, subjects of the Crown of Aragon, in the principal international emporia where they were known as “the Catalan community”. The main defining characteristic of this ethnic collective was, therefore, the language. To protect these people and their goods two extensive consular networks were created: one controlled by the sovereign, restricted to the Maghreb, and another, under the control of the Council of Barcelona, with four basic axes; which were the 94 Carme Batlle, “La alhóndiga de Barcelona, centro comercial de Barcelona, durante el siglo XIII”, Oriente e Occidente tra el medioevo ed età moderna: Studi in onore di Geo Pistarino, Laura Belleto, ed. (Genoa: G. Brigati, 1997), vol. I, pp. 61-81. 95 Such as Naples. 96 Antoni de Capmany, Memorias históricas de Barcelona, II/1, p. 90.

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Levant, Italy, Provence - Lower Languedoc and Flanders. This duality was a dynamic factor in the system and did not represent in any way a deformity, given that the concept of a unitary, homogenous institution took root definitively and had obvious pragmatic, material advantages. Although the basic function of the overseas consuls was always judicial — hearing and ruling on civil issues within their jurisdiction in which the claimant and defendant were both subjects of the king of Aragon — they also enjoyed other important attributes. For every subject of the king of Aragon, they represented “metropolitan” authority, acting as intermediaries for their countrymen before the Crown and the councils of the Catalan cities. They also assumed the task of exploration and even diplomatic negotiation with governments of states bordering their jurisdictional authority. In Islamic and Christian territories the framework within which the consuls acted was the merchants’ quarter. This was a group of buildings which served as lodgings for the merchants and warehouses for their goods. These facilities, usually located near the port and customs, were also where wholesale deals were concluded, where foreign merchants came to buy all sorts of articles, change money, meet and exchange information with their local counterparts. A merchants’ quarter was an enclave of Christian jurisdiction in a foreign land — an urban district with the privilege of extra-territoriality where merchants from Catalonia, the Balearic Islands, Valencia and Montpellier, speaking their own dialects of a common tongue and with their own ways and customs, could come together. Catalan civil law governed the quarter, and the Catalan language coexisted with those of the area and others used in commerce. Thus, they were not merely antecedents of the modern-day chambers of commerce. They were also important showcases for Catalan culture and law and this was decisive in their success overseas. Those that came to the quarter to do business found a foreign community with a strong identity and its own language.

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Institutions and the Catalan Ruling Classes: The Long March to Culmination… 107

Institutions and the Catalan Ruling Classes: The Long March to Culmination in the Early 18th Century Eva Serr a i P uig Universitat de Barcelona Institut d’Estudis Catalans

Institutions: medieval origin and modern growth Historiography has commonly placed emphasis on the historical Catalan institutions of the Middle Ages. However, we now understand that although medieval in origin they underwent a powerful evolution in the modern era. Without that evolution it is difficult to understand either the conflicts between the King and the country from the 15th to the 17th centuries, or the War of the Spanish Succession. These conflicts reveal two institutional bodies in confrontation over issues of sovereignty and political demarcation. The modern centuries are not only those of the formation of absolutist, authoritarian monarchy, but also the centuries which saw the development of representative institutions within the national territory. Despite the fact that their outcomes differ, this overview is equally applicable to other European territories: Holland, England, Britanny and also Languedoc, where not only the monarchy but also parliamentarianism developed. This process of change had various phases and effects on the social reality of the ancient regime.

The upheavals of the transition to modernity and an overview of the ruling classes Between 1410-12 and 1481 Catalonia underwent several upheavals, which were characterised by the making of pacts (pactisme) and by a change of the guard in the ruling classes. These upheavals were: the demise of the House of Barcelona; the Compromise of Caspe and the interregnum; the rise of the Trastamara dynasty and the liquidation of

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the claim of the House of Urgell (on which it is important to point out here that the Valencians were more in favour of Urgell than the Catalans).1 The war against John II can be understood as an aggiornamento of Caspe,2 that is to say, as a consolidation of the Compromise of Caspe in the person of Ferdinand II, even though the Trastamara dynasty, for reasons related to the succession which never came into question, passed into the hands of the Hapsburgs. If we were to summarise these events briefly in order to gain a better understanding of the modern age, we would be led to conclude that Catalonia experienced a generalised crisis in which the following factors came together: the loss of its own dynasty; a crisis in the feudal system worsened by a crisis of political power (that is, the crisis of pact-making and the observance of same) with three protagonists — the Trastamara, the General Council of the Principality, the alternative of the Concorde of Vilafranca (1461); in other words, a pactisme that subordinated the monarch; and a civil society marked by serious unrest between the countryside and the city. The cities, especially Barcelona, experienced the confrontation between the production sectors (Busca) and the great merchants (Biga) while in the countryside there was conflict between the peasants (serfs) and the landed gentry. The rural and urban popular sectors were never united. It is worth noting, moreover, that the unemployed and serfs were manipulated by the new monarchy.3

1

2

3

In relation to Caspe, see the following: Ernest Belenguer, El com i el perquè del Compromís de Casp (1412): Història i debat (Barcelona: Rafael Dalmau, 2012), and Josep Perarnau i Espelt, La tragicomèdia del Compromís de Casp: Invent i imposició de Benet XIII (Barcelona: Facultat de Teologia de Catalunya - IEC, 2014). Regarding the Catalan war of the 15th century, along with the work of Santiago and Jaume Sobrequés collected in La guerra civil catalana del segle XV (Barcelona: Edicions 62, 1973), and work on the same topic by Jaume Sobrequés in Estudis d’Història de Catalunya (Barcelona: Base, 2008-2010), 2 vols., Imma Muxella’s doctoral thesis is worthy of note: La terra en guerra: L’acció de les institucions durant el regnat de Renat d’Anjou (1466-1472) (Universitat de Barcelona, 2013). Among the scholarship on this subject we can highlight that of Claude Carrère, Barcelone: Centre économique à l’époque des difficultés, 1380-1462 (Mouton: 1967), 2 vols., and Carme Batlle, for example in Barcelona a mediados del siglo XV: Historia de una crisis social (Barcelona: El Albir, 1976), 2 vol. The later analysis by Gaspar Feliu et al., “La crisis catalana de la Baja Edad Media: Estado de la cuestión”, Hispania, 64 (2004), pp. 435-466, is also noteworthy.

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The dawn of modernity The outcome of this crisis (the capitulation of Pedralbes) reinforced medieval pact-making. For dynastic reasons the monarchy became absentee and organised or reorganised its own institutions, which included: landowning (1479); the Pragmàtica of 1479 (a decree returning property and jurisdictional rights to the old-style patriarchy); ecclesiastical concords and patronage (1482 and 1486); the Inquisition (1484-1487); the expulsion of the Jews (1492); the transformation of the Royal Council and Court (1493); monastic policy (1493); the Council of Aragon (1494); taxation of the Crusade (1496). Within the framework of these changes to, remodelling of or newly created tools for royal intervention, the nobility underwent a mutation.4 The continuation of pact-making after the civil war, guaranteed in 1481 by the Observança (establishing the principle of royal submission to the law), did not arise out of nothing. One could possibly look for precedents to the Observança as a system which placed law as a central point of reference in the legislation of 1299. However, this remains uncertain while there is no agreement between legal historians, who rather fear that it may have been a later legal manoeuvre. On the other hand, it is clear that an important stage in its deployment was the Concorde or Capitulation of Vilafranca, between the Great Council of the Principality of Catalonia and John II. On the eve of the war of the 15th century John II signed it, albeit reluctantly.5 Another notable aspect of Catalan identity is its system of monarchic succession. In Catalonia the succession was not automatic. The King was required to swear an oath to uphold the Constitutions, that is, the laws enacted by Parliament. The Observança of 1481 obliged the Diputació (a body which supplemented royal power to some degree by implementing the decisions of the Catalan Courts) to hear the requests or complaints of commoners or private citizens with regard to any violation of the

4 5

The work of Jaume Vicens i Vives, Els Trastàmares (Barcelona: Teide, 1956), remains a pertinent synthesis of the creative remodelling of royal tools by Ferdinand II. See Imma Muxella, La terra en guerra…, pp. 77-172, for an interesting study of this point.

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law and bring them to the notice of the Court which would then have to issue a ruling. The reforms Ferdinand II carried out after the war of the 15th century reveal an institutional continuity of note: the maintenance of Parliament (1480); the Observança (1481); the continuance of the Diputació or Generalitat (1493), of the Consell de Cent (Council of One Hundred) of Barcelona (1498) and of the municipal structure in general. Even so, using the excuse of the need to clear the war debts incurred by the institutions, Ferdinand II practiced interventionism in both the Council of One Hundred and the Diputació. As a result of direct intervention, election by lottery, initially subject to royal supervision, was restored in these institutions although this stricture disappeared after the death of Ferdinand II.6 The institutional reforms confirm a changing of the guard within the ruling classes: la Busca and buscaire party populism, which had been manipulated to an extreme by the governor of Catalonia Galceran de Requesens, was replaced by Jaume Destorrent, representative of a new Barcelona oligarchy that had played the royal card during the war. This new oligarchy had nothing in common with the old Busca and Biga parties or the Count of Pallars, the last of the original Pyrenean Counts, who had been superseded by the emergence of the Cardonas. The post-war years this saw the socio-economic restructuring of the territory. This affected the landed gentry, the urban oligarchies, trade guilds and tenant farmers to a greater or lesser degree. Rural equilibrium was based on the ruling of Guadalupe of 1486, which, without taking completely into account all the demands of the peasants, favoured them rather than the king. Furthermore, it was on the whole a restrictive copy of the Barcelona agreement of 1463, which had been put forward in 1462 and which the Catalan institutions started to apply at the beginning of their confrontation with John II but were unable to fully implement due to the war.7

6 7

See the reflections on fifty years of work by Vicens i Vives on Ferdinand II in the doctoral thesis by Àngel Casals, “Vicens Vives i el redreç de Ferran II a Catalunya, cinquanta anys després”, Revista de Catalunya, 35 (1989), pp. 50-61. For tithes and the sentence, see Rosa Lluch, Els remences i la senyoria de l’almoina de Girona als segles XIV i XV (Girona: Centre de Recerca d’Història Rural, 2005). Also Eva Serra, “Vicens Vives i els remences: Tornar-hi a pensar”, Pedralbes, 30

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The landed institutions: the political tools of the upper classes Since the constitution of 1283, the monarchy had formally and explicitly accepted a limitation of its prerogatives by engaging in power sharing with representatives of the upper social strata. The framework of the Catalan constitution guaranteed a degree of political representation and participation that was wide-ranging for the Europe of that time. This power sharing and its corollary subjection of the King to the observance and upholding of the Catalan constitution (the Observança) functioned through various public institutions. The most important of these were the general parliament because it was the source of law; the Diputació or the Generalitat, comparable to the executive arm of government; the municipal institutions — in the case of Barcelona, the Council of One Hundred, and which in the rest of the territory existed in the form of similar municipal assemblies of varying degrees of importance. Within this framework a plurijurisdictional legal system emerged alongside the Court, representing the modern transformation of the old chancellory and medieval royal councils into domains of public and civil competence. Without going into detail, it will suffice to say that the importance of the general parliament lay not only in its functions of making laws and voting grants to the king, but also and above all in its own legislative capacity. Legislation in Catalonia did not depend on royal proclamations but on parliamentary consensus among the ruling classes, and between the ruling classes and the king. The function and composition of this parliament are noteworthy.8 With regard to its composition, there were three arms or estates of the general parliament which normally sat separately, but which during sessions of parliament acted jointly through their lobbyists, both among

8

(2010), pp. 107-119. Not forgetting the work of Concepció Fort i Melià, “La Diputación de Cataluña y los payeses de remensa: Sentencia arbitral (1463)”, Homenaje a Jaime Vicens Vives (Barcelona: Universitat de Barcelona, 1965), vol. I, pp. 431-444. For a general view of the Catalan institutions before 1714, see Víctor Ferro, El dret públic català: Les institucions a Catalunya fins al Decret de Nova Planta (Vic: Eumo, 1987).

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themselves and with the king’s representatives. The ecclesiastical arm or estate comprised the ecclesiastic hierarchy, the canons and the religious orders; the military was the most numerous, if not the most homogeneous, and was composed of titled nobles and knights; lastly came the popular or municipal arm, perhaps the most interesting as it was the most dynamic and represented the parliamentary presence of the third estate. The quantity and quality of the popular arm was important. Taking as a point of reference the parliament of 1599, municipal representation as a demographic percentage of the Catalan population was 23.6%, that is, almost one quarter of the urban population.9 It is true that there was an imbalance between socio-economic status, urban demography and representation, but it is also true that in each general parliament there were demands for the amplification of urban representation. The most significant incorporation or broadening of representation was that of Mataró in 1585. Between 1563-64 and 1626-32 the commons were convened 38 times.10 It is true that there were, for various reasons, important absentees like Sabadell, Terrassa, Moià, Tarragona, Reus or Valls; some due to being almost entirely new creations (as in the case of Terrassa), others for pertaining to lordly representation (as in the case of Tarragona, represented by its archbishop). The representation of the popular arm was significant when compared with the parameters of modern Europe. Closer analysis of the functioning of parliament indicates that the laws were, largely, initiatives of the different arms, and also of the lobbyists of the popular arm. The parliamentary lawmakers, elected from the arms under scrutiny of their peers, presented the instructions of the administrators (in the form of law). The administrators of the royal arm, acting on imperial orders, played an important role. As stated previously, each 9

Eva Serra, “Ciutats i viles a Corts Catalanes (1563-1632): Entorn de la força municipal parlamentària”, in XVII Congrés d’Història de la Corona d’Aragó: El món urbà a la Corona d’Aragó del 1137 als decrets de Nova Planta (Barcelona: Universitat de Barcelona, 2003), vol. III, pp. 873-900. 10 Towns represented in parliament by trustees from 1563-64 and from 1626-32, according to the census of 1553 and in demographic order were: Barcelona (6,532), Perpinyà (1,755), Girona (1,314), Lleida (1,109), Tortosa (988), Vic (598), Cervera (476), Vilafranca del Penedès (386), Puigcerdà (377), Balaguer (352), Manresa (350), Torroella de Montgrí (245), Tàrrega (224), Agramunt (205), Granollers (209), Mataró (204), Caldes de Montbui (197), Figueres (189), Sarreal (187), Besalú (180), Berga (178), Cotlliure (174), Pals (147), Santpedor (118), Vinçà (98), Sant Pere de Vilamajor (95), Tuïr (94), Vilanova de Cubelles (93), Camprodon (81), Cruïlles (79), Argelers (76), L’Arbós (74), Talarn (72), Vilafranca del Conflent (66), Cabra (62), El Voló (40), Els Prats del Rei (33) and Salses (14). Eva Serra, “Ciutats i viles…”.

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arm could deliberate and make rulings independently, while the lobbyists guaranteed smooth relations between the arms to gain consensus. The arms having made their rulings, the legal text established by the lawmakers was passed to the king’s scrutineers for him to issue the final decree. As laws were drafted, two notable incidents, among others, could occur. There could be disagreement between the arms or disagreement between the arms and the King. In the first instance a solution could be the withdrawal of the law and then waiting for a later consensus (for example, the Urgell canal), or the application pressure on the king to make a ruling. In such a case, the law, not being a product of the three arms, could not be either a constitution or a court chapter. It became an Act of Court, of lesser value in the case of judicial conflict, as occurred over the laws on tithe innovations or redemptions on baronial jurisdiction (1553). It was also possible to obtain a royal decree, albeit ambiguous, contradictory or with conditions according to royal whim (as would be the case with the transport of wool produced in Castile and Aragon through Tortosa, which the king exempted from Catalan taxation (Court Chapter 13, 1520). In the latter case the solution could also be to withdraw the law and await a better moment. An example would be the case of the bill on the commerce of horses, aimed at blocking a royal decision that was illegal in itself, as it was not within the purview of the book of constitutions, court chapters and other rights of Catalonia. Again some sort of ambiguous royal ruling could provide a temporary solution. Speaking of ruling classes obliges the historian to consider representation in and the functioning of government at national and municipal level. From 1493 the Diputació functioned hand in hand with the extant social structure: an ecclesiastical group, a group representing the military arm, and groups from the towns and cities representing Barcelona, Lleida, Girona, Perpinyà, Tortosa, Vic, Puigcerdà, Cervera, Besalú, Torroella, Manresa and Balaguer, totalling between deputies and magistrates (oïdors), 208 insaculats (persons elected by lottery from the Generalitat or the Council of One Hundred). These, in addition to the 66 clerics and the 250 from the military arm, added up to a grand total of 524 insaculats. Each estate had one deputy and magistrate with a three year mandate. The lottery was held every 15th May or in July if it was the third year. The results were announced on the day of Saint Helena on the last year

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of the triennial. The Diputació was subject to inspection (la visita) at the end of each triennial. The list of candidates was, therefore, long, but not all enjoyed good fortune in the lottery. The lottery itself was also triennial, in accordance with the deputies’ mandate. Re-election to a second term was not possible. As far as the municipal system is concerned, it employed a one year mandate system. Looking at Barcelona permits us to identify that the lottery system was founded upon three bodies, which began functioning from 1498: the General Council (in Barcelona the assembly consisted of 144 sworn representatives), the Trentenari (25% of the Council of One Hundred: an advisory committee with a three-month rotating mandate) and five or six councillors from the ministries. Since Ferdinand II the allocation of sworn hands was: 48 honourable citizens, 32 merchants, 32 artists and 32 artisans. Up to 1641 the five ministries consisted of three citizens and knights, one merchant and one rotating ministry between artists and artisans. 1641 saw the introduction of a sixth minister, which put an end to the rotation between artists and artisans. This composition and functioning suggest that the higher social classes acted through powerful institutions, enacting laws through the General Courts and governing via the Diputació of sworn municipal councils. The regulations of the Diputació or Generalitat were the laws approved in Parliament, while the municipalities applied royal decrees of a public nature locally.

The 16th century: climate of change and the beginning of imperial policy Until 1516 it is not possible to speak of any union of kingdoms,11 and even in the third decade of the 17th century Pau Duran, Bishop of Urgell, was still affirming that the union had come to pass by accident.12 In the

11 Núria Sales, Els segles de la decadència (segles XVI-XVIII) (Barcelona: Edicions 62, 1989), pp. 21-28 and 447. Àngel Casals, L’emperador i els catalans: Catalunya a l’imperi de Carles V (1516-1543) (Granollers: Ed. Granollers, 2000), pp. 21-54. 12 Joan Busquets, “Bisbes espanyols i francesos a Catalunya durant la Guerra dels Segadors”, El Barroc Català: Actes de les jornades celebrades a Girona els dies 17, 18 i 19 de desembre de 1987 (Barcelona: Quaderns Crema, 1989), p. 77, n. 17.

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Habsburg era we find a country that changes, grows and breathes uneasily. Until 1528, landed gentry, urban oligarchies, trade guilds and peasant farmers seem to be more or less in harmony with the Crown thanks to peace with France and the struggle with the Turks. In spite of some unsettling signs the monarchy functioned in tune with the country: regal commitment to contribute four galleys; supervision of and improvement to municipal regiments; access to the Courts of Balaguer and Tàrrega; commitment of the Diputació to reduce public debt; preferential rights of access to the Mediterranean for the Catalans.13 There was also greater Catalan ambition, as illustrated by the petition of Frederic Honorat de Gualbes for direct trade between Catalonia and America (1522), although this was not granted.14 Things began to change when Charles V’s title of Count of Barcelona became subordinate to the title of emperor, and Habsburg imperial policy was put in motion, as shown by the crisis of 1520-1522. At that time we cannot speak of ruling classes, but rather a network of imperial clients, royal civil servants or a monarchical privy council: Joan Ferrer i Despuig in the treasury; Francesc Gralla i Desplà as financial auditor; Berenguer d’Oms; the humanist Miquel Mai; the Captain General of the counties, Francesc de Beaumont; the lieutenant of the protonotary, Joan de Comallonga; the secretary Miquel Joan i Pastor; as well as the vicechancellor Frederic Honorat de Gualbes from the times of Ferdinand II. However, the institutions reveal certain private interests. Confronted by symptoms of revolt among the trade guilds they recoiled from revolutionary contagion and for this reason gave no support to the Valencians, preferring to avoid the entry of the lieutenant of Valencia, Hurtado de Mendoza, and the Valencian conflict into Catalonia. On the other hand, they facilitated the detention of the Franciscan Barceló who preached against the textile tax.15 With Charles V now emperor, Catalonia acquired a land and maritime imperial frontier but Barcelona lost its commercial privileges in the Mediterranean due to the Alliance with Genoa (1528). The institutions

13 Àngel Casals, L’emperador…, pp. 55-128. 14 Ferran Soldevila, Història de Catalunya (Barcelona: Alpha, 1963), pp. 897-898 and 911. 15 Eulàlia Duran, Les germanies als Països Catalans (Barcelona: Curial, 1982).

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still have a shared interest with the emperor’s efforts to control piracy in the Tunisian (1535) and Algerian (1541) campaigns, but also show a certain anti-imperial proclivity which begins to differentiate between the king’s wars and their own. The years 1539-1543 saw various critical episodes, revealing essentially Catalan and not imperial interests. There was, for example, the issue of the inquisitor Ferran de Lloasses, who prosecuted people for false reasons of faith; the conflict with Barcelona over the imperial imposition of costly fortifications; and resistance, for military rather than anti-establishmentarian reasons, to royal policy of patrimonial recuperation which supplanted the native nobility. This last point explains the clashes in the counties, in the Castellbò Viscounty and later the Ribagorça conflict, which gave rise to a patriotic partisan movement in defence of the country against the Castilian-German militarisation of the frontier.16 Rather than a ruling class, what we see emerging in the 16th century is an opposition to the Inquisition, to the Captaincy General and to rules of war which undermined the laws of the land. The fight against the abuses of the soldiery and the fight in defence of the land and its constitution were interconnected. Equally, there was a link between the accusation of bandoler [outlaw] and royal dissent. The Duke of Cardona and the magistrature remained passive, not wishing to put their own internal client networks at risk. But this was not a country spinning out of control. A glance at the laws approved by the Court show a growing nation, obliged to endorse social, economic and political measures adequate to its needs. Thus, we see laws designed to stimulate production and commerce, to standardise weights and measures, to guarantee the quality of the currency, for public works, public finances, public and private credit, civil and commercial law, public infrastructure, public order, inspectorates, social laws regulating hospitals, tax rebates and the creation of the position of advocate for the poor.

16 Àngel Casals, L’emperador…, pp. 370-453. Xavier Torres, Els bandolers (s. XVIXVII) (Vic: Eumo, 1991), pp. 79-94; Eva Serra, “Signori bandolers e legislazione nella vita parlamentare catalana”, in Banditismi mediterranei (secoli XVI-XVII) (Urbino: XV Comunità Montana del Barigadu-Sardegna, 2003), pp. 147-169.

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In parallel we see signs of a desire to control the extent of the royal prerogative, designed to guarantee the Observança and to extend representation in parliament, the Diputació and the municipalities.17

Political fragmentation: from the disturbances of 1587-93 to the General Courts of 1626-32 Meetings of parliament became infrequent and the Observança was rarely upheld. One eloquent example would be the implementation of the excusado (a tax on every third household in every parish) granted by the Pope in 1567. This was strongly opposed, obliging the intervention of the Inquisition in the Diputació and the imprisonment of some deputies (1569-70). New “constitutional” ideas emerged during the conflict.18 The opposition began to look for alternative political methods and advisory support. The General Courts of 1585 approved the Juntes de Braços (broadly based political groups supporting the Diputació) and the Divuitenes (special commissions) to resolve cases of extraordinary public expenditure or legal interpretations. During these sessions royal officials advised the King that these laws would be a gran fastidio [great nuisance] to him in the future. As the conflict ran on, royal authorities accused the Catalan institutions of wishing to llevar la corona del cap del rei [uncrown the king], while the institutions accused the king of wanting poder absolut [absolute power].19 That these were controversial times is also demonstrated by the fact that legislation that strengthened Catalan political power coincided with legislation introduced by the Barcelona

17 Àngel Casals, L’emperador…, p. ??. Jordi Buyreu i Juan, Institucions i conflictes a la Catalunya moderna, 1542-1564 (Barcelona: Rafael Dalmau, 2005), pp. 130-147; Eva Serra, “Constitucions i redreç: Corts de Montsó-Barcelona (1563-64) i Corts de Montsó (1585)”, in Congrés Internacional Felip II i la Mediterrània: Barcelona 23-27 November - Roma 2-4 December, 1998 (Madrid: Sociedad Estatal para la Conmemoración de los Centenarios de Felipe II y Carlos V, 1999), vol. IV, pp. 159-189. 18 Ricardo García Carcel, Historia de Cataluña: Siglos XVI-XVII (Barcelona: Ariel, 1985), vol. I, pp. 382-385; Dietaris de la Generalitat, vol. II anys 1539 a 1578 (Barcelona: Generalitat de Catalunya, 1994). References to this episode can be found between pp. 203-327. 19 Miquel Pérez Latre, “Les torbacions de Catalunya (1585-1593): De les Corts a la suspensió del nou redreç de la Diputació del General”, Afers, 11/23-24 (1996), pp. 59-98.

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oligarchy prohibiting inter-guild meetings (equivalent to what we would call union meetings these days).20 Not long afterwards came the widespread disturbances of 15871593, large-scale political fragmentation over two periods and for two reasons. The first was set off by interference from the Audiència (a court established to administer royal justice) in the inspection (visita) of the Diputació against the ex-military deputy Joan de Queralt, who had lobbied in favour of the king during the parliament of 1585. The second came when the viceroy tried to capture Joan Granollacs and other military deputies, on the grounds that they had arrested royal officials, and accused them of not obeying the constitutions. Popular dissent prevented the capture of Granollacs and his followers, and for eleven months the Diputació building became a hub of resistance. This evolved into a political alliance between the Diputació and the city of Barcelona which resulted in the convening of the Juntes de Braços, the Divuitenes and an advisory council in order to obtain a broader consensus.21 Their deliberations on the abuses of the royal jurisdiction took place in the Diputació, where they were shielded from viceregal intervention by armed members of the trade guilds who guarded the building. According to contemporaries, the Diputació became el nervi de Catalunya [the nerve centre of Catalonia], todo Barcelona vino a ser Diputación [Barcelona itself became the Diputació] and Catalonia began to resemble a republic (como de república). As these events unfolded, the Genoans, rivals of Catalan commerce and production and allies of the king, were expelled from Barcelona; viceregal policy with regard to export licences for corn at a time of shortage was questioned; and the extradition of Staës, the Flemish servant of the Aragonese rebel Antonio Pérez, was contested. Resistance came to an end with news of the execution of the Justice of Aragon, Joan de Lanuça, and that the Castilian army under Los Vargas had moved into Aragon and would possibly enter Catalonia. Later, in 1593, a Royal Decree suspended the Chapters authorised by the Juntes

20 Eva Serra, “Constitucions i redreç…”, p. 172; L.R. Corteguera, Per al bé comú: La política popular a Barcelona, 1580-1640 (Vic: Eumo, 2005), p. 83; also for the global aspirations of the Barcelona guilds in the parliament of 1585, see pp. 87-118. 21 For a history of the Diputació in the 16th century, see Miquel Pérez Latre, La Generalitat de Catalunya en temps de Felip II: Política, administració i territori (Catarroja-Barcelona: Afers, 2004).

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de Braços and the Divuitenes and their representatives, banishing and imprisoning knights and pressing several artisans into service on galleys.22 Of the 104 individuals involved in the disturbances that obtained remission, 30 were nobles or honourable citizens, while of the remaining 74, two thirds (some 50) were artisans and the rest merchants, artists, peasant farmers, shepherds and sailors. The landed gentry had led an open challenge to the royal power (they had questioned royal authority and usurped royal privileges).23 Concurrent with these events, the Jesuit brother Masnovell preached sermons (November, 1588) proclaiming that the Catalans had never been conquered and had rid themselves of both Moors and Jews on their own, with no foreign help. They had also accepted the nephew of Charlemagne as emperor of their own free will and volition.24 These acts reveal the existence of a solid opposition and the embryo of inter-hierarchical sectors that had yet to evolve into fully developed social classes. This opposition sought to achieve social ascendancy. In 1599 the monarchy tried different tactics ranging from amnesties to ennoblement. However, the landed gentry and wealthier commoners alike continued to coalesce into a revolutionary leadership bloc. This explains why the Bills of the General Courts of 1599 were not ratified until 1603. Several issues divided the king and the bloc’s leadership. One among many legal conflicts now centred on the defence of the right of knights to bear arms and their squires to carry gunpowder. Another was over wage containment for magistrates of the royal bench who, although paid by the Diputació, did not fulfil their constitutional duties. It is also true that in parallel with litigation with the king, the question of tithes and royal jurisdiction led to confrontation between the popular and noble estates. But it was the issues of the bearing of arms and magistrates’ salaries that were instrumental in the councillors Joan de Vilanova and Josep 22 For an excellent study, see Miquel Pérez Latre, “Les torbacions de Catalunya…” and Entre el rei la terra: El poder polític a Catalunya al segle XVI (Vic: Eumo, 2004), chapters 5 and 6. 23 Miquel Pérez Latre, Entre el rei i la terra…, pp. 280-282; Antoni Simon i Tarrés, Pau Claris, líder d’una classe revolucionària (Barcelona: Publicacions de l’Abadia de Montserrat, 2008), p. 38. 24 Eva Serra, “El pactisme català davant l’absolutisme dels Habsburg”, in Història, política, societat i cultura dels Països Catalans, Vol. IV: Crisi Institucional i Canvi social: Segles XVI i XVII (Barcelona: Enciclopèdia Catalana, 1997), p. 51; Manual de Novells Ardits vulgarment apellat Dietari del Antich Consell Barceloní, vol. Sisè,

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Castellbell being imprisoned from 2 March to 6 July 1602: avían estat presos quatre mesos y quatre dies per los debats éran entre lo senyor rey y la Terra [they were imprisoned for four months and four days because of the row between the king and the gentry], that is, for the refusal to admit some Chapters of the General Courts of 1599.25 The events of the closing years of the 1500’s had left a deep mark. Thus, the cleric and student of heraldry Jaume Ramon Vila (Barcelona 1570-1638) railed against the king in his personal diary: no gustava de ninguna manera de que los vassalls tinguessen privilegis ni llibertats, per la qual cosa afavorí sempre tota sa vida més als castellans [he did not accept that his subjects should have neither privileges nor liberties, and in these matters he favoured the Castilians his entire life].26 Between 1587-1593 and 1640 a culture of defence of Catalonia’s constitutional system gained headway, transcending the generation gap and becoming an active political resistance. The constitutional opposition was strengthened in the 1620 because of its stance against the king’s fiscal policy, which claimed 20% of municipal and stockmarket incomes as well as claiming a slice of French-Catalan (or rather, Occitan-Catalan) commerce. This trade was made illegal, reducing it to the same status as contraband, because of the enmity between the kings of France and Spain. Royal policy seriously affected the finances of the Generalitat. These are the years in which the resistance accepted a viceroy until the new king swore to uphold the constitutions (viceregency 1621-1622). They also the years of the Count-Duke’s secret report (1624) which recommended the method of carrot and the big stick for Catalonia (i.e. to praise them while inciting civil unrest which would justify a royal military intervention).27 The leaders of the resistance, some 780 of the landed gentry, found themselves in a precarious economic situation around 1626, in addition to being cut off from royal patronage, and this contributed to the solidity of their common front.28 There was a large number of knights excluded

anys 1588-1597 (Barcelona: 1897), p. 104. 25 Dietari de Jeroni Pujades, I (1601-1605) [edited by Josep M. Casas i Homs] (Barcelona: 1975), pp. 174 and 192-193. 26 Antoni Simon i Tarrés, Pau Claris…, p. 42. 27 J.H. Elliott, La revolta catalana 1598-1640 (Barcelona: Vicens Vives, 1966), pp. 147-169. 28 Antoni Simon i Tarrés, Pau Claris…, p. 48.

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from the court aristocracy and quite distinct from “castilianised” aristocrats like the Duke of Cardona.

The lost laws of the unfinished General Courts of 1626 In 1632 the resumption of the General Courts of 1626 and the approval of new laws from the unfinished parliament were attempted without success. Those laws which existed without a final royal decree reveal a political project that still favoured the Spanish monarchy. Here we find laws concerning granting rights to the nobility to allow them access to production and commerce without losing their noble status; rulings providing for the expansion of urban representation in parliament and the council; protectionist provisions for production; measures to eliminate or moderate the royal fiscal policy known as the fifths (20%); the creation of a court of constitutional guarantees; a mixed royal/landed tribunal (Sala de Sant Jordi) to avoid inefficiency in and the blocking of hearings regarding irregularities.29 The failure of this parliament can also be considered as a show of strength by the emerging bloc, which without doubt preferred an unfinished parliament producing no legislation to the alternative of having to contribute to an Unión de Armas [Union of Forces] — a permanent Royal Spanish Army — with 16,000 Catalan soldiers.

1640: the emergence of a revolutionary bloc The crisis of the 1640s, known as the Reapers’ War,30 allows us to observe the interaction between three factors: the formation of a revolutionary bloc, the emergence of institutional changes and a strong, albeit nascent, national project.

AHCB, CC-XVI-82 and 84. 30 For the war, see Eva Serra, “Introducció”, in Vv. Aa., La revolució catalana de 1640 (Barcelona: Crítica, 1991), pp. VII-XIX; Núria Florensa, El Consell de Cent: Barcelona a la Guerra dels Segadors (Barcelona: Àrea d’Història Moderna, Universitat Rovira i Virgili, 1996). An important later contribution on the Reapers’ War is Xavier Torres, La Guerra dels Segadors (Vic-Lleida: Eumo-Pagès, 2006).

29

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The protagonists of 1640 represent a broad-based and diverse crosssection of society.31 Alongside the landed gentry were merchants, liberal professionals, artisans and dynamic peasant farmers. A close reading of those that swore allegiance to the homeland at the Junta de Braços, between September 1640 and March 1641, demonstrates this.32 The formation of a joint government also implies a change in the institutional landscape. Historically, Catalan institutions had been upper class and collegiate with a tendency to act conjointly. In the 15th century the war against John II was organised under the aegis of the General Council of the Principality (a form of government of national unity); whereas the Catalan upheavals at the close of the 16th century came under the Junta de Braços and the Divuitenes, to such a degree that the General Council was, at times, undermined. In the conflict with the viceroyalty, 1621-1622, embassies were sent to Philip III by the three commons (the Diputació, Barcelona and knights guilds of recognised value: Bellafila, Navel, Dalmau among others). During the same period — the first third of the 17th century — deputies stressed the political importance of la unió i conformitat que és entre aquestes dues cases (Diputació i ciutat), braç militar i tots los altres, que no hi ha persona que sigui de contrària opinió si no és los interessats, o que, altrament, per la naturalesa acostumen a ser malintencionats a les coses de aquesta pàtria [union and agreement between these two bodies (Diputació and city), the military and other estates, where no-one expressed a contrary opinion except for the vested interests, or those who were otherwise naturally opposed when it came to issues related to this country].33 The decade of the Reapers’ War encouraged this joint action which can be considered as proto or pre-republican and can be summarised thus: during the events of 1640 we see some significant dislodging of veguers (civil servants representing the nobility)

31 For its long, slow development, see M. Adela Fargas Peñarrocha, Família i poder a Catalunya, 1516-1626: Les estratègies de consolidació de la classe dirigent (Barcelona: Fundació Noguera, 1997). 32 P. Basili de Rubí (ed.), Les Corts Generals de Pau Claris: Dietari o Procés de Corts de la Junta General de Braços celebrada al Palau de la Generalitat de Catalunya del 16 de setembre a mitjan març del 1641 (Barcelona: Fundació Vives i Casajuana, 1976), pp. 85, 162-163, 476-478; Ricardo García Cárcel, Pau Claris: La revolta catalana (Barcelona: Dopesa, 1980), pp. 161-174. 33 J.H. Elliott, La revolta…, p. 159.

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by anonymous captaincies. It is also pertinent to observe the alliance that arose between rebels and institutions. The release of the deputy Francesc de Tamarit (22 May 1640) and popular unrest over the supposed death of a councillor on 7th June 1640 were the catalysts. In the disturbances that followed, the institutional apparatus of the king was dissolved: the viceroy disappeared (dead at the hands of the common people) as did the magistrates of the High Court (dead or in hiding), while the tercios (Spanish troops) were removed (taken by sea). Immediately afterwards the urban and rural revolt, which was not only but especially against the tercios, is taken up institutionally, and social revolt is transformed into full-scale revolution.34 Then, on 10 September 1640, a widely representative municipal parliament known as the Junta de Braços or “Court of Pau Claris” was convened in the king’s absence. No es pot pendre bon assentament si no és concorrent-hi tots [Without the presence of all there can be no agreement between all],35 proclaimed the Junta. More than a thousand representatives, of which at least two thirds represented the popular arm, swore an oath of allegiance to Catalonia and its government. As this republican government emerged, the Catalan aristocracy went into exile.36 A proto-republic in terms of representation, participation and government, it was led by members of the landed gentry. Among other figures were Pau Claris, Francesc de Tamarit, Aleix de Sentmenat, Francesc de Vilaplana i de Copons, Josep de Margarit i de Biure and Ramon de Guimerà. Sworn members of the Council of One Hundred of Barcelona like Francesc Joan Vergós and Lleonard Serra, jurists such as Joan Pere Fontanella, the doctor Pere Joan Rossell, the canon Francesc Puig, the merchants Jeroni and Rafael Matali, or the canon Pau Rosso, worked alongside them.37 The composition of its leadership transcended class,

34 Eva Serra, “Segadors, revolta popular i revolució política”, in Revoltes populars contra el poder de l’Estat: Centre de Lectura de Reus, 18-19-20 Octubre, 1990 (Barcelona: Departament de Cultura, Generalitat de Catalunya, 1992), pp. 45-57; Eva Serra, “Catalunya el 1640”, Pedralbes, 15 (1995), pp. 137-150. 35 Les Corts generals de Pau Claris…, p. 58. 36 Jordi Vidal, Guerra dels Segadors i crisi social: Els exiliats filipistes (1640-1652) (Barcelona: Edicions 62, 1984). 37 For the personality of Joan Pere Fontanella and the socio-political context of the lifelong activities of the eminent jurist, see Josep Capdeferro i Pla, Ciència i experiència: El jurista Fontanella (1575-1640) i les seves cartes (Barcelona: Fundació Noguera, 2012).

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being, as we say now, transversal. Some were even Italian or Sardinian, as the surnames Matali and Rosso demonstrate.38 A broad-based government of national unity was set up. Thus, side by side with the Junta de Braços worked a group of Divuitenes which later became a larger group formed from the three arms. In the new, larger group there were not only representatives of Barcelona, but representatives of Lleida, Vilafranca del Penedès, Girona, Cervera, Granollers and Vic were also present. Technically the government was structured into three new bodies: in the first place, a board of finance including representatives from Barcelona, Cervera, l’Arbós and Tàrrega. The board issued public debt bonds of 300,000 Spanish libras, financed by an increase on taxes of luxury products by the government. More than 400 people, 63% of whom were artisans, underwrote this bond issue. In the second place, a war cabinet consisting of representatives from Barcelona, Vic and Camprodon assumed responsibility for raising levies commanded by knights and also voluntary levies under local command. This mobilisation produced levies that were initially known as almogavars was subsequently called miquelets. Finally they created a Board of Justice, substituting the old royalist magistrature which had disappeared at the outset of the revolution with new magistrates. For example, when the royal high court judge Gabriel Berard died in an attack on 7 June, he was replaced by Josep Fontanella as Judge of the High Court of the Diputació in September 1640. The 21 judges of the royal high court became the ten of the High Court of the Diputació (Curial Principatus Cathaloniae). Of the ten, five came from the landed gentry, one from Barcelona, another was a brother of the order of Saint John and three were doctors from Lleida, Tarragona and Girona. The new high court became the supreme court of justice with powers of jure belli. Their documents no longer needed the royal heading in order to be passed for consideration by the deputies. There were also embryonic, clandestine international relations carried out by outpost barons such as Francesc Vilaplana, Aleix de Sentmenat and Ramon de Guimerà. These activated a new international alliance, the pact of Peronne, on 19 September 1641.39 38 For a complete list, see Antoni Simon i Tarrés, Pau Claris…, p. 83: “Nucli dirigent de la revolució de 1640.” 39 Les Corts generals de Pau Claris…, pp. 55-56, 82-83, 118-119, 129-130, 132134, 151-152, 169-170, 178; Eva Serra, “L’inici formal de la guerra contra el rei:

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This political model, arising out of the resistance of an upper class seeking to consolidate a republican political model, was politically robust but militarily weak. This explains why the republic lasted only informally for scarcely a week, from 16 to 23 January 1641.40

The national republican pactism project This precarious and short-lived political project is well worth a closer look. Not only were its values republican, its initial purpose was nothing less than an Italian style republic under the military wing of a sort of Carolingian emperor. Catalans at that time saw the king of France more as the descendant of Charlemagne than as a Bourbon king.41 The leaders of the Catalans were against war. In fact, they sought peace with France and the repeal of the Spanish war taxes; they sought to boost production and commerce at home42 without interference from the captaincy which had, in the king’s name, blocked Catalan commerce and, among other measures, opposed the ecclesiastical privileges of Catalans. In a word, they demanded compliance with the Observança. The dream lasted for two days. They were under threat from two Spanish armies, one based in Aragon and the other in Rosselló. These were already on the move and this spurred the idea that only another king could oppose the king, a contemporary opinion attributed to the Barcelona tanner Miquel Parets.43 Thus, the leaders of 1640 were forced to shift from the original idea of a protected republic to that of a county under French domination. Even

40 41 42 43

un censal de tres-centes mil lliures: Nota a un aspecte de la Guerra dels Segadors”, in Albert Rossich and August Rafanell (eds.), El barroc català: Actes de les Jornades celebrades a Girona els dies 17, 18 i 19 de desembre de 1987 (Barcelona: Quaderns Crema, 1989), pp. 89-135; Eva , “Introducció” and “1640: Una revolució política: La implicació de les institucions”, in La revolució catalana de 1640 (Barcelona: Crítica, 1991), pp. VII-XIX and 3-65. Les Corts Generals de Pau Claris…, pp. 412 and 427-428. The aforementioned sermon of Brother Masnovell is an example of the high exaltation of Charlemagne. For a study which helps situate the economic ambitions of the time and the changes undergone after 1652-1659, see Elisa Badosa, La Barcelona del barroc a través d’una família de comerciants: Els Amat (Barcelona: Fundació Noguera, 2012). Miquel Parets, Crònica Llibre I/1, vol. I, edited by M. Rosa Margalef (Barcelona: Ed. Barcino, 2011), p. 397.

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so, the election of a new sovereign responded to their own international policy, just as at the economic level the existence of a strictly Catalan monetary policy directed from Barcelona and with its own national symbolism is noteworthy. At a time when there was a very close relationship between King and currency, this clearly illustrates and indicates the singularly republican nature of this movement, as detailed by Miquel Crusafont.44

Growing tensions up to 1705 The Catalan defeat in the Reapers’ War saw an increase of interventionism by the Spanish monarchy in Catalonia. The institutions were maintained, but their political staffs were kept under control (lottery under royal consent). Now a philosophy of subordinate allegiance was born45 and, in this new context, court intrigues began to be noted even in Barcelona. Such was the case of the political ambitions of John of Austria the Younger which had effects in 1669 and 1677.46 In a context of constant war, the Captaincy General played an important role in the second half of the 17th century. That is, the military took supremacy over the civil aspects of the viceroyalty and opposed any form of patriotic legal developments. The latter were cornered between either an allegiance to the king of France (as in the cases of Josep Fontanella, Ramon Trobat or Francesc de Segarra)47 or giving way to a certain royalist legal approach as in the case of Rafael Vilosa,48 even though alongside 44 Miquel Crusafont i Sabater, Història de la moneda de la Guerra dels Segadors (Primera República Catalana) 1640-1652 (Barcelona: Societat Catalana d’Estudis Numismàtics, Institut d’Estudis Catalans, 2001), pp. 27-74. 45 Rosa Maria Alabrús, Felip V i l’opinió dels catalans (Lleida: Pagès, 2001), pp. 35-54. 46 Fernando Sánchez Marcos, Cataluña y el gobierno central tras la Guerra de los Segadores (1652-1679) (Barcelona: Publicacions de la Universitat de Barcelona, 1983), chapters IV and V; Josep Maria Torras i Ribé, “El projecte de repressió dels catalans de 1652”, in Aa. Vv., La revolució catalana de 1640 (Barcelona: Crítica, 1991), pp. 241-290; Eva Serra, “Catalunya després del 1652: Recompenses, censura i repressió”, Pedralbes, 17 (1997), pp. 191-216; Eva Serra, “El pas de rosca en el camí de l’austracisme”, in Aa. Vv., Del patriotisme al catalanisme (Vic: Eumo, 2001), pp. 71-103. 47 See Òscar Jané, Catalunya sense Espanya: Ramon Trobat: Ideologia i catalanitat a l’empara de França (Catarroja-Barcelona: Afers, 2010). 48 Jon Arrieta Alberdi, “L’antítesi pactisme-absolutisme durant la Guerra de Successió a Catalunya”, in Aa. Vv., Del patriotisme al catalanisme (Vic: Eumo, 2001), pp. 105-128.

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Vilosa, other jurists aligned to a more pro-institutional pactism like Lluís Valencià and Francesc Solanes and Miquel Calderó49 emerged. Elisa Badosa begun to verify changes in the social elite, not only at the economic but also at the political level, between the decade of the Reapers’ War and the post-war decade. The role played by the commercial family Amat, which made loans to the Generalitat during the war, was filled by the merchant family Lledó which served the Captaincy, which is to say, the monarchy. It is even thought that Catalan manufacturers found themselves harmed by the Captaincy’s control over commerce, which favoured small traders in order to guarantee their allegiance to the Crown.50 Despite the destruction of productive resources caused by the Reapers’ War and afterwards by intermittent outbreaks of war in the Catalan territory, the second half of the 17th century saw the restoration and reproduction of the previous economic model as well as a period of growth which presaged the boom of the 18th century.51 This growth was led by Narcís Feliu de la Penya and was propelled by ties with Anglo-Dutch merchants like Kies, Jäger, Shallett and Crowe,52 without whom it is impossible to explain either the Catalan support for the Austrian claim or events like the creation of the New Company of Gibraltar at the beginning of the 18th century.53 Within this framework of the new interests in Catalan production and commerce, territorial specialisation and a nascent 49 Their trajectories can be traced via their role in the parliament of 1705-1706. With respect to Solanes and Calderó, both were the authors of the constitution excluding the Bourbons from the Catalan succession — José María Iñurritegui, “Las virtudes del jurista: El emperador político de Francisco Solanes y el amor a la patria”, in J. Sobrequés, J. Agirreazkuenaga, M. Morales, M. Urquijo and M. Cisneros (coords.), Actes del 53è Congrés de la Comissió Internacional per a l’Estudi de la Història de les Institucions Representatives i Parlamentàries (Barcelona: Parlament de Catalunya - Museu d’Història de Catalunya, 2005), vol. I. pp. 443-444. 50 Elisa Badosa — La Barcelona del barroc… — contrasts the cases of Pau Amat and Llorenç Lledó, pp. 139-144 and 145-159. The Amat-Lledó case is an example that will have to be reconsidered sooner or later. Similarly, more attention needs to be given to when foreign agents from England and Holland began to arrive and establish themselves in Catalonia — a decisive factor in the understanding of the new international alliances which Catalonia aspired to in the War of the Spanish Succession. 51 Eva Serra, “La crisi del segle XVII i Catalunya”, Butlletí de la Societat Catalana d’Estudis Històrics, XXIV (2013), pp. 297-315 52 Pere Molas, Comerç i estructura social a Catalunya i València als segles XVII i XVIII (Barcelona: Curial, 1977); Joaquim Albareda, Els catalans i Felip V: De la conspiració a la revolta, 1700-1705 (Barcelona: Vicens Vives, 1993). 53 Pierre Vilar, Le “manual de la compañya nova” de Gibraltar: 1709-1723 (Paris: SEVPEN, 1962).

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process of formation of an internal Catalan market emerged. With regard to international trade, winemaking, distillation and fruit and nuts played the decisive role. Catalonia has always been an exporting country. Small in size and population, its production outstripped consumption and exports were shipped to America, Northern Europe and western regions of the peninsula. Was war an inhibiting or a driving factor?54 While it is true that war-related trade carried a notable weight, it could never be considered a popular option. Thus, in that war-torn end of century, the words of Jaume Pey of Osona ni França ni Espanya si no visca la terra y muira el mal govern [neither France nor Spain, but long live this land and death to poor government].55 Hostelry, shipping and transport were disrupted. Then there were the so-called donatius voluntaris [voluntary donations], which were in fact forced and unwelcome donations levied in addition to taxes, and pacted between the Captaincy and the Diputació, albeit reluctantly on the part of the latter.56 Under no circumstances can the new dynamic of the country in the second half of the 17th century be attributed solely to war-based trade. It must instead be attributed to a dynamic economy, able to support solid political structures, restricted by the monarchy but even so retaining the capacity for resistance and innovation. Thus, a politically and socially dynamic society was able to join the international mainstream despite the obstacles placed in its way by an obsolete monarchy. In spite of institutional control, the country flourished in terms of production, commerce and social dynamism. In response to institutional control and the non-convening of parliament, the ruling classes learned to function upon the basis of jurisprudence, and gradually turned their ancient procedures into new political structures (Conferences of the Three

54 Jaume Torras, “L’economia catalana abans i després de 1714: Continuïtat i canvi”, Anuari de la SCE. (In press.) 55 Xavier Torres, “Segadors i miquelets a la Revolució Catalana (1640-1659)”, in Aa. Vv., La revolució catalana de 1640 (Barcelona: Crítica, 1991), p. 88. 56 Antoni Espino López, Cataluña durante el reinado de Carlos II: Política y guerra en la frontera catalana, 1679-1697 (Bellaterra: Universitat Autònoma de Barcelona, 1999); Maria Antònia Martí i Escayol and Antoni Espino López, Catalunya abans de la Guerra de Successió: Ambrosi Borsano i la creació d’una nova frontera militar, 1659-1700 (Catarroja-Barcelona: Afers, 2013). Also Manuel Güell (above all a study of the war from a local point of view), “Consideracions al voltant de la revolució militar a Catalunya”, Pedralbes, 28, 2 (2008), pp. 199-224.

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Commons),57 if necessary resorting to extra-judicial methods (embassies and formal reports). The emergence of new social movements in the second half of the th 17 century is attested to, for example, by the demand of Barcelona to be freed from the system of election by lottery (insaculació) in 1661, 1673, 1675, 1684, 1688 and 1698; by the use of the French-Spanish wars by Northern Catalonia in the service of reunification (anti-French rebels in Rosselló, the angelets de la Terra, in the 1660 and the plots of the 1670), and by the rise of a new leadership in the peasant revolt against the abuses of the troops of Charles II (known as the revolta barretina). In relation to these events, the role of the Saiol Quarteroni family in favour of the peasants’ case against the excesses of the Spanish armies during the 1680 is worthy of note.58 It is safe to say that the last quarter of the 17th century saw a replay of the situation in 1652-1659, where there was a conscious attempt to put a brake on militarisation and to regain institutional calm. The first manifestations of a political opposition appeared, embracing the Diputació and rural notables from the region of Vic like Jaume Puig de Perafita. The dismissal of Antoni and Daniel Saiol and Josep Sitges for having supported the claims of the barretines (1687-1689) crystallised this political core, which then tried to bring about a new alliance with France through its connections with politically ascendent Catalan refugees in Perpinyà (1690-1691), as in the case of Ramon Trobat of Barcelona, who had risen to the position of quartermaster of Roussillon.59 The Saiols, originally simple domestic servants in Barcelona, ended up

57 In 1991 Núria Sales underlined the importance of the Conferences of the Three Commons, “Abans del 1714: Cap a una democratització de les institucions catalanes”, in La commemoració de l’Onze de setembre a Barcelona (Barcelona: Ajuntament de Barcelona, 1994), pp. 96-104. The institution has been studied by Eduard Martí, La conferència dels tres comuns (1697-1714): Una institució decisiva en la política catalana (Vilassar de Mar - Lleida: Fundació Ernest Lluch - Pagès, 2008). 58 For events and leaders, see Joaquim Albareda, “Els dirigents de la revolta pagesa de 1687-1689: De barretines a botiflers”, Recerques, 20 (1988), pp. 151-170; Jaume Dantí, Aixecaments populars als Països Catalans, 1687-1693 (Barcelona: Curial, 1990). For these events and the Saiols, see Eduard Puig, “Les insaculacions de la Diputació del General de Catalunya: El cas dels germans Saiol i Josep Ciges (1687-1688), Pedralbes, 28, 2 (2008), pp. 673-688. And the recent work of Antoni Simon i Tarrés, Del 1640 al 1705: L’autogovern de Catalunya i la classe dirigent catalana en el joc de la política internacional europea (València: Publicacions de la Universitat de València, 2011). 59 Òscar Jané, Catalunya i França al segle XVII: Identitats, contraidentitats i ideologies a l’època moderna (1640-1700) (Catarroja-Barcelona: Afers, 2006).

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as an influential clan for two reasons: for their important economic and patrimonial connections and for the political leadership of Felicià Saiol i Barberà. He had already played a distinguished role in the post-war parliament of 1653 and had been ambassador of the Catalan institutions in Madrid in 1654, charged with the regaining of the institutions’ freedom without legal preconditions. He was protector of the military arm, and in his last years came to be considered the alborotador [rabblerouser] of the Council of One Hundred. Even so, more than a full-scale political offensive, all of this is better represented as a form of civil resistance. However, it is important to note that between 1687 and 1689 the peasants maintained confidence in the role of the institutions, as evidenced by their depositing of their demands with the Diputació. Despite the wear and tear provoked by the regime between 1652 and 1659, a shared, transversal mistrust of royal authority was the glue binding the institutions and the general populace. It must be said that by 1705 the political core of the Catalan opposition, while retaining the same objective of breaking with the Spanish monarchy and developing its own polity, had aligned with the Archduke instead of the Bourbons. The new social movements turned to new political methods of expression to resist political control and the lack of a parliament. These new methods were perhaps not so much new tools as temporary procedures. They were tools in the sense of their systematic application from 1697, eventually evolving into de facto new institutions. These were, on the one hand, a branch of the military arm60 or knights guild which, created in 1602, now incorporated a wide spectrum of both nobles and non-nobles. It developed into a lobby or proto-party with ever increasing political influence. On the other hand there was the Conference of the Three Commons, in other words the joint action of the Diputació (Generalitat), the Council of One Hundred of Barcelona and the military arm. While the Council of One Hundred and the Diputació maintained the electoral lottery system supervised by the monarchy since 1654, the military arm elected its protector or president from within its ranks freely every two years. This is important as the military arm was the determining factor in many of the political decisions taken since 1697. That same 60 Eduard Martí, La classe dirigent catalana: Els membres de la Conferència dels Tres Comuns i de braç militar (1697-1714) (Barcelona: Fundació Noguera, 2009).

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year, the year of the siege of Barcelona, has been highlighted by Eduard Martí as the beginning of the galvanising of the Conference of the Three Commons in Catalan political life. Its institutional reforms and its driving force did not go unnoticed by the royal authorities. Thus, indignant at the power of the plebe [plebeians] and gente común [commoners] within the Council of One Hundred of Barcelona, the royalist Marquis of Gironella attacked the Conference, calling it junta […] perniciosa y maliciosa [a malicious and pernicious (…) council].61

Dynastic conflict or desire for sovereignty? The conflict over the succession arose in a context of economic growth, the formation of new leadership elites and the construction of new political structures. The leading voices came from the knightly order - in reality an inter-estate political bloc representing social classes in the process of forming a commercial bourgoisie. The debate over the vice-royalty, which wished to force Philip V to come to Barcelona to take the constitutional oath and convene parliament was the opening move of this leadership.62 This is no longer a simple resistance, but rather a political alternative, as shown by the laws ratified by the parliament of 1701-1702. The Constitutions of the Courts of Philip V reveal the aspirations of a socio-economic project and of a homegrown political policy. Neither the highly desired repeal of the election by lottery or the redeployment of the army was achieved. However, the legal order in Catalonia was strengthened, as were trade and production (trade with America, a free port and the creation of a commercial company); there was institutional regeneration in the justice department; the Observança was reformed with the creation of a mixed 61 Núria Sales, “Institucions polítiques catalanes en vigílies de la seva abolició: Una tasca historiogràfica urgent: La reedició de la compilació de Constitucions de 1588-1589, la publicació dels processos de cort de 1585-1705”, Pedralbes, 13/1 (1993), p. 279. 62 Eva Serra, “Voluntat de sobirania en un context de canvi dinàstic (el debat de la vicerègia, novembre de 1700 - març de 1701)”, in Joaquim Albareda (ed.), Una relació difícil: Catalunya i l’Espanya moderna (segles XVII-XIX) (Barcelona: Editorial Base, 2007), pp. 109-180; Eva Serra, “El debat de la vicerègia (1700-1701): Batalla judicialista o conflicte polític?”, Revista de Dret Històric Català, vol. 7 (2007), pp. 135-148.

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tribunal which enjoyed parity between the king and the landed classes and which sought to guarantee neutrality in the application of Catalan law; a new legal code was ratified; a long standing grievance of the popular arm against the aristocracy with regard to tithes and baronial jurisdiction was revived; the desire of Catalonia to participate economically without obstacles in the Imperial Spanish zone and to be granted administration responsibilities in the Crowns of Aragon and Milan was reiterated; there was an attempt to convert the donatiu tax into direct taxation, stripping the privileges of the estates and the wealthy, and proposing a system of property rates to be approved via parliament and not by means of a rigid royal decree.63

The Hague alliance (1701-1702): consequences for Catalonia In Madrid, Bourbon suspicions of Catalonia were immediately aroused by The Hague Alliance. It was followed by intense repression of the Catalans by Philip V’s viceroy. The repression was most violently directed against the military arm and the Conference of the Three Commons, which were banned. The extradition of the naturalised Dutch merchant Arnald Jäger was attempted and the homes of Vilana i Perlas and Narcís Feliu de la Penya were searched. Both were imprisoned while the repression went on unfettered. This explains the presence of Catalans in the conquest of Gibraltar and that of the exiles in Genoa. It also helps us to understand the definitive decision of the Catalans to opt for the Austrian cause as the best bet for the furtherance of their nationalist political project. The exiles in Genoa eased the path to the pact with Genoa in 1705. Was this just a change of king? No. It is better understood as an international realignment. In Genoa, Domènec Perera and Antoni de Peguera, two

63 There is an extensive bibliography. I will only cite Joaquim Albareda, “Estudi introductori”, in Constitucions, Capítols i Actes de Corts: Anys 1701-1702 i 1705-1706 (Barcelona: Editorial Base, 2004), pp. 5-33. For the Tribunal de Contrafaccions, see the work of Josep Capdeferro and Eva Serra, La defensa de les Constitucions de Catalunya: El Tribunal de Contrafaccions (1702-1713) (Barcelona: Generalitat de Catalunya, 2014). A more detailed study is under way by the same authors.

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exiles with full powers granted by the vigatans64 (armed supporters of the Austrian cause), signed a pact with Mitford Crowe. He had been a merchant resident in Catalonia and now acted as plenipotentiary of Queen Anne of England. This pact, although it can hardly be considered a treaty, represented an act of sovereignty by the Catalans. They signed it in order to restore and guarantee their political model and thereby modernise it even further through the agency of a new parliament. Presided over by the Archduke Charles, this parliament took place in 1705-1706. The parliament saw a partial return of election by lottery, the confirmation of the Catalan political model, the institutionalisation of the Conference of the Three Commons, the strengthening of the role of the military arm, a free trade economic policy, the reform of the Observança, improving and providing guarantees to the Court of Contrafaccions (court of constitutional guarantees). Remembering the experience of the early years of Philip V’s reign, laws recognising the concept of habeus corpus were promulgated and advances were made with regard to democratisation or the concept of citizenship in Catalan legislation. These laws represented the logical consummation of ancient Catalan laws which provided for the right to fair trial as stipulated in Alium Namque (civil rights under law and the obligation to protect the oppressed), or ancient laws which provided for basic human rights and which were now reinforced by the reiterated defence of the civil populace before the military power; by the defence of the right of assembly and of free speech; by granting political immunity and the inviolability of correspondence and the application of justice based on knowledge of cause. More explicitly the right to dissent with the sovereign power on the part of the popular or municipal arms was recognised. An egalitarian and equitable debate over the incomes derived from the donatiu commenced, with the aim of having it redrafted as a property tax passed by parliament. Here should be added the re-establishment, at least conceptually, of the laws of Northern Catalonia, as provided for in the laws and jurisdictions of

64 Reference to the acts of the vigatans which took place on 17 May 1705 at the hermitage of Sant Sebastià in the parish of Santa Eulàlia de Riuprimer (Osona) in the aforementioned conference of the vigatans: Josep M. Figueres (coord.), Catalunya i els tractats internacionals (Barcelona: Eurocongrés, 2000).

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Rosselló and the Conflent, along with their sub-territories of Vallespir, Capcir and the Alta Cerdanya of the vegueria (small jurisdictions dealing with routine matters) of the Cerdanya.65 The parliament highlights the driving force of new social classes and an active ruling class. Thanks to Eduard Martí’s studies of the Conference of the Three Commons and the military arm, the names of some of these leaders have emerged. We have already mentioned Feliu de la Penya and Vilana i Perlas. We may also mention the jurist Miquel de Calderó, the protector of the military arm Felicià de Cordellas, the jurist Francesc Solanes, the knights Pere de Torrelles i Sentmenat or Francesc de Saiol i Quarteroni. While not representing names of great relevance, the representatives of the popular arm in the parliament of 1705-1706 are nevertheless members of the ruling class. Most noteworthy among them was Miquel Torner, representative of Mataró who vigorously defended, although without success, the idea of extending the free port zone to the whole of the Catalan maritime areas or at the very least to the whole of the Levant coast. He was finally forced to desist by a juditium in curia datum.66

65 See Joaquim Albareda, “Estudi introductori…”; for the modernistic nature and civil laws of the court of Archduke Charles. The work of Víctor Ferro is also required reading, El dret públic català: Les institucions a Catalunya fins al Decret de Nova Planta (Vic: Eumo, 1987), chapter 7, pp. 289-427; the study-essay of Hèctor López Bofill, Constitucionalisme a Catalunya: Preludi de modernitat (Barcelona: Editorial Tria, 2009), pp. 72-86; also various studies by Eva Serra in press: “El naixement de la concepció de ciutadania: El marc històric” [written in 2012], in Barcelona 1700: Dret i justícia; “El sistema constitucional català i el dret de les persones el 1702/1706”, Jornada La Via Catalana 1701-1714: La construcció de la nació política, 16 d’octubre 2013; “Els Països Catalans entre el sistema pactista i les Noves Plantes”, in Catalunya (i els Països Catalans) abans i després de l’onze de setembre de 1714: Congrés internacional, 24-27 de febrer de 2014. 66 Joaquim Llovet, Mataró, 1680-1719: El pas de vila a ciutat i a cap de corregiment (Mataró: Caixa d’Estalvis Laietana, 20022), pp. 77-81 and 105-111; Eva Serra, “Introduction”, in La Cort General de Barcelona de 1705-1706: Procés familiar del Braç Reial (in press).

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From the Pact of Genoa to the republican moment of the Junta de Braços The Treaty of Utrecht and the evacuation of the allied forces led to the convening of the Junta de Braços (a parliament without a royal president). This board has been typified as a republican manifestation. The resistance was not motivated by some idealistic, messianic vision. The resistance was a fight for a political model in which various social classes found themselves in the process of transformation. They believed, right until the end, in a diplomatic solution. To continue the fight was logical so long as we bear in mind that the diplomatic maneouvres did not result in just one treaty and that Utrecht was, in fact, a plurality of treaties and had more than one consequence. The leaders of the Catalans that remained in the country (organised according to the Catalan institutional system backed up by a network of technical committees and the hegemony of the three associated commons) kept faith in their ambassadors: the Marquis of Montnegre based in Vienna, Felip Ferran i Sacirera in The Hague and Dalmases i Ros in London. In the final stages some Catalan leaders, Vilana i Perlas and his brother-in-law Francesc Verneda, stood with the Emperor-King, while others displayed a more patriotic/republican cast, as was shown by Felip Ferran in a speech he gave to the Hanoverian King George I of England.67 The defeat of Catalonia in 1714, which had already begun with the fall of Aragon and Valencia in 1707 and closed with the fall of Majorca in 1715, meant the loss of the Catalan political model of civic representation and participation. With it the way towards a highly advanced conception of citizenship that was ahead of its time was also lost, not to mention the loss of the country’s foremost citizens through death or

67 On this subject, see Agustí Alcoberro, L’exili austracista, 1713-1747 (Barcelona: Fundació Noguera, 2002), 2 vols.; Diario del sitio y defensa de Barcelona (17131714) [facsimile edition, supervised by Mireia Campabadal, with an introductory study by Agustí Alcoberro and Xevi Camprubí] (València: Tres i Quatre, 2009); Joaquim Albareda, La Guerra de Sucesión de España (1700-1714), (Barcelona: Crítica, 2010); Joan Pons i Alzina, “Introducció”, in La Junta General de Braços de 1713: L’ambaixada Dalmases i altra documentació (1713-1714) (Barcelona: Parlament de Catalunya - Generalitat de Catalunya, Departament de Justícia, 2008), pp. XIII-XXXV (“Textos Jurídics Catalans”, 29).

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exile.68 The royal Nova Planta [New Deal] of 1716 imposed the militarisation and subordination of Catalan society. Only the continuation of the guilds enabled some alternative forms of social expression, albeit with a limited political horizon. The nation did not disappear, but its state structure did. The classes were no longer to any appreciable degree leaders. Rather they merely formed a myopic social hegemony of limited horizon subordinated to Spain.

68 For the repression, see Josep M. Torras i Ribé, Felip V contra Catalunya (Barcelona: Rafael Dalmau, 2005); Antonio Muñoz González and Josep Catà i Tur, Repressió borbònica i resistència catalana (1714-1736) (Madrid: Muñoz-Catà editors, 2005); Antoni Muñoz and Josep Catà, 25 presos polítics del 1714 (Barcelona: Rafael Dalmau, 2011).

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Identities, Solidarities and Disagreements: Catalonia and the Crown of Aragon up to the Catalan Revolt of 16401 Àngel Ca s a l s Universitat de Barcelona

The aim of this paper is to reflect on the Crown of Aragon and its political presence in Catalonia from the 15th to the 17th centuries. Rather than on discourses of political practice, the paper will focus on specific moments at which the unity of the Crown of Aragon was put in question because of conflicts with the king and his entourage over the exercise of power in the kingdoms rather than over the unitary framework of the Crown of Aragon, which was itself not openly questioned until 1641.

1. The long-standing debate over the term Corona d’Aragó [Crown of Aragon] Lalinde Abadía, in several papers, has drawn on legal and juridical texts to call attention to the historical inappropriateness of the term Corona d’Aragó [Crown of Aragon]. In the 12th century, the sovereigns were called the Kings of Aragon and Counts of Barcelona, a juxtaposed formula that shows that there was no institutional unity beyond the person of the monarch, whose title of rei d’Aragó [king of Aragon] reflected his maximum sovereignty. Given this situation, James I was permitted to divide up the territories in his will, because Valencia and Majorca were considered to fall under his direct dominion as king. Subsequently, James II and then Peter III would both declare the permanent unity of 1

This work is part of the research project of the Spanish Ministry of Economy and Competitiveness “Els conflictes socials com a resistència al poder en la perifèria de l’Estat Modern: Segles x v i - x v i i” (HAR HAR2013-44687-P) and the Research Group “Grup d’Estudis Històrics sobre el Mediterrani Occidental. Societat, poder i cultura a l’època moderna” (2014SGR173) of the Generalitat de Catalunya.

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these possessions, but while using a formula that insisted on their plurality and lack of cohesion: in 1365, Majorca was declared inseparable de la Corona Reyal, ne del Comtat de Barcelona, e Principat de Cathalunya [from the Royal Crown, the Count of Barcelona and the Principality of Catalonia], not as part of an organism common to all the kingdoms, and Alfonso the Liberal made exceptional use of the form regno, dominio et corona Aragonum et Cataloniae. Not until the 15th century did the name Corona d’Aragó become commonplace, though this is not to say that it was widespread. On the death of Martin I and during the subsequent interregnum, the need arose for a term other than “king”. In the absence of any alternative, the word corona [crown] was adopted. Henry III of Castile was the one to make most frequent use of Corona d’Aragó in the documentation prepared to support the claim of his uncle Ferdinand I. From the 15th century onwards, however, the most commonly used name was Regnes de la Corona d’Aragó [Kingdoms of the Crown of Aragon] to designate the political form of the dominions of the king, and this designation was combined, at least in Aragon, with the wording Reinos del Rey de Aragón [Kingdoms of the King of Aragon] until the Habsburg period. All of these designations locate the strength of the bond of unity in the person of the king and the dynasty, not in the institution. As surprising as it may seem, there is no definitive agreement in the historiography on the general use of the term.2 Putting aside anachronisms of a political nature, there are historians who argue that the term was already in use in the 14th century: Entre el segle XII i el XIV, la documentació parla poc de Corona d’Aragó i més del “casal d’Aragó”, si bé l’expressió Corona d’Aragó ja s’observa amb Jaume II el Just [Between the 12th and 14th centuries, the records speak little of the Crown of Aragon and much of the ‘House of Aragon’, but the expression Crown of Aragon can be observed with James II, the Just].3 2 3

Jaume Sobrequés, “Corona d’Aragó, Reial Corona d’Aragó, Corona Reial d’Aragó i Casa d’Aragó en el llenguatge polític del segle x v”, in Jaume Sobrequés, Estudis d’Història de Catalunya (Barcelona: Ed. Base, 2008), Vol. I, pp. 321-338. Ernest Belenguer, Felipe Garín Llombart, Carmen Morte García, “La expansión: El Casal d’Aragó (1213-1412) / L’expansió: El Casal d’Aragó (1213-1412)”, La Corona de Aragón. El poder y la imagen de la Edad Media a la Edad Moderna (siglos XII XVIII): [Exposición] / La Corona d’Aragó: El poder i la imatge de l’Edat Mitjana a l’Edat Moderna (segles XII-XVIII): [Exposició] (Madrid: Sociedad Estatal para

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At the opposite extreme, however, Ricardo García Cárcel remains more sceptical, finding instead that only a minority used the term even in the 16th and 17th centuries, and then only in more royalist milieus. Thus, if the designation was rather more ambiguous and had a variety of formulas at the start of the 15th century, a growing centralisation and Castilianisation was ultimately to impose it in its singular form in both the language and the documentation, creating a falsely unitary impression of the Corona d’Aragó. Yet even so, García Cárcel is rather sceptical about the widespread use postulated here: Será curiosamente en el siglo XVIII, cuando ya no existen peculiaridades institucionales específicas de los reinos aragoneses, cuando se use más el término, que después en los siglos XIX y XX ha sido reelaborado con nuevas connotaciones políticas por la historiografía de estos últimos siglos [Curiously, it is in the 18th century, when the unique institutional characteristics of the Aragonese kingdoms no longer exist, that greatest use is made of the term that would later be reworked with new political connotations by the historiography of the 19th and 20th centuries].4 In 1494, Ferdinand II created a collegiate body to have jurisdiction in all of the kingdoms. Significantly, however, its name was not the Consell de la Corona d’Aragó [Council of the Crown of Aragon], but rather the Sacro y Real Consejo Supremo de los reinos de la Corona de Aragón [Sacred and Royal Supreme Council of the Kingdoms of the Crown of Aragon] and its abbreviated version was Consell d’Aragó [Council of Aragon] or Consell dels regnes de la Corona d’Aragó [Council of the Kingdoms of the Crown of Aragon]. In all cases, the plurality of the Crown continued to be underscored. Beyond legal roles, however, Corona d’Aragó [Crown of Aragon] was used quite generally from the start of the 16th century onwards and a more unitary meaning was given to it: quina província espanyola per mar y per terra ha fet millor mostra de si que aquesta qu·és vuy la Corona de Aragó y especialment nostra Cathalunya? [which Spanish province has made better proof by land and by sea than the Crown of Aragon and especially our Catalonia?] wrote Cristòfor Despuig in 1557.

4

la Acción Cultural Exterior (SEACEX) - Generalitat Valenciana - Ministerio de Cultura - Lunwerg, 2006), p. 2. Ricardo García Cárcel, “La Inquisición de la Corona de Aragón”, Revista de la Inquisición, 7 (1998), p. 151.

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A few years later, Jerónimo Zurita published his Anales de la Corona de Aragón [Annals of the Crown of Aragon], using the term not only in a unitary fashion, but also to express identity. Nevertheless, it is also necessary to clarify the extent of this sentiment. At the same time, Eulàlia Duran notes, there was also a rising patriotism particular to each kingdom. After Zurita, it is no longer possible to find a combined history of the whole; quite to the contrary, the Aragonese, Valencians and Catalans developed an exclusive historiography in each territory. In Aragon, later chroniclers such as Blancas, Dormer and Argensola would write solely about Aragon, just as Jeroni Pujades would do in Catalonia in his Crònica Universal del Principat [Universal Chronicle of the Principality] of 1609 or Gaspar Escolano in Valencia in his Décadas de la historia de Valencia [Decades of the History of Valencia] of 1611 or Vicenç Mut in Majorca in his Historia del reino de Mallorca [History of the Kingdom of Majorca] of 1650.5 What was the role of the monarchy in the spread of the term in the Habsburg period? The question makes sense because it is the royal documentation that reflects the most assiduous use of the designation, even though its presence only gradually prevailed and it would never become exclusive. During the reign of Charles V, the terminological confusion makes the advancement of any assertion on the matter impossible. Regnes de la Corona d’Aragó [Kingdoms of the Crown of Aragon], Corts de la Corona d’Aragó [Courts of the Crown of Aragon], and even Cortes de Aragón [Courts of Aragon] appear haphazardly throughout the documents in reference to the assemblies of the three kingdoms held in Monzón. In the 17th century, this hodgepodge of names gave way almost exclusively to Corona d’Aragó. This can plainly be seen in the creation of the post of Vicari General dels Regnes de la Corona d’Aragó [Vicar General of the Kingdoms of the Crown of Aragon] for Don John of Austria in 1669. The new post was as outlandish as it was unreal in that the only recognised positions of authority were, in fact, viceroy and CaptainGeneral of Aragon.6 Even more peculiar was the creation, in 1693, of four lieutenant generals to govern the peninsula. The Crown of Aragon 5 6

Àngel Casals, “Del nom i la identitat de la Corona d’Aragó a l’Edat Moderna”, L’Avenç: Revista catalana d’història, 275 (2002), pp. 29-35. Jesús Lalinde Abadia, La institución virreinal en Cataluña (1471-1716) (Barcelona: CSIC, 1964), p. 63.

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was left in the hands of the Count of Monterrey. A year later, however, Monterrey stepped down and a reorganisation ensued, leaving only a triumvirate. The Duke of Montalto assumed the Crown of Aragon and Navarre in a project that — ironically and yet prophetically — received the name of the Nueva Planta or New Plan, inspired by Lobkowitz, the Holy Roman Emperor’s ambassador to Madrid.7 The next departure was that of the Constable of Castile, who was supposed to assume the entire Crown of Castile save for Andalusia, and this brought the project to an end.8 There is no historiographic agreement on whether this was solely a military project or an effective distribution of the monarchy’s power.9 Whatever the case, it had nothing to do with the internal dynamic of the kingdoms of the Crown of Aragon. Both the project of the vicariate and that of the lieutenant generals were consequences of the struggle for power at the centre of the monarchy among the Castilian aristocracy as well as the succession debate occurring amid the final deterioration of the reign of Charles II.

2. Beyond the name, how much unity actually existed? Supposing that the historical evolution of the Crown of Aragon was unilinear, of course, would be absurd and mistaken. On the complex path that led to the construction of modern states — another conventional term that is complicated to define — the monarchy of each territory played a fundamental role. As a result, it would be odd for the House of Barcelona, as governing dynasty, not to move in such a direction. It is another matter, however, to argue that it succeeded. Historians concur that there was a moment at which it appeared possible to turn the kingdoms of the king into something more than an assortment of independent states. This occurred during the Guerra dels 7 8 9

Pablo Fernández Albadalejo, “La crisis de la Monarquía”, in Josep Fontana, Ramon Villares, eds., Historia de España (Madrid; Crítica-Marcial Pons, 2009), Vol. IV, p. 529. Adolfo Carrasco Martínez, “Los grandes, el poder y la cultura política de la nobleza en el reinado de Carlos II”, Studia Historica: Historia Moderna, 20 (2000), pp. 128129. Luis Ribot Garcia, “La España de Carlos II”, in Pere Molas, coord., La transición del siglo XVII al XVIII: Entre la decadencia y la reconstrucción: Historia de España de Menéndez Pidal (Madrid: Plaza Janés, 1993), Vol. XXVIII, p. 125.

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Dos Peres [War of the Two Peters] fought between Peter the Ceremonious of the Catalan-Aragonese Crown and Peter of Castile, the Cruel. In 1362, an attempt was made to create a tax system with a single administration, based on a customs union that was intended to lead to the creation of a single deputation, or council, for the three kingdoms to administer their revenues jointly. The opportunity, however, was lost in 1364, when each territorial oligarchy chose to maintain its areas of economic and political control rather than share a larger space encompassing the entirety of the Crown of Aragon: Els regnes continuaven sent més importants que la Corona [The kingdoms continued to be more important than the Crown].10 Was this purely selfish? Certainly, but casting blame on the short-sightedness of the ruling classes offers only part of the explanation. That is, was there any other ideological construct that would defend an increased integration of the kingdoms? Was not one the conditions of the Aragonese unionists in 1347 that the Royal Council should be controlled by the leaders of Aragon? Not even the monarchy itself ever took on a project of these characteristics as its own. By royal oath, Peter III decreed that the ancient kingdom of Majorca, reincorporated in 1343, could not be separated from the Crown and that the counties of northern Catalonia would be reintegrated into the Principality, but maintaining their privative royal institutions (the Governor of the Counties and the Procurator General). He did not try — or perhaps was unable — to restructure the edifice of the Crown around the triumphs attained against the Aragonese nobility in the war of the Uniones [Unions] or against Valencia’s urban oligarchy in their own Unions.11 This was not a lesser matter: when dynasties began the process of converting monarchies into the embodiments of nations, the House of Barcelona preferred to maintain its own lack of definition among, largely, the Catalan bloc, but also the Aragonese one. In this context, regional ruling groups could hardly be expected to go further than the monarch himself intended to go.

10 Antoni Furió, Ferran Garcia-Oliver, “Temps de dificultats (1348-1380)”, in Ernest Belenguer, dir., Història de la Corona d’Aragó (Barcelona: Ed. 62, 2007), Vol. I, pp. 245-286. 11 For an up-to-date overview of the Aragonese and Valencian unions, see Ernest Belenguer, Vida i regnat de Pere el Cerimoniós (1319-1387) (Barcelona: Pagès Ed., 2015), pp. 95-108.

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These lost opportunities led to a situation that became increasingly irreversible. Each territory asserted the exclusivity of posts for its own natives. The 14th and 15th centuries came to see a perfectly defined territory dominated by elites in control of institutions to which they gave symbolic importance, and the monarchy came to regionalise its governing mechanisms in each territory in recognition of the impossibility of maintaining the Crown’s institutional unity beyond the king himself and his immediate entourage. Flocel Sabaté has put the matter with absolute clarity: Coetàniament, la continuïtat de la unió política amb Aragó s’accentua, de manera irreversible, com merament dinàstica, atesos els tarannàs particulars de cadascuna de les societats i les dinàmiques i malfiances mútues, arran tant de la puixança de l’oligarquia barcelonesa com de la identificació territorial perseguida pels diferents grups de poder — baronials i municipals — a cada país.12 At the same time, the continuation of political union with Aragon was stressed irreversibly as merely dynastic, given the particular characters of the societies and their dynamics and mutual distrust in relation to the clout of the Barcelona oligarchy and the territorial identification pursued by different power groups — baronial and municipal — in each country.

Not all of the opinions on the matter, however, have been so drastic. From the history of law, Tomàs de Montagut has asserted that this personal union was not the sole linkage. He notes that the bond between Catalonia and Majorca was different in nature from a simple personal union. During the Middle Ages, for example, the two territories shared elements in common in terms of the laws and universal institutions of the Crown: the privative monarchy of the Crown of Aragon until the dynastic union of 1479; the Royal Council, reconverted into the Council of Aragon by Ferdinand II, until 1419; and the Mestre Racional (or Royal Treasurer) and the Audience, broke with Ferdinand II when he created,

12 Flocel Sabaté, “La noció d’Espanya en la Catalunya medieval”, Acta Historica et Archaeologica Mediaevalia, 19 (1998), p. 380.

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in 1493, the Audience of Catalonia and the Corts Generals [General Courts]. Nevertheless, Montagut accepts the idea of a growing diversity among the kingdoms.13 And what role did the Compromise of Caspe play? Some take the view that it was dynastic change that thwarted the unitary possibilities of the Crown of Aragon. According to Eva Serra, who follows Montagut, the 14th century saw a number of Corts generals de la Corona d’Aragó [General Courts of the Crown of Aragon] and a tendency among the three kingdoms’ centres of power to function in a coordinated manner, as well as the emergence of a universal power in the hands of the crown without infringing upon the constitutional arrangements of each increasingly separate kingdom. The gradual process of breaking apart, Serra argues, had to do with the change of dynasty after the Compromise of Caspe and ultimately culminated in the loss of the privative monarchy with the creation of the Spanish monarchy.14 As for the existence or not of Corts Generals of the Crown of Aragon, I will return later. Focusing on the Compromise of Caspe and its consequences, which have given rise to an extensive bibliography since its sixth centenary in 2012, it is hard to see the extent to which it could have even further fragmented a Crown to which the House of Trastámara arrived in the wake of civil wars in both Aragon and Valencia — each with its own dynamic — and a schism in the ruling groups of the Principality of Catalonia that is hard even today to understand fully.15 There is general agreement, however, that the bonds of union in the fifteenth century were even looser than in the preceding century and that in their place there was an increasingly separate awareness of identity in each territory that was to have cultural and particularly political consequences. These political consequences are the ones that most interest us in the present case.

13 Tomàs de Montagut, “Les Corts Generals de la Corona d’Aragó”, in Ernest Belenguer, coord., Felipe II y el Mediterráneo (Madrid: Sociedad Estatal para la Conmemoración de los Centenarios de Felipe II y Carlos V, 1998),Vol. IV, pp. 121-138. 14 Eva Serra, “Butlletí bibliogràfic sobre les Corts Catalanes”, Arxiu de Textos Catalans Antics, 26 (2007), pp. 663-738. 15 Àngel Casals, dir., El Compromís de Casp: Negociació o imposició? (Cabrera de Mar: Ed. Galerada, 2012).

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3. The Catalan Civil War: Catalonia or Crown of Aragon?
 As a result of the influence of Vicens i Vives, the Catalan Civil War has been interpreted as the end-point of a long crisis that was first economic, then social and only in the final instance political. The latest studies do not accept this deterministic schema. Instead, they tend to see the Catalan Civil War as an authentic political struggle for control of power in Catalonia, waged among the country’s ruling groups and the monarchy, with a corresponding ideological conflict as well.16 The significant contributions of Imma Muxella along these lines oblige us to look at the Concordat of Vilafranca of 1461 through this lens, seeing the document as an attempt to frame the relations between “king” and “land” — to use the terminology of the time — within a legalistic framework that was unambiguously based on forming pacts. This level of analysis focuses strictly on the Catalan context and raises a variety of issues. Of these, one is of particular interest here: that the national consciousness of the Catalans in the 15th century served as the actual point of reference for their identity, not the Crown of Aragon. We must not forget, however, that the pretext for the clashes with John II was the dynastic and legal problem posed by the imprisonment of Charles, Prince of Viana, heir to the Crown. On this point, it is undeniable that the Catalans sought to play a leading role in the defence of Catalan law, but also of the Crown of Aragon as a whole. Put differently, the Catalan leaders sought to regain the control of the Crown that they had lost with the Compromise of Caspe. No reading of the text of the Concordat of 1461 would be complete, however, without recalling that it established the obligation of the heir to the Crown to reside in Catalonia, advised by a council made up only of Catalans or inhabitants of the Principality. This aspiration, if achieved, might have led to the definitive Catalanisation of the monarchy.17

16 Imma Muxella, “Jaume Vicens i Vives i la Guerra Civil del segle x v”, in Àngel Casals, dir., Revisió historiogràfica de Jaume Vicens i Vives (Cabrera de Mar: Galerada, 2010), pp. 79-104. 17 For the most thoughtful recent commentary on the Concordat of Vilafranca, see Imma Muxella, La Terra en guerra: L’acció de les institucions durant el regnat de Renat d’Anjou (1466-1472) (Unpublished doctoral thesis. University of Barcelona,

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Before moving on, however, it is necessary to pose an important reflection: it makes no sense to ask why the inhabitants of Valencia and the Balearic Islands did not align themselves with Catalonia on the basis of a shared identity. First, as Antoni Mas has very well explained, the Majorcans’ recognition of Catalan national unity in the 15th century has nothing to do with political unity, which was neither proposed nor desired,18 and the same argument can be applied to the Valencians as well. Second, each war or conflict has an internal dimension — social, economic, institutional — that prevents its automatic transposition from one territory to another. In this respect, nobody questions why Catalonia and Valencia did not give their support to the peasant revolt in Majorca in 1450, as the rebellion was clearly social in nature. Nor has anybody viewed as “national” the peasant revolts of 1484 led by Pere Joan Sala or, as a result, questioned the position taken by the neighbouring territories. Ultimately, the only conflicts viewed as “national”, in general, are those involving part of the ruling groups and the support of institutions, which ought to make us reflect on the classism that typically colours our historical analysis of such matters. Third, each territory evolved in its own way. At the outbreak of the Catalan war in 1462, Majorca was only just emerging from the nightmare of a peasant rebellion in 1450 and Valencia was enjoying a period of social peace based on economic well-being arising out of indebtedness that would lead in a half-century to social conflict in the Revolt of the Germanies [Brotherhoods]. Returning to 1462, the conduct of the Crown’s other territories in relation to the Catalan position was ambivalent from the outset. In the case of València, in late January 1461, the Catalan deputies asked the Valencians to send an embassy to the king to request the release of the prince. The government of Valencia sent an embassy in February of that year, but only when it appeared that Charles was to be transferred to Morella. 2012), pp. 142-172. For a review that focuses more on the Prince of Viana, see VeraCruz Meranda Menacho, El Príncipe de Viana en la Corona de Aragón (1457-1461) (Unpublished doctoral thesis. University of Barcelona, 2011), pp. 367-372. 18 Antoni Mas i Forners, “Crisi, canvi polític i transformacions identitàries a la cristiandat llatina i la seva manifestació a Mallorca durant el segle x i v”, in Magdalena Cerdà, Antònia Juan, Tina Sabater, coords., Crisi: Decadència o transformació?: Problemàtiques i contextos a la baixa edat mitjana (Majorca: Universitat de les Illes Balears, 2014).

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However, the Valencians led the Catalans to believe that the embassy was undertaken in response to their request. This can be seen in the arguments put forward in favour of the Valencian response, among which featured: la unió indisoluble e fraternitat de dits regnes e Principat fins avui tan excelsa y prosperada [the indissoluble union and brotherhood of said kingdoms and Principality to this day so exalted and prosperous]. In addition, the Valencians had refrained from action up to that point so as not to give rise to military mobilisation or create a semblance of division that might open the door to Castilian intervention. In reality, the Valencians appear not to have wished to get involved on the prince’s behalf because it would amount to taking sides in the internal conflict in Catalonia, which neither interested nor suited them. Nevertheless, they sent an embassy to Barcelona in June 1462, more to act as intermediaries between the parties than to declare open support for the position of the Principality’s authorities. In response to the petition from Barcelona, the Great and General Council in Majorca debated whether or not to send an embassy to seek the prince’s release. Interest, however, was not great and support failed to be given. Even so, the Majorcans were the only ones to side politically with the Catalans in the first phase of the conflict. Once war broke out, however, there was only a feeble attempt to join the Catalan forces led by Joan Albertí, with centres in Pollença, Manacor and Inca. By contrast, Minorca was a major source of support for the Catalan position. Minorcan backing can be accounted for by the differences between the anti-Catalan radicalism of the governor and that of the island’s Council, by the presence of a great many Catalans and by the influence of the former governor Pere de Bell·lloc. There were military operations drawing on the participation of troops of the Generalitat that occupied Maó, but failed to take Ciutadella. The result was a war on the island between those of Maó and those of Ciutadella that lasted until 1472 and that subsequently appears to have given rise to harsh repression against the supporters of Catalonia. The definitive stance of the other territories in favour of John II in the war against Catalonia did not come until the Catalan defeat at Els Prats de Rei on 28 February 1465 and it was given specific form in the Valencian (and Aragonese) assemblies of 1466, which voted for a subsidy of

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500 nags/hacks (roughly 2000 men). Majorca made a heavy investment in galley ships in the period 1464-67 to confront the Catalans present in Minorca and to attack the Catalan coastline (Amposta Castle). In 1470 Joan Vilamarí occupied Cadaqués. In the second half of the fifteenth century, therefore, the Catalans were not in a position to reclaim hegemony within the Crown of Aragon, at least not by arms, nor were the other territories willing to accept their leadership. The Catalan failure probably had an even more serious consequence: the near-definitive loss of a project bringing together all the territories under the Crown. Close cooperation between the kingdoms gave way to the creation of a much more vertical relationship between the kingdoms and the monarchy that would continue to be exacerbated with time.19

4. The Crown of Aragon and the Spanish Monarchy There is no doubt that the dynastic unity arising out of the marriage of Ferdinand II and Isabella I of Castile marked a far-reaching shift in the territories of the Crown. In the field of historiography, the definition of composite monarchies — a term coined by Koenisberger and J.H. Elliott in their day — has provided the conceptual frame for studies of the matter, which are so numerous that it would be impossible to give even an approximate bibliography. In any event, I concur with Giuseppe Galasso in his view that the union of the two crowns within a single dynasty was not fully consummated until Charles I.20 While the Spanish historiography has always underscored the idea of the union achieved during the reign of the Catholic Monarchs, the more we know about this period, the harder it is to sustain the idea of the monarchs’ equality in all of their kingdoms. Should examples be needed, we could recall that the expulsion of the Jews in 1492 was achieved with different documents in Castile and in the Crown of Aragon. This is perfectly understandable. Yet, while the 19 Santiago Sobrequés, Jaume Sobrequés, La Guerra civil catalana del segle XV: Estudis sobre la crisi social i econòmica de la Baixa Edat Mitjana (Barcelona: Ed. 62, 1973). 20 Giusseppe Galasso, Carlos V y la España Imperial (Madrid: Centro de Estudios Europa Hispánica, 2011).

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document aimed at the Castilians bore the signatures of both sovereigns, its counterpart in the Crown of Aragon was signed only by Ferdinand.21 What did the new situation entail for the cohesion of the Crown of Aragon? Some authors have tried to argue that the policy of the last Trastámara sought to achieve a greater political integration through the royal institution: the creation of the Council of Aragon and the institutionalisation of lieutenancies put an additional layer between the institutions of the kingdom and the king.22 Additional arguments along these lines include the increasingly important role of the king’s jurists and the regalism in religious matters. Undeniably, Ferdinand II sought to reinforce royal pre-eminence in all of his territories. However, this policy, which was dubbed redreç [redress] by Jaume Vicens Vives in Catalonia, was applied very differently in each kingdom and achieved very different results.23 As a result, it was far from being a joint policy. Curiously, just as the curtain was about to fall forever on the House of Trastámara, hailing the end of a period and the extinction of the dynasty, it was the very moment at which dynasticism apparently sought to supplant decisively the idea of the “Crown” as a political entity. In 1468, Ferdinand had been proclaimed joint king of Sicily with his father in spite of the provisions of the assembly of Fraga in 1460 that decreed the unity of all the territories of the Crown of Aragon. Ferdinand himself would be very unclear about the place of Naples within his patrimony after its conquest in 1504,24 added to which his willingness to cede Naples and Sicily to his grandson, the future king Charles in 1515, if the latter would renounce the remainder of the inheritance in favour of his brother Ferdinand, was a further element of confusion over the legal bond among the territories.25

21 Rafael Conde y Delgado de Molina, La expulsión de los judíos de la Corona de Aragón: Documentos para su estudio (Zaragoza: IFC, 1991). 22 Rafael Narbona Vizcaíno, “La Corona d’Aragó al segle x v: La monarquia i els regnes”, in Ernest Belenguer, dir., Història de la Corona…, Vol. I, pp. 393-396. 23 Ernest Belenguer, Ferran el Catòlic: Un monarca decisiu davant la cruïlla de la seva època (Barcelona: Ed. 62, 1999). 24 Carlos Hernando, “El reino de Nápoles de Fernando el Católico a Carlos V (15061522)”, in Ernest Belenguer i Cebrià, coord., De la unión de coronas al Imperio de Carlos V (Madrid: Sociedad Estatal para la Conmemoración de los Centenarios de Felipe II y Carlos V, 2000), Vol. 2, pp. 79-109. 25 Manuel Rivero, “El Consejo de Aragón y la creación del consejo de Italia”, Pedralbes, 9 (1989), pp. 57-90.

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None of this was exceptional. In fact, it presaged a course that would be taken to its ultimate consequences by Ferdinand’s successors. In 1554, Prince Philip became King of Naples, if only because of questions of protocol relating to his marriage to Mary I of England. When Charles I of Spain abdicated his kingdoms in 1556, he divided them between Sicily on one side and the rest of the Crown on the other26 and in 1558 the Council of Italy was created, permanently breaking the bond between the ancient kingdom of the two Sicilies, to which Milan had been added, and the Crown of Aragon.27 As regards the Crown’s internal arrangements, the process of disintegration also appears to be quite clear. Teresa Canet has verified this in the creation of the Audiences of each kingdom, which marked a definitive breakup of the medieval unity of royal justice and Curia Regis. The Catalan Audience, like its Aragonese counterpart, was created in 1493. Valencia had to wait until 1506, while Sardinia waited even longer, between 1564 and 1573, and Majorca did not follow suit until 1571.28 The General Treasury suffered a similar fate. Throughout the 16th and 17th centuries, the dissolution of the General Treasury of the Crown proceeded apace. By the end of the 16th century, each kingdom had its own treasury structure. While this increased the possibility of fiscal integration within the monarchy as a whole, it also severed the link among the territories and increased the heterogeneity and pursuit of their own specific policies. Finally, as an institution, the General Treasury had become so economically insignificant by the seventeenth century that it was reduced to a section of the Council of Aragon with minimal capability, given that the governors of each kingdom’s treasury now carried out its function.29 Beyond this, mention must still be made of the corts [courts], or assemblies, that were held. Although the history of law speaks of the Corts Generals de la Corona d’Aragó [Corts Generals of the Crown 26 Although the two documents are both dated 16 January 1556, one is only for Sicily. Jordi Buyreu, “De Carlos V a Felipe II: La problemática de las abdicaciones y la cuestión virreinal en la Corona de Aragón”, in Ernest Belenguer, coord., Felipe II y…,Vol. III, p. 342. 27 Manuel Rivero, “El Consejo de Aragón y…”. 28 Teresa Canet Aparisi, “Las Audiencias reales en la Corona de Aragón: De la unidad medieval al pluralismo moderno”, Estudis, 32 (2006), pp. 133-174. 29 Bernat Hernández, “Els segles x v i i x v i i a la Corona d’Aragó: Desenvolupament fiscal dels regnes i integració financera en la Monarquia Hispànica” Estudis, 29 (2003), pp. 66-80.

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of Aragon] convened in Monzón, I have always considered that such a thing, politically, never existed. While the inaugural session — the royal proposition — and the closing session were common to each of the assemblies of the three kingdoms, they shared no joint event in particular and, in some cases, their end-points differed in time. For example, the assembly in Monzón in 1528, in the case of Catalonia, had to be concluded in Barcelona a year later. These objections, however, do not seek to deny that the fact of being physically in a single space promoted communication among the different territories. That the rulers of the monarchy were highly aware of this can be seen in the staggering of their meetings — though this was not the only cause — and in their avoidance of convening assemblies at the same time after 1585. We should also recall, however, that the meetings of the assemblies became exceptional in the 17th century. In the case of Philip III of Castile, in fact, they were limited to the obligatory assemblies at the start of his reign and those that were required in the respective capitals of each kingdom according to their privileges. Is this process the result of royal absenteeism? Many authors have mentioned this point as one of the causes of that which has become known as the periferització [peripheralisation] of the Crown of Aragon and would ultimately lead to its dissolució [dissolution].30 La dissolució de la Corona d’Aragó no va ser un imponderable dels temps moderns, sinó un efecte polític volgut per la monarquia [The dissolution of the Crown of Aragon was not an imponderable of the modern times, but rather a political effect desired by the monarchy],31 a monarchy that had adopted a clear political project whose identification was grounded in Castile: El amor que siempre tuve a estos reinos, cabeza de mi monarquía, donde nací, me crié y comencé a gobernar [The love I have had for these kingdoms, head of my monarchy, where I was born, grew up and began to rule].32 Addressing Castilian procurators in these terms, 30 This is the thesis defended in the study by Jesús Lalinde Abadía, “La disolución de la Corona de Aragón en la monarquía hispana o católica (siglos x v i a x v i i i)”, in XIV Congresso di Storia della Corona d’Aragona (Sassari: Carlo Delfino editore, 1993), Vol. I, pp. 155-176. 31 Miquel Pérez Latre, “Pervivència i dissolució: La Corona d’Aragó en temps de Felip I (II)”, in Ernest Belenguer, dir., Història de la Corona…, Vol. II, p. 214. 32 Cited in Manuel Rivero, “El Consejo de Italia y la territorialización de la Monarquía (1554-1600)”, in Ernest Belenguer, coord., Felipe II y…, Vol. III, p. 109, n. 50.

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Philip II went much farther than any king of the Crown of Aragon had gone before in speaking of Aragon or Catalonia. By the close of the 16th century, the royal entourage had constructed a powerful intellectual machine to project the common identity of all the peninsular lands under the hegemony of Castile.33

5. The Catalan Response and the Attitude of the Other Territories In 1591 Aragon was the scene of dramatic events. The Chief Justice led a revolt to preserve Aragon’s fueros [jurisdiction, charters, privileges] and Philip II sent in troops to crush the rebellion. The historian Xavier Gil, reflecting on this episode and the attitude of the Catalans, conducted a study suggestively entitled una solidaritat i dos destins [one solidarity and two fates].34 We should ask again: whose solidarity and solidarity with whom? What did this separation of fates involve? To answer this question, we must first step back in time, specifically to the Brotherhoods, a guilds movement in Valencia and Majorca. Originally, the Valencian case was a conflict that blended the grievances of sectors of urban skilled workers who were opposed to the public debt and resulting taxation and who wanted a greater degree of municipal freedom. In its earliest stage, the composition of the protesters and their requests reflected a reformist bent that was perfectly acceptable in the existing political framework. Proof of this can be seen in the negotiations held by the entourage of Charles I with the Brotherhoods in 1519. When the movement became radicalised and turned anti-feudal in 1520, not only did Valencia’s urban moderates turn their backs on it, but stances also changed in Catalonia. If Barcelona’s authorities initially looked on the Brotherhoods with understanding, their attitude was shortlived. Amid fear that the movement would spread to the Principality and

33 Antoni Simon i Tarrés, Construccions polítiques i identitats nacionals: Catalunya i els orígens de l’estat modern espanyol (Barcelona: Publicacions de l’Abadia de Montserrat, 2005), pp. 53-134. 34 Xavier Gil i Pujol, “Catalunya i Aragó, 1591-1592: Una solidaritat i dos destins”, in Primer Congrés d’Història Moderna de Catalunya (Barcelona: Publicacions Universitat de Barcelona, 1984), Vol. 2, pp. 125-132.

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lead to open warfare, the lines of communication between the two territories were closed down. Even so, the Catalan authorities continued to require the lieutenant to remain present in Catalonia and they refused to give their military support to fight the Brotherhoods. In this case, therefore, we are looking at a strict interpretation of the country’s laws rather than an act of solidarity with the Valencians.35 While the Catalan institutions did not wish to act, however, a sector of the Catalan nobility did. They were very aware of what they could gain and which side was theirs. The Duke of Cardona, the Viscount of Cabrera, the Tortosa grandee Oliver de Boteller and the Riquers of Lleida contributed men and money to fight the Brotherhoods. Many of their men doubtless were bandits and outlaws being sought in Catalonia who signed on in hopes of booty and pardon. The Catalan conduct in the case of the Brotherhoods of Majorca is even clearer. Once again, the public debt and an unequal distribution of the resulting tax burden lay at the root of the uprising. This time, however, the holders of the debt were largely Catalans in the Principality and the authorities of Barcelona’s Council of One Hundred and the Generalitat did call for a firm hand that had been spared the Valencians. As a result, wondering about Catalan solidarity with the other territories is wrong-headed. First, because the fighting was never openly against the monarchy — except in the most radical phase of the Valencian conflict in 1522 — but was motivated instead by the internal evolution of the respective territories, which shared few parallels with Catalonia. Last and most important, how should we account for the solidarity of Catalan nobles with Valencian nobles or the solidarity of Barcelona’s authorities with the anti-Brotherhood forces in Majorca? What was the response in Catalonia, therefore, to the gradual dissolució [dissolution] of the Crown? There was no lack of support for the Crown’s existence from intellectuals or politicians. The claim made by Cristòfor Despuig in 1557, when the model of Castilian Spain was still open to discussion, is well known.36

35 Eulàlia Duran, Les Germanies als Països Catalans (Barcelona: Curial, 1981). 36 Cristòfol Despuig, Los col·loquis de la insigne ciutat de Tortosa, ed. Enric Querol i Coll, Josep Solervicens (Barcelona: Publicacions de l’Abadia de Montserrat, 2011).

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From the political viewpoint, too, examples abound. On the death of Ferdinand II in 1516, the kingdoms sent a joint embassy to Flanders to meet with the new sovereign. Also, in the decade of 1520, the construction of a defensive coastal fleet for the Catalan-Valencian coastline was proposed on more than one occasion, though the plan never saw the light of day. And it is beyond dispute that a joint position was maintained on Mediterranean defence. This can be seen in the repeated requests for decisive action against Algiers in the time of Charles or years later37 in the attempts to persuade Philip II not to abandon Majorca. A genuine touchstone, however, can be found in the creation of the Council of Italy. If Despuig had already raised his voice in protest, so would the Barcelona deputies do so in the assembly at Monzón in 1564 when they complained of the creation of this Council. Not only would it, in their view, entail the separation of Naples and Sicily from the Crown of Aragon, but it would also unir aquells a la Corona de Castella [unite them to the Crown of Castile].38 The Aragonese and Valencians would soon join the cause and the issue would be raised again in the assembly of 1585. At that point, an addition was made to the formula of the oath of the firstborn to declare the unity of Naples and Sicily within the Crown of Aragon.39 Neither these attitudes nor similar ones can deflect attention from the actual change that was taking place: a new form of relation of the elites with the king. Having lost the strict framework of the Crown of Aragon, each kingdom went about developing a specific type of relation with the Castilian centre. This process of disintegration can be seen not only in the different attitude of each kingdom toward the policy of the centre, but also in the varying extent of the territorial elites’ participation in the

37 Àngel Casals, L’emperador i els catalans (1519-1543) (Granollers: Ed. Granollers, 2000). 38 Miquel Pérez Latre,“Pervivència i dissolució…”, p. 220. 39 The oath reads as follows: “E més la unió dels Regnes de Aragó, València y Comptat de Barcelona, Regnes de Cerdenya, Mallorques e isles a aquelles adiacents y dels comptats de Rosselló y Cerdanya, de Conflent y Vallispir y Vescomptats de Ordalesi y Carladesi, y la unió dels Regnes de Nàpols y Sicília ab los dits Regnes e Corona d’Aragó.” The final phrase specifies the union of the Kingdoms of Naples and Sicily with the previously named “Kingdoms and Crown of Aragon”—Eva Serra, ed., Cort General of Montsó (1585): Montsó-Binèfar: Procés del Protonotari (Barcelona: Generalitat de Catalunya, 2001), p. 164.

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monarchy’s client networks and in their effect on the Court’s coteries in Madrid.40 Valencians, Majorcans after the Brotherhoods, and the Aragonese after 1591 selected a means of cooperation and almost of competition with one another to achieve a favourable position before the Madrid court.41 In any event, it must not be forgotten that this approach was also the result of repression, which was especially harsh in the Valencian case. In Catalonia, the process was different. The Catalan high aristocracy became colloquially Castilianised within a few generations. This was the case with the Cardonas, whose name was already Fernández de Córdoba in the 17th century; the Requesens of the early 16th century, who had adopted the name Zúñiga by the end of that century; and the Cabreras, who were absorbed into the Enríquez family by the start of the 16th century.42 At the same time, however, the nobility of the hinterland remained. They were impoverished to varying degrees, however, and had little effect politically on the monarchy, which was embattled with the Barcelona oligarchies of citizens and merchants that felt much more closely bound up with the laws of the country and with a concept of a pàtria política [political homeland]43 that was becoming separate from the king in a process that increasingly recalled the process of 1462. Ultimately, after the disturbances of 1591, this process would reach a conclusion in 1640 with a definitive break with the monarchy and also with the Crown of Aragon.44 Before delivering themselves into the arms of the French, the Catalan authorities tried to win over the sympathies of the Crown’s territories. This involved not only political propaganda, but also documents sent to Majorca, Zaragoza and Valencia signed by Pau Claris. The documents offered a lengthy account of what had happened since the campaign to retake Sales in December 1639, including mention of the Corpus 40 Francesco Benigno, La sombra del rey: Validos y lucha política en la España del siglo XVII (Madrid: Alianza Editorial, 1994). 41 Xavier Gil i Pujol, “Conservación y defensa como factores de estabilidad en tiempos de crisis: Aragón y Valencia en la década de 1640”, in 1640: La Monarquía hispánica en crisis (Barcelona: Crítica, 1992), pp. 44-101. 42 Pere Molas, L’alta noblesa catalana a l’Edat Moderna (Vic: Eumo, 2004). 43 Xavier Torres, Naciones sin nacionalismo: Cataluña en la monarquía hispánica, siglos XVI-XVII (València: Universitat de València, 2008). 44 Antoni Simon i Tarrés, Pau Claris, líder d’una classe revolucionària (Barcelona: Publicacions de l’Abadia de Montserrat, 2008).

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de Sang [Corpus of Blood] and the death of the viceroy, the Count of Santa Coloma.45 Although the Majorcans and the Aragonese tried at first to adopt a mediating stance, the loyalty of all these other kingdoms to Philip IV was, in the end, unwavering. The Majorcans engaged Catalan vessels at sea,46 the Valencians offered men and money and, lastly, the Aragonese stood at the frontline of the war. For long periods of time, in fact, Zaragoza became the capital of the entire monarchy.47 The king’s need to demonstrate his benignity toward the non-Castilian kingdoms led to the rapid integration of the Aragonese elite into the administration of the empire and major advantages in the assembly of 1646. In return, the way was paved for absolute monarchy. From the outset, the Valencians contributed men and money, though without much enthusiasm. It was only when their own territory came under threat that the ruling class offered 2,000 men for the siege of Tortosa. In 1645, the Corts were held to ensure the cooperation of the kingdom in the war with Catalonia. Despite apparent progress by those taking stances in favour of preserving the fueros [jurisdiction, charters, privileges], the weight of military needs, in practice, ultimately led to increased royal power in the kingdom. This occurred despite the resistance of the three estates to cooperating without receiving trade-offs in return.48 In 1671, during the reign of Charles II, the remains of Alfonso IV were transferred from Naples to Poblet at the behest of the then Neapolitan viceroy the Duke of Medinaceli and, also, of Cardona. It comes as a surprise to see an initiative of this sort at such a late date. Similarly, it is surprising that Don John of Austria should step over the line between

45 Ricardo García Cárcel, Historia de Cataluña: Siglos XVI y XVII (Barcelona: Ariel, 1985), Vol. II, pp. 151-152. 46 Gonçal López-Nadal, “Corsarios frente a rebeldes: Mallorca y las revueltas en España en el siglo x v i i”, in Werner Thomas, coord., Rebelión y resistencia en el mundo hispánico del siglo XVII: Actas del Coloquio Internacional Lovaina, 20-23 de noviembre de 1991 (Leuven: Leuven University Press, 1992), pp. 270-300. Even so, there was also a timid strand of support for the Catalans in Majorca, which was soon quashed—Mateu Colom,“Mallorca i la revolta catalana”, in Agustí Alcoberro, Giovanni C. Cattini, eds., Entre la construcció nacional i la repressió identitària: Actes de la I Trobada Galeusca d’Historiadores i d’Historiadors (Barcelona: Museu d’Història de Catalunya, 2012), pp. 89-102. 47 Enrique Solano Camón, “Significación histórica de Aragón ante la encrucijada de 1640”, Cuadernos de Historia Moderna, 11 (1991), pp. 131-148. 48 Amparo Felipo Orts, “Aragó i València entre el 1640 i el 1680”, in Ernest Belenguer, dir., Història de la Corona…, Vol. II, pp. 330-340.

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Aragon and Castile to assume the government of the monarchy bearing the royal standard of the Crown of Aragon. While discarding the neoforalista [neo-foralist] account put forward by Joan Reglà in 1956, it is nonetheless true that there was a kind of resurgence of the symbols and tokens of the Crown of Aragon. Looking more carefully, however, we can see that this phenomenon did not come from the cultural and political elites of each kingdom, which had been asserting the exclusive identity of their respective territories, but was rather a purely symbolic phenomenon of the aristocracy and monarchy. While assemblies were called in 1684-87 in Aragon, which was the only kingdom to hold one since 1652, the balance there and in Catalonia and Valencia was favourable to a constant advance toward absolutism. What purpose could be there in reviving the ancient joint structure, if only at the representative level? Perhaps now that the Castilian nobles held enough titles in the Crown of Aragon, it made sense to give the Court’s factionalism a territorial colouring that would engage its various local clients, just as Don John of Austria had demonstrated in his coup d’état.49

6. Recapitulation Two facts bear repetition: first, the Crown of Aragon was a dynamic and changing political body established along dynastic principles that gave it meaning and, second, at the moment in which it could have undertaken a unifying process in the fifteenth century, it had neither a political centre nor a unitary discourse on identity. Quite to the contrary, the dynastic union with Castile and the new dynasty of the Habsburgs pushed the debate onto a Spanish and European level and thwarted any possibility of its own process of integration. The lack of its own dynasty, its place within a larger whole that was subject to Castilian hegemony and the loss of the Italian possessions led each of the territories to strengthen its own identity apart from the

49 Antonio Álvarez-Ossorio, “Neoforalismo y Nueva Planta: El gobierno provincial de la monarquía de Carlos II en Europa”, Calderón de la Barca y la España del Barroco (Madrid: Sociedad Estatal España Nuevo Milenio, 2001), Vol. I, pp. 1061-1089.

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others.50 Ultimately, throughout the entirety of the modern era, the natives of each kingdom would become strangers in one another’s eyes, particularly in terms of the posts held. With the modern era, despite the elements which they undeniably had in common, their internal evolution and the actions of the monarchy itself continued to deepen their differences. In spite of contrary examples from the 16th century, the treatment given to each territory throughout the 17th century was different. After all, did not Olivares pursue separate negotiations for the Union of Arms in 1626? Did not Philip IV reward Aragonese loyalty when fighting the Catalans? Each territory sought to win royal favour in competition with the others, while what had once been the Crown of Aragon gradually vanished.

50 Eulàlia Duran, “Patriotisme i historiografia humanística”, Manuscrits, 19 (2001), pp. 43-58.

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Catalonia in the Process of the Construction of the Modern Spanish State. A Deterministic Interpretation and Critique of Spanish National Historiography Antoni Simon i Tarrés Universitat Autònoma de Barcelona Institut d’Estudis Catalans

1. Historiographic perspectives Clearly, in so far as historians are one of the principal intermediaries for continuity in the vitally necessary dialogue that any society must establish between past and present in order to face the challenges of the future, historiographical interpretations regarding the difficult relations between Catalonia and the early Spanish State that emerged in modern times have constituted, and still constitute, a seminal question in the Spanish/Catalan historiographical debate. The national/political dimensions of the subject cannot be disregarded, nor do I believe it convenient that they should be. In addition, despite the intellectual doubts expressed by some historiographers in this regard — that current interests and preoccupations are not conducive to a balanced, scientific analysis of the subject — my opinion is that although we are here touching on an area that is at this time politically controversial, this is no reason for it to be put aside by historians, whatever their place of origin. Every “present” has its preocupations and these are manifested by all human groups or communities with any sense of culture. It is perfectly logical that they should look for answers in analyses deriving from historiography and other social sciences, none of which exists in an isolated state of objective neutrality. The context in which a historian “writes” or “makes” history is never neutral, and neither is his point of view; that which one can and must demand is simply honesty and methodological rigour. Neutrality does not exist either in social or national terms, even though for historians who frame their work under a state/nation rubric it possibly goes unnoticed or unremarked because it is considered “natural” to write a history of Spain, France or England. The point of this short

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introductory ramble lies in the fact that one of the tools most often used by what I call dominant Spanish nationalist historiography is the rejection of Catalan, Basque and Galician historiography based on the accusation that they simply feed off a national discourse that has no historic or scientific foundations. On the other hand, that selfsame historiography considers Spain as a nation that has existed for millennia to be an unquestionable fact. The citable examples of this paradox are practically limitless. Many very different historians have fallen into this contradiction, either due to their own historiographic or ideological standpoint or due to the lack of rigour with which they have conducted their empirircal studies; this reasoning has been employed as much in Spanish national thinking of the lowest kind as in works that supposedly present a history of Spain free from nationalist prejudices. I will present just two examples of this paradox. The first seems to me significant because of the obvious nature of its contradictions; the second because it is included in a recent work on Spanish history directed by professionals of great prestige. In the prologue of his book España y las Españas, Professor Luis González Antón makes a concerted attack on nationalisms and peripheral nationalist historiographies that retroproyectan sobre el pasado, incluso remoto, concepciones políticas que sólo han surgido en el mundo contemporáneo; es decir, después de la Revolución Francesa. La autoafirmación ‘nacional’ de hoy se traduce en la búsqueda de esa ‘nación’ en el ayer, sin detenerse ante el absurdo histórico […]. Los nacionalismos encuentran — es decir, ‘inventan’ — rasgos de nación, soberanías nacionales, proyectos nacionales de un ‘pueblo’ en el siglo IX o en plena prehistoria [project onto the past, even the remote past, political concepts that have only come to light in the contemporary world; that is, since the French Revolution. The contemporary affirmation ‘national’ translates into the search for this ‘nation’ in the past, without regard for its historical absurdity (…). Nationalisms find — that is, ‘invent’ — features of the nation, national sovereignties, national projects of a ‘people’ in the 9th century or even in pre-history].1 These claims come just a few pages after the opening lines of the selfsame prologue, where Luis González Antón asserts with much the same authority that la indiscutible comunidad de

1

Luis González Antón, España y las Españas (Madrid: Alianza Editorial, 1997), p. 13.

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España tiene raíces viejas de más de dos milenios, lo que la coloca entre las dos o tres “naciones” más antiguas y más definidas territorialmente de las que hoy integran la vieja Europa [the indisputable community of Spain has roots at least two millenia old, placing it among the two or three oldest and best territorially defined ‘nations’ which today comprise the old Europe].2 The other example of this paradox in Spanish national historiography appears in the volume Monarquía e Imperio, published by Professor Antonio-Miguel Bernal in the Historia de España edited by Josep Fontana and Ramon Villares.3 In the general introduction to the book, these two eminent professors of economic history and co-ordinators of the work attempt to distance themselves from unitarist and fundamentalist histories dealing with Spanish history and representative of the thought of intellectuals such as José Ortega y Gasset, Américo Castro or Claudio Sánchez Albornoz: aunque el sujeto implícito del relato es España, hay una voluntad decidida de superar posiciones nacionalistas o esencialistas que tanto han caracterizado el discurso historiográfico español del siglo XX [although the implicit subject of this work is Spain, it is our wish to move beyond the nationalist or essentialist standpoint that has so characterised Spanish historiographic thought in the 20th century] claim Fontana and Villares.4 However, a reading of the text relating to the highly important and historiographically sensitive period of the reign of the Catholic Kings and the first Hapsburgs reveals it to have little in common with those initial objectives. In Monarquía e Imperio, the history of the peninsula — be it political, economic or cultural history — which represents the Spanish unitarist and nationalist case as an inevitable and unimpeachable trajectory towards the consolidation of the Spanish nationstate leaks like a collander. Thus, Antonio-Miguel Bernal unashamedly characterises the House of Trastámara as a Spanish nacional [national] dynasty responsable y motor [responsible for and the motor of] the construction of the modern Spanish state;5 affirms that the Castilian policy

2 3 4 5

Luis González Antón, España…, p. 9. Antonio-Miguel Bernal, Monarquía e Imperio, vol. 3 of Josep Fontana and Ramón Villares, eds., Historia de España (Madrid: Crítica & Marcial Pons, 2007). General introduction (p. XIV), reproduced in every volume of Josep Fontana and Ramon Villares, eds., Historia de España. Antonio Miguel Bernal, Monarquía e Imperio, p. 45.

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of agricultural protectionism acabará por convertirse en uno de los ejes de la política económica del estado nacional desde los Reyes Católicos hasta el franquismo [would finally become one of the fundamental axes of national economic policy from the time of the Catholic Kings until Franco];6 denigrates the parliamentary systems of the Crown of Aragon and other countries that exerted a counterweight to the Crown for being instruments in the hands of los intereses feudalizantes de la nobleza y de las oligarquías urbanas [the feudal interests of the nobility and the urban oligarchies];7 in the case of Catalonia, he disregards all the contributions that, in parallel with European historiography, have assisted in the reevaluation of the political role and representativeness of parliamentary assemblies (work by Víctor Ferro, Miquel Pérez Latre, Eva Serra, etc.);8 and, leaving other peninsular cultures aside, claims that it was Castilian culture which became Spanish national culture in the 20th century.9 In several books and with inestimable intellectual valor, Professor Juan Sisinio Pérez Garzón has denounced the unilateral and manipulative nature of this line of thinking in Spanish nationalist historiography by highlighting its fundamental axes. One is the identification of the 6 7

8

9

Antonio Miguel Bernal, Monarquía e Imperio, p. 391. Antonio Miguel Bernal, Monarquía e Imperio, p. 282. Also states that en conjunto, la historiografía apunta a que las asambleas o estados generales terminaron por ser poco útiles como contrapoder, en sentido constitucional, salvo en Inglaterra. Dado que para reunirse dependían de la convocatoria real, habría que preguntarse por qué las monarquías del siglo XVI las mantuvieron cuando ya muchas de las funciones medievales que fueron su razón de ser en origen habían quedado obsoletas o sobrepasadas [on the whole, historiography agrees that the assemblies or estates general were, in the end, of little use as a constitutional counterbalance, with the exception of in England. Given that their convocation depended on the king, the question arises as to why 16th century monarchies maintained them when many of the medieval functions that justified their existence had become obsolete or had been superseded], p. 273. This is in exact opposition to that which the most recent European historiography asserts, see especially: Peter Blickle, ed., Resistance, representation, and community (Oxford: Oxford University Press, 1997). In general, bibliographies with numerous references to French or English history demonstrate how little the research on 16th century Catalonia is known: Works by Àngel Casals, Jordi Buyreu, Eva Serra, Miquel Pérez Latre, Oriol Junqueras, etc. A review of these contributions in Antoni Simon i Tarrés, “Catalonia in the Process of Constructing the Modern Spanish State (16th-18th Centuries): An Interpretative Approach”, Catalan Historical Review, 7 (2014), pp. 45-62. Antonio Miguel Bernal, Monarquía e Imperio, p. 554. The debate over cultural and linguistic questions in 16th and 17th century Catalonia is heated, but Miguel-Ángel Bernal only knows or employs the historiographic positions held by Ricardo García Cárcel and Manuel Peña, not taking into account the contributions of Mila Segarra, Albert Rossich, Modest Prats, Anna Maria Torrent, Josep Solervicens, etc. A synthetic balance in August Rafanell, La llengua silenciada: Una història del català, del Cinccents al Vuitcents (Barcelona: Empúries, 1999), pp. 15-89.

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development of Spain with the development of Castilian culture while at the same time turning a blind eye to or minimising Catalan, Basque and Galician culture. Secondly, Spanish nationalist thinking characteristically condemns or ridicules the constitutional or confederated state model, such as the Crown of Aragon, as an historic alternative to the Castilian model of the unitary, authoritarian state. In addition, Spanish nationalist thinking tends to overlook or minimise the institutional and cultural repression that, as history shows, has been necessary in order to impose a unitarist state model that is never keen to recognise a national, cultural plurality that emphasises co-existence in its affirmation of diverse historical formations. Discursive axes which, according to Juan Sisinio Pérez Garzón, are necessary in support of an imagined Spanish nation that is almost omnipresent and unquestionable.10 I have only one point of disagreement with the analysis of Juan Sisinio Pérez Garzón. For him, it is the liberal-romantic historiography of the 19th century that is la artífice de una elaboración temporal determinista en cuyo devenir se imbricaban inextricablemente la nación española y el estado-nación [the architect of a temporal determinism in which the Spanish nation and the nation-state become inextricably entwined], a strain of historiographic thought whose political references can be traced back to the Cádiz constitution of 1812, when se define por primera vez España como concepto sociopolítico, como imaginario que identifica a unas personas [Spain is defined for the first time as a socio-political concept and a concept that identified a people].11 Personally, I believe that the ideological foundations of this thinking significantly predate this. As I have attempted to show, especially in Construccions polítiques i identitats nacional. Catalunya i els orígens de l’estat modern espanyol, in the last years of the 16th century the Spanish court’s intelligentsia had already elaborated a nascent political concept of Spain, with a marked bias in favour of Castilian hegemony. In the political thought of Baltasar Álamos de Barrientos, Pedro de Valencia,

10 Denounced by Juan Sisinio Pérez Garzón in different works, but basically in: “La creación de la historia de España”, in Juan Sisinio Pérez Garzón, ed., La gestión de la memoria: La historia de España al servicio del poder (Barcelona: Crítica, 2000), pp. 63-110; and “Los mitos fundacionales y el tiempo de la unidad imaginada del nacionalismo español”, Historia Social, 40 (2001), pp. 7-27. 11 Juan Sisinio Pérez Garzón, “Los mitos fundacionales…”, p. 7.

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Gregorio López Madera, Sancho de Moncada, Juan de Salazar or Francisco de Quevedo we find not only the geopolitical, economic/fiscal and legal/historical foundations of Spain, but also a powerful sense of Spanish patriotism.12 Moreover, since the Historia general de España, by Juan de Mariana, this political concept has become deeply entrenched in Spanish historiographic thought. This has unceasingly sought to bolster a narrative that defends the link between the formation of the state and a Spanish nation which is pictured as the only possible historical option for the various communities of what was, as early as the 17th and 18th centuries, already known as el continente de España [the continent of Spain].13 If we focus on 20th century, post-war historiography, we must immediately note that this historiographic stance has been supported by historians of quite distinct ideologies: falangists, monarchists, historians linked to Marxist or Marxist influenced historiography, etc., and in which an appreciable number of Catalan and Basque historians have also participated. It should be added that the centuries of the modern era have played an outstanding role in this Spanish nationalist thought, as this period gave rise to some historical processes which, conveniently manipulated, have been fundamental in the elaboration of a deterministic vision of the Spanish nation-state. I here refer to the territorial linkage that the dynastic union of the Catholic Kings signified; and, additionally, the significance of the institutional linkage that the change from a joint and institutionally plural Hispanic monarchy to, following the War of Succession, another which consolidated a more unified central zone — Spain — based upon the governmental forms of the Crown of Castile. The previously mentioned writing off of the constitutional and confederal model of the Crown of Aragon was applied at a general and particular level in all the territories that were historically linked with it. In the particular case of Catalonia, a detailed examination of the myths, 12 Antoni Simon i Tarrés, Construccions polítiques i identitats nacionals: Catalunya i els orígens de l’estat modern espanyol (Barcelona: Publicacions de l’Abadia de Montserrat, 2005), especially pp. 53-122. 13 On the key Spanish “national” and ideological role of Mariana, see: Fernando Wulff, Las esencias patrias: Historiografía e historia antigua en la construcción de la identidad española (siglos XVI-XX) (Barcelona: Crítica, 2003); also Enrique García Hernán, “Construcción de las historias de España en los siglos XVII i XVIII”, in Ricardo García Cárcel, coord., La construcción de la historia de España (Madrid: Marcial Pons, 2004), pp. 127-193, especially pp. 127-152.

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distortions, manipulations or, frankly speaking, lies pertaining to this current of thought is beyond the scope of this article; I will focus on just three aspects which, to my mind, are especially important because they establish the interpretive thread of Spanish nationalist thought. The first is the contrast between the modernising, rational and economically effective path that the unitarist and centralised State model is supposed to promote and the backward and medieval character of the constitutional, confederated model. The second is the writing off of the latter model as representing a feudal, oligarchic and corrupt system. Finally, I will deal with the theme of violence in the imposition of the unitary State model, as its forced imposition and the historic resistance which it generated are themes which Spanish nationalist thought has seen fit to minimise or hide.

2. Modernisation versus medieval stagnation The model of an institutionally unified and nationally compact state with an ideological base as provided by the Castilian court’s intelligentsia towards the end of the 16th century, which the reformist absolutism of Olivares first activated politically and was then later, manu militari, attempted by the reforms of the Bourbons (with all the necessary details incorporated: the survival of Catalan private rights, maintenance of the local laws in the Basque provinces, etc.) has been interpreted by Spanish national historiography as a politically rational and modernising step.14 For historians of many persuasions, like Carmelo Viñas Mey, Jaume Vicens i Vives, Antonio Domínguez Ortiz, Carlos Seco Serrano, Juan Luis Castellano, Luis González Antón, Carlos Martínez Shaw, Gonzalo Anes, Juan Pablo Fusi, Fernando García de Cortázar and a long etcetera, the Spanish nation-state which Bourbon despotism attempted to impose represents a higher level of historical evolution than the constitutional monarchy of the Hapsburgs: a step forward in the direction of political modernity and the economic progress of the contemporary world.

14 Some of the ideas in this summary had already been presented by Antoni Simon i Tarrés, “El ‘moment d’Espanya’: La Guerra de Successió i la imposició d’un model polític nacional d’estat: Una valoració historiogràfica”, Afers, 56 (2007), pp. 131-144.

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This line of thought is articulated through three principal expositional axes: 1. The blueprint of the Bourbonic centralised, uniform state put an end to the ideology, ancient laws and institutions of a medieval society that was feudal and oligarchic in nature, redundant in a European political world of the 17th and 18th centuries that was characterised by the implacable advance of centralised monarchies; 2. The new model was more efficient in the promotion of economic growth. The example of Catalonia being a case in point; 3. The current constitution of the Spanish nation-state is derived historically from this conjuncture, given that in the aftermath of the War of Succession the mistaken resistance of various Iberian peoples to this common destiny was finally overcome (Portugal had been lost during the decadence of the 17th century). Before proceeding to a detailed, critical reading of these interpretative axes, I would like to draw attention to two paradoxes present in this “evolutionist” historiographic thinking with regard to the Spanish nation-state. A first paradox is that this lauded “efficient” and “rationalising” model was to become, less than a century later, politically decrepit, financially non-viable, unable to maintain its American empire and reduced to a secondary role in international politics. The second paradox lies in thinking that an absolutism which negated or ridiculed a system based on a balance of powers and postulated, instead, royal power derived from a natural or divine order of things should be considered the most adequate method for advancing a system of modern civil liberties. In fact, providing a perfect image of the three axes mentioned above, this view of political modernity conceded to Bourbonic centralist absolutism in contrast to the contractual system of laws and constitutions of the Crown of Aragon in general, and of Catalonia in particular, presupposes the inability of the pactist or parliamentary systems of the ancien régime to evolve into a fully fledged parliamentary democracy, and interprets the destruction of traditional liberties by absolutism as the first and necessary step in order to attain, through the means of liberal revolutions, the liberties of contemporary democracies. This interpretive presumption is not supported either in the field of historical experience or in that of the evolution in the field of ideas. The Catalan constitutional tradition and, in general, that of the Crown of Aragon which were directed towards a state model based on power

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sharing and the regulation of the executive power founded on collectivist criteria were not without the possibility of development. The examples of England, Sweden, Holland and the Swiss Confederation demonstrate that the “ancient constitutionalism”, as Charles H. McIlwan15 put it, evolved from forms of shared sovereignty into republican models, parliamentary monarchy and finally into fully liberal-democratic regimes after passing through a faster or slower process of transformation. Secondly, in the field of political thinking, and especially since John A. Pocock published his The Machiavellian Moment in 1975, different authors — among them Quentin Skiner, Maurizio Viroli, Marco Geuna or Philip Pettit — have highlighted the links between the republican political traditions of the Italian Late Middle Ages and Renaissance, and the principles of liberty that inspired the Atlantic revolutions of the 17th and 18th centuries.16 Those republican traditions, the legacy of classical antiquity, had a lot in common with the Catalan or Aragonese political practice and a theory of pactism which, stemming from the idea of mixed government — also inherited from the classical world and which postulated a combination of forms of monarchic, aristocratic and popular or democratic government — aspired to govern the political community through the fundamental principles of the rule of law and the common good.17 In his comparison of the trajectories of England and France in the th 18 century, Hilton L. Root has demonstrated that their parliamentary 15 Charles H. McIlwan, Constitucionalismo antiguo y moderno (Madrid, Centro de Estudios Constitucionales, 1991). In this book, which collects six lectures given at Cornell University between 1938-1939, McIlwan defends the thesis that there is a foundational axis between ancient and modern constitutionalism, this same being la limitación del gobierno por el derecho [the control of government by law], cited p. 17. For the connecting threads of continuity between the constitutionalism of the liberal era and that of the democratic societies, see: Maurizio Fioravanti, Constitución: De la Antigüedad a nuestros días (Madrid: Trotta, 2001); Constitucionalismo: Experiencia histórica y tendencias actuales, by the same author (Madrid: Trotta, 2014). 16 John G.A. Pocock, The Machiavellian Moment: Florentine Political Thought and the Atlantic Republican Tradition (Princeton: Princeton University Press, 1975); Quentin Skinner, Liberty before Liberalism (Cambridge: Cambridge University Press, 1998); Maurizio Viroli, Repubblicanesimo (Rome-Bari: Laterza, 1999); Marco Geuna, “La tradizione repubblicana e i suoi interpreti: Famiglie teoriche e discontinuità concettuali”, Filosofia Politica, XII-I (1998), pp. 101-131; Philip Pettit, Republicanism: A Theory of Freedom and Government (Oxford: Oxford University Press), 1997. 17 Joan Pau Rubiés, “La idea del gobierno mixto y sus significado en la crisis de la Monarquía Hispánica”, Historia Social, 24 (1996), pp. 57-82, especially pp. 61-62.

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systems made possible an economy with very low rates of interest, which in turn led to better conditions for economic development.18 In fact, and contrary to the thesis offered by Spanish nationalist historiography, it should be noted that the absolutism imposed by Felipe V acted more as an agent of limitation on Catalan growth in the 17th century, rather than in some way being responsible for it. Beginning in the final decades of the 17th century, that is, within the constitutionalist framework — albeit limited after 1652 — it was entirely derived from Catalan historic formation. On the other hand, the primary, fundamental causes of this growth (a process of agrarian intensification and specialisation, the integration of the wine making industry into the world commercial market, territorial specialisation in manufacturing and the decentralisation of same in Barcelona) had nothing to do with the administrative measures of Hapsburgs or Bourbons. Thus, it becomes evident that the economic “boom” of the 18th century cannot be associated with a supposedly “rational” or “just” fiscal system — global, direct taxation, “el cadastre” — because similar tributary systems imposed throughout the domains of the Crown of Aragon — the única contribución [single tax] of Aragon, the talla [measuring] in Mallorca and the equivalente [equivalent] in Valencia — did not stimulate any economic development in the modern sense.19

3. Corrupt and obsolete forms of government Another interpretive standard, heavily employed in Spanish national historiography in order to undermine historically the model of the Catalonian constitutionalist state, is based on the thesis that the latter’s institutions and the governmental forms that preceded the Bourbon master plan (La Nueva Planta) were characteristically obsolete, corrupt and in no wise

18 Hilton L. Root, The Fountain of Privilege: Political Foundations of Markets in Old Regime France and England (Berkeley: University of California Press, 1994). 19 A weighing of the economic and political significance of the cadastre in Agustí Alcoberro, “El cadastre a Catalunya (1713-1845): De la imposició a la fossilització”, Pedralbes, 25 (2005), pp. 231-257.

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representative. According to this thesis, the ancient institutions, laws and constitutions were subsumed to the feudalistic interests of oligarchic aristocrats. These would only be brought to book politically thanks to the rationalising measures of the Bourbon reforms. For openers I would like to draw attention to a glaring paradox in this interpretation. The model of the absolutist, centralised state that Spanish national historiography likes to contrast with the Catalan/Aragonese model in general contains, as one of its defining characteristics, a strongly aristocratic base that is, in fact, also subordinate to dynastic interests. In reality, the absolutist model was far more pyramidal and oligarchic than the parliamentary systems based on the three estates. In the particular case of Catalan municipal organisation, the studies of Josep M. Torras i Ribé have conclusively shown that it is precisely in the wake of the new master plan that there occurs a strong aristocraticisation in town and city governments throughout Catalonia, leaving the local, urban middle classes that were traditionally represented in the municipalities marginalised.20 In truth, this thesis of Spanish national historiography is quite contrary to the perception of Catalan institutions held by members of the central government of the monarchy during the 16th and 17th centuries. People close to the political centre in the councils of the Castilian court considered that the root of the constitutional tensions between the royal power and the institutions of Catalonia lay in the latter’s popular nature and the limited influence of the aristocracy on them.21 This view is much more closely aligned with tendencies in European historiography which has, during the last three decades, re-evaluated the political role of parliamentary assemblies in the medieval era, highlighting their representative 20 Josep M. Torras i Ribé, Los mecanismos del poder: Los ayuntamientos catalanes durante el siglo XVIII (Barcelona: Crítica, 2003), especially pp. 55-99. 21 Thus, for example, the important consultation of the Council of Aragon on November 14th 1652 that, departing from a brief analysis of the causes of the Catalan rebellion of 1640, drew up the broad lines of action for the central government of the monarchy after the “return” of 1652, concluded that tanto número de votos del pueblo por la mayor parte escogidos, e insaculados de la misma mano, empeñan las resoluciones de la plebe, y de aquí resulta gran parte de sus movimientos y conmociones [so many of the votes of people for the most part chosen or drawn from the lottery push the resolutions of the plebians, and are largely to blame for their movements and disturbances], cfr., Josep M. Torras i Ribé, “El projecte de repressió dels catalans de 1652”, in Eva Serra, coord., La revolució catalana de 1640 (Barcelona: Crítica, 1991), pp. 241-290, p. 267.

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values and a defence of interests that was much more horizontal than in absolutist monarchies.22 With regards to the subjects of efficiency and corruption, the paradox inherent to a nationalist analysis is also evident, given that the unilateral character of the absolutist model with an almost non-existent political opposition was likely to be even more corrupt and inefficient than the ancient system, as has been convincingly shown in the reign of Felipe V by Santos Madrazo.23 Evidently, neither the Catalan institutions nor the constitutions and privileges of the Catalan legal system prior to the Bourbons’ Nova Planta were “democratic” in the sense of modern liberal systems. They were part and parcel of society under the ancien régime. It is also true that some Catalan constitutions could serve as instruments to safeguard certain interests of the estates or upper classes. Nevertheless, it is also true that other constitutions defended the general interests of the community. What seems to me the most relevant point is that the legal basis of this state model contains more politically modern elements than the absolutist model. This is far removed from the picture painted in Spanish national historiography and raises significant question marks over the labels of “feudal” or “medieval” which that historiography attributes to it. In a recent work, Professor Hèctor López Bofill has pointed out how, in “ancient” Catalan constitutionalism, we can detect, in primitive or embryonic form, some of the principles which characterise modern constitutional systems. First would be the concept of the limitation of power, as explicitly stated in the joint, pacted functioning (king and estates) of the legislative power; an idea we currently encounter in the obligation of the monarch to swear an oath to uphold the law and civil rights, and in the depersonalisation of power implied in contemplating sovereignty as a political conception depending on two legitimising poles (King and community). A second linkage to modernity lies in the subjection of all public authority, including the king, to the law. The Catalan system of public law holds that the king and his officers can be indicted 22 In addition to the group of works edited by Peter Blickle, ed., Resistance…; Angela De Benedictis, Politica, governo e istituzioni nell’Europa Moderna (Bologna: Il Mulino, 2001); and Martin Van Gelderen and Quentin Skinner, eds., Republicanism: A Shared European Heritage (Cambridge: Cambridge University Press, 2002). 23 Santos Madrazo, Estado débil y ladrones poderosos en la España del siglo XVIII: Historia de un peculado en el reinado de Felipe V (Madrid: Catarata, 2000).

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for committing abuses or illegal acts, establishing through the constitution of the Observança (Parliaments of Barcelona, 1480-1481) and the Tribunal de Contrafaccions (Parliaments of Barcelona,1701-1702 and 1705-1706), a system of legal controls whose objective was to ensure the observance of pacted laws. A third area in which a putative political modernity can be detected in the system of Catalan civil law prior to the Nova Planta is in the concept of the principle or rules governing hierarchy. Since the parliament of Barcelona, 1283, laws could only be made by the king and the estates jointly and within a parliamentary framework. Finally, López Bofill also makes reference to the principles of political participation and individual rights (rights of property, to the rule of law, etc.), always taking into account the relative and contextual nature of these principles within the framework of a privileged society of the ancien régime.24 Apropos of political participation, logically, the Catalan system did not have the same principles of equality and universality that properly belong to contemporary democracy. Notwithstanding that, it was, contrary to what Spanish national historiography would have us believe, quite an open and participative system. More importantly, it showed a clear tendency to widen its popular bases, especially among the urban middle classes. Thus, during the revolutionary process of 1640 the growth in the participation of cities and towns in the Junta General de Braços [General Council of the Estates] was spectacular,25 granting a sixth council place in the Council of One Hundred to the artesans.26 In addition, in the parliament of 1701-1702, the royal estate of free municipalities under royal privilege demanded an increase in its representation (in the 24 Hèctor López Bofill, Constitucionalisme a Catalunya. Preludi de modernitat (Barcelona: Tria, 2009), especially pp. 42-94. 25 For the representativeness and theoretical principles of the General Council of the Estates, see: Basili de Rubí, Les Corts generals de Pau Claris (Barcelona: Fundació Vives Casajoana, 1986), p. 82ff.; Víctor Ferro, El dret públic català: Les institucions a Catalunya fins al Decret de Nova Planta (Vic: Eumo, 1987), p. 287; Ramon Vidal, “La Junta de 1640”, in Les Corts a Catalunya: Actes del Congrés d’Història Institucional (Barcelona: Generalitat de Catalunya, 1991), pp. 173-181; Eva Serra, “1640: Una revolució política: La implicació de les institucions”, in Eva Serra, ed., La revolució catalana, pp. 3-65, especially pp. 43-57; Jesús Villanueva, El concepto de soberanía en las polémicas previas a la revuelta de 1640 (doctoral thesis, Universitat Autònoma de Barcelona, 2002), pp. 144ff. 26 Josep M. Torras i Ribé, Els municipis catalans de l’Antic Règim 1453-1808 (Barcelona: Curial, 1983), p. 68ff.; and Anna Seijo, “La creació del sisè conseller menestral a Barcelona (1641-1652)”, in Actes del 2on Congrés d’Història del Pla de Barcelona, vol. II (Barcelona: Ajuntament de Barcelona, 1990), pp. 447-452.

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number of towns and cities with the right to attend). This demand was granted in the parliament of 1705-1706, in which the royal estate also demanded the individual vote in place of the bloc vote of the estates, just as, eighty years later, the representatives of the third estate were to do before the French Estates General of 1789.27 It is true that these tendencies cannot hide that the key institutions in the Catalan pactist system in the modern era — Parliament, the Diputació and the Consell de Cent [Council of One Hundred] — were for the most part controlled by the Barcelona upper classes, who not only determined the political destiny of the capital, but also that of the entire country. Even so, this was not a socially hermetic, aristocratic class. This Barcelona upper class was a “composite” elite. Its basic nucleus was the urban patriarchy, the so-called honourable citizens, that is, people distinguished for their political or economic status who had been granted the privilege of being raised to a rank equivalent to the nobility by Ferran the Catholic in 1510. However, this ruling class could be augmented by the inclusion of new members of higher or lower social rank. Members of the traditional Catalan nobility — nobles and knights — who, since the 15th century, had been undergoing a process of urbanisation. Yet this Barcelona ruling class functioned in such a way that made it possible for members of the middle class to be incorporated: merchants, jurists, doctors and other members of the liberal professions. The status of honourable citizen could be acquired via a system of social linkage that opened up the inscription of honourable citizens in the annual assemblies celebrated by the order, or through patents of citizenship granted by the monarch. Definitively, as James Amelang has pointed out, in contrast to other European oligarchies, the Barcelona elite was open or, at least, relatively open.28 There is another factor pertaining to the upper class in Barcelona worthy of note, as it belies the claim that the institutions were dominated for the exclusive benefit of oligarchic interests. The members of this ruling class shared a pactist political culture and a sense of public 27 Eva Serra, “Les Corts de 1701-1702: La represa política a les vigílies de la Guerra de Successió”, L’Avenç, 206 (1996), pp. 22-29, especially pp. 25-26; and Mònica Gonzàlez, “Les Corts catalanes de 1705-1706”, L’Avenç, 206 (1996), pp. 30-33. In the parliament of 1705-1706 the representation of 11 new cities and towns was accepted. 28 James Amelang, “L’oligarquia urbana de la Barcelona moderna: Una aproximació comparativa”, Recerques, 13 (1983), pp. 7-25.

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responsibilty with regards to the institutions and the Catalan community. Thus, in the events that led to the political rupture of 1640, just as in other moments during that convulsive century, the abuses and atrocities that went hand in hand with the massive Spanish military presence in the cities and towns of Catalonia were denounced by the institutions, which assumed this role as part of their public function. Even though the Catalan capital enjoyed exemption from the billeting of troops, its leading class heard the outcry of the country and aligned itself with the peasants’ resistance to the military burdens — to the point of becoming the leaders of a revolutionary process.29

4. Playing down the violence The last point I’d like to make in this critique of Spanish national historiography is related to the playing down, and sometimes hiding, of the use of violence and repression in the building of the Spanish nationstate. This has the main objective of legitimising the historic process by highlighting connective links and national solidarity while, at the same time, underplaying the resistance and opposition to the process. It must be said that this is in no wise something particular or exclusive to Spanish national historiography. It is to be found in the historic/ political thought of many state nationalisms in a modern world in which the values of liberty and democracy prevail and which now face the contradiction of justifying the “obscure” origins of nation-states in which such values were notable only by their absence. Definitively, Will Kymlica and various intellectuals have reflected on the nature of the contradictions of the contemporary liberal state, and have signalled that the birth of the Western world order has nothing to do with the principles of liberal democracy which are used in its defence as self-justification. This explains the virtual conspiracy of silence with regards to its origins which, in the majority of cases, are based in the use

29 I have developed this argument in Antoni Simon i Tarrés, Pau Claris, líder d’una classe revolucionària (Barcelona: 2008), above all in the second half of the book: “Un trienni decisiu: 1638-1641: Pau Claris i l’acció política d’una classe revolucionària”.

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of force rather than the principle of free association among peoples.30 We also find that prestigious legal theorists like Luigi Ferrajoli have identified this as one of the key elements in the crises of ever more obsolete and inadequate sovereign states in the forced process of union that has negated the differences between their own internal identities; Ferrajoli foresees a redefinition of international law no ya sobre la soberanía de los estados sino sobre la autonomía de los pueblos [based not on the sovereignty of states but on the autonomy of peoples].31 In the case of the historical trajectory of Catalonia, the initial stage in the formation of the modern Spanish state was marked by two wars — the so-called War of the Reapers or Separation and the War of Succession — and also by the repression that accompanied them. Spanish national historiography has tended to minimise the range of the opposition and resistance these conflicts represent on the path to a unitary, authoritarian state. Basically, three interpretative strategies have been employed: 1. Resistance is attributed to degenerate interests of groups of oligarchs who dragged Catalonia down an erroneous path; 2. Highlighting the cases of some historical figures who did not suffer at all, or only a little, the repressive post-war measures employed. The chief councillor of Barcelona in 1714, Rafael Casanova, is often mentioned;32 30 Will Kymlica, Fronteras territoriales: Una perspectiva liberal igualitaria (Madrid: Trotta, 2006). For this philosopher and expert in multuculturalism at Queen’s University (Ontario), the contradiction inherent in this obfuscation or silence derives from the fact that, in the great majority of cases, frontiers are producto de injusticias históricas [products of historic injustices], which clash with the fundamental liberaldemocratic principle which holds that la legitimidad de una autoridad reside en el consentimiento de los gobernados [the legitimacy of any authority resides in the consent of the governed], passim, pp. 38-42. 31 Luigi Ferrajoli, Derechos y garantías: La ley del más débil, with prologue by Perfecto Andrés Ibáñez (Madrid: Trotta, 1999), especially pp. 150-152. The quotation is on p. 151. 32 This is the case of Antonio Domínguez Ortiz, who in his España: Tres milenios de historia (Madrid: Marcial Pons, 2001), claims: El homenaje anual al conseller en cap Rafael Casanovas [sic], que dirigió la defensa hasta caer herido envuelto en los pliegues de la bandera de Santa Eulalia, se ha convertido en símbolo de la nacionalidad catalana; pero, sin intención de disminuir en un ápice el valor simbólico de este episodio; convendría añadir que el historiador no puede, como el dramaturgo, tener licencia para elegir el momento más efectista para bajar el telón; debe proseguir el relato hasta el final. Casanovas curó de sus heridas, fue amnistiado y muchos años después terminó apaciblemente su vida ejerciendo su profesión de abogado [The annual homage to the councillor Rafael Casanovas (sic), who directed the defence until he fell wounded wrapped in the folds of the flag of Santa Eulàlia, has evolved into a symbol of Catalan identity; however, without the slightest intention of taking anything away from the symbolic value of the act, it

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3. Attempt to underline the general acceptance of the new political order in Catalan society after the War of Succession which, once the misinformed resistance had been vanquished, led to general well-being and prosperity. However, research conducted by Catalan historiography, especially in the last ten years, categorically refutes the interpretation of Spanish national historiography by means of four basic ideas which oppose it. 1. With regard to post-war repression, the works of Fernando Sánchez Marcos, Josep M. Torras i Ribé, Eva Serra, Antoni Simon, Josep Catà and Antoni Muñoz, among others, have demonstrated that after the Guerra dels Segadors [War of the Reapers] in 1640-1652, the repression was even more intense and rigorous than Catalan historiography has traditionally maintained, opening a new phase in the political-constitutional relations between Catalonia and the Crown and their application. These would now be defined by a new balance between king and kingdom much more favourable to the former.33 Thus, far removed from the neoforalista [reassertion of ancient law] label assigned by Joan Reglà to the post-1652 period, current Catalan historiography understands it as an advance toward the centralised absolutism that the Bourbonic model would impose after the War of Succession. With regards to the repression that accompanied the War of Succession, there is a great deal of undisputed evidence that Catalan society was subjected to deliberate, systematic and violent repression. The studies of Joaquim Albareda, Agustí Alcoberro, Josep M. Torras i Ribé, Antoni Muñoz and Josep Catà, among others, have highlighted the dramatic and generalised nature of the summary executions, imprisonments and forced must be said that an historian cannot, as a dramatist may, chose the ideal moment at which to lower the final curtain; he must follow the narrative until the end. Casanovas recovered from his wounds, received amnesty and, many years later, reached the end of his days as a lawyer peacefully], p. 206. 33 Fernando Sánchez Marcos, Cataluña y el gobierno central tras la Guerra de los Segadores (1652-1679) (Barcelona: Publicacions de la Universitat de Barcelona, 1983); Josep M. Torras i Ribé, “El projecte de repressió…”; Eva Serra, “Catalunya després de 1652: Recompenses, censura i repressió”, Pedralbes, 17 (1997), pp. 191-216; by the same author: “El pas de rosca en el camí de l’austriacisme”, in Del patriotisme al catalanisme (Vic: Eumo, 2001), pp. 71-103; Antoni Simon i Tarrés, “1652: Entre la clemència i el càstig: Teoria i pràctica d’una repressió”, in Enfrontaments civils: Postguerres i reconstruccions: Segon Congrés Recerques, vol. III (Lleida: Universitat de Lleida & Pagès Editors, 2005), pp. 27-44; Josep Catà and Antoni Muñoz, Absolutisme contra pactisme: La ciutadella de Barcelona (1640-1704) (Barcelona: Rafael Dalmau, 2008).

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exiles, not to mention the scale of the institutional, cultural, linguistic and symbolic Bourbonic repression.34 2. This transition from an inclusive, institutionally plural monarchy to a unitary state configuration based on the governmental forms of the Crown of Castile was achieved through the use of force, to wit, the massive Spanish military presence in Catalonian territory which, after 1652, permitted a de facto return to power of the viceroys, who acted more like captain-generals than lieutenant generals of the government. The significant military presence in Catalonia which, between 1684 and 1697, varied between 11,000 and 23,000 men, did not only serve as a brake on the imperialist ambitions of Louis XIV but also as a tool in the political subjection of the territory.35 In the 18th century this military presence continued to grow, reaching between 22,000 and 30,000 soldiers in the first half of the century.36 3. Meanwhile, Catalonia was not simply ideologically isolated from the projected Spanish nation-state. Recent Catalonian historiography has noted that, especially in the aftermath of the war of 1640-1652, political mistrust festered in the relations between the monarchy’s central government and the leading sectors in command of Catalonia’s institutions;37 concurrently, the outbreak of wars and the billeting of troops fed sentiments of another, separate identity in Catalan society which were directed equally against Castilians and French.38 The war of 1640-1652 had dropped a depth-charge on the project of the construction of the modern Spanish state, as it demolished the links of political trust between the castilian court at the centre and Catalonia’s historic formations. Perceptions of the causes and development of the process of rupture were different, but they led in equal measure to 34 Joaquim Albareda, Felipe V y el triunfo del absolutismo (Barcelona: Generalitat de Catalunya, 2002); Agustí Alcoberro, L’exili austriacista (1713-1747), 2 vol. (Barcelona: Fundació Noguera, 2002); Josep M. Torras i Ribé, Felip V contra Catalunya (Barcelona: Rafael Dalmau, 2005); Antoni Muñoz and Josep Catà, Repressió borbònica i resistència catalana (1714-1736) (Barcelona: Rafael Dalmau, 2005). 35 Cfr., Antonio Espino, Cataluña durante el reinado de Carlos II: Política y guerra en la frontera catalana (Bellaterra: Monografies Manuscrits, 1999), especially p. 92 and pp. 204-205. 36 Lluís Roura, Subjecció i revolta en el segle de la Nova Planta (Vic: Eumo, 2005), p. 53. 37 Antoni Simon i Tarrés, Ecos catalans i hispànics de la caiguda de Barcelona el 1652 (Barcelona: Institut d’Estudis Catalans, 2007), especially p. 28ff. 38 Antoni Simon i Tarrés, “Construccions polítiques…”, pp. 329-342.

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feelings of distance and mistrust. On the part of Catalonia, the Spanish unifying project, elaborated by the court’s intelligentsia and put into political practice by Olivares, showed itself as aggressive and unilateral and was directed against the political and national identity of Catalonia. As far as Castile, and especially the Castilian court, was concerned, the rebellion of the Catalans and Portuguese had made the construction of the compact, well structured and cohesive state ruled by Castile impossible. After 1652, the open nature of this mistrust became ever more obvious and enduring. 4. It is true to say that during this process, either through coercion or seduction, there were instances of integration in the Spanish-Castilian state under construction. Crown control of appointments to the Diputació and the Council of One Hundred from 1652, and the businesses of Catalonian collaborators in supplying the army in the second half of the 17th century, among other factors, strengthened royalist loyalties. In addition, the post-1714 situation gave rise to the need to collaborate with the Bourbon power for survival, to adjust to it, and to make all sorts of cultural and linguistic concessions. Notwithstanding, even after the War of Succession and the subsequent rigorous repression, there are unequivocal signs of resistance detectable in Catalan society, from armed resistance to the recently installed regime (the pro-Austria guerrilla of Carrasclet), to a deeper, more profound and longer-lasting resistance, inter-class in nature, that had two principal grievances: one was fiscal and the other opposed to enforced military service. The political scene of the 18th century was also characterised by the Bourbon administration’s mistrust in Catalonia’s loyalty to the new dynasty.39 This perception of the position of Catalonia under the Bourbon monarchy was shared, on the other hand, by various soldiers, travellers and foreign dignitaries in the 18th and early 19th centuries. Thus, people like Alexandre Laborde, H. Swinburne, Philippe Duhesme, Alban de Villanueve and Maximilien Foy, give testimony in their travel books or political reports to the collective will of the Catalans to become a free nation, to their dislike of Castilians and French, to their secessionist ideals and to their national pride.40 Testimonies that, on the 39 Lluís Roura, Subjecció i revolta…, especially pp. 33-78. 40 Pere Anguera, “Entre dues possibilitats: Espanyols o catalans?”, in Del patriotisme al catalanisme (Vic: Eumo, 2001), pp. 317-337, especially pp. 320-327.

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one hand, prove the persistence of a distinct Catalonian national identity and, on the other, reveal the false process of integration of Catalonia in the Spanish nation claimed in Spanish national historiography.

5. Conclusion To conclude I must return to the initial point regarding the intermediary role between past and present played by historians in a short personal reflection on this national and historiographic debate in current Catalan and Spanish society. I understand that Spanish national historiographical thought has played a highly relevant role in the ideological/political acceptance of the idea of a unitary Spanish nation-state in which the Castilian tradition has enjoyed hegemony. In fact, the intellectual product of humanists in the Spanish court of the Late Middle Ages and Renaissance preceded and prepared the way for ideological structures, more political in nature, of the concept of Spain whose contours had, by the end of the 16th century, become quite sharply defined. In addition, fundamental linkage has since been provided in the works of Juan Mariana, Modesto Lafuente and the modern “histories” of Antonio Domínguez Ortiz and Fernando García de Cortázar, which have enjoyed remarkable social penetration and discussion. Through them, Spanish historiographical thought has promoted a deterministic view of the Spanish nation-state with considerable ideological and political impact. According to this viewpoint, the Spanish nation-state has been, and continues to be, the one viable option possible for the future of the various Hispanic historical formations. This historiographic thinking has been of vital importance in the social acceptance of a Spanish national culture that has always positively valued the principle of unity, as opposed to that of diversity, attributing from this point of departure moral value to the unitary state model. This has made non-viable the alternatives of constructing a truly federal state (not founded upon imposition but on free association), or one based on a confederacy.

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However, I would like to recall that in both the fields of ideology and of practical politics, and going here beyond simple constitutional-legal formulations, attempts to impose this state model have always resulted in failure, even in the several attempts to ensure its imposition by military force in both the modern and contemporary eras. It is deriving from this that, in the current 21th century situation marked by the process of European construction, these problematic issues endure among the distinct historical formations that find themselves incorporated into the Spanish state. A European panorama which, it is worth remembering, has its own dominant values. Finally, after “hard battles” for liberty, liberaldemocratic political and civic values have prevailed in which the advance towards the full recognition of historical entities with their own national cultures, far from representing an obstacle to the true construction of a federal European state founded on the values of liberty, democracy and civic responsibility, is seen as a positive and valuable resource. As intellectuals such as Maurizio Viroli have pointed out, a fully responsible, informed citizenship is, fundamentally, the product of national cultures rooted in concrete realities. It is neither derived from abstract, universalist principles that seem remote to individual people, nor from those which are the fruits of forced, historical impositions.41 Definitively, the conquest and enjoyment of the individual liberties of the citizenry will never be fully realised if they do not go hand in hand with the liberties of national communities to decide their present and future; and, as that Florentine who became one of the founding fathers of the theory of the modern state understood five centuries ago, peoples who have enjoyed la memòria de l’antiga llibertat no els deixa mai ni els pot deixar reposar [the memory of their former freedom will never nor cannot let them rest].42

41 Maurizio Viroli, Repubblicanesimo, especially chapter VII: “Repubblicanesimo europei”. 42 Nicolau Maquiavel, El príncep (Barcelona: Ed. 62, 2002), edition and translation by Jordi Moners, p. 64.

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The Writing of History and of Catalan Identity…

The Writing of History and of Catalan Identity: from Jeroni Pujades (1568-1635) to Antoni de Capmany (1742-1813) 1

Xavier Ba ró i Queralt Universitat Internacional de Catalunya

1. Introduction: some preliminary reflections In 1978, the Barcelona Faculty of Theology granted Miquel Batllori an honorary doctorate. In his speech, the Catalan historian emphasised, amongst many other opinions, two ideas. The first covered the linking of the past and the present: és ben curiós que, a mesura que passa, que ens passa, el temps, els temps passats s’apropen, en comptes d’allunyar-se [it is certainly strange that as time passes, as we in fact become older, past events become closer, instead of moving further away]. This reflection fully adheres to the subject of our study, even though Batllori also affirmed (this was, remember, 1978) that tot el que no sigui segle XVIII és pura prehistòria, reservada a especialistes no compromesos amb els problemes actuals [anything before the 18th century is strictly prehistory, in a pure form, reserved for specialists unburdened by current day issues].2 And so although history is a study of time in the past it is reviewed in the present. According to a providential expression by Benedetto Croce, ogni storia è storia contemporanea [all history is contemporary history]. And in this respect the current panorama has little to do with events in 1978. So, current politics have revived great interest in the modern era of Catalonia, bringing this era closer to us today than it was three or four decades ago.

1 2

This work has been carried out under the project “Power and Representations in the Early Modern Era: The Spanish Monarchy as Cultural Field (1500-1800)” (HAR12-39516-C02-01). Miquel Batllori, De l’Humanisme i del Renaixement: Obra completa (València: Tres i Quatre, 1995), vol. V, pp. 283-284.

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In any case, it is always pleasant to start a text with references to the classics. The rhetorician Cicero (1st century BC) in his magna opus De Oratore gives us clues on how a historian should behave: not daring to announce anything false yet at the same time telling the whole truth without falling into the error of bias. A century later, Tacitus (55-120) further clarifies that anyone who writes history should be able to bring out the virtues of the characters, yet at the same time reveal where appropriate their disrepute. A great many historians of bona fe [good faith] would certainly approve of this “code of ethics”, theoretically. But the reality is much more complex and has infinite aspects. We could say that it is multifaceted. Writing, as a product of human activity, is not neutral. Thus, the writing of history cannot be neutral, cold and empirical. History has been written by men (on the whole, as the role of women historians was small until the second half of the twentieth century), who have been marked by a certain way of understanding life. So to imagine that when a historian begins writing a text the work is going to be completely impartial is clearly one of the errors into which a particular interpretation of the epistemological optimism of the Enlightenment leads us (what Gadamer ingeniously pointed out as “resisting the auto apotheosis of the Enlightenment”).3 Before we move forward there are three more reasons for caution. The first one is that in the 17th century the professional historian was still far from becoming a reality. At that time, the same men who wrote laws transcribed history; that is to say, attorneys and lawyers who, in addition to carrying out their usual duties, also wrote history. As did politicians and diplomats, as well as members of religious communities. All these factions are far from being what we recognise today as professional historians. A second word of caution: this may help us to understand that the Jesuit Juan de Mariana (1536-1624), considered one of the greatest historians of the Spanish 17th century emphatically affirmed in his Historia

3

Hans-Georg Gadamer, Verdad y método (Salamanca: Ediciones Sígueme, 2000), vol. II, p. 46.

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general de España (1601) that it was legitimate consagrar los orígenes y principios de su gente, y hacellos muy más ilustres de lo que son, mezclando cosas falsas con las verdaderas [to consecrate the origins and principles of one’s people, and make them much more important than they are, combining false things with the true]4 as long as ‘blatant’ untruths did not distort events. Or that the Portuguese soldier Francisco Manuel de Mello (1608-1666) proudly stated in the preface of his book Historia de los movimientos, separación y guerra de Cataluña [1645, History of Movements, Separation and War in Catalonia] that la verdad es la que dicta, yo quien escribe; suyas son las razones, mías las letras [Truth is that which dictates, I the one who writes; its are the reasons and mine the words].5 One last example, from near the end of the century: Joan Lacavalleria, the Catalan latinist (1640-?), appropriated in his Gazophylacium Catalano-Latinum, (1696), Cicero’s definition of history: la història és lo testimoni dels temps, la llum de la veritat, la vida de la memòria, la mestra de la vida i la missatgera de l’antiguitat [History is the witness of time, the light of truth, the existence of memory, the tutor of life and the messenger of ancient times].6 Final warning: if we understand historiography as the discipline concerned with the study of the history of written history, we should bear in mind that both are closely related. Charles-Olivier Carbonell has written that the historiography of a topic is the sum total of its interpretations, and that this is its true reflection.7 Therefore, the way history is written will vary depending on the historical moment we are discussing. And now at last we may focus on the turbulent Catalan 17th century, which Canon Alexandre Ros (1598-1656) defined as a siglo tan cauteloso en que se pelea más con libros que con ejércitos [such a cautious century in which battles were fought more with books than with armies].8

4 5 6 7 8

Fragment from: Antoni Rovira i Virgili, Història nacional de Catalunya (Barcelona: Pàtria, 1922), vol. I, p. 26. Francisco Manuel de Melo, Historia de los movimientos, separación y guerra de Cataluña (Madrid: Imprenta de Sancha, 1808), p. 3. Joan Lacavalleria, Gazophylacium Catalano-Latinum (Barcelona: Antoni Lacavalleria, 1696), p. 563. Charles-Olivier Carbonell, La historiografía (Madrid: Fondo de Cultura Económica, 1986), p. 8. Alexandre Ros, Cataluña desengañada (Naples: Egidio Longo, 1646), fol. 67.

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2. Some of the explanations for this now almost clarified misconception To approach the Catalan historiography of the Baroque period is still considered in some circles to approach a decadent period, the uninteresting afterthought of a glorious mediaevel and humanist historiography. We can see at least three aspects to support this theory. Firstly the initial development of Classical Humanism (Pere Miquel Carbonell, amongst others) slowed down during the 17th century and did not reappear with vigour until the enlightened criticism of the 18th century. Secondly, there is the comparison between the Catalan historiography, qualified as excellent — Ferran Soldevila describes the four chronicles as els quatre evangelis de Catalunya [the four gospels of Catalonia] — and exceptionally well-known, versus the Baroque chronicles abounding with mediocre, less well-known authors and circulated amongst a reasonably cultivated readership. Finally, Catalan historiography has been compared with the Spanish of the same period and it has been concluded that the former was significantly lower in standard than the latter. It should be noted that these ideas have been roundly challenged since the 1980’s, and even more so since the following decade. Today it has been shown that many of the objections made to the Catalan historiography of the 1600’s were still the fruit and consequence of interpretative systems of the 19th century Renaixença, eager to establish itself as a turning point for everything that came before the 19th century. The three theories discussed above have been clearly and convincingly refuted in recent years, mainly from the contributions of experts like Fernando Sánchez Marcos and Antoni Simon. Regarding the first theory, there were authors who in the 17th century were trying to advance the critical study of their sources, although it is true that they met with mixed success (Jeroni Pujades, Esteve de Corbera and Francesc de Montcada, amongst others). Regarding the second theory, we have said that the situation had begun to change as more monographic studies were conducted on 16th century authors as more hitherto unknown primary sources were published or became known to historians — in this case, the production of the Diccionari d’historiografia catalana [Dictionary of Catalan Historiography]

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directed by Antoni Simon seems to be the most obvious.9 Comparison with Spanish historiography is also probably incorrect, and somewhat short-sighted. Any attempt at comparison with the Spanish Golden Age seems vague and inaccurate. However, the picture may change when Catalan historiography is compared to others in Europe. This idea was already introduced by Albert Rossich for Catalan literature of the time.10 In any case, and sidestepping any ‘competition’ between the fortunes that each national historiography has experienced, it seems apparent and undeniable that, as the historiography of a given period is a sharp reflection of a society in a particular context, Baroque historiography is clearly important to better understand Catalonia in the 17th century.

3. Catalan historiography in the 17th century: some general characteristics and an introduction to some of the most representative authors Although summarising always entails some reductiveness some of the main features of the historiography of the period should be identified in order to more accurately capture further details that we will then address.11

3.1. The Catholic counter confession Primarily, and here there is agreement among all the experts, this is clearly a historiography of the ancien régime, in which Catholic confessionalisation is highlighted, permeating everything that our authors write. Not surprisingly, the Barcelona historian Esteve de Corbera (1563-1632) 9

Antoni Simon i Tarrés (dir.), Diccionari d’historiografia catalana (Barcelona: Enciclopèdia Catalana, 2003). 10 Albert Rossich, “La literatura catalana del renaixement a la Renaixença”, Revista de Catalunya, 71 (1993), pp. 125-139. 11 See some of the most recent research on this topic: Antoni Simon i Tarrés, “La historiografia del barroc (de Jeroni Pujades a Narcís Feliu de la Penya)”, Història de la historiografia catalana, Albert Balcells, coord. (Barcelona, Institut d’Estudis Catalans, 2005), pp. 93-116; Jesús Villanueva, Política y discurso histórico en la España del siglo XVII: Las polémicas sobre los orígenes medievales de Cataluña (Alacant: Universitat d’Alacant, 2004); Xavier Baró i Queralt, La historiografia catalana en el segle del barroc (1585-1709) (Barcelona, Publicacions de l’Abadia de Montserrat, 2009).

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proudly confirmed in his preface to Cataluña ilustrada his commitment to the faith: y si conviene morir por defender esta verdad, desde aquí me ofrezco para ello [And if I should have to die to defend this truth, then from here I offer myself].12 However, note that this is not something unique or particularly related to Catalan historiography. At the time, all European historians boasted of being part of the religious community and there are very different examples in our immediate environment (Aragon, Valencia, Majorca, Basques, Castilians, Andalusians, etc.) and beyond the frontiers of the Spanish monarchy (consider for example the arguments used by Gian Francesco Abella (1582-1655) in his Malta Illustrata, from 1647).13 In fact, contact with the Muslim religion (with the infidel, “unfaithful] was not in that period an impediment to boasting about the ‘purity’ of the faith of the people of a territory, as shown in the booklet Sobre la veritat de la fe cristiana [On the Truth of Christian Faith] written by Jordi de Trebisonda (1395-1484) and addressed to none other than the conqueror of the Byzantine Empire, Mehmet II. But back to Catalonia. What specifically is Catalan Catholicism? According to historians of the Baroque it has three distinctive features: Catalonia as one of the first (if not the first) Christianised peoples of the Peninsula, the rapid expulsion of the Muslims and finally the strength and purity of the Catholic faith. Regarding the first of these affirmations, Francesc Martí i Viladamor (1616-1687) had no doubt that the apostle James por la gracia del cielo halló en la felicísima provincia de Cataluña sus moradores tan dispuestos a la refulgente luz de la fe de Christo [...] y el primer gentil que recibió la fe de Christo ha sido catalán [by the grace of heaven found the inhabitants of the happy province of Catalonia, very willing to come to the brightly shining light of the faith of Christ (…) and the first Gentile who received the faith of Christ was Catalan].14 Martí i Viladamor was proud of how quickly the expulsion of Muslims started in Catalonia: los invictos catalanes [...] dieron glorioso principio a su conquista en el año 740 [the undefeated Catalans 12 Archivo Campomanes - Fundación Universitaria Española (Madrid), 51-4, manuscript from Cataluña ilustrada by Esteve de Corbera, unnumbered pages. 13 Xavier Baró i Queralt, “Cataluña y Malta en la historiografía barroca maltesa: La Malta illustrata: della descrittione di Malta de Gian Francesco Abela (1582-1655)”, Actes del III Congrés d’Història Marítima de Catalunya (Barcelona: Museu Marítim de Barcelona, 2008), published in digital format. 14 Escrits polítics del segle XVII: Tom I: “Noticia Universal de Cataluña” de Francesc Martí Viladamor, ed. Xavier Torres (Vic: Eumo, 1995), p. 35.

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(…) made a glorious beginning to their conquest in the year 740].15 And countless examples can be found of the defence of Catalan Catholicism; of the role played by Catalans as defenders and diffusers of the Catholic faith. In the face of a secta mahometana pèrfida, infame i supersticiosa (“perfidious, infamous and superstitious Mohammedan sect”, according to the definition of Islam that the Valencian monk Gaspar Blai Arbuixec wrote),16 the Catalans could feel proud to have introduced the Inquisition into the Iberian Peninsula. In the words of Andreu Bosch, the Catalans Pòdan blasonar no sols de les primícies de la Christiandat de Espanya, com està provat; però també del principi que·s rebé la Santa Inquisició en tota Espanya, foren los primers, los de Cathalunya, Rosselló y Cerdanya, ells foren els primers inquisidors de Espanya ja de l’any 1232.17 Can boast not only of becoming the primogenitors of Christendom in Spain, as has proven; but also that they were the first to receive the Inquisition in Spain, it was these first people from Cathalunya, Roussillon and Cerdanya, who from 1232 were the first Inquisitors in Spain.

But it was an Inquisition that not only fought against Islam, but also against any deviation from the purity of the faith, such as that of their neighbours, the French Huguenots. Below, the Jesuit Pere Gil (15511622) writes to present the Catalans as unequivocal Catholics: En lo que toca a la fe cathòlica y religió christiana són tan ferms y tan enemichs de las novas invencions dels infiels i heretges que, havent tants anys com ha que tenen per espay casi quaranta leguas veÿns als heretges de França, may la heretgia és entrada en Cathalunya, ni s’és trobat algun cathalà que·s sia fet heretge.18

15 Escrits polítics…, ed. Xavier Torres, p. 51. 16 Gaspar Blai i Arbuixech, Sermó de la conquista de la molt insigne, noble, leal, coronada ciutat de València (València: Jeroni Vilagrasa, 1666), p. 5. 17 Andreu Bosch, Summari, índex o epítome dels admirables Títols d’Honor de Catalunya, Rosselló i Cerdanya (Perpinyà: Pere Lacavalleria, 1628), p. 35. 18 Pere Gil, Libre primer de la Història Cathalana en lo qual se tracta de història o descripció natural, ço és de cosas naturals de Cathalunya (1600), book quoted in Identitat i territori: Textos geogràfics del Renaixement, ed. Agustí Alcoberro (Vic: Eumo, 2000), p. 203.

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With regards to the Catholic faith and the Christian religion they are so steadfast and such enemies of new inventions brought by the unfaithful and other heretics who have for so long, at a distance of almost forty leagues been their neighbours, the heretics in France, that never has heresy been introduced nor has any Catalan been found to be a heretic.

3.2. The histories of Catalonia by Pujades, Corbera, Marcillo and Feliu de la Penya A second feature of this Baroque historiography is the strong interest shown towards local history and / or Spanish national history versus the scarce interest shown in events beyond what might directly affect Catalonia. Topics we could call foreign (European or American) do not seem of any interest to our authors. It does not attract their attention when they write their essays, but it does not follow that international issues were not present in private libraries, as evidenced for example by the following writers: Joaquim de Setantí (1550?-1617) and Jeroni Pujades (1568-1635) or the nobleman, Ramon de Calders (1586?-1653). However there are abundant histories written about Catalonia by local religious orders. With respect to attempts to elaborate a history of Catalonia, the contributions made by Jeroni Pujades (1568-1635), Esteve de Corbera (1563-1632), Manuel Marcillo (1656-1694) and Narcís Feliu de la Penya (?-1712) stand out. Jeroni Pujades was a barrister who, besides carrying out his job as a lawyer and jurist, made a tremendous effort to transcribe the history of his country, whether it was an old and remote story or current events.19 Regarding the history of Catalonia, he tried to transcribe the overall history from its beginnings up to 1162. The first volume of Crònica universal 19 Regarding Pujades, see: Rafael Torrent, “La Crónica de J. Pujades”, Annals de l’Institut d’Estudis Empordanesos, I (1962), pp. 51-99; Miquel Pujol i Canelles, “Aportació a la biografia de Jeroni Pujades: Una biblioteca particular de començament del segle XVII”, Annals de l’Institut d’Estudis Empordanesos, XVIII (1985), pp. 99-247; James Amelang, “El mundo mental de Jeroni Pujades”, Europa y el mundo Atlántico, Richard Kagan, Geoffrey Parker, eds. (Madrid: Marcial Pons, 2001), pp. 279-298; Eulàlia Miralles, Sobre Jeroni Pujades (Barcelona: Institut d’Estudis Catalans, 2010).

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del Principat de Catalunya was published in Catalan in 1609.20 Pujades opted to write the rest of the volumes in Spanish although these were not recovered until the 19th century.21 It has to be said that Pujades was an exception amongst historians from the 16th century and has always enjoyed an undisputed reputation and prestige for being rigorous. Jeroni de Capmany in his introduction to the chronicle (whose exact title is Vàrias notícias y successos recopilats y disposats en nou assumptos o tractats) by Jeroni de Real (1592-1683) did not hesitate to define him as la llum dels historiadors catalans [the light of Catalan historians]. What is plain to see is that Pujades took on a daunting task of researching documents and epigraphic sources. This barrister from the Empordà area of Catalonia included at least seven types of different historical sources: Biblical, primitive Christian sources, classical sources (especially the Roman world), epigraphic sources, mediaevel sources (multiple books and documents), legal sources (which shows how he put his knowledge of the Law to work in the service of history) and finally, sources from literary historians and humanists from both the Renaissance and contemporary ages.22 However, this colossal documentary research was not without its errors, such as, for example, taking as valid the existence of the legendary Otger Cataló (a mistake followed by all his contemporaries, who was eager to include this legendary figure, alleged to be the first to defeat the Moors on the battlefield). As previously stated, Pujades wanted to be faithful to the historical sources: Y perquè no aparega contenir indoctes faules y fingides trobes, com digueren lo summo pontífice y apòstol sant Pere y lo justicier emperador Justinià certifich al lector: que no escriuré cosa sens autoritat y testimoni, o sens donar la raó me haurà mogut a seguir lo que diré. De manera que podrà fàcilment fer-se la censura de la veritat: les alegacions faré dels autors, seran per los noms en lo curs de la narració i en lo marge, lo lloc, llibre o capítol d’on han hauré tret lo que diré.23 20 Jeroni Pujades, Corònica universal del Principat de Catalunya (Barcelona: Jeroni Margarit, 1609). 21 Jeroni Pujades, Crónica universal del Principado de Cataluña (Barcelona: José Torner press, 1829-1832). 22 Xavier Baró i Queralt, “Algunes fonts utilitzades per Jeroni Pujades (1568-1635) en l’elaboració de la seva Crònica”, Butlletí de la Reial Acadèmia de Bones Lletres de Barcelona, LIII (2011-2012), pp. 239-258. 23 Jeroni Pujades, Corònica universal…, fol. 3.

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So that it does not appear to contain false and ignorant tales, in the name of the apostle Saint Peter and the righteous Emperor Justinian, I certify to readers: I will not write anything without authority and testimony, or without stated motive that moves me. So that the truth can readily be verified: for arguments taken directly from the authors, their names will appear in the course of the narrative and in the margin, with the place, the book or chapter where I found these passages.

Now, why this desire to be objective and careful? Undoubtedly due to a remarkable degree of professionalism, but also because his aim was to achieve a balance in the historiographical dialogue between Catalonia and an expanding Castile. Pujades points out a reflection that is commonplace in history books written in Baroque Catalonia. The author regrets that the Catalans do not cultivate the history of their land, and indeed take as valid the stories written by other authors: Los latins, alemanys, francesos, grechs, castellans, aragonesos y valencians celébran los seus coronistas, y los cathalans ab tanta benevolència ademeten als uns y als altres y hónrran als forasters.24 The Latin-speaking races, the Germans, the Greeks, the Castilians, the people from Aragon and Valencia support their own writers, and the Catalans, with great benevolence, honour people from outside their territory.

Jeroni Pujades also collected a huge amount of documents in three volumes called Flosculi [little flowers], which undoubtedly constitute a haphazard but interesting collection. These include material found in the preparation of the second and third part of his chronicles, in addition to many other documents that he would surely have used had he continued with his work. But ancient and mediaevel history is not the only thing to awaken an interest in Pujades. As from 1601 he began his Diary,25 an essential text that echoes everything he considered worthy to commit to writing. 24 Jeroni Pujades, Corònica universal…, fol. 8. 25 Jeroni Pujades, Dietari (Barcelona: Fundació Salvador Vives Casajuana, 1975-76), 4 vol.

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Through his Diary varied characters parade, from the King to anonymous individuals. Throughout abounds an attention to detail, to the extent that he does not hold back from criticising the authorities or people close to him. Alongside Esteve de Corbera (1563-1632) we find in Pujades one of the most prominent members of the so-called circle of intellectual scholars of Barcelona which, from the 1620’s to 1630’s, consisted of a handful of intellectuals (Rafael de Cervera, Jaume Ramon Vila, Francesc de Montcada, along with Corbera) who had one common interest; the cultivation of the history of Catalonia.26 Corbera undertook the project of writing a history of Catalonia. But like the barrister from the Empordà, he would never see his life’s work published. The book Cataluña illustrada did not see the light until 1678, although it is known that the text circulated in manuscript copies from the early 1630’s. I believe it safe to state that Corbera has not enjoyed posthumous recognition and his work was not adequately studied until the 1990’s (Marcos Sánchez, Antoni Simon et al.) because Corbera died before 1640 and his literary ‘fortune’ remained clouded by the outbreak of the War of the Reapers. José Cepeda Adán qualifies Corbera negatively as a mediocre author.27 In retrospect, however, Corbera undoubtedly occupies an important place in the Catalan historiography of the time, and the correspondence between Corbera and the Count of Guimerà gives solidity to the claim. Even so, what does Cataluña illustrada contribute? If we observe the complete title the author’s objectives become clear: Cataluña illustrada: Contiene su descripción en común, y particular con las Poblaciones, Dominios, y Successos, desde el principio del Mundo asta que por el valor de su Nobleça fue libre de la Oppresión Sarracena [Cataluña Illustrada contains a general and detailed description of its settlements, domains and events from the beginning of the world until, thanks to the

26 Regarding the life and work of Corbera, see: Joseph Reig i Vilardell, Esteve de Corbera: Apuntacions biogràficas (Barcelona: Fidel Giró, 1892); Fernando Sánchez Marcos, “Historiografía e instituciones políticas en la Cataluña del siglo XVII: El caso de la Cataluña illustrada de Esteve de Corbera”, Pedralbes, 13-II (1993), pp. 547-556; Antoni Simon i Tarrés, Jesús Villanueva, “El cercle erudit i històric barcelonès dels anys vint i trenta del Sis-cents i la revolució de 1640”, Revista de Catalunya, 122 (1997), pp. 40-53; Xavier Baró i Queralt, La historiografia catalana…, pp. 107-124. 27 José Cepeda Adán, “La historiografía”, Historia de la cultura española Ramón Menéndez Pidal: El siglo del Quijote (1580-1680) (Madrid: Espasa Calpe, 1996), vol. I, p. 796.

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valour of its nobility, it was freed from Saracen oppression].28 The work of this Barcelona man is written from a choreographic perspective, quite normal at the time, a combination of geographic, historical and institutional perspectives of Catalonia. Corbera writes with one major objective: to shed light upon the history of Catalonia at a time when all attention was focused upon Spanish historiography. This at a time when the majority of Spanish historians tended to identify Castile with the Spanish monarchy, downplaying or ignoring other territories of the realm. Corbera was perturbed that many books on Spanish history did not delve into the Catalan past, and that pasan por nuestras cosas con más cortedad que si fuéramos estrangeros [they cover our history with less rigour than they would were we foreigners].29 Corbera believed it was necessary to rediscover the past in order to legitimise the present and the claims of Catalonia: Conoscan las otras Naciones que tenía Cataluña Principios y hazañas gloriosísimas con que ilustrar sus escritos [Let other nations know that Catalonia had principles and glorious deeds with which to illuminate its tales], with a clear objective: alabar como devían la Antigüedad y la grandeza de su Monarquía [to rightly praise the antiquity and majesty of its monarchy].30 He has no qualms in attributing responsibility for this neglect in historical culture. The Principality of Catalonia invests little in historiographical pursuits, given that no se repara en las letras afficionadas a la antigüedad, que pobres, y arinconadas descaeçen de su valor; con esta inposiblidad afloxa el deseo más afficionado a saberlas [little account is taken of works ascribed to the ancient past so that, impoverished and cast aside, their value is lost. Faced with impossibility, even the most ardent desire to learn of them weakens]. A vastly different situation to that in other of the ancient territories of the Crown of Aragon (Aragon and Valencia): los Aragoneses nuestros vezinos […] favorezen los trabajos de los que se emplean en honrar a su Patria”; “Valencia a su imitación va ya caminando por los mismos pasos [Our neighbours the Aragonese (…) favour the works of those who seek to honour their 28 Esteve de Corbera, Cataluña illustrada: Contiene su descripción en común, y particular con las Poblaciones, Dominios, y Successos, desde el principio del Mundo asta que por el valor de su Nobleça fue libre de la Oppresión Sarracena (Naples: A. Graminani, 1678). 29 Esteve de Corbera, Cataluña illustrada…, p. 4. 30 Ibid.

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fatherland”; “Valencia, not to be outdone, is already taking steps along the same path], and he laments: Solo Cataluña a viuido con descuydo en cosa que tanto importa [Only Catalonia has shown such neglect to matters of so great an import].31 On the other hand, like all historians of the time, Corbera writes his work from a teleological perspective in which Catholic Christianity takes the fundamental role. It is no coincidence that the only work that the author was to see published in his lifetime was the Vida y(h)echos maravillosos de Doña María de Cervellón, llamada Socó(r)s: Beata professa de la Orden de Nuestra Señora de la Merced, con algunas Antigüedades de Cataluña (1629, “Life and wonderful deeds of Doña María de Cervellón, known as Socó(r)s: Professed saint of the Order of the Blessed Virgin Mary of Mercy, with some ancient events of Catalonia], which he, as the title suggests, uses to vindicate once again the glorious past of Catalonia.32 Finally, his work merits note in the prologue of the Il·lustracions dels comtats de Rosselló, Cerdanya i Conflent (1586) by Francesc Comte, where he emphasised that són tan pocs los que en Catalunya se aplícan a honrar sa pàtria escrivint las cosas d’ella, que qualsevol diligència tocant an açò se deu estimar en molt [so few are they in Catalonia who apply themselves to honouring their fatherland in their writing, that whosoever undertakes this task is worthy of the greatest praise].33 We will now take a chronological leap. Leaving aside for the moment the War of the Reapers and the disinformation of authors such as Joan Gaspar Roig i Jalpí (1624-1691), of which more will be said later, we will consider the History of Catalonia by the Jesuit Manuel Marcillo of Olot (1656-1694). He is, in fact, the only Catalan author to write a deliberately ambitious, consistent and reliable work on the history of Catalonia in the second half of the 17th century. Marcillo divided his Crisis of Catalonia caused by foreign nations (1685) in two parts.34 In the preamble al que leyere [whomever may read it], however, he affirms 31 Esteve de Corbera, Cataluña illustrada…, pp. 4-5. 32 Esteve de Corbera, Vida y hechos maravillosos de doña María de Cervellón, llamada Socós: Beata professa de la Orden de Nuestra Señora de la Merced, con algunas Antigüedades de Cataluña (Barcelona: Pedro Lacavalleria, 1629). 33 Biblioteca Nacional de España (BNE), Ms 615. This work by Comte has been reprinted: Il·lustracions dels comtats de Rosselló, Cerdanya i Conflent (Barcelona: Curial, 1995). 34 Manuel Marcillo, Crisis de Cataluña, hecha por las naciones estrangeras (Barcelona: Matevat, 1685).

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that he writes his work with a clear objective: representar, como en índice, las glorias de nuestra Nación; y alentar a otros para que en su favor emprendan assuntos de más sustancia [to represent, as an index, the glories of our nation; and to encourage others to undertake weightier works in her favour].35 In the first part he gives a unified description of Catalonia, referring to generic aspects of its history while, of course, exalting her purely anti-reformist religiosity, because no se ha hallado algún Catalán, o Catalana, que aunque más pobre o necessitado esté, o aya estado, se aya sugetado jamás a casarse con persona maculada de Iudíos [there is not one Catalan, man or woman, be they of the poorest and most needy who has ever bonded their self in marriage with persons stained by Judaism].36 However, the negative effect brought about by the War of the Reapers is noticeable when Marcillo accepts that Catalans, famous for being templados [self-restrained], have lost that reputation of late: Si en la templanza, suelen llamar a los Catalanes hombres templadísimos, y lacones de España: aunque es preciso confesar que en parte ha perdido esta tierra su gran renombre y fama; y sería bien que lo remediassen los que ahora viven descendientes de tan nobles padres, tan castos, tan honestos, tan templados [In temperance, Catalan men are well known for being self-restrained, guarded gentlemen of Spain, although it should be said that some of this prestige and reputation has been lost. It would be good that the descendants of such noble, proud, honest and temperate parents should remedy these deficiencies].37 There are many descriptions of the Principality and Catalonia’s most important cities. The second part, structured in 12 chapters, praises Catalan conquests throughout history and discusses several godly men and women born in the Principality. It also discusses questions related to heraldry. Nonetheless, also noteworthy is Marcillo’s single-minded approach to identify and systemise writers born in the Principality, updating the list provided by Josep Elies Estrugós.38 The selection presented by Marcillo

35 36 37 38

Manuel Marcillo, Crisis de Cataluña…, “Al que leyere”. Manuel Marcillo, Crisis de Cataluña…, p. 6. Manuel Marcillo, Crisis de Cataluña…, p. 4. Josep Elies Estrugós, Fènix català, o llibre del singular privilegi, favors, gràcias y miracles de Nostra Senyora del Mont del Carme (Perpinyà: Esteve Bartau, 1644).

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is extensive, although at times it is based on the Bibliotheca Hispana Nova by Nicolás Antonio. Lastly we reach the final contribution regarding the general history of Catalonia, written by Narcís Feliu de la Penya (?-1712).39 The most important work of this Catalan lawyer and merchant, Anales de Cataluña, could be defined as the conclusion of Catalan Baroque historiography. However, two other texts deserve a brief mention: Político discurso en defensa de la cierta verdad que contiene un memorial presentado a la Nobilísima Ciudad de Barcelona [1681, Political Speech in Defence of the Truth contained on a Memorial Presented in the Most Noble City of Barcelona] and Fénix de Cataluña: Compendio de sus antiguas grandezas y medio para renovarlas [1683, Fénix de Cataluña: A Collection of Its Ancient Splendours and Methods to Regain Them].40 The latter was written in collaboration with Martí Piles from Vigo. Both texts share the objective of historical justification, presented in a series of arguments in defence of protectionism to promote the economic activity of the four major textile guilds of Barcelona, as well as a validation of the existence of ancient Catalan privileges. The religious exaltation and glory of the Catalan past are cited with all necessary documentary references, and quotes from other historians and chroniclers of the century (Pujades, Corbera, Montcada, etc.). Feliu de la Penya is best known for his Anales de Cataluña (1709). This work, written during the War of the Spanish Succession is unequivocally in favour of Archduke Charles of Austria. Again the full title gives us clues to the book’s timeframe: Anales de Cataluña y epílogo breve de los progressos, y famosos hechos de la Nación Catalana, de sus santos, reliquias, conventos, y singulares grandezas; y de los señalados y emi-

39 From the extensive bibliography available, we have concentrated on those most relevant to our studies. We should mention the contributions of: Maria Grau i Saló, “Feliu de la Penya: Una visió actual com a país”, Pedralbes, 7 (1987), pp. 125-146; Fernando Sánchez Marcos, “Historia y política en el umbral del siglo XVIII: Los Anales y combates por Cataluña de N. Feliu de la Penya”, Mémoires de la Société Archéologique de Montpellier, 17 (1989), pp. 133-146; Eulàlia Duran, “Narcís Feliu de la Penya, historiador i polític”, Afers, 20 (1995), pp. 73-86; Xavier Baró i Queralt, La historiografia catalana…, pp. 199-211. 40 Narcís Feliu de la Penya, Político discurso en defensa de la cierta verdad que contiene un memorial presentado a la Nobilísima Ciudad de Barcelona (Barcelona: Rafael Figueró, 1681); id., Fénix de Cataluña: Compendio de sus antiguas grandezas y medio para renovarlas (Barcelona: Rafael Figueró, 1683).

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nentes varones, que en santidad, armas, y letras han florecido desde la primera Población de España: Año del mundo 1788. antes del nacimiento de Christo 2174 y del Deluvio 143, hasta el presente 1709 [Annals of Catalonia and a Brief Epilogue of Progress and Famous Events in the Catalan Nation, Its Saints, Relics, Convents, and Unique Magnitude; Identifying those Distinguished Men, who in Sanctity, Arms and Letters Have Flourished since the First Settlement of Spain. In the Year 1788 from 2174 B.C. and 143 before the Flood up to the Present 1709].41 Even so, Catalan 16th century historiography shows no marked improvement with Feliu, because the work (which has also been labelled as nothing more than political propaganda) falls into well-known historiographical errors, such as Otger Cataló. It also takes as valid other legends and erroneous facts presented by Annio de Viterbo, two centuries previously in his Commentaria super opera diversorum auctorum de antiquitatibus loquentium (1498). To understand this reversal, causing Feliu’s writing to be considered inferior to Pujades’ (which would validate the thesis of an almost stagnant century with regard to advances in textual criticism and the sources), we must understand the bellicose context in which it was written, where rigour and moderation would be less important elements than passion and force in expressing and justifying a series of arguments. It is a work written in three large volumes. It has raised widely varying opinions from the current historiography,42 interpreted above all based on the vision and concept of Catalonia and Spain from the point of view of the Catalan author.

41 Narcís Feliu de la Penya, Anales de Cataluña (Barcelona: Josep Llopis, Jaume Surià, Joan Pau Martí, 1709), 3 vol. 42 Therefore, while in the opinion of Sánchez Marcos, Feliu de la Penya affirms that Cataluña forma de parte de España. Es uno de los ‘reinos’ que integra la Monarquía española, sin ninguna duda desde fines del siglo XV (“Catalonia is part of Spain. It is one of the kingdoms comprising the Spanish monarchy, without any doubt from the late 15th century on”) — “Historia y política…”, p. 141 —, Duran claims that reading Feliu de la Penya no hi he trobat cap nova definició d’Espanya com a estat modern, més enllà de la simple referència geogràfica que havia estat posada en circulació pels humanistes de la darreria del segle XV (“I have not found in it any new definition of Spain as a modern state, beyond the simple geographical reference that had been put into circulation by the humanists of the late 15th century”) — “Narcís Feliu de la Penya…”, p. 75 —. These two opinions openly raised the debate over the concept of state and nation in the modern era.

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3.3 The fomentation of history in times of war: historiography at the service of the armed forces in the War of the Reapers (1640-1652) From the start, the Guerra dels Segadors [War of the Reapers]43 was the motor for a prolific production of historical works. Or more precisely, exercises in political propaganda in which historical and legal arguments were used. For reasons of space, it is impossible here to include the hundreds of works, brochures and pamphlets that circulated in wartime. We are mainly interested in clarifying some of the features of these works. Firstly, their rhetorical nature. The year 1640 is undeniably a turning point for Catalan historians. What was previously justified and debated (Pujades, Corbera) is now a demand or simply a way to opt for a break with Philip IV’s monarchy and his valido [key minister], Olivares. Secondly, the style of writing. While we find some extensive works of reflection, there are many short texts that employ short sentences, political slogans at the service of a cause. Thirdly, religious argument. At a time when religion and politics are closely interrelated, it is not surprising that the Catalan authors emphasise the disrespectful attitudes of the Catholic King’s soldiers to the Catholic faith as a legitimate cause for separation from the monarchy.44 Finally, we should mention their circulation. Unlike what had happened previously, works written in wartime had an extraordinary circulation — consider the 8,000 copies of Gaspar Sala’s Proclamación católica a la magestad piadosa de Filipe el Grande [Catholic Proclamation to His Pious Majesty Philip the Great] — and were abundantly translated into other languages. We should also note the debate sparked by some of these works. For example, the acidic response to the Catholic Proclamation from the pen of José Pellicer de Ossau Salas y Tovar (1602-1679) and his Idea del Principado de Cataluña [1642, Idea of the Principality of Catalonia],45 and from Francisco de Quevedo 43 For historical and cultural questions, see: Antoni Simon i Tarrés, Els orígens ideològics de la revolució catalana de 1640 (Barcelona: Publicacions Abadia de Montserrat, 1999) and Cròniques de la Guerra dels Segadors (Barcelona: Curial, 2003). 44 Antoni Simon i Tarrés, “Un ‘alboroto católico’: El factor religiós en la revolució catalana de 1640”, Pedralbes, 23-II (2003), pp. 123-146. 45 José Pellicer, “Al que leyere”, Idea del Principado de Cataluña (Anvers: Geronimo Verdus, 1642). This work, however, was published in Alcalá de Henares.

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who, under the pseudonym of Antonio Martínez Montejano, wrote La rebelión de Barcelona ni es por el güevo ni es por el fuero [revolt is a matter neither of having balls nor of protecting its privileges]. Quevedo writes, among other things: Ellos [the Catalans] son las viruelas de sus reyes: todos los padecen, y los que se escapan quedan por lo menos con señales de haberlas tenido […]. Son los catalanes aborto monstruoso de la política.46 They [the Catalans] are the pox of their kings; all suffer from it and even those who escape it bear the marks of having had it […]. The Catalans are a monstrous political abortion.

Despite these annotations, we must recognise that the historiography is also a faithful reflection of events on the battlefield. In it we discover the side loyal to the Catalan government that supports the French, and those that prefer to remain loyal to the House of Austria and its monarchy. With regard to the first group we should mention the friar Gaspar Sala (1600?-1670) and his Catholic Proclamation to His Pious Majesty Philip the Great,47 as well as the Secrets públics: Pedra de toc de les intencions de l’enemic, i llum de la veritat [1640, Public Secrets: Touchstone of the Intentions of the Enemy, and Light of Truth],48 which cites Bartolomé de las Casas to compare the attitudes of the Castilian soldiers with those of the conquerors of America. There is also the lawyer Francesc Martí i Viladamor (1616-1687) and his Noticia universal de Cataluña [1640, Universal News of Catalonia],49 a work combining erudition with political propaganda, as well as other works which justify the break with the Catholic Monarchy. For example, Cataluña en Francia, Castilla sin Cataluña, y Francia contra Castilla: Panegírico glorioso al christianíssimo monarca Luis XIII el Justo [1641, Catalonia in France, Castile without 46 Francisco de Quevedo. Obras completas (Madrid: Aguilar, 1966), vol. I, p. 943. 47 Gaspar Sala, Proclamación católica a la Majestad Piadosa de Filipe el Grande rey de las Españas y emperador de las Indias, nuestro señor (Barcelona: S. y J. Matevad, 1640). Also see: Jesús Villanueva, Política y discurso histórico…, pp. 112-116, 172-173. 48 Escrits polítics del segle XVII, tom II: “Secrets públics”, de Gaspar Sala, i altres textos, ed. Eva Serra (Vic: Eumo, 1995). 49 Escrits polítics del segle XVII, tom I: “Noticia universal de Cataluña” de Francesc Martí i Viladamor, ed. Xavier Torres (Eumo, Vic, 1995).

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Catalonia, and France against Castile: Glorious Panegyric to the Most Christian Monarch Louis XIII the Just]50 or the Praesidium inexpugnabile Principatus Cataloniae published in 1644,51 amongst others. We should also note Josep Sarroca and his Política del comte d’Olivares: Contrapolítica de Cathalunya y Barcelona: Contraverí al verí que perdia lo Principat català [1641, Count of Olivares’ Politics: Counterpolitics of Catalonia and Barcelona: The Antidote to the Poison that Lost the Catalan Principality],52 Francesc Fornés and his La catalana verdad contra la emulación [1643, Catalan Truth against Emulation]53 and the numerous anonymous political pamphlets that were printed. Noteworthy among these for its use of history is the Comparació de Cathalunya ab Troya (1641, “Comparison of Catalonia with Troy].54 Foremost among the writers who remained loyal to Philip IV is the Canon of Tortosa, Alexandre Ros (1598-1656), who in his Cataluña desengañada [1646, Disillusioned Catalonia] urges Catalonia to submit, strongly attacks the arguments of Gaspar Sala and rejects Catalonia’s label as el monstruo político de Europa [the political monster of Europe].55 Friar Gabriel Agustí Rius (end of 16th century - 1649) published his Cristal de la verdad, espejo de Cataluña [1646, Crystal of Truth, Mirror of Catalonia],56 which totally refutes the position of Martí i Viladamor, and warns the Catalans of the error of an alliance with France: Conclúyese de lo dicho que la subordinación de los Catalanes a los Franceses no les puede ser provechosa. Nunca un contrario domina a otros in menoscabo del que queda inferior [You may conclude from what I’ve said that the subordination of the Catalans to the French will not be of benefit to them. There is never domination of one over the other that is 50 Francesc Martí i Viladamor, Cataluña en Francia, Castilla sin Cataluña, y Francia contra Castilla: Panegírico glorioso al christianíssimo monarca Luis XIII el Justo (Barcelona: Lorenço Deu, 1641). 51 Francesc Martí i Viladamor, Praesidium inexpugnabile Principatus Cataloniae, pro iure eligendi Christianissimum monarcham (Barcelona: Sebastià Cormellas, 1644). 52 Josep Sarroca, Política del comte d’Olivares: Contrapolítica de Cathaluña y Barcelona: Contraverí al verí que perdia lo Principat català (Barcelona: Jaume Romeu, 1641; F. Bon. 118), published in Escrits polítics del segle XVII, tom II…, ed. Eva Serra, pp. 55-135. 53 Francesc Fornés, La catalana verdad contra la emulación (Barcelona: G. Nogués, 1643). 54 Comparació de Cathalunya ab Troya (Barcelona: Jaume Romeu, 1641). 55 Alexandre Ros, Cataluña desengañada…, p. 222. 56 Gabriel Rius, Cristal de la verdad, espejo de Cataluña (Zaragoza: Pedro Lanaja y Lamarca, 1646).

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not to the detriment of the lesser].57 From the Pallars we hear the voice of Francesc Pasqual de Panno (1622-?), who in his Motines de Cataluña desde el año 1622 [Riots of Catalonia since 1622] gives voice to his rejection of Catalonia’s politics, and points out that the conflict of 1640 was due to conflicts that could have been foreseen decades in advance.58 Fabrici Pons de Castellví (C. 17th? - 1672),59 doctor and lawyer, uses the historical figure of Gustav Adolf, king of Sweden, to present his biography while at the same time reflecting upon what was happening in the Principality. In his Gustavo Adolfo, rey de Suecia, vencedor y vencido en Alemania [1648, Gustav Adolf, King of Sweden, Victor and Vanquished in Germany] he unreservedly supports the legitimacy of Philip IV in a context where many Catalan writers had chosen to seek legitimacy in France; the legacy of Charlemagne, liberator of the Spanish March from the Saracens, and defines Philip IV as the natural Lord of the Catalans and legitimate descendant of the Counts of Barcelona. Be that as it may, the 17th century saw more uprisings and revolts, such as the Barretines or Gorretes (1687-1689), against the presence of Castilian troops in Catalan territory. One result of that conflict was the anonymous work entitled Luz de la verdad: Preguntas y respuestas en favor de Cataluña y sus hijos originadas de una disputa habida entre cinco soldados de a cavallo de las tropas de España [1697, Light of Truth: Questions and Answers in Favour of Catalonia and its Children Originating from a Dispute amongst Five Soldiers of the Cavalry of the Troops of Spain].60 The work represents a hypothetical dialogue between four soldiers (from Madrid, Andalusia, Catalonia and Valencia) and raises a number of issues central to the discord that had resulted in the Guerra de Successió [War of the Spanish Succession]: the contractual idea that regulated the relationship between the King and his subjects, the argument that the Catalans had not rebelled against their King, the growing number of Francophile Castilian ministers ¿No lo ves cómo Madrid ya no es Madrid, sino París, 57 Gabriel Rius, Cristal de la verdad…, p. 15. 58 Francesc Pasqual de Panno, Motines de Cataluña (Barcelona: Curial, 1993). 59 Fernando Sánchez Marcos, “Temps de guerra i temps de pau en l’escriptura històrica de F. Pons de Castellví”, Pedralbes, 28-II (2008), pp. 331-348. 60 Luz de la verdad: Preguntas y respuestas en favor de Cataluña y sus hijos: Originadas de una disputa habida entre cinco soldados de a cavallo de las tropas de España (Barcelona: Francisco Font Lib., 1697). Reprinted in Escrits polítics del segle XVIII, tom I: “Despertador de Catalunya” i altres textos, ed. Joaquim Albareda (Vic: Eumo, 1996), pp. 39-88.

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pues todos o los más de los grandes de Castilla se han hecho franceses? [Don’t you see how Madrid isn’t Madrid any more? It’s more like Paris! Haven’t all the nobles of Castile become French!].61 And there were the recurring problems caused by the billeting of Castilian soldiers.

3.4 Historical reflection on the Catalan Baroque On approaching Catalan Baroque historiography one thing that draws attention is the lack of historical theoreticians. Unlike in Castile where we encounter such notable figures as Antonio de Herrera (1549-1625), Luis Cabrera de Córdoba (1559-1623), Bartolomé Luprecio de Argensola (1562-1631) and the friar Jerónimo de San José (1587-1654), such explicit historical reflection is non-existent in Catalonia. While not explicit, upon reading the texts we may glean many thoughts and comments about what the function of history should be and how the historian should proceed with his work. On this point it seems appropriate to vindicate the figure of Esteve de Corbera, who in his correspondence with the Count of Guimerà offers an ample reflection on history.62 Corbera, as a good student of Cicero, believed that history had to reflect the truth: Ya que el sugeto de la Historia es la verdad pura y libre de fingimientos, como un espejo claro, que los objetos y formas representa quales los recibe. Lo más della consiste en las relaciones.63 Given that the subject of history is the pure truth, free from pretence, like a clear mirror that reflects the objects and forms that it receives. Especially as pertains to their relationships.

Even when one is mindful of that when writing the history of times gone by, a reconstruction of past events and the elaboration of occurrences is much more complicated and awkward: 61 Escrits polítics…, ed. Joaquim Albareda, p. 75. 62 We have reproduced several letters from Corbera to Guimerà in: Xavier Baró i Queralt, La toga, l’espasa i la mitra: Antologia de textos d’història i literatura catalanes del barroc (1573-1709) (Barcelona: Dux, 2009), pp. 319-330. 63 BNE, ms. 7377, fol. 203 (letter of 24.09.1622).

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Mire V.S. como no deuen condenarse las antigüedades, no más porque algunos autores no las cuenten. No todos lo pueden referir todo;unos dizen lo que otros callan, y este orden guardaron los Santos Evangelistas en su Historia Sagrada. En successos tan antiguos no se han de pretender tantas evidencias. Todas las cosas pueden tener contrarios, y ninguna ay tan firme aun en las facultades superiores, fuera de las que decreta la fe, que no se le halle resquicio para alguna duda. […] No todas las Historias pueden tener una misma certeza, basta en algunas que el que las escrive de la razón qual la materia de que tratan la requiere: y assí en las muy antiguas, cuya averiguación de suyo es dificultíssima.64 Observe, sir, how ancient events should not be condemned, just because some authors don’t write about them. Not everyone can describe everything; some describe what others prefer to keep quiet, as Evangelist Saints kept their sacred history. In such ancient events, not all evidence should be pondered. All things can be opposites and nothing is certain, even for the higher faculties, notwithstanding that decreed by faith which leaves no crack for doubt […]. Not all stories can hold the same truth, just some which write of the truth to which their subject matter binds them and even then, given their antiquity, it is very difficult to know it to be certain.

Corbera continues to repeat and make his own the conception of history as magistra vitae: Todo lo previno la antigüedad, para todo nos dexó variedad que nos deleyta, documentos que nos advierten, exemplos que nos escarmientan, y admiración con que se suspenden los ánimos y entendimientos más curiosos.65 Everything dates back to antiquity and there is diversity in everything that is available, documents that advise us, examples that mislead thought, and admiration by which the inquisitiveness and understanding of even the most curious are suspended.

To get the best out of the historical knowledge prudence must be used (a common term in the 17th century) and one must also know how to use BNE, ms. 7377, fol. 207 (letter of 24.09.1622). The reference to the concept of truth evokes the contemporary figure of René Descartes (1596-1650). 65 Esteban de Corbera, Cataluña illustrada…, p. 1. 64

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rhetoric well because no basta escrevir cosas grandes, sino se guisan bien [powerful writing is not enough, if it is not well cooked].66 Finally, I consider it opportune to note what Corbera says about ‘inquiry’ as a work method for historians: Tras esto importa tanbién la averiguación. En tiempo de nuestros agüelos no se reparava tanto en ella, y ahora vemos en muchos autores de aquella edad algunas facilidades que devieran escusarlas. El fundamento principal de qualquier Historia es la verdad y certidumbre de las cosas que va apoyada en escritores clássicos y aprovados, en inscripciones de piedras y epitaphios de sepulturas, y en privilegios y escrituras auténticas.67 Inquiry is also important. In the time of our grandfathers it was not so vital, but it is now obvious that writers of that time betray a superficiality in their writing that must be excused. The foundation of history is the truth and certainty of things that are supported by classical writers and ratified in stone inscriptions and epitaphs and in privileges and authentic records.

Indeed this is a lesson on how to proceed, which unfortunately does not always produce the desired fruit, as we know from the importance and influence many legends and fables had in Corbera’s dialogue.

3.5. The vindication of a glorious past We come to the end of our tour of the Baroque. If anything, all historians agree that the Catalan Baroque period was necessary to present and justify the “glorious” past of Catalonia, whether as a reply to aggressive Spanish discourse or as a mere revelation of the greatness of the Principality, which in turn could be used to legitimise some of its claims and demands. So we turn to the noble Valencian figure of Francesc de Montcada (15861635).68 His life was marked by loyal service to the Catholic Monarchy, 66 67

BNE, ms. 7377, fol. 231 (letter to Guimerà, 13.09.1625). BNE, ms. 7377, fol. 215 (letter of 04.10.1624). In this case, the reference brings to

mind representatives of the Història perfecta francesa. 68 Regarding the life and work of Montcada, see: Samuel Gili Gaya, “La ‘Vida de Boecio’, de Francisco de Moncada”, Revista Valenciana de Filología, 2 (1952), pp. 1-10; Francisco Sanmartí, Tácito en España (Barcelona: CSIC, 1951), pp. 171-

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to which he devoted his utmost efforts and for which he met his death in a military campaign against the French. His adventures as a diplomat and politician are well documented through extensive correspondence with Philip IV and the politician Olivares, presenting a clear testimony to the decline in the fortunes of the Spanish monarchy. We are particularly interested in Montcada the historian. In addition to a biography of the philosopher Boethius (Vida de Boecio, “Life of Boethius”, published posthumously in 1642),69 a good example of how Neostoicism had taken root among the intellectuals of the time, the Marquis of Aitona is also known for the book Expedición de los catalanes y aragoneses contra turcos y griegos [1623, Expedition of the Catalans and Aragonese against Turks and Greeks],70 a perfect example of a work of closed structure that narrates the expedition of the Almogavars to the Eastern Roman Empire. Even before Edward Gibbon (18th century), there were historians who considered this work as a versió barroca [Baroque version] of Ramon Muntaner’s text. Closer inspection of the text, however, categorically refutes this idea, since Montcada uses and compares Catalan sources (Muntaner and Desclot) with Byzantine ones (Pachymeres, Gregora and others) and recognises the excesses committed by the Almogavars. He thus demonstrates a clear interest in recovering the Catalan mediaevel past, whilst at the same time maintaining a critical scientific sense to his view of Catalonia’s past.

4. The Evolution of historical discourse in the 18th century In the following chapters we will try to present the main contributions to 18th century historiography in Catalonia, following the evolution of historical events which in this case are crucial to understand the evolving

180; Jesús Gutiérrez, “Don Francisco de Moncada, el hombre y el embajador: Selección de textos inéditos”, Boletín de la Biblioteca de Menéndez Pelayo, LVI (1980), pp. 3-72; Rafael González Cañal, “La ‘Vida de Boecio’ de Francisco de Moncada y el conde de Rebolledo”, Silva: Estudios de Humanismo y Tradición Clásica, 2 (2003), pp. 131-146. 69 We have reprinted the work in: De Catalunya a Flandes: Francesc de Montcada (1586-1635), erudit i polític (Barcelona: Dux, 2008), pp. 118-150. 70 Francesc de Montcada, Expedición de los catalanes y aragoneses contra turcos y griegos (Barcelona: Lorenzo Deu, 1623).

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historiographical discourse. As we know, on the 11th September 1714, Barcelona fell to the Bourbons and the armed conflict is understood to have almost come to an end.71

4.1. War and the fomentation of history: Francesc de Castellví (Narraciones históricas) and Despertador de Catalunya (1713) Just as in previous decades, the War of the Spanish Succession brought about work dealing with historical content to defend the interests of each political side, whilst at the same time leaving a written report of what was actually happening. On the Austrian side72 we have, besides Narcís Feliu de la Penya, the figure of Francesc de Castellví i Ovando (1682-1757), who Alcoberro believed was the true successor to Feliu de la Penya.73 Castellví is clearly in favour of the Archduke Charles and takes part in the defence of Barcelona. When the conflict was over, he was persecuted and went into exile in Vienna (November 1726), where he began to write Narraciones históricas [Historical Narrations].74 It is an essential source to appreciate the events of the War of the Spanish Succession and the immediate post-war period. Castellví knew how to capture the international dimension of the conflict, with Vienna, London and Paris all being protagonists. The work of Castellví (which has only been partially published since 1997) is essential to understanding the stubborn resistance of Barcelona and the subsequent repression carried out by the Bourbon troops. As stated in the declaration of the Tres Comuns [three communards], the conflict led to in the outbreak of civil war, described thus by Vallet de Goytisolo: la diferencia entre la concepción tradicional pactista catalana, en que se basaban las libertades, y de la soberanía bodiniana que Felipe V sentía y practicaba [the difference between the traditional 71 Cròniques del setge de Barcelona de 1713-1714, eds. Agustí Alcoberro, Mireia Campabadal (Barcelona: Barcino, 2014). 72 It is obviously interesting to take a close look at the pro-Philip version of events: Xavier Riera i Hernàndez, “Una visió contraposada del setge de 1714: Els cronistes Vicente Bacallar i Nicolás de Jesús Belando”, Pedralbes, 28-II (2008), pp. 297-314. 73 Catalunya durant la guerra de Successió, Vol. III: La desfeta i la memòria històrica, Agustí Alcoberro, dir. (Barcelona: Arallibres, 2006), pp. 140-141. 74 Francisco de Castellví, Narraciones históricas (Madrid: Fundación Elías de Tejada, 1997-2002), 4 vol.

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Catalan understanding of a pact on which freedoms are based and that of the Bodinian sovereignty understood and practised by Philip V].75 We now turn to one of the key texts in the call to resistance: the Despertador de Catalunya [1713, Awakening of Catalonia].76 The full title of the work offers a clear picture of its exalted and propagandistic content: Despertador de Catalunya per desterro de la ignorància, antídoto contra la malícia, foment a la paciència and Remei a la pusiŀlanimitat. Published at the end of 1713, it was translated into Italian and published in Spanish with a very similar content, under the title: Crisol de la felicidad: Manifestación que hace el Principado de Cataluña de las causas de alta congruencia que le han obligado a tomar las armas para defender su libertad [1713, Crucible of happiness: Manifestation made by the Principality of Catalonia of the causes of high congruence that have forced it to take up arms to defend its freedom].77 The Awakening revisits some of the arguments proposed by Emmanuel Ferrer i Sitges, member of the Military Wing and President of the Treasury Council. It deals with how the pro-Austrians had shifted from considering the French as the enemy, to the Spanish. The Awakening, however, carries a much greater weight of scholarship. As is evident in the text, the aim of the booklet is clear and direct: to fight l’opinió de molts que, els sofístics discursos, volen ofuscar la llum de la veritat [the opinion of many, whose sophistical discourse seeks to obscure the light of truth] in order to prevenir a Catalunya del letargo en què està oprimida, ab cristià catòlic zel i cuidado [free Catalonia from the lethargy in which it is oppressed ,with Catholic zeal and care].78 The text is structured in six chapters around a preface “Al lector” [To the reader]. The work propounds a theory of pact-making. The privileges of 75 Juan Vallet de Goytisolo, “Presentación de las Narraciones históricas desde el año 1700 al 1725 de Francisco Castellví”, Ius Fugit, 13-14 (2004-2006), pp. 179-187; Francisco Canals Vidal, “Las Narraciones Históricas de Francisco de Castellví (I)”, Anales de la Fundación Francisco Elías de Tejada, 8 (2002), pp. 27-56; José María Mundet, José María Alsina, “Las Narraciones Históricas de Francisco de Castellví (y II)”, Anales de la Fundación Francisco Elías de Tejada, 8 (2002), pp. 57-80. 76 Despertador de Catalunya (Barcelona: Rafael Figueró, 1713). Reprinted by Víctor Balaguer in 1863 and by La Veu de Catalunya in 1897. Reprinted in Escrits polítics del segle XVIII…, ed. Joaquim Albareda, pp. 121-192. 77 Crisol de la felicidad: Manifestación que hace el Principado de Cataluña de las causas de alta congruencia que le han obligado a tomar las armas para defender su libertad (Barcelona: Rafael Figueró, 1713). 78 Escrits polítics del segle XVIII…, ed. Joaquim Albareda, p. 122.

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the Catalans no són gratuïts, per mera liberalitat i voluntat del príncep, sinó per via de contracte, en lo qual donà lo Principat sumas grans de diners per ells i féu innumerables i heroics serveis a favor dels sereníssims comtes [are not free, purely through the will and liberality of the Prince, but via a contract, by which the Principality gives large sums of money for them and performs innumerable and heroic services for their most serene Lords].79 It also discusses the breakdown of loyalty to Philip V. According to the Despertador, the abolition of the privileges of the kingdoms of Aragon and Valencia justifies the Catalan attitude even more, since Philip V wanted governar tots los seus regnes ab unes mateixes lleis: d’on se pot inferir ab quina voluntat i ànimo havia jurat les lleis i furs d’aquests regnes, i ab quina esperança se podia recórrer a soŀlicitar sa misericòrdia [to rule all his kingdoms under the same laws; so that it can be inferred with what he wishes and motivations he had sworn to the laws and charters of these kingdoms, and with what hope they could turn to him for mercy].80 Just as had happened in the Baroque century, there are numerous scholarly citations underlying the textural content, namely: the Bible, the Church Fathers, the classical world (Aristotle, Plutarch, Euripides, Cicero, Tacitus, Seneca, Virgil, Horace, Polybius), the scholars of the 16th century (Alfonso de Castro, Domingo de Soto, Luis de Molina, Francisco Suárez) and other thinkers and historians (Ramon Muntaner, Saavedra Fajardo, Jerónimo de Zurita). In short, it offers historical grounds to argue as follows: De la Pau entre Inglaterra i lo sereníssim senyor Duc d’Anjou, evidentment se veu que Catalunya queda sense lleis i privilegis, a mercè de senyor, i ab la mateixa subjecció que los castellans, cosa en què mai Catalunya s’ha vist.81 As a result of peace between England and his serene grace the Duke of Anjou it is clear that Catalonia forfeits its laws and privileges at the will of this lord, and in the same way as do the Castilians, something that Catalonia has never undergone before. 79 Escrits polítics del segle XVIII…, ed. Joaquim Albareda, p. 136. 80 Escrits polítics del segle XVIII…, ed. Joaquim Albareda, p. 179. 81 Escrits polítics del segle XVIII…, ed. Joaquim Albareda, p. 134. In the same way we should understand the clamour of the delegates (12th July, 1713), which presents

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4.2 The postwar and Austrian resistance: Via fora els adormits (1734), Record de l’Aliança (1736) and the Memorial de greuges (1760) With the war finally over, the new Bourbon dynasty tried to impose itself upon Catalonia through force. The effects on Catalan society produced by the application of the decree Nova Planta (16th January, 1716) are well known: suppression of institutions, privileges and the ancient charters of the Catalans, the initiation of a brutal policy of repression towards the vanquished and the attempt to consolidate the obligatory use of the Spanish language at all levels of society. There is a clear anti-Catalan feeling in the new policy of Philip V,82 even though some historians interpret the context differently, considering that in the first postwar phase the mercantilist measures applied by Philip V helped economic revival from 1720 onwards, going to far as to speak of tranquiŀlitat [calm] in political terms.83 Be that as it may, there is some agreement amongst specialists who consider that the objective of alignment with Austria as a royal political option is consolidated from 1725, when the treaties between Spain and Austria are signed. But the pro-Austrians had not disappeared completely the motives that legitimise their loyalty to Archduke Charles and the defence of the preservation of the rights and liberties of Catalonia. 82 Thus amongst others we note the opinions of Rodrigo Caballero, member of the hierarchy of the time: con la negación de los fueros, a los mismos catalanes hará el Rey un gran veneficio en no concedérselos, porque los pone en camino de ser Buenos, y les quita los medios de volver a ser malos [taking away the local laws granted to the Catalans will be a great benefit to the King, a great benefit in not granting them since it would set them on the path to being good and would remove the means to return to evil ways]. Count Montemar: Dos propiedades innatas tiene la nación catalana. Es la primera que los catalanes se tienen con constancia el afecto que conciben. La segunda, el ser ydólatras de sus privilegios como unos visos de República en su media libertad, que si no lo han logrado entera, no se duda que la han pretendido [the Catalan nation has two innate properties. The first is that the Catalans’ love of themselves is constant. The second is they are worshippers of their privileges with glimpses of becoming a Republic in their half liberty because if they have not gained it completely, have no doubt, they have certainly tried to]; and José Patiño: Aficionadísimos a todo genero de armas, prontos a la cólera, rijosos y vengativos, que siempre se debe recelar de ellos, aguardan coyuntura para sacudir el yugo de la justicia, son muy interesados [lovers of all types of arms, quick to anger, quarrelsome and vengeful, you should always be watchful of them, they await the right moment to throw off the yoke of justice, they are selfish]. 83 Roberto Fernández, “Cataluña en las Españas del Setecientos”, Pedralbes, 28-II (2008), pp. 387-434.

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and we have two good examples in the pamphlets Via fora els adormits [1734, Warning those asleep] and Record de l’Aliança [1736, Memory of the Alliance]. With regard to the first,84 the text appears to be a letter written by Milford Crow, secretary of the plenipotentiary of the Queen of England, who had signed the Treaty of Genoa (1705). Obviously this is fiction to avoid the very likely political repercussions for writing an anti-Bourbon political pamphlet. Eva Serra highlights three elements: its criticism of absolute monarchy made by a contemporary, its questioning of absolute monarchy as the only possible political system in the 18th century and its reflections on the validity of the privileges of the Principality.85 The text constitutes a resounding criticism of the European powers that had abandoned the Catalans to their fate: però no done V.M. la culpa als Inglesos sols; puig la tenen tants Soberans com faltaren al Sagrat de sas repetidas paraulas [but do not your Majesty only blame the English; for so many sovereigns are as much at fault for not keeping the sanctity of their repeated words], making it essentially a historicist reading: no ignora lo Emperador, esser Cataluña un Comtat de Soberania sostinguda per Carlos Magno [do not disregard, Emperor, that Catalonia is a Sovereign County constituted by Charlemagne].86 The Record de l’Aliança (1736)87 is an anonymous text signed by lo Principat de Catalunya y la Ciutat de Barcelona [the Principality of Catalonia and the City of Barcelona], apparently printed in Oxford (probably to avoid problems of censorship). The principal thesis of the author of the book is to criticise of the attitude of the English toward Catalonia’s pro-Austrians: No eximeix a V.R.M. y a son Regne de la obligació de complir los Pactes de tan solemne Tractat: accelerant si importa la ocasió de practicar sa Garantia ab nostra 84 Text reprinted in 1898 by the Biblioteca de La Veu de Catalunya. See also: Eva Serra, “Via fora els adormits”, Almanac Serra d’Or (1974), pp. 174-176. 85 Eva Serra, “Via fora els adormits”…, p. 175. 86 “Via fora”…, p. 1. 87 Record de l’Aliança fet al Serm. Jordi-Augusto, Rey de la Gran-Bretanya, ab una carta del Principat de Cataluña y ciutat de Barcelona, añ 1736 (“Memory of the Alliance for George-August, King of Great Britain, with a letter from the Principality of Catalonia and the city of Barcelona”). Reprinted by the Biblioteca de La Veu de Catalunya in 1898 and by Escrits polítics del segle XVIII, tom II: Documents de la Catalunya sotmesa, ed. Josep M. Torras i Ribé (Vic: Eumo, 1996), pp. 61-83.

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protecció. No hi ha, ni pot haverhi tractat de Inglaterra ab altres prínceps interessats que anule lo que produïm.88 It does not absolve H.M. and his kingdom from the obligation to comply with the pacts of such a solemn treaty: bringing forward if occasion arises the guarantees of our protection. There is not, nor could there be, another treaty between England and other princes that annul what we produce.

To legitimise this critique he cites the Treaty of Genoa (which he reproduces in full) and reflects upon the Treaty of Utrecht with a series of reproaches towards the attitude of the English. The work concludes with a list of new proposals for the king of England: La gran honra de V.R.M. reflectirà estar-nos obligat lo Regne d’Inglaterra i incumbir molt del Rei la pública fe de son compliment. Qualsevol consultor qui persuadesca lícita la transgressió de mútues promeses ab detriment de nostre poble, enganya primerament el rei a qui aconsella que a la integritat de sos contractants ab bona fe. Lo fi de representar públicament a V.R.M. nostre tractat, és apeŀlar a nostra justícia i a l’honor d’Inglaterra. Nostre obrar, a son temps, nos féu acreedors d’Inglaterra i de tota la major aliança, per la llibertat de Catalunya, i lo present tractat serà en tot temps un públic monument de nostra justícia. Lo que no complí aquella mal termenada guerra, ho pot satisfer una altra, en què V.R.M. se interesse […]. I lo que faltà al Congrés d’Utrecht, pot lograr-se en algun de nou, en què sie igualment àrbitre lo poder d’Inglaterra […] i faça major la glòria, que publicaran nostres Annals, de V.R.M.89 The great honour of H.M. will reflect the obligation of the Kingdom of England to us and much affect public faith in the king by its fulfilment. Any advisor who deems right the breaking of mutual promises to the detriment of our people deceives first the King he advises with regard to the good faith and integrity of the contracting parties. The objective of presenting our treaty publicly to H.M. is to appeal to the justice and honour of England. Our acting, at this time, makes us all creditors of England and all the great powers of the alliance for the liberty of Catalonia, and this treaty shall be at all times a monument to our justice. That which remained unac88 Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, p. 82. 89 Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, p. 83.

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complished in that badly ended war can be satisfied in another, should H.M. deem it worthy […] and what was missing in the Congress of Utrecht could be accomplished in a new one, equally adjudicated over by the power of England […] to the greater glory of H.M. in our annals.

In the same way as Despertador, the Record de l’Aliança uses both the classical and modern legacy to justify its proposals. Thus are cited the classical (Aristotle, Thucydides, Plutarch, Themistocles, Euripides, Suetonius, Ovid, Sallustia, Cicero, Tacitus, Livy, Seneca, Hiero, Maximinus), the constitutions of Catalonia, the Partidas of Castile, the work of Juan de Mariana, Francesc Diago — Historia de los victoriosísimos condes de Barcelona, “History of the victorious counts of Barcelona” — Pere Miquel Carbonell, the Anales de Cataluña of Feliu de la Penya and the Despertador de Catalunya. In the second half of the 18th century we must note a text of inestimable value, taking into account above all its origins and authorship. We refer to a text known as the Memorial de greuges [Report of Grievances].90 Presented to Charles III by representatives of Barcelona, Zaragoza, Valencia and Palma (Majorca) who participated in the swearing in and coronation of Charles III in 1760. The purpose of these writers is very clear: exponer en esta humilde representación lo que juzgamos puede contribuir a que en el reynado de V.M. sean felices los Reynos de la Corona de Aragón [we present in this humble submission that which we adjudge H.M. could contribute to the happiness of H.M’s reign and of the crown of Aragon].91 This is especially interesting given that it is written by people who form part of the Bourbon power structure. It comes from power and is directed at power. According to Torras i Ribé, the text represents la demostració del fracàs sense paŀliatius del règim de la Nova Planta, incapaç de satisfer ni tan sols els interessos corporativistes dels seus servidors més fidels [the demonstration of the absolute failure of the Nova Planta regime, not even able to satisfy the corporatist interests of its most faithful serv-

90 Translated into Catalan in 1968 by Enric Moreu-Rey, El Memorial de Greuges de 1760 (Barcelona: Edicions d’Aportació Catalana, 1968). Reprinted in Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, pp. 91-113. 91 Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, p. 92.

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ants].92 Without doubt this text questions the supposed advances made by 18th century Bourbon reformism. The Memorial is structured in two parts: a reflection on the validity of the Bourbon regime, and concrete demands, evident in three distinct aspects: firstly, claiming that the old laws had been effective. Referring to the application of the Nova Planta, son imponderables los males que en su execución han padecido aquellos reinos contra la piadosa intención del glorioso padre de Vuestra Majestad [the evils suffered in those kingdoms due to its execution, contrary to the good intentions of Your Majesty’s glorious father, are imponderable].93 Secondly it contains a list of complaints that support this idea. Finally, as had happened in the Baroque period,94 it refers to the debate over ecclesiastical responsibilities and the dispute over the language in which one should preach (p. 109): Según diximos, en ellos se habla una lengua particular, y aunque en las ciudades y villas principales muchos entienden y hablan la castellana, con todo los labradores ni saben hablarla ni la entienden. En las Indias, cuyos naturales, según se dice, no son capaces del ministerio eclesiástico, los párrocos deben entender y hablar la llengua de sus feligreses. ¿Y han de ser los labradores catalanes y valencianos de peor condición que los indios, habiéndose dado en aquellos reinos hasta los curatos a los que no entendían su llengua? ¡Cuánto convendría que los obispos, así en las Indias como en España, no teniendo el don de lenguas que tuvieron los Apóstoles, hablaran la lengua de sus feligreses! […] ¿Y siendo los labradores los que con el sudor de su rostro principalmente mantienen a los obispos y demás clérigos, y por consiguiente los que más derecho tienen a ser instruidos, han de estar privados de la instrucción? ¿Cuántas veces insta la necesidad de que una pobre mujer explique su aflixión y se confiese con su propio obispo? ¿Y ha de sufrir el rubor y la pena de hablarle por intérprete?95 As we have pointed out, a specific language is spoken in them and although in the major towns and cities many speak and understand Spanish there are many labourers who neither know how to speak it or who can understand it. In the Indies, the natives of whom it is said are not capable of ecclesiastic ministry, the pastor must 92 93 94 95

Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, pp. 23-24. Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, p. 92. Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, pp. 78-87. Escrits polítics del segle XVIII…, ed. Josep M. Torras i Ribé, p. 109.

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speak and understand the language of his parishioners. Should Catalonia’s and Valencia’s labourers where even the curates do not understand their language be in a worse condition than the natives of the Indies? How useful should the bishops, not being blessed with the gift for languages that the Apostles enjoyed, speak the language of their flocks in the Indies and in Spain! […] And it is the labourers who, by the sweat of their brow, are the mainstay of the Bishops and their clergy. So it stands to reason that it is their right to be instructed and yet it is they who are denied instruction. How many times have we seen the need of a poor woman having to suffer the shame of speaking through an interpreter in order to explain her affliction and confess to her own bishop?

The Memorial is considered to be the final exponent of a certain type of text. The new generation, enjoying a climate of relative economic prosperity, would little by little forget the posture of resistance. This is the generation of Francesc Romà i Rosell (1725-1784).96

4.3. Official and erudite culture: The University of Cervera, the Academies and the School of Bellpuig de les Avellanes Up till now we have focused our attention on historical and political texts. Notwithstanding, we believe apropos a brief review of the official culture installed by the new Bourbon regime: The University of Cervera.97 At the beginning of the 18th century Cervera had a population of around 4,000. Miquel Batllori has identified three stages in the history of the university: its origins (1715-1726), its high period (1726-1777) and its decline and tensions with Barcelona (1777-1842). With regard to the beginning, taking advantage of its pro-Bourbon stance, Cervera demanded that the university be moved from Lleida to Cervera on the 25th July, 1713. On 23rd October, 1714, the Reial Junta Superior de Justícia i Govern de Catalunya, created by Berwick, concluded that Philosophy, Canons and Laws should be moved to Cervera. These faculties opened in 1715. On 11th May, 1717, the University of Cervera received its royal 96 Ernest Lluch, El pensament econòmic a Catalunya (1760-1840) (Barcelona: Edicions 62, 1973). 97 Joaquim Prats, La Universitat de Cervera i el reformisme borbònic (Lleida: Pagès, 1993); Miquel Batllori, La Iŀlustració: Obra completa, vol. IX (València: Tres i Quatre, 1997), pp. 167-209.

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accreditations. These were confirmed by another royal decree on 17th August, 1717. Until 1726, the Captain General of Catalunya paid the dons’ salaries. After 1726 a system of free examinations was accepted. In both these periods the role of the jurist Josep Finestres (1688-1777) is worthy of note. From the time of the reign of Ferran VI (1746-1759) the idea of moving faculties to Barcelona began to gain momentum and in 1762, Carles III permitted the opening of the College of Surgeons. Be that as it may, the expulsion of the Jesuits in 176798 and the death of Josep Finestres (1777) marked the decline of Cervera, with Batllori describing the university as prematurament envellida [prematurely aged], as it was unable to assimilate the Enlightenment (delayed and limited) and even less the nascent Romanticism. Between 1836 and 1842 the move to Barcelona was formalised. The truth is that it was nothing more than an artificial university with a library that never contained more than 5,000 volumes, located in Cervera to avoid student disorder in Barcelona. The scarcity of books is documented with clarity and force. In a letter sent to Gregori Maians (1699-1781), we find: pues sepa V.M. que 40 libros son una buena librería en Cervera [you should know that 40 books is a well-stocked bookcase in Cervera].99 And in 1740 we read: los jesuïtes […] no volen llibres, ni he trobat qui ne vulla, havent-los de comprar […]. Llibres de teologia escolàstica van barato com carn de cabra [the Jesuits (…) don’t want books. I find none, having to buy them myself (…). Books on scholastic theology are as cheap as goat meat].100 Before this panorama Maians himself stated: Cataluña no será sabia hasta que la Universidad se restituya en Barcelona [there will be no learning in Catalonia until the university is restored to Barcelona].101 Meanwhile, the academies of a scholarly nature in which historiographical reflection and literary activity carried some weight remained in Barcelona, despite the growing Castilianisation of the scholars at the time. We refer to the Acadèmia dels Desconfiats [1700-1703, Academy 98 Raül Garcia i Mir attributes the university’s improvement to the expulsion of the Jesuits, unlike Batllori. See: Raül Garcia i Mir, “La Universitat de Cervera”, Catalunya durant la Guerra de Successió, Vol. III: La desfeta i la memòria històrica, Agustí Alcoberro, dir. (Barcelona: Arallibres, 2006), pp. 54-58. 99 Miquel Batllori, La Iŀlustració…, p. 183. 100 Ibid. 101 Miquel Batllori, La Iŀlustració…, p. 192.

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of the Distrustful], the Acadèmia Literària de Barcelona (1729-1752, “Literary Academy of Barcelona] and the Reial Acadèmia de Bones Lletres de Barcelona (1752, “Royal Academy of Belles Lettres of Barcelona].102 Into this eminently learned context, which could be characterised as depoliticised, emerged historiographical schools around the Premonstratensian monastery of Bellpuig de les Avellanes.103 Its efforts in documentary and archival research, conducted by Jaume Caresmar (1717-1791), Josep Martí (1732-1806) and Jaume Pasqual (1736-1804) were noteworthy, but the impact of their contributions was limited to exclusive, scholarly circles, such as was the case with the diary of Rafael d’Amat i de Cortada, Baró de Maldà (1746-1819) and again with his Calaix de sastre.104

4.4. Antoni de Capmany i de Montpalau (1742-1813) In this Bourbonic Catalonia arose the powerful figure of Antoni de Capmany, representative of Enlightenment historiography, Catalan critic, writer, economist, philologist and politician.105 Born into a noble family 102 Miguel Pérez Latre, David Asensio Vilaró, “Cultura histórica en Cataluña: El caso de la Real Academia de Buenas Letras de Barcelona entre 1752 y 1799”, Pedralbes, 8-II (1988), pp. 227-243; Marta Muntada i Artiles, “Els integrants de l’Acadèmia dels Desconfiats (1700-1703)”, Butlletí de la Reial Acadèmia de Bones Lletres, 48 (2001-2002), pp. 11-84; Javier Antón, “La historiografia del segle de les llums (de Maians a Capmany)”, Història de la historiografia catalana, Albert Balcells, coord. (Barcelona: Institut d’Estudis Catalans, 2004), pp. 117-139; Mireia Campabadal i Bertran, La Reial Acadèmia de Bones Lletres de Barcelona en el segle XVIII: L’interès per la història, la llengua i la literatura catalanes (Barcelona: RABL Publicacions de l’Abadia de Montserrat, 2006). About the history of historiography, Elisabet Mercadé has presented various sources to study and contextualise it — “La diversitat en la historiografia catalana del segle XVIII: Fonts per al seu estudi”, Pedralbes, 28-I (2008), pp. 691-708. 103 Joan Mercader, Historiadors i erudits a Catalunya i a València en el segle XVIII (Barcelona: Rafael Dalmau, 1966); Eduardo Corredera, La escuela històrica avellanense (Lleida: IEI, 1971); Carta del P.D. Jaime Pasqual, canónigo premostratense de Bellpuig de las Avellanas, al M.I.S. Marqués de Capmany (Valls: Consell Comarcal de l’Urgell, 1991). 104 Rafael d’Amat i de Cortada, Calaix de sastre, XI vol. (Barcelona: Curial, 1987-2005). 105 About Capmany, see: Francisco José Fernández de la Cigoña, Estanislao Cantero Núñez, Antonio de Capmany (1742-1813) (Madrid: Fundación Francisco Elías de Tejada, 1993); Javier Antón Pelayo, “El discurs de presentació d’Antoni de Capmany a l’Acadèmia de Bones Lletres de Barcelona (1782)”, Manuscrits, 19 (2001), pp. 163-174; “Antoni de Capmany (1742-1813): Análisis del pasado catalán para un proyecto español”, Obradoiro de Historia Moderna, 12 (2003), pp. 11-45; Marina López i Guallar, “La revisió racionalista: Antoni de Capmany”, Quaderns d’Història, 9 (2003), pp. 175-184; Ramon Grau i Fernàndez, “Un patriota d’altres temps: Antoni de Capmany i la historiografia racionalista”, Butlletí de la Societat d’Estudis Històrics, 22 (2011), pp. 93-112.

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in Girona, with an Austrian grandfather, his work reached its peak during the reign of Carles III, and is a clear example of the shift from the Enlightenment to Romanticism. He was also a complex figure, branded successively as a Hispanophile, Centralist, Liberal or Traditionalist depending on which of his works was under scrutiny. In 1773 he was named an honorary member of the Real Academia Sevillana de Buenas Letras, and in 1775 was admitted to the Real Academia de la Historia. During this enlightened period he favoured the educational material of the French encyclopaedists over the Jesuits. As an example we may refer to the Filosofía de la elocuencia [1777, Philosophy of Eloquence]. With regard to his own conception of history, it centred on the study and praise of the mediaeval guilds in his monumental Memorias históricas sobre la marina, comercio y artes de la Antigua Ciudad de Barcelona [4 vol.: 1779-1792, Historical Memories on the Navy, Commerce and Arts of the Old City of Barcelona], an in-depth study of the commercial and maritime activity of mediaeval Barcelona, the first history of economy published in Europe according to Emili Giralt.106 This interest in the economic issues of mediaeval times was driven by a desire to revitalise the economy of his time more than for cultural or historiographical reasons: las épocas de la edad media, las más fecundas en sucesos dignos de nuestra memoria e imitación, apoyados en testimonios legales e irrefragables [the Middle Ages, the most fertile in events worthy of our memory and imitation, supported by legal and irrefutable testimonies], and he denounces los tiempos fabulosos [the fabled times] that served para adular aquellas naciones que quieren entretener su vanidad con ficciones y maravillas [to flatter those nations who wish to entertain their vanity with fictions and marvels].107 Capmany’s conception of Catalonia and Spain contained, as did others of his generation, a two fold objective: To Spanishise Catalonia (taking Spanish as the language of culture in order to halt the growth of Francophilia) and to “Catalanise” Spain (above all in questions of an economic nature and the desire to see the nobility more involved

106 Emili Giralt, “Antoni de Capmany: Aproximació a l’ideari d’un iŀlustrat”, Catalunya a l’època de Carles III (Barcelona: Generalitat de Catalunya, 1991), pp. 105-131. 107 Antoni de Capmany, Memorias históricas…, vol. I (Madrid: Antonio de Sancha, 1779), pp. III-IV.

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in business).108 It is not surprising that Capmany, a man of his times, should believe Catalan to be an idioma rancio y semimuerto [a rancid, moribund language], idioma antiguo provincial muerto para la república de las letras [an antiquated, provincial tongue dead for the republic of letters].109 It would seem, then, that at the end of the 18th century the Bourbon centralist impulse would succeed.

5. Epilogue We end this discussion with some thoughts from the philosopher Jaume Balmes (1810-1848), onetime student of the University of Cervera. Throughout this text we have seen that one of the questions constantly reiterated by historians, scholars and jurists of the 17th and 18th centuries was a reflection upon Catalonia’s identity within the framework of the Spanish monarchy.110 Thus, in the first half of the 19th century, Balmes was still asking: ¿Hay en España verdadera nacionalidad? ¿Sí o no? ¿En qué consiste, sus causas, sus indicios? He aquí apuntado el objeto de una extensa obra [Does nationality truly exist in Spain? Yes or no? What are its causes and signs? I have here noted the objective of a massive work].111 However, seeing the turbulent political situation, he advised as follows: En la exasperación a que han llegado en España los partidos políticos, una de las miras que no debe perder de vista el Principado es el no constituirse ciego instrumento de ninguno de ellos.112 Given the exasperation which the political parties in Spain have reached, one of the aims which the Principality must not lose sight of, is that of ensuring that it does not become the blind instrument of any of them.

108 Roberto Fernández, “Cataluña en las Españas…”, p. 425. 109 Antoni de Capmany, Código de las costumbres marítimas de Barcelona, hasta aquí vulgarmente llamado Libro del Consulado (17911) (Barcelona: Cámara Oficial de Comercio y Navegación, 1961-1963), vol. I, p. 38. 110 Anyway, the debate about the notion of Catalonia and Spain arose first in the Middle Ages. See: Flocel Sabaté, “La noció d’Espanya en la Catalunya medieval”, Acta Mediaevalia, 19 (1998), pp. 375-390. 111 Jaume Balmes, Obras completas, vol. II. (Barcelona: Selecta, 1948), p. 1547. 112 Jaume Balmes, Obras completas…, p. 1160.

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The Cultural “Renaissances” as a Moment in European History (1820-1870) Nicolas Be rj oan Université d’Aix en Provence

A difficult subject to grasp: Introduction The Europe of the first half of the 19th century saw the flourishing of a series of movements that sought to nurture the cultures of dormant or disappeared nations. As examples of this ecumenical phenomenon we will cite the Italian Risorgimiento, the Respelido of Provence, the Catalan Renaixança for Southern Europe, the Slavic Réveils [awakenings] for Eastern Europe and the Gaelic Revival for Atlantic Europe. This major event in European history has bequeathed an enormous heritage and is still used today to situate nationalities and regions in a world context, but it has yet to enjoy a panoramic study. Anne-Marie Thiesse has shown the transnational character of the (re)discovery of national cultures by highlighting the common traits of their search for identity.1 Preceding her, Miroslav Hroch had established the link between these cultural manifestations and deeper social movements.2 Some, such as Eric Hobsbawm, have lent their efforts to the construction of a global vision, while others have sought to address particular examples; for example, Josep M. Fradera and the Catalan Renaixenca. In effect, they offer us the tools with which to consider these cultural movements from an extremely wide-ranging political and social perspective.3 But while they provide a broad overview of this cultural rebirth, a synthesis is still needed in order to establish sufficiently accurate comparisons between them and enable their joint inclusion in a pan-European political and social moment, listing their distinctive features and perhaps, ultimately, elaborating a typology of these movements. 1 2 3

Anne-Marie Thiesse, La création des identités nationales (Europe XVIIIè-XXè siècles) (Paris: Seuil, 1999). Miroslav Hroch, Social Preconditions of National Revival in Europe (Cambridge: CUP, 1985 [1969]). Eric Hobsbawm, L’ère des révolutions (Paris: Fayard, 1969 [1962]), and Josep M. Fradera, Cultura nacional en una societat dividida (Barcelona: Curial, 1989).

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The task, it must be admitted, is not easy. The biography relevant to each of the renaissances is spread among disciplines that do not share either the same objectives or focus of interest. Literary studies were the first to take this task on, and today still provide the bulk of the biography on the subject. Normally these insist on the formal aspect of works which highlight linguistic innovation and originality and remain within the boundaries of the region or nation concerned. Then came sociolinguistics and history. To this disciplinary dispersion must be added linguistic difficulties. Those who have taken an interest in these movements have, in general, focused on the cultural renaissance in their own country and in their own language. Precisely because it was theirs, and also because they perceived the local revival movement as particular, without taking into account a broader, European perspective. Thus, a remarkable polyglot is needed to master documents that are not only written in many languages but extend to cover a plethora of linguistic domains. Finally, practical problems aside, the linguistic difficulty obliges us to recognise the fundamental problem in achieving a global understanding of the renaissances: their autochthonous nature. We are not speaking here of their claims to autochthony, which all have claimed for themselves as proponents of a national originality. Historians have long emphasised the international character of these nationalisms, as well as the phenomena of borrowing and imitation which reveal the connections of one with another.4 But the extreme nature of the diversity of these movements, the disparate level of their strength, their political content, be it clear or disputed, and ultimately their unequal legacies all tend to discourage comparisons. What are the similarities between the Italian Risorgimiento, a national movement that resulted in a nation-state before the end of the century,and its neighbour, the Provencal Respelido, whose memory barely survives in a written testimonial? The following text does not claim to fill this notable void in European historiography. It modestly aspires only to propose a reflection upon the context which saw the birth of these renaissances, based essentially on knowledge of the Catalan and Occitan renaissances drawn largely from readings of master historians, notably Eric Hobsbawm, who has presented the 19th century as that of a “double revolution” — the industrial 4

Anne-Marie Thiesse, La création des identités nationales…

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and the national.5 It will also raise the question of the relevance of the term “renaissance”, employed by contemporaries at the time to define their work, which will be clarified when placed in its historical context. It will eventually propose some ideas to reconsider this pan-European cultural movement.

1. A moment in European political history The relationship between the renaissance movements and the European political scene in the first half of the 19th century is twofold. Superficially, their coincidence with the erosion of the political system established at the Congress of Vienna is striking. The anecdotal Catalan example is paradigmatic; the publication of Bonaventura Aribau’s Ode to the Fatherland, quickly fixed as the birthdate of the Renaixença, coincides with the fall of the regime of Ferdinand VII.6 There is no need to repeat the importance of Italian nationalism in the works of the great figures of the literary Risorgimiento. Ugo Foscolo, soldier of the “Kingdom of Italy” invented by Bonaparte, was forced into exile in 1815 when the Austrians restored their dominance over the peninsula, and published his critical Discourse on the Servitude of Italy the following year in Switzerland. Alessandro Manzoni, whose drama Adelchi is a veiled denunciation of Austrian dominance, is another eminent figure of those intellectuals, liberal and nationalistic, who wanted an end to the ancien régime in the peninsula.7 Equally, the Romanian poet Vasile Alecsandri was one of the leaders of the liberal revolution in Moldavia in 1848. Finally, Josep M. Fradera demonstrated the ideological route to young Catalan scholars who wished to kick-start the Renaixença in the 1830’s, but which ended in a prudent conservatism contrary to its origins in the liberal and revolutionary Barcelona of the beginning of the century.8 5 6

7 8

Eric Hobsbawm, L’ère des révolutions… Antoni-Lluc Ferrer, La Patrie imaginaire: La projection de “La Pàtria” de B. Aribau (1832) dans la mentalité catalane contemporaine (Aix-en-Provence: PUP, 1987), and Manuel Jorba, A propòsit de la primeríssima recepció de “La Pàtria” d’Aribau (1833-1859) (Barcelona: Institut d’Estudis Catalans, 2013). François Livi and Christian Bec, La littérature italienne (Paris: PUF, 2003) and C. Durandin, Histoire des Roumains (Paris: Fayard, 1995). Josep M. Fradera, Cultura nacional en una societat dividida…

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Their roots are obviously in the political revolutions that shook the world in the late 18th century and whose first fruits were the American and French revolutions. The time of the political communities of the ancien régime, disparate bodies bound to a king, was over. Sovereignty now resided in the nation.9 Yet this oft proclaimed nation was nowhere visible. It was necessary to invent substance, give it a history and in that way legitimacy. It is in this movement of invention that the European cultural renaissances participate. But this proclamation of a national existence supported by history did not always have the same polemical content. In Bohemia, Frantisek Palacky explained in his monumental Histoire du peuple tchèque en Bohême et en Moravie that the history of nations is inherently antagonistic. In this case, what was at stake in Central Europe was a conflict between Germans and Slavs that could not be resolved by the emancipation of the latter.10 Meanwhile, in Occitania and Catalonia the tone was more conciliatory. North of the Pyrenees, the Albigensian historian Napoléon Peyrat pointed to the existence of a civilisation in Languedoc in the Middle Ages that had been destroyed by a Crusade. This was not, however, a cry for revenge or a denunciation of French national construction. It was, above all, an effort to present the South of France as a land of liberty and civility that merited the recognition of a French nation which had inherited those ideals in the contemporary world.11 To the south of the frontier, Víctor Balaguer gave the same meaning to the legacy of Catalonia in the context of Spanish history.12 The Catalan Renaixença, while differentialist, still had not reached the stage of nationalism.13 Regardless of its subversive attributes, this intense period of identity creation borrows from the same sources.14 Ethnography, history, linguistics and literature. And the discourse that supports the enterprise is always similar. The traditions and the language testify to the antiquity 9 10 11 12 13 14

See, for example, Eric Hobsbawm, Nations et nationalismes depuis 1780: Programme, mythe, réalité, (Paris: Gallimard, 1992 [1990]). Bernard Michel, Nations et nationalismes en Europe centrale (XIXè-XXè siècle) (Paris: Aubier, 1995). Philippe Martel, Les Cathares et l’histoire: Le drame cathare devant ses historiens (1820-1992) (Toulouse: Privat, 2002). Marina Cuccu, Víctor Balaguer i Cirera (1824-1901) (Vilanova i la Geltrú: Ajuntament de Vilanova i la Geltrú, 2003). Josep Termes, Història del catalanisme fins al 1923 (Barcelona: Pòrtic, 2000). Anne-Marie Thiesse, La création des identités nationales…

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of a nation that, in spite of an unfortunate history, had failed to disappear. With regard to the national language, renaissancists denounce the decadence and perversion of its forms under the influence of dominant foreign languages and so follow a well-worn rhetorical path, like in Catalonia where this discourse has persisted into the modern era.15 To drag the nation out of its rut and restore its ancient lustre, scholars and writers highlight the splendour of its past, work to identify its pure forms and then set to constructing a literature that will measure up to its erstwhile brilliance. All the work of Frederic Mistral of Provence was directed to this end. He published a series of magisterial poems before putting together what remains the standard reference dictionary of the language of Provence.16 The actions of Catalan renaissancists is quite the same. Starting in 1859, their annual Jocs Florals meetings seek to reclaim the qualities of an idiom that Castilian was, at that time, eclipsing in the public sphere.17 It wasn’t long before the Acadèmia dels Jocs Florals began to pose the question of its standard rules of spelling.18 The Italian literary Risorgimento definitively promoted the Tuscan dialect, that of the iconic mediaeval writers Petrarch and Dante, to the status of a national language. Manzoni, also wishing to write in the language of Lombardy, settled in Venice in 1827 to rediscover the sources of what he considered the purest Italian.19 In the first half of the 19th century in the Balkans, the Serbian Vuk Karadzic, inspired by the Slovenian scholar Kopitar, worked tirelessly on the codification of a common South Slavic language, to which work the Craotian Ljudevit Gaj added some literary lustre.20 The novelty of the proclamation of nations as single instances of sovereignty could give rise to political contradictions due to several nations claiming recognition while sharing the same territory. Thus the form of cultural rebirth is conditioned by the power relationships that are established within each territory. At one extreme we find France, where the power of the state and the force of the national project inhibits 15 Antoni Comas, La decadència (Barcelona: Llibres de la Frontera, 1986). 16 Robert Lafont, Mistral ou l’illusion (Paris: Plon, 1951). 17 Pere Anguera, El català al segle XIX: De llengua del poble a llengua nacional (Barcelona: Empúries, 1997). 18 Martí de Riquer (dir.), Història de la literatura catalana (Barcelona: Ariel, 1986), vol. VII La Renaixença. 19 Giovanni Nencioni, La lingua di Manzoni (Bologna: Mulino, 1998). 20 Bernard Michel, Nations et nationalismes en Europe centrale…, and Anne-Marie Thiesse, La création des identités nationales…

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contemporary nationalistic claims. The early establishment of a national market dominated by Paris, a relatively open political arena and a highly centralised intellectual arena facilitate the merging of local elites with national elites.21 François Guizot, François-Auguste Mignet, Adolphe Thiers, ideologues and political leaders of French liberalism in the first half of the 19th century, came from Provence or Languedoc, although Félibrige, intending to return self-awareness and life to the people of Occitania, held doubts about the nature of his own ambition. Deprived of the means of effective social communication, he was forced to entrust his claims to the crucible of the dominant national discourse, simply asking for recognition of the Occitanian language as part of the national patrimony, and thus risked being denounced as a separatist.22 By way of contrast, the Risorgimento in Italy was cultural and political at the same time. It immediately took the form of a movement in pursuit of the unification and independence of the Italian nation, even though there could be division between its different currents over the methods to achieve this, and over the nature of a future Italian state.23 Neither the Austro-Hungarian monarchy nor the rulers of small principalities still in power could manage to generate an equivalent movement to gain adherents. Between these two extremes the Catalan example came to represent a tertium quid. There the beginnings are timid. Aribau deplores the exile of his native language, Antoni Rubió i Ors revives the heyday of troubadour poetry and Pròsper de Bofarull that of the Crown of Aragon, but without ever questioning the Spanish national project. They seek recognition of the originality of a people, its history and its culture within the common Spanish nation. It was not until the second half of the century that the weakness of the Spanish national project and the development of Catalan society saw the defence of the Catalan language and a focus on local history take on a more overtly political complexion.24

21 André Armengaud and Robert Lafont (dirs.), Histoire d’Occitanie (Toulouse: Institut d’Estudis Occitans, 1979). 22 Philippe Martel, Les Félibres et leur temps: Renaissance d’Oc et opinion (18501914) (Bordeaux: PUR, 2011). 23 Paul Guichonnet, L’unité italienne (Paris: PUF, 1996). 24 Josep Termes, Història del catalanisme fins al 1923…

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2. A moment in European social history An integral part of the political context of the first half of the 19th century, the European cultural renaissances are also a reflection of a new social alignment. Although at distinct rates, the countries of Europe joined industrialised society.25 This latter can be characterised as having many traits that were not at all in harmony with those of the renaissance movements. One of the most important was the ever greater movement of people, movement on a scale never before seen. Although in continental Europe this movement accelerated during the second half of the century, the rural exodus had already shaken the social order during the preceding decades. The countryside, where the traditional forms of landlord and church power persisted, began to empty, and when it did not undergo economic and ideological transformations, it simply became a conduit to the cities. The elites of the cities, quite rightly, open their arms to poor country folk coming in search of survival but become nervous of this proletariat and its ways and behaviour. It is indisputable that the positive reception given the renaissance movements in Scotland and Catalonia, like that afforded the writing of Mistral in France, is connected to these transformations and the anxiety experienced by the local bourgoisie with regard to the risk of social revolution. In Catalonia Josep M. Fradera showed how the fear of social revolution, after the bullangues [disturbances] of the 1830’s, had shifted the tone of young liberals that had been so keen on the renovation of local culture in a very conservative direction, and how the Renaixença came to be seen as the way to develop a common culture for a society under highly charged social and political tensions.26 In France, Philippe Martel has pointed out how the perception of the work of Mistral, a Provencal seen as a Virgil, was affected by the reactionary political context that accompanied the advent of the Second Empire.27 The events and our understanding of the movements of cultural renaissance have, therefore, much to do with the movements which were affecting society at the time, with the political instability they caused and 25 Paul Bairoch, Victoires et déboires: Histoire économique et sociale du monde du XVIè siècle à nos jours (Paris: Gallimard, 1997), 3 vol. 26 Josep M. Fradera, Cultura nacional en una societat dividida… 27 Philippe Martel, Les Félibres et leur temps…

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the fear this inspired in a social class seeking to establish its domination. The emergence of the bourgeoisie played a vitally important role in the growth of the renaissance movements, not only because the renaissance discourse coincided with their desire to create a national history, but also because it served as a vector for social cohesion. Moreover, because they are members of the middle classes, they are the principal producers and leading consumers. Occupying a central position in the socio-cultural space, these individuals possess the written culture that secures and enhances the value of language and cultural practices that become appendages of the popular classes. And it is these people who will wax passionate over the historical romances or patriotic poetry of Manzoni or Foscolo, reading as their own the epic of the people. The cultural renaissances, therefore, correspond to the production of a collective narrative by these middle classes, as only they have the ability to write and meet their collective expectations.28 The strength or frailty of a renaissance corresponds to the echo that its discourse receives from the middle class to which it is addressed. In Italy there was a massive movement of the middle classes in favour of Italian nationalism and away from the politically archaic monarchy and the ancien régime that dominated the peninsula. In Provence, by contrast, they were absorbed into the French social game and subjugated to the mystique of the great nation.29 Mistral’s efforts are simply taken as a reason to be satisfied with provincial status. To sum up, the cultural renaissances must be placed within the social jockeying for position that accompanied the process of industrialisation. The enrichment of European societies, the development of methods of production and the marketplace, the growth of the apparatus of state all serve to furnish the bourgeoisie with more opportunities for advancement. The production of scholarly works, participating in the discovery of national traditions or literature, can rarely secure a place in a still embryonic market for cultural goods. Mistral is a man of means. The great historians of 19th century Catalonia, Pròsper and Antoni de Bofarull live off their position as archivists.30 But they can already assure awareness at a national or local level, and give an extra something to an ordinary life 28 Georges Lucaks, Le roman historique (Genève: Payot, 2000 [1935]). 29 Robert Lafont, La révolution régionaliste (Paris: Gallimard, 1968). 30 Claude Mauron, Frédéric Mistral (Paris: Fayard, 1993), and Jordi Ginebra, Antoni de Bofarull i la Renaixença (Reus: Associació d’Estudis Reusencs, 1988).

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in a world where distinction is linked to production.31 Mistral received enormous local recognition, becoming an icon of culture in Provence, in the country and finally internationally, obtaining the Nobel prize for literature in 1906. The great Catalan philologist Milà i Fontanals also managed to reconcile local and national prominence thanks to his work on language and Catalan poetry of the Middle Ages and mediaeval Spain, going on to a university post in 1845.32 Even when the predilection for national traditions and idioms does not give access to such fame, or a career, it still supports the need for recognition that is the need of collective originality. To this foundation are grafted the claims of lesser scholars and writers to a place in the intellectual hierarchy.33 Thus, in Roussillon in the first half of the 19th century, local scholars were tireless in digging up the past, giving shape to the past of Catalonia and exalting the virtues of the local language; an enterprise which situated them as specialists in local culture in the French intellectual field, and which went hand in hand with a vigorous claim to existence in the face of the hegemonic pretensions of Parisian intellectuals.34

3. “Renaissances”, or the birth of national cultures In view of this history of renaissances, it is clear that the term should be reconsidered. It is the players themselves who have established the fact of the renaissance of cultures and temporarily disappeared nations. But it about more than simply births, births of national or regional cultures that their inventors give shape to. Which is not to say that the evidence they collected never had a previous existence or was not indigenous.35 In archaeology imagination is often called into play in order to bridge the gaps. But the novelty of the political and social context that drives 31 Alban Bensa and Daniel Fabre (dirs.), Une histoire à soi (Paris: MMSH, 2001). 32 Manuel Jorba, Manuel Milà i Fontanals en la seva època (Barcelona: Curial, 1991). 33 Anne-Marie Thiesse, Écrire la France: Le mouvement littéraire régionaliste de langue française de la Belle époque à la Libération (Paris: PUF, 1991). 34 Nicolas Berjoan, “Scènes de la vie de province: Nationalité et localisme dans le Roussillon du premier XIXè siècle”, Rives Méditerranéennes, 34 (2009), pp. 119139. 35 Anne-Marie Thiesse, Écrire la France…

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people to revive traditions and languages to which they did not pay the same attention previously, and the ideological baggage of the enterprise, is clearly new. What it amounts to is not so much to revive as to affirm the existence of a people, and in so doing to ensure their survival at times when social upheaval makes identity imprecise, or when the proclamation of nations makes political objectives of cultures. This invention of national cultures is not specific to renaissance movements in nations without states. Both in France and in Spain, national intellectuals are no different to those in the provinces that defend the existence of a particular heritage. They write, like Augustin Thierry, François Guizot or Modesto Lafuente, the narrative of national history beginning with the Gauls or Ibers and find in so doing a universal meaning.36 They draw up an inventory of monuments and customs of the nation. They place her language among the foremost in the world for its unparalleled qualities and for its literature. This is neither the programme nor the argument that distinguishes renaissancists from other romantic intellectuals. It is their relationship to political power. The intellectuals supported by national authorities have the easiest game plan. Their discourse is transmitted by state institutions, while their conformist stance permits them access to a place within state institutions. Meanwhile, revolutionary renaissancists, such as the Italians, encounter the opposition and persecution of the power they are combatting. Those that live in no man’s land adopt in general the strategies of a double patriotism which allows them to play on both the local and national stages.37 The latter is more difficult to attain than the former because of the potentially subversive nature of their approach, which leaves them in an awkward position in relation to the institutions.

36 Marcel Gauchet, Philosophie des sciences historiques: Le moment romantique (Paris: Seuil, 2002), and Ricardo García Cárcel (dir.), La construcción de las historias de España (Madrid: Marcial Pons, 2004). 37 Josep M. Fradera, Cultura nacional en una societat dividida…

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Towards a European history of the “renaissances”: Overture This simple attempt to contextualise the cultural renaissance movements shows us, at least, their diversity and the possibility of conceptualising them as a unity. Their diversity is due to the local environment in which the different “renaissances” developed. In the countries where they confronted the power of the ancien régime, incapable of opposing anything adverse to their national mystique, like in Italy or Romania, they merge with liberal nationalism which soon succeeds in overthrowing them in order to create a nation-state. And it is not rare, then, to see cultural activists who are also political actors, like Foscolo or Alecsandri. When they take place in countries where the state power promotes efforts to articulate and disseminate national culture, their fate depends on the balance of power between the centre and the periphery.38 In the South of France, the Provençal revival fails to shed the qualification of a political failure. In Catalonia and Scotland, the renaissances seek first to defend a regional particularity within the national assembly. It is only then that the dynamics of local society will permit the emergence of political nationalisms some time between the end of the 19th century and the start of the 20th. So political movements that carry forward the renaissance cultural programme give an ideological boost to cultural matters like language and create the institutions that will aid in their dissemination.39 The common ground between all these movements is to be found in the global political and social environment that characterises the early 19th century; that of the double révolution [double revolution]. There would have been no renaissance without the importance given to the nation as a cornerstone of modern politics. The need to give substance to these communautés imaginées [imagined communities] is the need of nations that pushed renaissancists to make an inventory of the culture of the nation to which they felt they belonged.40 Furthermore, there would have been no renaissance without the emergence of the middle classes as the

38 Borja de Riquer, Identitats contemporànies: Catalunya i Espanya (Vic: Eumo, 2000). 39 Pere Anguera, El català al segle XIX… 40 Benedict Anderson, L’imaginaire national: Réflexions sur l’origine et l’essor du nationalisme (Paris: La Découverte, 2006 [1983]).

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new pivot of the political order. This class legitimised its power in the existence of the nation and took up the role of cultural intermediary, assuming the ability to give a modern form to aspects of popular culture and to write a national literature. Anne-Marie Thiesse draws attention to the abundance of intellectuals travelling that characterises the period of the construction of national identities.41 But beyond this effort to internationalise the issue of national cultures, a comparative study of the history of these renaissance movements remains to be done. This work should concentrate on social contexts, both continental and local, using them as the basis for a finetuned typology of the movements without sacrificing their comprehension as a global historical phenomenon.

41 Anne-Marie Thiesse, Écrire la France…

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The Role of the Working-class in the Construction of Catalan Identity Teresa A b el l ó Universitat de Barcelona

As the Francoist regime was coming to an end in 1974 the historian Josep Termes, under the aegis of a seminar for historians organised by the Fundació Bofill [Bofill Foundation] and the Centre d’Estudis Històrics Internacionals [Centre for International Historical Studies] of the University of Barcelona, underlined the role played by workers and the lower classes in the development of Catalan nationalism. On that occasion Termes wrote a paper titled “El nacionalisme català: Problemes d’interpretació” [Catalan nationalism: Problems of Interpretation]. This was destined to have a notable impact on the turbulent Catalan historiography then current and to set the tone for what was to follow in the next few years. In previous works Termes had already highlighted the key cultural, anthropological and psychological elements of identity pertaining to the working-class that had developed in Catalonia, attributing to them some particular and differentiating characteristics, and thus setting them apart from the rest of Spain. He defended the thesis that this workers’ movement, closely related to federal republicanism, had constituted a tendency that was not strictly contained within what could be termed the working-class and therefore made it obligatory to speak instead of a grassroats movement. It was this grouping that had given rise to political Catalan nationalism in the first half of the 19th century, and so anticipated a pro-Catalan bourgeoisie, intent on the consolidation of a national market, showing any interest in the subject. This view undermined the Marxist-based thesis which held that Catalan nationalism had originated with the bourgeoisie; these deep-rooted models were defended for years by opposing political tendencies and methodologies. Termes broke away from this current. He proposed that the methodology employed thus far to study Catalan nationalism had been too narrowly focused and had either based the investigation on major works

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of doctrine, or on economic considerations and theoretical discussions in party manifestos and was therefore erroneous. He maintained that this approach meant giving priority to the tactical and conjunctural instead of taking into account what was happening on the streets. Termes’ contention was that it was vital to analyse the experiences of the masses in the widest possible context and in this way come to an understanding of Catalanism as a multifaceted and versatile political movement. It was, thus, necessary to include the study of social movements that were not, strictly speaking, political (social clubs, excursion groups, literary-cultural societies, ecclesiastical alignments, etc.). Similarly, in the cultural field it would be vital to add currents of everyday expression in which names from the working-class figured alongside the names of great authors, artists, intellectuals, scientists and high academics, thus shedding light on the rich diversity of nationalist sentiment. The grassroots Catalan nationalism of which Termes speaks can be detected throughout the first half of the 19th century in a series of democratic, anti-centralist movements. Initially it was centred around federal republicanism, but from 1868, with the growing strength of the workingclasses, socialist and anarchist tendencies also became manifest. Taking this as our point of departure we will analyse the prevalence and growth of pro-Catalan discourse within workers’ organisations up to the failed proclamation of the Catalan Republic, and the later process of the ratification, under the Second Republic, of the Estatut of 1932 which marked the zenith of pre-civil war Catalanist aspirations. The working-class movements represent one of the defining elements of 19th and 20th century Catalonia. These movements were concentrated in a few coastal cities and were formed by workers from diverse backgrounds who came from inland Catalonia or other regions of Spain as a result of long-term migration. It was, for this reason, a pluralist workers’ movement that participated in the construction of Catalan identity over the years, understanding this as a multifaceted movement seeking to defend its identity and to fight for a Catalan autonomy far removed from centrally dictated uniformity. The formation of a particular Catalan workers’ movement, albeit appearing within a global framework, began in 1840 with the creation of the first workers’ society recognised as such, Associació Mútua de la Indústria Cotonera de Barcelona [Mutual Association of

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the Barcelona Cotton Industry]. It was closely tied to republicanism and had clear cooperative, mutualist and Catalanist tendencies. Coinciding with the democratic revolution of 1868 working-class organisations took another step forward; in that year the first workers’ union was born. Pro-republican and reformist, textile workers — spinners, weavers and finishers — congregated under its banner. It was also at this time that an internationalist tendency appears in Catalonia. Elements of the Catalan workers’ movements became affiliated to the International Workers Association (IWA), assimilating the ideas of Bakunin through local leaders: Rafael Farga Pellicer, Francesc Tomàs, Josep Lluís Pellicer, Trinidad Soriano, Garcia Viñas, Gaspar Sentiñón, etc.; a heterogeneous group of men whose differences of ideology and origin were both evident and important. Following the 1868 revolution Catalan workers’ movements opted principally for Bakunin’s anarchism, a stance that was, for the most part, not abandoned until after the Civil War. From 1874, with the dissolution of the republican parliament and the restoration of the Bourbon monarchy, the revolutionary process of 1868 was interrupted, signalling the beginning of a difficult time for labour: The Spanish federation of the IWA was dissolved while at the same time the rifts and internal divisions between Bakuninist and Marxist factions weakened the anarchist/internationalist bloc which had enjoyed majority support among Catalan labour. In the next decade (1881) the syndicalists of the IWA in Catalonia rebuilt the Federació de Treballadors de la Regió Espanyola [FTRE, Workers’ Federation of the Spanish Zone] and two tendencies began to coexist: the anarcho-collectivists who favoured using the power of the unions to promote social change towards a classless society and the anarcho-communists, more individualistic and promoters of insurrection and violent action. Both tendencies — along with the different models they generated over the years — were present in Catalonia but it was the syndicalists who defined Catalan International Anarchism. Internal divisions and the use of direct action, a series of violent attacks in the 90’s, not only served to weaken an anarchism based on small groups lacking any organisational cohesion, but also revealed the limitations of reformist syndicalism as much as those of socialism. These movements failed to prosper despite the foundation in 1888 of a Marxist trade union,

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the Unión General de Trabajadores [UGT, General Workers’ Union] and the Partido Socialista Obrero Español [PSOE, Spanish Socialist Workers’ Party] in Mataró, an industrial satellite city of Barcelona, and also in the city of Barcelona itself. The strengthening of labour came in the 20th century with the organisation and development of the great syndicalist centres and workers’ parties. The reorganisation of labour in the early years of the century took place along various fronts. In 1903 the grassroots Catalan nationalist groups founded the Centre Autonomista de Dependents del Comerç i de la Indústria [CADCI, Autonomous Centre for Commercial and Industrial Workers]. This was a socio-political workers’ entity initially aligned with the Unió Catalanista [Catalan Nationalist Union] and later with the Unió Federal Nacionalista Republicana [Federal Nationalist Republican Union], whose objectives were the defence and nurturing of Catalanism, the propagation of associations and social reform. Meanwhile the process of renovation of the trade unions, apart from the powerful and revolutionary Lerroux tendency, culminated in the creation of the trade-union federation Solidaridad Obrera [Workers’ Solidarity]. This was an alliance of more than thirty syndicalist groups (socialists, anarchists and, in the beginning, a few disciples of Alejandro Lerroux). This enjoyed a precarious existence until finally crumbling during the Setmana Tràgica [Week of Tragedy]. The anarchists finally took the plunge in 1910 and founded the Confederació General de Treballadors [General Confederation of Workers], soon to become the CNT [Confederació Nacional del Treball, National Confederation of Labour]. Catalan labour had taken an organisational step forward in 1907 by grouping the majority of the Barcelona-based trade unions in the Solidaridad Obrera, the nucleus of which morphed, four years later, into the anarchist CNT. In the years between the foundation of the CNT and the Second Republic the labour movement went through various stages: until 1916 a phase of growth and reorganisation under the aegis of the CNT; the years 1916-1920 saw the first revolutionary moment, spurred as much by the unrest engendered by the Russian Revolution as by the open political crisis of the Spanish state; in 1920-1923 labour suffered lockouts and the violence generated by clashes between the unions and mercenaries hired by employers’ associations and protected

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by the authorities — a time known as the pistolerisme [rule of gunmen]. The anti-revolutionary unions, aligned with the owners, also appeared — the so-called yellow unions — as a prelude to the dictatorship of Primo de Rivera. During the dictatorship the CNT was made illegal, a move which favoured the resurgence of specifically anarchist groups, Federació Anarquista Ibèrica [FAI, Iberian Anarchist Federation], which effectively radicalised the CNT. However, if we analyse the political nature of grassroots movements with regard to the question of Catalan nationalism we find that during the 19th century they were centred around federal republicanism and Carlism. This continued into the early 20th century but by the 20’s and, above all, towards the end of the dictatorship of Primo de Rivera — say around 1930 — the labour world had changed. During those years, as we will see later, the Catalan socialists had challenged the parent party over the Catalan question and a series of Catalan Marxist-Leninist parties had emerged, coexisting with the no longer clandestine CNT. From this point on the study of workers’ Catalan nationalism under the Second Republic is the study of how the two major ideological currents — Marxism and anarchism — took on board the question of Catalonia as a nation. Here we must, once again, refer to Josep Termes. In a gathering of Catalan historians held in 1976 in Perpignan Termes tackled the subject of the working-class and the national question during the critical period between the proclamation of the Republic until the adoption of the statute of autonomy in 1932 — a complex period which often ends up being presented as an inseparably national / social revolution. There he drew general outlines that have been more fully shaped in recent studies systematically analysing the varied, sometimes contradictory stance of the working-class regarding the Catalan republic, Catalan nationalism and the right of Catalonia to self-determination.

1. Catalan nationalism and anarchism The stance of anarchism towards federalism and Catalan nationalism was complex. Thus, explaining the relationships of the Catalan workers’ movement, and more specifically that related to anarchism, is complicated

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and yet suggestive. Anarchism was, by definition, anti-establishment, and as a consequence the anarchists were to have difficulty in dealing with the nationalist question without falling into conflict with their own basic tenets. While historically anarchism or anarcho-syndicalism took no official position with regard to Catalan nationalism, in practice its spokesmen and leaders became intimately connected with the development of a Catalan national consciousness. The cultural roots of the main theorists were grounded in a discourse that identified with the notions of “state”, “nation” and “fatherland”. In that context the nation-state represented the embodiment of economic interests that benefited the fatherland so beloved of the rich, so that all libertarian struggle had to lead to rejection of the “fatherland”. However, this approach — very much Anglo-French in origin — did not quite jell in southern Europe, although it is true that it gained ground from 1880 onwards. In these regions, which included Catalonia, the idea of “the fatherland” followed Bakunin more closely when he said that the patriotism of the people was not an idea but a fact, and that the fatherland represented a sacred and indisputable right of all men. It is, nonetheless, clear that this is a matter of interpretation and therefore remains controversial. This theoretical rejection often forced Catalan anarchism to justify its claims of pro-Catalanism while at the same time struggling to make its social ideas compatible with its commitments as Catalans. From the mid-19th century Catalan nationalism was an integral part of Catalan society, including the working-class, and could not be ignored even by the anarchists. Given this reality it was always simpler and more natural for anarchism to accommodate Catalan nationalism from the cultural rather than the political point of view. Here we come face to face with complicated wordplay; anarchist workers could not accept the word “Catalan nationalism” if this was identified with a bourgeois political project and its associated literary movement known as “The Renaixença”, but could agree to the term when used in reference to cultural differentiation and the possibility of building a new social order based upon this premise. Thus the anarchists and the historians of the Catalan Renaixença defended two different social models. Even so, what the former questioned was not love of the fatherland — that is to say, the

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place from which they came — but rather the growing hegemony of the conservative faction of Catalan nationalism. However, the inability of the anarchists to put forward an alternative theory often led to silence from them on questions they considered irrelevant to their social model. This theoretical tangle was an obstacle to reflection on the trio of fatherland — state — nation, leading to an always complex debate on nationalism. For example, at the outset of the process of Cuban independence the anarchists, Cuban and Catalan, were initially indifferent to the claims of the separatists but then quickly came to the conclusion that the defence of the fatherland and anarchy were compatible in an anti-establishmentarian and libertarian context. Ultimately, whatever the oligarchic and/or economic interests that accompanied the war that led to independence, the Cuban anarchists were not indifferent to the political destiny of Cuba, just as Catalan anarchists could not remain indifferent to that of Catalonia. However, the appropriation of the concept “fatherland” by government sectors and militarists forced the anarchists to do somersaults in their defence of the concept, and when “the fatherland” represented that which the establishment defended, their rejection was categorical; thus Josep Llunas, a man of impeccable Catalan credentials was to proclaim at the outbreak of the Cuban war, una patria no tiene razón de ser, ni en ley de humanidad, ni en la ley natural [A fatherland has no reason to be, neither according to human nor natural law]. Despite these reservations it is clear that, in fact, it had a reason to be, especially among the intelligentsia who defended the idea of autonomy as a goal parallel to the anti-authoritarian revolutionary ideals of socialism. Following the defeat of Spanish colonialism in 1899, and within the context of the popular protest in Catalonia over the tax reforms proposed by the minister Fernández Villaverde — known as Tancament de Caixes [bank closures] — and amid the general agitation it generated, Jaume Brossa, closely associated with anarchism, wrote: Mientras Cataluña no busque su autonomía fuera de los moldes históricos, no es posible que alcance el triunfo de sus aspiraciones. O será moderna o no existirá, es decir, seguirá atada al enfermo de Occidente. […] Los que protestan de los procedimientos contra los contribuyentes, son los mismos

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que apoyaron al gobierno en aquella infame represión del anarquismo [making reference to the Montjuïc Trials which commenced in June, 1896], olvidando que para que un país pueda considerarse completamente autónomo, ha de dejar sentar como principio remanente de la soberanía, la imposibilidad de atropellar el habeas corpus. […] Tengo la completa seguridad de que la mayoría de los obreros catalanes que piensan, sienten simpatía hacía todo movimiento que tienda a exaltar el principio autonomista, pues conseguida la independencia de Cataluña, la lucha de clases ha de ser después más fácil […]. Al objeto de impulsar la revolución económico-social, los obreros deben ayudar a las reivindicaciones autonomistas; pero sin confundirse con los catalanistas, para poner su atención en u ideal más elevado uy por encima de exclusivismos de nacionalidad y de clase. So long as Catalonia fails to seek its autonomy beyond the historic mould it will be impossible for these aspirations to triumph. It will modernise or it will not exist, that is, it will remain tied to the sick man of the West. […] Those who protest against the tax reforms are the very same who supported the government during the infamous repression of anarchism [making reference to the Montjuïc trials which commenced in June, 1896] forgetting that for a country to be considered completely autonomous it must make clear as day that, as a sovereign principle, habeas corpus cannot be brushed aside. […] I am absolutely certain that the majority of thinking Catalan workers are sympathetic to all movements which uphold the autonomous principle, and that, once the independence of Catalonia is achieved, the class struggle must become easier […] With the objective of promoting socio-economic revolution workers must back pro-autonomy demands, but without confusing them with the Catalan nationalists, in order to fully concentrate their attention on a more lofty ideal which is above the exclusivity of nationality and class.

The republican politician and writer Pere Coromines brilliantly summed up the identification of Catalan anarchism with particularism in an essay he wrote in 1901 on the Catalan question and the Cuban war of independence: Arreu els anarquistes han cridat “Mori la Pàtria!”. A Barcelona aquesta pàtria ha tingut nom i, durant la guerra de Cuba, els catalanistes i els anar-

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quistes s’unien per xiular als teatres els drames polítics que tant d’èxit tenien a Madrid. Els crits de “Visca Maceo!” i “Mori Espanya!” van amenitzar moltes vegades aquelles representacions. Everywhere the anarchists have cried ‘Death to the Fatherland!’ In Barcelona this fatherland has been named, so that during the Cuban War the Catalan nationalists and anarchists have joined forces in the theatres to deride the political dramas that enjoyed such success in Madrid. We have often been entertained by cries of ‘Long live Maceo!’ and ‘Down with Spain!’ during these performances.

In the cultural field, especially if we look at the personal history of many of the anarchist leaders, it is easy to see the relationship that existed between the anarchist workers and Catalan nationalism. Many researchers have focused on the nature of this relationship, particularly on its implications for literature and art. Ideally, the anarchist intellectuals’ model shared in part that of the intelligentsia of Catalan Modernisme in the late nineteenth century. It defended a new Catalan society that integrated the working masses while at the same time resolving the social problems posed by industrialisation. The first generations of anarchists (the previously cited Rafael Farga Pellicer, Antoni Pellicer, Eudald Canibell, Cels Gomis, Emili Guanyabens, Josep Lluís Pellicer and Josep Llunas) often publicly defended the personality of Catalonia, despite disagreeing with the Renaixença movement’s understanding of the country as a whole. Thus they maintained a positive attitude towards nationhood and worked to shape a more popular Catalanism in everyday reality. These anarchist leaders agreed on a common workplace at the publisher “Tipografía La Academia”, as a permanent safe haven for anarchists and republicans and as a place where numerous anarchist and working-class publications could be printed. They were the same labour leaders who defended, as previously stated, a moderate internationalist workers’ movement and, in the cultural field, proposed a Catalan revival that distanced itself from the social model of the Renaixença. They were employees who had gone from federalist supporters to anarchist workers’ leaders and, given their relationship with the world of

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typography and graphic arts, had become the intellectuals of the workingclass intelligentsia. Beyond their political affiliations, all collaborated in publications dedicated to various political sensibilities, but always distinctly Catalan nationalist, such as the Diari Català [Catalan Daily], L’Avenç [The Breakthrough], La Bandera Catalana [The Catalan Flag] or the more overtly working-class La Tramontana [the North Wind], the common denominator of all being their progressive vision of Catalan society. At the same time these leaders were the driving force behind the most interesting anarchist and working-class publications of the 1880’s and 90’s produced in Spanish: Acracia [Acrace] and El Productor [The Producer]. From the 1880’s anarchism became more intellectualised. At that time a deeper discussion began on the model of society they wished to achieve, with the subject of what “being Catalan” meant coming under debate. The debates were theoretical/doctrinal in character and in general appeared in the Spanish press, the question of Catalan nationalism as a doctrine being notably absent. The protagonists assigned the maintenance and defence of the roots of Catalan idiosyncrasies to the realm of a dreamt of, or hypothetical, new society of the future. In those years the pro-Catalan character, in the sense of a vital Catalan identity, is plainly evident among sectors of the working-classes. It was during this period that the aforementioned anarchist leader Josep Llunas founded the Catalan newspaper La Teula [The Tile] (1880), which quickly morphed into La Tramontana, the Catalan libertarian anarchist paper par excellence. It was published in Barcelona from 1881 to 1896. From the pages of La Tramontana, Llunas attempted to make fatherland and internationalism compatible while distancing them from the idea of the state. Writers who shared Llunas’s attitude, people like Eudald Canibell, Emili Guanyabens, or Cels Gomis, combined political activism with cultural dissemination. Canibell insisted on the need to maintain and defend the feeling of fatherland — the Catalan homeland — in the pages of the anarchist Acracia, which was distributed throughout Spain, given that, in his view, contrary to the idea of “the State”, the defence of the homeland was compatible with the ideal of anarchist federation. In 1885, flowing from this intellectual current, the anarchists held a literary gathering, the First Socialist Literary Contest, in Reus. It was

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inaugurated by a speech in Catalan from Josep Llunas. In 1889 the second contest was held, this time in Barcelona. It also began with a speech in Catalan; however, on neither occasion was there any entry in that language, nor did any of the texts presented deal with the question of the definition of the doctrine of Catalan nationalism. At these events, and similarly in less grandiose literary gatherings like the one held in 1886 to commemorate the 15th anniversary of the Paris Commune, the working-class movement saw the zenith of its acculturation and a platform from which to expound the definitively Catalan social model it promulgated. As must be emphasised, the anarchist cultural milieu totally rejected the social ambience that surrounded the Renaixença and its literary Jocs Florals [Floral Games], which were considered pretentious and devoid of social content. Thus the literary gatherings held by workers’ organisations, markedly anarchist in nature, attacked the form of those literary encounters (the Jocs Florals) with irony and ridiculed them. This should not be seen as a negation of Catalan nationalism but as a display of their ideological differences with respect to the Jocs Florals which lacked any social content regarding Catalan nationalist doctrine. During the 90’s those who bridged the gap between the two currents were not the old federalists under the influence of Bakunin but youth groups motivated by Nietzschean rather than Bakunist philosophy. This allowed them to be both modern and rebellious at the same time with the aim of destroying — intellectually — the society they opposed. This gave rise to a fascinating mix of Catalan Modernisme and pro-anarchism. In effect, those years produced a convergence between neophyte anarchist ideologues and young Catalan intellectuals: here we encounter Llunas, Canibell and Guanyabens, the dramatists Felip Cortiella and Jaume Brossa, the writers Pere Coromines and Josep Mas Gomeri, and the Foc Nou [New Fire] group which introduced Ibsen’s theatre to workers’ groups in Barcelona etc. This complicity was maintained, with some lapses, until the end of the European War. All were involved in a cultural project that strove to “Catalanise” the mass of workers from within. Thus, the spread of Ibsen’s theatre had the aim of creating a social theatre proper to Catalonia. It was from this source that 1902 produced one of the last attempts to reconcile anarchism and Catalan nationalism. In that year the Agrupació L’Avenir [Future Group] was formed and was quickly

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followed in May of 1903 by a newspaper of the same name, L’Avenir, which sought an opportunity to work through trade unionism. The attempt of this sector of the Catalan intelligentsia to connect itself to the most active, modern working-class sectors was motivated by ideas of modernity and freedom of expression which were themselves the result of having arrived at the conclusion that Catalan nationalism could not prosper by turning its back on the new, industrial society. This approach at the turn of the century, coinciding with the entry of conservative Catalan nationalist forces into the electoral fray, meant competition for the grassroots supporters of Catalan nationalism, which gave rise to a need to close ranks with the working-class. Thus we see that the desire to reconcile Catalan nationalism and anarchism went beyond mere isolated, individual attempts. However, from a given moment, the first years of the twentieth century, it became ever more difficult for Catalan anarchist leaders to state their position with clarity. Indeed, in those years the situation had changed; a sector of Catalan nationalism entered the political arena with a definite social ideology. The most militant workers were drawn along by the idea spread by some republican politicians that, as long as the working-classes lacked the most basic requirements with regard to living standards, the nationalist struggle was a futile waste of time. This allowed the rise of Alejandro Lerroux, who, with a great deal of demagogy and reliance upon the weakness of socialists, federal republicans and the anarchist quagmire, managed to create division among the working-class and impose a populism focused on denouncing bourgeois regionalism. Political and cultural Catalanism made common cause while the Catalan proletariat was immersed in the process of creating a modern trade unionism in response to the needs of changing times, a process which crystallised in the formation of the CNT. In these circumstances Joan Brossa did not renounce the anarchosyndicalist struggle but did give up the defence of the pàtria [fatherland] because, in his opinion ja ha passat el moment de les pàtries [the time of the fatherlands is now over]. At that time relations between anarchism and Catalan nationalism weakened, lost intensity, but never completely vanished. The failiure of later attempts to revive La Tramontana between the years 1907-1913 (in both instances very few issues appeared) is an

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example of this loss of intensity. Nonetheless, there were other socialising elements with the power to attract popular attention; for example, an adaptation of the traditional song Els segadors [The Reapers], with lyrics by the anarchist Eudald Canibell wedded to the traditional music, became popular at this time. It is now the national anthem. Years later, reflecting on the final years of the 19th century prior to the Canvis Nous [New Changes] attack which led to the Montjuïc trials, Pere Corominas said: Nosaltres havíem encomanat als llibertaris l’amor a la llengua catalana i coincidíem amb ells en el menyspreu de tota actuació política […]. Els nostres treballs eren publicats en els llocs preferents de les seves revistes i un refinament espiritual sosllevava els homes nous de la família obrera. Els puntals de la societat no varen saber veure les promeses de pau fecunda que germinaven sota aquell primer esplet d’escardots i de romegueres. We had entrusted the love of the Catalan language to the libertarians and shared with them contempt for all political action […]. Our works were published in the best pages of their publications and a spiritual refinement hovered above the new men of the working-class family. The pillars of society were unable to see the promise of a fruitful peace that was germinating under that first harvest of thistles and brambles.

Meanwhile in a meeting of 12 January 1919, the most popular CNT syndicalist leader Salvador Seguí distanced himself from other leaders saying: Nosotros queremos que Cataluña no sea una colonia [making reference to the industrial colonies], como esas que tienen los señores fabricantes de Barcelona, en las que están esclavizados sus obreros. Nosotros queremos que Cataluña sea un pueblo libre, consciente y bien administrado. Nosotros somos más catalanes que ellos [referring to the bourgeoisie], que tanto alardean de Catalan nationalismo. Tampoco queremos hacer el juego al poder central, ya que éste solo espera la ocasión de que los hombres de la autonomía se vean impotentes o cualquier otro motivo para negar su concesión pretextando que no pueden dominar ni saben gobernar a los elementos diversos que componen Cataluña […].

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We do not want Catalonia to be a colony [making reference to the industrial colonies], along the lines of those owned by the factory owners of Barcelona with their enslaved workers. We want Catalonia to be a free people with a social conscience and good administration. We are more Catalan than they [referring to the bourgeoisie] who so loudly proclaim their Catalanness. Neither do we wish to kowtow to the central government which simply awaits an occasion on which the supporters of autonomy find themselves powerless or any other pretext to reject any concessions on the grounds that they would be unable to control or govern the diverse elements that comprise Catalonia […].

Overall in those years anarchism as a movement remained apart from Catalan nationalism, but the mass of the working-class affiliated to the trade unions was made up of individuals who were largely Catalan nationalist in their symphaties. We must again return to individual examples. Joan Montseny — the popular columnist known as Federico Urales, father of the leader Federica Montseny — declared in favour of the right of Catalonia to self-government. Montseny had already attacked Lerrouxism in 1910 and defended the political movement Solidaritat Catalana [Catalan Solidarity]. Then, in 1912, in a series of articles titled “Per Catalunya!” [For Catalonia!] and published by the Reus-based daily Foment — mouthpiece of the local party Foment Nacionalista Republicà [Pro-Republican Nationalist Party] — he upheld the construction of a party formed by men disposats a treballar amb tot l’entusiasme pel redreçament del camp i de les ciutats catalanes i a combatre el caciquisme [ready to work tirelessly to restore the cities and rural areas of Catalonia in the struggle against despotism], and deployed arguments similar to those in “Sobre la Mancomunitat” [On the Commonwealth] and “Catalunya i Lerroux” [Catalonia and Lerroux], published by the same paper. Salvador Seguí provides the best example of the rapprochement between Catalan nationalism and trade unionism during the 20’s. He was the most charismatic of the anarcho-syndicalist leaders and the friend of notable Catalan nationalist politicians (Macià, Companys, etc.), with whom the debate over whether to participate or not in the draft constitution of a Catalan socialist party remained latent. The anarchist-Catalan

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nationalist complicity (a Catalanism of the left) was also referred to by other important CNT members like Simó Piera and Rafael Vidiella in their memoirs and documents. It is also discussed, but less enthusiastically, by leaders of the FAI such as Joan Garcia Oliver, Ricardo Sanz and Fidel Miró. This working-class preoccupation with the Catalan question had little in common with the literary or historical productions of the Renaixença. As Josep Termes has repeatedly pointed out, it was born as a result of the ties between the Catalan legal and political process, grassroots social demands made very explicit in the cultural arena (theatre, satirical publications, workers’ reviews, etc.) and the growing strength of the trade unions and their political parties. The workers — be they socialist, anarchist or republican — did not step back from the life of the nation nor from the formation of collective projects in Catalonia.

2. Labour politics and Catalan nationalism With regard to the nationalist question the Marxist socialists were the most radical. It was they who introduced to Catalonia the affirmation of the working-class’s fundamental right to self-determination. By way of contrast with anarchism, Marxist groups were governed by very precise ideological coordinates, making them possible to determine their attitude to the issues of Catalan nationalism and self-determination based upon the public declarations of their leaders. The very lack of ideological rigidity of anarchism meant that it generated a plethora of very different personal attitudes. Thus, with respect to these issues the attitude of different Marxist tendencies, although numerically representing a minority in Catalonia, is much easier to define than that of the anarchists, the anarcho-syndicalists or the strictly unionised CNT. During the early years of the 20th century a properly Catalan nationalist group representative of the demands of the workers evolved. It was to mark the start of the long and difficult process of integration between Catalan nationalism and socialism. Key to this process were periodicals like El Poble Català [1906-1918, Catalan People], mouthpiece of the Centre Nacionalista Republicà [Republican Nationalist Centre] to which

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prestigious republican intellectuals (Gabriel Alomar, Eugeni d’Ors, Pere Coromines, etc.) as well as talented youngsters (Eugeni Xammar, Andreu Nin, Claudi Ametlla, etc.), contributed. Not to mention individuals like Dr. Domènec Martí i Julià, for whom a modern society divorced from social engagement was unthinkable. Martí i Julià was a psychiatrist committed to the resolution of the social question and he presided at the time over the legendary Catalan entity Unió Catalanista [The Pro-Catalan Union]. From 1912 he attempted to reorganise the UC as an alternative platform to the Lliga Regionalista [Regionalist League] and to conservative Catalan nationalism. From that base he promoted the idea of renovation and integration closely tied to grassroots Catalan nationalists. Marí i Julià’s presidency proved dynamic for the UC, still immersed in a period of slowdown since the foundation of the Lliga Regionalista (1901). In 1915, Martí i Julià brought Manuel Serra i Moret, a key figure in Catalan socialism, onto the standing committee of the UC and attempted to get the UC to adopt a programme of syndicalist-Catalan nationalist action which ultimately failed.

2.1. Catalan nationalism and socialism The year 1913 saw a significant change in the position of Catalan socialists with regard to Catalanism, initiating a phase of accelerated growth during the First World War. These were very politically active years for Catalanism, leading to the creation of the Catalan Commonwealth in 1914. This was the very first Catalan political institution to enjoy a certain degree of self-government. Given the circumstances, the Centre Socialista de Catalunya [Catalan Socialist Centre] under Josep Comaposada, gave its support to the bill of regional commonwealths drafted by the central government of Spain. It was adopted at once by the Catalan nationalists among Catalonia’s provincial governments. The leaders of the ACSC at that time had very close ties to Catalan nationalism; apart from Comaposada, the vicepresident Martí Vilanova had been a republicannationalist, and the secretary was a young Andreu Nin. Nin, whose roots were in Republican Nationalism, joined the CNT in 1918 and later, after a long stay in the Soviet Union, became the legendary leader of the

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Partit Obrer d’Unificació Marxista [POUM, Worker’s Party of Marxist Unification]. He was assassinated during the Civil War. Andreu Nin was one of the first from among the socialist ranks to declare in favour of Catalan nationalism. He had joined the Catalan Federation of the PSOE in 1913 and, between February and May 1913 he joined in debate with the most important socialist leader of the opening decade of the 20th century, Antoni Fabra i Ribas, in the pages of the Catalan Federation of the PSOE’s newspaper La Justícia Social [Social Justice]. They argued over the role of socialism with regard to the national question, specifically over the Catalan question, under the generic title “Socialismo y Nacionalismo” [Socialism and Nationalism]. In June 1914, at the 4th Congress of the Catalan Federation of the PSOE, Andreu Nin gained approval for a paper entitled “Confederació republicana de totes les petites nacionalitats ibèriques” [The republican confederation of all the small nationalities of Iberia], which demanded the reorganisation of the party in the form of a confederation of regional parties. During those years Josep Recasens i Mercadé, the secretary general of the Catalan Federation of the PSOE and director of the abovementioned newspaper began to give the treatment of the subject of Catalan nationalism a different slant. The PSOE had to accept and support the aspirations of Catalonia for autonomy. 24 June 1916 he penned an editorial for La Justícia Social, “Los socialistas y el problema catalán” [Socialists and the Catalan Problem], commenting upon the resolutions of the 6th Congress of the Federation. At his behest, the subject of regionalism had been put on the table and the Catalan socialists had given their support to the idea of administrative autonomy for Catalonia. The text constituted a manifesto of the Catalanness. The congress recognised: La necesidad de conceder la más amplia autonomía a todas las regiones de España y de proceder, inmediatamente, a la descentralización progresiva de todos los Servicios administrativos [The need to concede the widest possible range of autonomous powers to all Spain’s regions and to immediately proceed to the gradual decentralisation of all administrative services]. In this context Josep Comaposada defended administrative autonomy as a distinguishing feature of Catalan nationalism in his article “Sobre Catalan nationalismo” [On Catalan Nationalism], published on 16 September 1916 in La Justícia Social. In

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this he distanced himself from the more conservative parties and avowed his intention to prevent that the Lliga se arrogase la representación de Cataluña [assuming the representation of Catalonia]. In this regard Comaposada wrote: Con la aspiración del Catalan nationalismo, en lo que éste tenga de autonomista y de descentralizadora, todos nuestros afectos, todas nuestras simpatías, con los partidos catalanistas, llámense nacionalistas o ligueros, toda nuestra disconformidad, toda nuestra oposición [With the aspirations of Catalan nationalism in relation to autonomy and decentralisation, all our affection, all our sympathy. To the Catalanist parties, be they nationalist or members of the League, all our antipathy, all our opposition]. The leader of the socialist group in Reus, one of the most important of the Catalan industrial cities with a very active socialist cadre, was Josep Recasens; this group obtained the agreement of the Federació Socialista Catalana [Catalan Socialist Federation] to a programme of political action specific to Catalonia, a vital step in the evolution of the old-style Catalan nationalist activists towards socialism. This facilitated the incorporation of persons like Manuel Serra i Moret of the FSC (1917) into the group after the failure of the project he had undertaken with Domènec Martí i Julià. The following year he was joined by Rafael Campalans, a figure of some importance in the Mancomunitat de Catalunya [Catalan Commonwealth] organisation, and also by Joan Comorera, the future leader of the Unió Socialista [Socialist Union] and later the Partit Socialista Unificat de Catalunya [PSUC, Unified Socialist Party of Catalonia], a communist group founded in 1936. However, towards the end of 1916, publication of the paper mentioned above was discontinued and in 1917 Recasens withdrew from political activity. This coincidence put a brake, albeit temporarily, on nationalist tendencies in Catalan socialism. Finally, two years later, the PSOE incorporated a point related to the defence of a Confederació Republicana de les nacionalitats ibèriques [Republican confederation of Iberian nationalities] into its programme following the one proposed by the Catalan socialists. This revised formula marked the start of a new era of good relations between the PSOE and political Catalanism, strengthened by the autonomy campaign initiated by the League in which the PSOE became an active participant.

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This harmony was soon interrupted. From 1923 Antoni Fabra i Ribas and Indalecio Prieto adopted a policy of confrontation with the leadership of Catalan socialism (headed by Manuel Serra i Moret since the retirement of Recasens). This revolved around a debate on the nature of nationalism, which they held to be incompatible with socialism and Catalanism. The confrontation led eventually to a complete breakdown in relations.

2.2. The creation of Catalan socialism Both Manuel Serra i Moret and Rafael Campalans rejected the term nacionalisme [nationalism] in favour of Catalan nationalisme [Catalanism]. On the one hand they were aware of the growing fascist phenomenon and its misuse of the term. On the other hand, in an analysis of the term in relation to country, Serra i Moret saw “nationalism” as a political rather than a national identifier, arguing that the word had been appropriated by the Regionalist League. In August of that year Campalans published an article in the Catalanist weekly La Tralla [The Rope], “Nacionalisme i nacionalisme: Un confusionisme perillós” [Nationalism and Nationalism: A Dangerous Confusion], in which he set out to define the stance of Catalanist socialism. According to Campalans: Ha estat costum, a casa nostra, confondre en una mateixa paraula, nacionalisme, l’expressió de dues idees ben diferents. D’una banda, la clàssica política nacionalista — essencialment tradicionalista, imperialista i xenòfoba —, i d’altra banda el moviment reivindicador dels drets de les nacionalitats sotmeses. Com és ben clar, res no tenen a veure les dues nocions que, pels homes d’esperit liberal, són , a més oposades i antagòniques. El que és més picant és que els causants directes d’aquest confusionisme, que tants mals ha produït a la causa alliberadora de Catalunya, tancant-li les portes de la universalització, fossin justament uns quants homes curts de vista de la vella Esquerra catalana. Tractant d’evitar que, dient-se catalanistes, la massa obrera els confongués amb el tipus de la ceba, satiritzat […] [referring to the figure caricatured in La Publicidad and L’Esquetlla

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de la Torratxa] — una barretina, una falç, uns rosaris i uns escapularis —, anaren substituint l’adjectivació primitiva per la de nacionalistes, amb la qual cosa no veien que eixien del foc per caure a les brases. It has become customary in our country to confuse in one word, nationalism, the expression of two very different ideas. On one side we find classic nationalist policy — essentially traditionalist, imperialist, and xenophobic — while on the other stands the movement reclaiming the rights of subjected nationalities. Obviously, the two points of view have nothing in common, and for liberal men are opposed and antagonistic. ”What really leaves a bad taste in the mouth is that the direct cause of this confusion which caused so much harm to the cause of Catalan liberation and shut tight the door to its enjoying a more widely held acceptance, was precisely the attitude of a few short-sighted men of the Esquerra catalana [Old Catalan Left]. In attempting to avoid the term Catalanist so that the working masses should not be identified with the onion type [referring to the figure caricatured in La Publicidad and L’Esquetlla de la Torratxa] — a figure in a beret, with a sickle, a rosary and a scapular — they substituted the primitive use of the adjective in favour of that of the nationalists, not seeing that in this way they simply heaped more coal on the fire.

There was no end to the disputes between the Spanish socialists and the USC. At the Casa del Pueblo [People’s Hall] in Madrid in February 1923, Fabra i Ribas delivered a speech that was highly critical of Catalan nationalism and the socialists who identified themselves as Catalanists. Rafael Campalans and Manuel Serra i Moret responded forcefully in a series of keynote articles in the official mouthpiece of the PSOE El Socialista: “El nacionalismo y el problema catalán: Consideraciones sobre otras consideraciones” [Nationalism and the Catalan Problem: Remarks on Other Remarks] and “El nacionalismo catalán: Comentarios a unas conferencias” [Catalan nationalism: Comments on Some Lectures]. Campalans campaigned for a purely Catalan socialist organisation, citing other national federations, such as the Irish, Czech and Polish. They had all achieved recognition as organisations independent of those of their respective states within the International before they had gained independence.

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These attempts to create a purely Catalan socialism resulted in the foundation of the Unió Socialista de Catalunya [Socialist Union of Catalonia, July 1923], led by Manuel Serra i Moret and Rafael Campalans. The USC was inspired by the platform of the British Fabians and promulgated a socio-democratic pro-Catalan policy. Its opening policy statement provided the ideological definition of the group: Que no quedi entre nosaltres o entre cap de nosaltres la creença o il·lusió que la Unió Socialista de Catalunya és un sector, una modalitat del nacionalisme català. La Unió Socialista de Catalunya és, i no aspira a ser altra cosa, la fracció catalana del socialisme universal [We must be absolutely free, above all among ourselves, of the notion or illusion that the Unió Socialista de Catalunya is a faction or modality of Catalan nationalism. The Unió Socialista de Catalunya is the Catalan bastion of universal socialism, and has no other aspirations]. The initial objective was to create an organisation that would bring together and educate workers and intellectuals, and intervene politically with concrete programmes of action that were realistic. As a political party the USC could deploy a cast of high-profile figures from Catalan civil society. As well as the founders, the following were active participants: the brothers Josep and Joaquim Xirau. The former was professor of Judicial Procedure and trustee of the Universitat Autònoma [Autonomous University], the latter a philosopher. There were also the doctors Emili Mira and Jaume Aiguader as well as Joan Aleu and a select group of workers rising from the classrooms of the Industrial College organised by Rafael Campalans under the auspices of the Catalan Commonwealth. The USC represented another attempt to formalise the synthesis of Catalanism and socialism expounded in the ideas of Martí i Julià. As the dictatorship came to an end, the Partit Comunista Català [Catalan Communist Party] was founded in the Ateneu Enciclopèdic Popular de Barcelona [People’s Encyclopaedic Athenaeum of Barcelona] clandestinely among the most radical elements of Marxist socialism. This was a Marxist-Catalanist association of November 1928 under the initiative of the writer Jordi Arquer — supporter of a radical workers’ socialism rooted in Catalanism — and other members of the group. They not only

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formed the party but also revitalised the institution, which wass eminently grassroots in nature, seeking to use it to influence and steer Catalanism in a working-class direction. The influence of this socio-political and cultural movement was to extend beyond the boundaries of Barcelona in the years to come. The athenaeum in of the neighbouring borough of Sant Andreu — administratively integrated with Barcelona — began a similar revival driven by the activist youth of another group, the Bloc Obrer i Camperol [BOC, Peasant/Workers Bloc], founded in 1930 as the result of the merger of the previously cited PCC with the Federació Comunista Catalano-balear [Catalan-Balearic Communist Federation]. The BOC section in Clot, a working-class neighbourhood of Barcelona, joined altogether the Ateneu Obrer Martinenc the athenaeum of Sant Martí de Provençals, and took up an identical stance. The same thing happened over and again in the working-class areas of Barcelona. All of those involved in these movements shared a political ideal and the wish to make a Catalan socialist workers party viable.

2.3. Catalan nationalism and socialist republicanism At the outset of the 20th century both left and right held a vision of Catalanism; the latter, under the banner of republicanism, attempted various political formations with different social content. In the years preceding the dictatorship of Primo de Rivera, left-wing republicanism made various attempts to create socially oriented organisations with different objectives. Early in 1919 Francesc Macià, future president of Catalonia, formed the Federació Democràtica Nacionalista [Nationalist Democratic Federation], three years after the Estat Català [Catalan State party]. Various nationalist youth groups and the Centre Autonomista de Dependents del Comerç i la Indústria [Autonomous Centre for Commercial and Industrial Workers] coalesced in the FDN. They supported self-determination and proposed a package of social reforms. With regard to the working-class, the establishment in 1917 of a socially oriented republican party, the Partit Republicà Català [Catalan Republican Party], was especially significant. It had close ties with but remained independent from the PSOE until 1920. This tended to expand

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the electoral sphere of the upper working and middle classes, establishing ties with the labouring classes while maintaining a Catalan nationalist policy. The background of most of its leading lights favoured this predisposition: the trade-union lawyers Francesc Layret, Lluís Companys and Joan Casanovas; the Modernista poet Gabriel Alomar who had close relations to anarchism and later socialism; the writer and politician Marcel·lí Domingo, etc., all of whom could point to their long-standing left-wing republicanism and labour ties. Layret’s commitment to the labour cause led him to take on the defence of the prosecuted CNT members. Under the repression sanctioned by the governor Martínez Anido, he was assassinated in 1920 by gunmen in the pay of employers while on his way to impede the deportation of Lluís Companys, future president of the Generalitat de Catalunya [Government of Catalonia], during the Second Republic. Amongst other things the new party promoted adherence to a projected workers’ revolutionary strike. This was no chimera of the times, but rather a plan of action comprising an alliance between the two leading trade unions, the socialist Unión General de Trabajadores [UGT, General Workers’ Union], and the anarcho-syndicalist Confederación Nacional del Trabajo [CNT, National Confederation of Labour]. Both the PRC and the FDN aimed at establishing an alignment between artisans, shopkeepers and workers by way of social and national radicalisation. Tireless in his efforts to secure the support of the workingclass, Layret managed to persuade the PRC to align itself with the Communist International shortly before the CNT took the same step. Exactly as had happened among the anarcho-syndicalists, this agreement was hotly debated inside the party and, in the case of the republicans, was never put into effect. Layret unsuccessfully sought agreement to create a Partit Obrer Català [Catalan Workers’ Party] with the socialists and anarcho-syndicalists. Taking another perspective from within the republican movement, it is impossible to ignore the role played by prominent figures of radical Catalanism such as Daniel Cardona, Jaume Compte and others who, in the years preceding the dictatorship of Primo de Rivera, worked with Francesc Macià in the attempt to forge a Partit Obrer Nacionalista [Nationalist Workers’ Party], and later the Partit Comunista Català [Catalan

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Communist Party]; these are the clearest examples of a national grassroots radicalism for this period. Thus was the state of affairs as the workers faced the challenge to Catalanism represented by the opening years of the Second Republic. A working-class that demanded forcefully that its own parties should form appropriate alliances with other parties. From this stance, the relationship of the working class with other social strata grew more complicated, forcing the Catalan national question to be treated more broadly, that is, as a movement woven over a period of many years and in which each had played its part among the social classes, defending its own respective interests and forms of action. Thus we see Termes’ point of view — that there was no bourgeois Catalanism nor proletarian Catalanism, but rather a wide spectrum of Catalan nationalisms that were closely related to various social strata: Conseqüentment, arran de la idea que la reactivació nacional ha estat fonamentada en les classes populars, cal veure en cada fase històrica els diversos partits que intenten de jugar un paper en la qüestió nacional [Consequently, following the notion that the national revival has been based on the lower classes, it is necessary to identify, in each historical phase, the various parties that attempted to play a part in the national question].

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Catalan Intellectuals and the Inter-war Debate on Democracy in Europe Giovanni C. C attini Universitat de Barcelona

1. Catalan intellectuals and post-war conditions in Europe In order to understand the direction of the debate on democracy among Catalan intellectuals between the wars it is vital to underline the importance of both the historical context and the way in which mainstream European currents of thought were perceived at that time. The fact is that the years immediately following the end of the First World War have been generally characterised by the profound changes in the panorama of European states and the Mediterranean zone. In Central Europe the dynasties of Germany and Austria had disappeared, and Austria-Hungary had been dismembered. The Ottoman Empire had also been dismantled, giving rise to the new state of Turkey under Mustafa Kemal. Similarly the idea of liberal democracy and the liberal state entered a long period of crisis which heralded the collapse of states forged over eight hundred years in the Mediterranean zone; Italy, Spain, Portugal and Greece.1 In this context, events in the Italian peninsula came under intense debate. A number of intellectuals argued over the nature of the limitations of the societies in which they lived and the challenges to be faced. The strong cultural parallels with Italy meant that events there were followed closely in the pages of the Catalan press. Even during the First World War the pro-allied press had followed and supported D’Annuzio’s campaigns in favour of Italian entry into the war. Then, in the immediate post-war period, the same press, despite an initial degree of tolerance, opposed

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R. Griffin, International Fascism: Theories, Causes, and the New Consensus (London: Arnold, 1998); D. Berg-Schlosse, J. Mitchell, eds., Conditions of Democracy in Europe, 1919-1939 (New York: St. Martin’s Press, 2000); J.W. Borejsza, La escalada del odio: Movimientos y sistemas autoritarios y fascistas en Europa, 1919-1945 (Madrid: Siglo XXI, 2002); M. Cabrera, S. Julià, M. Aceña, coords, Europa en crisis (1919-1939) (Madrid: Ed. Pablo Iglesias, 1991).

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the occupation of the Croatian city of Fiume (Rieka) by D’Annunzio and his brethren.2 Even so the sector that was most open to the new nationalist formulas of the period was, without doubt, the Catalan nationalist youth sector. Bitter debates were conducted,3 such as those exemplified by the exchange of articles between two of its leading exponents, Josep Pla (1893-1981) and Josep Vicenç Foix (1893-1987), men who were destined to become among the most notable champions of Catalan culture in the 20th century. It was in this context that the debate over Maurras and his Action Française [French Action] took place. A few years later the row between the writers erupted again over the assassination of the Italian socialist deputy Giacomo Matteotti. The review Monitor [The Monitor] also deserves mention. Spurred on by Foix it published a controversial and well-known positive evaluation of fascism, considering it a bulwark against the post-war tiranies roges [red tyrannies]. In addition, the review underlined the fact that fascism was not opposed to the proletariat, but rather opposed the paràsits, […] els dèspotes del poble [parasites, (…) despots of the people].4 Its final point was that the sole objective of fascism was to restore the greatness of the Italian people. In November 1922 J.V. Foix reaffirmed this admiration in an article published in La Publicitat [The Publicity] confirming that he did not share Josep Pla’s view and applauded Mussolini and his Blackshirts in just the same way as he honoured Lenin or Clemenceau. 2

3

4

Giovanni C. Cattini, “L’edat de la violència i els nous nacionalismes: Els intel·lectuals catalans i l’ocupació de la ciutat de Fiume (1919-1920)”, Projectes nacionals, identitats i relacions Catalunya-Espanya, Ramon Arnabat, Antoni Gavaldà, eds., (Catarroja: Afers, 2012), vol. II., pp. 115-130. Vinyet Panyella, J.V. Foix: 1918 i la idea catalana (Barcelona: Edicions 62, 1989); Marina Gustà, Els orígens ideològics i literaris de Josep Pla (Barcelona: Curial, 1995); M. Guerrero, J.V. Foix investigador en poesia (Barcelona: Empúries, 1996); P. Gómez Inglada, Quinze anys de periodisme: les col·laboracions de J.V. Foix a La Publicitat (1922-1936) (Barcelona: Institut d’Estudis Catalans, 2010). On the historical context of these people, cfr. M. Pérez, La fallida del parlamentarisme (Catarroja: Afers, 2010); Enric Ucelay de Cal, “Vanguardia, fascismo y la interacción entre nacionalismo español y catalán: El proyecto catalán de Ernesto Giménez Caballero y algunas ideas corrientes en círculos intelectuales de Barcelona, 19271933”, Los nacionalismos en la España de la II República, J. Beramendi, R. Máiz, coords. (Madrid: Siglo XXI, 1991), pp. 73-85, and also Enric Ucelay da Cal, El imperialismo catalán: Prat de la Riba, Cambó y la conquista moral de España, (Barcelona: Edhasa, 2003); and I. Saz, España contra España: Los nacionalismos franquistas (Madrid: Marcial Pons, 2003). On the cultural context and the role of intellectuals: Jordi Casassas, coord., Els intel·lectuals i el poder a Catalunya (18081975) (Barcelona: Pòrtic, 1999). Monitor, 4 (1921), pp. 22-23.

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At this juncture Josep Pla went to Italy and began to write about fascism. We should bear in mind that sometime between the end of 1920 and the beginning of 1921, and continuing until 1927, Pla initiated a series of visits to different European countries, becoming an observer of and commentator on the major events of the time for the Catalan press. The vision of fascism he conveyed to his Catalan readers was largely critical. There can be no doubt that he distanced himself personally from any confusion in this regard and criticised Mussolini vehemently in both the conservative regionalist daily La Veu de Catalunya [The Voice of Catalonia] and the Nationalist Republican Catalan daily La Publicitat. In his articles for the regionalist daily he noted that fascism was not a purely idealistic or romantic phenomenon, neither was it a white angel at the service of the landed gentry. It was, in fact, a highly complex movement well able to synthesise its thinking so that el feixisme [era] l’expressió biològica de la transformació de la burgesia i del socialisme italià [fascism (was) the biological expression of the transformation of Italian socialism and the Italian bourgeoisie].5 Although he did not hesitate to compare this form of fascism with the terror unleashed in France after the Revolution, he recognised that once this phase had passed Italian civilisation might take a step onward and upward. In this context, fascism had successfully focused a disillusioned post-war youth that felt betrayed by a bourgeoisie that had enriched itself during the war, and by a socialist party that had remained neutral and had not recognised the sacrifices of Italian soldiers on the field of battle. Pla held that, in the context of the post-war crisis, the Blackshirts embodied the desire of the Italian middle class, the one section of society that had unreservedly supported the war, for order. In this way the hatred for the supposed enemies of the state was channelled against the Italian socialists who, almost to a man, had planted the banner of neutrality. In another article he discarded the notion of seeking parliamentary solutions quan el país demana una dictadura, quan la crisi és a l’entranya de l’Estat [when the country is clamouring for dictatorship, when the crisis is rooted in the very bowels of the State].6

5 6

Josep Pla, “Cròniques d’Itàlia: Tres articles sobre el feixisme: I. Els orígens”, La Veu de Catalunya (LVC) (14/VII/1922). Id., “Cròniques d’Itàlia”, LVC (2/VIII/1924).

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In the autumn, La Publicitat published an important series of Josep Pla’s articles from Italy. The paper had been acquired by Acció Catalana after the group’s formation. Its editor was the historian, expert on ancient Greece and politician Lluís Nicolau d’Olwer (1888-1961).7 Throughout the summer of 1922 the editorial board had undergone a progressive Catalanisation, a process which culminated with the publication of the paper entirely in Catalan. Among its regular contributors we find the prolific historian and Catalan Nationalist Republican politician Antoni Rovira i Virgili (1882-1949). Due to the rupture in the Regionalist League that the formation of Acció Catalana represented, he had stopped writing articles for the Catalan conservative daily that summer. At the beginning of August 1922, just before ending his collaboration, he penned an article on the Italian crisis emphasising that, with the exception of Russia, Italy was on el xoc de la guerra ha produït una crisi anímica més fonda i persistent [where the shock of the war has produced the deepest and most persistent crisis of the soul] and where there was no sign of renewal because the country was unable to break de la roda tràgica de la sang i del foc, amb vaga obrera i mobilització [the tragic cycle of blood and fire, with workers’ strikes and mobilisation].8 In September of that year Rovira Virgili convened the noted conference Els camins de la llibertat de Catalunya [The paths to Catalan liberty] which reflected on the best strategies by which Catalanism might reach its objective of full independence. The conference was critical of intervention in Spanish politics, as practiced by the Regionalist League, and rejected the possibility of federalism, which it considered historically obsolete in the post First World War world. Rovira himself, like the majority of Catalan republicans, had defended precisely this thesis up till then and had even come to severely criticise the Irish Easter Rising of

7

8

R. Tasis, J. Torrent, Història de la premsa catalana, 2 vol. (Barcelona: Bruguera, 1966); J. Passarell, La Publicitat, diari (Barcelona: Pòrtic, 1971). On Acció Catalana, cfr. M. Baras, Acció Catalana 1922-1936 (Barcelona: Curial, 1984); and Albert Balcells, “Estudi introductori”, Democràcia contra dictadura: Escrits polítics, Lluís Nicolau d’Olwer (Barcelona: Institut d’Estudis Catalans, 2007). Antoni Rovira i Virgili, “La crisi italiana”, LVC (2/VIII/1922). On Rovira i Virgili, cfr. Artur Bladé, Antoni Rovira i Virgili i els seus temps (Barcelona: Dalmau, 1984); Jaume Sobrequés, Antoni Rovira i Virgili: Història i pensament polític (Barcelona: Curial, 1999); X. Ferré, La formació del pensament polític d’Antoni Rovira Virgili (Reus: 2004); Id., De la nació cultural a la nació política: La ideologia nacional d’Antoni Rovira i Virgili (Catarroja: Afers, 2005).

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1916.9 In the end Rovira i Virgili opted for Catalan independence and, in principle, did not reject any method, including armed force, for achieving it. Be that as it may, he made it clear that if liberty was to be achieved it would have to be with the support of the majority and that priority had to be given to democratic forms. In this respect the statements of Antoni Rovira i Virgili in his denouncement of fascism were to be clear-eyed. He totally condemned radical nationalism and its colonialist leanings which, he said, had been one of the detonators of the Great War. Nor did he hesitate to censure Mussolini and his Blackshirts. He felt that blame for their rise must be attributed to the Italian leaders who had remained neutral during the disturbances provoked by the reds. This had been a determining factor in the response of the fascists who, at the same time, were staging an armed uprising against the Italian state. After the coup Rovira i Virgili attacked the fascists’ rise to power, even though Mussolini had gained power without bloodshed thanks to the disintegration of the Italian political class. Meanwhile, Josep Pla chronicled events in La Publicitat or the daily El Sol, stressing this new dialectic of the dictatorship. In his posts he drew attention to the possible comparison between Bolshevik and fascist dictatorships, given that both had seized power via the same strategy of staging a coup d’état. After Rovira i Virgili left La Veu de Catalunya, international politics became the responsibility of the daily’s editor-in-chief, the writer Joaquim Pellicena i Camacho (1881-1938). Pellicena made no bones about his rejection of fascism despite growing fascination with the movement among those that favoured order, because of its seeming ability to put an end to social subversion. In this context he thought that, given the collapse of the Italian state’s machinery, the assumption of power by the fascists would make the best of a bad situation as it would serve as a brake on Mussolini himself. Mussolini would find himself obliged to respect the rule of law despite the feared possible rupture of the international political balance. The march on Rome was reported using information supplied by the Havas news agency. On 30 October, Pellicena wrote the daily’s

9

J.C. Ferrer i Pont, Nosaltres sols: La revolta irlandesa a Catalunya (Barcelona: Publicacions de l’Abadia del Montserrat, 2007), pp. 244 ff.

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editorial and spoke openly of dictadura feixista [fascist dictatorship] and confirmed that: Roma [era] el contracop de Petrograd. Mussolini [era] la contrafigura de Lenin. Roma, on nasqué el concepte de dret que ha informat durant segles la cultura occidental i ha superat les tragèdies de la història, havia de ser, naturalment, la seu on fos negada la concepció comunista que amenaçava de destruir des de Moscou la mil·lenària civilització europea. Rome [represented] a counter-blow to Petrograd. Mussolini [was] the antiLenin. Rome, the birthplace of a concept of law that has served Western civilisation for centuries and survived so many historical tragedies had to be, naturally, the source of the negation of the communist ideal that, from its base in Moscow, threatened to destroy the millennial European civilisation.

He ended thus: el feixisme, la dictadura del feixisme, és al poder. L’experiment d’ara superant totes las anècdotes i totes les taques que l’han precedit, serà interessantíssim. Catalunya, unida pels vincles de la geografia, la història i l’esperit a Itàlia, hi ha d’assistir amb atenció exemplar.10 Fascism, the fascist dictatorship, has taken power. The experiment, having overcome all the calumnies and smears that have preceded it, will be extremely interesting. Catalonia, linked to Italy by geographical, historical and spiritual ties, must follow developments with exemplary attention.

The following day Pellicena returned to his theme, taking up Pompeu Fabra’s idea that fascism was a typical post-war movement, un moviment revolucionari realitzat [...] en un sentit oposat a tots els moviments revolucionaris que s’han succeït a Europa des de la Revolució francesa

10 Joaquim Pellicena i Camacho, “La dictadura feixista”, LVC (30/X/1922). Many of his contemporaries pointed out the similarities between the two dictatorships and, as we have seen, so did Catalan intellectuals. For the debate between Spanish intellectuals see cfr. G. García Queipo de Llano, Los intelectuales y la dictadura de Primo de Rivera (Madrid: Alianza, 1988); and M. Peloille, Fascismo en ciernes: España 1922-1930: Textos recuperados (Toulouse: Presses universitaires de Mirail, 2005).

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[a revolutionary movement carried out (...) as the antithesis of all the revolutionary movements that have arisen in Europe since the French Revolution].11 Within the Republican sphere the opposition to the fascist rise to power shown by the daily El Diluvio [The Flood] is significant. The paper did not hesitate to criticise unequivocally the actions of the Blackshirts. On 1 November, its editorial condemned the seizure of power by Mussolini and his band. What seems especially interesting now is how they felt it appropriate then to draw attention to the similarities between Bolshevism and fascism. Emphasis is placed upon how both movements had made their gains through an audacious use of violence and their will to impose a dictatorship. In addition to and in spite of appearances, the causes of bolshevism were economic while those of fascism were purely practical. In reality both used patriotism as the slogan to mobilise their supporters. For the editorial team of El Diluvio the lesson was clear: Italian socialism had committed the strategic error of raising the Red Flag instead of the Italian. There were many critical voices and visions of fascism, for example that of the veteran and highly respected journalist Eusebi Corominas i Cornell (1849-1928). Corominas considered Mussolini’s victory to be un acontecimiento de extraordinaria importancia mundial [an event of extraordinary world-wide importance].12 Restating the complexity of a post World War One world threatened by the Russian Revolution he postulated that fascism could be understood as a remedy to the current situation.

2. Fascism as crisis of European parliamentarianism, democracy and nationalism These reflections on the crisis of parliamentarianism were to open the doors to a subject of great significance. The Bolshevik and fascist revolutions seemed to point towards the denoument of the liberal political systems that had characterised the evolution of the Western states for 11 Id., “La victòria de Mussolini”, LVC (30/X/1922). 12 Eusebi Corominas i Cornell, “Política extranjera: El fascio italiano”, El Diluvio (5/XI/1922).

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the past hundred years.13 Josep Pla wrote several articles analysing the reasons for the crisis of liberalism, especially in Italy where the Ancien Régime made no attempt to conceal its support for Mussolini’s dictatorial methods. Pla had the clarity of mind to see the parliamentary crisis from the broadest perspective and had no doubt in affirming that tots, absolutament tots, tenim la culpa de l’enorme descrèdit del parlamentarisme. Nosaltres del nostre rudimentari parlamentarisme català: els italians del seu parlamentarisme [we, every single one of us, are to blame for parliamentarianism’s total loss of credit. Ourselves for our rudimentary Catalan parliamentarianism. The Italians for their parliamentarianism].14 He was suggesting that the prolonged attacks of the intellectuals on the achievements of liberal policies and their denunciation of parliamentary ills had created a climate of acceptance towards the use of violence and had opened the doors to the option of dictatorship. Josep Pla also drew attention to the fact that, in the Catalan context, the writer and artist Josep Maria Junoy (1887-1955) had been the first to speak of a European crisis before 1914. Ultimately the emergence of fascism had revealed the problem, since arreu del món s’ha aguditzat la crisi de les idees de la democràcia. Això vol dir que és en crisi l’eufemisme, i, en definitiva, els mètodes d’abans de la guerra [the crisis of ideas in democracy has worsened across the world. This means that the euphemism is in crisis; definitively, the methods employed before the war]. In this context Pla reiterated his rejection of fascism even though he understood the reasons for its rise. As he put it, el feixisme ha de ser admès perquè tradueix el sentiment general que vol veure els problemes resolts i […], perquè vol restaurar la dignitat de la política, negada sistemàticament per la democràcia [We have to recognise that fascism is the manifestation of the general desire to see problems resolved and (…) to see some dignity restored to a political scene systematically let down by democracy].15 According to Pla, the general conclusion to be drawn from the post World 13 I have developed this theme in Giovanni C. Cattini, “Democràcia versus dictadura: Els intel·lectuals catalans entre la presa del poder del Mussolini i el cop d’Estat de Primo de Rivera”, Cultura, societat i política a la Mediterrània contemporània: Miscel·lània d’homenatge al professor Miquel Duran Pastor: XIV Reunió de la Xarxa Mediterrània d’Història Cultural, R. Puigserver, E. Ripoll, S. Serra, eds. (Palma: Ed. Muntaner, 2013), pp. 103-116. 14 Josep Pla, “Parlamentarisme i acció directa”, La Publicitat (LP) (21/XI/1922). 15 Id., “La crisi de l’eufemisme”, LP (24/XI/1922).

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War One world, especially if one took into account the experiences of Italy and Russia, was that political hegemony would be imposed by whoever used the most expeditious methods and forsook the practices which had characterised the liberal phase of 19th century states. He continued in this critical vein in another article in which he expressed his concern with the interpretation of fascism as un fenomen general, latent o viu en tots els països, especialment aguditzat a Itàlia per la pobresa del país i per les circumstàncies de la postguerra [a generalised phenomenon, be it latent or vital, in every land but especially severe in Italy due to the poverty of the nation and post-war conditions]. In the same vein Pla defined Mussolini’s movement as a contrarevolució preventiva provocada pel penediment de tota la burgesia por haver anat massa enllà en el camí del reformisme [pre-emptive counter-revolution provoked by the remorse of the bourgeoisie for having gone too far down the reformist road]. This, he reasoned, meant that the future would be characterised by dictatorships of both the upper and lower classes: En realitat, es tendeix a sistemes econòmics molt tancats, governats amb mà de ferro per l’Estat (cas de Rússia) o pels patrons particulars (cas d’Itàlia) [the current tendency is to highly closed economic systems controlled with an iron fist by the state (in the case of Russia) or by private patricians (the Italian case)]16 and predicted that the same would happen in Catalonia and Spain given the cyclical nature of history. In a summary of these ideas written at the start of 1923, Josep Pla denounced Europe’s drift toward Balkanisation, which was giving rise in several countries to a process of descomposició jurídica, política o moral [judicial, political and moral breakdown].17 The outcome of this could be seen clearly in the wave of violence that afflicted every corner of Europe with indiscriminate assassinations, from Bavaria and Hungary to Poland. Lluís Nicolau d’Olwer also commented on current affairs in three pieces which considered the evolution of nationalism in his times. These articles started a debate among contributors to La Veu de Catalunya such as the lawyer and politician Lluís Duran i Ventosa (1970-1954), the previously cited Josep M. Junoy and Albert Sans in the daily El Diluvio. Nicolau underlined the complexity of nationalist phenomena — a concept 16 Id., “Reformisme i feixisme”, LP (14/12/1926). 17 Id., “En començar l’any nou: El bon vell temps de l’absolutisme”, LP (12/I/1927).

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from which it was possible to arrive at totally opposed understandings of precisely what the nation was. He vindicated the nacionalisme del poble sotmès [que] és un moviment de llibertat; de llibertat col·lectiva, per definició; i fins i tot de llibertat individual [...] [nationalism of a subjected people (that) is a liberating movement; by definition a collective and individual liberty (…)]. Catalan nationalism stood opposed to all chauvinism, false nationalism, imperialism and movements of a xenophobic nature. According to Nicolau d’Olwer, el nostre nacionalisme, l’únic que es mereix aquest nom, és una idea generosa, liberal, igualitària; és simplement la declaració dels drets del poble contrapartida lògica de la declaració del 1789 [our nationalism, generous, liberal and egalitarian, is the only one that merits the name. It is nothing more than the declaration of the rights of a people and a logical consequence of the declaration of 1789].18

3. Catalan intellectuals and the coup d’état of Primo de Rivera Primo de Rivera’s coup d’état took place against a backdrop of great international tensions in a Spain whose interior and foreign policies were in turmoil. The reactions among Catalan intellectuals varied greatly. As is well documented19 there was, initially, a sector that favoured the regionalist, conservative picture as painted in the pages of its mouthpiece La Veu de Catalunya, namely that General Primo de Rivera had brought down the liberal government with the aid of the army and that la impressió general era que, havent arribat la situació del país a un grau que no podia empitjorar, qualsevol canvi era una esperança i una millora [the general impression was that, the situation of the country having reached rock bottom, any change could only be for the better].20 The honeymoon did not last long. On 18 September the King signed a decree banning 18 Lluís Nicolau d’Olwer, “Dos nacionalismes”, LP (7/I/1923); “Persistint: Els dos nacionalsimes”, LP (11/I/1923); “Epíleg”, LP (28/I/1923). 19 Jordi Casassas i Ymbert, Jaume Bofill i Mates (1878-1933) (Barcelona: Curial, 1980); Id., coord., Els intel·lectuals i el poder a Catalunya (1808-1975), op. cit.; Id., coord., L’Ateneu i Barcelona: Un segle i mig de vida cultural (Barcelona: RBA & La Magrana, 2006). 20 S.A., “El cop d’Estat militar”, LVC (13/IX/1923; ed. vespre).

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a supposed Catalan separatism and signalled a direct attack on Catalan culture. This anti-Catalan about-face was commented on laconically in an editorial in La Veu de Catalunya which urged serenitat [calm] and circumspecció [circumspection] on the people of Catalonia.21 The case of La Publicitat is quite different. From day one and despite censorship it took up a stance opposed to Primo de Rivera, stating that if political comment was not possible it would turn its attention to altres branques del funcionalisme nacional [other branches of the national function].22 Thus on 20 September 1923, the paper published the decree suppressing separatism alongside an editorial regarding Soviet aggression in Finland. The political message was crystal clear: the struggle of the Finnish nationalists, be they conservative or progressive, was a united struggle. Over time, events were to spur the mouthpiece of Acció Catalana to criticise all media sources that went against what it considered to be the essence of the Catalan people, namely la catalanitat i la democràcia [the sense of Catalan-ness and democracy]. As a consequence it rejected the proposed introduction of a corporate suffrage and the dismemberment of municipal institutions. The La Publicitat piece gave pride of place in its analysis to el vent de dictadura [the winds of dictatorship] that buffeted post-war Europe or, in other words, the determining factors in the fall of the liberal state in much of the western Mediterranean. In this respect part of the responsibility was attributed to the extreme left, given that its disregard for democratic procedures in favour of an ideological utopia had only accelerated the forces of reaction. Between the end of September and the beginning of October Nicolau d’Olwer wrote two articles with a clear anti-dictatorial slant: “Precisant conceptes” [Specifying concepts] and “El triomf del hel·lenisme” [The victory of the Hellenistic].23 In the first article he stressed the need to differentiate the concepts revolució [revolution], pronunciament [military uprising] and cop d’estat [coup d’état]. The first two could be characterised as exceptional and temporary, whereas coup d’état was an altogether more forceful concept in its clarity and made no bones about its desire to endure in time. In the second article he ridiculed the election of the new 21 S.A., “Serenitat i circumspecció”, LVC (20/IX/1923; ed. vespre). 22 S.A., “El dejuni de la política”, LP (13/IX/1923). 23 Lluís Nicolau d’Olwer, “Precisant conceptes: Els mots i les idees”, LP (30/X/1923); “Actual i perdurable: El triomf de l’hel·lenisme”, LP (7/X/1924).

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mayor of Barcelona, destined to be extremely short lived, in response to the professor of Greek Josep Banqué i Feliu. La Publicitat reiterated its democratic credentials, emphasising that it had never expected anything good to come from the commander of the coup and accusing some members of the Regionalist League of submitting without protest to a new dictator bent on repressing Catalan culture. There is no doubt that from day one Republican Catalan intellectuals saw Rivera’s coup as a manifestation of a post-war European tendency. At the same time they never ceased to uphold the need for the democratisation of society in order to withstand a regressive repression. Few intellectuals abandoned their position, with perhaps the most notable exception being Eugeni d’Ors who, leaving regionalist projects behind, quickly closed ranks with the dictatorship. This is illustrated in his comments of 1924, entitled symbolically tal vez el año pasado cierre un paréntesis [Last year possibly ends a digression]. This title was the equivalent of a silent endorsement of the new order, similar in vein to those of William Tell idealising the study of a new, classical and authoritarian order.24 The example of Eugeni d’Ors was emblematic of, yet removed from, the nexus of the Catalan intellectual debate and remains a valuable testimony to a supremely important historic schism. The period spanning Mussolini’s assumption of power to Rivera’s coup d’état was one in which the Catalan intelligentsia debated the keeping of faith with the values of democratic culture at a time in which the world seemed to favour new forms of right or left wing dictatorial government. As we have seen, the majority of writers and leaders of Catalan public opinion rejected any movement towards either extreme.

4. The assassination of Giacomo Matteotti as an incitement to meditations on liberalism, democracy and dictatorship Less than a year after Rivera’s coup d’état the news broke of the disappearance of the socialist deputy Giacomo Matteotti.25 The enormity 24 Maximiliano Fuentes Codera, Un viaje por los extremos: Eugeni d’Ors entre la Gran Guerra y el fascismo (1914-1923) (Girona: Universitat de Girona, 2010) . 25 Giovanni C. Cattini, “Democracy and Dictatorship among the Catalan Intelligentsia:

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of the crime represented an indelible stain on Mussolini’s regime. The negative image of the dictatorship it engendered could, by implication, be applied to any authoritarian regime and especially to that of Spain, given Rivera’s openly expressed admiration for the leader of the Blackshirts.26 Note should be taken of the unanimous condemnation expressed in the pro-Catalan nationalist press; The regionalist paper La Veu de Catalunya, the Federal Republican La Publicitat and El Diluvio all unanimously criticised Mussolini’s crime. Among the general hue and cry it is interesting to recall the comments of Josep Pla. He stated firmly that fascism could be compared to a tumour within European society and he strongly condemned Mussolini and the Blackshirts for the crime committed against el pobre Giacomo Matteotti [poor Giacomo Matteotti].27 At the same time he accused the Italian bourgeoisie of simply using the fascists in order to put an end to the social demands of the workers once and for all. The comments of J.V. Foix in La Publicitat may be considered even more interesting. They merit close attention as he has so often been labelled fascist or pro-fascist because of them and those cited above. The first of his comments appeared in La Publicitat on the 1 July, accompanied by an editorial note reminding readers of the freedom of opinion accorded to contributors. Here Foix intended to respond to Pla’s articles. He had previously had the already mentioned disagreements with Pla in 1920 in the pages of the review Monitor. He now recalled the spirit of that debate, underlining that en el feixisme italià cal cercar-hi quelcom més que allò que té de reacció burgesa [one must seek further than simple bourgeois reaction in Italian fascism].28 Thus he drew attention to elements which he, as a Catalan nationalist, considered worthy of The Matteotti Affair and the Reflections of Francesc Cambó”, Journal of Catalan Intellectual History, 3 (2012), pp. 13-28. 26 On Rivera’s support for Mussolini, cfr. J. Tússel, I. Saz, “Mussolini y Primo de Rivera: Las relaciones políticas y diplomáticas de dos dictaduras mediterráneas”, Italia y la guerra civil española (Madrid: Centro de Estudios históricos, 1986), pp. 171-245; Susana Sueiro Seoane, España en el Mediterráneo: Primo de Rivera y la “cuestión marroquí”, 1923-1930 (Madrid: uned, 1993); G. Palomares, Mussolini y Primo de Rivera: Política exterior de dos dictadores (Madrid: Eudema, 1989); Giovanni C. Cattini, El gran complot: Qui va trair Macià?: La trama italiana (Badalona: Ara Llibres, 2009), pp. 181-203. 27 Josep Pla, “Els crims polítics: Giacomo Matteotti”, LP (19/VI/1924). 28 J.V. Foix, “Aspectes del feixisme: L’expressió d’una voluntat nacional”, LP (1/ VII/1924).

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admiration: the nationalist revolution, heroism, youth, overhawl of the Ancien Régime, the spirit of selfless sacrifice and, above all, the collective manifestation of the national spirit. Ten days later,29 without doubt as a response to the accusations of being pro-fascist that had been levelled at him, Foix returned to the subject of Mussolini’s regime, justifying his passion and hope for the Italian movement by citing another that had caught not only his but the entire world’s imagination: The Soviet Revolution. Foix believed that both shared Engel’s revolutionary vision in common, understood as la més autoritària de les coses: perquè es tracta d’un acte segons el qual una part de la població imposa la pròpia voluntat a l’altra mitjançant fusells, baionetes i canons [the most authoritarian of things, because it consists of one sector of the population imposing its will on the rest by virtue of rifles, bayonets and cannons]. From this perspective he stressed that the true difference between them lay in the people; those who stood for democracy and those who opted for dictatorship. It made no difference if they belonged to one class or one nation. He thus concluded: els que s’interessin pel desenvolupament de les lluites polítiques i socials a Europa, s’han de […] situar en un dels dos camps, en el de la Democràcia o en el de la Dictadura [those involved in the progress of the social and political struggle in Europe must needs (…) make a stand on one side or the other. For Democracy or for Dictatorship]. He ended by stating that we should grieve not only for the murder of Matteotti in Italy, but also for all the Russian Matteottis murdered or exiled to Siberia. Reflections on the complexity of the democracy/dictatorship debate appeared in several editorials in Acció Catalana during July 1924. They dwelt on the impact of the First World War’s extreme violence among the nations of Europe and the virtues of democratic forms in contrast to those of the new dictatorships — and, censorship permitting — there were also meditations on events within Primo de Rivera’s regime. Recently posts in city councils had been suppressed. Previously assigned through a process of universal suffrage, they were now to be filled by persons appointed directly by the military. The central importance of the debate on democracy, liberalism and dictatorship was also the focus of a series of nineteen articles on fascism 29 Id., “Motivacions italianes del feixisme”, LP (11/VII/1924).

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written by the conservative regionalist leader Francesc Cambó (18761947) in La Veu de Catalunya between 16 July and 15 October, 1924. These were collected in a single volume published in various translations a few years later.30 Once again the focus was on the impact of World War One and how it had spawned two movements — Bolshevism and fascism — related by being lleialment antidemocràtics [totally antidemocratic], for rejecting the sovereignty of the people and for assigning control of the government to les minories que, per audàcia, per força, per heroisme, han guanyat el dret a governar damunt dels altres [a minority which, thanks to its audacity, strength and heroism had won the right to rule, 16/IX]. In another article he had no qualms about comparing Lenin and Mussolini despite their differences — the socialist representing a doctrinaire paradigm whereas the other was the man of action personified: Entre Lenin i Mussolini hi ha tot l’abisme que separa el món eslau del món llatí; l’Orient de l’Occident; el visionari solitari que es consumeix en el foc interior, del llatí saturat de l’aire i del sol de la Mediterrània [an abyss separates the Slav from the Latin, Lenin from Mussolini: East from West; from the solitary visionary consumed with inner fire to the Latin, saturated with the sunlight and open air of the Mediterranean, 24/ IX]. True, violence was a common denominator of both Bolshevik and fascist regimes. But equally it characterised the Irish case, suggesting more considered reflection on the limits and contradictions of the use of force (27/IX).

30 Francesc Cambó, “El feixisme italià, I: Feixisme i bolxevisme”, “II: La Itàlia de 1920”, “III: La Itàlia de 1924”, “IV: El desprestigi del Parlament”, “V: Causes i remeis del desprestigi parlamentari”, “VI: La decepció de la victòria”, “VII: Els orígens immediats del feixisme”, “VIII: En Mussolini i el seu feixisme”, “IX: L’evolució doctrinal d’En Mussolini”, “X: Justificant l’evolució d’En Mussolini”, “XI: Característiques essencials de Mussolini”, “XII: La força i la feblesa de la ideologia feixista”, “XIII: Paral·lel entre Lenin i Mussolini”, “XIV: Els fruits de la violència”, “XV:. Les conseqüències de l’assassinat de Matteotti”, “XVI: El present i l’esdevenidor de la revolució feixista”, “XVII: La democràcia i l’autoritat: els moderns Parlaments”, “XVIII: Com s’és transformada la missió de l’Estat” i “Com nou òrgans han de venir a complir noves funcions”, LVC (15, 23 and 30/VII, 6, 13, 20 and 27/VIII, 3, 10, 13, 17, 20, 24 and 27/IX, 1, 4, 8, 11 and 15/X/1924). The book’s title is: Entorn el feixisme italià (Barcelona: Editorial Catalana, 1924; Spanish ed.: 1925; Italian ed.: 1925; French ed.: 1925). The history of the Italian translation and of La nacionalitat catalana by Enric Prat de la Riba, in Giovanni C. Cattini, “Joan Estelrich i l’Expansió Catalana: La traducció de Prat de la Riba i Cambó en la Itàlia feixista”, Cercles: Revista d’Història Cultural,12 (2009), pp. 75-89 .

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The Italian case also permitted Cambó to reflect on the downfall of parliamentary institutions with clear allusions to the situation in Spain prior to Rivera’s coup d’état. The loss of faith in representative institutions was not peculiar to Italy, but was common among European nations and especially pronounced in the Mediterranean states. He traced the decline of Parliament to before the First World War, although that conflict had provided the spur which had finally precipitated the contradictions of that political system. Cambó believed that instead of realising the ideal, democratic, parliamentary conception of the 19th century which had led people to believe in la virtualitat substantiva de fórmules abstractes [the substantive potential of abstract formulas] while hiding els valors reals [real values], it had simply given form to a democratic farce riddled with clientelism and fraud. (6/VIII). Cambó blamed this on the lack of a true civic culture in the country, given that only countries in which the awareness of citizenship was deeply rooted in the people could provide the solid ground upon which to build a true parliamentary democracy as, for example, in Britain. What had occurred in the Mediterranean had been nothing more than a pantomime (13/VIII). He thus concluded that in these circumstances a coup d’état was convenient i desitjable [convenient and desirable], if it put an end to un sistema, un règim infecund i abjecte, que conduïa fatalment el país a la ruïna, a la debilitat, a la liquidació de tots els ressorts i energies vitals d’una nació [a system, a sickly, abject régime that was leading the country to fatal ruin, to weakness, to the elimination of all the resources and life-giving energies of a nation, 20/IX]. In the final articles, in which Cambó weighed up the present i esdevenidor de la revolució feixista [the present and future of the fascist revolution], he returned to the comparison of the Bolshevik and fascist upheavals. He concluded that the world had apprehended from the former el fracàs absolut de la solució integral comunista [the total failure of the all-encompassing communist solution], whereas from the latter one could observe that it had brought un valor positiu indiscutible [an indisputably positive set of values] to Italy. However, he lamented the fact that Mussolini had shied away from taking the revolució feixista [fascist revolution] to its logical consequences: la transformació dels poders constitucionals de l’Estat suprimint, o modificant substancialment,

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el règim parlamentari [transforming the constitutional powers of the state by suppressing or at least substantially modifying the parliamentary regime]. This would have been the key to overturning the system and would have provided an invaluable example to all the Latin peoples. In the final articles Cambó also reasserted his support for the democratic process even though, in his opinion, the results of the public’s involvement in the Latin countries had been disastrous. He continued by denouncing a growing political and economic interdependence between states that was having repercussions on the internal affairs of each country on a scale previously unimaginable. Finally, Cambó proposed that in order to limit the loss of faith in parliamentarianism and, therefore, the danger of falling into dictatorship it would be necessary to promote the rise of a presidential system similar to that of the United States: all the executive functions of power were to be held by the president, while the role of parliament would be simply legislative. Cambó’s prognosis in reference to the Italian context and the future of fascism — he felt that the assassination of Matteotti signalled its impeding fall — bore no relation whatsoever to later events. Mussolini refused to submit to parliamentary opposition and on 3 January 1925, decreed the fascistisation of Italian society, declaring the status of the opposition deputies null and prohibiting and disbanding all associations, parties and unions opposed to fascism.

5. The vindication of democracy in the transitional period of the Spanish Second Republic Within the limitations of legality and under the watchful eyes of the censor the sector of the press with close political and cultural ties to Catalan nationalism followed this process with eloquent concern. The daily La Publicitat tirelessly defended the superiority of liberal democracy to the dictatorial option which had gained widespread support among intellectuals. These articles, in the main the work of Antoni Rovira i Virgili, were also collected and published31 in a book which unequivocally vindicated 31 Antoni Rovira i Virgili, Defensa de la democràcia (Barcelona: Fundació Valentí Almirall, 1930; now, Pòrtic, 2010).

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democracy and liberalism. The tome was suffused with the ideas of Benedetto Croce, well known to Catalan readers of La Publicitat and the more recent Revista de Catalunya.32 Rovira i Virgili dedicated a long piece to the thoughts of Francesc Cambó, describing him as gran enginyer [a great engineer] and a competent administrator well equipped to vèncer les dificultats materials, mecàniques i tècniques [tackle material, mechanical and technical problems]. That said, he felt Cambó lacked the two qualities needed in all good politicians: el sentit de l’orientació fixa [a fixed sense of direction] and la facultat de conèixer els homes i de copsar les realitats humanes [the ability to understand people and grasp human realities]. In other words, Rovira accused Cambó of not subordinating his political ideas to planned policies, but rather of reacting on the basis of a pragmatic Realpolitik that submitted to subjectivisme [subjectivism] rather than a firm understanding of the complexities of reality.33 Without doubt the likes of Antoni Rovira i Virgili and Lluís Nicolau d’Olwer were the most stalwart defenders of liberal democracy during those difficult times. Both, between the end of 1923 and the beginning of 1924, had chosen exile in order to escape from the political pressure applied to critics of the regime. The fact that neither relinquished his commitment to democratic values is highlighted by the articles they published in the press some time later and which were collected in such emblematic books as La defensa de la democràcia [The Defense of Democracy] and Lliçó de la dictadura [The Lesson of the Dictatorship].34 These works remain testaments to a generation that had not been seduced by two opposite extremes. These books appeared shortly before the proclamation of the Spanish Second Republic and represented the most erudite voice in defence of liberal democracy. In La defensa de la democracia, Rovira affirms that el liberalisme és un estat d’ànim i ser liberal té més mèrit que abocar-se cap als extrems […] [liberalism is a state of mind and 32 Id., “Professors, filòsofs i poetes”, La Revista de Catalunya, 7 (1925), pp. 105106; “Benedetto Croce i el lliberalisme”, La Revista de Catalunya, 10 (1925), pp. 406-407. 33 Id., “Notes per a l’estudi dels polítics catalans: Francesc Cambó com a polític”, La Revista de Catalunya, 7 (1925), pp. 221-230. Collected studies in Antoni Rovira i Virgili, Els polítics catalans: Enric Prat de la Riba, Idelfons Sunyo, Jaume Carner, Joaquim Lluhí i Ressech, Francesc Cambó (Barcelona: Tipografia Occitània, 1929; 19782). 34 Lluís Nicolau d’Olwer, La Lliçó de la Dictadura (Barcelona: Llibreria Catalonia, 1931).

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being a liberal has much more merit than being seduced by extremes (…)]. He made this declaration in 1929, just as the first symptoms of the Wall Street crash began to manifest themselves in Europe, but too soon for the author to fully reflect on its profoundly dramatic nature, as its effects were yet to be felt in Spain. On the other hand, the writer reflected on the crisis of democratic values and the instability and regressive tendencies afflicting various European countries at that time. Despite the almost entirely negative world-historical panorama he argued in favour of what he considered to be the uncontainable nature of democracy, maintaining that its intrinsic goodness must be accepted by the majority of the world’s peoples. The republican intellectual considered that man must learn to discern between false promises of a terrestrial paradise and thus make the realistic choice and fight for full democracy, the achievement of which represented the best approach to civil co-existence and national social solidarity. According to Rovira i Virgili the essence of democracy lay in the acceptance of diversity and opposing points of view, ideas and beliefs. This implied the defence of complete civil and religious liberty, which in turn entailed an engagement in the fight to improve the social conditions of the majority. Rovira i Virgili synthesised his liberal reformism thus: l’home liberal, als nostres dies, és aquell que accepta la lluita oberta de totes les idees en el camp teòric i en la vida política com a condició de la convivència humana; que es mira les institucions polítiques i socials com a formes modificables, i que en l’ordre constitucional parteix dels postulats de la democràcia.35 These days, the liberal man is he who accepts the open contention of ideas in the theoretical field and political life as a condition of human co-existence; who sees the possibility of modifying political and social institutions and yet steadfastly holds to the principles of a democratic constitutional order.

Rovira i Virgili remained faithful to his liberal-democratic principles, as is demonstrated in a letter sent to his friend Amadeu Hurtado (18751950) on 7 June 1948. In it he says: 35 Antoni Rovira i Virgili, Defensa de la democràcia, op. cit., p. 112.

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Per a nosaltres la democràcia ha d’anar acompanyada del liberalisme polític (que inclou l’espiritual) i que troba molt respectable aquella denominació que, amb to despectiu, inventà Mussolini: demo-liberalisme. A aquestes alçades la paraula democràcia s’ha fet equívoca. Nosaltres som demoliberals. Nosaltres som demoliberals i amb molt d’orgull.36 For us democracy must go hand in hand with a political liberalism (including the spiritual) which finds perfectly acceptable the term which Mussolini so contemptuously invented: demo-liberalism. At this moment in time the word democracy has become ambiguous. We are demoliberals. We are demoliberals and proud of it.

These words confirm his fidelity to liberalism and democracy, showing an exemplary continuity from the earliest days of crisis in the conflicted post-war world. Conflicts that had brought the liberal experiment to ruin in almost all the northern Mediterranean states. Lluís Nicolau d’Olwer also contributed to the political debate along the same lines. In Lliçó de la dictadura, he insisted that we must not forget what had happened, perquè la dictadura [podia] tornar […] per la mateixa raó que [havia vingut] [because the dictatorship (could) return (…) for the same reasons that it (had first appeared)]. By which he meant that the two main reasons explaining why Primero de Rivera had succeeded were la manca d’esperit democràtic [the lack of democratic spirit] and la fe mandrosa en el providencialisme [the unquestioning faith in providence]. These tendencies needed to be eradicated before they engendered new dictatorships. The book was a collection of articles written for La Publicitat, the paper which, as we have seen, Nicolau d’Olwer edited until his exile following Rivera’s coup d’état. It was during the dictatorship that La Publicitat became essential reading for the Catalan intelligentsia and resistance. In the book Nicolau d’Olwer developed five central themes (Crisis of liberty; Nation and State; Our Catalonia; Character and Intelligence; State-sponsored religion) and finished with an epilogue. Nicolau d’Olwer’s reflections can be placed 36 Antoni Rovira i Virgili, Cartes de l’exili: 1939-1949, Maria Capdevila, ed. (Barcelona: Publicacions de l’Abadia de Montserrat, 2002), p. 566.

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alongside those of the European mainstream in their identification of the significant conditioning factors that had determined the loss of faith in liberal values, democracy and parliamentarianism in his time, seen as a whole as boc expiatori de la purificació [purification’s scapegoat] for the extremist movements that had multiplied after the First World War. That said, the facts led him to affirm that l’atac antidemocràtic ha[via] fallat allà on la democràcia era forta; ha[via] triomfat allà on era feble [the anti-democratic attack had failed wherever democracy was strong; it had triumphed wherever it was weak]. Following this thesis he analysed the relations between different European nations and states, especially those of Central Europe and in the territories disputed by France and Germany, without forgetting the forced process of Westernisation implemented by Mustafa Kemal in Turkey. These realities brought him to focus on the case of Catalonia, calling for vigilance and a greater level of commitment from the citizenry with regard to the historical heritage and its corresponding self-awareness. Nicolau was an optimist and pointed to a rising generation moulded by its mobility and new worldview. In this he shared the views outlined in his La lleialitat a l’època37 [The Loyalty to our Age] by the Catalan Republican Nationalist and future mayor of Barcelona Jaume Aiguader (1882-1943). Despite the vicissitudes of the past Catalan Nationalist Republicans kept faith with the ideas of liberal social democracy. A new generation of republicans, indebted to the ideas of writers like Antoni Rovira i Virgili and Nicolau d’Olwer, reached maturity in the 1930’s. It was the Civil War that decisively severed the bonds between them. With that, the ties between republic and democracy then entered a long autumn.

37 Jaume Aiguader i Miró, La lleialtat a l’època (Barcelona: Arnau de Vilanova, 1929).

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The Shaping of Catalan Identity in the Contemporary World Tom Ha r ri ngton Trinity College

I spent the first weeks of last summer — taking many hours longer than I’d originally intended — reading the new biography of Ortega y Gasset written by Jordi Gracia.1 As has always been the case in my intense contacts over the years with the life and work of Ortega, I felt a schizophrenic mix of irritation and surprised admiration for the subject in question; irritation at his insufferable and apparently infinite egocentricity, for his coquettish and yet hardly ever rounded or entirely coherent arguments, and for his as ever stale and extremely inconsistent pro-Spanish stance; surprised admiration for his prophetic gift, for his power of metaphor and for his ability, on given occasions, to crystallise in a few easily understood pages concepts and ideas of great depth. For me there is no better example of the latter tendency than his essay “Corazón y cabeza” [Heart and Head], published in La Nación of Buenos Aires in July, 1927, in which Ortega invites us to reflect upon the always problematic nature of the process of observing the world which surrounds us: En cualquier paisaje, en cualquier recinto donde abramos los ojos, el número de cosas visibles es prácticamente infinito, mas nosotros solo podemos ver en cada instante un número muy reducido de ellas. El rayo visual tiene que fijarse sobre un pequeño grupo de ellas y desviarse de las restantes, abandonarlas. Dicho de otra manera: no podemos ver una cosa sin dejar de ver otras, sin cegarnos transitoriamente para ellas. El ver esto implica el desver aquello, como el oír un sonido el desoír los demás. Es instructivo para muchos fines haber caído en la cuenta de esta paradoja: que en la visión colabora normalmente, necesariamente, una cierta dosis de ceguera.2 In any landscape, in any space in which we open our eyes, there is a practically infinite number of visible items, of which we are only able to see a very few at any 1 2

Jordi Gracia, José Ortega y Gasset (Madrid: Taurus, 2014). José Ortega y Gasset, Obras Completas (Madrid: Revista de Occidente, 1964), Vol. 6, 149-152.

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given moment. Our line of sight must fix on a small group of them and disregard, abandon, the rest. Put another way: we cannot see one thing without not seeing others, without blinding ourselves to them momentairly. Seeing this implies that same inattention as in listening to one sound but not hearing the others. The realisation of this paradox is instructive in many instances: that when we look at things there is also a certain normal, necessary, dose of blindness.]

More recently Pierre Bourdieu — child of another of the magnificent Pyrenees cultures — has urged us to translate the intuitions suggested at individual level by Ortega to the collective and institutional levels. One way or another he asks us, what are the processes through which the ruling classes of a society induce us to “see this” and “not see that”? Discarding, like Ortega, the false premises and promises of eighteenth century objectivity — a tendency which still needs to be fully revisited in a surprising number of Humanities faculties — Bourdieu urges us to get accustomed to the practice of “epistemic reflexivity”.3 That is, that we learn to identify and be very conscious of the “structuring structures”4 that shape our view of the cultural phenomena around us. As a non-native Catalan speaker resident in the USA who has, due to a series of fortunate circumstances, been able to get a feeling for everyday Catalan life unusual for someone of my geographical/national origin, I have a tendency to reflect often on the problems briefly outlined above, i.e., about how our varied “positionings” with regard to the world can affect our ability to observe and understand the “Catalan fact”. Although hard to admit at times — to dedicate oneself to deciphering alien cultural codes, a certain amount of hubris is essential — there are a series of Catalan cultural realities such as, to cite only a pair of examples, popular proverbs and poetry with deep intertextual roots, which I will never be able to dominate in the same way as a native inhabitant of the cultural system. Even so, I like to think — though I may be fooling myself — that these evident deficiencies in my profile as an analyst of the “inner” reality of Catalonia are, to some degree, compensated for by an ability to see the cultural practices of the country from various external perspectives: firstly as a person who lives very close to the media centre of our so unfortu3 4

Pierre Bourdieu & Loïc Wacquant, Una invitación a la sociología reflexiva (Buenos Aires: Siglo XXI Editores, 2005), p. 69. Ibid. pp. 173-205.

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nately unipolar world, secondly as a student of the processes of national construction in the so-called peripheral cultural systems of the Iberian Peninsula and, finally, as a compulsive tracker of the Catalan presence in North America, the Caribbean and countries of the Southern Cone. In the following pages I will describe how I perceive the dynamic between Catalonia and the rest of the world from my slightly unusual position as allophone, North American, student of Iberia and Catalonia and an Ibero-Atlanticist. Later I will speak, always from my idiosyncratic perspective, of possible ways to amplify awareness of the fascinating nature of the reality of Catalan culture in the world’s collective imagination. For me one of the most attractive aspects of Catalan society in general, and its intellectual facet in particular, is its profoundly civic and personal nature, taking that last term in its most positive sense. It is a true luxury to be able to converse, as we have been doing these past few days in Prada, and as I have been enormously fortunate to do in so many corners of the land, with people who are serious and sincere, not only with respect to their personal research projects, but also to the project of constructing a space of dignity and democracy for one and all. I have the impression that we do not always realise the exceptional nature of this civic and democratic strength, so persistent in the context of the Western world today. In the United States, where we so much like to speak of democracy and civic values, we having nothing remotely comparable in our academic circles. Thirty-five years ago the financial and political elites of our country, frightened by the social upheavals occurring in the period between the anti-war protests which began in 1968 and Nixon’s resignation in 1974, insisted on the separation of the academics, with their increasingly systematic criticism of our way of life, from the nerve centres of power and especially from the most significant arenas of the media. Currently in our academia the crudest social climbing prevails, while the bulk of the population receive the few civics lessons still available either from paid intellectuals at the leading right-wing think-tanks, or from journalists who, lacking true intellectual training, are above all preoccupied with not losing access to the power structure and all that it signifies at the material and professional level.5 The situation has many parallels with 5

See Thomas Harrington, “El ‘Powell Memo’ o el full de ruta per a induir la trivialtizació del discurs polític nord-americà”, Revista de Catalunya, 279 (2012), pp. 98-112.

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the intellectual scene described with such clarity by Julien Benda in his Trahison des Clercs6 written more than twenty years ago. I imagine that by now some of you are murmuring: “this guy is drooling over his new, exotic object of desire”. That he is, like so many foreign lovers of Iberian cultures, a romantic, unable to see further than the Orientalist fantasy that he needs to impose on us. In my honest opinion nothing could be further from the truth. I am very conscious of the locii of entrenched corruption that exist in Catalonia’s public life and I am quite aware — that’s what friends are for — of the endemic problems in the country’s schools and universities. If I wanted, I could speak at length and in detail about these realities. However, there is little I could say, albeit real and having serious effects on the lives of the people, that would detract from what I previously stated. I repeat: In Catalonia there is, in society in general and among those who have achieved the privilege of securing a permanent position in the university or other public institutions, an extraordinary desire to use public influence in order to improve the quality of people’s live. As a student of the past there is a particular aspect of this tremendous civic energy that attracts my attention: the number of people that, with no evident professional or pecuniary motive, dedicate themselves to digging through the archives with the aim of reconstructing a written history of the country. At one level, this mania to recover of the past in a country where the language and narratives relevant to its national reality were prohibited for so many years is entirely understandable. However, were that the only reason we would expect to see the same phenomena, at approximately the same level, in other peripheral nations of the peninsula. But elsewhere nothing remotely comparable to this marvellous army of non-academic historians has been seen. People, some assuredly still amongst us, like Enric Jardí and Josep M. Ainaud de Lasarte, to mention but two of the previous generation that come to mind immediately, are like so many others who have contributed so much to the preservation and dissemination of national memory at present. If we accept the theories of Benedict Anderson about the processes in the

6

Julien Benda, The Treason of the Intellectuals (New York: W.W. Norton Co., 1969). (Trans. Richard Aldington.)

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creation of nations, then this dense presence of Catalan chroniclers cannot be just an anecdotal detail. For him, these missioners del nacionalisme [missionaries of nationalism]7 are a vital element in any movement dedicated to the establishment of and/or profound remodelling of a State. Be that as it may, this understandable and generally healthy practice — can one still say that in these necessarily post-Pujolian times? — of fer país [country making], of looking Catalunya endins [inside Catalonia], is not without its problematic elements. For me, most worrying is the distorting and/or undermining effect that it seems to have on the process, vital in today’s media-dominated world, of building an image that is sufficiently muscular and durable, and therefore convincing, of the undeniable place of Catalonia in the International community over the centuries. Let’s see if I can pin down this idea. One thing that has always drawn my attention as a foreign consumer of Catalonia’s media is the extremely intense and widespread concern with knowing what “the world”, and above all the english speaking press, thinks about catalonian political and cultural reality. Given that we live, as I stated beforehand, in an ever more unipolar world in which the macro-debates on geopolitical interpretation emanate with greater and greater force and fewer and fewer refinements from New York, Washington and London, one can understand why that should be so. But what worries me, even irritates me as Ortega irritates me, is the contrast between the very healthy level of cultural self-satisfaction in the interior of the country, briefly described above, and this attitude, if we really unpack it, of impotent petitioner before the world’s so called powers that be. Why does it bother me? Firstly because it is my conviction — obviously debatable — that, with some oft reiterated exceptions, no state worthy of the name, that is, no state able to provide for the material and spiritual interests of its citizens, has been created based on the fundamental strategy of humouring the great, established powers. 7

The popularising work of these two men, carried out under the Francoist regime and in the early post-Franco era, is vast and of incalculable value to Catalan culture. See, among many others, Enric Jardí, Eugeni d’Ors: Vida i obra (Barcelona: Aymà, 1967), and the work that he organised and wrote jointly with, Prat de la Riba, home de govern (Barcelona: Ariel, 1973).

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Secondly, it bothers me because I am well aware of the prevailing ideas and attitudes at the heart of today’s Anglo-Saxon establishment. The maintenance of an empire requires the development of a wide range of weapons. But the most vital of them all is the ability to instill, at the very least, an attitude of near total disinterest among the people which, expressed at its highest ideal, is one of disdain toward the basic aspirations of the sea of humanity that lives beyond the frontiers of the homeland. From this perspective it is extremely difficult to understand the almost total insignificance of Catalonia, and so many other foreign social phenomena of great intrinsic meaning, in the collective consciousness of the United States, up to and including the most enlightened sections of society. I could cite many examples. I will, however, limit myself to just one of a rather personal nature, but at the same time emblematic of the institutionalised blindness towards “others” that predominates in the country. In the United States university education is seen, above all, as a product and, that being the case, it is a constant objective for marketing campaigns. In my university, as in many others, one method of raising the public profile of the institution is by circulating, in cyberspace and the traditional press, summaries of recent publications by its professors in the media. Recently I had the honour of being the subject of an interview in a well-known booklet here: El món ho ha de saber,8 a publication which, according to the instigators of the project, was sent to the 10,000 most influential people in the world. When it appeared I sent a copy of the English version to the press office of the university with a note of explanation. When the monthly summary of the professorships’ activities came out a short time later there were articles about various colleagues’ activities in columns of extremely varied importance, and also about the appearances of two colleagues — one talking about the aesthetic virtues of commercials during the Super Bowl and another about the recent legal problems of pop idol Justin Beiber — on a local radio station with a maximum broadcast range of around 80 kilometres. There was no mention of El món ho ha de saber. 8

Thomas Harrington, “Havent-ho tingut tot en contra, la vitalitat cultural del català és fascinant”, in El món ho ha de saber (Barcelona: Sàpiens, 2013),pp. 135-137.

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When I spoke about this to the head of the press office shortly afterwards, it became evident that the item’s disappearance from the official summary had not been a case of personal animosity. She simply could not understand how my interview, in a foreign language about a country which was not a state and which she could not even find on a map, could possibly enhance the public prestige of our university in the USA. It is not my intention in relating this to depress you. Rather it is to invite you to reflect seriously about the best methods to achieve an increasingly vigorous circulation of news items about the unquestionable greatness of Catalan culture around the world. Concomitant with this, its existence as a legitimate political subject within so-called Western culture. Or, putting it as an only slightly exaggerated and tendentious question: would the form of our efforts to sell this reality of the fet català [Catalan fact] to the world be different if we knew that items concerning Catalonia in the New York Times, presented as news with a certain importance in the pages of Ara, Vilaweb or La Vanguardia, neither raise interest nor provoke thinking in practically anybody in my country — with the exception of the Catalan expatriate community, a pair of CIA analysts in Washington and a hundred or so academic specialists scattered around the country? To me the answer seems obvious. If the paths of access to the citizens of the most economically, mediasaturated and militarily powerful country in the world are blocked by the existence of a type of induced cultural autism, it is more logical to expend energy in places less closed off to the reception of new versions of reality. On one level Catalonia is exceptionally well placed to undertake a project of this kind. One that, we might say, goes from outside to inside in terms of the map of world geo-strategic power. As Albert Manent,9 Francesc Valls,10 Francesc Roca,11 Josep Maria Fradera,12 Josep Maria 9

Albert Manent (ed.), Diccionari dels catalans d’América: Contribució a un inventari biogràfic, toponímic i temàtic (Barcelona: Comissió Amèrica i Catalunya 1, Generalitat de Catalunya, 1992-1993), 4 vols. 10 Francesc Valls i Junyent, La Catalunya atlàntica: Aiguardent i teixits a l’arrencada industrial catalana (Vic: Eumo, 2003). 11 Francesc Roca, Teories de Catalunya (Barcelona: Pòrtic, 2000). 12 Josep M. Fradera, Indústria i mercat: Les bases comercials de la indústria catalana moderna: 1814-1845 (Barcelona: Crítica, 1987), among many other important titles.

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Delgado Ribas,13 César Yáñez Gallardo,14 Gabriela Dalla Corte,15 Joan Giménez i Blasco16 and many others elsewhere have shown over the years, in the modern era the lines of comunication between Catalonia and the rest of the world are vaster, more intricate and more important than the great majority of its citizens know. If we gave these stories a treatment minimally comparable with what has been done in recent decades at the level of the local micro-histories mentioned at the start of this talk, it would be possible to establish not only good pretexts for new bilateral relations with important emerging countries, but also the foundations for a more engaging or, if you like, a more epic and, therefore, more marketable narrative of Catalan reality — in a world increasingly addicted to, no matter how paradoxical this may seem in societies ever more inundated with micro-information, stories with a global shape and heroic tone. What am I talking about? I’m talking about themes such as, to give just a few examples, the role of Catalans in the Arab world in general and in Tunisia and Algeria in particular, as explorers and merchants of the Orient like Sinibald de Mas and eighteenth and nineteenth-century Catalan entrepreneurs in Andalusia, Galicia and the Basque Country,17 as almost absolute masters of Montevideo and, to a lesser degree, Buenos Aires at the end of the 18th and beginning of the 19th centuries,18 as a vital factor in New Orleans, Charleston and Brunswick in the same period, as key political movers and shakers in the creation of the South American states, as architects, bankers, musicians, urban planners, stenographers, doctors, winemakers, journalists and educators on the entire American continent in much higher percentages than their numbers in the general population. And a lengthy etc.

13 Josep M. Delgado Ribas (ed.), El comerç entre Catalunya i Amèrica (segles XVIII i XIX) (Barcelona: L’Avenç, 1986). 14 César Yáñez Gallardo, Saltar con red: La temprana emigración catalana a América 1830-1870 (Madrid: Alianza, 1996). 15 Gabriela Dalla Corte, Vida i mort d’una aventura al Riu de la Plata: Jaime Alsina i Verjés, 1770-1836 (Barcelona: PAMSA, 2000). 16 Joan Giménez i Blasco, De la vela al vapor (Lleida: Editorial Pagès, 2009). 17 Antoni Segura, M. Teresa Pérez Picazo & Llorenç Ferrer i Alòs (eds,), Els catalans a Espanya 1760-1914 (Barcelona: Editorial Afers, 1996). 18 Thomas Harrington, “El paper desconegut de la ‘factoria catalana’ de Montevideu en els últims anys de la colònia i els primers anys de la lluita per la independència”, Cercles: Revista d’Història Cultural, 17 (2014), pp. 25-51.

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Thanks to Miquel Calçada and other chroniclers that have followed his example, modern-day Catalans know a lot more than their countrymen 15 years back about the extent of the Catalan presence in the world. Even so, I would say that this new awareness of the great, cosmopolitan history of the Catalans has frequently remained at a level little more than anecdotal, thus obscuring what is, in my opinion, the very high level of systematicity in the Catalan manner of operating in other societies. Maybe one more example will illustrate the idea. I suppose that almost all of you have read something concerning the life of Ramon Vinyes of Baranquilla, Colombia, the man who served as the model for the sabio catalán [Catalan sage] in García Márquez’s world famous novel. I recently made a trip to that part of the world. My first impulse was to trace what remained of the material legacy of the writer in the area. However, on reflecting upon my experiences in other parts of the world I changed my mind. I thought, why not use, in the limited time available to me, what I knew about the repeated forms of cultural deployment exhibited by Catalans in other places in an attempt to discover something different and possibly new about the extra-territorial national fact in that region? A few days later I found myself beneath the tropical sun before an early 20th century building ostentatiously decorated with the four red stripes of the Catalonia’s flag. From this point, and within a very small radius, stood various structures carrying the unmistakable marks of Catalan Modernisme. How could this be? The fact is that, as in so many Latin American cities, Cartagena experienced a major construction boom in the period 1860-1920. This process gave rise to what is known as Republican Architecture, which these days is one of the city’smost acknowledged cultural splendours. And, as in so many Latin American cities of that time, Catalan architects and master craftsmen abounded. In the most comprehensive study of Columbian Republican Architecture that I have been able to find, seven architects essential to the movement are identified. Of those, three are Catalan. Even so, Luis Llach,19 who worked in the city as a builder during the early 20th century and later designed the urban plan for 19 Luis Fernando González, Luis Llach: En busca de las ciudades y la arquitectura en América (San José: Editorial de la Universidad de Costa Rica, 2004).

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the jungle city of Quibdó, Chocó province, and then became — always working within the canons of Catalan Modernisme — one of the most important architectural creators in 20th century Costa Rica, is not included. So, again I ask the question outlined above. Should we carry on with more anecdotes or instead depict with grand brush strokes — always aware of the contentious nature of these narratives — the impressive saga of Catalans upon the world stage throughout the last millennium? If we stay at the anecdotal level, that is, simply repeating the same old fascinating but generally disconnected stories of such and such intrepid Catalan here or so-and-so Catalan there, will we consolidate the current situation of Catalan identity, with all its lights and shadows, in the world? To overcome this situation, that is, to be able to slowly present a narrative of Catalan culture to the world that is far more decentralised, but at the same time more cohesive and, thus, enduring, or, if you like, achievable, it will be necessary to put on the table for discussion a series of strongly consolidated tendencies within the Catalan cultural apparatus, practically all of which represent products of very logical and understandable socio-historic concerns. The first of them, to my way of thinking, is the almost exclusively Euro-centric view held by the Catalan elites of inter-cultural relations. Given their enormous intrinsic/symbolic importance — that is, in the context of the long dispute with a Spanish state that has been connected to a far lesser degree with trans-Pyrennees culture — such an approach is entirely logical. Could it, even so, be time to also recognise that there is a potentially significant cost? When my American colleagues — from the north or south of the continental mass — look over the study programmes of Catalan universities, their attention is immediately drawn to the gaping absence of institutional interest in the world’s Western hemisphere. Upon questioning me about this I always tell them what my colleagues here tell me: Catalans today tend to look, as did their ancestors, to Europe. But, knowing what we know about the history of the country, is this explanation really credible? Does it not seem reasonable to ask what there is to lose regarding recyclable cultural material and the enhancement of the nation,when a three-century-long engagement which has had

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enormous economic, cultural and demographic impact on the country is far too often taken as some sort of intellectual digestif? Up to what point would it be reasonable to ask the same question with regard to the intense contacts maintained with the Arab world in the centuries preceding the great Catalan movement towards the Americas in the 18th century? The second topic of analysis, to which I alluded earlier, is the New York obsession, if I may put it that way, of the Catalan intellectual strata. It may seem paradoxical that I should raise the need to question this tendency immediately after claiming the ever increasing need to turn to the Americas. It does, however, make sense when we take into consideration the fact that these fixations have very little to do with an interest in US culture (something of which the Big Apple has very little) per se, and are much more strongly related to New York’s modern-day status as the capital of a previously exclusively European western culture. In this sense this, in my view, short sighted dynamic, can be viewed as a corollary of the problematic extreme Euro-centrism discussed above. A third element acting as an obstacle to a new, let’s say, cosmopolitan focus that I am proposing for Catalan culture is that almost all the feats in question were carried out under a Spanish banner, and not infrequently by Catalans who, for faux de mieux, identified themselves politically, more than anything, as Spanish. It is, at least at first sight, a terrible dilemma. Up to what point can and should the members of an insurgent nation highlight a history experienced as subjects of the same nation that continues to oppress them, presenting them to the world as Spaniards who simply speak a strangely accented Spanish. Considering the question again I believe it possible to see that the dilemma is, more than anything, a derivative of the long-standing Catalan habit of adopting excessively defensive postures when confronted with accusations, explicit or implicit, originating from the Spanish political and cultural establishment. One cannot always be brave. Which occupied nation never had, at certain times, the necessity to take part in business organised by its oppressor? The key, for me at least, lies in the capacity to retain the Catalan way of life in parallel with those inevitable moments of compromise with the greater power.

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For example, at the beginning of the 18th century in Montevideo, the Catalans commanded the city’s royalist forces in their confrontation with the independence fighters of Buenos Aires. A simplistic reading of the facts would maintain that they were the bulwarks of the crown out of love for Spain.20 A closer look, however, indicates that they were, no matter how paradoxical it may seem, realists because they viewed their relationship with a, for them, comfortably distant Spain as the best guarantee for holding onto their way of life, a faithful copy of the social structures of Maresme and of Garraf, that they had successfully established along the River Plate. The final item to discuss, at least from my point of view, is the role played by exile as the central axis of studies on the experience of the Catalan diaspora. When we consider the scale of the trauma wrought by that terrible tragedy, the facts of its enormous human cost that were forcibly silenced for decades, and also the truth that the last survivors of that ordeal will not be with us for much longer, such emphasis is perfectly understandable. Yet I ask, once again with the desire to globally strengthen knowledge of the singular trajectory of Catalan culture in the world, if we have become too accustomed to the idea that the tragedy experienced by the exiles of 1939 in France, Mexico and other parts of the world represents, in reality, the most noteworthy and valuable episode in the retelling of the “Catalan presence in the world”? No matter how important the need to mentally process that awful trauma (and let me assure you it interests me to the point of obsession), could this not be the moment to come face to face again with the enormously positive legacy, with the overwhelmingly protean and decidedly non-victimised legacy of the Catalan presence in the world? In a world in which the shadows of authoritarianism loom larger, could it not be the moment to speak out with pride, freely and frankly, of the many times and many places that the members of a culture — that, according to the reigning logic of the nation-state and empire in the modern era, does not have the right to exist — have been able to outwit the exterminating pressures of others?

20 Harrington, “El paper…”, op. cit.

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I began by talking about sight and the need to be aware of its inherent limits every time we fix our gaze on an object or phenomenon in our environment. Perhaps it seems a cliché. But it is not so when viewed from those places which have lived under repression for so long. The principal objectives of any colonial power are to instill doubt in the colonised population with respect to its own vitality, and to consign the complexity of its own historical culture to oblivion. Stated another way, it is desirable that when the subject looks into a mirror he does so with a made-to-measure gaze, seeing from the preferred angle of incision, which is that of the colonial power. For centuries, Catalonia has resisted the internalisation of the cultural models imposed by Madrid. I believe that no opportunity to celebrate this lengthy feat of resistance should be lost. However, I also believe the cost of living on the defensive for so long — in the formation of attitudes vital to the social and intellectual body — should also be recognised. That is, we have to understand how the struggle for survival often has the effect of minimising or fossilising the view of a people toward its past, and hence toward its future. If the Catalans wish to take the next step along their path to freedom they will have to re-encounter the enormous wealth and variety of their historical influence in the world beyond their frontiers. Doing this is not, as it may at first seem, a cheap exercise in selfencouragement and/or self-esteem. No, as the great theoretician of Israeli culture Itamar Even-Zohar has shown, the success of a cultural system, that is, its capacity to confront the terrible variety of threats that exist in the world with equanimity depends, above all, upon the wealth of and access to a wide gamut of resources and cultural models.21 Fortunately there is no lack of such resources or models in the case of Catalonia. What there does seem to be is a problem of accessibility. For me, now is the time to begin to remedy that situation.

21 Itamar Even-Zohar, “Culture Repertoire and the Wealth of Collective Entities”, in Dirk de Geest et. al. (eds.), Under Construction: Essay in Honour of Henrik Van Gorp (Leuven: Leuven University Press, 2000), pp. 389-403.

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The Regional Rhetoric of the Catalan Francoists Carles Sa n ta c ana Universitat de Barcelona

There can be no doubt that the attribution of some meaning — local, regional, national; archaic, modern; territorial, literary, political… — to any notion of what Catalonia was to Francoists signified at the same time (and depended on) the idea of an underlying Spain. Or, put another way, in the contemporary era it is impossible to distinguish the boundaries between one conception and another. Ismael Saz1 has explained in detail the processes of national definition in those years, more complex than it would seem under a regime that had made the affirmation of Spanish nationality one of its most identifiable symbols. Obviously our intention is not to cover the same terrain, but rather to focus attention on two key junctures at which the projects of the Francoist power structure were formulated and explicative strategies were defined — of the past and present — for a Catalan region comfortably inscribed in a cultural and political account of the Spanish nation. In short, what it was thought that Catalonia should be. The first of these refers back to the immediate post-war period, and places emphasis on the definition of Catalonia and its cultural legacy made by Catalonia’s Francoist intellectuals.2 In the second part we refer to the beginnings of the 60’s, precisely because the interpretations established immediately after the war had already revealed all their deficiencies, and the persistence of specifically Catalan customs provided the authorities with new challenges. They had grave misgivings with regard to the prohibition/permissivity dialectic which, in turn, reflected, in reality, the need for new definitions of the cuestión regional [regional question]. 1 2

Ismael Saz, España contra España: Los nacionalismos franquistas (Madrid: Marcial Pons, 2003). I have dealt with this question in more detail in “Una lectura franquista de la cultura catalana als anys quaranta”, in Carles Santacana, coord., Entre el malson i l’oblit: L’impacte del franquisme en la cultura a Catalunya i les Balears (1939-1960) (Catarroja: Afers, 2013), pp. 45-70.

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1. The real versus the ideal Catalonia With relentless insistence the omnipresent official rhetoric of 1939 demanded the reincorporation of Catalonia into the New Spain. There was no doubt about what this New Spain meant, especially when referring to the national context. However, the definition of the Catalonia that was to be reincorporated was more complex, because it did not only deal with distinguishing between a democratic or authoritarian Catalonia, or the classic distinction between right and left, but also with the clarification of up to what point aspects of the culture and traditions of Catalonia could actually be incorporated into the rhetoric of culture and identity of the regime. In this context the opposing images of what Catalonia had been and should be took on enormous force. The distinctions were both clear and fundamental and counterposed a real and an ideal Catalonia. Although it may appear clichéd to cite a few very well known articles it is, in fact, vital to make reference to some which were published just a few days after the Francoist troops entered Barcelona to clearly see the force of the aforementioned dichotomy. Two of the most significant are the article by the widely experienced Catalan historian Ferran Valls i Taberner, when he affirmed that Cataluña es una realidad viva y no un prejuicio tendencioso [Catalonia is a living reality and not a tendentious preconception],3 and that of the young journalist Carles Sentís, who also expounded this view with crystal clarity in La Vanguardia Española in his article “Finis Cataloniae”, when he declared that the defeat of the Catalan Republic did not signify the end of Catalonia, but simply that of a certain conception: Los últimos días de Cataluña […] la de Durruti […]. Las últimas horas de Cataluña […] la de Companys… la de Negrín… ¡Perfecto! Pero Cataluña es algo más y algo más eterno que eso. Eso no ha sido más que ‘The End’, el cartelito de ‘Fin’ de esta gigantesca ampliación de ‘Scarface’ o de ‘El imperio del Crimen’. Aquella Cataluña acabó; pero la Cataluña real, que

3

F. Valls Taberner, “La falsa ruta”, La Vanguardia Española (15.2.1939).

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diría, vuestro y nuestro caro Charles Maurras, hoy, precisamente, empieza a amanecer.4 The last days of Catalonia […] or of Durruti […]. The final hours of Catalonia […] those of Companys… of Negrín… Perfect! But Catalonia is something more, something more eternal than this. This has been nothing more than ‘The End’, a poster saying ‘End’ of this gigantic enlargement of ‘Scarface’ or ‘Panhandle’. That Catalonia came to an end; but the real Catalonia, how can I put it, your and our beloved Charles Maurras, today, precisely, begins to dawn.

Consequently, the task consisted of a re-elaboration of the points of reference that gave sense to the real Catalonia and of denouncing those of the idealised Catalonia, which would be identified with the cultural artefact that had stood since the Catalan Renaixença. In other words, it was a case of confrontation between the images of a real Catalonia, naturally integrated into a unitary concept of the nation, and that of Catalonia as interpreted by Catalan culture which, naturally, would have distorted historical reality. Obviously, in the political definition of these processes cultural elements carried enormous weight. Hence the grave consequences of the Catalan nationalism’s cultural deformations which became the basis of dangerous and fragmentary political projects. In fact, Valls had already proposed that this had begun with the demands of the Catalan language and traditions and had ended just short of communism or revolution. Similarly, Ignasi Agustí5 reviewed the entire process, beginning with the Renaixença, in his book Un siglo de Cataluña [A Century of Catalonia] (1940). He began with this precise declaration: explícita o tácticamente, los capítulos que siguen como en tropel postulan, desordenada pero férvidamente, por la liquidación lógica y rigurosa de este

4

5

C. Sentís, “¿Finis Cataloniae?: El ‘fin’ de una película de ‘gangsters’, simplemente”, La Vanguardia Española (17.2.1939). Many years later Carles Sentís complained in his memoirs that this article had been misinterpreted. His biased explanation in Carles Sentís, Memòries d’un espectador (Barcelona: La Campana, 2006), pp. 185-192. Agustí has aroused some interest recently. 2013 saw a biography by Sergi Dòria published: Ignacio Agustí, el árbol y la ceniza (Barcelona: Destino, 2013). There was also an anthology of articles: Ignacio Agustí, Ningún día sin línea: El catalanismo español: Antología de artículos (Madrid: Fórcola Ediciones, 2013).

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siglo de Cataluña [explicitly or tacitly, the following chapters postulate, like a disorderly but fervid mob, the rigorous and logical liquidation of this century in Catalonia].6 For Agustí romanticism and liberalism were the root of all evil and that, in Catalonia, had manifested as Catalan nationalism. For this reason it was necessary to look a long way back and denounce such apparently unrelated characters as Aribau and Macià: Desde Buenaventura Carlos Aribau, aquel a quien el corbatín romántico le estrangulaba la amplitud de voz para hacerle balbucear. “En llemosí li parl, que llengua altra no sent…”, hasta la estrella solitaria del presidente Macià, todo ha sido, en este siglo de historia catalana, tentativa de suicidio entre turbios tendales románticos [From Buenaventura Carlos Aribau, he whose romantic necktie strangled the fullness of his voice and made him babble. ‘En llemosí li parl, que llengua altra no sent…’, to the lone star of President Macià, all has been, in this century of Catalonia’s history, an attempt at suicide between murky romantic heaps].7 In order to liquidate this century of Catalonia the most dangerous elements would have to be identified, and in this sense the Catalan nationalist intellectuals had an important role, given that they were considered to be those who had made possible the deception of an idealised Catalonia which had become a danger to the unitary concept of Spain. It followed that the intellectuals became the most dangerous element because they had taken advantage of their social pre-eminence to develop and spread drawn a rhetoric that had little to do with reality. In addition, a clear distinction was established between the conflicts of the underclass with regard to the crisis of the 30’s, and those related to identity. In the former there existed an objective element of conflict of interests, while in the latter the narrative of culture and identity was fundamental. In these respects the role of the intellectuals as creators of the collective narrative was critical. For this reason the intellectuals who had misled an honourable people should be discredited in the same way as the Catalonia’s republican politicians. One of the best examples of mockery was a series of articles published between 1939-40 in Solidaridad Nacional, the Falange’s official organ,

6 7

I. Agustí, Un siglo de Cataluña (Barcelona: Destino, 1940), p. 5. Extract from the article “Un siglo de Cataluña”, included in the collection bearing the same title; see footnote above.

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in the section Fantasmones rojos [red spooks].8 The intention of this allembracing condemnation was to show up the writers, intellectuals and artists who had backed the republic as people of little professional repute, mediocrities who could only subsist by clutching at political straws, and for this reason they spoke of the failure of the pseudo intelectualidad catalana [Catalan pseudo-intellectuals]. In the words of Miquel Utrillo, creator of the newspaper series: En la zona roja se aliaba tan fuertemente lo pintoresco con lo grotesco, que es extraordinariamente difícil deslindar una cosa de otra y establecer una frontera fundamental que las separe. Lo verdaderamente fantástico, en cuanto a este aspecto de la vida se refiere, es que esa mezcolanza se ofreciese, con mayor claridad y precisión que en ningún otro sector, en el que, por fuerza, hemos de llamar intelectual. […] Es en lo que hay que llamar altas esferas de la intelectualidad — y ustedes dispensen el mote — en donde basta con escarbar levemente para tropezar, de pies a cabeza con el espécimen que enunciamos.9 In the red zone the picturesque was strongly allied with the grotesque, making it extraordinarily difficult to isolate one from the other and establish a solid line between them. The absolutely fantastical, as far as this aspect of life is concerned, is that this mongrel is presented with a greater clarity and precision than in any other sector which we are obliged to call intellectual […] it belongs in what we have to call the rarified spheres of intellectuality — please forgive the wording — where it is enough to lightly scratch the surface to collide headlong with the specimen we are putting forward.

Pau Casals, Pompeu Fabra, Carles Riba, Pere Bosch i Gimpera, Eugeni Xammar, Gabriel Alomar, Pere Coromines, Lluís Nicolau d’Olwer or Antoni Rovira i Virgili were the names chosen to signify this, so pernicious in the eyes of Falangists were the intellectuals. For example, Rovira falseando la Historia, desfigurando y adulterando las grandes aunque,

8 9

A complete study in Fantasmones rojos: La venjança falangista contra Catalunya (1939-1940), ed. by Eulàlia Pérez (Barcelona: A Contra Vent, 2009). M. Utrillo, “La Institución de las Letras Catalanas, museo de fantasmones, I: El fracaso de la seudo intelectualidad catalana”, Solidaridad Nacional (23.2.1940).

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en ocasiones dolorosas, verdades históricas, contribuyó, como nadie, a intensificar ese abominable separatismo — que es antiespañolismo y antimilitarismo — considerado para la vida de los pueblos como un maligno epitelioma en el cuerpo político-social [falsifying history, twisting and adulterating the great, albeit at times painful, historical truths, contributed more than anyone in the intensification of this abominable separatism — anti-Spanish and anti-military — considered in the life of a people as a malign epithelioma in the socio-political body].10 Leaving to one side these pseudo-intellectuals condemned to exile, official rhetoric remained in the hands of a group consisting mainly of young people who could think of themselves as having no connection with Catalan traditions — above all because of their youth — and others who wished to distance themselves from or redeem themselves of their past. The most notorious case is that of the previously mentioned Ferran Valls i Taberner, who had almost absolute cultural power from 1939 until his death in 1942: director of the Archives of the Crown of Aragon, president of the Real Academia de Buenas Letras, member of the committee of the Ateneu Barcelonès, professor of the purged university, among many resplendent positions achieved thanks to his explicit renunciation of his past, formulated not only in his famous falsa ruta [false path], but also in Reafirmación espiritual de España [Spiritual Reaffirmation of Spain] (1939), the favourite reference work of the Barcelona’s Francoist culture at that time. Along with him Ignasi Agustí, promotor of the magazine Destino and post-war cultural factotum, is worthy of note, as much for his direction of the Barcelona-based publication as for the fictional universe he created with novels such as Mariona Rebull, in which he painted a particular picture of a Barcelona in conflict, as in his essay Un siglo de Cataluña (1940, op. cit). Valls and Agustí were among the principal exemples of people who, originating from a culture based in Catalonia, now forswore it in order to construct the rhetorical tale of the Real Catalonia that had been led astray by Catalan nationalist intellectuals. Pre-eminent Spanish writers and intellectuals also contributed to the restoration of the old paradigm, insisting on a discourse of integration of Catalonia in Spain that paid little attention to Catalan traditions. Names

10 Juan Francisco Bosch, Solidaridad Nacional (13.10.1939).

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like José María Pemán or Ernesto Giménez Caballero are noteworthy examples of this tendency, often referred to for journalistic or cultural motives in a Barcelona in which the university or the Ateneu Barcelones, which in its early years had an absolute dependency on the Delegación de Prensa y Propaganda of the Barcelona Falange, stood out,11 and from which young men such as Juan Ramón Masoliver or Martí de Riquer operated. As an example of the rhetoric fabricated in these places we can cite various speeches in the Ateneu Barcelonès. Giménez Caballero inaugurated the new era in a famous lecture entitled Cataluña en el amor de un español [Catalonia as an object of love for a spaniard], in which he explained that upon arriving in Catalonia in 1928 he encountered un desvío. Un divorcio. Aquella Cataluña se marchó con franceses, rusos y algo peor; los hombres del 14 de Abril [a deviation. A divorce. That Catalonia which walked side by side with French, Russians or worse; the men of the 14th of April]. In this way Giménez characterised that desviada [derailed] Catalonia, which was alien and republican. Similarly people like Antonio Tovar or Pedro Laín Entralgo appeared at that time in the Ateneu. Significant too are some of the foremost names that undertook the keynote speeches in the “Fiesta de las Letras” organised by the Press Association, among which, notable for its impact, is that of José María Pemán in 1943. In his speech the poet evaluated the Catalan contribution to the synthesis of Spain in the fields of faith, love and fatherland. Synthetically, these contributions materialised in the monastery of Montserrat, at the hand of the writer Juan Boscan, and ended with a poetic call to integration between variety and unity in these terms: El día que las estrofas catalanas de mosén Cinto, cabalgando sobre los ritmos gaditanos de Falla, se levanten y vuelen juntos, la cruz que trazará sobre el atril la batuta del maestro será como una sombra lejana de la Cruz de Alfonso VIII en las Navas, de la Cruz de Isabel en Granada, de todas aquellas cruces que exorcitaron la variedad con la unidad. Vosotros no sois una gacetilla de sucesos locales; sois un capítulo de la Historia del Mundo.12

11 For the post-war role of the Ateneu Barcelonès, see Carles Santacana, “L’Ateneu Barcelonès durant el franquisme”, in Jordi Casassas, coord., L’Ateneu i Barcelona: Un segle i mig d’acció cultural (Barcelona: RBA - La Magrana, 2006), pp. 419-467. 12 “La Fiesta de las Letras”, La Vanguardia Española (6.7.1943), p. 1.

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The day that the Catalan verses of Mossèn Cinto, riding alongside the Cadiz rythms of Falla, rise and fly together, then the cross that the baton of the maestro traces above the lectern will be like the distant shadow of the Cross of Alfonso VIII in las Navas, of the Cross of Isabel in Granada, the exhortation of all those crosses to variety and unity. You are not a column about local news; you are a chapter in the History of the World.

There was nothing strange about the choice of Pemán given the role of Montserrat at that time and the selection of Boscan, the Catalan writer who had converted to writing in Spanish in the 16th century. Verdaguer, on the other hand, began to gain political and cultural ground, as we shall see. Another significant speech was that of the Carlist Esteban Bilbao, president of the recently established Cortes Españolas in 1943. Bilbao took responsibility for the address of 1944, in which he pointed to the notable capacity for integration shown by leaders of the official Spanish position. Amongst other things, he said: ¿Quién se atrevería a negar la fraternidad de las letras españolas? Fue Boscán, un catalán, el amigo de Garcilaso de la Vega y tutor del duque de Alba, el feliz introductor del endecasílabo en la poesía castellana; y fue un valenciano, Guillén de Castro, el autor afortunado de ‘Las mocedades del Cid’; y otro valenciano, Luis Vives, fue la más alta participación en el Renacimiento; y en el castizo castellano escribió uno de sus mejores historiadores, Moncada, la epopeya de esa expedición de catalanes y aragoneses contra los turcos y los griegos. Pero para qué fatigar la memoria con el recuerdo de glorias pretéritas, si fue el mismo Aribau quien en su famosa poesía temblaba de emoción al recordar la lengua vernácula en que rezó sus primeras plegarias y escuchó las canciones de su madre; fue el mismo Aribau el fundador de la Biblioteca de Autores Españoles; y fue Balmes, que tan hondamente sabía sentir el amor a su tierra natal, el pensador ilustre que con más clara visión supo percibir y definir en sus escritos políticos el estrago de nuestras divisiones fratricidas y la necesidad de la unión, de la unión entonces, como tantas otras veces, comprometida por las pasiones políticas, causa posible de su temprana muerte. Para afirmar la hostilidad entre regiones hermanas que juntas acariciaron unos mismos

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ideales y consumaron unas mismas empresas, sería menester no solamente trastornar toda la geografía peninsular y falsificar la Historia, sino, como vemos, martirizar las mismas musas, que en abrazo fraternal sellaron la indisolubilidad de estos pueblos hermanos.13 Who would dare deny the fraternity of Spanish letters? It was Boscan, a Catalan, friend of Garcilaso de la Vega and tutor of the Duke of Alba, it was he who happily introduced the hendecasyllabic to Spanish poetry; and it was the Valencian,Guillén de Castro, the fortunate author of ‘The Youthful Deeds of the Cid’; and another Valencian, Luis Vives, who participated so actively in the Renaixença; and in pure Castilian Moncada, one of our greatest historians, wrote of that epic expedition of Catalans and Aragonese against the Turks and the Greeks. But why tire the memory recalling past glories when it was Aribau himself who, in his renowned poem, trembled with emotion on remembering the vernacular in which he made his first prayers and listened to his mother’s songs; None other than Aribau was the founder of the library of Spanish Authors; and it was Balmes who so profoundly felt the love of the land of his birth, the illustrious, farsighted thinker knew how to perceive and define in his political writing the ravages of our fratricidal divisions and the necessity of union, of union then, as on so many other occasions, compromised by political passions which probably brought on his early demise. To support the hostility between sister regions that together embrace the same ideals and are committed to the same ends it would be necessary not only to distort the geography and history of the entire peninsula, but also, as we can see, to make martyrs of the very muses that in fraternal embrace welded the indissolubility of these brother peoples.

Bilbao concluded that it was necessary to oppose la mezquindad del hecho diferencial [the wretchedness of the differential fact] that came as a result of pasiones políticas [political passions] that had falsified reality. Thus, once again, historical reality stood toe to toe with politicised idealisation.

13 “La fiesta de las letras”, La Vanguardia Española (20.6.1944), p. 6.

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2. Fragmentary localism and provincialism It is clear that accounts of the past carried enormous weight in the definition of Catalan and Spanish reality. As we have already seen, they were decisive in providing arguments for the crystallisation of identities, which in turn justified political rhetoric. Responding to a desire not only to put an end to Catalan nationalist rhetoric, but also to outline the existence of a unitary reality of Catalonia, the need to encourage the rise of localisms and also a provincialism that questioned a coordinated vision of Catalonia took shape. For the supporters of this thesis the peoples of the Catalonia’s four provinces were as much Spanish as those from anywhere else, their only exclusive quality being that of a local identity which connected directly, albeit subordinately, to their overriding identity as Spanish. In order to promote this thesis it was convenient to activate local identities14 that would blur and/or contradict Catalan identity, as the fragmentation of Catalonia’s reality was, in itself, a major objective. Some movement in the direction of the exaltation of local peculiarities was attempted. Not by chance the most notorious of these took place in far-flung corners of the old principality, where the physical distance from Barcelona was easy to exploit in order to awaken a sense of separation from the dynamic of the capital. In all these cases the historical bases were fundamental and, on occasion, supported by new cultural institutions, especially when the motive was provincialist, as was scandalously evident in the case of the Instituto de Estudios Ilerdenses [Institute for Leridan Studies). The two stand-out cases were that of tortosinismo, which held that the city of Tortosa and the lands of the Ebro were not Catalonia and they did not even speak Catalan but rather a supposed Tortosan language. The other was that of leridanismo [Leridanism],15 which also questioned its belonging to Catalonia and at one point spurred the idea of the creation of a province of Valle del Ebro [The valley of the Ebro], which would

14 An approach to this thesis in Carles Santacana, “L’espai local en el franquisme: Aportació historiogràfica i utilització política”, in Identitat local i gestió de la memòria: Actes del VII Congrés d’Història Local de Catalunya (Barcelona: L’Avenç, 2004), pp. 61-80. 15 Miquel Pueyo’s book dealing with the Lleida issue is very interesting, Ni blancs ni negres, però espanyols (Barcelona: Edicions 62, 1984).

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segregate the territory of Lleida from Catalonia. Similarly, the authorities also tried to strengthen the role of provincial institutions, thereby portraying as natural a provincialist alternative to the concept of Catalonia’s unity. Questioning the unity of Catalonia and its language, favouring localisms and territorial fragmentation became a strategy that had its moments of success, but ultimately failed because the concept of Catalonia as indivisible was sufficiently consolidated, independent of the nature of the identity this strategy sought to establish. Quite distinct was the question of barcelonismo, founded upon an intense production of historical material, at times anecdotal and even trivial, but which accentuated the multi-faceted history of Barcelona. Overwhelmed in 1948 by the overkill of the facile history of streets, hidden corners, festivals, dances and other sundry items, Jaume Vicens i Vives stated that the people were ahítos de tanto folklore y tanto provincianismo [stuffed to the eyeballs with so much folklore and provincialism]. Moving on from themes which this type of product could cover, the truth is that the nature of Barcelonism was far more ambivalent than other localisms. In fact, even if the name of Barcelona was, on occasion, used intentionally to obscure Catalonia, on others it was simply a substitute used by some writers when they were unable to refer directly to a Catalonia-related topic and instead turned it solely into a Barcelona issue.

3. Verdaguer and the crossroads of 1945 The Second World War in Europe ended in May 1945. The outcome had been foreseen for some time, and the Francoist dictatorship realised that minor cosmetic changes were going to be needed in order to survive in a context that, initially, would not be favourable. With regard to our subject, this touching-up took concrete form in some modifications to 1939’s Third Triumphal Year rhetoric. A distinctive Spanish organic democracy was set in motion, and manifested itself in this context with the introduction of a certain permissivity towards some expressions of Catalan culture, as exemplified by the authorisation of the choral society Orfeó Català, banned since 1939, which began to function again albeit in a limited fashion. The idea was to allow folkloric and cultural activities of

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an archaic or rural nature, which would be a vehicle in the dialogue with universal culture, and yet in stark contrast to Spanish culture. Underlying this new policy was the idea of a real and an ideal Catalonia, given that these expressions of tradition were considered as “natural”. It had simply been the re-reading and interpretations of a few writers and intellectuals that had embellished them with what was considered political meaning. The man put in charge of the project in July 1945 was the civil governor of Barcelona Bartolomé Barba Hernández. He insisted upon the idea of the integrating Catalonia’s symbols in the Spanish collective heritage. In his memoirs, published in 1948 after his dismissal, he clearly described this commitment: Los catalanistas religiosos y los catalanistas ateos aparecen esporádicamente, de cuando en cuando, pero si queremos hacerles fracasar no debemos oponer un ‘castellanismo’ a un ‘catalanismo’, ponernos enfrente de ellos, adoptar su misma postura. ¡Qué más quisieran! Hoy son cuatro, dispersos e inofensivos; mañana serían cuatro mil, unidos y compactos. Hay que reconocer como nuestro, de todos, lo que ellos quisieran solamente suyo. La Virgen de Montserrat no es sólo de los catalanes, como la Virgen del Pilar no es sólo de los aragoneses, ni la Macarena de los sevillanos; si ellos sacan las cosas de quicio, nosotros debemos situarlas en su verdadero lugar.16 The religious Catalans and the atheist Catalans show up sporadically from time to time, but if we wish to ensure their failiure we must not set up ‘Spanishness’ in opposition to ‘Catalanness’, but rather put ourselves in their shoes and adopt the very same posture. What more could they desire! Today there are four of them, dispersed and inoffensive; tomorrow there will be four thousand, united and homogeneous. We have to assume as our own all that which they consider as theirs and theirs alone. The Virgin of Montserrat is not just for the Catalans, in exactly the same way that the Virgin of Pilar is not exclusively Aragonese, or the Macarena Sevillian; If they take things out of proportion, then our job is to return them to their rightful place.]

16 Bartolomé Barba, Dos años al frente del Gobierno Civil de Barcelona y varios ensayos (Madrid: Javier Morata, 1948), p. 27.

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Thus the importance of the battle to give cultural and symbolic concerns a given value was made evident. In this sense the coincidence between the new international order and the leanings of the government is, with regard to our subject, an especially significant field of analysis in the case of the poet Jacint Verdaguer, precisely because the centenary of his birth was in May 1945. For Joan Samsó the official commemoration provides a turning point between the stage of uninhibited uniformity and a new policy in relation to Catalan culture consistent a mistificar-lo com si fos una particularitat localista i, la llengua literària, com a vernacle espontani de condició espanyola [Consisting of its mystification, as if it were a localised peculiarity, and the literary language as a condition of spontaneous vernacular Spanish].17 What must now be emphasised is the official interest shown in assimilating Verdaguer as a central pillar of the Francoist reading of Catalan culture. To this end a Centenary Committee was established, presided over by the civil governor, Antonio Correa Véglisson (who was replaced a month later by Barba), and in which Gabriel Arias Salgado, education under-secretary, also took part. The committee was formed by local authorities and luminaries such as Felip Mateu i Llopis — director of the Central Library — and UB professors José M. Castro and Martí de Riquer. A solemn ceremony was held in Folgueroles, involving the four governors of Catalonia’s provinces. The writer Juan-Ramón Masoliver, member of the Falange and one-time propagandist covering the event for La Vanguardia Española, emphasised the enthusiasm of a people who responded to Verdaguer con justas poéticas, con las danzas de su niñez y la solemnidad del que fue su sagrado misterio [with poetic competitions, with dances from his childhood and the solemnity upon which was based his sacred mystery].18 More official in tone but following the same line of argument Correa, the governor, exalted su obra, como cantor y sembrador de las glorias de Dios y de España [his work as a maker of songs and sower of the glories of God and Spain], affirming that the monument that he unveiled was dedicated to una figura de estirpe gloriosa y con honda raigambre catalana y española, a veces no del todo 17 J. Samsó, La cultura catalana, entre la clandestinitat i la represa pública (Barcelona: Publicacions de l’Abadia de Montserrat, 1994), vol. 1, p. 58. 18 J.R. Masoliver, “Mosén Cinto en Folguerolas”, La Vanguardia Española (5.6.1945), p. 9.

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bien comprendida por todos sus contemporáneos [a figure, not always well understood by all his contemporaries, of glorious lineage with deep Catalan and Spanish roots].19 The press devoted a great deal of space to the commemoration and the event, and official publicists like Manuel de Montoliu and Félix Ros insisted upon Verdaguer’s Spanishness and religious inclinations while ignoring his role as driving force in Catalan literature. Curiously, Verdaguer aroused a notable interest in Valencia. The university and Lo Rat Penat put on an official commemoration in poetry, in which the son of Teodor Llorente took part. Naturally, this Valencian commemoration stressed the relationship between the poet and Valencia’s Renaixença, which was not valued as highly, in political terms, as its Catalan counterpart. As logic would have it, this official commemoration did not go unnoticed in Catalan circles either at home or abroad. The attempt by the Francoist authorities to appropriate Verdaguer was enormously limited, above all because the authorised works had to be published with a spelling that predated the Catalan Academy’s mandatory version, making it seem somewhat archaic and more suited to epic, grandiloquent oratory which was of little practical use and divorced from reality. In stark contrast was the type of commemoration organised by those in exile,20 which strove to present the poet’s popular standing as proof of the vitality of the Catalan language, and the role of Verdaguer as poeta nacional de Cataluña [the national poet of Catalonia]. From exile the official commemoration was observed in the following terms: allò que sorprèn, si tinguéssim encara reserves de sorpresa, és que els camarades vulguin homenatjar un home que fou representació d’una llengua que han perseguit, persegueixen i si poguessin perseguirien, amb un delit digne de millors empreses; d’una llengua que han injuriat qualificant-la de dialecto bárbaro y malsonante. En llur indigència mental, ho expliquen dient que Verdaguer és important sota un aspecte purament folklòric.

19 La Vanguardia Española (5.5.1945), p. 9. 20 A wide-ranging reference to activities and editions from exile in L. Soldevila, “Commemoracions verdaguerianes a l’exili europeu i iberoamericà el 1945 i 1952”, Anuari Verdaguer, 16 (2008), pp. 159-173.

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what is surprising, if we can still be surprised, is that the comrades should want to pay homage to a man so representative of a language that they have hunted down, persecuted and if they could would stalk with a delight usually reserved for greater enterprises; a language that they have demeaned, labelling it a barbarous, ill-sounding dialect. According to their impoverished mentality they explain this away by saying that Vergaguer’s importance is purely folkloric in aspect.

A collaborator of the republican Quaderns in Perpignan even went so far as to claim aquesta commemoració insincera i no sentida és, més que un greuge, una profanació [this insincere, senseless commemoration is more a profanity than a grievance].21 For its part, the Generalitat in exile created a committee of honour formed by Pompeu Fabra, Joan Amade, Carles Cardó, Pau Casals, Pere Focuhé, Ventura Gassol, Joan A. Güell, Rafael Patxot, Josep Sebastià Pons and Antoni Rovira i Virgili. The diversity of the committee is representative of the desire to strengthen Verdaguer’s role as the cultural nexus of all the exiled communities, as is testified to by the presence of canon Carles Cardó. Apart from the activities promoted by the Generalitat, the Quaderns of Perpignan dedicated a monographic issue to him, and in the capital of Roussillon there was a commemoration day with mass presided over by a monk from Montserrat, an academic event with Fabra, Alavedra and Rovira, and also a musical performance by Casals. Numerous acts of remembrance also took place among exiles in America. For all these reasons the power of a myth, at the same time folk and cultural, is very significant, as are the diverse readings that it gave rise to. With regard to Verdaguer it was possible to emphasise his religious tendency, or his expression in the common language, or of his Renaixença inflected Catalanness which coexisted comfortably the Spanish nation, as happened in L’Atlàntida, or treat him as an exponent of the Catalan that produced myths such as Canigó. In this way he could be used by the Francoists who wished to absorb him, while at the same time unifying the diverse sectors of the resistance in exile which wished to uphold him as poeta nacional [national poet] 21 C.A., “Profanació”, Quaderns d’Estudis Polítics, Econòmics i Socials, 6 (June 1945), p. 35.

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without forgetting the undeniable attraction of his last years and his confrontation with the Comillas, seen as a confrontation with the powerful. For this reason Vaerdaguer was more important as a symbol than for his literary value. As Olivia Gassol has pointed out, the post-war resistance in exile needed més que models estètics, símbols culturals que poguessin ser erigits a categoria de nacionals; figures amb prou força per assegurar la capacitat representativa tant de l’esfera cívica com de la política i literària. I calia, tanmateix, fórmules que poguessin ser enteses i acceptades per certs sectors de la cultura oficial, perquè del que es tractava era de fer-se un lloc en la societat; de recuperar, en definitiva, la carta d’existència més enllà dels mateixos escriptors que, sense un mercat literari al qual acollir-se, havien estat durant una dècada, la del 1940, els únics consumidors dels propis productes. El joc de malabars que resultava de la difícil maniobra d’encaixar la literatura catalana en l’univers teòric de la cultura espanyola oficial no deixaria enrere ni contradiccions ni polèmiques.22 rather than aesthetic models, cultural symbols that could be raised to the stature of national ones; figures that were strong enough to ensure their representative quality in either the civic, political or literary spheres. Equally necessary were formulas that could be understood and accepted by sectors of official culture because its underlying intent was to carve itself a place in society; to recover, definitively, a lifeline that went beyond the same old writers who, having no literary market to which to adhere, had been the selfsame consumers of their own product during the decade of the 40’s. The juggling tricks that were the result of the difficult manoeuvre of situating Catalan literature in the theoretical universe of official Spanish culture left behind neither contradictions nor polemics.

In addition, the debates we have cited with reference to 1945 did not have the same meaning a few years later when the 50th anniversary of the poet’s death was celebrated, in a different context, in 1952. The 22 Olívia Gassol, “Verdaguer, Maragall, Espriu: L’evolució de la imatge de poeta nacional durant la postguerra”, in R. Panyella and J. Marugat, eds., L’escriptor i la seva imatge: Contribució a la història dels inteŀlectuals en la literatura catalana contemporània (Barcelona: L’Avenç, 2006), pp. 271-272.

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operations of Ruiz Jiménez’s ministry were under way and Carles Riba had become a privileged speaker. It was a moment in which a completely new dialogue was attempted, parapolitical in outlook and transcending the meaning of literature.23

4. A return of the “differential fact” in the 60’s The policy implemented in 1945 was not substantially different from that of the previous decade. Culture, as the axis of the definition of identity, kept its place in official rhetoric though it was complemented legally by a certain permissivity towards expressions of Catalan as a strictly poetic or novelistic language. For this reason the few exceptions that were able to raise analytic or interpretive questions relating to what Catalonia was and that originated from its own culture attract our attention. The most relevant was the historical essay by Jaume Vicens i Vives, Notícia de Catalunya [Report of Catalonia],24 published in 1954, at almost the same time as the first legal edition in Spain of the essay by the philosopher Josep Ferrater Móra, Les formes de la vida catalana [The Forms of Catalan Life], that had originally been published from exile in Chile in 1944 and which formed part of the volume Reflexions sobre Catalunya [Reflections on Catalonia] published in Barcelona in 1955. The emergence of this new style of reflection went alongside an evolution of Catalan society in which significant sectors looked again to a communal conscience that wished to be, at one and the same time, a statement of intention and the resolution of the divisions produced by the Civil War.25 This phenomenon, hand in hand with the rise of a new generation, resulted in the incorporation into the anti-Franco resistance of Catholic Catalan sectors practically unheard of until that time. Once 23 Regarding the importance of these poetry encounters, see Jordi Amat, Las voces del diálogo: Poesía y política en el medio siglo (Barcelona: Península, 2007). 24 The historian Jaume Vicens i Vives (1910-1960) is a central figure in the post-war culture of Catalonia. His career is a good example of the difficulties of adapting to the situation while at the same time showing independent initiative. See Cristina Gatell and Glòria Soler, Amb el corrent de proa: Les vides polítiques de Jaume Vicens Vives (Barcelona: Quaderns Crema, 2012). 25 A synthesis of these changes in Carles Santacana, “Superar la Guerra Civil: Un reto cultural y político en la Cataluña de los años cincuenta”, La España de los cincuenta (Madrid: Eneida, 2008), pp. 307-225.

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again a cultural affirmation would transform into a space in which both left and right wings of Catalonia’s opposition could converge, making this aspect fundamental in the rethinking of the role of Catalonia; be it as a statement; be it as a subsidiary consideration. It is in this sense that such disparate but significant events took place between 1960 and 1962, like the Catalan nationalist protests known as the fets del Palau during a concert by the choir Orfeó Català (1960), the founding of Edicions 62 (1962) — dedicated exclusively to essays that leaned left and were destined to connect the world of Catalan culture to universal points of reference —, or the founding of the Òmnium Cultural (1961) by businessmen who had embraced Francoism in the post-war years. These few examples are sufficient to illustrate that a rethinking of Catalonia was under way, both culturally and politically, and that official action or, at least, official reflection was required. The fact is that, in the political arena, it was evident that after two decades of dictatorship the relationship between the regime and Catalan society was ambivalent. Naturally the regime enjoyed appreciable support, yet at the same time the economic and political elites were only marginally integrated into official political life, almost without exception as representatives of local power, though in a few exceptional examples with access to real power. The civil governor Felipe Acedo Colunga (1951-1960) attempted a greater integration of the economic elites, although the experience was limited to town councils that had been filled since 1939 by home-grown political personnel. What happened was that Acedo, head of the most entrenched and bureaucratic sectors of Barcelona’s falange, promoted high-ranking people from the Catalan bourgeoisie and civil society. But the lack of representation at diverse levels of central power — the only thing that really mattered in such a uniform and centralised regime — persisted. So notorious did the problem become that in 1957 Franco named Pere Gual i Villabí, previously Secretary for Employment, as Minister without portfolio as a gesture of recognition towards Catalonia’s economic elites still unable to find their political niche. Little more than a symbolic ministro catalán [Catalan minister], he had practically no defined political responsibilities. Also in 1957 Josep Maria de Porcioles was named mayor of Barcelona. He was presented as a breath of fresh air for the slow and bureaucratised

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machinery of the Barcelona City Council and a political stimulus to government action in Catalonia. The symbolic weight of Operación Cataluña was sanctified in May of 1960 with the solemn presence of Franco in Barcelona, various ceremonies and the convening of a meeting of the council of ministers. Given this framework, how was Catalonia to be rethought and redefined at the beginning of the 60’s? If we wish to discover what the regime thought — beyond official proclamations — we have access to a significant and privileged source of information; to wit, the records of the secret sessions held by the Consejo Nacional del Movimiento in 1962.26 For openers, it is significant that from the very start of these sessions, whose only concern was topics of political interest, one of the first acts of the council was to set up a committee whose objective was to analyse las tendencias disgregadoras [the separatist tendencies] observed in Catalonia and the Basque Country.27 The committee requested several reports, some of little value as they were couched in official rhetoric while others maintained the role of Catalonia following the orthodoxy of the texts of José Antonio, such as, for example, that of the falangist José María Fontana. Many aspects were covered, from the role of the church to demographic variables. In support of the thesis propounded in this essay and in order to lend continuity to the initial policies of the years 1939-1945, we will concentrate on the reports which accentuated the cultural question, written by the falangist José Farré Morán and by Martí de Riquer. Riquer enlisted voluntarily in the Francoist forces as a member of the Tercio de Nuestra Señora de Montserrat and when he wrote this report was a professor of Romance languages at the University of Barcelona.28 The reports requested from Farré and Riquer had the same title: El problema del idioma, la política cultural del régimen y las

26 A full analysis of the material generated with relation to the case of Catalonia in Carles Santacana, El franquisme i els catalans: Els informes del Consejo Nacional del Movimiento (1962-1971) (Catarroja: Afers, 2000). 27 Recently, Professor Mikel Aizpuru has studied the documents referring to the Basque Country. The results will appear shortly in the Revista de Estudios Políticos under the title “Nacionalismo vasco, separatismo y regionalismo en el Consejo Nacional del Movimiento”. 28 Martí de Riquer played an outstanding part in the post-war cultural and academic milieu emanating from his positions in the Falange, the Ateneu Barcelonès and especially the university. An approach in his biography by Cristina Gatell and Glòria Soler, Martí de Riquer: Viure la literatura (Barcelona: La Magrana, 2008).

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peculiaridades de la vida universitaria, cultural y artística de Cataluña [The problem of language, political culture of the regime and the distinctive features of university, cultural and artistic life in Catalonia]. These are the most critical reports on official policy while at the same time those with the closest relation to the definition of policy with respect to Catalan nationalists. They are of interest because they openly posit the connection between language, autochthonous culture and the juncture between identity and politics. In short, the links between culture and politics. With regard to the Catalan language, described in the title as problematic, neither of the authors was in favour of the situation current at that time. For Farré the language was no more than a question of sentiment, and for that reason campaigns such as hablad en cristiano [speak Christian] had been inappropriate. But by 1962 there were no easy solutions because by now the repressive policies — unlike during the first period of prohibition — had become a weapon against the regime. Farré argued that it was necessary to identify various conditioning factors: firstly, a bilingual reality, even though Catalan predominated in day to day exchanges; and also the validity of Catalan: no puede ignorarse su existencia, ni se consigue nada con medidas que intentan reducirlo a lengua de familia [its existence cannot be ignored, and there is nothing to be gained by measures which seek to reduce it to a language solely to be used in-family]. In addition there was the decisive fact of the cultural preoccupations of important minorities and the political interests associated with the use of the language. In this context the most important thing for Farré was to separate the linguistic and political questions, a factor he believed to be favoured by the changing generations. Farré criticised the Catalan falangists who looked down upon the language as a spoken or written medium, above all writing in Catalan. For Martí de Riquer the question was quite simple. In the first place it was necessary to remember that Catalan was not just the language of day-to-day life, but had also been the official language of the administration until 1714. Riquer’s fundamental argument was based on the fact that, regardless of the consequences, Catalonia was a region of Spain and for that reason the Spanish state was obliged to accept it and its cultural baggage, language included: En todo lo que afecta a Cataluña hay que partir siempre de la base de que ésta es un región

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española, un pedazo de España. Aunque parezca lógico esto, tan elemental, a veces parece haber sido olvidado estatalmente [The starting point for any question related to Catalonia is that it is a region of Spain, a piece of Spain. Although this may seem logical, elementary even, it seems to have been overlooked, at times, by the state].29 In this sense, Riquer stated that the naming of Castilian as Spanish was politically counter-productive. On the contrary, what was needed was for the state to appropriate Catalan as its own in order to de-politicise it. For Riquer si se procede de este modo no hay que temer que ocurra nada malo, al contrario, se mina la posible razón de ser del separatismo y se le arrebata el argumento que con mayor tenacidad ha esgrimido y esgrime [if we proceed in this way we have nothing to fear. Quite the opposite. The raison d’être of the separatist movement will be undermined and its arguments devalued much more effectively].30 All because, according to Riquer, even though Catalan was not really prohibited, in the minds of the Catalans it was. Starting from this general principle, Riquer established two contexts for the evaluation of the linguistic problem: in education, and the presence of Catalan among the public. With regard to university education, he proposed that voluntary courses in Catalan grammar should be offered, stipulating that great care should be taken in the selection of the teachers. They would have to be muy bien escogido desde el punto de vista político [very well chosen from the political standpoint]. The fundamental question was that of the need for the university to officially offer these studies in order to counteract clases más o menos particulares de instituciones que presumen de ser clandestinas, haciéndose la ilusión de que conspiran en una catacumba [more or less supposedly clandestine private classes given in institutions under the illusion that they are conspiring in the catacombs], a clear reference to the Institute for Catalan Studies and to the Estudis Universitaris Catalans. With respect to public expressions of Catalan, Riquer emphasised that censorship rules applied equally to all parts of Spain. Censorship specific to books published in Catalan did not

29 Martí de Riquer, “El problema del idioma, la política cultural del régimen y las peculiaridades de la vida universitaria, intelectual y artística de Cataluña” (Archivo General de la Administración, Presidencia-SGM, caja 9843), p. 3. 30 Ibid., p. 4.

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exist. Referring to magazines and newspapers, he saw no danger in their authorisation so long as their financial backers were known and the censors remained on the alert. His opinion on the authorisation of newspapers is especially significant: Quizá lo hábil sería autorizar un diario en catalán que no pudiera ser una tribuna política, reducido a lo informativo y cultural. Con ello se acallarían las protestas de ciertos sectores, que se exclaman porque no se autoriza prensa catalana. No creo equivocarme, pero me parece que un diario en catalán, no respaldado por una política regionalista, tendría poca circulación y seguramente poca vida. Pero bastaría que hubiese “vivido” unos meses para que desapareciera el pretexto de la persecución.31 Perhaps the wisest course would be to authorise a newspaper in Catalan that could not be a political platform, reduced to the informational or cultural. Thus the protests of certain sectors that cry out because the press in Catalan is not authorised would be silenced. I have no doubt that a newspaper in Catalan which lacked the backing of a pro-regionalist policy would have a small circulation and be short-lived. It would be enough for it to have “lived” for a month or two for the pretext of persecution to disappear.

Speaking of the press, Farré criticised that the organ of the Movimiento de Barcelona dedicated almost no space to expressions of Catalan culture, tal vez por un sentido equivocado de pureza política y de fidelidad al régimen [perhaps because of a misplaced sense of political purity and loyalty to the regime].32 At the same time he regretted that the falange had abandoned the management of the magazine Destino. As mentioned above, the other question of relevance was that of censorship. Farré believed it necessary, but prohibitionist tactics should be put aside because they reflected badly on the regime. The authorisation of cultural expressions should be more “natural” and “normal”. Current policy was illogical because, whether authorising or prohibiting, it produced negative effects.

31 Ibid., pp. 11-12. 32 José Farré, “El problema del idioma…”, p. 57.

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No puede conseguirse en la actual táctica de “concesiones” o “prohibiciones”, combinadas con mejor o pero fortuna. Visto así, el problema tiene una grave derivación: las concesiones son consideradas como un triunfo, como una debilitación del Estado. A nadie escapará el peligro de este resultado. 33 Nothing can be achieved with the current tactic of “concessions” or “prohibitions” in combination with good or bad luck. Seen in this way, the problem has a serious ramification: concessions are considered a triumph, a weakening of the State. No-one may remain unaware of the danger of this situation.

On the subject of cultural policy, Riquer raised two emblematic questions; the Institut for Catalan Studies (IEC) and the literary contest known as Jocs Florals. Regarding the IEC34 (footnote) he suggested that advantage could be taken of the fact that its patrons had tired of their role by returning the institution to its origins with the Diputació of Barcelona, including among its members new blood that was not necessarily Catalan nationalist. He also pointed to the possibility of reviving the Jocs Florals, of little cultural value but with great symbolic importance. These examples should be part and parcel of a policy attractive to Catalan nationalist intellectuals: Creo que es fundamental realizar una hábil política de atracción de los intelectuales catalanistas, que no es tan difícil como podría imaginarse. No se trata de “pactar” ni de adoptar peligrosas actitudes de “conllevancia”, sino sencillamente de captarlos, con lo que el Estado gana una baza y la pierde el separatismo.35 I believe it fundamental to skilfully carry out a policy that will be attractive to Catalan nationalist intellectuals, and that it is much less difficult than one would imagine. It is not about “making deals” nor adopting risky attitudes of “getting on together”, but, simply speaking, of an ensnarement by means of which the state will gain the upper hand and separatism will lose out. 33 Ibid., p. 50. 34 The clandestine path of the IEC can be traced in Albert Balcells, Enric Pujol and Santiago Izquierdo, Història de l’Institut d’Estudis Catalans: De 1942 als temps recents (Catarroja: Afers, 2007). 35 M. de Riquer, op. cit., p. 19.

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The strategy outlined by Riquer is exemplified in the cases of Carles Riba and Josep Maria de Sagarra. Of the former he said he had not known how to win him over. Of the latter he said: Sagarra ha sido una excelente baza del Estado contra el catalanismo, el cual lo que desea es precisamente lo contrario, o sea intelectuales perseguidos, y hubiera preferido mil veces un Sagarra encarcelado o incluso fusilado, para tener un mártir al estilo de García Lorca [Sagarra has been an excellent card for the State against the Catalan nationalists who wish for the exact opposite; that is, to be persecuted intellectuals. They would have very much preferred to see Sagarra put in prison or shot in order to have a martyr of the standing of García Lorca].36 After their deaths Riquer considered that Catalonan nationalism was losing its great intellectuals, a fact which would smooth the way for the policy of entrapment. The remaining important player in the cultural field was the role of the university. Riquer complained that no decisive policy had been implemented in 1939 to strengthen the University of Barcelona and thus undermine the prestige of the Republican Autonomous University. This had been an error. On the situation in 1962, Professor Riquer highlighted that the majority of students, including those from prestigious families — dignas, distinguidas, o ricas [honourable, distinguished or rich] — were opposed to the regime. Farré considered the fundamental problem to be the Spanish Universities Union (SEU), not only as a conduit for the social concerns of the Catalan students, but also in providing a Spanish sense to the distinctive features of Catalan culture. The solution had to be, thus, twofold: Catalan students should have an in-depth knowledge of Spain as a whole, and that the SEU should channel the cultural concerns of the Catalan students by teaching them about their own country, a través de un ‘Centro de Estudis Catalans del SEU’, que ya fue creado y que prácticamente no funciona por carecer de apoyo político y material [through a Centre for Catalan Studies of the SEU that already existed but had practically no functions due to the lack of political and material support].37 Speaking bluntly, Farré complained above all that the only actions of the regime were censorship and prohibition, depriving itself of

36 Ibid., p. 20. 37 J. Farré, op. cit., p. 47.

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any positive, guiding function in the sense of incorporating the bulk of the Catalans into a regime which they could consider as their own. Beyond the “recipes” for cultural action proposed by Farré and Riquer, other reflections emanating from the committee merit some attention. Namely, of the definitions of what comprised the “problem”, what stood out were what was considered to be the excessive weight of Barcelona, the exclusion of Catalonia’s governing minorities from Spanish national life, the ignorance of Catalan culture in Spain and the error of the Movimiento in not understanding how to integrate elements of the reality of Catalan that did not have any anti-Spanish meaning. In short, the viewpoint of the committee implied the recognition of a problema catalán [Catalan problem], not as a potential separatism, but rather as a consequence of an insufficient integration on the part of the state which had not elaborated a systematic policy with this objective. It was a totally unheard-of acknowledgement from the Francoist leadership. However, the need for Catalan integration was not to be resolved through solutions that took the legal status of the region into account. In other words, the existence of “regional specificities” was recognised, be they historic, cultural or geographical, and then they were translated into easily recognisable communities. But this raised doubts about the correct response, which ranged from the absolute denial of their institutionalisation to ambiguous formulas for achieving it: Se podrían autorizar reuniones periódicas supraprovinciales del Movimiento, y sindicales de ámbito regional, como una primera experiencia en un terreno sobre el que forzosamente la convivencia nacional exige avanzar despacio. La figura del Gobernador General, prevista en la vigente legislación aunque hasta ahora no haya sido utilizada en la práctica, podría, excepcionalmente ser considerada. Pero una política de descentralización sobre base regionalista no parece aconsejable y, menos aún, ante una empresa de desarrollo nacional que tiene que perseguir una línea orgánica de crecimiento del organismo de la Patria, tanto en sus facetas espirituales como en las materiales. Pero en las áreas potencialmente regionalistas, las autoridades, las jerarquías y los cuadros del Movimiento, deben quedar imbuidas de una cuidadosa mentalidad positiva respecto de los aspectos

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diferenciales fomentándolos en lo que tenga o puedan tener de orgánico y corrigiéndolos en cuanto puedan amenazar de desintegración.38 Periodic multi-provincial meetings of the Movement and of regional trade unions could be organised as a first experiment in a field where the demands of national coexistence indicate we must proceed little by little. The position of Governor General, foreseen in the current legislation although in reality never put into practice could, under exceptional circumstances, be considered. But a policy of decentralisation over a regionalist base does not seem advisable. Even less so in the face of an enterprise of national development that must follow an organic line of growth in the body politic of the Homeland, whether it be spiritual or material in nature. But in the potentially regionalist areas the authorities, the hierarchies and the ranks of the Movement must be carefully infused with a positive mentality with respect to differential aspects, nurturing those with an organic tendency and correcting those that could threaten disintegration.

In short, the debate between the recognition of or rejection of what was known as hecho regional [the regional reality], and above all its possible channelling by the authorities, continued. This was clearly stated in one report’s conclusions: Ante el hecho regional, no sólo catalán, sino de toda España, se considera que en las condiciones y problemas que rigen la situación actual, los inconvenientes y peligros excederían, con mucho, a las ventajas en cuanto al reconocimiento de la región como entidad administrativa, tanto si se hiciera para todas las españolas, como para una de ellas en particular. Pero ante la realidad de los hechos y la necesidad de enfocar muchos problemas bajo un ámbito regional (estudio y ordenación de determinados aspectos del desarrollo, planeamiento físico territorial, etc.) conviene que cualquier actuación que se considere necesario realizar a este respecto quede vinculada, tanto personal como institucionalmente, en torno al Movimiento Nacional o de personas muy estrechamente adscritas al mismo.39 38 Report of the committee’s full session, approved on 12th July, 1962 (AGA, Presidencia-SGM, caja 9839). 39 Conclusions of the report issued by the Third Committee of the First Commission of the National Council of the FET y de las JONS (AGA-, Presidencia-SGM, caja 9839, pp. 2-3).

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In the face of the ‘regional reality’, not only of Catalonia but of all of Spain, it is believed that, given the conditions and problems governing the current situation, the disadvantages and dangers far exceed the advantages with regard to the recognition of the region as an administrative body, whether it be done for all Spain or just for one region in particular. However, given the facts of the matter and the need to focus many problems in a regional context (the study and ordering of determined aspects of development, territorial physical planning etc.) it is desirable that any action considered necessary in this respect should be associated, on a personal or institutional level, with the National Movement or with people closely related to it.

This interest in proposals of a local-regional context by leaders of the Movement provoked the intervention of Fueyo once more, who considered that the defence of languages like Catalan or Basque had to be the business of members of The Movement: Yo preferiría que los defensores del vasco, del catalán, del navarro, del asturiano, fuesen los hombres del Movimiento. No se dejase esto en el vacío para que hasta el baile de la sardana se convirtiera en un hecho político. Creo que hay una serie de intereses económicos que afectan a Cataluña y que deben ser defendidos por el Movimiento.40 I would prefer that the defenders of Basque, Catalan, Navarran, Asturian be members of the Movement. This should not be left floating in the void until even the dancing of the sardana becomes a political statement. I believe there are economic interests affecting Catalonia and that they should be defended by the Movement.

Such was the situation. At the beginning of the 60’s, Catalonian cultural and political activism and the reflections contained in the reports of the National Council of the Movement show that since 1939 the official world had acted with great reservations toward Catalan cultural points of reference and had enormous difficulty in generating a discussion of political identity that took them into account. Precisely for this reason, 40 Shorthand text of the session convened by the Third Committee of the First Commission of the National Council of the FET y de las JONS (AGA, Presidencia-SGM, caja 9839, pp. II-1).

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beginning in the mid 50’s, these elements were revitalised by a culturalpolitical activism which bestowed an operational value upon them. If there were doubts emanating from the official world about the explicit recognition and limits of the Catalan region, various non-official initiatives during the 60’s implied the reconstruction of an “ideal” Catalonia, albeit different from that of the republicans.41

41 A reflection regarding this question in Carles Santacana, “Sobre las rupturas y las continuidades en los años sesenta”, Cercles: Revista d’Història Cultural, 16 (2013), pp. 31-52.

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A Shattered Mirror? The Ethics of Remembering Catalan Culture in Exile Helena Buffery University College Cork

1. Introduction: A Shattered Mirror? One of the more remarkable phenomena of the past decade or so in Catalonia has been the relative intensity of negotiation of the places of exile memory, particularly when compared with what Enric Pujol and others call the “relegation of exile” during the transition to democracy.1 The year 2000 saw both the first exhibition on Catalan exile in the Museu d’Història de Catalunya, with the Perequartian title “Una esperança desfeta” [a shattered hope],2 and the development of plans for the construction of the Museu Memorial de l’Exili in La Jonquera (although the latter was not inaugurated until 2008). Between 2002 and 2006 there began to be more political commemorations of the experience of exile, with the Llei de mesures de suport al retorn de catalans emigrats [Law on measures to support the return of Catalan emigrants, 2002],3 and homages in the Catalan parliament to different protagonists and phenomena, such as the Orfeó Català de Mèxic and the parliamentary presidents in exile. Political recognition of an unpaid debt to the past culminated in the creation of the Memorial Democràtic in 2007, thus providing a wider institutional framework in which the hidden cultural and political histories from 1931 to 1980 can be recovered and remembered. Furthermore, the 70th and 75th anniversaries of key dates in the 1

See, for instance, Enric Pujol, “L’exili: Ruptura, continuïtat i renovació identitària”, Les identitats a la Catalunya contemporània, Jordi Cassasses, ed. (Cabrera de Mar: Galerada, 2009) and Montserrat Duch Plana, “A l’entorn dels usos públics de la història: Desmemòria republicana en la Catalunya autònoma”, La II República espanyola, Montserrat Duch Plana, ed. (Tarragona: Publicacions Universitat Rovira i Virgili, 2007), pp. 269-97; Quimeres: Sociabilitats i memòries col·lectives a la Catalunya del segle XX (Tarragona: Publicacions Universitat Rovira i Virgili, 2012). 2 Various Authors, Una esperança desfeta (Barcelona: Museu d’Història de Catalunya, 2000). 3 .

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Spanish Civil War have been punctuated by a rich variety of cultural events and activities designed to provide access to historical memory of the resistance to Franco and the struggle for democratic freedoms, as set out in article 54 of Catalonia’s statute of autonomy.4 The aim of this chapter is to explore aspects of the ways in which Catalan exile culture has been remembered over the past decade in order to consider the function it has performed — if any — in constructions of contemporary Catalan identity. Beginning with a brief theoretical framing that engages with the problems of an ethics of memory of (rather than in) exile, it will go on to reflect on attempts to define a shared understanding or “meaning” of Catalan exile culture, before focusing on performative analysis of a particular corpus of memory acts. This performative focus has itself governed the choice of case studies, drawn primarily from the field of theatre and performance. However, it is an approach that is in some ways at odds with the project of uncovering the evolution and continuity of Catalan cultural identity, because of its emphasis on the plural, dynamic and dialogical character of identity-in-performance. This very problematic was played out in the context in which the material in this chapter was first presented, through audience expression of a significant level of hostility towards recognition of a debt to Catalan culture in exile, prioritising instead the role of communities of resistance within the Països Catalans. It is for this reason that more detailed attention to the ethics of memory has been introduced here, in order to attempt to contextualise the problems of identification with the historical experience of exile. The title of this chapter is, then, deliberately ambiguous and is intended to maintain the ambivalence surrounding the talk from which it originated, delivered as part of a course on Nation and Identity in Catalan History in August 2014 at the Universitat Catalana d’Estiu (UCE) in Prades de Conflent that brought together different historical perspectives on the evolution of Catalan identity from Catalonia’s emergence as a nation to the present day. I could have elected then to approach the topic from a historical perspective, focusing on the ways in which Catalan culture was maintained in exile after the end of the Spanish Civil War 4

Parlament de Catalunya, Estatut d’Autonomia: Text consolidat (Barcelona: Parlament de Catalunya, 2012), 4th edition, p. 44. .

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and on the importance of Republican exile individuals and communities in ensuring the continuity of a sense of shared cultural and political identity.5 In fact, this might have been particularly appropriate given the UCE’s own history as an institution constituted in exile in 1968. However, even though such an approach has played a part in my research to date, in particular in terms of the role of cultural practice in creating environments of memory for the transmission of Catalan cultural heritage, but also in terms of the heterogeneity of “cultures” in exile, due to contact with different temporal and spatial contexts,6 I decided it was more pressing to address the question of how Catalan exile culture is remembered and reenacted in the present.7 How does it relate to the here and now; what political, cultural, identity questions does it raise? Such a move allowed me to temporarily circumvent a thorny epistemological problem in exile cultural historiography, that is, the extent to which the exile paradigm”, as Mari Paz Balibrea calls it,8 has been linked to the primarily nostalgic interests of the national, leading to a narrative framing that focuses on suturing the rupture produced by the expulsion of the exiled individual or community in the service of the preservation and continuity of a national culture and identity across time, to which all of its constituent parts must remain loyal.9 More importantly, it allowed me to respond to the more immediate context of the 1714-2014 Tricentenary commemorations and planned Diada demonstration in favour of the right to vote on Catalan independence. For, at a time when Catalan

5 6

7 8

9

I was invited to speak on any aspect of Catalan exile culture, but the specific title included in the programme was La cultura catalana en el món de l’exili [Catalan culture in the world of exile]. See, for instance, Helena Buffery, “En un lugar llamado México: compromiso local y recepción transnacional en la obra de Maruxa Vilalta”, El exilio republicano de 1939 y la segunda generación, Manolo Aznar Soler and José Ramón López, eds. (Sevilla: Renacimiento, 2011), pp. 370-79; “Maruxa Vilalta: Memoria de un olvido”, El exilio teatral en México, Juan Pablo Heras, ed. (Sevilla: Renacimiento, 2015), in press; and also my edited volume Stages of Exile: Spanish Republican Exile Theatre and Performance Cultures (Oxford: Peter Lang, 2011). The broad concept of re-enactment used throughout this paper is drawn from Rebecca Schneider, Performing Remains: Art and War in Times of Theatrical Reenactment (London and New York: Routledge, 2011). See, especially, Mari Paz Balibrea,“El paradigma exilio”, Nuevo Texto Crítico, XV-XVI, 29/32 (2002-2003), pp. 17-39, and Tiempo de exilio. Una mirada crítica a la modernidad española desde el pensamiento republicano en el exilio (Madrid: Montesinos, 2007). See Luisa Elena Delgado, La nación singular: Fantasías de la normalidad democrática española (1996-2011) (Madrid: Siglo XXI, 2014).

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culture is being radically reconstructed around calls for self-determination and statehood, it is notable that the experience of exile is less visible as a significant place of memory, with focus shifting to more recent grievances and, of course, to the traumatic losses (and heroic resistance) of the Spanish War of Succession.10 If anything, as became plain in participant discussion during the UCE course, it is the ambivalence and plurivocity of early twentieth-century democratic memory and exile that appear to have made it problematic as a place of memory for twenty-first century post-democratic Catalonia.11 Yet it is also important to recognise that if the vision of culture represented by the Catalan Republican exile is a shattered mirror, this is at least in part because of the lack of care dedicated to transmitting this historical memory during the 1980s and 1990s, which is why it becomes necessary to reflect on what this forgetting tells us about the difficulties facing an ethics of memory of exile.

2. Reframing an Ethics of Memory of Catalan Culture in Exile Contemporary critique of the cultural politics of memory has tended to focus on what Andreas Huyssen has diagnosed as an atrophied historical consciousness,12 linked to an obsession with the fetishization, nostalgic commemoration and melancholic repetition of the past rather than the responsibility to reimagine the future. Memory Studies scholarship has been committed to investigating the normative political instrumentaliza10 For instance, amongst the places of memory cited in the 145-page Sàpiens publication Catalonia Calling: What the World has to know (2013), which was sent out to international readers to enable them “to discover the past and present of Catalonia, as well as the future that most Catalans would like to define for ourselves”, there are very few references to the experience of exile at all, in spite of concern to represent the nation’s “international leanings”. The only named political refugee is, perhaps unsurprisingly, Josep Trueta and his book The Spirit of Catalonia (Oxford: Oxford University Press, 1946). 11 Jordi Sales expresses this idea repeatedly in the early chapters of La captivitat inadvertida (Cabrera de Mar: Galerada, 2013). For more sustained discussion of the plurivocity and ethical ambivalences of exile, see Sebastiaan Faber, Exile and Cultural Hegemony: Spanish Intellectuals in Mexico, 1939-1975 (Nashville: Vanderville University Press, 2002); Clara Lida, Caleidoscopio del exilio: Actores, memoria, identidades (México: El Colegio de México, 2009). 12 Andreas Huyssen, Present Pasts: Urban Palimpsests and the Politics of Memory (Stanford: Stanford University Press, 2003);Twilight Memories: Marking Time in a Culture of Amnesia (London and New York: Routledge, 2012).

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tion of historical memory, countering this by negotiating and revealing the plurality of memories of historical events and in the deconstruction of hegemonic narratives.13 Driven by an epistemic responsibility to investigate how memory discourses contribute to our understanding of culture and society, it thus might be seen to be underpinned by ethical responsibility to a plurality based in alterity. However, the very diversity of approaches and of memories means that it too runs the risk of being a symptom rather than a diagnosis of what Sepp Gumbrecht calls our “broad” or “dilated present”,14 leading to the need for increasing reflection on the ethics as well as the politics of memory: What should we remember? How and why? Is it a duty, a debt, as posited by Paul Ricoeur?15 Or a responsibility? Who is the “we”? In an idiosyncratic essay on The Ethics of Memory,16 Avishai Margalit draws a distinction between ethics and morality in order to associate ethics with the thick relations of families, friends, lovers, neighbours, clans, tribes and nations, and morality with the thin relations of a common human condition. In doing this, he does not so much undermine philosophical projects since Levinas to define an ethics of alterity,17 based in recognition of the call of the other, or what Agamben defines as the bare human,18 as indicate the rootedness of an ethics of memory in historical contingency. Indeed, his conception of the association between thick relations and nation, “as a paradigmatic ethical community of the modern era”,19 might itself be seen to be rooted in his background as

13 Paloma Aguilar Fernández, Memoria y olvido de la Guerra Civil Española (Madrid: Alianza Editorial, 1996); Joan Ramon Resina, ed., Disremembering the Dictatorship: The Politics of Memory in the Spanish Transition to Democracy (Amsterdam: Rodopi, 2000); Helena López, “Políticas culturales de la memoria: El caso de la exposición Literaturas del exilio en el Centro Cultural de España en México”, Hispanic Research Journal, 12.3 (2011): 260-74. 14 Hans-Ulrich Gumbrecht, Our Broad Present: Time and Contemporary Culture (New York: Columbia University Press, 2014). 15 Paul Ricoeur, “Reflections on a New Ethos for Europe”, Paul Ricoeur: The Hermeneutics of Action, Richard Kearney, ed. (London: Sage Publications, 1996). See also Morny Joy, “Paul Ricoeur and the Duty to Remember”, Paul Ricoeur: Honouring and Remembering the Work, Farhang Erfani, ed. (Lanham: Lexington Books, 2001). 16 Avishai Margalit, The Ethics of Memory (Cambridge, Massachussetts, and London: Harvard University Press, 2004). 17 Emmanuel Levinas, Ethics and Infinity (Pittsburgh: Duquesne University Press, 1985); Alterity and Transcendence (New York: Columbia University Press, 1999). 18 Giorgio Agamben, Homo Sacer: Sovereign Power and Bare Life (Stanford: Stanford University Press, 1998). 19 Margalit, Ethics…, p. 76.

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Schulman Professor of Philosophy at the Hebrew University of Jerusalem. Furthermore, he does not discount either the project of “transforming humanity into an ethical community of caring and shared memory” or the “the question of whether humanity, as a moral community, ought to have some minimal shared moral memories”.20 Rather he indicates the pragmatic obstacles in the way of constructing supports for such shared memories: But even if such a thin notion of memory shared by the whole of mankind is desirable and important, the politics of constructing this memory is immeasurably difficult. It is hard to form effective institutions that will store such memories and diffuse them. Such institutions are likely to be bureaucratic and soulless. Memory is too tied to the idea of immortality to expect that anonymous humanity can serve as a community of commemoration when it fails miserably as a community of communication.21

Margalit’s discussion is punctuated by a number of key concepts underpinning his conception of the kernel question of whether there are “things that, ethically, we ought to remember”:22 the separation of ethics from morality; the relationship between memory and caring; the need for a moral witness, an ethical agent for remembering; and the distinction between commemoration as communication and as revivification. Most important of all from the perspective of the memory of Catalan exile culture at issue here is Margalit’s concept of “shared memory” which he represents as being vital to the ethos of care at the core of thick relations, and dependent both on effective communication and on revivification: “But I believe that shared memory as a cement for the community involves a far more ambitious sense of live memory, a sense not unlike the one involved in revivification through myth”.23 Such a framing is of immediate relevance to the question of (dis) remembering exile because it alerts us to the lack of a “shared memory”, in Margalit’s sense, which might equally be attributed to problems of

20 Margalit, Ethics…, pp. 77, 78. 21 Margalit, Ethics…, p. 79. 22 Margalit, Ethics…, p. 16. 23 Margalit, Ethics…, p. 67.

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transmission as to the rupture in thick relations produced by expulsion from the “natural” community. But it also provides a frame for understanding the ethics of memory in exile. If, as posited by Sebastiaan Faber,24 the notion of the exile as uprooted intellectual is dangerous as an ethical model, it is not only because of the “thin-ness” of the relations this evokes (“Isn’t exile of all times and of all places?”)25 but in part because of the simultaneous rootedness of exile experience, the source of whose “virtuous” pain is precisely in the expulsion from the particular home.26 For Faber, the figurative use of exile as an ethical model “minimizes the concessions, negotiations and struggle for legitimacy that generally mark the exile’s existence”: “issues of employment, legal status, housing, or access to the means of intellectual production (publishers, media outlets, and the like)”.27 By comparing the respective positioning of Edward Said, Max Aub and Francisco Ayala, Faber is simultaneously able to lay bare the extent of Aub’s painful awareness of this ambivalence, and to explain the political instrumentalization of figures like Ayala who sought to rise above their historical contingency. Paradoxically, [Ayala’s] celebration of a de-institutionalized, de-politicized cosmopolitanism ended up facilitating his own individual reintegration into his homeland… The extent to which Ayala’s meticulously independent trajectory paid off is illustrated by the fact that in 1992, the year of the Quincentenary, he received the prestigious Cervantes prize, awarded by the Spanish Crown to authors from Spain or Latin America… Ayala’s carefully crafted self-image allowed King Juan Carlos to smooth over two gigantic, uncomfortable rifts in one single sweep: the postcolonial conflict between Spain and its former overseas possessions,and the still very much unsettled tension between the two warring camps in the Spanish Civil War.28

In contrast, “Aub… advocates — and lives — a conscious affiliation with a political collective, whose identity is based on a shared 24 Sebastiaan Faber, “The Privilege of Pain: The Exile as Ethical Model in Max Aub, Francisco Ayala, and Edward Said”, Journal of Interdisciplinary Crossroads, 3, 1 (2006), pp. 11-32. 25 Faber, “The Privilege…”, p. 11. 26 Faber, “The Privilege…”, p. 26. 27 Faber, “The Privilege…”, pp. 11, 28. 28 Faber, “The Privilege…”, p. 21.

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trauma — banishment — and a shared ideal: a return to a Spain free of Franco”.29 As interpreted by Faber, Aub’s understanding of the ethical ambivalence of the exiled intellectual provides the grounds to question an ethics of exile, crucially because “[e]xile destroys much more than it enables, and one should think twice before celebrating or romanticizing it in any way”.30 But this very critique of the grounds for an ethics of exile at the same time silently invokes an ethics of memory, through presentation of Aub’s relationship of solidarity and representation to the larger community of the displaced. Returning to Margalit, the collective memory to which Aub is committed may appear to be at odds with the philosopher’s formulation of “shared memory”; indeed, at one point, he draws on Benedict Anderson to illustrate this: “Why do we not erect monuments for the unknown social democrat or for the unknown liberal, as well as for the unknown soldier”, implying the impossibility of an ethics of memory outside the thick relations of “‘natural’ communities of memory”.31 In effect, Margalit provides the key to understanding how and why the memory of Catalan culture in exile is ethically grounded whilst the memory of Catalan cultural exile is not so, due to the lack of an anchor in a shared past from which to construct shared memory. But should we leave matters there or does his essay offer some pointers as to the construction of shared memories? The relation between a community of memory and a nation is such that a proper community of memory may help shape a nation, rather than the nation shaping the community of memory. A nation is a natural candidate for forming a community of memory not because of the temporal priority of the nation. It is in the contents of the shared memories, such as a common origin or a shared past, that nations are interested in.32

As formulated by Margalit, the concept of shared memory is differentiated from common and collective memory as something more than a simple aggregate of individual memories; for it to be achieved, communication is necessary, in order to integrate and negotiate these 29 Faber, “The Privilege…”, p. 30. 30 Faber, “The Privilege…”, p. 31. 31 Margalit, Ethics…, pp. 25-6. 32 Margalit, Ethics…, p. 101.

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different memories. In modern society, shared memory “travels from person to person through institutions, such as archives, and through communal mnemonic devices, such as monuments and streets”;33 in other words, through what Pierre Nora has defined as the creation of “places of memory”.34 Taken together with Margalit’s summary recognition that what he understands by “natural” ethical communities are in fact to be seen as “social constructs”,35 it becomes possible to see how both shared memory and the mutual caring which is its condition can be constructed through communication and, above all, through what he calls revivification: What does the power, or rather the illusion of power, to bring to life by collective memory amount to? … It strongly indicates that a community of memory is a community based not only on actual thick relations to the living but also on thick relations to the dead. It is a community that deals with life and death, where the element of commemoration verging on revivification is stronger than in a community based merely on communication. It is a community that is concerned with the issue of survival through memory.36

It is this concept of revivification, and the way in which it extends the possibility of shared memory beyond socially unified groups, that ultimately opens up Margalit’s project to translation to other more diverse and pluralistic contexts, as posited by Christina Kleiser, in its invocation of a process of intersubjective negotiation and intercultural understanding.37 In conjuring a co-presencing that is able to traverse spatial and temporal boundaries, it both encourages attention to remembering in and as performance of the past within the present, and helps us to rethink questions of origins, authenticity and commonality in contemporary contexts in which the culture(s) of memory are increasingly indirect, prosthetic and mediatised. But let us first look at the ways in which the 33 Margalit, Ethics…, p. 54. 34 Pierre Nora, “Between Memory and History: Les Lieux de mémoire”, Representations, 26 (1989), 7-25. 35 Margalit, Ethics…, p. 71. 36 Margalit, Ethics…, p. 69. 37 Christina Kleiser, “Avishai Margalit’s Idea of an Ethics of Memory and its Relevance for a Pluralistic Europe”, Time, Memory, and Cultural Change, S. Dempsey and D. Nichols, eds. (Vienna: IWM Junior Visiting Fellows’ Conferences, 2009).

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memory of Catalan exile has been communicated before turning to how it has been reenacted.

3. The Meaning of Catalan Culture in Exile When we refer to Catalan culture in exile we can mean a number different things, although generally the primary meaning is the phenomenon caused by the outcome of the Spanish Civil War, with over 200,000 Catalans fleeing across the border with France to escape the advance of Franco’s troops in the first six weeks of 1939 and the effective routing of Catalan cultural production as a result of the imposition of the Franco regime. For much of the following decade, Catalan culture was effectively in exile, with the sacking of libraries, book burning, censorship, bans on the language in education and the public sphere and for some years even the circumscription of traditional cultural practices, although these soon began to be tolerated by the regime, as did more minority literary forms, such as poetry.38 All the foremost political and cultural figures associated with the Republican institutions were to remain in exile — either enforced, in order to avoid the fate of political martyrs like Lluís Companys or Joan Peiró or through a sense of duty to preserve Catalan political institutions in some shape or form and/or to maintain the international visibility of the Catalan cause. The real diversity of political positionings up to 1948 has been excavated by numerous historians.39 Nevertheless, the canonical version has tended to maintain focus on continuity of the Generalitat, reconstituted in the 1940s with Josep Irla and later Josep Tarradellas at the helm, and this is what later ensures a narrative link between the democratic memory of the 1930s

38 Josep Benet, Catalunya sota el franquisme: Informe sobre la persecució de la llengua i la cultura de Catalunya (Paris: Edicions Catalanes, 1973); Joan Samsó, La cultura catalana entre la clandestinitat i la represa pública (Barcelona: Abadia de Montserrat, 1994). 39 Giovanni C. Cattini, “Cultura política i l’exili: L’ocàs del republicanisme català”, Entre el malson i l’oblit: L’impacte del franquisme en la cultura a Catalunya i les Balears (1939-1960), Carles Santacana, ed. (Catarroja and Barcelona: Editorial Afers, 2013), pp. 215-243; Víctor Castells, Nacionalisme català a l’exili (Barcelona: Rafael Dalmau, 2005); Joan Villarroya i Font, Desterrats: L’exili català de 1939 (Barcelona: Base, 2002).

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and the present.40 Broadcasts in Catalan were made on French radio and on the BBC and organizations and campaigns set up to help the refugees, and later to make incursions across the Pyrenees.41 Publishing houses and journals were created in Paris, Perpignan, Mexico City, Santiago de Chile and Buenos Aires to stand in for those abolished within the Spanish state.42 Poetry festivals and cultural events and practices were instituted and fostered to maintain a sense of the Catalan community in exile.43 Thus, there was attention both to the creation of places of memory (in the composition of literary and scholarly texts, music and other works of art) and also to that of environments of memory for the transmission of intangible cultural heritage such as song, dance, theatre and other every day cultural practices, but most especially language.44 When we refer to the memory of Catalan culture in exile we think of the histories and itineraries of exile as experienced by different Catalan refugees, with particular pit stops, landmarks and, increasingly, in certain cases, places of memory, such as those enumerated by the curators of the roving Literatures de l’exili exhibition of 2005-2009: the departure from Barcelona, the house in Agullana, the last stopping place before departing the country, the concentration camps in the south of France and, afterwards, the lands of dispersal: Bierville, Roissy, Paris, Valparaíso, Veracruz, Mexico, Santiago de Chile, Buenos Aires. Places of meeting and separation, new frameworks to adapt to and to adopt. The exhibition follows in the writers’ footsteps in order to visit the host cities, so that the interplay of memory and imagination can in some way continue. Cities that, in some cases, have also taken the opposite route: the escape route that has often had Barcelona as its destination. Mexico, Santiago and Buenos Aires play 40 Jaume Sobrequés, El restabliment de la Generalitat i el retorn del President Tarradellas (Barcelona: Barcanova, 1988); Mercè Morales Montoya, La Generalitat de Josep Irla i l’exili polític català (Barcelona: Base, 2008). 41 Jordi Font, ed., Reflexionant l’exili: Aproximació a l’exili republicà: Entre la història, l’art i el testimoniatge (Catarroja: Afers, 2010); Villarroya i Font, Desterrats…; Various authors, Una esperança… 42 Font, Reflexionant l’exili… 43 Josep Faulí, Els Jocs Florals de la Llengua Catalana a l’exili (1941-1977) (Barcelona: Publicacions de l’Abadia de Montserrat, 2002). 44 Jaume Aulet, “El teatro en lengua catalana y el exilio de 1939”, El exilio teatral republicano de 1939, Manuel Aznar Soler, ed. (Sant Cugat del Vallès: Associació d’Idees - GEXEL, 1999), 119-34; Francesc Foguet i Boreu, “Las razones del teatro catalán en el exilio”, Anales de la Literatura Española Contemporánea, 37, 2 (2012), 213-228; Font, Reflexionant l’exili….

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a central role in 20th-century Catalan literature. This is because of their influence on those they gave refuge to, and also because of the presence of their writers among us. These things contaminate, and leave their mark.45

Evoked by Ramoneda as plural and multi-directional, the exile experience framed by the exhibition itself is that of Catalan Republican refugees. These same pit stops organise the sections, most of them represented symbolically by key titles by exile writers.46 1. Els darrers dies de la Catalunya republicana [The last days of Republican Catalonia]47 2. Els vençuts [The Vanquished]48 3. L’exiliada [The Exile]49 4. K.L. Reich [K-L- Reich]50 5. Ofrena a París [Tribute to Paris]51 6. Ruta d’Amèrica [America Route]52 7. Oda a Catalunya des dels Tròpics [Ode to Catalonia from the Tropics]53 8. L’ombra de l’atzavara [The Shadow of the American Aloe]54 9. Quetzalcoatl [Quetzalcoatl] 10. Megàpolis [Megalopolis] 11. Temperatura [Temperature] 12. Tornar o no tornar [Return or not Return] This choice of literary titles reflects the decision to present Catalan culture in exile through the eyes of the writer (mainly of male writers 45 Josep Ramoneda, “Els ulls de l’escriptor”, prologue to catalogue of exhibition Literatures de l’exili (Barcelona: CCCB, 2005), p. 1. 46 Julià Guillamon, Literatures de l’exili (Barcelona: CCCB, 2005). 47 Antoni Rovira i Virgili, Els darrers dies de la Catalunya republicana: Memòries sobre l’èxode català (Buenos Aires: Revista de Catalunya, 1940). 48 Xavier Benguerel, Els vençuts (Barcelona: Mirmanda, 2014). 49 Artur Bladé, L’exiliada (Valls: Cossetània, 2010). 50 Joaquim Amat-Piniella, K.L. Reich (Barcelona: Edicions 62, 2007). 51 Various Authors, Ofrena a París dels intel·lectuals catalans a l’exili (Paris: Albor, 1948). 52 Domènec Guansé, Ruta d’Amèrica (Santiago de Chile: Agrupació Patriòtica de Catalunya, 2010). 53 Agustí Bartra, Oda a Catalunya des dels Tròpics (Mexico: Biblioteca Catalana, 1942). . 54 Pere Calders, L’ombra de l’atzavara (Barcelona: El Cangur, 1995).

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here), in order to create what Josep Ramoneda calls a petit imaginari de l’exili [a small imaginary of exile] in Catalan, to compare with that to be found in other literatures;55 it is effectively intended to open a space within Catalan culture, for the representation of the Catalan exile experience, one capable of connecting with other languages, other cultures, other spaces. It is thus a key example of an attempt to resituate Catalan exile culture in the present of Catalan culture. Yet the choices that are made in many ways reflect already existing places of memory: the images of the evacuation from Barcelona to the French border during the Retirada;56 the experience of concentration camps in the south of France; the writer’s asylums (long frequented by readers of Elegies de Bierville)57 and the renewed hell of occupied Paris, as recorded by Mercè Rodoreda in Vinti-dos contes [Twenty-two Stories];58 the Nazi death camps (excavated in the 70s by Montserrat Roig)59 and the culture shock versus adaptation of those who sought refuge in the Americas.60 The decision is also indicative that what is generally meant by Catalan culture in exile is the contribution to high culture: the achievements of figures like Josep Trueta, Josep Carner, Mercè Rodoreda, Robert Gerhard, Margarita Xirgu or Pau Casals. Indeed, as indisputable Catalans universals, Trueta and Casals might be held as representing the two most ubiquitous (and politically uncontroversial) places of memory of Catalan culture in exile since the 1970s. Both were pacifists and antimilitarists, characterised by their loyal commitment to the Catalan language, culture and history, and their willingness to stand up for Catalan culture and to seek to maintain its visibility internationally: Pau Casals as a figure of resistance to Francoism, in his refusal to perform in any country which recognised the Franco regime; Josep Trueta through his attempts to explain Catalan culture internationally, most emblematically in his publication in English of The Spirit of Catalonia.61 Both have been reenacted as surrogates of Catalan culture in exile — the musician, in 55 Ramoneda, “Els ulls…”, p. 1. 56 Miquel Joseph i Mayol, El bibliobús de la llibertat: La caiguda de Catalunya i l’èxode dels intel·lectuals catalans (Barcelona: Símbol 2008). 57 Carles Riba, Elegies de Bierville (Barcelona: Edicions 62, 1984). 58 Mercè Rodoreda, Vint-i-dos contes (Barcelona: Edicions 62, 1982). 59 Montserrat Roig, Els catalans als camps nazis (Barcelona: Edicions 62, 1977). 60 See Julià Guillamon, ed., Narrativa catalana de l’exili (Barcelona: Galàxia Gutemberg, 2008). 61 Trueta, The Spirit…

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the film Un poema a l’exili [A poem in the Exile],62 recounting the story of the composition El pessebre oratorio; the surgeon, in Àngels Aymar’s play Trueta,63 and through television documentaries such as the El meu avi [My Grandfather] series. As Mari Paz Balibrea has indicated in the case of Spanish Republican exile intellectuals such as Rafael Alberti during the transition to democracy in Spain,64 in many ways their status, characteristics and dates made for relatively easy incorporation as uncontroversial places of memory of exile in the Catalan symbolic system from the 1970s onwards, and there are certainly other figures who are recovered and “performed” in the post-democratic period also, from the poetry of Joan Oliver to the stories of Pere Calders, as reactivated by Dagoll Dagom in Antaviana (1978).65 Indeed, compared with other parts of the Spanish state, it can be argued that the “transition” in Catalonia was characterised by a relatively high degree of historical memory; it is just that in the 1980s this became increasingly focalized around Catalans universals, so much so that the more interstitial, enigmatic, ambivalent and/ or politically resistant elements of Catalan culture in exile were harder to assimilate into the narrative of suturing and normalization figured in the return of Josep Tarradellas and the Generalitat to the Catalan scene.66 On the one hand, the experience of exile became something of an anecdote in the trajectory of “universal” Catalans (with anything political removed from their cultural credentials); on the other hand the figures whose trajectories were not so easily assimilable were generally consigned to the attic of Catalan culture. One obvious case would be that of Avel·lí Artís Gener (Tísner), seen as an eccentric, whose experimental narrative was hardly known until the 2000s.67 Furthermore, it is interesting that 62 Alba Gómez Escudero, dir., Un poema a l’exili: El pessebre de Joan Alavedra i Pau Casals (2014). 63 Àngels Aymar, Trueta, with translation into English by Montserrat Roser i Puig (Nottingham: Fiveleaves - Anglo-Catalan Society, 2010). 64 Mari Paz Balibrea, “Usos de la memoria de la República durante la transición: Los casos de Bergamín y Alberti”, Plan Rosebud: Sobre imágenes, lugares y políticas de memoria, Maria Ruido, ed. (Santiago de Compostela: Xunta de Galicia - Consellería de Cultura e Deporte - Centro Galego de Arte Contemporáneo, 2008), pp. 443-53. . 65 . See also Dagoll Dagom and Pere Calders, Antaviana (Barcelona: Educaula, 2011). 66 Sobrequés, El restabliment… 67 Sílvia Mas, Les novel·les de l’exili d’Avel·lí Artís Gener (Barcelona: Abadia de Montserrat, 2008).

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even Julià Guillamon, who played such an important role in proposing new modes of memorialization of Catalan exile culture, contextualises this rediscovery, excavation and return in terms of his response to going through old boxes in the attic after his mother’s death: thus in terms of an ethical debt to post-memory, but one that transmits a sense of the culture of exile as one almost irremediably lost in the archive.68 For him, Catalan exile culture is symbolic of tragic loss, but also stands as one of the greatest achievements of twentieth-century Catalan culture. Either way exile becomes a melancholic counterpoint to a deficient present. The purpose of this rapid review of common cultural understandings of Catalan exile culture is to set the stage for the final section of the chapter which will explore aspects of the ways in which Catalan culture in exile has been staged in the 21st century; not just the function it performs, but the very way in which it is performed, how its remains are reactivated in the here and now. As attested in the opening paragraph of my introduction, there is no doubt that there has been a shift in the way in which Catalan exile culture is represented and communicated since the end of the 1990s. On the one hand the celebration of anniversaries, so the very culture of commemoration, has led to the gradual recovery and dissemination of forgotten or mislaid texts and phenomena, in a market increasingly on the lookout for the new and different. On the other hand, the social changes in Catalan society from the mid-1990s onwards, in particular the rapid rise in in-migration from outside the EU, and the corresponding shift towards superdiversity of the metropolitan area of Barcelona gave rise to socially-engaged calls to mediate intersubjective encounter with these new migrants from the place of memory of exile, or as in the case of sociologist Salvador Cardús, from the embracement of immigration as a shared/ collective memory, common to the majority of the current population of Catalonia.69 Most influential by far was the process of institutional questioning from the turn of the twentieth century onwards of the particular path followed by the democratic process in Spain, and the reemergence of interest in alternative histories. This is the context in which both the Literatures de l’exili [Literatures of exile] 68 Julià Guillamon, El dia revolt: Literatura catalana de l’exili (Barcelona: Empúries, 2008). 69 Salvador Cardús, “Questions of Identity”, Transfer, 2 (2007), 80-87.

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exhibition and the MUME museum were created. So much so that the online “How and Why” section of the latter is able to claim that: The memory of Republican exile is still very much alive, not only for those who directly or indirectly suffered it, but for broad layers of today’s Catalan population who, for some time, have expressed a great interest in the setting up of a museum such as this. An interest that, far from diminishing with time, has actually grown, to the point that at present it is not too much to say that exile has become an indelible element of reference of the contemporary Catalan and European collective imaginary.70

Alongside this recognition of the symbolic relevance of Republican exile, there is also simultaneous identification of a lack, of the fact that more has to be done in order to “dignify” the diverse histories and experiences of exile, expressed in the same manifesto as follows: So there is an immense legacy of exile that, today, has not been sufficiently recovered, despite the efforts made by different institutions to this end. The aim is to bring dignity to the victims and explain our most immediate past and the historical and human costs of the fight for democracy to new generations, so that there is no repeat. And for this, systematic, constant and rigorous work is needed which approaches the task of recovering this legacy to guarantee its preservation and dissemination among the widest possible public.71

As shall be seen, many of the more recent performances of exile share these same aims and objectives, and are themselves underpinned by the legal and political impetus of the Memorial Democràtic, and its support for a network of spaces of memory, including the inauguration of an annual theatre prize, the Premi de Teatre 14 d’Abril, as well as the recent spate of anniversaries of Second Republican institutions, the Civil War, Retirada and exile from 2006 onwards.

70 . 71 .

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Performing Exile on the Contemporary Catalan Stage The corpus of memory acts gathered here is in some ways very limited: a series of plays, musical spectacles and performances I have witnessed or excavated since 2007, all of which perform Republican exile memory in a Catalan context. Most of them have been staged in the theatres of Barcelona, except for the ones marked with an asterisk which have not yet made the transition from page to stage, but are nevertheless the products of performative engagement with the archive of exile cultural memory. 2007-2008 La Barni teatre, Ojos Verdes. Miguel de Molina [Green Eyes. Miguel de Molina] (dram. & dir. Marc Vilavella, Espai Brossa) 20072008 (then various seasons) 2008-2009 Ambrosi Carrion, La dama de Reus [The Lady of Reus] (dir. R. Simó, TNC Sala Petita) November-December 2008 Mercè Rodoreda, Un dia. Mirall trencat [One Day. Broken Mirror] (ad. M. Molins, dir. R. Salvat, Teatre Borràs) September-October 2008 Projecte Galilei, La Maternitat d’Elna [Elna Maternity] (dram. P. Ley, dir. J. Galindo, MUME) September 2008, then Barcelona’s Club Capitol, 2009 Àngels Aymar, Trueta [Trueta] (dir. À. Aymar, TNC Sala Tallers) January-February 2009 Música per a l’exili [Exile Music] (dir. Guillamino, L’Auditori) April 2009 La nit més freda (Veus a l’exili) [The Night more Cold. Voices in the Exile] (dram. M. Casamayor & T. Vilardell, dir. T. Vilardell, TNC Sala Tallers) April 2009 *H. Tornero, Apatxes [Apache] (Premi 14 d’Abril 2009) 2011-2012 Blai Mateu, Ï [Ï] (dir. M. Cerda, Teatre Lliure de Gràcia) December 2011 - January 2012

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Carles Batlle, Zoom [Zoom] (dir. X. Albertí, Sala Beckett) MarchApril 2012 (Premi 14 d’Abril 2010) Ivan Fox & Anton Tarradellas, La balada dels històrics anònims [The Ballad of the Historic Anonymous] (dir. J. Annen, Sala Beckett) June 2012 Cartes de l’exili [Letters from Exile] (dram. & dir. P. Carrió, Teatre Lliure de Gràcia) January 2012 2012-2013 Ramon Vinyes, Ball de titelles [The Puppets Dance] (dir. R. Simó, TNC Sala Petita) December 2012 - January 2013 2013-2014 [Recuerdos - La Retirada (MUME) [Memories. The Retreat] February 2014] *Odó Hurtado, Vendaval [Gale] (recovered from the archive and published by Francesc Foguet)72 Analysed on aggregate, it is possible to identify three main strategies for the recovery of exile memory on the contemporary Catalan stage: 1. Through the recovery and staging of dramatists or dramatic works that had previously been invisible due to the effects of exile and the repression of the Franco regime: Key examples of this tendency include the plays by Ambrosi Carrion73 and Ramon Vinyes, as well as more recent work by Francesc Foguet on the recovery of unpublished plays written in exile, such as Odó Hurtado’s Vendaval. The reactivation of the theatre of Mercè Rodoreda in this period (by Ricard Salvat in conjunction with Manuel Molins) here is a slightly different case; her theatre has been performed previously since the transition to democracy, although she is commonly perceived (as was reiterated in reviews of the 2008 production of Un dia in adaptation) as being less accomplished as a playwright than as a novelist. It is also im72 Odó Hurtado, Vendaval (Lleida: Punctum, 2014). 73 Ambrosi Carrion, La dama de Reus (Barcelona: Institut del Teatre de la Diputació de Barcelona, 1989).

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portant to note that this mode of recovery is not a new one, and has been in progress since the 1950s, although there are very particular features to these more recent recoveries that suggest a shift in attitudes to exile culture, opening up more critical and often ambivalent spaces to question the relationship between past and present.74 2. Through the adaptation of narrative and poetic works for the stage: This strategy has its precursor in the work of Ricard Salvat with Salvador Espriu in the 1960s and 1970s, but most especially in Dagoll Dagom’s work with Pere Calders on Antaviana [Antaviana] in the 1980s. The main works identified in the past decade include La ruta blava [The Blue Route] by Josep Maria de Sagarra and adapted by Projecte Galilei (although I have not included in my corpus here because it does not strictly pertain to Republican exile memory), Rodoreda’s Mirall trencat which was incorporated into the staging of her 1959 play Un dia, Miguel de Molina’s memoirs,75 La maternitat d’Elna,76 as well as more anthological montages such as Cartes de l’exili at the Teatre Lliure de Gràcia, La nit més freda at the Teatre Nacional de Catalunya and Música per a l’exili at L’Auditori (based like other concerts, such as the more recent Recuerdos, largely on arrangements of exile poems). Some of this work responds to the shift towards narrative forms in contemporary post-dramatic theatre, but it also reflects the primarily testimonial focus of much of the recovery of exile culture more generally. 3. The creation of original works based on the performative reconstruction of the experiences and memories of exile: Here we might also include Cartes de l’exili, La maternitat d’Elna, La nit més freda, Ojos verdes, as well as Trueta, La balada dels històrics anònims, Ï, which include more significant elements of imaginative construction,and Helena Tornero’s Apatxes77 and Carles Batlle’s Zoom,78 both of which were submitted for and won the Memorial Democràtic’s Premi 14 d’Abril for original theatre scripts. These are the plays that most 74 75 76 77 78

Buffery, Stages…, pp. 244-46. Miguel de Molina, Botín de guerra (Córdoba: Almuzara, 2012). Assumpta Montellà, La maternitat d’Elna (Barcelona: Ara Llibres, 2005). Helena Tornero, Apatxes (Tarragona: Arola, 2009). Carles Batlle, Zoom (Tarragona: Arola, 2011).

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clearly present attempts to reenact and revivify Catalan exile culture in the theatre, and that most often draw on a range of other artistic languages and discourses to populate these spaces: music from the period, archival documents, museum style props, dances, film and documentary footage, and even clowning in the case of Blai Mateu. As can be seen from the list, the stagings cluster around 2008-2009 with a renewed spike in activity in 2011-2012 (but little after that). The significance of these dates is not difficult to ascertain, indicating that these memory acts are driven in large part by the celebration of anniversaries: April dates to mark the Second Republic; 2009 and early 2014 for the Retirada; particular centenaries like that of Mercè Rodoreda in 2008, whose work was adapted and performed in numerous theatrical venues. Yet there are other contextual factors too, which I think help to explain the particular characteristics of this cluster of restagings and reenactments. As indicated in the previous section, both the demographic changes experienced in the region from the mid-1990s and the process of institutional questioning from the turn of the twentieth century onwards led to increasing recognition of responsibility to preserve, disseminate and represent diverse memories in the public space. To this must be added the need for public theatre institutions such as the Teatre Nacional de Catalunya (TNC) and the Teatre Lliure especially to negotiate a greater diversity of constituencies and audiences (the Sala Beckett on the other hand carries a longer term legacy as a memory space, due to the influence of José Sanchis Sinisterra’s ideas of frontier theatre). A third of the productions in this corpus were staged in the TNC and reflect a certain reorientation after its polemical beginnings in the late 1990s towards representing a wider variety of the available Catalan repertory. The staging of Ambrosi Carrion’s La dama de Reus and Ramon Vinyes’s Ball de titelles are particularly indicative of this. Both names that would have been familiar on Catalan stages in the 1930s, they were lost to the repertoire due to their exile from 1939. Neither of the works thematize exile, and only Carrion’s play was actually written in exile in France; nevertheless, the recovery of both for the contemporary stage indicates an attempt to revise canonical memory, in the sense by which the theatrical repertoire is traditionally understood, whilst contributing also to the creation of repertoire in the sense proposed by Diana Tay-

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lor, “as something that cannot be housed within the archive”.79 Àngels Aymar’s Trueta and Teresa Vilardell’s La nit més freda, too, stem in part from a revision of the TNC’s responsibility to represent and disseminate a repertoire of historic and contemporary writing, and reviews often draw attention to the “justice” done in these monuments to the experience of exile. Once more, however, it is largely canonical memory that is at stake here, with the heroic international figure of Josep Trueta returned to once more and the same literary narratives that provided the structure of the Literatures of Exile exhibition adapted as collective “voices of exile”. Furthermore, the tensions between individual, collective and canonical memories are brought to the fore. For instance, in the case of Trueta, critic Francesc Massip praises Aymar because of what he sees as the originality and singularity of her endeavour in seeking to embody and reenact such an emblematic figure for Catalan culture,80 yet her staging is contested by Trueta’s own daughters because of its final reliance on a tragic and melancholic note in portraying the surgeon as bitterly disappointed by his return to Barcelona.81 In the case of the Teatre Lliure de Gràcia, with its history of collaborative staging, the production of Cartes de l’exili in the season of Lluís Pasqual’s return to direct the Lliure theatre spaces, indicates a very political reading of exile — accompanied by the coup of bringing back Josep Maria Flotats and Núria Espert to perform on such an emblematic stage. For one reviewer, these aspects of the memory act made it the least successful of a series dedicated to embodying and reactivating the personal memories and relationships contained in letters between exiled intellectuals: Cartes de l’exili. Interpretades per Núria Espert i Josep Maria Flotats. El teatre ple de les patums del país…. cartes de personatges de la cultura catalana que van haver de marxar del país. I un joc amb els lectors tots dos residents a Madrid. Al haver-hi cartes de molts personatges no va tenir la intimitat que vaig trobar en les altres lectures.82

79 Diana Taylor, The Archive and the Repertoire: Performing Cultural Memory in the Americas (Durham and London: Duke University Press, 2003), p. 37. 80 Francesc Massip, “Un testimoni necessari”, Avui (Cultura i Espectacles), 1 February 2009, p. 43. 81 Montserrat Roser i Puig, “Introduction” to Aymar, Trueta, pp. xvi-xvii. 82 .

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Yet before we are tempted to read these reenactments as institutionalised monuments, as “surrogation” for the purpose of ensuring identity and cultural continuity,83 it is important to note the presence of exile memory in other spaces too: the Espai Brossa, La Seca, Teatre Borràs, Romea and Sala Beckett, as well as the fact that the productions at the TNC took place in the Sala Petita and Sala Tallers rather than on the more two-dimensional main stage. The aesthetics of these performances range from the canonical monument, as in Aymar’s often rather stilted Trueta, to the museum-like quality of La nit més freda and La maternitat d’Elna, to the more ludic cross between story-telling and object theatre that is the Balada’s evocation of the unanticipated itineraries followed by the pickled heart of Francesc Macià and the more plural spaces of encounter of Ojos verdes or even La dama de Reus. In all the cases I witnessed there were moments of hybridity, where there was a bleeding between different spaces, languages, aesthetics and politics, most especially produced by the power of the performers’ bodies reenacting, co-presencing and collapsing the boundaries between past and present, self and other, identification and abjection. All had to negotiate a very fragile line between tokenism and nostalgia, appropriation and respectful distance, in order to maintain some sense of critical relevance for the present. At worst they produced a sudden jolting sense of recognition of the unbridgeable gaps in cultural memory as in the moment at the beginning of Música per a l’exili when Santiago Piera was escorted off stage after “out-staying” his welcome and turning the expected introductory words to the stellar concert into a painstakingly detailed narrative of his experience of exodus.84 At best, they provide a space for the creation of shared memory through embodied negotiation and co-presencing of diverse pasts, as in Ramon Simó’s re-framing of La dama de Reus where the problematic capitulation of the heroine at the end of the play is reinterpreted within the context of a community of amateur Catalan actors seeking to negotiate and maintain some sense of shared heritage in the early decades of the Franco regime.85 Or, indeed, Carles Batlle’s Zoom, 83 Joseph Roach, Cities of the Dead: Circum-Atlantic Performance (New York: Columbia University Press, 1996); Joseph Roach, “History, Memory, Necrophilia”, The Ends of Performance, Peggy Phelan and Jill Lane, eds.(New York: New York University Press, 1998), pp. 23-30. 84 Buffery, Stages…, p. 2. 85 Buffery, Stages…, p. 245.

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which developed out of post-memorial engagement with the memories of his grandfather into a vehicle for questioning the nostalgic focus of the memory boom, by projecting a more critical, insterstitial space. If memory acts like these rarely present the comforts of identification, it is because the process of revivification or reenactment involves performing an absence that is not only that of a dead and buried past but one that simultaneously convokes other limits — of the national, of the visible, of identity and community. They are unashamedly shattered mirrors, like that of Rodoreda and Salvat and Molins in Un dia. Mirall trencat, that call on those co-present to engage in the difficult cultural work of putting together the pieces of a shared memory.

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Catalonia, Culture and Mass Media Carme Ferré Pavia 1 Universitat Autònoma de Barcelona

The triangle upon which this essay pivots is an intricate one. For centuries the creation of communication media in Catalan has been seen as a tool for the diffusion of the Catalan language and culture, and this conscious objective has been handed on in the audio-visual and digital media age. Beginning with the Catalan Renaixença,2 the Catalans enjoyed the recuperation of their language in public life, for the most part via media. Since the Bourbon victory in the 18th century and the imposition of Castilian as the language of administration and education, however, Castilian has gained strength as a language of prestige. This essay combines a look back at history with a more personal evaluation: we could say that we have never had a system of communications that was independent of Spanish influence. However, in the last two or three centuries a media system parallel to that of the state has been more strongly established in the Principality of Catalonia, the modern-day Catalonia, than in other Catalan-speaking territories (the former Crown of Aragon).

1 2

Carme Ferré-Pavia is a Doctor of Communication and professor in the department of Media, Communication and Culture of the UAB. She heads the Comress-Incom research group, UAB. The Renaixença is understood as a broad cultural movement that validated literary and theatrical expression in Catalan, as well as calling for political recognition. Bonaventura Carles Aribau’s poem Oda a la pàtria (1832) and the First Catalanist Congress (1880) are two examples. The purpose of the Congress was to create a unified Catalan movement. The intellectual groupings in attendance had connections with newspapers and magazines, for example Diari Català (1879-1881), La Veu del Montserrat (1878-1891) or Lo Gay Saber (1868-1883, with interruptions).

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1. Media and the nation: the origins 1.1 The first media in Catalan Dating from the 17th century we find what could be called a type of Catalan information industry with the publication of broadsheets (loose sheets of fliers). These newssheets reported on wars, royalty and religion — a content which, along with information pertaining to useful services, would later be adopted by the first newspapers. About 10% of these broadsheets were translations from mostly French texts, which demonstrates the healthy state of Catalonia’s international connections. In fact, the postal service was fast. Material arrived in just a few days from Europe, and could cross the Atlantic in a few months. The first gazettes were considered to be a French fashion, given that cultural magazines already existed there. They were also quickly established in Great Britain from the early 18th century. The Spectator (1711-1712) was imitated in the Mediterranean and in the North American colonies. The Review was published by Daniel Defoe between 1704 and 1711. It was a propaganda weekly. Pro-Hapsburg and anti-French in the war in Spain (called the War of Succession in Catalonia), Defoe ended up changing his tune, supporting non-intervention — which basically was the course the British tacitly adopted when they withdrew. While in Great Britain, as was normal in liberal political regimes, freedom of the press was enacted into law in 1695 (the Daily Courant dates from 1702), continental monarchs preferred the press to be subject to royal permission. According to Jaume Guillamet and Daniel Venteo,3 without making a direct comparison to the English example, it is correct to speak of a llibertat catalana [Catalan liberty] with regard to restrictions on the press. Even so, care had to be taken when dealing with religious subjects — a hangover from inquisitorial times. The Crown of Aragon was not restrictive, and Hapsburg edicts were much less severe than those of the Bourbons in this regard.

3

“El periodisme de 1714”, Col·legi de Periodistes, available at http://www.periodistes. org/ca/article/el-periodisme-de-1714-216.html.

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The first Catalan dailies were in Castilian, which is not surprising if we take into account that Catalonia had been defeated by Castile and royal permission was needed in order to print. The origins of the daily press can be traced to the end of the 18th century, to the year 1762, which marked the appearance of the first daily in Barcelona, the Diario Curioso, and more especially to the birth of the Diario de Barcelona in 1792, which did not become Catalanised until 1987 (1792-1992). Other early examples, Lo Pare Arcàngel (1841) and Lo Verdader Català (1843), were written in Catalan and contained material that was humorous or ideological, defending Catalan identity against the laws of Espartero.4 They followed the precedent set by the absolutist-leaning Majorcan Diari de Buja of 1812, although very few editions were published. They were all short-lived and none was economically viable, but they deserve attention as the precursors of the cultural Renaixença.

1.2 An industry is born During the 19th century the press underwent notable changes, evolving from a minority media with few and unstable publications into an important communications sector. By the end of the century the number of publications had multiplied, and an important number of them were written in Catalan. We see the development of various types of political press, Catalan nationalist magazines, travel and sporting magazines, literary and Catholic weeklies, and a long list of professional monographs, notable among which are agricultural and industrial publications. It is, by definition, a press of great diversity of coverage but with a limited circulation, aimed at a small, specialist readership. Even so, above all in Barcelona and Valencia, the popular or satirical press had also appeared: El Mole [Mould] (1837-1870), La Campana de Gràcia [Gràcia’s Bell] (1870-1934), La Traca [Squib] (1884-1938). The advertising industry and the new technologies of that time, such as photography and the telegraph, made it possible for the papers to 4

Baldomero F.A. Espartero was a career soldier and Queen Isabel II’s regent during her minority. He ordered various bombardments of Barcelona during his regency (1837-1843).

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include pictures and widen their scope. The first daguerreotype came in 1839 and these were quickly adopted by the press. The first news agency in Spain (telegraphic agencies, as they were known) was the Catalan Fabra (1865). By 1860 the industrial process was mature, and the vital ingredients of the mass press — urban masses and an efficient transport system — were in place. In the first three decades of the 20th century it was Catalan satirical and childrens’ magazines which came to the fore. L’Esquella de la Torratxa [The Cowbell of the Turret] (1872-1939) and ¡Cu-Cut! [Cuckoo Bird] (1902-1912) were the best known of the humorous publications, as was En Patufet [En Patufet] (1904-1938).5 They were touchstone publications for various generations of youngsters and a true mass phenomenon, with a circulation reaching 60,000 at their height. We can now safely say we are in the realm of mass media. In 1936 L’Esquella de la Torratxa had a circulation of 2,500 and the Be Negre [The Black Sheep] (1931-1936), about 20,000. Between 1900 and 1930, total sales of daily papers rose from less than 100,000 to more than 600,000. During the years of the Mancomunitat6 many specialist magazines appeared in Catalan. Two important precedents for the cultural press are Un Tros de Paper [A Piece of Paper] (1865-1866) and Lo Gay Saber [The Gay Science] (1868-1883), the iconic Quatre Gats [Four Cats] (1899) and D’Ací i d’Allà [Of Here and There] (1918-1936). The latter was a beautifully edited magazine, with an aesthetic that was modern, cosmopolitan and representative of engagée7 good taste. Linguistically speaking, until the Second Republic Catalan took a secondary position in relation to Castilian in the daily press, but was preeminent in weekly and monthly publications. In 1915 the Catalan daily press in Barcelona represented 15% of the total published in the city. In 1923 there were no more than seven Catalan newspapers in the whole of Catalonia, and two of those were in Barcelona. 5 6

7

Note the coincidence of the date of the end of the popular press, after the military uprising and near the end of the Spanish Civil War. The Mancomunitat of Catalonia was an institution which centralised the administrations of the four Catalan provinces (Tarragona, Barcelona, Lleida and Girona). It implemented plans for action in the fields of health, education and infrastructure. Politically, it was an attempt to create a single managerial body much the same as the old Catalan General Court. See the study by Dr. Joan Manuel Tresserras, D’Ací i D’Allà, aparador de la modernitat (Barcelona: Llibres de l’Índex, 1993).

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Now, accompanying the experience of the industrial revolution, with electricity powering the cities and the avant-garde’s signal icons of the age everywhere (automobiles, neon signs, gramophones, the rising tide of urbanisation and the advance of literacy and education), new media models arose for the mass society. Catalonia, above all Barcelona, was slow to adapt to urban models such as those of Paris or New York. This would have to wait for wage rises in industry and greater purchasing power.8

2. The media, modernity and repression The proclamation of the Republic in 1930 saw the Catalan press grow. There was more interest in political issues among the populace and this led to a proliferation of newspapers and weeklies reflecting an enormous variety of tendencies. The historian Josep Maria Figueres has listed some 30 titles for daily papers and some 300 magazines, bulletins or publications in Catalan between 1930 and 1936. In 1933, Barcelona had seven Catalan papers and twelve in Castilian. In the thirties, the press was one of the cultural tools that spoke out in favour of national reconstruction. The appearance of new types of magazine, like the illustrated Imatges [Images] (1930), the growth of photo-reportage, the examples of investigative journalism (Josep M. Planas, Carles Sentís), the incorporation of female reporters (Irene Polo, Anna Murià, Anna M. Martínez Sagi) and ideological diversity provided a rich framework for the media that included radio and a growing eageness for television. The first mass Catalan dailies appeared: L’Instant [The Instant] (1935-1936), Última Hora [Last Hour] (1935-1938) and the sports paper La Rambla [The Rambla] (1930-1936), all modelled on European or, above all, North American press models. The paralysis of the Franco era meant that some modernising factors, and the number of titles published, would not return to previous levels for most of the rest of the 20th century. 8

For a detailed study of society-culture and mass media in Catalonia, see Francesc Espinet, Notícia, imatge, simulacre: La recepció de la societat de comunicació masses a Catalunya (1888-1939) (Bellaterra: Universitat Autònoma de Barcelona, 1997).

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2.1 Radio and T.V. When Miguel Primo de Rivera’s dictatorship fell9 the first Catalan language radio was created in Catalonia: Ràdio Associació de Catalunya (RAC) initially broadcast for three and a half hours a day in 1930. The first radio in Castilian had started six tears previously. With the proclamation of the Second Republic10 in 1931, the listenership of the RAC grew enormously, immersed in the atmosphere of debate and civic-political participation that marked the historic moment. It is generally held that the station supported the policies of the Generalitat. RAC was to be the standard-bearer of Catalanness and stood for public intervention in the world of culture and thought. It later Catalanised its broadcasts wholesale, and fought for exclusive control of radio transmission for the Generalitat and the creation of a Generalitat Radio Service. This created tension between Catalonia and the state. The concern in Catalonia was simply that there should be a broad-based state radio network. Republican legislation permitted the creation of small-scale radio stations. The decree of 1932 gave rise to new local stations in Catalonia: Badalona, Vilanova i la Geltrú, Terrassa, Sabadell, Manresa, Girona, Lleida, Reus and Tarragona, but did not lead to the creation of a public radio network. Tentative steps towards collaboration between press and radio occurred. Publications like Mirador [Viewer] and La Publicitat included a radio section outlining programme content with the objective of reaching a wider audience. With regard to attempts to create Catalan television, a company was formed in Barcelona in 1934 to set up a T.V. station as this was now technically possible. The responsibilities transferred by the state radio to Catalonia only functioned theoretically until the end of October11 of that year. In his doctoral thesis, Francesc Canosa writes: Es van aconseguir els serveis (ratificats per un decret del Govern de la República del 7 de setembre de 1934) però el fruit d’aquests acords no s’arribarà a 9

Coup d’état against the liberal government of Manuel García Prieto, under military directorate between 1923-1930. 10 The Second Spanish Republic was proclaimed on 14 April 1931 replacing King Alfonso XIII. 11 On 6 October 1934, Lluís Companys, president of the Generalitat, proclaimed the Catalan State within the Spanish Federal Republic.

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aplicar mai, ja que la suspensió de l’Estatut i la detenció del Govern de la Generalitat, arran dels Fets d’Octubre, ho deixava tot enlaire [The services were obtained (ratified by a Republican Government decree dated 7 September 1934) but they were never put into practice. Everything remained hanging in the air due to the suspension of the Statute and the arrest of the Generalitat’s Government following the events of October].12 Nor was the Generalitat’s Commissariat of Propaganda able to put it to use during the Civil War (1936-1939). The Commissariat, linked to the Presidency of the Generalitat, was created on 5 October 1936. This is seen as a communications milestone in contemporary Catalan history: it spread Catalan culture throughout the world and among the general population. It made use of all types of written, radio or discographic publication, the cinema and the nascent television service. It adopted a holistic and inclusive concept of mass media for society. This was an ambitious yet achievable social project given the state of propaganda at that time. Apart from its work in Catalonia but related to the war (Spanish Civil War, 1936-1939), the Commissariat opened delegations in Paris, London, Brussels, Copenhagen and Oslo with the intention of providing information on the anti-fascist battle while providing a vision of Catalan identity. For example, in addition to the posters, photographs, exhibitions, publications and mobile libraries, one of its most popular initiatives was El més petit de tots, a toy statuette which became the revolution’s mascot. It not only stood with fist raised, but held aloft the flag of Catalonia: En una edició limitada de luxe, s’envià al Papa Pius XI, al president de la República francesa Albert Lebrun, al rei d’Anglaterra George VI, al president de Mèxic Lázaro Cárdenas i al president dels Estats Units d’Amèrica Franklin D. Roosevelt [A limited, deluxe edition was sent to Pope Pius XI, to the president of the French Republic, Albert Lebrun, to George VI, king of England, to Lázaro Cárdenas, president of Mexico and to the president of the United States of America, Franklin

12 Francesc Canosa, El somni d’una societat i d’un periodisme: La televisió de paper (1931-1936). Doctoral thesis (Universitat Ramon Llull, 2005), p. 113. 13 Francesc Foguet, “L’herència fecunda: Comissariat de Propaganda de la Generalitat de Catalunya 1937-1938” (Barcelona: Generalitat de Catalunya, 2006), p. 18.

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D. Roosevelt].13

2.2 Franco As the efforts of the Catalan Commissariat of Propaganda show, the Civil War had not yet put an end to the golden age of journalism or the modernisation process that the republican phase had ushered in. During the war and revolution several firms were occupied by their workers. The seizures and collectivisations put a lot of titles at the service of the parties. The right-wing La Veu de Catalunya [The Voice of Catalonia] (1899-1937) became anarchist but kept its title; the PSUC14 took control of El Matí [The Morning] (1929-1936), changing its name to Treball, and the Carlist15 El Correo Catalán [The Catalan Post] (18761985) became La Batalla, and supported the POUM.16 The revolution of the leftists and anarchists during the war saw the birth of many new publications that were to disappear later. For the first time in the history of the press, there were more titles in Catalan than in Castilian throughout Catalonia. The outcome of the war is well known: the total prohibition of the Catalan media in 1939, and its reduction to a few clandestine publications in exile. The Generalitat kept a few going in France. Those in exile in Mexico are notable for the maintenance of magazines and publishing houses: Xaloc [Sirocco], Pont Blau [Blue Bridge], La Nova Revista [The New Magazine]. At the end of the Civil War, and especially in Catalonia, the attempt to circumscribe culture and identity was a planned, post-war objective. Re-Catholicisation and centralised re-Spanishisation represent the ideological contours of the regime. This went hand in hand with contempt for national cultures and languages and the attempt to liquidate them. Catalan experienced an educational and administrative apartheid in the public sphere. With respect to propaganda, the media would remain subordinated to state authority for almost 30 years during which a regime of wartime con14 Partit Socialista Unificat de Catalunya, founded in 1936. 15 Catholic, conservative movement that defended homeland, family and tradition. Opposed to liberalism. 16 Partit Obrer d’Unificació Marxista, founded in 1935.

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trols was imposed. From 1936, Franco’s party set up a Bureau for Press and Propaganda in Burgos. This was a totalitarian propaganda concept in the style of European fascism, drawing much inspiration from Italy and Germany and also from Catholic paternalism. In 1938, while the war was still being fought, a Press Law was promulgated which portrayed the state as the shaper of consciousness and the journalist as servidor d’Espanya [servant of Spain]. Military censorship was imposed and the directors of the media were appointed by the government. Censorship controls were widened to include cinematographic production and projection, the news, documentaries and many other productions. Songs in foreign languages and black music — swing, jazz or the foxtrot — were prohibited on the radio. Wartime conditions were maintained until 1952. In that year the Ministry of Information and Tourism was created. It regulated the press, propaganda, the radio, cinema, theatre and tourism. In the 50’s there was a hesitant relaxation which permitted the appearance, albeit on a very small scale, of alternative media.

2.3 Cultural repression Critical humour, eroticism, cultural and aesthetic tendencies and the country’s culture in general, along with any historical discussion, disappeared from public view until the end of the 50’s, when some magazines resumed the style of what had been the leading pre-war publications, such as Revista de Catalunya [Magazine of Catalonia] (1924-1943, with interruptions). The magazine Serra d’Or [Gold’s Saw] (1959-) is an example. It appeared in 1959, under the aegis of the Benedictine monastery of Montserrat, without having requested any authorisation. Despite the caution with which its articles were written in order not to draw the attention of Francoist authorities, some statements by Montserrat Aureli Maria Escarré, the abbot of Montserrat, to the French periodical Le Monde in 1962, resulted in the magazine’s subjection to the rules of censorship that it had, up until then, been able to evade. This was the time of pages with empty spaces and, after 1966, fines and the opening of a case file. The 1966 Press Law (Press and publishing law) did away with censor-

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ship but introduced a system of fines, sanctions, suspensions, the banning of certain editions and even lawsuits. All of this suggested that the media should undertake a very serious self-censorship. Canigó [Canigó] (1954-1983), Cavall Fort [Strong Horse] (1961-), Oriflama [Gold and Flame] (1961-1977), Escola Catalana [Catalan School] (1966-), Foc Nou [New Fire] (1974-) and Presència [Presence] (1968-) all appeared just before the first democratic elections in 1977. In the 50’s some regional radio stations had begun to broadcast some programmes in Catalan: the mass, plays, programmes dedicated to tradition and folklore. A few programmes and also magazines began the move from Castilian to Catalan. In the 70’s, stations like Radio Barcelona and Radio Peninsular initiated a small Catalan section in their programming. In 1976, Radio 4 began the first broadcasts in Catalan. They covered 18 hours a day, but could not be heard outside the capital.

2.4 The transition With regards to radio, the real transition was led by municipal stations and the newly born Catalan Radio and Television Corporation, a public service created in 1983. Catalunya Ràdio began broadcasting in June and was followed by Televisió de Catalunya (TV3) in September. The dream of an integrated audio-visual media system, which had been first mooted around 1932, had taken 50 years to take its first steps. A second channel, Canal 33, was opened in 1988 and was quickly followed by other specialist radio and television stations. Apart from the private Catalan radio, municipal radios flourished in Catalonia, providing a local, largely Catalan public network. On 4 October 1980, there was the first local radio conference. Many of the participants were still unaware of one another’s existence. In modern day Catalonia there are more than 200 local radio stations.

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3. The nation in the digital age 3.1 The audio-visual age and democracy The cohesive power of the audio-visual sector and the normalising force of the language (via TV3 and Catalunya Ràdio) were notable factors, enjoying a large, loyal audience. They also stimulated economic factors, such as advertising and voice dubbing. However, the arrival of private television in Spain from 1989, on a corporate basis with which that of Catalonia could not compare, boosted competition in Spanish, which has gone from strength to strength with satellite T.V. and the process of digitalisation. Antena 3, Telecinco and Canal + were the first of the privates to enjoy nationwide coverage. Recently the ratings battle between the Catalan public channels and the private Spanish ones for the Catalan audience (a market model affected by financial weakness and state structure on the Catalan side) usually puts TV3 up against Antena 3 and Telecinco. For example, on 26 October 2014, TV3 and Telecinco had a similar audience share of around 12%, with Antena 3 coming third. TV3’s satirical programme Polònia [Poland] is usually a ratings leader. However, leaving aside Sports coverage, Catalans also watch magazine programmes and series on Spanish channels. Linguistically, the public sector is porous, and language is rarely the deciding factor in viewership.

3.2 Fiction as an element in identity Having Catalan channels has created a setting for the construction of contemporary identity: fictional series. In his study of Catalan series in the 90’s and 2000’s (Quico [Quico], 1994-1995; Plats Bruts [Dirty Dishes], 1999-2002; Sitges [Sitges], 1996-1997; Nissaga de poder [Lineage of Power], 1996-1998; Oh, Europa [Oh, Europe], 1994; among others), Enric Castelló has identified the projection of a social model based on a national culture expressed in Catalan. The nation, the land,

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the language, the administration, the cultural system (books, the media…) is the scene of the action as are its special social problems, its Sports teams, etc.17 Here, fiction represents more than simply a territorial space for political and cultural conflict. It represents a nation with a high level of linguistic and cultural normalisation. He is not claiming this was one of the objectives of these series, but rather that it has been the product of a national system of production which projects a perceived or desired social model. These series can function in an international, transcultural context but, at the same time, represent powerful demonstrations of identity. From the point of view of the debate over identity, it is certain that there has not been so much political discussion in the media since the Second Republic. The so-called procés is an open, peaceful struggle for the independence of Catalonia. What were once small-scale, openly secessionist political circles have grown since 2006, in the aftermath of the amendments to the Statute, which the Catalans had voted for, and which Spain’s Constitutional Court then undercut at the request of the Partido Popular (despite the promise that they would be respected by the former socialist premier Rodriguez Zapatero). Political cuts, a deeply entrenched, unjust financial system which generates an endemic deficit in a Catalonia which pays in far more than it gets back, and inaction with regard to an unacceptable political situation have seen the struggle for independence, or at least the right to be allowed to opt for it or not, become an important electoral factor for Catalan political parties. As it stands, in 2014, the so-called bloc sobiranista has the majority of deputies in Catalonia’s Parliament (Convergència Democràtica, Esquerra Republicana and Candidatura d’Unitat Popular, versus Partit dels Socialistes, Partit Popular and Ciutadans, the unionists). The undecided or divided parties, however, account for a balance between the two sides. The press aligns with one position or another according to its editorial policy, while the audio-visual sector, under the aegis of the Catalan Audio-Visual Media Corporation,18 takes no sides while speaking openly about the process, and the Spanish media portrays it as a problem between 17 See Enric Castelló, Sèries de ficció i construcció nacional: Imaginant una Catalunya televisiva (Tarragona: Publicacions Universitat Rovira i Virgili, 2007). 18 Prior to 2004, Corporació Catalana de Ràdio i Televisió.

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parties rather than a national debate about a 300-year-old conflict.

3.3 A national mass communications system As hybrids abound and culture becomes less territorial, the process of globalisation stands both as a challenge and a fertile field of opportunity for a small country like Catalonia. The country boasts a network of small and medium-sized businesses that are well equipped to meet the challenges. Within this network, Catalan is strong; at newsagents, foreign language press is in far less demand. According to figures released in 2013, Catalan comes in at 26th in the world in terms of websites.19 On the other hand, 30% of Barcelona’s newsstands have closed down.20 The audio-visual sector, with the exception of radio, is small scale when taken in the context of competing with Castilian in the marketplace. And in the classical communication industries (music, cinema, videogames), Catalan holds a marginal position. For example, data from 2011 show that only 3% of video games sold in Catalonia used Catalan as their language.21 In every Catalan territory the crisis has distorted the functioning of the media: in the Balearic Islands and in Valencia, the cultural policy of the Partido Popular has actively sought to eliminate Catalan channels. The clearest cut instance is the closure of the autonomous television channel Canal 9, although only part of its broadcasting was in Catalan. Noteworthy also has been the prohibition of the reception of Catalan television and radio signals in the Basque Country. Some local radio and television stations have been affected, too. More than 30 communications media closed in the region of Valencia between 2008 and the beginning of 2014, and now Info TV and local public stations in Gandia and Ontinyent are set to follow. Similarly radio stations and local press, in both traditional paper and digital form, have disappeared. In Catalonia the local press has fared better, albeit by either reducing the number of pages and/or the number of issues.

19 As published in the daily, El Punt 17/11/2013, citing data from Sofcatalà. See . 20 8TV news; A national mass communications system 19/2/2014. 21 Data from the Generalitat of Catalonia. Fulls de Cultura i Comunicació, 25 (2011).

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Public expenditure cuts in the audio-visual sector have had the effect of concentrating channels while some media, for example the public stations of Cambrils and l’Hospitalet de Llobregat, have been eliminated. Be that as it may, the fact is that the journalistic profession is more at risk than the Catalan communication system. While the latter’s situation is not one of dominance, it is in a state of noteworthy normalisation.

3.4 The digital age: a return to normalcy If we view the communication system of the Catalan-speaking territories in the context of minority languages in Europe, we find it does not conform to the standard. There are some 2,000 media using only Catalan, concentrated above all in Catalonia. In 2012 the HEKA research group22 counted more than a thousand in all media in the Catalan-speaking territories, and this was without taking into account digital publications, local council bulletins or the internal product of institutions. This quantity of communications media is superior in every case when compared with other communication systems within states with a strong, official language (Breton in France, Welsh in the U.K., Sami in the Nordic countries) — and that includes the Basque Country and Galicia, too. Not all media published in Catalan has an explicit, identity-related objective, but even so they all contribute to its diffusion, to the projection of our own perception of our identity and this is expressed openly via the social media and the cultural industries. The media does not create identities, but it helps locate them spatially and also takes part in the process of social recognition necessary for the existence of a particular identity. Identity, changeable and reinterpretable in time, finds in the media a means by which we are able to recognise it. One may easily suppose that independence, if gained eventually, will not lead in the short term to an independent communication system. We can, however, state that we have our own, well developed communication system which allows us to show, project and nourish the changing, porous identifying traits that we generate as a community and as a people. 22 University of the Basque Country research group, HEKA (research in communications media and the press in minority European languages) since 2001. Iñaki Zabaleta Urkiola, head of group in which he participates as collaborator.

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Bibliographical supplement Canosa, Francesc, El somni d’una societat i d’un periodisme: La televisió de paper (1931-1936). Doctoral thesis. Barcelona: Universitat Ramon Llull, 2005. Castelló, Enric, Sèries de ficció i construcció nacional: Imaginant una Catalunya televisiva. Tarragona: Publicacions Universitat Rovira i Virgili, 2007. Culturcat. Portal de la Cultura Catalana. Generalitat de Catalunya. Culturcat. gencat.cat. Ferré Pavia, Carme, ed., Un país de revistes: Història dels magazins en català. Barcelona: APPEC, 2009.

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