By Charles A. Beard
President of the Association, 1933
Annual address of the president of the American Historical Association, delivered at Urbana. December 28, 1933. From the American Historical Review, Volume 39, Issue 2, p. 219-231
History has been called a science, an art, an illustration of theology, a phase of philosophy, a branch of literature. It is none of these things, nor all of them combined. On the contrary, science, art, theology, and literature are themselves merely phases of history as past actuality and their particular forms at given periods and places are to be explained, if explained at all, by history as knowledge and thought. The philosopher, possessing little or no acquaintance with history, sometimes pretends to expound the inner secret of history, [ 1. For a beautiful example see the passages on America in the introduction to Hegel's Philosophy of History. ]1 but the historian turns upon him and expounds the secret of the philosopher, as far as it may be expounded at all, by placing him in relation to the movement of ideas and interests in which he stands or floats, by giving to his scheme of thought its appropriate relativity. So it is with systems of science, art, theology, and literature. All the light on these subjects that can be discovered by the human mind comes from history as past actuality.
What, then, is this manifestation of omniscience called history? It is, as Croce says, contemporary thought about the past. History as past actuality includes, to be sure, all that has been done, felt, and thought by human beings on this planet since humanity began its long career. History as record embraces the monuments, documents, and symbols which provide such knowledge as we have or can find respecting past actuality. But it is history as thought, not as actuality, record, or specific knowledge, that is really meant when the term history is used m its widest and most general significance. It is thought about past actuality, instructed and delimited by history as record and knowledge--record and knowledge authenticated by criticism and ordered with the help of the scientific method. This is the final, positive, inescapable definition. It contains all the exactness that is possible and all the bewildering problems inherent in the nature of thought and the relation of the thinker to the thing thought about.
Although this definition of history may appear, at first glance, distressing to those who have been writing lightly about "the science of history" and "the scientific method" in historical research and construction, it is in fact in accordance with the most profound contemporary thought about history, represented by Croce, Riezler, Karl Mannheim, Mueller-Armack, and Heussi, for example. It is in keeping also with the obvious and commonplace. Has it not been said for a century or more that each historian who writes history is a product of his age, and that his work reflects the spirit of the times, of a nation, race, group, class, or section? No contemporary student of history really believes that Bossuet, Gibbon, Mommsen, or Bancroft could be duplicated to-day. Every student of history knows that his colleagues have been influenced in their selection and ordering of materials by their biases, prejudices, beliefs, affections, general upbringing, and experience, particularly social and economic; and if he has a sense of propriety, to say nothing of humor, he applies the canon to himself, leaving no exceptions to the rule. The pallor of waning time, if not of death, rests upon the latest volume of history, fresh from the roaring press.
Why do we believe this to be true? The answer is that every written history--of a village, town, county, state, nation, race, group, class, idea, or the wide world--is a selection and arrangement of facts, of recorded fragments of past actuality. And the selection and arrangement of facts--a combined and complex intellectual operation--is an act of choice, conviction, and interpretation respecting values, is an act of thought. Facts, multitudinous and beyond calculation, are known, but they do not select themselves or force themselves automatically into any fixed scheme of arrangement in the mind of the historian. They are selected and ordered by him as he thinks. True enough, where the records pertaining to a small segment of history are few and presumably all known, the historian may produce a fragment having an aspect of completeness as, for example, some pieces by Fustel de Coulanges; but the completeness is one of documentation, not of history. True enough also, many historians are pleased to say of their writings that their facts are selected and ordered only with reference to inner necessities, but none who takes this position will allow the same exactitude and certainty to the works of others except when the predilections of the latter conform to his own pattern.
Contemporary thought about history, therefore, repudiates the conception dominant among the schoolmen during the latter part of the nineteenth century and the opening years of the twentieth century--the conception that it is possible to describe the past as it actually was, somewhat as the engineer describes a single machine. The formula itself was a passing phase of thought about the past. Its author, Ranke, a German conservative, writing after the storm and stress of the French Revolution, was weary of history written for, or permeated by, the purposes of revolutionary propaganda. He wanted peace. The ruling classes in Germany, with which he was affiliated, having secured a breathing spell in the settlement of 1815, wanted peace to consolidate their position. Written history that was cold, factual, and apparently undisturbed by the passions of the time served best the cause of those who did not want to be disturbed. Later the formula was fitted into the great conception of natural science--cold neutrality over against the materials and forces of the physical world. Truths of nature, ran the theory, are to be discovered by maintaining the most severe objectivity; therefore the truth of history may be revealed by the same spirit and method. The reasoning seemed perfect to those for whom it was satisfactory. But the movement of ideas and interests continued, and bondage to conservative and scientific thought was broken by criticism and events. As Croce and Heussi have demonstrated, so-called neutral or scientific history reached a crisis in its thought before the twentieth century had advanced far on the way.
This crisis in historical thought sprang from internal criticism--from conflicts of thought within historiography itself--and from the movement of history as actuality; for historians are always engaged, more or less, in thinking about their own work and are disturbed, like their fellow citizens, by crises and revolutions occurring in the world about them. As an outcome of this crisis in historiography, the assumption that the actuality of history is identical with or closely akin to that of the physical world, and the assumption that any historian can be a disembodied spirit as coldly neutral to human affairs as the engineer to an automobile have both been challenged and rejected. Thus, owing to internal criticism and the movement of external events, the Ranke formula of history has been discarded and laid away in the museum of antiquities. It has ceased to satisfy the human spirit in its historical needs. Once more, historians recognize formally the obvious, long known informally, namely, that any written history inevitably reflects the thought of the author in his time and cultural setting.
That this crisis in thought presents a digressing dilemma to many historians is beyond question. It is almost a confession of inexpiable sin to admit in academic circles that one is not a man of science working in a scientific manner with things open to deterministic and inexorable treatment, to admit that one is more or less a guesser in this vale of tears. But the only escape from the dust and storm of the present conflict, and from the hazards of taking thought, now before the historian, is silence or refuge in some minute particularity of history as actuality. He may edit documents, although there are perils in the choice of documents to be edited, and in any case the choice of documents will bear some reference to an interpretation of values and importance--subjective considerations. To avoid this difficulty, the historian may confine his attention to some very remote and microscopic area of time and place, such as the price of cotton in Alabama between 1850 and 1860, or the length of wigs in the reign of Charles II., on the pleasing but false assumption that he is really describing an isolated particularity as it actually was, an isolated area having no wide-reaching ramifications of relations. But even then the historian would be a strange creature if he never asked himself why he regarded these matters as worthy of his labor and love, or why society provides a living for him during his excursions and explorations.
The other alternative before the student of history as immense actuality is to face boldly, in the spirit of Cato's soliloquy, the wreck of matter and the crush of worlds--the dissolution of that solid assurance which rested on the formula bequeathed by Ranke and embroidered by a thousand hands during the intervening years. And when he confronts without avoidance contemporary thought about the nature of written history, what commands does he hear?
The supreme command is that he must cast off his servitude to the assumptions of natural science and return to his own subject matter. to history as actuality. The hour for this final declaration of independence has arrived: the contingency is here and thought resolves it. Natural science is only one small subdivision of history as actuality with which history as thought is concerned. Its dominance in the thought of the Western World for a brief period can be explained, if at all, by history; perhaps in part by reference to the great conflict that raged between the theologians and scientists after the dawn of the sixteenth century--an intellectual conflict associated with the economic conflict between landed aristocracies, lay and clerical, on the one side, and the rising bourgeois on the other.
The intellectual formulas borrowed from natural science, which have cramped and distorted the operations of history as thought, have taken two forms: physical and biological. The first of these rests upon what may be called, for convenience, the assumption of causation: everything that happens in the world of human affairs is determined by antecedent occurrences, and events of history are the illustrations or data of laws to be discovered, laws such as are found in hydraulics. It is true that no historian has ever been able to array the fullness of history as actuality in any such deterministic order; Karl Marx has gone further than any other. But under the hypothesis that it is possible, historians have been arranging events in neat little chains of causation which explain, to their satisfaction, why succeeding events happen; and they have attributed any shortcomings in result to the inadequacy of their known data, not to the falsity of the assumption on which they have been operating. Undiscouraged by their inability to bring all history within a single law, such as the law of gravitation, they have gone on working in the belief that the Newtonian trick will be turned some time, if the scientific method is applied long and rigorously enough and facts are heaped up high enough, as the succeeding grists of doctors of philosophy arc ground out by the universities, turned loose on "research projects", and amply supplied by funds.
Growing rightly suspicious of this procedure in physico-historiography, a number of historians, still bent on servitude to natural science, turned from physics to biology. The difficulties and failures involved in all efforts to arrange the occurrences of history in a neat system of historical mechanics were evident to them. But on the other side, the achievements of the Darwinians were impressive. If the totality of history could not be brought into a deterministic system without doing violence to historical knowledge, perhaps the biological analogy of the organism could be applied. And this was done, apparently without any realization of the fact that thinking by analogy is a form of primitive animism. So under the biological analogy, history was conceived as a succession of cultural organisms rising, growing, competing, and declining. To this fantastic morphological assumption Spengler chained his powerful mind. Thus freed from self-imposed slavery to physics, the historian passed to self-imposed subservience to biology. Painfully aware of the perplexities encountered as long as he stuck to his own business, the historian sought escape by employing the method and thought of others whose operations he did not understand and could not control, on the simple, almost childlike, faith that the biologic, if not the physicist, really knew what he was about and could furnish the clue to the mystery.
But the shadow of the organismic conception of history had scarcely fallen on the turbulent actuality of history when it was scrutinized by historians who were thinking in terms of their own subject as distinguished from the terms of a mere subdivision of history. By an inescapable demonstration Kurt Riezler has made it clear that the organismic theory of history is really the old determinism of physics covered with murky words. The rise, growth, competition, and decline of cultural organisms is meaningless unless fitted into some overarching hypothesis--either the hypothesis of the divine drama or the hypothesis of causation in the deterministic sense. Is each cultural organism in history, each national or racial culture, an isolated particularity governed by its own mystical or physical laws? Knowledge of history as actuality forbids any such conclusion. If, in sheer desperation, the historian clings to the biological analogy, which school is he to follow--the mechanistic or the vitalistic? In either case he is caught in the deterministic sequence, if he thinks long enough and hard enough.
Hence the fate of the scientific school of historiography turns finally upon the applicability of the deterministic sequence to the totality of history as actuality. Natural science in a strict sense, as distinguished from mere knowledge of facts, can discover system and law only where occurrences are in reality arranged objectively in deterministic sequences. It can describe these sequences and draw from them laws, so-called. From a given number of the occurrences in any such sequence, science can predict what will happen when the remainder appear.
With respect to certain areas of human occurrences, something akin to deterministic sequences is found by the historian, but the perdurance of any sequence depends upon the perdurance in time of surrounding circumstances which cannot be brought within any scheme of deterministic relevancies. Certainly all the occurrences of history as actuality cannot be so ordered; most of them are unknown and owing to the paucity of records must forever remain unknown.
If a science of history were achieved, it would, like the science of celestial mechanics, make possible the calculable prediction of the future in history. It would bring the totally of historical occurrences within a single field and reveal the unfolding future to its last end, including all the apparent choices made and to be made. It would be omniscience. The creator of it would possess the attributes ascribed by the theologians to God. The future once revealed, humanity would have nothing to do except to await its doom.
To state the case is to dispose of it. The occurrences of history--the unfolding of ideas and interests in time-motion--are not identical in nature with the data of physics, and hence in their totality they are beyond the reach of that necessary instrument of natural science--mathematics--which cannot assign meaningful values to the imponderables, immeasurables, and contingencies of history as actuality.
Having broken the tyranny of physics and biology, contemporary thought in historiography turns its engines of verification upon the formula of historical relativity--the formula that makes all written history merely relative to time and circumstance, a passing shadow, an illusion. Contemporary criticism shows that the apostle of relativity is destined to be destroyed by the child of his own brain. If all historical conceptions are merely relative to passing events, to transitory phases of ideas and interests, then the conception of relativity is itself relative. When absolutes in history are rejected the absolutism of relativity is also rejected. So we must inquire: To what spirit of the times, to the ideas and interests of what class, group, nation, race, or region does the conception of relativity correspond? As the actuality of history moves forward into the future, the conception of relativity will also pass, as previous conceptions and interpretations of events have passed. Hence, according to the very doctrine of relativity, the skeptic of relativity will disappear in due course, beneath the ever-tossing waves of changing relativities. If he does not suffer this fate soon, the apostle of relativity will surely be executed by his own logic. Every conception of history, he says, is relative to time and circumstances. But by his own reasoning he is then compelled to ask: To what are these particular times and circumstances relative? And he must go on with receding sets of times and circumstances until he confronts an absolute: the totality of history as actuality which embraces all times and circumstances and all relativities.
Contemporary historical thought is, accordingly, returning upon itself and its subject matter. The historian is casting off his servitude to physics and biology, as he formerly cast off the shackles of theology and its metaphysics. He likewise sees the doctrine of relativity crumble in the cold light of historical knowledge. When he accepts none of the assumptions made by theology, physics, and biology, as applied to history, when he passes out from under the fleeting shadow of relativity, he confronts the absolute in his field--the absolute totality of all historical occurrences past, present, and becoming to the end of all things. Then he finds it necessary to bring the occurrences of history as actuality under one or another of three broad conceptions.
The first is that history as total actuality is chaos, perhaps with little islands of congruous relativities floating on the surface, and that the human mind cannot bring them objectively into any all-embracing order or subjectively into any consistent system. The second is that history as actuality is a part of some order of nature and revolves in cycles eternally--spring, summer, autumn, and winter, democracy, aristocracy, and monarchy, or their variants, as imagined by Spengler. The third is that history as actuality is moving in some direction away from the low level of primitive beginnings, on an upward gradient toward a more ideal order--as imagined by Condorcet, Adam Smith, Karl Marx, or Herbert Spencer.
Abundant evidence can be marshaled, has been marshaled, in support of each of these conceptions of history as actuality, but all the available evidence will not fit any one of them. The hypothesis of chaos admits of no ordering at all; hence those who operate under it cannot write history, although they may comment on history. The second admits of an ordering of events only by arbitrarily leaving out of account all the contradictions in the evidence. The third admits of an ordering of events, also by leaving contradictions out of consideration. The historian who writes history, therefore, consciously or unconsciously performs an act of faith, as to order and movement, for certainty as to order and movement is denied to him by knowledge of the actuality with which he is concerned. He is thus in the position of a statesman dealing with public affairs; in writing he acts and in acting he makes choices, large or small, timid or bold, with respect to some conception of the nature of things. And the degree of his influence and immortality will depend upon the length and correctness of his forecast--upon the verdict of history yet to come. His faith is at bottom a conviction that something true can be known about the movement of history and his conviction is a subjective decision, not a purely objective discovery.
But members of the passing generation will ask: Has our work done in the scientific spirit been useless? Must we abandon the scientific method? The answer is an emphatic negative. During the past fifty years historical scholarship, carried on with judicial calm, has wrought achievements of value beyond calculation. Particular phases of history once dark and confused have been illuminated by research, authentication, scrutiny, and the ordering of immediate relevancies. Nor is the empirical or scientific method to be abandoned. It is the only method that can be employed in obtaining accurate knowledge of historical facts, personalities, situations, and movements. It alone can disclose conditions that made possible what happened. It has a value in itself--a value high in the hierarchy of values indispensable to the life of a democracy. The inquiring spirit of science, using the scientific method, is the chief safeguard against the tyranny of authority, bureaucracy, and brute power. It can reveal by investigation necessities and possibilities in any social scene and also offerings with respect to desirabilities to be achieved within the limits of the possible.
The scientific method is, therefore, a precious and indispensable instrument of the human mind; without it society would sink down into primitive animism and barbarism. It is when this method, a child of the human brain, is exalted into a master and a tyrant that historical thought must enter a caveat. So the historian is bound by his craft to recognize the nature and limitations of the scientific method and to dispel the illusion that it can produce a science of history embracing the fullness of history, or of any large phase, as past actuality.
This means no abandonment of the tireless inquiry into objective realities, especially economic realities and relations; not enough emphasis has been laid upon the conditioning and determining influences of biological and economic necessities or upon researches designed to disclose them in their deepest and widest ramifications. This means no abandonment of the inquiry into the forms and development of ideas as conditioning and determining influences; not enough emphasis has been laid on this phase of history by American scholars.
But the upshot to which this argument is directed is more fundamental than any aspect of historical method.It is that any selection and arrangement of facts pertaining to any large area of history, either local or world, race or class, is controlled inexorably by the frame of reference in the mind of the selector and arranger. This frame of reference includes things deemed necessary, things deemed possible, and things deemed desirable. It may be large, informed by deep knowledge, and illuminated by wide experience; or it may be small, uninformed, and unilluminated. It may be a grand conception of history or a mere aggregation of confusions. But it is there in the mind, inexorably. To borrow from Croce, when grand philosophy is ostentatiously put out at the front door of the mind, then narrow, class, provincial, and regional prejudices come in at the back door and dominate, perhaps only half-consciously, the thinking of the historian.
The supreme issue before the historian now is the determination of his attitude to the disclosures of contemporary thought. He may deliberately evade them for reasons pertaining to personal, economic, and intellectual comfort, thus joining the innumerable throng of those who might have been but were not. Or he may proceed to examine his own frame of reference, clarify it, enlarge it by acquiring knowledge of greater areas of thought and events, and give it consistency of structure by a deliberate conjecture respecting the nature or direction of the vast movements of ideas and interests called world history.
This operation will cause discomfort to individual historians but all, according to the vows of their office, are under obligation to perform it, as Henry Adams warned the members of this Association in his letter of 1894. And as Adams then said, it will have to be carried out under the scrutiny of four great tribunals for the suppression of unwelcome knowledge and opinion: the church, the state, property, and labor. Does the world move and, if so, in what direction? If he believes that the world does not move, the historian must offer the pessimism of chaos to the inquiring spirit of mankind. If it does move, does it move backward toward some old arrangement, let us say, of 1928, 1896, 1815, 1789, or 1295? Or does it move forward to some other arrangement which can be only dimly divined--a capitalist dictatorship, a proletarian dictatorship, or a collectivist democracy? The last of these is my own guess, founded on a study of long trends and on a faith in the indomitable spirit of mankind. In any case, if the historian cannot know or explain history as actuality, he helps to make history, petty or grand.
To sum up contemporary thought in historiography, any written history involves the selection of a topic and an arbitrary delimitation of its borders--cutting off connections with the universal. Within the borders arbitrarily established, there is a selection and organization of facts by the processes of thought. This selection and organization--a single act--will be controlled by the historian's frame of reference composed of things deemed necessary and of things deemed desirable. The frame may be a narrow class, sectional, national, or group conception of history, clear and frank or confused and half conscious, or it may be a large, generous conception, clarified by association with the great spirits of all ages. Whatever its nature the frame is inexorably there, in the mind. And in the frame only three broad conceptions of all history as actuality are possible. History is chaos and every attempt to interpret it otherwise is an illusion. History moves around in a kind of cycle. History moves in a line, straight or spiral, and in some direction. The historian may seek to escape these issues by silence or by a confession of avoidance or he may face them boldly, aware of the intellectual and moral perils inherent in any decision--in his act of faith.
Charles A. Beard (Nov. 27, 1874 to Sept. 1, 1948) was one of the most daring and innovative historians of his day. He received his PhD from Columbia in 1904, and taught there until 1917, before helping to establish the New School for Social Research. In works such as An Economic Interpretation of the Constitution of the United States (1913) and Economic Origins of Jeffersonian Democracy (1915), he stressed the part played by economic forces in the development of American institutions. With his wife, Mary Ritter Beard, he also co-authored the classic text book, The Rise of American Civilization (1927).
一直以来，是否存在真实的历史，都是个不断被争论的问题。虽然作者对此表示怀疑，我还是相信真实的历史是可以被重现的，只要我们足够努力。本来想把这篇文章翻译过来的，可是内容太多了，几万字可不是闹着玩的。
来源：美国历史学会
