Between States: The Transylvanian Question and the European Idea during World War II / Edition 1

by Holly Case

Overview

Winner of the 2010 George Louis Beer Prize of the American Historical Association.

The struggle between Hungary and Romania for control of Transylvania seems at first sight a side-show in the story of the Nazi New Order and the Second World War. These allies of the Third Reich spent much of the war arguing bitterly over Transylvania's future, and Germany and Italy were drawn into their dispute to prevent it from spiraling into a regional war. But precisely as a result of this interaction, the story of the Transylvanian Question offers a new way into the history of how state leaders and national elites have interpreted what "Europe" means. Tucked into the folds of the Transylvanian Question's bizarre genealogy is a secret that no one ever tried to keep, but that has remained a secret nonetheless: small states matter. The perspective of small states puts the struggle for mastery among its Great Powers into a new perspective.

Product Details

ISBN-13:	9780804759861
Publisher:	Stanford University Press
Publication date:	05/05/2009
Series:	Stanford Studies on Central and Eastern Europe
Edition description:	New Edition
Pages:	376
Product dimensions:	6.30(w) x 9.00(h) x 1.20(d)

About the Author

Holly Case is Associate Professor of History at Cornell University.

Read an Excerpt

Between States

The Transylvanian Question and the European Idea During World War II

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By Holly Case

STANFORD UNIVERSITY PRESS

Copyright © 2009 Board of Trustees of the Leland Stanford Junior University
All rights reserved.
ISBN: 978-0-8047-9204-2

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CHAPTER 1

The "Transylvanian Question" and European Statehood

The Transylvanian question appears to affect only Hungary and Romania. But insofar as both states have conflictual interests with other states in the region, the Transylvanian question can readily become a first-order European question, and if it is badly resolved, it can upset chances for peace in the neighboring states and in the whole of Europe.

— Count Albert Apponyi, head of the Hungarian delegation to the peace conference at Versailles, 1920

Throughout history, the problem of Transylvania was not merely of domestic Transylvanian significance, but extended beyond those boundaries, possessing even international importance.

— From an article in the Romanian Communist newspaper Scînteia [The Spark], September 25, 1944

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THE TRANSYLVANIAN QUESTION

Transylvania is what one Hungarian anthropologist has described as "the epicenter of the frontier land," playing a leading role in the formation of two national imaginaries. Its centrality to those imaginaries emerged mostly during the nineteenth century and became more entrenched over the first half of the twentieth. The result, Romanian historian Lucian Boia argues, is that "Hungarians have come to dream of a remote historical period when the Romanians were not there" and the "Romanians ... are tempted to separate [Transylvania] retrospectively from the Hungarian crown and from any Hungarian historical and political project ... integrating it into a general Romanian history."

Transylvania enjoys a position at once unique and essential to the national metanarratives into which the territory has been woven. In a conversation with Hitler during the Second World War, Romanian leader Ion Antonescu referred to Transylvania as the "cradle of Romania." And in 1942, Romanian diplomat Vasile Stoica wrote that Transylvania "constitutes a fortress, as if intentionally created to be the center of a nation ... and today it is the heart of our ethnic space, the center of the Romania of yesterday and tomorrow."

In the Hungarian national imaginary, Transylvania occupies the center of true Hungarianness, "a little Hungarian microcosm." The only region to have been ruled by powerful Hungarian princes, even when the rest of the Hungarian Kingdom was under Ottoman or Habsburg rule, Transylvania possessed what one wartime Hungarian diplomat called "a strange mystique. ... The Transylvanian principality stood as the stunning achievement of Hungarian political talent [and] an integral and carefully guarded part of a person's Hungarian national consciousness." At the post–World War I peace conference, Hungarian delegates argued that Transylvania had been "the stage for the most remarkable events in Hungarian history. Here Hungarian blood flowed in streams for the freedom and independence of the nation." The Hungarian leftist poet Endre Ady would later opine: "Transylvania you are Hungary, and if the world needs Hungary, you will remain with us."

Since the late nineteenth century, both Hungary and Romania have made claims on Transylvania. Nevertheless, solutions to the Transylvanian Question were not consistently cast in winner-takes-all terms. A variety of solutions were proposed and considered at various points, including during World War II. Among the options put forward were autonomy or independence for Transylvania, a reorganization of the Dual Monarchy into a federation in which Transylvania would be given separate status, partial revision of the Treaty of Trianon to give the border regions back to Hungary, the creation of a "Danube Federation" to effect a kind of shared sovereignty over regions like Transylvania, or the delineation of an autonomous region in the majority-Hungarian eastern core of Transylvania, the Szekler Land.

It is also the case that many of the most seemingly single-minded individuals who make appearances in this story pondered a variety of solutions to the Transylvanian Question. Iuliu Maniu, whose voice comes through during the war as among the most adamant and uncompromising lobbyists for the complete return of Transylvania to Romania, had once proposed autonomy, even independence for the region. Hungarian prime minister Pál Teleki, who oversaw the return of Northern Transylvania to Hungary in 1940, did not consistently favor the reannexation of the whole of Transylvania to Hungary. Furthermore, within the region many cultural and intellectual groups and figures tried to circumvent the politicking of the two would-be nation-states around the Transylvanian Question by asserting a regional identity distinct from and superior to both the "Regat" Romanian and "core" Hungarian varieties.

During the Second World War, frustrations with state leaders' efforts to manhandle their own national constituencies domestically and across the border found frequent expression through an array of venues. Hungarians in Transylvania often openly resented the "parachutists" from Trianon Hungary who had come to take administrative posts in Northern Transylvania without adequate knowledge of local conditions and minority languages. This resentment mirrored the one many Transylvanian Romanians had expressed when Transylvania was annexed to Romania after World War I, who felt patronized, bullied, and misunderstood by the imported "Rega?eni" officials who, like the "parachutists," possessed limited or no knowledge of the region and its diverse population.

In short, there has been much disagreement over how the Transylvanian Question should be resolved — on the level of high diplomacy, on the front lines of battlefields, in local administration, and in interactions between individuals in "everyday" settings. Indeed, since the Transylvanian Question emerged simultaneously with modern nation-states in this region, it has involved not just territorial aspirations, but the myriad dilemmas of nation-and state-building. Far from being a modern manifestation of long-standing antagonisms between Hungarians and Romanians, the Transylvanian Question is thus a product of changes in the European geopolitical landscape that began in the mid to late nineteenth century with the decline of the Ottoman Empire. These changes raised questions about the rights of the nation and the individual within it; about the terms of citizenship and national belonging; about the nation's role in "Europe" and the international order; about the structure of society; about overlaps and fractures between class, religious, race, linguistic, and gender categories; about challenges to state sovereignty over territories and populations; and about relations with neighboring states and Great Powers. These dilemmas often clustered around particular people and places, taking on lives of their own. Hence the proliferation of "questions" in the nineteenth century: the Polish Question, the Eastern Question, the Jewish Question, the Macedonian Question, and the Transylvanian Question. And as these questions moved into the twentieth century, it became apparent that resolving them would require reconciling boundaries with ideas — ideas not only about nations, but about Europe.

The stakes in these questions were thus very high from the outset. The fate of Transylvania was so important to leaders of Hungary and Romania that attempts to obtain or retain the territory more than once determined the success or failure of governments, shaped wartime alliances, and radically changed the demographic constitution and ideological bearing of both states. On the micro level, attempts to resolve the Transylvanian Question also affected how soldiers understood what they fought and died for; caused people to change their address, citizenship, religion, marital status, mother tongue, or nationality; pushed them up or down the social hierarchy; gave or took away property, jobs, privileges, and even lives. And being fully aware that the Transylvanian Question would be resolved one way or another only with the blessing of one or more Great Powers — among them the United States, Great Britain, France, Germany, and the Soviet Union — statesmen and other elites in Hungary and Romania lobbied incessantly to raise the Transylvanian Question to the status of a European problem. Determining who should have Transylvania, they contended, was a decision affecting the political stability, economic health, and prospects for peaceful coexistence of the entire continent and furthermore should serve as a litmus test for the justness and efficacy of the European balance of power, international law, and agreements between states.

Such attempts to raise the profile of the Transylvanian Question did not always produce the desired results, nor was the fate of Transylvania the only issue that influenced decision making among political elites and the attitudes of their constituencies in these countries. Both states and their inhabitants had other concerns before and during World War II: widespread and sometimes debilitating social inequality, intensifying ideological extremism, and two expansionist Great Powers — Germany and the Soviet Union — on their respective borders, not to mention other territories besides Transylvania they had gained, lost, or feared losing to neighboring states. Yet the extent to which governments and citizens understood even these issues in terms of their relation to the Transylvanian Question is remarkable. Part of the goal of this book is thus to reveal the extent to which the Transylvanian Question saturated everything from politics to diplomacy, from social relations to legal structures in Hungary and Romania before and during World War II, and what the legacy of that saturation has been since.

Yet by now emphasizing the centrality of the Transylvanian Question to ideas of Europe in these two states may seem overdetermined. There are, after all, plenty of people in both Hungary and Romania who are "over" or "past" the Transylvanian Question as a contest for territory, including most Hungarian and Romanian politicians and state leaders. Furthermore, today Hungarians' historical preoccupation with territorial revision is certainly fertile ground for satire even within Hungary, and the freakishly ultra-Romanian Gheorghe Funar era in Transylvania's capital of Cluj has been the butt of many a good joke as well. Hence suggesting that the Transylvanian Question accounts for the way ideas of "Europe" developed in these states certainly would be overdetermined if the question were understood merely in terms of states' aspirations to control a particular swath of territory.

But historically speaking, the Transylvanian Question has not always or only been about gaining control of a place called Transylvania. It has been about sovereignty, about the viability and vitality of peoples and states, and about the legitimacy of governments and European orders. The Transylvanian Question has also been about who belongs to the state, and to whom the state belongs, and as such about the transformation from "old-style" diplomacy to population politics with its accompanying emphasis on international propaganda, geopolitics, and demography. In short, the balls that were tossed into the air during nineteenth- century processes of nation- and state-building are still in the air, are still being juggled by the states and peoples of East-Central Europe, and are not likely to come down anytime soon. This chapter therefore probes the origins of Transylvania's transformation from a place into a question and how an idea of Europe emerged out of the process.

STATE, NATION, INDIVIDUAL

The Oxford English Dictionary provides insight into the evolution of the notion of statehood in the European context. The definition of the word state as it was used at different periods in history reveals a concept undergoing a significant transformation from the early modern to the modern periods. During the fifteenth, sixteenth, and seventeenth centuries, for example, most definitions of state referred to individuals: "person of standing, importance or high rank," or "the rulers, nobles, or great men of a realm." Many of these definitions later became obsolete. Among those that did not fall out of usage were the meanings of state as "the body politic as organized for supreme civil rule and government" and "a body of people occupying a defined territory and organized under a sovereign government."

These definitions show how the territory, government, and person of the ruler earlier constituted a single identity. In the modern era, however, the person of the ruler has ceased to define the state, which is instead defined by people and territory. Perhaps the first move in this direction was an emphasis on the "state- running" or "state-making" power of peoples. In 1846, during the so-called Reform Era, a critical moment in the history of Hungarian state-building, Hungarian statistician/ethnographer Elek Fényes outlined three essential features of the Hungarian consciousness: outstanding political talents, "state-making" abilities, and love of freedom, courage, gentleman's honor, and chivalry. Fényes's autostereotype presents the Hungarian as embodying all the characteristics of a good leader, ascribing the qualities of rulers to the nation as a whole.

The conflation of states with peoples and territory was evident shortly thereafter, under the influence of the French Revolution and the ideas of individuals like Johann Gottfried Herder and Johann Gottlieb Fichte. Thus, by the 1860s, in a German encyclopedia, the definition of state is given as "the collectivity of sedentary people that is united into a moral-organic personality under the superior force driven by their common interest." The "people" here assume the role of the "personality" of the state, subsuming the role once played by the ruler. An 1890s definition of state from a Hungarian encyclopedia lists the first two constituent elements of the state as "the population" and "the territory," respectively. The same is true in the case of the first Romanian encyclopedia published in 1904.

The transformation of the state's essence from sovereign to territory and population was helped along by ever more frequent and detailed censuses, which made it possible to situate national and linguistic proclivities within a bounded geographical space. Similarly, the gradual transfer of sovereign status from rulers to people can be traced through the evolving legal systems of states, including the legal framework for prosecuting "slander against the nation" (or insulting the nation's honor) in Hungarian law. The law had its origins in the mid-nineteenth-century Habsburg Monarchy. In its earliest incarnation, this sort of crime took the form of insults or slights to the person of the monarch or emperor. There was a constitutional ban on verbal attacks on the monarch, and a Hungarian law from 1848 establishes the "person of the king" as "sacrosanct [szent és sérthetetlen]." In 1878, a law was introduced which formally criminalized slights to the king, rendering them punishable by up to five years in prison. Going a step further, the law also criminalized affronts to the constitutional state formation, its institutions, the polity comprising nations within the Hungarian state, the parliament, and the state's lawmaking institutions. In 1913, on the eve of the First World War, three new articles were added to the 1878 law, further delineating punishments for various slights to the person of the king, but also criminalizing the act of calling for an end to the monarchy. The explanation of the motivations for altering the law — which were published along with the law itself — also foreshadowed its transformation from a law protecting the honor of the king to one protecting the honor of the nation. Lawmakers opined that "it is undeniable that ... the preservation of the king's reputation is a condition for the unity and survival of the Hungarian state ... against which any assault must be beaten back and prevented." The justification thus forged a link between the reputation of the king and the survival of the Hungarian state.

A further step toward a law protecting the "nation" from slander came after World War I, when all laws protecting the honor of the king were transferred onto the person of the regent, Miklós Horthy. The criminalization of slights to the nation's honor happened less than a year later, with a law making slander against the nation punishable by up to five years in prison and the confiscation of all personal property. In this way the person of the sovereign was replaced by the nation as the legal object of slander. In a precedent-setting case from 1932, a court ruled that representatives of state authority were not the only viable targets for slander against the nation. This opened the way for individual members of the state-forming [államalkotó] nationality to become targets of slander against the nation, a phenomenon that was common in the slander trials that took place during World War II.

CULTURE AND THE IMAGINED STATE

Despite the similarities between the basic definitions of statehood from the Hungarian and Romanian perspective, early encyclopedias also reveal a critical difference in the way the state was viewed. In the 1904 Enciclopedia Român?, the definition of stat makes a clear distinction between state and people [popor], which is absent from the Hungarian definition. A "people," we learn from the definition of popor, is synonymous with a "nation" [natiune] and "has both an ethnic and political character," but should by no means be confused with a "state." This difference is significant, as it recognizes "Romania" as a state, but as a state that did not encompass the Romanian "people" or "nation," since so many Romanians were living outside Romania's state boundaries at the time.

(Continues...)

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Excerpted from Between States by Holly Case. Copyright © 2009 Board of Trustees of the Leland Stanford Junior University. Excerpted by permission of STANFORD UNIVERSITY PRESS.
All rights reserved. No part of this excerpt may be reproduced or reprinted without permission in writing from the publisher.
Excerpts are provided by Dial-A-Book Inc. solely for the personal use of visitors to this web site.

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Table of Contents

Contents

Title Page,
Copyright Page,
Dedication,
Table of Figures,
List of Tables,
List of Maps,
Acknowledgments,
Note on Nomenclature,
Names and Labels,
Between States,
Introduction: Between States,
CHAPTER ONE - The "Transylvanian Question" and European Statehood,
CHAPTER TWO - "Why We Fight",
CHAPTER THREE - People Between States,
CHAPTER FOUR - A League of Their Own,
CHAPTER FIVE - The "Jewish Question" Meets the Transylvanian Question,
CHAPTER SIX - A "New Europe"?,
Conclusion,
Reference Matter,
Index,

Editorial Reviews

"This well-written and meticulously researched study advances large and provocative claims. At its center stands the 'Transylvanian Question': the struggle, particularly bitter during World War II, between Hungary and Romania for possession of the borderland made famous by Bram Stoker. It is not Holly Case's purpose to side with one country or the other but to demonstrate the importance of this and, by extension, other territorial disputes to the larger history of Europe."

American Historical Review - Lee Congdon

"This will take a rightful place among the really important and interesting works written on East Central Europe in the last forty years. It also figures among the most penetrating and memorable evocations of place written about Europe as a whole. The author is a brilliant, naturally gifted writer, with a keen sense for telling formulation."

Berkeley - John Connelly

"On the basis of impeccable research in multiple languages, and with a clear mind and lucid pen, Holly Case has written an existential account of nationalism . . . [Case] creates a form of analysis that every student of nationality and nationalism will have to consider."

Austrian History Yearbook - Timothy Snyder

"Between States is an impressive book in breadth of coverage, the author's careful balancing of perspectives and evenhandedness of presentation, as well as in terms of readability. It will certainly become a book read and discussed by specialists in east European history, and it will contribute to moving the field of World War II historiography toward a more comparativist transnational perspective."

Indiana University, The Journal of Central European History - Maria Bucur

"A very original and sophisticated piece of work . . . Full of new insights and . . . amazing research in a great variety of archives and languages . . . pulled together in a most intelligent way."

Columbia University - Mark Mazower

"Case's thoughtful, substantive work challenges prevailing conception on 20th-century European politics by arguing that small states do make an impact on larger European concerns . . . Case's book also suggests significant new avenues of research on national and European identity politics . . . Highly recommended."

Choice - R. K. Byczkiewicz

"[Between States] focuses chiefly on events between 1940 and 1944, in what is a stellar blend of classic diplomatic history with microhistory . . . Holly Case's microhistorical analysis of Cluj serves to caution us that ethnic identity, often depicted as static, is indeed hardly spontaneous; instead it is the product of a state-supported or state-obstructed situative process of identification. Case's book offers much not only to those Hungarian historians engaged in re-elaborating our understanding of the [era] . . . but also to scholars of the region who seek to finally supersede the national narratives that followed the collapse of state socialism with another approach, that of transnational and comparative social history."

Hungarian Historical Review - Stefano Bottoni

"[Between States] focuses chiefly on events between 1940 and 1944, in what is a stellar blend of classic diplomatic history with microhistory . . . Holly Case's microhistorical analysis of Cluj serves to caution us that ethnic identity, often depicted as static, is indeed hardly spontaneous; instead it is the product of a state-supported or state-obstructed situative process of identification. Case's book offers much not only to those Hungarian historians engaged in re-elaborating our understanding of the [era] . . . but also to scholars of the region who seek to finally supersede the national narratives that followed the collapse of state socialism with another approach, that of transnational and comparative social history."—Stefano Bottoni, Hungarian Historical Review


"Between States is the product of much diligent and original research, bringing together a great deal of material in different languages from archives in a number of countries." —Alex Drace-Francis, European History Quarterly


"This well-written and meticulously researched study advances large and provocative claims. At its center stands the 'Transylvanian Question': the struggle, particularly bitter during World War II, between Hungary and Romania for possession of the borderland made famous by Bram Stoker. It is not Holly Case's purpose to side with one country or the other but to demonstrate the importance of this and, by extension, other territorial disputes to the larger history of Europe."—Lee Congdon, American Historical Review


"On the basis of impeccable research in multiple languages, and with a clear mind and lucid pen, Holly Case has written an existential account of nationalism . . . [Case] creates a form of analysis that every student of nationality and nationalism will have to consider."—Timothy Snyder, Austrian History Yearbook


"Between States is an impressive book in breadth of coverage, the author's careful balancing of perspectives and evenhandedness of presentation, as well as in terms of readability. It will certainly become a book read and discussed by specialists in east European history, and it will contribute to moving the field of World War II historiography toward a more comparativist transnational perspective." —Maria Bucur, Indiana University, The Journal of Central European History
"[T]his book [is] a welcome addition to the literature on nationalism in contemporary eastern Europe, and its resolutely transnational approach makes it of great importance to those interested in the topics of national identity well beyond the borders of Hungary and Romania, and indeed the European Union."—Marius Turda, Oxford Brookes University, Slavic Review
"Eloquently written with no small sense of irony and the absurd, amply illustrated, and meticulously researched, Case's book is a pleasure to read. Based on archives from eight different countries in a multitude of languages, this is the work of a very careful historian."—Roland Clark, University of Pittsburgh, H-Net
"Case's thoughtful, substantive work challenges prevailing conception on 20th-century European politics by arguing that small states do make an impact on larger European concerns . . . Case's book also suggests significant new avenues of research on national and European identity politics . . . Highly recommended."—R. K. Byczkiewicz, Choice
"A very original and sophisticated piece of work . . . Full of new insights and . . . amazing research in a great variety of archives and languages . . . pulled together in a most intelligent way."—Mark Mazower, Columbia University
"This will take a rightful place among the really important and interesting works written on East Central Europe in the last forty years. It also figures among the most penetrating and memorable evocations of place written about Europe as a whole. The author is a brilliant, naturally gifted writer, with a keen sense for telling formulation."—John Connelly, University of California, Berkeley

From the Publisher

"Eloquently written with no small sense of irony and the absurd, amply illustrated, and meticulously researched, Case's book is a pleasure to read. Based on archives from eight different countries in a multitude of languages, this is the work of a very careful historian."

University of Pittsburgh, H-Net - Roland Clark

"Between States is the product of much diligent and original research, bringing together a great deal of material in different languages from archives in a number of countries."

European History Quarterly - Alex Drace-Francis

"[T]his book [is] a welcome addition to the literature on nationalism in contemporary eastern Europe, and its resolutely transnational approach makes it of great importance to those interested in the topics of national identity well beyond the borders of Hungary and Romania, and indeed the European Union."

Oxford Brookes University, Slavic Review - Marius Turda