ἔθνοςand γένοςin Herodotus

Author(s): C. P. Jones
Source: The Classical Quarterly, New Series, Vol. 46, No. 2 (1996), pp. 315-320
Published by: Cambridge University Press on behalf of The Classical Association
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Classical Quarterly 46 (ii) 315-320 (1996) Printed in Great Britain 315

6Ovos AND ydvog IN HERODOTUS

Herodotushas often been consideredthe Father of Ethnographyno less than the

Fatherof History.It comesas a paradox,then,thathe has beentaxedwithconfusion
in his use of two termsthatrecuroverand overin his discussionof peoples,'Ovosand
ydvos.Hereis the formulationof RaymondWeil:1
Herodotedefinitmall"ethnos'.C'estpourlui tant6tunesubdivision du 'genos',tant6tau
contraireunensemble de 'ge'ne'.Ainsil"ethnos'desMedes,commeceluidesScythes,groupe
plusieursyE'va.Maiscet'ethnos'scytheporteaussile nomde'genos',et comprend des
LesAtheniens sontun'ethnos'hellenique :OvEa.
quifaitpartiedu'genos'ionien,lesLacedemoniens
un 'ethnos'pelasgiquea rattacherau 'genos'dorien.2I1 y a d'ailleursplusieurs'OvEa
pelasgiques et helleniques.
L'ensemble desGrecsconstituetant6tun 'genos'- 7r 'EAArVLKOV
yEvog- repartien MOvEa, tant6tun 'ethnos'.Et le 'genos'dorienn'estplusau livreVIIIque
l'undesseptMOvEa quioccupentle Peloponnese.
In otherwords,Herodotus'use of the two termsis taxonomicor hierarchical,and at
the same time inconsistent:an ethnosis sometimesa subdivisionof the genos, and
sometimesthe contrary.3It is true that he does not use languagewith the precision
of a philosopher,and does not establish'definitions':4rather,like most authorshe
assumesthathis personallinguisticsystem,thelinguists''idiolect',is sufficientlyclose
to the reader'sto make definitionsunnecessary.On this understanding,it will be
arguedherethat his distinctionbetweenthe two wordsis not taxonomic,but instead
is to be explainedby linguistic'intension': that is, his choice of one or the other is
determinednot only by the objectreferredto or 'referent'('extension')but by the
way he wishesto presentthem ('intension').5
An exampleof this distinctionin Englishis providedby the words 'house' and
'home', whichoften occurtogether,sometimesas near-synonyms,'eat out of house
and home', sometimeswith a slight but perceptibledifference,as in the American
proverbs'men build houses, women build homes', 'not all houses are homes'.' In
these last, 'house' emphasizesthe dwelling-placeas physicalobject,often as viewed
fromoutside('a streetlinedwithuglyhouses'):'home' emphasizescomfort,security,
and othersubjectivefeelings,oftenas viewedfrominside('she hasa beautifulhome').
Thereis perhapsa furtherdifference,that the two wordsare pairedas 'marked'and
'unmarked','house' beingthe general,'unmarked'term,'home' the 'marked'one.7
Like 'Ovos and y'vog, 'house' and 'home' exhibit differentsyntacticalbehaviour.
1 R. Weil, Aristote et l'Histoire, Etudes et Commentaires 36 (Paris, 1960), 385. I have learned
muchfrom talkingwith KevinDaly, Alex Hollmann,SimonHornblowerand GregoryNagy,
and am also gratefulto the readersfor CQ. My researchfor this paper has been greatly
facilitated by the use of the ThesaurusLinguae Graecae (Irvine, CA).
2 Thetext(1.56.2)is ambiguous, butnot on thispoint:Herodotusin factattributestheoriginal
Ioniansto the 'PelasgicEOvos',the Spartansto the Hellenic.
' Thefirstview
(yEvosas a subdivisionof EOvos)
is alreadyin Schweighaeuser's
Lexicon,and
thereafterin the revisedStephanusand LSJ.
'
4 The famous phrase in 8.144.2, r EAArVLKOV cv O3patqdV TE Kat 6odyAwacov, is not
actually a 'definition of Greekness', as it has sometimes been called, but means only 'the fact
that the Greekpeopleis of one blood and one tongue'.
' A useful discussion in R. E. Asher et al.
(edd.), The Encyclopediaof Language and Linguistics
(Oxford, 1994), s.v. 'intension', iv. 1699-702.
6 W. Mieder et al. (edd.), A Dictionary of AmericanProverbs(New York, 1992), s.v. 'house' 27,
29.
' On this distinction, see The
Encyclopedia of Language (above, n. 5) s.v. 'markedness', v.
2378-83.

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316 C. P. JONES
'House' in the singular is almost never found without a definite or indefinite article,
and phrases like 'in house' are rare: 'home' tends to be used with reference to specific
dwellings only when their physical amenities are stressed ('stately home', 'senior
citizens' home' [US]), and otherwise in generalized expressions such as 'at home',
'far from home', 'go (come, get) home'.
I will begin by considering Herodotus' use of the words 'OvoS and yEvogin isolation
from each other, and then take those passages in which they occur in the same
context, sometimes with reference to the same group. I shall then compare
Thucydides' practice with Herodotus'.
WOvoS is a word of uncertain derivation. Chantraine defines it thus: 'groupe plus ou
moins permanent d'individus, soldats, animaux (Homere, Pindare, Aeschyle), d'oiu
"nation, caste, classe" (Herodote, ionique-attique), "sexe" (Xenophon), "peuple
etranger, barbare" (Aristote, etc.)'.s Herodotus uses 'Ovos in a very restricted way,
and practically every case can be translated 'people' or 'nation '. When accompanied
by an ethnic adjective, the word may designate a group as small as the population of
Attica (ro 'Ar77KbV Ovo0, 1.57.3) or as large as the nation of the Medes (1.101):
sometimes the connection of a group with an affiliated one is indicated by such
phrases as vottaes avOpwrTrot,'aycdprtotLKaAEOdJLEVOL, Evos HEpaLK'v Ka~Lbowv-
(7.85.1). Very often W8vosdesignates a people subject to a particular ruler, so that it
may appear in the genitive after a noun such as 7Tpavvosor /autAEV (1.6.1, 53.2) or
in the accusative after a verb like or KaTaarTpE •dbEvog (1.101, 177).
avvE"apE•/
Herodotus also uses it for a people viewed in its physical or geographical extension,
for example EOvEa~ avep•ir6wv ... v EwvTr< EXEL0 Kat KaKaog (1.203), rrdv
, roAAa
E;voS To LEo7TOWV voS (2.102.3). Almost always he uses the word when
K77PEaTaa•pEdo
viewing a people from the standpoint of a particular moment of his narrative, that is,
synchronously with some other event or state of affairs, a viewpoint sometimes
stressed by a temporal phrase: thus qv S' rofrov rov Xpdvov WOvoSot~Sv ...
dAhKLLuTEpov 70to AvIlov (1.79.3), r6 KapLKoV ~jv Ovo AoyL7rar7ov ...
KaT 70ro70ovaltLa 7tv Xpdvov(1.171.3). By contrast with y4vos, Ovosis never bonded
with ethnic adjectives in the so-called accusative of respect, so that there is no such
phrase as 6"Eiva `Lv ~OvoS to set beside such expressions as Kpoiaosg jv
HpEPULK6S
AvS'o ,LevyEvos, gS (1.6.1). The closest Herodotus comes to such a
construction is when raLs 'AAv-rrEcw
he uses WOvoS qualified by an ethnic adjective in apposition with
another noun, as Laydprtot ..., OEvoSHEPULKV in an example cited above (7.85.1).
Herodotus' use of ydvos is much more varied. This has a very clear Indo-European
ancestry, and is connected with a root meaning 'engender, give birth', as in the Latin
gigno. Chantraine glosses the word thus: '"race, famille" (notamment grande famille
patriarchale), "posterite" et en outre "sexe," en logique "classe" par opposition 'a
EtlOS,en histoire naturelle "classe d'animaux ", etc'.l? Herodotus always uses the word
of animate beings, usually human but sometimes animal such as birds, sheep or oxen
(1.159.3; 3.113.1; 4.29). Powell's various 'senses' are not to be understood in the way
that 'offspring' and 'semen' are two senses of ydvos, but rather, as often in lexica, as
possible translations of yEvos in light of the fact that English lacks a simple
equivalent. For Herodotus, the essential idea is of a group into which one enters at

8 P. Chantraine, Dictionnaire etymologique de la Langue grecque ii (Paris, 1970), 315.

9 Referencesin J. E. Powell, A Lexicon to Herodotus(Cambridge,1938), s.v. (henceforth
'Powell,Lexicon').Powellputs one instanceundera secondrubric,'nationality',oi?rTfOwvi;v
E~UOrTa 'ET 'Ovos0 (4.111.1; omitted by the codex Mureti): but this could
o-TE
be o•v1
understood as 'the nation,yvWaKov -o
(to which the strangers belonged, sc.)'.
10 Chantraine (n. 8), i (Paris, 1968), 222.

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 EOvos AND yEvog IN HERODOTUS 317
birth, what one becomes (ylyvTrat) by the fact of birth. The anthropological term
'descent-group' covers most of its uses in Herodotus, and covers several of Powell's
other senses such as 'tribe', 'family', 'house'; even 'caste', since when Herodotus
talks about the seven yEVEaof the Egyptians, priests, soldiers, cowherds, and so on,
he means groups which pass on their vocations 'from father to son' (2.164.1, 166.2).
He also uses the word of a genetic group and not an ancestral one, as when speaking
of r~o
'Av yE'vog (2.85.1), and in this sense it is on its way to its long career in logic
and natural history as the counterpart of EL'OS,genus as opposed to species.11
Syntactically, Herodotus uses yEvos very differently from 'Ovos. Powell's second
sense of the word, 'race, nation', is the largest, with twenty-nine examples out of
sixty-six, and almost all of these are of the bonded type already noticed, for example
Av6~6sgiv ydvog (1.6.1). Despite Powell, Herodotus uses this construction of a
population group as large as the Lydians (1.60.3), as small as a single city, yEvog
'AALKapvqrlaEv?g(3.4.1), ydvos E~vrTES 'AOrlvaiot (5.62.2): here again, therefore,
'descent-group' is the dominant sense. It accords with this that Herodotus often uses
the word with a strong connotation of preterite time, for example to emphasize the
relation of an ethnic group to its ancestors rather than to the moment of the
narrative: we will examine a notable instance (7.185.2) later.
To summarize the argument so far, WOvos and yEvoSwhen applied by Herodotus to
an ethnic group, in the sense of a group to which an ethnic adjective can be applied,
differ not in taxonomy, as part to whole, but in other ways, which are largely
explained by linguistic intension. An 4Ovosis such a group viewed as a geographical,
political or cultural entity, often in relation to the time of the narrative context: yEvos
is such a group viewed as united by birth, and often in relation to some point previous
to the narrative time. It might also be said that an ethnic adjective employed alone,
either in the generalizing plural (ol •EAArvES)or the substantival neuter (ro
'EAArVLK6v),represents a neutral grade, the group viewed from no point in particular.
We may test the hypotheses advanced so far about these two terms by examining
those passages in which Herodotus uses them both in close conjunction, usually with
reference to the same group.
1.56.2-59.1. Herodotus uses a specific historical moment, Croesus' search for allies
among the mainland Greeks, to give a survey of the chief Greek peoples at that time:
this survey doubtless represents what Gomme calls 'learned theory' of the author's
own, but its truth-value can be left to one side here.12 The first sentence, the only one
in which he uses the word ydvos, contains a syntactical ambiguity. ETar'SE Tafra
EOpdo`VTLE
la-ropwrV
70Ti,av 'EAAqvwv8vvarwcrdrovgScdv-ras7TrrpoaK7rUGaaLTo Aovs,
LUTroppwEvS E PLKE
KAaKE8qtLOViovS Kai ro0s ,iv
'AOrlvatovs 7poi)ovras~ r70o
8S TOy 'ICWVLKOV. -V r7TpOKEKpqLEva,
lCOptLKOyEVEOS,
T% rTOV% '
To ravra yap qlv
V K
EodvTra r
apXaiov pv HIEAaUyLKOVi 'EAA7-/vLv 'Ovos. Kalt T otvv a -L~Kc
!- r-
EEXwuprlUE, 6 i 7roAv7TrAdvrqrov KaKp7a.Commentatorsdo not agree as to which
noun is to be supplied with Because of the preceding yEvEog, Stein
understands yEvEawith rar)7a.
and EOvEawith ra while Legrand
understands EOvEa in bothraira, r7TpOKEKptqlEVa,
places. The latter view must be right. The phrase, 'they had
never yet migrated', could hardly refer to the Pelasgians by contrast with the
Hellenes,13 but well suits the Athenians contrasted with the Spartans: and as for the

11 LSJ(s.v. yEvos V 2) cite PI. Parm.129C, but in fact Aristotleis the firstto establishthis
distinction(E. des Places,Lexiquede Platoni [Paris,1964],110).
12 A. W. Gomme, A Historical Commentaryon Thucydidesi (Oxford, 1945), 95-8; J. H. M.
Alty, JHS 102 (1982), 1-14.
13 For Herodotus' account of the expulsion of the Pelasgians from Attica, 6.137-40.

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318 C. P. JONES
shift from ydvos to ?Ovos,there is one similarly abrupt, though in the other direction,
at 4.46.1-2 (below). If that is correct, then he uses yvog only of the Dorians and
Ionians, descent-groups named after Doros son of Hellen (whom he mentions just
below) and Ion son of Xouthos (whom he mentions much later in his narrative,
5.66.2, etc.). In the rest of the passage he uses only W'Ovos, and his subject is the various
peoples (Pelasgians, Hellenes, Spartans, Athenians) as language-groups, as groups
that 'split off' or 'joined' others (58), or, in the case of the Athenians, as a people
tyrannized by Peisistratus (59.1).
1.101. After describing how Deiokes 'united the Median people' (avviaurpEOET6o
Ml)1tK6V 0Ovos), Herodotus proceeds to list six yEVEaof the Medes, ending with the
Magi. Here he does not use E'OvoS and y4vos of the same group, and while he might
mean the second to be a subdivision of the first, he could equally well be referring to
these six groups as hereditary. The meaning is therefore not very different when he
talks of the three leading yEvEa of the Persians, 'on which all the other Persians
depend' (1.125.3), or the vocational yEVEa of the Egyptians (2.164.1).
4.46.1-2. 'The Pontos Euxeinos ... has of all lands the most ignorant peoples, apart
from the Scythian one (TrapEXErat Ec 0 KVOLKO E0V Ova aEjua7ra)ra): for I am
"roKT
unable to cite any people of those on this side of the Pontus for wisdom, nor do I
know of any man of learning who existed among them, except the Scythian (people)
and Anacharsis. But the Scythian nation (ydvos) has devised one thing of the greatest
importance in human affairs more wisely than any nation, (and that is) that no-one
who attacks them can escape....' Here W'OvoS refers to the Scythians simply as one
grouping among several in present time: when Herodotus turns to the achievements
of the Scyths in the course of their history ( he switches to yEvos.
4.5.1-6.2. 'As the Scythians say, their peoplepEv'"p-rat),
('O6vos)is the most recent of all, and it
came into being (yEviaaat) thus. The first man to be born (yEv`aOat)in this land, which
was deserted, was called Targitaos. They say that this Targitaos had as parents
(70KEag) ... Zeus and the daughter of the river Borysthenes. Of some such birth (yEvos)
as this (they say) Targitaos was born, and to him were born three sons, Lipoxais,
Arpoxais and last of all Kolaxais ... From Lipoxais (they say) were born those
Scythians who are called Auchatai by birth (y'vos), from the middle (son) Arpoxais
those who are called Katiaroi and Traspies, and from the youngest of them the kings
who are called Paralatae ... That is how the Scythians say they are descended
(yEyovEvat).' In thispassageHerodotusswitchesin the otherdirection,from WOvosof
the Scythians as a people in general, to yEvos and verbs derived from ylyvotat when
talking about their descent and that of their patriarch and clans. His move from the
aorist yEvE•OLatto the perfect yEyovivat is also notable, the first denoting birth or
coming into existence, the second descent or existence over time.
As we should expect, W'Ovosand y4vos occur together in the latter part of
Herodotus' work, in which he lists the forces of Xerxes and of the Greeks at various
stages of their conflict. In his account of Xerxes' initial forces (7.61-99), ydvog does
not occur at all, except only with reference to an individual's ancestry: Artemisia 'was
the daughter of Lygdamis, but by descent (adverbial yEvos) she was from
Halicarnassos on her father's side, but Cretan on her mother's' (7.99.2). Two other
passages are more revealing.
7.185.2. 'Of the infantry provided by the Thracians, Eordoi, Bottiaioi, the
Chalcidic tribe (ylvos), ... and those that inhabit coastal Thrace, I think there were
three hundred thousand of these peoples (FOvEa).'There must be a reason why
Herodotus designates the Chalcidians settled in Thrace, whom elsewhere he calls
XaALKLsEES (8.127), as 'the Chalcidic tribe' in this list of EOvEa.What distinguishes

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 EOvoS AND yEvog IN HERODOTUS 319
them from the others is that they are colonists who take their name from a parent-
group, the Chalcidians of Euboea. It is notable that he reserves the word XaALKL8EES
for the original Chalcidians except at 8.127, where this same designation of To
XaAKLO8K6V y vos, occurring just before, guards against ambiguity.14
8.43-8. Reviewing the Greek forces at Salamis, Herodotus uses the term 'Ovos and
y4vos in ways which are hard to distinguish, and yet correspond rather to intension
than to taxonomy. WOvoSoccurs thrice in participial phrases depending on plural
proper names: the Spartans and several other Peloponnesian peoples, idVvES ov070 o...
OwpLKdOVTE Ka' 'Ovog(43); the Leucadians, EOvoS gdEVES OV•70'L AWpLKOV
da6' Kopiv6ov (45); the Ceians, 'Ovos "ov 'IwVLKov do7T'ArwO-qv
MaKE.vov v (46. 2). yvos occurs
twice, once in a complete sentence, the other time in a participial phrase: Kporcwuvtrat
E%yEvoo Elat 'AXatol (47), M4Atot,tiv yEvog idvrTES & (48). We
AaaKEalZLovoS
should also note such phrases as Ndtot & Elac "IwvEs dr6 'AOrlvqvE' yEYOVOdTE(46.
3),29L'vto S Katl2Eplt4LOL "IcuVESdvETES d ' 'AOr-wv`Wv(48). The two uses of y`vos
fit easily into the 'adverbial' category already discussed, 'with reference to their
descent', but it is harder to explain the two phrases in which 'Ovosis accompanied by
a prepositional phrase: Herodotus seems to be justifying his attribution of the city in
question to a particular 'Ovos, 'the Leucadians, a Doric people as coming from
Corinth'. When he uses y'vos, the ideas are more closely connected, 'the Crotoniates
are from Achaea by descent', 'the Melians being from Sparta by descent'.
It appears, then, that there is a genuine semantic difference between the two terms
in Herodotus, and that in certain contexts 'peoples' may be considered as 'descent-
groups', as may other groups such as the vocational 'castes' of Egypt or the
aristocratic 'clans' of cities such as Athens and Thebes; whether there is also a
distinction of 'marked' and 'unmarked', with yEvos as the former and WOvosas the
latter, seems less clear. If this proposal is correct, we may perhaps compare a similar
suggestion about Herodotus' use of the terms dlarv and the former indicating
both the urban agglomeration of a city as opposed to rcdAtS, its territory, and in certain
contexts the city regarded from the perspective of its inhabitants, while presents
it from the perspective of outsiders, often enemies.15 rTdALS
We may also note some peculiarities in Herodotus' use of these two words. First,
the opposition between 'Ovos and rTdALs, already incorporated in the Amphictyonic
oath of the Archaic period, and much discussed in recent years,16occurs in his text
only once or twice (6.27. 1; 7.8 y 3). Second, in two places we might have expected one
of these terms, but in fact meet others. Herodotus introduces Adrastos the Phrygian
into his narrative of Croesus' son as a man icJv OpVi ,i v yEVE, yiEVEOs 70T
Here ydvos would have been appropriate in the first member, but
/autArlLov(1.35.1).
Herodotus presumably does not wish to use it twice when trying to draw a contrast.
After Artemision, he tells how Themistocles plotted to make 'the Ionian and the
Carian break away from the barbarians' (8.19.1): here 'OvoS might seem
k••Aov
equally appropriate, but perhaps connotes these two peoples as distinctive
,i3Aovforces.17
units in the mass of the Persian

14 On thisapplication of the expression'Chalcidian'to inhabitantsof thisregion,Gomme(n.

12), 203-8. See also below,on Thuc.4.61.3.
15 M. Casevitz, Ktema 8 (1984), 75-83.
Oath:Aesch.3.110,ELt
'Ls ~TaAE
-apa/paver -q-rdAt3s
- rq~3?Ovog; cf. A. Giovannini,
16
1"o68
Untersuchungeniiber die Natur und die Anfinge der bundesstaatlichen Sympolitie, Hypomnemata
33 (G6ttingen, 1971), 14-16; F. W. Walbank, Selected Papers (Cambridge, 1985), 6, 22.
17 For fi0Aov as conveying 'the distinctiveness of one race as opposed to another', G. Nagy,
Greek Mythology and Poetics (New York, 1990), 290-1.

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320 C. P. JONES

Thucydides' use of these two terms is fairly similar to Herodotus'. He uses 'Ovos
more often in the plural than than the singular, applying it both to Greeks and to
barbarians; as in Herodotus, the word tends to denote a people either as a territorial
unit, such as the •Ovr-'EAAivwv Ka' who inhabit Sicily (6.1), or as ethnic
7r• /3apadpowv
units in an army or an alliance (1.122.2, 2.9.4, etc.). ylvos refers to descent or family,
usually of individuals (yEvoS q' 'HpaKAEovs,1.24.2) but once or twice of groups
"rjv
(KopwOtvwv 7LViS Kal Toof&AAov JWptLKOoyEvovS, 1.24.2; 'Po&tot ywvos,
'Apy•Eio
7.57.6). In one place we might have expected W'Ovos.On the Thracian character
Thucydides observes: 'the Thracian yEvos, (being) similar to those of the most
barbaric (yEvog),is extremely murderous as long as it feels confidence' (7.29.4). Here,
however, he is talking of the Thracians not so much as a geographical people but as
one with inherent traits, so that the genetic viewpoint is uppermost.
Like Herodotus, Thucydides occasionally uses W'Ovos and y'vos close together. In
two places (1.24.1-2; 6.1.2-2.1) the collocation is fortuitous, but the other instance
is more instructive. Hermocrates at the Sicilian peace-conference of 424 argues that
the Sicilians must act for their collective good, and not along lines of Dorian and
Ionian. 'No-one should have the idea that, while the Dorians amongst us are the
Athenians' enemies, the Chalcidians are made safe by kinship with the Ionians (T6
XaAKL&K'KV T- 'dITh daaAi"s). It is not because the two peoples (rois
0vyyEVEl•a
OvEaLv)are at enmity that the Athenians are attacking out of hostility towards one
of them, but because they covet Sicily's advantages; and they showed as much
recently when those of Chalcidic descent (TrbXaAKLSLKbV yEvog) called them in'
(4.61.3-4). Thucydides uses JOvr-when thinking of Dorians and Ionians as hostile
groups, both of which are represented among the peoples of Sicily: referring to
settlers from Chalcis in Euboea, he uses the word y'vos, exactly as did Herodotus
when referring to Chalcidian settlers in Thrace (8.127), while evyyE•Vta stresses their
common descent from the original Ionians.
Harvard University C. P. JONES

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