Origin hypotheses of the Croats
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The origin of the Croats before the great migration of the Slavs is uncertain. The modern Croats are undoubtedly a Slavic people, but the archaeological and other historic evidence on the migration of the Slavic settlers, the character of native population on present-day territory of Croatia, and their mutual relationship show diverse historical influences.
The definiton of Croatian ethnogenesis begins with the definition of ethnicity, according which ethnic group is a socially defined category of people who identify with each other based on common ancestral, social, cultural or other experience, and which shows a certain durability over the long period term of time. In the Croatian case, there's no doubt that in the Early Middle Ages a certain group identified themselves by ethnonym Hrvati (Croats), and was identified as such by the others. It also had a political connotation, it continued to expand, and since the Late Middle Ages explicitly identified with the nation, although not in the exact meaning as of the contemporary modern nation.
In the case of present-day Croatian nation it could be said that several components or phases influenced its ethnogenesis; (1) The indigenous prehistoric component which dates from Stone Age, before 40,000 years, and the younger Neolithic culture like Danilo dated 4700-3900 BC, and Eneolithic culture like Vučedol dated 3000 and 2200 BC. (2) The protohistoric component which includes ancient people like Illyrians, the Dalmatae and Liburnians in coastal Croatia, and the Celts people, the Iapydes, Taurisci, Scordisci and Pannonii in continental Croatia. In 4th century BCE also existed several Greek's colonies on the Adriatic islands and coast. (3) The classical antiquity component caused by the Roman conquest, which included a mixture of ancient people and Rome's colonists and legionaries, as well presence of Iranian-speaking Iazyges. (4) The Late Antiquity-Early Middle Ages component from Migration Period, started by the Huns, and which in the Croatia included in the first phase Visigoths and Suebi, who didn't stay for long period of time, and Ostrogoths, Gepids and Langobards, who formed Ostrogothic Kingdom (493-553 AD). In the second phase occurred the great Slavs migration, often associated with the Avars activity. (5) And the final Middle Ages-Modern Age component which included Franks, Magyars, Italians, Germans/Saxons, and after 14th century, because of black death, and late 15th century, because of Ottoman invasion, Croatian ethnonym expanded from the historic Croatian lands to the Western Slavonia, which caused Zagreb to become capital city of the Croatian Kingdom, and was incorporated the population ethnogenesis of that territory. The Ottoman invasion caused many migrations of the people in the Balkan, in Croatia like those of Vlachs, but the upcoming world wars and social events also influenced the Croatian ethnogenesis.
Old historical sources
The mention of Croatian ethnonym Hrvat for a specific tribe before 9th century is not yet completely confirmed. According the Constantine VII's work De Administrando Imperio (10th century), a group of Croats separated from the White Croats who lived in White Croatia and arrived by their own will, or were called by the Byzantine Emperor Heraclius (610-641), to Dalmatia where fought and defeated the Avars, and eventurally organized their principality. According the legend preserved in the work, they were led by five brothers Κλουκας (Kloukas), Λόβελος (Lobelos), Κοσέντζης (Kosentzis), Μουχλώ (Mouchlo), Χρωβάτος (Chrobatos), and two sisters Τουγά (Touga) and Βουγά (Bouga), and their archon at the time was father of Porga, and they were baptized during the rule of Porga in the 7th century.
The old historical sources do not give exact answer on the ethnogenesis of those early Croats. Constantine VII does not identify Croats with Slavs, neither points the difference between them. John Skylitzes in his work Madrid Skylitzes identified Croats and Serbs as Scythians. Nestor the Chronicler in his work Primary Chronicle identified White Croats with West Slavs along Vistula river, while another Croats among East Slavic tribal union. In the Chronicle of the Priest of Duklja Croats are identified with Goths who remained after that king Totila occupied province of Dalmatia. Similarly, Thomas the Archdeacon in his work Historia Salonitana mentioned that seven or eight tribes of nobles, which he called "Lingones", arrived from what is today Poland and settled in Croatia under Totila's leadership.
The Croatian ethnonym Hrvat, as well of those five brothers and sisters and the early ruler Porga, are not considered to be of Slavic origin, yet again, are quiet original to be a pure fabrication of Greek emperor Constantine VII. As such, the origin of the early Croats before and at the time of arrival to the present day Croatia, as well their ethnonym, were an eternal topic of historiography, linguistics and archeology. However, the theories were often elaborated in non-scientific terms, supported by specific ideological intentions, and often by political and cultural intentions of the time. This kind of interpretations caused a lot of damage to certain theories and actual scientific community. It should be taken into serious consideration whether the origin of the early Croatian tribes can be regarded also as the origin of Croatian nation, and can only be asserted that the Croats as are known today as a nation became only when Croatian tribes arrived in the territory of present day Croatia.
The Slavic, also known as Pan-Slavic and Autochthonous-Slavic theory, dates back to the Croatian Renaissance, when was supported by Vinko Pribojević and Juraj Šižgorić. There's no doubt that Croatian language belongs to the Slavic languages, but they considered that Slavs were autochthonous in Illyricum and their ancestors were old Illyrians. This cultural and romanticist idea was mostly promoted by the Illyrian Movement in the 19th century.
With the development of Croatian historiography, since the 17th century the Slavic theory was elaborated in more realistic terms, and considered Croats as one of Slavic groups which settled in today homeland during the migration period. The Constantine VII's work was particurarly researched by the 17th century historian Ivan Lučić, which concluded that Croats came from White Croatia in the other side of Carpathians, in "Sarmatia" (Poland), with which historians today agree upon.
However, in the first and second Yugoslavia, the Pan-Slavic (pure-Slavic) theory was emphasized because of the political context and was the only officially accepted theory, while others which attributed non-Slavic origin and components were ignored and not accepted, and even their supporters, because of also political reasons, were persecuted (Milan Šufflay, Kerubin Šegvić, Ivo Pilar and Mihovil Lovrić). There were Yugoslavian scholars like Ferdo Šišić and Nada Klaić who allowed and propagated the non-Slavic origin of certain elements in Croatian ethnogenesis, and they were usually connected with Avars and Bulgars. One of the main difficulties with the Pan-Slavic theory was the Croatian ethnonym which could not be derived from the Slavic language.
According to the autochthonous model, the Slavs homeland was in the area of former Yugoslavia, and they spread northwards and westwards rather than the other way round. A revision of the theory, developed by Ivan Mužić, argues that Slavic migration from the north did happen, but the actual number of Slavic settlers was small and that the autochthonous ethnic substratum was prevalent in the formation of the Croats, but that contradicts and doesn't answer the presence of predominant Slavic language.
The social and linguistical situation that made the pre-Slavic population is hard to reconstruct, especially if is accepted the theory that the autochthonous population was dominant at the time of arrival of the Slavs yet accepted the language and culture of Slavic newcomers who were in the minority. This scenario can only be explained with the possible distortion of cultural and ethnic identity of native Romanized population that happened after the fall of West Roman Empire, and that the new Slavic language and culture was seen as a prestigious idiom they had to, or wanted to accept.
The Gothic theory, which dates back to the late 12th and 13th work by Priest of Duklja and Thomas the Archdeacon, without excluding that some Gothic segments could survive the collapse of Gothic Kingdom and were included in Croatian ethnogenesis, is based on almost none concrete evidence to identify Croats with the Goths. As those works were written since the late 12th century, after the Pacta conventa and year 1102 when Croatian Kingdom entered the personal union with Kingdom of Hungary, it is considered that the actual identification of Croats with Goths is based on a local Croatian Trpimirović dynastic myth from the 11th century as the crown entered the hands of Árpád dynasty which had another dynastic myth by wich originate from the Hunnic leader Attila.
Some scholars like Nada Klaić considered that Thomas the Archdeacon despised Slavs/Croats and that wanted to depreciate them as barbarians with Goths identification, however, until the time of Renaissance the Goths were seen as noble barbarians compared to Huns, Avars, Vandals, Langobards, Magyars and Slavs, and as such he would not identify them with the Goths. Also, in the Thomas the Archdeacon's work the starting emphasis is on the decadence of people from Salona, and as such scholars consider the emergence of newcomers Goths/Croats was actually seen as a kind of God's scourge for sinful Romans.
Scholars like Ludwig Gumplowicz and Kerubin Šegvić literally read the medieval works and considered Croats as Goths who were eventually slavicized, and that the ruling caste was formed from the foreign warrior element. The idea was argued with the Gothic suffix mære (mer, famous) found among the names of Croatian dukes on stone and written inscriptions, as well Slavic suffix slav (famous), and that mer eventually was changed with mir (peace) because the Slavs twisted the interpretation of the names according their language. The Gothic theory, as well as Pan-Slavic during Yugoslavia, was the only supported theory by the regim of NDH.
The Avar, also known as Avar-Bulgarian, Bulgarian or Turkic theory, dates to the late 19th and early 20th century when John Bagnell Bury noted the similarity between Croatian legend of five brothers (and two sisters) with Bulgarian legend of Kubrat's five sons. He considered that the White Croats Chrobatos and Bulgars Kubrat were the same person from the Bulgars ethnic group, as well accepted the derivation of the Croatian title Ban from the name of Avar khagan Bayan I or Kubrat's son Batbayan.
The theory was initially developed by Otto Kronsteiner in 1978. He tried to prove that early Croats were a upper caste of Avar origin which during the 7th and 8th century blended with Slavic nobility and abandoned their Avar language. As arguments for his thesis he considered the Tatar-Bashkir derivation of Croatian ethnonym; that Croats and Avars are almost always mentioned together; distribution of Avarian type of settlements where the Croatian ethnonym was as toponym, pagus Crouuati in Carinthia and Kraubath in Styria; this settlements had Avarian names with suffix *-iki (-itji); the commander of those settlements was Avarian Ban which name is located in the center of those settlements, Faning/Baniče < Baniki in Carinthia, and Fahnsdorf < Bansdorf in Styria; the Avarian officers titles, besides Mong.-Turk. Khagan, the Kosezes/Kasazes, Ban and Župan. Previously, by some Yugoslavian historians the toponym Obrov(ac) was also considered of Avar origin, and according the Kronsteiner's claims, which many Nada Klaić accepted, Klaić moved the ancient homeland of White Croats to Carantania.
However, according Peter Štih and modern scholars, Kronsteiner arguments were plain assumptions which historians can not objectively accept as evidence. Actually, the etymology derivation is one of many, and is not generally accepted; the Croats are mentioned along the Avars only in the Constantine VII's work, but always as Avars enemies who destroyed and expelled their authority from Dalmatia; those settlements had widespread Slavic suffix ići, the settlements do not have the semicircular Avar type arrangement, and the Ban's settlements could not be his seat as are very small and are not found on any important crossroad or geographical location; the titles origin and derivation are unsolved, and they are not found among Avars and Avar language; toponyms with root Obrov derive from South Slavic verb "obrovati" (to dig a trench) and are mostly of later date (from the 14th century).
The theory was further developed by Walter Pohl. He noted the difference between infantry-agricultural (Slavic) and cavalry-nomadic (Avar) tradition, but did not negate that sometimes the situation was exactly the opposite, and often sources did not differentiate Slavs and Avars. He shared the Bury's opinion on the Kubrat's and Chrobatos name and legends, and the mention of two sisters interpreted as additional elements which joined the alliance "by the maternal line", and the symbolism of the number seven is often encountered in the steppe peoples. Pohl noted that the Kronsteiner's merit was that instead of the previously usual "ethnic" ethnogenesis proposed "social". As such, Croatian name would not be an ethnonym yet social designation for a group of warriors which ruled over conquered population on the Avar Khaganate's boundary, and eventually the designation became an ethnonym. He did not support Kronstenier's derivation, nor consider the etymology important as can not be established the ethnic origin of "original Croats" ie. the social categories which carried the title of "Croat". Lately a more pro-Turkic (as White Oghurs) thesis was given by Osman Karatay.
However, the origin and ethnogenesis of Eurasian Avars and their language still remains completely unresolved, and probably besides Slavs also included componenets and influence from other ethnic groups like Eurasian Steppe-Iranian, being a heterogeneous tribal community by which both Avar and Iranian theory are not mutually exclusive.
The Iranian, also known as Iranian-Caucasian theory, dates to the 1797 and the doctoral dissertation by Josip Mikoczy-Blumenthal who, as the dissertation mysteriously disappeared in 1918 and was preserved only a short review, considered that Croats originated from Sarmatians who were descending from Medes in North-Western Iran.
In 1853 were discovered the two Tanais Tablets. They are written in Greek, and were founded in the Greek colony of Tanais in the late 2nd and early 3rd century AD, at the time when the colony was surrounded by Sarmatians. On the larger inscription is written the father of the devotional assembly Horouathon and the son of Horoathu, while on the smaller inscription Horoathos, the son of Sandarz, the archons of the Tanaisians, which resembles the usual variation of Croathian ethnonym Hrvat - Horvat. It should be noted that some scholars use this tablets only to explain the etymology, and not necessarily the ethnogenesis.
The Iranian theory entered the historical science from three, initially independent ways, from historical-philological, art history, and religion history, in the first half of the 20th century. The last two were supported by art historian scholars (Luka Jelić, Josef Strzygowski, Ugo Monneret de Villard), and religion historian scholars (Johann Peisker, Milan Šufflay, Ivo Pilar). The Slavic-Iranian cultural interrelation was pointed out by modern ethnologists, like Marijana Gušić who in the ritual Ljelje noticed the influence from Pontic-Caucasian-Iranian sphere, Branimir Gušić, and archeologists Zdenko Vinski and Ksenija Vinski-Gasparini. However, the cultural and artistic indicators of Iranian origin, including indications in the religious sphere, is somehow difficult to determine. It is mostly Sassanian (224-651 AD) influences that were felt in the steppe regions.
First who connected the tablets names with Croatian ethnonym was A. L. Pogodin in 1902. First who considered such a thesis and Iranian origin was Konstantin Josef Jireček in 1911. Ten years later, Al. I. Sobolevski gave the first systematic theory about the Iranian origin which until today did not change in basic lines. In the same year, independently Fran Ramovš, with reference to the Iranian interpretation of the name Horoathos by Max Vasmer, concluded that the early Croats were one of Sarmatian tribes which during the great migration advanced along the outer edge of Carpathians (Galicia) to the Vistula and Elbe rivers. The almost final, and more in detail picture was given by Slovenian academic Ljudmil Hauptmann in 1935. He considered that Iranian Croats, after the Huns invasion around 370 when the Huns crossed the Volga river and attacked the Iranian Alans at the Don river, abandoned their initial Sarmatian lands and arrived among the Slavs at the wast lands north of Carpathians, where they gradually slavicized. There they belonged to the Antes tribal polity until the Antes were attacked by the Avars in 560, and the polity was finally destroyed 602 by the same Avars. The thesis was subsequently supported by Francis Dvornik, George Vernadsky, Roman Jakobson, Tadeusz Sulimirski, and Oleg Trubachyov. In 1985, Omeljan Pritsak considered early Croats a clan of Alan-Iranian origin which during the "Avarian pax" had frontiersman-merchant social role.
The personal names on the Tanais Tablets are considered as a proto-type of a certain ethnonym of a Sarmatian tribe those persons did descend from, and as well today is generally accepted that the Croatian name is of Iranian origin and that can be traced to the Tanains Tablets. However, the etymology itself is not enough strong evidence. The theory is further explained with the Avar's destruction of Antes tribal polity in 602, and that the early Croats migration and subsquent war with Avars in Dalmatia (during the reign of Heraclius 610-641) can be seen as continuation of war between Antes and Avars. That the early Croats marked the cardinal dircetions with colors, hence White Croats and White Croatia (Western) and Red Croatia (Southern), but the cardinal color designation in general indicates remnants of the widespread steppe peoples tradition. The hetereogenous composition of the Croatian legend in which are unusually mentioned two women leaders Touga and Bouga, which indicates to what the actual archaeological findings confirmed - the existence of "warrior women" known as Amazons among the Sarmatians and Scythians. As such, Trubachyov tried to explain the original proto-type of the ethnonym from adjectives *xar-va(n)t (feminine, rich in women), which derives from the etymology of Sarmatians, the Indo-Aryan *sar-ma(n)t (feminine), in both Indo-Iran adjective suffix -ma(n)t/wa(n)t, and Indo-Aryan and Indo-Iranian word *sar- (woman), which in Iranian gives *har.
Another interpretation was given by the scholar Jevgenij Paščenko; he considered that the Croats were an heterogeneous group of people belonging to the Chernyakhov culture, a poly-ethnic cultural mélange of mostly Slavs and Sarmatians, but also Goths, Getae and Dacians. There was happening a interrelation between Slavic and Iranian language and culture, seen for example in the toponymy. As such, under the ethnonym Hrvati should not be necessary seen a specific or even homogeneous tribe, yet archaic religion and mythology of a heterogeneous group of people of Iranian origin or influence who worshiped the solar deity Hors, from which possibly originates the Croatian ethnonym.
The another known thesis of the Iranian theory was by Stjepan Krizin Sakač, who although gave insights on some issues, tried to follow the Croatian ethnonym as far the region Arachosia (Harahvaiti, Harauvatiš) and its people (Harahuvatiya) of the Achaemenid Empire (550–330 BCE). However, although the suggestive similarity, it is etymologically incorrect. There were many supporters of the thesis and further tried to develop it, but the actual arguments are considered far fetched and unscientific.
Genetics and anthropology
Anthropologically, the craniometrical measurements made on the Croat population show Croats from Croatia are predominantly dolichocephalic (Dalmatia) and brachycephalic (Central Croatia). Genetically, on the Y chromosome line, a majority (>85%) of male Croats from Croatia belong to one of the three major European Y-DNA haplogroups - I (38%-44%), R1a (27%-34%) and R1b (12.4%-15%), while a minority (>15%) mostly belongs to haplogroup E (9%), and others to haplgroups J (4.4%), N (2%), and G (1%).
Haplogroup I among Croatians from Croatia is divided in two major subdivisions - subclade I2 (35%), typical for the populations of eastern Adriatic and the Balkans, and I1 (9%), in contrast to other South Slavs, typical for north-western Europeans. From the I2 subclade, former I2a2a in the Y2010 tree, I2a1b1 is the most prevailing, and it's typical of the South Slavic populations of south-eastern Europe, being highest in Bosnia-Herzegovina (>50%). In investigation leaded by Lovorka Barać in 2003, in Croatia highest frequency is observed in Dalmatia, peaking in southern isles of Brač, Korčula (~55%) and Hvar (65%). In the north-eastern town of Osijek, on the banks of the river Drava, and in northern isle of Krk frequency is lower (27%). Highest frequency of the haplogroup is found in Bosnian-Croats from Herzegovina (73%). According to genetic genealogist Kenneth Nordtvedt, I2a1b1 is not older than 2,800 years, and is too young not to have been a result of a sudden expansion. He connects it with Slavic invasion of the Balkan, from the area north-east of the Carpathians since 500 CE, locating the start of the I2a1b1 lineage around the middle course of the Vistula river.
R1a1-M17 and R1b1b2-M269 are the second (34%) and the third (15.6%) most prevailing haplogroups according the investigation done in 2003. According the 2008 investigation this values are slightly smaller. This two haplogroups showed an opposite frequency distribution to I2a1b1, and highest frequency is observed in west and northwest and eastern Croatia. Highest frequency of R1a1 was found in Croats from Osijek (39%) and in northern isle of Krk (37%), being similar to the values of other Slavs, like Slovenes, Czechs and Slovaks. On southern isles of Hvar, Korčula and Brač frequency tend to be lower (8-20-25%), but is still higher than among Bosniaks and Serbs. In Bosnian Croats frequency is similar to those of other South Slavs (12%). Highest frequnecy of R1b1b2 was in Croats from isle of Krk (16.2%), while in southern isles and Bosnian Croats is almost absent (1-6%), and in Osijek wasn't found.
From the haplogroup E among Croats the most frequent is E1b1b1a2 (6.7%), while E1b1b1a3 and E1b1b1c were also found in small numbers (1.1%). E1b1b1a2 it's typical of the populations of south-eastern Europe, peaking among Kosovo Albanians (44%), and is also high among Macedonian Slavs, Greeks, Romanians, Bulgarians and Serbs. The highest frequency in Croatia has been found in Osijek (10.3%), while in northern isle of Krk is a bit higher (6.8%) than in southern ones (3.7-4.3%). In Bosnian Croats frequency is the same like among Croats from Croatia (8.9%).
Haplogroups J, G, N and P, if found, are in lower numbers. Subclades J2b-M102 and J2a-410 are higher in Croats from Croatia, peaking in Croats from Osijek (6.8% and 3.4%) and northern isle of Krk (10.8%), than in Bosnian Croats (both 1.1%). Subclade G2a-P15 both in Croatian and Bosnian Croats is found in low numbers (1.1%), but peaks in the north-eastern town of Osijek (13.8%), and the southern isles of Korčula (10.4%) and Brač (6%).
The haplogroup N-M214 was found only in Croatia (2.2%). It is very frequent in Far East, like Siberia and China, while in Europe within Finns (60%) and Baltic States (45%). Unusually for European populations, another central asian-siberian haplogroup P was found in unusually high frequencies in isles of Hvar (14%) and Korčula (6%). The occurrence could happen with Avars migration, the ancient trade route Silk Road, or the Ottoman invasion.
The region of modern day Croatia may have served as a refuge for northern populations during the last glacial maximum (LGM). The eastern Adriatic coast was much further south. The northern and western parts of that sea were steppes and plains, while the modern Croatian islands (rich in Paleolithic archeological sites) were hills and mountains. The region had a specific role in structuring of European, and particularly among Slavic, paternal genetic heritage, characterized by the predominance of R1a and I, and scarcity of E lineages. However, DNA can not be completely connected and used as evidence for specific ethnic component, yet as an indication.
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