The addiction to growth will kill us

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STEADY-STATE ECONOMICS

By Herman Daly

Chapter 5: A Catechism of Growth Fallacies

The part played by orthodox economists, whose common sense has been insufficient to check their faulty logic, has been disastrous to the latest act.

J. M. Keynes (1936)

[First published on Jan. 23, 2010]
The first question asked of any critic of the status quo is: What would you put in place? In place of the growth economy we would put a steady-state economy. But such a theoretical alternative is not of great interest unless there is dissatisfaction with the business-as-usual growth economy. If you have eaten poison, it is not enough to simply resume eating healthful foods. You must get rid of the specific substances that are making you ill. Let us, then, apply the stomach pump to the doctrines of economic growth that we have been force-fed for the past four decades. Perhaps the best way to do that is to jump right into the growth debate and consider critically some fifteen to twenty general pro growth arguments that recur in various guises and either expose their errors or accommodate their valid criticisms.

Can’t Get Enough of That Wonderful Stuff

The theoretical answer to the avoided question is clear to any economist. Growth in GNP should cease when decreasing marginal benefits become equal to increasing marginal costs. But there is no statistical series that attempts to measure the cost of GNP. This is growth mania, literally not counting the costs of growth. But the situation is even worse. We take the real costs of increasing GNP as measured by the defensive expenditures incurred to protect ourselves from the unwanted side effects of production and add these expenditures to GNP rather than subtract them. We count real costs as benefits. This is hypergrowthmania. Obviously, we should keep separate accounts of costs and benefits. But to do this would make it clear that beyond some point zero growth would be optimal, at least in the short run. Such an admission is inconvenient to the ideology of growth, which quite transcends the ordinary logic of elementary economics. More precisely, it is good growthmanship strategy to admit the theoretical existence of such a point way out in the future, but somehow it must always be thought of as far away. The ideological reasons for this are clear and have to do with the problem of distribution of output in an economy in which ownership of land and capital is highly concentrated and embodies laborsaving technology. Full employment at a living wage requires high aggregate demand, which requires high net investment to offset the large savings made possible by concentrated income. High net investment signifies rapid growth.

The Hair of the Dog that Bit You

The environment will also be better taken care of if the economy grows. Nothing could cut more dangerously into the resources that must be devoted to the Great Cleanup than an attempt to limit resources available for consumption. By ignoring the prohibitionist impulse and allowing everybody to have more, we shall also have more resources to do the environmental Job [Wallich, 1972 p. 62].

No one can deny that if we had more resources and were truly richer, all our economic problems would be more easily solved. The question is whether further growth in GNP will in fact make us richer. It may well make us poorer. How do we know that it will not, since we do not bother to measure the costs and even count many real costs as benefits? These critics simply assume that a rising per-capita GNP is making us better off, when that is the very question at issue!

Environmental degradation is an iatrogenic disease induced by the economic physicians who attempt to treat the basic sickness of unlimited wants by prescribing unlimited production. We do not cure a treatment-induced disease by increasing the treatment dosage! Yet members of the hair-of-the-dog-that-bit-you school, who reason that it is impossible to have too much of a good thing, can hardly cope with such subtleties. If an overdose of medicine is making us sick, we need an emetic, not more of the medicine. Physician, heal thyself

Consistent Inconsistencies and Avoiding the Main Issues Growthmen are forever claiming that neither they nor any other economist worth his salt has ever confused GNP with welfare. Consider, however, the following four statements from the same article (Nordhaus and Tobin, 1970):

(2) Although GNP and other national Income aggregates are imperfect measures of welfare, the broad picture of secular progress which they convey remains after correction of their most obvious deficiencies [p. 25].

*(3) But for all its shortcomings, national output is about the only broadly based index of economic welfare that has been constructed [p. 1, Appendix A].

*(4) There is no evidence to support the claim that welfare had grown less rapidly than NNP.

Rather NNP seems to underestimate the gain in welfare, chiefly because of the omission of leisure from consumption. Subject to the limitations of the estimates we conclude that the economic welfare of the average American has been growing at a rate which doubles every thirty years [p. 12].

It is asking too much of context and intervening qualification to reconcile statement 1 with statements 2,3, and 4. Either GNP (or NNP) is an index of welfare, or it is not. The authors clearly believe that it is (in spite of the first statement). They offer many sensible adjustments to make GNP a better measure of welfare on the assumption that, although imperfect, it is nevertheless a measure of welfare. But all of this avoids the fundamental objection that GNP-flow is largely a cost. Wants are satisfied by the services of the stock of wealth. The annual production flow is the cost of maintaining the stock, and though necessary, should be minimized for any given stock level. If we want the stock to grow, we must pay the added cost of a greater production flow (more depletion, more labor, and ultimately more pollution). Depletion, labor, and pollution are real costs that vary directly with the GNP-throughput. If we must have some indices of welfare, why not take total stock per capita and the ratio of total stock to throughput flow? Welfare varies directly with the stock, inversely with the flow. Beyond some point, the benefits of additions to the stock will not be worth the costs in terms of additional maintenance throughput.

Kenneth Boulding has for many years been making the point that Gross National Product is largely Gross National Cost and has never been taken seriously. If this way of looking at things is wrong, why does not some economist deal it a decisive refutation instead of avoiding it? Certainly it is not a minor issue.

The source of this flow fetishism of orthodox economics is twofold. First, it is a natural concomitant of early stages of ecological succession (Odum, 1969). Young ecosystems (and cowboy economies) tend to maximize production efficiency, that is, the ratio of annual flow of biomass produced to the preexisting biomass stock that produced it. Mature ecosystems (and spaceman economies) tend to maximize the inverse ratio of existing biomass stock to annual biomass flow that maintains it. The latter ratio increases as maintenance efficiency increases. Economic theory is lagging behind ecological succession. The other reason for flow fetishism is ideological. Concentrating on flows takes attention away from the very unequally distributed stock of wealth that is the real source of economic power. The income flow is unequally distributed also, but at least everyone gets some part of it, and marginal productivity theory makes it appear rather fair. Redistribution of income is liberal. Redistribution of wealth is radical. Politically, it is safer to keep income at the center of analysis, because not everyone owns a piece of the productive stock, and there is no theory explaining wealth distribution. Putting stocks at the center of analysis might raise impolite questions.

Crocodile Tears from Latter-Day Marie Antoinettes

On the issue of growth and poverty, Joan Robinson noted:

Not only subjective poverty is never overcome by growth, but absolute poverty is increased by it. Growth requires technical progress and technical progress alters the composition of the labor force, making more places for educated workers and fewer for uneducated, but opportunities to acquire qualifications are kept (with a few exceptions for exceptional talents) for those families who have them already [Robinson, 1972, p. 7].

Admitting the Thin Edge of a Big Wedge

This simple logic has recently imposed itself on the population of books in college libraries (Gore, 1974). Academic library collections have for several decades been growing at a rate that doubles holdings every fifteen years. Microfilm technology has not substituted for bulkier acquisitions but has led to extra acquisitions. If we admit that every college cannot afford a Library of Congress, and that even that library cannot grow forever, we must accept some kind of a steady-state library. That is, some sufficient number of holdings must be maintained constant, and whenever a new book is added an old one must be discarded. Up to this point there is no escape from the simple logic of the problem.

Misplaced Concreteness and Technological Salvation

Technology is the rock upon which the growthmen built their church. Since rocks and foundations are concrete entities, it is natural that growthmen should begin to endow technology with a certain metaphorical concreteness, speaking of it as a thing that grows in quantity. From there, it is but a short step to ask whether this thing has grown exponentially, like many other things, and to consult the black art of econometrics and discover that indeed it has! Next, we can conceive of technology as a sort of antibody to the pollution and depletion germs. Ultimately, we conclude that depleting and polluting activities (production and consumption) can continue to grow exponentially, because we have a problem-solving antiparticle, technology which can also grow exponentially!

Is this progression an unfair caricature? Consider the following statement from a review of Limits to Growth (Meadows et al., 1972) by two economists and a lawyer:

These few sentences are very valuable in that they unite in one short space so many of the misconceptions of orthodox growthmen. Note that technology has become an exponentially growing quantity of some thing that solves problems but does not create any. Note the clear implication that exponential growth could go on forever if technology (that problem-solving antiparticle) can keep up. Can it in fact keep up? Consult the entrails of a nameless econometrician and, behold! It has in the past, so it probably will in the future. Most econometricians are more cautious in view of the fact that technological change cannot be directly measured but is merely the unexplained residual in their regressions after they have included as many measurable factors and dummy variables as they can think of Sometimes the residual technology component even includes the effect of increased raw material inputs! Note also the blind assertion that Malthus was wrong, when in fact his predictions have been painfully verified by the majority of mankind. But then majorities have never counted. Only the articulate, technically competent minority counts. But even for them Malthus was not really wrong, since this minority has heeded his advice and limited its reproduction.

Norman Royall, a far more perceptive reviewer of The Limits to Growth, has noted a similar confusion and lucidly comments on it:

But Resources Are Such a Small Percentage of GNP

Suppose we allow for technological change in the long run. Now it is possible for all three productivities to increase. But how likely is it? Given the desire to increase incomes of labor and capital, innovations that increase these two productivities will have first priority, while those that increase mainly resource productivity will not be stimulated. Given low prices for resources, it will not matter much to entrepreneurs what happens to resource productivity. And surely it is easier to invent a new technology that increases the productivity of two factors than to invent one that increases all three productivities.

Should we, by a kind of reverse land reform, reinstate a landlord class? Landlord rent is unearned income, and we find income based on ownership of that which no one produced to be ethically distasteful. No one loves a landlord. Adam Smith tells us that landlords love to reap where they have never sown, and not many lament the historical demise of the landowning aristocracy. But not all the long-run consequences of this demise are favorable. Rent may be an illegitimate source of income, but it is a totally legitimate and necessary price, without which efficient allocation of scarce resources would be impossible. Henry George said let rent be charged but then tax it away. Socialists, after trying to get along without rent, now say charge some rent but pay it to the government, who is now the landlord. In the United States neither of these things has happened. The largest resource owner, the government, has followed a give-away and low price policy, both on resources it owns and on those, such as natural gas, whose price it regulates (Energy Policy Project, 1974, Chapter 11). It has done this to favor certain capitalists, to promote growth, and to ease the labor-capital conflict and win votes in both camps.

Present Value and Positive Feedback

It is sometimes argued that the market automatically provides for conservation by offering high profits to farsighted speculators who buy up materials and resell them later at a higher price. There are at least two things wrong with this argument.

The second problem is that the future profit must be discounted to its present value. The investor has the alternative in an expanding economy of depleting now and investing the short-term profits in another line that will earn the expected going rate, which will be close to the growth rate of the economy. The discount rate he applies to future profit is the same as the rate at which he would expect his reinvested short-term profits to grow. This expected rate is determined largely by the current rate and by recent changes in the current rate. The result is that high and increasing current growth rates, based on high and increasing current depletion rates, lead to high and increasing discount rates applied to future values. The last condition in turn leads to a low incentive to conserve, which feeds back to high current depletion and growth rates, high discount rates, and so forth. Present value calculations thus have an element of positive feedback that is destabilizing from the point of view of conservation. Financial prudence usually advises depleting now and investing short-term earnings in depleting some other resource. The presumption again is infinite resources. There will always be more material and energy resources available to feed the march of compound interest, with its consequent discounting of future values and disincentive to conservation. This tacit assumption sometimes becomes explicit, as in the following statement from the president of a great oil company:

Such is the assumption of orthodox growth economics. Even if this vision were correct, we should add that eventually we must live in the same rooms we work in. Living in intimate contact with garbage and noxious wastes is a by-product of growth. But optimists will argue that there is another infinite series of ever larger garbage dumps! The whole conceptual basis of the growth faith is equivalent to a generalization of the chain-letter swindle. There will always be five new resources for every depleted resource. The current beneficiaries of the swindle, those at the beginning of the chain, try hard to keep up the illusion among those doubters at the end who are beginning to wonder if there are really sufficient resources in the world for the game to continue very much longer.

Youth Culture and Frustrated Pyramid Climbers

Pascal’s Wager Revisited

The Fallacy of Exponentially Increasing Natural Resource Productivity

The explicit belief in the unlimited productivity of natural resources and the unlimited substitutability of other factors for natural resources has led economist Nicholas Georgescu-Roegen to the following verdict on Solow and the many other economists for whom he is the distinguished spokesman:

The Ever Expanding Service Sector and “Angelized GNP”

The second flaw in this view is that there are limits to how high the proportion of services to goods can rise in the product mix without provoking a shift in the terms of trade in favor of goods and against services to such an extent that goods production would again expand and service production contract. Historically, employment in the service sector has grown relative to total employment, because productivity and total output of industry and agriculture have increased vastly. Once total output of physical goods is restricted, service sector growth will be increasingly restrained by a progressive deterioration in its terms of trade vis-a-vis physical goods.

The idea of economic growth overcoming physical limits by angelizing GNP is equivalent to overcoming physical limits to population growth by reducing the through put intensity or metabolism of human beings. First pygmies, then Tom Thumbs, then big molecules, then pure spirits. Indeed, it would be necessary for us to become angels in order to subsist on angelized GNP.

Misleading Views on Misallocation and Growth

Orthodox growth economists are likely to reply that if only we could internalize all true ecological costs into money prices, then market equilibrium would coincide with ecological equilibrium. This is a bit like Archimedes saying that if only he had a fulcrum and a long enough lever he could move the world. Even granting the impossible task of internalization, all that means is that ala relative scarcities are properly evaluated. Growth could continue and absolute scarcity could become ever greater, even though relative prices were at all times perfect measures of relative scarcity. Correct relative prices can help us bear the burden of absolute scarcity in the least uncomfortable way but cannot stop the weight of the burden itself from increasing.

The direct reply to the initial assertion then is: No, it is not necessary to show that excessive investment exists in order argue that the growth rate is excessive. There are other criteria more basic than those of a competitive behavioral equilibrium for defining excessive growth. These are biophysical criteria that cannot be internalized in market prices. Market equilibrium under present institutions usually implies biophysical disequilibrium. Nor can the market handle intergenerational distribution. All interdependencies over time and space cannot be fit to the procrustean bed of an unrestricted price system.

What Second Law?

Zero Growth and the Great Depression

Fortune identifies a SSE with a failed growth economy. A condition of nongrowth can come about in two ways: as the failure of a growth economy, or as the success of a steady-state economy. The two cases are as different as night and day. No one denies that the failure of a growth economy to grow brings unemployment and suffering. It is precisely to avoid the suffering of a failed growth economy (we know growth cannot continue) that we advocate a SSE. The fact that an airplane falls to the ground if it tries to remain stationary in the air simply reflects the fact that airplanes are designed for forward motion. It certainly does not imply that a helicopter cannot remain stationary. A growth economy and a SSE are as different as an airplane and a helicopter. Growthmania reigns supreme when even the failures of a growth economy become arguments in its defense!

Conclusions from the Growth Debate

References

Barnett, Harold, and Chandler Morse. Scarcity and Growth Resources for the Future. Baltimore: Johns Hopkins University Press, 1963.

Beckerman, Wilfred. In Defense of Economic Growth London: Jonathan Cape, 1974.

Commoner, Bany. The Closing Circle. New York: Knopf, 1971a.

Commoner, Barry. The Poverty of Power. New York: Knopf, 1976.

Economic Report of the President, 1971. Washington, D.C.: U.S. Government Printing Office, 1971.

Energy Policy Project of the Ford Foundation, 1974. A Time to Choose, Cambridge Mass: Ballinger, 1974.

mimeographed.

Kelso, Louis O., and Patricia Hetter. Two Factor Theory: How to Turn Eighty Million Worker s Into Capitalists on Borrowed Money. New York: Random House, 1967.

Keynes, J. M. General Theory of Employment, Interest, and Money. New York: Harcourt Brace Jovanovich, 1936.

Meadows, D. H., et al. The Limits to Growth New York: Universe Books, 1972.

National Commission on Materials Policy, 1973. Material Needs and the Environment Today and Tomorrow. Washington, D.C.: U.S. Government Printing Office, 1973.

December, 1970, mimeographed. Published with minor changes in 1972 under the same title, in Economic Growth, fiftieth Anniversary Colloquium V, National Bureau of Economic Research. New York: Columbia University Press, 1972.

Okun, Arthur M. Equality and Efficiency: The Big Tradeoff Washington, D.C.: Brookings Institution, 1975.

Ordway, Samuel H. Resources and the American Dream. New York: Ronald Press, 1953.

Passell, Peter, Marc Roberts, and Leonard Ross. Review of Limits to Growth, New York Times Book Review, April 2, 1972.

Royall, Norman N. Jr. Review of Limits to Growth, Kansas City Times, April 28, 1972, p. 42.

Reprinted by permission of the author.

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HOWARD ZINN: THE INTIMATELY OPPRESSED

Chapter 6:  from A People’s History of the United States, By Howard Zinn
History Series

[dropcap]I[/dropcap]t is possible, reading standard histories, to forget half the population of the country. The explorers were men, the landholders and merchants men, the political leaders men, the military figures men. The very invisibility of women, the overlooking of women, is a sign of their submerged status.

In this invisibility they were something like black slaves (and thus slave women faced a double oppression). The biological uniqueness of women, like skin color and facial characteristics for Negroes, became a basis for treating them as inferiors. True, with women, there was something more practically important in their biology than skin color-their position as childbearers-but this was not enough to account for the general push backward for all of them in society, even those who did not bear children, or those too young or too old for that. It seems that their physical characteristics became a convenience for men, who could use, exploit, and cherish someone who was at the same time servant, sex mate, companion, and bearer-teacher-warden of his children.

Societies based on private property and competition, in which monogamous families became practical units for work and socialization, found it especially useful to establish this special status of women, something akin to a house slave in the matter of intimacy and oppression, and yet requiring, because of that intimacy, and long-term connection with children, a special patronization, which on occasion, especially in the face of a show of strength, could slip over into treatment as an equal. An oppression so private would turn out hard to uproot.

Earlier societies-in America and elsewhere-in which property was held in common and families were extensive and complicated, with aunts and uncles and grandmothers and grandfathers all living together, seemed to treat women more as equals than did the white societies that later overran them, bringing “civilization” and private property.

In the Zuni tribes of the Southwest, for instance, extended families- large clans-were based on the woman, whose husband came to live with her family. It was assumed that women owned the houses, and the fields belonged to the clans, and the women had equal rights to what was produced. A woman was more secure, because she was with her own family, and she could divorce the man when she wanted to, keeping their property.

Women in the Plains Indian tribes of the Midwest did not have farming duties but had a very important place in the tribe as healers, herbalists, and sometimes holy people who gave advice. When bands lost their male leaders, women would become chieftains. Women learned to shoot small bows, and they carried knives, because among the Sioux a woman was supposed to be able to defend herself against attack.

The puberty ceremony of the Sioux was such as to give pride to a young Sioux maiden:

Walk the good road, my daughter, and the buffalo herds wide and dark as cloud shadows moving over the prairie will follow you… . Be dutiful, respectful, gentle and modest, my daughter. And proud walking. If the pride and the virtue of the women are lost, the spring will come but the buffalo trails will turn to grass. Be strong, with the warm, strong heart of the earth. No people goes down until their women are weak and dishonored. . ..

It would be an exaggeration to say that women were treated equally with men; but they were treated with respect, and the communal nature of the society gave them a more important place.

The conditions under which white settlers came to America created various situations for women. Where the first settlements consisted almost entirely of men, women were imported as sex slaves, childbearers, companions. In 1619, the year that the first black slaves came to Virginia, ninety women arrived at Jamestown on one ship: “Agreeable persons, young and incorrupt… sold with their own consent to settlers as wives, the price to be the cost of their own transportation.”

Many women came in those early years as indentured servants- often teenaged girls-and lived lives not much different from slaves, except that the term of service had an end. They were to be obedient to masters and mistresses. The authors of Americans Working Women (Baxandall, Gordon, and Reverby) describe the situation:

They were poorly paid and often treated rudely and harshly, deprived of good food and privacy. Of course these terrible conditions provoked resistance. Living in separate families without much contact with others in their position, indentured servants had one primary path of resistance open to them: passive resistance, trying to do as little work as possible and to create difficulties for their masters and mistresses. Of course the masters and mistresses did not interpret it that way, but saw the difficult behavior of their servants as sullenness, laziness, malevolence and stupidity.

For instance, the General Court of Connecticut in 1645 ordered that a certain “Susan C., for her rebellious carriage toward her mistress, to be sent to the house of correction and be kept to hard labor and coarse diet, to be brought forth the next lecture day to be publicly corrected, and so to be corrected weekly, until order be given to the contrary.”

Sexual abuse of masters against servant girls became commonplace. The court records of Virginia and other colonies show masters brought into court for this, so we can assume that these were especially flagrant cases; there must have been many more instances never brought to public light.

In 1756, Elizabeth Sprigs wrote to her father about her servitude:

What we unfortunate English People suffer here is beyond the probability of you in England to Conceive, let it suffice that I one of the unhappy Number, am toiling almost Day and Night, and very often in the Horses druggery, with only this comfort that you Bitch you do not halfe enough, and then tied up and whipp’d to that Degree that you’d not serve an Animal, scarce any thing but Indian Corn and Salt to eat and that even begrudged nay many Negroes are better used, almost naked no shoes nor stockings to wear … what rest we can get is to rap ourselves up in a Blanket and ly upon the Ground. …

Whatever horrors can be imagined in the transport of black slaves to America must be multiplied for black women, who were often one-third of the cargo. Slave traders reported:

I saw pregnant women give birth to babies while chained to corpses which our drunken overseers had not removed… . packed spoon-fashion they often gave birth to children in the scalding perspiration from the human cargo. … On board the ship was a young negro woman chained to the deck, who had lost her senses soon after she was purchased and taken on board.

A woman named Linda Brent who escaped from slavery told of another burden:

But I now entered on my fifteenth year-a sad epoch in the life of a slave girl. My master began to whisper foul words in my ear. Young as I was, I could not remain ignorant of their import. . .. My master met me at every turn, reminding me that I belonged to him, and swearing by heaven and earth that he would compel me to submit to him. If I went out for a breath of fresh air, after a day of unwearied toil, his footsteps dogged me. If I knelt by my mother’s grave, his dark shadow fell on me even there. The light heart which nature had given me became heavy with sad forebodings. .. .

Even free white women, not brought as servants or slaves but as wives of the early settlers, faced special hardships. Eighteen married women came over on the Mayflower. Three were pregnant, and one of them gave birth to a dead child before they landed. Childbirth and sickness plagued the women; by the spring, only four of those eighteen women were still alive.

Those who lived, sharing the work of building a life in the wilderness with their men, were often given a special respect because they were so badly needed. And when men died, women often took up the men’s work as well. All through the first century and more, women on the American frontier seemed close to equality with their men.

But all women were burdened with ideas carried over from England with the colonists, influenced by Christian teachings. English law was summarized in a document of 1632 entitled “The Lawes Resolutions of Womens Rights”:

In this consolidation which we call wedlock is a locking together. It is true, that man and wife arc one person, but understand in what manner. When a small brooke or little river incorporateth with Rhodanus, Humber, or the Thames, the poor rivulet looseth her name…. A woman as soon as she is married is called covert … that is, “veiled”; as it were, clouded and overshadowed; she hath lost her surname. I may more truly, farre away, say to a married woman, Her new self is her superior; her companion, her master. . ..

Julia Spruill describes the woman’s legal situation in the colonial period: ”The husband’s control over the wife’s person extended to the right of giving her chastisement. . .. But he was not entitled to inflict permanent injury or death on his wife. . . .”

As for property: “Besides absolute possession of his wife’s personal property and a life estate in her lands, the husband took any other income that might be hers. He collected wages earned by her labor. . . . Naturally it followed that the proceeds of the joint labor of husband and wife belonged to the husband.”

For a woman to have a child out of wedlock was a crime, and colonial court records are full of cases of women being arraigned for “bastardy”-the father of the child untouched by the law and on the loose. A colonial periodical of 1747 reproduced a speech “of Miss Polly Baker before a Court of Judicature, at Connecticut near Boston in New England; where she was prosecuted the fifth time for having a Bastard Child.” (The speech was Benjamin Franklin’s ironic invention.)

May it please the honourable bench to indulge me in a few words: I am a poor, unhappy woman, who have no money to fee lawyers to plead for me.. .. This is the fifth time, gentlemen, that I have been dragg’d before your court on the same account; twice I have paid heavy fines, and twice have been brought to publick punishment, for want of money to pay those fines. This may have been agreeable to the laws, and I don’t dispute it; but since laws are sometimes unreasonable in themselves, and therefore repealed; and others bear too hard on the subject in particular circumstances … I take the liberty to say, that I think this law, by which I am punished, both unreasonable in itself, and particularly severe with regard to me… . Abstracted from the law, I cannot conceive … what the nature of my offense is. Ihave brought five fine children into the world, at the risque of my life; I have maintained them well by my own industry, without burdening the township, and would have done it better, if it had not been for the heavy charges and fines I have paid.. . . nor has anyone the least cause of complaint against me, unless, perhaps, the ministers of justice, because Ihave had children without being married, by which they missed a wedding fee. But can this be a fault of mine? .. .

 

What must poor young women do, whom customs and nature forbid to solicit the men, and who cannot force themselves upon husbands, when the laws take no care to provide them any, and yet severely punish them if they do their duty without them; the duty of the first and great command of nature and nature’s God, increase and multiply; a duty from the steady performance of which nothing has been able to deter me, but for its sake I have hazarded the loss of the publick esteem, and have frequently endured pub-lick disgrace and punishment; and therefore ought, in my humble opinion, instead of a whipping, to have a statue erected to my memory.

The father’s position in the family was expressed in The Spectator, an influential periodical in America and England: “Nothing is more gratifying to the mind of man than power or dominion; and … as I am the father of a family … I am perpetually taken up in giving out orders, in prescribing duties, in hearing parties, in administering justice, and in distributing rewards and punishments…. In short, sir, I look upon my family as a patriarchal sovereignty in which I am myself both king and priest.”

No wonder that Puritan New England carried over this subjection of women. At a trial of a woman for daring to complain about the work a carpenter had done for her, one of the powerful church fathers of Boston, the Reverend John Cotton, said: “. . . that the husband should obey his wife, and not the wife the husband, that is a false principle. For God hath put another law upon women: wives, be subject to your husbands in all things.”

A best-selling “pocket book,” published in London, was widely read in the American colonies in the 1700s. It was called Advice to a Daughter:

You must first lay it down for a Foundation in general, That there is Inequality in Sexes, and that for the better Economy of the World; the Men, who were to be the Law-givers, had the larger share of Reason bestow’d upon them; by which means your Sex is the better prepar’d for the Compliance that is necessary for the performance of those Dudes which seem’d to be most properly assign’d to it…. Your Sex wanteth our Reason for your Conduct, and our Strength for your Protection: Ours wanteth your Gendeness to soften, and to entertain us. …

Against this powerful education, it is remarkable that women nevertheless rebelled. Women rebels have always faced special disabilities: they live under the daily eye of their master; and they are isolated one from the other in households, thus missing the daily camaraderie which has given heart to rebels of other oppressed groups.

Anne Hutchinson was a religious woman, mother of thirteen children, and knowledgeable about healing with herbs. She defied the church fathers in the early years of the Massachusetts Bay Colony by insisting that she, and other ordinary people, could interpret the Bible for themselves. A good speaker, she held meetings to which more and more women came (and even a few men), and soon groups of sixty or more were gathering at her home in Boston to listen to her criticisms of local ministers. John Winthrop, the governor, described her as “a woman of a haughty and fierce carriage, of a nimble wit and active spirit, and a very voluble tongue, more bold than a man, though in understanding and judgement, inferior to many women.”

Anne Hutchinson was put on trial twice: by the church for heresy, and by the government for challenging their authority. At her civil trial she was pregnant and ill, but they did not allow her to sit down until she was close to collapse. At her religious trial she was interrogated for weeks, and again she was sick, but challenged her questioners with expert knowledge of the Bible and remarkable eloquence. When finally she repented in writing, they were not satisfied. They said: “Her repentance is not in her countenance.”

She was banished from the colony, and when she left for Rhode Island in 1638, thirty-five families followed her. Then she went to the shores of Long Island, where Indians who had been defrauded of their land thought she was one of their enemies; they killed her and her family. Twenty years later, the one person back in Massachusetts Bay who had spoken up for her during her trial, Mary Dyer, was hanged by the government of the colony, along with two other Quakers, for “rebellion, sedition, and presumptuous obtruding themselves.”

It remained rare for women to participate openly in public affairs, although on the southern and western frontiers conditions made this occasionally possible. Julia Spruill found in Georgia’s early records the story of Mary Musgrove Mathews, daughter of an Indian mother and an English father, who could speak the Creek language and became an adviser on Indian affairs to Governor James Oglethorpe of Georgia. Spruill finds that as the communities became more settled, women were thrust back farther from public life and seemed to behave more timorously than before. One petition: “It is not the province of our sex to reason deeply upon the policy of the order.”

During the Revolution, however, Spruill reports, the necessities of war brought women out into public affairs. Women formed patriotic groups, carried out anti-British actions, wrote articles for independence. They were active in the campaign against the British tea tax, which made tea prices intolerably high. They organized Daughters of Liberty groups, boycotting British goods, urging women to make their own clothes and buy only American-made things. In 1777 there was a women’s counterpart to the Boston lea Party-a “coffee party,” described by Abigail Adams in a letter to her husband John:

One eminent, wealthy, stingy merchant (who is a bachelor) had a hogshead of coffee in his store, which he refused to sell the committee under six shillings per pound. A number of females, some say a hundred, some say more, assembled with a cart and trunks, marched down to the warehouse, and demanded the keys, which he refused to deliver. Upon which one of them seized him by his neck and tossed him into the cart. Upon his finding no quarter, he delivered the keys when they tipped up the cart and discharged him; then opened the warehouse, hoisted out the coffee themselves, put it into the trunks and drove off. … A large concourse of men stood amazed, silent spectators of the whole transaction.

It has been pointed out by women historians recently that the contributions of working-class women in the American Revolution have been mostly ignored, unlike the genteel wives of the leaders (Dolly Madison, Martha Washington, Abigail Adams). Margaret Corbin, called “Dirty Kate,” Deborah Sampson Garnet, and “Molly Pitcher” were rough, lower-class women, prettified into ladies by historians. While poor women, in the last years of the fighting, went to army encampments, helped, and fought, they were represented later as prostitutes, whereas Martha Washington was given a special place in history books for visiting her husband at Valley Forge.

When feminist impulses are recorded, they are, almost always, the writings of privileged women who had some status from which to speak freely, more opportunity to write and have their writings recorded. Abigail Adams, even before the Declaration of Independence, in March of 1776, wrote to her husband:

… in the new code of laws which I suppose it will be necessary for you to make, I desire you would remember the ladies, and be more generous to them than your ancestors. Do not put such unlimited power in the hands of husbands. Remember, all men would be tyrants if they could. If particular care and attention are not paid to the ladies, we are determined to foment a rebellion, and will not hold ourselves bound to obey the laws in which we have no voice of representation.

Nevertheless, Jefferson underscored his phrase “all men are created equal” by his statement that American women would be “too wise to wrinkle their foreheads with politics.” And after the Revolution, none of the new state constitutions granted women the right to vote, except for New Jersey, and that state rescinded the right in 1807. New York’s constitution specifically disfranchised women by using the word “male.”

While perhaps 90 percent of the white male population were literate around 1750, only 40 percent of the women were. Working-class women had little means of communicating, and no means of recording whatever sentiments of rebelliousness they may have felt at their subordination. Not only were they bearing children in great numbers, under great hardships, but they were working in the home. Around the time of the Declaration of Independence, four thousand women and children in Philadelphia were spinning at home for local plants under the “putting out” system. Women also were shopkeepers and innkeepers and engaged in many trades. They were bakers, tinworkers, brewers, tanners, ropemakers, lumberjacks, printers, morticians, woodworkers, stay-makers, and more.

Ideas of female equality were in the air during and after the Revolution, Tom Paine spoke out for the equal rights of women. And the pioneering book of Mary Wollstonecraft in England, A Vindication of the Rights of Women, was reprinted in the United States shortly after the Revolutionary War. Wollstonecraft was responding to the English conservative and opponent of the French Revolution, Edmund Burke, who had written in his Reflections on the Revolution in France that “a woman is but an animal, and an animal not of the highest order.” She wrote:

I wish to persuade women to endeavor to acquire strength, both of mind and body, and to convince them that soft phrases, susceptibility of heart, delicacy of sentiment, and refinement of taste, are almost synonymous with epithets of weakness, and that those beings who are only the objects of pity and that kind of love . .. will soon become objects of contempt.. . .

 

I wish to show that the first object of laudable ambition is to obtain a character as a human being, regardless of the distinction of sex.

Between the American Revolution and the Civil War, so many elements of American society were changing-the growth of population, the movement westward, the development of the factory system, expansion of political rights for white men, educational growth to match the new economic needs-that changes were bound to take place in the situation of women. In preindustrial America, the practical need for women in a frontier society had produced some measure of equality; women worked at important jobs-publishing newspapers, managing tanneries, keeping taverns, engaging in skilled work. In certain professions, like midwifery, they had a monopoly. Nancy Cott tells of a grandmother, Martha Moore Ballard, on a farm in Maine in 1795, who “baked and brewed, pickled and preserved, spun and sewed, made soap and dipped candles” and who, in twenty-five years as a midwife, delivered more than a thousand babies. Since education took place inside the family, women had a special role there.

There was complex movement in different directions. Now, women were being pulled out of the house and into industrial life, while at the same time there was pressure for women to stay home where they were more easily controlled. The outside world, breaking into the solid cubicle of the home, created fears and tensions in the dominant male world, and brought forth ideological controls to replace the loosening family controls: the idea of “the woman’s place,” promulgated by men, was accepted by many women.

As the economy developed, men dominated as mechanics and tradesmen, and aggressiveness became more and more defined as a male trait. Women, perhaps precisely because more of them were moving into the dangerous world outside, were told to be passive. Clothing styles developed- for the rich and middle class of course, but, as always, there was the intimidation of style even for the poor-in which the weight of women’s clothes, corsets and petticoats, emphasized female separation from the world of activity.

It became important to develop a set of ideas, taught in church, in school, and in the family, to keep women in their place even as that place became more and more unsettled. Barbara Welter (Dimity Convictions) has shown how powerful was the “cult of true womanhood” in the years after 1820. The woman was expected to be pious. A man writing in The Ladies’ Repository: “Religion is exactly what a woman needs, for it gives her that dignity that bests suits her dependence.” Mrs. John Sandford, in her book Woman, in Her Social and Domestic Character, said: “Religion is just what woman needs. Without it she is ever restless or unhappy.”

Sexual purity was to be the special virtue of a woman. It was assumed that men, as a matter of biological nature, would sin, but woman must not surrender. As one male author said: “If you do, you will be left in silent sadness to bewail your credulity, imbecility, duplicity, and premature prostitution.” A woman wrote that females would get into trouble if they were “high spirited not prudent.”

The role began early, with adolescence. Obedience prepared the girl for submission to the first proper mate. Barbara Welter describes this:

The assumption is twofold: the American female was supposed to be so infinitely lovable and provocative that a healthy male could barely control himself when in the same room with her, and the same girl, as she “conies out” of the cocoon of her family’s protectiveness, is so palpitating with undirected affection, so filled to the brim with tender feelings, that she fixes her love on the first person she sees. She awakes from the midsummer night’s dream of adolescence, and it is the responsibility of her family and society to see that her eyes fall on a suitable match and not some clown with the head of an ass. They do their part by such restrictive measures as segregated (by sex and/or class) schools, dancing classes, travel, and other external controls. She is required to exert the inner control of obedience. The combination forms a kind of societal chastity belt which is not unlocked until the marriage partner has arrived, and adolescence is formally over.

When Amelia Bloomer in 1851 suggested in her feminist publication that women wear a kind of short skirt and pants, to free themselves from the encumbrances of traditional dress, this was attacked in the popular women’s literature. One story has a girl admiring the “bloomer” costume, but her professor admonishes her that they are “only one of the many manifestations of that wild spirit of socialism and agrarian radicalism which is at present so rife in our land.”

In The Young Lady’s Book of 1830: “,.. in whatever situation of life a woman is placed from her cradle to her grave, a spirit of obedience and submission, pliability of temper, and humility of mind, are required from her.” And one woman wrote, in 1850, in the book Greenwood Leaves: “True feminine genius is ever timid, doubtful, and clingingly dependent; a perpetual childhood.” Another book, Recollections of a Southern Matron: “If any habit of his annoyed me, I spoke of it once or twice, calmly, then bore it quietly.” Giving women “Rules for Conjugal and Domestic Happiness,” one book ended with: “Do not expect too much.”

The woman’s job was to keep the home cheerful, maintain religion, he nurse, cook, cleaner, seamstress, flower arranger. A woman shouldn’t read too much, and certain books should be avoided. When Harriet Martineau, a reformer of the 1830s, wrote Society in America, one reviewer suggested it he kept away from women: “Such reading will unsettle them for their true station and pursuits, and they will throw the world back again into confusion.”

A sermon preached in 1808 in New York:

How interesting and important are the duties devolved on females as wives . .. the counsellor and friend of the husband; who makes it her daily study to lighten his cares, to soothe his sorrows, and to augment his joys; who, like a guardian angel, watches over his interests, warns him against dangers, comforts him under trials; and by her pious, assiduous, and attractive deportment, constantly endeavors to render him more virtuous, more useful, more honourable, and more happy.

Women were also urged, especially since they had the job of educating children, to he patriotic. One women’s magazine offered a prize to the woman who wrote the best essay on “How May an American Woman Best Show Her Patriotism.”

It was in the 1820s and 1830s, Nancy Cott tells us (The Bonds of Womanhood), that there was an outpouring of novels, poems, essays, sermons, and manuals on the family, children, and women’s role. The world outside was becoming harder, more commercial, more demanding. In a sense, the home carried a longing for some Utopian past, some refuge from immediacy.

Perhaps it made acceptance of the new economy easier to be able to see it as only part of life, with the home a haven. In 1819, one pious wife wrote: “. . . the air of the world is poisonous. You must carry an antidote with you, or the infection will prove fetal.” All this was not, as Cott points out, to challenge the world of commerce, industry, competition, capitalism, but to make it more palatable.

The cult of domesticity for the woman was a way of pacifying her with a doctrine of “separate but equal”-giving her work equally as important as the man’s, but separate and different. Inside that “equality” there was the fact that the woman did not choose her mate, and once her marriage took place, her life was determined. One girl wrote in 1791: “The die is about to be cast which will probably determine the future happiness or misery of my life…. I have always anticipated the event with a degree of solemnity almost equal to that which will terminate my present existence.”

Marriage enchained, and children doubled the chains. One woman, writing in 1813: “The idea of soon giving birth to my third child and the consequent duties I shall he called to discharge distresses me so I feel as if I should sink.” This despondency was lightened by the thought that something important was given the woman to do: to impart to her children the moral values of self- restraint and advancement through individual excellence rather than common action.

The new ideology worked; it helped to produce the stability needed by a growing economy. But its very existence showed that other currents were at work, not easily contained. And giving the woman her sphere created the possibility that she might use that space, that time, to prepare for another kind of life.

The “cult of true womanhood” could not completely erase what was visible as evidence of woman’s subordinate status: she could not vote, could not own property; when she did work, her wages were one-fourth to one-half what men earned in the same job. Women were excluded from the professions of law and medicine, from colleges, from the ministry.

Putting all women into the same category-giving them all the same domestic sphere to cultivate- created a classification (by sex) which blurred the lines of class, as Nancy Cott points out. However, forces were at work to keep raising the issue of class. Samuel Slater had introduced industrial spinning machinery in New England in 1789, and now there was a demand for young girls-literally, “spinsters”-to work the spinning machinery in factories. In 1814, the power loom was introduced in Waltham, Massachusetts, and now all the operations needed to turn cotton fiber into cloth were under one roof. The new textile factories swiftly multiplied, with women 80 to 90 percent of their operatives-most of these women between fifteen and thirty.

Some of the earliest industrial strikes took place in these textile mills in the 1830s. Eleanor Flexner (A Century of Struggle) gives figures that suggest why: women’s daily average earnings in 1836 were less than 371/2 cents, and thousands earned 25 cents a day, working twelve to sixteen hours a day. In Pawtucket, Rhode Island, in 1824, came the first known strike of women factory workers; 202 women joined men in protesting a wage cut and longer hours, but they met separately. Four years later, women in Dover, New Hampshire, struck alone. And in Lowell, Massachusetts, in 1834, when a young woman was fired from her job, other girls left their looms, one of them then climbing the town pump and making, according to a newspaper report, “a flaming Mary Wollstonecraft speech on the rights of women and the iniquities of the ‘moneyed aristocracy’ which produced a powerful effect on her auditors and they determined to have their own way, if they died for it.”

A journal kept by an unsympathetic resident of Chicopee, Massachusetts, recorded an event of May 2, 1843:

Great turnout among the girls .. . after breakfast this morning a procession preceded by a painted window curtain for a banner went round the square, the number sixteen. They soon came past again .. . then numbered forty-four. They marched around a while and then dispersed. After dinner they sallied forth to the number of forty-two and marched around to Cabot. … They marched around the streets doing themselves no credit. …

There were strikes in various cities in the 1840s, more militant than those early New England “turnouts,” but mostly unsuccessful. A succession of strikes in the Allegheny mills near Pittsburgh demanded a shorter workday. Several times in those strikes, women armed with sticks and stones broke through the wooden gates of a textile mill and stopped the looms.

Catharine Beecher, a woman reformer of the time, wrote about the factory system:

Let me now present the facts I learned by observation or inquiry on the spot. I was there in mid- winter, and every morning I was awakened at five, by the bells calling to labor. The time allowed for dressing and breakfast was so short, as many told me, that both were performed hurriedly, and then the work at the mill was begun by lamplight, and prosecuted without remission till twelve, and chiefly in a standing position. Then half an hour only allowed for dinner, from which the time for going and returning was deducted. Then back to the mills, to work till seven o’clock. … it must be remembered that all the hours of labor are spent in rooms where oil lamps, togedier with from 40 to 80 persons, are exhausting the healthful principle of the air … and where the air is loaded with particles of cotton thrown from thousands of cards, spindles, and looms.

And the life of upper-class women? Frances Trollope, an Englishwoman, in her book Domestic Manners of the Americans, wrote;

Let me be permitted to describe the day of a Philadelphia lady of the first class… .

 

This lady shall be the wife of a senator and a lawyer in the highest repute and practice.. . . She rises, and her first hour is spent in the scrupulously nice arrangement of her dress; she descends to her parlor, neat, stiff, and silent; her breakfast is brought in by her free black footman; she eats her fried ham and her salt fish, and drinks her coffee in silence, while her husband reads one newspaper, and puts another under his elbow; and then perhaps, she washes the cups and saucers. Her carriage is ordered at eleven; till that hour she is employed in the pastry room, her snow-white apron protecting her mouse-colored silk. Twenty minutes before her carriage should appear, she retires to her chamber, as she calls it; shakes and folds up her still snowwhite apron, smooths her rich dress, and . .. sets on her elegant bonnet .. . then walks downstairs, just at the moment that her free black coachman announces to her free black footman that the carriage waits. She steps into it, and gives the word: “Drive to the Dorcas Society.”

At Lowell, a Female Labor Reform Association put out a series of “Factory Tracts.” The first was entitled “Factory Life as It Is By an Operative” and spoke of the textile mill women as “nothing more nor less than slaves in every sense of the word! Slaves, to a system of labor which requires them to toil from five until seven o’clock, with one hour only to attend to the wants of nature-slaves to the will and requirements of the ‘powers that be.’…”

In 1845, the New York Sun carried this item:

“Mass Meeting of Young Women”-We are requested to call the attention of the young women of the city engaged in industrious pursuits to the call for a mass meeting in the Park this afternoon at 4 o’clock.

 

We are also requested to appeal to the gallantry of the men of this city . . . and respectfully ask them not to be present at this meeting as those for whose benefit it is called prefer to deliberate by themselves.

Around that time, the New York Herald carried a story about “700 females, generally of the most interesting state and appearance,” meeting “in their endeavor to remedy the wrongs and oppressions under which they labor.” The Herald editorialized about such meetings: “. .. we very much doubt whether it will terminate in much good to female labor of any description…. All combinations end in nothing.”

The tide of Nancy Cott’s book The Bonds of Womanhood reflects her double view of what was happening to women in the early nineteenth century. They were trapped in the bonds of the new ideology of “women’s sphere” in the home, and, when forced out to work in factories, or even in middle-class professions, found another kind of bondage. On the other hand, these conditions created a common consciousness of their situation and forged bonds of solidarity among them.

Middle-class women, barred from higher education, began to monopolize the profession of primary-school teaching. As teachers, they read more, communicated more, and education itself became subversive of old ways of thinking. They began to write for magazines and newspapers, and started some ladies’ publications. Literacy among women doubled between 1780 and 1840. Women became health reformers. They formed movements against double standards in sexual behavior and the victimization of prostitutes. They joined in religious organizations. Some of the most powerful of them joined the antislavery movement. So, by the time a clear feminist movement emerged in the 1840s, women had become practiced organizers, agitators, speakers.

When Emma Willard addressed the New York legislature in 1819 on the subject of education for women, she was contradicting the statement made just the year before by Thomas Jefferson (in a letter) in which he suggested women should not read novels “as a mass of trash” with few exceptions. “For a like reason, too, much poetry should not be indulged.” Female education should concentrate, he said, on “ornaments too, and the amusements of life. . . . These, for a female, are dancing, drawing, and music.”

Emma Willard told the legislature that the education of women “has been too exclusively directed to fit them for displaying to advantage the charms of youth and beauty.” The problem, she said, was that “the taste of men, whatever it might happen to be, has been made into a standard for the formation of the female character.” Reason and religion teach us, she said, that “we too are primary existences … not the satellites of men.”

In 1821, Willard founded the Troy Female Seminary, the first recognized institution for the education of girls. She wrote later of how she upset people by teaching her students about the human body:

Mothers visiting a class at the Seminary in the early thirties were so shocked at the sight of a pupil drawing a heart, arteries and veins on a blackboard to explain the circulation of the blood, that they left the room in shame and dismay. To preserve the modesty of the girls, and spare them too frequent agitation, heavy paper was pasted over the pages in their textbooks which depicted the human body.

Women struggled to enter the all-male professional schools. Dr. Harriot Hunt, a woman physician who began to practice in 1835, was twice refused admission to Harvard Medical School. But she carried on her practice, mostly among women and children. She believed strongly in diet, exercise, hygiene, and mental health. She organized a Ladies Physiological Society in 1843 where she gave monthly talks. She remained single, defying convention here too.

Elizabeth Blackwell got her medical degree in 1849, having overcome many rebuffs before being admitted to Geneva College. She then set up the New York Dispensary for Poor Women and Children “to give to poor women an opportunity of consulting physicians of their own sex.” In her first Annual Report, she wrote:

My first medical consultation was a curious experience. In a severe case of pneumonia in an elderly lady I called in consultation a kind-hearted physician of high standing. .. . This gentleman, after seeing the patient, went with me into the parlour. There he began to walk about the room in some agitation, exclaiming, “A most extraordinary case! Such a one never happened to me before; I really do not know what to do!” I listened in surprise and much perplexity, as it was a clear case of pneumonia and of no unusual degree of danger, until at last I discovered that his perplexity related to me, not to the patient, and to the propriety of consulting with a lady physician!

Oberlin College pioneered in the admission of women. But the first girl admitted to the theology school there, Antoinette Brown, who graduated in 1850, found that her name was left off the class list. With Lucy Stone, Oberlin found a formidable resister. She was active in the peace society and in antislavery work, taught colored students, and organized a debating club for girls. She was chosen to write the commencement address, then was told it would have to be read by a man. She refused to write it.

Lucy Stone began lecturing on women’s rights in 1847 in a church in Gardner, Massachusetts, where her brother was a minister. She was tiny, weighed about 100 pounds, was a marvelous speaker. As lecturer for the American Anti-Slavery Society, she was, at various times, deluged with cold water, sent reeling by a thrown book, attacked by mobs.

When she married Henry Blackwell, they joined hands at their wedding and read a statement:

While we acknowledge our mutual affection by publicly assuming the relationship of husband and wife … we deem it a duty to declare that this act on our part implies no sanction of, nor promise of voluntary obedience to such of the present laws of marriage as refuse to recognize the wife as an independent, rational being, while they confer upon the husband an injurious and unnatural superiority. . . .

She was one of the first to refuse to give up her name after marriage. She was “Mrs. Stone.” When she refused to pay taxes because she was not represented in the government, officials took all her household goods in payment, even her baby’s cradle.

After Amelia Bloomer, a postmistress in a small town in New York State, developed the bloomer, women activists adopted it in place of the old whale-boned bodice, the corsets and petticoats. Elizabeth Cady Stanton, who was one of the leaders of the feminist movement in this period, told of how she first saw a cousin of hers wearing bloomers:

To see my cousin with a lamp in one hand and a baby in the other, walk upstairs, with ease and grace while, with flowing robes, I pulled myself up with difficulty, lamp and baby out of the question, readily convinced me that there was sore need of a reform in woman’s dress and I promptly donned a similar costume.

Women, after becoming involved in other movements of reform- antislavery, temperance, dress styles, prison conditions-turned, emboldened and experienced, to their own situation. Angelina Grimke, a southern white woman who became a fierce speaker and organizer against slavery, saw that movement leading further:

Let us all first wake up the nation to lift millions of slaves of both sexes from the dust, and turn them into men and then … it will be an easy matter to take millions of females from their knees and set them on their feet, or in other words transform them from babies into women.

Margaret Fuller was perhaps the most formidable intellectual among the feminists. Her starting point, in Woman in the Nineteenth Century, was the understanding that “there exists in the minds of men a tone of feeling toward woman as toward slaves….” She continued: “We would have every arbitrary harrier thrown down. We would have every path open to Woman as freely as to Man.” And: “What woman needs is not as a woman to act or rule, but as a nature to grow, as an intellect to discern, as a soul to live freely and unimpeded. . . .”

There was much to overcome. One of the most popular writers of the mid-nineteenth century, the Reverend John Todd (one of his many best-selling books gave advice to young men on the results of masturbation-“the mind is greatly deteriorated”), commented on the new feminist mode of dress:

Some have tried to become semi-men by putting on the Bloomer dress. Let me tell you in a word why it can never be done. It is this: woman, robed and folded in her long dress, is beautiful. She walks gracefully. … If she attempts to run, the charm is gone. . . . Take off the robes, and put on pants, and show the limbs, and grace and mystery are all gone.

In the 1830s, a pastoral letter from the General Association of Ministers of Massachusetts commanded ministers to forbid women to speak from pulpits: “. .. when she assumes the place and tone of man … we put ourselves in self-defense against her.”

Sarah Grimke, Angelina’s sister, wrote in response a series of articles, “Letters on the Condition of Women and the Equality of the Sexes”:

During the early part of my life, my lot was cast among the butterflies of the fashionable world; and of this class of women, I am constrained to say, both from experience and observation, that their education is miserably deficient; that they are taught to regard marriage as the one thing needful, the only avenue to distinction.. . .

She said: “I ask no favors for my sex. I surrender not our claim to equality. All I ask of our brethren is that they will take their feet from off our necks, and permit us to stand upright on the ground which God has designed us to occupy. … To me it is perfectly clear that whatsoever it is morally right for a man to do, it is morally right for a woman to do.”

Sarah could write with power; Angelina was the firebrand speaker. Once she spoke six nights in a row at the Boston Opera House. To the argument of some well-meaning fellow abolitionists that they should not advocate sexual equality because it was so outrageous to the common mind that it would hurt the campaign for the abolition of slavery, she responded:

We cannot push Abolitionism forward with all our might until we take up the stumbling block out of the road.. . . If we surrender the right to speak in public this year, we must surrender the right to petition next year, and the right to write the year after, and so on. What then can woman do for the slave, when she herself is under the feet of man and shamed into silence?

Angelina was the first woman (in 1838) to address a committee of the Massachusetts state legislature on antislavery petitions. She later said: “I was so near fainting under the tremendous pressure of feeling. . . .” Her talk attracted a huge crowd, and a representative from Salem proposed that “a Committee be appointed to examine the foundations of the State House of Massachusetts to see whether it will bear another lecture from Miss Grimke!”

Speaking out on other issues prepared the way for speaking on the situation of women: Dorothea Dix, in 1843, addressed the legislature of Massachusetts on what she saw in the prisons and almshouses in the Boston area:

I tell what I have seen, painful and shocking as the details often are. … I proceed, gendemen, briefly to call your attention to the present state of insane persons confined within this Commonwealth in cages, closets, cellars, stalls, pens; chained, naked, beaten with rods, and lashed into obedience!…

Frances Wright was a writer, founder of a Utopian community, immigrant from Scotland in 1824, a fighter for the emancipation of slaves, for birth control and sexual freedom. She wanted free public education for all children over two years of age in state-supported hoarding schools. She expressed in America what the Utopian socialist Charles Fourier had said in France, that the progress of civilization depended on the progress of women. In her words:

I shall venture the assertion, that, until women assume the place in society which good sense and good feeling alike assign to them, human improvement must advance but feebly…. Men will ever rise or fall to the level of the other sex. … Let them not imagine that they know aught of the delights which intercourse with the other sex can give, until they have felt the sympathy of mind with mind, and heart with heart; until they bring into that intercourse every affection, every talent, every confidence, every refinement, every respect. Until power is annihilated on one side, fear and obedience on the other, and both restored to their birthright-equality.

Women put in enormous work in antislavery societies all over the country, gathering thousands of petitions to Congress. Eleanor Flexner writes in A Century of Struggle:

Today, countless file boxes in the National Archives in Washington bear witness to that anonymous and heart-breaking labor. The petitions are yellowed and frail, glued together, page on page, covered with ink blots, signed with scratchy pens, with an occasional erasure by one who fearfully thought better of so bold an act… . They bear the names of women’s anti-slavery societies from New England to Ohio.,. .

In the course of this work, events were set in motion that carried the movement of women for their own equality racing alongside the movement against slavery. In 1840, a World Anti-Slavery Society Convention met in London. After a fierce argument, it was voted to exclude women, but it was agreed they could attend meetings in a curtained enclosure. The women sat in silent protest in the gallery, and William Lloyd Garrison, one abolitionist who had fought for the rights of women, sat with them.

It was at that time that Elizabeth Cady Stanton met Lucretia Mott and others, and began to lay the plans that led to the first Women’s Rights Convention in history. It was held at Seneca Falls, New York, where Elizabeth Cady Stanton lived as a mother, a housewife, full of resentment at her condition, declaring: “A woman is a nobody. A wife is everything.” She wrote later:

I now fully understood the practical difficulties most women had to contend with in the isolated household, and the impossibility of woman’s best development if, in contact, the chief part of her life, with servants and children, .. . The general discontent I felt with woman’s portion as wife, mother, housekeeper, physician, and spiritual guide, the chaotic condition into which everything fell without her constant supervision, and the wearied, anxious look of the majority of women, impressed me with the strong feeling that some active measures should he taken to remedy the wrongs of society in general and of women in particular. My experiences at the World Anti-Slavery Convention, all I had read of the legal status of women, and the oppression I saw everywhere, together swept across my soul…. I could not see what to do or where to begin-my only thought was a public meeting for protest and discussion.

An announcement was put in the Seneca County Courier calling for a meeting to discuss the “rights of woman” the 19th and 20th of July. Three hundred women and some men came. A Declaration of Principles was signed at the end of the meeting by sixty-eight women and thirty-two men. It made use of the language and rhythm of the Declaration of Independence:

When in the course of human events, it becomes necessary for one portion of the family of man to assume among the people of the earth a position different from that they have hitherto occupied …

 

We hold these truths to be self-evident: that all men and women are created equal; that they are endowed by their Creator with certain inalienable rights; dial among these are life, liberty and the pursuit of happiness.. ..

The history of mankind is a history of repeated injuries and usurpations on the part of man toward woman, having in direct object the establishment of an absolute tyranny over her. To prove this, let facts be submitted to a candid world.. . .

Then came the list of grievances: no right to vote, no right to her wages or to property, no rights in divorce cases, no equal opportunity in employment, no entrance to colleges, ending with: “He had endeavored, in every way that he could, to destroy her confidence in her own powers, to lessen her self-respect and to make her willing to lead a dependent and abject life….”

And then a series of resolutions, including: “That all laws which prevent woman from occupying such a station in society as her conscience shall dictate, or which place her in a position inferior to that of man, are contrary to the great precept of nature, and therefore of no force or authority.”

A series of women’s conventions in various parts of the country followed the one at Seneca Falls. At one of these, in 1851, an aged black woman, who had been born a slave in New York, tall, thin, wearing a gray dress and white turban, listened to some male ministers who had been dominating the discussion. This was Sojourner Truth. She rose to her feet and joined the indignation of her race to the indignation of her sex:

That man over there says that woman needs to be helped into carriages and lifted over ditches. .. . Nobody ever helps me into carriages, or over mud-puddles or gives me any best place. And a’nt I a woman? 

Look at my arm! I have ploughed, and planted, and gathered into barns, and no man could head me! And a’nt I a woman? 

I would work as much and eat as much as a man, when I could get it, and bear the lash as well. And a’nt I a woman? 

I have borne thirteen children and seen em most all sold off to slavery, and when I cried out with my mother’s grief, none but Jesus heard me! And a’nt I a woman?

Thus were women beginning to resist, in the 1830s and 1840s and 1850s, the attempt to keep them in their “woman’s sphere.” They were taking part in all sorts of movements, for prisoners, for the insane, for black slaves, and also for all women.

In the midst of these movements, there exploded, with the force of government and the authority of money, a quest for more land, an urge for national expansion.

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ARCHIVES: WALL STREET / Class Racket

By Doug Henwood
THE LEFT BUSINESS OBSERVER
The author made no money on this book, so please consider a donation.

Wall Street was first published in hardcover by Verso in 1997, and in paperback in 1998. Since Verso chose not to reprint it when it went out of stock, the rights reverted to the author in March 2005.

license. It may be recirculated freely for noncommercial use only. No alterations are allowed, and the author must be credited.

The book is a definitive overview of the financial markets and their economic and political role.

The file is in Acrobat 5.0 format and is 1.1 megabytes in size.  DOWNLOAD (FREE) THE WHOLE BOOK HERE

WALL STREET
Class racket

[dropcap]T[/dropcap]his talk is based in part on Doug Henwood’s book Wall Street, which was published by Verso in hardcover in 1997, and in paper in 1998. Verso let the book go out of print in March 2005, and the rights reverted to the author.

Marxian economics, for those of you who care about such arcane things – the real is what matters, and money and finance are either subordinate or peripheral. Insofar as economists consider money and finance, it’s in a fairly mechanistic fashion – the effects of changes in interest rates, say, on real investment. While such considerations are, of course, important, it misses a whole aspect of money, its role as an instrument of power. Or as Antonio Negri put it in one of his more lucid moments, “Money has but one face, that of the boss.”

Innocent money

Adam Smith, in recommending a legal ceiling on the rate of interest, observed that:

If the legal rate of interest in Great Britain, for example, was fixed so high as eight or ten percent, the greater part of the money which was to be lent would be lent to prodigals and projectors, who alone would be willing to give this high interest. Sober people, who will give for the use of money no more than a part of what they are likely to make by the use of it, would not venture into the competition. A great part of the capital of the country would thus be kept out of the hands which were most likely to make a profitable and advantageous use of it, and thrown into those which were most likely to waste and destroy it.

This provides an interesting gloss on the junk bond era. Leave it to the ancient to be concerned more about the social good than the modern, who worries mainly about the mathematics of market clearance and the risk to creditors. Or, as David Ricardo put it:

Michael Perelman, who teaches economics at California State University at Chico, said that when he told Stiglitz about these classic prefigurations of his argument, Stiglitz reacted with surprise. To become a famous economist, you need not be familiar with the founding documents of your discipline.

Friedrich Hayek, drawing on European writers of the 1920s, the concept goes back to the beginning of modern economics in the mid-18th century David Hume famously said “it is of no manner of consequence … whether money be in greater or less quantity.” There are two other famous soundbite versions of the theory – one from John Stuart Mill, who said that “there cannot, in short, be intrinsically a more insignificant thing, in the economy of society, than money,” and the second from Irving Fisher, “money is a veil.” That’s probably Fisher’s second most famous statement, the first being his observation in August or September 1929 that stock prices had reached a permanently high plateau.

Keynes noted another fortunate side-effect of neutral money doctrine. The classical economists of the 18th and 19th centuries, said Keynes, wrote as if money didn’t exist, or, more precisely, existed only “as a neutral link between transactions in real things and real assets and does not allow it to enter into motives or decisions.” In such a world, the level of prices has no effect on production, consumption, or the willingness to lend or borrow. But, as Keynes pointed out, wages are “sticky,” meaning they don’t change as rapidly as commodity prices, and debt contracts are denominated in money terms, meaning that if prices fall, entrepreneurs will have trouble meeting their wage bills and servicing their debts. In classical doctrine, a fall in prices would be either neutral, since money prices don’t matter for real exchange, or to some eyes even stimulative, since a fall in prices could increase demand. The 1930s made such ideas disreputable. Conveniently, Keynes noted, in a world of neutral money, “crises do not occur” (emphasis in original). For someone writing in 1933, at the trough of depression, this “assumed away the very matter under investigation.”

A few years ago, Claudio Borio, an economist with the Bank for International Settlements, wrote:

 

Guilty money

bankrupt. So the goal of the financial managers was to find the ideal leverage point and stay there.

Michael Milken, used the theory to convince people that debt doesn’t hurt either, and thanks to tax deductibility, it really can make you better off. Here’s how Business Week characterized the popular influence of the MM theory, just after a wave of high-profile leveraged buyouts went bad in the summer of 1989:

Euromoney argued that the $200-400 billion in recent corporate restructurings were not enough – that work had only just begun, and that a quasi-Trotskyist doctrine of permanent restructuring was well advised by “the rise of modern corporate finance theory.” Work that had originally said that capital structure didn’t matter had spawned an industry, or at least an apology for that industry, based on the perpetual rejiggering of those structures.

Dizzy money

Hamptons beachhouses goes back into the markets, to buy more stocks and bonds, and assert ever-more financial claims.

Of course, some individual corporations do raise money on the stock market, but surprisingly little of the proceeds go to real investment. Typically, the money raised in initial public offerings goes to cash out founding investors rather than to fund an investment program.

Money’s secret

Kohlberg Kravis Roberts started doing its earliest leveraged buyouts. At first, they were quite prudent, at least on their own terms, with smallish firms as the targets, and involving reasonable amounts of leverage and reasonable purchase prices. As the decade wore on, the deals became bigger, more expensive, more grandios, and less focused. But in all cases, the idea was that financiers and a new management team – with a tight owner-manager circle taking the place of the conventional public firm – could do a better job than entrenched pre-existing managers. Debt would act as a great incentive to pare costs. Slimmed-down firms with a new lease on life would then be offered to the public again, at great profit to the leverage artists.

Calpers) would become the avatar of the shareholder revolution. That revolution’s most dramatic effect was the wave of corporate downsizings that characterized the headlines for the first half of the 1990s – downsizings that were typically blamed on abstract forces like “globalization” and “technology,” rather than the preferences of portfolio managers. Though Calpers worked mainly with short lists of underperforming firms, the message wasn’t lost on other managers. By 1993, it was clear that the quickest way to add 5 points to your stock price was to lay off 50,000 workers.

 

Money and state

While easy access to commercial bank loans in the 1970s and early 1980s allowed countries some freedom in designing their economic policies (much of it misused, some of it not), the outbreak of the debt crisis in 1982 changed everything. In the words of Jerome I. Levinson, a former official of the Inter-American Development Bank:

International Finance Corporation, the World Bank’s private sector arm. “The debt crisis could be seen as a blessing in disguise,” he said, though admittedly the disguise “was a heavy one.” It forced the end to “bankrupt” strategies like import substitution and protectionism, which hoped, by restricting imports, to nurture the development of domestic industries. “Much of the private capital that is once again flowing to Latin America is capital invested abroad during the run-up to the debt crisis. As much as 40-50 cents of ever dollar borrowed during the 1970s and early 1980s…may have been invested abroad. This money is now coming back on a significant scale, especially in Mexico and Argentina.” In other words, much of the borrowed money was skimmed by ruling elites, parked profitably in the Cayman Islands and Z urich, and Third World governments were left with the bill. When the policy environment changed, some of the money came back home – often to buy newly privatized state assets for a song.

The American model

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Witnesses to Permanent Revolution: The Documentary Record

A significant contribution to an understanding of Permanent Revolution—Witnesses to Permanent Revolution: The Documentary Record edited and translated by Richard B. Day and Daniel Gaido. (Brill, 2009). To order Witnesses to Permanent Revolutionfrom Mehring Books, click here.

By David North, WSWS.ORG
Originally posted 19 April 2010

Leon Trotsky

Editor’s Note: The concept of “permanent revolution” is one of the key concepts in the construction and defense of socialism. It is often intentionally misrepresented by bourgeois propaganda as signifying constant chaos and turmoil instead of the “continuous development of socialism under the vigilant eye of the citizenry”.

The presentation that follows is a Trotskyst interpretation. The history and development of socialist revolutionary theory and practice admits of other approaches, Leninist, Maoist, Stalinist, Castroite, un-affiliated Marxist, etc.

We are reposting this review, which discusses in detail the history and development of the Theory of Permanent Revolution, whose importance in contemporary society is underscored by the emergence of mass revolutionary struggles by the working class in North Africa. The book is available for sale by Mehring books.

CoverThe publication of Witnesses to Permanent Revolution: The Documentary Record is a major event in the study of the theoretical foundations of the 1917 October Revolution. The documents presented in this substantial volume (677 pages)—compiled, translated and introduced by historians Richard B. Day and Daniel Gaido—provide a comprehensive review of the controversies and polemics from which the theory of permanent revolution emerged. Day and Gaido have produced a book that is indispensable for those who wish to understand the development of Marxist theory and revolutionary strategy in the twentieth century.

Richard Day, who has taught for many years at the University of Toronto in Mississauga, is respected as an authority on Soviet history, economics and politics. His best known work, Leon Trotsky and the Politics of Economic Isolation (1973), remains an important exposition of the critical theoretical issues that underlay the struggle over economic policy in the Soviet Union in the 1920s. Day’s work on the life and ideas of E. A. Preobrazhensky, including a translation of the latter’s Decline of Capitalism (1985), rescued from historical oblivion this important figure in the Trotskyist Left Opposition, who was eventually murdered by Stalin in 1937. Professor Day has written essays on a wide range of subjects, including Marxist philosophy. He is presently preparing the publication of a new volume of previously unknown writings of Preobrazhensky.

Daniel Gaido, who was born in Argentina, lived and studied in Israel for more than a decade. He was actively involved in the struggle to defend the democratic rights of Palestinians. Gaido recently has returned to Argentina. His published work includes a book, The Formative Period of American Capitalism: A Materialist Explanation (2006). American history, as the volume under review demonstrates, is not his only area of research. Gaido has written extensively on the history of the German socialist movement, and is currently preparing a history of the German Social Democratic Party during the period of the Second International.

The central aim of Witnesses to Permanent Revolution is the reconstruction of the impressive intellectual scope of the discussion out of which the theory of permanent revolution emerged. While not contesting the decisive role played by Trotsky in its elaboration and, most significantly, its strategic and practical application in the struggles of the Russian working class, Day and Gaido seek to acquaint the reader with the contributions made by other important socialist thinkers, such as Franz Mehring, Rosa Luxembourg, Alexander Helphand (Parvus), Karl Kautsky, and the much less well-known David Ryazanov. Trotsky would not have objected to a detailed account of the origins of the theory with which he had become so intensely and personally identified.

In 1923 the factional attacks on Leon Trotsky, launched by the Politburo troika of Zinoviev, Kamenev and Stalin, developed rapidly into a campaign against the theory of permanent revolution. All of Trotsky’s alleged personal failings and political errors, his so-called “underestimation of the peasantry” and his inveterate “anti-Bolshevism” had their source, it was proclaimed over and over, in this pernicious doctrine. Between April and October 1917, the theory of permanent revolution provided the strategic foundation of the Bolshevik Party’s struggle against the bourgeois Provisional Government and its Menshevik allies. But only six years later, it was being denounced as a heretical deviation from Marxist principles. As he witnessed not only the distortion of his own ideas but also the falsification of the history of socialist theory, Trotsky wrote with evident exasperation:

The expression “permanent revolution” is an expression of Marx, which he applied to the revolution of 1848. In Marxist, naturally not in revisionist but in revolutionary Marxist literature, this term has always had citizenship rights. Franz Mehring employed it for the revolution of 1905–07. The permanent revolution, in an exact translation, is the continuous revolution, the uninterrupted revolution. [1]

Day and Gaido substantiate Trotsky’s insistence upon the Marxist pedigree of the theory of permanent revolution. As they note, as early as 1843, Marx had written in his essay on The Jewish Question that the state could achieve the abolition of religion “only by coming into violent contradiction with its own conditions of life, only by declaring the revolution to be permanent.” [2] More significantly, in March 1850, in their “Address of the Central Authority to the League,” Marx and Engels wrote, in opposition to the democratic petty bourgeoisie, that the workers’ task was

to make the revolution permanent, until all the more or less possessing classes have been driven from their ruling positions, until the proletariat has conquered state power, and … has progressed sufficiently far—not only in one country but in all the leading countries of the world—that competition between the proletarians of these countries ceases and at least the decisive forces of production are concentrated in the hands of the workers. Our concern cannot simply be to modify private property, but to abolish it, not to hush up class antagonisms but to abolish classes, not to improve the existing society but to found a new one. [3]

The concept of the revolution’s permanence developed out of the experience of the class struggles that swept across Europe in 1848. Just over a half-century had passed since the Jacobins, representing the most radical wing of the democratic petty bourgeoisie, had shattered, with the aid of revolutionary terror, the feudal ancien régime and laid the foundation for the establishment of a bourgeois state in France. In the intervening period, the social structure of Europe had grown more complex. The nature and political implications of the on-going political conflict between the bourgeois and the old aristocratic elites were altered by the emergence of a new social force, the proletariat—a class without property. The bourgeoisie became fearful that a popular uprising against the old aristocracy, into which the new proletarian masses were being drawn, might assume dimensions that threatened not only the remnants of feudal privilege but also capitalist property.

Thus, in the struggles of 1848 and their immediate aftermath, the bourgeoisie sought to contain the revolutionary struggle—at the expense of the working class. In France, the old center of revolution and the most politically advanced of European states, the new class relations found brutal expression in the slaughter of the Parisian proletariat in June 1848 by the military force under the command of General Cavaignac. Beyond the borders of France, the bourgeoisie was willing to compromise with the old aristocracy, even to the extent of abandoning the demand for the establishment of a democratic republic and accepting the continuation of aristocratic domination of the state. This was the fate of the German revolution, in which the bourgeoisie—terrified by popular insurrections and the “specter of communism”—capitulated politically to the Prussian aristocracy.

The betrayal by the bourgeoisie of its “own” bourgeois revolution was facilitated by the representatives of the “left” petty bourgeoisie—which at every critical juncture proved itself to be a completely untrustworthy ally of the working class. As Marx and Engels explained in the “Address of the Central Authority:”

Far from desiring to transform the whole of society for the revolutionary proletarians, the democratic petty bourgeois strive for a change in social conditions by means of which the existing society will be made as tolerable and comfortable as possible for them. [4]

The working class, Marx and Engels concluded, should not allow its struggles and interests to be limited and betrayed. Rather, the workers

must do the utmost for their final victory by making it clear to themselves what their class interests are, by taking up their position as an independent party as soon as possible and by not allowing themselves to be misled for a single moment by the hypocritical phrases of the democratic petty bourgeois into refraining from the independent organization of the party of the proletariat. Their battle cry must be: The Revolution in Permanence. [5]

Fifty years later, at the turn of the twentieth century, the political significance and implications of this battle cry were to become the subject of intense debate within the rapidly growing Russian socialist movement. It was beyond dispute that the country was moving inexorably toward a democratic revolution that would sweep away a 300-year-old autocratic regime. But beyond that common premise, sharply divergent views developed regarding the class dynamics, political aims and, finally, the socio-economic consequences of the revolutionary movement. Would the Russian revolution follow the pattern of the “classical” French Revolution of 1789–1794, in which the overthrow of the feudal autocracy led eventually to bourgeois political rule, grounded in capitalist economic relations? Or would the democratic revolution in Russia, developing more than a century later and under vastly changed socio-economic conditions, necessarily take a profoundly different form? Did there exist in the Russia of 1900, as there had in the France of 1790, a revolutionary bourgeoisie? Was the Russian bourgeoisie really prepared to conduct, or even support, a revolutionary struggle against the autocracy?

Above all, how would the development of the democratic revolution be affected by the fact that the most active and dynamic social force in Russia as it entered the twentieth century was the industrial working class? The strikes of the 1890s had already revealed the immense power of a working class that was growing rapidly as the flow of foreign capital into Russia financed large-scale industrialization. What role would the industrial proletariat play in the democratic revolution? There could be no doubt that its strength would be decisive in the overthrow of the autocracy. But would the working class then accept the transfer of political power to its class enemy, the Russian bourgeoisie? Or would the workers proceed beyond the limits of the “classical” democratic revolution, seek to take power into their own hands, and undertake a far-reaching economic restructuring of society that violated the sanctity of capitalist property?

The posing of these questions led all but inevitably to a reconsideration and further elaboration of the Marx-Engels concept of permanent revolution. The documents that have been included in this volume testify to the intellectual depth of the discussion that unfolded in the Russian and German socialist movement between 1903 and 1907. Against the backdrop of a deepening political crisis of the autocracy, there was a growing dissatisfaction with the political perspective that had guided the Russian Social Democratic Labor Party since its founding. Theoretical and political objections emerged to a conception of the democratic revolution that accepted, all too readily, that the overthrow of the tsar would inevitably and necessarily place political power in the hands of the Russian bourgeoisie.

This perspective was identified principally with the work of G. V. Plekhanov, the “Father of Russian Marxism.” Plekhanov maintained that in the struggle against tsarism, the working class was to be allied with the liberal bourgeoisie. Once the autocracy was overthrown, a Russian version of a parliamentary democracy would be established. The party of the working class was to enter the Russian parliament as the socialist opposition, seeking to drive the liberal democratic regime as far to the left as possible. But the country would continue to develop, for the indefinite future, on a capitalist basis. Eventually, but no one knew precisely when, Russia would become sufficiently mature, politically and economically, for socialism. At that point, the working class would proceed to the overthrow of the bourgeois regime.

The central problem in this perspective was that it sought to interpret the nature and tasks of the democratic revolution in accordance with a formula that had been overtaken by history. Indeed, Plekhanov had insisted, as far back as 1889, that the democratic revolution in Russia could only succeed as a workers’ revolution. But if, as Plekhanov continuously emphasized, the working class was to be the decisive force in the overthrow of the autocracy, why would political power necessarily pass into the hands of the liberal bourgeoisie? The only answer that Plekhanov could advance in an effort to silence such questions was that Russian economic development had not sufficiently matured to permit the assumption of political power by the working class and the implementation of measures of a socialist character.

Significantly, the first important theoretician to suggest that Russian development might take a path quite different from that foreseen in the traditional model of the bourgeois democratic revolution was Karl Kautsky. Between 1902 and 1907, Kautsky wrote a series of documents, reproduced in this volume, that gravely undermined the authority of Plekhanov’s doctrinaire perspective, contributed to the development of a critical attitude toward out-dated precedents, and encouraged the path-breaking work of a younger generation of Russian and Polish social democratic theoreticians, including Leon Trotsky and Rosa Luxembourg.

In a 1902 article entitled “The Slavs and Revolution,” Kautsky questioned the assumption that the Russian bourgeoisie would play a revolutionary role in the struggle against tsarism. The dynamic of class relations had changed profoundly since the era of the earlier democratic revolutions. “After 1870,” Kautsky wrote, “the bourgeoisie in all countries began to lose its final remnants of revolutionary ambition. From that time onwards, to be a revolutionary also meant to be a socialist.” [6]

In another influential essay, provocatively titled “To What Extent is the Communist Manifesto Obsolete?, first written in 1903 and revised in 1906, Kautsky stated that

insofar as we may speak of a ‘mistake’ in the Manifesto and consider criticism to be necessary, this must begin precisely with the ‘dogma’ that the bourgeoisie is revolutionary in political terms. The very displacement of revolution by evolution during the last fifty years grows out of the fact that a revolutionary bourgeoisie no longer exists. [7]

Among the most important achievements of the Day-Gaido anthology is its recollection, in accordance with the real historical record, of the immense role played by Kautsky, prior to World War I, in the development of the perspective of permanent revolution. Day and Gaido state that they hope that the publication of Kautsky’s writings on the Russian Revolution will help “to overcome the stereotypical and mistaken view of Kautsky as an apostle of quietism and a reformist cloaked in revolutionary phraseology.” [8] They add:

This view—an over-generalization drawn from Kautsky’s anti-Bolshevik polemics after 1917—was first developed by the ultra-left philosopher Karl Korsch in his reply to Kautsky’s work Die materialistische Geschichtsauffassung (1927) and became established in academic circles after the publication of Erich Matthias’ book, Kautsky and Kautskyanism. Kautsky’s main biographer, Marek Waldenberg, provides abundant material to refute this thesis, which was shared by neither Lenin nor Trotsky, both of whom always recommended the writings of Kautsky’s revolutionary period to communist workers. [9]

As Lenin and Trotsky insisted, Kautsky’s subsequent betrayal of socialism was a repudiation of his own work. When Lenin used the phrase, “How well Kautsky once wrote,” he expressed his own deep-felt dismay and anger over the political and intellectual collapse of the man who had been his teacher. This volume makes clear why Kautsky’s betrayal in August 1914 was so shocking to an entire generation of revolutionaries. The anthology includes so many truly splendid passages from Kautsky’s revolutionary writings that it is difficult to resist the temptation to overburden this review with citations that reveal the Second International’s “Pope of Marxism” to have been a remarkably perceptive, far-sighted and tough-minded polemicist. In retrospect, it is possible to detect (as we will later note) political weaknesses in certain conceptions advanced by Kautsky, especially when he wrote on the implications of a direct clash between the working class and the state. But the contrast between the stereotyped image of Kautsky as some sort of absent-minded professorial fuddy-duddy, complacently waiting for the revolution’s arrival as a gift provided by historical necessity, and the real man emerges with tremendous force. In a document published in February 1904, entitled “Revolutionary Questions,” Kautsky argues against the political fatalism that was, according to so many academic critics, supposedly his stock-in-trade:

The world is not so purposely organized as to lead always to the triumph of the revolution where it is essential for the interest of society. When we speak of the necessity of the proletariat’s victory and of socialism following from it, we do not mean that victory is inevitable or even, as many of our critics think, that it will take place automatically and with fatalistic certainty even when the revolutionary class remains idle. Necessity must be understood here in the sense of the revolution being the only possibility of further development. Where the proletariat does not succeed in defeating its opponents, society will not be able to develop further; it must either stagnate or rot. [10]

Another essay, “The Sans-Culottes of the French Revolution,” written originally in 1889 and republished in 1905, contains a veritable panegyric to revolutionary terrorism. According to Kautsky, the terrorism of the Jacobin regime “was more than a weapon of war to unnerve and intimidate the stealthy internal enemy; it also served to inspire confidence in the defenders of the revolution to continue their struggle against external enemies.” [11]

What about the claim that Kautsky, as an incorrigible “vulgar” materialist, had no sense whatever of the role of the subjective element in politics? That his conception of the forces that motivate mass action recognized only dry and impersonal economic impulses, and that he failed to allow that emotions and ideals played any significant role in the political activity of the working class? Those who have accepted this stereotyped portrait of Kautsky will be surprised to discover that he considered the absence of “revolutionary romanticism” among American workers and the prevalence among intellectuals of “the most unscrupulous capitalism of the soul” to be significant factors in the weakness of socialism in the United States. [12]

As the anthology makes clear, Kautsky’s active involvement in Russian matters was not merely the expression of a kind-hearted avuncular concern for the travails of his young comrades engaged in a life and death battle against the savagely reactionary police state over which the tsar presided. Events in Russia, particularly in the aftermath of the Russo-Japanese War and the outbreak of the Revolution of 1905, were seen by Kautsky and his then close ally, Rosa Luxembourg, as critical to the fate of the socialist movement in Germany.

Kautsky, like Luxembourg, was deeply concerned over the growing authority of the trade unions in determining the political line of the SPD (German Social Democratic Party). Despite the formal victory of the orthodox Marxists over the revisionism of Eduard Bernstein at the Dresden Party Congress in September 1903, the pressure exerted by the trade unions represented an even greater danger to the existence of the SPD as a revolutionary movement. The eruption of the 1905 Revolution intensified political conflict within the party.

The mass strikes in Russia were seen by the leaders of left-wing forces within the SPD as the herald of a new spirit of revolutionary struggle and self-sacrifice in Germany. Even Rudolf Hilferding, later an arch-reformist, drew inspiration from the Russian upheaval. He wrote to Kautsky on November 14, 1905: “the collapse of Czarism is the beginning of our revolution, of our victory, that is now drawing near. The expectation, which Marx had mistakenly expressed about the movement of history in 1848, will now, we hope, be fulfilled.”[13]

Kautsky was even more enthusiastic over the mass struggles. He wrote in July 1905: “The Revolution in Permanence is—precisely what the workers of Russia need.”[14] Kautsky declared that “an era of revolutionary developments has begun. The age of slow, painful, almost imperceptible advances will give way to an epoch of revolutions, of sudden leaps forward, perhaps of occasional great defeats, but also—we must have such confidence in the cause of the proletariat—eventually of great victories.” [15]

But the revolution that lifted the spirits of militant tendencies within the SPD filled the trade union leadership with dread and revulsion. Fearful of the impact of the Russian example, the Fifth Congress of the Social-Democratic Free Trade Unions, held in May 1905 in Köln, rejected the mass strike and prohibited agitation that promoted it. The SPD chairman, August Bebel, attacked “pure and simple” trade unionism and supported a resolution, passed by the party congress held in Jena in September 1905, endorsing the mass strike in the fight for democratic rights.

However, the balance of power between the SPD and the trade unions had drastically changed, to the disadvantage of the party, over the previous decade. Though they had been founded under the leadership of the party, the trade unions, as their membership grew and their bank accounts swelled, acquired distinct and decidedly anti-revolutionary interests. As Theodore Bömelburg, a spokesman of the unions, bluntly declared, what they wanted above all was “peace and quiet.” [16] By 1905 the annual income of the trade unions was roughly fifty times greater than that of the SPD. To the extent that the SPD grew increasingly dependent on subsidies from the trade unions, it became subject to their demands. Moreover, experienced SPD leaders like Bebel must have recognized the possibility that the trade unions might break with the SPD, and create, in alliance with sections of the revisionists, an avowedly anti-revolutionary “workers” party. This would create conditions for a violent attack by the state on the SPD. The pressure on SPD leaders to placate the trade unions was enormous. Thus, despite the passage of the mass strike resolution at the Jena congress, the SPD executive met secretly with the Trade Union General Commission. Bebel capitulated to the trade unions’ demand for a pledge that the SPD would “try to prevent a mass strike as much as possible.”[17] The General Commission warned the SPD that in the event of a political strike, the trade unions would withhold support. The single concession made by the trade unions was that they would not work openly to sabotage the strike. Given the bitter hostility of the trade union leadership to anything that threatened to radicalize class relations, it is doubtful that the SPD placed much faith in this concession.

This period was the high point of Kautsky’s long revolutionary career. As he defended Luxembourg against the bitter attacks of the trade union leaders, she referred to him, affectionately and with admiration, as “Karolus Magnus” (Karl the Great). The terrible disappointment and bitterness felt by Luxembourg over Kautsky’s subsequent drift to the right (which Kautsky justified in private correspondence as an attempt to placate the unions) can only be understood against the background of their long relationship.

The anthology includes, of course, important documents that emerged within the Russian Social Democratic Labour Party (RSDLP). Among these are two documents written by David Borisovich Gol’dendakh, whose party name was Ryazanov. Born in Odessa in 1870, he would later become best known as an indefatigable historian and archivist of the literary legacy of Marx and Engels. After the Bolshevik Revolution, he headed the State Archive Association and helped establish the Socialist Academy and the Marx-Engels Institute. He traveled to Western Europe, negotiated with various Social Democratic officials, and acquired a vast quantity of documents related to Marx and Engels.

This brilliant Marxist scholar also had a significant career as a revolutionary theoretician. Like Trotsky, he stood outside the Bolshevik and Menshevik factions. In 1917, he was, again like Trotsky, a member of the Inter-District Organization (Mezhraionka) before entering the Bolshevik Party in the summer of that year. Ryazanov’s role in the aftermath of the Bolshevik seizure of power, in which he attempted to find common ground with a section of the Mensheviks, has received serious scholarly attention in Alexander Rabinowitch’s The Bolsheviks in Power (Indiana University Press, 2007). Ryazanov’s long revolutionary career, his profound knowledge of Marxist theory and the history of the socialist movement, and his broad cultural interests made him an early and inevitable target of Stalin’s campaign to destroy the revolutionary Marxist intelligentsia of the USSR. Ryazanov was first arrested in February 1931 and accused of being part of the “Menshevik Center” and of “wrecking activities on the historical front.” Ryazanov, wrote Trotsky, “fell victim to his personal honesty.” [18] Expelled from the party and exiled to Saratov, Ryazanov was arrested again in 1937. On January 21, 1938, he was sentenced to death by the so-called Military Collegium and shot the same day.

The first document by Ryazanov included in this anthology dates from 1902–03, entitled The Draft Program of ‘Iskra’ and the Tasks of Russian Social Democrats. Given the length of the original document, which ran 302 pages, Day and Gaido understandably chose to present only representative excerpts. It is an interesting document that reflects the intensity of the factional conflict which, in retrospect, foreshadowed the split that erupted at the Second Congress of the RSDLP in September 1903. Moreover, the document certainly suggests dissatisfaction with the Plekhanovist conception of the necessarily bourgeois character and form of the coming Russian revolution. However, this reviewer believes that Day and Gaido overstate the case in asserting that “Ryazanov’s critique of the Iskra program is remarkable because it anticipates in almost every detail the theory of permanent revolution …” [19]

There are, indeed, certain formulations in which Ryazanov attempts to define the tasks of the working class in a manner that moves beyond the subordination to bourgeois rule envisioned by Plekhanov in the aftermath of the revolution. Ryazanov also expresses a skeptical attitude, which is later developed more forcefully in the writings of Parvus and Trotsky, toward suggestions that the peasantry might play a significant independent role in the revolutionary struggle. However, Ryazanov’s formulations on the nature of the coming revolutionary regime remain somewhat tentative: he writes that the revolution “will unquestionably occur on the basis of bourgeois relations of production and in that sense will certainly be ‘bourgeois’.…” But it “will also, from beginning to end, be proletarian in the sense that the proletariat will be its leading element and will make its class imprint on the entire movement.”[20]In another part of the document he asserts: “A democratic republic is the form in which the class struggle of the proletariat against the bourgeoisie will freely develop.” [21] These formulations still fall substantially short of those later employed by Trotsky, who argued that the working class would not only leave its imprint on the revolution, but would also seize state power.

A large portion of Ryazanov’s document—the weakest sections—is devoted to an attack on Lenin’s What Is To Be Done?, especially the latter’s insistence that socialist consciousness does not develop spontaneously within the working class, but that it is brought into the working class from outside. “Comrade Lenin goes too far,” writes Ryazanov, as he launches into a forceful polemic against this idea. The commentary of Day and Gaido indicates that they are to some extent sympathetic to Ryazanov’s position. However, it is precisely on this issue—that socialism is brought into the working class from without the sphere of its spontaneous economic struggles and practical activities—that Kautsky’s influence on Lenin was most pronounced. In What Is To Be Done?, Lenin included a lengthy passage written by Kautsky, in which the latter explained that “socialist consciousness is something introduced into the proletarian struggle from without [von Aussen hineingetragenes] and not something that arose within it spontaneously [urwuchsig].” [22] Notwithstanding his opposition to reformism, Ryazanov’s document advances positions that, in certain critical respects, resemble those of the Economists, the principal target of What Is To Be Done? Day and Gaido note that a historian, writing in 1970, described Ryazanov’s critique of Iskra as “revolutionary Economism.” [23]

The second Ryazanov document, which was written approximately three years later, in the midst of the 1905 Revolution, includes formulations that come much closer to those being developed by Trotsky and Parvus. Emphasizing the centrality of “the question of property,” Ryazanov declared:

In concentrating all its efforts on completing its own tasks, it [the working class] simultaneously approaches the moment when the issue will not be participation in a provisional government, but rather the seizure of power by the working class and conversion of the ‘bourgeois’ revolution into a direct prologue for the social revolution. [24]

In the evolution of the theory and strategy of the Russian Revolution, Lenin’s conception of the “democratic dictatorship of the proletariat and peasantry” emerged in 1905 as a major alternative to the orthodox conception of Plekhanov. Lenin’s perspective differed from Plekhanov’s in two fundamental respects, both of which had far-reaching political and practical implications. First, although Lenin characterized the coming revolution as bourgeois, he excluded that this revolution could be led, let alone carried through to a decisive conclusion, by the Russian bourgeoisie. In contrast to Plekhanov, Lenin rejected categorically any political alliance with the bourgeois liberals. Moreover, for Lenin, the essential historical significance of the “bourgeois” revolution lay not in the establishment of democratic parliamentary institutions, but, rather, in the radical destruction of all vestiges of feudal relations in the countryside. This is why Lenin placed the so-called “agrarian question” at the center of the democratic revolution. As Trotsky emphasized, in his last major article on the origins of the theory of permanent revolution, “With infinitely greater power and consistency than Plekhanov, Lenin advanced the agrarian question as the central problem of the democratic overturn in Russia.” [25]

From this analysis emerged a political strategy fundamentally different from that of Plekhanov. The success of the democratic revolution, which in the countryside entailed the expropriation of the vast estates of the old landowning class, could only be achieved through the massive mobilization of Russia’s tens of millions of peasants. The Russian bourgeoisie, hostile to any form of mass action directed against private property, could neither sanction nor lead a revolutionary overturn of existing property relations in the countryside. But only through such a mobilization of the peasantry, which comprised the overwhelming majority of Russia’s population, could the tsarist regime be overthrown.

For Lenin, therefore, Plekhanov’s orientation toward the liberal bourgeoisie meant the doom of the revolution. The essential ally of the working class in the revolutionary struggle against the tsarist regime was the peasantry. It was from this assessment of the dynamics of the democratic revolution that Lenin developed his conception of the new form of revolutionary state power that would replace the tsarist autocracy: the democratic dictatorship of the proletariat and peasantry.

Lenin’s conception of the democratic revolution placed the Bolshevik faction of the Russian Social Democratic Labor Party (it was not until 1912 that the Bolsheviks declared themselves as an independent party) in irreconcilable political hostility to the bourgeoisie and all the Menshevik tendencies which, in one form or another, insisted that a liberal bourgeois parliamentary republic was the only politically legitimate outcome of the overthrow of the tsar. However, Lenin clearly distinguished between the democratic and the socialistrevolutions. The democratic dictatorship of the proletariat and peasantry, as envisaged by Lenin, would be established on the basis of capitalist relations. Writing in 1905 Lenin explained:

But of course it will be a democratic, not a socialist dictatorship. It will be unable (without a series of intermediary stages of revolutionary development) to affect the foundations of capitalism. At best, it may bring about a radical redistribution of landed property in favor of the peasantry, establish consistent and full democracy, including the formation of a republic, eradicate all the oppressive features of Asiatic bondage, not only in rural but also in factory life, lay the foundation for a thorough improvement in the conditions of the workers and for a rise in their standard of living and—last but not least—carry the revolutionary conflagration into Europe. Such a victory will not yet by any means transform our bourgeois revolution into a socialist revolution; the democratic revolution will not immediately overstep the bounds of bourgeois social and economic relationships; nevertheless, the significance of such a victory for the future development of Russia and the whole world will be immense. [26]

Lenin’s program, as Trotsky later wrote, “represented an enormous step forward” beyond Plekhanov’s conception of the bourgeois revolution. [27]However, it raised a whole series of theoretical and political questions that revealed the ambiguities and limitations of Lenin’s formulation. In particular, Lenin’s conception foresaw the creation of a new and unprecedented state form in which power would be shared by two classes, the proletariat and the peasantry. How would power be distributed between these classes? Moreover, as Lenin clearly recognized, the destruction of the old landed estates and the redistribution of the land did not mean the end of the private ownership of land. The peasantry remained committed to private property, albeit on a more equitable basis. However, the peasantry would be hostile to the anti-private property, socialistic aspirations and orientation of the proletariat. This basic contradiction in the social orientation of the two classes called into question the viability of Lenin’s democratic dictatorship.

Notwithstanding the limitations of Lenin’s program, it marked, in an objective historical sense, a significant milestone in the development of Russian revolutionary thought. This reviewer is, therefore, somewhat puzzled by the ill-considered and almost dismissive attitude taken by Day and Gaido toward Lenin’s position. In this one instance, one almost hears the grinding of political axes, and it weakens their generally excellent review of the debate on the theory of permanent revolution. They state:

The problem with Lenin’s notion of a ‘democratic dictatorship of the proletariat and peasantry’ was obvious: in Russia, there was no revolutionary petty-bourgeois party with whom to co-operate. Lenin thought such a party must eventually emerge, but this was hardly a practical basis upon which to base political tactics. [28]

One is surprised by this judgment. Whatever the limitations of Lenin’s theory, they were certainly not “obvious.” If they were, Trotsky’s criticisms of the “democratic dictatorship” perspective and his development beyond it, with the theory of permanent revolution, would not have been such an impressive intellectual achievement. Also, Lenin could hardly be faulted for leaving open the possibility of a mass peasant party in Russia. The future development of the Socialist Revolutionary Party, which acquired a mass, albeit unstable, base within the peasantry, proved Lenin correct. Finally, it must be kept in mind that Lenin belonged to a generation that grew to political maturity in the aftermath of the catastrophe of the Paris Commune. The inability of the workers of Paris to rally the French peasantry to their side was the decisive factor that enabled the bourgeois regime in Versailles to destroy the Commune in May 1871. That was not a political failure that would be quickly forgotten. For Lenin, the fate of the working class in Russia (and, for that matter, any country with a large agrarian population) depended upon its ability to win the support of the peasantry. It is always worthwhile to think about the historical time-frame. Only 34 years separated the Paris Commune from the Revolution of 1905. The destruction of the Commune was a less distant event to Lenin’s generation in 1905 than the Fall of Saigon in May 1975 is to the present day!

There is another aspect of Lenin’s formulation of the democratic dictatorship that is of enduring significance. Lenin’s understanding of the contradictory nature of the revolutionary peasant movement—above all, his insistence that peasant insurrections and the mass seizure of land did not necessarily lead to the destruction of capitalist relations—was both subtle and perceptive. Tackling an issue that would time and again cause political confusion within the left (among the admirers, for example, of Castro, Mao, the Naxalites and even Mexico’s “sub-Comandante” Marcos), Lenin argued against the widespread misconception that peasant radicalism—even when it fights for the distribution of land to the rural poor—is socialistic. Lenin insisted that the nationalization of land is a key component of the democratic revolution, and, under certain conditions, critical for the development of capitalism. Explaining that the nationalization of land is a democratic, rather than socialist, measure, Lenin wrote:

Failure to grasp this truth makes the Socialist Revolutionaries unconscious ideologists of the petty bourgeoisie. Insistence on this truth is of enormous importance for Social Democracy not only from the standpoint of theory but also from that of practical politics, for it follows therefrom that complete class independence of the party of the proletariat in the present “general democratic” movement is an indispensable condition. [29]

The military disasters suffered by Russia in its war with Japan led to the eruption of a revolution that was heralded by the massacre of St. Petersburg workers who had marched in protest on January 9, 1905 to the Winter Palace. The social explosion within the Russian Empire provided a powerful impulse for the development of revolutionary theory. The two figures who played the central role in the formulation of the theory of permanent revolution were Parvus and Trotsky.

Even 85 years after his death in Germany, Parvus (1867–1924) remains an enigmatic, even somewhat mysterious, figure. He is remembered far more for his nefarious commercial activities during World War I, after he had abandoned the revolutionary movement, than for his remarkable work as a Marxist theoretician during the final years of the nineteenth century and the first years of the twentieth. But it is indisputable that Parvus, born Alexander Helphand, played a critical role in the life of the revolutionary movement in Russia and Germany. He first came to the attention of European socialists with his attacks on the revisionism of Eduard Bernstein. His first anti-Bernstein articles appeared in the German socialist press in January 1898, even before Luxembourg, let alone Kautsky, entered into the fray. It was not merely their timeliness that made Parvus’s articles significant; the articles displayed a truly remarkable grasp of the economics of German and world capitalism that left the impression that Bernstein did not really know what he was talking about.

As Trotsky later acknowledged, his own thoughts on the dynamic of Russian revolutionary development were deeply influenced by Parvus. It was Parvus, Trotsky wrote, who “definitely transformed the conquest of power by the proletariat from an astronomical ‘final’ goal to a practical task for our own day.” [30] Both Parvus and Trotsky recognized that the emergence of the St. Petersburg Soviet in October 1905 opened up enormous possibilities for the working class. Parvus argued that conceptions of the appropriate “tasks” of the revolution which proceeded from abstract calculations of the supposedly “objective” development of the national productive forces, while ignoring the no less objective dynamic of the unfolding class forces in a revolutionary situation, were utterly inadequate. The seizure of power by the working class, Parvus argued, had become possible. He rejected the Menshevik argument that the working class, based on a fatalistic calculation of available economic resources, was obligated to stand aside and watch respectfully as the bourgeoisie took power into its hands. In a brilliant exposition of the interaction of politics and economics, Parvus cleared the path for a far more aggressive formulation of proletarian revolutionary strategy:

If class relations were determined by the historical course of events in some simple and straightforward manner, then there would be no use in racking our brains: all we would have to do is calculate the moment for social revolution in the same way as astronomers plot the movement of a planet, and then we could sit back and observe. In reality, the relation between classes produces political struggle above all else. What is more, the final outcome of that struggle is determined by the development of class forces. The entire historical process, which embraces centuries, depends upon a multitude of secondary economic, political, and national cultural conditions, but above all it depends on the revolutionary energy and political consciousness of the struggling combatants—on their tactics and their skill in seizing the political moment. [31]

Parvus did not claim that Russia was ripe for the establishment of socialism. He stated categorically that “Without a social revolution in Western Europe, it is presently impossible in Russia to realize socialism.” [32] But he believed that the momentum of the class struggle might create conditions in which the working class could seize power. It would then use that power in a manner that advanced as far as possible the interests of the working class.

Parvus did not attempt to predict the exact course of revolutionary development. Politics, in his view, involved a complex interaction of forces, influences and factors that allowed for innumerable variants of development. He foresaw a protracted process of struggle, in which the actual overthrow of the tsarist autocracy represented only the starting point of the revolution. Parvus argued:

Placing the proletariat at the center and the head of the revolutionary movement of the whole people and the whole of society, Social Democracy must simultaneously prepare it for the civil war that will follow the overthrow of autocracy—for the time when it will be attacked by agrarian and bourgeois liberalism and betrayed by the political radicals and the democrats.

The working class must understand that the revolution and the collapse of autocracy are not the same thing, and that, in order to carry through the political revolution, it will be necessary to struggle first against the autocracy and then against the bourgeoisie. [33]

Parvus’s remarkable essay, “What Was Accomplished on the 9th of January,” contains a wealth of political insights, which reflect the wisdom of a political age that stood, at least in its understanding of the realities of the class struggle, on a level incomparably higher than our own. Discussing the problems that arise in the course of fighting alongside temporary and unstable allies, Parvus advised:

1) Do not blur the organizational lines. March separately, but strike in unison.

2) Do not waver in our own political demands.

3) Do not hide differences of interest.

4) Keep watch of our allies in the same way as we watch our enemies.

5) Pay more attention to taking advantage of the situation created by the struggle than to the maintenance of an ally. [34]

In late 1905, Trotsky wrote “Up to the Ninth of January.” A complete English translation of this work appears for the first time in this anthology. The work is an acute and devastating exposure of the political rottenness of the liberal representatives of the Russian bourgeoisie. Trotsky chronicles their spineless and submissive attitude toward the tsarist regime in a period of mounting crisis, caused by the devastating defeats of the Russian army in the war with Japan. He writes with contempt of the manner in which the liberal politicians acquiesced in the war:

It was not enough for the [liberals] to join in the dirty work of a shameful slaughter and to take upon themselves—that is, to load upon the people—part of the expenses. They were not satisfied with tacit political connivance and acquiescent cover-up of the work of tsarism—no, they publicly declared to everyone their moral solidarity with those responsible for committing the greatest of crimes … One after the other they responded to the declaration of war with loyal pronouncements, using the formal rhetoric of seminars to express their political idiocy.…

And what about the liberal press? This pitiful, mumbling, groveling, lying, cringing, depraved and corrupting liberal press! [35]

One might be forgiven for believing that the young Trotsky was describing the Democratic Party of the United States and today’s New York Times. But more than a century ago, the foulness of bourgeois liberalism was well understood by socialists.

Even in an anthology which includes the work of other brilliant writers, in the early essays of Trotsky a new perspective finds expression in an original and powerful voice. What is most remarkable in these early writings is their vivid conceptualization and articulation of an emerging mass revolutionary movement of the working class and the elemental force of its struggle for power. In this sense, the contrast to Kautsky’s writings is striking. Even in the best work of the latter, when he is formulating and defending a revolutionary perspective, Kautsky’s portrayal of the clash of opposing class forces is detached, and seems to reflect the inner doubts of the writer. He left open the possibility, in a not very convincing manner, that the working class might be able, without resorting to violence, to frighten its class enemy into surrendering power! He wrote:

A rising class must have the necessary instruments of force at its disposal if it wants to dispossess the old ruling class, but it is not unconditionally necessary that it employ them. Under certain circumstances, awareness of the existence of such instruments can be enough to induce a declining class to come to an agreement peacefully with an opponent that has become overwhelming. [36]

It should, of course, be kept in mind that Kautsky was well aware of the hostility that existed within sections of the SPD, and especially within the trade unions, to any suggestion that the party believed in the inevitability of, let alone advocated, an armed struggle for power. Nor was he unmindful that incautious formulations, even in a theoretical journal, might be seized upon by the Prussian state as a pretext for an assault on the SPD. The fact that there existed influential voices within the upper echelons of the state that were continuously advocating a bloody showdown with the Social Democracy was well known. But still, it is evident that Kautsky had no clear answer to the unavoidable problem that confronted the working class in a modern capitalist state: how to overcome the resistance of the military forces at the disposal of the government? In one essay, Kautsky went so far as to suggest that the defeat of a government prepared to defend itself by mobilizing the military might not be possible. “The consciousness of technical military superiority makes it possible for any government that possesses the necessary ruthlessness to look forward calmly to a popular armed uprising.” [37]

Trotsky, as Day and Gaido, point out, “makes precisely the opposite argument: a mass strike will necessarily lead to armed conflict when the government responds with orders to shoot down strikers.” [38] While for Kautsky the issuing of orders to soldiers that they fire on workers might well mean the end of the revolution, for Trotsky such orders could lead to the end of the oppressors’ state. Trotsky noted that reactionaries tend to believe that the defeat of revolution requires only the sufficient application of repressive force. “Grand Duke Vladimir,” Trotsky observed laconically,

who spent his time in Paris studying not only the whorehouses but also the administrative-military history of the Great Revolution, concluded that the old order would have been saved in France if Louis’s government had crushed every sprout of revolution, without any wavering or hesitation, and if he had cured the people of Paris with a bold and widely organized blood-letting. On 9 January, our most august alcoholic showed exactly how this should be done.… Guns, rifles and munitions are excellent servants of order, but they have to be put into action. For that purpose, people are needed. And even though these people are called soldiers, they differ from guns because they feel and think, which means that they are not reliable. They hesitate, they are infected by the indecision of their commanders, and the result is disarray and panic in the highest ranks of the bureaucracy. [39]

This collection does not include Trotsky’s first definitive elaboration of the theory of permanent revolution, the famous Results and Prospects, which was published in 1906. But Day and Gaido do present a number of immensely important documents in which the development of Trotsky’s political thought—from the contemptuous exposure of the reactionary character of Russian liberalism to his conclusion that the logic of class struggle will compel the working class to take power—can be traced. These crucial preparatory works include Trotsky’s “Introduction to Ferdinand Lassalle’s Speech to the Jury,” “Social Democracy and Revolution,” and the “Foreword to Karl Marx, Parizhskaya Kommuna.” All of these essays date from 1905, the year in which Trotsky became chairman of the St. Petersburg Soviet and emerged as the greatest orator and mass leader of the first Russian revolution.

Trotsky’s “Introduction to Ferdinand Lassalle’s Speech to the Jury” is one of his early masterpieces. Lassalle had played a major role in the 1848 revolution in Germany, as a representative of the extreme left wing of the democratic forces. Arrested for inciting insurrection against Prussia, Lassalle wrote a speech in his own defense. The speech was never actually delivered in the courtroom, but thousands of copies of the written text were distributed throughout Germany and made a profound impression. Trotsky, as Day and Gaido observe, “obviously admired the grand rhetoric of Lassalle’s Speech to the Jury,” and it certainly influenced the form taken by Trotsky’s no less memorable speech when he was placed on trial in 1907 after the defeat of the 1905 revolution. [40]

In his “Introduction,” Trotsky drew lessons from the experience of the 1848 revolution to drive home the essential political point that in the contemporary struggle against the tsarist autocracy, the Russian bourgeoisie was the bitter enemy of the working class. The bourgeoisie had learned from the events of 1789–95 that revolution, however critical for the realization of its own interests, raised the danger of unintended consequences. As it succeeded in consolidating its own social and economic position, the more determined it became to resist the demands of the masses. In the ensuing conflict, the previously concealed nature of society emerged into the open. In a memorable passage, Trotsky described a revolutionary epoch as “a school of political materialism.”

It translates all social norms into the language of force. It gives influence to those who rely upon force and are united, disciplined, and ready to take action. Its mighty tremors drive the masses onto the field of struggle and reveal to them the ruling classes—both those who are departing and those who are arriving. For exactly this reason, it is terrifying both for the class that is losing power and for the one acquiring power. Once they have entered upon this road, the masses develop their own logic and go much further than necessary from the viewpoint of the new bourgeois arrivals. Every day brings new slogans, each more radical than the previous one, and they spread as rapidly as blood circulates in the human body. If the bourgeoisie accepts revolution as the starting point of a new system, it will deprive itself of any opportunity to appeal to law and order in opposing the revolutionary encroachments of the masses. That is why a deal with reaction, at the expense of the people’s rights, is a class imperative for the liberal bourgeoisie.

This applies equally to its position before, during, and after the revolution. [41]

At the end of his careful review of the German bourgeoisie’s betrayal of the democratic revolution of 1848, Trotsky drew the essential political conclusion: a half-century later, there existed even less possibility that the bourgeoisie would play any sort of progressive political role. Moreover, the global development of capitalism during the preceding half-century had drawn the Russian bourgeoisie into a world-wide system of political domination and economic exploitation. It is at this point that Trotsky calls attention to a new and decisive factor in the development of the Russian revolution:

Imposing its own type of economy and its own relations on all countries, capitalism has transformed the entire world into a single economic and political organism. And just as modern credit binds thousands of enterprises together by an invisible thread and imparts astounding mobility to capital, eliminating numerous small and partial crises while at the same time making general economic crises incomparably more serious, so the entire economic and political functioning of capitalism, with its world trade, its system of monstrous state debts and international political alliances, which are drawing all the reactionary forces into a single worldwide joint-stock company, has not only resisted all partial political crises but has also prepared the conditions for a social crisis of unprecedented dimensions. Internalizing all the pathological processes, circumventing all the difficulties, brushing aside all the profound questions of domestic and international politics, and hiding all the contradictions, the bourgeoisie has postponed the denouement while simultaneously preparing a radical, worldwide liquidation of its supremacy. It has avidly clung to every reactionary force without questioning its origins.…

From the very outset, this fact gives currently unfolding events an international character and opens up majestic prospects. Political emancipation, led by the Russian working class, is raising the latter to heights that are historically unprecedented, providing it with colossal means and resources, and making it the initiator of capitalism’s worldwide liquidation, for which history has prepared all the objective preconditions. [42]

These paragraphs mark Trotsky’s emergence as a strategist of world socialist revolution!

Beneath the impact of the monumental strike of October 1905 and the creation of the St. Petersburg Soviet, the most advanced socialist thinkers struggled to discover the political formula that would reconcile the ever more glaring contradiction between the economic backwardness of Russia—which was, according to the conventional interpretation of Marxism, unprepared for socialist revolution—and the undeniable reality that the working class was the decisive force in the unfolding revolutionary situation. Where was the revolution going? What could the working class expect to achieve?

Parvus, writing in November 1905, advised that,

The direct revolutionary goal of the Russian proletariat is to achieve the kind of state system in which the demands of workers’ democracy will be realized. Workers’ democracy includes all of the most extreme demands of bourgeois democracy, but it imparts to some of them a special character and also includes new demands that are strictly proletarian. [43]

The Russian revolution, he explained, “creates a special connection between the minimum program of Social Democracy and its final goal.” Parvus then added:

This does not imply the dictatorship of the proletariat, whose task is a fundamental change of production relations in the country, yet it already goes beyond bourgeois democracy. We are not yet ready in Russia to assume the task of converting the bourgeois revolution into a socialist revolution, but we are even less ready to subordinate ourselves to a bourgeois revolution. Not only would this contradict the first premises of our entire program, but the class struggle of the proletariat also drives us forward. Our task is to expand the limits of the bourgeois revolution by including within it the interests of the proletariat and by creating, within the bourgeois constitution itself, the greatest possible opportunities for social-revolutionary upheaval. [44]

Even Parvus seemed to retreat before the problem posed by the backwardness of Russian economic development and the political dynamism of the working class.

One month later, in his foreword to Marx’s speech on the Paris Commune, Trotsky asserted that there was a solution to this problem. But to find it required the understanding that there did not exist a formal and mechanical relationship between the level of development of the productive forces of a given country and the capacity of its working class to take power. The calculations of the revolutionary party had to include other critical factors, i.e., “the relations of class struggle, the international situation, and finally, a number of subjective factors that include tradition, initiative, and readiness for the fight.” [45] What conclusion followed from this insight? Trotsky declared: “In an economically backward country, the proletariat can come to power sooner than in a country of the most advanced capitalism.” [46] A half-century of socio-economic development, decades of theoretical work, and the experience of a revolution was necessary to arrive at this conclusion.

Trotsky had, at this point, worked out the basic outline of his theory of permanent revolution. In fact, passages from his “Introduction” to Lassalle’s speech and his “Foreword” to Marx’s speech on the Paris Commune were reproduced in Results and Prospects. However, even as he prepared the writing of this crucial work, Trotsky continued to find encouragement and inspiration in the writings of Kautsky.

Among the most important documents included in the Day-Gaido anthology is a virtually unknown work by Kautsky from February 1906, “The American Worker.” It was written as a reply to the study of American society by the German sociologist Werner Sombart (1863–1941), which bore the intriguing title, Why Is There No Socialism in the United States? The question was an important one. Obviously, from the political standpoint, it had to be addressed. What was the future of socialism if it remained unable to obtain a mass following in the working class within the most advanced capitalist country? Moreover, there was a critical theoretical issue that could not be ignored. How was one to explain, within the framework of Marxist theory, the following paradox: In the United States, the most advanced capitalist country, socialism seemed to be making very little headway. But in Russia, among the countries where capitalism was the least developed, socialism was advancing by leaps and bounds. How was the paradox to be explained? Yet another question was raised. If, as Marx had indicated, the advanced countries revealed the “pattern” of development which less developed countries would necessarily reproduce, what were the implications of the “non-socialist” pattern of development of the most advanced and powerful country in the world? Sombart, drawing the most conservative conclusions, argued that the United States showed Europe its future.

Kautsky raised an objection. Sombart’s claim, he wrote, “can be accepted only with great reservations.” The sociologist’s error was to abstract American conditions in a one-sided manner out of a complex totality of economic, social and political relations formed on the basis of the global development of capitalism. Sombart failed to note that the pattern of development with which Marx was most familiar, that of England, had not been simply reproduced in other countries. The England of Marx’s time possessed the most developed industry. But the advance of industrial capitalism generated the opposing tendencies of proletarian resistance and organization. So England saw the emergence of Chartism, and later trade unions and social legislation. But this development, in which there existed interaction of capitalist development and working class counter-action, did not establish a universal “pattern.”

Kautsky explained:

Today, there is a whole series of countries in which capital controls the whole of economic life, but none of them has developed all the aspects of the capitalist mode of production to the same extent. There are, in particular, two states that face each other as extremes, in which one of the two elements of this mode of production is disproportionately strong, i.e., stronger than it should be according to its level of development: in America, the capitalist class; in Russia, the working class. [47]

Which country, then, showed Germany its future? Kautsky answered:

Germany’s economy is closest to the American one; its politics, on the other hand, are closest to the Russian. In this way, both countries show us our future; it will have a half-American, half-Russian character. The more we study Russia and America, and the better we understand both, the more clearly we will be able to comprehend our own future. The American example alone would be as misleading as the Russian.

It is certainly a peculiar phenomenon that precisely the Russian proletariat should show us our future—as far as the rebellion of the working class, not the organization of capital, is concerned—because Russia is, of all the great states of the capitalist world, the most backward. This seems to contradict the materialist conception of history, according to which the economic development constitutes the basis of politics. But, in fact, it only contradicts that kind of historical materialism of which our opponents and critics accuse us, by which they understand a ready-made model and not a method of inquiry. They reject the materialist conception of history only because they are unable to understand it and apply it fruitfully. [48]

It is not possible, without adding substantially to the length of this review, to examine Kautsky’s explanation of the peculiarity of America’s political development. Suffice it to say that Kautsky offered an extremely insightful analysis of the economic and social environment that made it exceptionally difficult for socialism to advance in America as it had in Europe. Among the factors to which he pointed was the manner in which the great wealth of American capitalism corrupted a substantial section of the intelligentsia, rendering it indifferent to the political and social needs of the working class. Nevertheless, Kautsky concluded that, despite the many obstacles, socialism would eventually make extraordinary advances in the United States.

Kautsky’s “The American Worker” exerted a powerful influence on Trotsky, as he explicitly acknowledged in Results and Prospects. He included in his work passages from the paragraphs cited above. Trotsky never denied the immense debt that he and others of his generation owed to Kautsky. Trotsky did not forgive Kautsky’s later betrayals, but he saw no need to minimize, let alone deny, his achievements. Trotsky remembered Kautsky, at the time of his death in 1938, “as our former teacher to whom we once owed a great deal, but who separated himself from the proletarian revolution and from whom, consequently, we had to separate ourselves.” [49]

If Kautsky’s vital contribution to Trotsky’s elaboration of the theory of permanent revolution needs to be stressed, it is because so much ink has been wasted by the petty-bourgeois anti-Marxist left on behalf of its efforts to completely discredit the theoretical heritage of socialism, in whose development Kautsky played a major role. The denunciations of the whole corpus of Kautsky’s work, promoted by the Frankfurt School and amplified by diverse varieties of petty-bourgeois radicalism, have been from the right, directed not at explaining the nature and objective source of the weaknesses of the pre-1914 Social Democracy, but rather against its greatest strength—that it was based on and sought to educate, politically and culturally, the working class. The study of Kautsky’s writings, written before he succumbed to the political pressures bearing down on the pre-1914 Social Democracy, will make possible a deeper understanding of the development of Marxist thought, including that of Lenin and Trotsky. This reviewer endorses fully the words with which Day and Gaido conclude their introduction to this splendid volume:

The theory of permanent revolution has been a focus of debate for decades, not only between Trotsky’s followers and his critics but also amongst academic historians. But in the court of history, as Trotsky understood very well when judging Kautsky, fairness and decency require that participants be assured every opportunity to speak for themselves. [50]

Between the years 1903 and 1907 Marxist social and political thought underwent an extraordinary development. To study these documents is to return to an age when political thought stood incomparably higher than it does today. This review, despite its length, has provided only a glimpse of the riches contained in Witnesses to Permanent Revolution. It is inevitable that documents as complex and far-ranging as those presented in this anthology lend themselves to diverse interpretations. I have indicated certain areas where I disagree with the judgments of Richard Day and Daniel Gaido. But this does not diminish in the least my very great appreciation, which will be felt by many socialists, for their important contribution to the revival of interest in the development of revolutionary theory in the twentieth century.

To order Witnesses to Permanent Revolution from Mehring Books, click here.

Footnotes:

[1] The New Course (London: New Park, 1972), p. 45.[back]

[2] Witnesses to Permanent Revolution: The Documentary Record edited and translated by Richard B. Day and Daniel Gaido. (Brill, 2009). p. 3.[back]

[3] Ibid, pp. 9–10.[back]

[4] Marx Engels Collected Works, Volume 10 (London: Lawrence & Wishart, 1978), p. 280.[back]

[5] Ibid, p. 287.[back]

[6] Day and Gaido, p. 63.[back]

[7] Ibid, p. 181.[back]

[8] Ibid, p. 569.[back]

[9] Ibid.[back]

[10] Ibid, p. 223.[back]

[11] Ibid, p. 541.[back]

[12] Ibid, pp. 642–43.[back]

[13] Ibid, p. 36.[back]

[14] Ibid, p. 376.[back]

[15] Ibid, p. 407.[back]

[16] Ibid, p. 374.[back]

[17] Ibid, p. 375.[back]

[18] Ibid, p. 70.[back]

[19] Ibid.[back]

[20] Ibid, pp. 133–34.[back]

[21] Ibid, pp. 121–22.[back]

[22] Lenin, Collected Works, Vol. 5 (Moscow: Foreign Languages Publishing House, 1961), p. 384.[back]

[23] Day and Gaido, p. 70.[back]

[24] Ibid, p. 473.[back]

[25] “Three Conceptions of the Russian Revolution,” in Writings of Leon Trotsky 1939–40 (New York: Pathfinder, 1973), p. 67.[back]

[26] Lenin, Collected Works, Vol. 9 (Moscow: Progress Publishers, 1972), pp. 56–57.[back]

[27] “Three Conceptions,” p. 68.[back]

[28] Day and Gaido, p. 257.[back]

[29] Collected Works, Vol. 9, p. 48.[back]

[30] Day and Gaido, p. 252.[back]

[31] Ibid, p. 261.[back]

[32] Ibid.[back]

[33] Ibid, 267.[back]

[34] Ibid, pp. 267–68.[back]

[35] Ibid, pp. 282–84.[back]

[36] Ibid, p. 247.[back]

[37] Ibid, p. 236.[back]

[38] Ibid. p. 334.[back]

[39] Ibid, p. 347.[back]

[40] Ibid, p. 411.[back]

[41] Ibid, p. 416.[back]

[42] Ibid, pp. 444–45.[back]

[43] Ibid, p. 493.[back]

[44] Ibid, emphasis added.[back]

[45] Ibid, p. 502.[back]

[46] Ibid.[back]

[47] Ibid, pp. 620–21.[back]

[48] Ibid, p. 621.[back]

[49] Ibid, p. 58.[back]

[50] Ibid.[back]

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HOWARD ZINN: A KIND OF REVOLUTION

Chapter 5: from A People’s History of the United States, By Howard Zinn

History Series 

Idealized illustration of Bunker Hill battle. Most images fail to register the messiness and less than honorable nature of actual combat engagements.

[dropcap]T[/dropcap]HE AMERICAN VICTORY over the British army was made possible by the existence of an already- armed people. Just about every white male had a gun, and could shoot. The Revolutionary leadership distrusted the mobs of poor. But they knew the Revolution had no appeal to slaves and Indians. They would have to woo the armed white population.

This was not easy. Yes, mechanics and sailors, some others, were incensed against the British. But general enthusiasm for the war was not strong. While much of the white male population went into military service at one time or another during the war, only a small fraction stayed. John Shy, in his study of the Revolutionary army (A People Numerous and Armed), says they “grew weary of being bullied by local committees of safety, by corrupt deputy assistant commissaries of supply, and by bands of ragged strangers with guns in their hands calling themselves soldiers of the Revolution.” Shy estimates that perhaps a fifth of the population was actively treasonous. John Adams had estimated a third opposed, a third in support, a third neutral.

Alexander Hamilton, an aide of George Washington and an up-and-coming member of the new elite, wrote from his headquarters: “. . . our countrymen have all the folly of the ass and all the passiveness of the sheep… . They are determined not to be free.. . . If we are saved, France and Spain must save us.”

Slavery got in the way in the South. South Carolina, insecure since the slave uprising in Stono in 1739, could hardly fight against the British; her militia had to be used to keep slaves under control.

The men who first joined the colonial militia were generally “hallmarks of respectability or at least of full citizenship” in their communities, Shy says. Excluded from the militia were friendly Indians, free Negroes, white servants, and free white men who had no stable home. But desperation led to the recruiting of the less respectable whites. Massachusetts and Virginia provided for drafting “strollers” (vagrants) into the militia. In fact, the military became a place of promise for the poor, who might rise in rank, acquire some money, change their social status.

Here was the traditional device by which those in charge of any social order mobilize and discipline a recalcitrant population-offering the adventure and rewards of military service to get poor people to fight for a cause they may not see clearly as their own. A wounded American lieutenant at Bunker Hill, interviewed by Peter Oliver, a Tory (who admittedly might have been looking for such a response), told how he had joined the rebel forces:

I was a Shoemaker, & got my living by my Labor. When this Rebellion came on, I saw some of my Neighbors got into Commission, who were no better than myself. I was very ambitious, & did not like to see those Men above me. T was asked to enlist, as a private Soldier … I offered to enlist upon having a Lieutenants Commission; which was granted. I imagined my self now in a way of Promotion: if I was killed in Battle, there would be an end of me, but if any Captain was killed, I should rise in Rank, & should still have a Chance to rise higher. These Sir! were the only Motives of my entering into the Service; for as to the Dispute between Great Britain & the Colonies, I know nothing of it. …

John Shy investigated the subsequent experience of that Bunker Hill lieutenant. He was William Scott, of Peterborough, New Hampshire, and after a year as prisoner of the British he escaped, made his way back to the American army, fought in battles in New York, was captured again by the British, and escaped again by swimming the Hudson River one night with his sword tied around his neck and his watch pinned to his hat. He returned to New Hampshire, recruited a company of his own, including his two eldest sons, and fought in various battles, until his health gave way. He watched his eldest son die of camp fever after six years of service. He had sold his farm in Peterborough for a note that, with inflation, became worthless. After the war, he came to public attention when he rescued eight people from drowning after their boat turned over in New York harbor. He then got a job surveying western lands with the army, but caught a fever and died in 1796.

Scott was one of many Revolutionary fighters, usually of lower military ranks, from poor and obscure backgrounds. Shy’s study of the Peterborough contingent shows that the prominent and substantial citizens of the town had served only briefly in the war. Other American towns show the same pattern. As Shy puts it: “Revolutionary America may have been a middle-class society, happier and more prosperous than any other in its time, but it contained a large and growing number of fairly poor people, and many of them did much of the actual fighting and suffering between I775 and 1783: A very old story.”

The military conflict itself, by dominating everything in its time, diminished other issues, made people choose sides in the one contest that was publicly important, forced people onto the side of the Revolution whose interest in Independence was not at all obvious. Ruling elites seem to have learned through the generations-consciously or not-that war makes them more secure against internal trouble.

The force of military preparation had a way of pushing neutral people into line. In Connecticut, for instance, a law was passed requiring military service of all males between sixteen and sixty, omitting certain government officials, ministers, Yale students and faculty, Negroes, Indians, and mulattos. Someone called to duty could provide a substitute or get out of it by paying 5 pounds. When eighteen men failed to show up for military duty they were jailed and, in order to be released, had to pledge to fight in the war. Shy says: “The mechanism of their political conversion was the militia.” What looks like the democratization of the military forces in modern times shows up as something different: a way of forcing large numbers of reluctant people to associate themselves with the national cause, and by the end of the process believe in it.

Here, in the war for liberty, was conscription, as usual, cognizant of wealth. With the impressment riots against the British still remembered, impressment of seamen by the American navy was taking place by 1779. A Pennsylvania official said: “We cannot help observing how similar this Conduct is to that of the British Officers during our Subjection to Great Britain and are persuaded it will have the same unhappy effects viz. an estrangement of the Affections of the People from . . . Authority . . . which by an easy Progression will proceed to open Opposition . . . and bloodshed.”

Watching the new, tight discipline of Washington’s army, a chaplain in. Concord, Massachusetts, wrote: “New lords, new laws. The strictest government is taking place and great distinction is made between officers & men. Everyone is made to know his place & keep it, or be immediately tied up, and receive not one but 30 or 40 lashes.”

The Americans lost the first battles of the war: Bunker Hill, Brooklyn Heights, Harlem Heights, the Deep South; they won small battles at Trenton and Princeton, and then in a turning point, a big battle at Saratoga, New York, in 1777. Washington’s frozen army hung on at Valley Forge, Pennsylvania, while Benjamin Franklin negotiated an alliance with the French monarchy, which was anxious for revenge on England. The war turned to the South, where the British won victory after victory, until the Americans, aided by a large French army, with the French navy blocking off the British from supplies and reinforcements, won the final victory of the war at Yorktown, Virginia, in 1781.

Through all this, the suppressed conflicts between rich and poor among the Americans kept reappearing. In the midst of the war, in Philadelphia, which Eric Foner describes as “a time of immense profits for some colonists and terrible hardships for others,” the inflation (prices rose in one month that year by 45 percent) led to agitation and calls for action. One Philadelphia newspaper carried a reminder that in Europe “the People have always done themselves justice when the scarcity of bread has arisen from the avarice of forestallers. They have broken open magazines- appropriated stores to their own use without paying for them-and in some instances have hung up the culprits who created their distress.”

In May of 1779, the First Company of Philadelphia Artillery petitioned the Assembly about the troubles of “the midling and poor” and threatened violence against “those who are avariciously intent upon amassing wealth by the destruction of the more virtuous part of the community.” That same month, there was a mass meeting, an extralegal gathering, which called for price reductions and initiated an investigation of Robert Morris, a rich Philadelphian who was accused of holding food from the market. In October came the “Fort Wilson riot,” in which a militia group marched into the city and to the house of James Wilson, a wealthy lawyer and Revolutionary official who had opposed price controls and the democratic constitution adopted in Pennsylvania in 1776. The militia were driven away by a “silk stocking brigade” of well-off Philadelphia citizens.

It seemed that the majority of white colonists, who had a bit of land, or no property at all, were still better off than slaves or indentured servants or Indians, and could be wooed into the coalition of the Revolution. But when the sacrifices of war became more bitter, the privileges and safety of the rich became harder to accept. About 10 percent of the white population (an estimate of Jackson Main in The Social Structure of Revolutionary America), large landholders and merchants, held 1,000 pounds or more in personal property and 1,000 pounds in land, at the least, and these men owned nearly half the wealth of the country and held as slaves one-seventh of the country’s people.

The Continental Congress, which governed the colonies through the war, was dominated by rich men, linked together in factions and compacts by business and family connections. These links connected North and South, East and West. For instance, Richard Henry Lee of Virginia was connected with the Adamses of Massachusetts and the Shippens of Pennsylvania. Delegates from middle and southern colonies were connected with Robert Morris of Pennsylvania through commerce and land speculation. Morris was superintendent of finance, and his assistant was Gouverneur Morris.

Morris’s plan was to give more assurance to those who had loaned money to the Continental Congress, and gain the support of officers by voting half-pay for life for those who stuck to the end. This ignored the common soldier, who was not getting paid, who was suffering in the cold, dying of sickness, watching the civilian profiteers get rich. On New Year’s Day, 1781, the Pennsylvania troops near Morristown, New Jersey, perhaps emboldened by rum, dispersed their officers, killed one captain, wounded others, and were marching, fully armed, with cannon, toward the Continental Congress at Philadelphia.

George Washington handled it cautiously. Informed of these developments by General Anthony Wayne, he told Wayne not to use force. He was worried that the rebellion might spread to his own troops. He suggested Wayne get a list of the soldiers’ grievances, and said Congress should not flee Philadelphia, because then the way would be open for the soldiers to be joined by Philadelphia citizens. He sent Knox rushing to New England on his horse to get three months’ pay for the soldiers, while he prepared a thousand men to march on the mutineers, as a last resort. A peace was negotiated, in which one-half the men were discharged; the other half got furloughs.

Shortly after this, a smaller mutiny took place in the New Jersey Line, involving two hundred men who defied their officers and started out for the state capital at Trenton. Now Washington was ready. Six hundred men, who themselves had been well fed and clothed, marched on the mutineers and surrounded and disarmed them. Three ringleaders were put on trial immediately, in the field. One was pardoned, and two were shot by firing squads made up of their friends, who wept as they pulled the triggers. It was “an example,” Washington said.

Two years later, there was another mutiny in the Pennsylvania line. The war was over and the army had disbanded, but eighty soldiers, demanding their pay, invaded the Continental Congress headquarters in Philadelphia and forced the members to flee across the river to Princeton- “ignominiously turned out of doors,” as one historian sorrowfully wrote (John Fiske, The Critical Period), “by a handful of drunken mutineers.”

What soldiers in the Revolution could do only rarely, rebel against their authorities, civilians could do much more easily. Ronald Hoffman says: “The Revolution plunged the states of Delaware, Maryland, North Carolina, South Carolina, Georgia, and, to a much lesser degree, Virginia into divisive civil conflicts that persisted during the entire period of struggle.” The southern lower classes resisted being mobilized for the revolution. They saw themselves under the rule of a political elite, win or lose against the British.

In Maryland, for instance, by the new constitution of 1776, to run for governor one had to own 5,000 pounds of property; to run for state senator, 1,000 pounds. Thus, 90 percent of the population were excluded from holding office. And so, as Hoffman says, “small slave holders, non- slaveholding planters, tenants, renters and casual day laborers posed a serious problem of social control for the Whig elite.”

With black slaves 25 percent of the population (and in some counties 50 percent), fear of slave revolts grew. George Washington had turned down the requests of blacks, seeking freedom, to fight in the Revolutionary army. So when the British military commander in Virginia, Lord Dunmore, promised freedom to Virginia slaves who joined his forces, this created consternation. A report from one Maryland county worried about poor whites encouraging slave runaways:

The insolence of the Negroes in this county is come to such a height, that we are under a necessity of disarming them which we affected on Saturday last. We took about eighty guns, some bayonets, swords, etc. The malicious and imprudent speeches of some among the lower classes of whites have induced them to believe that their freedom depended on the success of the King’s troops. We cannot therefore be too vigilant nor too rigorous with those who promote and encourage this disposition in our slaves.

Even more unsettling was white rioting in Maryland against leading families, supporting the Revolution, who were suspected of hoarding needed commodities. The class hatred of some of these disloyal people was expressed by one man who said “it was better for the people to lay down their arms and pay the duties and taxes laid upon them by King and Parliament than to be brought into slavery and to be commanded and ordered about as they were.” A wealthy Maryland land- owner, Charles Carroll, took note of the surly mood all around him:

There is a mean low dirty envy which creeps thro all ranks and cannot suffer a man a superiority of fortune, of merit, or of understanding in fellow citizens-either of these are sure to entail a general ill will and dislike upon the owners.

Despite this, Maryland authorities retained control. They made concessions, taxing land and slaves more heavily, letting debtors pay in paper money. It was a sacrifice by the upper class to maintain power, and it worked.

In the lower South, however, in the Carolinas and Georgia, according to Hoffman, “vast regions were left without the slightest apparition of authority.” The general mood was to take no part in a war that seemed to have nothing for them. “Authoritative personages on both sides demanded that common people supply material, reduce consumption, leave their families, and even risk their lives. Forced to make hard decisions, many flailed out in frustration or evaded and defied first one side, then the other. .. .”

Washington’s military commander in the lower South, Nathanael Greene, dealt with disloyalty by a policy of concessions to some, brutality to others. In a letter to Thomas Jefferson he described a raid by his troops on Loyalists. “They made a dreadful carnage of them, upwards of one hundred were killed and most of the rest cut to pieces. It has had a very happy effect on those disaffected persons of which there were too many in this country.” Greene told one of his generals “to strike terror into our enemies and give spirit to our friends.” On the other hand, he advised the governor of Georgia “to open a door for the disaffected of your state to come in… .”

In general, throughout the states, concessions were kept to a minimum. The new constitutions that were drawn up in all states from 1776 to 1780 were not much different from the old ones. Although property qualifications for voting and holding office were lowered in some instances, in Massachusetts they were increased. Only Pennsylvania abolished them totally. The new bills of rights had modifying provisions. North Carolina, providing for religious freedom, added “that nothing herein contained shall be construed to exempt preachers of treasonable or seditious discourses, from legal trial and punishment.” Maryland, New York, Georgia, and Massachusetts took similar cautions.

The American Revolution is sometimes said to have brought about the separation of church and state. The northern states made such declarations, but after 1776 they adopted taxes that forced everyone to support Christian teachings. William G. McLoughlin, quoting Supreme Court Justice David Brewer in 1892 that “this is a Christian nation,” says of the separation of church and state in the Revolution that it “was neither conceived of nor carried out. .,. Far from being left to itself, religion was imbedded into every aspect and institution of American life.”

One would look, in examining the Revolution’s effect on class relations, at what happened to land confiscated from fleeing Loyalists. It was distributed in such a way as to give a double opportunity to the Revolutionary leaders: to enrich themselves and their friends, and to parcel out some land to small farmers to create a broad base of support for the new government. Indeed, this became characteristic of the new nation: finding itself possessed of enormous wealth, it could create the richest ruling class in history, and still have enough for the middle classes to act as a buffer between the rich and the dispossessed.

The huge landholdings of the Loyalists had been one of the great incentives to Revolution. Lord Fairfax in Virginia had more than 5 million acres encompassing twenty-one counties. Lord Baltimore’s income from his Maryland holdings exceeded 30,000 pounds a year. After the Revolution, Lord Fairfax was protected; he was a friend of George Washington. But other Loyalist holders of great estates, especially those who were absentees, had their land confiscated. In New York, the number of freeholding small farmers increased after the Revolution, and there were fewer tenant farmers, who had created so much trouble in the pre-Revolution years.

Although the numbers of independent farmers grew, according to Rowland Berthoff and John Murrin, “the class structure did not change radically.” The ruling group went through personnel changes as “the rising merchant families of Boston, New York or Philadelphia … slipped quite credibly into the social status-and sometimes the very houses of those who failed in business or suffered confiscation and exile for loyalty to the crown.”

Edmund Morgan sums up the class nature of the Revolution this way: “The fact that the lower ranks were involved in the contest should not obscure the fact that the contest itself was generally a struggle for office and power between members of an upper class: the new against the established.” Looking at the situation after the Revolution, Richard Morris comments: “Everywhere one finds inequality.” He finds “the people” of “We the people of the United States” (a phrase coined by the very rich Gouverneur Morris) did not mean Indians or blacks or women or white servants. In fact, there were more indentured servants than ever, and the Revolution “did nothing to end and little to ameliorate white bondage.”

Carl Degler says (Out of Our Past): “No new social class came to power through the door of the American revolution. The men who engineered the revolt were largely members of the colonial ruling class.” George Washington was the richest man in America. John Hancock was a prosperous Boston merchant. Benjamin Franklin was a wealthy printer. And so on.

On the other hand, town mechanics, laborers, and seamen, as well as small farmers, were swept into “the people” by the rhetoric of the Revolution, by the camaraderie of military service, by the distribution of some land. Thus was created a substantial body of support, a national consensus, something that, even with the exclusion of ignored and oppressed people, could be called “America.”

Staughton Lynd’s close study of Dutchess County, New York, in the Revolutionary period corroborates this. There were tenant risings in 1766 against the huge feudal estates in New York. The Rensselaerwyck holding was a million acres. Tenants, claiming some of this land for themselves, unable to get satisfaction in the courts, turned to violence. In Poughkeepsie, 1,700 armed tenants had closed the courts and broken open the jails. But the uprising was crushed.

During the Revolution, there was a struggle in Dutchess County over the disposition of confiscated Loyalist lands, but it was mainly between different elite groups. One of these, the Poughkeepsie anti-Federalists (opponents of the Constitution), included men on the make, newcomers in land and business. They made promises to the tenants to gain their support, exploiting their grievances to build their own political careers and maintain their own fortunes.

During the Revolution, to mobilize soldiers, the tenants were promised land. A prominent landowner of Dutchess County wrote in 1777 that a promise to make tenants freeholders “would instantly bring you at least six thousand able farmers into the field.” But the farmers who enlisted in the Revolution and expected to get something out of it found that, as privates in the army, they received $6.66 a month, while a colonel received $75 a month. They watched local government contractors like Melancton Smith and Mathew Paterson become rich, while the pay they received in continental currency became worthless with inflation.

All this led tenants to become a threatening force in the midst of the war. Many stopped paying rent. The legislature, worried, passed a bill to confiscate Loyalist land and add four hundred new freeholders to the 1,800 already in the county. This meant a strong new voting bloc for the faction of the rich that would become anti-Federalists in 1788. Once the new landholders were brought into the privileged circle of the Revolution and seemed politically under control, their leaders, Mclancton Smith and others, at first opposed to adoption of the Constitution, switched to support, and with New York ratifying, adoption was ensured. The new freeholders found that they had stopped being tenants, but were now mortgagees, paying back loans from banks instead of rent to landlords.

It seems that the rebellion against British rule allowed a certain group of the colonial elite to replace those loyal to England, give some benefits to small landholders, and leave poor white working people and tenant farmers in very much their old situation.

What did the Revolution mean to the Native Americans, the Indians? They had been ignored by the fine words of the Declaration, had not been considered equal, certainly not in choosing those who would govern the American territories in which they lived, nor in being able to pursue happiness as they had pursued it for centuries before the white Europeans arrived. Now, with the British out of the way, the Americans could begin the inexorable process of pushing the Indians off their lands, killing them if they resisted, in short, as Francis Jennings puts it, the white Americans were fighting against British imperial control in the East, and for their own imperialism in the West.

Before the Revolution, the Indians had been subdued by force in Virginia and in New England. Elsewhere, they had worked out modes of coexistence with the colonies. But around 1750, with the colonial population growing fast, the pressure to move westward onto new land set the stage for conflict with the Indians. Land agents from the East began appearing in the Ohio River valley, on the territory of a confederation of tribes called the Covenant Chain, for which the Iroquois were spokesmen. In New York, through intricate swindling, 800,000 acres of Mohawk land were taken, ending the period of Mohawk-New York friendship. Chief Hendrick of the Mohawks is recorded speaking his bitterness to Governor George Clinton and the provincial council of New York in 1753:

Brother when we came here lo relate our Grievances about our Lands, we expected to have something done for us, and we have told you that the Covenant Chain of our Forefathers was like to be broken, and brother you tell us that we shall be redressed at Albany, but we know them so well, we will not trust to them, for they [the Albany merchants] are no people but Devils so … as soon as we come home we will send up a Belt of Wampum to our Brothers the other 5 Nations to acquaint them the Covenant Chain is broken between you and us. So brother you are not to expect to hear of me any more, and Brother we desire to hear no more of you.

When the British fought the French for North America in the Seven Years’ War, the Indians fought on the side of the French. The French were traders but not occupiers of Indian lands, while the British clearly coveted their hunting grounds and living space. Someone reported the conversation of Shingas, chief of the Delaware Indians, with the British General Braddock, who sought his help against the French:

Shingas asked General Braddock, whether the Indians that were friends to the English might not be permitted to Live and Trade among the English and have Hunting Ground sufficient to Support themselves and Familys…. On which General Braddock said that No Savage Should Inherit the Land.. . . On which Shingas and the other Chiefs answered That if they might not have Liberty to Live on the Land they would not Fight for it….

When that war ended in 1763, the French, ignoring their old allies, ceded to the British lands west of the Appalachians. The Indians therefore united to make war on the British western forts; this is called “Pontiac’s Conspiracy” by the British, but “a liberation war for independence” in the words used by Francis Jennings. Under orders from British General Jeffrey Amherst, the commander of Fort Pitts gave the attacking Indian chiefs, with whom he was negotiating, blankets from the smallpox hospital. It was a pioneering effort at what is now called biological warfare. An epidemic soon spread among the Indians.

Despite this, and the burning of villages, the British could not destroy the will of the Indians, who continued guerrilla war. A peace was made, with the British agreeing to establish a line at the Appalachians, beyond which settlements would not encroach on Indian territory. This was the Royal Proclamation of 1763, and it angered Americans (the original Virginia charter said its land went westward to the ocean). It helps to explain why most of the Indians fought for England during the Revolution. With their French allies, then their English allies, gone, the Indians faced a new land-coveting nation-alone.

The Americans assumed now that the Indian land was theirs. But the expeditions they sent westward to establish this were overcome-which they recognized in the names they gave these battles: Harmar’s Humiliation and St. Glair’s Shame. And even when General Anthony Wayne defeated the Indians’ western confederation in 1798 at the Battle of Fallen Timbers, he had to recognize their power. In the Treaty of Grenville, it was agreed that in return for certain cessions of land the United States would give up claims to the Indian lands north of the Ohio, east of the Mississippi, and south of the Great Lakes, but that if the Indians decided to sell these lands they would offer them first to the United States.

Jennings, putting the Indian into the center of the American Revolution-after all, it was Indian land that everyone was fighting over-sees the Revolution as a “multiplicity of variously oppressed and exploited peoples who preyed upon each other.” With the eastern elite controlling the lands on the seaboard, the poor, seeking land, were forced to go West, there becoming a useful bulwark for the rich because, as Jennings says, “the first target of the Indian’s hatchet was the frontiersman’s skull.”

The situation of black slaves as a result of the American Revolution was more complex. Thousands of blacks fought with the British. Five thousand were with the Revolutionaries, most of them from the North, but there were also free blacks from Virginia and Maryland. The lower South was reluctant to arm blacks. Amid the urgency and chaos of war, thousands took their freedom-leaving on British ships at the end of the war to settle in England, Nova Scotia, the West Indies, or Africa. Many others stayed in America as free blacks, evading their masters.

In the northern states, the combination of blacks in the military, the lack of powerful economic need for slaves, and the rhetoric of Revolution led to the end of slavery-but very slowly. As late as 1810, thirty thousand blacks, one-fourth of the black population of the North, remained slaves. In 1840 there were still a thousand slaves in the North. In the upper South, there were more free Negroes than before, leading to more control legislation. In the lower South, slavery expanded with the growth of rice and cotton plantations.

What the Revolution did was to create space and opportunity for blacks to begin making demands of white society. Sometimes these demands came from the new, small black elites in Baltimore, Philadelphia, Richmond, Savannah, sometimes from articulate and bold slaves. Pointing to the Declaration of Independence, blacks petitioned Congress and the state legislatures to abolish slavery, to give blacks equal rights. In Boston, blacks asked for city money, which whites were getting, to educate their children. In Norfolk, they asked to he allowed to testify in court. Nashville blacks asserted that free Negroes “ought to have the same opportunities of doing well that any Person … would have.” Peter Mathews, a free Negro butcher in Charleston, joined other free black artisans and tradesmen in petitioning the legislature to repeal discriminatory laws against blacks, hi 1780, seven blacks in Dartmouth, Massachusetts, petitioned the legislature for the right to vote, linking taxation to representation:

… we apprehend ourselves to be Aggreeved, in that while we are not allowed the Privilege of freemen of the State having no vote or Influence in the Election of those that Tax us yet many of our Colour (as is well known) have cheerfully Entered the field of Battle in the defense of the Common Cause and that (as we conceive) against a similar Exertion of Power (in Regard to taxation) too well known to need a recital in this place.. ..

A black man, Benjamin Banneker, who taught himself mathematics and astronomy, predicted accurately a solar eclipse, and was appointed to plan the new city of Washington, wrote to Thomas Jefferson:

I suppose it is a truth too well attested to you, to need a proof here, that we are a race of beings, who have long labored under the abuse and censure of the world; that we have long been looked upon with an eye of contempt; and that we have long been considered rather as brutish than human, and scarcely capable of mental endowments. … I apprehend you will embrace every opportunity to eradicate that train of absurd and false ideas and opinions, which so generally prevails with respect to us; and that your sentiments are concurrent with mine, which are, that one universal Father hath given being to us all; and that he hath not only made us all of one flesh, but that he hath also, without partiality, afforded us all the same sensations and endowed us all with the same facilities. ..

Banneker asked Jefferson “to wean yourselves from those narrow prejudices which you have imbibed.”

Jefferson tried his best, as an enlightened, thoughtful individual might. But the structure of American society, the power of the cotton plantation, the slave trade, the politics of unity between northern and southern elites, and the long culture of race prejudice in the colonies, as well as his own weaknesses-that combination of practical need and ideological fixation-kept Jefferson a slaveowner throughout his life.

The inferior position of blacks, the exclusion of Indians from the new society, the establishment of supremacy for the rich and powerful in the new nation-all this was already settled in the colonies by the time of the Revolution. With the English out of the way, it could now be put on paper, solidified, regularized, made legitimate, by the Constitution of the United States, drafted at a convention of Revolutionary leaders in Philadelphia.

To many Americans over the years, the Constitution drawn up in 1787 has seemed a work of genius put together by wise, humane men who created a legal framework for democracy and equality. This view is stated, a bit extravagantly, by the historian George Bancroft, writing in the early nineteenth century:

The Constitution establishes nothing that interferes with equality and individuality. It knows nothing of differences by descent, or opinions, of favored classes, or legalized religion, or the political power of property. It leaves the individual alongside of the individual. … As the sea is made up of drops, American society is composed of separate, free, and constantly moving atoms, ever in reciprocal action … so that the institutions and laws of the country rise out of the masses of individual thought which, like the waters of the ocean, are rolling evermore.

Another view of the Constitution was put forward early in the twentieth century by the historian Charles Beard (arousing anger and indignation, including a denunciatory editorial in the New York Times). He wrote in his book An Economic Interpretation of the Constitution:

Inasmuch as the primary object of a government, beyond the mere repression of physical violence, is the making of the rules which determine the property relations of members of society, the dominant classes whose rights are thus to be determined must perforce obtain from the government such rules as are consonant with the larger interests necessary to the continuance of their economic processes, or they must themselves control the organs of government.

In short, Beard said, the rich must, in their own interest, either control the government directly or control the laws by which government operates.

Beard applied this general idea to the Constitution, by studying the economic backgrounds and political ideas of the fifty-five men who gathered in Philadelphia in 1787 to draw up the Constitution. He found that a majority of them were lawyers by profession, that most of them were men of wealth, in land, slaves, manufacturing, or shipping, that half of them had money loaned out at interest, and that forty of the fifty-five held government bonds, according to the records of the Treasury Department.

Thus, Beard found that most of the makers of the Constitution had some direct economic interest in establishing a strong federal government: the manufacturers needed protective tariffs; the moneylenders wanted to stop the use of paper money to pay off debts; the land speculators wanted protection as they invaded Indian lands; slaveowners needed federal security against slave revolts and runaways; bondholders wanted a government able to raise money by nationwide taxation, to pay off those bonds.

Four groups, Beard noted, were not represented in the Constitutional Convention: slaves, indentured servants, women, men without property. And so the Constitution did not reflect the interests of those groups.

He wanted to make it clear that he did not think the Constitution was written merely to benefit the Founding Fathers personally, although one could not ignore the $150,000 fortune of Benjamin Franklin, the connections of Alexander Hamilton to wealthy interests through his father-in-law and brother-in-law, the great slave plantations of James Madison, the enormous landholdings of George Washington. Rather, it was to benefit the groups the Founders represented, the “economic interests they understood and felt in concrete, definite form through their own personal experience.”

Not everyone at the Philadelphia Convention fitted Beard’s scheme. Elbridge Gerry of Massachusetts was a holder of landed property, and yet he opposed the ratification of the Constitution. Similarly, Luther Martin of Maryland, whose ancestors had obtained large tracts of land in New Jersey, opposed ratification. But, with a few exceptions, Beard found a strong connection between wealth and support of the Constitution.

By 1787 there was not only a positive need for strong central government to protect the large economic interests, but also immediate fear of rebellion by discontented farmers. The chief event causing this fear was an uprising in the summer of 1786 in western Massachusetts, known as Shays’ Rebellion.

In the western towns of Massachusetts there was resentment against the legislature in Boston. The new Constitution of 1780 had raised the property qualifications for voting. No one could hold state office without being quite wealthy. Furthermore, the legislature was refusing to issue paper money, as had been done in some other states, like Rhode Island, to make it easier for debt-ridden farmers to pay off their creditors.

Illegal conventions began to assemble in some of the western counties to organize opposition to the legislature. At one of these, a man named Plough Jogger spoke his mind:

I have been greatly abused, have been obliged to do more than my part in the war; been loaded with class rates, town rates, province rates, Continental rates and all rates … been pulled and hauled by sheriffs, constables and collectors, and had my cattle sold for less than they were worth…. . . . The great men are going to get all we have and I think it is time for us to rise and put a stop to it, and have no more courts, nor sheriffs, nor collectors nor lawyers.. . .

The chairman of that meeting used his gavel to cut short the applause. He and others wanted to redress their grievances, but peacefully, by petition to the General Court (the legislature) in Boston,

However, before the scheduled meeting of the General Court, there were going to the court proceedings in Hampshire County, in the towns of Northampton and Springfield, to seize the cattle of farmers who hadn’t paid their debts, to take away their land, now full of grain and ready for harvest. And so, veterans of the Continental army, also aggrieved because they had been treated poorly on discharge-given certificates for future redemption instead of immediate cash-began to organize the farmers into squads and companies. One of these veterans was Luke Day, who arrived the morning of court with a fife-and-drum corps, still angry with the memory of being locked up in debtors’ prison in the heat of the previous summer.

The sheriff looked to the local militia to defend the court against these armed farmers. But most of the militia was with Luke Day. The sheriff did manage to gather five hundred men, and the judges put on their black silk robes, waiting for the sheriff to protect their trip to the courthouse. But there at the courthouse steps, Luke Day stood with a petition, asserting the people’s constitutional right to protest the unconstitutional acts of the General Court, asking the judges to adjourn until the General Court could act on behalf of the farmers. Standing with Luke Day were fifteen hundred armed farmers. The judges adjourned.

Shortly after, at courthouses in Worcester and Athol, farmers with guns prevented the courts from meeting to take away their property, and the militia were too sympathetic to the farmers, or too outnumbered, to act. In Concord, a fifty-year-old veteran of two wars, Job Shattuck, led a caravan of carts, wagons, horses, and oxen onto the town green, while a message was sent to the judges:

The voice of the People of this county is such that the court shall not enter this courthouse until such time as the People shall have redress of the grievances they labor under at the present.

A county convention then suggested the judges adjourn, which they did.

At Great Barrington, a militia of a thousand faced a square crowded with armed men and boys. But the militia was split in its opinion. When the chief justice suggested the militia divide, those in favor of the court’s sitting to go on the right side of the road, and those against on the left, two hundred of the militia went to the right, eight hundred to the left, and the judges adjourned. Then the crowd went to the home of the chief justice, who agreed to sign a pledge that the court would not sit until the Massachusetts General Court met. The crowd went back to the square, broke open the county jail, and set free the debtors. The chief justice, a country doctor, said: “I have never heard anybody point out a better way to have their grievances redressed than the people have taken.”

The governor and the political leaders of Massachusetts became alarmed. Samuel Adams, once looked on as a radical leader in Boston, now insisted people act within the law. He said “British emissaries” were stirring up the farmers. People in the town of Greenwich responded: You in Boston have the money, and we don’t. And didn’t you act illegally yourselves in the Revolution? The insurgents were now being called Regulators. Their emblem was a sprig of hemlock.

The problem went beyond Massachusetts. In Rhode Island, the debtors had taken over the legislature and were issuing paper money. In New Hampshire, several hundred men, in September of 1786, surrounded the legislature in Exeter, asking that taxes be returned and paper money issued; they dispersed only when military action was threatened.

Daniel Shays entered the scene in western Massachusetts. A poor farm hand when the revolution broke out, he joined the Continental army, fought at Lexington, Bunker Hill, and Saratoga, and was wounded in action. In 1780, not being paid, he resigned from the army, went home, and soon found himself in court for nonpayment of debts. He also saw what was happening to others: a sick woman, unable to pay, had her bed taken from under her.

What brought Shays fully into the situation was that on September 19, the Supreme Judicial Court of Massachusetts met in Worcester and indicted eleven leaders of the rebellion, including three of his friends, as “disorderly, riotous and seditious persons” who “unlawfully and by force of arms” prevented “the execution of justice and the laws of the commonwealth.” The Supreme Judicial Court planned to meet again in Springfield a week later, and there was talk of Luke Day’s being indicted.

Shays organized seven hundred armed farmers, most of them veterans of the war, and led them to Springfield. There they found a general with nine hundred soldiers and a cannon. Shays asked the general for permission to parade, which the general granted, so Shays and his men moved through the square, drums hanging and fifes blowing. As they marched, their ranks grew. Some of the militia joined, and reinforcements began coming in from the countryside. The judges postponed hearings for a day, then adjourned the court.

Now the General Court, meeting in Boston, was told by Governor James Bowdoin to “vindicate the insulted dignity of government.” The recent rebels against England, secure in office, were calling for law and order. Sam Adams helped draw up a Riot Act, and a resolution suspending habeas corpus, to allow the authorities to keep people in jail without trial. At the same time, the legislature moved to make some concessions to the angry farmers, saying certain old taxes could now be paid in goods instead of money.

This didn’t help. In Worcester, 160 insurgents appeared at the courthouse. The sheriff read the Riot Act. The insurgents said they would disperse only if the judges did. The sheriff shouted something about hanging. Someone came up behind him and put a sprig of hemlock in his hat. The judges left.

Confrontations between farmers and militia now multiplied. The winter snows began to interfere with the trips of farmers to the courthouses. When Shays began marching a thousand men into Boston, a blizzard forced them back, and one of his men froze to death.

An army came into the field, led by General Benjamin Lincoln, on money raised by Boston merchants. In an artillery duel, three rebels were killed. One soldier stepped in front of his own artillery piece and lost both arms. The winter grew worse. The rebels were outnumbered and on the run. Shays took refuge in Vermont, and his followers began to surrender. There were a few more deaths in battle, and then sporadic, disorganized, desperate acts of violence against authority: the burning of barns, the slaughter of a general’s horses. One government soldier was killed in an eerie night-time collision of two sleighs.

Captured rebels were put on trial in Northampton and six were sentenced to death. A note was left at the door of the high sheriff of Pittsfidd:

I understand that there is a number of my countrymen condemned to the because they fought for justice. I pray have a care that you assist not in the execution of so horrid a crime, for by all that is above, he that condemns and he that executes shall share alike. . . – Prepare for death with speed, for your life or mine is short. When the woods are covered with leaves, I shall return and pay you a short visit.

Thirty-three more rebels were put on trial and six more condemned to death. Arguments took place over whether the hangings should go forward. General Lincoln urged mercy and a Commission of Clemency, but Samuel Adams said: “In monarchy the crime of treason may admit of being pardoned or lightly punished, but the man who dares rebel against the laws of a republic ought to suffer death.” Several hangings followed; some of the condemned were pardoned. Shays, in Vermont, was pardoned in 1788 and returned to Massachusetts, where he died, poor and obscure, in 1825.

It was Thomas Jefferson, in France as ambassador at the time of Shays’ Rebellion, who spoke of such uprisings as healthy for society. In a letter to a friend he wrote: “I hold it that a little rebellion now and then is a good thing…. It is a medicine necessary for the sound health of government…. God forbid that we should ever be twenty years without such a rebellion.. . . The tree of liberty must be refreshed from time to time with the blood of patriots and tyrants. It is its natural manure.”

But Jefferson was far from the scene. The political and economic elite of the country were not so tolerant. They worried that the example might spread. A veteran of Washington’s army, General Henry Knox, founded an organization of army veterans, “The Order of the Cincinnati,” presumably (as one historian put it) “for the purpose of cherishing the heroic memories of the struggle in which they had taken part,” but also, it seemed, to watch out for radicalism in the new country. Knox wrote to Washington in late 1786 about Shays’ Rebellion, and in doing so expressed the thoughts of many of the wealthy and powerful leaders of the country:

The people who are the insurgents have never paid any, or but very little taxes. But they see the weakness of government; they feel at once their own poverty, compared with the opulent, and their own force, and they are determined to make use of the latter, in order to remedy the former. Their creed is “That the property of the United States has been protected from the confiscations of Britain by the joint exertions of all, and therefore ought to he the common properly of all. And he that attempts opposition to this creed is an enemy to equity and justice and ought to be swept from off the face of the earth.”

Alexander Hamilton, aide to Washington during the war, was one of the most forceful and astute leaders of the new aristocracy. He voiced his political philosophy:

All communities divide themselves into the few and the many. The first arc the rich and well-horn, the other the mass of the people. The voice of the people has been said to be the voice of God; and however generally this maxim has been quoted and believed, it is not true in fact. The people are turbulent and changing; they seldom judge or determine right. Give therefore to the first class a distinct permanent share in the government. .. . Can a democratic assembly who annually revolve in the mass of the people be supposed steadily to pursue the public good? Nothing but a permanent body can check the imprudence of democracy.. ..

At the Constitutional Convention, Hamilton suggested a President and Senate chosen for life.

The Convention did not take his suggestion. But neither did it provide for popular elections, except in the case of the House of Representatives, where the qualifications were set by the state legislatures (which required property-holding for voting in almost all the states), and excluded women, Indians, slaves. The Constitution provided for Senators to be elected by the state legislators, for the President to be elected by electors chosen by the state legislators, and for the Supreme Court to be appointed by the President.

The problem of democracy in the post-Revolutionary society was not, however, the Constitutional limitations on voting. It lay deeper, beyond the Constitution, in the division of society into rich and poor. For if some people had great wealth and great influence; if they had the land, the money, the newspapers, the church, the educational system- how could voting, however broad, cut into such power? There was still another problem: wasn’t it the nature of representative government, even when most broadly based, to be conservative, to prevent tumultuous change?

It came time to ratify the Constitution, to submit to a vote in state conventions, with approval of nine of the thirteen required to ratify it. In New York, where debate over ratification was intense, a series of newspaper articles appeared, anonymously, and they tell us much about the nature of the Constitution. These articles, favoring adoption of the Constitution, were written by James Madison, Alexander Hamilton, and John Jay, and came to be known as the Federalist Papers (opponents of the Constitution became known as anti-Federalists).

In Federalist Paper #10, James Madison argued that representative government was needed to maintain peace in a society ridden by factional disputes. These disputes came from “the various and unequal distribution of property. Those who hold and those who are without property have ever formed distinct interests in society.” The problem, he said, was how to control the factional struggles that came from inequalities in wealth. Minority factions could be controlled, he said, by the principle that decisions would be by vote of the majority.

So the real problem, according to Madison, was a majority faction, and here the solution was offered by the Constitution, to have “an extensive republic,” that is, a large nation ranging over thirteen states, for then “it will be more difficult for all who feel it to discover their own strength, and to act in unison with each other…. The influence of factious leaders may kindle a flame within their particular States, but will be unable to spread a general conflagration through the other States.”

Madison’s argument can be seen as a sensible argument for having a government which can maintain peace and avoid continuous disorder. But is it the aim of government simply to maintain order, as a referee, between two equally matched fighters? Or is it that government has some special interest in maintaining a certain kind of order, a certain distribution of power and wealth, a distribution in which government officials are not neutral referees but participants? In that case, the disorder they might worry about is the disorder of popular rebellion against those monopolizing the society’s wealth. This interpretation makes sense when one looks at the economic interests, the social backgrounds, of the makers of the Constitution.

As part of his argument for a large republic to keep the peace, James Madison tells quite clearly, in Federalist #10, whose peace he wants to keep: “A rage for paper money, for an abolition of debts, for an equal division of property, or for any other improper or wicked project, will be less apt to pervade the whole body of the Union than a particular member of it.”

When economic interest is seen behind the political clauses of the Constitution, then the document becomes not simply the work of wise men trying to establish a decent and orderly society, but the work of certain groups trying to maintain their privileges, while giving just enough rights and liberties to enough of the people to ensure popular support.

In the new government, Madison would belong to one party (the Democrat-Republicans) along with Jefferson and Monroe. Hamilton would belong to the rival party (the Federalists) along with Washington and Adams. But both agreed-one a slaveholder from Virginia, the other a merchant from New York-on the aims of this new government they were establishing. They were anticipating the long-fundamental agreement of the two political parties in the American system. Hamilton wrote elsewhere in the Federalist Papers that the new Union would be able “to repress domestic faction and insurrection.” He referred directly to Shays’ Rebellion: “The tempestuous situation from which Massachusetts has scarcely emerged evinces that dangers of this kind are not merely speculative.”

It was either Madison or Hamilton (the authorship of the individual papers is not always known) who in Federalist Paper #63 argued the necessity of a “well-constructed Senate” as “sometimes necessary as a defense to the people against their own temporary errors and delusions” because “there are particular moments in public affairs when the people, stimulated by some irregular passion, or some illicit advantage, or misted by the artful misrepresentations of interested men, may call for measures which they themselves will afterwards be the most ready to lament and condemn.” And: “In these critical moments, how salutary will be the interference of some temperate and respectable body of citizens in order to check the misguided career, and to suspend the blow meditated by the people against themselves, until reason, justice, and truth can regain their authority over the public mind?”

The Constitution was a compromise between slaveholding interests of the South and moneyed interests of the North. For the purpose of uniting the thirteen states into one great market for commerce, the northern delegates wanted laws regulating interstate commerce, and urged that such laws require only a majority of Congress to pass. The South agreed to this, in return for allowing the trade in slaves to continue for twenty years before being outlawed.

Charles Beard warned us that governments-including the government of the United States-are not neutral, that they represent the dominant economic interests, and that their constitutions are intended to serve these interests. One of his critics (Robert E. Brown, Charles Beard and the Constitution) raises an interesting point. Granted that the Constitution omitted the phrase “life, liberty and the pursuit of happiness,” which appeared in the Declaration of Independence, and substituted “life, liberty, or property”-well, why shouldn’t the Constitution protect property? As Brown says about Revolutionary America, “practically everybody was interested in the protection of property” because so many Americans owned property.

However, this is misleading. True, there were many property owners. But some people had much more than others. A few people had great amounts of property; many people had small amounts; others had none. Jackson Main found that one-third of the population in the Revolutionary period were small farmers, while only 3 percent of the population had truly large holdings and could he considered wealthy.

Still, one-third was a considerable number of people who felt they had something at stake in the stability of a new government. This was a larger base of support for government than anywhere in the world at the end of the eighteenth century. In addition, the city mechanics had an important interest in a government which would protect their work from foreign competition. As Staughton Lynd puts it: “How is it that the city workingmen all over America overwhelmingly and enthusiastically supported the United States Constitution?”

This was especially true in New York. When the ninth and tenth states had ratified the Constitution, four thousand New York City mechanics marched with floats and banners to celebrate. Bakers, blacksmiths, brewers, ship joiners and shipwrights, coopers, cartmen and tailors, all marched. What Lynd found was that these mechanics, while opposing elite rule in the colonies, were nationalist. Mechanics comprised perhaps half the New York population. Some were wealthy, some were poor, but all were better off than the ordinary laborer, the apprentice, the journeyman, and their prosperity required a government that would protect them against the British hats and shoes and other goods that were pouring into the colonies after the Revolution. As a result, the mechanics often supported wealthy conservatives at the ballot box.

The Constitution, then, illustrates the complexity of the American system: that it serves the interests of a wealthy elite, but also does enough for small property owners, for middle-income mechanics and farmers, to build a broad base of support. The slightly prosperous people who make up this base of support are buffers against the blacks, the Indians, the very poor whites. They enable the elite to keep control with a minimum of coercion, a maximum of law-all made palatable by the fanfare of patriotism and unity.

The Constitution became even more acceptable to the public at large after the first Congress, responding to criticism, passed a series of amendments known as the Bill of Rights. These amendments seemed to make the new government a guardian of people’s liberties: to speak, to publish, to worship, to petition, to assemble, to be tried fairly, to be secure at home against official intrusion. It was, therefore, perfectly designed to build popular backing for the new government. What was not made clear-it was a time when the language of freedom was new and its reality untested-was the shakiness of anyone’s liberty when entrusted to a government of the rich and powerful.

Indeed, the same problem existed for the other provisions of the Constitution, like the clause forbidding states to “impair the obligation of contract,” or that giving Congress the power to tax the people and to appropriate money. They all sound benign and neutral until one asks: tax who, for what? Appropriate what, for whom? To protect everyone’s contracts seems like an act of fairness, of equal treatment, until one considers that contracts made between rich and poor, between employer and employee, landlord and tenant, creditor and debtor, generally favor the more powerful of the two parties. Thus, to protect these contracts is to put the great power of the government, its laws, courts, sheriffs, police, on the side of the privileged-and to do it not, as in premodern times, as an exercise of brute force against the weak but as a matter of law.

The First Amendment of the Bill of Rights shows that quality of interest hiding behind innocence. Passed in 1791 by Congress, it provided that “Congress shall make no law . . . abridging the freedom of speech, or of the press. . . .” Yet, seven years after the First Amendment became part of the Constitution, Congress passed a law very clearly abridging the freedom of speech.

This was the Sedition Act of 1798, passed under John Adams’s administration, at a time when Irishmen and Frenchmen in the United States were looked on as dangerous revolutionaries because of the recent French Revolution and the Irish rebellions. The Sedition Act made it a crime to say or write anything “false, scandalous and malicious” against the government, Congress, or the President, with intent to defame them, bring them into disrepute, or excite popular hatreds against them.

This act seemed to directly violate the First Amendment. Yet, it was enforced. Ten Americans were put in prison for utterances against the government, and every member of the Supreme Court in 1798-1800, sitting as an appellate judge, held it constitutional.

There was a legal basis for this, one known to legal experts, but not to the ordinary American, who would read the First Amendment and feel confident that he or she was protected in the exercise of free speech. That basis has been explained by historian Leonard Levy. Levy points out that it was generally understood (not in the population, but in higher circles) that, despite the First Amendment, the British common law of “seditious libel” still ruled in America. This meant that while the government could not exercise “prior restraint”-that is, prevent an utterance or publication in advance-it could legally punish the speaker or writer afterward. Thus, Congress has a convenient legal basis for the laws it has enacted since that time, making certain kinds of speech a crime. And, since punishment after the fact is an excellent deterrent to the exercise of free expression, the claim of “no prior restraint” itself is destroyed. This leaves the First Amendment much less than the stone wall of protection it seems at first glance.

Are the economic provisions in the Constitution enforced just as weakly? We have an instructive example almost immediately in Washington’s first administration, when Congress’s power to tax and appropriate money was immediately put to use by the Secretary of the Treasury, Alexander Hamilton.

Hamilton, believing that government must ally itself with the richest elements of society to make itself strong, proposed to Congress a series of laws, which it enacted, expressing this philosophy. A Bank of the United States was set up as a partnership between the government and certain banking interests. A tariff was passed to help the manufacturers. It was agreed to pay bondholders-most of the war bonds were now concentrated in a small group of wealthy people-the full value of their bonds. Tax laws were passed to raise money for this bond redemption.

One of these tax laws was the Whiskey tax, which especially hurt small farmers who raised grain that they converted into whiskey and then sold. In 1794 the farmers of western Pennsylvania took up arms and rebelled against the collection of this tax. Secretary of the Treasury Hamilton led the troops to put them down. We see then, in the first years of the Constitution, that some of its provisions-even those paraded most flamboyantly (like the First Amendment)-might be treated lightly. Others (like the power to tax) would be powerfully enforced.

Still, the mythology around the Founding Fathers persists. To say, as one historian (Bernard Bailyn) has done recently, that “the destruction of privilege and the creation of a political system that demanded of its leaders the responsible and humane use of power were their highest aspirations” is to ignore what really happened in the America of these Founding Fathers.

Bailyn says:

Everyone knew the basic prescription for a wise and just government. It was so to balance the contending powers in society that no one power could overwhelm the others and, unchecked, destroy the liberties that belonged to all. The problem was how to arrange the institutions of government so that this balance could be achieved.

Were the Founding Fathers wise and just men trying to achieve a good balance? In fact, they did not want a balance, except one which kept things as they were, a balance among the dominant forces at that time. They certainly did not want an equal balance between slaves and masters, propertyless and property holders, Indians and white.

As many as half the people were not even considered by the Founding Fathers as among Bailyn’s “contending powers” in society. They were not mentioned in the Declaration of Independence, they were absent in the Constitution, they were invisible in the new political democracy. They were the women of early America.

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