property

The Myth of the Tragedy of the Commons

By Ian Angus


Republished from Climate & Capitalism.


Will shared resources always be misused and overused? Is community ownership of land, forests and fisheries a guaranteed road to ecological disaster? Is privatization the only way to protect the environment and end Third World poverty? Most economists and development planners will answer “yes” — and for proof they will point to the most influential article ever written on those important questions.

Since its publication in Science in December 1968, “The Tragedy of the Commons” has been anthologized in at least 111 books, making it one of the most-reprinted articles ever to appear in any scientific journal. It is also one of the most-quoted: a recent Google search found “about 302,000” results for the phrase “tragedy of the commons.”

For 40 years it has been, in the words of a World Bank Discussion Paper, “the dominant paradigm within which social scientists assess natural resource issues.” (Bromley and Cernea 1989: 6) It has been used time and again to justify stealing indigenous peoples’ lands, privatizing health care and other social services, giving corporations ‘tradable permits’ to pollute the air and water, and much more.

Noted anthropologist Dr. G.N. Appell (1995) writes that the article “has been embraced as a sacred text by scholars and professionals in the practice of designing futures for others and imposing their own economic and environmental rationality on other social systems of which they have incomplete understanding and knowledge.”

Like most sacred texts, “The Tragedy of the Commons” is more often cited than read. As we will see, although its title sounds authoritative and scientific, it fell far short of science.


Garrett Hardin hatches a myth

The author of “The Tragedy of the Commons” was Garrett Hardin, a University of California professor who until then was best-known as the author of a biology textbook that argued for “control of breeding” of “genetically defective” people. (Hardin 1966: 707) In his 1968 essay he argued that communities that share resources inevitably pave the way for their own destruction; instead of wealth for all, there is wealth for none.

He based his argument on a story about the commons in rural England.

(The term “commons” was used in England to refer to the shared pastures, fields, forests, irrigation systems and other resources that were found in many rural areas until well into the 1800s. Similar communal farming arrangements existed in most of Europe, and they still exist today in various forms around the world, particularly in indigenous communities.)

“Picture a pasture open to all,” Hardin wrote. A herdsmen who wants to expand his personal herd will calculate that the cost of additional grazing (reduced food for all animals, rapid soil depletion) will be divided among all, but he alone will get the benefit of having more cattle to sell.

Inevitably, “the rational herdsman concludes that the only sensible course for him to pursue is to add another animal to his herd.” But every “rational herdsman” will do the same thing, so the commons is soon overstocked and overgrazed to the point where it supports no animals at all.

Hardin used the word “tragedy” as Aristotle did, to refer to a dramatic outcome that is the inevitable but unplanned result of a character’s actions. He called the destruction of the commons through overuse a tragedy not because it is sad, but because it is the inevitable result of shared use of the pasture. “Freedom in a commons brings ruin to all.”


Where’s the evidence?

Given the subsequent influence of Hardin’s essay, it’s shocking to realize that he provided no evidence at all to support his sweeping conclusions. He claimed that the “tragedy” was inevitable — but he didn’t show that it had happened even once.

Hardin simply ignored what actually happens in a real commons: self-regulation by the communities involved. One such process was described years earlier in Friedrich Engels’ account of the “mark,” the form taken by commons-based communities in parts of pre-capitalist Germany:

“[T]he use of arable and meadowlands was under the supervision and direction of the community …

“Just as the share of each member in so much of the mark as was distributed was of equal size, so was his share also in the use of the ‘common mark.’ The nature of this use was determined by the members of the community as a whole. …

“At fixed times and, if necessary, more frequently, they met in the open air to discuss the affairs of the mark and to sit in judgment upon breaches of regulations and disputes concerning the mark.” (Engels 1892)

Historians and other scholars have broadly confirmed Engels’ description of communal management of shared resources. A summary of recent research concludes:

“[W]hat existed in fact was not a ‘tragedy of the commons’ but rather a triumph: that for hundreds of years — and perhaps thousands, although written records do not exist to prove the longer era — land was managed successfully by communities.” (Cox 1985: 60)

Part of that self-regulation process was known in England as “stinting” — establishing limits for the number of cows, pigs, sheep and other livestock that each commoner could graze on the common pasture. Such “stints” protected the land from overuse (a concept that experienced farmers understood long before Hardin arrived) and allowed the community to allocate resources according to its own concepts of fairness.

The only significant cases of overstocking found by the leading modern expert on the English commons involved wealthy landowners who deliberately put too many animals onto the pasture in order to weaken their much poorer neighbours’ position in disputes over the enclosure (privatization) of common lands. (Neeson 1993: 156)

Hardin assumed that peasant farmers are unable to change their behaviour in the face of certain disaster. But in the real world, small farmers, fishers and others have created their own institutions and rules for preserving resources and ensuring that the commons community survived through good years and bad.


Why does the herder want more?

Hardin’s argument started with the unproven assertion that herdsmen always want to expand their herds: “It is to be expected that each herdsman will try to keep as many cattle as possible on the commons. … As a rational being, each herdsman seeks to maximize his gain.”

In short, Hardin’s conclusion was predetermined by his assumptions. “It is to be expected” that each herdsman will try to maximize the size of his herd — and each one does exactly that. It’s a circular argument that proves nothing.

Hardin assumed that human nature is selfish and unchanging, and that society is just an assemblage of self-interested individuals who don’t care about the impact of their actions on the community. The same idea, explicitly or implicitly, is a fundamental component of mainstream (i.e., pro-capitalist) economic theory.

All the evidence (not to mention common sense) shows that this is absurd: people are social beings, and society is much more than the arithmetic sum of its members. Even capitalist society, which rewards the most anti-social behaviour, has not crushed human cooperation and solidarity. The very fact that for centuries “rational herdsmen” did not overgraze the commons disproves Hardin’s most fundamental assumptions — but that hasn’t stopped him or his disciples from erecting policy castles on foundations of sand.

Even if the herdsman wanted to behave as Hardin described, he couldn’t do so unless certain conditions existed.

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There would have to be a market for the cattle, and he would have to be focused on producing for that market, not for local consumption. He would have to have enough capital to buy the additional cattle and the fodder they would need in winter. He would have to be able to hire workers to care for the larger herd, build bigger barns, etc. And his desire for profit would have to outweigh his interest in the long-term survival of his community.

In short, Hardin didn’t describe the behaviour of herdsmen in pre-capitalist farming communities — he described the behaviour of capitalists operating in a capitalist economy. The universal human nature that he claimed would always destroy common resources is actually the profit-driven “grow or die” behaviour of corporations.


Will private ownership do better?

That leads us to another fatal flaw in Hardin’s argument: in addition to providing no evidence that maintaining the commons will inevitably destroy the environment, he offered no justification for his opinion that privatization would save it. Once again he simply presented his own prejudices as fact:

“We must admit that our legal system of private property plus inheritance is unjust — but we put up with it because we are not convinced, at the moment, that anyone has invented a better system. The alternative of the commons is too horrifying to contemplate. Injustice is preferable to total ruin.”

The implication is that private owners will do a better job of caring for the environment because they want to preserve the value of their assets. In reality, scholars and activists have documented scores of cases in which the division and privatization of communally managed lands had disastrous results. Privatizing the commons has repeatedly led to deforestation, soil erosion and depletion, overuse of fertilizers and pesticides, and the ruin of ecosystems.

As Karl Marx wrote, nature requires long cycles of birth, development and regeneration, but capitalism requires short-term returns.

“[T]he entire spirit of capitalist production, which is oriented towards the most immediate monetary profits, stands in contradiction to agriculture, which has to concern itself with the whole gamut of permanent conditions of life required by the chain of human generations. A striking illustration of this is furnished by the forests, which are only rarely managed in a way more or less corresponding to the interests of society as a whole…” (Marx 1998: 611n)

Contrary to Hardin’s claims, a community that shares fields and forests has a strong incentive to protect them to the best of its ability, even if that means not maximizing current production, because those resources will be essential to the community’s survival for centuries to come. Capitalist owners have the opposite incentive, because they will not survive in business if they don’t maximize short-term profit. If ethanol promises bigger and faster profits than centuries-old rain forests, the trees will fall.

This focus on short-term gain has reached a point of appalling absurdity in recent best-selling books by Bjorn Lomborg, William Nordhaus and others, who argue that it is irrational to spend money to stop greenhouse gas emissions today, because the payoff is too far in the future. Other investments, they say, will produce much better returns, more quickly.

Community management isn’t an infallible way of protecting shared resources: some communities have mismanaged common resources, and some commons may have been overused to extinction. But no commons-based community has capitalism’s built-in drive to put current profits ahead of the well-being of future generations.


A politically useful myth

The truly appalling thing about “The Tragedy of the Commons” is not its lack of evidence or logic — badly researched and argued articles are not unknown in academic journals. What’s shocking is the fact that this piece of reactionary nonsense has been hailed as a brilliant analysis of the causes of human suffering and environmental destruction, and adopted as a basis for social policy by supposed experts ranging from economists and environmentalists to governments and United Nations agencies.

Despite being refuted again and again, it is still used today to support private ownership and uncontrolled markets as sure-fire roads to economic growth.

The success of Hardin’s argument reflects its usefulness as a pseudo-scientific explanation of global poverty and inequality, an explanation that doesn’t question the dominant social and political order. It confirms the prejudices of those in power: logical and factual errors are nothing compared to the very attractive (to the rich) claim that the poor are responsible for their own poverty. The fact that Hardin’s argument also blames the poor for ecological destruction is a bonus.

Hardin’s essay has been widely used as an ideological response to anti-imperialist movements in the Third World and discontent among indigenous and other oppressed peoples everywhere in the world.

“Hardin’s fable was taken up by the gathering forces of neo-liberal reaction in the 1970s, and his essay became the ‘scientific’ foundation of World Bank and IMF policies, viz. enclosure of commons and privatization of public property. … The message is clear: we must never treat the earth as a ‘common treasury.’ We must be ruthless and greedy or else we will perish.” (Boal 2007)

In Canada, conservative lobbyists use arguments derived from Hardin’s political tract to explain away poverty on First Nations’ reserves, and to argue for further dismantling of indigenous communities. A study published by the influential Fraser Institute urges privatization of reserve land:

“[T]hese large amounts of land, with their attendant natural resources, will never yield their maximum benefit to Canada’s native people as long as they are held as collective property subject to political management. … collective property is the path of poverty, and private property is the path of prosperity.” (Fraser 2002: 16-17)

This isn’t just right-wing posturing. Canada’s federal government, which has refused to sign the United Nations Declaration on the Rights of Indigenous Peoples, announced in 2007 that it will “develop approaches to support the development of individual property ownership on reserves,” and created a $300 million fund to do just that.

In Hardin’s world, poverty has nothing to do with centuries of racism, colonialism and exploitation: poverty is inevitable and natural in all times and places, the product of immutable human nature. The poor bring it on themselves by having too many babies and clinging to self-destructive collectivism.

The tragedy of the commons is a useful political myth — a scientific-sounding way of saying that there is no alternative to the dominant world order.

Stripped of excess verbiage, Hardin’s essay asserted, without proof, that human beings are helpless prisoners of biology and the market. Unless restrained, we will inevitably destroy our communities and environment for a few extra pennies of profit. There is nothing we can do to make the world better or more just.

In 1844 Friedrich Engels described a similar argument as a “repulsive blasphemy against man and nature.” Those words apply with full force to the myth of the tragedy of the commons.



Ian Angus is editor of Climate and Capitalism 



Works cited

  • Appell, G. N. 1993. “Hardin’s Myth of the Commons: The Tragedy of Conceptual Confusions.” http://tinyurl.com/5knwou

  • Boal, Iain. 2007. “Interview: Specters of Malthus: Scarcity, Poverty, Apocalypse.” Counterpunch,September 11, 2007. http://tinyurl.com/5vepm5

  • Bromley, Daniel W. and Cernea Michael M. 1989. “The Management of Common Property Natural Resources: Some Conceptual and Operational Fallacies.” World Bank Discussion Paper. http://tinyurl.com/5853qn

  • Cox, Susan Jane Buck. 1985, “No Tragedy on the Commons.” Environmental Ethics 7. http://tinyurl.com/5bys8h

  • Engels, Friedrich. 1892. “The Mark.” http://tinyurl.com/6e58e7

  • Engels, Friedrich. 1844. Outlines of a Critique of Political Economy. http://tinyurl.com/5p24t5

  • Fraser Institute. 2002. Individual Property Rights on Canadian Indian Reserves. http://tinyurl.com/5pjfjj

  • Hardin, Garrett. 1966. Biology: Its Principles and Implications. Second edition. San Francisco. W.H. Freeman & Co.

  • Hardin, Garrett. 1968. “The Tragedy of the Commons.” http://tinyurl.com/o827

  • Marx, Karl. [1867] 1998. Marx Engels Collected Works Vol. 37 (Capital, Vol. 3). New York: International Publishers

  • Neeson, J.M. 1993. Commoners: Common Right, Enclosure and Social Change in England, 1700-1820. Cambridge University Press.

Ideology and Hypocrisy Amid Slavery and Democracy - Strange Bedfellows from Time Immemorial

By Stephen Joseph Scott


 

The history of the existence of slavery as an institution in antiquity and beyond is one of the most common; and, at the same time, one of the most complex tales to be told. Virtually every society, touching almost all the continents of the world, has had its own form of enslavement. The implication being that, nearly, every group of humankind whether racially, ethnically, or culturally categorized as diverse, unattached, or essentially separate, has been marked by the legacy and tradition of human bondage geographically and/or ancestrally. This work will be focusing on the origins and culturally supportive underpinnings of ancient Greek identity, its philosophy, law, ideology, and ethnicity; and, those extant essentialist elements, such as class, that not only made slavery in the ancient Greek world possible but normalized its place within a societal hierarchy that helped define who and what an ancient Athenian was - pitched against a broader Mediterranean ethos. Beyond that, this work will address how ancient Greek thought, as to what essentially constituted a slave versus a free person, later ignites a heated counterpoint which asserts hypocrisy lies at the core of ancient Greek thinking when it comes to the fundamental differences: physical, psychological, and emotional, that inexorably lie between free-persons and human-beings in captivity – made evident by how that debate rages to this day in contemporary historiography….

It is best that we start at the beginning with Homer: ancient Greek storyteller and legendary poet, who lived as early as the 8th century BCE; and, is still considered one of the most celebrated and influential writers of antiquity - for good reason. Homer is brought to the fore because his illustration as evidenced below reveals the essential deleterious effect of human bondage, which, poignantly foreshadows the debate mentioned above by millennia, ‘For Zeus who views the wide world takes away half the manhood of a man, that day he goes into captivity and slavery’ (Homer, Odyssey 17.367-9). Homer is explicitly defining the enslavement of a man as the diminishment, in a purely ontological sense, of one’s inherent human dignity. Aristotle, on the other hand (ancient aristocratic Greek philosopher and polymath extraordinaire), who penned his work in the latter 4th century BCE, some four hundred years after Homer, sets a foundational opposition and enduring precedent of his very own when it comes to the quality, status, value, and condition of enslaved persons.

Aristotle, as is broadly known, defined an enslaved person (doulos), that is, a human-being held in bondage, as ‘a live article of property’ (Aristotle, Pol. 1253b33). The great thinker himself, speaking on behalf of his class interests, goes on to define the value he derived from such persons defined as property, ‘Of property, the first and most indispensable kind is that which is … most amenable to Housecraft; and this is the human chattel.’ He then goes on, with a decisively imperialist tone, ‘Our first step therefore must be to procure good slaves (doulous)’ (Arist. Oec. 1344a23-26). Aristotle makes clear his essentialist views which not only defined a slave as property, but goes further, stating that the value, status, utility, and material condition of persons classified as slaves is not only a useful one, but a natural one:

These considerations therefore make clear the nature of the slave and his essential quality; one who is a human being (anthrôpos) belonging by nature not to himself but to another is by nature a slave, and a human being belongs to another if, although a human being, he is a piece of property (ktêma) (Arist. Pol. 1254a14-18).

Aristotle’s proposition is an important one given this work’s purpose which is to bring forth these precise notions, or conflicting theories, that have significantly undergirded, influenced and/or reinforced conceptions of class, personhood, value, and status interwoven within western thought throughout the ages.

Which brings us inevitably to the longstanding property versus domination argument spearheaded, in modern scholarship, by Orlando Patterson in his 1982 book entitled Slavery and Social Death. Patterson delivers a scathing rebuke to Aristotle’s customary formulation of slavery in terms of property. He unequivocally argues that slavery, from his learned vantagepoint, is, in fact, ‘the permanent, violent domination of natally alienated and generally dishonored persons’[i]. Which poignantly parallels Homer’s description that human beings, held in captivity against their will, are not only persons dominated physically, but are individuals essentially diminished morally, emotionally, and psychologically. The conventional view, as presented by Aristotle, is unsound, according to Patterson based on two distinct factors. Firstly, Patterson argues, ‘to define slavery … as property fails as a definition, since it does not really specify any distinct category of persons.’ Because everyone, whether ‘beggar or king, can be the object of a property relation.’ One can only construe that what Patterson is saying, when it comes specifically to slavery, is that the term ‘property’ obscures, diminishes or diverts one’s attention away from the overt and brutal nature of an enslaved person’s everyday lived experience. Secondly, Patterson contends that the term property is inconsistent in substance when it comes to diversity of culture - meaning many societies, however archaic, lacked the very concept of ownership. Denoting that slavery has accompanied mankind through time immemorial, from primitive village societies to ancient Mesopotamia and beyond, where, he argues, the laws and social mores of any given society didn’t precisely match that of Aristotle’s definition of property – therefore it generally fails as a classification of slavery [ii].

David M. Lewis counters Patterson’s argument on the ‘property point’ as stated above by proclaiming that during the Neo-Babylonian and Persian periods, the evidence clearly demonstrates in abundant detail, that the circumstance between slave and master, in legal terms, was ‘a relationship based on the fact that the slave was the property of his or her owner’-exhibiting all the elementary features necessary, per legal theory, to reach the standard of ‘property’ [iii]. Lewis challenges Patterson’s stance further by stating:

[The popular] view that esteems private property rights to be an advanced development of Roman legal theory ignores the findings of almost a century of legal anthropology, which has observed private property systems in a variety of tribal social systems that were far less advanced in terms of technological and social complexity than even the society imagined in Homer’s epics [iv].

While Lewis’ examination proves ‘slavery as a form of property’ in a legal context, there is still validity in Patterson’s position given the fact that persons in bondage (from a humanist perspective) reduced to the level of property in a solely ‘legal sense’ nullifies their individual agency and all that essentially makes them human.

In fact, slavery, and democracy, in ancient Athens and beyond is a multidimensional and multifaceted story of innate human capacity and agency, dignity, adaptability, fortitude, and resistance. Meaning, ‘…slaves were not passive objects, whose identity and existence was completely dominated by their masters.’[v]  As described by Xenophon (Greek military leader and philosopher), there were without a doubt slaves forced into strenuous domestic work: ‘baking, cooking, spinning’ and scrubbing under their owner’s will (Xen. Oec. 9.9). That said, we are also told of others that gained valuable skill-sets outside the home, coinciding with their inherent intelligence and creativity, from potters to builders to bankers and shoemakers (Hyperides, 3.1-9; and Aeschines, 1.97)[vi]. These slaves participated in communal undertakings (such as workshops and spiritual associations) together with other free and enslaved persons. Even Aristotle, who had little love (agape) for the underclasses, had to acknowledge, albeit cautiously, the inherent democratic nature (and/or threat thereof) made evident by the sheer numbers of this uniquely collective phenomenon - what the great theorist himself branded as koinônia, simply defined as fellowship of the masses. But the politikê koinônia (he warns) was specifically formed for the benefit of its members (Arist. Eth. Nic. 1160a4-6). Influenced by his celebrated teacher, renowned philosopher Plato, who argued that the limits of citizenship and its influence correlate with ‘the precise form of constitution and law’ in place (Plato, Laws 714c) - Aristotle’s well-known anti-democratic discourse on ‘mob-rule’ and the necessity for the ‘rule of law’ as fundamental to ‘the natural order of things’ thus becomes most evident. While in agreement with Pericles’ famed proclamation on the importance of the ‘rule of law’ in the ancient Greek city-state; when it came to what Pericles professed as the virtues of democracy defined, the two-men parted ways in dramatic fashion. In what is considered the ideal of a democratic philosophical vision, Pericles outlines demokratia (in his famed funeral speech of 431 BCE), as follows:

Its administration favors the many instead of the few…equal justice to all…class considerations not being allowed to interfere with merit; nor again does poverty bar the way. The freedom which we enjoy in our government…[teaches] us to obey the magistrates and the laws, particularly as regard [to] the protection of the injured (Thucydides, 2.37).

On the contrary, Aristotle’s depiction of a ‘democratic regime’ and/or constitution is one with an inherent propensity toward ‘license and lawlessness.’ He defines, ‘radical democracy,’ in that of Athens for example, as having two critical flaws: firstly, the influence of the demos can potentially supersede the law (Arist. Pol. 1292a4ff.); and secondly, the demos hold the power to impeach magistrates for wrongdoing (such as malfeasance) which Aristotle intimates are both a step too far (Arist. Pol. 1292a30, and cf.1298a29-35). That said, as threatening as he might have interpreted it, the concept of koinônia permits us to observe enslaved persons actively utilizing their intrinsic agency within a broader collective milieu.

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Returning to the question as stated at the outset of this work, Lewis’ focus on the laws of ancient societies, in lieu of the contention outlined above, is immensely valuable when it comes to understanding the conventions per Athenian slave society and their ramifications. Broadly viewed as a protection mechanism for slaves, given a singular example, the Greek law on ‘hybris,’ in ancient Athens, expressly defined as the negation of the deliberate implementation of violence to humiliate, demean, or degrade - is not as straightforward as it might appear. Yet again, hypocrisy abounds as evidenced: to presume that the Athenian law pertained to an owner’s mis-conduct toward his ‘property’ obliges us to disregard the ‘abundant proof’ of regular and generally habitual violence toward slaves by their masters.[vii] Beyond that, it is difficult to correlate the law as ‘protectionary’ given this evocative assertion by Plato, ‘[a slave] when wronged or insulted, is unable to protect himself or anyone else for whom he cares’ (Plato, Gorg. 483b). The following statement is as definitive as it gets when revealing the underlying deceit interwoven within Athenian law itself when it came to enslaved persons and their standing, ‘[the] law included slaves [simply] because the lawgiver wished to curtail the spread of hubristic [or anti-social] behaviour among the citizens tout court … the hubris law was designed to engender respect and orderly conduct among citizens not to protect slaves’ [viii] [ix]. Meaning, that the Athenian lawgivers were not overly concerned with the physical wellbeing of persons classified as slaves, but perhaps were more intent on curtailing their judicial workload.

The reality was that the right of masters to physically abuse their slaves in ancient Athens was, if not absolute, certainly extensive. Xenophon affirms the practical necessity on behalf of owners to punish their slaves, but simply asks for them not to do so in a state of rage (Xen. Hell. 5.3.7; cf. Hdt. 1.137). Demonstrating that, violence toward persons in bondage in ancient Athens was perfectly acceptable if it was executed in a manner of equanimity. According to Xenophon, however, slaves should never resist. He goes on to say, that masters could, or should, ‘clap fetters on them so that they can’t run away’ (Xen. Mem. 2.1.16). Hence, so it is argued, in summary, that what helps clarify, or defend, Aristotle’s assertion that ‘the slave [is] an article of property imbued with a soul’ (Arist. Pol. 1253b32), is justified due to the fact that ‘this view of the slave as an article of property’ was a generally held belief of society at large when it came to the status of enslaved persons within the ancient Greek ethos [x].

That said, when it comes to hypocrisy, the law and excessive abuse – domination, as defined by Patterson permeates the historical record.  A poignant example of the common acceptance in ancient Athens of emotional and physical abuse (or the threat thereof) cast upon slaves, and the like, is provided by Lysias, where he describes in detail the testimony of a plaintiff in an Athenian court recounting the brutal (and pervasive) threat of torture (and even death) that hung over the heads of enslaved mill workers - commonly known ‘as mill-roaches’ (Lysias 1. 18-22). In addition, owners of enslaved persons were generally granted legal leeway, under the authority of judges, to sexually abuse their slaves.[xi] Signifying that when a slave was purchased, they were in fact the owners’ possession to do with as they desired - which helps lend even more credence to Patterson’s analyses of domination as described.

A question of further importance is what defined, or signified, a slave and their station in ancient Athens? Was it one of ideology or innate difference that helped delineate the distinction between a Greek and a non-Greek? As understood in the broadest sense of the term, barbarian is the word used to describe not only a non-Greek speaking immigrant, but in fact, a definitional term which explicitly portrayed an enslaved person of foreign origin, as, ‘non-Greeks imported from foreign lands via the slave trade’[xii]. An Athenian essentialist view, as noted, between native slave and foreign slave, (that is, between natural born Greeks and outsiders) is underscored by Aristotle’s description of an enslaved Greek as ‘an accident contrary to nature’ (Arist. Pol. 1255a1). These Greek essentialist views, of one people’s ethnic superiority over another, are noteworthy because they significantly impact western thought and societal conditions throughout the ages – emphasizing race and class as inherent points of difference develop into a clear normative of class hierarchy.

Fast forwarding to the 18th century Anglo-world for example, Francis Hutcheson (elite 18th century British moral philosopher) proclaimed that permanent enslavement should be ‘the ordinary punishment of … idle vagrants.’ ‘Idle vagrants,’ being defined as most anyone with what Hutcheson considered, ‘slave like attributes,’ from the idle poor and indigent to confiscated and subjugated human cargo - principally Africans [xiii]. Conversely, in something of a confessional, Thomas Jefferson (slave owner, philosopher, and 18th century American statesman) recognized and voiced the odious elements of the dominion argument, as defined, some two hundred years prior to Orlando Patterson, ‘[the] commerce between master and slave is a perpetual exercise of … the most unremitting despotism on the one part, and degrading submissions on the other.’ He then goes on in a revelatory tone, to inform just how these elite classes, throughout the millennia, bequeathed attitudes of dominion from one generation to the next. Stating that, the children of the elite were thus ‘nursed, educated and exercised in the daily art of tyranny.’ Virginia’s slave plantations as he describes, were by their very nature, ‘schools of iniquity and domination’[xiv]. Consequently, Aristotle’s, early, and pervasive, theory of the ‘natural order of things,’ when it comes to class and ethnicity, is made brazenly evident (Arist. Pol. 1252a-1253b).

Finally, how common place was slave society in the ancient Greek world and what was its magnitude? It is said that the importation of slaves was a lasting one, being that Greek slave society lasted enduringly throughout both the archaic and classical periods until its absorption by Rome in 146 BCE. Although the Roman slave trade surpassed that of the Greek numerically, given Rome’s imperial might over the Mediterranean world, it is said that ‘the Greek slave system was both the elder and the longer-lived.’ The Greeks had helped set a historic precedent by perfecting their own imperial prowess through the conquering of their neighbors [xv]. But, where in fact were these subjugated and enslaved persons extracted from and how common were they in ancient Greece? Ancient Greek inscriptions help make evident that enslaved peoples, represented a wide breadth of humanity throughout the known world at the time. These people included men, women, and children in a variety of hues, from such far-off places as Thrace, Phrygia, Syria, Caria in southwest Anatolia, Illyria on the western Balkan Isthmus, Scythians from eastern Iran; and, Colchians from the eastern Black Sea [xvi] - depicted by Herodotus, in the 5th century BCE, as a ‘dark-skinned and woolly haired’ people (Hdt. 2.104.2). What Herodotus’ quote helps to highlight for us is an ancient Athenian social construct. That being, the prevalent belief (when it came to the stature of imported slaves), of a clear and innate delineation based on race (and/or phenotype), accentuating a natural taxonomic classification or difference between indigenous Greeks and all others – especially slaves.

When it comes to how common slaves were, Josiah Ober estimates the slave population of fourth-century BCE Athens to be around 35 per cent of the total population of roughly 227,000 [xvii]. Which made slavery quite pervasive throughout ancient Athens and helps to explain the essentialist Greek/Other dichotomy as such. As Vincent Rosivach makes evident, ‘[When] Athenians thought about slaves, they habitually thought about barbaroi, and when they thought about barbaroi they habitually thought about slaves’[xviii]. Suggesting that this was commonplace in classical Athens - legislatively undergirded by the proposed law of Pericles of 451 BCE which confined citizenship solely to persons of Athenian birthparents on both sides. Ultimately defining in ethnocentric terms, an essentialist difference (between Greeks and others), based on birth lineage and cultural origin (Arist. Const. Ath. 26.3). In paralleling slave societies throughout the epochs, ‘the slave system of the fourth-century Greek world was of roughly the same numerical magnitude as that of the United States ca. 1800.’ By the early 19th century, in the South, ‘30-40 percent of the population’ was made up of chattel slavery under the brutal control of concentrated wealth and political power, land, and resources… [xix]. Both societies (separated by millennia) became indulgently rich and hegemonically powerful in their respective spheres of influence – primarily based on the wealth created by their slave societies thus implemented. As mentioned, due to the commonality of the everyday interaction between slave and non-slave, and its oblique dangers in ancient Athens, elite class interests reinforced ‘the construction of local and wider Hellenic ethnicities, as well as of non-Greek ethnicities, must have been fundamentally imbricated with the ideological needs of the slave trade…’[xx] [xxi]. The main point being that the possibility of a unifying or coming together of freeborn citizens, of lower-class status, and slaves, posed a direct structural (and numerical) threat to the established order of things. Ideology, woven within Greek identity, plays a key role in the hegemonic control of social norms, but not an absolute one.

The understanding by the masses (and a small number of elites alike) that extreme concentrations of wealth played a destabilizing role in the Athenian political and social realms, when it came to privilege, power and class, is made obvious by the following quote from Demosthenes, ‘for the demos to have nothing and for those who oppose the demos to have a superabundance of wealth is an amazing and terrifying (thaumaston kai phoberon) state of affairs’ (Ober, 1990, 214; Dem. Ex. 2.3). Which helps make evident an ancient Athens as not only the well-known paradigm of direct democracy (or rule by the many), but also its intrinsic contradictions (or threats thereof) when it came to status, class, and wealth – which has echoed, as argued, throughout the centuries. As presented, Lewis and Canevaro, bring to the fore, a carefully crafted top-down societal prejudice designed to sow division amongst the masses using class distinctions and/or differences as its exclusionary tool of choice:

Since it was in fact slaves who were more naturally associated with manual labor—they were the prototypical manual laborers— elitist writers and reformers found in this proximity a productive avenue for attacking their suitability for political participation—for having a voice. For elite Greeks and Romans this was a productive strategy for denigrating and dehumanizing ‘the poor’ in political as well as daily life [xxii].

Paradoxically, these notions of disdain toward the poor (or the slavish), defined (mostly) by the ancient Greek elite as, ‘anyone who had to work for living’ (Arist. Pol. 1277b5-7; 1255b23-38), were not limited to the Athenian upper classes. In fact, as Lucia Cecchet suggests, due to the sheer force of elite ideological thought and its pervasive influence (in the 4th and 5th centuries), even within the jury courts of democratic Athens, the repulsion of poverty (including slaves) became commonly offered as a widely conventional view, ‘a communis opinio that the rich and poor shared alike’ [xxiii]; attitudes that permeate western societies to this day, making evident, the powerful effects of elite capture through hegemonic cultural influence in ancient Athens and beyond.

In conclusion, throughout western history, ancient Athens has been viewed as the ultimate model of democracy in a political, ideological, philosophical, and ethical sense – as presented in this work. At the same time, hypocrisy, pertaining to these epitomes of democracy (demokratia – or rule by the many – as outlined by Pericles), adversely permeated its upper classes and beyond with lasting ramifications. Thucydides, Plato, Aristotle and Xenophon, for example, were all critical of democracy, focusing their ire upon the populous; the possibility of its bad decision making; and (what they believed to be), as ‘the [intrinsic] ignorance … of the demos, demagoguery and civil strife’ [xxiv]. Again, these great theorists thought of democracy not as the rule of the many (which was the general Athenian ideal of demokratia), but they portrayed it in a more threatening or hostile sense, such as, ‘the rule of the poor or the mob,’ which helps taint Athenian demokratia within recorded history with a prejudicial top-down class perspective throughout the millennia [xxv]. The proximity between, slave and poor within the democratic confines of ancient Athens, made them susceptible, in both high-level institutional deliberation and, sometimes, in daily collaborations, to manipulative stratagems which ‘aimed to denigrate and even disenfranchise them by stressing the “slavish” nature of their occupations, as incompatible with the virtue required for political participation’ [xxvi]. Furthermore, enslavement, as implemented in ancient Athens and across time, populations and locations could differ enormously or, in fact, possess significant similarities. As is inferred, by ancient Greek scholars throughout this work, the characteristics which helped mold Greek slave culture and its expansion comprised, but were in no way limited to, the amount of prosperity slavery added to the fundamental aspects of that society’s supposed wellbeing, especially its economic growth and military strength. In most instances, throughout the ancient world and beyond, the capturing and subjugation of persons classified as salves was meant to possess, chastise, and/or diminish an economic rival. Thus, as noted, chattel slavery was quite widespread throughout the ancient world and beyond. That said, the agency and humanity, as offered by Orlando Patterson, of subjugated persons, and their relentless struggle for freedom, permeates the historical record (from Athens to Virginia) - which cannot and should not be ignored. Enslaved human beings left behind a powerful legacy of opposition and struggle to free themselves and the family members they so loved. Through the common bond (of unrelenting misery) they forged powerful alliances of resistance and revolt, despite the cultural forces arrayed against them – their historical age or geographical setting.



Stephen Joseph Scott
is an essayist associated with The University of Edinburgh, School of History; a singer/songwriter, humanist/activist – a self-taught musician, and performer. As a musician, he uses American Roots Music to illustrate the current American social and political landscape.

 


Notes

[i] Orlando Patterson, Slavery and Social Death: A Comparative Study (Harvard University Press, 1982), 13.

[ii] Patterson, 20–21.

[iii] David M. Lewis, Greek Slave Systems in Their Eastern Mediterranean Context, c.800-146 BC, First edition. (Oxford, UK: Oxford University Press, 2018), 34.

[iv] Lewis, 39.

[v] Kostas Vlassopoulos, “Greek Slavery: From Domination to Property and Back Again,” The Journal of Hellenic Studies 131 (2011): 195.

[vi] Edward E. Cohen, Athenian Economy and Society: A Banking Perspective (Princeton University Press, 1992), 61–109.

[vii] Lewis, Greek Slave Systems in Their Eastern Mediterranean Context, c.800-146 BC, 43.

[viii] Mirko Canevaro, “The Public Charge for Hubris Against Slaves: The Honour of the Victim and the Honour of the Hubristēs,” The Journal of Hellenic Studies 138 (2018): 100–126.

[ix] Lewis, Greek Slave Systems in Their Eastern Mediterranean Context, c.800-146 BC, 42–43.

[x] Lewis, 54.

[xi] Lewis, 42.

[xii] David M. Lewis and Mirko Canevaro, “Poverty, Race, and Ethnicity,” in A Cultural History of Poverty in Antiquity (500 BCE – 800 AD), ed. Claire Taylor (Bloomsbury, 2022), 14.

[xiii] Edmund S. Morgan, American Slavery, American Freedom: The Ordeal of Colonial Virginia (New York: Norton, 1995), 324.

[xiv] Thomas Jefferson, Notes on the State of Virginia: An Annotated Edition, Notes on the State of Virginia (Yale University Press, 2022), 249.

[xv] Lewis and Canevaro, “Poverty, Race, and Ethnicity,” 7.

[xvi] Lewis and Canevaro, 4.

[xvii] Josiah Ober, “Inequality in Late-Classical Democratic Athens: Evidence and Models,” in Democracy and an Open-Economy World Order, ed. George C. Bitros and Nicholas C. Kyriazis (Cham: Springer International Publishing, 2017), 129–129.

[xviii] Vincent J. Rosivach, “Enslaving ‘Barbaroi’ and the Athenian Ideology of Slavery,” Historia: Zeitschrift Für Alte Geschichte 48, no. 2 (1999): 129.

[xix] Peter Kolchin, American Slavery, 1619-1877 (New York: Hill and Wang, 1993), 242.

[xx] Lewis and Canevaro, “Poverty, Race, and Ethnicity,” 15.

[xxi] Thomas Harrison, “Classical Greek Ethnography and the Slave Trade,” Classical Antiquity 38, no. 1 (2019): 36–57.

[xxii] Lewis and Canevaro, “Poverty, Race, and Ethnicity,” 29–30.

[xxiii] Lucia Cecchet, “Poverty as Argument in Athenian Forensic Speeches,” 2013, 61, https.

[xxiv] Ober quoted in Mirko Canevaro, “Democratic Deliberation in the Athenian Assembly: Procedures and Behaviours towards Legitimacy,” Annals HSS 73, 2019, 3.

[xxv] Mogens Herman Hansen, The Tradition of Ancient Greek Democracy and Its Importance for Modern Democracy, Historisk-Filosofiske Meddelelser 93 (Copenhagen: Det Kongelige Danske Videnskabernes Selskab, 2005), 8.

[xxvi] Lewis and Canevaro, “Poverty, Race, and Ethnicity,” 29–30.

 

Bibliography 

Canevaro, Mirko. “Democratic Deliberation in the Athenian Assembly: Procedures and Behaviours towards Legitimacy.” Annals HSS 73, 2019.

———. “The Public Charge for Hubris Against Slaves: The Honour of the Victim and the Honour of the Hubristēs.” The Journal of Hellenic Studies 138 (2018): 100–126.

Cecchet, Lucia. “Poverty as Argument in Athenian Forensic Speeches,” 2013.

Cohen, Edward E. Athenian Economy and Society: A Banking Perspective. Princeton University Press, 1992.

Hansen, Mogens Herman. The Tradition of Ancient Greek Democracy and Its Importance for Modern Democracy. Historisk-Filosofiske Meddelelser 93. Copenhagen: Det Kongelige Danske Videnskabernes Selskab, 2005.

Harrison, Thomas. “Classical Greek Ethnography and the Slave Trade.” Classical Antiquity 38, no. 1 (2019): 36–57.

Jefferson, Thomas. Notes on the State of Virginia: An Annotated Edition. Notes on the State of Virginia. Yale University Press, 2022.

Kolchin, Peter. American Slavery, 1619-1877. New York: Hill and Wang, 1993.

Lewis, David M. Greek Slave Systems in Their Eastern Mediterranean Context, c.800-146 BC. First edition. Oxford, United Kingdom: Oxford University Press, 2018.

Lewis, David M., and Mirko Canevaro. “Poverty, Race, and Ethnicity.” In A Cultural History of Poverty in Antiquity (500 BCE – 800 AD), edited by Claire Taylor. Bloomsbury, 2022.

Morgan, Edmund S. American Slavery, American Freedom: The Ordeal of Colonial Virginia. New York: Norton, 1995.

Ober, Josiah. “Inequality in Late-Classical Democratic Athens: Evidence and Models.” In Democracy and an Open-Economy World Order, edited by George C. Bitros and Nicholas C. Kyriazis, 125–46. Cham: Springer International Publishing, 2017.

———. Mass and Elite in Democratic Athens: Rhetoric, Ideology and the Power of the People. Second print., with Corrections. Princeton, N.J: Princeton University Press, 1990.

Patterson, Orlando. Slavery and Social Death: A Comparative Study. Harvard University Press, 1982.

Rosivach, Vincent J. “Enslaving ‘Barbaroi’ and the Athenian Ideology of Slavery.” Historia: Zeitschrift Für Alte Geschichte 48, no. 2 (1999): 129–57.

Vlassopoulos, Kostas. “Greek Slavery: From Domination to Property and Back Again.” The Journal of Hellenic Studies 131 (2011): 115–30.

 

Toward a Third Reconstruction: Lessons From the Past for a Socialist Future

By Eugene Puryear

“The price…of slavery and civil war was the necessity of quickly assimilating into American democracy a mass of laborers…in whose hands alone for the moment lay the power of preserving the ideals of popular government…and establishing upon it an industry primarily for the profit of the workers. It was this price which in the end America refused to pay and today suffers for that refusal” [1].

– W.E.B. Du Bois, Black Reconstruction in America

Karl Marx wrote to Lincoln in 1864 that he was sure that the “American anti-slavery war” would initiate a “new era of ascendancy” for the working classes for the “rescue…and reconstruction of a social world” [2]. The Black historian Lerone Bennett, writing 100 years later, called Reconstruction, “the most improbable social revolution in American history” [3].

Clothed in the rhetoric and incubated within the structure of “American Democracy,” it was nonetheless crushed, drowned in blood, for being far too radical for the actual “American democracy.” While allowing for profit to be made, Reconstruction governments made a claim on the proceeds of commerce for the general welfare. While not shunning wage labor, they demanded fairness in compensation and contracts. Reconstruction demanded the posse and the lynch mob be replaced with juries and the rule of law. This all occurred during a time when the newly minted “great fortunes” brooked no social contract, sought only to degrade labor, and were determined to meet popular discontent with the rope and the gun where the courts or the stuffed ballot box wouldn’t suffice.

The defeat of Reconstruction was the precondition for the ascension of U.S. imperialism. The relevant democratic Reconstruction legislation was seen by elites as “class legislation” and as antithetical to the elites’ needs. The proletarian base of Reconstruction made it into a dangerous potential base for communism, especially as ruling-class fears flared in the wake of the Paris Commune, where the workers of Paris briefly seized power in 1871. The distinguished service of Blacks at all levels of government undermined the gradations of bigotry essential to class construction in the United States.

Reconstruction thus lays bare the relationship between Black freedom and revolution. It helps us situate the particular relationship between national oppression and class struggle that is the key to any real revolutionary strategy for change today.

The new world

Like the Paris Commune, the People’s Republic of China, the Soviet Union, Vietnam and Mozambique, the Reconstruction governments were confronted by the scars of brutal war and long-standing legacies of underdevelopment. They faced tremendous hostility from the local ruling elites and the remnants of their formerly total rule, and were without powerful or terribly well-organized allies outside of the South.

With the status quo shattered, Reconstruction could only proceed in a dramatically altered social environment. Plantation rule had been parochial, with power concentrated in the localized despotisms of the forced labor camps, with generalized low taxes, poor schools, and primitive social provisions.

Reconstruction answered:

“Public schools, hospitals, penitentiaries, and asylum for orphans and the insane were established for the first time or received increased funding. South Carolina funded medical care for poor citizens, and Alabama provided free legal counsel for indigent defendants. The law altered relations within the family, widening the grounds for divorce, expanding the property rights for married women, protecting minors from parental abuse… Nashville expanded its medical facilities and provided bread, soup, and firewood to the poor. Petersburg created a thriving school system, regulated hack rates, repaved the streets, and established a Board of Health that provided free medical care in the smallpox epidemic of 1873” [4].

And further:

“Throughout Reconstruction, planters complained it was impossible to obtain convictions in cases of theft and that in contract disputes, ‘justice is generally administered solely in the interest of the laborer…’ Equally significant was the regularity with which lawmakers turned down proposals to reinforce labor discipline” [5].

South Carolina disallowed garnishing wages to settle debts, Florida regulated the payment of farm hands, and the Mississippi legislature instructed local officials to construe the law “for the protection and encouragement of labor.” All across the South, former slaves assessed the taxable property of their former owners; state after state protected the upcountry farmer from debt, exempting his tools, personal property, and horse and plow from the usurers. In Alabama, personal property tools and livestock were exempt and a Republican newspaper declared that “a man who has nothing should pay no tax” [6].

The school-building push resulted in a serious expansion of public education:

“A Northern correspondent in 1873 found adults as well as children crowding Vicksburg schools and reported that “female negro servants make it a condition before accepting a situation, that they should have permission to attend the night-schools.” Whites, too, increasingly took advantage of the new educational opportunities. Texas had 1,500 schools by 1872 with a majority of the state’s children attending classes. In Mississippi, Florida, and South Carolina, enrollment grew steadily until by 1875 it accounted for about half the children of both races” [7].

Georgia, which had no public school system at all before the war, had 1,735 schools by 1874. The first public school law in Georgia was passed on the 100-year anniversary, to the day, of Georgia’s slave-era law making it a crime to teach Blacks to read and write [8]. In South Carolina, in 1868, 30,000 students attended four hundred schools. By 1876, 123,035 were attending 2,776 schools, one-third of all teachers were Black [9].

The source of this social vision was the most solid base of Reconstruction: the Black workers, farmers, and farmhands. Within the Black population there grew a few men of wealth and the pre-war “free” population provided notable and standout leaders. However, at the end of the day, Black was essentially synonymous with “proletarian.”

Black political power made itself felt all over the South in perhaps the most profound cultural turnaround in U.S. history. Blacks—who just a few years previously had, in the words of the Supreme Court, “no rights” that a white man “was bound to respect”—now not only had rights, but exercised power, literally and metaphorically, over their former masters.

The loss of a monopoly on the positions of power vested in either local government or local appointments to state and federal positions was deeply intolerable to elite opinion, alarming them “even more than their loss of statewide control” [11]. In 1900, looking back, a North Carolina Congressman, highlighted Black participation in local government as the “worst feature” of Reconstruction, because Blacks “filled the offices which the best men of the state had filled. He was sheriff, deputy sheriff, justice of the peace…constable, county commissioner” [12]. One Charlestonian admirer of the old regime expressed horror in a letter: “Surely our humiliation has been great when a Black Postmaster is established here at Headquarters and our Gentlemen’s Sons to work under his bidding” [13].

This power was exercised over land sales, foreclosures, tax rates, and all civil and minor criminal cases all across the Black Belt. In Mississippi, former slaves had taken control of the Board of Supervisors across the Black Belt and one-third of the Black population lived under the rule of a Black sheriff.

In Beaufort, South Carolina, a center of the Plantation aristocracy, the mayor, police force, and magistrates were all Black by 1873. Bolivar County Mississippi and St. John the Baptist Parish in Louisiana were under total Black control, and Little Rock’s City Council had an on and off Black majority [14].

Vicksburg and New Orleans gave Black officers command of white policemen while Tallahassee and Little Rock had Black police chiefs. Sixty Blacks across the South served as militia officers as well. Integrated juries also appeared across the South; one white lawyer said it was the “severest blow” he had ever felt to have to address Blacks as “gentlemen of the jury” [15].

In South Carolina, Blacks had a majority of the House of Representatives and controlled its key committees. There was a Black majority in the Senate, the Lt. Governor and Secretary of State were Black throughout Reconstruction, and Blacks served as Land Commissioner, on the Supreme Court, and as Treasurer and Speaker of the House [16]. Scottish journalist Robert Somers said the South Carolina statehouse was “a Proletarian Parliament the like of which could not be produced under the widest suffrage in any part of the world” [17].

In Mississippi, throughout Reconstruction about 20% of the State Senate was Black as were 35% of the State House of Representatives [18]. Two Black men served as Speaker of the House, including Isaac Shadd, a militant abolitionist who helped plan John Brown’s raid on Harpers Ferry. Mississippi sent two men to the U.S. Senate, the only Blacks to serve during Reconstruction in that body. Sixteen Blacks from the South served in the U.S. Congress.

In Louisiana, a Black man was the governor for a brief period and the treasurer and the secretary of education for a much longer time. Florida’s superintendent of education was also Black, along with the Secretary of State.

One Northern observer touring South Carolina summed up the general upending of the social order noting there was “an air of mastery among the colored people.” They further noted that whites were “wholly reserved and reticent” [19].

The source of Black power in the South was not simply the passive presence of large Black populations, but their active political organization and mobilization. This took place in a variety of overlapping venues such as the grassroots Republican “Union Leagues,” churches, and masonic networks. Newspapers often served as points of political education and influence as well.

“By the end of 1867, it seemed, virtually every black voter in the South had enrolled in the Union League or some equivalent local political organization…informal self-defense organizations sprang up around the leagues, and reports of blacks drilling with weapons, sometimes under men with self-appointed ‘military titles.’ The local leagues’ multifaceted activities, however, far transcended electoral politics. Often growing out of the institutions blacks had created in 1865 and 1866, they promoted the building of schools and churches and collected funds ‘to see to the sick.’ League members drafted petitions protesting the exclusion of blacks from local juries” [20].

In St. Landry Parish in Louisiana, hundreds of former slaves gathered once a week to hear the newspaper read aloud to get informed on the various political issues of the day. In Georgia, it was said that every American Methodist Episcopal (a predominantly Black denomination) Minister was active in Republican organizing (Hiram Revels, Black Senator from Mississippi was an AME minister). Holland Thompson, a Black power-broker in Montgomery, Alabama, used a political base in the Baptist church as a route to the City Council, where he shepherded into being that city’s first public school system [21].

All across the South, it was common during Reconstruction for politics to disrupt labor flows. One August in Richmond, Virginia, all of the city’s tobacco factories were closed because so many people in the majority-Black workforce were attending a Republican state convention [22].

Blanche K. Bruce’s political career, which would lead to the U.S. Senate, started when he became actively engaged in local Republican political meetings in Mississippi. Ditto for John Lynch, one of the most powerful Black politicians of the Reconstruction era. The New Orleans Tribune was at the center of a radical political movement within the Republican Party that nearly took the governor’s office with a program of radical land reform in 1868.

Alabama, Georgia, and South Carolina all had “labor conventions”—in 1870 and 1871—where farm workers and artisans came together to press for regulating rents and raising minimum wages, among other issues. Union Leagues were often sites of the organization of strikes and other labor activity.

One white Alabamian noted that, “It is the hardest thing in the world to keep a negro away from the polls…that is the one thing he will do, to vote.” A Mississippi plantation manager related that in his part of the state Blacks were “all crazy on politics again…Every tenth negro a candidate for some office.” A report from the 1868 elections in Alabama noted the huge Black turnout: “In defiance of fatigue, hardship, hunger, and threats of employers.” They stood in the midst of a raging storm, most without shoes, for hours to vote [23].

Republican politics in the South were viable only due to these Black power bases. The composition of these politics required the rudiments of a popular program and a clear commitment to Black political power, and thus a degree of civil equality and a clear expansion of social equality as well. Reconstruction politics disrupted the ability of the ruling classes to exercise social control over the broad mass of poor laborers and farmers.

Republican politics was a living and fighting refutation of white supremacy, in addition to allowing the working classes access to positions of formal power. However outwardly accommodating to capital, the Reconstruction governments represented an impediment to capital’s unfettered rule in the South and North.

The political economy of Reconstruction

In addition to economic devastation, Reconstruction governments faced the same challenges as any new revolutionary regime in that they were beset on all sides by enemies. First and foremost, the Old Southern aristocratic elite semi-boycotted politics, organized a campaign of vicious terrorism, and used their economic influence in the most malign of ways. Secondly, the ravages of war and political turmoil caused Wall Street, the city of London, and Paris Bourse to turn sour on democracy in the South. On top of that, increasingly influential factions of the Republican Party came to agree that reconstructing the South was shackling the party with a corrupt, radical agenda hostile to prosperity.

The Republican coalition rested on a very thin base. While they had the ironclad support of Black voters, only in South Carolina, Louisiana, and Mississippi did Blacks constitute a majority, and even there, Republicans needed some white support to firmly grasp electoral power.

Most of the white Republican leaders were Northerners, with an overrepresentation of Union army veterans seeking economic opportunity after the war. Most entered politics to aid their own economic interests. These would-be capitalists, lacking the economic resources and social connections, sought a political tie and the patronage that came with it, which could become the basis for fortunes. This created a pull towards moderation on a number of economic and social issues that seeded the ground for Reconstruction’s ultimate defeat.

The Reconstruction governments had one major problem: revenue. Republican leader John Lynch stated as much about the finances of the state of Mississippi: “money was required. There was none in the treasury. There was no cash available even to pay the ordinary expenses of the State government” [24]. Reconstruction governments sought to address this issue with taxes, bonds, and capitalist boosterism.

Early Reconstruction governments all operated under the belief that, with the right accommodation, they could revive and expand commerce. In particular, the railroad could open the upcountry to the market and encourage the expansion of various forms of manufacture and mineral extraction. A rising tide would lift all boats, and private capital would provide the investment and employment necessary for the South to prosper. And as such, they showered favors on the railroads in particular:

“Every Southern state extended munificent aid to railroad corporations… either in… direct payments… or in the form of general laws authorizing the states endorsement of railroads bonds… County and local governments subscribed directly to railroad stock… from Mobile, which spent $1 million, to tiny Spartanburg, South Carolina, which appropriated $50,000. Republican legislators also chartered scores of banks and manufacturing companies” [25].

In 1871, Mississippi gave away 2 million acres of land to one railway company [26]. The year before, Florida chartered the Great Southern Railway Co., using $10 million in public money to get it off the ground [27]. State incorporation laws appeared in Southern legal codes for the first time, and governments freely used eminent domain. Their behavior, in the words of one historian, “recapitulated the way Northern law had earlier been transformed to facilitate capitalist development” [28].

Many states also passed a range of laws designed to exempt various business enterprises from taxation to further encourage investment. That investment never showed up, to the degree required at least. Diarist George Templeton Strong noted that the South was “the last place” a “Northern or European capitalist would invest a dollar” due to “social discord” [29].

As investments went, the South seemed less sure than other American opportunities. There were lucrative investment opportunities in the North and West as the Civil War had sparked a massive industrial boom, creating the careers of robber barons like Andrew Carnegie and John D. Rockefeller.

The South was scarred by war, generally underdeveloped, and politically unstable from the fierce resistance of white supremacy to the rise of Black power. Major financiers were willing to fund cotton production—which was more of a sure thing—and a handful of new industries, but generally felt the South wasn’t much worth the risk. Southern state bonds thus traded at lower values than Northern or Western states, and given the South’s dire economic straits, their supply far outstripped demand for them on the market.

This meant that these investments attracted those “trained in shady finance in Wall St.” whose “business was cheating and manipulation,” and who were “in some cases already discredited in the centers of finance and driven out…of the North and West” [30].

The old ruling classes grafted themselves onto the new enterprises, using their history and connections to become the board members and agents of many of the companies. Among other things, this meant the new enterprises were controlled by Democrats, who, while happy to exploit the Reconstruction governments, were doing all they could to undermine them and restore themselves to political power.

The old plantation owners were joined in the new ruling class matrix by the merchants and bankers who arose alongside the expansion of the railroad and of the commercial farming economy outside of the Black Belt.

This new “Bourbon” aristocracy quickly emerged as the main interlocutor with whatever outside investment there was. Economic uncertainty only increased after the Panic of 1873 sent the country into a depression. This made the South an even less attractive investment to outsiders and increased the power and leverage of the Democratic elite, who desired a quick return to total white supremacy and Black subordination.

Republican governments, then, had a choice: they could either turn towards this business class and try to strike an understanding around a vision of the “Gospel of Prosperity,” with some limited Black suffrage, and thus, expanded social rights for the laboring class, or they could base themselves more thoroughly on those same laboring classes, particularly in the Black Belt.

The political power of the elite still rested primarily on their monopoly of landownership and thus effective control over the most profitable industries. Land reform, breaking up the big plantations, and granting the freedman access to tracts of land would fatally undermine that control. It was a shift that would have curtailed the ability of planters to exercise economic coercion over their former slaves in the political realm and would have inserted the freedman more directly into the global economy, thereby marginalizing former planters’ roles as intermediaries with the banks, merchants, and traders. Among other things, this would strengthen Republican rule, crippling the economic and social power most behind their opposition.

Land, was, of course, the key demand of those emerging from slavery. Aaron Bradley, an important Black leader in Savannah, Georgia became known for holding “massive…public meetings” that were described by one scholar as “frequent gatherings of armed rural laborers,” where the issue of land ownership was front and center [31]. “Deafening cheers” were heard at a mass meeting in Edgefield County, South Carolina, when a Republican orator laid out a vision where every attendee would acquire a parcel of land [32]. In the words of Du Bois, “this land hunger…was continually pushed by all emancipated Negroes and their representatives in every southern state” [33].

Despite that, only in South Carolina was land reform taken up in any substantial way. There, under the able leadership of Secretary of State Francis Cardozo, 14,000 Black families, or one-seventh of the Black population, were able to acquire land in just the four years between 1872 and 1876 [34].

Elsewhere, states eschewed direct financial aid to the freedman in acquiring land and mostly turned to taxation as an indirect method of finance. Cash-strapped planters, unable to make tax payments, would be forced to forfeit their land that would be sold at tax sales where they could be bought by Blacks. Of course, without state aid, most freed people had little access to the necessary capital. In Mississippi, one-fifth of the land in the state was forfeited through tax sales, but ultimately, 95% of that land would end up back with its previous owners [35].

Through hard struggle, individuals and small groups of Blacks did make limited footholds into land ownership. In Virginia, Blacks acquired 81-100 thousand acres of land in the 1860s and 70s. In Arkansas in 1875 there were 2,000 Black landowners. By that same year, Blacks in Georgia had obtained 396,658 plots of land worth the equivalent of over $30 million today [36]. Ultimately, however, most Blacks were consigned to roles as tenant farmers, farm laborers, or town and city workers. This placed the main base of the Reconstruction governments in a precarious position in which they were susceptible to economic coercion on top of extra-legal terrorism by their political enemies.

The chief advocates of the showering of state aid and the eschewing of land reform was the “moderate” faction of Republicans who tended to gain the upper-hand in the higher and more powerful offices. The fruits of these policies, however, sparked significant struggle over the direction of the Republican cause.

In Louisiana, in the lead-up to the 1868 elections, the Pure Radicals, a grouping centered on the New Orleans Tribune—the first Black daily newspaper—nearly seized the nomination for the governor’s chair on a platform laden with radical content. Their program was for an agriculture composed of large cooperatives; “the planters are no longer needed,” said the Tribune. The paper also editorialized that “we cannot expect complete and perfect freedom for the working men, as long as they remain the tools of capital and are deprived of the legitimate product of the sweat of their brow” [37].

As mentioned, several states had “labor conventions.” The South Carolina convention passed resolutions endorsing a nine-hour day and proportional representation for workers on juries, among other things. The Alabama and Georgia conventions established labor unions, which embraced union league organizers across both states, and engaged in a sporadic series of agricultural labor strikes. Ultimately, most of these resolutions would never pass the state legislature.

Nonetheless, they certainly give a sense of the radicalism in the Republican base. This is further indicated by Aaron Logan, a member of the South Carolina House, and a former slave, who in 1871 introduced a bill that would regulate profits and allow workers to vote on what wages their bosses would pay them. The bill was too controversial to even make it to a vote. But, again, it’s deeply indicative of the mood among Black voters since Logan represented the commercial center of Charleston. Logan, it should also be noted, came on the scene politically when he led a mass demonstration of 1,000 Black workers, demanding the right to take time off from work to vote, without a deduction in wages, and he ended up briefly imprisoned at this action after arguing for Black gun ownership [38].

On the one hand, this resulted in even the more moderate factions of the Republican coalition broadly to support Black officeholding. Additionally, the unlimited largess being showered on corporations was curtailed by 1871.

On the other hand, the Reconstruction governments were now something of a halfway house, with their leaders more politically conservative and conciliationist than their base. They pledged to expand state services and to protect many profitable industries from taxes. They were vigilant in protecting the farmer’s axe and sow while letting the usurer establish debt claims on his whole crop. They catered to—but didn’t really represent—the basic, and antagonistic, interests in Southern society. And it was on this basis that the propertied classes would launch their counter-offensive.

Counter-revolution and property

The Civil War had introduced powerful new forces into the land:

“After the war, industry in the North found itself with a vast organization for production, new supplies of raw material, a growing transportation system on land and water, and a new technical knowledge of processes. All this…tremendously stimulated the production of good and available services…an almost unprecedented scramble for this new power, new wealth, and new income ensued…It threatened the orderly processes of production as well as government and morals…governments…paid…the cost of the railroads and handed them over to…corporations for their own profit. An empire of rich land…had been…given to investors and land speculators. All of the…coal, oil, copper, gold and iron had been given away…made the monopolized basis of private fortunes with perpetual power to tax labor for the right to live and work” [39].

One major result was the creation of vast political machines that ran into the thousands of employees through patronage posts that had grown in size as the range of government responsibilities and regulations grew along with the economy. It created a large grey area between corruption and extortion. The buying of services, contracts, and so on was routine, as was the exploitation of government offices to compel the wealthy to come forth with bribes.

This started to create something of a backlash among the more well-to-do in the Republican coalition. Many of the significantly larger new “middle classes” operating in the “professions” began to feel that the government was ignoring the new “financial sciences” that prescribed free trade, the gold standard, and limited government. They argued that the country was being poorly run because of the political baronies created through patronage, which caused politicians to cater to the whims of the propertyless. These “liberals,” as they became known in Republican circles, increasingly favored legislation that would limit the franchise to those of “property and education” and that would limit the role of government in the affairs of businesses or the rights of workers.

This, of course, was in line with the influence of the rising manufacturing capitalists in the Republican Party, and became a point of convergence between “moderate” Republicans and Democrats. That the Democratic Party was part of this convergence was ironic as it postured as the party of white workers, although in reality they were just as controlled by the wealthy interests, particularly on Wall Street, as their opponents.

Reconstruction in general, and in South Carolina in particular, became central to the propaganda of all three elements. The base of Reconstruction was clearly the Black poor and laboring masses of the South, who voted overwhelmingly for Grant and whose governments were caricatured as hopelessly corrupt. On top of all that, they were willing to raise taxes on the wealthy to pay for public goods for everyone else.

It made the Reconstruction governments the perfect scapegoats for those looking to restrict the ballot of the popular classes in the service of the rights of property. Taxes, corruption, and racism were intertwined in a powerful campaign by the wealthy—in the clothing of the Democratic Party—to dislodge Republican rule.

Increases in taxation were as practical as they were ideological. The Reconstruction states had only debts and no cash. In order to attract more investment, early Republican governments didn’t dare repudiate the debt racked up by the rebels. The failure to ignite an economic boom and the lackluster demand for Southern bonds left increasing taxes as the only realistic means to increase revenue to cover an expanded role for public services.

The antebellum tax system had been very easy on the planters. Republicans relied on general property taxes that were increased more or less across the board. In particular, the wealthiest found their wealth—in land, stocks, and bonds—taxed, often for the first time. Their wealth was certainly taxed for the first time at their real value, since planters lost the power to assess their own property.

The planters, the bankers, and the merchants, or the “men of wealth, virtue and intelligence” in their own minds, organized a vicious propaganda war against higher taxes. They went so far as to organize conventions in the mid-1870s to plead their weak case. South Carolina’s convention, which included 11 Confederate Generals, put the blame for the tax “burden” squarely on the fact that “nine-tenths of the members of the legislature own no property” [40].

Their critique wasn’t just over tax rates, but what they were being spent on. They depicted the Reconstruction governments as corrupt and spendthrift. These were governments run foolishly by inferior races, which were, in their world, dangerous because they legislated for the common man.

They also linked Reconstruction to communism. In the wake of the war, working-class organization intensified. Only three national unions existed at the end of the war, while five years later there were 21. Strikes became a regular feature of life [41]. Their regularity was such that the influential magazine Scribner’s Monthly lamented that labor had come under the sway of the “senseless cry against the despotism of capital” [42]. In New Orleans, the white elite feared Louisiana’s Constitutional Convention in 1867 was likely to be dominated by a policy of “pure agrarianism,” that is, attacks on property [43].

The unease of the leading classes with the radical agitation among the newly organized laborers and the radical wing of the Reconstruction coalitions was only heightened by the Paris Commune in 1871. For a brief moment, the working people of Paris grasped the future and established their own rule, displacing the propertied classes. It was an act that scandalized ruling classes around the world and, in the U.S., raised fears of the downtrodden seizing power.

The Great Chicago Fire was held out to be a plot by workers to burn down cities. The Philadelphia Inquirer warned its readers to fear the communist First International, which was planning a war on America’s landed aristocracy. Horace White, editor of the Chicago Tribune, who’d traveled with Lincoln during his infamous debates with Douglas, denounced labor organizations as waging a “communistic war upon vested rights and property.” The Nation explicitly linked the northern labor radicals with the Southern freedman representing a dangerous new “proletariat” [44].

August Belmont, Chairman of the Democratic National Convention, and agent for the Rothschild banking empire, remarked in a letter that Republicans were making political hay out of Democratic appeals to workers, accusing them of harboring “revolutionary intentions” [45].

The liberal Republicans opened up a particular front against the Reconstruction governments, with a massively disorienting effect on Republican politics nationwide. Among the ranks of the liberals were many who had been made famous by their anti-slavery zeal, including Horace Greeley and his southern correspondent, former radical Republican James Pike. The duo turned the New York Tribune from a center of radicalism into a sewer of elitist racism. They derided Blacks as lazy, ignorant, and corrupt, describing South Carolina as being victimized by “disaffected workers, who believed in class conflict” [46]. Reporting on the South Carolina taxpayer convention, Greeley told his audience that the planters were menaced by taxes “by the ignorant class, which only yesterday hoed the fields and served in the kitchen” [47].

Greeley also served as a cipher for Confederate Secretary of State Robert Toombs, who observed that “reading and writing did not fit a man for voting. The Paris mob were intelligent, but they were the most dangerous class in the world.” He stated further that the real possibility of poor whites and Blacks uniting was his real fear in that they would “attack the interests of the landed proprietors” [48].

The liberal Republicans were unable to capture the zeitgeist in the 1872 election. Former Union General and incumbent President Ulysses S. Grant and his campaign managers positioned their campaign as the true campaign of the working man. Nominating Henry Wilson, “The Shoemaker of Natick,” former indentured servant, and “friend of labor and the Negro,” as Vice-President. They famously waved the “bloody shirt,” reminding Northern workers and farmers what they had fought for and linking their opponents to a return of the Slave Power.

However, their challenge scrambled Republican politics and Grant quickly sought to conciliate his opponents by backing away from enforcing the rights of the freedman with force and doling out patronage and pardons to all manner of rebels, traitors, and terrorists. In 1874, Democrats swept the midterm elections, further entrenching the consolidation of the political power of capital. So emboldened, the 1875 elections devolved into an orgy of violence and fraud. Black Republican leader John Lynch noted that “Nearly all Democratic clubs in the State were converted into armed military companies” [49].

In Yazoo County, Mississippi, a Republican meeting was broken up by armed whites who killed a state legislator. In Clinton, Mississippi, 30 Black people were murdered when bands of white vigilantes roamed the countryside [50]. As one historian details:

“What we have to deal with here is not a local or episodic movement but a South-wide revolution against duly constitute state governments…the old planters as well as the rising class of bankers, merchants, and lawyers…decided to use any and every means…they drew up coordinated plans and designated targets and objectives. Funds for guns and cannons were solicited from leading planters” [51].

That same historian estimates that “thousands” were killed in this brutal campaign [52].

John Lynch, the Black Republican leader from Mississippi, related that, when he asked President Grant in the winter of 1875 why he had not sent more assistance to loyal Republicans besieged by terrorists in Mississippi, Grant replied that to have done so would have guaranteed a Republican loss in Ohio. This is as clear a sign as any of the shifting sands of Republican politics.

Black Power in the South had become an obstacle to the elites in both parties. It was the only area of the country where the “free ballot” was bound to lead workers holding some of the levers of power. Black suffrage meant a bloc in Congress in favor of placing social obligations on capital, a curtailment of white supremacy, and bitter opposition to property qualifications in voting. The very fact that opposition to Reconstruction was cast in “class” terms, against the political program of the freedman as much as the freedman themselves, speaks to these fears.

A solid (or even not so solid) Republican South was an ally to political forces aggrieved by the “despotism of capital” around the country. A solid white supremacist South was (and is) a bastion for the most reactionary policies and allies of policies of untrammeled profit making, which is, as we have shown, the direction in which the ruling classes were traveling. Thus, Reconstruction had to die.

The final charge

“It was not until after…that white labor in the South began to realize that they had lost a great opportunity, that when they united to disenfranchise the Black laborer they had cut the voting power of the laboring class in two. White labor in the populist movement…tried to realign economic warfare in the South and bring workers of all colors into united opposition to the employer. But they found that the power which they had put in the hands of the employers in 1876 so dominated political life that free and honest expression of public will at the ballot-box was impossible in the South, even for white men. They realized it was not simply the Negro who had been disenfranchised…it was the white laborer as well. The South had since become one of the greatest centers for labor exploitation in the world” [53].

-W.E.B. Du Bois, Black Reconstruction in America

While Reconstruction was destroyed in the service of the ruling classes, its defeat could not have taken place without the acquiescence and assistance of the popular classes among the white population as well. In the South, in particular, the role of the “upcountry small farmer” was essential.

During the war, these yeomen farmers had coined the phrase “rich man’s war, poor man’s fight.” At first, there was some fear, and some electoral evidence, that poor whites and the newly freed slaves might make an alliance of sorts. Instead, the rift between them widened. The hierarchy constructed of white supremacy relied on inculcating racial superiority in many ways, one of them being the idea of “independence” that made white small farmers “superior” to slaves. They were poor, but at least they were masters of their own patch of land.

The coming of the railroad changed all of this drastically. The railroad opened up the upcountry to the world economy. While it initially seemed like an opportunity, it was, in fact, a curse. Many small farmers dove into cotton production, the one thing financiers were eager to fund. They quickly found, however, that the cost of transporting and marketing their goods, in addition to the costs of inputs from merchants, made success very difficult, and made it almost certain they would have to resort to credit. The rates of usury were, however, allowed to go high enough that a majority of these small farmers became trapped in webs of debt.

The only way to keep going was to offer one’s crop as security for loans, ahead of time—the so-called “crop-lien.” From masters of their own realm, these farmers had now become slaves to debt, losing all real control of their destiny and farming to avoid eviction rather than to make any money.

This reality increased resentment at Reconstruction governments, and, given their dire financial situation, created another base of support for those trying to make an issue out of higher taxes. This ultimately helped solidify white opposition to Republican rule behind the planters and their Democratic Party.

As the 1870s turned into the 1880s, this consensus started to crack. The depression unleashed in the Panic of 1873 led to a breakdown of the two-party system as the two parties consolidated their views on how to move the country forward at the expense of workers and farmers. A variety of movements started to emerge, particularly strong in the West, opposing various aspects of the new consensus.

In the 1880s, the movement started to strengthen itself through a series of “Farmers Alliances” that spread like wildfire across the country. The alliances not only advocated and agitated for things like railroad regulation and more equitable farming arrangements, but also organized their own cooperatives and attempts to break free of the unjust state of affairs to which they were subject. The alliances were also major sites of political education where newspapers and meetings helped define and disseminate the economic realities of capitalism and exactly why these farmers were facing so much exploitation.

A Black alliance, the Colored Farmers Alliance, also grew rapidly, ultimately embracing millions of Black farmers. Black farmers, likewise, were getting the short-end of the stick in terms of the results of Reconstruction-era land policies. Despite being shut out of land ownership, Black farmers were highly resistant to returning to the plantations as farm laborers. This led to a rise in tenancy where Black farmers rented the land and took on the production of the crops for a share of the crop that they could sell, or what is called “sharecropping.”

Similar to white farmers in the upcountry, however, this system turned viciously against them. The costs of credit to carry out various farming activities or to cover the cost of goods in the offseason meant that they too, quickly and easily became ensnared by debt. This started to create intriguing political opportunities in the South. Disaffected white farmers started to become interested in the third-party movements representing popular discontent, particularly the Greenback-Labor Party.

The Greenbackers embraced much of the agrarian reform ideas favored by farmers, and added in support for an income tax, the free ballot, and the eight-hour day for workers. In Mississippi, Texas, and Alabama, the Greenback movement found some shallow roots with white farmers who, recognizing the political situation, understood their only possible ally could be Blacks.

Black politics, while in retreat, had not disappeared. The Colored Farmers Alliance was rooted in the same networks of religion, fraternal organization, and grassroots Republican political mobilization that had formed during Reconstruction. It was thus more politically inclined than the Southern Farmers Alliance of whites, which remained tied to the Democratic Party and its white supremacist policies.

Nonetheless, a growing number of Blacks seeking political opportunity sought to embrace the Greenback movement through a process known as “fusion.” This meant Republicans running joint candidates or slates with third parties in order to maximize their voting power and take down the Democrats. This led to somewhat of a “second act” of Reconstruction. The Colored Farmers Alliance played a key role in the early 1890s in pushing the alliances to launch the Populist Party, turning the incipient potential of the Greenback Party into a serious political insurgency, but one which couldn’t be truly national without a Southern component. Populism united the agrarian unrest of the West and South against the “money power” of the Wall Street banks.

Populists championed public ownership of the largest corporations of the time—the railroads—as well as the communications apparatus of the country. In addition, they advocated an agricultural plan known as the “sub-treasury system” to replace the big banks in providing credit to the farmers as well as empowering cooperatives rather than private corporations to store and market goods. All of these were ingredients to break small farmers out of a cycle of debt.

They also advocated for a shorter working day and a graduated income tax and sought to link together the demands of urban workers and those living in rural areas, saying in their preamble: “Wealth belongs to him who creates it, and every dollar taken from industry without an equivalent is robbery. ”If any will not work, neither shall he eat.” The interests of rural and civil labor are the same; their enemies are identical” [54]. This turned the People’s Party into a real challenge to the ruling class on a national scale, one particularly potent in Georgia, North Carolina, and Alabama on the Southern front:

“The People’s (Populist) Party presidential candidate James B. Weaver received over one million votes in 1892 (approximately nine percent of the vote), winning 22 electoral votes (albeit, mostly in the West); in North Carolina, a Populist-Republican alliance took over the state legislature in 1894; Populists and their allies sat in Congress, governor’s offices, and held dozens of local offices over the next two years; and scores of Black and white People’s Party chapters had been established across the region” [55].

This success would evoke a wave of terrorist violence against Populists and the Black community writ large that rivaled Reconstruction times and that, in terms of outright election fraud, exceeded it, which can be viewed clearly through the example of North Carolina, and Wilmington, in particular.

The 1892 election, the first time out for the Populists, opened up a new lane of cooperation. White Populists openly appealed for Black votes. “In addition to voting the ticket, blacks sometimes…took roles in county organizations and in mobilizing black voters. Some counties [even] placed blacks on ballots, and blacks were present at Populist rallies and in local Populist nominating conventions” [56]. In Raleigh, Blacks campaigned on horseback and on mule with the Presidential candidate James Weaver as well [57]. The results reflected the campaign: “African Americans voted “en masse” for the People’s Party in 1892 in the first and second districts of the eastern part of the state, where the majority of black counties were. Black voters in both Hyde and Wilson counties, for instance, gave near unanimous support to the third party ticket” [58].

Over the next two years Populists, Black and white, worked with Republicans, Black and white, to hammer out a fusion agreement for the 1894 state elections. This was despite fairly significant differences, such as the rise of Black populism, for instance, which heralded a rise in class differences within the Black community. Nonetheless, they found common ground and swept the elections:

“Among other changes, the elected Republican-Populist majority revised and simplified election laws, making it easier for African Americans to vote; they restored the popular election of state and county officials, dismantling the appointive system used by Democrats to keep black candidates out of office; and the fusion coalition also reversed discriminatory “stock laws” (that required fencing off land) that made it harder for small farmers to compete against large landowners. The reform of election and county government laws, in particular, undermined planter authority and limited their control of the predominantly black eastern counties” [59].

The Fusion coalition also championed issues like “public funding for education, legislation banning the convict-lease system, the criminalization of lynching” [60]. The Fusion government also restricted interest rates to address the massive debts being incurred by farmers and sharecroppers. Most notably, the Fusion governments stood up to the powerful railroad interests and their Northern backers like JP Morgan.

The port city of Wilmington was an important Republican stronghold and had to be neutralized for Democrats to break through the Fusion hold on the state. In 1897, Democrats started a vicious campaign of white supremacy, forming clubs and militias that would become known as “Red Shirts,” along with a media offensive.

As the Charlotte Observer would later state, it was the “bank men, the mill men, and businessmen in general,” who were behind this campaign [61]. One major theme of the campaign was a particular focus on Black men supposedly “preying” on white women and girls. Physical violence and armed intimidation were used to discourage Blacks or Republicans and Populists of any color from voting.

As the election drew closer, Democrats made tens of thousands of copies of an editorial by Alex Manley, the Black editor of the Daily Record newspaper. Manley, an important civic leader in Wilmington had written the editorial in response to calls for increased lynchings against Blacks to stop interracial relationships. Manley argued that white women who sought out relations with Black men often used rape allegations to cover their tracks or end a dalliance.

While undoubtedly true, it raised the ire of white supremacists to the highest of pitches. On election day, most Blacks and Republicans chose not to vote as Red Shirt mobs were roaming the streets and had established checkpoints all over the city. Unsurprisingly, the Democrats won.

Unwilling to wait until their term of office began, some of the newly elected white officials and businesspeople decided to mount a coup and force out Black lawmakers right then and there. Hundreds, perhaps thousands of whites, marauded through the streets, attacking Black businesses and property and killing more than 300 Black people in the process. They forced the Republican mayor, along with all city commissioners, to resign at gunpoint. They banished them from the city, leading them in front of a mob that assaulted them before putting them on a train out of town. At least 2,000 Black residents fled, leaving most of what they owned behind.

The Wilmington massacre destroyed the Fusion coalition. All over the state, fraud and violence had been used against the Fusionists to no avail, but, as evidenced by the example of Wilmington, there was little chance of rebuilding ties of solidarity.

The same can be said for the populist period more generally. While Populists certainly have a mixed record, at best, when it came to racism in the general sense, it’s undeniable that the Populist upsurge opened up new political space for Blacks that had been shut-off by the two major parties. Further, it did so in a manner that was ideological much more commensurate with the unrealized desires of Republican rule.

So, in North Carolina and all across the South, Populists were crushed in an orgy of violence and fraud. Racism was a powerful motivating factor in Southern politics across this entire period. This racism, however, did not stop large numbers of whites from entering into a political alliance with Blacks. The anti-Populist violence has to be seen in this context as a counterweight against the pull of self-interest in the economic field.

Toward a third Reconstruction

Reconstruction looms large in our current landscape because so much of its promise remains unrealized. The Second Reconstruction, better known as “the sixties,” took the country some of the way there, particularly concerning civil equality. It reaffirmed an agenda of placing social claims on capital. It also, however, revealed the limits of the capitalist system, showing how easily the most basic reforms can be rolled back. This was a lesson also taught by the first Reconstruction.

The history of Reconstruction also helps us to understand the centrality of Black Liberation to social revolution. The dispossession of Blacks from social and civic life was not just ideologically but politically foundational to capitalism in the U.S. The Solid South, dependent on racism, has played and continues to play a crucial role as a conservative influence bloc in favor of capital.

Reconstruction also gives us insight into the related issue of why Black political mobilization, even in fairly mundane forms, is met with such hostility. The very nature of Black oppression has created what is essentially a proletarian nation which denounces racism not in the abstract, but in relation to its actual effects. Unsurprisingly, then, Black Liberation politics has always brought forward a broad social vision to correct policies, not attitudes, which is precisely the danger since these policies are not incidental, but intrinsic, to capitalism.

In sum, Reconstruction points us towards an understanding that “freedom” and “liberation” are bound up with addressing the limitations that profit over people puts on any definition of those concepts. It helps us understand the central role of “white solidarity” in promoting capitalist class power. Neither racism nor capitalism can be overcome without a revolutionary struggle that presents a socialist framework.

References

[1] Du Bois, W.E.B. (1935/1999).Black Reconstruction in America 1860-1880(New York: Simon & Schuster), 325.
[2] Marx, Karl. (1865). “Address of the International Working Men’s Association to Abraham Lincoln, President of the United States of America,” Marxists.org, January 28. Available
here.
[3] Bennett, Jr Lerone. (1969). Black Power U.S.A.: The human side of Reconstruction 1867-1877(New York: Pelican), 148.
[4] Foner, Eric. (1988/2011).Reconstruction: America’s unfinished revolution, 1863-1877(New York: Perennial), 364-365.
[5] Ibid., 363, 372.
[6] Ibid., 372-375.
[7] Foner,Reconstruction, 366.
[8] Du Bois,Black Reconstruction in America, 651.
[9] Bennett,Black Power U.S.A., 179.
[10] Magnunsson, Martin. (2007). “No rights which the white man is bound to respect”: The Dred Scott decision. American Constitution Society Blogs, March 19. Available
here.
[11] Foner,Reconstruction, 355.
[12] Rabinowitz, Howard N. (Ed.) (1982).Southern Black leaders of the Reconstruction era(Urbana: University of Illinois Press), 106-107.
[13] Bennett,Black Power U.S.A., 150.
[14] Foner,Reconstruction, 356-357.
[15] Ibid., 362-363.
[16] Facing History and Ourselves. (2022). “The Reconstruction era and the fragility of democracy.” Available
here.
[17] Bennett,Black Power U.S.A., 183-184.
[18] Du Bois,Black Reconstruction in America, 441.
[19] Bennett,Black Power U.S.A., 160.
[20] Foner,Reconstruction, 283-285.
[21] Ibid., 282-283.
[22] Ibid., 282.
[23] Ibid., 291.
[24] Lynch, John R. (1919).The facts of Reconstruction(New York: The Neale Publishing Company), ch. 4. Available
here.
[25] Foner,Reconstruction, 380.
[26] Ibid., 382.
[27] Rabinowitz,Southern Black leaders of the Reconstruction Era, 73.
[28] Foner,Reconstruction, 381.
[29] Ibid., 391.
[30] Du Bois,Black Reconstruction in America, 407-408.
[31] Rabinowitz,Southern Black leaders of the Reconstruction era, 291-294.
[32] Foner,Reconstruction, 374.
[33] Du Bois,Black Reconstruction in America, 601.
[34] Foner,Reconstruction, 375.
[35] Ibid., 376.
[36] Du Bois,Black Reconstruction in America, 603.
[37] Bennett,Black Power U.S.A., 247.
[38] Foner,Reconstruction, 377-378.
[39] Du Bois,Black Reconstruction in America, 581.
[40] Foner,Reconstruction, 415-416.
[41] Ibid., 478.
[42] Cox Richardson, Heather. (2001).The death of Reconstruction: Race, labor, and politics in the post-Civil War North, 1865-1901(Cambridge: Harvard University Press), 85.
[43] Foner,Reconstruction, 328.
[44] Cox Richardson,The death of Reconstruction, 86-88; Foner,Reconstruction, 518-519.
[45] Cox Richardson,The death of Reconstruction, 88.
[46] Ibid., 94.
[47] Ibid., 96.
[48] Ibid., 97.
[49] Lynch,The facts of Reconstruction, ch. 8. Available
here.
[50] Foner,Reconstruction, 558-560.
[51] Bennett,Black Power U.S.A., 330-331.
[52] Ibid.
[53] Du Bois,Black Reconstruction in America, 353.
[54] Populist Party Platform. (1892). Available
here.
[55] Ali, Omar. (2005). “Independent Black voices from the late 19th century: Black Populists and the struggle against the southern Democracy,”Souls7, no. 2: 4-18.
[56] Ali, Omar. (2010).In the lion’s mouth: Black Populism in the new South, 1886-1900(Jackson: University Press of Mississippi), 136.
[57] Ibid.
[58] Ibid.
[59] Ibid., 140.
[60] Ibid., 141.
[61]The Charlotte Observer.(1898). “Editorial,” November 17.

Gentrification as Settler-Colonialism: Urban Resistance Against Urban Colonization

[Photo from Mike Maguire / Flickr]

By John Kamaal Sunjata

Gentrification is a ubiquitous phenomenon of political economy across the United States. Residential displacement, socioeconomic exclusion, political instability, homelessness, spatial transformation, and racial segregation coincide with the marked rapidity of the gentrification (Filion 1991, Atkinson 2002, Lees, Slater and Wyly 2008, Brown-Saracino 2010, Thörn 2012, Novy and Colomb 2013, Kohn 2013, Marcuse 2015, Domaradzka 2018). Local governments have appeared too impotent to mitigate the worsening effects that gentrification has on marginalized communities as urban landscapes continue their dramatic shifts and political struggles intensify within urban centers. In the era of increased fiscal austerity and decreased fiscal activism, local governments are better equipped to expand gentrification processes than contract them. This presents a puzzle for residents, organizers, and urban decision-makers alike about how to approach gentrification, especially when there are competing socioeconomic objectives.

This paper addresses the following questions: how do we contextualize gentrification as a political phenomenon? What are some of the political challenges that gentrification could present to cities? How have urban decision-makers responded to gentrification? How does gentrification contribute to what is happening on the ground from an urban resistance standpoint? This paper argues from a Marxist framework that gentrification (a) presents racialized challenges of density, diversity, and inequality; (b) urban decision-makers have largely responded by expanding gentrification efforts; and (c) gentrification itself may antagonize urban resistance movements. This argument follows from conducting case studies of Detroit and Brooklyn, where gentrification efforts and anti-gentrification movements have been observed and documented.

Three key findings emerge from the analysis. First, the process of gentrification starts with the racialization of a city’s inhabitants (read: the justification of their displacement) through patently white supremacist framing (Zukin, 2010; Quizar, 2019). Second, gentrification produces patently racialized outcomes for non-white people (Fullilove, 2001). Third, the dilemma of gentrification as a political process and the lack of meaningful urban policy responses to gentrification from local governments has given rise to urban anti-gentrification resistance movements. This paper has four sections. This first section discusses gentrification as a political process. The second section discusses urban resistance to gentrification. The third section analyzes the cases of Detroit and New York as sites of gentrification and anti-gentrification resistance. The fourth section concludes.

Gentrification as a political process

Gentrification defined

As an aspect of political economy, gentrification has been described and empirically examined by various scholars. Neil Smith has described gentrification as “the process by which poor and working-class neighborhoods in the inner city are refurbished by an influx of private capital and middle-class home buyers and renters” (Smith, 1996). Smith identifies the “rent gap,” a cycle of disinvestment and devalorization that establishes poor neighborhoods as sites of profitability, as a key factor in gentrification (Smith, 1987). Ipsita Chatterjee succinctly describes gentrification as “the theft of space from labor and its conversion into spaces of profit” (Chatterjee, 2014).

Gina Pérez comprehensively describes gentrification thusly:

…[A]n economic and social process whereby private capital (real estate firms, developers) and individual homeowners and renters reinvest in fiscally neglected neighborhoods through housing rehabilitation, loft conversions, and the construction of new housing stock. Unlike urban renewal, gentrification is a gradual process, occurring one building or block at a time. It also gradually displaces by increasing rents and raising property taxes (Pérez, 2002).

The previous scholars present valuable insights for what is a manifold political process with racial, economic, cultural, and spatial implications. This paper will rely on Samuel Stein’s definition of gentrification: “…[T]he process by which capital is reinvested in urban neighborhoods, and poorer residents and their cultural products are displaced and replaced by richer people and their preferred aesthetics and amenities” (Stein, 2019). Some have described gentrification as a net positive: it increases the number of affluent and educated persons, leading to a wealthier tax base, increased consumption of goods and services, and broader support for democratic political processes (Byrne, 2002). Others have posited that gentrification (namely, “residential concentration”) can have a beneficial effect but primarily for more educated groups (Cutler, Glaeser, & Vigdor, 2007), and may create job opportunities for the lower income residents, raise property values, enhance tax revenues, which could lead to improved social services via the wealthier tax base (Vigdor, Massey, & Rivlin, 2002). However, most of the literature points to gentrification as a net negative (Filion, 1991; Atkinson, 2002; Newman & Ashton, 2004; Lees, Slater, & Wyly, 2008; Shaw, 2008; Zukin, 2010; Brown-Saracino, 2010; Goetz, 2011).

Gentrification, as a multidimensional process, develops through some combination of three forms of “upgrading,” or renovation: economic (up-pricing), physical (redevelopment), and social (upscaling) (Marcuse, 2015). Up-pricing is the increased economic value of a neighborhood, namely the land it sits on.  Redevelopment, with respect to gentrification, is primarily a private undertaking (Marcuse, 2015). Upscaling refers to the pivot toward more affluent and educated people (Zukin, 2010). Within the United States context, “upgrades” take on a particularly racialized dynamic (Fullilove, 2001). These upgrades are led by capital employing racial segregation to secure private development (Stein, 2019).

Land is a key factor of gentrification

Land was a critical motivating factor for early American settlement (Campbell, 1959). Under a regime of racial capitalism,[1] land is a key factor in realizing both use and exchange values. Land is a both a “precondition for all commodities’ production and circulation, and a strange sort of commodity in and of itself” (Stein, 2019). Unlike other tradable or otherwise transportable commodities, land is a “fictitious form of capital that derives from expectations of future rents” (Harvey, 2013). Future rents are highly susceptible to demand- and supply-side pressures; therefore, the political economy cannot function without land prices and land markets for coordination. In treating land as a purely financial asset—an open field—for interest-bearing capital, it facilitates the circulation of anticipated surplus value production, bought, and sold according to the rent it yields (Harvey, 2018). The central contradiction of land under racial capitalism is its dual function as a collective good and commodity; a contradictory role as a site of social occupation and private ownership (Foglesong, 1986). It is on urban decision-makers to “reconcile” this contradiction for the capitalists [2] and workers. It is on the urban decision-maker to create the conditions wherein (1) capitalists can turn a profit; (2) labor power is reproduced; (3) infrastructure is maintained; and (4) basic welfare is ensured (Foglesong, 1986; Stein, 2019). The restructuring and redefinition of territorial foundations is central to the functioning private property regimes.

Private property generates dispossession

Private property [3] ownership exists at the nexus of racial capitalism. Robert Nichols argues that the “system of landed property” was fundamentally predicated on violent, legalized dispossession (particularly of Indigenous people) (Nichols, 2020). Racial capitalism reflects the “the social, cultural, political, and ideological complexes of European feudalisms” (Robinson, 2000) and institutionalizes a (colonial) regime of private property protection on that basis. Theft is generated as a recursive mechanism and “[r]ecursive dispossession is effectively a form of property-generating theft” (Burden-Stelly, 2020; Nichols, 2020). The institution of private property (especially and specifically in areas with Black people) manifests as a disjunction between the community’s use value and the exchange value of property (Pérez, 2004). Racial capitalism reproduces itself and a racist order through a series of supposedly race-neutral policies (Stein, 2019). In fact, race-neutral policies have been used to both “discredit and rationalize practices that perpetuate racial stratification” (Siegel, 2000). Modern American history has proven that racism can “coexist happily with formal commitments to objectivity, neutrality, and colorblindness” (Harris A. P., 1994).

Dispossession is justified by racialization

White supremacy is an underacknowledged political theory that articulates and structures the American polity. Even the origins of property rights within the United States are rooted in racial domination (Harris C. , 1993). It was the interaction of race and property that played a critical role in racially and economically subordinating Black and Indigenous people (Harris C. , 1993). Whiteness, as a historized social and legal construct, marks power and domination (Mumm, 2017), Blackness represents powerlessness, enslavement, and dispossession. Whiteness has, in various spaces, been “deployed as identity, status, and property, sometimes singularly, sometimes in tandem” (Harris C. , 1993). Whiteness is valorized and property ownership is an expression of whiteness; thus, property ownership is conflated with (white) personhood under racial capitalism (Safransky, 2014). Whiteness functions for racial exclusion (Harris C. , 1993) and capital advancement (Roediger, 2005). Racism is a feature of white supremacy and “its practitioners exploit and renew fatal power-difference couplings” (Gilmore, 2002). Dr. Ruth Wilson Gilmore has described racism as the “practice of abstraction, a death-dealing displacement of difference into hierarchies that organize relations within and between the planet’s sovereign political territories” (Bhandar & Toscano, 2015). It limits the life prospects of people it racializes, disproportionately burdens them with the costs of a “monetized and profit-driven world” while politically dislocating them from “the variable levers of power” that may well alleviate such burdens (Gilmore, 2002).

Racialized persons, especially Black people, confront the dual designations of superhumanity and subhumanity through their livelihoods. It is white supremacy that supports the synthesis of white domination through racial capitalism, across political, economic, and cultural geography. Black people are “fungible” in that they are commodifiable, their “captive [bodies]…vessel[s] for the uses, thoughts, and feelings of others” (Hartman, 1997). Black lives do not matter, the ways in which Black people’s bodies can serve white interests; however, matter a great deal. The settler-colonial logic of elimination and the white supremacist logic of Black fungibility converge around the question of gentrification (Quizar, 2019). The spatialization of race and the racialization of space is critical to the settler-colonial logic embedded in racial capitalism and the processes of gentrification (Safransky, 2014). Gentrification comes from a refusal of the would-be settlers to allow inconvenient, often racialized, inhabitants to prevent them from occupying a desired region. Therefore, much gentrification can be thought of as a “contestation of blacks and whites for urban space” (Vigdor, Massey, & Rivlin, 2002).

Urban Resistance to Gentrification

Gentrification has led to the demoralization of the people most directly affected (Chernoff, 2010). The consolidation of racialized class inequalities via accumulation through dispossession often emerges from the processes of gentrification (Harvey, 2008; Casgrain & Janoschka, 2013). It has also inspired anti-gentrification activism in response to the uncomfortable political economic pressures (Castells, 1983; Harvey, 2008; Kirkland, 2008; Zukin, 2009; Creasap, 2012). This activism often includes broad coalitions, across various heterogeneous groups and networks, united under common objectives that may apply to a variety of concrete challenges such as density, diversity, and inequality (Novy & Colomb, 2013; Domaradzka, 2018).

Urban resistance to gentrification has manifested as residents demanding a “right to the city,” wherein they attempt to assert their self-determination and autonomy by controlling their urban environment (Portalious, 2007; Pruijt, 2007). At various times and spaces, movements, organizers, and community-based groups may employ confrontation–resistance (insurrectionary/revolutionary) strategies against the state or participation–cooperation (reformist/counterrevolutionary) strategies with the state (Hackworth, 2002; Novy & Colomb, 2013). Tactics of urban resistance may include but are not limited to “the occupation of empty houses, demonstrations in favor of urban infrastructure, spontaneous celebrations, the rejection of zoning, demands concerning leisure, issues related to participation, self-management and alternative ways of everyday life” (Portalious, 2007). Any expression of urban resistance may provoke a response (or non-response) from the presiding local governing body .

There is a creative tension that exists between confrontation and cooperation strategies; some of the contradictions are antagonistic and some are non-antagonistic. The confrontation–resistance actors tend to be radical or anti-capitalist and favor insurrectionary/revolutionary postures with the local governing body, whereas the participation–cooperation actors favor a “reformed” capitalist system and dialogue with the local governing body (Novy & Colomb, 2013). Under the regime of racial capitalism, local governments prioritize and support the displacer class. This may intensify local struggles and heighten the socioeconomic contradictions. The power imbalance engenders conflict between the classes of displacers and the displacees. The city becomes a contested object “both for powerful groups and the grassroots” (Portalious, 2007). This contestation creates sociopolitical spaces for movements to confront gentrification as a force that operates for the benefit of the elites. For racialized subjects, resistance to gentrification may take on decolonial dimensions.

The Cases of Detroit and Brooklyn

The United States has a long legacy of dispossessing poorer people of adequate housing stock through racist urban planning and housing policy (Moskowitz, 2017; Stein, 2019). Gentrification relies upon legal, logistical, infrastructural, and technological capacities developed, maintained, and reproduced by the repressive and ideological state apparatuses of racial capitalism (Althusser, 2014; Stein, 2019). Local governments are structurally ordered to establish the spatial order (Stein, 2019); therefore, if the state is ordered under racial capitalism, the governing body must maintain and expand that system. Gentrification relies on severe urban divestment, which over time, creates “gentrifiable” building stock, or dirt-cheap real estate. This creates the incentive for urban reinvestment (Moskowitz, 2017; Stein, 2019). The history of American urban planning, operating under the logics of white supremacy and racial capitalism, is the purposeful spatial concentration of Black people and their subsequent divestment (Moskowitz, 2017). Few places exemplify the cycles of urban disinvestment–reinvestment like Detroit and Brooklyn. In both places, urban decision-makers have responded to the challenges of gentrification by gentrifying further.

Detroit as a site of gentrification and urban resistance

The post-World War II economic boom brought tens of thousands of Black people to Detroit where they sought economic opportunities in the industrial sphere (Moskowitz, 2017; Mallach, 2018). Detroit’s black population was 6,000 in 1910, 41,000 in 1920, 120,000 by the eve of the Great Depression, 149,000 in 1940, and 660,000 by 1970 (Mallach, 2018). The growth in the Black population coincided with white flight (Mallach, 2018): the city’s white population declined from 84 percent in 1950 to 54 percent in 1970 (Doucet, 2020). From the 1960s through the 1980s, Black families moved into the parts of Detroit vacated by former white residents (Mallach, 2018). As deindustrialization took hold, a (further) segregated landscape developed with the economic burdens falling disproportionately on Black people (Safransky, 2014). The Detroit debt crisis, along with the subprime lending crisis through “reverse redlining,” the Global Financial crisis, and fiscal austerity devastated Detroit’s inner urban core (Safransky, 2014; Mallach, 2018). Property prices rose steadily and home sales rose dramatically before culminating into a real-estate crash (Mallach, 2018). Sarah Safransky writes the following (Safransky, 2014):

In March 2014, the city began an unprecedented process of declaring bankruptcy. This decision followed Michigan’s Republican Governor Rick Snyder’s order that Detroit be placed under emergency management. Detroit is one of six cities in the state (all with predominantly black populations) that Snyder has deemed to be in financial crisis. Emergency managers – who are unelected – are tasked with balancing cities’ revenue and expenditure and are granted sweeping powers to do so. They nullify the power of elected officials and assume control of not just city finances but all city affairs, meaning they can break union contracts, privatize public land and resources, and outsource the management of public services (Peck, 2012, 2013).

By 2019, the U.S. Census Bureau reported the Black population at about 526,644 (79 percent) and the white population at about 97,825 (15 percent) (U.S. Census Bureau, 2019). When Detroit cratered, a space for gentrification opened. Detroit was described as a “New American Frontier” (Renn, 2011) and the incoming, usually white, residents were described as “urban pioneers” settling into “urban homesteads” (Quizar, 2019). For decades, the imagery around Detroit—the Blackest large city in the United States—centered around decaying abandoned architecture—the implication being “emptiness” and “vacancy” (Doucet, 2020).

Whiteness, in the Detroit context, acts as a tool to invisibilize Black residents, delegitimize their rights to spatially occupy political, economic, and cultural geography, and advance capital. Now that white people are resettling the city they had once abandoned, Detroit is making a “comeback” and it is the “New Brooklyn” (Quizar, 2019; Doucet, 2020). White people’s presence—along with their advanced buying power and aesthetic choices—confers “legitimacy.” It is white people who are “saving” Detroit from the failures of Black leadership and Black underproductivity (Quizar, 2019; Doucet, 2020). The majority Black population is devalorized (or dehumanized) in favor of the “empty” urban landscape in the “empty” city they occupy (Safransky, 2014; Quizar, 2019; Doucet, 2020). L. Brooks Patterson, the county executive of Oakland County, was asked by The New Yorker what should be done about Detroit’s financial woes. He answered, saying, “What we’re gonna do is turn Detroit into an Indian reservation, where we herd all the Indians into the city, build a fence around it, and then throw in the blankets and corn” (Quizar, 2019). The logic of elimination and Black fungibility are present even in the words and actions of one of the premier urban decision-makers. The racialization of Black Detroiters and the genocidal framing facilitates the processes of gentrification: accumulation through dispossession.

There is a long history of Black Detroiters engaging in political struggle, including ground-level mobilizations that connect America’s history of settler-colonialism with anti-Black racism, as manifested in Detroit’s patterns of gentrification (Quizar, 2019). Detroit’s Black neighborhoods have been described by anti-gentrification activists as “colonized Indigenous land and sites of Black containment, displacement, and resistance” (Quizar, 2019). The urban resistance movements in Detroit have used a blend of confrontational and participatory strategies. Urban resistance in Detroit has looked like residents, activists, and academics mobilizing research to counter positive narratives about gentrification (Safransky, 2014; Doucet, 2020). Many Detroiters have engaged in mutual aid projects and extended their communities of care (Safransky, 2014). Some have held anti- foreclosure and -eviction protests and demanded that negligent landlords “take care of land and buildings.” (Safransky, 2014). Some activists even engaged in more radical tactics such as squatting empty houses wherein families had been recently evicted (Safransky, 2014).

Brooklyn as a site of gentrification and urban resistance

New York’s Black population grew rapidly in the 20th century. It was not until the 1950s, the majority stopped living in Manhattan and shifted to Harlem (Chronopoulos, 2020). The legacy of redlining played a tremendous role in developing what would become Black Brooklyn (Chronopoulos, 2020). Between 1940 and 2000, the white population of Brooklyn declined by 67 percent; the Black population increased by 682.9 percent (Chronopoulos, 2020). White residents, “anxious” about the changing racial composition, fled for Staten Island, New Jersey, or Long Island (Osman, 2011). White Brooklynites tried everything they could to force non-white residents out, particularly neighborhood defense (Chronopoulos, 2020). According to Themis Chronopoulos:

Neighborhood defense included real estate agents and landlords who resorted to unofficial discrimination and refused to rent or sell housing to minority populations; financial institutions that denied mortgages and other loans to minority populations trying to relocate or open a business in a white neighborhood; white neighborhood residents who verbally and physically harassed minority residents who managed to rent or buy a property or youths who attacked minorities attending schools or using the public spaces of white neighborhoods; and the police that hassled minorities because they were frequenting white neighborhoods. In a general sense, neighborhood defense was an effort to maintain the racial exclusivity of white neighborhoods during a period of political mobilizations by African Americans demanding equality.

The legacy of neighborhood defense has ensured that racial segregation still defines Brooklyn today. White supremacy as structured through housing, financial, and employment discrimination—de jure and de facto, as well as the maldistribution of resources, public goods, white terrorism, police brutality, racially-biased sentencing, and a dearth of socioeconomic mobility, has had a lasting adverse effect on the livelihoods of Black Brooklynites directly and indirectly affected even to the present day. By the late 1940s, Black people were the majority of downtown Brooklyn, Fort Greene, Clinton Hill, Prospect Heights, Bedford Stuyvesant, and Crown Heights (Woodsworth, 2016). As a result of persistent real-estate blockbusting, East New York’s population flipped from overwhelmingly white in 1960 to overwhelmingly Black in 1966 (Chronopoulos, 2020). White Brooklynites engaged in neighborhood defense and spatial separation projects to prevent Black Brooklynites from “spreading” to other areas, but by 1980 most whites had abandoned Black Brooklyn (Chronopoulos, 2020).

Today, Brooklyn has 2.6 million residents (if it were a city, it would be the fourth largest in the United States) and 788,00 Black people—more Black residents than any city in the United States except for New York and Chicago (Chronopoulos, 2020). Despite this, the movement of middle- to upper-middle class white people has contributed to patterns of racial segregation and gentrification (Wyly, Newman, Schafran, & Lee, 2010; Shepard, 2013; Hyra, 2017). White Brooklynites have disproportionately benefited at the expense of Black Brooklyn. [4] Black fungibility is exemplified; the contagion of Blackness was historically spatially limited to protect white Brooklynites’ capital investment before white flight but meticulously expelled to expand white Brooklynites’ capital investment via gentrification.

Brooklyn, beset by the political challenges of deindustrialization, gentrification, globalization, has been a site of smaller scale contestations (Shepard, 2013). Residents have resisted rezoning efforts by drafting alternative “community plans” (Shepard, 2013). Brooklyn has been the site of urban resistance from wide coalitions of actors, from organizers, artists, global justice activists, and anti-war demonstrators (Shepard, 2013). Brooklynites have resisted evictions by engaging in eviction defense at the local level, protesting the development of big box stores, and developed community gardens, and fought police brutality (Shepard, 2013). Overall, the erosion of militancy has undermined effective anti-gentrification resistance within Brooklyn (Chronopoulos, 2020).

Conclusion

Gentrification has restructured and reconstituted urban space, reproducing new zones of privatization, exclusion, and homogenization (Kohn, 2013) via the racialized logics of elimination and Black fungibility. It induces urban instability and crises at the global urban scale, as real estate developers search for creative ways to maximize profit through and above antagonistic forces at the local level. The limited geographic investments that are tied to geospatial localities creates local dependence for firms, local governments, and residents (Cox and Mair 1988). Urban instability and crises are inherent to racial capitalist political economy; however, local governments may navigate by ensuring that the most politically disempowered, typically racialized, persons absorb the brunt of the economic burdens (Smith, 1996; Stein, 2019; Burden-Stelly, 2020). Black people are disproportionately displaced and dispossessed by gentrification in urban spaces as they occupy an identity of accumulation and deaccumulation (Burden-Stelly, 2020). This feat of racial capitalist political economy is accomplished through Black people’s structural location as simultaneously indispensable and disposable racialized subjects (Harris C. , 1993; Quizar, 2019; Burden-Stelly, 2020). The disposability, exchangeability, and expendability of Black people via purposive campaigns of dehumanization and devalorization accelerates the gentrification process, especially in the cases of Detroit and Brooklyn.

The devalorization of Black people for urban private property has been a constant feature of American racial capitalism since Black people ceased being legal chattel (Harris A. P., 1994). Thus, cities are “saved” when white people presumably “rescue” the urban centers and the decaying architecture from “Black underdevelopment, mismanagement, and underproductivity” (Quizar, 2019; Doucet, 2020). So, gentrification within the American context, functions as a more benign form of ethnic cleansing wherein racialized people are evacuated from urban centers; it may be presented as the result of non-violent market forces despite evidence to the contrary. Gentrification exacts “spatialized revenge” against the inconvenient racialized inhabitants of urban centers (Smith, 1996).

Racialized people may develop class consciousness because of the disruptions created by gentrification (Cox & Mair, 1988). Class consciousness among the racialized may be an altogether natural affair as “[r]ace is the modality in which class is lived.” (Hall et al., 2013). This class consciousness may develop into urban resistance against the political forces that allow gentrification to continue. The mobilization of resistance occurs as cleavages develop among the urban political establishment and opportunity for successful urban resistance manifests (Pruijt, 2007). As gentrification continues, contradictions emerge; gentrification as a phenomenon possesses both the conditions for its expansion and its contraction. The success of urban resistance movements against what is effectively urban colonization; however, is not guaranteed.

 

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U.S. Census Bureau. (2019, July 1). QuickFacts: Detroit city, Michigan; United States. Retrieved November 30, 2020, from https://www.census.gov/quickfacts/fact/table/detroitcitymichigan,US/PST045219

Vigdor, J. L., Massey, D. S., & Rivlin, A. M. (2002). Does gentrification harm the poor?[with Comments]. Brookings-Wharton papers on urban affairs, 133-182.

Woodsworth, M. (2016). Battle for Bed-Stuy: the long war on poverty in New York City. Cambridge: Harvard University Press.

Wyly, E., Newman, K., Schafran, A., & Lee, E. (2010). Displacing New York. Environment and Planning A, 2602-2623.

Zukin, S. (2009). Changing landscapes of power: Opulence and the urge for authenticity. International Journal of Urban and Regional Research, 543-553.

Zukin, S. (2010). Gentrification as market and place. In J. Brown-Saracino, The Gentrification Debates: A Reader (pp. 37-44). New York: Routledge.

 

Notes

[1] Racial capitalism does not describe a distinct permutation of capitalism or imply there exists a non-racial capitalism, but rather emphasizes that, in the words of Dr. Ruth Wilson Gilmore, “capitalism requires inequality and racism enshrines.” As a system of political economy, it depends on racist practices and racial hierarchies because it is a direct descendent of settler-colonialism. It is a translation of the “racial, tribal, linguistic, and regional” antagonisms of European feudal society, reconstituted for the American context. It profits off the differentiated derivations of human values, non-white people are especially devalued and their exploitation is a justifiable and profitable enterprise (see Cedric Robinson’s Black Marxism: The making of the Black radical tradition. University of North Carolina Press, 2000).

[2] Although the capitalist class makes up what Marxists refer to as the ruling-class, there still exists contradictions within the ruling-class about certain objectives and interests, especially with respect to gentrification. Neil Smith once noted this, saying, “to explain gentrification according to the gentrifier’s actions alone, while ignoring the role of builders, developers, landlords, mortgage lenders, government agencies, real estate agencies is excessively narrow.” A business owner may want their workers (who are also tenants) to have affordable housing because it reduces the likelihood that workers would demand raises. Real estate developers would dislike “affordable housing” as that puts a constraint on their ability to maximize profits on rental properties. There are a lot of competing interests to consider and an uncareful conflation of capitalist interests could lead to unanalytical analysis.

[3] Private property is not the same as personal property, which is almost exclusively wielded for its use value, it is not a personal possession, it is social relation of excludability. It is the ownership of capital as mediated by private power ownership that removes legal obstacles for one’s existence and provides an unalloyed right to violence. It is “the legally-sanctioned power to dispose” of the factors of production and “thus dispose of [labor-power]: property as synonymous with capital.” Toscano, Alberto, and Brenna Bhandar. “Race, real estate and real abstraction.” Radical Philosophy 194 (2015): 8–17.

[iv] [4] This paper, drawing upon Chronopoulos’ article, What’s Happened to the People?” Gentrification. Journal of African American Studies, 549-572., defines Black Brooklyn as “Fort Greene, Clinton Hill, Bedford-Stuyvesant, Prospect Heights, Crown Heights, Brownsville, Ocean Hill, East New York, Canarsie, Flatlands, East Flatbush, Flatbush, parts of Bushwick, and parts of downtown Brooklyn.

Against Enclosure: The Commonwealth Men

[Pieter Bruegel the Elder : The Harvesters (oil painting from 1565)]

By Ian Angus

Republished from Climate & Capitalism.

“I must needs threaten everlasting damnation unto them, whether they be gentlemen or whatsoever they be, which never cease to join house to house, and land to land, as though they alone ought to purchase and inhabit the earth.”

—Thomas Cranmer, Archbishop of Canterbury, 1550[1]

“Accumulate, accumulate! That is Moses and the prophets!”

Karl Marx, 1867[2]

The privatization of land has been justly described as “perhaps the weirdest of all undertakings of our ancestors.”[3]

Enclosure — the transformation of common resources into private property — was a fundamental feature of the rise of capitalism in early modern England. It involved not only new ways of using the land, but also, as both cause and effect, new ways of thinking about it.

The idea that individuals could claim exclusive ownership of parts of nature on which all humans depend was very weird indeed. Contrary to the oft-expressed view that greed is inherent in human nature, the shift from commons-based to private-profit-based farming was not accepted easily — in fact, it was denounced and resisted as an assault of the laws of God and the needs of humanity.

Henry VIII died in 1547, succeeded as king by Edward VI, then only nine years old. For the next six years, actual political power rested with a regency council, headed by the Duke of Somerset until 1549, and by the Duke of Northumberland from late 1549 until Edward’s death in 1553.

Somerset and Northumberland were strong protestants who wanted the English church to move farther from catholic doctrine and practices than Henry had allowed. To promote that, the law outlawing heresy was repealed and censorship was relaxed, beginning a period that has been called “the first great era in the history of English public discussion.”[4]

Liberal protestants took advantage of that opening to campaign vigorously, not just for religious reform, but against sin and corruption in society at large, particularly the erosion of traditional economic values. Their powerful condemnations of greedy landlords and merchants circulated both as books and sermons addressed to the wealthy, and as inexpensive pamphlets and broadsides that were sold in city streets.

They don’t seem to have acted as an organized group, but their speeches and writings clearly reveal the presence of a strong current of anti-capitalist opinion in England in the mid-1500s. Because they focused on the common weal — common good — historians have labelled them the commonwealth men.

Cormorants and greedy gulls

R.H. Tawney’s 1926 book Religion and the Rise of Capitalism remains the best account of the complex connections between social and religious criticism in Tudor England.

“It was an age in which the popular hatred of the encloser and the engrosser found a natural ally in religious sentiment, schooled, as it was, in a tradition which had taught that the greed of gain was a deadly sin, and that the plea of economic self-interest did not mitigate the verdict, but aggravated the offence.

“In England, as on the Continent, doctrinal radicalism marched hand in hand with social conservatism. The most scathing attack on social disorders came, not from the partisans of the old religion, but from divines on the left wing of the Protestant party, who saw in economic individualism but another expression of the laxity and licence which had degraded the purity of religion, and who understood by reformation a return to the moral austerity of the primitive Church, no less than to its government and doctrine.”[5]

The great sin they condemned was covetousness — the desire to accumulate ever more wealth. Hugh Latimer, the most popular preacher of the day, condemned landlords’ greed in general, and enclosure in particular, in a sermon preached before the King and other worthies.

“You landlords, you rent-raisers, I may say you step-lords, you unnatural lords, you have for your possessions yearly too much. For what here before went for twenty or forty pound by year, (which is an honest portion to be had gratis in one lordship of another man’s sweat and labour) now is let for fifty or an hundred pound by year. … Too much, which these rich men have, causes such dearth, that poor men, which live of their labour, cannot with the sweat of their face have a living …

“These graziers, enclosers and rent-raisers, are hinderers of the King’s honour. For where as have been a great many householders and inhabitants there is now but a shepherd and his dog.”[6]

Those views found support in the country’s top ruling circles. The Book of Private Prayer, prepared by Archbishop Cranmer and other officials of the established church in 1553, included a prayer “For Landlords.”

“We heartily pray Thee to send Thy Holy Spirit into the hearts of those that possess the grounds and pastures of the earth, that they remembering themselves to be Thy tenants may not rack nor stretch out the rents of their lands, nor yet take unreasonable fines. … Give them grace also … that they … may be content with that which is sufficient and not join house to house and land to land, to the impoverishment of others, but so behave themselves in letting out their lands, tenements and pastures that after this life they may be received into everlasting dwelling places.”[7]

One of the most vehement critics of greed and exploitation was the London-based printer and poet Robert Crowley, who offered this explanation for the 1549 peasant rebellions.

“If I should demand of the poor man of the country what thing he thinks to be the cause of Sedition, I know his answer. He would tell me that the great farmers, the graziers, the rich butchers, the men of law, the merchants, the gentlemen, the knights, the lords, and I can not tell who; men that have no name because they are doers of all things that any gain hangs upon. Men without conscience. Men utterly devoid of God’s fear. Yea, men that live as though there were no God at all! Men that would have all in their own hands; men that would leave nothing for others; men that would be alone on the earth; men that be never satisfied.

“Cormorants, greedy gulls; yea, men that would eat up men, women, & children, are the causes of Sedition! They take our houses over our heads, they buy our lands out of our hands, they raise our rents, they levy great (yea unreasonable) fines, they enclose our commons! No custom, no law or statute can keep them from oppressing us in such sort, that we know not which way to turn so as to live.”[8]

Condemning “lease mongers that cancel leases on land in order to lease it again for double or triple the rent,” Crowley argued that landlords should “consider themselves to be but stewards, and not Lords over their possessions.”

“But so long as this persuasion sticks in their minds — ‘It is my own; who shall stop me from doing as I like with my own as I wish?’ — it shall not be possible to have any redress at all. For if I may do with my own as I wish, then I may suffer my brother, his wife, and his children toil in the street, unless he will give me more rent for my house than he shall ever be able to pay. Then may I take his goods for that he owes me, and keep his body in prison, turning out his wife and children to perish, if God will not move some man’s heart to pity them, and yet keep my coffers full of gold and silver.”[9]

Back to the feudal

While no one can doubt the sincerity of their criticism of the rich, the commonwealth men were also “united in denouncing the rebels, whose sin could never be justified even if their grievances could.”[10]

The Archbishop of Canterbury, whose denunciation of wealth accumulation is quoted at the beginning of this article, also, in the same sermon, condemned “unlawful assemblies and tumults,” and people who “confound all things upsy down with seditious uproars and unquietness.” “God in his scriptures expressly forbids all private revenging, and had made this order in commonwealths, that there should be kings and governors to whom he has willed all men to be subject and obedient.”[11]

Speaking of the 1549 rebellions, Latimer declared that “all ireful, rebellious persons, all quarrelers and wranglers, all blood-shedders, do the will of the devil, and not God’s will.” Disobedience to one’s superiors was a major sin, even if the superiors were themselves violating God’s laws. “What laws soever they make as concerning outward things we ought to obey, and in no wise to rebel, although they be never so hard, noisome and hurtful.”[12]

Immediately after condemning landlords as cormorants and greedy gulls, Crowley told the 1549 rebels that they had been misled by the devil: “to revenge wrongs is, in a subject, to take an usurp the office of a king, and, consequently, the office of God.” The poor should suffer in silence, awaiting royal or divine intervention.

Like the nineteenth century “feudal socialists” who Marx and Engels criticized three centuries later, the commonwealth men were literally reactionary — they wanted “to roll back the wheel of history.” “From the ills of present-day society this group draws the conclusion that feudal and patriarchal society should be restored because it was free from these ills.”[13]

As historian Michael Bush says, the commonwealth men “showed concern for the poor, but accepted the need for poverty.”

“Without exception they subscribed to the traditional ideal of the state as a body politic in which every social group had its place, function and desert. … They pleaded with rulers to reform society, and proposed various means, but not by changing its structure. Their thinking was paternalistic and conservative. Although they censured the nobility, it was for malpractices, not for being ruling class.”[14]

English protestant reformers in the mid-1500s “inherited the social idea of medieval Christianity pretty much in its entirety,” so their views were “especially antithetical to the acquisitive spirit that animated the emerging society of capitalism.”[15]

In the 1500s, Tawney wrote, “the new economic realities came into sharp collision with the social theory inherited from the Middle Ages.”[16] What shocked and frightened the commonwealth men was not just poverty, but the growth of a worldview that repudiated “the principles by which alone, as it seemed, human society is distinguished from a pack of wolves.”

“That creed was that the individual is absolute master of his own, and, within the limits set by positive law, may exploit it with a single eye to his pecuniary advantage, unrestrained by any obligation to postpone his own profit to the well-being of his neighbours, or to give account of his actions to a higher authority.”

The wolf-pack creed they were fighting, Tawney commented ironically, was “the theory of property which was later to be accepted by all civilized communities.”[17]

A Losing Battle

The commonwealth men were eloquent and persuasive, but they were fighting a losing battle. The aristocrats who owned most of England’s farmland and controlled the government could tolerate public criticism and ineffective laws, but not anything that actually threatened their wealth and power. They blamed the 1549 rebellions on the critics, and quickly ousted the Duke of Somerset, the only member of the regency council who seemed to favor enforcing the anti-enclosure laws.

What remained of the commonwealth campaign collapsed after 1553, when the catholic Mary Tudor became queen and launched a vicious reign  of terror against protestants. Some 300 “heretics,” including Hugh Latimer and Thomas Cranmer, were burned at the stake, and hundreds more fled to protestant countries on the continent.

Capitalist practices already had a strong foothold in the countryside in the 1540s, and they spread rapidly in the rest of the century, without regard to what Christian preachers might say. “Forms of economic behavior which had appeared novel and aberrant in the 1540s were becoming normalized virtually to the point of being taken for granted.”[18]

For landowners who wanted to preserve their estates, that shift wasn’t a choice. It was forced on them by changes beyond their control.

“Between the beginning of the sixteenth century and 1640 prices, particularly of foodstuffs, rose approximately sixfold. … [This] put an unusual premium on energy and adaptability and turned conservatism from a force making for stability into a quick way to economic disaster. Landed families which stuck to the old ways, left rents as they were, and continued to grant long leases soon found themselves trapped between static incomes and rising prices.”[19]

As a result, the trends that Latimer and his co-thinkers opposed actually accelerated, and their vision of a reborn feudal paternalism was replaced in ruling class thought by what historian C.B. MacPherson calls “possessive individualism” — the view that society is a collection of market relations between people who have an absolute right to do as they wish with their property.[20] That view has remained central to all variants of capitalist ideology, down to the present.

Parliament never passed another anti-enclosure bill after 1597, and the Stuart kings who succeeded the Tudors in 1603 only gave lip-service to protecting the poor from enclosure. “Commissions were issued from time to time for the discovery of offenders, but their crimes were pardoned on payment of a money fine. The punishment of enclosers had degenerated into a revenue-raising device and little else.”[21]

As Christopher Hill writes, in the century before the English Revolution, ruling class attitudes toward the land changed radically. “No government after 1640 seriously tried either to prevent enclosures, or even to make money by fining enclosers.”[22]

But only the rich had decided that land privatization was a good idea. The poor continued to resist that weird undertaking, and for some, the objective now was communism.

To be continued …

Notes

I have modernized spelling, and occasionally grammar and vocabulary, in quotations from 16th and 17th century authors.

[1] Thomas Cranmer, “A Sermon on Rebellion,” The Works of Thomas Cranmer, ed. John Edmund Cox (Cambridge University Press, 1846), 196. The date 1550 is approximate.

[2] Karl Marx, Capital, vol. 1, (Penguin Books, 1976), 742.

[3] Karl Polanyi, The Great Transformation (Beacon Press, 2001), 178.

[4] Arthur B. Ferguson, The Articulate Citizen and the English Renaissance (Duke University Press, 1965), xiii.

[5] Richard H. Tawney, Religion and the Rise of Capitalism: A Historical Study (Angelico Press, 2021 [1926]), 140-41.

[6] Hugh Latimer, “The First Sermon Preached before King Edward, March 8, 1549,” Sermons by Hugh Latimer, (Christian Classics Ethereal Library)

[7] Quoted in Thomas Edward Scruton, Commons and Common Fields (Batoche Books, 2003 [1887]), 81-2.

[8] Robert Crowley, “The Way to Wealth,” The Select Works of Robert Crowley, ed. J.M. Cowper, (Kegan Paul Trench Trubner & Co., 1872), 132-3.

[9] Robert Crowley, “An information and petition against the oppressors of the poor commons of this realm,” The Select Works of Robert Crowley, ed. J.M. Cowper, (Kegan Paul Trench Trubner & Co., 1872), 162, 157.

[10] Catharine Davies, A Religion of the Word: The Defence of the Reformation in the Reign of Edward VI (Manchester Univ. Press, 2002), 159.

[11] Thomas Cranmer, “A Sermon on Rebellion,” The Works of Thomas Cranmer, ed. John Edmund Cox (Cambridge University Press, 1846), 192, 193

[12] Hugh Latimer, “The Fourth Sermon upon the Lord’s Prayer (1552)” Sermons by Hugh Latimer, (Christian Classics Ethereal Library) https://ccel.org/ccel/latimer/sermons/

[13] Karl Marx & Frederick Engels, Collected Works, vol. 6, (International Publishers, 1976) 494, 355.

[14] M. L. Bush, The Government Policy of Protector Somerset (Edward Arnold, 1975), 61.

[15] Arthur B. Ferguson, The Articulate Citizen and the English Renaissance (Duke University Press, 1965), 248.

[16] Tawney, Religion and the Rise of Capitalism, 135.

[17] Tawney, Religion and the Rise of Capitalism, 146-7.

[18] Keith Wrightson, Earthly Necessities: Economic Lives in Early Modern Britain (Yale University Press, 2000), 202.

[19] Lawrence Stone, The Crisis of the Aristocracy, 1558-1641 (Oxford University Press, 1965), 188, 189-90.

[20] C. B. Macpherson, The Political Theory of Possessive Individualism: Hobbes to Locke (Oxford University Press, 1962).

[21] Joan Thirsk, “Enclosing and Engrossing, 1500-1640,” in Agricultural Change: Policy and Practice 1500-1750, ed. Joan Thirsk (Cambridge University Press, 1990), 67.

[22] Christopher Hill, Reformation to Industrial Revolution (Weidenfeld & Nicolson, 1968), 51.

Rock-A-Bye Baby: On the State's Legitimation of Juneteenth and Liberal Concessions as Political Anesthetization In Slavery's Afterlives

(AP Photo/J. Scott Applewhite)

By Joshua Briond

“Everything has changed on the surface and nothing else has been touched[...] In a way, the state is more powerful than ever, because it has given us so many tokens.”

—James Baldwin

On Thursday, June 17th, President Joe Biden signed a bill establishing June 19 as Juneteenth National Independence Day, a US federal holiday commemorating the end of slavery in the United States. According to CNN, the holiday will become the first federal law holiday established since Martin Luther King Jr. Day was signed into law in 1983. Ultimately, the bill will allow a fragment of the nations’ surplus populations —excluding much of the largely racialized lumpenproletariat and underclass— a day ‘free’ from the capitalist exploitation and alienation that comes with the traditional day-to-day of the laboring class. The timing of the implementation of the national holiday—amidst rebellions, particularly in Minneapolis, in the aftermath of Winston Smith’s clearly politically-motivated, state-sanctioned assassination—cannot be understood as anything other than yet another attempt at anesthetizing the captive Black colonies in sentimentality and symbolic gestures. 

"this is the afterlife of slavery—skewed life chances, limited access to health and education, premature death, incarceration, and impoverishment. i, too, am the afterlife of slavery."

—saidiya hartman, lose your mother: a journey along the atlantic slave route (2006)

The institution of Black slavery, that rendered Black captives as chattel, capital, productive property, was economically, culturally, and politically ubiquitous. Yet, despite its legacies and afterlives, there has been no material reckoning, or atonement for its anti-Black psychosexual and physical terror and violence. In fact, the ghosts of what is largely understood as slavery’s past, have continued to manifest in the economic polity, modern policing and prisons, and social, cultural, and ideological underpinnings, etc. Descendants of Black captives whom, in many ways, remain hyper-surveilled, overpoliced, hyper-exploited, underpaid, alienated, and often succumbed to occupation of our communities and premature death, have little-to-nothing to show for being major instruments in assembling and maintaining the global capitalist economy since we were trafficked to the Euro-Americas. But you are damn sure we have one month per year, and now an extra day, to learn about and hashtag-celebrate the most whitewashed and bleak articulations of Black historical events—events that have largely only taken place because of Black resistance to white terror, violence, and domination. 

“A critical genealogy of White Reconstruction requires close examination of the non-normative—nonwhite, queer, non-Christian, and so on—iterations of white supremacy within contemporary institutionalizations of diversity, inclusion, and multiculturalism. Such non-normativities are constitutive of (rather than incidental or exceptional to) the protocols, planning, and statecraft of contemporary counterinsurgency/domestic war, extending and complicating rather than disrupting or abolishing the historical ensembles of anti-Black and racial-colonial state violence.” 

—Dylan Rodriguez, White Reconstruction 

Since 1776 and the founding of the United States of America, the white power structure has been in a constant state of attempting to—arguably, at times, successfully—ideologically and politically sedate the most wretched, particularly the Black colonies, through incremental concessions and symbolic gestures while ultimately supplementing white rule. As Gerald Horne has taught us, this founding itself was brought into being after a successful power struggle against the British rulers to preserve the institution of Black slavery. As noted by Dylan Rodriguez in the epigraph above, and throughout his book White Reconstruction, the white settler-colonial state has had to “undergo substantive reform to remain politically and institutionally viable.” This includes, but is not limited to, incremental (neo)liberal reform as sedation and the multicultural diversification of settler-colonial, surveillance-capitalist, and imperialist apparatuses.

If we are to understand the American project itself as a consequence of intra-European counterrevolution to preserve the institution of slavery. The civil war as described by Frederick Douglass, “[starting] in the interest of slavery on both sides[...]both despising the Negro, both insulting the Negro.” The Reconstruction era as an attempt to establish a workers-democracy—in the aftermath of the countless slave revolts across North America and the Civil War ultimately ending chattel slavery—only to be defeated by ruling class forces. Jim Crow as an inevitability of the settler state and its individual deputized upholders’ idiosyncratic anxieties surrounding the collapsing synonymity of Blackness and the slave positionality. The Civil Rights Movement as an understandably decentralized reformist effort toward Black freedom, through attempts to expand the civil liberties of Black people within the American colony, co-existence with whites within the white power structure that became co-opted by the state ordained Black bourgeoisie and US intelligence leading to mild concessions. Then, we—as Black people—have to understand that we have been in an outright war of attrition with the white power structure for nearly half a millennium.

It is important to recontextualize major historical events — from the Civil War, to the crushing of the Reconstruction era, to Jim Crow, to the Civil Rights Movement, to the rise of neoliberalism and the expansion of the carceral regimes posited as the solution to Black rebellion in the 1980s, to modern policing and prisons, etc. — are all distinct types of “reforms” to politically sedate Black surplus populations and sustain white settler-capitalist hegemony. 

In an interview at Howard University, Gerald Horne discusses the weakening and marginalization of Black radical independent institutions, publications, and leaders, such as Shirley Graham, W. E. B. Du Bois, Paul Robeson, as a trade-off to disintegrate Jim Crow in return for the Civil Rights Act of 1964, Voting Rights Act of 1965, and “other examples of legislation meant to chip away at Jim Crow.” Horne goes on to question whether the price for political “freedom,” in the electoral arena (which many Black radicals would argue, in the age of neocolonialism and pseudo-independence was never actually freedom) was substantial enough to warrant celebration as a form of Black progress without the economic infrastructure and self-determination needed for true liberation and justice. Just like in the 60s, as Horne notes, we are still performing uneven trade-offs with white power. We demand an end to police terror with Defunding the Police at the outset; they give us painted Black Lives Matter streets, while celebritizing, commodifying, and cannibalizing the names and faces of Black martyrs like George Floyd and Breonna Taylor. We demand healthcare, living wages, and erased student loans; they give us a federal holiday. In the post-Civil Rights era, and the state’s crushing of Black Power, there has been a depoliticization, if not outright assassination, of Black politics: all symbolism, uneven trade-offs, bare-minimum concessions, and identity reductionist representation as a substitute for actual Black power and self-determination. In the era of neo-colonialism, with the expansion and symbolic inclusion into the plantation economy through our coerced [lumpen]proletarization, we have been anesthetized to our continued exploitation, alienation, destruction, and genocide. Liberal multiculturalism, reform, or as I would call it, political anesthetization, at the very least, temporarily, has been able to halt the “problem” of black resistance.

“The understanding that modern policing has emerged out of the dreadful history of Black enslavement brings with it an urgent need to acknowledge what is not yet behind us. The plantation isn’t, as so many of us, Black and otherwise, think or at least wish to believe, a thing of the past; rather, the plantation persists as a largely unseen superstructure shaping modern, everyday life and many of its practices, attitudes, and assumptions, even if some of these have been, over time, transformed.”

- Rinaldo Walcott, “On Property” 

Though there has been a virtual erasing of our chains and the physical plantation (at least for those of us who are not “legally” incarcerated), the plantation economy has expanded and the mere logics and ideological production have remained the same: keep the slave(s) in check. The white power structure has always been concerned with keeping its thumb on the pulse of its slave population. There has been a non-stop, coordinated counterinsurgent effort by the white power apparatus to divert energy away from the inevitable radical potentialities of the slave, colonized, dispossessed, and superexploited classes—especially as capitalism’s contradictions become far too blatant to disguise. The marking of Juneteenth National Independence Day is just a continuation of the settler society’s legacy of empty promises and symbolic gestures to supplant material gains and maintain their hegemony. 

The United States is incapable of bringing about true justice or accountability for the crimes of its psychosexual and political economy beyond these hauntingly insulting and psychopathic attempts at state recognition of its own historical aberrations through moral symbolism. True justice and accountability must be avoided at all costs by this power structure, as this would inevitably expand the political imaginations of people, leading to the incrimination of every cop, soldier, politician, wall street hack, ceo, etc., and exposing itself for what it is: illegitimate and obsolete. Once you realize that all of the violence being exported everyday in and around the US are not individual aberrations that could be changed with a shift in political leadership, but an inevitable and continual outcome of superstructures built on and sustained through anti-Black slavery, capitalism, colonialism, and imperialism, everything begins to make sense. It is liberatory. Heartbreaking. Infuriating, even. Because the solution becomes clear. It is the solution that everyone—whether subconsciously or not—is doing everything in their power to avoid coming to. It is the solution the United States and its propaganda networks spend billions of dollars every year to shield from the psyches of its captives. It is what Black captives in Haiti realized circa 1791, and are still being punished for ‘till this day. 

There is a special, psychopathic irony in the legitimation of Juneteenth through the colonial-capitalist state’s immortalizing of the liberation of the slaves through the very structural foundations in which said slaves were rendered productive property as captives, in which the legacies of slavery remain pervasive across social, cultural, political, and economic lineages. Not to mention the colonial and imperialist technologies inspired largely by the events of (anti-)Black slavery and colonialism, exported across the imperialized world for the purposes of land, capital, and resources—under the guise of (white) freedom and democracy. To paraphrase Frederick Douglass, what is the state’s recognition of Juneteenth to its Black captives? To the Afro-Palestinians living under the world’s largest open-air prison on the United States’ dime? Or the slave-labor of mineral miners in the Congo supplying the U.S. resources? How can visualizations of Nancy Pelosi and Black lawmakers singing Lift Every Voice and Sing in ceremony for the bill making Juneteenth a federal holiday—while actively rejecting Black organizers’ rallying cries that could improve Black people’s material conditions and save lives, such as Defunding the Police— signal anything other than yet another colonial lullaby to anaesthetize our dreams and efforts toward Black liberation and self-determination? While openly and unapologetically pledging their allegiance to multiculturalist white supremacy in the age of neocolonialism? 

“Let me put it this way, that from a very literal point of view, the harbors and the ports, and the railroads of the country, the economy, especially of the southern states, could not conceivably be what it has become, if they had not had and do not still have, indeed, for so long and for so many generations, cheap labor. I am stating very seriously, and this is not an overstatement: I picked the cotton, and I carried it to the market, and I built the railroads under someone else’s whip for nothing[...] This, in the land of the free, and the home of the brave. And no one can challenge that statement, it is a matter of a historical record. In another way, this dream is at the expense of the American Negro.”

—James Baldwin, 1965

Five Characteristics of Neo-imperialism: Building on Lenin's Theory of Imperialism in the Twenty-First Century

By Cheng Enfu and Lu Baolin

Neoimperialism is the specific contemporary phase of historical development that features the economic globalization and financialization of monopoly capitalism. The characteristics of neoimperialism can be summed up on the basis of the following five key features. First is the new monopoly of production and circulation. The internationalization of production and circulation, together with the intensified concentration of capital, gives rise to giant multinational monopoly corporations whose wealth is nearly as great as that of whole countries. Second is the new monopoly of finance capital, which plays a decisive role in global economic life and generates a malformed development, namely, economic financialization. Third is the monopoly of the U.S. dollar and intellectual property, generating the unequal international division of labor and the polarization of the global economy and wealth distribution. Fourth is the new monopoly of the international oligarchic alliance. An international monopoly alliance of oligarchic capitalism, featuring one hegemonic ruler and several other great powers, has come into being and provides the economic foundation for the money politics, vulgar culture, and military threats that exploit and oppress on the basis of the monopoly. Fifth is the economic essence and general trend. The globalized contradictions of capitalism and various crises of the system often undergo an intensification that creates the new monopolistic and predatory, hegemonic and fraudulent, parasitic and decaying, transitional and moribund form of contemporary capitalism as late imperialism.

The historical evolution of capitalism has passed through several distinct stages. At the beginning of the twentieth century, capitalism reached the stage of private monopoly, which V. I. Lenin termed the imperialist stage. The era of imperialism brought with it the law of uneven economic and political development. In order to expand overseas and redistribute the territory of the world, the leading powers formed various alliances and launched a fierce struggle that led to two world wars. Eurasia suffered from continuous wars throughout the first half of the twentieth century. One after the other, national democratic revolutions and the communist movement developed continuously. After the Second World War, a number of economically underdeveloped countries adopted a socialist path of development, intensifying the confrontation between capitalism and socialism. Although The Communist Manifesto had long anticipated that capitalism would inevitably be replaced by socialism, this was only possible in a very few countries. The capitalist and imperialist system, despite suffering grave problems, survived. From the 1980s and early ’90s, capitalism carried out a strategic shift to neoliberal policies and evolved into its neoimperialist phase. This represents a new phase in the development of imperialism following the Cold War.

In his book Imperialism, the Highest Stage of Capitalism, Lenin set out the definition and characteristics of imperialism as follows:

If it were necessary to give the briefest possible definition of imperialism we should have to say that imperialism is the monopoly stage of capitalism.… We must give a definition of imperialism that will include the following five of its basic features: (1) the concentration of production and capital developed to such a high stage that it has created monopolies which play a decisive role in economic life; (2) the merging of bank capital with industrial capital, and the creation, on the basis of this “finance capital,” of a financial oligarchy; (3) the export of capital as distinguished from the export of commodities acquires exceptional importance; (4) the formation of international monopolist capitalist associations which share the world among themselves, and (5) the territorial division of the whole world among the biggest capitalist powers is completed. Imperialism is capitalism at that stage of development at which the dominance of monopolies and finance capital is established; in which the export of capital has acquired pronounced importance; in which the division of the world among the international trusts has begun; in which the division of all territories of the globe among the biggest capitalist powers has been completed.1

In an article published in December 1917, Lenin further elaborated that: “Imperialism is a specific historical stage of capitalism. Its specific character is threefold: imperialism is monopoly capitalism; parasitic, or decaying capitalism; moribund capitalism.”2

Based on Lenin’s theory of imperialism, we shall analyze contemporary capitalism while bearing in mind the recent changes it has undergone. Neoimperialism, we shall argue, is the phase of late imperialism that has arisen in the contemporary world, against the background of economic globalization and financialization.3 The character and features of neoimperialism can be summarized, as stated, around five aspects.

The New Monopoly of Production and Circulation

Lenin stated that the most profound economic foundation of imperialism is monopoly. This is deeply rooted in the basic law of capitalist competition, which holds that competition results in the concentration of production and capital, and that this concentration will inevitably lead to monopoly when it reaches a certain level. In the early years of the twentieth century, the capitalist world experienced two huge waves of corporate mergers as the concentration of capital and of production reinforced each other. Production came increasingly to be concentrated in a small number of large companies, with the process bringing about organization on the basis of industrial monopolies with cross-sector multiproduct management. Instead of free competition, monopoly alliances held sway. Beginning in the early 1970s, capitalism encountered a “stagflation” crisis that lasted for nearly ten years, followed by a period of secular stagnation, or a long-term decline in growth rates. Economic recession and competitive pressures in the domestic market drove monopoly capital to seek new growth opportunities overseas. With the support of a new generation of information and communications technologies, foreign direct investment and international industrial transfers have continually reached new heights, with the degree of internationalization of production and circulation dwarfing that of the past.

Monopoly capital is being redistributed globally from production to circulation. Through the decentralization and internationalization of production processes, a system has arisen in which global value chains and the operational networks for organizing and managing multinational corporations have been divided up. The multinational companies coordinate their global value chains through complex networks of supplier relationships and through various governance models. In such systems, the processes involved in the production and trading of intermediate products and services are divided up and distributed around the world. The input and output transactions are carried out in the global production and service networks of the subsidiaries, contract partners, and suppliers of the multinational companies. According to statistics, about 60 percent of global trade consists of the exchange of intermediate products and services, and 80 percent of it is achieved via multinational companies.4

Within the new monopoly structures, the second characteristic of neoimperialism is the internationalization of production and circulation. The further concentration of capital leads to the rise of giant monopoly multinational corporations whose wealth may be as great as that of whole countries. Multinational corporations are the true representatives of contemporary international monopolism. The characteristics of the giant monopoly corporations can be summarized as follows.

  1. The number of multinational corporations has grown globally, and the degree of socialization and internationalization of production and circulation has reached a higher level.

    Since the 1980s, multinational corporations have become the main driving force of international economic intercourse as the bearers of foreign direct investment. In the 1980s, foreign investment worldwide grew at an unprecedented rate, much faster than the growth during the same period of other major economic variables such as world output and trade. In the 1990s, the scale of international direct investment reached an unprecedented level. Multinationals established branches and affiliates around the world via foreign direct investment, the volume of which had expanded dramatically. Between 1980 and 2008, the number of global multinational companies increased from 15,000 to 82,000. The number of overseas subsidiaries grew even faster, from 35,000 to 810,000. In 2017, an average of over 60 percent of the assets and sales of the world’s one hundred top nonfinancial multinational companies were located or achieved abroad. Foreign employees accounted for approximately 60 percent of total staff.5

    Ever since the capitalist mode of production came into being, the concentration of production activities, expanding collaboration, and the evolution of the social division of labor have led to a continuous increase in the socialization of production. The decentralized labor processes are increasingly moving toward a joint labor process. The facts have proved that the sustained growth of outward foreign direct investment has strengthened the economic ties between all countries, as well as significantly increased the level of socialization and internationalization of the production and distribution systems, in which multinationals play a key role as the dominant force at the micro level. The internationalization of production and the globalization of trade have extensively redefined the way in which countries participate in the international division of labor, and this in turn has reshaped the production methods and profit models within those countries. Throughout the world, the majority of countries and regions are integrated into the network of international production and trade created by these giant corporations. Thousands of companies around the world form value creation nodes in the system of global production chains. Within the global economy, multinational firms have become the main channels for international investment and production, the core organizers of international economic activity, and the engine of global economic growth. The rapid development of multinational corporations shows that in the new imperialist phase constructed around the globalization of capital, the concentration of production and capital is reaching ever greater dimensions. Tens of thousands of multinational corporations now dominate everything.

  2. The scale of accumulation by multinational monopoly capital is increasing, forming a multinational corporate empire.

    Although the number of multinational capitalist corporations is not especially large, they all possess great strength. They not only comprise the main force in the development and use of new technologies, but also control the marketing networks and more and more natural and financial resources. On this basis, they have monopolized the proceeds of production and circulation and equipped themselves with an unparalleled competitive advantage. Between 1980 and 2013, benefiting from the expansion of markets and the decline in production factor costs, the profits of the world’s largest 28,000 companies increased from $2 trillion to $7.2 trillion, representing an increase from 7.6 percent to approximately 10 percent of gross world product.6 In addition, these multinational corporations not only form alliances with organs of state power, but also develop links with the global financial system, together forming financial monopoly organizations backed by state support. The globalization and financialization of monopoly capital further consolidate its wealth accumulation. In terms of sales revenue, the economic scale of some multinational corporations exceeds that of a number of developed countries. In 2009, for example, Toyota’s annual sales exceeded the gross domestic product (GDP) of Israel. In 2017, Walmart, rated by the Fortune 500 list as the world’s largest company, achieved total revenues of more than $500 billion, greater than the GDP of Belgium. If we combine the data for multinational corporations and the world’s total of almost two hundred countries, and draw up a list of their annual revenues and GDPs, it becomes clear that the countries represent fewer than 30 percent of the world’s one hundred largest economies, while the corporations account for more than 70 percent.

    If world development continues along these lines, there will be more and more multinational companies whose wealth is similar to that of whole countries. Although industrial globalization has made economic activity more fragmented, vast quantities of profits still flow to a few countries of the developed capitalist world. Investment, trade, exports, and technology transfer are principally managed via the giant multinational corporations or their overseas branches, and the parent companies of these multinational monopolies remain tightly concentrated in geographic terms. In 2017, corporations from the United States, Japan, Germany, France, and the United Kingdom accounted for half of the top five hundred companies in the world. Some two-thirds of the top one hundred multinationals are from these countries.

  3. Multinational corporations monopolize the industries in their particular fields, controlling and running international production networks.

    The multinational giants have immense quantities of capital and formidable scientific and technological strengths, which ensure them a dominant position in global production, trade, investment, and finance, as well as in the creation of intellectual property. The economies of scale that result from the monopoly positions enjoyed by multinational corporations have expanded their competitive advantage. This is because “the larger the army of workers among whom the labour is subdivided, the more gigantic the scale on which machinery is introduced, the more in proportion does the cost of production decrease, the more fruitful is the labour.”7 The high degree of monopoly exercised by the multinational corporations means that the concentration of production and the concentration of control over markets reinforce each other, accelerating capital accumulation. Meanwhile, competition and credit, as two powerful levers for the concentration of capital, accelerate capital’s trend of coming under increasingly narrow control as it accumulates. Over the past thirty years, all of the world’s nations have promoted policy options aimed at boosting investment and relaxing the restrictions to which foreign direct investment is subject. Although the increasing scale of outward foreign direct investment by developed countries has to varying degrees accelerated capital formation and the development of human resources in underdeveloped countries, and increased their export competitiveness, it has also brought about large-scale privatization and cross-border mergers and acquisitions in these nations. This has accelerated the process through which small and medium enterprises are bankrupted or forced to merge with multinational corporations. Even relatively large enterprises are vulnerable.

    Around the world, many industries now have an oligopolistic market structure. For example, the global market for central processing units has been almost completely monopolized by the firms Intel and Advanced Micro Devices. As of 2015, the global market for seeds and pesticides was almost entirely controlled by six multinational companies—BASF, Bayer, Dow, DuPont, Monsanto, and Syngenta—that together controlled 75 percent of the global market for pesticides, 63 percent of the global market for seeds, and 75 percent of global private research in these areas. Syngenta, BASF, and Bayer alone controlled 51 percent of the global pesticide market, while DuPont, Monsanto, and Syngenta accounted for 55 percent of the seed market.8 According to statistics of the European Medical Devices Industry Group, the sales in 2010 of just twenty-five medical device companies accounted for more than 60 percent of the total sales of medical devices throughout the world. Ten multinationals controlled 47 percent of the global market for pharmaceuticals and related medical products. In China, soybeans are one of the vital food crops. All aspects of global soybean production, supply, and marketing chains are controlled by five multinational companies: Monsanto, Archer Daniels Midland, Bunge, Cargill, and Louis Dreyfus. Monsanto controls the raw materials for seed production, while the other four control planting, trading, and processing. These multinationals form various alliances through joint ventures, cooperation, and long-term contractual agreements.9 As more and more social wealth is seized by fewer and fewer private capitalist giants, monopoly capital deepens its control and exploitation of labor. This leads to capital accumulation on a world scale, aggravating global overcapacity and the polarization between rich and poor.

In the era of neoimperialism, information and communications technology is developing rapidly. The emergence of the Internet has greatly reduced the time and space required for social production and circulation, bringing about a surge of cross-border mergers, investment, and trade. Consequently, more and more noncapitalist regions have been incorporated into the process of accumulation dominated by monopoly capital, which has greatly strengthened and expanded the world capitalist system. The socialization and internationalization of production and circulation have undergone a great leap during the era of capitalist economic globalization in the twenty-first century. The pattern, described in The Communist Manifesto, according to which “a cosmopolitan character” has been given “to production and consumption in every country” has been greatly strengthened.10 The globalization of monopoly capital requires world economic and political systems to be on the same track in order to eliminate the institutional barriers between them. However, when a number of postrevolutionary countries abandoned their earlier political and economic systems and turned to capitalism, they were not rewarded with the affluence and stability preached by neoliberal economists. On the contrary, the neoimperialist phase is the setting for the rampages of hegemony and monopoly capital.

The New Monopoly of Finance Capital

In Imperialism, the Highest Stage of Capitalism, Lenin stated: “The concentration of production; the monopolies arising therefrom; the merging or coalescence of the banks with industry—such is the history of the rise of finance capital and such is the content of that concept.”11 Finance capital is a new type of capital formed by the merger of bank monopoly capital and industrial monopoly capital. The turning point in the change from general capitalist rule to that of finance capital appeared around the beginning of the twentieth century, when banks in the leading imperialist countries were transformed from ordinary intermediaries into powerful monopolists. But before the Second World War, due to recurrent wars, high information transmission costs, and technical and institutional barriers such as trade protection, the linkages between global investment, trade, finance, and the market were relatively weak. The degree of globalization of the economy remained low, hindering the outward expansion of monopoly capital. After the Second World War, economic globalization was accelerated by the new technological revolution. In the early 1970s, rising oil prices triggered a worldwide economic crisis and brought about the grotesque phenomenon, impossible for Keynesian economics to explain, in which inflation and economic stagnation coexisted. In order to find profitable investment opportunities and escape from the “stagflation” quagmire, monopoly capital transferred traditional industries overseas, thus maintaining its original competitive advantage. Meanwhile, it accelerated its decoupling from the traditional industries and sought to open up new financial territory. Capitalist globalization and financialization catalyzed and supported each other, accelerating the “virtualization” of monopoly capital and the hollowing out of the real economy. The Western economic recession of the 1970s thus acted not only as a catalyst for the internationalization of monopoly capital, but also as the starting point for the financialization of industrial capital. Since then, monopoly capital has accelerated its turn from monopoly exercised in a single country to international monopoly, from the monopoly of the industrial entity to the monopoly of the financial industry.

Within the context of the new monopoly of finance capital, the second key characteristic of neoimperialism is that financial monopoly capital plays a decisive role in global economic life, giving rise to economic financialization.

Minority of Financial Institutions Control Main Global Economic Arteries

To seek monopolistic power is the very nature of imperialism. “The big enterprises, and the banks in particular, not only completely absorb the small ones, but also ‘annex’ them, subordinate them, bring them into their ‘own’ group or ‘concern’ (to use the technical term) by acquiring ‘holdings’ in their capital, by purchasing or exchanging shares, by a system of credits, etc.,” Lenin explains. “We see the rapid expansion of a close network of channels which cover the whole country, centralising all capital and all revenues, transforming thousands and thousands of scattered economic enterprises into a single national, capitalist, and then into a world capitalist economy.”12 At the neoimperialist phase, a small number of multinational corporations, most of them banks, have spread a very extensive and detailed operational network over the world via mergers, participation, and shareholding, and thus control not only countless small and medium enterprises but also the main global economic arteries. An empirical study by three Swiss scholars, Stefania Vitali, James B. Glattfelder, and Stefano Battiston, showed that a relatively small number of multinational banks effectively dominate the whole global economy. Based on their analysis of 43,060 multinational corporations all over the world and the shareholding relationships between them, they found that the top 737 multinational corporations controlled 80 percent of total global output. After further study of the complicated network of these relationships, they came up with the even more amazing discovery that a core consisting of 147 multinational corporations controlled nearly 40 percent of the economic value. Of the 147 corporations, some three-quarters were financial intermediaries.13

The Globalization of Monopoly-Finance Capital

When imperialism evolved into neoimperialism, the financial oligarchies and their agents set the rules of trade and investment aside, and proceeded to launch currency, trade, resource, and information wars, plundering resources and wealth globally and at will. Within this system, neoliberal economists play the role of spokespeople for the financial oligarchs, advocating for financial liberalization and globalization in the interests of the monopolists and enticing developing countries to liberalize their capital account restrictions. If the countries concerned follow this advice, exercising financial supervision will become more difficult and their vulnerability to the hidden dangers of the financial system will increase. The effect will be to provide more opportunities for financial monopoly capital to plunder these countries’ wealth. In their operations on capital markets, the international financial investment giants tend to attack the fragile financial firewalls of developing countries and seize opportunities to plunder the assets these countries have accumulated over decades. This indicates that financial globalization and liberalization have certainly established a unified and open global financial system, but in the meantime have created mechanisms through which the global center appropriates the resources and surplus value of the less developed periphery. Concentrated in the hands of a minority of the international financial oligarchies and armed with actual monopoly power, finance capital has gained increasing volumes of monopoly profits through foreign investment, new business ventures, and cross-border mergers and acquisitions. As finance capital continuously levies tribute from all over the world, the rule of the financial oligarchs is consolidated.

From Production to Speculative Finance

Financial monopoly capital, which has rid itself of the constraints associated with material form, is the highest and most abstract form of capital, and is extremely flexible and speculative. In the absence of regulation, financial monopoly capital is very likely to work against the goals set by a country for its industrial development. After the Second World War, under the guidance of state interventionism, commercial and investment banks were operated separately, the securities market was strictly supervised, and the expansion of finance capital and its speculative activity were heavily restricted. In the 1970s, as the influence of Keynesianism faded and neoliberal ideas began taking over, the financial industry began a process of deregulation and the basic forces controlling the operation of financial markets ceased to be those of governments and became the leading participants in the markets themselves. In the United States, the Jimmy Carter administration in 1980 enacted the Depository Institutions Deregulation and Monetary Control Act, which abolished the deposit and loan interest rate controls, and by 1986 interest rate liberalization was complete. In 1994, the Riegle-Neal Interstate Banking and Branching Efficiency Act ended all geographical restrictions on banking operations and allowed banks to conduct business across state lines, increasing the competition between financial institutions. In 1996, the National Securities Market Improvement Act was promulgated, markedly reducing supervision over the securities industry. The Financial Services Modernization Act followed in 1999, and the enforced separation of commercial banking from investment banking and insurance, a provision that had existed for nearly seventy years, was completely abolished. Advocates of financial liberalization initially claimed that if the government relaxed its supervision over financial institutions and financial markets, the efficiency with which financial resources were allocated would be further improved and the finance industry would be better able to boost economic growth. But finance capital has many unruly tendencies, and if restraints on it are lifted, it is quite capable of behaving like a runaway horse. Excessive financialization will inevitably lead to the virtualization of economic activities and to the emergence of huge bubbles of fictitious capital.

Over the past thirty years, finance capital has expanded in a process linked to the continuous deindustrialization of the economy. Because of the lack of opportunities for productive investment, financial transactions now have less and less to do with the real economy. Capital that is otherwise redundant is directed into speculative schemes, swelling the volume of fictitious assets in the virtual economy. In line with these developments, the cash flow of large enterprises has shifted extensively from fixed capital investment to financial investment, and corporate profits now come increasingly from financial activities. Between 1982 and 1990, almost a quarter of the sums previously invested in factory plant and equipment in the private real economy were shifted to the financial, insurance, and real estate sectors.14 Since the relaxation of financial restrictions in the 1980s and ’90s, supermarket chains have offered a wider and wider variety of financial products to the public, including credit and prepaid debit cards, savings and checking accounts, insurance plans, and even home mortgages.15 The shareholder value maximization principle popularized since the 1980s has forced CEOs to prioritize short-term goals. Rather than paying off debts or improving their company’s financial structure, CEOs in many cases use profits to buy back the company’s stocks, pushing up the stock price and thus increasing their own salaries. Of the companies listed on Standard & Poor’s 500 Index between 2003 and 2012, 449 invested a total of $2,400 billion to purchase their own shares. This sum corresponded to 54 percent of their total revenues, and another 37 percent of revenues were paid as dividends.16 In 2006, the expenditure by U.S. nonfinancial companies on repurchasing their own shares was equal to 43.9 percent of non-residential investment expenditure.17

The financial sector also dominates the distribution of surplus value within the nonfinancial sector. The sums paid as dividends and bonuses in the nonfinancial corporate sector account for a greater and greater proportion of total profits. Between the 1960s and the ’90s, the dividend payout ratio (the ratio of dividends to adjusted after-tax profits) of the U.S. corporate sector underwent a significant increase. While the average in the 1960s and ’70s was 42.4 and 42.3 percent, respectively, from 1980 to 1989 it never fell below 44 percent. Although total corporate profits fell by 17 percent, total dividends increased by 13 percent and the dividend payout ratio reached 57 percent.18 In the days before the U.S. financial crisis broke out in 2008, the proportion of net bonuses to net after-tax profits amounted to about 80 percent of companies’ final capital allocations.19 Further, the boom in the virtual economy has no relation whatever to the ability of the real economy to support such growth.

Stagnation and shrinkage in the real economy coexist with excessive development of the virtual economy. The value created in the real economy depends on such purchasing power as has appeared through the expansion of asset bubbles and the rise of asset prices, the so-called wealth effect. As the gap between rich and poor continues to widen, the financial institutions are obliged, with government backing, to rely on a variety of financial innovations to support credit-fueled consumption by citizens who are not asset owners and to disperse the resulting financial risks. Meanwhile, the huge income and wealth effects generated by the appearance on the scene of derivative financial products and the growth of asset bubbles attract more investors to the virtual economy. Driven by monopoly profits, numerous derivative financial products are created. The innovations in the area of financial products also lengthen the debt chain and serve to pass on financial risks. An example is the securitization of subprime mortgage loans; layer upon layer of these were packaged together with the seeming purpose of raising the credit rating of the products involved, but actually in order to transfer high levels of risk to others. Increasingly, the trade in financial products is separated from production; it is even possible to say that it has nothing to do with production and is solely a gambling transaction.

The Monopoly of the U.S. Dollar and Intellectual Property

Again, in Imperialism: The Highest Stage of Capitalism, Lenin stated: “Typical of the old capitalism, when free competition held undivided sway, was the export of goods. Typical of the latest stage of capitalism, when monopolies rule, is the export of capital.”20 After the Second World War, the deepening and refining of the international division of labor brought more developing countries and regions into the global economic network. Within the global production mechanism, every country and enterprise is seemingly able to exercise its own comparative advantages. Even the least developed countries can rely on cheap labor and such resource advantages as it might have to allow participation in the international division of labor and cooperation. However, the real motive of monopoly capital is to compete for favorable trading platforms and to plunder high monopoly profits. In particular, the U.S. dollar hegemony and the developed-country monopoly of intellectual property mean that international exchange is seriously unequal. Thus, the characteristics of the old imperialism, coexisting with the commodity output, define the general capital output. Meanwhile, the characteristics of neoimperialism that coexist with the commodity output and the general capital output are the output of the U.S. dollar and intellectual property.

The third characteristic of neoimperialism is defined by the hegemony of the U.S. dollar and the developed-world monopoly of intellectual property, which together generate the unequal international division of labor along with a polarized global economy and wealth distribution. In each of the four aspects that can be summed up as state-capital, capital-labor, capital-capital, and state-state, the dominant forces of giant monopoly capital and neoimperialism are further strengthened under the conditions of economic globalization and financial liberalization.

The Spatial Expansion of the Capital-Labor Relation: Global Value Chains and the Global Labor Arbitrage

Through mechanisms that include outsourcing, setting up subsidiaries, and establishing strategic alliances, multinationals integrate more and more countries and companies into the global production networks they dominate. The reason why capital accumulation can be achieved on this global scale is the existence of a large, low-cost global workforce. According to data from the International Labor Organization, the world’s total workforce grew from 1.9 to 3.1 billion between 1980 and 2007. Of these people, 73 percent were from developing countries, with China and India accounting for 40 percent.21 Multinational corporations are all organized entities, while the global workforce finds it exceedingly difficult to unite effectively and defend its rights. Because of the existence of the global reserve army of labor, capital can use the strategy of divide and conquer to discipline wage workers. Over decades, monopoly capital has shifted the production sectors of developed-world economies to the countries of the Global South, compelling workforces in different areas of the globe to compete with one another for basic living incomes. Through this process, multinationals are able to extort huge imperialist rents from the world’s workers.22 In addition, these giant corporations are well able to lobby and pressure the governments of developing countries to formulate policies that benefit the flow of capital and investment. Trying to secure GDP growth by inducing international capital to invest and set up factories, many developing country governments not only ignore the protection of social welfare and labor rights, but also guarantee various preferential measures such as tax concessions and credit support. The globalization of production has thus enabled the developed capitalist countries to exploit the less developed world in a more “civil” fashion under the slogan of fair trade. In order to launch their modernization, developing countries often have little choice but to accept the capital offered by the imperialists—along with the conditions and encumbrances that go with it.

Monopoly-Finance Capital and Multinational Corporate Dominance

The new structure of the international division of labor inherits the old unbalanced and unequal system. Although production and marketing are fragmented, the control centers of research and development, finance, and profit are still the multinational corporations. These corporate entities usually occupy the top of the vertical division of labor, owning the intellectual property rights associated with core components. The giant, globe-straddling corporations are in charge of formulating technology and product standards, as well as controlling the design, research, and development links. Meanwhile, their “partners” in developing countries are typically contracted to multinational corporations and are the recipients of such product standards. They usually engage in such labor-intensive activities as production, processing, and assembly, and are responsible for producing simple parts in mass quantities. Performing relatively unspecialized factory operations for multinationals, these enterprises earn only slender profits. The jobs in these enterprises generally feature low wages, high labor intensity, long working hours, and poor working environments. Although the value embodied in the products is primarily created by production workers in developing-world factories, most of the value additions are plundered by the multinationals via unequal exchange within the production networks. The proportion of overseas profits within the total profits of U.S. corporations increased from 5 percent in 1950 to 35 percent in 2008. The proportion of overseas-retained profits increased from 2 percent in 1950 to 113 percent in 2000. The proportion of overseas profits within the total profits of Japanese corporations increased from 23.4 percent in 1997 to 52.5 percent in 2008.23 In a slightly different accounting, the share of foreign profits of U.S. corporations as a percent of U.S. domestic corporate profits increased from 4 percent in 1950 to 29 percent in 2019.24 Multinational corporations are often able to use their monopoly of intellectual property to generate huge returns. Intellectual property includes product design, brand names, and symbols and images used in marketing. These are protected by rules and laws covering patents, copyrights, and trademarks. Figures from the UN Conference on Trade and Development show that royalties and licensing fees paid to multinational corporations increased from $31 billion in 1990 to $333 billion in 2017.25

With the advance of financial liberalization, finance capital no longer merely serves industrial capital, but has far overtaken it. The financial oligarchs and rentiers are now dominant. In the space of just twenty years from 1987, debt in the international credit market soared from just under $11 billion to $48 billion, with a rate of growth far exceeding that of the world economy as a whole.26

Neoimperialism and the Neoliberal State

Since the mid–1970s, economic stagflation has seen Keynesianism abandoned by governments, or employed much less. Neoliberal approaches such as modern monetarism, the rational expectations school, and supply-side theories are hits among economists, and dominate economic theory and policy in the neoimperialist countries. This is because these approaches accord with the expanding globalization and financialization of monopoly capital. Neoliberalism is a superstructure that has arisen on the basis of financial monopoly capital; essentially, it represents the basis for the ideology and policies required to maintain the rule of neoimperialism. In the 1980s, U.S. president Ronald Reagan and British prime minister Margaret Thatcher were the world standard-bearers of neoliberalism. Advocating the ideas of modern monetarism and the positions of the private property and supply-side schools, they implemented privatization and market-oriented reforms, relaxed government supervision, and weakened the power of labor unions to defend working-class rights. After taking office, Reagan immediately approved the establishment of a special group of CEOs, with vice president George H. W. Bush as its director, to revoke or relax regulations. The changes advocated by the group related to job safety, labor protection, and the protection of consumer interests. The Reagan administration also joined forces with big capitalists to crack down on labor unions in the public and private sectors, dismissing union leaders and organizers and leaving the working class, already in a weak position, even worse off. The so-called Washington-Wall Street Complex argued that the interests of Wall Street and those of the United States were identical; what was good for Wall Street was good for the country. The U.S. government had in practice become a tool for the financial oligarchy to pursue its economic and political interests.27 Therefore, it was not the votes of citizens, or even the democratic system of the separation of powers, but the Wall Street financial oligarchy and the military-industrial complex that ultimately controlled the government. Wall Street influenced the political process and policy formation in the United States by providing campaign contributions and manipulating the media. Held captive by monopoly interest groups, the U.S. government had little power to promote the sound development of the economy and society and to improve people’s livelihood. The list of Wall Street executives with annual salaries of tens of millions of dollars features numerous matches with the people holding top U.S. government posts. For example, the seventieth U.S. secretary of the treasury, Robert Edward Rubin, had previously spent twenty-six years working for investment bankers Goldman Sachs. The seventy-fourth secretary of the treasury, Henry Paulson, had earlier served the Goldman Sachs Group as its chairman and CEO. Many senior officials of the Donald Trump administration also had histories as executives of monopoly enterprises. The existence of this “revolving door” mechanism means that even if the government were to introduce relevant financial regulatory policies, it would be hard fundamentally to shake the interests of the financial chaebols of Wall Street.

Whenever a financial crisis occurs, the government provides emergency assistance to the monopoly oligarchs of Wall Street. U.S. scholars have found that the Federal Reserve has used secret emergency loans to meet the needs of large Wall Street interest groups, in some instances providing strong support to bankers who are board members of regional Federal Reserve banks. In 2007, the U.S. subprime mortgage crisis broke out. Bear Stearns, one of Wall Street’s top five investment banks, was acquired by JPMorgan Chase. Lehman Brothers declared bankruptcy and Merrill Lynch was acquired by Bank of America. Goldman Sachs, however, survived; the main reasons include a decision by the government to urgently grant Goldman Sachs the status of a holding company, allowing it to obtain massive life-saving funds from the Federal Reserve. In addition, the U.S. Securities and Exchange Commission banned the shorting of financial stocks.28

U.S. Dollar Hegemony, Intellectual Property Rights, and the Plundering of Global Wealth

In July 1944, on the initiative of the U.S. and British governments, representatives of forty-four countries gathered in Bretton Woods, New Hampshire, to discuss plans for the postwar monetary system. In the course of the Bretton Woods Conference, the documents Final Act of the United Nations Monetary and Financial ConferenceArticles of Agreement of the International Monetary Fund, and Articles of Agreement of the International Bank for Reconstruction and Development—collectively known as the Bretton Woods Agreements—were passed. A key point of the Bretton Woods system was to construct an international monetary order centered on the U.S. dollar.29 Other currencies were pegged to the dollar, which was in turn pegged to gold. The U.S. dollar then began to play the role of world currency, replacing the British pound. The unique advantage that derives from the central place of the U.S. dollar in the international monetary system gives the U.S. a special position compared to the rest of the world’s countries. The U.S. dollar makes up 70 percent of global currency reserves, while accounting for 68 percent of international trade settlements, 80 percent of foreign exchange transactions, and 90 percent of international banking transactions. Because the U.S. dollar is the internationally recognized reserve currency and trade settlement currency, the United States is not only able to exchange it for real commodities, resources, and labor, and thus to cover its long-term trade deficit and fiscal deficit, but can also make cross-border investments and carry out cross-border mergers of overseas enterprises employing the U.S. dollars that it prints at almost no cost. The hegemony of the U.S. dollar provides an excellent illustration of the predatory nature of neoimperialism. The United States can also obtain international seigniorage by exporting U.S. dollars, and can reduce its foreign debt by depreciating the U.S. dollar or assets that are priced in U.S. dollars. The hegemony of the U.S. dollar has also caused the transfer of wealth from debtor countries to creditor countries. This means that poor countries subsidize the rich, which is completely unfair.

Since the mid–1990s, international monopolies have controlled 80 percent of the world’s patents, technology transfers, and most of the internationally recognized trademarks, something that has brought them large quantities of revenue. According to figures from Science and Engineering Indicators 2018 Digest, released by the National Science Council of America in January 2018, the total global cross-border licensing income from intellectual property in 2016 was $272 billion. The United States was the largest exporter of intellectual property, with income from this source comprising as much as 45 percent of the global total. The corresponding figure for the European Union was 24 percent, for Japan 14 percent, and for China less than 5 percent. In sharp contrast, the royalties on intellectual property paid by China to other countries increased from $1.9 billion in 2001 to $28.6 billion in 2017, and China’s deficit on cross-border intellectual property transactions reached more than $20 billion. During this period, the U.S. annual net income from licensing intellectual property to other countries was at least $80 billion.30

The New Monopoly of the International Oligarchic Alliance

Lenin stated in Imperialism, the Highest Stage of Capitalism that “the epoch of the latest stage of capitalism shows us that certain relations between capitalist associations grow up, based on the economic division of the world; while parallel to and in connection with it, certain relations grow up between political alliances, between states, on the basis of the territorial division of the world, of the struggle for colonies, of the “struggle for spheres of influence.”31 Finance capital and its foreign policy, which is the struggle of the great powers for the economic and political division of the world, give rise to a number of transitional forms of state dependence. Two main groups of countries—those owning colonies and colonies themselves—are typical of this epoch, as are the diverse forms of dependent countries that, politically, are formally independent, but in fact are enmeshed in the net of financial and diplomatic dependence.32 Nowadays, neoimperialism has formed new alliances and hegemonic relations in the economic, political, cultural, and military fields.

Within the context of the new monopoly of the international oligarchs, the fourth characteristic of neoimperialism is the formation of an international monopoly capitalist alliance between one hegemon and several other great powers. An economic foundation consisting of money politics, vulgar culture, and military threats has been formed for them to exploit and oppress via monopoly both at home and abroad.

The G7 as the Mainstay of the Imperial Capitalist Core

Neoimperialism’s current international monopoly economic alliance and the framework of global economic governance are both dominated by the United States. The G6 group was formed in 1975 by six leading industrial countries, the United States, United Kingdom, Germany, France, Japan, and Italy, and became G7 when Canada joined the following year. G7 and its monopoly organizations are the coordination platforms, while the International Monetary Fund (IMF), the World Bank, and the World Trade Organization are the functional bodies. The global order of economic governance that was set up under the Bretton Woods system after the Second World War is essentially a high-level international capitalist monopoly alliance manipulated by the United States to serve its strategic economic and political interests. In the early 1970s, the U.S. dollar was decoupled from gold and the Bretton Woods currency system collapsed. One after another, summits of the G7 countries then shouldered responsibility for strengthening the Western consensus, contending against the socialist countries of the East, and boycotting the demands made by the less developed countries of the South for reforms to the international economic and political order.33 Since neoliberalism became the set of concepts dominating global economic governance, these multilateral institutions and platforms have become the driving force for the expansion of neoliberalism throughout the world. In line with the wishes of the international financial monopoly oligarchy and its allies, these bodies spare no effort to induce the developing countries to implement financial liberalization, the privatization of production factors, marketization without prior supervision, and free exchange in capital projects so as to facilitate inward and outward flows of international “hot money.” These institutions are constantly ready to control and plunder the economies of developing countries, extracting huge profits by encouraging speculation and creating financial bubbles. As Zbigniew Brzezinski stated in The Grand Chessboard, “the International Monetary Fund and the World Bank can be said to represent ‘global’ interests, and their constituency may be construed as the world. In reality, however, they are heavily American dominated.”34

Since the 1980s, the IMF and World Bank have lured developing countries to implement neoliberal reforms. When these countries have fallen into crisis because of privatization and financial liberalization, the IMF and other institutions have forced them to accept the Washington Consensus by adding various unreasonable conditions to loans provided earlier. The effect is to further intensify the impacts of neoliberal reform. Between 1978 and 1992, more than seventy developing countries or former socialist countries implemented a total of 566 structural adjustment programs imposed by the IMF and the World Bank.35 In the early 1980s, for example, the IMF used the Latin American debt crisis to force Latin American countries to accept neoliberal “reforms.” In order to curb inflation, the U.S. Federal Reserve in 1979 pushed short-term interest rates up from 10 percent to 15 percent, and finally to more than 20 percent. Because the existing debt of the developing countries was linked to U.S. interest rates, every 1 percent rise in U.S. interest rates would result in developing-world debtor countries paying an additional $40 to 50 billion per year in interest. In the second half of 1981, Latin America was borrowing at the rate of $1 billion a week, mostly in order to pay the interest on existing debt. During 1983, interest payments consumed almost half of Latin American export earnings.36 Under pressure to repay their loans, Latin American countries were forced to accept neoliberal reform plans initiated by the IMF. The main content of these plans consisted of privatizing state-owned enterprises; liberalizing trade finance; implementing economic austerity policies, with the effect of reducing living standards; cutting the taxes on monopoly enterprises; and reducing government spending on social infrastructure. During the 1997 Asian financial crisis, the IMF attached numerous conditions to assistance provided to South Korea, including that the allowance for foreign shareholdings be relaxed from 23 percent to 50 percent, and then to 55 percent by December 1998. Moreover, South Korea was required to allow foreign banks to set up branches freely.37

NATO and the International Monopoly-Capitalist Military and Political Alliance

Established in the early days of the Cold War, the North Atlantic Treaty Organization (NATO) is an international military alliance for the defense of monopoly capitalism. It is led by the United States and involves other imperialist countries. During the Cold War, NATO was the main tool used by the United States to actively contain and counter the Soviet Union and the countries of Eastern Europe, as well as to influence and control the Western European countries. At the end of the Cold War, the Warsaw Treaty Organization was dissolved and NATO became the military organization through which the United States sought to achieve its strategic goals on a global level. A capitalist military oligopoly, involving one hegemon and several other great powers, had come into being. Former U.S. secretary of state Warren Christopher stated: “Only the United States can act as a leader.… For the United States to exercise leadership requires us to own a credible force threat as a backup for diplomacy.”38 The National Security Strategy for the New Century, published in the United States in December 1998, claimed unambiguously that the goal of the United States was to “lead the entire world” and that no challenge to its leadership, from any country or group of countries, would ever be allowed to come into being.39 On December 4, 2018, U.S. secretary of state Mike Pompeo declared in a speech to the Marshall Fund in Brussels: “The United States has not given up its global leadership. It reshaped the order after WWII based on sovereignty but not the multilateral system.… Under President Trump’s leadership, we will not give up international leadership or our allies in the international system.… Trump is recovering America’s traditional status as the world center and leadership.… The United States wants to lead the world, now and always.”40

To achieve leadership and domination over the world, the United States has made every effort to promote NATO’s eastward expansion, and has expanded its own sphere of influence to control Central and Eastern Europe and to compress Russia’s strategic space. Under the control of the United States, NATO has become an ideal military tool for U.S. global interests. In March 1999, a multinational NATO force led by the United States launched a large-scale air attack on Yugoslavia. It was the first time that NATO had launched a military strike against a sovereign country during the fifty years since its foundation. In April 1999, NATO held a summit meeting in Washington, formally adopting a strategic concept that can be summarized under two points. First, NATO was permitted to conduct collective military intervention outside its defense area in response to “crimes and conflicts involving common interests.” This effectively changed NATO from a “collective defense” military alliance into an offensive political and military organization with the so-called purpose of defending common interests and shared values. Second, NATO’s military actions did not require authorization from the UN Security Council.41

In addition to NATO, U.S. military alliances formed on the basis of bilateral treaties include pacts with Japan, South Korea, Australia, and the Philippines. There are U.S. military bases on the territory of all its military allies, and these comprise a major part of the neoimperialist military alliance. The United States and its allies make military threats and carry out provocations in many regions of the world, resulting in many “hot wars,” “warm wars,” “cool wars,” and “new cold wars,” intensifying the new arms race. The acts of “state terrorism” carried out by neoimperialism, and the double standard it applies to counter-terrorism, have caused other forms of terrorism to multiply.

Cultural Hegemony Dominated by Western “Universal Values”

In addition to its economic might and the hegemony exercised through its military alliances, neoimperialism is also characterized by cultural hegemony dominated by Western “universal values.” U.S. political scientist Joseph Nye emphasized that soft power was the ability to accomplish one’s desires through attraction rather than force or purchase. The soft power of a country is constituted mainly of three resources, namely, culture (which functions where it is attractive to the local population), political values (which function when they can actually be practiced both at home and abroad), and foreign policy (which functions when it is regarded as conforming to legality and as enhancing moral prestige).42 The Western developed countries, especially the United States, utilize their capital, technology, and market advantages to infiltrate less powerful countries and regions with their culture, and propose a series of “new interventionist” cultural theories designed to impose U.S. values. The United States subjugates the cultural markets and information spaces of other countries, especially developing countries, by exporting to them U.S. values and lifestyles, with the goal of making its culture the “mainstream culture” of the world.43

Cultural hegemony or cultural imperialism exports the “universal values” of the West and implements both peaceful evolution and “color revolutions” by controlling the field of international public opinion. The objective is to achieve Richard Nixon’s strategic goal of “victory without war.” The evolution of the Soviet Union and of the socialist countries in Eastern Europe is a typical case. As is generally known, the penetration of values is usually slow, long-term, and subtle, and its communication channels are often hidden in academic exchanges, literary works, films, and television shows. For example, Hollywood is “the megaphone of American hegemonic policy.… Hollywood films are showing off the advantages of the United States to the rest of the world and trying to achieve their cultural conquest by this means.”44 Former senior CIA official Allen Dulles argued: “If we teach young people in the Soviet Union to sing our songs and dance with them, sooner or later we will teach them to think in the way we need them to.”45 Foundations and think tanks are also important driving forces for the spread of neoliberalism. For example, the U.S.-based Ford Foundation, Rockefeller Foundation, Mont Pelerin Society, and Center for International Private Enterprise participate in the promotion of neoliberal values by funding seminars and academic organizations.

Lenin once stated: “Instead of an undivided monopoly of Great Britain, we see a few imperialist powers contending for the right to share in this monopoly, and this struggle is characteristic of the whole period of the early twentieth century.”46 Since the end of the Cold War, global capitalism has been characterized by the undivided monopoly of the United States. Other powers have no intention, and lack the strength, to compete. Some individual countries such as Japan have tried to challenge U.S. “monopoly rights” economically and technologically, but have ultimately failed. So it is with the European Union, which emerged later but eventually failed to shake U.S. hegemony. In the military field, the Gulf War and the subsequent wars in Kosovo, Afghanistan, Iraq, Libya, and Syria have further fueled U.S. unilateralism and hegemonic arrogance. With the help of its economic, military, and political alliances, and employing cultural soft power, the United States promotes its “universal values,” incites street protests and color revolutions in other countries, and forces developing countries to deregulate their financial systems by targeting them for the creation of debt and financial crises. When the global governance system dominated by the United States encounters challenges, it launches trade wars, science and technology wars, financial wars, and economic sanctions, and even goes so far as to threaten or actually launch military strikes. The U.S. dollar, military, and culture are the three pillars of U.S. imperialist hegemony, supporting “hard power,” “soft power,” “strong power” (economic sanctions), and “smart power.”47

In short, the international monopoly capitalist alliance made up of one hegemon and several great powers provides the economic foundation for the money politics, vulgar culture, and military threats that exploit and oppress through the exercise of monopoly both at home and abroad, and that amplify the power of the United States as the neoimperialist hegemon.

The Economic Essence, the General Trend, and the Four Forms of Ideological Fraud

Lenin characterized imperialism as a transitional and moribund capitalism. At the neoimperialist stage known as economic globalization, the basic contradiction of the contemporary capitalist economy is manifested in the contradiction between, on the one hand, the constant socialization and globalization of the economy with its production factors under private, collective, or state ownership, and, on the other, the disorder or anarchy of production within national economies and in the world economy.48 Neoimperialism rules out the adjustments that states and international communities need to make, instead promoting self-regulation by private monopoly capital and defending its interests. The effect, very often, is to intensify various contradictions within countries or on the world level. Economic, financial, fiscal, social, and ecological crises have all become epidemic diseases. Various of these crises are interwoven with social contradictions, or with the contradictions of capital accumulation. All of them together lend a new cast to the monopolistic and predatory, hegemonic and fraudulent, parasitic and decaying, transitional and moribund capitalism of the present epoch.

If we define neoimperialism with regard to its economic nature and general tendencies, we may conclude that its three characteristics are demonstrated in the respect that the globalized contradictions and various crises of the system frequently become intensified.

The economic essence of neoimperialism is that it is a monopolistic financial capitalism established on the basis of giant multinationals. The production monopoly and financial monopoly of the multinational corporations have their origins in the higher stage of production and capital concentration, giving rise to a phase in which monopoly is deeper and broader to such an extent that “nearly every industry is concentrated into fewer and fewer hands.”49 The automobile industry may be taken as an example. The production of the top five multinational automobile corporations accounts for almost half of global automobile production, and that of the top ten accounts for 70 percent.50 International monopolistic financial capital not only controls the world’s major industries, but also monopolizes almost all sources of raw materials, scientific and technological talent, and skilled physical labor in all fields, controlling the transportation hubs and various means of production. It dominates and controls capital, and controls various other global functions via banks and a variety of financial derivatives and shareholding systems.51 If we consider the total market value and total income and assets of corporations, the scale of the leading concentrations of economic power around the world is increasing, especially in the case of the top one hundred corporations. In 2015, the market value of the world’s top hundred companies was more than seven thousand times that of the bottom two thousand companies in a database of the world’s largest nonfinancial firms, compared to only thirty-one times in 1995.52 According to the data on the Fortune Global 500 for the year 2017, the revenues of 380 of the world’s top 500 companies (excluding Chinese firms) reached $22.83 trillion, equivalent to 29.3 percent of gross world product. Total profits reached $1.51 trillion, breaking the record, and the rate of profit increased by 18.85 percent year on year.53 The rise in the indicators of both profit share and profit rate illustrates the predatory nature of neoimperialism.

Given that economic globalization, financialization, and neoliberal policies are placing a triple squeeze on labor, profits are growing rapidly, while workers’ wages are increasing much more slowly.54 Between 1982 and 2006, the average annual growth of the real wages of production workers in nonfinancial corporations in the United States was just 1.1 percent, not only much lower than the 2.43 percent recorded from 1958 to 1966, but also lower than the 1.68 percent during the economic downturn from 1966 to 1982. The slowing of wage growth allowed the corporations’ profit share to rise by 4.6 percent during this period and accounted for 82 percent of the recovery in the rate of profit. The “labor squeeze” can be seen to have played a key role here.55 Moreover, since the U.S. economy began to recover in 2009 from the Great Financial Crisis, the average rate of profit, though lower than its peak in 1997, has still been significantly higher than its level during the late 1970s and early ’80s, when it was at a low point.56 The essence of neoimperialism is its need to control and plunder. Its drive to “predatory accumulation” is not only demonstrated by its exploitation of labor in the national setting, but also by its plunder of other countries. The forms this takes, and the methods employed, consist mainly of the following.

First, financial plunder. Neoimperialism extracts huge profits from its control over the prices of major international commodities. Employing financialization and other methods, it pressures the countries that produce raw materials, seeking to keep prices low. As part of its pressures and harassment, it may create financial bubbles and crises via large-scale inflows and outflows of capital, affecting the economic and political stability of the countries concerned. Or, it may seek to achieve a “victory without war” by imposing financial sanctions.57 Financial innovation and the lag in government regulation contributes to waves of nonproductive speculation. Financial oligarchs and multinational corporations at the top of the pyramid benefit from the price inflation of financial assets and are able to plunder huge quantities of social wealth.

Second is the privatization of public resources and state-owned assets. Since Thatcher-Reaganism came to dominate economic policy-making in numerous countries some forty years ago, the world has experienced a massive wave of large-scale privatization. The public assets of many less-developed countries have fallen into the hands of private monopoly capital and multinational corporate monopolies. The global level of inequality of wealth ownership has soared accordingly. The World Inequality Report 2018 reveals that, since the 1970s, private wealth in various countries has generally increased, while the ratio of private to national income in most “rich” countries has increased from 200–350 percent to 400–700 percent. In sharp contrast, public wealth has steadily declined. The net public wealth of the United States and the United Kingdom has fallen to a negative number in recent years, and that of Japan, Germany, and France is only slightly above zero. The limited value of public assets restricts the ability of governments to adjust the income gap.58

Third is the strengthening of the center-periphery pattern. The neoimperialist countries reinforce the center-periphery pattern through their dominant positions in trade, currency, finance, the military arena, and international organizations. Taking advantage of these positions, they continuously extort the resources and wealth of the peripheral countries to consolidate their monopoly or oligopoly status, and to ensure their own development and prosperity. The international transfer rate of surplus value has a positive effect on the general rate of profit in the hegemonic countries.59 It is only the neoimperialist countries that are able to use their economic, political, and military power to transform a portion of the surplus value created by underdeveloped countries into their own national wealth. Consequently, the accumulation of monopolistic capital by neoimperialism intensifies the polarization between rich and poor and damages people’s livelihoods in countries such as the United States and France (as proved by the international Occupy Wall Street movement, which involved eighty countries with its slogan of “we are the 99 percent”), while also reinforcing the accumulation of financial and environmental wealth in the countries of the “center” and of relative poverty and pollution in the countries of the “periphery.” In 2018, the combined GDP of the G7 “central” countries reached $317 trillion, accounting for 45.5 percent of gross world product.60 According to the Global Wealth Report 2013, prepared by Credit Suisse, the wealth of the 85 richest people in the world that year was equivalent to the total assets of the world’s poorest 3.5 billion people—that is, of half the global population.61

Economic Hegemony and Fraud

Imperialism as represented by the United States employs hegemony, bullying, and unilateralism, and adheres to double standards in diplomatic policy. At one point, Pompeo publicly admitted and expressed pride in his country’s fraudulent actions. “I was the CIA director,” he said. “We lied, we cheated, we stole. It was like we had entire training courses…it reminds you of the glory of the American experiment.”62 In the post-Cold War era, the United States dominates the world, free from any powerful checks and balances. It relies on its major advantages of military force, U.S. dollar hegemony, external propaganda, and science and technology to carry out bullying all over the world and to commit fraud both at home and abroad.63

In March 2018, the United States issued a document entitled Findings of the Investigation into China’s Acts, Policies, and Practices Related to Technology Transfer, Intellectual Property, and Innovation Under Section 301 of the Trade Act of 1974, which accuses China of “enforcing or compelling US enterprises to transfer technology” and “illegally invading US commercial computer networks to steal intellectual property rights and sensitive business information.” The purpose of this document was to create a pretext for launching a trade war; its accusations are nothing but rumors and do not correspond to the facts. What is the source of China’s technological progress? It flows from the efforts of gifted entrepreneurs who benefit from huge government investments in basic science. As former U.S. secretary of the treasury Lawrence Summers said, “it’s coming from an educational system that’s privileging excellence, concentrating on science and technology. That’s where their leadership is coming from, not from taking a stake in some U.S. company.”64 In provoking its economic and trade conflict with China, the United States has had an obvious intention: to blackmail and suppress China on an overall basis, starting with the trade war and gradually expanding into the areas of science and technology, finance, food, resources, and so on. U.S. authorities seek to weaken China’s strengths in trade, finance, industry, and technology, trying to ensure that China will not pose a challenge to the global hegemonic position of the United States.

With its slogan of “America First,” the Trump administration promoted U.S. hegemony and imposed economic sanctions on other economies. Its economic and trade policies were aimed principally at China, but were also directed at traditional allies such as the European Union, Japan, India, and South Korea. Time after time, Washington has practiced economic extortion and containment. It will never be forgotten that as early as the mid–1980s the United States forced Japan to sign the Plaza Accord and induced it to implement a low-interest monetary policy that brought large quantities of foreign capital into Japan. The result was that a surge of short-term demand for Japanese yen caused the country’s currency to appreciate sharply against the U.S. dollar. The influx of foreign capital and the monetary policy of low interest rates brought a soaring increase in Japanese asset prices. Despite the short-term prosperity, the eventual result involved big losses for Japan. The high asset prices meant that the foreign capital was soon cashed out and withdrawn, while the Japanese economy suffered huge setbacks and endured a “lost twenty years.”

Political Hegemony and Fraud

The United States has always labeled itself a representative of countries advocating democracy, freedom, and equality. Using political and diplomatic means, it spares no effort to impose its political system on other countries, especially the developing states it identifies as “dictatorships.” Former U.S. president George W. Bush identified Iran, Iraq, and North Korea as an “axis of evil.” The United States exerts pressure on the rulers of such countries, applying double standards on questions of human rights. Using its propaganda, it demonizes these states as “undemocratic” and “autocratic,” while subsidizing nongovernmental organizations and media, as well as inciting dissidents and the opposition to mount “color revolutions” aimed at overthrowing the legitimate governments.

Acting at the behest of its military circles and monopoly energy groups, the United States has been a consistently destructive force in the Middle East and Latin America. Syria was listed by Washington among six “evil” countries, and the United States branded the Syrian government led by Bashar al-Assad as illegal. U.S. senator John McCain, however, revealed the real purpose behind these moves. “The end of the Assad regime,” McCain stated, “would sever Hezbollah’s lifeline to Iran, eliminate a long-standing threat to Israel, bolster Lebanon’s sovereignty and independence, and inflict a strategic defeat on the Iranian regime. It would be a geopolitical success of the first order.”65 In Latin America, the United States has continued its blockade against Cuba despite twenty resolutions carried overwhelmingly in the UN General Assembly. Meanwhile, the United States is conducting an economic blockade against Venezuela, resulting in the country’s economic deterioration in recent years. Former U.S. vice president Mike Pence, setting aside Venezuela’s elections and popular support for the government, with no consideration of truth—even leaving out the U.S. economic siege war on Venezuela in violation of international law—pronounced: “The Maduro government’s vicious gangs have crippled the economy.… The true cost of the crimes of the Maduro regime cannot be assessed in numbers.… Two million people have fled the result of dictatorship and political repression that’s resulted in deprivation and created conditions near starvation. The United States will continue to help the Venezuelan people restore their freedom. The people will be free.”66

The United States is now applying to China the kind of Cold War policies that used to be employed against the Soviet Union. State department director of policy planning Kiron Skinner describes the fractious relations of the United States with China as “a fight with a really different civilization and a different ideology.”67 The U.S. ruling class knows very well that the socialist system is superior to the capitalist system. Once large socialist countries such as the former Soviet Union and China become rich and strong through peaceful competition, it is inevitable that they are faced with confronting the hegemonic aims of the United States, which seeks nothing less than a unipolar world. Any attempts to promote broad reforms in the outdated imperial economic and political order are seen as a threat to U.S. hegemony. Consequently, the United States has adopted the dual strategy of “contact and containment,” engagement and aggression, which it seeks to pass off as “peaceful evolution.”

In reality, the so-called democratic politics in the United States are nothing but an illusion. First, the electoral process in the United States has increasingly amounted to a political fight between the two parties of the monopoly bourgeoisie. As the candidates of different factions of the monopoly bourgeoisie have campaigned for election, they have resorted to rumors, personal attacks, and slanders against their opponents, sidelining the real issue. Second, so-called democratic politics in the United States involve no more than a pro forma and procedural democracy. The pro forma voting system has been reduced to monetary politics, family politics, and oligarchic politics—that is, to an essentially undemocratic “despotism of monopoly capital,” or democracy for the few.

Cultural Hegemony and Fraud

Former U.S. National Security Advisor Brzezinski believes that “strengthening American culture as the ‘model’ of the world’s cultures is a strategy that must be implemented by the United States to maintain hegemony.”68 U.S. cultural hegemony is manifested principally through its control of media outlets and education, and through the propaganda function, both at home and abroad, of its literature and art, its liberal arts academia, and its values. The United States exports films, music, and literature all over the world. It controls almost 75 percent of the world’s television programs, and owns powerful film and television companies such as WarnerMedia, Universal Pictures, Paramount Pictures, and Columbia Pictures, which every year produce dozens of high-budget films involving investments of hundreds of millions of dollars. Research and reporting carried out by the U.S. mainstream media effectively dominate the shaping of world public opinion. The United States also controls the authoritative journals that mold discourse in the area of liberal arts academia, and it is the United States that determines the standards of elite education. The 2020 QS World University Rankings provide an example. The top places in these rankings are all taken by U.S. universities, and this situation provides a powerful tool for spreading deceptive Western “universal values,” Western constitutional views, and neoliberal economic concepts throughout the world. The basic views of the U.S. liberal arts establishment have taken a firm hold on the elites and masses at home and abroad.69 For example, the United States extols vulgar examples of literary and artistic kitsch as distinguished works of culture, deserving of Oscars or Nobel Prizes.

Neoclassical economics (and its counterpart in the form of neoliberalism) is responsible for a string of economic crises and for increased polarization between rich and poor. Nevertheless, it is depicted as a scientific theory that promotes development, increases popular welfare, and is worthy of the Sveriges Riksbank Prize in Economic Sciences in Memory of Alfred Nobel. In the United States, works that do not conform to the literary, artistic, and liberal arts canons of monopoly capital are difficult to disseminate via authoritative media, while writers and artists of real distinction are excluded, suppressed, or defrauded. The United States also holds an absolutely dominant position in the global field of cyberspace. Of the thirteen root Domain Name System servers, nine are under the direct control of U.S. corporations, universities, or government departments, while another is directly controlled by a U.S. nonprofit organization.70 Using these root Domain Name System servers, the United States can easily steal global intelligence, carry out network monitoring, and launch cyberattacks. The surveillance program PRISM, revealed by Edward Snowden, shows that the United States has complete control over the hardware and software of networks globally, and is well able to monitor the entire world and strike any other country. Lastly, the United States controls the intelligence alliance known as the Five Eyes (the United States, United Kingdom, Canada, Australia, and New Zealand), through which it conducts large-scale monitoring activities and exercises cyber hegemony domestically and internationally.71

The cultural hegemony of the United States, its control over liberal arts academia, and the fraudulent use to which these advantages are put also appear in the stances taken by the United States on questions of ideology and values. These stances are always hostile to socialism and communism, and restrict the development of socialist countries. Previously, the United States devoted most of its efforts to smearing the Soviet Union, but the main target is now China. Early in May 1990, Nixon stated frankly: “While rebuilding the relationship with China, it is very important that we continue to pressure them to abandon socialism. Because we will use this relationship to make China’s policies milder. We must stick to this key point.”72 According to survey data from the U.S. Pew Research Center—an organization surely influenced by U.S. cultural hegemony and fraud—74 percent of Chinese college or university graduates love U.S. culture.73 It is a fact that most Chinese liberal arts scholars who have studied in the United States favor its basic institutional academic theories. To varying extents, they worship, flatter, and fear the United States. This seriously affects the confidence of Chinese citizens in Marxist culture, in socialist culture, and in China’s own rich traditional culture, and needs to be eliminated as soon as possible.

Military Hegemony and Fraud

Since the disintegration of the Soviet Union, the United States has become increasingly presumptuous and has tended to resort to military force or threats in dealing with questions of international relations. In 1999, U.S.-led NATO forces bombed the Federal Republic of Yugoslavia, invoking the formula of “human rights above sovereignty.” In 2003, despite strong opposition from other countries, the United States invaded the sovereign state of Iraq. The Iraq War was not authorized by the UN Security Council, and Washington did not have any legal basis for its military intervention. The United States falsely claimed that Iraq possessed chemical weapons of mass destruction. After occupying Iraq, however, the United States found no evidence to prove that Iraq could produce chemical weapons of mass destruction. The real purpose of the United States in fabricating this lie was to control Iraq’s oil resources by military means.

The United States has consistently emphasized that its own interests should take first place and that its military advantages are not to be challenged. Although its economic strength has declined in relative terms, the United States is still expanding its arsenal and substantially increasing its defense spending. Since the Cold War, the United States has continued to create various military threats and pressures in Europe, the Middle East, and the Asia-Pacific region. To consolidate its hegemonic status, the United States has advocated and promoted NATO’s eastward expansion, with the goal of including all the Central and Eastern European countries in NATO’s sphere of influence and thus constricting Russia’s strategic space. In the Middle East, the United States aims to subvert the legitimate regimes of countries such as Syria and Iran by military means, and to support “color revolutions” in the region. In Asia in recent times, Washington has heightened tensions on the Korean peninsula and has also implemented its “Indo-Pacific strategy” aimed at containing China. The U.S. “Indian strategy” is serving to reveal the identity of its military allies and partners. Allies of the United States include Japan, South Korea, Australia, the Philippines, and Thailand, and its claimed “partners” include Singapore, Taiwan (China), New Zealand, Mongolia; a number of South Asian countries such as India, Sri Lanka, the Maldives, and Nepal; and various Southeast Asian countries such as Vietnam, Indonesia, and Malaysia. The United States further proposes to strengthen its cooperation with Brunei, Laos, and Cambodia. In addition, it will work together with traditional allies such as Britain, France, and Canada to protect so-called Indo-Pacific freedom and openness.74

With the increase in China’s national strength, various U.S. scholars have been eager to invoke the Thucydides trap, claiming that it is difficult for Sino-U.S. relations to escape from this logic. But the truth, as China’s president Xi Jinping has pointed out, is that there is currently no Thucydides trap. Such a trap might, however, be created if the United States and its allies repeatedly make strategic miscalculations involving great powers.75 It may be asserted that it is the military hegemony and fraud of the United States that provides the root cause of the widespread instability, constant local wars, rise of war threats, and refugee crises around the world.

Neoimperialism Is a Parasitic and Decaying Late Imperialism

As Lenin stated,

Imperialism is an immense accumulation of money capital in a few countries.… Hence the extraordinary growth of a class, or rather, of a stratum of rentiers, i.e., people who live by “clipping coupons,” who take no part in any enterprise whatever, whose profession is idleness. The export of capital, one of the most essential economic bases of imperialism, still more completely isolates the rentiers from production and sets the seal of parasitism on the whole country that lives by exploiting the labour of several overseas countries and colonies.76

In the era of neoimperialism, the number of rentiers is increasing sharply, and the nature of the rentier countries is becoming more pronounced. The parasitism and decay of a small number of capitalist countries is further worsened, as can be seen specifically in the following aspects.

First, the United States employs its military, intellectual property, political, and cultural hegemony, as well as the U.S. dollar, to plunder the wealth of the world, especially that of developing countries. The United States is the world’s largest parasitic and decaying country. As evidence of this, we may take the trade between China and the United States. China sells to the United States goods produced by cheap labor, land, and environmental resources. The United States does not need to produce anything in order to buy these goods; it can simply print banknotes. With the money earned, China can then buy only virtual assets such as U.S. treasury bonds, and provide finance for U.S. consumer lending and outward expansion. The United States exports to China securities to which value cannot be added, while China exports to the United States mainly physical goods and labor services. The National Health Report released by the National Health Research Group of the Chinese Academy of Sciences shows that the United States is the country with the most hegemonic dividends in the world, due to the position of its currency, while China is the country with the largest loss of hegemonic dividends. For the year 2011, U.S. hegemonic dividends totaled $7396.09 billion, corresponding to 52.38 percent of the country’s GDP, and the average hegemonic dividends obtained per day came to $20.263 billion. Meanwhile, the sum lost by China totaled $3663.4 billion. In terms of labor time, about 60 percent of the working hours of the Chinese workforce were effectively given without recompense to serve international monopoly capital.77

Second, military spending has increased, which in turn increases the burden on working-class people. Neoimperialism leads and promotes military-related scientific and technological research, the development of advanced weapons, and the expansion of military production. As the People’s Daily observed in 2016, “the military-industrial complex supported by monopoly capital and the cultural hegemony formed on the basis of colonialism have prompted the western countries to intervene in other countries’ affairs at their will.”78 Neoimperialism has thus become the initiator of regional turmoil and instability, and the engine of war. Over the past thirty years, the United States has spent $14.2 trillion on waging thirteen wars.79 Meanwhile, lack of money hinders improvements to the living conditions of the U.S. people in areas such as medical insurance. Exorbitant military spending has become a heavy burden on the country and its people, while the parasitic monopolies in the arms industry have reaped immense profits. According to statistics of the British Institute for International Strategic Studies, official U.S. military expenditures in 2018 came to $643 billion, and in 2019 will reach $750 billion, more than the sum of the military spending of the world’s eight next largest military powers. Since the end of the first Cold War, the United States has launched or participated in six major conflicts: The Gulf War (1991), Kosovo War (1999), Afghanistan War (2001), Iraq War (2003), Libya War (2011), and Syria War (2011).80 The addiction of monopoly capitalism to war is a manifestation of its parasitic and decaying nature. This barbaric characteristic of the system runs counter to civilization and threatens the shared future of the human community. It proves that neoimperialism is the primary root of war.

Third, wealth and incomes are concentrated in the hands of a specific class of owners of financial assets, as reflected in the 1 percent versus the 99 percent formulation. At the neoimperialist stage, the socialization, informatization, and internationalization of production have reached unprecedented levels, and the ability of human beings to create wealth is many times greater than in the old imperialist period. Nevertheless, the advance of productivity that is supposed to be a common gain for humankind has mainly benefited the financial oligarchy. “The bulk of the profits go to the ‘geniuses’ of financial manipulation,” one observer notes.81 In 2001, for example, the financial wealth (excluding property rights) held by the wealthiest 1 percent of the U.S. population was four times greater than that of the poorest 80 percent. The 1 percent held assets on the stock market of $1.9 trillion, roughly equivalent to the value of the stock held by the other 99 percent.82

Fourth, monopoly hinders technological innovation, slowing its advance. The greed and parasitism of financial monopoly capital make its attitude to technological innovation ambivalent. Monopoly capital relies on technological innovation to maintain its monopoly status, but the high profits that result from this status mean that monopoly capital shows a certain inertia in promoting innovation. Even if many advanced functions of mobile phones are successfully developed in the same year, the monopoly producers of mobile phones will divide up these functions to be introduced and promoted over several years. The purpose is to ensure that consumers will continuously purchase mobile phones with new functions, allowing the corporations to obtain high monopoly profits every year.

Fifth, the tendency for monopoly capital and its agents to cause decay in the mass movement is becoming more serious. Lenin observed that “in Great Britain the tendency of imperialism to split the workers, to strengthen opportunism among them and to cause temporary decay in the working-class movement, revealed itself much earlier than the end of the nineteenth and the beginning of the twentieth centuries.”83 Neoimperialism divides the working class, striking at and weakening the labor unions using the excuse provided by the collapse of the Soviet Union and the tremendous changes in Eastern Europe. It also uses its monopoly profits to buy the support of individuals, and fosters opportunist and neoliberal forces within the workers’ movement and various other mass movements. The results of such ploys include the downturn in size and activity of labor unions and other progressive movements, the low ebb of the world socialist movement, and a more obvious and serious tendency for workers to worship the forces of neoimperialism or to be intimidated by them.

Neoimperialism Is a Transitional and Moribund Late Capitalism

Lenin’s Imperialism, the Highest Stage of Capitalism has revealed the transitional and moribund nature of monopoly capitalism for more than a century. However, except in a very small number of countries where socialism is being constructed, most capitalist societies have not perished. They have in fact achieved varying levels of development, and will continue to develop. This raises a very important question: How do we judge the transitional nature of contemporary capitalism, or its tendency to decline and perish? If we use the historical materialist method, the transitional nature of neoimperialism can be characterized on the basis of two points. First, like everything in the world, the neoimperialist system is constantly changing. It is a transient phenomenon in human history, and is not eternal. Second, there are reasons to believe that neoimperialism can eventually transition into socialism through various forms of revolutionary struggle.

In the era of neoimperialism, the developed capitalist countries have undergone many important technological and institutional reforms, which have provided the basis for a certain further development of capitalism and have delayed its demise. High and low growth rates continue to succeed each other, and the period of decay mentioned by Lenin has been greatly extended. This is because the capitalist countries have made many adjustments to their production relations and superstructure, including a degree of macroeconomic regulation, improvements to income distribution and social security, and so forth. In particular, there is no doubt that for the developed capitalist countries the advantages of economic globalization outweigh its disadvantages. Within the process of economic globalization, the powerful developed capitalist countries occupy an absolutely dominant position, through which they set out to maximize the benefits they receive. Their general drive to extend globalization in order to expand their markets does not, however, exclude the possibility of particular countries temporarily reversing the process in response to domestic crises, or as part of efforts to damage commercial competitors. “In the past two years,” a 2019 study notes, “the Trump administration has deepened its reverse globalization trend in the light of the domestic crisis. It adheres to the principle of ‘America first,’ and provokes international economic and trade disputes, trying to get rid of and pass on the domestic crisis.”84 The purpose of the United States in adopting a range of protectionist anti-globalization measures is to alleviate the domestic difficulties and crises it encounters within economic globalization, so as to advance its hegemonic interests.

Meanwhile, there is no essential conflict between the fact that neoimperialism and capitalism can look forward to existing and developing for some time to come, and the fact that a transition to a higher social formation is practically inevitable, provided that these societies do not degenerate into barbarism. The classic Marxist writers avoided setting out a specific timetable for the demise of capitalism and imperialism. Lenin’s scientific judgment is that “imperialism is a decaying but not completely decaying capitalism, a moribund but not dead capitalism.”85 He foresaw that moribund capitalism was very likely to drag out its existence for a prolonged period. Nor, on the basis of a comprehensive analysis, could it be denied that capitalism would see some kind of development even during its moribund stage. Discussing the decay of imperialism, Lenin stated: “It would be a mistake to believe that this tendency to decay precludes the rapid growth of capitalism. It does not.… On the whole, capitalism is growing far more rapidly than before; but this growth is not only becoming more and more uneven in general, its unevenness also manifests itself, in particular, in the decay of the countries which are richest in capital (England).”86

John Bellamy Foster also stressed that, “to say that capitalism is a failed system is not, of course, to suggest that its breakdown and disintegration is imminent. It does, however, mean that it has passed from being a historically necessary and creative system at its inception to being a historically unnecessary and destructive one in the present century.”87

The basic contradictions of capitalism still exist and continue to develop. Likewise, the law of capitalist accumulation still exists and continues to develop. At the point when monopoly capitalism was coming into existence in the late nineteenth and early twentieth centuries, the law of uneven economic and political development of imperialism made it possible for the revolution against capitalism to be victorious initially in one or several countries, before eventually spreading globally.

Decades after The Communist Manifesto proclaimed that capitalism would inevitably expire and Capital declared that the death knell of capitalist private ownership was about to ring, the October Revolution brought the downfall of the Tsarist Russian Empire. Then, the proletarian party led by Mao Zedong in China ended the semicolonial and semifeudal society ruled by the Kuomintang (Mao stated that China represented a feudal and comprador monopoly capitalism after the Second World War). The Soviet Communist Party led by Mikhail Gorbachev and Boris Yeltsin consciously betrayed Marxism-Leninism, resulting in the Soviet Union and the Eastern European socialist countries, with the exception of Belarus, regressing to capitalism. This demonstrates the twists, turns, and general difficulties experienced by the development of socialism and its economic system. But it cannot change the nature and general trend of the historical process.

China’s position on the main international fault lines is clear. In October 1984, Deng Xiaoping stated: “There are two major problems in the world that are very prominent. One is the issue of peace and the other is the North-South issue. There are many other issues, which are not of the same underlying importance or global and strategic significance as these two.” In March 1990, he reiterated: “As for the two major issues of peace and development, the peace issue has not been resolved, and the development issue has become more serious.”88 Deng emphasized that “peace and development” were the two major questions to be resolved.89

Based on the analysis of the character of neoimperialism, it can thus be concluded that neoimperialism represents a new phase of international monopoly into which capitalism develops after passing through the stages of free competitive capitalism, general private monopoly, and state monopoly. In addition, neoimperialism represents a new expansion of international monopoly capitalism, as well as a new system through which a minority of developed countries dominate the world and implement a new policy of economic, political, cultural, and military hegemony. If we examine the current situation on the basis of the international forces of justice and the development of the twists and turns of the international class struggle, the twenty-first century is a new era in which the world working class and the masses can carry out great revolutions and safeguard world peace; in which the socialist countries can carry out great feats of construction and promote ecological civilization; and in which progressive nations can work together to build a community with a shared future for humankind, a world in which neoimperialism and international capitalism gradually make way for global socialism.

Notes

  1. I. Lenin, Selected Works: One Volume Edition (New York: International Publishers, 1971), 232–33.

  2. I. Lenin, Collected Works, vol. 23 (Moscow: Progress Publishers, 1964), 105.

  3. John Bellamy Foster, “Late Imperialism,” Monthly Review 71, no. 3 (July–August 2019): 1–19.

  4. United Nations Conference on Trade and Development, World Investment Report 2013 (Geneva: United Nations, 2013).

  5. United Nations Conference on Trade and Development, World Investment Report 2018 (Geneva: United Nations, 2018).

  6. Richard Dobbs et al., Playing to Win: The New Global Competition for Corporate Profits (New York: McKinsey & Company, 2015).

  7. Karl Marx, Wage-Labour and Capital, in Wage-Labour and Capital/Value, Price and Profit (New York: International Publishers, 1935), 41.

  8. ETC Group, Breaking Bad: Big Ag Mega-Mergers in Play. Dow-DuPont in the Pocket? Next: Demonsanto? (Val-David, Quebec: ETC Group, 2015).

  9. Wang Shaoguang, Wang Hongchuan, and Wei Xing, “Soybean Story: How Capital Threatens Human Security” [in Chinese], Open Times 3 (2013).

  10. Karl Marx and Frederick Engels, The Communist Manifesto (New York: Monthly Review Press, 1964), 7-8.

  11. Lenin, Selected Works, 201.

  12. Lenin, Selected Works, 190.

  13. Stefania Vitali, James B. Glattfelder, and Stefano Battiston, “The Network of Global Corporate Control,” PLoS ONE 6, no. 10 (2011): e25995.

  14. Robert Brenner, The Economics of Global Turbulence (London: Verso, 2006).

  15. Ryan Isakson, “Food and Finance: The Financial Transformation of Agro-Food Supply Chains,” Journal of Peasant Studies 41, no. 5 (2014): 749–75.

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  22. Imperialist rent is the result of the differential in the prices of labor power of equal productivity. Samir Amin, “The Surplus in Monopoly Capitalism and the Imperialist Rent,” Monthly Review 64, no. 3 (July–August 2012): 83.

  23. Cui Xuedong, “Is the Contemporary Capitalist Crisis a Minsky-Type Crisis or a Marxist Crisis?” [in Chinese], Studies on Marxism 9 (2018).

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  25. United Nations Conference on Trade and Development, World Investment Report 2018.

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  29. Chen Jianqi, “On the Issue of the Contemporary Counter-globalization and Its Response” [in Chinese], Science of Leadership Forum 10 (2017); He Bingmeng, Liu Rongcang, and Liu Shucheng, Asian Financial Crisis: Analysis and Countermeasures [in Chinese] (Beijing: Social Sciences Academic Press, 2007), 66.

  30. Yang Yunxia, “The New Demonstrations of Capitalist Intellectual Property Monopoly and its Essence” [in Chinese], Studies on Marxism 3 (2019).

  31. Lenin, Selected Works, 223.

  32. Lenin, Selected Works, 230.

  33. Lv Youzhi and Zha Junhong, “The Evolution and Influence of the G7 Group after the Cold War” [in Chinese], Chinese Journal of European Studies 6 (2002).

  34. Zbigniew Brzezinski, The Grand Chessboard: American Primacy and Its Geostrategic Imperatives (New York: Basic Books, 1998).

  35. Li Qiqing, “Neoliberalism Against Globalization” [in Chinese], Marxism & Reality 5 (2003).

  36. Jeffry A. Frieden, Global Capitalism: Its Fall and Rise in the Twentieth Century (New York: W. W. Norton, 2007).

  37. He, Liu, and Liu, Asian Financial Crisis, 84, 91.

  38. Liu Zhenxia, “NATO’s New Strategy is the Embodiment of American Hegemony,” Social Sciences Journal of Universities in Shanxi 3 (1999).

  39. Liu, “NATO’s New Strategy is the Embodiment of American Hegemony.”

  40. Pompeo Threatened That the United States Is Establishing a New Global Order Against China and Russia,” Guancha, December 5, 2018.

  41. Liu, “NATO’s New Strategy is the Embodiment of American Hegemony.”

  42. Wang Yan, “Review of Research on the Index System of Cultural Soft Power” [in Chinese], Research on Marxist Culture 1 (2019).

  43. Hao Shucui, “Making the Socialist Culture with Chinese Characteristics Blossom in the Contemporary World Cultural Garden: An Interview with Professor Wang Weiguang, Member of the Standing Committee of CPPCC, Director of the Committee on Nationalities and Religion” [in Chinese], Research on Marxist Culture 1 (2018).

  44. Iranian Officials Slammed Hollywood Movies and Called them ‘Airfone,’” Huanqiu, February 3, 2012.

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  46. Lenin, Selected Works, 248.

  47. Cheng Enfu and Li Linan, “Marxism and Its Localized Theories in China Are the Soul and Core of Soft Power” [in Chinese], Research on Marxist Culture 1 (2019).

  48. Cheng Enfu, “The New Era Will Accelerate the Process to Enrich People and Strengthen the Country,” Journal of the Central Institute of Socialism 1 (2018).

  49. John Bellamy Foster, Robert W. McChesney, and R. Jamil Jonna, “Monopoly and Competition in Twenty-First Century Capitalism,” Monthly Review 62, no. 11 (2011): 1.

  50. Foster, McChesney, and Jonna, “Monopoly and Competition in Twenty-First Century Capitalism,” 11.

  51. Li Shenming, “Finance, Technology, Culture, and Military Hegemony Are New Features of Today’s Capital Empire” [in Chinese], Hongqi Wengao 20 (2012).

  52. United Nations Conference on Trade and Development, Trade and Development Report 2017 (Geneva: United Nations, 2017).

  53. Global 500, 2018,” Fortune, accessed March 23, 2021.

  54. Li Chong’s research also shows that the rate of surplus value increased. According to his calculations, from 1982 to 2006 the variable capital of U.S. corporations increased from $1,505.616 billion to $6,047.461 billion, a rise of 301.66 percent. Meanwhile, surplus value increased from $674.706 billion to $3,615.262 billion, a rise of 435.83 percent. Li Chong, “Marx’s Law of the Falling Rate of Profit: Analysis and Verification” [in Chinese], Contemporary Economic Research 8 (2018).

  55. Lu Baolin, “Labor Squeeze and Profit Rate Recovery: A Discussion of the Neoliberal Accumulation System of Globalization and Financialization” [in Chinese], Teaching and Research 2 (2018).

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  58. Facundo Alvaredo et al., World Inequality Report 2018 (Berkeley: World Inequality Lab, 2017), 15.

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  63. To cheat is to deceive people by using false words and deeds to conceal the truth. Fraud, which is even worse, involves deceptive acts committed by deceitful means. It refers to behavior intended to create confusion and misunderstanding.

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How the Media Legitimizes Gentrification

By Noah Streng

Republished from Michigan Specter.

If you’ve ever seen an episode of HGTV’s Good Bones or any other “house-flipping” show, you’ll know that like all reality TV shows they depict dramatized situations as a way of increasing the stakes and encouraging viewers to keep watching. However, when watching these types of shows, it is important to recognize what narratives they are promoting. Whose voices and stories do they center? What underlying assumptions are left unchallenged?

In the strange world of reality TV, there’s an entire genre dedicated to “home improvement” where wealthy individuals will buy homes in “rundown neighborhoods’’ and “make them beautiful again” (all while making a significant profit for themselves, of course). These shows like to promote the idea that the house-flippers are courageous underdogs venturing into an uncharted and dangerous land to save target homes from the scary, filthy people who live in them. Euphemisms like “up and coming” and “transitional” are often used to describe low-income, minority neighborhoods starved for investment.

In a dramatic scene from an episode of HGTV’s Good Bones, the gentrifiers are seen “scouting” a house that they bought and breaking through a window because the doors of the house are locked — a sign that people have been staying there. The scene depicts the gentrifiers as being frightened by the possibility of encountering a squatter and being disgusted by the house’s “filth.” However, what’s never asked or included in these shows is questioning why the person living in that house needed to squat in the first place.

Did the state fail to provide them affordable housing? Are they suffering from a mental health issue and lack insurance? Did they get evicted from their former home? Instead of analyzing the root causes of this person’s housing insecurity and seeking to address it, the squatter is demonized as singularly responsible for their failures. Not only that, but the content of these characterizations is highly racialized, contributing to the white supremacist and colonial themes of the show.

These shows almost never consider the perspective of the tenants evicted by gentrifiers who rip their apartments out from under them. In some cases, there will be depictions of scary, drugged-up squatters who are illegally occupying the gentrifiers’ new passion project. In an article titled ‘We Bought a Crack House,’ house-flippers Catherine Jheon and Julian Humphreys detail their “brave” story of buying a house for $560,000 and encountering the tenants — whose home had just been sold by their landlord without consent — still living in the house when they arrive. Some of the home’s residents are experiencing problems with drug addiction, and are even caught by the gentrifiers using crack in an upstairs room.

What’s not mentioned here is how poverty, and these people’s recent condemnation to homelessness by their landlord, may have influenced their decision to use drugs to cope with the immense hardships they face. When Jheon and Humphreys ask the former tenants to leave the home so that they can start renovating, the tenants refuse, citing that they have nowhere else to go and that this is their rightful home. Jheon writes about her frustration with this, as every day she can’t renovate the home is money lost. In the end, she and Humphreys bribe one of the tenants to leave the house and call the police to forcibly remove the rest of them.

This is a classic example of how law and the media intersect to legitimize the violence of colonization and gentrification which continues in our cities today. The poor are demonized and gentrifiers are portrayed as innocent white saviors who are just trying to make a living — but they are doing so by displacing poor, housing insecure black and brown people. The police advance these projects of colonization by using their monopoly on violence to aid gentrifiers in their mission of displacing community residents so that their house can be fixed up and eventually sold to a rich white family.

While seeming innocent on their face, these shows can have devastating effects on the lives of the millions of people in the United States who experience housing insecurity. Not only do these television networks make money off of stories of tragic displacement of poor people, but they frame these stories in a way that valorizes gentrifiers and legitimizes a landlord’s right to hoard property and force destitute people into homelessness. Oftentimes, the excuse that gentrifiers will use when evicting tenants is “it’s our house now.” However, this statement is highly ideological and reinforces the social dynamic between property owners and the property-less in our capitalist society.

Who controls housing is not something that is natural or written in the stars. It is a power arrangement forged by the deliberate decisions of actors within an economic system that prioritizes profit over human life. House-flipping shows are just one part of the larger media trend of legitimizing societal oppression.

TV companies make political decisions when they choose to only highlight the voices of landlords, realtors, and house-flippers over tenants and the housing insecure. The depiction of low-income, predominately black people as filthy, dangerous, and lazy — rather than victims of a violent, exploitative, and racist economic system — feeds into the narrative that gentrification is good for society at large. How the media depicts people’s interactions with the law and frames which laws are just has real consequences. When the media chooses to center the story of the colonizer over the colonized, it legitimizes the displacement, land theft, and systemic impoverishment that millions of people face every day.

John Stuart Mill’s Socialist Side

By Ezra Pugh

While one cannot label John Stuart Mill a socialist, his sympathy and openness to some socialist ideas may surprise modern readers. While regarded today as a patriarch of free market classical liberalism, in a series of articles originally published in The Fortnightly Review between February and April 1879 – later included in the edited volume Socialism (1891) – Mill provides a critical but surprisingly sympathetic assessment of the socialist ideas of his day. While the first volume of Capital by Karl Marx had been published by the time of Mill’s writing, he makes no reference to the work or Marx, and his analysis is limited to pre-Marxian socialist thinkers. While Mill dismisses the great majority of the arguments of the socialists, he acknowledges the validity of many of their frustrations with capitalism, and even goes so far as to endorse some schemes that would be decried as socialism by the modern free marketeer.

The timing of Mill’s analysis was no accident. At the time of his writing in 1879, the Western world was deeply embroiled in the Long Depression of 1873-1896, the worst economic crisis to that point since the advent of industrialization. As the crisis dragged on, doubt in the supremacy of private property as the best form social relation had become widespread throughout the working classes of the Western world. Misery and poverty were rampant, even in the most advanced cities of the most advanced nations. The industrial revolution fundamentally changed society, and new problems required new solutions. As a result, Mill wrote, “the working classes are entitled to claim that the whole field of social institutions should be re-examined, and every question considered as if it now arose for the first time” (Mill, 1891, p. 68). Mill attempts to compare the established idea of private property to the new ideas of socialism and deduce which would be the better fit for society going forward.

Mill divides his analysis of socialism into two main parts. “There is first,” Mill writes, “the judgement of Socialism on existing institutions and practices and on their results; and secondly, the various plans which it has propounded for doing better” (Mill, 1891, p. 69). Socialism – or any movement which seeks to change a society’s status quo – must both make a negative case, diagnosing the ills of society as it exists, and also lay out a positive vision of how society should be changed – along with a plan for getting there. According to Mill, all the various schools of Socialism agree on the first count – their diagnosis of existing society. There is a divergence of thought on the second count, however, and he divides socialists into two camps: Communal and Revolutionary. He separates these issues and considers them in turn.

Mill begins his appraisal of socialism by listing a litany of complaints socialist thinkers had levied against the contemporary economic order. Despite the complaints being “so various…that the only difficulty is to make any approach to an exhaustive catalogue,” Mill divides the arguments into two main categories (Mill, 1891, p. 70). The first main category of argument is that the institution of private property in industrial society generates poverty and an unjust distribution of wealth, ruining the great majority of people financially. The second main category of argument is that individualistic competition, upon which the market economy is founded, ruins people morally and makes them anti-social. Thus, modern society ruins people materially and spiritually. Mill, to a degree, is willing to accept both of these arguments.

Mill agrees with the argument that the private property relation had generated poverty and unfair distribution. He writes, “Suffice it to say that the condition of numbers in civilized Europe, and even in England and France, is more wretched than that of most tribes of savages who are known to us” (Mill, 1891, p. 72). He acknowledges the observation that the higher the degree of industrialization, the higher the degree of immiseration of the working class of Europe. Immense wealth is created, but the distribution of that wealth isn’t necessarily fair or moral. “Those who receive the least, labor and abstain the most,” he notes (Mill, 1891, p.73). Going further, “the most powerful of all the determining circumstances is birth… next to birth the chief cause of success in life is accident and opportunity” (Mill, 1891, pp. 73-74). For Mill, market outcomes are by no mean guaranteed to be optimal or fiar. He acknowledges a legitimate and necessary role for the state to play in interceding in the market to achieve a greater degree of fairness in outcomes.

Mill also agrees to a large extent with the second argument, that the system of private property with individualistic competition ruins people morally. He identifies the tendency for competition to reward deceit and fraud on the part of merchants. The lowest cost producers tend to win out, and there emerges a pattern whereby sellers artificially lower their costs by  “resort[ing] to any of the modes of fraud, such as adulteration, giving short measure, etc.…the temptation is immense on [the merchants] to adopt the fraudulent practices…for the public are aware of the low prices fallaciously produced by the frauds, but do not find out at first, if ever, that the article is not worth the lower price” (Mill, 1891, pp. 99-100). Thus, by an evolutionary process, the honest merchants are weeded out and the frauds survive. Mill suggests the remedy to this trend is increased regulation and a public prosecutor charged, again, advocating for state intervention in the market to correct endogenous flaws.

Perhaps Mill’s most surprising endorsement reformisis of what he terms industrial partnerships, what we call today worker cooperatives. He observes that this form of organization where “the admission of the whole body of laborers to a participation in the profits, by distributing among all who share in the work, in the form of a percentage on their earnings, the whole or a fixed portion of the gains after a certain remuneration has been allowed to the capitalist…has been found of admirable efficacy, both in this country and abroad” (Mill, 1891, p. 120). He notes that such organizations promote efficiency and exertion on the part of workers, reduce waste, and raise worker compensation. He goes to far as to speculate that over time, many businesses could pass into purely cooperative forms once their chiefs retire or pass away – hardly the prediction one might expect from a classical liberal.

But Mill also lists reasons why socialism couldn’t, and in many cases shouldn’t, become the norm of society. Mill is generally open to what he terms communal socialism – the socialism of Owen and Fourier – gradual experimental changes that do not upset the order of society too fundamentally all at once. The other type of socialism which he calls Revolutionary (a foreign import from “The Continent”), seeks to “forcibly deprive all who have now a comfortable physical existence of their only present means of preserving it,” and he predicts “frightful bloodshed and misery would ensue” from such a transition (Mill, 1891, p. 110). Common to both types, Mill foresees a problem motivating people “to do their very best” because men are driven by selfish motives (Mill, 1891, p. 114). Because of the lack of incentive, the persons most qualified for the management would be likely very often to hang back from undertaking it” (Mill, 1891, p. 117). Some highly cultivated individuals may be able to make such a system work, but “before these exceptions can grow into a majority, or even into a very large minority, much time will be required” to socially condition people to be ready for such a system (Mill, 1891, p. 115).

While Mill expresses views in these articles that might have gotten him expelled from the Cato institute today, he stops well short of becoming an advocate of socialism. He observes that while “the evils and injustices suffered under the present system are great…they are not increasing; on the contrary the general tendency is toward their slow diminution” (Mill, 1891, 107). He thinks that with time and the right state intervention, these ills can eventually be eliminated without resorting to any drastic measures. While he does not want to upend the system, he boldly writes that “society is fully entitled to abrogate or alter any particular right of property which on sufficient consideration it judges to stand in the way of the public good” (Mill, 1891, p. 137). Property rights are not in and of themselves sacrosanct, and their form must be in service of generating maximum social welfare. In a surprisingly dialectical observation, he writes, “the idea of property is not some one thing identical throughout history and incapable of alteration but is variable like all other creations of the human mind” (Mill, 1891, p. 136). While one cannot call Mill a socialist, it is clear he is open to considerably more radical market intervention than he is usually given credit. 

 

Mill, J. Stuart. Bliss, W. Dwight Porter. (1891). Socialism. New York: The Humboldt Publishing Co.

A Short History of Enclosure in Britain

By Simon Fairlie

Over the course of a few hundred years, much of Britain's land has been privatized — that is to say taken out of some form of collective ownership and management and handed over to individuals. Currently, in our "property-owning democracy", nearly half the country is owned by 40,000 land millionaires, or 0.06 per cent of the population,1 while most of the rest of us spend half our working lives paying off the debt on a patch of land barely large enough to accommodate a dwelling and a washing line.

There are many factors that have led to such extreme levels of land concentration, but the most blatant and the most contentious has been enclosure — the subdivision and fencing of common land into individual plots which were allocated to those people deemed to have held rights to the land enclosed. For over 500 years, pamphleteers, politicians and historians have argued about enclosure, those in favour (including the beneficiaries) insisting that it was necessary for economic development or "improvement", and those against (including the dispossessed) claiming that it deprived the poor of their livelihoods and led to rural depopulation. Reams of evidence derived from manorial rolls, tax returns, field orders and so on have been painstakingly unearthed to support either side. Anyone concocting a resumé of enclosure such as the one I present here cannot ignore E P Thompson's warning: "A novice in agricultural history caught loitering in those areas with intent would quickly be despatched."2

But over the last three decades, the enclosure debate has been swept up in a broader discourse on the nature of common property of any kind. The overgrazing of English common land has been held up as the archetypal example of the "tragedy of the commons" — the fatal deficiency that a neoliberal intelligentsia holds to be inherent in all forms of common property. Attitudes towards enclosures in the past were always ideologically charged, but now any stance taken towards them betrays a parallel approach to the crucial issues of our time: the management of global commons and the conflict between the global and the local, between development and diversity.

Those of us who have not spent a lifetime studying agricultural history should beware of leaping to convenient conclusions about the past, for nothing is quite what it seems. But no one who wishes to engage with the environmental politics of today can afford to plead agnostic on the dominant social conflict of our recent past. The account of enclosure that follows is offered with this in mind, and so I plead guilty to "loitering with intent".

The Tragedy of the Commons

In December 1968 Science magazine published a paper by Garrett Hardin entitled "The Tragedy of the Commons".3 How it came to be published in a serious academic journal is a mystery, since its central thesis, in the author's own words, is what "some would say is a platitude", while most of the paper consists of the sort of socio-babble that today can be found on the average blog. The conclusion, that "the alternative of the commons is too horrifying to contemplate," is about as far removed from a sober scientific judgment as one could imagine.

Yet "The Tragedy of the Commons" became one of the most cited academic papers ever published and its title a catch phrase. It has framed the debate about common property for the last 30 years, and has exerted a baleful influence upon international development and environmental policy, even after Hardin himself admitted that he had got it wrong, and rephrased his entire theory.

But Hardin did get one thing right, and that is the reason for the lasting influence of his paper. He recognized that the common ownership of land, and the history of its enclosure, provides a template for understanding the enclosure of other common resources, ranging from the atmosphere and the oceans to pollution sinks and intellectual property. The physical fences and hedges that staked out the private ownership of the fields of England, are shadowed by the metaphorical fences that now delineate more sophisticated forms of private property. That Hardin misinterpreted the reasons and motives for fencing off private property is regrettable, and the overview of land enclosure in Britain that follows is just one of many attempts to put the record straight. But Hardin must nonetheless be credited for steering the environmental debate towards the crucial question of who owns the global resources that are, undeniably, "a common treasury for all".

Hardin's basic argument (or "platitude") was that common property systems allow individuals to benefit at a cost to the community, and therefore are inherently prone to decay, ecological exhaustion and collapse. Hardin got the idea for his theory from the Oxford economist, the Rev William Forster Lloyd who in 1833 wrote:

"Why are the cattle on a common so puny and stunted? Why is the common itself so bareworn and cropped so differently from the adjoining enclosures? If a person puts more cattle into his own field, the amount of the subsistence which they consume is all deducted from that which was at the command of his original stock; and if, before, there was no more than a sufficiency of pasture, he reaps no benefit from the additional cattle, what is gained one way, being lost in another. But if he puts more cattle on a common, the food which they consume forms a deduction which is shared between all the cattle, as well that of others as his own, and only a small part of it is taken from his own cattle."5

This is a neat description, and anybody who has lived in a communal situation will recognize that, as an analogy of human behaviour, there is more than a grain of truth in it: individuals often seek to profit from communal largesse if they can get away with it. Or as John Hales put it in 1581, "that which is possessed of manie in common is neglected by all." Hardin, however, takes Lloyd's observation and transforms it by injecting the added ingredient of "tragic" inevitability:

"The rational herdsman concludes that the only sensible course for him to pursue is to add another animal to his herd. And another; and another . . . But this is the conclusion reached by each and every rational herdsman sharing a commons. Therein is the tragedy. Each man is locked into a system that compels him to increase his herd without limit — in a world that is limited. Ruin is the destination toward which all men rush, each pursuing his own best interest in a society that believes in the freedom of the commons. Freedom in a commons brings ruin to all."

Having established that "the inherent logic of the commons remorselessly generates tragedy", Hardin then proceeds to apply this tragedy to every kind of common property that he can think of. From fish populations to national parks and polluted streams to parking lots, wherever resources are held in common, there lies the path to over-exploitation and ruin, from which, he suggests, there is one preferred route of escape: "the Tragedy of the Commons, as a food basket, is averted by private property, or something formally like it."

Hardin continues:

"An alternative to the commons need not be perfectly just to be preferable. With real estate and other material goods, the alternative we have chosen is the institution of private property coupled with legal inheritance. Is this system perfectly just? . . . We must admit that our legal system of private property plus inheritance is unjust — but we put up with it because we are not convinced, at the moment, that anyone has invented a better system. The alternative of the commons is too horrifying to contemplate. Injustice is preferable to total ruin."

To be fair to Hardin, most of the above was incidental to his main point which was the need for population control. But it was music to the ears of free market economists who were convinced that private property rights were the solution to every social ill. A scientific, peer-reviewed, mathematical formula proving that common property led inexorably to ruin, and postulating that privatization, even unjust privatization, was the solution — and all encapsulated under the neat title of Tragedy of the Commons — what could be better? From the 1970s to the 1990s Hardin's Tragedy was picked up by right wing theorists and neo-colonial development agencies, to justify unjust and sometimes ruinous privatization schemes. In particular, it provided agencies such as the World Bank and marine economists with the rationale for the enclosure and privatization of fisheries through the creation, sale and trade of quotas.6

But as well as being one of the most cited papers, it was also one of the most heavily criticized, particularly by anthropologists and historians who cited innumerable instances where limited common resources were managed satisfactorily. What Hardin's theory overlooks, said E P Thompson "is that commoners were not without commonsense."7 The anthropologist Arthur McEvoy made the same point, arguing that the Tragedy "misrepresents the way common lands were used in the archetypal case" (ie England before enclosure):

"English farmers met twice a year at manor court to plan production for the coming months. On those occasions they certainly would have exchanged information about the state of their lands and sanctioned those who took more than their fair share from the common pool . . . The shortcoming of the tragic myth of the commons is its strangely unidimensional picture of human nature. The farmers on Hardin's pasture do not seem to talk to one another. As individuals, they are alienated, rational, utility-maximizing automatons and little else. The sum total of their social life is the grim, Hobbesian struggle of each against all, and all together against the pasture in which they are trapped."8

Faced with a barrage of similar evidence about both historical and existing commons, Hardin in the early 1990s, retracted his original thesis, conceding:

"The title of my 1968 paper should have been 'The Tragedy of the Unmanaged Commons' . . . Clearly the background of the resources discussed by Lloyd (and later by myself) was one of non-management of the commons under conditions of scarcity."9

In fact, this background wasn't clear at all, since it makes a nonsense of the idea of an inexorable tragedy. If degradation results from non-management and collapse can be averted by sound management, then there can be no "remorseless logic" leading to inevitable "ruin". Nor is there any reason why a private property regime (particularly an unjust one) should necessarily be preferable to the alternative of maintaining sound management of a commonly owned resource.

But even within the confined parameters of Hardin's "Hobbesian struggle of each against all", one wonders whether he has got it right. Is it really economically rational for a farmer to go on placing more and more stock on the pasture? If he does so, he will indeed obtain a higher return relative to his colleagues, but he will get a lower return relative to his capital investment in livestock; beyond a certain level of degradation he would be wiser to invest his money elsewhere. Besides — and this is a critical matter in pre-industrial farming systems — only a small number of wealthy farmers are likely to be able to keep sufficient stock through the winter to pursue this option. The most "rational" approach for powerful and unscrupulous actors is not to accrue vast herds of increasingly decrepit animals; it is to persuade everybody else that common ownership is inefficient (or even leads remorselessly to ruin) and therefore should be replaced with a private property system, of which they will be the beneficiaries. And of course the more stock they pile onto the commons, the more it appears that the system isn't working.10

The following account provides a generalized overview of the forces that led to inequitable reallocation of once communal resources. The over-exploitation of poorly regulated commons, as described by William Lloyd, certainly played a role at times, but there is no evidence, from Hardin or anyone else, that degradation of the land was inevitable or inexorable. At least as prominent in the story is the prolonged assault upon the commons by those who wanted to establish ownership for their own private gain — together with the ideological support from the likes of Lloyd and Hardin that has been used to clothe what otherwise often looks like naked acquisitiveness.

The Open Field System

Private ownership of land, and in particular absolute private ownership, is a modern idea, only a few hundred years old. "The idea that one man could possess all rights to one stretch of land to the exclusion of everybody else" was outside the comprehension of most tribespeople, or indeed of medieval peasants. The king, or the Lord of the Manor, might have owned an estate in one sense of the word, but the peasant enjoyed all sorts of so-called "usufructory" rights which enabled him, or her, to graze stock, cut wood or peat, draw water or grow crops, on various plots of land at specified times of year.

The open field system of farming, which dominated the flatter more arable central counties of England throughout the later medieval and into the modern period, is a classic common property system which can be seen in many parts of the world. The structure of the open fields system in Britain was influenced by the introduction of the caruca a large wheeled plough, developed by the Gauls, which was much more capable of dealing with heavy English clay soils than the lightweight Romanaratrum (Fraraire ). The caruca required a larger team of oxen to pull it —as many as eight on heavy soils — and was awkward to turn around, so very long strips were ideal. Most peasants could not afford a whole team of oxen, just one or two, so maintaining an ox team had to be a joint enterprise. Peasants would work strips of land, possibly proportionate to their investment in the ox team. The lands were farmed in either a two or three course rotation, with one year being fallow, so each peasant needed an equal number of strips in each section to maintain a constant crop year on year.

Furthermore, because the fields were grazed by the village herds when fallow, or after harvest, there was no possibility for the individual to change his style of farming: he had to do what the others were doing, when they did it, otherwise his crops would get grazed by everyone's animals. The livestock were also fed on hay from communal meadows (the distribution of hay was sometimes decided by an annual lottery for different portions of the field) and on communal pastures.

The open field system was fairly equitable, and from their analysis of the only remaining example of open field farming, at Laxton, Notts, the Orwins demonstrate that it was one where a lad with no capital or land to his name could gradually build up a larger holding in the communal land:
"A man may have no more than an acre or two, but he gets the full extent of them laid out in long "lands" for ploughing, with no hedgerows to reduce the effective area, and to occupy him in unprofitable labour. No sort of inclosure of the same size can be conceived which would give him equivalent facilities. Moreover he has his common rights which entitle him to graze his stock all over the 'lands' and these have a value, the equivalent of which in pasture fields would cost far more than he could afford to pay."11

In short, the common field system, rather ingeniously, made economies of scale, including use of a whopping great plough team, potentially accessible to small scale farmers. The downside was a sacrifice of freedom (or "choice" as it is now styled), but that is in the nature of economies of scale when they are equitably distributed — and when they are inequitably distributed some people have no choice at all. The open field system probably offered more independence to the peasant than a New World latifundia, or a fully collectivized communist farm. One irony of these economies of scale is that when large-scale machinery arrived, farmers who had enclosed open fields had to start ripping out their hedges again.

It is hard to see how Harding's Tragedy of the Commons has any bearing upon the rise and fall of this open field system. Far from collapsing as a result of increased population, the development of open field systems often occurred quite late in the Middle Ages, and may even have been a response to increasing population pressure, according to a paper by Joan Thirsk.12 When there was plenty of uncultivated land left to clear, people were able to stake out private plots of land without impinging too much upon others; when there was less land to go round, or when a single holding was divided amongst two or three heirs, there was pressure to divide arable land into strips and manage it semi-collectively.

The open fields were not restricted to any one kind of social structure or land tenure system. In England they evolved under Saxon rule and continued through the era of Norman serfdom. After the Black Death serfdom gave way to customary land tenure known as copyhold and as the moneyeconomy advanced this in turn gave way to leasehold. But none of these changes appeared to diminish the effectiveness of the open field system. On the other hand, in Celtic areas, and in other peripheral regions that were hilly or wooded, open fields were much less widespread, and enclosure of private fields occurred earlier (and probably more equitably) than it did in the central arable counties.

However, open fields were by no means restricted to England. Being a natural and reasonably equitable expression of a certain level of technology, the system was and still is found in many regions around the world. According to one French historian, "it must be emphasised that in France, open fields were the agricultural system of the most modernised regions, those which Quesnay cites as regions of 'high farming'."13 There are reports of similar systems of open field farming all over the world, for example in Anatolia, Turkey in the 1950s; and in Tigray, Ethiopia where the system is still widespread. In one area, in Tigray, Irob, "to avoid profiteering by ox owners of oxenless landowners, ox owners are obliged to first prepare the oxenless landowners' land and then his own. The oxenless landowners in return assist by supplying feed for the animals they use to plough the land."14

SHEEP DEVOUR PEOPLE

However, as medieval England progressed to modernity, the open field system and the communal pastures came under attack from wealthy landowners who wanted to privatize their use. The first onslaught, during the 14th to 17th centuries, came from landowners who converted arable land over to sheep, with legal support from the Statute of Merton of 1235. Villages were depopulated and several hundred seem to have disappeared. The peasantry responded with a series of ill fated revolts. In the 1381 Peasants' Revolt, enclosure was an issue, albeit not the main one. In Jack Cade's rebellion of 1450 land rights were a prominent demand.15 By the time of Kett's rebellion of 1549 enclosure was a main issue, as it was in the Captain Pouch revolts of 1604-1607 when the terms "leveller" and "digger" appeared, referring to those who levelled the ditches and fences erected by enclosers.16

The first recorded written complaint against enclosure was made by a Warwickshire priest, John Rous, in his History of the Kings of England, published around 1459-86.17 The first complaint by a celebrity (and 500 years later it remains the most celebrated denounciation of enclosure) was by Thomas More in Utopia:

"Your shepe that were wont to be so meke and tame, and so smal eaters, now, as I heare saye, be become so great devowerers and so wylde, that they eate up and swallow down the very men them selfes. They consume, destroye, and devoure whole fields, howses and cities . . . Noble man andgentleman, yea and certeyn Abbottes leave no ground for tillage, thei inclose all into pastures; they throw down houses; they pluck down townes, and leave nothing standynge but only the churche to be made a shepehowse."18

Other big names of the time weighed in with similar views: Thomas Wolsey, Hugh Latimer, William Tyndale, Lord Somerset and Francis Bacon all agreed, and even though all of these were later executed, as were Cade, Kett and Pouch (they did Celebrity Big Brother properly in those days), the Tudor and Stuart monarchs took note and introduced a number of laws and commissions which managed to keep a check on the process of enclosure. One historian concludes from the number of anti-enclosure commissions set up by Charles I that he was "the one English monarch of outstanding importance as an agrarian reformer."19 But (as we shall see) Charles was not averse to carrying out enclosures of his own.

 

THE DIGGERS

A somewhat different approach emerged during the English Revolution when Gerrard Winstanley and fellow diggers, in 1649, started cultivating land on St George's Hill, Surrey, and proclaimed a free Commonwealth. "The earth (which was made to be a Common Treasury of relief for all, both Beasts and Men)" state the Diggers in their first manifesto "was hedged into Inclosures by the teachers and rulers, and the others were made Servants and Slaves." The same pamphlet warned: "Take note that England is not a Free people, till the Poor that have no Land, have a free allowance to dig and labour the Commons, and so live as Comfortably as the Landlords that live in their Inclosures."20

The Diggers appear to be not so much a resistance movement of peasants in the course of being squeezed off the land, as an inspired attempt to reclaim the land by people whose historical ties may well have already been dissolved, some generations previously. Like many radicals Winstanley was a tradesman in the textile industry. William Everard, his most prominent colleague, was a cashiered army officer. It is tempting to see the Diggers as the original "back to the land" movement, a bunch of idealistic drop-outs.21 Winstanley wrote so many pamphlets in such a short time that one wonders whether he had time to wield anything heavier than a pen. Nevertheless during 1649 he was earning his money as a hired cowherd; and no doubt at least some of the diggers were from peasant backgrounds.

More to the point, the Diggers weren't trying to stop "inclosures"; they didn't go round tearing down fences and levelling ditches, like both earlier and later rebels. In a letter to the head of the army, Fairfax, Winstanley stated that if some wished to "call the Inclosures [their] own land . . . we are not against it," though this may have been just a diplomatic gesture. Instead they wanted to create their own alternative Inclosure which would be a "Common Treasury of All" and where commoners would have "the freedom of the land for their livelihood . . . as the Gentry hathe the benefit of their Inclosures". Winstanley sometimes speaks the same language of "improvement" as the enclosers, but wishes to see its benefits extended to the poor rather than reserved for wealthy: "If the wasteland of England were manured by her children it would become in a few years the richest, the strongest and the most flourishing land in the world".22 In some ways the Diggers foreshadow the smallholdings and allotments movements of the late 19th and 20th century and the partageux of the French revolution — poor peasants who favoured the enclosure of commons if it resulted in their distribution amongst the landless.

It is slightly surprising that the matter of 50 or so idealists planting carrots on a bit of wasteland and proclaiming that the earth was a "Common Treasury" should have attracted so much attention, both from the authorities at the time, and from subsequent historians and campaigners. 200 years before, at the head of his following of Kentish peasants (described by Shakespeare as "the filth and scum of Kent") Jack Cade persuaded the first army dispatched by the king to pack up and go home, skilfully evaded a second army of 15,000 men led by Henry VI himself, and then defeated a third army, killing two of the king's generals, before being finally apprehended and beheaded. Although pictured by the sycophantic author of Henry VI Part II as a brutal and blustering fool with pretensions above his station, Cade was reported by contemporaries to be "a young man of goodlie stature and right pregnant of wit".23 He is potentially good material for a romantic Hollywood blockbuster starring Johnny Depp, whereas Winstanley (who has had a film made about him), after the Digger episode, apparently settled into middle age as a Quaker, a church warden and finally a chief constable.24

THE BLACKS

Winstanley and associates were lucky not to die on the scaffold. The habit of executing celebrities was suspended during the Interregnum — after the beheading of Charles I, anyone else would have been an anticlimax. Executions were resumed (but mainly for plebs, not celebs) initially by Judge Jeffries in his Bloody Assizes in 1686 and subsequently some 70 years later with the introduction of the Black Acts.

The Black Acts were the vicious response of prime minister Walpole and his cronies to increasing resistance to the enclosure of woodlands. The rights of commoners to take firewood, timber and game from woodlands, and to graze pigs in them, had been progressively eroded for centuries: free use of forests and abolition of game laws was one of the demands that Richard II agreed to with his fingers crossed when he confronted Wat Tyler during the 1381 Peasants Revolt.25 But in the early 18th century the process accelerated as wealthy landowners enclosed forests for parks and hunting lodges, dammed rivers for fishponds, and allowed their deer to trash local farmer's crops.

Commoners responded by organizing vigilante bands which committed ever more brazen acts of resistance. One masked gang, whose leader styled himself King John, on one morning in 1721, killed 11 deer out of the Bishop's Park at Farnham and rode through Farnham market with them at 7 am in triumph. On another occasion when a certain Mr Wingfield started charging poor people for offcuts of felled timber which they had customarily had for free, King John and his merry men ring-barked a plantation belonging to Wingfield, leaving a note saying that if he didn't return the money to the peasants, more trees would be destroyed. Wingfield paid up. King John could come and go as he pleased because he had local support — on one occasion, to refute a charge of Jacobinism, he called the 18th century equivalent of a press-conference near an inn on Waltham Chase. He turned up with 15 of his followers, and with 300 of the public assembled, the authorities made no attempt to apprehend him. He was never caught, and for all we know also eventually became a chief constable.26

Gangs such as these, who sooted their faces, both as a disguise and so as not to be spotted at night, were known as "the blacks", and so the legislation introduced two years later in 1723 was known as the Black Act. Without doubt the most viciously repressive legislation enacted in Britain in the last 400 years, this act authorized the death penalty for more than 50 offences connected with poaching. The act stayed on the statute books for nearly a century, hundreds were hanged for the crime of feeding themselves with wild meat, and when the act was finally repealed, poachers were, instead, transported to the Antipodes for even minor offences.

This episode in English history lives on in folk songs, such as Geordie and Van Dieman's Land. The origins of the Black Act, and in particular the exceptional unpleasantness of prime minister Walpole, are superbly recounted in E P Thompson's Whigs and Hunters. Resistance to forest enclosure was by no means confined to England. In France there was mass resistance to the state's take-over of numerous communal forests: in the Ariège, the Guerre des Demoiselles involved attacks by 20 or 30, and on occasion even up to 800 peasants, disguised as women.23 In Austria, the "war of the mountains" between poachers and the gamekeepers of the Empire continued for centuries, the last poacher to be shot dead being Pius Walder in 1982.24

DRAINING THE FENS

Another area which harboured remnants of a hunter gatherer economy was the fenland of Holland in south Lincolnshire, and the Isle of Axholme in the north of the county. Although the main earner was the summer grazing of rich common pastures with dairy cattle, horses and geese, in winter, when large tracts of the commons were inundated, fishing and fowling became an important source of income, and for those with no land to keep beasts on over winter it was probably a main source of income. During the Middle Ages, Holland was well off — its tax assessment per acre was the third highest in the kingdom in 1334 — and this wealth was relatively equitably distributed with "a higher proportion of small farmers and a lower proportion of very wealthy ones".29

In the early 1600s, the Stuart kings James I and Charles I, hard up for cash, embarked on a policy of draining the fenland commons to provide valuable arable land that would yield the crown a higher revenue. Dutch engineers, notably Cornelius Vermuyden, were employed to undertake comprehensive drainage schemes which cost the crown not a penny, because the developers were paid by being allocated a third of the land enclosed and drained.

The commoners' resistance to the drainage schemes was vigorous. A 1646 pamphlet with the title The Anti-Projector must be one of the earliesr grass roots denunciations of a capitalist development project, and makes exactly the same points that indigenous tribes today make when fighting corporate land grabs:

"The Undertakers have alwaies vilified the fens, and have misinformed many Parliament men, that all the fens is a meer quagmire, and that it is a level hurtfully surrounded and of little or no value: but those who live in the fens and are neighbours to it, know the contrary."

The anonymous author goes on to list the benefits of the fens including: the "serviceable horses", the "great dayeries which afford great store of butter and cheese", the flocks of sheep, the "osier, reed and sedge", and the "many thousand cottagers which live on our fens which must otherwise go a begging." And he continues by comparing these to the biofuels that the developers proposed to plant on the newly drained land:

"What is coleseed and rape, they are but Dutch commodities, and but trash and trumpery and pills land, in respect of the fore-recited commodities which are the rich oare of the Commonwealth."30

The commoners fought back by rioting, by levelling the dikes, and by taking the engineers to court. Their lawsuits were paid for "out of a common purse to which each villager contributed according to the size of the holding", though Charles I attempted to prevent them levying money for this purpose, and to prosecute the ringleaders. However, Charles' days were numbered, and when civil war broke out in the 1640s, the engineering project was shelved, and the commoners reclaimed all the fen from the developers. In 1642 Sir Anthony Thomas was driven out of East and West Fens and the Earl of Lyndsey was ejected from Lyndsey Level. In 1645 all the drainers' banks in Axholme were destroyed. And between 1642 and 1649 the Crown's share of fenland in numerous parishes was seized by the inhabitants, and returned to common.

Just over a century later, from 1760, the drainers struck again, and this time they were more successful. There was still resistance in the form of pamphlets, riots, rick-burning etc. But the high price of corn worked in favour of those who wanted to turn land over to arable. And there was less solidarity amongst commoners, because, according to Joan Thirsk, wealthy commoners who could afford to keep more animals over winter (presumably because of agricultural improvements) were overstocking the commons:

"The seemingly equitable system of sharing the commons among all commoners was proving far from equitable in practice . . . Mounting discontent with the existing unfair distribution of common rights weakened the opponents of drainage and strengthened its supporters."

Between 1760 and 1840 most of the fens were drained and enclosed by act of parliament. The project was not an instant success. As the land dried out it shrunk and lowered against the water table, and so became more vulnerable to flooding. Pumping stations had to be introduced, powered initially and unsuccessfully by windmills, then by steam engines, and now the entire area is kept dry thanks to diesel. Since drainage eventually created one of the most productive areas of arable farmland in Britain, it would be hard to argue that it was not an economic improvement; but the social and environmental consequences have been less happy. Much of the newly cultivated land lay at some distance from the villages and was taken over by large landowners; it was not unusual to find a 300 acre holding without a single labourers' cottage on it. Farmers therefore developed the gang-labour system of employment that exists to this day:

"The long walk to and from work . . . the rough conditions of labour out of doors in all weathers, the absence of shelter for eating, the absence of privacy for performing natural functions and the neglect of childrens' schooling, combined to bring up an unhappy, uncouth and demoralized generation."

The 1867 Gangs Act was introduced to prohibit the worst abuses; yet in 2004, when the Gangmasters Licensing Act was passed (in the wake of the Morecambe Bay cockle pickers tragedy), the government was still legislating against the evils of this system of employment. But even if large landowners were the main beneficiaries, many of the fenland smallholders managed to exact some compensation for the loss of their commons, and what they salvaged was productive land. The smallholder economy that characterized the area in medieval times survived, so that in 1870, and again in 1937, more than half of the agricultural holdings were less than 20 acres. In the 1930s the "quaint distribution of land among a multitude of small owners, contrary to expectations, had helped to mitigate the effects of the depression."

SCOTTISH CLEARANCES

By the end of the 18th century the incentive to convert tilled land in England over to pasture was dying away. There were a number of reasons for this. Firstly, the population was beginning to rise rapidly as people were displaced from the land and ushered into factory work in towns, and so more land was required for producing food. Secondly, cotton imported from the US and India, was beginning to replace English wool. And thirdly, Scotland had been united with England and its extensive pastures lay ready to be "devowered by shepe".

The fact that these lands were populated by Highland clansmen presented no obstacle. In a process that has become known as the Clearances, thousands of Highlanders were evicted from their holdings and shipped off to Canada, or carted off to Glasgow to make way for Cheviot sheep. Others were concentrated on the West coast to work picking kelp seaweed, then necessary for the soap and glass industry, and were later to form the nucleus of the crofting community. Some cottagers were literally burnt out of house and home by the agents of the Lairds. This is from the account of Betsy Mackay, who was sixteen when she was evicted from the Duke of Sutherland's estates:

"Our family was very reluctant to leave and stayed for some time, but the burning party came round and set fire to our house at both ends, reducing to ashes whatever remained within the walls. The people had to escape for their lives, some of them losing all their clothes except what they had on their back. The people were told they could go where they liked, provided they did not encumber the land that was by rights their own. The people were driven away like dogs."31

The clearances were so thorough that few people were even left to remember, and the entire process was suppressed from collective memory, until its history was retold, first by John Prebble in The Highland Clearances, and subsequently by James Hunter in The Making of the Crofting Community. When Prebble's book appeared, the Historiographer Royal for Scotland Professor Gordon Donaldson commented:

"I am sixty-eight now and until recently had hardly heard of the Highland Clearances. The thing has been blown out of proportion."32

But how else can one explain the underpopulation of the Highlands? The region's fate was poignantly described by Canadian Hugh Maclennan in an essay called "Scotchman's Return":

"The Highland emptiness only a few hundred miles above the massed population of England is a far different thing from the emptiness of our North West territories. Above the 60th parallel in Canada, you feel that nobody but God had ever been there before you. But in a deserted Highland glen, you feel that everyone who ever mattered is dead and gone."33

PARLIAMENTARY ENCLOSURES

The final and most contentious wave of land enclosures in England occurred between about 1750 and 1850. Whereas the purpose of most previous enclosures had been to turn productive arable land into less productive (though more privately lucrative) sheep pasture, the colonization of Scotland for wool, and India and the Southern US states for cotton now prompted the advocates of enclosure to play a different set of cards: their aim was to turn open fields, pastures and wastelands — everything in fact — into more productive arable and mixed farm land. Their byword was "improvement". Their express aim was to increase efficiency and production and so both create and feed an increasingly large proletariat who would work either as wage labourers in the improved fields, or as machine minders in the factories.

There is, unfortunately, no book that takes for its sole focus of study the huge number of pamphlets, reports and diatribes — often with stirring titles like Inclosure thrown Open or Crying Sin of England in not Caring for the Poor — which were published by both supporters and critics of enclosure in the 17th, 18th and early 19th centuries.34

The main arguments of those in favour of enclosure were:

(i) that the open field system prevented "improvement", for example the introduction of clover, turnips and four course rotations, because individuals could not innovate;
(ii) that the waste lands and common pastures were "bare-worn" or full of scrub, and overstocked with half-starved beasts;
(iii) that those who survived on the commons were (a) lazy and (b) impoverished (in other words "not inclined to work for wages"), and that enclosure of the commons would force them into employment.

The main arguments of those against enclosure were:

(i) that the common pastures and waste lands were the mainstay of the independent poor; when they were overgrazed, that was often as a result of overstocking by the wealthiest commoners who were the people agitating for enclosure
(ii) that enclosure would engross already wealthy landowners, force poor people off the land and into urban slums, and result in depopulation.

The question of agricultural improvement has been exhaustively assessed with the benefit of hindsight, and this account will come back to it later. At the time the propaganda in favour of enclosure benefited considerably from state support. The loudest voice in support of improvement, former farmer Arthur Young (a classic example of the adage that those who can, do — those who can't become consultants) was made the first Secretary of Prime Minister William Pitt's new Board of Agriculture, which set about publishing, in 1793, a series of General Views on the Agriculture of all the shires of England. The Board "was not a Government department, like its modern namesake, but an association of gentlemen, chiefly landowners, for the advancement of agriculture, who received a grant from the government." Tate observes: "The ninety odd volumes are almost monotonous in their reiteration of the point that agricultural improvement has come through enclosure and that more enclosure must take place."35

Whilst the view that enclosure hastened improvement may well have been broadly correct, it is nonetheless fair to call these reports state propaganda. When Arthur Young changed his opinion, in 1801, and presented a report to the Board's Committee showing that enclosure had actually caused severe poverty in numerous villages, the committee (after sitting on the report for a month) "told me I might do what I pleased with it for myself, but not print it as a work for the Board. . . probably it will be printed without effect."36 Young was not the only advocate of enclosure to change his mind: John Howlett was another prominent advocate of enclosure who crossed the floor after seeing the misery it caused.

Between 1760 and 1870, about 7 million acres (about one sixth the area of England) were changed, by some 4,000 acts of parliament, from common land to enclosed land.37 However necessary this process might or might not have been for the improvement of the agricultural economy, it was downright theft. Millions of people had customary and legal access to lands and the basis of an independent livelihood was snatched away from them through what to them must have resembled a Kafkaesque tribunal carried out by members of the Hellfire Club. If you think this must be a colourful exaggeration, then read J L and Barbara Hammonds' accounts of Viscount "Bully" Bolingbroke's attempt to enclose Kings' Sedgmoor to pay off his gambling debts: "Bully," wrote the chairman of the committee assessing the proposal, "has a scheme of enclosure which if it succeeds, I am told will free him of all his difficulties"; or of the Spencer/Churchill's proposal, in the face of repeated popular opposition, to enclose the common at Abingdon (see box p 26).38 And if you suspect that the Hammond's accounts may be extreme examples (right wing historians are rather sniffy about the Hammonds)39 then look at the map provided by Tate showing the constituency of MPs who turned up to debate enclosure bills for Oxfordshire when they came up in parliament. There was no requirement, in the parliament of the day, to declare a "conflict of interest".

Out of 796 instances of MPs turning up for any of the Oxfordshire bills, 514 were Oxfordshire MPs, most of whom would have been landowners.40

To make a modern analogy, it was as if Berkeley Homes, had put in an application to build housing all over your local country park, and when you went along to the planning meeting to object, the committee consisted entirely of directors of Berkeley, Barretts and Bovis — and there was no right of appeal. However, in contrast to the modern rambler, the commoners lost not only their open space and their natural environment (the poems of John Clare remind us how significant that loss was); they also lost one of their principal means of making a living. The "democracy" of late 18th and early 19th century English parliament, at least on this issue, proved itself to be less answerable to the needs of the common man than the dictatorships of the Tudors and Stuarts. Kings are a bit more detached from local issues than landowners, and, with this in mind, it may not seem so surprising that popular resistance should often appeal to the King for justice. (A similar recourse can be seen in recent protests by Chinese peasants, who appeal to the upper echelons of the Communist Party for protection against the expropriation of collective land by corrupt local officials).

ALLOTMENTS AND SMALLHOLDINGS

Arthur Young's 1801 report was called An Inquiry into the Propriety of Applying Wastes to the Maintenance and Support of the Poor. Young, Howlett, David Davies, and indeed most of those who were concerned for the future welfare of the dispossessed (whether or not they approved of enclosure), argued that those who lost commons rights should be compensated with small enclosures of their own.

The losers in the process of enclosure were of two kinds. First there were the landless, or nearly so, who had no ownership rights over the commons, but who gained a living from commons that were open access, or where a measure of informal use was tolerated. These people had few rights, appeared on no records, and received nothing in compensation for the livelihood they lost. But there was also a class of smallholders who did have legal rights, and hence were entitled to compensation. However, the amount of land they were allocated "was often so small, though in strict legal proportion to the amount of their claim, that it was of little use and speedily sold." Moreover, the considerable legal, surveying, hedging and fencing costs of enclosure were disproportionate for smaller holdings. And on top of that, under the "Speenhamland" system of poor relief, the taxes of the small landowner who worked his own land, went to subsidize the labour costs of the large farmers who employed the landless, adding to the pressure to sell up to aggrandizing landowners.41

Since it was generally acknowledged that a rural labourer's wages could not support his family, which therefore had to be supported by the poor rates, there were good arguments on all sides for providing the dispossessed with sufficient land to keep a cow and tend a garden. The land was available. It would have made very little impression upon the final settlement of most enclosure acts if areas of wasteland had been sectioned off and distributed as secure decent-sized allotments to those who had lost their common rights. In a number of cases where this happened (for example in the village of Dilhorn, or on Lord Winchelsea's estates), it was found that cottagers hardly ever needed to apply for poor relief. Moreover, it had been shown (by research conducted by the Society for Bettering the Condition of the Poor and the Labourer's Friends Society) that smallholdings cultivated by spade could be more productive than large farms cultivated by the plough.42

In the face of such a strong case for the provision of smallholdings, it took a political economist to come up with reasons for not providing them. Burke, Bentham and a host of lesser names, all of them fresh from reading Adam Smith's Wealth of Nations, advised Pitt and subsequent prime ministers that there was no way in which the government could help the poor, or anybody else, except by increasing the nation's capital (or as we now say, its GDP). No kind of intervention on behalf of the landless poor should be allowed to disturb the "invisible hand" of economic self interest — even though the hand that had made them landless in the first place was by no means invisible, and was more like an iron fist. At the turn of the century, the Reverend Thomas Malthus waded in with his argument that helping the poor was a waste of time since it only served to increase the birth rate — a view which was lapped up by those Christians who had all along secretly believed that the rich should inherit the earth.

Ricardo's theory of rent was also pulled in to bolster the arguments against providing allotments. A common justification for enclosure and attraction for landowners had always been that rents rose — doubled very often — after enclosure. This was blithely attributed to improvement of the land, as though there could be no other cause. Few gave much thought to the possibility that an increase in rent would result from getting rid of encumbrances, such as commoners and their common rights (in much the same way, that nowadays, a property increases in value if sitting tenants can be persuaded to leave, or an agricultural tie is removed). Rent may show up on the GDP, but is an unreliable indicator of productivity, as contemporary writer Richard Bacon pointed out when he gave this explanation (paraphrased here by Brian Inglis) why landowners and economists were opposed to allotments:

"Suppose for argument's sake, 20 five-acre farms, cultivated by spade husbandry, together were more productive than a single 100-acre farm using machinery. This did not mean that the landowners would get more rent from them — far from it. As each 5 acre farm might support a farmer and his family, the surplus available for tenants to pay in rent would be small. The single tenant farmer, hiring labourers when he needed them, might have a lower yield, from his hundred acres, but he would have a larger net profit — and it was from net profit that rent was derived. That was why landlords preferred consolidation."43

Richard Bacon deserves applause for explaining very clearly why capitalism prefers big farms and forces people off the land. It is also worth noting that the increased rent after enclosure had to be subsidized by the poor rates — the taxes which landowners had to pay to support the poor who were forced into workhouses.

CORN LAWS, COTTON, AND COUNTY FARMS

In 1846, after a fierce debate, the tariffs on imported corn which helped maintain the price of British grown wheat were repealed. The widespread refusal to provide land for the dispossessed, and the emergence of an urban proletariat who didn't have the option of growing their own food, made it possible for proponents of the free market to paint their campaign for the repeal of the Corn Laws as a humanitarian gesture. Cheap bread from cheap imported corn was of interest to the economists and industrialists because it made wages cheaper; at the same time it was of benefit to the hungry landless poor (provided wages didn't decline correspondingly, which Malthus claimed was what would happen). The combined influence of all these forces was enough to get tariffs removed from imported corn and open up the UK market to the virgin lands of the New World.

The founders of the Anti Corn Law association were John Bright, a Manchester MP and son of a cotton mill owner, and Richard Cobden, MP for Stockport and subsequently Rochdale. Their main interest was in cheap corn in order to keep the price of factory labour down, (Bright was opposed to factory legislation and trade union rights); but their most powerful argument was that only a handful of landowners benefited from high prices. It was in a belated attempt to prove the contrary that in 1862 Lord Derby persuaded parliament to commission a land registry; but the publication in 1872 of the Return of Owners of Land, confirmed that Bright and Cobden were broadly right: 0.6 per cent of the population owned 98.5 per cent of the agricultural land.44

Had the labourers of Britain been rural smallholders, rather than city slumdwellers, then a high price for corn, and hence for agricultural products in general, might have been more in their interest, and it is less likely that the corn laws would have been repealed. If England had kept its peasantry (as most other European countries did) there would have been fewer landless labourers and abandoned children, wages for factory workers might have been higher, and the English cotton industry might not have been so well poised to undercut and then destroy thousands of local industries around the world which produced textiles of astonishing craftsmanship and beauty. By 1912 Britain, which couldn't even grow cotton, was exporting nearly seven billion yards of cotton cloth each year — enough to provide a suit of clothes for every man woman and child alive in the world at the time.45 Globalization was a dominant force by the end of the 19th century.

Ironically, it was the same breed of political economists who had previously advocated improvement that was now arguing for grain imports which would make these improvements utterly pointless. The repeal had a delayed effect because it was not until after the construction of the trans-continental American railways, in the 1870s, that cereals grown on low-rent land confiscated from native Americans could successfully undermine UK farming. By the 1880s the grain was also being imported in the form of thousands of tonnes of refrigerated beef which undercut home produced meat. There were even, until the late 1990s, cheaper transport rates within the UK for imported food than for home-grown food.46 The lucky farm workers who emigrated to the New World were writing back to their friends and family in words such as these:

"There is no difficulty of a man getting land here. Many will let a man have land with a few acres improvement and a house on it without any deposit."

"I am going to work on my own farm of 50 acres, which I bought at £55 and I have 5 years to pay it in. I have bought me a cow and 5 pigs. If I had stayed at Corsley I should ever have had nothing."47

Unable to compete with such low rents, England's agricultural economy went into a decline from which it never properly recovered. Conditions of life for the remaining landless agricultural workers deteriorated even further, while demand for factory workers in the cities was not expanding as it had done in the early 19th century. Of the 320,000 acres enclosed between 1845 and 1869, just 2,000 had been allocated for the benefit of labourers and cottagers.48

It was in this context that the call for smallholdings and allotments was revived. "Three Acres and A Cow" was the catch phrase coined by liberal MP Jesse Collings, whose programme is outlined in his book Land Reform. In 1913 the parliamentary Land Enquiry Committee issued its report The Land (no relation) which included copious first hand evidence of the demand for and the benefits of smallholdings. Both books focused on the enclosure of commons as the prime source of the problem.49 A series of parliamentary statutes, from the 1887 Allotments Act, the 1892 Smallholding Act, and the 1908 Smallholding and Allotments Act provided local authorities with the power to acquire the land which now still exists in the form of numerous municipal allotments and the County Smallholdings Estate.

The County Smallholdings, in particular, came under attack when a second wave of free market ideologues came into power in the 1980s and 1990s. The Conservative Party's 1995 Rural White Paper advocated selling off the County Farms, and since then about a third of the estate has been sold, though there are signs that the number of sales is declining.50

THE END OF ENCLOSURE

The enclosure movement was brought to an end when it started to upset the middle classes. By the 1860s, influential city-dwellers noticed that areas for recreation were getting thin on the ground. In the annual enclosure bills for 1869, out of 6,916 acres of land scheduled for enclosure, just three acres were allocated for recreation, and six acres for allotments.51 A protection society was formed, the Commons Preservation Society, headed by Lord Eversley, which later went on to become the Open Spaces Society, and also spawned the National Trust. The Society was not afraid to support direct action tactics, such as the levelling of fences, and used them successfully, in the case of Epping Forest and Berkhampstead Common, to initiate court cases which drew attention to their cause.52 Within a few years the Society had strong support in parliament, and the 1876 Commons Act ruled that enclosure should only take place if there was some public benefit.

In any case, in the agricultural depression that by 1875 was well established, improvement was no longer a priority, and in the last 25 years of the 19th century only a handful of parliamentary enclosures took place. Since then, the greatest loss of commons has probably been as a result of failure to register under the 1965 Commons Registration Act.

In some case commons went on being used as such wellafter they had been legally enclosed, because in the agricultural slump of the late 19th century, landowners could see no profit in improvement. George Bourne describes how in his Surrey village, although the common had been enclosed in 1861, the local landless were able to continue using it informally until the early years of the 20th century. What eventually kicked them out was not agricultural improvement, but suburban development — but that is another story. Bourne comments:

"To the enclosure of the common more than to any other cause may be traced all the changes that have subsequently passed over the village. It was like knocking the keystone out of an arch. The keystone is not the arch; but once it is gone all sorts of forces previously resisted, begin to operate towards ruin."53

THE VERDICT OF MODERN HISTORIANS

The standard interpretation of enclosure, at least 18th-19th century enclosure, is that it was "a necessary evil, and there would have been less harm in it if the increased dividend of the agricultural world had been fairly distributed."54 Nearly all assessments are some kind of variation on this theme, with weight placed either upon the need for "agricultural improvement" or upon the social harm according to the ideological disposition of the writer. There is no defender of the commons who argues that enclosure did not provide, or at least hasten, some improvements in agriculture (the Hammonds ignore the issue and focus on the injustices); and there is no supporter of enclosure who does not concede that the process could have been carried out more equitably.

Opinion has shifted significantly in one or two respects. The classic agricultural writers of the 1920s, such as Lord Ernle, considered that agricultural improvements — the so-called agricultural revolution — had been developed by large-scale progressive farmers in the late 1800s and that enclosure was an indispensable element in allowing these innovators to come to the fore.47 In the last 30 years a number of historians have shown that innovation was occurring throughout the preceding centuries, and that it was by no means impossible, or even unusual, for four course rotations, and new crops to be introduced into the open field system. In Hunmanby in Yorkshire a six year system with a two year ley was introduced. At Barrowby, Lincs, in 1697 the commoners agreed to pool their common pastures and their open fields, both of which had become tired, and manage them on a twelve year cycle of four years arable and eight years ley. 55

Of course it might well take longer for a state-of-the-art farmer to persuade a majority of members of a common field system to switch over to experimental techniques, than it would to strike out on his own. One can understand an individual's frustration, but from the community's point of view, why the hurry? Overhasty introduction of technical improvements often leads to social disruption. In any case, if we compare the very minimal agricultural extension services provided for the improvement of open field agriculture to the loud voices in favour of enclosure, it is hard not to conclude that "improvement" served partly as a Trojan horse for those whose main interest was consolidation and engrossment of land.

A main area of contention has been the extent to which enclosure was directly responsible for rural depopulation and the decline of small farmers. A number of commentators (eg Gonner, Chambers and Minguay) have argued that these processes were happening anyway and often cannot be directly linked to enclosure. More recently Neeson has shown that in Northants, the disappearance of smallholders was directly linked to enclosure, and she has suggested that the smaller kinds of commoner, particularly landless and part-time farmers, were being defined out of the equation.56

But these disputes, like many others thrown up by the fact that every commons was different, miss the bigger picture. The fact is that England and Wales' rural population dived from 65 per cent of the population in 1801 to 23 per cent in 1901; while in France 59 per cent of the population remained rural in 1901, and even in 1982, 31 per cent were country dwellers. Between 1851 and 1901 England and Wales' rural population declined by 1.4 million, while total population rose by 14.5 million and the urban population nearly tripled.57 By 1935, there was one worker for every 12 hectares in the UK, compared to one worker for every 4.5 hectares in France, and one for every 3.4 hectares across the whole of Europe.58

Britain set out, more or less deliberately, to become a highly urbanized economy with a large urban proletariat dispossessed from the countryside, highly concentrated landownership, and farms far larger than any other country in Europe. Enclosure of the commons, more advanced in the UK than anywhere else in Europe, was not the only means of achieving this goal: free trade and the importing of food and fibre from the New World and the colonies played a part, and so did the English preference for primogeniture (bequeathing all your land to your eldest son). But enclosure of common land played a key role in Britain's industrialization, and was consciously seen to do so by its protagonists at the time.

 

THE TRAGEDY

The above account of the enclosure of the English commons is given for its own sake; but also because the management of English common pasture is the starting point of Hardin's thesis, so it is against the tapestry of English commons rights and the tortuous process of their enclosure that Hardin's formulaic tragedy may initially be judged.

Hardin's theory springs from the observation that common pastures allowed individuals to benefit from overstocking at the community's expense, and therefore were inherently prone to ecological exhaustion and ultimately "ruin". Without doubt there were common pastures which matched the description given by William Lloyd, as amplified by Hardin. But the salient fact that emerges from the copious historical studies that have been compiled from local field orders, land tax returns, enclosure awards and so on, is that 18th century commons and common pastures were about as different, one from another, as farms are today. Many were managed according to very detailed rules set by the local manorial court regulating stocking levels (or "stints"), manuring, disease control and so forth; but these rules varied considerably from one village to another. In some places they were found to be more necessary, or were more scrupulously observed than they were in others.

There were indeed "unstinted" commons where there was little control upon the number of animals, though this did not invariably result in impoverishment (see box p26); and there were others where stints were not applied properly, or commoners took advantage of lax or corrupt management to place as many animals on the common as they could at the common expense. Where there was overstocking, according to Gonner, this was "largely to the advantage of rich commoners or the Lord of the manor, who got together large flocks and herds and pastured them in the common lands to the detriment of the poorer commoners . . . The rich crowded their beasts on, and literally eat out the poor." Time and again historians on both sides of the ideological divide come up with instances where overstocking was carried out by one or two wealthy farmers at the expense of the poorer commoners, who could not overstock, even if they wanted to, because they had not the means to keep large numbers of animals over winter.59 Even advocates of enclosure conceded that it was the wealthy farmers who were causing the problems, as when Fitzherbert observed:

"Every cottage shall have his porcyon [portion, ie plot of land] assigned to him according to his rent, and then shall not the riche man oppress the poore man with his catell, and every man shall eate his owne close at his pleasure."60

This comes as no great surprise, but the presence of powerful interest groups, possibly in a position to pervert the management regime, suggests a different scenario from that given by Hardin of "rational herdsmen" each seeking to maximise their individual gain. Hardin's construct is like the Chinese game of go where each counter has the same value; real life is more like chess, where a knight or a bishop can outclass a pawn.

Perhaps there were instances where a profusion of unregulated, "rational" yet unco-operative paupers overburdened the commons with an ever-increasing population of half-starved animals, in line with Lloyd's scenario. But even when there are reports from observers to this effect we have to be careful, for one man's puny and stunted beast is another man's hardy breed. Stunting is another way of stinting. Lloyd was writing at a time when stockbreeders were obsessed with producing prize specimens that to our modern eye appear grotesquely obese. In 1800, the celebrated Durham Ox, weighing nearly 3000 pounds, made a triumphal tour of Britain, and two years later about 2,000 people paid half a guinea for an engraving of the same beast.61 To these connoisseurs of fatstock, the commoners' house cow must have appeared as skeletal as do the zebu cattle of India and Africa in comparison to our Belgian Blues and cloned Holsteins. Yet the zebus provide a livelihood for hundreds of millions of third world farmers, are well adapted to producing milk, offspring, dung and traction from sparse and erratic dryland pastures and poor quality crop residues, and in terms of energy and protein are more efficient at doing so.

Much the same may have been true of the commoners' cows. According to J M Neeson a poor cow providing a gallon of milk per day in season brought in half the equivalent of a labourer's annual wage. Geese at Otmoor could bring in the equivalent of a full time wage (see box p26). Commoners sheep were smaller, but hardier, easier to lamb and with higher quality wool, just like present day Shetlands, which are described by their breed society as "primitive and unimproved". An acre of gorse — derided as worthless scrub by advocates of improved pasture — was worth 45s 6d as fuel for bakers or lime kilns at a time when labourers' wages were a shilling a day.62 On top of that, the scrub or marsh yielded innumerable other goods, including reed for thatch, rushes for light, firewood, peat, sand, plastering material, herbs, medicines, nuts, berries, an adventure playground for kids and more besides. No wonder the commoners were "idle" and unwilling to take on paid employment. "Those who are so eager for the new inclosure," William Cobbett wrote,

"seem to argue as if the wasteland in its present state produced nothing at all. But is this the fact? Can anyone point out a single inch of it which does not produce something and the produce of which is made use of? It goes to the feeding of sheep, of cows of all descriptions . . . and it helps to rear, in health and vigour, numerous families of the children of the labourers, which children, were it not for these wastes, must be crammed into the stinking suburbs of towns?"63

While the dynamic identified by Lloyd clearly exists and may sometimes dominate, it represents just one factor of many in a social system founded on access to common property. Hardin's Tragedy bears very little relationship to the management of open fields, to the making of hay from the meadows, or to various other common rights such as gleaning, none of which are vulnerable to the dynamic of competitive overstocking. The only aspect of the entire common land system where the tragedy has any relevance at all is in the management of pasture and wasteland; and here it is acknowledged by almost all historians that commons managers were only too aware of the problem, and had plenty of mechanisms for dealing with it, even if they didn't always put them into force. The instances in which unstinted access to common pastures led to overstocking no doubt played a role in hastening eventual enclosure. But to attribute the disappearance of the English commons to the "remorseless workings" of a trite formula is a travesty of historical interpretation, carried out by a theorist with a pet idea, who knew little about the subject he was writing about.

 

PRIVATE INTEREST AND COMMON SENSE

Any well-structured economy will allocate resources communally or privately according to the different functions they perform. The main advantage of common ownership is equity, particularly in respect of activities where there are economies of scale; the main advantage of private ownership is freedom, since the use of goods can be more directly tailored to the needs of the individual.

The open field system of agriculture, which until recently was the dominant arable farming system throughout much of Europe, provided each family with its own plot of land, within a communally managed ecosystem. In villages where dairy was prominent, management could shift back and forth between individual and communal several times throughout the course of the day. The system described below was outlined by Daniel Defoe in his observations on the Somerset town of Cheddar 4, but elements of it can be found throughout Europe.

PRIVATE In such a system cows are owned and lodged by individual families, who milk them in the morning, and provide whatever medicinal care they see fit. There are no economies of scale to be derived from milking centrally, and the milk is accessible to consumers, fresh from the udder, providing a substantial economy of distribution. Each family also gets its share of the manure.
PUBLIC At an appointed time in the morning, a communally appointed cowherd passes through the village and the cows file out to make their way to the common pasture. There are clear economies of scale to be gained from grazing all the cows together.
PRIVATE In the evening the herd returns and cows peel off one by one to their individual sheds, where they are again milked. Their owners can calibrate the amount of extra feed cows are given to the amount of milk they require.
PUBLIC Milk surplus to domestic requirements is taken to the creamery and made into cheese, another process which benefits from economies of scale.
PRIVATE At Cheddar, families were paid with entire cheeses, weighing a hundredweight or more, which they could consume or market as they saw fit. Unfortunately Defoe does not tell us what happens to the whey from the creamery, which presumably was given to pigs.
This elegant system paid scant allegiance to ideology — it evolved from the dialogue between private interest and common sense.

 

OTMOOR FOREVER

Otmoor Common near Oxford, a wetland that some viewed as a "a dreary waste", was a "public common without stint . . . from remote antiquity" — in other words local people could put as many livestock as they wanted on it. Even so, summer grazing there for a cow was estimated to be worth 20 shillings; and a contemporary observer reported a cottager could sometimes clear £20 a year from running geese there — more than the seven shillings a week they might expect as a labourer. On the other hand, an advocate of enclosure, writing in the local paper, claimed of the commoners:

"In looking after a brood of goslings, a few rotten sheep, a skeleton of a cow or a mangy horse, they lost more than they might have gained by their day's work, and acquired habits of idleness and dissipation, and a dislike to honest labour, which has rendered them the riotous and lawless set of men that they have now shown themselves to be."

The "riotousness" is a reference to the resistance put up by the commoners to the theft of their land. The first proposal to drain and enclose the land in 1801, by the Spencer/Churchill family, was staved off by armed mobs who appeared everytime the authorities tried to pin up enclosure notices. A second attempt in 1814 was again met with "large mobs armed with every description of offensive weapon".

The enclosure and drainage was eventually forced through over the next few year, but it failed to result in any immediate agricultural benefit. A writer in another local paper judged: "instead of expected improvement in the quality of the soil, it had been rendered almost totaly worthless . . . few crops yielding any more than barely sufficient to pay for labour and seed."

In 1830, 22 farmers were acquitted of destroying embankments associated with the drainage works, and a few weeks later, heartened by this result, a mob gathered and perambulated the entire commons pulling down all the fences. Lord Churchill arrived with a troop of yeomen, arrested 44 of the rioters and took them off to Oxford gaol in a paddy wagon.

"Now it happened to be the day of St Giles' fair, and the street of St Giles along which the yeomanry brought their prisoners, was crowded. The men in the wagons raised the cry 'Otmoor forever', the crowd took it up, and attacked the yeomen with great violence, hurling brickbats, stones and sticks at them from every side . . . and all 44 prisoners escaped."

Two years later Lord Melbourne observed: "All the towns in the neighbourhood of Otmoor are more or less infected with the feelings of the most violent, and cannot at all be depended upon." And, tellingly, magistrates in Oxford who had requested troops to suppress the outrages warned: "Any force which the Government may send down should not remain for a length of time together, but that to avoid the possibilty of an undue connexion between the people and the Military, a succession of troops should be observed."

This article originally appeared as 'A Short History of Enclosure in Britain' in The Land Issue 7 Summer 2009 (Reprint)

References


1. Kevin Cahill, Who Owns Britain, Canongate, 2001.
2. E P Thompson, Customs in Common, Penguin, 1993, p114.
3. Garrett Hardin, "The Tragedy of the Commons", Science, 13 December, 1968, pp1243-1248.
4. Daniel Defoe, A Tour Through England and Wales, Everyman, Vol 1, pp 277-8.
5. William F Lloyd, Two Lectures in the Checks to Population, Oxford University Press, 1833.
6. Eg, E A Loayza, A Strategy for Fisheries Development, World Bank Discussion Paper 135, 1992.
7. E P Thompson, Customs in Common, Penguin, 1993, p107.
8. Arthur McEvoy, "Towards and Interactive Theory of Nature and Culture, Environmental Review, 11, 1987, p 299.
9. Garrett Hardin, "The Tragedy of the 'Unmanaged' Commons", in R V Andelson, Commons Without Tragedy, Shepheard Walwyn, 1991.
10. The prospect of imminent enclosure provided wealthy commoners with a number of incentives for overstocking common pastures. See: JM Neeson, Commoners: Common Right, Enclosure and Social Change in England, 1700-1820, Cambridge, 1993, p156; and W H R Curtier, The Enclosure and Redistribution of Our Land, Elibron 2005 (Oxford 1920), p242.
11. CS and C S Orwin's The Open Fields, Oxford, 1938 is perhaps the most useful study of this system, not least because the Orwin's were farmers as well as academics.. See also J V Beckett, A History of Laxton: England's Last Open Fioeld Village, Oxford: Basil Blackwell, 1989.
12. Joan Thirsk, "The Common Fields", Past and Present, 29, 1964.
13 J-C Asselain, Histoire Economique de la France, du 18th Siècle à nos Jours. 1. De l"Ancien Régime à la Première Guerre Mondiale, Editions du Seuil. 1984
14. Paul Stirling, "The Domestic Cycle and the Distribution of Power in Turkish Villages" in Julian Pitt-Rivers (Ed.) Mediterranean Countrymen, The Hague, Mouton: 1963; Hans U. Spiess, Report on Draught Animals under Drought Fonditions in Central, Eastern and Southern zones of Region 1 (Tigray), United Nations Development ProgrammeEmergencies Unit for Ethiopia, 1994, http://www.africa.upenn.edu/eue_web/Oxen94.htm
15. In 1381, the St Albans contingent, led by William Grindcobbe accused the Abbot of St Albans of (among other abuses) enclosing common land. Jesse Collings, Land Reform,: Occupying Ownership, Peasant Proprietary and Rural Education, Longmans Green and Co, p 120; and on Cade p138.
16. W E Tate, The English Village Community and the Enclosure Movements, Gollancz,1967, pp122-125;W H R Curteis, op cit 10, p132.
17. Ibid.
18. Thomas More, Utopia, Everyman, 1994.
19. Tate, op cit 17, pp 124-127.
20. William Everard et al, The True Levellers' Standard Advanced, 1649.
21. Early hippie organizations in California and the UK called themselves the San Francisco Diggers, and the Hyde Park Diggers respectively.
22. Jerrard Winstanley, A Letter to The Lord Fairfax and his Council of War, Giles Calvert, 1649.The quotation about manuring wasteland is cited by Christopher Hill, Gerard Winstanley: 17th Century Communiat at Kingston, Kingston Umiversity lecture, 24 Jan 1966, available at http://www.diggers.org/free_city.htm
23. Holinshed's Chronicles, Vol 3, p220. Fabyan's Chronicle states of Cade "They faude him right discrete in his answerys". Cited in Jesse Collings, op cit 15, p 139.
24. David Boulton, Gerrard Winstanley and the Republic of Heaven, Dales Historical Monographs, 1999, chapter XIII.
25. Barbara Tuchman, A Distant Mirror, Macmillan, 1978, pp375-6
26. E P Thompson, Whigs and Hunters, Allen Lane , 1985.
27. Guy Vassal, La Guerre des Demoiselles, Editions de Paris, 2009.
28. See the article in this magazine by Roland Girtler and Gerald Kohl.
29. All the information on the fens in this section is taken from Joan Thirsk, English Peasant Farming: The Agrarian History of Lincolnshire from Tudor to Recent Times, Routledge and Kegan Paul, 1957.
30. Anon, The Anti-Projector; or the History of the Fen Project, 1646?, cited in Joan Thirsk, ibid, p30.
31. John Prebble, The Highland Clearances, 1963, p79.
32. Alastair McIntosh, "Wild Scots and Buffoon History", The Land 1, 2006.
33. Quoted in James Hunter, Skye, the Island, Mainstream, Edinburgh, 1986, p118.
34. One of best short accounts is in pp1-52 of Neeson, op cit 9, though there is also useful material in Tate, op cit 17, pp63-90.
35 Curtier, op cit 10; Tate op cit 17. A pro-enclosure summary of the General Views can be found on pp224-252 of Lord Ernle, English Farming Past and Present, 1912.
36. Arthur Young, Autobiography, 1898, republished AM Kelley, 1967.
37. G Slater, "Historical Outline of Land Ownership in England", in The Land , The Report of the Land Enquiry Committee, Hodder and Stoughton, 1913.
38. J L and Barbara Hammond, The Village Labourer, Guild, 1948 (1911) p60.
39 Thompson mentions the "long historiographical reaction against those fine historians, Barbara and JL Hammomd." Thompson, op cit 2, p115.
40. Tate, op cit 17, p97.
41. Curteis, op cit 10, p241.
42. Brian Inglis, Poverty and the Industrial Revolution, 1971, pp89-90, and p385.
43.Ibid, p386.
44 Kevin Cahill, op cit 1, p30.
45. David Landes, The Unbound Prometheus, Cambridge, 1969. p452.
46. Thirsk, op cit 29, p311.
47. Letters from America, cited by KDM Snell, Annals of the Labouring Poor, Cambridge 1985.
48. Tate op cit 15, p138. These figures are challenged by Curtier, whose The Enclosure and Redistribution of Our Land, op cit 10, is an apology for the landowning class. Curtier, an advocate of smallholdings maintained that thanks to landowners' generosity "there were a considerable number of small holdings in existence" and that "the lamentation over the landlessness of the poorer classes has been overdone". Yet he admits that "the total number of those having allotments and smallholdings bears a very small proportion to the total of the poorer classes." Curtier has a useful account of the effects of the various smallholding and allotment acts (pp278-301).
49. Collings, op cit 15; and Slater, op cit 37.
50. S Fairlie, "Farm Squat", The Land 2, Summer 2006.
51. Tate, op cit 15, p136.
52. Lord Eversley, English Commons and Forests, 1894.
53. George Bourne, Change in the Village, Penguin 1984 (1912), pp 77-78.
54. G M Trevelyan, English Social History, Longmans, p379.
47. Lord Ernle, English Farming Past and Present, Longmans, 1912.
55. Humanby, see J A Yelling, Common Field and Enclosure in England 1450-1850, Macmillan, 1977; Barrowby, see Joan Thirsk, op cit 29. J V, Beckett, The Agricultural Revolution, Basil Blackwell, 1990 provides a summary of this change of approach.
56. J M Neeson, op cit 10 . Other key books covering this debate include E C K Gonner, Common Land and Enclosure, Macmillan, 1912; J D Mingay, The Agricultural Revolution 1750-1880, Batsford, 1970; J A Yelling, ibid.
57. Institut National D'Etudes Demographiques, Total Population (Urban and Rural) of metropolitan France and Population Density — censuses 1846 to 2004, INED website; UK figures: from Lawson 1967, cited at http://web.ukonline.co.uk/thursday.handleigh/demography/population-size/...
58. Doreen Warriner, Economics of Peasant Farming, Oxford, 1939, p3.
59.Gonner, op ci 56 p337 and p306; Neeson, op cit 10, pp86 and 156; Thirsk, op cit 29, pp38, 116 and 213.
60. Cited in Curtier, op cit 10.
61. Jeremy Rifkin, Beyond Beef, Dutton, 1992,p60.
62. Neeson, op cit 28 pp 165, 311 and passim.
63. William Cobbett, Selections from the Political Register, 1813, Vol IV.