Archive for 30 septiembre 2015

Land Office photo, Oklahoma, 1900. The General Land Office, formed in 1812, was an early example of the administrative state, responsible for parceling and legal settlement of western U.S. territories. Photo: Library of Congress, George Grantham Bain Collection.

Land Office photo, Oklahoma, 1900. The General Land Office, formed in 1812, was an early example of the administrative state, responsible for parceling and legal settlement of western U.S. territories. Photo: Library of Congress, George Grantham Bain Collection.

Hail to the Pencil Pusher

American Bureaucracy’s Long and Useful History

Nineteenth-century America was a place full of hazards. Disease, political oppression, imperialist warfare, poor living conditions, and hard manual labor took their toll, as they still do. But some dangers were peculiar to the era—among them, exploding steamboats.

Between 1825 and 1830, 273 people died in such accidents. DeBow’s Review (1848) noted 233 cases of “bursting boilers,” “collapsing flues,” and other breakdowns, which could cause massive damage. In his 1833 State of the Union address, President Andrew Jackson noted the “many distressing accidents which have of late occurred . . . . by the use of steam power.” But he didn’t simply mourn, instead arguing that the problem demanded “the immediate and unremitting attention of the constituted authorities of the country.” He sought criminal penalties to prevent what he saw as the negligence of carriers.

But the problem was so severe that Congress eventually decided tackle it administratively. Criminalizing bad behavior wasn’t enough; for the good of individual lives and the larger economy, the government would take positive steps to prevent explosions. Under the Steamboat Act of 1852, Congress mandated standards for boiler pressure and testing. Pilots and engineers would be federally licensed. And government inspectors could enforce these rules.

This “steamboat agency” seems like something straight out of the twentieth century. It relied on the Constitution’s commerce clause to regulate a specific industry for personal safety. It developed these regulations based on scientific understanding. And it combined licensing, rule making, and adjudication, as the New Deal and Great Society agencies did and continue to do. It was, in sum, an early manifestation of an administrative state that contemporary conservatives insist did not exist until Progressive Era reformers built it upon the ashes of a former libertarian utopia.

By the administrative state, I mean the network of agencies created by Congress to carry out the work of the federal government. These agencies differ in the structure of their supervision, their sources of funding, and their ability to write and enforce rules, but collectively they have similar mandates: to carry out laws that Congress and the judiciary lack the time and expertise to implement on their own.

To some observers, this situation is fundamentally at loggerheads with the Constitution. The problem isn’t this or that agency; it is the administrative state itself, an alien import from European collectivism, which destroyed the laissez-faire liberty Americans supposedly enjoyed in the nineteenth century. Today, opposition to the administrative state unites everyone from George Will, who says the Affordable Care Act “serves principally to expand the administrative state’s unfettered discretion,” to Supreme Court Justice Clarence Thomas, who sees the administrative state as evidence of a “belief that bureaucrats might more effectively govern the country than the American people,” to Senator Mike Lee, Glenn Beck, and the Tea Party broadly.

But a new wave of legal history is overturning the narrative of paradise lost. In Jerry Mashaw’s Creating The Administrative Constitution: The Lost One Hundred Years of American Administrative Law (2012), we see that the early U.S. government was both far more bureaucratic and expansive than partisans of deregulation assert. And Daniel Ernst, in Tocqueville’s Nightmare: The Administrative State Emerges in America, 1900–1940(2014), attacks the alien-import thesis, arguing that modern American regulatory agencies were justified by domestic legal norms.

Indeed, this scholarship does more than just show how far back the administrative state goes in American history. It shows that the practices and institutions of bureaucrats have not assaulted our Constitutional liberties but rather have helped define and expand our very notion of liberty. This emergent school of thought, known as “administrative constitutionalism,” documents how our institutions, in their everyday dealings with the public, provide the basis for the liberties courts end up adopting and ratifying.

• • •

Most academic discussion of the U.S. administrative state starts with the creation of the Interstate Commerce Commission of 1887, followed by a major ramp-up in the early twentieth century. This leaves a hundred years in which to fill in the blanks.

But, Mashaw argues, “We should rid ourselves of the nostalgic idea that the emergence of administrative governance in the twentieth century upset the grand design of a non-administrative state.” There “simply never was a time” in which federal law was “self-executing, fully specified by Congress, and enforced through judicial decree.” Mashaw digs up a deep and fascinating world of administrative practices that, from the beginning, were intended to solve the urgent problems Congress and the courts could not by themselves.

Take the settlement of the West. The surveying, sale, and settlement of the new public lands was the largest administrative challenge facing the early federal government. People moving westward, especially after the Louisiana Purchase, didn’t form the bargaining, enclosing paradise of libertarian lore. Settlements involved endless fighting in courts over who owned what under a mix of state, federal, and international law. Courts were ill equipped to handle these cases and quickly buckled under the endless, costly claims, some of which would take decades to negotiate. The time and energy absorbed by the legal process slowed the work of making new land available for settlement. Dysfunction fed back on dysfunction, with lawsuits provoking further lawsuits and uncertainty.

U.S. government bureaucracy helped to define and expand American notions of liberty.

In order to deal with this chaotic situation, Congress created the General Land Office in 1812. It was not without controversy of the sort we might recognize today: during the republican era, Congress wanted to explicitly control every aspect of policy. But rules drafted in Washington D.C., no matter how meticulous, required expert implementation on the ground. The process of surveying, recording, and selling land had to be subject to uniform rules, but the land itself was not uniform, and the rules weren’t easy to apply. Congressional strictures originally prevented Land Office administrators from correcting record-keeping errors resulting from the disconnect between the law and facts on the ground. Eventually, though, Congress realized the need to tolerate some administrative discretion. So, for example, while the law required planting trees to demarcate townships, where trees could not be planted, administrators might fix stones. Land Office agents, newly empowered to make at least some decisions, filed reports with Congress to ensure accountability.

Mashaw extends a project of finding the state in the nineteenth century, which historians have undertaken since the 1990s. Books such as William J. Novak’s The People’s Welfare: Law and Regulation in Nineteenth-Century America (1996) have documented the extensive state regulation of behavior that characterized the time period. Mashaw shows that the government not only regulated through law, but also expanded its capacity to enforce those laws by means of the administrative state.

But even if the administrative state is older than some realize, what should we make of the still-important changes that befell it in the early twentieth century? Here Ernst, in Tocqueville’s Nightmare, offers a compelling mix of history and legal thought, as politicians, lawyers, and bureaucrats try to find a way to balance public needs under administrative purview against judicial accountability.

Ernst’s title is ironic. Alexis de Tocqueville’s nightmare, in Ernst’s telling, was that a “centralized administration” would take hold in the United States. Local municipal bodies, townships, and counties form a shield against federal power. But, Tocqueville wrote, if a federal bureaucratic state ever “sunk deep into the habits and the laws of the people . . . a more insufferable despotism would prevail than any which now exists.”

A century later we had the formal bureaucratic state Tocqueville warned about. Yet ours was still a liberal democracy, with no despotism in sight. What happened?

Ernst argues that the Constitution survived the construction of the administrative state because the courts built judicial values and process into the DNA of the new government agencies. The norms of due process and evidence would give “a distinctly legalistic cast to the administrative state.” Evidently, “Americans decided they could avoid Tocqueville’s nightmare if administration approximated the structure, procedures, and logic of the judiciary.”

Specifically, the administrative apparatus approximated the structure, procedures, and logic of the American judiciary, not a foreign import. While some historians claim a Progressive embrace of European social insurance, city planning, and market regulation, Ernst points out that the German ideal of the Rechtsstaat—a state with only strict, clearly demarcated rules—was advanced in the United States but found little traction.

Instead, the Supreme Court, led in this effort by Justice Charles Evans Hughes, built over the course of decades a theory whereby it could “see” what administrators did if their actions were justified in a purely legalistic way. As long as administrators observed due process and made their decisions based on well-established facts, courts would defer to their actions rather than find that administrators had been making laws themselves.

This focus on Hughes as hero allows Ernst a particular reading of the tension between the Roosevelt administration and the Supreme Court during the New Deal, a critical moment in the history of the administrative state and in the contest over that history. The right sees the New Deal as a clear instance of executive overreach in which the White House cowed a reluctant Court into doing its bidding. But Ernst tells a different story, in which the Court gradually brought administrative law into line with American jurisprudence.

At first the Court was hostile to the New Deal, striking down the National Industrial Recovery Act. But NIRA’s administrative character wasn’t at odds with the Constitution. The problem was a lack of set procedures, and its goals were unclear, meaning that administrators would be left to operate at their discretion. According to Ernst, Hughes, with his opinion in the case eliminating NIRA, was “teaching the New Dealers the first principles of administrative law and procedure.” When the Supreme Court finally began approving New Deal legislation in 1937, it was “less a revolution than a reconciliation between the judicial and executive branches.”

• • •

The administrative state was not only built on the basis of American legal norms, but it also helped to create them, and, in the process, American conceptions of liberty itself. What sort of bureaucracy could do that? One of the strongest examples is also one of the most prosaic: the Post Office.

The Post Office was, at one time, a massive federal state-building enterprise. Spanning and keeping pace with a rapidly expanding frontier, the Post Office was one of the most impressive features of the early state. But not just that. As legal scholar Anuj Desai argues, it is also via the Post Office that our notion of privacy gained shape.

We take for granted that the Fourth Amendment protects the privacy of communications, such as our email. But where does that come from? Most look to wiretapping cases of the 1960s, which took their precedent from Justice Louis Brandeis’s notion of a right to privacy. However, Desai contends that communication privacy really began with everyday bureaucratic practices at the Post Office. In the 1780s and ’90s, the Post Office consciously prevented government agents from opening the mail without a government warrant, which itself was a reaction to activities of the British government during the Revolutionary War. The Supreme Court eventually incorporated these practices into law in the 1878 case Ex parte Jackson, when it protected communications privacy under the Fourth Amendment.

Privacy protection emerged from the early Post Office’s resistance to government snooping.

This is not how we usually understand the development of our constitutional liberties. Instead of judges abstractly thinking through the Fourth Amendment and its implications, normative commitments evolving from bureaucrats’ daily routines came to define a constitutional right to privacy.

Modern free speech, too, is an outgrowth of the administrative state, in this case the Progressive variety. Historians have long believed that Progressive intellectuals, normally skeptical of individual rights and interested in muscular state-building, came to defend civil liberties only after the repression of dissent during World War I compelled them to place new limits on the state. But as legal scholar Jeremy Kessler has argued, Progressives first turned to civil libertarianism in order to bolster the state, not to limit it. Working as bureaucrats in the Wilson administration during World War I, they created a conscientious objector exemption from the draft, much to the anger of Congress and the military. But those in charge of executing the draft, including future Supreme Court Justice Felix Frankfurter, saw it as essential that the state make room for draftees to express their moral and political opposition to military duty and to perform alternative forms of national service.

Supreme Court Justice Oliver Wendell Holmes was close with Frankfurter and his circle, which influenced the famous defense of free speech he articulated in dissent to Abrams v. United States (1919). This defense, which emphasized the way free speech for the government’s political opponents could improve public policy and foster democratic participation, was a judicial embodiment of earlier, administrative efforts to accommodate antiwar citizens.

This is an example of what legal theorists call administrative constitutionalism, which, again, reverses the conventional wisdom according to which constitutional norms are created from on high. As William N. Eskridge Jr. and John Ferejohn explain in A Republic of Statutes: The New American Constitution (2010), our “normative commitments are announced and entrenched not through a process of Constitutional amendments or Supreme Court pronouncements but instead through the more gradual process of legislation, administrative implementation, public feedback, and legislative reaffirmation and elaboration.”

The authors focus on small-c constitutional norms, or what they call superstatutes. These norms start with social movements and economic problems that create demands for state action, resulting in public and legislative deliberation and eventually laws. Implementation elicits responses and opposition from the public and the courts, is revised and elaborated with feedback, and finally turns into a norm, be it privacy or free speech, which may not be entirely encompassed in the direct language of the Constitution. The administrative practices of the state, built through everyday democracy, push just as much on the courts as the courts push on democracy.

These efforts to craft new norms create conflicts, which administrators balance alongside legislators and the courts. Consider the National Labor Relations Board (NLRB), which, as legal scholar Sophia Z. Lee demonstrates in The Workplace Constitution from the New Deal to the New Right (2014), found its postwar goals in contradiction. The NLRB was committed to allowing workers to organize. But it also was committed to ending segregation, including within unions, which ran counter to the objective of maximal unionization. Eventually the courts took over this battle, largely limiting workers’ rights. Whether the courts made the right calls in these cases is not so important in this context. What is important is that negotiations within the administrative state, themselves responsive to public demands, inspired the elaboration of new norms, which then became the subject of constitutional debate. Only by incorporating this realm of the administrative constitution into our debates over history and politics can we get a full picture of how the law really works.

• • •

The recent scholarship on the administrative state provides a wealth of arguments to counter the right’s historical and legal theories. Americans have long turned to bureaucracy to solve problems and to advance liberty.

But the historical presence of an administrative state based in and expressive of American legal norms doesn’t mean that administration is without challenges. The surveillance apparatus, for instance, is opaque and invasive. Immigration agencies have been slapped down by courts for their unconstitutional punitiveness and for engaging in what amounts to administrative lawmaking. Agencies can also be too lax: for instance, the apparent inability of the Securities and Exchange Commission and other financial oversight institutions to corral Wall Street has provoked serious concern over bureaucratic capture.

Our deepening understanding of the history and theory of the administrative state should remind us that we can’t simply wish away these challenges, which reflect ideological contest. As Mashaw shows, administrative agencies have always been subject to and indicative of political dispute. For example, the composition of their staffs and the nature of their practices reflect broader public commitments. During the republican years of the early nineteenth century, agencies hired on the basis of “character” and “standing in the community.” But during the period of Jacksonian democracy, this scheme was attacked as a miniature aristocracy and replaced with a “spoils system,” whereby employment was determined by the party that won office, which seen as a democratic advance. These systems each had their advantages and disadvantages, but there was no way to divorce them from politics.

There is no time before the administrative state we can revert to, no simple practices we can adopt to fix abuses or failures. If correcting administrative faults were simple, then the administrative state really would be outside the bounds of politics. The truth, though, is that through our political institutions, Americans have been struggling since the earliest days of the republic to make administration work, just as administrators have, with great consequence, struggled to make the state function. That is the normal state of U.S. politics. But undoing the administrative state entirely? That would mean returning to a country that never was.

Mike Konczal

Mike Konczal is a fellow at the Roosevelt Institute. His work has appeared in The NationSlate, and The American Prospect. He blogs at Rortybomb.

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Plane Queer cover

Today’s guest discusses the history of sexuality in the workplace through the lens of male flight attendants. We speak with Phil Tiemeyer about the shifts and changes in the airline industry across the 20th century. Phil steers us through this history and reveals the importance and difficulty of braiding together race, gender, and sexuality in a study of the labor and capitalism.

Phil Tiemeyer is Associate Professor of History at Philadelphia University. He is author of Plane Queer: Labor, Sexuality, and AIDS in the History of Male Flight Attendants. You can read more about his work here.

Check out the episode here!

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Conferencia sobre la eugenesia celebrada en Kansas en 1925. / AGE PHOTOSTOCK

Conferencia sobre la eugenesia celebrada en Kansas en 1925. / AGE PHOTOSTOCK

La caída de la gran raza

El lío va a ser cuando lo descubra Donald Trump. El año próximo, mientras las internas norteamericanas derramen su luz sobre Occidente, se cumplirán cien años de un libro que influyó como pocos en la vida de ese país –y que tantos, después, quisieron olvidar.

Su autor, Madison Grant, había nacido en 1865 en Nueva York, en una de esas familias que se decían patricias porque habían desembarcado en el siglo XVII, cuando había que ser muy pobre para migrar a ese islote salvaje. Grant se educó en Yale y Columbia, se recibió de abogado, no ejerció porque no necesitaba y se dedicó, sobre todo, a la caza mayor. De ahí su interés por las ciencias naturales, que pronto se le volvió monomanía. En 1916, ya cincuentón, publicó su ópera magna: se llamaba The Passing of the Great Race –La Caída de la Gran Raza– y fue un éxito.

La Gran Raza era, por supuesto, la blanca, y el libro se dolía por su supuesta decadencia. Para explicarla empezaba por una clasificación donde dividía a los “caucasoides” –muy superiores a los “negroides” y “mongoloides”– en tres clases. Los “nórdicos” eran los mejores, después venían los “alpinos” y, al final, lacra viciosa perezosa y boba, los “mediterráneos”: griegos, italianos, españoles. De donde su tesis central: la inmigración indiscriminada de esos inferiores estaba destruyendo América; los brutos se reproducían tanto, con tal carga genética, que arruinaban el nórdico pueblo americano. Era una vergüenza, decía Grant, que sus compatriotas “quisieran vivir unas pocas generaciones de vida fácil y lujosa” importando esa mano de obra barata que arrasaría su raza.

América se derrumbaba, pero Grant le ofrecía sus soluciones: para los casos más extremos de la degradación proponía “un rígido sistema de selección a través de la eliminación de los débiles o incapacitados –los fracasados sociales– que en cien años nos permitirá deshacernos de los indeseables que colman nuestras cárceles, hospitales y manicomios”. Ni siquiera era necesario matarlos, decía: alcanzaba con esterilizarlos. “Es una solución práctica, piadosa e inevitable que puede ser aplicada a un círculo creciente de desechos sociales, empezando por el criminal, el enfermo y el loco para extenderla gradualmente a los tipos que podríamos llamar ya no defectuosos, sino débiles, y por fin a los tipos raciales inútiles”.

La eugenesia era una corriente poderosa, y La Caída fue su estandarte. Su prédica funcionó: pocos años después la Suprema Corte americana declaró constitucional la esterilización de los “débiles mentales”. En la década siguiente unas 60.000 mujeres fueron esterilizadas.

Fue uno de los grandes éxitos de Grant y los suyos; el mayor llegó cuando su insistencia consiguió acabar con la inmigración que había conformado su país. La Inmigration Act promulgada en 1924 por un Gobierno republicano estableció cuotas que limitaban al máximo la llegada de italianos, polacos, chinos, japoneses, judíos varios y cerró la primera gran ola migratoria americana.

La Caída de la Gran Raza se reimprime cada tanto, aunque sus editores no se atreven a poner en tapa la opinión de Adolf Hitler: “Este libro es mi biblia”. Dichas así, a lo bestia, sus ideas pueden sonar intolerables o ridículas. En su momento se consideraban científicas y produjeron efectos importantes: su recuerdo sirve para preguntarse qué ideas que tomamos en serio parecerán ridículas o intolerables en unas pocas décadas. Y, de todas formas, tras el mínimo barniz de la corrección política, sus conceptos reaparecen en cada patera mediterránea, en cada Trump gritando, en tantas charlas de café.

Madison Grant murió en 1937. Su libro se estudiaba, sus ideas influían, sus discípulos medraban. Él, mientras tanto, obsesionado por conservar, había dedicado sus últimas décadas al ecologismo, y descolló: se le debe, dicen, la supervivencia del bisonte y otras grandes bestias que el hombre amenazaba.

“Martín Caparrós (Buenos Aires, 1957) se licenció en historia en París, vivió en Madrid y Nueva York, dirigió revistas de libros y revistas de cocina, recorrió medio mundo, tradujo a Voltaire, Shakespeare y Quevedo, recibió el Premio Planeta Latinoamérica, el Premio Rey de España y la beca Guggenheim. Es autor de unos treinta libros que lo han encumbrado como uno de los grandes escritores latinoamericanos de nuestro tiempo.” (http://www.anagrama-ed.es/autor/1214)

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The Peculiar Institution Expands: Slavery and the Constitution

We’re History  September 22, 2015
Women and Children Picking Cotton

Women and Children Picking Cotton.(Photo: Avery Research Center at the College of Charleston)

From the Editors…There is a currently a dust-up in political and historical forums over whether or not the Constitution sanctioned slavery or was an anti-slavery document. It is heated, and personal, and must, to many people, seem arcane. Who really cares, today, whether or not the Founding Fathers technically saw the nation as one based on slavery, when the reality was that the Constitution permitted the institution? Slavery existed before the American Revolution, it expanded afterward, and Americans had to fight a four-year war that cost more than $5 billion and 600,000 lives to end it.

So why does this issue matter so much?

It is really a fight about politics, and the nature of modern-day America.

Princeton professor Sean Wilentz launched the fight with an op-ed in the New York Times on September 16 shortly after Bernie Sanders said that the United States was “created…on racist principles.” Wilentz, a long-time Clinton supporter, vehemently disagreed. He insisted that the Constitution, which established the nation, was anti-slavery because it kept slavery a local, rather than a national, institution.

The larger question at stake in this argument is about whether or not America needs to address a history of inequality that is knit into the fabric of our society, or whether the problems we see today are largely policy issues that are not part of the nation’s fundamental make-up. This translates to politics because Sanders has been a more vocal supporter of the Black Lives Matter movement than Hillary Clinton has been. At a more general level, though, it is a fight about how to incorporate new voices into a discussion about America’s future.

We’re History believes the best way to address these questions is by looking at what, exactly, happened in the past. Today Professor Joshua D. Rothman from the University of Alabama explains how the Constitution encouraged the growth of slavery.

Critics of Sean Wilentz’s essay in the September 16 New York Times have rightfully noted that contrary to Wilentz’s claims, the Constitution quite clearly entrenched racial slavery in the national government and made it a national institution. The Constitution contained enough ambiguity to allow antislavery forces to maintain by the middle of the nineteenth century that the federal government could legitimately put slavery on the path toward extinction. But to make the case that the Constitution was nationally antislavery in intent in 1787 is to read history backwards from 1865.

Perhaps more significantly, such an argument makes American history in the years between the ratification of the Constitution and the outbreak of the Civil War difficult if not utterly impossible to understand. For if the Constitution was indeed, in Wilentz’s words, “based on a repudiation of the idea of a nation dedicated to the proposition of property in humans,” slavery never should have become an even more powerful force in American life after ratification than it had ever been before. If the Constitution was truly antislavery at a national level, the enslaved population that stood at around 700,000 in 1790 never should have increased nearly sixfold to roughly 4,000,000 people by 1860, at which point the United States had the largest enslaved population on the planet. The landscape of slavery and the number of people imprisoned on it in the United States expanded not because white southerners somehow conspired against the intentions of the framers, but because structurally and politically the Constitution encouraged it.

Some of the men involved in drafting the Constitution did believe that the institution of slavery was morally problematic and hoped that it would fade over time before effectively ending on its own. Given the declining Chesapeake tobacco economy of the late eighteenth century, it was not unreasonable to imagine that the compromises that made slavery part of the infrastructure of the national government were temporary expedients that would largely cease to matter within a generation or two. Even as some northern states began moving toward gradually emancipating their enslaved populations, however, no constitutional provision was ever made to nudge the nation as a whole in that direction, and in short order after ratification the burgeoning cotton economy of the southwest shattered the illusion that slavery might somehow simply disappear.

If any sense of urgency for moving against slavery at the national level ever really existed around the time of ratification, congressmen abandoned it quickly. In the late 1790s, Congress formally opened for settlement the Mississippi Territory, comprising what is now Mississippi and Alabama, and, after briefly debating alternatives that were within its power to enact, endorsed slavery’s legality there. The United States then acquired the massive Louisiana Territory in 1803. Here too lay an opportunity for the national government to demonstrate its commitment at least to restricting slavery’s growth if not to ending it. But no such commitment existed, and white settlers expanded slavery throughout the Southwest. In the region of the Mississippi Territory alone, the enslaved population increased from fewer than 4,000 people in 1800 to more than 180,000 by 1830.

To the extent that Congress used the Constitution to circumscribe slavery at all, it did so in ways that actually entrenched the institution and nurtured its growth. The Missouri Compromise of 1820, for example, drew a line across the Louisiana Purchase above which federal law banned slavery’s expansion. But it simultaneously recognized and affirmed federal support for slavery’s expansion below the line. Then Congress demonstrated its support for that expansion through its program of Indian removal that used federal money and military might to clear Native Americans off millions of acres of cotton land for white slaveholders to exploit.

Similarly, while Congress did enact legislation to abolish the transatlantic slave trade as soon as it was constitutionally permissible in 1808, it simultaneously gave national license for Americans to engage in the domestic slave trade that had been growing in the United States to feed white demands for labor in the cotton lands. The very same legislation that barred the importation of enslaved Africans for sale placed no restrictions on the sale of enslaved people across state lines. On the contrary, the law required only that ships transporting enslaved people from the failing tobacco fields of Maryland and Virginia to the thriving cotton and sugar regions of the Southwest had to document on their manifests that their cargo had lived in the United States by 1808. Congress thus had the explicit constitutional power to regulate interstate commerce, and at the very moment the minds of its members turned to the horrors of the transatlantic slave trade, they used that power to legitimize the domestic slave trade as an acceptable form of commercial exchange in the United States.

All of these developments had their greatest meaning in the places where slavery continued to exist in the nineteenth century, but all of them were national in significance. Cotton only grew in the South, but by the 1830s it was by far the nation’s most vital export. Slave-grown cotton made up more than half of everything the United States shipped overseas, and it fueled the early Industrial Revolution specifically and the evolution of American capitalism more generally. Enslaved people were traded only in the South, but the profits from their sales were shared nationally, and even internationally, as banks scattered across the United States and England provided the credit that facilitated the trade. In fact, during the 1820s and 1830s, the years when the trade was arguably at its most flourishing, that credit came directly from the federal government, with the Second Bank of the United States pouring millions in government funds into the Southwest.

Growing numbers of American antislavery activists understood that the profits of slavery accrued generally in the United States. As abolitionist Joshua Leavitt put it in 1840, the wealth produced by slavery was “the common plunder of the country.” And abolitionists understood equally well from whence the authority to carry out what Leavitt called “this general robbery” of the enslaved ultimately derived. One might make the case that the Constitution’s omission of the word “slavery” eventually helped enable that institution’s demise. But that linguistic squeamishness notwithstanding, only the fact that the Constitution confirmed the legitimacy of racial slavery can explain its explosive growth before the Civil War.

About the Author

Joshua D. Rothman

Joshua D. Rothman is Professor of History and Director of the Frances S. Summersell Center for the Study of the South at the University of Alabama. He is the author, most recently, of Flush Times and Fever Dreams: A Story of Capitalism and Slavery in the Age of Jackson (2012), and is currently working on a book about the slave traders Isaac Franklin, John Armfield, and Rice Ballard.

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Why We Have Loved Gangster Movies for 100 Years
HNN  September 11, 2015

Bonnie Parker and Clyde Barrow, sometime between 1932 and 1934 . Wikipedia.

Gangster James “Whitey” Bulger had been gone for sixteen years, vanished into the American landscape. The brutal New England mob boss, who murdered numerous people and controlled a powerful mafia family for more than twenty years, and at the same time betrayed his men as an FBI informer, had disappeared like a puff of smoke. Then, suddenly, in 2011, he was arrested in Santa Monica, California. A crime stopper television show aired a biography of him and the secretive, ordinary looking old man who lived in an apartment in Venice Beach with his longtime girlfriend not only surrendered without a classic movie shootout, but surrendered without even a whimper.

Whitey Bulger’s story is the basis for new Johnny Depp movie, Black Mass, that opens this week. The movie recounts the odd life of Whitey, whose brother Bill, astonishingly, was the President of the Massachusetts State Senate and the President of the University of Massachusetts.

It is yet another American gangster movie. The mob movie has been a staple of American entertainment history since the silent movie era. It flourished after the arrival of sound with movies such as The Public Enemy and Little Caesar. The public’s love of the gangster boomed again in the late 1940s with film noir hoods like actor Richard Widmark, and crested in the 1970s with The Godfather movies. They were seen along with crime classics such as Bonnie & Clyde, Goodfellas, The Departed. Donnie Brasco and the HBO television series The Sopranos, starring Tony Soprano and his lovable New Jersey crew, understanding wife and troublesome kids.

The gangster movie is not only as American as apple pie; it is better than apple pie. You finish an apple pie; the mob movie never disappears.

Why do we love gangsters and crime cinema so much? They represent everything that America, and Americans, do not stand for. They focus on brutish, murderous thugs whose sole goal is accumulating power and money by using fear tactics. They will do anything to anybody to get ahead, regardless of how many laws they break or people they shoot.

We should hate gangsters, real or Hollywood, and yet we embrace them. Why?

The film and TV gangsters are a cultural phenomenon that dates back to the turn of the 20th century and the arrival in America of the Italian mafia, then called ‘The Black Hand.’ They split up into various “families” in New York and then in other American cities as organized crime, the mafia, the mob, the underworld – call it what you will – and succeeded not just in the streets, but in the box offices of theater and later on television stations.


The screen or television gangster is somebody many Americans wish they could be – tough, resilient, fearless – but, of course, we are not. The hoods live in a chaotic, violent world that Americans want to control themselves, but not really. We love to admire them, to talk about them, read about them and see them on the silver screen and wish we could be them – up to ‘the line,’ the line that, of course, we do not cross. We just sit back and live like them, machine guns and all – vicariously.

The Hollywood mobster is an historic character. He got his start in the early days of sound film because during the 1920s, thanks to endless media attention, he had already become a major figure on the American scene. Most of the early real life gangsters were immigrants who could not succeed in American because of persecution and discrimination against ethnic groups. So, nowhere else to go, they turned to crime. They had to turn to crime, shrugged Americans. Since all of us are, way back, immigrants from somewhere, we understood that.

The gangsters left us alone. They went about their business – robbery, murder, kidnapping, extortion – but did not bother the average citizen. They were successful, made a lot of money and lived in large homes. Nobody loves successful people like Americans. The mobsters were admired for their ability to rise above discrimination and succeed. By 1930, Americans saw them just like other people successful people– well-dressed men who drove flashy cars, hung out at posh night clubs, mingled with movie stars, dated beautiful women and lived the American dream. They achieved what we all wanted to achieve. They just did it in a different way.

What movie writers did was take the real gangster, sanitize him, glamorize him and put him on the big screen as a hero. He was the immigrant tough guy who blasted his way to the top. The judges, public officials and cops were the villains in all those 1930s gangster movies (did they all star James Cagney or did it just seem that way?). They were Robin Hoods with machine guns.

The movie gangster succeeded because real life gangsters of the era, such as Al Capone, Bonnie and Clyde and John Dillinger, had also become folk heroes, thanks to huge press coverage of their lives. The movies just took real life, put some make up on it, added music, printed posters and rolled the cameras.

In his wonderfully analytic book, Inventing the Public Enemy, David Ruth wrote of Capone that “In press conferences, interviews with reporters and a highly theatrical social life, Al Capone worked as hard as any movie star to create a favorable public image…. He was the subject of popular books, numerous pulp publications, movies and feature articles in newspapers and magazines ranging from Master Detective to Collier’s.”

The gangster movie was in a lull from the late ‘30s to the late 40’s and then from the early 1950s to the early 1970s. Then came Marlon Brando (“I’ll make him an offer he cannot refuse”), Al Pacino and Robert DeNiro in the Godfather movies. The public loved the Corleones and despised anybody trying to injure them, such as the FBI, the New York City Police Department and the Supreme Court.

The Corleones, and all screen gangsters, were good people. They never killed people out of personal hatred. It was all “just business.” They loved their wives, were good family men, raised kids, went to church and respected each other. They were men who acted like all men wanted to act. They just had a different type of job, that’s all – real different. They died just like we all died, except they died suddenly.

The Sopranos cemented the role of the beloved gangster in American entertainment. There were only two endings for Tony Soprano as the series was going to off the air – murder or prison. The public did not want that, though. In a New Jersey Star Ledger poll, over 80% of those queried begged the producer of The Sopranos to somehow let Tony live. The public loved Tony. He was everybody’s favorite uncle. He cared for his wife, loved his kids, helped his family, fought with his mother and Uncle, put up with his shrink and always tried to do what he could, with his working class, immigrant background, to get ahead in America. Tony Soprano did kill a lot of people but … oh, well.

So your son wants to be a doctor, an architect, a United States Senator? Your daughter wants to be an engineer, college professor, scientist?

Just remember one of the first lines in the mob movie Goodfellas. “As far back as I could remember, I always wanted to be a gangster. To me, being a gangster was better than being President of the United States.”

Bruce Chadwick lectures on history and film at Rutgers University in New Jersey. He also teaches writing at New Jersey City University. He holds his PhD from Rutgers and was a former editor for the New York Daily News. Mr. Chadwick can be reached at bchadwick@njcu.edu. Bruce Chadwick lectures on history and film at Rutgers University in New Jersey. He also teaches writing at New Jersey City University. He holds his PhD from Rutgers and was a former editor for the New York Daily News. Mr. Chadwick can be reached at bchadwick@njcu.edu.

– See more at:Why We Have Loved Gangster Movies for 100 Years

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War Without Reason

Henry Kissinger dismissed facts and data in favor of grandiose notions of moral power.

Jacobin  September 14, 2015
Henry Kissinger at an April 1975 news conference on the evacuation of Americans and others from Saigon.

Henry Kissinger at an April 1975 news conference on the evacuation of Americans and others from Saigon.

Greg Grandin is a professor of history at New York University and the author of many books, including Kissinger’s Shadow: The Long Reach of America’s Most Controversial Statesman, from which the following is adapted.

The ferocity with which Richard Nixon and Henry Kissinger bombed Cambodia, along with the desire to inflict extreme pain on North Vietnam, had a number of motivations. Some were explicit — to wring concessions out of Hanoi; to disrupt the National Liberation Front’s supply and command-and-control lines — and others implicit — to best bureaucratic rivals; to look tough and prove loyalty; to appease the Right.

“Savage was a word that was used again and again” in discussing what needed to be done in Southeast Asia, recalled one of Kissinger’s aides, “a savage unremitting blow on North Vietnam to bring them around.”

But there’s another way to think about the savagery, along with the wild, off-the-books way their air assault was carried out.

Everything about the secret operation seemed to be a reaction to the man Kissinger identified as the ultimate technocrat: Kennedy’s and Johnson’s secretary of defense, Robert McNamara. In office from 1961 to 1968, McNamara is famous for imposing on the Pentagon the same integrated system of statistical analysis he had, in the previous decade, used to rescue the Ford Motor Company.

“McNamara’s revolution” continued reforms that had been underway since World War II, but in a much more intensified and accelerated fashion. McNamara’s “whiz kids” sought to subordinate every aspect of defense policy — its lumbering bureaucracy, its cornucopia budget for equipment appropriation, its doctrine, tactics, chains of command, its supply logistics and battlefield maneuvers — to the abstract logic of economic modeling. Intangibles that couldn’t be graphed or coded into an economic model — will, ideology, culture, tradition, history — were disregarded. McNamara even tried, without success, to impose a single, standard uniform on all the different branches of the armed services.

As might be expected, such efforts to achieve “cost effectiveness” greatly expanded paperwork. Every operational detail was recorded so that, back in DC, teams of economists and accountants could figure out new opportunities for further rationalization. Finance and budget came under special scrutiny; among McNamara’s early major reforms was to “develop some means of presenting” the Pentagon’s “costs of operation in mission terms.” What this meant for the Strategic Air Command is that every gallon of fuel was accounted for, every flight hour recorded, every spare part used, along with every bomb dropped.

Kissinger’s plans to bomb Cambodia — plans worked out with Air Force colonel Ray Sitton, who was also skeptical of McNamara’s methods — weren’t quite the antithesis of McNamarian bureaucracy. They were more a shadow version, or perversion, of that bureaucracy.

According to Sitton, Kissinger approved a highly elaborate deception to circumvent “the Strategic Air Command’s normal command and control system — highly classified in itself — which monitors for budgetary requirements such items as fuel usage and bomb tonnage deployed.” A “duel reporting system” was established; briefings of pilots focused exclusively on objectives inside South Vietnam, but once in the air, radar sites would redirect a certain number of planes to their real destination in Cambodia. All documentation — maps, computer printouts, messages, and so on — that might reveal the true targets was burned.

“Every piece of paper, including the scratch paper, the paper that one of our computers might have done some figuring on, every piece of scrap paper was gathered up,” Maj. Hal Knight, who carried out the falsification on the ground in South Vietnam, testified to Congress in 1973: “I would wait until daylight, and as soon as that time came, I would go out and burn that.”

For Kissinger and the other men who bombed Cambodia for four years, this was a way of subverting the soulless enervation of “systems analysis,” of taking war out of the hands of bureaucrats and giving it back to the warriors.

Kissinger was much more aware of the philosophical foundation of his positions than most other postwar defense intellectuals. Yet, what is more important, at least in terms of understanding the evolution of the national security state, is how his critique reflects a deeper current in American history.

The idea that spirit and intuition need to be restored to a society that had become “overcivilized” and “overrationalized,” too dependent on logic, instruments, information, and mathematics, has a pedigree reaching back at least to the late 1800s. “Life is painting a picture, not doing a sum,” said Oliver Wendell Holmes, in a 1911 Harvard address (quoted by Kissinger in his undergraduate thesis).

Throughout the twentieth century, and into the twenty-first, every generation seemed to throw up a new cohort of “declinists,” militarists who warn about the establishment’s supposed overreliance on data and expertise, complain about the caution generated by too much bureaucracy, protest the enervation that results from too much information. The solution to such lassitude is, inevitably, more war, or at least more of a willingness to wage war, which often leads to war.

Kissinger, in the 1950s and 1960s was part of one such cohort, contributing to the era’s right-wing lurch in defense thinking, the idea that we needed to fight little wars in gray areas with resolve. In the mid-1970s, ironically, he himself was a primary target of just such a critique, at the hands of Ronald Reagan and the first generation of neoconservatives.

But before we get to that irony, there’s another worth considering: the role that one of Robert McNamara’s left-behinds, the economist Daniel Ellsberg — a man who liked to do his sums, whose understanding of the way the world worked was so diametrically opposed to Henry Kissinger’s metaphysics that he might be thought of as an anti-Kissinger — had in bringing down the Nixon White House.

Henry Kissinger and Daniel Ellsberg did their undergraduate and graduate studies at Harvard around the same time, both young veterans on scholarship and both brilliant and precocious. And it was Ellsberg, stationed in the US embassy in Saigon, who briefed Kissinger during his first visit to South Vietnam.

Like Kissinger, Ellsberg was interested in the question of contingency and choice in human affairs. But Ellsberg approached the subject as an economist, going on to do groundbreaking work in game theory and abstract modeling. Focused on atomized individuals engaged in a series of rational cost-benefit transactions aimed to maximize their advantage, these methods were far removed from Kissinger’s metaphysical approach to history, ideas, and culture.

Kissinger, in fact, had Ellsberg’s kind of methodology in mind when he criticized, in his undergraduate thesis, the smallness of American social science and the conceits of “positivism,” the idea that truth or wisdom could be derived from logical postulates or mathematical formulas.

Ellsberg spoke the language of axioms, theorems, and proofs, and believed that sentences like this could help defense strategists plan for nuclear war:

For any given probability distribution, the probability of outcome a with action III is p(A ∪ C) = PA + PC. The probability of outcome a with action IV is p (B ∪ C) = PB + PC. . . . . This means there must be a probability distribution, PAPB PC (0 ≤ pi ≤ p ∑ pi = 1), such that PA > PB and PA + PC < PB +PC. But there is none.

In contrast, Kissinger the metaphysician, wrote things like:

It does not suffice to show logically deduced theorems, as an absolute test of validity. There must also exist a relation to the pervasiveness of an inward experience which transcends phenomenal reality. For though man is a thinking being, it does not follow that his being exhausts itself in thinking. . . . the microcosm contains tension and polarity, the loneliness of the individual in a world of strange significances, in which the total inner meaning of others remains an eternal riddle. Rhythm and tension, longing and fear, characterize the relationship of the microcosm to the macrocosm.

The clash between these two ways of thinking about human experience would play themselves out in the first few months of Kissinger’s tenure as Nixon’s national security adviser.

Shortly before Nixon’s inauguration, Ellsberg, in a meeting with Kissinger at the president-elect’s headquarters at the Pierre Hotel in Manhattan, offered some advice. He related a story of how Robert McNamara, soon after being named secretary of defense, shook up the bureaucracy by immediately flooding Pentagon officers and staff with written questions. The answers he received weren’t important. McNamara was merely establishing his dominance.

Ellsberg suggested Kissinger do something similar: draft questions on controversial issues and send them out to the whole bureaucracy, to every agency and office. The agency principally responsible for any given subject, Ellsberg predicted, would have one opinion on the matter, and secondary agencies would have another, and the difference between the two opinions would provide a useful map of the ambiguities, doubts, and uncertainties that existed in the bureaucracy.

But, Ellsberg said, there was another, more Machiavellian reason to conduct the survey. The “very revelation of controversies and the extremely unconvincing positions of some of the primary agencies,” he said, “would be embarrassing to the bureaucracy as a whole. It would put the bureaucrats off-balance and on the defensive relative to the source of the questions — that is, Kissinger.”

“Kissinger,” Ellsberg remembered, “liked the sound of that.”

The questions, as Ellsberg predicted, prompted a backlash. Soon a counterproposal for reorganizing the NSC around the State Department began to float around, which allowed Kissinger to identify potential rivals. The proposal was quashed and its authors were sidelined.

That first stage of the exercise worked well for Kissinger. The next, not so much.

Kissinger had asked Ellsberg to collate, analyze, and average the responses to the questions related to the Vietnam War, over five hundred pages in total. The gloom revealed by the survey was astounding.

Even those hawks “optimistic” about the pacification of Vietnam thought that it would take, on average, 8.3 years to achieve success. All respondents agreed that the “enemy’s manpower pool and infiltration capabilities can outlast allied attrition efforts indefinitely” and that nothing short of perpetual troops and bombing could save South Vietnam.

When the findings were presented to Kissinger, he must have immediately recognized the trap he had fallen into. For all his warnings about how the “accumulation of facts” by technocrats like Ellsberg has the effect of sapping political will, Kissinger had foolishly given him free rein to, in effect, data mine the bureaucracy, providing him with hard evidence that the majority of the foreign service thought the war either was unwinnable or could be won only with actions that were politically impossible: permanent occupation or total obliteration.

Kissinger was the statesman, Ellsberg the expert. And according to Kissinger’s worldview, Ellsberg shouldn’t have existed, or at least he shouldn’t have done what he did.

Ellsberg was what Kissinger in his undergraduate thesis called a “fact-man.” His faith in data, his belief that he could capture the vagaries of human behavior in mathematical codes and then use those codes to make decisions, should have led him to a state of, if not paralysis, then predictability.

Kissinger would later boast about the difference between statesmen and experts, writing “the scope of the statesman’s conception challenges the inclination of the expert toward minimum risk.” But it was Ellsberg who was speaking out against the war and then leaking top-secret documents, taking a tremendous risk, including the possibility of imprisonment. And with this one audacious act, he changed the course of history.

The difference between Ellsberg and Kissinger is illustrated by the Pentagon Papers themselves. The “major lesson” offered by the massive study, Ellsberg thought, “was that each person repeated the same patterns in decision making and pretty much the same policy as his predecessor without even knowing it,” thinking that “history had started with his administration, and had nothing to learn from earlier ones.” Ellsberg, the economist, believed that breaking down history into discrete pieces and studying the decision making process, including the consequences of those decisions, provided a chance to break the destructive pattern.

But when Ellsberg tried, in their last meeting before leaking the documents, to get Kissinger to read the papers, Kissinger brushed him off.

“Do we really have anything to learn from this study?” he asked Ellsberg, wearily. “My heart sank,” recalls Ellsberg.

On Monday, June 14, 1971, the day after the New York Times published its first story on the papers, Kissinger exploded. He waved his arms, stomped his feet, and pounded his hands on a Chippendale table, shouting: “This will totally destroy American credibility forever. . . . It will destroy our ability to conduct foreign policy in confidence. . . . No foreign government will ever trust us again.”

The Pentagon Papers were a bureaucratic history of America’s involvement in Southeast Asia up until Johnson’s presidency. There was nothing specifically damaging to Nixon. But it was Kissinger’s “fury” that convinced Nixon to take the matter seriously. “Without Henry’s stimulus,” John Ehrlichman said, “the president and the rest of us might have concluded that the Papers were Lyndon Johnson’s problem, not ours.”

Why? The leak was bad for Kissinger in a number of ways. He was just then negotiating with China to reestablish relations and was afraid the scandal might sabotage those talks. He feared that Ellsberg, working with other dissenters on the NSC staff, might have breached the closed informational circuit that he had worked hard to establish, perhaps even acquiring classified memos on Cambodia.

Also, on a more abstract level, the Pentagon Papers really were something conjured out of Kissinger’s worst anti-bureaucratic fever dream. The project was a huge endeavor, written by an anonymous committee staffed by scores of what Robert McNamara called “knowledgeable people” drawn from the mid-level defense bureaucracy, universities, and social science think tanks.

Headed by two “experts,” Morton Halperin and Leslie Gelb, the committee based its findings on the massive amount of paperwork produced by various departments and agencies over the years — what Kissinger in his undergraduate thesis dismissed as the “surface data” of history. Missing, therefore, from its conclusions was what the young Kissinger would have described as the immanent possibility, the contingency, the intuition, and “freedom” that went into every decision point.

But Kissinger’s rage was also as much about the leaker as about the leak, obvious in the way he swung between awe and agitation when describing Ellsberg to his coconspirators, as almost Promethean in his intellect and appetites. “Curse that son of a bitch, I know him well,” he began one Oval Office meeting.

Kissinger keyed his performance to stir up Nixon’s varied resentments, depicting Ellsberg as some kind of liberal and hedonisticsuperman — smart, subversive, promiscuous, perverse, and privileged: “He’s now married a very rich girl,” Kissinger told Nixon. “Nixon was fascinated,” Ehrlichman said. “Henry got Nixon cranked up,” Haldeman remembered, “and then they started cranking each other up until they both were in a frenzy.” “Kissinger,” he said, “was absolutely infuriated and, in his inimitable fashion, managed to beat the president into an equal froth of fury.” Alexander Haig said that Kissinger, “did drive the president’s concern” about the leak.

It was in the meeting where Kissinger gave his most detailed denunciation of Ellsberg that Nixon ordered a series of illegal covert operations, putting Nixon on the road to ruin. These included the break-in at the Democratic National Committee headquarters at the Watergate Hotel and the burglary of Ellsberg’s psychiatrist’s office in California, hoping to find information that could be used to “discredit his character.”

“He’s nuts, isn’t he?” Haldeman asked Kissinger, about Ellsberg, in one of their meetings.

“He’s nuts,” Kissinger answered.

For what must have been for him a long year, between mid-1973 and mid-1974, it seemed Henry Kissinger, now holding the position of both national security adviser and secretary of state, was going down with Richard Nixon, along with his top aides.

Kissinger almost got caught on Cambodia, when Maj. Hal Knight sent a whistle-blowing letter to Senator William Proxmire informing him of his falsification of records. The Senate Armed Services Committee held hearings through the middle of 1973, and Seymour Hersh came very close to establishing Kissinger’s involvement in setting up the dual record reporting system. Hersh couldn’t confirm Kissinger’s role (he would at a later date) but that didn’t let Kissinger off the hook.

In June 1974, Hersh widened the net, filing stories fingering Kissinger for the first round of illegal wiretaps the White House set up, done in the spring of 1969 to keep the Cambodia bombing secret. Reporters, senators, and representatives were circling, asking questions, digging up more information, issuing subpoenas.

Landing in Austria, en route to the Middle East, and finding that the press had run more unflattering stories and editorials, Kissinger took a gamble. He held an impromptu press conference and threatened to resign (this was June 11, less than two months before Nixon’s resignation). It was by all accounts a bravura turn. “When the record is written,” he said, seemingly on the verge of tears, “one may remember that perhaps some lives were saved and perhaps some mothers can rest more at ease, but I leave that to history. What I will not leave to history is a discussion of my public honor.”

The bet worked. The press gushed. He “seemed totally authentic,”New York Magazine wrote. As if in recoil from the unexpected assertiveness they had shown in recent years, reporters and news anchors rallied around. The rest of the White House was being revealed to be little more than a bunch of shady two-bit thugs, but Kissinger was someone America could believe in.

“We were half-convinced,” Ted Koppel said in a documentary in 1974, just after Kissinger’s threatened resignation, “that nothing was beyond the capacity of this remarkable man.” The secretary of state was a “legend, the most admired man in America, the magician, the miracle worker.”

Kissinger, Koppel said, “may be the best thing we’ve got going for us.”

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The Coup in Chile

The Coup in Chile

How the reasonable men of capitalism orchestrated horror in Chile 42 years ago today.

Jacobin  September 11, 2015
A left-wing political prisoner is registered at the National Stadium in Santiago, Chile, 1973. Koen Wessing

A left-wing political prisoner is registered at the National Stadium in Santiago, Chile, 1973. Koen Wessing

What happened in Chile on September 11, 1973 did not suddenly reveal anything new about the ways in which men of power and privilege seek to protect their social order: the history of the last 150 years is spattered with such episodes.

Even so, Chile has at least forced upon many people on the Left some uncomfortable reflections and questions about the “strategy” which is appropriate in Western-type regimes for what is loosely called the “transition to socialism.”

Of course, the Wise Men of the Left, and others too, have hastened to proclaim that Chile is not France, or Italy, or Britain. This is quite true. No country is like any other: circumstances are always different, not only between one country and another, but between one period and another in the same country. Such wisdom makes it possible and plausible to argue that the experience of a country or period cannot provide conclusive “lessons.”

This is also true; and as a matter of general principle, one should be suspicious of people who have instant “lessons” for every occasion. The chances are that they had them well before the occasion arose, and that they are merely trying to fit the experience to their prior views. So let us indeed be cautious about taking or giving “lessons.”

All the same, and however cautiously, there are things to be learnt from experience, or unlearnt, which comes to the same thing. Everybody said, quite rightly, that Chile, alone in Latin America, was a constitutional, parliamentary, liberal, pluralist society, a country which had politics: not exactly like the French, or the American, or the British, but well within the “democratic,” or, as Marxists would call it, the “bourgeois-democratic” fold.

This being the case, and however cautious one wishes to be, what happened in Chile does pose certain questions, requires certain answers, may even provide certain reminders and warnings. It may for instance suggest that stadiums which can be used for purposes other than sport — such as herding left-wing political prisoners — exist not only in Santiago, but in Rome and Paris or for that matter London; or that there must be something wrong with a situation in which Marxism Today, the monthly “Theoretical and Discussion Journal of the (British) Communist Party” has as its major article for its September 1973 issue a speech delivered in July by the General Secretary of the Chilean Communist Party, Luis Corvalan (now in jail awaiting trial, and possible execution), which is entitled “We Say No to Civil War! But Stand Ready to Crush Sedition.”

In the light of what happened, this worthy slogan seems rather pathetic and suggests that there is something badly amiss here, that one must take stock, and try to see things more clearly. Insofar as Chile was a bourgeois democracy, what happened there is about bourgeois democracy, and about what may also happen in other bourgeois democracies.

After all, the Times, on the morrow of the coup, was writing (and the words ought to be carefully memorized by people on the Left): “Whether or not the armed forces were right to do what they have done, the circumstances were such that a reasonable military man could in good faith have thought it his constitutional duty to intervene.”

Should a similar episode occur in Britain, it is a fair bet that, whoever else is inside Wembley Stadium, it won’t be the editor of the Times: he will be busy writing editorials regretting this and that, but agreeing, however reluctantly, that, taking all circumstances into account, and notwithstanding the agonizing character of the choice, there was no alternative but for reasonable military men . . . and so on and so forth.

Daniel Cespedes,

Daniel Cespedes, “a suspected leftist,” at the National Stadium in Santiago. David Burnett

When Salvador Allende was elected to the presidency of Chile in September 1970, the regime that was then inaugurated was said to constitute a test case for the peaceful or parliamentary transition to socialism. As it turned out over the following three years, this was something of an exaggeration. It achieved a great deal by way of economic and social reform, under incredibly difficult conditions — but it remained a deliberately “moderate” regime: indeed, it does not seem far-fetched to say that the cause of its death, or at least one main cause of it, was its stubborn “moderation.”

But no, we are now told by such experts as Professor Hugh Thomas, from the Graduate School of Contemporary European Studies at Reading University: the trouble was that Allende was much too influenced by such people as Marx and Lenin, “rather than Mill, or Tawney, or Aneurin Bevan, or any other European democratic socialist.” This being the case, Professor Thomas cheerfully goes on, “the Chilean coup d’état cannot by any means be regarded as a defeat for democratic socialism but for Marxist socialism.”

All’s well then, at least for democratic socialism. Mind you, “no doubt Dr Allende had his heart in the right place” (we must be fair about this), but then “there are many reasons for thinking that his prescription was the wrong one for Chile’s maladies, and of course the result of trying to apply it may have led an ‘iron surgeon’ to get to the bedside. The right prescription, of course, was Keynesian socialism, not Marxist.”

That’s it: the trouble with Allende is that he was not Harold Wilson, surrounded by advisers steeped in “Keynesian socialism” as Professor Thomas obviously is.

We must not linger over the Thomases and their ready understanding of why Allende’s policies brought an “iron surgeon” to the bedside of an ailing Chile. But even though the Chilean experience may not have been a test case for the “peaceful transition to socialism,” it still offers a very suggestive example of what may happen when a government does give the impression, in a bourgeois democracy, that it genuinely intends to bring about really serious changes in the social order and to move in socialist directions, in however constitutional and gradual a manner; and whatever else may be said about Allende and his colleagues, and about their strategies and policies, there is no question that this is what they wanted to do.

They were not, and their enemies knew them not to be, mere bourgeois politicians mouthing “socialist” slogans. They were not “Keynesian socialists.” They were serious and dedicated people, as many have shown by dying for what they believed in.

It is this which makes the conservative response to them a matter of great interest and importance, and which makes it necessary for us to try to decode the message, the warning, the “lessons.” For the experience may have crucial significance for other bourgeois democracies: indeed, there is surely no need to insist that some of it is bound to be directly relevant to any “model” of radical social change in this kind of political system.

Struggle and War

Perhaps the most important such message or warning or “lesson” is also the most obvious, and therefore the most easily overlooked. It concerns the notion of class struggle. Assuming one may ignore the view that class struggle is the result of “extremist” propaganda and agitation, there remains the fact that the Left is rather prone to a perspective according to which the class struggle is something waged by the workers and the subordinate classes against the dominant ones.

It is of course that. But class struggle also means, and often means firstof all, the struggle waged by the dominant class, and the state acting on its behalf, against the workers and the subordinate classes. By definition, struggle is not a one way process; but it is just as well to emphasize that it is actively waged by the dominant class or classes, and in many ways much more effectively waged by them than the struggle waged by the subordinate classes.

Secondly, but in the same context, there is a vast difference to be made — sufficiently vast as to require a difference of name — between on the one hand “ordinary” class struggle, of the kind which goes on day in day out in capitalist societies, at economic, political, ideological, micro- and macro-, levels, and which is known to constitute no threat to the capitalist framework within which it occurs; and, on the other hand, class struggle which either does, or which is thought likely to, affect the social order in really fundamental ways.

The first form of class struggle constitutes the stuff, or much of the stuff, of the politics of capitalist society. It is not unimportant, or a mere sham; but neither does it stretch the political system unduly. The latter form of struggle requires to be described not simply as class struggle, but as class war.

Where men of power and privilege (and it is not necessarily those with most power and privilege who are the most uncompromising) do believe that they confront a real threat from below, that the world they know and like and want to preserve seems undermined or in the grip of evil and subversive forces, then an altogether different form of struggle comes into operation, whose acuity, dimensions, and universality warrants the label “class war.”


Chile had known class struggle within a bourgeois democratic framework for many decades: that was its tradition. With the coming to the presidency of Allende, the conservative forces progressively turned class struggle into class war — and here too, it is worth stressing that it was the conservative forces which turned the one into the other.

Before looking at this a little more closely, I want to deal with one issue that has often been raised in connection with the Chilean experience, namely the matter of electoral percentages. It has often been said that Allende, as the presidential candidate of a six-party coalition, only obtained 36 percent of the votes in September 1970, the implication being that if only he had obtained, say, 51 percent of the votes, the attitude of the conservative forces towards him and his administration would have been very different. There is one sense in which this may be true; and another sense in which it seems to me to be dangerous nonsense.

To take the latter point first: one of the most knowledgeable French writers on Latin America, Marcel Niedergang, has published one piece of documentation which is relevant to the issue. This is the testimony of Juan Garces, one of Allende’s personal political advisers over three years who, on the direct orders of the president, escaped from the Moneda Palace after it had come under siege on September 11.

In Garces’s view, it was precisely after the governmental coalition had increased its electoral percentage to 44 percent in the legislative elections of March 1973 that the conservative forces began to think seriously about a coup. “After the elections of March,” Garces said, “a legal coup d’état was no longer possible, since the two-thirds majority required to achieve the constitutional impeachment of the president could not be reached. The Right then understood that the electoral way was exhausted and that the way which remained was that of force.”

This has been confirmed by one of the main promoters of the coup, the Air Force general Gustavo Leigh, who told the correspondent in Chile of the Corriere della Sera that “we began preparations for the overthrow of Allende in March 1973, immediately after the legislative elections.”

Such evidence is not finally conclusive. But it makes good sense. Writing before it was available, Maurice Duverger noted that while Allende was supported by a little more than a third of Chileans at the beginning of his presidency, he had almost half of them supporting him when the coup occurred; and that half was the one that was most hard hit by material difficulties. He writes:

Here is probably the major reason for the military putsch. So long as the Chilean right believed that the experience of Popular Unity would come to an end by the will of the electors, it maintained a democratic attitude. It was worth respecting the Constitution while waiting for the storm to pass. When the Right came to fear that it would not pass and that the play of liberal institutions would result in the maintenance of Salvador Allende in power and in the development of socialism, it preferred violence to the law.

Duverger probably exaggerates the “democratic attitude” of the Right and its respect for the Constitution before the elections of March 1973, but his main point does, as I suggested earlier, seem very reasonable.

Its implications are very large: namely, that as far as the conservative forces are concerned, electoral percentages, however high they may be, do not confer legitimacy upon a government which appears to them to be bent on policies they deem to be actually or potentially disastrous.

Nor is this in the least remarkable: for here, in the eyes of the Right, are vicious demagogues, class traitors, fools, gangsters, and crooks, supported by an ignorant rabble, engaged in bringing about ruin and chaos upon an hitherto peaceful and agreeable country, etc. The script is familiar. The idea that, from such a perspective, percentages of support are of any consequence is naive and absurd: what matters, for the Right, is not the percentage of votes by which a left-wing government is supported, but the purposes by which it is moved. If the purposes are wrong, deeply and fundamentally wrong, electoral percentages are an irrelevance.

There is, however, a sense in which percentages do matter in the kind of political situation which confronts the Right in Chilean-type conditions. This is that the higher the percentage of votes cast in any election for the Left, the more likely it is that the conservative forces will be intimidated, demoralized, divided, and uncertain as to their course.

These forces are not homogeneous; and it is obvious that electoral demonstrations of popular support are very useful to the Left, in its confrontation with the Right, so long as the Left does not take them to be decisive. In other words, percentages may help to intimidate the Right — but not to disarm it.

It may well be that the Right would not have dared strike when it did if Allende had obtained higher electoral percentages. But if, having obtained these percentages, Allende had continued to pursue the course on which he was bent, the Right would have struck whenever opportunity had offered. The problem was to deny it the opportunity; or, failing this, to make sure that the confrontation would occur on the most favorable possible terms.

The Opposition

Inow propose to return to the question of class struggle and class war and to the conservative forces which wage it, with particular reference to Chile, though the considerations I am offering here do not only apply to Chile, least of all in terms of the nature of the conservative forces which have to be taken into account, and which I shall examine in turn, relating this to the forms of struggle in which these different forces engage:

I. Society as Battlefield

To speak of “the conservative forces,” as I have done so far, is not to imply the existence of a homogeneous economic, social, or political bloc, either in Chile or anywhere else. In Chile, it was among other things the divisions between different elements among these conservative forces which made it possible for Allende to come to the presidency in the first place.

Even so, when these divisions have duly been taken into account, it is worth stressing that a crucial aspect of class struggle is waged by these forces as a whole, in the sense that the struggle occurs all over “civil society,” has no front, no specific focus, no particular strategy, no elaborate leadership or organization: it is the daily battle fought by every member of the disaffected upper and middle classes, each in his own way, and by a large part of the lower middle class as well.

It is fought out of a sentiment which Evelyn Waugh, recalling the horrors of the Attlee regime in Britain after 1945, expressed admirably when he wrote in 1959 that, in those years of Labour government, “the kingdom seemed to be under enemy occupation.” Enemy occupation invites various forms of resistance, and everybody has to do his little bit.

It includes middle-class “housewives” demonstrating by banging pots and pans in front of the Presidential Palace; factory owners sabotaging production; merchants hoarding stocks; newspaper proprietors and their subordinates engaging in ceaseless campaigns against the government; landlords impeding land reform; the spreading of what was, in wartime Britain, called “alarm and despondency” (and incidentally punishable by law): in short, anything that influential, well-off, educated (or not so well-educated) people can do to impede a hated government.

Taken as a “detotalized totality,” the harm that can thus be done is very considerable — and I have not mentioned the upper professionals, the doctors, the lawyers, the state officials, whose capacity to slow down the running of a society, of any society, must be reckoned as being high. Nothing very dramatic is required: just an individual rejection in one’s daily life and activity of the regime’s legitimacy, which turns by itself into a vast collective enterprise in the production of disruption.

It may be assumed that the vast majority of members of the upper and middle classes (not all by any means) will remain irrevocably opposed to the new regime. The question of the lower middle class is rather more complex. The first requirement in this connection is to make a radical distinction between lower professional and white collar workers, technicians, lower managerial staffs, etc., on the one hand, and small capitalists and micro-traders on the other.

The former are an integral part of that “collective worker,” of which Marx spoke more than a hundred years ago; and they are involved, like the industrial working class, in the production of surplus value. This is not to say that this class or stratum will necessarily see itself as part of the working class, or that it will “automatically” support left-wing policies (nor will the working class proper); but it does mean that there is here at least a solid basis for alliance.

This is much more doubtful, in fact most probably untrue, for the other part of the lower middle class, the small entrepreneur and the micro-trader. In the article quoted earlier, Maurice Duverger suggests that “the first condition for the democratic transition to socialism in a Western country of the French type is that a left-wing government should reassure the ‘classes moyennes’ about their fate under the future regime, so as to dissociate them from the kernel of big capitalists who are for their part condemned to disappear or to submit to a strict control.”

The trouble with this is that, in so far as the “classes moyennes” are taken to mean small capitalists and small traders (and Duverger makes it clear that he does mean them), the attempt is doomed from the start. In order to accommodate them, he wants “the evolution towards socialism to be very gradual and very slow, so as to rally at each stage a substantial part of those who feared it at the start.” Moreover, small enterprises must be assured that their fate will be better than under monopoly or oligopolistic capitalism.

It is interesting, and would be amusing if the matter was not very serious, that the realism which Professor Duverger is able to display in regard to Chile deserts him as soon as he comes closer to home. His scenario is ridiculous; and even if it were not, there is no way in which small enterprises can be given the appropriate assurances.

I should not like to give the impression that I am advocating the liquidation of middle and small urban French kulaks: what I am saying is that to adapt the pace of the transition to socialism to the hopes and fears of this class is to advocate paralysis or to prepare for defeat. Better not to start at all. How to deal with the problem is a different matter. But it is important to start with the fact that as a class or social stratum, this element must be reckoned as part of the conservative forces.

This certainly appears to have been the case in Chile, notably with regard to the now-notorious 40,000 lorry owners, whose repeated strikes helped to increase the government’s difficulties. These strikes, excellently coordinated, and quite possibly subsidized from outside sources, highlight the problem which a left-wing government must expect to face, to a greater or lesser degree depending on the country, in a sector of considerable economic importance in terms of distribution.

The problem is further and ironically highlighted by the fact that, according to United Nations statistical sources, it was this “classe moyenne” which had done best under Allende’s regime in regard to the distribution of the national income. Thus, it would appear that the poorest 50 percent of the population saw its share of the total increase from 16.1 percent to 17.6 percent; that of the “middle class” (45 percent of the population) increased from 53.9 percent to 57.7 percent; while the richest 5 percent dropped from 30 percent to 24.7 percent. This is hardly the picture of a middle class squeezed to death — hence the significance of its hostility.

II. External conservative intervention

It is not possible to discuss class war anywhere, least of all in Latin America, without bringing into account external intervention, more specifically and obviously the intervention of United States imperialism, as represented both by private concerns and by the American state itself. The activities of ITT have received considerable publicity, as well as its plans for plunging the country into chaos so as to get “friendly military men” to make a coup.

Nor of course was ITT the only major American firm working in Chile: there was in fact no important sector of the Chilean economy that was not penetrated and in some cases dominated by American enterprises: their hostility to the Allende regime must have greatly increased the latter’s economic, social, and political difficulties. Everybody knows that Chile’s balance of payments very largely depends on its copper exports: but the world price of copper, which had almost been halved in 1970, remained at that low level until the end of 1972; and American pressure was exercised throughout the world to place an embargo on Chilean copper.

In addition, there was strong and successful pressure by the United States on the World Bank to refuse loans and credits to Chile, not that much pressure was needed, either on the World Bank or on other banking institutions. A few days after the coup, the Guardian noted that “the net new advances which were frozen as a result of the US pressure, included sums totaling £30 millions: all for projects which the World Bank had already cleared as worth backing.”

The president of the World Bank is of course Mr Robert McNamara. It was at one time being said that Mr McNamara had undergone some kind of spiritual conversion out of remorse for his part, when US Secretary of State for Defence, in inflicting so much suffering on the Vietnamese people: under his direction, the World Bank was actually going to help the poor countries. What those who were peddling this stuff omitted to add was that there was a condition — that the poor countries should show the utmost regard, as Chile did not, for the claims of private enterprise, notably American private enterprise.

Allende’s regime was, from the start, faced with a relentless American attempt at economic strangulation. In comparison with this fact, which must be taken in conjunction with the economic sabotage in which the internal conservative economic interests engaged, the mistakes which were committed by the regime are of relatively minor importance — even though so much is made of them not only by critics but by friends of the Allende government.

The really remarkable thing, against such odds, is not the mistakes, but that the regime held out economically as long as it did; the more so since it was systematically impeded from taking necessary action by the opposition parties in Parliament.

In this perspective, the question whether the United States government was or was not directly involved in the preparation of the military coup is not particularly important. It certainly had foreknowledge of the coup. The Chilean military had close associations with the United States military. And it would obviously be stupid to think that the kind of people who run the government of the United States would shrink from active involvement in a coup, or in its initiation.

The important point here, however, is that the US government had done its considerable best over the previous three years to lay the ground for the overthrow of the Allende regime by waging economic warfare against it.

III. The conservative political parties.

The kind of class struggle conducted by conservative forces in civil society to which reference was made earlier does ultimately require direction and political articulation, both in Parliament and in the country at large, if it is to be turned into a really effective political force. This direction is provided by conservative parties, and was mainly provided in Chile by Christian Democracy.

Like the Christian Democratic Union in Germany and the Christian Democratic Party in Italy, Christian Democracy in Chile included many different tendencies, from various forms of radicalism (though most radicals went off to form their own groupings after Allende came to power) to extreme conservatism. But it represented in essence the conservative constitutional right, the party of government, one of whose main figures, Eduardo Frei, had been president before Allende.

With steadily growing determination, this conservative constitutional right sought by every means in its power this side of legality to block the government’s actions and to prevent it from functioning properly. Supporters of parliamentarism always say that its operation depends upon the achievement of a certain degree of cooperation between government and opposition; and they are no doubt right. But Allende’s government was denied this cooperation from the very people who never cease to proclaim their dedication to parliamentary democracy and constitutionalism.

Here too, on the legislative front, class struggle easily turned into class war. Legislative assemblies are, with some qualifications that are not relevant here, part of the state system; and in Chile, the legislative assembly was solidly under opposition control. So were other important parts of the state system, to which I shall turn in a moment.

The opposition’s resistance to the government, in Parliament and out, did not assume its full dimensions until the victory which the Popular Unity coalition scored in the elections of March 1973. By the late spring, the erstwhile constitutionalists and parliamentarists were launched on the course towards military intervention.

After the abortive putsch of June 29, which marks the effective beginning of the final crisis, Allende tried to reach a compromise with the leaders of Christian Democracy, Alwyn and Frei. They refused, and increased their pressure on the government. On August 22, the National Assembly which their party dominated actually passed a motion which effectively called on the Army “to put an end to situations which constituted a violation of the Constitution.” In the Chilean case at least, there can be no question of the direct responsibility which these politicians bear for the overthrow of the Allende regime.

No doubt, the Christian Democratic leaders would have preferred it if they could have brought down Allende without resort to force, and within the framework of the Constitution. Bourgeois politicians do not like military coups, not least because such coups deprive them of their role. But like it or not, and however steeped in constitutionalism they may be, most such politicians will turn to the military where they feel circumstances demand it.

The calculations which go into the making of the decision that circumstances do demand resort to illegality are many and complex. These calculations include pressures and promptings of different kinds and weight.

One such pressure is the general, diffuse pressure of the class or classes to which these politicians belong. “Il faut en finir,” they are told from all quarters, or rather from quarters to which they pay heed; and this matters in the drift towards putschism. But another pressure which becomes increasingly important as the crisis grows is that of groups on the right of the constitutional conservatives, who in such circumstances become an element to be reckoned with.

IV. Fascist-type groupings

The Allende regime had to contend with much organized violence from fascist-type groupings. This extreme right-wing guerilla or commando activity grew to fever pitch in the last months before the coup, involved the blowing up of electric pylons, attacks on left-wing militants, and other such actions which contributed greatly to the general sense that the crisis must somehow be brought to an end.

Here again, action of this type, in “normal” circumstances of class conflict, are of no great political significance, certainly not of such significance as to threaten a regime or even to indent it very much. So long as the bulk of the conservative forces remain in the constitutionalist camp, fascist-type groupings remain isolated, even shunned by the traditional right.

But in exceptional circumstances, one speaks to people one would not otherwise be seen dead with in the same room; one gives a nod and a wink where a frown and a rebuke would earlier have been an almost automatic response. “Youngsters will be youngsters,” now indulgently say their conservative elders. “Of course, they are wild and do dreadful things. But then look whom they are doing it to, and what do you expect when you are ruled by demagogues, criminals, and crooks.” So it came about that groups like Fatherland and Freedom operated more and more boldly in Chile, helped to increase the sense of crisis, and encouraged the politicians to think in terms of drastic solutions to it.

V. Administrative and judicial opposition

Conservative forces anywhere can always count on the more or less explicit support or acquiescence or sympathy of the members of the upper echelons of the state system; and for that matter, of many if not most members of the lower echelons as well. By social origin, education, social status, kinship and friendship connections, the upper echelons, to focus on them, are an intrinsic part of the conservative camp; and if none of these factors were operative, ideological dispositions would certainly place them there.

Top civil servants and members of the judiciary may, in ideological terms, range all the way from mild liberalism to extreme conservatism, but mild liberalism, at the progressive end, is where the spectrum has to stop. In “normal” conditions of class conflict, this may not find much expression except in terms of the kind of implicit or explicit bias which such people must be expected to have.

In crisis conditions, on the other hand, in times when class struggle assumes the character of class war, these members of the state personnel become active participants in the battle and are most likely to want to do their bit in the patriotic effort to save their beloved country, not to speak of their beloved positions, from the dangers that threaten.

Soldiers burn books in Santiago, Chile, 1973. David Burnett

Chilean soldiers burn books after the coup. David Burnett

The Allende regime inherited a state personnel which had long been involved in the rule of the conservative parties and which cannot have included many people who viewed the new regime with any kind of sympathy, to put it no higher. Much in this respect was changed with Allende’s election, insofar as new personnel, which supported thePopular Unity coalition, came to occupy top positions in the state system.

Even so, and in the prevailing circumstances perhaps inevitably, the middle and lower ranks of that system continued to be staffed by established and traditional bureaucrats. The power of such people can be very great. The writ may be issued from on high: but they are in a good position to see to it that it does not run, or that it does not run as it should.

To vary the metaphor, the machine does not respond properly because the mechanics in actual charge of it have no particular desire that it should respond properly. The greater the sense of crisis, the less willing the mechanics are likely to be; and the less willing they are, the greater the crisis.

Yet, despite everything, the Allende regime did not “collapse.” Despite the legislative obstruction, administrative sabotage, political warfare, foreign intervention, economic shortages, internal divisions, etc. — despite all this, the regime held. That, for the politicians and the classes they represented, was the trouble.

In an article which I shall presently want to criticize, Eric Hobsbawm notes quite rightly that “to those commentators on the Right, who ask what other choice remained open to Allende’s opponents but a coup, the simple answer is: not to make a coup.” This, however, meant incurring the risk that Allende might yet pull out of the difficulties he faced.

Indeed, it would appear that, on the day before the coup, he and his ministers had decided on a last constitutional throw, namely a plebiscite, which was to be announced on September 11. He hoped that, if he won it, he might give pause to the putschists, and give himself new room for action. Had he lost, he would have resigned, in the hope that the forces of the Left would one day be in a better position to exercise power.

Whatever may be thought of this strategy, of which the conservative politicians must have had knowledge, it risked prolonging the crisis which they were frantic to bring to an end; and this meant acceptance of, indeed active support for, the coup which the military men had been preparing. In the end, and in the face of the danger presented by popular support for Allende, there was nothing for it: the murderers had to be called in.

VI. The military

We had of course been told again and again that the military in Chile, unlike the military in every other Latin American country, was non-political, politically neutral, constitutionally-minded, etc.; and though the point was somewhat overdone, it was broadly speaking true that the military in Chile did not “mix in politics.” Nor is there any reason to doubt that, at the time when Allende came to power and for some time after, the military did not wish to intervene and mount a coup.

It was after “chaos” had been created, and extreme political instability brought about, and the weakness of the regime’s response in face of crisis had been revealed (of which more later) that the conservativedispositions of the military came to the fore, and then decisively tilted the balance. For it would be nonsense to think that “neutrality” and “non-political attitudes” on the part of the armed forces meant that they did not have definite ideological dispositions, and that these dispositions were not definitely conservative.

As Marcel Niedergang also notes, “whatever may have been said, there never were high ranking officers who were socialists, let alone communists. There were two camps: the partisans of legality and the enemies of the left-wing government. The second, more and morenumerous, finally won out.”

The italics in this quotation are intended to convey the crucial dynamic which occurred in Chile and which affected the military as well as all other protagonists. This notion of dynamic process is essential to the analysis of any such kind of situation: people who are thus and thus at one time, and who are or are not willing to do this or that, change under the impact of rapidly moving events. Of course, they mostly change within a certain range of choices: but in such situations, the shift may nevertheless be very great.

Thus conservative but constitutionally-minded army men, in certain situations, become just this much more conservative-minded: and this means that they cease to be constitutionally-minded. The obvious question is what it is that brings about the shift. In part, no doubt, it lies in the worsening “objective” situation; in part also, in the pressure generated by conservative forces.

But to a very large extent, it lies in the position adopted, and seen to be adopted, by the government of the day. As I understand it, the Allende administration’s weak response to the attempted coup of June 29, its steady retreat before the conservative forces (and the military) in the ensuing weeks, and its loss by resignation of General Prats, the one general who had appeared firmly prepared to stand by the regime — all this must have had a lot to do with the fact that the enemies of the regime in the armed forces (meaning the military men who were prepared to make a coup) grew “more and more numerous.” In these matters, there is one law which holds: the weaker the government, the bolder its enemies, and the more numerous they become day by day.

Thus it was that these “constitutional” generals struck on September 11, and put into effect what had — significantly in the light of the massacre of left-wingers in Indonesia — been labelled Operation Djakarta. Before we turn to the next part of this story, the part which concerns the actions of the Allende regime, its strategy and conduct, it is as well to stress the savagery of the repression unleashed by the coup, and to underline the responsibility which the conservative politicians bear for it.

Writing in the immediate aftermath of the Paris Commune, and while the Communards were still being killed, Marx bitterly noted that “the civilization and justice of bourgeois order comes out in its lurid light whenever the slaves and drudges of that order rise against their masters. Then this civilization and order stand forth as undisguised savagery and lawless revenge.” The words apply well to Chile after the coup. Thus, that not very left-wing magazine Newsweek had a report from its correspondent in Santiago shortly after the coup, headed “Slaughterhouse in Santiago,” which went as follows:

Last week, I slipped through a side door into the Santiago city morgue, flashing my junta press pass with all the impatient authority of a high official. One hundred and fifty dead bodies were laid out on the ground floor, awaiting identification by family members. Upstairs, I passed through a swing door and there in a dimly lit corridor lay at least fifty more bodies, squeezed one against another, their heads propped up against the wall. They were all naked.

Most had been shot at close range under the chin. Some had been machine-gunned in the body. Their chests had been slit open and sewn together grotesquely in what presumably had been a pro forma autopsy. They were all young and, judging from the roughness of their hands, all from the working class. A couple of them were girls, distinguishable among the massed bodies only by the curves of their breasts. Most of their heads had been crushed. I remained for perhaps two minutes at most, then left.

Workers at the morgue have been warned that they will be court-martialled and shot if they reveal what is going on there. But the women who go in to look at the bodies say there are between 100 and 150 on the ground floor every day. And I was able to obtain an official morgue body-count from the daughter of a member of its staff: by the fourteenth day following the coup, she said, the morgue had received and processed 2796 corpses.

On the same day as it carried this report, the London Timescommented in an editorial that “the existence of a war or something very like it clearly explains the drastic severity of the new regime which has taken so many observers by surprise.”

The “war” was of course The Times’s own invention. Having invented it, it then went on to observe that “a military government confronted by widespread armed opposition is unlikely to be over-punctilious either about constitutional niceties or even about basic human rights.” Still, lest it be thought that it approved the “drastic severity” of the new regime, the paper told its readers that “it must remain the hope of Chile’s friends abroad, as no doubt of the great majority of Chileans, that human rights will soon be fully respected and that constitutional government will before long be restored.” Amen.

No one knows how many people have been killed in the terror that followed the coup, and how many people will yet die as a result of it. Had a left-wing government shown one tenth of the junta’s ruthlessness, screaming headlines across the whole “civilized” world would have denounced it day in day out.

As it is, the matter was quickly passed over and hardly a pip squeaked when a British government rushed in, eleven days after the coup, to recognize the junta. But then so did most other freedom-loving Western governments.

We may take it that the well-to-do in Chile shared and more than shared the sentiments of the editor of the London Times that, given the circumstances, the military could not be expected to be “over-punctilious.” Here too, Hobsbawm puts it very well when he says that “the Left has generally underestimated the fear and hatred of the Right, the ease with which well-dressed men and women acquire a taste for blood.”

This is an old story. In his Flaubert, Sartre quotes Edmond de Goncourt’s Diary entry for May 31, 1871, immediately after the Paris Commune had been crushed:

It’s good. There has been no conciliation or compromise. The solution has been brutal. It has been pure force . . . a bloodletting such as this, by killing the militant part of the population (‘la partie bataillante de la population’) puts off by a generation the new revolution. It is twenty years of rest which the old society has in front of it if the rulers dare all that needs to be dared at this moment.

Goncourt, as we know, had no need to worry. Nor has the Chilean middle class, if the military not only dare, but are able, i.e. are allowed, to give Chile “twenty years of rest.” A woman journalist with a long experience of Chile reports, three weeks after the coup, the “jubilation” of her upper class friends who had long prayed for it. These ladies would not be likely to be unduly disturbed by the massacre of left-wing militants. Nor would their husbands.

What did apparently disturb the conservative politicians was the thoroughness with which the military went about restoring “law and order.” Hunting down and shooting militants is one thing, as is book-burning and the regimentation of the universities. But dissolving the National Assembly, denouncing “politics” and toying with the idea of a fascist-type “corporatist” state, as some of the generals are doing, is something else, and rather more serious.

Soon after the coup, the leaders of Christian Democracy, who had played such a major role in bringing it about, and who continued to express support for the junta, were nevertheless beginning to express their “disquiet” about some of its inclinations.

Indeed, ex-President Frei went so far, stout fellow, as to confide to a French journalist his belief that “Christian Democracy will have to go into opposition two or three months from now” — presumably after the military had butchered enough left-wing militants. In studying the conduct and declarations of men such as these, one understands better the savage contempt which Marx expressed for the bourgeois politicians he excoriated in his historical writings. The breed has not changed.

The Cost of Conciliation

The configuration of conservative forces which has been presented in the previous section must be expected to exist in any bourgeois democracy, not of course in the same proportions or with exact parallels in any particular country — but the pattern of Chile is not unique. This being the case, it becomes the more important to get as close as one can to an accurate analysis of the response of the Allende regime to the challenge that was posed to it by these forces.

As it happens, and while there is and will continue to be endless controversy on the Left as to who bears the responsibility for what went wrong (if anybody does), and whether there was anything else that could have been done, there can be very little controversy as to what the Allende regime’s strategy actually was. Nor in fact is there, on the Left. Both the Wise Men and the Wild Men of the Left are at least agreed that Allende’s strategy was to effect a constitutional and peaceful transition in the direction of socialism.

The Wise Men of the Left opine that this was the only possible and desirable path to take. The Wild Men of the Left assert that it was the path to disaster. The latter turned out to be right: but whether for the right reasons remains to be seen. In any case, there are various questions which arise here, and which are much too important and much too complex to be resolved by slogans. It is with some of these questions that I should like to deal here.

To begin at the beginning: namely with the manner in which the Left’s coming to power — or to office — must be envisaged in bourgeois democracies. The overwhelming chances are that this will occur via the electoral success of a left coalition of Communists, Socialists and other groupings of more or less radical tendencies. The reason for saying this is not that a crisis might not occur, which would open possibilities of a different kind — it may be for instance that May 1968 in France was a crisis of such a kind.

But whether for good reasons or bad, the parties which might be able to take power in this type of situation, namely the major formations of the Left, including in particular the Communist Parties of France and Italy, have absolutely no intention of embarking on any such course, and do in fact strongly believe that to do so would invite certain disaster and set back the working class movement for generations to come. Their attitude might change if circumstances of a kind that cannot be anticipated arose — for instance the clear imminence or actual beginning of a right-wing coup. But this is speculation.

What is not speculation is that these vast formations, which command the support of the bulk of the organized working class, and which will go on commanding it for a very long time to come, are utterly committed to the achievement of power — or of office — by electoral and constitutional means. This was also the position of the coalition led by Allende in Chile.

There was a time when many people on the Left said that, if a Left clearly committed to massive economic and social changes looked like winning an election, the Right would not “allow” it to do so — i.e. it would launch a pre-emptive strike by way of a coup.

This has ceased to be a fashionable view: it is rightly or wrongly felt that, in “normal” circumstances, the Right would be in no position to decide whether it could or could not “allow” elections to take place. Whatever else it and the government might do to influence the results, they could not actually take the risk of preventing the elections from being held.

The present view on the “extreme” left tends to be that, even if this is so, and admitting that it is likely to be so, any such electoral victory is,by definition, bound to be barren. The argument, or one of the main arguments on which this is based, is that the achievement of an electoral victory can only be bought at the cost of so much maneuver and compromise, so much “electioneering” as to mean very little.

There seems to me to be rather more in this than the Wise Men of the Left are willing to grant; but not necessarily quite as much as their opponents insist must be the case. Few things in these matters are capable of being settled by definition.

Nor have opponents of the “electoral road” much to offer by way of an alternative, in relation to bourgeois democracies in advanced capitalist societies; and such alternatives as they do offer have so far proved entirely unattractive to the bulk of the people on whose support the realization of these alternatives precisely depends; and there is no very good reason to believe that this will change dramatically in any future that must be taken into account.

In other words, it must be assumed that, in countries with this kind of political system, it is by way of electoral victory that the forces of the Left will find themselves in office. The really important question is what happens then. For as Marx also noted at the time of the Paris Commune, electoral victory only gives one the right to rule, not thepower to rule.

Unless one takes it for granted that this right to rule cannot, in these circumstances, ever be transmuted into the power to rule, it is at this point that the Left confronts complex questions which it has so far probed only very imperfectly: it is here that slogans, rhetoric and incantation have most readily been used as substitutes for the hard grind of realistic political cogitation. From this point of view, Chile offers some extremely important pointers and “lessons” as to what is, or perhaps what is not, to be done.

The strategy adopted by the forces of the Chilean left had one characteristic not often associated with the coalition, namely a high degree of inflexibility. In saying this, I mean that Allende and his allies had decided upon certain lines of action, and of inaction, well before they came to office. They had decided to proceed with careful regard to constitutionalism, legalism, and gradualism; and also, relatedly, that they would do everything to avoid civil war.

Having decided upon this before they came to office, they stuck to it right through, up to the very end, notwithstanding changing circumstances. Yet, it may well be that what was right and proper and inevitable at the beginning had become suicidal as the struggle developed.

What is at issue here is not “reform versus revolution”: it is that Allende and his colleagues were wedded to a particular version of the “reformist” model, which eventually made it impossible for them to respond to the challenge they faced. This needs some further elaboration.

To achieve office by electoral means involves moving into a house long occupied by people of very different dispositions — indeed it involves moving into a house many rooms of which continue to be occupied by such people.

In other words, Allende’s victory at the polls — such as it was — meant the occupation by the Left of one element of the state system, the presidential-executive one — an extremely important element, perhaps the most important, but not obviously the only one. Having achieved this partial occupation, the president and his administration began the task of carrying out their policies by “working” the system of which they had become a part.

In so doing, they were undoubtedly contravening an essential tenet of the Marxist canon. As Marx wrote in a famous letter to Kugelmann at the time of the Paris Commune, “the next attempt of the French Revolution will be no longer, as before, to transfer the bureaucratic-military machine from one hand to another, but to smash it, and this is the preliminary condition for every real people’s revolution on the continent.”

Similarly in “The Civil War in France,” Marx notes that “the working class cannot simply lay hold of the ready-made state machinery, and wield it for its own purposes,” and he then proceeded to outline the nature of the alternative as foreshadowed by the Paris Commune.

So important did Marx and Engels think the matter to be that in the preface to the 1872 German edition of The Communist Manifesto they noted that “one thing especially was proved by the Commune,” that thing being Marx’s observation in “The Civil War in France that I have just quoted. It is from these observations that Lenin derived the view that “smashing the bourgeois state” was the essential task of the revolutionary movement.

I have argued elsewhere that in one sense in which it appears to be used in The State and Revolution (and for that matter in “The Civil War in France”) i.e. in the sense of the establishment of an extreme form of council (or “soviet”) democracy on the very morrow of the revolution as a substitute for the smashed bourgeois state, the notion constitutes an impossible projection which can be of no immediate relevance to any revolutionary regime, and which certainly was of no immediate relevance to Leninist practice on the morrow of the Bolshevik revolution; and it is rather hard to blame Allende and his colleagues for not doing something which they never intended in the first place, and to blame them in the name of Lenin, who certainly did not keep the promise, and could not have kept the promise, spelt out in The State and Revolution.

However, disgracefully “revisionist” though it is even to suggest it, there may be other possibilities which are relevant to the discussion of revolutionary practice, and to the Chilean experience, and which also differ from the particular version of “reformism” adopted by the leaders of the Popular Unity coalition.

Thus, a government intent upon major economic, social, and political changes does, in some crucial respects, have certain possibilities, even if it does not contemplate “smashing the bourgeois state.” It may, for instance, be able to effect very considerable changes in the personnel of the various parts of the state system; and in the same vein, it may, by a variety of institutional and political devices, begin to attack and outflank the existing state apparatus. In fact, it must do so if it is to survive; and it must eventually do so with respect to the hardest element of all, namely the military and police apparatus.

The Allende regime did some of these things. Whether it could have done more of them, in the circumstances, must be a matter of argument; but it seems to have been least able or willing to tackle the most difficult problem, that presented by the military. Instead, it appears to have sought to buy the latter’s support and goodwill by conciliation and concessions, right up to the time of the coup, notwithstanding the ever-growing evidence of the military’s hostility.

In the speech he made on July 8 of this year, and to which I referred at the beginning of this article, Luis Corvalan observed that “some reactionaries have begun to seek new ways to drive a wedge between the people and the armed forces, maintaining little less than we are intending to replace the professional army. No, sirs! We continue to support the absolutely professional character of the armed institutions. Their enemies are not amongst the rank of the people but in the reactionary camp.”

It is a pity that the military did not share this view: one of their first acts after their seizure of power was to release the fascists from the Fatherland and Freedom group who had belatedly been put in jail by the Allende government. Similar statements, expressing trust in the constitutional-mindedness of the military were often made by other leaders of the coalition, and by Allende himself.

Soldiers supervise the removal of revolutionary slogans in the aftermath of the 1973 coup in Santiago, Chile. Koen Wessing

Soldiers supervise the removal of revolutionary slogans. Koen Wessing

Of course, neither they nor Corvalan were under much illusion about the support they could expect from the military: but it would seem nevertheless that most of them thought that they could buy off the military; and that it was not so much a coup on the classical “Latin American” pattern that Allende feared as “civil war.”

Regis Débray has written from personal knowledge that Allende had a “visceral refusal” of civil war: and the first thing to be said about this is that it is only people morally and politically crippled in their sensitivities who would scoff at this “refusal” or consider it ignoble. This however does not exhaust the subject. There are different ways of trying to avoid civil war: and there may be occasions where one cannot do it and survive.

Débray also writes (and his language is itself interesting) that “he (i.e. Allende) was not duped by the phraseology of ‘popular power’ and he did not want to bear the responsibility of thousands of useless deaths: the blood of others horrified him. That is why he refused to listen to his Socialist Party which accused him of useless maneuvering and which was pressing him to take the offensive.”

It would be useful to know if Débray himself believes that “popular power” is necessarily a “phraseology” by which one should not be “duped”; and what was meant by “taking the offensive.” But at any rate, Allende’s “visceral refusal” of civil war, as Débray does make clear, was only one part of the argument for conciliation and compromise; the other was a deep skepticism as to any possible alternative. Débray’s account, describing the argument that went on in the last weeks before the coup, has a revealing paragraph on this:

“Disarm the plotters?” “With what?” Allende would reply. “Give me first the forces to do it.” “Mobilize them,” he was told from all sides. For it is true (this is Débray speaking –R.M.) that he was gliding up there, in the superstructures, leaving the masses without ideological orientations or political direction. “Only the direct action of the masses will stop the coup d’état.” “And how many masses does one need to stop a tank?” Allende would reply.

Whether one agrees that Allende was “gliding up there, in the superstructures” or not, this kind of dialogue has the ring of truth; and it may help to explain a good deal about the events in Chile.

Considering the manner of Salvador Allende’s death, a certain reticence is very much in order. Yet, it is impossible not to attribute to him at least some of the responsibility for what ultimately occurred. In the article from which I have just quoted, Débray also tells us that one of Allende’s closest collaborators, Carlos Altamirano, the general secretary of the Socialist Party, had said to him, Débray, with anger at Allende’s maneuverings, that “the best way of precipitating a confrontation and to make it even more bloody is to turn one’s back upon it.”

There were others close to Allende who had long held the same view. But, as Marcel Niedergang has also noted, all of them “respected Allende, the center of gravity and the real ‘patron’ of the Popular Unity coalition”; and Allende, as we know, was absolutely set on the course of conciliation — encouraged upon that course by his fear of civil war and defeat; by the divisions in the coalition he led and by the weaknesses in the organization of the Chilean working class; by an exceedingly “moderate” Communist Party; and so on.

The trouble with that course is that it had all the elements of self-fulfilling catastrophe. Allende believed in conciliation because he feared the result of a confrontation. But because he believed that the Left was bound to be defeated in any such confrontation, he had to pursue with ever-greater desperation his policy of conciliation; but the more he pursued that policy, the greater grew the assurance and boldness of his opponents.

Moreover, and crucially, a policy of conciliation of the regime’s opponents held the grave risk of discouraging and demobilizing its supporters. “Conciliation” signifies a tendency, an impulse, a direction, and it finds practical expression on many terrains, whether intended or not. Thus, in October 1972, the government had got the National Assembly to enact a “law on the control of arms” which gave to the military wide powers to make searches for arms caches.

In practice, and given the army’s bias and inclinations, this soon turned into an excuse for military raids on factories known as left-wing strongholds, for the clear purpose of intimidating and demoralizing left-wing activists — all quite “legal,” or at least “legal” enough.

The really extraordinary thing about this experience is that the policy of “conciliation”, so steadfastly and disastrously pursued, did not cause greater and earlier demoralization on the Left. Even as late as the end of June 1973, when the abortive military coup was launched, popular willingness to mobilize against would-be putschists was by all accounts higher than at any time since Allende’s assumption of the presidency.

This was probably the last moment at which a change of course might have been possible — and it was also, in a sense, the moment of truth for the regime: a choice then had to be made. A choice was made, namely that the president would continue to try to conciliate; and he did go on to make concession after concession to the military’s demands.

I am not arguing here, let it be stressed again, that another strategy was bound to succeed — only that the strategy that was adopted was bound to fail. Eric Hobsbawm, in the article I have already quoted, writes that “there was not much Allende could have done after (say) early 1972 except to play out time, secure the irreversibility of the great changes already achieved (how? – R.M.) and with luck maintain a political system which would give the Popular Unity a second chance later . . . for the last several months, it is fairly certain that there was practically nothing he could do.” For all its apparent reasonableness and sense of realism, the argument is both very abstract and is also a good recipe for suicide.

For one thing, one cannot “play out time” in a situation where great changes have already occurred, which have resulted in a considerable polarization, and where the conservative forces are moving over from class struggle to class war. One can either advance or retreat — retreat into oblivion or advance to meet the challenge.

Nor is it any good, in such a situation, to act on the presupposition that there is nothing much that can be done, since this means in effect that nothing much will be done to prepare for confrontation with the conservative forces. This leaves out of account the possibility that the best way to avoid such a confrontation — perhaps the only way — is precisely to prepare for it; and to be in as good a posture as possible to win if it does come.

This brings us directly back to the question of the state and the exercise of power. It was noted earlier that a major change in the state’s personnel is an urgent and essential task for a government bent on really serious change; and that this needs to be allied to a variety of institutional reforms and innovations, designed to push forward the process of the state’s democratization.

But in this latter respect, much more needs to be done, not only to realize a set of long-term socialist objectives concerning the socialist exercise of power, but as a means either of avoiding armed confrontation, or of meeting it on the most advantageous and least costly terms if it turns out to be inevitable.

What this means is not simply “mobilizing the masses” or “arming the workers.” These are slogans — important slogans — which need to be given effective institutional content. In other words, a new regime bent on fundamental changes in the economic, social, and political structures must from the start begin to build and encourage the building of a network of organs of power, parallel to and complementing the state power, and constituting a solid infrastructure for the timely “mobilization of the masses” and the effective direction of its actions.

The forms which this assumes — workers’ committees at their place of work, civic committees in districts and sub-districts, etc. — and the manner in which these organs “mesh” with the state may not be susceptible to blueprinting. But the need is there, and it is imperative that it should be met, in whatever forms are most appropriate.

This is not, to all appearances, how the Allende regime moved. Some of the things that needed doing were done; but such “mobilization” as occurred, and such preparations as were made, very late in the day, for a possible confrontation, lacked direction, coherence, in many cases even encouragement.

Had the regime really encouraged the creation of a parallel infrastructure, it might have lived; and, incidentally, it might have had less trouble with its opponents and critics on the Left, for instance in the MIR, since its members might not then have found the need so great to engage in actions of their own, which greatly embarrassed the government: they might have been more ready to cooperate with a government in whose revolutionary will they could have had greater confidence. In part at least, “ultra-leftism” is the product of “citra-leftism.”

Salvador Allende was a noble figure and he died a heroic death. But hard though it is to say it, that is not the point. What matters, in the end, is not how he died, but whether he could have survived by pursuing different policies; and it is wrong to claim that there was no alternative to the policies that were pursued. In this as in many other realms, and here more than in most, facts only become compelling as one allows them to be so.

Allende was not a revolutionary who was also a parliamentary politician. He was a parliamentary politician who, remarkably enough, had genuine revolutionary tendencies. But these tendencies could not overcome a political style which was not suitable to the purposes he wanted to achieve.

The question of course is not one of courage. Allende had all the courage required, and more. Saint Just’s famous remark, which has often been quoted since the coup, that “he who makes a revolution by half digs his own grave” is closer to the mark — but it can easily be misused. There are people on the Left for whom it simply means the ruthless use of terror, and who tell one yet again, as if they had just invented the idea, that “you can’t make omelettes without breaking eggs.” But as the French writer Claude Roy observed some years ago, “you can break an awful lot of eggs without making a decent omelette.”

Terror may become part of a revolutionary struggle. But the essential question is the degree to which those who are responsible for the direction of that struggle are able and willing to engender and encourage the effective, meaning the organized, mobilization of popular forces. If there is any definite “lesson” to be learnt from the Chilean tragedy, this seems to be it; and parties and movements which do not learn it, and apply what they have learnt, may well be preparing new Chiles for themselves.

Ralph Miliband was a prominent Marxist sociologist and the author of numerous books on socialism and politics, including Parliamentary Socialism and The State in Capitalist Society. The following essay appeared in the 1973 edition of Socialist Register.

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