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Friday, March 17, 2023

Collectivization in the Soviet Union

"Strengthen working discipline in collective farms" – Soviet propaganda poster issued in Soviet Uzbekistan, 1933
 
Illustration to the Soviet categories of peasants: bednyaks, or poor peasants; serednyaks, or mid-income peasants; and kulaks, the higher-income farmers who had larger farms than most Russian peasants. Published in Projector, May 1926.

The Soviet Union introduced the collectivization (Russian: Коллективизация) of its agricultural sector between 1928 and 1940 during the ascension of Joseph Stalin. It began during and was part of the first five-year plan. The policy aimed to integrate individual landholdings and labour into collectively-controlled and state-controlled farms: Kolkhozes and Sovkhozes accordingly. The Soviet leadership confidently expected that the replacement of individual peasant farms by collective ones would immediately increase the food supply for the urban population, the supply of raw materials for the processing industry, and agricultural exports via state-imposed quotas on individuals working on collective farms. Planners regarded collectivization as the solution to the crisis of agricultural distribution (mainly in grain deliveries) that had developed from 1927. This problem became more acute as the Soviet Union pressed ahead with its ambitious industrialization program, meaning that more food needed to be produced to keep up with urban demand.

In the early 1930s, over 91% of agricultural land became collectivized as rural households entered collective farms with their land, livestock, and other assets. The collectivization era saw several famines, as well as peasant resistance to collectivization.

Background

After the emancipation of the serfs in 1861, peasants gained control of about half of the land they had previously cultivated and began to ask for the redistribution of all land. The Stolypin agricultural reforms between 1905 and 1914 gave incentives for the creation of large farms, but these ended during World War I. The Russian Provisional Government accomplished little during the difficult World War I months, though Russian leaders continued to promise redistribution. Peasants began to turn against the Provisional Government and organized themselves into land committees, which together with the traditional peasant communes became a powerful force of opposition. When Vladimir Lenin returned to Russia on April 16, 1917, he promised the people "Peace, Land and Bread," the latter two appearing as a promise to the peasants for the redistribution of confiscated land and a fair share of food for every worker respectively.

During the period of war communism, however, the policy of Prodrazvyorstka meant that the peasantry was obligated to surrender the surpluses of agricultural produce for a fixed price. When the Russian Civil War ended, the economy changed with the New Economic Policy (NEP) and specifically, the policy of prodnalog or "food tax." This new policy was designed to re-build morale among embittered farmers and lead to increased production.

The pre-existing communes, which periodically redistributed land, did little to encourage improvement in technique and formed a source of power beyond the control of the Soviet government. Although the income gap between wealthy and poor farmers did grow under the NEP, it remained quite small, but the Bolsheviks began to take aim at the kulaks, peasants with enough land and money to own several animals and hire a few labourers. Kulaks were blamed for withholding surpluses of agricultural produce. Clearly identifying this group was difficult, though, since only about 1% of the peasantry employed labourers (the basic Marxist definition of a capitalist), and 82% of the country's population were peasants. According to Robert Conquest, the definition of "kulak" also varied depending on who was using it; "peasants with a couple of cows or five or six acres [~2 ha] more than their neighbors" were labeled kulaks" in Stalin's first Five Year Plan.

The small shares of most of the peasants resulted in food shortages in the cities. Although grain had nearly returned to pre-war production levels, the large estates which had produced it for urban markets had been divided up. Not interested in acquiring money to purchase overpriced manufactured goods, the peasants chose to consume their produce rather than sell it. As a result, city dwellers only saw half the grain that had been available before the war. Before the revolution, peasants controlled only 2,100,000 km² divided into 16 million holdings, producing 50% of the food grown in Russia and consuming 60% of total food production. After the revolution, the peasants controlled 3,140,000 km² divided into 25 million holdings, producing 85% of the food, but consuming 80% of what they grew (meaning that they ate 68% of the total).

The Communist Party of the Soviet Union had never been happy with private agriculture and saw collectivization as the best remedy for the problem. Lenin claimed, "Small-scale production gives birth to capitalism and the bourgeoisie constantly, daily, hourly, with elemental force, and in vast proportions." Apart from ideological goals, Joseph Stalin also wished to embark on a program of rapid heavy industrialization which required larger surpluses to be extracted from the agricultural sector in order to feed a growing industrial workforce and to pay for imports of machinery (by exporting grain). Social and ideological goals would also be served through the mobilization of the peasants in a co-operative economic enterprise that would provide social services to the people and empower the state. Not only was collectivization meant to fund industrialization, but it was also a way for the Bolsheviks to systematically exterminate the Kulaks and peasants in general in a back-handed manner. Stalin was incredibly suspicious of the peasants, viewing them as a major threat to socialism. Stalin's use of the collectivization process served to not only address the grain shortages, but his greater concern over the peasants' willingness to conform to the collective farm system and state mandated grain acquisitions. He viewed this as an opportunity to punish the Kulaks as a class by means of collectivization.

Crisis of 1928

This demand for more grain resulted in the reintroduction of requisitioning which was resisted in rural areas. In 1928 there was a 2-million-ton shortfall in grains purchased by the Soviet Union from neighbouring markets. Stalin claimed the grain had been produced but was being hoarded by "kulaks." Stalin tried to appear as being on the side of the peasants, but it did not help, and the peasants as a whole resented the grain seizures. The peasants did everything they could to protest what they considered unfair seizures. Instead of raising the price, the Politburo adopted an emergency measure to requisition 2.5 million tons of grain.

The seizures of grain discouraged the peasants and less grain was produced during 1928, and again the government resorted to requisitions, much of the grain being requisitioned from middle peasants as sufficient quantities were not in the hands of the "kulaks." The impact that this had on poorer peasants forced them to move to the cities. The peasants moved in search of jobs in the rapidly expanding industry. This, however, had a fairly negative impact upon their arrival as the peasants brought with them their habits from the farms. They struggled with punctuality and demonstrated a rather poor work ethic, which hindered their ability to perform in the workplace. In 1929, especially after the introduction of the Ural-Siberian Method of grain procurement, resistance to grain seizures became widespread with some violent incidents of resistance. Also, massive hoarding (burial was the common method) and illegal transfers of grain took place.

Faced with the refusal to hand grain over, a decision was made at a plenary session of the Central Committee in November 1929 to embark on a nationwide program of collectivization.

Several forms of collective farming were suggested by the People's Commissariat for Agriculture (Narkomzem), distinguished according to the extent to which property was held in common:

  • Association for Joint Cultivation of Land (Товарищество по совместной обработке земли, ТОЗ/TOZ), where only land was in common use;
  • agricultural artel (initially in a loose meaning, later formalized to become an organizational basis of kolkhozes, via The Standard Statute of an Agricultural Artel adopted by Sovnarkom in March 1930);
  • agricultural commune, with the highest level of common use of resources.

Also, various cooperatives for the processing of agricultural products were installed.

In November 1929, the Central Committee decided to implement accelerated collectivization in the form of kolkhozes and sovkhozes. This marked the end of the New Economic Policy (NEP), which had allowed peasants to sell their surpluses on the open market. Peasants that were willing to conform and join the kolkhozes were rewarded with higher quality land and tax breaks, whereas peasants were unwilling to join the kolkhozes were punished with being given lower quality land and increased taxes. The taxes imposed on the peasants was primarily to fund the industrial blitz that Stalin had made a priority. If these lesser forms of social coercion proved to be ineffective then the central government would resort to harsher forms of state coercion. Stalin had many kulaks transported to collective farms in distant places to work in agricultural labour camps. In response to this, many peasants began to resist, often began arming themselves against the activists sent from the towns. As a form of protest, many peasants preferred to slaughter their animals for food rather than give them over to collective farms, which produced a major reduction in livestock.

Collectivization had been encouraged since the revolution, but in 1928, only about one per cent of farmland was collectivized, and despite efforts to encourage and coerce collectivization, the rather optimistic first five-year plan only forecast 15 per cent of farms to be run collectively.

All-out drive, winter 1929–30

Yakov Yakovlev, People's Commissar for Agriculture appointed in 1929

The situation changed quickly in the autumn of 1929 and the winter of 1930. Between September and December 1929, collectivization increased from 7.4% to 15%, but in the first two months of 1930, 11 million households joined collectivized farms, pushing the total to nearly 60% almost overnight.

To assist collectivization, the Party decided to send 25,000 "socially conscious" industry workers to the countryside. This was accomplished from 1929 to 1933, and these workers have become known as twenty-five-thousanders ("dvadtsat'pyat'tysyachniki"). Soviet officials had hoped that by sending the twenty-five thousanders to the countryside that they would be able to produce grain more rapidly. Their hopes were that key areas in the North Caucasus and Volga regions would be collectivized by 1931, and then the other regions by 1932. Shock brigades were used to force reluctant peasants into joining the collective farms and remove those who were declared kulaks and their "agents".

Collectivization sought to modernize Soviet agriculture, consolidating the land into parcels that could be farmed by modern equipment using the latest scientific methods of agriculture. It was often claimed that an American Fordson tractor (called "Фордзон" in Russian) was the best propaganda in favour of collectivization. The Communist Party, which adopted the plan in 1929, predicted an increase of 330% in industrial production, and an increase of 50% in agricultural production.

The means of production (land, equipment, livestock) were to be totally "socialized", i.e. removed from the control of individual peasant households. Not even private household garden plots were allowed.

Agricultural work was envisioned on a mass scale. Huge glamorous columns of machines were to work the fields, in total contrast to peasant small-scale work.

The peasants traditionally mostly held their land in the form of large numbers of strips scattered throughout the fields of the village community. By an order of 7 January 1930, "all boundary lines separating the land allotments of the members of the artel are to be eliminated and all fields are to be combined in a single land mass." The basic rule governing the rearrangement of the fields was that the process would have to be completed before the spring planting. The new kolkhozes were initially envisioned as giant organizations unrelated to the preceding village communities. Kolkhozes of tens, or even hundreds, of thousands of hectares, were envisioned in schemes which were later to become known as gigantomania. They were planned to be "divided into 'economies (ekonomii)' of 5,000–10,000 hectares which were in turn divided into fields and sections (uchastki) without regard to the existing villages – the aim was to achieve a 'fully depersonalized optimum land area'..." Parallel with this were plans to transfer the peasants to centralized 'agrotowns' offering modern amenities.

"Dizzy with Success"

The price of collectivization was so high that the March 2, 1930, issue of Pravda contained Stalin's article Dizzy with Success (Russian: Головокружение от успехов, lit.'Dizziness from success'), in which he called for a temporary halt to the process:

It is a fact that by February 20 of this year 50 percent of the peasant farms throughout the U.S.S.R. had been collectivized. That means that by February 20, 1930, we had overfulfilled the five-year plan of collectivization by more than 100 per cent.... some of our comrades have become dizzy with success and for the moment have lost clearness of mind and sobriety of vision.

After the publication of the article, the pressure for collectivization temporarily abated and peasants started leaving collective farms. According to Martin Kitchen, the number of members of collective farms dropped by 50% in 1930. But soon collectivization was intensified again, and by 1936, about 90% of Soviet agriculture was collectivized.

Peasant resistance

YCLers seizing grain from "kulaks" which was hidden in the graveyard, Ukraine

Communist efforts to collectivize agriculture and eliminate independent property account for the biggest death toll under Stalin's rule. Some peasants viewed collectivization as the end of the world. By no means was joining the collective farm (also known as the kolkhoz) voluntary. The drive to collectivize understandably had little support from experienced farmers.

The intent was to withhold grain from the market and increase the total crop and food supply via state collective farms. The anticipated surplus would then pay for industrialization. The kulaks, (who were mostly experienced farmers), were coerced into giving up their land to make way for these collective farms or risk being killed, deported, or sent to labor camps. Inexperienced peasants from urban areas would then replace the missing workforce of the agriculture sector, which is now considered overstaffed, inefficient and import-dependent. Under Stalin's grossly inefficient system, agricultural yields declined rather than increased. The situation persisted into the 1980s, when Soviet farmers averaged about 10 percent of the output of their counterparts in the United States. To make matters worse, tractors promised to the peasants could not be produced due to the poor policies in the Industrial sector of the Soviet Union.

Peasants tried to protest through peaceful means by speaking out at collectivization meetings and writing letters to the central authorities, to no avail. The kulaks argued to the collectors that starvation was inevitable, but they still started to seize everything edible from the kulaks to meet quotas, regardless if the kulaks had anything for themselves. Stalin falsely denied there even was a famine and prohibited journalists from visiting the collective farms. In order to cover up for the poor harvests, the Soviet government created a fierce propaganda campaign blaming the kulaks for the famine. The propaganda said they were creating an artificial food shortage by hiding crops only to sell them when prices were high. The false propaganda also claimed kulaks were committing crimes such as arson, lynching, and murder of local authorities, kolkhoz, and activists.

Collectivization as a "second serfdom"

Rumors circulated in the villages warning the rural residents that collectivization would bring disorder, hunger, famine, and the destruction of crops and livestock. Readings and reinterpretations of Soviet newspapers labelled collectivization as a second serfdom. Villagers were afraid the old landowners/serf owners were coming back and that the villagers joining the collective farm would face starvation and famine. More reason for peasants to believe collectivization was a second serfdom was that entry into the kolkhoz had been forced. Farmers did not have the right to leave the collective without permission. The level of state procurements and prices on crops also enforced the serfdom analogy. The government would take a majority of the crops and pay extremely low prices. The serfs during the 1860s were paid nothing but collectivization still reminded the peasants of serfdom. To them, this "second serfdom" became code for the Communist betrayal of the revolution. To the peasants, the revolution was about giving more freedom and land to the peasants, but instead, they had to give up their land and livestock to the collective farm which to some extent promoted communist policies.

Women's role in resistance

Women were the primary vehicle for rumours that touched upon issues of family and everyday life. Fears that collectivization would result in the socialization of children, the export of women's hair, communal wife-sharing, and the notorious common blanket affected many women, causing them to revolt. For example, when it was announced that a collective farm in Crimea would become a commune and that the children would be socialized, women killed their soon-to-be socialized livestock, which spared the children. Stories that the Communists believed short hair gave women a more urban and industrial look insulted peasant women. After local activists in a village in North Caucasus actually confiscated all blankets, more fear dispersed among villagers. The common blanket meant that all men and women would sleep on a seven-hundred meter long bed under a seven-hundred-meter long blanket. Historians argue that women took advantage of these rumours without actually believing them so they could attack the collective farm "under the guise of irrational, nonpolitical protest." Women were less vulnerable to retaliation than peasant men, and therefore able to get away with a lot more.

Peasant women were rarely held accountable for their actions because of the officials' perceptions of their protests. They "physically blocked the entrances to huts of peasants scheduled to be exiled as kulaks, forcibly took back socialized seed and livestock and led assaults on officials." Officials ran away and hid to let the riots run their course. When women came to trial, they were given less harsh punishments as the men because women, to officials, were seen as illiterate and the most backward part of the peasantry. One particular case of this was a riot in a Russian village of Belovka where protestors were beating members of the local soviet and setting fire to their homes. The men were held exclusively responsible as the main culprits. Women were given sentences to serve as a warning, not as a punishment. Because of how they were perceived, women were able to play an essential role in the resistance to collectivization.

Religious persecution

The removal of the bell from St Volodymyr's Cathedral Central Kiev USSR 1930

Collectivization did not just entail the acquisition of land from farmers but also the closing of churches, burning of icons, and the arrests of priests. Associating the church with the tsarist regime, the Soviet state continued to undermine the church through expropriations and repression. They cut off state financial support to the church and secularized church schools. Peasants began to associate Communists with atheists because the attack on the church was so devastating. The Communist assault on religion and the church angered many peasants, giving them more reason to revolt. Riots exploded after the closing of churches as early as 1929.

Identification of Soviet power with the Antichrist also decreased peasant support for the Soviet regime. Rumors about religious persecution spread mostly by word of mouth, but also through leaflets and proclamations. Priests preached that the Antichrist had come to place "the Devil's mark" on the peasants. and that the Soviet state was promising the peasants a better life but was actually signing them up for Hell. Peasants feared that if they joined the collective farm they would be marked with the stamp of the Antichrist. They faced a choice between God and the Soviet collective farm. Choosing between salvation and damnation, peasants had no choice but to resist the policies of the state. These rumours of the Soviet state as the Antichrist functioned to keep peasants from succumbing to the government. The attacks on religion and the Church affected women the most because they were upholders of religion within the villages.

Dovzhenko's film Earth gives example of peasants' skepticism with collectivization on the basis that it was an attack on the church. Coiner of the term genocide; Raphael Lemkin considered the repression of the Orthodox Church to be a prong of genocide against Ukrainians when seen in correlation to the Holodomor famine.

Results

Resistance to collectivization and consequences

Soviet famine of 1932–33. Areas of most disastrous famine marked with black.
 
American press with information about famine
 
Pavlik Morozov (second row, in the middle): this is the only surviving photograph known of him.

Due to the high government production quotas, peasants received, as a rule, less for their labour than they did before collectivization, and some refused to work. Merle Fainsod estimated that, in 1952, collective farm earnings were only one-fourth of the cash income from private plots on Soviet collective farms. In many cases, the immediate effect of collectivization was the reduction of output and the cutting of the number of livestock in half. The subsequent recovery of the agricultural production was also impeded by the losses suffered by the Soviet Union during World War II and the severe drought of 1946. However, the largest loss of livestock was caused by collectivization for all animals except pigs. The numbers of cows in the USSR fell from 33.2 million in 1928 to 27.8 million in 1941 and to 24.6 million in 1950. The number of pigs fell from 27.7 million in 1928 to 27.5 million in 1941 and then to 22.2 million in 1950. The number of sheep fell from 114.6 million in 1928 to 91.6 million in 1941 and to 93.6 million in 1950. The number of horses fell from 36.1 million in 1928 to 21.0 million in 1941 and to 12.7 million in 1950. Only by the late 1950s did Soviet farm animal stocks begin to approach 1928 levels.

Despite the initial plans, collectivization, accompanied by the bad harvest of 1932–1933, did not live up to expectations. Between 1929 and 1932 there was a massive fall in agricultural production resulting in famine in the countryside. Stalin and the CPSU blamed the prosperous peasants, referred to as 'kulaks' (Russian: fist), who were organizing resistance to collectivization. Allegedly, many kulaks had been hoarding grain in order to speculate on higher prices, thereby sabotaging grain collection. Stalin resolved to eliminate them as a class. The methods Stalin used to eliminate the kulaks were dispossession, deportation, and execution. The term "Ural-Siberian Method" was coined by Stalin, the rest of the population referred to it as the "new method". Article 107 of the criminal code was the legal means by which the state acquired grain.

The Soviet government responded to these acts by cutting off food rations to peasants and areas where there was opposition to collectivization, especially in Ukraine. For peasants that were unable to meet the grain quota, they were fined five-times the quota. If the peasant continued to be defiant the peasants' property and equipment would be confiscated by the state. If none of the previous measures were effective the defiant peasant would be deported or exiled. The practice was made legal in 1929 under Article 61 of the criminal code. Many peasant families were forcibly resettled in Siberia and Kazakhstan into exile settlements, and most of them died on the way. Estimates suggest that about a million so-called 'kulak' families, or perhaps some 5 million people, were sent to forced labour camps.

On August 7, 1932, the Decree about the Protection of Socialist Property proclaimed that the punishment for theft of kolkhoz or cooperative property was the death sentence, which "under extenuating circumstances" could be replaced by at least ten years of incarceration. With what some called the Law of Spikelets ("Закон о колосках"), peasants (including children) who hand-collected or gleaned grain in the collective fields after the harvest were arrested for damaging the state grain production. Martin Amis writes in Koba the Dread that 125,000 sentences were passed for this particular offence in the bad harvest period from August 1932 to December 1933.

During the Famine of 1932–33 it's estimated that 7.8–11 million people died from starvation. The implication is that the total death toll (both direct and indirect) for Stalin's collectivization program was on the order of 12 million people. It is said that in 1945, Joseph Stalin confided to Winston Churchill at Yalta that 10 million people died in the course of collectivization.

Siberia

Since the second half of the 19th century, Siberia had been a major agricultural region within Russia, espеcially its southern territories (nowadays Altai Krai, Omsk Oblast, Novosibirsk Oblast, Kemerovo Oblast, Khakassia, Irkutsk Oblast). Stolypin's program of resettlement granted a lot of land for immigrants from elsewhere in the empire, creating a large portion of well-off peasants and stimulating rapid agricultural development in the 1910s. Local merchants exported large quantities of labelled grain, flour, and butter into central Russia and Western Europe. In May 1931, a special resolution of the Western-Siberian Regional Executive Committee (classified "top secret") ordered the expropriation of property and the deportation of 40,000 kulaks to "sparsely populated and unpopulated" areas in Tomsk Oblast in the northern part of the Western-Siberian region. The expropriated property was to be transferred to kolkhozes as indivisible collective property and the kolkhoz shares representing this forced contribution of the deportees to kolkhoz equity were to be held in the "collectivization fund of poor and landless peasants" (фонд коллективизации бедноты и батрачества).

It has since been perceived by historians such as Lynne Viola as a Civil War of the peasants against the Bolshevik Government and the attempted colonization of the countryside.

Central Asia and Kazakhstan

In 1928 within Soviet Kazakhstan, authorities started a campaign to confiscate cattle from richer Kazakhs, who were called bai, known as Little October. The confiscation campaign was carried out by Kazakhs against other Kazakhs, and it was up to those Kazakhs to decide who was a bai and how much to confiscate from them. This engagement was intended to make Kazakhs active participants in the transformation of Kazakh society. More than 10,000 bais may have been deported due to the campaign against them. In areas where the major agricultural activity was nomadic herding, collectivization met with massive resistance and major losses and confiscation of livestock. Livestock in Kazakhstan fell from 7 million cattle to 1.6 million and from 22 million sheep to 1.7 million. Restrictions on migration proved ineffective and half a million migrated to other regions of Central Asia and 1.5 million to China. Of those who remained, as many as a million died in the resulting famine. In Mongolia, a so-called 'Soviet dependency', attempted collectivization was abandoned in 1932 after the loss of 8 million head of livestock.

Historian Sarah Cameron argues that while Stalin did not intend to starve Kazakhs, he saw some deaths as a necessary sacrifice to achieve the political and economic goals of the regime. Cameron believes that while the famine combined with a campaign against nomads was not genocide in the sense of the United Nations (UN) definition, it complies with Raphael Lemkin's original concept of genocide, which considered destruction of culture to be as genocidal as physical annihilation. Historian Stephen Wheatcroft criticizes this view in regard to the Soviet famine because he believes that the high expectations of central planners was sufficient to demonstrate their ignorance of the ultimate consequences of their actions and that the result of them would be famine. Niccolò Pianciola goes further than Cameron and argues that from Lemkin's point of view on genocide all nomads of the Soviet Union were victims of the crime, not just the Kazakhs.

Ukraine

Most historians agree that the disruption caused by collectivization and the resistance of the peasants significantly contributed to the Great Famine of 1932–1933, especially in Ukraine, a region famous for its rich soil (chernozem). This particular period is called "Holodomor" in Ukrainian. During the similar famines of 1921–1923, numerous campaigns – inside the country, as well as internationally – were held to raise money and food in support of the population of the affected regions. Nothing similar was done during the drought of 1932–1933, mainly because the information about the disaster was suppressed by Stalin. Stalin also undertook a purge of the Ukrainian communists and intelligentsia, with devastating long-term effects on the area. Many Ukrainian villages were blacklisted and penalized by government decree for perceived sabotage of food supplies. Moreover, migration of population from the affected areas was restricted. According to Stalin in his conversation with the prize-winning writer Mikhail Sholokhov, the famine was caused by the excesses of local party workers and sabotage,

I've thanked you for the letters, as they expose a sore in our Party-Soviet work and show how our workers, wishing to curb the enemy, sometimes unwittingly hit friends and descend to sadism. ... the esteemed grain-growers of your district (and not only of your district alone) carried on an 'Italian strike' (sabotage!) and were not loath to leave the workers and the Red Army without bread. That the sabotage was quiet and outwardly harmless (without blood) does not change the fact that the esteemed grain-growers waged what was in fact a 'quiet' war against Soviet power. A war of starvation, dear com[rade] Sholokhov. This, of course, can in no way justify the outrages, which, as you assure me, have been committed by our workers. ... And those guilty of those outrages must be duly punished.

Starved peasants on a street in Kharkiv, 1933

About 40 million people were affected by the food shortages including areas near Moscow where mortality rates increased by 50%. The center of the famine, however, was Ukraine and surrounding regions, including the Don, the Kuban, the Northern Caucasus and Kazakhstan where the toll was one million dead. The countryside was affected more than cities, but 120,000 died in Kharkiv, 40,000 in Krasnodar and 20,000 in Stavropol.

The declassified Soviet archives show that there were 1.54 million officially registered deaths in Ukraine from famine. Alec Nove claims that registration of deaths largely ceased in many areas during the famine. However, it's been pointed out that the registered deaths in the archives were substantially revised by the demographics officials. The older version of the data showed 600,000 fewer deaths in Ukraine than the current, revised statistics. In The Black Book of Communism, the authors claim that the number of deaths was at least 4 million, and they also characterize the Great Famine as "a genocide of the Ukrainian people".

Latvia

After the Soviet Occupation of Latvia in June 1940, the country's new rulers were faced with a problem: the agricultural reforms of the inter-war period had expanded individual holdings. The property of "enemies of the people" and refugees, as well as those above 30 hectares, was nationalized in 1940–44, but those who were still landless were then given plots of 15 hectares each. Thus, Latvian agriculture remained essentially dependent on personal smallholdings, making central planning difficult. In 1940–41 the Communist Party repeatedly said that collectivization would not occur forcibly, but rather voluntarily and by example. To encourage collectivization high taxes were enforced and new farms were given no government support. But after 1945 the Party dropped its restrained approach as the voluntary approach was not yielding results. Latvians were accustomed to individual holdings (viensētas), which had existed even during serfdom, and for many farmers, the plots awarded to them by the interwar reforms were the first their families had ever owned. Furthermore, the countryside was filled with rumours regarding the harshness of collective farm life.

Pressure from Moscow to collectivize continued and the authorities in Latvia sought to reduce the number of individual farmers (increasingly labelled kulaki or budži) through higher taxes and requisitioning of agricultural products for state use. The first kolkhoz was established only in November 1946 and by 1948, just 617 kolkhozes had been established, integrating 13,814 individual farmsteads (12.6% of the total). The process was still judged too slow, and in March 1949 just under 13,000 kulak families, as well as a large number of individuals, were identified. Between March 24 and March 30, 1949, about 40,000 people were deported and resettled at various points throughout the USSR.

After these deportations, the pace of collectivization increased as a flood of farmers rushed into kolkhozes. Within two weeks 1740 new kolkhozes were established and by the end of 1950, just 4.5% of Latvian farmsteads remained outside the collectivized units; about 226,900 farmsteads belonged to collectives, of which there were now around 14,700. Rural life changed as farmers' daily movements were dictated to by plans, decisions, and quotas formulated elsewhere and delivered through an intermediate non-farming hierarchy. The new kolkhozes, especially smaller ones, were ill-equipped and poor – at first farmers were paid once a year in kind and then in cash, but salaries were very small and at times farmers went unpaid or even ended up owing money to the kholhoz. Farmers still had small pieces of land (not larger than 0.5 ha) around their houses where they grew food for themselves. Along with collectivization, the government tried to uproot the custom of living in individual farmsteads by resettling people in villages. However this process failed due to lack of money since the Soviets planned to move houses as well.

Progress of collectivization, 1927–1940

Year Number of
collective farms
Percent of farmsteads
in collective farms
Percent of sown area
in collective use
1927 14,800 0.8
1928 33,300 1.7 2.3
1929 57,000 3.9 4.9
1930 85,900 23.6 33.6
1931 211,100 52.7 67.8
1932 211,100 61.5 77.7
1933 224,500 65.6 83.1
1934 233,300 71.4 87.4
1935 249,400 83.2 94.1
1936 90.5 98.2
1937 243,700 93.0 99.1
1938 242,400 93.5 99.8
1939 235,300 95.6
1940 236,900 96.9 99.8

Sources: Sotsialisticheskoe sel'skoe khoziaistvo SSSR, Gosplanizdat, Moscow-Leningrad, 1939 (pp. 42, 43); supplementary numbers for 1927–1935 from Sel'skoe khoziaistvo SSSR 1935, Narkomzem SSSR, Moscow, 1936 (pp. 630, 634, 1347, 1369); 1937 from Great Soviet Encyclopedia, vol. 22, Moscow, 1953 (p. 81); 1939 from Narodnoe khoziaistvo SSSR 1917–1987, Moscow, 1987 (pp. 35); 1940 from Narodnoe khoziaistvo SSSR 1922–1972, Moscow, 1972 (pp. 215, 240).

The official numbers for the collectivized areas (the column with per cent of sown area in collective use in the table above) are biased upward by two technical factors. First, these official numbers are calculated as a per cent of sown area in peasant farmsteads, excluding the area cultivated by sovkhozes and other agricultural users. Estimates based on the total sown area (including state farms) reduce the share of collective farms between 1935 and 1940 to about 80%. Second, the household plots of kolkhoz members (i.e., collectivized farmsteads) are included in the land base of collective farms. Without the household plots, arable land in collective cultivation in 1940 was 96.4% of land in collective farms, and not 99.8% as shown by official statistics. Although there is no arguing with the fact that collectivization was sweeping and total between 1928 and 1940, the table below provides different (more realistic) numbers on the extent of collectivization of sown areas.

Distribution of sown area by land users, 1928 and 1940

Land users 1928 1940
All farms, '000 hectares 113,000 150,600
State farms (sovkhozes) 1.5% 8.8%
Collective farms (kolkhozes) 1.2% 78.2%
Household plots
(in collective and state farms)
1.1% 3.5%
Peasant farms and other users 96.2% 9.5%

Source: Narodnoe khoziaistvo SSSR 1922–1972, Moscow, 1972 (p. 240).

Decollectivization under German occupation

During World War II, Alfred Rosenberg, in his capacity as the Reich Minister for the Occupied Eastern Territories, issued a series of posters announcing the end of the Soviet collective farms in areas of the USSR under German occupation. He also issued an Agrarian Law in February 1942, annulling all Soviet legislation on farming, restoring family farms for those willing to collaborate with the occupiers. But decollectivization conflicted with the wider demands of wartime food production, and Hermann Göring demanded that the kolkhoz be retained, save for a change of name. Hitler himself denounced the redistribution of land as 'stupid.' In the end, the German occupation authorities retained most of the kolkhozes and simply renamed them "community farms" (Russian: Общинные хозяйства, a throwback to the traditional Russian commune). German propaganda described this as a preparatory step toward the ultimate dissolution of the kolkhozes into private farms, which would be granted to peasants who had loyally delivered compulsory quotas of farm produce to the Germans. By 1943, the German occupation authorities had converted 30% of the kolkhozes into German-sponsored "agricultural cooperatives", but as yet had made no conversions to private farms.

Land reform

From Wikipedia, the free encyclopedia
Farmers protesting for land reform in Indonesia, 2004

Land reform is a form of agrarian reform involving the changing of laws, regulations, or customs regarding land ownership. Land reform may consist of a government-initiated or government-backed property redistribution, generally of agricultural land. Land reform can, therefore, refer to transfer of ownership from the more powerful to the less powerful, such as from a relatively small number of wealthy or noble owners with extensive land holdings (e.g., plantations, large ranches, or agribusiness plots) to individual ownership by those who work the land. Such transfers of ownership may be with or without compensation; compensation may vary from token amounts to the full value of the land.

Land reform may also entail the transfer of land from individual ownership—even peasant ownership in smallholdings—to government-owned collective farms; it has also, in other times and places, referred to the exact opposite: division of government-owned collective farms into smallholdings. The common characteristic of all land reforms, however, is modification or replacement of existing institutional arrangements governing possession and use of land. Thus, while land reform may be radical in nature, such as through large-scale transfers of land from one group to another, it can also be less dramatic, such as regulatory reforms aimed at improving land administration.

Nonetheless, any revision or reform of a country's land laws can still be an intensely political process, as reforming land policies serves to change relationships within and between communities, as well as between communities and the state. Thus even small-scale land reforms and legal modifications may be subject to intense debate or conflict.

Land usage and tenure

Land ownership and tenure can be perceived as controversial in part because ideas defining what it means to access or control land, such as through "land ownership" or "land tenure", can vary considerably across regions and even within countries. Land reforms, which change what it means to control land, therefore create tensions and conflicts between those who lose and those who gain from these redefinitions (see next section).

Western conceptions of land have evolved over the past several centuries to place greater emphasis on individual land ownership, formalized through documents such as land titles. Control over land, however, may also be perceived less in terms of individual ownership and more in terms of land use, or through what is known as land tenure. Historically, in many parts of Africa for example, land was not owned by an individual, but rather used by an extended family or a village community. Different people in a family or community had different rights to access this land for different purposes and at different times. Such rights were often conveyed through oral history and not formally documented.

These different ideas of land ownership and tenure are sometimes referred to using different terminology. For example, "formal" or "statutory" land systems refer to ideas of land control more closely affiliated with individual land ownership. "Informal" or "customary" land systems refer to ideas of land control more closely affiliated with land tenure.

Terms dictating control over and use of land can therefore take many forms. Some specific examples of present-day or historic forms of formal and informal land ownership include:

  • Traditional land tenure, as practiced by the indigenous tribes of Pre-Columbian North America.
  • Feudal land ownership, through fiefdoms
  • Life estate, interest in real property that ends at death.
  • Fee tail, hereditary, non-transferable ownership of real property.
  • Fee simple. Under common law, this is the most complete ownership interest one can have in real property.
  • Leasehold or rental
  • Rights to use a common
  • Sharecropping
  • Run rig and rundale
  • Well-Field System
  • Easements
  • Kibbutz and moshav
  • Satoyama
  • Agricultural labor – under which someone works the land in exchange for money, payment in kind, or some combination of the two
  • Collective ownership
  • Access to land through a membership in a cooperative, or shares in a corporation, which owns the land (typically by fee simple or its equivalent, but possibly under other arrangements).
  • Government collectives, such as those that might be found in communist states, whereby government ownership of most agricultural land is combined in various ways with tenure for farming collectives.

Motivation

Land reform is a deeply political process and therefore many arguments for and against it have emerged. These arguments vary tremendously over time and place. In the twentieth century, many land reforms emerged from a particular political ideology, such as communism or socialism. In the 19th century in colonized states, a colonial government may have changed the laws dictating land ownership to better consolidate political power or to support its colonial economy. In more recent times, electoral mobilization and the use of land as a patronage resource have been proposed as possible motivations for land reform efforts, such as the extensive redistributive land reforms of Robert Mugabe in Zimbabwe.

Arguments for

Arguments in support of land reform focus on its potential social and economic benefits, particularly in developing countries, that may emerge from reforms focused on greater land formalization. Such benefits may include eradicating food insecurity and alleviating rural poverty.

And the great owners, who must lose their land in an upheaval, the great owners with access to history, with eyes to read history and to know the great fact: when property accumulates in too few hands it is taken away. And that companion fact: when a majority of the people are hungry and cold they will take by force what they need. And the little screaming fact that sounds through all history: repression works only to strengthen and knit the repressed.

Arguments in support of such reforms gained particular momentum after the publication of The Mystery of Capital: Why Capitalism Triumphs in the West and Fails Everywhere Else by Peruvian economist Hernando de Soto in 2000. The poor, he argues, are often unable to secure formal property rights, such as land titles, to the land on which they live or farm because of poor governance, corruption and/or overly complex bureaucracies. Without land titles or other formal documentation of their land assets, they are less able to access formal credit. Political and legal reforms within countries, according to de Soto, will help to include the poor in formal legal and economic systems, increase the poor's ability to access credit and contribute to economic growth and poverty reduction.

Many international development organizations and bilateral and multilateral donors, such as the World Bank, have embraced de Soto's ideas, or similar ideas, about the benefits of greater formalized land rights. This has translated into a number of development programs that work with governments and civil society organizations to initiate and implement land reforms. Evidence to support the economic and pro-poor benefits of increased formalized land rights are, however, still inconclusive according to some critics (see "Arguments against land reform" below).

Other arguments in support of land reform point to the need to alleviate conflicting land laws, particularly in former colonies, where formal and informal land systems may exist in tension with each other. Such conflicts can make marginalized groups vulnerable to further exploitation. For example, in many countries in Africa with conflicting land laws, AIDS stigmatization has led to an increasing number of AIDS widows being kicked off marital land by in-laws. While the woman may have both customary and statutory rights to the land, confusion over which set of laws has primacy, or even a lack of knowledge of relevant laws, leave many AIDS widows at a significant disadvantage. Also, conflicting formal and informal land laws can also clog a country's legal system, making it prone to corruption.

Additional arguments for land reform focus on the potential environmental benefits of reform. For example, if reform leads to greater security of land ownership, through either formal or informal means, then those that use the land will be better stewards of it.

Land reforms carried out in Japan, Taiwan and South Korea are credited with contributing to the industrial development. The equitable distribution of land led to increasing agricultural outputs, high rural purchasing power and social mobility.

Arguments against

Many of the arguments in support of land reform speak to its potentially positive social and economic outcomes. Yet, as mentioned previously, land reform is an intensely political process. Thus, many of those opposed to land reform are nervous as to the underlying motivations of those initiating the reform. For example, some may fear that they will be disadvantaged or victimized as a result of the reforms. Others may fear that they will lose out in the economic and political power struggles that underlie many land reforms.

Other groups and individuals express concerns about land reforms focused on formalization of property rights. While the economic and social benefits of formalized land rights are often touted, some research suggests that such reforms are either ineffective or may cause further hardship or conflict.

Additional arguments against land reform focus on concerns over equity issues and potential elite capture of land, particularly in regards to reforms focused on greater land formalization. If improperly or inadequately implemented, critics worry that such reforms may further disadvantage marginalized groups such as indigenous communities or women. These concerns also lead to questions about the institutional capacity of governments to implement land reforms as they are designed. Even if a country does have this capacity, critics worry that corruption and patrimonialism will lead to further elite capture.

In looking at more radical reforms, such as large-scale land redistribution, arguments against reform include concerns that redistributed land will not be used productively and that owners of expropriated land will not be compensated adequately or compensated at all. Zimbabwe, again, is a commonly cited example of the perils of such large-scale reforms, whereby land redistribution contributed to economic decline and increased food insecurity in the country. In cases where land reform has been enacted as part of socialist collectivization, many of the arguments against collectivization more generally apply.

National efforts

An early example of land reform was the Irish Land Acts of 1870–1909. Most all newly independent countries of Eastern and Central Europe implemented land reforms in the aftermath of World War I. In most countries, the land in excess of certain limits (20–500 ha (49–1,236 acres), depending on the region and type of land) was expropriated; in Finland, it was redeemed and placed into a special fund.

Progress and Poverty

From Wikipedia, the free encyclopedia
 
Progress and Poverty
Progress and Poverty (1881 edition).jpg
Cover of the 1881 edition
AuthorHenry George
CountryUnited States
LanguageEnglish
SubjectsCapitalism, socialism, Georgism, tax policy, land, economic rent
Publication date
1879
Media typePrint (Hardback)
Pages406
ISBN1-59605-951-6
OCLC3051331
TextProgress and Poverty at Wikisource

Progress and Poverty: An Inquiry into the Cause of Industrial Depressions and of Increase of Want with Increase of Wealth: The Remedy is an 1879 book by social theorist and economist Henry George. It is a treatise on the questions of why poverty accompanies economic and technological progress and why economies exhibit a tendency toward cyclical boom and bust. George uses history and deductive logic to argue for a radical solution focusing on the capture of economic rent from natural resource and land titles.

Progress and Poverty, George's first book, sold several million copies, becoming one of the highest selling books of the late 1800s. It helped spark the Progressive Era and a worldwide social reform movement around an ideology now known as 'Georgism'. Jacob Riis, for example, explicitly marks the beginning of the Progressive Era awakening as 1879 because of the date of this publication. The Princeton historian Eric F. Goldman wrote this about the influence of Progress and Poverty:

For some years prior to 1952 I was working on a history of American reform and over and over again my research ran into this fact: an enormous number of men and women, strikingly different people, men and women who were to lead 20th century America in a dozen fields of humane activity, wrote or told someone that their whole thinking had been redirected by reading Progress and Poverty in their formative years. In this respect no other book came anywhere near comparable influence.

Progress and Poverty had perhaps even a larger impact around the world, in places such as Denmark, the United Kingdom, Australia, and New Zealand, where George's influence was enormous. Contemporary sources and historians claim that in the United Kingdom, a vast majority of both socialist and classical liberal activists could trace their ideological development to Henry George. George's popularity was more than a passing phase; even by 1906, a survey of British parliamentarians revealed that the American author's writing was more popular than Walter Scott, John Stuart Mill, and William Shakespeare. In 1933, John Dewey estimated that Progress and Poverty "had a wider distribution than almost all other books on political economy put together."

Context

Progress and Poverty seeks to explain why poverty exists notwithstanding widespread advances in technology and even where there is a concentration of great wealth such as in cities.

George saw how technological and social advances (including education and public services) increased the value of land (natural resources, urban locations, etc.) and, thus, the amount of wealth that can be demanded by the owners of land from those who need the use of land. In other words: the better the public services, the higher the rent is (as more people value that land). The tendency of speculators to increase the price of land faster than wealth can be produced to pay has the result of lowering the amount of wealth left over for labor to claim in wages, and finally leads to the collapse of enterprises at the margin, with a ripple effect that becomes a serious business depression entailing widespread unemployment, foreclosures, etc.

In Progress and Poverty, George examines various proposed strategies to prevent business depressions, unemployment and poverty, but finds them unsatisfactory. As an alternative he proposes his own solution: a single tax on land values. George defines land as "all natural materials, forces, and opportunities," as everything "that is freely supplied by nature." George's primary fiscal tool was a land value tax on the annual value of land held as private property. It would be high enough to end other taxes, especially upon labor and production, to provide limitless beneficial public investment in services such as transportation, since public investment is reflected in land value, and to provide social services such as a basic income. George argued that a land value tax would give landowners an incentive to use well located land in a productive way, thereby increasing demand for labor and creating wealth. This shift in the bargaining balance between resource owners and laborers would raise the general level of wages and ensure no one need suffer poverty. A land value tax would, among other things, also end urban sprawl, tenant farming, homelessness, and the cultivation of low value monoculture on high value land.

Soon after its publication, over three million copies of Progress and Poverty were bought, exceeding all other books written in the English language except the Bible during the 1890s. By 1936, it had been translated into thirteen languages and at least six million copies had been sold. It has now been translated into dozens of languages.

Excerpts

The following excerpt represents the crux of George's argument and view of political economy.

Take now... some hard-headed business man, who has no theories, but knows how to make money. Say to him: "Here is a little village; in ten years it will be a great city—in ten years the railroad will have taken the place of the stage coach, the electric light of the candle; it will abound with all the machinery and improvements that so enormously multiply the effective power of labor. Will in ten years, interest be any higher?" He will tell you, "No!" "Will the wages of the common labor be any higher...?" He will tell you, "No the wages of common labor will not be any higher..." "What, then, will be higher?" "Rent, the value of land. Go, get yourself a piece of ground, and hold possession." And if, under such circumstances, you take his advice, you need do nothing more. You may sit down and smoke your pipe; you may lie around like the lazzaroni of Naples or the leperos of Mexico; you may go up in a balloon or down a hole in the ground; and without doing one stroke of work, without adding one iota of wealth to the community, in ten years you will be rich! In the new city you may have a luxurious mansion, but among its public buildings will be an almshouse.

An often-cited passage from Progress and Poverty is "The Unbound Savannah", in which George discusses how the building of a community increases the value of land.

Notable recognition

After completing Progress and Poverty, George accurately wrote to his father: "It will not be recognized at first—maybe not for some time—but it will ultimately be considered a great book, will be published in both hemispheres, and be translated into different languages. This I know, though neither of us may ever see it here."

Emma Lazarus wrote, "Progress and Poverty is not so much a book as an event. The life and thought of no one capable of understanding it can be quite the same after reading it," and even that reading it would prevent such a person, who also "prized justice or common honesty", from being able to ever again "dine or sleep or read or work in peace". Many famous figures with diverse ideologies, such as George Bernard Shaw, Friedrich Hayek, H. G. Wells, and Leo Tolstoy, mark their first encounters with Progress and Poverty as literally life-changing experiences.

John Haynes Holmes wrote, "My reading of Henry George's immortal masterpiece marked an epoch in my life. All my thought upon the social question and all my work for social reform began with the reading of this book,". He knew of "nothing more touching, in all the range of our American literature." Holmes also said that "Progress and Poverty was the most closely knit, fascinating and convincing specimen of argumentation that, I believe, ever sprang from the mind of man."

In 1930, during the Great Depression, George W. Norris entered an abridged version of 'Progress and Poverty' into the Congressional Record and later commented that an excerpt from the book was "one of the most beautiful things" that he "ever read on the preciousness of human liberty."

Some readers have found George's reasoning so compelling that they report being unwillingly forced into agreement. Tom L. Johnson, a streetcar monopolist and future progressive reformer, read and reread Progress and Poverty, finally requesting assistance from his business associates to find flaws in George's reasoning. Johnson took the book to his lawyer and said, "I must get out of the business, or prove that this book is wrong. Here, Russell, is a retainer of five hundred dollars [$13,000 in 2015]. I want you to read this book and give me your honest opinion on it, as you would on a legal question. Treat this retainer as you would a fee." Frank Chodorov, a pacifist libertarian of the American 'old right', claims to have read Progress and Poverty many times, and almost constantly for six months straight, before finally accepting George's conclusions. The literary critic Horace Traubel wrote that "George died in the charge of battle. But his book is battle spared. It has been in all battles and has survived all. Antagonism no longer has surprises for it."

Philip Wicksteed wrote that Progress and Poverty had opened "a new heaven and a new earth" and that it was “by far the most important work in its social consequences that our generation or century [1882] has seen.” Alfred Russel Wallace later echoed this opinion when hailing Progress and Poverty as "undoubtedly the most remarkable and important book of the present century," placing it even above Darwin's On the Origin of Species. Nobel laureate Gary Becker said that Progress and Poverty was the first economics book he read, because Henry George "was famous in those days" and "influenced a lot of us in economics." Becker also said that the book was wonderful and had a lasting impact on his thinking. Ilya Tolstoy said that the book was a revelation to his father.

William Simon U'Ren wrote that he "went to Honolulu to die," but that a chance encounter with Progress and Poverty gave him a sense of purpose and renewed his desire to live. U'Ren went on to become a pioneering reformer of municipal elections and activist for direct democracy.

Clarence Darrow wrote that he had "found a new political gospel that bade fair to bring about the social equality and opportunity that has always been the dream of the idealist." Sara Bard Field wrote that Progress and Poverty was "the first great book I ever encountered", for how it impacted her thinking on poverty and wealth.

Albert Einstein wrote this about his impression of Progress and Poverty: "Men like Henry George are rare unfortunately. One cannot imagine a more beautiful combination of intellectual keenness, artistic form and fervent love of justice. Every line is written as if for our generation."

In the Classics Club edition forward, John F. Kieran wrote that "no student in that field [economics] should be allowed to speak above a whisper or write above three lines on the general subject until he has read and digested Progress and Poverty." Kieran also later listed Progress and Poverty as one of his favorite books. Michael Kinsley wrote that it is "the greatest economic treatise ever written."

After reading selections of Progress and Poverty, Helen Keller wrote of finding "in Henry George’s philosophy a rare beauty and power of inspiration, and a splendid faith in the essential nobility of human nature." Father Edward McGlynn, one of the most prominent and controversial Catholic priests of the time, was quoted as saying, "That book is the work of a sage, of a seer, of a philosopher, of a poet. It is not merely political philosophy. It is a poem; it is a prophecy; it is a prayer."

Among many famous people who asserted that it was impossible to refute George on the land question were Winston Churchill, Leo Tolstoy, John Dewey, and Bertrand Russell. Tolstoy and Dewey, especially, dedicated much of their lives to spreading George's ideas. Tolstoy was preaching about the ideas in Progress and Poverty on his death bed.

In his 1946 foreword to Brave New World, Aldous Huxley writes "If I were to rewrite the book, I would offer the Savage...the possibility of sanity...where community economics would be decentralist and Henry-Georgian".

Democracy in America

From Wikipedia, the free encyclopedia
Democracy in America
Democracy in America by Alexis de Tocqueville title page.jpg
Title page of Democracy in America by Alexis de Tocqueville, printed at New York, 1838
AuthorAlexis de Tocqueville
Original titleDe la démocratie en Amérique
LanguageFrench
PublisherSaunders and Otley (London)
Publication date
1835–1840
Original text
De la démocratie en Amérique at French Wikisource
TranslationDemocracy in America at Wikisource

De La Démocratie en Amérique (French pronunciation: ​[dəla demɔkʁasi ɑ̃n‿ameˈʁik]; published in two volumes, the first in 1835 and the second in 1840) is a classic French text by Alexis de Tocqueville. Its title literally translates to On Democracy in America, but official English translations are usually simply entitled Democracy in America. In the book, Tocqueville examines the democratic revolution that he believed had been occurring over the previous several hundred years.

In 1831, Alexis de Tocqueville and Gustave de Beaumont were sent by the French government to study the American prison system. In his later letters, Tocqueville indicates that he and Beaumont used their official business as a pretext to study American society instead. They arrived in New York City in May of that year and spent nine months traveling the United States, studying the prisons and collecting information on American society, including its religious, political, and economic character. The two also briefly visited Canada, spending a few days in the summer of 1831 in what was then Lower Canada (modern-day Quebec) and Upper Canada (modern-day Ontario).

After they returned to France in February 1832, Tocqueville and Beaumont submitted their report, Du système pénitentiaire aux États-Unis et de son application en France (On the Penitentiary System in the United States and its Application in France), in 1833. When the first edition was published, Beaumont was working on another book, Marie, ou, L'esclavage aux États-Unis (Marie, or, Slavery in the United States, published as two volumes in 1835), a social critique and novel describing the separation of races in a moral society and the conditions of slaves in the United States. Before finishing Democracy in America, Tocqueville believed that Beaumont's study of the United States would prove more comprehensive and penetrating.

Purpose

He begins his book by describing the change in social conditions taking place. He observed that over the previous seven hundred years the social and economic conditions of men had become more equal. The aristocracy, Tocqueville believed, was gradually disappearing as the modern world experienced the beneficial effects of equality. Tocqueville traced the development of equality to a number of factors, such as granting all men permission to enter the clergy, widespread economic opportunity resulting from the growth of trade and commerce, the royal sale of titles of nobility as a monarchical fundraising tool, and the abolition of primogeniture.

Tocqueville described this revolution as a "providential fact" of an "irresistible revolution," leading some to criticize the determinism found in the book. However, based on Tocqueville's correspondences with friends and colleagues, Marvin Zetterbaum, Professor Emeritus at University of California Davis, concludes that the Frenchman never accepted democracy as determined or inevitable. He did, however, consider equality more just and therefore found himself among its partisans.

Given the social state that was emerging, Tocqueville believed that a "new political science" would be needed, in order to:

[I]nstruct democracy, if possible to reanimate its beliefs, to purify its motives, to regulate its movements, to substitute little by little the science of affairs for its inexperience, and knowledge of its true instincts for its blind instincts; to adapt its government to time and place; to modify it according to circumstances and men: such is the first duty imposed on those who direct society in our day.

The remainder of the book can be interpreted as an attempt to accomplish this goal, thereby giving advice to those people who would experience this change in social states.

Tocqueville's message is somewhat beyond the American democracy itself, which was rather an illustration to his philosophical claim that democracy is an effect of industrialization. This explains why Tocqueville does not unambiguously define democracy and even ignores the intents of the Founding Fathers of the United States regarding the American political system:

To pursue the central idea of his study—a democratic revolution caused by industrialization, as exemplified by America—Tocqueville persistently refers to democracy. This is in fact very different from what the Founding Fathers of the United States meant. Moreover, Tocqueville himself is not quite consistent in using the word 'democracy', applying it alternately to representative government, universal suffrage or majority-based governance:

The American institutions are democratic, not only in their principle but in all their consequences; and the people elects its representatives directly, and for the most part annually, in order to ensure their dependence. The people is therefore the real directing power; and although the form of government is representative, it is evident that the opinions, the prejudices, the interests, and even the passions of the community are hindered by no durable obstacles from exercising a perpetual influence on society. In the United States the majority governs in the name of the people, as is the case in all the countries in which the people is supreme. Democracy in America, Book I, Ch IX

Such an ambiguous understanding of democracy in a study of great impact on political thought could not help leaving traces. We suppose that it was Tocqueville’s work and not least its title that strongly associated the notion of democracy with the American system and, ultimately, with representative government and universal suffrage. The recent 'Tocqueville renaissance', which enforces the democratic image of the United States and, correspondingly, of other Western countries, also speaks for the role of Tocqueville’s work.

— Andranik Tangian (2020) Analytical Theory of Democracy, pp. 193-194

Main themes

The Puritan founding

Tocqueville begins his study of the U.S. by explaining the contribution of the Puritans. According to him, the Puritans established the U.S. democratic social state of equality. They arrived equals in education and were all middle class. In addition, Tocqueville observes that they contributed a synthesis of religion and political liberty in America that was uncommon in Europe, particularly in France. He calls the Puritan Founding the "seed" of his entire work.

The Federal Constitution

Tocqueville believed that the Puritans established the principle of sovereignty of the people in the Fundamental Orders of Connecticut. The American Revolution then popularized this principle, followed by the Constitutional Convention of 1787, which developed institutions to manage popular will. While Tocqueville speaks highly of the U.S. Constitution, he believes that the mores, or "habits of mind" of the American people play a more prominent role in the protection of freedom. These include:

  • Township democracy
  • Mores, laws, and circumstances
  • Tyranny of the majority
  • Religion and beliefs
  • The family
  • Individualism
  • Associations
  • Self-interest rightly understood
  • Materialism

Situation of women

Tocqueville was one of the first social critics to examine the situation of U.S. women and to identify the concept of separate spheres. The section Influence of Democracy on Manners Properly So Called of the second volume is devoted to his observations of women's status in U.S. society. He writes: "In no country has such constant care been taken as in America to trace two clearly distinct lines of action for the two sexes and to make them keep pace one with the other, but in two pathways that are always different."

He argues that the collapse of aristocracy lessened the patriarchal rule in the family where fathers would control daughters' marriages, meaning that women had the option of remaining unmarried and retaining a higher degree of independence. Married women, by contrast, lost all independence "in the bonds of matrimony" as "in America paternal discipline [by the woman's father] is very relaxed and the conjugal tie very strict." Yet despite this lack of independence, He believed America would "raise woman and make her more and more the equal of man" and praised America for having more legal protections for women than in France. Tocqueville believed women would be contributors to America's prosperity and strength despite the limitations of the time, stating:

As for myself, I do not hesitate to avow that although the women of the United States are confined within the narrow circle of domestic life, and their situation is in some respects one of extreme dependence, I have nowhere seen women occupying a loftier position; and if I were asked, ... to what the singular prosperity and growing strength of that people ought mainly to be attributed, I should reply,—to the superiority of their women.

Summary

The primary focus of Democracy in America is an analysis of why republican representative democracy has succeeded in the United States while failing in so many other places. Tocqueville seeks to apply the functional aspects of democracy in the United States to what he sees as the failings of democracy in his native France.

Tocqueville speculates on the future of democracy in the United States, discussing possible threats to democracy and possible dangers of democracy. These include his belief that democracy has a tendency to degenerate into "soft despotism" as well as the risk of developing a tyranny of the majority. He observes that the strong role religion played in the United States was due to its separation from the government, a separation all parties found agreeable. He contrasts this to France, where there was what he perceived to be an unhealthy antagonism between democrats and the religious, which he relates to the connection between church and state. Recent scholarship has pointed out that Tocqueville did not speak to or attend to any African American women in the course of his study, though their views on democracy, autonomy, and freedom largely aligned with his, if slavery were abolished.

Insightful analysis of political society was supplemented in the second volume by description of civil society as a sphere of private and civilian affairs, mirroring Hegel.

Tocqueville observed that social mechanisms have paradoxes, as in what later became known as the Tocqueville effect: "social frustration increases as social conditions improve". He wrote that this growing hatred of social privilege, as social conditions improve, leads to the state concentrating more power to itself.

Tocqueville's views on the United States took a darker turn after 1840, however, as made evident in Craiutu and Jennings' Tocqueville on America after 1840: Letters and Other Writings.

Impact

Democracy in America was published in two volumes, the first in 1835 and the other in 1840. It was immediately popular in both Europe and the United States, while also having a profound impact on the French population. By the twentieth century, it had become a classic work of political science, social science, and history. It is a commonly assigned reading for undergraduates of American universities majoring in the political or social sciences, and part of the introductory political theory syllabus at Cambridge, Oxford, Princeton and other institutions. In the introduction to his translation of the book, Harvard Professor Harvey C. Mansfield calls it "at once the best book ever written on democracy and the best book ever written on America."

Tocqueville's work is often acclaimed for making a number of astute predictions. He anticipates the potential acrimony over the abolition of slavery that would tear apart the United States and lead to the American Civil War, as well as the eventual superpower rivalry between the United States and Russia, which exploded after World War II and spawned the Cold War.

Noting the rise of the industrial sector in the American economy, Tocqueville, some scholars have argued, also correctly predicted that an industrial aristocracy would rise from the ownership of labor. He warned that 'friends of democracy must keep an anxious eye peeled in this direction at all times', observing that the route of industry was the gate by which a newfound wealthy class might potentially dominate, although he himself believed that an industrial aristocracy would differ from the formal aristocracy of the past.

On the other hand, Tocqueville proved shortsighted in noting that a democracy's equality of conditions stifles literary development. In spending several chapters lamenting the state of the arts in America, he fails to envision the literary renaissance that would shortly arrive in the form of such major writers as Edgar Allan Poe, Henry David Thoreau, Ralph Waldo Emerson, Herman Melville, Nathaniel Hawthorne, and Walt Whitman. Equally, in dismissing the country's interest in science as limited to pedestrian applications for streamlining the production of material goods, he failed to imagine America's burgeoning appetite for pure scientific research and discovery.

According to Tocqueville, democracy had some unfavorable consequences: the tyranny of the majority over thought, a preoccupation with material goods, and isolated individuals.

Democracy in America was interpreted differently across national contexts. In France and the United States, Tocqueville's work was seen as liberal, whereas both progressives and conservatives in the British Isles interpreted his work as supporting their own positions.

Representation of a Lie group

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