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Sunday, March 26, 2023

History of communism

From Wikipedia, the free encyclopedia
 

The history of communism encompasses a wide variety of ideologies and political movements sharing the core theoretical values of common ownership of wealth, economic enterprise, and property. Most modern forms of communism are grounded at least nominally in Marxism, a theory and method conceived by Karl Marx during the 19th century. Marxism subsequently gained a widespread following across much of Europe and throughout the late 1800s its militant supporters were instrumental in a number of failed revolutions on that continent. During the same era, there was also a proliferation of communist parties which rejected armed revolution, but embraced the Marxist ideal of collective property and a classless society.

Although Marxist theory suggested that the places ripest for social revolution, either through peaceful transition or by force of arms, were industrial societies, communism was mostly successful in underdeveloped countries with endemic poverty such as the Russian Empire and the Republic of China. In 1917, the Bolshevik Party seized power during the Russian Revolution and in 1922 created the Soviet Union, the world's first self-declared socialist state. The Bolsheviks thoroughly embraced the concept of proletarian internationalism and world revolution, seeing their struggle as an international rather than a purely regional cause. This was to have a phenomenal impact on the spread of communism during the 20th century as the Soviet Union installed new Marxist–Leninist governments in Central and Eastern Europe following World War II and indirectly backed the ascension of others in the Americas, Asia and Africa. Pivotal to this policy was the Communist International, also known as the Comintern, formed with the perspective of aiding and assisting communist parties around the world and fostering revolution. This was one major cause of tensions during the Cold War as the United States and its military allies equated the global spread of communism with Soviet expansionism by proxy.

By 1985, one-third of the world's population lived under a Marxist–Leninist system of government in one form or another. However, there was significant debate among communist and Marxist ideologues as to whether most of these countries could be meaningfully considered Marxist at all since many of the basic components of the Marxist system were altered and revised by such countries. The failure of these governments to live up to the ideal of a communist society, their general trend towards increasing authoritarianism and the inherent inefficiencies in their economies has been linked to the decline of communism in the late 20th century. With the dissolution of the Soviet Union in 1991, several Marxist–Leninist states repudiated or abolished the ideology altogether. As of the 21st century, only a small number of Marxist–Leninist states remain, namely China, Cuba, Laos, North Korea and Vietnam. All of these states have started allowing more economic competition while maintaining one-party rule.[5]

Origins of communism

Communism in antiquity

The 1st century BC Roman philosopher Seneca believed that humans had fallen from a Golden Age of primitive communism

Many historical groups have been considered as following forms of communism. Karl Marx and other early communist theorists believed that hunter-gatherer societies as were found in the Paleolithic through to horticultural societies as found in the Chalcolithic were essentially egalitarian and he, therefore, termed their ideology to be primitive communism. One of the first writers to espouse a belief in the primitive communism of the past was the Roman Stoic philosopher Seneca who stated," How happy was the primitive age when the bounties of nature lay in common...They held all nature in common which gave them secure possession of the public wealth." Because of this he believed that such primitive societies were the richest as there was no poverty. Other Greco-Roman writers that believed in a prehistoric humanity that practiced communism include Diodorus Siculus, Virgil, and Ovid. Similarly the early Church Fathers, like their pagan predecessors, maintained that humans society had declined to its current state from a now lost egalitarian social order.

Around the late 5th century BC in Ancient Greece, ideas similar to communism were becoming widespread to the extent that they were parodied by the dramatist Aristophanes in his comedy The Assemblywomen in which the women of Athens seize control of the Ecclesia or city government and abolish all private property while making the sharing of women and the collective rearing of children mandatory. Over a decade later in Plato's Republic Socrates declares that an ideal state would eliminate all forms of private property among the elite of society to the extent that even children and wives are shared. He asserts that such practices would prevent internal conflict within a society and promote a sense of unity and common identity. Around AD 500 in Iran, the Zoroastrian priest and reformist Mazdak purportedly founded a movement preaching religious communism while under the patronage of the Sassanian King Kavad I who initially supported the priest and his reforms, but later had the Mazdakians repressed and Mazdak executed.

Developments in Christian communism

Early Christianity supported a form of common ownership based on the teachings in the New Testament which emphasised sharing. For example, in the Book of Acts the passages Acts 2:44-45 and Acts 4:32-37 state all believers held their possessions communally and would distribute goods based on need. Additionally, the related Jewish sect known as the Essenes was committed to, "social and material egalitarianism." Despite these practices falling into decline even before the era of Constantine, the principles of sharing property and holding goods in common continued within the Christian traditions of monasticism.

From the High Middle Ages to the early modern period in Europe, various groups supporting Christian communist and communalist ideas were occasionally adopted by reformist Christian sects. An early 12th century proto-Protestant group originating in Lyon, Kingdom of Burgundy-Arles known as the Waldensians held their property in common in accordance with the Book of Acts, but were persecuted by the Catholic Church and retreated to the Piedmont. Some Waldensians led a schism after they felt the groups leader was becoming authoritarian. With the rise of the Mendicant Orders in the 13th century groups such as the Franciscans began challenging the concept of private property to the extent it had to be defended by Pope John XXII in his 1328 papal bull Quia vir reprobus, in which he ruled that because God had gifted Adam with the Earth as his domain, the ownership of property was divinely sanctioned. Also beginning in the 13th century a lay order known as the Beghards, originating in the Low Countries, started to spread among the underprivileged groups of society, taking in members who renounced private property and dedicated themselves to communal living and pious, frugal lifestyles as artisans.  Although the practices were successful enough to spread to other areas on the continent such as France and Germany, the Beghards were later repeatedly condemned by the Catholic Church. Around 1300 the Apostolic Brethren in northern Italy were taken over by Fra Dolcino who formed a sect known as the Dulcinians which advocated ending feudalism, dissolving hierarchies in the church, and holding all property in common. The 14th century English scholastic and founder of Lollardy, John Wycliffe, preached of an idealized Christian state with collective ownership and disapproved of those rejecting the, "common charity and common property of Christian men." Around the same time the revolutionary priest John Ball, who was later executed for his prominent role in the doomed Wat Tyler Rebellion allegedly declared, "things cannot go well in England, nor ever will, until all goods are held in common."

Tommaso Campanella's Civitas Solis envisoned a utopian city where private property is abolished

In Tábor, Bohemia during the 15th century Hussite Wars, the radical Taborites attempted to institute a system they called a "community of goods" where, "there is no mine or thine but all is held in common", but once initiated the scheme was quickly abandoned. They have been considered precursors of totalitarian governance while under leadership of the dictatorial Jan Želivský. After Taborite power was broken at Lipany their successors fled to Moravia forming the Moravian Church under the pacifist spiritual leader Petr Chelčický who harbored both Christian communist and Christian anarchist beliefs. The extent to which Chelčický's followers, also known as the Bohemian Brethren, adhered to his ideals, namely the abstinence from property, trade, and government, is disputed, and by the 16th century the Brethren definitely no longer embraced them. During the Protestant Reformation of the 16th century the radical Anabaptists, who originated in Switzerland, endorsed the communalization of goods as practiced in the Book of Acts. The most notable Anabaptist groups were the Hutterites, founded by Jacob Hutter, who settled in Moravia in the 1520s and the Münster Anabaptists who were eradicated in battle during their attempt in 1535 to forcibly convert the city of Münster into a theocratic New Jerusalem. Various groups on the side of the Roundheads during the English Civil War in the mid-17th century propagated the redistribution of wealth on an egalitarian basis, namely the Levellers and the Diggers although only the latter group under Gerrard Winstanley promoted a propertyless, communist society.

European writers began depicting idealized communist societies in utopian fiction from the 16th century onward. Inspired by largely fictional accounts of native communities in the New World, the English humanist and future Lord Chancellor Thomas More, wrote the utopian novel Utopia (1516) in which the main character decries private property after traveling to an idyllic island without money or private property and where, "everything is under state control." More coined the term utopia as a name for his idealized community, which means "nowhere" in Latin, evincing the fact that More did not consider such a society attainable in reality. Tommaso Campanella's 1601 work The City of the Sun propagated the concept of a society where the products of society should be shared equally. In Campanella's utopia all people are well educated, there is only a four-hour work day, there is no private property, the population practices eugenics to improve mental and physical fitness, most time is devoted to either leisure or self improvement, and society is managed by a ruling scientist who bases his administration on scientific principles all in the interest of benefiting society as a whole. Utopian communist societies were also described by the French writers François Fénelon and Denis Vairasse while English writer Francis Bacon wrote of a utopia that merely had a "communism in knowledge."

Communism during the Enlightenment

During the Age of Enlightenment in 18th century France, some liberal writers increasingly began to criticize the institution of private property even to the extent they demanded its abolition. One of the first secular visions for a communist society is contained within the French Catholic abbé Jean Meslier's posthumously published Testament (1729). Similarly the Abbé de Mably, also a French philosopher wrote that the individual ownership of land was the source of all mischief and that wealthy inequality brought about social ruin that could only be reversed by adopting a society based on collective ownership." He did however temper his views by surmising that any attempts at enacting true equality and communal ownership would prove to be too costly and destructive to be worth implementing. Another French thinker, Étienne-Gabriel Morelly also contended that private property was the source of all vice in society and developed the basic principles for a communist society namely, the abolition of property, the right to live and work for all, and the duty of all citizens to work for the common good. The French philosopher Jean Jacques Rousseau in his hugely influential The Social Contract (1762) outlined the basis for a political order based on popular sovereignty rather than the rule of monarchs, and in his Discourse on Inequality (1755) inveighed against the corrupting effects of private property claiming that the invention of private property had led to the," crimes, wars, murders, and suffering" that plagued civilization.

I believe that no one will contest the justness of this proposition: that where no property exists, none of its pernicious consequences could exist...if you were to take away property, the blind and pitiless self-interest that accompanies it, you would cause all the prejudices in errors that they sustain to collapse.

Étienne-Gabriel Morelly, 1755

Victor d'Hupay referred to himself as an auteur communiste or "communist author" in 1782
 
Restif de la Bretonne used the term "communism" in 1793 to describe a society where all private property was eliminated

In 1785 the popular French novelist Restif de la Bretonne wrote a book review on Victor d'Hupay's 1779 book Project for a Philosophical Community which described a plan for a communal experiment in Marseille where all private property was banned and which could be considered," the first full blueprint for a secular communist society in the world." In the review Restif noted that d'Hupay had referred to himself as a communiste, the French form of the word "communist", in a 1782 letter, the first recorded instance of that term. Restif himself wrote many novels centered around the idea of eliminating private property, first using the term "community of goods" in 1783 and then the term "communism" in 1793, rendered in French as communisme.

François-Noël Babeuf was a notable advocate for the abolition of private property during the French Revolution

These currents of thought in French philosophy proved influential during the French Revolution of 1789 in which various anti-monarchists, particularly the Jacobins, supported the idea of redistributing wealth equally among the people, including Jean-Paul Marat and Gracchus Babeuf. The latter was involved in the Conspiracy of the Equals of 1796 intending to establish a revolutionary regime based on communal ownership, egalitarianism and the redistribution of property. Babeuf was directly influenced by Morelly's anti-property utopian novel The Code of Nature and quoted it extensively, although he was under the erroneous impression it was written by Diderot. Also during the revolution the publisher Nicholas Bonneville, the founder of the Parisian revolutionary Social Club used his printing press to spread the communist treatises of Restif and Sylvain Maréchal.[64] Maréchal, who later joined Babeuf's conspiracy, would state in his Manifesto of the Equals (1796)," we aim at something more sublime and more just, the COMMON GOOD or the COMMUNITY OF GOODS" and "The French Revolution is just a precursor of another revolution, far greater, far more solemn, which will be the last." Restif also continued to write and publish books on the topic of communism throughout the Revolution. Accordingly, through their egalitarian programs and agitation Restif, Maréchal, and Babeuf became the progenitors of modern communism. Babeuf's plot was detected, however, and he and several others involved were arrested and executed. Because of his views and methods, Babeuf is sometimes referred to as the first revolutionary communist, although at the time Babeuf himself used the term "communitist". Despite this setback, the example of the French Revolutionary regime and Babeuf's doomed insurrection was an inspiration for French socialist thinkers such as Henri de Saint-Simon, Louis Blanc, Charles Fourier and Pierre-Joseph Proudhon. Proudhon, the founder of modern anarchism and libertarian socialism would later famously declare "property is theft!" a phrase first invented by the French revolutionary Brissot de Warville.

Post-French Revolution communism

Importantly because one of Babeuf's co-conspirators, Philippe Buonarroti, survived the crackdown on the Conspiracy of the Equals he was able, later in his life, to write the influential book Babeuf's Conspiracy for Equality first published in 1828 which chronicled and popularized Babeouf's beliefs. In it Buonarroti asserted that in society," burdens, productions, and advantages ought to be equally divided," and believed that this division would lead to," the greatest possible happiness of all." Bournatti's writings led to a revival of Babeuf's thought in France and the dissemination of political theories referred to as Neo-Babouvism. According to Bournatti's Neo-Babouvism a revolutionary elite of "wise and courageous" citizens who cared only for "ensuring the triumph of equality" would be needed to uplift the masses and establish a new society based on egalitarian principles.

By the 1830s and 1840s, the egalitarian concepts of communism and the related ideas of socialism had become widely popular in French revolutionary circles thanks to the writings of social critics and philosophers such as Pierre Leroux and Théodore Dézamy, whose critiques of bourgeoisie liberalism and individualism led to a widespread intellectual rejection of laissez-faire capitalism on economic, philosophical and moral grounds. According to Leroux writing in 1832, "To recognise no other aim than individualism is to deliver the lower classes to brutal exploitation. The proletariat is no more than a revival of antique slavery." He also asserted that private ownership of the means of production allowed for the exploitation of the lower classes and that private property was a concept divorced from human dignity. Dézamy would assert in his 1842 book Code la Communaté that what was needed was a," complete and unrestricted society of communal property" in which all activity was centralized. The systematic, historical and materialist analysis of the nature of communism in Dézamy's work led Marx to consider him among the first scientific socialists along with Jules Gay. It was only in the year 1840 that proponents of common ownership in France, including the socialists Théodore Dézamy, Étienne Cabet, and Jean-Jacques Pillot began to widely adopt the word "communism" as a term for their belief system.

A landmark event that established the popularity of the communist movement in France occurred in 1840 when Dézamy along with Pillot and Albert Laponneraye organized a pro-communist banquet in Belleville, France, the "first public manifestation of the communist party" in France which proved so successful that further planned communist banquets had to be outlawed by the French government. Also in 1840 a society of "Egalitarian Workers" following a communist program was founded in Paris and a general strike was called whose leaders were reportedly inspired by communist ideals. During the 1840s Étienne Cabet had a following of between 100,000 and 200,000 French workers and was considered by Friedrich Engels to be the representative of the French proletariat. One of the most prominent and influential French communists of the 1840s was Auguste Blanqui who was notable for his belief that violent revolutionary action should be used to overthrow the bourgeosie dominated state. In Blanqui's estimation a revolution would be most successful if it was executed by a small, secretive group which could then install a "dictatorship of the proletariat." Dézamy disagreed with any program endorsing a dictatorship, believing instead that the chief focus should be on cultivating proletarian unity through propaganda and education.

The works and teachings of these French writers, many now self identifying as communists, went on to inspire new communist groups such as the League of the Just, an organization founded in Paris in 1836 by the Christian communist German émigrés Wilhelm Weitling and Karl Schapper. A second group, the Communist Correspondence Committee, was formed in Brussels in 1846 by another pair of German émigrés Karl Marx and Friedrich Engels. The two groups were merged in 1847 to form the Communist League which was headed by Schapper who then proceeded to task the co-founding members Marx and Engels with writing a manifesto laying out the principles of the new political party.

Marxism

Karl Marx

Communism is the riddle of history solved, and it knows itself to be this solution.

— Karl Marx, 1844
Karl Marx, whose variety of communist theory is known as Marxism

In the 1840s, German philosopher and sociologist Karl Marx, who was living in England after fleeing the authorities in Prussia, where he was considered a political threat, began publishing books in which he outlined his theories for a variety of communism now known as Marxism. Marx was financially aided and supported by another German émigré, Friedrich Engels (1820–1895), who like Marx had fled from the German authorities in 1849. Marx and Engels took on many influences from earlier socialists such as the Utopian socialist Saint-Simonist school. Politically, they were influenced by Maximilien Robespierre and several other radical figures of the French Revolution whilst economically they were influenced by David Ricardo. Philosophically, they were influenced by Georg Wilhelm Friedrich Hegel. Engels regularly met Marx at Chetham's Library in Manchester, England from 1845 and the alcove where they met remains identical to this day. It was here that Engels relayed his experiences of industrial Manchester, chronicled in the Condition of the Working Class in England, highlighting the struggles of the working class.

Marx stated that "the history of all hitherto existing society is the history of class struggles", something that he believed was happening between the bourgeoisie (the select few upper class and upper middle class) who then controlled society and the proletariat (the working class masses) who toiled to produce everything, but who had no political control. He advanced the idea that human society moved through a series of progressive stages from primitive communism through to slavery, feudalism and then capitalism; and that this, in turn, would be replaced by communism. For Marx, communism was seen as inevitable yet uncertain and desirable.

Marx founded the Communist Correspondence Committee in 1846 through which the various communists, socialists and other leftists across Europe could keep in contact with one another in the face of political repression. He then published The Communist Manifesto in 1848, which would prove to be one of the most influential communist texts ever written. He subsequently began work on a multi-volume epic that would examine and criticise the capitalist economy and the effect that it had upon politics, society and philosophy—the first volume of the work which was known as Capital: Critique of Political Economy was published in 1869. However, Marx and Engels were not only interested in writing about communism, as they were also active in supporting revolutionary activity that would lead to the creation of communist governments across Europe. They helped to found the International Workingmen's Association which would later become known as the First International to unite various communists and socialists, with Marx being elected to the Association's General Council.

Marx summarized his system with the slogan, "From each according to his ability, to each according to his needs." This phrasing used to formulate the principles of communism is borrowed from earlier socialist political activists such as August Becker and Louis Blanc.

Early development of Marxism

During the latter half of the 19th century, various left-wing organisations across Europe continued to campaign against the many autocratic right-wing regimes that were then in power. In France, socialists set up a government known as the Paris Commune after the fall of Napoleon III in 1871, but they were soon overthrown and many of their members executed by counter-revolutionaries. Meanwhile, Karl Marx and Friedrich Engels joined the German Social-Democratic Party which had been created in 1875, but which was outlawed in 1879 by the German government, then led by Chancellor Otto von Bismarck, who deemed it to be a political threat due to its revolutionary nature and increasing number of supporters. In 1890, the party was re-legalised and by this time it had fully adopted Marxist principles. It subsequently achieved a fifth of the vote in the German elections and some of its leaders, such as August Bebel and Wilhelm Liebknecht, became well-known public figures.

The communists disdain to conceal their views and aims. They openly declare that their ends can be attained only by the forcible overthrow of all existing social conditions. Let the ruling classes tremble at a communist revolution. The proletarians have nothing to lose but their chains. They have a world to win.

Karl Marx, 1848

At the time, Marxism took off not only in Germany, but it also gained popularity in Hungary, the Habsburg monarchy and the Netherlands, although it did not achieve such success in other European nations like the United Kingdom, where Marx and Engels had been based. Nonetheless, the new political ideology had gained sufficient support that an organisation was founded known as the Second International to unite the various Marxist groups around the world.

As Marxism took off, it also began to come under criticism from other European intellectuals, including fellow socialists and leftists. For instance, the Russian collectivist anarchist Mikhail Bakunin criticised what he believed were the flaws in the Marxian theory that the state would eventually dissolve under a Marxist government, instead he believed that the state would gain in power and become authoritarian. Criticism also came from other sociologists such as the German Max Weber, who whilst admiring Marx disagreed with many of his assumptions on the nature of society. Some Marxists tried to adapt to these criticisms and the changing nature of capitalism and Eduard Bernstein emphasised the idea of Marxists bringing legal challenges against the current administrations over the treatment of the working classes rather than simply emphasising violent revolution as more orthodox Marxists did. Other Marxists opposed Bernstein and other revisionists, with many including Karl Kautsky, Otto Bauer, Rudolf Hilferding, Rosa Luxemburg, Vladimir Lenin and Georgi Plekhanov sticking steadfast to the concept of violently overthrowing what they saw as the bourgeoisie-controlled government and instead establishing a dictatorship of the proletariat.

Periodisation of international communism of 1993

The historical existence of the Communist International (Comintern) and the broader communist movement is divided among periods, regarding changes in the general policy it followed.

  • The War Communism period (1918–1921) which saw the forming of the International, the Russian Civil War, a general revolutionary upheaval after the October Revolution resulting in the formation of the first communist parties across the world and the defeat of workers' revolutionary movements in Germany, Hungary, Finland and Poland.
  • The New Economic Policy period (1921–1929) which marked the end of the civil war in Russia and new economic measures taken by the Bolshevik government, the toning down of the revolutionary wave in Europe and internal struggles within the Bolshevik Party and the Comintern after Lenin's death and before Stalin's absolute consolidation of power.
  • The Third Period (1929–1934), an ultra-left turn which saw rapid industrialization and collectivization in the Soviet Union under Stalin's rule, the refusal by communists to cooperate with social democrats in other countries (labeling them social fascists) and the ultimate rise of Adolf Hitler in Germany which led to the abandonment of the hard-line policy of this period. These years also saw the complete subordination of all communist parties across the world to the directives of the All-Union Communist Party (Bolsheviks), making the Comintern more or less an organ of the Communist Party of the Soviet Union.
  • The Popular Front period (1934–1939) which marked the call by Comintern to all popular and democratic forces (not just communist) to unite in popular fronts against fascism. Products of this period were the popular front governments in the French Third Republic and the Second Spanish Republic. However, this period was also marked by widespread purges of anyone suspected as an enemy of the Stalinist regime, both in the Soviet Union and abroad. These mass purges resulted in the breaking up of the Popular Front in Spain amidst the Spanish Civil War and the fall of Spain to Francisco Franco.
  • The period of advocating peace (1939–1941), a result of the signing of the Molotov–Ribbentrop Pact which resulted in the Soviet invasion of Poland. In this period, communists were advocating non-participation in World War II, labeling the war as imperialist. The term revolutionary defeatism was used by Comintern in this period to refer to anti-war propaganda by communists in Western Europe against their national governments.
  • The Eastern Front period, sometimes called the Second Popular Front (1941–1943), was the last period of the Comintern, starting immediately after the German invasion of the Soviet Union, with Stalin's 3 July 1941 call to the entire free world to unite and fight Nazism by all means. This was a period of militant anti-fascism, the emergence of national liberation movements all across occupied Europe and ultimately the dissolution of the Comintern in 1943.
  • The Early Cold War (1947–1960) in which the Soviet Union and the Red Army installed the Eastern Bloc communist regimes in most of Eastern Europe (except for Yugoslavia and Albania, which had independent communist regimes). A major effort to support communist party activity in Western democracies, especially the Italian Communist Party and the French Communist Party, fell short of gaining positions in the government.
  • The Late Cold War (1960–1970s) in which China turned against the Soviet Union and organized alternative communist parties in many countries. Intense attention was given to revolutionary movements in the Third World which were successful in some places such as Cuba and Vietnam. Communism was decisively defeated in other states, including Malaya and Indonesia. In 1972–1979, there was détente between the Soviet Union and the United States.
  • The end of communism in Europe (1980–1992) in which Soviet client states were heavily on the defensive as in Afghanistan and Nicaragua. The United States escalated the conflict with very heavy military spending. After a series of short-lived leaders, Mikhail Gorbachev came to power in the Kremlin and began a policy of glasnost and perestroika, designed to revive the stagnating Soviet economy. European satellites led by Poland grew increasingly independent and in 1989 they all expelled the communist leadership. East Germany merged into West Germany with Moscow's approval. At the end of 1991, the Soviet Union itself was dissolved into non-communist independent states. Many communist parties around the world either collapsed, or became independent non-communist entities. However, China, North Korea, Laos, Vietnam and Cuba maintained communist regimes. After 1980, China adopted a market oriented economy that welcomed large-scale trade and friendly relations with the United States.

Early socialist states (1917–1944)

Russian Revolution, Leninism, and formation of the Soviet Union

At the start of the 20th century, the Russian Empire was an autocracy controlled by Tsar Nicholas II, with millions of the country's largely agrarian population living in abject poverty. The anti-communist historian Robert Service noted that "poverty and oppression constituted the best soil for Marxism to grow in". The man most responsible for introducing the ideology into the country was Georgi Plekhanov, although the movement itself was largely organised by Vladimir Lenin, who had for a time been exiled to a prison camp in Siberia by the Tsarist government for his beliefs. A Marxist group known as the Russian Social Democratic Labour Party was formed in the country, although it soon divided into two main factions, namely the Bolsheviks led by Lenin and the Mensheviks led by Julius Martov. In 1905, there was a revolution against the Tsar's rule in which workers' councils known as soviets were formed in many parts of the country and the Tsar was forced to implement democratic reform, introducing an elected government, the Duma.

In 1917, with further social unrest against the Duma and its part in involving Russia in World War I, the Bolsheviks took power in the October Revolution. They began remodelling the country by nationalizing various industries and confiscating land from wealthy aristocrats and redistributing it amongst the peasants. They subsequently pulled out of the war against Germany by signing the Treaty of Brest-Litovsk which was unpopular amongst many in Russia, for it gave away large areas of land to Germany. From the outset, the new government faced resistance from a myriad of forces with differing perspectives, including anarchists, social democrats, who took power in the Democratic Republic of Georgia, Socialist-Revolutionaries, who formed the Komuch in Samara, Russia, scattered tsarist resistance forces known as the White Guard as well as Western powers. This led to the events of the Russian Civil War which the Bolsheviks won and subsequently consolidated their power over the entire country, centralising power from the Kremlin in the capital city of Moscow. In the early 1920s, Lenin began recruiting black workers, accusing American political parties of not doing more to campaign for black civil rights. A handful of African American activists were fascinated by communism, and Cyril Briggs led an organization called African Blood Brotherhood. In 1922, the Russian Socialist Federative Soviet Republic was officially redesignated to lead the Union of Soviet Socialist Republics, simply known as the Soviet Union.

In 1924, Lenin resigned as leader of the Soviet Union due to poor health and soon died, with Joseph Stalin subsequently taking over control.

Comintern, Mongolian invasion, and communist uprisings in Europe

The Communist International published a theoretical magazine of the same name in a variety of European languages from 1919 to 1943

In 1919, the Bolshevik government in Russia instigated the creation of an international communist organisation that would act as the Third International after the collapse of the Second International in 1916. This was known as the Communist International, although it was commonly abbreviated as the Comintern. Throughout its existence, the Comintern would be dominated by the Kremlin despite its internationalist stance. Meanwhile, in 1921, the Soviet Union invaded its neighboring Mongolia to aid a popular uprising against the Chinese who then controlled the country, instituting a pro-Soviet government which declared the nation to be the Mongolian People's Republic in 1924.

The Comintern and other such Soviet-backed communist groups soon spread across much of the world, though particularly in Europe, where the influence of the recent Russian Revolution was still strong. In Germany, the Spartacist uprising took place in 1919 when armed Spartacus League communists attempted to set up a Bolshevik-style council republic, but the government put the rebellion down violently with the use of right-wing paramilitary groups, the Freikorps. The noted German communists Rosa Luxemburg and Karl Liebknecht were killed extrajudicially three days later. Within a few months, a group of communists seized power amongst public unrest in the German region of Bavaria, forming the Bavarian Soviet Republic, although once more this was put down violently by the Freikorps, who historians believe killed around 1,200 communists and their sympathisers.

That same year, political turmoil in Hungary following their defeat in World War I led to a coalition government of the Social Democratic Party and the Communist Party taking control. The Hungarian Communist Party led by Béla Kun soon became dominant and instituted various communist reforms in the country, but the country itself was subsequently invaded by its neighbouring Romania within a matter of months who overthrew the government, with its leaders either escaping abroad or being executed. In 1921, a communist revolt against the Kingdom of Italy occurred whilst supportive factory workers were on strike in Turin and Milan in northern Italy, but the government acted swiftly and put down the rebellion. That same year, a further communist rebellion took place in the Weimar Republic only to be crushed, but another occurred in 1923 which once again was also defeated by the government. The Bulgarian Communist Party had also attempted an uprising in 1923, but like most of their counterparts across Europe they were defeated.

Front organisations

Communist parties were tight knit organizations that exerted tight control over the members. To reach sympathisers unwilling to join the party, front organizations were created that advocated party-approved positions. Under the leadership of Grigory Zinoviev in the Kremlin, the Comintern established fronts in many countries in the 1920s and after. To coordinate their activities, the Comintern set up various international umbrella organizations (linking groups across national borders) such as the Young Communist International (youth), Profintern (trade unions), Krestintern (peasants), International Red Aid (humanitarian aid), and Red Sport International (organized sports), among others. In Europe, front organizations were especially influential in Italy and France which became the base for Communist front organizer Willi Münzenberg in 1933. These organizations were dissolved by the late 1930s or early 1940s.

The Pan-Pacific Trade Union Secretariat (PPTUS) was set up in 1927 by the Profintern (the Comintern's trade union arm) with the mission of promoting communist trade unions in China, Japan, Korea, the Philippines, Australia, New Zealand and other nations in the western Pacific. Trapeznik (2009) says the PPTUS was a "Communist-front organization" and "engaged in overt and covert political agitation in addition to a number of clandestine activities".

There were numerous communist front organizations in Asia, many oriented to students and youth. According to one historian, in the labor union movement of the 1920s in Japan, the "Hyogikai never called itself a communist front but in effect, this was what it was". He points out it was repressed by the government "along with other communist front groups". In the 1950s, Scalapino argues: "The primary Communist-front organization was the Japan Peace Committee". It was founded in 1949.

Stalinism

Members of the Communist Party of China celebrating Stalin's birthday in 1949

In 1924, Joseph Stalin, a key Bolshevik follower of Lenin, took power in the Soviet Union. Stalin was supported in his leadership by Nikolai Bukharin, but he had various important opponents in the government, most notably Lev Kamenev, Leon Trotsky, and Grigory Zinoviev. Stalin initiated his own process of building a communist society, creating a variant of communism known as Marxism–Leninism. As a part of this, he abandoned some of the capitalist, market policies that had been allowed to continue under Lenin such as the New Economic Policy. Stalinist policies radically altered much of the Soviet Union's agricultural production, modernising it by introducing tractors and other machinery, forced collectivisation of the farms and forced collection of grains from the peasants in accordance with predecided targets. There was food available for industrial workers, but those peasants who refused to move starved, especially in Kazakhstan and Ukraine. The All-Union Communist Party (Bolsheviks) targeted kulaks, who owned a little land.

Stalin took control of the Comintern and introduced a policy in the international organisation of opposing all leftists who were not Marxist–Leninists, labelling them to be social fascists, although many communists such as Jules Humbert-Droz disagreed with him on this policy, believing that the left should unite against the rise of right-wing movements like fascism across Europe. In the early 1930s, Stalin reversed course and promoted popular front movements whereby communist parties would collaborate with socialists and other political forces. A high priority was mobilizing wide support for the Republican cause in the Spanish Civil War.

Great Purge

The Great Purge mainly operated from December 1936 to November 1938, although the features of arrest and summary trial followed by execution were well entrenched in the Soviet system since the days of Lenin as Stalin systematically destroyed the older generation of pre-1918 leaders. Stalin did so usually under the justification that the accused were enemy spies or deemed "enemies of the people"; in the Red Army, a majority of generals were executed and hundreds of thousands of other "enemies of the people" were sent to the gulag, where inhumane conditions in Siberia led a quick death.

The opening of the Soviet archives has vindicated the lower estimates put forth by the "revisionist school" scholars, despite the popular press continuing to use higher estimates and containing serious errors. By 2009, historian Archie Brown reported that estimates were now lower; about 1.7 million were arrested in 1937–1938 and half were shot.

Pre-war dissident communists

The International Right Opposition and Trotskyism are examples of dissidents who still claim communism today, but they are not the only ones. In Germany, the split in the SPD had initially led to a variety of Communist unions and parties forming which included the councilist tendencies of the AAU-D, AAU-E and KAPD. Councilism had a limited impact outside of Germany, but a number of international organisations formed. In Spain, a fusion of left and right dissidents led to the formation of the POUM. Additionally, the Spanish CNT was associated with the development of the FAI political party, a non-Marxist party which stood for revolutionary communism.

Spreading communism (1945–1957)

As the Cold War took effect around 1947, the Kremlin set up new international coordination bodies including the World Federation of Democratic Youth, the International Union of Students, the World Federation of Trade Unions, the Women's International Democratic Federation and the World Peace Council. Malcolm Kennedy says the "Communist 'front' system included such international organizations as the WFTU, WFDY, IUS, WIDF and WPC, besides a host of lesser bodies bringing journalists, lawyers, scientists, doctors and others into the widespread net".

The World Federation of Trade Unions (WFTU) was established in 1945 to unite trade union confederations across the world and it was based in Prague. While it had non-communist unions it was largely dominated by the Soviets. In 1949 the British, American and other non-Communist unions broke away to form the rival International Confederation of Free Trade Unions. The labor movement in Europe became so polarized between the communists unions and social democratic and Christian labor unions, whereas front operations could no longer hide the sponsorship and they became less important.

Soviet Union after World War II

The devastation of the war resulted in a massive recovery program involving the rebuilding of industrial plants, housing and transportation as well as the demobilization and migration of millions of soldiers and civilians. In the midst of this turmoil during the winter of 1946–1947, the Soviet Union experienced the worst natural famine in the 20th century. There was no serious opposition to Stalin as the NKVD secret police continued to send possible suspects to the gulag.

Relations with the United States and Britain went from friendly to hostile, as they denounced Stalin's political controls over eastern Europe and his blockade of Berlin. By 1947, the Cold War had begun. Stalin himself believed that capitalism was a hollow shell and would crumble under increased non-military pressure exerted through proxies in countries like Italy. However, he greatly underestimated the economic strength of the West and instead of triumph saw the West build up alliances that were designed to permanently stop or contain Soviet expansion. In early 1950, Stalin gave the go-ahead for North Korea's invasion of South Korea, expecting a short war. He was stunned when the Americans entered and defeated the North Koreans, putting them almost on the Soviet border. Stalin supported China's entry into the Korean War which drove the Americans back to the prewar boundaries, but which escalated tensions. The United States decided to mobilize its economy for a long contest with the Soviets, built the hydrogen bomb and strengthened the NATO alliance that covered Western Europe.

According to Gorlizki and Khlevniuk (2004), Stalin's consistent and overriding goal after 1945 was to consolidate the nation's superpower status and in the face of his growing physical decrepitude to maintain his own hold on total power. Stalin created a leadership system that reflected historic czarist styles of paternalism and repression, yet was also quite modern. At the top, personal loyalty to Stalin counted for everything. However, Stalin also created powerful committees, elevated younger specialists and began major institutional innovations. In the teeth of persecution, Stalin's deputies cultivated informal norms and mutual understandings which provided the foundations for collective rule after his death.

Eastern Europe

The military success of the Red Army in Central and Eastern Europe led to a consolidation of power in communist hands. In some cases, such as Czechoslovakia, this led to enthusiastic support for socialism inspired by the Communist Party and a Social Democratic Party willing to fuse. In other cases, such as Poland or Hungary, the fusion of the Communist Party with the Social Democratic Party was forcible and accomplished through undemocratic means. In many cases, the communist parties of Central Europe were faced with a population initially quite willing to reign in market forces, institute limited nationalisation of industry and supporting the development of intensive social welfare states, whereas broadly the population largely supported socialism. However, the purges of non-communist parties that supported socialism, combined with forced collectivisation of agriculture and a Soviet-bloc wide recession in 1953 led to deep unrest. This unrest first surfaced in Berlin in 1953, where Brecht ironically suggested that "the Party ought to elect a new People". However, Nikita Khrushchev's "Secret Speech" of 1956 opened up internal debate, even if members were unaware, in both the Polish and Hungarian communist parties. This led to the Polish crisis of 1956 which was resolved through change in Polish leadership and a negotiation between the Soviet and Polish parties over the direction of the Polish economy.

Hungarian Revolution of 1956

Soviet T-54 tanks in Budapest on 31 October

The Hungarian Revolution of 1956 was a major challenge to Moscow's control of Eastern Europe. This revolution saw general strikes, the formation of independent workers councils, the restoration of the Social Democratic Party as a party for revolutionary communism of a non-Soviet variety and the formation of two underground independent communist parties. The mainstream Communist Party was controlled for a period of about a week by non-Soviet aligned leaders. Two non-communist parties that supported the maintenance of socialism also regained their independence. This flowering of dissenting communism was crushed by a combination of a military invasion supported by heavy artillery and airstrikes; mass arrests, at least a thousand juridical executions and an uncounted number of summary executions; the crushing of the Central Workers Council of Greater Budapest; mass refugee flight; and a worldwide propaganda campaign. The effect of the Hungarian Revolution on other communist parties varied significantly, resulting in large membership losses in Anglophone communist parties.

Prague Spring of 1968

The Czechoslovak Communist Party began an ambitious reform agenda under Alexander Dubček. The plan to limit central control and make the economy more independent of the party threatened bedrock beliefs. On 20 August 1968, Soviet leader Leonid Brezhnev ordered a massive military invasion by Warsaw Pact forces that destroyed the threat of internal liberalization. At the same time, the Soviets threatened retaliation against the British-French-Israeli invasion of Egypt. The upshot was a collapse of any tendency toward détente and the resignations of more intellectuals from communist parties in the West.

West Germany

West Germany and West Berlin were centers of East–West conflict during the Cold War and numerous communist fronts were established. For example, the East Germany organization Society for German–Soviet Friendship (GfDSF) had 13,000 members in West Germany, but it was banned in 1953 by some Länder as a communist front. The Democratic Cultural League of Germany started off as a series of genuinely pluralistic bodies, but in 1950–1951 came under the control of the communists. By 1952, the United States Embassy counted 54 "infiltrated organizations" which started independently as well as 155 "front organizations" which had been communist inspired from their start.

The Association of the Victims of the Nazi Regime was set up to rally West Germans under the anti-fascist banner, but it had to be dissolved when Moscow discovered it had been infiltrated by "Zionist agents".

China

Great Leap Forward

Mao Zedong and the Chinese Communist Party came to power in China in 1949 as the Nationalists headed by the Kuomintang fled to the island of Taiwan. In 1950–1953, China engaged in a large-scale, undeclared war with the United States, South Korea and United Nations forces in the Korean War. While ended in a military stalemate, it gave Mao the opportunity to identify and purge elements in China that seemed supportive of capitalism. At first, there was close cooperation with Stalin, who sent in technical experts to aid the industrialization process along the line of the Soviet model of the 1930s. After Stalin's death in 1953, relations with Moscow soured—Mao thought Stalin's successors had betrayed the Communist ideal. Mao charged that Soviet leader Nikita Khrushchev was the leader of a "revisionist clique" which had turned against Marxism and Leninism was now setting the stage for the restoration of capitalism. The two nations were at sword's point by 1960. Both began forging alliances with communist supporters around the globe, thereby splitting the worldwide movement into two hostile camps.

Rejecting the Soviet model of rapid urbanization, Mao Zedong and his top aide Deng Xiaoping launched the Great Leap Forward in 1957–1961 with the goal of industrializing China overnight, using the peasant villages as the base rather than large cities. Private ownership of land ended and the peasants worked in large collective farms that were now ordered to start up heavy industry operations, such as steel mills. Plants were built in remote locations, despite the lack of technical experts, managers, transportation or needed facilities. Industrialization failed, but the main result was a sharp unexpected decline in agricultural output, which led to mass famine and millions of deaths. The years of the Great Leap Forward in fact saw economic regression, with 1958 through 1961 being the only years between 1953 and 1983 in which China's economy saw negative growth. Political economist Dwight Perkins argues, "Enormous amounts of investment produced only modest increases in production or none at all. [...] In short, the Great Leap was a very expensive disaster". Put in charge of rescuing the economy, Deng adopted pragmatic policies that the idealistic Mao disliked. For a while, Mao was in the shadows, but he returned to center stage and purged Deng and his allies in the Cultural Revolution (1966–1969).

Early post-war dissident communists

Following the Second World War, Trotskyism was wracked by increasing internal divisions over analysis and strategy. This was combined with an industrial impotence that was widely recognised. Additionally, the success of Soviet-aligned parties in Europe and Asia led to the persecution of Trotskyite intellectuals such as the infamous purge of Vietnamese Trotskyists. The war had also strained social democratic parties in the West. In some cases, such as Italy, significant bodies of membership of the Social Democratic Party were inspired by the possibility of achieving advanced socialism. In Italy, this group, combined with dissenting communists, began to discuss theory centred on the experience of work in modern factories, leading to autonomist Marxist. In the United States, this theoretical development was paralleled by the Johnson–Forest Tendency whereas in France a similar impulse occurred.

Cold War and revisionism (1958–1979)

Maoism and Cultural Revolution in China

The propaganda oil painting of Mao during the Cultural Revolution (1967).

The Cultural Revolution was an upheaval that targeted intellectuals and party leaders from 1966 through 1976. Mao's goal was to purify communism by removing pro-capitalists and traditionalists by imposing Maoist orthodoxy within the Chinese Communist Party. The movement paralyzed China politically and weakened the country economically, culturally and intellectually for years. Millions of people were accused, humiliated, stripped of power and either imprisoned, killed or most often sent to work as farm laborers. Mao insisted that these he labelled revisionists be removed through violent class struggle. The two most prominent militants were Marshall Lin Biao of the army and Mao's wife Jiang Qing. China's youth responded to Mao's appeal by forming Red Guard groups around the country. The movement spread into the military, urban workers and the Communist Party leadership itself. It resulted in widespread factional struggles in all walks of life. In the top leadership, it led to a mass purge of senior officials who were accused of taking a "capitalist road", most notably Liu Shaoqi and Deng Xiaoping. During the same period, Mao's personality cult grew to immense proportions. After Mao's death in 1976, the survivors were rehabilitated and many returned to power.

Cuban Revolution

The Cuban Revolution was a successful armed revolt led by Fidel Castro's 26th of July Movement against the regime of Cuban dictator Fulgencio Batista. It ousted Batista on 1 January 1959, replacing his regime with Castro's revolutionary government. Castro's government later reformed along communist lines, becoming the present Communist Party of Cuba in October 1965. The United States response was highly negative, leading to a failed invasion attempt in 1961. The Soviets decided to protect its ally by stationing nuclear weapons in Cuba in 1962. In the Cuban Missile Crisis, the United States vehemently opposed the Soviet Union move. There was serious fear of nuclear war for a few days, but a compromise was reached by which Moscow publicly removed its weapons and the United States secretly removed its from bases in Turkey and promised never to invade.

African communism

Monument to Marxism built by the Derg in Addis Ababa

During the decolonization of Africa, the Soviet Union took a keen interest in that continent's independence movements and initially hoped that the cultivation of communist client states there would deny their economic and strategic resources to the West. Soviet foreign policy with regards to Africa assumed that newly independent African governments would be receptive to communist ideology and that the Soviets would have the resources to make them attractive as development partners. During the 1970s, the ruling parties of several sub-Saharan African states formally embraced communism, including the People's Republic of Benin, the People's Republic of Mozambique, the People's Republic of the Congo, the People's Democratic Republic of Ethiopia, and the People's Republic of Angola. Most of these regimes ensured the selective adoption and flexible application of communist theory set against a broad ideological commitment to Marxism or Leninism. The adoption of communism was often seen as a means to an end and used to justify the extreme centralization of power.

Angola was perhaps the only African state which made a longstanding commitment to communism, but this was severely hampered by its own war-burdened economy, rampant corruption and practical realities which allowed a few foreign companies to wield considerable influence despite the elimination of the domestic Angolan private sector and a substantial degree of central economic planning. Both Angola and Ethiopia built new social and political communist institutions modeled closely after those in the Soviet Union and Cuba. However, their regimes either dissolved after the collapse of the Soviet Union due to civil conflict or voluntarily repudiated communism in favour of social democracy.

Eurocommunism

An important trend in several countries in Western Europe from the late 1960s into the 1980s was Eurocommunism. It was strongest in Spain's PCE, Finland's party and especially in Italy's PCI, where it drew on the ideas of Antonio Gramsci. It was developed by communist party members who were disillusioned with both the Soviet Union and China and sought an independent program. They accepted liberal parliamentary democracy and free speech as well as accepting with some conditions a capitalist market economy. They did not speak of the destruction of capitalism, but sought to win the support of the masses and by a gradual transformation of the bureaucracies. In 1978, the Communist Party of Spain replaced the historic "Marxist–Leninist" catchphrase with the new slogan of "Marxist, democratic and revolutionary". The movement faded in the 1980s and collapsed with the fall of communism in Eastern Europe in 1989.

Other forms

Anarcho-communism is a political philosophy and anarchist school of thought which advocates the abolition of the state, capitalism, wage labour, social hierarchies and private property (while retaining respect for personal property, along with collectively-owned items, goods and services) in favor of common ownership of the means of production and direct democracy as well as a horizontal network of workers' councils with production and consumption based on the guiding principle "From each according to his ability, to each according to his needs."

Left communism is a position held by the left wing of communism, which criticises the political ideas and practices espoused by Marxist–Leninists and social democrats. Left communists assert positions which they regard as more authentically Marxist than the views of Marxism–Leninism espoused by the Communist International after its Bolshevization by Joseph Stalin and during its second congress.

Libertarian Marxism is a broad scope of economic and political philosophies that emphasize the anti-authoritarian and libertarian aspects of Marxism.

End of the Eastern Bloc (1980–1992)

Reform and collapse (1980–1992)

Soviet General Secretary Mikhail Gorbachev, who sought to end the Cold War between the Soviet-led Warsaw Pact and the United States-led NATO and other its other Western allies, in a meeting with President Ronald Reagan

Social resistance to the policies of communist regimes in Eastern Europe accelerated in strength with the rise of the Solidarity, the first non-communist controlled trade union in the Warsaw Pact that was formed in the People's Republic of Poland in 1980.

In 1985, Mikhail Gorbachev rose to power in the Soviet Union and began policies of radical political reform involving political liberalisation called perestroika and glasnost. Gorbachev's policies were designed at dismantling authoritarian elements of the state that were developed by Stalin, aiming for a return to a supposed ideal Leninist state that retained a one-party structure while allowing the democratic election of competing candidates within the party for political office. Gorbachev also aimed to seek détente with the West and end the Cold War that was no longer economically sustainable to be pursued by the Soviet Union. The Soviet Union and the United States under President George H. W. Bush joined in pushing for the dismantlement of apartheid and oversaw the dismantlement of South African colonial rule over Namibia.

Meanwhile, the Eastern European communist states politically deteriorated in response to the success of the Polish Solidarity movement and the possibility of Gorbachev-style political liberalisation. In 1989, revolts began across Eastern Europe and China against communist regimes. In China, the government refused to negotiate with student protestors, resulting in the Tiananmen Square attacks that stopped the revolts by force.

The opening of a border gate between Austria and Hungary at the Pan-European Picnic on August 19, 1989, then set in motion a peaceful chain reaction, at the end of which there was no longer a GDR and the Eastern Bloc had disintegrated. It was the largest escape movement from East Germany since the Berlin Wall was built in 1961. But with the mass exodus at the Pan-European Picnic, the subsequent hesitant behavior of the Socialist Unity Party of East Germany and the non-intervention of the Soviet Union broke the dams. The revolts culminated with the revolt in East Germany against the communist regime of Erich Honecker. The event in East Germany developed into a popular mass revolt with sections of the Berlin Wall being torn down and East and West Berliners uniting. Gorbachev's refusal to use Soviet forces based in East Germany to suppress the revolt was seen as a sign that the Cold War had ended. Honecker was pressured to resign from office and the new government committed itself to reunification with West Germany. The Communist Party regime of Nicolae Ceaușescu in Romania was forcefully overthrown in the Romanian Revolution of 1989 and Ceaușescu was executed. The other Warsaw Pact regimes also fell during the Revolutions of 1989, with the exception of the Socialist People's Republic of Albania that continued until 1992.

The fall of the Berlin Wall in 1989

Unrest and eventual collapse of communism also occurred in Yugoslavia, although for different reasons than those of the Warsaw Pact. The death of Josip Broz Tito in 1980 and the subsequent vacuum of strong leadership allowed the rise of rival ethnic nationalism in the multinational country. The first leader to exploit such nationalism for political purposes was Slobodan Milošević, who used Serbian nationalism to seize power as president of Serbia and demanded concessions to the Socialist Republic of Serbia and Serbs by the other republics in the Yugoslav federation. This resulted in a surge of Slovene and Croat nationalism in response and the collapse of the League of Communists of Yugoslavia in 1990, the victory of nationalists in multi-party elections in most of Yugoslavia's constituent republics and eventually civil war between the various nationalities beginning in 1991. Yugoslavia was dissolved in 1992.

The Soviet Union itself collapsed between 1990 and 1991, with a rise of secessionist nationalism and a political power dispute between Gorbachev and Boris Yeltsin, the new leader of the Russian Federation. With the Soviet Union collapsing, Gorbachev prepared the country to become a loose federation of independent states called the Commonwealth of Independent States. Hardline communist leaders in the military reacted to Gorbachev's policies with the August Coup of 1991 in which hardline communist military leaders overthrew Gorbachev and seized control of the government. This regime only lasted briefly as widespread popular opposition erupted in street protests and refused to submit. Gorbachev was restored to power, but the various Soviet republics were now set for independence. On 25 December 1991, Gorbachev officially announced the dissolution of the Soviet Union, ending the existence of the world's first communist state.

Contemporary communism (1993–present)

With the fall of the communist governments in the Soviet Union and the Eastern Bloc, the influence of state-based Marxist–Leninist ideologies in the world was weakened, but there are still many communist movements of various types and sizes around the world. Three other communist nations, particularly those in East Asia such as the People's Republic of China, Vietnam and Laos, all moved toward market economies, but without major privatization of the state sector during the 1980s and 1990s (see socialism with Chinese characteristics and doi moi for more details). Spain, France, Portugal and Greece have very publicly strong communist movements that play an open and active leading role in the vast majority of their labor marches and strikes as well as also anti-austerity protests, all of which are large, pronounced events with much visibility. Worldwide marches on International Workers Day sometimes give a clearer picture of the size and influence of current communist movements, particularly within Europe.

Cuba has recently emerged from the crisis sparked by the fall of the Soviet Union given the growth in its volume of trade with its new allies Venezuela and China (the former of whom has recently adopted a socialism of the 21st century according to Hugo Chávez). Various other countries throughout Latin America and the Caribbean have also taken similar shifts to more clearly socialistic policies and rhetoric in a phenomenon academics are calling the pink tide.

North Korea claims that its success in avoiding the downfall of socialism is a result of its homegrown ideology of Juche which it adopted in the 1970s, replacing Marxism–Leninism. Cuba has an ambassador to North Korea and China still protects North Korean territorial integrity even as it simultaneously refuses to supply the state with material goods or other significant assistance.

In Nepal, the Communist Party of Nepal (Unified Marxist–Leninist) leader Man Mohan Adhikari briefly became Prime Minister of Nepal and national leader from 1994 to 1995 and the Maoist guerrilla leader Prachanda was elected Prime Minister by the Constituent Assembly of Nepal in 2008. Prachanda has since been deposed as Prime Minister, leading the Maoists to abandon their legalistic approach and return to their typical street actions and militancy and to lead sporadic general strikes using their quite substantial influence on the Nepalese labor movement. These actions have oscillated between mild and intense, only the latter of which tends to make world news. They consider Prachanda's removal to be unjust. Since the 2008 Nepal has been ruled by a coalition of communist parties: Communist Party of Nepal (Unified Marxist–Leninist) and Communist Party of Nepal (Maoist Centre) which they merged in 2018 in the Nepal Communist Party

The previous national government of India depended on the parliamentary support of the Communist Party of India (Marxist) and Communist Party of India. Presently CPI(M) along with CPI leads the state government in Kerala. The armed wing of the Communist Party of India (Maoist), the People's Liberation Guerrilla Army, is fighting the Naxalite–Maoist insurgency against the Government of India and is active in some parts of the country. Indian government forces have been successful in eliminating insurgency to quite an extent.

In Cyprus, the veteran communist Dimitris Christofias of AKEL won the 2008 presidential election.

In Ukraine and Russia, the communists came second in the 2002 Ukrainian parliamentary election and the 2003 Russian legislative election, respectively. The Communist Party of the Russian Federation remains strong in Russia, but the 2014 Ukrainian parliamentary election following the Russian invasion of Ukraine and the annexation of Crimea resulted in the loss of its 32 members and no Verkhovna Rada representation by the Communist Party of Ukraine. The party has been banned since 2015.

In the Czech Republic, the Communist Party of Bohemia and Moravia came third in the 2002 elections as did the Portuguese Communist Party in 2005.

In South Africa, the South African Communist Party (SACP) is a member of the Tripartite alliance alongside the African National Congress and the Congress of South African Trade Unions. Sri Lanka has communist ministers in their national governments.

In Zimbabwe, former President Robert Mugabe of the Zimbabwe African National Union – Patriotic Front, the country's longstanding leader, was a professed communist.

Colombia has been in the midst of a civil war which has been waged since 1966 between the Colombian government and aligned right-wing paramilitaries against two communist guerrilla groups, namely the Revolutionary Armed Forces of Colombia–People's Army (FARC–EP) and the National Liberation Army (ELN).

The Revolutionary Communist Party, USA led by its chairman Bob Avakian currently organizes for a revolution in the United States to overthrow the capitalist system and replace it with a socialist state.

As of the early 2020s, the Philippines is still experiencing a low-scale guerrilla insurgency by the New People's Army, the armed wing of the outlawed Communist Party of the Philippines. Actions of an armed group likely affiliated with NPA resulted in eight casualties after a gunfight with the Philippine Armed Forces in late March 2021.

Saturday, March 25, 2023

Microfoundations

From Wikipedia, the free encyclopedia
 

Microfoundations are an effort to understand macroeconomic phenomena in terms of economic agents' behaviors and their interactions. Research in microfoundations explores the link between macroeconomic and microeconomic principles in order to explore the aggregate relationships in macroeconomic models.

During recent decades, macroeconomists have attempted to combine microeconomic models of individual behaviour to derive the relationships between macroeconomic variables. Presently, many macroeconomic models, representing different theories, are derived by aggregating microeconomic models, allowing economists to test them with both macroeconomic and microeconomic data. However, microfoundations research is still heavily debated with management, strategy and organization scholars having varying views on the "micro-macro" link. The study of microfoundations is gaining popularity even outside the field of economics, recent development includes operation management and project studies.

History and Importance

History

The microfoundations project originated in the post-Second World War neoclassical synthesis where it is generally believed that neoclassical microeconomics fused with Keynesian macroeconomics. The ‘neoclassical microeconomics’ in mention is the Marshallian partial-equilibrium approach, which emerged from the Walrasian general equilibrium theory. However, the Walrasian general equilibrium theory presents another trend to the synthesis as it attempts to theorise the economy as a whole and is viewed as an alternative to macroeconomics. This approach is considered to be the trigger for exploring microfoundations, however, the notion of a gap in the “micro-macro” link has been and continues to be explored in various theories and models.

Critics of the Keynesian theory of macroeconomics argued that some of Keynes' assumptions were inconsistent with standard microeconomics. For example, Milton Friedman's microeconomic theory of consumption over time (the 'permanent income hypothesis') suggested that the marginal propensity to consume (the increase of consumer spending with increased income) due to temporary income, which is crucial for the Keynesian multiplier, was likely to be much smaller than Keynesians assumed. For this reason, many empirical studies have attempted to measure the marginal propensity to consume, and macroeconomists have also studied alternative microeconomic models (such as models of credit market imperfections and precautionary saving) that might imply a greater marginal propensity to consume.

One particularly influential endorsement of the study of microfoundations was Robert Lucas, Jr.'s critique of traditional macroeconometric forecasting models. After the apparent shift of the Phillips curve relationship during the 1970s, Lucas argued that the correlations between aggregate variables observed in macroeconomic data would tend to change whenever macroeconomic policy changed. This implied that microfounded models are more appropriate for predicting the effect of policy changes, using the assumption that changes of macroeconomic policy do not alter the microeconomics of the macroeconomy.

In terms of solutions, DSGE modelling with representative agents has been the most prevalent among literatures. This approach "makes the microeconomic and the macroeconomic level of analysis coincide: a single agent, a utility maximizing individual, represents an entire sector, which may be, for instance banks, consumers, or firms". Therefore, DSGE modelling connects both microeconomic and macroeconomic theories, thus embodying the basis of microfoundations.

Importance

It is suggested that modern mainstream economics is based entirely on DSGE models. Therefore, the importance of microfoundations lies in its synonymous relationship with DSGE.

The Smets-Wouters model is one example of the importance of microfoundations as it is regarded as a benchmark model for analysing monetary and fiscal policy. The model offers three main advantages of microfoundations:

  1. Microfoundations provides a modelling structure where data may not be very informative.
  2. Microfoundations avoids the Lucas Critique as it is able to relate the reduced-form parameters to deeper structural parameters.
  3. Microfoundations provides a basis for estimating the optimality and desirability of policy.

While these points summarise the desire to adopt DSGE models - or microfoundations - there are limitations to the model with scholars stating that their forecast performance can be poor in terms of their ability to forecast individual variables. Therefore, there is continuous debate on the microfoundations project and its efficacy with an overall lack of consensus.

Microfoundations Research and Development

"Micro" and "Macro" Research

Specialization in the management and organizational sciences has led to a divide between “macro” and “micro” areas. Research in macro management mainly focuses on the organizational or firm level, while research in micro areas mainly examines individual and group levels within organizations. For example, macro research domains typically include strategic management and organization theory, whereas micro includes areas such as organizational behaviour and human resource management. Most early macroeconomic models, including early Keynesian models, were based on hypotheses about relationships between aggregate quantities, such as aggregate production, employment, consumption, and investment. Critics and proponents of these models disagreed as to whether these aggregate relationships were consistent with the principles of microeconomics. There, bridging these two domains continues to be a topic of debate for organizational, management and strategy scholars. As a result, microfoundations has become a topic of greater interest to researchers as it explores how micro and macro areas connect.  

The Microfoundations Project

The microfoundations project was developed on the basis that if macroeconomics is associated with aggregate economic models, and microeconomics is associated with the individual behaviours of households and firms, "microfoundations was taken to be the demand that macroeconomic models have microeconomic foundations". Therefore, microfoundations research focuses on the influences of individual actions and interactions on firm heterogeneity. As stated by Felin and Foss (2005), “organizations are made up of individuals, and there is no organization without individuals”. Thus, the specific level of the microfoundations project is the individual level as it focuses on this elementary truth. However, there are various assumptions and half-truths that have been explored by scholars within microfoundations research.

Assumptions

There are two main assumptions that the microfoundations project rests upon:

  1. Firstly, it is possible to establish empirically adequate theory of individual behaviour.
  2. Secondly, the theory can be transformed into a theory of the economy using aggregation procedures, without having to make any substantive assumptions about the economy.

However, in addition to these assumptions, various scholars have indicated that microfoundations is understood to be "an application of underlying standpoint, methodological individualism,"  a concept which also has ambiguity in its meaning. Nevertheless, microfoundations research only means that individual behaviour must be shown to be consistent with macro entities. While there may be various outlooks on the topic, the general consensus implies that to bridge macro and micro theories and models, microfoundations should be adopted.

Controversy

Some, such as Alan Kirman and S. Abu Turab Rizvi, argue on the basis of the Sonnenschein–Mantel–Debreu theorem that the microfoundations project has failed.

Disequilibrium macroeconomics

From Wikipedia, the free encyclopedia

Disequilibrium macroeconomics is a tradition of research centered on the role of disequilibrium in economics. This approach is also known as non-Walrasian theory, equilibrium with rationing, the non-market clearing approach, and non-tâtonnement theory. Early work in the area was done by Don Patinkin, Robert W. Clower, and Axel Leijonhufvud. Their work was formalized into general disequilibrium models, which were very influential in the 1970s. American economists had mostly abandoned these models by the late 1970s, but French economists continued work in the tradition and developed fix price models.

Macroeconomic disequilibria

In the neoclassical synthesis, equilibrium models were the rule. In these models, rigid wages modeled unemployment at equilibria. These models were challenged by Don Patinkin and later disequilibrium theorists. Patinkin argued that unemployment resulted from disequilibrium. Patinkin, Robert W. Clower, and Axel Leijonhufvud focused on the role of disequilibrium. Clower and Leijonhufvud argued that disequilibrium formed a fundamental part of Keynes's theory and deserved greater attention.

Robert Barro and Herschel Grossman formulated general disequilibrium models, in which individual markets were locked into prices before there was a general equilibrium. These markets produced "false prices" resulting in disequilibrium. Soon after the work of Barro and Grossman, disequilibrium models fell out of favor in the United States and Barro abandoned Keynesianism and adopted new classical, market-clearing hypotheses. However, leading American economists continued work with disequilibrium models, for example Franklin M. Fisher at MIT, Richard E. Quandt at Princeton University, and John Roberts at Stanford University.

Disequilibrium and unemployment

Diagram for Malinvaud's typology of unemployment. Diagram shows curves for the labor and goods markets with Walrasian equilibrium in the center. Regions for Keynesian unemployment, classical unemployment, repressed inflation, and underconsumption
Diagram based on Malinvaud's typology of unemployment shows curves for equilibrium in the goods and labor markets given wage and price levels. Walrasian equilibrium is achieved when both markets are at equilibrium. According to Malinvaud the economy is usually in a state of either Keynesian unemployment, with excess supply of goods and labor, or classical unemployment, with excess supply of labor and excess demand for goods.

While disequilibrium economics had only a supporting role in the US, it had major role in European economics, and indeed a leading role in French-speaking Europe. In France, Jean-Pascal Bénassy (1975) and Yves Younès (1975) studied macroeconomic models with fixed prices. Disequilibrium economics received greater research as mass unemployment returned to Western Europe in the 1970s. Disequilibrium economics also influenced European policy discussions, particularly in France and Belgium. European economists such as Edmond Malinvaud and Jacques Drèze expanded on the disequilibrium tradition and worked to explain price rigidity instead of simply assuming it.

Malinvaud used disequilibrium analysis to develop a theory of unemployment. He argued that disequilibrium in the labor and goods markets could lead to rationing of goods and labor, leading to unemployment. Malinvaud adopted a fixprice framework and argued that pricing would be rigid in modern, industrial prices compared to the relatively flexible pricing systems of raw goods that dominate agricultural economies. In Malinvaud's framework, prices are fixed and only quantities adjust. Malinvaud considers an equilibrium state in classical and Keynesian unemployment as most likely. He pays less attention to the case of repressed inflation and considers underconsumption/unemployment a theoretical curiosity. Work in the neoclassical tradition is confined as a special case of Malinvaud's typology, the Walrasian equilibrium. In Malinvaud's theory, reaching the Walrasian equilibrium case is almost impossible to achieve given the nature of industrial pricing. Malinvaud's work provided different policy prescriptions depending on the state of the economy. Given Keynesian unemployment, fiscal policy could shift both the labor and goods curves upwards leading to higher wages and prices. With this shift, the Walrasian equilibrium would be closer to the actual economic equilibrium. On the other hand, fiscal policy with an economy in the classical unemployment would only make matters worse. A policy leading to higher prices and lower wages would be recommended instead.

"Disequilibrium macroeconometrics" was developed by Drèze's, Henri Sneessens (1981) and Jean-Paul Lambert (1988). A joint paper by Drèze and Sneessens inspired Drèze and Richard Layard to lead the European Unemployment Program, which estimated a common disequilibrium model in ten countries. The results of that successful effort were to inspire policy recommendations in Europe for several years. lequibrium extensions of Arrow–Debreu general equilibrium theory

In Belgium, Jacques Drèze defined equilibria with price rigidities and quantity constraints and studied their properties, extending the Arrow–Debreu model of general equilibrium theory in mathematical economics. Introduced in his 1975 paper, a "Drèze equilibrium" occurs when supply (demand) is constrained only when prices are downward (upward) rigid, whereas a preselected commodity (e.g. money) is never rationed. Existence is proved for arbitrary bounds on prices. A joint paper with Pierre Dehez established the existence of Drèze equilibria with no rationing of the demand side. Stanford's John Roberts studied supply-constrained equilibria at competitive prices; similar results were obtained by Jean-Jacques Herings at Tilburg (1987, 1996). Roberts and Hering proved the existence of a continuum of Drèze equilibria. Then Drèze (113) proved existence of equilibria with arbitrarily severe rationing of supply. Next, in a joint paper with Herings and others (132), the generic existence of a continuum of Pareto-ranked supply-constrained equilibria was established for a standard economy with some fixed prices. The multiplicity of equilibria thus formalises a trade-off between inflation and unemployment, comparable to a Phillips curve. Drèze viewed his approach to macroeconomics as examining the macroeconomic consequences of Arrow–Debreu general equilibrium theory with rationing, an approach complementing the often-announced program of providing microfoundations for macroeconomics.

Specific economic sectors

Credit markets

Disequilibrium credit rationing can occur for one of two reasons. In the presence of usury laws, if the equilibrium interest rate on loans is above the legally allowable rate, the market cannot clear and at the maximum allowable rate the quantity of credit demanded will exceed the quantity of credit supplied.

A more subtle source of credit rationing is that higher interest rates can increase the risk of default by the borrower, making the potential lender reluctant to lend at otherwise attractively high interest rates.

Labour markets

Labour markets are prone to particular sources of price rigidity because the item being transacted is people, and laws or social constraints designed to protect those people may hinder market adjustments. Such constraints include restrictions on who or how many people can be laid off and when (which can affect both the number of layoffs and the number of people hired by firms that are concerned by the restrictions), restrictions on the lowering of wages when a firm experiences a decline in the demand for its product, and long-term labor contracts that pre-specify wages.

Spillovers between markets

Disequilibrium in one market can affect demand or supply in other markets. Specifically, if an economic agent is constrained in one market, his supply or demand in another market may be changed from its unconstrained form, termed the notional demand, into a modified form known as effective demand. If this occurs systematically for a large number of market participants, market outcomes in the latter market for prices and quantities transacted (themselves either equilibrium or disequilibrium outcomes) will be affected.

Examples include:

  • If the supply of mortgage credit to potential homebuyers is rationed, this will decrease the demand for newly built houses.
  • If labourers cannot supply all the labor they wish to, they will have constrained income and their demand in the goods market will be lower.
  • If employers cannot hire all the labor they wish to, they cannot produce as much output as they wish to, and supply in the market for their good will be diminished.

Genealogical DNA test

From Wikipedia, the free encyclopedia

A genealogical DNA test is a DNA-based genetic test used in genetic genealogy that looks at specific locations of a person's genome in order to find or verify ancestral genealogical relationships, or (with lower reliability) to estimate the ethnic mixture of an individual. Since different testing companies use different ethnic reference groups and different matching algorithms, ethnicity estimates for an individual vary between tests, sometimes dramatically.

Three principal types of genealogical DNA tests are available, with each looking at a different part of the genome and being useful for different types of genealogical research: autosomal (atDNA), mitochondrial (mtDNA), and Y-chromosome (Y-DNA).

Autosomal tests may result in a large number of DNA matches to both males and females who have also tested with the same company. Each match will typically show an estimated degree of relatedness, i.e., a close family match, 1st-2nd cousins, 3rd-4th cousins, etc. The furthest degree of relationship is usually the "6th-cousin or further" level. However, due to the random nature of which, and how much, DNA is inherited by each tested person from their common ancestors, precise relationship conclusions can only be made for close relations. Traditional genealogical research, and the sharing of family trees, is typically required for interpretation of the results. Autosomal tests are also used in estimating ethnic mix.

MtDNA and Y-DNA tests are much more objective. However, they give considerably fewer DNA matches, if any (depending on the company doing the testing), since they are limited to relationships along a strict female line and a strict male line respectively. MtDNA and Y-DNA tests are utilized to identify archeological cultures and migration paths of a person's ancestors along a strict mother's line or a strict father's line. Based on MtDNA and Y-DNA, a person's haplogroup(s) can be identified. The mtDNA test can be taken by both males and females, because everyone inherits their mtDNA from their mother, as the mitochondrial DNA is located in the egg cell. However, a Y-DNA test can only be taken by a male, as only males have a Y-chromosome.

DNA testing for consumers

The first company to provide direct-to-consumer genealogical DNA tests was the now defunct GeneTree. However, it did not offer multi-generational genealogy tests. In fall 2001, GeneTree sold its assets to Salt Lake City-based Sorenson Molecular Genealogy Foundation (SMGF) which originated in 1999. While in operation, SMGF provided free Y-chromosome and mitochondrial DNA tests to thousands. Later, GeneTree returned to genetic testing for genealogy in conjunction with the Sorenson parent company and eventually was part of the assets acquired in the Ancestry.com buyout of SMGF in 2012.

In 2000, Family Tree DNA, founded by Bennett Greenspan and Max Blankfeld, was the first company dedicated to direct-to-consumer testing for genealogy research. They initially offered eleven-marker Y-Chromosome STR tests and HVR1 mitochondrial DNA tests. They originally tested in partnership with the University of Arizona.

In 2007, 23andMe was the first company to offer a saliva-based direct-to-consumer genetic testing. It was also the first to implement the use of autosomal DNA for ancestry testing, which other major companies (e.g., Ancestry, Family Tree DNA, and MyHeritage) now use.

MyHeritage launched its genetic testing service in 2016, allowing users to use cheek swabs to collect samples. In 2019, new analysis tools were presented: autoclusters (grouping all matches visually into clusters) and family tree theories (suggesting conceivable relations between DNA matches by combining several Myheritage trees as well as the Geni global family tree).

Living DNA, founded in 2015, also provides a genetic testing service. Living DNA uses SNP chips to provide reports on autosomal ancestry, Y, and mtDNA ancestry. Living DNA provides detailed reports on ancestry from the UK as well as detailed Y chromosome and mtDNA reports.

In 2019 it was estimated that large genealogical testing companies had about 26 million DNA profiles. Many transferred their test result for free to multiple testing sites, and also to genealogical services such as Geni.com and GEDmatch. GEDmatch said in 2018 that about half of their one million profiles were from the USA.

The popular consciousness of DNA testing and of DNA generally is subject to a number of misconceptions involving the reliability of testing, the nature of the connections with one's ancestors, the connection between DNA and personal traits, etc.

Procedure

A genealogical DNA test is performed on a DNA sample obtained by cheek-scraping (also known as a buccal swab), spit-cups, mouthwash, or chewing gum. Typically, the sample collection uses a home test kit supplied by a service provider such as 23andMe, AncestryDNA, Family Tree DNA, or MyHeritage. After following the kit instructions on how to collect the sample, it is returned to the supplier for analysis. The sample is then processed using a technology known as DNA microarray to obtain the genetic information.

Types of tests

There are three major types of genealogical DNA tests: Autosomal (which includes X-DNA), Y-DNA, and mtDNA.

  • Autosomal DNA tests look at chromosome pairs 1–22 and the X part of the 23rd chromosome. The autosomes (chromosome pairs 1–22) are inherited from both parents and all recent ancestors. The X-chromosome follows a special inheritance pattern, because females (XX) inherit an X-chromosome from each of their parents, while males (XY) inherit an X-chromosome from their mother and a Y-chromosome from their father (XY). Ethnicity estimates are often included with this sort of testing.
  • Y-DNA looks at the Y-chromosome, which is passed down from father to son. Thus, the Y-DNA test can only be taken by males to explore their direct paternal line.
  • mtDNA looks at the mitochondria, which is passed down from mother to child. Thus, the mtDNA test can be taken by both males and females, and it explores one's direct maternal line.

Y-DNA and mtDNA cannot be used for ethnicity estimates, but can be used to find one's haplogroup, which is unevenly distributed geographically. Direct-to-consumer DNA test companies have often labeled haplogroups by continent or ethnicity (e.g., an "African haplogroup" or a "Viking haplogroup"), but these labels may be speculative or misleading.

Autosomal DNA (atDNA) testing

Testing

Autosomal DNA is contained in the 22 pairs of chromosomes not involved in determining a person's sex. Autosomal DNA recombines in each generation, and new offspring receive one set of chromosomes from each parent. These are inherited exactly equally from both parents and roughly equally from grandparents to about 3x great-grandparents. Therefore, the number of markers (one of two or more known variants in the genome at a particular location – known as Single-nucleotide polymorphisms or SNPs) inherited from a specific ancestor decreases by about half with each successive generation; that is, an individual receives half of their markers from each parent, about a quarter of those markers from each grandparent; about an eighth of those markers from each great-grandparent, etc. Inheritance is more random and unequal from more distant ancestors. Generally, a genealogical DNA test might test about 700,000 SNPs (specific points in the genome).

Shared DNA for different relatives

Reporting process

The preparation of a report on the DNA in the sample proceeds in multiple stages:

  • identification of the DNA base pair at specific SNP locations
  • comparison with previously stored results
  • interpretation of matches
Base pair identification

All major service providers use equipment with chips supplied by Illumina. The chip determines which SNP locations are tested. Different versions of the chip are used by different service providers. In addition, updated versions of the Illumina chip may test different sets of SNP locations. The list of SNP locations and base pairs at that location is usually available to the customer as "raw data". The raw data can be uploaded to some other genealogical service providers to produce an additional interpretation and matches. For additional genealogical analysis the data can also be uploaded to GEDmatch (a third-party web based set of tools that analyzes raw data from the main service providers). Raw data can also be uploaded to services that provide health risk and trait reports using SNP genotypes. These reports may be free or inexpensive, in contrast to reports provided by DTC testing companies, who charge about double the cost of their genealogy-only services. The implications of individual SNP results can be ascertained from raw data results by referring to SNPedia.com.

Identification of Matches

The major component of an autosomal DNA test is matching other individuals. Where the individual being tested has a number of consecutive SNPs in common with a previously tested individual in the company's database, it can be inferred that they share a segment of DNA at that part of their genomes. If the segment is longer than a threshold amount set by the testing company, then these two individuals are considered to be a match. Unlike the identification of base pairs, the data bases against which the new sample is tested, and the algorithms used to determine a match, are proprietary and specific to each company.

The unit for segments of DNA is the centimorgan (cM). For comparison, a full human genome is about 6500 cM. The shorter the length of a match, the greater are the chances that a match is spurious. An important statistic for subsequent interpretation is the length of the shared DNA (or the percentage of the genome that is shared).

Interpretation of Autosomal matches

Most companies will show the customers how many cMs they share and across how many segments. From the number of cMs and segments, the relationship between the two individuals can be estimated; however, due to the random nature of DNA inheritance, relationship estimates, especially for distant relatives, are only approximate. Some more distant cousins will not match at all. Although information about specific SNPs can be used for some purposes (e.g., suggesting likely eye color), the key information is the percentage of DNA shared by two individuals. This can indicate the closeness of the relationship. However, it does not show the roles of the two individuals, e.g., 50% shared suggests a parent/child relationship, but it does not identify which individual is the parent.

Various advanced techniques and analyses can be done on this data. This includes features such as In-common/Shared Matches, Chromosome Browsers, and Triangulation. This analysis is often required if DNA evidence is being used to prove or disprove a specific relationship.

X-chromosome DNA testing

The X-chromosome SNP results are often included in autosomal DNA tests. Both males and females receive an X-chromosome from their mother, but only females receive a second X-chromosome from their father. The X-chromosome has a special path of inheritance patterns and can be useful in significantly narrowing down possible ancestor lines compared to autosomal DNA. For example, an X-chromosome match with a male can only have come from his maternal side. Like autosomal DNA, X-chromosome DNA undergoes random recombination at each generation (except for father-to-daughter X-chromosomes, which are passed down unchanged). There are specialized inheritance charts which describe the possible patterns of X-chromosome DNA inheritance for males and females.

STRs

Some genealogical companies offer autosomal STRs (short tandem repeats). These are similar to Y-DNA STRs. The number of STRs offered is limited, and results have been used for personal identification, paternity cases, and inter-population studies.

Law enforcement agencies in the US and Europe use autosomal STR data to identify criminals.

Mitochondrial DNA (mtDNA) testing

The mitochondrion is a component of a human cell, and contains its own DNA. Mitochondrial DNA usually has 16,569 base pairs (the number can vary slightly depending on addition or deletion mutations) and is much smaller than the human genome DNA which has 3.2 billion base pairs. Mitochondrial DNA is transmitted from mother to child, as it is contained in the egg cell. Thus, a direct maternal ancestor can be traced using mtDNA. The transmission occurs with relatively rare mutations compared to autosomal DNA. A perfect match found to another person's mtDNA test results indicates shared ancestry of possibly between 1 and 50 generations ago. More distant matching to a specific haplogroup or subclade may be linked to a common geographic origin.

Test

The mtDNA, by current conventions, is divided into three regions. They are the coding region (00577-16023) and two Hyper Variable Regions (HVR1 [16024-16569], and HVR2 [00001-00576]).

The two most common mtDNA tests are a sequence of HVR1 and HVR2 and a full sequence of the mitochondria. Generally, testing only the HVRs has limited genealogical use so it is increasingly popular and accessible to have a full sequence. The full mtDNA sequence is only offered by Family Tree DNA among the major testing companies and is somewhat controversial because the coding region DNA may reveal medical information about the test-taker

Haplogroups

Map of human migration out of Africa, according to Mitochondrial DNA. The numbers represent thousands of years before present time. The blue line represents the area covered in ice or tundra during the last great ice age. The North Pole is at the center. Africa, the center of the start of the migration, is at the top left and South America is at the far right.

All humans descend in the direct female line from Mitochondrial Eve, a female who lived probably around 150,000 years ago in Africa. Different branches of her descendants are different haplogroups. Most mtDNA results include a prediction or exact assertion of one's mtDNA Haplogroup. Mitochrondial haplogroups were greatly popularized by the book The Seven Daughters of Eve, which explores mitochondrial DNA.

Understanding mtDNA test results

It is not normal for test results to give a base-by-base list of results. Instead, results are normally compared to the Cambridge Reference Sequence (CRS), which is the mitochondria of a European who was the first person to have their mtDNA published in 1981 (and revised in 1999). Differences between the CRS and testers are usually very few, thus it is more convenient than listing one's raw results for each base pair.

Examples 
Note that in HVR1, instead of reporting the base pair exactly, for example 16,111, the 16 is often removed to give in this example 111. The letters refer to one of the four bases (A, T, G, C) that make up DNA.
Region HVR1 HVR2
Differences from CRS 111T,223T,259T,290T,319A,362C 073G,146C,153G

Y-chromosome (Y-DNA) testing

The Y-chromosome is one of the 23rd pair of human chromosomes. Only males have a Y-chromosome, because women have two X chromosomes in their 23rd pair. A man's patrilineal ancestry, or male-line ancestry, can be traced using the DNA on his Y-chromosome (Y-DNA), because the Y-chromosome is transmitted from a father to son nearly unchanged. A man's test results are compared to another man's results to determine the time frame in which the two individuals shared a most recent common ancestor, or MRCA, in their direct patrilineal lines. If their test results are very close, they are related within a genealogically useful time frame. A surname project is where many individuals whose Y-chromosomes match collaborate to find their common ancestry.

Women who wish to determine their direct paternal DNA ancestry can ask their father, brother, paternal uncle, paternal grandfather, or a paternal uncle's son (their cousin) to take a test for them.

There are two types of DNA testing: STRs and SNPs.

STR markers

Most common is STRs (short tandem repeat). A certain section of DNA is examined for a pattern that repeats (e.g. ATCG). The number of times it repeats is the value of the marker. Typical tests test between 12 and 111 STR markers. STRs mutate fairly frequently. The results of two individuals are then compared to see if there is a match. DNA companies will usually provide an estimate of how closely related two people are, in terms of generations or years, based on the difference between their results.

SNP markers and Haplogroups

Strand 1 differs from strand 2 at a single base pair location (a C → T polymorphism).

A person's haplogroup can often be inferred from their STR results, but can be proven only with a Y-chromosome SNP test (Y-SNP test).

A single-nucleotide polymorphism (SNP) is a change to a single nucleotide in a DNA sequence. Typical Y-DNA SNP tests test about 20,000 to 35,000 SNPs. Getting a SNP test allows a much higher resolution than STRs. It can be used to provide additional information about the relationship between two individuals and to confirm haplogroups.

All human men descend in the paternal line from a single man dubbed Y-chromosomal Adam, who lived probably between 200,000 and 300,000 years ago. A 'family tree' can be drawn showing how men today descend from him. Different branches of this tree are different haplogroups. Most haplogroups can be further subdivided multiple times into sub-clades. Some known sub-clades were founded in the last 1000 years, meaning their timeframe approaches the genealogical era (c.1500 onwards).

New sub-clades of haplogroups may be discovered when an individual tests, especially if they are non-European. Most significant of these new discoveries was in 2013 when the haplogroup A00 was discovered, which required theories about Y-chromosomal Adam to be significantly revised. The haplogroup was discovered when an African-American man tested STRs at FamilyTreeDNA and his results were found to be unusual. SNP testing confirmed that he does not descend patrilineally from the "old" Y-chromosomal Adam and so a much older man became Y-Chromosomal Adam.

Using DNA test results

Ethnicity estimates

Many companies offer a percentage breakdown by ethnicity or region. Generally the world is specified into about 20–25 regions, and the approximate percentage of DNA inherited from each is stated. This is usually done by comparing the frequency of each Autosomal DNA marker tested to many population groups. The reliability of this type of test is dependent on comparative population size, the number of markers tested, the ancestry informative value of the SNPs tested, and the degree of admixture in the person tested. Earlier ethnicity estimates were often wildly inaccurate, but as companies receive more samples over time, ethnicity estimates have become more accurate. Testing companies such as Ancestry.com will often regularly update their ethnicity estimates, which has caused some controversy from customers as their results update. Usually the results at the continental level are accurate, but more specific assertions of the test may turn out to be incorrect.

Audience

The interest in genealogical DNA tests has been linked to both an increase in curiosity about traditional genealogy and to more general personal origins. Those who test for traditional genealogy often utilize a combination of autosomal, mitochondrial, and Y-Chromosome tests. Those with an interest in personal ethnic origins are more likely to use an autosomal test. However, answering specific questions about the ethnic origins of a particular lineage may be best suited to an mtDNA test or a Y-DNA test.

Maternal origin tests

For recent genealogy, exact matching on the mtDNA full sequence is used to confirm a common ancestor on the direct maternal line between two suspected relatives. Because mtDNA mutations are very rare, a nearly perfect match is not usually considered relevant to the most recent 1 to 16 generations. In cultures lacking matrilineal surnames to pass down, neither relative above is likely to have as many generations of ancestors in their matrilineal information table as in the above patrilineal or Y-DNA case: for further information on this difficulty in traditional genealogy, due to lack of matrilineal surnames (or matrinames), see Matriname. However, the foundation of testing is still two suspected descendants of one person. This hypothesize and test DNA pattern is the same one used for autosomal DNA and Y-DNA.

Tests for ethnicity and membership of other groups

European genetic structure (based on Autosomal SNPs) by PCA

As discussed above, autosomal tests usually report the ethnic proportions of the individual. These attempt to measure an individual's mixed geographic heritage by identifying particular markers, called ancestry informative markers or AIM, that are associated with populations of specific geographical areas. Geneticist Adam Rutherford has written that these tests "don’t necessarily show your geographical origins in the past. They show with whom you have common ancestry today."

The haplogroups determined by Y-DNA and mtDNA tests are often unevenly geographically distributed. Many direct-to-consumer DNA tests described this association to infer the test-taker's ancestral homeland. Most tests describe haplogroups according to their most frequently associated continent (e.g., a "European haplogroup"). When Leslie Emery and collaborators performed a trial of mtDNA haplogroups as a predictor of continental origin on individuals in the Human Genetic Diversity Panel (HGDP) and 1000 Genomes (1KGP) datasets, they found that only 14 of 23 haplogroups had a success rate above 50% among the HGDP samples, as did "about half" of the haplogroups in the 1KGP. The authors concluded that, for most people, "mtDNA-haplogroup membership provides limited information about either continental ancestry or continental region of origin."

African ancestry

Y-DNA and mtDNA testing may be able to determine with which peoples in present-day Africa a person shares a direct line of part of his or her ancestry, but patterns of historic migration and historical events cloud the tracing of ancestral groups. Due to joint long histories in the US, approximately 30% of African American males have a European Y-Chromosome haplogroup Approximately 58% of African Americans have at least the equivalent of one great-grandparent (13%) of European ancestry. Only about 5% have the equivalent of one great-grandparent of Native American ancestry. By the early 19th century, substantial families of Free Persons of Color had been established in the Chesapeake Bay area who were descended from free people during the colonial period; most of those have been documented as descended from white men and African women (servant, slave or free). Over time various groups married more within mixed-race, black or white communities.

According to authorities like Salas, nearly three-quarters of the ancestors of African Americans taken in slavery came from regions of West Africa. The African-American movement to discover and identify with ancestral tribes has burgeoned since DNA testing became available. African Americans usually cannot easily trace their ancestry during the years of slavery through surname research, census and property records, and other traditional means. Genealogical DNA testing may provide a tie to regional African heritage.

United States – Melungeon testing

Melungeons are one of numerous multiracial groups in the United States with origins wrapped in myth. The historical research of Paul Heinegg has documented that many of the Melungeon groups in the Upper South were descended from mixed-race people who were free in colonial Virginia and the result of unions between the Europeans and Africans. They moved to the frontiers of Virginia, North Carolina, Kentucky and Tennessee to gain some freedom from the racial barriers of the plantation areas. Several efforts, including a number of ongoing studies, have examined the genetic makeup of families historically identified as Melungeon. Most results point primarily to a mixture of European and African, which is supported by historical documentation. Some may have Native American heritage as well. Though some companies provide additional Melungeon research materials with Y-DNA and mtDNA tests, any test will allow comparisons with the results of current and past Melungeon DNA studies.

Native American ancestry

The pre-columbian indigenous people of the United States are called "Native Americans" in American English. Autosomal testing, Y-DNA, and mtDNA testing can be conducted to determine the ancestry of Native Americans. A mitochondrial Haplogroup determination test based on mutations in Hypervariable Region 1 and 2 may establish whether a person's direct female line belongs to one of the canonical Native American Haplogroups, A, B, C, D or X. The vast majority of Native American individuals belong to one of the five identified mtDNA Haplogroups. Thus, being in one of those groups provides evidence of potential Native American descent. However, DNA ethnicity results cannot be used as a substitute for legal documentation. Native American tribes have their own requirements for membership, often based on at least one of a person's ancestors having been included on tribal-specific Native American censuses (or final rolls) prepared during treaty-making, relocation to reservations or apportionment of land in the late 19th century and early 20th century. One example is the Dawes Rolls.

Cohanim ancestry

The Cohanim (or Kohanim) is a patrilineal priestly line of descent in Judaism. According to the Bible, the ancestor of the Cohanim is Aaron, brother of Moses. Many believe that descent from Aaron is verifiable with a Y-DNA test: the first published study in genealogical Y-Chromosome DNA testing found that a significant percentage of Cohens had distinctively similar DNA, rather more so than general Jewish or Middle Eastern populations. These Cohens tended to belong to Haplogroup J, with Y-STR values clustered unusually closely around a haplotype known as the Cohen Modal Haplotype (CMH). This could be consistent with a shared common ancestor, or with the hereditary priesthood having originally been founded from members of a single closely related clan.

Nevertheless, the original studies tested only six Y-STR markers, which is considered a low-resolution test. In response to the low resolution of the original 6-marker CMH, the testing company FTDNA released a 12-marker CMH signature that was more specific to the large closely related group of Cohens in Haplogroup J1.

A further academic study published in 2009 examined more STR markers and identified a more sharply defined SNP haplogroup, J1e* (now J1c3, also called J-P58*) for the J1 lineage. The research found "that 46.1% of Kohanim carry Y chromosomes belonging to a single paternal lineage (J-P58*) that likely originated in the Near East well before the dispersal of Jewish groups in the Diaspora. Support for a Near Eastern origin of this lineage comes from its high frequency in our sample of Bedouins, Yemenis (67%), and Jordanians (55%) and its precipitous drop in frequency as one moves away from Saudi Arabia and the Near East (Fig. 4). Moreover, there is a striking contrast between the relatively high frequency of J-58* in Jewish populations (»20%) and Kohanim (»46%) and its vanishingly low frequency in our sample of non-Jewish populations that hosted Jewish diaspora communities outside of the Near East."

Recent phylogenetic research for haplogroup J-M267 placed the "Y-chromosomal Aaron" in a subhaplogroup of J-L862, L147.1 (age estimate 5631-6778yBP yBP): YSC235>PF4847/CTS11741>YSC234>ZS241>ZS227>Z18271 (age estimate 2731yBP).

European testing

Benefits

Genealogical DNA tests have become popular due to the ease of testing at home and their usefulness in supplementing genealogical research. Genealogical DNA tests allow for an individual to determine with high accuracy whether he or she is related to another person within a certain time frame, or with certainty that he or she is not related. DNA tests are perceived as more scientific, conclusive and expeditious than searching the civil records. However, they are limited by restrictions on lines that may be studied. The civil records are always only as accurate as the individuals having provided or written the information.

Y-DNA testing results are normally stated as probabilities: For example, with the same surname a perfect 37/37 marker test match gives a 95% likelihood of the most recent common ancestor (MRCA) being within 8 generations, while a 111 of 111 marker match gives the same 95% likelihood of the MRCA being within only 5 generations back.

As presented above in mtDNA testing, if a perfect match is found, the mtDNA test results can be helpful. In some cases, research according to traditional genealogy methods encounters difficulties due to the lack of regularly recorded matrilineal surname information in many cultures (see Matrilineal surname).

Autosomal DNA combined with genealogical research has been used by adoptees to find their biological parents, has been used to find the name and family of unidentified bodies and by law enforcement agencies to apprehend criminals (for example, the Contra Costa County District Attorney's office used the "open-source" genetic genealogy site GEDmatch to find relatives of the suspect in the Golden State Killer case.) The Atlantic magazine commented in 2018 that "Now, the floodgates are open. ..a small, volunteer-run website, GEDmatch.com, has become ... the de facto DNA and genealogy database for all of law enforcement." Family Tree DNA announced in February 2019 it was allowing the FBI to access its DNA data for cases of murder and rape. However, in May 2019 GEDmatch initiated stricter rules for accessing their autosomal DNA database and Family Tree DNA shut down their Y-DNA database ysearch.org, making it more difficult for law enforcement agencies to solve cases.

Drawbacks

Common concerns about genealogical DNA testing are cost and privacy issues. Some testing companies, such as 23andMe and Ancestry, retain samples and results for their own use without a privacy agreement with subjects.

Autosomal DNA tests can identify relationships but they can be misinterpreted. For example, transplants of stem cell or bone marrow will produce matches with the donor. In addition, identical twins (who have identical DNA) can give unexpected results.

Testing of the Y-DNA lineage from father to son may reveal complications, due to unusual mutations, secret adoptions, and non-paternity events (i.e., that the perceived father in a generation is not the father indicated by written birth records). According to the Ancestry and Ancestry Testing Task Force of the American Society of Human Genetics, autosomal tests cannot detect "large portions" of DNA from distant ancestors because it has not been inherited.

With the increasing popularity of the use of DNA tests for ethnicity tests, uncertainties and errors in ethnicity estimates are a drawback for Genetic genealogy. While ethnicity estimates at the continental level should be accurate (with the possible exception of East Asia and the Americas), sub-continental estimates, especially in Europe, are often inaccurate. Customers may be misinformed about the uncertainties and errors of the estimates.

Some have recommended government or other regulation of ancestry testing to ensure its performance to an agreed standard.

A number of law enforcement agencies took legal action to compel genetic genealogy companies to release genetic information that could match cold case crime victims or perpetrators. A number of companies fought the requests.

Medical information

Though genealogical DNA tests are not designed mainly for medical purposes, autosomal DNA tests can be used to analyze the probability of hundreds of heritable medical conditions, albeit the result is complex to understand and may confuse a non-expert. 23andMe provides medical and trait information from their genealogical DNA test and for a fee the Promethease web site analyses genealogical DNA test data from Family Tree DNA, 23andMe, or AncestryDNA for medical information. Promethease, and its research paper crawling database SNPedia, has received criticism for technical complexity and a poorly defined "magnitude" scale that causes misconceptions, confusion and panic among its users.

The testing of full MtDNA and YDNA sequences is still somewhat controversial as it may reveal even more medical information. For example, a correlation exists between a lack of Y-DNA marker DYS464 and infertility, and between mtDNA haplogroup H and protection from sepsis. Certain haplogroups have been linked to longevity in some population groups. The field of linkage disequilibrium, unequal association of genetic disorders with a certain mitochondrial lineage, is in its infancy, but those mitochondrial mutations that have been linked are searchable in the genome database Mitomap. Family Tree DNA's MtFull Sequence test analyses the full MtDNA genome and the National Human Genome Research Institute operates the Genetic And Rare Disease Information Center that can assist consumers in identifying an appropriate screening test and help locate a nearby medical center that offers such a test.

DNA in genealogy software

Some genealogy software programs – such as Family Tree Maker, Legacy Family Tree (Deluxe Edition) and the Swedish program Genney – allow recording DNA marker test results. This allows for tracking of both Y-chromosome and mtDNA tests, and recording results for relatives.

Operator (computer programming)

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