Hemingway’s “The Old Man and the Sea.” Pride goeth before a fish. Lions have small hearts and little stamina.

Hemingway’s The Old Man and the Sea.

Pride goeth before a fish.

Lions have small hearts and little stamina.

 

Burton Weltman

 

School Days/School Daze: The wiseacre kid has a point.

A discussion of Ernest Hemingway’s The Old Man and the Sea is in progress in a class of high school sophomores.  The teacher is discoursing on the meaning of the novelette.  Most of the students are bored stiff, others are feverishly taking notes. This stuff may be on the test.  One kid is lounging in the back of the room with his hand raised.  The teacher is studiously ignoring him.

The Old Man and the Sea was first published in 1952.  Over the years, it has become a widely assigned book in middle and high school literature classes.  It is a famous book and won a Pulitzer Prize.  It was also cited when Hemingway won the Nobel Prize for literature shortly after its publication.  It is a short and easy read, and it is full of potentially interesting things to discuss.  Assigning the book is a way of connecting young adult readers with one of the great writers of the twentieth century without requiring too much effort from them.

The story is about the struggles of an old and impoverished fisherman from a small Cuban village.  It seemingly takes place in 1949, as the old man, who is an avid baseball fan, mentions that Joe DiMaggio, the great New York Yankee outfielder, is injured with bone spurs, and DiMaggio suffered that injury in 1949.  As the story opens, the old man has gone eighty-four days without catching a big fish and is being shunned by some of his neighbors as a purveyor of bad luck.  The old man has apparently been a loner for most of his life, but has taken on a young assistant in recent years to help him fish in his old age.  But now the parents of his assistant have banned the boy from fishing with him for fear the boy might catch the old man’s bad luck.

The book’s opening line is “He was an old man who fished alone,” thereby highlighting the old man’s isolation.  The old man’s name is Santiago but the third person narrator of the story consistently refers to him as “the old man,” which also highlights his alienation. The old man fishes in a skiff, a small boat with oars and a sail.  The boat can be handled by one person but the other fishermen in the book seem to go out in their skiffs in groups of two or three, as had the old man with his young assistant before his shunning.  The old man is on his own and is desperate.

In his desperation to catch a big fish, the old man decides to sail farther out from the coast than he and the other fishermen have ever gone.  After most of a day of frustration, he finally hooks a huge marlin but cannot bring in the fish all by himself.  The marlin, hooked but still game and very strong, drags the skiff farther and farther away from the coast, with the old man hanging on for dear life.  This goes on for three grueling days until the fish finally tires and the old man is able to kill it with a harpoon.  The marlin is bigger than the old man’s boat so he has to tie it to the side of the skiff, leaving the fish to float in the water as they sail back to the shore in tandem.

The old man sets sail for home with what he celebrates as a glorious prize that will make him a lot of money and very famous.  But, no sooner does he start for home than sharks begin to attack the fish.  The old man furiously fights and kills many of the sharks, but it takes him a day to get back to shore and the marlin is completely devoured by sharks before he can get it home.  He arrives with a huge fish skeleton attached to his boat, much to the marvel of the villagers, but with nothing to sell in the market.

In the course of landing the fish and then trying to bring it back home, the old man suffers enormously from the elements, lack of food and water, lack of sleep, and injuries he sustains while fighting first with the marlin and then with the sharks.  The book contains extremely detailed descriptions of the sailing and fishing methods and the skills of the old man.  Hemingway is adept at making a riveting and moving adventure story out of complicated technical information about sailing and fishing.

Hemingway is also able to describe well and with great empathy the suffering of the old man, whose mental and physical endurance are remarkable.  But the old man suffers lapses in both.  In the course of struggling to land the marlin, for example, the old man comes to regard the fish as simultaneously his brother and his nemesis, and he talks to the fish as though the fish is his companion.  He sporadically realizes that he is becoming delusional, but can’t stop himself.

When the old man finally reaches home, he goes almost straight to sleep.  And that is how the book ends, with the old man having a recurring dream about a group of lions he had apparently once seen on a beach in Africa when he was a young sailor working on commercial vessels.  The last line is “The Old Man was dreaming about lions.”  He loves those lions, and throughout the story he repeatedly thinks and dreams about them, and wonders “Why are they the main thing that is left?” in his memories of his life.[1]

The Old Man and the Sea tells a simple story, but that does not mean its interpretation should be simple.  Immediately upon its publication, however, the book was saddled by influential reviewers with a simplistic interpretation describing it as a paean to heroic individualism. In this view, the old man triumphs over a hostile natural and social environment, bagging his fish even though he cannot bring it home.  He is a winner in his solitary struggle for self-respect against nature and his fellow men. And the book holds his individualism up as a model for humanity.[2] This view has over the years become fixed as the conventional interpretation of the book.

A recent reviewer, for example, referring to the old man’s perseverance in fighting the marlin and the sharks, and to his reveries about lions, has characterized the old man as a dreamer.  “A world without dreamers would be a nightmare,” this reviewer claims, and concludes that the moral of the story for readers is to persevere in their dreams, no matter what the obstacles or what other people say.[3]

Another recent reviewer similarly sees the moral of the story as “Heroism is possible in even the most mundane circumstances.”  That is, even a lowly fisherman can be a hero and we, who are most likely mundane people, should take a lesson in heroism from the old man.[4]  Placing a seal of establishment approval on this conventional interpretation, the Encyclopedia Britannica describes the book as a “heroic novel” about man proving himself through “overcoming the challenges of nature.”  The encyclopedia concludes that the story illustrates “The ability of the human spirit to endure hardship and suffering in order to win.”[5]

The underlying theme of conventional interpretations of the book is that the old man is a winner in his struggles with the fish, his environment, his society, and himself, and he is extolled as a heroic model for us to emulate.  This interpretation is the gist of the teacher’s discourse to the class.  When the teacher finishes, the student in the back is finally recognized by the teacher and the kid proceeds to proclaim that in his opinion the old man was an idiot who ended up with nothing, which is what was coming to him.  The teacher coolly rejects the student’s claim, in a tone that suggests this is the sort of wiseacre comment one would expect from this kid.  But is the kid wrong?  I think not, and I think it matters.

Conventional Interpretations: Doing a disservice to our students.

I have two main objections to the conventional interpretation of The Old Man and the Sea.  The first is that it confounds the differences between individualism and individuality.  Individualism essentially consists of doing your own thing, of, by and for yourself, irrespective of any relation with others.  Individuality essentially consists of finding your own voice and place within a group, and to make your own individual contribution to the collective effort.  The conventional interpretation describes the moral of the story as promoting individualism, whereas I think it promotes individuality.

The second problem I have with the conventional interpretation is that it misconstrues the form of the book.  There are many ways in which literary works can be characterized and categorized.  One way, which dates back to Aristotle and the ancient Greeks, is to distinguish between melodramas, tragedies, and comedies.  Melodrama can be described as a story of good against bad, good guys against bad guys, for example, or a good person battling against hostile circumstances.

Tragedy can be defined as a story of too much of a good thing becoming bad.  Tragedy involves a character who pursues a too narrowly prescribed good too far until it turns on itself, becomes bad and precipitates disaster.  The character’s tragic flaw is pride and a lack of perspective, the failure to see things in a broader context beyond his own narrow vision.  Tragedy is a story of hubris versus humility, the failure of the tragic character to recognize his personal limits.

Comedy is generally defined as a story of wisdom versus folly, for example, wise people versus foolish people or a well-intentioned person doing something stupid.  A comedy need not be funny.  It is the stupidity of the fools that makes it comic.[6]

The lines between melodrama, tragedy, and comedy are not hard and fast, and the story forms overlap in many respects.  Each, for example, can contain elements of stupidity, conflict, violence, and pride, and each can have an unhappy ending.  Too much of one element can transform one story form into another.  Conventional interpretations describe The Old Man and the Sea as either a melodrama or a tragedy, or some combination of the two.  I think it is better read as a comedy.

Following the conventional interpretation, educational websites devoted to guiding students and teachers toward understanding the book all take the view that the story promotes individualism and takes the form of a melodrama, tragedy or combination of the two.  I think that this is a mistake and that it does a disservice to the story and to our students.

Typifying these academic helpmeets, the website Sparknotes.com describes the story in melodramatic terms as portraying “Heroism in struggle.”  According to this website, the novel describes a kill-or-be-killed world in which each man must heroically fight for his livelihood and life.  Pride may tragically lead a person to go too far, as it did when it led the old man to sail too far from shore, but pride is the “source of greatest determination” in men.  Without pride, men are losers.  The moral of the story, according to Sparknotes, is contained in a pep talk the old man gave to himself when he said that “Man is not made for defeat” and that a man may be “destroyed but not defeated.”  Sparknotes concludes that the story teaches us that men must follow their pride and never admit defeat.[7]

In a similar blog addressed to school teachers and students entitled “What lessons we can learn from The Old Man and the Sea,” the writer claims the moral of the story is that “Perseverance is a universal law.”  This blogger claims the book teaches us the virtues of individualism and going it alone.  Focusing on the shunning of the old man by the villagers, the blog concludes that the lesson of the book is that each of us must individually fight our own battles no matter whether or not other people support us.[8]  Study.com, another website for students and teachers, similarly claims that a combination of hope and pride may have led the old man to go too far in search of a fish, but the marlin symbolizes redemption for him even though he loses it.[9]

Many of these study guides for students and teachers focus on the old man’s preoccupation with lions.  They invariably claim that this preoccupation symbolizes the heroic perseverance and individualism that the old man exhibits.  Litcharts.com claims, for example, that the lions represent the “rejuvenation” of the old man and the return of his pride.  Pride may be a tragic flaw, the website acknowledges, but it is a virtue as well as a vice because it spurs the hero to action.  Symbolically, according to this website, “a group of lions is called a ‘pride.’”[10]

Shmoop.com, yet another website for persevering students, also claims that lions are persevering predators who symbolize the perseverance of the old man. The old man, this website insists, identifies with lions and they inspire his perseverance.[11]  Finally, enotes.com, whose author advertises himself as “a certified educator,” claims that the lions represent the old man’s vitality and “his victory over village prejudice.”  According to this educator, the lesson of the book for young students is to go their own ways no matter what others say.[12]

Echoing the conventional interpretation of the book, the common theme of all these educational websites is that the old man is a winner even though he ends up empty handed, seriously injured, and completely wiped out.  And the websites all claim that the book promotes the old man’s actions as a model of individualistic heroism for readers of the book.  I don’t agree.  I think these educators have misread the book and missed the boat and, speaking as a former teacher and former professor of education, I think they are doing a disservice to students.

Prides Foolish, Tragic, and Leonine: Getting things straight.

Pace the conventional interpretation, I agree with the wiseacre kid’s take on the book.  And I think his reaction reflects that of most students when they read it, which is that the old man is portrayed in the story as a fool.  It was my reaction when I first read the book some sixty years ago.  And I think the reaction of most people would be that the old man should not be fishing alone, should not have gone out as far from shore as he did, and should not have continued fighting the marlin and then the sharks, but should have cut loose the fish rather than fight him to the end and the sharks thereafter.  And, most significantly, the old man acknowledges all of this in the course of the book.

The old man repeatedly mourns that he does not have someone else with him in the boat. “I wish I had the boy,” he recites over and over.[13]  He frequently berates himself for having forgotten to bring some necessary piece of equipment. “You should have brought many things, he thought. But you did not bring them, old man.”[14]  He admits in the end that he has been defeated and is a loser.[15]  “They truly beat me,” he acknowledges.[16]  And he blames his disastrous loss on his own foolish pride.[17]  “You violated your luck when you went too far outside,” he complains to himself.[18]  So, the wise guy reaction is the old man’s own reaction, and the conventional interpreters and teachers have got him wrong.

I think the book is best described in literary terms as a comedy since even the old man denominates himself a fool.  That does not mean we are supposed to mock or reject the old man.  He is someone with whom we are intended to identify and empathize based on our own sometimes foolish pride and risky inclinations, but he is not someone whose behavior we should emulate or promote as a role model for young people.  Rather than a paean to individualism and individual heroism, the book is an argument against individualism and an argument in favor of cooperation.  And the old man’s fixation on lions supports this conclusion.

Contrary to the way lions are mistakenly described in conventional interpretations of the book, lions are widely known for hunting in groups rather than alone, and for lacking stamina and perseverance.  Lions are the only cats who live and hunt together in groups rather than individually.  And it’s a good thing for them that they do because they have small hearts and lack stamina.  They can run fifty miles per hour for a few hundred yards, but then they are finished and give up.  If a gazelle gets a head start on a lion, it is home free.  If lions didn’t help each other with hunting, by surrounding an animal so that it can’t get away, they would starve.

These are facts of leonine life that a big game hunter like Hemingway would surely have known, and these facts completely undermine the conventional interpretation of the lions in the book.  It is also the case that a “pride” is a group of female lions, and it is the females who generally do the hunting for the larger group of male and female lions.  A group of male lions is called a “coalition.”  Using the word “pride” to characterize the old man is, therefore, not, as conventional interpretations claim, a macho masculine reference to male lions.  In any case, the old man thinks and dreams of groups of lions who are playing together, not solitary individual lions.  His preoccupation with lions seems, therefore, to be a dream in favor of collective life, not individualism.

The conventional interpretation also misreads the book in describing the story as a struggle of man against nature as though nature is the enemy of man and the old man must wage war against nature.  But neither the narrator in the book nor the old man describes things in those terms.  The old man and his fellow fishermen are, instead, portrayed as links in the natural chain, in the circle of life as it is popularly described in the musical “The Lion King.”  Nature is the fishermen’s element, not their enemy.[19]  When some of his neighbors shun the old man, they are essentially saying that he is a weak link in the chain and they don’t want him to break it for them altogether.  They still care about him and take care of him, but they need to protect the community.

It is the old man who declares war against nature, not vice versa.  When he decides to sail farther out than he naturally would, and then battles a fish and a pack of sharks that are too much for him, the old man undertakes an unnatural act.  It is a proudful act that takes him out of the natural chain of things, as he later admits.  In the natural chain, big fish catch and eat little fish, and people catch and eat big fish.  That is in the nature of things.  It is a struggle, but an ordinary course of business.  The old man declared war on nature where none naturally existed.

The old man compounds this misstep by anthropomorphizing the marlin and characterizing their struggle as a battle of egos and wills.  Speaking of the marlin, he says “I will show him what a man can do and what a man can endure.”[20] The old man treats the fish as though it is a self-conscious competitor, like Ahab chasing after Moby Dick, rather than merely a fish looking to eat other fish and survive.  Speaking to the fish, the old man says “Fish, he said, I love and respect you very much.  But I will kill you dead before the day ends.”[21]  Commenting on the unnatural implications of this statement, one reviewer has asked “Is killing what you love a tenable position?”[22]   In his foolish pride, the old man has left even his human nature behind.

Another crucial mistake that conventional interpreters make is to take things the old man says in the midst of his difficulties as being the old man’s and the book’s final conclusions about things.  When the old man says that a man can never be defeated and other proudful things in the course of his struggles, he is trying to egg himself on to keep up the fight.  And it works.  He fights his way through to the end of his Quixotic voyage, exhibiting a perseverance no lion could.

But then the old man reflects further on what he is doing and has done, and he comes to conclusions opposite to what he was saying before.  Finally, he collapses and dreams of lions playing on the beach.  Not a heroic ending and not a self-styled hero.  Just a fisherman who foolishly got carried away with himself and with a fish.  And in his last conversations with the boy before he nods off to sleep, he says that he is never going to do anything so foolish again.

The Moral of the Story and the Story of the Story.

I think the moral of the story of The Old Man and the Sea consists of a plea for cooperation, pragmatism and humility. The old man’s redemption is not in catching the fish as some conventional interpreters hold but in ultimately recognizing that he is a person who needs people, as the popular song goes.  Not individualism but collectivism, and not pride but humility, is the moral.  “I missed you,” the old man admits to the boy just before he falls asleep at the end.[23]

This moral is consistent with other of Hemingway’s writings, such as his most famous book For Whom the Bell Tolls. That book takes its title and its main theme from a poem by John Donne that asserts “no man is an island,” that all people are interconnected, and that one person’s life is everyone’s life, one person’s death everyone’s death.  Hemingway is known for his macho heroes but like Robert Jordan, the hero of For Whom the Bell Tolls, they generally fight for the common good alongside common people.  The old man learns this lesson in the book.

So, how could it be that The Old Man and the Sea has been so widely misinterpreted for so long?  And how can it be that teachers routinely override a critical reading of the book by students so as to make studying the book an indoctrination in an individualistic ideology that the story doesn’t support?  I think the original misinterpretation was a product of the times in which the book was first published, and it was then carried forward by intellectual and educational inertia.

The book was published in 1952, shortly after the United States had come out of the fight against totalitarian Nazism and fascism in World War II, and when the country was engaged in a burgeoning Cold War against the collectivist Soviet Union and Red Scare against domestic Communists.  Fears of totalitarian collectivism and mindless conformity were widespread on both the anti-socialist political right and the anti-Communist political left.  Concerns that the United States was becoming a mass society in which politicians, corporations and the mass media were promoting mind control and mediocrity for political and commercial ends pervaded the political spectrum.

These concerns were typified by the popularity among conservatives of Ayn Rand’s book (1943) and movie (1949) Fountainhead which extolled individualism and excoriated collectivism.  Among liberals, The Lonely Crowd (1951) by David Reisman and others was a widely praised sociological study of conformity, focusing on the transition of Americans from being “inner-directed” by their consciences to being “other-directed” by the need to conform.  Among socialists, The Authoritarian Personality (1950) by Theodor Adorno and others was a highly regarded sociological study of the susceptibility of people, and Americans in particular, to demagogues and dictators.  On all sides of the literary political spectrum, intellectuals were looking to save the individual from being swallowed up in a mass society.

Bur there are significant political differences between individualism and individuality.  Individuality is a pro-social attitude promoted by most liberals and socialists.  Society for them is a caring community in the nature of a family.  Individualism is an anti-social attitude promoted by most conservatives.  Society for them is just a collection of individuals who are connected mainly by contracts. What happened with the interpretation of The Old Man and the Sea is just a small example of what happened to American culture during the Cold War.  Conservatives grabbed the upper hand and individualism became pervasive throughout the culture.

The conventional interpretation of The Old Man and the Sea feeds into an anti-social conservative attitude which is not supported by the book.  When he wrote the book, Hemingway was still a man of the 1930’s for whom the individual should operate within a cooperative context.  He was still the author of For Whom the Bell Tolls.  And that, I think, is what The Old Man and the Sea is about.  “No man is an island” would be a fitting epigram for the book.  Hemingway was promoting individuality in the book, not individualism.

Although the Cold War is long over, much of its cultural legacy lingers and this has consequences, as I think we see in the political and social conflicts occurring in the United States today. It is, therefore, long overdue to set the record straight about The Old Man and the Sea.  It is about individuality, not individualism.  The old man learns in the course of the book that he can be an individual without becoming an isolated individualist, and that he is part of a caring community.  After he gets back from his multi-day ordeal, the old man asks the boy “Did they search for me,” as though he thought the community might not care if he was lost.  The boy replies “Of course.  With coast guard and with planes.”  The old man seems gratified.  He is a part of a community and the community cares about him.  This communalism in the story is generally lost in the conventional interpretation which itself gets lost in individualism.

As teachers, we need to promote the individuality of our students.  They have to be able to think for themselves so as to better understand what is going on around them and, most important, recognize whom they can trust.  We now live in an age of “fake news” in which the mass media, and especially the all-pervasive internet, are filled with false stories and false interpretations of anything and everything.  The President of the United States has himself become our liar-in-chief and, amazingly, we cannot take as reliable truth a thing that the highest official in our country says.  So, whom can we trust and how do we know we can trust them?

It has, therefore, become more important than ever for young people to learn how to think critically and not merely accept what someone tells them, not even their teachers.  That is, I think, the moral of the moral of the story of The Old Man and the Sea.

BW 12/14/18

[1] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. pp.20, 41, 48, 72.

[2] Robert Gorham Davis. “Books: Hemmingway’s Tragic Fisherman.” Archives.NYTimes.com 9/7/52.

[3] Russell Cunningham. “Books to give you hope: The Old Man and the Sea.” theguardian.com 8/24/16.

[4] James Topham. “The Old Man and the Sea, Review.” thought.com  3/17/18.

[5] Encyclopedia Britannica. The Old Man and the Sea.” EncyclopediaBritannica.com 11/23/18.

[6] Aristotle. Poetics. New York: Hill & Wang, 1961. pp.59, 61, 81-86. Kenneth Burke. Attitudes Toward History. Boston: Beacon Press. 1961. pp 37, 39, 41. Paul Goodman. The Structure of Literature. Chicago: University of Chicago Press.1954. pp.35, 82-100, 172.

[7]The Old Man and the Sea.” Sparknotes.com  11/23/18.

[8] Matt Reimann. “What lessons we can learn from The Old Man and the Sea.” Blog.booktellyouwhy.com 10/1/15.

[9] Joe Ricker. “Symbolism of the marlin in The Old Man and the Sea.” Study.com Retrieved 12/7/18.

[10]The Old Man and the Sea: Symbol Analysis.” litcharts.com  Accessed 12/7/18.

[11]The Old Man and the Sea: The Lions.” Shmoop.com  11/23/18.

[12] Belarfon. “What significance do the lions on the beach have in The Old Man and the Sea?” enotes.com/homework-help.

[13] Ernest Hemingway. The Old Man and the Sea. New York: Scribner Classics, 1952. pp.30, 31, 32, 33, 34, 35, 39, 49.

[14] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.65.

[15] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.69.

[16] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.71.

[17] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.62.

[18] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.68.

[19] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. pp.22, 27.

[20] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.41.

[21] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.34.

[22] Mary Eisenhart. “Book Review: The Old Man and the Sea.” commonsensemedia.org

[23] Ernest Hemingway.  The Old Man and the Sea. New York: Scribner Classics, 1952. p.72.

 

The Golden Rule. Life, the Universe and Everything in Four Relatively Simple Sentences.

The Golden Rule.

Life, the Universe and Everything in Four Relatively Simple Sentences.

Burton Weltman

Thesis: The Golden Rule maxim “Love your neighbor as yourself” is not merely an ethical goal, it is a statement of fact.  We, in fact, love our neighbors as we love ourselves and we love ourselves as we love our neighbors.  The problem is not merely that we do not love our neighbors and ourselves as much as we should, but that we can’t.  How we deal with that fact, both individually and collectively, is what makes the world go around, or not.

Explanation: The Golden Rule can be found in some form in virtually every human culture.  It is well-nigh a universal ethical rule.  But it is also a psychological and sociological rule, despite the pervasiveness in our society of social science theories that are intellectually based on Descartes’ individualistic Cogito Ergo Sum (I think, therefore I am) and ideologically based on our individualistic economic system (the so-called Economic Man).

Mainstream social, economic and psychological theories almost always start with an isolated self-centered individual and then work toward social relations.  It is the conventional wisdom in our society.  However, as many of the best psychologists, sociologists, economists, and other social scientists have repeatedly demonstrated, that is not the way things actually work.

The maxim “I think, therefore I am” is literally nonsense. You cannot have any sense of yourself, cannot meaningfully utter the word “I,” without first having some sense of others.  It is through interacting with others that we get a sense of ourselves, so that the Cogito should really be “I think, therefore we are.”[1]  Once you grasp the facticity of this revised Cogito, the maxim “Love your neighbor as yourself” logically and psychologically follows.  What you think of others reflects what you think of yourself.  The better you treat others, the better you think of yourself.

There are, however, inherent contradictions and conflicts in our relations with others, starting with even the most loving of parents, so that we inevitably fall short in our best efforts to fulfill the ethical injunction of the Golden Rule.  And that is the problem.  But it is a problem that can be pragmatically resolved if we face it and do not regress to copout theories of individualism and rationalizations of Economic Man that are nonsense at best and inhumane at worst.

BW 11/17/18

[1] I have written a series of short essays on this subject which can be found on this website:  Rethinking Descartes’ Cogito: “I think, therefore we are (not I am).”  Part I: Resolving the Popeye Perplex.  Part II:  The World According to Calvin and Hobbes. Part III: A Cross of Gold and the Golden Rule.

Whatever happened to socialism? Axel Honneth tries to revive the socialist ideal in “The Idea of Socialism.” Is it an idea whose time has come, gone, and maybe come again? Maybe.

Whatever happened to socialism?

Axel Honneth tries to revive the socialist ideal in The Idea of Socialism.

Is it an idea whose time has come, gone, and maybe come again?  Maybe.

Burton Weltman

“We can be together.”

Jefferson Airplane.

Introduction: Whatever happened to socialism?

One of the more perplexing political developments of the last forty years or so has been the disappearance of the idea of socialism from public conversation.  For the previous 150 years, socialism was an idea, ideal and political movement that had to be contended with, whatever one thought of it.  It is no longer.  What happened and what, if anything, can or should be done about it?  And does the recent emergence of socialist Senator Bernie Sanders to prominence (I am writing this in October 2017) signal a revival of the idea of socialism in the United States?

Axel Honneth is a German philosopher and the author of The Idea of Socialism: A Renewal.[1]  He contends socialism is the last best hope for mankind, and the alternatives are grim.  He is, thus, heavily committed to reviving socialism.  Honneth thinks he knows why socialism has faded, and how to revive it.  His book is only 120 pages long, but the arguments are dense and intense.  Honneth’s exposition relies heavily on John Dewey, an American philosopher, educational reformer, and social activist who flourished during the first half of the twentieth century.

Dewey is considered one of the founders of pragmatism, along with C.S. Peirce and William James.  Pragmatism is generally considered America’s major contribution to world philosophy, as well as America’s own philosophy, because its emphasis on practicality reflects American culture.  Pragmatism holds that the meaning of a thing is how it works, and the value of a thing is the extent to which it works, that is, how well it fits in with the best available evidence.  Pragmatism is a broad-based philosophy upon which Dewey based his progressive educational reforms and his socialist theories.  Dewey’s idea of socialism is particularly American.  For this reason, I think Honneth’s book has particular relevance for Americans.

The purpose of this essay is to explore the questions raised by Honneth, and his answers.  As a self-styled socialist, I, too, think these are important questions.  My conclusions about Honneth’s book are that his theoretical discussion of socialism, and his proposal that socialists go forward through building on grass roots organizations, are excellent.  But I think his historical argument, that socialism faded because of foolish mistakes made by early socialists that were then foolishly perpetuated by socialists thereafter, is faulty.  And I believe that the prevalence of this historical argument among socialists today is itself a part of the problem with socialism.

Questions: How can that be?

Socialism was an idea and an ideal that animated most American reform movements from the late nineteenth century through the first half of the twentieth century.  Ideas derived from socialism underlay the reforms of the Progressive Era, the New Deal, and the Great Society, reforms which became the foundation of America’s social welfare programs, health and safety regulations, economic controls, and environmental protections.  How is it that in the United States today socialism is positively regarded by almost no one?[2]

John Dewey was widely regarded as the most influential thinker in America from the late nineteenth century through the first half of the twentieth century.  He was “universally acknowledged as his country’s intellectual voice.”[3]  His opinions on almost every social and political issue were regularly reported in the mass media, such that “it is scarcely an exaggeration to say that for a generation no issue was clarified until Dewey had spoken.”[4]  How is it that in the United States today Dewey is known by almost no one?[5]

Donald Trump exemplifies most of the worst in American society, and embodies the lowest forms of racism and misogyny, ethnic intolerance and religious bigotry, selfishness and self-centeredness, bullying and cowardice, and nothing of the humanitarian ideas and ideals of John Dewey or the socialists.  How can it be that in the United States today he is the duly elected President?

Scenarios: Socialism in everyday life.

Six people are on a basketball court.  They have not been previously acquainted.  They split into two teams of three people each, and begin a half-court game of basketball.  Within five minutes, the players on each team have bonded with each other.  They are positioning themselves to play to their teammates’ strengths, passing to each other, blocking for each other, compensating for each other’s weaknesses, each finding a role that plays to his/her strengths while helping the team, and each subordinating his/her ego to promote the success of the team.

Six people in a family are sitting around a kitchen table, two parents and four children of various ages.  The family has limited financial resources.  They are discussing how to manage their finances so as to maximize the opportunities of each person and promote the success of the whole family.  All see themselves in the same boat, and each is looking out for the other.

Six workers in a workshop are standing around a machine.  They are discussing how to organize a project so as to complete it most efficiently and effectively.  They dole out assignments based on the relative skills of each worker, so as to play to the strengths of each and promote the success of the group.  The joint project is the center of everyone’s attention.

Six children are playing a game in a schoolyard, with each of them taking a turn, until one of them, the biggest, tries to bully the smallest out of a turn.  The others band together in refusing to let the bully do that, defending the rights of the smallest child and, thereby, upholding the integrity of the game and promoting rapport within the group.

Each of these scenarios exemplifies the socialist maxim of Karl Marx that “the self-development of each is the basis for the development of all,” that is, in the words of The Three Musketeers, it is “one for all, and all for one.”  They are the sorts of scenarios that play out millions of times every day in the United States.  And they represent socialism in practice.  That is, most people, including most Americans, are instinctively socialists.  So, why is it that the idea of socialism is so little accepted here?

Definitions: Socialism, Capitalism, Individualism, Social Darwinism.

The word “socialism” was first used as a political term around 1830.  Consistent with the usage of those first socialists and most socialists since that time, “socialism” will be defined herein as an ideology which holds that “the self-development of each is the basis for the self-development of all” (Karl Marx), that one should act according to the maxim of “all for one, and one for all” (The Three Musketeers), and that one should “love thy neighbor as thyself” (Jesus Christ).  It is an ideology that promotes individuality through mutualism and cooperation.  This is the idea of socialism that John Dewey promoted and that Honneth seeks to revive.

Socialism is a pro-social philosophy.  When you add “ism” to a word, you identify an ideology or a cause that promotes what the word represents.  Socialism asserts that individual freedom is a result of social interaction.  Individuality means freely cultivating your talents within a social context, and finding a place in which you can make your unique contribution to society.  Individuality is not merely freedom from the oppression of others, but also freedom to participate equally with others.  It is the idea that my freedom depends on yours, and we are nothing without each other.

Socialism arose in opposition to individualism, a term that first emerged around 1810, and capitalism, a term that emerged in the 1850’s.  Capitalism can be defined as an ideology of individual investment that promotes an economic system based on the presumption that businesses will be privately owned and operated without government interference, unless that presumption is overcome by evidence that government involvement is necessary to preserve the capitalist system.  In a capitalist system, the goal of businesses is to make profits, based on the assumption that maximizing profits will result in maximum benefits to the public.  Capitalism as an economic system is supported by individualism as a social theory.

Individualism is an ideology that promotes a cult of the individual, and that describes the individual as in constant opposition to society.  Individualism asserts “me” and “mine” over “we” and “ours.”  It promotes the individual over society, for fear that society will suppress the individual.  It promotes competition among people rather than cooperation, based on the ideas that competition makes people stronger and more productive, and that competition keeps people isolated from each other so that they cannot form social coalitions that might suppress individuals.  Society is to be mistrusted.

Individualism is, therefore, an ideology of liberation, but also of insecurity.  It encourages people to be themselves, free from the constraints of others, and be all that they can individually be.  But it bases that self-fulfillment on competing for supremacy against others.  In an individualist world, a person can never be sure whether his/her position is strong enough to withstand the whims of lady luck or the winds of change.

Individualism, in turn, can function as an ideological rationalization for the selfish and self-centered bully, who climbs over others in a vain attempt to be king of the hill, vain because there is inevitably someone stronger or smarter coming up that hill.  Individualism reinforces the free enterprise capitalist economic system that has predominated in the United States since the early nineteenth century.  Individualism gradually became the dominant ideology in the country in the nineteenth century and, despite inroads from socialist ideas, has largely reigned as such since.

Unlike individualism, socialism asserts the compatibility and indivisibility of the individual and society.  Socialism claims that individuals and individuality stem from interacting with others and with society.  For socialists, “One for all and all for one” is a fact, not merely an aspiration.  You are nothing without others, and you are what you do with others.  Likewise, “Love thy neighbor as thyself” is, for socialists, a fact and not merely an aspiration.  If you think well of yourself, you will likely treat others well.  If you treat others poorly, competing to defeat and dominate them, you will likely think poorly of yourself.  Socialism opposes individualism as self-defeating.

Socialism especially opposes the so-called Social Darwinian principle of “each against all, and the winners take all” that has animated most right-wing political and social thinking since the late nineteenth century, including right-wing self-styled Christians who abominate Darwinian evolutionary theories.  I speak of “so-called” Social Darwinism because this principle is a perversion of Darwin’s ideas, and of “self-styled” Christians because Jesus’ defining Golden Rule seldom informs this group’s theories or practices.  Social Darwinism is an ideology of selfish individualism and cutthroat competition.  It promotes the zero-sum idea that if you get more, I will get less, and that the only way for me to get and keep mine is to keep you from getting yours.  It is an ideology that promotes distrust and fear of others.[6]

Although few right-wingers today acknowledge Social Darwinism as a source of their ideology, Social Darwinism is the principle that underscores most of the thinking of Donald Trump and the political right-wing in the United States today.  Unlike conservatives who oppose dramatic social change and big government, but are generally willing to accept small reforms and government programs when necessary to avoid disaster, right-wingers are radicals who want to dramatically change society and virtually eliminate government and the public sector.[7]

Unlike right-wing ideology, socialism is not a radical idea.  By definition, radicals want to get to the roots of what they see as a wicked society, tear up those roots, and plant something entirely new.  Socialism does not reject the foundations of American society.  The idea of socialism builds on the social ideals that most Americans already hold, and on social instincts that most Americans already display.  This was a key to John Dewey’s socialism.  He claimed that socialism was basically democracy taken to the next level, and he did not think that socialists had to start from scratch.  They could build on the democratic institutions and ideas that already exist in capitalist America, and thereby move toward a socialist political, economic, and social system.

A socialist political democracy could be described as a system of majority rule with minority rights, the most important of which is the right of the minority to possibly become the majority someday.  That last clause is the most important in the definition.  Implicit in the definition are freedoms of speech, assembly, and political organization; the rule of law along with due process and equal protection under the law; and all of the other political rights guaranteed by the Constitution.  But the definition also requires social equality and economic equity so that individuals and minority groups can effectively exercise their political rights.  That is where the socialism comes in.  Political democracy can be effective only to the extent that social equality and economic equity prevail.

In economics, the idea of socialism is economic democracy.  The economic goal of most socialists could be summarized as a system based on the presumption of public ownership or control of businesses, unless it is in the public interest for businesses to be privately owned and/or controlled, and with an assumption that small businesses would be privately owned and operated.  A mixed economy of public and private business is the idea of socialism, with government involvement to ensure economic equity.

Implicit in that definition are such things as a public health system along with health and safety regulations, a public insurance system along with a social safety net, minimum and maximum wage regulations along with a progressive income tax, and other provisions to make for a cooperative, stable, and relatively egalitarian economy.  Socialism promotes the public interest in economics, and opposes a capitalism in which everyone and everything is valued in monetary rather than human terms.  It builds on American ideals of fairness and practices of generosity.

In social relations, the idea of socialism is social democracy.  Socialism promotes the dignity of all people, and opposes discrimination against people based on invidious prejudices.  A socialist conception of personal relations could be summarized as support for everyone who respects others, and opposition to anyone to the extent the person disrespects others.  Implicit in that conception is opposition to racism, misogyny, ethnocentrism, homophobia, and bigotry in all its forms, and support for diversity coupled with cooperation.  That is the American ideal of E pluribus unum.  

Distinctions: Socialism in the eyes of socialists and anti-socialists.

The idea of socialism held by socialists is very different than that held by opponents of socialism.  As part of their political liturgy, conservatives and right-wingers have tried to make socialism a dirty word, and to represent socialism as the enemy of individuality and freedom.   The success with which anti-socialists were able to tarnish the idea of socialism led John Dewey to sometimes consider abandoning the term.  Dewey was not finicky about what things were called.  He was willing to call his political proposals a “new liberalism” or even “a new individualism,” so long as these terms encompassed the idea of socialism.  In his view, there was no future for liberalism or individuality in modern society without socialism.[8]

The idea of socialism is often mischaracterized by its opponents, even by some self-styled socialists, mostly those who identify as Communists, as promoting government ownership or control over all businesses and, maybe, even over everything else.  The idea of socialism is also misidentified with oppressive Communist regimes that have existed in some countries around the world.  But, neither of these is consistent with the idea of socialism nor what most socialists have believed in.

This misconception has its roots in the claim that socialism reifies society as an entity over-and-above the individual, as an idol to which individuals can be sacrificed.  Reifying society is a core idea of totalitarianism. Some self-styled socialists, mainly those who identify as Communists, hold to this view.  It is anathema to individualists, and is a reason they see society as the enemy of the individual.  But reifying and idolizing society is also contrary to the idea of socialism.  Most socialists see society as an association of individuals which can and should be a vehicle for individuality, and oppose the totalitarianism implied in seeing society as a hegemonic entity.

Socialists are often portrayed as violent revolutionaries, but the overwhelming majority of socialists from the early nineteenth century to the present day have favored peaceful evolution toward socialism.  They have generally tried to establish islands of socialism within the existing capitalist society that would one-by-one gradually move society toward the socialist goal.

Socialists have, for example, established communes, like those of the nineteenth century utopian socialists and the twentieth century hippies, some of which have been successful.  Socialists have also encouraged the establishment of cooperatives, an idea which has been quite successful.  Farming co-ops, housing co-ops, shopping co-ops, and co-ops of all sorts have flourished over the last one hundred years.  The hope is that the cooperative idea will catch on with ever more people, so that communes and co-ops, islands of socialism, will gradually form a new mainland.

Socialists operating within the existing economic and political system have also developed ideas for social reforms and social programs that have been adopted over the years.  Most of the social programs proposed in the 1912 platform of the Socialist Party have, in fact, become law in the United States.  The hope is that by adopting regulations that promote the health and safety of the public, promote economic equity and efficiency, protect the environment, and care for those who need help, the country will gradually become more socialized and socialist.

Most people, liberals, conservatives and socialists alike, would describe these social reforms and programs positively in humanistic terms.  There is, however, a disagreement as to their long-term effect on society.  Many people see the reforms as a means of stabilizing the existing capitalist society, and making it more acceptable.  This includes liberals and conservatives alike.  Right-wingers, however, decry the reforms as “creeping socialism.”  Socialists hope they are right.[9]

John Dewey and the Evolution of Democratic Socialism.

In The Idea of Socialism, Axel Honneth relies substantially on ideas he has adopted from John Dewey, especially Dewey’s The Public and its Problems.  Honneth seems to be coupling his effort to revive the idea of socialism with an effort to revive the social ideas of Dewey.  I think he makes a good case.  American social thinking in general, and socialist thinking in particular, have suffered from the absence of Dewey’s voice in recent years.

Although Dewey’s influence on American social thinking and educational policy during the first half of the twentieth century was unparalleled, right-wingers mounted a sustained attack on him and his ideas after his death in 1952.  In the context of the Cold War Red Scare, during which socialism was equated with Communism and Communism was equated with treason, Dewey’s socialist ideas and progressive educational methods were labeled subversive.  When the Soviet Union beat the United States into space with the launch of Sputnik in 1957, right-wingers widely and wackily blamed the American school system for putting the United States at peril from the Red Menace.  Dewey and his progressive educational methods were targeted as the cause, thereby putting the cap on the decline and fall of Dewey’s influence.[10]

Although Dewey is generally classified as a pragmatist philosopher, he usually called himself an experimentalist or transactional philosopher.  As an experimentalist, he promoted what he described as the scientific method.  He was not promoting an ideology, but was looking for solutions to problems or, rather, ways of solving problems.  Dewey claimed that the scientific method was the way in which valid conclusions were reached in any field of inquiry and in everyday life, and is not confined merely to the physical sciences to which it is generally attributed.  Dewey identified this method of decision-making with his idea of socialism.  The scientific method, according to Dewey, consists of several steps that can be described as follows:

  • A flaw in some generally held conclusion is found, which presents itself as a problem needing solution.  The problem could be anything big or small, a matter of war and peace, a question about quantum mechanics, the best way to avoid a traffic jam, or anything else that disrupted people’s usual course of reacting.
  • A hypothesis is formed as to what might be the solution to the problem. A hypothesis is a guess based on the best arguments and evidence that are immediately available.
  • Consideration is given to the hypothesis, and evidence and arguments for and against it are sought. It is important that this be an objective search, albeit not impartial.  It is not impartial because you are looking to solve a problem in which you have an interest, but it must objectively seek both to verify and falsify the hypothesis.
  • A conclusion is reached based on the best available arguments and evidence, and the proposed solution is put to the test.
  • The process and the results of the process are made public so that they can be examined and replicated by others. This publication of the proceedings and the results was crucial for Dewey, and was the key to his identifying socialism with the scientific method.  Truth was, for Dewey, a collective process, and nothing could be considered valid unless it was open to verification by the whole of the interested community.[11]

Socialism evolves, according to Dewey, through people collectively solving social problems with social solutions.   A scientific community of scholars, working together to solve problems and get at the truth, was an example of socialism for Dewey.  This was a model that any group of people could follow.  The scientific method was also Dewey’s alternative to class conflict as a means of dealing with social injustice and moving toward socialism.  Dewey acknowledged the existence of antagonistic social classes, but insisted that solving practical social problems was the way in which society would evolve toward socialism.[12]

Solving social problems would entail the establishment of public agencies.  Dewey envisioned the establishment of government agencies that guaranteed the public well-being at the national level, but operated with maximum public participation at the local level.  In this way, democratic social experiments could be conducted, socialism would grow within capitalist society, and it would grow with grass-roots support.[13]  Honneth  adopts Dewey’s method of socialist experimentalism, and I think this is a strength of his book.

Dewey’s description of himself as a transactional philosopher stemmed from his Darwinian belief that all things either were or could be interconnected, and that progress could be best attained through furthering the breadth and depth of transactions among things.  Dewey’s philosophy was deeply imbued with Darwin’s evolutionary theory.  Life, Dewey contended, consists of solving problems through adapting to and transforming one’s circumstances, and successful adaptations and transformations were the result of making connections among things.[14]   In this context, the connection between Darwinian evolution and socialism was, for Dewey, a self-evident conclusion.  His reasoning could be summarized as follows:

  • All things, whether they be animal, vegetable or mineral, survive because they fit in with their environments, including the creatures and things around them, and are not destroyed by them. This is the meaning of the phrase “survival of the fittest” that was misused by the so-called Social Darwinians to claim that the most powerful and richest people in human society, those who defeated their competitors in the battle for supremacy, were the fittest.  In fact, the ability of beings to cooperate, rather than their strength, is a better indicator of fitness for survival.
  • All things constantly strive either to transform their environments so that they better fit those environments or, when their environments change in ways that are disadvantageous to them, they try to adapt to the change. Transformation and adaptation are the keys to survival.
  • Things are more likely to survive and thrive if they can peacefully acclimate, transform, and cooperate with their environments than if they are constantly battling with the things around them. Hostile and repressive relations are inherently unstable, and cooperative arrangements are eminently preferable.  This is especially the case for humans, whose survival as a species has depended on their ability to cooperate.  Core human instincts are inherently social, and even socialist.  The real Social Darwinism is a Socialist Darwinism.

The case for socialism was obvious to Dewey, as it seems to be for Honneth.  The means for achieving it was the problem for Dewey, and this is what he struggled with in The Public and its Problems.  Published in 1929, the book was specifically a response by Dewey to two books by Walter Lippman, Public Opinion (1922) and The Phantom Public (1925).[15]  Lippmann had been a democratic socialist in his youth, but had become a technocratic conservative as a result of what he saw as the way in which public opinion was being manufactured and manipulated in the age of modern mass media.  Lippmann claimed that a democratic public was no longer possible.  His attack on the idea of the public and the possibility of a socialist public is the problem that Dewey dealt with in his book.  Dewey’s conclusions were positive, but not optimistic.  A weakness of Honneth’s book is that it does not fully recognize the context of Dewey’s book or the conditional nature of Dewey’s proposals.

Throughout American history, even as the economy went from local to regional to national in orientation during the nineteenth century, the formation of public opinion had largely remained local.  Small towns and big-city neighborhoods had predominated in the formation of public opinion and, in turn, in the nature of politics.  But by the 1920’s, that had changed, largely because of the advent of radio and the invention of modern advertising campaigns.

Lippmann warned that public opinion could now be expertly formed to favor almost anything the powers that controlled the mass media might want.  And the mass media invariably appealed to the lowest common denominator among people, to their prejudices, fears and hatreds.  The media, thereby, reduced people to what Lippmann claimed was a “mass of absolutely illiterate, feeble-minded, grossly neurotic, undernourished and frustrated individuals,” primed for manipulation.  There was no more genuine public, Lippmann lamented, only a manufactured public opinion.  In addition, Lippmann claimed, the problems of modern society had become too complicated and arcane for ordinary people to understand.  Ordinary people looked for simple and simple-minded solutions to complex problems.[16]

Given the idiocy of public opinion and the complexity of modern-day social problems, Lippmann concluded that the public could not be trusted with the control of society.  Society could be saved from pillaging by plutocrats and demagoguery from politicians only if the public were excluded from policymaking, and the country entrusted to technocratic experts.  Democracy needed to be redefined as a system in which the public was limited merely to rejecting policies that had clearly failed.  Lippmann essentially proposed a combination of a technocracy and a plebiscitary system, without any of the elements of participatory democracy that socialists like Dewey promoted.[17]

In responding to Lippmann, Dewey conceded that public opinion at large was largely manufactured by the mass media, and that many of the problems of modern society were too complex to be solved by appeals to public opinion.  But, Dewey argued, that did not warrant giving up on public participation in a democratic process.  At the very least, within Lippmann’s own proposed system, there needed to be a public with sufficient expertise to understand the experts who would manage the more complex aspects of modern society and evaluate their policies.  This meant an expanded and upgraded public educational system, something which Dewey promoted during his whole career.[18]

But Dewey did not stop there.  Although public opinion at large and in general was at the present time neither independent nor well-informed, and was largely manufactured and manipulated, that did not mean that public opinion writ small and on specific issues was untrustworthy.  In addition, although specialized expertise was necessary to solve many social problems, that did not mean that the knowledge and experience of ordinary people was not necessary and useful.

Expertise was not something abstract and impartial for Dewey.  Expertise was invariably specific, because it was developed out of the experience of solving specific problems.  Expertise was also inherently biased, because it was developed to solve problems in which people had an interest.  Experts could connect the solution of one problem to another — that is the way knowledge developed — but problems were always specific and always involved the disruption of things in which people were interested.

In turn, solving problems inevitably furthered some people’s interests, and slighted, ignored or abandoned other people’s interests.  Problem-solving should, therefore, take into consideration the ideas and interests of all those who were affected by a problem and its solution.  That was only fair, and was the most effective way to resolve a problem.  As such, solving social problems and making social policy required grass roots communications and consultations, because they were key to both democracy and the scientific method.   Honneth buys into this idea completely, and is very effective in conveying his arguments on its behalf.  I think it is the biggest and best strength of his book.

Dewey also was not ready to write-off the role of small towns and urban neighborhoods, especially given their historical role in American life.  “Democracy must begin at home,” he argued, “and its home is the neighborly community.”[19]  Dewey was an evolutionist who wanted to build on the past, not reject it and try to start all over from scratch.  Dewey essentially applied his ideas about the evolutionary process of adaptation and transformation to the problem of the public.  Honneth does not buy into this idea, and I think it is the weakest aspect of the book.

Just as Dewey had adapted the terms “individualism” and “liberalism” to the new reality of modern society, and transformed them into the idea of socialism, so he attempted to adapt the idea of the neighborly community to the changing conditions of modern society, and thereby to resurrect an idea of the public that Lippmann had buried.  Dewey’s method was to define a public as those people who were significantly affected by something.  He then argued that it was possible to form a large-scale public through connecting together many smaller-scale publics, and to democratically solve large-scale and complex social problems in this way.[20]

The question was how to arrange this.  Dewey was not very specific about this in The Public and its Problems.  His answer was a combination of education, grass-roots organizing, and the scientific method.  Dewey was himself involved with a number of grass-roots socialist political groups.  He was also a founding member of the NAACP and the ACLU, organizations that fought for civil rights and civil liberties, predominantly at the local grass-roots level.  Dewey was involved in teachers’ unions, and promoted labor unions for all workers.[21]  Schools were, however, Dewey’s favorite grass-roots organizations.

Much of Dewey’s career was spent developing and promoting progressive educational methods in which teaching and learning revolved around solving social, economic, political, and personal problems.  Learning, according to Dewey, was a process of intellectual adaptation and transformation by students toward the goal of adapting to and transforming the world in which they lived.  Over the course of the first half of the twentieth century, progressive educational methods became “the conventional wisdom” among educators and schools of education.[22]  The methods involved a mixture of cooperative learning and social problem-solving.  These methods were not always practiced in school classrooms, but studies from the 1920’s to the present day have shown that pedagogy of this sort makes for the best results with students, whether on standardized tests or real-life tasks.  The methods also taught students the benefits of cooperation which, it was hoped, they would transfer to life outside of school.

For Dewey the school should be a cooperative community, a model of democracy in which the scientific method and collegial relations would appertain.  Dewey particularly liked the seminar model of teaching, which he promoted for students of all ages.  In this model, students and teachers interacted like master craftspeople and their apprentices, striving to learn the skill of whatever subjects and problems they were studying.  This was Dewey’s response to Lippmann’s assertion that experts alone must rule the world.  Experts were master-craftspeople in complex problems, but ordinary people could always be at least apprentices who had sufficient knowledge and experience of the problems to participate cooperatively in the solutions.[23]

Dewey also promoted the school as a community center for adult education, community health and welfare services, and local political activities.  Schools should, and in some localities, they did and still do, function as centers for social services, cultural and political activities, adult education programs, and, even, employment agencies.  Schools would, thereby, function as agents of socialization.  They would, in effect, be socialist colonies, reaching out to the future through the education of young people and to the present through working with parents and other adults in the school district.

Dewey did not consider his methods to be an improper politicization of the schools, or a devious means of propagandizing of students and their parents.  Rather, he viewed schools as merely adapting to the best methods of teaching students and to the needs of the adults in their area.  It just so happened that socialism was the best way.  It was all a matter of fitting in with evolution, and surviving because you are fit.  Evolution was about solving problems collectively, and social change was the same.  The education that enabled students to do best in school and in their lives thereafter was serendipitously the education that prepared them to make cooperative social change. [24]

Dewey’s hope for the future stemmed from his underlying belief that most people are socialists most of the time, even if they don’t know it.  It is that evolutionary fact that socialists needed to build upon.  The method of progressive education was to start where students were and go from there, encouraging them to go further.  Similarly, Dewey’s political strategy was to start with whatever collectivities and socialization people already had, and build on them.  As part of this strategy, socialists should focus on people’s actions, not their professed ideologies, but should also invest their actions with ideal implications.  That was Dewey’s idea of socialism.[25]

Axel Honneth: Socialism as Social Freedom.

The presenting problem in Axel Honneth’s book is the fact that socialism has lost its place in the world and, along with that, its vision.  Honneth claims that from the early nineteenth century through the middle of the twentieth century, it had been assumed by one and all, both socialists and their opponents, that “the intellectual challenge socialism represented would permanently accompany capitalism.”  Much to Honneth’s chagrin, that is no longer the case.

The result, Honneth laments, is that most people in the world are bereft of any ideas about what might be an ideal society.  They are adrift in a world of more, with only the scantiest idea of better and no idea of best.  Without ideas of better and best, which used to be embodied in the idea and ideal of socialism, people have no basis on which to come together, and they fall easy prey to demagogues of fear, hate, and division.[26]

Honneth’s goals in his book are twofold.  First, he wants to recreate a socialist vision, to “extract its core idea,” and, thereby help provide a positive “sense of direction” for the discontent that he sees as permeating Western societies in the present day.  Second, he wants to present a history of the development of socialism that would explain its demise.  I think he substantially succeeds with his first goal, but not with the second goal, and that failure undermines the first.[27]

The idea and ideal of socialism, says Honneth, is that people “not only act with each other; but also for each other.”  People should not merely supplement each other, like workers on an assembly line, but act with each other, like players on a team.  In a socialist society, people would not only be treated fairly and equally, but would cooperate with each other.  In socialism, the individual does not get swallowed up by the collective, but is helped toward the “realization of individual freedom,” or what Honneth calls “social freedom.”[28]

Following Dewey, Honneth claims that social freedom requires small communities in which people can know each other, but also can personally care for people they don’t know.  He cites Non-Governmental Organizations such as Amnesty International and Greenpeace as examples of the sorts of organizations that he has in mind.  They are organizations that have national and international reach, but that operate largely at the local level.

Citing Dewey, Honneth calls for making connections among people, and removing the barriers to communication between groups of people.  Like Dewey, he takes an evolutionary view of social development, and claims that socialism is not merely an ideal but an historical tendency.  Evolution is a process of wider and deeper associations, and socialism is the next step that humans should logically and realistically take in that process.[29]

Toward this end, Honneth says, socialists must build upon social changes, not on social movements.  It is not who you are with, but what you are doing that counts.  Citing Dewey, Honneth argues that socialists should look for paths of social change, not for agents of social change.  Whoever is with you is with you, whether they be industrial workers or industrial capitalists.  He rejects the idea that socialism is only for the so-called working class.

Honneth insists in this regard that socialists should envision economics, politics, and personal relations as separate, albeit often overlapping, spheres.  The fact that you may oppose someone in the economic sphere does not mean you cannot work with that person for change within the spheres of politics and personal relations.  A capitalist may oppose racism and sexism even though he/she opposes labor unions.

Working toward socialism, Honneth explains, means solving social problems and making changes where you can with whoever is with you.  It means working to “uncover potentials for stronger cooperation concealed in the existing social order.”  And, like Dewey, Honneth calls for an experimental method of trying different forms of socialistic organization and operation, seeing what works best and what does not.[30]

In his historical analysis of why socialism has faded, Honneth focuses on what he calls the “three birth defects of the socialist project.”  The first defect, he claims, was seeing all social problems as a function of capitalist economics, so that sexism, racism, civil rights and civil liberties did not have to be specifically addressed, and would simply disappear when capitalism was overthrown.  The second was believing that industrial workers were naturally and inevitably opposed to capitalism and in favor of socialism, if only they could be shown the truth.  And the third was believing that capitalism would inevitably self-destruct, and that the workers would then automatically take over and create socialism.[31]

Honneth repeatedly berates socialists from the early nineteenth century to the present-day for ostensibly being unwilling or unable to overcome these defects.  He is especially critical of what he claims was the indifference of early socialists to political organizing, and it “remains a theoretical mystery,” he says, that this was the case.  “For reasons that are hard to understand,” he complains, “early socialists simply ignored the entire sphere of political deliberation,” and that has crippled socialists ever since.[32]

Honneth claims that early socialists believed that politics was merely an extension of the economic system, and that capitalists would inevitably control the political system in a capitalist society for their own ends.  In turn, they believed that if you gained control of the corporations, you thereby gained control of the government. So, socialists focused on organizing labor unions that would contest the power of the capitalists, and take over the management of society after capitalism inevitably collapsed.[33]

Socialists, Honneth charges, have continuously demonstrated a “characteristic blindness to the importance of political rights,” and “failed to grasp” the importance of civil rights as differentiated from economic power.  In the same vein, he complains, socialists were “blind” to family issues, and failed to pursue women’s rights even though, he asserts, “It would have been easy” to do so.[34]

The bottom line for Honneth is that socialists will seemingly have to start almost from scratch if they are to renew socialism.  History provides little to work from in his opinion.  Pretty much all that socialists can seemingly learn from history is what not to do.  And, apparently, the best that socialists can do with the theories and practices of their forbears is to throw them into the dust bin of history.  I don’t agree and neither, I think, would Dewey.

Socialist History as People Making Choices.

The Idea of Socialism has received mixed reviews, with some reviewers concerned that it is too radical in its proposals, others that it is too conservative.  As an example of the former, Martin Jay rejects Honneth’s call to restore the idea of socialism as the ideal of progressives. He thinks the idea of socialism is too off-putting to too many people.  Seemingly spooked by the ascension of Donald Trump and the right-wing Republicans, Jay wants progressives to pull in their horns in an effort to save the welfare state and social programs in the United States.[35]

On the other side of the political spectrum, Peter Schwarz, in an article entitled “A Socialism that is nothing of the sort,” which pretty much sums up Schwarz’s assessment of the book, decries Honneth’s rejection of class conflict, Marxist scientific socialism, and the proletariat as the agent of revolutionary change.  He sees Honneth as effectively an agent of the capitalist enemy.[36]

Taking a position in between, Tomas Stolen and Jacob Hanburger in their respective reviews of the book complain that Honneth’s proposals are vague and impractical.  “His is a philosopher’s socialism,” Hanburger complains of Honneth, which seems like an unnecessary complaint since Honneth is admittedly a philosopher.  Stolen complains that Honneth is a Frankfurt School advocate of “Critical Theory,” which is all theory and no practice.  I think there is some merit to that complaint.[37]

Honneth has, I think, outlined a vision of socialism as an idea and an ideal that is valuable for erstwhile socialists, even if they aren’t philosophers.  He has, however, misunderstood the history of socialism in a way that contradicts his own evolutionary theory of social development and socialist change.  In focusing almost solely on socialist theories and theoreticians, his critique of past socialism has something of an armchair and Ivory Tower perspective, and misses most of what ordinary socialists were doing.  I don’t think Dewey would approve.

Historically, socialists of the next generation have always tended to completely reject the efforts of the last generation, and proclaimed the necessity of starting over.  Their rationale has generally been that since the previous generation did not succeed in completely socializing society, they were failures and something completely new must be tried.  This tendency has been as endemic in evolutionary socialists, such as Honneth, as in revolutionary socialists.  It is a tendency and an intention that an evolutionist such as Honneth should be able to see as false.  In fact, whatever their intentions, the new generation does not start de novo.  No one can.  People always build on the past, whether they like it or not.  And the extent to which they repudiate the reforms and the efforts of the past, they almost invariably hinder their own efforts in the present.

Honneth’s history of socialism begins in the early nineteenth century when the word “socialism” was first used in its modern way.  From that fact, he claims that “The idea of socialism is an intellectual product of capitalist industrialization.”[38]  This is where, I think, he first goes wrong.  The roots of socialism go back at least to the first millennium BCE, and the roots of modern socialism derive from the urban guilds and rural peasant villages of the European Middle Ages.

Guilds were associations of master craftsmen and merchants that regulated the various trades in medieval cities.  They were in the nature of a trade union for the masters who, in turn, took in apprentice workers that could learn the trade, and possibly aspire to full membership as a master.  Medieval cities essentially existed as places in which the guilds could function.  And the guilds essentially ran the government of the cities, choosing government officials from their members.  The guilds also provided the social life of the cities, organizing religious and cultural events.

In sum, there was no separation in medieval cities of econo3mic organization and activities from political activities and personal relations.  There were no separate spheres of politics and social relations of the sort that Honneth wants socialists to recognize.  The idea of socialism that derived from the medieval cities was essentially an egalitarian guild without masters.  This was the model that most socialists in the nineteenth century initially adopted as a form of guild socialism, and that persists to the present day in the form of syndicalism.

An alternative model for socialism was provided by peasant villages.  Medieval peasant villages essentially operated like farming cooperatives run by the village elders, a clergyman, and/or a representative of the nobleman whose land the peasants farmed.  Villages were essentially an economic organization to support the nobleman’s social and military functions.  Land was generally allocated among the peasants each year on an equitable basis, with each peasant getting a chance at the best land.  A portion of the peasants’ time and produce went to the noblemen.

There were no separate realms of politics and social relations in these villages.  All of life, from birth to death to the hereafter, was dealt with within the economic organization of the village.  The idea of socialism that derived from these villages was a farming cooperative without the nobleman.  This was the model that was adopted in the early nineteenth century by most of the so-called utopian socialists, including the followers of Robert Owen and Charles Fourier, and that has persisted to the present day in the form of the cooperative movement.

Contrary to Honneth’s repeated statements of surprise and chagrin that early nineteenth century socialists did not recognize and organize around separate economic, political, and social spheres, it would have been a surprise if they had.  This is especially the case since politics as a separate sphere of activity arose during the sixteenth and seventeenth centuries essentially as a movement of capitalists and the middle classes against the authority of the kings and noblemen.  The goal was to carve out a political realm for themselves.  Workers and peasants might have naturally seen this movement as alien and possibly even hostile to their interests.  They might have reasonably preferred their guilds and villages, albeit shorn of the rulers who oppressed them.

Organizing society around socialist guilds and farming villages was not implausible in the early nineteenth century.  In most of Europe and the United States, the population overwhelmingly lived and worked in small towns, even long after the industrial revolution began. Small-scale socialist farming and manufacturing communities were common in America from the early 1600’s through the early twentieth century, and still exist today.  They were taken seriously in the early nineteenth century as an option for American development.  When Robert Owen visited the country in 1824 and 1825 to promote his utopian socialist vision and establish a socialist community at New Harmony, Indiana, he was well-received personally by President John Quincy Adams and former Presidents Thomas Jefferson, James Madison, and James Monroe, and he twice addressed Congress promoting his ideas.[39]

Industrialization in America began in small New England towns, and could conceivably have continued on a small-town basis.  There was no economic reason for industrialization to have spawned the massive cities that it did, other than for the advantage of the capitalist businessmen who promoted it.  Industrialists repeatedly found during the nineteenth century that in a contest between workers and bosses, the populace of a small town was likely to back the workers.  That was much less likely to happen in a big city, in which workers in any given factory would be spread around into different neighborhoods, and in which scab workers to replace striking workers would be more conveniently available.  Smaller scale production in smaller towns was actually more cost efficient to society, but less convenient for business owners.[40]

In sum, the commitment of early socialists to models of socialism based on guilds and villages, and their failure to envision politics and personal relations as separate spheres from economics, was neither surprising nor foolish as Honneth insists it was.  Nor did early socialists ignore politics and personal relations in their guilds, communes, and labor unions, which were more than just economic units.  They were also political and social organizations, providing social services, cultural events and educational opportunities for their members.

Honneth also is not accurate in claiming that early socialists did not pursue political and civil rights.  Marx proclaimed winning “the battle of democracy” as the first priority of socialists in The Communist Manifesto, and he vehemently supported movements for civil liberties, freedoms of speech, and the rights to vote and politically organize.   “Early socialism,” Michael Harrington noted, “was concerned with morality, community, and feminism.”  Socialists in America and Europe were continuously engaged in battles for democratic suffrage, civil rights, and the rights of women.  Socialist leaders also regularly worked in coalitions with people who were not members of the working classes.[41]

The point of my argument with Honneth’s take on socialist history is to suggest that a revival of socialism does not have to begin from scratch, and that there is a historical record of struggle and success on which socialists can build.  That is the evolutionary method that Dewey advocated.  There are lots of reasons why socialism has faded.  Among other reasons is the fact that the opposition has powerful social, economic and political positions.  They also have powerful emotional weapons.[42]

That the idea of socialism has faded from the public’s consciousness does not mean that socialists have somehow failed.  One can do the right things and still get the wrong result.   Sometimes the other guys are just too strong for you.  Socialists deal mainly in hope.  Right-wingers deal in fear.  Unless the proponents of hope are very well organized and well positioned, fear will usually trump hope.

The fading of socialism from the public consciousness also does not mean that socialism has disappeared from public life, or that right-wingers will inevitably win.  Dewey’s underlying point is that humans are essentially socialist beings, most of whom practice socialism even when they theoretically reject it.  The goal of socialists is to appeal to the socialist underpinnings of human society, and advance the cause of socialism on that basis.  This cannot be accomplished by merely holding hands and singing Kumbaya, but it is possible to successfully appeal to people’s better natures.

It has, for example, been the case over the last one hundred years, ever since the invention of public opinion polling, that when Americans are asked concrete and practical questions about whether specific individuals or groups of people should be afforded help from the government, or whether specific economic or environmental practices should be regulated, at least two-thirds of the public responds with a “Yes.”

But when Americans are asked abstract and ideological questions about the desirability of welfare programs, environmental regulations, or economic controls, some two-thirds say “No.”  Americans seem, as such, instinctively to be a generous, cooperative, and socially conscious people, who have been called “socialists of the heart,” even though ideologically they have been taught opposite.  The question is how to appeal to their socialist side with an idea of socialism.

A Socialist Appeal: Renewal and Revival.

Given that most Americans seem instinctively to practice socialism in their daily lives, and to opt for socialistic remedies when people are harmed, how can the idea of socialism be conveyed to people who ideologically reject it?  Like Honneth, I believe that future of American society, and much of the world, depends on whether people come to see idea of socialism as their ideal.  “Keep hope alive,” Jesse Jackson has intoned over the years.

But it is hard to ward off the fear-mongering and misanthropy of the Trumps and other right-wingers, and to keep hope alive, if you don’t have a vision of where hope might lead.  Socialism could and should be that vision.  But how to help people see that?  Not by starting from scratch, as Honneth would have us do, but through building on our common history of cooperative theories and practices, as Dewey encouraged.

After working for many decades as a lawyer and a professor, I can testify that you can almost never change anyone’s mind by arguing with the person.  That is especially the case when you are arguing about ideology.  What you can do, however, is gain agreement with the person on specific, practical matters.  If these practical agreements pragmatically work, you may be able to broaden your agreement to ideology and find a common vision.  There are many possible bases for a socialist appeal.

For the religious, there are the socialist implications of the Golden Rule, which was the mantra of a significant Christian Socialist movement during the nineteenth and early twentieth centuries.  For the scientific, there are the cooperative implications of the Darwinian theory of evolution, which is consistent with the Golden Rule and, notwithstanding the vocal and influential opposition from some religious fundamentalists, has been accepted by the Catholic Church and most other religions ever since Darwin first proposed it.

For the domestic, there are the socialist implications of the human family, which has historically been a pillar of most religions and a key to human evolution.  For the practical, there is the cooperative nature of everyday work and life, which has been a key to human survival.  For the philosophical, there is Dewey’s pragmatism, which combines the Golden Rule, evolutionary theory, domesticity, and the work-a-day world, and essentially demonstrates that no one is free unless everyone is free and equal.  That is the idea of socialism.

Finally, for the patriotic, there is the Declaration of Independence, which effectively enshrines socialism as part and parcel of who we are as a nation.  This is a claim that should (but won’t) especially appeal to right-wingers who insist on an “originalist” interpretation of the founding documents of the United States, that is, reading the Declaration and the Constitution as they were originally meant by their authors.  The key to this claim is the Declaration’s proclamation that “the pursuit of happiness” is an inalienable right of humankind.

That phrase was invented by the eighteenth century Scottish philosopher Francis Hutcheson as a counterpoint to John Locke’s claim that “life, liberty, and property” were man’s natural rights.  Locke claimed that the ownership of property is what enables men to fulfill themselves.  Hutcheson disagreed.  He held that people are most happy when they are helping others.  It is in helping others that we pursue our own happiness.  That is, as Marx later said, the self-development of each is the basis for the self-development of all.

Thomas Jefferson, the primary author of the Declaration, was an intellectual descendent of Hutcheson, having been educated by a student of Hutcheson.  In using Hutcheson’s phrase in the Declaration, rather than Locke’s, Jefferson explicitly made a choice in favor of mutualism over individualism, and implicitly made socialism a founding principle of the United States.

Can socialism make a comeback?  For most people, it never really went away, as they work, play and live together cooperatively, even if the idea of socialism has not been in their minds or part of the public conversation.  For some people, of course, that may not be the case.  Donald Trump, for example, apparently approaches every human relationship and personal encounter as a battle for supremacy and domination.

Trump’s world is a zero-sum game in which he is continually struggling to beat everyone around him.  He represents individualism taken to its logically illogical extreme.  He cannot stand being dependent or even co-dependent with others.  He is so pathetically insecure that he even destroys his own supporters.  His life must be a living hell, and I would feel sorry for him if he was not doing so much harm to others.  So, we must not let the Trumps of the world get us down and out.  There is no better argument for socialism than people like them.                                                                                                                                                                                                                                                                                                                                       B.W.            October 2017.

 

[1] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017.

[2] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. p.10.

[3] Alan Ryan. John Dewey and the High Tide of American Liberalism. New York: W.W. Norton & Co., 1995. p.19.

[4] Henry Steele Commager. Quoted in John Dewey and the High Tide of American Liberalism. New York: W.W. Norton & Co., 1995. p.XV.

[5] Robert Westbrook. John Dewey and American Democracy. Ithaca, NY: Cornell University Press, 1991. p.542.

[6] Richard Hoftstadter.  Social Darwinism in American Thought.  Boston: Beacon Press, 1955.

[7] For a discussion of the evolution of conservatism and right-wing Social Darwinism in America, I have an essay on this historyaschoice blog entitled “Do unto others before they do unto you: The Devolution of Conservatism from Burke to Trump and the Evolution of Pragmatic Liberalism from Madison to Obama.”

[8] John Dewey. Liberalism and Social Action. New York: G.P. Putnam’s Sons, 1935. pp.62, 74, 80, 85, 88.    John Dewey. “The Meaning of Liberalism.” The Social Frontier, Vol.II, #3.1935. pp.74, 76.  Merle Curti. The Social Ideas of American Educators. Totowa, NJ: Littlefield, Adams & Co. 1959. pp.507-519.

[9] George Lichtheim. The Origins of Socialism. New York: Praeger, 1969.

[10]  Alan Ryan. John Dewey and the High Tide of American Liberalism. New York: W.W. Norton & Co., 1995. p.22..

[11] John Dewey. How We Think. New York: D.C. Heath, 1933.

[12] John Dewey. Liberalism and Social Action. New York: G.P. Putnam’s Sons, pp.74, 80.

[13] John Dewey. Individualism Old and New. New York: Capricorn Books, 1962. pp.81, 154.

[14] John Dewey. The Influence of Darwin on Philosophy. Bloomington, IN: Indiana University Press, 1965. pp.10-11, 19.

[15] John Dewey. The Public and its Problems. Chicago: Swallow Press, 1980. pp.178, 182.

[16] Walter Lippmann. Public Opinion.  New York: The Free Press, 1922. p. 48.

[17] Walter Lippmann. Public Opinion.  New York: The Free Press, 1922. pp.34, 138, 148.   Walter Lippmann. The Phantom Public. New York: MacMillan & Co., 1925. p.190.

[18] John Dewey. The Public and its Problems. Chicago: Swallow Press, 1980. pp.208-209.

[19] John Dewey. The Public and its Problems. Chicago: Swallow Press, 1980. p.213.

[20] John Dewey. The Public and its Problems. Chicago: Swallow Press, 1980. pp.12-16.

[21] Robert Westbrook. John Dewey and American Democracy. Ithaca, NY: Cornell University Press, 1991. pp.167, 278.

[22] Lawrence Cremin. The Transformation of the School. New York: Vintage Books, 1961. p.328.

[23] John Dewey. “Can Education Share in Social Reconstruction?” The Social Frontier, Vol. I, #1. 1934. p.12.    Merle Curti. The Social Ideas of American Educators. Totowa, NJ: Littlefield, Adams & Co. 1959. pp.512, 523, 535.

[24] John Dewey. “Toward Administrative Statesmanship.” The Social Frontier, Vol. I, #6. 1935. p.10.

[25] Robert Westbrook. John Dewey and American Democracy. Ithaca, NY: Cornell University Press, 1991. pp.306, 312.

[26] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. p.10.

[27] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. p. 14.

[28] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. p. 25, 38, 65-66.

[29] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. pp.39, 65, 68-69, 99.

[30] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. pp.63, 74, 78, 91, 100, 102.

[31] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. pp.34, 81.

[32] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. p.29.

[33] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. pp.33-34.

[34] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. pp. 30, 42, 81, 84, 86, 88

[35] Martin Jay. “Positive Freedom.” The Nation, 6/28/17.

[36] Peter Schwarz. “A Socialism that is nothing of the sort.” World Socialist Web Site, 7/11/16.

[37] Thomas Stolen. “Die Idee des Sozialismus.” Marx & Philosophy, 9/6/16.  Jacob Hanburger. “Socialism and Power: Axel Honneth in Paris.” Journal of History of Ideas Blog.

[38] Axel Honneth. The Idea of Socialism: A Renewal.  Malden, MA: Polity Press, 2017. p.19.

[39] Arthur Bestor, Jr. Backwoods Utopias. Philadelphia, PA: University of Pennsylvania Press, 1950.     Robert Sutton. Communal Utopias and the American Experience: Religious Communities, 1732-2000. Westport, CN: Praeger, 2003.   Robert Sutton. Communal Utopias and the American Experience: Secular Communities, 1824-2000. Westport, CN: Praeger, 2004.

[40] Ralph Borsodi. Prosperity and Security.  New York: Harper & Row, 1938. pp.168, 218.  Harry Braverman. Labor and Monopoly Capital. New York: Monthly Review Press, 1974. p.275.

[41] Michael Harrington. Socialism: Past and Future. New York: Little Brown & Co.,1989. pp6, 29, 32, 45, 7, 48.  George Lichtheim. The Origins of Socialism. New York: Praeger, 1969.    David Shannon. The Socialist Party in America. Chicago: Quadrangle Books, 1955.

[42] Eric Foner. “Why is there no socialism in the United States?” in Who Owns History. New York: Hill & Wang, 2002. pp.11-145.

The Will to Believe and “The Wizard of Oz”: Pragmatism and Progressivism along the Yellow Brick Road. It’s Really about the Wizard.

The Will to Believe and The Wizard of Oz:

Pragmatism and Progressivism along the Yellow Brick Road.  

It’s Really about the Wizard.

 Burton Weltman

“Do you believe in the magic in a young girl’s heart?…

If you believe in magic, come along with me.”

The Lovin’ Spoonful.

The Conventional Misreading of the Wizard of Oz as a Paean to Individualism.

“Oz never gave nothing to the Tin Man

That he didn’t, didn’t already have before.”

 America.

The Wizard of Oz has had a magical history.  The original version of the Wizard’s story, The Wonderful Wizard of Oz (1900), was a best-seller in its time, and L.Frank Baum, its author, subsequently wrote twelve other popular Oz books.  Baum also wrote a successful Broadway musical based on the story, and there have been several plays and movies based on it.  The movie The Wizard of Oz (1939) won two Academy Awards and continues to the present day to be the most watched movie of all time.  A second Broadway musical of the story, The Wiz (1978), was a hit, and it won a Tony Award as best musical of the year.  It was also made into a successful movie.  Many of the characters in the story, especially the Scarecrow, the Tin Man, the Cowardly Lion, and the Wizard, have continued over the years to appear in dozens of spinoff tales.[1]  What is it about the story of the Wizard of Oz that makes for its continuing popularity?

The conventional explanation for the story’s popularity is that it is a celebration of individualism, a characteristic upon which Americans ostensibly pride themselves.  “Is there any more prominent message of American individualism than this one?  We never get tired of hearing that we control our own outcomes.”[2]  The conventional view is based on the fact that in the story the Scarecrow, the Tin Man and the Lion were primed and ready to be smart, compassionate, and courageous, respectively, before they met Dorothy, let alone the Wizard.  In this view, the story is about ignoring what others think of you, and finding yourself in yourself.

So, for example, the Scarecrow was already smart before he met Dorothy, let alone got an ersatz brain from the Wizard.  He was just hanging on a pole, waiting for a chance to show off his intelligence.  His innate intelligence is demonstrated by the solutions he invented to the problems he and his comrades encountered en route to Emerald City.  The Scarecrow did not need any help to be smart.  He was already smart by himself.[3]

Likewise, the Tin Man was already innately compassionate.  He consistently demonstrated compassion from the start, even walking carefully so as not to step on ants.  The Lion was, in turn, already brave.  He repeatedly responded courageously to dangerous situations that the comrades faced on their way to Emerald City, and scared off threatening attackers.[4]  Dorothy’s colleagues were all already what they wanted to be before the story began, they just didn’t know it.  Once they were set in motion upon meeting up with Dorothy, however, they all realized their true natures as they responded to the crises they faced in the course of their adventures.

In this conventional view, the Wizard was merely a faker who, as the rock group America proclaims in the “Tin Man” song, contributed nothing to the wellbeing of the Scarecrow, the Tin Man, and the Lion.  They already had in themselves what they needed, without any help from the Wizard or anyone else.  In this view, the Wizard was useless.  He was such a humbug that he could not even control his balloon so as to take Dorothy home to Kansas.  Finally, in this view, Emerald City, over which the Wizard ruled, was merely an insignificant stage setting for the adventures of Dorothy and her companions.  It was not an important part of the story.

This conventional view places the story within the ideologically archconservative framework that was predominant in this country during the late nineteenth century, and that has been resurrected by rightwing ideologists in the late twentieth and early twenty-first century.  As promoted then by such prominent figures as the sociologist William Graham Sumner and the Supreme Court Justice Stephen Field, this ideology idealized laissez-faire capitalism and the supposedly self-made individuals, the Great Men, who ostensibly made possible everything worthwhile.[5]  In the conventional view of The Wizard of Oz, the United States was then, and is now, a land of self-made individualists, and the story promotes an ideology of individualism.  In this view, the success of the story, then and now, is based on its support for that ideology.  I don’t agree.[6]

Lost at See: Dorothy faces an Existential Crisis.

 “Existence precedes Essence.”

Jean Paul Sartre.

The Wonderful Wizard of Oz opens with a commonly used narrative device that is designed to inform readers that strange things are going to be forthcoming.  The device is to situate a character alone in an unknown and potentially hostile environment, often as the result of an accident such as a shipwreck at sea, and then see how the character makes out.  Examples of this device include Ulysses shipwrecked and stranded among the Phaeacians in the Odyssey; Viola in Twelfth Night shipwrecked and alone in Illyria; Robinson Crusoe shipwrecked on a deserted island in Robinson Crusoe; and, Oliver Twist orphaned and adrift in London in Oliver Twist.

All of these characters were wrenched out of the contexts in which they had lived, and were then faced with questions of how to see themselves and survive in their new environments.  They ask themselves: Where am I?  What am I doing here?  Who am I in this place?  What do I do now?  They are put into a predicament that is analogous to what is often called the existential situation of humankind.  We are all born into times and places not of our choosing, asking ourselves who we are and what we are doing here, and faced with the need to make something of ourselves and make our ways in the face of perplexity and adversity.

This is the situation of the main characters in The Wonderful Wizard of Oz, not only Dorothy, but also the Scarecrow, the Tin Man, the Cowardly Lion, and the Wizard.[7]  All of them have been displaced physically and psychologically, and have found themselves, through no fault of their own, stranded and alone in Oz.  Dorothy was the victim of a tornado.  The Scarecrow was stuck on a pole in a field by a farmer.  The Tin Man had rusted in an unexpected rain storm.  The Lion was chased out of the forest by the other animals.  And the Wizard was the victim of a wayward balloon in a storm.  The book is the story of five people, each facing an existential crisis, and struggling with the help of others to make a way in the world.  Each successfully makes it because of their belief in each other, and their support of each other.  That, I contend, is the moral of the story.  Rather than a conservative paean to individualism, and an admonition to believe in merely oneself, the story is a progressive testament to cooperation and the will to believe in each other.

Seeing the Wizard through Progressive Eyes as an Emerald City Manager.

 “If ever, oh ever a Wiz there was,

The Wizard of Oz is one becoz,…

Of the wonderful things he does.”

Lyrics by Yip Harburg.

Sung by Judy Garland & Ray Bolger.

In the progressive view of the story that I am suggesting, the Wizard was not intended by Baum to be dismissed as a marginal character or a mere faker.  The Wizard is a central and sympathetic figure in the story, even a hero of sorts.  And I think audiences feel this.  The book, after all, is named The Wonderful Wizard of Oz.  It is named after the Wizard, as are the movie and musical versions of the story.  It is not named after Dorothy or any of the other characters in the story, as are some of Baum’s later Oz books.  The Wizard is also merely called the Wizard.  He is given no other name, and this seems to attest to his special status in the story.  He is, in turn, called the Wonderful Wizard of Oz, not the Charlatan Wizard of Oz.

Significantly, when it becomes clear that the Wizard cannot perform the magic that Dorothy and her comrades expect, and Dorothy tells him “I think you are a very bad man,” he replies “Oh, no my dear; I’m really a very good man; but I’m a very bad Wizard.”  When the Scarecrow, in turn, accusatorily says “You’re a humbug,” the Wizard calmly replies “Exactly so,” and admits, with seemingly some relief, that “I’m just a common man.”[8]  That is a telling statement from the Wizard.  The phrase “common man” resonated deeply and positively with Americans during the twentieth century, most of whom thought of themselves as common people.  I think that audiences over the years have identified and sympathized with the Wizard, even if he was a humbug.  We are all, after all, humbugs in some ways and to some extent.

The Wizard justifies his pretending to be a wizard by pointing to what he has done in building and maintaining Emerald City, the city that he founded and administers.  The book was written at a time when progressives were starting to promote city managers as a supplement to the politics of governing cities.  City managers would provide expert administration as an alternative to the corruption of the political machines and the dominance of rich businessmen in city governance.  The Wizard claims that Emerald City abounds with “every good thing that is needed to make one happy,” and he contends that “I have been good to the people and they like me.”  I think that readers of the book and viewers of the movies agree with him, and feel that Emerald City is a wonderful, if somewhat weird, place.  I think that they also naturally empathize with the Wizard’s position, and feel that he, in fact, did wonderful things for Emerald City.

It is also the case that, contrary to the “Tin Man” song, the Wizard did give something to the Scarecrow, the Tin Man and the Lion.  The trinkets he gave them as surrogates for a brain, a heart, and courage were a confirmation to them of their most cherished qualities.  And they each felt much better for the confirmation.  They did not disparage the gewgaws or reject the Wizard for giving them mere trinkets.  The trinkets were proof that others believed in them, so that they could believe in themselves.  Baum seemed to be saying with this reaction that we are not self-made individualists.  We are social beings who need support from others, even in the form of symbolic placebos of no inherent value in themselves.

The Wizard was a faker but he was also a man of good faith.  When he asks Dorothy why he should help her, she replies “Because you are strong and I am weak.”  So, like Dr. Seuss’ elephant Horton, who says “I’ve got to protect them. I’m bigger than they” when he hears the tiny Whos calling for help, the Wizard does help her.[9]  Pace the conventional view of the story, the Wizard did, in fact, fulfill his promises to each of the four comrades.  He gave symbolic but satisfactory trinkets to the Scarecrow, Tin Man and Lion, and he was willing and capable of returning Dorothy to Kansas in his balloon.  It was not the Wizard’s fault that when his balloon began to ascend, Dorothy went chasing after her dog and, thereby, missed her ride.  Although the Wizard was just a common man, he did, on the whole, do good and wonderful things.

As a common man who achieved wonderful things, the Wizard is a source of inspiration and support to those of us who see ourselves as common people.  When Dorothy lands in Oz, she is astonished at being hailed as a heroine and a witch, both because she had not done anything extraordinary and because there were no such things as witches in Kansas.  In the book, the Good Witch of the North[10] explains to Dorothy that there are witches and wizards in Oz because “the Land of Oz has never been civilized.”  There are none in Kansas because it is civilized.

Baum seems to be saying here that with civilization comes what we would today call cultural disillusionment, that is, no longer seeing the world as full of spirits and spirituality.  By the turn of the twentieth century, when Baum wrote the book, the scientific explanation of things had largely replaced explanations based on magic or religion.  The supernatural had been naturalized, and the wonder taken out of wonderful things.  This is what the philosopher Nietzsche meant when he said at the time that “God is dead.”  Baum, who eschewed conventional religion and was a member of the Ethical Culture Society, supported this secular and scientific trend.

The implication of the Good Witch’s explanation seems to be that in an uncivilized society such as Oz, the Wizard had to pretend that he had magic as a means of gaining the status he needed to build and rule over the Emerald City.  But, and this is the key, he was able to build and administer the city without magic, because he actually had no magical abilities.  The conclusion that Baum seems to want us to reach is that common people can do this same sort of thing in Kansas and elsewhere in our mundane world.  They can build wonderful cities full of good things for all and sundry, even for immigrant scarecrows and tin men.  Baum was personally a political supporter of first Populism and then Progressivism.  He was a democrat and a social reformer.  He believed in the power of ordinary people to do good and great things.

The book exemplifies this belief.  Ordinary people in the book achieve extraordinary results through ordinary means.  Dorothy kills the Wicked Witch of the East, something the Good Witch of the North admitted she was not powerful enough to do, by accidentally falling on her in a house.  Dorothy kills the Wicked Witch of the West by accidentally spilling a bucket of water on her.  And the Wizard supervises the mundane construction and operation of a wonderful city.

In a civilized society, Baum seemed to be saying, there are no witches or wizards with supernatural powers, and no “Great Men” of the sort nineteenth century conservatives such as Thomas Carlyle and William Graham Sumner claimed had made society and make history.  Baum was saying that ordinary people are obliged to make society and history by caring for each other.  This is what Dorothy and her friends did in combating the Wicked Witch.  This is also what the Wizard had essentially done with the citizens of Emerald City in making their society.  He did not actually have any magic powers other than his caring for the people.  The city has been built through the cooperative efforts of the citizens, with the Wizard acting merely as city manager.  And that, according to Baum, is civilization at its highest.

Seeing Emerald City through a Utopian Lens.

“I once asked the Wizard of Oz

For the secret of his land.

He said ‘Just take a look around here.

Seven dwarves and Little Boy Blue,

Uncle Remus and Snow White, too.

(Now, just between us.

That’s what is known as integration.)’”

Chuck Mangione.

If the Wizard is the center of the story, then Emerald City is the centerpiece of the book.  Emerald City is described as an ideal society, almost a utopian cooperative community.  Baum was politically what we would call a liberal.  In his writings as a journalist and in his stage plays, he frequently criticized powerful capitalists and conservative politicians.  Although The Wonderful Wizard of Oz does not include any specific political references, it has been seen as a populist allegory (see Footnote #6 above) and, more importantly, it includes a progressive vision of society in the form of Emerald City.  It was a vision in line with other reformers in his time.

The period of the late nineteenth through the early twentieth century was an age of reform.  The country seemed to recoil from the crassness of the previous decades of rampant corruption and cutthroat capitalism, the so-called Gilded Age (Mark Twain) or Brown Decades (Lewis Mumford).  It was also an age of reaction against the right-wing Social Darwinian ideology that had been promoted by the business elites of the time. Social Darwinism, a misnomer and misuse of the theory of evolution that was rejected by Darwin, promoted the dominance of the fittest in society, with fitness mainly defined in terms of wealth.  Developed in England by Herbert Spencer and in the United States by William Graham Sumner, this theory idealized laissez-faire competitive capitalism in which winners, meaning the wealthy, should deservedly thrive, and losers, meaning the poor, should deservedly die off.[11]

The theory also promoted what we would today call a zero-sum approach to society.  It held that there is only a limited amount of wealth and well-being in the world, and one person’s gain is another person’s loss.  Social relations are invariably invidious because my success inevitably results in your failure, and vice versa.  If I win, you lose.  If you win, I lose.  We cannot both succeed.  The theory, thereby, promoted a Hobbesian war of each against all, and a Malthusian rejection of cooperation and compassion.  Social Darwinism was influential among the political and economic elites of the late nineteenth century, and was virtually written into the Constitution by a right-wing majority on the Supreme Court.[12]

Populism in the late nineteenth century and Progressivism in the early twentieth century emerged as political and social movements against the Social Darwinian political and social conditions of the time.  As part of this reform wave, there was a flood of utopian proposals, both theoretical and experimental.  Many of these proposals were in the form of novels.  Edward Bellamy’s utopian novel Looking Backward (1886) was the most popular book of the late nineteenth and early twentieth centuries, other than the Bible.  Utopian novels were also written by William Dean Howells, the dean of American literature, Ignatius Donnelly, the Populist leader, and many other important writers.

There was also an upsurge in utopian community experiments.  These included the Equality Colony in Washington, founded in 1900, and the Fairhope Community in Alabama, founded in 1894 and still in existence.[13]  Many of these communities were racially and ethnically integrated, and were based on gender equality.  Many were made up of recent immigrants to America.

In his portrayal of Emerald City, Baum played into a genre of utopian literature with which readers in his time were very familiar.  It is significant that the citizens of Emerald City greeted and cared for Dorothy and her odd assortment of companions – a walking, talking scarecrow, tin man and lion; how weird must that have seemed – as though they were ordinary people and good friends. The story is infused with examples of immigration and cultural pluralism, with people and creatures of all sorts living together in the same community or in contiguous communities.

Dorothy and her companions were themselves all immigrants – strangers in this strange land – as was even the Wizard.  Their differentness was accepted in Oz, and even welcomed.  The citizens of Emerald City, in turn, had no problem with the Scarecrow becoming the head of their government when the Wizard left.  It is a vision of a cooperative and inclusive society to which I think readers of The Wonderful Wizard of Oz, and viewers of the movies based on the book, have responded positively from Baum’s time to ours.

Believing is Seeing: William James as the Wizard.

“Fairy tales can come true,

It can happen to you,

If you’re young at heart.”

Lyrics by Johnny Richards.

Sung by Frank Sinatra.

The Wonderful Wizard of Oz was written as a kids’ book for the young and the young at heart.  My father used to say that the key to staying young at heart was to avoid hardening of the arteries and hardening of the categories.  Hardening of the arteries results from a buildup of plaque in your blood vessels which blocks the flow of blood in your body, and can lead to heart attack.  Hardening of the categories results from a buildup of prejudice in your opinions which blocks the flow of new ideas in your mind, and can lead to heartlessness.  Hardening of the arteries can usually be avoided with proper diet and exercise.  Hardening of the categories can be avoided by keeping one’s mind open to new ideas and new people.  Closed-minded rigidity of any sort, whether ideological, philosophical, cultural, racial, religious, or otherwise, can lead to the hardening of one’s ethical categories, and to heartlessness.  The Wonderful Wizard of Oz is a book intended to keep the mind open and the heart healthy.

Baum said in his introduction to the book that he wrote it as “a modern fairy tale in which the wonderment and joy are retained and the heartaches and nightmares are left out.”  Traditional children’s stories were full of horrible things happening to children, sometimes because they did not obey the rules that their elders had laid upon them, other times because they were merely curious or adventurous, still other times just because they innocently happened to be in the wrong place at the wrong time.  Most important, the stories often punished trustfulness.  Wicked witches, goblins, and other deceptively foul creatures were portrayed as everywhere out there seducing children to their doom.  “Want a nice piece of candy or bite of apple, dearie?”  That sort of thing.  These stories were intended to scare kids straight, and put them in fear of painful consequences if they did not follow the straight and narrow path laid out for them by their elders.

The Wonderful Wizard of Oz is a different sort of story.  There are plenty of evils to be avoided in the book, but curiosity and adventurous behavior are rewarded and, most important, the story rewards trustfulness.  Dorothy believes in other people, no matter how strange they may appear.  She trusts them, and she helps them to believe in themselves.  Other people, in turn, believe in her, so that she is able to believe in herself.  It is a virtuous circle, and it is the same with the Scarecrow, the Tin Man, the Lion, and the Wizard.  Others believe in them, they believe in others, and they believe in themselves.  They have the will to believe in each other, and that belief is fulfilled.  Help and be helped is the moral of the story.  And caring is the best magic.

This moral of Baum’s story ran directly counter to the precepts of the Social Darwinian and zero-sum thinking of the business elites, and to the conventional educational practices of the time which largely reflected that thinking.  Baum’s intentions were, however, directly in line with the progressive educational practices and pragmatic philosophical theories being developed at the turn of the twentieth century, especially those of William James and John Dewey.

Conventional teaching was based largely on rote memorization, harsh discipline, competitive testing, and student rankings.  Some students were, thereby, categorized and characterized as winners, with others as losers.  It was Social Darwinism in practice.  These zero-sum practices were being challenged by educators, such as James and Dewey, who wanted students to learn how to think critically and act creatively, and who emphasized learning through doing, rather than rote memorization.[14]  James and Dewey argued that the way people learn best, whether they be elite scientists or common people, is through experimenting, that is, through developing hypotheses and then testing them.  It is also, they claimed, the way people live best, that is, by deciding to believe in something, and then seeing if it works.

James and Dewey incorporated this progressive educational theory in a broader philosophy called pragmatism.  Both started as psychologists before turning to philosophy and education, and pragmatism was, in turns, an epistemology, an ontology, and a moral philosophy.  James was world-famous as the psychologist who originated of the “stream of consciousness” theory of thinking, before pivoting into theories of learning, education, and moral philosophy.  In 1896, he wrote an influential essay called “The Will to Believe.”  I have no idea whether Baum read the essay, but the essay reflected currents of thought with which Baum would have been familiar, and I think the themes of the essay are nicely reflected in the story of the Wizard of Oz.[15]

James outlines three key elements of pragmatism in “The Will to Believe” that are reflected in The Wizard of Oz and the actions of the Wizard.  These are that life is a participant experiment, that beliefs can be self-fulfilling, and that truth is established collectively.  First, life is a participant experiment.  In trying to resolve the problems with which we are faced, we are invariably faced with options from which to choose, and for which we never have sufficient evidence to make obvious what is the right choice.  So, we are obliged to martial the best available evidence about our options, develop a plausible hypothesis as to what might the best choice, and then make a leap of faith into the future.[16]

Second, the fact that we believe in something – with the emphasis on “we,” not merely “I” – can help make it so.  “Faith in a fact can help create the fact,” James claimed.[17]  He was not talking about miracles, or about a blind faith that eschews contrary facts, as some critics of James’ essay have claimed.  He was talking about acting in a way that can help create the facts that support our hypotheses.  Like “The Little Engine that Could,” if we believe we can, maybe we can.

Third, and most important, the verification of a hypothesis is a collective action, not an individual act.  It is not the case, as some critics have contended, that pragmatists hold that if something works for you, it is true for you, regardless of what others think.  Pragmatism is a collectivist and cooperative philosophy.  It holds that a person cannot know anything about himself or herself, or even that he or she is a self, without verification from other people.  In turn, a person cannot verify the validity of the choices that he or she has made without the supportive opinions of others.  “Our faith is faith in someone else’s faith,” James contended.[18]  There is no truth for oneself alone, only collective conclusions.  And the more extensive the collectivity that supports a conclusion, the more reliable the conclusion.

I think that pragmatism best describes the way that Dorothy and her companions made their way in the land of Oz, making choices, taking chances, and believing in each other and each other’s beliefs.  It is different than the philosophy reflected in conventional interpretations of The Wizard of Oz.  The conventional interpretations generally reflect a world view that can be characterized as “foundationalist” and “essentialist,” and that is “absolutist.”   In this world view, truth is something that is found.  That is, it already exists and has always existed, even if we don’t know it.  Each person and thing also has an essence, that already exists and has always existed.  And whatever is true, has always and absolutely been true, and always will be.

In this view, you are what you are, and that is that.  While you may find that you are different than the way you mistakenly thought you were, for example, the Scarecrow thinking he was stupid, you cannot change who or what you are.  The Scarecrow found that he was smart, the Tin Man found that he was compassionate, and the Lion found that he was brave.  But they already were those things, albeit they hadn’t realized it.  This essentialist and absolutist view dominated most philosophical and scientific thinking during the nineteenth century.

Pragmatism, in contrast, is a “constructionist” and “existentialist” philosophy, and is “relativist.”  That is, truth is something that is made, including truths about oneself.  In this view, the Scarecrow made himself smart with the help of Dorothy and the others.  Having been rescued by Dorothy from being stuck on a pole, he began to experiment with his intelligence, developing it in practice.  Significantly, some of his early hypotheses did not pan out, as when he walked into a big hole, and had to be rescued by the Tin Man.  Asked why he had not walked around the hole, the Scarecrow claimed that he did not know any better because he did not have any brains.  But very soon, he was figuring out clever ways for the comrades to get over big ditches, without falling in, and solving all sorts of other problems that they faced.  He was learning through experience, and making himself smart.[19]  The Scarecrow, and the other comrades as well, exemplified pragmatic philosophy and progressive education in action.

Pragmatism has been called America’s philosophy, both because it is the only major philosophical school made in America, and because it seems to reflect the way in which Americans have generally approached things when they are not afraid and are not reacting defensively.  Pragmatism is a flexible and tolerant way of thinking about things.  It is a philosophy of hope and hopefulness.  Fear can drive people to defensive absolutisms, and fear most often trumps/Trumps hope.  When Americans heed their better angels, they think and act positively and pragmatically.  When Americans are demagogued and frightened into following their darker angels, they think and act negatively and arbitrarily.  The Wizard of Oz is an invocation of tolerance, flexibility, hopefulness, and pragmatism.

Bringing Oz to Kansas: Pragmatism in Practice.

 “There’s no place like home.”

Dorothy in The Wonderful Wizard of Oz.

The Wonderful Wizard of Oz opens with Dorothy’s description of her home in Kansas.  Everything she sees is gray and grim.  The landscape is gray and sparsely vegetated.  The buildings and furnishings are gray and dilapidated.  Her Aunt and Uncle are gray-faced and grim, worn and oppressed by efforts to keep their farm going.  Dorothy complains that they never smile or laugh, and that they are all completely isolated from their neighbors.  Dorothy has no one to cheer her up, except her dog.[20]

When Dorothy gets to Oz, she finds that, despite the Bad Witches, there is dancing, singing, laughing, and lots of color.  After Dorothy meets the Scarecrow and describes Kansas to him, the Scarecrow cannot understand why anyone would want to live in Kansas, and why Dorothy would not want to stay in Oz, which is beautiful and filled with interesting people.  When she answers that “There is no place like home,” the Scarecrow replies facetiously, and with false modesty, “Of course I cannot understand it.  If your heads were stuffed with straw, like mine, you would probably all live in the beautiful places, and your Kansas would have no people in it at all.”[21]  That is, he facetiously claims, only brainless people like him would want to live in beautiful places.  Brainy Kansans like Dorothy would naturally choose to live in desolation.  This is a telling remark that almost certainly hits its mark with readers, and maybe with Dorothy as well.

Almost the first thing Dorothy says, when the Munchkins are celebrating her as a hero for killing the Wicked Witch of the East, is that she wants to go home because her aunt and uncle might be worrying about her.[22]  She cares deeply about her family.  An unanswered question in the story is what will Dorothy do when she gets back to Kansas.  Having seen Oz and Emerald City will she be content to leave things in Kansas as they are, with her gray-faced Aunt and Uncle slaving away so hard for so little, with her gray surroundings, and with her boring life?

Dorothy is like a student who has gone away to college, or a soldier who has gone off to other lands, and then comes back to see home in a new and critical light.  Having returned for the sake of her family, what might Dorothy do further for their sake?  There’s no place like home, but what should that home be like?  Most readers, I think, hope Dorothy will do something to improve her home and the society in which she lives.

The World in Our Minds: A Zero-Sum Game or a Mutual Aid Society?

“Come on legs keep movin’

Don’t you lose no ground

You just keep on keepin’ on

On the road that you choose.”

Lyrics by Charlie Smalls.

Sung by Diana Ross & Michael Jackson.

Why do some people feel threatened by immigrants, seeing them as competitors who will take their jobs and impoverish them, while others welcome immigrants as resources who will help enrich everyone?  Why are some people threatened by cultural pluralism as a dilution of their native culture, while others welcome diversity as a cultural enrichment?  Why do some people picture the world as a zero-sum game in which your advancement is inevitably at my expense, whereas other people see the world as a mutual-aid society in which the success of each is the basis for the advancement of all?  Why is the apt proverb for some people that a rising tide sustains some but drowns others, whereas for others it is that a rising tide raises all?

How we feel towards others must come, at least in part, from what we read, see and listen to, that is, the books, videos and songs from which we draw our picture of the world, and react to phenomena such as immigration and enculturation.  Some books, videos and songs portray aliens as inherently dangerous and cultural change as disastrous.  Many of the violent stories, songs and video games that appeal to adolescents have those themes.  They portray life as a zero-sum game, with every person for him/herself.

Most stories, songs and movies that appeal to younger and older audiences take a different tack, and portray change and diversity as constructive and cooperative.  The stories of Charles Dickens and the Harry Potter books by J.K. Rowling have that theme.  There is plenty of violence and there are evil characters in their books, but the emphasis is on the overriding value of trust and cooperation, rather than mistrust and conflict.  The Wizard of Oz is similar.  The contrast between most children’s literature and most adolescent media is stark and alarming.   

One of the reasons we read books and watch movies, and then reread and re-watch them, is because we feel comfortable in the worlds they portray.  Some people seem to feel more comfortable in imaginary worlds that are scary and reflect violent zero-sum societies.  Others seem more comfortable in mutual aid worlds such as that constructed by Dickens and Rowling.  How and why this is the case is a mystery to me.

This essay is being written on November 14, 2016 in the immediate aftermath of a recent presidential election in which the American people seem to be sharply divided between supporters of Donald Trump and his zero-sum view of the world, and supporters of Hillary Clinton and her mutual aid view.  Much to my regret, fear trumped and Trumped in this election.  She got the most popular votes, but he got the most electoral votes.  Supporters of Clinton are currently in despair at how to bridge the cultural gap between them and Trump’s supporters.  It may be that the continuing popularity among all segments of our population of The Wizard of Oz is an indication that we may have more in common, and that there may be a mutual aid ethic that underlies our differences and may provide a basis for future amity and agreement.

[1] The Wonderful Wizard of Oz   Wikipedia.  Accessed 11/14/16.

[2] Ilan Shira. “Why ‘The Wizard of Oz’ is the most popular film of all time.”  Psychology Today.  6/4/10.

[3] L. Frank Baum. The Wizard of Oz. Aladdin Classics: New York, 1999. pp.50, 54, 57, 139.

[4] L. Frank Baum. The Wizard of Oz. Aladdin Classics: New York, 1999. pp.50-51, 57-58, 63, 72.

[5] William Graham Sumner. Social Darwinism.  Englewood Cliffs, NJ: Prentice-Hall, Inc, 1963.

[6] There is a collateral interpretation of the story that it is a Populist allegory.  The Populists were a late nineteenth century reform movement of small farmers and workers against the big capitalists who were ostensibly oppressing them.  Baum supported the Populists.  In this interpretation, the witches represent the capitalists, the Scarecrow is the farmers, the Tin Man is the workers, and the Lion is William Jennings Bryan, who was called The Lion of the West and who coopted the Populists in his failed Presidential campaign of 1896.  I have no problem with this Populist interpretation.  It might help explain the story’s popularity in the early 1900’s, albeit, it does not explain its ongoing popularity.  I would object, however, to including in it, as some critics do, a picture of the Populists as individualistic small farmers, a picture that would lend support to the idea that the story promotes individualism.  I reject both the picture of Populism as individualistic and the idea that the story promotes individualism.

[7] Citations in this essay will be to the book The Wonderful Wizard of Oz, but they refer as well to the movie The Wizard of Oz with which readers may be more familiar and which essentially follows the book.

[8] L. Frank Baum. The Wizard of Oz. Aladdin Classics: New York, 1999. pp.142-143, 147.

[9] L. Frank Baum. The Wizard of Oz. Aladdin Classics: New York, 1999. p.96.

[10] In the book, there is a Good Witch of the North who greets Dorothy at the beginning of the story and sets her on her way to see the Wizard, and a Good Witch of the South who meets her at the end and sets her on her way home.  The North Witch puts the magic shoes on Dorothy, but tells Dorothy that she does not know how they work.  It is only the South Witch who seems to know how they work, and only she who can explain it to Dorothy when Dorothy finally meets up with her at the end of the story.  In the Judy Garland movie, the director merged the two witches into one witch, for some unknown reason, and it creates an unnecessary question of why the witch didn’t tell Dorothy how to use the shoes when she first met her.  She put Dorothy to a lot of unnecessary trouble, which was not a nice thing for a good witch to do.

[11] Richard Hofstadter. Social Darwinism in American Thought.  Boston: Beacon Press, 1955.

[12] Robert McCloskey. American Conservatism in the Age of Enterprise, 1865-1910. New York: Harper & Row, 1951.

[13] Robert Sutton. Communal Utopias and the American Experience: Secular Communities, 1824-2000.  

Westport, CN: Praeger, 2004.  “List of American Utopian Communities.” Wikipedia. Accessed 11/14/16.

[14] William James.  Talks to Teachers on Psychology. Mineola, NY: Dover, 2001.

John Dewey. The Child and the Curriculum. Chicago: University of Chicago, 1956.

[15] William James. “The Will to Believe.” Essays on Faith and Morals. New York: World Publishing Co., 1962.

pp.32-62.

[16] William James. “The Will to Believe.” Essays on Faith and Morals. New York: World Publishing Co., 1962.

pp.33-35,62.

[17] William James. “The Will to Believe.” Essays on Faith and Morals. New York: World Publishing Co., 1962.

p.56.

[18] William James. “The Will to Believe.” Essays on Faith and Morals. New York: World Publishing Co., 1962.

p.40.

[19] L. Frank Baum. The Wizard of Oz. Aladdin Classics: New York, 1999. pp.39, 54-58.

[20] In the book, there are no farmhands for company and diversion.

[21] L. Frank Baum. The Wizard of Oz. Aladdin Classics: New York, 1999. pp.28-29.

[22] L. Frank Baum. The Wizard of Oz. Aladdin Classics: New York, 1999. p.13.